The Rural Innovation lnstitute Annual Report 2003 \ . . ·~ "'..:. .. ~ O 6 EfJE. ZOG~ l.lNiO,.\J Df ~~~fOt:M,\CION Y D0CIJMEl'ifACJOI\I f~~illlr Agricul!uro Tropical lnternational Center for Tropical Agriculture Table of Contents THE RURAL INNOVATION INSTITUE 3 PROJECT SN-1 14 RURAL AGROENTERPRISE DEVELOPMENT PROJECT SN-3 124 PARTICIPATORY RESEARCHAPPROACHES FOR REDUCING POVERTY AND NATURAL RESOURCE DEGRADATION PROJECT SN-4 INFORMATION AND COMMUNICATIONS FOR RURAL COMMUNITIES PROJECT SW-3 PRGA-PROGRAM ON PARTICIPATORY RESEARCH AND GENDER ANALYSIS FOR TECHNOLOGY DEVELOPMENT AND INSTITUTIONAL INNOVATION 355 402 The Rural lnnovation Institute l. OBJECTIVES The Rural Innovation Institute endeavors to improve rural livelihoods by working with clients and associates to improve their innovativeness, defined as their competitiveness, capacity to innovate and access to information including the best resulting blends of scientific and local knowledge. The Institute works primarily on behalf of small-scale, farm producers, agro-enterprises and the agencies that serve them, including prívate, public and not-for-profit organizations. Box 1 gives examples of expected results. Four important objectives discussed below cut across all the work of the Institute and integrate research and development carried out in three interna! projects-agroenterprise development; participatory methods (IPRA) and information for development (INFOCOM). The Institute also hosts the CGIAR Program on Participatory research and Gender Analysis (PRGA). Each interna! project has a project manager, logframe and work plan and all fundraising and new initiatives are done through the projects. These complement each other and carry out numerous research and development activities in close coordinati:m with other projects of CIAT as well as with outside stakeholders. The common objectives ar~ described in detail below. 3 Box 1 Roadmap to Developing Capacity to Innovate Source: Rural Innovation Working Group December 2002 Producer organizations and rural communities with capacity to innovate will have: l. An assessment of their asset base to identify market opportunities, entry points for technical innovation and leverage for organizational change. 2. An action plan for experimenting with novel ways to develop the combination of products and services needed to establish a food-secure and competitive market position beneficial foral! members 3. A plan for experimentation with innovations for improving their assets (human, financia!, social, natural and physical) to support and sustain the desired food and income generation. 4. A Learning Alliance with key partners to support the interaction of local experimentation and knowledge sharing with outside resources 5. Experimentation in a resource-to-consumption framework to test proposed innovations 6. A monitoring and evaluation process 7. A collective organization platform (e.g. integrated production project, agro- enterprise, telecentre, farmer research comrnittee, watershed association, cooperative etc) to run the innovation process. 8. A plan for scaling up 4 Production -Staple foods -New products In come Consumption, food sufficiency Marketing, processing, transforma tion Figure l. Improving Competitiveness through the Resource-to-Consumption Framework Improve Competitiveness The RII assists its clients to develop a lit between their local resources and a unique competitive mix of products and services Market research, technical assistance, farmer experimentation, capacity development and participatory research are designed to provide rural producer s and entrepreneurs with p ractica! steps that enable them to design the products and processes required for them to be competitive . RII works to develop local capacity to combine improvement in tre production and processing of staple food crops with a competitive mix of new products. Market opportunities for different value or commodity chains a re analyzed to find high potentia l options for increasing income while making sure there is enough food. To do this, RII helps farmers to experiment with new crops and products tha t have a well-identified market opportunity . To improve compe titiveness, RII teaches the skills need ed to design agro- enterprise projects that enable farmers to capture a la rger s hare of the value added by new post harvest processes, packaging or marketing. This approach to improving competitiveness is summarized as a "resource to consumption" framework illustrated in Figure l. Finding ways for each day of labor to produce more food or income is central to the approach. Especia l attention goes to generating the additional income needed to in vest in improving soil, water or other natural resou rces needed to sustain competitiveness. RII provides existing community organizations and agencies with advice and training in new ways of organizing to be more competitive-- to conduct local experimentation, to develop small-scale agro-en terprises and to use the information highway. 5 Through Learning Alliances Build Capacity to Innovate Developing an enduring capacity to innovate is vital for staying competitive. RII's approach is to provide training and research in combination, through a relationship with a client or group of clients called a "Learning Alliance." Participants in a Learning Alliance simultaneously monitor, evaluate and learn quickly together from the training and research experience to derive lessons that will enable the results to reach more people, more quickly. To support learning how to innovate, the RII teaches the skills and knowledge needed to search for and identify new markets and products as well as new production or marketing processes. These skills include knowing HOW to find the information, expertise and financing needed, WHERE to find it and WHO to go to for help. Skills for innovation include knowing how to experiment and evaluate with new options to see if they will prove successful in local conditions. New technologies are tested and introduced for combining staple food crops with a competitive mix of new products. Once new options have been identified, " pilot" or trial production and marketing projects are established with small groups. Learning quickly from successes as well as the mistakes we make in these first trial projects is essential so RII teaches clients how to run their own monitoring and evaluation process. This helps local people and the agencies who support them to expand trials quickly to benefit larger numbers of people. But innovation doesn't stop with the first success. RRI makes sure clients know how to stay competitive by keeping up a vigorous cycle of learning, experimentation, problem solving and innovation with new markets, products and processes. Promote Knowledge-sharing, lnformation and Communication Successful entrepreneurs stay competitive by constantly exchanging experience and sharing information both locally and with the wider world. RII works to foster information exchange and learning to support local innovation and promete competitiveness. To do this, RII provides training programs aimed at developing local capacity for information discovery and sharing valuable local content on the World Wide Web linked to radio and other communication channels. These programs typically work with community telecenters, local information systems and community-based oral or other kinds of communications. RJI complements these with training in the use of computer-based, decision-support tools designed to enable agencies supporting farming communities and rural entrepreneurs to use the vast store of biological and economic information that otherwise is inaccessible to them. Blend scientific and local knowledge Competitivity based on developing a fit between local resources and a unique mix of products and services often builds on a b lend of scientific and local knowledge. A good example is the new market opportunities that can develop for small farmers once their knowledge about the taste, storage qualities and growth habits of a local fruit variety are combined with scientific knowledge about how to characterise the fruit's vitamin C content, improve its shelf life and enhance its disease resistance. The RII is a gateway for small producers and rural entrepreneurs to access the scientific expertise of CIAT and its Science Par k, and a wide diversity of other partners for this purpose. Once clients ha ve identified high potential options with promising markets and a good fit with local resources that may need blending through scientific research, the RII assists them to build the partnerships required to do this. 6 2 Highlights in 2002 Sustainable rural livelihoods comprise the core of CIAT's current strategic plan. To achieve them depends on three essential conditions: agricultura! competitiveness, agro ecosystem health, and rural innovation. The term rural innovation descr ibes the process whereby various stakeholders generate, adapt or adopt novel ideas, approaches, technologies or ways of organizing. Rural Innovation occurs when stakeholders put these into widespread use to improve the production of food and environmental services through farm and non-farro activities, so that the rural sector becomes competitive in a sustainable manner. The Rural Innovation Institute's (RII) research on how to improve innovation systems has consolidated in 2003 through severa! important Learning Alliances which are agreements with development agencies to conduct joint action research on how to accelerate innovation, including Catholic Relief Services; IDRC, Canada; the W.K.Kellogg Foundation; lFAD and GFAR; the Institute of Rural Reconstruction; the von Humboldt Institute, and Colombia's Ministry of Agriculture. Originating in the AgroEnterprise project, learning Alliances are rapidly integrating expertise from participatory research and rural knowledge systems, thereby proving an effective instrument for self-or ganizing integration across projects within the Institute. In a ll Learning Alliances the stakeholders are funding RII to participate in capacity building and action research. Strategic importance for Learning Alliances was gained at the CGIAR Annual General meeting in Octo ber, 2003 with the recognition of Learning Alliances as a distinctive feature of CIAT's approach to Institutional Learning and Change, ILAC, a new initiative which is financing the RII's involvement in generating and ILAC case study. ILAC is promoted by the Rockefeller Foundation, with support from severa! other donors, including IFAD and BMZ Germany, and severa! IARCs. One of the most important results CIAT expects to achieve from science-enhanced rural innovation is an improvement in the capacity of rural communities to control the use of science and technology for improving their livelihoods. In 2003 significant progress was made in expanding further development of approaches to scaling up participatory monitoring and evaluation approaches in projects linking farmers to markets, collectively known as "enabling innovation" in East Africa, Central America and Bolivia and supported by the Kellogg Foundation, DFID United Kingdom, the Rockefeller Foundation and the Belgian government. In the area of knowledge management and information for development, CIAT was offered the opportunity to write the proposal for, and if successful, implement a segment of the CGIAR System wide IT and KM Program. This is an irnportant step forward in gaining recognition for the contribution CIAT's Communications, Information Services and Documentation team has been making to the CGIAR over the past few year s. A central role in Knowledge Management positions CIAT to generate strategic research proposals and projects in this new area. 7 3.Research on accelerating innovation The lnstitute's efforts to improve innovativeness with its clients draw on its investment in learning from research carried out elsewhere, as well as its own interna! research on the determinants of successful innovation and factors that accelerate or hinder innovation. The working hypotheses which guide rural innovation research are depicted in the form of a path diagram in Figure 2 . Determinants of competitiveness in the first column are crucial exogenous variables which set the scene and are defining conditions for whether rural innovation will occur and to what extent it will succeed. CIAT's research outputs (or results) are designed to change sorne key aspects-but not all, of the determinants of rural innovation: these are laid out in the second column. Four important outcomes have to occur for beneficiaries in a time frame of 3-6 years, listed in the third column. If achieved, these outcomes lead to expected longer-term impact over 7-20 years, shown in the final column. The lnstitute is building a database of Innovation Case Studies which are used first by the Learning Alliances which generate the cases, and will be subsequently used for meta- analysis to be conducted cooperatively across a wide array of projects and initiatives to test the working hypotheses laid out in the causal model. Case study partners will want to adapt the generic causal model, roadmap and indicators of success to their own particular experience and at the same time, the meta-analysis will mainta in sorne common variables and indicators for comparative analysis. 4. Toolbox An ongoing inventory of the numerous approaches and methods that are used within CIAT for rural innovation-related research provides input toa web-based inventory of methods, approaches and tools for which the documentation is being assembled with all the contributors. This will enable knowledge-sharing within the CIAT rural innovation community and will provide a vehicle for exchange of different approaches which in the normal course of events, do not rub shoulders. 8 Project Reports 4. - A platfonn for pro-poor innovation policy dialogue 4. Pro-poor rural innovation Donor support for policy dialogue policy fonnation * is being : influenced by results of RII research on how to improve 1 competitiveness of rural poor ACTIVITIES/PROJECTS l .Agroenterprise Project Work See Project Annual Reports See Project Annual Reports See Project Annual Reports plans 2.Participatory Research Project Workplans ¡ 3.Infomtationfor Development Workplans 4. PRGA Workplan - -- 13 DETERMINANTS CIAT OUTOMES IMPACT OF OUTPUTS FOR COMPETITIVENESS Opportunity Assessment -Resource-to-Consumption Framework PM&E --------------------------Leaming Alliances--------------------------- Innovation Case Studies Human Capital Natural Resources Markets & Products Organization ~ & social 1 capital ~ Infrastructure Financia] Capital Policy Knowledge- sharing Technology Superior food Producer sufficiency, Participation profitability, in research and j' sustainability Rural Agro- enterprise ~ Competitive development mix of products and Investment serv1ces in natural resources Capacity to innovate Capacity Policy development support for rural innovation Figure 2. Causal model of Rural Innovation 9 l BENEFICIARlES Impact Assessment ~ncreased v Competitiveness, Empowerment and Income for the poor 5. Logframes CIAT has well-elaborated logframes for each of the three projects which are a pivot of rural innovation. The project outputs lead to achieving the purpose and goal of the Institute. Rural Innovation Project Purposes (SN2, SN3 and SN4 in the mid-term plan) appear in the logframe as Institute Outputs. Rural Innovation Program areas appear in the log frame performance indicators 10 1 RURAL INNOVATION INSTITUTE LOG FRAME --- ] NARRATIVE SUMMARY VERIFYABLE METHODSOF CRITICAL ASSUMPTIONS 1 INDICATORS VERIFICATION GOAL 1 Contribute to promoting the - RII stakeholders, their -Beneficiary assessments -Small producers can improve competitivity of small producers partners, small producers and - Participatory monitoring and their competitiveness by building by enhancing their capacity for their organizations see the evaluation a capacity for continuous innovation Institute as providing a unique innovation using applications of and valuable service that has -Favorable policy environment for scientifi.c and lay knowledge improved their innovativeness, small producers that enable rural innovators competitiveness and income. -RII stakeholders are convinced to work better for the poor by CIAT's reputation and want to partner with the Rll PURPOSE To develop and scale up - Innovation Case studies - Impact assessment studies -Donor, Board of Trustees and capacity for innovation among -Leaming Alliances - Participatory monitoring and Managementsupport organizations of small At least three examples of large evaluation reports - CIAT projects and scientists producers serving low-income scale Rural Innovation are - Innovation Case Study reports have rural innovation as a goal rural communities, indigenous providing working models of - Leaming Alliance reports and collaborate in and share people and women. approaches and impacts by rural innovation 2006 using a common set of approaches center-wide indicators of success OUTPUTS 1. -- SNJ: methods and tools l.Methods, tools and Reports and project documents Political and ins titutional support for use by local institutional models for rural of our partner institutions. for sus tainable rural and practitioners in the agroenterprise development agricultura[ development at the participatory design and broadly adapted and used by reference sites and targeted execution of decentralized partners and beneficiary countries is maintained. rural agroenterprise groups for collective Natural disasters or civil strife do development schemes organization to scale up not impede progress toward the aimed at diversifying and technology change project's goal adding value to the prod!-l_ction of smallholders - - ------- -- 11 2. - SN3: Participatory 2.Appiication of participatory Projects, pians and reports of Institutions committed to the research principies, methods, anaiyticai toois and pubiic sector entities, donors, principies of PR approaches and anaiyticai organizationai principies by the NGOs, grassroots - Stabie institutionai leadership tools, indigenous R&D organizations that lead to organizations, second-order - Committed communities knowledge and the incorporation ofthe organizations at the reference - Favorable environmental and organizational principies farmers' and others end-users' sites and in the agro agrarian policies that strengthen the IAM-related needs ecosystems of CIAT's mandate, - Absence of social conjlict at the capacity of R&D - Use of Project products at which refer to the use ofthe reference sites institutions to respond to additional reference sites in Project's products -Data available from the the demands of two agro ecosystems (hillsides reference sites stakeholder groups for andforest margins) ofCIAT's Availability ofinformationfrom improved well-being and mandate in 5 years partners agro-ecosystem health - Use of Project products by a mínimum of 3 institutions outside the LAC region by the end ofthe 5th year Improvement in the well being ofthe end-users at the respective reference sites 3. - SN4: Strengthened 3. Improved knowledge- - On-line evaluation of e- - Public and prívate leaming programs. telecommunications agencies decision-making capacity sharing* information systems, - Training tools available in support initiatives to create of rural communities and methods and approaches are print form and on CD-ROM. affordable, reliable Internet R&D organizations to being incorporated by partners' - Locally developed information a ccess in remate rural areas. obtain, generate and share programs and organizations to systems auailable on the World - National and local organizations information and knowledge better meet local demand for Wide Web. can generate resources through with the a id of modem information and support rural - Consultancy reports and information services that enabie information and innovation project information on the Web them to sustain these seruices. communication and in print form. National and local organizations technoiogies Conference papers, journai gain credibility in rural articles, and technical reports communities as reliable providers on the performance and impact of useful Web-based information of approaches developed by the services. project. ~------ 12 PROJECT' SN-.1. Rural Agroenterprise De:velopme:nt Project, 14 TABLE OF CONTENTS Preface Project Overview Project Work Breakdown Structure Proj ect Logical Framework Proj ect Overview Research Highlights in 2002 Page 17 19 20 21 24 27 Output l. Tools, methods, and information for market opportunity identification and development, as an input for the design of economically viable and sustainable rural agro-enterprises 32 Activities l. l. 1.2. Develop methods for identifying market opportunity at the ecosystem and microregionallevels adapted to the needs of small agro-enterprises Information System on Alternative Trad e (ATTS) Output 2. Tools, methods, and information for developing appropriate postharvest technologies for small-scale rural a gro-enterprises Activities 2.1. Develop inventaries and systematized information for products and processes 32 46 48 with market potential to define information and technology needs 48 2.2. Adapt and refine participatory methods for improving processing efficiency and product quality for existing and new rural agro-en terprises 52 Output 3 . Activities Information, options, and recommendations for t he design of efficient and effective organizational schemes for small-scale rural agro-enterprises and their support services 3.1. Design options and recommendations for the organization and operation of rural agro-enterprises 15 57 57 3.2. Design options and recommendations for enterprise linkages in the agribusiness chain Output 4. Institutional models and policy options for establishing and strengthening rural agro-enterprises and their support systems at the microregional level Activities 4.1. 4.2. Design conceptual frameworks and methodological options for organizing and integrating production, processing, and marketing functions for the establishment andf or strengthening of rural agro-enterprises Develop guidelines for the design of local support systems for promoting agro-enterprises that contribute to sustainable development at the microregional level Output S. Enhanced capacity to design and develop successful agro-enterprise projects, within CIAT and other institutions Activities 5.1. 5.2. 5.3. 5.4. Train national personnel in the design and execution of rural enterprise development projects Enhance awareness of the potential of rural agro-enterprises to contribute to rural development Strategies for project decentralization developed and implemented SN-1 project development and promotion Papers, Publications, and Reports Project Staff Members 2001-02 List of Donors List of Acronyms and Abbreviations 16 Page 63 65 65 75 80 80 97 97 106 111 116 117 118 PREFACE Sustainable rural livelihoods constitute the core of CIAT's v¡s¡on for the future. Improved livelihoods for the poor come through the deployment of their diverse assets in different sectors, and for rural people this means non-farm as well as farm activities. While improvements in agriculture alone cannot achieve sustainable livelihoods for th e rural poor, agriculture is central to the livelihoods of most of the world's rural poor, a nd most of the world's poor are rural. CIAT's niche in achieving sustainable rural livelihoods consists of helping attain three critica! conditions:(l) Competitive Agriculture , (2) Agro-ecosystem Health, and (3) Rural Capacity to Innovate . Within this vision and sought-after contribution of CIAT to achieving sustainable rural livelihoods, the Rural Agro-enterprise Development Project (RAeD) is grouped with two other CIAT projects-Participatory Research, and Information and Communication for Development- as being core to CIAT's initiative on developing the innovative capacity of rural communities. The capacity of rural communities, together with their support institutions, to be able to ídentify and develop economic activities that diversify and add value to smallholder production, is considered a critica! component of a strategy for achieving rural livelihoods that a re economically, socially, and environmentally sustainable. During 2003, the projec t consolidated its strategy of decentralisation with the initiation of new projects in SE Asia (Lao POR and Vietnam) and Central America (Honduras, Nicaragua, El Sa lvador and Guatamala) . In E and S Africa, activities have been expanded within the regional Enabling Rural Innovations concept adopted by the Rural Innova tions Institute in that continent and the strengthening of an alliance with the Catholic Re lief Service, which is covering 9 countries. In the Andean regían, new alliances are being forged with CONDESAN- CIP and the Catholic Relief Services, among others. In 2003, Dai Peters, Project Leader, and John Connell, Community Development Specialist joined the team in SE Asia, stationed in Hanoi and Vientiane re spec tively. Rupert Best, present Project Manager, will be leaving in 2004 and the process of selection of a person to take this position is underway. 17 Project description: Rural Agro-enterprise Development Obje ctive: To develop methods, tools and information for use by local practitioners in the participatory design and execution of development schemes for decentra lized rural agroenterprise by which the production of smallholders can be diversified and value-added. Outputs: l. Methods for identifying and d eveloping viable market opportunities that incorporate small- scale farmer selection criteria. 2. Methods and tools for developing local capacity to select and develop postharvest processing and handling technologies. 3. Options and tools for integrating collective action with business organization to estab1ish su s tainable enterprises. 4. Decision-making tools and institutional models for stren gthening rural agroenterprises and complementary support services. 5. Strong pa rtnerships established for research, training and diffusion of the results of the project. Gains : Rural populations in CA, Andean Regían, East and Southern Africa, a nd Southeast Asia enhan ce their capacity to establish small-scale agroenterprises and link these to growth markets. Linkages improved between conservation, production, added value processing, ma rkets, and consumers. Sustainable production practices catalyzed and adopted more widely. Mile stones: 2003 Field guides and associated training materials for the design of Integrated Agro- enterprise Development Projects and the formation of Interest Groups in Rural Economic Development available. Financia! profitability model developed for evaluating production and processing enterprises. Alliances and projects establish ed in Asia for validation and adaptation o f the methods a nd tools developed by th e project in Latín America. 2004 Draft guidelines available for designing support systems for rural agroenterprise, based on experiences in La t ín America and case studies. Learning a lliances consolidated with majar NGO partners in Central America, the Andean Regio n and East Africa. Pilot projects initia ted in Vietnam and Lao PDR. 2005 Guidelines for identifying a nd developing viable rural agroenterprises prepared for East ern Africa, based on pilot experiences in Uganda, Malawi a nd Tanzania. Users: Immedia te beneficiaries are the techn ical personnel of GOs and NGOs in rural development and rural policy makers. Ultimate beneficiaries are the inhabitants of rural areas, including female small farmers, and entrepreneurs, who benefit from training and information on market opportunities, postharvest technologies, enterprise skills, and access to better support services. Collaborators : Development of methods and technology components: CIRAD, NRI, PRO DAR (in Lima), IDRC, CIP, liTA, CARE, CRS, Foodnet, InterCooperation, IPRA, MADR Colombia, PROINPA, ATICA, Belgium Technical Cooperation - Ecuador. Execution of pilot projects: CIPASLA (Colombia). CLODEST (Honduras), Africare (Uganda), TIP (Tanzania). ADD-Lilongwe (Malawi), Proyecto Emprender (Ecuador). Proyecto Marenass (Perú), MADR (Colombia ). 19 Training and networking: PRODAR-IICA (Peru), ASARECA (Foodnet), SEARCA, UPWARD, mernbers of PhAction, REDCAPA. CGIAR system linkages: Crops and Livestock Production Systerns (15%); Livestock (5%); Protecting the Environment (20%); Training (10%); Information (10%); Networks (10%); Organization and Management (30%). Participates in the Global Post-harvest Forum (PhAction) . 20 Project SN-1: Rural Agro-enterprise Development Project- Work Breakdown Structure Goal To improve the livelihoods of rural populations in Latin America, A frica and Asia by enhancing the eapacity of support institutions to promotc compctilivc and environmcntally rcsponsible agroenterprises that cquitably link smallholder farmers to growth markcts. Output 1 Tools, mcthods, and infonnation for identifying and developing markct opportunitics, as an input for thc dcsign of cconomically viable and sustainablc rural agro-entcrpri ses. Activity l.l Devclop methods for idcntifying markct opportunity at thc ecosystem and micro regional lcvels, adaptcd to the necds of small agro- entcrpriscs Activity 1.2 Devclop infonnation systcm on altcrnativc tradc (ATIS) Purpose To dcvclop mcthods and tools for use by local practitioners in the participatory dcsign and cxccution of decentralizcd rural agro- enterprise devclopment schemcs aimcd at diversifying and adding value to the production of smallholdcr farmcrs. Output 2 Tools, mcthods, and infonnation systcms that can be used in the selcction and local dcvclopment and adaptation of appropriate post-harvest technologies for small-scale rural agro- entcrpriscs. Act ivity 2.1 Dcvelop inventari es and systcmatized information for products and processes with market potential to define infonnation and technology nccds Activity 2.2 Adapt and refine participatory methods for improving proccssing efficiency and product quality for cxisting and new rural agro-cntcrpriscs Output 3 lnfonnation, options, and recommendations for the design of efficient and cffective organizational and business schcmes for small-scale rural agro-enterprise and thcir support scrviccs. Activity 3.1 Design options and recommcndations fo r the organization and opcration of rural agro-entcrprises Activity 3.2 Dcsign options and rccommendations for enterprise linkagcs in the agribusiness chain 2 1 Output 4 Jnstitutional modcls and poliey options for cstablishing and strengthening rural agro- enterprises and their support systems with in a territorial contcxt. Act ivity 4.1 Design conceptual framcworks and mcthodological options for organizing and integrating production, processing, and marketing functions for the establishment and/o r strengthcning of rural agro- cnterpriscs Activity 4.2 Develop guidelincs for the dcsign of local support systcms for promoting agro- entcrpriscs that contributc to sustainable dcvelopmcnl at thc micro-reeional levcl Output S Alliances consolidated with a range of strategic stakeholdcrs, with whom the project earrics out research and training to enhanccd the capaeity to dcsign and develop successfu l agro- enterprise projects. Activity 5.1 Train national personncl in the dcsign and exccution of rural cntcrprise dcvelopmcnt projects Activity 5.2 Enhancement of the awareness of the potential of rural agrocntcrpriscs to contribute to rural development Activity 5.3 Consolidate and cstablish collaborative links and stratcgic alliances Activity 5.4 Project dcvclopment and promotion 1 - --'~ '-- - - -~ ~ -------- --- ~-- - ---- 1 Narrative Summary Measurable Indicators Mea.ns of Verification Important Assumptions · Goal To improve the livelihoods of Percentage decrease in rural National statist ics of different rural populations in LA, Africa, poverty index in selected areas of countries where projects have and Asia by enhancing the Africa, Asia, and LA. been implemented. capacity of support institutions to promote competitive and environmentally responsible agroenterprises that equitably link smallholders to growth markets. Purpose To develop methods and tools By the end of 2006, the project has Reports and project Political and in stitutional for use by local practitioners in corriplemented its activities in the documents of our partner support for sustainable rura l the participatory design and reference sites by establishing institutions. and agricultura! execution of decentralized rural alliances with important partner development at the reference agroenterprise development institutions in LA who are widely sites and targeted countries schemes aimed at diversifying using the methods, tools, and is mainta ined. and adding value to the institutional models developed by Natural disasters or c ivil production of smallholders. the project. strife do not impede p rogress These products have been adapted toward the project 's goa l. by partners in Asia and Africa and are applied in a selected number of sites on both continents. Output 1 Tools, methods, and Training materials for market Manu al pu blished. Collaborating institu tions information for identifying and opportunity identificatíon available h ave adequate res ources to developing market and being used by partners in LA, Annual repor ts and project use the mate rials and tools opportunities, developed as an Asia, and Africa. proposals. developed. input for the design of A series of me thods and tools for Project home page. economically viable and identifying market opportunities Training materia ls. su stainable rural are available for use in different agroenterprises. situations; these methods and tools are developed at the reference 22 Narrative Summary Measurable Indicators Means of Verification Important Assumptions j sites and elsewhere through 1 alliances . Infonnation system on alternative trade available. Output 2 Tools , methods, and Methods and tools developed for Project home page. information systems that can establishing local information Manuals published. be used in the selection and systems in support of Annual reports and working local development and agroenterprise development. documents. adaptation of appropriate Series of manuals on methods and postharvest technologies for techniques for the participatory small-scale rural development of postharvest agro en terprises . technology for improving the efficiency of rural agroindustry. Manuals in preparation on techniques for the participatory development of new rural agroindustrial products and _processes. Output 3 Information, options, and Case studies of small rural Case studies published. recommendations for the agroenterprises, documenting best Materials available on the web design of efficient and effective practices, key success factors, and si te organizational and business lessons learned, completed for LA Project proposals and annual schemes for small-scale rural and Asia. reports. agroenterprise and their Training materials for the design of PhD thesis on agroenterprise support services. business and market plans and clusters (local food systems). strategies for small agroenterprises available. Options for the organization of en terprises, their links in the agrifood chain, and the organization of support services '------- are being tested in the reference 23 Narrative Summary Output 4 Institutional models and policy options for establishing and strengthening rural agroenterprises and their support systems within a territorial context. Output 5 Alliances consolidated with a range of strategic stakeholders, with whom the project carries out research and training to enhance the capacity to design and develop successful agroenterprise projects. Measurable Indicat ors sites and with other partner institutions. Tenor more agroenterprise projects being executed at reference sites in LA, Asia, and Africa. Manual for identifying and developing integrated R&D rural agroenterprise projects completed. Guidelines for designing local support systems to promote agroenterprises at the microregional level. 200 personnel trained in aspects of agroenterprise development in LA, Africa, and Asia. Case studies on the adoption and impact of agroenterprise R&D completed. Project's Web site expanded and updated periodically with project outputs. Strategic alliances with research and development partners for both research and capacity building. 24 Means of Verification Project proposals and reports. Pu blished field guides and associated training materials. Guide published. Training documents, course evaluations, and annual reports. PhD thesis completed on rural innovation and impact of the project's work in the LA reference sites. Project's Web site. Letters of Understanding, project contracts, and interinstitutional agreements. Important~ssumptions Project Overview Poverty alleviation is about helping people exploit new opportunities to improve their livelihoods. Promoting entrepreneurship to boost income is just one aspect of this complex process, but it is a powerful one. Toward this end the project develops three types of outputs: (1) strategies for creating the support services that rural agroenterprises need in order to thrive, (2) practica! decision-support tools for identifying products with high market and production potential in marginal areas as well as for value chains for these products, and (3 ) strong partnersh ips with local, nationa l, and international organizations. Background Today's global economy presents rural people with both threats and opportunities. Many small farmers in the tropics can no longer p rofitably produce traditional staples. But at the same time, rising demand at home and abroad for a wide variety of tropical products is creating new options for them to achieve better livelihoods. The challenge is to help these farmers connect with growth marke ts by adding value to traditional c rops (such as cassava and beans) and by diversifying in to new enterprises, based on sound analysis and deve lopment of the best opportunities. The risks of agricultural entrepreneurship are accentuated by per sistent production- side bottlenecks: tight credit, high input costs and weak business support services. And on the distribution and con sumption side, constant threats to small business viability include poor roads and transport, lack of timely market informaban and unfavourable internationa l trading regimes. Demand for CIAT's agroenterprise research findings has led to multi partner learnin g alliances with development partners such as FOODNET, Catholic Relief Services , GTZ, CARE and Swiss Contact in n ine countries in Eastern and Southern Africa and eight countries in the Americas. Through these alliances, CIAT's findings are tested, adapted and used by partner organizations to contribute to improved livelihoods for more th an 100,000 poor rural families in Africa and Latín America. Project Purpose The work of CIAT's Agroenterprise Project leads to improved performance of the agroenterprises a lready operating and to the development of new agroenterprises linked to alternative markets. This resu lts in more inten s ive and sustainable agricultur a! production, which in turn creates employment, raises household incomes, empower s rural communities, and diversifies land use. Be neficiaries The project primarily serves small and medium-scale farmer s h aving only limited access to land, capital, a nd information. By generating employment in rural a reas, its work also creates opportunities for the poorest rural people, mainly landless farmers and labourers. According to participatory poverty a ssessments conducted at our reference site in Honduras, women head one-third of the households in these two target groups. CIAT research benefits these grou ps directly in reference s ites through action research processes that reach approximately 2,400 families in Africa, Asia and Latín America. 25 By adding value to development initiatives through learning alliances, research fmdings strengthen development agencies that reach significantly larger populations. Additionally, the Rural Agroenterprise Project cond ucts regular regional training courses in Africa, Asia and Latín America and maintains one of CIAT's most popular websites with an average of 6,800 monthly visitors. Uptake Promotion The Rural Agroenterprise Project uses four methods for uptake promotion: fieldwork in reference sites or with farmer organizations; learning alliances with development agencies; training; and, the web s ite. In the case of fieldwork, the relationship between CIAT and poor groups is direct with CIAT scientists spending substantial time interacting with the rural poor and their organizations. In learning alliances, CIAT interacts with majar NGOs and their local partners active in rural enterprise development in a range of activities including method design, training, backstopping, documentation and learning with the goal of strengthening capacities and increasing development impact. In addition, research results are disseminated to diverse users via training and maintenanc~ of the project's web si te. Outputs and Impacts CIAT's Agroenterprises Project carries out action research in partnership with local government organizations, NGOs, producer associations and the prívate sector. A key first step is to forro rural agroenterprise committees to foster collective, coordinated action. The committees develop a strategic plan for agroenterprise development, including a portfolio of high-potential products. For each product, strategies for value chain development are designed and implemented with a range of market actors. Around each value chain, relevant business development services are identified, strengthened or created anda market for them facilitated. The sum of this work is a set of interconnected methods that provides a clear set of strategies for income and livelihood diversification for rural communities and their support agencies. In the last 3 years, CIAT scientists have applied this framework to support and promote diverse kinds of agroenterprises in rural communities in Eastern Africa and Latín America. As of 2003, a new project has complemented this work in Southeast Asia. In aH of the reference si tes, rural agroenterprise committees have been formed, and they have developed strategic plans, with portfolios of high-priority products. In Lushoto District (Northern Tanzania), for example, a group of farmers met with successful producers in a neighbouring community to learn about quality requirements for farm products, frequency, vol u me of delivery and prices. The Lushoto farmers learned that fellow producers 20 kilometres away had organized themselves, introduced new production technologies and captured a share of the high-value fruit and vegetable market in Dar es Salaam. As a result the Lushoto farmers have formed an association to handle their future marketing activities. Elsewhere in Africa, farmers in southern Malawi are experimenting with production and marketing of goats and rabbits, and in south-western Uganda with farm fresh eggs for local sale and pyrethrum flowers for sale to an organic pesticide plant in Kabale town. While these enterprises are new for farmers, Jeffrey Habarwasha, chair of the Muguli (Uganda) income generation committee notes, "We know that development and income generation are processes that don't happen overnight. Despite the hardships and risks, we're ready to forge ahead and make a go of it." 26 In the municipality of Yorito (Honduras), CIAT methods contributed to the design and implementation of strategies for a high-quality coffee value chain leading to the establishment of a farmer cooperative, organic certification and a sale price fifty percent higher than non-participants. This year, two of the participating farmers were included among the twenty best quality organic coffees in Honduras. In Pucallpa (Peru), similar methods allowed small black pepper producers to differentiate their product and demand prices twenty percent higher than normal as well as negotiate favourable long- term agreements wíth industrial buyers. With a view to extending this development process beyond the reference sites, CIAT's Agroenterprises project has entered into learning alliances to support development partner s and their projects in 17 countries, provided on-going backstopping to reference site partners, run two regional training courses in Asia a nd various short-term seminars in Latín America. Relevance to Sustainable Livelihoods Rural agroenterprise research has short, míd and long-term livelihood implications for the rural poor. In the short term, CIAT work with national partners has resulted in an average income inc rease of up to 20% across a selected range of agricultural products in Latín America for smallholders in the project 's reference sites. In the mid-term, participating producer groups move into more complex marketing strategies to differentiate their products and develop more stable relations with other market actors leading to additional income increases, rural employment for non-farmers and more stable income patterns. Long-term projections include strategies linking improved production techniques, post harvest activities, new product development and value chain development and management to differentiated, value added products that compete successfully in regiona l, nationa l a nd international markets. The establishment of leaming a lliances between CIAT and majar development actors seeks to facilitate similar results across a far wider range of rural communities in Africa, Asia and Latín America. Policy Implications Specific project results have influenced local development organizations while the sum of our work - expressed as the "territorial orientation for rural agroenterprise development" - has been picked up and applied by majar internation a l development NGOs as part of the learning a lliance process in Africa and Latín America. New projects in SE Asia and Central America seek to construct links with government agencies and majar donors, respectively, regarding the implications of agroenterprise development for sustainable rural livelih oods and as such representa new area of work for the project. 27 Research Highlights in 2003 The following majar advances are highlighted this year: Output l. Tools, methods, and information for market opportunity identification and development, as an input for the design of economically viable and sustainable rural agro-enterprises The demand for appropr iate tools and methods for identifying market opportu nities for smallholder agriculture comes from many quarters. One such deman d comes from government and non-governmental development agencies working at th e community or local leve! as they facilitate the process of moving farmers to a greater market orientation, seeking to identify production options that can generate income. Other demands come from national or regiona l government agencies that need to orient research and development programs by prioritizing investments in su pport services ranging from research itself, direct techn ical assistance through exten sion agencies, and the provis ion of ma rket in formation services. The Rural Agroen terprise Development Project (RAeD) has been developing a range of tools for the needs of different clien ts. The 'mother' of these tools is the Market Opportunity Identification (MOI) manual published in 1999. This ma nual has been t ranslated into four languages and is in use in many parts of the world. Most recently in Uganda the Nationa1 Agricultura! Advisory Services, NAADS, has contracted CIAT and ASARECA's FOODNET to carry out a study to identify market opportunities in Kampala fo r the farmer organizations throughout Uganda that are associated with their enterprise selection process. Beyond providing inform ation that will su bsequ ently be used to prioritize the types of far mer en terprise that will supported through the decentralized and p rivately-oriented extension scheme, an important objective is to work with NAADS in the validation of a process that can be subsequently u sed by service provider s in other majar towns in Uganda. With the experience gained in using the MOl methodology, modifications are being incorporated that respond to the suggestions made by those that have used the methodology. In 2003, a "too! book" in multimedia-computerized format that already incorporates many of these changes was p roduced and tested in train ing events in Central America. Interestingly, the multimedia format was not universally popular in these events, suggesting that these novel forms of communication need to be backed up by conventional manuals and appropriate field exercises. The full Market Opportunity Identification process requires th at the person s that undertake the studies h ave a certain level of technical and business expertise, or have access to these. At the local and community leve!, these skills are not always available or access to them is limited. The principies of market opportunity ident ification have been adapted for use by market facilitators in supporting enterprise selection at the community leve!. This process involves farmers in all steps of the process, from participatory diagnosis, market visits with far mers, collection of technical and economic information of promising options, and the calculation of simple economic parameters to compare among options. This participatory met hodology is now being validated and improved with selected communities, NARI and NGO partners in 8 sites in Uganda, Tanzania and Malawi. These local processes engender strong ownership by the commun ities in volved. They require facilitation by trained extension personnel. Currently, most extension agents come from a production background and have few or no business or market skills. The 'retooling' of these extension agents is a majar challenge for both government and non-government service providers. The Learning 28 Alliance concept (see Output 5) is a way in which the RAeD project is attempting to contribute to this process. Successfully moving farming communities to an increased market and enterprise orientation requires that they can access, on a near permanent basis, information on markets that will support their existing enterprises and provide them with ideas for new options. To meet this need the RAeD project is developing tools, linked to the Local Rural Agroenterprise lnformation Systems (see Output 3) that permit the collection and analysis of pertinent market information. Output 2. Tools, methods, and information for the development o f appropriate postharvest technologies for small-scale rural agro-enterprises Once farming communities and their service providers have identified promising enterprise options and the process of enterprise development has commenced, there is an on-going need to maintain competitiveness. An important aspect related to competitiveness is the need to be innovative in incorporating cost reducing and quality enhancing improvements into postharvest handling and processing activities. The RAeD project has over the past two years been developing a methodology to enhance local capacity in rural communities to innovate in this crucial aspect of the market chain. Using a similar philosophy to that of the Local Agricultura! Research Committees developed by the Participatory Research Project, and with their support, a set of methodological steps have been defined and the process tested with producers of panela (raw sugar) in Cauca Department in Colombia. Panela is produced in small artesenal processing units called trapiches (sugar mills) of which there are over 200 in the region. While a strong demand exists in u rban markets, the rustic nature of the panela being produced does not meet the quality characteristics demanded by the consumer. Without innovation, there is a considerable danger that these trapiches would go out of business causing significant hardship to the local population through loss of jobs an income. This situation is encountered by many small rural agro-industrial enterprises. The local innovation process centers on the Grupos de Investigación en Agroindustria Rural (GIAR, Rural Agroindustry Research Grou ps). The members of these groups are selected by the community to undertake adaptive research on improvements to the efficiency and quality control of the panela manufacturing process. The agenda is agreed upon through discussions among panela producers and their service providers. Activities have included the evaluation of appropriate varieties for the production of good quality panela, the modification of processing technology to local conditions, the promotion of good manufacturing practices (BPM) and the diversification of product presentation and formu lation in line with market demand. This example of the development of a local capacity to access, evaluate and incorporate postharvest technological innovations has captured the attention of the Colombian Ministry of Agriculture. The development organizations that partnered the RAeD project in this process have achieved funding to initiate the process in 14 municipalities. The RAeD project will now test the methodology with other commodities and in different institutional and socioeconomic conditions. Opportunities to interact with the CIAT commodity improvement projects are being sough t. Output 3 . Information, options, and recommendations for the des ign o f efficient and effective o rganizational scheme s for small-scale rural agro-enterprises and their support services 29 Access to information is key to appropriate decision-making, both for the selection of promising enterprise options for smallholder farmers and subsequently to improve the performance of an enterprise once it has been established. The major advances in Information and Communications Technologies (ICTs) over the past decade provides a major opportunity to put these technologies at the service of rural enterprises. In partnership with the Information and Communication for Rural Communities Project (InforCom) and RAeD project has devised a novel, three-part approach for this purpose. The first part involves community telecenters, managed by strong local organizations. The second part entails local deve1opment of Web-based information systems, which combine important knowledge from farmers' experience with relevant information obtained from research and development organizations. In support of agroenterprise development, for example, these systems can provide information on such topics as markets (current prices, annual price patterns, directories of buyers, quality requirements, etc.), technological options (processing, technologies, etc.), and availability of support services. In order for those systems to be locally relevant and useful, it is essential that they be developed in a participatory manner with community- based stakeholder groups, representing farmer associations and other local organizations. The establishment and training of such groups constitutes the third main component of the approach. By linking the Web-based information system with other communications channels, these groups can discover and share the knowledge their communities need to build and sustain competitive agroenterprises. This approach has been developed over a two-year period in Cauca Department, Colombia in support of the activities of the Local Agroenterprise Committee, which is made of service providers and farmers organizations and promotes and supports agroenterprise development. The region possesses community telecenters that are being managed by local development and community based organizations. These telecenters, beyond providing a general communications service that is run as an enterprise, have a social objective of promoting local development. The research activities have concentrated on the development of an electronic information product, or web site, and the development of a local communications network. The development of the web page is participatory in nature with active involvement of the beneficiaries in its design and the development of content. Diagnostic studies identified two principal components on which to base the design of the web site: a ) a price information service, and b) agroenterprise information resources. In the first instance, the content of the page is focusing on those products that have been prioritized by the Local Agroenterprise Committee, and include panela, blackberry and milk products. Complementary information on the local information network and how it operates, and the activities and results of the information project itself are a lso included. The local communications network itself centers around the consolidation of groups in the community that are trained to manage information and provide the link between information provide in electronic form and its subsequent diffusion, using other communication means. The process of trying to establish a local information system has revea led a number of challenges that need to be faced in order for the promise of ICTs can be fully realized . Not least of these is the need for forming a range of partnerships or relationships that go beyond the purely local, where the project is being implemented, but includes organizations from regional and national levels whose business it is to supply and receive information. A further aspect relates to the need to develop levels of trust and confidence within communities that allow them to interact and communicate freely among themselves and with the communications group. Success in achieving rural populations that are fully integrated into the information society require an enabling environment that develops skills in areas such as team work, leadership, conflict 30 management, and that provides basic physical infrastructure for bringing people together. Output 4 . Institutional models and policy options for establishing and strengthening rural ag.ro -enterprises and the ir support systems at the microregional leve l The RAeD project has developed a 'territorial' approach that seeks to enhance the capacity of local institutions to facilitate enterprise development in a flexible, dynamic and coordinated fashion . This approach includes four components: l.The identification and strengthening of a working group comprised of diverse local organizations with common goals and strategies for rural enterprise development; 2. The identification and evaluation of market opportunities available to the 'territory' (see Output 1); 3. Participatory production to market chain analysis, consensus building with diverse actors along the chain, and design of a shared strategy to increase chain competitiveness, and 4. The identification and promotion of appropriate and sustainable business development services and markets for these services for the 'territory'. Following a period of approximately four years of research and validation work with partners in severa! countries, a field guide has been published on the third of these components: the design and development of strategies for improved market chain competitiveness. The essence of the field guide is to illustrate to development partners steps that can be undertaken to promote collective action to improve market chain effectiveness, and facilitate the conversion of market chains into 'value' chains. The method seeks to develop a common vision among actors for the long term, systematic strengthening of the value chain. An action p lan may include activities, covering research and development aspects, in production, post-harvest handling and processing, marketing, business organization and support service provision. The plan is likely to include short-, medium- and long-term activities that blend local knowledge and resources with externa! ones to improve value chain competitiveness. The guide is not meant to be used as a 'recipe' book, but rather to examine the principals on whích a successful strategy should be based. Tools are presented for collecting essential information for decision-making and for prioritising actions for the strengthening of the enterprise. The guide is already in use in Central Arnerica and E Africa (see Output 5) where it will be adapted to the needs and capacities of local partners. Output 5 . Enhanced capacity to design and develop successful agro-enterprise projects, within CIAT and other institutions The RAeD project now has activities and internationally recruited staff on all three continents: Latín America and the Caribbean, Africa and Asia. The opportunities for enhancing the capacity of our partners to design and develop successful agroenterprises, and entering into mutuallearning processes with them, are now global. Three aspects of the RAeD projects work in this area stand out this year: In Asia, the 'Small-scale agroenterprise development in the uplands of Lao PDR and Vietnam' (SADU) financed by SDC for four years got underway this year. The development of agreements with country governments, hiring and induction of intemational and local staff, and the selection and preliminary characterization of field sites are among the principie activities that have been undertaken. In April, the second 31 regional three-week training workshop on 'Sustainable Agro-Enterprise Development in a Micro-regional Context' was undertaken with the Postharvest Technology Institute, Vietnam, the SEAMEO Regional Center for Graduate Study and Research in Agriculture (SEARCA), and the Users' Perspectives With Agricultura! Research and Development (UPWARD). 24 participants from 4 countries participated in the three-week workshop. Among the participants there were severa) from partner institutions with which the SADU project will interact. The concept of the "Learning Alliance" for establishing a novel relation with major development partners was initiated in 2002. A Learning Alliance is a model of mutual learning between research and development institutions, with a view to enhancing the rate of take up of innovative concepts, methods and technologies. During 2003, alliances were continued with CARE Nicaragua and CRS East Africa (nine countries). A new alliance was negotiated for Central America with CRS in El Salvador, Honduras, and Guatemala, CARE Honduras, the Universidad Nacional Agraria (UNA) Honduras and GTZ Honduras. In the Andean Region a learning alliance is in the process of being established with CRS for Peru, Ecuador, Bolivia and including Haití. Through these alliances, the project's findings are being tested, adapted and used by partner organizations to contribute to improved livelihoods for more than 100,000 poor rural families in Africa and Latín America. IDRC is supporting the analysis of the model through the project 'Diversified livelihoods through effective agro-enterprise interventions: creating a cumulative learning framework between CIAT, development NGOs and donors in Central America' which was approved this year. The demand for technical expertise in the area of rural enterprise development is well illustrated by the fact that in 2003 the project in Central America and the Andean Region generated over US$30,000 by providing services through participating in project evaluations, undertaking consultancies on market chain analysis, project formulation and training. These resources are invested in research produ ct development. The project has established a relationship with CATIE in Costa Rica for undertaking training on enterprise development. Two regional training courses on Jinking farmers to production chains have been undertaken in 2002 and 2003. In 2004 three further courses are scheduled. All of these courses are run on a full cost recovery basis. 32 Output 1 Tools, methods, and information for identifying and developing marke t opportunities, as an input for the design of economically viable and susta inable rural agro-enterprises. The purpose of Output 1 is to generate market-oriented methods and information for the small farmer economy and rural agro-enterprises to facilitate their sustainable linkage with growth markets. Activity 1. 1 refers to participatory methodologies for market intelligence and market research to select agricultura!, animal, and forestry products, in fresh or processed forro, with market potential as an input for the design of economically viable and sustainable production systems for small fa rmers. A methodology was successfully a pplied in three reference sites representing fragile hillsides and tropical lowland ecosystems in Latín America. Other meth odological options for market in te lligence have been conceptualized and are in the process of being developed. Activity 1.2 refers to u ser-friendly, Internet-based informa tion system on a lternative trade, encompassing segments such as fair trade, ethical trad e, and conservation. Special emphasis is placed on the booming organic market. This information system is client-oriented and includes a directory of contacts in the alternative trad e chain , information on global market trends, and guidelines related to alternative trade. Highlights Partners in E a nd S Africa a re exten s ively using the Market Opportunity Identification (MOl) methodology developed by the project in 1999. The principies of the methodology are being adapted for use by farming communities and their facilitators to identify promising en terprise options in an inter-project initiative under CIAT's Rural lnnova tion lnstitute. Based on these experiences, an improved version of the manual will be available in 2004. Activity 1.1 Develop m e thods for ide ntifying market opportunitie s at the ecosystem and m icro regional le v e ls, adapted to the needs of small agro-enterprise s 1.1.1 Improvement of manual on marke t opportunity ide ntification (MOI) Contributor: Collaborators : Carlo s F. Ostertag Rupert Best, Luis Hernández, Proyecto MARENASS (Peru), worldwide IPRA, Proyecto Em prender (Ecu ador); participants m training workshops The MOl manual has been used exten sively worldwide , especially in Latin America, for training of technicians from government and non-government rural development agencies. In 2003, the Catholic Relief Service (CRS) and their par tners have used the methodology in 6 countries in E and S Africa as pa rt of the Learning Alliance with CIAT's RAeD (see section 5. 1). This methodology, which prometes diversification and a greater market approach by small farmers, requires that the person coordina ting its execution have certain expertise in basic business concepts . Thi s coordinator can be a small farmer or an externa] facilita ter. 33 A typical use of the manual is described in section 1.1.2 below, where the tool has been used in Kampala to identify market opportunities for urban and peri-urban farmers. The manual is undergoing modifications in order to (a) respond to many suggestions from participants who have been trained in the MOl methodology during the last six years; and (b) adju st its content in accordance to the RAeD Project's four-module "Territorial approach to rura l business development" or TA-RBD. The MOl methodology corresponds to Module 2 of the aforementioned territorial approach . The main changes underway are the following: • • • The first section, on the regional biophysical and socioeconomic profile, will be eliminated from the manual and transferred to form part of the first module of the TA-RBD. The fourth and last section, which is a summary focusing on the design of lntegrated Agro-enterprise Projects (IAPs), will a lso be transferred to forro part of module 3 of the TA-RBD. The manual's participatory approach will be strengthened, by suggesting practica! ways of including representatives of actors such as small farmers, intermediaries, processors, etc. in the planning and execution of the rapid market study and the characterization of market options. From the start, the manual will briefly expla in the difference between business concepts such as market research, pre-feasibility analysis, marketing management and new-product development, since confusion has been observed among participants in the MOl workshops. The MOl manual incorporates themes related to the first two concepts. • A short section will be included so that practitioners will understand the implications of- and activities involved in new product development. • Greater emphasis will be placed on animal-based and agro-industrial products throughout the manual. The section on the "rapid market survey" will be expanded to provide more guidelines relative to key questions for actors in the marketing channels. The manual will explain the implications of new product development to small farmers, in terms of risk and demand for management and/or marketing expertise. The final version of the MOl manual will be ready by December 2003. However , a large proportion of these modifications have already been incorporated into abbreviated versions of the methodology, such as a multi-media computerized format (Tool Book), and a PowerPoint presentation with notes. The purpose of these abbreviated versions is to enhance diffusion and is available, together with the complete manual, on the project's web page. These abbreviated versions of the MOI manual have already been tested in several training workshops. 1.1.2 Validate and test the Market Opportunity Identification tool in an African urban and peri-urban agricultura! setting Contributors: Robinah Nyapendi, Rupert Best Collaborators: John Jagwe, Shaun Ferris (FoodNet), Margaret Sazuba (Kampala City Council) 34 Kampala, the capital city of Uganda covers an area of 197 km2 and has a population of 1.2 million inhabitants with a growth ra te of 3.9 percent per year . Kampala in th e 21st century is the showcase of Uganda's economic, political and social transformation. However, the rapid growth of Kampala raises concerns that the migration of people towards the city is bringing with it a migration of poverty a nd that often-unplanned urban growth is accompanied by environmental pollution, health risks and a decline in the quality of life. On the other ha nd, the growth of the city represents a large expansion in markets for agricultura! products. Many of these markets offer a comparative advantage to producers a nd processors located within or clase to the city. Urban agriculture is widely practised both within the municipa l bou ndaries and peri- urban areas. In 1992, it was estimated that 56 percent of the land in the city is used for agriculture (Maxwell, 1995b) and that a pproximately 70 percent of all poultry products con sumed in Kampala a re produced in the c ity (Maxwell, 1995a). In 2002, as part of the Strategic Initiative on Urban and Peri-Urban Agriculture (SIUPA) of the Consultative Group for International Agricultura! Research (CGIAR), the first one- year phase of a project to strengthen a nd promote u rban agricultura! systems was initiated with the goal of improving food security and the livelihoods of the urban poor in Kampala. This first exploratory and information gatherin g phase of the project will be the basis on which to develop a wider research and development proposal. The three components of the firs t phase are: i) An investigation of livelihoods and production systems; ii) An assessment of market opportunities for urban and peri-urban farmers, and iii) An exploration of schools as extension service providers and as producers of high quality seed. The research described in this report deals with the assessment of market opportunities for urban and peri-urban farmers in Kampala. The purpose of the study is to identify a portfolio of agricultura! products whose production is technically and economically feasible by urban and peri-urban farmers and to establish the purchasing conditions for the identified products. The information generated will be su bsequently used to strength en or create new micro- and small crop a nd livestock enterprises. Approach The market opportunity identification process that is being em ployed has been adapted from the methodology desc ribed by Ostertag (1999) . It has involved the following steps: i) A participatory rapid urban appraisal to establish the socio-economic and institut iona l profile of the area u nder study; ii) A rapid market study to capture opportunities for existing and potentia l crop and livestock products, and iii) An evaluation of the most promising options for urban and p eri-urban farmers. The third step is stíll in progress and the results a re not reported in the present report. Participatory rapid urban appraisal The participatory rapid urban appraisal was under taken as a common activity that provided information for the livelihoods and production systems and the market opportunity identification compon ents of the project. Four parishes, each representing different socio-economic conditions (urban old , urban new, tra nsition from peri-urban to urban and peri-urban settings), were randomly selected from four of the five of ad ministrative divisíons that make up Kampala. The criteria used for selecting parishes in each d ivision included: a) presence of crop and livestock enterprises, b) presence of 35 farm produce markets, e} presence of NGOs working towards the empowerment of local communities, d) relative levels of environmental degradationfpollution, D population density and g) presence of local food processors. The main tools used in the rapid urban appraisal were focus group discussions, interviews with key informants and observation. A total of 190 farmers (86 m en and 104 women) from the four parishes participated in the exercise. Crops and Iivestock produced for income generation and household food security were identified. In addition, the scale of p roduction, market outlets, value addition and constraints for the various enterprises were determined. Rapid market study The rapid market study included the following activities: a) Defining strategies for the market survey. Based on the information generated by the rapid urban appraisal, the enterprises of majar importance to urban and peri-urban farmers were established and ranked. The Ansoff product-market growth matrix (Kotler, 1999) was used as a tool for planning the survey in terms of growth alternatives, based on the perceived opportunities and constraints of urban and peri-urban farmers in Kampala. The following market research strategies were adopted: • Products whose demand exceeds supply • Products that are in scarce supply • Products that are currently sold by urban and peri-urban farmers • Alternative high value products that could be grown by urban and peri- urban farmers • Street foods b) Developing the research plan and corresponding tools. A matrix checklist of the above market research strategies against the different categories of market outlets (traders, markets, supermarkets, hotels, food industries etc.), from which relevant information could be obtained, was developed. Where available, secondary sources of market information were consulted. For primary data collection, questionnaires for each of the d ifferent market categories of respondents were designed, tested and adjusted. All of Kampala's 5 majar produce markets and 3 large supermarkets were included in the survey. In addition, 5 small supermarkets and a total of 21 small shopsjkiosks were randomly seiected from each of the five d ivisions of Kampala city. Top and middle range hotels have been in terviewed, and 5 food processors were selected based on the categories of products currently being sold by urban and peri- urban farmers. e) Data collection. The survey was conducted using semi-structured questionnaires to obtain the information required. The methods of contact were by face-to-face discu ssions in teams of two and telephone interviews. d) Data processing and analysis. Data were cleaned, standardised and manually coded. Analysis was done using the Statistical Package for Social Scientists (SPSS) computer software. Evaluation of options Based on the results of the rapid market survey, and for those options that loo k most p romising, more precise information on the market, the production characteristics of the products in question and their corresponding financia! costs and returns will be obtained. With this additional data, farmers will be asked to rate the different options against their own criteria for selecting enterprise options. This exercise is pending. 36 Results Participatory rapid urban appraisal Table 1. 1 shows the existing agricultura! enterprises in order of their importance for income generation and household food securi ty use, as well a s an indication of the ranking of enterprises based on the num ber of people involved. Table 1.1 Existing agricultura! enterprises in order of their importance for income generation and food security Parish Bukesa Banda BJiziga Komamboga Urban-peri- ' Classification Óld urban Newurban urban Peri-urban transition Participation . m=male 74 (41 m , 33 f) 51 (23 m, 28 f) . 40 ( 12 m , 28 f) 25 (10m, 15 f) f=female Principal - Poultry - Coco yam - Poultry - Pigs income - Cattle (dairy) - Poultry - Cattle (dairy) - Cattle (dairy) generating - Mushrooms - Cattle (dairy) - Fruits - Poultry enterprises - Fruits - Leafy - Pigs - Fruits -Coco yam vegeta bies 1• - Mushrooms: - Cassava - Pigs 1• - Sugarcane Food - Fruits - Leafy - Sweet potatC? - Sweet patato security - Matooke vegetables - Cassava - Cassava crops/livesto - Maize -Coco yam - Matooke - Beans ck - Beans - Beans - Beans - Matooke -Coco yam - Maize - Maize - Fruits - Matooke - Fruits - Leafy vegeta bies Ranking of - Poultry -Coco yam - Sweet potato - Sweet potato crops/livesto - Matooke - Poultry - Cassava - Cassava ck based on - Flowers - Cassava - Poultry - Poultry number of {potted p1ants) - Leafy 1•_ Beans - Pigs people - Maize vegeta bies - Matooke - Matooke involved - Beans - Matooke - Fruits - Fruits - Fruits The results indicate that the most important income generating products in Kampala a re poultry (broilers and eggs), milk, pigs, fruits (mango, avocado, jackfruit and paw paw). cocoyam, mushrooms and leafy vegetables. There is no significant overla p between the principal income generating en terprises and food security crops and livestock products produced for home con sumption . Among the important income generating enterprises, poultry and fruits a re the two categories of enterprise common across a ll urban jperi-urban categories. Table 1.2. summarizes the scale of operation, prices, market outlets and constraints faced by farmers for the p rincipal income-generating products. With the exception of dressed poultry, pork meat and cooked cocoyam as a snack food, there is little value addition and there are no sales to food industries. The relative scale of production 37 conditions the type of market outlet that farmers are using for any particular product. Among the constraints, farmers mention ed lack of appropriate (cold) storage facilities and lack of capital, both of which limit the possibility to bulk production of higher value and perishable products (poultry, fruits, mushrooms etc.), and thus capture higher volume markets. Across the different groups (old urban, new urban, transition and peri-urban) it was observed that there was a definite gradient in terms of age, degree of responsibility, ownership of resources and equality of participation of men and women, and level of interest and motivation. In the old urban situation participants were younger, appeared to have time at their disposal, were alert and open to new opportunities and with very high expectations with respect to the project. There was also more equal participation of men and wornen in the discussions that were conducted in entirely in English. On the other hand, in the peri-urban s ituation, participants were more elderly, possessed more resources and had other commitments, which made them less disposed to invest more time than necessary. The men dominated the discussions that had to be conducted in local Ianguage because few people spoke English. Rapid market survey In Tables 1.3., 1.4. and 1.5. the responses from all categories of market outlet have been bulked for the purposes of this result summary. Table 1.3. shows that between 65-100% of traders in all product categories reported equal or greater sales cornpared to from the previous year. Table 1.4. indicates that there is demand for the crops and livestock products produced by urban and peri-urban farmers. This implies that these products could present an opportunity for urban and peri-urban farmers to increase their incomes if they can meet the demands of traders in terms of quality, quantity, continuity and price (see Table 1.5.). It also shows that demand exists for fruits and vegetables other than those being currently produced. Discussion and conclusions Tables 1.2. and 1.5., illustrate that on average actual supply quantities for all products by urban and peri-urban fanners are less than the quantities demanded by traders, even the small kiosks that specialize in fruits and vegetables. This explains why most of the products shown in Table 5 are procured from rural dístricts where supplíes are sufficient and more reliable. This implies that urban farmers face two altematives: i) to confine themselves to the local or niche markets that they can supply with their present production levels, or ii) move toward collective action as a means to supply greater volumes to those markets indicating growth possibilities. 38 Table 1.2. Scale of operation, prices, market outlets and constraints of the principal income-generating products. 39 Table 1.3. Change in sales over the past two years for various product categories (percent o! respondents) Table 1.4. Products with increasing sales and in acaree supply 40 Products with Products in scarce Category high sales supply Reasons fo r scarcity growth 1 Livestock Beef -Scattered production. Por k Por k -Govemment law prohibits Goat transporting goat together with cattle, yet ~ts uneconomical to tran~ort _g.oats alone. Dairy Milk -Seasonalproduction Mil k Yoghurt -Distant seurces of supply Butter Fish Table 1.5. Selected products with market potential and their purchasing conditions Product Purchase price Minhnum Sour.ce Quality standard& puz:chase Fruits Mango 218/= per kg 250 kg per day Masa ka, Mature, half ripe, free Jinia from externa! damages Avocado 312/= per kg 42 kg per day Ka bale, Mature, half ripe, free Mbarara, from externa! damage Masa ka Paw paw 517 f= per kg 965 kg per day Mukono, Mature, half ripe, free Mpigi from externa! damages Livestock Dairy Mbarrura, Good odour Mil k '370/= per litre 2,050 litres per Nakasongola, Fresh and concentrated da y Mukono Por k 1350/= per kg of live 3 pigs per day Masaka, Low fat content for carcass Jinja, M in. weight of live Mpigi, carcass (16kg) Mukono Max. weigh t of live 1 carca:ss (SSkg) Vegetables Bugga 778/= per kg 23 kg per day Wakiso, Fresh and intact green Do do 778/ = per kg 30 kg per day Mpigi lea ves Nakati 1000/= per kg 16 kg per day " " Carrots 950/= per kg 37 kg per day ., , Ka bale, Clean, medium size, Mbale oran_g_e colour High value products Mushrooms 30001 = per kg tfresh) 11.7 kg per day Kampala Mature 40001 = per kg (dried) Jinja Well dried Good aroma [& 4 1 Product In addition, the average purchasefwholesale prices of sorne of the products studied, like milk and pork, obtained from districts other than Kampala were found to be less than the farro gate prices of the same products produced in Kampala. This could be attributed to, inter alia, economies of scale enjoyed by extensive producers in rural areas (case of milk) or lower feed costs (case of pigs). On the other hand, there are certain commodities like poultry, mushrooms and fruits in which producers in Kampala have a comparative advantage because of proximity to feed supplies (poultry). and closeness to market that reduces transport costs and enables the timely delivery of fresh produce (mushrooms and fruits). Based on this analysis, it is possible to categorize the current products of urban and peri-urban farmers in the following manner: l. Those products with which farmers are meeting all the purchase conditions with respect to quantity, quality, continuity and price. Examples of these are poultry (broilers and eggs) and mushrooms. 2. Those products with which farmers are meeting requirements of quality and price, but are unlikely to meet the additional requirements of quantity and continuity in order for their enterprises to grow. Examples of these are vegetables and fruits. 3. Those products with which farmers are unable to compete in terms of price, quantity and continuity with producers from rural areas selling into mainstream markets. The examples of these products are pork and milk. The quality of these products, especially milk, is competitive and could be used as a lever to capture a share of the market that will pay higher prices for better quality. Peri-urban farmers would be better placed to make use of the opportunities identified by the market study that require land as a principal input (dairy, pigs, fruits and vegetables). However, it was interesting to observe the relative lack of motivation at the outset towards new opportunities, relative to those farmers from the urban areas. Whether this attitude might representan obstacle needs to be further investigated. Urban farmers were open to new opportunities. However, the study has been unsuccessful in identifying alternative products, beyond mushrooms and poultry, of high value and with a quick retum on investment that could be produced on reduced land areas. Overall, the study has shown that demand for a wide range of food products is growing in Kampala. This is to be expected given the rate of growth and economic development. While the marketing of food, especially fresh food, is still predominantly in the hands of small traders in produce markets, there is an increasing trend towards the 'supermarketization' of the food system (Weatherspoon and Reardon, 2003). Urban and peri-urban farmers, at least those with whom the project has interacted , have not yet 42 been able to capture a share of this new market that has very demanding purchase conditions. Recommendations As mentioned in the introduction, this study is part of an exploratory and information gathering process whose results will form the basis of a wider propasa) to support urban and peri-urban agriculture in Kampala. The preliminary results show Kampala farmers to be market oriented and that there are opportunities for them to grow their enterprises and thereby improve their livelihoods. However, there are many obstacles for them to overcome. To be able to achieve the goal of improved livelihoods will require an integrated and concerted program that brings together a number of support institutions that can provide appropriate services to urban and peri-urban farmers. At present this type of integrated program does not exist. The inter-institutional and multidisciplinary nature of the present project is an attempt to bring together the most appropriate actors, from both research and development. With respect to the marketing and enterprise development component of this initiative, local capacity needs to be built to provide the following functions: l. Market information that can help farmers decide what crops and livestock products to produce and where to sell ; 2. Microfinance schemes to motívate expansion of production and the creation of new enterprises; 3. Technical and business extension and training services; 4. A legal framework that will encourage appropriate and environmentally sound agroenterprise activity in urban settings, including access to suitable Jand resources; 5. Support for farmer organisation for collective action in marketing and the provision of other essential services (inputs etc. ). References Kotler, P. 1999. Kotler on Marketing. How to create, win and domínate markets. Simon and Schuster UK Ltd . Maxwell, D. 1995a. Labor, land, food and farming: a household analysis of urban agriculture in Kampala, Uganda. Unpublished Ph.D. dissertation, University of Wisconsin-Madison. Maxwell, D. 1995b. Alternative food security strategy: a household analysis of urban agriculture in Kampala. World Development. Vol 23, no 10: 1669-1681. Ostertag G., C. F'. 1999. Identifying and assessing market opportunities for small rural producers. Tools for decision making in natural resource management. Cali, Colombia: Centro In ternational de Agricultura Tropical. 264p. Weatherspoon, D. D and Reardon, T. 2003. The rise of African supermarkets: Implications for agrifood systems and the rural poor. Development Policy Review. May, 21 (3), 16p 43 1.1. 3. Define and develop prototypes for other tools for m arke t opportunity identification Contributors: Carlos F. Ostertag, Diego Izquierdo, Sandra Rivera Collaborators: Edward Gironza, Luis Armando Ortiz, Carlos A. Quirós, José Ignacio Roa, Comité AIR CIPASLA (Colombia) Since implementation of the methodology presented in the MOl manual requires considerable business expertise and time, severa! altemative MOl tools are being proposed that are simpler and s horter, but that will certainly limit the amount and/ or quality of information collected. These proposed tools in fact reduce the need for facilitators, consultants or coaches to guide small farmers throughout the MOl process. These are as follows: Rapid Market survey, focusing on identifying key market trends and parameters for selling traditional and potential commodities or agro-industrial products, such as quality, quantity and continuity required, plus potential purchase price. It consists basically of the first section of the MOl manual, which can be used as a stand-alone tool, with sorne minor additions. Market visits are simple activities but that have to be adequately planned and coordinated and can provide very good information. Generally, participants select one or more products, either traditional or new, and then focus in identifying the key market requirements for selling these products. A prototype is underway, based on the experience with small farmers in the Cabuya! reference site in northern Cauca, Colombia. The Enabling Rural Innovation (ERI) initiative implemented in Africa uses market visits by farmers as part of the process for selecting income-generating option for farming communities (see section l . l. 4 below). Local Market Intelligence System (LMIS) is a simple tool that allows pertinent market information to be collected on a permanent basis. As the basis for developing the prototype, a survey was applied in October and November 2001 to 30 small farmers in 20 first- and second-level organizations, including several local agricultura! research committees (CIALs in Spanish) in Honduras, Colombia, Nicaragua, Bolivia and Ecuador. The purpose of the survey was to identify what type of information relative to income- generating activities is really valuable for small farmers; how and where they would like to receive this information, and to what extent they are willing to pay for it. Thís tool poses the challenge of being sustainable in the long-term. A report on the survey will be avaílable in December 2003, and a LMIS prototype will be developed and tested in one or more of CIAT's reference si tes, and possibly in other locations. 1.1.4. Development of a participatory community-oriented tool for the identification of market opportunities and selection of promising enterprises Over the past two years, the Enabling Rural Innovation (ERI) initiative, an ínter-project collaboration of CIAT's Rural Innovation Institute, has been implementing in Eastem and Southern Africa a community-based approach for identifying market opportunities and building profitable agroenterprises as part of a wider project aímed at enhancing the innovatíon capacíty of rural communíties. The selection of options for generatíng income requires collectíng informatíon that will help the farmer make decisions appropriate to his/her situation. The methodology that is being tested was described in last year's annual report. 44 Communities have selected enterprise option after undertaking market and enterprise visits where an 'income group' or 'market committee' is facilitated by local GO and NGO partners to conduct participatory market research (PMR) to find out information on varieties and types of products that are in high demand or scarce supply and which they think they could introduce to their area, either now or in the future. The final selection of options is undertaken in the presence of the whole community when the market research group presents the results of the market and enterprise visits, production costs and the prices they can expect when they sell. An evaluation of the different options, including cost-benefit analysis and other benefits that the option can bring to different groups, is made for farmers to select the enterprise options with which to start. In 2003 the number of communities groups with which we have been working was increased from 7 to 19, with a total of over 800 farmers . Table 4 summarizes the different enterprises and food security options selected by different groups. It can be seen that farmers tend to select existing c rops (beans, peanuts, potatoes) and small livestock (goats, pigs, poultry and rabbits) for market-oriented production. After PMR, however, farmers are beginning to select relatively new enterprises as well. For example, in Lushoto farmers selected zucchini, a new crop in their communities; while the groups in Kabale decided to develop their enterprise around pyrethrum ( Chrysanthemum cinerariaefolium). Pyrethrum is a perennial crop whose flowers a re used to extract pyrethrin, used to make a natural insecticide for household insect pests. The demand has continued to grow in the world market as a more environmenta lly friendly insecticide for household use. Pyrethrum is a relatively new cash crop in Kabale district with a good potential for providing regular income to resource-poor farmers, especially women. In most cases the a rea occupied by pyrethrum averages 0.06 to 0.25 ha, and the crop is often grown without additional inputs. Agro Management, a prívate company, began processing pyrethrum in Uganda in 1993. The pyrethrin-extraction factory now draws on harvests from about 525 ha of local farmland, providing work for 10,000 people. Yet this corresponds to only about one-third of the plant's operating capacity. Thus there is a good opportunity to develop pyrethrum as a profitable, income-generating enterprise. Although sorne farmers had heard about it, the crop was not grown in the pilot communities so they did not have information on its agronomy and marketing. During the participatory diagnosis (PO) process, pyrethrum was selected as a potential new income-generating crop. During the PMR process farmers visited Agro Management and pyrethrum farmers in other communities to collect market information. Pyrethrum was evaluated against other options such as coffee, potatoes, pigs, chickens and beans, and was finally selected because of its Jow investment cost, guaranteed market and regular income. In addition, because pyrethrum is typically grown in high altitudes, farmers saw an opportunity to use their hilltops, which are usually a bandoned land. There were a lso sorne other criteria such as an opportunity for bringing back more men into agricultura! production by providing them with an income-generating crop with the hope that they will also contribute to other agricultura! activities. However, the market of pyrethrum was Iimited to only one buyer, Agro Management, which purchases pyrethrum flowers from registered farmers on a monthly basis. Farmers in the two communities were well aware of the financia! risks of dealing with a single local firm that currently has only one large client. It was not long befare Agro Management experienced serious financia! and marketing problems, leaving the company unable to pay farmers for the flowers. Despite this case of market failure, farmers' decisions and reaction on whether to stop or to continue with the enterprise are mixed, as expressed by farmers in the two pilot communities: 45 "There is no business without risk. We'll try something else if there is no market for pyrethrum." We are happy to have started with research befare going into mass production. This has saved many farmers from losing a lot of money, land and labour. We have leamt that it is better to start on small scale befare expanding." •we know that development and income generation are processes that don 't happen ovemight. Des pite the hardships and risks, we're all ready toforge ahead and make a go ofit. " These local distortions and market failures were dealt with through farmer experimentation on a collective learning plot that helped minimize risks to individual farmers. The farmers are now looking for alternative enterprises and are acquiring sufficient capacity to evaluate market opportunities, select enterprises and conduct experiments before expanding to larger areas. Table 1.6. Community agroenterprises and food security options selected by farmers' groups in the pilot communities. Country and Site Enterprises Selected Food Security Uganda Ka bale, Pvrethrum eggs Common beans Potatoes, goats Beans Toro ro Beans, peanuts Beans, maize, peanuts Hoima Onions, mango, pigs Beans, sweet pota toes Tanzania Hai Beans, sunflower, garlic, Beans, maize tomato Lushoto, Shashui Tomato, beans, zucchini, Beans red peppers Malawi Dedza Goats, beans, rabbits, pigs Potatoes, beans Ukwe Pigs goats, beans Cassava, potatoes A new phase in the process of developing integrated agroenterprises around potatoes started in Kabale, where farmers were linked toa major fast food firm in the capital city. This phase required a more detailed a na lysis of the chain of actions and actors involved from production through marketing. The process of identifying enterprise options and designing integrated agroenterprise projects is being expanded in a market facilitator manual, which is being developed on the basis of the collective experience of all project partners and stakeholders. This manual was initiated during a workshop for market facilitators held in Lushoto, Tanzania in March 2003 (see section 5.3.). Among the lessons learned, it is essential to build a clear sense of ownership of the process by farmers and build local capacity to identify, evaluate and select market opportunities. In the case of pyrethrum, farmers' experimentation proved to be critical in minimizing risks against market failures, even for existing crops and markets. Farmer experimentation a lso provides a balance between enterprise options and food security. For further details on the ERI process see the Participatory Research Project's Annual Report 2003. 46 1.1.5 Development of a method for identifying market opportunities in a commodity chain Contributor: Carlos F. Ostertag, Diego Izquierdo Collaborators: Briceida Rojas (PDPM), Sandra Rivera, members of the youngster s association The regiona l Colombian NGO "Programa de Desarrollo y Paz del Magdalena Medio" (PDPM) is supporting an "association of youngsters" located in Barrancabermeja, in the formation of a cassava -based enterprise and requested that the RAeD project execute a market study to identify market opportunities in the cassava commodity chain . The methodology followed was the following: (a) Based on a previous market study conducted by CIAT, the RAeD Project focused on processed (frozen and refrigerated) convenience cassava products; (b) The market study was planned jointly by the RAeD project, PDMP and the youngsters association. (e) Secondary information was collected and ana lyzed; (d) Questionnaires were designed and sent to PDMP and the youngsters association for feedback; (e) The sample (types of actors to be contacted and geographical coverage) was jointly determined; (f) Jnterviews were conducted in Barrancabermeja, Bucaramanga and Bogotá with supermarkets, restaurants, in stitutions, and food processors. Representatives of the youngsters association participated in the work team; (g) Processing and ana lysis of information; (h) Preparation of the report, including results, conclusions a nd recommendations. Recommendations included a marketing s trategy. The market study of frozen and refrigerated convenience cassava foods demonstrated that (a ) this cassava food category is growing rapidly, but is re latively sm a ll compared to similar potato-based foods; (b) these products a re premium-priced and the main consumers have high incomes; (e) the actors in the marketing channel a re willing to purchase quality products from the youngsters association, (d) the main products in this cassava food category a re croquettes and large cassava fries, (e ) Congelagro is the main enterprise in this category, with the "Rapi" brand. The main RAeD Project recommendations were : (a) that the new youngsters enterprise should focus on marketing croquettes and large cassava fries initially in nearby markets; (b) plant capacity should be small but enough to capture a Ja rge portian of the relatively small nearby markets; (e) the group should receive adequate business training and coaching. Activity 1.2 Information system on alte rnative trade (ATIS) 1.2. 1. Launching of ATIS on proje ct's Web page Contributors: Carlos F. Ostertag, Jhon J. Hurtado, David Brand, Ángela Arenas . Collaborators: Sergio Mafia (consultant) 47 The Rural Agro-enterprise Development Project (RAeD) made an electronic survey of the information needs of different actors linked to rural agro-industry in Latín America. The survey was undertaken through the Prodarnet electronic distribution list of the Latín American and Caribbean Program for Rural Agroindustrial Development (PRODAR, its acronym in Spanish) and respondents were requested to indicate areas in which the supply of information was deficient. From this survey the theme of Fair Trade was selected as one of importance to users in providing information that will help in making rural agro-industry more sustainable through the identification of export opportunities. The RAeD Information System on Fair Trade has taken four years to develop and is now available on the Internet. Its object is to offer technicians and nongovemmental organizations (and through these to small-scale rural producers) access to information on equitable trade movements. The user will find up-to-date documentation about the Fair Trade movement, obtained from an exhaustive search of the available information on the Internet and from key contacts, on themes such as its history and evolution, how Fair Trade functions, the most important players, the beneficiaries, and new tendencies in the trade. Information on organic agriculture, which is directly related with the Fair Trade movement in the present market, is also available. Other information presented includes results of searches for the best links and on-line documents about Fair Trade and the organic movement, the development of a specialized glossary, news, and a calendar of agricultura! shows and events. Among the components of the system is a directory that contains 160 organizations attached to the movement, from both the Northern and Southern hemispheres. At present, this system (Spanish version) can be viewed on online in: http: 1 /www.ciat.cgiar.org/agroempresas 1 espanol 1 mercados / sistema atis/ inicio .htm. The directory is being translated into English. In addition, an article on how to export, a list of the organizations of rural small-scale producers attached to the movement in Colombia, and sorne case studies of organizations related with the movement will soon be available online. 48 Output 2 Tools, methods, and information for developing appropriate postharvest technologies for small-scale rural agro-enterprises The purpose of Output 2 is to generate information and tools that facilitate the selection and development of appropriate technology for the postharvest processing of agricultura} products that have been identified as having potential for increasing income for smallholder farmers . Activity 2.1 seeks to develop user-friendly information systems that permit users' access to basic information required to take decisions about postharvest technology selection. Activity 2.2 is focused on adapting, developing, and implementing a set of participatory methods for undertaking postharvest technology research with clients and beneficiaries in a given socioeconomic context. Although these methods were successfully developed for preharvest research, the principies are only recently being adapted for the postharvest area. Highlight • The Rural Agro-industria l Research Group (GIAR, its acronym in Spanish) model for establishing local capacity among farmers and rural processors for accessing and adapting post-production technologies has been successfully tested with panela (raw sugar) production in the Cauca reference site in Colombia. The GIAR model has been incorporated into a project propasa! developed by CORPOTUNIA, a local NGO partner with whom we developed the model, for improving the competitiveness of panela producers in small holder farming systems. The proposal, which has been financed by the Colombian Ministry of Agriculture, will serve to validate and refine the methodology u sed . Activity 2.1. Develop inventaries and systematized information for products and processes with market potential to define information and technology needs 2.1.1. lnformation System on Cassava Postharvest Management and Processing Contributors: Jhon Jairo Hurtado; Nadine Zakhia (Centre de coopération internationale en recherch e agronomique pour le développement [CIRAD]) Collaborators: Rupert Best, Ángela María Arenas The Rural Agro-enterprise Development Project (RAeD) took advantage of the opportunity for diffusion that electronic information offers to build an Informa tion System on Cassava Postharvest Management and Processing. This involved compiling technical and economic data, an inventory of processing ma teria ls; equipment used in the processing, design of the processing plants, and investment costs. It has included information from other organizations that h ave worked for over 30 years in the development of cassava- the main source of calories for about 500 million people. The main objective of this tool is to serve in the wide diffusion of the theme for researchers extension agents, and for cassava producers, rural micro-enterprises, governmental and nongovernmental planners, and all those interested in the tapie . The system subdivides into four components: (1) the crop, (2 ) postharvest management, (3) processing, and (4 ) use of information resources , where sorne of the documents on cassava published by our Project are listed with the most important of those circu lated by other CIAT projects and related institutions. 49 At present, this system is online in Spanish at: http: 1/ \V\V\v.ciat.cgiar.org/agroempresas/ espanol/tecnologia/ sistema yuca/inicio .htm and in English at: http: / f\"'WW.ciat.cgiar.org/ agroempresas/ espanol /tecnología/ sistema_yuca/ english/ in dex.htm (Figure 2.1.). We expect this system will soon be housed in the Web sites of CLAYUCA and ClAT's Cassava lmprovement Project. The re lease will be made with a marketing strategy that will be supported by the databases of CLAYUCA and the Cassava lmprovement Project users . l n formatlon l yat eno 0 11 f'08tharvoat "'"'llement alld l>f'OCO.slftl of Cauava •t&:t~ to u~ Jt• n, u.,., .. p~rc~u ~"'!• ot ... ,. .... ~ ~,,~ ,.; • . C' .. l)l" M4(1,1Uttw)fCt'" Mclfft ... )) '"'""' ;..coW JI o ..,._. n a t "'.,.,.,t. ot lt.. .r~; ,.,.., r...l>tt <'•u. t..,,, o&"'""' ''· ~ th en •: ttou·r~u In t~ hu Z.: t f'.,.S. •:.'\;)•S")'"'tl•trt tr"'f..~.J (~tuti ~ (o#~, p.,.,. .. ..,.t., ~ ~(•n~·~ ,.. r-qao~M. ~t ra.."'hh i. .. tH~,-..j~ • d "'...Ut • •,.lo.dU n:X1(A.J'f'5. to t·tJ". .. , .. _.~.,..)~. Q...••"• ., ~n!JI 0:0 ~ut, ed1rk:., ILft rw"'\#I M ' fd\.(tXI' J I6H)IICA2' Figure 2 .1. Web page of the Information System on Cassava Postharves t Management and Processing (in Spanish and English) . 2 .1.2 Project initiated to develop local capacity for capturing relevant market and technological information in support of the integrated agro-enterprise projects in Cauca Department Contributors: Jhon Jairo Hurtado; Dora Patricia Arévalo, Erika Eliana Mosquera, Laura Victoria Becerra Collabora tors: Ángela María Arenas Information System for Rural Agro-enterprise Development (SIDER) During processes that CIAT is advancing with small-scale producers in the Cauca department, a main limitation for rural agro-enterprise development was identified as the deficiency in availability of support services for the small-scale producer, such as technical and managerial assistance, training, credit, communications, and information services (see Section 4.2 . 1 ). Amongst these, access to information for correct decision taking and training prove indispensable. 50 In view of this need, over the past 15 months CIAT's Information and Communications for Rural Communities (JnforCom) and Rura l Agro-enterprise Development (RAeD) Projects, have been developing the SIDER Project. Its objective is to develop local capacities of Small-scale Rural Producers (PPR, the Spanish acronym), and in the organizations that support them, through guided use of new in formation technologies (Internet), medía, and traditional channe ls of communication. It is hoped that, through these tools, these actors will be able not only to generate, access, interchange, and take advantage of useful information, but also socialize it with their communities through the construction of a communication network that strengthens support services in the framework of rural agro-enterprise development. In 2003, SIDER has developed in parallel two of its principal areas: Electronic Information Product and Local Communication Network. 1. Electronic Information Product This is a Web site being developed through a series of steps constructed to facilitate the active participation of the beneficiaries, mainly SIDER's communication groups and other organizations, which during the diagnosis phase and other initiatives have manifested their knowledge and information needs in enterprise and production themes. Results of the diagnosis and the process advanced in the project sites have permitted identification of four components for the Web site: (1) Price information service: This seeks to supply farmers with information on market prices for their a rea so that they can plan their production according to demand, program their harvests in seasons of greater profitability, and negotiate in conditions of better equity with traders. This service is divided into four components: (1) Selling price information for producers of the region, (2) Production costs, (3) Commercial contacts, and (4 ) Commercial structure for main products of the region. (2) Agro-enterprise information resources: A model, using information on panela, is being prepared; a lso, information is being considered on milk products, mora (blackberry), plantain, anturios (anthuriums), and cassava. This model is being constructed with technological (crop, postharvest, quality) and managerial information (sources of finance, credit, organizing experiences, legislation, a mong others). (3) Our network: A space developed by the communication groups that form the local network of SIDER. It presents information on its members, its process of formation and training, its community, its needs and projects, and the means of communication that will be produced. (4) SJDER: Describes the project, its objectives, results, and the general process. 2 . Local Communication Network This network, defined as a group of persons and organizations trained to manage local information and integrated workfor strengthening its social relations, is developing in the municipalities of Caldono, Santander de Quilichao, and Suárez. In these municipalities, the Communication Groups, who make up one of the network actors, are made up of farmers or their relatives (indigenes, mestizos, and Afro-Colombians), aged between 14 and 70, are following a training plan anda work plan in communications. This year, the training plan developed by the communication groups has permitted working principally on two aspects: (1) Consolida tion of the groups through a workshop for group strengthen ing, which permitted the definition of its organizational aspects (group name, mission, vision, princ ipies of the organization, and work plan). and inter-grou p meetings to establish 51 local relations, the construction of contents for the Web site, and analysis and reflection on the process; and (2) Development and improvement of their abilities in Internet management and in the production of broadcasts, not with intention of converting them into radio producers, but to "quiet" anxieties and support initiatives on the possibilities of this communication re so urce in this community ( 13 programs are being developed on themes such as crops, production, and commercialization and use of sugarcane sub- products). With each group, a work plan in communications was defined that was directed at the construction of a strategic vision of communication for the area, to define and implement a local communication strategies. In developing the plan, the project has been socialized in the communities, and other actors have been joining the network, such as community organizations, governmental organizations (GOs), nongovernmental organizations (NGOs), formal and informal educational institutions, local communication media, and initiatives promoting rural development. The linking of these actors to the network to facilitate information transfer, knowledge generation and project sustainab ility is supported by the institutional part of the project, which has made a departmental inventory of organizations, and prepared a folder presenting the project. At present, approaches are being made to the Centro Regional de Productividad e Innovación del Cauca (CREPIC) and the Faculty of Electronic Engineering and Telecommunications and of Social Communications of the University of Cauca. Figure 2.2. shows the relationship between the electronic product and the organizations that make up the local communications network. Figure 2 .2. Organizational strategy of the Sistema de Informac ión para e l Desarrollo Empresarial Rural (SIDER) Project. 52 Challenges and Findings of the Process • • • The development of an information system such as SIDER requires pa rallel lines of work, not only those contemplated in the two areas of Web site construction and the local communication network, but also work between communication groups and other organ izations. This prem ise implies an effective initial development and resources that should be shared between new actors, who need to integrate as par tners of the process. This means that the consolidation of alliances and agreements of both local and regional character becomes a priority aspect. The con solidation of local agreements and alliances requires greater presence in the municipali ties to develop trusting and cooperative relations with the project. In this process , it is importan t to count on formal representation in these fora, that makes more dynamic the obtaining of resources and support for the work of the groups in the short term. Work with the communication grou ps requires multidisciplinary action, where the strategies for training on one theme (in this case communications) become part of a complex that includes many aspects of community development- team work, leadership, developmen t of rela t ionships of t rust and cooperation, sustainability of groups, conflict management, support needed for oper ations, and the provision of infrastructure such as places for meeting, a mong others. Ethnic heterogeneity in the composition of groups, levels of schooling, and generation differences make work with groups complex, and makes difficult the consolidation of strategies for their strengthening and sustainability; for example, the inte rests of young people in moving to other places to study or work. Activity 2 .2 Adapt and refine participatory methods for improving processing efficiency and product quality for existing and new rural agro- enterprises 2.2.1. Rural Agro-enterprise Research Groups: A methodological proposal for research and adaptation of postharvest technologies Contributors: Carlos Chilito, Jhon Jairo Hurtado (CIAT) Collaborators: PRONATIA, Didier Alberto Serna, Eyder Montero (CORPOTUNÍA) Over the past 2 years, the Rural Agro-enterprise Development (RAeD) Project and the Corporation for the Development of Tunía (CORPOTUNIA) have developed the project "Integral improvement of the rural agro-industria l chain of panela, with small-scale producers of the municipalities of Santander de Quilichao, Suárez, and Caldono, northern Cauca department, as an a lternative for improving income generation", fina nced by the Programa de Transferencia de Tecnología Agropecuaria (PRONATIA) . Through this project the RAeD has advanced development of a methodology for building local capacity in rura l communities to validate and adopt technologies for the ir agro- industries, known as Grupos de Investigación en Agroindustria Rural (GIAR, Rural Agro- industry Research Groups). The GIAR are a mechanism of active and real participation in the process of planning, validation, and dissemina tion of a technology to be incorporated into a productive activity. The GIAR a re made up of producers and processors, who, together with 53 research or technology transfer organizations, prioritize the work criteria in an agro- industrial process. They participate in setting up trials, evaluations in processing units, discussion of results, and feedback to the community, which further the appropriation of the process within the rural population. In the municipalities of Caldono, Santander de Quilichao, and Suárez, the panela activity generates more than 50% of family income. In these municipalities, sensitizing the community to the objectives of the project and of the GIAR methodology was carried out as a first step in its development. Then five GIAR were formed (three in Santander de Quilichao, one in Suárez, and one in Caldono), of 12 to 14 people each, with women participating in al! groups. A further process of sensitizing was begun with these GIAR on the process of participative research, and their partas producers/researchers. Part icipative and technical diagnosis, carried out in the community, identified difficulties faced by producers and the crop (low yields), in the processing (low capacity of traditional small furnaces, indiscriminate use of firewood and rubber), and in the markets (low quality and lack of appropriate presentation). Based on this diagnosis, four project objectives were established. They a re presented and described below. l. Prepare a portfolio of appropriate varieties for the production of good quality panela, managed with organic production criteria In each municipality, the GIAR selected the main varieties used and defmed criteria of the crop (high yield, absence of pelusa (small hairs that irritate the skin), resistance to pests and diseases), and the process (high sugar content, presenting organoleptic characteristics) for selecting a variety of sugar cane. The varieties selected were evaluated by farrners and processors, in the field and during processing, for the production of panela in block and powder form; three varieties were selected in Santander de Quilichao y Suárez, and two in Caldono. From the results obtained, three demonstration plots (one for each municipality) were established with the best varieties. 2. Adjust technology of CIMPA-type furnace models to local conditions A technological propasa! of a small furnace developed by the ClMPA Center and adapted by CORPOTUNÍA, with the support of CORPOICA and other institutions, was utilized to improve two furnaces in Caldono, two in Suárez, and one in Santander de Quilichao (three of these with pyrotubular boilers and two with air-cooled boilers). The GIAR evaluated the traditional furnaces before improvement (low production, high consumption of firewood, subutilization of bagasse, great physical effort, and high cost of production), and then applying the technological proposal. The average results obtained by the GIAR in the evaluations of the three municipalities showed: an increase of 117% in furnace A (air-cooled boiler), an increase in production from 21 kg to 65 kg of panelafhour, and a decrease in bagasse consumption of 37%. Furnace B (pyrotubular boiler) showed an increase of 209%, from 21 kg to 65 kg of panelafhour and a decrease of 37% in bagasse consumption. In both proposals, the consumption of tires and firewood is totally eliminated, and the panela obtained had good organoleptic characteristics (texture, color). Training on the technological transfer process was given to three technicians of UMATAs, one Técnico Agricultor Extensionista (TAE) assigned to the project and elected by his community, two students from Cauca University (Agro-industry), two furnace builders, one metallurgic equipment builder (stills, boilers, pre-cleaners, receiving tanks, troughs), and a carpenter. 54 The techn ological proposal was transferred to 100 producers, fa miliar with the characteristics of the furnaces, who took part in the participative evaluations. Construction of the five ovens a lso has benefited more than 80 families, since the furnaces are commu nity models in which, on the average, 15.2 families produce panela 3 . Promote good manufacturing practices (BPM) in pane la production that allow quality improvement In five "panela processing units" (sugar milis), implementation of the BPM proposal was co-financed , and transferred to about 60 families. As a resu lt of the proposal's implementation, to date four more sugar milis have adopted it. 4 . Diversify the present product and develop new panela presentations, consistent with the market In local and regional markets, placing was achieved of 125-g and 25-g, round and flat presentations of panela, a nd the process was standardized to obtain lemon-flavored panela 5. Development of local capacity The points a bove have been presented to a n average of 120 producers through demonstrations in the field and in the sugar milis. The RAeD Project and CORPOTUNÍA led the forma tion of a panela technical committee for northem Cauca, with the participation of state (UMATA), mixed (CORPOICA and ICA}, and prívate (CETEC} organizations. After forming this committee, CORPOTUNÍA a nd CREPIC led a departmental initiative that applied the strategies for inc reasing the competitiveness of production chains with small-scale producers of the RAeD Project . As a product of this methodology, the committee achieved the financing of a project for 14 municipa lities, through the Ministry of Agriculture. 2 .2.2. Participative technological evaluation of different alternatives in panela furnaces for the small-scale producer of panela in northern Cauca department, Colombia Contributors: Carlos Chilito, Jhon Jairo Hurtado, Juliana Andrea Rizo (CIAT) Collaborators: PRODAR, Didier Alberto Serna, Eyder Montero (CORPOTUNÍA) The technological proposal developed with the PRONATIA project, described under 2.2.1, a nd in which the GIAR groups took part, has permitted the integral improvement of the panela agro-industry chain of northern Cauca d e partment, a nd the living conditions of its members. This a lternative, because of its costs, is not within reach of lower income producers, with furnace of low capacity (average 19 kg of panelafhour) and high conta mina tion (3 kg wood /kg panela, which represents about 10,800 kg woodf month con sumed from about 8 00 kg of tires/month) . To address this situation, the RAeD Project a nd CORPOTUNÍA d eveloped a project , financed for 1 year by the Fondo de Financiación en Agrodindustria Rural (FIAR) of the Programa de Desarrollo de La Agroindustria Rural para América Latina y El Caribe (PRODAR), to offer a low-cost technological a lternative of greater efficiency (more panelaf hour), a nd less environmental impact. The proposal was developed with GIAR support in Santander de Quilichao and Caldono municipalities, where the improvement of two furnaces was co-financed . Furnace efficiency increased from 19 kg/h to 37 kg/h of panela.; wood consumption decreased 55 by 62%, bagasse by 36%, and tires were completely eliminated. Thus, based on the technical results, profitability models were made of eight different technological alternatives. After analyzing results with the GIAR, these were shared with about 60 producers of the two municipalities, which has motivated the community to improve its installations through its own funds or associations. 2 .2 .3 . Local Agrifood Systems of pane la sugar mills in the municipalit y of Santander de Quilichao Contributors: Carlos Chilito, Carolina González (CIAT) Collaborators: PRODAR, Didier Alberto Serna, Eyder Montero (CORPOTUNÍA) CIRAD has advanced research on Local Agrifood Systems (SIAL, the Spanish acronym}, which study existing interactions between local agrifood development and territorial dynamics. A meeting was convoked through PRODAR to finance case studies with these characteristics in Latín America. One of the case studies selected was the concentration of panela sugar milis in the municipality of Santander de Quilichao, Cauca department, Colombia, presented by the RAeD Project and CORPOTUNÍA. Santander de Quilichao has a concentration of about 64 panela sugar mills, at different technological levels (from agro-enterprises producing 15 kg/h to sorne processing 70 kg/h) with structured social networks, and communal action formally only beginning to appear, but consolidated. The study's objective was to deepen the understanding of the SIAL's structure, functioning, and dynamics and, with the actors involved , to jointly construct and develop integral action plans that permit improving competitiveness. The most outstanding results of the study are presented below. In this zone, transfer of knowing what to do has been mostly through the family, from grandparents to parents, and from these to their children; only on few occasions has it occurred between panela producers. In the las t decade, the NGOs of the zone have actively participated in this transfer of technology process, in many cases as the transfer channel. The SIAL is made up of d iverse actors that can be grouped in the following categories: • Main actors • Producers: of sugar cane and panela (Negroes, mestizos, and indigenes) • Public and prívate • NGOs: CORPOTUNÍA - CIAT (integrally support the process). institu tions UMATAs (Technical assistance). . Backwards linkages . Sugar can e prod ucers • Forward linkages • Intermediate and wholesale traders (supermarkets) . Final consumers • Other linkages • Local providers (oven builders, equipment builders) • Transporters . Collective actions • Association of paneteros (Municipal union). The convergence of a large number of producers to the panela trade. This SIAL presents important strengths, such as obtaining a 100% natural product as a result of using sugar cane from crops managed with clean production technology; a significant leve! of coordination and good relations between producers; the presence of local support services for the development of the AIR; and an important presence of 56 NGOs that support training, give technical assistance, and help attain resources for producers of the zone, among others. At present, the commercialization of panela continues to be a highly important activating element that generates determining links between panela producers of the region. Involved in this is the association of paneleros that has an interest in defending the interests of the panelero union in procuring the best living conditions for its members. The panelero union feels supported in its different areas of development (organizational, technological, and marketing), AIR being the motivating factor. Likewise, the improvement of technological processes through the processes of validation and technological adjustment by means of the GIAR continues to be a highly valuable element, bearing in mind that technology exists that has generated great interest in being adopted. On the other hand, sorne weaknesses are presented, such as problems of public order that can directly affect the process of association, diversity in product quality, and low level of investment and production in most of the panela sugar milis. The research of this SIAL is important not only for its scientific connotation, that is to say, the verification of hypotheses that are presented in turn to the Integrated Systems, but also for its importance as an axis of development in this zone that constitutes, directly or indirectly, a majar source of employment of the rural sector in the municipality, and is an option for increasing the aggregate value of agricultura} products, above all in such depressed zones as those described. For further information on this project see Section 3.2.2. 57 Output 3 lnformation, methods, and recommendations for the design and operation of efficient and effective organizational schemes for small-scale rural agro- enterprises and their support services The purpose of Output 3 is to provide information , methods, and recommendations for the design and operation of efficient and effective organizational schemes for small-scale rural agro-enterprises and their support services. Two levels of intervention are contemplated. Activity 3. 1 considers s implified business-oriented methods and tools for the interna! organization and operation of existing and new rural agro-enterprises. Activity 3 .2 looks at the social cohesion and integration of individual agro-enterprises, seeking to define option s for achieving successful linkages to expanding markets and for organization of raw material supply. This research is carried out through cross-case and cross-country analysis, and interaction with partners in the reference sites, and provides useful information on lesson s learned, best practices, and different options for the delivery of these services. Highlights • The PowerPoint presentations on business and marketing orientation and financia! analysis of rural agroenterprises are among the materials most downloaded from CIAT's web page. These tools are being up-graded and packaged more appropriately for our clients. • The research on social capital, collective action and community agroenterprise development has concluded with the preparation of policy briefs and the submission of a paper to World Development. Activity 3.1 Design options and recommendations for the organization and operation of rural agro-enterprises Tools and methods for strengthening the business and marketing orientation and financia! analysis of rural agro-enterprise activities 3 . 1.1 Development of RentAgro (user-friendly software for calculating financia! profitability parameters) completed Contributors: Carlos F. Ostertag, Sandra Rivera, Juliana Rizo, Diana Paola Valero and Sergio A. Mafla (Consultant) Collaborators: Fernando Rojas, Ángela Arenas, Germán Arias (Legal Advisor) RentAgro is a product that responds to the generalized lack of information regarding cost structure and profitability levels for agricultura! and agro-industria l projects and enterprises involving small farmers. Furthermore, many development organizations and small farmer organizations lack the necessary training to ma ke fina ncia) projections and calculate p rofitability parameters for production projects. These activities are becoming more important with the increased demand for and use of business plans. RentAgro, an interactive computer program, has been designed to help users without a financia! background prepare financia! projections and profitability models for agricultura) and agro-industrial projects and enterprises. The software is a user- friendly inter-phase in Visual Basic between the user and an Excel electronic 58 worksheet, and includes a Help tool. The complete software product includes a CD- Rom with a pamphlet, a 100-page illustrated user's manual, and a technical systems manual. The software features a step-by-step procedure to financia! modelling, including sub- routines for calcula ting working capital, investment, interest expenses and residual asset values. Among the main components are: investment and working capital; sales volume; conversion factors; variable costs; fiXed costs; interest and tax expenses, etc. The software will calculate numerous financia! parameters, such as IRR, NPV, gross margin, net margin , break-even point, and ratios such as sales per labour costs, etc. A multidisciplinary team including a business expert, two agro-industrial engineers, two computer programmers, a graphic designer, a lawyer andan editor have participated in the development of RentAgro. After pilot-testing the software beginning 2003, severa! problems or bugs were detected, sorne of which have a lready been solved. The installation procedure for the main versions of the Windows operational system is still unresolved. Another majar activity has been the re-conceptualization and editing of the user's manual, plus updating of the graphics. The user's manual will include a separate glossary to explain basic financia! terms and concepts in a simple and graphical fashion. Material from a PowerPoint presentation developed by C.F. Ostertag on development of financia! profitability models will be used. This financia! presentation is by far the most downloaded document in CIAT's web page in the last two years. Once the final version of RentAgro (software and user's manual) is obtained befare March 2004, the legal registration of RentAgro will be conducted and a marketing plan will be developed and executed. An ongoing discussion is whether this financial tool should be a free public good, and if not, what should be the basis for pricing it. 3.1.2 Development of a guide on the business and market approach for small rural producers Contributor: Carlos F. Ostertag, Osear A. Sandoval Collaborators: Vicente Zapata Most small farmer organizations in developing countries lack a sound business and market approach. The RAeD Project h as repeatedly observed this in the field and during training workshops and institutional strengthening processes with the participation of small farmer organizations and rural development agencies. Many of these organizations are initially founded with a social and community character, but when they evolve into economic and business organizations, they generally do not understand the importance of acquiring a salid business and market approach to fulfill their objectives. Furthermore, they lack the necessary direction and information to incorporate this essential approach into their organizations. Even many rural development agencies lack the basic expertise and knowledge to promote the business and market approach. Usually the successful performance of business activities is essential to provide long- term social benefits for members of these small farmer organizations. The purpose of this guide is to provide rural development agencies and farmer organizations with a simple manual or guide to help train them and their clients (small rural producers and 59 farmers), on what a business and market approach is and how they can acquire this key approach. The procedure for developing th is guide is as follows: l. Based on a bibliographical review, the content of existing PowerPoint presentations on the subject, prepared by C.F. Ostertag, was improved and notes were added. 