Aquaculture and rural livelihoods in the Bolivian Amazon

281 Pages·2012·4.19 MB·English

Aquaculture and rural livelihoods in the Bolivian Amazon -

Systems of Innovation and pro-poor technology development

Elisa Canal Beeby

PhD Thesis

UNIVERSITY OF EAST ANGLIA
School of International Development

March 2012
Aquaculture and rural livelihoods in the Bolivian Amazon -

Systems of Innovation and pro-poor technology development

Elisa Canal Beeby

PhD Thesis

UNIVERSITY OF EAST ANGLIA
School of International Development

March 2012

This copy of the thesis has been supplied on condition that anyone who consults it is
understood to recognise that its copyright rests with the author and that use of any
information derived there from must be in accordance with current UK Copyright Law. In
addition, any quotation or extract must include full attribution
Abstract

This thesis is about pro-poor agricultural innovations and smallholder development in
Amazonia. The focus is on aquaculture in the Bolivian Amazon, with particular
reference to indigenous territories. An Innovation Systems framework is used to
analyse aquaculture Research and Development at a national level and its relevance to
small farmers. The analysis of poverty-focused technology development at the project
and farm levels is aided by a Knowledge Engineering Approach for agricultural research
management and Livelihoods perspectives. The data comes from interviews with fish
farmers and other actors, on-farm and on-station research and livelihoods surveys.

Indigenous-species aquaculture can help integrate conservation and development
efforts in the region. Nevertheless, a weak innovation system, with limited
participation of the public sector, and underdeveloped markets greatly limit poorer
farmers’ access to aquaculture technologies. Furthermore, low-external-input systems
often promoted as ‘pro-poor’ have limited growth potential whilst requiring
considerable skills and labour, both of which tend to be in short supply in Amazonia.
Development and poverty reduction objectives might be best met by supporting small
and medium-scale commercial aquaculture in areas with access to input/output
markets, developing institutional innovations in the provision of inputs and credit and
building producer associations for bulk marketing. Given limited resources, priority
should be given to reinforce existing innovation networks, largely within the private
sector.

Indigenous farmers with access to markets can also benefit from aquaculture with a
commercial approach. There is considerable evidence of farmers in indigenous
territories diversifying their production to include more market-oriented farming, as
well as activities in the non-farm sector and wage labour. Here, interest in and access
to aquaculture is influenced by location (access to markets and environmental
settings), income portfolio and type of livelihoods diversification.

The research has important implications for rural aquaculture development in the
Bolivian Amazon and provides relevant data about livelihoods and change in
indigenous communities and their implications for Conservation and Development
Projects in Amazonia.

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Table of Contents

List of tables vii
List of figures viii
A cronyms and abbreviations ix
Acknowledgements xi
1 INTRODUCTION 1

2 DEBATES, CONTEXT AND RESEARCH AIM 8
2.1 The debates 9
2.1.1 Amazonia: reconciling conservation and development, tradition and modernity 9
2.1.2 Targeting the agricultural sector in less favoured areas: does it pay? 17
2.1.3 Rural livelihoods diversification and agricultural innovations 21
2.1.4 Aquaculture as a pro-poor natural resource management innovation 23
2.1.5 Indigenous-species aquaculture in Amazonia 29
2.2 Context 32
2.2.1 Bolivia 32
2.2.2 Aquaculture development in the Bolivian Amazon 34
2.2.3 Pro-poor aquaculture development in Indigenous Territories 35
2.2.4 TIM and TIMI 36
2.3 Aim of Research 39

3 CONCEPTUAL FRAMEWORK 41
3.1 Introduction: linking theory and practice 42
3.1.1 Setting the foundations 43
3.1.2 A working framework / A framework that works 43
3.1.3 The actor oriented paradigm: reconciling structure and agency 44
3.2 Innovation Systems: understanding technology change 47
3.2.1 The Central Source of Innovation Model 48
3.2.2 The Multiple Source of Innovation Model 48
3.2.3 Systems Approaches: technology development as process 49
3.2.4 Bolivia’s Amazon Aquaculture Innovation System, BAAIS 52
3.3 Knowledge engineering: matching technologies with end-users 53
3.3.1 Targeting the poor in agricultural development & extension 54
3.3.2 A Knowledge Engineering Approach: Focusing on both sides of the technology transfer
equation 59
3.4 From farming systems to livelihoods approaches 64

