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A Case Study of Yantzaza, Ecuador

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A Case Study of Yantzaza, Ecuador Faculty of Environmental Sciences Sustainable Development Model from an economic, social, and agroecological perspective in the Amazon Region: A case study of Yantzaza, Ecuador Dissertation for Awarding the Academic Degree Doctor rerum silvaticarum (Dr. rer. silv) Submitted by Econ. Gonzalo Leonardo Izquierdo Montoya Date and Place of Birth: February 2, 1984, Loja, Ecuador Supervisor 1 Prof. Dr. rer. silv. Norbert Weber Technische Universität Dresden, Institute of Forest Economics and Forest Management Supervisor 2 Prof. Dr. rer. silv. Jürgen Pretzsch, Technische Universität Dresden, Institute of International Forestry and Forest Products Supervisor 3 Prof. Dr. rer. silv. Dietrich Darr Rhein-Waal University of Applied Sciences, Faculty of Life Sciences Tharandt, Dresden Date of Submission: July 2017 Initiator of the thesis: Prof. Dr. agr., Dr. rer. silv. Franz Makeschin Technische Universität Dresden, Institute of soil science and site ecology i Declaration: I, Gonzalo Izquierdo Montoya hereby declare that this PhD thesis entitled “Sustainable Development Model from economic, social, agro ecological perspective in the Amazon Region: A case of study of Yantzaza-Ecuador” is my own original work and all other sources of information used are duly acknowledged. This thesis and any parts of it have never been submitted to any other university for any academic award Gonzalo Izquierdo Montoya Dresden, July 2017 ii Acknowledgements This research was performed thanks to the data gathering that was carried out in the Province of Zamora Chinchipe, in the south of the Ecuadorian Amazon, i.e. specifically the Yantzaza canton from 2012 to 2013. In addition, other work was executed with the local communities during the outreach and knowledge exchange process in 2015. I would like to thank all the institutions and all the individuals who collaborated in the development of this work and enabled its success. I dedicate this work to Prof. Dr. Franz Makeschin, who has been unwavering in his support since we first met. His undivided attention, as well as continual help, motivation, life example and supervision and monitoring, along with his vast experience, have enabled us to crystallize the work that exists here as evidence. I am very grateful to Professor Makeschin for the valuable lessons I obtained at the Institute of soil science and site ecology at the Technical University of Dresden and to the team from this institute who were my colleagues and friends during my stay in Germany for several years. During this time, I had to participate in courses, classes and research activities. At the same institution, I also owe a big thanks to Prof. Dr. Jürgen Pretzsch and the Institute of International Forestry and Forest Products who contributed to my training. Above all, I would like to thank Dr. Etienne Bahr who, besides being an excellent companion at the Institute, was the person who accompanied me during the whole time of my stay in Germany. He knew how to guide me in both personal and professional matters that many times were difficult and complicated. He was a permanent guide and a person who became my very dear friend. I also would like to extend a heartfelt thanks to Prof. Dr. Franz Heidhues and to the University of Hohenheim who supported my work, and accepted me in their classrooms to enhance my knowledge and allowed me to learn from their extensive experience. My thanks especially go to Professor Heidhues, who supported me during the early stages of my work by providing wisdom and constructive comments. In addition, I am very grateful to Prof. Dr. Norbert Weber, who took a remarkable role in overseeing this research work. Prof. Weber, with his experience, succeeded in directing this thesis in an appropriate and dedicated manner. Thanks to him, we were able to achieve the proposed goals and the scope of the project that were determined from the beginning, I reiterate my warmest thanks. In addition, I want to take the opportunity to show my appreciation to the teachers who reviewed this work, Prof. Dr. Jürgen Pretzsch and Prof. Dr. Dietrich Darr. They brought experience and wisdom in reviewing thesis. I would also like to thank the German Scientific Research Foundation, or DFG (Deutsche Forschungsgemeinschaft), which financed part of this research. It allowed me to continue my Ph.D. program in Germany and also have the opportunity to share my knowledge and experience with researchers from the field related to sustainability issues. Another group of great importance to thank is the Department of Economics at the Private Technical University of Loja, (UTPL), Ecuador, which is my Alma Mater. I thank them for having trusted me for allowing me to carry out my research