Rural Innovation Institute Project SN-3: Participatory Research Approaches to Reduce Poverty and Natural Resource Degradation through the Creation of Market Links and Social Control of Community Projects VOLUME 11 y-~ ... : .. ~ .... ~~! ... . ... .. ~. , ... -.. .,..-·~ ¡.: . . .) i '· ! ; :·:: Annaal Report 2005 Contents Project SN-1 : Rural Agro-Enterprise Development Volume 1 Project SN-3: Participatory Research Approaches to Reduce Poverty and Natural Resource Degradation through the Creation of Market Links and Social Control of Community Projects Volume II Project SN-4: Infonnation and Communications (lnforCom) Volume III PRGA Program- Program on Participatory Research and Gender Analysis for Technology Development and Instltutlonal Innovatlon A CGIAR Systemwide Program VolumeN 1 267 445 525 Project SN-3 Participatory Research_ Approaches to Reduce Poverty and Natural Resource Degradation through the Creation of Market Links and Social Control of Comm.unity Projects 267 Contents Project Descrtption Project Log Frame (2005-2007} Output 1: Participatory Approaches and Methodologies for Strengthening Farmers' Organizations and Rural Innovation Systems to Accelerate and Institutionalize Demand-Driven Innovation in Production Systems, Researched and Disseminated Strengthening Rural Innovation Ecologies: Participatory Development of a Methodology for Strengthening Social Networks Learning about Partnership through Constructlng Innovation Histories Impact Assessment of Research in the Challenge Program on Water and Food (CPWF) Farmers' Participation in Land Degradation Assessment: The Case Study of Farmers in the Highlands of Southwestem Uganda Participatory Research and Extension in Agriculture - Organization of Leaming Approaches Output 2: Organizational Procedures, lnstltutlonal Mechanisms and Pollcies for Using Participatory Methodology in the Co-Development of Technologies Designed and Tested with National and Local Innovatlon Systems in Latín America and Africa Knowledge Management: A Participatory Approach to Farmer Approprtatlon of Technological Innovatlons Application of the Knowledge Management Approach in the SIBTA's PITAs: A Progress Report Output 3: The Resource-To-Consumption (ERI) Framework Developed, Tested and Applied to Strengthen Farmer Organizatlons and Rural Women's Capacity Allowing Transition from Semi-Subsistence to Competitive Market-Oriented Production in Afrtca and Latin Amertca Farmer Participatory Market Research: Approach for Increasing Commercialization of Agricultural Products Comparative Analysis of Strategies for Linking Farmers to Markets: Is Gender Integration an Important Consideration? A Case Study of Malawi 269 271 276 280 280 287 296 299 305 313 313 322 331 331 339 Output 4: Methodologies for Establishing Community-Managed Participatory Monitoring and Evaluation Systems (PM&E) Tested, Applied and Widely Dissentinated 34 7 Human and Social Capital Impacts of Applying Participatory Approaches: A Study ofLocal Agricultura! Research Committees in Colombia (CIALs) 347 Assessing the Impacts of Applying Participatory Approaches: A Case Study of Local Agricultura! Research Committees (CIALs) in Honduras 357 Strengthening Operativity of the Municipal Councils for Rural Development (CMDR) in Three Municipalities of the Ca u ca Valley Province, Colombia 371 Parti.cipatory Analysis of the Rules of the Game in the Framework of the Bolivian System of Agricultura! and Livestock Technology (SIBTA) 37 4 PM&E and the Empowerment of Producers' Organizations 382 Participatory Methodologies Make the Processes of Technological Innovation Viable in Bolivia 389 Use of Participatory Monitoring and Evaluation (PM&E) in the Chaco Foundation (FDTA-Chaco) 397 Livelihoods, Social Capital and Participatory Monitoring and Evaluation Approaches 404 Participatory Monitoring and Evaluation for Stakeholder Engagement, Assessment of Project Impacts, and for Institutional and Community Learning and Change 409 Output 5: Strengthened Institutional and Organizational Capacity of R&D Partners in Development and Adaptation of Participatory Research Methodologies 420 Research Centers ... Closer to the Producers 420 Participatory Evaluation ofTechnologies for Conserving Forages 422 Diagnosis of the Use of Organic Wastes and Chemical Evaluation of Sorne Mixtures U sed in Composting in the Area of Influence of CIPASLA, Pescador, Cauca 426 Quinoa: Recovery of a Tradition 435 Appendix: Acronyms 442 270 Project SN-3 : Participatory Research Approaches to Reduce Poverty and Natural Resource Degradation through the Creation of Market Links and Social Control of Community Projects Project Description Objective To develop and disseminate participatory research (PR) principies. approaches. analytlcal tools. indigenous knowledge and organizatlonal principies that strengthen the capacity of R&D institutions to respond to the demands of stakeholder groups for irnproved levels of human well-being and agro ecosystem health Outputs l . Participatory approaches and methodologies for strengthening farmers' organizations and rural innovation systems to accelerate and institutionalize demand-driven innovation in production systems. researched and disseminated 2. Organizatlonal procedures, institutional mechanisms and policies for using participatory methodology in the co-development of technologies. designed and tested with national and local innovation systems in Latin America (LA) and Africa 3. The resource-to-consumption (ERI) framework developed. tested and applied to strengthen farmer organizations and rural women's capacity allowing transition from semisubsistence to competitive market-oriented production in Africa and LA 4. Methodologies for establishing community-managed participatory monitoring and evaluation systems (PM&E) tested, applied and widely disseminated 5. Institutional and organizational capacity of R&D partners in development and adaptation of PR methodologies. strengthened Gains • Users involved at early stages in decisions about innovation development • New and better links between farmers' groups and local markets • Adaptation of PM&E systems in Bolivia and incorporated in their technological innovation projects (PITAs). enabling the farmers to exercise greater control over their projects and then give feedback on their execution to the project suppliers • Online tool based on database development with informatlon inpu t from our partners based on results from different CIALs and second-order organizations in five LA countries • The knowledge management approach to extension work tested in 10 different sites in 4 agroecological regions of Bolivia with 9 different crops and species. and proven to be highly effective in technology appropriation by farmers • First volume on the Bolivian experiences in applytng PR methodologies and tools. delivered to vartous suppliers and farmer-technicians • Manual to train knowledge managers validated with 40 professionals and farmers in 8 training courses 271 • A 22-rninute video that shows how knowledge management is practiced in Bolivia. including principies. rnethodological processes and testimonies of farming communities • Over 500 people trained or influenced by the Pro-poor Knowledge Management Methods project in Bolivia • A capacity-developrnent program agreed upon with the Centers for Leanúng and Knowledge Shartng (CAIS). focusing on five technological components • A frrst course on five technological components carried out for 30 representatives of CAIS frorn 8 LA countries • A rnethodological platform to evaluate (CIP) initiative for the W.K. Kellogg Foundation. established and agreed upon with users throughout Latin Arnerica • A complete set of analytical tables and charts to collect and synthesize information corning from CIP partners • A small seed enterprises manual validated with Haitian professionals and tested on farms with several groups • A French version of the small seed enterprises manual published and distributed among NGO partners in Haiti • A cassava production manual tested. published and distributed among NGO partners • A collaborative project proposal approved by FAO to carry out trials in cassava and beans • Over 200 R&D personnel trained on establishing and implementing PM&E systems; 20 projects in 5 Kenya Agricultural Research Institute (KARI) centers with PM&E systems; over 37 farmer groups (approx. 700 farmers) trained on irnplementing community based PM&E systems. who have developed indicators, collected data on the indicators. analyzed and use them for their decision-making • Two videos produced, documenting experiences with Kasungu farmers in Malawi and Katwemukye group in Masindi, Uganda, and giving them volee to share their experiences with a much wider audience • Two handbooks published based on the progressive field experiences, results and lessons accumulated in implementing the "Enabling Rural Innovation" (ERI) with several partners in Uganda. Malawi and Tanzania: "111e Power ofVisioning: A Handbook for Facilitating the Development of Community Action Plans" and "A Market Facilitator's Guide to Participatory Agroenterprise Development. ~ • Scientific publications. briefs. a brochure anda Website developed and applied to raise visibility of ERI in Africa in a broad research strategy implemented with 7 PhD and 5 MA students. who are analyzing various aspects of farmer-market linkages across di verse social organizational levels and their effect on rural livelihoods. HIV 1 AIDS. empowerment and gender equity, and investment in natural resource management (NRM) • Evidence of scaling up and institutionalization of ERI approaches and methods: partnerships increased from 3 to 13 R&D partners in 3 countries and expanded to 7 new ones (Mozambique. Zimbabwe. Rwanda, Kenya. DR Congo. Zambia, Ethiopia) • The effectiveness of the CIAL methodology. the extent to which the problems addressed by the CIAL are relevant to the community. and the benefits of the CIAL to its members as well as to the community. assessed in terms of developing appropriate technologies and who benefits from the innovations in Colombia and Honduras • Prototype methodology developed for mapping. strengthening and monitortng networks of·small rural groups 272 • Adaptation of the innovatlon history method for identifying and communicatlng policy lessons • First draft completed of a methodology for the partlcipatory construction of impact pathways in 32 CPWF projects • Project funded to develop the impact-pathways methodology further and implement it in 3 CPWF basins in Phase 1 and the remaining 6 basins in Phase 11 Milestones 2004 • Capacity of national partners to implement and support PM&E and PR processes established wlthin R&D institutions in at least two countries in LA and another two in East Africa. • Lessons from R-to-C framework tested and validated in at least two countries in LA • A methodology for conducting impact assessment of PR methods developed and tested in at least two countries in LA • Impact assessment analyses to derive lessons and impacts of PR methods on llvelihoods, conducted in at least three countries in LA 2005 • Capacity of national partners to implement and support PM&E and PR processes establlshed wlthin R&D institutlons in at least 2 countries in LA and another 2 in East Africa. • Capacity of partners to apply ERI approaches and methods scaled up to at Ieast three new countries • National team of trainers/facilitators trained and scaling up PM&E and PR processes at natlonal leve! • The innovation history method adapted and applied in Africa and Asia 2006 • Local capacity enhanced to identify demands and develop projects that respond to these demands and that feed into Bollvian natlonal agrtcultural research and technology transfer systems • Three participatory methodologtes researched and tested by at least two national programs in LA and Africa • Organizatlons and actors involved in rural innovation processes; e.g., IARCs, NARS, NGOs. prívate sector campantes. • Rural innovation systems strengthened through institutionallearning and change • Better targeted and more efficient management of rural innovatlon processes leading to improved sustalnable livelihoods • ERI approaches and methods scaled up and being applied in at least 4 new countries and at least 8 new partners • Participatory construction of impact pathways of 17 CPWF projects in the Mekong. Volta and Karkheh basins, completed • Prototype methodology to map. strengthen and monitor networks of projects. NGOs and second-order organizations. developed and tested in Africa. Asia and LA 273 Users This work wil1 benefit small-scale, resource-poor farmers. processors. traders and consumers in rural areas. especially in fragile environments. IPRA has a strong focus on supporting rural women and the poor in order to build their capacity to generate and use agricultura! technologies to their own advantage. R&D service providers will receive more accurate and timely feedback from users about acceptability of production technologies and conservation practices. R&D planners wil1 profit from methods for conducting adaptive research and implementing policies on natural resource conservation at the micro level. The national agricultura! innovation systems are a target of the Project's activities. Strengthening their capacity to link local demands with service providers is being addressed by our Project in Bolivia. Collaborators Within CIAT: Inputs to: PE-3; PE-4, IP-2, IP-3, IP-5, SN-1. SN-2, SB-2, SB-3, BP-1. Outputs from: IP-2, IP-5, BP-1. SN-1. SN-4, PE-3, PE-4, TSBF. Outside CIAT: In Latín America: Honduras: Escuela Agrícola Panamericana-El Zamorano (EAP). Fundación para la Investigación Participativa con Agricultores en Honduras (FIPAH). Programa de Reconstrucción Rural (PRR), Centro Universitario del Atlántico (CURLA); Nicaragua: Instituto Nacional de Investigaciones (INIA). U. Campesina (UNICAM); Ecuador: Instituto Internacional para la Reconstrucción Rural (llRR), Instituto Nacional de Investigaciones Agropecuarias (INIAP)-Programa FAO, Fundación Antisana, Proyecto MANRECUR; Venezuela: Instituto Nacional de Investigaciones Agropecuarias (INIA). Bolivia: Ministerio de Asuntos Campesinos y Agropecuarios (MACA), U. Mayor de San Simón (UMSS), Fundación PROINPA. Sistema Boliviano de Tecnología Agropecuario (SIBTA). FDTA-Valles, FDTA-Altiplano, FDTA-Chaco, FDTA-Trópico Húmedo, FDTA-Chaco. Proyecto INNOVA, Agua y Tierra Campesina (ATICA) , Programa Nacional de Semillas (PNS). Centro de Investigación Agrícola Tropical (CIAT-Bolivia). Servicio de Desarrollo Agropecuario de Tarija (SEDAJ). Coordinadora de Integración de Organizaciones Económicas Campesinas (CIOEC). Programa de Desarrollo Integral Interdisciplinario ·(PRODII), Centro de Apoyo al Desarrollo (CAD), Comunidad de Estudios Jaina, eight grassroots groups; Colombia: Corporación Colombiana de Investigación Agropecuaria (CORPOICA), organizaciones campesinas. U. Nacional de Colombia. Corporación para el Fomento de los CIAL, CORFOCIAL. In 4frica: Uganda: National Agricultura! Research Organization (NARO). Africare; National Agricultura! Advisory Services (NAADS); Afrtcan Highlands Initiative (AHI); Africa2000 Network, Vision for Rural Development Initiative (VIRUDI); Local government; INSPIRE Consortium; Network of Farmer Field Schools (FFS); Makerere U. Malawi: Dept. of Agricultura! Research Services (DARS); Lilongwe Agricultura! Development Division (LADO); Plan Intemational Malawi. Tanzania: District Agricultura! and Livestock Dept. Office (DALDO), Traditlonal Irrtgation and Environment Protection Program (TIP), World Vision Sanya Agricultura! Development Program, Afrtca Highlands Initiative {AHI); Hai District Council (District Agricultura! and Livestock Development Office). Kenya: Kenya Agricultura! Research Institute; Community Against Desertification (CMAD); Extension Dept. . Ministry of Agriculture; Kenyatta U. DR Congo: Instltut Natlonal of Research et Etudes Agronomiques (INERA); Innovative Resources Management (IRM). Mozambigue: Natlonal Agricultura! Research Instltute (INIA). 21 farmers' groups and communities, Uganda, Tanzania, Malawi, Kenya. ASARECA Network. Ghana: CSIR Water Research lnstitute. In Europe: Austria: Boku University. In Asia: India: 274 Indian Council of Agricultural Research (ICAR) Research Complex for the Eastem Region, India: Sri Lanka: Challenge Program on Water and Food (CPWF) Secretariat. Regional Networks in i\frica: East and Central Africa Program Agricultural Policy Analysis (ECAPAPA). Eastem and Central African Bean Research Network (ECABREN) and Southem Africa Bean Research Network (SABREN) of the Association for Strengthening Agricultura} Research in East and Central Africa (ASARECA): Afiican Network for Soil Biology and Fertility (AfNet) of Tropical Soil Biology and Fertility (TSBF) Institute of CIAT: Pan African Bean Research Alliance (PABRA). 275 CIAT: SN-3 Project Log Frame (2005-2007) Project: Participatory Research Project Manager: Carlos A. Quirós (A) Narrative Summary lndicators Means ofVerlflcation Important Assumptions Goal To contr!bute to the socloeconomlc Results from the lmpact study of the 1nteiVent1ons by SN-3 Projects. plans and reports of natlonal lmprovement of rural conununltles show: publlc-sector entltles, donors, NGOs and through strengthenlng local and . Better management of resources (e.g., human, economlc, communlty-based organlzatlons In the tnstltutlonal capacltles by means of natural) In environments where partlclpatmy methods and three reference sltes and CIATs mandated partlclpatory deslgn, appllcatlon tools have been lncorporated agroecosystems that refer to thelr use of and dlssemlnatlon of approaches, . Greater lncorporatlon of the producers' needs In project products methodolog¡es and tools, development plans supported by the State emphaslzing gender and equlty . Active partlclpatlon of communlty groups In declslon- lssues maklng about endogenous and exogenous lnltlatlves . Particlpatlng marginal groups enjoy socloeconomlc benefits to a greater extent than similar groups where saJd declslon- maklng has not been lncorporated. Purpose Partlclpatory research . Set of at least five partlclpatory declslons taken on . lmpact study • Instltutlonal economlc methodologtes for organlzatlonal technolog¡cal lnnovatlon (PM&E, case histories of . lnstltutlonal reports stabillty . and technologtcal tnnovatlon 1n lnnovatlon, enabllng ruraltnnovatlon, evaluatlon of lmpact . Publicatlons • Flnanclng for training agrtculture, co-developed, tested of technologlcallnnovatlon and k.nowledge management . Proceedlngs acUvltles, publlcatlon and wldely dtssemlnated, to beneflt projects) evaluated and adapted for different contexts and and dlssemlnatlon of poor farmer groups and thelr stakeholder groups In marginal envlronments 1n Afrlca and materlals. organlzatJons, partlcularly ethnlc Latln Amerlca (lA) . Instltutlons willing to mlnorltles and women • At least three sets of new methods and tools (e.g .. analysls prepare and support of social networks, appreclatlve lnqulry) that lncorporate facilltators and share equtty and gender developed, applled and dlssemlnated at lnformatlon. the leve! of members and stakeholder groups at the end of . End-users-above all. the thlrd year (2007) farmers-wllllng to . A set of lnstltutlons not prevlously 1nvolved 1n the SN-3 participa te . actlvltles lmplement, together wlth the project, co- development processes of declslon-maklng and eco- technologtes wlth a partlclpatory approach. . A set of lnstltutlons not prevlously lnvolved In the SN-3 actlvltles lmplement processes of lntegrated lncorporatlon of particlpatory declslon-making (Le. , Agroenterprlses + CIALs + InforCom). . The approaches and dectslon-makJng developed by SN-3 orlented toward. . Evaluatlons of the peñormance of the project and lts members show that they are 1n llne wlth the mlsslon and L__ -- vlslon of SN-3 and CIAT. -- 276 Narratlve Summary IDdicatora Means of Veriflcatlon Important Aasumptlons Output 1 Mechantsms, approaches and . Methodology for evaluatlng the impact on the projects of . Document on impact of the CIALs on . Good coordlnatlon and methodologies developed and agrtcultural and llvestock technological lnnovatlon (PITAs) communttles' development In Cauca lntegration among 1 dlsserntnated for strengthentng developed by the end of 2006 and Honduras (2005) collabOrators. farmers' organtzatlons and rural . Irnpact of the CIAL methodology in Honduras and Colombia . Artlcle submltted for revlslon and . Mtntmal confltcts for i lnnovatlon systems to accelerate establlshed by the end of 2005 publlcatlon meeting demands. and instltutlonall.ze demand-drtven . Methodology for doing case histories on tnnovatlon . ILAC Brlef on tnnovatlon history . Full partlclpatlon of tnnovatlon in productlon systems developed by the end of 2006 rnethod publlshed in 2005 stakeholder groups. . Method for constructlng and learntng from tnnovatlon . At least 4 case histories on tnnovatlon . Fleld staff fulfllling true histories developed by end of 2005 publlshed by 2006 facllitator roles. . Procedure for partlclpatory evaluatlon of multlpurpose . Methodology for prepartng case . Data avatlable from forages valldated In collaboratlon wtth the Forages Project histories on lnnovatlon publtshed reference sltes. by 2007 . Manual descrlblng knowledge . Internet system . Effect of the CIALs in the comrnuntcatlon networks managernent avatlable functlontng well . establlshed in ptlot s ites by 2006 . Final report of FIT-8 project . Methodology for knowledge management a t the locallevel . Artlcle on procedures for partldpatory valldated and made avatlable to the supplJers of techntcal evaluatlon of forages submltted for asslstance and member organtzattons evaluatlon prior to publicatton . At least 7 cases on the methodology of knowledge . FOCAM progress report management systemattzed and shared wtth declslon-makers . Vlslts to the communttles where CIALs by the end of the first quarter of 2006 have been established . Methodology for balancing supply wtth technological . Records of CIALs establlshed in the demand at the leve! of producer groups and suppliers of Cauca Valley In database techntcal asslstance servlces, (www.enlaceclal.org) . At least 15 CIALs worklng on food securlty wtthtn the . Thesls on partlclpatory evaluatlon of organtzattonal structure of a govemrnent organtzatlon in multtpurpose forages avatlable Colombia . Guide on methodology for studytng . Partlclpatory methodology for studytng and improvlng social lrnprovernent of social networks, networks prepared in 2007 publlshed . At least one NGO uslng the methodology for improvlng social . Gulde to partlclpatory constructlon of networks by the end of 2007 project impact pathways, publtshed . Partlclpatory methodology developed for constructtng project • Impact pathway workshop reports, and lmpact pathways by end of 2006 individual project lmpact pathways . Partlclpatory constructlon of the impact pathways of 18 wrttten up CPWF projects in the Volta, Mekong and Karkheh basins Output 2 Conceptual and methodological Influenctng poltcy: . Documents on agreements, annual frameworks for building . Partnerships wtth nattonal and internattonal entltles for progress reports of the Kellogg-CAIS- lnstltuttonal and local capaclty of evaluattng, adapttng and disserntnattng partlclpattve IPRA/CIAT Project resource-poor communttles. dectslon-making methodologies . Methodological gulde for co- developed on the basls of an . Methodology for the co-development of technologies in an development of technologies, publJshed analysls of experlences in co- instltutlonal context valldated and dlssemlnated by the end . Techntcal reports on adaptatlon of development In LAC, wtth emphasls of2007 technologies, declslon-making and tool on gender and equity lssues; . Annual reports of the Kellogg-CAIS- dlssemlnated IPRA/CIAT project 277 Narrative Summary Indicators Means of Veriflcation Important Assumptions . CIAT technologles, declslon-making and tools adapted to the . Document of proposal for adjustlng to context of the Centers for Leaming and Exchange of SIBTA regulations presented to the Knowledge (CAIS) ln the second semester of 2007 system's authonties • Proposal for adjusting pollcles and/or regulatlons In a National System of Agriculture and Llvestock Technologlcal Innovatlon ready for presentation to stakeholders . FTom 30-50lk of the women ln the communltles exposed to the particlpatory methods and tools leadlng groups of fanners In technologlcal lnnovatlon processes Output 3 The resource-to-consumption (ERI) . Ftve projects and programs applytng the set of R-to-C tools . Project progress reports lnstltutlons wllllng to framework developed, tested and (ERI) by the end of 2007 . Set of manuals for onentlng the ERI, prepare and support applled to strengthen farmer . At least 301/o of the producer groups exposed to new publlshed and dlssemlnated widely facll!tators; funding organlzations and rural women's approaches for lntegrating particlpatory declslon-making . Two articles accepted for publlcation In ava1lable capaclty to make a transltion from wlll have adopted mlxed production schemes (subslstence joumals semlsubslstence to competltive. and commerciallzatlon of surpluses) by the end of the third market-oiiented production In year of the project (2007) Afr1ca . As a result of applytng new approaches for local agrtcultural innovatlon, at least 30% of the producer groups wlll have changed their subslstence systems for subslstence and commerclalization schemes ln the Project's pllot zones in Afr1ca and l.A by the end of 2007 . FTom 20-50% of the women wlll be particlpatlng In the 1 fanner groups and holdlng posltlons ofleadership . Degree to which men, women and marginal groups are denV!ng socloeconomlc beneflts from applytng particlpatory approaches . Degree to which the particlpatory approaches developed by IPRA have changed gender relatlons In communlties and famllies: women declslon-makers in the communltles Output 4 Methodologles for establishing . PM&E systems functlonlng In at least 10 rural communlties . Reports on establishment of PM&E ln Staff has time. sultable communlty-managed particlpatory In countJies of Afr1ca and l.A Afr1ca and l.A methodologies. and monltonng and evaluation systems . At least 6 piivate or publlc organtzations will have . Databases in whlch informatlon of the sufficlent funds available. (PM&E) tested. applled and wldely lncorporated this forro of declslon-making in their officlal established systems ls recorded dlsseminated R&D plans by the end of the th1rd year of the ProJect. . PM&E case studles. project reports • At least 1 O grassroots organlzatlons in Afiica and l.A ha ve . Reports of the events held by the adapted and adopted their own verslons of the PM&E facilltators system by the end of 2006. . M&E reports and databases. 1mpact . At least three teams of facilltators of particlpatory methods studies formed in Afi1ca and l.A by the end of 2007. . Manual on PM&E available . Methodology for establishing and lmplementlng PM&E processes at the grassroots communlty group leve!. valldated and dissemlnated 278 NarratlveSummary Indica tora Meana of Verifieatlon lmportant Aaaumptlona Output 5 Instltutlonal and organizatlonal . Number of publlcations increased 5~ for each of the three • Project reports capaclty of R&D partners to develop years in thJs planning pertod (2005-2007) . Publlcattons of interna! projects and and adapt comrnunity-managed . A 5~ increase in the number of entltles trained to other instltutlons partlclpatory research incorporate partlclpatory processes In thelr plans and . Train!ng manuals developed methodologles in R&D programs . Andean network operatlng actlvely organJzatlons effectlvely, . At least three new lnitlatlves that integrate the three RII • Reports of tralning actlvltles strengthened projects, terminated . Agreements made among second-order . Andean users' network of partlclpatory declslon-making, organJzatlons and publlc and/or prtvate managlng tools and procedures generated by SN-3 entltles . Number of tralning events . Web page, databases, virtual work . Second-order organJzatlons quallfted for provlding support spaces, interna! PM&E and servlces to local development publlcatlons . SN-3 informatlon, fo llow-up and evaluatlon system, whlch supports the processes of technological lnnovatlon 1 -------- effectlvely, deslgned and tested at the end of 2006 279 Output 1: Participatory Approaches and Methodologies for Strengthening Farmers' Organizations and Rural Innovation Systems to Accelerate and Institutionalize Demand-Driven Innovation in Production Systems, Researched and Disseminated Strengthening Rural Innovation Ecologies: Participatory Development of a Methodology for Strengthening Social Networks Boru Douthwaitel, Andrea Carvqjal T.2, Elías Claros3, Sophie Alvarez4, and Luis Alfredo Hemández5 Accomplishments Development of a prototype methodology for mapping and strengthening the networks of small rural groups. Abstract Innovation is a social process of putting new ideas and technologies to work. A rural innovation ecology is a metaphor for the web of social communication and interactions that may foster and curtail rural innovation. This project researched and developed a partlcipatory methodology to help make ruralinnovation ecologies visible. help identify interventions for strengthening social networks, and then help monitor and evaluate subsequent interventions. The research was carrted out with two Committees for Local Agricultura! Research (CIALs, their Spanish acronym): 'Fortaleza Carpintereña' (Morales, Cauca) andEl Progreso (Piendamó, Cauca). CIAL members participated actively in the development of the methodology. We conducted the following steps with each group. l . Exploring the nature and importance of social networks with participating groups 2. Designing a social network questionnaire 3. Mapping and partlcipatory analysis of the networks 4. Designing and implementation of a strategic plan based on this analysis 5. Participatory monitoring and evaluation based on re-drawing the networks The two groups are currently implementing their respective strategic plans. This project is a work in progress. This paper only addresses the design and implementation of a prototype of the tool, discussing the insights gained from its application in two communities. It still remains to be seen how this prototype may apply (or not) in groups different from CIALs, groups that do not have such an advanced previous interest in l. PhD. Agriculture - Technology Policy Analyst - CIAT - IPRA project- Colombia. b .douthwatte@cgtar.org 2 . Communication Assistant- CIAT- IPRA project- Colombia. a.carvajal@cgiar.org 3. Research Assistant - CIAT- IPRA project- Colombia. e.claros@cgiar.org 4. Research Consultant specialized in Sustainable community development - CIAT- IPRA project- Colombia.b.s.alvarez@cgtar.org 5 . Participatory improvement and research - CIAT- IPRA project- Colombia. L.a.hemandez@cgtar.org 280 participatory research and monitoring techniques. and if the insights gatned by the groups will translate into measurable interventions in the future. For now, the maps are being used as communication and fundraising strategtes tools by the groups. Additionally, gtven the importance of Social Capital and Networks for these small rural communities, any insight into the concept and even a partial approximation of the status of these in the community is bound to be of help. Periodical remapping is the longer tenn objective of this study, step 5 will take place in stx months. For now. this prototype will be further developed and honed to apply in other cases. and presented to NGOs. so it can hopefully go into a further stage of collaborative research (between NGOs themselves and with communities). Background In the 1990s CIAT began working in the Department of Cauca setting up CIALs, usually with four members. to provide their a research service. At flrst CIAL research was largely aimed at addressing issues related to food security. Over time. however. many of the CIALs undertook other activities. CIAL Carpintero for example has a membership of 16 women who engage in chicken rearing, coffee production, bread-making. and social work with the elderly in additlon to their CIAL research. CIALs are not the only type of small rural group (SRG) in Cauca. Other types of groups include those organized around coffee, sugar-cane and cnssava production. Such small rural groups (SRGs) are motivated to better their own lot as well as working to improve their communities. They represent a powerful force for rural development. In setting up and running actlvitles and projects, SRGs often look for resources from outside, including knowledge and funding. Their success depends on their access to these resources. It also depends on group organization. communication and trust between group members. and communicatlon and trust between group members and their respecitive communities. Access to knowledge. access to funding, communication and trust can all be represented by network maps. Objective To increase in rural communities their access and exchange of ideas, infonnation and technology, to facilitate innovation process with more sustainable and equitable outcomes. Methodology Our main research hypotheses were that: • Drawing network maps would help group members visualize networks of relationships that are important to them; • Group analysis and discussion of these maps will help the group identify measures to strengthen their networks; • Strengthening networks of relationships will help the group grow and prosper: • Redrawtng the network maps after a period of time will allow the group to monitor and evaluate interventions made to strengthen its networks. 281 We set out to test these hypotheses by undertaking action research to develop a participatory approach to social network analysis. Our methodology has five (5) steps, they are: l . Exploring the nature and importance of social networks with participating groups: We designed a basic workshop in which participants were able to build a social network deflnition like this one, made by Fellsa Suárez, a woman fanner of the Carpintero rural community, located in Morales, Cauca, described social networks: "It looks like to a parable oj the Bible, where the.fish is tcaught and. thefwnilies have their daily food. ... the networks are our hands and those oj people that care about our needs and our dreams ... Networks are a way oj sustaining us." lt was possible through a simple but clear exercise done in this way: facilitators ask participants to answer two questions: • From whom did you fmd out about today's meeting? • What was the means through which you received the information? Phonecall Someone told you Was at a meeting and someone mentioned it Another. Specify? The flows of information linked the participants together in a network. We used wool yarn in a group exercise to depict these flows between people, with different colours to indicate the different ways information was received. Once participants did this exercise. they discovered through a brainstorming session, the usefulness of a network mapping tool for groups of fanners or small producers organized in CIALs. Here are sorne ideas that carne from this: • We can see invisible threads and who connects them. • We can visualize whom we need to contact to achieve our objectives. • We can see the dlfferent types of networks that exist within the community (information flow. confidence. markets, etc.). After that. we took into account previous process that these groups have developed with PM&E IPRA-Team, which allowed us to identify with participant these networks to study: • Group membershtp • Search for resources and strategtc contacts • Advice 282 • Training • Marketing of group products 2. Designing a social network questionnaire: The surveys were designed taking into account the social networks of interest that were identified by each CIAL. Each question looks for information regarding a network. The questions were as follows: !Ir ... ·__ ._.... í .¡_ ~~-~/ •.... -···--···-;~ llY / 1\\ O....T .... o(' ¡ j. ~ rJ1' f iJ \ Oiga Onlcnoi-~ 1 00 ttJ Ondo Cln1>0 OoW! Figure l. Network map done using Inflow 3 .0 l . Group membership: What groups are you a member of? Searchjor resources: Name the people whom you have contacted. as well as those who have contacted you. seeking funding and/or resources in the last two years. Searchjor advice: Name the people whom you have contacted, as well as those who have contacted you, requesting guidance or advice related to agriculture in the last two years . Strategic contacts: Who are the key people you know at the different institutions wlth whlch your group works? Marketing: What products do you sell? How important are they for your family in come? Although we designed thls as a survey made of clear and common Ianguage. we decided todo it person by person to have opportunity to interact and to dialogue wlth participants more deeply about thelr networks and environments in where they were developing. Every interview took almost one hour to be done. Once we did all surveys 1 interviews. we systematized all information in excel tables, it is previous step to use our software Inflow 3.01 in (Figure 1) which we draw a1l networks maps for these two CIAL groups. 3. Mapping and participatory analysis of the networks: Taking into account two ideas: first. every one of these social network maps is a kind of picture that could show sensitive aspect of lnternal dynamic in CIAL groups. and second that maps that carne from lnterviews are not necessary the same perception of social network participants can have In their minds. 283 Because of that, the maps were printed out. poster size, and first checked with the CIAL leaders before presenting to the CIALs as a whole. The objectives of presentlng the maps were: • To share and explain the information contained in the maps. • For the facilitators to assess how easy the maps are for group members to understand. • To carry out a reality check on whether group members agreed with the information contained in the maps. • To motívate participants to think about ways of strengthening the networks depicted Sorne of the comments made during the participatory analysis indicate the usefulness of the maps. Comments included: • You know you"re there, but you don't know where. The map shows the locatlon. • The map serves as a guide. • We work differently, but a map (of any type) can be used to locate oneself. • Neither outsiders nor insiders should feel bad; each one to themselves. There was important reflection about the importance of the roles other CIAL members play, who, despite not being leaders, help motívate and maintain the groups' interna! networks. There was reflection in one CIAL about the urgent need to redistribute leadership responsibilitles among CIAL members. This helps ensure the continuity of the group and reduces the risk of the group disappearing if the leader is absent. The maps helped group members to: • Better understand how they are linked together within the group, and how they link to the outside to organizatlons such as CIAT, the municipal seats of govemment and the capital of the department of Cauca. • Initlate processes of reflection and change around issues such as the allocatlon of leadership responsibilitles within the CIAL. • Better visualize the impact of the group on their respective communities • Recall other links or relationships that they did not remember at the time of the interview and that will further enhance the social network maps. bringing them closer to reality. An unexpected development was that groups wanted to use the maps to present themselves to outside organizations, to explain the way they worked and their impact. In this phase, it means, through this process in which participants could analyze network maps, to discuss and to reflect about all those themes that were emerging during sessions, it was possible to identify what network these CIAL groups wanted to prtorttize and to study more deeply towards to design interventions strategtes. Both groups chose to priorttize the networks related to: search for resources and links to strategic contacts. 