FISH: CGIAR Research Program on

fish agrifood systems

Proposal
31 March 2016
 31 March 2016

Dear colleagues:

I am pleased to submit the full proposal for FISH, the CGIAR research program on fish agri-food
systems. I do so on behalf of the program’s five managing partners: the International Water
Management Institute, James Cook University, The Natural Resources Institute at the University of
Greenwich, Wageningen University, and WorldFish.

We have welcomed the opportunity to develop a new CRP focused on enhancing the contribution of
fisheries and aquaculture to reduce poverty and improve food security and nutrition. By pursuing the
research agenda described through a network of multi-stakeholder partnerships, we believe that FISH
will make a unique contribution to doing so. Specifically, we aim to make the following quantified
contributions to the system-level outcomes targets of the CGIAR by 2022:

Providing improved breeds, aquafeeds, fish health and aquaculture and fisheries management
practices that are adopted by 4.9m producer households;
Assisting 3.5m people, with at least 50% women, to exit poverty through gender-inclusive
livelihood improvements;
Reducing the number of people suffering from deficiencies in essential micronutrients by 2.4m,
with at least 50% of them women;
Assisting 4.7m more women of reproductive age to consume an adequate number of food
groups;
Decreasing greenhouse gas emissions by 20%, and increasing water and nutrient use efficiency
by 10%, in 4.8m metric tons of annual farmed fish production;
Restoring 3.3m ha of ecosystems through more productive and equitable management of small-
scale fishery resources and rehabilitation of degraded aquaculture ponds.

In preparing the proposal we have drawn on the very helpful commentary of the ISPC. We have
responded in particular by: placing an overarching impact pathway and theory of change at the
center of program design, supported by nested impact pathways and theories of change at flagship
and cluster levels; focusing our research in six countries (Bangladesh, Cambodia, Myanmar, Nigeria,
Tanzania and Zambia) where all flagships aim to contribute over time, and from where we will scale
through dissemination of international public goods generated through our research; and
strengthening our explanation of the comparative advantage of the program, the role of partnerships,
and our cross-CRP collaborations. An explanation of this response to ISPC commentary is provided
as Annex 3.12.

We look forward to receiving feedback on our submission and to moving ahead with the research
agenda to enhance sustainability, productivity and access to fish by those most in need.

Kind regards,

Nigel Preston
Director General

WorldFish HQ.Jalan Batu Maung, Batu Maung, 11960 Bayan Lepas, Penang, MALAYSIA.
T: (+60 4) 626 1606 F: (+60 4) 626 5530 E: worldfishcenter@cgiar.org M: P.O. Box 500, GPO 10670, Penang, MALAYSIA
Legal Name: International Center for Living Aquatic Resources Management (ICLARM). www.worldfishcenter.org
Section 1: Overview

1.1 Rationale and scope

Fisheries and aquaculture contribute to livelihoods for 800 million people and provide 3.1 billion people with 20% of
their animal protein (FAO 2015), as well as micronutrients and essential fatty acids critical to cognitive and physical
development (HLPE 2014). Three-quarters of the countries where fish contributes more than one-third of animal protein
in the diet are low-income food-deficit countries (Kawarazuka and Béné 2011), where fish is often the cheapest and
most accessible animal-source food (Belton and Thilsted 2014). To meet future demand for fish, particularly in
developing countries, production will need to double by 2030 (FAO 2014). The scale of this challenge requires research
innovations across the whole spectrum of aquaculture and fisheries production systems and associated value chains.

Citing the crucial role of fisheries and aquaculture in global strategies to reduce poverty and improve food security and
nutrition, and noting the underinvestment in research and development (R&D), the United Nations (UN) Committee on
World Food Security's expert panel specifically calls on CGIAR to lead research that will enhance sustainability,
productivity and access to fish by those most in need (HLPE 2014). Responding to this need, the new CGIAR research
program (CRP) on fish agri-food systems (FISH) will focus on the three interlinked challenges of sustainable aquaculture,
small-scale fisheries (SSF), and enhancing the contribution of fish to nutrition and health of the poor in priority
geographies of Africa and Asia-Pacific.

Challenges

Aquaculture. The rapid growth of aquaculture has highlighted many challenges to sustainable development.
Aquaculture enterprises, particularly in developing countries, often have low production efficiency, experience episodic
production crashes due to fish diseases (Walker and Winton 2010), and contribute to pollution and the loss of
mangroves (Phillips et al. 1993; Naylor et al. 1998). Much aquaculture depends on wild stocks, precluding production
gains by selective breeding and increasing disease risk. Every year, 20–30 million metric tons of fish, one-third of the
global catch, are used to produce feeds for aquaculture. Moreover, gender inequities limit income generation and asset-
building for women—in particular poor women—who face multiple barriers, including limited access to technology,
infrastructure and credit. Efforts to sustain or accelerate aquaculture growth in developing countries must address
breed improvements, fish health, sustainable feeds and environmental management, together with the need for
gender- and socially equitable distribution of economic and nutritional benefits.

Small-scale fisheries. Capture fisheries are projected to be the dominant supply of fish for many least developed
countries for decades (World Bank 2013). However, most face severe pressure from overfishing, particularly SSF in
resource-poor regions where fish is an important source of food and income (FAO 2014). The most recent analysis of
global marine fisheries catches clearly demonstrates that the importance of small-scale fishing for the food security of
developing countries, particularly in the tropical Indo-Pacific, cannot be overemphasized (Pauly and Zellar 2016). SSF
operate in highly complex ecological, social and institutional environments (Jentoft and Chuenpagdee 2009).
Productivity and sustainability are often undermined by underperforming governance, which also reinforces gender and
social inequities. Thus the central challenge is to improve SSF governance in ways that ensure ecological sustainability,
build the resilience of fishery-dependent communities, and improve equity in access rights and the flow of benefits in
ways that increase livelihood opportunities for poverty reduction and food security.

Nutrition. The lack of diversity in the cereal-based diets of the poor, particularly of women and children, has important
consequences for health and development. Despite being a major source of key nutrients, fish consumption has not
been fully integrated into strategies to combat undernutrition, nor are nutritional considerations well integrated into
aquaculture and fisheries strategies (Thilsted et al. 2016). Fish is also subject to considerable postharvest losses, with
27%–39% of all caught fish going to waste (FAO 2011). These losses disproportionately impact women because of
women’s concentration in postharvest parts of fish value chains. Poor storage, handling and processing also contribute
to lost value and pose a risk of foodborne infections and mycotoxins (Gram and Huss 1996). Key challenges are to (1)
enable fish production systems to reach their full potential to deliver nutrients and healthy foods; (2) reduce
inefficiencies in value chains, including waste, nutrient losses and restricted access of poor consumers, while protecting
or enhancing gender-equitable returns for poor women and men value chain actors; and (3) address barriers that divert
fish from the diets of mothers, infants and young children, where it can have the greatest impact.
Strategic and scientific rationale

FISH is a new, integrated, multidisciplinary research program addressing these challenges. Designed in collaboration
with beneficiaries, research partners and multiple stakeholders within and beyond CGIAR, the program will develop and
implement research innovations that optimize the individual and joint contributions of aquaculture and SSF to reducing
poverty, improving food and nutrition security for health, and sustaining the underlying natural resources systems and
ecosystems services on which both depend. In so doing, it will address critical gaps in research that need to be
addressed to build evidence on the most promising pathways to impact (Béné et al. 2016). The program design benefits
from constructive inputs from external reviewers and, as a component of the broader CGIAR portfolio, responds
explicitly to feedback of the Independent Science and Partnerships Council (ISPC, see Annex 3.12).

For aquaculture, our focus is on enabling enterprises to progressively enhance production efficiency and sustainability
via the use of domesticated, selectively bred, high-health fish reared on sustainable feeds in gender-inclusive production
systems that have low carbon footprints with no adverse environmental impacts. Focus on these areas will have the
highest probability of achieving productivity gains while avoiding adverse economic, social or environmental impacts
(Hall et al. 2011).

For SSF, evidence shows that sustaining production through policy research and stakeholder engagement to enhance
governance arrangements can deliver greater, more inclusive economic benefits and improved safety nets for
marginalized groups and build resilience to external shocks (Gutiérrez et al. 2011; Allison et al. 2012; Ratner et al. 2014).
Thus, our focus is on resilience-based analyses and multi-stakeholder interventions to support improved and more
inclusive governance and natural resource management. This focus will be augmented by analysis and synthesis of
national and regional SSF trends in the context of global food systems and work to give stakeholders a stronger voice in
contested landscapes where alternative uses of water, land and aquatic resources threaten production.

To address nutrition outcomes, we will analyze value chains, with a focus on market channels supplying poor consumers
to understand barriers that constrain access or lead to high prices. We will determine the extent of and factors shaping
postharvest losses, nutritional degradation, food safety hazards and risks, and gendered barriers and opportunities in
fish value chains. We will also explore the potential to sustainably and inclusively increase the production of small
indigenous fish to grow this source of nutrition for poor consumers. These analyses will inform aquaculture and SSF
strategies with better-integrated nutritional considerations and the development of scalable, gender-responsive actions
to address value chain bottlenecks, postharvest losses and food safety hazards, leading to an increase in the supply of
safe fish for consumers.

A core concept for FISH is that strengthening the integration between R&D activities in aquaculture, SSF, nutrition and
value chains will have multiple, synergistic impacts. For example, we will examine the co-existence of wild, highly
nutritious indigenous fish species with improved tilapia and carp strains in rice-fish ponds. We will build on work to
enhance the performance of these strains via selective breeding, disease control, improved aquafeeds, and
environmental management of the ponds and adjacent ecosystems, with priorities for technology development
designed to address the distinct needs of men and women producers where relevant. Research on value chain
innovations will then seek to translate the combined increases in productivity into gender-equitable livelihood and
nutritional gains.

The program also aims to capitalize on priority synergies across the broader CGIAR portfolio. In addition to incorporating
genetics and feeds research from the previous Livestock and Fish (L&F) CRP and market analyses from the Aquatic
Agricultural Systems (AAS) CRP, the FISH CRP establishes new collaborations with other agri-food system CRPs and the
four global integrating programs. As one example, in collaboration with the RICE CRP, we will introduce new technology
to enable the bioconversion of rice waste into bioactive fish feed ingredients and investigate the potential of producing
this feed as an area of women-led, green enterprise. Our work in rice-fish systems will be further strengthened via
efforts to improve the productivity of two of the most important food sources in the developing world. (Cross-CRP
linkages are detailed in Annex 3.7).

Geographic scope

Fish production and consumption are characterized by very significant regional disparities (Figure 1). In Southeast Asia,
while many countries have significant SSF, aquaculture is becoming increasingly important (Figure 1a). By contrast,
production in Africa from both SSF and aquaculture is relatively low, with the notable exceptions of Egypt and, to a
lesser degree, Nigeria. Over the past decade, per capita fish consumption has increased in most developing countries in
East and Southeast Asia, whereas in India and in most of Africa it has remained low (Figure 1b).

Bangladesh*

Pakistan Philippines*
Mauritania* Egypt*
Myanmar Laos*
Mali*
Senegal* Thailand Vietnam*
Guinea* Cambodia*
Nigeria*
Sierra Ghana* India*
Leone* Cameroon*
Uganda*
Kenya*
DR Congo*
Indonesia*
Tanzania*
Angola Zambia*Malawi*
Mozambique*
Namibia inland

Rest of the World

Europe & Central Asia

Japan
Other South Asia China

Middle East & North Africa India

Southeast Asia

Sub-SaharanAfrica

(b)
>

Figure 1. (a) Total fish production in selected developing countries from SSF and aquaculture in 2013 and (b)
estimated fish consumption per capita by region in 2010 (kg/year). North and South America not shown. Sources: (a)
Food and Agriculture Organization of the United Nations (FAO) Fisheries Global Information System. Only selected
developing countries shown for comparison. Data for small-scale marine capture fisheries estimated at 50% of total
reported catch; for inland capture fisheries, 100%. Data for aquaculture production excludes aquatic plants. (b) World
Bank (2014).

The geographic focus of FISH is based on several factors, notably (1) the current status and projected future potential for
aquaculture and SSF in developing countries, (2) the probability that the program and its partners can effectively
respond to demands for research and deliver impacts at scale, and (3) the need to strike a balance between the needs of
producers and consumers in regions where the poor already have good access to fish and regions where the potential to
increase supplies of fish and improve livelihoods is yet to be realized.

The program will pursue an integrated body of research in six focal countries. Three are in Asia (Bangladesh, Cambodia
and Myanmar) and three in Africa (Nigeria, Tanzania and Zambia). In these countries, we can most coherently integrate
our multidisciplinary strengths in sustainable aquaculture, SSF and enhancing the contribution of fish to nutrition and
health of the poor. Two additional countries will constitute a focus for particular areas of research: Egypt as a research
hub and training center for our aquaculture capacity development in Africa, and Solomon Islands as a hub for our
learning networks on SSF governance in the Pacific.

Rationale for country selection. To select program focus and scaling countries, we applied a series of metrics tailored to
each of the three overarching challenges. In the aquaculture sector, we applied FAO projections to identify countries
with the largest shortfalls in fish supply (>100,000 metric tons) and where aquaculture is projected to grow at >5% per
annum. From these we selected countries with established partnerships and the ability to co-develop and deliver
research outputs and impacts that contribute to reducing the supply gap. We also identified countries where growth in
aquaculture production is projected to exceed 1 million metric tons per annum by 2030 and generate a significant
surplus of supply over domestic demand. In addition to the six focal countries, these criteria point to the inclusion of
Ghana, India, Indonesia and Vietnam as scaling countries. A final key factor in our selection was the strength of research
infrastructure in countries that have historically supported the development of genetically improved varieties of the two
highest-priority species, tilapia and carp.

In the SSF sector, we selected a small number of countries where the largest number of poor people depend on fish
sourced from SSF for food and nutrition security, which exemplify the range of key challenges facing the sector, and
where the enabling environment is strong enough for FISH to have impacts of national significance. For inland systems in
Asia, the focus is therefore on the mega-deltas of the Ganges/Brahmaputra (Bangladesh), Irrawaddy (Myanmar) and
Mekong (Cambodia). For coastal systems in Asia-Pacific, Solomon Islands was selected for its potential to yield lessons of
regional significance on resilience in the face of multiple drivers of change, including climate change. In Africa, we will
focus initially on inland fisheries with Zambia as a case study of land-use and governance in inland fisheries, and at
regional level on the small fish value chain in East Africa’s Great Lakes.

Country selection for research on enhancing fish value chains to improve nutrition and health was prioritized to realize
synergies with our aquaculture and SSF research, and to capitalize on particular opportunities to elucidate and address
nutrition-focused innovations. This underpins a focus on two value chains in Bangladesh, one from aquaculture and one
from fisheries, plus a dried fish value chain with high waste originating in Tanzania. Research to boost indigenous fish
production will complement research in the same locations on enhancing the production of tilapia and carp, and will
build on private sector and nongovernmental organization (NGO) partnerships to develop and disseminate locally
produced fish-based products to improve childhood nutrition in the first 1000 days of life.

Staging and scaling. With fish production and associated value chain development in sub-Saharan Africa markedly lower
than in Asia, we will progressively build multidisciplinary research activities, leveraging lessons from our focal countries
and taking into account the successes and challenges confronted during the much longer history of R&D investment in
Asia-Pacific. In Nigeria our initial focus will be on aquaculture, progressively expanding to include freshwater SSF and
enhancing the impact of fish for nutrition and health. In Zambia we will build on current activities across all three
research domains. In Tanzania our initial focus will be on the small fish value chain from Lake Victoria, progressively
expanding to include aquaculture and coastal SSF.

FISH breeding programs and improved strains of tilapia and carp complement the CGIAR-supported seedbanks in the
plant agri-business sector, in the sense that they both have important, ongoing roles for providing improved germplasm
to the developing world to enhance the livelihoods of poor women and men fish farmers (ADB 2005). Thus a key scaling
activity will be to continue engaging with countries where prior collaborations have established national fish genetic
improvement programs that disseminate improved strains and assess the genetic performance of stocks. These are in
India, Philippines, Vietnam, Ghana, Kenya and Malawi.

1.2 Goals, objectives and targets

The goal of FISH is to achieve sustainable increases in the gender- and socially inclusive production and equitable
distribution of nutritious fish to improve the livelihoods and nutrition of poor households in priority geographies. The
objectives of FISH are the following:

1. Enable sustainable increases in, and gender- and socially equitable livelihood returns from, aquaculture production
without creating adverse socio-economic or environmental impacts.
2. Secure and enhance the contribution of SSF to gender-equitable poverty reduction and food security in priority
geographies.
3. Increase the availability and consumption of safe and nutrient-dense fish, primarily for women of reproductive age,
infants and young children.

By 2022, FISH and its partners aim to contribute to seven system-level outcome (SLO) targets outlined in the CGIAR
Strategy and Results Framework (SRF), as summarized in Table 1. Contributions to these targets were calculated using
multiple inputs, including data from outcomes of prior aquaculture and SSF research in focal geographies, recent
WorldFish analyses of future aquaculture and SSF growth, other published studies, and the domain knowledge of FISH
researchers and partners in aquaculture, SSF and fish value chains.

SLO 1: Reduced poverty
Sustainable increases in fish production directly increase the income of small-scale producers, provide opportunities for
value chain innovations and reduce the cost of fish to consumers (Toufique et al. 2014). In the aquaculture sector, our
focus is on enabling farmers to improve their livelihoods via transformational gains in productivity and profitability in
farmed fish. We will develop and implement new gender-responsive knowledge and technology in improved breeds, fish
health, aquafeeds and management practices, enabling both women and men farmers to boost the productivity of
farmed fish, with benefits to 3.9 million producer households by 2022 (SLO target 1.1). In combination with gender-
inclusive and women-targeted value chain innovations, this has significant potential to directly benefit livelihoods from
the consumption, processing and sale of farmed fish, assisting 2.3 million people, at least 50% women, to exit poverty by
2022 (SLO target 1.2).

Genetic gains of 7%–10% growth per generation have been maintained for over two decades in WorldFish tilapia
programs (Gjedrem et al. 2012; Khaw 2015), with high adoption rates in several poor countries (ADB 2005). We
anticipate further genetic gains in growth rates of 5%–10% per generation over the next decade. By 2022, we aim to
sustainably double the production of safe, nutritious farmed fish in climate-resilient production systems in our selected
countries. We are confident the level of contributions that the program will make to yield increases in these countries
and the return on investment in aquaculture enterprises will be as high, or higher than, any other food sector.

In the SSF sector, FISH and partners’ innovations for more effective and inclusive governance and management will
catalyze improved fisheries and enhance equity and diversity of livelihood opportunities for fisheries-dependent
women, men and youth, with benefits to an additional 1 million producer households (SLO target 1.1) and assisting a
further 1.2 million people, at least 50%, women to exit poverty by 2022 (SLO target 1.2).

SLO 2: Improved food and nutrition security for health
The value of fish consumption for nutrition and health goes beyond basic dietary diversity. Fish is a vital, nutrient-dense
animal-source food for many nutritionally vulnerable people, including children and pregnant and lactating women. Fish
is one of the few animal-source foods with robust evidence of positive health benefits (Ezzati and Ribboli 2013; Zhao et
al. 2015). Fish-based diets reduce the risk of non-communicable diseases more than conventional diets (Tilman and
Clark 2014). Aquaculture has great potential to supply more fish to enhance nutrition and food security in developing
countries (World Bank 2013). Predicted growth rates for aquaculture are greater than for any land-based animal food
(FAOSTAT 2014).

We will specifically address the reduced micronutrient deficiency target (SLO 2.3) by increasing polyculture of
micronutrient-rich small indigenous fish species, using improved feeds to enhance the nutritional value of fish, and
increasing productivity and reducing waste and loss in fish value chains important to poor consumers. We aim to reduce
micronutrient deficiency in 2.4 million people, of which 50% are women, by 2022 (SLO target 2.3). We will focus on
geographical areas in which fish is an important animal-source food and where opportunities exist to influence dietary
diversity through greater availability, lower prices and shifts in the distribution of fish consumption. The program target
is 4.7 million more women of reproductive age consuming an adequate number of food groups (SLO target 2.4).
Table 1. The contribution of FISH to SLO targets by country. Six countries are a focus for FISH R&D, linking the three
research domains. Two countries (Egypt and Solomon Islands) are a focus for a particular flagship project (FP). CGIAR
priority countries for site integration are indicated as high (+) and highest (++) priority.

SLO Contribution to SLO target by country
target (in millions)
FP1 FP2
FISH CRP R&D focus Scaling
R&D R&D
Bangladesh++

Solomon Is.
Tanzania++
Cambodia
Myanmar

Nigeria++

Zambia+

Totals
Africa
Egypt

Units
Asia
1.1 4.9 million producer households adopted improved breeds, aquafeeds, fish health, and House-
aquaculture and fisheries management practices holds
1.80 0.45 0.19 0.35 0.11 0.12 0.10 0.02 1.27 0.45 4.9
1.2 3.5 million people, of which at least 50% are women, assisted to exit poverty through People
livelihood improvements related to fisheries and aquaculture value chains
1.17 0.40 0.18 0.19 0.10 0.09 0.26 0.05 0.94 0.18 3.5
2.3 2.4 million people, of which 50% are women, without deficiencies of one or more of the People
following essential micronutrients: iron, zinc, iodine, vitamin A, folate and B12
0.90 0.12 0.08 0.12 0.13 0.04 0.10 0.08 0.73 0.13 2.4
2.4 4.7 million more women of reproductive age consuming adequate number of food People
groups
1.96 0.35 0.13 0.13 0.13 0.07 0.34 0.02 1.07 0.53 4.7
3.1 & 20% reduction in greenhouse gas emissions, 10% increase in water- and nutrient-use Metric tons
3.2 efficiency in 4.8 million metric tons of annual farmed fish production of fish per
annum
1.65 0.34 0.15 0.20 0.04 0.05 0.30 0.00 1.56 0.47 4.8
3.3 3.3 million ha of ecosystems restored through more productive and equitable Ha. of
management of SSF resources and restoration of degraded aquaculture ponds restored
ecosystems
1.07 0.47 0.37 0.11 0.01 0.26 0.11 0.25 0.55 0.13 3.3

SLO 3: Improved natural resource systems and ecosystem services
There are dramatic national and regional differences in environmental footprints of aquaculture for the same species
and production methods (Hall et al. 2011). Lifecycle assessment (LCA) to quantify the carbon footprint and other
environmental impacts of aquaculture production will be used to identify and promote the development of gender-
responsive aquaculture systems with low environmental impact. Contributing to climate resilience, we target a 20%
decrease in greenhouse gas emissions (SLO target 3.1) and 10% increase in water- and nutrient-use efficiency (SLO
target 3.2) compared to 2012 levels, for 4.8 million metric tons of farmed fish (10% of projected global aquaculture
production in 2022). Improved practices will also enable the restoration of 1.2 million hectares of degraded aquaculture
ponds and the landscapes in which they are embedded (SLO target 3.3).

The majority of SSF are collectively owned and operate within landscapes and coastal zones with complex layers of
tenure and jurisdiction, characterized by social inequities and unsustainable use. The millions of marginalized people
dependent on fish for income and food security (notably poor women and young adults) are often unable to fully
participate in the governance of their resources. FISH is uniquely placed to integrate local-scale action research on
tenure systems for SSF with analysis of broader institutions and policies for governance, contributing to equitable
resource use and restoration of 2.1 million hectares of agroecosystems in both inland and coastal environments (SLO
target 3.3).

A summary of FISH contributions to UN Sustainable Development Goals (SDGs) and CGIAR sub-Intermediate
Development Outcomes (IDOs) that support these goals is provided in Table 2. The program contributes directly to
SDGs 1 (no poverty) and 2 (zero hunger) by increasing productivity of fisheries and aquaculture to provide poor and
marginalized women, men and youth with more food, nutrition and income. The program also addresses a range of
related goals targeting improved human health, gender equality, sustainable ecosystems, reduced disease, reduced
food waste, climate adaptation, and effective institutions and development policies. Within the CGIAR portfolio, the
FISH CRP makes unique contributions to address SDGs on protecting and restoring water-related, marine and coastal
ecosystems (6.6, 14.2, 14.5) and encouraging economic growth of Small Island Developing States (8.1, 14.7). Flagship-
specific outcomes, including contributions to each of the SLO targets, are detailed for each flagship project in Section 2.
In Annex 3.6, outcome indicators and means of measurement are detailed as part of the program’s commitment to
results-based management.
Table 2. Contributions of FISH flagships to SDGs and sub-IDOs. Note only primary sub-IDO contributions are shown.
Numbering follows the order presented in the CGIAR Strategy and Results Framework. XC is used to designate cross-
cutting sub-IDOs.

SDGs SLO IDO Sub-IDOs FP1 FP2 FP3
1. Reduced 1.3 Increased 1.3.1 Diversified enterprise opportunities √
poverty incomes and 1.3.2 Increased livelihood opportunities √ √
employment
1.3.4 More efficient use of inputs √
1.4/2.1 Increased 1.4.1/2.1.1 Reduced pre- and postharvest losses, √
productivity including those caused by climate change
1.4.2/2.1.2 Closed yield gaps through improved √
agronomic and animal husbandry practices
1.4.3/2.1.3 Enhanced genetic gain √
1.4.5/2.1.5 Increased access to productive assets, √
including natural resources
2. 2.2 Improved diets 2.2.1 Increased availability of diverse nutrient-rich
Improved for poor and foods √
food and vulnerable people 2.2.2 Increased access to diversified √
nutrition nutrient-rich foods
security for 2.2.3 Optimized consumption of diverse nutrient- √
health rich food
2.3 Improved food 2.3.1 Reduced biological and chemical hazards in the √
safety food system
2.4 Improved human 2.4.2 Reduced livestock and fish disease risks √
and animal health associated with intensification and climate change
through better
agricultural practices
3. 3.2 Enhanced 3.2.1 More productive and equitable management √
Improved benefits from of natural resources
natural ecosystem goods and
resource services
systems 3.3 More sustainably 3.3.1 Increased resilience of agro-ecosystems and √
and managed agro- communities, especially those including
ecosystem ecosystems smallholders
services
3.3.3 Reduced net greenhouse gas emissions from √
agriculture, forests and other forms of land use

Cross Climate change XC 1.1.4 Enhanced capacity to deal with climatic √
cutting risks and extremes
Gender and youth XC 2.1.1 Gender-equitable control of productive √ √
assets and resources
XC 2.1.3 Improved capacity of women and young √ √
people to participate in decision-making
Policies and XC 3.1.1 Increased capacity of beneficiaries to adopt √
institutions research outputs

XC 3.1.3 Conducive agricultural policy environment √
XC 4.1.2 Enhanced individual capacity in partner √
research organizations through training and
exchange

1.3 Impact pathways and theory of change

The FISH theory of change (ToC) centers on the role of multidisciplinary research addressing the challenges outlined for
the priority geographies, in response to clearly identified needs of poor producers and consumers of fish along with
those women and men whose livelihoods depend upon aquaculture and SSF value chains. Impact pathways for the
delivery of outcomes stem from research in three closely integrated flagships: (1) sustainable aquaculture, (2)
sustainable small-scale fisheries, and (3) enhancing the contribution of fish to nutrition and health of the poor. Targeted,
gender-responsive research in each of these domains aims to influence change through four mechanisms, combining (a)
innovation and spread of technologies and management practices with supportive actions by the (b) private sector, (c)
public sector, and (d) civil society and development agencies. The resulting outcomes address gender and social equity,
climate resilience, and institutional capacity, as well as policies and investment patterns. The outcomes target all three
of the SRF SLOs, with a focus on increased productivity, increased incomes and employment, improved diets for poor
and vulnerable people, and enhanced benefits from ecosystem goods and services. Figure 2 provides a summary view of
the CRP-level impact pathways and ToC.

The program research structure reflects the interlinked subsectors of fish production and the associated value chains,
which together impact food security and nutrition. Flagship 1 on sustainable aquaculture (FP1) develops and delivers
gender-responsive and inclusive innovations in aquaculture breeding and genetics, fish health and nutrition, aquafeeds,
and aquaculture systems. Whole-system analysis of aquaculture enterprises has shown that these areas will have the
highest probability of achieving productivity gains while avoiding adverse economic, social or environmental impacts
(Hall et al. 2011). We will ensure that breeding takes into account the nutritional needs of both fishers and consumers,
changes in aquafeeds, production environments, management practices, and options to maximize contributions to
livelihoods, including the capacities required. FP1 interacts with activities in the other two flagships via the ecosystem
interactions of aquaculture and fisheries in landscapes, technologies and management practices that integrate
aquaculture and wild capture systems, joint attention on income and employment opportunities for women and youth,
and the contribution of aquaculture towards nutrition strategies.

For SSF, there is ample evidence that sustaining fisheries production through socially and gender-responsive and
inclusive policy research, stakeholder engagement, and capacity development to enhance governance arrangements can
deliver more equitable and increased economic benefits, improved safety nets for marginalized groups and increased
resilience to external shocks (Gutiérrez et al. 2011; Allison et al. 2012; Ratner et al. 2014). Flagship 2 on sustaining SSF
(FP2) pursues these innovations in inland fisheries, multifunctional landscapes (lake, river and mega-delta systems) and
coastal marine systems. Cross-flagship interactions include gender-integrated analysis and scenario development of
regional fish food systems that consider the role of trade and ecosystem change as drivers of change affecting food
security and nutrition goals, as well as the contribution of aquaculture to alternative livelihoods among coastal fishing
communities.

The program’s contributions to food security and nutrition rely on improving the productivity and sustainability of both
farmed and capture fish production. Thus, flagship 3 (FP3) helps improve nutrition by building on the outcomes of FP1
and FP2 through improving innovations in fish value chains, including gender-equitable and inclusive income generation,
employment and entrepreneurship, and reducing postharvest losses to improve access to affordable fish. FP3 research
also feeds back into priority-setting for FP1 and FP2, for example by studying nutritional outcomes to identify
opportunities to improve the nutritional value of farmed fish through changes in feed composition or species selection
in polyculture systems.

The ToC incorporates four change mechanisms, through which the program aims to realize progress from research
outputs to research outcomes, and ultimately to development impacts:

(a) Local adoption and dissemination of technologies and management practices comprises the initial application of
gender-responsive innovations and technologies, such as improved breeds, feeds and disease management practices in
aquaculture; equity- and effectiveness-enhancing governance innovations in fisheries management; and new processing
technologies to reduce postharvest waste and loss and produce fish-based products for women and children. These are
achieved through implementation partnerships and capacity development in selected sites within our focal geographies,
including government and NGO partnerships. The mechanism also includes the spread of these technologies and
practices through research innovation platforms at subnational or national levels, and their exchange through regional
networks.
Figure 2. CRP-level impact pathways and theory of change overview.

Cross-cu:ng
Change mechanisms Target SLOs and
Research flagships and outputs development
IDOs
outcomes

FP1. SUSTAINABLE AQUACULTURE

•  Improved and more resilient elite Gender-equitable REDUCED
(a) Local adopIon resource access, POVERTY
breeds of fish (Ilapia and carp)
and disseminaIon of control of assets, and •  Increased
•  Improved feeds, disease screening and
technologies and parIcipaIon in producIvity
management pracIces for fish health
management decision-making •  Increased
•  Improved fish farming pracIces and
pracIces incomes and
farming systems; business and

enterprise models for smallholders and employment

value chain actors

Improved climate


resilience in

aquaculture IMPROVED
(b) Private sector
producIon systems
FOOD AND

FP2. SUSTAINABLE SMALL-SCALE FISHERIES investment and and fisheries NUTRITION

•  Localized coastal fisheries management replicaIon of livelihoods

SECURITY FOR

innovaIve business
and broader-scale governance HEALTH
improvements
models in fish
•  Improved

•  AdaptaIon and miIgaIon acIons to producIon, diets for poor

processing and trade
Enhanced insItuIonal
minimize and reverse ecological and

capacity in public
impacts and negoIate tradeoffs vulnerable

sector and partner
between fish producIon and alternaIve people

research organizaIons
landscape uses

•  Analysis and scenario development at

regional scales to accelerate adopIon
IMPROVED
of appropriate policy and insItuIonal (c) Public sector

NATURAL
innovaIons policy improvement
RESOURCE
and insItuIonal Improved enabling
SYSTEMS AND
strengthening environment for
ECOSYSTEM
efficient value chains
SERVICES
and equitable


livelihoods •  Enhanced
FP3. ENHANCING CONTRIBUTION OF FISH
benefits from
TO NUTRITION AND HEALTH OF THE POOR
ecosystem
goods and
•  NutriIon-sensiIve aquaculture
services
producIon innovaIons
(d) Influence on ShiZs in investment
•  IntervenIons to reduce postharvest
policies and prioriIes pa[erns to enable
waste and loss in fish value chains
of civil society and fish-based
•  Improvements in nutriIon educaIon
development development soluIons
and behavioral change communicaIon
agencies
to increase fish consumpIon by infants,

young children and reproducIve-age

women





CRP-level learning processes



Foresight analysis addressing global,
Outcome evaluaIon to
Impact assessment addressing
regional and naIonal policy and
consolidate program-level
progress in program-level
economic drivers; climate change; prioriIes
learning on impact pathways and
contribuIons to SLOs and IDOs at
and opportuniIes for technology and
refine theories of change scale

insItuIonal innovaIons




Key risks and assumpIons associated with change mechanisms:
Corresponding strategies and risk management acIons:



(a) IdenIficaIon of best-bet technologies and pracIces appropriate
(a) EffecIve applicaIon of foresight analysis and ex ante parIcipatory

for scaling assessment

(b) EffecIve engagement of private enterprises and industry
(b) Screening of private sector partnerships on social, economic and
associaIons in support of equity and sustainability goals
environmental metrics

(c) Public sector partnerships with the potenIal to catalyze changes at
(c) Geographic prioriIzaIon considering policy environment and scaling

scale potenIal
(d) Sustained interest of civil society and development partners
(d) Quality mulI-stakeholder dialogue processes to target research
intervenIons


(b) Private sector investment and replication of innovative and gender-inclusive business models includes actions by
small- and medium-scale entrepreneurs, reached directly through our capacity development partnerships, as well as
large-scale aquaculture enterprises that we partner with to demonstrate the feasibility of a package of investments at
scale. It also includes subsequent scaling aided by robust evaluation of the financial returns and broader social,
economic and ecological sustainability of new business models, and communication of these through industry
associations and regional networks.