activities. My thanks especially go to our former Rector Dr. Luis Miguel Romero and our current Rector Dr. José Barbosa Corbacho, who allowed my dream to come true -- my dream that is not only related to these iii Ph.D. studies, but also to the model that our institution has adopted and continues to develop successfully. It is also important to mention the research group that was formed between the Technical University of Dresden and the Private Technical University of Loja with Etienne Bahr, Karin Potthast, Ute Hamer, Alex Tischer, Diego Chamba, Byron Flores, Ivonne Benitez, Alex Gahona and others. I cannot forget to mention the people who collaborated in the development of this research, related to the Municipality of Yantzaza, as well as public sector entities and private organizations. My thanks also go to the ECOLAC dairy company, which has helped me to gather together the farmers and allow this work to become a reality. Finally, and, in a very special way, I thank the native farmers of the diverse rural communities of the Amazon, such as Yantzaza, Chicaña and Los Encuentros, who helped with this work during a period of 4 years. They have given me a unique example from their field. They always provided kind support and they have always been open to working together. This work has also been the catalyst of a great institutional support program, which was started by the Private Technical University of Loja called "SmartLand". This program is related with the sustainable development of the Ecuadorian Amazon, especially in the south. It also helped with the results of this thesis and with many other projects. In this way, the results did not only remain on paper, but transcended to other areas that really required our support. UTPL has twelve case studies related with this project. Various sectors will be the object of a future study and a kind of transfer of knowledge and permanent technology. iv Table of contents Acknowledgements ...................................................................................................................ii Table of contents .......................................................................................................................iv List of Tables............................................................................................................................vii List of Figures..........................................................................................................................viii List of Boxes………………………………………………………………………………....viii List of Plates............................................................................................................................viii Abbreviations ……………………………………………………………………………….viii Abstract....................................................................................................................................xii Zusammenfassung ...................................................................................................................xiii 1. Introduction………………………………………………………………………….1 1.1 Overview……………………………………………………………………….1 1.2 Sustainability and development in Latin America……………………………...2 1.3 Natural resources and development in Ecuador………………………………3 1.4 Objectives of the research……………………………………………………..4 1.5 Organization of the dissertation………………………………………………..4 2. Theoretical Framework……………………………………………………………...5 2.1 Sustainability as a result of the integral model………………………………….8 2.1.1 Sustainable land management ………………………………...……………...8 2.2 Development and rural livelihoods……………………………………………9 2.3 Development theories and the role of agriculture…………………………….12 2.4 Natural resource management and farmers’decisions, an alternative to poverty alleviation………………………………………….……………………………13 2.5 Research Hypotheses…………………………………………………………..18 3. Methodological Framework of the Research (research methodology)…………….18 3.1 Overview and research methodology……………………………………….18 3.2 Research process……………………………………………………………20 3.3 Selection of the case study………………………………………………….21 3.4 Data collection methods and tools……………………………………………23 3.4.1 Exploration survey ……………………………………………………….23 3.4.2 Household survey ………………………………………………………...24 3.4.3 Focus groups………………………………………………………………26 3.4.4 Additional data collection…………………………………………………26 3.5 Analytical approach and statistical methods………………………………….27 3.5.1 Data compilation and format………………………………………………27 3.5.2 Statistical methods………………………………………………………..28 3.5.2.1 Composite Indicators………………………………………………….28 3.5.2.2 Cluster Analysis………………………………………………………34 3.5.2.3 Regression Model…………………………………………………….34 3.5.2.4 Gravity equation related to rural marketing…………………….35 4. Description of the study area……………………………………………………..35 4.1 The physical environment………………………………………………….37 4.1.1 Climate………………………………………………………………….37 4.1.2 Hydraulic
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