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LAND AND TREE USE ON COLONIST FARMS
IN THE AGUARICO SECTOR,.
CAYAMBE-COCA ECOLOGICAL RESFERV ECUADOR
BY
EDWARD A.ELLIS
A THESIS PRESENTED TO THE GRADUATE SCHOOL
OF THE UNIVERSITY OF FLORIDA IN PARTIAL FULFILLMENT
OF THE REQUIREMENTS FOR THE DEGREE OF
MASTER OF ARTS
UNIVERSITY OF FLORIDA
1996
Copyright 1996
by
Edward A. Ellis
To the memory of my father, Dr. George L. Ellis
and to my mother, Violeta Ellis Mazur6
ACKNOWLEDGMENTS
Fieldwork was supported by a grant from the Tropical
Conservation and Development Program at the University of
Florida.
M6nica Le6n assisted in the field and gave her patience
and loving support to make it all possible.
Since this thesis is about colonist farmers, every
household interviewed during the study provided the most
essential contributions. Their cooperation, kindness, and
knowledge are greatly appreciated.
Luis Calder6n and Luis Ortiz of Proyecto SUBIR showed
interest in the research and provided institutional support
in Ecuador. Proyecto SUBIR furnished office facilities in
Quito and supplied some of the plant collecting and pressing
materials.
Jorge Aguirre, Chief of the Technical Office in
Lumbaqui for the Ecuadorian National Institute of Forestry
and Natural Areas (INEFAN), allowed the use of the Aguarico
Ranger Station as a place to call home during field work.
Don Juan Zhuira, Luis Tonato, Obdulio Grefa, and
Clemente Dahgua, INEFAN park rangers for the Cayambe-Coca
Ecological Reserve, were invaluable informants and humorous
friends. George Ellis helped out incredibly with
transportation needs in Ecuador in addition to providing a
roof and entertainment in Quito.
The National Herbarium of Quito assisted in
demonstrating the appropriate way for collecting plant
specimens and in drying collected plant samples.
Kent Perkins permitted the use of the University of Florida
Herbarium facilities for plant identification.
Finally, acknowledgment is given to the members of my
thesis committee, Peter Hildebrand, Mary Duryea, and P.K.
Nair for their academic support and advisement from the
development of this project to the completion of this
manuscript.
TABLE OF CONTENTS
ACKNOWLEDGMENTS..... .................................... iv
ABSTRACT ...................................................x
CHAPTER 1: INTRODUCTION....... ........................... 1
Problem. ................................ .............1
Purpose of Study...................................... 5
Location of the Aguarico Sector.......................7
Hypotheses ..........................................13
Objectives. ......................................... 15
Procedures............................................... 15
Farm Surveys..................................... 15
Additional Interviews...........................19
Vegetation Transects.............................20
Outline of Thesis................................... 21
CHAPTER 2: LITERATURE REVIEW...............................22
Deforestation and Agricultural Colonization..........23
Who's Cutting the Forest?.......................23
Population Growth...............................24
Land Reform..................................... 25
The Oil Boom..................................... 26
Policy and Institutions........................27
Agricultural Expansion and Production...........29
Process of Natural Resource Degradation.........30
Colonization Process and Characteristics........32
Conservation and Sustainable Development............. 35
Problems with "Sustainability"..................35
Colonization and Protected Areas ................37
Agroforestry and Sustainable Development........ 38
CHAPTER 3: DESCRIPTION OF THE AGUARICO SECTOR............ 45
Natural Environment.................................45
Topography and Hydrology........................45
Climate.........................................46
Soils ...........................................46
Vegetation ............................................ 47
Socioeconomic Environment............................48
Population.......................................48
Education.......................................50
Health..........................................51
Housing..........................................52
Nutrition.......................................53
Transportation Infrastructure...................53
Social Organization............................55
Petroleum and Mining............................56
Agriculture and Forestry........................58
Slash/mulch Agriculture.............................60
Crops........................................... 62
Pasture and Livestock.......................... 65
Labor............................................67
Calendar of Activities..........................68
Farm Development and Marketing..................69
Credit and Assistance...........................71
Conservation ....................................72
Major Problems..................................74
CHAPTER 4: FARMING SYSTEMS IN COLONIZATION ZONES OF THE
AGUARICO SECTOR.....................................78
Introduction.........................................78
Socioeconomic Characteristics........................80
Age of Farms.....................................80
Residency of Households.........................84
Households Size and Labor........................84
Origin of Colonists.............................85
Land Acquisition and Tenure .....................86
Off Farm and Hired Labor....................... 89
Agricultural Credit.............................90
Agricultural Extension..........................91
Additional Farms................................91
Gender Roles and Differences.........................92
Land Use on Colonist Farms...........................95
Average Land Use on Farms of the Study Area.....96
Distance from the Road vs. Age of Farm.........100
Farm Size........................................101
Dynamics of Land Use in Colonization Zones.....102
Forest and deforested areas ..............106
Pasture area..............................116
Fallow area.............................. 122
Crop area.................................123
Crop Production and Marketing.......................134
Coffee......................................... 135
Naranjill .....................................142
Cacao ..........................................147
Maize...........................................149
vii
Plantain....................................... 153
Cassava, Taro and Others.......................156
Forage Grasses...................................158
Livestock Production................................161
Cattle .........................................161
Mules and Horses ..............................166
Pigs ......................................167
Poultry.................................... 168
Summary and Discussion..............................169
CHAPTER 5: TREE USE AND AGROFORESTRY IN COLONIST FARMING
SYSTEMS OF THE AGUARICO SECTOR......................188
Introduction........................................188
Tree Species on Colonist Farms......................192
Structure of Tree and Crop Components in Colonist
Agroecosystems........................................... 206
Woody Plants Found in Vegetation Transects.....206
Composition and Structure of Vegetation in Crop
Areas.............................................. 210
Composition and Structure of Vegetation in
Pastures.................... .................. 217
Summary and Discussion..............................222
CHAPTER 6: SUMMARY AND CONCLUSIONS .......................231
The Study............................................231
Socioeconomic Factors...............................233
Land and Natural Resource Utilization...............236
Conclusions.........................................244
APPENDIX 1: TRANSLATED SURVEY FORM SAMPLE................251
APPENDIX 2: USEFUL TREE SPECIES NAMED BY COLONIST HOUSEHOLDS
ON FARMS OF THE AGUARICO SECTOR IN ORDER OF FREQUENCY
REPORTED......................................................257
LIST OF REFERENCES......................................... 266
BIOGRAPHICAL SKETCH.... .................................278
viii
Abstract of Thesis Presented to the Graduate School
of the University of Florida in Partial Fulfillment of the
Requirements for the Degree of Master of Arts
LAND AND TREE USE ON COLONIST FARMS
IN THE AGUARICO SECTOR,
CAYAMBE-COCA ECOLOGICAL RESERVE, ECUADOR
By
Edward A. Ellis
May, 1996
Chairman: Peter E. Hildebrand
Major Department: Center for Latin American Studies
This thesis describes farming systems in an
agricultural frontier zone of Northeast Ecuador based on
questionnaire surveys and vegetation transects. Land and
tree use are examined on farms in relation to their distance
from the Inter-Oceanic raod and age of colonization. The
results have important implications for rural development
and conservation of protected areas in the region.
Colonists are mostly involved in cattle, coffee and
naranjilla (Solanum quitoense) production for cash and
plantains, cassava and other livestock (e.g. pigs and
chickens) for subsistence. Along the road, farms are older
and larger and have large areas cleared, the majority in
pasture. These farms are usually more involved in cattle
production. Along mule trails, farms are generally smaller
and younger, and households are more dependent on cash and
subsistence crops. Areas cleared and put in pasture on
farms increase with respect to farm age and size. Although
these areas tend to be smaller on farms along mule trails,
in more remote and recently colonized farms, deforested
areas and pastures can be almost as large as on farms along
the road.
On colonized farms that are too remote for cash crop
transportation and marketing, putting land into pasture and
raising cattle are'attractive development strategies.
Cattle is transported easier or even bought on farms and
provides higher cash returns. In addition, households in
remote areas, usually without land titles, claim and secure
land by clearing forests and putting large areas in pasture.
Land reform policy in Ecuador has been influential in
promoting this land clearing process.
Along the road households are able to take better
advantage of timber resources on farms for cash, although
harvestable timber trees in this area have been
overexploited and have become scarce. Trees used for
subsistence purposes are frequently used by colonists and
are of greater importance in recently colonized and remote
areas along mule trails.
CHAPTER 1
INTRODUCTION
Problem
Agricultural expansion in the Ecuadorian Amazon, or
Oriente, has been coupled with rapid deforestation rates,
degradation of lands, and declining productivity (INEFAN,
1993; Rudel & Horowitz, 1993; Southgate et al., 1992;
Uquillas, 1986). Roads have been foremost in providing
accessibility to these tropical forest lands and they have
had major influences in the colonization process, rural
development, and natural resource deterioration in the
region (Rudel & Horowitz, 1993; Hiroaka & Yamamoto, 1980;
Rudel, 1983).
The Inter-Oceanic road, Ecuador's main route towards
the eastern forest frontier, was built in 1970 to serve the
oil industry in the Amazon (Uquillas, 1986; Hiroaka &
Yamamoto, 1980). This road runs within 5 km of the southern
and eastern limits of the Cayambe-Coca Ecological Reserve
(CCER), a protected area established during the same year
(Fundaci6n Natura, 1992a, 1992b). Since its construction,
forest lands have been progressively settled by colonist
CHAPTER 1
INTRODUCTION
Problem
Agricultural expansion in the Ecuadorian Amazon, or
Oriente, has been coupled with rapid deforestation rates,
degradation of lands, and declining productivity (INEFAN,
1993; Rudel & Horowitz, 1993; Southgate et al., 1992;
Uquillas, 1986). Roads have been foremost in providing
accessibility to these tropical forest lands and they have
had major influences in the colonization process, rural
development, and natural resource deterioration in the
region (Rudel & Horowitz, 1993; Hiroaka & Yamamoto, 1980;
Rudel, 1983).
The Inter-Oceanic road, Ecuador's main route towards
the eastern forest frontier, was built in 1970 to serve the
oil industry in the Amazon (Uquillas, 1986; Hiroaka &
Yamamoto, 1980). This road runs within 5 km of the southern
and eastern limits of the Cayambe-Coca Ecological Reserve
(CCER), a protected area established during the same year
(Fundaci6n Natura, 1992a, 1992b). Since its construction,
forest lands have been progressively settled by colonist
2
farmers (Hiroaka & Yamamoto, 1980; Fundaci6n Natura 1992b;
Rudel & Horowitz, 1993). The outcome of 25 years of
agricultural colonization has not been encouraging. In
areas along the CCER, problems of low agricultural yields,
poor rural development, poverty, loss of forest resources,
and encroachment into reserve lands have ensued (Proyecto
SUBIR, 1992; Fundaci6n Natura, 1992a, 1992b; INEFAN 1993).
In forest frontiers of developing nations,
environmental, agricultural and socioeconomic problems are
common (Theile, 1993; Bebbington, 1990; Collins, 1986;
Findley, 1988; Moreno & McKay, 1984; Schmink & Wood, 1984).
Because of a growing concern about the unfavorable
environmental and social circumstances commonly associated
with agriculture and land use changes in tropical regions
(Plucknett, 1993; Paarlberg, 1994), international and
national agricultural research institutions are focusing
their attention on this problem and they are developing
strategies to improve production systems and livelihoods
while maintaining the natural resource base (Plucknett,
1993).
In light of current population growth trends in most
tropical nations, the production and supply of food and
other resources is expected to increase from these regions
(Paarlberg, 1994). On the other hand, deforestation and its
links to loss of biodiversity and possible global warming
3
discourage increased forest clearing for agriculture
(Paarlberg, 1994; Plucknett, 1993). Problems in forest
frontiers occur and should be analyzed across different
scales of space and time from farm, to regional, national
and even international levels (Skole et al., 1994; Collier
et al., 1994). The complex set of social, cultural,
political, economic and ecological aspects associated with
rural development and environmental degradation in tropical
forests has called for multi-disciplinary efforts and
strategies such as "sustainable and integrated development".