(c) Public sector policy improvement and institutional strengthening comprises improvements in the policy and
regulatory measures that affect the viability, scalability and equity implications of technologies, management practices
and organizational innovations. These include, for example, regulations addressing land use and agricultural
intensification, allocation of fishing rights, and approval of new fish-based products by food and health regulatory
bodies. Recognizing that the design of appropriate policies does not in itself ensure effective implementation, this
mechanism takes into account the institutional capacity development that is often required for public sector agencies to
fulfill their roles in these technical domains.

(d) Influence on policies and priorities of civil society and development agencies includes actions such as NGO partners
incorporating gender-responsive and inclusive aquaculture technology packages, fisheries management and livelihood
development strategies, or behavioral change communication tools for early childhood nutrition as part of their broader
programming in our focal countries and beyond. It also includes influence on the priority-setting of bilateral and
multilateral development agencies operating in the fields of agricultural innovation, rural livelihoods and food security in
coastal and aquatic landscapes, reflected in higher levels of investment in the solutions validated by program research.

These four overarching change mechanisms are interdependent, and a premise of the CRP-level ToC is that the
interaction of these mechanisms can contribute to the high-level outcomes in Figure 2. Combinations of these
mechanisms are also required to realize program objectives within individual clusters of activity. In section 2, these
mechanisms and their interactions are detailed for each flagship, including risks and assumptions for each change
mechanism and corresponding strategies and risk management actions. Cross-cutting development outcomes identified
in Figure 2 represent a summary of development outcomes detailed in the ToC for each FP.

At the CRP level, key risks and assumptions, as well as corresponding strategies and risk management actions, have been
incorporated into program design. These strategies include the use of foresight analysis and participatory assessment to
help identify best-bet technologies and practices for scaling; careful selection of private sector partnerships on the basis
of social, economic and environmental metrics; geographic prioritization considering the policy environment and scaling
potential through public sector partnerships; and multi-stakeholder dialogue engaging civil society and development
partners to aid in targeting of research and scaling.

Foresight analysis is embedded across the whole program, testing assumptions and providing guidance about the future
risks and opportunities within and across the key impact pathways. This includes mapping of fish production and
consumption patterns under future climatic conditions, specifying efficiency gaps and production limitations, and the
potential impacts of targeted aquaculture, fisheries and value chain, and nutrition innovations. Combined with multi-
stakeholder dialogue, this analysis is used to evaluate the feasibility, costs, benefits and risks associated with different
innovations. For each flagship, we have identified potential barriers and hypotheses concerning impact pathways
through consultation with multiple stakeholders, combined with analysis of previous research and the probability of
success for specific research innovations. On this basis, we have chosen to pursue research under each flagship in
locations where the need is high, where the barriers are amenable to applied research solutions, where the enabling
policy environment is judged to be favorable, and where there is potential to generate international public goods (IPGs)
that can achieve outcomes at significant scale.

Outcome evaluation and impact assessment will be pursued in an integrated fashion to test and improve our ability to
achieve results at both the CRP and flagship levels. Outcome evaluation will track our assumptions and risks regarding
mechanisms of change and our effectiveness in addressing them. We will use this learning to continuously refine the
targeting and design of research interventions, capacity development, partnerships and communication activities.
Impact assessment will measure quantitative progress towards achievement of our SLO and flagship outcome targets,
disaggregated to track benefits for men, women and youth. Outcome evaluation and impact assessment will drive
program-level learning and adaptation, and we will periodically adjust investment in our research areas and geographies
as we gather evidence on results.

We test the assumption that careful selection of partners in target countries and collaboration with policy stakeholders
and regional institutions will influence favorable policy and institutional changes to promote adoption of innovations at
scale. The ToC also assumes synergies realized with other elements of the overall CGIAR portfolio through site
integration and joint research on cross-cutting challenges, such as natural resource governance (PIM), climate change
impacts (CCAFS), food and nutrition strategies (A4NH), and landscape-level resource competition (WLE).

Just as at the CRP level, flagship-level theories of change are used to define the priority research areas by geography and
domain, key risks and measures to address these, and flagship-level monitoring and evaluation (M&E) strategies. This
includes quantitative analyses of the probability of success in achieving the impact targets and consideration of the
counterfactuals. Program- and flagship-level impact pathways and theories of change will be regularly assessed in
program performance management and learning activities and commissioned external reviews.

1.4 Gender

Gender analysis—applied from design through implementation and evaluation—enables the FISH CRP to reach its
overall aims. It does so by effectively identifying and addressing the gender dimensions of barriers and mechanisms of
change identified in the program’s ToC. By doing so, the program will both redress identified gender inequalities in
fisheries and aquaculture systems and associated value chains and increase development impacts of its research.
Specifically, combining research with capacity development, as well as scaling through targeted partnerships, the FISH
gender strategy contributes to gender inclusion, equity and equality in critical innovation and development processes.
This will enable lasting shifts towards reducing poverty, increasing food and nutritional security, and safeguarding fish
resources with and for women, men, girls and boys in target countries.

The gender strategy builds on learning from the L&F and AAS gender strategies and analysis of findings from gender
research in those programs, and integrates lessons from other CRPs and beyond. This gender analysis has informed the
CRP-level outcome targets and ToC, and the associated flagship objectives, theories of change, and derived research
questions and activities. This subsection elaborates the pathways to achieving gender outcomes within the ToC and
specifies how these will be monitored in FISH. Annex 3.4 presents a synthesis of the analysis that helped identify the
program’s gender priorities and the operationalization of gender research in the program.

Outcomes
FISH has targeted contributions to two gender-related sub-IDOs under the inclusion and equity achieved IDO: gender-
equitable control of productive assets and resources (XC 2.1.1) and improved capacity of women and young people to
participate in decision-making (XC 2.1.3). Additionally, through its research on aquaculture technologies and fish
processing, the program will contribute to the sub-IDO technologies that reduce women’s labor and energy expenditure.
Gender equity and equality in these areas are central to achieving other key program outcomes, in particular increased
productivity, improved diets for poor and vulnerable people, and enhanced benefits from ecosystem goods and services.
As noted by the CGIAR Gender Network (2016), closing the gender gap is good for women and for agriculture. Our
gender strategy aims to realize these dual gains in fish agri-food systems.

The key outcomes of the program’s gender research will be the following:
• Fish breeding and feed development programs and enterprises more effectively address and respond to women’s
needs in their technology development processes.
• Aquaculture extension applies innovations and capacity development that address barriers preventing women’s
equitable engagement.
• SSF management and governance policies, processes and capacities better address barriers to and enable women’s
effective participation and equitable benefits.
• Investment in and extension of nutrition-sensitive aquaculture and integrated fish-agriculture systems reflect and
respond to women’s needs in terms of technologies and practices, including innovations that can reduce their
workloads.
• Government, private sector and development organizations’ engagement in fish value chains is informed by
gendered insights and prioritizes strategies that protect and expand women’s safe and just engagement, enabling
them to build assets and generate more substantial returns.
• Nutrition programming increases equity in intra-household food sharing and expands women’s empowerment
through integrated strategies.
• Researchers and government, civil and private partners have strengthened commitment and enhanced capacity to
address gender inequities in these domains.

To achieve these outcomes, the program must address gendered barriers and opportunities in aquaculture and fisheries
(highlights are presented in Annex 3.4). These include the following:
• constraining and enabling factors to enhance women’s access to and control over productive assets and natural
resources;
• barriers to and opportunities for women’s successful wealth generation through entrepreneurship and
employment in fish value chains;
• factors in and strategies to enhance women’s equitable participation in household and community decisions about
SSF and food distribution;
• fit of aquaculture technologies with women’s needs and preferences;
• strategies to influence the formal and informal gender rules, norms and behaviors that shape all the above towards
gender equality, including the effective engagement of men and boys together with women and girls in gender-
transformative strategies.

Gender research in FISH addresses these priorities through strategic research questions that are integrated within
flagship research and also enable cross-flagship synthesis of lessons (Table 3).

Table 3. Strategic gender research questions.

Priority areas Research questions
Cross-cutting How and for whom do formal and informal gender rules, norms and practices shape development
processes and outcomes in aquaculture and fisheries, and what factors, strategies and tools can
enable constructive shifts in these so that they catalyze greater gender equality and equity?

What are the implications for how R&D interventions can most effectively engage women, men,
girls and boys?
Access to and Aquaculture
control over 1. What factors underlie gender imbalances in control of key assets (land, ponds, credit, inputs and
productive assets technologies, and income), and what strategies enable the equitable engagement of poor women in
and resources small-scale aquaculture production? With what effects on income, food security and women’s
empowerment?

Small-scale fisheries
2. Which assets and resources most benefit fisheries-dependent women, what factors underlie
their gender-imbalanced access and control, and what strategies protect or enable greater gender
equality in assets? With what effects on income, food security and women’s empowerment?
Opportunities for Aquaculture
enhancing 3. What are the most significant differences between women’s and men’s aspirations in
women’s wealth aquaculture value chains, and what are the enabling and constraining factors and most significant
generation strategies to enhance women’s wealth generation through fish-based entrepreneurial or
through income, employment opportunities? With what effects on income, food security and women’s
employment and empowerment?
entrepreneurship
Small-scale fisheries
4. What are the enabling factors and strategies for women to enhance their livelihoods in
fisheries-dependent communities, and can any of these be win-win in terms of returns for women
and sustaining ecological integrity in coastal and inland fisheries? With what effects on income,
food security and women’s empowerment?
Participation in Community scale
household and 5. Which scalable gender-transformative governance strategies enhance effective participation of
community women in natural resource and fisheries management and governance? To what extent for
decisions different women and how? What are the effects of gender equality in SSF decisions on
environmental and social priorities, and on income, food security and women’s empowerment?

Household scale
6. What scalable strategies constructively shift both gender norms and intra-household food
distribution towards gender equity? How and with what effects on women’s empowerment and
household nutrition?
 Fit of innovations Fish breeds, feeds and health innovations
with women’s 7. How do women’s and men’s preferences, needs and experiences with improved carp and tilapia
needs and strains differ? How do their needs and capacities in relation to fish nutrition and disease
preferences; prevention differ? What are the implications for effective priority setting in breeding programs
women’s labor and fish feed and disease and innovation development?
and time
burdens Nutrition-sensitive innovations and fish in multifunctional landscapes
8. How do women’s and men’s needs, preferences, capacities and experiences differ in terms of
technological and practical innovations in nutrient-rich, polyculture fish production systems, and
what are the implications for research and extension? How can these innovations positively
influence women’s nutrition and time and labor expenditure?

Gender research in the FISH ToC
Gender research in FISH seeks to overcome identified gendered barriers limiting women’s access to and control over key
assets and resources, effective participation in decisions, and equitable and substantive wealth generation and
livelihood benefits from fish value chains (see Annex 3.4). The program addresses gender and these barriers as
intersectional; i.e. they involve cross-cutting factors such as age, wealth, ethnicity and caste.

Our overarching ToC is that to successfully address these barriers, evidence-based, gender-focused innovations and
interventions must be undertaken by research, government, civil society and development agencies, and other actors—
and most importantly by women, men, girls and boys themselves. Moreover, both formal and informal barriers need to
be addressed to effect lasting change. Such interventions range from gender-sensitive technologies and innovation
processes to women-targeted opportunities and gender-transformative strategies embedded in extension, nutrition and
capacity development programming. We hypothesize that together these will lead to increases in women’s agency and
empowerment, as well as a more level ‘playing field’ in aquaculture and fisheries systems. This will enable greater
gender equality in access to, control over and benefit from aquaculture and fisheries assets and resources; effective
participation of women in fisheries resource management and governance; and more successful and lucrative
engagement in fish value chains, including in arenas from which they were previously marginalized. As well as improving
women’s income and livelihood opportunities, these outcomes will enhance benefits from ecosystems and positively
influence fish production and equitable distribution, leading to reduced poverty and enhanced food and nutrition
security for women, men and children.

Flagship 1 will identify, develop and test strategies and models to overcome the constraints that limit poor women’s
engagement in small-scale aquaculture production. First, it will address the identified constraint that fish breeding and
feed innovations do not reflect or respond to the needs and opportunities of women. We hypothesize that more
gender-sensitive and women-targeted breeding, feed and disease innovations will make small-scale aquaculture
production more accessible to women and enable them to realize productivity and livelihood gains. Second, it will
address the identified constraints of gender-inequitable norms and practices that limit women’s ability to engage in and
benefit from aquaculture extension. Based on preliminary investigations in focal countries under AAS, we hypothesize
that integrating gender-transformative strategies with technical aquaculture capacity development in extension services
can significantly contribute to overcoming these barriers, and thus enable women to better engage in and contribute to
fish production.

Flagship 2 gender research will focus on overcoming barriers that have led to widespread underrepresentation of
women in decision-making regarding SSF management. The research will identify underlying formal and informal
factors, as well as governance and management models and strategies to address the barriers and build capacity of both
women and men for gender-equitable engagement in governance and management. We hypothesize that enhancing
women’s engagement in decision-making will constructively influence both SSF management implementation and
livelihood outcomes for women and men. Scaling the research products to NGOs and government through partnerships,
networks, gender capacity development processes, and policy dialogues and input, the research will enable these actors
to catalyze, support and engage in more equitable governance and management processes.

Flagship 3 addresses factors that limit women’s opportunities for and nutritional benefits from small-fish, nutrition-
oriented fish production systems. First, it will address the identified barrier that existing homestead aquaculture
harvesting technologies are a poor fit with women’s needs and other factors such as multiple burdens on women’s time.
We hypothesize that better-fit harvesting technologies and associated women-targeted strategies, such as pond
location and gender-responsive rice field system practices, will give women greater control of small-fish harvest, leading
to increases in availability and consumption of small, nutritious fish in poor households. Second, it will address the
inequitable gender norms identified as contributing to intra-household food-sharing patterns that prevent women—
particularly pregnant and lactating women—from meeting their nutritional needs. We hypothesize that nutrition
programming that integrates gender-transformative strategies with nutritional messaging around fish will empower
women to improve gender-equitable food allocation within households.

Finally, all three flagships address the barriers that relegate women to lower returns and the lower value nodes of fish
value chains, and build on enabling factors and strategies that can enhance women’s engagement and returns. Our ex
ante analysis indicates the need for the program to address three issues:
1. Access to information. There is a need for information regarding the most significant assets underpinning women’s
livelihoods and potential for successful and substantive entrepreneurial activities from aquaculture and fisheries
(such as credit, storage, skills, or access to social networks or service organizations), and how various factors limit
or enable women’s access to and control over these assets (FP1 & FP2). We recognize potential risks and tradeoffs,
such as safeguarding assets and resources for women versus protecting fish stocks in SSF management
interventions (FP2), or consumer-oriented value chain interventions to lower fish prices, which may also affect
incomes of women producers and traders (FP3). Hypothesizing that win-win options are possible and feasible, the
program will identify, prioritize and test best-bet intervention options.
2. Access to assets and power relations. Gender-inequitable access to and/or control over credit, land, storage, and
other key assets and resources, as well as gender barriers such as women’s limited mobility and bargaining power,
constrain women’s share of and returns from value chains. In response, the research will identify and test strategies
to increase women’s access to and control over these assets and resources and expand the strategic capabilities
needed for gender-equitable success in value chains, including mobility, networks and social organization. This will
include building on successful AAS-piloted gender-transformative approaches integrated into microcredit models
(FP1 & FP2). In conjunction, it will build on and test strategies from preliminary research conducted under L&F
addressing gender power relations that limit women’s returns, including strategies for collective empowerment of
women retailers (FP1).
3. Market, social and gender barriers. These barriers limit women entering higher-return value chain opportunities.
We hypothesize that, in conjunction with addressing these barriers, the identification and development of novel
entrepreneurial entry points may increase accessibility of wealth-generating opportunities and leadership roles for
women, rather than competing for existing male-dominated nodes. FP1 and FP3 will identify and empirically test
two such novel areas: locally sourced fish feed development and sales (FP1), and the production and retailing of
fish products, including for infants and children (FP3).

Programmatic integration of gender research in FISH
The flagships will test the above hypotheses through empirical quantitative and qualitative studies, including pre- and
post-assessments and action research. These findings will be synthesized into technical, organizational and policy
recommendations, and will be scaled through proactive partnerships and capacity development activities. Targeted
research products reflecting these findings include field-based videos and manuals, solicited policy advice, and peer-
reviewed journal articles to support broader exchange of lessons beyond our focal geographies.

M&E for gender research will include three aspects, each of which will be carried out in connection with the overall
program M&E strategy as appropriate: development and testing of needed methods, tools and (survey) instruments for
assessing gender-transformative change and women’s empowerment; M&E for gender learning and program
improvement; and, M&E of gender integration and outputs in FISH research, as well as of selected research and
development outcomes (see Annex 3.4).

1.5 Youth

The FISH CRP adopts a youth-responsive research agenda that targets young men and women, focused on two key
aspects. First, we seek to promote and increase opportunities for socially just, safe and rewarding youth employment
and entrepreneurship in aquaculture and SSF value chains, particularly through FP1 and FP2 in the FISH focal countries.
This includes proof of concept for approaches that enable youth to develop technical and organizational capacities in
aquaculture production and input supply, as well as processing and trade within various elements of the aquaculture
and capture fisheries value chains.

Second, research on governance, management and technological innovations will purposefully engage young people
and determine the factors and processes that enable or hinder youth participation and representation in decision-
making, as well as access to training, credit and other enablers of employment and entrepreneurship. This will enable us
to better determine the most appropriate entry points and opportunities to pursue with regard to youth in aquaculture
and SSF under FP1 and FP2. In FP3, adolescents will be key in influencing behavior change through school curricula and
other channels to raise awareness on the importance of fish to improve nutrition for pregnant and lactating women and
for infants and young children.

Through earlier experiences, we have found that where youth have been involved in research and management of
research initiatives, there has been greater success; for example, through higher quality and sustainability of resource
monitoring. We will engage more fully in understanding youth aspirations and support them to have a voice in program-
related decisions, particularly in on-site research interventions.

The program strategy for delivering benefits to youth is detailed in Annex 3.5.

1.6 Program structure and flagship projects

The overarching research question for the program is: how can we optimize the joint contributions of aquaculture,
small-scale fisheries and fish value chains in select geographies to reduce poverty and improve food and nutrition
security, while enhancing environmental sustainability? A simplified illustration of some of the main linkages among
flagships and clusters is provided in Figure 3.

Figure 3. FISH program internal linkages: Integrated research on fish agri-food systems. Selected linkages shown for
illustrative purposes only. Linkages among flagships and clusters are detailed in section 2.

Flagship 1: Sustainable aquaculture
FP1 focuses on the key research question: How can productivity-improving technologies and management practices
enable aquaculture to achieve its fullest contribution to equitable livelihoods and food and nutrition security while
delivering environmental benefits?

Cluster 1: Fish breeds and genetics. Building on prior selective breeding of Genetically Improved Farmed Tilapia (GIFT),
cluster 1 will develop and apply advanced molecular genetics and genetic tools in collaboration with the CGIAR Genetic
Gains Platform and others. The outputs will be delivered via existing and new breeding programs in South Asia and
Africa. It will provide a baseline for assessing new traits, including increased resilience to pathogens and production
environments, immune competence, reproduction, metabolic efficiency, and nutrient composition.

Cluster 2: Feeds, fish nutrition and health. This cluster will initiate new fish health research and partnerships with
government agencies and companies specializing in disease diagnosis and prevention. We will build capacity to detect
disease at breeding nuclei, multiplication centers, hatcheries and farms, and then develop disease prevention and
control strategies, including breeding for disease resistance (with cluster 1). A key research focus is improving our
understanding of fish nutritional requirements and developing sustainable aquafeeds with ingredients that provide cost-
effective and socially acceptable alternatives to wild-harvest fishmeal, while also increasing nutritional benefits to
consumers (with FP3). Partners will provide access to novel technology, including the use of microbial processes to
bioconvert plant discards such as rice and cassava waste into bioactive aquafeed ingredients.

Cluster 3: Aquaculture systems. Fish farmers’ ability to benefit from improved seedstock (cluster 1) and enhanced fish
health and sustainable feeds (cluster 2) is influenced by gendered barriers and variations in farm management practices.
Cluster 3 will assess different models for integrating improved breeds, health and feeds for gender-responsive
sustainable intensification. Life cycle analysis and foresight modeling will provide insights into the social and
environmental implications of aquaculture growth. For farm-scale enterprises we will prioritize innovations that create
new engagement, employment and enterprise opportunities for youth and women. These include novel aquafeed
production systems next to production ponds and new ways to recapture otherwise wasted fish pond nutrients.

Flagship 2: Sustaining small-scale fisheries
FP2 focuses on the key research question: What are the most effective routes to improve governance of SSF amid social,
economic and ecological change, in ways that sustain and increase contributions to food and nutrition security and
livelihoods of the poor?

Cluster 1: Resilient coastal fisheries. This cluster focuses on sustaining production from small-scale coastal fisheries,
along with gender- and socially equitable access to resources and benefit streams. Research will be conducted in
partnership with fishing communities, NGOs, and provincial, national and regional agencies addressing fisheries and
food security. This research will link localized fisheries management innovations to broader-scale governance
improvements through policy analysis and institutional strengthening.

Cluster 2: Fish in multifunctional landscapes. This cluster addresses how inland fisheries production can be sustained in
multifunctional landscapes, where major threats include land-use changes, hydropower development and climate
change. Many SSF in the focal geographies are closely interlinked with aquaculture and crops, as in the case of rice field
fisheries. Rice-fish systems are often based on recruitment of wild seedstock supplemented with hatchery-reared
seedstock. In close alignment with FP1, research innovations aim to improve overall productivity, along with adaptation
and mitigation to minimize and reverse ecological impacts through improved water management, based on an
understanding of rural livelihoods and coping strategies.

Cluster 3: Fish in regional food systems. This cluster integrates place-based research on SSF and their drivers of change
with the evolving role of fish in regional food security. Analyses and scenario development will focus on the East Africa
and Pacific coastal systems, African Great Lakes, and Asian mega-deltas, with particular focus on the dynamics of
intraregional fish trade. These analyses will underpin multi-stakeholder dialogue to identify and implement
improvements in policies and institutions that incentivize sustainable management while delivering food security and
wealth generation benefits for the poor.

Flagship 3: Enhancing the contribution of fish to nutrition and health of the poor
FP3 addresses the key research question: How can we best leverage innovations in fish production and value chains to
increase the consumption of safe, nutritious fish by poor consumers, especially women and small children?

Cluster 1: Nutrition-sensitive aquaculture production. This cluster seeks to overcome technological barriers to
maximizing the production of fish in pond polyculture systems and rice field fisheries that are widespread throughout
South and Southeast Asia. For example, in Bangladesh, research will focus on testing approaches to increasing
productivity of mola, a nutritious small indigenous fish species, through breeding, increasing stocking density, pond
management and harvesting frequency, linking to parallel research on tilapia and carp in FP1. To address the low
participation of women in small-fish harvesting, we will assess women’s specific needs regarding harvesting
technologies and develop and test women-targeted technologies, alongside strategies for enabling youth employment.

Cluster 2: Reducing waste and loss in fish value chains. This cluster seeks to overcome processing and marketing
obstacles that reduce the availability and affordability of fish to poor consumers. We will test gender-inclusive
technological, market and institutional approaches to reducing waste in the small fish value chain from the Great Lakes
to much of eastern and southern Africa. In South Asia, we will focus on the dried fish value chain in northeastern
Bangladesh and the aquaculture value chain from southwest Bangladesh. This research links to the outputs of FP1 and
FP2, aiming to identify inefficiencies and hotspots of losses, including gender barriers, and then design and test gender-
inclusive solutions, such as improved processing, handling and storage technologies, as well as institutional innovations
that reduce barriers to trade.

Cluster 3: Fish for nutrition and health of women and children. This cluster focuses on research to increase
consumption of fish in the first 1000 days of life. Despite its rich nutritional value, fish is seldom fed to infants aged 6–12
months in low-income countries. This nutritional loss is compounded by gendered intra-household norms leading to low
levels of fish consumption by women, even when pregnant and lactating. We will conduct research to understand,
develop and test approaches to overcome these barriers, including gender-transformative behavior change
communication. Based on promising early innovations, we hypothesize that these tools can lead to both significant
increases in the fish consumption of these nutritionally vulnerable groups and increased gender equality in household
decision-making.

1.7 Cross-CRP collaboration and site integration

As part of an integrated portfolio of CGIAR research programs, FISH has been designed to leverage high-priority
synergies that contribute directly to delivering research outputs and realizing development outcomes in line with the
program TOC.

The program will collaborate with four global integrative CRPs:
• Policies, Institutions and Markets (PIM). Making smart choices among various agricultural technologies and
investment options requires a comparative perspective across food production sectors; therefore, we will continue
analysis of aquaculture technology options as part of global foresight modeling led by PIM. Additional linkages with
PIM focus on opportunities to jointly develop and leverage comparative lessons and tools—notably for value chain
assessment, gender-equitable livelihoods development, and policies to improve natural resource governance.
• Climate Change, Agriculture and Food Security (CCAFS). To identify adaptation options most appropriate to
expected future climate regimes, we will partner with CCAFS to analyze the impacts of climate change on fish
production and associated livelihoods in our target geographies. As part of our scaling strategy to aid in influencing
policies and investments targeting future climate-smart agriculture, we will work with CCAFS to communicate
evidence on climate-smart aquaculture options (such as water-use efficiency, disease management and responses
to salinization in coastal deltas), as well as adaptation responses in floodplain and reef fisheries.
• Agriculture for Nutrition and Health (A4NH). Fish provide exceptional nutritional benefits but remain poorly
represented in nutrition strategies of national governments and development agencies. Our partnership with A4NH
will address this gap by strengthening the evidence on nutritional outcomes and disseminating cost-effective
solutions for nutrition-sensitive fish production, processing and behavioral change benefiting women and children.
We will also partner on risk assessment and mitigation for fish food safety.
• Water, Land and Ecosystems (WLE). The productivity and sustainability of inland fisheries depend critically on
changes in the broader landscape, notably water resource infrastructure and land-use change. Our partnership with
WLE seeks to ensure that deliberations over basin and watershed-scale resource competition and development
scenarios address fisheries outcomes. At more local landscape scales, we will partner to optimize water
management in crop and fish production, and to manage water quality and pollution risks associated with
aquaculture intensification.

Additional, targeted linkages include those between the aquaculture breeds research and the CGIAR platforms on
Genetic Gains and Big Data. Particular site integration activities also include links with RICE on integrated rice-fish
systems; Roots, Tubers and Bananas (RTB) on cassava waste inputs to novel aquafeeds; and Livestock on animal health
and feeds. An overview of cross-CRP integration is provided in Annex 3.7.

Primary countries for site integration are Bangladesh, Nigeria, Tanzania and Zambia, where we will seek to partner with
PIM, A4NH and CCAFS on analyses of opportunities to integrate fish-based solutions in support of national policies on
food security, nutrition and climate change adaptation. Site-specific integration will also be pursued in these countries,
as well as in Cambodia and Myanmar. Details of cross-CRP research as part of site integration plans are provided in
Annex 3.7, Table 2a, along with the status of country and partner engagements to advance this site integration in Table
2b.

1.8 Partnerships and comparative advantage

The FISH CRP brings together a unique set of multi-stakeholder partnerships to harness emerging science in aquaculture
and fisheries to deliver improved development outcomes at scale. We will exploit three elements of comparative
advantage: (1) a globally unique research capability from within CGIAR and our research partners targeted at the specific
objectives of each flagship; (2) unique resources maintained by FISH partners that cannot be readily replicated by other
research providers, including (in aquaculture) GIFT and other farmed fish stocks developed by WorldFish, and (in
fisheries) the ReefBase and Coral Triangle Atlas databases; and (3) a unique track record in convening dialogue and
mutually beneficial collaborations in countries where we work. The partnership brought together through FISH is further
distinguished by our emphasis on generating IPGs that would not be delivered by national research partners, NGOs and
other development actors or the private sector.

FISH will be led by WorldFish, together with the International Water Management Institute (IWMI) and three advanced
research institutes: the Aquaculture and Fisheries Group at Wageningen University (WUR), the Australian Research
Council Centre of Excellence in Coral Reef Studies at James Cook University (JCU), and the Natural Resources Institute at
University of Greenwich (NRI). This partnership leverages the close alignment between the program’s strategic goals and
the mandate of WorldFish; the expertise and networks of IWMI in water management, governance and resilience; and
science capacity from beyond CGIAR essential to address the specific hurdles identified in the program’s theories of
change. WUR will bring leading-edge science capacity in fish nutrition, health and aquaculture feeds development in
FP1; JCU will bring a network of leading research institutions focusing on coral reef ecosystem goods and services in FP2;
and NRI brings expertise in fisheries postharvest technology and food safety. Each managing partner will lead a cluster
of activity in its respective flagship.

The program will complement the research capability of WorldFish and the managing partners through partnerships
with a range of advanced research institutes, and at national level through the National Agricultural Research and
Extension Systems (NARES) in the countries where we will work. For example, in FP1, the University of Stirling and the
Commonwealth Scientific and Industrial Research Organisation (CSIRO) will provide expertise in aquafeeds and fish
health, and the Bangladesh Agricultural University and Khulna University will lead specific areas of research on fish
nutrition. Similarly in FP3, the Johns Hopkins University School of Public Health will bring expertise to the design of
randomized control trials testing the impact of consumption of fish and fish-based products on health, pregnancy and
child development.

The program builds on strong development partnerships established through earlier research of program partners,
including AAS and L&F. These include close collaboration with national government agencies, NGOs and the private
sector in the prioritization and design of research and scaling activities. For example, in Bangladesh, FISH flagships
address priorities of the Country Investment Plan and, through FP1, the National Aquaculture Development Strategy and
Action Plan (2013–2020). At regional level, we draw on strong partnerships to identify and scale research priorities. For
example, in Africa, the program reflects the regional priorities of the African Union (AU)’s newly developed Africa
Aquaculture Action Plan. We will pursue national priorities under this framework and strengthen our existing
partnership with the Inter-African Bureau for Animal Resources (AU-IBAR) and New Partnership for Africa's
Development (AU-NEPAD) to achieve scale.

Details of the program partnership strategy are provided in Annex 3.2.
1.9 Evidence of demand and stakeholder commitment

The FISH CRP responds to the priority given to fisheries and aquaculture by national governments in Africa, Asia and the
Pacific. In 2014, the Joint Conference of African Ministers of Agriculture, Rural Development, Fisheries and Aquaculture
highlighted the role of fisheries in achieving the 6% annual agricultural growth envisaged by the Comprehensive African
Agriculture Development Program (CAADP), and called for development of “fisheries and aquaculture as an integral
component of sustaining the CAADP results framework” (AU 2014). In support of this policy focus, the AU-NEPAD and
AU-IBAR have identified intra-African fisheries trade and aquaculture development as key priorities for investment. At
the national level, 30 of the 40 countries that have signed CAADP compacts have identified fisheries and aquaculture as
one of the key drivers of agriculture sector growth. Similarly, while fisheries and aquaculture have long been policy
priorities in Asia, recent analyses have shown the need to double regional fish supply from aquaculture by 2030 (World
Bank 2013). In response, improving the sustainability of capture fisheries and the sustainable development of
aquaculture are receiving renewed priority within national and regional policies and plans, including those of the
Association of Southeast Asian Nations (ASEAN) and the South Asian Association for Regional Cooperation (SAARC). In
the Pacific, fish is the most important natural resource for the majority of countries and plays a central role in regional
development, as recognized in regional policies such as the Vava’u Declaration (Vava’u 2007), the Apia Policy (Apia
2008) and the regional policy, The Future of Fisheries (Gillett and Cartwright 2010).

