registration - wur · integrated project full proposal second call 2014 registration 1. ......

Food & Business Global Challenges Programme

Integrated Project Full Proposal Second Call 2014

1. Project title (including the name of the country/ies where the project will be carried out)

Supermarket supported area-based management and certification of aquaculture in Southeast Asia (SUPERSEAS)

2. Project

a) Focus/foci:

X A. Inclusive business models for food security

X B. Regional trade for food security

b) Duration (max. 60 months)

60 Months

c) Main field of research (compulsory)

Please fill out one or more research fields and code from the NWO research field list.

Code & Field of research: 45.90.00 Sociology

If applicable: other fields of research, in order of relevance

Code & Field of research: 38.10.00 Microeconomics; 49.10.00 Geography

3. Composition of the project staff

a) Consortium

Main applicant (coordinator) of a Dutch research organisation

Co-applicant of an LMIC-based research organisation

Family name: Bush Family name: Vo Thi

First name(s): Simon First name(s): Thanh Loc

Title(s): Assoc. Prof. Dr. Title(s): Assoc. Prof. Dr.

Male/Female (M/F): M Male/Female (M/F): F

Expertise(s): Global value chains and environmental policy Expertise(s):

Value chains and trade

E-mail: [email protected] E-mail: [email protected]

Organisation’s name:

Wageningen University and Research Centre


Mekong Delta Development and Research Institute (MDI), Can Tho University

Type of organisation*: Public Type of organisation*: Public

Address:

Hollandseweg 1 Wageningen, 6706KN The Netherlands Address:

Ba Tháng Hai, Xuân Khánh, Ninh Kiều, Cần Thơ, Vietnam

Tel.: +31317-483310 Tel.: +847103833256

Registration

http://www.nwo.nl/researchfields

mailto:[email protected]


Food & Business Global Challenges Programme, 2014 – 2nd call for proposals

Integrated Project - Form for full proposal

2

Co-applicant of an LMIC-based research organisation

Co-applicant of a Dutch research organisation

Family name: Chuaduangpui Family name: Meuwissen

First name(s): Pornpimon First name(s): Miranda

Title(s): Dr. Title(s): Dr.

Male/Female (M/F): F Male/Female (M/F): F

Expertise(s): Aquaculture and Aquatic Resources Management Expertise(s):

Inclusive business models

E-mail: [email protected] E-mail:

[email protected]


Prince of Songkla University


Wageningen University


Address:

15 Karnjanavanich Rd., Hat Yai, Songkhla 90110, Thailand Address:

Hollandseweg 1 Wageningen, 6706KN The Netherlands

Tel.: 0066-74-286197 Tel.: +31 317483857

Co-applicant of another LMIC-based partner


Family name: Chadag Family name: Hossan

First name(s): Mohan First name(s): Belayet

Title(s): Dr. Title(s): Mr

Male/Female (M/F): M Male/Female (M/F): M

Expertise(s):

Aquaculture production systems policy and certification Expertise(s):

Microfinance and food security


Organisation’s name: WorldFish Organisation’s name: BRAC

Type of organisation*: Public Type of organisation*: Private

Address:

Jalan Batu Maung, Batu Maung, 11960 Bayan Lepas, Penang

Malaysia Address:

BRAC Centre 75 Mohakhali, Dhaka-1212

Bangladesh

Tel.: +60 (4) 626 1606 Tel.: + 880-2-9881265

Co-applicant of an international partner

Co-applicant of an LMIC-based partner

Family name: Immink Family name: Nguyen Viet

First name(s): Anton First name(s): Thang

Title(s): Dr. Title(s):


Expertise(s): Aquaculture improvement projects

Expertise(s): Aquaculture policy

E-mail: [email protected]

E-mail: Vietnam.office@vnpang

asius.com

Organisation’s name: Sustainable Fisheries Partnership (SFP)

Organisation’s name: Vietnam Pangasius

Association

Type of organisation*: Private Non-profit Type of organisation*: Public

Address: 4348 Waialae Avenue #692, Honolulu, HI 96816, USA

Address: 12 Hoa Binh St., Ninh

Kieu ward, Can Tho

City, Vietnam

Tel.: +447964889628 Tel.: +84-7103814901










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Family name: Prein Family name: Vandergeest

First name(s): Mark First name(s): Peter

Title(s): Dr. Title(s): Professor


Expertise(s): Fisheries and coastal zones

Expertise(s): Aquaculture certification in Southeast Asia


Organisation’s name: Deutsche Gesellschaft für Internationale Zusammenarbeit (GIZ)

Organisation’s name: York Centre for Asian Research (YCAR), York University


Address: Dag-Hammarskjöld-Weg 1-5, 65760, Eschborn, Germany

Address: 4700 Keele St. Toronto ON M3J 1P3 Canada

Tel.: +49 6196 79-0 Tel.: +1 416 736 2100

Co-applicant

of an international partner Co-applicant

of a Dutch partner

Family name: Stark Family name: Novogratz

First name(s): Michele First name(s): Amy

Title(s): Title(s):

Male/Female (M/F): F Male/Female (M/F): F

Expertise(s): Auditing and certification

Expertise(s): Investment and finance


Organisation’s name: Stark Consulting Organisation’s name: AquaSpark

Type of organisation*: Private for-profit Type of organisation*: Private for-profit

Address: Zurich, Switzerland Address: AchterSint Pieter 5, 3512HP Utrecht, The Netherlands

Tel.: +41 79 821 9159 Tel.: +31 30 8200 369



Family name: Ho Hai Family name: Rerkpokee

First name(s): Dang First name(s): Somchai

Title(s): Title(s): Male/Female (M/F): M Male/Female (M/F): M Expertise(s): Insurance Expertise(s): Aquaculture production



Organisation’s name: Bao Minh Insurance Company

Organisation’s name: Suratthani Shrimp Farmers Club

Type of organisation*: Private for-profit Type of organisation*: Private for-profit

Address: 26 Ton That Dam Street, District 1, HCMC, Vietnam

Address: 31/31-32 Kanjanavithee Rd., T. Bangkung, A. Munag Suratthani 84000, Thailand

Tel.: +84 838294180–Ext 204

Tel.: +66-77282600

* Please specify: research organisation or other organisation – public / private non-profit / private for-profit











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b) Project staff

Name

Name and type of

organisation *

Time involvement

(months and fte)

Role in the project

Prof. Arthur Mol Wageningen University (academic, public)

0.05 PhD promotor

Prof. Alfons Oude-Lansink

Wageningen University (academic, public)

0.05 PhD promotor

Froukje Kruissen WorldFish (research, public)

0.1 Researcher, PhD supervisor

Dr. Doris Soto Food and Agriculture Organisation of the United Nations (FAO)

0.02 Policy advisor

PhD Researcher Wageningen University (academic, public)

1.0 Principle researcher


1.0

Principle researcher


1.0 Principle researcher

* Please specify: research organisation or other organisation – public / private non-profit / private for-profit

4. Consortium and track record

a) Consortium: roles and added value Word count: 497

(Max. 500 words, please add word count)

The consortium is led by Dr. Simon Bush from Wageningen University (WU), with over 12 years’ experience on

aquaculture, environment and certification in Southeast Asia. He is joined by Dr. Miranda Meuwissen, an

economist at WU who has worked on inclusive business in a number of sectors including aquaculture. Both

academics will lead the PhD supervisory teams with researchers based in Southeast Asia.

