TECHOLOGY TRASFER FOR COMMERCIAL AQUACULTURE DEVELOPMET I VERACRUZ, MEXICO Thesis submitted to the University of Stirling for the degree of Doctor of Philosophy by Alberto Asiain-Hoyos Institute of Aquaculture University of Stirling Scotland January 2009 Declaration I hereby declare that this thesis has been composed entirely by myself and has not been submitted in any previous application for a degree. The nature and extent of any work carried out by, or in conjunction with, others has been specifically acknowledged by reference. Alberto Asiain-Hoyos Stirling, Scotland January, 2009 ii "If the word progress signifies anything, it means the more general diffusion of wellbeing, or, in other words, the placing within reach of the people at large what was formerly accorded to the favored few". T. Esquivel Obregón from Factors in the historical evolution of Mexico, 1919 iii Dedication To María Antonieta, my mother (1942-2008). An always loving, inspiring and motivating person; lifelong example and support. To the memory of Alberto, my father (1929-1997), who since the early 1950s intuitively visualized in aquaculture and tourism a real and sustainable possibility to improve the livelihoods of the Mexican tropics’ population, and through the Papaloapan Commission enthusiastically promoted the introduction of tilapia into the country. To my old friend and mentor María Soledad Delgadillo, pioneer of tilapia culture in Mexico. iv Acknowledgements My grateful thanks are due to all those who have joined me on this adventure. In particular, I would like to express my sincere gratitude to the Mexican people, whom through the National Council of Science and Technology provided my scholarship and part of the funds for this research; and much especially to Professor James F. Muir, for his friendship, constant support and advice. Also: To Colegio de Postgraduados (COLPOS), particularly the authorities and administrative personnel that constantly supported me during this time, especially Glafiro Torres, Mónica Vargas and Juan Antonio Villanueva; but also to all my colleagues and friends at Campus Veracruz, in particular to my old friend and collaborator Juan Lorenzo Reta. To the numerous people that facilitated the fieldwork. Particularly I would like to thank Martín Hernández and Pedro Zetina, former postgraduate students from COLPOS; Carlos Suárez, Noé Villegas, Horacio Gallegos and Katya Andrade, extension agents; and all tilapia farmers that kindly agreed to participate in the project and made the research as pleasant as intellectually rewarding. To my beloved wife Liliana and to María Antonieta, my mother, for all their love, constant support and unconditional help, particularly at the grammar reviewing and editing stages. To my dear brother Miguel Angel and to the rest of my family, for their constant encouragement and support. Many thanks in particular to Nelly Campos, Guadalupe Arriaga, Sara Flores and the late Ruth Flores. To all my friends, especially to those that kindly gave me asylum at some point during my time in Stirling: Ivonne, Antonio, Wendy, Adrián, Gaby and Noé. Finally, the author is grateful to Chris Garforth and David Little for the informed discussion of the complete document and their useful comments to improve it. v Abstract This work presents results of the research project Technology Transfer for Commercial Aquaculture Development in Veracruz, Mexico, conducted during 2001-2006 and whose overall aim was to achieve a better understanding of the different processes involved in technology transfer and extension in Veracruz, and their role in tilapia culture development in terms of characteristics, intensity and direction. Data and information were collected by personal interviews and through participant-observation techniques. The most relevant regional initiatives that have promoted tilapia farming were analyzed, as well as the current key actors of aquaculture development and their roles. 142 tilapia farmers were also typified and closely monitored. Dissemination and adoption of technical information regarding tilapia culture were evaluated through the development and use of a Technology Level Index (TLI). Findings revealed that the tilapia sector in Veracruz is diverse and immersed in a rather complex arena, where policy and finance issues, and the role of demand, linked in with market chains and their functioning are major determinants of further expansion. Farm producers were sharply differentiated by production size, degree of commercialisation, experience in production, and access to assets. Most entrants were the result of social development interventions with significant level of subsidy, which often resulted in low levels of productivity and high abandonment rates. However, for the most vulnerable