a-i3980e

1Program and Project design

DiagnosismodULe 1

Design

Results-based public management

tools for the design and implementation of public rural

development programs with a project cycle approach

Implementation and

Monitoring

Evaluation

Results Based Public Management tooLs for the design and imPLementation of PUbLic rUraL deveLoPment Programs with a Project cycLe aPProach

2

iProgram and Project design

United nations Food and agRicUltURe oRganiz ation

S a n t i a g o , 2 0 1 4

DiagnosismodULe 1

Design

Results-based public management

tools for the design and implementation of public rural

development programs with a project cycle approach

Implementation and

Monitoring

Evaluation


ii

the designations employed and the presentation of material in this information

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e-isbn 978-92-5-108499-1 (Pdf)

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iiiProgram and Project design

acknowledgements ----------------------------------------------------------------------------------------------------------------- vii

Presentation ---------------------------------------------------------------------------------------------------------------------------- ix

introduction ----------------------------------------------------------------------------------------------------------------------------- xi

I. Conducting a diagnosis --------------------------------------------------------------------------------------------------- 1

Chapter 1 Methodology for conducting a diagnosis ------------------------------------------------------------------------------ 2

1.1 stakeholder analysis ------------------------------------------------------------------------------------------------- 3

1.2 Problem analysis ----------------------------------------------------------------------------------------------------- 5

1.3 dimensioning the problem -----------------------------------------------------------------------------------------10

1.4 identification of the potential population or focus area -------------------------------------------------------11

1.5 Quantification of the potential population or focus area -----------------------------------------------------12

1.6 stratification and characterization of the potential population ----------------------------------------------12

Summary ------------------------------------------------------------------------------------------------------------------------------------13

II. Case Study ---------------------------------------------------------------------------------------------------------------------15

Chapter 2 Case Study: Conducting a diagnosis ----------------------------------------------------------------------------------16

2.1 identification of stakeholders in the mexican rural and fishing sector ------------------------------------16

2.2 identification and analysis of problems of the mexican rural and fishing sector ------------------------17

2.3 dimensioning the problems of the mexican rural and fishing sector --------------------------------------19

2.4 identification of the potential population ----------------------------------------------------------------------- 20

2.5 Quantification of the potential population -----------------------------------------------------------------------21

2.6 relevant actors of the mexican rural and fishing sector ---------------------------------------------------- 24

2.7 relevant problems in the mexican rural and fishing sector ------------------------------------------------ 30

iii

contents


iv

2.8 Problem trees of the mexican rural and fishing sector ------------------------------------------------------ 32

2.9 regions and strata in the mexican rural and fishing sector ------------------------------------------------ 34

2.10 Problem trees by stratus ------------------------------------------------------------------------------------------ 36

III. Tools -------------------------------------------------------------------------------------------------------------------------------41

Tool 1 --------------------------------------------------------------------------------------------------------------------------------------- 42

Policy analysis matrix (Pam) -------------------------------------------------------------------------------------------------- 42

Tool 2 ----------------------------------------------------------------------------------------------------------------------------------------51

interview guide for high level officials -----------------------------------------------------------------------------------------51

Tool 3 --------------------------------------------------------------------------------------------------------------------------------------- 53

instrument for the definition of relevant problems ------------------------------------------------------------------------- 53

Tool 4 --------------------------------------------------------------------------------------------------------------------------------------- 60

guide for obtaining information about the localities ----------------------------------------------------------------------- 60

Tool 5 --------------------------------------------------------------------------------------------------------------------------------------- 63

online survey: definition of relevant problems for the rural and fishing areas---------------------------------------- 63

Tool 6 --------------------------------------------------------------------------------------------------------------------------------------- 83

Performance indicator reference sheet to quantify the problems ------------------------------------------------------ 83

Tool 7 --------------------------------------------------------------------------------------------------------------------------------------- 85

survey by production strata ---------------------------------------------------------------------------------------------------- 85

Tool 8 --------------------------------------------------------------------------------------------------------------------------------------137

survey for rural families --------------------------------------------------------------------------------------------------------137

F I g u R E S

Figure 1. Life cycle of the project: diagnosis -------------------------------------------------------------------------------- 2

Figure 2. Problem tree----------------------------------------------------------------------------------------------------------- 5

Figure 3. Principal problem tree of the rural and fishing sector of mexico -------------------------------------------- 7