In colonization zones of the Ecuadorian Amazon, goals
and strategies directed toward improving production and
conserving natural resources have already begun to be
discussed and investigated. Among the most popular rural
development and conservation strategies being promoted in
the Ecuadorian Amazon, including the CCER region, are
improved agrosilvicultural and silvopastoral systems and the
sustainable extraction of timber and non-timber forest
products (Cardenas 1993; Fundaci6n Natura, 1992a, 1992b;
INEFAN, 1993; Peck, 1990). Government organizations such as
the Ecuadorian National Institute of Forestry and Natural
Areas (INEFAN) and the Forestry Program of Sucumbios
(PROFORS), which are under the administration of the
Ministry of Agriculture and Livestock (MAG), and non-
government organizations, like Project SUBIR (Sustainable
4
Use of Biological Resources) and Green Hand Forestry
Foundation (FFMV), all have the common objective of
attempting to develop land use strategies that will preserve
biodiversity and promote sustainable use of natural
resources by colonist farmers (INEFAN, 1993; Boese, 1992;
Fundaci6n Natura, 1992a, 1992b; Niell, 1993). The
strategies pursued by these institutions mostly include
reforestation and agroforestry projects.
The success of rural development and resource
conservation strategies will most likely depend upon
multidisciplinary and multi-scale research being emphasized
by the scientific community. Many researchers stress the
value of diagnostic, problem-solving, and participatory
types of approaches to rural development, natural resource
management, and conservation in the tropics (Rocheleau,
1994, 1985; Touber et al., 1989; Edwards et al., 1993;
Williams, 1993; Sayer, 1991; Gomez-Pompa & Burley 1991;
Raintree, 1990a, 1990b,1984; Wood, 1988). The evaluation
and assessment of land and natural resource use by local
populations (from household to landscape levels) is
essential in planning and implementing many of these
projects and ensuring their feasibility, success, and
longevity (Rocheleau, 1994; Touber et al., 1989; Raintree,
1990b; Gomez-Pompa & Burley, 1991).
5
To begin with, it is important to determine the social,
economic and ecological characteristics of agricultural
systems and how these influence land use practices in forest
frontier zones. Studies of colonist farming systems in
Ecuador and their social and agricultural scientific bases
are scarce (Southgate et al., 1992). According to Boese
(1992), a considerable amount of research is necessary to
develop strategies that can be adapted to the vaguely
understood conditions in colonization zones of the Oriente.
Often, colonist farmers in the tropics are regarded as
the agents of deforestation and environmental degradation,
when in reality, they are responding to political, economic,
and ecological forces beyond their control. Roads, markets,
credit, land tenure, and policies can be associated with
environmental impacts by influencing colonist farmers'
decisions on land and natural resource use (Rudel &
Horowitz, 1993; Loker, 1993; Southgate et al., 1991;
Southgate, 1990; Uquillas, 1986; Collins, 1986; Hiroaka &
Yamamoto, 1980). These influences must be better understood
if environmental degradation and sustainable development
strategies directly involve colonist farmers.
Purpose of Study
Although a few research projects have described
colonist farming systems in the Oriente (Fundaci6n Natura,
6
1992b; Ramirez et al., 1992a; Pijnenburg & Portilla, 1991;
Estrada et al., 1988; INIAP, 1987; Hildebrand & Espinosa,
1982), research involving spatial and temporal analysis of
farming systems in colonization zones, use of natural
resources by colonist farmers, or gender issues is until now
very weak or lacking entirely. In the CCER region in
particular, the assessment of land use and production on
local colonist farming systems has been minimal. Moreover,
relationships of the colonization process on agricultural
practices and its impact on natural areas have been scarcely
investigated in this region.
Conditions such as remoteness (or proximity and access
to roads and markets) and stage of farm development, obvious
circumstances in colonization zones of the Ecuadorian
Amazon, have been discussed as influencing land use and
production in farming systems (Chala, 1981; Hildebrand &
Espinosa, 1982; INIAP, 1987; Feaster, 1970). Roads and
stage of settlement can have significant influences in
deforestation, rural development, degradation of natural
resources, agricultural production, forest use,
commercialization, markets, and the economy of colonization
zones, not to mention, the lives of the colonists (Rudel &
Horowitz, 1993; Loker, 1993; Southgate et al., 1991;
Southgate, 1990; Uquillas, 1986; Collins, 1986; Hiraoka &
Yamamoto, 1980). These differences may be relevant to the
7
adoption and success of sustainable development strategies
that are being promoted for colonist farmers in the region.
However, many of these specific differences have not been
quantified or assessed.
This study describes farming systems of the Aguarico
sector, a colonization zone along the Inter-Oceanic road,
and evaluates spatial and temporal differences in their
characteristics with reference to distance from the road and
age of settlement or farms. Socioeconomic, land use,
agricultural production, and tree use characteristics of
farming systems are assessed and discussed in the contexts
of rural development, natural resource conservation, and
management and protection of the CCER.
The purpose of this study was to fill some of the gaps
in current farming systems research in colonization zones of
the Ecuadorian Amazon and provide an agroecological
evaluation for the Aguarico sector in the CCER. Hopefully,
this thesis will serve as an information tool for the
development of successful conservation and development
strategies and the protection of natural areas in the
region.
Location of the Aguarico Sector
The CCER, a 403,313 ha reserve, covers a large portion
of the eastern slope of the Andes in northern Ecuador and
8
descends into the lowlands of the Oriente. Altitude spans
from 500 m to 5000 m, and the reserve encompasses the snow-
capped volcano, Cayambe. Vegetation zones in the CCER
include alpine plains (paramos), dwarf scrub forests
(matorral), high elevation tropical forests (ceja de
montana), and lower elevation forests. The Aguarico sector
is located in the northeastern portion of the CCER at the
foothills of the Andes between 0005'S and 0010'N latitude
and 77023' and 77030' W longitude (Figure 1-1) and contains
lower elevation forests.
This sector of the CCER is important since it contains
colonized areas along the Inter-Oceanic road and the Due and
Aguarico Rivers. It comprises extensive areas of the
Parroquias Puerto Libre and Lumbaqui of the Cant6n Gonzalo
Pizarro (2284 km2) in Ecuador's northeastern province of
Sucumbios (Fundaci6n Natura, 1992b; INEFAN, 1993). The town
of Lumbaqui is the largest populated center and the head of
the Cant6n. Small rural towns, Gonzalo Pizarro, Amazonas,
and El Cisne are located along the road in the Aguarico
sector. In addition, the Aguarico sector contains a
Quechua-Quijos Indian community called Chuscuyacu and a
Cofan Indian community, Comuna Sinangue.
Puerto Libre
Aguarico River
Lumbaqui
Figure 1-1. Map of the CCER and Aguarico Sector
10
The study focused on farms in three sections of the
colonized zone in the Aguarico sector, one next to the
Inter-oceanic road and the other two on mule trails along
the Due River, Figure 1-2. A census of farms and their
approximate delimitations within the study area were
obtained at the Ecuadorian Institute for Agrarian Reform and
Colonization (IERAC) office in Baeza and updated with help
of a local informant. These are shown in Figure 1-2.
The first section (Section 1) is along the road between
Km 58 and Km 80 on the side bordering the CCER, and it is
occupied mostly by "independent" colonist farmers and
farmers belonging to the Precooperativa Rio Coca. This is
the oldest section with most of the farms established 20 to
25 years ago.
A second section (Section 2) consists of farms settled
along a mule trail which starts after the Due River foot
bridge (500 m from the road on Km 64.5) and extends in a
northerly direction following the course of the Due River up
to the Aguarico River. This trail serves colonist farmers
of the Precooperativa Rio Due and the mostly Quechua-Quijos
Indian community, Chuscuyacu. This section contains
agricultural areas colonized mostly between 15 and 20 years
ago. The Comuna Sinangue, which is by the Aguarico river
I.'= a KmM
QUITO-LAGO AGRIO ROAD
1k.
l Suaueyed Farm
X Ugetation Tranaect
I .-hI*h .
Figure 1-2. Location of surveyed farms and vegetation
transect.
12
about 18 km from the road, can be reached by mule trails
from the second section. This comuna is inhabited mostly by
Cofan Indians.
The third section (Section 3) includes colonist farms
settled along another mule trail which also starts after the
Rio Due footbridge but heads in a northwestern direction.
This trail serves colonist (and indigenous) farmers of the
Precooperativas Chiguapeia and San Pedro del Chaco (or El
Chaco). It is the most recently colonized section with most
farms established during the last 10 years but mainly after
the 1987 earthquake that hit this region.
Both mule trails extend more than 10 km from the road
and extend into the limits of the CCER. Trails are actually
a series of trails that branch off into different farms or
split up from a main trail and run parallel to one other.
These patterns were found in both mule trail sections of the
study area (Sections 2 and 3). Because of the hilly
terrain, rainy weather, and heavy traffic, trails were
deteriorated and difficult to travel. Travel time on foot
ranged from 1.5 to 2 km per hour.
In the Aguarico sector, indigenous families are
considered "colonist" farmers since they also arrived no
longer than 26 years ago to occupy plots intervened through
IERAC. Moreover, they are involved in the market economy
13
together with non-indigenous (mestizo, black, etc.) farmers.
The reasons chosen for selecting these three sections
in the study area are
1. More homogeneity in ecological factors such as climate,
altitude, and vegetation type.
2. Differences in ages of settlement between the three
sections.
3. Closeness to the boundary of the CCER.
4. Inaccessibility of vehicles to farms across the Due
River.
Hypotheses
The basic hypothesis is that farming systems in a
colonization zone bordering the CCER will vary according to
distance to the primary road and age of the farm. In farms
that are more remote and/or more recent, socioeconomic
conditions should be poorer because of more transportation
and market constraints and perhaps unfavorable credit,
labor, capital and land tenure conditions. Specific
hypotheses are that relationships exist among
1. Land use on colonist farms and proximity to the road
and/or age of farm settlement.
a) remote or recent farms have more land cultivated
with subsistence crops, less area under cash crop
production, and more forested land.
14
b) remote or recent farms have less area in pastures,
less cattle, and lower stocking rates (ha/head) than
farms along the road.
c) farms along the road have more land under cash
crop production, larger areas in pasture, more
deforested areas and less forested land.
2. Agroforestry practices and types (timber, fruit,
firewood, medicinal, others) and purposes (cash or
subsistence) of tree species and products used by households
and proximity to the road and/or age of the farm.
a) agroforestry practices and trees utilized by
households in remote areas or recently established
farms are focused on food, timber, and fuelwood for
household needs.
b) agroforestry practices and trees utilized in farms
along the road or older farms are focused on timber
and fruit species for cash.
3. Gender and their labor and household contributions on
colonist farms.
a) women manage or control crops, trees and small
livestock mostly for subsistence needs.
b)men manage or control crops, trees and cattle for
household cash needs.
15
Objectives
1. Describe socioeconomic and agricultural characteristics
of colonist farming systems in the Aguarico Sector of the
CCER.
2. Identify tree species and agroforestry practices used by
colonist farmers in the Aguarico sector of the CCER.
3. Examine differences in land use, agroforestry practices,
and utilization of trees between farms located along the
road and farms.along mule trails up to 10 km from the road.
4. Characterize gender roles in colonist farming systems.
Procedures
Farm Surveys
This study was based on structured household interviews
conducted during farm visits. A survey form was used to
record information quickly and efficiently, Appendix 1.
Surveys were conducted during the months of May, June and
July of 1994.
Basic information of farms such as location, distance
from the road, and age were obtained from maps and records
at the IERAC office in Baeza. Walking distances along
trails were also measured with a pedometer. Male and/or
female head of households (or other important adult
household members) were asked to provide information on
15
Objectives
1. Describe socioeconomic and agricultural characteristics
of colonist farming systems in the Aguarico Sector of the
CCER.
2. Identify tree species and agroforestry practices used by
colonist farmers in the Aguarico sector of the CCER.
3. Examine differences in land use, agroforestry practices,
and utilization of trees between farms located along the
road and farms.along mule trails up to 10 km from the road.
4. Characterize gender roles in colonist farming systems.
Procedures
Farm Surveys
This study was based on structured household interviews
conducted during farm visits. A survey form was used to
record information quickly and efficiently, Appendix 1.
Surveys were conducted during the months of May, June and
July of 1994.
Basic information of farms such as location, distance
from the road, and age were obtained from maps and records
at the IERAC office in Baeza. Walking distances along
trails were also measured with a pedometer. Male and/or
female head of households (or other important adult
household members) were asked to provide information on
15
Objectives
1. Describe socioeconomic and agricultural characteristics
of colonist farming systems in the Aguarico Sector of the
CCER.
2. Identify tree species and agroforestry practices used by
colonist farmers in the Aguarico sector of the CCER.
3. Examine differences in land use, agroforestry practices,
and utilization of trees between farms located along the
road and farms.along mule trails up to 10 km from the road.