In response to this strategic demand, we are targeting critical barriers that prevent aquaculture and fisheries from
realizing their full potential to help meet the SDGs. To do so, our specific research priorities have been identified in close
collaboration with regional, national and local partners. For example, in Africa, we address priorities identified within
the AU’s Pan-African Plan of Action for sustainable aquaculture development, developed by AU-IBAR with the assistance
of WorldFish. Similarly in the Pacific, WorldFish has worked closely with the Secretariat of the Pacific Community (SPC)
to convene a series of policy dialogues to establish a research and policy agenda that integrates fisheries and
aquaculture considerations into policies to combat climate change and improve diets; we will help address these
priorities.

At the national level, FISH has been designed in partnership with national and local stakeholders to reflect their
priorities. For example, in Bangladesh, the program responds to the fisheries and aquaculture priorities of the Country
Investment Plan. The specific barriers to aquaculture development on which we focus have been identified through
extensive consultation with women and men farmers, national research institutions, and development partners.
Similarly in the Pacific, we build on the policy partnership with SPC to pursue priorities agreed upon with national
governments, including in Solomon Islands, for example, where the national fisheries strategy emphasizes the
importance of resilient inshore fisheries for national food security and wellbeing, and looks to CGIAR as an important
international partner providing science in support of this priority. In Africa, the specific aquaculture research priorities
for FISH have been informed by the long-standing partnerships with key stakeholders in the aquaculture sector. For
example, we focus on improved feeds and fish health to overcome the specific challenges being encountered by farmers
as aquaculture has grown in importance and recognition of barriers to sustainability has risen.

1.10 Capacity development

Capacity development role in impact pathway
As a strategic enabler of impact, capacity development is important in all four change mechanisms of the FISH ToC
and is required to support movement from research outputs of the three flagships to research outcomes and
ultimately to development outcomes. For each change mechanism of the ToC, capacities of key stakeholders along
the pathway are identified. These include capacity of aquaculture farmers to assess technology needs and apply
improved practices, and of fishing communities to implement co-management (change mechanism a); capacity of
private investors to identify appropriate opportunities and enterprises to adopt innovative business models (change
mechanism b); public sector capacity to design and implement policy and regulatory measures that affect the
viability of scalable technologies, management practices and organizational innovations (change mechanism c); and
civil society capacity to promote solutions drawing on research evidence, as well as the capacity of development
agencies to integrate these into their programming and investment priorities (change mechanism d). In sum,
capacity development implemented along FISH impact pathways will contribute to the following cross-cutting sub-
IDOs at the CRP level: enhanced institutional capacity in public sector and private research organizations and
improved capacity of women and youth to participate in decision-making. Further, each flagship has identified cross-
cutting capacity sub-IDOs within their theories of change guiding strategic capacity development actions.

3.5.2 Strategic capacity development actions (see CapDev 3.5.3 Please indicate any indicators- from the
Framework) CapDev Indicators document or other - that
Intensity of implementation of Give an indication of how could be used to track progress and contribution
chosen elements (Please indicate chosen elements will be to CapDev sub-IDOs
High, Medium, Low) Note: it is implemented (Note: more
expected that no more than 3-4 space available for full
elements would be implemented plan in Annex)
at High intensity
Capacity needs High All flagships will invest in (Adapted) needs assessment methodologies
assessment and detailed capacity needs available in published form; proportion of
intervention strategy assessments and capacity development budget allocated to
design intervention strategy interventions consistent with capacity needs
design at the start of the assessment recommendations (disaggregated by
CRP2 cycle and revisit implementing organization and flagship)
throughout through after-
action reviews (part of
program M&E for learning).
Design and delivery High All flagships will use a Proportion of learning materials developed for
of innovative systems approach with external audiences piloted with representative
learning materials blended learning audiences; participant evaluation of training and
and approaches methodology, build on workshops to assess increase in knowledge and
existing quality materials skills; number of people trained (disaggregated
and develop new tailored by gender, job or role, location, and literacy)
materials as required.
Develop CRP and Medium Flagships will identify gaps Biannual survey of partner satisfaction
centers’ partnering and interventions to
capacities increase the capacity of
scientists to partner to
achieve target outcomes.
Develop future Low FP1 and FP3 will support
research leaders internships and
through fellowships postgraduate students with
research partners and
tertiary education
institutes.
Apply gender- High In partnership with the Proportion of capacity needs assessments that
sensitive approaches gender teams and youth proactively target women and youth; number of
throughout capacity experts, gender and youth capacity development activities focusing on
development dimensions are gender approaches and toolkits initiated
incorporated into capacity (disaggregated by type)
development activities
throughout the flagships.
Institutional High All flagships will support Number of institutional assessments conducted
strengthening the outcome of public with national agricultural research systems
sector capacity to design (NARS); number of policy decisions informed by
and implement policy and engagement and information provided by FISH;
regulatory measures that outcome evaluation citing improved institutional
affect the viability of capacity in achievement of other FISH outcomes
scalable technologies,
management practices and
organizational innovations
for aquaculture, fisheries
and nutrition outcomes
through specific strategies
designed as part of their
engagement agenda.
Monitoring and Medium As part of the program’s Budget (including staff time) allocated to M&E of
 evaluation (M&E) of M&E system, capacity capacity development activities; treatment of
capacity development indicators capacity development within program M&E and
development will be monitored to impact assessment reports, including Center
support adaptive Commissioned External Reviews
management and
measures’ contribution to
cross-cutting sub-IDOs.
Organizational Low Organizational
development development will be
pursued as appropriate
within the work on
institutional strengthening.
Research on capacity Low Research on capacity
development development will be
implemented through
flagship research.
Capacity to innovate Low Capacity to innovate will be
addressed within research
promoting aquaculture
innovation platforms (FP1)
and capacity for social-
ecological resilience (FP2).

1.11 Program management and governance

FISH is a new CRP and, as such, a new governance, leadership and management structure will be established. An
Independent Steering Committee (ISC) of six to eight members will be appointed, with a majority from outside CGIAR.
The membership will represent a balance of disciplinary expertise (aquaculture, SSF, value chains, gender and youth), as
well as gender and national diversity, with representatives from focal continents (one from Africa and one from Asia),
representatives from end-user bodies (aquaculture and SSF), one seat for WorldFish as the lead center (normally the
Director General or Board Chair), and one from the co-managing CGIAR center (IWMI). The chair will serve for three
years, renewable for a further three years. Members will normally be appointed for three years, but terms of two to
four years will be used in the first instance to establish a staggered turnover in membership. Members may be renewed
once, based on a recommendation from the chair of the ISC. The ISC will meet twice per year with additional virtual
meetings as required. As lead center, the WorldFish Board of Trustees (BoT) will be the accountable governance body
for FISH. As recommended in the final report of the CRP governance and management review (2014), the ISC is a single
balanced governing body that reports directly to the WorldFish BoT on the performance of the program. The reporting
and advice of the ISC includes matters of science content, quality and delivery, risk management, budget allocations
within the CRP, bilateral resource mobilization and alignment, and financial accounting and auditing. This provides the
WorldFish BoT with an independent mechanism for assuring program performance, maintains their accountability
function in program agreements, eliminates duplicative structures and contributes to more efficient decision-making.

The CRP director will be a full-time position appointed by WorldFish upon the recommendation of the ISC, selected
through international recruitment on the basis of proven scientific and program leadership skills. The CRP director will
report programmatically to the ISC and administratively to the Director General of WorldFish. The director will have
overall accountability for program delivery. A management committee (MC) will be established to support the CRP
director in achieving timely and effective implementation, budgeting and reporting. The MC will consist of
representatives of managing partners (IWMI, WUR, JCU, NRI), together with flagship leaders, the program’s gender
research leader, and the head of M&E. The MC will be chaired by the CRP director.

Flagship leaders will
• provide overall strategic leadership for flagship research;
• work with cluster leaders, scientists and other flagship leaders to develop and oversee execution of the research
agenda for the flagship;
• lead identification and negotiation of significant strategic science partnerships to strengthen links between the
flagship science team and leaders in the appropriate body of science.

Cluster leaders will
• provide overall strategic leadership for cluster research;
• work with contributing scientists to develop and oversee execution of the research agenda for the cluster; lead
identification and negotiation of significant strategic science partnerships for the cluster.

In alignment with WorldFish responsibilities, the CRP director will be responsible for ensuring adherence to the CRP risk
management strategy, including regular review of key risks and response actions with the ISC. The CRP director will lead
the implementation of the program results-based management system (Annex 3.6), reporting on a twice-yearly basis to
the ISC, in addition to CGIAR reporting requirements. The CRP director will also be responsible for ensuring effective
communication with the CRP focal countries and research, government and NGO partnership and practitioner networks,
including effective cross-CRP collaboration and site integration. Further, the CRP director will oversee implementation of
the CRP capacity development agenda and uphold commitments regarding intellectual asset management, open access
and communications.

For efficiency, rather than establish a separate program support unit, administrative support to the CRP director and MC
will be provided by the research support, finance, communications and administration functions of WorldFish, with clear
specification of the services provided through allocation of program budget, and semi-annual review of those services
for quality and cost-effectiveness. These services will include support to activity planning and output monitoring, budget
planning and financial management, research ethics review, research data management, publications, and internal and
external program communications. However, the roles of the CRP director and MC will be clearly distinguished from the
hierarchy and reporting lines of WorldFish management. The CRP director will have the authority and independence to
manage for results.

A summary of program staffing, including CVs of key science positions, is provided in Annex 3.8.

1.12 Intellectual asset management

WorldFish, as the lead center, will oversee compliance with the CGIAR Intellectual Asset Principles and the subsidiary
CGIAR Open Access and Data Management Policy, which have been adopted by the WorldFish Board. This policy
framework requires that all CGIAR information products be open access, including peer-reviewed journal articles;
reports and other papers; books and book chapters; data and databases; data collection and analysis tools; video, audio
and images; computer software; web services; and metadata. Key exceptions include information that is sensitive due to
privacy concerns, political sensitivity or adverse effects on farmers’ rights and confidential information associated with
permitted restrictions or subject to limited delays to seek intellectual property (IP) rights.

Information products produced by implementing centers and partners are subject to these policies. Mechanisms to
ensure compliance include intellectual asset obligations in staff contracts and partner agreements, a tracking system of
databases and publications in progress, checking that partners follow prior informed consent and confidentiality
principles in data collection and storage, and centralized data management protocols.

WorldFish bases its data preservation strategy on the Open Archival Information System (OAIS) reference model (ISO
14721:2012); the repository system will provide long-term access to submitted works along with associated metadata.
Files will be backed up in a secure and redundant manner, periodically refreshing the storage media, and migrating
obsolete formats to recommended open file formats.

Capabilities to support implementation are centered in a WorldFish research support hub, including a research data
management support specialist, database specialist, and administrative staff dedicated to publications tracking and
management, along with a grants and contracts unit and legal advisory services.

An explanation of the objectives of the CRP for IP is in Annex 3.10.

1.13 Open access management

For FISH peer-reviewed research publications, FISH scientists will be encouraged to publish in open access journals. In
those instances where publishing in fee-paying journals is preferred, the program will purchase open access privileges.
To ensure proper deposit of journal articles, a pipeline tracking system will be implemented to ensure the program has a
clear view of the journal articles and other external publications (e.g. book chapters) to be produced each year, and to
ensure that fees for open access are included in the communications budget. The program will use Creative Commons
licensing on its self-published information products.

Where access to patented technology is required, such as the CSIRO aquafeed technology, we will negotiate the terms
and conditions of the FISH CRP license to operate. We will adopt this same approach for other patented technologies,
including disease screening and prevention technologies.

Open access database products produced and maintained by the program will include geo-tagged data on the genetic
characteristics of farmed fish species, comparative data on implementing fisheries management regimes, and estimates
on fish postharvest waste and losses in different locations (see flagship descriptions for additional detail). Where
appropriate global database projects exist, data collection and storage protocols will be designed to contribute to these.
Completed databases will be shared through the Dataverse platform. The program will track and assess the impact of
open access and open data, and will coordinate with the CGIAR Open Access Implementation Working Group to design
and implement measures of success. A detailed explanation of the objectives of the CRP for data management is
included in Annex 3.9.

1.14 Communications strategy

Effective communications are essential to achieving impact through the four change mechanisms detailed in our ToC.
We will focus on the following:

• Practitioner guidance to enable adoption of technologies and management practices, for example on improved fish
feeds or measures to reduce fish loss and waste in the value chain. Draws on applied innovation research, including
multi-stakeholder innovation platforms, focuses on capacity development, and supports change mechanisms a and
b.

• Evidence, learning and exchange on technologies and innovations shared via peer-reviewed literature, outcome
stories and evidence-based narratives focused on FISH-generated science. Draws on outcome evaluation and
impact assessment and supports change mechanisms b, c and d.

• Policy dialogue demonstrating the value of fisheries and aquaculture as a means to address national and regional
food and nutrition security and poverty reduction goals, and evidence to support the analysis of policy alternatives,
including foresight and scenario analysis. Supports change mechanisms c and d.

FISH communications capacity will support a comprehensive and proactive media outreach approach; dedicated and
active support for online resources, such as a dedicated website and building communities via social media and print
publications; and development, coordination and participation in strategic events and policy initiatives. The program
will embrace a culture of knowledge sharing and learning that sustains productive relationships, partnerships and
networks, including linkages across CRPs. Flagship teams will be supported to integrate communications activities into
their research and scaling plans, taking into account the abilities of different communities to access information. We will
also provide publicly accessible reporting on progress towards outcomes, demonstrating accountability towards funders,
partners and local stakeholders.

1.15 Risk management

Risk management is an integral part of FISH design and implementation. The program and flagship level impact
pathways and theories of change specify risks and assumptions, and corresponding risk management actions. At an
institutional level WorldFish is the lead Center for the program, and so FISH will comply with the WorldFish risk
management standards, codes of practice and policy. Within this broader framework, we will focus on five
programmatic risks that we judge to be of particular significance.

Loss of strategic focus. External review of the pre-proposal highlighted the importance of aligning the program’s
research strategy with clear impact pathways and associated theories of change, and using these to develop and
maintain a sharp focus for the program’s research. This concern has been addressed in the full proposal by focusing the
program’s research on key barriers along the impact pathways identified for each flagship, and the mechanisms of
change required to address these. During implementation, program management and the ISC will continue to use the
impact pathways and theories of change as an organizing framework to track progress and maintain this strategic focus,
informed by the results based management system (Annex 3.6).

Ineffective partnerships. The proposal highlights the pervasive importance of effective partnerships for successful
program implementation. If our partnerships do not meet this standard, the program will not succeed. We will manage
this risk by a sustained focus on implementing the program’s partnership strategy (Annex 3.2), including emphasis on
clarifying the roles and responsibilities of program partners and ensuring that these are mutually understood,
strengthening the capacity of staff to work effectively in partnership, and reviewing performance of partnerships on an
annual basis as part of the program’s results based management system.

Inability to achieve systemic change. The program will only achieve outcomes at scale by delivering research results
that lead to systemic change. If our results are only of value in very limited geographies, the program will be
unsuccessful. We have addressed this risk in program design by identifying barriers and mechanisms of change that
existing evidence suggests are of wide applicability in multiple geographies. As the program is implemented, we will test
the scalability of our results explicitly. For those mechanisms requiring policy change, we will work through the national
and regional policy partnerships as described in section 2 for each flagship, which have been developed explicitly to
pursue systemic change.

Inadequate attention to gender. The proposal highlights the strongly gendered nature of fisheries and aquaculture
systems and the importance of placing gender at the center of the program to achieve our objectives. This, in turn,
requires not only that the program makes a sustained investment in gender research (Annex 3.4) but also that we
secure and retain the staff capacity required. To address this risk, the program proposes a budget provision of 12% for
gender, and we will build on the strong track record of WorldFish and IWMI to attract the additional staff required to
deliver on the program commitment to gender and social equity.

Funding uncertainty. Lack of certainty about the likely scale of funding is a key risk to effective planning and
implementation of FISH. To mitigate this risk, WorldFish has engaged to secure bilateral funding with partners that will
complement W1-2 funding. Current projections are reflected in the program budget and we will build on this as the
program is implemented. However the comparative flexibility of W1-2 funding is a critical asset for FISH and other CRPs,
and it is likely that a reduction in W1-2 funding will diminish the strategic effectiveness of the program.
Section 2: Flagships



Flagship 1: Sustainable aquaculture

2.1 Rationale and scope

Background analysis. Aquaculture currently supplies around half of the fish consumed globally (FAO 2014), and is
projected to grow from 66.6 million metric tons in 2012 to 93.2 million metric tons by 2030 (World Bank 2013).
However, significant improvements in aquaculture technologies, farming systems and value chains are needed to
achieve this increase in production—and in ways that are socially and environmentally responsible. This will require
intensification and expansion into new sites together with research on improving aquaculture breeds, seedstock, feeds,
health, nutritional quality, production systems, environmental management and value chains. Flagship 1 (FP1) responds
to these needs through an integrated program of research that aims to grow aquaculture sustainably while enabling
poor men and women fish farmers and value chain actors to achieve their full potential to create wealth, alleviate
poverty, and improve nutrition and food security.

Problem statements. Aquaculture enterprises, particularly those in developing countries, typically have low production
efficiency, experience episodic mass mortalities of stocks (World Bank 2013), and have contributed to the loss of
mangroves and the pollution of waterways (Phillips et al. 1993; Naylor et al. 1998; Hamilton 2013; Ahmed and Glaser
2016). Many aquaculture sectors depend on wild or unselected stocks, precluding the possibility of production gains by
selective breeding and increasing the risk of introducing disease. Every year 20–30 million metric tons of fish, one-third
of the global fish catch, are used to produce fishmeal for aquafeeds (Waite et al. 2014), highlighting the need to develop
cost-effective alternatives. The need for socially and environmentally sustainable pathways for growth is widely
acknowledged (FAO 2016).

In response to these challenges, FP1 will develop new knowledge and technologies to help aquaculture industries in the
developing world use domesticated, high-health genotypes reared on sustainable aquafeeds in production systems that
have low carbon footprints with limited adverse environmental impacts. We focus on (1) developing and applying
genetic technologies, (2) developing cost-effective alternatives to wild-harvest fishmeal in aquafeeds, (3) improving
disease detection and control, and (4) optimizing production system efficiency without impairing the health and genetic
performance of aquaculture species or the health of adjacent or proximate ecosystems. We also address the need for
equity in sustainable intensification to ensure that poor farmers, their families and communities receive direct
nutritional and economic benefits from increased aquaculture production. The focus is on tilapia and carp, the world’s
top two farmed fish species groups, which are in high demand in the developing world and will continue to play
important roles in future aquaculture growth (World Bank 2030).

Scope and approach. Our research will build on previous international public goods developed by WorldFish and
partners, including improved breeds of tilapia in Asia (Genetically Improved Farmed Tilapia [GIFT] strains), Egypt
(Abbassa strain), Ghana (Akosombo strain) and Malawi (Oreochromis shiranus strain), and of Rohu carp in Bangladesh
and India. The scope of our collaborative research will be broadened via multidisciplinary integration of selective
breeding, fish health, aquafeeds and environmental management. We will focus on countries with low and medium
Human Development Indicators and high dependence on fish for food, where (1) aquaculture is in early stages of
development but needs accelerated growth to fill projected 2030 fish shortfalls, or (2) aquaculture is already established
but opportunities exist to sustainably intensify to the supply levels required. As the fastest-growing food production
sector in the world, aquaculture is creating new engagement, employment and enterprise opportunities for youth and
women. Developing these opportunities is a core component of our research strategy. In parallel with technical research
innovations, the flagship will provide inputs to the enabling policies and institutional environments to ensure farmers
have secure access to production sites, knowledge and inputs necessary to create impacts at scale.

Grand challenges and Sustainable Development Goals. FP1 aims to contribute to several Sustainable Development
Goals (SDGs), but primarily to goals 1 (no poverty), 2 (end hunger) and 14 (sustainably use oceans). Through research to
develop aquaculture in an environmentally and socially responsible way, aquaculture has the potential to produce the
fish needed to meet the demand for safe and highly nutritious food by a growing population (FAO 2016). The flagship
addresses several grand challenges, including unsustainable harvests of fish and other aquatic products and climate
change. We will develop and deliver domesticated, high-health aquaculture genotypes reared on sustainable aquafeeds
to help reduce pressure on wild capture fisheries. The flagship will reduce the already-low carbon footprint of fish by
enhancing water-use and nutrient efficiency and developing fish genotypes that are suited to production environments
impacted by climate change. Enhancing the efficiency of land use for fish production will address competition for land,
and we will focus on new entrepreneurial and job opportunities for youth and women by supporting growth of the
aquaculture sector. Finally, increasing the productivity of aquaculture will contribute to building nutritious and diverse
agri-food systems and diets.

2.2 Objectives and targets

The objective of FP1 is to secure environmentally sustainable increases in farmed fish supply and enhance the
contribution of aquaculture to poverty reduction and food security in priority geographies.

The flagship delivers research outputs and outcomes that support system-level outcome (SLO) 1 (reduced poverty) and
SLO 2 (improved food and nutrition security for health). Our research on environmentally sustainable production
systems will also contribute to SLO 3 (improved natural resource management) through mitigating greenhouse gas
emissions and enhancing the capacity of vulnerable men and women fish farmers to adapt to climate change risks and
extreme weather.

Multiple sub-IDOs are addressed through the flagship, with the most important being enhanced genetic gain (sub-IDO
1.4.3/2.1.3); closed yield gaps through improved agronomic and animal husbandry practices (sub-IDO 1.4.2/2.1.1);
reduced livestock and fish disease risk associated with intensification and climate change (sub-IDO 2.4.2); more efficient
use of inputs (sub-IDO 1.3.4); diversified enterprise opportunities (sub-IDO 1.3.1); and improved livelihood opportunities
(sub-IDO 1.3.2).

FP1 also contributes to cross-cutting sub-IDOs related to climate change (reduced net greenhouse gas emissions and
enhanced capacity to deal with climate risks and extremes); gender and youth (gender-equitable control of assets and
resources); policies and institutions (enhanced individual capacity in partner research organizations through training and
exchange) and capacity development (increased capacity of beneficiaries to adopt research outputs).

There are four primary flagship-specific targets related to (1) fish farm households using genetically improved fish seed;
(2) increasing adoption of improved fish health, feed and aquaculture management practices; (3) enhancing the supply
of sustainably farmed fish; and (4) improving livelihood opportunities for poor men, women and youth from increased
farmed fish supply and value chain development. The contribution of these outcome targets to SLO targets and sub-IDOs
is summarized in Table 4.

Table 4. FP1 outcome targets by 2022.
Flagship-specific outcome targets by 2022 Target geographies
PRIMARY (annual milestones included in PIM Table D)
1.5 million farm households have access to and are using our selectively improved, faster
growing and more resilient strains of tilapia and carp seed All clusters
Addresses SLO target 1.1 and sub-IDO:
Enhanced genetic gain Focal countries:
2.5 million farm households have adopted disease detection and control strategies, cost- Bangladesh,
effective and sustainable aquafeeds, and/or improved aquaculture management practices Cambodia, Egypt,
Addresses SLO target 1.1 and sub-IDOs: Myanmar, Nigeria,
Reduced livestock and fish disease risk associated with intensification and climate Tanzania and Zambia
change
Closed yield gaps through improved agronomic and animal husbandry practices Scaling countries:
More efficient use of inputs Africa: Ghana,
Enhanced capacity to deal with climate change risks and extremes Kenya, Malawi
4.8 million metric tons of annual farmed fish production with reduced environmental Asia: India
impact and increased resource-use efficiency (measured by 20% reduction in greenhouse Indonesia,
gas emissions and 10% increase in water and nutrient-use efficiency) Philippines, Vietnam
Addresses SLO targets 3.1 and 3.2 and sub-IDOs:
Reduced net greenhouse gas emissions from agriculture, forests and other forms of
land use
Enhanced capacity to deal with climate change risks and extremes
 2.3 million poor men, women and youth access improved livelihood opportunities
resulting from increased aquaculture production and associated value chains and
enterprise development
Addresses SLO target 1.2 and sub-IDOs:
Closed yield gaps through improved agronomic and animal husbandry
More efficient use of inputs
Diversified enterprise opportunities
Increased livelihood opportunities
Flagship-specific outcome targets by 2022
SECONDARY (progress measured through CRP-level M&E)
0.7 million people, of which 50% are women, without micronutrient deficiencies as a result
of increased consumption of farmed fish
Addresses SLO target 2.3 and sub-IDOs:
Increased availability of diverse nutrient-rich food
Increased access to diversified nutrient-rich food
1.8 million more women of reproductive age consuming adequate number of food groups
as a result of increased aquaculture production
Addresses SLO target 2.4 and sub-IDOs:
Increased availability of diverse nutrient-rich food
Increased access to diversified nutrient-rich food
1.25 million ha of ecosystems restored through more productive and equitable
management of aquaculture ponds
Addresses SLO target 3.3 and sub-IDOs:
Enhanced adaptive capacity to climate change risks
Increased resilience of agro-ecosystems and communities, especially those including
smallholders

Our assessment of target numbers across these four domains draws on analysis and WorldFish experience of the
aquaculture sector within focal and scaling countries. This includes L&F research in Bangladesh on aquaculture
productivity and employment (Belton et al. 2011); recent impact assessments of L&F interventions in aquaculture value
chains in Egypt (Dickson et al. 2016); recent and ongoing national-level supply-demand modeling in Bangladesh,
Zambia, and Cambodia (WorldFish 2011) as well as Indonesia; and global studies (FAO 2014) and national datasets of
aquaculture employment compiled by FAO. The target estimates have been further informed by WorldFish, AAS and
L&F experiences in aquaculture technology delivery and dissemination of improved fish seed in Egypt (Dickson et al.
2016), Bangladesh (Karim et al. 2016), as well as two decades of research with GIFT, which has achieved widespread
uptake in Asia as confirmed by independent impact studies (ADB 2005; Spielman 2009).

FP1 will pursue an integrated program of aquaculture research for development under three research clusters in Egypt,
Nigeria, Tanzania, Zambia (in Africa) and Bangladesh, Cambodia and Myanmar (in Asia). These focal countries were
selected on the basis of potential for an integrated aquaculture research program to contribute to CGIAR SLO targets,
support from public and private partners, donor interest and in some countries a history of country engagement,
including under AAS and L&F. The potential for impact through an aquaculture research program in each country is
guided by our analysis of anticipated future shortfalls in fish supply versus demand, strong reliance on fish as a key
animal-source food, and opportunities for sustainable intensification and/or expansion of aquaculture to deliver
impacts on income, employment and nutrition of poor men, women and youth. We also anticipate research scaling to
countries where public and private sector partners have expressed strong interest in engagement with FISH, and where
the market, policy and regulatory context is favorable to scaling FP1 innovations.

Key assumptions relating to scaling and impact underpin the outcome targets provided in Table 4. These include: (1)
prior engagement of our fish genetics research programs in FISH focal and scaling countries in Africa and Asia
represents an opportunity to reach large numbers of farmers with improved fish strains; (2) public-private sector
partnerships and networks established within some focal countries provide an opportunity for improved management
practices; (3) experiences from L&F fish value chain assessments can be used to assess entry points for early
development in Nigeria and Tanzania; (4) profitable or near-profitable value chains can be identified that can be
nurtured to achieve their growth potential and stimulate private sector investment; and (5) investment trends indicate
that further public and private sector resources can be mobilized for scaling.

 FP1 will adopt a staged approach to scaling, with initial focus on research experiments in Egypt and Bangladesh,
extending research findings from these core research platforms to integrated research for development programs in
the other focal countries. Priority countries in which to establish integrated aquaculture research programs within the
first three years are Nigeria and Zambia in Africa and Cambodia and Myanmar in Asia. Extension of the integrated
aquaculture research program in Tanzania will be subject to more detailed assessments, partnership development and
bilateral resource mobilization. The staged approach to FP1 growth is reflected in outcome milestones provided in the
Performance Indicator Matrix, and the program approach to outcome monitoring, evaluation and impact assessment is
addressed in Annex 3.6.

FP1 investments for each sub-IDO are summarized in Table 5.

Table 5. Investments by sub-IDO for FP1 for 2017–2022. Note that only the most relevant sub-IDOs are listed—a wider
set of sub-IDOs is addressed in collaboration with other flagships.

Sub-IDO name Total amount W1+W2 (%) W3/Bilateral (%)
SLO related
1.4.3 Enhanced genetic gains $18.00M $5.22M (29%) $12.78M (71%)
1.4.2 Closed yield gaps through improved agronomic and
$14.00M $4.06M (29%) $9.94M (71%)
animal husbandry practices
1.3.4 More efficient use of inputs $6.00M $1.74M (29%) $4.26M (71%)
2.4.3 Reduced livestock and fish diseases $6.00M $1.74M (29%) $4.26M (71%)
1.3.1 Diversified enterprise opportunities $3.55M $1.03M (29%) $2.52M (71%)
1.3.2 Increased livelihood opportunities $6.55M $1.90M (29%) $4.65M (71%)
Cross cutting
XC 1.1.4 Enhanced capacity to deal with climate risks and $2.60M $0.75M (29%) $1.85M (71%)
extremes
XC 1.1.1 Reduced net greenhouse gas emissions from
$2.50M $0.73M (29%) $1.77M (71%)
agriculture, forests and other forms of land use
XC 2.1.1 Gender-equitable control of productive assets and $9.60M $2.78M (29%) $6.82M (71%)
resources
XC 3.1.1 Increased capacity of beneficiaries to adopt $4.40M $1.28M (29%) $3.12M (71%)
research outputs
XC 4.1.2 Enhanced individual capacity in partner
$4.40M $1.28M (29%) $3.12M (71%)
research organizations through training and exchange
Total $77.60M $22.50M (29%) $55.10 M (71%)


2.3 Impact pathway and theory of change

FP1 aims to overcome barriers to achieving environmentally sustainable increases in fish supply through aquaculture.
Research focuses on three barriers: (1) the very limited occurrence of improved fish breeds suitable for use in the
aquaculture systems of significance in Africa and Asia; (2) the health risks and nutritional constraints that limit the ability
of fish to realize their full genetic potential in diverse fish farming environments; and (3) variations in farm management
practices and technology delivery systems that constrain the ability of fish farmers to benefit from healthy, improved
seed and sustainable feeds. Addressing these barriers requires research in the development of fish genetics and
improved feeds; in fish health, nutrition and feeds; and in aquaculture systems, combined with efforts to improve the
enabling environment through shifts in policies, implementation capacities in governments, and investment by private
and public sector development actors.

Cluster 1 will conduct research to deliver cumulative, permanent genetic gains in fish that are farmed widely in Africa
and Asia. By conducting research in our focal countries in Africa and Asia, we seek to develop improved breeds of fish
that can be used in these countries and benefit large numbers of people there, while transferring technologies and
breeds, where possible, to partners regionally. In all locations we posit that providing improved breeds will establish a
foundation of genetic gain in fish upon which other improvements in fish feeds, health and management improvements
can build and lead to significant increases in productivity and economic return for farmers. We hypothesize that strong
private-public partnerships provide an essential enabling environment for delivery of these technology improvements.
We will therefore support and test the efficacy of national breeding programs and enable local entrepreneurs to
develop multiplication hatcheries for improved seed. We will also enable capacity for broader community engagement,
including of women and youth, in assessing on-farm performance of improved fish stocks, and ensure the preferences of
poor women and men farmers inform fish breeding and dissemination investments.

Cluster 2 will conduct research to reduce the risk that disease will diminish the performance of improved breeds of
tilapia and carp and in the worst cases lead to catastrophic failure of fish farming enterprises and loss of broodstock. We
will combine this work with research to overcome the key nutritional hurdles limiting fish performance and efforts to
expand aquaculture. This will include research to improve understanding of fish nutritional requirements and develop
sustainable aquafeed ingredients that provide cost-effective and socially acceptable alternatives to wild-harvest
fishmeal and agricultural products used for human consumption. We hypothesize that the production of sustainable,
cost-effective and nutritious aquafeeds, using locally available resources, is an emerging opportunity for profitable
small-scale enterprises, especially for youth and women or cooperatives. We will encourage and facilitate the
development of such enterprises by providing knowledge, technology and training in partnership with the private
sector, government agencies and nongovernmental organizations (NGOs).