Figure 4. draft of the problem tree on milk production in trinidad and tobago ------------------------------------- 8

Figure 5. Problem tree (alternative) on milk production in trinidad and tobago ------------------------------------- 9

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vProgram and Project design

Figure 6. total stratification by sales of the rural economic units ------------------------------------------------------21

Figure 7. relevant problems in the economic sphere according to results of the online survey ---------------- 30

Figure 8. relevant problems in the social sphere according to results of the online survey ----------------------31

Figure 9. relevant problems in the environmental sphere according to results of the online survey ------------31

Figure 10. Problem tree of the rural and fishing sector ------------------------------------------------------------------- 32

Figure 11. causes that explain the low growth of agricultural and fishing activities --------------------------------- 32

Figure 12. causes that explain poverty of rural families ------------------------------------------------------------------ 33

Figure 13. causes that explain the degradation of the natural resources --------------------------------------------- 33

Figure 14. causes that explain the unfavorable economic environment ---------------------------------------------- 33

Figure 15. causes that explain a weak institutional framework --------------------------------------------------------- 34

Figure 16. stratus e1: subsistence family without linkage to the market ---------------------------------------------- 36

Figure 17. stratus e2: subsistence family with linkage to the market ------------------------------------------------- 37

Figure 18. stratus e3: rural economic Units in transition --------------------------------------------------------------- 37

Figure 19. stratus e4: entrepreneurial with fragile profitability ---------------------------------------------------------- 38

Figure 20. stratus e5: thriving entrepreneur ------------------------------------------------------------------------------- 38

Figure 21. stratus e6: dynamic entrepreneur ------------------------------------------------------------------------------ 39

Figure 22. diagram of the agro-industrial chain of the crop X ----------------------------------------------------------- 43

Figure 23. matrixes for the analysis of a link of the agro-industrial chain of a system-product ------------------- 43

Ta B l E S

Table 1. stakeholder matrix --------------------------------------------------------------------------------------------------- 3

Table 2. regions considered for the preparation of the diagnosis ----------------------------------------------------16

Table 3. total stratification by sales according to stratus -------------------------------------------------------------- 22

Table 4. indicators calculated for conducting the diagnosis of the rural and fishing sector -------------------- 22

Table 5. social regions favorable for obtaining economic, social and environmental information for the poorest strata of the country (strata e1 and e2) ------------------------------------------------------------- 34

Table 6. economic regions favorable for obtaining economic, social and environmental information for strata e3, e4, e5 and e6 -------------------------------------------------------------------------------------- 35

v


vi

Table 7. budget matrix at market prices: Production of an export crop -------------------------------------------- 45

Table 8. budget matrix at social prices: Production of an export crop ---------------------------------------------- 46

Table 9. Policy analysis matrix: Production of an export crop ---------------------------------------------------------47

Table 10. indicators of profitability and of public policy impact: Production of an export crop ------------------ 48

vi

viiProgram and Project design

a C R o n y M S

Fao food and agriculture organization

PaM Policy analysis matrix

IMR indicators matrix for results

lFM Logical framework methodology

S-S spring-summer

F-W fall-winter

CBR cost-benefit ratio

SagaRPa ministry of agriculture, Livestock, rural development, fishing and food

REu rural economic Unit

Pu Production Unit

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viii

ixProgram and Project design

acknowledgements

for more than ten years, the United nations food and agriculture organization (fao), through ongoing rural policy

evaluation and analysis projects, has provided technical assistance to the ministry of agriculture, Livestock, rural

development, fishing and food (sagarPa) of mexico, in the area of evaluation of programs promoting agriculture,

fishing and aquaculture production, and rural development. in the framework of this cooperation, methodological

tools have been developed jointly for the management of the different phases of a program: sector diagnosis, design,

implementation and evaluation. this document brings together the experiences obtained from the projects so that

they can be reproduced or referenced by actors involved in the management of programs or projects with similar

characteristics.

in the development of the projects the contributions of the following sagarPa officers stands out: arturo enciso

serrano, ernesto ezequiel abraham tarrab, horacio santoyo, jose de jesus romo santos, jose correa, juan carlos

vargas moreno, Lucia rosas ortiz, miguel angel Lopez arreguin, omar anaya mandujano, alan Kristian hernandez,

Pablo hernandez alarcon, Patricia valtierra carrillo, claudia gabriela valadez romero, roberto cedeño, rogelio

carmona Leon, eduardo benitez Paulin, jose merced tulais Lopez and silvia Urbina hinojosa.