284 4 . Designing and implementation of a strategic plan based on this analysis: Two dynamics were employed to identlfy actions to strengthen the prioritized networks: • Network maps were presented together with tables that showed the number of links that group members had to outside organizations. This helped the groups see how they rrúght better share the work of building and maintaining these networks. It also showed how interactlons rrúght be better coordinated, and which links rrúght need more, or less. effort. • To help make the maps real the network maps were re-constructed using the individuals present. Bamboo poles were used to represent extemal actors. Coloured wool was used to represent links. Using this dynamic, the CIALs of each network answered the following questlon: Does the network operate sufficiently well asto respond to the group's initlatives and projects? They were also asked if sorne actors were rrússing who should be present. Concrete actions were identified to strengthen the respective networks, which were prioritized using a secret ballot. Both groups gave frrst priority to the idea of holding a workshop. To prepare these workshops, facilitators developed two previous meetings as follow: First meeting To identify key institutions and people to invite: it was necessary take into account social networks maps. and also to design sorne criteria such us make decision power, afflnity with CIAL groups project to undertake. influence zone and previous positlve experiences between invited and CIAL groups. To build an agenda. In this case facilitators made this question to guide discussion, it was: What message do you want to delivery to invited? To answer this question implied a deep reflection about importance and relevance of every single activity inside of agenda, as well as logistics aspects and group preparatlon. Second. meeting CIAL groups did a previous workshop in which all participants could developed their performance, It means, to do their own part inside of this workshop with opportunity to receive feedback from their partners and facilitators before to held real workshop. Finally, the workshops took place in the 'Fortaleza Carpintereña' CIAL on 17 November 2005 and in the 'El Progreso· CIAL on 18 November 2005. 285 These events became opportunities for dialogue and each CIAL had the opportunity to present its projects and initiatives to participants and in tum they received comments and comrnitments for future support in terms of knowledge and resources. 5. Participatory monitoring and evaluation based on re-drawing the networlcs: In six months we will re-interview and re-draw the network maps to monitor changes. Results • Prototype methodology to apply in social network analysis, tested in two CIALs. The methodology proved to be useful in the strengthening of social networks considered key for the sustainability and continuity of target groups (search for resources and strategic contacts). • The next step is to co-develop the prototype With interested NGOs. Interest has been expressed by the University of Cauca. CREPIC and CORFOCIAL. • This pilot project aroused the interest of other CIAT projects, such as Institutional Strengthening of Centers for Leaming and Knowledge Sharing (CAIS, its Spanish acronym) and Rural Planning, which decided to include it Within their work agendas. Conclusions • Social network analysis helped the two groups we worked With better understand their networks and based on this understanding identify steps to strengthen them. • The discussion of the meaning and the importance of network maps helped individuals in the groups better appreciate each others roles. Management issues, such as the over reliance on a group on certain individuals, were discussed. Bibliography Rob Cross, Andrew Parker, and Robert L. Cross. 2004. The Hidden Power of Social Networks: Understanding How Work Really Gets Done in Organizations. Harvard Business School Publishing Corporation. 212 p. John P. Scott. 2004. Social Network Analysis: A Handbook. SAGE Publications. Fourth edition. 208 p. Camilo Madartaga Orozco, Raymundo Abello Llanos, and Ornar Sierra García. 2003. Redes sociales: infancia, familia y comunidad. Universidad del Norte. 184 p. Valdis Krebs. Inflow Software. ORGNET.COM. 2005. 286 Learning about Partnership through Constructing Innovation ffistories 6 Boru Douthwaite7 , ALok SikkaB, Rasheed Sulaiman9, John BestlD, and John Gaunti 1 Accomplishments Adaptation of the innovation history method for identifying and communicating policy lessons Abstract This article describes an experience of adapting and using the innovation history method in India to draw lessons learned from experiences ofworking in projects that involved partnerships. The innovations studied were novel partnering arrangements and how they had formed. The article aims to show how a workshop provided space for people representlng member organizatlons of each partnership to track and analyze the institutlonal changes that were required to make the partnerships effective, and then to communicate their flndings to a policy audience. Introduction Constructing an 'innovation history' is a method for recording and reflecting on an innovatlon process. People who have been involved in the innovatlon jointly construct a detailed written account based on their recollections and on available documents. The process of prepartng this history stimulates dtscussion. reflection and learning among stakeholders. Others can also leam, either by studying an individual case or by compartng experiences across severa! cases. Subsequent planning can build on the lessons learned. formulate a shared vision and act as a catalyst for change. Based on the initial detailed account of the innovation process. more conctse information products can be prepared that summarize the innovation process for wider promotion or sharing of flndings . These may include public awareness matertals, policy brtefs or articles in professional journals. Innovation histories provide causal explanations for two outputs: • An innovatlon timeline that sequentially lists the key events • Actor-network matrices and maps that show the 1inks among stakeholders at different points on the timeline. usually at the beginning and end of the history. 6. This document is an output from a project funded by the UK Department for lnternational Development (DflD) for the benefit of developing countries. The views expressed are not necessarily those of DflD. 7. Senior ScienUst, International Center for Tropical Agriculture (CIAT). Cali. Colombia. 8. Director. ICAR Research Complex for the Eastern Region, India. 9. Senior Scientlst, ICAR Natlonal Centre for Agricultural Economics & Policy Research. India. 10. Senior Research Fellow. Intemational and Rural Deveiopment Departrnent (IRDD), The University of Reading, UK. 11. Director. GY Associates, UK. 287 Constructing innovation histories usually begins with a start-up workshop in which participants work together to develop the first drafts of the tlmeline. network matrices and maps. The participants decide on which themes they wish to investiga te; e.g .. partnerships and their effect on the innovation process. The participants then identify whom they need to interview and what literature they need to collect. They electa core group to manage the process, including sharing drafts of the innovation history as it is written and fostertng discussion. This discussion culminates in a second workshop in which the lessons learned from the innovation history are identified and dtscussed; then the next steps are agreed upon and implemented after the workshop. The participants also agree on a strategy for publishing and disseminatlng findings at this workshop. A more detailed description of the method can be found at http:/ /www.cgiar-ilac.org/downloads/Brief5Proof2.pdf Partnerships as innovations Working in partnership, when it allows for two or more organizations to leverage each other's comparative advantages, is now recognized as a successful strategy for improving livelihoods of the rural poor. However. to form functioning partnerships effectively can presenta challenge. Partnership requires mutual recognition of each partner's strengths and, possibly. changes in organizational culture that reflect that such strengths are valued. Both the Indian Council for Agricultural Research (ICAR) Natural Resource Management (NRM) directorate and the Department for Intemational Development (DflD) Natural Resource Systems Programme (NRSP) have supported research projects that have directly challenged scientists to explore new ways of working, with sorne good results. This workshop was part of a project funded by DflD-NRSP (PD140). which sought to validate the lessons learned by such projects and explore ways to promulgate good partnertng practices. Workshop design The workshop organizers saw an opportunity to scale up good partnering practices through the new World Bank-funded National Agricultural Innovation Project (NAIP) that will begin in 2006 with a budget of US$250 million. NAIP wil1 set up 'consortia' of different types of organizations, including research, extension, public- and private-sector organizations, to work in partnership to foster rural development. The NAIP coordinator was interested in using the workshop findings to help NAIP understand what working in partnership means in an Indian NRM context and to take advantage of the lessons learned. The workshop was held from 7-1 O November 2005 in New Delhi. The objectives were to identify: • the benefits of working in partnership • enabling and constraining factors • policy and research management strategtes to foster partnerships The workshop proposed to achieve these objectives through joint analysis of four NRM case study projects by resource people knowledgeable about their respective organization's role. The projects were selected on the basis of being innovative in their partnering arrangements (Box 1). 288 Case study A Title: Partners: Interventions: Location: Novelty: CasestudyB Tttie: Partners: Interventions: Location: Novelty: Casestudy C Tit1e: Partners: Interventions: Location: Novelty: Case studyD Title: Partners: Interventions: NoveLty: Box 1: The Case Study Projects Integrated management of land and water resources for enhancing productivity and lmproved Uvelihoods through improved crop and soU management (two NRSP projects that merged) ICAR Research Complex for Eastem Region ; IACR. Rothamsted, UK; and, Catalyst Management Services (CMS), Bangalore (a) Delivery of rural services (b) Development of local institutional arrangements that enable rural men and women, specifically including the poor, to improve their livellhoods through land and water management. Patna, Bihar and Eastem Uttar Pradesh. The expertence of ICAR researchers and intematlonal scientists in working in a full parlnership with a prtvate sector company specializing in community development. The project gave the community development speciallsts the space to develop and adapt their own methods to meet general goals, rather than being treated as subcontractors to work in ways prescrtbed by ICAR or intematlonal partners. Improved Llvelihoods in Watersheds through Consortia Approach Intemational Centre for Research in the Semi-Arid Tropics (ICRISAT), Hyderabad; District Water Management Agency; Central Research Institute for Dryland Agriculture (CRIDA). Hyderabad; M Venkatarngiya Foundation (MVF). Secunderabad. National Remote Sensing Agency (NRSA), Hyderabad; and farmers in Kothapally through the watershed association, watershed committees, user groups and self-help groups. lncreased agrtcultural productlvity, improved water availability, employment generation and reduced soil run-off Andrah Pradesh The novel consortia approach to research required development of new arrangements within ICRISAT to allow decentralization of the project administrative functions requtred to support multi-stakeholder projects in dUTerent, widely spread locations. Rice-Wheat Consortia CGIAR Centers including the Intemational Maize and Wheat Irnprovement Center (CIMMY11. ICRISAT and the Intemational Rice Research Institute (IRRI); ICAR; prtvate sector input and service providers, agricultura} machinery manufacturers and NGOs. Research on rtce-wheat systems, participatory needs assessment. particlpatory valldation and retlnement of technologies, and technology dissemination Andrah Pradesh A strategic assessment of opportunities on the Indo-Gangetic Plains was used to target a consortia research and technology development strategy that included the prtvate sector. Partnertng arrangements have evolved: The consortia now work more with commun1ty-level 1nstltutlons rather than lead farmers. Community Development in Gujarath by the Aga Khan Rural Support Project (India) Aga Khan Rural Support Project; Community Group (GVM); Bank; Farmers Federation; Milk Union; state departments dealing with agrtculture, soil and water conservatlon, irrigation and forestry. Joint forest management, soil and water conservation, and agroforestry; establishment of self-help groups; biogas; !rrigation schemes; input supply and output marketing; dairy and micro enterprtse Long-term partnership with a community that went from being poorly organized and dependent on the AKRSP to being well organtzed and independent 289 We carrted out the analysis of the case studies using adaptations of the innovation history approach. Due to time and budget constraints, an adaptation was made, dropping one workshop and asking participants to prepare timelines and network maps from their own organtzation's perspective ahead of time. Another input to this workshop was a report written by one of the authors based on a series of interviews of policymakers and senior research managers to document their questions and insights with respect to partnership in the context of NRM research and development. The workshop participants then analyzed the case studies and the policy study to identify lessons and principies. The second adaptation was to design the workshop to "prepare for a policy panel." Participants carrted out the analysis on days 1 and 2 and then became the resource people on Day 3 when peers joined to discuss the findings from the individual case studies and help identify policy implications and develop the presentatlon to the pollcy panel. The presentations to the policy panel were rnade on Day 4. The process and relatlonships between the various elernents of the workshop are shown in Figure l . Eight senior and mid- level policymakers were invited to forrn the policy panel to react to the workshop's findings, and their inherent policy implications. This was a strategy to begin dissernination of the workshop fmdings immediate1y. The other strategy was to pay for a professional writer to attend the workshop to produce a policy brief and partner resource from the workshop findings. Partner5hlp tlmelines and ac101 network mauw:es pact _.¡ .CPWF ls 1 1 ln1lact Narnltives and MSC, as.sessn-ent approaches pro~fowsed to COI'Mlunlcate research resean:h program Capaoty bulk in projects and In 1 Poslive _l l basln management In constructing feedback More ~ mpact pathways and lmpact adoption narratives l_Some projects adopt MSC es l ~CPWF 1s peratilled as r M&E component ot lmpact aprob~sed pathway evliiJatJon reseMth ram Projects l Project Project t- l request mpaa lmpact dlanges In M&E pathways Narratives Projects bulld procedures ~ ~.tPWF H Projects understand ~ partnershlps for better thelr mpact ríf pathways scallng-out and ~n~ ~ls ·up s:;r Workplen(s) Most Signif'ocant pjloted in one Cha nge method ~ lnaeM~g basln for Odiptlng evaluated and and uslng MSC In adapted in lntere.sted pro)ects lnterested projects \. \ 1 Clpaclty buit In mplementlng MSC r Figure 2. Part of the lA project impact pathway. Bibliography CPWF (Challenge Program on Water and Food) Secretariat. 2005. Medium Term Plan 2005-2007. lntemal CPWF document. IMWI, Colombo, Sri Lanka. 298 Farmers' Participation in Land Degradation Assessment: The Case Study of Farmers in the lfighlands of Southwestern Uganda R.N. Muzira2o, P. Mbabazi21, R. Bagyenda22, P.C. Sanginga23, and R. Delve24 Abstract To reverse soil degradatlon in Uganda. active partlcipatlon of the farmers is important in research process. Participatory land degradation assessment done in Kabale district found that approximately 65o/o of the land was under cultivation. Farmers' perception on soil fertility was that valleys were more fertile with deep soils (>80 cm) compared to the abandoned land that was considered infertile with shallow soils (0-30 cm) dueto erosion. The soilloss was generally observed to be highest in Muguli B with 7.2 and 24.6 t h-1 and lowest in Habugarama with 0.1 and 0.3 t ha-1 on gentle and steep slopes respectively. In Muguli Bit was the poor losing more soil (22.1 t ha·l) compared to the rtch (17.9 t ha-1). Contrary it was the rich that were losing more soil in Karambo and Habugarama (19.3 and 0.2 t ha·1) compared to the poor (11 .0 and 0.1 t ha·l) respectively. Keywords: Degradation. partlcipation, research, perception, fertility and soils Introduction The wide and high rate of soil degradation in form of soil exhaustion and erosion in the highlands of Uganda (Muzira et al., 2004) have led to decline of crop yields in the recent past (Muzira et al. , 2003). Soil erosion is predominant dueto steep and long slopes that favor high soil erodibility and erosivity (Mbabazi et al., 2003). The high population pressure on the land has resulted into intensive cultivation in tum leading to deforestation exposing soil to agents of erosion (Bamwerinde and Place, 2000). Most of the marginalized areas ha ve been cultlvated and conservation measures such as grass bunds destroyed by farmers in search of fertile soils. Most of the hUltops are abandoned due to soil infertility associated with erosion and shallow soil depth {Raussen et al, 2002). In this paper, findings of farmers' perception regarding causes of soil degradation, extent of the problem and possible solutions are presented as part of the land degradation assessment project initiated by African Highlands Initiative in Rubaya sub-county. Kabale district. Materíals and methods Study site: Kabale district is located about 410 km from Kampala, capital ofUganda in the southwest. It covers an area of 1.827 km2 and according to the 2002 population census results it is one of the most densely populated (350 persons km·2) districts in Uganda. The relief ranges between 1.800 to 4,000 m.a.s.l and rainfall is bimodal with short rains in February-May and long heavy rains in September-December with annual mean of 20. CIAT Africa, PO Box 6247, Kampala-Uganda. 21. Mbarara University, PO Box 1410, Mbarara-Uganda. 22. Wetland Inspection D!vision, PO Box 9629, Kampala-Uganda. 23. Rural Sociologist. Enabling Rural Innovatlon. 24. Soil Sclentist, TSBF-CIAT- Faculty of Agrtculture. Un lversity of Zimbabwe. 299 800-1000 mm. The participatory study was conducted in 3 partshes of Buramba-Mugandu and Kitooma watersheds in Rubaya sub-county. Farmer participatory assessment process: Researchers guided community members to assess land degradation levels in the 3 watersheds. Focus Group Discussions in each community was used to get information pertaining land use. land degradation and soil fertility management. Members conversant with the community drew resource map showing location of the natural resources. areas with land degradation and need interventions. Transect walks were used to re-affirm what was in the community map drawn. More data was generated through field interview, discussion, observations and measurements in selected plots of the wealth and poor farmers as ranked by the communities. Soil loss determinations were based on methods described by Stocking and Mumaghan (2001). Results and discussion Farmers' perception of land use and management: The hills are extensively and intensively cultivated to the extent of encroaching marginalized areas leaving less land under fallow, woodlots and grazing (Figure 1) . Woodlots are normally planted in already exhausted plots with shallow soils. which are mostly located on hilltops. Approximately 23% of the total arable land is under natural fallow for one or two season as a means of replenishing soil fertility. Most farmers prefer natural fallows dueto its positive attributes compared to other technologíes {Table 1). Where perennial crop such as fruits and trees are dominant. fallow is not used at all. 70 60 50 'O 40 ~ .... o 30 ;f o 20 10 o Cultivated Fallow Woodlot Grazing Figure l . Farmers' perception of agricultura! land use. 300 Table l. Farmers' perceptions on so!l fertil!ty management technologies in the communities. SoU fertility PositiV'e attributes Negative attributes technology Natural fallow • Does not require seeds • M ay lead to of noxious weeds • Provide medicinal herbs • Requires much labour durtng land clearing • Does not require land • Short benefit of soil futility preparation • S low establishment may lead to erosion • Cheap to replenish son fertility Fertilisers • Easy to apply • Not found within the communities • Qu ick plant response • Easily lost from soil • Good for high value crops • Due to its high costs high value crops are given priority Improved fallow • Provide wood fue! • Seeds are expensive to buy • Fodder for animals • Requires labor durtng clearing and • Provide stakes incorporation of green manure • Control of diseases and pests • Seeds unavailable in community • Improves soil fertility • Sorne are slow to establish • Requires labor for establishment FYM • Consldered ch eap • 1t is bulky • Used in fish pod • Btg variation in quality • Good for low value crops • May cany diseases pathogens for crops However. households who depend more on non-farm activities in their livelihood are more apt to use of fallows. Fewer farmers engaged on commercial production of potato apply fertilizer less than 1 kg of a nutrtent ha-1 on average. This has resulted into negatlve nutrient balance, as more nutrients are lost from the soils. Farmers' perception on the extent of land degradation: Most hilltops have been abandoned dueto lower returns to land and labour. Lower terraces are associated with fertile and deep friable soils as observed during cultivation. Dueto declirung soil fertility sorne farmers opt for bund destruction in search of fertile soils (Table 2). Bund destruction was also associated with heavy rains and livestock grazing exerting pressure on the bunds while others are destroyed dueto increased heights attained resulting from soil accumulation. New ones are normally formed with help of trash Unes. Table 2. Estimates of plots with destroyed bunds. Village No.of Total number of No. of plots with B/ A households plots destroyed bunds (%) (Al (B) Karambo 50 500 30 60 Kagyera 68 816 30 44 Habugarama 6 1 6 10 18 30 Muguli B 72 576 06 8 301 Nonetheless. Muguli B village in Mugandu parish had lowest bund destruction in relation to households compared to other communities. This could be attributed to the variation in effectiveness of community leaders in implementing the bye-laws. Due to excess soil erosion, surface runoff and continuous cultivation most of the farmers' plots have declined soil fertility (Table 3) associated with shallow septh. Table 3. Farmers' perception on soil fertility variation on hill slopes. Slope position Farmers' rating of Farmers' description Estimated soil depth soil fertility of soil depth Hilltops Extremely low Shallow 10-30 cm Shoulders Extremely low Very shallow 0-10 cm Back Slopes Very low Shallow 15-20 cm Foot Slopes Low Fairly deep 50-80 cm Valleys Medium 1 Good Deep > lOO cm Soilloss in individualfarmers' plots: Soilloss was greatest in Karambo and Muguli B villages dueto long and steep slopes resulting into high soil erodibility (Figure 2). This implied that very steep areas are not suitable for cultivation. Soilloss was mainly through rills developing in farmers' plots. In Habugarama in Kitooma parish with reduced slope angle and length expertenced low soil erodibility and erosivity. This is contrary to the effectiveness of byelaws of the community. Byelaws should not only look at soil conservation measures in individual plots but keeping off steep slopes from being cultivated and planted with trees and grasses. Soil loss was mainly highest at the beginning of the rain season as there is normally low soil cover provided by crops. Soilloss was also closely associated with the crop failure. For instance bean crop destroyed by root rots do not provide sufficient soil cover leading to soil and nutrient losses within rain seasons. 25 20 [] Gentle slqx! ~ ro • Steep slope .e: 15 ~ r/l r/l .Q 10 -o (/) 5 o M..JguliB Figure 2 . Variation of soilloss through rills With village communities. 302 It was also observed that the rich farmers lost more soils in Karambo and Habugarama though average soilloss was lowest in the latter community (Figure 4). This shows that less investment is done on soil conservation as the environment is exploited to improve household income. Muguli B the poor experienced higher soilloss than the rich though on average soils loss was highest in this community. The poor were mainly composed of the widows and female-headed household whose plots were mainly situated on steep slopes and could not afford the costs of soil conservation measure. Trenches are nonnally used to control soil erosion and surface runoff and yet they are labor demanding. This becomes almost impossible for the poor and weak to afford. Also farmers who manage to use trenches go further to de-silt every time they get fllled up with the eroded soil implying that they are costly and time consuming. 22 20 18 16 - cd 14 1 mrnch •Poor ¡ .e ~ 12 (/) (/) 10 o - -o 8 (/) 6 4 2 o Mt.guli B Figure 3. Variation of rtll soil Ioss with wealth category of farmers. Conclusions Farmers have considerable knowledge about their ecological niches and therefore soils. Farmers' perception of specific land quality exists but land degradation is rather explained by crop responses. Farmers are generally aware of the causes of low soil fertility. In sorne cases, the possible solutions are known but various types of constraints limit application. Thus priority has to be given to solutions with low capital requirements. Addressing the problem of land degradation entails improving fanners education and development of high value crops that fetch high household incomes. This could reduce extensive cultivation of the land and therefore saving marginalized land from encroachments. Increas ed non-farm activities would reduce labor capital on land, which has led to intensive cultivation. Population pressure on land could be reduced through controlled population growth and encouragement of emigration from the highlands, thus reducing man's activities on the land. Private investment in soil and water conservation structures such trenches (ditches) and tree planting and promoting livestock production especially small ruminants such as goats and 303 sheep and poultry could be enhanced. Forages grown for livestock provides protective cover to the soil against rain splash and more rainwater could infiltrate through the soil hence reducing surface runoff and erosion. Bibliography Bamwerinde, W. and Place F., 2000. Factors Explaining Land Use and Abandonment in Kabale District, Intemational Centre for Research in Agroforestry (mimeo). Mbabazi P., Bagyenda R. and Muzira R, 2003. Participatory land degradation assessment in the highlands of Kabale district, southwestem Uganda p. 82 Muzira R., Kabale farmers' groups, Sanginga P and Delve R., (in press). Farmers' participation in soil fertility management research process: Opportunities for rehabilitating degraded hilltops in Kabale, Uganda. Muzira R.. Kabale farmers' groups, Sanginga P and Delve R., 2003. Farmers' participation in the identification and evaluation of potential soil amendments in Kabale, Uganda Raussen T .. Place Bamwerinde F .. 2002. A survey to identify suitable agricultura! and resource-based technologies for intensification in southwest Uganda. Stocking M. and Niamh M., 200 l . A handbook for field assessment of land degradation. Earthscan Publications Ltd, London. 304 Participatory Research and Extension in Agrlculture - Organization of Learning Approaches Wouter Ton25 Introduction Different approaches have been developed to facilitate the farmers' participation in the development of technologies to reduce poverty. These approaches facilitate interactive learning processes. where the farmers' knowledge is incorporated in the research and extension process and the farmers' agricultura! knowledge and sk.ills are enhanced, which in tum could be reflected in increased production. Learning is an intentional process that requires a designed leaming event and a situation where learning can take place. Leaming events come in many different shapes. Befare the results for the organization and the farmers become visible, the farmers have to apply what they have learned. This research indica tes that the characteristics of the organization determine the type of participatory research and extension {PR&E) used by organizations to increase farmers' participation. Aims of this research The purpose of this research is to determine the factors that influence the outcomes of different PR&E approaches on farmers and scientists. This will be done by answertng the following research questions: l. What are the characteristics of the organizations implementing PR&E? 2. What are the characteristics of the vartous types of PR&E? 3. What are the outcomes of PR&E on farmers and scientists? Research methodology This research will be conducted in three stages: • Develop a framework for PR&E based on research of relevant literature. • Survey the fleld staff and managers in research. development and extension organizations to investigate their perspectives regarding the different approaches in PR&E. A questionnaire was developed based on the model presented in Figure l. The questionnaire includes 59 questions to investigate the different aspects that might have an influence on the outcomes of PR&E for farmers and scientists. The respondents tndicate on a five-point Likert-scale whether they agree with statements indicating a posttive attitude towards PR&E. When strongly dtsagreeing, a value of 1 is asstgned, while 5 indicates that the respondent strongly agrees with the statement. To determine the influence of the characteristics of the organization on the PR&E approach , independent sample T-tests are condu cted to compare the means of the characteristics of the PR&E approach and the outcomes of the groups formed by the characteristics of the organization. The questionnaire is distributed vía e-mail and handed out during interviews of govemment organizations (GOs) and nongovernmental organizations (NGOs), dealing with input- or knowledge-based technologies. 25. University of1'wente, En schede. The Netherlands. 305 • Cany out case studies in Uganda to collect information from organizations and farmers. The case studies consist of two parts: First 12 research, extension and development organizations were selected based on their size, objectives and funding. Then interviews were held with the management of these organizations to get a general view on PR&E in Uganda. Secondly, four organizations working directly with farmers were selected for an in-depth study, which focuses on farmers because they are the main intended beneficiarles of the PR&E approaches. Results Building a theoretical framework: The theoretical framework has three components: the characteristics of the organization and of the PR&E method, and the expected outcomes of the PR&E approach. Characteristics of the organization: There are three main characteristics to describe an organization with: l. Technology the organization is promoting: Technologies can be classified as input-or knowledge-based (Rogers 1995). Input-based technologies usually have direct outcomes on yield and depend mostly on the availability of a physical input. Knowledge-based technologies depend on farmers' learning biophysical principies involved in pest control and then applying the acquired knowledge to make better decisions. This type of technology is more complicated and requires a change in attitude. 2. Objectives: The organization's objectives can be research, extension or development. The orientation of the organization will have an influence on the type ofPR&E. 3. Funding: The Government can fundan organization, making it subject to all its prevalent regulations. NGOs are organizations that supplement government tasks. They may work within govemment programs but are financed by outside donors. The donors exert substantial influence on the NGOs, which have to apply to the donors for funding their projects but get money when the project fits within the donor's policy. Characteristics of PR&E methods: To describe the differences between the various PR&E approaches Probst et al. (2003) used four characteristics: l. Types of participation: J ohnson et al. (2003) ha ve developed a system to classify the level of participation. They distinguished five levels: Conventional: Scientists make the decisions alone. Consultative: Scientists make the decisions but after communicating with farmers. Collaborative: Decision-making authority is shared between farmers and scientists. Collegial: Farmers make the decisions collectively after communicating with scientists. Farmer experimentation: Farmers make the decisions in a group. 306 2 . Stakeholder involvement: The selection of participants is important. When they all have the same background, the range of possible solutions is restricted beca use all participants have more or less the same knowledge. By exposing the members to new ideas from other group members, new solutions can be found. The selection of the group members can be done on different grounds: self-selection. based on efficiency. the community can select the participants. or the scientist may appoint them. 3 . Roles ofthe f acilita tor: The facilitator's role is very important in the execution of the program because this person is the link between the organization and the participants. The facilitator is the one that has to implement the program and transfer the learning strategies. In a learning situation the facilitator will have more of a teaching functlon whereby the facilitator is seen as the expert providing knowledge to the participants. In a development-orientated PR&E method, the facilitator will have a more coaching role. thereby stirnulating the participants' learning process. 4. Leaming s trategies: The organizational structure of the research and extension organizatlon will greatly determine the design of the leaming event. If the organization is centralized, it wil1 have a top-down approach to learning. A decentralized organization will be more likely to seek involvement with the stakeholders. All PR&E methods take groups as leaming units and actively involve farmers' groups in the learning process. Expected outcomes There are two main groups that will benefit from the PR&E. These are: l . Fanners: The learning strategies are aimed at the participants' learning and therefore determine the success of the intervention. The technology is disseminated in a program to the partlcipants who are supposed to leam. This Iearning is shown as a change in attitudes and increased skills. Applying these changes will result in a changed behavior, which should lead to better results. 2. Scientists: The expected results of PR&E for the scientists are a direct link between the farmers and the scientists. resulting in more valid research data. Through the farmers-scientists link, the latter will get feedback on their work in order to develop technologies that have a close fit with the farmers' needs. More approprtate technologles will enhance the farmers' adoption of the same. By involving farmers in the research process. the technologies can be tested under a wider range of conditions because more test si tes are used so the validity of the research results will increase. The theoretical framework is summarized in Figure l. Results of survey of views of managers andfie ld sta.ff on PR&E In total 37 people representing 23 organizations responded to the questionnaire. Table 1 gives the division of the 23 organizations. distributed by types. Table 2 gives the average scores for the various aspects of the theoretical framework. 307 Characteristics of organizations • Technology • Objectlves • Fu nding ~ Characteristics of PR&E • Type of participatlon • Stakeholder involvement • Role of facílitator • Learning strategies ~ Outcomes • Learning • Applicatlon • Results Figure l . Charactertstlcs of the organizatlon, PR&E and outcomes. Table l. Number of responses for each type of organtzatlon. Charactéristic$ of orgánization :/. . .·· No~ of Respondents GOfunded NGO funded Input-based technology 2 3 Knowledge-based technology 7 11 Development o 6 Extension 4 2 Research 5 5 Table 2. Average scores for PR&E characteristlcs and outcomes. M SD Type of participatlon 1 60o/o 20% Roles of facilitator 3.64 0.70 Learning strategies 3 .40 0.7 1 Learntng 3 .38 0.73 Applicatlon 3.66 0.56 Results 4.13 0 .50 l . The leve! of participation is the percentage of all decisions taken by farmers; the other scores are on a five-point Likert scale. 308 Table 3 gives the influence of the three organizatlonal characteiistlcs on the level of participa tlon. Table 3. PR&E characteristics for different types of organizations. Technoloty Objectives Funding Input Knowledge Research Extension Development NGO GO M M M M M M M Type of participation 77%1 55%1 66%2 45%2 60%2 56% 53% Roles of facilitator 3.72 3.62 3.86 3.45 3.51 3.58 3.69 Learntng strategtes 3.24 3.45 3.62 2 .92 3.58 3.083 3.613 l . 