The supervisory teams comprises international and national experts. Dr. Chadag and Dr. Kruijssen from

WorldFish are leading experts in aquaculture development, value chains and food security in South and

Southeast Asia. Central to their input to the project will be to host the Assistent in onderzoek (AIO - PhD) in

Penang and at field sites in Bangladesh. The two sandwich PhDs will be co-supervised by Dr. Vo Thi Thanh Loc

from Can Tho University in Vietnam who has over 10 years’ experience in aquaculture value chains and

inclusive business models, and Dr. Pornpimon Chuaduangpui who has 20 years’ experience working on

aquaculture in coastal communities in Southern Thailand. These supervisors will also assist coordination of the

field sites.

Collaborating partners will support the action research, as well as the communication and dissemination of

results. Each collaborator has contributed direct and in kind funding. In Bangladesh WorldFish will coordinate

the development of the action research sites in Bangladesh. They will do so in partnership with BRAC, which will

directly support the research and development of microfinance in area based aquaculture management and

certification, by providing access to their existing microfinance networks of smallholder shrimp farmers. In

Thailand, the Surat Thani Shrimp Farmers Association will provide access to their producers and be directly

involved in the action research of the programme. Similarly the Vietnamese Pangasius Association will facilitate

access to their producers and enable dialogue with the government. In all three countries the Sustainable

Fisheries Partnership (SFP), through the head of aquaculture Mr. Anton Immink, will directly support the

programme by providing access to their field sites.

Technical professional input will be provided by three main partners. AquaSpark, a specialised private impact

investment fund for aquaculture, will contribute investment knowledge, as well as assist in developing funding

Research proposal



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investment strategies in pilot sites. Stark Consulting will provide key inputs on auditing process and

development. Bao Minh will contribute knowledge and input on aquaculture insurance. All three will also provide

a basis for ongoing concept development after the life of the project.

Further support will be provided at the international level through four key partners. The Sustainable Trade

Initiative (IDH) has committed to exploring funding opportunities through their Farmers in Transition (FIT)

fund. GIZ will provide access to their sustainable aquaculture and fisheries platform, which links to European

industry and certification. Results will feed into Food and Agricultural Organisation of the United Nations (FAO)

guidelines for developing aquaculture management areas. Finally, support for student research will also be

made available through a parallel research programme on aquaculture and fisheries certification led by Dr.

Peter Vandergeest from York University.

b) Consortium: recent publications (Max. 5 per member, only of consortium members as presented under 3a)

Associate Professor Dr. Simon Bush

Bush, S. R., and M. J. Marschke (2014) Making social sense of aquaculture transitions. Ecology and Society

19(3): 50.

Belton, B. and S.R. Bush (2014) Beyond Net Deficits: New priorities for an aquacultural geography. The

Geographical Journal DOI: 10.1111/geoj.12035.

Bush, S.R., B. Belton, D. Hall, P. Vandergeest, F. J. Murray, S. Ponte, P. Oosterveer, M.S. Islam, A.P.J. Mol, M.

Hatanaka, F. Kruijssen, T. T. T. Ha, D. C. Little, R. Kusumawati (2013) Certify sustainable aquaculture?’

Science 341: 1067-1068.

Kusumawati, R., S.R. Bush and L. Visser (2013) Can patrons be by-passed? Frictions between local and global

regulatory networks over shrimp aquaculture in East Kalimantan. Society and Natural Resources 26(8):

898-911.

Bush, S.R. and M. Duijf (2011) Searching for (un)sustainability in Pangasius aquaculture: A political economy of

quality in European retail. Geoforum 42: 185-196.

Associate Professor Dr. Vo Thi Thanh Loc

Loc, V. T. T. (2009) Benefit distribution in Shrimp value chain analysis in the Mekong Delta. Journal of

Rural Development and Agriculture, No. 134 (5/2009), p.3-8.

Khiem, N. T., Bush, S. R., Chau, N. M., & Loc, V. T. T. (2010). Upgrading small-holders in the Vietnamese

Pangasius value chain. Final Report, ODI grant number RO, 334.

Loc, V. T. T., Bush, S. R., & Khiem, N. T. (2010). High and low value fish chains in the Mekong Delta:

challenges for livelihoods and governance. Environment, Development and Sustainability, 12(6), 889-

908.

Vo Thi Thanh Loc (2014). Risk and vulnerability of pangasius producers in the Mekong Delta. Science and

Technology Journal of Agriculture & Rural Development 2: 3-12.

Dr. Chadag Mohan

Peter J Walker, Nicholas Gudkovs, CV Mohan, V Stalin Raj, Balakrishnan Pradeep, Evan Sergeant, AB Chandra

Mohan, G Ravi Babu, Indrani Karunasagar, and TC Santiago (2011). Longitudinal disease studies in

small-holder black tiger shrimp (Penaeus monodon) ponds in Andhra Pradesh, India. II. Multiple WSSV

genotypes associated with disease outbreaks in ponds seeded with uninfected postlarvae. Aquaculture,

319: 18-24:

C.J.Rodgers, C.V.Mohan and E.J.Peeler (2011). The spread of pathogens through trade in aquatic animals and

their products. OIE Scientific and Technical Review, 30(1): 241-256

Walker P. J & Mohan C.V. (2009). Viral disease emergence in shrimp aquaculture: origins, impact and the

effectiveness of health management. Reviews in Aquaculture, 1: 125-154

Flavio Corsin and CV Mohan (2010). Better management practices and certification issues. In Victoria Alday-

Sanz (ed). The Shrimp Book. Nottingham University Press. 353-375



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Umesh, N.R., Chandra Mohan, A.B., Ravi Babu, G., Padiyar, P.A., Phillips, M.J., Mohan, C.V. and Bhat, B.V.

(2009). Shrimp farmer in India: Empowering small scale farmer through a cluster-based approach. In De

Silva Sena S and F.Brian Davy (ed.), Success Stories in Asian Aquaculture, 43-68. Springer, New York

Associate Professor Dr. Miranda Meuwissen

Assefa, T.T., Meuwissen, M.P.M. and Oude Lansink, A.G.J.M., 2014. Price Volatility Transmission in Food Supply

Chains: A Literature Review, Agribusiness: An International Journal, accepted for publication.

Figueiredo Jr. H.S. de, Meuwissen, M.P.M. and Oude Lansink, A.G.J.M., 2014. Integrating structure, conduct

and performance into value chain analysis. Journal on Chain and Network Science 14(1), 21-30.

Meuwissen, M.P.M., Assefa, T. and Van Asseldonk, M.A.P.M., 2013. Supporting insurance in European

agriculture; experience of mutuals in the Netherlands. EuroChoices 12(3), 10-16.

Tufa, A., Meuwissen, M.P.M., Van der Lans, I.A., Lommen, W.J.M., Oude Lansink, A.G.J.M., Tsegaye, A. and

Struik, P.C., 2012. Farmers’ opinion on seed potato management attributes in Ethiopia: a conjoint

analysis. Agronomy Journal 104(5), 1413-1424.

Dr. Pornpimon Chuaduangpui

Kijtewachchakul, N. and P.Chuaduangpui. 2010. Capacity Building Assessment for Community Forestry

Thailand. The Regional Community Forestry Training center for Asia and the Pacific (RECOFTC). Thailand.

Nakkananthinee, K., A. Masae and P. Chuaduangpui. 2012. Economic Interactions between Artisanal Fishing

and Sea Bass Cage Culture at Ban Pakbara Fishing Community, Paknam Sub-district, La-ngu District,

Satun Province. Proceedings of the 22nd Thaksin University Annual Conference: Thai - ASEAN : Path of

Collaboration; May 23-26, 2012, Songkhla, Thailand.