4. Characterize gender roles in colonist farming systems.
Procedures
Farm Surveys
This study was based on structured household interviews
conducted during farm visits. A survey form was used to
record information quickly and efficiently, Appendix 1.
Surveys were conducted during the months of May, June and
July of 1994.
Basic information of farms such as location, distance
from the road, and age were obtained from maps and records
at the IERAC office in Baeza. Walking distances along
trails were also measured with a pedometer. Male and/or
female head of households (or other important adult
household members) were asked to provide information on
16
household characteristics, land use and production, and
utilization of trees on farms.
Socioeconomic information included: household
composition, length of household residency, type of farm
acquisition, place of origin, land tenure, ownership of
additional farms, household and hired labor utilization,
involvement in off-farm labor, and availability of credit
and extension services on farm. Information on land use and
agricultural characteristics included: farm size, total
area cleared, areas under different types of land uses
(crops and pastures), area in fallow, crop and livestock
production and management, transportation and marketing
methods. Information on tree use by households included:
trees identified by the household on farm, type of use, type
of management, and species numbers and densities if
possible. Data collected on socioeconomic characteristics,
agricultural production, and land and tree use on farms are
based on the farmer's or household's knowledge and criteria.
Households were interviewed in a total of 50 farms
visited within the study area and shown in Figure 1-2.
Within Section 1 along the road, 21 farms were visited. In
Section 2, along the Playas del Due-Chuscuyacu trail, 18
farms were visited, and in Section 3, on the Chiguapeia-El
Chaco trail, 11 were visited. The farms visited were
selected at random from the population of censused farms
17
stratified into three distance categories from the road: by
the road (0 km), between 1 and 5 km from the road, and more
than 5 km from the road. Correspondingly, samples were
obtained from 21 farms along the road, 15 farms between 1
and 5 km from the road, and 14 farms more than 5 km from the
road.
Sections 2 and 3 were scouted by foot and Section 1 by
automobile in order to find the randomly chosen farms and
their respective households. These households were
approached and an interview with an adult member (usually
the male or female head of household) was requested by the
researcher. If they were not free or present, an
appointment was made for a later trip. When scouting
Sections 2 and 3, distances of farms from the road were
measured with a pedometer. By the end of the study, almost
50% of the population of farms in the three sections of the
study area was surveyed and over 50% of the farms in section
2 and 3 was surveyed.
Statistical comparisons were made between farms for the
three distance categories from the road (by the road or 0
km, 1-5 km, > 5 km) and for the three settlement age
categories within the study area (the oldest, along the road
or Section 1; the intermediate, Playas del Due-Chuscuyacu or
Section 2; and the most recent, Chiguapefa-El Chaco or
Section 3). In this manner, relationships between distance
18
from the road and age of settlement could be evaluated.
Kruskal-Wallis statistics (X2 approximation) were used
as tests of independence for interval level data recorded
(e.g., ages of farm, areas of land use and household
numbers). Sample size (n), means, and standard deviations
(SD) are presented for interval data, and the results from
Kruskal-Wallis tests are presented as; x2=chi-square and
p=significance level. Nominal data are presented as
percentages of the particular sample. Fisher's exact test
was used to compare nominal data recorded (e.g. places of
origin, type of land tenure, credit status). Results from
Fisher's exact test are presented as p=significance level.
Multiple regressions and analysis of variance were also
employed to determine relationships of land use,
specifically with respect to independent variables of
distance from the road, age of farm and size of farm. These
are presented with prediction equations of regression lines,
r2=coefficient of determination, F-test, and p=significance
of F. SAS (SAS Institute Inc., 1988) was used for the
analysis of Kruskal-Wallis and Fisher's exact statistics.
Quattro Pro 6.0 was used to determine regression statistics
and analysis of variance.
Additional Interviews
Interviews with women in households of colonist farming
systems were conducted to determine their specific roles and
contributions. A separate questionnaire was designed to
gather this information from interviewed female heads of
household. Seventeen formal interviews were conducted with
women in the study area.
Informal interviews were conducted with CCER park
rangers and the INEFAN forestry official for the area on the
subjects of timber extraction and marketing systems, state
regulations and permits for timber harvesting by farmers,
and problems of reserve encroachment and illegal timber and
wildlife harvesting. In addition, several local merchants
including intermediaries and a carpentry shop owner were
also questioned about relevant topics.
Information on agroforestry projects in the Aguarico
sector were obtained from the INEFAN office at the Lumbaqui
agroforestry experimental farm and from the FFMV office in
Cascales which also provided the list of farmers involved in
their agroforestry program, the area of project agroforestry
systems established on farms, and number and types of trees
planted by a few farmers.
The Cofan Comuna SinangUe, along the Aguarico River,
was visited and informal interviews were conducted with the
20
local INEFAN park ranger, the Comuna vice-president, and a
resident farmer who also served as a guide. Information on
agriculture, land use, and plant use (including trees) in
Sinangie was obtained from the visit.
Vegetation Transects
Vegetation transects were included toward the end of
the study to evaluate the structure and composition of
different agricultural systems on colonist farms, Figure
1-2. Tree and crop components were identified and measured
within pasture and crop systems, and in natural forest areas
as well. Most transects were done on farms which had been
surveyed, although a few were not. Transects were done on
14 farms. Five farms were located by the road and 9 along
mule trails. A representative sample of transects in
different agroecosystems and distances from the road was
obtained.
Within the transects of 50 m x 2 m (100 m2 or .01 ha)
all cultivated plants (coffee, cassava, plantains, etc.) and
all trees (naturally regenerating or planted) greater than 1
m in height were tabulated and measured for height and
diameter. Samples of unidentified species were collected
and preserved for later identification following procedures
recommended by the National Herbarium of Ecuador in Quito.
In total, 32 transects were done: 10 transects on farms
21
along the road, composed of 6 in pastures and 4 in crop
systems; 20 transects on farms along mule trails, composed
of 8 in pastures and 12 in crop systems (half of these
transects were located at distances greater than 4 km from
the road); and 2 transects in natural forest. Location of
transects are shown in Figure 1-2.
Outline of Thesis
Chapter 2 presents background information that
describes agricultural colonization and deforestation in the
Ecuadorian Amazon and its related problems. Important
factors involved in these processes such as population
growth, land reform, oil production, and government policies
are considered. In addition, the plans, strategies, and
projects currently adopted in the region to resolve the
problems associated with conservation and sustainable
development are discussed.
Chapter 3 provides a biophysical and socioeconomic
description of the study area. It is a synthesis of site-
specific information from the literature on many aspects of
the natural, social, economic, and agroecological
environments.
Chapter 4 characterizes colonist farming systems in the
Aguarico sector. Socioeconomic characteristics of the study
area are presented and analyzed, and a brief description of
22
gender roles in colonist households is given. In addition,
land use and agricultural production on colonist farming
systems of the study area are described. Differences and
comparisons between groups of farms based on location in
reference to the road and age of settlement are discussed.
Chapter 5 describes tree use and agroforestry practices
by colonist farmers. In addition, agroecosystem vegetation
structure is presented. These characteristics are also
analyzed among households at different locations from the
road and stage of farm settlement. These results are
discussed in relation to agroforestry and reforestation
strategies currently pursued in the region.
Chapter 6 offers some conclusions and recommendations
in light of the information provided throughout the
manuscript.
CHAPTER 2
BACKGROUND INFORMATION
Deforestation and Agricultural Colonization In the
Ecuadorian Amazon
Who's Cutting the Forest
For the most part, deforestation in the Latin American
tropics has been a consequence of agricultural colonization.
Almost 88% of forest clearing in the Amazonian region of
Andean countries (Bolivia, Colombia, Ecuador and Peri) is
caused by colonization (Mertins, 1991). In the northeastern
province of Sucumbios in the Ecuadorian Amazon, up to 96% of
the annual 43,521 hectares of primary forest cleared from
1977 to 1985 was the result of agricultural expansion of
colonist farms (crops and pastures), 60% of which has been
characterized as "recently colonized" (INEFAN, 1993). This
percentage excludes land utilized for large-scale
plantations or industrial crops like African oil palm
(Elaeis auineensis), and it dispels many of today's
prevalent myths that deforestation in Ecuador's forests is a
direct result of large-scale timber exploitation or oil
exploration and extraction by foreign companies. However,
CHAPTER 2
BACKGROUND INFORMATION
Deforestation and Agricultural Colonization In the
Ecuadorian Amazon
Who's Cutting the Forest
For the most part, deforestation in the Latin American
tropics has been a consequence of agricultural colonization.
Almost 88% of forest clearing in the Amazonian region of
Andean countries (Bolivia, Colombia, Ecuador and Peri) is
caused by colonization (Mertins, 1991). In the northeastern
province of Sucumbios in the Ecuadorian Amazon, up to 96% of
the annual 43,521 hectares of primary forest cleared from
1977 to 1985 was the result of agricultural expansion of
colonist farms (crops and pastures), 60% of which has been
characterized as "recently colonized" (INEFAN, 1993). This
percentage excludes land utilized for large-scale
plantations or industrial crops like African oil palm
(Elaeis auineensis), and it dispels many of today's
prevalent myths that deforestation in Ecuador's forests is a
direct result of large-scale timber exploitation or oil
exploration and extraction by foreign companies. However,
CHAPTER 2
BACKGROUND INFORMATION
Deforestation and Agricultural Colonization In the
Ecuadorian Amazon
Who's Cutting the Forest
For the most part, deforestation in the Latin American
tropics has been a consequence of agricultural colonization.
Almost 88% of forest clearing in the Amazonian region of
Andean countries (Bolivia, Colombia, Ecuador and Peri) is
caused by colonization (Mertins, 1991). In the northeastern
province of Sucumbios in the Ecuadorian Amazon, up to 96% of
the annual 43,521 hectares of primary forest cleared from
1977 to 1985 was the result of agricultural expansion of
colonist farms (crops and pastures), 60% of which has been
characterized as "recently colonized" (INEFAN, 1993). This
percentage excludes land utilized for large-scale
plantations or industrial crops like African oil palm
(Elaeis auineensis), and it dispels many of today's
prevalent myths that deforestation in Ecuador's forests is a
direct result of large-scale timber exploitation or oil
exploration and extraction by foreign companies. However,
24
roads built into forests specifically for these industries
have certainly enabled agricultural colonization.
Population Growth
Ecuador has the highest population density in South
America (36/km2) and the third highest annual growth rate
(2.5%). Demographic pressures on the forests of Ecuador
have been intense (Neill, 1993; Southgate & Whitaker, 1992).
The World Resources Institute's study on deforestation rates
in Latin America ranks Ecuador the second highest with a
rate of forest loss of 2.3% or 340,000 hectares per year
(Rudel & Horowitz, 1993; WRI, 1990). Relatedly, Ecuador
also has the second highest rate of growth in cropland and
pasture in Latin America (2%) through frontier expansion
(Southgate and Whitaker, 1992). Exacerbated by the unequal
distribution of resources, particularly land, in the
highlands and coastal regions, population pressures have
induced colonization into Ecuador's tropical forests
(Uquillas, 1986).
Demographic pressure is not the sole cause of
agricultural colonization and deforestation in the
Ecuadorian Amazon; there are many causes, which jointly,
have created and perpetuated these events. In fact,
agricultural colonization in the region is a phenomenon
linked among a set of interrelated political, economic,
25
social and environmental occurrences. Government policies
and economics are also obvious agents of colonization and
often responsible for many of the socioeconomic and
environmental consequences from national to farm levels.
Schmink and Wood's (1987) "political ecology" theory
explains how political and economic factors can induce
resource degradation and unfavorable socioeconomic
conditions in frontier zones. The Oriente is certainly a
region where politics and economics, along with population
pressures, have been very influential in the processes of
colonization and deforestation.
Land Reform
A history of inequality in land ownership and scarcity
of land in the highlands and coastal regions of Ecuador is
among the primary reasons for spawning colonization into the
Oriented. Ecuadorian land reform policies after 1964,
characterized as being "redistributive", basically consisted
in converting the large pre-capitalist estates into modern,
capitalist agriculture where only the underutilized lands
were expropriated (deJanvry, 1981). These policies left
things virtually unchanged in terms of land distribution and
availability.
From 1964 to 1969 only 1.1% of the land in farms became
part of the land reform which included barely 3.5% of the
26
peasantry (deJanvry, 1981). In 1960, landowning elites,
making up 0.3% of total families, owned 49.5% of the
agricultural land; peasant farmers, who constituted 80% of
total families, owned 16.6% of the land; and 10.9% of total
families were landless laborers (deJanvry, 1981). Still, in
1974, large estates over 100 hectares occupied 43.1% and
51.9% of farmland in the highlands and coast respectively
(Schodt, 1991).