2, 3. Significant differences. If the organizatlon is disseminatlng an input-based technology, farmers' participatlon appears to be less when compared to organizatlons disseminating a knowledge-based technology. The objectlve of the organization has a great influence on the level of participatlon. For funding it was found that goverrunent-flnanced organizations invest more in the learning strategies; thus they have a better result for learning and the application of the new knowledge. Results of interviews on PR&E approaches with 12 organizations Table 4 gives an overview of the results of the interviews with the twelve organizations. The objectlves, funding and the type of technology being promoted are indicated for each organization. An inventory was made of ten actlvitles cariied out by the organizatlon duiing the research and extension process. Five of these actlvities can be labeled as participatory: participatory rural appraisal, community-based facilitators. farmers' involvement in evaluation, technology development by farmers, and organizations working with farmers directly. Nonparticipatory actlvttles are a central demonstratlon plot and training. The remaining three actlvitles- exchange visits, technology testlng and on-farm demonstratlons- are undetermined. To indicate the level of farmer participation in the PR&E approach. the total of the participatory activities is presented in the column "Level of participatlon"; e.g .. BARNESA is working directly with farmers and evaluates with farmers so the level of participation is 2. Results of in-depth study of four selected organizations The four selected organization were A2N in Tororo distiict, ActionAid 1 ccc in Kapchorwa distiict, NARO (bananas) and VEDCO in Luwero distiict. In total 17 interviews with 135 farmers were conducted, representing 17 farmer groups (total membership 665) assisted by the four organizatlons. The groups for the interviews were selected by the organization. Stakeholder involvement and type ofparticipation: The farmers'level of participatlon in the design is determined by the organization's objectlve. In a research- oriented organization like NARO, scientlsts will do the design without farmers; therefore scientlsts and farmers will have a consultatlve relatlon (Johnson et al. 2003) . In development-oiiented organizations like A2N, ActionAid or VEDCO. the farmers will be more involved in the design and therefore their relation can be characterized as collaborative. The implementatlon is characterized by the range of activitles that together form the PR&E approach. Depending on the type of activity, the farmers will be more or less involved. All organizatlons involved farmers in the evaluatlon. 309 Table 4. ActiVities canied out by the twelve organlzations. Organization Activities Participatory Undetermined Non (Ü 1-o (/J ~ 1-o ..... (/J o ..... . (/J o -e j t:: e -a S:: S:: o o 0.. ti §. 'QI) ¡j § o ~ o $ § ~ ~ .S ¡j ~ ¡j ~ (/J ~ o · Ui rl) 1l % o 'QI) e 'O ~ ;::1 ~ > o rl) 'QI) o > t:: ~ .... S:: .E o o o (/J ~ ¡j .:a & ~ :S Q) o ~ S:: () o 'O '0.0 e e S:: e ca o ..r:: o co () Q § o e 0.. J5' & e- rl) o () ~ o 1-o 'O ~ ..... ~ o 1-o o ~ ..r:: S:: o o .:a j o .... ~ () ..e: 'O ~ S:: 'QI) S:: ~ () (Ü ~ 0.. ;::1 ~ 'O ~ e ..e: b ~ () 1 ~ ~ S:: e o o o ~ ü ll. ü Africa Highlands Initiative (AHI) K R N • X 1 Banana Research Network for East I R N X X X X X X X 2 and Southem Africa (BARNESA) ActionAid K D N X X X X X X X 4 Appropriate Technology Uganda 1 D N X Xl X X X X X X 4 Afrtca 2000 Network (A2N) I D N X X2 X X X X X 5 Environmental Alert K D N X X:t X X X X X 5 Prolinnova K D N X X X X 3 Volunteer EfTorts for Development I D N X Xl X X X X X X 4 Concems (VEDCO) National Agrtcultural Research I R G X X X X X X X 2 Organization NARO (hortlculture) NARO (bananas) 1 R G X X X X X X X 2 NARO (postharvest technology) I R G X X X X X 2 ULAMP (NAADS) K E G X 3 X X X X 2 !=input based. K=knowledge. based, R= research. D=development, E=extension, N=NGO, G=Government. l. Organizatlon staff member facilitates groups and community-based facilitators; 2. Organizatlon staff member facilitates first generatlon Farmer Fields School (FFS); 3. Second-generation FFS facilitated by community-based facilltators; 4. Implemented through exiSting government extension programs; 5. Implemented through GOs and NGOs. Roles of facilitator: The facilitators often act as teachers. They organtze the learning activities and provide inputs like seeds and fertilizers, and knowledge. There are three types of facilitators: 310 FacUitatorsjrom organization headquarters: They are well-educated facilitators who train other facilitators and provide training to different farmer groups. but are not attached to a specific group. Group-basedfacUitators: They are attached to one or two farmers' groups and are paid by the organization. Their leve! of education is lower than the frrst group of facilitators . They often ortginate from the government extension service but start working for NGOs beca use of the better payment. Community-basedfacUitators: They are often members of the farmer group who has received training for sorne weeks to become a facili tator. They are not paid, but get incentives like a bicycle. The way they have been trained is determining the way they are interacting with the farmers . Leaming strategies: Each organization has its own PR&E approach consisting of a selection of learning activities like study tours to create awareness, training that includes practica! components. trials and demonstrations. and printed support material. The farmers are not involved in selecting these learning activities. The PR&E approach is developed by the organization as part of its policy. based on beliefs within the organization asto the best way to engage farmers in the development process. the available resources and previous experiences. This approach is applied uniformly, regardless of the level of complexity of the technology being promoted. A2N is using a constructivist approach to learntng. Observation and analysts fonn the startlng point of the learning process. Possible causes and solutions are discussed. Farmers learn from each other's experiences; and where applicable. the facilitator's expertise is brought in. The other three organizations use a more technocratic way of teaching. Learning methods like explanation, questioning, exercises, presentations and practica! work are employed. Demonstrations are used to create interest in the technology. Model farmers in the community show the posstbilities of the technologtes in the local context. Demonstrations and practica! work are not really encouraging the fanners to apply what they have learned because these events usually consist of showtng and telling. Working in a group assumes a unifonn type of farmer with the same ability, needs and learning style. Outcomes for farmers and scientists: The two main outcomes for farmers are empowennent and an increased income. All organizations are working on the empowennent of groups, but the groups are not yet equal partners in the development process. In the newly introduced demand-drtven extension system in Uganda, farmer groups have to request assistance. To prepare groups for their new role, organizations invest a lot of time and effort in group development, aimed at increasing group cohesion. All PR&E approaches are leading to an increased income from sales of the surplus of food or cash crops. The main outcomes for scientists are an improved technology-development process. Farmers from A2N and NARO are involved in technology development by carrying out experiments for the scientists. Discussion There are two main reasons that the reported results have a positive bias: • The selection of respondents was not at random beca use the farmers and groups to be interviewed were chosen by the organization. The presence of a representative of the 311 organization during the inteiViews with the farmers will also have contributed to the positive results. • The reported results cannot be attributed to PR&E alone. The personal charactertstics of the leamer and the leaming environment are also important for achieving results (Baldwin & Ford 1988). When the farmers and scientists develop technologies jointly, extension becomes superfluous because the farmers have leamed the technologies during the development process, but only a small portion of the farmers are participating in the research process. This is excluding the farmers who have not taken part in the development process for leaming the new technology. Conclusions and recommendations The survey and the case studies show that NGO-funded organizations with a development objective, promoting an input-based technology, have a higher level of farmers' participation, which leads to more leaming and better results. In this research it was found that participation increases the farmers' level of learning. For organizations to become more effective, they have to increase the level of farmers' participation. Their participation should not be restricted to the problem identlflcation and evaluation stages. It should be incorporated in all processes like the development of technology, the design of the leaming environment. and the implementation of the program. This requires a change in attitude on the part of both the farmers and scientists. The farmers must take up the role of partner in the development process. The farmers are no longer only providers of information and receivers of solutlons; they are actlvely involved in developing the solutions. The scientlsts need to functlon more in the role of coach rather than that of teacher. Thus the organizations must develop programs to prepare the farmers and scientists for their new roles. Bibliography Baldwin, T. T.; Ford, J.K. 1988. Transfer of training: A review and directlons for future research. Personnel Psychol 41 :63- 105. Johnson, N.L.; Lilja, N.K.; Ashby, J .A. 2003. Measuring the impact ofuser participatlon in agrtcultural and natural resource management research. Agríe Syst 78:287- 306. Probst. K.; Hagmann, J.; Femandez, M.; Ashby, J.A. 2003. Understanding participatory research in the context of natural resource management - Paradigms, approaches and typologtes. Agren Network Paper No. 130. Retrieved 8 Oct. 2004 from www.odi.org.uk/agren/papers/agrenpaper_130 .pdf Rogers, E.M. 1995. Diffusion of innovation. New York: Free Press. 312 Output 2: Organizational Procedures, Institutional Mechanisms and Policies for Using Participatory Methodology in the Co-Development of Technologies Designed and Tested with National and Local Innovation Systems in Latin America and Afrlca Knowledge Management: A Participatory Approach to Farmer Appropriation of Technologtcal Innovations Vicente Zapata S. 26 Summary A Knowledge Management (KM)27 approach has been applied through a project ftnanced by DFID in Bolivia. Under the name of FacUitating Technological Innovation (FIT for its Sp. Ac.)2B a series of action-research initiatives have been conducted during a two year period (2004- 2006) . One of these. the Knowledge Sharing methodologies jor Pro-poor Agricultura! Innovation Project has developed and validated a new participatory approach to conduct extension processes which pronúses to contribute to capacity development of three main SIBTA29"s actors: the Agricultural Technology Development Foundations (FDTA30 Sp. Ac.). the agrtcultural technology service-providing institutions and farmer organizations, by improving their capacity to facUitate resource-poor farmers' access to agricultural innovation. This Project propases to re-train extension workers into "knowledge managers" who are experts in promoting technology appropriation31 by farmers, through the application of a variety of farmer-centered "methodological arrangements". This KM approach has now been tested ·m ten sites throughout the four agro ecological regions of Bolivia with a variety of actors. commodities and rural contexts. Research results render their impact as the different institutional and local actors assimilate the methodological approach. This project has undertaken to collect field-based evidence by means of numerous visits, on-site videotaping32 of applications and testimonies from users and beneficiaries of this approach. Evidence will help SIBTA decision makers to reflect on the ways planning, contracting, monitoring and evaluation of agricultural technological innovation projects (PITA33s, Sp. Ac.) are carried out. Evidence is helping to 26. Senior Research Fellow, IPRA Project- Rural Innovation Institute. 27. KM: Knowledge Management is a process, which has been defmed and used in a variety of institutional contexts. In this project it acquires a particular definition as a participatory methodology, which has shown to improve technical assistance processes, as observed in ten different cases in Bolivia. 28. Fac.!litando la Innovación Tecnológica (Frn. 29. SIBTA: Sistema Boliviano de Tecnología Agropecuaria (Solivian Agrtcultural Innovation System). 30. FDTAs: Fundaciones para el Desarrollo Tecnológico Agropecuario. 31 . Technology appropriatlon: incorporation of technology components or technologies to the personal repertoire of farmers ' responses to productlon and commercialization problems. This incorporatlon implies the ability of farmers to adapt and adjust technologies without externa] dependence. 32. A twenty-two minute Video Hlll be available on April 5, 2006. 33. PITAS: Proyectos de Innovación Tecnológica Agropecuaria. 3 13 build arguments in favor of the use of the KM approach in the implementatlon of these projects. Background The KM approach. as defmed in this project. departs from a critical assessment of traditional approaches to technology transfer. These emphasize the role of deliverers and the importance of content-delivery in the disseminatlon of agricultura! technologtes. The so- called "technology transfer" process has been based on assumptions which have proved to hinder "technology appropriation". Assumptlons refer to (a) farmers having the necessary resources to apply technologies. regardless the size and cost of inputs, (b} farmers and their communities not having the necessary knowledge or experience to manage their farming problems, (e) fanners understanding technical jargon and easlly translating it to their local language as delivery takes place, (d) farmers accepting information based on the authority of technical personnel and quality of delivery (e.g. excellent delivery-support materials}, (d) extension agents interpreting their role as lecturers and demonstrators. and farmers the secondary role of following their recommendatlons. (e) putting aside any efforts to improve farmers' abilities to learn. SIBTA was also established under two assumptlons that proved to be wrong: (a) the existence of a large national body of qualified agricultura! technology transfer professionals. with expert knowledge of prioritized agricultura! production chains, and (b) the existence of organized farmer groups able to identify and express their technological demands and exercise control over external interventlons generated by the Agricultura! Innovation Projects, (PITAs). Several DFID funded projects such as FOCAM34, have made important contributions to strengthen the capacity of different actors of the SIBTA system to match technological demand and supply. Much has been done in terms of improving the local capacities to exercise control over externa! interventions. Nevertheless. the interaction mechanisms and strategies among professionals and farmers for a true appropriation of technologies needs to be re-eng¡neered, to incorporate endogenous knowledge and experience to the participatory constructlon of agricultura! innovations. FIT 8 has developed a glossary to describe the new methodological components of an approach that responds to identified weaknesses. Terms such as "knowledge managers", "methodological arrangements", "knowledge constructlon encounters", and "development of fleld competencies" have been introduced as research has evolved. On the other hand an intentional move away from terms such as "technology transfer", "extension", "technical assistance"; "training". "teaching" and "coaching" has been promoted among knowledge managers. It is not only new words. but also an effort to review and renew attitudes regarding the relationship between "facilitators and learners". 34. FOCAM: Fomentando Cambios. A DFID funded project which has promoted the use of participatory monttoring and evaluatlon among Bolivian farmer organizatlons and local institutlons. Carlos Arturo Quirós IPRA-CIAT is the current project manager of FOCAM. 314 Conceptualframework The design and implementation of this project has been accompanied by a review of Uterature on critica! aspects of extension methods and knowledge sharing methodologies and approaches: (Angel 1979); (Swanson y Peterson 1991); (Roling 1991); (Elliot 1994); (Berdegué 2001); (Engel 1995) and (McMahon y Nielson 2004), all of them providing ideas for a re- definition of the role of agricultura! extension. Other insights on the most significant participato:ry methodologies such as the Participato:ry Rural Appraisal, (PRA) developed by Chambers et al. (Chambers, 1992); as well as other agricultura! extension experiences summarized by Berdegué and Ramírez (1995); and others compiled by Jiggins, J. and De Zeeuw et al. (1997) have been reviewed. Other research experiences with farmer participation include the "Programa de Granos Básicos" (PRIAG). and the Participato:ry Development of Technology (DPI1 (Reijntjes et al. 1992) and the Rapid Appraisal of Agricultura! Knowledge Systems (RAAKS) developed at the University ofWageningen (Engel and Salomon, 1997). Other methodologies from which contributions were drawn for this project include the Local Agricultura! Research Committees (CIALs for the Sp.Ac.) developed by the Intematlonal Center for Tropical Agriculture (Ashby. 1998). the Farmer to Farmer Methodology (Medinacelli y Peigné. 1999). and the Farmer Field Schools (Okoth, 2003) Agricultura{ knowledge systems The so-called agricultura! extension is a component of a larger system in which agricultura! educatlon and research are present. This triad is what FAO has called the AKIS/RD or Agricultura! Knowledge and Informatlon Systems for Rural Development. called by the OECD countries AKS or Agricultura! Knowledge Systems. At the center of this triad is the clientele: farmers and other local actors who play important roles in rural-agricultura! development. as is clearly the case in production postproduction and commercialization chains. These components are viewed by Eicher (200 1) as involving complementary investments which need to be planned as a system. Nevertheless. the review of Uterature regarding AKS ( Fray and Echeverría, 1990; Kaimowitz. 1990, Crowder and Anderson 1997) shows that integratlon of these three pillars has not been ve:ry su ccessful. Maguire (2000) suggests a change in the agricultura! education subsystem in developing countries to make a clear emphasis on rural development and food security. Nevertheless the traditlonal view of educatlon does not allow a closer linkage between educatlon and extension. The same is true for research and extension. Even though. in the classical paradigm, agricultura! research provides inputs to extension agents. the truth is that research instltutlons have agendas, which are not necessarily linked to farmers needs. The KM project assumes ag-extension with a broad perceptlon (Rivera. 1987), which is interpreted as not only taking from the educatlon and research sub-systems inputs to deliver them to farming communitles, but generatlng knowledge by means of a participato:ry merge of local experience and information with technical informatlon coming from the research and education sub-systems. Knowledge management There are severa! interpretatlons of the term "Knowledge Management". Sorne call it the act of translating knowledge from one level of technical complexity to another to make it accessible to other clients . Others call it the process of collecting infonnatlon and 315 experiences. organtzing them in manageable clusters (paper, magnetic or digital collections) for people to find them when needed. Still others call knowledge management a process by which people make use of infonnatlon -as well as wisdom and experience- to crea te new knowledge. In the organizatlonal scenario, knowledge management is the process by which people make the best use of available knowledge in arder to develop new knowledge. Scholars have made a distinctlon between two different branches of knowledge management. "First generation KM" involves collectlng tnfonnatlon and expertence so that it is available to users. The idea was to collect technological infonnation, store it and retrteve it at will. This trend gave way to the so called "knowledge technologies". Essentlally knowledge management implied developing sophisticated data analysis and retrteval systems giving little thought to how the infonnation they contained would be used or further developed. At the turn of the twentieth century, theorists became more interested in the ways in which knowledge is created and shared. Organizations were now seen as capable of learning. This idea gave way to a linkage between learning theory and management. At the same time, new organizational structures were responsive to continuous structural change to adapt to rapidly changing environments. "Second generatlon KM" gives priority to the way in which peop!e construct and use knowledge. It is closely related to organizationallearning and recognizes that learning and doing are more important to organizatlonal success than dissemination and imitatlon. These ideas from the second generatlon KM theory provided the motlvation to prepare and develop this project. We have tested several ideas that stem from second generation KM. The KM project has trained teams of "knowledge managers" who are groups of professionals and fanners. who have developed abilities to elicit tacit knowledge from fanners, validate it under the light of successful experience and current scientific theory and practlce, and merge it with explicit knowledge in order to fonnulate a "new response" to overcome agricultural problems. Participants in this project have learned to design learning strategies to carry out fie!d experiences useful for fanners to develop "agricultura! competencies", which are complex tasks involved in the applicatlon of a technology component ora technology. Approprtate performance of these tasks requtres the development of an arra y of mental abilities, physical skills and attltudes. to which no attention is paid in traditional approaches to technology transfer. Objectives Development objectives: Development objectlves go hand in hand with research objectlves. In this highly meaningful activity CIAT has the opportuntty to answer research questions regarding participation with an ample group of national partners, as it develops international public goods that can be asslmilated not only by the Bolivian SIBTA but by other Natlonal Agricultura! Innovatlon Systems- NAIS35 in the Andes and Africa. 35. NAlS - National Agricultura! Innovatton System, an ample denomination of National Agricultura! Research and Development Systems (NARDS) as traditionally called in the literature. 316 Development objectlves for thls project are: To build local capacity to adapt and appropriate technological innovatlons by re- training agrtculture professionals and farmer-leaders to use the principies and strategies of knowledge management. To promote an instltutlonal dialog about knowledge management, its applicatlons and advantages in agrtcultural innovatlons to influence SIBTA decision makers to incorporate lessons Iearned from the application of the KM approach. into the system. To strengthen the capacity of FTDAs to monitor KM results and accompany innovation projects executing groups in the application of innovatlve learning methodologies. Research objectives Action research activities are geared to: l. Make a theoretical and strategtc contributlon to the development of new knowledge sharing methodological altematives 2. To provide the Natlonal Agricultura! Innovation System with field-based evidence regarding the usability and effi.cacy of new methodological arrangements as to motiva te their use in the development of agricultura! innovation projects. During the last phase of the project. a study was conducted to respond to the following specific questions: • Were there previous experiences in the system regarding the application of the KM approach? • Was the training provided to knowledge managers sufficient for an adequate performance in accompanying farmers in technology appropriation processes? • What were the contextua! and institutional factors. which facilitated or inhibited the application of the KM approach? Evaluator Gabriela Silva36 will presenta fmal report on the answers to these questions in April2006. Gabriela has worked with project participants in providing answers to research questions. A separate document on the methods used for this analysis is also presented in 2006 RII Annual Report. Methodology The project leaders. to achieve the stated objectives. carried out a series of steps. which are briefly presented in the following paragraphs: Establishing the project's p laifonn: The action-research process started by the socialization of the project among different stakeholder groups (FrDAs. technology service providers. MACA37) and the organization of the project platform which included the stgning 36. Gabriela Silva ts the Assistant to the FIT 8 Project at Fundación Valles. 37. MACA Ministerio de Asuntos Campesinos y Agropecuarios (the Bolivian Mlnistry of Agriculture). 317 of contractual agreements with the Foundations and partners who were to incorporate the trials of various methodological arrangements within the KM approach while carrying out the agrtcultural innovation projects. Training knowledge managers: Between the months of December 2004 and May 2005 a series of five workshops was carried out to train knowledge managers. More than 150 professionals from the four macro-eco-regions were trained. Workshops were canied out in Cochabamba (2) Oruro (2). and Tarija (1) . Additional reinforcements were conducted in severa! visits toa variety of groups interested in the methodology to cover over five-hundred people influenced by the project in two years. During the workshops, action plans to test the KM approach and specific methodological arrangements were prepared by participants. integrating them to the execution of innovation projects. The training currículum for knowledge managers is presented in a Manual to Train Knowledge Managers to be published in April 2006, along with a Guide to KM: Basic Principles and Application, a video that presents local evidence of KM applications and a CD with project's documentation to be released on the same month. The following diagram shows the different types of training events carried out to train knowledge managers. Training in participatory evaluation of technologies: Methodologies to improve communication processes must be evaluated under the light of the relevance of technologies supplied. This has todo with the appropriateness of a given technology in a particular context for a particular group of farmers. Knowledge managers need to be aware of the fact that a communicatlon technology can be very effectlve to Msell" a technology that farmers. at the end. will not apply given the difficulties they face to use its technological components. A 318 resource-reach project may convey an impression on the feasibility of application. Once the project's resources are spent and the project closed, farmers may not be able to apply the technology for whose ~transference" severa! thousand dollars were invested. A CIAT expert was hired by this project to conduct two workshops (Tarija and Santa Cruz- J uly and August 2005) for knowledge managers and other technical personnel invited, on this topic. This additional reinforcement provided our people with new tools to conduct knowledge managing activities with a critica! view of the viability of technologies being exposed by innovation projects. Monitoring action plans: A total of ten action plans were monitored and results recorded for evaluation purposes (see Appendix 1: Action Plans). During the second half of 2006 twelve field-visits were paid to knowledge managers. In each of these sites videotape recordings of experiences were made. Feedback sessions were also conducted with knowledge managers to reflect upon their experiences and adjust means and ways to apply the approach. Meeting the "accompanying team": The accompanyi.ng team for FIT projects -an initiative of the FIT Program Facilitator- is a group of people with expert knowledge and experience on topics related to the FIT themes. They are externa! to the particular interests and activities of projects and fulfill the function of providing advice to FIT Project coordinators to ensure good project performance. These meetings were particularly interesting and helpful. Participants brought up issues to take into consideration , such as the need to involve universities in the topics dealt with in FIT projects. This idea, in the case of this project made the coordinator search for universities interested in a trainlng program leading toa ~diploma certificate" for a variety of potential users of the methodology, among them university professors. The proposal for such a program has been submitted to three Bolivian universities for their consideration. Creating CIALs to improve a Farmer Field School performance: One of the most significant developments of the application of the KM approach took place in Sucre with a group of oregano growers, (Executing UNEC-Agrocentral38) by creating a Local Agricultura! Research Committee - CIAL. in Sillani - Padilla. The training of UNEC professionals and oregano growers in the CIAL methodology conducted by a CIAT expert, the organization of the Local Agricultura! Research Committee and the seed-money to start off with the first research topic (roya in oregano) were activities financed and accompanied by this project's coordinating team. One month later, the president of the newly appointed research committee reported progress made on six different treatments with three repetitions in one of the farmer's fields. The financia! support provided to the CIAL committee was a motivating factor to encourage farmers in the region to start making contributions to support this service for the community of oregano growers. This is a living example of a combination of methodologies: the existing farmer field school which was reinforced with the knowledge management methodology and with the CIAL. now in charge of respondtng to qu estions the farmer field school was not fit to answer. 38. UNEC-Agrocentral is a cooperatlve of oregano growers in Sucre. 319 Participation in the FIT míd-term evaluatíon: By the end of May 2005, the FIT Program evaluators carried out a visit to one of the sites where the methodology was being expertmented (Trópico Húmedo- La Guardia. Honey Extraction- Execution group: ADAPICRUZ). The perceptions from the evaluators (Jonathan Woodsworth and Pierre de Zutter) shared with this project coordinator were positlve tn general. It provided important pathways to integrate severa! FIT projects in the extension phase of the FIT Program. Outputs The following outputs can be reported at the end of the project's two-year perlad: • Output 1: Project's institutional platform (Foundations, extension service providers and farmer participating grops) agreed u pon including responsibilities of participants at each level, to ensure sharlng of knowledge management strategies and results. • Output 2: A digital document dedicated to knowledge sharing methodologies and their application in marginalized contexts published (Aprtl 2006). Document recollects experlences with ethnic grops (aymara, quechua and guarani communities). • Output 3: A group of forty knowledge managers tratned in the four agro ecological regions of Bolivia. These knowledge managers belong to nine extension service providing organizations in the country. • Output 4: Ten different participatory methodological arrangements tested in the same number of sites with a varlety of nine commoditles and species. • Output 5: National Agricultura! Innovation System (SIBTA) leaders. Fpoudations· directors and technical personnel sensitized to the potential of the KM approach to improve extension processes in terms of higher levels of technology approprlatlon by farmers. Bibliography Ashby, Jacqueline Anne; Gracia, Teresa; Guerrero, Maria del Pilar; Quirós Torres, Carlos Arturo; Roa Velasco, José Ignacio; Beltrán Giralda, Jorge Alonso. Agrlcultural Research and Extension Network. 1995. Institutlonalising farmer participation in adaptive technology testing with the 'CIAL' . Overseas Development Institute (ODI). Agricultura! Research and Extension Network (AGREN). London, GB. 43 p. (Network paper 57 0952-2468) Berdegué, J. 2001 Systems-oriented Agricultura! Extension and Advisory Services for Small Farmers in Latin America. Santiago, Chile: RIMISP. Berdegué. J. and Ramirez. E. 1995 Investigación con nfoque de sistemas en la agricultura y el desarrollo rural. Santiago. Chile: RIMISP Chambers. R., Pacey, A & Trupp. L.A., (Eds.). 1989. Farmers First, Farmer innovation and agricultura! research. London: Intermediate Technology Publications. 320 Crowder, L. van & and Anderson, J. 1997 Linking research, extension and education: why is the problem so persistent and pervasive? European Joumel of Agricultura! Education and Extension,3:4. Engel, P.G.H. (1995) From teaching to facilitatingjoint inquiry and learning. An appraisal of the changtng role of agricultural education. In Revista Terra, Organo Científico de la Sociedad Mexicana de la Ciencia del Suelo, 111- 125. Engel P.G.H. and Salomon, M. (1997). Facilitating Innovation for Development. A RAAKS resource box. Amsterdam: KIT Press. J iggtns, J. and De Zeeuw et al. ( 1997) Kaimowttz, D. (ed.). 1990. Making the Link: Agicultural Research and Technology Transfer in Developing Countries. Boulder: WesMew Press. pp. 197-226. Maguire, C.J. 2000 From agricultural education to education for rural development and food securtty. Paper presented in the 5th European Conference on Higher Agricultural Education, Plymouth, U.K. McMahon, M.A. and Nielson, D. 2004 La Modernización de los Sistemas Públicos de Extensión Agrícola en America Latina. Porqué y Como? Banco Mundial. Washington D.C. Okoth, J. R., Godrick S . Khisa and Thomas Julianus 2003 Hacia Escuelas de Campo de Agricultores Autoflnanciadas. IFAD. FAO. Uganda. Pray. C. and Echeverría, R. 1990 MPrivate Sector Agricultural Research and Technology. Transfer Links in Developing Countries" In D. Kaimowttz (ed.).In: Making the Link: Agricultura! Research and Technology Transfer in Developing Countries. Boulder: Westview Press. pp. 197-226. Roling. N. and Pretty. J.N. 1997 Extension's Role in Sustainable Agricultural Development: a reference manual (Eds: B.E. Swanson. R.P. Bentz and A.J. Sofranko). Rome. FAO. Swanson, B.E. 1997. Changing Paradigms in Technology Assessment and Transfer; unpublished paper. Urbana, IL: University of Illinois. INTERPAKS. 321 Application of the Knowledge Management Approach in the SmTA39's PITA40s: A Progress Report Gabriela Silua Andreu41 Achievements The evaluation process of the Knowledge Management (KM) Project reported in thts progress report intends to provide KM leamers with (a) a synthesis of testimonies from people who applied the KM approach to extension work and (b) an analysis of success-case stories useful to FDTAs42 and the SIBTA as a whole to evaluate the use of the KM approach in the planning, contracting, monitortng and evaluation of agr1cu1tural innovation projects. A complete study report will appear in Apr112006. which summalizes an ample number of testimonies and evidence. The KM approach has been successfully applied by ten different knowledge managers' teams. in a variety of cultural. social and geographic settings. in different agrtcultural market chains, dealing with a variety of agrtcultural and livestock development topics. within the four agro ecological regions in which Bolivia is divided for agrtcultural development purposes. Evidence suggests that the KM approach can be very useful to improve technical assistance and extension practices. within the SIBTA system. Summary The KM approach to technical assistance takes the form of a variety of Mmethodological arrangements"43 for knowledge sharing in agrtcultural innovations dissemination settings. which are (a) participatory. (b) based on local knowledge and experience, (e) client-centered for the development of field competencies and (d) reflexive -as they provide opportunities for practitioners of this approach to reflect on their experience and results and continuously improve methodological arrangements. The Success-Case Method44 was selected for it allows for a rapid. efficient and credible way to estimate the impact of a particular intervention isolating those aspects which realiy work from those that do no. Highlighted aspects become lessons leruned for the organization. An as.sumption regarding the application of the KM approach was that sorne of the people trained in its use, would certainly apply it with positive results and others would not. The application of this method would allow us to clarify the reasons why the application had been successful or unsuccessful. By means of a structured interview. applied to different groups of knowledgeable stakeholders. we could be certain that the KM approach had been successfully applied, with 39. SIBTA: Sistema Bobviano de Tecnología Agropecuarta. 40. PITA: Proyecto de Innovadón Tecnológica Agropecuaria. 41. Gabrtela Silva es técnico para el Proyecto FIT 8 de la FDTA Valles y colabora en el desarrollo del proyecto de Gestión de Conocimientos a nivel nacional. 42. Fundaciones para el Desarrollo Tecnológico Agropecuarto. 43. Methodological arrangements are sets of leaming and knowledge shartng strategies designed to improve technology approprtation by farmers . 44. RobertO. Brtnkerhoff. (2002) The Success Case Method. 322 different degrees of success, in all ten cases studied. As interviews were administered certainty about success grew. Then we proceeded to apply sorne of the principies and tools of the Most Significant Change4s methodology. This methodology is a participatory monitoring and evaluatlon instrument, which involves gathering and selectlng stories that tell about significant changes that participants (users. beneficiarles. and others) have witnessed or modifl.catlon in perceptlons or practlce that have occurred. in this case. after the introductlon of the KM approach in the development of agricultura! innovatlon projects. Farmers, technological services providers and supervisors in the four FDTAs wrote concrete stories which were later classified by the type of stakeholder who wrote the story: Farmers significant changes refer to motlvatlon growing among participants in leaming and applying a given technological component or technology. knowledge interchange. a difference marked with the traditlonal (what technical assistants did before). ease to leam and technology being easier to adapt. Technical personnel most significant changes related to greater trust on the part of farmers, the deviatlon from traditlonal models to technology disseminatlon, the move away from the academic style and the possibilitles to instltutlonalize the KM approach Supervisors of field personnel from FDTAs, identlfied as most significant changes evidence that shows this approach promotes adoption and greater sustainability of technical assistance work due to the innovatlve and partlcipatory character of this approach Background The Bolivian Agricultura! Technology System- SIBTA, created by Decreto Supremo 25717. March 30, 2000. and hosed by the Minlstry of Rural and Agricultura! Affairs (MACA for tts Sp.Ac.) is a governmental initlatlve. which pursues to promote and provide support to agricultura! innovatlon and sustainable development of the agricultura! sector, with an tmportant participatlon of the private sector. SIBTA is facing the challenge to facilitate agricultura! innovatlon among poor farming communitles. It has chosen to work through two different strategies: the chain-oriented Agricultura! Innovatlon Projects (PITAs for their Sp. Ac.) and the Strategic Innovatlon Projects (PIENs. for their Sp. Ac.) which cut across regional boundaries to advance innovation in areas of natlonal strategic importance. The Department for Internatlonal Development (DFID) of the U.K. decided to provide economic support a series of projects to strengthening the SIBTA. through the Program to Facilltate Agricultura! Innovatlon (FIT for its Sp. Ac.). This program expects to develop new capacitles in SIBTA's actors to enable them to forge new innovatlon pathways for the beneflt of poor fanning communitles. At present the FIT Program is providing support to siX FIT projects and three consultantships for SIBTA. New methodologies. training processes. instruments and synergisms are being developed by these initlatlves. Among these ís the Knowledge Sharing Methodologies Project for Pro-poor Agricultura! Innovatlon Project (FIT 8) which has been led by CIAT5 No 60 44 15 18 137 43.8% 32.1 o/o 10.9% 13 .1% Y es 12 12 6 6 36 33.3% 33.3% 16.7% 16.7% Total 72 56 21 24 173 41.6% 32.4% 12.1% 13.9% Table 3. Percent compalison between members and non-CIAL members in relation to land size and seeking labor opportunltles off farm. CIAL Members Work Offthe Farm Amount of Land (ha} Total < 1 1 - 3 3-5 >5 No No 26.3 23.4 7.3 11.7 68.6 Y es 17.5 8.8 3.6 1.5 31.4 Total 43.8 32.1 10.9 13 .1 100 Y es No 22.2 22.2 11.1 16.7 72.2 Y es 11.1 11.1 5.6 0.0 27.8 Total 33.3 33.3 16.7 16.7 lOO Table 4. Compalison between members and non-CIAL members In relatlon to the Hlring/ contractin g labor (work days/year). CIAL Members Hire 1 Contract Labor (Work Days{Year) Total Does not hire 1-6 6-12 No 72 59 6 137 52.6% 43.1 o/o 4 .4% Y es 9 19 8 36 25.0% 52.8% 22.2% Total 81 78 14 173 46.8% 45.1 o/o 8 . 