Cluster 3 will assess on-farm performance under a diversity of farming practices for different technology combinations
and environments that can deliver improved performance from healthy, improved seed and sustainable feeds. We will
take a gendered approach to this analysis and seek opportunities for poor women and youth. Obstacles to the
dissemination and adoption of improved fish farming technologies at scale will be assessed and options for
improvements in institutional, policy and regulatory frameworks identified. We hypothesize that careful identification of
best farming practices combined with appropriate investments in capacity development can stimulate rapid and
sustainable integration of aquaculture enterprises in locations where market environments and other enabling
conditions are supportive. This will provide opportunities for poor women, men and youth to increase livelihood
opportunities and income through sustainable intensification and expansion of aquaculture.

Delivery of sustained gains at scale through improved fish breeds, health and feeds, together with improved
management systems, requires navigating a range of risks. To meet this challenge, we will (1) co-develop the
technologies in partnership with farmers and other value chain actors, including using influential farmers to pilot new
technologies; (2) analyze potential negative tradeoffs for youth and women, including by designing specific woman- and
youth-friendly pond management and harvesting technologies; (3) work with private sector actors who have proved
their commitment to engaging with research and testing outputs; and (4) enable national-level innovation platforms and
networking to encourage use of research findings.

Figure 4. FP1 impact pathways.

Change Research Change

Change Development Sub-
Research outputs IDOs
mechanism outcomes mechanism
mechanism outcomes IDOs

•  Government, private Enhanced gene0c

Cluster 1. Fish breeds and
sector, NGOs and donors gain
gene7cs 1a 1a Increasing
•  Faster-growing and resilient inves0ng in improved fish penetra0on of
0lapia and carp strains breeding programs fish seed markets Reduced livestock
•  New produc0vity and •  Public policies promo0ng by gene0cally and fish diseases
resilience traits iden0fied responsible development improved 0lapia
1b and use of improved fish 1b
and incorporated into fish and carp strains
breeding programs strains Closed yield gaps
•  Knowledge on genomic •  Fish breeding programs Fish farm through improved
tools and methods to influenced by preferences households have agronomic and
1c of poor men and women 1c animal husbandry
accelerate gene0c gain and access to and are
end users prac0ces
incorporate new traits in using faster-
fish breeding programs •  Researchers and business growing and
•  Knowledge on end-user sector using genomic resilient 0lapia Enhanced individual
preferences of poor men 1d tools to accelerate gene0c 1d and carp strains capacity in partner

gains and sustainability research
and women for improved
improvements in organiza0ons
fish Fish farming
aquaculture households have
increased fish
More Increased
yields and income
efficient use produc0vity
Cluster 2. Fish health, nutri7on • 
Fish farmers and private from adop0on of
of inputs
and feeds
sector inves0ng in fish improved fish
2a 2a
•  Fish disease surveillance
disease diagnos0c tools, breeds, feeds, fish
and diagnos0c tools health and Gender-equitable

and fish feed and
•  Sustainable fish feed aquaculture control of

nutri0on improvements
resources produc0ve assets
• 
Public and private combina0ons
•  Integrated fish feed and 2b 2b and resources

health management
agencies and NGOs

incorpora0ng fish health Poor men,
packages for improved fish Enhanced capacity

and feed management women and youth
strains of beneficiaries to

improvements into have access to
•  Knowledge on fish 2c 2c adopt research

extension ac0vi0es new livelihood
output
nutri0on, health and • 
Researchers in ARIs, NARS opportuni0es
gene0c interac0ons to
and private sector using from increased
inform future fish breeding
research to develop new 2d farmed fish Diversified
Increased
programs 2d enterprise incomes and

aquaculture feed and produc0on and
associated value opportuni0es employment

health innova0ons
chain and
enterprise
development Increased

livelihood
Cluster 3. Aquaculture systems
Sustainable opportuni0es
•  Scalable aquaculture
system models, technology intensifica0on of Improved
packages and best prac0ces •  Public and private sector,
0lapia and carp diets for poor
NGOs, and donors farming systems and
for sustainable 3a 3a
incorpora0ng validated delivers fish with vulnerable
intensifica0on and
technologies and best reduced people
enhanced adap0ve capacity
prac0ces into aquaculture greenhouse gas
to climate risk
•  Inclusive, gender-sensi0ve extension and
emissions and
development programs improved water-
and sustainable approaches Reduced

3b •  Preferences of poor men 3b and nutrient-use net
to delivery and use of
and women farmers have efficiency per unit
improved fish seed, health, greenhouse
informed extension produc0on gas
feeds and aquaculture More
system and aquaculture
technology packages emissions sustainably
development program Fish farming
•  Inclusive and gender- managed
3c investments 3c households have
sensi0ve business and Enhanced agro-
•  Public and private sector access to
entrepreneurial models for adap0ve ecosystems
policies and investments aquaculture
smallholder farmers and capacity to
poor value chain actors suppor0ng commercial technologies and climate risk
scaling of validated systems that
•  Tools, models, data and
3d smallholder business and 3d enable adapta0on
analy0cal capacity to assess
entrepreneurial models to climate change
sustainable performance
and adop0on of risks and
aquaculture technology extremes
innova0ons

Table 6. FP1 change mechanisms.

Change Key risks and assump7ons associated with change Corresponding strategies and risk management ac7ons
mechanism mechanisms

Research output to research outcomes Research output to research outcomes

1a – 3a Na0onal extension agencies, private sector and 1a – 3a Use par0cipatory approaches adapted to local condi0ons, such
NGO development partners incorporate improved fish as farmer field schools and cluster management, in partnerships and
strains, fish health and feed best prac0ces and farming communica0ons between researchers and and development partners;
a
system designs into extension ac0vi0es and development provide science-based evidence of on-farm performance of improved
investments fish strains and aquaculture technologies in user-friendly formats
Local adop0on 1a – 3a Research plaQorms and networks enabled 1a – 3a Ensure plaQorms and networks provide ownership among
and through the CRP provide an effec0ve mechanism for enablers of change; provide training programs for na0onal extension
dissemina0on of sharing aquaculture knowledge and gender-sensi0ve agencies, private sector and NGO development partners in (i)
technologies approaches to extension facilita0ng change; and (ii) maintenance, dissemina0on and use of
and gene0cally improved fish strains for farmers, extension agencies and
management Research outcomes to development outcomes researchers, fish feeds and disease control measures, and sustainable
prac0ces 1a – 3a Na0onal policies and ins0tu0ons favorable to aquaculture systems
responsible dissemina0on of improved fish seed and 1a – 3a Apply innova0on system analysis to iden0fy barriers and
adop0on of improved aquaculture technologies enablers to innova0on; design and test approaches
1a Na0onal government, donors and private investors
provide sustained funding for fish breeding, gene0c Research outcomes to development outcomes
improvement and dissemina0on programs 1a – 3a Use effec0ve development communica0on on performance of
1a – 3a Na0onal government and donors have sufficient improved strains among farming communi0es
capacity to extend research results to small-scale farmers 1a – 3a Encourage rela0onship building, feedback and co-ownership of
research in na0onal and local research and innova0on plaQorms

Research output to research outcomes Research output to research outcomes

1b – 3b Business case and investment environment is 1b – 3b Collaborate with private sector partners in designing and
suitable for private sector investment in gene0c tes0ng technologies; enable na0onal-level innova0on plaQorms and
b
improvement, breeding and dissemina0on programs; networking that encourages par0cipa0on of private sector in research
improved feeding, disease control and farming systems ac0vi0es
Private sector 1b Develop models for gene0c improvement, breeding and
investment and Research outcomes to development outcomes dissemina0on that are appropriate to country contexts and
replica0on of 1b – 3b Smallholders have ready access to technologies investments available
innova0ve developed by private sector 1b – 3b Use communica0on ac0vi0es, advocacy and other interac0ons
business models 1a – 3a Na0onal regula0ons and market requirements with private sector to raise awareness of investment opportuni0es and
in fish create demand for private sector investment and engage in scaling of research
produc0on, adop0on
processing and 1b – 3b Business models adopted by private sector are Research outcomes to development outcomes
trade inclusive 1b – 3b Iden0fy and advocate models that can be scaled through
private sector and conduct business incuba0on type ac0vi0es and
networking with development partners

Research output to research outcomes Research output to research outcomes

1c – 3c Na0onal policy and regula0ons conducive to 1c – 3c Undertake training needs assessments and training of na0onal
dissemina0on of improved fish strains and adop0on of extension agencies to support key areas of interven0on; iden0fy
c new technologies, such as vaccines and novel feed specific and generic barriers to adop0on from ins0tu0onal and
ingredients regulatory framework dimension; support policy reform

Public sector Research outcomes to development outcomes Research outcomes to development outcomes
policy 1c – 3c Na0onal policies conducive to public-private 1c – 3c Create awareness of public sector on benefits of private
improvement partnerships for scaling and dissemina0on of improved investment in aquaculture technologies
and ins0tu0onal fish seed and improved aquaculture technologies and 1c – 3c Implement communica0on ac0vi0es to raise awareness of
strengthening prac0ces public benefits from investments into aquaculture, including special
1c – 3c Ins0tu0onal capacity sufficient to support scaling emphasis on those “hard to reach,” such as smallholder farmers
of aquaculture technologies among small-scale farmers, 1c – 3c Ensure ownership of outcomes rests with na0onal agencies to
with sufficient gender equity change policies in a 0mely manner to accomplish development
outcomes

Research output to research outcomes Research output to research outcomes

1d – 3d Effec0ve engagement between researchers and 1d – 3d Invest in dialogue and communica0ons between researchers
d civil society and development agencies raises awareness and civil society organiza0ons and development agencies; provide
and co-ownership of research outputs rigorous evidence and “package” evidence in user-friendly ways
1d – 3d Development partners willing to invest in 1d – 3d Use communica0ons and awareness-raising events to provide
Influence on technologies with key countries evidence on the benefits of aquaculture for development agency
policies and investment at na0onal, regional and interna0onal levels
priori0es of civil Research outcomes to development outcomes
society and 1d – 3d Civil society organiza0ons and development Research outcomes to development outcomes
development agencies direct sufficient investment into aquaculture to 1d – 3d Use training tools and guidelines that support key areas of
agencies support na0onal adop0on of research results interven0on
1d – 3d Investments in “fish” are cost-effec0ve 1d – 3d Increase networking and communica0on ac0vi0es between the
development investments compared to compe0ng CRP and civil society to provide evidence of the benefits and ways of
interven0ons inves0ng in aquaculture for achieving development goals

2.4 Science quality

FP1 convenes recognized leaders in fish genetics, health, nutrition, aquaculture systems and sustainable intensification,
with strong commitment to science delivery and quality. The flagship will assure science quality through (1) well-defined
research questions and experiments; (2) the latest tools, theory and technologies; and (3) engagement with expert
partners who can provide access to new intellectual developments in genetics, nutrition and health within and beyond
the fish domain. The flagship will engage with communities of practice at the forefront of particular research topics,
within and outside CGIAR, to ensure efficiencies and access to relevant knowledge and experiences. This engagement
includes the CGIAR Genetic Gains platform and gender and capacity development groups, as well as external peer
networks and platforms such as the International Institute of Fisheries Economics and Trade (IIFET).

The flagship’s novelty lies in the integration of research across key disciplines. Each cluster includes specific elements of
science and research innovation.

Cluster 1: Fish breeds and genetics will embark on research that is new for fish, particularly the species of focus for
WorldFish—tilapia and carp. These species are key commodities in developing country aquaculture production, and
innovative research has a high likelihood of new scientific discovery and impact. Existing collaborations with
Wageningen University (WUR) and the Scottish cluster of Roslin, the University of Stirling (UoS), and Scotland’s Rural
College (SRUC) and James Cook University on quantitative genetics and molecular tool development will be expanded to
include the Genome Analysis Centre (TGAC) at the University of Norwich and University of Bangor in Wales with
experience of tilapia genomics and biodiversity, and Norwegian researchers at Nofima and the Norwegian University of
Life Sciences (NMBU) with experience in developing salmon genomic tools. This team will bring together key groups
working on tilapia, together with those central to developing genomic selection theory and its application to fish. They,
together with collaborators at University College Cork (UCC) in Ireland, also have skills in fish and human microbiome
analysis that will permit development of biomarkers that reflect the integrated effects of environment, feed and
disease. Under WorldFish leadership, this group will develop a consortium, including the private sector, initially to
develop a single nucleotide polymorphism (SNP) chip as an approach to the rapid genotyping required in the flagship,
drawing on recent experiences with Atlantic salmon (Houston et al. 2014). Close collaboration with these experts in
genomics and microbiome analysis (Roslin, TAGC, SRUC, UCC) and those developing tools to increase genetic resilience
in fish breeding (SRUC, NMBU, WUR, UoS) will enable interaction on the latest developments and their practical
application to fish. Collaborative research on natural biodiversity and tools to investigate the interaction of native and
cultured stocks (TGAC, Bangor, UoS) will enable effective risk assessment and impact of fish transfers. Working with
skilled groups will permit the identification and incorporation of resilience traits into breeding programs and provide a
platform for biotechnology discovery to enable more rapid additional technology developments in fish feeds and health
and provide for greater quality control. These processes will be further strengthened through interaction with the CGIAR
Genetic Gains platform and the broader community of practice.

Cluster 2: Fish health, nutrition and feeds will use robust epidemiological and molecular tools to contribute new
knowledge to emerging yield-limiting diseases in genetically improved tilapia strains, and develop early warning systems
and farmer-friendly health management packages. Health profiling (disease susceptibility and resistance) of improved
tilapia and comparison with other improved and commercial strains through epidemiological and molecular tools is
novel. Research partnerships with the University of Exeter; Center for Environment, Fisheries and Aquaculture Science
(CEFAS); and University of Liverpool bring leading epidemiological skills to the flagship. We will use metagenomics and
environmental DNA (eDNA) methods to identify biomarkers for fish health status and disease and contribute to
mitigating the impact of yield-limiting diseases on genetically improved tilapia strains. Research findings will explore the
genetic basis for fish disease control and health management in genetically improved tilapia strains. Ongoing
collaboration with leading researchers at WUR, Royal Veterinary College London (RVCL), MSD Animal Health and the
International Livestock Research Institute (ILRI) will continue to be strengthened, ensuring science quality and delivery
of IPGs.

Research on fish nutrition and feeds will build on an existing collaboration with WUR and be expanded with researchers
at the Commonwealth Scientific and Industrial Research Organisation (CSIRO) experienced in developing novel feed
ingredients for replacement of fishmeal in shrimp and fish diets and in developing feeding concepts whereby the role of
natural food is enhanced. Collaboration with the RICE and RTB CRPs will involve research on utilization of agricultural
crop wastes and residues, such as cassava peels (ILRI 2015), to develop novel ingredients for fish feeds. Research on the
“nutritious pond” concept is very new and builds on the idea that feeding systems should be based on the entire
system’s requirements. Research on applying genomic selection and the incorporation of microbiome analyses to
improve feed efficiencies of fish being raised in different environments and production conditions also represents a new
frontier for tilapia and carp genetics research, with high potential for scientific discovery and significant impact.

Cluster 3: Aquaculture systems will develop innovative sustainable aquaculture system models, systems and
approaches to technology application within the context of sustainable intensification and creating opportunities for
women, young people and marginalized groups in growing national aquaculture sectors. Gender-responsive research
that helps determine and calibrate how to deliver sustainable intensification of aquaculture systems and enhance
resilience to climate change at household and landscape levels will fill a significant gap in literature and implementation
understanding on the practical application of such concepts to aquatic systems (Attwood et al. 2016a). This research will
draw on a systematic review of applying sustainable intensification management actions from other production domains
(e.g. terrestrial cropping, livestock) to priority sustainability issues in aquaculture (Waite et al. 2014; Attwood et al.
2016b). Bio-economic modeling, gendered livelihoods analysis, resilience frameworks and lifecycle analysis (LCA) tools
will allow us to characterize aquaculture systems and identify new system designs, management practices, investments
and policy interventions for sustainable aquaculture intensification and expansion. New interdisciplinary approaches will
enable identifying and managing synergies and tradeoffs among economic, environmental, production and social
objectives in sustainable intensification. Applying gender-transformative research within those intervention strategies is
novel, as is the specific orientation towards design of gender-equitable and inclusive growth strategies in the
aquaculture sector for poor women and youth. Cross-disciplinary partnerships with researchers in aquaculture systems
at the UoS and Auburn University; resilience and LCA at the Stockholm Resilience Center; and gender at the Institute of
Development Studies (IDS) will strengthen research quality, as will links with sustainable intensification researchers at
Bioversity International.

2.5 Lessons learned and unintended consequences

FP1 builds on substantial research on technology innovation and delivery done under L&F and AAS, as well as earlier
WorldFish investment. Cluster 1 leverages research on improved tilapia strains—notably GIFT in Southeast Asia and
Bangladesh and Abbassa in Egypt—conducted over the past two decades by WorldFish and partners, with significant
impact documented by the International Food Policy Research Institute (IFPRI) (Spielman 2009). As part of L&F and AAS,
WorldFish developed a model for dissemination of genetically improved tilapia in Bangladesh and its upscaling
throughout the country. The 2015 L&F Independent External Evaluation visit to Bangladesh concluded that there is
proof of concept for the approach to tilapia genetic improvement and dissemination, and found that aquaculture value
chain research is having a positive impact on gender inequity and is increasing the income of poor families.

The flagship addresses gaps and new challenges identified by prior research. Cluster 2 ramps up investment in novel
feeds, learning from global research with ILRI and partners under L&F, which focused on identifying and improving
quality and use of existing feed resources. This cluster will continue recent L&F research on emerging tilapia disease
challenges in Bangladesh and Egypt. We will research options to address previously identified gender inequities,
assessing barriers to poor women’s employment and entrepreneurship in feed supply chains (cluster 2) and
opportunities for youth employment in aquaculture systems (cluster 3). The latter will build on WorldFish’s business
incubator experiences in Southeast Asia, as well as efforts in Bangladesh and Egypt, where scaling has begun.

Cluster 3 is also designed to probe and respond to unintended consequences identified in recent research. As part of
L&F, a 2015 impact assessment (Dickson et al. 2016) led to reexamination of the relationship between aquaculture
productivity improvement and employment generation. The study found that fish farmers trained in better
management practices and supplied with the Abbassa strain focused on improving their efficiency—resulting in
significantly increased profits—rather than increased production or increased employment. Fish farmers who stocked
the Abbassa strain used the faster growth to achieve the targeted harvest weight slightly earlier, but as they only stock
once per season this did not result in higher production. Cluster 3 will build upon this assessment to better understand
fish farmer decisions and identify factors to more quickly translate productivity gains into increased production,
employment and fish consumption among the poor.

With aquaculture technology development initiatives typically focused on productivity gains, there is a risk that human
nutrition, gender, and social and environmental concerns are poorly integrated (Waite et al. 2014). FP1 addresses these
concerns through interdisciplinary research design and implementation, e.g. by integrating gender analysis into basic
technology design and prioritization and implementing new research on the implications of fish feeding practices for
human nutrition. The risks, challenges and opportunities for poor men, women and youth to benefit from commercial
aquaculture enterprise growth will also receive special attention in cluster 3. Analysis of potential impacts on women’s
workloads and time burdens will identify gender equity risks and aid in development of gender-transformative
strategies to pro-actively mitigate these. Environmental impacts of aquaculture will be researched and mitigated
through LCA (Henrikson et al. 2015). We will also address environmental concerns on dissemination of genetically
improved fish strains with research on environmental and pathogen risk analysis (Lind et al. 2015), including the
genetics of domesticated-wild tilapia interactions, generating science-based policy guidance for national and regional
government agencies.

2.6 Clusters of activity

Leading-edge science will be applied across the flagship through three interconnected research clusters. Cluster 1 aims
to accelerate genetic gains in fish to respond to user demand for new and improved fish breeds that are adapted to
diverse fish farming systems across Africa and Asia. Cluster 2 aims to provide new disease control measures and
affordable and environmentally sustainable fish feeds by which fish farmers can improve farming efficiencies and
capture the productive potentials of improved fish breeds. Cluster 3 will assess technologies emerging from clusters 1
and 2 and design profitable and environmentally sustainable fish production systems and value chain interventions that
increase employment and income opportunities for poor women, men and youth. Integration between the clusters will
be achieved through co-development of experiments over the life of the program, testing the performance of fish
breeds in relation to key disease, feed and environmental variables. This approach will achieve efficient use of research
resources and maximize synergies across research teams and the effective development of integrated technologies
relevant to end users.

Cluster 1: Fish breeds and genetics
Cluster 1 builds on and extends WorldFish’s track record in fish breeding and genetics to deliver cumulative, permanent
genetic gains in fish farmed widely in Africa and Asia. We will complement our long-established tilapia pedigreed
breeding programs and active dissemination of recent improved generations by expanding use of genomic tools started
in L&F. Strong genetic gains of 7%–10% growth per generation have been maintained for over two decades in WorldFish
tilapia programs (Gjedrem et al. 2012; Khaw 2015), and these improved strains are now being used in at least 11
countries in Asia, but only three in Africa. We will pursue similar productivity increases through further improvements in
tilapia strains and similar selective breeding in carps. We will pursue this research through our integrated flagship
approach in our four focal countries in Africa (Egypt, Nigeria, Tanzania and Zambia) and three in Asia (Bangladesh,
Cambodia and Myanmar). Outputs from this research will include (1) faster-growing and more resilient tilapia and carp
strains; (2) new productivity and resilience traits identified and incorporated into fish breeding programs, based on
gender-responsive analysis of user needs; and (3) knowledge of genomic tools and methods to accelerate genetic gain
and incorporate new traits in fish breeding programs; and (4) knowledge on end-user preferences of poor men and
women for improved fish.

Research in cluster 1 will be informed by rigorous on-station and gender-integrated on-farm field assessments of genetic
gain. We will use feedback from surveys of the on-farm performance of the Abbassa (Egypt) and GIFT (Bangladesh)
strains released in L&F to investigate yield gaps and conduct expanded surveys of performance, including environmental
stressors, disease and management practice. The surveys will include the use of molecular markers to assess adoption
and provide molecular characterization for input to the genomic selection program. We will combine this with strategic
experiments in our field stations in Egypt, Bangladesh and at WorldFish headquarters in Malaysia, in collaboration with
the other FP1 clusters, to test combinations of technologies, such as fish feeds that optimize new breed performance
using more cost-effective feed ingredients aimed at reducing yield gaps. We will use SNP markers, under development in
L&F, to create fine-scale maps, develop and test genomic selection strategies to increase efficiency of selection, and
assess and utilize additional traits to increase genetic gain. The results from this genomic analysis will be combined with
data from on-farm performance and from market and gender-based assessments under cluster 3 to determine new
traits to be included in breeding programs.

Our genomic selection will focus first on the tilapia programs, given their relatively advanced development in release
and on-farm performance assessment. The need for feed efficiencies and resilience is clearer for tilapia and likely to
yield results within the next six years. Our carp research will collect tissue samples to enable genomics research in the
next stage of the program, utilizing lessons learned from tilapia genomics research. In pursuing our genomics research,
we will work with the CGIAR Genetic Gains initiative and select a broader range of traits, including disease tolerance,
feed efficiencies and other resilience traits. New strategic gender research will inform the breeding program in terms of
women’s and men’s distinct needs and preferences. Molecular genomic tools will be used as a practical means to select
for such characteristics and develop a gene discovery platform to identify other nutritional or disease management
solutions to production or sustainability issues.

Assessments of on-farm performance will involve strategic gender research with smallholder women and men farmers,
providing feedback into selection programs. The use of information communication technology (tablet and cell phone-
based applications) for collecting information about on-farm performance and dissemination, developed and tested in
Egypt and Bangladesh in L&F, will be expanded during FISH to allow geographical expansion and efficient performance
assessments across more countries, creating increased knowledge on genetic gains from FISH investments.

Cluster 2: Fish health, nutrition and feeds
Improved fish breeds need to be healthy and have the right feeds and environmental conditions to achieve their full
productive potential. Cluster 2 aims to capture this opportunity by developing fish disease and health management
measures, sustainable fish feed ingredients, and feeding systems that will enable women and men farmers to harness
the productive potential of improved fish breeds. By targeting our health and nutrition research at enhancing
performance of genetically improved strains, our research in cluster 2 will enable new efficiency and health traits to be
incorporated into the fish genetic improvement programs of cluster 1. This will contribute to further improvements in
the productivity, efficiency and resilience of tilapia and carp production systems. Outputs from the cluster include (1)
fish disease surveillance and diagnostic tools; (2) sustainable fish feed resources; (3) integrated fish feed and health
management packages for improved fish strains, based on gender-responsive needs analysis; and (4) knowledge on fish
nutrition, environment, health and genetic interactions to inform future fish breeding programs.

Our fish disease research will involve population-based studies to assess farm performance and disease susceptibility
(including risk factors) of improved tilapia strains in different agro-climatic conditions. We will pursue this discovery
research at facilities in two focal countries (Bangladesh and Egypt) and also at WorldFish and Department of Fisheries
facilities in Malaysia. This will involve the development of eDNA technology to characterize fish and pond microbiomes,
and assess their role in growth and development and in disease susceptibility and resistance. Gender-responsive on-
farm research, including farmer needs assessment, will enable practical tools to be developed to tackle production
losses due to fish disease, including early warning systems, rapid pondside diagnostics, and prophylactic and therapeutic
strategies.

Our fish feeds research will focus on the priorities of improving feed ingredients, feed intake and efficiency in use of
ingredients, plus horizon-scanning research on interactions between fish feeding and human nutrition. Although tilapia
needs comparatively less fishmeal than many other farmed species, further reductions are required to reduce
dependence on expensive and unsustainably caught wild fish supply (Phillips et al. 2015). Cluster 2 therefore aims to
develop cost-effective and nutritious aquafeeds in which fishmeal and other ingredients are replaced with alternative
protein and lipid sources. We will seize opportunities to incorporate local raw materials and agricultural byproducts into
fish feeds, where there is little conflict with human food uses. This will include technological, enzymatic and microbial
enhancement of crop wastes, the use of algal and microbial protein and lipids, insect-based feeds, and alternative
processing practices for conventional plant raw materials (Glencross et al. 2014). Research collaboration with RICE and
RTB will be pursued to explore the bioconversion of different forms of rice and cassava waste (Annex 3.7).

Research will build on the potential fish feed ingredients identified in Bangladesh and Egypt through L&F, where a broad
range of crop residues and wastes were sourced, analyzed and evaluated, taking into account variability of ingredient
quality, possible contaminants and anti-nutritional factors. The nutritional value of the various ingredients and the
nutrient requirements of fish in specific production systems will be evaluated, both on-station and through gender-
integrated on-farm analysis, along with the use of a range of ingredient and feed processing technologies. Our research
on feed efficiency builds on evidence from L&F showing that major efficiency gains can be achieved by optimizing
feeding and aquaculture system management practices. Research will focus on gender-integrated testing of improved
feeding systems, documenting and understanding the scaling process during their adoption by women and men farmers,
and assessing impacts in terms of farm economics and on the environment.

The nutritional content and value of farmed fish can be influenced by the rearing system used and/or the nutrient
content of the feeds. WorldFish and Wageningen University are currently working with partners to test the impacts of
green-pond systems on the levels of omega-3 fatty acids and other micronutrients in farmed fish. We will build on this
research to test the use of supplemented feeds to supply these essential nutrients.
Cluster 3: Aquaculture systems
Cluster 3 will conduct systematic, comparative assessments of different models for integrating improvements in fish
breeds, health and feed technologies into farming system design and delivery systems that achieve sustainable
intensification and resilience in ways that benefit poor women, men and youth. Outputs from cluster 3 research will be
(1) scalable aquaculture system models, technology packages and best-practice interventions for sustainable
intensification and enhanced adaptive capacity to climate risk; (2) inclusive, gender-sensitive and sustainable
approaches to delivery and use of improved fish seed, health, feeds and aquaculture technology packages; (3) inclusive
and gender-sensitive and women-targeted business and entrepreneurial models for scaling aquaculture technologies in
ways that generate wealth and benefits for smallholder farmers and poor value chain actors; and (4) tools, models, data
and analytical capacity to assess sustainable performance and adoption of aquaculture technology innovations.

We will use tools for gender-integrated systems analysis to understand, communicate and manage tradeoffs and
synergies of aquaculture systems (e.g. household labor), identify efficiencies and constraints, and compare existing
practices and strategies. Bio-economic modeling, livelihoods analysis and LCA will allow characterization of aquaculture
systems, explain how they function, evaluate their environmental impacts and identify effective intervention strategies.
We will build upon a systematic review of sustainable intensification of management actions (Attwood et al. 2016b) to
conduct on-station assessments in Bangladesh and Egypt and on-farm assessments there and in other focal countries.
This will include collaboration with flagship 3 to identify which aquaculture systems and technology approaches are best
suited to deliver nutritional gains for poor households, including behavior change communication in scaling investments
to ensure fish gets to the people who need it most.

LCA and inventories developed in L&F (Phillips et al. 2015) will be used to assess resource use and environmental
impacts with the aim of improving management and technology combinations, thus reducing greenhouse gas emissions,
freshwater consumption, energy use and land requirements. We will compare mono- and polyculture systems, water
and nutrient recycling, and novel solar power technologies to identify options that reduce greenhouse gas emissions by
>20% from current levels. Bangladesh and Egypt, where the intensification of aquaculture is challenged by water, land
and energy constraints, will be initial sites of focus for this research.

Research on delivery and use systems will involve country-level assessments and field activities in all focal countries in
Asia and Africa to better demonstrate how aquaculture technology research from clusters 1 and 2 can be relevant,
gender-responsive, applicable and accessible to smallholder farmers, operating within a variety of agro-ecological,
economic and social contexts. This includes engaging in participatory research with national partners to address local
challenges, such as market access, seed and input availability, and cross-cutting issues such as gender and climate
change, to understand barriers to accessing improved technologies by women and youth and opportunities to overcome
those barriers. This research will involve development of inclusive, gender-sensitive and women-targeted business,
finance and entrepreneurial models and institutional and policy interventions to support scaling of promising
smallholder enterprise models that create income and employment for smallholder women, men and youth. Gender-
inclusive awareness raising and training on the delivery and use of improved strains and technology packages,
accompanying guidelines and manuals, and potential for wider use of mobile applications, building on L&F learning with
mobile technologies in Bangladesh, will be tested and developed for scaling. These will be adapted to additional
languages and training on their use in additional countries.

The cluster will also conduct foresight research to place technology and systems research within the context of scenarios
for future market drivers and growth. This will enable the design of aquaculture systems and approaches to
dissemination that respond efficiently to future trends and drivers at micro (farm and community) and macro (national
and international) levels, differentiated by women and men in anticipation of need.

2.7 Partnerships

The multi-stakeholder partnership brought together through FP1 provides a globally unique capability to harness
cutting-edge aquaculture science targeted at the development and delivery of IPG research designed to increase the
sector’s contribution to achieving SDG targets. We will build upon the extensive national, regional and global
partnerships developed by WorldFish over the past 25 years. Key elements of these partnerships are summarized
below, and Table 7 details the role of partners across flagship clusters and along the impact pathway.

Advanced research institutes. FP1 will work with advanced research institutes to draw effectively on recent advances in
key areas of science. For example, we will partner with the network of Roslin Institute at the University of Edinburgh,
UoS, SRUC, TGAC and Bangor University, together with James Cook University, Nofima, the Norwegian University of Life
Sciences and the French Agricultural Research Centre for International Development (CIRAD) to apply recent advances
in molecular genetics to further enhance the rate of genetic gain and respond to growing demand for high-quality fish
seedstock.

Cluster 2 on fish health, nutrition and feeds will be led by the Aquaculture and Fisheries Group at Wageningen
University. They bring to this role leading-edge science capacity in fish nutrition, health and aquaculture feeds
development, as well as access to a wider range of animal science skills within the University, specifically the Animal
Breeding and Genetics Group for genetic and environment interactions. We will also partner with CSIRO in the
development of bioactive compounds as fishmeal replacements, and the University of Exeter, UoS and CEFAS to
develop fish disease diagnostic tools. Our aquaculture systems research will be pursued in collaboration with Auburn
University, Stockholm Resilience Center, UoS and gender researchers at the Institute of Development Studies.

