DEVELOPMENT OF GLOBAL PARTNERSHIPS FOR FISH GENETICS RESEARCH A SUCCESS STORY a

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1 DEVELOPMENT OF GLOBAL PARTNERSHIPS FOR FISH GENETICS RESEARCH A SUCCESS STORY a Modadugu V. Gupta and Belen O. Acosta ICLARM the World Fish Center P.O. Box 500, GPO 10670, Penang, Malaysia INTRODUCTION As compared to crops and livestock, genetic enhancement of fish is in infancy and this is further exacerbated by large number of species used in aquaculture, farming systems and environments. Hence it was felt necessary to work in partnership with the beneficiaries of research, the farmers and researchers in developing countries, to understand their needs and priorities and with an advanced research institution to take benefit of their knowledge and experience in genetic enhancement research. In view of this, efforts were made for the first time to develop methods for genetic enhancement of tropical fish Nile tilapia (Oreochromis niloticus), a species of great importance to developing countries because of its many desirable traits and suitability for culture in low/high input farms. In the past, tilapias were treated as poor man s fish but in recent times, it has become an export commodity involving large commercial operations in many developing countries. This paper describes the success of the project in developing methods for genetic enhancement of tropical finfish through partnership among ICLARM (IARC), National Aquatic Research Systems in Asia (NARS), an advanced scientific institution from Norway (ASI), farmers, donors (Annex 1), how the different partnerships evolved, the roles played by each of the partners, the globalization of the outputs from a project undertaken in one country and the lessons learned in the process. PROJECT CONTEXT The genetic enhancement research was implemented by ICLARM and its partners through a number of steps as success of each step led to a follow-up activity, as detailed below: The GIFT project. The Genetic Improvement of Farmed Tilapia (GIFT) project was undertaken to develop methods for producing improved fish breeds using Nile tilapia (Oreochromis niloticus) as a model species. ICLARM in collaboration with Philippine NARS - the Bureau of Fisheries and Aquatic Resources (BFAR), Freshwater Aquaculture Center of the Central Luzon State University (FAC-CLSU), Marine Science Institute of the University of the Philippines (UPMSI) and an advanced scientific institution (ASI) - Institute of Aquaculture Research Ltd in Norway (AKVAFORSK) implemented this in the Philippines during 1988 to The project was supported by the Asian Development Bank and United Nations Development Programme. In its 6 th generation of selection, the GIFT fish had 77% faster growth and 60% higher survival as compared to farmed strain in the Philippines (Eknath and Acosta 1998). The DEGITA project. To test the performance of the improved tilapia strain, the Dissemination and Evaluation of Genetically Improved Tilapia in Asia (DEGITA) project was implemented by ICLARM and its NARS partners from Bangladesh, People s Republic of China, the Philippines, Thailand and Vietnam during 1994 to 1997 in these countries (Dey and Gupta a for presentation at the Technical Workshop on Methodologies, Organization and Management of Global Partnership Programmes, IFAD, Rome, 9-10 October

2 2000). The study indicated the potential for increased production, enhanced profitability of fish farming, decreased price, increased consumption of fish and increased welfare of the country s economy as a whole (Dey 2000). The INGA. The above two projects created interest among the NARS in Asia, Pacific and Africa and this led to the formation of International Network on Genetics in Aquaculture (INGA) in 1993 as a global forum for fish breeding and genetics enhancement with ICLARM as coordinator. With present membership of 13 countries from Asia, Pacific and Africa, 10 advanced scientific institutions and 2 regional/international organizations, INGA has been playing an important role in national, regional and international genetics research aimed at improving production from aquaculture operations and conservation of aquatic genetic resources and biodiversity (Gupta and Acosta 2001).. The GIFT Foundation International Inc. ICLARM and its Philippine NARS partners established in 1997 in Philippines the GIFT Foundation International Inc. as an independent non-stock, nonprofit organization to continue the selective breeding research initiated under the project and to commercialize the strain through partnerships with the private sector (Eknath and Acosta 1998).. It is estimated that GIFT strain has captured 25% of the tilapia fingerlings (baby fish) market in the Philippines (Rodriguez, pers com). Regional projects in Asia and Africa. Success of GIFT project led to regional projects for the Genetic Improvement of Carp Species in Asia implemented by ICLARM with NARS in