1 o/o 355 Table 5. Comparison between members and non-CIAL members in relation to scarcity of food in the year. CIAL Membera Scarcity of Food (mo/yr) Not scarce <3 3-6 >6 No 20 80 32 5 14.6% 58.4% 23.4% 3.6% Y es 11 12 11 2 30.6% 33.3o/o 30.6% 5.6% Total 31 92 43 7 17.9% 53.2% 24.9% 4 .0% Table 6. Comparison between members and non-CIAL members in relation to schooling. CIAL Members SchooUng No Education Prlmary Secondary No 17 108 12 12.4% 78.8% 8.8% Y es 1 24 11 2.8% 66.7% 30.6% Total 18 132 23 10.4% 76.3% 13.3% Table 7. Comparison between members and non-CIAL members in relation to the number of community organizations in which they partlcipate. CIAL Members No. of Organizations Does Not 1-3 4 - 6 >6 Participate No 23 71 33 10 16.8% 51.8% 24.1% 7.3% Y es 1 12 13 10 2.8% 33.3% 36.1% 27.8% Total 24 83 46 20 13.9% 48.0% 26.6% 11.6% 356 Total 137 36 173 Total 137 36 173 Total 137 36 173 .Assessing the Impacts of Applying Participatory Approaches: A Case Study of Local Agricultural Research Committees (CIALs) in Honduras L. Classen56, S. Humphries57 , J. Fitzsimons58 and S. Kaaria59 Introduction Many practitioners recognize the irnportance of participatory initiatives in these marginal contexts for helptng to generate locally appropriate technologies and in helping farmers to adapt technologies to their farm-speciflc needs (Korten, 1980; Chambers, 1994; Selener, 1997: Berdegue and Escobar, 2002: Van de Fliert et al., 1999). In particular, participatory initlatives that incorporate more broadly-based efforts to enhance the natural asset base. build local instltutlons and strengthen networking are showing potentlal to instlgate long- tenn and sustainable innovatlon (Berdegue and Escobar, 2002). However. an ongoing challenge for participatory projects is demonstratlng the value-added from local stakeholder partlcipatlon (Aycrigg, 1998). Many of the most irnportant impacts are related directly to the project process and are hard to anticípate at the project outset making them very difftcult to capture in impact assessments. Practltioners are searching for comparatlve frameworks for measurtng the impact and, more speciflcally, the 'sustainable' irnpact of rural development projects. However. it is an uphill climb when the primary common element among small farmers in developing world contexts is diversity. This paper seeks to add to the growtng body of literature on sustainability of agriculturallivelihoods for the rural very poor and, in particular, the role of participatory approaches for promotlng what Stockmann (1997) has referred toas innovation-oriented sustainability. It outlines the results of a recent multi-level impact assessment of the CIAL (Spanish acronym: Comite de Investlgacion Agrícola Local (CIAL) participatory agricultura! research project in North-Central Honduras and it explores the implicatlons of these results for comparatlve frameworks for measuring more social and participatory project outcomes. The paper examines the different context-oriented divisions of ruralllvelihoods used by Berdegue and Escobar (2002) . Speciflcally it discusses the implications of the highly dtverse livelihood contexts of asset poor farmers for developing reliable and comparable impact assessment {lA) frameworks for measurtng innovation-sustainability. The paper culminates in a list of principies for IA's of agricultura! research and tnnovation projects, which is meant as a launching pad for thinking about context-ortented approaches to s ustainability and comparative frameworks for participatory rural project evaluatlons. Relevant literature Berdegue and Escobar {2002: 11). assert that, "ifwe want to improve the performance of agricultura! knowledge and informatlon systems vis-a-vis poverty. it is time that we leamed to deal with its diversity by means of cu stomized approaches". They propase a trtpartlte categortzation of rural contexts to provide sorne policy guidance for thinking about 56. Consultant- IPRA Project. 57. Assoclate Professor. Department of Soclology and Anthropology, Unlverslty of Guelph. e-mail: shumphrt@uoguelph.ca 58. Ontarto Agrtcultural College, Unlverslty of Guelph. e- mall: fitzslmo@rpd.uoguelph.ca 59. Senior Sclenttst. Rural Innovatlons Instltute of CIAT. PO Box 6247, Kampala, Uganda. 357 development goals and approaches for agrtcultural innovation initiatives. The three categories are: a) fanners in areas with a high asset position and with favorable production environments. b) fanners in a low asset position with favorable production environments and e) fanners in a low asset position with unfavorable production environments (Berdegue and Escobar 2002:8). They argue that strategtes to improve conditions of rural poverty must recognize these different rural contexts and customize their approaches approprtately. Farmers in the first two categortes have medtum to high agricultural potential and networks, and agrtcultural innovation is market-drtven or at least market ortented (Berdegue and Escobar, 2002). Poverty reduction strategtes may target these areas since improvements in agrtcultural production will have not only sorne direct effects but also a high potential for indirect effects on urban and rural poor who are the net buyers of surplus production (Berdegue and Escobar, 2002). In these contexts, where agrtcultural production is market-drtven. 'sustainable agrtculture' is often interchangeable with the concept of 'sustainable development'. Sustainable agrtculture occurs where ~farming seeks to make the best use of nature's goods and services whilst not damagtng the environment" (Pretty. 2000: 7; and Pretty. 2001 : 4; also see Altiert, 1995; Thrupp. 1996; Pretty, 1995b, 1998). However. the reality is that the majozity of the world's rural poor will derive only very limited direct or indirect benefits from conventional agrtcultural research. The Honduran fanners involved with the CIAL project fall into Berdegue and Escobar's (2002) third category, characterized by extremely marginal growing conditions and few assets aside from unskilled labor. They have very diversified Uvelihoods, often relying heavily on non- agrtcultural activities to support their families, rendertng much of the formal agrtcultural research of limited relevance to their needs. It is in these contexts that we see a break down of the more conventional model of agrtcultural research- innovation-extension-adoption. In this context approaches to 'sustainable' development and approprtate interventions become much more complex. Here, 'sustainable development' and 'sustainable agrtculture' cannot be used interchangeably. It is in this category that this paper will focus, where measuring impact for 'sustainable' development is the most complex. For fanners living in a precartous polltical, social, human and natural environment, livelihood diversity extsts not only across households, but also across time (reflecting changes both in the stage of growth of the household and environmental changes) for any given household. Shaxson. (2000: 1 O) recognizes that ~di serete impacts are not usual, and tmpact happens at different potnts in the process, and in different ways for different reasons." Farming is heavily reliant on nature as well as poli ti cal and market structures that are both equally unpredictable and unalterable by the rural poor. These fanners are obliged to adjust their livelihood strategtes to adapt to these changes. The appropriateness of new technologtes/solutions in this context is impermanent and context specific over space and time. The assumption of ~relative homogeneity and stasis" in these contexts has led to the demise of innumerable development initiatives in the past (Mog, 2004: 2142). Berdegue and Escobar (2002: 10} argue that in these contexts program strategtes have to be broad-based, focusing on enhancing asset positions including education and access to credit and most importantly creating ~local networks of social capital /which) play important insurance and solidartty functions." Mog (2004) also asserts that ~to tackle adequately the full spectrum of challenges presented by sustainable development requires a great diversity and multitude of ideas that can be adapted locally" 358 (p. 2142). This context diversity therefore has important implications for defining 'sustainability'. Background Context: This study was conducted in conjunction with CIAL participants in the municipalities ofYorito and Sulaco in the department ofYoro in north-central Honduras. La Fundacion para la Investlgacion Participatlva con Agricultores de Honduras (FIPAH) supported 25 local agricultura! research committees (Comites de Investigacion Agricola Local: (CIALs)) in Y oro at the time of the study. Twenty of these were mixed, two were all male and three were all female. Average membership per CIAL in the area was 9, with a range of 6-23 members. The CIAL methodology was developed in the late eighties by the IPRA team, led by Jacqueline Ashby. CIAT {Ashby et al., 2000} The overriding objectlve was to provide an ongoing platform for integrating local needs assessments. local decision- making. and tnnovation for 'sustainable agriculture' among poor and marginalized farmers (Braun et al. , 2000). The approach enables community-based research teams to look for their own solutions to local agricultura! problems. CIALs test out new agricultura! technologies/techniques against local practlce(s) through the design and execution of simple experiments. These are evaluated and analyzed by the CIAL and. if successful, the technology is recommended to the community. Honduran agronomists were trained by CIAT in the CIAL methodology in 1996. There are five regional CIAL assoclatlons (ASOCIALs) in Honduras comprising around 900 farmers. FIPAH supports three of the regional CIAL associations. The largest concentration of CIALs is located in Y oro (ASOCIAL Yorito. Victoria and Sulaco. where the impact assessment was conducted. Through the CIAL project. farmers leam how to plan. manage, evaluate and analyze experiments. In each participating community, the CIAL hosts a community meeting to discuss local agricultura! needs and to prioritize research goals. Agricultura! priorities identlfted by communitles in Yorito and Sulaco have been largely oriented around the productlon of staple crops: maize and beans. reflecting the overriding concem with food security. Thus 79% al1 the agrtcultural experiments carried out by CIALs have involve vartetal testing or management techniques associated with maize and beans. However. most CIALs tend to carry out more than one experiment ata time and new crops such as soybean, wheat and rice or new inputs, such as organic fertilizers and pestlcides, are often tried out alongside research in baste staples. The CIAL groups in Honduras also provide a platform for requestlng information. assistance and micro-credit loans. CIAL members leam about managing budgets. sewing. new recipes. nutrition and health, amongst other things. They also administer loans provided via the Second Order Organization (ASOCIAL). These loans are sometlmes used by the CIALs to purchase materials for building grain silos, or committee meeting rooms but they also afford CIAL members the opportunity to take individualloans from their CIAL organization to buy seeds or agronomic inputs. to huy/produce extra grains to store against the hungry season orto help make ends meet when produce from the prior harvest season has diminished. Methodology The CIAL project in Honduras provided a rare opportunity to take the results of a long-term (with more than 10 years ofwork in the fleld) and on-going agrtculture project and employ participatory methods to understand the connection between the visible impacts and project methods. In this research we combined altemative and participatory tools with more 359 conventional interview and survey methods in an effort to capture both process-oriented changes and product impacts - both anticipated and unanticipated. The livelihoods framework acted as a guide for ensuring attention was given to all five-asset categories, human, social, natural, financial and physical capital. Because of the important role of these more process-oriented 'enabling' factors for 'sustainability' specific attention was given to capturing the more social impacts in this research. The methodological process in this research was five-fold: (í) Thirty-one initial interviews helped to identify impact categories that were later used for probing during focus group activities. In these interviews participants were asked to describe 'changes' since joining the CIAL in each of the five capital asset categortes in the livelihoods framework. This information was used to guide focus groups with CIAL participants (Classen, 2003). (ii) In the second stage project staff and local participants facilitated focus groups in seven CIAL communitles. A number of active learning tools were employed durtng these groups that encouraged small-group brainstorming and discussion to encourage shy participants to provide input. 60 The information generated durtng these díscussions was abundant and identified a number of unexpected project effects and impacts. Local participants also identified a number of quantltative indicators that helped explain and justify more qualitative changes. In particular, changes in gender roles were made visible, something that had not been captured by prior CIAL assessments. (iü) Follow-up interviews were used to crosscheck the information gathered and were a good opportunity to further discuss points that were unclear during the group activitles. They also captured certain negative aspects that did not come up durtng the focus groups (Classen, 2003). (iv) In the fourth stage the changes and indicators of more social changes identified durtng the particípatory activities, as well as those of interest to the project staff and researchers were incorporated into a survey that was delivered to over 300 randomly selected project participants and non-participants in project communities. (v) Finally, the results of both the qualitative and quantitative analyses were brought back to the participants and more focus groups and small-group activities were employed to better understand the results and their implications for sustainability. These proved invaluable for explaining unexpected results of the survey. They also proved to be extremely useful for motivating and encouraging the project participants themselves who often exclaimed "this is the frrst of al! of surveys we've partlcipated in that has cared enough to brtng the information back to us" and in many cases the partlcipants immediately organized small group activities to address sorne of the concerns and challenges identified in the study. The five areas of impact were defined: l) Producing sustained improvements in agricultura! production for food securtty. The other four are more social in nature and mtght be thought of as enabling factors for improving food securtty. These are: 2) Capactty building for ongotng innovation 3) Inclustveness 4) Social capital constructlon for mtnimizing risk, and 5) Social capital and networking for institutional sustainability. 60. The active learning too! "think-pair-share" was found to be the most successful of for engagtng all the participants In the dlscusslons. See Stalhelm-Smith, 1998 and Simons, 1997 for a dlscussion of active learnlng tools and their appllcations. 360 Results and discussion Production and Food Security impacts for CIAL members: The results clearly indicate that the CIAL has hada significant and positive impact on food security for CIAL members. CIAL members had signiflcantly shorter hungry seasons than non-members. Whereas the average annual period of severe food shortages, referred to as the hungry season. was as high as 5.6 weeks for non-members in CIAL communities. the CIAL members in those same communities experienced an average of 1.6 weeks of hungry season last year and many of the respondents found that the hungry season had been eradicated altogether in the past few years. This is a result both of technological innovations made available to CIAL members and human and social capital development. CIAL members had significant increases in maize and bean ytelds compared to non- CIAL participants. Whereas maize yields increased for 61.2% of CIAL members and bean yields increased for 56.3% of CIAL members. only 29.4% and 32.4% of non-members expertenced an increase in maize and bean yields respectively over the past five years. Thus improved yields for CIALs, as demonstrated below, are generally a function of multiple factors. rather than the simple adoption of new seed. CIAL members equate improvements in maize production to changes in farm management practices rather than new varieties. These activities include the better soil conservation techniques, better fertilization and planting techniques and. perhaps most importantly. better grain storage techniques. Many members explained that improved maize storage in gram silos introduced to the CIALs in 1998, along with plann ing for more effective estimation of food consumption, have been the most significant contrlbutors to food availability during the hungry season. CIAL members had significantly higher levels of familiarity and/or adoption of the following 13 of 17 new technologies or management techniques investigated by this study: identification of diseases in bean crops. fertilizer use, seeding density, planting distances, planting along the contour, organtc insecticides, selection of plants. seed selection, live barriers, incorporation of crop residues, live fences. in-row tillage, and food preparation techniques from soybeans. Production and Food Security impacts beyond the CIAL: The extent of positive impact among CIAL members did not translate into widespread impact for non-CIAL members in CIAL communities. More complex techniques or complex combinations of management techniques and new crops however require much more learning and adaptation, effectively inhibiting adoption. The results show however. that that CIAL research is more relevant to their community needs than most other agrtcultural initiatives in their communities. When asked what kinds of things they would want an agrtcultural organization to do in their communities. 68% of non-participants in CIAL communities indicated that they liked the current work of the CIAL and would like to see the CIALs continue with many of the activities they are already engaged in. Eight-six% of the non- participating respondents find the activities and solutions presented by the CIAL so relevant to their needs that they would pay for their services, either through trade or cash. Capacity bui lding for ongoing innova tion and exp erimentation: The CIAL members have a stgntftcantly higher capacity for problem identification, and appropriate solution development than non-members. which effectively enables them to find solutions to problems of food availability. When compartng participants and non-participants, the study found that CIAL members are doing more experiments on their own farms to look for solutions to agricultura! problems. As a result of their capacity for experimentation and enhanced agrtcultural skills. and extensive bank of solutions. CIAL members are recognized as agricultura! leaders in their communities. In CIAL communltles. 76.2 % of CIAL members and 60.2o/o of non-members recognized a CIAL member to be the 'agricultural experimenter' 361 in their community. When farmers were asked where they seek agricultura! advice in their communities, 78.1 o/o of the CIAL members said that they can rely on the CIAL to find solutions to agricultura! problems and 31.0% of non-members said the same. Inclusion of poor and marginalized: A common criticism of 'participatory projects' is that they do not necessarily ensure equal opportunitles for the poor or minorities in the community. Poor, marginalized and illiterate people can often feel intimidated about joining local groups and decision-making wtthin the groups is often controlled by local elites (Humphries et al., 2000). This was the case with the CIALs in Honduras at the outset and in 1999 a project assessment found that illiterate farmers and women were underrepresented and rather more outspoken fanners and community leaders or joiners' tended to dominate the CIAL groups (Humphries et al, 2000). This has the potential to limit the relevance of CIAL recommendatlons, excluding those ·most in need' in CIAL communities. Recognizing this, the CIAL project developed mechanisms to engage the poor and marginalized in the CIAL. The CIAL project found that with persistent encouragement of people to participate within communities through motivation by effective facilitation, the CIAL could appeal to the more marginalized groups in the communities. Thus, since 1999 the CIAL program in Honduras adapted the methodology from that of being elected to the CIAL by popular vote only, to including everyone interested in joining. In particular, women have been encouraged to join the CIALs. Durtng participatory research activities, many CIAL participants expressed the view that the CIAL offered the first and only opportunity for women to participate and gave them the first excuse to challenge gender roles in the household and begin to participate more actively in other activities, including agricultura! decisions and household spending. Project staff have found that once poorer, more marginalized persons do join the CIAL they tend to be more committed to the CIAL over the long term because they have benefited least from national extension services and hence have the highest propensity to benefit from the CIAL. Among the CIALs that had more than five years expertence at the time of this assessment. all were representative of their communitles in most measures of socio- economic status. It remains in Honduras that agricultura! research is of limited appeal to the landless poor and this research showed that farmers with a basic leve! of literacy more readily joined the CIAL. However, no signiftcant differences were found in totalland area or cultlvated land area between member households and non-member households in CIAL communities. The overall average size of totalland owned is 3.1 manzanas (mz) or 2.17 ha and the cultivated land size is 2 mz or 1.4 ha. The median totalland size for both member and non-member families was 2.0 mz or 1.4 ha. The median cultivated land size for member families was 1 ha and for non-member families was 1.4 ha. As well, this research found no significant differences between member and non-member households in prtmary crops, in both cases they were maize and beans, nor in the average percentage of land dedicated to coffee. Finally, the same percentage of families in each of the two groups hire farm laborers each year and the average number of weeks of off-farm work per family last year in the two groups was not significantly different (overall average of 21 weeks). In all measures of land size and farming systems, CIAL members are representative of their communities. There are small but significant differences in animal ownership among CIAL member families and non-member families. The largest difference in the average number of animals owned was in the poultry category, with 14.32 for CIAL families and 8.79 for non-CIAL 362 famtlies . There was also a small dtfference between the number of pack antmals and ptgs owned by member and non-member families. CI.AL famiites own an average of 1.46 pack animals whereas non-member familles own an average of 1.13. CI.AL members also explained that sorne have recently acquired a pack animal because they have begun to use live grass barrters in their fields as a soil conservation technique with the CIAL and this provides enough food to sustain one pack animal. Non-CIAL families have not adopted Uve barriers to any large extent and therefore do not access to have this food source. CI.AL member households also own 0.68 more pigs on average than non-member households. No significant dtfferences were found in animals that indica te more traditional forros of wealth such as cattle (mean number owned is 0.64) and other ruminants (mean number owned ts .20). Thus the small differences in poultry, pig and pack animals for CIAL members is a result of the recent acqutsttion of these animals rather than being an tndicator of an tnitial higher level of socio-economic well-betng. There are also small stgniflcant differences in educationallevels between CI.AL and non-CIAL members. In the CIALs. 46.8% of the CI.AL members have four to stx years of elementary education compared to 23.5% of non-members. Likewise, 80% of CIAL members are literate compared to 64.3 o/o of non-members. Literacy is certainly not a pre-requisite for membership but lt remalns a limiting factor for lnitial attraction to the CIAL. The CI.AL still appeals to individuals in local households wtth higher levels of education. Impact of the participation of women: The participatlon of women in the CIAL has a significant impact on household dynamics. changing the perceptlon of both men and women of men's and women's roles in society, often tmprovtng problem solving between women and men, and affordtng women more liberty to partictpate in the community and collaborate in household decision-making. As well. the participation of women played an important role in encouraging the adoptton of soy. a new crop in the communtty as well as diffusing informatlon leamed in the CIAL beyond the group to non-participating community members. These effects are most often the strongest in households where both husband and wtfe particlpate together in the CIAL and less stgnificant when only one of elther the husband or the wife is a member in a CI.AL. The perceptlon of both men and women of men's roles in the family and society changed signtficantly. partlcularly when both husbands and wtves were CIAL members together. Etghty-etght percent of the respondents of households when both the husband and wtfe were members felt that the husband had become more responsible wtth the farro and the family. The latter often lncluded a reduction of alcohollsm (a common problem throughout rural Honduras) . more partlclpation in the community and, in a very small number of cases. becoming more helpful wtth children and household chores. When only one of either the htisband or wtfe was a member of the CIAL over 60% of respondents still felt that the man's role had changed. In households where neither husband nor wtfe was a CIAL member. 37% of the respondents recogntzed a change in the men of their household. Likewtse, the perceptlon of women's agency in the family and community changed in CI.AL households. When both the husband and the wtfe were CIAL members together. 91% of both male and female respondents recognized that such women play a bigger role in community activitles and organiZations and/or participate more directly in agricultura! actlvitles and when only the wtfe was a member 81% recognized a similar change. In this case there was no slgntficant dtfference between households where both the husband and wife are members and those where only the wtfe is a member. When only the husband was a 363 member, significantly fewer (61 %} of the respondents recognized a similar change in women's actlvities or agency within the community and only 31% ofthe respondents recognized a change when no one in the family was aCIAL member. Problem solving tactlcs between men and women also improved more often for CIAL member households than non-member with results reflectlng those above. When both were members. 70% described changes in problem solving mechanisms between themselves and their partner that were more egalitarian than the situatlon five years previously. Whenjust the wife was a CJAL member 86% recognized similar changes and only 50% indicated that problem solving had become more egalitarian when only the husband was a member or when no one in the household belonged to the CIAL. Women's partlcipatlon with the CIAL also hada significant effect on their empowerment. A significantly higher percentage of women who are CIAL members play a role in decisions regarding what and where to plant on the farm, which farm products to sell and when and what food to purchase for the family, than non-CIAL member women, regardless of whether their husband was a CIAL member or not. These women also explained that this had changed signillcantly over the past five years. most often attributlng this to a change directly related to increases in decision-making and organizatlonal capacity resultlng from partlcipatlon with the CIAL or other local organizatlons. Minimizing Risk through social capital development: The third and arguably most important enabling factor that carne out of this research is the minimizatlon of risk. Poor farmers are constrained by livelihood and social risks. The functional relatlonships that evolved during the process of learning the intricacies of formal agrtcultural research as a group was one of the strongest factors enabling them to investigate new technologies as it minimizes the risks inherent in agrtcultural research. Experiments with new technologies have uncertain outcomes and thereby cany high levels of financial risk for the resource-poor. Dedicatlng even a small portlon of land to an experiment that fails could be detrimental to the food security of the family. In the same vein, where resources are scarce, time is also scarce and opportunity cost is a limitlng factor to farmer research. The results of the impact assessment show that the CIALs have overcome many of the 'risks' by developing high levels of social capital among members and between CIAL groups and other institutlons. In Honduras, conditions of social connectedness generally do not prevail. The development of civil society in Honduras has been impeded by extreme social inequality and represstve military regimes, which have acted to support the status quo during almost two decades ofviolent conflict throughout the region. The CIAL methodology uses a group approach and works to develop high levels of social capital among and across CIAL members. whtch has minimized the livelihood risks of experimentation in several different ways. Most importantly, the CIAL experiments are run on a 'common land' area,61 minimizing individual risk in the case of an expertment failure. 61. In sorne of indigenous communities, the land is held in common by the community and the community generally perrnits the CIAL access to a plot of land for the experiments. In other cases, prívate land is rented by the ClALs. However, when the expertments are very small, as during an initial screentng trtal (140-300 m2). one of the members who has more land than others frequently lends it to the group. 364 The opportunity costs of learning to and performing research are also offset by the productive benefits of high levels of social capital. Besides agricultura! experiments. the CIAL performs many income-generating activities. On land rented by the CIAL groups. the members plant "proyectos productivosH or productive plots to produce seed or grain which is either stored for consumption by CIAL members or sold to non-members durtng seasons of food shortages (at a price below the market). As well. ClAL members group together to do a number of other micro-credit projects includtng, bake sales, sewtng of school uniforms for sale. The relationships people have formed allow for the exchange of goods, matertals, and labor among participating families that is less likely among non-participants. Saving through the ClAL enables the group to take out loans from the ASOCJAL.62 In the survey 72% of CIAL members have taken individualloans via their CIAL over the past 5 years. All but one of the CIAL loans borrowed prtor to 2003 have been repaid in full. While these loans may be used for diverse ends, they also help to offset the fmancial rtsks associated with experiments and allow CIAL members to undertake micro-level adaptations of new technologies on thelr own land. As well, common quotes from both men and women were: "In the group we have the confidence and capacity to defend our rtghtsH "We speak openly without problems in front of the CIAL group" "We have the confidence to work with other instltutionsH and "the women ha ve confidence in thelr capacltles. ~ Participants explained that there is love among CIAL members. that they have become ajamüy and they now borrow and lend things when someone is in need; this is different from the past. prior to the organization of the CIAL, "when no one trusted one another." Social capital and networkingfor institutional sustainability: CIAL members argue that maintaining the group promotes 'sustainabillty', not only by offsetting rtsks associated with expertmentation but also by creating an institution that will be capable of training new members and making the en tire process of learning to investiga te and innovate, a sustainable one. Evidence of networking and social capital for institutional sustainability is most apparent at the level of the second arder organizations or ASOCIAL. The overarching goal of the ASOCIAL as described by its members is: "To encourage CIAL independence by supporting the CIALs and providing them with what they need to continue thelr investigatlons tnto the future, ridding them of thelr dependence on FIPAH." The group approach for the CIAL not only provides an envlronment for capacity building, and provides social and financial support offsetting the rtsks of formal agricultura! investigation and innovation. as we have seen above, but it also provides an institution for teaching the CIAL methodology to other people and thus sustaining the process of capacity building and social capital growth itself. The compositlon of CIAL may change as new members are encouraged to join and the participation of sorne permanent members waxes and wanes with ·different 62. Each CIAL must accumulate savtngs before the ASOCIAL w1ll provtde tt wtth a loan. These savtngs are held by the ASOCIAL and help to offset the risk of lending. Savtngs must be equal to at least half the amount of the loan and al\ preVious loans to the ClAL must be repaid before another can be lssued. Thus there ls considerable pressure on indiVidual CIAL members to pay back their portion of the group loan so that the group as a whole can access another one. The principie ts similar to that used by the Grameen Bank. As dtscussed , the default rate is very low and defaults only occur when the whole CIAL dtssolves and therefore the pressure on the group ts removed stnce further loans will not be forthcomtng. For this reason, loans are only ltkely to be made to CIALs that ha ve achteved sorne level of stability, evtden t through the leve\ of prtor savtngs. 365 seasons and obligations. Nevertheless. there is consistency in the membership of the ASOCIAL , which provides a backbone to the CIAL organizations. In a series of focus groups with the ASOCIAL de Yorito. the members described the ASOCIAL function to include a) providing workshops on facilitation skills. organization skills. capacity building for budgeting and flnancing and on machinecy and technology. b} training and employing the CIAL facilltators in the CIAL methodology e) acting as communication transmitters between CIALs. facilitators and local NGO staff. d) creating direct contacts and requesting help, information and funding from other local and national institutions. e) providing conflict resolution to CIAL members. between CIAL members and community members. and among CIALs and facilitators. and f) providing and managing loans for the CIALs. These are all essential to providing ongoing sources of information and new technologies as well as continuing to train and support agricultura! research by the local farmers in the future. The ASOCIAL has also recently implemented the following activities in arder to make the CIAL process more sustainable: a) familiarize CIAL members with the ASOCIAL activities so that there will be people to take over when the current ASOCIAL members no longer wants to participate. b) require written (rather than oral) requests from CIALs in an effort to begin to coach CIAL members in the process of directly approaching institutions and requesting information. Overall. the results of this study showed that the ASOCIAL has a direct relationship with three national organizations and limited relationships or contacts with 18 different national and intemational institutions. At the nationallevel. the Association of Honduran CIALs (ASOHCIAL). links the five regional groups in a national CIAL federation. The ASOHCIAL recently received international funding to test different methodologies for scaling- up impact with a number of CIALs in each of the five regions. Conclusions The paper discussed a multi-faceted approach to impact assessment involving the collection of both qualitative and quantitative data using both participatory. as well as formal survey techniques. It advocates a context-specific approach to 'sustainability' finding Stockmann's (1997) innovation-oriented sustainabillty the most appropriate to the rural poor living in extremely marginal agricultura! conditions. The research results showed a number of impacts that translated into improved food security for farmers partlcipating with the CIAL project in Honduras. However, the most important of the results was the complex network of more social and human impacts that enabled the adoption of new technologies to occur The results from the CIAL project in Y oro, Honduras support the value of promoting innovation-oriented sustainability for improving the livelihoods of the rural poor in marginal areas. The indications are that the CIAL project methodology is achieving innovation- oriented sustainability in rural Honduras. However. the complexity of these livelihoods combined with the nature of the technology produced to date also presents problems for scaling-out impacts of innovation-oriented approaches to non-project participants. As the results showed, non-CIAL members showed limited ability to readily adopt the solutions that CIAL members generated likely related to their limited capacity for technology adaptation. Much more research is necessary to understand how best to scale-out the impacts of participatory agricultura! research. 