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4 BOLIVIA’S AMAZON AQUACULTURE INNOVATION SYSTEM 67
4.1 Introduction 68
4.2 Data collection & analysis 69
4.2.1 Interviews with fish farmers in the Bolivian Amazon 70
4.2.2 Interviews with actors in BAAIS 72
4.2.3 Graph-theory techniques 74
4.2.4 Accounting for the limitations of the approach 77
4.3 Amazon aquaculture in Bolivia: production, practices & trends 78
4.3.1 Production 79
4.3.2 Practices 80
4.3.3 Trends 82
4.4 The ten components of BAAIS: actors, roles & context 84
4.4.1 (A) Policy component 85
4.4.2 (B) Research component 87
4.4.3 (C) Education component 89
4.4.4 (D) Information & extension component 90
4.4.5 (En) Input/output supply, processing, marketing component (National) 91
4.4.6 (E ) Input/output supply, processing, marketing component (Abroad) 97
a
4.4.7 (F) Credit component 98
4.4.8 (G) Private fish-farm component: producers 99
4.4.9 (H) External assistance component 101
4.5 System competency & relationship dynamics 105
4.6 The BAAIS Cause-Effect structure: uncovering information networks 111
4.6.1 Accessing the market for Amazon aquaculture inputs and services: a bottleneck 116
4.7 Targeting the poor in BAAIS 118
4.7.1 Targeting the poor: changes in the BAAIS Cause-Effect structure 118
4.7.2 Pro-poor Amazon aquaculture in Bolivia: a short history 119
4.7.3 Pro-poor Amazon aquaculture in Bolivia: lessons from the field 122

5 PRO-POOR AQUACULTURE TECHNOLOGY DEVELOPMENT IN
INDIGENOUS TERRITORIES 127
5.1 Introduction 128
5.2 Data collection & analysis 130
5.2.1 Defining technologies: on-farm & on-station research and semi-structured group interviews
131
5.2.2 Defining end-users and trends in the innovation process: livelihoods household survey 133
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5.3 Defining technologies: inputs and benefits of pacú farming in Moxos 135
5.3.1 Types of fish farming 137
5.3.2 Costs and returns of pacú farming 138
5.3.3 Financial feasibility of pacú farming 148
5.4 Defining technologies: organisational aspects of pacú farming in Moxos 151
5.4.1 Organisational systems for pond management in the communities 151
5.4.2 Distribution of tasks 153
5.4.3 Evolution of the fish farming groups 153
5.5 What does it take to innovate? Identifying the fish farmers in the indigenous territories 157
5.5.1 Livelihoods in TIM and TIMI 158
5.5.2 What does a fish farmer look like? 162
5.5.3 Statistically significant differences between fish farmers and non-fish farmers 165
5.5.4 Other variables analysed 167
5.5.5 A note on the methods 168
5.6 Voices from the communities: an inside evaluation of aquaculture 169
5.6.1 Purpose of production 170
5.6.2 Type of production 172
5.6.3 Organizational strategies 173
5.6.4 Impact on the rest of the community 178