Nooklum, R.,P. Chuaduangpui and S.Wattanachant. 2014. Heavy metal (Pb, Cd, Cu and Zn) contents in some

economic marine organisms in fishing ground along the coast of Langu district, Satun province.

Dr. Mark Prein

Prein, M. and Scholz, U.F. (2014) The role of VSS in enhancing the contribution of fisheries and aquaculture to

sustainable development. p. 315-343 In C. Schmitz-Hoffmann, M. Schmidt, B. Hansmann and D.

Palekhov, eds. Voluntary Standard Systems – Natural Resource Management in Transition. Springer

Verlag, Berlin, Heidelberg. 458 p.

Prein, M., Bergleiter, S., Ballauf, M., Brister, D., Halwart, M., Hongrat, K., Kahle, J., Lasner, T., Lem, A., Lev,

O., Morrison, C., Shehadeh, Z., Stamer, A. and Wainberg, A.A. (2012) Organic aquaculture: the future of

expanding niche markets. In R.P. Subasinghe, J.R. Arthur, D.M. Bartley, S.S. De Silva, M. Halwart, N.

Hishamunda, C.V. Mohan & P. Sorgeloos, eds. Farming the Waters for People and Food. Proceedings of

the Global Conference on Aquaculture 2010, Phuket, Thailand. 22–25 September 2010. pp. 549–567.

FAO, Rome and NACA, Bangkok.

Bondad-Reantaso M.G., Prein, M. (eds) (2009) Measuring the contribution of small-scale aquaculture: an

assessment. FAO Fisheries and Aquaculture Technical Paper. No. 534. Rome, FAO. 2009. 180p.

Briones, R.M., Dey, M.M., Ahmed, M., Prein, M. and Stobutzki, I. (2008) Priority setting for research on aquatic

resources: an application of modified economic surplus analysis to natural resource systems. Agricultural

Economics 39:1-13.

Associate Professor Dr. Peter Vandergeest

Vandergeest, Peter. "Certification and communities: alternatives for regulating the environmental and social

impacts of shrimp farming." World Development 35.7 (2007): 1152-1171.

Vandergeest, Peter, and Anusorn Unno. "A new extraterritoriality? Aquaculture certification, sovereignty, and

empire." Political Geography 31.6 (2012): 358-367.

Scott, Steffanie, Peter Vandergeest, and Mary Young. "Certification Standards and the Governance of Green

Foods in Southeast Asia." Corporate power in global agrifood governance (2009): 61.

Bush, S. R., Belton, B., Hall, D., Vandergeest, P., Murray, F. J., Ponte, S., ... & Kusumawati, R. (2013). Certify

sustainable aquaculture?. Science, 341(6150), 1067-1068.



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Vandergeest, P., Flaherty, M., & Miller, P. (1999). A Political Ecology of Shrimp Aquaculture in Thailand1. Rural

Sociology, 64(4), 573-596.

Anton Immink

Immink, A.J. (2010) SCAPA Technical Report. Stirling Aquaculture Report to AfricaFISH. 34p.

Immink, A.J. and Struthers, W.A. (2010) Water quality assessment in shrimp farms in Bangladesh. Stirling

Aquaculture report to UNIDO (United Nations Industrial Development Organisation). 35p.

Struthers, W.A. and Immink, A.J. (2009) Institutional capacity to support water quality assessment in shrimp

farms in Bangladesh. Stirling Aquaculture report to UNIDO (United Nations Industrial Development

Organisation). 18p.

c) Reporting on proposal development workshop

i. Summary (Max. 500 words, please add word count) Word count: 488

The workshop (9th of November) provided a clearer focus for the consortium and therefore the proposal, with a

range of stakeholders joining (see Table below). The structure of the workshop was designed to elicit new

ideas, insights and comments from every stakeholder present. Their comments were elicited by starting with a

broad analysis of the field, opening up the assumptions that were made in the pre-proposal and asking all

participants to question whether the focus was relevant and precise enough to warrant further research.

The first round of discussion was divided into five themes – financing and risk transfer, certification, value chain

organisation, state organisation and vulnerability. These themes were based on the pre-proposal and were

designed to lead us to a common problem formulation for the full proposal. These themes were then

synthesised the following day into a second round of discussion on the common problem framing. Following

feedback from the International Assessment Committee (IAC) considerable attention was given to identifying

the demands for area based management and certification, both from a producer perspective, but also from the

perspective of value chain actors.

In the afternoon of day 2 of the workshop we moved on to the impact pathway by moving backwards from

impacts to the outcomes, outputs of the research. We then spent time identifying the indicators associated with

these. This led to the design of the topics and focus of the three PhD projects. The same discussion also

clarified how smallholders are to be included and how food security is addressed by the programme. The

expertise and many years of (local) experience of the partners present enabled a more explicit formulation of

the impact of the programme.

On the final day attention was given to outreach and dissemination, starting with an overview of the extend of

the professional networks of our partners. Many of these partners were clear about the need for the project to

have a lasting effect on smallholders – with many participants drawing on experiences with multiple platforms,

forums and project funds to achieve this goal. Furthermore, the means of mobilising the knowledge created

through the project was put into the context of ensuring that capacity development would be carried out

beyond the lifetime of the project itself.

We finalized the workshop by going through the partnership agreement and by discussing in more detail the co-

funding agreements. A final request for further funding was made, with several partners feeling confident that

they could help in closing some of the existing gaps in the budget.

Subsequent to the workshop we followed up with those stakeholders that were not able to make it to the

workshop. These include contacts at IDH (The Sustainable Trade Initiative, The Netherlands), GlobalAgRisk

(Kentucky, USA) and the collaborators from the pre-proposal Doris de Soto (FAO, Italy) and Peter Vandergeest

(York Centre for Asian Research, Canada), AquaSpark (Utrecht, The Netherlands), WWF The Netherlands, BRAC

(Bangladesh), Aviva Insurance (Singapore) and Bao Minh Insurance (Vietnam).



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ii. Participants (Max. 1 page, please fill out table, add or remove boxes when required)

Knowledge and research participation (please provide an overview of the categories concerned, no

personal names):

Workshop stakeholders IP y/n Please specify (name organisation,

country) Level of engagement

1 Academics

Y Environmental Policy Group, WUR,

The Netherlands

Main applicant, PhD

supervision

Y Business Economics Group, WUR,

The Netherlands PhD supervision

Y Royal University of Agriculture,

Cambodia

2

Research

institutes

Local Y

Mekong Delta Development and Research Institute,

Vietnam

Partner, PhD supervision

4 International

Y Senior Scientist, WorldFish, Malaysia

Partner, site facilitator,

PhD supervision Y

Program Leader, WorldFish, Malaysia

Y Discipline Director, WorldFish, Malaysia

Stakeholder participation:

Workshop stakeholders IP y/n Please specify (name organisation,

country) Level of engagement

3 Extension organisation Y GIZ, Germany Technical advisor,

dissemnation

7

NGO

Local -

8 National N WWF, The Netherlands

9 International Y Sustainable Fisheries Partnership,

UK Site facilitator

10 Private sector entity

Y Stark Consulting, Switzerland Collaborator

Y Dong Phuong Import Export

Company Limited, Vietnam

Y Vietnamese Pangasius Association,

Vietnam

Facilitate access to

producers and

government

N Aquaspark Advisor on investment

models

N Aviva Insurance, Sinagpore

N Bao Minh Insurance, Vietnam Advisor on insurance

design

12

Government

institution

Local -

13 State/provin

ce -

14 National Y Institute for Fisheries Research and

Development (IFReDI), Cambodia



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Research proposal

5. Summary of the project proposal Word count: 144


Aquaculture is set to produce more than half the fish consumed globally in 2014, but the environmental and

social sustainability of the industry continues to come into question. Private certification schemes increasingly

regulate the production of aquaculture products exported to the Global North. The reach and impact of such

schemes have been severely limited however by; 1) an inability to include smallholders in standards with a

narrow farm-level focus and, 2) lack of engagement with consumers in the domestic and regional markets of

important producing regions such as Southeast Asia. This project addresses these issues by assessing area-

based management and certification as an alternative governance and risk-sharing model for sustainable

aquaculture, and engaging with the rapidly growing Asian supermarket sector to explore how vulnerable

producers and consumers can benefit from reduced risk of aquaculture production and more secure supply both

directly and through markets.