Thus, the problems of landlessness and poverty in rural
areas were increasing with the growing population. As a
consequence, land reform policy in 1977 concentrated on the
colonization of the Ecuadorian Amazon. This increased the
number of medium-sized family farms between 20 and 100
hectares significantly in the region, and improved land
distribution for the nation as a whole (Schodt, 1991;
deJanvry & Helfand, 1990).
The Oil Boom
The construction of a road into the remote frontier
zone was by no means sparked by the macroeconomic interests
in the growth of the agricultural sector or to relieve land
distribution problems. The discovery of major petroleum
deposits in the Ecuadorian Amazon in 1967 shifted its
macroeconomic policy drastically and dominated Ecuadorian
politics during the decades of the 1970s and 1980s (Schodt,
27
1991; World Bank, 1990). In 1970, a 200 km road into the
region's oil fields was built in less than a year by the
Texaco-Gulf consortium operating with Petroecuador (Rudel,
1983; World Bank, 1990). The road facilitated the
construction of a trans-national oil pipeline from the
Amazon region to the coast (World Bank, 1990).
The oil boom of the 1970s and 1980s doubled Ecuador's
annual growth in gross domestic product to 9%, raising the
standard of living, employment, and growth in the public and
industrial sectors (Schodt, 1991). The Ecuadorian Amazon
became a region of economic and political importance to the
nation and an attractive region for development. Annual
rate of population growth in the Ecuadorian Amazon from 1974
to 1982 was 4.9 %, double the national average (Schodt,
1991; World Bank, 1990). Obviously, this represented the
massive wave of agricultural settlement that occurred in the
region as a result of access and development brought about
by the oil industry.
Policy and Institutions
Ironically, macroeconomic and price policies during the
oil boom discriminated against the agricultural sector,
discouraging the production of both traditional exports and
basic food crops (Schodt, 1991). At the same time, the
state was putting pressure to increase productivity in the
28
agricultural sector. Perhaps the most detrimental policy to
natural resources was a law implemented by the Ecuadorian
Institute for Agrarian Reform and.Colonization (IERAC).
IERAC's 1964 Law of Fallow Lands and Colonization, still in
effect, intended to increase agricultural production by
requiring landowners to "utilize" at least 50% of their land
to avoid expropriation (Uquillas, 1986 & 1984; Rudel &
Horowitz, 1993). Moreover, land titles were not given until
farmers cleared at least 10 ha during the first two years,
and paid IERAC a total of up to US$ 500 for the land and
delimitation fees (Hiroaka & Yamamoto, 1980). In the
Oriente, this meant rapid forest clearing and less land held
in reserve or put into fallow on colonist farms. Collins
(1986) argued that IERAC's policies were also conducive to
socioeconomic problems, mainly the failure of poorer
colonist farmers and social differentiation between
wealthier land owners and the landless poor.
Supposedly, colonist farmers in Ecuador's Amazonian
region were to receive government support through integrated
rural development programs (IRD) that would help build
infrastructure and provide agricultural extension and credit
(Rudel & Horowitz, 1993). The National Institute for the
Colonization of the Ecuadorian Amazon Region (INCRAE) was
created in 1978 to plan and administer these organized
29
colonization projects, but to this date, their
accomplishments are few and barely noticeable (Rudel &
Horowitz, 1993). In reality, IERAC has been providing land
titles (with high economic and environmental prices) to
spontaneously arriving colonists who must comply with the
law and who receive minimum, if any, assistance (Rudel and
Horowitz, 1993; Uquillas, 1986).
Agricultural Expansion and Production
Ecuador's strategy of increasing agricultural
production by putting more land into crops and pastures in
the frontier has been accompanied by decreases in the rate
of growth of yields. This has been demonstrated by
Southgate et al., (1992) to be a relationship common in all
Latin American countries undergoing agricultural expansion.
The low agricultural productivity characteristic in the
Oriente (and. in the nation as a whole) also reflects the
negligible amount of resources invested in agricultural
research, extension, and education (Southgate et al., 1992).
A combination of policies, lack of assistance, and low
productivity faced by colonist farmers in the Oriente have
resulted in increasing pressures on the natural environment
and an unfavorable socioeconomic environment.
30
Process of Natural Resource Degradation
The main agricultural practice implicated in the
degradation of land in tropical forests today has been the
shorter fallow periods used by farmers, most of them
shifting cultivators (Weischet & Caviedes, 1993; Thiele,
1993; Goldman, 1990). Traditionally, shifting cultivators
practiced a more sustainable land use system by cropping for
1 to 5 years on forested land and allowing much longer
fallow periods, from 15 to 40 years and even more (Weischet
& Caviedes, 1993; Thiele, 1993). This type of land use
system enabled the natural forest and soil to recover from
disturbance and regain fertility, and it greatly suppressed
pests, especially weeds (Weischet & Caviedes, 1993; Thiele
1993; Webster & Wilson 1980). Presently, under an array of
population, socioeconomic, and political pressures, many
farmers of the tropical forests are leaving areas fallow for
an average of only four years, converting deteriorating or
abandoned fields to pasture, and at the same time,
continuously clearing mature forests around frontier zones
(Weischet & Caviedes, 1993; Hecht & Cockburn, 1990; Gradwohl
& Greenberg, 1988). Weischet and Caviedes (1993) describe
the present shifting cultivation systems, the dominating
form of agriculture in the tropics, as "land demanding,
forest squandering, low yielding, and last but not least,
labor intensive" with a low population-supporting capacity.
31
This description is sobering considering population growth
rates, deforestation problems, and poverty commonly observed
in tropical forest frontiers.
Popenoe (1957), Nye & Greenland (1960), and Sanchez
(1976) were among the first to describe the generally poorer
soils of the humid tropics in terms of nutrient availability
and exchange capacity, demonstrating the impacts of
agriculture, the important role of fallows, and the close
relationship between the natural forest vegetation and soil
fertility. Since then, researchers like Jordan (1985),
Hartshorn (1980), Hecht (1981), and Uhl (1983, 1987) have
further demonstrated the complex nutrient cycles and forest
dynamics in rainforest ecosystems.
The highly weathered and leached soils caused by the
continuous wet and warm tropical climates result in low
nutrient availability and storing capacity. Productive
forests of tropical regions often grow on poor soils through
a close-knit nutrient cycling system maintained by a highly
adapted natural vegetation (Jordan, 1990). Once the forest
is cut, the nutrient-holding mechanism in these cycles is
disrupted increasing nutrient losses which occur at rapid
rates under tropical climate conditions. Nutrient inputs
from burning and fertilization are also quickly lost due the
low-exchange capacity of soils and high rainfall (Weischet &
Caviedes, 1993; Hecht & Cockburn, 1990).
32
The extent of nutrient loss and the ability of natural
vegetation to regenerate and recover its former productivity
and nutrient dynamics depend on the type and scale of land
use (Uhl & Nepstad, 1990; Uhl, 1983). Schneider et al.
(1991), for example have labeled the process of
transformation of tropical forests to crops then to pasture
and ultimately to degraded land as "nutrient mining." To
the contrary, farmers in the tropics who incorporate a high
diversity of crops including trees, allow the regeneration
and growth of forests with valuable resources, and leave
areas fallow for long periods have been called "natural
resource managers" (Alcorn, 1990a, 1990b; Anderson, 1990;
Posey & Balee, 1989; Denevan & Padoch, 1987). In a sense,
these farmers are imitating the nutrient-conserving
mechanisms and natural succession of tropical forest
ecosystems.
Colonization Process and Characteristics
Agricultural colonization in the tropics has been
described as having three stages (Salazar, 1986). In the
"pioneer" stage, the colonist lives off a subsistence
economy and there is hardly any infrastructure present.
During the "consolidation" stage, conditions improve as the
colonist adapts and an infrastructure begins to appear.
Finally, towns begin to get organized and an agricultural
33
economy is established in the "growth" stage. Each stage
can last from 5 to 10 years, and the success will depend on
the degree of development achieved by the colonists in the
colonization zone (Salazar, 1986).
In Panama and Pert, this process has been described as
first having an extractivee" phase when land and resources
are abundant and growth occurs in the zone, followed by an
"expulsive" stage when the area is already mostly cleared
and overused forcing some people to leave (Moreno & McKay,
1984; Aramburi, 1982). This type of pattern has also been
described by Thiele (1993) in a colonization zone of the
Bolivian Amazon.
A considerable amount of capital and labor is needed to
clear forests, put land into production, and develop farms.
Households must often wait before their land is producing
capital while they survive off subsistence activities. As a
result, the initial stages can be the most difficult and
have a high rate of failure (Salazar, 1986). Once a
commercial infrastructure is present and colonization zones
become developed, a common occurrence in many colonist farms
is the degradation of land and low productivity (Thiele,
1993; Bebbington, 1990; Moreno & McKay, 1984; Aramburu,
1982). As a consequence, many of the poorer farmers get
into debt and end up abandoning or selling their plots which
34
are typically taken over by wealthier farmers who convert
the land to pasture (Ruiz, 1991; Moreno & McKay, 1984).
The process of agricultural colonization in the
Ecuadorian Oriente has been for settlers to first occupy
land next to the roads in long elongated farm plots, usually
250 m x 2000 m in size which are delimited by IERAC (Hiroaka
& Yamamoto, 1980). Additional farms along mule trails are
then successively developed sometimes up to more than 10 km
from the road, usually forming parallel lines or rows
referred to as lines or respaldos (Rudel & Horowitz, 1993;
Hiraoka & Yamomoto, 1980). Rudel (1989, 1983) and Southgate
et al. (1991), discuss that the process of colonization in
the Oriente has been characterized by intense competition
for land and flow of resources between farmers and local
elites. Forests are being cleared continuously as a
strategy to secure property rights.
Recent settlements occupying the respaldos farthest
from the road usually encounter harsher transportation and
marketing constraints and more credit and land tenure
problems (Fundaci6n Natura, 1992b; Findley, 1988; INIAP,
1987; Collins, 1986; Hildebrand & Espinosa, 1982, Hiroaka &
Yamamoto, 1980; Feaster, 1970). At the same time, these
farmers quickly convert forest into pasture since it
requires less labor and capital, and cattle are easier to
35
"transport" compared to other market alternatives (Fundaci6n
Natura,. 1992b; INIAP, 1987; Hildebrand & Espinosa, 1982).
Fundaci6n Natura (1992b) claims that recent colonists
continuously clear around 4 ha of their plots each year. To
the contrary, others have noted that colonist farmers are
more restricted in land use and development capabilities due
to factors such as lack of capital, dependence on off-farm
labor, and labor requirements (Estrada et al., 1988;
Aramburi & Garland, 1986; Hildebrand & Espinosa, 1982).
Still, recent settlers may be clearing forests at a very
rapid rate during the initial stages in order to comply with
IERAC's land clearing requirement for titling.
Developed farms on the road tend to be more involved in
market production, especially of cattle, and deforestation
has been more intense (INIAP, 1987; Hildebrand & Espinosa,
1982). Colonization zones in the Ecuadorian Amazon have
been described as socially differentiated with poor and
wealthy landowners in a social environment not conducive to
organization and cooperation (Rudel, 1989; Collins, 1986;
Hiroaka & Yamamoto, 1980).
Conservation and Sustainable Development
Problems with "Sustainability"
Bebbington (1990) demonstrates how changing social,
political, and economic contexts in a Peruvian frontier zone
35
"transport" compared to other market alternatives (Fundaci6n
Natura,. 1992b; INIAP, 1987; Hildebrand & Espinosa, 1982).
Fundaci6n Natura (1992b) claims that recent colonists
continuously clear around 4 ha of their plots each year. To
the contrary, others have noted that colonist farmers are
more restricted in land use and development capabilities due
to factors such as lack of capital, dependence on off-farm
labor, and labor requirements (Estrada et al., 1988;
Aramburi & Garland, 1986; Hildebrand & Espinosa, 1982).
Still, recent settlers may be clearing forests at a very
rapid rate during the initial stages in order to comply with
IERAC's land clearing requirement for titling.
Developed farms on the road tend to be more involved in
market production, especially of cattle, and deforestation
has been more intense (INIAP, 1987; Hildebrand & Espinosa,
1982). Colonization zones in the Ecuadorian Amazon have
been described as socially differentiated with poor and
wealthy landowners in a social environment not conducive to
organization and cooperation (Rudel, 1989; Collins, 1986;
Hiroaka & Yamamoto, 1980).