6 DISCUSSION AND CONCLUSIONS 181
6.1 Introduction 182
6.2 An actor oriented approach to development 185
6.3 Pro-poor aquaculture development in context 186
6.4 Subsistence fish farming for the poorest of the poor in the Bolivian Amazon: limitations of the
approach 187
6.4.1 The Innovation System is weak and input markets are underdeveloped 188
6.4.2 Integrated low-external-input systems are information intensive 189
6.4.3 Integrated low-external-input systems provide low returns on labour 193
6.5 Subsistence and communal fish farming in indigenous territories: limitations of the approach 196
6.5.1 Changing livelihoods and expectations in indigenous territories 197
6.5.2 Community versus kinship ties 199
6.6 Pro –poor commercial aquaculture - for the less poor and better organised? 201
6.6.1 Aquaculture as a business 202
6.6.2 Producer associations 205
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6.7 Strengthening the aquaculture sector in the Bolivian Amazon: an Innovation System perspective
206
6.7.1 Applying Innovation Systems frameworks to agricultural R&D in developing countries 207
6.7.2 Strengthening the individual components of Bolivia’s Amazon Aquaculture Innovation
System (BAAIS) 210
6.7.3 Strengthening the system as a whole – increasing BAAIS’ navigability 214
6.8 Summing up: aquaculture, conservation and development in the Bolivian Amazon 218
6.9 Table of recommendations 223