2. A general structure and format was proposed for the guide, with the support of V. Zapata from CIAT. The sections included are: a. Importance of the business orientation in rural business development b. The administrative process c. The impor tance of the market approach d. How to acquire a market approach e. The marketing chain focus in rural agro-industry f. Business tools for p lanning and promoting change 3. The content of the guide is being developed . Text drafts are reviewed and edited internally in the RAeD Project. An effort is being made to keep the language simple and provide examples related to rural agro-enterprises. In addition, the idea is to avoid guides that are too long. 4. Exercises and the necessary annexes will be d eveloped. It is anticipated that a fina l draft of this guide will be ready before March 2004. 3.1.3 Deve lopment of a guide on marketing basics for rural agro-enterprises Contributor: Carlos F. Ostertag, Juan F. Barona Collaborators: Vicente Zapata Having a sound m arket approach is essential for adopting a business orientation. To have a market approach, the small farmer organization needs knowledge and expertise on marketing resea rch, marketing intelligence and basic marketing concepts and strategies. As in the previous point, mos t small farmer organizations and even rural development agencies are lacking this. Hence, the purpose of this guide is to provide rural development agencies and fa rmer organizations with a s imple manua l or guide to help train them and their clients (sma ll rural producers and farmers), on the fundamentals of marketing for rural agro- enterprises. The procedure for developing this guide is similar to the one presented in the previous point. The sections included in this marketing manual a re as follows: l. Introduction to ma rketing for rural agro-enterprises 2. Evolution of the bus iness concepts 3. The marketing process 4. Management of the four marketing variables S. The marketing plan The use of thi s manual can be complemented with PowerPoint presentations on each of the marketing variables (product, price, distribution and promotion) plus other key marketing functions (market research, new product d evelopment), which have a lready been developed by the RAeD Project in previous years. 60 It is anticipated that a final draft of this guide will be ready befare March 2004. 3.1.4 Development oí a guide for preparing business plans for rural agro- enterprises Contributors: Carlos F. Ostertag, Clara Feijóo Collaborators: Vicente Zapata, Proyecto Emprender (Ecuador), Fundación El Alcaraván, CIPAV, COPRACAUCA (Colombia) One of the results of the current trend in rural development towards a greater business and market approach is the growing demand for good business plans. This demand comes from credit and funding sources such as govemments, commercial and development banks, and international cooperation. Unfortunately, although secondary information on this topic is widespread, the RAeD Project has observed that rural development agencies and small farmer organizations usually lack the necessary knowledge and skills to prepare good business plans. This observation has been made during institutional strengthening workshops and processes with NGOs and small farmer organizations in the past five years. As a consequence, the RAeD Project had already developed PowerPoint presentations on the development of business and marketing plans, based on a bibliographical search. These tools have been used in previou s institutional strengthening processes with development NGOs. However, the RAeD Project has identified the u rgent need for better training materials focused on rural agro-enterprises. The package or set of products proposed for this purpose is the following: l . A special Business Plan format, accompanied by 2. A detailed guide for completing this format, 3 . A PowerPoint presentation with notes on Business Plans, plus 4. A complete example of a Business Plan for a rural agro-enterprise, in this case the sugar-cane processing association of Santander de Quilichao, located south of Cali, in south-western Colombia. 5. RentAgro is an important component in this product package because it is a key instrumen t for developing financia ! projections and calculating severa! profitability parameters, which are essential parts of a Business Plan. 6. The RAeD Project's p resentation on Strategic Planning can be used optionally, since it presents relevant material related to business plans (industry and business analysis, iden tifying strengths and weaknesses, opportunities and threats, stating the mission, identifying competitive s t rategies) . Work has already advanced in the development of products 1, 3, 4, 5 and 6. It is anticipated that the complete final draft of this training package will be ready befare April 2004. 3 . 1.5 Improvement of the presentation on strategic planning for rural agro- enterprise Contributors: Carlos F. Ostertag Collaborators: Proyecto Emprender (Ecuador), CIPAV, Fundación El Alcaraván (Colombia) 61 Strategic planning is a key instrument for promoting collective action in rural areas and also a sound business and marketing orientation among rural organizations and agro- enterprises. In year 2001, the RAeD Project had developed a PowerPoint presentation on this tapie for regions, communities and rural agro-enterprises. This year this presentation was improved by adding new material, especially in the section related to agro-enterprises. Together with the aforementioned presentation on "Development of Financia! Profitability Models for Rural Agro-enterprises", the presentation on "Strategic Planning for Regions and Agro-enterprises" is the most downloaded document in CIAT's web page. The RAeD Project recommends that training workshops on development of business plans should begin with a presentation on Strategic Planning because it introduces key concepts for the development of good business plans. A guide or manual on strategic planning will be developed in 2004. 3.1.6 Case studies of successful rural agro-enterprise s for national and export markets in Latin America Contributors: Carlos F. Ostertag, Lizbeth Lasso, Mireille Totobesola, Luis Hernández; C. Wheatley (consultant) Collaborators: Alvaro Nieto, Adriana M. Ochoa, Silvana Espinosa (consultants), Juan F. Barona, Trinidad Daza , Rupert Best This work centers in the analysis of success factors for eleven rural agro-enterprises in Latin America . Eight of the case studies correspond to rural agro enterprises in South America that export part or a ll of their products, whereas three of the case studies pertain to rural enterprises in Central America focused on interna! markets. Two versions are being complemented and edited. The shorter version, with summaries of the case studies, will be published, whereas the longer one containing the complete case studies will be placed in the project's web site as a public good. Currently, the analysis, conclusions and recommendations are being revamped and a timetable for publishing the shorter version is ready. It is anticipated that the longer version will be placed in the project's web site in befare February 2004 and the book containing the shorter version will be published befare April 2004. 3.1. 7 An appropriate method for strengthening the business and m a rke t o rientation of small fanner organizations a nd agro-e nterprises through a ction research Contributor: Carlos F. Ostertag, Diego Izquierdo, Juan F. Barona Collaborators: Walter Galindo (CIPAV), COOVERSALLES, Asociación de Productores La Montaña, Maria Eugenia Girón (F'UNDEBASA), Corporación Consorcio As already mentioned, the RAeD Project has identified that small farmer organizations in developing nations are lacking, in general, a sound business and market approach that seriously limits their abili ty to generate income and social benefits in a sustainable 62 manner. However, previous experience points out that the adoption of this business orientation by these types of organizations is usually a difficult and long-term process. In consequence, since 2002 the RAeD Project is executing a scheme termed "Action Alliance" with two small farmer dairy organizations COOVERSALLES (Versalles) and Asociación La Montaña (Barragán and Sta. Lucia), both located in the Valle Department in southwestern Colombia. Funded by PRONATIA, and Corporación Consorcio (a Colombian consortium of development NGOs), and in collaboration with CIPAV (a local rural development NGO), Action Alliances focus on business training, coaching, accompaniment and learning. The methodology for the Action Alliance scheme is as follows: l. Presentation of the proposed Action Alliance scheme to the two small farmer organizations involved. Sometimes, participants suggest immediate changes in content andjor sequence of modules. 2. Establishment, in each si te, of a guiding business-development committee. This committee acts as liaison between CIAT and other supporting institutions and the group. 3. Review of the content and sequence of the severa! thematic modules proposed in the scheme. Each module includes one or more weekly or bi-weekly workshops that are thoroughly documented, followed by the execution of tasks by participants, with coaching from the supporting institution. Results of the tasks are analyzed in the next module to promete learning. The original training- action modules included were the following: a. Getting to know each other b. Training in basic business concepts (business and market approach, marketing basics, a simple accounting method, financia ! profitability models) c. Strategic planning d. Leadership and team work e. Rapid market surveys f. Design of one or more business plans g. Execution of one or more business plans During the execution of the Action Alliance process, severa! modules were added, according to the needs of each of the farmer organizations. For example, in the case of Barragán and Sta. Lucía, a new organization had to be formed and, therefore, modules were added centered on analyzing alternative legal formats and selecting one, plus accompanying the group in the process of establishing the new organization. For both cases, a module on organizational strengthening was also added. 4. Definition of times and sites. The workshops can be conducted on a weekly or bi-weekly basis, with duration ranging from three to eight hours. Eight-hour workshops are best conducted in two days. 5. Execution of the various thematic modules. As already mentioned, sorne modules are added. In addition, the supporting institution (in this case the RAeD Project) also functions as a business advisor or consultant during the strengthening process and time has to be anticipated for this. 63 The following are sorne of the difficulties that have been encountered in the process: (a) in the case of Barragán, resistance to the concept of cooperative and demoralization due to the negative experience with the previous organizaban, COOAGALBASA; (b) resistance by many members to assume responsibilities within their organization; (e) the low or wide range of educational levels within each group; and (d) lack of continuity in participaban by small farmers , especially during the initiation of the process. Overall, the Action Alliance process has been relatively successful because COOVERSALLES is successfully selling cold milk for the first time; income from dairy production in the Versalles region has increased by at least 70%, the cooperative has expandcd its membersh ip by 30% and is actively searching for n ew markets for their milk and other agricultura! products such as fruits and vegetables. In the case of Barragán, despite a recent failure and demoralization , the remaining group has founded a new association (Asociación La Montaña) and is actively seeking new markets for milk, fruits, tubers and vegetables. The fo llowing points represen t key learning d u ring the process: (a ) both organizations have required a leader or group of leaders to maintain commitment to training and action activities; (b) the need for- and positive impact of business training has been amply confirmed; (e) less-educated farmers tend to participate 1ess; (d ) the selection process of participants has to be improved to guarantee more continuity and commitment; (e) the Action Alliance process should be shorter and more intensive; (1) the relation between b u siness and organ izational strengthening is clase but has to be better understood, and (g) group motivation and membership has increased once the organization has demonstrated business progress and results. 8oth the Colombian Min istry of Agriculture and the Valle Department's Secretariat of Agriculture have expressed interest in adopting this methodology for strengthening the business and market orientation of small farmer organizations. Activity 3.2 Design options and recommendations for enterprise linkages in the agribusiness chain 3.2. 1 The Systemwide Program Collective Action and Property Rights (CAPRi)- funded study "Social capital, collective action, and community agro- enterprise development: understanding the linkages that contribute to poverty alleviation and sustainable natural resource management" Contributors: Nancy Johnson (BP-1); Carolina González and Mark Lundy Research under the CAPRi funded initiative finished in October 2002 with a final workshop between researchers from CIAT, CEGA and CCI in Cali. Fieldwork carried out by the Colombian partner organizations generated data on fifty different agroenterprise firms located in five distinct regions of the country. Quantitative analysis of the study results showed the relative importance of social capital as compared to other productive assets. When assessed as a function of firm income, for example, increasing levels of trust among market chain actors was at Jeast as important to income as capital investments in machinery. During 2003 these data were presented both internally at CIAT as well as in a selected paper at the 25th International Conference of Agricultura! Economists in Durban, South Africa 16-22 August. Short policy briefs in both Spanish and English were published and an article based on the a nalysis of the results submitted to World Development where it is in review. The initial study is available at http://www.capri. cgiar.org/pdf/capriwp26.pdf. 64 3.2.2 Development of conceptual and methodological frameworks for the analysis of local agrifood systems (SIAL the acronym in Spanish), clusters, and networks Contributors: Carolina González, Viviana Sandoval, Mark Lundy and Franc;ois Boucher. In 2002 SIAL work focused on the design and implementation of seven case studies in Ecuador (2), Colombia (3), Panamá (1) and Costa Rica (1 ). CIAT provided support for methodological design and field level implementation as well as backstopping to the individual researchers involved in the stud ies. Specific inputs included participation in the research design, training of individual researchers in the use of proposed tools and methodological backstopping in regards to the u se of participatory methods. Final case studies were submitted to CIRAD in February 2003. CIAT researchers Carolina González and Viviana Sandoval completed two studies in Cauca, Colombia. The frrst, carried out by Carolina González focuses on the case of sma ll-scale panela processors in the Municipality of Santander de Quilichao while the second, led by Viviana Sandoval, revisits the case of cassava sour starch. Key results show that while these cases meet the majority of necessary conditions to be considered a SIAL they present severe limitations in terms of collective action, organization and a bility to compete in a globalized world . Both cases will be included in further publications on the SIAL topic led by Franc;ois Boucher of CIRAD. 65 Output 4 Institutional models and policy options for establishing and strengthening rural agro-enterprises and their support systems at the m icroregionallevel The objective of Output 4 is to generate appropriate models, instruments, and policies to facilitate the process of establishing a sustainable agribusiness system a t the microregional (municipality, watershed, etc.) level. These systems a re composed of dynamic, market-oriented agro-en terprises and businesses, and appropriate local support services, both of which build u pon localleadership and externa! support. In the process of building the local agribusiness system, it is important to maintain an updated business portfolio, create and strengthen loca l capacities, and design and execute corresponding research and pre-investment projects. Activity 4.1 focuses on studying methods for integrating production , post h arvest processing, and marketing functions around a given product or commodity with appropriate organization structures and support services. Activity 4 .2 centers on the design and s trengthening of a local support system for th e development of rural agro-enterprises within a given territory. This system, made up of business development support services, includes support for new business ideas and a mechanism for identifying, setting priorities, and developing m arket opportunities through the execution of integrated agro-enterprise R&D projects. Highlights • Field guides for Integrated Agroenterprise Projects (IAPs) and the formation of local interest groups for rura l enterprise development published in Spanish. These are being translated into English for validation in E and S Africa and Asia. Activity 4 . 1 Design conceptual frameworks and m ethodological options for organiz ing and integrating production, processing, and marketing functions for the establishment a nd/ or strengthening of rural agro- enterprises 4.1.1 Conceptual framework for rural enterpris e development w ithin a territorial context deve loped and disseminated. Contributors: Mark Lundy Collaborators: Carlos Ostertag, Rupert Best, Verónica Gottret The projec t d eveloped a set of principals for rural enterprise development and a logical framework of interconnected methods and tools to achieve this goal. Key principals for successful rural enterprise d evelopment identified by the project include: (a) an entrepreneurial, market oriented focus ; (b) participatory decision-making with partners; (e) a focus on strengthening existing local skills as well as building new ones; (d) a search for consensus a mong multiple actors; (e) equa1 access to opportun ities for participating groups, and; (f) social, economic and environmental sustainability. The territorial approach proposed by CIAT seeks to contribute to the development of local capacities to facilitate rural enterprise development in a flexible, dynamic an d coordinated fashion. This a pproach includes four components: 66 l. The identification and strengthening of a working group composed of diverse local organizations with common goals and strategies for rural enterprise development. 2. Identification, management and development of market opportunities available to the region. 3 . Participatory production to market chain analysis, consensus building with diverse actors along the chain and design of a shared strategy to increase chain competitivity. 4. Identification and promotion of appropriate and sustainable business development services and markets for these services for the region. The entry point for this approach is the identification and consolidation of a local working group. The other areas of work are then subsequently developed in collaboration with that group. Formation of a local working group The formation of a working group around the theme of rural business development is an iterative process that varies depending on the organizations present in the area, previous experiences and the necessities of the local population. In our experience, these groups usually include strong representation from producer organizations and NGOs with somewhat lesser participation by public and prívate sector actors. Membership in the interest group and the organizational forro are decided by the participants, as is the demarcation of the territory in which the group seeks to work. To facilitate these decisions, two specific activities are carried out with the working group at the beginning of the process. First, a shared profile of the territory including differentiated livelihood analysis, biophysical, social, organizational, institutional, economic and political concerns is developed with the use of participatory rural appraisal tools and existing secondary data. The collection and analysis of this information provides an arena for consensus building and eventually decision-making among group members. Based on this information, an action plan is developed which includes the elaboration of a shared vision, mission and values, organizational structure and rules and an initial action plan. At this stage, tapies like market orientation (producing what can be sold as opposed to selling what we produce) , entrepreneurship, participation and vertical integration versus business alliances are debated . This process allows group members to discuss and analyze past experiences and decide on what actions are appropriate in the future. Once the diagnostic is carried out and the action plan approved, a final step in this process is the design of a simple, needs based monitoring, evaluation and learning system. Identiflcation and management of market opportunities Once the working group exists, one of the first questions is what products andjor areas are most likely to generate positive results for the region. Answering this question requires two types of work: specific market studies and the on-going management of market intelligence. In the first area, CIAT has developed a market opportunities identification manual (Ostertag 1999) which seeks to respond to three main questions: (a) what products - either existing or novel - show strong market demand in terms of increasing volumes and prices; (b) which of these products can be produced in the region given the biophysical characteristics, infrastructure, access to productive resources and existing livelihood strategies; and, (e) of those products identified in (a) and (b), which are of interest to smallholders. The end result is a portfolio of options, which respond favorably to the three questions. The size and diversity of this portfolio varíes depending on market conditions, biophysical and social feasibility and farmer interest but normally includes from five to thirty possibilities. 67 In the area of market intelligence, CIAT seeks to build local capacity to generate, manage and disseminate key market information on a permanent basis. This capacity involves not only direct market visits by interest group members but strategic alliances with national market information system programs and the elaboration of dissemination tools appropriate to the rural context. The range of tools developed by CIAT in this include the following: Table 4 . 1. Market Opportunity and Intelligence Tools Tools Aspects Marke t Rapid Marke t Market Visits Local Market Opportunity Study lntellige nce ldentification System Duration 3-5 months 1-2 months 1-4 weeks 3-4 months start-up Frequency Periodic Periodic Periodic Permanent Thoroughness 4-5 2-3 2 2-4 (1-5) Complexity 4-5 2-3 1-2 2-4 (1-5) Local capacity versus Initially 20/80, externa! 30/70 50/50 70j30 facilitation then 50/50 (%) Focus on new 4-5 3 2 3-4 products (1 -5) Source: CIAT Agroenterprise Development Project The end result of a market opportunity identification study is a basket of possible options for development in the selected region. At this stage, the working group presents these options to farmers representative of diverse livelihood strategies who prioritize these options based on local criteria in a participatory fashion. In the past, local selection criteria have included strength of market demand, product profitability, environmental impact, perceived ex ante development impact, organizations interested in the product among others. These criteria vary by region and livelihood group. Using local criteria the market options are ranked and a decision made on which option(s) to pursue first. Integrated Agroe nterprise Proj ect s At this stage the working group moves into the participatory analysis of the selected production chain using the Strategies to Jmprove Chain Competitivity with Smallholders field guide developed by CIAT (Lundy, 2003). This method facilitates the analysis of the market chain by the actors directly involved and, through this process, generate collectively owned information and a consensus for action. The scope of this analysis is somewhat broader than a typical sub sector approach in that includes not only the farm to market chain as such (production, post-harvestjprocessing and marketing) but also two important cross-cutting areas: business organization and the provision of business development services. Business organization and support services present in a farro to market chain are key to understanding the possibility of irnproving chain 68 performance through the effective use of existing skills and services as well as identifying important bottlenecks that inhibit such improvements. The method starts after the selection of priority market chains based on local criteria and information generated in the phase of market opportunity identification. After that, specific market contacts are identified and a simple database constructed with relevant information about both market contact s (name, address, phone and others) and product conditions (quantity, quality, frequency, price and presentation). This is complemented by a broader identification of relevant actors in the phases of production, post-harvest andjor transformation, commercialization and the provision of business development services to participa te in the analysis of the chain. Information is gathered on the farm to market chain with representatives from the different links using participatory tools, focus groups and semi-structured interviews. Initially each the participants in each section of the chain work in separate small groups in an effort to avoid undue influence by relatively better-informed actors. The information is reviewed by the actors, who identify and analyze critical points and propase solutions. At the end of the process, facilitated consensus-building workshops are held where all information is shared and discussed with the various actors with the goal of identifying positive synergies among actors, common interests and critica! points where strategic investments can achieve high returns. Figure 4.1. shows the steps used in this analysis. Figure 4 .1. Steps in the IAP method Identify market contacts Identify and convene actors Market chain diagnosis Analyze critica! points - After the process of negotiation with actors occurs, an action plan is drafted which includes both research and development activities in the short, medium and long term. The goal of this action plan is to improve the competitivity and sustainability of the chain through the development of a common business development vision among various actors. Once a common vision has been established, specific development or research activities may be disaggregated into discrete project s depending on funding opportunities and donar interest while conserving a clear idea of where everything fits together. 69 Provision of appropriate and sustainable Business Development Services A final area of work in the CIAT approach is the provision of appropriate and sustainable Business Development Services or BDS. Based on the needs identified in the product specific farm to market chain analysis, a third CIAT methodology is currently in develop ment to promete the prov1s10n of effective BDS in rural communities. This focus covers fmancial, non-financia], formal and informal services and seeks to build functional markets for BDS that link specific demands with suppliers either at the local, regional or n ational level. By usin g the farm to market chain as a framework, the BDS services selected for strengthening or implementation can be clearly and con cretely identified, quan t ified and impact measured. Fieldwork is on going in Honduras and Colombia on this tapie but the basic focus is shown in Figure 4.2. Figure 4 .2 . Creating markets for BDS in rural communities: methodology Producers or producer organization decides to participate .--------------T~-------------. ..--.,..-----i: Participa tory m arket c h a in a na lysis :----, [ Exis t ing servlces 1 1 Ide ntiflcation of s upply 1 a nd demand Q uality control , t rainin g a nd certiflc a tion of services Externa! support and local organizations Institutional framework Sorne critica! points in the area of BDS are the following: Prot o t ype d eslgn (segme n ted c llent d emands) S e rvice proflle d e v e l o p e d for p oss lble prov ide rs Publlc o ffe r l n g of service to possible pro vide rs Training and certiflcation of s ervice p roviders Pilo t p h a s e o f service- use of declining d emand s ide sub sid ies (vouch e rs ) BDS should be seen as a for-profit activity that complements on and off-farm employment. Potentially, functional BDS markets could not only inc rease local economic competitivity but also provide important opportunities for semi-technical employment in rural areas. Jdentification arid inclusion of informal service providers (producer experts in technical assistarice, for example) as well as formal (technicians and extensionists) in market and product demarid development. An effective local BDS market will probably consist of mar~y informal actors supported arid complemented by a lesser number of formal ones. 70 • Need to improve the effectiveness of BDS, both formal and informal, with the goal of increased competitivity and sustainability. BDS should help facilitate positive gains in competitivity rather than maintain the status quo. • Use of partial and targeted subsidies to p romote innovative services. Subsidies should be focused on partially covering s tart-up costs (market studies, capacity building, promotion, etc.) and assessing and disseminating the impact of the services ra ther than subsidizing their direct provision. Services should strive for profitability but sorne may require on-going support given their strategic nature. Initial work is being carried out in with support from the New Zealand Agency for Intemational Development (NZAID) in this area in Honduras and Colombia. This concep tual framework continues to be validated with partners in Latín America, S and E Africa and SE Asia. 4.1.3 Preparation of a field guide for the formation of working groups in rural enterprise development Contributor: Mark Lundy Collaborators: Verónica Gottret, Rupert Best, Coletah Chitsike (CIAT Africa), Félix Jiménez (CARE Nicaragua), Maria Elena Mendoza (CARE Nicaragua), Carlos Ulises Olivas (CARE Nicaragua), Tom Remington (CRS Africa). An additional part of the tool kit for rural enterprise development in a territorial context is the field guide for working group formation . This text - currently in a working draft form - has been designed for u se by development partners in Central America and Africa in the formation of local working groups for rural economic development. As such the text is undergoing revision and improvement based on the results of field activities in Nicaragua and East Africa. An improved version of the guide should be available for wider dissemination and innovation in November 2003. The following box provides an initial idea of the content of the guide and how it will be eventually distributed by CIAT. Table 4 .2. Details of the Interest Group Formation for Rural Enterprise Development Manual 71 4.1.4 Development of a methodology for executing rapid baseline studies related to rural development Contributor: Carlos F. Ostertag, Diego Izquierdo Collaborators: William Cifuentes (Corpotunía), Verónica Gottret, Sandra Rivera Related to 4.1.3 above, the objective of this activity was to propase and implement a methodology for execu ting rapid baseline studies. This request carne from Corpotunía, a local development NGO that was hired by the Interamerican Development Bank (IDB) to execute an income-generating project in the hillsides of the Cauca Department, in southwestern Colombia. The terms of reference required the preparation of a baseline study for five towns in this region, one being the control. Similar studies will be conducted after the first and second years of project execution and will be the basis for monitoring and evaluation of project impact. The RAeD Project proposed the following methodology, which was executed m two months: (a) Planning of baseline study with Corpotunía, involving a sample of 100 small farrners and including the design of a summary matrix; (b) Collection and analysis of secondary information (municipality development plans); (e) Design of questionnaires; (d) Determination and location of the sample; (e) Contact a nd training of local interviewers; (f) Collection of primary information; (g) Contact of person responsible for processing information (h) Preparation of a 40-page the final report with the summary matrix and conclusions and recommendations Lessons learned include the following: (a) interviewers should be local to speed the process and obtain more reliable information; (b) the application of the questionnaire should take a maximum of 40 minutes; (e) open-ended questions are essential, although they are more difficult to process; (d) the person in charge of information- processing has to dedica te 100% of his time; and (e) this same person should participate in the questionnaire design. The experience of this activity will be incorporated in the design of appropriate base line information su rveys that can be used within or complementary to the guide on interest group formation (see Section 4.1.2 above). 4 . 1.4 Empirical experiences on the design and development of Strategies for Improved Chain Competitiveness Contributors: Mark Lundy, Marco Antonio Vásquez, William Cifuentes (CORPOTUNIA) Collaborators: Benjamín Ferreira (Comité Local para el Desarrollo Sostenible de la Cuenca del río Tascalapa [CLODESTJ) 72 The formulation of a strategy to irnprove chain competitiveness is the result of the application of the methodology of the same name. Such a strategy constitutes an action plan for th e improvement of the competit iveness of a value chain formulated with the participation and perspectives of multiple stakeholders. It may include activities in both research and development in production, post-harvest j transformation, marketing, business organization andj or support services. Final strategies include short, medium and long-term activities, employ local or externa! resources and may be presented as a comprehensive p lan or in discrete segments to potential fmancing agencies. This method facilitates the development of a common vision among value chain actors for th e long-term, systematic strengthening of their economic activity. A total of twenty-six strategies for increased competitivity have been formu1ated since the design of the method began in 1999. A Field Guide was published in Spanish in October 2003. As a result of direct fieldwork, the following principals have been identified as critica! for the formulation and implementation of competitivity strategies (Table 4.3.). Table 4 .3 . Principals for the formulation of Strategies for Improved Chain Compe titiveness 4.1.4 Pre paration of a field guides for Strategies for Competitiveness Contributor: Collaborators: Mark Lundy María Verónica Gottret, William Cifuentes (Corpotunía), Carlos Félipe Ostertag and Rupert Best After a various field level experiences- as detailed above- the PDAER team developed a field guide on for the design and negotiation of Strategies for Improved Chain 73 Competitiveness. This guide - available on the Project's Web Site - provides a systematic set of methods and tools designed to facilitate a participatory multiple stakeholder analysis of a specific value chain. End users of this field guide are expected to be extension agents and agencies, NGOs and others interested in p romoting rural enterprise development within a territorial context. Use of this guide with development partners in Central America and Africa commenced in 2003 under the assumption that the text as such is a general guideline of what could be done to promote collective action to improve value chain effectiveness and not a 'recipe book' to be strictly followed. Within the context of Learning Alliances (see Output 5 for further details) it is expected that this tool will be adapted to the needs and capacities of local partners and thus lead to innovative Iearning processes in the area of val u e chain analysis. 4.1.5 Development of a methodology for accelerating the design of regional chain-strengthening projects Phase 1 Contributor: Carlos F. Ostertag, Diego A. Izquierdo and Luis Hernández Collaborators: Emma Gutiérrez and Mario Goethals (CTB), Raúl Navas and Fernando Guamán (FEPP), Hipatia Nogales (SESA), Norma Rodas (Ministerio de Agricultura y Ganadería- MAG) Phase 2 Contributor: Alain Laigneaux (CTB-HQ), Carlos F. Ostertag and Luis Hemández Collaborators: Emma Gutiérrez and Mario Goethals (CTB), Raúl Navas (FEPP), Hipatia Nogales (SESA) The Belgium Technical Cooperation of Ecuador (CTB) requested our collaboration in analyzing four segments of the meat chain in northern Ecu ador (cattle, pigs, lamb and guinea pigs) or Phase 1, with the purpose of formulating an IAP to strengthen this key food chain in northern Ecuador (Phase 2). Since CTB imposed time restrictions for this IAP design process (three months), the RAeD Project had to develop and execute an alternative methodology that could not encompass meetings with al! of the actors in the meat chain. Therefore, the methodology considered meetings with small producers and separate interviews of the key actors, inclu ding the support system, along the four segrnents of the meat chain. However, it should be noted that severa! actors along the meat chain did meet and participated during the planning workshop of Phase 2. The methodology followed for the analysis of the meat chain segments (Phase 1) was the following: (a) Establishment of the research team; (b) Development of a graphical hypothesis relative to the links and actors in the Ecuadorian meat chain; (e) The basic strategy was to characterize the actors in each of the chain links and to study their relations with actors in the previous and next links; (d) Design of questionnaires and interview guides; (e) Design and execution of a parallel study on meat and animal fiows from the Colombian border; 74 (f) Meeting in Quito with CTB and collaborating government and non-government agencies to plan the study and gather key information on the meat sector; (g) Field work involving interviews in Ecuador with actors participating along the four meat segments; (h) Meeting in Quito and !barra with collaborating institutions to inform of progress; (i) Definition of report structure and information processing at CIAT; (j) Development of a presentation summarizing the key results of the meat chain study, including characterization and diagrams of the four meat chain segments, key bottlenecks along the chain segments, and the corresponding recommendations; (k) Preparation of a draft report; (1) Two workshops with local institutions and experts to present key results and obtain feedback; (m) Modifications and improvements of the final report (n) Review of final report by the RAeD project and CTB; (o) Preparation of fmal report The methodology followed for Phase 2, centered in the formulation of an action plan to strengthen the four meat chain segments and eliminate key bottlenecks identified, was as follows: (a) Establishment of working team for this phase (CTB, two members of the RAeD Project plus two local experts); (b) Coordination meeting in Quito to define the format of the formulation report, timetable and responsibilities; (e) Workshop with small meat producers, requested by FEPP (a national NGO that had originally suggested this project formulation); (d) Planning of workshop for developing the project's logical framework; the basis for this workshop were the results of Phase 1 (main constraints per chain link and proposed strategies for their solution); (e) Execution of the three-day workshop in Quito with two facilitators and development of the logical framework; participation of development agencies, small meat producers, directors of state-managed meat-processing plants, and government agencies. (f) Preparation and presentation of the four-million-Euro project profile for strengthening of the meat chain in northern Ecuador, for approval by the governments of Ecuador and Belgium; (g) Preparation of the final formulation report by CTB and the RAeD project. The resulting project has a budget of four million Euros. The experience gained by the RAeD team through participation in this type of activity provides us with an important insight into the demands of major financing agencies, and their needs in terms of tools adapted to different circumstances. 75 Activity 4.2 Develop guidelines for the design of local support systems for promoting agro-enterprises that contribute to sustainable development at the microregional leve! 4.2.1 Feasibility study for the local provision of support services for rural agro- enterprises in Yoro, Honduras and Cauca, Colombia Contributor: Mark Lundy, Carlos Ostertag Collaborators: Chris Wheatley (consultant); Rupert Best; William Cifuentes (CORPOTUNIA); Rodrigo Vivas (CIPASLA); Marco Antonio Vásquez: and Carlos Chilito. This activity began at the end of 2002 as part of a new NZAID funded project to promote the provision of sustainable market based support services to local value chains in Cauca and Yorito. During the implementation of the current agroenterprise projects in the communities the inadequacies of support services have become a major constraint to the long-term sustainability of the new enterprises. The traditional public sector service providers in rural areas (e.g. public sector agricultura! extension) are no longer present (due to privatization and a focus on larger scale fanners who can afford to pay consultancy fees), while other services have never been available locally through the public sector (e.g. marketing services). Funds were available in the existing project to perform a rapid diagnosis of existing service providers, an d this revealed that sorne demand-based services are provided informally, but are of poor quality. The potential for a more demand-based provision of local services could exist, but the existing project (of the consortia and CIAT combined) does not include this within its scope (beyond the initial diagnosis already conducted). Hence, this work s tarted with a feasibility study for the establishment and initial operation of local support services for small rural agro- enterprises, which include pilot schemes in Yoro and Cauca. During early 2003, local consultants in both Honduras and Colombia implemented a CIAT designed tool to analyze and understand local markets for BDS both from the supply and demand side. Participatory tools were u sed with selected supply chains- five in each site - as well as with a number of existing rural enterprises and both for profit and not for profit service providers. The novel nature of the work led to a slower than expected implementation process in both sites. However, the fmal results of the studies - which feed into the design of strategies to improve the provision of BDS in each site- are complete and highly relevant. Result s from this work in both sites paint an interesting picture of the current status of BDS in these rural communities. For profit service firms in both sites tend to focus on tangible services with generally acceptable results but significant limitations in coverage due to transaction costs, distance and the ability of the client base to pay for the services. Not for profit service providers offer less tangible services at little or no cost for their clients but have sever coverage limitations (limited to project beneficiaries) and serious sustainability problems (service provision is highly dependent on donor funds). In both sites, a clear gap exists between demand and supply. While demand - as described by diverse clients - moves towards "non-traditional" services such as legal consulting, accounting, processing, new product development and marketing, most service providers tend to continue to offer traditional, generic services with little or no innovation. A second phase of the project will begin in late 2003 under the aegis of promoting better links between service demand a nd supply. To this end, project funds will be targeted 76 • towards pre and post-service areas through a competitive grant mechanism managed by local agroenterprise working groups. Activities eligible for pre-service funding include the preparation of a service providers guide, market studies for services, capacity building among new or existing service providers, acquisition of tools or materials, service promotion and short pilot provision phases. Post-service funding is focused on evaluating service effectiveness, disseminating these results to clients and facilitating more effective communication between suppliers and their clients. In both cases, project funding will cover only a percentage of total cost with the remainder to be picked up by the providers themselves. During 2004, the methods used in this project and the initial results obtained will be systematized, a draft field guide prepared and a training course run in Latin America. 4.2.2. Analysis of a rural business development scheme in Honduras (AGROPYME) Contributor: Collaborators: Carlos F. Ostertag, Alberic Hibon (Pymagro j SDC Peru), Edwin Rodríguez (consultant) José L. Sandino (SDC Nicaragua); Michael Velten, Iván Rodríguez, Cristiana Gamero (AGROPYME) SDC requested that the RAeD Project lead a three-member Externa! Review (ER) team for this innovative SDC-funded program, AGROPYME, which is being executed by the intemational Swiss NGO Swiss Contact in Honduras. AGROPYME represents an innovative scheme for promoting rural business development, with objectives and strategies similar to those of the RAeD Project 's, especially regarding the emphasis on a business and market orientation, and on the need for strengthening local RBDS. Therefore, this request was considered to be very pertinent for supporting the RAeD Project's research agenda. The methodology followed by SDC and the ER team was the following: l. SDC prepared the Terms of Reference and selected the ER team (three intemational consultants); 2. A briefing meeting was conducted and key documents were handed to the ER team. 3. The ER team defined a work plan, responsibilities and a report structure, the latter based on SDC's Terms of Reference. 4. The ER team carried out fifteen interviews with AGROPYME staff, institutional partners, SMAEs, and NFS providers, and visited sorne of the program's sites in Honduras. 5. Secondary information consulted included program reports, plans, promotional material, contracts, letters, agreements and information on cases and projects. 6. The ER team met on severa! occasions to structure the final report's conclusions and recommendations. 7. The RAeD project representative, head of the ER team, prepared the final report and a PowerPoint presentation, both submitted and accepted by SDC. The objective of AGROPYME is to improve the competitiveness of small and medium transformation and marketing enterprises in Central America and to strengthen the supply of non-financia! services (NFS) supporting these agro-enterprises. The objective of the First Phase (Orientation), which started at the end of 2001, is to define and validate working hypothesis, strategies and methods to improve the competitiveness of small and medium agro-enterprises (SMAEs) and to generate synergies between supply and demand of NFS for the processing and marketing of agricultura! and non-timber forest products, taking into consideration environmental and gender aspects . 77 The AGROPYME team is very compact, comprising one international staff, two national support staff, and a technical back-stopper. The activities conduced by AGROPYME include the following: To strengthen SMAEs, favoring those that can have a potential impact on small- farmer households in marginal areas. To strengthen the supply of specialized NFS for SMAEs in the processing and marketing of agricultura!, animal and non-timber forest products. Participation in the coordination and exchange among similar programs and projects, as well as strengthening of a policy dialogue. The hypotheses implicit in the AGROPYME strategy, proposed by the externa! review team, are as follows: • Hypothesis l. It is necessary to strengthen the supply of NFS to promote competitiveness of the SMAE sector. Hyp othesis 2 . In Honduras, there exists a sufficiently large base of agricultura! and agro-industrial SMAEs to stimulate the market for NFS. This hypothesis was rejected early in Orientation phase and forced a change in the program's strategy. • Hypothesis 3. A subsidy for the demand and supply of NFS is required due to the low buying intention of SMAEs and the low quality of avai1able NFS. Hypothesis 4. If NFS are freely hired by the demanding SMAEs and under a co- fmancing scheme, their pertinence and quality will increase s ignificantly. Hypothesis 5 . If there is good information on final product market demand and a good business plan, it is feasible to access available financia! services or donations. Hypothesis 6. 1t is possible to substitute part of the fresh vegetable imports with a competitive supply from local small producers. Hypothesis 7. 1t is possib1e that groups of SMAEs increase their income, u nder contracts with companies specializing in the export of products for n iche markets. The general AGROPYME strategy encom passes the following: Focus on SMAEs based on explicit selection criteria. Identificaban of opportunities for SMAE products (import substitution, export windows and market niches) • Business p lan development, as an instrument for obtaining financing from other sources, such as the official banking system and international cooperation. Strengthening of SMAE's management capacity. • From an inventory of NFS providers, towards the strength ening of sorne NFS providers according to demand from SMAEs. The main recommendations offered by the Externa! Review Team for the improvement of AGROPYME were the following: More emphasis should be placed in the validation of the implicit hy potheses, methods and in learning processes; The program should address environmental and gender issues in a more formal fashion; 78 • • • • Product chain analysis to identify key bottlenecks should be includedjimproved befare or during business plan development. The program should work in at least one case involvíng processíng of agricultura] products. The MOl process should be more structured and systematic. The program should place more emphasis on coaching and on strengthening management skills of participating SMAE managers. Likewise, the program should broaden the number of NFS providers that it strengthens. The monitoring and evaluation system should be improved and much more time should be dedicated to its implementation. The RAeD partícípatíon in this exercise has been important in generating questions that our own research needs to incorporate as we start to look at altemative RBDS models (see section 4 .2.1 above). 4.2.3 GIS-based decision support tool that integrates market opportunities, land use potential, and income-resource conservation trade-offs for defining most appropriate locations for rural agro-enterprises Contributor: Collabora tors: Mark Lundy, Marco Antonio Vásquez Orlando Mejía (PE-3) Smallholders in Latín America have limited negotiating power in regards to other market actors due to information asymmetries regarding prices, quantities and quality and markets in general. As a result their goods are sold for prices that represent little or no profit. This situation is especially acute given the net decline of many commodity prices, in real terms, over the last five years and the constant increase of input costs. If these farmers had appropriate information they could take advantage of market price windows, diversify into new, higher valu e crops, produce both appropriate quality and quantities, sell to specific market niches with better prices and identify opportunities for simple (grading and sorting) or more complex (processing) options of value adding. Work on a tool to provide information of this type to smallholders and their support agencies has advanced to the point of a beta ver sion of the software for Honduras. The too] is called IntelAgro (see Figure 4.3.). The resulting product mixes GIS tools for agroecological zoning and a market intelligence system to create a hybrid that will provide more appropria te information for farmers and support agences. Information generated by the tool has been provided to partner organizations in Honduras since February 2003 and the test version of the software will be distributed in early 2004. 79 Figure 4 .3 . The software is very much at prototype stage, and further development is required in the algorithms for predicting crop distribution (likely to be linked with GEMS), the quantity and quality of market data, and in the user interface. The following are being developed: • • Dynamic probabilistic predictions of crop performance for the region, which can be improved given user input of site-specific traits (e.g., local soil conditions). Information on accessibility to markets given crops' perishability. Automatic updating of market data given Internet access, or manual means of importing updates divulged on diskjCD-ROM. Creation of user proflles so that users can save their specific details . Multi-variable prioritizing of potential crops for each site based on crop performance, market access, economic potential, and others. System for users to plan their planting dates, examine possible prices at harvest and compare diverse markets. All functionality will be hierarchical in ease of use for non-experienced users, while more eager users are presented with options of greater detail and complexity. 80 Output 5 Enhanced capacity to design and develop successful agro-enterprise projects, within CIAT and other institutions The purpose of Output 5 is to enhance the capacity to design and develop successful agro-enterprise projects, both among our partner institutions and within CIAT itself. Activities are contemplated at three levels. Activity 5 .1 corresponds to the training of technical personnel in client institutions an d organizations that are active in planning, in research, or in the promotion of rural agro-enterprise development. This training is provided through formal courses offered by CIAT and its partners. Activity 5.2 is aimed at enhancing the awareness of the contribution that rural agro-enterprise development can make to sustaina ble rural development. Documenting the impact of the investment in research and development in this area, and providing efficient means for disseminating the results of the work among different stakeholder groups, and particularly among key govemment and prívate sector decision makers achieve this. Finally, Activity 5.3 contempla tes the consolidation and creation of strategic alliances that provide the basis for developing, in an integrated fashion, the project products and projecting them over a wider area. Activity 5.4 deals with interna! development and extemal promotion of the project Highlights • The 'Leaming Alliance' model between RAeD and development institutions with a view to enhancing the rate of uptake of innovative concepts, methods and technologíes that are aimed at improving the competitiveness of smallholder produ ction con tinues to attract interest among our development partners. New alliances have been established in Central America and the Andean Region. The 2nd CIAT - Southeast Asían Graduate Studies and Research Center for Agriculture (SEARCA) - Users' Perspectives with Agricultura! Research and Development, Manila, Philippines (UPWARD) - Postharvest Technology Institute (PHTI), Vietnam course on "Sustainable Agro-enterprise Development in a Micro- regional Context" was held in Ho Chi Minh City, Vietnam May and June. Twenty- four participants from five countries in SE Asia participated in the 3 -week course. A third course is scheduled for 2005. • The decentralization strategy of the project has been strengthened with the start up of the Small-scale Agroenteiprise Development in the Uplands of Lao PDR and Vietnam. The project now has personnel and activities in Latin America, Africa and Asia. The Andean Region has been successful in selling services to donar and development partners, generating over US$ 30,000 for investment in the continued development of strategic research products, such as ATIS, RentAgro and the business development support tools. Activity 5.1 Train national personnel in the design and execution of rural enterprise development projects 5 . 1.1 Learning Alliances for out scaling and action research implemented Traditionally, the links between agricultura! research and development institutions associated with the small farm sector have been weak, with a poor record of adoption of 81 innovations in terms of either technologies or methods, coupled with non-existent means by which the results of successes or failures can be fed back to the research process. While this deficiency is now recognized and great efforts are being made to redress this situation through proactive collaboration between public and prívate service providers, in particular the publicly funded research institutions and the NGO sector, there is a need to make a radical change in the way in which knowledge and mutual leaming experiences are created and shared between the two groups. The project is attempting to put into practice a new model of mutual learning between research and development institutions, with a view to enhancing the rate of uptake of innovative concepts, methods and technologies that are aimed at improving the competitiveness of smallholder production . The model is based on a) the identification of a specific development need or demand, and b) the definition, and subsequent implementation, of a set of activities over time that involve a process of learning, putting into practice what has been leamt, reflection and feedback on what has worked and what has not worked, followed by a further cycle of learn ing, practice, reflection and feedback, etc. This a p proach differs substantially from the common practice of attempting to 'train' development practitioners in new methods and tools in one-off training courses of short duration. During 2002 and 2003 concrete activities in this area were developed with CARE Nicaragua, CRS East Africa and with the partners of the Participatory Research Project (IPRA). New projects have been developed for working in four countries in Central America and with CRS in the Andean Region. l. Learning Alliance with CARE in Nicaragua Contributors: Collaborators: Mark Lundy Félix Jiménez (CARE Nicaragua), María Elena Mendoza (CARE Nicaragua), Carlos Ulisis Olivas (CARE Nicaragua) In the case of CARE Nicaragua, an agreement was signed in July 2002 under which CIAT and CARE enter into learning alliance in the area of rural enterprise development via two existing rural development initiatives (RENACER in the Department of Estelí and FAROL in the Depar tment of Matagalpa). While differences e.xist between the two areas, work is focused in both on: (a) the formation of local interest groups in rural enterprise development; (b) the identification of market opportunities, and; (e) participatory analysis and action planning for value chains. The following figure provides a schematic view of the relationships and roles in this learning alliance prior to initiating the collaboration. 82 Figure 5 . 1. Learning alliance with CARE Nicaragua: Themes and responsibilit ies Interest group forma/ion - rural enterprise development Areas of collaboration ldentijication of market opportunities CIAT Agroenterprise Tearn CARE Nicaragua Rural development tearn Participatory value chain analysis and action planning CARE-RENACER Role of cach organization Training CARE, NGOs Backstopping CARE, NGOs Leaming with CARE, NGOs Process faci litation with NGOs Backstopping NGOs Facilitation ofhorizontallcarning Use oftools with local organizations Documentation of the experience Adap!ation 1 innovation ofmethods As mentioned above, the possibility of working with a wide range of partner organizations - in this case ranging from an intemational NGO to local NGOs, service providers and community organizations - provides an ideal opportunity for CIAT to leam about what works, what doesn't and why and future research demands in diverse contexts without having to initia te activities from scratch. In addition the fact that all the above structures existed prior to CIAT's involvement - and are projected to continue to work after ClAT finishes - improves the possibility that t he inputs provided will continue to be used, adapted and improved into the future. Finally, CARE Nicaragua covered all direct costs of this work thus freeing scarce project resources for research activities. Results achieved during fourteen months of collaboration are summed up in Table 5.1. 83 Table 5.1 Results from a Learning Alliance betwee n CARE Nicaragua and CIAT Topic Results Observations Formation of - Formation of two working - Process too complex to working groups for groups on rural carry out in one month as Rural Agroenterprise agroenterprise initially planned. Development development in Matagalpa - Need to include more and Estelí. explicit processes for the - Improved understanding formation of the working of differentiated livelihood group as such. stra tegies among selected - Requires strong communities. facilitation skills that may - Enterprise development or may not be present in potential identified. development actors. Identification of - Elaboration of two market - Process driven by market opportunity studies - one extensionists Jeft out key opportunities with for Matagalpa and one for markets for producer smallholders Estelí. products. - Identification of eleven - Extensionists and potential crops with good managers frustrated by market possibilities and 'conservative' list of acceptance among farmers. potential crops when other - Initial links with interesting opportunities traditional and potential exist. buyers for agricultura! - Farmers and products. extensionists learned how to conduct market studies. Method adapted and adopted by both local NGOs and farmers post- study. Analysis of - Analysis and formulation - Good information production chains of strategies for ten genera ted for new project and the design of selected production chains. proposals and for the strategies for - Concrete links establishment andjor increased established with potential strengthening of business competitiveness buyers - major development services. supermarket chain- in the - Greater understanding of region. how a chain works, who - Strategies developed for participates and what each chain improvement. actor's role is. - Field guide too complex for extensionists. CAREin the process of adapting approach in a simplified form. Lessons learned from the work with CARE Nicaragua include the following: Importance of clear rules and benefits for all participants Despite having a signed MOU and good personal relations between CARE Nicaragua and CIAT, significant changes were made to the rules of the game as work advanced. Additional time is needed to assure that a ll the participants in the Learning Alliance 84 understand their roles and responsibilities clearly and have the capacity and interest to carry them out. The explicit definition of interests, results and expected benefits by each participant can help here. Trust, collaboration and organizational relationships fncreasing trust between CARE Nicaragua and CIAT serves not only to implement a Leaming Alliance but also to present joint proposals to donors. In addition to six other joint proposals prepared with CIAT, the Rural Agroenterprise Project participated with CARE Nicaragua in the preparation two proposals: (a) one to replicate the experience with other development agencies in Estelí, and; (b) one for a USAID call for proposals for work on Business Development Services. This indicates that a Leaming Alliance serves to open other channels of communication for mutual benefit. Managing up and including donors Two key lessons regarding donor relations were learned. First, the need to involve donors in the establishment of the Learning Alliance - definition of goals, time frames and outputs - and thus avoid changes in the rules of the game in the middle of the learning process. Second, the need to conform to donor imposed timeframes. An effective process of managing up both with CARE Nicaragua and CIAT as well as with key project donors could serve to avoid these challenges in the future. Roles and responsibilities Sufficient clarity as to roles and responsibilities was not achieved with CARE Nicaragua. As a result CIAT played a more proactive role than originally envisioned especially in areas such as process documentation and document preparation. This was partially due to communications probleros but also has roots in time pressure and organízational culture. It was more comfortable and quicker to fall back on a consultant model rather than implementing the roles initially planned both for CARE and for CIAT thus lirniting the organizationallearning by CARE staff in how to carry out analysis and documentation of participatory processes. Time A desire to cover various coroplex tapies effectively in a short amount of time led a less than optiroal learning process. This was especially clear in the first component of the Learning Alliance, which was never effectively concluded. During the second and third components, additional time - one or two months - was added to compensate for this problem. Possible solutions include a less ambitious work schedule, simplified methods from CIAT- applying the rule of 'optimal ignoran ce'- and a clear discussion of the time implications of this work from the beginning with all participants not just project coordinators. Diverse learning needs and models The Learning Alliance with CARE Nicaragua did not clearly specify differentiated learning mechanisms for participant groups. In work that involves a range of talents, backgrounds and interests - from local community organizers, development practitioner s, and development management professionals to intemational scientists- a diversity of learning needs is to be expected. This should be confronted at the beginning of the collaboration and effective, differentiated learning tools designed with each group. Further diffusion of lessons learned How can we best disseminate lessons learned beyond the circle of direct participants in the process? This is relevant not only for community leaders who answer to their neighbors but also to extensionists and managers in development organizations who need to justify their work plan and for scíentists who wish to share new knowledge with 85 colleagues. Simplified tools for process and outcome documentation and sharing at diverse levels are lacking and should be developed for future Learning Alliances. Appropriate materials In a similar vein, the diversity of participants merits the design and use of diverse, appropriate training materials. A 'one size fits all approach' is not effective here. CIAT, as a CG Center that values research and theory, tends to produce training materials too complex for use at the community or even extensionist level. Simple and adaptable materials are needed - as explained in the two previous points- to this end. Joint design of training materials between CIAT and development partners may be a good way to advance in this direction. Selection and continuity of participants Justas not every farmer or extensionist wishes to be an entrepreneur, not all are suited nor wish to participate in a Learning Alliance process. Care in selecting appropriate people with sufficient interest and time to participate in the entire process is key. In the case of CARE Nicaragua, participants showed a high leve! of capacity and commitment yet sorne organizations changed their participants during the process, truncating learning and forcing other participants to wait while the new arrivals got up to speed. Dealing with this issue - both in managerial and personal terms - at the beginning of a Learning Alliance facilitates a more effective learning and development process. 2. Learning Alliance with CRS in East and Southe rn Africa Contributor: Rupert Best Collaborator: Shaun Ferris (Foodnet) , Tom Remington (CRS-EARO) The Learning Alliance established with CRS-East African Regional Office (CRS-EARO) and Foodnet that was reported last year h as continued during 2003. Two additional workshops have been held and a summary of the three workshops held to date is presented in Table 5.2. Between the 2nd and 3rd workshops a process of technical backstopping and progress monitoring by facilitators (RAeD and CRS regional staff) in the countries has been established. In the second semester of 2003, visits were made to Uganda (Gulu), Tanzania (Mwanza), Kenya (Mbeere) and Madagascar (Ansirabe). The present status of the projects in each country is shown in Table 5.3. Based on the monitoring visits and the appreciations of the participants in the 3rd workshop, the major lessons learned to date and issues that are arising from this experience are: In a multi-country alliance such as this, it cannot be expected that all countries will progress at the same rate Turn over has been high. 45% of participants at the 3rd workshop had not attended previous workshops. The need to maintain key persons and strengthen country partners, whose leve! of personnel tum over is expected to be lower, is recognized as being important. Country programs have appreciated the need for in-house expertise in agroenterprise development. A number of programs have hired market or enterprise officers. Ownership by the CRS country participants and their partners has increased as the process has progressed and tangible results are being observed. In sorne countries, CRS is now recognized as having a capability in market and agroenterprise 86 developrnent and other government and non-government organizations are seeking their support. • Participants have appreciated the importance of and are seeking improved communication and exchange of experiences, with more frequent backstopping and monitoring visits. There is an uneven level of participatory, communication and facilitation skills among participants. This should be an area to receive attention in the future. The participants in the workshops have been predorninantly male, with only one woman out of the 35 persons that have attended and participated in the alliance. • Fieldwork to practice skills is one of the most valued aspects of the workshops by participants. Process documentation is an area that requires attention. At present, there is no motivation for countries to document their experiences and this is a task that is being taken up by the regional facilitators. Simpler procedures for process monitor ing a re required so as to rnake it easier to share experiences among countries. Table 5.2. Details of the three workshops held in the CRS- CIAT-Foodnet Learning Alliance on Agroenterprise Development Workshop venue Are as covered No.of Countries and dates uarticiuants l. Nairobi, Kenya. Territorial approach, Interest group Ethiopia, S. Sudan, 15-19 Sept. 2002 formation and characterization of the 17 Kenya, Tanzania, territorv, Rapid market study Ue:anda Madae:ascar Catch-up session for new cou ntries. Ethiopia, S. Sudan, 2. Limuru , Kenya. Review and analysis of progress, Rapid Kenya, Tanzania, 10-14 March 2003 market study, Characterization of 20 Uganda, Madagascar, market opportunities and selection of Rwanda, Burundi, enterprise options Malawi Review and analysis of progress, Recap Ethiopia, S. Sudan, 3. Thika, Kenya. on rapid market survey, characterization Kenya, Tanzania, 10-14 Nov. 2003 of options and selection of enterprise 20 U ganda, Madagascar, options, Integrated agroenterprise Rwanda, Burundi, proiects design, Farmer organization. Malawi 87 Table 5 .3 . State of progress of the countries participating in the CRS-CIAT-Foodnct Learning Alliance on Agroenterprisc Development .., ., :¡ .., s:l .!! ... ... .. ... ... r:: s:l2 .!! .~ s:l ., .. ;.., .. .. ·~ ... - bll .s ·e .... p. P.¡:: ., u .. r:: ·a r:: .. .. o _g ·e > ·~ .. .. .. d .. ·~ o r:: .... ::S o .. bll .. ... .. d E 'o .... ·~ s:l ·~ s:l ::S ¡; .. p. .. .... .. ., .. u u ., p._ .2 d o .. o .. o .. o .. Country .. p. p. U .. .., .. >: - s:l Observations coco ~:3 p, l;; bll .., ~ .. bD ., O:¡J .. u .. .s a r:: d o .. .. r:: .., .. .., u o .. .. ., .. .. "O' ... " s:l p. ·~ ... bll .... ~.., .. ... . ...., .. o ..... .. ... ·~ ~ p. .. o '!]Gl ::S r:: bll .. .. ... ... .~ ..... ¡:: ... ~ bll bllll. bll> ... ·~ (J Ql .. s:l .. ., ~ .. .. .. .., .., 1 e:: ... ... r:: = .... o .. .... .... !l ~~ C/l S. S udan X X X Macro project whose 'tcrritory' is the whole of U1e souiliern part of Ule country. MOl and market chain analy_sis will be terminatetl in March 2004 Ethlo pia X X X Drought and food shortage have held up progrcss Uganda X X (x) Civil strife impeded start-up. Market officer hired. MOl underwav Kcnya Homabay X X X MOl completed but process halted due to admin. difficultics Mbecre X X X (x) (x) MOl completed, 1/\P design phase initiated. On-going chickpea, pigeon pea and green gran1 commodity chain projects undcrway Tana River X X X MOl completed Kitui (x) Attendcd 3'" Learning 1\lliance workshop Tanzania LallOers ano possible strategies to coun~J1.ict unfair com,P.etitípn from U S agricúlture. fmproved agncultural market and prod'uct infonnation ~s(ems. Participatory market'identification, intelligence ana developme;¡t ..tools. Provision of support services ana development of markets .for run,U Development Servipes, BDS. Design and facilitation of horizontal learning processes between N'GOs active in rural economic development to ídentify hest practices which Seed in o ong'"oing develqpment ínitiativ<;s and donor. RQlicy fommtiaf1o . Source: Trip reports 2003 and personal communication A formal process of demand identification is included in the multi-organizational Learning Alliance work described previously. The proposed work would involve Learning Partners in a process of reflection on what they h ave done in terms of rural economic development, what has worked, what has not and why. From this exercise- based on two face-to-face workshops in the region - and electronic communications a joint research agenda for the area of rural ente rprise development would be developed. New product developm ent Product development in the region continues through two different strategies: (a) direct implementation in reference sites, and; (b) implementation throu gh learning partnerships with development agencies. In the fir st case, work in CIAT reference sites in Honduras and Nicaragua provides opportunities to test new ideas on a trial basis under direct CIAT supervision. This is the case with tools such as that described in Output 4.2.4 "GIS-based decision support tool that integrates market opportunities, land use potential, and income-resource conservation trade-offs for defining most appropriate locations for rural agro- enterprises", the IAP methodology and up-coming work on markets for rural business development services. Once these methods and tools have been developed and tested at 102 this level they are considered "prototypes" and rnay be offered to interested developrnent partners to continue their refinement and dissemination. In Central America as in Africa, the second strategy for new product development is being used under the narne of Learning Alliances (see Activity 5. 1.1 for additional information) with developrnent organizations. In this case the action research processes being implemented are problem based and holistic in nature . As a result they link a variety of the Project's tools in a logical manner. Additional work is projected in this area in Honduras with CARE (Market Access Proposal), GTZ (COHASA Project), IPCA / ASHOCIAL and possibly Catholic Relief Services and World Vision. It is important to note that this work contributes to two strategic processes of the Project simultaneously: new product development and building local capacities. Building local capacities Strengthening local capacities for rural enterprise developrnent in Central Arnerica involves the use of the learning alliance model (see Activity 5 .1.1 for additional inforrnation) and direct training courses in the region. Training workshops on production chains and smallholders were carried out in November 2002 and September 2003 in coordination with the Center for the Competitivity of Eco-Enterprises (CeCoECO) of CATIE in Costa Rica. Eleven participants from Bolivia, Ecuador, Mexico and Venezuela participated in the inaugural workshop in 2002. Final evaluations for the course overall were high (90% average score) while CIAT's participation received an overall score of 9 4% satisfaction. Contin uing post-course activities are underway with two of these participants in Bolivia and Venezuela respectively. In 2003 a rapid promotional process led to nearly double the number of participants- 21 - with students from Bolivia (7), Peru (3), Nicaragua (3) , El Salvador (2), Ecuador (2), Venezuela (1) , Mexico (1), Dominican Republic (1) and Cuba (1). Final evaluations for the course were highly favorable (over 85% average score) while CIAT's participation received an overall score of over 90% satisfaction. For 2004 additional training courses on production chains are planned in Bolivia (led by CeCoECO), Colombia (led by CIAT) and Costa Rica üoint CIAT-CATIE course) and a virtual course in currently under development. An inaugural course on market analysis for Business Developmen t Services is s lated for Central America along with the production of training materials. Finally a joint course on Rural Agroenterprise Development and Smallholder Livelihoods is under discussion. Project administration Mark Lundy is responsible for Project administration in Central America. Marco Antonio Vásquez coordinates fieldwork in Honduras and Nicaragua. Additional collaboration occurs with the CIAT regional coordinator Miguel Ayarza and other CIAT projects such as forages (M. Peters, A. Schmidt, F. Holman) , lnforcom (N. Russell) , IPRA (B. Douthwaite), Land Use (T. Oberthur and S. Cook), Soils (E. Barrios), Tropical Fruit (J. Cock) and the Institute of Rural Innovation (J.A. Ashby). 5.3.4 Andean Region Contributors: Carlos Ostertag, Diego Izquierdo (CIAT) 103 Identification of research demands In the Andean Region, the project is establishing and consolidating alliances in Colombia, Ecuador, Peru, Bolivia and Venezuela. Sorne of our allies are at the Andean regional1evel, whereas others are ata national or locallevel (see Table .. ). We can classify our research demands into three categories, which may overlap, as follows: research demands derived (a) from our "Territorial Approach to Rural Business Development or TA-RBD", (b) from our strategic processes, and (e) from our clients. Sorne of the key questions and demands often made by our clients in the Andean Region include: Small Farme r Organizations • How can viable small farmer organizations be promoted? What are sorne effective methods for promoting a business orientation with farmer organizatíons? • How can motivation and commitment be maximized within the farmer organization? How can the social and business perspectives be balanced within the farmer organization? • Which is the best legalf ownership format for small farmer agro-enterprises? Is the separation of ownership and management a good strategy for farmer organizations? Market Chain Strengthening • To maximize income, should small farmer organizations integrate vertically or should they make strategic alliances along the product chain? • What are the best methods for linking small farmers with the prívate sector? • What link in the product chain should be strengthened to favor small farmers the most? Under what conditions and products could small farmers really have a competitive advantage over other players? Rural Business Development Services • When is it necessary to subsidize rural business development services (RBDS) and why? When is it not necessary to subsidize rural business development services (RBDS) and why? • Development of simplified formats for business planning tools (strategic planning, business and marketing plans, etc.) • How can the availability and access to credit and venture capital for small farmer organizations be maximized? • Development of appropriate production and processing technology for products with market potential. National Policy What kind of policies is needed to enhance rural business development? What are sorne strategies to promote better government policy relative to small farmers? We have to be on the lookout for answers and clues to these questions by consulting secondary informa tion , including electronic bulletins, and participating in pertinent conferences and symposiums. However, we can also identify demands in our daily work while conducting action research such as Learning and Action Alliances, plus training and also in the process of developing products. 104 Deve1oping research and information products with partners Among the specific products being developed in the Andean Region, that include those being developed at CIAT HQ include: a) RentAgro (see Output 3.1) b) Market and business tools for small rural enterprises (see Output 3.1) e) Market opportunity identification methods (see Output 1.1) d) Validation of the components of the territorial approach (see Output 4.2) e) The alternative Trade Information System (see Output 1.2) Promoting the development of local capacity for rural business development Our goal is to reach a large amount of potential beneficiaries as quickly as possible, and the clue is to make alliances with institutions that can act as multipliers. These institutions can be international NGO's, large national NGO's, international development programs, government agencies, donors, and academic institutions including informal Internet-based trainers such as REDCAPA. These are our direct clients, whereas small farmer organizations and rural agro-enterprises are not; the reason why we work with them, mainly in reference sites, is to identify their needs and research demands, and to validate product prototypes. We develop severa! type of relations with these intermediary agencies, such as: (a) Learning Alliances, a process involving training-action-accompaniment and learning and focused on the TA-RBD and basic business concepts and planning instruments, which we conduct mainly with in ternational and large national NGOs such as CRS, IC, Fundación El Alcaraván, Proyecto MARENASS, Fundación PROINPA, etc. ; (b) Action Alliances centered on strengthening the business orientation of small farmer economic organizations; (e) alliances for joint project execution on several themes, as is the case with CIP-CONDESAN, PRODAR, ITDG and REDCAPA, and (d) alliances for funding of relevant training and research, such as both FDTAs, MADR, CTB and PDPMM. Table 5 .7. Strategic alliances of the RAeD Project in the Andean Region ew .alliance • InterCooperation or IC (Swiss • CRS Andean Region (international Andean international developmen t NGO) rural development NGO) Regían IPRA (ClAT project focused on ITDG (internatíonal development participatory research) NGO) • CIP-CONDESAN (CIP Project • REDCAPA (international NGO and focused on natural resource network focusing on distance conservation and rural education) development) PRODAR (Latín American agro- industrial network • CORPOTUNIA (local NGO) • Ministry of Agriculture and Rural Colombia Agro-industrial Committee of Development (MADR) CIPASLA (development • Agriculture Secretariat of the Valle consortium) Department • CIPAV (national development Fundación El Alcaraván (local NGO) development NGO) • Corporación Consorcio (national • lnforCauca (information network) develo ment NGO • Pro ama de Desarrollo Paz del 105 Magdalena Medio or PDPMM (local development NGO) . ASOHOFRUCOL (national fruit and vegetable growers association) • Proyecto Emprender (development . CTB (Belgium technical Ecuador project funded led by IC) cooperation) • IICA Ecuador • IIRR (international development NGO) • • Proyecto MARENASS Peru . ITDG • Fundación PROINPA (national . FDTA-Valles (Public-private Bolivia development NGO) development foundation) • FDTA-Altiplano (Public-private development foundation) • ATICA (intemational development NGO) . CIOEC Bolivia (national small farmer association) • FAO • Programa Nacional Semillas (national development NGO) • CIAT Bolivia (regional development NGO) . . Fundación Polar (national Venezuela development NGO) . Proyecto FIDA (IFAD-funded project) Two alliances that have been established in 2003 are of particular interest. a) Wit h ITDG in Peru. After recent restructuring, this intemational NGO, with its regional HQ in Peru, decided to focus more on business and product-chain approaches to rural development. ITDG has gained valuable expertise in the area of RBDS, with two schemes, one involving the organization of rural service centers and the other with local rural experts for farmer-to-farmer technical assistance. The latter scheme functions well with technical assistance related to animals but not to crops. For sustainability, the local experts sell inputs to farmers. ITDG has also participated in an experience in the Department of Apurimac regarding the establishment of a business model involving a rural marketing enterprise, the forrnation of local experts, and the supply of inputs and technical assistance to members (small farmers). The CIAT-ITDG alliance anticipates the signing of an agreement, and the subsequent execution of joint projects funded by donors or clients, the exchange of consultancies and of experiences (pasantías). Both institutions agreed to send short profiles of potential joint activities to be discussed to set priorities; this document has already been sent by the RAeD Project. 1t appears that sorne key activities would center on Leaming Alliances or joint projects on tapies such as market oppor tunity identification, design of integrated agro-enterprise projects, strengthening of RBDS, development of appropriate business schemes for small farmers, new product development projects encompassing both technology and marketing aspects, participatory adaptation of processing technology (GIAR) and training in basic business concepts and planning instruments. 106 b) With PRODAR. Based in Lima (Peru) PRODAR is a program dedicated to promoting the development of rural agro-industry in Latin America and the Caribbean. PRODAR, a traditional ally of the RAeD Project, has strengths of interest to CIAT, as follows: (a) its large network of people working in rural agro-industry and its affiliated national networks; (b) its Internet-based communication mechanisms; and (e) its potential to influence government policy favoring rura l business development. PRODAR is about to enter into a new phase, as it incorporates itself fully within the Instituto Interamericano de Cooperación para la Agricultura (IICA). During the planning of this phase, the RAeD Project provided PRODAR with a list of potential areas of collaboration, as follows: • • • • • • Training in basic business concepts and p lanning instruments through formats such as Leaming Alliances, short workshops or distance education. Training and contest on business and marketing plans, through the same aforementioned formats, with the possibility of including the tapie of brands and seals for product differentiation. Training, under the same formats, on the Learning and Action Alliance methodologies. Training on one or more of the modules of our "Territorial approach to rural business development", under the same formats. Join forces to crea te an improved version of the Fair Trade information system. Development and validation of RBDS systems and methodologies for supplying RBDS. Development of local rural business information systems together with user networks. Related to the frrst and second points above, it has been agreed to a ) undertake a joint distance-education course on basic business concepts, together with REDCAPA; and b) prepare a project involving a Latín American-wide series of workshops on business plan development, to be accompanied by a competitive fund to finance the most promising business plans designed in these workshops with sums going up to US$30,000. Activity 5.4. SN- 1 project development and promotion 5 .4.1. Develop a marketing and communications plan for the project Contributors: Carlos F Ostertag, Ángela Arenas, Jhon J Hurtado Collaborators: Rupert Best, Mark Lundy This year we began implementing the Marketing and Communications Strategy, which the Project defmed Iast year , and which comprises three phases of development: (1) Internal Strategy (to support the project's strategic plan, achieve participation, and formalize activities). (2) Internal Strategy for CIAT (make ourselves known through CIAT interna! communications to generate alliances and participation, and formalize activities). (3) Market Strategy for External Clients. Internal Strategy During the development of the Interna! Strategy, we have involved personnel of the Cassava Quality Laboratory, with whom we share workspace. An interna! survey on perceptions regarding interna! communication informed us of: (1) the team's satisfaction with monthly work meetings, (2) project interest in knowing the team's 107 interests and equipment needs, (3) disclosure of new projects, and (4) prior information on work standards and proceedings. Recommendations were roade to: (1) Disclose work in progress; (2) Follow up project coromunications (meetings); (3) Have an (appropria te) means available to suggest, propose, or comment about or to the Project; and (4) Present new members. Faced with the need to improve information channels for more fluid and clearer interna! commun ication, the project poster and means of circula ting p ublications are being updated, and the project bulletin boards are being redesigned (physically) , as complement to monthly meetings. Through a survey and two meetin gs of a delegated team, it was decided to make use of the two project bulletin boards in the following way: (1) Institutional Bulletin Board: This will show information of interest to the Project a nd our visitors. It has six sections (Information, Who's wh o, Who does what, Congratu lations, News, Training, and Enterta inment). Each staff member is responsible for the management of one section, with a pre-established renewal period. (2) Interna! Bulletin Board: This will have more subjective information on interna! team activities, and will serve to approach and genera te an interna! culture of participation and exchange. It is divided into eight sections (Messages, Did you know?, Take care ofwhat you have, To think about, Special e-ents, Relaxation, To keep in mind, and Express yourselD . A committee, the Design of information Tools (Dhl, the Spanish acronym), was formed for the organization of these m edia. The Dhi is formed of volunteer Project members, and meets once a month. Thus a process of pre-sen sitivity on the use of the Spanish language advances that includes sending edu cative messages to the Royal Academy. A chronogram of activities to be developed is being prepared for December, with the advice of teachers in Organiza tional Communication, that includes training in the area of design of communication media, use and design of support tools, systematization, and creation of support groups (editorial group, among others). Interna! Strategy for CIA T So that the project can be more easily located , we are improving signposting both within and outside our location . Marketing Strategy for Ex t e rnal Clients A users directory was d eveloped that is at the disposal of the Communications Unit. A list of specialized media was organized into agro-enterprise themes, a list of contacts for circulation, and a list of users specifically interested in the theme of cassava production chains (PPis, the Spanish acronym). At present, a portfolio of project products is being d eveloped that is being checked through, and that will serve to make known and promote our products (it will be promoted also through the Web page) . 108 5.4.2. Web site maintained, and a strategy for internal information management developed and implemented Contributors: Ángela Maria Arenas, Jhon Jairo Hurtado Collaborators: Rupert Best, Carlos F Ostertag; Mark Lundy (SN-1); Carlos Chilito, Trinidad Daza, Nathan Russell, Simone Staiger, Jorge Gallego (SN-4); Inforrnation Systems Unit, Information and Documentation Unit l. Web Page The Web page has become a link between our visitors and project members, through the Project's institutional mail created by the Web page and those project members there available. About 200 e-mails have been answered that asked for information about the Project, publications, proposals to establish alliances and develop research, work vacancies, university consultations, specialized consultations on cassava, information about other CIAT Projects, and sorne themes outside our competence. Another sample of this relationship with our visitors is the recordings of the statistics program Summary, which CIAT's Web site uses, in which we maintain flrst position in number of downloaded documents, with an average of 90,000, downloaded per month. The page is the second most visited of CIAT's web pages with 18,000 visits per month. It is also noteworthy that two of the 10 most solicited documents are the presentations of the Tmancial profltability model' and ·strategic planning· for agroenterprises. Similarly, the front page in Spanish presents 10,652 visits compared with 4,096 for the front page in English (Figure 5.2.). losé casildcfPalm¡:>roach as a Strate¡zy for Report on Stakeholder Consultative 128 1 / "Enabling Rural Innovation (ERI)" Meeting to develop a collaborative Develop a scaling-up strategy for "Enabling PM&E research project in Kenya Rural Innovations" Document experiences with establishing "Enabling Rural Innovation" approach in Eastern and southern Africa Document experiences with community-based PM&E systems in Latín America :o Material and information on Impact of IPRA Project activities, documented Support and strengthen interna! projects u participatory methodological and other institutions in conducting PR T approaches, analytical tools, p autochthonous knowledge and u organizational principies, developed T S Outline on PR in forages; discussion of Report of baseline studies for Bolivia, Ecuador Hold annual national meeting of CIALs in A central tapies Implement case study of CIAL El Diviso (rural Honduras, Ecuador and Colombia C Analytical strategies for database agro en terprise) Prepare final report on the tours and T information (quantitative and MSc thesis: Applying the sustainable- workshops to CIPASLA, ASOBESURCA I qualitative) livelihoods approach to assess the impact and CORFOCIAL V Design testing of the instructional unit of CIALs El Jardín, Las Cruces, San Bosco, Provide technical support and follow-up I on PR applied to forages; description Cinco Días activities to strengthen CIPASLA and T of the content Conduct an analysis of experiences of the ASO BES URCA I Promete and distribute material CIPASLA model of participatory Provide technical backstopping and E developed by IPRA management of watershed support to CORFOCIAL S Present papers at international meetings Report written on the institutionalization of Evaluate and select multipurpose forages and congresses CIALs in Ecuador Report written on the for cropjlivestock systems with farmer Input statistics related to progress institutionalization of CIALs in Ecuador participation andjor information stored in the Develop an interactive CIAL database data base system where farmers and technicians Update and reorganize the IPRA Web can make consultations exchange Page to enhance it's effectiveness in information disseminating information Book chapter written entitled "Extension through Farmer Research: Local Agricultura! Research Committees (CIALS) in Latín America" for a book '----- on new approaches to extension. 129 <>1 Capacity of the IPRA team, strengthened u T p u T A Hold planning workshop for IPRA C Maintain functional structure for T horizontalleadership (co- I coordinators) V Organize series of cross-Program I seminars to interchange experiences T and receive training in new I approaches, methodologies and E analytical tools (impact, finances, S library, case study, institutionalization, PME) 130 Narrative Summary Measurable Indicators Means of Verification Important Assumptions 1 Goal: Develop and apply Application of participatory Projects, plans and reports Institutions committed to : knowledge, tools, methods, analytical tools and of pu blic sector the principies of PR technologies, skills and organizational principies by entities, donors, the Stable institutional organizational principies that R&D organizations that lead to NGOs, grassroots leadership contribute to improving the the incorporation of the organizations, Committed communities IAM 1 and the levels of well farmers' and others end-users' second-order Favorable environmental being IAM-related needs organiza tions at the and agrarian policies Use of Project products at reference sites and in Absence of social conflict at additional reference sites in the agro ecosystems the reference sites two agro ecosystems (hillsides of CIAT's mandate, Data available from the and forest margins) of CIAT's which refer to the reference sites mandate in 5 years use of the Project's Availability of information Use of Project products by a products from partners mínimum of 3 institutions outside the LAC region by the end of the 5th year Improvement in the well being of the end-users at the respective reference sites - --- - - --- - 1 IAM = Integrated Agroecosystem Management 131 Narrative Summary Measurable Indicators Means ofVerification Important Assumptions Project purpose: Develop No. of R&D organizations applying Impact study Economic stability of and disseminate participatory participatory methods, analytical lnstitutional reports institutions methodological approaches, tools and organizational Pu b lications Financing for training analytical tools, principies Proceedings activities and autochthonous knowledge No. of entities in the LAC region publicationj disseminatio and organizational principies teaching participatory methods n of materials that strengthen the capacity No. of meetings held among Institutions willing to 1 of the R&D institutions to stakeholder groups prepare and support respond to the demands of No. of participatory projects facilitators and to share stakeholder groups that implemented by the R&D information contribute to improving the institutions End-users above all the levels of well being and IAM producers-willing to participa te Outcomes: Participatory methodological No. of methodological approaches Project reports Good coordination and approaches, analytical developed or adapted and of Publications integratíon among the tools and autochthonous analytical tools developed for the Proposals presented collaborators knowledge that lead to the IAM Minimal conflicts in meeting incorporation of the demands farmers' and others end- Full participation of users' IAM-related needs, stakeholder groups developed for interested Field staff fulfilling their role R&D institutions as facilitators Data available from the reference sites Internet system functioning well -- ------- 132 Narrative Summary Measurable Indicators Means of Verification lmportant As sumptions Organizational strategies and Submit and approve Project log Project reports procedures for PR, frame Pu blications developed No. of strategies and organizational procedures for PR adopted and adapted Professionals and others No. of professionals, technicians Project reports trained as facilitators of and farmer-researchers trained FPR in the PR methodology Material and information on No. of visits to the Web si tes Project reports participatory No. of requests for materials and Pu blications methodological information Case studies written approaches, analytical No. of materials published tools, autochthonous knowledge and organizational principies, developed --- - 133 Narrative Summary Measurable Indicators Means of Verification Important Assumptions Internal projects and other No. of interna! projects supported Project reports institutions supported No. of externa! organizations Publications of interna! and strengthened in doing strengthened projects and other PR No. of participatory projects institutions implemented by interna! projects and other institutions Capacity of the SN-3 Project No. of team meetings Project reports team, strengthened No. of seminars and workshops organized and/or received by the team or its members Impact of the SN-3 Project Depending on the nature of the • Case studies, activities, documented study; e.g., in CIALs, no. of host PME reports and countries, total no. of CIALs databases, impact (active, inactive, mature), studies research capacity, self- management capacity, institutions participating, gender breakdown, diversity of research topics, no . of people benefited, no. of small agro enterprises benefited, no. of community- service actions, no. of facilitators and trainers prepared, no. of second -order organizations formed, no. of requests for publications and no. of training _ L_____II!a teri_als ---~-- -~ --- --- . ---- 134 Milestones Moving from constraint to opportunity Procedure of Monitoring and Evaluation developed to be evaluated and disseminated in sorne Countries Procedure for participatory selection of cassava varieties, analyzed Leaming from PME experiences in Latín America: A strategy to capture the results of development changes at the community level Researcher: Luis Alfredo Hemández R.2 Highlight: Successful strategy for obtaining M&EP results-chain has been developed. Abstract Farmer groups have tested severa[ ways to verify expected community results from the Participatory Monitoring and Evaluation (PME) process in Latín America. In some cases, however, these ha ve failed to identify and measure short-term results (outputs), medium- term results (outcomes) and long-term results (impact) efficiently at the level of farmers' groups. lt has now been recognized that there are problems that limit facilitators' abilities to interpret and find appropriate indicators for measuring those results. Conceptualization of monitoring, evaluation, participation and indicators and developing a strategy to explore in depth the meaning ofthose terms at the community level could be a successful ·way to resolve those problems. This article, based on the author's experience in Cauca Colombia, describes sorne altematives for resolving these barriers. More importantly, the author explains how these apparent obstacles in the process can actually be exploited as opportunities to enhance the PME process and thus result in benefits for farmers' groups and scientists. Introduction Participatory monitoring and evaluation (PME) has a dual purpose: It is a management tool that enables people to improve their efficiency and effectiveness. It is also an educational process in which participants increase awareness and understanding of the various factors that affect them (Stephens, 1988). This means participation by the target beneficiaries in decision-making and planning throughout the implementation process and in sharing benefits. Hence monitoring and evaluation (M&E) demand an in- depth comprehension of the processes, a strong commitment to develop the PME systems further themselves, and an efficiently strategy for understanding information generated during the process. 2 Research Associate 1, SN-3 Project, CIA T, Colombia 135 Research questions These barriers pose serious constraints toan effective PME process and must be resolved by answering the following research questions: How to obtain a better understanding of the M&E process How to reach short-term results (outputs), medium-term results (outcomes) and long- term results (impact) This paper draws on the author's experience of working with farmers' groups to discuss ways of moving from constraints to opportunities in PME in arder to improve the information obtained. The purpose of this paper is to promote a better understanding of PME results through a useful strategy for taking information and teaching the process. It is targeted toward facilitators and farmer groups involved in the PME process. Case study and directions The strategies proposed here are based on the author's involvement in experiences with PME in Cauca, Colombia. The author analyzed a sample of 9 CIALs with an established PME process (La Unión 1 and 2, San Isidro, Carpintero, El Pinar Mujeres, La Esmeralda 1 and 2, and Las Lajas). The prelirninary results of this analysis permitted testing the following procedure: Understanding key concepts Strategyl and directions. Farmers and facilitators of PME should have a clear vision of the process. Without a clear vision of what PME hopes to achieve, it is difficult to define results clearly (Stephens, 1988). Consequently, we should explain, "What does participation mean within a PME process? In other words, farmers need to understand that PME has been found especially valuable for small farmer development. This means that PME requires the involvement of communities members in: Planning the general and specific objectives at the community level and the areas to monitor and evaluate Deciding the activities that permit reaching those objectives Selecting indicators Collating and tabulating data Analyzing the resul ts Sharing information with others members of the communities Using PME information for their own purposes. This proposal consists in designing a step-by-step procedure, describing relationships in each one (using graphics is the best way). Figure 1 describes a sequential process and introduces the cycle concept. Strategy 2 and directions. There are different levels of results that seek to capture the development changes that occur: Short-term results or outputs, medium-term results or outcomes, and long-term results or impact (CIDA, 2000). PME has similar results linked to what is commonly referred toas a "results chain," so it is possible to find the cause-effect relationship of results as follows: Objectives, specific objectives, outputs, outcomes and impact should be defined as the "results chain." From the overall objective it is possible to derive specific objectives and 136 then outputs, outcomes, impact and indicators can be identified as shown in Table l. 137 ~t .. ~ 2. DecLctL~ actLvLtLes u 1.. PLCl V\, V\,~~ o bj ectl.ves OU!:j que~Ho"": wl1l:J ar-e l:JOU gmupe~ a~ aCIAl?) ....... ..--···················· .. ······· ········· ·· .. .. · ······•·· .•. //./ Cycle ' / ...... · .... .... ,... ....... ······· ..... ...... ..... ················· . .. ··· 3. selech~ ~11\,ct~wtors -f. CoLLatL~ ClV\.ct ta buLCltl.~ GteitCl, **Cartoons adapted by the author. G. SV!Clr~~ ~V\.fOYV\1\.Cit~OV\. S . AV\.ClLt:jÚV\.g tV!e resuLts. Source: Cartoons drawn by Dave Daniel In: "Developingforage technologies, with smallho/der farmers" Werner and Peter Horne. A CIAR Monograph No. 8 138 At the beginning of the process, build up the overall objective and then break it down into specific objectives. For each specific objective, find strategies (activities or actions, conditions and criteria) and indicators (see the sequential arder proposed in the following list) . Overall objective Specific objectives Outputs or short-term results and indicators Outcome or medium-term results and indicators. Long-term impact and indicators Preliminary information from the PME process in the CIALs in Cauca, Colombia (La Unión 1 y 2, San Isidro, Carpintero, El Pinar Mujeres, La Esmeralda 1 y 2, and Las Lajas) has been used to identify the following common objectives in a ll the CIALs in Ca u ca: Do research in: common beans, maize, cassava, sugarcane, potatoes, etc. Look for funds Improve the CIAL's organization Manage projects Develop rural agroenterprises Based on this information, the author developed a proposal of the "results chain" for two specific objectives (Table 1). 139 Table l . Chain results (adapted by author, 18 July). Source Cauca CIALs. Specific Short-Term Medium-Term Long-Term Activities Results Results Results Objective s (outputs ) (outcomes) (impact ) Do research on: Beans , maize , Planting new Prelirninary Farmers Improve the cassava, alterna ti ves selection of interested in quality of life sugarcane, under farmers' new novel in terms of potatoes or conditions alternatives altematives living varietie s (technological conditions supply) (e.g ., food security) Indicators: No. of Leve! of varieties knowledge as planted under Level of well- regards new community's being as technological conditions perceived by options, local through Level of population Informal satisfaction interviews related to % in assets of (community research specific members) progress community Look for funds Hold raffles Hold bingos Have football Increase CIAL's Increase loan games funds rates among Hold festivals Income and CIAL members debits balance Indicators: Monthly Level of reports of satisfaction of Members of income. beneficiaries (at communities p resent they in Cauca will are able to have improved solve sorne their w'ell-being problems). in terms of education and health (need benchmark study for this). No . of communities in Cauca with self-financing. Strategy 2 . The cause-and -effect relatton ship of results. 140 Specific Objectives Selection of components from the global objective Activities Short-Term Medium-Term Long-Term Results Results Results (outputs) (outcomes) (impact) 1 1 Use o{probing questions (open-ended questions) in order to obtain in[ormation about outputs, outcomes and impactas perceived by CIAL members. To do research on: For what purpose do you plant beans? How can you describe the benefits of testing new varieties of beans for your community? If a new variety ofbeans has better yields, toleran ce to pests and appropriate prices than a local variety, how would you distribute the extra income? Can you explain to me your future plans after finishing this research? In order to build up a results chain, we have to use questions that infer consequences: /fyou have ... "new varieties" of . .. then what Example where Strategy 2 was implemented: Esmeralda II Overall objective "CIAL group strengthened in order to create an agroenterprise of maize to improve income and quality of life of community members" 141 CIAL members Demetrio Aranda Esmeralda Hurtado Diego Cifuentes José Thomas Aranda Martha Lucía Mera Aura Lucía Hurtado Diego Fernando Cifuentes Procedure (chain questions) Probing* questions, consequence questions, questions about activities and indicators (* in arder to explore in depth the meaning of sorne term or saying used by farmer (Guerrero et al., 1993} Q: What does "CIAL group strengthened" mean? (probing question) A : That means that we have to improve the group in two ways: (1} First we ought to increase participation, and (2) simultaneously we should search for funds. Q: If you improve participation, then what happens? (probing questions) A: "If we improve participation, then new motivated members will be able to increase plots of maize (the goal is at least 15-20 members}. Q: How do you hope to reach that? (questions about activities} A: Well, we have to show the CIAL's results at the community level (first way), and we can also organize raffles, bingos, "tamales"; simultaneously (second way), as a support to interested people so that will allow us to increase areas and plots of maize in the Esmeralda community. Q: How do you measure greater participation through those activities described above? (question regards qualitative indicators) A: We can measure it if people have greater spirit, better knowledge about the CIAL's activities, increased levels of satisfaction and also the number of people associated (qualitative indicators). We have to assign responsibilities creating a commission in charge of recording all the information. Q: How do you measure success in searching for funds? (question regards quantitative indicator) A: We can measure it with our income and debits balance sheet (assessment of results). Q: If you increase production areas of maize, then what happens? A: As a consequence, we will have better production, then we a re going to establish a process for functioning legally. Q: What kind of action do you need to function legally A: To find out information a t the Chamber of Commerce. To look for a consultant's office to organize the group (activities) Q: What is the best indicator that you are working in that way? A: (1) Increasing level of group knowledge about legal process (qualitative indicator) , (2) license for legal functioning. 142 Q: When you obtain a bigger production and legal functioning, what is the next step? A: We are going to buy a machine for threshing maize (for the maize company and its byproducts) and after that, sorne members of the community will be able to raise chickens, hens, and probably they will sell surplus maize to other members of the community. We need to identify different markets and potential clients (activities). Probably we would like to support othermaize producers, selling their production or offering services like a rotating fund and technical handling of maize crop. Q: What are your expectations in terms of income, if you achieve the goals mentioned before? (questions about impact) A: In the future, we are going to improve income, health and quality of life in terms of subsidies of health, home orchards, change in the nutritional diet, improvement of the house. We also could generate new jobs. Q: How cari we measure that? Numbers of subsidies Changes in the nutritionallevel of the diet (people sell eggs to buy rice) Numbers of houses improved Q: If you had a better income, how would you spend this money? A: I would like to invest this money in health, housing and paved roads in my community. 143 Synthesis of information The challenger is to find outputs, incomes and indicators from the answers. Following the chain results described in Table 1, it is possible to classify the answers as follows: General objective "CIAL group strengthened in order to create an agroenterprise of maize to improve incomes and quality of life of community members" 1 Outputs Short- term results lmproved participation l ndicators: No. of people participating (15- 20) Better knowledge ofthe CIAL operation 1 Outcomes Medium-term results and indicators Increased areas of maize lncreased capacities of fanners in terms of maize production lndicator : No. ofhectares planted in maize Jobs generated Conceptualizat ion of the ,.,~UC:'(S"ClicnlUa¡rn _ ____ ___, 1 Impact Long-term results Improve the quality of life in tenns ofhealth, housing and routes of the Esmeralda II , located in Correlations between time (axis X) and overall objective of communities (axis Y) across different levels of goals are p resented in Figure l . At the beginning, communities start with mínimum values near the origin (X and Y) in both variables. In the first steps farmers take advantage of the CIAL's research results. The initial step is the first component of the overall objective, where they identify potential activities in order to reach each component. It is assumed that with increasing trust and knowledge, farmers find opportunities and solutions, and can then can solve problems with new options. Finally, farmers obtain useful feedback to develop and drive development of specific goals responding to farmers' conditions and expectations. Impact assessment is possible at the end of the process. This graphic synthesizes specific objectives and indicators to select relevant moments to verify the accomplishment of the objectives. 144 % Overall Objectiv In come A~rroenterorise CIAL strenrrthened Time lmpact: New jobs Health security (social Figure l. Levels of the overall objective (author's hypothesis) Conclusions and lessons learned Farmers need to understand that PME has been found especially valuable for small farmer development. This means that PME requires the involvement of communities members in: Planning the general and specific objectives at the community level and the areas to monitor and evaluate Deciding the activities that permit reaching those objectives Selecting indicators Collating and tabulating data Analyzing the results Sharing information with others members of the communities Using PME information for their own purposes. 145 References Ashby, J.A. 1990. Evaluating technology with farmers. A handbook. International Center for Tropical Agriculture (CIAT), Cali, CO. p. 27-28. CIDA (Canadian International Development Agency). 2000. RBM (Results-based Management). Quebec, Canada p. 33. (Handbook) Stephens, A. 1988. Participatory monitoring and evaluation, handbook for training field workers. Regional Office for Asia and the Pacific Organization of the United Nations, Bangkok. p 5 1. 146 Experiences in the establishment of community-based participatory monitoring and evaluation systems (PME) with CIALs in Colombia Researchers: E. C. Tru.jillo, 3 L.A.Hemandez4, S. Kaaria5 Hig htlight: Procedure of Monitoring and Evaluation proposed to be evaluated and disseminatff.l in sorne Countries Overvie w In the search for a process to empower and support rural communities in their decision- making process, IPRA has been developing mechanisms for establishing and supporting community-based participatory monitoring and evaluation systems (PME) with the Local Agricultura! Research Committees (CIALs). The Participatory Research Approaches project (IPRA) of the International Center of Tropical Agriculture (CIAT) began a process of establishing community-based PME systems in Cauca in 2002 (IPRA, 2002) . In 2003 IPRA extended the lessons and tested the approach with the second-order association of CIALs in Cauca Province: CORFOCIAL. The purpose of this paper is to strengthen the knowledge and experiences with establishing and applying community-based PME systems with grassroots groups. Lessons learned during the process of establishing PME systems in the CIALs of Cauca Province, Colombia, are reviewed. Background a nd CIA T experience with PME PME fulfills basic functions in any development effort because once established, it helps identify problems, measures the progress made toward the objectives, and evaluates the results (FAO, 1996). One of the results expected in th e medium and long term is to promote people's potential through their participation in decision-making and the mobilization of this social responsibility and accountabílity in favor of sustainable human development and capacity building (UNDP, 1997). PME contri bu testo the development of rural communities' capacities to identify and salve problems. It is oriented so that the grassroots groups can gather the information needed to evaluate the progress of their projects. In this way PME becomes an instrument to help these groups strengthen their capacity for decision-making and accomplish greater autonomy, which is translated into empowerment of their processes, self-reliance and sustainability. The PME approach applied by CIAT builds on the concepts and ideas developed by the Institute of Development Stud ies at University of Sussex (Estrella et al., 2000; Guijt & Gaventa, 1998) and the PIM concept developed by Germann et al. (1996). The PM&E system, which was developed as part of an action research process, was initiated by a student, Kirsten Probst (2002), as part of her PhD dissertation research. Applying lessons from this earlier work, a strategy was developed in 2002 to build capacity in the CIALs in Cauca Province. They were selected as a learning ground to test this approach because of their proximity to CIAT. In addition, it was envisaged that these 3 Research Assistant III, SN-3 Project. CIA T, Colombia 4 Research Associate l, SN-3 Project. CIAT, Colombia. 5 Senior Research Fellow, SN-3 Project. CIA T, A frica. 147 processes would help strengthen social cohesion, management capacity, learning and reflection, thereby empowering these groups. Objectives The overall goal is to establish community-based PME systems that will enable CIALs and their second-order associations to evaluate the progress of their projects and strengthen their capacity for decision-making and accomplish greater autonomy. The specific objectives are to: Test, evaluate and adapt the methodology for establishing community-based PME with second-order associations of CIALs Analyze and document lessons and experiences and then develop guidelines and principies to enable the large-scale expansion of these approaches in other second- order assocíations in other contexts Research questions This work will address the following research questions: What is the impact of CORFOCIAL on the sustainability and effectiveness of the CIALs? How will M&E contribute to enhancing the accountability of the second~rder association CORFOCJAL to the CJALs? Can the second-order associations to develop timely solutions to their problems and make necessary adjustments to their plans and activities use the information generated by PME? Can PME identify quantitative and qualitative indicators of results, effects and impact? Does PME promote the sustainability of CIALs? Progress in the PME process in the CIALs in the Cauca The goal of establishing the PME systems is to cover all the CIALs that are grouped under CORFOCIAL, which currently number 39. As can be seen in Figure 1, PME systems were partially established in 12 CIALs in 2002; and this year the work was finished, with PME systems being established in another 1 O CIALs, for a total of 22 ClALs in Cauca. Annex 1 shows sorne of the CIAL groups, where the PME systems ha ve been established, with their objectives, activities and indicators. In 2003 the goal was to have a higher number CIALs from CORFOCIAL with PME systems established, but there were sorne difficulties that made it impossible to reach that goal. Therefore, we conducted an evaluation with a few CIALs to understand the challenges in the establishment of PME systems. 148 30 27 25 22 20 17 1/) ..J 15 ~ (.) 10 5 o CIALs with PME in CIALs without PME CIALs with PME in CIALs without PME 2002 in 2002 2003 in 2003 Time Problems identified in the establishment of PME systems in Cauca The CIAL group feels somewhat united but weak. So me of the CIALs feel weak as a group because there is little commitment in the execution of the activities that are programmed; and the recording of the information and the responsibility fall on a few people, not on the whole group. Lack ofunion between the CIAL and the community. In the majority of the cases, there is little communication and collaboration between the CIAL and the community. As a result of this, there is little collaboration of the community in the group's activities. This occurs because there are no programmed feedback meetings to the community about the results of the work done by the CIAL. Recording ofthe information. In the CIALs visited the people in charge of recording the information have not developed the skill sufficiently nor the habit of keeping records, which requires their being accompanied very closely by the supporting entities to ensure the recording of the information. As a result, there is little information recorded by the groups. In sorne of the cases the groups record the information in notebooks or their field books, where they mix data from the PME work and the CIAL research, in addition to information on work that they are carrying out with other organizations that work in the community, which makes the organization and the analysis of said information all the more difficult. PME perceived as extra w ork for the CIAL. One of the reasons why this happens is that the establishing of the PME processes was done after the CIALs were started. Thus the members of the group consider it as something additional to the work they have been doing all along. The role ofthe people responsible for the PME. Although so me people were selected to be in charge of iilling out the formats and motivating compliance with the activities proposed in the PME system, at the time of carrying out the activities, the people who were supposedly responsible and their specific duties in the PME process were not clear, which meant that the programmed activities were not done and the key information that this CIAL is generating was not recorded. Perception ofthe benejits of a PME system. The people of the CIAL do not perceive any im.mediate benefits that can be obtained from carrying out the activities and 149 recording the indicators that measure the change towards achieving their objectives. This makes it necessary to backstop the process very closely until the people of the CIAL adopt the system, put it to work and take advantage of its benefits. Accompanying the p rocess. Given that the team of facilitators establishing the PME process in the CIALs was very small, the latter were left alone for extended periods of time. The people in these groups expressed their need for more contact with the technicians (CIAT-CORFOCIAL) to explain sorne aspects of the activities to be done and the recording of the information that was not sufficiently clear to them. Moreover, going back to topics that had been developed previously left them out of context, and it was necessary to repeat the process of conceptualization, the formulation of the objectives, etc., in order to be able to bring the group up to date on the topics being dealt with, which meant that the work was delayed considerably. Continuity in the PME workshops. In sorne of the groups the people that attended a meeting for establishing PME did not attend the following one and sent an alternate or simply did not attend. This meant that the topic dealt with previously had to be explained again in order to place it in context for the new people that had just entered the process and this required much more time than had been programmed. Situation of social unrest. So me CIAL groups are located in zones where there was social unrest for a time and so it was not possible to achieve the desired continuity, and for that reason, the process of establishing the PME system took longer; e.g., the CIAL El Placer in El Tambo, where it has not been possible for the team to go in order to establish the process. Institutional patem alism. In the zones where the CIALs are working, there are other governmental and nongovernmental institutions. In some cases there have been groups that will work only for donations or where they manage a budget to start their production projects and not in processes such as this, which are based on training people from the grassroots group to achieve sustainability and enhance their capacities. Factors extem al to the process. There are certain times of the year, such as the onset of the rains, when the farmers hire a lot of labor or they travel to other villages and even provinces in search of the "bonanza" of seasonal work as, for example, the harvesting of coffee, and so they dedicate less time to the activities programmed by the CIAL. No mechanism for obtaining qualitative indicators of effects and impacts. When the PME systems were established, only ind icators of the results of the activities programmed by the CIAL in the short term in relation to the proposed objective were taken into account; therefore there were no indicators of intermediate or long term results, which in addition to measuring t he results, also measure the effects and the impacts of the process u ndertaken by the CIAL in the community. Besides, there were no mechanisms for identifying ind icators that were qualitative in nature. This made the later analysis difficult when it carne to iden tifying the effects of the PME process undertaken by the CIAL in the intermediate term and the impacts in the long term. Actions undertaken to salve problems presented in establishing the PME systems in Cauca Formation of a team of PME Jacilítators. Given that at the onset of the process of establishing PME in the CIALs there were problems because the t raining team was very small and could not handle the number of CIALs where these systems were being set up, it was decided to train a team of facilitators to support this process. Alfonso Truque and Bolívar Muñoz, who are the farmer-technician and the administrator of CORFOCIAL, respectively, and 6 CIAL Guides to provide continuity to the meetings and later accompany and follow up the process formed the team. It is important to note that this group of PME facilitators was trained in both the theoretical part of the workshops with 150 the aid of exercises and tools, as well as in the practica! aspects of the CIALs as a direct support to the Facilitator of the IPRA Project at CIAT. This group has the responsibility of establishing the PME systems in the CIALs that are in their charge and those that are near their zone of influence. An agreement was reached with CORFOCIAL, whereby the Guides would work in establishing the PME for 2 days per month and that they would be paid the equivalent of one day of the legal wage established for each day worked and supported by a report. Formats designed so Guides could record general results of the PME in t he CIALs. In order to be able to obtain uniform information, to verify the work done by the Guides, and to learn the progress made in establishing PME in the CIALs, sorne formats were designed to gather the general information on this process, which covers all its aspects such as the exploration of knowledge on PME, the formulation of the CIAL objectives, activities programmed, indicators for measuring the progress of the process, formats designed by the CIAL and people in charge of carrying out PME in the CIAL (Annex 3). Execution of a common PME agenda between CIA T and CORFOCIAL. In order to synchronize the work of establishing the PME systems in the CIALs, work schedules were prepared jointly, coordinating the remaining activities for establishing PME in the CIALs where it was incomplete and to begin establishing it in the CIALs that haven't begun the process yet. Prioritization of CIALs where PME will be es tablished in 2003. In the prioritization of the CIALs where PME will be set up, it was necessary to agree upon the CORFOCIAL personnel such as the Guides and Technicians. It was also necessary to take into account factors such as the situation of security in the zones where the CIALs are located, the ease of traveling there (CORFOCIAL and CIAT teams) and the willingness of the CIAL group to participate. Given the level of the commitments, it was decided to establish the PME systems in 22 of the 39 CIALs of CORFOCIAL. Accompanying the PME process in Cauca. The CIAT IPRA Project is also accompanying the CORFOCIAL technicians, Guides and CIALs in order to strengthen their capacities and overcome inconveniences related to said systems. Modified methodology for establishing PME in the CIALs. Given the fact that in the initial stages of establishing PME systems in the CIAL groups required up to five 4 -hour meetings per group, it was necessary to adapt the strategy, taking into consideration farmer's limited time. The adapted strategy of a "cascade" of questions that begin with the question, "What are the objectives that you w ish to reach as a group? .. From there, th e conceptualization of what a PME system is and what it means with respect to the accomplishment of the proposed objectives are derived. Afterwards, the activities to achieve each objective are formulated, as well as what the community and the group expect to accomplish with each of these activities. To strengthen the conceptualization, graphs or drawings that reflected scenes from the farmers' daily lives are used. Figure 2 illustrates this cycle diagrammatically. A significant accomplishment with this methodology is that the entire process can be a completed 2 to 3 meeting per group. This means less time is required to establish it. Strategies for identifying outcome and impact indicators. The adjusted methodology also allows for the identification of indicators for monitoring the process (participation in group activities), outcomes (short-term effects) and impacts (long- 151 term effects). Additionally, the methodology also helps identify both qualitative and quantitative indicators. Table 1 summarizes the information obtained in aCIAL when using this methodology. Afterwards, the formats or forms for recording the information are designed so that those responsible for the PME of the group can do this task easily and rapidly. 