NARES. In all focal countries, FP1 will work through national research partners. Breeding programs are already being
conducted with national aquaculture research institutions in Bangladesh (Bangladesh Fisheries Research Institute
[BFRI]), Egypt (Agricultural Research Center [ARC]) and Ghana (Water Research Institute [WRI]), and this work will be
extended to other focal countries through FISH. Similarly, FP1 will work with university research teams to bring
together relevant skills and build research capacity, such as with the Bangladesh Agricultural University (BAU) and
Egypt’s Kafr El Sheikh University for fish health research.

Private sector. Effective private sector partnerships are essential for successful scaling of the technologies being
developed through FP1. For example, at the global level we are partnering with Skretting through a new research
facility at the WorldFish Abbassa facility for raw material evaluations and fish feed developments, Aquaspark on
development and testing of models for financing of emergent aquaculture enterprises, and Merck/MSD on the
development of new treatments for emerging tilapia diseases.

Development organizations. FP1 research priorities have been identified in collaboration with development partners at
regional and national levels, and research will be undertaken in collaboration with local partners. For example, in Africa,
FP1 responds to the AU’s newly developed Africa Aquaculture Action Plan and national priorities such as improved
seed, feed and fish health. In Egypt we will pursue these priorities by working with the Ministry of Agriculture, NGOs
such as CARE, and private sector partners. In Bangladesh, FP1 addresses priorities of the Country Investment Plan and
National Aquaculture Development Strategy and Action Plan for Bangladesh (2013–2020), and we will work with the
Department of Fisheries, BFRI, national and international NGOs, and the private sector to pursue these.










Table 7. Selected non-CGIAR partners at discovery, proof of concept and scaling stages of the impact pathway.

Discovery Proof of concept Scaling
FP1 Cluster 1: Fish breeds and genetics
Roslin Institute – Egypt: Ain Shams University in Egypt Egypt: Private sector associations, hatcheries
University of Edinburgh; (field research on gene-environment and farms (hatchery investments, broodstock
UoS; SRUC; JCU; Nofima interactions of Abbassa tilapia strain) management and dissemination of improved
Norwegian University of tilapia breeds)
Life Sciences (consortium Nigeria: University of Ibadan Nigeria: Federal Ministry of Agriculture and Rural
developing genomic tools (management of tilapia breeding Development (policy and capacity development
for identification and program) initiatives); private sector associations,
incorporation of resilience hatcheries and farms (hatchery investments and
traits/efficiencies in fish dissemination of improved tilapia breeds)
improvement programs). Zambia: Department of Fisheries Zambia: Department of Fisheries (policy and
(management of facilities for tilapia capacity development initiatives for
breeding program and strain aquaculture); private sector (hatchery
The Genomic Analysis
comparisons) investments and dissemination of improved
Centre, University of
tilapia breeds)
Norwich; Bangor
Bangladesh: BAU and Department of Bangladesh: Department of Fisheries and BRAC
University (methods for
Fisheries (management of carp (investments in tilapia and carp breeding
genomic analysis of tilapia
genetics and breeding programs) programs and dissemination of improved tilapia
genetic diversity and
and carp); private sector (investments for tilapia
domesticated-wild tilapia
breeding satellites and dissemination of
interactions).
improved seed)
Myanmar: Department of Fisheries Myanmar: Department of Fisheries (fish seed
(management of rohu carp and policy) and Myanmar Fisheries Federation
Wageningen University;
tilapia breeding programs) (dissemination of private sector models; private
CIRAD (research on fish
sector (hatchery investments and dissemination
genetic- environment,
of improved tilapia breeds)
yield gaps and feed
efficiencies).
FP1 Cluster 2: Fish health, nutrition and feeds
Egypt: ARC-Central Laboratory for Egypt: Fish farmers and hatchery associations,
Health: CEFAS; Exeter Aquaculture Research (CLAR), Kafr El General Authority for Fisheries Resources
University; UoS; Sheikh University, Suez Canal Development (GAFRD) (investments in scaling
Wageningen University University (field testing of diagnostic application of better health management
(characterization of pond tools, health management packages, practices); private sector (investments for
microbiomes, novel prophylactics for tilapia) processing of raw materials for new feeds and
development of pondside feeding systems)
diagnostics and early ARC-CLAR, Kafr El Sheikh University,
warning tools, novel Alexandria University, Skretting (field
alternative prophylactic testing of novel tilapia feeds)
products) Nigeria: University of Ibadan, Federal Nigeria: Federal Ministry of Agriculture and Rural
University of Technology in Akure Development (policy and capacity development
and Skretting (field testing of novel initiatives); private sector associations,
Feed: Wageningen
tilapia feeds) hatcheries and farms (investments in use and
University and CSIRO
dissemination of improved feeds)
(novel technologies,
Tanzania: Institute of Marine Tanzania: Ministry of Livestock and Fisheries
including the use of
Sciences, University of Dar es Salaam Development (policy and capacity development
microbial processes to
(testing applicability of bioactive initiatives)
bio-convert plant wastes
aquafeeds)
into bioactive aquafeed
ingredients) Myanmar: Department of Fisheries, Myanmar: Department of Fisheries (policy and
universities and NGOs through the capacity development initiatives in support of
Fisheries Research and Development feed fed aquaculture systems); Myanmar
Network (FRDN) (research on Fisheries Federation and fish farmers
improved feeds and health cooperatives (dissemination of better health and
management) feed management practices for improved tilapia
 and carp)
Cambodia: Fisheries Administration, Cambodia: Fisheries Administration (policy and
Department of Aquaculture and capacity development initiatives in support of
private sector (co-development of feed fed aquaculture systems); private sector
profitable feed fed aquaculture (investments in feed formulation and
systems adapted for Cambodia) dissemination of improved fish feeds)
FP1 Cluster 3: Aquaculture systems
Stockholm Resilience Egypt: Kafr El Sheikh University and Egypt: Skretting, GAFRD, governorate-level fish
Center (design of research CLAR (farm trials and verification of farmers associations (dissemination of improved
using resilience aquaculture systems research) technologies and private fish farms for adoption
frameworks and LCA) of newly developed farming systems [e.g. in-pond
raceways] and implementation of BMPs); CARE

and World Food Program (testing scaling of small-
Wageningen University scale homestead aquaculture system packages in
and Auburn University Upper Egypt)
(design of social

aquaculture system
Tanzania: Institute of Marine Tanzania: NGOs and private sector
research and development
Sciences, University of Dar es Salaam (incorporating validated aquaculture systems in
of tools and models)
(verification and adaptation of investment priorities and disseminating
coastal integrated aquaculture validated and improved technologies and
Institute of Development system research) gender-sensitive business models)
Studies (support to gender Zambia: Department of Fisheries and Zambia: Department of Fisheries (policy and
analysis and gender- Indaba Agricultural Policy Research capacity development initiatives); private sector
sensitive and inclusive Institute (verification and adaptation (scaling validated technologies and business
business models) of integrated aquaculture systems models); Copperbelt University, Natural
research) Resources Development College (NRDC) and
UoS (methodological Kasaka Fisheries Training Institute (KFTI)
guidance on integrated (research and development [R&D] capacity
farm assessments) building)
Bangladesh: BAU, Bangladesh Bangladesh: Department of Fisheries, BRAC and

Institute of Development Studies private sector (dissemination of integrated
Australian National (verification and adaptation of packages of improved tilapia and carp
University (supply and aquaculture systems research; technologies)
demand modeling for gender-sensitive value chain
aquaculture) Cambodia: Fisheries Administration Cambodia: Fisheries Administration (policy and
(testing and monitoring new capacity development initiatives in support of
production systems); Helen Keller improved production systems); private sector
International (verification and (adoption of improved production systems);
adaptation of small-scale NGOs (deployment of aquaculture systems
aquaculture system research) within livelihood programs)
2.8 Climate change

FP1 research contributes to addressing mitigation and adaptation of climate change in several ways. First, our research
contributes to mitigation by reducing greenhouse gas emissions from fish farming. Recent L&F research on Egyptian
tilapia production systems using LCA tools (Henrikson et al. 2016) indicates that greenhouse gas emissions can be
reduced by ~20% per unit of production by improving pond management and reducing fish feed wastage. Building on
this research, we will identify deeper reductions in greenhouse gas emissions from aquaculture through better pond
management, reducing reliance on fossil fuels, identifying cost-effective alternatives to wild-harvest fishmeal in
aquafeeds and siting aquaculture facilities away from areas with sequestered carbon.

Secondly, our research will develop, test and scale up climate-smart aquaculture technologies and production systems
to build adaptive capacity and resilience to climate change for farmers and stakeholders in aquaculture value chains. By
introducing new traits for climate resilience in tilapia, such as temperature or salinity tolerance, we will empower fish
farmers affected by salinization and changing rainfall patterns. Further, brackish- and high temperature-tolerant tilapia
with excellent growth efficiency will enable farmers to maintain food production in times of climatic instability. This
research builds on work by WorldFish and CCAFS in Bangladesh and Vietnam on climate-smart agriculture.

Collaboration with CCAFS will enable us to draw on analyses of future climate scenario projections, early warning
systems of monsoon shifts, and saline incursions, feeding into design of climate-smart aquaculture systems for wider
scaling. A collaboration between FAO and WorldFish to analyze aquaculture and climate change in Africa will be
completed in mid 2016, providing a foundation for future research on development of climate-smart approaches to
aquaculture in Africa, which are urgently needed.

2.9 Gender

An estimated 76 million new jobs will be created globally by the growth of aquaculture between 2010 and 2050, with
most in developing countries (Waite et al. 2014). FP1 gender research will focus on how opportunities arising from the
growth of aquaculture can be gender- and socially inclusive and equitable. This will inform FP1 innovations to leverage
equal opportunities for women to generate wealth through aquaculture production and value chain employment and
entrepreneurship.

Cluster 1 generates new knowledge about the gendered needs and preferences of women and men in relation to
improved tilapia and carp strains in different countries and contexts. It analyzes gendered experiences of the benefits
and drawbacks from the production and release of improved fish seed, including labor demands, to better integrate
gender into fish breeding R&D.

Cluster 2 identifies previously unassessed differences and commonalities in women’s and men’s priorities, needs and
knowledge on fish feeds and health, to generate new gendered insights to inform technology R&D. The cluster will
identify and test gender-responsive feed and husbandry innovations that can enhance women’s engagement in
aquaculture production while maintaining a manageable workload. Working with FP3, the cluster will investigate how
feed quality affects the nutritional content of fish, in particular for consumption by pregnant and lactating women and
young children.

Cluster 3 investigates which factors limit or enable women’s access to and control over aquaculture assets such as fish
fry, extension, finance and storage. The cluster will draw on this research to identify and test opportunities and
strategies for more gender-equitable engagement in and wealth generation from aquaculture value chains, through
safe, dignified and higher-return employment and entrepreneurship. This includes building on cluster 2 to identify and
assess opportunities for women-led fish feed formulation enterprises.
2.10 Capacity development

Capacity development is an enabler of all change mechanisms of the CRP-level theory of change. A tailored capacity
development program will be implemented through an iterative process starting with capacity needs assessments and
intervention strategies (CGIAR Capacity Development Framework element 1). It will focus on capacity of smallholders to
demand and adopt aquaculture technologies and use improved management practices, as well as needs of service
providers to supply inputs, knowledge and skills targeted at men and women fish farmers. Resulting interventions will
use innovative learning materials and approaches (element 2) such as partnering with IT providers pilot the use of
mobile financial services in Bangladesh and training in aquaculture technology and policy development and
entrepreneurship for Africa. All materials and approaches will be gender and youth sensitive (element 5) in line with our
gender and youth strategies (see Annexes 3.4 and 3.5).

Aligning with the program’s partnerships strategy, our needs assessment will identify gaps and interventions to increase
the capacity of scientists to partner (element 3). We will develop future research leaders (element 4) through
internships and postgraduate programs, such as through partnership with the Lilongwe University of Agriculture and
Natural Resources (LUANAR), an Africa Center of Excellence in Aquaculture and Fisheries for postgraduate training of
aquaculture researchers, and at the WorldFish aquaculture research and training center in Abbassa, Egypt. Monitoring
and evaluation of capacity development (element 7) will be integrated into program-level M&E (see Annex 3.3).

Institutional strengthening (element 6) will focus on strengthening public and private sector capacity in fish breeding
and dissemination of new technologies in extension and outreach programs. This will include multi-stakeholder
dialogues to inform improved policy and legal frameworks in the countries where we work.

2.11 Intellectual asset and open access management

FP1 will manage intellectual assets consistent with CGIAR, center and partner policies and procedures, as well as those
of our bilateral donors. The flagship will contribute to and take advantage of program-level mechanisms to ensure
widespread usage and analysis.

FP1 research outputs will be available through the CRP website, as well as those of our partners where appropriate.
Prompt and broad dissemination in appropriate formats will maximize accessibility and impact of research outputs.
Tools for genomic analysis, feed ingredient assessments, aquaculture business planning, social and environmental
impact assessment, and other scientific and development applications will be placed online or in other open access
media and formats as appropriate. Genetically improved fish seed and preserved samples archived in our biorepository
will be made accessible to partners according to WorldFish policies, such as that related to transfer of improved strains.
WorldFish will advise partners on responsible transfers and introductions and how to set up and maintain improved
stock, as well as how to multiply and disseminate to farmers. Exceptions to open access may include information that is
sensitive due to privacy concerns, political sensitivity and adverse effects on farmers’ rights and confidential information
associated with permitted restrictions or subject to limited delays to seek intellectual property rights.

Datasets will be anonymized and made available as open access. Datasets will be generated through each research
cluster and include genetic datasets, feed ingredients and nutritional quality data, and technology performance
assessments. FP1 will also contribute aquaculture species data to FishBase, the world’s leading open access database on
fish biology. Science outputs will, when appropriate, be published in open access journals, or the program will purchase
open access privileges for publication in non-open access journals.
2.12 FP management

The flagship will be led by WorldFish. The flagship leader, Dr. Michael Phillips, will (1) provide overall strategic leadership
for flagship research; (2) work with cluster leaders, scientists and other flagship leaders to develop and oversee
execution of the research agenda for the flagship; and (3) lead identification and negotiation of significant strategic
science partnerships that will strengthen links between the flagship science team and leaders in the appropriate body of
science. A country coordinator for FP1 will act as a focal point for the flagship’s engagement in each focal country.

Cluster 1: Fish breeds and genetics will be led by WorldFish in collaboration with key science partners at Roslin Institute,
SRUC, TGAC, Bangor University, and Nofima and Norwegian Agricultural University for genetics research.

Cluster 2: Fish health, nutrition and feeds will be led by Wageningen University in collaboration with key science
partners at CSIRO on novel fish feed ingredients and CEFAS, UoS and University of Exeter for fish health research.

Cluster 3: Aquaculture systems will be led by WorldFish in collaboration with key science partners at the Institute of
Development Studies, Auburn University, UoS, and the Stockholm Resilience Center for systems research.

Each cluster will be planned and executed in close collaboration with key science partners. Cluster leaders will (1)
provide overall strategic leadership for cluster research; (2) work with contributing scientists to develop and oversee
execution of the research agenda for the cluster; and (3) lead identification and negotiation of significant strategic
science partnerships for the cluster.

CVs of flagship leads, cluster leads and other key scientists leading implementation of the flagship research are provided
in Annex 3.8.
Flagship 2: Sustaining small-scale fisheries

3.1 Rationale and scope

Background analysis. Fish is by far the fastest-growing animal-source food, and is a critical contributor to global food
and nutrition security (Beveridge et al. 2013; Troell et al. 2014; Béné et al. 2015). Demand for fish is projected to
continue to rise, particularly in Asia (World Bank 2013; OECD-FAO 2015). Despite the growth of aquaculture, capture
fisheries will continue to supply most of the fish consumed in much of the developing world in the coming decades. The
great majority of these fisheries are small-scale, operating in rivers, lakes and wetlands and in coral reefs and estuaries
in coastal seas (World Bank/FAO/WorldFish 2012).

Small-scale fisheries (SSF) generate food and income, often where formal markets and supply chains function poorly.
However, the role SSF play in nutrition and livelihood security is poorly represented in global debates about food
security and development. Pressures from within and external to SSF threaten sustainability and the equitable
distribution of the benefits they provide. The complexity of fisheries, both in their ecology and the social and
institutional environments they operate in, has thwarted the search for universal solutions. Securing and rebuilding SSF
for the millions of people who depend on them is a significant and urgent problem, and is the central rationale for
flagship 2 (FP2).

Problem statement. Sustaining and increasing the contribution of SSF to poverty reduction and food security requires
addressing three interrelated problems. First, overharvesting caused by increased fishing to meet local and distant
demand, combined with insecure resource tenure and competition with other users, has degraded the resource base of
many SSF. Social and economic drivers outside the sector influence the availability of alternative livelihoods, while
ecological drivers undermine ecosystem functions, notably for coral reefs. Second, the sustainability of inland SSF is
threatened by changes in the broader landscape. These include infrastructure development (dams, irrigation systems,
roads) that disrupt ecological flows and connectivity, and agricultural intensification and land-use conversion that
reduce wild fisheries productivity in multiple-use systems such as rice field fisheries. Third, even where local innovations
address some combination of these threats in coastal or inland systems, there is inadequate policy recognition of the
importance of SSF and poor alignment of effort among diverse stakeholders to drive solutions at higher scales.

Scope and approach. The objective of FP2 is to secure and enhance the contribution SSF make to poverty reduction and
food security by addressing these three barriers in select geographies. FP2 is motivated by the vision that strategic
investments in fisheries research, embedded in partnerships and networks, and building on the strengths of fishing
communities, will sustain and improve the contributions fisheries make to the wellbeing and social-ecological resilience
of fishery systems. We view SSF from a systems perspective (Sayer and Campbell 2004; Andrew et al. 2007; Pomeroy
and Andrew 2011) and pursue research through a combination of global and regional analysis and place-based research
in strategic coastal and inland geographies.

We will build on progress in decentralized fisheries governance, which has proven potential to address sustainability,
food security and poverty alleviation objectives (Evans et al. 2011; Cinner et al. 2012). Central issues include gender and
other social differentiation in the control of assets and in decision-making, increasing the profile of fish in policy
agendas, and fish trade in domestic and intra-regional food systems. We will develop and refine tools, engagement
processes, management models and supporting policies suited to the contrasting contexts (clusters 1 and 2). These
streams of research will be integrated with analyses of drivers of change affecting the future of SSF and their role in
regional food systems (cluster 3).

FP2 will focus on Africa and Asia-Pacific, where the largest numbers of poor people depend on fish for food and nutrition
security and where our research can have impact at scale. In Asia-Pacific, we will focus on inland and estuarine fisheries
in Bangladesh, Myanmar and Cambodia and coral reef fisheries in Solomon Islands. In Africa, we will continue work on
inland fisheries and the small fish that constitute the majority of catches. We will work in Zambia as a case study on the
complexities of land use and governance of fisheries. We will initially focus our scaling research on coastal co-
management in the Philippines and subsequently in Tanzania. Scenario and foresight development to engage with policy
stakeholders will focus on trade along complex value chains in the (1) Africa Great Lakes, (2) Mekong region and (3)
Pacific food system.

Grand challenges and Sustainable Development Goals. FP2 focuses on the grand challenge of unsustainable harvest of
fish from the oceans and from aquatic systems (the only flagship in the CGIAR portfolio to do so). FP2 also contributes
to addressing the grand challenges of overdrawn and polluted water supplies, nutritious and diverse agri-food systems
and diets, and on climate change through analyses of vulnerability and adaptation and climate change implications of
alternative uses of land and other aquatic resources.

FP2 contributes to a number of SDGs, particularly SDG 14: Conserve and sustainably use the ocean, seas and marine
resources. FP2 also contributes to SDG 6.6 on protecting and restoring water-related ecosystems. Alongside investments
in ecological sustainability goals, the flagship examines how these translate to reducing poverty (SDG 1) and increasing
food security (SDG 2), gender equality (SDG 5), and sustainable livelihoods and economic growth (SDG 8). SDG 8
recognizes the importance of Small Island Developing States and the particular development challenges they face.

3.2 Objectives and targets

The objective of FP2 is to secure and enhance the contribution of SSF to poverty reduction and food security in priority
geographies. To achieve this, fisheries need to be ecologically sustainable and governed for objectives of food security
and resilience of fishery-dependent households.

FP2 will primarily deliver research outputs and outcomes in support of system-level outcome (SLO) 1 (reduced poverty)
and the enabling conditions provided by SLO 3 (improved natural resource systems and ecosystem services). Improved
fisheries governance will increase the productivity of fisheries and the yield from them; FP2 will therefore make
secondary contributions to SLO 2 (improved food and nutrition security for health).

The primary target beneficiaries of FP2 are the fishery-dependent households and communities in the places we work
and the traders and consumers of fish they produce. Many value chains are long and complex, creating wealth and
opportunity at multiple points. Contributions to SLO 1 targets therefore refer to people and households dependent on
fishing and associated processing and trade as a significant contributor to their income and livelihood. Contributions to
SLO 2 targets similarly consider benefits for food security and nutrition realized by consumers at multiple scales, often
distant from the source fisheries. In the case of SLO 3, we measure area of inland water body, terrestrial agro-ecosystem
(such as rice field fisheries) or coastal fishery under improved management as a proxy for calculating hectares of
“degraded land area restored.”

Flagship-specific outcome targets and their contributions to SLO targets and sub-IDOs are summarized in Table 8.

Table 8. FP2 outcome targets by 2022.

Flagship-specific outcome targets by 2022
Target geographies
PRIMARY (annual milestones included in PIM Table D)
1 million fishery-dependent households have reduced poverty as a result of adopting Cluster 1
improved fisheries management Solomon Islands and
Addresses SLO target 1.1 and sub-IDOs: Tanzania (scaling
Increased capacity to cope with shocks investments in
Increased livelihood opportunities Philippines and
Enhanced capacity to deal with climatic risks and extremes Vietnam)
Improved capacity of women and young people to participate in decision-making
Gender-equitable control of productive assets and resources
Cluster 2
1.2 million people, of which 50% are women, assisted to exit poverty through livelihood Bangladesh,
Cambodia, Myanmar,
improvements
Zambia
Addresses SLO target 1.2 and sub-IDOs:

Increased capacity to deal with climatic risks and extremes

Increased capacity to cope with shocks
Cluster 3
Increased livelihood opportunities
National and regional
2.1 million hectares of aquatic and coastal marine habitat restored and under more foresight and intra-
productive and equitable management regional trade
Addresses SLO target 3.3 and sub-IDOs: analyses across all
Enhanced conservation of habitats and resources countries in the Pacific
Increased resilience of agro-ecosystems and communities, especially those including region and regional
smallholders trade analyses in
Conducive agricultural policy environment Africa Great Lakes
region and Mekong
Flagship-specific outcome targets by 2022 Delta
SECONDARY (progress measured through CRP-level M&E)
0.3 million people, of which 50% are women, without micronutrient deficiencies as a result
of increased consumption of fish sourced from small-scale fisheries
Addresses SLO target 2.3

0.6 million more women of reproductive age consuming adequate number of food groups as
a result of improvements in small-scale fisheries
Addresses SLO target 2.4

FP2 seeks to reduce poverty of fishery-dependent households in focal countries and beyond. Initial investments in
2017–2018 will be in inland/estuarine fisheries in four countries (Bangladesh, Cambodia, Myanmar and Zambia) and two
coastal systems (Solomon Islands and Philippines). We will increase resources and investments in other African and
Asian countries (initially focusing on coastal fisheries in Tanzania and Vietnam) in 2018 and beyond, following targeted
and strategic fundraising after a period of consultations with national and regional partners. Improved fisheries
governance aims to deliver more food, more income, and greater social inclusion and distribution of benefits. Within
households we will disaggregate and track progress for young people and women.

In making contributions to SLO 2 (reduced poverty), we recognize the multidimensional nature of poverty and therefore
the interrelated nature of the IDOs and sub-IDOs as they measure outcomes. Our approach considers three primary
dimensions of poverty: (1) income and asset poverty, the condition in which individuals and households do not have
access to sufficient means to sustain a decent standard of living (addressed through sub-IDO 1.3.2); (2) vulnerability, the
result of people’s exposure to risks, the sensitivity of their livelihood systems to these risks, and their capacity to use
assets and capabilities to cope and adapt (1.1.1, 3.3.1 and XC 1.1.4); and (3) marginalization or social exclusion (XC 2.1.3,
XC 3.1.3). All three dimensions of poverty are strongly gendered, age-dependent and interactive. For example, people
who are socially excluded or marginalized may become income and asset poor, and asset poverty reduces capacity to
adapt, making people more vulnerable to external shocks and adverse trends. Action research interventions aimed at
building well-being and resilience in communities dependent upon SSF aim to capture these multiple dimensions.

FP2 investments for each sub-IDO are summarized in Table 9.

Table 9. Investments by sub-IDO for FP2 for 2017–2022. Note that only the most relevant sub-IDOs are listed—a wider
set of sub-IDOs is addressed in collaboration with other flagships.

Sub-IDO name Total amount W1+W2 (%) W3/Bilateral (%)
SLO-related
1.3.2 Increased livelihood opportunities $12.83M $3.85M (30%) $8.98M (70%)
3.3.1 Increased resilience of agro-ecosystems and
communities, especially those including $12.83M $3.85M (30%) $8.98M (70%)
smallholders (see also XC 1.1.5)
3.2.1 More productive and equitable management
$12.83M $3.85M (30%) $8.98M (70%)
of natural resources
Cross cutting
XC 1.1.4 Enhanced capacity to deal with climatic
$5.35M $1.61M (30%) $3.75M (70%)
risks and extremes (see also 1.1.1 and 3.3.2)
XC 2.1.1 Gender-equitable control of productive
$5.35M $1.61M (30%) $3.75M (70%)
assets and resources
XC 2.1.3 Improved capacity of women and young
$5.35M $1.61M (30%) $3.75M (70%)
people to participate in decision-making
XC 3.1.3 Conducive agricultural policy environment $5.35M $1.61M (30%) $3.75M (70%)
Total $59.89M $17.97M (30%) $41.92M (70%)

The flagship will contribute to all four cross-cutting IDOs, in collaboration with other flagships within FISH and other
CRPs, particularly CCAFS, PIM and WLE. Specifically, we address enhanced capacity to deal with climatic risks and
extremes (XC 1.1.4; see also 1.1.1 and 3.3.2), gender-equitable control of productive assets and resources (XC 2.1.1),
improved capacity of women and young people to participate in decision-making (XC 2.1.3) and conducive agricultural
policy environment (XC 3.1.3). Integral to achieving each of the named sub-IDOs is also increased capacity for
innovations in partner development organizations and in poor and vulnerable communities (XC 4.1.4).

Within SLO 3 we focus on the sub-IDOs that track attributes and outcomes of improved fisheries governance: increased
resilience of agro-ecosystems and communities (3.3.1; see also XC 1.1.5), and more productive and equitable
management of natural resources (3.2.1). FP2 also contributes to other sub-IDOs, such as enhanced conservation of
habitats and resources (3.1.2) and increased capacity for innovation in partner development organizations and in poor
and vulnerable communities (XC 4.1.4), but these are secondary to the named sub-IDOs.

Outcome milestones are provided in the Performance Indicator Matrix, and the program approach to outcome
monitoring, evaluation, and impact assessment is addressed in Annex 3.6.

3.3 Impact pathway and theory of change

Securing and increasing the contribution of fisheries to poverty reduction and food security depends on the ecological
sustainability of harvests. However, sustainability alone is not sufficient. To reduce poverty, access rights and benefits
need to be equitably distributed and fisheries need to be integrated with diverse livelihoods. While isolated knowledge
advances can lead to local outcomes, impactful research must be embedded in wider governance and political
processes, engaging diverse community, civil society and public sector partners at multiple scales.

The flagship theory of change (ToC) reflects this multi-scale approach (Figure 5) and incorporates fishery-specific
propositions (Table 10) relating to the CRP-level change mechanisms. These propositions will be tested in three
interlinked clusters. Clusters 1 and 2 address coastal and inland/estuarine fisheries, and the barriers to improved
productivity, including overfishing and landscape-scale resource competition and governance (e.g. infrastructure
development and other uses of land and water). Cluster 3 integrates the place-based clusters to address the role of
fisheries in poverty reduction at national and regional scales. By combining local innovations with those at higher scales,
the three clusters aim to contribute jointly to gender-equitable resource access, control of assets and distribution of
benefits for fisheries-dependent households, improved management, and sustained yields from marine and aquatic
environments, leading to increased incomes and livelihood resilience.

Cluster 1 will work on decentralized management and livelihoods in coastal fisheries in Solomon Islands and the
Philippines. These countries are highly dependent on coastal fisheries for rural livelihoods and food security, have a
supportive policy environment, and offer opportunities to influence regional policies and practices within the Asia-
Pacific region. All these countries have capacity deficiencies in delivering long-term co-management and livelihood
solutions that result in equitable impacts, challenges that are emblematic of many coastal nations. We will build on
methods piloted by WorldFish to refine community engagements that lead to increased ecological sustainability,
enhanced production for food security, and improved opportunities for men and women to generate income. These
engagements include (1) co-management to sustain fish stocks and ensure women’s and men’s access to and control
over the resource, and (2) measures to increase benefits by improving equitable market access and building alternative
livelihoods. To achieve impact at scale, we promote the spread of innovations through learning and governance
networks, ultimately embedding these in policies of governments and regional bodies, as well as within the priorities of
development agencies and civil society actors.

Cluster 2 focuses on SSF in multifunctional, estuarine and freshwater landscapes in Myanmar, Cambodia, Bangladesh
and Zambia, with an emphasis on managing competition and adapting to external drivers of change. In addition to their
high reliance on freshwater fisheries and relatively strong government commitment to the sector, these countries
exemplify the challenges of sustaining the livelihood and nutritional benefits of SSF amid intensifying competition over
water resources, related infrastructure development, conversion of key aquatic habitats and climate change. SSF-
dependent communities have struggled to achieve the visibility necessary to influence policy and regulatory
environments amid competition for water and landscapes. Activities will focus on drivers of change, tradeoffs, and
governance mechanisms to sustain and increase the contributions of fisheries in the face of these challenges.

Cluster 3 is based on the proposition that policy will better sustain and transform the role of fisheries for poverty
reduction and food security if forward-looking scenario and foresight analysis is used in multi-stakeholder dialogue to
raise the profile of fish in regional food systems. In the African Great Lakes fish trade corridor and the Mekong Delta, we
will examine how domestic and intra-regional trade affects capture fisheries production, and how trade policy and other
measures can influence the livelihood and nutritional benefits of fish from these sources for the poor and marginalized.
In the Pacific islands food system, we will examine how the contribution of SSF evolves under a range of ecological and
social drivers, focusing on climate change. These three case studies provide a strong basis for generalizable lessons
about how fish in food systems at larger scales interface with the place-based value chain work of FP3.

The impact pathway diagram and ToC narrative outlined here simplify complex, interactive mechanisms linking research
to development outcomes. As detailed in Table 11, strategies to address risks include (1) capacity development in
gender-sensitive and transformative approaches, community livelihood and management interventions, and responsive
and accountable institutions; (2) outcome evaluation assessing progress in fostering governance networks; and (3)
building on established partnerships to maximize opportunities to apply research within policy design and
implementation.

Table 10. Flagship propositions. These propositions relate to and ground the CRP-level mechanisms described in Section
1: (a) local adoption and dissemination of technologies and management practices; (c) public sector policy improvement
and institutional strengthening; and (d) influence on policies and priorities of civil society and development agencies.
FP2 does not emphasize research on change mechanism (b) private sector investment and replication of innovative
business models.

Flagship-specific propositions Cluster in which addressed
Co-management: Localized improvements to resource governance implemented with 1, 2
partners and fishing communities will improve sustainability and lead to equitable
improvements in food security (change mechanism a).
Livelihoods and markets: Localized improvements to livelihood alternatives and market 1
access will lead to reduction in poverty. Improved food security will result from
governance and livelihood interventions implemented in collaboration with partners and
fishing communities (change mechanism a).
Scaling through networks: Substantive, sustainable and equitable improvements in food 1, 2
security, poverty reduction and sustainability will result from mobilization of innovations
through networks and strategic investments in networks (change mechanisms a, c and d).
Governance landscapes: Local and cumulative impacts of localized interventions, and the 1, 2, 3
ability of SSF to sustain and improve the benefits they deliver, will be accelerated and
enhanced by creating a stronger enabling environment (change mechanisms c and d).