REFERENCES 225

APPENDIX 1 A-1

APPENDIX 2 A-4

APPENDIX 3 A-9

APPENDIX 4 A-11

APPENDIX 5 A-15

APPENDIX 6 A-21

APPENDIX 7 A-25
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List of tables
Table 4-1 Aquaculture producers interviewed in the Bolivian Amazon ..................................................... 71
Table 4-2 Organizations interviewed for the characterization of BAAIS .................................................... 74
Table 4-3 Aquaculture production in the Bolivian Amazon (estimate for 2005) ....................................... 79
Table 4-4 Aquaculture production in the Bolivian Amazon by species and type of producer.. ................. 80
Table 4-5 Type of supplementary feed used in Amazon aquaculture........................................................ 81
Table 4-6 Amazon aquaculture production per household (hh) and unit area (ha) (2005) ....................... 81
Table 4-7 Formal training in Amazon fisheries and aquaculture ............................................................... 89
Table 4-8 Seed suppliers for Amazon aquaculture in Bolivia (2005-2006). ............................................... 93
Table 4-9 Feed suppliers for Amazon aquaculture in Bolivia (2005-2006) ................................................ 95
Table 4-10 Strategies for pond construction and improvement. ............................................................... 96
Table 4-11 Aquaculture producer associations in the Bolivian Amazon (2006) ....................................... 100
Table 4-12 Main problems reported by fish farmers in the Bolivian Amazon. ........................................ 100
Table 4-13 Main barriers to the development of the Amazon aquaculture sector in Bolivia according to
fish farmers. .................................................................................................................................... 101
Table 4-14 Main opportunities and challenges for Amazon aquaculture development in Bolivia as seen
by different groups of actors .......................................................................................................... 104
Table 4-15 BAAIS Linkage or Interaction matrix. ...................................................................................... 106
Table 4-16 Access to information and Amazon aquaculture inputs ........................................................ 117
Table 5-1 Interviews with TIMI and TIM fish farmers .............................................................................. 132
Table 5-2 Stratified random sample of households interviewed in those communities in TIMI and TIM
with fish production. ...................................................................................................................... 134
Table 5-3 Sample of households interviewed in TIMI and TIM ................................................................ 135
Table 5-4 Fish farming units studied (2003-2006). .................................................................................. 139
Table 5-5 Farm budget of pacú farming: the Chaco system. ................................................................... 140
Table 5-6 Farm budget of pacú farming: the Mixed system. ................................................................... 141
Table 5-7 Farm budget of pacú farming: the Commercial system. .......................................................... 142
Table 5-8 Costs and returns of pacú farming under the Chaco, Mixed and Commercial systems. .......... 143
Table 5-9 Labour invested in fish farming in Moxos ................................................................................ 145
Table 5-10 Defining aquaculture technologies: associated benefits, required inputs and agricultural
logic................................................................................................................................................. 147
Table 5-11 Capital investment for a 1 hectare fish farm in Moxos. ......................................................... 149
Table 5-12 Maintenance costs for a 1 hectare fish farm in Moxos .......................................................... 149
Table 5-13 Payback periods for the Mixed and Commercial systems ...................................................... 149
Table 5-14 Annual payments for a 10 year loan at different real interest rates. ..................................... 149
Table 5-15 Evaluation of the changes in the lives of indigenous families. ............................................... 161
Table 5-16 Summary of the variables analysed to compare the groups of non-adopters, those who adopt
& quit and those who adopt & repeat. ........................................................................................... 163
Table 5-17 Identifying the fish farmers in the community: differences between adopters and non-
adopters. ......................................................................................................................................... 165
Table 5-18 Expenditure from fish farming income .................................................................................. 168
Table 5-19 Evaluation of fish farming potential ...................................................................................... 169
Table 5-20 Main purpose of production. ................................................................................................. 171
Table 5-21 Reasons for giving up fish farming ......................................................................................... 173
Table 5-22 Organizational strategies preferred to manage fish ponds .................................................... 174
Table 5-23 Reasons for not participating in fish farming ......................................................................... 178
Table 5-24 Evaluation of the activity by NON fish farming HH ................................................................ 179
Table A-1 List of actors in BAAIS interviewed, organised by component .................................................... 1
Table A-2 Sample of fish farmers interviewed in the Bolivian Amazon, organised by regions .................... 3
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List of figures
Figure 2-1 Resource flow diagram of an IAAS. ........................................................................................... 32
Figure 3-1 A Systems Approach to the analysis of R&D ............................................................................. 51
Figure 4-1 Bolivia’s Amazon region and study area ................................................................................... 70
Figure 4-2 Linkage or Interaction matrix .................................................................................................... 75
Figure 4-3 Formulation and enforcement of fisheries and aquaculture policy.......................................... 85
Figure 4-4 Coded linkage matrix: weighing inter-component cohesion.. ................................................ 108
Figure 4-5 Connectedness of the ten BAAIS Components. ...................................................................... 109
Figure 4-6 Information source-sinks matrix. ............................................................................................ 112
Figure 4-7 BAAIS’ Cause-Effect matrix: Information sources – sinks matrix (weighted values). .............. 113
Figure 4-8 Graphical representation of BAAIS’ Cause-Effect matrix. ....................................................... 113
Figure 4-9 Changes in BAAIS’ Cause-effect structure when focusing on different groups of producers. 118
Figure 5-1 Indigenous Territories ‘Mojeño Ignaciano’ (TIMI) and ‘Multiétnico’ (TIM). ........................... 131
Figure 5-2 Individual Household pond. San Ignacio de Moxos ................................................................ 136
Figure 5-3 Communal pond. Santa Rosa del Apere, TIM ......................................................................... 136
Figure 5-4 Home-made supplementary fish feed production in Fátima (a, b) and San Miguel (c).. ........ 145
Figure 5-5 Group of fish farmers from the community of Retiro, TIM..................................................... 154
Figure 5-6 Evolution of fish farming group in Fátima: group ii (2002-2006).. .......................................... 155
Figure 5-7 Evolution of fish farming group in San Miguel del Mátire (2004-2006).. ................................ 156
Figure 5-8 Evolution of the fish farming groups in TIM and TIMI. ........................................................... 157
Figure 5-9 Income portfolios in the TCO (Tierras Comunitarias de Origen) TIM and TIMI. ..................... 159
Figure 5-10 Fish farmer from the community of Argentina with pacú (Colossoma sp.) (a). Fish farmer
from Monte Grande Km5 with tambaquí (Piaractus sp.) (b) .......................................................... 162
Figure 5-11 Livelihood portfolios of non-fish farmers (G1, N=52), those who adopt and quit (G2, N=37)
and established fish farmers (G3, N=42). ....................................................................................... 164
Figure 5-12 Fish farmers harvesting (a) and counting their money (b) from the sale of pacú in Retiro. . 171
Figure 6-1 Variability of outputs obtained by farmers under the Chaco and Commercial systems. ....... 191