6. Description of the project Word count: 2479

(Max. 2,500 words, including literature references, please add word count)

a) Background and rationale

Aquaculture is currently the fastest growing food sector in the world, expanding globally at 8.1% per annum

since 1970 (FAO 2014). Aquaculture provides ~10 million jobs, and is an irreplaceable source of animal protein

and economic growth to Southeast Asia. Yet the rapid growth of aquaculture production has been associated

with environmental degradation, social conflicts and irresponsible trade practices. Environmental impacts by

species, but include mangrove deforestation, biodiversity loss and water pollution (Hall et al 2011). These

impacts also feed-back on aquaculture production, increasing the incidence of disease, and leading to social

conflicts that reduce yields (e.g. Islam 2014). The outcome for many producers has been increased economic

and social vulnerability, which in turn has undermined food and nutrition security of producer households.

Responding to the perceived weakness of state regulation to mitigate these impacts, investment has been

made in private sustainability certification. Three major global schemes have emerged: GlobalG.A.P., the

Aquaculture Stewardship Council (ASC) and the Global Aquaculture Alliance Best Aquaculture Practice standards

(GAA-BAP). However, despite their rapid growth, they currently certify only 4.6% of global aquaculture

production (Bush et al. 2013). This share is expected to grow, but will remain limited if: 1) they exclude

smallholder producers (who account for the majority of global production and receive the largest direct benefit

from the sector) because of entry costs and capacity, and; 2) do not dramatically increase demand for certified

products in Asian markets, which are by far the largest consumers of seafood globally. The potential impact of

these schemes is also limited by a narrow farm-level focus which fails to account for or regulate wider

landscape-level sustainability issues related to feed, seed, habitat and water quality.

One response to these limitations has been the development of cooperative production models by government,

civil society groups and producers themselves. While some have been successful in the short-term, many have

exhibited limited impact because of weak cooperation between producers, adverse terms of incorporation in

groups led by processing companies (e.g. Ha et al. 2013), and weak incorporation of environmental and social

issues extending beyond the farm – including food security. There has also been a high degree of

predominantly male elite capture in existing models, which has further marginalised already vulnerable

households, and in turn undermined market access and ultimately increased the risk of food insecurity.

Another response has been to move from farm-level to area-based management (ABM) and certification. These

approaches recognise that the risk of any one farm is dependent on the quality of the wider environment within

which that farm is embedded (De Soto et al 2008). They also recognise that the social relations that provide

access to inputs, expertise and governance of common resources such as water, also extend beyond the farm.

ABM can therefore integrate and coordinate farm-level environmental and social issues at a wider ecological

scale. As an inclusive business model, these certified areas can also ensure access to area-level rather than



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farm level finance and risk transfer for smallholders (Fischer and Qaim, 2012); which have both been shown to

improve resilience and food security of smallholders and women-led farms (Wulandari et al., 2014). Finally,

they can provide opportunities for certifying smallholders currently excluded from Northern markets and a

supermarket sector within Southeast Asia expanding at up to 40% in turnover per year (Reardon et al. 2012).

Supermarkets themselves are also increasingly active in seeking organisational models to include smallholders

such as the use of spatially explicit ‘parks’, ‘hubs’ and ‘platforms’ to bring services and orient markets access

for these producers (ibid.). While it is expected that increased market access will improve the terms of inclusion

of these producers to domestic, regional and international chains, it remains unclear how this access will reduce

their overall vulnerability to food insecurity.

Although demand for sustainability certification (GlobalG.A.P, ASC and GAA) is greatest in the US and EU (Bush

et al. 2013), the retail sector in Southeast Asian countries such as Thailand and Vietnam, owned by

international multi-national companies including Tesco, Metro and Carrefour, is also improving systems for

provisioning safe and sustainably produced aquaculture products (Reardon et al. 2012). In addition to

representing a more inclusive business model that allows for the greater involvement of a wider range of

producers, area-based management and certification may therefore also offer opportunities for domestic and

regional retailers, in addition to global retailers in the US and EU, to reduce the cost of sustainable sourcing,

and verifying traceability. Again, such models hold the potential to reduce social pressures of small holders

associated with economic vulnerability and food insecurity.

The greater inclusion of smallholder aquaculture producers through ABM and certification, especially if driven by

regional retailers, will affect both domestic and intra- and inter-regional production and trade, and as a result

regional level food security. As retailers in Thailand and Vietnam seek to control greater volumes of production

to meet growing middle-class demand, including more smallholders in certification schemes will allow domestic

demand to be met, and opens up possibilities for intra-regional trade (Reardon et al 2012; Reardon and Timmer

2014). ASEAN trade liberalisation in 2015 also presents opportunities and risks for small holders in lower GDP

economies, including countries like Bangladesh that are outside of ASEAN but rely on trade to major processing

and retail countries such as Thailand. The inclusive nature of ABM, as well as its sensitivity to local conditions of

production, can create favourable incorporation in regional markets for smallholders, while also reducing the

economic, environmental and social risks of aquaculture production.

b) Objective(s)

The overall objective of the project is to improve the design of ABM for aquaculture production in order to

reduce the social and environmental risks associated with smallholder aquaculture, and improve the terms

under which smallholders are incorporated in domestic, regional and international retail-led value chains. How

these economic and environmental risks underlie the conditions under which smallholders, including women and

other vulnerable groups can derive benefits, including livelihood and food security from participation in regional

trade, is the central question leading on from this objective.

This main objective is divided into three sub-objectives, each of which are covered by one PhD:

1. Identify the key principles of effective ABM and certification of aquaculture, including an assessment of

existing collective production systems and sustainability certification schemes.

2. Understand which contract conditions, value chain arrangements led by retailers in Europe and Southeast

Asia, and regional trade policies under ASEAN, lead to greater inclusion of vulnerable households and

most successfully support effective area-based aquaculture management and certification.

3. Identify and understand the conditions under which ABM and certification can stimulate improved

availability and uptake of financing and risk transfer for smallholders.



11

c) Research and innovation questions and methods

The project will contribute a fundamental understanding of how ABM and certification can promote resilience in

Southeast Asian aqua-food systems by supporting currently vulnerable smallholders and protecting

environments in sensitive agro-aquatic ecosystems.

In realising this outcome, the project will make both fundamental and professional scientific contributions.

Despite significant critique of farm-level certification there has been no scientific assessment as to the extent

ABM can perform as an alternative. There is also a poor understanding of the business-case for investments in

inclusive ABM systems, and the contribution governments can play in supporting the private certification.

This is the first time, to our knowledge that an interdisciplinary (sociology, economics, aquaculture systems),

and trans-disciplinary (certifiers, government agencies, investors and insurers) is brought together to

investigate the organisational, environmental, social and economic dimensions of area based management and

certification. Furthermore, comparing domestic, regional and international supermarket value chains will

respond to the literature (e.g. Reardon et al 2012; Coe and Bok 2014) investigating the impact of supermarket

led access and benefits to smallholder aquaculture producers in South and Southeast Asia. Finally, by

integrating food security to these questions (following Reardon and Timmer 2014), new knowledge will be

generated on the pathways through which producers and (poor) consumers are affected by supermarket-led

area-based management and certification.