152 Establishment of PME in Feedback ofthe ' ___ n_ rnclicator CE) · U Chl ~ 1· · rvmc · h c;onceptua 1.:müon o zn t e grassroots qüestio ( ihmughoutthe establishment information for -' -ñia~~ñg CORFOCIAL Figure 2. Revised rnethodology for establishing PME in grassroots groups. 153 Table l. Information obtained with the modified methodology for establishing PME in the CIAL La Esmeralda 2 . Strengthen the CIAL group to create a business for processing maize to improve the income and the quality of life in the community Strengthen the group Identify economic resources Acquire machinery for processing maize Sell the maize Genera te employment Improve the quality of life Hold meetings with community to show benefits of working with CIAL Show CIAL trials to the community Raffles, sale of food , festivals Voluntary contributions of t he members Present p rojects to entities to get the machinery Training in basic p rinc ip ies of marketing Identify clients Promote the product Organize a comrnittee that works for health Implement home gardens 154 Level of community knowledge on CIAL's work (qualitative indicator) No. of people who know the group and work with them (more hectares planted to tita ti ve Bookkeeping records of the CIAL entries, expenditures and balance (quantitative indicator) Projects formulated by the CIAL Projects implemented by the CIAL to purchase machinery Level of knowledge on ment in diet Housing (impact) No. of houses in process of · ment Les sons learned PME can be established in groups that have different "stages of maturity"; that is, it does not matter whether they are in the process of formation, if they have been functioning for sorne time, or whether it is a group that wants to reformulate its work or even in those cases where the group had fallen inactive if they are motivated to work towards their objectives. PME systems stimulate the grassroots groups' capacity for analysis, identifying problems, proposing and implementing possible solutions. The group itself decides which aspects of their work they are going t o monitor and evaluate, as well as with what frequency they are going todo it. Groups that were discouraged have been reactivated as can be seen in the projection of their work. Once the PME systems are established, the CIALs should be accompanied in the process as in the majority of cases, there are questions on the part of the people who are responsible for implementing it in relation to how the system functions. Sorne of these questions are: What is the first thing that we have todo in order to reach the objective that we set? How should we fill ou t the formats that were designed to record the information generated by the group? Who is the person responsible for gathering and recording the information on these formats? How often should we fill out the formats? When should the information be presented to the CIAL and the community? Regular backstopping is one of the factors that makes the difference between success or failure of PME, given that it can strengthen the grassroots groups in those aspects where they feel weak and it also serves to stimulate the execution of the activities oriented toward fulfllling the objectives. In the future it is important that at the moment of creating the structure of the CIAL, PME be included from the onset so that it be considered as a routine part of the CIAL's work and not viewed as an additional work load. It can be affirmed that using probing questions in a sort of chain, where all the links a re the CIAL's work in function of the time and of the expected results, it is possible to obtain indicators that can measure the effects and the impacts of the process undertaken by the grassroots group. Projection of PME work in Cauca Given the experience accumulated over two years of work in establishing PME systems andas a response to the needs generated by the grassroots groups, the following activities are contemplated: S e lection of CIAL mode ls for PME. A number of CIALs are going to be selected a s models in the implementation of PME in Cauca and La tín America, where much more emphasis will be placed on the accompaniment and strengthening of the PME system so that they can serve as an example and model for the other CIALs that are not so far along in the process. They will also attend tours and be motivators for PME in the CIAL groups and other community groups that have a director indirect rela tion ship with them. 155 Hold PME meetings among the CIALs of CORFOCIAL that have already established and implemented the PME system to share experiences and strengthen the process. Moreover, an intemational PME meeting among all the CIALs that have implemented PME systems in Colombia, Honduras, Bolivia, Ecuador and Nicaragua is being organized. Contacts are being made with entities such as the Foundation for Participatory Research with Farmers in Honduras - FIPAH (formerly IPCA) and the PROINPA Foundation in Bolivia. Workshopsfor recordi ng Information; Dueto the problems encountered in recording the information, sorne workshops will be held in the short term in order to reinforce the recording of information by the CIALs and also to strengthen the Guides in this topic so that they can support their groups better. PME in the CIAL m ethodology: The idea is to prepare a methodology where from the moment that the CIAL group is formed, the PME system is implemented in order to see the progress in their work and the fulfillment of their objectives. References Estrella, M. (Ed.); Blauert, J.; Campilan, D.; Gaventa, J .; Gonsalves, J.; Guijt, 1.; Johnson, D. ; Ricafort, R. 2000. Leaming from change: Issues and experiences in participatory monitoring and evaluation. lntermediate Technology Publications, London, UK. 274 p. FAO (Organización de las Naciones Unidas para la Agricultura y la Alimentación). 1996. Manual de consulta para el promotor de grupo. Rome, Italy. 74 p. Germann, D.; Gohl, E. 1996. Participatory impact monitoring {PIM). GTZ; German Appropriate Technology Exchange {GATE)/Information and Advisory Service on Appropriate Technology {ISAT). Braunschweig, GE. Guijt, 1.; Gaventa, J .. 1998. Participatory monitoring and evaluation: Leaming from change. Institute of Development Studies, Brighton. 9 p. (IDS Policy Briefing 12) PNUD {Programa de las Naciones Unidas para el Desarrollo). 1997. M o ni toreo y evaluación orientados a la obtención de resultados. New York. 96 p . Probst , K. 2002. Participatory m onitoring and evaluation: A p romising concept in participatory research? Lessons from two case studi~s in Honduras. Ph O dissertation. Univers itát Hohenheim, StuUgart, O E· 213 p. 156 ANNEX l . Res ults of some CIALs with PEM. • C IA L General Objeclive Specific Objectives Activities l mlicalor s • i Conduct rcsearch on maize lnlcgralc the CIAL Wllh the Vislts ofthc commwlity to thc C!AL trials No. ofpcoplc that havc visitcd thc CIAL trials f and managc projccts to communi1y Feedback ofthc CIAL lo lhc community No. ofpcoplc that havc rcccivcd feedback from thc CIAL cslilblish production that No. of pcople thal havc planted thc varieties that the C IAL has hclps bring about fuod ., studied 1 La Unión 1 securily in the wne Do research on common bean Planling trials No. of trials cstab!ished and slagc of rcscarch 1 variclics No. of varicties adapte<.! lo U1e zone 1 1 Manage projccts Small businesscs in project managcmenl No. ofpcoplc trained m projcct managemcnt ¡ Write projects No. ofprojects written by the commw1ily l Conducl rcscarch on !nlegrate the C!AL w1th the Vislts ofU1e commw1ity to the CIAL trials No. of pcople U1at have visited the ClAL lnals 1 commou bcans and COilllnwtity Feedback ofthe CIAL lo the commwlity No. ofpeople thal ha ve received feedback from the C!AL manage projecls lo No. of people that have planted the varieties thal the C!AL has ' establish production that studied La Unión 2 b 1 b · bo ,. __ ,, f · ¡· ¡ e ps nng a ut •vvu Do research on common bean Plantmg tr1als No. o tnals estabhshed and stage o researc 1 secw·ity in the WIJC varietics No. of varieties adaptcd lo the wne 1 Manage projects S mal! businesses in projecl management No. of pcople trained in projccl management Wrile projccts No. ofprojects written by U1e community Get resourccs to strengthen Gct economic resources Organize a socccr championship with lit ir & dancing No. of activities to get 1csources the rcsearch (cassava for afterwards Fuud statement of cash position fresh markct and starch) Hold fcstivals with adcquatc soil Hold raffics managcment and managc Hold bingos projects lo fonn small Strengthcn the group and Comply with steps of the research ladder (take the No. of cassava varieties identified with high production and starch businesses lo improve the CIAL research CIAL formats) (the whole projecl) quahty level of income in thc Identify cassa\•a varietics that are adapted and ha ve No. of people that are pa11icipating in the CIAL tasks cmmnunity good starch conlcnt No. ofpcople that havc visitcd lhc CIAL trials lncrease thc no. ofCIAL members No. ofvisitsoflhe C IAL promoter to the communily " · lntegrate CIAL's and community's objectives No. offecdback meetings lo thc community San Isidro- Invite lhe community to scc thc CIAL trials M en Prescnl research rcsults to the community Managc the soils adequate!y Plan! live barriers (short-tenn research) ·· , ~ (duc to deteriora! ion produ ced Establish dead barricrs (short-tenn rcscarch) • by lhe cassava crop) Green manure (Tito11ia diversifolia) (short-tenn research) <;:rop rotation (shmHenn research) ~· ,., ' ·"· ' · · - ' "' ~ Strips wilhoul plowing (shott-term rescarch) Meeting of cassava producers ( leascrs) with the Jandowners (lessce) lo anange thc conditions o f . _ the !case " ' Manage projects The CIA L leads projecl management No. ofprojccts preparL'o alltbc stcps of the C IAL rcsearch ladtlcr Formats of rcscar ch lrial.s fillcd out improve thcir level of ltfc maizc) Hold a planning meeting to bcgiu with the Planning meeting (fonnat lillcd out) rescarch on mai2-c Gct cconomic rcsourccs llold bingos :md raffics An.•ount of funtls collectcd (balance) Train in how to present projccts {I~CORA and No. pcoplc trainrtl in how to prcscnt projcct othcr cntities) No. projccts preseutcd to cntitics Prcsent projects to cntitics No. projects passed Acquire own lot for rcscarch and Grt a lot :tllll pay lease with lhc pi'Odurlion Amount of funds collcctcd production Contrae! for !casing tite lot Amount ofsccd so" u ~ lnarease !he production of CIAL timned and funclioning lncrease thc no. pcoplc In the C IAL antl No. pcople pa11Íc1pating in !he C IAL 's activities sugnrcanc fiJI pandll ami maizc collaborators No. activítics eurricd out (o gct •csourccs in ordcr to imp1 ove food s~-ctn ity lmprove the organizat ion ofthe Program visits ofthe community to thc CIAL trials ~o. pcople that vJsitthe CIAL tri ah and form a smal,l busít1css to CIA L Hold licld days for the CIA L to providc feedback to No. pl'Ople that attcndcd the ficld days El hclp improvc thc leve! of lifc in thc community No. p~nplc tiom thc commwuty thal havc plantcd 1111.: vaJiCIICS Jardín thc COilliiiUilll)' rccommcndcd by thc CIAL Do rcscnrch on sug¡•rcane and ldcnlí(y sugarcane varietíes that havc good pancla No. vatietics of cane tor panela and maize idcntified by thc CIAL maize vatieties protluction and lhat are adllpted to the zone. as that havc good production and are adapicd lo the zone wcll as good maize vaJÍ<.'llcs Go t11roug.h all thc steps ofthc CIAL rescarch laddcr Get cconomic resourccs Hold raflles, lcstivals and savings Kcep an aceounttng hook (entnes, dchits and balance) --- -- --- --- 159 steps that perhaps had not been contemplated during the Colombian experience, or if they were, were not documented. The procedure based on the available documents and materials is outlined in Figure 1. The scheme is divided into contextual elements- elements that we have considered as our own or unique to the Colombian context in which the procedure was developed; and suggested steps, essential in the implementation that should be included in the replication of the procedure, regardless of the context. Contextual e lements These elements change according to the context in which a participatory procedure is implemented and influence the mode of implementation of the suggested steps and the end results. In the Colombian experience the most important contextua! elements were the actors and the crop. The actors In the Colombian experience there were severa! di!Terent actors: agricultura! research institutions (national and international), universities, cooperatives, NGOs, small processing industries of the cassava roots and small farmers. In addition, there was GRUY A (Cassava Group and Associated), a group of professionals from different institutions and specializations with experience in the cassava crop, who met periodically to share experiences, plan activities and provide mutual support on different topics rela ted to the ero p. The existence of GRUY A greatly facilitated the work and ensured that no important aspects of the crop were left out in the implementation of the project. It also facilitated the interaction with the producers and the geographic coverage that was obtained with the trials (interinstitutional agreements is one of the topics that is analyzed later on). In addition to the relationships among the entities, the identity of the main actors, their mandates, principies, objectives and modes of work are important con textual elements. It should be mentioned that in the Colombian context, CIAT, one of the entities initiating the project, had the objective of developing a procedure for PPB and creating the capacity within their member entities for replicating the procedure. Therefore, there were activities and strategies such as the continuous training of professionals, the Interinstitutionallinkages, the hiring of a person specifically to prepare and document the procedure, the availability of a budget, the centralization of the information, and the strategy of beginning the work within the conventional scheme and with materials in advanced stages of breeding that were highly significant in the Colombian experience, but not necessarily in in other countries and with other crops. The identity of the producers is also an important contextua! element. Although the producers can be seen asan intrinsic element of the procedure as the suggested step "selection of the farmers" implies, it should be noted that their identity and their socioeconomic situation vary according to the context. As explained later, most of the farmers that live in the region where the project was established are small farmers (average of 0.5-1 ha land), male, with a great deal of experience in the production of cassava, which is grown mostly for on-farm consumption and the fresh root market Although there are other subregions and other socioeconomic profiles within the region, these were the target of the project, given the manda te and the objectives of the executing entities. The crop 162 Much can be deduced from the name of the procedure that we are analyzing. The name Participatory Research for Cassava Breeding (PCB) suggests that the procedure was developed specifically for the cassava crop, which it was for circumstantial reasons. The breeding strategy, the type of selection, the structure of the replications, the experimental design, the time, the space and the resources required in the procedure are specific to the cassava crop and will naturally vary with other crops. The sequence of steps suggested within the procedure have been and can easily be applied to other crops. The crop is also an important element in the Colombian context because cassava is a subsistence crop, common and traditional in the project areas. This facilitated the establishment of the participatory procedure as the farmers of the Atlantic Coast ha ve a great deal of experience and knowledge on this crop. Working with crops where the farmers have no experience (e.g., in grasses for pastures or varieties used for ground coverage in sorne cases) and where the benefits of the technology cannot be seen qualitatively in the short term (e.g., the conservation of soils or protein digestibility and content in forages) can present different, more difficult challenges for the researcher. Steps suggested in the PCB procedure The steps suggested in the PCB procedure are, sequentially, as follows: Establishment of objectives. In PCB the objectives are established by the participating entities befare beginning the participatory procedure. Selection of farmers and sites (and the establishment of a network of trials) is done through participatory techniques that orient the selection of producers based on several selection criteria established by the entities. The participatory diagnosis defines, in a first instance, the problems or constraints and objectives of the participants. The selection of materials to be evaluated (technological supply) is based initially on the description of the "ideal" variety; and after the first cycle, on the producers' criteria. Open-ended evaluations (subjective information) a nd agronomic evaluations (quantitative information) are used to gather data for analysis. The criteria are determined, and the glossary of terms is prepared, using evaluation formats and su bjective analysis of the information. The field books are formats of tables of frequencies to determine the relative importance of the criteria. The information is analyzed statistically, using regression analysis for nonparametric data. The pre-release phase is defined by the research entities. The varieties are released according to the regulations of each research entity. Discussion Four key areas within participatory research (PR) are analyzed: the selection of participants, the establishment of objectives, the analysis of information and interinstitutional agreements. The following aspects a re look at: what the respective documentation existing on PCB suggests, how it was dealt with during the Colombian experience, what aspects were not considered, and finally, how can the procedure be refined in light of the experiences and the Jessons learned in PPB at the international level in the last 20 years . Selection of farmers and communities 163 The selection of farmers in the Colombian communities was coordinated by research institutions through staff that were familiar with the farmers' production systems. The staff selected farmer experts from communities in edaphoclimatic zones similar to those of the experiment station and where cassava is a priority crop (Iglesias & Hernández, 1994). The participatory procedure recommended selecting farmers in each location based on the following criteria: Recognition within their community as experts in the cassava crop Interest in the trials Availability of the necessary area Location with easy access to the markets in the region Communication skills (capacity and willingness to transrnit their thoughts} Production systems typical of small cassava producers It was recommended that in each evaluation cycle, the farmers responsible for the trials be changed, replacing them by others selected using the same parameters as befare, involving neighbors who showed interest and had possibilities of establishing participatory trials on their farms in later cycles. The idea was to extend the coverage of experimental environrnents in order to ensure broad adaptation of the clones and involve members from the gamut of end-user groups involved in cassava production in the region, thereby ensuring acceptance of the clones within all the groups, not just one or two. Despite this, the group of end-users in which the selection of participants was emphasized was the group of the small farmers since this is the group to which the majority of the farmers of the region belong and also the ones that figure within the mandate of the entities that implemented the project. In the Colombian experience more than 500 producers (all men) participated in 90 trials on 15-20 farms per cycle. Among the participants there were buyers of cassava for the drying plants (cassava chips), producers of starch and members of cooperatives. These groups were invited to the evaluations at the end of the cycle the harvest. But the largest percentage (70-80%) was a critica! mass of small producers dedicated to growing cassava as subsistence crop for fresh root consumption. They participated throughout the crop cycle so the resulting information of the different groups of end-users in the evaluations was separated to prevent confounding the results. Despite having specific objectives regarding who should participate in the process, the project on the Atlantic Coast did not systematize a strategy for selecting the participants . This was simply left to those who were interested (self-selection). Therefore it was not possible to pre-establish a balance among the different groups of end-users represented in the data collection and consequently in the decision of which clones would continue in the selection process. This did not bias the decisions rnuch as it was discovered that the different groups had comparable objectives and similar preferences in relation to desirable varieties even though they had specific criteria in each phase of the production. Thus the same varieties were selecte by the different groups, but for different uses (fresh consurnption and starch production). Nevertheless in other contexts, where the differences in varieties and preferences among end-users can be more notable, the lack of a strategy for se1ecting the participants and ensuring representation anda balance among different end-users could be an important constraint. In such cases the separation of the information according to the groups of end-users would be more important. Reflecting upon the selection process of farmers on the Atlantic Coast, it is important to highlight the importance of also looking for the nonobvious end-users who may not be 164 readily seen or who do not self-select themselves. For example , in this case the women as a group of distinct users were not considered as they have a mínimum participation in getting stakes, planning and managing the crop until its sale in the market. Nevertheless, in a la ter work that had the specific objective of working with women, it was discovered that in this region, the women play a central role in selecting roots for making and selling bollos8 (IPRA-CIAT, 2000). This market is managed exclusively by women, using the income to buy basic needs of the family such as clothes for the children, school utensils, medicine, and at times to pay for transportation. As the project did not have the specific objective to seek the "hidden" end-users, the researchers did not learn of this activity related to their project with cassava varieties. Sometimes the hidden end-users can be women, but other times it can be a group of farmers with a socioeconomic levellower than the majority ora group that supplies a market niche or one specific to the region. To prevent the omission of these end-users, the PCB could incorporate within its diagnosis step, a substep for identifying end-users. In the experience of the Atlantic Coast the entities elected to work with individual farmers that had conditions and cultural practices representative of the zone. The recommendation of the PCB procedure is to work with no more than ten people ata time. This facilitates the data gathering and analysis. Nevertheless, other PPB projects have tried working with more farmers and previously established groups. In Northeast Brazil, for example, the researchers tried to work with entire communities and with cooperatives. They concluded, however, that it was too difficult to organize evaluations and handle the data coming from so many people, except in the case of the cooperatives, which greatly facilitated the work given the fact that they were already organized and used to working together (Fukuda & Saad, 2001). The work with farmers' groups has taken different forms. For example, there is a lot of experience in Latín America with CIALs, community-based research services that conduct research in representation of their communities. There are a lso projects where the researcher s have facilitated the formation of farmer groups such as the groups evaluating clones of pota toes in Ecuador or Farmer Field Schools in Bolivia. These experiences show that important accomplishments such as mutual support and motivation among farmers, the diffusion of technologies a mong farmers' groups, the distribution of risks and benefits, and the possibility of continuity of the work after the intervention by the research entities can be obtained by working with groups. Nevertheless, it has been seen that the formation of groups specifically for a PPB project means dedicating much more time and in sorne cases having personnel a background in group dynamis. This also means that the project should be situated within a broader context of rural development, not for a specific activity such as breeding. In selecting fa rmer s for a PPB project, it is important to consider the distribution of benefits. Generally the research entities have as their mandate to facilita te the rural development of the whole community or en tire region s, not just a few selected farmers. For this reason it is necessary to select farmers who not only comply with the representative conditions, but who are also willing to share what they learn and discover in the research process. Thus the Atlantic Coast project selected farmers that not only had representative conditions and practices and good communications skills, but who also had farms that were welllocated and easily accessible and could thus serve as "show windows" for neighboring producers who walked by there and could see the n ew varieties planted. This stimulated the spontan eous or informal diffusion of the promising varieties and ensured, toa certain extent, "publicity" for th e experimental clones. 8 These patties are prepared with cassava flour and cheese. They are cooked wrapped in maize husks and sold in the urban zones of the region. 165 The combined experiences with PPB worldwide show that the types of farmers, the number who participate and wheth er they participate individually or in groups depend on the project objectives and what is needed to accomplish them. For example, if a project has the obj ective to en sure tha t the benefits of the collaboration are distributed widely, it should look for participants that are recognized leaders in their communities. If the objective is to incorporate the farmers' knowledge in the varietal selection process, it should involve the local experts (PRGA, 2000) . Sometimes the same people fill more than one of these profiles, but other times the local expert is not recognized as a leader in hisjher community, or the community leader does not have sufficient technical knowledge. Similarly, a PPB project can often have more than one objective, which means that they must be prioritized and the participants selected accordingly. With respect to involving women as participants, the combined PPB experience over the last years has shown that the quality of the research can generally be improved significantly as the women are usually in charge of domesticating wild species and of selecting a nd maintaining seeds dueto their knowledge of the germplasm. Moreover, women's preferences are often different from those of the men even though they do not always participate directly in the farming activities as was the case on the Atlantic Coast. Establishment of objectives The objectives of the process implemented on the Atlantic Coast were established by the research entities after an initial exploration of the zone. Fully aware that there is great genetic diversity on the farms of small cassava farmers and that this is not static but changes over time, the researchers agreed to the fact that farmers have a selection process based on criteria tha t permits them to test new materials, observe them and eventually incorporate or reject them. They were interested in learning more about their criteria, with the idea of developing a formal procedure that would make it possible to implement this systematically in the development of technologies. This was the main objective of the project. Thus, PCB does not recoilll'rend the establishment of objectives as a suggested s tep within the p rocedure; rather it assumes that it is an activity that occurs befare the farmers begin to participate. The objectives established for a research process affect the determination of the steps and the activities to be implemented. When the objectives are established prior to the participation of the end-users, their priorities cannot be included in the initial conception and planning of the project. In the case of the Atlantic Coast, the participation of the farmers in the diagnostic phase made it possible to work with producers who identified cassava varieties as the main problem in their production areas. Nevertheless, the final objectives of the breeding itself were not discussed. Were the producers seeking varieties with specific or broad adaptation? Were they looking for one variety or severa!? Were they looking for varieties for on-farm consumption or multiple uses? Were they seeking to improve their cassava yields, or were they also interested in working with other crops at the same time? Were they seeking to conserve and/or improve their native varieties or did they want improved ones? The participants could not consider these and other options that breeding offers because the objectives had already been established. · In addition to the options with respect to cassava breeding, the participants could also have contributed their preferences with respect to their own participation. The combined experience of PPB worldwide shows that the stages of the research (or breeding) in which the farmers and other end-users participate varíes. As mentioned, participation in the Atlantic Coast project began in the diagnostic 166 stage. In other PPB cases, it began in the phase of setting objectives; while in others, participation is only at planting and harvesting. The PR literature and experience a lso indicate that there are different "degrees" of participation, ranging from a consultative to a collegial style. The documentation on the PCB procedure concludes that the preferable style of participation is the consultat ive one and that the initial stage recommended is the diagnosis; nevertheless, this is one way arnong many to irnplernent PR. We would suggest that the objectives of a PPB process could be established in several ways, depending on who is involved, the entities flexibility and the resources available . There are cases of PPB in which the objectives of the process were established jointly among researchers, farrners and other end-users (e .g. , the CIALs working with crops such as potatoes in Ecuador). In such cases the researchers need to explain to the end-users the range of options available and what they can expect from breeding (and what not). It is also important that the researchers and their entities have the flexibility and the capacity to negotiate and modify their own objectives and assurne sorne of the objectives of the end- users if these are different. There should also be sorne elasticity in the frameworks of formal research and therefore in the support of the higher levels of decision-m aking such as the directors of the institutions. In the case of the Atlantic Coast project, it should be noted that given the objectives of the project, knowledge of the farmers' selection criteria was very irnportant. To the extent that learning about their criteria has been an objective of the PPB, it has also been reported as a product of this approach, which in itself does not mean much. To ha ve sorne meaning, the knowledge of farrners' selection criteria has to be incorporated in the breeding process, in the selection of parenta l for crosses and experimental clones. Beside s, farmers• criteria are not static as appears when suggesting an objective is to establish knowledge of thern. Although sorne criteria persist, others change frorn cycle to cycle and from one group of end-users to another. Nurnerous PPB projects have been frustrated by this fact. Another of the principal objectives of the Atlantic Coast project was to select clones for pre-release and others for release. Although this is the objective of most PPB programs, experiences around the world show that the application of the participatory approach can have a broader range of objectives than the release of improved varieties for certain zones. Among the objectives that have been accomplished with this approach in crop breeding, the following can be mentioned: the conservation and enrichment of biodiversity, the organ ization of farmer groups, changes in policies for releasing varieties, multiplication of seeds, access to genetic materials, and t he facilitation of learning by the farmers. When planning a PPB process, the researchers and other end- user groups could consider this approach as a very powerful tool for accomplishing multiple objectives (PRGA, 2000). The results of the Atlantic Coast project are well known. It conformed to a participatory process that has been adopted and adapted in severa! Latín American countries. The farmers' selection criteria are known. Genetic diversity was expanded on their farms. In these terms, it can be said that the project was very su ccessful. Nevertheless in the planning of the PPB experience on the Atlantic Coast, several important elements were not considered: a phase of mass multiplication of seed for the rapid diffusion of the more accepted clones, following up the process to fine tune the methodology, and study of the impact. After analyzing severa! projects that implemented the PCB procedure, it was discovered that these are steps ought to be included as they contribute signiftcantly to the enrichment and impact of the work. 167 Quality of the information and its use The quality of the data gathered and its use is another key issue in PR. The challenge is to obtain, combine and analyze both qualitative and quantitative data for making decisions in the research process. This is a challenge that has not yet been totally resolved in PR. The Atlantic Coast project tested several statistical tools for facing the challenge of the quality of the information and its use. Principal components analysis (PCA) stands out because it reduces the number of variables and analyzes both quantitative and qualitative variables. The application of cluster analysis makes it possible to group varieties, criteria and regions, providing a global vision of the preferences. Nevertheless the most useful tool was logistic regression, which was adapted for analyzing preference rankings and simulating the acceptance of technology by producers. Perhaps the most ímportant contribution of the Atlantic Coast experience with respect to information and its use is the fact of having found a way to make a technical interpretation of the subjective opinions given by the participants in the evaluations. This made it possible to establish an information link between the production systems on the Coast and the experiment stations. The PCB procedure recommends preference ranking to compare degrees of acceptance of the different varieties in arder to classify them from the most to the least acceptable. This process is based on techniques of open-ended evaluation useful for the knowledge of qualitative points of view, explanations and ideas about the reasoning processes of the producers and how they take decisions. A sequence of the steps for analyzing the information recommended by PCB is as follows: Development of flowcharts to guide each activity (Ashby, 1992) Construction of lists of terms, local agricultura! glossaries classified by regían for local, regional and scientific interpretation Identification of criteria, differentiating them from descriptive aspects Integration of the reasons, rankings and criteria identified, differentiating between antonyms and synonyms Development of formats for systematizing the information Development of field books (Hernandez, 1993) Analysis of the information using severa! tools Sorne of the results related to information, obtained with this process in the Atlantic Coast project, were the combination of efficient tools to obtain information (tables of relative frequencies, differentiating between synonyms and antonyms; electronic datasheets for transcribing the information directly in the field; scales for grouping ranges; matrixes with transformations of scales for the joint analysis of qualitative and quantitative information, and a matrix for classifying the preference rankings), the glossary of terms, the criteria, the reasons, the rankings, the field books, the technology profl.les and the alternatives tested in the analytical process. A method that has been adapted recently by Sall et al. (2000) in Senegal is quantification based on a quasi-arbitrary ordinal weighting system of the producers' perception of specific characteristics of a given technology. Tobit regression analysis is used, including variables that represent: The farmers' perceptions on the relative importance of the different characteristics that a material can have 168 The presence and quality of those characteristics in the experimental material The characteristics of t he producers and their farms This method, the same as the one recommended by the PCB procedure, explains and predicts the adoption of improved materials. In the data analysis it is important to consider its source and the relative weight that is given to each participant or group in deriving conclusions from the preference rankings. This can be se en as a process of voting, where each participant has the right to vote for h is/her preferred clones. If the majority of the group of participants represents an interest within the community that is not necessarily the interest of the entire community, then the recommendations based on the preference ranking analysis can be very biased. Thus it is important, as mentioned previously, to select the participants of a participa tory process carefully; or if this is not possible, separate the information obtained from the different interest groups so that the results reflect the community's (ies') preferences more precisely. Another key consideration with respect to the quality of the information and its use is the amount of data gathered. Many PPB projects gather more information than they can manage, process and use. It is important in the planning of a PPB project to determine what information can be used and what not. As mentioned previously, a too! that the PCB procedure has suggested is the field book, which permits the collection of both objective and subjective data (quantitative j qualitative) and also limits the amount of ínformation that can be noted. Many PPB projects produce lists of the farmers' selection criteria. What happens with these at the end of the project? Until whenjwhere are they relevant for other projects in the same areas? An interesting case of information management is the cassava breeding project in Northeast Brazil, managed by EMBRAPA-CNPMF. Given the extensive collection of data and the magnitude of the project, the breeder Wania Fukuda had to create a database in arder to store and manage the large volume of information. Although she felt that she might have collected too much information (pers. com., W. Fukuda), the database has been very useful in later phases of the project for suggesting experimental clones suitable for areas similar to the ones in the database. Interinstitutional agreements The project of the Atlantic Coast of Colombia was implemented in an interinstitutional framework where severa! entities of different types participated. As mentioned earlier, GRUYA, the group that in sorne ways personified these interinstitutional agreements, was important in technical, logistical and strategic aspects, given their composition, experience, coverage and participation in the decisions. In the first place, they made it possible to establish multidisciplinary discussion forums, where experiences were exchanged in each crop cycle, and the analysis and adjustment of the PPB component were facilitated. In addition the members of GRUYA had a network of trials in northern Colombia that brought together experiences of more than a thousand small cassava farmers for analysis in the forums. The interinstitutional agreements also helped the implementing entities to see different potential uses of cassava, incorporating elements/phases of the production change in the process that had not been contemplated at the onset of the project. Finally, the interinstitutional agreements provided the opportunity for the staff from the different entities to be exposed to the participatory approach. As a result of this experience, the PCB procedure recommends implementing interinstitutional projects, wherever possible. 169 The results of implementing the PPB project on the Atlantic Coast in an interinstitutional setting can be see in the broad geographic coverage of the work involving a large number of producers and the participation of professionals of different disciplines. Another very important result of the interinstitutional agreements (in particular, the association between ICA and CIAT) was the institutionalization of the participatory approach in lCA, which has been using the PPB as a routine procedure in cassava breeding and for some other crops such as yams (Discorea trífida L.) in the Turipaná regional office in Cordoba, Montería (pers. com. , A. Lopez). Des pite the interinstitutional agreements during the implementation of the project on the Atlantic Coast, there were no joint actions. The participating institutions acted as advisors and links with the different sites where the trials were implemented; but the responsibility of implementing the project, analyzing the data and documenting the process was mostly assumed by CIAT. In this way no feedback was received in the documentation of the process and the analysis of the information from the entities, which would no doubt have enriched the work. What was not considered in designing the institutional arrangement was the distribution of resources, responsibilities and recognition of the different member institutions. This is indispensable for the motivation, active participation and the empowerment of the institutions associated in an activity and therefore in the possibilities of continuing such an arrangement. The idea of using the interinstitutional agreements to reproduce the experience on a larger scale was not considered either. This would have required more commitment from the member institutions in a relation of belonging, where they could also expect resources. Conclusions With respect to the selection of farmers, it is recommended to have an explicit strategy based on the objectives of the collaboration, use specific criteria, involve members from a broad range of d ifferent groups of end-users (including women) both within the communities and in the production-marketing chain, seeking the hidden end-users and working with already established groups (if they exist in the area). The selection of farmers is a key element in the social impact of the work. The establishment of the objectives in a PR process is perhaps the most important phase of a project as roan y of the decisions as to how to implement a procedure depend on the objectives. We suggest that , to the extent possible, the objectives be established together with the participan ts of the process and not beforehand. This can increase the relevance of the work for the end-users and therefore the impact. Besides, the participatory approach can be a vehicle for fulfilling a gamut of different objectives and does not ha ve to be u sed just for developing new varieties. In the Atlantic Coast experience, it should be highlighted that two elements were not considered that have proven to be essential in later PPB projects: A phase of mass multiplication of seed of the clones accepted by farmers An impact study that includes considerations referring to the methodology per se and the process implemented. Another key topic that is dealt with in this article is the quality and the use of the information gathered. In the Atlantic Coast experience, several altematives useful for meeting the challenge of establishing a link between the analysis of quantitative and qualitative information were used. Logistic regression, adapted to the analysis of the preference rankings to simula te the acceptance of the experimental materials by the 170 farmers, is recommended. The use of a field book, similar to the one developed during the Atlantic Coast project is also recommended in order to limit the amount of information gathered to what can really be used and analyzed. The incorporation of the information or of the conclusions of the analysis in making decisions about the clones to be evaluated, recommended and released is an essential step for that process to be considered participatory. The PCB procedure was developed within an interinstitutional framework that provided severa! advantages to the Atlantic Coast project. Among them we can mention being able to interact with a wide range of professionals from both research and extension as well as merchants, and the availability of wider ranges of geographic coverage for the trials. Another advantage is the exposition of severa! institutions to a new research approach. Given that the institutional framework is a contextua! element, on which the projects and their implementers do not have much influence and it is not a suggested step in the procedure, perhaps it is out of place to make recommendations as to its form. Nevertheless, it should be mentioned that the interinstitutional collaboration can be highly advantageou s for a PPB project and that in the event that there is such a collaboration, it is advisable that the members establish the objectives, the roles of each one in the collaboration and the corresponding responsibilities and obligations in ajoint process. The Colombian Atlantic Coast experience and the development of the PCB procedure were very successful. We need only to see the number of clones released and accepted among farmers and the adoption of the same procedure in severa! Latin American countries. References Fukuda, W.M.; Magalhaes, J.A.; Cavacanti, J.; Pina, P.R.; Tavares, J.A.; Iglesias, C.; Hernández, L.A.; Montenegro, E.E. 1997. Pesquisa participativa em melhoramento de mandioca: Urna experiencia no semi-árido do nordeste do Brasil. EMBRAPA-CNPMF, Cruz das Almas, pp 38 BR. (Documento no. 73) Fukuda, W.M.; Montenegro, E.E.; Mendes, C.; Fukuda, C. 1994. A participac;ao dos productores no processo de melhoramento de mandioca: urna estrategia para difusao de novas variedades. EMBRAPA-CNPMF, Cruz das Alma s, pp 56 BR. Hernández, L.A. 1993. Evaluación de nuevas variedades de yuca con la participación de agricultores. CIAT, Cali, pp 85 CO. (Documento de Trabajo No. 130) Hinostroza, F.; Cárdenas, F.M.; Alvarez, H.P. ; Cobeña, G. 1988. Proyecto Integral Yuca. Manabí, Ecuador. Estudio de caso presentado en el Curso-taller sobre Investigación Participativa. PREDUZA-INIAP, Riobamba, pp 46 EC. Iglesias C.; Hernández, L.A .. 1994. Interfase entre los programas de mejoramiento, los campos de los agricultores y los mercados de la yuca en Latinoamérica. CIAT, Cali, pp 127 CO. (Documento de Trabajo No . 138) Iglesias C.; Hernández L.A. 2000. Mejoramiento Participativa de Yuca en América Latina y el Caribe: interfase entre Jos mejoradores, agricultores y mercados de la Yuca. Centro Internacional de Agricultura Tropical CJAT Iglesias, C.; Hernández, L.A. 2003. Scaling up pa rticipatory plant breeding as part of an international program. In: Ashby, J.A.; Sperling, L. (eds.). Participatory plant 17 1 breeding and rural development. Program on Participatory Research and Gender Analysis, Cali, CO. (in press) IPRA-CIAT (Centro Internacional de Agricultura Tropical). 2000. Annual Report October 1999-September 2000. CIAT, Cali, pp 145 CO. PRGA (System wide Program on Participatory Research Gender Analysis). 2000. Fitomejoramiento participativo en América Latina y el Caribe: Memorias de un simposio internacional (Aug. 3 1-3 Sept. 1999,Quito, Ecuador). PRGA Program: Cali, CO. (CD-ROM) Quirós, C.A.; Gracia, T.; Ashby, J.A. 1992. Evaluaciones de tecnología con productores: Metodología para la evaluación abierta. Proyecto IPRA, CIAT, Cali, CO. (Unidad de Instruccón No. 1) pp. 129 Sall, S.; Norman, D.; Featherstone, A.M. 2000. Quantitative assessment of improved rice variety adoption: The farmer's perspective. Ag. Systems 66(2): 129-144. Weltzien, E.; Smith, M.; Meitzner, L.S.; Sperling, L. 2000. Technical and institutional issues in participatory plant breeding-from the perspective of formal p lant breeding: A global analysis of issues, results, and current experience. PRGA Program: Calí, CO. (Working Document no. 3) pp. 167 172 OUTPUT 2. STRATEGIES AND ORGANIZATIONAL PROCEDURES FOR PR, DEVELOPED Milestones Strategies for Enabling rural innovation developed in Africa FPR approaches developed in Latín America validated in Africa Methods for participatory agro enterprise development systematized and available for users Seed enterprises established at village level in two African countries. Areas in Kenya identified with local partners for evaluating and testing PM&E systems Families in a pilot si te in Colomi, Bolivia identified and characterized their well-being. Suitable CIAL self-financing mechanisms identified and documented. Participatory research and validation on new alternatíves for improving productions systems. Lulo growers identified in two zones of Cauca Province, interested taki173g part in a participatory varietal selection project (Pescador and Tierradentro). Five improved Lulo cultivars selected by farmers in each zone. Developing a scaling-up strategy for 'Enabling Rural Innovation" Project Researchers: Rupert Best, Colletah Chitsike, Robert Delve, Pascal Sanginga, md Susan Kaaria9 Background Growing evidence d emonstrates that participatory research (PR) approaches can increase the benefits of agricultura! research for resource-poor smallholders living in rural areas. These methods not only address the specific needs of poorer farmers and develop technologies that are better suited to their conditions, but they also empower farmers by giving them control over the research agenda and by building community- based organizations. Participatory approaches have often been criticized, however, because their success is only at the locallevel and therefore their impact is limited (e.g., on the small group of farmers participating in the project). The potential of PR approaches to impact on rural livelihoods will be realized only if promising technologies can be developed, disseminated and adopted by farmers. During a recent retreat, the Enabling Rural Innovation (ERI) team decided it was critica! to develop a scaling-up strategy to ensure that these considerations were built into the project right from the beginning. The definitions and objectives used for scaling up are consistent with those developed by the CGIAR-NGO committee ata conference in the Philippines (IIRR, 2000), which defined the objective as follows: "Scaling up leads to more quality benefits to more people o ver a wider geographic area, more quickly, more equitably and more lastingly." Consequently, it is evident that if PR approaches are to achieve scaling-up objectives, these approaches must demonstrate the ability to benefit large numbers of poor people across large areas within reasonable time frames. Developing strategies for scaling up has been the center of much recent debate within Research and Development (R&D) institutions, especially those concerned with natural resource management (NRM). Severa! international workshops have been carried out (Cooper & Denning, 2000; Güendel & Hancock, 2001). These workshops aimed to identify "best practice" and 9 A11 contributors are scientists at CIAT-Africa Office, PO Box 6247, Kampala, Uganda. 173 strategies for scaling up ofNRM research (Güendel & Hancock, 2001). The workshops identified several issues critical for successful scaling-up efforts: Developing research partnerships and linking with other stakeholders New modalities for doing research; PR identified as a key area Capacity building to increase the pool of people with skills Integration of monitoring and evaluation to enhance learning, build in corrective loops, and measure progress and evaluation of impacts Institutionalizing scaling-up , with a focus on vertical scaling-up to ensure feedback of research results to policy and research agendas and vice-versa Enhancement of sharing and learning from other fields (e.g., health sector, which has a wealth of experience in developing participatory approaches and scaling-up strategies) Why scale up the ERI framework? Communities applying ERl framework for better decision-making Institutionalization of methodology within existing partners New partners applying the ERI framework in their ongoing work with communities Policymakers within governments, NARS, universities, extension, and NGOs aware and sup portive Adoption of technology within pilot communities and other communities Focus on scaling-up approaches, methods and technologies Developing a scaling-up strategy To achieve the foregoing objectives, it was important to develop strategies based on who the target was and at what level the impact was desired. Therefore, specific strategies were developed for scaling up at different levels: within the community, across to other communities, within the district, within the country (nationally) and across countries (internationally). Figure 1 presents the different levels of going to scale graphically: vertically and horizontally. Table 1 demonstrates specific strategies for scaling up and out at different levels. 174 GOINS TO SCALE Mae Benefits, 1lcre People, Mae Q.Jid ._ __________ __,: 17)) Figure l. Scaling up as vertical and horizontal integration strategies. 175 Table l. Specific strategies and activities for scaling up and out at different levels. Levels of Objective of Scaling Partners, Institutions & Scaling Up Up/Out Governmentlo Specific Activities Adoption of technology Africare Feedback from research group to community Within the within pilot Local government Active role of champion farmer in new farmer groups community communities and structure Community drama; e.g., on gender to others Agromanagement Community development facilitators to train other Scaling out of ERI Farmers groups (initial groups framework by other agreement to Involvement of local and district government groups not in initial train other structure in all aspects groups groups) Communities Africare Exchange visits Across applying ERI Local and district Awareness building and involvement of local communities framework for government government better decision- structure Identification of interested organizations and making Champion farmers institutions or interested groups Adoption of technology Community Development Facilitator to build within pilot capacity of new service providers communities and Champion farmer has active role in new farmer to others groups Institutionalization of Identification of different Development of scaling-up strategy and work Within the methodology within types of partners: plans with partners: district existing partners ricultural research Evaluation of institutionalization of ERI approach New partners applying Os among ex.isting partners the ERI framework nistry of Agriculture Analysis of partnership processes and scale up in their ongoing Farmer associations lessons work with Local government Identification of capacity-building and technical communities Consortium of service providers backstopping needs Policymakers within District Extension Coordinator Find out about membership in CEED governments, (DEC) Share results and if there is demand, provide NARS, universities, training of CEED members on ERI approach extension and NGOs aware and sup___2ortive Institutionaliza t Agricultura! research Institutionalization of approaches National ion of NGOs Participation in national agricultura! shows for PR -- - -- 10 Role of partners - new & old. 177 Levels of Objective of Scaling Partners, Institutions & 1 Scaling Up Up/Out GovernmentlO S_pecific Activities methodo Ministry of Agriculture Evaluation of institutionalization of ERI approach logy Farmer associations among existing partners within Local government Analysis of partnership processes and scale-up existing Consortium of service providers lessons partner DEC universities ldentification of capacity-building and technical instituti APEP-USAID project backstopping needs ons (Chemonics) Build capacity of community development International NGOs facilitators and assistants in facilitating scaling- CGIAR Cen ters: Future Harvest up strategies Uganda Engaging policymakers Key government policymakers Field visits of key government policymakers Parliamentary group on food (Minister, National Agricultura! Advisory Policymakers security and land Services-NAADs, National Agricultura! Research within degradation Organization) governm Attend meetings and seminars, make presentations ents, Posters and papers at conferences NARS, Develop simple publications and distributed widely universit Currículum development with University ies, Developing training guides extensio n and NGOs are aware and su pporti ve New partners applying Partnerships with Participation in international meetings and Across the ERI framework in organizations working across conferences countries their on-going work countries and regions: Posters and papers at conferences with communities Participatory Ecological Agroecology highlights Policymakers within Land Use Currículum development or testing of guide governments, Management- CIAT-Africa web-s ite NARS, universities, PELUM Proposal writing extension, and Networks: Eastern and Publishing peer review articles NGOs, aware and Central Africa - supportive Bean Research - - - - - 178 Levels of Objective of Scaling Partners, Institutions & Scaling Up Up/Out GovernmentlO Specific Activities Network- CABREN AFNET International NGOs: Catholic Relief Services-CRS 179 References Cooper, P.J.M.; Denning, G. 2000. Scaling up the impact of agroforestry research. Report of the agroforestry dissemination workshop (14-16 Sept. 1999) International Center for Research in Agroforestry (ICRAF), Nairobi, Kenya Güendel, S; Hancock, J. 200 l. Scaling up strategies for pilot research experiences. Workshop 23- 25 January 2001 , Whitstable, Kent, UK. Natural Resources Institute, United Kingdom. (workshop report) IIRR (lnlernational Institute of Rural Reconstruction). 2000. Going to scale: Can we bring more benefits to more people more quickly? Silang, Philippines. 180 Enabling rural innouation in A frica: Integrating farmer participatory research and participatory market research Contributors:Il Pascal Sanginga, Colletah Chitsike, Rupert Best, Robert Delue, Susan Ka aria, Roger Kirkby Collaborators: Partners in Malawi, Uganda and Tanzania Introduction Farmer participatory research (FPR) is receiving considerable recognition in both international and national agricultura! R&D organizations as an important strategic research issue, vital to achieving impacts that benefit poor people in marginal, diverse and complex environments. There is now a large body of literature tha t demonstrates considerable advantages and the potential of involving farmers in the research process (Ashby et al., 2000; Lilja et al., 200 1; Pretty and Hine, 2001; Martín and Sherrington, 1997; Okali et al., 1994). It is argued that FPR can significantly improve the functional efficiency of formal research (e.g. , better technologies, more widely adopted, quicker and broader impacts) and empower marginalized people and groups to strengthen tl'leir own decision making and research capacity to make effective demands on research a nd extension services, thereby resulting in payoffs for both farmers and scientists. Until recently, however , the emphasis has been on food security crops and natural resource management (NRM), with little attention to the income needs of poor fa rmers. This resulted in improving subsistence rather than market-oriented production systems. A major constraint to improving the livelihoods of smallholder, resource-poor farmers is their ability to access markets. Farmers' financial benefits from agriculture are often reduced by their limited opportunities and skills for identifying markets for their produce, and by low bargaining power with such rural service providers as market middlemen, agricultura! extension agents a nd researchers. Key shortcomings for both FPR and agricultura! research a re failure to link farmers to markets and increasing incomes for marketing agricultura ! products. A key challenge today is to c reate an entrepreneur culture in rura l communities, where fa rmers produce for markets rather than trying to market what they produce. Enhancing the ability of smallholder , resource-poor farmers to access market opportunities and actively engaging in them is one of the most pressing development challenges facing both govemments and nongovernmental organizations (IFAD, 200 1; IFPRI, 2002; Kindness and Gordon, 2002). On the other hand, a market-oriented prod uction system is likely to lead to land degradation and the unsustainable use of natural resources, which can eventually limit the potential for market production. Su s tained growth in profitability will depend upon continued improvements in NRM technologies, which are key for increasing yields in low-external input farming system s. Sustainable improvements of rural livelihoods a t the household level depend upon much more than improved access to technology and markets. It is now widely accepted that providing sustainable support to women farmers is a critica! element of a ny rura l innovation system. There is no question tha t integrating gender-sensitive participatory approaches in agricultura} R&D projects is a win-win strategy for reducing hunger in Africa (IFAD 2001; IFPRI 2002). Because of their cri tica! role in food production , processing marketing and consumption, women should be at the core of any s tra tegies to improve rura l livelihoods and build the assets of the poor. Recent research has also shown t he importan ce of social capital foundations for su ccessful innovations and community development. Social capital encompasses the nature and strength of existing relationships among members, their ability to organize themselves for mutual beneficia} collective action a round a reas of common need and managing the social structures required to implement such plans; and the skills and abilities that community members can contribute to the development process (Uphoff and Mijayaratna, 2000; Woolock 11 All contributors are scientists at CIA T-Africa Office, PO Box 6247, Kampala, Uganda. 181 and Narayan, 2000). Social capital is an important asset that can be called on in a crisis, to the extent that communities endowed with a diverse stock of social capital are in a stronger position, not only to confront poverty and vulnerability but also to take advantages of new opportunities (Grootaert, 2001; Narayan and Prittchet, 1999). Consequently, measures to strengthen the social capital of local communities willlead to the improved adoption of sustainable NRM practices. This report summarizes a novel approach to participatory research (PR) being applied in eastern and southern Africa: "Enabling Rural Innovation" (ERI), a partnership between R&D organizations that links small-scale farmers to markets to improve food security, income and NRM. ERI is a mutuallearning process approach for empowering rural communities and facilitating an enabling environment to access and generate technical and market information for improving decision-making and capacity to innovate, experiment, access market opportunities and better manage their resources in a more sustainable manner. More specifically, it links farmer PR, market-opportunity identification and development of technologies for integrated soil and nutrient management, with a focus on women and the poor. This report describe Iessons and challenges in implementing this participatory learning and action research through a learning alliance between R&D partners and farmers' groups in pilot sites in Uganda, Malawi and Tanzania. Methods CIAT defmes rural innovation is defmed as "the process by which various stakeholders generate, adapt or adopt novel ideas, approaches, technologies or ways of organizing, to improve on- and off-farm activities, so tha t the rural sector becomes more competitive in a sustainable manner". In Africa this definition was made operational through the participatory action research project, "Enabling Rural Innovation," which integrates farmer PR and participatory market research (PMR) to improve rurallivelihoods. The key steps in implementing ERI are shown in Figure l. The details of the conceptual framework for ERI are described in greater detail in the paper, "Strategy Document: The Resource-to-Consumption Framework as a Strategy for "Enabling Rural Innovation (ERI)," also in Output 2 of this report. Key steps in " Enabling Rurallnnovation" .....- - 1] ,,. {:::} 1 Identification of partners 1 ~ and selection o f sites • + ~:: {:::} J,, Participatory co'mm unity 1 ~ .... L diagnosis and planning '"'e ~ ~ • .. ~ + .. o o.., ... !h ~< {:::} 1' Selection of reaearch 1 ~ "'"' ~ .. 11 o • • and market groups tr= .. "' bll ..:;: u Q E T T -, • .. ,. ., .. {:::} 1 Evaluation of food 1 1 Evaluation of mal'ket 1 ¡- ~ llo , ~ o 1: .. _production optiOI}f!: OP"Rortunitl~s P.ll .... • +~ - ·~· a"' "' _j "' 11 ::S .. e ~ ..1>1 u """' bll • "" Q .o .. ~ Farmer .. .. ~ , o ~ ..o • 01 .. exp'erimentation -< • ::s-u .. .e- ""- cycle .... fl) ra. o- ~ .. o .;.._ .....__ .. • a :s .. {:::} 1 Feedback to the 1 ~ "'ó' • .. ... a. 1 community o 11 {:::} 1 Im pro ve m en t of food 1 productlon technolociea 1 Development of aelected enterprlaes <=>L....-.. - 182 Results and discussion This section highlights the results of applying the ERI framework, and discusses the implications for R&D, which include building and managing partnerships, selecting communities and farmer groups, participatory diagnosis (PD) and community visioning; market opportunity identification and community agroenterprise selection; farmer experimentation; promoting gender equity and building social capital, strengthening human capital and scaling u p. Building and managing partnerships Tim Smith, who conceived the Eden Project (Cornwall, UK), argues that" Innovation is not about hiring an Einstein or creating a slogan. Everybody is capable of it, and the first sign that it is happening is when people work together, excited because they want to be there, focused on finding a solution toa challenge they all understand." (emphasis added) 183 T bl 1 ERI i a e . s tesan d partners i n eastern an d so u th ern Afri c a Countries Si tes Partners Malawi Dedza · Dept. of Agricultura! Research Services Ukwe (DARS) Kasungu Lilongwe Agricultura! Development Division (LADD) Plan Intemational Uganda Ka bale National Agricultura! Research Masindi-Hoima Organization (NARO) Toro ro Africare Africa2000 Network CashFarm ActionAid Vision for Rural Development Initiatives (VIRUDI) African Highlands Initiative (AH!) Tanzania Lushoto Traditional Irrigation and Environmental Hai Development Programme (TIP) Africa Highlands Initiative (AHI) Hai District Council (District Agricultura! and Livestock Development Office) Sanya Agricultura! Development Programme Total 8 14 Partnerships, a key principie of ERI, are becoming increasingly important for R&D organizations to deliver services to the rural poor and achieve sustainable rural livelihoods. Traditionally the NARS have been CIAT's key partners. With the ERI approach, CIAT has begun to strengthen its partnerships with national agricultura! research and extension systems (NARES) in eastem and southem Africa while finding new partners in the NGO sector who have a more development-oriented mandate (Table 1). Research has shown that investments in building a strong foundation for partnerships can yield significant benefits. It is important to note, however, that partnerships can be challenging and difficult to sustain and manage. A recent literature review indicates that a high proportion of partnerships or alliances either fail or have to be restructured (Gormley,2001 ). Table 2 shows sorne of the obstacles to effective partnerships and the steps we are taking to manage them. T bl 2 Ob a e . 1 stac e s to e ff, hi ecbve partners 1ps. Obstacles Steps to Take Lack of attention to the Discuss potential barriers to partnership openly and process of building establish norms for working together partnerships and trust Be transparent, putting all issues on the table, including the budget, expectations and deliverables) Avoid even the appearance of withholding information Decide together how decisions will be made and how resources will be allocated Ask for input from all partners, listen, don't domínate Be patient, flexible and willing to do things in different ways Confront conflicts quickly and directly Clarify roles and responsibilities Spend time in building social capital Communication Have project call meetings at which all partners are present 184 Obstacles Steps to Take challenges and work together on planning Hold progress meetings at regular intervals Agree on communication channels and protocols Find motivating ways to share information Communicate successes If communication weakens, do something positive about it; don'tjust let it happen Budget for communication expenses Overcommitted partner; Make extra efforts to achieve realistic resource p lanning uncompleted work or and budgeting rnissed deadlines Discuss work plans with key staff to help them determine if they can realistically do the extra work. Avoid applying pressure to get them to make promises they can't keep Give reasonable time for the work to be done so that staff can fit it into their work schedules; avoid unrealistic deadlines Keep in touch with the people doing the work regularly; stay connected with them Don't over commit yourselfl Build a sense of teamwork and mutual accountability by having periodic meetings Not enough support for Involve a senior manager in the formation of the partnership partnership Report progress faithfully Keep senior managers informed Be cautious about making comrnitments to partnerships that senior managers do not support Lack of partnership Build your capacities in partnership competencies Stay open to learning Ask for feedback Invite others to help with more experience on partnerships Source: Adapted from Gormley, 2001. To sustain effective partnerships, we maintain regular interactions with partners at different Jevels, including personal face-to-face contacts, and regular joint visits to field activities. These have included: Visit to CIAT HQ for NARES Directors to become familiar with our work Needs assessment and planning workshop Development of a joint proposal on ERI with the key partners. The proposal received financia! support from the Canadian International Development Agency (CIDA) and the Belgian Department of International Cooperation in 2002. Project inception seminars and workshops with high-level directors and h eads of institutions. In Malawi, for example, the seminar involved the principal secretary of the Ministry of Agriculture, directors of research and extension, and heads of departments. A similar meeting was held in Uganda with the Director General of NARO, Center Managers of agricultura! R&D centers, and the senior adviser to the Minister. Meetings with heads of department and staff to clarify expectations, discuss roles and responsibilities and implementation strategies Regional and national training workshops and capacity-building activities with field-level staff to build necessary skills, understanding of the ERI approach and develop action plans 185 Negotiation and signing of partnership agreements and memoranda of understanding, clarifying roles and responsibilities of each partner Regular meetings and field visits to develop operational work plans, activity schedules and milestones Annual review and p lanning meetings with field staff, heads of departments and institutions Regular communication, sharing of documents and reports, field visits, face-to-face contacts Credit sharing and recognition: CIAT has an institutional culture that gives due credit and recognition to national partners and collaborators. The ERI partnership won the GFAR 2003 merit award, presented by the Global Forum for Agricultura! Research (GFAR) for the best poster on successful partnership in agricultura! research for development. Similarly, TIP, on behalf of other partners, is presenting a poster at the Innovative Market Place at the CGIAR Annual General Meeting (AGM03) in Nairobi, Kenya. It is important to note that this interactive and iterative process was instrumental in getting buy-in and support from high-level management and ensuring ownership of the process by the field staff at the onset of the project. Because of the different types and nature of partnerships involved in ERI, understanding and strengthening effective partnership between research and development organizations and other rural service providers have become an important project output and research area. Selecting pilot communities andfarmers' groups ERI is being implemented with 19 farmers' groups and communities in 8 p ilot countries (Table 3}, with close to 1000 farmers. The selection of these si tes was a result of discussions with partners, field visits and community meetings in potential sites. In selecting pilot sites, the following questions were addressed: Is there a real potential for working in this community? (agroecological and socioeconomic conditions, accessibility) Are there issues that the majority of farmers consider important enough to commit their time and resources? Is there a good potential for scaling out to nearby villages? Are there active groups, local social organizations or farmers working together to try and find solutions to problems? Are there other development organizations working in the community or willing to work in the community and that can commit resources (human, financial , physical)? Is there an active extension or development worker with sufficient motivation and skills (or willing to learn) to be a community development facilitator? Is there potential for empowering women and promoting gender equity? What is the potential for adding value in current production activities? What are the research issues? Is the partner willing to commit resources to meet sorne of the expenses within the project? bl Ta e 3. ERI s ites and groups. Countries Communities/ Groups No. Farmers Uganda Ka bale Muguli B 47 Karambo 57 Nyabyumba 25 Nyakibande 32 Toro ro Katamata 25 Awanya 30 Masindi Katwemukye 21 Wekambe 25 186 Countries Communities/ Groups No. Farmers Tanzania Mtae Dindira Water User Group 50 Tema-Kelenge 210 Hai Kware 24 Sanya Juu Village 12 Lushoto, Shashui Mzungu A 23 Kilindi 27 Kwemashai 23 Malawi Dedza Yazini 37 Mthala 135 Ukwe Katundulu 40 Gwile 57 There was no blueprint for selecting communities or groups. In sorne pilot sites, we are working with the whole community in a more inclusive process; while in others, we made an effort to build on existing groups or organizations rather than creating and forming new ones. The main features of the selected groups include: Regular meetings Record keeping. Records are very important monitoring and evaluation tools for the group Constitution and by laws (rules and regulations). This helps the group manage interna! conflicts and make the responsibilities of each member clear. Leadership. Leaders should be committed members who a re chosen carefully and who have essentialleadership characteristics with a sense of a ltruis m. Resource mobilization. Regular group savings and contributions are essential for group performance. Members' contributions to their group activities help build a sense of group ownership and solidarity. Effective horizontallinkages within the community and verticallinkages with service providers Diversification of activities (implementation of production-oriented activities) Self-initiated activities Group size (not too la rge groups) Social capital (relations of trust, cooperation, norms, sanctions, socia l interactions, group dyna mics and collective action) Not all of the communities meet the established criteria, but show good potentia l for strengthening group development. In sorne cases, we intentionally select "weak groups" or "weak communities" in order to strengthen them so that they can become more active and successful. Strengthening the organizational capacity of groups and communities is a key ER1 objective, which requires commitment and skills in managing social processes a nd group dynamics. Participatory diagnosis building on community assets and opportunities ERI u ses PD as a highly interactive process for establishing dialogue a nd engaging with farmers to stimula te collective analysis a nd better unders tanding of community livelihood assets, opportunities and strategies as a basis for developing community action plans to improve livelihoods. The process has a strong element of connecting with participating communities to create a process for lea rning a nd empowering rural people to be agents of their own change. An important principie of this approach is that it s tarts with an analysis of stren gths or opportunities, rather than needs, problems or constraints. It implies recognition of the community's inherent potential and a bility to use these opportunities to achieve better livelihoods. 187 PD focuses on facilitating community visioning to help people think in tenns of long-term vision, beyond the immediacy of daily problems. A typical visioning question asks: What changes would you like to see in the next five years? What would you like to achieve in the next S years? The different visions expressed by the different groups are then matched with the ERI objectives and strategies to find common ground and develop action plans with rural communities. In facilitating action plan development, force field analysis tools provide ways of generating a shared vision of a future livelihood outcomes and an agreed strategy for achieving the livelihood outcomes. Development of the action plan uses the change formula below: SCE = D x Vx S¡s x.B Where SCE = success of a change effort; D = dissatisfaction with current condition; V = vision of desired future condition; S = steps and fs = first steps and B = belief in the success of the effort. All the pilot communities have developed action plans based on their VlSlon of future conditions, specifying activities and first steps in relation to the key components of the ERI approach: community enterprise development, farmer experimentation, gender and group dynamics. Effective proactive facilitation skills are used to ensure that concerns and priorities of marginalized groups such as women and the poor are not reglected. The action plans developed during the PD process are regularly revisited and refined at a later period after farmers have gone through the PMR. ldent ifying market opportunities and selecting community agroenterprise s Over the past two years, ERI has been implemented in eastern and southern Africa to test, adapt and disserninate a territorial approach for identifying market opportunities and building profitable agroenterprises (Best, 2000; Ostertag, 1999). The selection of options for generating income requires collecting information that will help the farmer make decisions appropriate to hisjher situation. These enterprises were selected after market and enterprise visits where the income group or market cornmittee is facilitated to conduct PMR to find out information on varieties and types of products that are in high demand and which they think they could introduce to their area, either now or in the future. The final selection of options is undertaken in the presence of the whole community when the market research group presents the results of the market and enterprise visits, production costs and the prices they can expect when they sell. An evaluation of the different options, including cost-benefit analysis and other benefits that the option can bring to different groups, is made for farmers to select the enterprise options with which to start. Table 4 summarizes the different enterprises and food security options selected by different groups. It can be seen that farmers tend to select existing crops (beans, peanuts, potatoes) and smalllivestock (goats, pigs, poultry and rabbits) for market-oriented production. After PMR, however, farmers are beginning to select relatively new enterprises as well. For example, in Lushoto farmers selected zucchini, a new crop in their communities; while the groups in Ka bale decided to develop their enterprise around pyrethrum ( Chrysa nt hemum cinerariaefo lium). Pyrethrum is a perennial crop whose flowers are used to extract pyrethrin, used to make a natural insecticide for household insect pests. The demand has continued to grow in the world market as a more environmentally friendly insecticide for household use. Pyrethrum is a relatively new cash crop in Kabale district with a good potential for providing regular income to resource-poor farmers, especially women. In most cases the area occupied by pyrethrum 188 averages 0.06 to 0.25 ha, and the crop is often grown without additional inputs. Agro Management, a private company, began processing pyrethrum in Uganda in 1993. The pyrethrin-extraction factory now draws on harvests from about 525 ha of local farmland, providing work for 10,000 people. Yet this corresponds to only about onethird of the plant's operating capacity. Thus there is a good opportunity to develop pyrethrum as a profitable, income-generating enterprise. Although sorne farmers had heard about it, the crop was not grown in the pilot communities so they did not have information on its agronomy and marketing. During the PD process, pyrethrum was selected as a potential new income-generating crop. During the PMR process farmers visited Agro Management and pyrethrum farmers in other communities to collect market information. Pyrethrum was evaluated against other options such as coffee, potatoes, pigs, chickens and beans, and was finally selected because of its low investment cost, guaranteed market and regular income. In addition, because pyrethrum is typically grown in high altitudes, farmers saw an opportunity to use their hilltops, which are usually abandoned land. There were also sorne other criteria such as an opportunity for bringing back more men into agricultura! production by providing them with an income generating crop with the hope that they will also con tribute to other agricultura! activities. However, the market of pyrethrum was limited to only one buyer, Agro Management, which purchases pyrethrum flowers from registered farmers on a monthly basis. Farmers in the two communities were well aware of the financia! risks of dealing with a single local firm that currently has only one large client. It was not long befare Agro Management experienced serious financia! and marketing problems, leaving the company unable to pay farmers for the flowers. Despite this case of market failure, farmers' decisions and reaction on whether to stop orto continue with the enterprise are mixed, as expressed by farmers in the two pilot communities: "There is no business without risk. We'll try something else ifthere is no marketfor pyrethrum." We are happy to ha ve started with research befare going into mass production. This has saved many farmers from losing a lot of money, land and labour. We ha ve leamt that it is better to start on small scale befare expanding." "'We know that development and ncome generation are processes that don't happen ovemight. Despite the hardships and risks, we're all ready to Jorge ahead and make a go ofit." These local distortions and market failures were dealt with through farmer experimentation on a collective learning p lot that helped minimize risks to individual farmers. The farmers are now looking for a lternative enterprises and have acquired sufficient capacity to evaluate market opportunities, select enterprises and conduct experiments befare expanding to larger areas. Table 4. Community agro enterprises and food security options selected by farmers' groups in the pilot communities. Country and Site Entel])_rises Selected Food Security Uganda Ka bale, pyrethrum, eggs common beans potatoes, goats beans Toro ro beans, _r>_ea n u ts beans, maize beans maize peanuts Hoima onions, mangoes, pigs beans 189 Country and Site Enterprises Selected Food Security sweet potatoes Tanzania Hai Beans beans sunflower maize garlic tomatoes Lushoto, Shashui tomatoes, beans, zucchini, beans red peppers Malawi Dedza goats, beans, rabbits, pigs pota toes beans Ukwe pigs, goats, beans Cassava pota toes A new phase in the process of developing integrated agroenterprises around potatoes started in Kabale, where farmers were lin ked toa major fast food frrm in the capital city. This phase required a much more detailed analysis of the chain of actions and actors involved from production through marketing. The process of designing integrated agroenterprise projects is being expanded in a market facilitator manual which is being developed on the basis of the collective experience of all project partners and stakeholders. Among the lessons leam ed, it is essen tial to bu ild a clear sense of ownership of the process by farmers and build local capacity to identify, evaluate and select market opportunities. Farmers' experimentation proved to be critical in rninimizing risks against market failures, even for existing crops and markets. Farmer experimentation also provides a balance between enterprise options and food security. Farmer experimentation/Farmer Participatory Research Enhancing farmers' technical skills and research capabilities and involving them as decision- makers in the technology-development process are comerstones of ERI. Farmers' experimentation results in innovations that are more responsive to their priorities, constraints and needs. Farmer experimentation is Iinked to the PMR process described above. After the PMR process and selection of enterprise options, farmers are helped in the process of identifying potential constraints that research or experimentation can address for improving the profitability of the selected enterprise option. This process leads to the design and planning of experiment s that farmers decide to implement, manage and evaluate. One of the key constraints to crop productivity and to increasing profitability across si tes was identified as declining soil fertility. In addition to varietal evaluation and selection, farmers' experimentation focuses on integrated soil fertility management practices such as: Management options better suited to different soil conditions (poor soils, acid soils, different locations within the landscape Crop requirements, where on the slope can it be grown Pests and diseases Appropriate use of organicjinorganic materials for soil fertility improvement Management options airning at optimal use of legumes in combination with strategic applications of mineral fertilizers to maximize nutrient cycling and soil organic matter replenishment Appropriate niches for legume for soil fertility improvement and erosion control Testing and evaluation of forage legumes 190 The experiments are usually established on a group plot for collective learning. The treatments are selected through a negotiation process between farmers and researchers, with researchers providing t echnical information and suggesting additional treatments. In Kabale, for example, the community selected 12 treatments [farmyard manure, legumes, soil erosion control measures, marc compost (pyrethrum residue), agricultura! lime, wood ash and organic and inorganic fertilizers], which were established in each village. At the end of this season, participatory evaluations of technologies were con ducted with farmers in Muguri B and Karambo. 180 160 140 ,......, 1!) 120 .... () ~ 100 e, -o 80 ~ >= 60 40 20 o Control Compost + TSP Lime FYM Ash Compost Soil inputs Figure 2. Effect of soil input to pyr ethrum flower yields NPK Although agronomic results showed that the NPK treatment gave the highest yields compared to the other soil inputs (Fig. 2), farmers ranked compost manure highly because of inaccessibility (cost and availability) of fertilizers and agricultura! lime. However, transporting manure up the hill is labor intensive and expensive. Farmers argued that with proper management practices (weeding, pruning, timely harvesting), pyrethrum could do as well with no soil inputs in fertile soils. In addition to the pyrethrum experiment, farmers are also testing different legumes and grass species for controlling soil erosion through stabilizing the trench bunds (embankments). These are being evaluated at specific intervals. Promoting gender equity and empowerment of women 19 1 Gender and equity are of central concern in a ll the stages of the ERI process from selecting communities and groups, forming committees, conducting PD and community planning, identifying and selecting market opportunities, farmer experimentation and capacity building. The PO process specifically uses gender-sensitive participatory tools to bring gender issues to the forefront a nd to create awareness on gender issues in a more systematic manner. These tools include gender-sensitive resource mapping, seasonal and activity calendar, da ily activity routine, and variou s preference ranking methods. Proactive strategies and gender-sensitive facilitation skills are used to encourage women's participation in community meetings (including separate groups of men and women), and to generate a collective analysis of gender relations and dynamics within the community or groups. As a result, in severa! communities, gender goes beyond division of roles and responsibilities between men and women or encouraging women's partic ipa tion to develop specific action plans to deal with gender awareness education, group dynamics, nutritional education , HIV 1 AIDS awareness and education, and supporting women- specific initiatives. The project has a strong focus on supporting women to identify specific agroenterprises that enable them to use available agricultura! technology to their own advantage. Both men and women are encouraged to identify options that can benefit everyone. In Kabale, both men and women selected pyrethrum as an enterprise option. A survey of pyrethrum growers showed that more th an 40% of the farmers are women, and many female pyrethrum producers are organized into groups. In addition to pyrethrum, the women also selected poultry (local hens for egg production), which is in their domain. Similarly, in Tororo beans and peanuts, both women's crops, were selected for enterprise development. In Malawi, communities have selected beans and smalllivestock, which are traditionally man aged by women. On the other hand, in Lushoto, the m ajority of farmers involved in zucchini produ ction are men. There are concerns that women's labor may be u sed to produce the crop, while men will take over when marketing to control the income. Experience and previous studies on intrahousehold gender dynamics elsewhere in Africa have shown that when a crop enters the market economy, men are likely to take over from women, and that women do not benefit from market-oriented production (Quisumbing et al., 1998; Kaaria and Ashby, 2001) .We are closely monitoring intrahousehold gender dynamics as the project progresses as this will be a key aspect of our research areas. Proactive strategies are an integral part of the ERI process for promoting gender and equity, and empowering farmers. The activities included: Increasing gender awareness through community drama and community meetings Training workshops for scientists to enhance their a bility to integrate gender analysis in agricultura! research Enabling both men a nd women farmers to evaluate a diverse range of crop and soil fertility management technologies Participatory approach es to support women's empowerment and leadership at the community level are integrated as part of the strategy, creating and fac ilitating forums where women can discuss their livelihood concerns. In add ition to including women in all project activities, proactive strategies are used to help women identify specific agroenterprises and enable them to use availab le agricultura! technology to their own advantage. Farmer experimentation maintains the balance between enterprise options and food security. Assisting men and women farmers to build assets, particularly small1ivestock (poultry, goats, rabbits), which are usually managed by men. Sorne of the gender outcomes include: Women have gained confidence as expressed in the following statement: "We womenparticipate in the work just as the men do. Although I was a little shy at first, I am now supremely conjident in my ability to accurately document the wark of our group." 192 Women constitute the majority of community and group members. At al! the sites, representation and participation of both men and women in the committee are clearly important criteria when selecting farmers. They are equally well represented on all the committees and sorne in leadership positions. For example in Ukwe, about 50% of all the committee members are women. In Uganda, it was reported that maJe members of the group are actively taking part in farming activities, compared to nongroup members. Similar observations were made in Malawi. We are finding that farmer research groups proved to be a more effective mechanism to involve women and resource-poor farmers in research. There is a strong and growing sense of community spirit, cooperation, trust and mutually beneficia] collective action in the pilot communities and groups. Farmers have also acquired increasing confidence. Although considerable progress is being made in promoting gender equity and women's empowerment, it is important to recognize that addressing gender relations is a long process that requires commitment and effective facilitation skills. There is still a need for a better understanding of the likely implications of market-oriented production to assess the distributional effects and equity of benefits, especially gender dynamics, which we need to consider in developing enterprises and to determine when farmers will actually capture significant market opportunities. Strengthening human and social capital Creating a critica! mass of scientists and development partners is crucial for both enabling rural innovation and scaling up the ERI process. Over the last 2 years, we have conducted over 1 O workshops, reaching more than 200 R&D partners to enhance their skills of our partners to implementan ERI process effectively. Our capacity-building strategy is based on five main approaches: Introductory training. A typical introductory workshop lasts for 12 days, which is kept flexible for contextua! adaptation. The workshop covers facilitation skills, ERI principies and concepts, PDs and community visioning, PMR, building and managing partnerships, gender analysis, farmer experimentation, participatory evaluation of technologies and strategies for scaling u p. Follow-up workshops review, refine and develop feasible action plans and activities as well as come up with refreshing concepts, approaches, process, tools and skills. Action leaming. A stepwise process of leaming (implementation in the field - analysis - leaming- implementation) is adopted, with feedback from the analysis of each stage, enabling modifications to be made. Systematic feedback and analysis are undertaken on the appropriateness of the methods and tools in different situations. Mentoring. Field mentoring and coaching are also powerful tools for building capacity of partners in FPR/ PMR. Training manuals. Because the demand for training and expertise in ERI is increasing in the region, we are developing a series of training guides and facilitators' manuals for integrating FPR and PMR in sub-Saharan Africa. We anticípate considerable expansion in the demand for training of partners and other NGO staff in ERI process (severa! requests have been already received and are increasing). Identifying other agencies working with communities and that have an interest in stimulating community innovation and in learning from their experiences will help create a critica! mass of agencies. We are pursuing a leaming-alliance type of partnership with Participatory Ecological Land Use Management (PELUM), a consortium of over 150 NGOs in eastem and southern Africa to build the capacity of sorne selected members who can then take on training responsibilities of other NGO members in the region. 193 At the community level, we are strengthening the organizational capacity and social capital of local communities through training and facilitation of leadership skills, group dynamics, consensus building and negotiation skills for managing conflicts, with attention to NRM. ERl also facilitates horizontal and vertical linkages among communities, and between pilot communities and rural service providers. Farmers in pilot communities have improved their analytical skills and participation in mutually beneficia} collective action as well as in local policy formulation and implementation. They have been instrumental in initiating community bylaws for soil and water conservation, and have established strong links between farrner research and market groups and the rest of the community. Nevertheless, it is possible that with the new market orientation, conflicts may emerge between farrner market groups and the rest of the community over distribution of benefits and participation in research or market groups. To scale up its impact, we are developing a strategy at different levels from local communities to national and regionallevels. This strategy defmes the different levels for scaling out and scaling up, the objectives and targets at each level, the strategic partners to be involved, and the specific activities that are needed to achieve the set objectives. For greater details on this strategy, see "Developing a scaling-up strategy for "Enabling Rural Innovation," al so under O u tput 2 of this report. 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Rural poverty report 2001: The challenge of ending rural poverty. Rome, Italy: (IFAD). www.ifad .org/poverty / index.htm. IFPRl (International Food Policy Research Institute). 2002, Cutting hunger in Africa through smallholder-led growth. http: //www.ifpri.org/themes/aicha.htm Kaaria, S. and Ashby, J. 2001. An approach to technological innovation that benefits rural women: The resource to consumption system. Cali, CO. (PRGA Working Document No. 13) Kindness, H. andA. Gordon. 2002. Agricultura! marketing in developing countries: The role of NGOs and CBOs. Social and Economic Development Department, Natural Resources Institute, University of Greenwich, London, UK. (Policy Series No 13) Lilja, N. ; Ashby, J .A. ; Sperling, L. (eds.) .2001 "Assessing the impact of participatory research and gender analysis." CIAT, Cali, PRGA Publication. 194 Martin, A. and J. Sherington. (1997). Participatory research methods: implementation, effectiveness and institutional context. Agricultura[ Systems 55(2): 195-216 Narayan, D. and Pritchett, L. 1999. Cents and sociability: Household income and social capital in rural Tanzania. Econ. Dev. Cultural Change 47(4):871-897. Okali, C., J. Sumberg, and J. Farrington. (1994). Farmer Participatory Research: Rhetoric and Reality. London: Intermediate Technology Publications Ostertag Galvez, C.F. 1999. Identifying and assessing market opportunities for small rural producers. Tools for decision-making in NRM. CIAT, Cali, CO. Pretty, J. and Hine, R. 200 l. Reducing food poverty with sustainable agriculture: A summary of new evidence; final report from the SAFE-World Research Project. University of Essex, Colchester, UK. Quisumbíng, A.; Brown, L.R.; Haddad, L.; Meinzen-Dick, M. 1998. Gender issues for food security in developing countríes: Implications for project design and implementation Can. J. Dev. Studies, Special Issue on Food Security, Oct. Uphoff, N. and Mijayaratna, C.M. 2000. Demonstrated benefits of social capital: The productivity of farmers organizations in Gal Oya, Sri Lanka. World Dev. 28(11): 1875- 1840. Woolock, M. and Narayan, D. 2000. Social capital: Implications for development theory, research and policy. World Bank Observer 15(2): 225-249. 195 Deueloping a collaborative PME research project with the Kenya Agriculture Research Institute: Summary report Research: Susan Kaaria12 This meeting aimed to identify potential areas for developing collaborative research activities focusing on strengthening participatory monitoring and evaluation (PME) processes to support adaptivefparticipatory research programs. It was expected that the results of the workshop would lay the groundwork for developing concrete activities and future plans. The specific objectives of the workshop were to: Discuss the scope of monitoring and evaluations (M&E) systems in supporting learning within R&D institutions Share experiences and lessons learned from existing Participatory Monitoring & Evaluation (PME) systems Identify opportunities and challenges of establishing and supporting PME systerns and identify critica! issues in the development of a comprehensive PME system Discuss potential strategic areas for M&E technical backstopping and support to strengthen existing systems Share and discuss a proposed regional (Kenya and Uganda) project that aims to support and strengthen both participatory and formal M&E systems within R&D institutions Participants The participants were from Kenya Agricultura! Research Institute (both frorn KARI HQ and from the Regional Research Centers (RRCs) - Kisii, Kitale, Kakamega, Embu and Mtwapa) and two NGOs (Environrnental Action Team, EAT; and Community Mobilization Against Desertification, CMAD). Issues covered during the meeting Scope of both participatory and formal M&E systems in supporting the institutional change processes Role of an M&E System in supporting adaptivejparticipatory research programs from a KARI perspective Sharing experiences and identifying opportunities and challenges of irnplernenting PME systerns The case of the FFS PME systern African Highlands Initiative (AHI) exarnple Cornmunity-based PME systerns Presentation of proposed project objectives and output Identification of opportunities and challenges of establishing and supporting PME systerns Discussions on future collaborative activities Results: Common areas for collaborative research activities There was agreernent within the group that this project was opportune and was going to strengthen and add valu e to new and ongoing activities within adaptive research projects in KARI. The results of these discussions were systernatized to develop sorne specific outputs and activities for the project. These ideas were developed during discussions throughout the day as the group tried to identify ways in which to make the proposed p roject build on and benefit ongoing activities and processes. 12 Senior Research Fellow, Rural Innovation Institute, CIA T-Africa, PO Box 6247, Kampala, Uganda. 196 During the discussions it was clear that PME would have to be developed at different levels (Fig. 1). Additionally, there was a lot of discussion asto the importance of developing mechanisms to harmonize M&E systems at these different levels and to systematize the information. Institutional-level PME (at KARI HQ leve!, important for organizationa l learning) Project or Jogram-level PME (Different projects run by RRCs or National Research Centers (e.g., PME system for the FFS program) Communit tbased level PME (Allows communities to reflect~n their projects and analyze change using their own indicators) Figure 1: Different Levels of M&E Systems 197 Establishing and supporting PME systems in adaptive research projects and at community-based level This component of the project would be mostly targeted at project and community levels and would work directly with the RRCs, NGOs and community-based organizations (CBOs). This component will be implemented immediately. Lessons from existing PME systems, analyzed and systematized Conduct an inventory of M&E methods being applied by different organizations and within the RRCs Conducta SWOT analysis of existing approaches Participate in forthcoming M&E workshop being organized to share experiences in June 2003 to understand ongoing processes Identify critica! issues, opportunities and gaps in existing PME systems Document lessons and experiences in PME "best practices" Conducta workshop to share results Potential si tes for initial pilot cases, identified and selected Initial sites will include RRCs with a good history of FPR (S RRCs and NGOs) Embu, Kitale, Kisü, Mtwapa and Kakamega; EAT and CMAD Conduct sensitization meetings at each RRC to evaluate interest a nd identify projects that will be involved in the PME Select the different case s tudies based on severa! criteria: Case studies where PME can be integrated as part of an existing R&D project Cases that offer a diversity of experiences: a new project, an existing one, or one with an existing PME project Identify ongoing projects where PME is needed Identify projects with an existing PME system already incorporated into the project Identify new projects where PME can be integrated from the onset Conduct a Iarger stakeholder meeting that would start creating awareness of PME within R&D organizations (link with the June meeting on PME) Capacity of partners to establish and support PME systems, strengthened Conduct series of training and follow-up workshops to build capacity of scientists in establishing and supporting PME systems at two levels: (a) community and (b) adaptive research projects. Capacity building should include the following tapies: Identification of different stakeholders and their roles in the PME process (including farmers and other community members). Strategies for developing approp riate qualitative and quantitative indicators Integration of both qualitative and quantitative aspects (Iand size, yields, different measures) Capacity building for data analysis in PME a t different levels Synthesis of PME data to facilitate its use for decision-making at different levels and to provide feedback and learning Development of simple tools that can be easily applied in the field with communities and by project staff Development of an applicable PME system at project and community levels Develop PME guidelines and key principies Develop general frameworks that can be adapted across projects/ technologies Establish mechanisms to ensure that frameworks and guidelines are applied Develop framework for integrating PME systems at different levels 198 Develop strategies to harmonize different PME approaches within KARl Build in process for continuous evaluation and adaptation of the PME systems Build process of continuous reflection into the PME process to identify ch a llenges and opportunities Design a database system to organize and systematize the microdata collected by PME processes Scaling up to other projects within the centers Conduct biannual workshops to share and systematize experiences Develop mechanism for establishing effective linkages among the different PME systems to allow the agile flow of information and feedback between rural communities and R&D systems Develop mechanisms to systematize PME data and to put datajinformation into a form where it can be communicated Develop a core team of scientists within NARS that can train trainers in PME systems. 199 Local perceptions ofpoverty: The case ofthe communities of Kanko, Tabla Mayu and Primera Candelaria in the municipality of Colo mi, Bolivia Researchers: Edson Gandarillas Ch. 13, Juan Almanzai4 Background The Bolivian System of Agricultura! and Livestock Technology (SIBTA) is in the process of being implemented through four Foundations for the Development of Agricultura! and Livestock Technology (FDTA), distributed in function of macroregions: the Highlands, Valleys, Chaco and Humid Tropics. During the last year, the market of technological innovation in Bolivia has been dynamized through the FDTAs. They have begun to put out tenders for the Applied Innovation Technological Projects (PITA), the demands created by these entities are beginning to be responded to, and the suppliers of technology are beginning to wotk in them. On the other hand, there are initiatives aimed at improving the process of identifying technological demands (through ATICA, INNOVA, etc.), by incorporating the farmers in agricultura! research processes (through the CIALs), improving the strategies of agricultura! training (through the Farmers Field Schools), and implementing pro-poor processes. All these efforts are being implemented with the purpose of improving the current innovation system in Bolivia. In this sense, the project for "-Promoting Changes (FoCam) is contributing to the adjustments of SIBTA, carrying out a series of investigations that incorporate mechanisms of Participatory Monitoring and Evaluation (PME) within the setting of the Applied Technological Innovation Projects (PITA), suppliers of technology, but primarily at the level of the demandants of technology (developing their capacities, especially of the poorest) . Objectives In this context, research is being implemented to pursue t he following objectives: Evaluate the effects and impacts (social, economic, methodological and technological) of the application of participatory research methodologies (CIALs) within the communal context and their interactions with the local social organization (sindicatos and centrales campesinas) and the local govemment (municipalities) Determine and analyze the effect and impact (social, economic, methodological and technological) of the application of a PME system within the context of interactions among the demandants, suppliers and FDTA (PITAs). This document presents one of the first tasks that was carried out to develop the first objective of the research. It provides details on the local perceptions of three communities from the municipality of Colomi in Cochabamba, Bolivia. The objective of the document is to identify the perceptions on poverty of farmers from the communities of Kanko, Tabla Mayu and Primera Candelaria. Methodo loqy 13 Coordinator, Project IPRA - FoCam, Bolivia. 14 Technician, PROINP A Foundation, Bolivia. 200 Diverse authors (Grandin, 1988; IIED, 1992 ; Scoones, 1988) have reported different ways of classifying well-being, such as the classification of cards, group discussions and the making of maps that indicate the social cond ition. The methodology used in this work was proposed by Ravnborg ( 1999), based on the identification of levels of well-being through the local perceptions of the farmers using the following ten methodological steps Definition of the communities to be studied, based on the requirements of the research Definition of the classification units in accordance with the research objectives Make a list of the families in the community (in the case of Bolivia, the list of the affiliates of the sindicatos of the communities Identification of key informants based on previous interviews with the local authorities in order to identify the people who know the families in the community best Identify local terms of well-being, through informal interviews in order not to bias the information from the farmers Explanation of the purpose of classification of the families based on well-being (to be done in work with key informants; the objective of the work should be made quite clear so that the data provided are valid) Classification of the cards, separately, for each of the key informants Description of the piles of cards at the end of this process) Record the classification (office work) Identification of the average categories of levels of well-being Results and Discussion Communities studied The communities of Kanko, Tabla Mayu and Primera Candelaria, belonging to the municipality of Colomi, Province of Chapare in the Department of Cochabamba, Bolivia, were selected. The criteria for identifying the communities were as follows: Existence of CIALs Members of the subcentral campesina of Candelaria Target communities of the FoCam project Classification of levels of well-being Community Kanko. Table 1 gives details of the levels of well-being identified with three key informants from the community. Four levels were established: wealth y, less wealthy, poor and very poor. The community has 66 families, ofwhich 12% belong to the "wealthy" category, 53% to the "less wealthy," 27% to the "poor" stratum and 8 % to the "very poor." T bl 1 Le 1 f 11 b h a e . ves o we - emg m t e communtty o f k Kan o . Levels Criteria Wealthy 5-6 ha of land Land in Corani Houses in Colomi House made of brick House in Sacaba Land in Chapare Nissan Cóndor truck and taxi 10-15 COWS 15-30 sheep 201 3 pigs 1-2 horses Chickens Ducks Less wealthy 2-3 ha of land House in Colomi House of adobe Pick-up trucks 5-8 COWS 10-20 sheep 1-2 pigs Poor 2 ha ofland House of adobe 2 cows 5-8 sheep Very poor 0 .5-1 ha of land House of adobe 1-3 COWS 1-3 sheep 1 pig a few chickens da y_ laborer The perceptions that determine the levels of well-being in the community are owning land, availability of vehicles, owning a house , owning cattle (cows), owning minor species of animals (sheep, pigs, poultry) . The levels "poor" and "very poor" are also characterized by living in the community, while the other levels usually have houses in the nearest town (Colomi) or in the city of Cochabamba. The poor levels have agriculture as their main source of income; whereas the other levels have other income that is not necessarily agricultura} in nature. It should be noted that the poorest stratum work as laborers in the community. Community Tabla Mayu. Table 2 provides information on the levels of well-being identified with three key informants from the community. Three levels were established : rich, fairly rich and poor. The community has 38 families, of which 13% belong to the "rich" level, 32% to the "fairly rich", and 55% to the "poor." The perceptions that determine the levels of well-being in the community are owning land, availability of vehicles, owning a house and owning cattle (maj or and minor species) . The level "poor" is characterized by living in the community, which is different from the other levels that usually have housing in the nearest town (Candelaria) and in the capital of the province, Colomi (fairly rich) or the capital of the Department in the case of the rich. The poor have as their main source of income, agriculture; while the other levels have other sources of income that are not necessarily agricultural in nature. It should be noted that the lowest stratum work as day laborers in the activities of the community and as cargador at the Colomi fair. Table 2 . Levels ofwell-being in the community ofTabla Mayu. 202 Level Criteria Rich 3-4 ha of land Land in Corani House in Sacaba House in Colorni Houses of good material (brick, calarnine, cement, tiles, stucco , glass windows) Mobility (Nissan Cóndor truck, pick-up truck and taxi) 5 - 10 cows 8 - 15 sheep 2 pigs Chickens Fairly rich 2 ha of land Houses of adobe (Candelaria and Tabla Mayu) 2 -5 COWS 5 - 10 sheep 1 p ig Poor 0.5- 1 ha of land Small house of straw and stone 2 COWS 2-5 sheep No pigs or chickens Works as day laborer or cargador at the Colomi fair Community Primera Candelaria Table 3 gives the levels of well-being identified with three key informants from the community of Primera Candelaria. Three levels were established, grouped as "those who have the most", "those who have" and "those who don't have." The community has 62 families, of which 48% belong to the level "those who have the most ," 24% to those who "ha ve" and 27% to the stratum "do not ha ve." Table 3 . Levels o f well-being identified in the community of Primera Ca nde laria. Level Criteria Those who 10- 15 ha of land have the most Land in Corani Land in Chapare House in Colomi House in Sacaba Mobility (Nissan Cóndor truck, pick-up truck and taxi) 8- 10 cows 10 - 15 sheep S pigs 2 horses Poultry (chickens and ducks) 203 Those who 8-10 ha of land ha ve House in Colomi 4-7 cows. 5-10 sheep 2 pigs 1 horse Those who Fewer than 4 ha of land don't have 1-3 cows 1-4 sheep Live on small plots inherited from their parents Do not have pigs, chickens or ducks The perceptions that determine the levels of well-being in the community are ownership of land, availability of vehicles, ownership of houses, ownership of majar and minar animal species. The "does not have level" is characterized by those people who have inherited smalllots of land on which they live. Their income comes from farming. The families in the "have" level are characterized by having majar and minar animal species, and two houses-one in Primera Candelaria and the other in Colomi. Finally, "those who have the most" own the largest surface of land, three houses (one in the town, another in Colo mi and one third in Cochabamba), cattle and minar species, and vehicles. Conclusions The criteria of well-being in the three communities are repeated. Basically, the criteria that define the levels are: amount of farming land , land ownership number of houses, owned and number of cattle and minar species owned and model and vehicle and the definition of income by labor force. The so urce of income al so defines the level of well-being. If farming is the principal so urce of income in the family, the level of well-being will be in t he lower levels of well-being in the community. On the other hand, if the main family income is not farming, for example, transportation, the family has a greater probability of being in the higher levels of well- being of the community. Of the three communities, Tabla Mayu and Kanko have the largest percentages of families considered to be poor. This is posibly due to their greater distance from the town (Colomi) and therefore a lower possibility of nonfarming activities. The results of the well-being levels will constitute another criterion for identifying case studies that try to assess the effects and impacts of the CIALs work on the poor members of the communities. References Grandin, B. 1988. Wealth ranking in smallholder communities, a field manual . ITP, London. IIED (lntemational lnstitute for Environment and Development) , 1992 Applications of wealth ranking. London. 204 Ravnborg, H. 1999. Desarrollo de peñ!les regionales de pobreza, basadas en percepciones locales. Centro Internacional de Agricultura Tropical (CIAT), Cali, CO. 60 p . Scoones, l. 1988. Learning about wealth, an example from Zimbabwe. International lnstitute for Environment and Development (IIED), London. 205 Mechanisms for selffinancing in community-based research seruices {CIALs) Abstract Researcher: Juan Camilo CockiS Collaborators: José Jiménez16, Juan Almanza, Fausto Merino The CIALs are groups of farmers elected by the community to do research and try to solve certain local problems. This article synthesizes the results of extensive research on mechanisms for self-financing that the CIALs are promoting. The mechanisms with which the CIALs finance so me of the costs of their research and other production and social activities are documented, as well as how they function. One conclusion is that all CIALs Ji nance their trials partially in kind, through their contributions in labor and land for the trials. So me groups have developed more complex mechanisms for generating and administering resources. These are important steps toward reaching self·sufficiency; however, the CIALs are far from being able to Ji nance all their current costs if the costs of training and technical assistance are included. Finally, so me recommendations are made for continuing with the study and promoting self-financing mechanisms in the CIALs. Introduction The CIALs are forrned by groups of farrners elected by the cornrnunity to conduct research on local problerns related to farrning. The CIAL methodology was developed in Colombia by a team of facilitator s frorn the lnternational Center for Tropical Agriculture (CIAT). lt has now been d isseminated throughout Latin America (Ashby et al., 200 1), with groups of farmers doing research in Bolivia, Ecuador, Honduras and Nicaragua and Venezuela. This has been possible because the methodology has been favorably received in various projects and entities in these countries in search of ways to include the farmers in the formal research processes. However, the projects have set time lirnits, and the entities have changing priorities. Even those who have a long-terrn commitment with the CIAL methodology have to diminish their support to the oldest groups in arder to forrn new ones. This means that the CIALs will gradually and in sorne cases, suddenly, lose the support of the entities and projects. Thus, if these groups a re to have continuity, it is necessary to identify mechanisms that perrnit them to become independent from the entities and projects that helped forrn them. This does not imply cutting the relations with them; but at that time, the entities should not accompany the CIALs to see whether they have the capacity to continue functioning and doing research on their own. To accomplish this the groups need to achieve independence or self-sufficiency in severa! fields. On the one hand, they have to have the capacity to design and carry out experiments in such a way that they can identify solutions adequate for their needs. Knowing how to conduct experiments is not sufficient. The group needs a leader and the willpower to keep on with the experiments once there is no technician or agronomist motivating the group. Perhaps one of the most critica! points is that the CIALs also have to be able to genera te the resources required to finance their trials. There is a general need for local organizations to seek alternatives to the externa! financing of projects to obtain the resources necessary for their functioning. At present there are diverse ways in which the local organizations can gain access to resources. The transition toward sorne of these options is important if they are to become more sustainable and more firrnly anchored in the local community (Wheatley, 2003). One of the options for obtaining resources is that the organizations themselves generate them 15 Consultant, SN3 Project, ClA T, Colombia 16Researchers asistant, FIPAH, Honduras; PROINPA Foundation, Bolivia, INIAP, Ecuador 206 through different activities. In Latín America there are many documented cases of local organizations that have very effective mechanisms for generating resources (Cock, 2003a; FIDAMERICA 1996, 1999, 2000; Wheatley, 2003). Among those cases there are small businesses, cooperatives, microcredit institutions and NGOs. Given that their primary objective is research, the CIALs have not been oriented toward this type of activity. To ensure their sustainability, however, it is necessary that these groups begin to generate the resources necessary for their functioning. Despite the fact that they have not focused on generating resources, sorne CIALs and their second-order organizations have taken the initiative to create mechanisms for generating sorne of their own income to finance their activities. At present there are several mechanisms that the CIALs use to finance their trials and other activities. Their application, however, varíes a lot. There are groups that have several mechanisms operating, while others have none. In general the mechanisms have been developed by the groups themselves, either alone or with the help of the institutions that support them. As a step towards the search for economic self-sufficiency of the CIALs, research was conducted to document the mechanisms with which the groups finance sorne of the costs of their research and other activities related to their objectives. The purpose of this inventory is to determine existing mechanisms and then share them with other groups so that they can use them as models, guides or simply as in inspiration to adopt and adapt their own mechanisms. This article synthesizes the mechanisms found in the research; they are documented in much greater detail in the final report of the work (Cock, 2003b). What is a mechanismfor s e lf-financing? In this work, the term "mechanism for self-financing" refers to those actions and the norms; that is, the process and the structure, whereby a CIAL covers the costs of its activities and operations. With the prefix self- we want to emphasize the fact that we are interested in those mechanisms whereby the groups generate their own resources or other activities, whereby they themselves are in a position to assume the costs of their activities. This naturally excludes any external contributions of resources such as donations and project resources. In the case of the CIALs there are mechanisms that generate monetary resources with which they can pay certain costs with cash, as well as others that function with contributions in kind, thereby reducing the need for cash to pay those costs. That is frequently the case of financing the land and labor for the trials. The projects, activities, businesses, funds, contributions or any other mechanism whereby these groups get resources constantly to finance their operations and projects and to comply with their objectives are monetary mechanisms. The profits produced by these mechanisms can be distributed in various ways, but part of them should be u sed to finance the CIAL's activities. Finally, being a process, a mechanism, involves severa! stages: the way in which it contributes the elements that the mechanism itself requires to function, the way in which the mechanism generates resources or reduces the need for them; that is, the operation of the mechanism itself and the way in which the resources generated are invested in the proj ects and activities. Methodology The research that made this work possible was done in three stages: 207 A search was done on Internet to identify cases of self-financing in local organizations in Latín America. This search served to contextualize the CIALs in the environment of local or grassroots organizations in Latin America; to provide access to a source of ideas on the possibilities of the self-financing mechanisms already being used; and to serve asan inspiration for finding new ones (Cock, 2003a). A survey on the topic was designed and sent to all the institu tions that have implemented the CIAL methodology in order to get a general idea of what self-financing mechanisms there are at present. Those cases that merited a more detailed, in-depth study were selected (Cock, 2003c). Visits were then made to Bolivia, Ecuador and Honduras to document these cases with the inputs of the farmers themselves . Field visits were made and in-depth interviews were held with the members of the CIALs and the staff of the institutions that support them. The discussion of the results is by mechanism, analyzing each one separately. However, one of the most important elements of the self-financing mechanisms is the fact that they rarely function in an isolated manner. In practice, the groups generate their resources by combining the different mechanisms in diverse forms and with varied norms. From an analytical standpoint, however, it is better to separate them in arder to analyze them in general; that is, independently of the particular combinations that each group has come up with. Thus other interested groups can adopt and combine them as they wish. Results In the research the following self-financing mechanisms are being used by the CIALs at present: Cont ributions All the CIALs contribute the research costs related to the land and the labor, generally through nonmonetary mechanisms. In most cases the farmers contribute land and their own labor, assuming the opportunity costs of not using the land and their work for other commercial purposes. For each of these aspects there are several ways to finance them. Land. The land is financed in four ways: A member of the CIAL loans the land where the tria! is being conducted. In compensation, they help the owner clear the land in fallow and prepare it. Thus the owner of the land does not have to clear the land for the fo llowing planting. Sometimes the owner also receives a part of the production as compensation. Severa! members of the CIAL contribute land. A replication of the tria! is planted on each lot. The owner of each lot keeps part or all the production from that replication. The land is leased and paid in severa! ways. Sometimes a quota is collected among the members of the CIAL to pay for it; other groups pay it with a percentage of the production. The community contributes the land. In the Andean countries the community frequently loans part of their communalland to plant the tria!. Labor. There are three ways in which the labor for the trials is financed: 208 The entire group works together. All the members contribute their labor in each stage and throughout the tria!. Sometimes their work is compensated with part of the production. A member is in charge of a replication. When each farmer has a replication of the tria! in hisfher plot, hefshe assumes responsibility for the work in it. The other members of the CIAL participate in the activities that are important for the tria!, such as the evaluations. Generally the farmers receive part or all the production from the replication of which they are in charge. The community assumes the cost of the work. In the Andean countries where the communities work in mingas17, the community permits the members of the CIAL to work in their trials on the days of the minga. As this is a day that the members of the CIAL should work for the community, it is the community that assumes the opportunity costs. Informal actiuities Informal activities such as raffles, bazaars and sale of food are very common for raising funds. In many cases they are carried out to finance sorne immediate need; in others the idea is to save the funds and use them later. There are groups that have gathered resources as a result of these activities to build up the initial capital necessary for other mechanisms such as loans or planting a production lot. In general these activities are not related to the CIAL's research activities. Production lots Although the purpose of the CIALs is not to generate resources but to test andfor validate technologies, sorne trials do generate profits, especially in the more advanced phases of production trials and commerciallots. Sorne groups use the profits from these activities to capitalize the group and be able to finance subsequent stages of the research and other activities of the CIAL. Thus sorne CIALs have planted production lots parallel to their trials in order to generate resources. In Honduras the second-order associations of CIALs, known as ASOCIALs, have funds to make loans to the CIALs to support production projects. The profits from these production projects serve to capitalize the fund of each CIAL. Quotas A very simple mechanism for generating resources is the setting of quotas or special fees. There are severa! types of quotas: extraordinary, membership and periodic. Extraordinary. Members are asked to make an extraordinary contribution ata given moment to finance sorne immediate need for which there is no money. Many CIALs ask their members to pay a quota when it is necessary to pay a cost in a tria! such as sorne input and the group does not have savings to cover it. Affiliation. This is a one-time membership fee that a person or group should pay to belong to sorne organization. The income from this type of quota depends on the number of new members entering a group. In the case of sorne ASOCIALs, this type of quota has permitted them to procure an initial working fund when they get started. Besides, they have continued to receive contributions from other groups when they beccme members. 17 Compulsory community service. 