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Adriana Fqjardo64 Highlights Support provided to the Provincial Ministry of Agriculture in the Cauca Valley for the capacity building of the Municipal Councils for Rural Development in three municipalities Background The Municipal Councils for Rural Development (CMDRs) are spaces for participation. created to reach agreement on pollcies and programs aimed at developing the rural tenitories in Colombia. The CMDRs facilita te the participation of the rural inhabitants in the decision- making that affects them; moreover it constitutes a space for exercising a committed citizenship in the management. execution, monttoring and control of rural development in thetr municipality (Ptedrahita et al. 2000). Nevertheless. although the CMDR and CONSEA (Sectional Council of Agricultura! and Ltvestock Development) were created in the Province. the changes have not been accompanied by efficient management due to a shortage of economtc resources. training on thetr role as instruments of development. and the absence of a culture of planning that governs the procedures and ensures the exercise of an efficient action based on an ample knowledge of reality as to what is involved. A USAID survey (USAID-Casals 200 1) revealed the scant knowledge of the citizens about control mechanisms,65 as well as the little knowledge of the rural people with respect to the CMDR. In the Cauca Valley Province. there are 42 CMDRs constituted. of which a very low percentage operates efficiently. In general they do not have sufficient information and tools for planning. monitoring and evaluation (M&E) that enhance their operativity and let them continue with the planned activities. even if there are changes in the government administrations. The Project. led by the Institute of Rural Innovation (IIR) at CIAT. has a double purpose: • Promote favorable condttions so that the functioning of the CMDR is effective • Develop a methodology that makes it possible to consolldate a strategy for action, strengthening the CMDR's operativity through training and transfer of tools and methodologtes to support their decision-making. 63. Research Assistant. IPRA Project. CIAT. e-mail: e.claros@cgtar.org 64. Biologtst. Rural Plannlng Project. CIAT. e-mail: a.faJardo@cglar.org 65. The s urvey was applied within the framework of the Antlcorruptlon Program in the four largest cJtles in the country (Bogotá, Cali, Medellín and Barran quilla) at the end of 200 l. A total of 2400 people were interviewed by telephone. 371 Innovation The IIR. Rural Planning, Participatory Research with Farrners (IPRA). and Information and Communication for Rural Communities (INFORCOM) projects have designed a strategy in which participatory methodologies are combined, such as vision-action-demands (VAD). participatory monitortng and evaluation (PM&E) and social network analyses (SNA). The purpose is for the CMDR to adopt these methodologies and become more efficient and effective in participatory processes. Methodology for implementing the project The intervention has consisted, in the first place, in conductin g training events. the objective of which is the collective construction of concepts and later the realization of days for accompanying the CMDR constitutive committees for the participatory construction of their operational plans through the utilization ofthe following methodologies: VAD, PM&E and ARS. Parallel to this, an information and communications system will be implemented in order to provide constant feedback between the community and the CMDR and between the CMDR and other participatory spaces at the provincial and nationallevels. This will be followed by a training phase and finally the phase of accompaniment and strengthening. The steps carried out this far are: l. Diagnostic survey of the current situation of CMDR 2. Application of the VAD methodology 3 . Socialization of the results of the diagnostic survey 4. Presentation of the legal framework of the CMDR 5. Exercise for conceptualizing ARS 6. Exercise for conceptualizing PM&E 7. Exercise of analyzing current and future sttuations, taking into account the following aspects: Current problems and their consequences General objective Specific objectives Goals - Activities Indicators 8 . Election of the dtfferent CMDR constitutive commlttees (inspection, technical asslstance. infrastructure, health. education and environment, among others) 9 . Analysis of the problem areas of the dtfferent CMDR committees 10. Workshop: "The Learning Organization: Teamwork and communications" Lessonslearned • A planning exercise does not end with the design of a concrete plan; rather it is a dynamic process. subject to continuous readjustment and revision, with the purpose of adapttng it constantly to the circumstances. and evaluating the results at crucial moments. This generates learning in the organization, promoting an environment of continuous improvement. 372 • The CMDR's principal role is to reaching agreements by means of which the different actors involved in the rural development of the municipality interact. manifest their diverse viewpoints. set common goals and assume commitments and responsibilities that pennit their fulfillment for the collective beneflt. • Planning and M&E become altematives that pennit the local authorities and the rural population to define a shared future and maker a highly ratlonal use of the scarce resources available. • The CMDRs in the muntctpallties of Argelia, Bugalagrande and Palmira are not complytng wtth the functions for which they were created. They operate as a source of infonnation but notas scenartos for planning. M&E and management. • The channels of communications among the CMDR members are very weak and vulnerable gtven that they depend on actors that at the moment they leave the CMDR network seriously affect 1ts stability. This is the speciflc UMATAs case. which are in charge of communications channels. • Many of the CMDR members do not have knowledge of its functions and respons1b1lities. Outcomes • In the process of accompanying and strengthening the CMDRs, three partictpatory workshops have been held thus far: diagnosis. legal framework and construction of concepts about planning. PM&E, the importance of leadershtp and teamwork. • In the diagnostlc workshop. the structure of the networks of participation, trust and representativeness were detennined. The problema tic areas of the CMDRs were also identifted: the way in which they carry out the planning process and their management wtth respect to the rural development of the municipality. The degree of articulation among the different terrttorialinstruments was also detennined. • Through the planning & PM&E workshop. the CMDR members were trained in the regulations of the CMDR's legal framework and its functions; and through practica! exercises, the concepts of planning and PM&E were conveyed. • The leadership workshop identifled the elements for the effective development of the organization and the importance of teamwork in accompllshing goals. • In the different CMDR committees, the process of constructlng the operating plan has begun, identifying mechanisms for implementing PM&E. Bibliography USAID-Casals & Associates. 200 l. Transparencia y buen gobierno en cuatro ciudades de Colombia - Una encuesta de percepción ciudadana. Done by M.A. Sellgson, University of Pittsburg. Bogotá, CO. 38 p. Vargas del Valle. R. La experiencia del fondo DRI en Colombia. Centro Latinoamericano para el Desarrollo Rural- RIMISP. CO [cited 25 Jan. 2006). Available at: http:/ /www.rimisp.org/webpage.php?webid=l51. Piedrahita. L.; Díaz. L. ; Castro. M.; Cortés, M. 2000. Para participar: Consejos Municipales de Desarrollo Rural . La Guía de los CMDR. Facultad de Estudios Ambientales y Rurales. Instituto de Estudios Ambientales para el Desarrollo IDEADE. Pontificia Universidad Javeriana. Bogotá, CO. 128 p. 373 Participatory Analysis of the Rules of the Game in the Framework of the Bolivian System of Agricultura! and Livestock Technology (SmTA) Edson Gandarillas66 and Rolando Oros67 Accomplishments • A participatory method was developed for analyzing instltutions (rules of the game) within the framework of SIBTA. • The bottlenecks (high transactlon costs and risk) that inhibit or reduce the participatlon and competltiveness of the actors in the system were identified. • The nature of the bottlenecks was identlfied in order to lay the foundatlons for núnimizing their incidence. • The foundatlons have been laid so that decision-makers can generate institutional innovations that take into account the perspectives of the different actors in the system. Abstract SIBTA. which is an R&D system based on the competltive mechanism of the free market. is govemed by the Operatlng Regulations of the Competitlve Fund for Innovatlon (RO-FCO with respect to its Applied Technologicallnnovatlon Projects (PITA). In terms of the New Institutional Economy, this RO-FCI represents the rules of the game that govem the interactions among the different actors in SIBTA (FDTA, demanders and suppliers); in other words. they can inhibit. reduce or limit participation and competltlveness. The authors have called these factors, Mbottlenecks of the RO-FCI," which are explained by the presence of high transaction costs and risk. The document presents the process of identlfying the bottlenecks of the RO-FCI for the PITAs, facilitating the users' participatlon so that they can make known their perspective, in such a way that the emerging instltutional innovatlons can contribute to reaching SIBTA's objectives. The work was done with 80% of the suppliers and demanders, holding 1 O workshops with the participatlon of 170 representatives, selected on the basis of ftve different criterta. The results show that the bottlenecks are found throughout the RO-FCI process. The following steps stood out: selectlng the PITA proposals, implementing the PITAs. payment of the counterpart funds by the demanders, and the monitoring and evaluation (M&E) system. The results varted according to the FDTAs (Valleys. Highlands, Chaco68 and Humid Tropics). Experience shows that the bottlenecks. expressed as high transaction costs and risks, can have different origins. Such is the case of the relatlonships of power among the actors (both at the staff and organizationallevels). the nature of the rtsks (e.g .. the degree of vulnerability in the working zones and the institutional arrangements of the RO-FCI as in the case of contracting services). and the level of organizatlonal development of the suppliers and demanders. Therefore, the perceptlons about the transaction costs and risks would vary according to speciftc contexts. 66. Na tional Coordtnator of the Promottng Change project, executed by the CIAT (Intemational Center ofTropical Agriculture}-PROINPA (Promotion and Research of Andean Products}-Imperial College alliance (e.gandarillas@cglar.org). 67. Na tional Coordinator of the FIT 9 project. executed by CIP (Intemational Potato Center) and PROINPA (roros@proinpa.org) 68. Hot. semiarid lowlands. 374 Background The Bolivian Government created the Bolivian Agricultura! and Livestock Technology System (SIBTA) to promote and support modemization of technology and the sustainable development of the agricultura!, livestock. forestry and agroindusbial sectors, with an important prlvate-sector institutlonal participation. To this end, SIBTA flnances Applied Technological Innovation Projects (PITAs)69 through the Foundations for Agricultura!, Llvestock and Forestry Technology Development (FDTAsFO in the Highlands, Valleys. Humid Tropics and Chaco, as well as National Strategic Innovatlon Projects (PIENs) under the supervision of the Ministry of Small Farmers and Agriculture and Llvestock (MACA). SIBTA responds to the dernanders71 and adrninlsters a cornpetitive process of awarding productive projects. Suppllers72 of technology that respond to the dernands of the beneficiarles participate in this cornpetltlve process through PITAs. By rneans of this strategy SIBTA seeks to rneet the following objectives: • Reduce rural poverty, improving the producers incornes and the population's food security • Increase sectorial cornpetitiveness • Play a role in the use and sustainable rnanagement of natural resources • Con tribute to the rnodemity and instltutionallzation of rural producers' associatlons as baste authorlties in the process of demanding technological innovation Within the New Instltutlonal Econorny (NEI) the term "institution" refers to "rules of the garne." these can be either formal or informal, "deftning the incentives and sanctlons that affect the people's behavior and thelr interactions" (Dorward et al. 2002, p. 5). Thus the organizations are the "garne players." groups of individuals united by a purpose to accornpllsh cornrnon objectives. These organizations can be political, econornic and social (North 1990, Dorward et al. 1998). Another irnportant distinction within the NEI is between the institutional environrnent and its arrangernents (Da vis and North 1971: Stockbrtdge 2001). The former refers to the set of general rules with which the people and the organizations develop and work out specitlc instltutional arrangements in a soclety. The institutlonal arrangernents are forms of contract that were created for transactions arnong contracting parties that govem the way in whlch they cooperate or compete. 69. Accordlng to the definltlon of SIBTA (2003), a PITA represents a set of activltles wlth a focus on agroproductlve chalns and a vlslon of programs that comprlses the validation, adaptation and transfer of technologies of process. product. management and technlcal asslstance for thelr adoption wtth the objective of promoting lntegrated changes In the chain. 70. The FDTAs are prlvate lnstitutlons of public lnterest, mJxed In nature, wlthout political party, religlous or profit-orlented purposes. created wlthln the framework of SIBTA. They enjoy autonomy of technical and admlnls trative management and are In charge of adminlsterlng and managtng resources for financlng PITAs from dlfTerent sources, among whlch are those from the Boltvlan Govemment and organtsms of multilateral and bilateral cooperation. Thelr commltment ls to promote the dynamlc, competitive, efficlent and particlpative system of technology development In each macro ecoreglon, favorlng the demands of the actors In the agrofood chains , whlch define lntervention prloritles. 71. Any organized actor from any of the links In the agroproduction chain that can benefit from a PITA 72. An organization, lnstitutlon or business, alone or assoclated, with a techntcal and admlnlstrative capaclty for provlding Applled Technologlcal lnnovation servlces, that particlpates. In alllance wlth a demander, In the tender for the final deslgn and execution of PITAs. 375 In the Solivian case, SIBTA is considered an R&D system based on the competitive mechanism of the free market. Therefore, in tenns of the NEI, SIBTA's rules of the game for its PITA component are govemed by the Operatlng Regulations of the Competitive Fund for Innovation (RO-FCD. The economic agents that make transactions are the fanners (associations and the Territorial Base Organization - OTB) also referred to as demanders: the providers of R&D services (suppliers): and the respective FDTA. In the context of the PITAs the institutional arrangements are the contracts that are stgned by the three agents when they reach an agreement to develop a PITA. Given that this system is novel. there is a need for periodic institutional adjustments in its implementation. tending toward the greater participation of the benefictaries. preventlng exclusion, promotlng equity and seeking greater efficiency and strength of the competitive market of suppliers in order to respond better to the demands of the small Solivian fanners. SIBTA has been functioning for five years: and its RO-FCI for the PITAs has been adjusted four times. Such adjustments are referred to as institutionalinnovations (Hall et al. 1998) that regulate the agents (FDTA, demanders and suppliers) so that the interactions among them are more efficient. However. the institutional innovations generated to date were developed within MACA so there was no participation of the other agents or actors wtthin SIBTA (suppliers, demanders, FDTA staff, etc.). In this context this document presents the experience of the projects Promoting Changes (FOCAM)73 and FIT-974 in the development and tmplementation of a participatory method for diagnostng the current performance of RO-FCI. Objective Identify the bottlenecks of the RO-FCI for the PITAs from the users' perspective in such a way that the emerging institutional innovations can support SIBTA's objectives Methodology The identiflcation of the bottlenecks in the rules of the game of the RO-FCI for the PITAs initially merits their detlnition within the context of SIBTA: the institutional arrangements perceived by their users as restrictors (presence of high transaction costs and risk) that reduce the competitiveness of the suppliers and the partictpation of the demanders. The sources of information for the analysis were the suppliers and the demanders of services. To identify the sample (80%) that would participate in the workshops for analysis. the followtng criteria were used: 73. Promoting Changes ls the short name for the project "Partlclpatory Monltortng and Evaluatlon (PM&E) for rurallnnovatlon In Bolivia." FOCAM seeks to balance the demand for agrtcultural research from low-resource farmers wlth the supply of agrtcultural and livestock research so that this research responds more clearly to the low-resource populatlon. FOCAM is supported fmancially by Brttish cooperation (DflD) and is executed by CIAT- Colombia In partnershlp with the Impertal College of the Universlty of London, England and the PROINPA Foundation. 74. This project carrtes out lts actlons within the framework of the Program for Facilitating Technologtcal Innovatlon (FI11. It ls financed by DflD and ls operated by CIP and the PROINPA Foundation. 376 • Nature of the organizations. In the case of the demanders: associations. grassroots organtzations. cooperatives. etc.; for the suppliers: consultants. NGOs. businesses, etc. • Transversal coverage of actions vis-a-vis the FDTA's regions of influence. Suppliers that work with more than one FDTA or demanders that are located in more than one FDTA • Experience of PITA's implementation. Suppliers and demanders that work with more or fewer PITAs. • Topics of PITAs. Cattle-raising. apiculture. annual crops. etc . • Length of experience with a PITA. At least 6 months The diagnosis with the suppliers was done on the basis of the following steps: l. Convening the service providers to the workshops for analysis. The FDTAs from each macro ecoregion convened the suppliers of technology identlfled by means of the foregoing criteria. 2. The workshops began with the explanation of the process that the RO-FCI follows and then responded to the participants' questions. The reason for this was to ensure that all participants hada minimum baste knowledge of the RO-FCI (minimize error of knowledge and pertinence) so as to relate their experience to the regulations. 3. Through the technique of brainstorming. the participants wrote down the bottlenecks that they had experienced on separate cards. All participants were urged to write down their experiences, emphastzing that the suppliers should be exhaustive in identifying all the bottlenecks that they had had. 4. The cards were collected and then each was placed along the chain of the RO-FCI. The text was read aloud; then with the aid of the partictpating group. the card was placed under the pertinent link. 5. When all the cards have been placed, there is an overall panorama of the chain; and it is a straightforward task to identify the links where the greatest denstty of cards is found. At these places the ideas are summarized. eliminating the repeated cards. Each idea is written on a different card. 6. Feedback was given for each card in the schema of the chain of the RO-FCI steps so that all participants understood the concepts. content and deftnition of the bottlenecks. 7. Finally, they proceeded to quantify the bottlenecks. The procedure for the diagnosis with the demanders was done the same way as in the case of the suppliers. with the following differences: l. 2 . The explanation of the RO-FCI was done through a sociodrama. where two neighbors from a community meet with an FDTA representative, who explains the development of the RO-FCI, using examples from the community. The partictpants do not write the cards ustng brainstorming; rather they express their opinions. which are written down by the facilttators. Wtth the help of the participating group. the card is placed in the corresponding link of the RO-FCI chain. 377 Schema showtng flow of the RO-FCI chain for the PITAs. Results Ten workshops were held with the partlcipatlon of 170 representatives of entities supplying services for four FDTAs. The workshops not only made it possible to locate the bottlenecks of the RO-FCI from the perspective of the suppliers. but also helped understand their nature. especially in terms of transaction costs and Iisks. Figure 1 shows that many of the bottlenecks are located in the process of selecting the PITA proposals (Section 3) and the actual implementatlon of the PITA (Section 4). The results valied according to the FDTAs (Valleys, Highlands, Chaco and Humid Tropics). Such vartation could be attrtbuted to the FDTA staff and the way they operate the RO-FCI. For example. the negotlation of the PITA (Step 3. 7 - this is code for the negotiation step in RO_FCI) in the FDTA-Chaco has a relatively high weight (24%) compared with the other FDTAs. According to the data obtained from the service providers. this could be caused by the person who is responsible for this process because this person Mlikes to exercise his/her power with the service providers' sta.ff." As a result, the negotiation takes more time and money, increasing the supplier's investment as well as the transactlon costs and Iisk, consequently turning into a bottleneck of the process. Similarly. the signing ofthe contract (Step 3 .9- this is code for the negotiation step in RO_FCI) in the FDTA-Highlands has a relatively high weight (27%) compared with the other FDTAs. According to the data collected from the service providers. this could be because the suppliers feel that the services contract represents a high level of legalinsecurtty for them. MThe contract strongly penalizes the failures in which the supplier could incur; in contras t. the contract does not penalize the failures of the FDTA or of the demanders." Therefore, the degree of uncertainty is increased, and the service providers think twice befare deciding to sign the contract. It is important to mentlon that the Highlands is a very high-Iisk zone dueto the prevalence of frosts, droughts, etc.; it is also considered the poorest zone in Bolivia because the farmers could not contlibute the 15o/o counterpart funds required by SIBTA. Moreover, there are small supplier organizations in the process of formation that do not usually have the logistical means and financia! stability that would pennit them to contlnue working when there are delays in the FDTA payments. A1l these factors make the transaction costs and Iisks high, increasing the uncertainty for the service providers. Other factors mentloned by the suppliers were plimartly the form of payments to the suppliers (apparently there are delays in the FDTA payments due not only to the bureaucracy of the State but prtmartly to the fact that the regulations link the payment of the services to the demanders' approval, the contract punishes the supplier for failures of the demander but does not punish the FDTA for delays) and the M&E systems for the PITAs (given that the beneficiartes of the PITA do not evaluate the actions of the suppliers directly and that the FDTA does not have consolidated M&E systems). Table 1 shows the results expressed as bottlenecks of the RO-FCI by the demanders of services. The demanders pointed out that gtven the short duration of the PITAs (18 months), the current RO-FCI does not take into account the PITA's actlvity in perennial crops such as fruit trees; thus technologicalinnovatlon is almost impossible in these crops. Another aspect mentioned is the low percentage of investment (5%): MThe demanders' contribution is 1596, but the investment is so low that they do not recover what they invested." 378 4 .1. FDT A's payments to R&DSP 3.5. Evaluation o f PITA proposal 3.4. Opening of bid<; for PITA proposals 3.3. PITA proposal submissions 3.1 . Assign of resources 2.2. Review of demands experssion 2. 1. Demand expression 1.3. Prioritizing topics 1.2. Identification of topic areas o S 10 15 20 25 Relati'W! Weight Bottlenecks O Chaco m Humid Tropics m Valleys • Highlands Figure l . Location of bottlenecks tdentifled in the RO-FCI by the R&D Servtce Provtder (170 representatlves of R&DSPs and four FDTAs), June 2004-Jan. 2005. 30 The amount requested by the FDTA as counterpart funds (15%) is apparently not in line wtth the demanders' financia! possibillties as in all cases this bottleneck, which limits their participa tion, was mentioned. Ftnally, the low or nonparticipation of the demanders in the M&E processes for the PITAs was mentioned frequently, namtng severa! dlfflculties (demanders' failure to pay, inconformities with respect to the suppliers' work, and prevalence of opportunism among both demanders and suppliers) as a result of this low participation. 379 Table l . Bottlenecks of the RO-FCI from the standpolnt of the demanders of SIBTA. Stages of the RO-FCI Bottlenecks Determintng the demand • The duratlon of the PITAs is too short; e.g., for fruit trees, forestry, for technologtcal innovatlon etc. • Lack of the demanders' organization makes lt difficult to express demands and negottate the PITAs. Evaluatlng the proposals • The demanders do not particlpate In the evaluation of the suppliers' personnel.. Allotting the funds • Insuffictent amounts for executing sorne PITAs . • The projects need greater levels of investrnent in the budget; 5% is too low. Negotlatlng the project • There are no methodologtcal tools for adjusting the PITA after lts approval. • The proposal cannot be negotlated wtth more than one supplier. • Negotlating with the FDTA is subjectlve, depending upon the person responsible for the process. Contrtbutlon of the • The demanders, espectally indtgenous groups and poor demander communitles, are not in a condition to contrtbute the 15o/o. Signtng of the contract • The issue of gender and indigenous groups disqualifles sorne projects where these groups cannot be included. Supervtslng, M&E of the • There is no coordination with the demander or with the PITA municlpality, which contributes the 15% for the M&E. • The demander does not partictpate in the monitortng of the PITA • There is a lack of soclalizatlon of the PITA among the project's benefictartes. Conclusions Expertence shows that the bottlenecks, expressed as high transaction costs and rtsks, can have different ortgins. Such is the case of the relatlonships of power among the actors {both at the staff and organizatlonallevels). the nature of the rtsks (e.g .• the degree of vulnerability of the working zones, and the institutional arrangements of the RO-FCI. such as the case of contracting services) and the level of organizatlonal development of the suppliers and demanders. Therefore. the perceptlons about the transactlon costs and rtsks would vary according to specific contexts. Many of the bottlenecks make reference to the instltutional arrangements (contract for services among the FDTA. demanders and suppliers). Apparently there is an issue of legal insecurtty, which is heterogeneous for each of the signatory parties of the contract. This incomplete contract apparently causes high transactlon costs and rtsk for each actor. Thus the FDTA and suppliers should invest more resources in the monitortng systems so that rtsks can be reduced. In the case of the demanders, this can result in opportunism (free riding), which causes difficulties in the executlon of PITAs in the long term. The information gathered in this process w1ll be provlded qualitatively to the decision- makers when they are adjusting the rules of the game for the PITAs and generating institutionalinnovations that are closer to the needs of the actors. 380 Bibliography Davis. L.E.; North. D.C. 1971. Institutional change and American economic growth. Cambridge. Cambridge University Press. Dorward. A.; Kydd, J.; Poulton. C. 1998. Smallholder cash crop production under market Uberalisation. a new institutional economics perspective. CAN Intemational. Wallingford. UK. Dorward. A.; Poole. N.; Monison. J .: Kydd. J.; Urey. l. 2002. Criticallinkages: livelihoods. markets and institutions. In: Seminar on Supporting Institutions. Evolving Livelihoods. 29- 30 May 2002. Bradford Centre for lntemational Development. Bradford. UK. p. 45-65 Hall. A.J.; Sivamahan, M.U.K.; Clark. N.G.; Taylor, S.; Bockett. G. 1998. Institutional developments in Indian agrtcultural R&D Systems: Emerging pattems of public and prtvate sector activities. Sci. Technol & Dev 16:51-76. North. D.C. 1990. Institutions. institutional change and economic performance. Cambridge. Cambridge Untversity Press. SIBTA (Sistema Boliviano de Tecnología Agropecuaria). 2003. Reglamentos Operativos Fondo Competitivo Innovación Tecnológica PITAs. Ministerio de Asuntos Campesinos y Agropecuarios (MACA). SIBTA. La Paz. BO. Stockbrtdge. M. 200 l. Rural development. guiding course file. Imperial College. University of London, Wye. UK. 381 PM&E and the Empowerment of Producers' Organizations Juan Femández R.75 and Edson Gandarülas76 Accomplishments • Participatory Monitoring and Evaluation (PM&E) has contributed to the empowerment of people and organizations because it has promoted active participatlon and has involved the organizatlons' members in all phases of the project and decision-making. • PM&E is also improving the organizations' capacity for (a) representatlveness and internal democracy. (b) participating effectively with proposals in strategic planning exercises, (e) negotlating with institutions and other actors. and (d) developing their sense of co-responsibility. Abstract The Participatory Monitoring and Evaluation (PM&E) system developed by CIAT was applied by the Promoting Changes project in the context of the Bolivian Agricultura! and Livestock Technology System (SIBTA), prior adaptation and adjustments of the methodology for the different rural areas. characterized by having one of the highest levels of poverty in Latin America. The principies of PM&E are oriented towards contributing to the empowerment of the people, organizatlons and institutlons. After analyzing the effects of applying PM&E in organizatlons, it was possible to determine that the methodology contributes to empowerment. primartly in the following aspects: Empowerment greater participatlon and levels of commitment of the beneficiarles in the projects: better performance of the service- providing entities as a result of the producers' evaluation: greater knowledge of the beneficiarles about the products. milestones and activities that the projects consider: and farmers' management and leadership capacity enhanced. Background Despite the fact that the Bolivian Agricultura! and Livestock Technology System (SIBTA) was created around an approach centered on demand, which places a high priority on the participation of agricultura! and livestock producers in the different phases of a project, the Operating Regulations of the Competitlve Fund for Innovation (RO-FCI). which regulates the process of the Applied Technological Innovation Projects (PITAs), does not contemplate mechanisms that permit the partlcipatlon of the beneficiarles during the process. The PITA's M&E system contlnues to follow a ~traditional" approach, where project beneficiarles are limited to a passive role of providing information. As a way of supporting SIBTA and other R&D programs, while contributing to the empowerment of producers' organizations. the Promoting Changes Project (FOCAM17) has promoted the implementation of PM&E in demander organizations of the PITAs, using Maction training." 75. Ag. Eng .. MSc. Technlcal Researcher, CIAT-FOCAM, e-mail: J.femandez@cglar.org. 76 . FOCAM Project Coordlnator- Bolivia. E-matl: e.gandarlllas@cgtar.org 77. FOCAM seeks to balance the demand for agricultura! research from Jow-resource farmers wlth the supply of agricultura! and llvestock research through the lmplementation of PM&E In the market for national agricultura! and llvestoc.k technology lnnovation. The PM&E methodology proposed by FOCAM was developed by the Intematlonal Center ofTroplcal Agrlculture (CIA'O (Hemandez et al. 2000) and adapted to meet the Bollvlan context. 382 Empowennent is a process of self-detennination, whereby the people or communities gatn control over their own lives. It involves a process of conscientization (becomtng aware of all the factors that influence people's lives) and liberation (gaining power to decide about thetr own destiny) (WHO 1998). Studies carrted out by PADEM (2003) regarding the empowennent of small farmers' and indtgenous organizations (OC-O fonnulate a series of consideratlons. Sorne indicators of empowennent proposed by thts tnstitution are the capactty of the organizations for: • Strengthening themselves. developing their representativeness and intemal democracy • Participating effectively and with proposals in strategtc planning exercises • Negotiating with other institutions and actors to make dectstons that favor not only their own sector but the others as well • Developing a sense of co-responsibllity and belongtng to the municipality. which is expressed in the real and constructive exercise of social control of municipal management Capacity to develop proposals bascd oo aggregate demands, with a productive. future. oriented vision Strong and democratic organiz.ation at bolh the co!IIITWlal and rmmicipallevels with equitable panicipatioo of women Figure l. Pyramid of empowennent proposed by PADEM (2004). The concept of empowennent is directly related to that of participation. At higher levels of participation. there are greater levels of autonomy and empowennent (Fig. 2). Objectives • Characterize the context where the PM&E methodology was implemented • Determine indicators of empowennent • Identify the relevant contrtbutions of this methodology to the empowennent of small agrtcultural and livestock producers' organizations 383 Figure 2. Ladder of particlpation showing levels of participation from the nominal to decis!on-making. equ!valent to empowerment. Methodology This article is based on analyses of infonnation about the progress made and resu lts accomplished in processes of implementing PM&E in Small Farmers Economic Organizations (OECAs) that are demanders of PITAs. promoted by SIBTA and financed by the FDTAs (FDTA-Valleys) and in projects ofthe Services and Technical Assistance Program (PROSAT). supported by the Prefecture of the State of Chuquisaca. Bolivia. Results Social context: According to the Govem ment of Bolivia (200 1). the country has one of the highest levels of poverty in Latín America. In 1992 data from the Population and Housing Censu s revealed that 70% of the population did not have their basic needs met; and at the end of the nineties. 63% of the population had farnily incomes u nder the poverty Unes (Table 1). Table l. Percent poverty and extreme poverty accord!ng to area of residence. Are a Nov. 1999 Nov.-Dec. 2000 Oct.-Nov. 2001 Nov.-Dec. 2002 (P) POVERTY Bolivia 62.03 65.47 64.39 64.60 Urban 51.36 54.47 54.28 53.94 Capital 46.36 52.03 50.54 51.01 Rural 80.12 84.54 81.06 81.99 EXTREME POVERTY Bolivia 35.84 39.17 37.29 36.77 Urban 23.51 27.93 26.18 25.71 Capital 20.66 25.69 22.28 23.94 Rural 56.72 58.66 55.60 54.78 SO URCE: MECOVI survey 78 (in Casazola 2003). Poverty in the rural area characterizes 82% of the population; extreme poverty is 55%. In the rural area. poverty is explained in great part by the low produ ctivity of the agrtcultu ral and Uvestock sector and the low value of the products on the market. The social context of the demanders of projects where PM&E was implemented ts charactertzed by the following aspects: 78. This information comes from a continuous survey of households/living conditions that forms part of the program for lmproving surveys and measurtng living conditions (MECOVI): data gathered by the National Institute of Statistlcs (INE) (INE et al. 1999). 384 • The producers are small, their landholdings ranging from 2-8 ha. • The principal activity is agrtcultural production. • The level of formal education is low; the majority does not finish prtmary school. • With respect to health, there are endemic problems such as Chagas' disease and malaria. • The strongest organtzatton is the agrartan sindicato. To illustrate the foregoing, the socioeconomic stratification of a zone where PM&E tmplementation was facilitated , is provided: the munictpality of Padilla, Sta te of Chuquisaca. Bolivia (INE et al. 1999) (Table 2). Table 2. Socioeconomic stratlflcation in the Mun1c1pality of Padilla. S trata Percentage A 20.5% B 31.2% e 48.3% SOURCE: HECOP (2003). Sorne 50% of the population in the municipality is found in Stratum C. the majority of whom are living in poverty. Stratum A corresponds to families that have more than 4 ha under production, more than 45 head of cattle, houstng that has more than four rooms. and higher levels of formal education. The majority know how to read and wrtte. Stratum B includes famllies that have the same assets as in Stratum A. but in smaller quantities and quality (Fig. 3). Families from Stratum C generally have a production area of 0.5-2.5 ha, very few sheep (no more than 20) and their houses do not have more than 2 rooms. They generally correspond to young famllies in the process of consolidation, the majority of whom do not know how to read or wrtte. Institutional context Municipal Govemment: Given the level of poverty in the zone, the policles that form part of the Municipal Government of Padilla in the productlve envtronment are to: • Promote and drtve the process of productive transforrnatlon Figure 3 . Doña Cristina Loayza and her three chtldren represent a typical family from the average stratum of the rural area oj the Municipality of Padilla, community La Cléne~a . • Encourage the economic development of the municipality. making effectlve the concept of a productive municipality. allocating a greater proportlon of public investment in the agrtcultural and livestock sector 385 • Promote research and technology transfer applicable to local conditlons • Open, repair and maintain roads to guarantee commercializatlon of the products • Promote tourism and ecotourism in each of their stages To accomplish part of its objectlves, the municipality of Padilla is linked with the followtng schemas of rural development policies at the natlonallevel: • The Bolivian System of Agricultura! and Livestock Technology (SIBTA79): SIBTA is an interinstltutlonal system that seeks to optimize its technical, human and financia! capacitles around the planning, promotion and executlon of actlvitles of agrtcultural and livestock, forestry and agroindustrial technology innovatlon in the natlonal settlng and based on regional needs. • The Foundatlons for Agricultura! and Livestock Technology Development (FDTAs): Through their Competltlve Fund for Technology Innovatlon (RO-FCI) , the FDTAs finance the executlon of Applied Technological Innovatlon Projects (PITAs) . In the Municipality of Padilla the FDTA-Valleys (2004)80 is financing two technological innovatlon projects in the chili peppers and peanuts agroproductlve chains, at the request of a Small Farmer Economic Organizatlon (OEC), the Associatlon of Producers of Chili Peppers and Peanuts from the Municipality of Padilla (APAJIMPA). with support from the Municipal Govemment of Padilla. PM&E and empowerment of the OECs: lt would be an overstatement to assert that the implementatlon of PM&E empowers the organtzatlons and the people; or said differently, that the people and organizatlons that use PM&E are empowered. PM&E is one element among many that contribute to empowerment. In the case of APAJIMPA, they underwent a process of about one-and-a-halfyears to adopt PM&E. In this process the Associatlon's leaders were committed to instltutlons and entltles such as the Municipal Govemment, which provides the services, and FDTA, as well as to fulfill the objectlves of both the PITA and the organizatlon. In the Chacosl region, different from APAJIMPA, which had a Kbottom-up" process, the executlve bodies of the FDTA-Chaco, based on the successful application of PM&E in other settlngs, promoted the validatlon of the methodology in their context and contributed to generatlng mechanisms for its institutionalizatlon. Based on the informatlon of the experiences regarding the effects of PM&E in different contexts. it was concluded that overall, PM&E contributed to empowerment in the followtng aspects: • The organizatlons have begun a process of appropriatlng PM&E, in which their leaders have played an important role in training and disseminatlng it among the farmers. • PM&E is permitting the supplier entltles to provide a better service. 