The research is structured around three PhD students working in a series of (proposed) cases in Thailand,

Vietnam and Bangladesh (see Table 1). First, these countries provide a gradient of aquaculture development

and smallholder engagement, from poor development in Bangladesh to high levels of development in Thailand.

Second, they offer different levels of domestic, regional and export-oriented trade. And third, they combine a

range of empirical conditions under which ABM and certification can be implemented, as well as the kinds of

value chain governance arrangements that are most likely to support their implementation.

Site selection

Enrollment of farmers and

value chain actors

Monitoring

and evaluation

Reporting

1

2

3

5

6Second cycle

ACTION

RESEARCH

CYCLE

Assessment of

farming systems,

value chains and

certification needs

Implementation of

upgrading activities

4

Figure 1. Action research cycle

The research will pilot inclusive ABM business models in the three countries using an action research framework

(Figure 1). These models will be assessed through a list of quantitative and qualitative metrics developed in

collaboration with companies, certifiers, and researchers from different disciplines; including indicators of value

chain performance, small-holder inclusiveness , stability of trade relationships, and environmental impact.

Metrics will also be generated for food security, as a cross-cutting theme of the project, in terms of both

benefits from direct fish consumption, and indirect benefits from income derived food security. Finally, a



12

typology of business models and agro-ecological environments will be developed, as well as finance and risk

transfer designs accustomed to the ABM context. Comparison of species, countries and business-models will be

compared. The result of the project will include a set of best practices for ABM and certification.

Table 1. Outline of proposed countries, species and potential action research sites

Countries

Species and sites

Shrimp Pangasius Tilapia

Bangladesh WAHAB Extensive mangrove

integrated, certified Domestic and export Partners – WorldFish

STDF Extensive, non certifies Domestic and export Partners – WorldFish

Cox’s Bazar Extensive, non certified Domestic Nisitha fisheries,

Allahwala, Nirbili Throughout Bangladesh,

Khulna along rivers and ponds Extensive, non-certified Market domestic Partners –Worldfish

AIN Extensive, non-

certified Domestic and some

export to ethnic market in UK

Partners – WorldFish

Cox’s Bazar Extensive, non-

certified Domestic Partners - WorldFish

Vietnam Selva Shrimp, Ca Mau: Extensive mangrove

integrated Export Partners - GIZ and CTU

Ca Doi Vam, Ca Mau Improved extensive/semi-

intensive Export Partner – SFP and DARD

GlobalGAP Certified Group, Tra Vinh Small holder group

certification Export Partner – GIZ

SITE, Dong Thap Small holder groups

(ASC, GlobalGAP, BAP standards);

Export Partner – VPA

Tien Giang, Non certified Small holder and

cooperative groups Export Partner - DARD

Dong Thap, certified Contract farmers Export and domestic Partner - DARD

Thailand Surat Thani Shrimp Association (STSA) Intensive

Domestic and export Partners – SFP, STSA

Nakhon Sawan, Kamphaengphet, Pathum Thani

Intensive Domestic Partners – Thai Fish

Culture Farmers Association

Banghug Fish Farmer Club, Chonburi Province

Intensive Domestic and export Partners - TFCFA,

Chon Buri Inland Fisheries Research and Development center

d) Description of activities including time table

The structure of the individual PhD projects are based on 12 academic research papers (see Figure 2), which

also feed results into the scientific integration activities of the supervisors, who are primarily responsible for

coordinating engagement with practioners. PhD students will also engage with practioners, but at the level of

their individual projects.



13

The activities of the project are organized into six phases, each with their own timeline (see Table 2), and

linked to the action research cycle outlined above, and including activities related to capacity development and

knowledge mobilisation and dissemination.

The start-up phase combines activities related to the establishment of the action research sites, including

further elaboration and pre-testing sites for suitability for systematic comparison. Specific activities include

PhD enrolment and initial site visits by the supervisory teams with our project partners. Only then will the kick

off meeting will be held, constituting the first co-design moment of the project, with practioners and

researchers coming together to create a research framework, including the metrics introduced above, that will

structure the research over the subsequent four years.

The PhD proposal phase will give the PhD students time in Wageningen to complete their training and

supervision plan made up predominantly by course work. They will also develop their proposals in close

collaboration with their Wageningen supervisors and respective ‘in country’ supervisors. They will receive a

go/no-go decision at the end of the first 12 months as part of the Wageningen School of Social Sciences

(WASS) assessment process.

The PhD field work phase will commence in mid-year 2 and will proceed in two parts. The first field work period

will focus on the first and second papers, while the second field work part will focus on the second two papers.

A final 6 to 9 month period in Wageningen will allow the students to finalise their theses.

Crossing all of these phases are the scientific integration and action research reflection and knowledge

mobilisation activities. These three sets of activities are intricately interlinked. Scientific integration will start

with a series of review papers written by the PhD students in collaboration with the supervisory teams as input

to the research frame and kick off meeting. Subsequent to this the design of the framework will be adapted in

response to input from the 360° reflection sessions (see section 7b for detail). At the same time information

from the research will feed into the practices of key partners, including SFP, IDH (through their Farmers in

Transition programme) and the WorldFish incubator programme. Finally key standard organisations, including

both the private and public standards, and retailers will also be engaged with at the reflection sessions and feed

back into the research.



14

PhD 1: Principles of ABM and certification

PhD 2: Supermarket and wet-market value

chain organisation

PhD 3: Certification, finance and risk

transfer

Empirical characterisation of

area based management

Evaluate inter-farm models collaboration production & trade

Identify internal control systems for

ABM and Certification

Interface of ABM in private and public

governance

Paper 1:

Paper 2:

Paper 3:

Paper 4:

Current livelihoods impact of access to

different value chains

Evaluate food security and safety cert.

through value chains

Inclusion/exclusion dynamics through ABM

and certification

Institutional and financial models for

inclusive SME business

P1:

P2:

P3:

P4:

Empirical assessment of existing finance and risk transfer systems

Evaluate impact of ABM on costs and risk

exposure

Evaluate impact of ABM on finance and

risk transfer

Effect of changed risk and finance relations

on food security

P1:

P2:

P3:

P4:

Interdisciplinary scientific integration by research partners(emphasis on cross-cutting issues of food security, risk and vulnerability)

Knowledge transfer to partner practitioners and direct feedback to research

Systematic review of ABM and certification in other

sectors

Systematic review of inclusive business, food

security and risk transfer

Collaborative review papers

Impact of ABM on vulnerability, food security and small holder inclusion

Synthesis paper

Figure 2. Structure of the programme



Table 2. Gantt chart of activities over the five year period of the project



e) Uptake of IAC comments

Scientific quality: We now explicitly include producer groups in all the three countries in our pilot sites and

connect these to our public and private partners. We have also elaborated on how we expect to include

government and private sector in the action research cycle to ensure knowledge mobilisation from the project

and feedback to the researchers. Finally we have made food security a more explicit element of the proposal as

a whole.

Relevance for development innovation: Through the workshop we have substantiated the development of

area-based management and certification as a clear ‘southern demand’. We argue that ABM and certification is

a means of facilitating market access and overcoming compliance issues related to certification, which improves

access to supermarkets already investing in the organisation of primary producers in Southeast Asia.

