This thesis is intended to improve the understanding of China’s evolving export-oriented farmed seafood systems, and in particularly, shrimp and tilapia farming value chains in Southern China. An integrated, systems thinking and interdisciplinary approach in which both top–down and bottom–up approaches were combined. The research moved from system reviews, to field surveys and workshops, and then to improving sustainability by Action Research (AR), in order to form a holistic understanding of sustainability at both national and local scales. In the new millennium, the aquaculture sector has matured, and many factors now slow the growth rate of Chinese aquaculture production, such as increasing culture of high-value species and an emerging trend of extensification. There are been some strategy shifts in the aquaculture industry such as changing from a high production to high profit orientation and from causing environmental damage to ecological remediation. A key conclusion is that high growth rates, regularly used in policy dialogues, are misleading indicators and do not reflect, realistic or sustainable, growth profiles. Although overall Chinese aquaculture production is likely to further increase to meet an increasing and changing market demand, growth rates will decrease further. China already is and will continue to be a fisheries products net importer, however, if fishmeal excluded China will remain as a seafood net exporter. The status and development of four internationally-traded farmed seafood, tilapia, penaeid shrimp, macrobrachium prawns and striped catfish in China were reviewed. China is the largest producer of tilapia, penaeid shrimp and macrobrachium prawns, and striped catfish is not produced in significant quantities due to climate limitations. Meanwhile, China is the largest exporter of tilapia, the second largest exporter in the volume and third in value of shrimp in the world, while macrobrachium prawns mainly support domestic markets. Tilapia and penaeid shrimp were selected for further research. An analysis of tilapia and shrimp farm scale indicators and their relationship to farming system and market orientation, farm intensification and performance was made. Farm area, both land and water area, labour, including paid and unpaid were effective indicators to distinguish farm scale. Small-scale farms had higher land productivity in production terms but no difference in value output term, and they had much lower labour productivity than medium and large-scale farms. Farming systems were also correlated with land and labour productivities. Market orientation was closely linked to farm scale as most farms with an export orientation required registration with CIQ (China Entry-Exit Inspection and Quarantine) and were mainly large-scale. An assessment of local stakeholder sustainability perspectives along value chains revealed that more than 80% shrimp and tilapia farmers didn’t want their children to continue basing their living on aquaculture; because they considered it hard work, high risk and poorly remunerated. Farming was comparative stable with few changes in the five years prior to the survey. Major sustainability factors identified by stakeholders included input costs, profit, water availability & quality and the weather, most of which were outside their control. The measurement of these sustainability factors was firstly proposed by stakeholders and then developed to a set of sustainability indicators (SIs). Life cycle assessment (LCA) was used as evaluate the environmental performance of tilapia, pig and integrated tilapia-pig farming systems in China. Pig farming had higher environment impacts based on most impact categories than tilapia, and integrated farming systems. Sensitivity analysis showed that improvements of 5% and 10% higher feed efficiency, reduction of fishmeal in feed to 1% level and use of EU electricity could significant reduce overall environmental impacts. An action research (AR) approach was used to assess the practice of farm record keeping with farmers which were found to be generally low and a major constraint to improving product traceability increasingly demanded by consumers. Large scale and CIQ farms were more likely to keep records and for them to be detailed and analysed to inform improved management. Farmers’ motivation, ability and capability and background had significant correlation with record keeping practice. Two major dilemmas were identified by the analysis. Easy-to-use farm record-keeping system more suitable for less formally educated farmers was a clear requirement but useful storage and analysis of farm data capacity requires sophisticated management tools such as a computer system. Another dilemma is the need for coercion by regulatory authorities or encouragement through provision of education and training in increasing on-farm record-keeping to a level required for international trade and, increasingly, domestic markets. “Precision aquaculture”, value chain integrated solution, and further social-economic reforms were discussed. Finally, sustainable intensification, diversification, and extensification were proposed as strategies for China to meet the challenges of globalization and the growing demands of export and domestic value chains. In order to enhance sustainability of the sector and provide opportunities for small-scale farmers, the current status and changes of the Chinese social, economic context, food safety and environments issues were discussed. Farmers’ organizations, future consolidation, and land reforms were identified as key to the required changes of farmed seafood value chains.