79. SIBTA was created in March 2000 as a model of interaction between the country's publ!c and prtvate sectors, constitutlng a network that links up with the need for technology innovation of the actors from the agroproductive chains. 80. This is the operational branch of SIBTA for the adequate executlon of the PITAS in the macro- ecoregion of the Valleys. 81. Hot, semiartd lowlands. 386 • PM&E is contrtbuting to there being a better response and participation of the beneficiarles in the process. • The producers in their different strata are informed about the characteristics and development of the projects of which they are beneficiarles. • PM&E is contrtbu ting to improve the management and leadership capacity of the producer organtzations' managers. Conclusions • PM&E contributes to the empowerment of the producers' organizations, basically beca use it promotes the active participation and involvement of the members of the organtzation in all project phases and decision-ma.king related to their own development. • The use of PM&E is contributing to a change from a passive (receptive) attitude to an active one (decision-ma.king) on the part of the farmers. Thus it is improvtng their capacity for (a) representativeness and internal democracy, (b) partlcipating effectively with proposals in the strategtc planning exercises, (e) negotiating with other institutions and actors, and (d) developtng a sense of co-responsibility. Bibliography Bolivia. 2001 : Estrategia para la reducción de la pobreza. Banco Interamericano de Desarrollo Diálogo Regional de Política. Red para la Reducción de la Pobreza y la Protección Social. Washington, D.C., Diciembre 10 y 11. Casazola. F.L. 2003. Pobreza y distribución del ingreso en Bolivia entre 1999 y 2002. UDAPE (Unidad de Análisis de Políticas Sociales y Económicas) . http:/ ;www.udape.gov.bo/revista/Pobreza-99-2002.pdf. FDTA-Valles (Fundación para el Desarrollo Tecnológico Agropecuario de los Valles). 2004. Memoria 2003. Cochabamba, Bolivia. HECOP (Hábitat Ecología con Producción). 2001. Plan de Desarrollo Municipal (PDM) de Padilla, 200 l . Honorable Alcaldía Municipal de Padilla. Proyecto de Desarrollo de Comunidades Rurales (PDCR rn . Organizaciones de base. Sucre, Bolivia. Hernández, L. A.; Zapata, V.; Claros. E. 2004. El seguimiento y la evaluación participativa (S&EP). Manual para facilitadores. Centro Internacional de Agricultura Tropical (CIAT). Proyecto Fomentado Cambios (FOCAM). Cali. Colombia. INE, MDSP, COSUDE (Instituto Nacional de Estadísticas, Ministerio de Desarrollo Sostenible y Planificación, Cooperación Suiza para el Desarrollo). 1999. Atlas estadístico de municipios. Edición Centro Internacional de la Papa (CIP). Lima. PE. IDS (Institute of Development Studies) . 1998. El seguimiento y evaluación participativos. Cómo aprender del cambio. Boletín de Síntesis Informativa No. 12. www.tds.ac.uk/ids/particip. 387 PADEM (Programa de Apoyo a la Democracia Municipal). 2003. Empoderamiento de comunidades campesinas e indígenas. Una propuesta para democratizar los municipios rurales. La Paz, Bolivia. WHO (World Health Organisation) . 1998. Health promotion glossary. http:/ /www.lachsr.org/es/thesaurus/00001016.htm. 388 Partic ipatory Methodologies Ma.ke the Processes of Technological Innovation Viable in Bolivia V. Polar32, E. Gandarillas83, J. Femández84, J. Almanza85, and INNOVA Project 86 Accomplishments • As a result of the process of implementing the methodology of participatory monitoring and evaluation (PM&E) and other participatory methodsB7, gaps were perceived in the operating regulations that gutde the process of executing technological innovation projects in Bolivia. These gaps were identlfted and confinned through a process of dialogue and interaction with the different actors in the system. • New participatory methodologies were generated to fill these gaps and are currently betng implemented and adopted by the Bolivian institutions responsible for these processes. Background From 2003-2005 the FOCAM88 project began a series of experiences related to the strengthening of the Bolivian Agricultural and Livestock Technology System (SIBTA) through the incorporation of participatory methodologies in the framework of Applied Technological Innovation Projects (PITAs),B9 tendered by the Bolivian Government through SIBTA. The purpose of the FOCAM project was to adapt the PM&E system to Bolivian conditions in arder to brtng about its institutionalization at the level of SIBTA. together with the other participatory methods that had already been tested in arder to optimize the results generated by its projects. 82. Ag. Eng., Researcher from the FOCAM Project. v.polar@cgiar.org. 83. FOCAM Project Coordinator- Bolivia. E-mal!: e.gandar1llas@cgiar.org 84. Ag. Eng., MSc Researcher from the FOCAM Project, j .femandez@cgiar.org. 85. Ag. Eng .. Researcher from the FOCAM Project, jalmanza@proinpa.org. 86. INNOVA is ajoint project among the PROINPA (Promotion and Research of Andean Products) Foundation, the MMayor de San Simón" University (UMSS), through its projects PROMETA and PROMMASEL (Project of Sustainable Weed Management on Hillsides) . and the Tropical Agrtcultural Research Center (CIAT-BoUvia). It has financing from the Department for Intemational Development (Df!D) of the Brttish Govemment. under the coordination of the Intemational Patato Center (CIP). 87. Other participatory methods used by FOCAM tnclude CIALs (Local Agrtcultural Research Commtttees). and Partictpatory Evaluations. 88. FOCAM, which stands for Promoting Changes, is the short name for the project MParticipatory Monitortng and Evaluation (PM&E) for rural innovation in Bolivia." FOCAM seeks to balance the demand for agrtcultural research from low-resource farmers with the supply of agrtcultural and livestock research so that this research responds more clearly to the low-resource population. FOCAM is supported financially by Brttish cooperation (Df!D-RLD) and ls executed by the Intemational Center ofTroplcal Agrtculture (CIAT- Colombia) . and the Imperial College, University of London, England. 89. According to the definltlon of SIBTA (2003), a PITA represents a set of activitles with an agroproductive chain approach and a program vislon that comprtses the valldation. adaptation and transfer of technologies of processes, products, management and technical asslstance for their adoptlon with the purpose of promoting tntegrated changes along the chain. 389 The PM&E methodology and other participatory methods that were to be institutionalized served at the same time as a framework for identifying a series of problems and shortcomings within the project cycle, giving rtse to the generation of several tools designed to promote participation and equity in the processes developed. In what environment was the proposal developed? SIBTA was created With an approach centered on demand, prtorttizing the participation of agrtcultural and livestock producers in the different project phases. based on two important assumptions: • The producers are organized and have the capacity for participating actively- from the identification of their needs for technological tnnovation to the evaluation of project impact. • There is a system for supplying technologicalinnovation, capable of responding to the farmers' demands with efficiency and efficacy, using a participatory approach. In practice 1t was perceived that except for a few cases, these two hypotheses were not achieved. Based on what was seen, there was a need to develop and/ or strengthen the capacity of demanders, suppliers and administrative entities of funds in the use of participatory methodologies in order to make the full interaction among the different actors and their closer connection to the system viable. A PITA is established at the petition of a demander.oo There is a legal framework (Operating Regulations for the Competitive Fund for Innovation, RO-FCI) that should be clearly deftned to establish the Mrules of the game" for executing projects before the PITA can begin its activtties. How was the proposal bom? Based on prevtous work, the FOCAM Project proposed to insert the PM&E methodology and other partlcipatory methods in the SIBTA framework so that their processes would take into account the perception of the end beneficiartes. seeking their satisfaction With respect to the products generated. As this process advanced, bottlenecks were perceived in the RO-FCI. In order to learn the perception of aU the actors in the process With respect to the functioning of the RO-FCI and to identify the bottlenecks clearly, the FOCAM Project, in coordination with the FIT 991 project, has been carrytng on an open dialogue with the different actors. This analysis of the RO-FCI has resulted in the precise definition of gaps where there is a need to incorporate already tested participatory methodologies and generate other complementary ones that promote inclusion and equity, thereby contrtbuting to optimize the results of the ongoing projects. 90. Any organtzed actor of any one of the l!nks along the agroproductlve chain that can benefit from a PITA. 91. M Horizontal Leaming" Project, which forms part of the Program for Strengthening Technological lnnovation, financed by DfiD and executed by PROINPA and CIP. 390 Objectives Analyze how the participatory methodologies adapted and generated for the national context contribute to filling the gaps identified in the functioning of SIBTA's RO-FCI. Methodology Preliminary analyses conducted by the FOCAM Project to evaluate the process of adapting the PM&E, CIAL (Local Agricultura! Research Committees), ECA and Participatory Evaluations ofTechnology methodologies resulted in the identiflcation of concrete aspects that limited their adaptation and adoption in the national context. Later observations made it posstble to relate these Umiting aspects to the RO-FCI. To counteract the problems identified and propase altemative solutions, strategic a111ances were establlshed. oriented toward making the generation, design and valldation of new methodologtes viable for their later dissemJnation and tnstitutionalization. Institutional alliances Based on the underlying problems and with the purpose of strengthening SIBTA and the technology transfer processes being carried out. two strategic alllances were generated: one between the FOCAM and FIT 9 projects and the other between the FOCAM and INNOVA projects. The FOCAM-FIT 9 alllance permJtted an open dialogue with the different actors in the system. the purpose of which was to analyze the RO-FCI. tdentlfy bottlenecks or gaps. and then generate proposals for modifying these regulations in a way that would optirnJze the processes. A series of group analyses were carrted out that resulted in a proposal for modifying the RO-FCI. which was presented to SIBTA's decision-making bodies for their consideration. Parallel to the analyses of the RO-FCI facilitated by FOCAM-FIT 9, both the proposed modiflcation and the gaps identifted were analyzed within the FOCAM-INNOVA alliance in clase coordination with the FDTAs, in arder to generate a solution for the problems identified. Generation, design and validation of methodologies The generation of the proposed methodologies began with the speciftc demands of the FDTAs. detailing the problems identifled and difficulties faced at the level of the PITAs. These demands were then analyzed from the standpotnt of partictpatory principies by the FOCAM-INNOVA alliance in arder to destgn methods of raptd and simple application. Studying the demands in depth: Desptte the fact that the legal requisites for an organization to be awarded a PITA are clearly establlshed. there are sorne gaps that destabiltze the process. These gaps begin with detecting the organtzations' demands. There is no adequate methodology for thts purpose, and it is not possible to determine how genuine these demands are. Although the operating regulations state that befare beginning the project. the organtzation's legal representative should sign off (attestation of having no 391 objections), it is also clear that he/she is fully empowered to decide what the desired outcomes for the project should be. Moreover, there is no mechanism that transcends the legal stlpulatlons that would permit greater interactlon with the grassroots groups (Polar et al. 2004). In additlon to the foregotng, it is important to highlight that, as mentioned earlier, one of the assumptlons on which SIBTA is based is the existence of a competitive technology supply and demand market. This assumptlon is incorrect, given that the market is highly heterogeneous, with very few large suppliers and many small ones that are not in a positlon to respond to the needs of their region. The capacity for investment, especially among the small suppllers, is very limited, making it very difftcult for them to make the pre-investment disbursements required for looking into demand. As a result of the foregoing, a new method was designed that seeks to study demand in depth according to the speciftc conditlons of the demanders and considering the suppliers' limitatlons during the pre-investment phase. The "In-Depth Study of Demands for Preparing PITA Proposals" methodology facilitates formulating the bases of a project proposal, based on the identlftcatlon and in-depth study of demands broken down by farmer type, taking into account the local development aspiratlons that the farmers have, as well as promotlng a solid supplier-demander alliance. Adjusting the proposal: One of the critica! stages in generating a PITA is when a project is pre-selected in the classiftcatlon process, after which it enters the negotlatlon and adjustment stage before the awarding contract is signed. According to the RO-FCI, the suppliers should make the adjustment in their proposal in close interaction with the farmers-demanders, leading to the deftnition of a basellne for the project (INNOVA-FOCAM 2005). Nevertheless, despite the fact that the regulation identlfies the characteristlcs of the product to be obtained at this stage, there are no tools for facilitating this process. It was also observed that the suppllers do not have the instruments to identlfy the expectatlons of different types of farmers within the same group of the project's benefictaries, which would increase the possibilities of achteving the outcomes expected by each group. Consequently, the projects end up being implemented homogeneously with heterogeneous groups of farmers, resulting in the dtssatlsfaction of sorne of them. Moreover, this shortcoming in terms of instruments makes it dtfficult to formulate a baseline that reflects the producers' heterogeneous condttlons, once again generating homogeneous tnformatlon that does not necessarily reflect the project's initial conditions. These gaps with respect to instruments and methods are the origin of the "Partictpatory Adjustment of Proposals" methodology. This instrument ts used to explore the expectatlons of different farmers' groups within a group of beneficiarles in order to adjust, adapt and modify the project's products. actlvitles and indtcators before its final approval. Ltkewise, tt contributes to the strengthening of the supplier-demander alliance, increasing the commitment of the beneficiary group toward the project to be executed. Moreover, by identifying the different farmers' groups and differentlatlng among their expectatlons. it ts possible to define variables accordingly, oriented toward the constructlon of a focaltzed and relevant baseline. 392 Controlling the quality in the process: During the execution of the PITAs. the regulations stipulate that the correspondtng FDTA should evaluate the projects' partlal results. These evaluatlons are done based on the system for monitoring actlvities carried out and the milestones reached, based on the logframe of the proposal. The number of PITAs that are currently being executed has surpassed the capacity of available human resources and the time required for the FDTAs to implement this process with the desired levels of quality (INNOVA-FOCAM 2005). On the other hand, the monitoring systems do not include expllcit variables for detennining the demanders' degree of satisfaction with respect to the project. This makes it difficult to formulate adjustments that could be made to the project later in arder to satisfy the beneflctaries' demands. These considerations inspired the development of the ~Partlcipatory Mid-Term Evaluation of PITAs in Execution. Based on the Satisfaction of the Demanders' Expectations" methodology. This method gathers information on the beneflciaries' satisfaction with respect toan ongoing project, using the ftnancers' planning tools (e.g .. logframe. milestones). The method also facilltates the identlfication of complementary actions required to achieve the project's results. Controlling the quality when the projects end: As mentioned in the previous sectlon, the FDTAs' difficulties in terms of resources are a limiting factor in executing processes of ex-post quality control of the projects. Moreover. the existing systems do not include explicit variables for determining the satisfaction of the demanders and/ or informatlon about their future perspectives. The "Final Evaluation ofTechnological Innovatlon Projects" methodology is a tool that can be used to compile information on the demanders' satisfaction with respect to the projects of which they were beneflciaries. The method is based on the demanders' perceptlon regarding the project's execution. as well as the performance of the different actors involved, the results obtained and the new knowledge acquired. 1t also helps identify the future expectations of the groups to ensure the continuity of the processes undertaken. Dissemination: Once the methods had been designed and validated in different projects at the nationallevel. they were systematized and presented to different actors in the system. Results The new methodologies generated were well accepted both within and outside SIBTA. Sorne ofthe applications were implemented directly by the FOCAM-INNOVA team while others were being done directly by the actors tnvolved in the process. Table l presents details of the applications carried out by the team, which made it possible to validate and adjust the methodologies. It ts important to highlight that at this time sorne of these methodologies are being applled in different FDTAs. Sorne of them have already been institutionalized while others are still in the process of being evaluated and adapted. 393 Table l. Summary of application of the methods by the INNOVA-FOCAM teams. Methodology Appllcation In-depth study of • Proposal presented for improving the quality of potato production in the demands Munidpality of Umala by means of integrated crop management with emphasis on pest control • Proposal presented for improvtng broad bean crop production and commercialization in the Municipality of Colorni, Cochabamba • Three applications in response to demands for promotlng the technologies validated and promoted by Working Group 3 of the INNOVA project. Three proposals were generated and included in the INNOVA project's POA. Participatory • Strengthening of the competitiveness of potato producers from Pocona adjustment of and Morochata, linked to the market proposals • Investigation of markets and commercialization strategtes for chestnut producers from Pando • Training and technology change in the integrated management of South American Camelidae in the mountains of the Municipality of Batallas. Los Andes Province. La Paz State Mid-tenn evaluation • Biologtcal control of the coffee berry borer in the munidpalities of Caranavi and Coroico. La Paz State • Support for the commercial production of peanuts in O'Connor Province, Tartja State • Sustainable management of the woodlands with cattle raising and integrated herd management. Association of Cattle Ranchers and Rural Communities of the Municipality of Cabezas, Cordillera Province, Santa Cruz State. • Improving the opportunities and competitiveness of beef commerciallzation of the members of the Federation of El Chaco Cattle Ranchers • Technology transfer for providing feed and forages for beef cattle in Villa Montes. Tartja Final evaluation • Improvtng the quality of "Nuestra Tierra" peaches from Vallegrande • Improving technology for producing chili peppers in the region of El Chaco Chuquisaqueño The new methodologies were dtsseminated through different tratning events sponsored by the 4 FDTAs. the Ministry of People's Participation. the "Mayor de San Simón" University and suppliers of technology. In these events representatives of the different sectors from the country's four macro ecoregions participated. Conclusions As a tool for organizational strengthening, the methodology of Participatory Monitortng and Evaluation brtngs groups together around a common dream or objective. In the life cycle of the projects, the PM&E framework covers the initial exploration of the demand to the evaluation of outcomes and the exploration of new demands. However. all these efforts are in vain 1f there is no continuity in the principies of participation, equtty and inclusion. Sorne of the contributions of the new methods are described below. 394 In-depth study of demands: Sorne of the project proposals that arase fro'm the application of the method are currently being executed. The real contribution of the method wUl be seen when the results and lmpacts of the PITAs are evaluated. Nevertheless. it can already be seen that the application of the method con tributes to the proposals being centered on the farmers' demands and inspired In their vision of development, thereby contrlbutlng to the strengthening of the supplier-demander alliance and to the empowerment of the projects. The level of investment that the application of the method requires corresponds to the level of risk that the suppliers of technology have to assume in the pre- investment stage (INNOVA-FOCAM 2005a). Participatory culjustment of proposals: Project proposals adjusted using the Mparticipatory adjustment of proposals" methodology are currently betng executed. Preliminary observations show that the application of the method has already contributed to differentiating among the expected outcomes of the project by type of demander. The process has also contributed to strengthening the supplier-demander alliance and promoting the beneficiarles' empowerment with respect to the project. It has also been observed that the information reflected in the baseline is focalized. pertinent and relevant to the outcomes expected by the demanders. Mid-term evaluation: In the different PITAs where the method was applied, information was obtained on the degree of demander satisfaction with respect to the activities executed by the supplier, identifying causes and generating proposals based on the complementary actions required to achieve the expected project results. As in earlier cases. the method contributed to increasing the beneficiarles' commitment toward the project and strengthening the supplier-demander alliance. Final evaluation: The methodology for the final evaluation provided detailed information on the actors' performance, the accomplishment of results, and the project beneficiarles' degree of satisfaction. It was also observed that the qualitative information generated complements quantitative evaluations implemented at a different level. There have been cases where the information obtained was used as the basls for expresslng demand in the formulation of subsequent projects within the framework of a program's vislon. Global contributions of the methods: Tools such as the stratification of beneficlarles92 in the methodology of participatory adjustment of proposals and the zonlng of the area of influence in the in-depth study of demands can be used to propase speciflc technologtcal supplies for the different strata and/or zones. thereby ensurtng the incluslon of less-favored groups in the benefits generated by the projects. The mid-term and final participatory evaluation methodologtes, in addition to constituting an easily applied tool for compillng information on demanders' satisfaction. generate opportunities to communicate with the demanders and get feedback from them. Although the methods were designed for being applied initially within the SIBTA framework. their dissemtnation has resulted in the possibility of their being adopted in other systems of technologicalinnovation at the nationallevel. among which stand out the health and education sectors. 92. Stratlficatlon of fanners ls done ustng the methodology of ÜLevels of Wellbetng." 395 In all cases the challenge is to maintain the spirit of the methods in terms of promoting equity and the inclusion of the least favored in the development undertakings. thereby guaranteeing the achievement of the goals proposed by the national policies in terms of reducing poverty and development with equity.93 Bibliography FOCAM (Proyecto Fomentando Cambios). 2005a .. Informe de actividades del proyecto gestión 2004-2005. Centro Internacional de Agricultura Tropical (CIA1j-FOCAM. FOCAM (Proyecto Fomentando Cambios). 2005b. Metodología de Mevaluación participativa final" (draft document to be published at the begtnning of 2006). INNOVA -FOCAM (Proyecto Fomentando Cambios). 2005a. Metodología de Majuste participativo de propuestas." Cochabamba, BO. INNOVA -FOCAM (Proyecto Fomentando Cambios). 2005b. Metodología de Mevaluación participatlva de medio término de PITAs en ejecución, basada en la satisfacción de los demandantes." Cochabamba, BO. INNOVA -FOCAM (Proyecto Fomentando Cambios). 2005c. Metodología de Mprofundtzación de demandas para la elaboración de propuestas de proyectos de innovación tecnológica." Cochabamba, BO. MACA (Ministerio de Asuntos Campesinos y Agropecuarios). 2005. Plan estratégico institucional2005-2007. Dirección de Gestión y Reforma, Ministerio de Asuntos Campesinos y Agropecuarios. La Paz. BO. Polar, V. et al. 2004. Consideraciones de los capitales humano y social en el establecimiento de S&EP en el marco de los PITAs. Centro Internacional de Agricultura Tropical (CIAT)- Proyecto Fomentando Cambios (FOCAM) http:/ /www.ciat.cgiar.org/ipra/pdf/ARIVIVIAN_CIAT_2004.pdf SIBTA (Sistema Boliviano de Tecnología Agropecuaria). 2003. Reglamento Operativo Fondo Competitivo Innovación Tecnológica, PITAs. Ministerio de Asuntos Campesinos y Agropecuarios (MACA), SIBTA. La Paz, BO. 93. The legal and strategic framework of the Instltutlonal Strategic Plan of the Ministry of Agrtculture 2005-2007 details the national polic!es designed to reduce poverty and brtng about development with equity. 396 Use. of Participatory Monitoring and Evaluation (PM&E) in th e Chaco Foundation (FDTA-Chaco) W. Fuentes f"94, E. Gandarillas95, J. Femández96, V. Polar-n, M. Soruco98, R. Cruz••, and D. Garcia••• Accomplishments PM&E as a methodologtcal tool applied in the context of the FDTA-Chaco has made important contributions to the market of technological innovation (suppliers and demanders): • It has generated a collective awareness that the system's raison d'etre is the productive organization: therefore the demanders now show their capacity and exercise their right to express their satisfaction for the service they recetve. • rt constitutes an instrument that genera tes information about the execution of the activtties: and based on thts information, actions are taken wtth respect to improvtng the quality of the service. • It is strengthening social organtzations, permttting them to gtve their opinions and be part of the construction of their own development. Abstract This expertence was implemented in the Boltvtan Chaco macro ecoregton. where the Foundation for Agrtcultural, Livestock and Forestry Technology Development of the Chaco (FDTA-Chaco) operates and where the Promoting Changes (FOCAM) Project has the purpose of contributing wtth the implementation of Participatory Monitortng and Evaluation (PM&E) systems in the different Applied Technologtcal Innovation Projects (PITAs) in order to strengthen the demanders' capactty in the suppliers' technology transfer processes. The PM&E methodology was developed by the Intemational Center ofTroptcal Agrtculture (CIA1j and adapted to the Bolivtan context by FOCAM. The steps for using PM&E in the FDTA are: (1) tmplementation of the methodology, (11) execu tlon of the methodology by the demanders, (iti) use of the information and (iv) dectston-maktng. Among the principal results at the level of the FDTA ts that PM&E has made an important contrtbutlon to the market for technological innovation. It has generated a collectlve awareness that the raison d'etre of the system is the productlve organtzatlon: therefore the demanders now show their capactty and exercise their rtght to express their satlsfactlon for the service they receive. At the supplier leve!, they are begtnning to use the information from the PM&E and apply correctlve measures in time: moreover. greater institutlonal commttment is being stimulated by the project's success. At the demander level. the PM&E instrument helps transmtt their 94. Ag. Eng., Researcher of the FOCAM/CIAT project. e-mail: walterfu_2000@yahoo.com: • Belong to the FOCAM project team: •• Belong to the FDTA-Chaco team: ••• Thesis student of the FOCAM project. 95. FOCAM Project Coordlnator- Bolivia. E-mail: e .gandarillas@cgtar.org 96. Ag. Eng., MSc, Technlcal Researcher, CIAT-FOCAM, e-mail: J.fernandez@cgiar.org 97. Ag. Eng., Researcher from the FOCAM Project, v.polar@cgiar.org 98. Desarrollo del Mercado de Innovación Tecnológica, Fundación para el Desarrollo Tecnológico Agropecuario del Chaco (FDTA-CHACO) maya.soruco@stbta.gov.bo maya.soruco@fdta-chaco.org.bo 397 suggestions to the suppliers and financers in order to optimize the projected outcomes for the PITA. FDTA has evidence that the methodology works; therefore, there is a willingness to include it in the institutional POA so that it can be applied in all the PITAs they finance. Background The importance of implementing a PM&E system in the Applied Technological Innovation Projects (PITAs) of the Foundation for the Development of Agricultura!. Livestock and Forestry Technology for the Chaco (FDTA-Chaco) lies in the need for having a methodological tool that complements the FDTA's current M&E system. From the onset and up to 2004. the FDTA-Chaco's M&E process was carried out by permanent staff and sorne technicians on secondment. As of 2005, a team of six supervisors was formed, among whom the PITAs in execution were distributed, so that the work would be more efftcient. Nevertheless. the process ran into three main difflculties: (i) the insufftcient number of staff (supervisors), (ii) the lack of an appropriate methodoiogy for the monitoring and evaluation of projects, and (iii) lack of clarity in the staffs responsibilities. From there arase the need for implementing the PM&E system, which complements the current FDTA system and which provides information on the quality of execution of the programmed activities in the different PITAs from the demanders' standpoint, thereby contributing to the accomplishment of the objectives of the different projects. According to Aubel (2000), PM&E represents an opportunity for programs or projects to examine the quality of implementation of their activities, for measurtng the progress made toward obtaining results, and for formulating the lessons learned. In this respect Reuben (2003) mentions that PM&E provides more complete and in-depth information. increases transparency and strengthens the commltment to implement corrective changes. The shared learning improves the performance of the institutions that deliver services and the effects of the same; and increases the sense of ownership, autonomy and organization. Objective Describe, learn about and analyze the contributions resulting from the use of PM&E in the PITAs and their effects on the different actors involved in the process-the FDTA-Chaco, service suppliers and demanders. Materials and methods Location and characteristics of the study zone: The Chaco is one of the four macro ecoregtons of Bolivia, formed by parts of three states (Santa Cruz, Chuquisaca and Tarija), distributed in 17 municipalities.99 The region has a population of almost 300,000 inhabitants. an Amerindian population of almost 80,000 among the Guaraníes, Weenhayek and Tapiete, living on a surface of about 128,000 15m2 (20% of the South American Chaco). 99. Cuevo, Boyuibe, Camirt, Lagunillas, Gutiérrez, Charagua, Cabezas In Santa Cruz: Huacaya. Machareti, Monteagudo, Villa Vaca Guzman, Huacareta In Chuqulsaca; Entre Rios, Yaculba, Carapart, Villa Montes and the Bermejo trtangle in Tartja. 398 This hot, semiartd region is traditionally dedicated to beef cattle-raising and swine. The main crops are maize, peanuts and chili peppers. Hunting and fishing are means of subslstence. Figure l. Geographlc locatlon of the macro ecoreglon of the Bollvtan Chaco. The Bolivian Agricultural and Livestock Technology System (SmTA) and the FDTA-Chaco: SIBTA is an instrurnent created with the purpose of developing and promoting agrtcultural, livestock, forestry and agroindustrial technology innovations in Bolivia. SIBTA conststs of four Foundations for Agricultural and Ltvestock Technology Development (FDTAslOO), defined accordtng to the four macro ecoregtons of the country: highlands, Chaco, humld troptcs and valleys. The FDTA-Chaco, through tts Competitive Fund for Technological Innovation, currently ftnances the execution of 51 PITAs throughout the macro ecoregton in the agroproductive chains of bovines, swine, apiculture, peanuts, maize, chill peppers and subtropical fruits, with different types of demanders (e.g., associations, agrartan sindicatos). As of February 2005, the FDTA-Chaco, in an interinstitutional agreement with the Promoting Changes project (FOCAMlOl), agreed to implement PM&E systems in their PITAs. Process of implementing PM&Es in the PITAs: The methodology u sed in implementing PM&E was that proposed by the Participatory Agricultural Research project (IPRA) of the International Center ofTropical Agriculture in Colombia (CIA11 (Ashby et al. 200 1), with adaptations to the social context and the PITAs by FOCAM in Bolivia. Methodological steps for using PM&E in the FDTAs: The process for using PM&E involved the following steps: 1 OO. Priva te entJtles of publlc lnterest, fonned by dlfferent sectors of demanders and suppllers of agricultura! and llvestock technology. 1 O 1. FoCarn (Promottng Changes) ls the short narne for the project "Partlcipatory Monltortng and EvaluatJon (PM&E) for rural lnnovatlon In Bolivia." FOCAM seeks to balance the demand for agrtcultural research from low-resource farmers wlth the supply of agricultura! and llvestock research so that lt responds more clearly to the low-resource populatlon. PM&E propases to strengthen the capaclty of the demanders (producers-beneflclartes of PITAs) In the overall process of technology transfer carried out by the suppliers so that the project ls more effectlve In achlevtng the objectlves of poverty reductlon In Bolivia. 399 Results Implementation. With the support of the PITA supervisor and a facilitator of the methodology, the PM&E system was implemented in a workshop that !asted about 4 hours. The partlcipants were representatives of beneftciary communities of PITAs. The steps that were followed were: (i) motivation, (ii) conceptualization of PM&E terms, (iii) constructlon of the dream or group objective, Figure 2. Supervisor of the FDTA, implementing PM&E. (iv) construction of local indicators. (v) socialization of PITA's actlvities. (vi) ftlling out and applying formats, vii) electlon of person responsible for conducting the PM&E in his/her group. Execution. The groups, with the support of their representatives who had been trained, ex:ecute PM&E for all the actlvitles in which the supplier is engaged. This step is supported by the FDTA supervisor. The suppliers' partlcipation in this step is vital; their role is basically centered on helping the demanders remember the realization of the PM&E after each actlvity has been ex:ecuted. Use oj the information. The PM&E reports from the different groups or communitles are comptled, systematized and inserted by the FDTA supervisor in the monthly informatlve formats for supervising the PITAs. These reports become the legal 'bearer' of the demanders' suggestlons or recommendations. Decision-making oj the FDTA. The information generated by the demanders is analyzed and discussed by the FDTA's executlve body. Based on that information, this body decides the monthly actions to be taken jointly by the supplier and demander. The contribution of PM&E to the work of the FDTA-Chaco: The following paragraphs summarize the opinions expressed in interviews by the Directorl02 of the FDTA- Chaco, and those responsible for the Organizatlonal Strengthening and Technological Innovatlon units. The use of PM&E during these months has shown the following advantages: 102. Edgar Rodo, Lic., Executlve Director of the FDTA-Chaco. 