Conservation and Sustainable Development
Problems with "Sustainability"
Bebbington (1990) demonstrates how changing social,
political, and economic contexts in a Peruvian frontier zone
36
cause farmers to adopt agricultural strategies and practices
that undermine the type of sustainability achieved through
traditional agroecological practices. The increase in
market orientation and integration among farmers, at the
expense of subsistence production, brings about drastic
changes in their agricultural practices and often
instability in their lives (Bebbington 1990). Farming
households become more dependent on external inputs with
often fluctuating costs and availability and on the prices
of agricultural products which also vary considerably,
adding greater risks to their livelihoods (Bebbington,
1990).
The ability of farmers to survive and be
socioeconomically sustainable depends on factors such as
land control patterns, power of intermediaries to determine
prices, markets and economy at the national and
international levels, inflation rates, and the amount of
capital accumulated (Bebbington, 1990). In this
socioeconomic context, resource poor farmers have been
discouraged from practices that promote agroecolgical
sustainability, and conservationists have found it extremely
difficult to sustain natural resources in colonization
zones.
In the Ecuadorian Amazon, the socioeconomic environment
(markets, transportation and commercialization
37
infrastructure, policies, labor, credit, land tenure, rural
development stage, and agricultural research and extension)
tends to strongly influence farmers' land uses and
practices. Although these practices often result in
degraded lands, they tend to be the most economically
rational or possible considering their socioeconomic
environment and constraints (Bebbington, 1990; Loker, 1993).
Colonization and Protected Areas
Conservation problems are intensified when colonization
zones are adjacent to and begin to invade protected areas
like the CCER. The CCER is certainly not alone in this
predicament; five national parks or reserves have territory
in the Oriente. The Cuyabeno Faunistic Reserve and
Limoncocha Biological Reserve in the northeastern Oriente
and the Sangay National Park with territory in the central
Oriente have also been suffering from invasion by colonists
(INEFAN, 1993; Rudel & Horowitz, 1993). Human and capital
investment in the protection of the parks and reserves have
been too low to be able to be useful. The number of staff
in charge of protecting and managing these reserves is
extremely small in relation to the area they occupy. In the
CCER, for example, there are more than 18,000 hectares per
staff member in charge (Southgate & Whitaker, 1992). IERAC
supposedly is not allowed to issue land titles within
38
protected areas or evict the invaders, yet these farmers
still claim their legal rights to the land through other
channels (INEFAN, 1993). Thus, the reserve personnel are
taking on a virtually impossible job.
Aaroforestry and Sustainable Development
In recent decades, there has been a growing interest in
agroforestry for sustainable development. This is due to
the acclaimed potentials of agroforestry often mentioned in
the literature. These potential include improving farm
production of cash and/or subsistence goods and enhancing
the sustainability of agricultural systems (e.g. Peck, 1984,
Vergara, 1987; Swaminathan, 1987; Soemarwoto, 1987;
MacDicken, 1990; MacDicken & Vergara, 1990). Moreover, it
is discussed as a possible means to reduce deforestation and
manage buffer zones around core protected areas (Nair, 1993;
Peck & Bishop, 1992; Sayer, 1991; Peck, 1984).
Agroforestry development today is concerned with goals
of diversifying farm production, improving the availability
of needed agricultural and tree products, relieving pressure
on conservation areas, sustaining agricultural production on
fragile lands with poor economic development and prevalence
of low-input farming systems, and contributing to the
rehabilitation of degraded land (Wiersum, 1990). Indeed,
the main emphasis toward sustainable rural development,
39
reforestation, and conservation of natural resources in the
Oriente has been in agroforestry (Cardenas, 1993).
At this stage, most of agroforestry's potentials have
been deduced by experience or qualitative observations but
not experimentally, and many systems, both indigenous and
improved, have not been realistically assessed (Nair, 1993;
Sanchez, 1987). Agroforestry development goals are often
difficult to achieve with small farmers in colonization
zones who usually have scarce labor and capital resource and
insecure tenure, and they are principally concerned in
clearing extensive forest areas and focusing in pasture
development for cattle. Hecht (1993) argues that for small
farmers in colonization zones of the Latin American tropics,
cattle raising is the most rational way of using large areas
of land for longer periods of time, accumulating capital,
and retaining value on farms, and it is a much more
attractive farm development option than agroforestry. The
fact that many indigenous farmers in the Ecuadorian Amazon
abandon traditional agroforestry practices to pursue cattle
raising reflects the present socioeconomic realities in
colonization zones (Uquillas et al., 1992b).
The reasoning behind the agroforestry strategy is based
on the agroecological argument that by intercropping
valuable trees and annual crops agroecosystem diversity is
40
increased. This can improve efficiencies in the use of
resources (soil, nutrients, water, light, energy, space,
plants, genes, labor) and other biological interactions
(biological pest control, nitrogen fixation, mulching)
(Vandermeer, 1993; Torquebiau, 1992; Alcorn, 1990a; Nair,
1990). By resembling tropical forests, these systems are
considered more ecologically sustainable or stable for the
these regions (Ewel, 1986). Many traditional and indigenous
agroforestry systems described in the humid tropics provide
good indications of the ecological sustainability achieved
by using a high diversity of crops and trees, managing
fallows, and imitating natural forests (e.g. Peck, 1984;
Padoch & deJong, 1987; Alcorn, 1990a, 1990b; Subler & Uhl,
1990; Gliessman, 1993; Padoch & Peters, 1993; Anderson,
1990; Denevan & Padoch, 1987; Posey & Balee, 1989). The
benefits of trees in providing shade, improving light use
efficiency, maintaining soil organic matter, promoting
nutrient cycling, and reducing erosion are strongly
implicated in the sustainabliity of these systems, but this
may not always be the case (MacDicken & Vergara, 1990).
Again, there is has not been adequate experimental research
concerning the actual role and benefits of tree components
in different agroforestry systems in either ecological or
socioeconomic respects (MacDicken & Vergara, 1990; Nair,
1993).
41
Agroforestry has already been adopted by a few projects
as a strategy to improve agricultural production and
decrease deforestation in the Oriente. Plan Bosque, which
started in 1985, provided loans for tree planting and
extension services for two years to help with preparation,
planting, and maintenance. If the farmer succeeds in
establishment, the state forestry agency pays off the loan
and interest, and the farmer repays the loan without
interest to the government after the harvest, ten to twenty
years later (Gradwohl & Greenberg, 1988). However, most
colonist farmers find it difficult and risky to obtain
loans, especially when they face an uncertain responsibility
of having to pay off the loan with interest if their
planting project fails in the first two years.
An agroforestry project in Coca, located in the middle
of the Oriente, was carried out with USAID support from 1985
to 1990 and established on-farm demonstrations based on
traditional systems (Peck, 1990). Valuable timber species
managed from natural regeneration (mostly Cordia alliodora
or Laurel) were grown with coffee (Coffea canephora var.
robusta) and in pastures. Coffee plants were pruned and
intercropped with a ground cover forage legume Desmodium
ovalifolium (Ramirez et al., 1992a and 1992b; Peck & Bishop,
1992; Peck, 1990). The project was able to indicate that
42
productivity and longevity of these experimental
agroforestry systems was increased substantially; moreover,
the production of timber on farms would be double or triple
that of primary forests, thus reducing pressures on natural
forests and deforestation rates (Ramirez et al., 1992a,
1992b). The high adoption rate of these improved
agroforestry systems found among farmers in the Coca region
has been encouraging (Ramirez et al., 1992a, 1992b; Uquillas
et al., 1992a, 1992b).
An experimental farm has been established near the CCER
through the Lumbaqui agroforestry project which is directed
and conducted by MAG, INEFAN, PROFORS, and GTZ (Deutsche
Gesellschaft fur technische Zusammenarbeit). This project
set up a tree nursery as well as agrosilvicultural
demonstrations and investigations on the experimental farm
with different potential fruit and timber species, mostly
native (Boese, 1992). Presently, however, the nursery is
not being kept up and barely used, and apparently it will be
discontinued. This project has been involved in educating
local farmers about the value of trees and setting up
agroforestry systems on their farms by encouraging farmers
to plant and grow trees (PROFORS, 1993a, 1993b). Currently,
the Lumbaqui agroforestry project is being continued by an
NGO, Fundaci6n Forestal Mano Verde (FFMV) in association
with PROFORS. FFMV and PROFORS are now promoting improved
43
agroforestry systems on colonist farms through agroforestry
extension agents who try to secure tree planting contracts
with farmers for a small amount of cash (FFMV, 1993a,
1993b).
However, government institutions and NGOs have not
identified many important socioeconomic and environmental
factors of colonist farming systems that often can interfere
with the success of these projects. In fact, farming
systems research and participatory on-farm experimentation
of agroforestry systems on colonist farms are not being
conducted. The oversight of socioeconomic conditions or
cultural factors (markets, policies, labor, gender
differences, household needs and preferences, etc.) has-been
a typical reason for the failure of some agroforestry
projects worldwide (Saxena, 1992; Dove, 1992; Godoy, 1992;
Chambers & Leach, 1989; Hosier, 1989; Jones, 1988;
Tschinkel, 1987). According to Rocheleau et al. (1980),
ethnobotanical and agroecolgical research are essential for
the development of agroforestry projects. In addition,
Little (1985) emphasizes the need to recognize regional
socioeconomic contexts that may influence local farming
systems and their development. Consequently, due to the
wide variety of environmental and socioeconomic conditions
involved, there has been an emphasis lately on the "site-
44
specificity" needed for agroforestry planning and
development (Raintree, 1987; Nair, 1993).
CHAPTER 3
DESCRIPTION OF THE AGUARICO SECTOR
Natural Environment
Topoaraphy and Hydroloav
The Aguarico sector varies from 500 m to 1200 m in
elevation (Fundaci6n Natura, 1992b). It is part of the
Lumbaqui plains where the terrain levels out into the Amazon
basin, containing steeper terrain with higher hills (800 to
1200 m) towards the west and alluvial plains (500 m) and low
rounded hills (600 to 800 m) in the east. This sector of
the CCER contains the headwaters of the Aguarico River which
drains into the Napo River, a tributary of the Amazon. The
Due River, which makes a conspicuous sharp bend before
draining into the Aguarico River, also runs through the
Aguarico sector. These rivers are still fast and turbulent
from their steep descent down the slopes of the Eastern
Andes. Deep canyons and ravines are carved by them
throughout the sector. Fast-running creeks and streams are
also ubiquitous.
CHAPTER 3
DESCRIPTION OF THE AGUARICO SECTOR
Natural Environment
Topoaraphy and Hydroloav
The Aguarico sector varies from 500 m to 1200 m in
elevation (Fundaci6n Natura, 1992b). It is part of the
Lumbaqui plains where the terrain levels out into the Amazon
basin, containing steeper terrain with higher hills (800 to
1200 m) towards the west and alluvial plains (500 m) and low
rounded hills (600 to 800 m) in the east. This sector of
the CCER contains the headwaters of the Aguarico River which
drains into the Napo River, a tributary of the Amazon. The
Due River, which makes a conspicuous sharp bend before
draining into the Aguarico River, also runs through the
Aguarico sector. These rivers are still fast and turbulent
from their steep descent down the slopes of the Eastern
Andes. Deep canyons and ravines are carved by them
throughout the sector. Fast-running creeks and streams are
also ubiquitous.
CHAPTER 3
DESCRIPTION OF THE AGUARICO SECTOR
Natural Environment
Topoaraphy and Hydroloav
The Aguarico sector varies from 500 m to 1200 m in
elevation (Fundaci6n Natura, 1992b). It is part of the
Lumbaqui plains where the terrain levels out into the Amazon
basin, containing steeper terrain with higher hills (800 to
1200 m) towards the west and alluvial plains (500 m) and low
rounded hills (600 to 800 m) in the east. This sector of
the CCER contains the headwaters of the Aguarico River which
drains into the Napo River, a tributary of the Amazon. The
Due River, which makes a conspicuous sharp bend before
draining into the Aguarico River, also runs through the
Aguarico sector. These rivers are still fast and turbulent
from their steep descent down the slopes of the Eastern
Andes. Deep canyons and ravines are carved by them
throughout the sector. Fast-running creeks and streams are
also ubiquitous.
Climate
Heavy rainfalls are typical along the foothills of the
Andes where cool air collides against hot air masses coming
from the Amazon Basin. Annual rainfall averages of over
6000 mm are typical in areas like El Reventador at 1500 m
(INEFAN, 1993; Fundaci6n Natura, 1992b). Mean annual
temperature and rainfall recorded in Lumbaqui (450 m above
sea level) are around 240C and 5400 mm respectively, and
relative humidity hovers at about 80% (Boese 1992). There
is no distinct dry season in the Aguarico sector. Monthly
rainfall is over 300 mm throughout the year with highest
rainfall occurring from March to July and November to
December (Boese, 1992). Temperatures can vary considerably,
getting as low as 180C (INEFAN, 1993).