a special mention is made of veronica gutierrez macias, jaime clemente hernandez and renato olvera nevarez (in

memoriam).

alfredo gonzalez cambero, who directed the projects from 2007 to 2012, and salomon salcedo baca, senior Policy

officer of the regional office for Latin america and the caribbean of the fao and at the time technical leader of the

projects, were the lead authors of this publication. ana harumi hayashida carrillo and ina salas casasola, both fao

consultants, participated in its drafting. members of the projects collaborated in the systematization of each of the four

modules of this compendium of tools, contributing their knowledge and experiences in each of the phases of a project.

Particular recognition is given to isabel madrid Perez, ruth mendoza ortinez, mariana ortega ramirez and alejandro

davila topete who contributed to the construction of the alternatives tree for the sustainability of natural resources.

finally, the representation office of fao in mexico is acknowledged for its operational leadership of the projects.

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xiProgram and Project design

Presentation

since the marrakech round table in 2004, the international community has supported five specific commitments related

to improving the effectiveness of development assistance1, synthesized in the concept of “managing for development

results”. this implies taking into account from the beginning of any initiative, project or program the expected outcomes

and how to achieve them. furthermore, the implementation, progress monitoring, and subsequent evaluation should

consider the expected outcomes that were established at the beginning of the process.

in this regard, there is a great challenge for developing countries to adopt a new vision. this means breaking with old

customs and patterns in the manner of handling the project cycle, changing from a focus on addressing demand to a

planning process for achieving specific outcomes, established from the beginning. while there is no single approach,

since each country, each sector and each project presents particular situations, there are experiences that can be

systematized and shared.

the preparation of a set of tools for results-based management responds to the need to break with inertial operating

schemes of public development programs in the majority of countries, which do not contemplate efficiency and efficacy

in achieving results. the absence of such an approach implies that substantial resources are spent without a timeframe

for resolving the problems that the public interventions are intended for.

this document brings together the experiences obtained from the evaluation and analysis of rural Policies Project

undertaken by the United nations food and agriculture organization (fao) and the mexican ministry of agriculture,

Livestock, rural development, fishing and food (sagarPa) during the implementation of the “results-based

management” focus in its different Programs. in this respect, on four occasions the national council for the evaluation

of social development Policy of mexico has granted recognition to sagarPa for its good practices in the development,

execution and evaluation of public policy in the field since 2007, taking an important step toward improving its programs

and orienting them toward performance and impact in the rural sector.

the document “results-based public management: tools for the design and implementation of public rural development

programs with a project cycle approach” includes the four phases of the life cycle of a project or program. the first

module includes the methodological tools for conducting a sector diagnosis, which constitutes the first step that justifies

the intervention by making it possible to identify a problem, dimension it, identify and quantify the population or area

facing the problem, and stratify such population.

the second module presents the procedure and methodological tools for the design of a program or project which will be

synthesized in the Logical framework. in this module the methodology is shown for conducting the objectives analysis

and the alternatives analysis, constructing performance indicators, identifying the means of verification, identifying risk

and assumptions, and collecting counterfactual data for a baseline of the performance indicators of the program or

project.

1 the principles of results-based management agreed on during the second round table on managing for development results in 2004, are: 1) focus the dialog on results in all the phases of the development process; 2) align programming, monitoring and evaluation with results; 3) keep measurement and reporting simple; 4) manage for, not by, results; and 5) use results information for learning and decision-making.

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the third module provides the methodology for the implementation of a program or project which, under the results

approach, should include a monitoring and evaluation system consistent with its design, budgeting, and regulation, as

well as design and processes evaluations in the first year of implementation of the program or project.

the fourth module consists of the methodology for evaluating the outcomes obtained by the program or project as a

result of its implementation through the design of the results and impact evaluation of a program or project.

each module is structured with a chapter on theory and a chapter on experience referring to the mentioned Project, and

complemented with the systematization of the methodological tools for a better understanding of the sections.