Bangladesh, China, India, Indonesia, Thailand and Vietnam and Genetic Improvement of Tilapias in Africa project in Cote d Ivoire, Egypt, Ghana and Malawi.. PARTNERSHIPS Identification of problem Poor growth of fish was identified by farmers as a constraint to aquaculture development. National workshops and studies conducted by ICLARM and Philippine NARS indicated the slow growth of fish and poor genetic status of Asian farmed tilapia stocks (Pullin et al. 1991). An international workshop convened by ICLARM in 1987 confirmed that the presently available farmed stocks of Nile tilapia in Asia were of poor genetic quality. These various consultations with NARS, farmers and geneticists indicated the pressing need for genetic enhancement of fish for aquaculture development in developing countries. ICLARM realized that interactive research in this area is essential in developing countries for sustained fish productivity and that this is best done in collaboration with partner institutions (Gupta et al 2001). Evolution of partnerships Fig. 1 illustrates how the different partnerships evolved. A partnership was established among ICLARM, Philippine NARS (FAC/CLSU, BFAR, UPMSI), AKVAFORSK, and donors (ADB and UNDP) to undertake the GIFT Project. BFAR is a government center devoted to hatchery production, extension and training. BFAR s direct link with the Department of Agriculture extension workers and farmers was an excellent structure for establishing a closer relationship with these stakeholders and transferring the research results to the aquaculture industry. The FAC/CLSU is mainly engaged in teaching and research to develop new aquaculture technology. Both BFAR and FAC/CLSU have strong background on tilapia farming, have the appropriate facilities (i.e. ponds, tanks, laboratory) and manpower needed for participating in the strategic research. The UPMSI has the expertise in documentation and genetic characterization of fish. AKVAFORSK has the expertise in quantitative genetics and in developing a national breeding program. It is known for its success in the application of animal breeding technology to salmonid 2

3 farming. The strong interests for collaborative work on genetic improvement and the strengths of these institutions provided the basis for their selection as ICLARM s main partners in the GIFT project. In addition, the project also established linkages with national institutions in Egypt, Ghana, Kenya and Senegal, the University of Hamburg (Germany); and the Musee Royale de l Afrique Centrale (Belgium) for the collection and successful transfer of pure tilapia stocks from Africa to the Philippines. During the second phase of the project, on-farm experiments and development of national tilapia breeding program were initiated hence the GIFT partnership had expanded to include Philippine tilapia farmers. Farmers as partners in on-farm experiments were selected on the basis of their interest in tilapia culture and their available resources (pond facilities, water depth, water retention, etc). Subsequent to the second phase of the GIFT project, activities became more complex and these involved besides research, evaluation of improved strains in 5 Asian countries, establishment of GIFT Foundation International for continuation of genetics research and commercialization of the improved strain, establishment of INGA for collaborative work in genetic improvement and conservation of important genetic resources, and initiation of two regional projects in Asia and Africa. In INGA, partnership was built because of the strong interests and capabilities of the developing countries in Asia, Africa and Pacific for undertaking genetics research; commitment of the country to cooperate with network; and readiness of these countries to establish their own fish breeding programs. Respective roles of partners at different stages of implementation Identification of research theme and program design The fish farmers provided the background knowledge on the status of the farmed stocks of tilapia which formed the basis for undertaking research on genetic improvement program. This knowledge was obtained through surveys/socio-economic studies undertaken by NARS and ICLARM in the Philippines during early 1980s and in other countries through interactions with NARS during consultation meetings. These studies indicated that farmers wanted a faster growing fish and adequate supply of good quality seed. The NARS, through findings of their follow-up studies undertaken with ICLARM, confirmed the problems of farmers. They also provided further advice and intellectual inputs which led to ICLARM s identifying the theme of research that would address the needs of the tilapia industry. AKVAFORSK (ASI), with their experience and knowledge in fish breeding, contributed substantially in formulating the design of breeding experiments. ICLARM and AKVAFORSK lead scientists prepared the initial draft of the research