Quality of collaboration and capacity building: We have reiterated the expertise on food security by

WorldFish and have added BRAC as a partner. We have also elaborated the division of tasks between the PhDs

and have linked their activities to our private partners in Vietnam, Bangladesh and Thailand. Knowledge from

the project will be mobilised in a one off master class due to cost – but further capacity building will be taken

up in the FAO/NACA training program on the Ecosystem Approach to Aquaculture.

References

Bush, S. R., Ben Belton, Derek Hall, Peter Vandergeest, Francis J. Murray, Stefano Ponte, Peter Oosterveer et

al. "Certify sustainable aquaculture? Science 341, no. 6150 (2013): 1067-1068.

Coe, N. M., & Bok, R. (2014). Retail transitions in Southeast Asia. The International Review of Retail,

Distribution and Consumer Research, 24(5), 479-499.

FAO (2014) State of the Worlds Fisheries and Aquaculture. Food and Agricultural Organisation of the United

Nations, Rome.

Fischer, E. And Qaim, M., 2012. Linking Smallholders to Markets: Determinants and Impacts of Farmer

Collective Action in Kenya. World Development 40 ( 6), 1255–1268.

Ha, T. T. T., Bush, S. R., & van Dijk, H. (2013). The cluster panacea?: Questioning the role of cooperative

shrimp aquaculture in Vietnam. Aquaculture,388, 89-98.

Hall, S. J., A. Delaporte, M.J. Phillips, M. Beveridge, and M. O’Keefe (2011). Blue Frontiers: Managing the

environmental costs of aquaculture. The WorldFish Centre, Penang.

Islam, M. S. (2014). Confronting the Blue Revolution: Industrial Aquaculture and Sustainability in the Global

South. University of Toronto Press.

Reardon, T., & Timmer, C. P. (2014). Five inter-linked transformations in the Asian agrifood economy: Food

security implications. Global Food Security. doi:10.1016/j.gfs.2014.02.001

Reardon, T., Timmer, C. P., & Minten, B. (2012). Supermarket revolution in Asia and emerging development

strategies to include small farmers. Proceedings of the National Academy of Sciences, 109(31), 12332-

12337.

Soto, D., J. Aguilar-Manjarrez and N. Hishamunda (eds). Building an ecosystem approach to aquaculture.

FAO/Universitat de les Illes Balears Expert Workshop. 7–11 May 2007, Palma de Mallorca, Spain. FAO

Fisheries and Aquaculture Proceedings. No. 14. Rome, FAO. pp. 15–35.

Wulandari, E., Meuwissen, M.P.M., and Oude Lansink, A.G.J.M. (2014). Important factors influencing access to

finance: the perspective of finance providers in West Java. Presented at Congress of European

Association of Agricultural Economics, Llubljana, Slovenia, 27-29 August 2014.

http://dx.doi.org/10.1016/j.gfs.2014.02.001



2

7. Capacity development and knowledge sharing activities Word count: 590

(Max. 700 words, including 7c, please add word count)

a) Approach for capacity development

Capacity development will focus first on PhD training of staff from collaborating universities. Institutional

capacity will be built through the action oriented inclusive business models between producers, retailers and

national aquaculture agencies. These models will also lead to an ongoing business innovation network

supported by the Network of Aquaculture Centres in Asia and the Pacific (NACA) and the WorldFish Incubator

Program1 beyond the lifetime of the project.

The collaborating partners will also develop and deliver a Master class in 2018 on inclusive business models for

market–based regulation of aquaculture in Southeast Asia to scientific and professional MSc students as well as

other PhD students in Thailand, Vietnam and Bangladesh. Additional capacity development will be done through

the ongoing FAO/NACA development of a training program on the Ecosystem Approach to Aquaculture, which

specifically includes area-based management approach to support the sustainable intensification of aquaculture

in Asia to ensure inclusion of small-scale producers in future markets.

b) Approach for knowledge sharing with the F&B Knowledge Platform and its local networks (the Food & Business Knowledge Platform Office should be contacted on the elaboration of this section)

The project will primarily engage with the ‘Partnerships’ theme of the Food & Business Knowledge (F&B)

Knowledge Platform. The innovative inclusive business models developed will contribute knowledge on

sustainable collaborations between smallholder producers, industry and government that promote equitable and

sustainable production. The results will also contribute to food and nutrition security; delivering a systemic

understanding of how retail-led aquaculture trade changes access to and dependencies on fish-based protein.

The theory of change for this project is based around an action research cycle (Figure 2). Six-monthly activity

cycles will conclude with 360° reflections –annual face-to-face and interim 6 monthly online. At these meetings

partners will reflect on the successes, constraints and opportunities arising from the work completed, as well as

iterative changes to project planning, and feedback of the PhD students results into practice. Outputs from

these sessions will include synthesis reports and visual materials such as infographics, all of which will be

shared directly on the F&B Platform and existing social media platforms of the consortium partners.2 The annual

meetings will conclude with a business and policy Webinar on WUR-TV (www.wurtv.wur.nl), with a target

audience of industry, government and civil society actors engaged in area based management and certification.

Scientific knowledge generated from the project will also be communicated through 12 peer reviewed

international journal articles led by the three PhD candidates. In addition, two major review and one synthesis

papers will be published at the start and end of the project. Budget has been allocated for ‘Gold Road’ Open

Access publishing to ensure public availability of all scientific results. All other project reports, including mid-

term, progress and final report, will be publically available via the WorldFish website, the Wageningen UR e-

depot, and the F&B Knowledge Platform.

1 The WorldFish Incubator Program is a new and innovative program designed to support investment into sustainable small and

medium-sized aquaculture enterprises in developing countries (http://www.worldfishcenter.org/resources/publications/worldfish-

incubator-sustainable-aquaculture-made-possible#.U7FEwvmSyV4)

2 Social media platforms of the partners include Twitter (@ENPWageningen and @WorldFishCenter) and Youtube (ENP-TV and

WorldFish-TV )

http://www.wurtv.wur.nl/

http://www.worldfishcenter.org/resources/publications/worldfish-incubator-sustainable-aquaculture-made-possible#.U7FEwvmSyV4

http://www.worldfishcenter.org/resources/publications/worldfish-incubator-sustainable-aquaculture-made-possible#.U7FEwvmSyV4

https://twitter.com/ENPWageningen

https://twitter.com/WorldFishCenter

https://www.youtube.com/channel/UCW_XqLfcn87jE0DYSlT6r5A



3

CYCLE 1 CYCLE 2

Year 0 6 mnth Year 1 6 mnth Year 2

Planning EnrolmentImplementation

360° reviewPlanningDisseminationWebinar

360° reviewPlanningDisseminationWebinar

Figure 2. Example two year research action cycle with annual and six monthly reviews



4

c) Communication strategy (Max. 1 page, please fill out table, add or remove boxes when required)

Stakeholder (scientific/non-scientific) involvement and international collaboration (networks, platforms, institutions)

Target Group Communication Objectives Products/ issues for communication Means of Communication

(1):

Future aquaculture-area managers

Provide with context and tools for

aquaculture sector/zone/area

management

Producer organisational models,

certification models, and beneficial

value chain contract agreements

FAO/NACA development of a

training program on the

Ecosystem Approach to

Aquaculture

(2):

Supermarket chains

Improved understanding of potential

business case for ABM and

certification

Food safety benefits, security of

supply, marketable claims to

consumers, CSR benefits

Information sheets, face to face

engagement, FB-platform,

Video output from 6 monthly

meetings

(3):

Policy makers

Improved understanding of the

state’s role in stimulating ABM and

certification to address

environmental and social issues

Improved regulatory support to ABM,

improved food safety and security

and inclusive business models




meetings

Output dissemination

Target Group Communication Objectives Products/ issues for communication Means of Communication

(1): Producers

Improved capacity to assess the

relevance of ABM and certification

Organisational models,

environmental benefits, risk

reduction, investment and risk

transfer models

Posters, podcasts and video

clips in local language

(2): Policy makers

Improved regulatory support for

area-based management.