209 Periodic. This is a payment that each CIAL member makes to his or her group or that each CIAL makes to the ASOCIAL every certain amount of time. This quota provides the most constant and reliable flow of resources. With this mechanism an organization can count on a set amount of money every so often (the membership fee, on the other hand, depends on new members) and their members know that they have that obligation a nd can therefore include it in their routines as a permanent responsibility (the extraordinary quota, in contrast, is occasional and so it is not generally included in the plans of those who pay it). In general the periodic quota is a mechanism useful for financing the administrative expenses of an organization, given its regularity; however, it is nota mechanism that has the capacity to generate sufficient resources for projects. Their use in groups such as the ASOCIALs can be important for financing sorne of their administrative expenses. Savings and loans system In Honduras the ASOCIAL Yorito provides a series of services to their CIAL members, which at the same time serve to generate sorne income to help cover their administrative expenses: Savings. Each CIAL has a savings account in which they have to save a mínimum amount yearly and beyond that, the amount they want. A low interest rate is paid. Production loans. The second service is the provision of loans for production projects. The CIAL can take out loans for twice the value they have saved, paying an interest rate of 29% monthly. Loans for storing maize and common beans The third service is loans exclusively for purchasing maize a nd common beans for their storage and later sale during periods of scarcity. The profits from the sale are divided equally between the ASOCIAL and the CIAL that took ou t the loan. CIAL petty cash funds Sorne CIALs have their own petty cash funds in which they manage the savings of their members and make loans. Interest is charged for these loans, which generates sorne resources. The norms that each CIAL has with respect to the contributions to the petty cash fund, the amount and the duration of the loans, the interest that is charged, the way in which the interest paid is distributed, the loan to outsiders and the solidarity funds differ from one group to another. Storage of maize and common beans This mechanism functions in Honduras althou gh it could be a pplied in other countries. The CIAL purchases maize and common beans at harvest time when the supply is abundant and prices are low, and then they store them in metal silos. In the months prior to the next harvest, these products generally become scarce, and the price goes up. Then the CIAL sells the stored maize and common beans at a much higher price than they paid for them. With this mechanism the CIAL offers a service to their community, increasing the local availability of these p roducts and offering better prices, while generating resources for the group. Contract planting An agreement is made between the producer and the buyer asto the conditions under which the production will be sold . Buyers who need farm products with special characteristics seek farmers who are organized and have experience in contracting their production. The producer group has the advantage that they can ensure a mínimum for 210 their production, thereby assuring the profitability of their investment. There are CIALs that are p lanting under this mode, contracting with municipal and second-order organizations to generate resources as groups. Small agroenterprl.ses A problem that many farmer s face is the low price that the market pays for the products they grow; when these products are processed, however , they bring high prices. To improve the farmers' income and generate sorne extra income for the CIALs, the generation of aggregate value is being promoted in severa! countries. A part of the profits that the small agroenterprises of the CIALs generate can be used to capitalize the group's fund and finance sorne of their activities. In Ecuador and in Bolivia there are experienres with small agroenterprises that add value to potatoes. In Ecuador they are producing potato chips locally; prior to that, they were brought from the city ata much higher price. In Bolivia native potatoes are being selected and packed for a specialized urban market (natural foods) . Both are cases that respond to a market (one local, the other, externa!), process a product that the CIAL produces, and the initial investment is not high. Conclustons Self-financing is, to a certain extent, found in all CIALs. For their experiments, the CIALs normally seek a way to finance the land for p lanting the trials and the labor that they need . As was seen, there are severa! mechanisms to accomplish this; they vary from one place to another and are linked to the different local practices of the zones where there are CIALs. In many cases cash is not required to finance these costs as the CIAL members contribute their own land and labor or resort to diverse nonmonetary mechanisms for financing them, ranging from payment in kind to traditional mechanisms of reciprocity. All CIALs also receive support from the facllitating entities to finance the costs of the trials, especially in the form of seed, inputs and outside technical knowledge. This help is either given in kind or cash so that the group itself purchases the inputs that are not avallable locally. In some cases this investment is needed only for the first trial given that the production gives seed and some resources for the following trials. However, some groups also assume some of the costs of the inputs. To finance costs for which they require cash, the CIALs look to mechanisms that generate resources for them. The simplest mechanisms for obtaining sorne resources are u sing the sale of the production of a trial to finance the following one, collect extraordinary quotas among the members of the group, and organize informal activities such as the sale of food or raffles. Some CIALs have more elaborate mechanisms for generating resources. These mechanisms have clear operational norms, are independent of the immediate need for resources (i.e., they are more structural than opportunistic), are more constant and frequently bring other benefits apart from generating resources. Some examples of these mechanisms are the systems of savings and loans, the CIAL petty cash funds, small agroenterprises, storage and commercialization, and production contracts. With these mechanisms some CIALs are financing some costs of their trials. Others use them to finance production projects independent from the CIAL trials. Besides generating resources for self-f"mancing, many provide a service for the community. The only information available on the costs that a CIAL has for an entity is from 1995 and was calculated from CORFOCIAL's budget for supporting their CIALs in Colombia. At that time, it was estimated that each CIAL cost the CORFOCIAL US$500 ayear. This figure 21 1 serves as a reference for calculating the income that the CIALs need to generate to cover the expenses they require. At present there are no mechanisms that generate this amount. The self-financing mechanisms available at present generate resources to cover administrative expenses and sorne or even all the costs of the trials. If the costs of technical assistance and training that includes salaries of technicians and agronomists and logística! expenditures such as transportation-the resources generated by the mechanisms available at present are insufficient. Self-financing should be seen as a process in which it ís n ecessary to advance step by step. A first step is that the groups pay their trials and their administrative expenses. It should be noted that one of the principal obstacles to self-financing is th e paternalísm of the entities. Many of the research costs are either given to the groups or they have to pay back less than the entity's original contribution. This is done even in trials that have a high projected profitability. Even when production projects are supported, the amount that should be returned by the CIAL is, in many cases, less than what they were given In this sense sorne ASOCIALs in Honduras have advanced considerably and serve as an example of granting loans for production projects that should be paid back fully plus interest. The loans with interest are an important financing mechanism as they stimulate the execution of profit-oriented projects while generating resources for the group that makes the loan (aCIAL oran ASOCIAL) . The ClAL petty cash funds are another important mechanism in this process as they permit the members of the CIAL to save as individuals and as a group. In the concept of self-financing, it is important to have clear ideas asto what the capital of aCIAL is. The success of the small agroenterprises as self-financing mechanisms depends on multiple factors inherent in the difficulties of agroindustry, which should be analyzed at the time of undertaking a business of this type, but that goes beyond the scope of this work. It suffices to highlight that there are small agroenterprises that generate profits in a short time, while others take a long time in doing so and cannot therefore be considered as mechanisms for financing in the short term. In addition, there are other commercial opportunities that can be important sources of resources such as the cases of storing grain and contract farming in Honduras. In all these cases the support of second-order organizations is important, and this can be one of the fundamental roles of this type of organizations: support the ClALs in their efforts to become self-sufficient. It is no accident that in Honduras, where there are sorne solid ASOCIALs, sorne of the most interesting mechanisms are found. ASOCIAL support has been important for promoting savings in the CIALs and access to loans for production and commercial projects. Also in Honduras the production contracts were possible through a second-order organization although it was notan ASOCIAL. In Bolivia, the small business of native potatoes grew and was converted into an association that includes farmers outside the CIAL to take better advantage of their potential. Sorne CIALs, whose cases have been documented in this research (Cock 2003b), have taken important steps toward their economic independence through self-financing. This inventory of mechanisms should serve to help promote the process of transition toward self-sufficiency in these and in the rest of the CIALs by sharing the su ccessful experiences in this field with all the groups. So me final suggestions Sorne ideas that have arisen from this work for progressing in the process of self-financing of the CIALs are as follows: 212 Know how much a CIAL costs. To achieve self-financing it is important to know the exact amount of resources necessary to generate. At present this information does not exist or it is not easy to access. There are cost studies of a CIAL trial, which is an important element for knowing exactly what needs to be financed . Many CIALs already generate resources through production projects or even in sorne of their trials. lt is important to seek mechanisms to ensure that the CIALs reinvest those resources in their own activities. It is imperative that the CIALs have clear accounts: how much they spend and how much they produce. Although the groups should be doing this, it does not always happen. The CIAL petty cash funds help to have clear accounts besides providing other important services such as loans. Stop giving things away (seeds, inputs, tools, etc.). Other strategies can be used to support the CIALs, including loans with facilities, especially when there is a production focus. Convert production and commerciallots in mechanisms for institutionalized financing, have rules so that sorne of their profits can be used for self-financing (of future activities or for paying previous support). Promote the installation of new mechanisms, especially when there are innova ti ve ideas that require initial capital. An initial fund is needed, one that preferably should be granted as a loan to generate commitment and responsibility in the group. It is necessary to seek the way in which the generated resources can be reinvested and not be distributed among the beneficiarles. This requires clear rules at the moment of providing the support; e.g., now that they are moving toward small businesses. Initiate the transition toward paid assistance. If the CIALs are to pay all their costs eventually, including the technical assistance provided by the entities that support them, there should be a gradual transition. They could pay a small quota for this service as a way to measure their willingness to pay for jfinance this support. Be careful of mechanisms that distract from the main objectives; i.e., research. The mechanisms for self-financing should generate resources without demanding too much dedication by the farmers so that they do not take time that they would normally dedícate to their trials. The need for resources pro motes the adoption of mechanisms. Having to pay loans, etc., the groups will surely begin to adopt and generate mechanisms for self-financing in order to be able to comply with those payments. lt is important to generate basic norms to control the mechanisms for self-financing that are established. These regulations will facilita te the group's process of changing and adjusting according to their needs. References Ashby, J.A.; Braun, A.R.; Gracia, T. ; Guerrero, M.P.; Hernández, L.A.; Quirós, C.A.; Roa, J.l. 2003. La comunidad se organiza para hacer investigación. CIAT. Cali, 185p Cock, J.C. 2003a. Ejemplos de movilización de recursos por parte de grupos locales en Centro y Sudamérica. Informe de trabajo IPRA. CIAT. Cali, llp Cock, J.C. 2003b. Inventario de mecanismos de autofinanciación en los Comités de Investigación Agrícola Local (CIAL) . Documento de trabajo IPRA. CIAT. Cali. Cock J.C. 2003c. Mecanismos de autofinanciación en CIALs: resultados de la encuesta. Informe de trabajo IPRA. CIAT. Cali, lOp 213 Fidamérica. 1996. Intercambio de experiencias sobre el papel de las organizaciones campesinas en el manejo de problemas y oportunidades de desarrollo agrícoB.. Available in: http://www.fidamerica.org/actividades/conferencias / teindice/ Fidamérica. 1999. De cara a la globalización: Organizaciones económicas en América Latina y el Caribe. Available in: http: //www.fidamerica.org / actividades/ conferencias/ oec/ Fidamérica. 2000. Conferencia electrónica: Perspectivas y desafios de la microempresa rural en América Latina y el Caribe. Available in: http: //www.fidamerica.org/microempresa/ Wheatley, C. 2003. Sustaining development oriented civil society organizations in the rural South: Resource mobilization options, strategies, success factors and research issues. Documento de trabajo IPRA. CIAT. Cali, 47p 214 Integration ofthe CIALs in the management and conservation ofnatural resources in San Dionisio, Nicaragua Responsible: Thomas KellerlB, Clark Davis19, Jorge A. Beltrán20, Pedro Pablo Orozco21, Carlos A. Quirós22 Collaborators: Eduardo Hemández, Berta Jarquín, Sinforiano Hemández3 Highlights Two protocols have been established for doing research on NRM Participation of the municipality and the local organization Associations Campos Verdes in methodological process Objectives Test the proposed methodology for integrating the CIALs in natural resource management (NRM) and conservation Take advantage of the CIALs organizational capacity and convening power in their communities Generate collective action to improve the leve! of well-being of the communities that have the CIALs in their own watershed. Justificat ion The CIALs are community-based research services, whose members are elected by the community with the purpose of adapting or generating new agricultura! technologies. Most Committees are located in the hillside zones, where they are faced with serious problems of erosion, deforestation and scarcity of water, above all in the summer. These problems lead to others such as scarcity of firewood for cooking, lack of drinking water and the loss of soil fertility, which in turn results in lower crop yields. Therefore it is important to involve the CIALs in the topic of NRM and conservation, parallel to their research on crops for food security, in order to improve their leve! of well- being. Taking advantage of autochthonous knowledge and the participatory methods and tools that the CIALs already have, the groups can work in a watershed to execute actions and do research on the conservation and improve ment of their natural resources. Methodology Sector workshops Identify the partners in NRM in their watershed Identify and prioritize the general issues in NRM (farmers) Workshops of reflection Analyze problems and local a ltemativesfsolutions 18 Swiss College of Agriculture 19 Research Assistant, PE-3, CIA T, Nicaragua 20 Liaison officer, PE-3 2 1 Research Assistant, PE-3, CIA T, Nicaragua 22 Acting Project Manager, SN-3 PROJECT, CIA T, Colombia 23 Technician, Nicaragua 215 Establish mechanisms so that the CIALs and their partners work closely toge ther in arder to develop the NRM strategy Create working groups among the members of the CIAL responsible for working in NRM Exchange of experiences Sharing experiences, both locally and externally (Supermarket of Options for Hillsides - SOL, visits) and training in selected tapies Preparation of action plans Establishment of research protocols lmplementation of NRM activities in the short and medium term Monitoring and evaluation Results The process of integrating the CIALs in NRM was begun in the months of April-May 2003 in the micro watershed of the Calico River, municipality of San Dionisia, Matagalpa Province. Three sectors were selected, each one with three CIALs anda paratechnician in charge (Table 1). Table l. Sectors identified for developing the NRM process. El Zapote Stream: Cálico River La Calera Stream Communities: Zapote-Chile Communities: Carrizal, Communities: Las Mesas, Zarzal and Corozo Wibuse, El Jicaro CIALs: El Jardín, Los CIALs: Santa Fé , Linda CIALs: Productores Unidos, El Girasoles (women), Nueva Vista, Manos Que Ayudan Porvenir, Mujeres Vida (El Chile) Experimentadas, San José Tables 2 and 3 present the results in relation to assistance, identification of problems in NRM, identification of the social capital and general problems so that the producers become involved in NRM issues. The principal tapies are loss of soil fertility, scarcity of firewood, low quantity and quality ofwater, and burning fields T bl 2 P li i a e . re m nary res ul ts o r h kh t e sector wor s ops, S o· i i M t al an IOn S o , a agl lpa. Sector Sector Sector Zapote /Chile Carrizal/ Zarzal/ Corozo Mesas/Wibuse 1 Jicaro Attendance 33 (43% women) 37 ( 54% women) 34 ( 35% women) (no. people) Identification Low quantity and quality Loss of soil fertility Low quantity and quality oftopics ofwater Scarcity of frrewood ofwater Low soil fertility Low quantity and quality Loss of soil fertili ty Scarcity of frrewood water Regular supply of Burning fields frrewood Social capital The CIALs are ad vanced CIALs are advanced and and experienced. People work well testing crops. People able to lead the able to lead the work in People able to lead the work in NRM: Franciso NRM: Mariano López, work in NRM: José Luis Martínez, Dionisia José Luis Ochoa, Reyna Orozco, Salome Zeledón, Blandino, Hayd ee Ocho a Presentación Pérez Blandón, Bruno Salmerón Problems for Producers mention the Producers mentían the Lack of own plots; rapid 216 NRM increase in population increase in the changes in leased plots (about 4 .2% yearly) and population (about 4.2% lack ofland yearly) T bi 3 P r · a e re urunary resu ts o f h t e re fl k h ectwn wor s op, s o· an 1001S10, M al atag¡ Lpa. Sector sector Sector Zapote /Chile Carrizal/ Zarzal/ Corozo Mesas/Wibuse 1 Jicaro Attendance 36 (31 % women) 44 ( 55% women) 36 ( 44% women) (no. people) Prioritization Men: water (12), firewood Men: soil (16), firewood Men: water (20), firewood oftopics (7) , soils {6) (2) , water (O) (0) , soil (O) Women: water (4) , firewood Women: Soil (11) , Women: Water (14), (4) , soils (3) firewood (9), water (O) firewood (2), soil (O) Low quantity and quality of Loss of soil fertility Low quantity and quality water Scarcity firewood ofwater. Scarcity of firewood Low quantity and Regular availability of Low soil fertility quality water frrewood Burning fields Loss of soil fertility 217 Sector sector Sector Zapote /Chile Carrizal/ Zarzal/ Corozo Mesas /Wibuse / J icaro Problems for lmprovement in water not Long-term results; The sources of water are NRM visible in sh ort term; lack communit ies unwilling located on the property of of local incentives for this to implement a large landholder. are a. recommendations. Planning Plant Calliandra (C. Establish live and dead Plant Calliandra (C. calothyrsus) to barriers to calothyrsus) to improve improve the supply of improve soil supply of frrewood. firewood. fert ility. Construct micro-dams to Con struct micro-dams to Establish legume improve access to water. improve access to Cana valía water. brasiliensis in plots during the summer. At present, two research protocols have been developed and will be di scussed with the different groups to begin work the second semester of 2003. Conclusions and recommendations This methodological process, which seeks to integra te the CIAL grou ps more actively in activities of NRM research, presents the following reflections: Hold the workshops in summer to permit better participation of farmers. The NRM workshops should held separately for men and women as the interests of the latter are primarily related to water and firewood . Working in smaller groups (1 2-15 people) results in more active participation. The prioritization and voting should not be public to prevent biases and dependency on other people. Carry out previous selection of people who have been identified to have interest in the topic. The meetings should be he ld with shorter spaces between them to ensure greater continuity. 2 18 Lulo project Researchers: Fernando Hincapi&4 , Juan Jairo RuizZS , Luis A. Hemánde:-&6, Zaida Lentini27, James Cock2B, Carlos Quiros29 Collaborators: CORPOICA: Freddy Parra, Hidelbrando Achipri. Pescador: Pedro Nel Herrera, Hermes Vitelio Menza, A lejandro Murillo, Diomar Patiño, Wilson Mariones, Nelson Orozco, Leoncio Sanabria. Tierradentro: Humberto Inseca, Saul Salazar, Orlando Valverde, Jose Valverde, Eduard Salazar, Samir Salazar, Miguel Astudillo, Jison Salazar, Jose Honda, Félix Cuello lntroduction The Biotech team working on fruits, particularly with lulo (Solanum quitoens~, also known as naranjilla or Quito orange, has been doing work on clonal multiplication with materials from the Andean Fruit Growing Center. The work began in 2001; and although the origin of the material was not known, the Center collected it from the farmers. The Biotechnology Unit is interested in the conservation of materials (in vitro germplasm) and the regeneration of new plants. One year ago the ftrst materials that maintained good characteristics after in vitro storage were taken to the fteld. The field results with the materials from the Andean Fruit Growing Center have been good in terms of production, early harvesting (2-3 months earlier than normal) . Now the purpose of the participatory component is to identifY a group of lulo producers interested in validating this method of clonal multiplication with their own varieties. They select their improved materials, give them to the Biotechnology Unit, and then evaluate the materials in the fteld, comparing them with their traditional method of planting seeds. Actors involved The lulo project involves producers with experience in the crop, buyers (Pescador and Tierradentro, Cauca, Colombia) and specialists in biotechnology and participatory research from CIAT. Justijication The availability of seed of promising materials for the growers' production systems is one of the bottlenecks that prevents the better use of resources by the small farmers. All farmers are interested in obtaining improved varieties or clones for planting. For many years the producers have selected promising materials in their production areas, collecting seeds of the best plants. In crops such as lulo, however, where the progenies differ substantially from each other and their progenitors, the process of obtaining varieties with the desired characteristics ís slow and frequently does not work out. The strategy of joining forces between participatory research and biotechnology seeks to give the producers the necessary tools so that they select the improved materials and multiply them, obtaining progenies the same as the mother plants. Thus their 24 Research Assistant, SN-3 Project, CIA T, Colombia 15 Research Assistant, SB-2 Project, CIAT, Colombia 26 Research Associate 1, SN-3 Project, CIA T, Colombia 27 Senior Staff, SB-2 Project, CIA T, Colombia 28 Project Manager, IP-06 Project, CIAT, Colombia 29 Acting Project Manager SN-3 Project, CIA T, Colombia 219 selections pass rapidly to the multiplication stage and can be disseminated more quickly. Objectives Obtain materials of lulo apt for the region according to the criteria of the producers themselves and buyers from Cauca Prove that clonal propagationJo is viable for obtaining improved material Offer the producers the service of clonal multiplication for the regional materials selected by CIAT (work in Dapa) and by the farmers and buyers themselves Determine possible selection criteria of the producers and buyers in the selection of lulo cultivars through participatory techniques Develop mechanisms for establishing viable commercial systems for multiplying the selected materials Design procedures that combine clonal reproduction and participatory research for their application as a model in lulo and other fruits. Methodology Motivate potential groups interested in the tapie (informal presentation of the project, explaining the benefits and risks for producers and scientists involved in the project) Characterize the interest groups with whom the work would be done through a survey (a fundamental criterion in selecting the interest groups is their experience with the lulo crop) Explain the process of multiplying materials through meristem techniques (visit to Dapa, experimental fields and lab by the interested groups); and depending on the interest of the groups, they could evaluate sorne of the lulo materials that ha ve been multiplied with these techniques. Select promising materials from the regional germplasm of lulo (application of participatory techniques such as open-ended evaluations, definition of criteria, grading and reasons for same, preference ranking, etc.). Multiply materials selected through biotech techniques (meristem technique). Plant promising materials coming from clonal multiplication according to the producers and buyers Conduct participatory evaluation of the selected materials at two locations in Cauca (Tierradentro and Pescador; at this stage establish linkages with institutions such as CORPOICA-Cauca) 30 The system of clona! multiplication reproduces the same gene material as the mother plant selected and minimizes the transmission of systemic diseases. 220 Develop mechanisms to establish viable commercial systems for the multiplication of the selected materials (nurseries interested in the multiplication of materials or the possibility of establishing systems of propagation at the local level identified) Procedure Criteriafor selecting interest groups Experience with the lulo crop (local experts) Detailed level of observation from the experienced producers Producers known their community as innovators or experimenters (perception of probabilities of change in the local practices) Skills for communicating with the researchers (ease of expression) Socioeconornic resources Land tenure Farm size Objectives of the producers Commercial vs. subsistence Improve crop Localization Distance to the market Agro ecological zone (upper zone, lower zone, etc.) Participatory diagnosis limited to the lulo crop Meeting to speak about the lulo crop, problems, causes and possible solutions. Open-ended evaluations Method for probing and recording the spontaneous reactions of the producers to the technology (varieties of lu lo) without using direct questions. Techniques u sed by the interviewer to stimulate the communication of ideas from the producer in open-ended evaluations. Describe what would be an variety ideal for you. What do yo u think of this variety? Could you explain that to me? Tell me more about that. Is that an advantage or disadvantage for you? Could you group sorne of these? How would you classify them? Why do you put these in a group and those no? Preliminary results Results of the lulo growers visit to CIA T and the experimental trial of lulas in Dapa (June 3). Exploration of expectations of lulo producers from Pescador and Tierradentra The expectations of the lulo producers can be grouped into two areas: (1) pests and diseases and (2) seed quality. The expectations of the producers were compared with those foreseen in the project in arder to clarify them and integrate goals. In terms of the expectations designed into the project, the possibility of obtaining "clean" (strong) seeds using the technology being tested was explained, as well as how this could be used at the field level so that the producers learn how to apply it 22 1 and manage it in the future. The possibility of the producers themselves looking for potentially good materials of lulo in terms of pest resistance and f or diseases and to multiply them using the technology being tested was also explored. With the adaptation and adoption of the technology in case of being successful, they could be applied to other crops of interest to the producers. The result of this exercise indicated a good correlation between the expectations of the producers and those in the project. Results ofthe survey about experiences with lulo. Based on the questions (1) how many years have you worked with the lulo crop?, (2) about how many lulo plants do you have?, (3) why are you planting lulo?, (4) if their objective in planting lulo is commercial, at what distance are they from the market?, twenty people involved in the crop responded as follows: Sorne have experience of only 1 year; others up to 15 years. Of the 20 growers, 50% have experimented for periods of 2-3 years. The producers have from 80-5500 plants; 50% grow from 1200-3000 plants. The majority of the producers sell their fruit for the fresh markets, far from their production areas; they do it through middlemen. Criteria of producers expressed about a lulo crop {13 months after planting, Dapa, 1600 m alt.). For this part of the experience, the technique of "open interview" was u sed, in which the producers express their opinions about two lulo cultivars, freely and spontaneously. The possible criteria are the result of the exposure of the farmers to the characteristics of these two varieties. For the exercise, the group was divided into the producers coming from Tierradentro and Pescador, assuming there would be differences of opinion according to different agroclimatic and marketing conditions. Table 1 shows the possible selection criteria that were mentioned by the two groups. In sorne cases the criteria differed between the two groups (letters in bold case), possibly dueto agroclimatic conditions (e .g., leaf size) and types of market (e.g., size of the fruit). Table l. Possible selection criteria mentioned by two groups of producers (Tierradentro and Pescador, Cauca). 222 Possible selection criteria "Size" referred to as: The leaf The bigger the leaf area, the better the lulo plant (producers from Tierradentro) A smallleaf area favors circulation of the air, there are fewer diseases, and better advantage is taken of the space available for planting (producers from Pescadorj The fruit Large fruits are better accepted (producers from Tierradentro). Small fruits can be sold in the marketplace, but through middlemen. The large fruit can be sold in chain stores, but they require flxed production quotas (producers from Pescador) . "Color" referred to as: The leaf: Should be dark green and shiny. Fruit: When fully ripe, it should have a deep orange color. Pulp from the fruit: Consumers prefer the green color (in the juice) . "Thickness" referred to as: Stalk: The thickness of the stalk is directly related to good fruit setting. "Fruit setting" or production Fruits: 300-400 lulos 1 plant, 6-7 lulos= 1 kg, 50 kg = one plan t. "Thorns" Plants with thorns are preferred for their production and fruits that tolerate postharvest management Definition of an ideal plant (producers from Tierradentro} Healthy plants (free of diseases and pests) Large fruits, deep orange in color when they are ripe Good production (300-400 lulos per plant, 6 -7 lulos per kg) . Visit to lulo farmers Taking into account the fleld day in DAPA with lulo farmers from Pescador and Tierradentro and the last meeting (01-07-03, Annex 1}, where it was agreed to begin the process of selecting the farmers who showed interest in participating in the project (initially Pescador}, sorne points of reference for beginning the fleldwork were established. The purpose of the ítrst visit to the field (Pescador, 22 August) was to identify from among the group of 4 farmers selected from the survey, who are currently growing lulo (Annex 2), those who are still interested in participating in the project and try to find at least 6 farmers more in order to have a group of 10 farmers. 223 Those who participated in the field visit were Fernando Hincapié, Leonel Rasero and Juan Jairo Ruiz from CIAT, and the farmers Pedro Nel Herrera, Hermes Vitelio Menza and Diomar Patiño. The 4 farmers that were selected for the ir expenence in the crop were visited , and their interest in participating in the project was reaffmned. A survey was also conducted in arder to obtain more detailed information of each farm and sorne of the activities that they carry out (Annex 3). Dunng this visit, a visit was made to the crop of Diomar Patiño, which has many problems (principally diseases such as sclerotinia and anthracnose). Finally, the farmers were asked to get together other farmers from the region who also grow lulo and that have shown interest in participating, to attend a meeting programmed for 25-07, where all the farmers will be informed about the objective of the project, share expenences with respect to crop management and look a t the current importance of lulo in the region. Second visit to field (Pescador, 25 August) The purpose was to identify new farmers to expand the group working on the selection of new clones, learn of the expenences of each with respect to crop management a nd evaluate the current situation of the c rop in the region . Those who participated in the field visit were Fernando Hincapié and Juan Jairo Ruiz from CIAT, and the farmers Pedro Nel Herrera, Hermes Vitelio Menza, Diomar Patiño, Wilson and Manuel Mariones, Nelson Orozco, Leoncio and Urbano Sanabria, and Nacho Herrera. Four new farmers interested in participa ting in the project were identified, the management entena of each of the farmers were unified based o n t he survey (Annex 3), and the person with the most knowledge a nd good crop management was detected: Pedro Nel Herrera (crop in excellent health conditions). The rest of the farmers have many problems (primarily diseases) and are not familiar with the ma nagement prac tices being u sed by Pedro Nel. Pedro is open to transmitting his knowledge to the rest of the farmers, and we conside r his farm to be a good p lace for the observation plots. Then the work plan was developed with the group. The frrst thing to be done is to begin the selection of the improved matenals from each farm. For this purpose, a field visit was programmed (07 -08). In the upper zone, the tour will cover each of the where the farmers have previously identified their improved materials. Then each of them will present before the whole group the critena he used to select these outstanding clones. A bnef diagnosis of the current state of lulo in the region a nd the importance that it has for each farmer, classifying the crops that they h ave in the high zon e of Pescador as well as in the lower zone, and their pnority with respect to income gene rated . The farmers' interest in lulo is due to the fact that it is a crop in high demand and a very good market ; besides it can be said that it guarantees a return on the investment. In the lower zone (Crucero de Pescador) the main cash crops are coffee, common beans (Phaseolus uulgari~ and cassava. Very few producers are cultivating lulo, partly because they believe that the conditions are not the best for the crop a nd partly becau se they do not know about the crop. Lulo is seen as a cash-crop option. 224 In the upper zone (Buena Vista), the main cash crops are beans and blackberries, just as in the lower zone, lulo is seen as a good cash-crop option. The interest of lulo growers is mostly related to the good price it brings on the market, the production is sold easily, and it is a "generous" plant with respect to fruit setting and production. Sorne of the problems encountered are that the lulo producers are very far from the markets, which affects the price they get for the fruit, and transportation to the markets is costly and difficult. Third visit to field (Pescador, 07 August) Each of the farms was visited, and the two best lulo plants were selected (taking into account the farmers' priorities). The 5 best materials of the whole zone were selected, taking into account the farmers' observations and criteria, recording th e characteristics of each material (health, productivity, plant habit, quality of fruit, etc.). Two observation zones (one in the lo~r zone at 1650 m alt. and the other in the higher zone at 1900 m alt.) were selected, where the plots for evaluating the plants will be located. Each observation lot wi1l have 3 treatments: plants propagated from seeds, from clones done by the farmers and micro propagated. Each treatment will have about 20 plants, for a total of 60 plants. If 5 clones are selected in the zone of Pescador, there should be 300 plants. As there are 2 zones, this means 600 plants for all the treatments and clones. Considering the introduction of the farmers' clones to CIAT, clase attention will be paid to the methodologies of clonal propagation that sorne of the farmers like Pedro N el Herrera use on their farms. The purpose of this is to estímate the time required to collect the materials in the field, how long they need in the glasshouse and later in vitro. Establish the planting dates in relation to the delivery of the in vitro materials. Fourth visit to field ·(Tierradentro 9·1 2 September) Visit to the lulo producers who went to Dapa in order to see their crops, identify those interested in participating in the project, and select materials for delivery to CIAT for the process of clonal multiplication. The principal crops of the region are coffee and beans, given their importance as cash crops, the same as for the zone of Pescador. Lulo is attractive because of its good price on the market, and the p roduction is sold easily. As for the problems faced by the producers, they are similar to the zone of Pescador, the markets are far away from the farms, they do not have much experience in crop management, and they do not know how to control sorne diseases and pests. Despite the fact that lulo is an attractive crop because the fruit has a good demand on the market and brings a good price, the number of lulo producers in the regions visited is low. Many farmers begin working with this crop; but when they face a problem such as a disease or pest, they abandon it. This can be explained in terms of the little knowledge and technical help available with respect to the management of this crop. Another reason that should be borne in mind is that the producers generally have other well-established crops that generate incomes a nd that have to be taken care of as they are the basis of their economies. Thus they do not dedícate sufficient time to lulo, which in the first days needs a certain amount of dedication. Another factor that was observed and that can have incidence on the deterioration of the lulo crop is that the 225 productíon plots are generally located far from the farms and are of difficult access, making it problematical to guarantee the appropriate care of the crop. It was also observed that there are sorne producers with very good management and knowledge of the lulo crop, only a few kilometers from very deteriorated crops, whose owners do not have the knowledge or the technical assístance to make their crops prosper. Consequently, a compilation of the best practices for managing the lulo crop at the local level was proposed so that the producers who want to work with lulo can benefit from the experience of the producers who ha ve the local knowledge for growing a successful crop. Commit ments acqui red With the producers from Pescador, the following commitments were acquired, once the materials to be multiplied have been identified: Planting of cuttings or shoots of the plant selected for clonal multiplication in the week from 11 - 15 August Delivery of at least 10 p lants, daughters of the plant selected for multíplication in the week from 6 - 1 O Octo ber Delivery of cloned material for establishíng observation plots from February and March 2004 Work of observation, monitoring and evaluation of clonal and traditional materials for the next two years With the producers from Tierradentro, similar commitments were established: Planting of cuttings or shoots of the p lant selected for clonal multiplication in the week from 15- 19 September Delivery of at least 10 plants, daughters of the plant selected for multiplication in the week from 17-21 November Delivery of cloned material for establishing observatíon plots from March-April 2004 Work of observation, monitoring and evaluation of clonal and traditional materials for the next two years 226 Annex 1 Zone: Pescador No. of farmers: 8 Experience: 4 without experience in lulo; the other 4 with experience ranging from 2-9 years No. of plants: 200-1000 Based on these results, it was decided to eliminate the 4 farmers that no have experience in lulo and have not planted lulo. Juan Jairo Ruíz will prepare a list by zone of the farmers that participated in the survey, tabulating the results of the survey, their selection for the study and confirming their interest in participating in the project. Fernando Hincapié will contact ASOBESURCA, to communicate the Project's interest in continuing the follow-up from the proj ect and request their help in identifying other farmers in the zone of Pescador, given that half the farmers who attended the workshop at CIAT did not have experience in lulo. Fernando Hincapié and Juan Jairo Ruíz, will make a preliminary visit next week to the 4 farmers selected in Pescador according the survey to confrrm their interest in participating in the project and begin gathering the preliminary data on productivity, pests and diseases, know the farm and obtain a better idea of the crops, and request information about other possible farmers with experience in lulo that could be candidates for including in the project. Fernando Hincapié will contact Freddy Parra (CORPOICA, Popayán), give him the list of farmers from Tierradentro and see whether he can collaborate by consulting the farmers about their interest in participating in the project and then plan a visit to the interested farmers, and begin a process similar to that of Pescador. A survey will also be developed for use in a group meeting by zone, where the group of farmers involved in the project participate; should be designed for the follow.up of the project. lt was suggested that instead of asking each farmer to select his best clone to be multiplied in vitro, they should form two work teams (one per zone), and that each team select the best 4 -5 clones available among the group of participating farmers. Thus, there would be the best 4-5 clones by zone. These clones would be the ones to be multiplied in vitro. Each team would select 3-4 locations in each zone (replications) for the comparative trial of the in vitro material vs seed from each clone. This would facilitate the standardization of the management of the trial in the different replications, the costs of maintaining the trials would be less, and the risk would be shared among the farmers. This pre-trial could be the beginning of the procedure to be used for establishing the observation lots for when they are going to introduce the new germplasm. Of course, in a rder to establish this scheme, the farmers would have to be willing to share their germplasm. This could be explored in the preliminary visits. 227 Annex 2 List for classifying and selecting lulo growers Zone: Pescador Experience N ame No. Plants (yr) Pedro Nel Herrera 15 1000 Hermes Vitelio Menza 15 900 Alejandro Murillo C. 2 700 Diomar Patiño 9 260 Genit Almendra o o David R. Trochez o o James Bastos o o Angel Daniel Paz o o New farmers Wilson Moriones Manuel Moriones Nelson Orozco Leoncio Sanabria Urbano Sanabria Nacho Herrera 228 Selection lnterested in Based on Survey Participating X y es X y es X y es X y es No y es No y es No y es No y es No yes No y es Annex 3 Criteria for conducting survey of lulo farmers (3 July) What is the fruit setting or production ofyour lulo plantation? What is the planting distance that they use? Describe your main cultural practices (e.g., fertilization, fumigation) . What are the principal pests? (pests and diseases that limit the productivity and the crop management) What other factors limit the lulo production on your farro? What is the average and maximum height that these plants reach? How many harvests of lulo do you get a year? With what frequency do you plant new lulo plants and how many? Are your new plants from seeds or cuttings of the best clones? Do you plant other plants in association with lulo? 229 OUTPUT 3. PROFESSIONALS AND OTHERS TRAINED AS FACILITATORS OF THE PARTICIPATORY RESEARCH APPROACH Milestones Professionals trained in the use of PR tools and methods PME t raining strategy tested in potato production systems in Toralapa , Bolivia Capacity of Bolivian na tional partners for implementing and su pporting PME Systems within their communities, strengthened PME training strategy strengthened by the exchange of experiences in the training workshops Farmers' groups-experirnenters initiating agroenterprise activities based on the technology generated in their experiments Technicians of partner institutions in the Andean zone applying and promoting an agribusiness orientation in farmers' groups Professionals trained in the use of PR tools and methods Table l. Participation in training events related to PR. City & No. Dates Country Event Participating Institutions Participants Feb. Ka bale, FPR & PMR NARO 15 Uganda: workshop Tanzania, Kenya , Malawi Feb. Lilongwe, Stakeholder project Ministry of Agriculture, 10- 11 Malawi inception workshop Dept. of Agricultura! 12 & consultations Research & Technical Services, Dept. of Agricultural Extension CARE Malawi World Vision Plan lnternational Malawi Lilongwe Agricultural Development Division 9 Feb. Lushoto, Project inception Africa Highlands Initiative 8 17- 18 Tanzania workshop Traditional Irrigation & Environment Protection Programme District Dept. of Agricultural & Livestock Development Lishe Trust SE CAP Feb. Jinja, Follow-up & action NARO 24 24-27 Uganda plans development Agricultura! Research workshop Developmen t Centres Dis trict Extension Coordinators National Agricul tura] Advisory Services 230 City & No. Dates Country Event Participating lnstitutions Participants Action Aid Africa 2000 Network Africare Mar. Honduras Training workshop FIPAH 8 3-8 on manage ment of EAP Zamorano CIAL database Mar. Lushoto, Market facilitators TIP 20 24 -28 Ta nzania workshop Africare Lilongwe ADD DARS, Malawi Africa Highlands Initia tive Lishe Trus t NARO-ARDC Mar. Toralapa, CIAL methodology & ACDI-VOCA 29 24 - Bolivia PME System Tarija Prefecture Apr. PROMETA-INNOVA 4 GNTP-NUR PRODII JAINA CAD CIAT-SC-INNOVA QHANA Community Educa tion Center FCAP-UMSS PRO SUCO ASAR Mayor's Office, Llallagua FDTA Valles APG AGAVAT FOCAM UTA-CEDAG-Tarij a Pref. PROINPA PROMACEL-UMSS NIAP-Ecuador Mar. 31 Salima, Integrating FPR & DARS 2 2 Apr. 11 Malawi PMR LADD CARE Plan Internat ional TIP-Tanzania NARO-Uganda CIAT Ma r. 24 Nairobi, Stake holder KARI 12 Kenya consultative meeting CMAD on "Strengthening EAT institutional change p rocess by enhancing participation of farmers in R&D process" May 7 Cali, Workshop on PR Fundation CIPAV 10 Colombia INTEP 231 City & No. Dates Country Event Participating Institutions Participants Institute of Education Technical Professional Communities & Watersheds, CIAT M ay Ka bale, Integrated Africare 20 26-31 Uganda agroenterprise Uganda National Patato Seed development of Production Association pota toes Various Ka bale, Community Farmers from pilot 45 Uganda; workshop on communities in ERI sites Lushoto, leader ship skills & NGO partners Tanzania; gender Dedza, Malawi 232 City & No. Dates Country Event Participating Institutions Participants July Popayán Training for rural 10 ClALs from CORFOCIAL 17 1- 3 (Ca u ca), agroenterprise with the participation of 15 Colombia development, with farmers & 2 technicians emphasis on financia! management, Gloria Liliana Lasso Buitrago July Jinja, lntegrating gender NARO 22 28-Aug. Uganda analysis ARDC 2 Aug. Tororo, Market opportunity Africa 2000 network 23 11- 16 Uganda identification & Cash farm enterprise selection NAADS Tororo district Katamata Farmers' Group Sept. Arusha, PR approaches & TSBF-Africa soil fertility 32 28-0ct. Tanzania scaling-up strategies network 11 for soil-fertility management Oct. Tororo, PME Africare 24 27-0ct. Uganda Africa 2000 Network 3 1 NARO DARS LADD TIP DALDO KARI EAT ILRI TOTAL 17 75 352 233 Participatory monitoring and evaluation workshop, Toralapa, Bolivia Facilitators: Luis Alfredo Hernandez K 11 , Elias Claros Truj illo32 Background The strategy of capacity building in the "Promoting Changes" project determined that the Bolivian system of agricultural and livestock innovation would be strengthened if those who provide the services of research and technical assistance were experts in participatory methodologies. lt also states that to build a critical mass of experts in these methodologies, it is necessary to build these capacities in the institutions and organizations to support the target groups to incorporate those methodologies in the technological innovation processes. Based on the aforementioned strategy, the "Promoting Changes" project has been promoting training workshops in participatory monitoring and evaluation (PME) to share experiences with this approach, identify groups of people or organizations interested in collaborative activities in the future, and develop appropriate PME systems in Bolivia. This PME workshop describes the methodology that is being used to train groups of technicians, professionals and farmers in PME. At the end an analysis of the experience was done, and commitments to implement the systems by the trainees were established. Objectives The following objectives were proposed for the workshop: Strengthen the knowledge about PME Promote the establishment of PME systems Exchange knowledge and experiences about the establishment of PME systems Provide tools and methods to promote the establishment of PME systems Suggest sorne steps for establishing PME systems Methodology Partic ipants' expectations and their relation t o the workshop obj ectives Table 1 gives the predetermined objectives of the workshop and the participants' expectations prior to beginning the event. 31 Research Associate I, SN-3 Project, CIA T, Colombia 32 Research Assistant III, SN-3 Project, CIA T, Colombia 234 Table l. The participants' expectations and the ir relation to the works hop b. t• O IJeC lVeS. PME Workshop Participants' Ex pectations Objectives Strengthen the knowledge Increase knowledge on PME to apply it to the institution's on PME activities and projects Know and learn new knowledge to be able to carry out PME in the CIALs Promote the establishment Leam about PME of PME systems Forro a good conceptualization of PME methodologies lncrease the knowledge on PME techniques Improve knowledge through participation Acquire knowledge and skills on PME Leam more about PME, as well as learn new strategies related to it Exchange knowledge and Strengthen capacities through the exchange of experiences about experiences establishing PME systems Exchange experiences in PME Provide tools and methods Learn methodological tools to strengthen CIALs for promoting the Expand knowledge, instruments, methods for PME establishment of PME systems Suggest sorne steps for establishing PME systems Agree upon action plans Establish relations with all participants to establish joint with the entities work in PME participating in the workshop to establish PME systems Establish solid relationships with participants The first colurnn of Table 1 relates the predetermined workshop object ives in relation to the participants' expectations. In general the expectations and the objectives are correlated. Sorne of the participants' expectations have an indirect relation to the objectives. For example, the establishment of salid relationships with the participants is related to the exchange of experiences, just as the steps in the methodology are related to methods for establishing PME systems. Thus it was not necessary to adjust the content of the workshop considering the correlation between the expectations and the objectives. Analysis of exp erien ces in PME p r oces ses (participants' presentations) The analysis of the presentations indicated that the PME systems have a project focu s and logframe. Thus the participation of the users is relative in terms of the d efinition of indicators, formats , use of the information, etc. The most outstanding a spects of the presentations are highlighted here: Projectfocusfor PME. The presentations indicated that the systems they are going to monitor have pre established work plans where the producers have not participated in their design (consultative participation). Logframe approach. The presentations showed that the activities in the PME systems are based on logframes. This implies predetermined activities, measura ble indicators that can be verified, etc.; which confirms a project focus determined 235 mainly by the interests of the entities or donors and, of course, with very low producer participation. Negotiated indicators. In the presentations it was observed that the predetermined indicators enter in a process of concertation (negotiation) with the producers. In this way the users of the PME systems do not intervene in the design itself. Other presentations. Sorne participants related research experiences in which communities intervened in a consultative fashion , with out having true PME systems. In conclusion we can affirm that the PME experiences presented by the participants have a project focus characterized by Iow levels of u ser participation, different from the PME system offered in the workshop, in which the u ser s should be involved throughout the process. Nevertheless, there is a great opportunity for establishing PME within the new approach of the Bolivian system of agricultura! and livestock technology (SIBTA), given that it s tarts with the demand of the beneficiary interest groups. Strategy for training as part of the PME process The facilitators promote discussions on the different tapies referring to the PME, then they construct concepts and finally there is feedback from experiences in other contexts. Having finished this process, the participants can a pply the knowledge acquired with interest groups and then discuss the results of the practice in plenary session . Strategy of learning by doing Construction of concepts Concep tualization (Training Module 1) Feedback Putting knowledge into practice (concepts and methodologies) First the participants' knowledge on the different concepts is determined and then it is reinforced with the presentation of drawings that represent the concepts in the daily activities of the interest groups. For this purpose , cards are used and each participant writes down what hejshe knows abou t them. Then the related concepts are grouped in an exercise in a plenary session . Finally , a n agreement is reached on the concepts. 236 After doing this exercise the following results were obtained (Table 2). Table 2. Knowledge on the PME concepts. Concept Partici¡~ants' Results Monitorinq Verification Accompanying the activities Evaluation Assessment of results Grade something Assig_n value to something Participation Joint decision-making (all actors of the process) Indicator Sign Something that orients us Something that tells us where we are going and where we ha ve to _g_o Analysis of the exercise at the level of the workshop participants The process of conceptualization is easy, and there is good congruence with results in other contexts. The following distinction was made between monitoring and evaluation: accompanying and verifying activities that are developed in a process (monitoring); and assign a value to the results obtained at given times to ensure that the decision-making process leads to the completion of the proposed objectives (evaluation). Conceptualization exercise at the level of the interest g roups General description ofthe interest groups (farmers) The practice was implemented with farmers from the town of Candelaria in the Municipality of Colomi, which has 18 communities and 8 CIALs established. It is a microcenter of biodiversity with 70 varieties of Andean potatoes and 16 varieties of smooth-skinned tubers (Ullucus tuberosus) . The CIAL in Candelaria has worked with these native potatoes with good results. Of 38 varieties evaluated for adaptation, they have selected 5. They are seed producers and want to give added value to their production with good selection and packing. The workshop participants decided to define the terms based on the description of the potato crop. They asked the interest group to describe the cycle of the crop and then tried to link them to the terms Monitoring (M), Evaluation (E), Participation (P) and Indicators (l). Analysis ofthe exercise at the level ofthe interest group in Candelaria. It was easy to describe the crop cycle for the participants in the workshop, but very difficult to relate them to the concepts (M,E,P, I ). On occasions, for lack of mechanisms to accomplish the objective of the practice, the facilitators had to lead the participants. Based on experiences in other contexts, it is preferable to conceptualize using activities known by the groups, before using an activity without preparing mechanisms that reflect the relations that are sought. In any case, the PME methodology was presented as a flexible format to be enr~hed in case of success. 237 Use of illustrations Nowadays drawings are used to facilitate the training of producers with any level of schooling. However, the participants at this PME workshop do not yet manage open- ended evaluations, probing questions, etc.; which ensure that the process is based on the free expression of the producers. It would probably be very useful to think a bout how to link the processes or activities that a re traditionally done in the interest groups (crops, animal management, etc.) with the conceptualization of monitoring, evalu ation, participation, objectives, activities and indicators, developing new strategies to facilitate the process. It would be more interesting if they started with illustrations developed by their own interest groups. It is it possible to induce the groups when we use an activity specific to the group asan example? This question is a reflection that we should do in arder to avoid having to lead the process. Use of flow charts The participants did not use flow charts. However, in the discussion and analysis of the practice, Fausto Merino (Research Assistant from Ecuador) emphasized the importance of their use and the difference that should be made with the "agenda for a meeting." This participatory tool is very useful in these training processes at the level of the interest groups. Displayed in visible p laces, the flow charts make it possible to orient the groups, discu ss the process with them, orient the methodology that is going to be used, etc.; and the reason why its use is recommended in processes of establishing PME. Conclusions on Training Module 1 In the process of inquiring into the participa n ts' knowledge of terms such as M, E, P and I, the PME methodology propases exploring their knowledge first and then establishing a relation between these terms and routine activities such as the management of a crop a nd /or use illustrations. In the former case, the new facilitators have to develop a strategy for constructing concepts. It is also recommended to: Revise the conceptualization of the flow chart and distinguish it from other tools such as the agenda for a meeting Study and use flow charts, distinguishing them from other tools such as the agenda Practice the technique of open-ended evaluation to obtain greater spontaneity of the interest groups. Formulation of the overall objective, current and fu tu re situation, activities, indicators and formats (Training Module 2) Table 3 gives the definition of each term from Module 2. In the definition of the objectives, the relations with the concept "goals" and their characteristics such as "reachable," "verifiable," "concrete," "clear," etc. are highlighted. Moreover, the participants understand the importance of having objectives. 238 Table 3. Knowledge on objectives, their characteristics and importance. Questions Participants' Res_l)_onses What is an objective? It is a goal drawn up It is what you propase to reach at the end of a process lt is a dream _Qro_Qosed What characteristics should an objective Reachable ha ve? Measurable Clear Concrete Verifiable Why is it important to have a good To have the future clearer objective? To know what we ha ve to do ahead of time To k now where you want to go and structure a good work _2_lan To understand the curren t and fu ture situation, predesigned illustrations were used that showed , through a time line, the activities that needed to be done chronologically in arder to reach the proposed goals. With the objectives of each entity, an exercise was done that made it possible to build the overall objective and the curren t and future situation of the same. Then the components of this objective were analyzed, and one was selected. Based on the one selected, the activities indispensable for reaching the objective were analyzed, and for sorne of them the indicators were defined. The participan ts defined the components of the formats in terms of "indicators," "time," "person responsible," etc. Analysis ofthe exercise at the level ofthe interest group. The field practice ofwas done with 24 farmers belonging to the association of producers of seed potatoes. Four subgroups of 6 people each were forme d. Table 4 indicates that the subgroups, working simultaneously (independently), managed to define objeetives, indieators and aetivities (they were also able to design formats). An interesting result reflected in this table is the fact that constructing the objective "better organization," they prioritized the same activity, "meetings" and thus obtained similar indicators such as "number of meetings" in all the subgroups. This could indicate the efficiency and efficacy of the proposed PME process (Table 4). Table 4. Objectives, activities and indicators of the subgrou_ps. Working Group Objective Activities lndicators 1 Strengthen our Attend meetings # of meetings organization 2 Grow asan Meetings Records of partners organization 3 Want to be organized Look for interested # of visits to people (meetings) communities 4 Produ ce and multiply Training # of training events seed in an organized dedicated to seed way multiQlication 239 General conclusions A capacity in the process of establishing PME was created. Institutional commitments were establi shed through the work plans presented. The proposed PME process was well accepted by the participants, who generated diverse ideas on its application. The facilitation of the PME processes should consider people who are able to speak Quechua because it is the language most frequently spoken in the communities. lt seems that the con ceptualization of the diagnosis in the CIAL course caused confusion in the definition of the objectives of an interest group; nevertheless, the proposed PME system helped distinguish between the two concepts . 240 Promoting a business and market orientation in CIALs from Colombia, Ecuador and Boliv ia: Report of follow-up activities to the Second Workshop on "Design of Integrated Agroenterprise Development Projects." Part 1: Cauca (Colombia) and Ecuador Research: Carlos F. Ostertag33 Background This collaborative project between IPRA and the Rural Agroenterprise Development Project (RAeD, SN-1) at CIAT has focu sed on promoting a more businesslike perspective among sorne CIALs in Colombia, Ecuador and Bolivia. For this purpose, two 3-day workshops were held in Conocoto (Ecuador) in 2002, with the participation of technicians from NGOs that support the CIALs and their members. The frrst workshop focused on presenting basic business concepts and the methodology for identifying market opportunities for small rural producers, while the second workshop centered on the process of analyzing a production chain and the design of an integrated agroenterprise development project (IAP). The IAP consists in developing an action planto strengthen the production chan under consideration. This report34 corresponds to the follow-up activities to the second workshop, consisting in the analysis and development of an action plan to strengthen the selected production chain. Reference is made to visits to Cauca and Ecuador to follow up the activities of a CIAL in Cauca, dedicated to maize p roduction, and to three Ecuadorian CIALs located in the provinces of Chimborazo, Pich incha and Carchi. CIAL in Morales (Cauca), 8 July Activities carried out This CIAL is located in Carpinteros, a village in the municipality of Morales in the Province of Cauca. There is a maize growers' asociation with 34 members. CORFOCIAL, the second-order organization , p rovides support through its technician, Bolivar Muñoz. This CIAL is working on maize, sugarcane for makingpanela, a noncentrifuged sugar in block form, and guinea pigs. After prioritizing, they decided to focu s on yellow and white maize. With the collaboration of the CIAL leader, they conducted a rapid market study to identify potential buyers of maize in Piendamó and Popayán. They proceeded to identify the different actors in the chain. They studied the support system for maize· (Office of the Mayor , CORFOCIAL. SENA, etc. ). The organization of maize growers was evaluated, which revealed a deficiency in outcomes and in the level of commitmen t of severa! members. Based on this analysis, the organization has undergone an overhau l. They proceeded with the analysis of the critica! point s in the production, processing a nd marketing links. Then they prepared the problem trees to identify the causes and e ffects of the diverse limiting factors in the chain. They then converted the problem tree into an objectives tree, ending up with the action plan or the design of the IAP. They planto write and present a project to the Office of the Mayor of Morales. They are very interested in lowering production costs and in initiating activities to generate aggregate value. In the process of analyzing the chain, the CIAL had problems in bringing together the middlemen and merchants in a meeting; thus they had to limit their meetings to the 33MSIM - RAeD Project, CIA T. 34ln this report recomrnendations are presented for each case separately; thus sorne of them are repeated. producers. The commercial information was obtained from traveling and interviews in the work place. Recommendations First of all, the Maize Growers' Association should strengthen their leadership and administration in order to have well-founded objectives and strategies. The members should also know what their specific responsibilities are and be committed to reaching the objectives they have set. The Association should also adopt an organizational chart with well-defined functions in arder to develop their business activities more efficiently and effectively. This point is in addition to the fact that the Association needs to execute the action plan it has proposed to strengthen its position in the maize chain. The Ieaders of the Association or the CIAL with an aptitud e for business should receive training and technical support in business, including business and market orientation, foundations of business management, strategic planning and preparation of business plans. It is not sufficient to give a short training course on the topic to the technician of the supporting entity. For this purpose it is recommended that the Association carry out processes of strategic planning and develop business plans for the production activity and business selected. Although these tapies were presented in the first workshop in Conocoto (Mar. 2002), the importance of organizing a workshop for technical advisors of the CIALs and producers on the topic of the business plan was communicated to IPRA. This CIAL should examine in greater depth the market study on maize in Colombia, including the diverse segments (grain, processed and transformed) and trends in domestic production and imports. They should also review the cost structure that they are using at present in arder to become competitive. It is recommended that they use the RAeD software, RentAgro. The CIAL's agricultural research should support this point. In their analysis there was no figure illustrating the links and actors of the chain, including importers of maize and the diverse market segments. One of the CIAL leaders expressed his interest in business-oriented training and technical support. This and credit are the main needs of the CIAL in its efforts to strengthen its business. This point is related to compliance with the recommendations made in the first point. CIAL Flor Naciente, near Riobamba (Chimborazo), 12 August Activities carried out This CIAL, which is a half hour from Riobamba, consists mostly of indigenous women. It is located in the parish of San Juan, alt. 3300 m. The community works on 38 ha of an old hacienda that they have been buying with the fruit of their hard work, farming. They have the support of the FORTIPAPA project, through their technician Julián Pucha, to study new patato varieties including Papa-pan, Fripapa, Rosita and Santa Isabela, using their traditional variety Rábida as a check. They are also doing research on upland rice, which did not do well and quinoa, of which they already have 6 lines approved. Their work can be divided into two types: preparation of the proposal for the IAP on potatoes (FORTIPAPA) and business development for transforming the production (CIAL and FORTIPAPA). 242 Development of IAP The technician Julián Pucha applied the methodology of identifying market opportunities (tapie of the first workshop), consisting in the preparation of a biophysical and socioeconomic proflle of the region of the CIAL in question and the execution of a rapid appraisal of markets in Río bamb a. The following market opportunities were detected: potatoes, chochos, peas, ta.xo and "mortiño". The patato chain in Ecuador was analyzed, working from the national level down to the CIAL community, using the IAP methodology p resente d in the second workshop in Conocoto (Aug. 2002). The technician based the exercise partially on work d one by FORTIPAPA, focusing on three products: patato c hips, potatoes cu t in thin strips for french fries, and whole pota toes, washed a nd selected. An evaluation of the CIAL Nuevo Amanecer was also included. It should b e noted that FORTIPAPA is in the process of e ntering into an alliance with severa! institutions including the Project Emprender, impleme nted by the Swiss NGO lnterCooperation , in arder to execute an IAP at th e level of Ecuador, with emphasis on the market d evelopment of n ew potato-based products, targeted to supermarkets and agroíndustries. FORTIPAPA also plans to conducta more complete market study for the diverse products derived from potatoes, with the support of local universities. Business development lt is important to highlight this joint work b etween FORTIPAPA and the CIAL, given that with the CIAL's own resources a nd the enthusiasm of the promoter Hilaría, they were able to do research on processes for making potatoes for fre nch fries as well as potato chips. After sorne technological explorations with the potatoes cut in thin strips, they reached the conclusion that they needed to perfect the process by adding antioxidants to keep the potatoes from darke ning in color. They finally decided to work with the other product: patato chips in bags. The CIAL Nu evo Amanecer has worked out a process to make this product, for which they tested several varieties of potatoes and several types of oil. They had technical support from a FORTIPAPA foods engineer for the frying tests. They h ave begun local sales on a small scale in schools and at fairs, with a volume of about 3 00 bags (lOO g each) weekly. They have rustic equipment su ch as plastic recipients, large frying pans, stove and slicers, bought by th em and by FORTIPAPA; and th ey seal the bags by heat, using a candle and a knife. The process of making the patato chips is as follows: They wash the unpeeled potatoes manually. They select the potatoes manually, preferring those that are healthy and have a uniform shap e They p eel the potatoes manually , trying to remove only the peel. The peeled potatoes are re-washed. The potatoes are cut into thin slices. If the variety used is Fripapa, it is fried directly; if it is another one such as Papa-pan, the chips have to be cooked 3 min. befare fryin g. The chips are removed from the pan, a n d th e oil is left to run off. The chips are p laced in a polyethyle n e bag, sprinkled with salt and sealed with a knife, heated with the candle. 243 The CIAL has also calculated the cost structure for processing 25 kg of pota toes, and they know what their gross profit margin is. In their structure they have included the cost of their labor. Recommendations All actors (IPRA, the local support institution and the CIAL itself) should bear in mind where the CIAL ends as a research body and where the rural agroenterprise begins. It is important to define whether the members of the CIAL and the agroenterprise are the same individuals or whether it is necessary to involve others. The rural agroenterprise should adopt an organizational chart with well- defined functions in arder to carry out their business activities more efficiently and effectively. The leaders of the Association or the CIAL who ha ve an aptitude for business should receive training and technical support on business. It is not enough for the technician of the supporting entity to have received a short training course on business because hefshe will most likely not be present in the day-to-day running of the business. The head of the young agroenterprise should implement processes of strategic planning and develop a business plan for the selected production activity and business. Although these tapies were presented at the first workshop in Conocoto (Mar. 2002), the importance of organizing a workshop for the technical advisors of the CIALs and producers on the tapie of the business plan was communicated to IPRA. IPRA should promote the creation of complementary funds to support the transformation of the CIAL into a rural agroenterprise. Justas there are limited funds for agricultura! research (US$50-100 per CIAL), there could be a larger, rotating fund ora system of reimbursement to finance technical and business consultancies and minar investments (equipment and tools) for the CIALs to become rural agroenterprises. This model is being promoted by the NGO Randi Randi for the CIALs in El Carchi in northern Ecuador. The CIAL Nuevo Amanecer should improve the quality of their product because the chips turn soft by the second day. Normally, patato chips can last more than 2 months without losing their crispness. According to experts in Colombia, this quality issue has to do with the following aspects, which could be new research tapies for this CIAL: The variety of the patato The type of material used in the bag; explore changing from polyethylene to polypropylene The frying temperature; the higher the temperature, the better (;;200°C) The peeled potatoes should have the starch removed by soaking them in water for several hours befare frying. In this sense, FORTIPAPA could support the CIAL by identifying an expert in the production of patato chips to offer a rapid solution to the problem of the product losing its crispness. CIAL Nuevo Amanecer, San Agustín Parish, Quito (Pichincha); 14 August Activities carried out This CIAL has nine members (six stable), mostly mestizo women who have done research on guinea pigs, tomatoes, rabbits, chickens and laying hens. One of its members, 244 Antonio, is a young man who a lready has a rural agroenterprise that breeds and sells live guinea pigs, and who has participated in both workshops. This CIAL has the support of the NGO IIRR. Two activities were held: A market study for yellow-footed, country-raised chickens in the capital city, Quito, followed by the analysis of the chain of coun try-raised chickens and the development of the action plan (IAP) for s trengthening this chain. A good demand for these country-raised chickens was identified in Quito. The second activity was to begin a rural agroenterprise for producing country-raised chickens to be sold alive. The CIAL selected this line of production beca use ( 1) they already had the knowledge, (2) the demand was identified in the rapid market appraisal, and (3) there is a more rapid retum on the investment than with guinea pigs. With the community's own investment and contributions (mingas), they constructed a chicken coop with a capacity for 50 chickens. The rations consisted of a commercial concentrate, supplemented with coarsely milled maize. The chicks were given the first vaccine. The CIAL managed to raise and selllocally two broods, but in the third, th e chickens died, probably because they changed the supplier of ch icks, which suffered from being transported such a long distance. They also had to face a period of low prices beca use of the importation of chickens from Colombia and Peru. At present the price of chicken has begun to rise again. The chicks are bought at 2 -3 weeks, and after 5 weeks they reach commercial weight. Despite the failure of the third brood, the group plans to continue with the business, but they are now aware that they should improve their technology, especially with respect to the purchase of the chicks (chicks 1 wk old purchased from a reliable supplier nearby) and to improve the infrastructure (coop and cages). Their target market is the city of Quito, and not the local community, dueto the better purchase price. Recommendations It is important that IPRA, IIRR and the CIAL itself have a clear idea of where the CIAL as a research body ends and where the rural agroenterprise begins. lt is important to define whether the members of the CIAL and the members of the agroenterprise are the same people or whether it is necessary to involve other people. They should adopt an organizational chart with well-defined functions so as to develop their business activities more efficiently and effectively. The head of the chicken agroenterprise should implement processes of strategic planning and develop a business plan for the production activity and business selected. Although these tapies were presented in the first workshop in Conocoto (Mar. 2002), the importance of organizing a workshop for technical advisors of the CIALs and producers on the tapie of the business plan was commu nicated to IPRA. It is important that IPRA promote the creation of complementary funds to support the transformation of the CIAL into a rural agroenterprise. Similar to the funds available for agricultura} research (US $50-100 per CIAL), there could be a larger rotating fund or system of reimbursement to finance technical and business consultancies and minar investments (equipment and tools) for the CIALs in the process of becoming rural agroenterprises. This model is being promoted by the NGO Randi Randi for the CIALs of El Carchi in northern Ecuador. The IIRR should offer more technical support, to the extent that their resources permit. If this is not possible, IPRA should support this CIAL with resources so that they can obtain the advice of an expert in raising broiler chickens on tapies such as mínimum infrastructure, biological control of pests and d iseases, and nutrition. 245 CIALs in El Angel (Carchi), 13 August According to the technician Patricio Ponce of Manrecur, the activities of the CIALs in this zone in northem Ecuador have been suspended for lack of funds. Manrecur did not implement the design of the IAP. The CIALs in the upper zone have been working on fodder beets, blackberries and native plants; while those of the lower zone have been working on raising animals such as guinea pigs, pigs, chickens and sheep. The new Project Manrecur 3 has a more business-oriented approach and will continue with the CIALs, but they intend to decrease the dependency of the CIAL on the technician. There will be two funds to support the CIALs: the conventional one of US$1000 to support the research activities for 10- 15 CIALs, which will be rotating in nature, and the other, an investment fund ofUS$10,000. In this way the CIAL has the opportunity to pass from the Research Fund to the Investment Fund. An alliance among Manrecur, EcoPark and Manrena is al so being explored in arder to develop a process of Training of Trainers on the tapie of the CIAL methodology. Recommendations Workshop on business concepts and preparation of the business plan to train producers. This workshop can be held in November of this year or leave it for the first quarter of 2004. It would be convenient for CIAL producers interested in the business and whose educationallevel is not too low to participate. The agenda shoukl include a review of basic business concepts (business and market orientation, foundations of business management, strategic planning and preparation of business plans), befare proceeding to the tapie of business plans. The tapie of business plans can be approached first with the theory, then an example and finally develop a business plan in groups of two or three people. Organizational charts for the business. For each case the decision as to whether the CIAL and the rural agroenterprises should involve the same people or not, should be taken very rationally. The agroenterprise requires positions and functions that are certainly different from those of aCIAL, given that their objectives are different although there is sorne overlapping. 246 OUTPUT 4 . MATERIALS AND INFORMATION ON PARTICIPATORY RESEARCH APPROACHES~ ANALYTICAL TOOLS, INDIGENOUS KNOWLEDGE AND OR A:NIZATIONAL PRINCIPLES DEVELOPED Extension through farmer research: Local Agricultural Research Committees (CIALS) in Latin America Researchers: Carlos Arturo Quiró35s, Boru Douthwaite,36 Jase Ignacio Roa,37 Jacqueline Ashby38 Highlights Book chapter written for a World Bank book entitled "Extension through Farmer Research: Local Agricultura] Research Comrnittees (CIALS) in Latin America" Identification of the case A CIAL is a comrnittee of people who volunteer to carry out experiments in rural areas on behaJf of their clients. The client group from which the comrnittee comes may be a rural community, an agroenterprise, an interest group such as a women's group, ora producer organization. CIALs help foster equitable rural innovation by s haring the knowledge, experience and benefits that comes from experimentation , while at the same time sharing the inherent risks and costs. The first step in forming aCIAL is when a group becomes motivated todo so through contact with a CIAL facilitator or hearing about the method from other farmers. The group then meets to electa comrnittee and to identify problems and opportunities, prioritize them and then mandate the comrnittee to experiment on their behaJf. The comrnittee then designs experiments to meet this mandate. The CIAL method reduces the risk of financiaJ loss if their experiments fail by stipulating that the triaJ plots should start small. In addition, the method reduces the risk of the comrnittee recommending an inappropriate technology by stipulating that each triaJ should be replicated, and the prornising triaJs be repeated for three seasons on larger and larger plots. All the steps in the CIAL process are shown in Figure l . Feedback 35 Acting Project Manager, SN-3 Project, CIA T, Colombia Facilitation, monitoring and evaluation 36 Senior Research Fellow, Rural Innovation Institute, SN-3 Project, CIAT, Colombia 37 Specialist professional, SN-3 Project 38 Director ofResearch, Institute ofRural Innovation Figure 1: The CIAL process (Ashby et al.,2000). A team at the International Center for Tropical Agriculture (CIAT) developed the CIAL method in the early 1990s. The team had worked for more than five years to understand why resource-poor farmers in particular were not adopting technologies produced by formal-sector research. They concluded that if adoption rates were to increase, then farmers must be included earlier in the design, testing and local adaptation of new technologies. However, they recognized that todo this in the complex and risk-prone environments on which millions of farmers depend would be extremely costly and slow unless farming communities themselves took much of the initiative. Hence the team developed the CIAL method as a way of enabling farming communities to carry out their own on-farm evaluation and adaptation. One of the features of the CIAL method is that farmers should learn about and use the concept of experimental replication so that formal sector R&D can use their results and thus become more sensitive to the needs of poor rural communities. Although CIALs were designed to be a cheap way for a research and extension service to expand their reach, CIALs do have costs associated with them. The main costs are training the facilitators who support the process, and providing the CIALs with a small research fund (Ashby et al. 2000). The costs of setting up aCIAL for the period 1990- 1998 were estimated to be US$670 for the first year and US$325 per year for the next 5 years. The return on investment was estimated conservatively at 78%. This is likely to be much higher now, however, because costs of setting up and sustaining CIALs have been greatly reduced through "learning by doing." For example, it has been found that experienced farmers can adequately train facilitators much more cheaply than salaried professionals, and under the right conditions one facilitator can support up to 50 CIALs. First year start-up costs now range from US $25-$500 per CIAL, in cash or kind (Ashby, 2003). Impact CIAT began by establishing five CIALs in Cauca Province in Colombia in 1990, with funding from the Kellogg Foundation. By late 1991 the CIAT team had established a total of 18 CIALs, and this number grew to 55 by 1994. CIAT has also trained trainers from other countries and other organizations, including the International Institute of Rural Reconstruction (JIRR), National Au tonomous Institute of Agricultura! and Livestock Research (INIAP) in Ecuador, Patato Research Program (PROINPA) in Bolivia, Corporation, Colombian Institute of Agricultura! and Livestock Research (CORPOICA) in Colombia and Participatory Research in Central America (IPCA). These organizations then went on to set up their own CIALS, andas a result there are now more than 250 active CIALS in 8 Latín American countries (Figure 2) and an unknown number of adaptations of the approach in sub-Saharan Africa and Asia, inclu ding China. As of 2002, 57% of the known CIALs were supported by non-government organizations anda third by government organizations. The others were facilitated by consortia of two or more cooperating organizations. 248 Nicaragua 7% Bolivia 14% Brazil 6% Ecuador 20% El Salvador Venezuela 1% Colombia 28% 21 % Figure 2: The countries that are hosting CIALs in Latín America. During the CIAL diagnostic process, most communities assign fust priority to research on their major food crops (Figure 3). Thus in Honduras most CIALs are working on common beans and maize-the two most important ingredients of the local diet; while in the Andean regions of Ecuador and Bolivia, communities prioritize potatoes and broad (faba) beans. In the few areas with good food security, CIAL research covers a broader range of themes (Figure 4). Under these conditions committees seek to raise incomes by taking up new crops or adding value to traditional ones through improved processing. 249 Sugarcane 2% Plantain 3% Cassava 4% 6% Hort icult u re 8% Potatoes 11% Maize 26% Common Beans 22% Figure 3 : Crops researched by 250 CIAL communities in Latín America. Agronomic Erosion control practice 3% Small livestock 4% Fruit 5% Soil fertility management 6% Participatory plant breed 6% management 23% Forages 0.75% Evaluation of crop varieties 51% Figure 4: Research themes chosen by 250 CIAL communities in Latín America. 250 CIAT carried out an impact assessment of the 68 Colombian CIALs in 1998. The study found that: (1) CIALs directly resulted in more rapid technology adoption; (2) the CIAL process itself has led to people's learning useful skills and forming valuable social linkages; and (3) CIAL communities had experienced improvements in welfare. These welfare improvements carne about partly by people starting agroenterprises based on the results of the experiments and the new skills and linkages they had developed. For example, sorne CIALs have started to produce commercially the seed of the best crops identified in their trials. Another source of welfare improvement has been that people in CIAL communities have been encouraged by the experimentation to try more new crops, and as a result have more crops and more varieties in their fields than farmers in similar villages without CIALS. This diversity enables villages with CIALs to cope better with risk. Moreover, the speed of technology adoption was faster in villages with CIALs, and the poorest strata of farmers were just as likely to adopt as the richer strata. Hence CIALs help communities benefit more quickly from improved varieties, whether developed by the formal research sector or the farmers themselves. The study also suggests that CIALs may improve food security because farmers in villages with CIALs reported fewer "hungry months" of seasonal food shortage. An important impact of CIALs has been the inclusion of women in local research. As of 2003, nearly 60% of the committees have women members, and their participation has meant that factors critica! to whether a community accepts a new technology such as cooking time and taste are included in farmers' evaluations. Women have been able to set up their own CIALS-one eighth of the ClALs are women only-and carry out research on topics of concern to women such as family nutrition. Women have also been able to benefit financially from CIAL research and in this way boost family incomes. Another impact of CIALs has been on formal-sector research agendas . In Ecuador, for example, the national research and extension agency INIAP has worked with CIALs since 1996 and is now supporting 19 CIALs in one of its five regions. INIAP staff has learned that resource-poor farmers want to diversify their crops, and as a result INIAP is now putting less emphasis on potatoes and more on the crops that farmers are interested in such as the indigenous quinoa (Chenopodium quinoa), beans and chocho, a fodder legume (Lupinus muta bilis) . Another effect is that the staff working with the CIALs is motivated by the good relationships they have developed with the communities through the CIAL process. Although CIALs are influencing the research agenda of INIAP in Ecuador, this is the exception rather than the rule. In general , CIALs are not as well linked to formal-sector research as originally hoped for, and more work needs to be done in understanding why this is and how linkages can be strengthened. The general lack of formal Iinkages to research and extension organizations has meant that the financia! sustainability of CIALs is an issue. In part this is simply the challenge faced by all community-based organizations as state support for agricultura! research and extension withers away. CIALs have developed a large range of mechanisms for replenishing their operating fund; however , these local initiatives probably need to be matched by a larger scale source of financia! investment if they are to be sustained. Twelve years of experience working with CIALs has shown that the main success factor is that the CIALs themselves and their host communities stick to the following basic principies: Relationships between the CIAL, the community and externa! actors are founded on mutual respect and accountability and shared decision-making. Partners in the research process share the risks of research. Research is conducted by comparing alternatives systematically. 25 1 Knowledge is based on building experience and leaming by doing. Research products belong to the community. Another key success factor is adequate training of CIAL members in the participatory research process. In addition, Humphries et al. (2000) found that CIALs have been found to be more successful in communities where social capital is already high. Sustainability and replicability CIALs are not static entities. When the first research cycle is finished sorne CIALs will begin another cycle to investigate a new problem or opportunity, while others will cease research and may start to commercialize sorne aspect of the new technologies they ha ve tested. For example, one CIAL in Cauca, Colombia, identified a high-yielding common bean variety, then in the following seven years produced 230 t of seed before the variety became susceptible to anthracnose (a fungus) . The CIAL has now begun a second research cycle to look for new varieties of beans, including, for the frrst time, climbing types. Whether CIALs continue or not, the process permanently improves the capacity within that community to search for new solutions and to experiment. Actively seeking out solutions, experimenting and setting up agroenterprises are all key for the sustainability of rural communities in the current global context of climate change and more open markets. One of the ideas when the CIALs were originally founded was that the committees would act as a feedback mechanism to National Agricultura! Research and Extension systems (NARES). Since then, funding cuts has seriously weaken ed the NARES in Latín America. Nevertheless, the pendulum may well be swinging back as a new awareness has occurred of the role of the public sector in funding, but not necessarily delivering, non formal agricultura! extension (Rivera, 2003). Experience with mature CIALs has shown that they can expand the reach of research and extension services to poor, remote client groups at a low cost. CIALs may be well placed to benefit from more public-sector funding to NARES. Indeed, evidence from Bolivia, Ecuador and Colombia shows that "mainstreaming" of CIALs is happening. Bolivia has recently reorganized its NARES. Rural municipalities are required by law to include farmers' perspectives in municipal development plans, and the CIALs are proving a useful mechanism to bring this about. In Ecuador INIAP has recently reorganized to work on organic agriculture using participatory methods. INIAP has realized that research and extension that does not take farmers' needs and experiences into account can be "like throwing money in the river";39 and participatory approaches, in particular CIALs, are necessary to maximize impact with the Iimited resources at INIAP's disposal. In Colombia CORPOICA, the national research program, started working with the methodology in 1996. CORPOICA has set up 46 CIALs in 7 provinces in Colombia, and as of 2001 was working with 30. A case study that looked at the institutionalization processes found that while the methodology receives official s upport within CORPOICA, the institutionalization process is being hampered by a widely held view that the CIAL methodology is an extension tool and not useful to scientific research (Mentor, 2002). Nevertheless, CIAL methodology has gained ground in CORPOICA among the scientists who have been involved firsthand. Another mechanism for ensuring CIAL sustainability has been the setting up of so-called "second-order organizations." In Colombia, the CIALs in Cauca formed CORFOCIAL in 1995 as an umbrella association to protect and promote their interests. CORFOCIAL is funded from the interest on an endowment provided by an anonymous benefactor and 39 A direct quote from a senior INIAP staff member. 252 has a staff of three paraprofessionals. It supports the CIAL process by providing training, helping in the formulation of fu nding proposals, facilitating visits to research organizations orto other CIALS, promoting the exchange of seeds and other products among CIALs, and organizing an annual meeting of its members. In Honduras the IPCA project4o supported the formation of a federation of CIALs in 1998. The organization is called ASOCiAL and like CORFOCIAL is financed by an endowment fund. ASOCIAL carries out functions similar to CORFOCIAL. In addition, however, both individual CIALs and ASOCIAL provide savings and microcredit schemes to their members. Another difference in Honduras is that the annual CIAL meeting is regularly attended by researchers from the national agricultura! programs making it likely that CIAL and formal-sector research in Honduras will become better integrated in the future (Humphries et al., 2000) . Lessonslearned One of the strengths of both CORFOCIAL and ASOCIAL is that that they are independent and thus able to put the interests of their members first. The CIAL members of these two organizations have played an invaluable role in showing the potential of the methodology. However, in order to mainstream the approach further, more CIALs will have to be established in existing organizations, groups or agroenterprises, with the associated risk that the CIAL methodology be compromised. Experience shows that if CIALs are established as part of a NARES, then the NARES staff must commit to the principie that a CIAL primarily serves the community it belongs to and not the NARES adaptive research or extension interest. NARES staff must also commit to regular contact, respect farmer research, be accountable and share decision-making. Based on the CORPOICA case study, Mentor (200 1) carne up with the following recommendations for successful institutionalization of the CIAL approach: ldentify natural allies- build a support base before attempting to convince skeptics. Use ex isting information on successes to create a demand for training. Use appropriate m e dia for different audiences to build awareness of results. Give key stakeholders a role in deciding how to work with CIALs. Implement report-back and participatory evaluation at alllevels to enhance institutionallearning. Focus on learning from the process of working with CIALs as well as on the re sults. Gradually reduce the amount of time res earchers de dica te to working with any one group of CIALs. Network experienced people and those who are just beginning CIALs to support expansion of the process and exchange ideas about adaptations of the approach. Another key lesson learned is that while it is important to stick to t he basic CIAL principies, which are listed in the next section, it is also important to encourage local adaptations . Some of the adaptations that have proved successful are listed below. Where short-term food security is a priority, begin by evaluating treatments in researchers' trials and subsequently share risk in more uncertain forros of farmer-run experimentation (Ecuador, East Nrica). Runa collective production plot using proven technologies, testing risky technologies in the CIALs small experimental plots. The collective production helps compensate committee members for their time and helps increase the petty cash fund (Honduras, Colombia). 4 ° Funded by the Intematíonal Development Research Centre (IRDC), Ottawa, Canada. 253 Test and monitor innovations on farms without establishing formal experiments, especially useful with livestock or natural resource management practices (East Africa, Southeast Asia) . Electa large committee: in Northeast Brazillarge committees sustained CIALs through periods of seasonal rnigratíon as those returníng or remaining replaced rnigrant members. In Honduras, large committees made the human capital benefits accessible toa broader cross-section of the client group. Create a petty cash fund by providing the CIAL with experimental inputs in kind and then use profits from trials to fund the comrnittee's activities. This enabled CIALs in Bolivia and Colombia to increase their petty cash fund . Forro a CIAL to provide R&D on new products or processes for new or existing small agroenterprises. Run the petty cash fund as a revolving credit fund or as a small venture capital fund that makes loans for equipment that is rented out to the client group. Experiences have shown that CIALs develop along one of two paths: they either continue to work as a volunteer research service on behalf of their communities or privatize the results of their research in an agroenterprise. Regular meetings in which the CIAL reports back to their community are important to ensure that they remain in contact with the community and follow along the frrst path. Nevertheless, if the CIAL does set up an agroenterprise then this can also bring benefits to the community and beyond through, for example, providing seed of new and proven varieties or crops. Indeed, one of the findings has been that the CIAL method is actually a very good way of initiating agroenterprise development, and CIAT is currently including market surveys in the CIAL method as a way of facilitating the process. Finally, CIALs have proven themselves to be complementary to farmer field schools (FFS). FFS can build agroecological knowledge to make CIAL research more meaningful; e.g., when a community wants to experiment on different control methods of the white grub (Diloboderus abderus), a pest of potatoes. CIALs can generate locally adapted technology options to strengthen FFS (Braun et al., 200 1). Guidelines for replicating CIALs Many features of the CIAL process such as the sponsoring organization, who facilitates, the size of the comrnittee, the type of experimentation and the size of the petty cash fund can vary greatly, provided that sponsors, trainers, client groups, committee members and facilitators understand and adhere to these basic principies: Support CIALs to help poor farmers manage risky agricultura} innovatíons, building on local experience. This means avoiding paternalistic protectiveness and supporting farmers in learning how to innovate over and above demonstrating technological "fixes." Ensure that the client group monitors and evaluates their committee and the facilitator through regular feedback. CIALs must share knowledge about their process and its results to ensure that research products belong to the wider community, notjust to the comrnittee members or the sponsor. Expand and rotate comrnittee membership over time. Nest experimentation in social projects with short-term returns to sustain commitment in very poor, risk-adverse client groups. Encourage neighboring CIALs to visit or get together to reduce the costs ofvisiting geographically dispersed CIALs. Minirnize costs of visiting CIALs by planning locations for their establishment; e .g., in Kenya and Colombia the national programs have located comrnittees in target 254 agroecological w nes, easily reachable from an experiment station or municipal extension office. Train experienced farrners with prior experience in a CIAL as facilitators to reduce costs of facilitation, especially in the case of large-scale implementa tion. Develop capacity of CIALs to organize their own regional meetings and exchange results. Promote a ttendance of scientists and key R&D decision-makers at CIAL meetings to en sure their support for CIALs. Ensure that CIALs are making decisions about what is acceptable by ensuring that both they and their client group own and are responsible for experimental inputs (i.e. , the CIAL petty cash fund). People interested in learning more about CIALs should visit the IPRA website (http: //www.ciat .cgiar.org/ ipra/ing/index. h tm), where it is possible to download a book on CIALs (Investing in Farmers as Researchers) and 13 ha ndbooks that deal with the different stages involved in establishing CIALs (http: 1/www·.ciat.cgiar.org/ ipra / ing / cial primers.htm). Details of a training of trainers module, available on CD, is given in the Appendix. Further information on CIALs, including a training of trainers module on CD, is available from Carlos Arturo Quirós (c.quiros@cgiar.org) . References Ashby, J. 2003. Local Agricultura! Research Committees (CIALS). Investment Note. World Bank, Washington DC. Braun, A.R. , G. Thiele, M. Femández. 2000. Farmer field schools and local agricultura] research committees: Complementary p la tforms for integrating decision-making in sustainable agriculture . AgREN Network Pa per No . 105. Downloaded from: www.odi.org.ukjagren/papersjagrenpaper_ l05.pdf Ashby, J., A. Braun, T. Garcia, M. P. Guerrero, L.H. Hem and ez, C.A. Quirós, J.l. Roa. 2000. lnvesting in Farrners as Researchers. Experience with Local Agricultura] Research Committees in Latin America. Cali, Colombia. CIAT, 2000. ISBN 9 58- 694-030-6 (available in PDF format on http: / f www.ciat.cgiar.org/ ipraj ing j index.htm) Humphries, S.J. Gonzales, J. Jimenez, F. Sierra. 2000. Searching for sustainable land u se practices in Honduras: Lessons from a programme of participatory research with hills ide farmers. AgREN Network Paper No. 104. Downloaded from: www.odi.org.uk/agrenfpapersfagrenpaper_ 104.pdf Menter, H. 200 l. Changing institutions: A study of the process of institutionalisation of CIAL methodology in Corpoica. Consultancy report, IPRA, Intemational Center for Tropical Agriculture (CIAT) , Cali , Colombia. Rivera, W.M. 2003. Agricultura] Extension, Rural Development and th e Food Security Challenge. Sustainable Development Dept., The Food and Agriculture Organisation (FAO), Rome. 255 A participatory procedure applied to selecting and developing forages with farmers (PPSF) Researchers: Hernández R., L.H41, Peters, Michael42 Highlight A participatory procedure applied to selecting and developing forages with farmers (PPSF), developed Abstract Although forages play an important role in smallholder production systems, conventional approaches to technology development for forages particularly legumes ha ve not gene rally resulted in significant levels of adoption in Latin America and the Caribbean, Asia and Africa. Various factors have been identified that impede forage adoption directly or indirectly: (a) the unavailability of locally produced seed, (b) the lack of credit facilities for purchasing inputs such as seed, fertilizer and fencing, (e) distorted pricing policies, which do not guarantee economic retums to farmers, (d) poor infrastructure, which disrupts delivery of inputs and removal of outputs, (e) lack of adequate markets for livestock products, and (f} low levels of farmer participation in forage development. The need for developing participatory procedures that actively inuolve farmers in the research and scaling-up processes is evident. According to them, there is no doubt that the participatory procedure for selecting forages (PPSF) was successful in selecting and developing with farmers, forages suitable for smallholder production systems in Honduras, Nicaragua and Costa Rica. Technicians and scientists in similar biophysical and socioeconomic environments can use the methodology and information generated to design and select novel forage technologies. Moreover, it was possible to strengthen linkages among farming communities and technicians, development workers and researchers in the aforementioned countries, increasing mutual knowledge and benefits. The PPSF gave a sounder understanding of farmers' perceptions of their p roblems and opportunities, contributing toward building a stronger bridge between farmers' communities and national research institutes. Introduction Farmers usually employ more than one technology to address constraints and opportunities on their farms and in the market environment. These components are observed, compared and evaluated before being accepted or rejected. Farmers' decisions are based on criteria obtained from their own experience; in other words, this process can be described as farmers' research at the fie ld level. Criteria can be defined as a basis for judging and making decisions on technology options (Guerrero et al. , 1993). The research process carried out in experiment stations is also based on criteria, but the emphasis is on institutional and scientific objectives. Although this process has objectives such as improving the leve! of farmers' well-being and poverty alleviation, the technological components generated are not generally adopted by farmers because the technologies do not function in their fields (i.e., failure of technology) or do not respond to opportunities and constraints under farmers' conditions (i.e., not adapted) (Quirós et al., 1991). On the other hand, there have been cases where technological componen ts rejected by scientists ha ve given good results in the farmers' fields (Ashby, 1990 ). These 41 Research Associate 1, SN-3 Project, CIA T, Colombia 42 Senior Research Fellow, IP5 Project Tropical Grasses and Legumes, CIAT, Colombia observation s reflect th e fact that farmers' and scientists' criteria for selecting technology options are frequently different. Despite the fact that forages p lay an important role in smallholder production systems, conventional approach es to techn ology development for forages- particularly legumes have not generally resulted in s ignificant levels of adoption in Latín America and the Caribbean, Asia and Africa (Horne et al., 1999, Peters et al., 2001). Various factors have been identified that impede forage adoption directly or indirectly: (a) the unavailability of locally produced seed (seed in general available to farmers), (b) the lack of credit facilities for purch asing inputs such as seed, fer tilizer and fencing, (e) distorted pricing policies, which do not guarantee economic returns to farmers, (d) poor infrastructure, which disrupts delivery of inputs and removal of outputs, (e) lack of adequate markets for livestock products, and (f) low levels of farmer participation in forage devebpment (Thomas and Sumberg, 1995; Peters et al. , 2001, 2003; Sumberg, 2002). Sumberg (2002) emphasizes the fact th a t agroclimatic, economic, socioeconomic and cultural conditions define the context of technology design and development and should, therefore, be fully integrated into the process of design specification. The need for developing participatory procedures that actively involve farmers in the research and scaling-up processes is evident (Braun et al. , 1999). This paper addresses this constraint by developing a participatory procedure applied to forage selection (PPSF), developed for conditions in Latín America and the Caribbean. Understanding farmers' perceptions (criteria) about techn ological components has been successful in terms of attaining better opportunities for adaptation and adoption of forage tech nologies. Moreover, it has been possib le to strength en the linkages between farming communities and scientists using this strategy (Horne, et al., 1999 ). Better understanding will emerge as to how each partner can take the initiative at different stages of the forage selection and adoption process according to their respective skills, experience and available resources. Ut ilizing these experiences, PPSF builds on the farmers' unique capacity to articulat e precise preferences and to match varietal traits with specific environmental and socioeconomic niches. Finally, iterative feedback loops among all the actors willlead to mutual benefits. Objectives This paper describes a sequential procedure for implementing the participatory development and selection of forages, which is widely applicable and allows the analysis of quantitative data. The aim is to identify ideotypes requested by farmers as a basis for efforts to make these available to them, as well as to other farmers. The latter process of scaling up will be described elsewhere. The final goal is to identify and scale forage technologies, offering solutions to farmers' constraints and opportunities, integrating on-station an d on-farm research with farmer participation. This work capitalizes on earlier work with cassava, maize and beans, which resulted in a procedure to analyze data obtained in participatory evaluations and serve as an initial framework for developing a technology specific to forages (Hernández, 2000). Forages differ considerably from other crops as germplasm ranges from annual to perennial materials and forages have other multiple functions in the system (Humphreys 1994; Schultze-Kraft and Peters, 1997; Peters et al. , 2001). 257 This paper describes this procedure and identifies strengths and limitations of the same. Methods The following research questions will be addressed in this study: Is it possible to develop a participatory procedure in order to identify farmers' selection criteria to be applied in forage technologies? Can information derived from this participatory procedure be analyzed and incorporated into the traditional research process? Participatory procedures Figure 1 summarizes the suggested sequential part icipatory procedure, focusing on the identification, analysis and synthesis of criteria and explanations obtained in interactions with farmers. The procedure was developed in an iterative process of training, validation and feedback among farmers, technicians and scientists working with NARls, NGOs, development projects, ARls and CIAT in Honduras, Nicaragua and Costa Rica. The forage options used were selected on the basis of earlier on-station and on-farm work carried out by CIAT and its collaborators in Latín America and the Caribbean. 258 Framework Phase 1: Diagnosis, training and planning Phase 2: Selection of forage options by fanners ldentification o f. sites, collaborative institutions Identifica! ion of constraints, opportunities and commitment to actions Field book Analysis and synthesis of infonnation Data base Training in process suooort Figure l. Description of the procedure and results. The procedure consists of two phases thus far: < Stakeholder Participatory diagnosis Diagnosis, training and p lanning. Identification of institutional collaborators and sites and exposing farmers (and technicians) to a range of forage options. This phase focuses on d iagnosis, planning and training and the supply side of technologies; work with farmers is mostly consultative Selection of forage solutions by farmers and development of a field book. In this phase forage options are selected; and descriptors, criteria, reasons, explanations and ideotypes obtained. Results are analyzed, systematized and generalized conclusions, drawn. Work with farmers is consultative and collaborative. l. ?hase 1 Identification of institutional collaborators and sites. When selecting institutional collaborators, emphasis is p laced on including diverse R&D institutions, working at different scales, from locally to nationally and intemationally. Such diversity will not only allow the inclusion of different experiences and views, but also capitalize on the strength of each partner. An essential guiding principie and selection criterion is the interest in doing participatory work. Once collaborators are identified, experiences in PPSF and PME are assessed , and a corresponding trainin g strategy, including training courses and follow-up workshops, is developed. The training process is an integral part of procedure development, particularly in the follow-up workshops, where approaches and methods employed and developed are validated and revised. Jdentification of constraints, opportunities and commitment to actions Stakeholder analysis. Identifies interest groups at the watershed and commuruty levels, differentiating age, gender, and experience (Ravnborg et al., 1997). Although in our case the initial focus was on livestock producers, the use of forages for soil fertility maintenance and soil conservation was included. Livestock, crop and mixed farmers participated. Focus groups included small- and medium-sized farmers although larger farmers sometimes benefited through contacts with these groups. lt was also made clear to farmers and collaborators that there were no monetary benefits as part of the collaboration 259 and that the immediate benefit was the access to improved technological options selected by farmers (most not yet available commercially). It was a lso pointed out to the farmers that success would depend on their active participation. Participatory diagnosis. Restricted to agriculture, to complement the stakeholder analysis. The community identifies and prioritizes the main problems and opportunities for agriculture in their environment. Farmers look for research action s in arder to find technologies to salve their field problems. Participatory diagnosis is a dynamic process done by groups of farmers in arder to identify problems and possibilities of solu t ions. Farmers take decisions and actions as a commitment for them in a participatory diagnosis process (Ashby et, 1992). Selection of forage options. Different tools are used to evaluate forage options with farmers. Which tool to use initially depends on the stage in the participatory process, farmers' risk averseness in response to available resources and culture, and their experience with forages. Some approaches can be handled simultaneously. A range of forage options including grasses, herbaceous and shrub legumes were used as a basket of options. While introduced options are common across sites, in each location the currently used forager were included as controls. In later stages complementary options (e.g. , Brachiaria hybrid s and cowpeas), identified on the basis of farmers' preferences, constraints and opportunities were included in the evaluation. Nursery plots. This tool can be u sed for first exposure of farmer s to new forage options. Nursery plots are small areas with a multitude of forage options where farmers are exposed toa breadth of potential technologies addressing constraints and opportunities. Farmers give feedback on the utility and deficiencies of forage technologies and can select the most promising options for their production environment. There is limited risk as plots are small and the farmers' input of resources is minar. The process is mostly consultative, with the farmers providing land for the nursery plots and investment of time in participatory evaluations. To assess the forage options, preference ranking in an open-evaluation environment is employed (Guerrero et a l. , 1993). Farmers rank technology options according to their objectives and give feedback, defining specific reasons for selection. The information provided by farmers in t he ranking/ open evaluation interviews is based on (a ) criteria, (b) reasons and (e) scoring the criteria. Farmers' comments give insights into what they "see," wh at is significant and what is not, from hisjher viewpoint. Wherever possible, links between farmers' explanations and technological characteristics will be explored. Participatory evalu ations used in Latin America frequently use scales from good to poor. Probabilities of accepting or refusing technologies can be drawn from t heir scoresj rankings (Hemandez, 2000). When starting in a new environment, the set of criteria, reasons and explanations is relatively ample; moreover, terminology varies among farmer groups and individuals. The development of a glossary of terminologies with technical explanations, analysis and stratification of results leads to a reduced set of descriptors for scaling up the approach in simila r condition s (see below). Hence the process of obtaining a reduced set of wider applicable descriptors is crucial in reaching a maximum number of farmers under conditions of limited capital and human resources, biophysical and socioeconomic environments and cu ltural preferences. 260 lnformation at th is stage is fed back to the scientists to focus and orient the development of novel forage options. Demonstration plots. To assist the process of farmer selection, it is often beneficia! to combine the nursery plots with larger scale demonstration plots of "best-bet forage options" (i.e., with a high technological confidence level) to observe their potential use at the farm level (e .g., soil conservation and animal production evaluation). While farmers give feedback and can select technologies from such demonstration plots, farmers can adapt the technologies according to their own demands. Given t hat this scale involves a relatively high risk, scientists and technicians assume this risk, managing the trials during the phase of introducing technologies that have not been tested previously in the area. Expansion plots. Once farmers have identified the suitability of technology options, they are likely to expand the area dedicated to these new options. Such plots can then become additional demonstration plots, which may offer a "reallife" comparison for other farmers in s imilar biophysical and socioeconomic environments . The management of such plots is farmer led. Cross visits to and farmer-to-farmer interaction at suc h demonstration plots are facilitated. 2. Phase 2 Selection of forage solutions by farmers Test plots. Utilizing their own criteria, farmers select one ora limited number of technologies for testing on their farms in bigger areas. In Central America an area of 200-400 m2 has been found useful for this testing, but the size may vary according to specific production environments in other locations. Large livestock production is not yet possible to measure in such plots: however the effect of livestock on plants and the acceptance of animals can be assessed. Initial seedfplanting material is provided to farmers, but with the clear indication that for further expansion, they need to produce or purchase their own planting materials. Hence this is also the stage where linkages to seed producers and formation of artisan seed production are facilitated. The test plots can serve as an initial basis for multiplication of planting material. The management and risk of the test plots is the responsibility of farmers; however they receive support from technicians and researchers. Based on their experiences, farmers will or will not expand and adapt forage options on their farms. As part of monitoring and evaluation criteria, reasons and explanations will be further refined. Feed back and analysis on these processes is crucial for directing future on-farm and on-station research. Field book. This is used to analyze, systematize, stratify and validate results from the participatory and complementary agronomic evaluations. It includes the glossary of the terminology and a multivariate analysis of preference ranking, criteria, reasons, explanations and rating. The product is a further refinement and prioritization of descriptors and a defin ition of ideotypes for farmers in similar environments. Such information is highly useful to direct further on-station germplasmfbreeding research as well as to enhance scaling into other areas. Process support: Trai ning 261 The incorporation of training in the participatory procedure is essential for the success of the approach. There are training components specific to institutional collaborators and to farmer collaborators. The first step is training institutional collaborators in participatory research tools and philosophy, forage technologies and monitoring and evaluation tools (which comprise both participatory and 'traditional' methods). This training commences once the collaborators have been identified and a work program has been agreed upon. In general training includes an initial , mostly theoretical training course, followed up by accompanied learning-by-doing during the research and diffusion process, with the greatest intensity during the first two years. The follow- up concentrates on the practical utilization of the tools based on a learning-by-doing approach, which also feeds back to improve the participatory procedure. Other training needs among institutional collaborators are identified during the research process and are addressed by the best qualified of the R&D partners or, if necessary, sourced outside. Training materials include manuals such as an instructional unit on the participatory procedure (Hernandez et al., in prep.) , forage technology (Argel et al., 2002 a,b; Peters et al., 2003}, monitoring and evaluation database tools (Franco et al., in prep.), and methods for facilitating artisan seed production (Cruz et al.., 2003). The aim of this training is not only to facilita te the R&D process per se but also to emphasize the empowerment of farmers and strengthening of all institutional research collaborators involved. It is important to acknowledge that the learning process is multidirectional (i.e., everybody learns from everybody) as well as iterative . Result s - Phase 1 Identification of i nstitutional collabora tors and sites Identification of constraints, opportunities and commitment to actions Stakeholder analysis and participatory diagnosis. Stakeholder analysis and participatory diagnoses were carried out in the communities of Yorito , Sulaco and Victoria in Honduras; San Dionisia in Nicaragua; and El Puriscal in Costa Rica (CIAT 2000, 2001 ) . Livestock farmers as well as crop and mixed farmers were included although the focus is on smallholder livestock farmers . Although women and a wide age range (from approx 18 to 80 yr) participated in the original diagnoses, future work showed that in terms of livestock owners they formed a minority , not statistically significant for separate analysis. Participatory diagnosis. In the context of participatory development and selection of forages , the diagnosis was employed, not only to define demands and niches for forages and availability of potential options, but also to identify highly interested farmer groups and individua ls with a high likelihood of benefiting from and hence maintaining the collaboration. The selected group was then given the responsibility of defining sites for the initial nursery plots, offering a basket of forage options. Selection of forages by farmers Combined analysis including all forage technologies offered to farmers Frequency ana lysis. Based on data from Honduras, a cross tabulation of frequencies with all forage technologies included (i.e., grasses, shrubs, herbaceous legumes and green manures) was computed. Results indicate that plant color was the 262 most important criterion in the farmers' assessment. Across seasons this parameter was given more importance in the dry season as an indicator of the ability of the plants to stay green and retain their leaves. Plant growth was the next most important criterion, followed by cover, leafiness, competitiveness and production. In contrast to color, all these parameters hada greater importance in the wet season. Color was the most important criterion in all forage technologies. However, growth, especially in the establishment phase, was a more important criterion in grasses and shrub legumes; while cover was more important for herbaceous legumes and cover crops. Equally important for herbaceous legumes and cover crops were competitiveness, growth, leafiness and ability to function as green manure. For shrub legumes, possible use as firewood was another important criterion. In conclusion, farmers selected forages based mainly on drought tolerance, easefsuccess of establishment and yield. Drought tolerance was the most important criterion, indicating the demand and potential for adoption of dry season forage species. Principal components analvsis. Criteria were also analyzed using Principal Components AnaJysis (PCA). In the global analysis across technologies for the wet season, the frrst 3 PCs (principal components) explained 64% of the variation, which is a high percentage when analyzing participatory work. The wet season is defined by criteria for establishment and stability 1 persisten ce: The analysis of dry season data across forage technologies shows a similar leve! of confidence, with the first three PCs explaining 66% of the variation: In the dry season fewer criteria are related to the selection of forage technologies by farmers, possibly as a reflection of the major importance of few parameters, responding to particular constraints for farmers at that time of the year. Conclusions There is no doubt that the PPSF was successful in selecting and developing with farmers, forages suitable to smallholder production systems in Honduras, Nicaragua and Costa Rica. Technicians and scientists in similar biophysical and socioeconomic environments can use the methodology and information generated to design and select novel forage technologies. Moreover, it was possible to strengthen linkages among farming communities and technicians, development workers and researchers in the aforementioned countries, increasing mutual knowledge and benefits. The participatory proced u re developed gave a sounder understanding of farmers' perceptions of their problems and opportunities, contributing to building a stronger bridge between farmers' communities and national research institutes. All participants-farmers, technicians and researchers-through the implementation of the participatory procedure gained increasing trust and knowledge. Farmers gained knowledge on superior forage germplasm and adapted and adopted selected options, techniciansfscientists obtained useful insights to develop and drive design of new technologies design responding to farmers' conditions and expectations. Farmers adopting forages increased the capacity to take more risk by harvesting the benefits of technology adoption. More confidence was gained as forage based options adapted to their farming systems were identified and through the open interaction with technicians and fresearchers. Many farmers are increasing areas of selected forages options. This 263 envir onment of trust is anticipated to facilitate futu re research on more complex technologies as for example soil fertil ity improvement and evaluation of val u e added forages (i.e. hays, silages, leaf meals, forage-based concentrates). The participatory procedure involved a series of steps that could be easily followed with anticipated outcomes. Thus, it was easy for technicians and scientists to adopt the participatory procedure, and they could obtain outcomes such as criteria, qualifications and reasons from farmers relatively rapid. The participatory procedure included careful research planning and the definition and sup ply of forage options appropriate to the vulnerable environments of the Central American hillsides. Diverse social actors such as technicians, researchers and interest groups were identified and their roles defined in a collaborative and integrative approach. The inclusion of producers in all processes as the design of research, diagnosis and the evaluation of forage options (supply) led to the selection of appropriate forages by farmers in a broad range of farming systems. Moreover, an understanding of farmers' perceptions (criteria) about forages options was acquired, focusing further research needs and allowing a higher likelihood of adaptation and adoption of forage technologies. The coupling of a rapid participatory d iagnosis with selection of farmers and farmer groups and complemented by secondary background information was efjicient in focusing and initiating the research and development interaction and rapidly identifying interestedfarmer collaborators, leading toa high probability of technology adoption. The rapid procedure focuses init ially on technologies where a good understanding of suitability of technology options exists but is limited when addressing highly complex technologies andan in- depth understanding of learning processes is needed. However the t echnologies supplied combined with the procedure may prove a good entry point for other, often more complex technologies as the rapi d i ntervention with t angib le results maintains interest and builds trust. The procedure is widely applicable, scalable and in this respect has advantages over many other methods in d i recting strategic researc h on identijication of germplasm opt ions. The procedure is we ll structured and can be used to analyze quantitative data w ith multivariate methods. As a result ideotypes based on criteria, reasons and explanat ions were dejined. Infact, the participatory p rocedure developed inforages can be a suitable complement to other experiences of researches that are using participatory approachfor developing forages technologies onfarms. This participatory procedure offers a sequence procedure and some ways t o analyze the information. The participatory procedure is complemented by training strategies t o establish a capacity on how to apply the procedure to forage t echnology developmen t and selection, facilitating scaling-up of institutional capacity through the formation of strategic alltances. Recommendations The procedure needs further validation to define limitations for specific types of technologies and socioeconomic and biophysical environments. It is already acknowledging that the procedure needs to include small plot selection with animals at an earlier stage. This procedure could prove to be useful, not only for forage selection in Central America, but also for other contexts and technology options after a ppropriate validation and adaptation. References 264 Argel P.A., Giraldo G. , Peters M., Lascano C.E. 2002. Producción artesanal de semillas del pasto toledo (Brachiaria b rizantha) CIAT 26 11 O. Centro Internacional de Agricultura Tropical, (CIAT), Cali, CO. 20 p. Argel P.A. , Giraldo G., Peters M., Lascano C.E. 2002. Producción artesanal de semillas d e cratylia (Cratylia argentea) CIAT 18516 y 18668. Centro Internacional de Agricultura Tropical (CIAT) , Cali, CO. 16 p. Ashby, J .A. 1990. Evaluating technology with farmers. A handbook, CIAT IPRA Project, Cali, CO. 95 p. Ashby, J. Gracia, T., Quiros, C. 1992. Working Document. Participatory Diagnosis IPRA, CIAT, Cali, CO. Braun A.R., Hocdé H. 1999. Farmer participatory research in Latin America: Four cases. In: Working with Farmers: The Key to Adoption of Forage Technologies, pp. 32- 53. Proceedings and International workshop held in Cagayan de Oro City, Mindanao, Philipines. Australian Centre for International Agricultura} Research ACIAR, Camberra, 2000 No 95. 325 pp. CIAT. 2000. Annual Report, Tropical Grasses and Legumes. International Center for Tropical Agricultura} CIAT. Cali, CO. Project IPS, 120 pp. CIAT. 2001. Annual Report, Tropical Grasses and Legumes. International Center for TropicalAgricultural CIAT. Cali, CO. Project IPS, 132 pp. Cruz H., Burgos C., Giraldo G. , Peters M., Argel P. 2003. Intensificación y diversificación agropecuaria a través del uso de especies forrajeras multipropósitos- caso la finca "La Laguna" de Yorito, Yoro . Presented at Programa Cooperativo Centroamericano para el Mejoramiento de Cultivos Alimenticios (PCCMCA) meeting, April, La Ceiba, HO. Peters M., Horne P., Schmidt A., Holmann F., Kerridge F., Tarawali S .A., Schultze-Kraft R., Lascano C.E., Argel P., Stür W., Fujisaka S., Müller-Samann K., Wortmann, C. 200 l. The role of forages in reducing poverty and degradation of natural resources in tropical production systems. AGREN Network Paper no. 11 7. Peters M., Franco L.H., Schmidt A., Hincapié, B. 2003. Especies forrajeras multipropósito. Opciones para productores de Centro América. Centro Internacional de Agricultura Tropical (CIAT) , CIAT, CO. Ravnborg, Helle. 