plan. In order to create a level playing field between stakeholders in making decisions about the project design and agenda/methods, all the main partners took part in developing the research plan to a project proposal. Lead scientists from Philippine NARS (FAC/CLSU, NFFTRC/BFAR, UPMSI), AKVAFORSK and ICLARM gathered in Norway for 10 days to review and prepare the proposal based on the initial research plan. Subsequently, the proposal was sent to 25 internationally recognized scientists for peer review and finalized in collaboration with the main partners and was submitted to donors for funding. Implementation and management There was enhanced degree of synergy among the partners at this stage of the project. The respective roles of the main partners in the project are as follows: 3

4 IARC (ICLARM): coordinating research efforts, providing intellectual inputs in the overall planning and project implementation through its own multidisciplinary research team; ensuring successful implementation of all Project activities in participating countries; facilitating exchange of information, methodologies and genetic materials among research partners, organizing training programs, workshops and cross country visits of NARS; preparing and distributing research results/reports. NARS: providing the necessary manpower (both technical and support staff), taking the lead role in on-station and on-farm testing of the improved strain and in developing and implementing the national breeding programs for the improved fish breed; providing the facilities such as ponds, tanks, a hatchery and farm inputs and if available, the fish germplasm required for developing the synthetic base population. ASIs: providing advisory services in implementation of the project, analysis of the data generated and training of national scientists; sharing the technical expertise that can be used to assist the research and training needs of NARS institutions. Donors: providing financial support to the project and development know-how and participating in various consultation meetings, subsequent reviews. Evaluation and dissemination Project outputs. The main products of GIFT research are the improved GIFT strain Nile tilapia and methods for the genetic improvement of tropical finfish. The local farmers and NARS were the key players in performance evaluation of the improved strain through on-farm trials. Using the farmer s ponds and following the farmer s culture practices (e.g. feeding, fertilization, etc.), the NARS in collaboration with ICLARM, conducted the evaluation trials. Feedback was also obtained from farmers at the end of the evaluation trials. In some countries where DEGITA project was conducted (e.g. Bangladesh), the NGOs involved in livelihood program took part in selection of sites/farms so that if they are convinced, the improved fish breed could be disseminated to a large number of farms without losing time. Prior to widespread dissemination of the improved fish breeds, ICLARM organized consultation meeting where, apart from NARS and biodiversity experts, representatives of NGOs who are involved in monitoring developments concerning biotechnology in crops (e.g. Southeast Asia Regional Institute of Community Education-SEARICE) were also invited. The NGOs provided inputs in the socio-ethical aspects of disseminating the improved fish breeds. One important issue debated in this meeting was how to recompense Africa (place where parent stocks of the GIFT strain originated) for the use of their indigenous tilapia strains, given the advice that the new tilapia breed should not be sent back to Africa to avoid contamination of local tilapia strain. The recommendations/knowledge obtained from these stakeholders (biodiversity experts from ASIs and NGOs) helped ICLARM devise a more specific way on how to address this. An option taken by the Center is to provide the African countries that are part of INGA with breeding programs based on their local tilapia strain and to use the GIFT project experience as model for the development of aquaculture in Africa. The evaluation of the improved fish breed and the transfer of methods developed are being continued through INGA. The NARS institutions from 13 member countries participating in the network play a very crucial role in this as they provide a continuous feedback to ICLARM the coordinating member of INGA, as to how the improved germplasm performs in different environments in a regional/global testing program, including the effectiveness/usefulness of the GIFT protocols/methods. Project in general. The donor(s) and the main executing institution (IARC) equally play a very important role in instituting a built-in mechanism for evaluation of the project. For GIFT project, 4