Improved food safety and security.

Policy briefs / guidelines for ABM

implementation, potential food

security benefits and as well as

investment and risk transfer models




meetings

(3): Research community

Improved knowledge on ABM

models, risk transfer and food

security.

Scientific contributions across the

entire scope of the project

Peer reviewed journals,

conference presentations, FB

platform



5

8. Monitoring & Evaluation

a) Diagram research impact pathway and indicators3 (Complete diagram, max. 2 pages)

Research outputs Indicators Research outcomes Indicators Impact

Understanding ABM and

certification principles in

other sectors

Submitted paper on ABM

and certification

experience

Improved food security of

smallholders

Measurably higher income and less

down-side risk of smallholders in

ABM regions

Smallholders, other

farmers and

communities benefit

from more (social and

environmentally)

resilient agro-

ecosystems

Knowledge on impact of

inclusive business on risk

transfer and food security

Submitted paper on status

and lessons learned on

risk transfer and food

security

Improvement in the terms

of inclusion in value chains

Between 50-75% more inclusion of

smallholders in ABM regions

(baseline: marginal level of inclusion

of smallholders)

Insight into the empirical

characterisation of ABM

Submitted paper on ABM

status quo

Improvement in the

environmental quality within

an area

Measurable improvement of water

quality and biodiversity in ABM

regions

Improved understanding of

inter-farm models on

collaboration, production and

trade

Submitted paper on

linkages between ABM and

collaboration, inclusion,

production and trade

Improved state regulation

supporting area based

aquaculture

Have written procedures for

policymakers to implement ABM

Management principles,

techniques and tools of

internal control systems (ICS)

for ABM

Submitted paper on ICS

design for ABM

Reduced gender

vulnerability from the

development of ABM

Measurably higher income and less

down-side risk for women-led farms

in ABM regions

Key principles for public and

private regulation supporting

area based management

Submitted paper on

interface of ABM in private

and public governance

Communication of qualities

associated with ABM in the

market

Have written guidelines for

communicating ABM per market

segment

Smallholders benefit

from reduction in

economic and social

risks associated with

aquaculture

production

Improved understanding on

livelihood impact of access to

different value chains

Submitted paper on

interface of livelihood and

value chain access

Improved continuity and

safety of product supply

Farmers adopting ABM improve

safety and continuity between 50-

75% over the course of 2-4 years

3 The Research Impact Pathway and the Theory of Change of the IP should be aligned with the generic GCP Research Impact Pathway (see annex 6.3 of the call for

proposals). Furthermore, the diagram and the indicators must reflect the information presented in section 6a - d and vice versa. A careful tuning of the project

description with the research impact pathway may enhance the clarity and the conciseness of the proposal.



6

Understanding of the level of

food security and quality

assurance provided by ABM

to market actors

Submitted paper on food

security and safety

through value chains

Improved access to finance Farmers adopting ABM have 25-50%

improved access to finance

(baseline: marginal access)

New knowledge on effect of

ABM on inclusion/exclusion

dynamics

Submitted paper on value

chain inclusion under ABM

Improved access to risk

transfer

Farmers adopting ABM have 25-50%

improved access to risk transfer

(baseline: zero access)

Smallholders benefit

from improved terms

of incorporation in

local, national and

international value

chains

Understanding of institutional

and financial barriers to

smallholders in adopting

area-based management

Submitted paper on

institutional and financial

models for inclusive

smallholder business

Producers develop capacity

through ABM to take

advantage of changes in

ASEAN level trade policy

Smallholders adopting ABM increase

their regional trade share by 40-

50%

(baseline: marginal access to trade)

New empirical knowledge on

current finance and risk

transfer systems in

aquaculture

Submitted paper on

finance and risk transfer

situation in aquaculture

including smallholders

Systematic approach to

assessing area level risks

and impacts developed

(ICS)

Have written guidelines for ICS

Knowledge on impact of ABM

on costs and risk exposure

Submitted paper on

economic and risk

implications of ABM

(Existing) aquaculture

standards adopt indicators

for area based aquaculture

certification

Have written ‘ABM standards’ for

aquaculture certification

(baseline: no ABM related criteria)

Breakthrough knowledge on

impact of ABM on design and

availability of finance and risk

transfer

Submitted paper on

interface of ABM and

finance and risk transfer

including opportunities for

smallholders

Coherent ABM institution

developed

Have written guidelines for ABM

institution design and governance

Insight in effect of formal

finance and insurance on

existing (informal) risk and

credit relations

Submitted paper on

complex interactions

between ABM and value

chain actor behavior

Improved engagement of

resource users in local

resource management

Measurable resource awareness

among all resource users

(baseline: marginal awareness and

action on externalities)

Understanding of the

systemic impact of moving

from farm level to ABM

Submitted paper on

impact of ABM on

vulnerability, food security

and inclusion of

smallholders

Improved awareness of

collaboration through ABM

by smallholders, farmers

and other relevant actors

Between 5-10 ABM aquaculture

zones established 2-3 years after

finishing our project



7

8 Monitoring & Evaluation (continued)

b) Theory of Change Word count: 392


Three interrelated problem areas (and underlying causes) have been identified. A first problem is that

aquaculture certification schemes do not sufficiently address environmental impacts including

externalities and long-term effects. The concept is difficult to measure and lacks a market. A second

problem area is the relatively high disease incidence. Climate change, high stocking densities including

high levels of chemical residues, and high farm densities are seen as major causes. Root cause seems

to be the lack of strategy among government, community, farms and companies that goes beyond the

farm-focus and fits the local environment. A third problem area is lack of finance, especially for

smallholders. Causes are lack of appreciation for current certification schemes as a proof of good

practice, high level of external risks (outside control of individual famer), and lack of technological

innovation. Root cause is lack of a systematic risk management approach including validation.

Our vision and pathway to improve these problems is the development and introduction of area-based

management systems in aquaculture. It is a systematic approach, a measurable concept and

encompasses multiple stakeholders including governments, communities and smallholders. We envision

that implementing area-based management benefits smallholders, other farmers and communities at

large through more (social and environmentally) resilient agro-ecosystems. Also, we expect that

smallholders benefit from reduced risks associated with aquaculture production and improved terms of

incorporation in value chains and trade.

Central in the project’s pathway are three building blocks, i.e. a review, an in-depth and a synthesis

block. The review phase addresses existing area and zonal systems in food systems. Although only

scantily available, important lessons can be learned about the institutions, internal control systems and

cost and risk-sharing agreements in place. Next, the in-depth phase with three PhDs develops the area-

based concept, analyses the incorporation of ABM in certification, and assesses the impacts on costs,

finance and risk transfer solutions respectively. Research outcomes of in-depth analyses address the

problems described above. Finally, the synthesis part addresses the systematic impact of moving from

farm level to area-based management, expressed according to the research outcomes and indicators

from the impact pathway.

To strengthen the pathway from research to change, the consortium builds on several pillars of

knowledge sharing and capacity building including an action-based approach, high-level PhD outputs,

connection with the Knowledge Platform to share insights with related project teams, and development

of open-access learning material.

c) Approach for the baseline study Word count: 314


Key elements of the baseline are described in the table below including sources used and description of

the baseline:

Important baseline items Sources Baseline

Inclusion of smallholders

in value chains

Baseline survey of

processing companies and

provincial department of

statistic databases -

verified in baseline surveys

Smallholders access different value chains.

