Post on 11-Feb-2020
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: Simon.bush@wur.nl E-mail: vttloc@ctu.edu.vn
Organisation’s name:
Wageningen University and Research Centre
Organisation’s name:
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
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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: pornpimon_st@yahoo.com E-mail:
miranda.meuwissen@wur.nl
Organisation’s name:
Prince of Songkla University
Organisation’s name:
Wageningen University
Type of organisation*: Public Type of organisation*: Public
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
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
E-mail: V.Chadag@cgiar.org E-mail: belayet.h@brac.net
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):
Male/Female (M/F): M Male/Female (M/F): M
Expertise(s): Aquaculture improvement projects
Expertise(s): Aquaculture policy
E-mail: Anton.immink@sustainablefish.org
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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Co-applicant of an international partner
Co-applicant of an international partner
Family name: Prein Family name: Vandergeest
First name(s): Mark First name(s): Peter
Title(s): Dr. Title(s): Professor
Male/Female (M/F): M Male/Female (M/F): M
Expertise(s): Fisheries and coastal zones
Expertise(s): Aquaculture certification in Southeast Asia
E-mail: Mark.Prein@giz.de E-mail: pvander@yorku.ca
Organisation’s name: Deutsche Gesellschaft für Internationale Zusammenarbeit (GIZ)
Organisation’s name: York Centre for Asian Research (YCAR), York University
Type of organisation*: Public Type of organisation*: Public
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
E-mail: mischeken@yahoo.com E-mail: amy@a-spark.nl
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
Co-applicant of another LMIC-based partner
Co-applicant of another LMIC-based partner
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
E-mail: hhdang@baominh.com.vn
E-mail: Suratshrimp@hotmail.com
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
Food & Business Global Challenges Programme, 2014 – 2nd call for proposals
Integrated Project - Form for full proposal
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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
PhD Researcher Wageningen University (academic, public)
1.0
Principle researcher
PhD Researcher Wageningen University (academic, public)
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
Food & Business Global Challenges Programme, 2014 – 2nd call for proposals
Integrated Project - Form for full 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
Food & Business Global Challenges Programme, 2014 – 2nd call for proposals
Integrated Project - Form for full proposal
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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.
Food & Business Global Challenges Programme, 2014 – 2nd call for proposals
Integrated Project - Form for full proposal
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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
(Max. 150 words, please add word count)
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
Food & Business Global Challenges Programme, 2014 – 2nd call for proposals
Integrated Project - Form for full proposal
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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.
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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
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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.
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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.
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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
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Table 2. Gantt chart of activities over the five year period of the project
Food & Business Global Challenges Programme
Integrated Project Full Proposal Second Call 2014
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.
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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 )
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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
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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
Information sheets, face to face
engagement, FB-platform,
Video output from 6 monthly
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
Information sheets, face to face
engagement, FB-platform,
Video output from 6 monthly
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
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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.
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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
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8 Monitoring & Evaluation (continued)
b) Theory of Change Word count: 392
(Max. 400 words, please add word count)
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
(Max. 400 words, please add word count)
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
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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.
Food & Business Global Challenges Programme, 2014 – 2nd call for proposals
Integrated Project - Form for full proposal
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
Food & Business Global Challenges Programme, 2014 – 2nd call for proposals
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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
Budget item/line: Details (calculations) Yr 1 Yr 2 Yr 3 Yr 4 Yr 5 Total
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
Food & Business Global Challenges Programme, 2014 – 2nd call for proposals
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e. Capacity development costs: € 21500
Budget item/line: Details (calculations) Yr 1 Yr 2 Yr 3 Yr 4 Yr 5 Total
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
Budget item/line: Details (calculations) Yr 1 Yr 2 Yr 3 Yr 4 Yr 5 Total
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
Budget item/line: Details (calculations) Yr 1 Yr 2 Yr 3 Yr 4 Yr 5 Total
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
Food & Business Global Challenges Programme, 2014 – 2nd call for proposals
Integrated Project - Form for full proposal
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
Food & Business Global Challenges Programme, 2014 – 2nd call for proposals
Integrated Project - Form for full proposal
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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:
Consortium member (Co-applicant)
Name: Miranda Meuwissen (WUR) Signature:
Consortium member (Co-applicant)
Name: Pornpimon Chuaduangpui (PSU) Signature:
Consortium member (Co-applicant)
Name: Mohan Chadag (WorldFish) Signature:
Consortium member (Co-applicant)
Name: Belayat Hossan (BRAC) Signature:
Food & Business Global Challenges Programme, 2014 – 2nd call for proposals
Integrated Project - Form for full proposal
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Consortium member (Co-applicant)
Name: Howard Mendelsohn (SFP) Signature: Consortium member (Co-applicant)
Name: Mark Prein (GIZ) Signature:
Consortium member (Co-applicant)
Name: Michele Stark, Stark Consulting Signature:
Consortium member (Co-applicant)
Name: Ho Hai Dang (Bau Minh Insurance Company) Signature: Consortium member (Co-applicant)
Name: Amy Novogratz Signature:
Consortium member (Co-applicant)
Name: Nguyen Viet Thang (VPA) Signature:
Consortium member (Co-applicant)
Name: Peter Vandergeest (York University) Signature:
Food & Business Global Challenges Programme, 2014 – 2nd call for proposals
Integrated Project - Form for full proposal
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Consortium member (Co-applicant)
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.
Food & Business Global Challenges Programme, 2014 – 2nd call for proposals
Integrated Project - Form for full proposal
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