5 the donor (UNDP) commissioned an External Advisory Panel, whose members comprised internationally renowned senior scientists with expertise on fish genetics, farming systems and project management, to conduct an annual review and provide guidance and advice on project s directions. Apart from this, GIFT and all the other initiatives on germplasm enhancement were/being evaluated through regular in-house scientific reviews being organized by ICLARM for its various programs. Coordination mechanism A Memorandum of Agreement (MOA) specifying the responsibilities of each of the partner organization, control and use of improved germplasm and the data generated, was signed before the project began. MOA is being employed to avoid ambiguity on the responsibilities of and expectations from all participating institutions. For instance, because of MOA, partners in the GIFT project recognized that the improved tilapia breed should be in public domain and available to all. Throughout the duration of the GIFT project, ICLARM as the executing institution, employed a consultative management approach by putting in place a Project Management Committee comprising of representatives of various partner institutions. INGA coordinated by ICLARM is providing an effective mechanism for monitoring and reviewing the progress of implementing the national fish breeding programs, including the transfers and utilization of fish germplasm. The Steering Committee of INGA (senior NARS representatives from 13 member countries) provides the broad governance of the network activities Globalization of outputs of partnerships Fig. 2 illustrates how the main outputs of GIFT partnership started in Philippines have paved the way for developing regional/global initiatives on genetics research. The improved strain of tilapia developed from GIFT project after one generation of selection had generated a demand from the tilapia industry in the Philippines and elsewhere. In view of this, the GIFT project team organized in 1992 a 5-day consultation meeting involving NARS senior scientists from developing countries, international experts on fish genetics and biodiversity, representatives of NGOs and donor institutions, to discuss strategies/safeguards for fish germplasm transfer and distribution. Following the recommendations from this meeting, the improved fish breed from the Philippines were disseminated to Bangladesh, People s Republic of China, Philippines, Thailand and Vietnam for detailed evaluation of the genetic and socioeconomic performance and environmental impacts of this strain prior to commercial production and dissemination (ICLARM 1998). The INGA which is being coordinated by ICLARM, is linking the genetics research work and other related activities of 13 member countries (NARS), 10 advanced scientific institutions and 2 regional/international organizations and has led the developing country NARS in Asia, Pacific and Africa in developing the national breeding programs (Gupta and Acosta 1999). The Steering Committee members and the Associate member institutions of INGA meet once a year to discuss progress of genetics research work and future plans. The program of INGA is based on a common framework for action within which stakeholders carry out a variety of decentralized joint initiatives and collaborative efforts. Through this network, two regional research projects, one in Asia for the genetic improvement of carps and another one in Africa, for the genetic improvement and conservation of tilapias are being undertaken. Unlike INGA, the research agenda or activities of these two projects are based on centralized/fully structured program (with central budget) based on a common framework for action. 5

6 Realizing that only the activities that fall within the national priorities of members could be sustained, INGA leaves the identification of projects/activities to each member and assist the members in identifying projects in regional basis if they have common needs such as the two regional projects described earlier. Through ICLARM and in coordination with INGA, the GIFT Foundation International which was established in 1997 to continue GIFT research and dissemination activities, provides the improved tilapia breed to member countries of the network. The improved tilapia breed and the methods developed through the GIFT project are now being used in many developing countries to establish their national tilapia breeding programs. In Africa the selective breeding method is now being applied for genetic improvement of indigenous tilapias. The collaborative research for genetic improvement is a landmark achievement in the history of tropical aquaculture and a pioneering effort linking biodiversity research and the development of national fish breeding programs in developing countries of Asia, Africa and the Pacific. Added value of partnerships One of the important benefits of partnerships is that the tasks and the challenges the team may face in research are shared thereby enabling them to address these in an effective manner. The first major strategic research on genetic enhancement (GIFT project) provides a