1997. Maria del Pilar Guerrero and Olaf Westermann, Methodology for analyzing groups of interest for collective management of natural resources in micro-wathersheds. Publicación CIAT 29 1. Rein van der H, Participatory research methods for forage based technologies in Central- American hillsides. Nov. 200 l. 265 Reys, L. R. 1994. Tropical Forages: Their Role in Sustainable Agriculture. Longman Scientific and Tech nical, Essex, England Schultze-Kraft, R., Peters, M. 1997. Tropicallegumes in agricultura} production and resource management: An overview. Presented at the Tropentag JLU Giessen 22- 23.5.1997. Giessener Beitrage zur Entwicklungsforschung 24, 1-17. Sumberg J. 2002 . The logic of fodder legumes in Africa. Food policy 27 285-300. Taylor C.E. 2000. Sustainability and equity in scaling up social development. IIR In: Working with Farmers: The Key to Adoption of Forage Technologies, pp. 52-58. Proceedings and International workshop held in Cagayan de Oro City, Mindanao, Philipines. Australian Centre for International Agricultural Research A CIAR, Camberra, 2000. No 95. 325 pp. Workshop Andino. Gender Analysis and Stakeholders on Participatory Research. CARE, CIP, PROIMPA, PRGA.: Lima, May 24-28. 1999, p. 7. Acknowledgments Collaborators, farmers Finance BMZ/GTZ 266 Talk.s prepared by the SN-3 team and presented at events Proceso de Monitoreo y Evaluación Participativa, promovido por el CIAT en los grupos de base. Presented at the meeting on Monitoring & evaluation systems, policies, programs and social and environmental projects. Santa Fe de Bogotá, CO, Nov. 7.1:), 2002. Susan Kaaria, Luis A. Hernández & Elías Claros La Investigación Participativa. Presented to students from the Milk Production Course and from the National University, Palmira campus. Palmira, Valle, CO, Nov. 12, 2002. José Ignacio Roa Marco conceptual de Investigación Participativa y CIAL. Presented at the First meeting of projects supported by the Kellogg Foundation, Seminar for creating Training Centers, Oaxaca, Mexico, Nov. 26, 2002. José Ignacio Roa Establishing Community-Based PM&E Systems: Experiences from LAC. Presented at the Annual Planning Meetings, Centro Internacional de Agricultura Tropical (CIAT), Palmira, Valle, CO, Nov. 28, 2002. Susan Kaaria Definitions and Issues Around Scaling Up. Presented at the Annual Review Meeting, Centro Internacional de Agricultura Tropical (CIAT), Palmira, Valle, CO, Dec. 2, 2002. Susan Kaaria La Institucionalización de la Investigación Participativa en Latinoamérica. Presented at the Annual Review, Centro Internacional de Agricultura Tropical (CIAT), Palmira, Valle, CO, Dec. 2002. Carlos Arturo Quirós La Investigación Participativa y Comités de Investigación Agrícola Local, CIAL. Presented to the Regiona l Indigenous Council of Vaupés (CRIVA) , CIAT, Palmira, Valle, CO, Jan. 24, 2003. José Ignacio Roa Experiencias y resultados en Investigación Participativa, IP. Presented at the workshop for presenting the program to the Promoting Changes Project, Cochabamba, Bolivia, Jan. 31, 2003. Carlos Arturo Quirós T. El Comité Nacional de Enlace , CNE. Presented at the workshop for presenting the program to the Promoting Changes Project donors and institut ions. Feb. 4, 2003. Carlos Arturo Quirós T. Investigación Participativa y Comités de Investigación Agrícola Local, CIAL. Presented to the Young People's Project in the school Juan Salvador Gaviota. El Dovio, Valle, CO, Feb. 6, 2003, José Ignacio Roa Investigación Participativa y Comités de Investigación agrícola Local, CIAL. Presented to the Graduate Program of the Universidad Mayor de San Simón, Cochabamba, Bolivia, Mar. 6, 2003. José Ignacio Roa Seguimiento y Evaluación Participativos. Presented to the Young People's Project in the school Juan Salvador Gaviota. El Dovio, CO. Mar. 20, 2003. Elías Claros Trujillo & Luis Alfredo Hernández Investigación Participativa y evaluaciones participativas. Presented to the Roldanillo Technical Institute (INTER) , Roldanillo, Valle, CO, May 6, 2003. José l. Roa Plagas y enfermedades en frijol. Presented to the Young People's Project in the school Juan Salvador Gaviota. El Dovio, Valle, CO. June 1 1, 2003. José Ignacio Roa 267 Resultados de Estudio de Impacto en el Cauca. Meeting of the CIALs, Popayán, Cauca, CO, July 23, 20 03. Fernando Hincapié Estudio de Caso "El Diviso.'' Meeting of the CIALs, Popayán, Cauca, CO, July 23, 2003. Fernando Hincapié ¿Qué es y para qué sirve el Sistema S&EP? Meeting of the CIALs, Popayán, Ca u ca, CO, J u ly 24, 2003. Elías Claros Enabling rural innovation in Africa. Presen ted at the Centro Internacional de Agricultura Tropical (CIAT)-Africa Staff Meeting. Sept. 17, 2003. Pascal Sanginga, Colletah Chitsike, Susan Kaaria, Rupert Best, Robert Delve La Investigación Participativa: Taller sobre el cultivo de algodón en la Costa Atlántica. Presented to the Colombian Corporation for Agricultura! and Livestock Research (CORPOICA) Turipaná Research Cen ter, Monteria, CO, July 25, 2003. Luis Alfredo Hernández R 268 OUTPUT S. IMPACT OF SN-3 PROJECT ACTIVITIES DOCUMENTED Milestones Methodology for conducting impact assessment of PR methods on livelihoods Impact of CIAL methodology on rurallivelihoods in 4 communities with CIALs in Cauca Province Project approved Selection of Agro entrepreneurial CIALs accomplished Secondary information recovery and primary information accessed Impact Assessment of Local Agricultura[ Research Committees (CIALs) in Colombia Researchers: Susan Kaaria,43Nina Lilja,44 Fernando Hincapié,45 James Garcia,46 Viviana Sandova[,47 Collaborators: F. Escobar, L. Sandoval, J . Rincón, A. Truque, E. Garzón, S. Valencia C. Prieto, C. Usma, J. Sandoval, B . Muñoz, M. Cerón Abstra ct For the last 13 years the IPRA Project at CIA T has promoted the formation of community- based research services called Local Agricultura! Research Committees (CIALs). With this study the IPRA Project seek.s to evaluate the changes in the livelihoods ofthefarmers and their communities attributable to the CIAL methodology. The CIAL methodology was developed at CIAT with the goal ofincreasing the ef.ficiency ofthe agricultura[ research and technology development system by integrating farmers better into the process. The study will assess the effectiveness ofthe CIAL methodology, the extent to which the problems addressed by the CIAL are relevant to the community, the costs and bene.fits of the CIAL to its members as well as to the community in terms of the development of appropriate technologies and who bene.fits from the innovations . The extent to which CIALs affect the rate and leve[ of adoption of agricultura[ technologies among socially differentiated user groups and the cos ts associated with forming and s upporting a CJAL will also be studied. lt will also examine how farmer participation in the agricultura[ research process affects the process itself, as w ell as the speci.fic communities and individuals involved. Particular attention will be paid to how CIALs as institutional innovations affect the human, social and other capital assets available to individuals and communities, and what implications these impacts haue for livelihood outcomes. This study involved 13 CIALs:focus group discussions were held in all ofthem, and in 6 formal interviews were conducted. In addition, four rural communities without CJALs (counterfactual communities) were also s urveyed. 43 Senior Research Fellow, SN-3 Project, CIA T, Colombia. 44 Senior Scientist, PRGA Program, CIA T, Colombia. 45 Research Assistant, SN-3Project, CIA T, Colombia. 46 Associate Researcher, Impact Project, CIA T, Colombia. 47 Research Assistant, SN-3 Project, CIA T, Colombia. 269 Introduction Over the past decades, agricultura! research has contributed to significant increases in world food production. Maintaining this productivity increases, as well as making progress on additional goals of alleviating poverty and protecting the environment, presents a majar challenge to the agricultura! research system. In arder to maintain and extend the benefits of agricultura! research, new ways of doing research may be necessary. One such method, participatory research (PR}, seeks to involve the intended beneficiaries of research in the research process itself, based on the idea that u ser participation willlead to more efficient and effective design and targeting of technologies, thereby redu cing diffusion time and helping ensu re that the intended beneficiaries are reached with technologies suited to their needs. In principie, the concept of PR has been widely accepted. Few scientists would consider doing adaptive research on agricultura! or natural resource management technology development without at least some input from users. There are many types and degrees of participation, however, with very different implications for the benefits and costs of research. For example, asking farmers opinions or inviting them to visit field trials is a type of participation; however it is very different from letting farmers make decisions about what kinds of technologies will be developed or training them to carry out research themselves. Because PR methods incorporate user perspectives in the research process, it is often claimed that they orient research more towards the needs of the poor and thus result in a greater impact on poverty alleviation than conventional research. It cannot be said a priori that participatory methods make research more pro-poor because this would depend on the extent to which the needs and priorities of the poor differ from those of the non-poor, and whether or not the poor are specifically targeted in the research process. Whether PR makes research more pro-poor is essentially an empirical question. Therefore, in order to understand the relationship between PR and poverty alleviation better, empirical evidence is needed on what impacts participatory methods have had on poverty in the context of specific projects and participatory methodologies. This project seelcs to begin to fill this gap. The study builds on results from an earlier study (Hincapié, 2003) anda survey done by the IPRA Project in 1998 (Ashby & García, 2000). Methodology This study examines the impact of one particular method of incorporating farmer participation, which is based on the establishment of local agricultura! research committees (CIALs) in rural communities. This method was developed at CIAT in the 1990s and is currently used in approximately 250 communities of several Latin American countries. The CIAL methodology is based on the establishment of a research committee with elected members. Each CIAL is supported by an agronomist or extension agent who trains the committee members in the research design (controls, replicates, systematic evaluation of results) and who visits their trials regularly to provide technical support. Support for the agronomist comes from the institution supporting the CIAL, usually an NGO, the national research or extension service, or some other institution involved in technology development and transfer. Costs of experimentation are covered by outside funds; however farmers are not paid for their participation or time. Research problems and priorities are set at the level of the community (by vote), but the experimentation is done by the CIAL on behalf of the community. Community members are able to visit the trials all along, and results of experiments are disseminated at the level of the community. If a series of experiments identifies 270 a promising technology or practice, the CIAL will officially recommend it. In Cauca Province, men and women farmers have formed 39 CIALs over the last 13 years. A second-order association Corporation for the Development of the CIALs (CORFOCIAL) -While the IPRA Project at CIAT provides technical backstopping. Study objectives Assess the effectiveness of the CIAL methodology Assess the costs and benefits of the CIAL to its members as well as the members of the community Use the results of this impact study actively for institutional learning and change. Research questions How effective is the CIAL methodology? What are the benefits of being a CIAL member? How have the CIALs benefited their communities? What are the costs associated with CIALs? How can the results of this impact study be used for institutional Iearning and change? Sampling frame Table 1 presents the sampling frame for the entire study, which involved data collection u sing both individual household interviews a nd focus group discussions (FGDs) with 13 CIALs. T bl 1 S a e : r f amp. 1ng rame fi th t d or es u ty. CIAL Level Community Level Without CIALs Active CIALs Inactive CIALs With CIALs (Counterfactual) Focus group 13 CIALs 4 CIALs discussions Individual Four CIAL Household -leve! Household leve! household members from interviews interviews questionnaires each of 13 CIALs conducted in 6 conducted in 4 communities commu nities CIAL level The sample wa s selected from all existing CIALs in Cau ca that are more than 5 years old and where it is considered "safe" to travel. To ensure a represen tative sample, CIALs were also stratified by age and gender of membership. Thirteen CIALs in 12 communities in Cauca were selected (Table 2 ). At the CIAL leve!, individual household interviews were conducted, a nd FGDs were conducted a t the CIAL group level. FGDs will be conducted with 13 CIALs in Cauca Province. The FGD will collect the CIAL- specific data needed for the analysis. 27 1 T bl 2 CIAL • 1 d d . th t d 1 d. . d al a e : s 1nc u e 1n es u ly: n l Vl u surveys an dFGD S. Household No. of Members Sample Name of Location Age of sin M en Size for CIAL CIAL communit Women Survey y Asopanela Rosas 12 30 3 1 Betania 1 Piendamó 12 33 6 2 La Caldono 7 45 4 1 Esperanza El Turco Santander 9 25 3 1 Carpintero Morales 8 181 20 10 46 El Jardín Caldono 10 38 3 1 10 Las Cruces Silvia 6 57 3 3 15 Pescador Caldono 13 66 5 17 San Bosco Santander de 5 58 9 15 (Female) Quilichao San Bosco Santander de 12 58 3 (M ale) Quilichao San Isidro Santander de 7 66 5 (Mal e) Quilichao Cinco Días Timbio 11 205 2 13 52 (Female) El Diviso Rosas 12 83 4 2 Community level In order to understand the impact of OALs on individual members as well as on ot her community members, individual household interviews will be conducted in six CIAL communities and 4 communities without CIALs. In each of these communities both CIAL and non-CIAL members will be interviewed. In addition, both the male and female heads of household will be interviewed. CIAL communities. Four of them (El Jardín, San Bosco, Tres Cruces and Cinco Día s) were selected because they formed part of the study documenting the impact of the CIAL methodology (Hincapié, 2003) , while the other two (Crucero de Pescador and Carpintero) had been in the impact study conducted in 1998. The information from these earlier studies formed the basis for the design of the survey s for this study. To define the sample for individual household interviews, a 10% margin of error anda 95% level of confidence were used in a randomly stratified design, in which the rural communities constituted the subpopulations that form the strata. The distribution of the selected sample is presented in Table 3. The size of the sample for the rural communities without CIALs will be determined as was done for the rural communities with CIALs. Non-CIAL communities. In order to control for changes in the communities a ttributable to the presence of CIALs, 4 counterfactual communities were also selected on the basis of not being neighbors and similarity in various characteristics (Table 4): 272 Table 3. Distribution of the sample selected. CIAL Communities No. of Sample El Jardín Carpintero Tres Cruces Crucero de Pescador San Sosco Cinco Días Total Households Size 38 8 182 37 57 12 66 14 58 205 606 12 41 124 Table 4. CIAL communities and their corresponding non-CIAL communities. Communities with Counterfactual No of CIALs Communities (without Location Families CIALs) El Jardín and San La Conception Sosco Carpintero and Cinco Días Tres Cruces Crucero de Pescador San José Santiago La Chapa Santander de 87 Quilichao Caldono 169 Silvia 108 Santander de 37 Quilichao Sample Size 17 3 1 21 7 Sociocultural characteristics: ethnicity, level of schooling and access to public services (energy, access to aqueduct, telephone and health services) Interaction with institutions Distance to large markets Agroecological zone Farming system Research questionsfhypotheses, indicators, data needs and data collection method In order to develop a data collection strategy, we took each of the research questions and developed variables to measured and identified specific indicator to measure the variable. Table 5 presents details about each of the broad research questions, as well as indicators used to measu re t he impacts, and data sources. This served as the basis developing d ata collection a n d analysis methodology. 273 Table 5: 1 t stud '1'-- - - Ly q u es t• /h . 1' th · dicat ' - . data - d -- d dat --- llecti thod . :-~ " · Data CoUectlon - ., l~¡> ~ íJ ~· ! ... •· ~ ' . M.ethod ~~ .. ~ Hypothesls/Research 4r'~ ,.::"" :!1 JI .. "!: ~~. ."'.: ·~:. . . , 111 1111 ,lila. ., "~ " ~ .J o:, .>t! ,.:., "- Data Needed '' lndlcator,s, .: ü [¡,¡ ...:.&111 ~ ' ' .~ ·ea a e Queatlon:s '1 - Focüs .. ' Surve ., : Stud " . • d::l ' ~ g ~· .. -F ~~ ' y Group 1 . ~ ~ -··;¡ ~ -- ¡ "., .... y . ~ ~.~: "'! .., r~ ¡,. !!"'·' ~ ':' ~., . - ·~ 1 , n1 ~ • ...e<·• r • How effective is the CIAL methodology? Who are the members? (Are they Distribution of participation in Characteristics of members: (well-being X poor, rich, educated, innovators) CIALs across the different levels, educational level, gender gender and wealth groups Community criteria for selecting members Are the farmers "effective" Problems addressed relevant to Farmers ranking of appropriateness of X researchers? the community (CIAL is research themes to address community (productivity of research responsive to community problems outputs, responding to priorities and needs.) Community diagnosis results vs. tapies of community needs) CIAL ex_l)_erimentation Appropriate technologies are Rate of output of research (no. of research X developed tapies covered by CIAL experimentation) "Scientific rigor"; are research "Improved" or better technologies Characterization of recommended X results improving yields, are recommended technologies using scientist-defined environmental issues? criteria (yield, resistance, soil fertility management, biodiversity, etc.) Integrating local and scientific Increased research in Research outputs based on X knowledge indigenous/local technologies indigenous/ local knowledge Do CIALs improve the flow of Enhanced capacity to demand No. of visits from other communities to CIAL X information between farmers technology and related experiments or no. of visits by CIAL and R&D organizations? support services members to other communities to explain their technologies What is the role of second-order Assessment of services provided by X organization CORFOCIAL? CORFOCIAL to CIALs (from perspectives of both) What are sorne of the key actors No. of inactive CIALs and reasons X in aCIAL failure? - - 274 ~ -· .. :--~ - ri ~ ~ . lll - ~""'f"-11 - ":' .... ' ~ Th; ~ ' - ,'!",;,:. "~ -. - Data Col,lectioíl · .. ~ - ~ fi - il '~ ~ 11 -"''l. -- ' ' ~ -. Method Hypothesia/Research ' lndica:tors ~ Data Neected ~ Case Questions ~ ,, 1 ~ ,:lt Surve · FOClJS S~d '1111 111 ~ ·.:= 6: ::::::: :!i 11'1 9roup 111 . - = .. y y - - - 2. What are the benefits ofbeing aCIAL member? What are the benefits of Enhanced leadership skills Degree of participation/leadership in other X being a member? (human community events and social capital) Enhanced capacity for No. and types of new non-CIAL related X experimentation experimentation other New knowledge acquired and its application to new pro blems Capacity to convene and organize No. of meetings organized or capacity to X community meetings initiate and organize farmer-to-farmer exchange Become agricultura! experts in Representation of the community in X X community (innovators) agricultura! events. Commu nity members' opinion about who are the agriculture leaders in village Improved financia! management Capacity to increase CIAL fund f capacity for X skills raising funds Do improved skills lead to Able to support community in Member involvement in other community X benefits? What is the addressing new challenges development activities impact of the increased Ability to formulate and present New projects started beca use of CIALs X human and social capital own projects based on among the members and community demand communities? Acts as entry point for other R&D Same as above X Enhanced capacity for collec tive Major community problems solved in the X problem solving past 5 years a nd how they were solved -~ - 275 > ~ ~ ~ ~ ;¡- ' ' . - " Data Collection e ~ . . . ~ ' Hypotheala/Reaearch Method ~ Indicatora Data Needed ... . . Case Queationa e;; .. ·~ t;" Focus ' ~ ¡,; .. - . " Surve Stud j u - • 1 ' Group - .~ ~ . - ~ y y . 3 . How have CIAL research outputs benefited members of their communities? How have their research CIAL communities benefit from Assessment of benefits of CIAL to the X outputs benefited their research outputs community at large. communities? Communities benefit from Increased f stabilized yields X adoption: concrete Increased food security at household level resultsjchangesjeffects of Increased income (and how it is used) these technologies Better management of farm resources Who benefits in different Access of benefits to different Characterization of households adopting X social groups, especially households categories and benefiting from technology across gender and the (women and the poorest) poor? Spillover benefits to other Adoption of CIAL technologies in Same as above X communities? neighboring communities (spillover) How do their marketing Benefits from CIALs marketing Types of marketing projects X projects benefit the projects community? Who has access to these Enhanced access of benefits to Benefits and who has access: analysis of X benefits from marketing? different categories of above broken down households (women and the poorest) Has methodology Enhanced access to benefits by Same as above contributed to poverty women, children a nd the alleviation? Who has poorest households access? 4. What are the costs Effectiveness increases with Cost of creating and supporting a CIAL associated with CIALs maturity How much time members spend on CIAL- Reduction in the operational related activities and the value of that budget over time time (similarly other resources and their val u e) 276 Progress t o date From June to September, 2003, the surveys were administered to a sample of 124 households heads and toa second person in each respective hmsehold (wife j husband, son/ daughter), for a total population of 606 household heads from six rural communities with CIALs in Cauca Province: Crucero de Pescador, Cinco Días, Carpintero, San Bosco, El Jardín and Tres Cruces. lmplementing the study Ten enumerators were selected and trained (S university students and S people from the study region) to conduct the household interviews. The training focused on developing communication skills and techniques for conducting the surveys and to create a local capacity for gathering information and for identifying the regional problems. Selection and application of surveys in communities with CIALs All surveys were conducted with the selected CIALs in the six rural communities: 124 surveys to household heads and 106 to the second person. A format in the OMNIFORM program was developed to input the data from the surveys and the statistical analyses. AH the data from the surveys were typed into the OMNIFORM program and are ready to be analyzed. Figure l. lnterviewing the wife of a farmer in Cauca. Selecti on and application of surveys in communities without CIALs The four non-CIAL communities were selected by grouping four CIAL communities with similar characteristics. For example, El Jardín and San Bosco; or Carpintero and Cinco Días were grouped together as they have similar characteristics with respect to sociocultural characteristics: ethnicity, level of schooling and access to public services (energy, aqueduct, telephone and health services), interaction with institutions, distance to large markets, agroecological zone and system of agriculture. In this instance, one counterfactual community was selected for each pair. In the case of Tres Cruces and Crucero de Pescador, a counterfactual community was identified for each one because the communities were very different from each other. 277 The selection of counterfactual communities involved visiting the community and conducting interviews with key informants (teachers, presidents of the JACs or Communal Action Boards and the health promoters). In each community information was gathered on general characteristics and compared to communities with CIALs. La Chapa and San José were surveyed, and the information was entered in the OMNIFORM program. Challenges of implementing the study and solutions The main difficulties encountered in the development of the study were related to the data gathering: Sorne farmers are distrustful and do not answer the surveys honestly; thus there was incongruence in the data. Explaining the objective of the study very clearly and explaining that the data would be treated confidentially and would not be used for any other purposes except for the study addressed this problem. Sorne farmers selected for the survey did not want to answer the questions unless they were given sorne economic remuneration. In this case, other farmers were selected at randorn to replace them. The indigenous cornmunities are reserved about their information and do not permit their rnembers to give out information without permission from the Governing Council to which they belong. This difficulty was encountered mostly in those comrnunities located near a reservation. In the native cornmunities surveyed, it was necessary to speak first with the local leaders and the Governing Council to explain the purposes of the survey and request their approval for the study. Lessonslearned Thus far the following lessons have been identified , which contribute experiences for future studies: The training of the interviewers has resulted in good-quality information. The revision of the surveys by each interviewer before turning thern in to the coordinator meant that they had fewer errors, and the process of final revision was much quicker. The rapid feedback by the coordinator of the group to the interviewers minimized the errors in gathering the data and made the work more efficient. The support of the local interviewers generated more trust in the farmers, facilitating their response to the surveys. A key factor for obtaining information on the rural communities was talking to the presidents of the JACs, the health promoters and the teachers. To be able to interact with indigenous communities, it is necessary to approach the local authorities previously in order to facilitate the execution of the work. 278 References Ashby, A.; García, J . 2000. Estudio de impacto de los CIAL1998. CIAT (Centro Internacional de Agricultura Tropical), Cali, CO. (unpublished) Ashby, J ., Braun, A.R.; Gracia, T.; Guerrero, M.P.; Hernández, LA; Quirós, C.A.; Roa, J.I. 2000. Investing in farmers as researchers. Experience with Local Agricultura! Research Committees in Latin America. Centro Internacional de Agricultura Tropical, Cali, CO. 199 p. Hincapié, F. 2003. To document the impact of CIAL methodology in five communities in the Cauca Department: Output 5. In CIAT (Centro Internacional de Agricultura Tropical) Annual Report, Project SN-3, Cali, CO. 279 Impact study of CIALs El Jardín, Las Cruces, San Basca (men and women), Cinco Días Highlights Researchers: Susan Kaaria4B, Fernando Hincapié'9 Collaborators: N. Zambrano, A. Truque, E. Claros, J. Rincon, F. Escobar CIALs: El Jardín, San Basca, Tres Cruces, Cinco Días lmpact of CIAL methodology on rurallivelihoods in five communities in Cauca Province Identification of impact indicators from the perspective of rural communities Abstract This study examined the impact of a particular method of incorporating farmer participation, based on the establishment of local agricultura[ research committees (CIALs), in rural communities. The methodology used is based on the Sustainable Livelihood Approach. The aim of a livelihoods impact assessment is to gain an understanding ofthe significance ofthe project to the livelihoods of project participants and other local residents. The study found four majar tapies of impact: technology, which includes better planning and organization of farms, new technology and its diffusion; food security which looks at nutrition; income generation from the standpoint of agroenterprises and production projects; and social and human capital which tak.es a look at leadership, empowerment and gender. Sorne ofthe majar challenges involve better communication channels to facilita te the flow of information from farmers' communities to second-order organization and to research centers. Background Over the past decades, agricultura! research h as contributed to significant increases in world food production. Maintaining these productivity increases, while making progress on additional goals of alleviating poverty and protecting the environment, presents a major challenge to the agricultura! research system. In arder to maintain and extend the benefits of agricultura! research, new ways of doing research may be necessary. One such method , participatory research, seeks to involve the intended beneficiaries of research in the research process itself. The idea is that user participation willlead to more efficient and effective design and targeting of technologies, thereby reducing diffusion time, increasing adoption and helping to ensure that the intended beneficiaries are reached with technologies that are appropriate to their particular circumstances, needs and priorities. This study examines the impact of one particular method of incorporating farmer participation, which is based on the establishment of local agricultura! research committees (CIALs) in rural communities. This method, which was developed at CIAT in the 1990s, is currently in use in more than 250 communities in 8 Latín American countries. The CIAL methodology involves the establishment of a research committee with elected members. Each committee is supported by an agronomistjextension agent who trains the committee members in the research design issue (controls, replicates, systematic evaluation of results) and who visits their trials regula rly to provide technical support. Support for the agronomist comes from the institution supporting the CIAL, usually an NGO, national extension service, or sorne other institution involved in technology development and transfer. Costs of inputs not available locally a re covered by outside funds, and members are not paid for their participation or time. Research 48 Senior Research Fellow, SN-3 Project, ClA T, Colombia 49 Research Assistant, SN-3 Project, CIAT, Colombia 280 problems and priorities are set at the level of the community (by vote), however the selected members do experiments. Community members are able to visit the trials all along, and results of experiments are disserninated at the leve! of the community. If a series of experiments identifies a prornising technology or practice, the CIAL will officially recommend it. Objectives The objective of this study is to evaluate the impact of the CIALs on poverty in rural communities. The CIAL methodology was developed at CIAT with the goal of increasing the efficiency of the agricultura! research and technology development system by integrating farmers into the process. The study assesses the extent to which CIALs affect the rate and level of adoption of agricultura! technologies among socially differentiated user groups. It also examines how farmer participation in the agricultura! research process affects the process itself, as well as the specific communities and individuals involved. Particular attention is paid to how CIALs as institutional innovations affect the human, social and other capital assets available to individuals and communities, and the implications these impacts have for livelihood outcomes. Methodology Conceptual framework The impact of research outputs such as technologies and methodologies goes beyond the production process an d to the well-being of the people involved directly and indirectly in the project carried out in a given community; therefore, an alternative methodology to conventional impact assessment is required. The methodology is based on the Sustainable Livelihood Approach. Figure 1 diagrammatically presents the components and linkages within this Approach. The aim of a livelihoods impact assessment is to gain an understanding of the significance of the project with respect to the livelihoods of project participants and other local residents. Such an assessment is based on the prernise that the project and project participants share a core aim: the enhancement of local people's livelihoods. It is important to note that a benefit inherent in this methodology is that as it is the community that identifies problems and needs, they are in a better position to make decisions and act upon the major issues affecting them. Thus research-action becomes a motivation tool for the future development of projects by communities. 281 Box l. Livelihoods framework ASSETS Natural, financia!, pbysical, human, and social capita l .... Externa ( influences, institutions, and vulnerabi\ity context SRATEGIES & ACTIVITIES 282 .... OUTCOMES Well-being, income, empowennent, health, vulnerability People with priorities and preference Study area Five CIALs were selected : El Jardín, San Bosco (men and women CIALs), Tres Cruces, Cinco Días. Table 1 lists the CIALs, their research tapies and years of experience. T bl 1 CIAL a e s stu d ' d th. 1e e1r researc h top1cs an d f years o expenence. CIAL Initial Diagnosis Research Topic Experience 1 Starting Date San Bosco Maize Experimentation on 12 years (men) Pota toes varietal ad aptation to 1990 are a San Bosco Soya Experimentation on 4 years (women) Rice varietal adaptation to 1998 Barriers are a Beans Cassava Maize Organic fertilizer Soil improvement Soil conservation Tres Cruces Maize Experimentation on 5 years (indigenous) Beans varietal adaptation to 1997 Quinoa are a Wheat El Jardín Onions Experimentation on 6 years Beans varietal adaptation to 1996 are a Cinco Días Blackberries Experimentation on 10 years (women) Soybeans varietal adaptation to 1992 are a Participatory Rural Appraisal (PRA} Tools PRA is used here to refer to a more extended process that involves not only the collection of information but also its eventual use by the community as it plans further activities. The emphasis of PRA is often not so much on the information as it is on the process and seeking ways to involve the community in planning and decis ion-making. 283 Table 2 PRA too s and type of Information that can be collected Type of Information Types of Indicator for Diagnostic Tool Used Obtained Measuting Change Participatory mapping Village landmark, Adoption of technology Vern Diagram Calendars Wealth Ranking infrastructure and across village and social structure neighbors Spatial land use patterns Access to markets Settlement patterns Change in production Information on livelihoods systems techniques and places important to Change in farm planning Iivelihoods and organization Markets Relations with other villages Existing organizations in the community a n d their linkages within and externally Role of external forces in the community: government and NGOs Relationship with other villages Patterns within the community: Income, labor and consumption Seasonal agricultura! calendar Forest product a vailability Migration patterns Livestock management Levels of well-being; Access to services and assets Lead ershi p / weal th correlation 284 Role of CIAL in local organizational systems Change in food availability Change in migration patterns Change in labor intensity Gender-labor intensity Change in production Empowerment Well-being and participation in activities Distribution of project benefits Change in access to assets Change in assets Changing composition of wealth Results The study found four major topics of impact: technology, food security, income generation and social and human capital. Technology Better planning and organization of the farm: As a result of new knowledge on the crop production management, as in the case of San Bosco, new t echniques for hillside land and crop management resulted in increased production of maize, beans and cassava. New technology and its diffu.sion: The recovery of an ancient crop, quinoa, in CIAL Tres Cruces has resulted in a program led by the índigenous Council to include this crop in all gardens. Food security The main impact in food security is the reduction in t he scarcity periods of grains , beans and maize, which are the staples of most co mmunities' diets. When comparing the production of the four communities over time, beans and maize showed a remarkable improvemen t and also show a potential for further increment in production dueto the research carried out by the CIALs. Production figures and the food-availability calendar support this claim. Food scarcity was reduced from 6 month to 3-4 months in the case of bean s and maize in the villages of El Jardín and San Sosco. The only reason why they have not been able to close the gap is because of grain storage problems. Beans, being one of the commonest research topic of CIALs, has come a long way from production for consumption to its presen t leve!, which allows for seed production and, toa lesser extent, income generation. The CIAL El Jardín works with beans and its production figures have gane from consumption only 5 years ago to 2500 kg/ha at present. Research on new varieties and training on crop management and seed production account for the success this CIALs research. Maize has also shown an incremen t in production, and its behavior has been similar to that of beans. Most of the grain was kept to feed the family, but this increase in production also allows for seed production and to feed minor species on the farm. The CIAL San Bosco has been working with maize for around 1 O years. Their production has doubled in the last five years, going from 2500 kg/ha to 5000 kg at present. Similar to El Jardín, the CIAL San Bosco has also gained knowledge on new management practices and seed production, which is a source of income generation for this group. Another source of income and a major impact for this CIAL was the acquisition of a maize milling machine, wh ich is used by village farmers and neighbors, representing not only a source of income but also savings in time and money. Greater maize production has also allowed producers to keep as many as 200 cruckens on their farms sorne for their meat and others as egg producers asan altemative source of food and income. Income generation Most CIALs genera te income from their production of beans and maize seed; however, CIAL Cinco Días has acquired bakery equipment to produce soy bread 285 (soybeans are the topic of research of this CIAL). A new group of soybean producers will supply the raw material for the bakery; soybeans are also sold to feed small animals. Social and human capital Another major impact the CIAL has had on its members is the development of leaders and empowerment of the communities where they are located. Appendix 1 shows clear areas of impact or indicators such as understanding of experimentation, social organization, leadership, empowerment, land, crop and farm management, decision-making, better planning and organization of farm, new knowledge, new technology, diffusion and income generation. lt also shows that although a CIAL may have only one research tapie, impact is also produced by other technologies introduced by the CIAL. This technology may come from the technician, farmer-to-farmer, tours, the yearly CIAL meeting. It is then tried by the CIAL and is eventually adopted in the village and neighboring communities. Results from these technologies should also be included in the CIAL research records and reported to CORFOCIAL and the research entity. Impact on livelihood goes beyond production and income generation, which are only sorne of the components of well-being; leadership, organization, communication, empowerment and decision-making complete the picture. Research on maize and beans has not only had a real impact on food availability in the communities through increased production and a better knowledge of land, crop and pest management; but it has also helped improve nutrition levels in villages such as San Sosco, El Jardín and Tres Cruces, helping get closer to their objective of food security. Other technologies introduced by the CIAL to villages (e.g., forages in El Jardín) represent an extra income for the farro in terms of cash when sold for cattle feed or in kind when exchanged for milk. In the case of Tres Cruces, quinoa has put the CIAL at the front of a majar project by the local indigenous Council to incorporate quinoa plants in their gardens. Already 80 out of 175 families have included quinoa in their diets and are also learning about its medicinal uses. As the result of its research on soybeans, the CIAL Cinco Días has established a small bakery based on soy flour, generating income not only for the families of the members of the small business but also for a group of farmers who see the opportunity of supplying soybeans to the bakery. Training in small business management will also improve and have an impact on the livelihoods of the village by opening up new opportunities and generating employment for the village. San Sosco is also looking at the establishment of a small business in the form of a collection centralized facility for collecting and marketing local products which would not only benefit the village but also its neighbors, and would generate employment. The development in sorne communities of a do-it-yourself mentality has had a majar impact on its own, considering that not long ago their conditions and self-esteem were at a very low point. One of the commonest discussions in the five CIALs visited was the preparation of proposals for local projects, which shows a vision, a plan or strategy for improving the well-being of the village. 286 Human capital is also another majar area of impact. The CIAL is also a school for leaders, and its members often work with other organizations in the communities such as the indigenous Councils, the Communal Action Boards (JAC}, water boards, etc. The community often consults CIAL members on farming issues; and the CIALs also have the responsibility of reporting research and feedback to the community, not only on their fmdings but also on the accounts. Gender is an area that needs more attention. CIAL research represents extra work for women who have to carry on with their day-to-day numerous activities and find time to do CIAL work. A common attitude towards women working in CIAL is that they have nothing better to do or that it is a waste of time. This attitude means that in arder to spend time away from home in the CIAL, women must work harder at home. This attitude changes as the CIAL begins to show positive results, particularly in their families. Good feedback of results to the community will improve the attitude towards women groups Another barrier women encounter is that their husbands oppose their spending a long time away from home, and this produces conflict at home. This is less noticeable in villages where there is a CIAL already established or where there is knowledge of the CIAL work and results. Wealth ranking 287 T bl 3 S a e ummary o f wea lth ran k" h • t• b mg e aractens lCS y group. El Jardín San Bosco Tres Cruces Cinco Días Top level Income from Large farm Cattle Income from employ- Income from Income from employment ment employ- employ- Large farms Small families ment ment Inheri tan ce Employ-ment Better d iet High Family help generation academic Very active Large farm leve! Own transport Le~dership Intermediate Extra income Own home Large families Self- sufficient leve! from goods Seasonal labor Single men farm or services Large family Seasonal Single head of Seasonal Little land labor house-hold labor . Farm products Farm Seasonal labor Farm products 2_roducts Low leve! Illness Do not own Large families Noland Old age home Single Old age No help Large family mothers Illness No water or Illness No help electri-city Widows No water or Old age electricity No help Wealth ranking in the four communities shows sorne characteristics common to the different level s studied: At the top leve! are fixed income from full-time employment by members of the farnily in addition to farm products, larger and already established productive farms which in sorne cases genera te income for members of the communities. At the inte rmediate leve!, farm products, supplemented by seasonal labor, are the common characteristics that identify this group. The lower level is characterized by Illness, old age, no collaboration from family relatives and lack of water and energy. When asking the question what is necessary to move from one group to another, better management of assets and access to credit for investment are the commonest answers, followed by participation in-group activities. Better management of assets and teamwork are areas where CIAL methodology can contribute to the progress of communities. In the future, it may be possible that second-order organizations of CIALs can facilita te access to credit for its members. Challe nges Sorne of the major challenges ahead are to improve repor ting of results to research centers and other organizations, the quality and relevance of research, and feedback to communities. Better communication among ClALs, CORFOCIAL, CIAT and other R&D organizations is essential for improving the quality and relevance of research and also for validating CIAL research befare these organizations. In order to obtain funding for research , it 288 should not be done only on the basis of interest in the communities alone but also reflect the interest of donors and R&D centers. To a certain extent, that is what this impact evaluation methodology offers an understanding of community needs and interests in arder to match donar and organization requirements. As CIAL Tres Cruces put it, "we are tired of organizations bringing in projects that salve none of our problems, and when they are gane, we are worse off than when we began ... we have lots of product no one wants .. . " References Ashley, C.; Hussein, K. 2000. ODA. 289 Appendix 1 Table 4. S - --- -- . . - ---------- f . - - ---... r"---ts bv CIAL Impact El Jardín San Bosco (men) San Bosco (women) Tres Cruces Cinco Días Technology Better New knowledge of New techniques of Research on organic Red uction in maize Diversification of crops planning cassava hillsides land and fertil izer has solved harvest cycle New knowledge on crop and management has crop management problem of lack of from 12 to 7 management organization improved crop has permitted funds to fertilize m o and preparation of farm production. increased land. Recovery of ancient production of crop (quinoa) maize, beans and cassava. New r?orages used as live ncreased maize Greater maize Quinoa research led Training of community technology barriers to production production allows to the local in over 40 recipes and control erosion permits seed CIAL to work with indigenous prepared with diffusion and exchanged production. laying hens (egg Council's soybeans, including for milk New knowledge of production) implementing milk and meat ncreased maize pest a program of alternatives production management quinoa in permits has led to better gardens production of production. ClAL members and chickens. collaborators preater bean live in production neighboring permits seed villages, production. facilitating Neighboring villages adoption and adopting diffusion of technology technologies. researched by CIAL 290 Food El J ardín San Bosco (men) San Bosco (women) Tres Cruce s Cinco Días securíty Nutrition lmprove d quality Better bean and Better bean and Research on Soybeans are an of crops, maize production maize production nutrition and alternative to many particularly reduced food- reduced food- medicinal benefits of products including beans, shift securíty period security period quinoa milk and meat, which from local represents a savings in variety to an the purchase of these improved products. variety Better bean and maize production 1 has reduced 1 food -scarci ty 1 period lncome generation Agro- CIAL and Maize seed Production of feed Bakery enterpríses community will production concentrate for New group forrned to present project for minar species supply soybeans to cane mill to bakery, generating increase panela income for producers production and generate savings in its processing. Production Bean hulling Maize milling U se maize milling Production of Bakery equipment to projects machine used by machine used by machine to organic fertilizers to initiate small local residents, local residents and prepare feed improve soil business and neighbors and local neighbors concentrate for purchase soybeans indigenous Council represents savings animals from local producers to farmers as they Generate savings by Soybean production can process producing also sold to feed harvest in vill~ fertilizer in village smaller animals 291 Leadershlp CIAL members role Local indigenous Local indigenous Local indigenous Small business will & empower- as agricultura! Council delegated Council allocated 15 Council quinoa generate extra income ment experts in village management of ha for research and program led by ClAL for the community. farm to CIAL leader work led by CIAL Gender Gender awareness Gender awareness, Gender awareness Change in family Change in family promoted by local collaboration and to change attitude regarding attitude regarding indigenous Council motivation to stereotype role of sharing of activities collaboration at home motivated women's CIAL women at home when women are formation of Community attitude working with CIAL women's group to to CIAL has work with changed a little soybeans. as they see results. --~ -- 292 CIAL experiences wíth agro enterprises: Línkíng research to development in Cauca - Project progress report Researcher: Fanory Cabo P. so Abstract Many actors in the rural context offer a large cadre oftraining opportunities to local communities. Nevertheless, such training is not always enough to promote development due to the Jact that knowledge applícation is not possible due to scarcíty of financia[ resources. Local groups are in search of economic resources to carry out their projects . Some have been successful in accomplish this task. Thus it was considered important to leamfrom the experiences oftheprocess offorming rural agro enterprises in 5 CIALs. The objective was to identify and analyze what aspects pro mote the formation of these organizations within the context of the CIAL methodology and groups, providing a vísion specific to farmers interested in incorporating an entrepreneurial focus to production activities. Problem Identification The experience of forming rural agro enterprises (RAEs) in sorne community-based research services (CIALs) that have been conducting research for severa! years has not been assessed. This study proposed to identify and analyze the organizational and production principies and practices of five CIALs with RAEs in Cauca - Colombia. This study covers (a) the analysis of their formation, from the initial research period to the creation of the RAE, (b ) the diagnosis of the organizational and production characteristics that contributes to their maintenance and (e) the identification of the possible effects of a socio-economic nature, generated in the Committees and in their communities. The study will not only report back to the communities on these experiences, but will also generate information to orient other organizations in the national andjor international settin g that wish to forro other RAEs in the field. Background Since the seventies, the methodology of participatory research has not only influen ced the methods of social inquiry, but also a llowed rural communities to establish priority criteria based on an informal analysis of their context. Until 1998 the CIAL methodology had contri buted to the forma tion of 249 Committees in 8 countries of Central and South America (Ashby, 200 1) In Cauca Province, Colombia, the CIAL methodology was first developed in 1990 as a result of the direct intervention of the community a nd facilitators from the Participatory Research Project with Farmers (IPRA) a t CIAT. The CIAL, which is created a t the instigation of the community , is an organization directed by and for farmer s. This structure is designed to meet the needs of the community (mostly related to food security), which are then prioritised throu gh a participatory diagnosis that leads to the planning of the research process. Basically, farming methods and technologies that are not known locally a n d have not been tested in t he regíon are compar ed with the traditional practice, but sometimes this is not sufficient to accomplish the des ired results (Ashby , 2001). Their relative success affects t he strengthenin g and development of the community a t the local and regional levels. 50 Thesis student National University ofColombia, SN-3 Project, CIAT, Colombia 293 The influence or impact generated within the communities can be determined by evaluating the participatory processes oí the individuals, the distribution oí the benefits generated by the research, and the consolidation oí the RAEs. Then the advantages, successes or íailures are identified, and recommendations are made accordingly in order to enrich both the íunctioning oí each Committee and the CIAL methodology. Independent oí the impact that the research may generate in the community, sorne CIALs have interacted as a result oí training or experiences in neighboring communities or in the village itselí with alternative production systems that give an aggregate value to the agricultura! product. Thus the idea arose oí íorming a small-scale agro entrepreneurial system, which is influenced by the way in which the íarmers are associated and organized. In 1998 the Rural Agro enterprise Development Project at CIAT identified key factors for success based on eight RAEs in Colombia, Ecuador, Bolivia, Peru and Chile, oriented toward promoting the exportation of agricultura! products. The analysis was based on the physical, social and economic environment, the business organization, analysis of the product and competitive capacity. Among the key factors identified were business- oriented leadership, a drive toward self-management, availability of support services, links to the a lternat ive market, development of marketing strategies and business schemes with vertical integration (Lasso & Ostertag, 1998). In 2000, part of the small business experiences of 11 CIALs (Cinco Días Mujeres, ASOPANELA, El Placer, San Bosco Hombres, San Isidro Mujeres, El Diviso, Carpintero, Pescador, El Jardín, Santa Barbara and Betania) in Cauca was documented. Analysis of the results of that study, centered on the conceptualization of successful RAEs, and on recommendations or strategies for achieving them (Roa & Lundy, 2000) . At present there are lO groups (except for the last two and including the CIAL Santa Isabel) dedicated initially to research and then to the small-scale production of maize seed, common beans and peas, organic by-products from sugarcane, and bakery products from soy products. Research questions Based on the íoregoing issues, the study centers on the experiences of 5 CIALs with RAEs. The íollowing íramework of questions is used to determine the information requirements: What factors motivated the formation of the RAE within the CIAL? ¿How did this process evolve? ¿What are the organizational aspects that have favored that formation? What production and marketing factors have contributed to the permanence of these RAEs? What have been the main constraints to the normal functioning of the RAE? What are the effects of this process on the CIALs with RAEs, on their members and the community? The information gathered during the study will be important for the farmers involved in CIALs, both with and without RAEs, in the planning, analysis of the production work and in the formulation of projects. Methodology 294 In this research, which is explanatory in nature (i.e., why and how), social research strategies such as surveys, analysis of 111es, histories and case studies will be used (Yin, 1994) The research will not include experimental or quasi- experimental designs (rigid in their methodological structure), because the emphasis is on exploring the specific perspectives of the participants with respect to the CIAL experience, which are important for constructing the meaning and implications of the Committee for the community. Information related to production and marketing data of the Committee will also be gathered. Both primary and secondary data are being gathered. The design is based on an approach that integrates qualitative, participatory and quantitative methods: The process of forming an RAE in a CIAL will be desc ribed through formal, semi-structured individual interviews, group analysis and time-line. Then the organizational and production aspects of the 5 CIALs under study will be characterized (Gottret et al., 2000) (description of producers, the production process, the product and its marketing, among others), using participatory techniques (flowchart of activities) and formal surveys and semi structured interviews. The analysis of the information will not only be done in the final stage of the study. It will also be a key factor during the execution of the study, for which successive activities of ranking, analysis and recording of information will be done to revise the results, identify gaps and check the reliability of the same. Results Selection of CIALs with RAEs The research hypothesis is that there are organizational and production principies and practices that are key to success in the processes of forming RAEs in the CIALs and their sustainability over time. To test this hypothesis, the study sought to document the participatory and interactive experiences of farmer members of 5 CIALs that decided to form an RAE. Rural agroindustry is an "activity that permits increasing the value of the production of the rural economies through the execution of post harvest processes (e.g., selection, washing, classification, storage, conservation, transformation , packing, transportation and marketing) in products from agro-silvo-pastoral systems, fisheries and fish ponds" (Riveras, 1998). This concept makes it possible to differentiate those nona,gricultural production activities from others that could easily be confused. Therefore, the following CIALs situated in Cauca were identified according to their RAE experience relative for sorne. Table l. CIAL with RAE in Cauca Province, Colombia1 CIAL with RAEs Founded/ Municipality San Bosco Hombres: Feb 1 1991 Small-scale production of maize seed Santander de Quilichao Pescador: March 1 1991 Small-scale production of common bean seed Caldo no El Diviso: Sept. 24 1991 Small-scale production of maize seed Rosas Cinco Días Mujeres: March 12 1992 Production of bakery products from soybeans Timbío 295 ' " Founded / CIAL with RAEs ; Municipality ASOPANELA: April 28 1992 Production of panela2 Rosas El Jardín: Sept. 15 1993 Small-scale production of common bean seed Caldo no Carpintero: Oct. 6 1995 Small-scale production of common bean seed Morales El Placer: Aug. 22 1996 Small-scale production of maize seed El Tambo San Isidro Mujeres: Oct. 1 1996 Production of food from soy products Santander de Quilichao Santa Isabel: Oct. 1 1997 Small-scale production of pea seed Totoró 1 From IPRA Project database. 2 Uncentrifuged brown sugar patty. As there was insufficient information on the existing types of RAE, it was assumed that they could be subsistence agro enterprises or in the initial stages of development, which do not generate sufficient economic surpluses to be capitalized and that differ in the use of family labor. Prior to the selection, excluding criteria were identified: armed conflict (CIALs El Placer and Santa Isabel) and the amount of documentation (QAL El Diviso). A rapid poli was conducted in the remaining 7 CIALs with RAEs, using a semi-structured interview, designed according to criteria that integrate organizational and production factors, without becoming isolated from the context of the process of forming the RAE in the CIAL and its implications on the lives of the farmers and on the community. The criteria were conditions of poverty in the zone, gender, type of product and its influence in the diet, organization, complexity of the operations and research. San Bosco Hombres, Carpintero, San Isidro Mujeres and ASOPANELA were selected. Upon discussing the information from the poli of the selected CIALs, it was decided to include the CIAL Cinco Días Mujeres because studying the organizational problems that they are facing was considered to be illustrative (Table 2). In addition, two groups of committees differentiated as to the continuity of their research (e.g., the second group in addition to the RAE carries out farming activities that are not related to the research): CIALs with RAEs: CIALs that are RAEs: Carpintero and ASOPANELA San Isidro Mujeres, San Bosco Hombres and Cinco Días Mujeres The CIALs San Bosco Hombres, San Isidro Mujeres, Carpintero and Cinco Días Mujeres are located in different parts of the county seat and have basic services, primary schools, health centers and unpaved access roads. The CIAL ASOPANELA also has the basic services but is located along the Pan American highway, which has facilitated the effective marketing of their product. The final selection of CIALs also makes it possible to relate the contrasting conditions of poverty in the rones and their influence on the functioning of the RAEs. The research was distributed in the North (San Isidro Mujeres, and San Bosco Hombres in Santander 296 de Quilichao), Center (Carpintero in Morales) and South (Cinco Días Mujeres in Timbio and ASOPANELA in Rosas) of Cauca Province. 297 Table 2. CIALs with AERs selected. Small-scale production of maize seed. They process surplus grain in threshed maize, bran and meal, adding value to the urresh" product at two levels: the selection of the grain for seed and its physical transformation. The organizational structure of the CIAL Small-scale production of common bean seed. They do not carry out complex operations or have much infrastructure, but they dedícate a good part of their time to the production. The organizational structure of the CIAL They make bread from wheat flour, supplemented with soy flour. They have a production site and the equipment required for the production. The organizational structure is the CIALs 298 They produce bakery products from wheat flour. They have a production site and the equipment required for baking bread. They produce panel a in severa! forms. The leve! of complexity of their activities has been increasing as they advance in the process. Their marketing is successful, given the closeness of the production site to the Pan American San Bosco Hombres San Isidro Mujeres Carpintero Cinco Días Mujeres ASOPANELA does not function docs function (5 (5 people); at present structure of a ClAL (5 structure of the CIAL (constituted by 3 people), and they work they work as a team. people). They forro part is incomplete (3 people people) although they as a group during the They combine the time of the group that - relatives and another do work as a group. In production and dedicated to the RAE, makes bread. who does extension addition to the time marketing of the with fann work that work). They are al so dedicated to the RAE, product. contributes to the trying to obtain they also do other purchase of resources for farro work (crops) that ingredients. They are modifying the area contributes to the in the process of where they produce functioning of the getting a tax no, and the cane juice. RAE. resources through the UMATA. Research At present they are not They are doing At present they are not They are in the stage They are doing doing any research, research to improve doing any research for of evaluating trials research on two cane but are motivated to maize production. fear of losing the with the soybean crop. varieties and on begin on upland rice. investment in the alternatives for trials (as has occurred fertilization. be-forc). In the future they want to do research on green beans . Constraints At present the The long dry season Marketing and At present it shows At present they have gencration of income is and the high cost of standardization of organizational problems marketing not better because inputs are affecting production. pro blems d u e to lack their products in North they have not been the volume of of commitment among Cauca because able to meet the production. At the participants. This FEDEPANELA requires clients' orders, caused same time , marketing generates fights for a sanitary register that mainly by the climate, is affected by the low leadership, which in certifies good which has been frequency and high turn a ffect produclion manufacturing unfavorable for cost of the activities. practices. production. transportation and by their low supply cap_acity. 299 San Bosco Hombres San Isidro Mujeres Carpintero .. Cinco Días Mujeres ASOPANELA Future In the future they Improve the quantity Adapt the prod uction lmprove income and Adapt the panela want to have their own and quality of common site and contribute to product quality. processing area to site (bigger) for the bean and maize seed. improving the provide milling RAE activities, as well nutrition of the services to the as a shop for selling children in schools community. inputs anda and family welfare warehouse for storing homes; generale products. They want income. the RAE to provide services to the community and generate employment. - - --- 300 In addition to the foregoing selection process, another alternative of analysis was considered: statistical. Logistic regression (Hernández, 2000) establishes the relationship between the criteria and the degree of adjustment for each CIAL. To obtain the lOxlOquadratic matrix required for this tool, it was necessary to include additional information from three CIALs: El Diviso, Santa Isabel and El Placer (Table 3). This matrix is a step prior to graphic analysis. Table 3. Data matrix: Criteria against CIAL with RAE. Data Matrix ~· -' "'" .. ·,, Distribution of Frequencies of Acceptance ,. ·~ CIAL with RAE Criteria To 1 2 3 4 5 6 7 8 9 10 l. ASOPANELA 3 2 2 2 2 3 2 3 3 3 25 2. San Isidro Mujeres 3 3 3 3 2 3 2 1 1 1 22 3. Santa Isabel 3 2 3 2 2 1 3 2 2 1 1 21 4 . San Bosco 3 3 2 2 3 2 2 2 1 1 21 5. Pescador 3 2 1 1 2 2 2 2 3 3 2 1 6 . Cinco Días Mujeres 2 2 2 3 2 3 2 1 2 2 21 7. Carpintero 3 2 3 2 2 1 2 2 1 1 19 8. El Diviso 2 3 1 2 2 2 2 2 2 1 19 9 . El Placer 1 2 3 2 2 1 1 2 1 1 16 10. El Jardín 2 2 2 1 2 1 1 1 1 1 14 Total 25 23 22 20 2 1 19 19 18 17 15 185 Selectio'íil(Criter:ia: , ..• ,~ -'·' il \~: ,· .~~ "·;¡ ·~· ?}.<"•' v'"'i~ • q.:~'; ~ .; r 4~ -~ ~· : • 'lo.• •• ,. ~.· l. Time dedicated to the RAE 2. Contribution to food security 3. Organization of the RAE 4. Capacity for self-management of the RAE members 5. RAE-community interactions 6 . RAE production conditions 7. Reaching RAE objectives 8. Age of the RAE 9 . Marketing 10.Conditions of the zone In the regression analysis, the criteria for selecting the CIALs were predetermined (Ta b le 4). The criteria were assigned valu es on a scale of 1-3. A 1 indicates that the CIAL has little relation to tha t criterion vs. 3 for a high relation. In this way, each CIAL was graded for each criterion, generating a matrix, which was then analyzed using logistic regres sion. In Figure 1 the CIALs are represented by curves. The most related to th e criteria have the highest percentages on the Y axis; the contrary corresponds to the lowest pe rcentages. The results of the matrix express cumulative percentages of the criteria used in selecting the CIALs. Three probability zones (high , intermediate, low) were distinguished, depending on the concave, convex and approximate line of each curve, respectively. CIALs with RAEs in each zone were selected. In the zone of greatest concordance, were the CIALs San Isidro Mujeres, Carpintero and San Bosco Hombres; from the zone of 1owest concordance, ASOPANELA; and from the zone of intermedia te concordance, the CIAL Cinco Días Mujeres. Figure l. Comparison among CIALs with RAEs . Co!ll>ariSOn arrong 0Als with agroenterprises 100% ... 90% S:: "' 80"/o t o c. 7CJ'/o E 1ii "' 60% o·;: ~ ~ 5CJ'/o .... ·;:: ' ~ (.) 40"/o C) .13 30% S:: Q) (.) 20% ... Q) C.. 1CJ'/o (J'fo~---- ------~--------- 0 2 3 4 5 6 7 Criteria used in selecting CIALs • &vlBosco + 8 [)jo,iso + earpntero • s Jasdn • 8 Aacer B 9 10 - Ftiirónica {~) U pon comparing the results of the selection by qualitative and quantitative methods, a great similarity was found in the results although the sample of CIALs with RAEs was not large. Executing the research Progress made Progress has been made in obtaining primary information on the background, through the application of semi-structured interviews in the CIALs Carpintero, Cinco Días Women and San Isidro Women. In San Isidro Women and Carpintero, group interviews were held in order to characterize the RAE. Difficulties Although there were delays in executing the study beca use of the coffee harvest, the people were willing to collaborate. As of the second semester, both the men a nd women farmers had more time to dedícate to activities outside their routine work. 302 The initial Log Frame for the research proposal did not consider the assumption of other parallel research such as a study of evaluation of impact, which is being developed in three CIALs. It was proposed to make an effort to decrease the time of fieldwork so that the methods used had to be as efficient as possible in gathering the required information. The farmers do not keep records or secondary information to provide details on important situations in their development process as agro enterprises. Thus it was necessary to rely on participants' memory, delaying th e fieldwork and perhaps introducing imprecision due to the passing of time. Lessons learne d The dialogue and group interviews are tools that have allowed the recording of information to evaluate priority aspects considered in the semi-structured interview and in the formats. It is necessary to adapt the proposed methods to studying each CIAL, given the fact that they operate in totally different contexts. Apparent similarities do not necessarily give way to generalizations. Refere nces Ashby, J.A.; Braun, A.R.; Gracia, T.; Guerrero, M. del P.; Hernández, L.A.; Qu1rós, C.A.; Roa, J. I. 200 l. La comunidad se organiza para hacer investigación. CIAT (Centro Internacional de Agricultura Tropical), Cali, CO. p. 27-28. Gottret, M.V.; Guy, H.; Dofour, D. 2000. Caracterización de la agroindustria de procesamiento de almidón agrio en el Departamento del Cauca. CIAT (Centro Internacional de Agricultura Tropical), Cali, CO. 21 p. Hernández R., L.A. 2000. Regresión logística en el análisis de preferencia: Manual con matriz en Excel 7.0. CIAT (Centro Internacional de Agricultura Tropical) - Proyecto IPRA (Investigación Participativa en Agricultura), 26 p. Lasso, L.P.; Ostertag, C.F. 1998. Análisis de factores claves de éxito de agroempresas rurales en la Zona Andina enfocadas hacia la expor tación: Metodología y resultados. CIAT (Centro Internacional de Agricultura Tropical)-Proyecto Desarrollo de Agroempresas Ru rales, Cali, CO. 12 p. Riveras, H. 2000. Agroindustria rural: Conceptos, características y oportunidades. In: Curso Internacional sobre la Promoción de la Agroempresa Rural para el Desarrollo Microregional Sostenible, Módulo 1: Desarrollo Rural: Desafíos y Oportunidades. CIAT (Centro Internacional de Agricultura Tropical)-Proyecto Desarrollo de Agroempresas Rurales, Cali, CO. Available in: http: j j www.ciat.cgiar.org/ agroempresas/ espanol j Rec_de_info / memoriasiicurs j inicio.htm Roa, J .l. ; Lundy, M.; Escobar, F. 2000. Realizando sueños empresariale s e n el campo. In: Memorias Primer Taller Proyecto Fondo Chorlavi. CIAT (Centro Internacional de Agricultura Tropical), Cali, CO. 26 p. Yin, R.K. 1994. Estudios de caso: diseño y métodos. Síntesis en español de: Case study research design and methods. v. l. Sage Publications, Thou sands Oaks, 33 p. 303 Poverty and rurallivelihoods in Uganda, Malawi and Tanzania: A baseline study of BAPPA project sites Researcher: Soniia DavidSI Introduction In 200 1 the International Center for Tropical Agriculture (CIAT) embarked on a new project entitled, "Beyond Agricultura) Productivity to Poverty Alleviation" (BAPPA) . CIAT, one of the Future Harvest Center s of the CGIAR (Consultative Group on Internationa l Agricultura! Research), has worked in eastern and southern Africa since the early 1980s, prima rily focusing on increasing bean productivity among small-scale farmers in partnership with national R&D partners. CIAT's mission is to reduce hunger and poverty in the tropics through collaborative research that improves agricultura ! productivity and natural resource management. To achieve this goal, CIAT must go beyond improving food supply to address the underlying causes of poverty. The BAPPA project represents a greater emphasis on CIAT's work on integrated community development, building on gains in bean productivity but going beyond productivity issues. While increasing food supply is often a necessary condition for improving food security, increases in food supply and rural incomes do not guarantee improved rural livelihoods and food security at the household leve!. Farmers' financia! benefits from agriculture are often reduced by their limited opportunities for adding value to their agricultura! produce, poor marketing information and low bargaining power with middlemen. Unless resolved at the household leve!, factors such as chronic d isease, lack of clean drinking water, gender bias, poor knowledge of nutrition and sociocultural practices may undermine the adequate utilization of available food. The BAPPA project aims to address the bottlenecks that h inder farmers from benefiting fully from research-generated agricultura! technologies. Recognizing that none of this is new territory to many NGOs, the project's strategy to achieve this objective by forming strong, holistic , interdisciplinary partnerships with development organizations. The project has 5 outputs: Catalyze improved organizational capacity in pilot communities Support farmers' experimentation and application of technical skills Develop an approach to strengthen community capacity to invest their potentially higher income in alleviating poverty Assist farming communities to protect their environmental resources Senior Scientist, CIAT-Africa, P.O. Box 6247, Kampala, Uganda Support women's empowerment and leadership at the community leve! The BAPPA project works in 3 pilot sites in eastern and southern Africa: Kabale District in southwestern Uganda, Dedza District in central Malawi and Lushoto District in northern Tanzania. These si tes were selected on the basis of two main criteria: impact achieved from bean technologies and presence of a willing NGO collaborator. In Ka bale the project operates in 2 villages in Rubaya Subcounty and is implemented in collaboration with Africare, a US-based NGO. The project began work in May 2001. Concern Universal, a UK-based NGO implemented the project in two villages in Linthipe EPA for one year starting in July 2001 , but pulled out in 2002. In Lushoto District, the project has been operating in a village in Soni Ward since January 2002and is 51 Senior Scientist, CIAT-Africa, P.O. Box 6247, Kampala, Uganda implemented by TIP (Traditional Irrigation Project), a local NGO. Project activities were initiated. To monitor the impact of the project and assess change, a baseline study was carried out during the first year of the BAPPA project. This report presents the results of that study, which was loosely based on the sustainable livelihoods framework (Carney, 1998) which focuses on a comprehensive view of the livelihood circumstances of the poor including ownership of assets, livelihood activities, factors contributing to their vulnerability and the relationship between relevant factors at micro, intermediate and macro levels. This paper explores the following dimensions of rural livelihoods in relation to the five project outputs (Table 1 lists indicators used to measure key variables related to major project outputs): Household resources Poverty and vulnerability Social capital, participation and conflict Agricultura! production and food security Land use and management Gender relations Methodology 8oth participatory rural appraisals (PRAs) and formal surveys were used to collect baseline data in the three study sites. PRAs were conducted over 1-2 days and involved activities such as visioning and group discussions on the gender division of labor, wealth ranking, p rices and crop calendar. Formal surveys took place during the first season of project activities: November 2001 in Rubaya, November-December 2001 in Linthipe, and June 2002 in Soni. Key informants from each study village were involved in wealth ranking, and the results were used to assign surveyed households to wealth groups. As wealth categories identified in the three sites are not necessary comparable (i.e., wealthy in Soni is not the same as in Linthipe), descriptions of each wealth are provided in the appendix. 305 Table 1: Indicators used to measure livelihood variables Variable Indicators Comments Livelihood Sex and age of head of household , household size, educational and Successful asset accumulation "often involves assets literacy leve! of the head of household and partner, no. of school age trading-up assets in sequence"; e .g., chickens children out of school, household labor, dependency ratio, a nnua l to goats to cattle to land (Ellis et al., 2002); no agricultura! income, sources and importance of nonfarm income, information was collected on overall household owners hip of livestock income Socia l capital Group membership, technology / knowledge diffusion pathways, The existence of indigenous groups and participation in NGO activities technology and information diffusion pathways a re indicators of the bonds of social trust and ¡ social networks; par ticipation in NGO activities is a measure of linking social capital Poverty and Household wealth status, borrowing and saving behavior, investment Rising prosperity depends on having multiple vulnerability priorities , coping strategies in emergencies opportunities for asset accumulation. Respondents were asked what they would invest in if their income were to double. Agricultura! Crops produced and purpose, multiplication rate of major crops, produc tion adoption of modern crop varieties, use of inputs, seed sources, proportion of crops sold, marketing constraints Food sccurity Food shortages and reasons for them, how long the harvest lasts, no . of mea ls eaten during the hunger period Land use and Location of farm land , erosion control measures, measures for ma nagement improving soil fertility , tree planting behavior Pa rticipa tion Optimism about the ability to bring about positive change locally, The extent to which people are willing to act a nd conflict participa tion in collective action, social divisions and conflict, collectively to solve social problems is a good changes in the leve! of theft, willingness for children to become small- indication of the leve! of social cohesion scale farmers Gender Areas of conflict between married couples and decision- making relation s patterns and differences in perceptions by husba nds and wives, school attcndance by boy s and _girls 306 The formal survey covered a random sample of households from project villages plus a third nearby nonproject village. Table 2 shows the sample size and breakdown by location. Interviews were divided into two parts: the first general section addressed the farm couples, where applicable; the second part was conducted individually with male and female farmers. The interview schedule covered the following tapies: household characteristics and resources, agricultura! enterprises, use of inputs, marketing, environmental issues, tree planting, household well- being, savings and credit behavior, group membership, intrahousehold decision making and conflict, social participation and conflict. All quantitative information related to income, savings, borrowing and crops yields were based on farmer recall. Due to the unreliability of income data collected through recall, farmers were only asked to report on agricultura! income. The first part of the interviewed covered household-related tapies, while the second part was conducted separately with h u sbands and wives. In Rubaya, 52% of the first part of the interview was conducted with women, 40% with farm couples and 8 % with men alone. In Linthipe, 43% of the interviews were held with couples, 37% with women alone and 20% with men alone. In Soni, 78% of the interviews were conducted with couples, 19% with women a lone and 2% with men alone. Table 2. Sample size (no. of households). Rubaya, Uganda Linthi~e_!_ Malawi Sonh_ Tanzania Sample Population Sample Population Sam_E_le Po_E_ulation Project Muguli B: 32 63 Mnthala 160 Shashui 107 villages Kalambo: 30 53 :49 36 Yazini: 31 Nonproject Rukole: 30 53 Chikond 79 Vuga: 469 village e: 41 Total 92 169 121 275 83 576 sample size Data analysis relied on descriptive statistics; namely, frequencies, means, t test and ANOVA to compare means. To assess and compare men's and women's investment priorities, frequencies and ranked data were converted to scores for more accurate comparison. Variation within study communities was analyzed along three dimensions: wealth, gender and location (village and country) with the objective of exploring how social differentiation affects people's experience of poverty. Results and discussion: Cross-site comparison and recommendations When poverty is measured by factors such as income, ownership of assets and access to resources such as credit, land etc. and vulnerability, the picture that emerges from the three s i tes is one of varying levels of poverty across and within them. Of the three sites, farmers in Soni (Tanzania) were rela tively better off, enjoying the highest annual agricultura! income ($149). Poverty was most acute in Linthipe (Malawi), while Rubaya (Uganda) represented a situation of moderate poverty. The following section analyzes poverty within and across the three communities in the context of four dimensions: agricultura! production, livelihood activities, ownership of assets and vulnerability. Agricultural production and live lihood activities In all three sites agriculture was the predominant economic activity. Farmers in Soni had the most diverse portfolio of crops, including at least 7 cash crops. In contrast, farmers in Rubaya and Linthipe grew sorne crops mainly for subsistence, many for both 307 consurnption and sale, and relied on only one or two crops exclusively for cash. There was, however, in these two sites, evidence of diversification of cash crops: Soybeans, potatoes and paprika in Linthipe and coffee, wheat and pyrethrurn in Rubaya. Additionally, in Linthipe there was evidence of food crop diversification, away frorn the traditional dependence on rnaize to increased production of cassava and sweet potatoes. As this and other studies (David, 1999) show, the absence of traditional cash crops contributes to food insecurity, with farrners falling into a cycle of selling large parts of their food crop harvests when prices are low a nd buying those sarne foods when prices are high. Significantly, although farmers in Soni bought rnaize and beans when they experienced food shortages, unlike farrners in the other two sites, they did not attribute shortages to food crop sales . This study investigated the uptake of crop varieties and land rnanagernent technologies. On the whole, the adoption of introduced crop varieties at the study sites was rnoderate to high, but yield estirnates for sorne crops such as potatoes and rnaize suggest that farrners had not benefited fully from the yield advantages of introd uced varieties beca use of their failure or inability to carry out good agronornic practices (e .g., fertilizers or use of "clean" seed in the case of potatoes). In addition, in areas where NGOs were involved in seed dissernination, the low adoption of sorne bean varieties (climbing beans in Rubaya, Bush beans in Linthipe) was unexpected. One possible explanation may be related to the practice of one-time seed dissemination by NGOs and farmers' difficulties in retaining seed of new varieties (David & Sperling, 1999), especially in comrnunities where informal social networks are weak, which is not conducive to rapid seed diffusion. Uptake of land management technologies provides insight into the types of support farmers and cornmunities need to facilitate adoption. As the Linthipe data suggest, Concern Universal's input in terms of training and follow-up was largely responsible for the high adoption of land management technologies. The significant increase in the digging of trenches in Rubaya at the start of the BAPPA project highlights two basic ingredients needed for effective NRM and cornrnunity development generally. Prior to 2001, few households in Rubaya had dug trenches to control erosion and reclaim gullies despite farrner s' awareness of the technology. The BAPPA project organized farmers into groups to dig trenches across plots belonging to severa! households and provided digging tools. This intervention subsequently led village leaders to establish bylaws requiring all households to dig trenches. At al! sites the combination of Jow agricultura! productivity and limited market opportunities has increased household dependence on nonfarm activities. The high proportion of Linthipe farmers involved in nonfarm activities, for example, is a reflection of poor agricultura! performance and chronic food insecurity in Malawi due to drought, Jow soil fertility and the inability of most households to achieve self-sufficiency in maize. Farmers' attempts to minimize risk by opting for a dualistic strategy of intensifying agricultura! production while seeking off-farm employrnent as a short-terrn survival strategy are clearly evident in their investment priorities. Farmers in Linthipe and Soni attached a high premium to purchasing chemical fertilizer, while farmers at all three sites showed a strong interest in business. While nonfarm activities offer a potential pathway out of poverty for rural African households (Ellis et a l., 2002: 17), the types of opportunities available to farmers are limited; and sorne may even contribute to Jow agricultura! performance. Four areas of off-farm income-generating activities were common to the three sites: casual labor, pet ty trade, brewing and salaried employment. A recent study in Malawi (McDonagh, 2002) shows that, while casual labor is an effective survival strategy, it forces many farmers- the poor in particular- te neglect their own fields at key periods during the 308 farming season. The study concludes that the overall effect of casual labor on farrn- based livelihoods is negative. Dueto high start-up costs and limited credit opportunities, relatively few farmer s in the three communities were involved in remunerative off-farm self-employment activities such as maize milling, carpentry and poultry, which could serve as pathways out of poverty. Indeed, farmers' investment aspirations highlight the need to expose farmers to new business ideas. Across sites, men were more likely than women to engage in off-farm income-generating activities and had a more diverse portfolio of activities, including more skilled activities such as salaried employment. Male migration for casual employment was found only in Rubaya, an area of low ma1e invo1vement in agriculture. Aside from petty trade, women tended to engage in relatively low-paying activities such as casual labor, brewing and handicraft production. Asset ownership The key assets of rural African households are land, livestock, labor, education, implements and tools, networks that increase trust, ability to work together, access to opportunities and informal safety nets. Access to enough productive land for crop cultivation and livestock is crucial for the rural households to generate a viable living. In Rubaya there was evidence that the poorest households had least access to land in the wetlands, the most suitable land for patato and vegetable production. In Linthipe better-off farmers cultivated significantly larger land holdings in both the uplands and dambos (river beds). Ownership of agricultura! tools and use of agricultural inputs are also associated with improved well-being as they enhance agricultura! productivity and the latter in turn permits further investment in inputs. Farmers' inability to dig trenches in Rubaya for lack of appropriate tools illustrates the association between ownership of agricultural tools and poverty. A key reason why farmers in Rubaya did not dig trenches to control soil erosion was lack of tools. At all si tes wealth was strongly correlated with livestock ownership; however, the importance of livestock líes in substituting lower value livestock (e.g., chickens, small ruminants) for higher value livestock (cattle, pigs, donkeys}, the type and number of livestock owned is key to achieving rising assets over time. While most households surveyed owned chickens, only the wealthiest households owned cattle, pigs or donkeys. In Soni a third or more of the livestock owners kept cattle and small rurninants, whereas in Rubaya and Linthipe few households owned cattle. In those two sites, aside from chickens, most households had an average of 2-3 goats or sheep, not enough to make a signíficant contribution to poverty alleviation. Not surprisingly, farmers in Rubaya and Soni attached high importance to livestock asan investment priority. Livestock received lower priority in Linthipe because of the high risk associated with theft. Survey data confirm that the amount of available household labor contributes to household well-being. Households in Soni had the highest number of productive workers; and notably in Rubaya and Soni, but not Linthipe, wealthier households hada significantly higher number of productive workers. Rubaya had the lowest number of productive workers dueto the high number of men and women engaged part time in agriculture and the resulting high dependency ratio. The lack of correlation between wealth and household labor in Linthipe may be related to the observations by a recent study that except for livestock holding, there were few significant differences in the assets profiles (defined as household size, education, ownership of tools, land and livestock) of different income groups in Malawi (Ellis et al., 2002). At the community level, Soni had the highest proportion of formally educat ed farmers, both male and female; while farmers in Linthipe were the least educated. At the 309 household level, however, there was a correlation between wealth and educational leve! only among men in Linthipe. Education contributes to poverty alleviation through various direct and indirect mecha nisms-an area not explored in thi s s tudy. Significant differences existed among the communities in terms of membership in indigenous groups, with Rubaya having the highest number of groups and proportion of households belonging to groups. Soni had the n ext highest number of local groups and number of households belonging to groups, while there were few indigenous groups in Linthipe. Local groups played various functions including providing informal safety nets for burial assistance, transportation to hospital and obtaining credit, facili tating savings and the exchange of new technologies and information, providing services such as labor exchange and generally strengthening social cohesion among kin-based groups. Wealthier households in Rubaya and Soni had more members involved in groups, presumably because of their larger size and better access to resources (e.g., time, money, skills). Surprisingly, there was no difference in the number of men and women belonging to groups. In Linthipe and Soni, government and NGO- created groups were carrying out development activities. The basis on which these groups were formed and the subsequent implica tions for their sus tainability after d evelopment projects end, are issues of concern and require further research. Vulnerability and gender considerations Rural households in the three study sites and throughout Africa are subject to calamity trends, exte rna! shocks (such as drought) and seasonality in health, prices, agricultura! p roduction, employment opportunities and resource availability-factors that a re outside their control. Ill health, particula rly mala ria and HIV / AIDS, was an important shock not investigated h ere. As noted by a recent s tudy in Malawi and Tanzania, rural households are unable to p lan a head and therefore cope with illnesses with short-term survival s trategies, resutting in ne t welfare, cash a nd capacity loss, which weakens the capacity of households to genera te work (Koestle, 2002). Across sites, drought , crop failure , food shortages, insufficient capital, low prices and lack of markets were common shocks. In a number of instances, farmers showed great innovation, often without externa! assis ta nce, in tackling major shocks. For example, in Rubaya, farmers re sponded to the devastating effects of bean root rots by spontaneously adopting more tolerant climbing beans. In line with government policy to comba t the effects of drought, farmers in Linthipe had diversified their food crops and were growing more drought- tolerant crops such as cassava. Crop divers ifica tion was a general response to vulnerability observed a t all three s ites, but was most successful in Soni due to severa! factors including favora ble climatic conditions, proximity to urban markets and strong institutional support for horticultu ra! production dating back to the late 1960s (pers. comm., R. Kirkby). Coping strategies were s imilar across sites, with most households reducing the number of meals eaten during t he "hungry season," borrowing money from friends and relatives, working for food or money, and borrowing or buying food. To cover educational and health expenses, farmer s wer e often forced to sell crops, land or livestock, contributing to the poverty cycle. Local groups played a n important safety net role by providing credit in Rubaya , but farmers everywhere tended to seek assistance from friends. Vulnerability may be exacerbated at community leve! by a high leve! of social division tha t prevents communities from engaging in collective action to address common p roblems. The majar social divisions identified in the study communities were asset related (access to la nd, including wetla nds, wealth , ownership of livestock, education). Interestingly, a high proportion of farmers in the poorest communi ties (Linthipe a nd 310 Rubaya) perceived an increase in the level of theft, suggesting an association between poverty, theft and social divisions. Although Rubaya was the only site where survey respondents highlighted poor relationships between men and women as a socia l problem, the study consistently documented women's disadvantaged position and greater poverty in the three communities. Generally, women were less educated, saved and borrowed smaller amounts of money compared to men, had less decision-making power than men, and owned fewer productive assets (livestock, land). While analysis of conjuga! decision- making data was problematic, the findings across sites suggest that women rarely make agricultura] or persona1-1eve1 decisions on their own. Cultivation on personal plots, which allows married women more economic freedom, was only found in Soni, the most market-oriented location. Typically, women had greater control over smaller amounts of income. At all sites, the dominant male decision-making pattern gives rise to marital conflict. Women had higher workloads compared tomen, largely dueto their domestic responsibilities; but in the case of Rubaya, also as a result of male migration and men's lower input in agriculture over all. The proportion of female-headed households was high across sites, particularly in Rubaya; and everywhere those households formed a disproportional number of the poorest gro u p. Surprisingly, the study did not reveal strong educational discrimination against girls, possibly because most children in surveyed households were at the primary level, where girls face less discrimination. Still, this finding represents an important advance in the education of girls. Across sites, women complained of similar marital problems: conflicts over money and decisíon-making, failure of men to work and provide for their families, drinking and domestic violence. Marital problems shared by men in the three communities included conflict over money and decision-making and wives' disobedience. Conclusions Although this study presents a rather dismal snapshot view of the three communities, farmers at a ll sites-but especially in Soni, where living standards were better-were relatively optimistic about the future, with half or more wanting their children to become small-scale farmers. Growing evidence indicates that the key to developing pathways out of poverty in rural Africa "is a cumulative process that requires the ability to build assets and diversity across farm and non-farm activities" (Ellis et al., 2002). Farmers in the BAPPA project sites, in conjunction with development partners, have started this process. The BAPPA project, a unique partnership between an agricultura! R&D institution and NGOs, can build on progress made and make unique contributions to poverty alleviation. Recommendations Based on the study's findings, sorne specific recommendations for pr.oject interventions that complement on-going activities include: Developing creative, workable mechanisms for credit provision and identifying strategic partners who can develop credit programs that cater to the needs of both men and women of different wealth categories Helping men and women farmers build assets, particularly livestock holdings Training farmers to identify market opportunities and working with them to carry out diverse nonfarm economic activities Improving farmer access to agricultura! inputs through credit and more creative programs 31 1 Strengthening farmers' capacity to form and manage both social and entrepreneurial group s based on a sound understanding of social ties and existing groups Identify partners that can improve farmers' literacy levels Develop sustainable technology-dissemination mechanisms Redress gender inequalities in workload, decision-making and income levels by raising awareness among adults and especially children, introducing labor- saving technologies for women and d iversifying women's nonfarm economic activities. References Carney, D. 1998. Sustainable rurallivelihoods: What contribution can we make? Department for International Development (DFID), London. David, S. 1999. Beans in the farming system and domestic economy of Uganda: A tale of two parishes. Network on Bean Research in Africa, CIAT (Centro Internacional de Agricultura Tropical), Kampala, Uganda. (Occasional Publications Series No. 28) David, S.; Sperling, L. 1999. Improving technology delivery mechanisms: Lessons from bean seed systems research in Eastern and Central Africa. Agriculture and Human Values 16:38 1-388. Ellis, F.; Kutengule, M.; Nyasulu, A. 2002. Livelihoods and rural poverty reduction in Malawi. Department for International Development (DFID), London. (LADDER Working Paper no. 17.) 312 - ~ - ~ ~ ' . ~- - - - --r-- ---- Date N ame 1 Position Institution Country In Charge 2002 Oct24/02 Efraín Rodríguez Director Fundación Amazónica Los Colombia, Putumayo. José Ignacio Churumbelas Roa Oct 31/02 Otoniel Villegas y Universidad Autónoma Colombia, Cali. José Ignacio 1 Elizabeth Muñoz. Centro de Información Roa [ Oct 31/02 German Bashemheimer Universidad Autónoma, comunicación. Colombia, Cali. José Ignacio Roa Oct 31/02 Andres Perafán Universidad Javeriana, Macroproyectos Colombia, Cali. José Ignacio Roa Oct 31/02 Leonardo Duque Universidad Javeriana, Director Colombia, Cali. José Ignacio Postgrados Roa Nov Edson Gandarillas Fundación PROINPA Bolivia. Susan Kaaria, 12/ 02 Carlos A. Quirós Nov Pilar Lizarraga y Carlos Fundación JAINA, Coordinadores Bolivia Susan Kaaria, 12/ 02 Yacaflorez Carlos A. 1 Quirós Nov. Mr. And Mrs. Jean Marc Canadian Ambassador and Wife CIAT, Cali Susan Kaaria 22/2002 Duval Aggregate Humanitarian lssues. Embassy Anna Knox Mr. Andre Hoovert of Switzerland Rupert Best Advisor, Embassy of Japan Mr. Luis Vargas Policy, Culture and Cooperation Advisor. Mrs. Anne Sophie Berche Embassy of Belgium Die 9 / 02 Marino Valderrama profesor Profesor del instituto e integrantes de un Colombia, Valle. Carlos A. del Instituto técnico de proyecto con la Universidad Nacional. Se Quirós Roldanillo y 8 ganaderos de hizo una gira a la estación del CIAT en José I. Roa la región .. Quilichao. Die 19/ 02 Wessel Eyman Director RED CAPA Chile Susan Kaaria Die 19 / 02 Nora Presno Coordinadora RED CAPA Chile. Susan Kaaria 2003 Enero Reinaldo Vélez Coordinador Medio Ambiente y Territorio Colombia, Vaupés. José Ignacio 2 4 / 03 del CRIVA. Roa March 10, Edgar Guardia Director Ejecutivo FDTA-Valles Cochabamba, Bolivia Carlos Arturo 2003 Quirós ---- - 3 13 Date Name/Position Institution Country In Charge 2002 Vicente Zapata Luis A. Hernández Elías Claros Fen1ando Hincapié May 19, Dr. Hari Har Ram Professor Vegetable Breeding and Head, India Susan Kaaria 2003 Vegetable Science and Nodal Officer, Pantnagar Centre for Plant Genetic Resources Dr. R. K. Pant India Technical Coordinator, Diversified Agriculture Support Project, Uttaranchal, Dehradun, Vasant Vihar M ay Nic llogcnl>oom Consultores PREDUZA Ecuador Carlos A. 30/03 JciTcr y Ucn llcy Quirós June 11, Dr. Gary Toenniessen Director, Food Security Division, USA Susan Kaaria 2003 The Rockefell er Foundation, New Yor k July 7/03 Jesús Antonio Cabildo indígena de Silvia. Colombia, Cauca José Ignacio 1 Tumiña/ Responsable de los Roa ! Recursos Natura les Julio Patricio Ponce y Jimena Fundación MANRECUR Ecuador, El Ángel José Ignacio 14j03 Tapia. Carchi Roa July 14- Cecilia Cabascango Técnicos de MANRECUR ECUADOR. José l. Roa 15/03 Teresa Carlosama Ximena Tapia Aldemar Nejer Luis Ponce, Mauricio Lara Patricio Ponce Edwin Revelo July Juan Pablo Higuera CORPOlCA, Medellín Colombia Elías Claros T. 29/03 Jorge L. Cabrera Fernando - - -- 314 Date Name/Position Institution Country In Charge 2002 Hincapié Agosto Bernardo Rivera / director Universidad de Caldas Colombia, Caldas José Ignacio 6/03 maestría Sistemas de Roa Producción August Erika Eliana Mosquera AGROEMPRESAS RURALES, SIDER, Cali Colombia Jorge Luis 26/03 Cabrera August Mariela Quintero Innovación Rural, Cali Colombia Jorge Luis 29/03 Cabrera Sept Fabio Trujillo Benavides Secretario de agricultura Nariño, Colombia Carlos A. 25/03 Fabio Gomez Director Ejecutivo, FAS Valle, Colombia Quirós Sep 28/03 Efraín Rodríguez Fundación OIKOS Colombia, Mocoa José Ignacio Roa -- 3 15 Miles tones School-age children acquire basic concepts of PR in theory and practice. «Sharing leaming exp eriences" - Workshops amongorganizations that have begunjoint work in Central America, CIAT, CIPASLA and community groups in Cauca Province, Colombia" Researchers:José J. Roa52, Lucy Figueroa,5 3 Carlos A. Quirós,5 4 Rodrigo Vivas, ss Alfonso Truque56 Highlights Central American organizations of young people reorient their attitude and execution of their projects as a result of interacting with the farmers' organizations constructed on the basis of participatory methodologies Abstract The purpose of these workshops is to promote interactions among networks of young people supported by the Kellogg Foundation and farmers' organizations based on participatory models and to get to know firstha nd th e difTerent participatory processes of the models that the Participatory Research Project (IPRA) at CIAT has been investigating in the communities in Cauca Province, Colombia. The strategy consisted in organizing field visits so that the visitors could leam about the processes of CIPASLA (Institutional Consortium for Sustainable Agriculture on Hillsides) and the different projects that support CORFOCIAL (Corporation for Promoting CIALs) and the research activities of the CIALs (Local Agricultura! Research Committees). The community projects analyzed have components of adaptive research, production, transformation, marketing, communication, education, gender and natural resource management. The most outstanding outcomes mentioned by the participants were the importance of the participatory methodology, where the projects should arise from a need felt by the community itself; the importance of transmitting basic values that should be passed on to the new generations; respect for the land and the environment; and a feeling of loyalty, commitment to the process and to joint work. They also understood the importance of good project admini stration, clear rules, equity and technical support committed to the process of participatory research, which underlies the whole process . Identification of the problem The need to deal with situations that are more complex each day, such as the ever-increasing hunger and deterioration of natural resources, leads us to think about the need to involve the local actors in a broader R&D agenda, in which all those involved should participate. Participatory methods are an alternative tool for fa cilitating these processes and enable each actor to be heard and take part in 52 Research Specialist, SN-3 Project, CIA T, Colombia 53 Consultan!, WK Kellogg Foundation. 54 Research Associate I, SN-3 Project, CIAT, Colombia 55 Technical Coordinator, CIPASLA. 56 Administrator, CORFOCJAL. the decision-making. Without these conditions. many projects have had negligible impact despite years of work and high investments. For this reason the active participation of the project beneficiaries is becoming more important so that they are able to take part in the development of their future. The role of the outside actors is to facilitate the processes in integrated teamwork and identify technological alternatives that respond to the local dema nds. Background With the spirit of integrating the projects financed by the Kellogg Foundation (WKK), the IPRA project was invited to participate in "The Second Meeting of Projects in the Initiative of Human Nutrition in the Latín American and Caribbean Region," held in San Salvador from 3-9 December 2000. At this event the CIAL methodology was made known. It was seen as an altemative that could possibly be applied in other areas such as health and education. La ter we received the visit of the Directors of Programs of Latín America and the Caribbean, Drs. Jana Arriagada and Heliodoro Días, who had the opportunity to talk personally with member s of sorne CIALs in Cauca, and they were also able to leam about the interinstitutional model, CIPASLA. This experience-being able to converse with the actors of local organizations, visualize their accomplishments, their capacity to manage their organization and their projections- showed the importance of having other Fou ndation-supported projects or farmers' organizations interact and leam about these experiences. Given the foregoing, the IPRA Project at CIAT proposed to develop a milieu, where the organizations involved in the CIALs and CIPASLA and organizations from four interinstitu tional projects in Central America could interact. The projects selected were part of the Youngsters Networks of Nicaragua, El Salvador and Guatemala. In each case a group of ten or more institutions form a network, a consortium or an association that has received financia! support to strengthen a style of joint work, where they lead the local development of a selected geographic area, with participation of the community, especially the younger people. Methodology The methodology consisted in conducting a sensitization exercise, priorto the field visits to CIPASLA, CORFOCIAL and the CIALs, on theoretical aspects and the way in which the participatory models ha ve been implemented, as well as sorne of the results obtained. For two days days they visited the different p rojects that forro part of CIPASLA ,ASOBESURCA, accompanied by the Director of CIPASLA, Rodrigo Vivas ,and These projects have components of adaptive research, production, t ransformation, marketing, communication, education, gender and natura l resource management, among others. At these si tes they had the opportunity to interact directly with the actors of the process and explore different aspects of interest to the visitors in much greater depth. On the third day the participants had the opportunity to visit sorne CIALs, where they could see methodological steps being applied and the adaptive research trials that they carry out. They were able to interact, with the farmers and the administrator of CORFOCIAL, Alfonso Truque At the end of each day, discussions were held among the participants, with the aim of extracting the lessons learned (positive andjor negative) from each of the experiences. 317 The las t day of the workshop, a summary was made of what had been observed, the workshop was evaluated, and a list of tasks was made, including commitments on the part of the participants with respect to what they would do when they retumed to their countries in order to strengthen their networks, taking into account their respective conditions. Actívities Basically fiveactivities were undertaken: Presentations on the theoretical framework and resul ts obtained with the pa rticipatory research methodologies in Cauca Tours and workshops to exchange information with the community organizations from Cauca and the networks of young Central Americans Discu ssion and analysis of the experiences by the visitors Establishment of commitrnents Follow up to the commitments made in Colombia Results Following the discussions and analyses of their experiences, it was expected t hat the different institutions a nd their networks would begin a p rocess of a da p t ing the lessons learned. To each network coordinator , a questionnaire was sent out to facilitate their reflections on the relevant aspects, adap tations or adjustments of the pa rticipatory methods that they had implemented in theír projects after their vis it to Colombia. The following questionnaire and responses are a compend ium of what was expressed by the members of the different networks. What elements or aspects ofthe methodology and experiences ofthe visit have been put into practice in your local projects? One of the aspects that the participants highlighted most was believing more in the capacities of the local people. The visit permitted them to see and analyze directly how the benefi ciaries t rained and strengthened in their principies, were capable of executing actions justas any outs ide professiona l. With this local capacity, the project was more sustainable , and salid bases for the future were created. This increased capacity permits the community to take d ecisions with greater confidence , which is essen tia l for participatory processes . They also prepared profiles of projects based on community priorities, where the execution of these projects will be much more active and participative in those interest groups. The management group from the Valle de San Andrés is adapting the CIAL methodology fo r their decision-making, preparing project profiles and executing agricultural projects. Working with young people who are given the basics of the local a nd na tiona l reality so that they can program relevant activities that strengthen the participatory s tructure of women in community action s as an indispensable factor in their capacity for self-reliance. Agricultura! a nd livestock diversification to promote ra tional managemen t of th eir natural renewable resources, protection of water sources, maintenance t he 318 ecological balance of the ecosystems in order to contribute to improving their quality of life and food security. How did you share the knowledge and the material you received in the workshop once you returned to your country? They have held meetings at the level of the action communities from the Consortium of San Pedro Carcha-San Juan Charnelco Alliance for the sodalization of CIAL and CIPASLA activities. The experience has been socialized with the Community Development Councils (COCODE) in Guatemala with emphasis on the community organizational structure of the CIALs, CORFOCIAL and CIPASLA. A workshop was prepared to disseminate the methodologies with the technical team from the area of Local Development of Salvadorian Foundation for basic support ( FUSA! for its Spanish acronym) The materials were photocopied and given to other organizations and institutions. In Guatemala, the Universidad Rafael Landívar has plans to translate the CIAL hanbooks to the native Ianguage to be used in the formation of future CIALs. How did they adapt the methodology to the local situation? The methodologies have not been adopted as such; however, they are implementing the participatory principies, which is fundamental in these processes. They are also applying principles of equity, perrnitting the communities to take their own decisions and share the risks. In the case of Guatemala, the legislation has apparently undergone important changes in compliance with the peace agreements, including the officialization of the Mayan Ianguages, a new Municipal Law and the Law of the Urban and Rural Development Councils. These have strengthened the actions undertaken jointly with the consortium. In the case of the Municipality of San Juan Chamelco, activities to sensitize the community leaders are being carried out in order to achieve the outcomes outlined in the Annual Operating Plan. In the Alliance ofYoung People of León and Chinandega in Nicaragua, a replica has been made of CIPASLA's coordination system, naming a coordinator who can be neutral at the moment of the decision-making and who does not belong to any other entity. The work that FUSA! does in the field of agriculture is not specific to research; rather it is the dissemination of appropriate technologies that have been tested, and the CIAL methodologies could be easily adapted. Support is being given to the management group from the Valle de San Andrés, which is one of the commitments acquired. What difficulties have arisen and how have they been overcome? Most of the community authorities are adults who have filled these positions consecutively for sorne time, but an effort is being made to rnake them aware of the importance of incorporating young people with new ideas. The experience of the adults combined with their different perceptions can contribute more efficiently to processes of change in their community for the collective benefit. The active participation of the actors in the rural area is very limited so that it is difficult to know the concerns of the majority, whích makes community work 319 very slow; but the ftnancing and execution of the projects march at a much more accelerated pace because it is necessary to see results in the short term. Rural innovations with this type of participatory techniques con tribute to accelerating the processes and increasing the participants' interest. There is a lack of coordination among the different components due to the intent to avoid duplicating efforts in the execution of sorne activities. Nevertheless, each one in hisjher component has planned the activities to be carried out and revised them with the rest of the members. In the Nicaragua network, sorne activities have not been fulftlled in accordance with the plan drawn up in Colombia. lt is expected that with the naming of the executive secretary, the follow-up should improve. What was the impact from the workshop and the evaluation of CIPASLA and the CIAL visited? According to the participants the IPRA ProjectjCIAT experience of working to strengthen community organizations is enriching. They also mentioned that the tapies are easily replicable in the different countries. Re-orient their thinking based on local experiences. Motivated to strengthen community structures and channel efforts toward a similar experience Makes one reflect on our reality and the one visited in the field Makes one ponder on the role of IPRA/ CIAT in the process The workshop made it possible to see clearly the work being done by the two types of organizations and the methodology used. It was clear that the success of these organizations líes in their training and initial backstopping by the institutions to facilitate these processes. It is also evident that this is the result of a process that require stages or phases in order to reach the goals; that is, projects in the Jonger term. With respect to CIPASLA, what most called their attention was that the participants in the process are convinced that they are positive agents of change at the leve! of their communities and that this process is highly beneficia! as it gives them the opportunity to carry out technical activities that contribute to preventing the degradation of natural resources and the conception and utilization of organic farming. In relation to the CIALs, what impacted them most was the degree of commitment and responsibility that the beneficiaries have acquired with respect to controlling their farms. They themselves are the ones who decide what to cultivate; but not only that-they also disseminate the results obtained, which are considered public assets. In general this experience generated a great deal of enthusiasm in the different network participants, as well as knowing that an organized community can b reak with the cycle of poverty when they are organized and open to other circumstances and are capable of becoming sustainable. In Nicaragua. the Colombian experience generated a great deal of enthusiasm in the different participants, especially knowing that when a community is organized , it can break the poverty cycle and be capable of becoming sustainable. This has led them to want to work more closely and develop different programs in netv.rork form. 320 In the Nicaragua network , they are obtaining legal status: the Consortium Network for Local Sustainable Development in alliance with young people. 321 Summary of achievements What do you consider the principal achieve m ents? Diffusion of participa tory methodologies to strengthen the community organiza tions, which have been successful, as can be seen from their resul ts. The methodologies presented to the participants of the Centra l American networks were implemented severa! years ago, and today they a re being applied to various production projects that continue, although with sorne difficulties, and are managed directly by their own members. These projects in which the users participate in their development have a high degree of empowerment and a re probably of easier sustainability in the future. Sharing experiences with the technicians of institutions from three Central American countries was also meaningful for them. All the technicians had the opportunity to know a nd interact directly with the executors and beneficiaries of the projects that a re being execu ted with the communities in Cauca. They a lso had the opportuní ty of learning about the different meth ods and tools that have been used to facilitate particípation and execution; and the different par ticipatory processes on whích the research andfor productíon projects a re based. Permit the members ofthe community organizations in Cauca to present their projects themselues. Despite the fact tha t this has been done many times in the national eontext and oeeasionally during the visits of people from institutíons or representatives of donors, this was the first t ime that the directors or representatives of the commu nity organizatíons partieipated in the whole proeess in an event of this nature. For them it has been a highly enriching experienee and has Jet them see other visions and have direet eontaet with representatives of institutions from other countries. Sharing results among different projects that are or ha ve been supported by the WKK On many opportunities meetings have been held among the diverse projects that the Foundation supports, and we have been surprised to find similari ties, d ifferences or ignoranee of achievements of other projects. On this oecasion, there was m ore time to share and diseuss resu lts or methods that can be easily be adapted and for applied in other rela ted projeets. There is also the opportunity to maintain eontact and eontinue to share results or concerns about the future . According to a suruey done with the participants after their uisit to Colombia the achieuements that they highlight are as follows: Learning more about these par ticipatory methodologies and applying them leads to greater acceptance at the community level. There is more good will among the community organizatíons (COCO DE) The participa tion of young people in training in arts and crafts is stimulated. Jt has been possible to train more young people in the methodologies of Healthy Schools. It has been possible to train more and strengthen the community organ izations. More participation in structures with gender equ ity Developing tapies of self-esteem Developing environmenta l tapies Learning how to manage the methodology, which is a too! applicable in any development institution. Learning how to be able to work more closely with FUSAI in conciliating circumstances, such as the management group from the Valle de San Andrés and other types of alliances (e.g., the counterpart fund s of Nejapa and Soyapango) Having learned about a noteworthy and successful experience. Having conceptualized our experience in light of the experience Internalizing the CIAL methodology and the CORFOCIAL and CIPASLA experience in organizations and institutions. Obtaining legal status In Guatemala (FUNDEMI,) the achievement within the community organization component for strengthening technology, has been the creation of "Community Centers of Technology," which are in charge of replicating the training in their respective work groups with the support of the technician-facilitators. Manage resources Sign agreements In accordance with your experience thus far, would you say that the original expectations for achieving these results were realistic? If not, why? How should unrealistic expectations be addressed? If you ha ve modijied the expected outcomes, indicate the changes. Y es, the central idea of this project was very realistic in the sense that the Foundation already knew a great deal of the methods that our IPRA Project has developed, and they even fmanced these processes at the onset. These processes have gradually been passed on to the farmers themselves, and today they are the ones who direct and lead them for the benefit of the participating communities. With the previous results, what we were looking for was to share both the successes and failures of these methodologies. We also wanted the participants to be able to question and discuss their concerns about the participatory methods with the producers themselves and learn what these have meant in the execution of their projects so that each person could get what he/ she wanted from that experience and then put into practice adaptations or apply prin cipies to improve their performance. Factors or circumstances (positive andjor negative) in t he s urroundings tha t affected advancing toward the accomplis hment of the objectives. Positive: The willingness of the producers and other participants in the processes from Cauca to participate actively in all the tours The willingness that the participants had to work hard in arder to fulfill the objectives of the workshop The access to abundant and d iverse cases or examples of applying the methods The majority of the visiting technicians had experience in field work with farmers Negative: The difficulties in communication especially after the workshops 323 Establishing agreements among the parties to agree upon dates for the workshops Sorne personal problems among the par ticipants caused difficulties in the application or adaptation of sorne of the participatory experiences because participatory methodologies were not included in the institution's annual plan. Lessons learned The main lessons learned were as follows: Exchanging ideas and knowledge among the men and women farmers, the participants a nd project executors a nd technicians just beginning the participatory processes facil itated their sensitization . When holding this type of workshop, it is essential to esta blish specific commitments well ahead of time in ard er to facilitate the application and/or adaptation of the knowledge acquired When facilitating these processes of knowledge of new a lternatives, it is necessary to check with th e participants regarding training needs that arise in arder to complement the information received. By letting the farmers themselves participate as facilitators , showing and teaching their experiences, their knowledge is being valued and their self-esteem is strengthened. The conceptual and jor per sonal difficu lties or differences among the technician- facilitators within the networks can seriously limit the results in participatory development projects. For the par ticipatory development of the communities and the strengthening of their organization, it is very important to have among the institution s, entities from both the development and technological sector in order to support or promote the offering of this knowledge through them. Counting on the power of information and the dissemination of results is a critica! factor in community development. Future plans What s tructure has b een e stablis he d to continue this proj ect? The idea was not really to continue Implementing specific actions in the execution of the project, such as these workshops for sharing information among members of institutions from Central American countries to Colombia. What we hope is that successful experiences su ch as these or others that occur in other places and possibly in the participants' projects, will a lso be supported in their diffusion and replication. This type of event is stimulating and permits the participants to learn firsthand about situations different from those that they face daily. They let us explore in greater depth experiences that perhaps in similar conditions or even under more difficult conditions can also obtain good results. The key is to be able to know firsthand the <:Xecutors and the results and difficulties lived in the fie ld in order to extract the experiences and apply them to ongoing or future projects. 324 In the future it would be helpful to have an initial survey to be filled out by the participants beforehand in arder to determine their expectations. If the survey contains information on the organizations to be visited, their objectives and achievements, the visitors can be much more explicit about specific tapies and their needs. Along these same lines, it is important to cometo an agreement with the participants ahead of time, with respect to the commitments and mechanisms that may keep them from applying the adaptations, principies or lessons that they consider relevant in the improvement of their projects. Recommendations What recommendations would you make to the other p roject directors who work i n this area or in the Foundation? New workshops: There is a need to establish prior commitments more clearly among the participants with respect to what they will do or the proposals for which this type of event is being held. After the workshops it would be constructive to carry out sorne type of survey or poll to determine training needs that the group has in arder to be able to explore in greater depth the experience 1ived and apply the methods that could prove useful in their work with communities, improving relevance for they have firsthand opportunity to hear farmers' needs. The incorrect application of a tool or a method can be harmful for both the technician anjor the community. Communication channels Define the regional coordinators and their specific commitments to the project to facilitate the process The lack of habit or nonexistence of communications limits and delays the processes. It is very difficult to communicate via email. On the other hand, the technicians' and professionals lack of a writing ha bit makes the promotion and diffusion of results complicated. Support for participatory projects When beginning participatory processes with rural communities, it is necessary to have technicians with an a ttitude for and knowledge of participatory methods; otherwise they must be trained. It is important to have prepared and committed persons with community interests that help obtain the desired outcomes. Another important element is the facility for transmitting their knowledge to the key people in the community and for gradually strengthening local capacity and leadership skills in arder to empower their project. The rural development and extension projects should have counterparts in research institutions that have a comparative advantage in the development of technologies, as is the case of computer mediated information centers (usually called "tele- centers"). In this way they can access information of use and interest to the producers, that can help them open doors toward the broadening of their alternatives of production and development; i.e., forming strategic alliances that benefit their clients the farmers . 