External drivers of change: Accounting for external drivers (e.g. trade, resource 2, 3
access/trade agreements, global environmental change) in local interventions and broad-
scale policy will improve SSF resilience (change mechanisms c and d).
Imagining alternative futures: Policy will better sustain and transform the role of fisheries 3
for poverty reduction and food security if forward-looking scenario and foresight analysis
is used in multi-stakeholder dialogue (change mechanisms c and d).
Capacity development: Investing in the capacity of CRP partners through gender-sensitive 1, 2, 3
and transformative approaches, learning and governance networking, community
livelihood and management interventions, and responsive and accountable institutions
will accelerate and enhance impact (change mechanisms c and d).
Gender, equity and youth: Improving equitable access to, and control of, assets and 1, 2, 3
participation in decision-making will accelerate poverty reduction and improvements in
food security (change mechanisms a, c and d).

Figure 5. FP2 impact pathways.

Change Research Change

Change Development Sub-
Research outputs IDOs
mechanism outcomes mechanism
mechanism outcomes IDOs

Cluster 1. Resilient coastal •  Women, youth and men Increased livelihood

fisheries engaged in co- opportuni<es
1a management 1a
•  Co-management models
tested and refined for •  Tradeoffs between
mul<ple objec<ves
inclusive governance, food
security and sustainability accounted for in co-
management models Increased access to
•  Tradeoffs between
•  Men and women engaged produc<ve assets,
sustainability, resilience,
in alterna<ve livelihood including natural
food security and wellbeing Management
strategies resources
assessed measures promote
•  Innova<ons promoted,
•  Alterna<ve livelihood spread by NGO and public gender-equitable
strategies assessed 1c sector 1c resource access, Gender-equitable
•  Catalysts to spread •  Increased capacity of control of assets and control of

innova<ons iden<fied benefits for fishery-

na<onal and regional
dependent produc<ve assets
•  Cross-scale governance ins<tu<ons to implement and resources

SSF-suppor<ve policies households
mechanisms iden<fied that
1d
support the viability of 1d

innova<ons Increased

incomes and
employment
Policies and
programs beEer
•  Increased household and

Cluster 2. Fish in aligned to support

mul7func7onal landscapes community capacity to
improved livelihood
adapt to hydrological

•  Assess and refine 2a 2a opportuni<es, Increased resilience
governance and produc<on variability of agro-ecosystems
increased incomes

models for integrated •  Governance and and adap<ve and communi<es
produc<on models for

aquaculture and agriculture capacity
•  Cross-scale governance integrated aquaculture


mechanisms tested and and agriculture applied

widely, and produc<vity Improved food
refined to account for

and nutri<on

impacts of external drivers increased
•  Na<onal and regional security for
and compe<<on on SSF
Marine and aqua<c
health
•  Tradeoffs between SSF,
water management,
environments

infrastructure and land use infrastructure and land-
produce higher
2c 3c
understood use policies account for
yields, contribu<ng

•  SSF func<ons for food SSF rights and access
to livelihoods More produc<ve
•  Visibility of SSF func<ons and equitable

security and poverty
allevia<on, and threats, raised in cross-sectoral management of

assessed NGO and public sector
natural resources
2d policies 2d

Increased social-
More
ecological resilience sustainably
of produc<ve
managed agro-
systems under beEer
ecosystems

Cluster 3. Fish in regional •  Profile of SSF raised in
management
food systems inter-sectoral agricultural,

health, trade and

•  Regional and global 3a
3a development policy
analysis of the current Conducive
state and poten<al of SSF •  SSF func<ons beEer agricultural policy
for food security and accounted for in trade environment
wellbeing policy
•  Policies and prac<ces of
•  Impacts of intra-regional
NGO and public sector Enhanced capacity to
and global trade paEerns
informed and responsive deal with clima<c
and policies on the pro-
to future scenarios risks and extremes
poor func<ons of SSF 3c 3c
assessed
•  Foresight analysis of global
environmental change on Enhanced capacity of
SSF performance youth and women to
3d 3d
engage in decision-
making

Table 11. FP2 change mechanisms.

Change Key risks and assump7ons associated with change Corresponding strategies and risk management ac7ons
mechanism mechanisms

Research outputs to research outcomes Research outputs to research outcomes

1a – 2a Communi<es willing to engage in co- 1a – 2a Iden<fy communi<es on need and expressions of interest;
management, alterna<ve livelihoods and integrated tailor ac<vi<es to local demand
a agriculture/aquaculture 1a – 2a Employ par<cipatory processes to establish co-management
1a – 2a Co-management, livelihood and integrated and livelihoods, with ‘resilience’ an explicit objec<ve
agriculture/aquaculture improvements sustained post- 1a – 2a Co-develop innova<ons with partners; focus strategic
Local adop<on engagement research and engagements explicitly on dissemina<on via networks
and 1a – 2a NGO, public sector and development agencies
dissemina<on of recep<ve to new innova<ons and policy amendments,
technologies and and able to play a dissemina<on role effec<vely Research outcomes to development outcomes
management 1a Implement par<cipatory ac<on research with explicit aEen<on to
prac<ces Research outcomes to development outcomes gender and social differen<a<on in co-management and alterna<ve
1a – 2a Co-management, livelihood strategies and livelihoods
integrated farming methods realize equitable outcomes, 2a Explicitly engage with cross-sectoral and cross-scale drivers and
and do not succumb to elite capture partners in research; build co-management and livelihood
1a – 2a The outcomes from new innova<ons are not innova<ons into broader community-resilience-building approaches
threatened by external drivers of change 1a – 2a Co-develop co-management and livelihood innova<ons with
1a – 2a Replicated forms of co-management, livelihood NGO and public sector; incorporate lessons on challenges and
and integrated farming innova<ons s<ll deliver equitable tradeoffs in capacity building and communica<on resources
and sustained improvements to food security,
produc<on and incomes

Research outputs to research outcomes Research outputs to research outcomes

1c – 2c Government policy supports local governance 1c – 2c Select countries where early policy change indicates progress
and livelihood innova<ons and support towards decentraliza<on, yielding evidence on benefits
1c Public sector and development agencies recep<ve to of decentralized approaches
dissemina<ng and accep<ng new innova<ons and 1c – 2c Co-develop innova<ons and cross-scale governance research
c applying suppor<ve policy amendments with public sector
1c – 2c Government able to implement policy and 1c – 2c Use profile-raising ac<vi<es to support increased public and
Public sector prac<ce changes with adequate budget and technical development investment, and governance networks to moderate
policy capacity capacity gaps
improvement 2c – 3c Government actors across sectors recep<ve to 3c Communicate foresight analyses to raise the profile of current
and ins<tu<onal longer-term concerns of food security and wellbeing and future roles of SSF in food systems
strengthening (including tradeoffs with economic growth)

Research outcomes to development outcomes Research outcomes to development outcomes
1c – 3c Government policy supports longer-term 1c – 2c Raise the profile among government and regional agencies
perspec<ves on decentraliza<on, welfare and ecological of the outcomes and poten<al of decentralized SSF governance and
sustainability objec<ves, vs. short-term economic alignment to SDGs and other policy commitments; engage with civil
growth society to ensure government accountability to SDGs, human rights
1c – 3c Government policy promotes poverty allevia<on and SSF commitments, as well as conserva<on commitments
and food security objec<ves, alongside ecological 3c Employ foresight analysis in exis<ng and ongoing strategic
conserva<on planning and commitment-repor<ng processes

Research outputs to research outcomes Research outputs to research outcomes

1d NGO and development agencies recep<ve and able 1d – 2d Co-develop innova<ons with NGOs and public sector
to promote improved forms of co-management 1d – 2d Conduct analysis of the food security and poverty reduc<on
1d – 2d Health, development and environment-focused func<ons of SSF with cross-sectoral civil society partners and
d agencies recognize SSF livelihoods alongside other development agencies, and work with them to communicate results
conserva<on and development objec<ves in 3d Feed foresight analysis into exis<ng fora for strategic planning
Influence on mul<func<onal landscapes and policy forma<on
policies and 3d Civil society and development agency policy and
priori<es of civil discourse responsive to foresight analysis Research outcomes to development outcomes
society and 1d – 3d Partner to recognize SSF explicitly in cross-sectoral and
development Research outcomes to development outcomes cross-scale governance arenas in which civil society and
agencies 1d – 3d Civil society ac<vi<es do not promote development agencies are ac<ve; build accountability to SDGs,
environmental conserva<on over human wellbeing and human rights and SSF commitments into civil society capacity
food security development work

3.4 Science quality

We strategically align our research priorities to those articulated by community and national stakeholders (e.g. SSF
guidelines, FAO 2015). These are summarized as flagship-specific propositions (Table 10) representing interrelated
dimensions of the SSF challenge and are set within different literatures and theoretical framings. The partners in the
flagship have made significant contributions to that literature (see Table 12 for examples).

Across all clusters, we consider SSF through an overarching lens of social-ecological resilience because it encapsulates
sustainability, poverty and food security; accounts for relationships between social and ecological systems and cross-
scale interactions; and explicitly accounts for feedback and shocks. While this focus is closely aligned to the objectives
and commitments laid out in the SSF guidelines (for example), efforts to apply resilience thinking in practice have
struggled to account for the human dimensions and objectives of social-ecological systems (Cote and Nightingale 2012;
Brown 2014). We will address this gap through our comparative advantage in social and interdisciplinary science in the
SSF domain, and through established and emerging policy networks in Asia, Africa and the Pacific. For example, within
our efforts to improve livelihoods and strengthen co-management, we will examine and test how resilience is defined
locally, how it is built, and the inevitable tradeoffs that determine where improved resilience does, and does not,
translate to improved wellbeing (Hicks et al. 2009; Mills et al. 2011; Coulthard 2012; Cohen et al. 2013). We employ
quantitative fisheries and demography research to examine changes in productivity, ecological status, and incomes and
nutritional status of men, women and children reliant on SSF.

We recognize the multidimensional nature of development and the inadequacy of framing poverty solely in economic
terms (Stiglitz et al. 2009). We will build on conceptual framing and measurement of human wellbeing to reconcile
resilience insights with poverty alleviation and ecological sustainability (Smith and Subandoro 2007; Ballard et al. 2011;
OECD 2013; McGregor et al. 2015). This will require methodological advances at the interface of research and
development and policy practice at local and national scales. At this interface, CGIAR and FP2 research partners enjoy
comparative advantage and a track record.

Research within clusters 1 and 2 will examine governance and social and ecological outcomes among diverse fishery
systems. While we examine localized cases in depth, we will also use analytical frameworks to facilitate comparative,
cross-case analyses (e.g. Ratner et al. 2013). Employing such frameworks strengthens our analytical power to draw
generalizable lessons for different governance arrangements in different contexts. While there is a great deal of
advocacy around co-management approaches, there is also a paucity of systematic comparison of outcomes,
particularly for the social and equity dimensions (Selig et al. in press). By addressing this gap, we can provide robust
guidance for policies and practice to achieve impact at scale. This research extends beyond the application of existing
frameworks, and uses applied insights to further refine and operationalize them. Both the use and refinement of
frameworks will be subject to peer review.

In clusters 1 and 2, our work on local impacts and engagement with fishing communities and policy forums aligns with
established and peer-reviewed frameworks that guide implementation and subsequent analyses of implementation and
governance processes (e.g. Andrew et al. 2007; Ratner et al. 2013; Stockholm Resilience Center 2015). Our research will
be co-generated with fishing communities and government, non-government and research agencies using participatory
action research principles that have been shown to promote both local innovation and multi-stakeholder dialogue that
can influence policy and institutional change (Reason and Bradbury 2008; Ratner et al. 2014). Our emphasis on
knowledge co-production from on-the-ground engagements sets us apart from traditional research organizations and
gives our research greater responsiveness to stakeholder needs and increased credibility to influence practice and
policy.

A critical element of our science quality is to understand how locally generated insights and lessons are considered
within a systems perspective, and the potential and limitations of scaling. For example, investments in co-management
and livelihoods can bring about improvements to sustainability and human wellbeing, but structural dynamics (e.g.
international trade, global environmental change) can affect sustainability and human wellbeing to even greater
degrees. Much existing research focuses on one scale or the other; we have a strong comparative advantage for linking
actors in meaningful, evidence-based dialogue about options to address SSF challenges through networks bridging local,
national and regional scales.

Table 12. Propositions addressed in FP2 ToC, their relationship to science literatures and theories, and our track
record in contributing to those fields of enquiry. These relationships and contributions are critical to situating our
research in the literature and as evidence of our capacity to produce IPGs. See Table 10 for summaries of the
propositions and their relationship to change mechanisms.

Flagship Conceptual frameworks and theories Selected evidence of track record on which we
proposition build
Co-management Fisheries and ecological sustainability examined from Cohen and Alexander 2013; Cohen and Foale
the perspective of sustainable fisheries resources 2013; Cohen et al. 2014; Dewan et al. 2014;
(Dugan et al. 2010). Linkages between sustainability Evans et al. 2011; Mapedza et al. 2012;
resilience and adaptive capacity (Gallopin et al. 2006). McClanahan et al. 2011; Schwarz et al. 2011
Governance understood locally (e.g. Ostrom 1990;
Ratner et al. 2013) and from multi-scale governance
perspective (Bavinck et al. 2013).
Livelihoods and Research structured around resilience of Albert et al. 2014; Cinner and Bodin 2010;
markets social-ecological systems (Folke 2006), linkages Cinner et al. 2013; Schwarz et al. 2011; Sulu et
between resilience and adaptive capacity (Gallopin et al. 2015
al. 2006), improved nutritional security and the role of
aquaculture for the poor (Troell et al. 2014; Powell et
al. 2015). Research guided by seminal approaches to
livelihoods by Allison and Ellis (2001).
Scaling through Social network theory (Bodin and Crona 2009; Borgatti Abernethy et al. 2014; Cohen et al. 2012
partnerships and 2009), diffusion of innovation theory (Rogers 2003)
networks and institutional analysis.
Governance Interactive Governance Framework (Bavinck Abernethy et al. 2014; Andrew et al. 2007; Foale
landscapes et al. 2013) and Ratner et al. (2013) framework for et al. 2013; Ratner and Allison 2012
analyzing governance. Analyzing policy and practice
against SDG policy and human rights approaches (e.g.
Allison et al. 2012).
External drivers Research builds on ideas of globalization of social- Albert et al. 2014; Allison et al. 2009; Baran et
of change ecological systems (Young et al. 2006). Explicit focus al. 2015; Eriksson and Clarke 2015; Eriksson et
on global trade and climate change. al. 2015; Hecht and Lacombe 2014; Hoanh et al.
2010; Kam et al. 2016; Kura et al. 2014;
Lacombe et al. 2014; Phong et al. 2016;
Winemiller et al. 2016
Imagining Participatory scenario development and related Dey et al. 2005; Evans et al. 2013; Secretariat of
alternative techniques (Vervoot et al. 2014); foresight modeling the Pacific Community 2015
futures using IMPACT fish supply modeling (World Bank 2013;
Kobayashi et al. 2015) and WorldFish Fish Supply
Model (previously AsiaFish model, Dey et al. 2005).
Capacity Systems approaches to capacity development at Apgar et al. 2015; Leuwis et al. 2014; Sarapura
development individual, institutional and organizational levels et al. 2014
(Morgan 2006; Ortiz and Taylor 2008) and
understanding of capacity development as a process
(OECD 2008).
Gender, equity Ratner et al. (2013) framework to examine gendered Allison et al. 2012; Cohen and Steenbergen
and youth and socially differentiated representation and power 2015; Cole et al. 2015; Kantor et al. 2015;
in SSF governance. Application of wellbeing Morgan et al. 2016; Ratner et al. 2013;
(Weeratunge et al. 2014) and rights-based (Allison et Weeratunge et al. 2014
al. 2012) framings.

To ensure the quality of our science remains high, FP2 will maintain and strengthen the engagement of its implementing
partners in international communities of practice to ensure we are at the leading edge of research for development
(R4D) in fisheries governance. This includes networks that facilitate exchange of methods and approaches across
resource systems, such as the CGIAR Systemwide Program on Collective Action and Property Rights (CAPRi), sustained
through PIM FP5 and the CGIAR Gender Platform (PIM FP6). It also includes sector-specific research networks such as
Too Big To Ignore, a global network established to elevate the profile of SSF.

In addition, we will develop two communities of practice for FP2 that leverage existing investments in science quality,
including research design. For coastal fisheries (clusters 1 and 3) we will use the Coral Reef Centre of Excellence
Scientific Management Committee as a review panel for the design of research. To review our research on the
interactions of inland fisheries with broader trends in landscape-level change (clusters 2 and 3), we will draw on relevant
expertise through our engagement with the Ramsar Convention’s Scientific and Technical Review Panel (STRP) where
International Water Management Institute (IWMI) is an International Organization Partner, and the Ecosystem Services
Partnership, coordinated by the Environmental Systems Analysis Group at Wageningen University.

Our science outputs will also undergo rigorous review. The majority of our research has and will continue to be
published in peer-reviewed literature (see named CVs for recent articles in leading journals). The peer review
mechanism provided by leading journals will remain the benchmark for ensuring science quality in the flagship. Our
research will also be published in regionally appropriate, peer-reviewed venues, to ensure that research is not only
academically robust, but withstands review from practitioners and policymakers. In addition, all the partner research
organizations have internal peer review processes that require sign-off from experts with domain knowledge.

3.5 Lessons learned and unintended consequences

Reviews by the World Bank and African Development Bank on fisheries sector investments consistently point to
governance as the key enabling factor in securing the sustainability of capture fisheries and their economic and social
benefits. The design and approach of FP2 responds to global experience on the pathways and pitfalls to achieving
progress towards this goal.

We have learned that co-management carries risks, particularly when issues surrounding accountability and
representation are not addressed. This creates opportunities for elite capture (Béné et al. 2009; Evans et al. 2011;
Cinner et al. 2012; Cohen and Steenbergen 2015). Our research will pay particular attention to power imbalances and
other social differentiation that interventions may cause or exacerbate.

Fisheries reforms at local, national and regional scales commonly fail because of problems of implementation and
external drivers such as natural, political or economic shocks; internal social relations and leadership issues; and
competition for resources with other sectors (Andrew et al. 2007). More successful reforms anticipate a wide range of
economic, social, political, institutional or environmental risks and opportunities, and build in mechanisms to adapt
(Armitage et al. 2009; Gelcich et al. 2010). Recognizing that social and ecological shocks are inevitable, we focus on
building resilience and adaptive capacity through the design of our engagements. Further, our use of foresight analysis
and multi-stakeholder dialogue on future scenarios, as well as related capacity development efforts, aim to embed such
resilience principles in policy and institutional reform decisions.

Without adequate attention to linkages across sectors and scales, institution-strengthening investments in the sector
also frequently fail to yield the intended results. An African Development Bank review (2008) of fisheries projects found
that “the lack of adequate analysis of the institutional framework is undermining the establishment of mechanisms to
support public, private or civil society organizations.” Similarly, a key lesson of AAS is that strengthening community-
level institutions needs to be complemented by a greater focus on governance across scales and on the external drivers
of change. FP2 uses this learning, notably in cluster 2 where tradeoffs among land and water usage and the ecosystem
services they provide are a focus of research. This can help mitigate risks associated with the potential negative impacts
on fisheries from intensification of agriculture production, for example.

We also recognize risks inherent in action research that aims to influence change in governance, particularly in areas
under collective or contested tenure. We have learned that the process of clarifying tenure, deemed necessary for
resource management and development efforts, can precipitate contestation or dispute (McDougall 2005). Mechanisms
to manage competing perspectives and integrate an awareness of gender and social equity are critical to avoid
aggravating conflicts or unintentionally enabling elite capture. FP2 incorporates lessons from WorldFish’s long history in
community engagement and community-based fisheries management, including from phase 1 CRPs (Douthwaite et al.
2015; Apgar et al. in press). Collaborating for Resilience, co-developed under AAS and PIM in phase 1, will also be used,
along with locally contextualized tools to provide tested approaches to address this challenge through multi-stakeholder
dialogue (e.g. Schwarz et al. 2014) and mediation and conflict resolution between resource users in multifunctional
landscapes (e.g. scenario development and decision support tools developed with WLE).
3.6 Clusters of activity

FP2 will pursue a combination of place-based field research in strategic geographies, comparative analysis and cross-
cutting learning, and analyses of fish in regional food systems. Research in cluster 1 focuses on the challenge of
sustaining production from and equitable access to small-scale coastal fisheries. Cluster 2 focuses on sustaining fisheries
production in multifunctional landscapes in which land-use changes, hydropower development and climate change
present major challenges. Estuarine fisheries at the mouths of rivers are included in cluster 2. Cluster 3 focuses on the
role of SSF in regional food systems, analyzing the drivers of change and routes to improve contributions to food
security, equitable asset building and wealth creation. This integrated set of clusters is designed to address the eight
propositions outlined in the flagship ToC (Table 11).

Cluster 1: Resilient coastal fisheries
Coastal SSF produce approximately half the fish consumed in the developing world and employ 47 million people, about
a third of whom are women (Mills et al. 2011). With appropriate governance, coastal SSF contribute to the wellbeing
and food security of millions of people who have few economic and nutritional alternatives (Béné et al. 2010). Research
in this cluster focuses on sustaining the food security and poverty alleviation functions of coastal SSF through four
streams of action research:
1. strengthening co-management (change mechanism a)
2. building alternative and improved livelihood strategies to reduce poverty and alleviate pressure on coastal fisheries
(change mechanism a)
3. spreading co-management and livelihood innovations via novel, strategic networking (change mechanisms a and d)
4. investing in the enabling environment via regional policy forums (change mechanisms c and d).

We will focus on Solomon Islands and later on Tanzania and Vietnam due to their high reliance on coastal fisheries
(Cinner et al. 2012a; Foale et al. 2013) and opportunities for regional influence. WorldFish and James Cook University
(JCU) have established networks, partnerships and a track record in these countries and surrounding regions. In the first
year of FISH, we will build on JCU’s networks in Tanzania to leverage bilateral funding and expand our Africa
engagement. We will develop in Vietnam in response to national demand as funding is secured.

Country-specific and comparative analyses will address the following questions: (1) How can multi-scale governance be
improved to both increase ecological sustainability and promote gender-equitable flows of benefits from fisheries,
particularly to the most poor and marginalized? (2) What are the tradeoffs between longer-term system sustainability,
resilience and food security, and more immediate improvements to wellbeing? (3) In what ways can resilience be built
into SSF at national, sub-national and local levels to account for external and local drivers of change?

While meta-analyses suggest co-management can contribute to each SLO, impacts are highly variable and socially
differentiated (Evans et al. 2011; Cinner et al. 2012a). This cluster aims to determine the local contexts, tradeoffs and
enabling structures that increase SSF sustainability and equity. We will engage locally and with partners to assess
options for and foster improvements to co-management in communities in Solomon Islands (in Malaita, Western
Province and Langalanga Lagoon).

We will employ data from gender-disaggregated catch surveys, interviews, focus groups and household surveys to test
gender-inclusive and women-targeted livelihood options and market opportunities in Solomon Islands (e.g. fish-
aggregating devices, communication technology for market connectivity). We will use gender-inclusive participatory
approaches to identify livelihood options prioritized by women, men and youth; how they can be introduced in an
equitable manner; and how costs and benefits differ by gender and social group. We will examine outcomes in terms of
poverty alleviation and interactions with SSF sustainability and resilience.

To realize impact at scale, we will strategically invest in partnerships and networks, such as governance and learning
networks in the Asia-Pacific region (e.g. the Locally Managed Marine Area network [LMMA]) and Solomon Islands (e.g.
National Coordinating Committee for the Coral Triangle Initiative). In the Philippines we will focus on scaling co-
management in governance networks (e.g. Iligan Bay Alliance of Misamis Occidental, Regional Development Council).
We will measure impact on practice and policy of network members in terms of co-management practice, livelihood
strategies and gender equity. Using social network analysis, we will measure the institutional and social accelerants and
barriers to innovation spread and network functioning to amplify learning and governance outcomes.

We will synthesize policy lessons and support partners to engage effectively in regional networks, leveraging the
commitments made by countries towards global norms in SSF (e.g., FAO 2015) that reinforce human rights and gender
and social equity in governance. Cross-scale governance interactions are a particular focus. By engaging with policy
instruments and forums, we will influence environmental and development policies and support their implementation
to better protect SSF functions.

Cluster 2: Fish in multifunctional landscapes
Research in this cluster will address how fisheries in estuaries, rivers, wetlands, man-made water bodies and rice field
fisheries can be sustained in landscapes where natural variability, land-use changes, hydropower development and
climate change are major challenges. Additional localized challenges include access rights, power dynamics and
decision-making, and distribution of benefits in terms of gender and social equity among poor and marginalized people.
We will take an interdisciplinary approach to interventions, combining ecological, hydrological and governance research
and providing an understanding of how poor women, men and youth manage risks and realize opportunities. Tools to
negotiate tradeoffs and synergies between fish production and alternative landscape uses will be considered. Research
will cut across scales, linking with and informing national as well as regional development and policy processes. Cluster 2
principally focuses on change mechanisms a and c.

Country-specific and comparative analyses will address the following questions: (1) How do drivers of change affect the
hydrology, ecological character and fisheries livelihood opportunities in multifunctional landscapes? (2) How can
governance mechanisms be improved in these landscapes to support gender-equitable distribution of benefits from
fisheries, particularly to the poorest and most marginalized (including youth)? (3) What tradeoffs between fish
production and other uses within these landscapes need to be considered to optimize contributions to livelihoods, food
security and wellbeing while maintaining long-term ecological sustainability?

We will work in the Bangweulu wetland system in Zambia as a learning site on enhancing the contributions of inland SSF
to diversified livelihoods in southern and eastern Africa. Using remote sensing and geographic information system (GIS)
tools to do land-use classification and change detection analyses, we will assess how temporal and spatial variability in
the hydrological regime affects and influences patterns of wetland utilization and fisheries livelihoods. We will link this
with tradeoff analysis, including the feasibility of integrating fish-rice production systems, in line with the Zambia
Government’s strong support for fish production.

Research in Myanmar’s Ayeyarwady Delta addresses opportunities for improved governance of integrated rice-fish
production systems (including water management) to ensure benefits such as better incomes, nutrition and health are
acquired in a gender-equitable manner by fishers and producers who depend on these systems. Similarly, in Cambodia
we will consider ways of optimizing integrated rice field fisheries production systems in Tonle Sap Lake by testing best
practices and models of water governance that adopt a multiple-use orientation in community fish refuges. In support
of the government’s policy objective to enhance natural productivity of rice field environments, including establishing
1200 fish refuges by 2019, research will help improve governance mechanisms to manage competing resource claims.
This research leverages a substantial USAID investment in rice field fisheries enhancement.

In Bangladesh, we will contribute to improving the governance of the Padma-Meghana river-estuarine system to ensure
socially equitable benefits for women, young people and the landless. In this multifunctional landscape, fisheries,
agriculture, aquaculture and ecosystem conservation can be complementary but also compete. We will analyze the
tradeoffs between SSF, increased productivity and equitable resource management with communities. This research
leverages a substantial USAID investment, which aims to improve community fisheries management and livelihood
resilience, in support of government policy goals for the sector. While these fisheries are multi-species, a focus in
freshwater is on hilsa (Tenualosa ilisha), the national fish of Bangladesh and an important food fish throughout South
Asia.

Lastly, we will research sustaining fisheries and livelihood adaptations in man-made water bodies, focused on sites in
the Mekong and Ayeyarwady basins, where the number of reservoirs is rapidly increasing as a result of irrigation and
hydropower development. There is significant scope to improve management practices to minimize inter-annual
variation in fisheries production. Our research will focus on testing techniques and management frameworks aimed at
increasing natural fish production in these reservoirs without compromising other uses (e.g. ensuring connectivity with
upstream spawning grounds, conservation zones and artificial wetlands). Further, we will test and promote access
strategies that promote equitable benefits from these fisheries, in particular nutrition, for women and children.

Cluster 2 will link with WLE flagship 4 on managing resource variability and competing uses for resilience, including site
integration in Cambodia and Bangladesh, linking our fisheries-focused analysis with broader research on multiple uses of
water and land at landscape and river basin scales.
Cluster 3: Fish in regional food systems
Local research and development outcomes must be understood in the context of larger-scale dynamics and external
drivers such as trade, the rise of aquaculture, regional governance and global environmental change (e.g. Allison et al.
2009; Winemiller et al. 2016). These drivers will have profound impacts on fish supply and demand and on the ways in
which the benefits of growing, catching and consuming fish are enhanced and multiplied by trade. This cluster augments
on-the-ground activities in clusters 1 and 2 to build the evidence base needed to influence policy that enables
productive and equitable SSF (principally through change mechanisms c and d). Activities focus on governance of fish
food systems and alternative future trajectories for selected systems and intra-regional trade.

Country-specific and comparative analyses will address the following questions: (1) How will supply and demand for fish
from SSF evolve in the face of market dynamics, competing claims on landscapes and coastal zones, and demographic
and environmental change? (2) How can policy and practices governing SSF be influenced to maximize their contribution
to poverty reduction and food security? (3) What policies and institutions affecting national and regional trade of fish
are needed to increase gender-equitable impact on food and nutrition security and livelihoods of the poor?

Recent reviews have contrasted projections of supply and demand and the role of fish in regional food systems (e.g. Bell
et al. 2015; Amos et al. 2016). Understanding the future of fish production, trade and consumption will be critical in the
evolution of regulations governing fish production, land use, coastal development, hydropower and food policy. We will
use foresight modeling and participatory scenario development to understand the dynamics of fish in two contrasting
food systems: the Pacific and the lower Mekong, as they evolve under a range of ecological and social drivers of change,
particularly climate change. By year four we will launch scenario analysis in East Africa as well.

In collaboration with PIM flagship 1, we will use the IMPACT model (Rosegrant et al. 2001) to explore global and large-
scale regional trends in fish supply and demand. We will focus on Africa and Asia as two regions where the emergence
of aquaculture offers contrasting projections for future supply. In addition, FP2 will collaborate with Australian National
University scholars to further develop the WorldFish Fish Sector Model (previously the AsiaFish model; Dey et al. 2005)
to downscale IMPACT projections to smaller regional and national scales. In these analyses we will focus on the Mekong
Delta, East Africa and the Pacific region to augment scenario development and research in FP1 and FP3.

In collaboration with CCAFS flagship 1 we will continue scenario development (Vervoot et al. 2014; Amos et al. 2016) in
the Pacific region, where nutrition security is challenged by rapid population growth and urbanization; shortages of
arable land; and cheap, low-quality food imports from global trade. Many Pacific island countries are affected by the
double burden of malnutrition (undernutrition and obesity). We will extend these analyses to the Mekong Delta, where
infrastructure development such as reservoirs for hydropower and irrigation, dikes and sluices for flood protection, and
irrigation is considered key to sustaining economic growth. National agencies in Cambodia and Vietnam have sought
more in-depth studies to identify impacts of changing patterns of fish production as they evolve under broader
landscape development and climate change.

Our analyses of trade will focus on domestic and intra-regional fish trade that, in contrast to North-South trade, remains
poorly understood and in which the contributions to poverty reduction remain contested (Béné et al. 2010; 2015; 2016;
HLPE 2014).

Two case studies of fish trade systems will highlight contrasting challenges to fish delivering benefits to poor women,
men and youth in their roles as producers, processors, traders and consumers. The first, in collaboration with FP3,
addresses intra-regional trade in the Africa Great Lakes fish trade corridor with a focus on small dried fish. The second
will focus on trade in fish in the Mekong Delta, particularly from Cambodia to Vietnam, to support the latter’s
burgeoning aquaculture industry and understand its emerging importance as a regional hub for seafood trade, including
as an entry point to Chinese markets.

In conducting value chain analysis, a particular focus will be on regulatory and institutional barriers that incentivize
unsustainable fisheries exploitation and reduce equitable access to livelihood opportunities, along with measures to
address these barriers through policy, capacity strengthening and development investment. Household survey data,
reviews of regulation and institutional performance, and participatory, qualitative case studies will be used to gather
evidence on the implications for different social groups, distinguishing by occupational group, gender and age. These
analyses will inform scenario research and will be used in structured multi-stakeholder dialogue, complemented by
institutional capacity development, to increase the profile of fish in development priority setting, along with
coordinated actions and investments in governance solutions at national and regional levels.

3.7 Partnerships

The multi-stakeholder partnership brought together through FP2 provides a globally unique capability to directly impact
the lives of fishery-dependent people and to scale that impact beyond direct engagements. No other collaborative
partnership brings together place-based capability to directly improve coastal and inland SSF through an action research
agenda and produce IPGs to influence research and policy practice and scale outcomes nationally and regionally. While
other research groups make significant contributions to fisheries R4D, none has the breadth of thematic expertise in
SSF, geographic engagement, or in-country presence to sustain relationships and drive the impact pathways we have
outlined. While several other groups do work on broader governance issues associated with oceanic fisheries, this is an
area where CGIAR has no comparative advantage, and it is not addressed by FISH.