classic example of how a strong partnership successfully braved the challenges as it evolved into a more complex initiative. The challenges and setbacks did not deter the spirits of the team and worked like a very well oiled machine to achieve the project objectives. The successful completion of the project s first phase in 1992 increased the donors confidence and resulted in continuation of support for another six years. By this time, the international community began to appreciate the GIFT strategy and provided advice on project s directions. The inputs and recommendations provided by the international experts on biodiversity, NARS scientists from developing country institutions, NGOs, and private sector during consultation meetings organized by ICLARM have been fully considered and led to implementation of evaluation and impact studies prior to dissemination of improved fish breed and formulation of protocols for international transfer of fish through the INGA. Through partnership with the accredited tilapia hatchery operators, the GIFT Foundation International Inc, a private entity which ICLARM and its partners established has become selfsustaining institution for the research and commercialization of improved strain. With regard to regional efforts on genetic enhancement, value is added through working with NARS institutions that have direct link with extension workers and farmers from developing countries. The on-farm experiments, undertaken in partnership with these stakeholders effectively established the superiority of genetically improved strain, a clear demonstration to the local farmers that genetic improvement would enhance their fish productivity and income. Partnership in research and commitment of partners (IARC, ASI, and NARS) has led to tangible and sustainable results. There was also little time lost in adoption of methods developed and use of improved germplasm, due to involvement of developing country NARS from the time of conceptualisation of the projects. The partnerships between IARCs/ASIs/ developing country NARS have supported the capacity building among NARS institutions thereby ensuring the sustainability of research initiated. The pro-active involvement of NARS in INGA has also heightened their awareness on the importance of genetic improvement and conservation of biodiversity. They also recognized that this can best be addressed through concerted efforts 6

7 which led some countries participating in INGA to establish their own national networks on aquaculture genetics. The success of the research projects on genetic enhancement can be attributed to the close collaboration of various partners (IARC, NARS, ASIs, farmers and the donors). Any one of these organizations working by themselves would not have achieved this success. This is a fine example of partners complementing each other s strengths and skills. Lessons learned Decisions through consultations. Major decisions taken in all the projects described above were based on consultation. The process used here was highly consultative in which meetings, workshops depending on the stage of project implementation, were held with leaders/scientists of national institutions and representatives of ASIs, donors and private sector (farmers). Through this process, qualitative judgments and wiser decisions on how to tackle the critical issues put forward by the developing countries are ensured. In the GIFT project, the Philippine farmers who took part in the consultation process were the partners in on-farm studies and representatives of tilapia groups/associations from various regions of the country selected by NARS partners. Clear definition of roles. The Memorandum of Agreement (MOA) between partners is essential to have a clear and better understanding of each partner s role/responsibility and expectations. Apart from MOA, there should be written agreed statements on other important aspects of collaborative arrangements (e.g. authorships, turning over of assets, etc.). In the GIFT project these aspects had been covered broadly in the MOA but no specifics or details of arrangements were indicated. As a result of this oversight, there were disagreements in authorships of papers, turning over of assets. All these however had been resolved effectively at an early stage through dialogues and renewed written agreements among the partners. Consolidated management of the project. Although ICLARM was the main executing institution in the GIFT Project, day to day management and decisions were made through the Project Management Committee, represented by all the participating institutions (ICLARM, AKVAFORSK, Philippine NARS). The leaders of Philippine NARS and AKVAFORSK who were members of the Management Committee received modest honorarium from the project funds for their involvement in the implementation. Consolidated management of the project brings a number of advantages and these may have contributed