Salomón Salcedo Baca alfredo gonzález Cambero

senior Policy officer Project director (2007-2012)

xii

xiiiProgram and Project design

introduction

many countries have begun to realize the need to pursue results-based public management, in order to ensure more

efficient and effective public spending. the essence of managing for results lies in the establishment of expected

objectives and outcomes, around which public sector managing is organized in order to achieve them. such managing

rests on four basic principles: a) focusing on results; b) the linking of planning, programming, budgeting, and monitoring

and evaluation with results; c) the measurement and generation of information on results; and d) the use of results

information to support decision-making and accountability.

in order for the results orientation of public policy to be effective, the problem that such policy addresses must be

clearly identified and defined, which will make it possible to establish, in turn, clear objectives based on the outcomes

that are sought with the implementation of such policy. nevertheless, it is common to find in the programs or projects

that implement the public policy that the definition of the problem being addressed is unclear, and sometimes even

absent. in this regard, often the programs and projects that make up the public policy of the sector are not based on a

diagnosis that identifies and defines the problem they seek to address; instead they arise in large part from predecessor

programs, to which adjustments are made in terms of relocation of program outputs, updating of aid amounts, etc.,

and as such they are unrelated to the problem that gave rise to their existence. therefore, the diagnosis of the situation

that a development program or project is intended to address is the first step that should be taken in its planning and

implementation.

with this in mind, this first module of the document Results-based public management: Tools for the design and

implementation of public rural development programs with a project cycle approach encompasses the tools for

identifying the problem that is the basis for the formulation and implementation of a development program or project

in order to solve such problem. in this regard, this set of tools covers, using conceptual and applied elements, the

procedures for the development of a diagnosis of the rural sector that serves as a basis for the design of a program

or project. for this, through a stakeholder analysis a panorama is offered of all the persons, groups, organizations,

institutions, state governments, municipal governments, etc., that would be involved in the actions of a program or

project. for its part, through the problem analysis the development problem on which the design of a program or project

is based is identified and defined, as well as the institutional arrangement that is necessary for the implementation of

the program or project. for its part, through the problem analysis the development problem that is the basis of the

design of a program or project is identified and defined, as well as the causes and effects of such problem. for that,

the methodological systematization for doing the diagnosis of the rural sector is included, in which procedures are

established for the identification and dimensioning of the problem that affects the rural sector, which also includes the

identification, quantification and stratification of the population facing the problem. the identification and quantification

of this population are important for dimensioning the problem, while the stratification is essential for targeting the

programs or projects, and for the establishment of differentiated policies, in order to address with more precision the

needs of each type of population stratus.

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xiv


conducting a diagnosis4 4 4 4 4 4 4 4 4 4 4 4 4 4 4 4 4 4 4 4 4 4 4 4 4 4 4 4 4 4 4 4 4 4 4 4 4 4 4 4 4 4 4 4 4 4 4 4

4 4 4 4 4 4 4 4 4 4 4 4 4 4 4 4 4 4 4 4 4 4 4 4 4

I


2

2.Design

1.Diagnosis

4.Evaluation

3.Implementation and Monitoring

FIguRE 1. Life cycLe of the Project: DIagnoSIS

4 4 4 4 4 4 4 4 4 4 4 4 4 4 4 4 4 4 4 4 4 4 4 4 4 4 4 4 4 4 4 4 4 4 4 4 4 4 4 4 4 4 4 4 4 4 4 4 4 4 4 4 4 4 4 4 4 4 4 4 4 4 4 4 4 4 4 4 4

chapter 1Methodology for conducting a diagnosis

the diagnosis is a process that makes it possible to obtain information about the problems that a sector faces in order to guide the definition and effective implementation of a public development program or project. specifically, the diagnosis systematizes and generates current and accurate information in order to analyze the problems that affect a sector and the actors affected by such problems.

through a diagnosis, the causes and effects of the problems are identified, and then the means for resolving them can be effectively identified in the program design stage. in other words, it constitutes the first phase in the life cycle of a program or project (figure 1).

the diagnosis process includes several stages of analysis, which are defined as:

• stakeholder analysis

• Problem analysis

• dimensioning of problems


• identification of the potential population or potential focus area

• Quantification of the potential population or potential focus area, and

• stratification and characterization of the potential population.

1.1 stakeholder analysis

the stakeholder analysis consists of identifying the persons, groups or institutions that may have some connection with the sector or area under study, in order to optimize the social benefits and limit the negative impacts that a governmental intervention in the sector can provoke.

the stakeholder analysis makes it possible to strengthen the support of those whose interests coincide or are complementary, and diminish the opposition of those with contrary interests. the results of this analysis are reflected in the stakeholder matrix (table 1).