325 A methodology designed to promote sustainability of a second-order organization Facilitator: Alfonso Truque Díaz57 Highlights 38 CIALs generating alternatives to resolve agricu ltura! and livestock problems in their communities Abstract The purpose of creating the CORFOCIAL organization was to bring togethe r all the committee-based research services (CIALs) in the Cauca Prouince in a second- order nongovernmental organization so that the farmers would have the opportunity of improving their livelihood and economic sustainability in a more organized and efficient manner. The application of participatory methodologies permits the farmers to present demands for research technologies and be the ones to evaluate them in search of better adaptation and greater adoption to their local production systems. CORFOCIAL has a team of farmers trained in the CIAL methodology participatory monitoring and evaluation, where it is proposed to form leadership at the locallevel so that smallfarmers can participate more fully in the decision-making and planning in research projects, production and training. Among the more outstanding results are the discovery of new leaders, the recovery of indigenous experimentation, the diversity of crops and the appropriation of the methodology by the communities involved. Identification of the problem Most of the time, both the male and female farmers in our country are not considered in the process of generating and transferring technologies. For that reason many small farmers do not follow the technical recommendations, but modify them according to their needs and resources. Thus the methodology of participatory research in the CIAL model is an alternative that permits the farmer to become a main actor in adaptive research. Background The menu offering new and innovative technologies is quite large and diverse; nevertheless, the small farmers do not use these technologies in the way in which the scientists expect. The re are numerous experiences regarding ignored agronomic recommendations, equipment that was not adopted, varieties that were rejected, etc. On the other hand, other new practices not recomme nded by scientists pass from farmer to farmer. Frequently, these initiatives of the farmers have not been foreseen by technicians nor by the professionals trained in traditional approaches to research . Today, however, many professionals believe in the importa nce of having the active participation of farmers in the different phase s of a pplie d research. Methodology The methodology u sed is the a pplicatíon of the e ig ht steps of the resea rch ladde r that is used in the CIALs. Each of these steps is carrie d out with the community: 57 Administrator ofCORFOCIAL 326 motivation, election of the committee, diagnosis and feedback; with just the Committee: the planning and setting up of the tria!, evaluation of the t echnologies and analysis of the results. Activities ln addition to the research activüies, the committee should carry out with their community: Meetings Tours Field days Training of farmers Results Food security in t he CIAL and its community Capacity for validating technologies Integration of the communíty Awareness of research as a tool Strengthened as individuals as a result of training Capacity for managing extemal resources CIAL that are recognized for their work in the region Creation of new CIALs Training businesses (accounting, preparation of projects and products) New leaders in the community 327 Table 1. D f the CIALs in C p d th . ht - -- - - - ------ --r--- - Village or Date CIAL No. Name ofCIAL Municipality Families / Researc h Topic Research Stage Community Forme d M F Community Asomuripik La Peña Totoró 05/2001 13 3 60 Aromatics Plann ing Betania Betania Piendamó 07J91 6 8 33 Sugarcane varieties Planning Buena vista Buena vista Caldo no 06/93 30 Cape gooseberry or Trial uchuva (Physalis p eruviana.) Campo Alegre Campo Ale_gre Caldo no 02/92 6 30 Maize varieties Commercial Carpintero Carpintero Morales 10/ 95 20 10 55 Maize varie ties Tria! Chambimbe Chambimbe B. Aires 02/96 35 U pland r ice varieties Confirmation El J ardín El J ardín Caldo no 09/93 40 Common bean Confirmation (Phaseolus vulgaris) varieties J El Pinar Hombres El Pina r Piendamó 03-00 80 Potato varieties Tri al 1 El Turco El Turco Santander 09 / 94 5 1 25 Plantain varieties Confirmation Esmeralda 1 Esmeralda Piendamó 11-2001 50 Maize varieties Production Esmeralda 2 Esmeralda Piendamó 11-2001 50 Staking in peas Productio n La Esperanza Esperanza Caldo no 01-2001 14 6 20 Potato varieties Production La María La Maria Piendamó 07/96 60 Maize varieties Confirmation La Pa lma Esmeralda B. Aires 04-2001 4 4 35 Soybean varieties Planning La Unión 1 La Unión Piendamó 05-200 1 4 53 Maize varieties Confirmation La Unión 2 La Unión Piendamó 05-2001 8 53 Bean varie ties Confirmation Las Cruces Las Cruces Silvia 01/ 97 50 Bean varieties Tri al Las Laias Las Lajas Santander 01 / 2001 7 56 Potato varieties Confirmation Pescador Pescador Caldo no 05/90 5 300 Bean varieties Tri al San Bosco Muj. San Bosco Santan der 01-2001 9 60 Potato varieties Trial San Bosco Hom. San Bosco Santander 02-199 1 60 Maize seed _l)_rod. Commercial San Is idro Muj. San Isidro Santander 10/96 7 30 Soy flour bread Production San Isidro H San Isidro Santa nder 09/96 5 30 Cassava varieties Production Santa Isabel Santa Isabel Totoró 101_97 15 Staking in peas Commercial La lndepend. La lndepend. Piendamó 2002 45 Diets for guinea pigs Confirmation Asopanela Portachuelo Rosas 04/92 5 20 Fer tilization in Tri al sugarcane Campo sano Campo sano Timbio 12-200 1 9 5 80 Upland Rice varieties Confirmation Cinco Días Mll.i-_ Cinco Días Timbío 03/92 2 13 120 Soybean V§.rieties, Commercial ---- - ~ 328 1 Village or Date CIAL No. Research Stage 1 Name ofCIAL Community Municipality Formed Families/ Research Topic M F Community 1 Ind ustrialization production 1 El Diviso El Diviso Rosas 09/91 4 2 83 Maize varieties, seed Commercial lots El Placer El Placer El Tambo 08/96 5 5 85 Maize varieties, seed Commercial lots Santa Maria Santa María Timbío 03-201 4 3 85 Staking in peas Production lots Portachuelo Alto Portachuelo Rosas 09-2001 5 1 20 Oreen bean varieties Production El Uva El Uva Timbío 04-2001 10 6 35 Bean varieties Production lots Alto de San José Alto de San Timbío 10-2001 10 2 80 Upland rice varieties Confirmation José Par raga Parraga Rosas 04-2001 4 8 25 Upland rice varieties Confirmation Pinar Mujeres El Pinar Piendamó 08-2002 5 8 90 Horticulture Confirmation San José San José Silvia 23-04-2003 6 5 50 Wheat varieties Tri al La Fortaleza Carpintero Morales 08-2002 30 55 Diets for broilers Production - 329 Lessons le arne d The farmers are indigenous researchers. After training, the farmers become the facilitators, and the degree of responsibility is high. The CIALs are gradually working towards self-reliance. The farmers' degree of appropriation of the trials facilita tes their independence. Sharing e~periences at the annual meeting strengthens the CIALs. Delegating functions in the work team (technicians and Guides) creates self-esteem. CORFOCIAL does not do research in agriculture but extends other services (e.g., writing letters, credit for the CIALs, training). R ecommendations Strengthen the revolving fund of the CIAL to promote the production and marketing of the products that have been researched by the CIAL. Strengthen the organization with communication channels for searching for sustainable alterna ti ves Modify the organic structure for introducing programs, such as that of the rural enterprises and rural development. Future Plans CORFOCIAL will have the necessary human, logi stical and financia! resources to continue and improve research, organization, management, and agricultura! and livestock development of the CIALs, within a framework of sustainability and respect for natural resources. It is very irnportant to expand the nurnber of CIALs. Prepare a portfolio of services in arder to expand training services Offer a farmers' field school on different tapies Indigenous women process potatoes Researcher: Fausto Merino5 8 Highlight Groups organized to do participatory research generate mechanisms of self.financing in search of additional sources of income that guarantee the continuity of the participatory process. Definition of the problem Among the principallimitations for the small and intermediate potato producers in the Province of Chimborazo is commercialization. The factors that contri bu te to this situation are, on the one hand, that the farmers do not manage criteria related to quality; that is, they take their p roduct to the market without any type of selection, the pota toes are physically damaged from incidence of pests a nd pathogens, sizes are nonuniform, varieties are mixed, the tubers are dirty, packing is inadequate, etc. On the other hand, the lack of knowledge of alternate markets for their product and their incapacity to face commercialization individually, added to their incapacity to negotiate, has resulted in their getting low prices for the sale of their product. Traditionally the objectives of the agricultura! research institutions, as is the case of INIAP, have been to increase yields and reduce production costs. However at present other objectives should be added, such as the management of information on markets, improvement of product quality and aggregate value of the production, and better interpretation of the market, its demands and agroindustrial production processes. In the case of potatoes, the use that is given to processed potatoes is constantly growing, the industry demands fairly stable volumes, the raw material needs to meet certain specifications and future demands also need to be known. Objectives The general objective is to implementa rural agroenterprise that processes and offers a permanent supply of potatoes suitable for french fries to restaurants and fast food establishments in the city of Riobamba, to benefit the group of women organized in the CIAL "Flor Naciente." The specific objectives are as follows: Determine the volume of demand for potatoes for french fries in restaurants and fast food establishments in the city of Riobamba Establish criteria for quality and purchasing habits (va rieties used, quality, size, likes and preferences, other purchasing alternatives) Identify the current supply system to find possibilities of doing business between the small producers and the restaurants and fast food establishments in the city of Riobamba Implement and position a rural agroenterprise on the market to offer potatoes for french fries continually Background The potato is a basic staple in the family basket of the Ecuadorians. Consumption was 38 kgj yr per capita for the period between 1986 and 1993. The price for potatoes on the Ecuadorian market is highly unstable, which causes insecurity for the producers dedicated to this crop and frequently leads the consumers to decrease their consumption. 58 Coordinator, UVTT-Chimborazo, INIAP. 33 1 The Ecuadorian society is becoming more urban every year. The data show that while in 1974 the urban population in Ecuador was only 38.4%, in 2002 it had reached 55.4%. At the same time, women have an ever-increasing production role outside the home, which has generated changes in the dietary habits of the Ecuadorian society. The quality of fresh potatoes in wholesale provisioning markets, shops or supermarkets is in most cases poor due to different types of primary and secondary lesions, lack of uniform size and dirtiness in handling the product, resulting in numerous impurities. The habits of potato consumption have expanded, however, and industries offer diverse processed or semiprocessed products that increase the ways in which to consume this tuber. Of the total volume used by the industry 89% is used for potato chips (smooth or crinkled). The supermarkets also offer peeled, cut, precooked and frozen potatoes, as well as flour for preparing mashed potatoes. This last product is imported from Chile for sale by the supermarkets; however the volume is insignificant, which is the reason why no domestic processor is interested in producing it at the local leve!. To the extent that the volume of consumption increases, sorne firm will become interested in this type of processing. In the Province of Chimborazo the potato continues to be one of the main crops, being both a basic stap1e and a source of work and income for the population. The tubers are mostly used fresh; in recent years, however, there has been more consumption of processed potatoes; fundamentally fried potatoes (chips and french fries) and, to a lesser extent, other types of products. In the city of Riobamba the fast food business has been growing so there is an ample market for consuming french-fried potatoes, which are offered by certain places where roasted chicken is sold (more than 380 restaurants). Basically they work on a small scale, serving french-fried potatoes as a side dish for chicken, sausages, meat, etc. After processing the data compiled on the restaurants and related businesses, it was concluded that the greatest use given to potatoes is in the form of french fries. The second way in which potatoes are used in the restaurants and related businesses is in the form of soups. The third way of offering potatoes to the public is mashed; and in the case of restaurants and related businesses, other important forms of consumption are in salads and tortillas. In the Guabug community located atan altitude of 3400 m in the parish of San Juan Province of Chimborazo, Ecuador a group of women constituted aCIAL (Local Agricultura! Research Committee), which they called "Flor Naciente." In 1996, they were trained in the participatory research methodology to investigate patato varieties that would adapt at the local level (Table 1). After four years the women selected two varieties (INIAP Rosita and INIAP Fripapa) through participatory evaluations. They improved their harvests, but not their income due to the very low price that the middlemen paid them. On holidays the women farmers take the potatoes to the wholesale market. Despite their good quality, the price received does not compensate their investment and effort. 332 T bl 1 T a e . ra1n1ng ac 1v1 1es 1 eve ope d . h h CIAL Wlt t e . Events Held Topic Objective Course Integrated crop Improve product quality management for potatoes Observation tour Visit to share experiences Promote self-reliance with the IIRR CIALs Observation tour Visit to rural Motívate the creation of a agroenterprises in the rural agroenterprise Province of Bolívar Meetings Reflection-action-reflection Pro mote and motiva te a business-oriented organization in the zone Participation in agricultura! Byproducts from potatoes Pro mote and motiva te and livestock fairs business management Course on processing Cutting trials, antioxidants Learn about optimal pota toes and packaging potatoes cutting sizes of pota toes and adequate rates of antioxidants Short course on processing Frying trials with different Identify the best variety and pota toes varieties of pota toes frying times needed to obtain patato chips of better quality Short course Learning about tools used Conduct ra pid market to determine supply and appraisal demand Research questions to be addressed Does the imple me ntation of a rural agroenterprise for processing and commercializing pota toes responds to the consumption needs of the inhabitants in the city of Riobamba and to the socioeconomic requirements of the CIAL "Flor Naciente"? How has consumption of pota toe s (volumes and varieties ) evolved in recent years in the c it y of Riobamba? What characteristics should be considered concerning the supply of potatoes to restaurants and fast food establishments in the c anton Riobamba? Methods Marketing study The overall objective of the marketing study was to know the new trends of the market for potatoes by applying surveys to restaurants, roast chicken places and fast food establishments in the city of Riobamba. The specific objectives were to: Ascertain the current and projected competition of the market for pota toes in the Riobamba cantan Determine the distribution channels of the product that the project offer s Find out the prices of the inputs for patato production Measure the market potential of potatoes for french frie s Analyze the potential participaban in the market Analyze the prices for commercializing the potatoes Analyze the competition 333 Instruments for gathering data To support the research methods selected, the following research techniques will be used. Field observations to study the behavior of the market for potatoes in Riobamba Surveys to be processed with the owners of restaurants and fast food establishments, this technique will help identify the viewpoints of those who are actually involved in the business. Field work The surveys will be applied to 100 places where food is sold in the city of Riobamba in accordance with the established census. Processing and interpretat ion of results Types of businesses surveyed. With the results of the total sample (lOO), 54 restaurants, 2 1 roast chicken places and 25 fast food establishments were surveyed. These correspond to businesses that are commercially active, as there are very small businesses that use or sell very few foods in which potatoes are used. Roast chicker Places 21% 25% 334 Restaurants :\4% 63% 1_ -------~--- o French-fried potatoes • Whole potato. cooked o Mashed pota loes o Tortillas • Soup o Potato chips •Dried o Yaguartocros • Potatoes with chicken EJ A la carte dishe olunches 13Breaded , • Churrasco Main products made of potatoes that are offered in the businesses. The businesses offer french-fried potatoes (63%) and in soups (23%), while other points of consumption utilize the whole patato (6%), cooked. Thus there ís an opportunity to offer processed p roducts for these businesses throughout th e year. Main varieties of potatoes that they purchase. Among the varieties of potatoes that the businesses buy the most important are Pan (39%) because they do not fall apart when fried; Fripapa (22%), Rosita (1 3%), Gabriela (12%) and Cecilia (4%). We should highlight that the varieties in greatest demand were selected as the most promising in the CIAL Flor Naciente. 335 o"Pa:n aFripapa o Gabriela o Cecilia • Rosita o Semi Uvilla • Maria o Chola • Americana e Esperanza oUvilla o Catalina • Puña • Super Chola Months of highest sales and percent increase The months of greatest sale in the year are April (an increase of 30%) and December (lOO% increase). In the other months, stable growth was maintained without major impact on the normal pattern of behavior of the businesses. This will permit planning the time of planting to have greater production during the months of highest sales. Dec Nov Oct Sept Aug Ju\y June M ay April Mar Feb Jan o 50 100 150 200 Preference for purchasing the potatoes in other presentations. Among those surveyed, 68% were open to the idea of purchasing potatoes in other presentations such as classified, peeled, washed, thin strips and cubes, 30% preferred the traditional presentation, while 2% of the owners of food stan ds had no preferences. ____ j 336 Processing. The type of presentation that the owners of roast chicken places and establishments of fast food would prefer are classified and washed (34%), peeled and cut (25%), whole and classified (20%), peeled (10%), while 9% are indifferent to the type of presentation of the product. Thus there is the possibility of incorporating aggregate value to the product in different presentations. ---------- - ··- - ----- ------- 1 • e tassifíed & v.ashed \ 0 Peeled 0 cut Willingness to do business with the CIAL Flor Naciente. Of those surveyed, 79% would be willing to do business with the producers who work on the production, processing and commercialization of potatoes; while 12% would stay v.rith their current suppliers, and 9% simply commented on the question. This is an opportunity that would have to be exploited by the CIAL to establish its business. 337 ¡· 1 i i 1 1 1 l __ _ NO 12% Processing of the demands 9% --~-~ Roast chicken of Riobamba, 2003 , 1 J ' Rosita 6% ~ María 6% Pan 69% ____ ¡ 1 f Y es 79% Fast food , Riobamba 2003 11!!1 Pan • Gabriela 0 Fripapa 0 Rosita • María 1 J 1 1 1;;) Pan • Gabriela o Super chola o Fripapa J ___ !_j No. of qq of potatoes for french fries/wk in roast chicken places and fast food establishments, Riobamba. In the roast chicken places potatoes for french fries are consumed weekly in the following amou nts for five varieties: Pan (69%), Fripapa (13%) and Rosita, Gabriela and María (6% each). Th e fast food esta blishments use two varieties: Fripapa (17%) and Pan (71 %). The group of producers will be a ble to offer the varieties they are currently planting and that have sui table characteristics for this type of industry. To improve their income, the CIAL "Flor Naciente" has decided to incorporate aggregate value to the potatoes by offering potatoes peeled and cu t in thin strips (french fries) to the roast chicken places and fast food establishments in the city of Riobamba. The aggregate value is a new activity, as no there are similar local experiences; thus it was necessary to investigate new tech n iques for processing the product, using small-scale tools and equipment. After calculating production costs, the women could obtain a price of $ 18 .0 0 for the quintal of potatoes, as shown in Table 2. Table 2 . Rough estímate of the cost of producing 1 kg of pota toes for french fries , CIAL Flor Naciente, Chimborazo. 338 Line Item 1. Production costs Raw material Antioxidant Packaging Transportation Labor Tools Subtotal 2. Income Sale of 1 kg of potatoes for french fries 3 . Pro.fits Production costs Gross profit Net profit Production of patato chips 0.16 0.03 0.03 0.01 0 .02 0.02 0. 27 0 .40 0.13 Costs ($jk g) The CIAL found that when the potatoes are peeled and cut into thin strips for french fries, 30% of the potato is discarded. Th is could be given another use, transforming the waste product into potato chips, packed in polyethylene bags for commercializing them at the community leve! and in the educational centers in the sector as a complementary activity to processing potatoes for french fries and to make efficient use of the r aw material. This activity is also new for the CIAL members. They had to conduct sorne trials using cottage-scale equipment in order to determine if the activity was profitable. They were able to obtain US$19.00/qq of potatoes, as shown in Table 3. Table 3 . Approximate costs of small-scale processing of potato chips based on 1 kg of raw material, CIAL Flor Naciente, Chimborazo. Line Item Cost $/kg 1. Production costs Raw material Day's wages Oil Gas Seasoning (sal t) Packaging 339 0.114 0.205 0.057 0.014 0.003 0.029 Sealer Tools Subtotal 2 . Income Amount of bags from l kg of fresh pota toes Unit cost of sale ($/unit) Total revenue from sale 3 . Profits Production costs Gross profit Net profit 0.004 0.018 0.10 0.55 0.442 0.55 0.103 5.5 units In this way small farmers organized in CIALs can create small rural agroenterprises, generating sources of employment at the locallevel, improving their income and the Iivelihood of their families. Conclusions Conclusions The marketing study has been a basic tool for determining the demands and other parameters that are needed to plan strategically the processing and commercialization activities that the CIAL Flor Naciente is undertaking. To determine the demands, it was necessary to conducta marketing study, with the support of the IPRA Project at the CIAT through the INIAP-UVTT Chimborazo, the CIAL Flor Naciente and the National University of Chimborazo. It was determined that the pota toes, peeled and cut in the form of french fries to be offered to the roast chicken places and fast food establishments in the city of Río bamba. The CIAL-Flor Naciente, with the small-scale processing of potatoes and offering two new products (potatoes for french fries and chips) to the consumers of the city of Riobamba and the community of Guabug, respectively, can obtain $ 19.00/qq of pota toes, which is traditionally sold for a maximum of $ 5.00 j qq. Less ons learne d The indigenous women in Chimborazo, organized as CIALs, have the capacity to process and commercialize potatoes-an activity that might seem utopian for the rural sector. The CIAL methodology has been the basis for seeking sustainability with other activities complementary to production given that the producers not only need to increase their production but a lso seek their economic welfare. The women organized in the rural sector have also been actors in their own development. The development and implementation of a new participatory method generated innovations among the different production actors (generation of capacities and leadership). Recommendations Legalize the organization as a rural agroenterprise so that it can gain access to other services such as credit and training 340 Support the preparation of proposals to seek funding to make the a processing center and sales point of their products suítable. They need to make strategic alliances so that the organization has access to training in business management and basic bookkeeping. The participatory research and evaluation should continue being the basic tools so that the organization continues to explore new techniques that will Jet them maintain technological options according to the needs that arise. 34 1 "Training thefuture"- Young researchers: Leam how to runa cial. Researcher: José Ignacio Roa V.59 Abstract Young people in rural areas of developing countries are not exempt from the problems of the rural communities in general, including the lack of access to land, inadequate education and training, low prices for farm products, poor market infrastructure, low level oftechnology, limitations in the credit and poor participation in community activities. In Colombia one ofthe problems that affects rural youth is the inadequate education system because the currículum has a clearly urban orientation, which does not stimulate the young to do research on their ecosystem.. In this project the IPRA Project pro poses to stimulate the research capacity of rural youth on the tapie related to the food security of their communities. To this end, presentations were made, and training was imparted on participatory methodologies such as the community-based research services (CIALs}, where the students decide what to investigate, as well as plan, execute and evaluate the altematives proposed by them. It is expected that in the short term, a research habit will be formed in the school that will stimulate the director and staff of the school Juan Salvador Gaviota6o to include these participatory methodologies within the academic currículum, contributing to the creation of a strengthened academic model to be put into practice in the education of rural youth and that it be, at the same time, sustainable o ver time. Background There is a very serious problem in many countries of the world, which is the lack of opportunities for young people. The rural youth are being prepared better than their parents because they have easier access to schooling, but they run into the problem that society does not offer them opportunities for developing their capacities. It is common to find young people unemployed in the field; and when they migrate to the cities, the possibilities of work are very scarce. Introduction For sorne time the W.K. Kellogg Foundation has supported projects that train the young. In the year 2000 the project "Communities and Watersheds," in collaboration with the IPRA Project, sent a proposal to the Kellogg Foundation to develop a project with young students, La Hondura (El Dovio township), a community that is found in a mountainous zone, where the farmers grow plantains, a little maize and common beans. General objective In a period of three years, it is expected that the young people from the region of the Canyon of the Garrapatas River and the group "Heirs of the Planet" in Bellavista, will improve their access to high-quality education to stimulate their personal development and improve the conditions of their natural a nd physical surroundings through research processes. Jus tification 59 Professional specialist, SN-3 Project, CIA T, Colombia 60 Jonathan Livingston Seagull. 342 Principies of the project Education is a fundamental component for rura l development. Innovative, integrative, collaborative and sustainable forros of providing education for rural youth are required. Young people have a great interest in science, innovation and teamwork. Rural youth need to explore new strategies to improve their living conditions. The sustainable management of natural resources (soils, water, forests, climate and biodiversity) can contri bu te to improving the living conditions of the rura l communities. Specific objectives Facilitate the emergence of young leaders who have not yet developed their potential through the development of communication skills, teamwork and management of information systems. The groups of participants will share their experiences, history and have the opportunity to reflect on the lessons leamed. Establish alliances among the groups of rural youth and schools, universities, research center and businesses that facilitate the research processes and development in which the rural youth are interested. Establish self-financing mechanisms for the members of youth groups or other groups that wish to continue their studies or establish businesses where they can apply the knowledge acquired and improve their income. In accordance with the results obtained in the development of the project, we expect to develop among al1 the participants, a model that can be extrapolated to other regions. This model should provide the tools so that these youi"{?; people become active participants in the management of natural resources and in the improvement of their living conditions. This objective includes the establishment of a participatory monitoring and evaluation system so that the participants acquire the habit of following up the progress made in their projects. Project partners ACERG - Association of Educational Centers in the Canyon of the Garrapatas River. Brings together 37 primary and secondary schools located in the watershed of the Garrapatas River, with the mission of working as a team to s trengthen the educational program based on three complementary principies: agroecology, agricultura! (production-oriented) schools and education compatible with the ethnic diversity of the regían. Heirs of the Planet - Youth, Life and Nature of Bellavista is a group formed by 37 children and young people dedicated to the research and conservation of the natural resources of their regían. They form part of a network of 16 similar groups in Colombia. CIPAV - Center for Research on Sustainable Agricultura! and Production Systems. Its objective is to investigate and promote the use of efficient and sustainable systems 343 for using the natural and human resources available, in harmony with the environment. CIAT - International Center of Tropical Agriculture is oriented toward the reduction of hunger and poverty in the Tropics through collaborative research that improves agricultura! productivity and the management of natural resources. Methodology This project is based on the application of participatory methods, in which the participants take part in the decision-making in all the processes in which they will be involved. In addition, the methodology ofthe community-based research services CIALs (participatory diagnoses, participatory evaluations of the technology being tested) will be applied, as well as the concepts of participatory models for natural resource management and conservation. All these methodologies were discussed in meetings with the young people from the school in La Hondura, where the IPRA methodology was presented and discussed. Activities Participatory diagnosis with the students of the Juan Salvador Gaviota school Reading of the CIAL handbooks that explain the concept of research and the CIAL methodology Election of the members for the Committees on common beans, maize and rice on 6 February Workshop at CIAT on participatory research, 6 May Planting of trials with the s tudents from the school, 24 April Training on the use of the "smiley faces" format for the CIALs and evaluation of the different trials with the students, 11 June Training on the principal pests and diseases of common beans in the coffee-growing zone and postharvest management for the CIAL members, students and teachers of the school Juan Salvador Gaviota, June 11. and Leandro Muñoz, members of the CIAL, on their bean experimentation plot. IPRA Project with member of the CIAL,School Juan Salvador Gaviota. reacners ano sruaenrs or Juan ~a1vaaor uavwra. 1n oraer w oeg1n ptanmng rne proJeCI, a meeting was organized at CIAT with the teachers, director and staff of the school and the different members of the CIAT project s "Communities and Watersheds" and IPRA 344 who participate in this project. At this meeting all the participants voiced their concerns and expectations with respect to the project. Presentations were also made about the mission and the participatory methodologies used in the two CIAT Projects involved in this project. Later, a similar meeting was held with 30 students in Juan Salvador Gaviota School. In that same meeting food security was defined as one of the objectives relevant for them. For that reason, the CIAL methodology was shared with them, and the possible commitments and responsibilities for establishing the committee were presented. The purpose of this meeting is "Motivation." Once the students decided to form their own Research Committee, it was agreed to program the date of the meeting for electing the members, Leader, Secretary, Treasurer and Extension agent (Table 1). La Hondura, the community where the school is found, culturally has a high index of common bean and maize consumption; thus it can be affirmed that they are the principal staples of the region. When the meeting was held for the participatory diagnosis and to select the topic to be researched by the CIALs, the students had already elected by consensus the topics that they wanted to investigate. They decided to form a CIAL to investigate maize varieties that were more early-maturing than the regional variety (i.e, can be harvested at 6 mo). Another CIAL committee was a lso created that wanted to ident ify common bean varieties more resistant to common diseases in the zone such as Ascochyta, web blight, anthracnose and angular leaf spot, as well as pests such as leaf eaters. There were 23 students at the diagnosis meeting. Another commíttee was also created to evaluate upland rice materials. Thus the three comrnittees are tryíng to conduct research on different alternatives of interest to the community and seek to identify solutions to problems in their production systems. Table l. Participation of students in the meetings. t~f:ff ~~~"'"ACTIVITY ~ ~~w"-Lt~ ·· t!.,~~' STUDENTS (No:) ~~~ .~. '(. -"~ Motivation 30 Election of the CIAL Committee 25 Diagnosis 23 Planning 12 Planting the trial 5 Training 15 At the meeting for planning the trials of common beans, maize and rice, 12 student members of the CIALs attended. They agreed to plant plots (4 rows, 4 m long) with three replications in different parts of the community. For fertilizer, it was agreed to apply at planting "Bocashi," an organic product that they are learning to make at school. It is low in cost because the ingredients are from the region; moreover, it is a new a lternative to the expensive chemical fertilizers that are traditional in the r egion, costing US$ 16/50-kg sack of 10-30-10. The CIAL doing research on common beans planted the variety ICA Catío, supplied by the CIAL in Pescador (Cauca), and the varieties supplied by the CIAT Common Bean Project: AFR 612, AFR 298, Cal 96, Cal 143 and regimal Guarzo. In maize they planted the varieties supplied by the CIAL-San Bosco (Cauca) called Yunga and SiKuani; and the farmers from La Hondura got the regional maize to 345 compare its performance (the yellow check). The CIAL working on upland rice planted the varieties CIRAD 396,IRAT 216 and IRAT 13, provided by the CIRAD Rice Project at CIAT. In order for the students to be able to identify the commonest pests and diseases that are attacking native bean varieties in their region and at the same time determine which of the new varieties that they are studying in the CIAL are more susceptible or tolerant, training on this topic was provided for 15 students from the school. The methodology used was a s lide presentation in the classroom, followed by a visit to the CIAL trial, planted at the school, where the students could identify the commonest diseases in the zone such as anthracnose (Colletotrichum Lindemuthianum}, Ascochyta (Ascochyta phaseoloru.m) and web blight (Thanatephoru.s cucumeris). Through the CIAL trials the students now ha ve a clearer concept of what research is and why one should first plant in small plots rather than in large lots. There is great sense of empowerment as they realize that their trials are providing important information for transmitting to their community. The committees were also trained to manage the format of closed evaluations (smiley faces) to evaluate the alternatives being tested. When the common bean varieties began to reach maturity, an evaluation practice was done with the students so that they could becorne familiar with the format and begin to understand the importance of recording the criteria used to evaluate the different varieties and observe which would be the best ones to continue planting, for common beans as well as maize and rice. Conclusions As a result of the practice in the trials and strengthening the students' research capacities in school, both the students and sorne of their parents wish to plant more trials on their farms. Thus loca l research h as been stimulated . Training young students on the scientific method is easier and the learning is more rapid than adults. This can be seen in the way that the students caught on to the different concepts and scientific terms used in this training. Despite their age, the students showed a high degree of responsibility in taking care of the trials. The children are very aware of the problerns in their homes, primarily the lack of food and of the opportunities for thern in the irnrnediate future. They want to do research to help find new alternatives for generating income on their farms for their parents. At the end of the school period, it was noted that there was instability among the people who formed part of the CIAL as a result of which sorne s tudents did not want to continue for lack of support frorn the teachers of the school. In view of this weak, the Project named a person to provide more continuous support to the CIALs. It was observed that the students wanted to plant the trials on their farms with their parents beca use there they ha ve the collaboration of their paren ts, brothers and sisters. This might possibly be a new rnodel to be tested the second semester of 2003. The CIAL system of research has motivated the students toread, go to the CIAT library to do research, communicate more with CIAT researchers, and feel very proud to show their trials. The technicians are setting up their own trials, independent of the CIAL trial. This has created a lot of expectations among the young people regarding the future, and they ask questions such as: What are we going todo now? ¿What comes next? 346 Milestones Team capacity and skills, enhanced FPR team attendance at training events during the working year 2001-2002 In an effort to strengthen the SN-3 team members with respect to their knowledge and skills, training opportunities were offered. This year members of the team participated in the events shown in Table l. Table l. Information on courses in which SN-3 team m embers participated. Date Topic Taught by Feb. 14 Highlights of consultancy on Carlos A. Quirós mechanisms for self-financing Feb. 14 Thesis project: "Identification an d Fanory Cabo analysis of the organizational and production principies of 4 CIALs with rural agroenterprises in Cauca Province April 11 Report on results obtained in the Luis Alfredo PME cour se in Bolivia Hernández, Elias Claros May 3 - 12 Intemational Workshop on Under- Susan Kaaria utilised Plant species, Leipzig/ Germany. J uly 4 Methodological propasa! for Susan Kaaria conducting the impact study in 13 CIALs in Cauca July 8 Presentation of results of the impact Fernando Hincapié study in five CIALs in Cauca July Training Programme "Dealing with Susan Kaaria 12-27 data from participatory studies: Bridging the gap between qualitative and quantitative m. August 25th International Conference of Susan Kaaria 16-22 IAAE, Durban, South Africa Sept. 10 Experiences in applying PME in Luis A. Hemández R CIALs in Cauca 347 ~~';!~ ~l.;,; '11[1&;:, wift,. ~2!:: .. • · í: i§:!J.l.A:htl'M' 'LB"',-,~~'!Im.''!f"" --~· Researchers and support staff: position and time fraction Carlos Arturo Quirós Acting Project Manager, Research Associate 1, Boru Douthwaute Senior Staff Susan Kaaria Senior Research Fellow Vicente Zapata Senior Research Fellow Luis Alfredo Hernández Research Associate 1 José Ignacio Roa Professional Specialist Pascal Sanginga Senior Research Fellow Colletha Chitsike Senior Research Fellow Elias Claros Research Assistant Fernando Hincapié Research Assistant Viviana Sandoval Assistant Jorge Luis Cabrera Technician 1 Luisa F Lozano Secretary V Fredy Escobar Technician 11 Fanory Cabo Student Juan Camilo Cock Consultant BMZ - Der Bundesminister für Wirstschafliche Zusammenarbeit, Germany WK Kellogg Foundation, Michigan DFID Department for International Development Government of Belgium Rockefeller Foundation 348 ~:w;-_JÍ!III 100% 100% 100% SO% 100% 100% 100% 100% 100% 100% 100% 100% 100% 70% SO% APENO IX Acronyms and Abbreviatíons ACDI-VOCA ACERG ACIN ACISAM ADDAC AMNLAE APEDSAF ARDCs ASAR ASERCA ASOBESURCA ASOCIALs ASOHCIAL A TI CA BANDURAL BAPPA CAD Agencia Canadiense para el desarrollo Internacional Association of Educational Centers in the Canyon of the Garrapatas River Asociación de cabildos Indígenas de Norte del Cauca (Colombia) Asociación de capacitación e Investigación para la salud mental Asociación para el Sector Agropecuario (Ecuador) África 2000 Network Africare Agricultura] Development Programme Agricultura! Research Development Centres Agricultura] Technology System Asociación de mujeres Nicaragüenses Luisa Fernanda Espinoza Asociación para el desarrollo Sostenible Agropecuario y Forestal. Agricultura] Research and Development Centers (Uganda) Asociación de Servios Artesanales Rurales Asociación de Empresarios Agroindustriales de la Sub-Cuenca del Río Cabuyal Asociación de Beneficiarios de la Subcuenca del Rio Cabuya! (Colombia) Asociación de CIALs (Honduras) Asociación Hondureña de CIALs (Honduras) Agua y Tierra Campesina Banco de Desarrollo Rural sociedad anónima (Guatemala ) Beyond Agricultura[ Productivity to Poverty Alleuiation Centro de apoyo a l Desarrollo Cooperative for American Relief Everywhere Centro Ecuatoriano de Desarrollo Rural Centre for Entrepreneurship & Economic Development Central Ecuatoriana de Servicios Agrícolas CARE CEDIR CEED CESA CGIAR CGIAR CIAL Consultative Group on lnternational Agricultura! Research CIAT- IPRA CIAT-S.C- CICDA CIDA ClER CIOEC CIPASLA CIPAV CIRAD CISAS CNPMF. COCO DE CONDESA N Consultative Group for International Agricultura! Research (USA) Comité de Investigación Agrícola Local (Colombia) Investigación Partkipativa CIAT (Colombia) Centro de investigación Agrícola Tropical, Santa Cruz Bolivia Centro Internacional de Desarrollo Americano (Ecuador) Canadian International Development Agency Centro de Investigación Ecoregional para el Desarrollo Coordinadora de Integración de Organizaciones Económicas Campesinas de Bolivia Consorcio Interinstuticional para una Agricultura Sostenible en Laderas (Colombia) Center for Research on Sustainable Agricultura! and Production Systems Centro de cooperación de investigación agronómica para el desarrollo (Francia) Centro de Información y Servicios de Asesoría en Salud (Nicaragua) Centro Nacional de Pesquisa de Mandioca e Fruticultura Brasil Community Development Councils with emphasis on the community (Guatemala) Communities and Watersheds/CIAT Consorcio para el desarrollo sostenible de la ecorregión Andina CORDES CORFOCIAL CORPOICA CORPOTUNIA CUNOR DALDO DARS DDT DFID DfLPE EAP-Zamorano EAT EMBRAPA FAO FDTAs FDTA-Valles FEDEPANELA FIDAMERICA FIPAH Fundación para la cooperación y el desarrollo comunal de El Salvador Corporación para el Fomento de los Comités de Investigacion Agrícola Local (Colombia) Corporación Colombiana de Investigación Agropecuaria Corporación para el Desarrollo de Tunia (Colombia) Centro Universitario del Norte (Guatemala) District Dept. of Agricultura! & Livestock Development Department of Agricultura! Research Services, Malawi Dirección de Desarrollo Tecnológico de Bolivia Dept. of Sociology / Anthropology, University of Guelph Department for International Development (UK) Directorio Local de Promoción Económica (Bolivia) District Agricultura! and Livestock Development Office District Extension Coordinators Escuela Agrícola Panamericana, El Zamorano (Honduras) Enviroment Action Team Empresa bresilera de pesquisa agropecuaria Naciones Unidas para la Agricultura y la Alimentación Italy) FCAP-UMSS Universidad San Simón- INNOVA Fundaciones para el Desarrollo Tecnológico Agropecuario {Bolivia) Fundación para el desarrollo tecnológico agropecuario de los Valles, Bolivia Federación Nacional de Productores Paneleros. Fondo Internacional d e desarrollo Agrícola para América Latina y el Caribe Fundación para la Investigación Participativa con Agricultores en Honduras (antes IPCA Honduras) Proyecto Fomentando Cambios, IPRA/CIAT Bolivia Fondo de Contrapartida pa ra el desarrollo de Soyapango. FOCA M FONDESOY FUNAN FUNCOD FUNDEMI FUNPROCOOP FUSAI Fundación ANTISANA. GATE GRUYA ICA ICRAF IFAD IFPRI IIED IN CAP INCORA INIAP INSPIRE INTA INTEP IPRA-BOLIVIA ISAT JAINA Fundación Nicaragüense para la conservación y el desarrollo. Fundación para el Desarrollo y Educación de la Mujer Fondo de Contrapartida para el Desarrollo de Soyapango (El Salvador) Fundación Salvadoreña de Apoyo Integral Future Harvest Centers German Appropriate Technology Exchange Gobernación Dptal. de Alta Verapaz Cassava Group and Associated Heirs of the Planet- Youth, Life and Nature of Bellavista Instituto Colombiano Agropecuario International Center for Research in Agroforestry Nairobi, Kenya International Fund for Agricultura! Development). International Food Policy Research Institute International lnstitute for Environment and Development London Imperial College of England Instituto de Nutrición de Centroamérica y Panamá Colombian Institute of Agrarian Reform Instituto Nacional de Investigaciones Agropecuarias (Ecuador) Integrated Soil Productivity Initiative Through Research and Education Instituto de investigaciones ambientales del pacífico Instituto Nacional de Tecnología Agropecuaria, Nicaragua Instituto de Educación Técnica Profesional Investgación Participativa con agricultores (PROINPA, Bolivia) Information and Advisory Service on Appropriate Technology Comunidad de estudios Jaina 350 KARI MACIA MAG MANRECUR NAADs NARO NARS PACOFOR PELUM PESA PIENs PNUD PREDUZA PRGA CGIAR PRODESSA PRODII PROlNPA PROLADE PROMETA PRONATTA PROSUKO Proyecto CALL PRR SE CAP SEDAL SELVA SENA SETAGRO SIBTA SOL SP-PRGA SWNM TIP TROPlLECHE TSBF Kenya Agricultural Research lnstitute Katamata Farmers group Land Tenure Center, University of Wisconsin-Madison Lilongwe Agricultura} Development Division Ministerio de Agricultura campesina y del medio Ambiente (Bolivia) Ministerio de Agricultura y Ganadería (Ecuador) Proyecto de Manejo de Recursos Naturales (Ecuador) Ministerio de Desarrollo Sostenible Bolivia Ministry of Agriculture, Dept. of Agricultura! Research & Technical Services, Dept. of Agricultura! Extension (Malawi) National Agricultura! Advisory Services National agricultura} research organization National agricultura} research National Agricultura} Advisory Services National Agricultura! Research Organization) Organisations to develop adaptive research projects Organisations to develop agricultura! technological Proyecto de Desarrollo de la Participación Comunitaria en el Sector Forestal Participatory Ecological Land Use Management Programa Especial de Seguridad Alimentaria de Ecuador Proyectos de Innovación Estratégica Nacional Plan International Malawi Programa de las Naciones Unidas para el Desarrollo Proyecto De Resistencia Duradera Para La Zona Andina Prefectura Tarija Systemwide Program on Participatory Research and Gender Analysis Proyecto de desarrollo de San Dionisia (Nicaragua) Programa de Desarrollo Integral Interdisciplinario Fundación para Promoción e Investigación de Productos Andinos (Bolivia) Projects of National Strategic Innovation Proyecto laderas en los valles andinos Bolivia Proyecto Mejoramiento tracción Animal Programa nacional de transferencia y tecnología agropecuario (Colombia) Programa Interinstitucional de Subakollos Proyecto Carpo-Buenos Aires en el Depto del Cauca. Proyecto INNOVA Programa de Reconstrucción Ru ra l (Honduras) Servicios Ecuatoriano de Capacitación Profesional (Ecuador) Servicios para el Desarrollo Alternativo (Ecuador) Seed Production Association Asociación "Somos ecologistas en lucha por la vida y el ambiente Servicio Nacional de Aprendizaje (Colombia) Servicios Técnicos Agropecuarios Sistema Boliviano de Tecnología Agropecuaria Supermarket of Options for Hillsides Systemwide Program on Participatory Research and Gender Analysis Program (CIAT) Systemwide program on Soil Water and Nutrient Management Traditional Irrigation and Environmental Improvement Programme Consorcio, Sistemas de alimentación con leguminosas para Intensificar Africa soil fe rtility network 35 1 TSBF TUCAYTA UCRES UMATA UMSS UNDP UNDPT USAlD UTA UVTT VIRUDI WKK Abreviations AGM03 AHI APG: ATDT CBOs CMAD esos ERI FCAP FFS FGDs FPR FRG FTDA GEC GEM GFAR GGUSA GNTP GTZ IAEM IAM ICTs IIED INM IPM JACs LADD M&E NGO NRM PCA PCB PD PET Tropical Soil Biology and Fertility Jnstitute Corporación de Organizaciones Campesinas (Ecuador) Unión de comunidades rurales del norte de El Salvador Uganda National Patato Unidad Municipal de Asistencia Tecnológica Agropecuaria Universidad Mayor de San Simón Bolivia United nations development programme Unit of Political of Technological Development UPDT Unión General Obrera, Campesina y Popular México Universidad Católica de Ibarra. Ecuador Universidad Nacional Autónoma de Nicaragu a , León Agencia de los Estados Unidos para el Desarrollo Internacional Unidad Tecnológica Agropecuaria Tarija Unidades de Validación y Transfe rencia de Tecnología, Chimborazo. Vision for Rural Development Initiatives The Kellogg Foundation World Vision Annual General Meeting Africa Highlands In itiative Asamblea del pueblo Guaraní Project in Rwanda Community-based organizations Commu nitte Against Desertification Civil Society Organizations Enabling Rural Innovation Facultad de Ciencias Agropecuarias Farming Field School focus group discussions Farmer participatory research Formation of farmer research and market research groups Fundaciones Tecnológicas de Desarrollo Agropecuario (Bolivia) Groups Evaluating Clones Gender evaluation methodology Global Forum for Agricultural Research Grupo Gestor para el desarrollo del Valle de San Andrés Grupo Nacional de Trabajo para la Participación. Sociedad Alemana para la Cooperación Técnica Integrated agro ecosystem management and conservation Integrated Agroecosystem Management Information and communication technologies International Institute for Environment and Development Integrated nu trient management Integrated pest management Local Administrative Committees Lilongwe Agricultura! Development División, Malawi Monitoring and evaluation Non governmental organization Natural resource management Principal components analysis Participatory research in cassava breeding Participatory diagnoses Participatory evaluation of technologies 352 PIM PITAs PM&E PME PMR PPB PPSF PR PRAs R&D RAE RD&TT R-to-C SG Participatory impact monitoring Proyectos de Innovación Tecnológica Aplicada, Bolivia Participatory monitoring and evaluation Participatory monitoring and evaluation systems Participatory Market Research Participatory Plant Breeding Participatory procedures applied to the development and selection of forage technologies Participatory Research Participatory rural appraisals Research and Development Rural Agro-Enterprise . Research development and technology transfer Resource to consumption Stakeholder groups 353 10'8S~J Project SN -4 Inforn1ation and Collllllunications for Rural Co111:rnunities (InforCont) 355 Objective: Project SN-4: Information and Communications for Rural Communities To strengthen rural communities' capacity for innovation by better enabling them to obtain, generate, and share information and knowledge, with the aid of modern information and communications technologies (ICTs). Outputs: Computer-based distance-education (e-learning) programs, multimedia products on CD- ROM, and printed materials that convey science-based knowledge and methods in forros that are useful for development professionals Proven approaches and tools for finding and obtaining agricultura] information, especially via the Web Community telecenter models for providing connectivity and building local capacity to use ICTs for rural innovation Approaches for creating a local culture of knowledge discovery and sharing, with the aid of new ICTs linked to other communications media Approaches for stimulating the development of local content that is relevant to rural innovation Milestones: 2004 Efforts under way in Colombia, at least one other Andean country, and in two Central American countries to incorpora te the use of ICTs into rural development, with particular emphasis on support for small agroenterprises. Four e-learning courses completed and at leas t one multimedia tr aining tool under development. New collaborative arrangements established in Colombia for improving access to agricultura! information. 2005 Regional projects on ICTs for development under way in Latin America and East Africa. Local information systems and communications groups created and operating in both those regions. Further e-learning courses and multimedia products developed. Users: The primary users of the project's outputs will be development professionals and community leaders associated with local organizations (particularly farmer groups, NGOs, and rural schools). These persons will acquire new tools and approaches that better enable them to help rural people create useful knowledge and improve services needed for solving problems and acting on new opportunities in agriculture. Collaborators: SN-4 is building alliances with various international organizations that support the use of ICTs for development, including Canada's Institute for Connectivity in the Americas (ICA), Fundación Chasquinet (a Latin American initiative based in Ecuador), and the global Association for Progressive Communication (APC) . In addition to profiting from these organizations' e x perience and expertise, CIAT can tap into their networks of local partners in developing countries. CGIAR system linkages: Training (30%); Information (60%); Organization and Management (5%); Networks (5%). CIAT project linkages: SN-4 will provide all Center projects with new means of increasing research impact and obtaining feedback on research products from rural people. The project should be particularly useful to CIAT's new Rural Innovation Institute (RII) as a means of 356 strengthening participatory approaches to agroenterprise development, local adaptive research, community-based watershed management and rural planníng. 357 1 Narralive swnntary Measurable Indicators Means of v e rification Important assumptions Goal lncreased occurrcnce of lmpact evaluation within a To help the rural poor build tcchnical and social sustainable livelihoods sustainable livelihoods by innovation in target framework, based on improving the flow of genuinely rural communities. household surveys, relevant information among lncreased opportunities for interviews with key rural communities and research off-farm activities that informants, and group and development (R&D) generate income and techniques in target rural organizations. employment. communities. Purpose New options for enhancing Case studies on the use of Rural communities can obtain To strengthen rural livelihoods identified by information obtained with affordable, reliable access to communities' capacity for individuals and the aid of ICTs in target the Internet. innovation by better enabling organizations in rural rural communities. National and local organizations . them to obtain, generate, and communities through lmpact evaluation of Web-based commit themselves to share information and improved information information applícations providing rural communities knowledge, with the aid of access. developed by local with relevant information modern information and Stronger planning and problem- organizations. services. communications technologies solving capacities in rural Rural communities prove (ICTs). communities, based on receptive to a new improved electronic information culture based communications both on the use of modern ICTs. among communities and Systems for continuous with R&D organizations. monitoring and evaluation A greater capacity in local adopted by organizations organizations to satisfy hosting rural community information demand in rural telecenters. communities. Outputs E-learning programs under way On-line evaluation of e-learning Public and prívate Computer-based distance- and multimedia products programs. telecommunications agencies education available to partners. Training tools available in print support initiatives to create (e-learning) programs, Diverse clients (from form and on CD-ROM. affordable, reliable Internet multimedia products on CD- researchers to telecenter Locally developed information access in remate rural areas. ROM, and printed materials operators) more effectively systems available on the National and local organizations that convey science-based obtaining information and World Wide Web. can generate resources knowledge and methods in using it in their work. Consultancy reports a nd project through information services forms that are useful for Financially and socially information on the Web and in that enable them to sustain development professionals. sustainable telecenters print form. these services. Pr()ven approaches a nd tools for established by local Conference papers, journal National and local organizatiol'!.§_ finding and obtaining organizations, with the aid of articles, and technical reports gain credibility in rura l agricultura! information, training tools developed by on the performance and communities as reliable especially vía the Web. CIAT. impact of approaches providers of useful Web-based Community telecenter models Local communications groups developed by the project. information services. for providing connectivity formed in target communities and building a local capacity and providing effective to use I CTs for rural information services to rural innovation. communities. Approaches for creating a local Dynamic, Web-based culture of knowledge information systems discovery and sharing, with (integrated with conventional the aid of new ICTs linked to communications media) other communications developed by local media. organizations that have Approaches for stimulating the received training and other development of local content support from the Center. that is relevant to rural innovation. ----- 359 Introduction It is difficult to imagine how millions of rural families in the tropics can achieve sustainable livelihoods as long as their access to information and knowledge continues to be so limited. Agricultura! R&D organizations in developing countries must, therefore, join the search for ways to break down the isolation of rural communities. Specifically, we must identify practica! approaches whereby rural people can build the knowledge they need to m ake their agricultural produ ction more resilient and competitive, protect the health of fragile agroecosystems, and bring about technical and social innovation. Modern information and communications technologies (ICTs), such as the Internet, could facilitate that task, but the new ICTs have not yet been made widely available or relevant to the poor in rural communities. Nonetheless, many developing countries have seen a proliferation of privately run Internet cafes in small towns, and some national governments and NGOs are extending Internet access to more remote rural areas through ambitious and socially progressive connectivity programs. These developments offer CIAT and its partners an exciting opportunity to demonstrate convincingly how ICTs can be used to create stronger links between progressive, client-oriented agricultura! research and local efforts to achieve sustainable rurallivelihoods. In pursuit of that opportunity, CIAT established the Information and Communications for Rural Communities, or InforCom, Project in mid-2002. In 2003 the project completed its first full year of operations. During the first few months of the year, we defined a five-part strategy for developing international public goods aimed at strengthening the capacity of rural communities and R&D organizations to obtain, generate, and share information, with the aid of ICTs. The strategy consists of the five central components listed below, which encompass a broad continuum of information and communications functions, from international and national organizations to rural communities: From research results to development resources-e -learning programs and multimedia training tools Better access to global information and knowledg~proven approaches and tools for finding and obtaining materials on the Web Local use of ICTs for rural innovation-sound models for development of community telecenters to provide connectivity and build local capacity in ICT use Local communications groups-community-based approaches for creating a local culture of information use Local information systems-Approaches for stimulating the development of local content relevant to rural innovation Bnilding on previous experience in sorne of those areas, InforCom made significant progress during 2003, as described below, in advancing with all five components of its strategy. From Research Results to Development Resources Through agricultura! research CIAT, other international centers, and many national institutes are amassing a wealth of information and knowledge about tropical crops and soils, integrated pest management (IPM), and related topics. CIAT and others are also creating a wide array of participatory approaches that offer rural people a more prominent role in actions leading to sustainable livelihoods. These actions include crop diversification, agroenterprise development, local adaptive research, integrated pest and disease management, regeneration of degraded soils, and land-use planning at the community level. CIAT shares participatory approaches through training, printed materials, and Web publishing. But there is clearly a great need and much potential todo more . With a view to making these and other products of agricultura! research more widely available and more relevant to development professionals in rural areas, CIAT has embarked on two new initiatives, one focused on e-learning and the other on multimedia training tools. E-leaming Early in 2003, the project launched a new venture in distance education. For this purpose we chose a computer-mediated approach, or e-learning, beca use of íts distinct advantages over other options. Unlike videoconferencing, for example, e-learning allows students to interact with tutors and other students over long periods (usually 3 months), in an asynchronous manner (i.e ., at any time), and at any place where there is an Internet connection. E-learning thus lends itself more readily to life-long learning for busy professionals, who may lack the time or money to partícipate in courses involving specific time commitments and travel to remote locations. Students are accompanied by experienced tutors, who facilitate the Iearning process. The experience is further enriched by discussions among students through a virtual campus, which is accessible to students, tutors, and experts invited to cover specific topics in the course. Students may access lessons and discussions in the virtual campus from Internet cafés, community telecenters, universities, or home computers, and they can download study materials and discussions. To speed the incorporation of e-learning into CIAT's work, we chose REDCAPA as our partner. Headquartered in Brazil, this not-for-profit NGO has 8 years of experience in computer-mediated distance education. The head of CIAT's lnformation and Documentation Unit (IDU) and supervisor of library public services first established a representative working group of CIAT staff and then, with support from CIAT's Project Development Fund, organized a 10-day e - learning consultancy with REDCAPA's director. This included a 3 -day workshop, which was attended by 40 CIAT staff. In addition, the consultant conducted interviews with 40 staff, which resulted in a list of 37 possible topícs for e - learning courses. We also discussed funding opportunities and agreed to share experiences on how best to proceed jointly. Based on the outcomes of this consultancy, the working group recommended that we concentrate on justa few courses initially, particularly on one-Ex-situ Conservatíon of Plant Genetic Resources and Management of Germplasm Banks- that had already been organized several times, in conventional fashion, by CIAT and IPRGI at CIAT headquarters. We decided to go about developing the course as a joint venture with Colombia's Universidad Nacional, IPGRI, and REDCAPA. Preparations for this course are well under way, and individuals from each institution are participating enthusiastically. Four other courses are in prepara ti o n . Multimedia training tools 360 While continuing to produce printed materials, CIAT has also built the expertise required to develop multimedia products for distribution on CD-ROM. These products are designed to convey science-based knowledge and methods in forms that are practica!, interactive, and instructive. In 2003, InforCom completed its first multimedia training tool. Based on the experience of a recently completed 3-year project (InforCauca), the tool-called Telecentros Comunitarios: Una Estrategia para Promover el Uso de las Nuevas Tecnologías de Información y Comunicación (TIC} para el Desarrollo Sostenible en Zonas Marginales-offers recommendations and advice on telecenter development. It also provides details about the telecenters and organizations that InforCauca supported, with funding from the International Development Research Centre (IDRC) and Rockefeller Foundation. Telecentros Comunitarios presents this material in an engaging and interactive manner through a combination of brief, interestingly written Spanish-language texts, animation, photos, and other graphic elements. The product was launched at Colombia's Second National Telecenter Workshop, which CIAT organized with two local partners and hosted at Center headquarters in early October 2003. Telecentros Comunitarios will be distributed to workshop participants, and it will be publicized in Colombia through Colnodo (an NGO partner that promotes the use of ICTs for development) and elsewhere in Latín America through the Fundación Chasquinet, which coordinates the regional telecenter network Somos@Telecentros. Local partners in Colombia plan to use the tool for promoting telecenter development through meetings with municipal government officials and NGOs. The InforCom Project believes that multimedia products could usefully complement the training and learning processes through which CIAT works with partner organizations. As such they are potentially powerful tools for translating research results into resources for development. For that reason, having developed our first multimedia training product, we will now explore interest among other Center projects in applying this approach to a wide range of topics. Better Access to Global Information and Knowledge Over the last couple of years or so, the CIAT Web site has proved effective for broadening access to information about our research and its results and products. Statistics on use of the Web site during 2003 show a steady increase in the total number of visits to the site per month, which reacbed 133,000 in September, up from just over 80,000 in January. The total number of visits for the last year was about 1.3 million. For September we estímate that the number of different individuals accessing the site was roughly 72,000 from 166 countries. It is also worth noting that throughout the year the Agroenterprise Project site showed, by far, the largest number of files downloaded (e.g., informal documents , formal publications, and PowerPoint presentations); the figure for September was about 82,000. Even so, filling Web sites with on-line scientific information does not by itself guarantee that users will be able to find the material they want and make good use of it. Key scientific information resources must be promoted among specific user groups and training provided in the use of these tools. Users also need to know about recently implemented copyright regulations for electronic 361 publishing, which differ by country and tend to be much more restrictive than those for printed materials. To help meet those needs, InforCom offered a series of workshops in 2003, which contributed importantly to the capacity of close partners in Colombia and heightened their awareness of information resources available through CIAT. Three new initiatives were received with special enthusiasm: (1) a workshop for 15 professors at the Universidad Nacional-Palmira on access to electronic sources of scientific information relevant to their research and teaching responsibilities, (2) a similar event for 20 researchers from the Palmira facilities of CORPOICA, and (3) another for community telecenter operators, emphasizing information resources that are relevant to the needs of rural communities. In addition, interlibrary loans and other library services were formalized and streamlined for easier access in the future. The project also supported initiatives involving the use of meta data, with multilingual keywords, to facilitate access to information across language barriers. For example, we took part in the CGIAR's InforFinder Project, which includes work on multilingual categorization schemes and key words. In addition, we helped conceive and implement a project in collaboration with the UN Food and Agriculture Organization (FAO), the World Health Organization (WHO), Cornell University in the USA, and the Rockefeller Foundation, aimed at making scientific journals readily available to the world's poorest nations. In connection with this work, the World Bank's Agricultural and Rural Development commissioned CIAT to carry out a consultancy in Ethiopia, Kenya, and Uganda to assess the capability of libraries to access on-line scientific information resources. In the course of the consultancy, the head of the IDU gave a presentation on information access at a staff retreat of Uganda's National Agricultura! Research Organisation (NARO) and in 10 other institutions that were visite d . Local Use of ICTs for Rura l Innovation As mentioned in the introduction to this report, Internet access is gradually spreading in developing countries, even in remote rural areas. As that happens the wealth of useful information being made more readily accessible to agricultura! R&D institutions will also be available to growing numbers of rural communities. Even so, increased public access to ICTs by no means guarantees that rural people will use them to obtain information relevant to sustainable livelihoods. For that to happen local organizations must make a deliberate effort to incorporate ICTs into pro-poor development initiatives. Over the last several years, CIAT communications staff and local partners in Colombia's Cauca Department have been examining the potential of community telecenters as a means of fomenting local use of ICTs for rural development. In collaboration with the Corporación Universitaria Autónoma de Occidente (CUAO) in Cali, we have supported three telecenters, two rural and one urban, under the InforCauca Project. A community telecenter is a public place where individuals and organizations can learn to use ICTs for development. It differs from the typical cybercafe in that telecenter operators provide users with personalized computer training as well as support in applying ICTs for specific purposes. To reinforce the 362 development orientation of the community telecenters, lnforCauca has devised a general model for telecenters, in which they are hosted by local NGOs possessing a strong record of community service. When the lnforCom Project was created last year as part of CIAT's Rural lnnovation lnstitute (RII), the telecenter work was incorporated into this new communications and information endeavor. As InforCauca carne toan end (June 2003), we placed particular emphasis on evaluating the impact of the three telecenters supported by the project (with valuable assistance from CIAT economist Nancy Johnson) and on implementing a strategy to achieve telecenter sustainability. Financia[ and social sustainability The sustainability of InforCom's telecenter model depends on three key elements: ( 1) income for services, (2) support from host organizations, and (3) funds generated through the development of local projects involving ICT use. Four months after the close of InforCauca and the end of donor support, all three telecenters are still operating and show reasonably good signs of achieving financia! sustainability. Income for services, however, covers no more than about half the total costs of operating the telecenter (in sorne cases less). lnterestingly, the host organiza tions have proved willing to pick up the rest of the costs. And sorne have been remarkably successful in obtaining funds for their own projects involving the telecenter operators and services. Particularly noteworthy is the experience of a t elecenter operated by the Corporación para el Desarrollo de Tunía (Corpotunía) in central Cauca. Early in the year Corpotunía received funding from the Spanish Fundación Desarrollo Sostenible (Fundeso) to coordinate Colombian participation in a project called Inte rculturanet. Its purpose is to promote cultural exchanges, via Internet, between school children in Spain and counterparts in Bolivia, Colombia, and Morocco, with a view to combating prejudice against migrant workers from those countries. Under this project Corpotunía organized the participation of childre n from 10 schools in Cauca and Valle Departments. Corpotunía was able to undertake the project, beca use it had seve ra! years of experience in managing a community telecenter and could thus offer the necessary infrastructure, skills, and knowledge. Based on these same strengths, Corpotunía also obtained funds from the Instituto Colombia no para el Desarrollo de la Ciencia y la Tecnología (Colciencias) for a research project centering on the formation of grupos gestores de comunicación, or "communications groups," within local grassroots organizations. For more details about this project, which InforCom actively supports, see the discussion below under "Loca l Communications Groups." The Asociación de Cabildos Indígenas del Norte del Cauca (ACIN), which operates a telecenter at Santander de Quilichao in northern Cauca , aspires to similar success. And for that reason it has developed a proposal for a communications project (not yet funded) , under which U hope s to sha re its successful experience in the use of ICTs with other indigenous people's organizations in Valle and Chocó Departments. The project's title, Communication for Life, r e fers to ACIN's new conviction that communications in general and ICTs in particular are essential tools for defending the huma n rights of indigenous groups and for advancing other aspects of what they call their "life plans," including the ir work in agriculture and natura l re source management. 363 One of ACIN's telecenter operators presented the project idea and shared the organization's experience with ICTs at the Workshop on Support Networks for Indigenous Peoples of the Americas. This event took place in the framework of the Second Annual National Forum on Connectivity for Canadians, held at Ottawa, Canada, in March. It appears, then, that the financia! sustainability of the telecenter depends only partly on its success as a microbusiness selling ICT services to the public. To a larger degree, it hinges on the host organization;s conviction that community telecenters are a means of generating social benefits through specific ICT applications relevant to rural schools and other local organizations. Corpotunía and ACIN not only believe that is the case but have taken the further step of seeking funds for projects designed to generate such benefits. Evaluation of institutional impacts The results of lnforCom's work on telecenter sustainability are closely related to sorne of the main conclusions of our impact evaluation. At the outset of the project, we expected impact to come chiefly from the decisions and actions of individual telecenter users. Contrary to our expectations, the most notable impacts can be seen within the organizations hosting the telecenters. To examine those impacts systematically, CIAT's Impact Assessment Project carried out studies of two rural telecenters in Cauca, one hosted by ACIN and the other by Corpotunía. For this purpose Center economist Fabiola Amariles designed a survey of key individual& in those organizations, using a method developed by IDRC for assessing institutional changes attributable to particular projects or interventions. The method examines three aspects of an organization-motivation, capacity, and relationships with the externa! environment-with a view to determining how its performance may have improved in terms of effectiveness (or ability to achieve goals), efficiency (in the use of resources), and viability (or financial health). The telecenter at ACIN It is evident from study results that the telecenter has given rise to substantial changes in the life and work of this organization, which supports a dozen or so indigenous reserves in northern Cauca Department. The reserves are home to so me 75,000 people, most of whom belong to the Paez ethnic group. All of the ACIN staff interviewed had acquired new knowledge, improved the way they work, and linked their activities more closely than ever with those of outside agencies. Specifically, staff underscored the value of routine use of e -mail in ACIN to facilitate contacts and to develop externally funded projects. and they cited the usefulness of Web searches for accessing information that was previously unavailable to them. In examining the motivation of ACIN staff, the study found that the telecenter had better enabled them to fulfill the organization's goals, mainly in two ways. First, the use of e-mail and the Web has enabled and motivated ACIN to compete more effectively for project funds. Staff are now more knowledgeable about opportunities and more efficient in handling project proposals. Increased awareness of the organization on the part of donors and collaborators has also helped: "We've made ourselves better known to the rest of the world," as one person put it; "we have greater credibility with other organizations," said another. Staff also note that ACIN's attractive organizational Web site has contributed importantly to those ends. Second, learning about the strategies and experiences of other organizations, particularly those connected with indigenous movements in the Americas, has heightened ACIN's awareness of the overall significance of its work. This, in turn, has reinforced the commitment of individual staff to the organization's mission. With regard to motivation, the study also looked for changes in decision making and organizational values. Although ACIN was a fairly democratic organization to begin with, the staff interviewed commented that decision making now rests on a broader base of information about a wide range of topics. Moreover, it appears that the telecenter has strengthened the role of women in the organization and in the indigenous communities generally. This is a result of the telecenter's active support for ACIN's Women's Program, particula rly by obtaining and disseminating information about the use of gender analysis methods in projects. One result is that gender indicators have been incorporated into the land-use planning of indigenous reserves in five different municipalities. These changes seem especially significant if one bears in mind that, from the outset of the InforCauca Project, sorne indigenous leaders ha ve expressed concern that the adoption of new ICTs would do more harm than good. Their quite legitimate fears range from issues of personal safety and cultural pollution to questions of intellectual property and possibly negative implications for the Paez people's oral tradition of communication, which is a central element in their collective mode of decision making. The debate about these issues continues in ACIN. And they are considered sufficiently important to have warranted, at the end of 2002, the creation of a Concejo de Comunicación, or Communications Council. This provides a formal framework for the telecenter as well as for severa! community radio programs and other communications activities. The Concejo also represents a partial answer to sorne indigenous leaders' reservations about ICTs. Appropriate, high-level leadership is one way of ensuring that these new technologies, in combination with "old" ICTs like radio, help rather than harm ACIN and the communities it supports. Anothe r way to ward off potential negative impacts is by building the organization's capacity to use ICTs appropriately. And in this regard the t elecenter has contributed importantly to the personal and professional development of ACIN's staff. The changes began with telecenter operators like Wilma Almendra: 365 As a person l've benefited enormously. Before, 1 wasn't interested in the community. 1 hardly ever took part in meetings and assemblies, and when 1 did go, 1 usually fell asleep, because 1 didn't understand what people were talking about. Now, 1 not only attend assemblies, but 1 participate in them and tell others what I'm doing; and they show an interest in my work. Other ACIN staff remark that new computer skills have improved their efficiency in the organization and in other activities, such as teaching. Some have also learned through the Web about opportunities for obtaining financia! support to attend workshops and receive training. 366 One important manifestation of ACIN's improved communications capacity is the stronger integration that exists now between the organization's headquarters and sorne of the more remote indigenous reserves it supports. This has been achieved primarily by linking telecenter services with community radio programs. Under a system that ACIN staff call "chivanet," the telecenter operators copy documents, such as e-mails and illes from Web sites, onto diskettes and deliver these to the driver of a rugged rural bus called a chiv'4 which travels daily to the remote reserves. The driver delivers the diskettes to the radio operators, who then convey messages and incorporate information from the Web into their radio programming. According to the institutional impact study, ACIN has also beneilted greatly from improved externa! communication. Staff note a marked increase in the organization's links with various types of organizations, especially donors, within Colombia and around the world. Each ACIN program-for health, education, natural resource management, and so forth-has widened its contacts with organizations that can provide speciilc information and other support. ACIN received a dramatic lesson in the value of such contacts 2 years ago, when the intensiilcation of ilghting between guerillas and paramilitaries in northern Cauca resulted in gross human rights abuses against the Paez people. This included the assasination of indigenous leaders and massacres in remote Paez communities. The telecenter operators began sending digital images of missing persons to human rights organizations, in addition to using these to make printed notices for distribution by family members of the desaparecidos. With assistance from CIAT, ACIN also developed a media list and began sending communiques about the human rights abuses to the press and human rights organizations. Eventually, ACIN and other indigenous associations in the region organized a massive human rights march, in which 35,000 p e ople participated. On this occasion the telecenter proved vital in handling logistics as well as communication with the media and other organizations. In sum, the telecenter has served as a kind of communications unit for ACIN, and this helps explain why the latter is now willing, in effect, to subsidize telecenter operations. Arguably, the organization could ha ve reaped the gains described above by adopting the use of ICTs in so me other way, that is, without necessarily creating a telecenter. But, on the other hand, the strong training component of the community telecenter model and the continuous support offered by InforCauca proved decisive in successfully incorporating the use of ICTs into the organization. Moreover, having set up the telecenter, ACIN is now well positioned to extend the benefits it has reaped as an organization to the larger Paez community as well asto other indigenous people's associations. The telecenter at Corpotunía Corpotunía is a not-for- profit NGO dedicated to prornoting agricultura! as well as social and cultural development in various rnunicipalities of central Cauca through participatory approaches. Unlike ACIN, Corpotunía had already begun using the Internet when the InforCauca Project carne along. Nonetheless, staff and management tended to view this largely as a secretaria! function. Not untll Corpotunía carne to host the telecenter-after unsuccessful trials in a local technical school and the town cultural center-did it stirnulate within the organization a learning process through which all staff acquired and began to apply ICT skills. Once it dawned on Corpotunia that hosting the telecenter placed it in the vanguard of local ICT promotion, then it rnade sense-even becarne urgent-for the organization's own staff to jo in the early adopters of this new technology. The primary impact of this process within the organization has been to broaden considerably its field of action. What this means concretely is that the telecenter has given Corpotunía an entirely new focal point for project development-a task in which, as mentioned earlier, the organization has been remarkably successful. The new projects, in turn, have provided staff with exciting and innovative ways to work toward their developrnent mission. As a result, they have come to see the telecenter as a source of broad social benefits- such as finding practica! inforrnation for local flower producers, helping students with their homework, and reducing the cost of communication with friends and relatives working abroad. Little wonder, then, that CORPOICA's manager, Williarn Cifuentes, has become a strong proponent of ICT use in the region, "selling the idea to everybody," as he puts it. In doing so, though, he emphasizes the need for acompañamiento, or continuous support, in ICT application. Partly as a result of his efforts, another community telecenter has been set up in a neighboring municipality, and the Universidad del Cauca has become interested in supporting the telecenter movement at the departmentallevel. In addition to rnotivating Corpotunía to widen its development vision, the telecenter has helped it bulld the necessary capacities for contributing to that vision. As at ACIN, this is particularly evident in the telecenter operator, Karla Bolaños, but other staff have acquired valuable skills as well. One commented, for example, that she used the Web to prepare for meetings and that this better enabled her to debate issues and participate in decision making. With regard to agriculture, technicians working for Corpotunía described how they were able to obtain technical information from the Web that proved useful in their extension activities with farmers. This is particularly important for the majority who are paraprofessional extensionists possessing only a high school education. 368 By adding an interesting new dimension to its work, Corpotunía has substantially improved its image or standing among other organizations. And it projects that image strongly through a well-designed Web site. Moreover, the manager of Corpotunía frequently shares his organization's experience with ICTs, for example, through the National Confederation of NGOs and board of directors of the Regional Center for Productivity. For those reasons and beca use oí its success in ICT project development, Corpotunía is now viewed locally and in national organizations (including Colombia's Ministry of Communications) as a pioneer and leader in the use of ICTs for rural development in Cauca. As with other telecenter experiences, strong leadership (that is, the presence of a telecenter "champion") has proved to be a critica! factor in this success. The new telecenter mentioned above is supported by the Consorcio Interinstitucional para una Agricultura Sostenible en Laderas (CIPASLA) in Caldono, Cauca. Its director, Rodrigo Vivas, has also become a strong local champion for the use of new ICTs in rural development. Telecenter impact in rural communities In contrast with the experience of the staff of telecenter host organizations, use of the telecenter by members of the surrounding communities is still relatively limite d. Numbers of users are still somewhat small in relation to the local population, and so is the range of economically significant ICT uses. This is evident from a series of evaluations carried out by CIAT economist Liliana Mosquera from 2001 to 2003. In late 2001 she conducted user surveys in all three telecenters supported by InforCauca. About ayear later, in late 2002 and early 2003, a baseline survey of rural households was carried out in communities around the telecenter operated by Corpotunía. Analysis of the user surveys was completed in 2002, and the baseline survey data were analyzed in mid-2003. At about the same time, follow-up focus group interviews were organized with users of all three telecenters to get a better sense of how the telecenters are affecting users' lives. Corpotunía and its rural beneficiaries are more typical of CIAT clients in general than is the case with the other two telecenters supported by InforCauca, so we focus mainly on this telecenter in reporting on impacts among ICT users in the community. Results of a telecenter user survey The main purpose of this study was to characterize telecenter uses and users. It looked at how people draw on both new ICTs as well as other communications media (including letters, telephone, radio, television, newspapers, and magazines) to meet their diverse needs. The idea was to determine how ICTs fit within a broader pattern of media use and to identify potential implications for telecenter impact. One key point underscored by baseline study results was that telecente r users tended to be fairly young and well educated. At Tunía their average age was 3 0, and 95% had at least a secondary school education. Telecenter users were thus not representative of the general population but rather constituted a relatively elite group fitting the typical profile of " early technology adopters." There were no differences between men and women in terms of the availability or quality of services, suggestíng that the latter do not necessarily face major barriers in gaining access to ICTs. Nor did users fa ce tradeoffs for 369 financia! reasons in deciding whether to use one information source or another. In fact, they were spending more for information from conventional sources than on Internet use. So, among these early Internet adopters, cost is not a barrier to Internet access. In analyzing uses of new ICTs and other media, the study grouped them into four categories: ( 1) family communication, (2) general information, (3) personal development, and (4) specialized information. With respect to Internet use, the patterns are quite clear. As indicated in the accompanying table, the great majority of telecenter visitors use the Internet for family communication and for obtaining information that is of general interest or relevant to personal development. They use other media for those purposes as well, so the Internet complements conventional information sources rather than substituting for them. Uses of Internet in community telecenters, Colombia, 2001 Family communication General information (news) Personal development (education, employment) Combin ations of those three Specia lized information (e.g., technologies) Specia lized info . in com bination with others 20 18 27 24 2 9 Significantly for CIAT and other R&D organizations, only about 11% of users sought specialized information related to decisions or activities of economic importance. But then, only 29% of telecenter users said they were obta ining such information from any formal source. So what are the implications of these findings for community telecenter development? Obviously, if telecenters are to have an economic impact in people's lives, we need to know why so few telecenter users search for specialized information on the Internet or through other formal communications media. Is such information simply not available, or if it is, do users have little faith in its veracity? Are they getting this type of information mainly through family or personal communicatíons in which they have more confidence? Clearly, important challenges are to boost the overall number of telecenter users and to expand the uses of Internet, which does, after all, offer the advantage of being a highly multipurpose resource. Baseline survey of a telecenter's community The main purposes of the baseline survey (of 445 households) carried out in late 2002 and early 2003 were to document the extent of telecenter awareness and use in the community, to identify any changes in the pool of telecenter users (in relation to results from the 2001 users survey), and particularly to compare users with nonusers. The survey also allowed us to examine broader information and communication patterns in the community. Telecenter use at Tunía is still rather low, compared with use of other information sources. Only 25% of the town's population of just under 2,000 have visited the telecenter, even though just over half have heard about it. The figures are far lower for an agricultura! community about 20 kilometers away, in which only 8% of the respondents had even heard of the telecenter at Tunía. Fortunately, though, CIPASLA has recently established a new telecenter in tha t community, which is clearly beyond the reach of the telecenter at Tunía. 370 Telecenter users are not as educated as the elite early adopters surveyed a year ago, suggesting that the user pool has broadened somewhat. Yet, telecenter users are still significantly better educated than nonusers, and they are also better off in terms of material well-being (i.e., access to electrical appliances, public services, and so forth). In addition, telecenter users are more likely to use , and spend significantly more money on, other communications media. Users and nonusers do not differ, however, with regard to gender or participation in community activities. With respect to use oí the Internet in seeking economically important information, little has changed since 200 l. More than half of the farmers included in the survey, even the few who had used the telecenter, said they got such information from informal sources, chiefly other farmers, while 31% relied on formal sources, such as extension agents, agrochemical company representatives, and printed pamphlets. The limited importance of the Internet as a source of specialized information could relate to availability and confidence, as suggested in the discussion above of telecenter user survey results. But the baseline community survey points to still another possible explanation. When asked what information might be useful to them in their work, farmers referred generally to technical assistance, training, and other topics, but only 21% were able to identify at least one concrete information need, as indicated in the accompanying table. In contrast, 34% of the students and all of the teachers were able to identify such needs. Percentage of respondents who identified concrete information needs, Colombia, 2003 Agriculture Business Construction Employees Homemaker s Teachers Students Activityjoccupation 20 25 33 46 6 100 34 These findings are consistent with the predominance of students and teachers among telecenter users. Teachers in particular are willing to pay for Internet use, because they evidently know exactly what information they need and can readily obtain it through the Internet. If community telecenters are to become equally effective as a source of information for farmers and other actors in rural development, then the needs of these people must be defined more concretely, and more must be done to ídentify or create reliable information sources that are genuinely useful to them. Particular emphasis should be placed on using ICTs to develop projects aimed at improving public services or creating new employment opportunities. As mentioned above, Corpotunía has been quite successful in that regard. But according to the baseline survey, lessons from the organization's experience ha ve not yet reached the community in general. Only one respondent in Tunía reported using the Internet for project development. The more common sources of information for this purpose are community meetings and leaders. Hopefully, 371 Corpotunía's work with communications groups in local grassroots organizations (described in detall below) will result in more frequent use of the Internet for project development. The outcomes of the focus group discussions with telecenter users essentially reinforced patterns that are evident from the user and community surveys. Users tend to be younger and better educated than nonusers. And they frequent the telecenter mainly for computer training, to obtain general information (related to school assignments or availability of scholarships, for example), or to communicate with friends and relatives. Cases of individuals obtaining technical or economic information for use in development-related decisions are still scarce. Even so, the few such cases that exist can be quite instructive. Members of a local association of flower producers, for example, have received training in basic computer software at the telecenter in Tunía. With a view to identifying the requirements for breaking into export markets, a Corpotunía agronomist helped them consult the Web sites of other associations. The group determined that, in order to export their flowers, they would need to improve their infrastructure, meet new demands in terms of product volume and quality, obtain credit, and so forth. Thus, access to information has enabled the group to clarify its vision for the future and to identify specific needs. But this information alone obviously will not enable the group to realize that vision. Other support services are required as well. So me conclusions about telecenter impacts Even though use of the telecenter at Corpotunía to obtain specialized information is stilllimíted, thís forward-looking organization and the surrounding community have made an important start. A quarter of the town's population have beco me telecenter users just a few years since its establishment, and 18% have used Internet. They are proud to have the telecenter in Tunía and are pleased with wbat they have learned about ICTs. When asked about their own perceptions of the telecenter's impact, 83% of telecenter users (and 66% of nonusers) said it had generated benefits. The predominant telecenter uses- helping children do homework assignments and keeping in touch with friends and relatives-may seem superficial in terms of rural development. But they represent important gains for the townspeople, resulting in significant savings in time and money-a point stressed by many focus group participants. Moreover, these telecenter uses are feeding the community's hope for a better future. The telecenter is fuliilling many people's desire to learn and to connect themselves with the wider world. The parents of young telecenter users express high expectations that, by learning to use ICTs, their children will gain new opportunities for education and advancement. With continuing support from Corpotunía, the experience of these early telecenter users should provide a solid foundation for further ICT applications that contribute more directly to the achievement of sustainable rural livelihoods. Apart from this sense of optimism about the future, what specific lessons can we draw from our results on telecenter impacts in organizations and among users in rural communities? Or to pose the question in a different way, what can rural people reasonably expect from a community telecenter? 372 Clearly, in the early years of telecenter operations, its impacts in terms of sustainable development are most likely to be an indirect result of the improved efficiency and effectiveness that the host organizations gain through the use of ICTs. Presumably, such gains enhance these organizations' performance in helping rural communities develop new sources of income, improve their management of natural resources, and address other important challenges. It will take time and concerted effort, though, before significant development benefits arise from better decisions and actions taken by individual users of telecenter services. Thus, we should view telecenters, in the first instance, as a strategy for strengthening local organizations and not just as a means of making useful information more readily available to rural communities. That being the case, the financia! sustainability of the strategy can depend only in part on íncome from telecenter services to the publíc. The more decisive factor in the beginni ng is the conviction of local organizations that telecenters have a potentially large social value, of which the organizations themselves can be the immediate beneficiaries. Once a telecenter is up and running, however, it is vital for host organizations to take further steps that enable other groups and individuals to realize the social benefits of ICT use. Only then will users become the mainstay of telecenter sustainability, reducing pressure on the host orga nization to subsidize telecenter operations. Local Communications Groups In search of means by which telecenter host organizations can enhance the direct development impact of ICTs among users in surrounding communities, the InforCom Project embarked in late 2002 and early 2003 on n ew endeavors that complement our support for the telecenters. In search of inform.ation intermediaries We believe that one of the keys to enhancing the telecenters' development impact líes in the formation of information or communications íntermediaries in rural communities. Telecenters can clearly be an effective means of introducing connectivity and creating basic computer literacy in rural areas. But as our impact data show, many farmers wlll not have easy access to the telecenter, or will not feel inclined to visit it, or if they do vísit, will not necessarily have a concrete idea of their information needs. Moreover, even if they do find information on the Internet that is relevant to their work, this may not generate the confidence needed to translate information into knowledge through experimentation, leading to effective action aimed at solving a specific problem or seizing a new opportunity. Who, then, can help farmers perform those tasks, serving as a bridge between community telecenters and remote or reluctant users? Our expe rience with telecenters as well as other CIAT work point to various candidates. Rural schools are an obvious one. At Tunía we did not find the local vocational school to be an effective host for the telecenter, mainly b e c ause school m a nagement was reluctant to a ssume the responsibility. Nonethe le ss, t eachers and students are among the principal users of the telecenter hosted by Corpotunía, and in this they are strongly supported by parents. What role could schools play in making information more readily available to rural households? 373 Apart from aiding in school work, could this information help address concrete family needs and influence economically important decis ions? Another obvious candidate for the information intermediary role consists of extension officers like those working for Corpotunía. The use of ICTs has apparently better prepared these paraprofessionals to provide farmers with technical assistance. How much scope is there for extensionists to go beyond their conventional role in technology transfer to help ide ntify information needs, use diverse communications media to link farmers with information sources, and foment a culture of knowledge discovery and sharing? And what kinds of training and institutional arrangements would be necessary to bring about such a shift? Yet another possibility is to form communications groups within or in association with community-based organizations. Consisting of a half dozen to 10 people, these would include members of farm households with a particular interest in using modern ICTs, linked with conventional or traditiona l communications medía, to overcome the isolation of remo te rural communities. Gender and equity considerations would weigh heavily in the formation of these groups, so they could serve as a means of including women, indigenous people , rural youth, and other frequently neglected sectors of the population in the development of a local communications capacity. CIAT e x perience has shown that farmer groups can learn to carry out valid research and develop successful agroenterprises, thus promoting an experimental and entrepreneurial culture in rural communities. Thus, it should also be possible for groups of farmer-communicators to learn to obtain a n d share useful information, thus fomenting a local culture of knowledge discovery. If successful, these groups could provide a useful support se rvice to local research and agroenterprise development. With a view to exploring this last possibility, lnforCom has pursue d two closely related lines of research over the last year or so. Groups in grassroots organizations Under a 1-year project developed by Corpotunía with funds from Colciencia s , we are supporting efforts to develop grupos gestores de comunicación ("communications groups") within five community-based organizations operating in central Cauca. These are the following: Asociación de Productores de Frutas y Hortalizas Orgánicas de Silvia, APRAOS (Silvia Association of Organic Fruit and Vegetable Producers) Asociación de Beneficiarios de la Su bcuenca del Río Cabuya!, ASOBESURCA (Cabuya! River Watershed Beneficiaries Associatíon) Asociación de Mujeres de Cajibío, ASOMUCA (Cajibío Women's Association) Cabildo Indígena de Honduras (Honduras Indígenous People's Council) Junta de Acción Comunal de Tunía (Tunía Community Actíon Board) The central aim of the project is to determine wheth er and how the groups can be trained to build and share-through information acquisition and communication-the knowledge their organizations need to solve specific problems or seize particular opportunities. Toward this end a baseline survey of the five organizations was conducted in early 2003 to cha racterize them in terms of decision making, principal activities, institutional relationships, role of communications, and use of diverse media. Analysis of the results has not y et been completed. 374 The groups have received or are undergoing training on the following topics: introduction to communications, organizational strengthening, project planning and development, basic computer programs (covered in large part by Corpotunía's telecenter operator), and the use of diverse communications media. Each of the five groups has designed a project. The idea now is to see how they can use ICTs and other media (such as radio and video) to build the knowledge needed for implementing their projects and to share this knowledge with other members of the organizations. Community-based groups In related work, supported initially by IDRC and Rockefeller and currently with InforCom core funds, we have helped forro three other groups of farmer- communicators in three municipalities of northern Cauca. Group members are connected with various panela (brown sugar) producer associations scattered across the region. The aim is to establish whether and how these groups can acquire the capacity to provide an effective information support service or network for the panela industry (as a pilot case) and subsequently for small agroenterprises dealing wíth the region's other main value-added products. For this purpose the groups received intensive training over the last year on a variety of topics. In additíon, as with the grupos gestores, a baseline study was carried out. Unlike those groups, however, members of the three groups described here had not all previously worked together. So, their training initially focused on group organization and networking. The groups next received training in use of the Internet as well as other medía, such as radío. They also took part in workshops on graphic design, Web site development, and use of information resources available in the CIAT library. In addition to training, each group received acompañamiento, that is, weekly visits from InforCom staff, and occasionally met with the other groups to share experiences. During recent months the groups have been developing communications work plans, according to which they will perform the following tasks: Characterize their main audiences in local communities. Publicize the local lnformation System for Rural Agroenterprise Development (SIDER, see the discussion below), which the groups are helping develop. Seek information from local sources as well as the Web that matches the needs of their main audiences. Determine current information flows in their communities and identify the main communications media and channels. Develop and implement communications strategies for sharing useful information in the SIDER with target audiences through appropriate communications media. 375 Define mechanisms for evaluating the impact of these communications strategies. As the groups progress with their action plans, they are also establishing links with a wide range of local actors, including formal and informal educational institutions, government agencies, NGOs, and communications media. These links are essential for developing a territorial information system or network through which panela producers and other local entrepreneurs can construct the knowledge they need to create economically viable and environmentally sustainable agroenterprises. As a result of our work with different types of groups under diverse circumstances and with different approaches, we expect to develop a generic method for communications group formation. We will the n test the approach for its effectiveness in giving rise to "information intermediaries" or "knowledge brokers," who can link telecenter services with specific groups of agricultura! information users. Local Information Systems Just as groups of farmer-researchers may work in a shared experimental plot, farmer-communicators can jointly build information products. These can provide a focal point for their learning process and eventually the basis for an information support service, which would be offered to the local community, eventually perhaps on a commercial basis. A central assumption of our work with the communications groups in Cauca is that a locally developed Web-based information system can serve those purposes particularly well. Thus, in 2003 we worked closely with the three communications groups in northern Cauca to develop an on-line SIDER. Rescuing local knowledge Why a locally developed information system? Are not international and national organizations better placed and equipped to generate on-line content relevant to users of rural community telecenter? Certainly, these institutions do have an important role to play, and that is why translating research results into development resources (through e-learning and multimedia products) is the first output of the InforCom Project. Nonetheless, much of what rural people want to know may already be available locally in the minds of innovative farmers or in the illing cabinets of nearby organizations. The development of a local information system is thus a necessary first step in organizing the rescue of that information, so that it can be accessed more easily in the surrounding communities. In addition to raising awareness of local knowledge, the system might serve to build a sense of pride in this and other local resources. Moreover, once local knowledge is on-line, the information can be shared with R&D organizations. They, in turn, can evaluate this information, add value to it based on other experiences, and give the added- value information back to rural communities through clie nt-oriented electronic publishing. But why an on-line local information system, given that few producers and processors have a ccess to the Internet and are inclined or able to use it? One compelling reason is that an on-line system can easily be updated, as the communications groups glean new information from both local and distant 376 sources. Another is that, as we have seen in the development of CIAT's own Web site, a relatively complex Web-based system lends itself to decentralized development, so it is a good vehicle for involving group members directly in the process. In fact, software is now available that makes it possible for individuals to publish information on a Web site without having direct access to the server or evento standard Web-publishing tools; all they need is a Web browser. CIAT's Information Systems Unit {ISU) has recently evaluated one such optio~Action Applications, developed by APC. With support from the ISU, we will incorporate the use of ActionApps into the SIDER, which should be on-line by early next year. To overcome the problem of limited Internet access, the communications groups are being trained, as described above, to analyze and use a wide range of other more conventional or traditional media, such as community radio, printed documents, community assemblies, and so forth. Through these media group members will be able to channel information available in the on-line system to a wide audience in their communities. Building an agroenterprise information system What kinds of information will aspiring entrepreneurs obtain through this process and how is that information being collected? The SIDER consists of five components: (1) a price information service, (2) general information resources on agroenterprise development, (3) detailed information about the region's main value-added products, (4) a section including other information about the region (prepared by the communications groups), and (5) an explanation of the SIDER process. Farmers using the SIDER will find answers to questions such as "where can 1 sell my product" or "how much should 1 expect clients to pay?" Both farmers and organizations will find information that helps them improve agroenterprise management and enhance efficiency in adding value to specific tropical products. The process of gathering all this information has proved to be slow but is now well advanced. Part of the difficulty has been the participatory character of the undertaking. Many of the actors (group members and local organizations) have had to learn new skills and acquire the habit of documentation. The overall procedure consists of the following steps: Define collectively the types of information to be included in the SIDER. Review the various types of agroenterprise systems developed elsewhere. Organize a workshop on Web site development. Form a team of persons who participate directly in site development. Design the structure or architecture of the site and obtain feedback from group members. Develop content and prepare a prototype site showing the structure, design, and system of site navegation. Evaluate and adjust the prototype. Build mechanisms and capacity for continuous local development of the site. Development of the price information system is perhaps least advanced. But we have reviewed 26 Web sites of market information systems around the world and sought support from Corporación Colombia Internacional (CCI). As for the general agroenterprise information, we have compiled, in collaboration with local partners, information on sources of financing, agroenterprise organization, 377 support services, and relevant legislation. Working closely with Corpotunía, we are also well along in developing content on specific value-added products, particularly panela. The topics covered by this component of the system are as follows: Production technology: Sustainable crop management, integrated pest management, reducing harvest losses, production of improved planting material, calculating production costs, use of inputs, and so forth Processing technology: Storage procedures, processing practices and their costs, quality control, and so forth Market information and contacts: Fresh products Processed products (volume, packaging, seasonality, etc.) Instructive experiences in commercialization Alternative markets (e.g., for organic products) In the future such information will be available for at least six products that have been prioritized by an agroenterprise stakeholder group (of which Corpotunía and CIPASLA are members) in northern and central Cauca. They are dairy products, blackberry, plantains, anthuriums (a tropical flower), cassava, and panela (brown sugar). The work of the groups on more general information about their communities has proved essential for getting them directly involved in site development and for building their sense of ownership of the SIDER. The groups are focusing on topics such as community history and tourist attractions, information that should better enable the SIDER to stimulate a sense of pride in local culture and resources. As in our work with the various communications groups, we plan to develop a generic procedure for participatory development of local agroenterprise information systems. We will then evaluate the effectiveness and viability of this approach for making relevant content available (through ICTs and other media), both to local entrepreneurs and R&D organizations. Plans for 2 004 Based on the project activities and outcomes presented in this report as well as on new opportunities that have arisen recently, we have tentatively defined the following activities for next year. Four e-learning courses will be carried out, covering the following topics: ex-situ conservation of plant genetic resources and gene bank management, three-dimensional participatory mapping, production chains as tools for linking smallholders to markets, and entrepreneurial orientation and market fundamentals. Having developed its first multimedia training tool in 2003, InforCom will pro mote the use of this tool in Latín America, identify suitable topics for further products of this type, and proceed with the development of one or more promising candidates in 2004. The project will establish new collaborative arrangements with Colombia's Universidad Nacional, CORPOICA, and other organiza tions aimed at strengthening the national agricultura! information network. A p roject 378 proposal for this purpose will be de veloped for conside ration by a n ew World Bank-funded project on rural diversification. InforCom will work with other CIAT staff to develop an ICT 1 knowledge management project for the CGIAR. Based on the outcomes of the InforCauca Project, InforCom will consolidate and extend its work with community telecenters and related initiatives in Colombia by expanding its alliance with local partners. Negotiations are already under way, for example , with the Universidad del Cauca. As described below under "Resource Mobilization," InforCom will seek t o establish "learning alliances" with organizations in selected countries of Central America, the Andean Zone, and East Africa that are exploring the use of ICTs in support of agroenterprise development and related aspects of rural innovation. Efforts in 2004 will follow up on contacts and consultations made this year with CIAT staff and potential partners in those regions. The main purpose of our learning alliances will be to combine CIAT's experience and results with those of partner organizations, with a view to identifying good practices that can be adapte d to d iverse circumsta nces. For this purpose collaborative soft ware, called Expertise and developed by CIAT' s Information Systems Unit, should prove highly useful. Annex: InforCom Staff, Partn ers, and Suppor t Activities Project Staff Nathan Russell (50% ), Project Manager and Head, Communications Unit (CU) Edith Hesse (30% ), Head, Information and Documentation Unit (IDU) Dora Patricia Arévalo, Research Assistant Rebeca Bolaños (30% ), Secreta ry David Brand, Economist Eduardo Figueroa (50% ), Training Specialist Jorge Gallego (25% ), Systems Engineer 379 Luz Marina Gómez, Research Assistant Odilia Mayorga, Research Assistant Mariano Mejía (30%), Library Public Service Coordinator Erika Mosquera, Communications Student Liliana Mosquera, Economist Oiga Patricia Paz, Research Assistant (left during the year) Silvia Andrea Pérez, Communications Assistant Martha Cecilia Sarria, Community Facilitator Simone Staiger (25%), Web Publishing Coordinator Diana Paola Valero (25%), Graphic Designer Note: Staff for whom no percentage is indicated worked full-time for InforCom. Project Partners Asociación de Cabildos Indígenas del Norte del Cauca (ACIN), Santander de Quilichao, Cauca, Colombia Association for Progressive Communication (APC), through Colnodo (NGO), Bogotá, Colombia Consorcio Interinstitucional para una Agricultura Sostenible en Laderas (CIPASLA), Caldono, Cauca, Colombia Corporación Colombiana de Investigación Agropecuaria (CORPOICA) Corporación para el Desarrollo de Tunía (Corpotunía) , Piendamó, Cauca, Colombia Corporación Universitaria Autónoma de Occidente (CUAO), Cali, Colombia Fundación Chasquinet, Quito, Ecuador International Plant Genetic Resources Institute (IPGRI), Office for the Americas, Colombia Red de Instituciones Vinculadas a la Capacitación en Economía y Políticas Agrícolas en América Latina y el Caribe (REDCAPA), Brazil Universidad Nacional, Colombia Note: Within CIAT, InforCom collaborated actively with the Rural Agroenterprise Development and Impact Assessment Projects in research on telecenters, communications groups, and local information systems. Work on e -learning was done in collaboration with the Genetic Resources, Rural Agroenterprise, and Land Use Projects. 380 Publications and Presentations CIAT (Centro Internacional de Agricultura Tropical). 2003. Telecentros comunitarios: Una estrategia para promover el uso de las nuevas tecnologías de información y comunicación (TIC) para el desarrollo sostenible en zonas marginales [CD-ROM]. Cali, Colombia. 1 CD. Hesse, E. 2003. Educación a distancia mediada por computadora. Presented at Seminario introductorio para los tutores del Curso: Conservación Ex-Situ de Recursos Fitogenéticos y Manejo de Bancos de Germoplasma. Centro Internacional de Agricultura Tropical (CIAT}, Cali, Colombia, 17 de octubre de 2003. Hesse, E. 2003. Promoviendo los servicios de información agropecuaria y rural en las Américas: El papel estratégico de las bibliotecas. Presented at 11 Taller Estratégico de Coordinadores del SIDALC, San José, Costa Rica, marzo 20 y 21 de 2003. Hesse, E. 2003. Rules and tools behind the scene: The role of librarles in knowledge sharing. In: Pachico, D. (ed.). Scaling up and out: Achieving widespread impact through agricultura! research. Centro Internacional de Agricultura Tropical (CIAT) , Cali, Colombia. (In press) Hesse, E. 2003. Scientific information access: Evolving roles of libraries. Presented at 11 East African institutions in the context of a consultancy commissioned by the World Bank in June 2003. Hesse, E. 2003. Scientific publishing and copyright: The role of researchers and librarles. Centro Internacional de Agricultura Tropical (CIAT}, Cali, Colombia. (CIAT Seminar Series, February 2003) Hesse, E. 2003. Update on TEEAL: The essential electronic agriculturallibrary. Presented at CGIAR Information Managers' 3rd Meeting, The Hague, September 15-18, 2003. Hesse, E.; Mejía Marmolejo, M. 2003. Bibliotecas virtuales y derecho de autor: Experiencias recientes del CIAT. Paper presented at XIII Reunión Interamericana de Bibliotecarios, Documentalistas y Especialistas en Información Agrícola, Ciudad La Antigua, Guatemala, 22-26 de septiembre de 2003. (To be published in Revista AIBDA) Holland, D .; Ashby, J.; Mejía Marmolejo, M. 2003. Growing social research in CIAT, 1968-2002. (To be published by CABI) Russell, N. 2003. lnforCauca: A pilot project on community telecenters. Centro Internacional de Agricultura Tropical (CIAT), Cali, Colombia. (CIAT Seminar Series, September 2003) Russell, N. 2003. ls there an "e" in scaling up? Lessons from a community telecenter in southwestern Colombia. In: Pachico, D. (ed.). Scaling up and out: Achieving widespread impact through agricultura! research. Centro Internacional de Agricultura Tropical (CIAT) , Cali, Colombia. (In press) In addition, InforCom staff supported the development by a local partner (CUAO) of an approximately 20-minute documentary video dealing with the educational potential of community telecenters. The video will be presented in November at the Segundo Festival Educativo y Cultural in Madrid, Spain. Project staff also made three formal presentations of InforCom at v a rious symposia in Colombia and four informal presentations to potentiallocal partne rs or supporters in Colombia, including the country's first lady, Doña Lina de Uribe. Training Courses 38 1 Three workshops on accessing electronic sources of agricultura! information at Colombia' s Universidad Nacional-Palmira, CUAO, and CORPOICA. Two training workshops for telecenter operators and othe r staff of local partne r organizations in Colombia, one on basic graphic des ign and anothe r on agricultura! information resources relevant to rural communities. A workshop on how to use controlled vocabulary for bette r access to Web-based resources for information managers in CIAT projects. Several training workshops for members of community-based communications groups on the following topics: introduction to communications, group organization, organizational communications, formation of social networks, project planning and design, basic computer programs, use of various communications media (e.g. , radio, video, and printed products), Web site development, and design and implementation of communications strategies. Workshops Organized and hosted Colombia's Second National Community Telecenters Workshop at CIAT headquarters (80 participants). Participated in the Second Regional Telecenter Workshop, organized by the Fundación Chasquinet at Quito, Ecuador. With REDCAPA organized a workshop on computer-media ted distance learning for CIAT staff and selected partners. Organized the participation of Colombian telecenter operators in these events: Workshop on Support Networks for Indigenous Peoples of the Americas in the framework of the II Annual National Forum on Connectivity for Canadians at Ottawa, Canada. VI Taller de Redes Internet para América Latina y e l Caribe in Mérida , Venezuela. Conéctate, Primer Encuentro de Informática de los Niños y Niñas de Colombia, in Bogotá, Colombia. Students A communications student at the CUAO is carrying out a practicum, in which she provides communications support the above-mentione d SIDER. Assistance InforCom staff provided weekly assistance to three community t elecenters, based on t e lecente r work plans, as well as on-site train ing in Web site d evelopmen t . They also made nearly weekly visits in support of a total of eight community- based communications groups in northern and central Cauca, with a combined membership of more than 80 people. Planning for Rural Development CIAT's work on planning for rura l developmen t was provis ionally attached to the InforCom Project in 2003, pending a fmal decision abou t how exactly the former will be integrated into the Rural In novation Institute. For that reason the following annual report on p lanning is presen ted here with the report on InforCom. Abs t ract This section addresses how territorial entities and community-based organizations can use p lanning as a mechanism for rura l developmen t, and how scientists and information providers can use planning asan entry point into development. This work 382 began in 1999 as the "Land Use" component of the agreement between CIAT and the Ministry of Agriculture a nd Rural Development (MADR, the Spanish acronym), and this year has seen the addition of case studies in Bolivia , Peru, and Senegal. We a im a t facilitating the u se of information by local stakeholders for the management of their natura l resources by providing methods and tools , documented examples of planning, and principies (or ins ight) that can help successfu l planning and the efficient use of information. These are developed through case studies in specific locations, and are then diffused through training events, seminars, reports, a nd pu blications, as well as through the CIAT Web page. This year in Colombia, the prototypes of a series of decision support tools were "launched" a nd made available throu gh the ClAT Web page. They will continue to be co-developed with u sers in Colombia. Following ClAT's restructuring, this group was placed in the new project "Information for Rural Communities (InforCom)", under the Rural Innovation Institute. Introduction We are aiming at validating a series of hy potheses on why certain a pproaches work better than others, why planning simply does not work in certain circumstances, and why information is seldom used for decis ion making. This research componen t, which we had previously approached by trial and error th rou gh d evelopment applications, is just beginning to emerge more forma lly . Scientists and information providers can us e planning as an "entry point" to rural d eve lopment Planning is part of the coordination and management process of any individual, group, or organization . In sorne cases, the law requ ires official pla nning mechanisms, which makes them less appealing, but turns them into a predictable process to which scientists and information providers can link. Decentralized countries are divided into a h ierarchic arrangement of "territoria l entities" that are responsible for coordinating d evelopment activities and resources over their entire territory, both urban and rura l. These en tities are obliged to conduct regular planning exercises, supported with monitoring and evaluation. Although these exercises a re often pe rceived as bu reaucra tic requirements, and are not sufficiently taken ad vantage of, they are extremely valuable mechanisms to coordinate the various p layers of rural development. Local groups and administrations can make good use of planning if they a re proactive, and approach the exercises with a learning attitude, where loca l actors con sider the different actions they (a nd others) have to conduct to reach a desired fu ture. During planning, monitoring, and evaluation , participants have to determine their desired situation, and periodically evaluate and compare it with their present one. They then have to consider different possible actions that they can put forward to get closer to the desired condition s, a nd determine what contribu tions are needed from outside. When they make decisions, they are actually making hypoth eses about what should work best, and they can va lidate these through monitoring and evaluation. Indeed, as they go a long, they observe the consequences of their decisions and actions, and eventually adjust their plans, learning in the process. Planning groups can ben efit from the input of scientists, experts, and information to better evaluate their situation and their context, to broaden their range of possible options , to explore their long-term implications, and even tually to choose between them. Scientists and information providers can benefit from these exercises to put their knowledge to work, and to better focus their research and data collection regarding the needs of rural developmen t processes. They can even work on testing local hy potheses with local groups. To participate in local d evelopment, they need n ot necessarily 383 participate actively in the meetings of local groups, but can be linked to them through inforrnation comrnunication technologies (ICTs). Planning as a res earch theme in itself The systems approach to planning that we are promoting is not something fundamentally new, as many aspects of rural development have been approached systematically for decades. However, we have sorne research hypotheses that we want to verify through our case studies: Planning, where groups engage in a continuous process of diagnosis, action planning, and monitoring and evaluation, can greatly improve local learning, rural innovation, and the capacity of rural populations to adapt to adverse or changing conditions (this can seem obvious, but considering how few consístent processes of planning are being implemented, we think this hypothesis is worth demonstrating). Many of the obstacles related to planning and politics result from an inadequate sense of responsibility on the part of leaders and citizens, or are related to counterproductive Iogic, such as Iooking at issues with a "winners and losers" perspective, being obsessed with growth (either economical, social, or emotional) at the detriment of the group's well-being, the quest for quick and easy gain, a dependence on assistance, or a focus that is too short term or too restricted to certain economic sectors. These can be strongly moderated by adopting a logic of progression towards long-term and collective goals. This logic can be developed in p lanning workshops where participants discuss their desired future conditions, their possible contributions, and the contribution they need from other players (or requests). During diagnosis, monitoring, and evaluation, inforrnation is not used optimally if participants and planners do not have a clear idea of their desired future condüions. Clearly stating these allows indicators to be defined, and allows a reference with which to compare observed conditions. In their absence, diagnosis and monitoring remain purely descriptive, not allowing judgment, and thus reducing the possibilities of learning in the process, and data can be accumulated without ever being used for decision making. Different hierarchic levels of territorial adininistration can improve the coordination of their development efforts by articulating various "contributions" and "requests" of the players from one leve! to the next, from the bottom up. This approach can be used in the articulation of municipal plans at departmental leve!, and of departmental plans at national leve!. Context of the deve lopment of res earch a ctivities on planning i n CIA T This work began in 1999 with the contribution of the Land Use project to the agreement between CIAT and MADR. We wanted to put geographical information and decision support tools (DSTs) at the service of decision makers so they could improve the rationality of land use. Planning mechanisms, required from all administrative levels, and that can a lso be implemented at the village leve!, appeared as our best entry point, for the reasons mentioned above. Through our case studies in Colombia, described in more detaillater, we observed that the potential of planning is often not well taken advantage of, neither as a learning and development tool, nor as an entry point by 384 scientists and information providers. We realized that planning processes could be improved greatly, not so much by the use of specific methods, but by a change in the approach and logics behind the activity. In addition to continuing to work on how geographical information could be used in planning, and how scientific results could be made into DSTs and also used in planning, we started looking at ways to improve the planning processes themselves. Our Colombian case study spurred interest, and we received much demand for training on territorial planning, in which we needed to give recommendations to participants. This encouraged us to reflect on ways to improve p lanning, and we are presently promoting a systems approach to planning, based on the consideration of society as a system, interrelated with biophysical systems, organized hierarchically. We have developed a very simple participatory p lanning approach that allows municipalities to quickly articulate visions, proposed actions, and requests of different stakeholder groups (Beaulieu et al., 2000; 2002), and that departments could use to articulate municipal plans. We have also become interested on how planning processes can catalyze and facilitate learning and rural innovation. This team therefore joined the InforCom project in 2003, while continuing to con tribute to sorne outputs of the Land Use project. In 2003, we began case studies in other countries-Bolivia, Peru, and Senegal. Our partners in these countries have a strong interest in revising existing planning guidelines to improve planning processes. We are therefore continuing our reflections on these methodological issues with a much la rger range of partners and cultural contexts. The work in Peru was initiated through an alliance with the German Agency for Technical Cooperation (GTZ) and CONDESAN, who were interested in applying sorne of our methods, jointly with theirs, in sorne of the pilot watersheds of the CONDESAN consortium. The work in Bolivia has resulted from the hosting of Hubert Mazurek, a scientist from IRD, in the InforCom project. The work in Senegal is conducted in relation with the Desert Margins Program (DMP), and involved the posting of Nathalie Beaulieu in Dakar. These case studies will be described in more d etail below, but it is important to mention that, through them, we have agreed to follow a coherent research agenda, where the studies in different countries will contribute to our understanding of how rural development can be improved, and help us demonstrate sorne basic hypotheses. Our work in Colombia will continue through a new agreement with MADR, and will be oriented more specifically towards improving the efficiency of rural technical assistance through municipal planning in the en tire country, and through follow-up in coordination at the department leve!. As the 1999-2003 agreement is presently finishing, this year involved concluding and launching the various DSTs prepared for the Colombian llanos. Through case studies in Colombia, Bolivia, Peru, and Senegal, we will test the research h ypotheses mentioned above, develop documented examples that can be helpful in other sites, and develop methods and tools for rural planning. The experience acquired in these case studies is then communicated to others during training, and in reports and publications. Note that we are not studying planning as an end in itself, but as a mechanism allowing collective learning and organization for rural development. Colombia Contributors: Jaime Jaramillo, Rogelio Pineda, Adriana Fajardo, Nathalie Beaulieu, Marcela Quintero, Ovidio Muñoz, Yolanda Rubiano, Maria Fernanda Jiménez; Diana Maria Pino (Secretary of Planning, Municipality of Puerto López); Noemi Peñuela (Director, Puerto López 385 Unidad Municipal de Asistencia Técnica Agropecuaria [UMATAJ); Wilson Gaitán (SN- 1); Fernando Calle (Consorcio Latinoamericano y del Caribe para la Investigación y el Desarrollo de la Yuca [CLAYUCA]); Clément Geney (Université Montpellier 11) Materials and m ethods The Colombian MADR funds work in Colombia. The area chosen by the MADR for its 1999-2003 agreement with CIAT was the Colombian llanos , or eastern plains, with a particular interest in the area between the cities of Puerto López and Puerto Gaitán, previously dominated by livestock, but with potential for new crop varieties that are tolerant to acid soils. Municipal planning appeared the best mechanism to make use of the geographic information that had already been digitized by the Land Use project, and to have a concrete influence on land use decisions. Incidentally, all municipalities in Colombia were under the pressu re of producing their Plan de Ordenamiento Territorial (POT), a new, long-term, spatialized planning exercise that they had never experienced befare. We supported the administration of the municipality of Puerto López, which almost reaches the city of Puerto Gaitán, in the elaboration of their Plan Básico de Ordenamiento Territorial (PBOT; Alcaldía de Puerto López-CIAT, 2000) . This experience triggered an important demand for train ing in planning methodology and GIS tools, to which we responded with a number of courses given from 2000 to 2002. We then supported the municipality in the elaboration of its Plan de Desarrollo Municipal(PMD) in 2002 (Alcaldía de Puerto López-CIAT, 2002). Understanding the importance of the contributions of all administrative levels, we have designed our activities to support decisions at the national , regional, departmental, municipal, and village levels, although until now we have worked mostly at the municipal and village level. Through the logistic support of local projects related to cassava, we realized that planning workshops and follow- up at the village level, which were conducted for municipal planning, helpe d develop new partnerships between local groups, the municipality, the municipal unit of agricultura! technical assistance, researchers, and prívate industry. In Colombia, municipalities are responsible for providing fre e technical ass istance to small-scale farmers, and thus of planning this assistance with the beneficiaries, through a municipal committee of rural development. In Puerto López, the various committees formed to follow up on specific aspects of the municipal plans (local emergencies, territorial planning, sports, rural deve lopment, etc.) were combined into one committee that holds more frequent meetings for the follow-up of activities, and has the possibility of articulating activities that affect various sectors. Results The highlights of the Puerto López case study for this year are: A multi-sectoral committee of the civil society, with our support, is conducting follow-up of the municipal PBOT and PMD, using the SEGUIMIENTO tool, presented later. With the UMATA of Puerto López, we are continuously following up planning meetings in communities, and have supported various initiatives. A cassava d rying trial, conducted in 2002, led to the adoption of this practice in the village of El Turpial, the commercialization of dry cassava with animal feed factories, and the funding of a drying facility by the municipal administration. Cassava variety trials were conducted in five of the rural communities, jointly between farmers and CIAT's cassava project. 