400 The methodology ts participatory; that is, there is active partlcipation of the demanders and/ or project beneficiarles in the M&E of its activities. Upon executing the PM&E parallel to the activity that ts being evaluated, tmmediate results are obtained. Thus the PM&E constttutes an early-warning system for taking corrective measures in the project so that it can reach its proposed Figure 3. PM&E meeting among suppliers and objectives. The informatton demanders. generated in the PM&E report constitutes an important input for the FDTA supervisors. The PM&E has made an important contiibutton to the market of technology innovation (suppliers and demanders). It has generated a collecttve awareness that the razon d'etre of the system is the productive organtzation; therefore the demanders are now showing their capacity and exercising their right to express their sattsfactton for the service they receive. The contribution of PM&E with respect to the service s uppliers: The execution of the PM&E in the PITAs has generated changes in the service provided by the suppliers: • The suppliers are beginning to use the PM&E information and are applytng correcttve measures in time, resulting in greater institutional commitment given the project's success. • Likewise. PM&E has become a tool for finding out the demander's degree of satisfaction with respect to the executton of the activities; and based on this information, take actions in order to improve the quality of services. According to the evalu attons of the beneficiarles, these actions include optimizing the training sessions, the use of simpler terms and more graphics, as well as including more practice. In this regard UNPFA (2004) mentions that PM&E is becoming a process that permits the different stakeholders to express their needs. interests and expectatlons. The process of dialogue and negotiation among the stakeholders that occurs in PM&E facilitates the conciliatton of the stakeholders' divergent viewpolnts. The contribution of PM&E with respect to the d emanders: With respect to the demanders (e.g .. communittes. associattons. sindicatos, groups). using PM&E has shown that: • The demanders feel committed to the project and have a positive attttude about contributing to it constructtvely. 401 • PM&E has become an instrument that helps transmit the demanders' suggestions to the suppliers and financers to optimize the outcomes projected for the PITA. An example of the application of PM&E is that shortcomings were detected in the execution of activities by sorne PITAs such as the prolonged absence of the technicians from the project, inopportune delivery of materials, and unjustified delays in activities. PM&E enables the demanders to resolve these problems in the shortest time possible, through agreements with the supplier. • Likewise. the demanders leam to evaluate the quality of the services provided by the supplier and request improvements in them, thereby strengthening their capacity for analysis, reflection and decision-making to ensure the success of their projects. This has enhanced the demanders' organizational and management capacity. • In this respect UNPFA (2004) highlights the fact that in participatory evaluations, the stakeholders themselves identify and resolve project-related problems, which strengthens their capacity for participatlng actively in the fulfillment of the project's objectives instead of remaining passive beneficiaries of development assistance. Self- evaluation can help strengthen the associations among different stakeholders and increase their comprehension of the program's processes and end results. Perspectives of PM&E in the FDTA-Chaco: The FDTA executives reason that 1f they have had good results with the PM&E methodology, these are not the total expression of its potential; therefore much greater advantage should be taken of it. FDTA already has evidence that the methodology works; therefore there is a readiness to include it in the institutional POA so that it can be applied in all the PITAs whose degree of execution is below 50%. The following actions would have to be implemented prior to that: • Contlnue the process of training farmer-leaders to disseminate the methodology among the project's demanders. • Promote the organizational strengthening of the demander groups that will be implementing the PM&E. • Disseminate the methodology among the suppliers of technology. emphasizing the fact that the results of the PM&E reports are inputs for improving their services. Principal düficulties: 1t is important to mention sorne difftculties that were encountertng durtng the process of implementlng PM&E so that they can be taken into account in future processes or interventions. At the level of the demander The organizations lack the capacity to convene the meetings of the association and do not have sufficient leadership to motívate the beneficiaries to implement the methodology. The distan ce (in sorne cases it reaches 100 km) between the communities benefitlng from the PITAs causes delays of both of the implementation of the methodology by the technicians and of attending meetings of the association or training events on the part of the demanders. The transfer of knowledge of the methodology to the demanders requires time for their becoming familiar with the methodology and being motivated to implement it. 402 The PM&E actlvitles overlap with the harvest period (2 months) and the full-time dedicatlon of the producer. At the leuel oj the supplier Sorne suppliers are not suffictently tnterested and willing to tmplement PM&E. Conclusions • It is important to instltutlonalize PM&E among all SIBTA actors. which means incorporating norms for their implementatlon in tts bylaws and regulatlons. • The FDTA supervisors have appropriated the principie of partlcipatlon and acquired aptitudes for forming groups and mediatlon in order to establish an effectlve dialogue and discussion among suppliers and demanders, ortented toward accomplishing the objectlve. • In the process of implementing the methodology, 1t is essentlal to coordinate actlvitles wtth the technical teams of the suppliers to join forces in the PM&E process. • PM&E strengthens the social organtzatlons (producers associatlons, communitles. capitanías and other groups) by letting them express their ideas and construct their own development processes. • In many cases the PITAS cover severa! communitles; therefore, in order to establish PM&E systems, it is important to generate and adapt strategies to each context. Bibliography Ashby, J. et al. 2000. Investlng in farmers as researchers. Expertence with local agricultura! research committees in Latln Amertca. Centro Internacional de Agricultura Tropical (CIA11. Cali, CO. D'Arcy Davis Case, 2003. Conceptos, métodos y herramientas para el diagnóstico, seguimiento y la evaluación partlcipativos en el desarrollo forestal comunitario. Manual de Campo No. 2. Judi, A. 2000. Manual de evaluación participatlva del Programa Minvolucrando a los participantes del programa en el proceso de evaluación." Joint publicatlon with Catholic Relief Services and Chlld Survival Technical Support. Reuben, W. 2003. Seguimiento y evaluación participatlvo (S&EP). Grupo Participación y Sociedad Civil, Banco Mundial. www.worldbank.org/partlcipatlon. Rodo. E. 2005. Implementación de la metodología S&EP (seguimiento y evalu ación partlcipatlva) en PITAS de la FDTA-Chaco. Informe de caso de intervención. UNFPA O. 2004. Conjunto de herramientas de planificación, seguimiento y evaluación del administrador de programas. New York. NY. 403 Livelihoods, Social Capital and Participatory Monitoring and Evaluation Approaches Luis Alfredo Hemández Romenft7 Background Participatory Monitortng and Evaluation (PM&E), Most Signiflcant Change (MSC), Social Network Analysis (SNA) and Appreciative Inquiry (Al) could tum on important tools for strengthening social capital among others assets. This hypothesis remarks social relations and possible ways for its transformation through SNA and PM&E expertences in Colombia and others contexts in Latin America. This brtef outlines five mechanisms through which social capital (SC) can potentially benefit livelihood outcomes. Social capital and monitoring approaches Regarding SC, the definitions vary according to the authors. As Chambers & Conway (1988) and Camey, (1998) put it, SC is a concept that tries to capture the essence of community life. They explain SC as one of the five capital assets (natural, financia!, physical, human and social) required for a means of living. Putnam (1993) views se as Mfeatures of social organtzation, such as trust, norms and networks, which can improve efflciency of society by facilitating coordinate actions. n Mignone (2003) goes one step farther by subsuming Mcommunities ' interactions" under the term SC: thus communitles work well or poorly based on the ways in which people interact. Higher levels of SC imply a culture of trust, participation, collective action and a norm of reciprocity. Higher levels of trust allow people to leam from each other, share information and enjoy more positive relations. Severa! researchers have written about SC in terms of the following five elements: social relationships, social networks, social norms and values, trust and resources. All social relations have a potential for se. but to be usable and to produce benefits they have to be transformed. Monitortng approaches such as PM&E, MSe. SNA and Al imply social relations or connections. These approaches can be used to study organizatlonal change and community systems because they make visible who interacts with whom in the exchange of agrtcultural information and knowledge. Thus communities identify connections to others, opening doors to ideas, opinions and resources: that is, people and their connections provide a conduit for information. For example, MSC could be considered a form of PM&E. It is participatory because stakeholders are involved both in deciding the sort of change to be recorded and in analyzing the data. MSC has been likened to Al, and sorne people describe the way Al can be used in the M&E process too. Al is considered as a package of approaches used to study organizational change and community development. SNA depicts relations among 'actors'; that is, people or groupings of people in weblike dtagrams comprtsed of points and lines (Singer 2002). Relations can be of any type: e.g., relations_in rural communities, like PM&E committees or information flow among stakeholders. People who are central in an advice network are actlvely engaged in both helping others and mutual problem-solving. 97. These ideas are part of my PhD thesis: M Selection ofTroplcal Forages: Development of Particlpatory Procedures." 404 According to the definition of PM&E (Patton, 1977). this tool offers a forum that allows different stakeholders to articulate their perspectives. to strengthen their organizatlons and promote instltutionalleaming (evaluating process). In this context, PM&E leads to better work, encouraging a culture of trust, participation and collectlve action, which are features of social organizations with a high leve! of se. Entry points for monitoring approaches According to Narayan and Ptitchettt (1999) . there are five entry points for interventlons: more efficacious govemment. solving common-pool problems. diffusion of innovations. lowertng transaction costs. and informal insurance (http:/ /www.caledonia.org. uk/ soc_cap.htm). More effective govemment (A CIAL can be defined as a ~farmers-run research service that is answerable to the local community, ... experimenting locally unknown and unproven farming methods. to compare them with established practlce" ASHBY et al. (2000). At the beginning of the PM&E process. CIAL members construct the overall objective and the first specific objectlve is almost always to achieve strengthened CIAL groups. In sorne cases that means that they have to increase participatlon, levels of trust. motivation. etc. (Hemández 2003). There are with PM&E established to monitor CIAL objectlves and increase their cornmitment. sense of ownership and self-determination (e.g .. Fortaleza Carpintereña, El Progreso and Santa María CIALs). The majority of CIALs with PM&E procedures have also established crucial relationships and networks, organized around common interests (see Fig. l) . There are CIALs organized todo research on common beans. cassava, sugarcane for panela. potatoes. raising chickens and hens. Depending of their evolution, sorne CIALs begin interactlons with extemal agencies for resources. training. or to influence polices. This is a clear example of how PM&E motiva tes government services to revaluate their objectlves and attitudes through understanding and negotiating the perspectives of the CIALs (e.g .. PITA. Applied Technological Innovatlon Projects in Bolivia). The presence of relationships allows for better monitortng of government services and likely improved govemment delivery. A visible social network will help monitor and evaluate the tmpact of interventlons. These social networks can take on many forms: community-level and along market chains. SNA. an ongotng project in the Fortaleza and El Progreso groups, has generated maps that will facilitate designtng concrete interventions. Those maps showed the need to create new brtdgtng. bonding and linking ties. These groups will try to start a contact shartng and exchange effort with other CIALs in the area. Another result is the conceptualizing of roles: How can they go outstde to enrich their network: and how the weavers can transmit their knowledge to other members and in this manner share the weight of making ( and keeping) valuable connectlons (Álvarez. 2005). In summary, govemment officlals are immersed In clvtl soctety through these partictpatory approaches and thus become more responsive to the needs of society when relationships (brtdging and linking SC) are stronger and more numerous. 405 Düfusion of innovations As noted in the analysis, monitortng approaches build connections among people, which means conduits or channels for information. Flow maps, networks and discussion forums resulting from PM&E processes allow different stakeholders to strengthen organizations and promote institutional learning. With better information regarding innovation, stakeholders are able to obtain benefits of new technologies more quickly. My hypothesis is that the snapshots provided by the network maps across time show a picture of and explain ex:isting innovation technologies in each community, which will permit the group to identify systematic differences between innovators and less innovators (as baselines). For instance. ei.AlrLa. Union in Piendamó, eauca Province. has been testing maize and common bean varteties. In this way farmers increase and spread knowledge about new technology options inside and outside the community. In this case the flow of information also involves a scaling-up process. Lowering transaction costs High transaction costs are often cited as a limiting factor in rural development. In the context of market chains, PM&E and SNA will be able to identify bottlenecks in the flow of price information; distribution of profits within the different segments of value-chain information; and agricultura! commodities. which must comply with certain quality standards. Nowadays. sorne eiALs know price information regarding the market chain of sugarcane for panela and marketing sour starch from cassava. Both cases are related to networks constructed around a market chain. Scaling the networks would drive down transaction costs. which in turn drives scaling up of the network (my hypothesis) . Infonnal insurance One important indicator of se is diversity of membership in community groups and local organizations. We found that sorne farmers belong to severa! groups. In Fortaleza earpintereña, we identified severa! groups and organizations comprising farming groups and mother groups. eiALs with bridging se. involving relationships. networks and adequate information abou t outcomes, are in a better position to pool risk and create informal insurance mechanisms. Such mechanisms may allow CIALs to invest in riskier activities. (It is important to remember that from the onset a eiAL fund is established to help absorb research risks.) Solving common-pool problems PM&E offers a forum in which stakeholders can articulate their perspectives through collective action. This includes decisions about rotating exchange labor or group labor for a number of farm operations such as planting, weeding, harvesting, raising chickens and quails, etc. ei.AlrFortaleza shows a most significant change in terms of the women's role in agricultura! activities. The women are working on different issues: medicinal plants, raising animals, diets for chickens, and care of older people, among other activities. The Fortaleza eiAL represents the community of earpinterefla with increasing levels of se. Communities with higher levels of se are more able to take actions that avoid exploitation or common-pool resources being taken advantage of. In this case, the visualization of links and people through social-network maps helps identify positive roles for individuals and other actors 406 around them, and to design strategies for improving the intensity and quality of these relationshi ps. Bibliograp hy Ashby, J.A.; Braun.A.R.; Gracia, T.; Guerrero. M.P.; Hemández, L.A.; Quirós,C.A.; Roa J.l. (2000): Investing in farmers as researchers: Experience with local agricultura! research committees in Latín America. CIAT Publicatíon Álvarez, S. 2005.? Visualizing social networks and strengthening social capital: Developing a prototype tool. Project sponsored by CIAT through Boru Douthwaite. Chambers, R.; Conway, G. 1992. Sustainable rurallivelihoods. Practical concepts for the 21st century. lOS Discussion Paper. lOS, Brighton, UK. Douthwaite, 8.(2005): Concept Note: Strengthening Rural Innovatíon Ecologies. CGIAR Systemwide Program on Participatory Research and Gender Analysis (PRGA) for Technology Development and Instítutíonal Innovation. Centro Internacional de Aricultura Tropical. CIAT- Cali. COL Estrella, M. 2000. Learning from change. Leaming from change: Issues and experiences in participatory monitoring and evaluatíon. Intermediate Technology Publicatíons, London UK. p. 1-14. Hemández, R.L. 2003. Learning from PME experiences in Latín America: A strategy to captu re the results of development changes at the community level. Participatory research approaches for reducing poverty and natural resource degradatíon. In IPRA Annual Report 2003. CIAT (lntemational Center ofTropical Agriculture). Cali, CO. p. 12-23. Mignone, J. 2003. Measuring Social Capital: A Guide. First Nations Communities. Canadian Populatíon Health Iniciatíve CPHI. Ottawa ON. pp. 12. www.cihi.ca Narayan, D.; Pritchett, L. 1999. Cents and sociability: Household income and social capital in rural Tanzania. World Bank. National University of Mar del Plata Argentin Economic Development and Cultural Change 47(4):871. Patton, M.O. (1997): Utilization-Focused Evaluation. The New Century Text, 3rd ed. Sage Publicatíons,London .. 431 p. Putnam. R.l993. Making Democracy Work: Traditions in Modem Italy. Princeton University Press, Princeton, NJ. Singer , J. 2002. An introductíon to social network analysis. California Management Review, 44(2), 25-46. Sanginga, P.; Martín, A.; Kamugisha, R. 2004. Strengthening social capital for improving decision-making in natural resource management in the highlands of southwestem Uganda. Participatory research approaches. In: IPRA Annual Report 2004. CIAT Project SN-3. CIAT (Intemational Center ofTropical Agriculture). Cali. CO. p . 60-75. 407 Internet sources • http:/ /www.caledonia.org.uk/soc_cap.htm • http:/ fwww.fao.org/documents/show_cdr.asp?url_file;;::jdocrep/003/X937le/x937le2 2.htm • http:/ /www.google.corn.co/search?hl=es&lr=&oi=defmore&defl=en&q=defme:livelihood • http:/ fwww.new-paradigm.eo.uk/ Appreciative.htm 408 Participatory Monitorlng and Evaluation for Stakeholder Engagement, Assessment of Project Impacts, and for Instltutional and Community Learning and Change J. Njuki, S. Kaaria. C. Chitsike, and Pascal Sanginga98 Background and Introduction PMf.E draws from 20 years of participatory research traditions including participatory action research (PAR), participatory learning and action (PLA), Participatory Rural Appraisal (PRA). and farming systems research (FSR) and farming participatory research (FPR). By the 1980s. concepts of participatory monitoring and evaluation had already entered the policy making domain of larger donor agencies and development organizations most notably the Food and Agriculture Organlzation (FAO). the United States Agency for Intemational Development (USAID). the Danish Intemational Development Agency (DANIDA). and the UK Department for Intemational Development (DFID). the Swedish Intemational Development Authority (SIDA). the Norwegian Agency for Intemational Development (NORAD) and the World Bank. (Howes 1992). Outside the field of development. PM&E can also trace its beginnings in the prívate sector where there has been growing appreciation for individual and organlzational learning (Raynard 1998) . PM&E involves stakeholders including local people in deciding how progress should be measured, in defining criteria for success and in determining how results should be acted upon (Guijt & Gaventa, 1998). PME strives to be an intemal leaming process that enables people to reflect on past experience, examine present realities, revisit objectives and define futu1·e strategies by recognlzing differential stakeholders' priorities and negotiating their diverse claims and interests (Estrella et al., 2000). In these processes the local people are involved in developing indicators to measure change, in collecting and analyzing the data. and making a decision asto how to adjust the activities. PM&E is not a tool but a diverse constellation of approaches, methodologies and techniques. PM&E is not just a matter of using participatory techniques within a conventional monitoring and evaluation setting. It is about radically rethinking who initiates and undertakes the process, and who learns or benefits from the findings (IDS, 1998). PM&E systems provide a framework for collaborative learning and for involving project clients, participants and partners in the M&E process. PM&E produces important beneflts including valid, timely and relevant information for management decision-making and project improvement within R&D institutions. It leads to improved accountability; examines assumptions on what is progress; can lead to contradictions and conflict; but can also be empowertng by putting local people in charge, it helps in developing skills, and showtng all stakeholders that their views count. CIAT's approaches to developing a PM&E Systems Communi ty-Driven PM&E Systems: The CD-PM&E approach builds on the concepts artd ideas developed by the Institute of Development Studies at the University of Sussex (Estrella et al., 2000; Guijt & Gaventa, 1998). the PIM concept developed by Germann et al. (1996), and more recently by Probst (2002). Probst's work focused on using PM&E asan 98. Scientists with Enabling Rural Innovation in Africa. CIAT-Africa, PO Box 6247, Karnpala, Uganda. 409 instrument to support systematic reflection. learning, the generation of knowledge and process-oriented management at the community level. In community driven PM&E. communíty members themselves identify their own objectives and initiate activities to achieve these objectives. They develop their indicators for measuring progress towards achievement of the objectives; indicators to assess change. are in charge of the data collection and analysis, and finally use the PM&E results to adjust their activities. Community indicators are based on local experiences, perceptions and knowledge. The purpose of the community driven PM&E is to empower the local community to initiate control and take corrective action and to basically empower them to improve their social well-being. This type of PM&E approach is unique beca use of the emphasis on developing a system that is managed and supported by local communities, for their own purposes. Community driven helps capture differences and different viewpoints from different groups within a community who may have different perspectives. aims and objectives. These differences may be dueto their experiences, their social and cultural situations such as their wealth, gender among other things. By promoting participatory approaches, it gives the rural people a voice in their community. It is an important vehicle for increasing participation and improving accountabillty. Appropriate forms of PM&E help the local people manage their own affairs better. take more control of the projects and their aspirations and increase the likelihood that project-supported activities will continue after the project ends. It enables the community to look systematically at what they want to achieve by deciding their own goals, what they have done in that they reflect on their achievements, what they still need to do i.e. what action has to be taken and what changes they have seen by capturing differences and different viewpoints on their indicators. The amount of local control over the process can be assessed by considering who makes decisions (researchers or local people. and which local people or groups). who implements the activities. who analyses the information, and who is the research ultimately for- who will use the results of the research and how (McAllister, 1999) . Institutional level: At institutional level, different stakeholders involved in research and development projects including communities are involved in defining project objectives and activities. in deciding what should be monitored and evaluated. They contribute to the development of indicators to measure the achievement of objectives and the successful completion of activities. Roles for data collection and analysis are shared between the different stakeholders. Data and information collected is shared systematically by the stakeholders leading to learning and adjustment of activities and approaches and to the documentation of best practices. Within this institutional PM&E. communities or local stakeholders can be involved in various ways including during the planning stage. This paper analyses experience with establishing project/institutionallevel and community-based PM&E in three countries; Uganda, Malawi. and Kenya and gives the results and changes that have been achieved at institutional and community level as a result of these systems. The objectives of this work were: To strengthen PM&E systems Within R&D projects to critically analyze and understand the institutional learning and change process, to increase self- learning, cross learning, and to evaluate impacts; 410 To establish an appropriate PM&E system at the community level that allows local people analyze and interpret change. to learn from their own experiences, to adjust strategies accordingly and to systematically evaluate progress and To develop strategies for the institutionalization of PM&E in R&D organizations Methodology: The PM&E process Figure 1 shows the steps that are involved in establishing PM&E both at community level and institutional level. The back and forward arrows between the two systems are steps were the two interface or feed into each other. Although the process is drawn as though it were linear, it is cyclical and the use of PM&E results lead into the planning process and into another cycle of monitoring. The reflection process occurs at most of the different stages of the PM&E process. As teams develop and agree on what to monitor, they are reflecting on past experiences and deciding what is achievable and what is not. Reflection at the end of the PM&E cycle enables the team to look at the key achievements and to plan a way forward. These steps are briefly described below. l . Identlfytng and engagtng stakeholders 2. Building stakeholders' capaclty for PM&E 3. Deflning and agreelng on what to monitor and evaluate: Objectives 4 . DEVELOPING AND FORMULATING TNTlTr.ATORR 5. Gathertng informatlon 6. Managlng & analyzlng data 8. Leamlng and change Figure l. Steps in the PM&E. Pali et al .. 2005 Results and Discussion: Using the datafrom PM&Efor Enhanced Decisíon-making Stakeholder participation: Inclusion of dUferent stakeholder perspectives in monitoring and evaluation: Through a direct participation in the monitoring and evaluation process. the PM&E process has allowed the different stakeh olders involved in the projects project to better understand each other's views and values. and to design ways to resolve competing or conflicting views and interests. Scientists especially have benefited from getting community perspectives and contributions in terms of what their objectives and 411 desired expectatlons are as well as providtng more qualitative indicators for measuring progress to supplement the usually very quantitative measures that they use for monitoring. Through this process, differences in indicators have emerged between the different stakeholders, between farmers and scientists and amongst farmers themselves especially between men and women (see Table 2). youth and the elderly, between different wealth levels and cultural backgrounds. For example, in Kitale, Kenya where communities are relatively well off with larger land sizes and large numbers of livestock, the indicators of improved food security are diversity of foods available for consumption and quantity food that households have in storage. On the other hand. in Mtwapa, Kenya where households are relatively poorer, the indicators for improved food security are increase in number of meals per day from one to three and availability of food throughout the year (no emphasis is made on quality) . Although these indicators are related, thetr expressions reflect differences in well betng of the different communities. Table 2. Differences in indicators between men and women. Result: Increased incomes from sale of beans Ind.icators from Men Ind.icators from Women • Income generating actMUes initiated • More children being sent to secondary school • Increased ceremonies in the village • Good food (breakfast. good quality tea) • Good clothing -Men wearing suits • Women going to market weekly • Good housing with !ron sheet roof • Better clothing -- women wearing new khangas, kodokodo, • Increase in women membership in merry go-rounds (group savings and creditJ Sorne indicators are very specific to ethnic groups reflecting dtfferences in culture and beliefs. For example, increased ceremonies are a common indicator of increased food availability among the Kenya coastal communities where ceremonies are part and paree] of their culture while this does not come up as an indicator with other communities. There were however still a lot of similartties in community expectations and indicators across different communities which provides an opportunity for a comparison of indicators across different sites and communities. Sorne of the differences in indicators between scientists and communities are that communities tend to focus more on the outcomes versus the speciftc outputs. For example, community indicators for improved soil fertllity tend to differ signt.ficantly from scientists', whilst community indicators are more often related to increased yields rather than the nature of the soil itself. Community indicators combine both qualitative and quantitatlve measures while scientists' indicators are more quantitative and generic as the examples given in Table 3. 412 Table 3. Differences in indicators between scientists and farmers. Outcome Improved soil fertility Increased food securtty Indicators Quantitative Nutr!ent Jevels (carbon, phosphorus, macronutr!ents) lncrease in yields Qualitative Perception of fanners on change in soil quality (-colour, -type & presence of weeds, -texture) Quantitative Amount of food stored and number of months with food 1 Having Food throughout the year Increased production (acreage and yields) Qualitative Perception of men and womenfanners of food availability and compositiOn( e.g. Number of meals per day , -Quantity of meals. Composition of meals, Maize purchases, Amount of reliej. Fanners looking jor casualjor casual labour) Given all these differences in perspectives and expectations, one of the key roles of facilitation in the PM&E process has been to ensure that all these differences are not conflictlng and do not lead to parallel monitoring systems by ensurtng that they are negotiated , understood and integrated in the monitoring and evaluation process. Community organization and learning: The path from knowledge generation to knowledge utilizatlon is direct in CD-PM&E because the same actors are involved in all actlvitles. Once PM&E informatlon is collected and analyzed the next step is reflection process that enables the community to discuss and communicate their PME results: provide a forum for exchanging and evaluatlng information: allow community members to systematically review and look back to the start of their actlvities, comparing it with where they are currently and to understand what has changed: and to allow all members to reflect on the progress of the project and to adjust itas required . Different tools have been used in the data analysis and presentation. Simple graphs, tables, role plays help to enhance the community understanding of the progress made their achievements and what needs to be adjusted. This has enabled communities to e.g calculate profit and loss. improve participatlon, keep group members active. re-orient project implementation, recognize and acknowledge their achievements, and more importantly take action to improve their activitles. Institutional organization and learning: PM&E at the project and institutlonal level has led to increased learning and better organization in the way the institution manages the research-development process and in the monitoring and evaluation. Scientlsts identlfied severa! aspects in the way in which they are engaging with communities: (1) An important change noted was that befare the initiation of the PM&E system, scientists would develop a project and then take it to the farmers for implementatlon, however, now scientists are discussing and prioritizing issues with communities. The scientists feel they are now more practica! and realistic and are better addressing the needs of the farmers they work 413 with. This is also reflected in the leve! of community understanding of what the scientists are doing with them. (2) Through the development of the 'impact chain' the projects have become more impact oriented especially within the adaptive research projects. Scientists are beginning to use questions such as 'so what?' as a strategy of orienting projects towards impacts. (3)The sharing of roles and responsibilities in the process is creating openness and reducing the suspicion that sometimes exists between scientists and communities. (4) A systematic process for generating. managing. collecting and analyzing data has led to a more robust PM&E system at the project leve!, which has improved project management. For example in KARI Mtwapa. a similar actiVity reporting format has been developed which is currently being applied across 5 projects. This format ensures that a comparative analysis can be conducted across projects and information on progress of actiVities can be collated and aggregated in a systematic manner. Targeting and improving the project implementation process: As a result of the reflectlon process and the use of PM&E information. project actiVitles and outputs are reViewed periodically and adjusted where and when necessary. Our results indicate that the PM&E systems have led to changes in the project implementation process. These changes vary from aspects such as better targeting of the beneflciaries or stakeholders, to more complex changes such as the addition of actlvitles, adjustment of methodologies, as well as revision of the project objectives. For example in a Soya bean project in Kitale, Kenya, an actiVity on community multiplication and bulking was included after the team including research, extension and the farmers realized that the activity was crucial to the achievement of the results (increased incomes from sale of soya beans and improved nutrition) during a reflection meeting. They realized that the activity was crucial to the achievement of results although it had not been planned for durtng the project development. As farmers define future objectives they are able to bring in new activities that help them achieve these expected results. They are able develop a strategy and a sequence of activities that are required to realize these objective. Identifying indicators to Measure Empowerment: While it has been very easy and straightforward to develop indicators and measure benefits from technological options, the development of índícators for benefits of participatory approaches has not been always easy. One of the key results of participatory processes is empowerment. There ha ve been sorne attempts to measure empowerment especially in studies that want to demonstrate the impacts of an intervention on empowerment (Kabeer, 1999). Through the results from our work in Malawi and Uganda, communities have identified different indicators to measure empowerment from their own perspective: Empowerment entails a process of change from the inability to make a choice to a sítuation where persons can make choices. Different types of empowerment stand out: social and cultural empowerment. economic empowerment and política! empowerment. Another distlnction is between choices that have to do with allocation of resources (both physical and the rules and norms that govem the allocations), and choices to do with the freedom of action, bargaining, or negotiation and capacity to define their life chotees. These choices may be strategic choices or non strategic choices. The indicators vary across si tes and countries and depend largely on levels of poverty. cultural traditions. region and status of women in the community. Table 4 gives sorne indications of indicators from men and women for different types of empowerment. 