Soils
The soils in the study area belong to the order
inceptisol (Fundaci6n Natura, 1992b). They consist of
Dystropepts on hill slopes, Dystrandepts on hill tops and
plateaus, and Tropaquets on alluvial planes (Boese, 1992).
Dystropepts are acidic soils with low cation exchange
capacity, a depth of around 80 cm, and with drainage not
susceptible to swamping (Boese, 1992). Dystrandepts, which
are also acid, generally contain a layer of humus and cation
exchange capacity is good, but they are susceptible to water
Climate
Heavy rainfalls are typical along the foothills of the
Andes where cool air collides against hot air masses coming
from the Amazon Basin. Annual rainfall averages of over
6000 mm are typical in areas like El Reventador at 1500 m
(INEFAN, 1993; Fundaci6n Natura, 1992b). Mean annual
temperature and rainfall recorded in Lumbaqui (450 m above
sea level) are around 240C and 5400 mm respectively, and
relative humidity hovers at about 80% (Boese 1992). There
is no distinct dry season in the Aguarico sector. Monthly
rainfall is over 300 mm throughout the year with highest
rainfall occurring from March to July and November to
December (Boese, 1992). Temperatures can vary considerably,
getting as low as 180C (INEFAN, 1993).
Soils
The soils in the study area belong to the order
inceptisol (Fundaci6n Natura, 1992b). They consist of
Dystropepts on hill slopes, Dystrandepts on hill tops and
plateaus, and Tropaquets on alluvial planes (Boese, 1992).
Dystropepts are acidic soils with low cation exchange
capacity, a depth of around 80 cm, and with drainage not
susceptible to swamping (Boese, 1992). Dystrandepts, which
are also acid, generally contain a layer of humus and cation
exchange capacity is good, but they are susceptible to water
47
logging (Boese, 1992). Tropaquepts, are also characteristic
of aluminum toxicity and low organic matter content,
although they may be fertile in zones where fine alluvial
sediments have been deposited (Boese, 1992). Soil fertility
varies throughout the region due to the presence of volcanic
ash and alluvial deposits in different areas (Boese, 1992).
Vegetation
The Aguarico sector contains vegetation classified as
premontane wet tropical forest based on the Holdridge (1967)
life zone classification. These forests are taller than
30 m and are characteristic of high botanical diversity, but
valuable timber species are present in low densities
(Fundaci6n Natura, 1992b). Palms (Iriartea deltoidea,
Bactris aassipaes, Euterpe spp., Attalea spp., Geonoma spp.)
are common in the top strata of the forests among trees
including Copal (Protium spp.), Canelo (Nectandra spp.),
Sangre de Gallina (Virola elongata), and Cedro (Cedrella
odorata) (INEFAN, 1993). In the middle strata, species such
as Peine de Mono (Apeiba membranaceae), Caimitillo (Pouteria
spp.), Bamboo cane (Guadua anaustifolia) and tree ferns
(Cyathea spp.) can be found (INEFAN, 1993). Cacao de Monte
(Herrania spp.), Achiote (Bixa orellana) and Platanillo
(Heliconia spp.) are common in the understory (INEFAN,
1993). In addition, agricultural zones (cultivated land,
48
pasture, fallow, secondary forest) occur in colonized areas
along the sides of the Inter-oceanic road and the Due and
Aguarico Rivers (Fundaci6n Natura, 1992b). Secondary
forests often consist of Guarumo (Cecropia spp.), Laurel
(Cordia alliodora), Balsa (Ochroma pyramidales), and Aliso
(Alnus acuminata), the last growing commonly along river
banks. (INEFAN, 1993). Figure 3-1 is a 1982 aerial
photograph of a section of the Aguarico sector showing
forested and colonized areas.
Socioeconomic Environment
Population
After the Inter-oceanic road was built 25 years ago,
population began to grow significantly in the region. The
petroleum industry and the availability of land attracted
migrants from all over Ecuador (Fundaci6n Natura, 1992b).
Around 70% to 80% of the migrants come from the highlands,
particularly the provinces of Pichincha and Bolivar (Boese,
1993; INEFAN, 1993; Fundaci6n Natura, 1992b). Only between
14% and 18% of the population are originally from Amazonian
provinces and 6% to 14% come from the coast and other
regions (Boese, 1993, Fundaci6n Natura, 1992b). Surveys of
49 migrant families in the CCER conducted by Fundaci6n
Natura (1992b) showed that 53% migrated because of lack of
land in their place of origin, 26.5% migrated for economic
48
pasture, fallow, secondary forest) occur in colonized areas
along the sides of the Inter-oceanic road and the Due and
Aguarico Rivers (Fundaci6n Natura, 1992b). Secondary
forests often consist of Guarumo (Cecropia spp.), Laurel
(Cordia alliodora), Balsa (Ochroma pyramidales), and Aliso
(Alnus acuminata), the last growing commonly along river
banks. (INEFAN, 1993). Figure 3-1 is a 1982 aerial
photograph of a section of the Aguarico sector showing
forested and colonized areas.
Socioeconomic Environment
Population
After the Inter-oceanic road was built 25 years ago,
population began to grow significantly in the region. The
petroleum industry and the availability of land attracted
migrants from all over Ecuador (Fundaci6n Natura, 1992b).
Around 70% to 80% of the migrants come from the highlands,
particularly the provinces of Pichincha and Bolivar (Boese,
1993; INEFAN, 1993; Fundaci6n Natura, 1992b). Only between
14% and 18% of the population are originally from Amazonian
provinces and 6% to 14% come from the coast and other
regions (Boese, 1993, Fundaci6n Natura, 1992b). Surveys of
49 migrant families in the CCER conducted by Fundaci6n
Natura (1992b) showed that 53% migrated because of lack of
land in their place of origin, 26.5% migrated for economic
Figure 3-1. Aerial photograph of Aguarico sector in 1982
showing deforestation along the Inter-Oceanic highway and
Due river (Source: IGM, 1985).
50
reasons and 20.5% for family reasons. The 1987 earthquake
devastated the Aguarico sector and isolated the population
for a year causing some people to leave the area. Still,
the annual rate of population growth in the Parroquia
Lumbaqui from 1982 to 1990 was 5% (Fundaci6n Natura, 1992b).
Total population in the Cantdn Gonzalo Pizarro in 1990
was 4,472 (INEFAN, 1993). Parroquia Lumbaqui had a rural
population (excluding the town of Lumbaqui with 784
inhabitants) of 952 in 1990. Fifty-four percent of this
rural population is male (INEFAN, 1993). The Indigenous
Comuna Chuscuyacu, comprises a population of 120 and the
Comuna SinangUe has a population of 84 (Fundaci6n Natura,
1992b). Like other indigenous groups in the Ecuadorian
Amazon, they have been forced to move internally due to
colonization, usually occupying the most inaccessible and
remote regions (Fundaci6n Natura, 1992b). Population
densities recorded in this region range from 2 to 3
individuals per km2 (INEFAN, 1993). Densities in the
colonized areas are higher since populations are
concentrated along the road and rivers and vast areas of
forest land remain uninhabited.
Education
In the Parroquia Lumbaqui, only ten percent of the
total population over 10 years old is illiterate. This
51
illiteracy rate is equal to that found in the Cant6n Gonzalo
Pizarro and the whole province of Sucumbios (INEFAN, 1993).
The relatively low proportion is probably indicative of an
aggressive national alphabetization program (INEFAN, 1993).
However, no more than 6% of the population in these regions
has completed secondary education (high school) (INEFAN,
1993).
Among a survey of families in the CCER, only 3.6% of
the heads of household completed secondary education
(Fundaci6n Natura, 1992b). In the Cant6n Gonzalo Pizarro,
there are 17 primary and two secondary schools provided by
the state, one of each located in the Parroquia Lumbaqui.
Even the Comunas Chuscuyacu and Sinangie, in spite of their
remoteness, have school houses and resident teachers
(personal observation). Over 65 percent of the population
in Cant6n Gonzalo Pizarro has received a primary education
(INEFAN, 1993).
Health
Health conditions and services are poor in the region.
In the Cant6n Gonzalo Pizarro, there are only two small
medical facilities: a health subcenter of the Ministry of
Public Health (MSP) in the town of Lumbaqui, and a rural
dispensary belonging to the Ecuadorian Institute of Social
Security (IESS) in the small rural community of Recinto
52
Amazonas. The two closest hospitals for this region include
one in Lago Agrio and a newly constructed public hospital in
Baeza, both about 80 Km from the Aguarico sector. Of the
total live births in the Cant6n Gonzalo Pizarro, only 33%
received professional medical attention (Fundaci6n Natura,
1992b). Respiratory and parasitic illnesses are the most
frequent health problems encountered, and lack of nutrition
accounts for 4% of health complications in the region
(Fundaci6n Natura, 1992b). MSP and IESS, the state agencies
responsible for health services, are completely aware of
their lack of facilities and are attempting to improve them
through international funding (INEFAN, 1993).
Housing
Health problems in the region are claimed to be
strongly related to living and sanitation conditions
(Fundaci6n Natura, 1992b). Houses built by colonist farmers
are made from locally cut and processed timber and they are
usually built on stilts with metal roofs. Many houses by
the road are also built with cement blocks. Except for
those on the road, these houses rarely have water, sewage,
or electricity nor luxury items like televisions,
refrigerators, stoves, etc.
Nutrition
The majority of the population apparently enjoys
adequate nutrition (Fundaci6n Natura, 1992b). The diet
consists mostly of staple carbohydrates such as plantain
(Musa paradisiaca), cassava (Manihot esculenta), chontaduro
(Bactris gassiDaes), and rice (Oryza sativa) along with a
variety of protein sources both domestic (chicken, eggs,
cheese, milk, beef, pork) and wild (armadillo, agouti,
doves, fruits, nuts, etc.) (Fundaci6n Natura, 1992b;
personal observation). Although the local rural population
produces much of its own food, imported foods, such as
vegetables and processed food products (tuna, pasta,
sardines, crackers, beverages) are also prevalent in the
diet.
Transportation Infrastructure
The unpaved Inter-oceanic road serves as a social and
economic axis in the Aguarico sector. It is the primary
location for all types of services and transactions. Very
few secondary roads with vehicular access are present in the
Aguarico sector. When present, these secondary roads lead
to plots on the second linea, 2 km from the main road. In
the Cant6n Gonzalo Pizarro, there are hardly any vehicular
roads at all with a density of only 0.034 km of roads per
km2 (INEFAN, 1993).
Nutrition
The majority of the population apparently enjoys
adequate nutrition (Fundaci6n Natura, 1992b). The diet
consists mostly of staple carbohydrates such as plantain
(Musa paradisiaca), cassava (Manihot esculenta), chontaduro
(Bactris gassiDaes), and rice (Oryza sativa) along with a
variety of protein sources both domestic (chicken, eggs,
cheese, milk, beef, pork) and wild (armadillo, agouti,
doves, fruits, nuts, etc.) (Fundaci6n Natura, 1992b;
personal observation). Although the local rural population
produces much of its own food, imported foods, such as
vegetables and processed food products (tuna, pasta,
sardines, crackers, beverages) are also prevalent in the
diet.
Transportation Infrastructure
The unpaved Inter-oceanic road serves as a social and
economic axis in the Aguarico sector. It is the primary
location for all types of services and transactions. Very
few secondary roads with vehicular access are present in the
Aguarico sector. When present, these secondary roads lead
to plots on the second linea, 2 km from the main road. In
the Cant6n Gonzalo Pizarro, there are hardly any vehicular
roads at all with a density of only 0.034 km of roads per
km2 (INEFAN, 1993).
54
There is an extensive and unknown amount of mule trails
in the region that serve as an important means for many
colonist farmers to take out agricultural products and bring
in household necessities. For those communities on the
Aguarico River, such as SinangUe, it is also possible to
navigate with small motorized canoes, although canoes do not
travel frequently along this portion of the river. The Due
River is not navigable. Two rarely used airstrips were
built by religious missions for the mostly Cofan Indian
community in Sinangue.