An additional differentiator for FP2 is the relationships WorldFish and IWMI have formalized with national and regional
agencies that ensure commitment to national demands and priorities. Central to our ToC are the fishing communities
with whom we work—principally as discovery and proof of concept partners. Partners not only help shape the research
agenda and are active participants in research, testing new approaches to resource management, but they are essential
for impact at scale through appropriate changes in national policy and capacity development.

FP2 will work with a broad range of networks, individual academics and smaller NGOs on specific issues within the
impact pathway. We recognize that these partners have limited capacity to realize shared objectives alone. Below we
headline selected strategic partners and summarize the roles of non-CGIAR partners as discovery, proof of concept or
scaling partners in Table 13.

Strategic research partners. Cluster 1 on resilient coastal fisheries will be led by the Australian Research Council Centre
of Excellence in Coral Reef Studies at JCU. The center is an international collaboration of leading research institutions
providing scientific knowledge to help sustain the ecosystem goods and services of the world’s coral reefs. We will draw
upon this extended network, principally through the center’s program on People and Ecosystems.

Advanced research institutions. In addition to JCU, FP2 will continue to collaborate with researchers from a range of
advanced research institutions, often jointly with other CRPs and flagships. For example, we will partner with Stockholm
Resilience Center on social-ecological resilience and learning and governance networks, Michigan State University on
land and water governance and impacts on SSF in Myanmar, and the Australian National University on foresight
modeling.

NARES. In all focal countries, FP2 will work through national research and development partners. For example, in
Cambodia the Inland Fisheries Research and Development Institute (IFReDI) will lead research on rice field fisheries
ecology, value chains and trade, and in Bangladesh, Dhaka University will lead research on governance of the hilsa
fishery.

Development organizations. At national scales, government agencies mandated to manage fish, water, rice and
environment are critical partners. FP2 will build on longstanding partnerships in all focal countries to identify priorities
and contribute research outputs and outcomes that can help guide national policy and practice. For example, in
Solomon Islands, FP2 will continue an existing partnership with the Ministry of Fisheries and Marine Resources (MFMR),
and Ministry of Environment, Climate and Disaster Management (MECDM) to target research on national policies and
inform national approaches for coastal management.

Table 13. Illustrative examples of non-CGIAR FP2 partners at discovery, proof of concept and scaling stages of the
impact pathway.
Discovery Proof of Concept Scaling
FP2 Cluster 1: Resilient Coastal Fisheries
James Cook Solomon Islands: Provincial Governments, Solomon Islands: Malaita Provincial Partnership
University (design Ministries of Fisheries and Marine Resources, for Development and Western Province Coalition
of research and Environment, Climate and Disaster of Development partners (scaling of learning
agenda for coral Management (co-design of research agenda through provincial development initiatives)
reef fisheries) and enabling environment for interventions;
policy development)
Promundo Philippines National Fisheries Research and Philippines: Iligan Bay Alliance of Misamis
(guidance on Development Institute; Bureau of Fisheries Occidental and Protected Area Management
gender and and Aquatic Resources (BFAR) (co-design of Bureau (scaling of learning through provincial and
livelihoods) research agenda and enabling environment national policy initiatives)

for interventions; policy development);

Palawan State University and UP Marine
Science Institute (lead research on fisheries
governance)
FP2 Cluster 2: Fish in multi-functional landscapes

Cornell University; Cambodia: IFReDI (lead rice-field fisheries Cambodia: Fisheries Administration and
USAID Innovation research); Tonle Sap Authority (lead Department of Agriculture Extension (policy
Lab (design of development and implementation of policy and capacity development initiatives in
research on for Tonle Sap) support of SSF); NGOs – Conservation
fisheries ecology International and Forum Syd (inter-sectoral
and tool coordination and scaling through networks)
development) Bangladesh: Dhaka University (lead research Bangladesh: Department of Fisheries (policy
on Governance); Sylhet Agricultural University and capacity development initiatives in
University of (lead research on socio-economics of fishing support of SSF)
Rhode Island households); International Institute for
(guidance on Environment and Development (lead policy &
research methods incentives research)
for adaptive co-
Myanmar: Department of Fisheries Research Myanmar: Department of Fisheries (policy and
management) Division, Universities of Yangon, Mandalay, capacity development initiatives in support of
and Yezin (field research on fisheries) SSF); National Water Resources Committee (inter-
sectoral coordination and scaling through
networks)
Zambia: University of Zambia (field research Zambia: Ministries of Fisheries and Livestock, and
on fisheries ecology and community fisheries) of Agriculture (policy and capacity development
initiatives in support of SSF)

FP2 Cluster 3: Fish in regional and global food systems
James Cook Mekong delta: Vietnam RIA2, SIWRP (foresight Mekong delta: Ministry of Agriculture and Rural
University and trade analyses); Sustainable Mekong Development (Vietnam) and Ministry of Agriculture
(design of Research Network; Can Tho University; IFReDI Forestry and Fisheries (Cambodia) (policy and
research (field research on fish trade) capacity development investments)
agenda for Africa Great lakes: Regional Economic Africa Great lakes: AU-IBAR; Lake Victoria
coral reef Communities (SADC, EAC, COMESA) and Fisheries Organization and Lake Tanganyika
fisheries) Regional Fisheries Bodies (LVFO, LTA) – Authority (scaling through policy forums and
integration of policy into regional agendas norms building on AU’s policy framework and
Australian reform strategy for fisheries)
National
University Pacific Food System: SPC member countries Pacific Food System: SPC (scaling through ‘New
(adaptation of (provision of household data and analysis) Song’ policy initiative and inter-governmental
foresight forums)
modeling tools)

3.8 Climate change

FP2 addresses the grand challenge of climate change and the need to build resilience to risks associated with climate
variability. While fishers in floodplains and coastal areas are well-adapted to seasonal variability in resource flow,
climate change will affect river flow regimes and associated flow velocity, river and sea water levels, sediment transport,
water temperature, and associated dissolved oxygen content. This will impact fish population dynamics and breeding
areas and habitats.

Cluster 2 will develop approaches for sustainable fisheries production that are resilient to natural variability and external
threats, including climate change. Cluster 3 will continue its collaboration with CCAFS to analyze alternative future
trajectories of fisheries and food security in the Asia-Pacific region. Both will include examination of possible climate
change impacts on fish-related livelihoods influencing seasonal and inter-annual dynamics of water availability, quality
and productivity over the long term. This will focus on water availability for capture fisheries and aquaculture, and the
impact on fish habitat, fish populations and access to fish by small-scale fishers.

Understanding trajectories of resource variability will inform decision-making from household to regional scales and
build capacities to cope and adapt. Foresight analyses enable development of models and scenarios of plausible futures
to inform intervention decisions and policy pathways that will ensure equitable development outcomes for the most
vulnerable, including women and youth. This flagship will build on tools generated by IWMI for assessing combined
impacts of drivers of hydrological changes on river flows (e.g. Lacombe et al. 2014) and multiple-use approaches for
building resilience (Hills et al. 2015).

3.9 Gender

Women are consistently underrepresented in SSF policy and insufficiently engaged in decision-making in SSF governance
and management (e.g. Mills et al. 2011). This reduces the effectiveness of management actions and sustains inequities
in the distribution of benefits from SSF. FP2 will address these challenges through action research examining gender
equity in resource access under alternate tenure regimes, participation in decision-making, and benefit sharing. We will
continue to develop and implement socially and sex-disaggregated data collection and analysis methods to provide an
evidence base testing pathways to accelerate progress in these domains.

In collaboration with Promundo, FP2 will test strategies to enhance gender- and socially equitable participation in SSF
governance and associated livelihoods. Building on prior WorldFish research in focal countries (e.g. Cohen and
Steenbergen 2015; Cole et al. 2015), we will use participatory action research to analyze gender and social
differentiation through a wellbeing lens (Weeratunge et al. 2014), human rights perspectives (Allison et al. 2012), and
analyses of power, representation and accountability (Ratner et al. 2013), as well as gender-transformative strategies
and tools (McDougall et al. 2016; Promundo 2016). FP2 will apply participatory action research to identify and promote
women-targeted livelihood options. Investments in capacity development for both public agencies and civil society aim
to improve consideration of gender in SSF governance practice and in national and regional policy fora.

FP2 will collaborate with PIM FP5 and the CGIAR Gender Network to refine tools for assessing women’s empowerment
in fisheries contexts. Specifically, we will further adapt the Women’s Empowerment in Agriculture Index to develop a
fisheries-specific index suitable for cross-regional comparisons.

3.10 Capacity development

Capacity development enables all change mechanisms in the CRP-level ToC. FP2 contributes to two cross-cutting
outcomes: enhanced capacity to deal with climatic risks and extremes, and improved capacity of women and young
people to participate in decision-making.

Capacity development will be implemented through an iterative process starting with needs assessments and
intervention strategies (element 1 of the CGIAR Capacity Development Framework) to specify needs of natural resource
management NGOs and government agencies, multi-stakeholder networks, regional and inter-governmental agencies,
and individual researchers within National Research Institutes in focal countries. We will assess the following capacity
areas: (1) gender-sensitive and transformative approaches, (2) learning and governance networking, (3) community
livelihood and co-management interventions, and (4) responsive and accountable institutions. We will build on
experience of quality learning materials and approaches (element 2) such as community-based resource management
manuals and systems approaches to capacity development. All materials and approaches will be gender and youth
sensitive (element 5) in line with our gender and youth strategies (see Annexes 3.4 and 3.5). Monitoring and evaluation
of capacity development (element 7) will be integrated into program-level monitoring, evaluation and learning (see
Annex 3.3).

Our work on institutional strengthening (element 6) has two modes: (1) developing the capacity of learning and
governance networks and platforms to realize collective impact, and (2) increasing the capacity of institutions (including
through policy reform) to help secure the ecological sustainability, food security and poverty alleviation functions of SSF.
Aligning with the program’s partnerships strategy, our needs assessment and outcome evaluation work will also identify
gaps and interventions to increase the capacity of scientists to partner to achieve target outcomes (element 3).

3.11 Intellectual asset and open access management

FP2 will manage intellectual assets consistent with CGIAR, center and partner policies and procedures, as well as those
of our bilateral donors. FP2 will contribute to and take advantage of program-level mechanisms to ensure widespread
usage and analysis.

All outputs from the project will be published in the public domain with the exception of the individual resource
management plans of communities. Consistent with WorldFish’s policy of engagement with communities, management
plans are owned by them and will only be made publically available with their permission. Research in clusters 1 and 2
on livelihoods, household dynamics and gender will pay particular attention to compliance with research ethics
standards and the protection of participants’ privacy and dignity.

FP2 will contribute to FishBase, the world’s leading open access database on fish biology. This database was developed
by ICLARM in the 1980s. WorldFish maintains ReefBase and the Coral Triangle Atlas and will continue contributing to
them, drawing on FP2 research in Tanzania, the Philippines and Solomon Islands.

3.12 FP management

FP2 will be led by WorldFish. The flagship leader, Dr. Neil Andrew, will (1) provide overall strategic leadership for
flagship research; (2) work with cluster leaders, scientists and other flagship leaders to develop and oversee execution
of the research agenda for the flagship; (3) lead identification and negotiation of significant strategic science
partnerships that will strengthen links between the flagship science team and leaders in the appropriate body of
science; and (4) provide a focal point for collaborations with other CRPs.

Cluster 1: Resilient coastal fisheries will be led by the Australian Research Council Centre of Excellence in Coral Reef
Studies at JCU, drawing on its networks and those of WorldFish in focal countries, in collaboration with national fisheries
agencies and regional bodies such as the SPC.

Cluster 2: Fish in multifunctional landscapes will be led by IWMI, bringing expertise and networks in water
management, governance, rural livelihoods and resilience, in collaboration with national fisheries, water and land
management agencies and national research centers such as Bangladesh Dhaka University.

Cluster 3: Fish in regional food systems will be led by WorldFish, in collaboration with the Stockholm Resilience Centre
and Australian National University, including research linkages to international bodies such as the FAO.

Cluster leaders will (1) provide overall strategic leadership for cluster research; (2) work with contributing scientists to
develop and oversee execution of the research agenda for the cluster; and (3) lead identification and negotiation of
significant strategic science partnerships for the cluster.

CVs of flagship leads, cluster leads and other key scientists leading implementation of the flagship research are provided
in Annex 3.8.
Flagship 3: Enhancing the contribution of fish to nutrition and health of the poor

4.1 Rationale and scope

Background analysis. Deficiencies of micronutrients and essential fatty acids are widespread among people who obtain
most of their energy from staple foods such as wheat, maize and rice. When these deficiencies occur during the first
1000 days of life, they heighten the risk of infant and child mortality in the short term and restrict the cognitive
development, schooling and earning potential of children in the long term. Flagship 3 (FP3) aims to increase the
contribution of fish to reducing these deficiencies.

Certain species of fish are among the richest dietary sources of nutrients that are needed for healthy growth and brain
development, including iron, zinc, vitamin A, vitamin B12, calcium and essential fatty acids (Bogard et al. 2015a).
However, fish is not generally integrated into strategies to combat undernutrition, nor are nutritional considerations
well integrated into aquaculture or fisheries strategies (Thilsted et al. 2016). In response, FP3 focuses on research to
overcome key barriers to achieving this integration and increased consumption of nutritious fish by poor consumers.

Problem statement. Previous research and ex ante analysis have identified three significant but tractable hurdles that
constrain consumption of fish by significant groups of poor consumers. First, technological and other barriers limit the
supply of nutrient-rich fish from pond aquaculture and rice field fisheries. Polyculture technologies that integrate the
production of small indigenous fish species with larger species in small ponds have great potential to enhance year-
round availability of nutritious fish (Thilsted 2012). Use of this technology is limited, however, by the lack of well-
managed and accessible broodstocks, suboptimal strategies to disseminate technologies, uncertainties about optimal
pond management practices, and lack of women’s participation in harvesting. Similarly, while rice fields cover extensive
areas of South and Southeast Asia, and many produce large quantities of fish, the opportunities for these systems to
intensify the production of nutrient-rich fish species have not been exploited.

Second, after harvest, inefficiencies in fish value chains constrain access to and delivery of affordable fish products
with high nutritional quality to poor consumers. These include high transaction costs, information and power
asymmetries, imperfect competition, and barriers to market entry (Barrett and Mutambatsere 2008), which constitute
bottlenecks that contribute to higher costs and lower quality of fish. Postharvest losses are a particularly widespread
challenge, with 27%–39% of fish caught going to waste globally (FAO 2011). Even when physical waste is low, poor
storage, handling and preservation contribute to lost value and pose a risk through foodborne infections and
contamination with mycotoxins (Gram and Huss 1996).

Third, despite the high nutritional value of fish, it is often withheld from the diets of infants and young children, the
group that most needs micronutrient-dense foods (Nguyen 2013; Thorne-Lyman submitted). Pregnant and lactating
women also require extra nutrients, and there is evidence suggesting benefits of fish consumption during pregnancy for
maternal health and child cognitive development. Yet gender norms and related inequitable intra-household sharing
practices often mean that women eat last and lack access to nutrient-rich foods to meet their heightened needs. This
remains true even in countries where fish is by far the most consumed animal-source food.

Scope and approach. FP3 focuses on research to overcome these challenges. We will concentrate our research in
geographies where the potential for direct impact is high and scalable international public goods (IPGs) can be
generated. Our research in polyculture systems will focus on Bangladesh, building on AAS and L&F research with small
indigenous fish. We will also research technologies to enhance the production of nutrient-rich fish from rice fields in
Bangladesh and Cambodia, building on research from AAS. We will complement these research directions with
development and testing of novel approaches to enable greater fish consumption by women and young children. This
research will focus initially on Bangladesh, using fish-based products developed under A4NH and AAS (Bogard 2015b),
combined with behavior change communication (BCC) (USAID/SPRING/GAIN 2014). For fish value chains, our research
will focus on the dagaa fishery in Tanzania that is regionally significant for poor consumers and has high waste, along
with two value chains in Bangladesh, one from aquaculture and one from fisheries.

Grand challenges and Sustainable Development Goals. FP3 aims to contribute primarily to Sustainable Development
Goal (SDG) 2: End hunger, achieve food security and improved nutrition, and promote sustainable agriculture. Through
research to improve availability and affordability of fish for low-income households, including interventions targeted at
channeling fish to women and children, FP3 addresses the grand challenge of preventing the insidious effects of
malnutrition. Low fish consumption is among the top five dietary risk factors for death and disability-adjusted life years
(DALYs) lost due to chronic disease (Ezzati 2013), suggesting that our research is well positioned to also address the
nutrition transition and reduce chronic disease burdens. Due to its perishable nature, fish ranks among the top
commodities subject to waste and loss. Our efforts under cluster 2 to reduce postharvest losses and address food safety
issues support CGIAR efforts to overcome these grand challenges. Climate change is projected to create instability in fish
value chains, influencing availability and raising prices. By enhancing the capacity to safely dry, process and preserve
fish, FP3 will help to ensure steady access to fish around the year, buffering against the effects of climate variability on
supply of fish for poor populations.

4.2 Objectives and targets

The objective of FP3 is to increase the availability and consumption of safe and nutrient-dense fish, primarily by
women of reproductive age and infants and young children. To achieve this, production systems need to be
optimized, value chains need to work efficiently, and shifts are needed in infant and young child feeding practices
and intra-household distribution of food.

The primary target beneficiaries of FP3 are the rural and urban consumers for whom consumption of fish can yield
significant impacts on nutrition and associated health benefits. We will engage in research to increase the production
and availability of nutritious and safe fish, as well as the availability and intra-household accessibility of fish for women
and children. Contributions to system-level outcome (SLO) targets therefore focus on benefits for poor people who
are consumers of fish produced in the fish food systems we target, with additional benefits realized for the people and
households dependent on fishing, aquaculture, and associated processing and trade in those systems (the value chain
actors).

Flagship-specific outcome targets and their contributions to SLO targets and sub-IDOs are summarized in Table 14.

Table 14. FP3 outcome targets by 2022.
Flagship-specific outcome targets by 2022 Target geographies
PRIMARY (annual milestones included in PIM Table D)
1.2 million households have greater productivity of nutrient-rich small fish from their own
ponds or rice field fisheries Cluster 1
Addresses SLO targets 1.1, 2.3 and 2.4 and sub-IDO:
Bangladesh,
Increased availability of diverse nutrient-rich food Cambodia (scaling
1 million low-income consumers consuming greater amounts of high-quality nutritious fish due to India,
to reductions in waste and loss, improvements in food safety, and more efficient value chains Myanmar)
Addresses SLO targets 1.1, 2.3 and 2.4 and sub-IDOs:
Reduced pre- and postharvest losses
Reduced biological and chemical hazards in the food system Cluster 2
Increased access to diversified nutrient-rich food Bangladesh,
Optimized consumption of diverse nutrient-rich foods Tanzania
Novel fish-based products designed to address nutrition gaps reach at least 100,000 lower- (scaling to
income women and child consumers Egypt, Kenya,
Addresses SLO targets 2.3 and 2.4 and sub-IDOs: Uganda,
Increased availability of diverse nutrient-rich food Malawi,
Increased access to diversified nutrient-rich food Zambia)
Optimized consumption of diverse nutrient-rich foods
30% increase in the proportion of mothers in target geographies who report feeding fish to
their children in the past week Cluster 3
Addresses SLO target 2.3 and sub-IDOs: Bangladesh,
Increased availability of diverse nutrient-rich food Cambodia,
Increased access to diversified nutrient-rich food Tanzania
Optimized consumption of diverse nutrient-rich foods (scaling to
Myanmar, India,
4 countries adopt policy measures or country investment plans addressing nutrition-sensitive
Egypt, Vietnam,
technologies or practices for fish production or value chains, including reduced waste and loss
Addresses SLO targets 2.3 and 2.4 and sub-IDOs: Zambia, Kenya)
Increased availability of diverse nutrient-rich food
Reduced pre- and postharvest losses
Reduced biological and chemical hazards in the food system


Flagship-specific outcome targets by 2022
SECONDARY (progress measured through CRP-level M&E)
1.4 million people, of which at least 700,000 are female, with micronutrient deficiencies
alleviated
Addresses SLO target 2.3 and sub-IDOs:
Increased availability of diverse nutrient-rich food
Increased access to diversified nutrient-rich food
Optimized consumption of diverse nutrient-rich foods
2.2 million women consuming more food groups as a result of increased fish consumption
Addresses SLO target 2.4 and sub-IDOs:
Increased availability of diverse nutrient-rich food
Increased access to diversified nutrient-rich food
Optimized consumption of diverse nutrient-rich foods
200,000 people, of which at least 60% are women and youth, with improved livelihoods as a
result of nutrition-sensitive fish production, processing and trade activities
Addresses SLO target 1.2 and sub-IDO:
Increased livelihood opportunities

The targets outlined in Table 14 are based on an analysis of current and future planned research activities in focus
geographies. We will develop and test much of the research (particularly in clusters 1 and 3) in the context of large
programs involving multiple partners (including government agencies and large international NGOs), which provide a
platform to expand successful approaches. Our selection of target geographies for primary work also factored in the
nutrition policy environment as favorable to work on nutrition-agriculture linkages. In Bangladesh, for example,
current policies for nutrition and food security emphasize the importance of fish, and those for aquaculture and
fisheries specifically mention nutrient-rich fish. Our scaling approach involves production of IPGs and research
outcomes from Bangladesh that are highly relevant for the seven sister states in India. Similarly, the technologies we
develop related to analysis of the value chain and reducing waste and loss in Tanzania have relevance throughout the
eastern fish trade corridor of Africa (Kenya, Uganda, Zambia, Malawi). Work on productivity of rice field fisheries in
Cambodia is highly generalizable across Southeast Asia, including Myanmar and Vietnam.

These targets incorporate certain assumptions regarding uptake and scaling. We assume that the perceived benefits
of new technologies by farmers (for cluster 1) and value chain stakeholders (cluster 2) will be great enough for them
to take on risks or additional investments needed to participate in use of the technologies. While improving the
quality and safety of fish in value chains may increase its consumption by people (rather than livestock), there is also
the possibility that it will increase costs. We assume that a middle ground can be found that permits access by the
poor to high-quality fish. While fish-based products offer an intriguing locally developed nutritional proposition to fill
nutrient gaps, their production may be more expensive than importing other ready-made micronutrient-fortified
processed foods. To convince public sector stakeholders of their value, evidence of greater efficacy or economic
benefits from production will be needed, which we endeavor to build during the CRP. Our ability to impact SLO targets
2.3 and 2.4 is contingent on the micronutrient value of fish and the ability of increased fish consumption to impact
baseline dietary diversity and existing prevalence of micronutrient deficiencies. Fish, particularly small indigenous fish,
is one of the richest natural sources of micronutrients and is known to enhance uptake of other dietary micronutrient
sources when included in the diet, but more work is needed to establish the relative efficacy of consumption on these
targets. FP3 partners will undertake this research in order to estimate with greater confidence the nutritional impact
of FISH interventions, and to build the case for broader investment.

The flagship-specific outcome targets outlined in Table 14 reflect different dimensions of the interrelated research in
FP3. All five primary outcomes are expected to have direct impacts on both SLO 2.3 and 2.4 through different and
complementary pathways. Outcome 1 directly addresses the sub-IDO increased availability of diverse nutrient-rich
foods. Outcome 2 contributes to the sub-IDOs reduced pre- and postharvest losses and reduced biological
contamination in the food system. Outcomes 3 and 4 jointly target impact in the sub-IDO optimized consumption of
diverse nutrient-rich food. Outcome 5 addresses the enabling environment essential to all of the above.

FP3 investments for each sub-IDO are summarized in Table 15.
 Table 15. Investments by sub-IDOs for FP3 for 2017–2022. Note that only the most relevant sub-IDOs are listed—a
wider set of sub-IDOs is addressed in collaboration with other flagships.

Sub-IDO name Total amount W1+W2 (%) W3/Bilateral (%)
SLO related
2.2.1 Increased availability of diverse nutrient-rich food $6.70M $2.14M (32%) $4.56M (68%)
2.2.2 Increased access to diversified nutrient-rich food $4.30M $1.38M (32%) $2.92M (68%)
2.2.3 Optimized consumption of diverse nutrient-rich food $3.40M $1.09M (32%) $2.31M (68%)
2.1.1 Reduced biological and chemical hazards in the food $2.00M $0.64M (32%) $1.36M (68%)
system
2.3.1 Reduced pre- and postharvest losses $2.00M $0.64M (32%) $1.36M (68%)
1.3.2 Increased livelihood opportunities $2.00M $0.64M (32%) $1.36M (68%)
Cross cutting
XC 2.1.3 Enhanced capacity of youth and women to engage in
$12.84M $4.11M (32%) $8.73M (68%)
decision making (all clusters)
Total $33.24M $10.64M (32%) $22.60M (68%)

The flagship focuses on delivering research outputs and outcomes that support SLO 2 (improved food and nutrition
security for health). It addresses multiple sub-IDOs, with the most important being (1) increasing the availability of
nutrient-rich foods (sub-IDO 2.2.1); (2) increased access to diverse nutrient-rich foods by poor populations, women
and children (sub-IDO 2.2.2); (3) optimized consumption of nutrient-rich foods (sub-IDO 2.2.3); (4) reduced biological
and chemical hazards in the food system (sub-IDO 2.1.1); and (5) reducing pre- and postharvest losses (sub-IDO
2.3.1). We also contribute to the SRF cross-cutting outcomes related to gender and youth, in particular the sub-IDO
related to enhanced capacity of youth and women to engage in decision-making. As an aspect of nutritious fish
production and value chain development, FP3 also contributes to increased livelihood opportunities (sub-IDO 1.3.2).

Outcome milestones are provided in the Performance Indicator Matrix, and the program approach to outcome
monitoring, evaluation, and impact assessment is addressed in Annex 3.6.

4.3 Impact pathway and theory of change

FP3 seeks to overcome barriers to the consumption of nutritious fish by poor consumers. We focus on three barriers: (1)
limited production of highly nutritious fish; (2) market failures limiting availability of nutritious and healthy fish; and (3)
limited consumption of fish at the household level by those who need it most, especially women and children.
Addressing these barriers requires technology research and development, market research, and social and behavioral
change communication research, combined with efforts to improve the enabling environment through shifts in policies,
implementation capacities in government, and investments by nongovernmental organizations (NGOs) and other
development actors (Figure 6).
Figure 6. FP3 impact pathways.

Change Research Change

Change Development Sub-
Research outputs IDOs
mechanism outcomes mechanism
mechanism outcomes IDOs

Cluster 1. Nutri3on- •  Private sector and Women, children and

sensi3ve aquaculture community groups make youth have regular
produc3on 1a use of new technologies, 1a access to nutrient-rich
•  Produc(on technologies making mola broodstock small fish from their
widely accessible own ponds or rice field Increased
developed for mola and availability of
other nutrient-rich small •  Harves(ng technologies fisheries, allowing
facilitate greater access increased consump(on diverse
fish 1b 1b nutrient-rich
to fish for women and youth of fish by these target
•  Woman- and youth- foods
•  Public sector and groups
friendly harves(ng
development agencies adopt
technologies
policies promo(ng
•  Fisheries models produc(on technologies
incorpora(ng nutrient-rich 1c that include small fish 1c
fish and nutrient-rich crops •  Development partners are Reduced pre-

using nutri(on-sensi(ve fish and

produc(on models to postharvest

increase nutrient losses
1d
produc(vity of fish systems



Improved

diets for poor

•  Value chain actors, Fish waste and losses, and

Cluster 2. Reducing waste
including community groups including nutri(onal vulnerable

and loss in fish value chains
and private sector, increase losses, are reduced and people

•  Integrated value chain 2a 2a
assessments of fish flows
investment in new
food safety is improved

and market structure, processing technologies, and
for low-income

waste, physical and adopt improved handling
consumers Reduced
economic loss, and and storage methods and biological and


tradeoffs for men, women ins(tu(onal models
Fish value chains beXer chemical
2b 2b hazards in the
and youth •  NARS and development
meet the needs of poor

•  Processing technologies organiza(ons adopt and use
consumers food system
and products to reduce
innova(ve nutri(on-focused

waste and loss, preserve
value chain methods to
Low-income women

nutrients, and reduce food 2c benefit poor consumers
and men consumers
safety hazards
•  Policymakers adopt
are able to afford to

•  Improved handling and policies that improve fish
buy more fish Increased

other innova(ons to trade for poor access to
enhance value chain
consumers nutrient-rich
efficiency and foods
consump(on by the poor
2d





Op(mized

Cluster 3. Fish for nutri3on •  Public sector and NGOs Consumers, and in consump(on
3a
and health of women and 3a integrate fish-related par(cular pregnant of diverse
children BCC components into women and young nutrient-rich
•  Tools and models for nutri(on programs children, have foods
effec(ve BCC approaches •  Public sector adopts equitable access to
•  Efficacy studies of fish- 3b fish-based products in 3b fish-based products
based products in first feeding programs based on
1000 days of life evidence of benefit from Mothers demonstrate
•  Scalable models for the efficacy trial(s) increased willingness Enhanced
produc(on of fish-based 3c •  Local NGOs and private 3c to provide fish and capacity of
products in Bangladesh sector are producing fish-based products youth and
•  Fish-based products fish-based products in to young children women to
developed in Tanzania and Bangladesh engage in
Cambodia 3d 3d decision
making

Table 16. FP3 change mechanisms.
Change Key risks and assump3ons associated with change Corresponding strategies and risk management ac3ons
mechanism mechanisms

Research output to research outcomes Research output to research outcomes

1a Farmers and communi(es willing to take on the risk and 1a – 3a Design woman and youth-friendly harves(ng and pond
poten(al higher cost of trying new technologies management technologies to be as inexpensive as possible and
2a Local value chain actors convinced of sufficient benefit to pilot extensively, choose influen(al local farmers to pilot new
a
take on risk of new processing technologies technologies in each area, and align communica(ons materials
3a BCC tools lead to compelling increases in consump(on of with their priori(es (e.g. steady income, greater produc(vity,
Local adop(on fish by target groups reduced disease risk, improving diet of family); hire female
and extension workers and develop woman- and youth-friendly
dissemina(on of manuals
technologies and
management Research outcomes to development outcomes Research outcomes to development outcomes
prac(ces 1a Sufficient interest in and demand for mola exists to 1a Couple technology dissemina(on under cluster 1 with
mo(vate private farmers and community groups to produce nutri(on educa(on from cluster 3
broodstock 2a Carefully monitor effects of value chain interven(ons on fish
2a Reduc(ons in waste and losses due to poor processing prices and access by the poor
lead to increased fish available for consump(on by the poor 3a Test how the tools work in other geographies within country
at affordable prices and region through partner programs, and adapt accordingly;
3a BCC tools can be integrated into exis(ng programs and assess and adapt BCC to address barriers to gender-equitable
modules, and partners are mo(vated to incorporate them, distribu(on
including gender equity priori(es

Research output to research outcomes Research output to research outcomes

1b Private farmers and community groups see sufficient 1b – 3b Select private sector partners with which we have
demand poten(al to invest in mola broodstock established rela(onships, and screen for demand; assess and
b 2b Benefits of adop(ng new processing, transport and communicate the financial returns from pilo(ng of
storage technologies are compelling for the private sector new technologies; iden(fy incen(ves that may spur private
3b Fish-based products are commercially viable for sector actors to invest (such as co-investment)
Private sector produc(on by the private sector and demand is sufficient to
investment and scale up produc(on Research outcomes to development outcomes
replica(on of 1b Start with regions with higher demand for nutrient-rich
innova(ve Research outcomes to development outcomes species (which will give private pond owners greater
business models 1b Private sector partners and community groups are mo(va(on to adopt); integrate work with cluster 3 to increase
in fish dispersed throughout the country, facilita(ng accessibility; demand.
produc(on, capacity can be built to manage broodstock 3b Draw on learning from A4NH about how to reduce risks of
processing and 3b Capacity built in private sector to safely produce fish- foodborne infec(on during produc(on processes of fish-based
trade based products products

Research output to research outcomes Research output to research outcomes

1c Policymakers are convinced of the value in nutri(on- 1c – 2c Implement rigorous M&E of projects prior to scaling;
c sensi(ve approaches engage officials early and align target research outcomes with
2c Policymakers are convinced of the value of promo(ng na(onal priori(es
intra-regional fish trade, and make policy recommenda(ons 3c Design efficacy studies rigorously with mul(ple outcomes of
Public sector to achieve this public interest (growth, health, cogni(ve development);
policy 3c Results of efficacy tests show sufficient benefit rela(ve to op(mize nutri(onal value of the product
improvement cost to make public sector investment worthwhile
and ins(tu(onal Research outcomes to development outcomes
strengthening Research outcomes to development outcomes 1c Target dissemina(on of research findings on the benefits of
1c Public agencies agree to disseminate technology related to nutrient-rich produc(on towards policymakers in fisheries and
op(mal harves(ng of mola; farmers mo(vated to try new aquaculture sector, involving them in en(re process to get buy-
technologies in

Research output to research outcomes Research output to research outcomes

1d Development agencies are interested in promo(ng and 1d Implement rigorous M&E of projects prior to scaling;
inves(ng in expansion of nutri(on-sensi(ve aquaculture and address specific donor priori(es related to na(onal SDG targets
d fisheries technologies 2d – 3d Engage civil society and development agencies early;
2d Development organiza(ons are interested in promo(ng a partner with influen(al NGOs to integrate research in their
value chain approach for poor consumers programs; engage key na(onal plaborms (government, SUN) in
Influence on 3d BCC strategies are effec(ve; na(onal governments and research plans and dissemina(on of BCC and for fish-based
policies and NGOs are recep(ve to evidence about effec(veness of fish products
priori(es of civil strategies; efficacy studies are sufficient to spur public sector
society and investment Research outcomes to development outcomes
development 2d Document rigorously what works; develop joint proposals
agencies Research outcomes to development outcomes with local partners
2d Donors invest in local capacity and startup costs for 3d Engage na(onal agencies, civil society, World Bank
expansion of promising drying and preserva(on technologies and A4NH to promote policy agenda
3d Enabling regula(ons are updated in a (mely manner

 Cluster 1 pursues research to understand and test approaches to overcoming technological barriers to maximize
the production of nutrient-rich fish in pond polyculture systems and rice field fisheries, which are widespread in
South and Southeast Asia. By conducting research in Bangladesh and Cambodia, where over 30 million people
depend on these systems, we seek to generate research that has direct impacts for large numbers of people and
can be transferred regionally through our partners. In both cases we posit that overcoming the identified barriers
will contribute to significant uptake of production technologies, and in turn increase the availability of nutrient-rich
fish. For example, in Bangladesh, our research will focus on developing and managing a broodstock for mola, a
nutritious small indigenous fish species that previous CGIAR research has shown can be raised in polyculture
systems without reducing productivity of other larger species. This research will target the critical barrier that
currently prevents large-scale use of this polyculture technology; i.e. lack of well-managed mola broodstock that
can be produced and disseminated by private pond owners and community groups. We will also test approaches
to increasing productivity of mola through increasing stocking density, pond management and harvesting
frequency. To address the low participation of women in small-fish harvesting, we will assess women’s specific
needs regarding harvesting technologies and develop and test women-targeted technologies. We hypothesize that
gender-responsive technologies will increase the regularity of harvesting and give women greater control over the
use of mola within the household, increasing the likelihood of direct consumption rather than sale. Recognizing
competing demands for women’s time and the dearth of knowledge about youth in these systems, we will
investigate the existing and potential roles of youth, and develop and test youth-responsive technologies as
appropriate, aiming to assess and minimize demands on women’s and youth’s time and labor requirements.