<p>The purpose of this dissertation is to contribute to a better understanding of how global seafood trade interacts with the governance of small-scale fisheries (SSFs). As global seafood trade expands, SSFs have the potential to experience significant economic, social, and political benefits from participation in export markets. At the same time, market connections that place increasing pressures on resources pose risks to both the ecological and social integrity of SSFs. This dissertation seeks to explore the factors that mediate between the potential benefits and risks of global seafood markets for SSFs, with the goal of developing hypotheses regarding these relationships. </p><p>The empirical investigation consists of a series of case studies from the Yucatan Peninsula, Mexico. This is a particularly rich context in which to study global market connections with SSFs because the SSFs in this region engage in a variety of market-oriented harvests, most notably for octopus, groupers and snappers, lobster, and sea cucumber. Variation in market forms and the institutional diversity of local-level governance arrangements allows the dissertation to explore a number of examples. </p><p>The analysis is guided primarily by common-pool resource (CPR) theory because of the insights it provides regarding the conditions that facilitate collective action and the factors that promote long-lasting resource governance arrangements. Theory from institutional economics and political ecology contribute to the elaboration of a multi-faceted conceptualization of markets for CPR theory, with the aim of facilitating the identification of mechanisms through which markets and CPR governance actually interact. This dissertation conceptualizes markets as sets of institutions that structure the exchange of property rights over fisheries resources, affect the material incentives to harvest resources, and transmit ideas and values about fisheries resources and governance.</p><p> The case studies explore four different mechanisms through which markets potentially influence resource governance: 1) Markets can contribute to costly resource governance activities by offsetting costs through profits, 2) markets can undermine resource governance by generating incentives for noncompliance and lead to overharvesting resources, 3) markets can increase the costs of resource governance, for example by augmenting monitoring and enforcement burdens, and 4) markets can alter values and norms underpinning resource governance by transmitting ideas between local resource users and a variety of market actors. </p><p>Data collected using participant observation, survey, informal and structured interviews contributed to the elaboration of the following hypotheses relevant to interactions between global seafood trade and SSFs governance. 1) Roll-back neoliberalization of fisheries policies has undermined cooperatives’ ability to achieve financial success through engagement with markets and thus their potential role as key actors in resource governance (chapter two). 2) Different relations of production influence whether local governance institutions will erode or strengthen when faced with market pressures. In particular, relations of production in which fishers own their own means of production and share the collective costs of governance are more likely to strengthen resource governance while relations of production in which a single entrepreneur controls capital and access to the fishery are more likely to contribute to the erosion of resource governance institutions in the face of market pressures (chapter three). 3) By serving as a new discursive framework within which to conceive of and talk about fisheries resources, markets can influence norms and values that shape and constitute governance arrangements.</p><p>In sum, the dissertation demonstrates that global seafood trade manifests in a diversity of local forms and effects. Whether SSFs moderate risks and take advantage of benefits depends on a variety of factors, and resource users themselves have the potential to influence the outcomes of seafood market connections through local forms of collective action.</p> / Dissertation

Sustainable and equitable fisheries are central for addressing the challenges of the UN Sustainable Development Goal 14: Life Below Water. International trade, once presented by Walrasian economists as a panacea for fisheries development, has not markedly decreased poverty and has been related to the overexploitation of marine species. In this light the consequences of a continued expansion of seafood trade are highly uncertain and problematic. Two competing theoretical hypotheses predict either overexploitation or recovery of marine species when connected to international trade, respectively. The empirical literature finds trade relationships and connections of local fisheries to a large-volume market critical factors for social-ecological outcomes. Here, I combine these insights to show that multi-level links, between fishers &amp; different markets (market manuscript) and marine species &amp; trade relationships (squid manuscript), are critical to explain diverging social-ecological outcomes. In the market manuscript we model the transition from local, to multi-level (both local and global), to global markets in a two species fishery. We find this transition is non-linear, leading to fluctuations in species abundance as a result of abrupt switches between target species. Critical fluctuations of species abundance driven by new market connections are a result of large shifts in prices for one species and high asymmetries in expected income between the two species. The squid manuscript provides empirical and modeling evidence that cyclical changes in the ocean can drive social-ecological systems outcomes through changing interactions at multiple levels. The interactions between squid population and fishers and squid distribution and trading structures determines benefit distributions in the fishery. The lack of consideration of multi-level interactions related to trade in models for fisheries management is likely associated with a lack of processes for integrating the empirical and theoretical insights of two disciplines at the core of fisheries science. Social-ecological system scholars study more often empirical and fishery economics the theoretical aspects of interactions between trade and fisheries. One process suggested in this thesis to bridge insights from both disciplines in fishery models is the careful study of the important interactions in the empirical case. Comparison of these interactions with observed empirical interactions in other systems informs the model conceptualization that is then embedded in a theoretical framework. This leads to the development of models of intermediate complexity  that integrate insights on regular structures and patterns observed in real social-ecological systems. The squid manuscript exemplifies this integration. We integrate observed multi-level links in a standard fishery model between the squid population fishers and traders, and thus better represent the empirical system.  A continuous dialogue between empirics and theorycan help build models of intermediate complexity. To capture the complex elements of these social-ecological systems, in this young field of study, next to a continuous dialogue priority observed empirical dynamics can help question theoretical assumptions. This study seeks to contribute to the development of fisheries management models more suitable to face contemporary challenges of fisheries management by focusing on how multi-level interactions between fisheries and trade shape sustainable and equitable outcomes.