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Acronyms and abbreviations
AA Action Aid, international NGO
ADEPESCA Apoyo a la Pesca Artesanal y la Acuicultura, European Union fishing and aquaculture
Project.
AECI Agencia Española de Cooperación Internacional para el desarrollo (Spanish
International Development Agency)
BAAIS Bolivia’s Amazon Aquaculture Innovation System
BIDECA Bloque Integrado de Desarrollo Cantonal Caranavi (The Caranavi Integrated
Development Group) Bolivian NGO, La Paz
CAF Corporación Andina de Fomento. (Andean Development Corporation)
CARITAS CARITAS, international Roman Catholic NGO
CATIE Centro Agronómico Tropical de Investigación y Enseñanza (Tropical Agricultural
Research and Education) Costa Rica
CICA Centro de Investigación y Capacitación Agropecuaria (Aquaculture Research and
Development Centre) Bolivian NGO, Tarija.
CIDA Canadian International Development Agency
CIDAB Centro de Investigación y Desarrollo Acuícola Boliviano (Bolivian Aquaculture Research
and Development Centre) Ministry of Agriculture
CIPCA-Beni Centro de Investigación y Promoción del Campesinado Bolivian (Bolivian Centre for the
Promotion of Rural Communities). Bolivian NGO.
CIRA - UAB Centro de Investigación de Recursos Acuáticos - Universidad Autónoma de Beni
(Aquatic Resources Research Centre - Universidad Autónoma de Beni)
CORDECRUZ Corporación Regional de Desarrollo de Santa Cruz (Regional Development Corporation
of Santa Cruz) Regional government, Bolivia
CORDEPAZ Corporación Regional de Desarrollo de la Paz (Regional Development Corporation of La
Paz) Regional government, Bolivia
DANIDA Danish International Development Assistance, Ministry of Foreign Affairs, Denmark
DDS Dirección de Desarrollo Social (Department for Social Development) Regional
government, Bolivia.
DFID Department for International Development, UK Government Department
DGCD Direction Général de la Coopération au Développement (Development Cooperation
Department) Ministry of Foreign Affairs, Belgium
DGIS Directoraat Generaal Internationale Samenwerking (Directorate General for
International Cooperation) Ministry of Foreign Affairs, The Netherlands
EED Evangelischer Entwicklungsdienst (German Protestant Churches Development Service)
NGO, Germany
EPARU Equipo Pastoral Rural (Rural Pastoral Care Team) Catholic NGO, Bolivia
FAO Food and Agriculture Organisation of the United Nations
FDTA-TH Fundación para el Desarrollo Tecnológico Agropecuario y Forestal del Trópico Húmedo
(Foundation for Agricultural and Forestry Technology Development in the Humid
Subtropics), Bolivian NGO.
FIDA Fondo Internacional de Desarrollo Agrícola (International Fund for Agricultural
Development), United Nations Agency
FOCAS Fondo Común de Apoyo al Sistema Boliviano de Tecnología Agropecuaria. Funding from
Switzerland, Holland, UK and Denmark for (SIBTA), the Bolivian Agricultural Technology
System.
FONAMA Fondo Nacional del Medio Ambiente (National Fund for the Environment) Central
government, Bolivia
FPS Fondo Nacional de Inversión Productiva y Social (National Fund for Social and
Productive Investment), Central government, Bolivia
HOYAM Centro de Estudios Hoya Amazónica. Bolivian NGO
IDB Inter-American Development Bank
INFOPESCA Centro para los servicios de información y asesoramiento sobre la comercialización de
los productos pesqueros en América Latina y el Caribe (Information about the
commercialization of fish products in Latin America and the Caribean)
IRD Institut de recherche pour le développement (Development Research Institute,
formerly ORTSOM) French government.
ISTAIC Instituto Superior Técnico Agro Industrial de Caranavi, La Paz, Bolivia. Technical school
JICA Japanese International Cooperation Agency, Japanese government
MACA Ministerio de Asuntos Campesinos y Agropecuarios (Ministry of Agriculture) Central
government, Bolivia
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