What are the main value chains leading to

which markets in a pilot site. What are the

current volumes moving into these chains

and how many producers are selling into

these chains. This information will give a



8

clear indication of improvement over time.

Consideration of

environmental indicators

in certification schemes

(water quality, mangrove

management)

Provincial (district)

statistics on mangrove

cover, water quality

indicators etc.

Environmental indicators related to disease

incidence will provide a baseline of

improvements that can be reached through

area based management.

Disease incidence Provincial (district)

statistics on disease

outbreak – verified in

baseline surveys

Risk and vulnerability of aquaculture

production systems are closely related to

disease. These statistics will provide an

indicator of reduced risk and vulnerability

due to area based management and

certification.

Regional trade Group of farmers (related

to inclusion statistics

above)

Statistics from a specific group of farmers

(related to inclusion statistics above) on who

is trading to domestic, regional, and

international chains.

Availability of finance Asian Development Bank ,

FAO – verified in baseline

surveys

Lack of knowledge about fisheries and

resource management and ineffectiveness of

fisheries management efforts currently limit

the willingness of micro finance institutions

to become involved in the fishery sector.

Statistics on inclusion, conditions and

availability.

Availability of risk transfer FAO, AAIRM (Asian

Aquaculture Insurance and

Risk Management

Conference), – verified in

baseline surveys

Availability of risk transfer for aquaculture is

limited compared to other industries.

Especially for aquaculture in developing

countries. Main reasons are high transaction

costs in assessing each individual case and

relatively unstable risks. Statistics on

insured liability, design and claim handling.



9

9. Budget overview

a. Total budget : € 622131 Subsidy amount requested : € 496860

Contribution in cash : € 97611 Contribution in-kind : € 27660

Full project duration

Total costs/budget line:

Amount:

% of

total

budget:

% of

spent in

South:

Proposal development 14990 2 80

Personnel (b) 351870 57 80

Knowledge sharing (c) 33000 5 100

Research (d) 35000 6 90

Capacity development (e) 21500 3 100

Overhead DC (f) - -

Communication (g) 22500 4 50

Monitoring & Evaluation (h) 20000 3 70

Total budget requested: 496860 81

b. personnel costs: € 351,870

# fte

Yr 1-5 Yr 1 Yr 2 Yr 3 Yr 4 Yr 5

Total

amount in

€

Yr-1-5

Dutch Employees

PhD-researcher 1 42327 50667 53735 57441 204170

# of bench fees 1 5000

Subtotal 216670

LMIC Employees

PhD-researcher 1 21450 5950 5950 18950 52300

PhD-researcher 1 21450 5950 5950 18950 52300

Senior researcher –

Froukje Kruissen 0.02 1560 1560 1560 1560 1560 7800

Support staff – Michelle

Stark 0.05 1500 1500 1500 1500 1500 7500

Senior researcher - Mohan

Chadag 0.02 1560 1560 1560 1560 1560 7800

Senior researcher - Vo Thi

Thanh Loc

0.1

1000 1000 1000 1000 1000 5000

Other

# of bench fees 2 10000

Subtotal 135200

Funds required



10

Total costs of personnel 351870

c. Knowledge sharing costs: € 33000

Budget item/line: Details (calculations) Yr 1 Yr 2 Yr 3 Yr 4 Yr 5 Total

Yr-1-5

Travelling costs:

3 PhD’s NL-VIE-CAM-THA 2000 2000 2000 2000 8000

Supervision teams NL-VIE-CAM-THA 1000 1000 1000 1000 1000 5000

Other costs:

Mid-term reflection

and sharing

workshop (2017)

10000 10000

Masterclass -

Vietnam, Thailand

and Vietnam

10000 10000

Total: 33000

d. Research costs: € 35000


Yr-1-5

Field expenses -

local travel and

accommodation

1000 1000 1000 1000 1000 5000

2 PhD’s LMIC Research costs 2500 7500 7500 2500 20000

PhD WU Research costs 1250 3750 3750 1250 10000

Total: 35000



11

e. Capacity development costs: € 21500


Yr-1-5

Training & courses

development 7500 7500

Video clips -

learning modules 2000 2000 2000 6000

Action research

online reflection

meeting

4000 4000 8000

Total: 21500

f. Overhead costs in support of c, d, e: € -

g. Communication costs: € 22500


Yr-1-5

Kick-off meeting 10000 10000

International

outreach meeting 5000 5000 10000

Communication &

material costs 500 500 500 500 500 2500

Total: 22500

h. Monitoring & Evaluation costs: € 20000


Yr-1-5

Midterm workshop 10000 10000

Final workshop 10000 10000

Total: 20000

i. Amount and sources of co-funding (as specific as possible): € 125271

In kind contributions: Man day

Source of

funding Amount (K€ )

Senior experts

Mohan Chadag 0.02 FTE CGIAR 6951

Froukje Kruijssen 0.02 FTE CGIAR 1225

Michelle Stark 0.013 FTE STARK 1875

Ho Hai Dang 0.01 BMI 3231

Other in-kind contributions (please specify):

WorldFish office facilities and field support in Bangladesh for 1 PhD

student CGIAR 11689



12

Expert input from GIZ public-private sustainable fisheries and

aquaculture GIZ 20000

Field sites Thailand and Vietnam field costs - transport,

accommodation SFP 21200

Field site facilitation Bangladesh BRAC 1250

Masterclass - Bangladesh office facilities (2018) CGIAR 3390

International outreach meeting (2017 and 2018) SFP 8800

International outreach meeting, facilities (Thailand) PSU 5000

Mid-term reflection and sharing workshop (Vietnam) CTU 5000

Mid-term reflection and sharing workshop (Vietnam) VPA 5000

Aquaspark Aquaspark 3000

Total in kind: 97611

Cash contributions (please specify):

PhD field research support and conferences SHRCC -YCAR 8260

PhD staff salary CTU 9700

PhD staff salary, PSU 9700

Total cash: 27660

Annexes

Annex Attached y/n

Draft Consortium Agreement (obligatory) y

Letters of support with financial guarantees for co-funding (obligatory) y

CV Consortium partners (obligatory) y



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Signature

Consortium member (Main applicant/coordinator)

Name: Simon Bush (WUR) Signature:

Consortium member (Co-applicant)

Name: Vo Thi Thanh Loc (CTU) Signature:


Name: Miranda Meuwissen (WUR) Signature:


Name: Pornpimon Chuaduangpui (PSU) Signature:


Name: Mohan Chadag (WorldFish) Signature:


Name: Belayat Hossan (BRAC) Signature:



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Name: Howard Mendelsohn (SFP) Signature: Consortium member (Co-applicant)

Name: Mark Prein (GIZ) Signature:


Name: Michele Stark, Stark Consulting Signature:


Name: Ho Hai Dang (Bau Minh Insurance Company) Signature: Consortium member (Co-applicant)

Name: Amy Novogratz Signature:


Name: Nguyen Viet Thang (VPA) Signature:


Name: Peter Vandergeest (York University) Signature:



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Name: Somchai Rerkpokee (SSFC) Signature:

Submit this application through the Iris system, which can be accessed by the GCP website. Please note

that the electronic application must be submitted through the Iris account of the coordinator.

The electronic form must be submitted before 9 December 2014, 12.00 noon CET.



A-1

registration - wur · integrated project full proposal second call 2014 registration 1. ......

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