386 The indigenous communities of Humapo and La Victoria constructed a tree reproduction greenhouse, and have begun producing small trees for the reforestation of their reserve and for commercialization. A poster was presented at the Global Forum on Agricultura} Research (GFAR) meeting in Dakar, May 2003, explaining how municipal planning catalyzed local innovation and par tnerships related to the cassava crop (CIAT, 2003). With MADR, we have identified specific contributions of rural planning for the next phase of the agreement with CIAT, oriented towards improving the efficiency and relevance of rural technical assistance, through municipal planning and monitoring, as well as monitoring at the department level. 387 Bolivia Contributors: Hubert Mazurek (IRD, UMR-151, hosted in CIAT); Louis Arréghini (IRD); Ismael Gonzáles (Dirección General de Ordenamiento Territorial, Vice Ministerio de Planificación y Desarrollo Sostenible [VMPDS]); René Pereira, Jaime Montano, Hugo Torrez (Consejo de Población [CODEPO], VMPDS); Andrés Uzeda (Universidad Mayor de San Simón- Instituto de Estudios Socio Económicos [IESE]); Fernando Antezana (Universidad Mayor de San Simón-Centro de Planificación y Gestión [CEPLAG]); Maree! Galindo, Miguel Peñaranda (Instituto Nacional de Estadística [INE]) Materials and methods Our work in Bolivia is funded by IRD UMR-151, CIAT, and the Bolivian Vice Ministerio de Planificación. Since 1994, the Bo1ivian laws of popular participaban and decentralization have provided municipalities with responsibilities and financia! resources to administer their territory. Territorial planning as such is the object of a normative and methodological framework defined by the Dirección general del Ordenamiento Territorial (OT). Since 1996, departmental administrations have elaborated land use p1ans (Planes de Uso del Suelo [PLUS]), which representan agro- ecological zoning, but lack relevance for the planning and elaboration of development policy. Very recently, a few municipalities have started the same process. However, most of these plans are elaborated by externa! organizations or consultants, and are not effectively used, on the one hand because they do not correspond to the needs of populations, and on the other hand because municipal technicians find them difficult to understand. In addition to this, the methodology used for the OT plans is based almost exclusively on biophysical parameters used to establish a balance of the use of the land's potential. Our work in Bolivia therefore aims at engaging a learning process, within the institutions in charge of planning, about participatory planning. In addition to this, we aim to develop, jointly with these institutions, a set of regionally adaptable guidelines for participatory territorial planning that can be used for municipalities, groups of municipalities (mancommunidades), or departments to articulate their activities in the various economical sectors, as well as to integrate local and regional development projects. Methodological collaborations have been initiated with the Dirección del OT (much oriented towards biophysical considerations), and CODEPO (which establishes demographic policies), INE, the Ministry of Agriculture, and institutions of the Sistema Boliviano de Transferencia Agropecuaria (SIBTA). As explained in the introduction, the case studies are conducted to ensure that the proposed guidelines are adapted to the Bolivian context, and contrasted sites were chosen to allow Bolivian diversity to be taken into account. Like in the other countries, these case studies will also yield examples that will be communicated throughout Bolivia, and are providing opportunities to test our research hypotheses. Results In Bolivia, the highlights of our activities for this year are: Three groups of municipalities (four in the Altiplano south of La Paz, four in the department of Panda, and one in the department of Cochabamba) were chosen for pilot study sites. Initiation workshops were conducted in two municipalities, which signed an agreement of engagement (with the Dirección del OT) to conduct participatory planning. Meetings with mayors of the other municipalities were 388 conducted, in September 2003, in which we jointly agreed to start the planning processes in March 2004. General Agreements between the Dirección del OT, CIAT, and municipalities should be signed befare the end of 2003. A collaborative agreement was drafted between CIAT 1 IRD, the Dirección del OT, CODEPO, and INE to define respective roles in the collaborations under way. We are currently reviewing the methodology used by the Bolivian government for territorial planning to include many more socioeconomic aspects and particípatory practices. We participated in the teaching of courses of the Masters degree in Rural Development of the Universidad San Simón de Cochabamba, and in the directorship of three Masters theses on rural innovation. On the 29th and 30th of September2003, we organized a seminar on stakeholders, territory and local development, where we analyzed the progress of local development planning in different regions of Bolivia, in the context of the 50th anniversary of the agrarian reform. We organized a statistical cartography course at the end of October 2003, for technical staff working in the organizations with a role in public planning. Pe ru Contributors: Marcela Quintero; Wilson Otero (GTZ-Colombia); Rubén Dario Estrada (Centro Internacional de la Papa [CIP]-CONDESAN); Alonso Moreno (GTZ-Proyecto Cuencas Andinas); Josef Haider (GTZ-Corporación Para la Seguridad Alimentaria ICOPASAJ Arequipa) Mat erials and methods Work in Peru is funded by GTZ-Peru. In May 2003, The Peruvian Congress approved the new municipalities law, the Ley Orgánica de Municipalidades, defining the responsibilities of municipalities, which can either be provinces or districts. One responsibility is to promote the integral, sustainable, and harmonious development of the municipality's circumscription, with the help of a local planning process that must be integral, permanent, and participatory, and coordinated with the regional and nationallevels of govemment. A variety of sectoral and multi-sectoral plans are required regularly from municipalities. Multi-sectoral plans include the Plan de Desarrollo as well as the Plan Urbano Rural (for districts), and the Plan de Acondicionamiento Territorial (for provinces). Each year, rnunicipalities have to p lan their budget through a participatory process, resulting in the presupuesto participatiuo. Through an alliance with CONDESAN and GTZ, we agreed to give support to GTZ in Peru for the irnplernentation of territorial plans, and at the same time participate in these experiences as case studies. We jointly decided to begin this collaborative work in the region of Arequipa to benefit from links with projects such as the Gestión de Riesgo de Desastres Naturales con Enfoque de Seguridad Alimentaria en el Departamento de Arequipa (executed by COPASA-GTZ), Cuencas Andinas, and CONDESAN, which is active in the region. The district of Pampacolca was chosen as a pilot site for the elaboration of the Plan Urbano Rural Befare starting actual work in the pilot site, we agreed to jointly organize a course on territorial planning directed to sorne of the institutions of the regional government of Arequipa and of the district of Pampacolca, to members of universities and NGOs of the region, and to GTZ staff in Peru. We agreed also to organize a workshop on the importance of territorial planning, involving decision makers of the districts, provinces, and regional government of Arequipa. These workshops were conducted in September this year. Results 389 The highlights of our work in Peru for this year are: We conducted field visits in the districts where GTZ-COPASA intervene, to become acquainted with their development plans, and the problems they have experienced. We conducted the workshopjseminar entitled "Bases para la Formulación de Planes de Ordenamiento Territorial", in Arequipa, from 8 to 14 September 2003, including a practical component in the district of Pampacocla. We conducted the workshopjseminar entitled "Planes de Ordenamiento Territorial como herramienta de gestión del espacio en Arequipa" on September 16th in Arequipa. CIAT and GTZ-Colombia are assisting GTZ-Peru in the writing of terms of reference for the elaboration of a pilot territorial plan in the district of Pampacocla. Senegal Cont ribut ors: Nathalie Beaulieu; Abdourahmane Tamba {Institut Sénégalais de recherches agricoles [ISRA], DMP National Coordinator for Senegal); Ibrahima Diaité (ISRA, Bambey); Samba Ndiaye (!SRA-Consejo Nacional de Recursos Hidricos [CNRH]); Jean Charles Faye (Agence nationale de conseil agricole et rurale [ANCAR], Thies); Oumar Daff, {Dírection des eaux et forets); Aline Ndiaye, Khady Sow (ANCAR); André Bationo (TSBF); Ramadjita Tabo (DMP Regional Coordinator, ICRISAT), Saidou Koala (overall DMP Coordinator, lnternational Crops Research lnstitute for the Semi-Arid Tropics [ICRISAT]) Rationale Work in Senegal is funded by GEF. As previously mentioned, our work in Senegal is made possible by the hosting of Nathalie Beaulieu at !SRA, and her inclusion in the DMP team. The DMP is nota project on territorial planning, but is a project that aims at improving rural Iivelihoods through the improvement of biodiversity and soil fertility. One of its objectives is to improve knowledge on the existence and management of this biodiversity and soíl fertility. It started in 2003 and works in nine sub-Saharan countries-Senegal , Niger , Mali, Burkina Faso, Namibia, Kenya, South Africa, Zimbabwe, and Botswana. Two of its outputs are entitled "stakeholder participation" and "capacity build ing". In Senegal, planning (including monitoring and evaluation) is the mechanism that has been chosen for their implementation. All of the activities of the DMP in Senegal will be conducted at the leve} of the rural community, but with strong linkages with the higher administrative levels, which are municipalities (either arrondissements or communes), departments, and regions, as well as with a network of resource persons (rural extension agents and scientists). A rural community can include various villages. As prescribed by the Law on Decentralization, rural communities must conduct and follow up local development plans. Materials and methods The Senegalese component of the DMP is focused, for the first 2-year phase, in four regions of the country-Kaolak, Diourbel, Fatik, and Thies. In each region, it will work in about four rura l communities, which are therefore the pilot communities for the case studies on planning as a rural development tool. At present, because the program has only recently begun in Senegal, we have only established links with the rural communities and other partners, through visits and workshops in the regional capitals and rural communities. 390 Results The highlights of our activities in Senegal for this year are: An agreement was made with !SRA for CIAT to contribute to the Senegalese component of the DMP through the out-posting of Nathalie Beaulieu at ISRA in Dakar, starting September 2003. Severa! meetings were conducted with regional and local partners to discuss study sites and methodologies used for common outputs on local stakeholder participation, capacity building, and monitoring of land degradation. Study sites were visited. Four Regional Development Council (CRD, the French acronym) meetings were held in the "gouvemance" (regional parliament) of the studied regions, with the participation of regional, departmental, and local authorities. Methods and Information Tools Developed for Rural Planning A series of tools and methods were "launched" this year as a result of the 1999- 2003 Agreement with the Colombian Ministry of Agriculture and Rural Development. The preliminary development of most of these tools was reported in previous annual reports of CIAT's Land Use project. We expect to continue adapting and co-developing them with partners though extensive training and follow-up in Colombia, and through our work in the various case studies mentioned above. We detail below the function of each tool, and explain what has been achieved this year. Participatory systems approach to planning an Herramienta de Planificación Participativa (HePP) Contributors: Nathalie Beaulieu, Jaime Jaramillo, Genner Narváez, Juan Lucas Restrepo, Jorge Mario Diaz; Grégoire Leclerc (CIRAD-Département territoires, environnement et acteurs [TERA]) ln 2000, we presented a participatory planning method that could be used for municipal planning, and to articulate municipal plans into departmental ones (Beaulieu et al, 2000). In 2001, we elaborated a computerized too! that allowed users to store their results in a database, and use them as a "draft" for discussion with the Intelligent Team Decision Assistant (ITDEA) discussion support too! (Leclerc and Narváez, 2001). This tool was "launched" as a prototype this year, along with the other, hoping to further improve it with partners. We realized that this method, although complete in its consideration of the steps of the planning process, was too long and complicated to use for many municipalities. In 200 1, we tried to derive its essence, and carne out with a simplified version, entitled "Visions, actions and requests across admínistrative levels", which we tested in Puerto López for the elaboration of the municipal development plan (Beaulieu et al., 2002). This year, we presented a more general systems approach to planning in Beau lieu et al. (2004), and in didactic form and in Spanish for rural communities in Beaulieu et al. (2003). We continue to promote the vision s-actions-requests as part of this general approach. The systems approach to planning encourages players to acknowledge the systematic nature of society and its environment, to realize how the groups they are part of are part of larger groups, and for leaders to understand which other systems are components that they are coordinating. It encourages players to reflect on their long- term goals (or desired future conditions), how they fit in with the goals of the systems of which they are part, and, if they are leaders, how the goals of the components contribute to the goals of the leve! they coordinate. It aims at: 391 Encouraging a greater sense of responsibility in citizens as well as leaders, through the concept of 360° responsibility, by acknowledging that coordinators of each level have responsibilities towards the levels below, the levels above, the other systems of the same leve!, in addition to ensuring the perpetuation (and eventually the growth) of the system they represen t. Improving interactions between players by finding complementarity between their actions, matching the actions of sorne players with the requests of others. Reinforcing self-correction and learning through continuous planning, monitoring, and evaluation, rather than perceiving the latter as mechanisms of control from above. Improving communication and the use of information by identifying the different feedback loops needed to effectively monitor and evaluate as well asto make decisions, and by identifying desired future conditions to use as a reference in diagnostics. The obstacles to planning are often not so much methodological, but related to counterproductive mindsets. A logic of "winners and losers" often underlies political activities, where the goal of winning the election overthrows development goals. Other counter-productive mindsets include the obsession for maintenance and growth, which also overthrows development goals, as well as the culture of quick and easy gain. These can be moderated by an increased sense of responsibility (in the 360° directions), and by a longer-term vision of where we want our system to go, which can be encouraged by the use of vision-based planning methods. CUFRUCOL (Cultivos y Frutas para Colombia) Contributors: Adriana Fajardo, Maria Fernanda Jiménez, Genner Narváez, Nathalie Beaulieu; Libardo Rivas (BP- 1) The CUFRUCOL database was developed and reported in the PE-4 2001 Annual Report. It stores information on botanical characteristics of crops, their biophysical requirements, and production costs. lt allows input of data into GIS DSTs, such as CLIMCROP, and it allows the printing of illustrated and informative cards for participatory discussion of crop options with farmers. Since 2001, it has been improved, and data have been added. Data about botanical characteristics, biophysical requirements, and production costs were compiled for 120 crops of inter est for Colombia, including grains, forages, fruits, and vegetables. These data were stored in a database in Microsoft Access format. When possible, data were taken from Colombian sources, and when unavailable, biophysical requirements were taken from the ECOCROP database developed by FAO. Users can also input their own data into the data base, if they dispose of local data or data relative to specific varieties. They can also add new entries on crops not yet considered, or on combined production systems. This database was designed to be flexible and useful for a variety of users. If adequately distributed, farmers could consult it at UMATAs. It could be used by UMATA agents themselves to help farmers plan production projects that combine a variety of crops, and to make economic evaluations of different scenarios. This will help farmers plan more sustainable production projects, and will help them present well-documented projects for credits or for anticipated purchase contracts. Through the use of this tool, we aim at increasing the capacity of municipal institutions to provide technical assistance to farmers, and of farmers to access information. The distribution of this tool will be accompanied by training and notes on the importance of using this information for preliminary 392 indications only, giving priority to local information and common sense in planning agricultural projects. GEOSOIL Contributors: Yolanda Rubiano; Edgar Amézquita (PE-2); Dimas Malagon (Universidad Nacional); Soil group of Corporación Colombiana de Investigación Agropecuária (CORPOICA) Regional 8 GEOSOIL is a database tool that a llows the storage of soil information for soil profiles or for soils represented in a soil map. For each n ew entry, it allows th e user to enter the physical and chemical data that are available, without obliging the user to fill in all the fields. For soil characteristics that are not numerical, for example for texture or landforms, it a llows the user to choose from a range of options, coding the choices in the process. For a number of soil properties that can be used as indicators of soil quality, it produces a report of a diagnosis, using criteria established for the Colombian llanos. It allows the comparison of soil characteristics with the requiremen ts of a given crop and, when the necessary, chemical information is available, can produce a report of fertilization recommendations. The soil requirements can be ímported from the CUFRUCOL database, or the user can specify them. It allows the export of soil data and corresponding geographic coordinates to GIS programs for their mapping, orto geostatistical programs for a n analysis of spatial variability and interpolation. The preliminary developments of this tool were presented in the 2002 PE4 Annual Report. This year, the application of this data base was completed with 1: 100 OOO.scale soil map data for the municipality of Puerto López, generously provided by the Instituto Geográfico Agustin Codazzi (IGAC) for research purposes, extracted from the detailed agrological study for the department of Meta (IGAC, 2000) . More detailed data were stored for a portian of this area, resulting from field measurements and characterization of soil samples in a portian of the municipalities, around the villages of El Turpial, Humapo, La Victoria, and Puerto Guadalupe. A geostatistical analysis was made with these point data, and raster maps of a number of soil characteristics were derived by interpolation with a krieging approach. Figure 1 shows the resul t of this analysis for soil penetrabiiity. The application for Puerto López was shared with CORPOICA, but an empty structured database (which can be filled with data from other sites) is made available to the public through the CIAT Web page. A users' manual a nda help module were also developed this year. Figure 2 shows two of the displays of the database tool, regarding the comparison of soil characteristics with specific crop requirements. Figure l. Map of soil penetrability isolines obtained with the GS+ geostatistical 97,;518. 971:>4<1. 90-4486. -F""f'f'~ 1 . 1B~E4-{)iJ 1.1e<:lE+Qi:) 1.139E->08 1.193E+CI3 1.197:: ... 06 X Y.! O 27..9 23.5 t9 2 1~ .8 :o' software, using field measurements in a portian of the municipality of Puerto López. Figure 2. (A) Comparison of soil characteristics for a given soil, with the requirements of a given crop; and (B) interpretation of this comparison through a graphic display of where the coded soil characteristics stand with respect to the mínimum and maximum characteristics specified in the soil requirements . ARBOLES Cont ributors : Marcela Quintero, Yolanda Rubiano, Edgar Amézquita, Phanor Hoyos (PE-2), Nathalie Beaulieu ARBOLES is a DST that indicates land use alternatives that are most appropriate or sustainable regarding soil and topography characteristics, based on a decision tree constructed from technical and local knowledge in a given locality. It has been elaborated with Microsoft Access 2000 database software, with which the decision rules were programmed in Visual Basic. Decision rules can be applied on soil and topography characteristics specified by the user for a given location, or on the characteristics stored in a table corresponding to the polygons in a soil map. In our application for the municipality of Puerto López, we used the decision tree elaborated by Hoyos et al. (200 1), and digital soil coverage elaborated by combining 1: 100 000 scale soil maps from IGAC (1978) and IGAC (2000) . If the user specifies the soil and topography characteristics, the application presents a menu of soil textures and ranges of slope and effective soil depth from which to choose. As a result of the application of the decision tree, the tool propases a range of possible land uses, the number of options increasing as soil depth increases and slope decreases. Practices for the generation of an arable layer are proposed in cases where the soil depth is low. To use a soil map and then spatialize the results in GIS software, soil and slope characteristics were coded according to the values used in the decision tree. The polygons in soil maps generally correspond to groups of soils that can have different characterístícs. The percentage that each soil represents in the polygon is indicated in the tables accompanying the maps. Because there a range of different land uses is suitable for each soil type, the results of the ana1ysis are best displayed through a series of maps, one for each land use option, where the polygons are colored according to the percentage of soil which is suitable for that option. We linked the ARBOLES application for Puerto López to both the SPRING and MapMaker Popular GIS packages. We elaborated a customized application of MapMaker for Puerto Lopez Popular with all the maps resulting from the analysis of the soil maps, for each of the 394 13 land use options considered. Figure 3 shows one of the displays of this customized application for Puerto López. Figure 3. Mapping of areas recommended for forest use and soil conservation in function of the percentage of a rea of each polygon having severe soil limitations for any type of agriculture. Additionally to these soil limitations, the Código Nacional de Recursos Naturales obliges natural vegetation to be conserved along streams. The database tool was designed to allow a modification of the decision tree to adapt it to other localities, or simply to allow experts to revise their decision rules with time . It allows the inclusion of criteria other than simply soil and topography. It could be adapted to a completely different problematic than land use. We predict that through the use and adaptation of this tool with partners, users can combine their knowledge into decision trees, work out how local stakeholders can use these, and then adjust the decision rules through monitoring the results of the adoption of the proposed options. Preliminary developments of this tool were presented in the 2002 PE4 Annual Report. This year, the tool was completed, a users' manual and a help module elaborated, and the tool was presented in October to potential partners a nd users. SEGUIMIENTO Contributors: Jaime Jaramillo, Maria Fernanda Jiménez; Diana Maria Pino (Secretary of Planning, municipality of Puerto López) SEGUIMIENTO is a simple tool, developed this year in Microsoft Access 2000, which can be used for the follow-up of actions planned in territorial or development plans. It can be adapted to any plan at any level, through a detailed definition of policies, programs, and projects, indicating milestones and final goals, and indicators used for evaluating progress. The monitoring of many p lans is made difficult by the absence of 395 clear milestones, goals, and indicators. A tool such as SEGUIMIENTO can help municipalities and other institutions structure their plans to make monitoring and evaluation more straightforward. This tool is now being validated with the Secretariat of Planning of the Municipality of Puerto López, for the follow up of the activities planned in the PBOT and PMO. Difficulties líe mostly in the collection of information from the numerous municipal offices and partners involved in these plans, about the progress of their activities. Organization of Seminars and Training Activities National workshop on use of DSTs and GIS for territorial planning Contributors: Yolanda Rubiano, Marcela Quintero, Ovidio Muñoz Between 2000 and 2002, CIAT conducted various training activities with the support of MADR in various departments of Colombia to teach methods and GIS tools for the elaboration of territorial plans. To date, 220 public servants have been trained in Colombia. With the objective of following up on the trainees and the activities they developed with the skills they acquired, we organized a workshop, "El encu entro nacional de usuarios de herramientas SIG para la toma de decisiones en planificación rural y Ordenamiento Territorial", at CIAT headquarters in Palmira from 13th to 15th November 2002. Fifty participants attended. The event included oral presentations, discussion sessions, a poster session, and an evaluation of needs in planning approaches, legislation, information tools, and coordination between different administrative levels. One of the results of this seminar was the formation of a network with the workshop participants, and the other beneficiaries of training events organized on rural planning, to discuss various issues of d evelopment planning in general. This network is open to new members, and new subscriptions should be sent to Ovidio Muñoz at o.munoz@cgiar.org The Latín American workshop on territory and sustainable development Contributors: Jaime Jaramillo; Hubert Mazurek (IRD); Paolo Groppo, Federica Ravera (Land tenure service, FAO); International Land Coalition; CIAT rural planning team; CIAT training unit From June 17th to 20th, CIAT-Headquarters hosted the workshop entitled "Taller latinoamericano Territorio y desarrollo sostenible", funded by the International Fund for Agricultura! Development (IFAD). This workshop was organized to forma network of professionals on the themes of territory and sustainable development, to exchange experiences, and to evaluate processes and methods of participatory and negotiated territorial planning, aiming to explore implementation channels related to rural development and the management of natural resources in Latín America. The 53 participants contributed their experience in applications or research related to land tenure and the management of natural resources, territorial planning, rural institutions, and participation. This event had representatives from academia, public administrations, international institutions, grassroots organizations, and NGOs. A CD-ROM was prepared with materials from the workshop. 396 Launch of tools Cont ributors: Rogelio Pineda, Ovidio Muñoz, Jaime Gómez, Yolanda Rubiano, Adriana Fajardo, Maria Fernanda Jiménez, Marcela Quintero; CIAT training unit On the 16th and 17th October 2003, at the Hotel Villavicencio Plaza, we organized a workshop for the socialization of methods and DSTs for land use p lanning developed during the last S years of the agreement between CIAT and MADR. We benefited from the participation of representatives of farmer associations and unions, the prívate sector, academia, regional environmental corporations, NGOs, research institutes, municipal administrations, departmental administrations, UMATAs, and other institutions involved in environmental management. There were 43 participants from 22 institutions. This has allowed us to develop partnerships with users of these methods and tools, with whom we can further co-develop and adapt them to user needs. Training in remote sensing In the context of the agreement between MADR and CIAT, we organized training on basic concepts of remate sensing, using the (free) GIS and image processing software, SPRING, developed by the Instituto Nacional de Pesquisas Espaciales (INPE) in Brazil. This course was organized jointly with CORPOICA Regional 8, and was conducted at the Universidad de los llanos from 2 1st to 25th October 2002. There were 15 participants, from institutions such as the Institut de Estudios Ambientales (IDEAM), CORPOICA, Instituto Nacional de Adecuación de Tierras (INAT), División Municipal de Aguas (DIMA), Corporación para e l desarrollo sostenible del area de manep especial la Macarena (CORMACARENA), CIAT-Santa Rosa, Universidad de los Llanos (UNILLANOS), Policía Nacional del departamento del Meta, Gerencia Ambiental y Secretaría de Planeación de la Gobernación del Meta, and Instituto Técnico Industrial. A training course was given by Nathalie Beaulieu at the Geography Department of the University of Uberlandia, Brazil, from May 10 to 13, 2003, on Monitoring of land usejcover and land degradation with temporal series of satellite imagery. Students from the course for Masters in Geography took this course. Re ferences Alcaldía de Puerto López-CIAT (Centro Internacional de Agricultura Tropical). 2000. Plan Básico de Ordenamiento Territorial, "Puerto López un remanso de paz" [CD- ROM]. Cali, Colombia. 1 CD. Alcaldía de Puerto López-CIAT (Centro Internacional de Agricultura Tropical). 2002. Plan de Desarrollo 200 1-2004, "Por la reconciliación y unidad de Puerto López" [CD-ROMJ. Cali , Colombia. 1 CD. Beaulieu, N.; Jaramillo, J.; Leclerc, G.; Pabón, S.; Gómez Quir ós, C.A. 2000. Propuesta metodológica para el componente participativo del ordenamiento territorial, basada en el desarrollo de una visión común. Centro Internacional de Agricultura Tropical (CIAT), Cali, Colombia. 12 p. 1 CD-ROM. Beaulieu, N.; Jaramillo, J.; Leclerc, G. 2002. The vision-action-requests approach across administrative levels: A methodological proposal for the strategic planning of rural development. Interna) report. Centro Internacional de Agricultura Tropical (CIAT)-Maison de la télédétection (MTD), Montpellier, France. 30 p. Beaulieu, N. y grupo de planificacion para el desarrollo rural. 2003. Guía para la planificación, el seguimiento y el aprendizaje orientado al desarrollo comunita rio. Centro Internacional de Agricultura Tropical(CIAT), Cali, Colombia. 16 p. (Interna) report) 397 Beaulieu, N.; Jaramillo, J.; Restrepo, J.L.; Díaz, J.M. 2004. A systems approach to planning as a mechanism for rural development in Colombia. In: Hall, C.; Leclerc, G. (eds.). Making development work. New Mexico University Press, NM, USA. (In press) CIAT (Centro Internacional de Agricultura Tropical). 2003. Municipal planning fosters collaboration between municipal rural extension, local farmer groups, national research, industry and CIAT for rural innovation related to cassava in the Colombian tropical savannas. Poster presented at the 3rct meeting of the Global Forum for Agricultura! Research (GFAR), May 22-24, Dakar, Senegal. Hoyos, P.; Amézquita, E.; Thomas, R.; Beaulieu, N. ; Rubiano, Y. 2001. Propuesta de un árbol de decisiones para el uso potencial y productivo de lo s suelos de la altillanura plana bien drenada. Publicación Interna. Centro Internacional de Agricultura Tropical (CIAT), Cali, Colombia. 1 CD-ROM. IGAC (Instituto Geográfico "Agustín Codazzi"). 1978. Estudio general de suelos de los municipios de Cabuyaro, Fuente de Oro, Puerto López, San Carlos de Guaroa y la inspección de Barranca de Upía (Departamento del Meta). Bogotá, Colombia. 451 p. IGAC (Instituto Geográfico "Agustín Codazzi"). 2000. Estudio general de suelos del Departamento del Meta. (Unpublished) Leclerc, G.; Narváez, G. 200 1. Intelligent Team Decision Assistant (ITDEA) Microsoft Access version 2 . Centro Internacional de Agricultura Tropical (CIAT}, Cali, Colombia. 398 Appendix: Other Project Information Nathalie Beaulieu Adriana Fajardo J aime Jaramillo Maria Femanda Jiménez *Hu bert Mazurek Ovidio Muñoz Rogelio Pineda Marcela Quintero Yolanda Rubiano Staff Ph.D. Remate Sensing Biologist Civil Engineer ·systems Engineer Ph.D. Ecology Agronomist, DESS Geologist Ecologist Ph. D. Agrology Senior Research Fellow Research Assistant 2 Professional Specialist Visiting Scientist Researcher Research Assistant 1 Research Assistant 1 Research Assistant 2 Candidate in Agronomical Sciences, Universidad Nacional in Palmira (50% InforCom, 50% PE-2) * Arrived in 2003, Investigator at IRD UMR 151 "Populations, en.vironn.ement et développemenf', hosted at CIAT, posted in Bolivia. Participation in Workshops and Serninars 2 nd plenary meeting of the Global Forum for Agricultura! Research (GFAR), May 22-24, Dakar, Senegal. CIAT-CIO meeting, May 26-28, Montpellier, France. 51 International Congress of Americanists, Santiago de Chile, 14-18 July 2003: Seminar "Desarrollo local versus desarrollo global". 50 años de reforma agraria, seminario "Actores, Territorio y Desarrollo Local", 29-30 de septiembre 2003, organizado por CEPLAG, IESE, PROMEC, CIAT / IRD. Taller "Metodologías para la Identificación y Priorización de Demandas para la Innovación Tecnológica en Bolivia", proyecto FOCAM-CIAT, Cochabamba, Octubre 8 y 9 de 2003. Publications Book chapters 399 Beaulieu, N.; Jaramillo, J .; Fajardo, A.; Rubiano, Y.; Muñoz, 0.; Qu intero, M.; Pineda, R.; Rodríguez, M.; León, J .G. ; Jiménez, M.F. 2003. Planning of territorial organizations asan entry point for agricultural research towards rural development and innovation. In: Pachico, D. (ed.). Scaling up and out: Achieving widespread impact through agricultura! research. Centro Internacional de Agricultura Tropical (CIAT), Cali, Colombia. (In press) Beaulieu, N.; Jaramillo, J.; Restrepo, J.L.; Díaz, J.M. 2004. A systems approach to planning as a mechanism for rural development in Colombia. In: Hall, C.; Leclerc, G. (eds.). Making development work. New Mexico University Press, NM, USA. (In press) Mazurek, H. 2003. Actores y dinámicas territoriales en Bolivia: El rol de la dualidad global-local. In: Antezana, F.; Mazurek, H.; Uzeda, A. (eds.). Actores, territorio y desarrollo local. Universidad Mayor de San Simón, Centro Internacional de Agricultura Tropical (CIAT)-Integrated Rural Development Program {IRD), Cochabamba, Bolivia. (In press) Mazurek, H. 2003. Desarrollo; territorio y desarrollo local: Replantear la relación global- local. In: Parra, C.G.; Downing, T. (eds.). Desarrollo global versus desarrollo local. Universidad de la Concepción, Chile. (In press) Technical report Beaulieu, N. y grupo de planificación para el desarrollo rural. 2003. Guía para la planificación, el seguimiento y el aprendizaje orientado al desarrollo comunitario. Centro Internacional de Agricultura Tropical (CIAT), Cali, Colombia. 16 p. (Interna! report) Collaborators Internationally: IRD-UMR 151, ICRISAT, TSBF, CIRAD-EMVf, CIRAD-TERA. In Colombia: MADR, CORPOICA, Alcaldía de Puerto López, UMATA de Puerto López. In Bolivia: Vice Ministerio de p lanificación y desarrollo sostenible (Dirección de Ordenamiento territorial y CODEPO) IESE and CEPLAG (Universidad de San Simón), INE-Instituto Nacional de Estadística, Municipal offices of Calamarca, Ayo Ayo, Patacamaya, Umala, Asociación de municipios de Pando. In Peru: GTZ, CIP, CONDESAN, Municipal office of Pampacocla. In Senegal: ISRA-CDH, ISRA-CNRF, ISRA-BAME, lSRA-LNERV, ANCAR (regional offices in Thies, Diourbel, Fatik, Kaolak), PAFD2, Direction des Eaux et Foréts, Direction de l'agriculture. Donors Colombian Ministry of Agriculture and Rural Development (MADR) Global Environment Fund (GEF) GTZ Viceministerio de planificación y desarrollo sostenible (CODEPO y FNUAP) 400 Acronyms ANCAR BPS CDH CEPLAG CODEPO CNRF CRD CSE FAO GEF IESE INE ISRA MADR PRD NGO SIBTA UMATA UMSS Agence nationale de conseil agricole et rural (Sénégal) Bureau de pédologie et de sois du Ministere de l'agriculture (Sénégal) Centre de développement de l'horticulture (Sénégal) Centro de planificación y de gestión (UMSS, Bolivia) Consejo de población (Vice ministerio de planificación, Bolivia) Centre national de recherche sur la foresterie (Sénégal) Conseil régional de développement (Sénégal) Centre de suivi écologique (Sénégal) Food and agriculture organization (United Nations) Global Enviroment Fund (United Nations) Instituto de Estudios Socio-Económicos (UMSS, Bolivia) Instituto Nacional de Estadística (Bolivia) Institut sénégalais de recherche agricole (Sénégal) Ministerio de Agricultura y Desarrollo Rural (Colombia) Président de communauté rurale (Sénégal) Non-governmental organization Sistema Boliviano de Transferencia Agropecuaria (Bolivia) Unidad Municipa l de Asistencia Técnica Agropecuaria (Colombia) Universidad Mayor de San Simón, Cochabamba, Bolivia 401 PROJECT SW -3 PRGA Prograin Progrant on Participatory Research and Gender Analysis for Technology Develop1nent and Institutional lnnovation (A CGIAR Systentwide Progrant) Co-Sponsors: CIAT - Centro Internacional de Agricultura Tropical (Convening Center) CIMMYT - Centro lntemaciona l d e Mejoramiento de Maíz y Trigo !CARDA- International Center for Agricultura! Research in the Dry Areas IRRl - International Rice Research Institute Section 1: Program Overview 1.1. Background In 1997, the CGIAR1 created the PRGA Program, that is, the systemwide Program on Participatory Research and Gender Analysis for Technology Developme nt and Institutional Innovation. The Program's objective was to assess and develop methodologies and organizational innovations for gender-sensitive participatory research, and to operationalize their use i n plant breeding, and crop and natural resource management. The idea and plan for the Program were the result of a seminar held in 1996 among a group of 50 research and development professionals representing a range of diffe rent types of institutions and the world's major regions. A1l were highly experienced in participatory research and gender analysis (PRGA), gathering together to address the priority issues and challenges in the field. Although much had already been achieved through on- farm adaptive research by the time this meeting took place, there was a perception that the impact of user participation in agricultural research-whether as researchers, decision makers, and priority setters-could be more profound and durable. Focusing on the need to stimulate the inclusion of a user perspective, particularly that of women, in pre-adaptive research, the participants of the p lanning meeting determined that an urgent need existed to "strengthen, con solida te, ·and mainstream gender analysis and participatory research in a high-priority, high -visibility program that recognizes farmer participation as an important strategic research issue". The idea was to pool resources and knowledge within the CGIAR system to accelerate the development of new methodological tools, capacities, and institutional strategies for participatory research (PR). Because of its recognized leadership in this area, CIAT was asked to convene the Program. Three other CGIAR centers-CIMMYT, IRRI, and ICARDA-agreed to actas co-sponsors. The strategy and structure of the Program were designed for the task at hand. Three decentralized working groups were formed. These were the Participatory Plant Breeding Working Group (PBG), the Participatory Natural Resource Management Working Group (PNRM-wg), and the Gender Analysis Working Group (GA-wg). Each hada representative in the planning group, and each made a 5-year work plan that has provided the basis for the annual agenda of work and budgeting. The elements of the GA Group's work plan were substantially p lanned into the PBG and PNRM Group's 5- year work plans to ensure integration of gender with these areas of work. In 1997, the CGIAR Gender Program, which had been staffed from the CGIAR Secretariat, was formally incorporated into the systemwide PRGA Program. The working groups comprise practitioners from IARCs, national agricultura} research institutes (NAR!s), NGOs, and indigenous research systems, mixing expertise from both the biophysical and social sciences to implementa common work plan. The members meet periodically at the Program's biannual intemational seminar, at research workshops, and at field si tes. An important mode of work is through e-mail networks. While each working group has its specific work plan, the three have in common four l. For an explanation ofthis and other acronyms and abbreviations used in the text, see Appendix 15. 403 elements that forro the main thrust of the Program's approach: methodology development, capacity building, partnerships and networks, and ínstitutionalization. The PRGA Program is now 6 years old. Together with its partners, the Program has been a factor in creating a strong momentum to implement participatory approaches not only within the CGIAR system, but also on a broader scale. Many respected scientists and practitioners are using these approaches in their research, and demand is growing (although as yet, unmet) for training. The Program has shown that PRGA embodies rigorous methods that are scientifically grounded. The Program's work has built a body of evidence that shows that these methods are delivering broad ímpact by producing technologies and resource rnanagement options that are well suited to end users' needs, thus significantly reducing the possibility of farmers rejecting newly developed technologies. In addition, PR is producing "process impacts", resulting in, for example, increased human and social capital, which is essential to the sustainability of rural development and innovation. Among those who benefit most from the implementation of these approaches are the most needy-women, the very poor, and marginal groups-who are often overlooked by conventional research. Finally, the PRGA Program has demonstrated how participatory and gender- sensitive approaches can be cost efficient beca use of their increased impact and reduced time overall to produce relevant technologies. 1.1.1. New directions since 2002 l. l. l . l. Lessons learned Although the PRGA Program has made considerable progress, as outlined above, severa! lessons have been learned from these achievements. These are summarized as: Absence of a core of PRGA expertise in the CGIAR. A survey conducted among the CGJAR centers shows that the total amount invested in PRGA activities is US$27 million. This amount is spread among 144 projects across 16 centers in the CGIAR, leading to extreme fragrnentation of human and financia! resources, and thus prompting the question: is investing resources in PRGA activities paying off? Unmet demandfor capacity development. The predominance of a researcher-Ied type of participation in research, combined with highly limited use of gender analysis (GA) methods, has led to a huge and unmet demand for capacity development, particularly in the CGIAR centers. But capacity development efforts will not have lasting impact if these are not accompanied by organizational change. Leaming and experimentation with methods is widespread. Evidence from impact case studies also demonstrates that the use of PRGA methods in research generates a process of learning and change, particularly in method innovations that result from farmer's feedback. Results of impact case studies conducted with ICRISAT, !CARDA, World Neighbors Canada, and WARDA demonstrate that user participation lead to feedback that change priorities and practices of research institutions. Systematizing methods and learning, together with capacity building to use PRGA methods more effectively, have contributed to scaling-up, that is , reaching more people more qukkly. 404 Leam ing and change does not extend to organizations. However, learning and change remain at p roject leve!. The a bsence of feed back from pr oject to organization has implications for learning to be su stained beyond the project's life. 1.1.1.2. Objectives Hence, while it is important to continue with efforts to build compelling evidence of impact, there is a real need to focu s attention on developing capacity for PRGA, combined with organization-d evelopment skills for their institutionalization. More specifically, the strategy for th e PRGA Program's phase 2 will focus on the following: Capacity developmen t in methods that ensure gender-equitable, stakeholder-client represen tation in research decision making; and networkíng within a cadre of champions who support each other and who can make a difference. Continue to build compelling evidence of impact. Develop action research partnerships to institutionalize PRGA approaches within a core of IARCs and NARS. Communications and par tnerships for disseminating information and devolving Program activities, responsibilities, and decision making to stakeholders. 1.1.2. Overview of progress, 2002-2003 Outputs for 2002-200 3 included: State-of-the-art analyses were published as PPB Monographs. These four commissioned documents, now completed, are extensive studies on participatory plant breeding (PPB) a nd gender analysis (GA). More than 120 case s tudies of PPB were identified and described for the PPB inventory, now available on the PRGA Program's Web page. Fifteen PPB reports from projects funded by the PRGA Program were received and published. PRGA Program scientists advised and partially supported three PhD students working in the PPB field. The Program's impact assessment research has establish ed and maintains an inventory of participatory projects. It conducts impact studies in collaboration with various research institutes, and engages in m ethods development, and capacity building in irnpact assessment of participatory approaches with partner institutions. Severa} Intra-Center Committees were established to foster organizational strategies for PRGA work. Methods for integrating plant breeding (PB) and natural resource management (NRM) into joint projects were developed. A book entitled Managing Natural Resources for Sustainable Livelihoods: Uniting Science and Participation was submitted to co-publishers, Earthscan and IDRC, 405 in July 2002. An external review was completed in September 2002 and the book was published in August 2003. Several weaknesses in the PRGA Program's Web site were identified. The Program decided to upgrade the contents of the existing Web si te, while developing a new Web site with improved navigation, search ability, and interactivity. With strong support from the senior management at JIRCAS and from the Lao-CIAT Forages and Livestock Systems Project, the PRGA Program designed and facilitated a workshop entitled Improuing Adoption of Agricultura[ Technologies. The Program collaborated in the publication of severa! papers. The PRGA Program co-hosted, with the System-wide Genetic Resources Programme (SGRP), a workshop on The Quality of Science in Participatory Plant Breeding. Held at IPGRI, Rome, from 30 September to 4 October 2002, the workshop assessed critica! advances in the social and biological sciences shaping PPB practice, and evaluated the breadth of its impact to date. At the same workshop, the PRGA Program presented a paper on the Bene.fits and Costs of Decentralized Participatory Barley Breeding at !CARDA, Syria. The Program presented another paper on Why has impact assessment research not made more of a difference? at an international conference on the impact of agricultura! research and development. The conference, entitled Measuring the Impact of U ser Participation in Natural Resource Management Research, Wffi organized by the CGIAR's Standing Panel on Impact Assessment (SPIA) for 4-7 February 2002, at San José, Costa Rica. Paper presented on the Impact of Participatory Research and Gender Analysis in Plant Breeding at the 2002 CGIAR Annual General Meeting in Manila, the Philippines. Organized the PRGA Stakeholder Meeting for 30 June-1 July 2003, he1d in Cali, Colombia. 1.1.3. Logical framework for the PRGA Program's second phas e The objectives of the Program's future strategies have been formed by a synthesis of experiences-generated from the Program's accomplishments and lessons learned---that was combined with consultations with stakeholders and recommendations from the Internally Commissioned Externa! Review (ICER). The objectives for the second phase are listed below: 1.1.3.1. Outputs and activities The PRGA Program's outputs and activities tend t o fall into groups, accordi ng to t he Program's objectives. These a re : i. Develop a capacity to encourage gender-equitable, stakeholder-client representation in research decision making, and networking within a cadre of champions who support each other and who can make a difference Generate methods for using gender and/ or stakeholder analyses for technology development 406 Promote organization-development skills and planning Development of concepts and skills for impact assessment Create a network within a cadre of champions who support each other and who can make a difference ü. Continue building compelling evidence of impact Conduct empirical studies on participatory research methods in PB and NRM Develop and disseminate tools and methods that enable scientists to capture the impact of products and processes, and integrate learning from impact assessment into research p lanning and adaptation (learning and change) üi. Action research partnerships on institutionalizing PRGA approaches with a core of IARCs and NARS Conduct institutional assessments with partner organizations to assess opportunities and constraints for institutionalizing PRGA methods Form partnerships with organizations that enable the PRGA Program to have a major impact on (1) integrating PRGA into agricultura! research, and (2) enhancing methods and approaches that contribute to improving the livelihoods of the very poor, particularly rural women Develop tools that go beyond generic gender diagnosis and analysis to (1) enable the design of tailored analyses, and (2) guide researchers in interpreting GA results so they may effectively address their implications in research planning and adaptation iv. Communications and partnerships for disseminating information PRGA interactive Web s ite Dissemination Publications Enhance the support function of the working groups PBG, PNRM-wg, and GA-wg 1.1.3.2. Gains These include: Greater access toa global exchange of PRGA expertise among a wide range of institutions. Accelerated learning from experiences; and new, widely applicable, methodologies for PRGA generated. Considerable savings and increased impact from NARS generated by better-designed technologies. Indigenous systems of crop development and NRM strengthened and integrated with formal research in a mutually reinforcing way. Poor rural women become meaningful participants in research and its beneficiaries. Greatly accelerated development and adoption of diverse germplasm in major food crops. 1.1.3.3. Users Poor rural farmers, IARCs, NARis, NGOs, and rural grassroots organiz ations 1.1.3.4. Collaborators IARCs, NAR S, NGOs, grass roots organizations, a nd universit ie s 1.1.3 .5. CGIAR system linkages 407 The main ones focused will be Enhancement and Breeding (25%), Crop and Livestock Production Systems (25%), Protecting the Environment (30%), and Organization and Management (20%). Not e: See Appendix 1 for a description of the PRGA Program's logical framework, and Appendix 2 for details of the distribution of the Program's budget allocations. 1.2. Strategies During 2003, the PRGA Program goals have been adapted as a result of lessons leamed from activities in phase 1 and of inputs received from various consultations with stakeholders during the same period. As a result, the major focus for the second phase, beginning 2003, will be on the following strategies: Mainstream PRGA approaches . Increase the development of capacity in GA, PR, impact assessment, and use of organization-development concepts and tools. Institutionalize these approaches within the organizational context. Contínue to build evidence of the impact of using gender-sensitive, participatory research methods. Develop action research partnerships to institutionalize PRGA approaches within a core of lARCs and NARS. Develop communications and partnerships for disseminating information. Devolve the Program's activities, responsibilities, and decision making to stakeholders. The following briefly describes the most important facets of these strategies. 1.2. 1. Mainstreamíng PRGA approaches Mainstreaming the Program's outputs is critical to its success. Client-oriented research and development (R&D) requires skilful interactions between researchers and end users of technology to ensure that innovations are appropriate and rapid adoption occurs. Mainstreaming the use of PRGA will have been achieved if these research approaches and principies are: Widely accepted by donors, IARC management, and scientists as valid for achieving scientific research goals (e.g., soil analysis and gender analysis have equivalent legitimacy and validity as research tools). Used scientifically in a discriminating fashion to improve research in the CGIAR system-not for advocacy or for the sake of appearances. Assigned sufficient resources at the system level to enable IARCs to apply the approaches and methods when needed to solve priority research problems, to learn from one another's experiences, and to conduct strategic research for developing new applications and cutting-edge methodologies. 408 Applied to increase gender-equitable stakeholder and client participation in relevant research processes and decisions so that feedback to research, and research efficiency and effectiveness are improved; technology appropriate to different stakeholders is developed; and adoption rates increase among the CGIAR's priority client groups such as poor rural women. Used by IARCs to develop and promote collaborative research partnerships that incorporate gender-sensitive stakeholder and client participation and contribute to empowering poor rural women to access new opportunities through technological innovation. Used to encourage gender-equitable stakeholder and client representation in CGIAR externa! and interna! reviews, impact assessment, and consultations for strategic planning. Integrated into the structure and culture of the organization. Specifically, PRGA approaches and p rincipies would be reflected in terms of reference (TORs) and personnel evaluation systems of researchers; incentive systems at the organizational level; policy statements of the organization; core funding within the organization. 1.2.2. Partnerships based on collaborative advantage Given the complexity of research problerns, the Prograrn was designed for implementation through interinstitutional collaboration. A special task force at the Systemwide Planning Meeting developed the principies guiding these partnerships. Partnerships among IARCs, NARis, NGOs, and governrnental regional offices (GROs) are to be decentralized. Methods are to be introduced into ongoing projects, consistent with their priorities. Emphasis is given to horizontal arrangernents where collaborative advantages are sought. The goal is to create a synergy between and arnong collaborators so that, together, they may produce or accomplish something new that cannot be done by any one organizat ion. Table la shows the Program's partnerships: The principies for successful partnerships adopted by the Program are: Compelling, shared vision and sense of purpose. Strong, skilful, shared leadership that purposely seeks to create collaborative advantage. Shared problems of definition and approach. Guidelines for using methodologies and organization innovations based on comparisons across agro-socioeconomic environments, technologies, and user groups. Common learning process derived from sharing global experiences. Power equity. Interdependency and complementarily. Cost-effective divisions of research labor as a result of joint research and development capacity. 409 Mutual accountability. Building on ongoing IARC research where possible, with 50¡ 50 co-financing by the Program when partner institutions agree to contribute at least 50% of tre resources needed for collaborative activities. 410 bl Ta e la. T h e PRGA Program s partners in innovation. Partners8 Continent Int'l or regional Country of project Africa CIMMYT Yemen !CARDA Syria ILRI Tanzania IPGRI Malawi WARDA Zimbabwe AHI (ICRAF) Uganda SWNM (SP) Asia Himalayan network Nepal UPWARD (CIP) LI-BIRD Nepal CIMMYT SRBLI IRRI IPGRI Latín America Bolivia CIAT Colombia CIP Peru TLAP (SP) Ecuador IPCA Honduras EAP-Zamorano Honduras CBN Brazil . . For an ex planahon of the acronyms and abbrevtabons, see Appendix 15 1.2.3. Gender analysis Using GA as a research tool is basic to developing technology aimed at alleviating the poverty of severely disadvantaged social groups~specially poor rural women. The Program's strategy is to: Promote the use of GA. Not only understand the implications of women's existing roles and responsibilities in agriculture and NRM for technology development and institutional innovation, but also identify new opportunities for innovation that involve a concomitant change in women's status. Integration is more effective than isolation; thus GA is a central component in the Program's research, capacity-building, and partnership-developrnent activities. Analysis of differences arnong stakeholder groups is a first step in designing a good PR agenda. Gender analysis, together with the analysis of other differentiating characteristics within and among groups of technologies, can help ensure that technologies will be useful and used. The focus is on rnainstreaming gender and/ or stakeholder analysis principies, rnethods, and tools in PB and NRM research so that their use becomes an integral part of the processes of research design and irnplernentation within the CGIAR systern. 41 1 Participatory research in PB and NRM integrates GA into the research process and involves: Diverse stakeholder groups. Our capacity-building strategy gives our partners the skills needed to integrate gender and stakeholder analysis and partnership principies as critical components of the PR processes in which they are involved. Our information dissemination and public awareness activities make visible the needs of both men and women innovators and users of technology. The Program develops criteria for assessing the extent to which GA and user involvement in the research process have been achieved and what impact they have had. The Program does not limit itself to gender as the sole user-evelopment Studies Monica Kapiriri NGO representative KAMPALA,UGANDA Bhuwon R. Sthapit PPB representative Senior Rice Breeder Nepal Agricultura! Research Council (NARC) Farhad Mazhar Farrnerrepresentative Managing Director UBINIG, India 1.4.2.5. Duration of terrns Advisory Board members shall each serve a term of 3 years. 1.4.2.6. Means of appointrnent Membership to the Advisory Board will be proposed: Either by an ad hoc norninating cornrnittee, rnade up of current Advisory Board rnernbers, frorn candidates norninated by current rnernbers of the PBG, PNRM-wg, and GA-wg and endorsed by the Advisory Board as a body. Or at an acceptable stakeholder forurn. Section 2: Participatory Plant Breeding Working Group (PBG) 2.1. Overview Participatory plant breeding (PPB) is a rnajor thernatic area of the PRGA Prograrn's work. The Plant Breeding Group (PBG), established in 1996, initially identified four key outputs for advancing the field of PPB: To assess and develop effective participatory rnethods in plant breeding, with a focus on farrner-led breeding, plant selection (segregating Iines) , and variety selection (ftxed lines) . 418 To involve and target beneficiary groups in PPB2 through the development of social methods for working with users and better anticipating their needs. To identify and develop effective ways of organizing PPB in research. To ensure user access to the products of PPB through appropriate seed system support. The PBG subsequently identified a fifth area, which is critica! to the development of sustainable and equitable PPB: To ensure users can access the products of PPB through identification of appropriate property rights and other forms of benefit sharing. 2.2 . Work Plan 2.2.1. Outputs Assessed and developed effective participatory methods in plant breeding, with focus on: Breeding by farmers Plant selection (segregating lines) Variety selection (fixed lines) Developed methods for involving direct and indirect stakeholders, thus accurately targeting beneficiary groups and involving them in PPB. Identified and developed effective ·organization forms for operationalizing PPB in research. Assured user access to products of PPB by identifying effective organizational forms and links to supporting seed services. 2.2.2. Activities l. Inventory and compare existing participatory methods across crops and environments. Identify and compare existing strategies for strengthening farmer-led breeding (in reference to self-pollinated, open, and vegetatively propagated crops) . Implement experimental research to compare classical breeding approaches with participatory plant selection and participatory variety selection in reference to the three crop types. Assess impact of various participatory strategies on the three crop types and across diverse environments with respect to farmers' objectives such as yield stability, production, and genetic diversity . For an explanation ofthis and other ancronyms and abbreviations used in the text, see Annex 15. 4 19 Disseminate results and relevant methods by crop type and environment, and according to priority goals. Identify opportunities for institutionalizing relevant PPB methods by crop type and environment, and according to priority goals. Revise diagnostic methods for assessíng stakeholder preferences for plant varieties in the short, medium, and long term. Assess methods to involve users in plant breeding, differentiating them by type, for example, gender, wealth, and end use (e.g., consumers, processors, and seed producers). Analyze the social and economic impact of various PPB methods on different users. Analyze the costs of altemative participatory methods to involve different users in plant breeding. Revise methods for assessing indirect stakeholder roles and needs. Synthesize fmdings on how to involve hidden and indirect stakeholders in participatory approaches. Synthesize case study fmdings on how to resolve conflicts among diverse users and stakeholders in germplasm resources. Publish guidelines on the cost-benefit ratios of different approaches to involve and target differentiated users. Inventory and compare different divisions of labor among farmers and breeders in the breeding process. Revise the ways that existing breeding programs organize and fund links with farmers. Identify promising links and innovations. Partners of organizational innovations also monitor and evaluate (including conducting cost-benefit analyses of different links and forms) those innovations for PPB. Formulate guidelines for decision makers on promising organizational forms. Revise communication tools for improving farmer-scientist interactions. Assess various methods and tools for understanding local seed systems. Identify strategies for strengthening local seed systems. Revise and develop methods to link participatory approaches in breeding with local seed system s and market s. Identify incentives and roles of CBOs and NGOs in enhancing seed and seed information flow. 420 Explore constraints and opportunities to include products of PPB in existing regulatory frameworks. 2 .3 . Capacity Building in Participatory Plant Breeding 2.3 .1. "Quality of Science" meeting, Rome The workshop on The Quality of Science in Participatory Plant Breeding was held at IPGRl's headquarters, in Rome, from 30 September-4 October 2002. It resulted from a key recommendation made by the panel of the Systemwide Review of Plant Breeding Methodologies in the CGIAR (October 2002), which suggested that PPB approaches be considered as among CGIAR's core breeding strategies. Although the meeting was small, with 35 participants, it brought together sorne of the leading practitioners in PPB within the Future Harvest Centers and 7 representatives of the genetic resources area in different centers. On recognizing that important innovative and creative work in PPB was developing within regional and national networks, and civil society groups, the workshop also drew expertise from Mesoamerican PPB networks, the South Asian "Using Agricultura} Diversity" Network, SEARlCE, CIRAD, FAO, University of California, the DFID-supported plant science programs, and the NARS of Brazil, China, Cuba, Malawi, and Saloman Islands. The workshop's overall brief was to assess those critica! advances in the social and biological sciences shaping PPB practice, evaluate the breadth of its impact to date, and identify key scientific challenges. A multi-institutional organizing committee debated long and hard to focus this broad brief into six key tapies (Appendix 6). Plenary sessions and subsequent working groups were organized around the following issues: what we know, what we don't know, and how we should design R&D work to move a given issue forward. Truly novel research developments were presented in the realm of PPB: priority setting, on-farm trial design and experimentation, impact and cost-benefit assessment, property rights, and biotechnology (particularly "participatory" molecular marker -assisted selection). Those integrative approaches that aim to better link the production objectives of PPB with the more holistic aims of genetic resource management and empowerment were also explored in detail. Finally, the group outlined an explicit agenda for action in "priority areas in PPB", including the need to work on seed policy and regulatory reform to ensure that the products of PPB actually reach the in tended end users, particularly the world 's more marginal men and women farmers. 2 .3 .2 . Plant Bre e ding Group consultation In August 2002, the PRGA Program's Coordination initiated a consultation process with the PBG about future directions. The following questions were posed: What is your opinion of the val u e and functioning of the PBG? What type of structure do you feel would best suit the purpose of PBG? 421 If you feel devolving management of the PBG to its members is desirable, which functions do you feel sh ould be managed by group members and which should be managed by the PRGA Program? If you feel that changes shou ld be mad e to the current structure of the PBG, how would you propase operationalizing these changes? Are there other commen ts, questions, or observations you would like to make on any aspect of the PBG or about the PRGA Program in general? See Appendix 7 for the feedback received. 2 .3 .3 . PBG minutes 2 .3.3 .1. Role and contributions on institutionalization To institutionalize PPB, changes must be made in variety release systems and seed production. Develop a monograph on PPB for students and researchers and / or practitioners in PPB. Strengthen policy influence from both intemational bodies and grassroots levels. Draw lessons from case studies of PPB institutionalization CGIAR and FAO to work together to influence policy on seed systems and seed regulation. Conduct policy workshops that include ministers, technocrats, NARS, and farmers. 2 .3.3.2. Developing methods for integrating PPB and NRM into joint projects For example, to integrate clean-seeds production systems with participatory NRM 2.3.3.3. PPB feedback on strategy PBG representatives proposed working with other selected representatives to provide feedback from the broader group membership, using listserv e-mail, on future directions and strategies of both Program and Working Group. Although aii members are free to structure their own consultation process, below are types of questions that may prove useful. These were synthesized from contributions by Bazile, Ceccarelli, Granda, Kimani et al., Lanc;:on et a l. , Snapp, Stroud, and consultations with PBG members (November 2002). What are your initial reactions to the 2003-2007 PRGA Program's logframe(Appendix 1)? Are there areas w here you ha ve questions or need .further clarification? Are there particular items for which you wish to express support or raise concerns? SUMMARY:J Stakes mentioned in the logframe look determinant for the future of all research institutions. However, two aspects are not clear: (a) integrated participatory research that could generate real innovation, and (b) participation mechanisms enabling users and researchers to innovate. 422 Attached is a summary ofthefeedback to the PRGA Working Group Consultations held last year. What do you see as being the major implications ofthe responses receivedfor how the Group should moveforward? Do they imply any changesfor how the Group is organized, managed, or junctioning? Jf so, how? SUMMARY: All members agree that the PRGA Program's PBG has done tremendous work in, for example, building a network, generating and building collective knowledge on field cases, collecting data, distributing information, and conceptualizing. They suggest n o change in organization, except a little more disconnection from the CGIAR interna! and specific stakes and more paper diffusion. Sorne feel that more emphasis could be put on training in PPB procedures, including terminology and principies, methods of analyzing data, and building of collaborative (instit utions) research projects. Institutionaliza tion, however, needs special organization (either a process or tool) to define PRIORITY questions and to ATTRACT more breed ers and other scientists. It could a lso help coordinate participatory approaches within the CGIAR or even outside the CGIAR and NARS. What do you see as being the top three issu es on which the Working Group should focus over the next 3 years? Why? What WG activities would best address these issues? What suggestions do you ha ve for acquiring the necessary funding to support them? SUMMARY: The proposals involve the produ ction of three major categories- knowledge, tools, and methods (including impact indicators)-that are scientifically valid (assessed by pairs). These categories can be applied to crops that a r e not priority for NARS evaluation of PPB methods in situ. Ways of applying can include impact studies (including cost-benefit analyses), institutionalization, and scaling up. Means of applying would comprise supporting projects with explicít large-scale approaches, decentralized organization to stimulate innovation, and links with conventional breeding programs (including other, non-CGIAR, organizations). What ideas and suggestions do you have about how the PNRM-wg or the PBG operate? What listserv s hould be facilitated in the juture? SUMMARY: Most members prefer both networks to be maintained separately, althou gh links between them should be increased because "distinction is against the real spirit of participatory research". Argumen ts are that the PBG network works better independently, it is already very large and not too specific, and has yet to resolve its problems. PRGA Program should continue with coordin ation, although sorne think it would do a better job if run more independently from the CGIAR. 2.3.4. PPB Small Grants Program The purpose of the PRGA Small Grants Program is to build capacity for a pplying PRGA approaches to ongoing research. The funded projects contribute methodological and organizational innovation to the field of PRGA and rigorous evaluations of the impact of applying participatory and equity-enhancing approaches, with special attention to the effects on poor, rural women. Projects analyze the outcomes of these methods, comparing them with those of conventional research methods, and evaluate the effects on the research process itself. 423 Eligibility for small grants requires partnerships among two or more different types of organizations. The program has helped foster research partnerships among IARCS, NARS, NGOs, universities, and grass-roots organizations in Africa, Asia, and Latín America. Table 2a details severa! projects funded by the Small Grants Program. 2.3.5 . Aff'lliated projects Includes support to students, and collaboration with partners. 2.3.5.1. Support to students Three doctoral theses continue to be funded by the PRGA Program. They are making good progress, with fieldwork near completion and dissertation writing already started. They focus on subjects key to filling gaps within the PPB field: local seed systems, farmers' decision-making in PPB in the context of a systems perspective, and how to break the nexus between poverty and agrobiodiversity. );> Mekbib Frew- Ethiopian Began doctoral stu dies at the Agricultura! University of Norway in February 2000. His research is entitled Diversity of Seeds, Seeds of Diversity: Food Security through Enhancement of Sorghum. As stated in the proposal document, the project's main goal is to promote a sustainable use of on- farro sorghum diversity and increase small-scale production for resource-poor farmers in eastem Ethiopia. This region is a center of origin for the crop, with a unique diversity of farmers' varieties, knowledge, and management systems. Despite more than 40 years of formal and scientific breeding, adoption of modem varieties is very low. The project explores the hypotheses that (1) a discrepancy líes between modem varieties and those preferred by farmers (who are mostly women) , and (2) local materials can be improved without sacrificing diversity or resulting in loss of adaptation. To understand farmers' decision-making processes, the project must adopta participatory, gender-sensitive, approach, which is likely to be more fruitful than the traditional top-down approach. To improve the region's food security by enhancing biodiversity conservation and use, baseline information is needed on farmers' knowledge and technology, and on the extent of on-farm genetic diversity and loss. The project seeks to address issues through on- farm studies of genetic diversity management, assessment of farmers' breeding methods and seed systems, and quantification of farmers' success in variety development. Research methodology will include multisite experiments under farro and research station conditions. Findings are expected to lead to the development of a breeding strategy in which farmers and the formal sector can interact effectively and local diversity is conserved. );> Antonio José López - Colombian Pursuing doctoral studies at the University of Wales. His dissertation Farmers ' Knowledge and Formal Models ofTheir Decision Making in Participatory Improvement of Cassava-Maize Intercropping aims to develop methods for incorporating both local knowledge and formal models of how farmers make decisions into participatory technology development. The fieldwork for the doctorate is being conducted in Colombia's Caribe Regían López reports the following highlights so far: 424 For production system characterization: three production systems and five types of farmer s were identified in the Caribe Region, as according to key agrobiophysical variables, farm area, land tenure, an d land tenure stability. For farmers' knowledge and modeling: farmers have a sophisticated decision-making model for integrating market information, family necessity, and food security. They appear especially concerned over weed control, the amount of area to which cassava is p lanted, and specific harvesting procedures. In gen eral, no strong differences by gender were noted in reference to these key concerns. However, in terms of detailed knowledge, gender and production system differences are obvious in relation to knowledge domains. For example, farmers from production system 5 clearly classify soil according to color and structure, whereas, in production systems 2 and 3, farmers identify two types of soil based only on texture. Likewise, men farmers in production system 5 had a sophisticated under standing of the relation ships between maize and weed residues, mulch, soil erosion, soil fertility, and soil moisture. In contrast, women consider cassava leaf color intensity, cassava-maize attractiveness, and in creases in cassava root diameter when maize residues are removed after harvest. )> K.irit K. Patel- Indian Pursuing PhD studies at the Society for Research and Initiatives for Sustainable Technologies and Institutions (SRISTI). Kirit's project is on Breaking the Nexus Between Poverty and Agrobiodiversity: Institutional and Policy Changes for Supporting Farmer-Led Participatory Crop Improvement and Conservation. In the context of the growing success of participatory approaches, the project aims to understand the extent to which various successful PPB projects have achieved the conflicting goals of crop improvement and on-farm conservation of agrobiodiversity. It examines the various instruments of incentives and benefit sharing that successful PPB projects use to encourage participating farmers and communities. The project will also analyze current policy environments to identify constraints affecting the operationalization of various incentives and benefit sharing for farmers to continue on- farm conservation and improvement of a diverse genepool. Sorne PPB p rojects reported in the literature from western India and Nepal were tentatively considered for possible fieldwork and data collection. This brief report explains how the project evolved, given situations in the field, and discusses the updates on research approaches and activities being used. 2 .3 .5.2. Collaboration with partners A publication, Quantitative Analysis of Datafrom Participatory Methods in Plant Breeding, was produced. The papers in this volume were presented at a workshop of the same title and held at the Castle of Rauischholzhausen Conference Center of the Justus Liebig University, Germany, during 23-25 August 200 l. Participants were CGIAR scientists who wanted to review and discuss the different quantitative techniques used for analyzing data generated by participatory methodologies in the context of plant breeding. Participatory plant breeding (PPB) is gaining wider acceptance worldwide-it is increasingly being used within the CGIAR-and its merits and limitations are beginning to be better understood. Many scientists involved in these efforts, however, have realized that the quantitative techniques needed to analyze the data from the 425 participatory methodologies used in PPB are still not well known or understood by many practitioners . Further discussion and exchange of methods and ideas are needed. The workshop was organized by CIMMYT and the Justus Liebig University, and sponsored by CIMMYT, IRRI, the PRGA Program, and other participating CGIAR centers. Experts from outside the CGIAR were also involved. Scientists from different disciplines (breeders, social scientists, biometricians, and agronomists) and crop backgrounds (maize, rice, potato, cassava, sorghum, barley, and agroforestry) were brought together for the workshop. All 21 participants were experienced in PPB and had also worked on interdisciplinary teams. They represented 10 CGIAR centers (CIAT, CIMMYT, CIP, !CARDA, ICRAF, ICRISAT, liTA, IPGRI, IRRI, and WARDA), Justu s Liebig University, University ofWales, and Michigan State University. The workshop was organized around three themes: Designing and analyzing joint experiments involving variety evaluation by farmers. Identifying and analyzing farmers' evaluations of crop characteristics and varieties. Dealing with social heterogeneity and other research issues. The PRGA Program agreed to provide CIMMYT with a grant of US$1500 to be budgeted toward the printing costs of this publication. 2 .4. Research Monographs, Nos. 1 to 4 2.4 .1. PPB monograph, no . 1 Title: Technical and Institutional Issues in Participatory Plant Breeding: From the Perspective of Formal Plant Breeding A Global Analysis of Issues, Results, and Current Experience Authors: Eva Weltzien, Margaret E. Smith, Laura S. Meitzne r, and Louise Sperling Summary: This publication reviews what has been done in PPB from the perspective of formal sector institutions such as national p lant breeding programs, CGIAR institutes, or extension services. It includes an inventory of PPB cases worldwide, detailed description of about a dozen illustrative cases, analyses of key technical and institutional issues, and assessment of gaps in current knowledge on PPB methods, organization, and results. The document defmes PPB as comprising approaches that involve close farmer-researcher collaboration to bring about plant genetic improvement within a species. It describes goals of PPB programs, the reasons for involving farmers and other end users in PPB, and the areas in which PPB is expected to be beneficia!. PPB programs were grouped in various ways to detect and conceptualize trends. These groupings emphasized the key factors that have stimulated development practitioners' interest in PPB: the goals that PPB can achieve, the environments in which it might have impact, and the nature and d egree of farmers' participation in different projects. Most programs focused on productivity enhancement, particularly in marginal environments. Another important goal was to ensure the possibility of releasin g varieties adapted to specific (often marginal) production conditions through policy 426 changes. Other goals, such as bíodiversity enhancement and farmer capacity building, were secondary in most PPB programs. Formally led PPB programs tend to cluster in production environments of high stress (marginal) and subsisten ce. Surprisingly, however, an increasing number of projects are addressing less stressed, more market-driven contexts. Farmers' participation in formally led PPB can be considered in terms of the stages of the breeding process during which it occurs, the nature of farmers' contributions, and the degree of decision making. These three dimensions together describe the "quality of participation". In terms of "stage", in most of the PPB cases examined, farmer participation occurred during the testin g of (geneticaUy flXed) varieties. The involvement of farmers in setting breedíng priorities and targets is also reasonably common. Much less has been done to explore farmers' potential contributions to settíng the overall goals of a breeding program, generating variability, or selecting experimental varieties from among segregating populations. Participation between researchers and farmers in the variety diffusion process is beginning to receive more attention. The nature of contributions that farmers had made included providing key inforrnation from their knowledge and experience, and genetic materials, and being involved in the actual breeding process. The farmers' contributions provide breeders with insights needed to identify appropriate varieties and irnprove seed production and distribution systerns. The degree of participation within formally led PPB was overwhelrningly consultative, that is, farmers gave advice, but had no real decision-making power. For this review, 48 cases were identified, studied, and inventoried. Of these, 11 case studies were presented in greater depth in the body of the report, having been chosen to represent the diversíty of crop types, geographic regions, and scales of PPB programs, and to show sorne of the different motivations the formal breeding sector had for pursuing PPB. The case studies showed work in progress with farmers involved in different stages of the breeding process. Crops were of the cross-pollinated, self-pollinated, and clonally propagated types. The research was located in Asia, Africa, Latin America, and Mesoamerica, and addressed farmers' needs in a wide variety of agroecological conditions from extremely hot, dry, desert margins to very high rainfall, high altitude, rugged conditions. Sorne cases deal with highly market-oriented production and others with subsistence-oriented systems where production shortfalls are frequent. Most of the case studies represented production systems in which the formal breeding sector alone, without the farmers' direct ínvolvement, had only limited success. Case studies involving different institutional partners and collaborative arrangements are also represented. The cases emphasized different broad goals, with sorne addressing issues that farmers identified and initiated, while others merely consulted farrners and used the information to orient selection programs or other breeding activities. The book uses the information from the case studies to describe key outcomes: lessons learned from themes on biophysical and socioeconomic environments, breeding strategies involving farmers, issues of participation, gender juser differentiation , institutions in formally led PPB, and transfer of benefits . The review concludes by focusing on identifying gaps in our understanding that must be addressed by future PPB research. 427 2 .4.2. PPB monograph, no. 2 Title: Technical and Institutional Issues in Participatory Plant Breedíng: From the Perspective of Farmer Plant Breeding A Global Analysis of Issues, Results, and Current Experience Authors: Shawn McGuire, Gigi Manicad, and Louise Sperling Summary: Farmer-led PPB excites great interest for its promise in crop improvement, biodiversity conservation, and farmer empowerment. Although its potential is most anticipated for unfavorable areas beyond the reach of formal breeding, PPB could have significant impact across a wide range of contexts. This report considers research that sought to support farmers' own systems of crop development and seed exchange (farmer-led PPB) in light of these dífferent goals, and from the perspectives of the range of organizations promoting PPB. It presents an overview of farmer-led breeding anda framework for support, giving the frrst major comparative analysis of farmer-led PPB. This document broadly defmes farmer-led breeding to include both deliberate actions and those bound in farmers' practice, to consider collective as well as individual processes, and to include systems of seed storage and exchange. A review of current knowledge about farmer-led breeding points to areas of similarity and difference from formal breeding. Farmers often bring a wider set of criteria to crop development than does formal breeding. They also seek to balance maintenance wíth crop improvement, and local with broad adaptation, although details are sparse on the nature and success of such balances. Farmer-led breeding can be considered as a series of processes for managing gene flow, in parallel with formal breeding, which influences crop genetic structure and performance, and determines who receives germplasm and information. These processes include introduction of new diversity (and its testing), recombination, selection, storage, and exchange of planting material. Knowledge remains patchy on the biological and social impact of these processes. Farmers' actual interest in breeding may be supported by a range of socioeconomic factors (failure of formal breeding, importance of crop, absence of policy barriers), as well as biological factors (visible diversity, self-pollination, environmental variation, experience with crop). As a social process, farmer-led breeding and seed exchange involve particular groups dífferently, often giving particular roles to gender or wealth. The core of this report describes and analyses 11 case studies of projects that pioneer different aspects of farmer-led PPB. They represent activities in Africa, Asia, and North and South Arnerica, initiated by institutions ranging from independent farmers ' initiatives to the CGIAR, and involve crops from all breeding systems. PPB projects are active, not just in marginal areas, but across a broad spread of agroecologies. These cases address a range of goals, the most common being conservation and improvement of germplasm. Many of these cases also sought to expand farmers' crop options, although only a few cases made this a central goal, exclusive of interest in conservation. An additional goal in severa! cases was empowerment through promoting self-reliance. Finally, one case concentrated on helping post- PNRM resources are organized by author, tapie, and type. Tapies include: Collaborative Adaptive Management Collaborative Planning and Management Environmental Monitoring Integrated Crop Management Integrated Pest Management Integrated Soil Fertility Management Participatory Action Research Participatory Learning and Change Participatory Monitoring and Evaluation Participatory Research Methods Policy Development Quality of Science Social Capital Sustainable Development and Environment Sustainability Indicators Types include case studies, decision-support tools, guides and handbooks, and quantitative methods. During 2003, the collection doubled to more than 80 items. When the PRGA Program's new Web site is launched in late 2003, further value will be added to the collection by making it searchable and extending the classification system. The resources will be classified again by author, tapie, and type, and also by purpose and stage of innovation. 3 .2.3 . Concept paper on PRGA for the CGIAR Challenge Program on Water and Food 435 Several PNRM-wg member s collaborated on an overview of participatory research and learning (PR/L) processes and their relevance to watershed management and development. This synthesis d raws heavily on the Group's book, Managing Natural Resources [or Sustainable Livelih.oods: Uniting Science and Participation (copublished by Earthscan and IDRC in August 2003), and on other key resources. The synthesis will be used as a guide by researchers for formulating proposals and by reviewers for selecting them. It is available online at 3.2.4. Synthesis document on farmer PR for integrated pest management In 2001, the PRGA co-funded a study tour and learning workshop on Farm.er Participatory Researchfor Integrated Pest Management (FPR-IPM) , together with the CGIAR Systemwide Program on IPM, the Global IPM Facility, CAB Intemational, and SDC. Six innovative integrated pest management projects from Asia, Latin America, and Africa participated in mentored, reciproca!, study-tour exchanges. Each exchange involved a pair of projects from different geographical regions and employed significantly different methodologies. A Iearning workshop, involving the s tudy tour participants, their mentors, resource persons, and an array of other IPM projects, was held at the conclusion of the study tours to share and synthesize lessons learned and disseminate them toa wider IPM audience. The resources developed through the study tours and leaming workshop were published in a 2-CD set available at A small working group is d eveloping a synthesis document, drawing on the study-tour case studies and the collective analyses developed at the workshop. The document is addressed to: IPM and/ or ICM researchers who would like to understand the essential principies of participatory research and how they can be used to strengthen and complement conventional research Development practitioners looking for an up-to-date synthesis of key issues to consider when planning and engaging in participatory research and learning (PR/L) for improving integrated crop and pest management Program managers who desire a richer understanding of the potential of PR/L in ídentifying and exploiting practica! opportunitíes for ímproved livelihoods Policy makers and donar representatives who need support for decisions on investments in research and learning initiatives The outline of the document is given in Box 3A. A draft of the document will be circulated to project stakeholders at the end of 2003, and publication is expected by March 2004. 436 Box 3A Issues discussed in the synthesis document on Participatory Research and Learning in Integrated Pest Management l. Introduction Are participatory research and participatory learning two s ides of the same coin? Why another publication on PR/L? The context: participatory research and learning for integrated pest management 2. Navigating the landscape of participatory methodologies What a re the differences between convention al and participatory approaches to agricultura! innovation? How do conventional and participatory approaches complement each other? How does participatory research differ from participatory learning? How do research and learning approaches complement each other? How can experiments be u sed in leaming and research? How does participatory research use experimentation differently to participatory learning? Who participates in whose research and learning? 3. What difference does PR/L make to IPM? 4 . Managing PR/L processes Which should come first, research or learning? Why is doing the groundwork so important? What aspects merit attention and why? Who's coming to innovate? How can gender and other diversity concerns be integrated in the process? How should we monitor and evaluate PR/L processes? 5. Applications of PR/L in IPM 6 . Enabling PR/L in IPM 7. Financing PR/L in IPM Why should governments and donors invest in PR/L? How can the financin g of PR/L be put on a sustainable basis? How can the effective use of funds for PR/L be fostered? Should farmers be paid for taking part in PR/L activities? 8 . Facilitation and mentoring 9. Organizational forros 10. Quality of participation How can quality be ensured in participatory research? Do participatory approaches necessarily lead to local empowerment? 11. Conclusions 437 3.3. Coordinating the PNRM Working Group The PNRM-wg is open to a ll practitioners and developers of participatory research approaches for natural resource management. The group interacts through an e-mai1 discussion list, meetings, seminars, and vía small, self-organizing subgroups formed to undertake specific projects. Since 1999, the Group has grown from an inaugural group of 25 members to 150 from 37 countries, and has the following institutional profile: NARES 12 CGIAR 62 Other IARCs 3 NGOs 18 Consultants 12 Universities 29 Students 5 Donors 4 FAO 5 Total 150 3.4. NRM Small Grants University of Hohenheim Project title: Assessing Approaches to Innovation Development in NRM through Participatory Monitoring and Evaluation Collaborating institutions: Univ. Hohenheim (reporter: Kirsten Probst), CIAT- Hillsides, AFOCO, IPCA, GTZ-Forestry Program, DED (German Development Service) IPRA~SWNM Project title: Integrated Nutrient Managemen t for Building the Assets of Poor Rural Women Collaborating institution: IPRA (CIAT's Participatory Research in Agriculture Project) University of Essex Project title: Social and Human Capital for Improving Agricu1tural Productivity and Natural Resource Management Collaborating institution: Univ. Essex SRISTI Project title: Breaking the Nexus Between Poverty and Agrobiodiversity: Institutional and Policy Changes for Supporting Farmer-Led Participatory Crop Improvement and Conservation Collaborating institutions: Univ. Guelph (Sally Humphries), SRISTI (Anil Gupta, President), LI-BIRD, liM-A Section 4. Mainstreaming Overvi.ew 438 The PRGA Program's general objective of mainstreaming includes severa! díscrete but interrelated actívities: Capacíty development for gender-sensitive participatory research, complemented with organizational development for ínstitutionalization Demonstrating concrete evidence of impact for institutionallearning and change Supporting networks of development practitioners Developing learning cases More active seeking to develop a high-level support function from stakeholders, particularly donors and influential members, who will provide intellectual direction and advocate for the Program's objectives both within and outside the CGIAR As planned, the Program has focused primarily on reaching the core scientists of the CGIAR, NARS, and other institutions who may have concerns about the rigor and concrete impact of partícipatory approaches. This emphasis was adopted on advice from the ICER and a TAC Breeding Review Panel, who felt that, given the substantial progress made in advancing partícipatory plant breeding (PPB) approaches and methods, it was time to advance change among the "mainstream" breeding community. Three separate "institutionalization" activities were therefore funded: a PPB workshop on the "Quality of Science"; a set of in-depth PPB impact studies (year 1 ); and a series of PRGA Program working papers on the "Quality of Science" (year 2). Institutional Assessments The CGIAR centers themselves need to reflect, synthesize, and develop well-rooted strategies for PRGA work. CIP's recent ICER on participatory research showed that this sort of reflection is fundamental for institutionalizing the approach. Strong center- based conviction and key change agents for PRGA approaches are essential for strong systemwide commitment. Intra-Center Change Committees were established to foster organizational strategies for PRGA work. Events to help forro and/ or reinforce such Committees were planned under the PRGA Program's umbrella at CIP, CIAT, and ICARDA. The following prerequisites were collaboratively identified for forming such Intra-Center Change Committees: Pre-existing organizational forros and/ or functions related to PRGA activities, or the likelihood of such organizational forros coming into existence without the PRGA Program having to lead such forroation Demonstrated commitment and experience in PRGA activities Commitment and support from management Willingness and potential for institutional change Existence of "champions" within the organization. These champions should be sufficiently senior and/ or respected for their work in the organization's hierarchy. However, although management support is crucial, change cannot be top-driven 439 Organizational change ís slow, and the process is often confronted wíth obstacles such as resístance; the need to continuously re-assess and build on the champions' capacity to lead change; and, frequently, the contingencíes of the champions' own scientific research affecting their capacity to lead change. Nevertheless, sorne general guidelines for the functioning of these Intra-Center Change Committees are outlined below: Conduct institutional analysis to ídentify opportunities and constraints for institutionalizing PRGA approaches within the organization Generate horizontal and vertical support for the initiative within the organization through activíties such as seminars, worksh ops, and internal publications Develop and ímplement an action plan for institutionalizatíon Develop skílls, particularly for developing and managing processes for organizational change Critically revíew, evaluate, and revise action plans according to context and lessons generated Network and exchange experiences wíth, and so learn from, other centers andjor partner institutions involved in similar activities Analyze, write up, and disseminate experiences through, for example, externa! publications, seminars, and workshops 4 .2 . 1. The International Potato Center (CIP) Principal contact p ersons: Osear Ortiz (CIPJ; Barun Gurung (PRGA Program) The Working Group on Participatory Research at CIP was an ímportant catalyst for the establishment of Intra-Center Change Committees. The CIP Working Group received considerable support from leadership, and included rnembers from several projects wíthin the Center. Barun Gurung frorn the PRGA Program frrst visited in July 2002 to discuss and develop an action plan for collaboration between the Working Group and the PRGA Program for further institutionalization. Based on díscussions with the Research Director and key members of the Working Group, an initial institutional assessment was planned. An intem, under the supervision and guidance of the Working Group's Coordínator, was contracted to conduct the survey. Considerable time was spent orienting the intern to the organizational assessment framework. The study began in July 2002, and inítial results were presented to CIP managemen t and senior staff. Recently, a frrst draft was circulated among all Working Group members, and is expected to be fin alized in October 2003. The report and action plan for the future institutionalization of PRGA approaches at CIP will be submitted to the PRGA Program in November 2003. 4 .2.2. The International Center for Tropical Agriculture (CIAT) 440 Principal contactpersons: Barun Gurung (PRGA Program); Mathew Blair (Beans Project, CIAT) Barun Gurung conducted the CIAT case study, assísted by an intem (Harriet Menter). The study's initial phase was conducted between July and October 2002, and a first draft completed by November 2002. The major lessons were presented to CIAT staff during the November Annual Review in 2002. The action plan that emerged was based on the identification of two major groups through which PRGA approaches are expected to be institutionalized in CIAT: the Gender and Diversity (G&D) Committee for CIAT, and the Germplasm Group. The G&D Committee was established in 2003 and is currently conducting its own study on CIAT's organizational culture. When the study is completed in October 2003, the PRGA Program and the G&D Committee will jointly develop a plan of action for institutionalization. The Germplasm Group is an informal group of breeders from severa! CIAT projects. It is facilitated by a bean breeder (Mathew Blair), who is also the PRGA Center Liaison for CIAT. The Group, with support from the PRGA Program, has initiated a process to systematize the involvement of the client in technology development within CIAT's various germplasm projects. An initial activity is under way to promete, across all of CIAT's germplasm projects, the existing "practices" already used by breeders to engage end users. When the survey is completed, a discussíon workshop, which the PRGA Program will facilitate, will be held in November 2003 to generate a plan of action for systematizing the process of end-user engagement in technology development. The plan of action will include a selection of "best practices", and an assessrnent of the organizational implications (i.e. , structural) for their integration into research practice. 4 .2.3. The International Ce nter for Agricultu ral Research in the Dry Areas (ICARDA) Principal contact persons: Aden Aw-Hassan (agricu ltura! economis t , ICARDA); Barun Gurung (PRGA Program) Collaboration between the PRGA Program and !CARDA h as been extensive, through both the Small Grants Program in PPB and Aden Aw-Hassan's membership of the PRGA Program's Advisory Board. Several collaborative studies between the PRGA Program and ICARDA have been conducted for severa! years, particularly in PPB. The reports and impact studies conducted by the Program have served as important milestones in providing evidence of the efficacy of participatory approaches in agricultura! research. Based on this existing collaborative experience, Barun Gurung and Aden Aw-Hassan held extensive discussions on how to proceed toward developing an action plan for institutionalization in !CARDA. An institutional assessment was commissioned in late October 2002 and a fmal draft has been completed and submitted to the PRGA Program for review. Once this review is completed, the final draft will be submitted in November 2003. The action plan for establishing the lntra-Center Ch ange Committee at ICARDA is being developed and will be presented with the final report in November , at which time, Barun Gurung will visit ICARDA for further discussions. Forumfor Agricultura[ Research in Africa (FARA) 441 With incomes and food security in sub-Saharan Africa worsening and natural resources deteriorating at alarming rates, there is urgent need for research to engage more effectively with the rural poor, particularly smallholder farmers, women, and target groups from highly vulnerable areas suffering adverse effects of HIV / AIDS and climate change. However, much of the effectiveness of research and development (R&D) systems in addressing the needs and demands of their constituency groups, particularly of smallholders and women, is critically constrained by organizational considerations. R&D systems predicated on a "supply driven" agenda of innovation cannot effectively respond to the smallholders' complex social and environmental realities. An additional constraining factor in addressing the needs of smallholders and women is the limited capacity for using gender-sensitive participatory approaches, particularly of the CGIAR centers. Findings of the PRGA Program demonstrate that end users such as women are brought into the research process at very late stages, usually to evaluate technologies that have already been developed and are ready for dissemination. Consequently, such technologies are often inappropriate for the needs of the poor and women (Annual Report of the PRGA Program, submitted to BMZ 2003).4 The PRGA Program and FARA propose to strengthen, consolidate, and mainstream gender analysis and participatory research in a high priority, highly visible program. This program would recognize and promote gender equity and gender-sensitive participatory approaches as an important strategic process in making R&D organizations demand drivens. One avenue for doing sois through developing enhanced capacity for gender-sensitive participatory approaches, combined with enhanced capacity for organizational innovations that will sustain the use of such approaches beyond the project's life through their institutionalization within the procedures, structures, and cultures of the participating organizations. The PRGA Program and FARA will work closely with the three subregional organizations (SROs)6 in Africa to improve the performance of agricultura! research for development, 4 One key lesson leamed in participatory research is that involving stakeholders early in research leads to better targeting, greater sense of ownership, and higher impact. Only by recognizing current incentive structures and feeding into existing leaming processes can impact assessment contribute to better decision making and ever-increasing impact. Assessing the extent to which R&D organizations ha ve been able to learn and change because of their experience is an irnportant element in mainstreaming PRGA approaches. "Mainstreaming" is an umbrella concept that includes five separate but interrelated components: (a) capacity development for PRGA and organizational development; (b) development of a cadre of change agents trained in PRGA and organization-development skills; (e) a network of support and exchange between change agents; (d) adaptation of organizational structures and/or practices to initiate demand-driven agenda; and (e) formation of a high-level group that represents farmers' interests, particularly those of smallholders and women, and functions as a body that ensures accountability for instituting demand-driven agenda in participating organizations. These are the Association for Strengthening Agricultura! Research in Eastern and Central Africa (ASARECA); the Conseil Ouest et Centre Africain pour la Recherche et le Développement Agricoles/West and Central African Council for Agricultura! Research and Development (CORAF/WECARD); and the Southem African Centre for Co-{)peration in Agricultura! and Natural Resources Research and Training (SACCAR). 442 particularly of highly vulnerable target groups and areas suffering adverse effects of HIV / AIDS and clima te change. A workshop will be held to designa challenge program (CP) for sub-Saharan Africa (SSA). The SSA-CP would be owned by stakeholders, and would build and add value to previous efforts. See Appendix 9 for an example of a workshop evaluation. 4.3. Goals and Objectives of the SSA-CP Workshop The specific objectives of the workshop to design the Sub-Saharan Africa Challenge Program are: To clarify the expected outcomes and objectives of the SSA-CP To analyze the current constraints of the "INRM system" in agricultura! R&D to make it more effective and efficient, and identify emerging opportunities To identify the SSA-CP's "niche", thus adding value to SROs, NARS, and partners Building on existing experience, to elaborate on the research program, structure, and priorities; and identify links between program structure and implementation To clarify the nature of the institutional arrangements needed to operationalize the SSA-CP Most significantly, to share ideas, "new sciencem, and new approaches, and to enhance partnerships 4. 4. LI-BIRD A Nepal-based NGO, Local Initiatives for Biodiversity, Research, and Development (Ll- BIRD), has been conducting farmer participatory maize breeding in Gulmi District in Western Hills, Nepal, since 1999. As well as focusing on developing a new farmer- preferred maize variety, the NGO hada specific emphasis on strengthening farmers' breeding and the informal seed selection and maintenance process. The PRGA Program and LI-BIRD began their collaborative impact study with a planning workshop in October 2002. The study's specific objective was to assess those changes in farmers' skills and economic benefits that may result from increased knowledge. Excellent baseline data exist on the participating farmers, and the same 100 farmers in two sites were surveyed to assess changes in human capital resulting from project impact. Although this study was delayed by Maoist insurgency in the Gulmi area, data collection was completed by July 2003, and data are currently being analyzed. The results of this study will be discussed at the learning workshop to be held during LI-BIRD's annual planning meeting in February 2004. The workshop will involve a facilitated discussion and feedback on the impact study's results, linking field activity and organizational adaptability. The expected outcome of the learning workshop will be an action plan for organizational effectiveness. Section 5: Gender 443 S. l. Overview The establishment of the Gender Analysis Working Group (GA-wg) was a majar development that emerged from the recently concluded stakeholder meeting held in Cali, Colombia, during 30 June-1 July. The PRGA Program stakeholders generally agreed that a GA working group had to be established to "reverse the extreme dilution" of gender and gender analysis within both the practice of participatory research and the CGIAR system in general. Several participants from the meeting joined to form a working group and emphasized the following themes as important to research and development: An explicit gender perspective in all policies and programs Gender equality as a development goal in its own right Gender equality as a cross-cut ting theme; key to achieving other development goals In setting up these objectives, the GA-wg also outlined the first tasks that the PRGA Program needs to accomplish: Set up a comprehensive working group on gender analysis (GA) Membership to the working group should comprise high-level representation, executives, a11 CGIAR focal points (those who were interested), and non-CGIAR members The PRGA and Gender & Diversity Programs should advocate and lobby the CGIAR system to get a starting function, that is, a gender coordinator, facilitator, or gender specialist The GA-wg also set out sorne guidelines for a larger, two-tiered strategy on gender in the CGIAR and the PRGA Program. These are: CGIAR Ensure that explicit gender policy statements are contained in the larger CGIAR policy documents and in those of individual CGIAR centers (e.g., Mid-Term Plans) Focus on capacity development for gender analysis methods through training, mentoring schemes for young professionals, and rural women Create a "Gender" listserv, building on existing ones such as the PRGAinfo listserv Create an inventory of ongoing gender projects and the outputs related to these. For example, such a process could build on earlier works such as that of Hillary Feldstein (1997)1, as well as on experiences outside the CGIAR Establish links with gender archives Feldstein H. 1997. PRGA Website 444 Revive "classical" papers and gray literature (i.e., "unpublished stuff') Document "best practices", case studies, and Jessons learned Identify gaps and initiate new research Create a Web site Create virtual conferences on specific themes of emerging issues PRGA Program In the Program, the GA-wg would: Play an advisory role on: "How to" mainstream gender analysis in PPB and PNRM Monitoring and evaluating the PBG, PNRM-wg, and other working groups Develop capacity for GA through training and mentoring Expand partnerships with other organizations (e.g., research and grassroots) working on gender issues Defining Gender "Gender" refers to the roles and responsibilities of men and women, and the relationships between them. Gender does not simply refer tomen or women, but to the way their qualities, behavior, and identities are determined through socialization. These roles and responsibilities are culturally specific and can change over time. Gender is seen as the social construction of men and women's roles in a given culture or location. Gender roles are distinguished from sex roles, which are biologically determined. Gender refers to the socially determined roles played by men and women. These different roles are influenced by historical, religious, economic, cultural, and ethnic factors. As men and women are defmed in the weave of specific social fabrics, the relationships they share constitute what is known as "gender relations". Poor targeting, inequitable distribution of benefits and burdens, and poor operational and maintenance structures have hindered development projects from addressing issues of sustainable development in water resources management. Commun ity participation and management approaches have also failed to address these issues, largely because communities are often seen as a collection of people with a common purpose. The reality is that a community is not a collection of equal people living in a particular geographic region. It is usually made up of individuals and groups who command different levels of power, wealth, influence, and ability to express their needs, concems, and rights. Communities contain competing interest groups. Where resources are scarce, there is competition for supplies, and those at the lowest end of the power spectrum- this often implies the poor- will go without. Power issues place women in a disadvantaged position. Applying a gender analysis helps development agencies better target their resources and the needs of different gender groups. 445 People-centered approaches do not always ensure that gender perspectives are taken into account. Thus, a deliberate strategy of gender mainstreaming can be useful to ensure that these issues are part of analyses, project planning, and evaluations. 5 .3. The Gender Typology The tool Gender Typology helps researchers analyze how they are using gender analysis (GA) and, likewise, how it affects their research, as well as technology design and adoption. It upholds the premise that those who participate in the different decisions made during research, particularly during technology design, have an important impact, both on the processes and products of research. Gen.der Typology outlines three ways in which GA can be used: Diagnosis oriented: Differences in gender and stakeholder problems and priorities are diagnosed. They may or may not go on to be considered in priority setting and technology design and evaluation Design oriented: In addition to being included in diagnoses, gender-d.ifferentiated problems and priorities are taken into account in research and development design Transfer oriented: Different technology dissemination methods are designed to overcome differences in access to an already developed technology that is thought to have similar appeal to women and men Each way of conducting GA may be implemented in the three different stages of innovation (and 16 steps) outlined in the tool Participation Typology. Related to GA, but also encompassing other stakeholder categories, is the analysis of how projects select participants. This single aspect of participation has proved to ha ve significant effects on the attainment and spread of impact. Many different ways exist to choose participants (or allow them to select among themselves). Often, a project's processes and technology outcomes has a disproportionate impact on those participating- hence, the importance of selecting purposefully. When a project allows its participants to select among themselves orbe selected by their communities, then, usually, the bíases and exclusíons already exísting in the community become reflected in the research. Not surprisingly, the most disadvantaged and women are often excluded. By bringing up this íssue and asking projects to spell out and think through their methods for selecting partícipants, the PRGA Program has helped PR move away from biases found in much of the conventional research. Establishing the Gender Analysis Working Group The PRGA Program has begun communicating with representatives of the GA-wg, particu1ar1y to develop a strategy statement and to identify potential facilitators for the working group. So far, three nominations have come in and the Program is waiting for additional nominees. Note: See Appendix 1 O for a list ojthe GA-wg members 446 Africa Gender Initiative The concept paper for the Africa Gender Initiative was presented by CIAT's Rural lnnovation Institute in clase collaboration with the PRGA Program. Details of the paper are as follows: 5 .5 . 1. The problem Persistent rural poverty is rooted in the impoverishment of women. Not only are women a growing proportion of the rural poor, but also the welfare of rural children and overall household food security in poor countries is vitally affected by women's access to resources and technology for food production and income generation. The incidence of poverty among women is growing. Since the 1970s, the percentage of rural women below the poverty line has increased by 50%, whereas that of men increased by 30%. Currently, almost 60% of the world's 1000 million poor are women and, of the 333 million living in absolute poverty, 70% are women. Recognition of this problem and action to address it is nothing new: for at least two decades, several initiatives have been working steadily to document the worsening situation of rural women and to promote and disseminate technology designed to help poor rural women improve their access to technology, productive resources, and income. Today, however, new challenges are found not only in thefeminization of poverly, but also in the globalization of the world's economy, which is changing the face of small-farmer agriculture. These concerns highlight several issues: frrst, the diagnosis of technology needs and constraints faced by poor rural women has to be much more dynamic, and updated on a regular basis to keep up with the rapid rate of change in their conditions and needs. Very little is known at present about how these needs and constraints are changing. Second, the development of technologies for women needs to be closely associated with the identification and development of new opportunities and increasing labor productivity, in contrast to the approaches u sed in the 1980s and 1990s, which focused on alleviating drudgery and women's traditional agricultural responsibilities. 5 .5 .2. Key issu e s Most technologies developed and practices promoted by public agricultura! research centers do not adequately address women's needs and priorities Numerous tools exist for gender analysis and diagnosis but, seemingly, no tools or guides to help scientists and extension agents effectively feed diagnostic results into research planning and adaptation Likewise, a host of gender theories and models {e.g., intra-household) exists, but practica! applications enabling those theories to be u sed for improving women 's livelihoods are few 5 .5.3. Objectives The overall goal of the Africa Gender Initiative is to strengthen the capacity of our national R&D partners to develop innovative agricultura! technologies and income 447 generation opportunities that add ress women's special needs and constraints. This project will work in close collaboration with the PRGA Program, which is currently involved in work in Africa. The goal will be to scale up the lessons learned and experiences derived from the PRGA Program's on-going research. The Initiative's specific objectives are : To develop tools that help researchers and scientists assess information and circumstances from gender analysis, and to identify significant factors, promising next steps, and "best bet" options To provide researchers, extension agents, and development practitioners with guides and tools, and training a s to their application To develop mechanisms for applying results from gender theories and models (e.g., intra-household), and to enable the theories to be applied to improve women's livelihoods To institutionalize the use of gender considerations in NARES and in the academic training of agricultural researchers (e.g., at universities) To increase opportunities for rural women by sensitizing rural communities on gender issues and enhancing women's roles in R&D processes 5 .5.4. Ke y focal areas of research Empirical research This will involve conducting research to address key gaps and challenges, and to feed results into current initiatives: Research on developing mechanisms to apply results from gender theories and models (e.g., intra-household), and to enable the theories to be used to improve women's livelihoods lmpact assessment to compare the technical, process, and cost-benefit impact of projects that apply gender analysis with those that don't. Assessment of R&D projects to see how the integration of gender analysis influences agricultura} technology development, its appropriateness, and likely adoption by women Methods to improve th e effectiveness of impact assessment by providing tools to use impact assessment information in 1earning that 1eads to change Capacity building and tools deve lopment Capacity building of partners in using GA in research Tool development and testing, including decision-support tools, guides, and aids Application of tested tools- GA, applied theory, impact assessment Building gender awareness, and the social and human capital of communities 448 Application of theoretical concepts and models Use of GA moves from diagnosis to technology developmen t and implementation Maínstreaming and institutionalizing the use of gender considerations in NARES and in the academic training of agricultural researchers (e.g., at universities} In tegrating GA in existing projects versus developing special GA projects Integrating GA components versus mainstreaming GA Iterative feedback loops that integrate GA resu1ts into the innovation process Supporting networks that support organizational chan ge to integrate GA priorities into R&D Enhancing gender equity in R&D institu tions and links with universities and educational initiatives Section 6: Impact Assessment Overview Impact assessment (IA) work by the PRGA Program is designed to provide a body of scientifically credible evidence about the state-of-the-art in the CGIAR centers and elsewhere in the use of participatory approaches and the results obtained. This information is provided to scientists, research managers, and development practitioners who want to decide whether and how to use these approaches for agricultural and natural resource management research. To accomplish this, the Program's impact assessment research has established and maintains an inven tory of participatory projects, conducts impact studies in collaboration with various research institutes, and engages in methods development and capacity building in impact assessment of participatory approaches with partner institutions. The next section 6.2 will critically look at the Program's impact assessment research results from the first phase (1997-2002), and the lessons learned from the second phase. Section 6.3 will summarize the outputs achieved in the reporting period of April 2002-March 2003. The concluding section 6.4 will list the expected milestones for the next reporting períod. From Assessment to Learning and Change In this section, we take a critica! Iook backwards and discuss i f the Program's impact assessment strategy has been worthwhile, and what the lessons were for the Program's second phase, and their implications for impact assessment. Sorne of the methodological challenges we ha ve been facing have demanded a new and original framework. That is, the way research is designed and implemented, and how research outcomes are assessed have had to change dramatically over the past decades. Today, research must be client-driven, collaborative, and responsive to diverse objectives. These changes have significant implications for impact assessment (lA). 