Terrestrial transportation on the Inter-oceanic road is
the principal means for importing and exporting goods and
for public mobility in the region. On average, 503 vehicles
(211 automobiles, 66 buses, 226 trucks) per day travel on
the stretch of the Inter-Oceanic road between Quito and Lago
Agrio (Nueva Loja) at the center of the Oriente (INEFAN,
1993). The inhabitants in the study area depend on public
buses (empresas and rancheras) for their regional and
national transportation and on truck services called fletes
for the movement of their agricultural products to major
commercial centers (Quito, Lago Agrio, Santo Domingo)
(INEFAN, 1993; Fundaci6n Natura, 1992b). Large potholes on
the road and mud slides are common after rains. These are
55
repaired constantly by the army corps of engineers with dump
trucks and road-builders.
Mules and horses are important for transportation on
trails in areas off the road and even locally on the main
road. Heavy traffic of animals and people on mule trails
has deteriorated them in many places and increased
difficulty in traveling, especially after rains. These
trails are maintained by colonist farmers, the main users.
Farmers clear vegetation along trails with machetes, build
small bridges made from tree trunks split in half, and place
empalizados, which are tree trunks and large limbs cut no
more than 1 m in length and set horizontally along swampy
and muddy sections.
Social Organization
The typical forms of social organization by colonist
farmers are the precooperativas required by IERAC to get
their plots delimited and obtain land titles. Other than
that, in the Aguarico sector, precooperativas are usually
not involved in any type of group activities or objectives.
Each household manages its farm individually. Even
indigenous households manage their own farms in the comunas
which were also legally organized to obtain land rights and
state services. Mingas, work groups formed for community
benefits or agricultural labor exchanges among households,
56
are much more common among farmers in the indigenous comunas
than among colonist farmers in precooperativas. For
whatever reason (socioeconomic differences, racial
prejudices, isolation of households, individuality of
people, or poor infrastructure) organization and cooperation
have been very weak among farmers in the region and even
within precooperativas and comunas. This has been a major
obstacle to development and conservation efforts.
Petroleum and Mining
By far, the petroleum and mining industries are the
most important in terms of value of gross production in the
region (INEFAN, 1993; Fundaci6n Natura, 1992b). Although
many colonists are attracted by employment and economic
opportunities brought by the petroleum industry in the
region, in reality, very few and mostly temporary jobs are
created by this sector (INEFAN, 1993). Similarly, those
colonists involved in mining activities usually depend more
on their agricultural production for income (INEFAN, 1993;
Fundaci6n Natura, 1992b).
In the Cant6n Gonzalo Pizarro, there is one petroleum
camp northeast of the CCER called Bermejo which belongs to
Petroecuador. The camp contains 22 active wells producing
5,500 barrels a day. There is no information on the amount
of the local population employed in the camp; however,
57
apparently a large fraction of the work force is hired from
outside the region. Small restaurants, bars, and prostitute
houses are established along the road in the Aguarico sector
for workers, truck drivers, engineers, and others involved
with the petroleum industry.
Due to its geographical location, the Cant6n Gonzalo
Pizarro is exceptionally rich in minerals, in particular
gold. There are seven mining concessions, mostly for gold,
operating in the canton, five of these are in the CCER along
the Aguarico, Due and other rivers in the area. The majority
of the gold is extracted through traditional "panning"
methods with only four dredges operating in the Aguarico
river. One person may obtain one half to three grams of
gold a day by panning and 20 grams a day are recovered
through dredging. It is estimated that 20% of the
population, including farmers, in this mineral rich region
(Cant6n Gonzalo Pizarro and Sucumbios) are involved in gold
mining. Family groups of three or four people usually pan
for gold during the drier or summer period for a period of
10 to 15 days. The importantance of mining to many
household economies of the region as well as its ecological
impacts should be further investigated, specifically in
areas within the CCER.
Agriculture and Forestry
Agriculture and forestry, although second in economic
importance, barely equal half the value of petroleum and
mining production in the province of Sucumbios (INEFAN,
1993). However, the agricultural sector is the most
important in terms of employment including 43% of the
economically active population in the province (INEFAN,
1993). Agriculture and forestry are the most significant in
terms of land use. The Cant6n Gonzalo Pizarro has 1,314
farm parcels being claimed and processed through IERAC, but
only 14% of these plots have been granted legal titles.
Land used for agriculture has grown from 23% of the total
area of the Cant6n Gonzalo Pizarro in 1985 to 38% in 1991
(INEFAN, 1993). The area in agriculture totals 86,976 ha,
but this does not include those areas settled illegally or
which have not been intervened by IERAC (INEFAN, 1993).
With the absence of forestry concessions and agro-
industrial plantations in the area, colonist farmers are the
main sources of agricultural and forest products from the
region (INEFAN 1993). Naranjilla (Solanum guitoense), a
tomato-related fruit used for a beverage, coffee (Coffea
canephora var. robusta), cattle, and timber are the most
important sources of income for colonist households (INEFAN,
1993; Boese, 1992). Farmers are also involved in the
59
production of subsistence crops (e.g. cassava, plantains,
taro). It is estimated that farming households in the
Cant6n Gonzalo Pizarro have an annual gross income of US$
1500 to US$ 1800 (INEFAN, 1993; Boese, 1992). Because of
lower agricultural yields and poorer infrastructure and
rural development in the Ecuadorian Amazon, colonist farmers
of the region are still at a disadvantage competing with the
rest of the national agricultural producers (Fundaci6n
Natura, 1992b; INEFAN, 1993).
Farmers and agricultural areas play an important role
in supplying forest resources. Timber extraction from farms
is often done indirectly through farmers by contractors who
pay low prices for standing trees and remove and market
them. It is also carried out directly by farmers who by
themselves (or by hiring another farmer) cut and process
valuable trees on their land with chain saws and obtain
better prices. In the Cant6n Gonzalo Pizarro, there is one
industrial sawmill in Lumbaqui and a handful of family
carpentry shops where lumber and furniture are sold.
Usually, from 5 to 8 valuable trees per hectare can be
exploited by farmers when they clear their farms (Boese,
1992). Many farmers plant timber trees as well as manage
naturally regenerating species. Timber sales can add
substantially to colonists' incomes. According to Boese
60
(1992) the annual income generated from timber can be almost
twice that from coffee.
Farming Systems
Slash/Mulch Agriculture
Slash/mulch is the prevalent form of agriculture found
in colonist farming systems of the Aguarico sector. The
slash/mulch system is a variant of the more common slash and
burn shifting cultivation. It is typically found in
tropical regions'with high and continuous rainfall where it
is difficult to burn the cut vegetation. Instead,
vegetational debris from the cleared forests or fallows is
left as mulch to provide nutrients from the decomposition
process. In Latin America, slash/mulch systems have been
described in very wet regions such as the El Choc6 area in
Colombia, the Darien region in Panama, the province of
Esmeraldas in Ecuador, and Amazonian lowland regions of
Ecuador and Colombia (Thurston, 1994).
The slash/mulch practices in the Aguarico sector
consist of cutting smaller trees, bushes, vines and
understory vegetation with a machete. A week to ten days
after clearing the understory, various annual (maize, rice),
semiperennial (cassava, bananas) and perennial (coffee,
cacao, citrus and other trees) crops are planted either by
planting seeds, seedlings, rhizomes, or cuttings, depending
61
on the crop (Chala, 1987; Hiroaka & Yamamoto 1980). Once
sprouts begin to appear two to four weeks after planting,
the remaining larger trees, with exception of some fruit,
timber, and shade trees, are felled with an ax or chainsaw
over the young crop plants (often causing them considerable
damage). In the Aguarico sector, slash and mulch practices,
named in chronological sequence, were: socola, when the
understory is cleared; siembra or plantio, when crops and/or
grasses are planted; tumba, when the canopy trees are felled
and valuable timber trees harvested (2 weeks after
planting); limpieza or chapeo, weeding; and cosecha,
harvest.
The maintenance of trees and the presence of mulch
inherent in these slash/mulch systems protect the soil from
erosion as well as provide organic matter to soils and
nutrients to crops (Thurston, 1994; Hiroaka & Yamamoto
1980). These slash/mulch systems are genuine examples of
multilayer agrosilviculture or polyculture, highly regarded
for their agricultural sustainability, longevity, and
development potential in the humid tropics (Thurston, 1994;
Hiroaka & Yamamoto, 1980). Still, these systems have been
scarcely described or researched in comparison to slash and
burn agriculture although their benefits are considered even
62
better, especially in very wet regions of the tropics
(Thurston, 1994).
Crops
Crops found in slash/mulch systems of the Aguarico
sector depended on the length of time since land clearing
and on the crops chosen and needed by the colonist
household. Table 3-1 lists the different crops found in
colonist farms of the study area and their uses and
frequencies on surveyed farms. Maize, used for both cash
and subsistence purposes, is almost always initially planted
by broadcasting in cleared areas and harvested 4 to 6 months
after planting. A second crop of maize can be planted if
soil conditions allow (e.g. when area cleared was primary
forest). Naranjilla (Solanum quitoense) is a frequently
planted semiperennial harvestable after 9 to 11 months for
up to 2 years (Fundaci6n Natura, 1992b). Plantains and
cassava are important semi-perennial subsistence crops.
Cassava usually begins to produce after 8 months and
plantains after a year, and both crops are productive for
a year or two. Coffee (Coffea canephora var. robusta), is
an important perennial cash crop that begins to produce
after 3 years and for up to 15 years, although yields
decline after 4 or 5 years (Ramirez et al., 1992a; Fundaci6n
63
Table 3-1. List of crops (excluding trees) found on farms
of the Aguarico sector, their main contributions to colonist
households, and frequency (%) of occurrence on farms.
Percent
Crops Scientific Name Household Use Occurrence
(n=50)
annuals
maize
rice
sugar cane
pineapple
Zea maize
Orvza sativa
Sacharum
officinarum
Ananas comosus
cash and
subsistence
mostly
subsistence
subsistence
cash and
subsistence
semi-perennials
naranjilla
Solanum
quitoensis
Musa acuminata
Manihot
esculenta
Colocassia
esculenta
Coffee canephora
var. robusta
Theobroma cacao
mostly
subsistence
mostly
subsistence
mostly
subsistence
subsistence
cash
cash
cash
plantain
orito
cassava
taro
perennials
coffee
cacao
citrus Citrus spp. cash 81
Source: 1994 survey by author.
'Includes only farms with citrus planted in densities greater than 50
trees/ha for commercial purposes.
64
Natura 1992b, Pijnenburg & Portilla, 1991; Hildebrand &
Espinosa, 1982). Semiperennial and perennial crops such as
bananas, coffee, and citrus gradually take over production
in slash/mulch systems (Hiroaka & Yamamoto, 1980).
Consequently, land use and agricultural production found in
cleared areas are highly related to the age of slash/mulch
systems established on colonist farms.
In theory, the longevity and sustainability of
slash/mulch cropping systems established in cleared areas
should be influenced by the components of crops and trees
included, the amount of vegetation cover and mulch retained,
and the type and intensity of land uses and agricultural
practices by colonist farmers. A wide variety of crop and
tree mixtures and land use processes were encountered on
colonist farms of the study area. Crop production on a
cleared plot can vary from a single harvest of maize, to
maize intercropped with Naranjilla, or maize with coffee and
banana, and other combinations of crops which also include
cassava, taro, cacao, citrus and other fruit trees, as well
as timber and shade trees. The type of land use and
agricultural components found on colonist farms depends
largely on the farmers' production choices and household
needs, and on labor resources, capital availability, and
transportation and marketing capabilities.
Pasture and Livestock
Land use for pasture is very common in colonist farming
systems, mostly for beef and diary cattle production but
also for grazing horses and mules. Pasture systems require
less labor per hectare than coffee or naranjilla systems
(Estrada et al., 1988). Consequently, colonist farmers are
inclined to put large portions of their cleared areas into
pasture to comply with IERAC's land clearing requirement.
There is a high frequency of pastures (92%) among farms in
the Aguarico sector characterized by low cattle stocking
rates that averaged 4 ha/head. The proportion of cleared
land on farms used for pastures averaged 46.1%. Still, only
42% of the interviewed households had cattle.
Pastures are established in the traditional slash/mulch
system by planting forage grasses along with maize,
naranjilla or other crops during the siembra. Grasses
usually are ready for grazing in two months and are already
established by the time annual and/or semiperrenial
production ends. Grasses are also planted after crop
production declines in a plot which can be as soon as six
months if only one maize crop is planted or as long as 15 to
20 years if tree crops like coffee, cacao, and citrus are
planted. Fallow lands (young secondary forests or dense
underbrush in old coffee and naranjilla fields) are also
66
commonly converted to pastures, another reason for large
proportions of pasture on many plots. As a result, pastures
are typically the final type of land use in cleared areas
following crop production.
Pasture lands that were 15 to 20 years old already
appeared degraded and unproductive, void of cattle, and with
poor forest regeneration. These were typical on road sides.