groups, tilapia culture apparently provided a way to diversify their livelihood portfolio. Availability of local knowledge and expertise appeared to enhance and stimulate the dissemination and adoption of tilapia farming technology, and hence human capital. Private sector and collective action are likely to play an increasing and decisive role in the direction of the industry, while people-oriented and participative approaches are likely to be the best way to deliver technical information to small-scale farmers, and maintain good equity of access and opportunity. Methodologically, TLIs proved to be useful in the quantification and evaluation of technological change. Moreover, the Sustainable Livelihoods framework provided an adequate platform for understanding the needs of specific groups, particularly in terms of vulnerability and policies, institutions and processes. vi Table of contents Declaration ............................................................................................................. ii Dedication ............................................................................................................. iv Aknowledgements .................................................................................................. v Abstract ................................................................................................................. vi List of Tables ........................................................................................................ xi List of Figures ..................................................................................................... xiv Acronyms ........................................................................................................... xvii SECTIO OE: COTEXT AD SCOPE CHAPTER ONE: BACKGROUND…………………………………….. 2 1.1 Introduction………………………………………………………. 2 1.2 National aquaculture scenario and status of tilapia culture in Veracruz………………………………………………………….. 5 1.3 Technology transfer paradigms and their impact on rural development……………………………………………………… 11 1.3.1 Preliminary remarks……………………………………………… 11 1.3.2 Conceptual elements……………………………………………… 13 1.3.3 Conventional or top-down approaches…………………………… 18 1.3.4 Alternative or participatory approaches………………………….. 19 1.4 Technology transfer in the fisheries and aquaculture sector……... 23 1.5 Approach to the research…………………………………………. 32 1.5.1 Research issues…………………………………………………… 32 1.5.2 Study hypotheses and objectives…………………………………. 33 CHAPTER TWO: CONTEXT OF FIELDWORK………………………. 35 2.1 Introduction………………………………………………………. 35 2.2 Macroeconomic context and national political arena……………... 35 2.3 The state of Veracruz: geographic and socio-economic dimensions………………………………………………………… 41 2.4 An overview of the national agricultural scenario………………... 43 2.5 Legal framework of aquaculture in Mexico………………………. 46 vii CHAPTER THREE: METHODOLOGIES………………………………. 49 3.1 Contexts and strategies…………………………………………… 49 3.1.1 Study perspectives………………………………………………... 49 3.1.2 The research process……………………………………………... 49 3.1.3 Sample definition………………………………………………… 50 3.2 Data collection…………………………………………………… 53 3.2.1 Background………………………………………………………. 53 3.2.2 The actors and their roles………………………………………… 54 3.2.3 Typology of tilapia farmers in Veracruz…………………………. 56 3.2.4 Dissemination and adoption of tilapia farming technology……… 57 3.2.5 Case studies at farm level………………………………………… 61 3.3 Data analysis……………………………………………………… 61 3.3.1 The Sustainable Livelihoods Approach (SLA)………................... 62 SECTIO TWO: RESULTS AD DISCUSSIO CHAPTER FOUR: THE ACTORS AND THEIR ROLES……………... 65 4.1 Introduction………………………………………………………. 65 4.2 Early interventions: the Papaloapan Project……………………… 65 4.2.1 The Papaloapan Commission…………………………………….. 65 4.2.2 The aquaculture initiative………………………………………… 67 4.2.3 Concluding points………………………………………………… 72 4.3 Other regional experiences and local initiatives………………….. 75 4.3.1 The Cages and Enclosures Project……………………………….. 75 4.3.2 The Lowlands Integrated Natural Resource Management initiative………………………………………………………….. 81 4.3.3 The Simultaneous Growth Production Groups project………….. 86 4.4 Key actors in the current regional aquaculture scenario………… 90 4.4.1 Overview………………………………………………………… 90 4.4.2 Farmers…………………………………………………………… 92 4.4.3 The Government sector…………………………………………... 93 4.4.4 NGOs and foreign entities………………………………………... 98 4.4.5 Academic and research bodies…………………………………… 100 4.4.6 Service providers…………………………………………............. 103 viii 4.4.7 Farmers’ organizations: the AVAC case…...…………................. 104 4.4.8 General public.........................................…...…………................. 110 4.4.9 Collective action.....................................…...…………................. 112 4.5 Overall