Groups Problems Needs / Interests Potential Position

How to conduct a stakeholder analysis

the stakeholder analysis involves the following stages:

1. identify the relevant actors of the sector or study area. for example, in an irrigation project, the relevant actors will be the users of the irrigation water or farmers, the local authorities and the representatives of the government involved in agrarian matters.

2. categorize each actor according to the group to which it belongs. for example: governmental bodies, producer groups, population groups, non-governmental organizations, private sector organizations, etc. these groups form the first column of the matrix.

TaBlE 1. staKehoLder matriX


4

3. identify the problems perceived by stakeholders. this process identifies how each group is affected by different problems and, therefore, how their needs and/or interests regarding a possible public intervention will be different. the results of this analysis are summarized in the fourth column of the matrix.

4. identify the needs and interests of each group in relation to the development sector or area that is analyzed. for example, the interests of an agricultural producer with very little or no income will be oriented toward covering his/her basic needs such as nutrition, health and housing. on the other hand, an exporting producer will be interested in a program that makes it possible for him/her to access international markets. this information forms the third column of the matrix.

5. identify the untapped potential assets of the sector analyzed, which if strengthened or used sustainably would make it possible to improve the conditions of the units under analysis or solve the problems that affect the sector. this information forms the fourth column of the matrix.

6. identify their position regarding a particular program or project; in other words, classify them as to whether they are a potential beneficiary, a potential opponent, an implementer, a collaborator, a financier, etc. this information forms the fifth colum n of the matrix.

the stakeholder analysis is a process done in parallel with the problem analysis, since they are complementary in information. the particular importance of the stakeholder analysis lies in the fact that participative strategies are used in conducting it (workshops, surveys, focus groups and interviews) that make it possible to detect the problems and subsequently identify alternatives with support. in other words, the stakeholders feel that the project/program is theirs, generating a sense of ownership of the program or project.

RECoMMEnDaTIonS FoR ThE STakEholDER analySIS

1. When categorizing the stakeholders, attention should be paid to the differences that may exist within the same group of stakeholders. For example, it is common in the rural sector for various types of producers to coexist that differentiate themselves according to the size of their production and their income level. in these cases, it is advisable to classify the producers in several groups, since there are differences regarding the perception of the problems, their needs and also their potential.

2. it is essential to identify all the relevant groups for a project/program; excluding one could generate legitimacy problems in the agreements that will be made later on in the project; having irrelevant groups can cause deviations from the problem and sidetrack the meetings with demands that may not be met, generating disenchantment.

f o r m o r e i n f o r m at i o n :

Bryson, J. M. (2004). What to do when stakeholders matter: Stakeholder identification and analysis techniques. University of minnesota. minneapolis, mn.

Centers for Disease Control. Stakeholder analysis. atlanta, ga.

Comisión Europea (2001). Manual gestión del ciclo de proyecto. ede, the netherlands.

heemskerk, nick et al. (1995). Manual for Project planning. amsterdam, the netherlands.

IlPES-CEPal (2004). Metodología del marco lógico. boletín 15. santiago de chile.


Central problem

EffECt

CAUSE

FIguRE 2. ProbLem tree

IlPES-CEPal (2005). Metodología del marco lógico para la planificación y la evaluación de proyectos y programas. santiago de chile.

MIT (2001). Course in Stakeholder analysis. boston, ma.

Schmeer, k. (1999). guidelines for conducting a stakeholder analysis. bethesda, md.

The World Bank (1998). Participation and Social assessment: Tools and Techniques. compilado por jennifer rietbergen-mccracken and deepa narayan. washington, dc.

1.2 Problem analysis

the problem analysis consists of identifying the principal problems that affect the sector and for which an intervention is desirable. for this purpose, once a central problem is identified, the causes and effects are analyzed. the results of this analysis are summarized in a problem tree (figure 2) according to the Logical framework methodology (Lfm).


6

How to conduct a problem analysis

the first step in the problem analysis process is the exploration of negative situations found from the review of available documentary information. this step makes it possible to delineate the sector’s existing relevant problems in the areas of impact.

the purpose of the review of the documentary information is to establish the general context in which the sector or area analyzed is developing. for the collection of this type of information official sources, both national and international, are reviewed.