414 Table 4. Types of empowerment and their 1ndicators from communities. Type of empowerment Common indicators across communities Economic empowerment • Women have small business of their own from which they can use money to fulfil their own needs (basic necessities such as matchbox without having to borrow) . Acquire personal bank accounts for their money in their names • Women can organise and establish revolving funds Socio-Political empowerment Intemal (household and community) . Equal representation in committees- having women who are active and eiTective in major committees in the community • Women have the capacity to buy clothes or use their money without requesting for permission from their husbands • Women being able to contribute and say their ideas in community meetings • Women and the youth are involved in decision making processes at the household and in the community. Decisions are not only made by the elderly men and the vlllage authority Links with others • Capacity to approach the extension worker • Capacity to negotiate for higher prtces • Self reliance in looking for services that the community members require e.g finding seed, market. and services from other organization • Women and youth are to be found In key decision making bodies in the communities and outside Access to physical resources • Women to have their own plots which they can deicide how to and the rules and norms that use. govem them • Abtlity to use their own money Freedom of action. bargaining, • Girls will be going to school and not for early marrtages or negotiation and capacity to • Women to be self reliant define life choices • Women can go out to distance markets buy goods and cometo sell in the community without any restrictions (freedom of movement) Key issues, challenges and lessons The PM&E process has shown that when stakeholders such as farmers and the extension are involved in all stages including the development of the results and activities to be monitored, the indicators that will be monitored. the type of data to be collected and how it will be collected. it leads to a more robust monitoring and evaluation. The involvement of stakeholders in PM&E however requires a Iot of negotiation. prioritization of issu es and strategic collection of data for PM&E. More often the question has been to what extent or at what level different stakeholders should be involved. There is however sorne key issues that requires consideration to make the PM&E process more effective. These include but are not limited to: 415 Promoting a culture of rejlection and leaming: One of the key objectives of PM&E is to promote learning and use of information for deciston making. Learning is however not an automatic process in organizations. People can feel threatened by the results PM&E. lt can affect power structures by givtng more decision making to more disadvantaged and less powerful people such as communities or the disadvantaged within communities. As a result of this, a change in attitude from one of being protective to one of being open to learning should be cultivated. The process should be glven time and should not be rushed. It also implies that PM&E should not be seen as a one off activity but as a culture and a way of doing things. Scaling out the PM&E and impact assessment process: How do we reach more communities and more projects with PM&E? One of the approaches and the easiest is to integrate PM&E into methodologies and approaches that projects are using in their implementation of activities, for example integrating PM&E into the FFS approach or the FRG approach . This means that as project teams implement the FFS curriculum, PM&E is part and paree! of the curriculum. This will of course imply refining the PM&E process so that it is shorter and easier to apply. A second approach is to apply the indicators from one community into communitles with similar charactertstic (cultural, socio-economic, ethnic, etc) or use results and indicators from other schools with s imilar technologies and geographical area to introduce new schools to PM&E. This however has its shortcomings as the communities may not have as much ownership to the results "imported" from other schools or communities compared to if they developed their results themselves. Integrating gender and equity into PM&E: With partlcipatory research, gender and equity concems are central to the implementatlon process. More often than not, gender and equity has not been reflected in the PM&E performance frameworks. Gender and equity issues including participatlon, empowerment, changes in gender relations need to be negotiated by both the project teams and the communities so that they become part of the PM&E process. Negotiation and sharing roles for PM&E: Data collection needs to be a shared responsibility between researchers, extension officers and farmers. Teams however need to be careful so that none of these become overwhelmed with the data collection. For example farmers should not collect data that is not of interest to them but only to scientists. Infonnation should also be shared across all stakeholders; for example scientists should share their information with farmers and vice versa. A common assumptlon with regards to data collectlon by fanners has been that once farmers know the indicators they should collect data on, they will get on with it. More often than not, the capacity of farmers to collect and analyze data has to be built. This should however not be taken to the extent that researchers give fanners long complicated fonns or data sheets in which to record data as this may deter them from collecting the data. Standardization and comparability: Indicators and questions from PM&E will differ between projects if they are defined in a participatory way, which may make it difficult to compare outputs and outcomes of different participatory approaches between projects. There are many challenges in setting up and implementing PM&E systems. Ensurtng that PM&E does n ot just become a technical process-develop results, indicators, collect data and analyze. The learning aspect of PM&E needs very strong emphasis so that there is a balance between focus on the implementation and on the learning and the use of PM&E data 416 to take corrective measures and make decisions. Establishing and supporting PM&E systems is an expensive process. both in terms of time, human capital and material resources for initiating and sustaining M&E, and also because of the intensive facilitation required in the initial stages. In most cases, organizations will not have the skills that are required to support the process and these skills may need to be built befare the process can take off. Due to the tnvolvement of different stakeholders, strategies need to be developed to involve these different stakeholders. For example for CD-PM&E the use of graphics, identification of local vocabulary for sorne of the technical terms should be done. 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(1998): Coming together. A review of contemporary approaches to social,accounting, auditing and reportlng in non-profit organizations. In: Joumal of Business Ethics Vol. 17No.13, pp. 1471-79. Rietbergen-McCracken, J .. and D. Narayan. 1998. Participatlon and Social Assessment: Tools and Techniques. The International Bank for Reconstructlon and Development 1 THE WORLD BANK, 1818 H Street. N.W. Washington. D.C. 20433, U.S.A 418 UNDP (1997): Who are the question-makers? A participatory evaluatlon handbook. OESP Handbook Series. Office of Evaluation and Strategic Planning. United Nations Development Programme. New York. http:/ /www.undp.org/eo/documents/ who.htm (18.10.2001) Uphoff N. 1991. A field methodology for participatory self-evaluation. Community Development Jouma126 (4) : 271-285. Vemooy R. 1999. Mapping, analysis and monitoring the natural resource base in micro- watersheds: experience from Nicaragua. Joint CGIAR-PRGA 1 NRI Workshop on ParticipatoryResearch for Natural Resources Management: Contlnuing to Leam Together. 1-3 September 1999, Natural Resources Institute. Greenwich. UK. World Bank (2002b) Participatory Monitoring and Evaluation: Protectlng. The Vulnerable: The Design and Implementation of Effective Safety Nets December 2-13 Washington,D. C.http: 1 fwww. worldbank.org/wbl/ socialsafetynets/ courses/ dc2000 1 pr oceedings/ pdfppt/ paricipatory. pdf 419 Output 5: Strengthened Institutional and Organizational Capacity of R&D Partners in Development and Adaptation of Participatory Research Methodologies Research Centers ... Closer to the Producers Jorge Luís Cabrera V. oo The infonnation technologies facilitate the access to thousands of data, but it is ironic that most of those who work the land to produce food for their own and others' subsistence do not have the possibility to access that infonnation. The majority of the books specialized in agrtculture are not written for the farmers. To facilitate their training, they need books, magazines or communications media that make use of a simple , enjoyable and easy-to-understand language for making their contents available to the producers. Applying new technologies for commt&Ílicating and disseminating information Today the computers and the connection to Internet have become a part of the daily Uves of millions of people, providing them rapid access at a very low cost. Thus mechanisms should be sought whereby farmers and technicians can access Internet and other modern communicatlons media. Part of the solution to the difficult situation that the farmers are in is to put the infonnation that they need so badly in their hands. How ar~ we solving this InforCom Project. The Participatory Research with Farmers (IPRA) Project is making an effort to lessen this problem faced by marginal people with little or no access to infonnation. Part of the IPRA Project's strategy is its Web site www.enlacecial.org, which it is expected will respond to the demand, each time higher, for infonnation by the farmers, technicians, local institutions and others. most ofwhom do not domínate the English language. The users can fmd documented information about prices of grains, availabillty of inputs, fertllizers, pesticides and seeds, among others. This Web site places at the disposition of its visitors all the research experiences and validation of technologies developed by the Local Agri.cultural Research Committees (CIALs) in seven Latin American countries durtng the last 15 years. 99. Documentation Center- IPRA Project. 420 The challenge The world in general is living a true infonnation revolution although for many rural communities the use and access to infonnation technologies and communications media are still a thing of the future. The challenge is to maintain an up-to-date supply of infonnation of interest to technicians. institutions. students and fanners. among other potential publics. interested in methodologies and tools that facilitate their processes and projects. Results The IPRA Project Web site is one of the most visited as shown by the statistics for the period December 2004-December 2005: • Web site in Spanish (http:/ /www.ciat.cgiar.org/ipra/inicio.htm): average monthly vistts. 959 • Web site in English (http:/ /www.ciat.cgiar.org/ipra/ing/index.htm): average monthly visits. 720 Documents with greatest number of downloads Documents. authors and nu mber of times downloaded. Document Anthor No. of times downloaded Formulation of criteria for defining pilot Margot Cabrera. FOCAM Project. Bolivia 2333 are as A dream made reality (case study} Fanory Cobo, thesis student 1724 The community gets organized to do Jacqueline Ashby. Ann Braun. Carlos A. 1561 research Quirós, Luís A. Hemández. José l. Roa Quinoa: Recovery of a tradition José Ignacio Roa 929 CIAL handbooks IPRA Project 520 Annual report IPRA Project 215 Other valid options On the other hand, there are rural communities that do not have electricity or a telephone line, which means that the only source of infonnation may be traditional media including written or oral messages. Nevertheless. it is important to have altemative media that facilitate contacting and interacting with rural communities that are almost isolated. This valuable work is being done by the technicians and / or CW-- Guides. who visit telecenters or Internet cafés to read or download infonnation of interest. share it and exchange it with the communities with whom they work. The CIAL link. as well as the technicians and CIAL Guides. constitutes the principal human and virtual strategies in the effort to close the gap that separates the rural communlties frorn the rich and diverse knowledge and infonnation that lie in media or channels such as Intemet. 421 Participatory Evaluation of Technologies for Conserving Forages José L. GarcíaJoo and José l . Roa10J Accomplishments • Producers identified by stakeholder groups for thesis work: Farmers and/or cattle ranchers • Partial outcomes of preliminary evaluations (open-ended interviews) with producers about the perception of conserving forage in the form of silage and hay. • Literature reviewed with respect to using the legumes Vigna unguiculata (cowpeas) and Lablab purpureus (hyacinth beans) in silage- and hay-making processes. • Preparing, clearing and sowing land with the two legumes (cowpeas and hyacinth beans) • Doing follow-up in fieldwork, harvestlng and obtaining fresh biomass in both matertals • Assessing the produ cers' preferences for the silage-making technology and matertals in the field Abstract In the zone of Pescador. Northem Cauca Province (Colombia). there is a shortage of forage available in the dry season dueto mismanagement of hillside pastures by the cattle ranchers. The purpose of this research work is to take advantage of the surplus forage material in the rainy season and store it for the dry season. Through partlctpatory methods. the producers are involved in the planning, evaluatlon and deciston-making. The participatlng farmers were formed into three groups: (1) 6 producers that own cattle, (2) 6 farmers that only grow crops. and (3) 6 producers that are engaged in both actlvities. referred to as the "combtned" group. The partlal outcomes of these participatory evaluations of techniques for prepartng silage are being analyzed through logistlc regression. Thus far all three groups prefer using a cylindrtcal metal drum as a 'silo' (good to intermediate acceptance) because it gtves them more securtty (made from metal, easy to compact and store forage). The plastic bags had low-to-intermediate acceptance because they retained more air and were not sufficiently compact because the plastic material is too weak. The cowpeas have more uses so they were perceived as being more promising, while hyacinth beans were seen as being good as a cover crop. Keywords: Partlcipatory evaluatlon of technologies, silage making, promising legumes, in vitro digestlbility Background Dual-purpose cattle-raising for small and intermedia te producers forms part of the agricultura! and livestock system in tropical countrtes. This system is charactertzed by a shortage of forage during the year, one of the principal causes being poor management of the grasslands including overgrazing with too high a stocking density, which promotes erosion. lOO. Thes1s student, Zootechnology, National Universlty, PalmiTa: CIAT, IPRA, Tropical forages. 101. Agronomist, Participatory Research Project, IPRA, CIAT (Palmira, Colombia). 422 This damage to the natural resources can be reduced. maintaining a balance between this and technologies employed in improving the biological and economic production of cattle with correct management of the environment in the interactlon (soil, animal, plant, producer) (Titterton, 1999): i.e., especially by using forage species (grasses and legumes) that tolerate soil acidity, well-adapted cattle, appropriate stocking density, grasses adapted for cuttlng and accompanying species (native shrubs). Consequently, during the rainy season the cattle reach their ideal weight: and during the dry season, they lose it again. Forage management and conservation are in the best interest of both the producer and the animal. There are difficulties in using surplus forages. especially in zones where the supply becomes scarce in dry periods. Taking into account the forage potential that species such as cowpeas (Vigna unguiculata) and hyacinth beans (Lablab purpureus) have including very good agronomic characteristlcs such as high protein con ten t. production of biomass. precocity, adaptability to different soils and climates. the producer has sorne good options available. Objectives General objectives Determine through methods of participatory evaluation with producers from northem Cauca whether it is feasible to conserve forage (a) in the form of silage102 and (b) as hayl03 Speciftc objectives Use a participatory research methodology with groups of farmers. cattle ranchers anda combined group to produce and conserve forage in northem Cauca Assess the level of acceptance of the use of hay and silage making by the farmers Determine which silage-making technology is better for the producers Evaluate nutritional quality with respect to in vitro digestibility of dry matter104 and crude protein. ws Methodology Conceptualization: A literature review was done including searches in librarles. newspaper collections. degree theses. books, electronic publications, fora and workshops. available at the Intemational Tropical Agriculture Center (CIA11 and the National University of Colombia-Palmira campus, as well as electronic consultations made with zootechnicians and agrostologists (Agudelo 2005). 102. It is a process for conserving forages based upon anaerobic fermentation (no air) of the biomass so that the original quality of the forage at the time of the cut can be kept for long periods of time. 103. It is the process resulting from dehydrating the forage. which is a feed that contains 15% moisture content. betng the most economlcal source for the animals, except for grazing. 104. Indicates lndirectly how much feed will be retained in the gastrointestinal tract for digestion (in the rumen and lntestines) and therefore do not appear in the feces. 105. AIJ the compounds that contain nitrogen. urea. amines. amlno aclds and protein. 423 Contextualization: This work was done at the CIAT Quilichao Experiment Station located in the municipality of Santander de Quílichao, Cauca Province, Colombia (3°06' N, 76°31' W, at 990 m alt.). with an average temp of 24°C and 1800 mm bimodal rainfall yearly, distributed from September to December (Rosero 2005). Identification of producers: The selection was done, taking into account the producers interested in using this type of technologies and that were currently working in agriculture and/or cattle raising. Three groups were formed that would contribute their diverse experiences, while we would learr1 from them and together form a work team (Producers-IPRA Project-Tropical Forages Project) to solve certain questions asto the different uses, forage conservation techniques and the evaluation of the same. In:field evaluations of materials and technologies: Open- ended evaluation formats were used with the producers initially to obtain basic information about utilization and management in forage conservation so that they can determine which of the techniques is favorable; silage making in different -sized cylindrical metal drums or in plastic bags, as well as the field performance of the two forages (cowpeas and hyacinth beans). Analysis of outcomes (partial): The data obtained from the surveys were tabulated, systematized and then analyzed using logistic regression in Producers making the silage, CIAT-Santander de Quilichao. the analysis of preferences. an application for Excel v. 7 .O (Microsoft) developed by Hernandez (2000). Outcomes (partial} Acceptance of the plastic bag technology was from intermediate to low, given that it is not very reliable (much air remains). and there is a perceived greater risk in the lower level of compactlon achieved. In the cylindrical metal drums, on the other hand, acceptance is from good to intermediate because the form of storing the material represents more security and the silage is perceived as being more compact. They recommend that the drum be fixed to the ground so that it does not lift up and there can be better compaction and uniformity. They also suggested using other materials such as polypropylene drums to obtain more volume. Another group suggested a larger size container and doing a cost/benefit analysis. In the field evaluation of materials, the farmers coincided with the cattle ranchers. Cowpeas were preferred for their diverse uses: the grains for human nutrition, animal nutrition, additional source of income, precocity (4 weeks), and the lower incidence of pests/diseases ("resistance"). The cattle ranchers were interested in the quality and quantity of the forage in order to improve their hillside conditions. In addition to the foregotng, the combined group was interested in learning about the potential market and its use asan economic altematlve. 424 There were no differences for the hyacinth bean either; however the producers coincided in the fact that there was a high incidence of the leaf mlner. whtch affects lts productlon; thus lts development was more delayed. The cattle ranchers mentloned that palatability is important to consider when taking a decision, an aspect that the other two groups did not mentlon. All groups mentloned that the hyacinth beans have very important traits: their capacity for regrowth, potential use as a cover crop, resistance and the absence of tannins, which affect the nutritional quality of any promising legume. Conclusions (partial) Both the cowpeas and the hyacinth bean were well accepted in work that results in the improved well-being of both people and animals. The technology of making silage in plastlc bags had the lowest acceptance in the three groups of producers because the silage was more difficult to compact. the plastic bags can break, and it is more difficult to remove the air during the process. The silage made in the cylindrical metal drums had the best acceptance in the three groups because the drums are more resistant. and the air can be removed more easily. Bibliography Agudelo, 2005. Silo en Bolsas Plásticas. Engormix, Foro En línea: "Ganadería de Carne." Hernández R. L. A. 2000. Regresión Logística en el Análisis de Preferencia, Aplicación para Excel v. 7.0 (diskette) . CIAT-IPRA (Centro Internacional de Agricultura Tropical. Proyecto Investigación Participatlva). Palmira, CO. Rosero Alpala, J.A. 2005. Evaluación multllocacional de sistemas de establecimiento (siembra directa y transplante) de Cratylia argentea (Desvaux) O. Kuntze cv. Veranera. bajo niveles de fertilización e inóculo en el valle del río Cauca. Undergraduate thesis (Zootechny). Universidad Nacional de Colombia, School of Agricultural and Livestock Sciences. Palmira. CO. Titterton. M; Bareeba. F.B. 2000. Ensilaje de gramíneas y leguminosas en los trópicos. In: Uso del Ensilaje en el Trópico Privilegiando Opciones para Pequeflos Campesinos: Proc. FAO Electronic Conference "Ensilaje en los Trópicos 1" (FAO. 2000). pp.196. (cited 10 Oct. 2005). Available at: http: / /www.fao.org/documents/show_cdr.asp?url_flle= / DOCREP/ 005/ X8486S/ X848 6SOO.HTM 425 Diagnosis of the Use of Organic Wastes and Chemical Evaluation of Some Mixtures Used in Composting in the .Area of Influence of CIPASLA. Pescador, Cauca José S. Muñozi06, Juan G. CoboiD7, Edmund.o Barriosi08, an.d. Carlos Quirósi09 Accomplishments • Information was obtained from farmers regarding the use of and management practices for organic wastes in the town of Pescador, Cauca. • The use of compost asan organic fertilizer is contributing to increased crop yields and to improving environmental quality (e.g., utilization ofwaste products. recovery of soils, less incidence of pests and diseases, and fewer unpleasant odors). Abstract This project was implemented in the town of Pescador, Municipality of Caldono, Northeastem Cauca Province (Colombia). with the purpose of identifying the availability of waste products for use in compost and describing the experiences with composting that are currently being done in Pescador. Producers that implement compost practices and rural agroindustries with products common in the zone and that generate byproducts in their productive processes were identified. Two surveys were applied to document the detailed record of the local knowledge. In addition, the procedures applied by three farmers for setting up their compost piles were monitored. At the onset of the process, three compound samples were taken from each compost pile for chemical analyses. The results refer to the quantification of the waste products generated in each of the production systems. the periods of production, their uses, identification of the commonest proportions of waste products and substrates used in a compost system, and finally the chemical analyses of the nutrients. Emphasis is on the producer's assessment of the organic waste products, the importance of using compost to recover soils, and how to combine the waste products. Study tours are recommended for promoting the exchange of knowledge among producers who are familiar with these practices in order to socialize their knowledge and promote the generation of initiatives that facilita te their implementation and management. Keywords: Compost, microorganisms. organic fertilizers, organic wastes, environmental quality Background For many years the waste products resulting from different production systems have been a life threat, due to the immense volume produced and the large pollutant load they generate as a result of the level of development that motivates consumerism. Thus the problem gets 106. EnVironmental Eng., National University of Colombia-Palmira campus; August 2000-July 2005. 107. Agronomist, MSc, Soil Ecology and Biodiversity Program, Intemational Center ofTropical Agriculture, CIAT, Palmira, Colombia. 108. PhD. Soil Ecology and Biodiversity, TSBF Instltute (Tropical Soils Biology and Fertllity Program- KenyaJ, Stationed at CIAT, Palmira, Colombia. 109. Project Leader, IPRA-CIAT, Palmira, Colombia. 426 worse every day. To control and/or mitigate the increase in waste products, it is necessary to take urgent measures and thus prevent their negative impact (Bruzon 1996). Composting makes it possible to utilize organic waste products that would nonnally be taken toa garbage dump or, worse, in rivers. A substrate fertilizer known as compost is produced to improve the quality of the soils. The majority of organic wastes are generated in the rural zone. generally from agricultura! and livestock activities: coffee pulp. waste products of sugarcane processing. chicken manure and cassava solid wastes. among others. It is in this zone where this management practice should be used at the fann leve! and taken advantage of to mitiga te the impact caused by their incorrect disposal. Objective Evaluate the management of orgaruc wastes used in composting by documenting the experiences in composting in the zone of influence of CIPASLA (lnterinstitutional Consortium for Agriculture Sustainable on Hillsides) in Pescador. Cauca. Methodology The work was implemented in the town of Pescador. Municipality of Caldono, Cauca Province, Iocated at 2° 50' 25.1 "-2° 45' 0.9" la t. N and 76° 32' 35.1 "-76° 29' 44.9" long. W and 1290-1970 m alt .. classifled as pre-Montane dry forest. a temperature under 24°C, rainfall from 800-2100 mm, andan uneven topography with very strong to moderate slopes. Producers that carry out composting and rural agroindustries that generate byproducts in each of their productive processes were identified in the zone. Two surveys were designed for the population in order to obtain a detailed record of the local knowledge: • Compile infonnation about the amount and availability of byproducts that could be composted and identify the producers that do composting • Record the details and document the experiences in composting. Georeferencing of the farms of each producer was done, using a GPS1 10 Garmin Etrex. The population sample was selected at random. visiting three (3-5) farms per village in CIPASLA's area of influence. Loca l knowledge: The procedure applied by three farmers for setting up their compost piles was monitored (Fig. 1). Sampling of compostfor chemical analyses The samples were air dried, ground (< 2 mm) and then taken to the Analytical Services Lab at CIAT in order to determine the C, N, P, K, Ca and Mg contents. 110. System of global positioning for navigating in time and distance, based on signals transmitted by the Constellation of NAVSTAR (Navigation Satellite Timing and Ranging) satellites. These signals are received by portable receptors on land and serve to provide precise geographic positioning in any part of the world (Garmin Ltd.© 2005). 427 Figure 1. Steps followed by a producer in setting up a compost pile. Results Documentation of experiences: Quanti.frcation oj waste products The producers smveyed produce waste products prtmarily from the kitchen (93%) and coffee pulp (89%). From 64-68% generated waste products from the garden and bean pods, 54% from maize hulls, 36% from cattle manure and 21% from chicken manure. There are other byproducts generated by less than 10% of those surveyed in nontraditional systems in the zone; e.g., cassava starch impurtties containing protein, which are generated durtng the agroindustrtal processing of sour starch, which is common in this zone of the Cauca Province. About 90% of the farmers in this watershed grow cassava (Hernández, 1996). Cassava salid wastes, high in fiber content, are nota common waste product (only 7% ofthose surveyed produce it). but the amount produced yearly is high (average of 474 t/yrJ, which is also true for cattle manure (produced by 35% of those surveyed), with an average productlon of 7.9 t/yr. Although the waste products from the kitchen were the commonest (93%), the average volume generated by the producers surveyed was not high (1.4 t/yr). Most of the producers surveyed produced kitchen waste (93%) and coffee pulp (89%). From 64-68o/o of them generated waste products from the garden and bean pods, 54% maize hulls, 36% cattle manure and 21% chicken manure (Fig. 5). 428 Other types of waste products that are also generated (others in Fig. 5) include cassava starch impurities and solid waste. plantain bagasse, suckers or pseudostems, pig manure, ashes, leaf mold from the forest, chicken feathers. horse manure and guinea pig manure; but only a few of those interviewed (< 10%) generated such products. The byproducts referred to in the previous paragraph are produced in nontraditional systems in the zone. The exception is the cassava starch impurities, which are generated durtng the processing of the same on an agroindustrial scale and are common (90% of the farmers in this watershed) in this zone of Cauca Province (Hernández 1996). Periods of waste product production The production of coffee pulp is frequent; and it is one of the waste products generated in the largest amounts in the zone. The two pertods of coffee production during the year are the main harvest from March-June anda second minor one from October- December. The maize hulls and bean pods are produced during the harvestlng periods for this type of crops. and the frequency varíes among producers, given the different periods selected for the planting. The periods of waste generation are probably concentrated in the rainy season when there is more agricultura! production with short-cycle crops like common beans and maize. Waste products from agroindustry and the kitchen are generated daily. Chicken manure (only from operations with 50- 250 broiler chickens) is generally produced semesterly. quarterly or every four months. Differences in the periods of production or generation of waste products depend on the dynamics in the production systems. the climate, rainfall/dry season periods Commonest waste products and substrates used in the compost by the producers surveyed Chicken manure is the waste product most used by those surveyed (93%). followed by coffee pulp and agrtculturallime (79%); however. blackstrap molasses. waste products from the kitchen. yeast, soil. cattle manure, bean pods, ashes. cassava solid wastes and waste products from the garden are also used by 25-68% of the producers. Other waste products such as leaf mold from the forest. maize hulls and cane bagasse are also used. but by only a few producers (9%). The chicken manure. agrtculturallime, blackstrap molasses and yeast are substrates purchased on the local market. These substrates are used to accelerate the decomposition and enrtch the final product. According to INTEC ( 1999) these substrates contain a combination of microorganisms and tmportant nutrients to initiate and accelerate the process. Composition of a compost pile Based on the information supplied, chicken manure and coffee pulp generally account for 20-40% (in weight) of the compost piles of the producers surveyed. In general. the producers feel it is necessary to use agriculturallime and blackstrap molasses, but they represent less than the 5% of the pile. The waste products from the kitchen are used in a proportion (based on weight) that ranges from 0-10%. Cattle manure has the greatest variation in the proportions used (0-40%). Few producers use waste products from the garden or yeast (0-5%). The other waste products are not much used by the producers. Use and application rate of the compost in the dlfferent crops The largest percent of producers surveyed use their compost on their coffee crop (22.2%); however it is also used frequently on common beans. plantain and maize 429 crops (18.1 %, 15.3% and 9.7%, respectively. While it is applied in larger amounts to fruit. plantain and vegetable crops, approximately 3-5 kg compost/plant is applied to plantains; but a few producers use up to 50 kg/plant. which increases the variability in the data. The application rate in coffee ranges from 1-3 kg compost/plant. The average application rate for the other crops is low. without distinguishing between mínimum and maximum amounts (0.2-1.5 kg compost/plant on the average) . In the case of quarterly crops like common beans and maize and yearly crops like cassava, the amounts used are always constant (0 .2-0.5 kg/plant) . These three crops are planted in association. Costa et al. (1991) suggest that a suitable application rate for compost is from 20-50 t/ha for crops with a large need for humus and from 25-40 t / ha for forage crops. The application rates used by the producers are similar to the recommendations found in the literature. Criteriajor evaluating the maturity and stability of the compost The producers that do composting have criteria for evaluating the maturity of the compost, which determine when it is possible to use it. The ease of managing the compost with respect to its texture is the most frequently mentioned criterion among the producers surveyed. However, other criteria such as stable temperature of the compost (same as the environmental temperature). low level of unpleasant odors, low percentage of moisture (dry compost) , and the change of color (dark) also serve, according to the producers. to determine when the compost can be used. The producers' criteria are consistent with the parameters indicated by various authors; e.g., Costa et al. (1991) and Labrador (2001) consider that one ofthe most useful methods for determining the maturity and stability of the compost is observing odor. stable temperature. color and specific weight. Advantages 1 disadvantages of using compost according to the producers Among the advantages. according to the producers. the effect of the compost on increasing production stands out, especially in coffee and common beans (32% of the responses). The producers also consider that the compost is an excellent fertilizer. This criterion was taken into account by 10 producers (21. 7% of the total criteria) and is consistent with what is stated Restrepo (1996). A few producers mention that the compost has sorne disadvantages. especially when there is inadequate management of the system. One important disadvantage is the low availability of the phosphorus in the compost obtained. The producers also assume that an important disadvantage is the low availability of phosphorus in the soils in the zone, which should be reflected in the compost. The lab analysis shows phosphorus levels within the range mentioned by Cubero (1994), from 0.1-1.6%. Mixture, composition and production costs for a typical compost pile With the cost estimates of the three producers and using 1 ton as a basis for the calculation, the production costs were estimated, assuming 30% losses durtng the process, leaving 700 kg at the end. In fact, García (2000) mentioned that from 12-50% reduction in matertals can occur. depending on the materials used. With an estimated 30% losses. a value of $126.20 was reached, which is the cost for the producers surveyed to produce 1 kg of compost. The production costs of the compost are high. taking into account that this is close to the amount suggested by Gómez (2000) for cornmercial purposes ($150/kg). For organic fertilizers (products with an NPK content ± 4%). (Restrepo 1996, Bongcam 2003) mention that the prices for the chemical fertilizers, as compared with those for the compost. are low (approx. ratio of 1: 1 OJ. For 430 this study. however. the ratio was 1:7.5 (Le .. 7. 5 kg of compost per kg of chemical fertilizer). Case studies To establish a compost pile with the waste products. the three producers first clean the area where the pile is to be built. They prepare the waste products and substrates to be used in the system ahead of time. The coffee pul p. chtcken manure, dolomitic lime, blackstrap molasses and yeast are used by the three producers; while the cassava soltd wastes and Calfomag were used by only two of them. Other waste products and substrates such as agricultura! magnestum sulfate. buenazasi 11 Btosolnew. 112 rice husks, earthworm vermicompost. mature compost. bean pods and nacedero leaves were used by sorne tndtviduals. The waste products are placed in layers. Generally the waste products of greater abundance are placed first. The blackstrap molasses and the yeast are rntxed beforehand in a minimum of 10 1t ofwater. This mixture together wtth the lime is added as the layers are added. The three producers' compost: The proportions of coffee pulp used by the three producers ranged from 22-32% of the total wetght of the mixture. Chicken manure is used in proportions that go from 8-22o/o. To condition the moisture in the pile. the producers add water until the moisture is suitable. which they test with their clenched ftst. 113 The blackstrap molasses is used in proportions of 0.4-0.6%. The use of the cassava solid wastes vartes among the producers (23% of JB's pile versus 53.5% of CTs pile). However, both producers recognize the benefits of using the cassava solid wastes based on previous experiences, where they obtained the compost in less time (22-30 days) and better results in their crops. Other waste products and substrates also used include small percentages of nacedero leaves. bean pods. rice husks. buenazas, yeast. Biosolnew and agricultura! magnesium sulfate-all used separately. The coffee pulp has ideal characteristics for compost as it has a high sugar content (source of energy), a good C:N ratio (25:30) and a suitable particle size (Restrepo 1996, Soto and Muñoz, 2002). Chemical analyses of the composts Carbon content The analyses of vartance showed significant differences for carbon contents in the compost; however, the compost systems had suitable levels (from 23-29%, Table 1). In general all the compost systems, independent of the waste products used, had an abundance of this element; thus they are considered organic amendments (Costa et al. 1991). However. it is important to clarify that the chemical analyses for the three systems of compost were done at the tnitial stage of the process, given the tmpossibility of carrytng out a sampling at the end of the process. According to Gómez (2000) the amount of carbon is not constant in the compost process. varytng considerably over time, especially if 1t has not undergone a good period of maturity. The percentages are given on a dry basis with respect to the total nutrtent content. 111. Mixture of plants that grow where they are not wanted, generally ha ve no econornic value and interfere with crop growth and harvesting, but are beneficia! for this type of practice after pruning. 112. Organlc soil amendment, ideal accompaniment for leaf and soil fertilization with both macro- and rnicronutrients. which helps assirnilate the same gtven their power of chelatlon and complejation. 113. Conslsts in taking a fistful of the mixture and squeezing !t; there should not be any drops ofwater between the fingers, but it should form a brittle lump (Restrepo 1996). 431 NPK contents The analysis of variance showed highly significant differences (p