Pasture systems have been regarded as less sustainable and
productive in low-input slash/mulch systems compared to
polyculture since they exhibit less vegetation cover, less
biomass and mulch production, more soil erosion as well as
more swamping and compaction by cattle. Moreover, cattle
may damage crop plants and regenerating trees. These
biophysical characteristics of pasture lands can also be
constraints in forest regeneration. As a result, when land
is converted to pasture, forest recovery is lengthened and
suppressed in the traditional slash/mulch system.
Raising cattle on pastures is an attractive land use
option among colonist farmers because of cattle's easier
marketability and transportation, better profitability, and
capabilities of generating large sums of cash quickly for
emergencies, paying loans, or other household needs. Cattle
are grazed by rotation or tying the animals to a rope and
moving them during the day (sogueo). Pigs and chickens are
67
also important components of colonist farming systems
especially for subsistence but also for cash. Ninety-two
percent of the interviewed households owned chickens and 54%
owned pigs. In addition, 82% had mules or horses.
Labor
Labor has been observed to be a limiting constraint in
colonist farming systems (Estrada et al., 1988). Estrada et
al. (1988) determined it took from 7 to 20 person-days/ha
for the forest clearing process on colonist farms in lowland
northeast Ecuador. Usually, it took less labor in land
clearing for pastures than for crops such as coffee or maize
(Estrada et al., 1988). Land preparation and planting for
crops like plantain, maize, and coffee required around 15
person-days/ha, and for most grasses, preparation and
planting required about 10 person-days/ha. However, a few
forage grasses (e.g., Bracharia decumbens) actually required
more labor for preparation and planting. Weeding requires
much labor on colonist farms, especially in coffee and
pasture systems where weeding consumed up to about 30
person-days/ha per year. Harvesting coffee required the
most labor with up to 60 person-days/ha per year compared to
maize with 9 and plantain with 18 person-days/ha (Estrada et
al., 1988).
Calendar of Activities
There is not a specific or rigid calendar of activities
in colonist farms of the Aguarico sector in regard to
slash/mulch practices and crops utilized in the region.
However, the age of slash/mulch systems can influence labor
requirements in cleared areas. For example, limpiezas or
weedings become less frequent as semiperennials and
perennials begin to dominate a plot, and when a cleared plot
(or pasture) begins to age, weeding decreases from 2 to 3
times a year to once every year or less in old slash/mulch
systems. However, perennial crops like coffee and cacao
still require much labor for weeding and especially for
harvesting.
Due to the aseasonality of rainfall in the region, land
clearing and planting in slash/mulch systems can occur at
any time of the year (Hiroaka & Yamamoto, 1980).
Nevertheless, farmers differentiate a wet season (invierno)
during the rainier months and a dry season (verano) during
drier periods, usually from August to October and in
January. Some farmers would clear land only during the
wetter months. Still, considerable variations were recorded
in the seasons or months when many agricultural activities
are performed, and most farmers claimed they can be done any
time of the year. Hiroaka & Yamamoto (1980) also noticed
69
this lack of seasonality among activities of colonist
farmers.
In exception, coffee is usually harvested during the
four to five months of the year when yields are higher. In
lowland regions of northeast Ecuador, this typically occurs
from January to May when rainfall is higher (Hildebrand &
Espinosa, 1982). In the study area it was the opposite,
occurring from July to September and in December to January
during the verano or drier months.
Farm Development and Marketing
"Fresh" or fertile lands are provided by forested areas
on farms that may also provide game, fruit, and timber
resources to the household. These are important especially
to early or poorer colonists. Labor and/or capital are
needed by households for forest conversion and natural
resource harvesting. Household labor is a major
contribution to farm development and production, although
many colonists hire outside labor as well. In the Aguarico
sector, sources of cash for colonist households come mainly
from the sale of naranjilla, coffee, and cattle. Timber
provides an important source of cash during the initial land
clearing process. As farms develop, crops like naranjilla
and coffee enable farmers to obtain capital for cattle.
70
Marketing aspects of colonist farming systems are
reflective of the poor transportation and economic
infrastructure commonplace in colonization zones. Products
are sold to the intermediaries intermediariess) in
settlements next to the road or passing by in trucks
(fletes) who later sell the products to the larger markets
of Quito, Santo Domingo, or Lago Agrio. However, farm
products such as maize, plantains, cassava, timber, fruit,
and small livestock are also sold within the local
community, contributing extra cash to farm households.
Food, timber and labor are also commonly bartered between
colonist farmers in the Aguarico sector. Timber is also
bought by intermediaries and taken to saw mills or wood
shops in Quito or locally.
Farmers located greater distances from the road usually
transport their products to the road by mule in order to
sell to intermediaries. Cattle are the only products
purchased directly by intermediaries on farms distant from
the road. This is one of the reasons for the attractiveness
of cattle production. Farms along the road have a clear
advantage in transportation and marketing of agricultural
and forestry products.
Credit and Assistance
Almost 90% of agricultural loans, which make up 38% of
all development loans for the region given by the national
development bank, Banco National del Fomento (BNF), are for
cattle production. This is another reason for the
preference of this activity by colonist farmers. Still,
only a small fraction of farmers obtain or desire credit.
In addition, remote farms are discriminated against, largely
because banks require legal titles of plots. Agricultural
assistance is almost non-existent, and according to
Fundaci6n Natura (1992b), over 85% of the farmers do not
receive any assistance. Most of the assistance is involved
with cattle vaccination programs to control diseases or with
reforestation/agroforestry projects (FFMV) conducted
directly or indirectly through MAG, INEFAN, and PROFORS.
However, the human and capital investment contributed
towards agricultural assistance of colonist farmers is
minimal and not very effective in terms of solving farmers'
problems. In fact, there is presently a strong desire among
farmers for assistance in increasing yields of crops, such
as naranjilla and coffee, pasture improvement, pest control
and management, and transportation infrastructure
development.
72
Conservation
Because about half of the territory in the Cant6n
Gonzalo Pizarro is part of the CCER, the availability of
land is already restricted and encroachment into reserve
areas is common. Although the reserve was legally
established in 1970, it was not until 1979 that the limits
were defined (Proyecto SUBIR, 1992; Fundaci6n Natura, 1992a,
1992b). Lack of institutional coordination between MAG,
which was in charge of delimiting the CCER, and IERAC
resulted in many areas of colonized plots issued by IERAC to
be within reserve boundaries (Fundaci6n Natura, 1992b). In
turn, IERAC delineated the CCER again in 1986 excluding
areas of colonization along the Inter-Oceanic road
(Fundaci6n Natura, 1992b). Following the earthquake,
another limit was drawn in consideration of the colonization
problem and seismic danger in the region. In addition,
IERAC prohibited those who were settled along the limits to
remain on their lands and proceeded to relocate them during
the following years (Fundaci6n Natura, 1992b). To this date
the actual eastern limits of the reserve are still
inconclusive among the different institutions involved, and
any physical demarcation is far from being completed. This
may explain the confusion and apathy of local inhabitants as
to where are the exact limits of the CCER.
73
Current encroachment is occurring mostly around the
northeastern area of the reserve along the Due and Aguarico
rivers (Fundaci6n Natura 1992b). However, with the
vagueness of the CCER limits, the actual number of people
living inside the reserve is questionable. Fundaci6n Natura
(1992b), considers the rural population of the Parroquia
Lumbaqui to be part of the reserve and claims a total
population of 5,650 in the CCER. The Chuscuyacu community
and colonist farmers from Chiguapefa and San Pedro del
Chaco, for example, are considered to inhabit the CCER. Not
surprisingly, this is contrary to the way MAG, INEFAN, and
IERAC look at it, and obviously not the way these particular
farmers see it.
Ecuadorian laws for protection of natural areas like
the CCER, although impressive on paper, have been difficult
to enforce. The Law of Forestry and Conservation of Natural
Areas enacted in 1981 gave the responsibility of planning,
management, development, administration, and control of
protected areas to MAG through the forestry institute now
called the Ecuadorian Institute of Forestry and Natural
Areas and Wildlife (INEFAN) (Fundaci6n Natura, 1993; INEFAN,
1993). Due to the immense responsibility, lack of financial
and human resources and institutional conflicts between
IERAC and MAG, the objectives of INEFAN to delimit natural
74
areas, control invasions, and prevent illegal hunting,
timber extraction and mining in the CCER has been difficult
to achieve (Proyecto SUBIR, 1992). In a region where MAG
has also been negligent in agricultural research, extension
and rural development, it is not surprising that their
record on protection of natural areas is not any better.
Lately, NGOs have become increasingly involved in the
role of conservation and sustainable development for the
CCER region. Specifically, Proyecto SUBIR formed in 1991
with support from CARE International, The Nature Conservancy
(TNC), and Wildlife Conservation International (WCI), has
assumed a major role for the management and protection of
the CCER in association with INEFAN (Proyecto SUBIR, 1992).
The main objectives of Proyecto SUBIR are to 1) strengthen
organization among local communities to facilitate plans for
sustainable natural resource use, 2) develop management
plans for protected areas, 3) develop ecotourism to bring
value to the biological diversity represented in natural
areas, 4) conduct research and monitoring, and 5) improve
the present status of land and biological resource use
(Proyecto SUBIR, 1992).
Maior Problems
Both state agencies and NGOs have identified the main
issues or problems in this region with which they are
75
confronted. The following problems were identified by MAG
in the region as being responsible for low agricultural
productivity and declining yields in the region (INEFAN,
1993):
1. The prevalence infertile soils, especially hills with
red clay.
2. Climatic factors such as excessive rains that cause
nutrient leaching, acidity, diseases and other biological
limitations on crops.
3. The presence of severe pest problems in crops, pastures,
and livestock.
4. Lack of infrastructure for marketing and transportation
of products.
5. Lack of credit and technological assistance to farmers.
Proyecto SUBIR (1992) identified the following problems
for the CCER specifically:
1. The limits of the CCER along the southern and
northeastern parts of the reserve include areas of
colonization.
2. Colonization is proceeding further into the CCER in areas
along the road, including around Lumbaqui and the Due and
Aguarico rivers.
3. Administration of the reserve is concentrated in the
western highland areas so the eastern areas, like the
Aguarico sector, are being ignored.
76
4. There is a lack of personnel and resources available to
them for the proper administration and management of the
CCER.
5. Staff, especially park rangers, are poorly paid,
informed and trained causing lack of motivation and
discontent, especially with regard to field work.
6. Administrative divisions within MAG impede effective
administration of the CCER.
7. The current management plan, which is 14 years old, is
obsolete.
8. Facilities for communication, transportation and
necessary equipment for the staff are lacking.
No doubt Proyecto SUBIR, MAG, and INEFAN are faced with
formidable tasks, and successes and accomplishments in the
Aguarico sector of the CCER have been difficult to achieve.
For example, Proyecto SUBIR failed to achieve cooperation
from the indigenous community Chuscuyacu that is located in
the northeastern area of the CCER along the Due river. They
also have not dealt with colonist farmers of this region to
organize and promote sustainable use of resources.
Currently, the main presence of Proyecto SUBIR in this
region is in the indigenous community of Sinangue, on the
Aguarico river. Plans are being developed for ecotourism, a
questionable conservation strategy in terms of being
effective in controlling invasion into the CCER and
77
promoting sustainable agriculture and use of natural
resources by the majority of local people. With three
reserves selected as work areas for the Proyecto SUBIR, they
also may have burdened themselves with too big a
responsibility and too many objectives. Admittedly, the CCER
receives the least attention of the three reserves and they
are planning on pulling out entirely from the CCER
(Calder6n, personal communication).
CHAPTER 4
FARMING SYSTEMS IN COLONIZATION ZONES OF THE AGUARICO SECTOR
Introduction
The typical problems associated with agricultural
colonization in the tropics, rapid deforestation rates, low
agricultural productivity, degradation of natural resources,
poverty, and encroachment into protected areas, have also
been recognized in the Aguarico sector near the CCER.
Current development and conservation strategies for
colonization zones, especially near protected areas, promote
integrated land use, forest and buffer zone management,
agroforestry, and alternative agriculture that directly
involve colonist farmers. However, few studies have
described these systems in lowland eastern Ecuador, and even
fewer have analyzed the colonization process.
Distance from the main road, where market centers and
intermediaries are found, as well as age of settlements are
likely determinants of socioeconomic and agricultural
characteristics found on colonist farming systems. This
study examines these spatial and temporal aspects of farming
systems in the Aguarico sector. Based on household surveys
(Appendix 1), socioeconomic, land use and agricultural
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