Cluster 2 focuses on research to overcome processing and marketing barriers that reduce the availability and
affordability of nutritious and safe fish to poor consumers. Fish value chains are characterized by significant
postharvest waste and losses, concerns over food safety, and significant market failures and gender imbalances that
lead to inefficiencies, lower quality and higher prices. By focusing on value chains impacting many millions of people
in East Africa and South Asia, we will generate research products that bring immediate benefits to the locations
where we work and can be scaled regionally. In East Africa, we will test gender-inclusive technologies and market
and institutional approaches to reducing waste in the small fish value chain from the Great Lakes system that
provides large quantities of fish for poor rural and urban consumers across much of eastern and southern Africa. We
will focus our research on Tanzania, given the size and regional importance of the fishery and high priority given to
improved nutrition in national policy. In South Asia, we will focus on the dried fish value chain originating in the
Sylhet Division in northeastern Bangladesh and the aquaculture value chain from southwest Bangladesh. Our
research aims to identify value chain inefficiencies and hotspots of losses, including gender barriers, and then design
and test gender-inclusive solutions, such as improved processing, handling and storage technologies, as well as
institutional innovations that reduce barriers to trade.

Cluster 3 focuses on research to increase consumption of nutritious fish in the first 1000 days of life. Despite its
rich nutritional value, fish is often withheld from the diets of infants and young children in low-income countries,
and this is compounded by gendered intra-household distributional norms leading to low levels of fish
consumption by women, even when pregnant and lactating. We will therefore conduct research to understand
and test novel approaches to overcoming these barriers to consumption, using the knowledge to develop and
test social and behavior change communication (BCC). We hypothesize that these tools can significantly increase
the amount of fish eaten by these nutritionally vulnerable groups and increase gender equality in household
decision-making.

Shifting fish production practices, reducing value chain inefficiencies, bringing new products to market and changing
norms of fish consumption require navigating a range of risks. To manage these we will (1) co-develop solutions in
collaboration with value chain actors, national research organizations and universities, policymakers, and donors
through multi-stakeholder platforms; (2) analyze and counteract potential negative tradeoffs for value chain actors,
in particular for women; (3) build capacity of implementing agencies in the design and implementation of supporting
policies; and (4) integrate our applied research on BCC closely with partners such as Helen Keller International (HKI),
whose networks can help scale the impact of our research beyond our focal geographies.
4.4. Science quality

Researchers working with FISH are recognized leaders in their fields and bring together the unique combination of
research skills in fish biology, value chains, nutrition and gender required to address the issues addressed by FP3. The
flagship will assure quality of science through (1) well-defined research questions and experiments, including
randomized control trials for selected elements of our work; (2) building upon a strong body of foundational research
and combining this with the latest tools, theory and technologies; and (3) engaging a coalition of partners that provides
skills from the fish domain in nutrition and health, research design, and BCC. The flagship will engage with communities
of practice at the forefront of particular research topics, within and outside CGIAR, to ensure efficiencies and access to
relevant knowledge and experience. This engagement includes collaboration with A4NH on food safety and integration
of fish in broad agriculture and nutrition policy, the CGIAR gender and capacity development networks, and external
peer networks and platforms such as the Scaling Up Nutrition (SUN) network.

Building on our assessment of previous research by CGIAR and the published literature, the flagship’s novelty lies in
pursuing new and innovative approaches to addressing three critical barriers preventing poor consumers from obtaining
fuller nutritional benefits from fish.

Cluster 1. We will research the barriers inhibiting integration of nutrient-rich small indigenous species of fish in small
pond polyculture and constraining the scaling of locally developed technologies. We focus on Bangladesh and the small
indigenous fish species mola as a model, with the intent to scale learning in South and Southeast Asia, and more widely
where possible. The foundation for this work has been established through a research partnership with BAU studying
breeding and reproductive cycles of mola (Mondal 2016), and the effect on productivity and pond profitability of varying
mola stocking densities in polyculture systems. Cluster 1 will build upon this through research to develop innovative
technologies for production and dissemination of mola broodstock. This will include research to identify key factors
determining breeding cycles, growth and survival rates of mola, and to understand the impact of variation in pond
productivity, water quality, temperature, sunshine and shade on productivity of mola in different polyculture models. By
developing and testing women-targeted small fish and polyculture technologies and practices, this novel research will
also address gaps identified in the gender analysis leading up to the CRP’s work in these areas.

Our research on rice field fisheries will build on a strong body of previous research highlighting the importance of rice
field fish production, but examining a new dimension in terms of its potential to increase the availability of certain
micronutrient-rich fish species. FP3 is innovative in moving beyond this to focus on developing options for increasing
production of nutrient-rich fish through specific approaches to management of these rice field systems and associated
wetlands. We will integrate this with research to identify the most effective options for harnessing improved production
in ways that increase availability, consumption and nutritional wellbeing for women and children. Through this
integrated program of biotechnical and social science research we aim to harness the biophysical potential of these
systems in ways that are new, socially relevant and achieve our nutrition goals.

Cluster 2. Value chain approaches are used widely as analytical tools and development approaches. Generally, they look
at outcomes for income and employment for value chain actors, most commonly focusing on the producer node and
issues of inclusion and (gender) equity (e.g. Bernet et al. 2006; KIT, Agri-ProFocus and IIRR 2012; Lundy et al. 2012). The
important novelty of the approach used in cluster 2 is that our research will analyze value chains from the perspective of
low-income consumers, with a focus on the consumption outcomes for this group. This has important consequences for
the selection of value chains, as well as the key indicators of analysis. While value chain upgrading will be a key focus,
this will be considered in a broader sense, not necessarily implying an increase in income or value added for value chain
actors (Ponte and Ewert 2009), but more effectively meeting consumer demand for basic products and positive
outcomes for poor consumers.

We will continue AAS and L&F research on general value chain approaches and the integration of gender (Farnworth et
al. 2015), value chain upgrading (Ponte et al. 2014) and low-income consumers as a consumer segment (Belton et al.
2014; Belton and Bush 2014; Toufique and Belton 2014; El Mahdi et al. 2015). Research will build on the framework and
results from A4NH’s phase 1 flagship on value chains for enhanced nutrition, which has started identifying entry points
to improve value chains to achieve nutrition outcomes (e.g. Gelli et al. 2015). In addition, research will draw on methods
used in market research; consumer preferences, acceptance and willingness to pay; and price and income elasticities of
demand (Dey et al. 2011).

Our research on waste and loss goes beyond traditional assessments focused on physical waste and economic loss to
analyze nutrient degradation. Many of the fish value chains of greatest importance to the poor involve processing using
poor techniques, storage under poor conditions, and long-distance transport in often humid and hot conditions, which
may subject the fish to significant nutrient loss and food safety hazards. By quantifying and pioneering technologies to
reduce the scale of nutrient loss, we will determine the extent to which significant nutritional gains for poor consumers
can be achieved by enhancing the quality of the fish they consume.

Cluster 3. FP3 research on nutrition and fish-based products builds on extensive work conducted during phase 1 of
A4NH and AAS to develop and field-test prototypes of fish-based products in Bangladesh. These products combine dried
small fish with multiple other CGIAR inputs, including zinc-enhanced rice and orange sweet potato in a recipe optimized
to meet the nutritional needs of young children (Hother et al. 2014; Bogard et al. 2015b). Cluster 3 extends this ground-
breaking research by focusing on research to overcome barriers to taking these prototypes to scale.

Our approach to development of fish-based products is supported by research in Cambodia suggesting that a locally
made complementary food incorporating dried small fish resulted in similar growth outcomes as SuperCereal-Plus, a
fortified blended food used in the World Food Program’s nutrition programs (Skau 2014). We hypothesize that these
products will be a commercially viable strategy for enhancing the consumption of fish by women and young children,
leading to benefits for health, growth and child development. Under AAS and A4NH, WorldFish developed prototypes of
three fish-based products: a fish chutney to be consumed by women during pregnancy and lactation, a complementary
food for consumption from six months onward, and a fish-based powder designed for older children that can be added
to family foods. However, given the comparably high cost of producing fish products vs. other common plant-based
products, rigorous evaluation of the efficacy of these prototypes against other products is now needed, and cluster 3
will do this. Evidence from this discovery phase of our research suggests that the chutney appears to circumvent many
of the entrenched rules about intra-household food allocation that inherently favor males over females, enabling
women to consume fish as part of the meal when they otherwise might not. Cluster 3 research aims to test this linkage
robustly.

4.5 Lessons learned and unintended consequences

AAS and L&F research has shown that the rapid rise of aquaculture in Bangladesh has had a positive impact on food
security (Toufique and Belton 2014) but that the replacement of capture fish species by farmed fish in diets has
resulted in lower intake of important micronutrients such as zinc and iron from fish. Further analysis suggests that
this trend could be reversed through dedicated efforts to cultivate fish of high nutritional value (Fiedler et al. 2016).

Assessment of the nutritional value of commonly consumed fish in Bangladesh shows that a number of small
indigenous fish species have a high micronutrient and fatty acid content (Bogard et al. 2015a). In addition, extensive
field experiments with the small fish mola (Amblypharyngodon mola) have demonstrated that it can be grown in
polyculture with commonly cultivated large fish species without adversely affecting total productivity (Roos 2001). Ex
ante analysis has shown that scaling up production of mola in a national program could be a cost-effective nutritional
intervention for reducing vitamin A deficiency (Fiedler et al. 2016).

Improving availability of nutritious fish does not necessarily lead to increased consumption by those who can benefit
most. In most low- and middle-income countries, the frequency and quantity of fish consumption are lower among
infants 6–24 months of age than older children (Thorne-Lyman et al. submitted). Focused ethnographic research is
needed to understand the challenges that shape this pattern (such as women’s time constraints, cultural practices
and perceptions—including caution regarding fish bones and food safety concerns) and to find avenues to leverage
behavior change (Pelto et al. 2013; Hotz et al. 2015). Previous research conducted by WorldFish and others in the
context of Bangladesh suggests that specific behavior change efforts, rooted in an understanding of the barriers
caretakers face in feeding fish to children, including food preparation issues, are needed for behavior change to be
successful (Thorne-Lyman under review). Social and behavior change communication based on solid formative
research is increasingly recognized as an effective strategy for improving infant and young child feeding (GAIN 2014).

Increasing evidence shows that the processing of fish into fish-based products is a feasible option to address
behaviors constraining consumption. WorldFish has developed three prototypes of fish-based products for use in the
first 1000 days of life in Bangladesh: a fish chutney for pregnant and lactating women; a complementary food made
of small dried nutrient-rich fish, orange sweet potato, and zinc-rich rice; and a fish powder for older children (Hother
et al. 2014; Bogard et al. 2015). These products, developed to meet the specific nutrient needs of each group, have
had excellent acceptability in a small project implemented in northeast Bangladesh. By processing dried whole small
fish, the full nutritional value of the fish (including calcium, zinc and nutrients found predominantly in bones) is
retained in the product, and women do not have to spend much time to prepare nutrient-rich foods from these
ready-to-use products. However, these products are yet to be taken to scale, and FP3 will investigate and test ways
to overcome constraints.

Research on fish value chains in AAS and L&F has shown that what fish farmers produce and what poor consumers
require are not necessarily compatible (El Mahdi et al. 2015). This has led to a new area of fish value chain research,
focusing on poor consumers in Egypt and Bangladesh, which we will further develop in FP3. We recognize that work on
fish value chains to benefit the poor can have tradeoffs; e.g. improving the quality of fish may make it less affordable,
and improving processing methods may increase workload and shift jobs from women to men. We will undertake
research that analyzes these potential consequences and ways to minimize and mitigate them.

4.6 Clusters of activity

Our research to increase the availability and consumption of safe and nutrient-rich fish will be pursued through
three interrelated clusters. Cluster 1 aims to improve production of nutrient-rich fish in pond polyculture systems
and rice field fisheries. Cluster 2 seeks to improve availability and affordability of fish for poor consumers by
overcoming processing and marketing constraints. Cluster 3 aims to increase consumption of fish in the first 1000
days of life.

Cluster 1: Nutrition-sensitive aquaculture production
Cluster 1 aims to increase the availability of nutrient-rich fish and reduce the number of people with micronutrient
deficiencies. The focus of our research is on overcoming the technical and gendered barriers to production and
harvesting of nutrient-rich small fish in pond aquaculture and rice field fisheries. We will focus initially on Bangladesh
and Cambodia, where small indigenous fish species are already in demand and where clear opportunities exist to scale
technologies and innovations to other settings.

Our research on pond polyculture aims to identify technologies that increase the production of nutrient-rich fish in
pond polyculture systems, together with those that specifically increase women’s control over this production so as to
increase consumption by women and children. To do so, we will focus on research that will improve understanding of
how to (1) remove dependency on wild broodstock by developing and managing mola broodstock in ponds and
community waterbodies, and facilitate the access to and sale of mola by the owners and communities; (2) optimize
pond management and harvesting frequency to maximize productivity and production of mola and other small
nutritious fish; and (3) support women to partially harvest mola and other small indigenous fish on a regular basis to
promote household consumption without increasing workload.

In the case of rice field fisheries, we focus on the potential of the extensive rice field systems of East and Southeast Asia
to increase production of nutrient-rich fish species. Specifically, we aim to identify technologies that can support
management of rice field fisheries for production of nutrient-rich fish, together with those that increase women’s
control over this production. We will focus our research on how to improve production by (1) managing connections
between rice fields and stocks of nutrient-rich fish in associated canals, beels and ponds; (2) optimizing stocking
approaches; and (3) improving governance and community management of fish refuges. We will complement this work
with research on harvesting technologies that increase women’s control over production of nutrient-rich fish in these
rice field systems.

Cluster 2: Reducing waste and loss in fish value chains
Cluster 2 aims to enhance the availability, affordability and quality of fish for poor consumers. We will do so by focusing
our research on overcoming value chain barriers that reduce the availability of nutritious and safe fish to poor
consumers. We will focus initially on value chains in Tanzania and Bangladesh, with a view to developing solutions that
can be scaled regionally. In Tanzania, we will study the dagaa fishery of Lake Victoria that supports trade of fish
products in eastern and southern Africa and is representative of the small fish value chains in Africa’s Great Lakes. In
Bangladesh, we will study a major dried fish value chain in the northwest (Sylhet) and an aquaculture value chain in the
southwest.

In each of the three value chains studied, we will explore mechanisms to overcome barriers presently reducing
availability, nutritional quality and safety of fish for poor consumers. We will document the extent of quantitative and
qualitative postharvest losses, including nutritional loss, and food safety hazards and risks at different stages of the
target value chains. We will build on this to identify and test approaches to reducing these postharvest losses and
improving nutritional content and food safety, taking into account the gendered nature of fish value chain roles,
responsibilities and relations. Our focus on poor consumers will drive assessments of technological, institutional and
policy interventions that result in practices and products that better meet the needs of this consumer segment and are
both gender-inclusive and equitable. We also recognize the potential tradeoffs between enhancing the quality of fish
and its affordability, and between enhancing affordability for consumers and the incomes of poor value chain actors.
We will therefore study how these can be managed.

To pursue this research agenda, each value chain will be assessed using an integrated methodology that is nutrition-
sensitive, gender-integrated and focused on poor consumers. Each case study will have six main elements:
1. A value chain characterization to define the research area for the species selected and to understand the
distribution of fish to consumers, particularly the consumer group with the lowest incomes, as well as the roles
and power relations of women, men and youth along the value chain. This also involves assessment of the
inefficiencies and market failures along the chain, including gender barriers that lead to higher prices and/or less
availability of fish for target consumers. We will incorporate methods used in L&F and AAS, including those that
incorporate a gender-transformative approach into value chain analysis (Kantor et al. 2015; Kruijssen and Longley
2015).
2. A survey of physical and economic losses along and across the target value chains, using a combination of load
tracking and organoleptic scale methods. This builds on some preliminary research funded through PIM phase 1
on fish postharvest losses in Bangladesh.
3. Testing of nutritional content and food safety parameters at different stages of the value chain identified in the
first two phases.
4. Identifying and testing gender-inclusive and women-targeted methods, technologies, institutional options and
products for addressing postharvest loss challenges and other value chain issues. These will be identified through
multi-stakeholder processes and platforms equitably engaging poor women, men and youth from the value chain,
the private sector, national research institutes, development agencies and governments.
5. Assessing the impact on consumers as well as value chain actors, in particular poor women, men and youth, of
different upgrading strategies in the target value chain through tradeoff analysis tools, and the development of
approaches that prevent or manage those tradeoffs.
6. Developing policy recommendations for up- and out-scaling.

Cluster 3: Fish for nutrition and health of women and children
Cluster 3 will focus on research to overcome the barriers to consumption of fish by pregnant and lactating women, and
by infants and young children aged 6–24 months. We will focus on the development of two complementary solutions.
First, we will use focused ethnographic research methods (Pelto et al. 2013; Hotz et al. 2015), dietary recalls and trials
of improved practice to understand the obstacles that limit intake of nutrient-rich fish by women and children. This
work will inform social and BCC interventions aimed at increasing the incorporation of fish into high-quality diets. We
will explore the potential synergies between this work and gender-transformative approaches as a strategy to increase
the equitability of intra-household decision-making and food allocation. We anticipate that this first step—developing a
deep understanding of the issues related to fish consumption by women and children using formative research—will be
needed in each setting, including scaling geographies where we intend to couple behavior change interventions with
fish production, because the specific nuances of fish have seldom been explored in prior work.

Second, we will test the scalability of prototypes of fish-based products developed through our previous research in
Bangladesh. Our research will test scalable production methods and work with both private sector and NGO partners to
test marketing approaches to increase the availability of such products, including through exploring the potential for
women-led entrepreneurship.

In addition, we will work with partners to undertake rigorous studies on the efficacy of the products for maternal
health and nutrition, child growth and micronutrient status, cognitive development and other health outcomes,
drawing on collaborations with leading universities. As the research evolves in Bangladesh, we will explore how to
develop and potentially test similar products in East Africa and in Cambodia, building on initial pilot work in process
in Zambia.

The value chain development associated with fish products addresses the identified gender imbalances in value chains.
To address gendered barriers to women in higher-return nodes of fish value chains, we will investigate the potential for
fish products to be developed as niche women-led entrepreneurial opportunities and windows.

This cluster will serve as the main link to A4NH’s work on enabling country performance related to improving nutrition,
and will benefit from the broader policy convening on agriculture and nutrition strategies supported by A4NH (see
details in Annex 3.7).

4.7 Partnerships

FP3 builds on WorldFish’s role as convener of an emerging network of partners working in nutrition-sensitive
aquaculture and fisheries. The nascent nature of this cross-disciplinary field of research and development practice
calls for new partnerships in human nutrition and health that complement existing strengths in aquaculture and
fisheries. FP3 will work through these, building on recent partnerships in L&F and AAS. Similarly, the novelty of the
program’s engagement in the trade and processing of small fish in eastern Africa requires new partnerships. These
are being developed based on existing research in fish trade in East Africa involving a network of African
universities, AU-IBAR and NEPAD. Key elements of these partnerships are summarized below, and Table 17 provides
illustrative examples of non-CGIAR partners across flagship clusters at discovery, proof of concept and scaling stages
of the impact pathway.

Advanced research institutes. We will work with a network of advanced research institutes to strengthen key areas of
science. Cluster 2 will be led by the Natural Resources Institute (NRI), a global leader in the field of postharvest losses
research, including in the artisanal fisheries sector (Cheke and Ward 1998; Ward and Jeffries 2000). Working through the
Center for Postharvest Loss Reduction, NRI will design and lead implementation of waste and loss assessments in the
value chains being studied in Tanzania and Bangladesh, as well as innovative studies of nutrient loss. The Harvard
University School of Public Health (HSPH) will contribute expertise in nutrition-related clinical trials and build on current
joint research with WorldFish to support design and conduct of research on fish-based foods in Tanzania. Similarly, Johns
Hopkins University (JHU)’s School of Public Health, International Centre for Diarrhoeal Disease Research, Bangladesh
(icddr,b) and University of Copenhagen will contribute expertise in formative research and randomized control trials to
test the impact of consumption of fish and fish-based products on health, pregnancy and child development outcomes in
Bangladesh. JHU’s Center for Development Communication also brings strong capability in the design of BCC and will
lead design of this research in Bangladesh. We will also work with KIT, a frontrunner in developing gender-integrated
value chain analysis methods (e.g. KIT, Agri-ProFocus and IIRR 2012).

NARES. In all focal countries, FP3 will work through national research partners. For example, in Bangladesh, BFRI
and BIDS will conduct value chain and fish waste and loss assessments, and in Tanzania, Sokoine University of
Agriculture will research value chains and fish-based foods. We anticipate that much of the formative research
under cluster 3 will be through joint research partnerships between graduate students from advanced research
institutes such as JHU and Harvard and students from national universities.

Private sector. Effective private sector partnerships are essential for the successful development and extensive
use of the technologies being developed through FP3. For example, in Bangladesh, private sector companies
have already assisted in developing the fish chutney (Nicobena) and the fish-based complementary food (Mark
Foods), and this partnership will be strengthened through FISH.

Development institutions. FP3 priorities have been identified in partnership with national governments, and
these governments will play a key role as policy partners in implementation. We will also work closely with
selected NGOs that have a strong interest and capability in the issues being addressed by FP3. For example, in
Bangladesh and Cambodia, we will work with HKI, a leading development partner in the area of homestead food
production, nutrition and gender linkages. Similarly, in Tanzania, we will work with Farm Africa, which brings
strong expertise in the development of pro-poor fisheries and aquaculture value chains in East Africa.

Table 17. Selected non-CGIAR FP3 partners at discovery, proof of concept and scaling stages of the impact pathway.

Discovery Proof of concept Scaling
FP3 Cluster 1: Nutrition-sensitive aquaculture production
BAU (experimental trials Bangladesh: Local Government Bangladesh: Department of Fisheries (policies to
of fish species mix, pond Engineering Department (field trials scale nutrition-sensitive technologies)
management, feeding and on models for rice-fish culture, with
breeding in controlled enhanced stocking of nutrient-rich
ponds) small fish); Department of Fisheries,
NGOs and wetland user groups (field
trials of selected pond polyculture
and rice field technologies)
Cambodia: IFreDI (field trials on Cambodia: Fisheries Administration (policies to
models for rice-fish culture, based scale nutrition-sensitive technologies)
on improved management of
community fish refuges); NGOs
(field trials of selected rice-field
technologies)
FP3 Cluster 2: Reducing waste and loss in fish value chains
NRI (ex ante analyses and Bangladesh: Bangladesh: Department of Fisheries (integrating
research design) Fisheries Research Forum (value learning into national fisheries policy
chain and waste and loss interventions); private sector (adoption of
KIT (assessment of gender assessments); icddr,b (food safety interventions, technologies, processing methods);
in value chains) analyses); Bangladesh Institute of NGOs (dissemination of successful interventions
Development Studies (consumption in other programs)
and consumer preference surveys);
BFRF (testing of value chain
interventions)
Tanzania: Sokoine University (value Tanzania: Ministry of Fisheries and Livestock
chain analysis and testing of Development (integrating learning into national
interventions); Farm Africa (testing fisheries policy initiatives); private sector
of pro-poor value chain initiatives) (adoption of interventions, technologies,
processing methods); Farm Africa (dissemination
of successful interventions in other programs)
FP3 Cluster 3: Fish for nutrition and health of women and children
University of Copenhagen; Bangladesh: JHU and icddr,b Bangladesh: Government ministries (policy
Sokoine University (formative research and trials on initiatives in support of fish-based foods)
(development of fish- acceptability and efficacy of fish-
based products) based products); NGOs (integration
of BCC for increased fish
JHU-CCP; HKI consumption and use of fish-based
(development of BCC products in mother and child health
tools and approaches) and nutrition projects)
Tanzania: Copenhagen University,
Muhimbili University, Sokoine
University, Harvard School of Public
Health (formative research and trials
on acceptability and efficacy of fish-
based products)

4.8 Climate change

FP3 will contribute to addressing climate change by, where possible, taking opportunities to support adaptive capacity
through the technologies developed. For example, unpredictable weather events can have significant impacts on fish
processing, in particular the simple open-air drying methods used in many small-scale fisheries. As we test alternative
technologies, we will favor methods that dry fish rapidly to minimize exposure to the risk of wet weather. Similarly, a
related benefit of processing technologies that enhance the shelf life of fish and the development of fish-based
products is the increased availability of fish during seasons and weather conditions when fish would otherwise not be
available.

4.9 Gender

FP3 leads research to achieve gender-equitable resource allocation, control of assets and participation in decision-
making to increase the availability and consumption of nutrient-dense fish. Cluster 1 will address the need for harvesting
technologies that meet women’s specific needs and preferences, including time and labor, by testing women-targeted
technologies for fish harvesting in pond polyculture systems. We hypothesize that these will enhance poor women’s
engagement in small-fish aquaculture systems and control over harvests, in turn increasing consumption of small fish by
poor women and children.

While women outnumber men in postharvest nodes of fish value chains, they face multiple gendered barriers. These
include lack of access to and control over high-quality inputs, credit, reliable information, technologies and storage,
as well as gender norm-based harassment and mobility constraints. These prevent women from equal returns from
value chains. Cluster 2 will therefore focus on identifying and testing approaches that enhance women’s access to
and control over key assets and their ability to take advantage of opportunities in fish value chains. In work on losses
and enhancing food quality, we will analyze gendered roles, responsibilities and relations in fish processing and
handling, and identify ways to lighten women’s workloads and improve women’s access to new technologies and
practices.

At the consumption level, decisions about intra-household distribution of food and child-feeding practices are
affected by gender norms and attitudes and cultural perceptions. In response, cluster 3 will test scalable gender-
transformative behavioral change mechanisms. We hypothesize that fish consumption is increased by integrating
nutrition information with methods that constructively engage women and men in recognizing and changing
underlying gender and social norms that influence choices about who eats various types of fish, how much and how
often.

4.10 Capacity development

Capacity development is an enabler of all change mechanisms in the CRP-level ToC. A tailored capacity development
program will be implemented for FP3 through an iterative process, starting with needs assessments and intervention
strategies (element 1 of the CGIAR Capacity Development Framework). For example, in Bangladesh, we will focus on
public and private sector capacity to manage mola broodstock and improve pond management and capacity of women
to harvest small fish. With value chain actors, we will assess capacities to develop and test gender-inclusive
technologies and market and institutional approaches to reducing waste and nutrient losses and enhancing quality of
fish. We will build on experience of learning materials and approaches (element 2) developed for fish value chains
through L&F. All materials and approaches will be gender- and youth-sensitive (element 5), in line with our gender and
youth strategies (see Annexes 3.4 and 3.5).

Institutional strengthening (element 6) will focus on supporting public and private sector partners to develop and use
technologies for production of nutrient-rich fish, and gender-inclusive methods and institutional options for addressing
postharvest loss, using multi-stakeholder platforms and learning alliances. We will also build capacities of research and
development partners to use new consumer-focused value chain assessment methods and methods for the assessment
of nutrient losses along the chain. Capacity development of policymakers to use our research outputs is also an
important component.

We will develop future research leaders (element 4) by working with postgraduate students with tailored capacity-
strengthening plans to be delivered by our partners in tertiary education. Aligning with the program’s partnership
strategy, our needs assessment and outcome evaluation work will also identify gaps and interventions to increase the
capacity of scientists to partner to achieve target outcomes (element 3).
4.11 Intellectual asset and open access management

FP3 will manage intellectual assets consistent with CGIAR, center and partner policies and procedures, as well as those
of our bilateral donors. FP3 will contribute to and take advantage of program-level mechanisms to ensure widespread
usage and analysis.

Research outputs will be disseminated through the CRP website, as well as those of our partners where appropriate.
Datasets will be anonymized and made available through open access depositories. Open access datasets will include
seasonal fish price data disaggregated by species for selected countries; nutritional values of 30 target species tested;
estimates on fish postharvest waste and losses in different locations; and surveys to measure consumption and impact
assessments of interventions. Tools for value chain development and assessing fish consumption and dietary impact, as
well as BCC, will also be placed on the Internet.

Science outputs will, when appropriate, be published in open access journals, or the program will purchase open access
privileges for publication in non-open access journals.

4.12 Flagship management

FP3 will be led by WorldFish. The flagship leader, Dr. Shakuntala Thilsted, will (1) provide overall strategic leadership for
flagship research; (2) work with cluster leaders, scientists and other flagship leaders to develop and oversee execution
of the research agenda for the flagship; and (3) lead identification and negotiation of strategic science partnerships that
will strengthen links between the flagship science team and leaders in the appropriate body of science. A country
coordinator for FP3 will act as a focal point for the flagship’s engagement in each focal country.

Cluster 1: Nutrition-sensitive aquaculture production will be led by WorldFish in collaboration with science partners in
Cambodia and Bangladesh.

Cluster 2: Reducing waste and loss in fish value chains will be led by the NRI (UK) in collaboration with science partners
in Tanzania (Sikoine University on fish value chains in the Lake Victoria region), Bangladesh (Bangladesh Fisheries
Research Forum on dried fish value chains and icddr,b on food safety) and the Netherlands (KIT on gender and value
chains).

Cluster 3: Fish for nutrition and health of women and children will be led by WorldFish in collaboration with science
partners in the Department of Nutrition and the Center for Communication Programs at Johns Hopkins University
(USA), who will provide expertise on formative research and BCC.

Each cluster will be planned and executed in close collaboration with key science partners. Cluster leaders will (1)
provide overall strategic leadership for cluster research; (2) work with contributing scientists to develop and oversee
execution of the research agenda for the cluster; and (3) lead identification and negotiation of significant strategic
science partnerships for the cluster.

CVs of flagship leads, cluster leads and other key scientists leading implementation of the flagship research are
provided in Annex 3.8.