449 First, impact assessment practitioners must document a much broader range of project impacts, for example, impact on poverty alleviation and environmental sustainability. Second, our understanding of the number of stakeholders in impact assessment has grown dramatically and now includes center management, researchers, donors, partner institutions, beneficiaries, and civil society organizations. Different stakeholders demand different types of information in different formats. Internal rates of return and cost-benefit analyses may have been sufficient for the accountability functions of impact assessment, but they will not satisfy those who are interested in knowing how and why a project affected people's lives. Third, a growing number of stakeholders seek information, not about the impact of a project's products, but rather of its processes. lt is important that those involved in R&D projects learn from the experience and adapt their priorities and practices to continuously improve their contribution to the ongoing process of innovation. How has the Program been able to respond to this methodological challenge? The PRGA Program staff, together with its many collaborators, has developed, tested, applied, and disseminated lA framework and tools with small grant recipients and working groups. We now have published guides on how to assess the impact of methods; these are found in four working documents (nos. 6, 7, 8, and 1 7) and one book Assessing the Impact of Parl.icipatory Research and Gender Analysis (200 1) by N. Lilja and others. That these guides have been used by many of the small grant recipients is shown in their written results of project analyses. We also have over 160 cases in the Web-based project inventory, and these projects attempt to document wider ranges of impact based on these guides. The second part of the Program's impact strategy has been to conduct collaborative impact studies. We have been directly involved in 21 projects by providing funds and sorne capacity building in lA. In 10 of these cases, the Program has also contributed a significant amount of human resources to conduct the assessment. In PPB, collaborative impact studies ha ve been completed with !CARDA in Syria and W ARDA in West Africa. Currently, we are conducting or completing studies with EMBRAPA in Brazil, LI-BIRD in Nepal, CIAT in Vietnam and Thailand, and CIMMYT on methods. The "PPB small grants" recipients who received IA training were CORPOICA, EMBRAPA, FIDAR, !CARDA, INIAP, IPGRI , and PROINPA. In NRM, we have directly collaborated with CIP, ICRISAT, and World Neighbours Canada, and are now collaborating with IPRA (the participatory program at CIAT} in assessing the impact of farmer research committees (also known as CIALs}. The "NRM small grants" recipients who received IA training were CIFOR (Indonesia}, CIMMYT (Kenya}, CIP (Peru}, ICRAF-AHI, ILRI (Ethiopia), and the University of Zimbabwe. The third and last component of the Program's impact assessment strategy was to assist with capacity development, emphasizing mutual support and learning. This was implemented by the Program's IA economist, who dedicated a significant amount of time to collaborative impact studies. The economist designs and implements, and the center or institute's staff provide tools, framework, and resources. The small grant recipients are brought together in workshops to share experiences and build lA skills. For example, in Nairobi 2001, we had over 60 participants in an IA training workshop. Another effort, very recently initiated, is to work with the University of Florida to develop training materials for Web-based dissemination, potentially in collaboration with African universities. Also, an lA Web page has been established to promote the exchange of experience and evidence. Has this capacity building, with its emphasis on mutual support and learning, paid off? One example is WARDA and its 17 national program partners: over 5 years, the PRGA 450 Program provided th em with con tinuous train ing support in particípatory methods and IA. Other organizations have also contributed to the training effor t . All the collaborative training efforts have paid off and , by 2000, th e participatory variety selection (PVS) approach to u p land rice improvemen t had reached a sustainable level. The approach is now common practice among the NARS, nota novelty . WARDA's nation al partners are conducting upland, lowland, and irrigated PVS tr ials in a bout 100 sites in 17 West African coun tries, and had involved more than 40 0 0 farmer s in the evaluation of improved rice varieties. lmpact assessment results are now being used to reinforce scientific credibility of these methods, attract donor support, disseminate the use of these methods among NARS, increase management support, and provide training. Although IA in PRGA has introduced a novel focus of documenting process impact (i.e. , feedback, human and social capital), the current use of IA results still comes up against several Iimitations: Its focus on measurement Extractive nature rat her t han empowering Oriented toward donar need s only Conducted to make judgmen ts based on standard indicators Struggle for objectivity and distance between evaluators and participants Extemally oriented Lack of links with M&E Addressing the challenges of moving from assessment to learning and changing the focus in IA is the Program' s main task in IA work in its second phase. The Program will also identify ways in which IA research can be more effective in (1) demonstrating the ability of agricultural research to con tribute to development goals, and (2) facilitating the use of IA results for joint decision making by various stakeholders. Assessing the extent to which R&D organizations have been able to learn and change because of their experience is an important new area for IA in the CGIAR system overall. Scientists are now increasingly applying participatory approaches to their research to better understand their clients-poor people-and their wants and needs, and thus design technologies that fit better with the complexity of their livelihoods. A similar process needs to occur in IA. One key lesson learned in participatory research is that involving stakeholders early in research leads to better targeting, greater sense of ownership, and higher impact. Only by recognizing current incentive structures and feeding into existing (if incipient and imperfect) learning processes can IA contribute to better decision making and ever-increasing impact. Milestones Reached in 2002-2003 The Program's IA work for 2002-2003 includes four components: Conducting empirical studies in the impact and costs of participa tory plant breeding Synthesis and dissemination of impact results through presentations to various s takeholders Building and maintaining the Program 's IA Web site 451 Methodology development for improving the role of lA in contributing to institutional learning and change Impact study results for April 2002-March 2003 Over the past 4 years , in collaboration with many institutions and individuals, the PRGA Program has systematically collected scientifically credible empirical evidence of the impact and costs of participatory research in NRM and PB by conducting impact case studies. These studies analyze both the impact and costs of PRGA. Both qualitative and quantitative data are used, including existing project documentation; open-ended interviews with project staff, farmer participants, and other key informants, including community leaders and policy makers; and statistical and econometríc analyses of survey data. One case study was completed during this reporting period, with !CARDA in Syria. Another impact study, with WARDA in Cóte d'Ivoire, was completed in February 2002, and written and published in 2003 as a PRGA Program working document. Two other collaborative impact case studies were started and are still in progress: one with EMBRAPA in Brazil, and the other with Local Initiatives for Biodiversity, Research and Development (LI-BIRD) in Nepal. Below is a brief summary of each of these impact studies. 6 .3.2.1 . !CARDA (barley in Syria) Principal contact persons: Nina Lilja (agricultura! economist, PRGA Program); Aden Aw-Hassan (agricultura! economist, NRM Program); Salvatore Ceccarelli and Stefania Grando (barley breeders, Germplasm Program); William Erskine (Assistant Director General-Research, ICARDA) Decentralized participatory barley breeding begun at !CARDA in 1997 when the initial 208 barley lines were planted on farmers' fields in nine villages throughout Syria. The impact case study assessed benefits and costs of ICARDA's participatory barley breeding approach, compared with the conventional (centralized} breeding approach, both at the farmers' level, andas retums to research. The program benefits were estimated, ex ante, by the economic surplus model, comparing conventional and participatory breeding. The program's cost structure was analyzed ex post, and costs of conventional and decentralized breeding were constructed for comparison. Farmer benefits were measured, ex post, by comparing adoption benefits and changes in human capital between 86 participating and 106 non-participating farmers. We also calculated the opportunity cost of farmers' time in research. The results showed potentially significant increases to Syrian agriculture from participatory barley breeding. The discounted, research-induced benefits to Syrian agriculture from conventional bar ley breeding are US$21 . 9 The model's results also show that the benefits in reduced research lag and the 10% yield increase resulting from participatory research increase total benefits by 90% (US$42.7) . The higher adoption ceiling for participatory breeding, compared with conventional breeding, increases the benefits a further 50% (US$54.6) . These are ex ante estimates of the potential benefit of PPB. Realizing these benefits depends partly on functioning extension and seed systems because, without them, autonomous diffusion may be slow. Findings indicate that the infrastructure and personnel constitute the largest share of the breeding budget, comprising 77% when combined. The breeding approach (whether conventional, decentralized, or participatory) or breeding method used (bulk versus 452 pedigree) affects operational costs, which representa relatively small share at 23% of the total breeding budget. The relative changes in costs were then calculated for changes in budget allocations according to breeding a pproach . The shift from conventional to participatory research increased operating costs by 56% ($122,154). However, simply concluding that PPB is more costly than conventional breeding is erroneous. In reality, the share of overhead and personnel costs r emains fiXed, and operations are adjusted according to the availability of funds. Also, most breeding programs today are already decentralized, and what our results show is that the changes in costs from conventional decentralized to participatory d ecentralized breeding is very small. Further calcu lation shows that the move from conventional to participatory breeding only increases the total breeding budget by 2%. Not e : For more information about this s tudy, see: Lilja N; Aw-Hassan A. 2003. Benefits and costs of participatory barley breeding. Paper accepted as a poster presentation at the Intemational Agricultura[ Economics Association meeting, held in Durban, Rep. of South Africa, August 2003. (Also forthcoming as PRGA Working Document.) 6.3.2.2 . WARDA (rice in West Africa) Principal contact p ersons: Nina Lilja (agricultural e conomist, PRGA Program); Olaf Erenstein (production economist, WARDA) The participatory rice breeding and gender analysis approach has been used by WARDA since 1996, and subsequently adopted by its national partners. The approach can be characterized as "functionally motivated participation", that is, trying to understand better what farmers want or need, and to feedback insights to formal research for improving future on-farm productivity. The collaborative impact study with WARDA was completed in early 2002. Breeders and social scientists from 16 of the 17 national programs were interviewed du ring the annual Participatory Rice Improvement and GenderjUser Analysis Workshop (PRIGA) in Cóte d 'Ivoire in M ay 200 l. The impact of incorporating participatory research approaches at different stages of the varietal development process can be argued t o go beyond the economic benefits associated with better crop type. "Process impacts" have occurred as a result of the participation itself rather than as a result of the technologies developed via participatory research methods. Sorne of these "institutional process impacts" include internal institutional changes such as changes in breeding goals and objectives, breeding methods, and spillover effects to varietal development in other crops. They a lso include changes to externa ! relationships with other institutions such as seed production systems and varietal release mechanisms, and changes to these institutions themselves. The experience with implernenting participatory research has clearly provided feedback to breeders in the national programs, and this information has led to sorne perceived and specific internal institutional changes. Half of the national scientists say that they have changed their breeding goals, and three quarters say they have also changed their breeding rnethods and the ways in which they conduct breeding. Changes in external institutions such as seed production or varietal release systems have been less successful, probably because less attention was paid to forming partnerships with other stakeholders in seed and varietal release institutions and mechanisms, and more attention given to interactions with farmers. Only one third of the respondents said that they h ad created or improved partnership arra n gements in rice research. Involvement of other stakeholders is therefore anoth er area in which potential exists for 453 improving labor and the institutional and demographic context of gender; or it could remain an area limited to measuring gender differences in varietal preferences. Note: For more information about this study, see: Lilja N; Erenstein O. 2002. Institutional process impacts of participatory rice improvement and gender analysis in West Africa. Working Document, no. 20! PRGA Program, Cali, Colombia. 6.3.2.3. EMBRAPA (cassava in Brazil) Principal contact persons: Nadine Saad (PhD candidate in human geography); Nina Lilja (agricultura! economist, PRGA Program); Wania Fukuda (plant breeder, EMBRAPA) This impact case study builds on a previous study on participatory cassava breeding in Brazil conducted collaboratively by the PRGA Program and EMBRAPA. (Fukuda and Saad, July 2001)8, The main emphasis ofthe current study is to look at the impact of participatory research in terms of type of cassava variety developed, its adoption, and the economic benefits of adoption. We a lso loo k at the implications of participatory research for different stakeholder groups, and determine how representative the results are to various stakeholders. The Brazilian cassava project is functional in its approach, and its main objective is to bring improved cassava varieties to farmers, based on their own selection criteria. Farmer empowerment is nota specific objective for the project. Hence, we will not specifically assess the human and social capital impact in this case. The study's specific objectives are: To assess the "soundness" of the methodology (do the results benefit intended users? ls the approach more succes sful in certain types of communities?) To assess the adoption of new cassava clones selected and introduced through participatory varietal selection trials (is participatory research producing superior varleties for the intended users?) To assess the reasons for adoption (is the biggest constraint to adoption in fact the availability of "good clean seed", rather than the improved characteristics?) To assess the economic benefits from adoption and implications for "well- being" (has the adoption of new cassava clones improved the well-being of the adopters?) Data collection began in mid-2002, with interviews of 22 participating and non- participating farmers in four communities. Collection was completed in late-2002, and is now being analyzed. Publication is expected in December 2003. (The fmal analysis was delayed because one researcher began PhD studies, and another took maternity leave.) 6 .3.2.4. LI-BIRD (maize in Nepal) Fukuda and Saad. July 2001. 454 Principal contact persons: Ni na Lilja (agricultura! economist); Barun Gurung (anthropologist, PRGA Program); Anil Subedi, Sanjaya Gyawali, and Anu Adhikari (LI- BIRD) Details of this case study can be found in Section 4.4. Dissemination of impact assessment research results The year 2002-2003 provided an opportunity to reflect on some of the flndings, and the results of the PNRM and PPB impact assessments were synthesized into presentations at flve international meetings: Impact of User Participation in Natural Resource Management Research PRGA Stakeholder and Donor Meeting 22 April 2002, Bonn Impact of Participatory Plant Breeding: An Overview "Quality of Science in PPB" Meeting 30 September-4 October 2002, Rome Benefits and Costs of Decentralized Participatory Barley Breeding at !CARDA, Syria "Quality of Science in PPB" Meeting 30 September-4 October 2002, Rome Impact of Participatory Research and Gender Analysis in Plant Breeding CGIAR Annual General Meeting 2002, Manila, Philippines Scaling up and out the Impact of Farmer Participatory Research CIAT Annual Review December 2002, Cali, Colombia The presentations Usted above are available in PowerPoint format on the PRGA Program's Web site . Publications based on the PRGA Prograrn's lA research were also produced: Johnson N; Lilja N; Ashby JA. 2003. Measuring the impact of user participation in natural resource management research. Agricultura! Systems Lilja N; Aw-Hassan A. 2003. Benefits and costs of participatory barley breeding. Paper accepted as a poster presentation at the International Agricultura! Economics Association meeting, held in Durban, Rep . of South Africa, August 2003. Lilja N; Erenstein O. 2002. Institutional process impacts of participatory rice improvement research and gender analysis in West Africa. Working Document, no. 20. PRGA Program, Cali, Colombia. The impact assessment Web site 455 The Program created an impact assessment Web site, which provides access to all publication outputs of the Program's IA research: project inventaries, impact case studies, guides on IA methods, and PowerPoint formats of synthesized results presented at the various international meetings. The site also offers access to other reviewed and recommended IA research methods and empírica! results. The electronic addresses are: Impact assessment Web page: http:/ /www.prgaprogram.org/impact assessment/impact.htm Inventory Web page: http: 1 /webpc.ciat.cgiar.org:8080 / prgainventory /inventory.htm Methodology development for institutionallearning and change Program staff participated in the workshop on the Role of Impact Assessment in Institutional Leaming and Change (ILAC), organized by the CGIAR Standing Panel on Impact Assessment (SPIA) . The workshop was held during 4-6 February 2003 at IFPRI in Washington DC. One of its activities was to develop a proposal for systemwide effort in ILAC. Major Expected Milestones for March 2003-April 2004 Two impact case studies-of EMBRAPA and LI-BIRD-are completed and results published as PRGA working documents Three new impact case studies are conducted by: IPRA (CIAT); a study on CIALs in Colombia, cofinanced by IPRA and the PRGA Program CIAT-Asia; a cassava-based NRM study in Vietnam and Thailand-a funding proposal was submitted to and accepted by SPIA CIMMYT; a study on the development of participatory methods at CIMMYT, cofinanced by CIMMYT and the PRGA Program Impact assessment research results are synthesized in PowerPoint presentations and working documents and/ or journal articles. These are disseminated to stakeholders at the international meetings. The following presentations are planned: FARA meeting, 19-20 May 2003, Dakar, Senegal PRGA Stakeholders Meeting, 30 June-1 July 2003, Cali, Colombia International Agricultura! Economics Association Annual meeting, 18-22 August 2003, Durban, Rep. of South Africa A course module and materials on the IA of PRGA approaches are developed and taught as a graduate course at the University of Florida in June 2003 The Program's IA Web site offers a wide range of resources on methods for IA of participatory and gender analysis research, as well as empirical studies Workshop on IA methods is planned and organized for mid-2004 Impact assessment for learning and change is integrated into two proposals for the Challenge Program on Water and Food (one by the PRGA Program and the other by !CARDA), and the Program's Gender in Africa Initiative 456 Section 7: The PRGA Program's Community of Knowledge and Practice As we mentioned in Sectíon 1.3.2.5, to facilitate the use of participatory approaches, we used severa! strategies to build and articula te a community of knowledge and practice. We also stimulated worldwide exchange of exper tise through three listservs (PRGA-info, PBG, and PNRM) and organized a new Web site with variou s services. A network was established among PRGA liaison con tacts a n d gender focal points in all th e CGIAR centers. Three publicly accessible databases with information on projects were created (Expertise, the PPB proj ect inventory, and the PNRM project inven tory), and various training events were conducted with participants from all around the world. Listservs The PRGA Program manages three electronic listservs: PRGA-info This is a generallistserv used by the Program for information dissemination and administrative purposes. Members of the other Program listservs are automatically subscribed to this list. Currently, the listserv has 420 members. PBG Listserv The Plant Breeding Group is the main listserv of the Program's working group of the same name. It currently hosts 200 members from over 100 countries anda range of different types of institutions. This listserv has been very active in discussing and contributing to severa! key pieces of work, including the PPB guidelines document, and the intellectual property rights (IPR) study. PNRM Listserv The Participatory Research for Natural Resource Management Listserv is a forum for researchers from the CGIAR and partner organizations who are practicing and develop ing participatory approaches for NRM. It is intended to provide continuity for the PNRM Working Group when between face-to-face meetings. The PRGA Program's New Web Site Severa! weaknesses of the PRGA Program's Web site were identified in the presentation given at the stakeholder meeting in Cali (30 J une-1 July 2003). (You can download this presentation from: ) 457 The Program was thus prompted to upgrade the contents of the existing Web site, while it developed a new site with improved navigation, searchability, and interactivity. User input, from the PRGA Program's working groups, was considered when developing criteria for choosing a contents management application (Box 7 A). Box7A Criteria for choosing a contents management application A Web development application that is also a community-building tool A Web development application that is easy to use so that the Web site can be maintained by staffwho understand the contents, have sorne Web development skills, but are not necessarily IT professionals An application that offers an integrated set of tools for supporting the PRGA Program's communities of practice. We aim to avoid a "patchwork". approach where many different tools from various sources are used A desi~ process that is user, not technology, led and that can ensure accessibility and reliability for u ser s who have older browsers, low bandwidths, small monitors, and older printers Open-source applications are free. If an open-source application can provide the functionality sought, this would represent significant cost savings to the Program. Because open-source software is the product of ongoing innovation by a community of developers, and therefore belongs to the community, it is more compatible with the PRGA Program's approach than proprietary software An application that meets CIAT's security standards while offering: An expertise directory with defmable and extendable fields and user input capability Searchable databases of documents and resources with user input capability. This is necessary for our toolbox of methods and learning resources, and for our project inventaries Capacity to search the whole site Capacity to support multiple CGNET listservs and to permit archiving of listserv messages by linking with Web-based forums Capacity to queue user input for approval by a PRGA Program adrninistrator An application that has the capacity to meet future user dernands for functions such as: Asynchronous discussion Chatting Capacity to support collaborative work by small subgroups (e.g., joint writing projects, and document reviews) Capacity to support multiple-language interfaces The PRGA Program also participates in the following electronic services: id21, a development research reporting service, funded by DFID, that summarizes the latest development research Livelihoods Connect- DFID's learning platform for sustainable livelihoods approaches Microfinance Gateway, which is an information forum on microfinance Participation Resource Centre, which is an information service for participation and development Severa! IDS (University of Sussex) collaborative research sites 458 The Intemational lnstitute of Rural Reconstruction (llRR) assists the rural poor around the world to improve their lives by building on their unique assets and strengths. The IIRR achieves this through field research, training, publications, and field programs with poor communities and through partnerships with others designing the new Web si te. Based on consultations with Bellanet, PostNuke was identified, evaluated, and selected as the PRGA Program's Web development and contents management application. Note: See Appendix 11 for a graph showing Web site traffic for 2002-2003. The 10 most popular resources on the PRGA Program's Web site are: Geilfus F. 1997. 80 herramientas para el desarrollo participativo: diagnóstico, planificación, monitoreo, evaluación. PROCHALATE-IICA, San Salvador, El Salvador. 208 p. Lilja N; Ashby JA; Sperling L, eds. 2000. Proc. seminar on "Assessing the lmpact of Participatory Research and Gender Analysis", held September 1998, in Quito, Ecuador. PRGA Program, Cali, Colombia. 287 p. Sanginga P; Lilja N; Gurung B, eds. 2002. Assessing the benefits of rural women's participation in natural resource management. Proc. workshop on "Natural Resource Management (NRM) Small Grants End-of-Project", held 13-17 November 2001, in Cali, Colombia. PRGA Program, Cali, Colombia. Saad N. 2002. Farmer processes of experimentation and innovation: a review of the literature. Working Document, No. 21. PRGA Program, Cali, Colombia. PRGA Program. 2000. Proc. "Participatory Research for Natural Resource Management: Continuing to Leam Together", ajoint CG-PRGA/NRI Workshop, held 1-3 September 1999, in Chatham, England. Feldstein H. 1999. An inventory of gender-related research and training in the Consultative Group on International Agricultura} Research (CGIAR) centers, 1996- 1998. PRGA Program, Cali, Colombia. Arevalo M. 2002. History of institutionalization of participative research in CORPOICA. Presentation in PDF format. Johnson N; Lilja N; Ashby JA. 2000. Characterizing and measuring the effects of incorporating stakeholder participation in natural resource management research: analysis of research benefits and costs in three case studies. Working Document No. 17. PRGA Program, Cali, Colombia. 132 p. Ortiz O; Orrego R; Nelson R; León V. 2002. Impact evaluation of participatory development of integrated insect and disease management (IPM) for the potato crop in San Miguel, Peru. PRGA Small Grant report, Jan 1999-Dec 200 l. PRGA Program. 2000. Equity, well-being, and ecosystem health. 62 p. During 2003, the PRGA Program added two new sections to its Web site: Web Site ofthe Week, and Special Feature. The address of the latter is: 459 The following Special Feature items were developed: Facilitation: A Core Competency for Participatory Natural Resource Management Appreciative Inquiry Partnerships and the World Summit on Sustainable Development Knowledge Management and Communities of Practice Spotlight on Africa (for more details, see Appendix 12) Note: Appendix 13 has descriptions ofthose sites highlighted in "'Web Site ofthe Week". The PRGA Program's Liaison Contacts in the CGIAR Centers The PRGA Program's center liaison officers are persons appointed by the Director General of each CGIAR center (Box 7B). Their role is to disseminate information, research results, and small grant opportunities from the PRGA Program to other CGIAR scientists and research partners. Box7B The PRGA Program's liaison contacts in other CGIAR centers ~~~J!~~c¡r ::;;~ ¡ ;o~~!1:f'~fJI:~!?c::)~·~~· · ··~ -::: ,_, IFPRI Ruth Meinzen-Dick liTA Nicoline de Haan !CARDA Aden Aw-Hassan IRRI Thelma París CIMMYT Mauricio Bellón WARDA Howard Gridley IPGRI Pablo Eyzaguirre ICRAF Steve Franzel; Ann Stroud (AHI) IWMI Barbara van Koppen CIAT Matthew Blair CIFOR Cynthia McDougall CIP Osear Ortiz ICLARM Mahfuzuddin Ahmed ICRISAT Eva W eltzien ILRI Moharned Jabbar ISNAR Helen Ham bly As the Program embarks on its second phase, with particular emphasis on institutionalizing gender-sensitive PR in international and national agricultura! research systems, a more substantial role for the liaison officers is envisioned, coupled with more opportunities to participate in PRGA Program-sponsored activities and provide input to Program directions. 460 Note: See Appendix 14 for PRGA Program's terms ofreference for liaison officers. The PRGA Program's Expertise and Project Inventory Databases Expertise Expertise is a specialized directory designed to help users locate each other, especially those with part icular types of expertise in participatory research or learning approaches. The PRGA Program's Expertise Database is playing an outstanding role within the community of which it is a part. The community now numbers more than 120 members, in less than ayear. A database should have the following desirable characteristics: Permits contact with people with expertise and specific profiles Enables the user to decide about the degree of confidentiality and access to personal information by other users Contains an agreement of confidentiali ty Has language management A user of Expertise may be asked questions like the following: Do you have expertise in participatory research or learning approaches? YesfNo. If yes, please continue to question X ... What is your disciplinary background corresponding to your highest leve! of education? What is your profession or skill in applying participatory research or learning approaches? In what areas have you applied your expertise in participatory research or Iearning approaches? In which geographic regions have you applied your expertise? What languages do you speak, read, and write with fluency or proficiency? The types of organizations that would use Expertise are: University NGO National research institute CGIAR cen ter Cornmunity-based organization Prívate consulting finn Govemmental agency Industry Independent consultants Farmer or producer organization Consumer organization 7 .4.2 . Project inventaries 461 During 2001, a selected group participated in a survey by the PRGA Program to determine the impact of participatory plant breeding (PPB) and participatory natural resource management research (PNRM) projects. These results were compiled and posted as project inventaries on the PRGA Program Web site by Peggy McKee (consultant, PRGA Program) and Doryan Colunge (Web master, Information Systems, CIAT). Our goal is to provide a systematic assessment of the impact resulting from the use of participatory research (PR) and gender analysis (GA), and to make this information available to researchers, development practitioners, farmers, donors, and others interested in the field. Learning and Capacity Building Leaming and capacity building have been key elements in the PRGA Program's strategy for mainstreaming the use of participatory and gender-sensitive approaches. The Program's ICER, conducted in November 2001, reported the following on the Program's achievements in this area: "Capacity building on the design, planning, and implementation of participatory efforts have implications not only for improving the delivery and impact of research but also for wider human and social capital formation among the actors as well as in the targeted communities. The Program in this regard has made good progress. The effort of two regionally based (Asia and Africa) PRGA fellows has been instrumental". 9 Training by the PRGA Program has included awareness building, skill enhancement, and practica! field application. The Program has incorporated its findings on impact and types of participation and gender analysis into workshops offered in many parts of the world and in widely distributed training materials. Numerous training events have been held on: Participatory research methods, processes, and skills for NRM and PB Tools and methods for gender and/ or stakeholder analyses Participatory monitoring and evaluation, and impact assessment procedures Elements and skills for forming and sustaining effective partnerships for participation The Program has also built partnerships for capacity building into collaborative research projects with other systemwide programs and networks. Workshops have been instrumental in increasing the understanding of PRGA approaches, and building practica! skills for their application. Demand for capacity building has increased and is currently beyond the Program's actual capacities. Building Capacity in Social and Gender Analysi s in the Eastern Himalayan Region 9 Prain et al. 2000. 462 This activity will bring together researchers involved in biodiversity and NRM-related projects for iterative training on social and gender analysis (S/GA) concepts and methodologies. A team of trainers-cum-mentors will work with 18 participants from the Eastern Himalayan Regjon, which encompasses northern and nort heastern India, Bhutan, Bangladesh (Chittagong Hill Tracts), and eastern Nepal. A coordinating group, the Northeast Network, will help develop and implement the training program, and facilitate interaction and networking among the participants, who will thus become "emerging regional specialists on social and gender analysis in NRM". The project will take 2 years, and involve a series of training courses in concepts and practica} methods; the courses being implemented through a small grant and action plan. Results will be disseminated through various media, including papers for publication in refereed journals. 7 .6 .1. Background and rationale Severa! NRM research partners in the Eastern Himalaya n Region have requested support and training to implement social and gender analysis in the field. Expertise in S/GA is notably lacking among researchers in the region, particularly in the NRM context. The project will adapt and build on the framework first developed by an IDRC project in Vietnam on Engendering Research in which the project team worked with regional partners in the project's design and development. This iterative training program aims to address issues identified by partners as cr itica] in training and capacity building in SfGA in NRM: A needfor on-going training prograrns that support researchers over time and build on continualleaming. Social and gender analysis is not learned overnight, nor in one short training program. Participants need to continually build on their skills and practice over time, and will therefore need long-term support and input through an iterative learning process th at includes challenges and difficulties along the way. A need for training and support for the practica! application of S/ GA in the field. Many researchers have sorne conceptual understanding of social and gender issues but feel ata loss asto how to practically implement S/GA practices in the field, and in a socioculturally appropriate manner. What are the tools and methods? How are these approaches integrated with natural science approaches and methods? How does one move beyond the "analysis" to a transforming agenda that improves livelihood conditions and increase equity among disadvantaged groups? A needfor socioculturally relevant training prograrns. Asia possesses an incredible diversity of culture and language, so much so that training programs in Vietnam may not be relevant to a researcher from Bangladesh. Societal, cultural, religious , and language differences abound, and while opportunities for cross~ultural learning may exist between these groups, there are also advantages to training programs that are socioculturally relevant and in a common language. Likewise, where política! and cultural hegemony issues exist such as those between Indians residing in the Indo-Gangetic Plains and minority groups in the Northeast, a dimension of power and, sometimes, hostility is added that can hinder training. For example, evidence suggests that many gender norms and social structures are shared across Pakistan, Bangladesh, the Indian Plains, and Sri Lanka, yet cultural groups from NE India may have more in common with counter¡::arts in Southeast Asia. Efforts to build a socioculturally appropriate training program 463 can help build a favorable environment for sharing and learning, as well as be more cultural relevant in discussing social and gender issues and methods for their analysis. SIGA relevant to NRM research. As discu ssed above, most S / GA training programs are not directed at NRM researchers nor do they consider issues in the NRM context. Thus, a need exists to consider the issues and approaches most relevant to NRM research . 7.6 .2. Objec tives To build the capacity of researchers in the Eastern Himalayan Region to integra te and practically apply S/GA in biodiversity and NRM-related projects To support partners in developing approaches and methodologies suitable to the regional context of the Eastern Himalayas To develop training processes and materials appropriate to the region To assist NRM researchers interested in S/GA research to obtain peer and to network in the region Section 8: Looking Ahead support The major objectives and strategies for the PRGA Program's second phase will build on the lessons and strengths of the past. lt will also focus more specifically on mainstreaming PRGA approaches, as described in section 1.1.1.2: Capacity development in methods that ensure gender-equitable, stakeholder-client representation in research decision making; and networking within a cadre of champions who support each other and who can make a difference Continue to build compelling evidence of impact Develop action research partnerships to institutionalize PRGA approaches within a core of lARCs and NARS Communications and partnerships for disseminating information and devolving Program activities, responsibilities, and decision making to stakeholders 8 . 1. PRGA Program's Stakeholder Meeting The Program's Stakeholder Meeting was held in Cali, Colombia, from 30 June to 1 July 2003. The Meeting's principal objectives were: To provide an opportunity for the stakeholders to give inputs to the draft of the Program's 2003-2007 logical framework before it is finalized and approved by the Program's Advisory Board on 2 July 464 To provide an opportunity for each of the two working groups-PNRM-wg and PBG-to formulate work plans in light of future programmatic directions and emerging opportunities in the field To identify funding prospects and strategies for accessing funds To identify key partnerships, especially with the CGIAR's Challenge Programs The workshop was limited to 45 persons, who represented the following stakeholder groups: the Program's Advisory Board, fund ing partn ers, center liaison officers, 7 representatives elected from each working group, selected resource persons, and staff. During the Stakeholder Meeting, the PRGA Program's Coordination and the PBG representative consulted with the wider working group for inputs to the Program's draft of its 2003-2007 logframe (Appendix 1). The following procedure was used to start the consultation: Correspond by e-mail severa! days befare the Meeting, discussing the questions for consultation Send messages with the consultation question s to the PBG vía the listserv Agree on responsibilities for summarizing the responses in time for presentation at the Stakeholder Meeting Challenge Programs A proposal was submitted to the Challenge Program on Water and Food, entitled Ensuring Benefits fo r Those who Need Them Most: Building Strong Institutions for Managing Inclusive multi-Stakeholder Processes for Watershed Development The goal is "To improve the long term sustainability and equity of water management by enable the rural poor, especially women, to gain greater influence over the agendas and outputs of agricultura! and natural resource management research by mainstreaming and scaling up R&D practices that integrate the social, institutional and biophysical dimensions of natural resource management". The partners of the project would include those working in the Nile and Yellow River Basins: the China Agricu ltura! University, CIAT, CIP, Farm Africa (Ethiopia, Kenya, Tanzania), ILRI, Makerere Institute of Social Research (Uganda), and the PROA Program. The budget requested is US$900,000, and would be received from the Small Grants Program. The decision on the proposal's funding will be annou nced in October 2003. Future Events Millennium Ecosystem Assessment Mee ting A workshop promoting the book Managing Natural Resources for Sustainable Livelihoods: Uniting Science and Participation will be presented at the Millennium Ecosystem Assessment Meeting to be held in Alexandria, Egypt, in March 2004. A description of the workshop is given in Box 8A. 465 Box8A Promotional workshop for the book Managing Natural Resources for Sustainable Livelihoods: Uni ting Science and Participat ion Workshop's title A World Caféi on Uniting Indigenous and Scientific Knowledge and Epistemologies for Sustainable Livelihoods and Improved Management of Natural Resources Café Host Barry Pound, Natural Resources Institute (NRI}, UK Presenters Sieglinde Snapp, Michigan State University, USA Cynthia McDougall, Centre for Intemational Forestry Research (CIFOR) , Indonesia Diane Rocheleau, Clark University, MA, USA Ann Braun, PRGA Program Objectives and outcomes The presenters will reflect on the process of research for natural resource management when this research is part of a learning process shared by multiple stakeholders. Their presen tations draw on chapters from their forthcoming book Managing Natural Resources for Sustainable Livelihoods: Uniting Science and Participation, and will focu s on: Challenges of complexity and dynamism in natural resource management and the social construction of indigenous and scientific knowledge and world views Partnership and scale issues inherent in integrating indigenous and scientific knowledge Principies of "good practice" for participatory natural resource management research Current and future challenges in natural resou rce management research Café participants will be invited to test the ideas offered by the presenters against their wider experiences. The Café will then develop an extended analysis of the material to be presented as an input for a companion publication to the book. The World Café procedure 36 participants will be seated at 4 tables under the themes of "Complexity", "Partnership and Scale", "Good Practice", and "Challenges". Plenary presentations ln trodu ction, explanation of the workshop process, and election of a Host for each table (10 minutes) Presentations by each entertainer, followed a summary and questions facllitated by the Café Host (60 min) Café Tables, Round 1 Discussion of each theme (as represented by the tables) (40 min) Break ( 15 m in) Café Tables, Round 11 (Participants are moved around as follows: Table Host, 1 panelist , and 1 participant stay at their table, lose their table companions, and, in their place, receive 2 participants from each of the other tables) 466 Table Hos t summarizes Round 1 discussions (10 m in) Discussion of each table theme, incorporating perspectives from the other tables (40 min) Break (Table Hosts prepare presentations, others relax) (10 min) Plenary presentations Presentations by each Table Host (40 min) Questions a nd summary facilitated by Café Host ( 15 m in) "World Café" is a Web site designed to be "a living network of conversation around questions that matter". Future publication Gurung B; Menter H. Mainstreaming gender-sensitive participatory approaches: the CIAT case study. In: Pachico D, ed. Scaling up and out: achieving widespread impact through agricultura ! research. Centro Internacional de Agricultura Tropical (CIAT), Cali, Colombia. (In press.) Section 9: Publications in 2002-2003 9.1. Refereed Journal Articles Buruchara R; Sperling L; Ewell P; Kirkby R. 2002. The role of research institutions in seed-related disaster relief: Seeds of Hope experiences in Rwanda. Disasters 26(4) . Special issue. Gurung B. 2002. Addressing food scarcity in marginal mountain environments: a participatory seed management initiative with women and men in eastern Nepal. Mountain Res Dev 22(3):240-247. Longley C; Sperling L, eds. 2002. Beyond seeds and tools: effective support to farmers in emergencies . Disasters 26(4). Special issue. Sperling L. 2002. Seeds of Hope in Rwanda - what have we learned? Geneflow p 24-25. Sperling L. 2002. Emergency seed a id in Kenya: sorne case study insights on lessons learned during the 1990s. Disasters 26(4). Special issue. 9.2. Working Documents Lilja N; J ohnson N. 2002. Guide to impact assessment in participatory research and gender analysis. Working Document, No. 7 . PRGA Program, Cali, Colombia. Lilja N; Erenstein O. 2002. lnstitutional process impacts of participatory rice improvement research and gender analysis in West Africa. Working Documen t , No. 20. PRGA Program, Cali, Colombia. 467 Saad N. 2002. Farmer processes of experimentation and innovation: a review of the literature. Working Document, No. 21. PRGA Program, Cali, Colombia. Sanginga PC; Lilja N; Tumwine J. Year? Assessing the quality of participation in farmers ' research groups in the h ighlands of Kabale, Uganda. Working Document, No. 19. PRGA Program, Cali, Colombia. 9.3. Reports PRGA Program, CGIAR. 2002. PRGA Program: synthesis of Phase I (1997-2002). Prepared by Nadine Saad. PRGA Program; CIAT, Cali, Colombia. (Version with color illus. and photos published in 2003.) PRGA Program, CGIAR. 2002. PRGA Program's summary annual report, 2002. Prepared by Nadine Saad. PRGA Program; CIAT, Cali, Colombia. 9.4. Proceedings published by the PRGA Program CIAT; JIRCAS; PRGA Program. 2002. Proc. workshop on «How Participatory Research Can Complement Conventional Research Approaches", held in Tsukuba, Japan, 4- 8 March 2002. PRGA Program, CGIAR. 2002. Proc . Stakeholders Meeting, held in Bonn, Germany, 22-23 April 2002. (Hosted by the German Ministry for Economic Cooperation and Development-BMZ.) PRGA Program, CGIAR. 2003. Proc. Stakeholders Meeting, held in Cali, Colombia, 30 June-1 July 2003. 9 .5 . Books PRGA Program, CGIAR. 2002. Quantitative analysis of data from participatory methods in plant breeding. PRGA Program, Cali, Colombia. 2003. Managing natural resources for sustainable livelihoods : uniting science and participation. Earthscan; IDRC. 9 . 6. Book Chapter McDougall C; Braun A. The roles and complementarities of traditional research, participatory research and diversity analysis in natural resource management. In: Pound B; McDougall C; Snapp S; Braun A, eds. Uniting science and participation. Earthscan; IDRC (In press.) 9. 7. Monographs Famworth CR; Jiggins J. 2003. Participatory plant breeding and gender. PPB Monograph, No. 4 . PRGA Program, Cali, Colombia. 468 McGuire S; Manicad G; Sperling L. 2003. Technical and in stitutional issues in participatory plant breeding: done from a perspective of farmer plant breeding. PRGA Program, Cali, Colombia. (Also available as Working Document, No. 2 .) Thro AM; Spillane C. 2003. Biotechnology-assisted participatory plant breeding: complement or contradiction? PPB Monograph, No. 3. PRGA Program, Cali, Colombia. (Also available as Working Document, No. 3.) Weltzien E; Smith M; Meitzner L; Sperling L. 2003. Technical a nd institutional issues in participa tory p lan t b reed ing from the perspective of formal p lant breeding. (Series: A global analysis of issues, results, and current experience.) PRGA Program, Cali, Colombia. 9.8. Papers Presented at Workshops PRGA Sanginga P; Lilja N; Gurung B, eds. 2002. Assessing the benefits of rural women's participation in na tural resource man agemen t. In : Proc. workshop on "Natural Resource Management (NRM) Small Grants End-of-Project", held in Cali, Colombia, 13-17 Nov 2001 PRGA Program, CGIAR. 2002. Proc. workshop on "Natural Resource Management (NRM) Small Grants End-of-Project", held in Cali, Colombia, 13-17 Nov 200 l. PRGA Johnson N, N Lilja and JA Ashby. "Measuring the Impact of U ser Participation in Natural Resource Management Research ." CGIAR-SPIA meeting in Costa Rica, February 2002. PRGA Program, CGIAR. Lilja N. J.A.Ashby and N. Johnson. Farmer participatory research: scaling up and out the impact of participatory resea rch . CIAT Annual review, December 2002, Cali, Colombia. PRGA Program, CGIAR. N. Lilja andA. Aw-Hassan. Benefits and Costs of Participatory Barley Breeding. Paper submitted in December 2002 and accepted to the International Agricultura! Economics Association meeting in Durban, South Africa, August, 2003. References Fukuda, W.; Saad, N. 2000. Investigación participativa en mejoramiento de yuca con agricultores del nordeste de Brasil. Empresa Brasileira de Pesquisa Agropecuária (EMBRAPA)- Cen tro Nacional de Pesquisa de Mandioca e Fruticultura (CNPMF)- Consultative Group on lnternational Agricultura! Research (CGIAR)-PRGA Program , Cali, CO. (Also Working Document No. 14; available in English and Portuguese) Prain, G.; Hambly, H.; Jones, M. ; Leppan, W.; Navarro, L. 2000. Internally commissioned externa! review. PRGA Program, Cali, CO. Appendices 469 Appendix 1 PRGA Program's Logical Framework for 2003-2007 Overall goal and purpose of the PRGA Program Narrative Summary Measurable Indicators Means of Verification Important Assumptions Goal: By the end of 5 years, participating Program monitoring and CGIAR centers and partner institutions in the CG system and assessment of use of PR & GA institutions willing to Improve the competencies NARs have an increased capacity to approaches by IARCs and their commit staff and budget of the CG System and use PR&GA methods and partners, including institutional to using PR&GA, to collaborating institutions to institutionalize them in their own analyses of mainstreaming and con tribute to capacity mainstream the use of organizations process outcomes building, and to integrate gender-sensitive Use of PR and GA integrated into the Program monitoring and PR&GA into their core participatory approaches in participating CG centers and assessment of PR&GA capacity research agenda Plant Breeding, crop, and partner institutions' core research in the participating institutions Natural Resources PR and GA incorporated into Externa! review reports Management research. organizational policies and practices Reports of collaborating institutions of at least 2 IARCs and 5 NARs at the end of 5 years Project purpose: effective approaches developed and Program publications; IARC annual donar commitment to the disseminated for mainstreaming reviews, reports and Program constant over the 5 Assess and develop PR&GA methods; methods pu blications year period. methodologies to recognized and understood by Published results of Program's IARCs and other institutions mainstream PR&GA relevant senior management and impact studies collaborating with the approaches through staff; and being applied Results of Program partnerships Program able to include organizational change appropriately by at least 70% of Externa! review reports results in the institution's institutions supported by Program Reports of collaborating institutions reports and annual reviews research and capacity building at Stakeholders willing to the end of 5 years contribute actively to impact of mainstreaming PR&GA Program planning and approaches documented in multiple evaluation studies Overall Output 1: Capacity developed to encourage gender-equitable, stakeholder client Representation in research decision-making, and networking a cadre of 'champions' who support each other and who can make a 471 difference Narrative summary Specific outputs: l. Development of effective methods and capacity for using PR & GA; Impact Assessment; and organizational developmen t concepts and skills for mainstreaming these approaches Measurable indicators Field training manual for PR & GA, IA, and Organizational development developed and widely disseminated. This document should also provide a brief review of existing PR&GA, lA, and 00 methods, and draw on best practices in developing guidelines Methods workshop held for PR, GA, lA and OD, training a mínimum of 80 participants in a variety of 'best practice' approaches; and follow-up support extended to participants to enable them to continue change process in their respective institutions 2 . Assessment of effects of 1 Research results pu blished and institutionalization of PR& GA approaches through organizational change 3. Identification of opportunities and constraints for mainstreaming PR&GA through organizational change disseminated on the process of institutionalization through organizational change Institutional analysis conducted with partner institutions and 'best practices' analysed and disseminated through publications Collaborative action research undertaken, and strategic partnerships formed Means of verification Published field manual Training reports Collaborators' reports Annual report and Program's Web si te Workshop summary reports Manuals produced from workshop outcomes Annual report and Program's Web si te Collaborators' reports Program publications, possible PhD dissertation Program W e b si te Annual reports Collaborators' reports lmportant assumptions Potential partner institutions are willing and interested in collaborating with the PRGA Program Funding partners interested in supporting capacity building IARCS and partner institutions willing to commit budget and human resources for interna! capacity development Centers and NARS interested in and contributing budget and human resources to participate in workshops and to host local follow- up training Partner institutions willing and interested in participating in action research Funding partners interested in supporting small grants schemes to support action research for institutionalization Overall Output II: Evidence of the impact of participatory research (PR) methods assessed, and methods Developed to permit impact assessment (lA) results to be effectively integrated into 472 Research and development (R&D) decision making Narrative summary Measurable indicators Means of verification Jmportant assumptions i Specific outputs: l. Empirical studies on PR methods At least 5 partnership studies IA studies and methods IARCs and partner in PB and NRM assessed undertaken and published as Program's publications, briefs, institutions working documents and in presentations, journal articles, willing to professional journals, plus an books, Web site analysis of impact of different PR Annual reports, workshop collaborate in approaches under contrasting proceedings lA conditions, including biophysical, Funds available to institutional, and policy conduct environments empirical Published results and impact of studies methods disseminated to CGIAR liaison contacts (to disseminate to center scientists) , PNRM-wg and PBG, CGIAR libraries, and donor community. Twice ayear, a list of all PRGA Program publications and Web site addresses sent to CGlAR director generals for distribution Research briefs and PowerPoint presentations, prepared to succinctly highlight IA results, are widely disseminated to IARCs, NARS, and NGOs Workshops conducted to exchange results lA tools developed and training materials made available 2. Tools and methods developed and Collaborative action research Pu blished studies on IA tools and Partner disseminated to enable scientists conducted with at least 5 partners methog~ and assessments of their institutions ' ---- --- -- 473 to capture impact of products and processes, and integrate learning from IA into research planning and adaptation (learning and change) to develop, test, and assess methods for (a) improving information resulting from IA (product and process impacts), (b) identifying IA objectives and tools to achieve them, and (e) assessing the contribution afiA to organizational learning and change Studies and guidelines are widely disseminated to IARCs, NARS, and NGOs Capacity development through training, consultancies, and learning workshops effectiveness in improving the usefulness of IA and stimulating organizational learning and change Annual reports, collaborators' reports, Program's Web site interested and willing to participate in action research Funding partners interested in supporting these initiatives Overall Output III: Action research partnerships formed to institutionalize PR&GA with core group of IARCS and NARS Narrative summary Specific outputs: Opportunities and constraints identified for mainstreaming PRGA approaches into agricultura! research institutions, and strategies developed to institutionalize these approaches Measurable indicators Action research undertaken with 8 IARCs or partner institutions, and studies published 5 internal working groups formed to spearhead organizational change and mainstream PRGA in their respective institutions Mentoring and capacity building provided to partner institutions to guide and lend support to the 474 Means of verification Program's publications, journal articles Collaborators' reports and publications Annual report and Program's Web site Important assumptions Partner institutions willing and interested in engaging in action research for mainstreamin g PRGA and organizational Partnerships formed with organizations that enable the PRGA Program to have a major impact on: (a) integrating PRGA into agricultura! research practice, and (b) enhancing methods and approaches that help improve the livelihoods of the very poor, particularly rural women Capacity of IARC and NARS scientists to use "best practice" for PR, GA, and lA, and organizational development methods is considerably mainstreaming process Robust partnerships are formed with Challenge Programs, regional networks, and prominent national partners that have, or have the potential to have, considerable impact on the rural poor The nature of collaboration takes the form of either (1) exploiting synergies in objectives, (2) taking opportunities to considerably expand the integration or improve the quality of the PRGA practiced, or (3) incorporating PRGA approaches where they would otherwise be absent or weakly applied PBG and PNRM-wg are engaged in the partnership process, as reflected in their work plans Methods workshops held for PR, GA, and lA, training a minimum of 80 trainers in a variety of "best practice" approaches; and follow- up support extended to trainers 475 Collaborators' reports Annual report and Program's Web site Workshop summary reports Manuals produced from workshop outcomes Annual report and Program's Web site change Funding partners interested in supporting action research and capacity building Potential partner institutions are willing and in terested in collaborating with the PRGA Program With support from the Program, working groups are willing and interested in collaborating with different partners Funding partners interested in supporting fruitful engagement with partners Centers and NARS interested in and contributing budget and strengthened through training of to enable them to provide training Collaborators' reports human trainers and technical support to resources to scientists in their institutes participa te in Manuals produced on "best practice" workshops in PR, GA and IA, based on and to host workshop outcomes local follow-up training Overall Output IV: Partnerships and communication for devolution and disseminating information Narrative summary Measurable indicators Means of verification Important assumptions Specific outputs: PRGA Program's interactive Web site launched and attracts a large and diverse range of users who not only read , bu t al so contribute to the site's contents Awareness of PRGA research results and other pu blications is considerably heightened, particularly among agricultura! Site developed that is friendly and accessible to users in developing countries with slow modem connections Si te contains a rich set of research findings and resources that are relevant to users, and is regularly updated Systems in place to regularly publicize new PRGA research results through PRGA-info Listserv, Web, and printed copies to authors, donors, and CGIAR libraries PRGA Program's liaison contacts regularly forward publicity on PRGA to their Center scientists 476 Monthly Web site statistics: number of hits, visitar sessions, and downloads PRGA-info Listserv membership (number and profession) Monthly Web site statistics, particularly downloaded Users have the interest and time to contribute to Web site contents A qualified individual (Communications Officer) is identified to manage and update the site's contents Donors interested in providing support for the technical development of the new site and the Program's capacity for communications PRGA Program has the capacity to strengthen relationships with its liaison contacts and ensure their commitment to disseminating information on PRGA A_qualified individual 1 scientists Research results pu blished in media favored by nonacademic audiences and researchers not well acquainted with the PRGA field Enhanced support function from working groups and other partners New sources of distribution are identified Membership to PRGA-info Listserv doubles to 800 members Packaging of research results in 1-2 page brief forros , disseminated both as hard copy and electronic form Mailing list built to include IARC and NARS scientists, NGO practitioners, civil society organizations, and policy makers Assist in fund raising, particularly in areas of their expertise lncreased decision-making in Program activities related to their area of expertise Establishing objectives and activities related to their area of expertise 477 publications Requests for hard copy pu blications, including from scientists who are not members of PRGA-info Listserv Mailing list membership for bríefs (numbers and professions) Funds raised in areas of expertise of working groups (Communications Officer) is identified to promete awareness Donors are interested in supporting the Program's capacity for communications Donors interested in supporting the Program's capacity for communications and mailing costs A qualified individual (Communications Officer) is identified to prepare briefs from PRGA Program's research publications Interest and willingness of working groups and other partners to participate actively in the Program decision-making through shared responsibilities Appendix 2 Budget Allocations for 2003 PRGA Budget Allocations, 2003 12 Partners 11 10. 14 5 478 1- lrrpact Assessrrent 2- l\lainstrearring 3- -' Pro "ect Amount ~T~it~le~~--------------------------~P~e_r_s_o_n_n_e~l--------------- (US$) Impact assessment Nina Lilja, impact studies 163,000 )v1am~treauung .. ancfllisi:iti.it1oi:íal'n,~. --"'' ~"~ .Barun Gururig •. - ~· " · ·14fi:':o.oo .. , Communications and outreach Communications Officer 40 ,000 ~·n::~;;r~a.f>.~fb¡,¡l> {'ro ~~ ;:reseru;cp 1 Forages· .. Non-project staff :PNRM-wgA!'lE~·:·· '.· .:· PBG Y2 Ann Braun ·' i¡~ Rali:>l1- Rootháert b~ ' ' ·:ji j~ ' -~ ~~?}b:(~~~· !' Project Manager ~ Louise Sperling Administrative Assis tant ~driver ~·mt FaciÍitátor- .?:';,,. ,Challenge '¡}ró'granJ~i~fff.~{;. ~i1~~J,;J-;¡;·'"t.~!~&'K~,J:~~~;i;2 Stakeholder and Advisory Board meetings .........,_-. 'f!"<'n .,_, ~ ~: - 0 ' ,,..,.,. -~;Y'' "'e{'~¡J_.:','(''-- - P · j>!'l"'"':(: _-.. ,_ t""'; ) , • . ,Other,meet!ng~ (~.g;', ~GM~:J~J.A1'.,@.:1) Publications production and dissemination . ~v~??¿0ts::~·-·- · r'.~-~~~~~~::, 155,700 .,. ;;,4(fooo ' " .. 15,000 fo,ooo 55,000 ·; í9,ooo·, 29,000 illlpl:l-ct:sttidl~S; "'"'u-'<~l.r Supplies and operations -InCiú-ect':cóstS"~:~..-~~i~~~~~~'fill~~~~~'~i;tr~ll::'[~:~-,~~!J1~· 20,000 132;000 Total 9 55,842 Appendix 3 Conditions and Opportunities for t h e Award i ng of Small Grants Conditions Small Grants for projects are awarded on the basis of prior agreement to the following conditions: That: A contribution is made to methodology or organizationa l innovation in the field of participatory research (PR) and/ or gender an alysis (GA) A commitment is made to take a compara tive perspective A work p lan submitted Evidence ís províded that the project in question will work with farmer organizations or groups Collaborative research will be conducted with a t least two of the following interinstitutionallinkages: internationa l agricu ltura! research centers (IARCs), governmental organizations (GOs), nongovernmental organizations (NGOs), and farmer organizations Explicit con sideration will be given to issues of gender and stakeholder differences in the proposed project Both men and women are involved in both the research and proposed interventions 479 Any strategy for multidisciplinary team work involves social and natural science skills Plans are made to build on farmers' skills Plans are made for monitoring a nd evaluation (M&E) and impact assessment (IA) Roles of a ll partners in research and capacity building are clearly defined A clear statement is given of the resources available and the resources needed Plans are made for sustaining the Project's activities at community leve! and phasing out the Project itself Plans a re made for organizing a farmer stakeholder oversight committee that will receive regular progress reports on the Project Grant recipients will also be willing to : Work on a common research design with agreed-upon key variables to be monitored across sites Provide a n accounting of how project resources will be allocated among partners Participate in comparative analysis Implement interventions agreed upon jointly Monitor impact, using similar p rocedures and indicators and to ensure documentation. Organize a broad -based seminar or workshop a t the Small-Grant Program headquarters under the auspices of the CGIAR 'Program on Participatory Research and Gender Analysis for Technology Development and Institutional Innova tion (PRGA Program) Undergo peer review by sharing experiences a t international workshops held annually by the PRGA Program Co-publish with local pa rtners and the PRGA Program Participate in annual lA seminars or workshops organized by the PRGA Program Participate in internally or externally commissioned reviews or visits by PRGA Program staff, members ofTechnical Advisory Committee (TAC), other CGIAR entities, and donors For its part, the PRGA Program agrees to: Facilitate e-mail discussion s, where key variables will be commonly monitored across sites Exchange information and experience with a wide r research network, facilitated by a mechanism of "process exchange", whereby project teams can share ideas a nd advances every 6 months Synthesize lessons a bout what works with PRGA methodology a nd wha t does not, as derived from comparative an a lyses Convene annual regiona l or international seminars, workshops, or other training, as needed, in methods for effective PR, GA, and IA Publish research results in PRGA Program publications Contribute expertise to seminars or workshops organized a t the Small-Grant Program headqua r ters Example of a Letter of Agreement (LOA) on a Plant Breeding Small Grants Fund Date Name and address of recipient Dear ... I am pleased to inform you that a grant of US$ (amount in numbers) (amount in words) to the (recipient institution, country) has been approved by the Plant Breeding Small 480 Grants Fund of the CGIAR systemwide Program on Participatory Research and Gender Analysis for Technology Development and Institutional Innovation (hereafter PRGA Program), convened by the International Center for Tropical Agriculture (hereafter CIAT). The PRGA Program is sponsored by ACIAR (Australia); IDRC (Canada) ; and the governments of Denmark, Germany, Italy, Japan, the Netherlands, New Zealand, Norway, and Switzerland. This grant is subject to the availability of funds from our sponsors and the conditions stated below: Purpose: This grant will finance the activities of the project entitled (title of project) (hereafter the Project) as submitted to the PRGA Program. The (recipient institution}, representing this Project, and the PRGA Program are subject to the conditions and opportunities stipulated below. The Project will take place in (place). Budget : The grant is intended to cover expenditures shown in the proposal submitted to the PRGA Program and summarized in the table below (values are in USD): Supplies Services Travel Total Year 1 Year 2 Year 3 Total The PRGA Program's policy specifies that no more than 9% of the above total grant can be used to cover project administration costs. Reporting: The (recipient institution) will report to Projects Office at CIAT in Cali, Colombia, as follows: Technical research reports for the Project shall be submitted at 6-monthly intervals throughout the Project's duration, according to the technical reporting format the final report format may include changes. Due dates are as follows: Technical report First Second Third Fourth Fifth Final Due date after receipt of the signed LOA 6 months 12 months 18 months 24 months 30 months 36 months Annual financia! reports detailing the funds expended by the (recipient institution) with respect to this grant shall be submitted according to the financia! report format The financia! administrator of the (recipient institution) should certify the financia! reports. Any subsequent disbursement of funds is conditional on the timely submission and acceptance of both financia! and technical reports by the CIAT Projects Office. Due dates are as follows: Due date after receipt of the 481 Financia! report First Second Third sign ed LOA 12 months 24 months 36 months Payments: On receiving the countersigned copy of this contract, CIAT will make the first payment of US$ (amount in numbers) (amount in words). The following disbursements will be as follows: Second disbursement: US$ (amount in numbers) after acceptance of the first year technical and financia! reports Third disbursement: US$ (amount in numbers) after acceptance of the second year technical and financia! reports The aforementioned payments will be made to the following bank and bank account. Should the information below be incomplete, please retum the signed copy of contract, specifying the correct information: Name of account: Account no .: -------------------Bank n ame: Bank branch: -------------------Branch address: Swift code: Co-financing: The (recipient institution) and partner institu tions agree to con tribute US$ (amount in numbers) toward the Project, which is the amount specified in the approved version of the proposal submitted to the PRGA Program's Coordination Office. Property rights: It is understood that, in any publication or production of any material, including written material, films, and tapes that result from this Project, the (recipient institution) will recognize the financial support of the PRGA Program. All publications should include the following acknowledgement: This work was carried out in collaboration with the CGIAR systemwide Program on Participatory Research and Gender Analysis for Technology Development and Institutional Innovation, convened by CIA T, Cali, Colombia. It is also understood that the publication of the Project results will be effected jointly by all partner institutions involved in carrying out the Project, unless all parties agree otherwise in writing. The (recipient instítution) shall send one copy of any written materials and one copy of any aud iovisual materials to the PRGA Program's Coordination Office at the address given in Paragraph 7. The PRGA Program shall have the right to use, copy, and distribute them. Communications: The (recipient institution) shall forward to the CIAT Projects Office, at the address given below, a copy of this contract signed by an authorized representative of the (recipient institution). All reports shall al so be sent to the following address: Head, Projects Office, CIAT A.A. 67 13, Cali, Colombia Phone: (57-2) 445 0000 ext. 3004; fax: (57-2 ) 445 0073 E-mail: prga@cgia r.org Any inquiries in pursuit of technical or research concerns should be directed to the PRGA Program's Coordination Office at CIAT at the following address: 482 Assistant Coordinator PRGA Program, CIAT A.A. 6713, Cali, Colombia Phone: (57-2) 445 0000 ext. 3131; fax: (57-2) 445 0073 E-mail: prga@cgiar.org Return of funds: Within a reasonable time after the Project is completed, the (recipient institution) shall return to CIAT any grant funds not used for the Project. Yours sincerely, Joachim Voss Director General CIAT Agreed , in the name of the (recipient institution) Per: Title: --------------- Date: _______________ _ Appendix 4 Donor Agencies Intemational Development Research Centre (IDRC) PO Box 8500 Ottawa, Canada K1G 3H9 Fax: (1-613) 567 7749 Istituto Agronomico per l'Otremare, Italian Ministry of Foreign Affairs Via Antonio Cocchi, 4 50131 Firenze, Italy Phone: (39-055 ) 506 1328; fax: 506 1333 Ministry of Foreign Affairs DCO-OZ (Research and Developing Countries Division) PO Box 20061 2500 ED The Hague, Netherlands Ministry of Foreign Affairs and Trade (MFAT) Stafford House 40 The Terrace, Prívate Bag 18 901 Wellington, New Zealand Royal Ministry of Foreign Affa irs PO Box 8114 Dept. N-0032 Oslo, Norway 483 Swiss Agency for Development and Cooperation (SDC) Federal Ministry of Foreign Affairs Eigerstrasse 73 CH-3003 Bern, Switzerland Fax: (41-31) 324-1693 Canadian 200 Gatineau, In ternational Phone: (819) Fax: (819) 953-6088 Appendix 5 Promenade Quebec, 997-5006; PRGA Program Personnel Developmen t Ca nada toll Agency (CIDA) du Portage KlA OG4 free: 1-800-230-6349 The following lists the members of staff of CGIAR's systemwide Program on Participatory Research a nd Gender Analysis for Technology Development and Institutional Innovation (PRGA Program), based at the Internationa l Center for Agriculture (CIAT) in Cali, Colombia: Principal staff Barun Gurung, PhD in Anthropology Senior Research Fellow Program Coordinator Nina Lilja, PhD in Agricultura! Economics Senior Scientis t Impact Assessment Ralph Roothaert, PhD in Crop and Weed Ecology Senior Scientist, Forages for Smallholders Project Joint appointment between CIAT and the International Livestock Research Institute (ILRI, Addis Ababa, Ethiopia) Supporl staff Support staff positions are funded by the PRGA Program a nd are based at CIAT, Cali, Colombia. Alvaro Vélez, Program Administrative Assistant (1 00%) Claudia Gironza, Program Executive Assistant (1 00%) Freddy Escobar, Assistant (40%) Consultant Ann Braun, PhD in Ecology Facilitator, PNRM-Working Group Also, Coordinator, Development of the PRGA Program Web s ite 484 Ann Braun, PhD in Ecology (University of California) Ann supports R&D organizations in the development of creative learning processes. Her professional competencies include facilitation of learning communities, training and mentoring in participatory and user-sensitive approaches for sustainable agriculture and NRM, systematization of experiences and lessons learned, and program evaluation. She has served as facilitator for the PRGA Program's PNRM-Working Group since 2000, and coordinates the development of the PRGA Program's Web site. Ann has worked for the CGlAR system in Southeast Asia and Latín America as an agricultura! ecologist and in the development of PR methods . Appendix 6 The Workshop on the "Quality of Science in Participatory Plant Breeding" Background This workshop stems from a recommendation made by the panel of the Systemwide Review of Plant Breeding Methodologies to the CGIAR Technical Advisory Committee in October 2000. The panel suggested that participatory plant breeding (PPB) be considered as arnong the core breeding strategies within the CGIAR and that a debate and consolidation of PPB approaches take place within the CGIAR and among its key partners. Broad themes identified by the Organizing Committee as key to moving PPB jorward The workshop's Organizing Committee identified six themes by which to realize the recommendation made to CGIAR-TAC: l. How to conduct rigorous and predictive diagnoses and priority setting with farmers in PPB (at various scales) How to construct research d esign and analyze results in PPB so that researchers' needs are balanced with farmers' needs (i.e., how to carry out the research, and what it means) III. How to compare the impact of classic versus participatory PB, as well as compare the differing impact of various types of PPB IV. How to shape PPB-conducive R&D policy (what can be done, what cannot be done, institu tionaliza tion) V. Putting PPB in a more holistic and integrative context to promote increased production and systems sustainability VI. Considering future horizons as focusing on biotechnology and PPB Priority setting Joint priority setting was judged as a continuing weak point in PPB methodology, and emphasis was placed on the need to start the process in which the "goals" (e.g., higher production, production and diversity enhancement, skill building) are jointly set, and to negotiate carefully between biological and social goals. Participatory methods working at multiple scales need to be explored more systematically. Also debated was whether local methods can be scaled 485 up or if very different ones must be u sed for priority setting at larger scales. On-farm testing and evaluation In PPB, the workshop participants deemed as essen tial that tria! design be agreed upon by all partners and that it is interpretable by all partners. Trial designs take very different forms and structures according to breeding goal, agroecological system, and socioeconomic conditions. Numerous choices a re available and flexibility is wide. For evaluation at a ll stages, it is essential to use primarily farmers ' criteria for evaluation, and add other criteria in consultation with them. Initial research may be needed to determine these key criteria. Determining th e possibly differing needs of different stakeholders (ethnic groups, women, poor farmers) may be essential for success. Scaling up Impact A prime issue was raised of whether scaling up PPB should be primarily supply- driven (policy or project-led) or demand driven (stakeholder-led) . In terms of the latter, the following conditions would be favorable to demand-driven scaling up: systematic work with Farmer Research Committees, channeling part of the research funds through FRCs, or facilitating ways for PPB products to better reach the market. Many approaches are being tested or implemented for scaling up PPB, including through capacity building of NARS, setting up regional agricultura! network alliances, developing partnerships with Farmer Field Schools, and contacting farmer-led breeding clubs. In terms of having wider impact, the workshop participants stressed the critica! need to document more clearly the complementarities between conventional and participatory plant breedíng. Two of the first comprehensive analyses of the impact of PPB programs were presented: for rice and maize in India (DFID, Plant Science-led) and for barley in Syria (ICARDA). To enhance impact, the workshop participants agreed that much more work must be done, and attention should be given to developing seed systems that are compatible with speciflc PPB program strategies, and are able to maintain produ ction and dístribute widely and rapidly. Shaping development policy: IPRs Given the vagueness of international and many national laws on what might constitute "joint products" in the absence of formal contracts (breeding products, written products, as well as innovations), the workshop participants supported the development of aCode of Conduct to (a) recognize the contributions of various 486 partners, (b) promote "fair practice", and (e} ensure broad access to products and processes emerging from PPB collaboration. The workshop participants were recommended to not only improve their own practice (e.g., immediately consider joint authorship more broadly), but also to work at the Iegislatíve leve! to influence law development from discriminating against, or not recognizing, products emerging from various stakeholder collaborative efforts. PPB and diversity approaches More than 10 different methods were identified as a lready in use to link PPB and diversity concerns More systematic linking of ex situ and on-farm work was stressed, and severa! test cases were sketched. These included ideas to link up networks of plant genetic resources and PPB/crop ímprovement in (1) West Africa/Sahel, to Iook at diversity and support local seed systems for millets and sorghums; (2) Uganda, to address concerns of cassava varietal narrowing (and lack of CMV resistance); (3) western Kenya, to counteract the decline in bean production due to the prevalence of root rots; and (4) Rajastahn, India, to recreate the varietal needs the very poor farmers have of their local crops. PPB and biotechnology The few practica! examples presented focused on linking molecular markers to farmer- preferred traits, and tissue culture for more rapid micropropagation at the community level. Action plans Finally, the workshop participants outlined an explicit agenda for action on "Priority Areas in PPB". Interestingly, this agenda is very different from the one outlined by the core of this workshop 5 years ago (in the base document for the PRGA Program-see the PBG page on the PRGA Program's Web site). Moving beyond precise technical and social breeding concerns, the workshop this time expressed the need to maintain and strengthen a critica[ mass of PPB researchers to ensure scientific credibility. In this vein, three concerns for action were emphasized: Broader development oftraining materials (e.g., university courses and, equally, enhancing the skills of farmers and farming communities in breeding and seed management). Influencing policies and policy change, with work particularly directed toward seed policy and regulatory reform to ensure that PPB products actually reach the intended end users. Strategies for capturing {new) finances and building new partnerships. Substantial efforts are to be made to expand the use of Pffi across time and space per se (e.g., through a1Iiances with regional agricultura! networks and educational institutions), and particularly to expand its breadth of inquiry to include new crops, to extend beyond breeding to an inclusive seed system and marketing focus, and to embed the work in a more holistic context of farming systems, genetic diversity, and NRM. 487 The very high quality of formal presentations, the working group r ecommendations on precisely how to move the science forward, and the strategic action plans on the "crucial next steps" go beyond the analyses of technical and social aspects of PPB per se. These elements themselves attest to how fast and far the scope of PPB has been expanding in the last 5-10 years. The issues no longer focus simply on "how to" or "does it work", but also on how we can design and implement PPB to ensure that the process and its benefits can be expanded more widely for a still greater, positive effect. The full workshop proceedings is available on the PRGA Program a nd SGRP Web sites qvww.prgaprogram.org> and Organizing Committee The workshop's Organizing Committee selected the rnost cornpelling "key themes", screened abstracts, and finalized the workshop's program. Committee members were: ASHBY, Jacqueline, CIAT /PRGA Program ATLIN, Gary, IRRI CECCARELLI, Salvatore, !CARDA GON<;ALVEZ, Wania Fukuda Maria, EMBRAPA GURUNG, Barun, CIAT /PRGA Program HARRINGTON, Larry, CIMMYT JJGGINS, Janice, independent LANCON, Jacques, CIRAD ÜRTIZ, Rodomiro, liTA SPERLING, Louise, CIAT /PRGA Program STHAPIT, Bhuwon, IPGRI TOLL, Jane, IPGRI/SGRP VERNOOY, Ronnie, IDRC (advisor) WELTZIEN-RATTUNDE, Eva, ICRISAT A vital product of this workshop was the joint work that was accomplished during the meeting itself. The productive interchange was greatly enhanced by the skills of two facilitators, Ronnie Vernooy (IDRC) and Janice Jiggins (independent) , who led the workshop participants through a reflection of what might be better accomplished collectively or in subgroups, why, for whom, and how. Finally, we would like to mention Joachim Voss, Director General of CIAT, Acting Chair of the PRGA Program, and a former PPB practitioner himself. He continues to push for PPB work to take a more "holistic" perspective- notjust to fully embrace the notion of diversity, but also to unfold consciously within a more integrated NRM perspective. Similarly, Geoffrey Hawtin, former Director of General of IPGRI, maintains that crop and variety diversity remain vital, and relevant only through their active, creative, and evolving use. 8oth have promoted vigorous user perspectives in re search and for research to anticipate dynamic and holistic development needs. Appendix 7 Re sults of Consultations by Members of the Participatory Plant Breeding Working Group In August 2002, the PRGA Program's Coordination initiated a consultation process with the PBG about future directions. 488 Eastern Africa P. M Kimani 1 sent five questions to 17 scientists in seven countries in eastem, central, and southern Africa who have active PPB programs. Here is a synthesis of their comments. The questions were s ligh tly modified to reflect the regional situation and are reproduced below, together with the summarized responses from our collaborators: Question l. What are your initial reactions to the 2003-2007 log frame for the PRGA Program (attached)? Are there areas where you have questions or need further clarification? Are there particular items for which you wish to express support or raise concerns? How well does the proposed program respond to the needs of our region? Sorne felt the draft log frame was commendable and well articulated, especially outputs 1, 2, and 3. For output 4, respondents wondered why women were targeted exclusively, when our clients-the resource-poor farmers-are both male and female. Sorne were not sure what PRGA was. Many knew about PPB but could not link it with PRGA. The implication is that more needs to be done in this region to create awareness of this issue. Question 2. How do you think the PRGA working group should move forward? Do you fee l that the interests of this region have been adequately addressed? Which specific areas do you think require more attention? The general view was that NARS should be more involved in developing and irnplementing the programs. That is, a "bottoms-up" approach would be preferred, from regional to global. No suggestion was made on whether the PNRM-wg and PBG should remain apart or work more closely. Perhaps, few in this region can tell them apart. Question 3. What do you consider as the top three issues the PPB working group should focus on over the next three years? Why? What working group initiatives might best address these issues? What suggestions do you have to acquire the necessary funding to support them? For this region, three issues were raised: How should PPB be organized so that it is decentralized to stimulate innovation on a large scale? (The comment was made that existing partners and/or small-scale innovation units have to be stimulated by new partners .) How should we work on crops through PPB when these are not the major foci of NARS? Farmers have a much wider repertoire of crops than can be addressed through the formal-sector mandates. Can NARS play a key role in farmer- led efforts? How to devise seed systems that can (i) handle the diversity of PPB products, and (ii) move them widely and specifically to the poor. 489 Question 4 . What ideas and suggestions do you have about how the PBG and lis tserv should be facilitated in the future? The listserv has worked well so far. In this region, however, there is a n eed to broaden its "reach". In sorne cases, hard copies of documents have to be made for practitioners who do not have access to the Web. Quest ion S. Any other suggestions on how PPB work should be conducted in our region and how it should be linked to the global program? Severa! issues were raised by participants in a recent (May 2003) PPB training workshop in Kakamega (Kenya): Most participants felt a need for training in PPB procedures, including terminology and principies. Participants felt that they were not sure of methods for analyzing data collected from their trials. Regional training and follow up would be very helpful. The PRGA Program should stimulate the development of collaborative research projects for this region Results of prev ious consultations Didier Bazile Question l . What are your initial reactions to the 2003-2007 log frame for the PRGA Program (attached)? Are there areas where you have questions or need further clarification? Are there particular items for which you wish to express support or raise concerns? How well does the proposed program respond to the needs of our region? Methodologies and concepts should be developed to link plant breeding (PB), and crop and natural resource management (NRM). PBG members should be given access to CGIAR publications and an opportunity contribute to specific workshop proceedings with NGOs. Although the gender approach does not need to have specifications everywhere, clarifying why gender must be considered in participatory studies is essential. Question 2. Referring to the summary of the PRGA Program's Working Group Consultations held last year: (a) What do you see as being the majar implications of t he responses received for how the group should move forward? (b) Do they imply any changes for how the group is organized, managed, or functioning? If so, how? The PNRM-wg must be within the PBG to better diffuse our concepts. Question 3. 490 What do you see as being the top three issues that the PBG should focus on for the next three years? Why? What WG activities might best address these issues? What suggestions do you have for acqu iring the necessary funding to support them? More publications with CGIAR centers for an adequate diffusion of research results Follow a specific way of organizing workshops with NGOs and publish the proceedings to demonstrate linkage between research and development with PPB and PNRM. PBG members should receive opportunities to write new projects. Question 4. What ideas and suggestions you have on how the PBG a nd listserv should be facilitated in the future? The PNRM-wg must be within the PBG to better diffuse our concepts. Appendi.x 8 Book Summary Copies of the following book have been distributed to a ll members of the PNRM-wg. Book's title: Ma naging Na tura l Resources for Sustainable Livelihoods: Uniting Science and Participation Chapters: Uniting science and participation in the process of innovation: research for development Navigating complexity, diversity and dynamism: rejlections on research for natural resource management Whose research, whose agenda? Scaling up and out Transforming institutions to achieve innovation in research and development Principles for good practice in participatory research: reflecting on lessons from thefield. Participatory research, natural resource management and rural transformation: more lessons from the field Participation in context: what's past, what's present, and what's next Case study appendices: Participatory Agro-ecosystem Management - An Approach U sed by Benchmark Location Research Teams in the African Highlands Initiative Eco-regional Programme Part icipatory Action Research on Adaptive Collaborative Management of Community Forests: A Multi-country Model The Farmer-driven Landcare Movement: An Institutionallnnovation with lmplications for Extension and Research The Farmer Research Group (CIAL) as a Community-Based Natural Resource Management Organization 49 1 Long-term Natural Resource Management Research in Intensive Production Systems: ICARDA's Experience in Egypt Management of Plant Genetic Resources in agro-ecosystems: In Situ Conservation On-farm Eastern Himalayan Initiative on Gender, Ethnicity and Agrobiodiversity Management Participatory Selection and Strategic Use of Multipurpose Forages in Hillsides of Central America Focus on Integrating Methods and Approaches to Increase Gender/Stakeholder Involvement, Collaborative Management of Natural Resource Management, and Decision-making Support Farmer Participatory Experiments in Pest Management Farmers' Ability to Manage a Devastating Plant Disease - Potato Late Blight Developing and Implementing an Innovative Community Approach to the Control of Bacterial Wilt (Pseudomonas solanacearum) of Potatoes (Solanum tuberosum) Participatory Management of Kapuwai's Wetland (Pallisa District, Uganda): A Clear Need and Some Steps Towards Fulfilling It Participatory Research at the Landscape Level: The Kumbhan Water Trough Case Participatory research at landscape level: flood-prone ecosystems in Bangladesh and Vietnam Water Management, Agricultural Development and Poverty Eradication in the Former Homelands of South Africa Innovation in Irrigation - Working in a "Participation Complex" Methods Used to Address Resource Issues in Integrated Watershed Management in Nepalese Watersheds A Comparison of Farmer Participatory Research Methods Soil and Water Conservation - Historical and Geographical Perspectives on Participation Improving Farmers' Risk Management Strategies for Resource-poor and Drought- prone Farming Systems in Southern Africa Participatory Mapping, Analysis and Monitoring of the Natural Resource Base in Small Watersheds: Insights from Nicaragua Observations on the Use of Information Tools in Participatory Contexts: Access to Information and Empowerment Authors and editors (*): ASHBY, Jacquelin e BRAUN, Ann* HEONG, K. L. MARTIN, Adrienne McDOUGALL, Cynthia* POUND, Barry* Appendix 9 ROCHELEAU, Diane SNAPP, Sieglinde* STROUD, Ann SUTHERLAND, Alistair VERNOOY, Ronnie VINCENT, Linden Forum for Agricultura! Research in Africa (FARA): Workshop Evaluation and Closure The workshop was closed with two speeches: one from Joseph Mukiibi and the other from Francis Idachaba. 492 The table groups were also given the task to evaluate the workshop in their groups, with each table responding to 5 questions, listed below, with one or more statements: Question 1: If back at home someone asks m e to explain in 1 senten ce what t his program is all about, I would say ... Use of INRM in partnership to do things differently lntegration CP is about R&D in INRM in SSA Food security and alleviation of poverty in Africa Question 2: In m y opinion, the biggest threat to this SSA-CP is ... In effective management of partners because of the size of the program Self interest of groups may derail the CP Complexity of the CP Lack of ownership Change on how R&D is done in Africa High transaction cost Politics, size, complexity Lost in complexity Question 3: In m y opinion, the biggest opportunity is .. . Smart partnership Offers to lift people out of poverty in conceived Bring multiple stakeholders Good policy and funding Ownership by those involved Renewed interest in SSA by donar community New way of doing things Donors are receptive to Africa-owned projects Question 4: What I liked about this workshop is . . . Good facilitation process Active brain storming Networking at continental leve! Discussion Active participation and interaction Table discussions Enough fun Organization of the workshop Positive a ttitude of participants Question 5: What I d id not like about this works hop is . .. Project planning too much research driven Not enough farmer participation Pre-empted focus In not careful, we can derail the whole project 493 Many h idden agendas Sorne break-out groups were too large Poor representation of stakeholders Appendix 10 Member List of the Gender Analysis Working Group N ame DI GREGORIO, Monica FORERO, Claudia GURUNG, Cha nda LAWRENCE, Wendy PARIS, Thelma SANTOS, Rowena Bing SNAPP, Sieglinde STROUD, Ann VAN KOPPEN, Barbara Appendi.x 1 1 Institution IFPRI ISNAR CIMMYT CID A IRRI JCLARM Mich. State Un iv. ICRAF IWMI Tra ffi c on the PRGA Program's Web Site Figure e lements Visits per month Yea r 200 2 -2 00 3 í .. - 9000 1 8000 r- 7000 - .e 6000 ..... e - o 5000 E - 4000 ~ "' 3000 - > 2000 1000 o ·n r:- ~- ¡-;- li r -- r r- r- lo! - -- ~~~ r- 1~· ,_. r-- ~ u· .-: k ~~w - 1 ~ 1- 1• ·, 494 F."'"" ., E -mail address m.d igregorio@cgiar.org c.forero@cgiar .org chanda_guru ng@yahoo.com wendy_lawrence@acd i-cida. gc .ca t. pari s@cgiar .org b.sa n tos@cgiar.org snap ¡:@msu .edu A. Strou d@cgiar.org b . vankoppen@cgia r .org ~'"':" ..,.... '.{' 1""' - -- ), i'- ~ r- _ ::. --- -:- r- r- _:, - - ,;, 1; ~.· ¡, _ 1 ~. _¡r - ~· IJ: - ¡ - , - 1- 1 .. ·• 1: 1· - ··. 1: - 1 ~:· · ~: ~ ·' .' 1\; Ir, - - - - ,-~ - 1,· 1:' 1~ J•; 1• r• ~· - •' - - - - ' , 1· l. \)'),. :.4' ~o Date o~ f - .: .. - - .. - Appendix 12 Spotlight on Africa Africa's v ision of agriculture in 2020 Agriculture is the engine for improved rural livelihoods and economic development in sub-Saharan Africa (SSA}. Recognizing this, African politicalleaders have positioned agriculture at the center of their new vision for the continent's future. In full support of this vision , the SSA agricultura! R&D community has called for regional agricultura! production to grow atan annual rate of 6% through 2020. The African vision for agricultura! R&D envisages that by 2020, the region should: Have dynamic agricultura! markets among nations and between regions Be a net exporter of agricultura! products Have food availability and affordability, with equitable distribution of wealth Be a strategic player in agricultura! science and technology development Have a culture of sustainable u se of the natural resource base. The targeted leve! of agricultura! growth cannot be achieved without a focused and market-driven system of technology development and transfer, an enabling policy environment, and effective institutions. The following initiatives are part of this new vision for su b-Saharan Africa. The New Partnership for Africa's Development (NEPAD) NEPAD is a pledge by African leaders, based on a common vision. It expresses a firm and shared conviction that they have a pressing duty to eradicate poverty and to place their countries, both individually and collectively, on a path of sustainable growth and development while participating actively in the world economy and body politic. The program is anchored on the Africans' determination to extricate themselves and the continent from the malaise of underdevelopment and exclusion in a globalizing world . Subregional organizations The agricultura! R&D community of sub-Saharan Africa recognizes that effective and broadened partnerships, with the NARS playing a central role, are essential. African countries have made considerable efforts over the past decades to d evelop a salid baseline in research infrastructure. To harness these resources, the NARS have taken the initiative toward reforming themselves for greater accountability, fiscal stability, and impact. They have also strengthened regional collaboration through the formation and development of three subregional organizations (SROs}. The Associationfor Strengthening Agricultural Research in Eastern and Central Africa (ASARECA) is a non-political organization of the national agricultura! research institutes (NARis) of 1 O countries: Burundi, D. R. Congo, Eritrea, Ethiopia, Kenya, Madagascar, Rwanda, Sudan, Tanzania, and Uganda. It a ims at increasing the efficiency of agricultura! research in the region to facilita te economic growth, food security, and export competitiveness through productive and sustainable agriculture. Le Conseil Ouest et Centre Africain pour la Recherche et le Développement Agricoles (CORAF) was created in 1987 by the national agricultura! research systems 495 (NARS) ofWest and Central Africa, Madagascar, and the French ARis (CIRAD, IRD, and INRA). CORAF's objective is to reinforce regional scientific cooperation of its member countries without substituting for national agricultura! research capabilities. The following countries constitute its membership: Benin, Burkina Faso, Burundi, Cameroon, Cape Verde, Central African Republic, Chad, D. R. Congo, Rep. of Congo, Cóte d1voire, Gabon, Gambia, Ghana, Guinea, Guinea-Bissau, Madagascar, Mali, Mauritania, Niger, Rwanda, Senegal, Sierra Leone, and Togo. The Southern African Centre for Co-operation in Agricultural and Natural Resources Research and Training (SACCAR). Established in 1984, SACCAR has the objective of strengthening the NARS in member countries so they may generate, disseminate, and promote new technology through inter-country liaison and regional collaborative projects. Other objectives relate to promoting the dissemination of scientific information, and to promote, through training, human resources development, thus strengthening the capacity of research and training institutions. Member countries are Angola, Botswana, Lesotho, Malawi, Mauritius, Mozambique, Namibia, South Africa, Swaziland, Tanzania, Zambia, and Zimbabwe. The Forumfor Agricultural Research in Africa (FARA), an apex body recently created by the SROs, is spearheading the development of a pre-proposal for a CGIAR Challenge Program on Improving Livelihoods and Natural Resource Management in sub- Saharan Africa This Challenge Program will be concerned with the way people use natural resources to support livelihoods and will address the most fundamental constraint to African agriculture-poor soil fertility-by applying a new paradigm for integrated natural resource management (INRM), and by applying it with all partners committed to jointly identifying and resolving problems with the full participation of the beneficiaries. lt will employ a new mode of competitive funding that will enable the formation of new partnerships of NARES, the CGIAR centers, ARis, NGOs, farmer organizations, and prívate enterprise, to address problems by m eans of targeted and time-bound research projects with clear objectives and deliverables. The CGIAR and Africa's new vision for agricultura! research and development Multi-country Agricultural Productivity Programfor Africa {MAPP). A pillar of the NEPAD framework is the systematic application of agricultura! science and technology to enhance African agricultura! productivity and competitiveness. A comprehensive program to achieve this goal was developed by FARA and endorsed by NEPAD. To contribute toward implementing the FARA program, the World Bank has formulated a Multi-Country Agricultura! Productivity Program (MAPP) for Africa. This proposal has important implications for CGIAR, which is seen as contributing further to the enhancement of technology generation and transfer in Africa. African Highland Initiative (AHI). AHI's research focuses on key NRM and agricultura! productivity issues in the intensively cultivated highlands of eastern and central Africa. Concerned NARis, IARCs, and various NGOs are collaborating to improve R&D approaches and set up partnerships to develop and institutionalize effective and efficient approaches for sustainable INRM and enhanced productivity. The AHI was started by ASARECA in 1995 and is now hosted by ICRAF. The Initiative is promoting integrated, interinstitutional, R&D efforts with strong community participation to salve critica! issues of soil productivity, water, and land use. AHI's mandate and role in the ASARECA portfolio is to develop, promote, and use an INRM approach for improving development strategies, practices, and policies. 496 The CGIAR Syste mwide Initiative on Malaria and Agriculture (SIMA) brings together malaria research, agricultura! research, and targeted communities to find solutions to the malaria problem. Five specific outputs have been formulated for SIMA. These are providing a knowledge base, building capacity, developing interventions, increasing awareness, and building an international malaria network. Funding is now available for SIMA projects that are based on ecosystem approaches to human health. These funds were made available by IDRC and IWMI to support research, capacity bu ilding, and knowledge sharing, using ecosystem approaches, to reduce malaria and improve health and well-being in countries of eastern and southern Africa. The Africa 2020 Vision Network seeks to reduce poverty and improve food security in East Africa by generating policy-relevant information through collaborative research activities, improving th e dissemination and use of such information, and strengthening local capacity to undertake and communicate policy research. The Network encompasses Ethiopia, Kenya, Malawi, Mozambique, Tanzania, and Uganda. The Desert Margin Program (DMP). The Program aims to arrest land degradation in Africa's deser t margins by demonstration and capacity-building activities. Funds received from the Global Environment Facility (GEF) will help DMP address issues of global and national environmental and economic importance, such as loss of biological diversity, reduced carbon sequestration, and increased soil erosion and sedimentation. Key sites car rying globally significant ecosystems and threatened biodiversity have been selected in each of the n ine member countries to serve as field laboratories for demonstration activities related to monitoring and evaluating biodiversity status, testing the most promising natural resources options, developin g sustainable a lternative livelihoods and policy guidelines, and replicating successful models. The DMP will significantly contribute to reducing land degradation in marginal areas and conserving biodiversity. Guidelines and recommendations domains, and supportive national policies that address biodiversity concerns will be implemented in the member countries. DMP's executing agencies a re ICRISAT and the NARS of Botswana, Burkina Faso, Kenya, Mali, Namibia, Niger, Senegal, Rep. of South Africa, and Zimbabwe. Appendix 13 "The Web Site of the Week" Many of the following Web sites were recommended by members of the PNRM-wg. Listed in alphabetical order, they are as follows: The Association for Strengthening Agricultura! Research in Easte rn and Central Africa (ASARECA) A non-political organization of the NARis of 1 O countries: Burundi, D. R. Congo, Eritrea, Ethiopia, Kenya, Madagascar, Rwanda, Sudan, Tanzania, and Uganda. It aims to increase the efficiency of agricultura! research in the region to facilitate economic growth, food security, and export competitiveness through productive and sustainable agriculture. 497 The Caribbean Natural Resources lnstitute (CANARI) Promoting participatory NRM in the Caribbean, CANARI seeks to create avenues for the equitable participation and effective collaboration of Caribbean communities and institutions in managing the use of natural resources critica! to development . Choike A portal (English and Spanish) dedicated to improving the visibility of work done by NGOs from the South. It serves as a platform where NGOs can disseminate their work and, at the same time, enrich it with information from diverse sources, organized in line with the perspective of South's civil society. Community Based Natural Resource Management in Southern Africa (CBNRM) The Centre for Applied Social Sciences (CASS) at the University of Zimbabwe and the Programme for Land and Agrarian Studies (PLAAS) at the School of Government, University of the Westem Cape have launched a 3-year program of analysis and communication to build their existing, mostly national, activities into an integrated regional commitment to community based NRM, the indigenous framework for rural production in southem Africa. The Earth Negotiations Bulletin A balanced, timely, and independent reporting service that provides daily information in print and electronic formats from multilateral negotiations on environment and development. Published by the In temational Institute for Sustainable Development (liSO), the Bulletin is a one-page, two-sided "desktop" publication that is distributed daily to participants of UN negotiations related to environment and development. The Bulletin is also available in electronic format on IISD's "Linkages" Web site on the Internet and by electronic mail. At the conclusion of each meeting, the Bulletin's team writes and edits a 10,000-18,000-word summary and analysis of the meeting. In electronic format, it can reach a wide range of people interested in environment and development negotiations. It also acts as an important source of information on updates of the Convention on Biological Diversity. European Forum on Rural Development Cooperation Tackles policies and approaches for reducing rural poverty. The meeting on "What works in practice?", held in Agropolis, Montpellier, France, 4 -6 September 2002, was an event for policymakers and practitioners from the European Development Cooperation Agencies who work to reduce poverty in developing countries. FAO Participation Web Site A place for studying and discussing participation in development. The site is offered by the Informal Working Group on Participatory Approaches and Methods to Support Sustainable Livelihoods & Food Security (IWG-PA) of the Food and Agriculture Organization of the United Nations (FAO). Forumfor Qualitative Social Research (FQS) A peer-reviewed, multilingual, online journal for qualitative research. Established in 1999, the journal is currently broadening information and communication resources for qualitative researchers. 498 Fusion of Horizons An electronic exhibition by Mohan Dhamoth aran and Thomas Becker of the University of Hohenheim. They offer a downloadable collection of posters about communication skills for participatory research. Gender and Water Alliance A network of 133 organizations and individuals from around the world. Jt has an independent steering committee, and is an associated program of the Global Water Partnership (GWP), funded by the governments of the Netherlands and UK. Because of the pooled experience and skills contained in this network, the GWP offers a mix of information and knowledge sharing activities such as electronic conferencing, a Web site, advocacy leaflets and video, annual reports, capacity building, and pilot programs. Global Forum on Agricultura! Research (GFAR) A multi-stakeholder initiative that contributes to eradicating poverty, achieving food security, and conserving and managing natural resources. It enhances national capacities to genera te, adapt, and transfer knowledge (recommended by He len Hambly, NRM Document Repository, GFAR). id 2 1 Insights Issue 34 is a specia l issue on social capital. Articles include: It's not what you know- it's who you know! Economic analysis of social capital Friends in high p laces? An overview of social capital Pathways of influence - social capital and household welfare in South Africa Preferential credit? Ethnic and indigenous firms vie for equal access Choosing better technology: does social capital help? Networking for success and survival in Ghana: does size matter? Unequal access to social capital? Evidence from Tanzania Sites for Sore Eyes: Online Sources on Social Capital infed.org Established in 1995 , this home page of "Informal Education" provides a space for people to explore the theory and p ractice of informal education and to develop ways of working and being that foster association, conversation, and relationship. The site features an encyclopedia of informal education with over 300 articles that explore key ideas, thinkers, and practices within informal education and lifelong learning. Institute of Development Studies (IDS) Info S ervices A portal to: BLDS: online catalog of Europe's largest library on international development BRIDGE: information and analysis service on d evelopment and gender ELDIS: the gateway to development information GDN: the Global Development Network links local d evelopment resea rch and policy development organiza tions Keys heets for Sustainable Livelihoods 499 Keysheets provides decision makers with a short, easy, and up-to-date reference on issues relating to sustainable livelihoods and infrastructure development for the poor. The Overseas Development Institute (ODI) produces Keysheets for DFID and the Netherlands Ministry of Foreign Affairs. Landcare Research/Manaaki Whenua New Zealand Also known as "Collaborative Learning for Environmental Management", this Web site records social research on improving the quality of environmental management decision making. LIFE: Local Livestock For Empowerment of Rural People This movement supports rural communities through the conservation and development of their indigenous livestock breeds and species. Makerere Institute of Social Research (MISR) Previously known a s the East African Institute of Social Research, MISR was established in 1948 and mandated to carry out a n thropological and other forms of social research. MISR is now an autonomous institute of Makerere University. It conducts and coordinates basic and applied research; provides consultancy services to prívate, public, a nd NGO sectors; undertakes global networking with related institutions; develops and maintains a regional data bank and disseminates information. Over the years, MISR has built a reputation for attracting local and international scholars, a nd for its interdisciplinary work, both conducted and published under its auspices. Mekonglnfo An interactive system for sharing information and knowledge about participatory NRM in the Lower Mekong Basin. The services offered include a library holding over 2600 documents, both full texts and ab stracts; a "contacts" database of individua ls, projects, and organizations; n ews and announcements of events; relevant Web links; a gallery of useful resource materials; a forum for online discussions; and a free Web hosting service. National Strategies for Sustainable Development Provides tools to assist in promoting dialogue on national s t rategies for sustainable development and providing necessary background information and reference material to support these dialogues. Its overall objectives are to: Improve international understanding of the key challenges and modalities for developing and implementing effective national strategies for sustainable development (NSSDs) Elaborate "best practices" for donors assisting developing countries with the formulation and implementation of NSSDs Inform of bilatera l donor responses to developing country requests for support in NSSD processes Participatory Avenues Aims to share significant progress in visualizing people's spatial knowledge (cogniti\e maps) and in providing communities additional stakes in tailoring and awning 500 conservaban and development initiatives. Participatory 3-Dimensional Modeling is promoted as the "best practice". Partnership in Statistics for Development in the 21st Century (PARIS21) A new international process set up by a global consortium of policy makers, statisticians, and users of statistical information in support of development. PARIS21 aims to build statistical capacity as the foundation for effective development policies by helping to develop well-managed statistical systems that are appropriately resourced. In the longer term, PARIS21 aims to help promote a culture of evidence-based policy making and monitoring in a ll countries, but especially in poor developing countries. People , Land and Water: an Initiative for Managing Natural Resources in Africa and the Middle East The mission of the People, Land and Water (PLaW) Program Initiative is to con tribute toward improving the quality of life of people living in stressed ecoregions of Africa and the Middle East (AME) through activities that improve access to, and encourage proper use, of land and water resources, and, hence, ensure food and water security. Visit the Web site to learn about the specific objectives and projects of PLaW. Population-Environment Research Network (PERN) Seeks to advance academic research on population and the environment by promoting online scientific exchange among researchers from social and natural science disciplines worldwide. The Network's main activities include: A resource database of gray literature, publications, projects, conferences, datasets, software, course syllabi, and other resources for research on population- environment dynamics Regular cyber-seminars to discuss articles, methods, and issues in population and environment research A biweekly What's New?, a newsletter that announces events, opportunities, jobs, publications, and new titles added to the resource database Power Tools Series Used for working on policies and institutions, and to help provide practica! help for those working to improve the polic ies and institutions that affect the lives of poor people. The series is being developed by the International Institute for Environment and Development (IIED) from experience in working on policies and institutions in various fields of environment and development. Promoting Local lnnovation (PROLINNOVA) NGOs in Africa, Asia, Latín America, and Europe conceived PROLINNOVA as a global program for learning through action and analysis. The focus is on ways to promote local people's innovation in ecologically oriented agriculture and NRM. Activities include: Documenting local innovations and innovative processes by resource-poor farmers and communities Strengthening farmer-advisor-scientist partnerships to further develop and scale up promising local innovations Creating wider awareness of and skills in PROLINNOVA processes through a variety of learning mechanisms 501 Integrating PROLINNOVA approaches into mainstream institutions of agricultura! research, development, and education The Royal Tropical Institute (KIT) Specials The Web site of this Netherlands institution has a section entitled "Specials", with each Special dealing with a different issue. The Special for Gender & Natural Resources Managementwas published in conjunction with the book Natural Resources Management and Gender, the sixth of the series on Gender, Society & Development. The Special covers: Guest contributions, which are case studies by development practitioners and experts Bibliography, containing selected, recent references of full-text publications found in print in the KIT Library and online on the Internet Tools & methods: documents on practica} instruments, manuals, and guides for working with GA and NRM Link.s to relevant organizations and Web sites News & events, covering news items and announcements of conferences, courses, and other events Smallholder Irrigation Market Initiative (SIMI) The many efforts to disseminate promising irrigation technologies have been limited, not so much by technology and its use, but by the need for complementary interventions from a range of players with different competencies, and for competence and experience in facilitating market creation and development of supply chains. Development initiatives aiming to enable their partners and clients to make use of the potentials of low-cost, smallholder, irrigation technologies may not have all the skills, know-how, and resources to engage in such long-term processes. Thus, they need to link up with people and organizations who do have the relevant know-how and experience so they may take up complementary roles in the development of supply chains. SIMI was set up in response to these challenges. The Initiative's objectives are to foster the spread of: Smallholder irrigation technologies to the many people to whom they offer an opportunity of a better livelihood Technologies that allow a more efficient use of irrigation water Soil Biodiversity Portal This Web site offers general concepts on the meaning and significance of soil biodiversity, stressing the need for integrated biological soil management. It provides a framework for assessing, managing, and conserving soil biodiversity, giving examples of successful and unsuccessful practices from various regions of the world. Areas for further work, research, capacity building, and policy and program development are indicated. Soil Productivity Improvement through Farmer Field Schools (SPI-FFS) This Web s ite provides information on FAO's pilot program of the same name. Specifically, the site aims to promote the exchange of information and experiences on the development and implementation of FFS to enhance and sustain soil productivity. It targets those involved in developing participatory or FFS land management and conservation programs, resource persons, senior extension officers, and agricultura! development specialists. The Web site covers the SPI-FFS Program's: 502 Objectives, including concepts and approaches Training activities, which focus mainly on developing materials and curriculums, and capacity building Activities for developing national and regional support programs, projects, and other focal poínts of research in eastern and southern Africa Dissemination of document s, including background information, guidelines, and training materials that can be downloaded Sustainable Development Issues Network for 2002 A co1laborative effort among civil society networks and nongovernmental issue caucuses that aim to improve communications and access to information on sustainable development issues. In particular, the initiative aims to improve communications among NGOs engaging in the World Summit on Sustainable Development. Sustainable Rural Development Information System (SRDIS) A specialized online library of Internet-based resources. The objective is to identify and organize those information resources most useful to resolving rural issues of global, national, and local importance. Relevant Internet sites, case studies, databases, maps, newsletters, and reports are cataloged for precision search and retr ieval. Current SRDIS foci include decentralization, loca l development, and NRM. Topical areas to be developed over t ime include NRM, institutions, empowerment and governance, food security, and information access and communications. Technical Centre for Agricultura! and Rural Cooperation Better known by its Dutch acronym, the CTA advances agricultura! and rural development in African, Caribbean, and Pacific (ACP) countries by promoting th e transfer, exchange, and use of information. CTA's tasks are to develop and provide services that improve access to information for agricultura} and rural development and to strengthen the capacity of ACP coun tries to produ ce, acquire, exchange, and use information in these areas (recommended by Helen Hambly, NRM Document Repository, GFAR). UK Agricultura! Biodiversity Coalition (UKabc) An activity of the UK Food Group to bring together public-interest UK organizations concerned with the equ itable u se of agricultura! biodiversity for local food and livelihood security. Issues of interest include sustainable use , conservation, benefit sharing, trade, patents, intellectual property, biopiracy, biotechnology, gen etic engineering, and biosafety. Users' Perspectives With Agricultura! Research and Development (UPWARD) This network of scientists and development specialists works to increase participation by farmers and other users of agricultura! technology in research and development (R&D). Launched in 1989, under the sponsorship of the lnternational Potato Center (CIP), UPWARD seeks to address three important challenges facing agricultura! R&D today: linking users and R&D professionals for more effective agricultura! innovation; bringing sustained benefits to less-favored farming areas and marginalized groups, especially women; and working with househ olds and local communities as key actors in problem diagnosis and research activities. 503 What Works in Youth Participation Case Studies from Around the World is the most recent publication to be released as part of the "What Works in Youth Development" series published by the International Youth Foundation. The document examines the challenges and benefits of engaging young people in meaningful ways in society. Appendix 14 Terms of Reference for the PRGA Program's Liaison Contacts Mínimum terms The mínimum terms of reference for the PRGA Program's liaison contacts in the CGIAR centers a re: Disseminate information on PRGA to socia l scientists in the CGlAR center and partner NARS Forward e-mails from the PRGA Program in a ta rgeted fashion lnform people, particularly NARS partner s and center colleagues, of the existence of the PRGA Program's listserv and Web site, and that they may join the listserv Issue the s imple projec t inventory form. The liaison officer's role is to request project Jead ers to provide information on their projects. Su ch a request may need support from the center's Management . Indicate the added value Ensure the selection and participation of appropria te people from the center in PRGA Program events. Participate as the center's liaison representative to the PRGA Program's Advisory Board Conduct e-mail exchange with other center liaison representatives on the Advisory Board and attend the annual face-to-face and other meetings. Optional terms Optional terms of reference for the center lia ison contact s are: Form an intemal interest group for information exchange or informal face-to-face meetings Organize an interna! working group to promote and critically assess PRGA in the center (PRGA Program should assist) Where formal groups acting as ch ange agents do not operate in the center, then other methods may be more appropriate Organize capacity-building m atching funds from the PRGA Program (which must be matched by funds from the cen ter's core budget) and involve other centers as partners Facilitate joint publications with PRGA Program staff Conduct mentoring and additional activities Balance liaison responsibilities with commitment s and accountability activities from the PRGA Program Funding (PRGA Program's contributions) Choose the center's point person or appointee for liaising for funds from the PRGA Program 504 Follow up the nominations with interviews to receive their comments on the selection process A need exists to build up those stipulations in the terms of reference (TORs) referring to the PRGA Program's responsibilities (i.e., develop joint TORs) Liaison officers {and also extension workers) to have broader participation in contributing to working documents, reviewed publications, and organizing special journal issues. Such activities should be viewed as opportunities for peer review. The PRGA Program should work with liaison officers to form groups of ch ange agents to institutionalize PRGA and, if need be, to influence th e center's Management. The PRGA Program should be accountable for information on what funds are available and the criteria for their allocation. Goals of PGM and TORs of lia ison contacts should go to the centers' directors general first, not only for them to consider the selection of the liaison officers, but a lso to ensure that (1} the TORs are integrated into the officers' own TORs, and (2) resources are available. Competitive capacity-building fund, low transaction costs (short concept note). Appendix 15 Acronyms and Abbreviations Organizations A CIAR AFOCO AHI AREA ASARE CA BMZ CANARI CARE CASS CAZS CBN CBNRM Net CGIAR CIAT CIAL CIDA CIFOR CIMMYT CIP CIRAD CORAF Australian Centre for International Agricultura! Research Apoyo a la Forestaría Comunitaria, Honduras African Highland Initiative (ofiCRAF) Agricultura! Research and Extension Authority, Yemen Association for Strengthening Agricultura! Research in Eastern and Central Africa Bundesministerium für Wirtschafliche Zusammenarbeit (Federal Ministry of Economic Co-operation and Developmen4, Germany Caribbean Natural Resources Institute, Trinidad Cooperative for Assistance and Relief Everywhere, Inc., GA, USA Centre for Applied Social Sciences (of the University of Zimbabwe) Centre for Arid Zone Studies, Wales, UK Cassava Biotechnology Network Community-Based Natural Resource Management Network Consultative Group on International Agricultura! Research Centro Internacional de Agricultura Tropical, based in Colombia Comité de Investigación Agrícola Local [ Committee for Local Agricultura[ Research] Canadian International Development Agency Centre for International Forestry Research, based in Indonesia Centro Internacional para Mejoramiento de Maíz y Trigo, based in Mexico Centro Internacional de la Papa, based in Peru Centre de coopération internationale en recherche agronomique pour le développement, France Conseil Ouest et Centre Africain pour la Recherche et le Développement Agricoles (also WECARD) 505 FQS CORPOICA Corporación PBA CTA DED DFID DGIS DMP EAP-Zamorano EMBRAPA FAO FARA FIDAR FPR-IPM Corporación Colombiana de Investigación Agropecuaria Corporación para el Desarrollo Participativo y Sostenible de los Pequeños Agricultores, Colombia Technical Centre for Agricultura! and Rural Cooperation, based in the Netherlands Deutscher Entwicklungsdienst [ German Development Service] Department for International Development, UK Directorate-General for International Co-operation, Netherlands Desert Margins Program, based at ICRISAT Escuela Agrícola Panamericana-Zamorano, Honduras Empresa Brasileira de Pesquisa Agropecuária, Brazil Food and Agriculture Organization of the United Nations, Italy Forum for Agricultura! Research in Africa Fundación para la Investigación y el Desarrollo Agrícola, Colombia Farmer Participatory Research for Integrated Pest Management Project (ofthe SP-IPM a nd PRGA Program) Forum for Qualitative Social Research (electronic journal) GA-wg G&D Committee GDN GEF GFAR GTZ GWP !CARDA ICLARM ICRAF ICRISAT IDRC IDS lES IFPRI IICA IIED liM-A IIRR IISD UTA ILRI INIAP Gender Analysis Working Group (ofthe PRGA Program) Gender and Diversity Committee (ofCIAT) Global Development Network Global Environment Facility Global Forum on Agricultura! Research, based in Italy Deutsche Gesellschaft für Technische Zu sammennarbeit ( Gennan Agency for Technical Cooperation) Global Water Partnership Intemational Center for Agricultura! Research in the Dry Areas, based in Syria lnternational Center for Living Aquatic Resources Management, based in the Philippines Intemational Centre for Research in Agroforestry, based in Kenya International Crops Research Institute for the Semi-Arid Tropics, based in India International Development Research Centre, Canada Institute of Development Studies (ofthe University of Sussex) Institute of Environmental Studies, Zimbabwe International Food Policy Research Institute, based in USA Instituto Interamericano de Cooperación para la Agricultura, based in Costa Rica International Institute for Environment and Development Indian Institute of Management-Ahmedabad Interna tional Institute of Rural Reconstruction, based in the Philippines Internationa l Institute for Sustainable Development International Institute ofTropical Agriculture, based in Nigeria International Livestock Research Institute, based in Kenya Instituto Nacional Autónomo de Investigaciones Agropecuarias, Ecuador 506 INRA IPCA IPGRI IPRA Project IRD IRRI ISNAR IWG-PA IWMI JIRCAS KlT LI-BIRD MAPP MFAT MISR NARC NARO NEPAD NRI PARIS21 PBG PERN PLAAS PlaW PNRM-wg PRGA Program PROINPA PROLINNOVA SACCAR SDC SEARICE SGRP SIMA SIMI Instítut National de la Recherche Agronomique, France Proyecto de Investigación Participativa en Centroaméríca, based in Honduras International Plant Genetic Resources Institute, based in Italy Investigación Participativa en Agricultura/ Participatory Research in Agriculture (ofCIAT) Institut de Recherche pour le Développement, France Inte rnational Rice Research Institute, based in the Philippines Intemational Service for National Agricultura! Research, based in the Netherlands Informal Working Group on Participatory Approaches and Methods to Support Sustainable Livelihoods & Food Security (of FAO) International Water Management Institute, based in Sri Lanka Japan International Research Center for Agricultura! Sciences Royal Tropical Institute, Netherlands Local Initiatives for Biodiversity, Research and Development, Nepal Multi-country Agricultura! Productivity Program for Africa (ojthe World Bank) Ministry of Foreign Affairs and Trade, New Zealand Makerere Institute of Social Research Nepal Agricultura! Research Council National Agricultura! Research Organization, Uganda New Partnership for Africa's Developrnent Natural Resources Institute, UK Partnership in Statistics for Development in the 21st Century Participatory Plant Breeding Working Group (ojthe PRGA Program) Population-Environment Research Network Programme for Land and Agrarian Studies (ofUniversity of the Western Cape) People, Land and Water Prograrn Initiative (ojiDRC) Participatory Natural Resource Management Working Group of the PRGA Participatory Research and Gender Ana lysis Program Fundación PROINPA "Promoción e Investigación de Productos Andinos", Bolivia Prornoting Local Innova tion Southern African Centre for Co-operation in Agricultura! and Natural Resources Research and Training Swiss Agency for Developrnent and Cooperation Southeast Asia Regional Institute for Community Education, based in the Philippines The CGIAR System-wide Genetic Resources Programrne Systemwide Initiative on Malaria and Agriculture (ojthe CGIAR) Smallholder Irrigation Market Initiative 507 S lUPA SP-IPM SPI-FFS SPIA SRBLI SRDIS SRISTI SSA-CP SWNM TAC TLAP UBINIG U Ka be UPWARD WARDA WECARD www Strategic Initiative on Urban and Peri-Urban Agriculture (ofthe CGIARJ Systemwide Program on Integrated Pest Management Program (ofthe CGIARJ Soil Productivity Improvement through Farmer Field Schools (of FAO) Standing Panel on Impact Assessment (ofthe CGIAR) Socially Responsible Business Leadersh ip Initiatives (of University of California-Berkeley) Sustainable Rural Development Information System Society for Research and Initiatives for Sustainable Technologies and Institutions, India Sub-Saharan Africa Challenge Program (ofthe CGIAR) The CGIAR Systemwide Program on Soil, Water & Nutrient Management Technical Advisory Committee (ofthe CGIAR) Ecoregional Program for Tropical Latin America (ofthe CGIAR) Unnayan Bikalper Nitinirdharoni Gobeshona [Policy Researchfor Development Altematives], Bangladesh UK Agricultura! Biodiversity Coalition (ofthe UK Food Group) Users' Perspectives with Agricultura! Research and Development (ofCIPJ West Africa Rice Development Associadon, Cóte d1voire West and Central African Council for Agricultura! Research and Development (also CORAF) World Wide Web Other acronyms and abbreviations ACP AGM AME ARis CBOs CP FFS FRCs GA GO GRO HlV/AIDS lA IARCs ICER African, Caribbean, and Pacific countries annual general meeting Africa and the Middle East advanced research institutions community-based organizations challenge programs (ofthe CGIAR) farmer field schools (ofFAO) farmer research committees gender analysis govemment organization govemment regional office human immunodeficiency virusjacquired immunodeficiency syndrome impact analysis international agricultura! research centers internally commissioned externa] review 508 ICM ILAC INRM IPM IPR LOA M&E NARES NARis NARS NGOs NRM NSSDs PB PGR PM&E PPB PNRM PR PRGA PR/L PVS R&D 8/GA SP S ROs SSA TORs wg integrated crop management institutionallearning and change integrated natural resources management integrated pest management intellectual property rights letter of agreement monitoring and evaluation national agricultura] research and extension systems national agricultura] research institutes national agricultural research system nongovernmental organizations natural resource management national strategies for sustainable development p lant breeding plant genetic resources participatory monitoring and evaluation participatory plant breeding participatory natural resource management participatory research participatory research and gender analysis participatory research and learning participatory variety selection research and development social and gender analysis systemwide program of the CGIAR su bregional organizations su b-Saharan A frica terms of reference working group 509