significantly to the success of the GIFT project. Through consolidated management, a continuing transparency and communication among the partners are assured thereby resulting in a more systematic approach of implementing the project, a better understanding of the plans and the milestones and an early diagnosis and solutions to the problems that might arise. In the regional projects for carps and tilapias, consolidated management through the project management committee is not employed because unlike the GIFT project, these projects are being implemented independently by each country with ICLARM as overall coordinator and technical advisor. Involvement of beneficiaries. The successful uptake of research outputs (methods and improved fish breeds) by the targeted beneficiaries (researchers and farmers) is only possible if these stakeholders have played pro-active role in the project. In the genetics enhancement research, involving them is crucial as this will give them a better knowledge of the products of research (e.g. improved fish breed) thereby enabling them to manage and handle the stocks properly. Proper management of the stocks is essential to ensure that genetics gains achieved from breeding program are not lost. Mutual respect/trust between partners. How partners relate with one another is very important. The Chair of the External Advisory Panel to the GIFT Project once indicated that one important aspect he learned from this project was that just the mere presence of a group of scientific xperts 7

8 to provide assistance to local partners does not guarantee success. Rather a lot is required from both parties. There must a high level of respect, for example, on the part of both the experts and the local scientists. There must be a commitment on the part of the experts to let the local scientists grow and mature. The project also demonstrated that success comes about not by imposition of ideas, but by encouraging and supporting the minds of these scientists (Gall 1998). One important aspect which allowed the GIFT partners to build mutual trust/respect was by encouraging equal participation and opportunities of the partners. For example, during the inhouse training workshops or meetings where all members of the team were gathered, everyone, regardless of how small his/her role was given the opportunity to say something or to contribute. In the international meetings/workshops where the team had the opportunity to present results of the studies, the project, depending on the availability of funds, made it a point that partners from main participating institutions were equally represented. The personal attitude of the IARC staff and how they relate with the partners, especially the NARS, is also a factor. The IARC staff should not, in any way, dominate and treat the project as if it is their own. In our experience, coordinating regional/global projects and sustaining the commitment of the partners is not easy. For example, fair allocation of project funds to partner institutions is a challenge because each one wants a bigger slice of cake. Although this is resolved through dialogues and consultations, it helps a lot also if the partners, especially the NARS, realized that the project is theirs and they are the one who would ultimately benefit from the collaboration. 8

9 References: Dey, M.M The impact of genetically improved farmed Nile tilapia in Asia. Aquacult. Econ. and Manage. 4(1&2): Dey, M.M. and M.V. Gupta Socio-economic aspects of disseminating improved tilapia in Asia: an introduction. Aquacult. Econ. and Manage. 4(1&2): Eknath, A.E. and B.O. Acosta Genetic Improvement of Farmed Tilapias (GIFT) Project Final Report, March 1998 to December International Center for Living Aquatic Resources Management, Makati City, Philippines. Gall, G Message. p. vii. In: Eknath, A.E. and B.O. Acosta. Genetic Improvement of Farmed Tilapias (GIFT) Project Final Report, March 1998 to December International Center for Living Aquatic Resources Management, Makati City, Philippines. Gupta, M.V. and B.O. Acosta International Network on Genetics in Aquaculture: a global forum for collaborative research and training in applied fish breeding and genetics. ICLARM, Makati City, Metro Manila, Philippines. 17p. Gupta, M.V., B.O. Acosta, R. Dunham and P.R. Gardiner Fish genetics research at ICLARM the World Fish Center, p In. M.V. Gupta and B.O. Acosta (eds.). Fish genetics in member countries and institutions of the International Network on Genetics in Aquaculture. ICLARM Conf. Proc., 64, 179p. ICLARM Dissemination and Evaluation of Genetically Improved Tilapia Species in Asia: Final Report. Asian Development Bank Regional Technical Assistance No International Center for Living Aquatic Resources Management Pullin, R.S.V., A.E. Eknath, T. Gjedrem, M.M. Tayamen, J.M. Macaranas and T.A. Abella The genetic improvement of farmed tilapias (GIFT) Project: The story so far. NAGA, ICLARM Q. 14(2): 31p. 9