RECoMMEnDaTIonS In REvIEWIng ThE DoCuMEnTaRy InFoRMaTIon

1. the documentary analysis should be based on criteria that make it possible to determine if a negative situation could be considered a problem. these criteria are:

i. a problem in the sector being analyzed is a situation or state that affects a group under study or unit of analysis (population, territories or areas) from the perspective under which the sector is being studied.

ii. an additional criterion is time. a problem must be current and have been present for at least the last five years persistently and/or increasingly. this makes it possible to incorporate the historical aspects that differentiate the negative situations from temporary problems.

2. this review seeks to find variables that delineate and characterize negative situations that could be considered the problems of the sector under study and that will be analyzed and proven subsequently.

3. in this stage the negative situations are now being differentiated as problems, causes or effects in order to be able to make a classification, above all of the causes.

subsequently, the information collected in the documentary review is delved into further and complemented, through other research mechanisms that make it possible to obtain information, directly or indirectly, on the sector or area that is being analyzed.

the mechanism that is used to obtain this information will depend on the time and the available resources to prepare the diagnosis. some options that may be chosen are:

• Fieldinterviews• Directedpolls(surveys)• Focusgroups.

finally, with the information collected, it is possible to prepare the problem tree, which is a graphic or schematic representation of the central problem affecting the sector and its causes and effects, which allows for easy use and understanding in the program or project design stage.

How to prepare a problem tree

the method for preparing a problem tree, indicated through the logical framework methodology, consists of organizing the causes and effects detected in a tree-type format, where the central problem is the point of departure (the trunk), the causes are the roots and the effects the treetop.


the analysis begins with the determination of the central problem. the central problem is the problem that internalizes all the problems and therefore it is global or comprehensive in nature. it represents the trunk of the tree.

after identifying the central problem, its direct causes are analyzed. the direct causes are negative situations that directly determine the existence of the central problem. similarly, the causes that give rise to the existence of these direct causes are analyzed, forming the roots of the tree.

subsequently, the effects of the central problem are analyzed. these effects, also expressed in negative situations, are placed above the central problem constituting the treetop. figure 3 presents the central problem of the rural sector in mexico, showing the central problem in the trunk of the tree and the causes of the problem in the roots.

FIguRE 3. PrinciPaL ProbLem tree of the rUraL and fishing sector of meXico

Rural and fishing sector

not sustainably developed

Poverty of rural families

degradation of natural resources

Weak institutional framework

Unfavorable economic

environment

agricultural and fishing

activities with low growth


8

RECoMMEnDaTIonS In PREPaRIng a PRoBlEM TREE

How to draft the problems

1. current problems to be described are those that have been present for at least the last five years. temporary negative situations are excluded.

2. avoid the phrases “there are no” or “lack of”, since they describe what it is wished to do and not the existing problem. For example: “lack of training in adequate tilling techniques”: in this example a solution is concealed, instead of describing the problem. it is recommended to draft it like: “eroded soils”, which is the situation to be changed with training in adequate tilling techniques.

3. avoid ambiguous words or phrases like “system” which contains various elements in itself. this makes it difficult to analyze them one by one.

4. avoid using phrases that contain both the cause and its effect. For example: “degradation of soil due to deforestation”. in this case this phrase should be separated into cause and effect, where “deforestation” is a cause of “soil degradation”.

5. Finally, attention must be paid to the hierarchy and order in which the statements are placed on the tree. this is done by verifying that there is a direct causality with the problem being analyzed, as specified in the following example.

Example: Draft of the problem tree on the production of milk in trinidad and tobago

in this tree, prepared by officers of the ministry of food Production, Land and marine affairs of the government of trinidad and tobago, six direct causes are identified that lead to the “decline in milk production” (identified as the central problem), which are “absence of extension services”, “reduced number of ranchers”, “high costs of production”, “low productivity”, “absence of planning for the dairy subsector”, “low quality in livestock raising” and “high labor costs”. nevertheless, some of these statements are not consistent in their vertical logic and others do not have the correct syntax.

FIguRE 4. draft of the ProbLem tree on miLK ProdUction in trinidad and tobago

increased imports of milk

decline in milk production

Absence of

livestock extension services

Aging of ranchers

Youth are not involved in the

industry

Reduced number of ranchers

High production costs

Lack of adequate fodder

Livestock feed

imported

No local feed

Low productivity

Lack of administrative

skills

Lack of technology for small scale

production

Absence of planning for

the dairy subsector

Low quality in livestock raising

High levels of infertility

Diseases

High labor costs


for example, the “absence of livestock extension services” reflects an implicit solution. the problem is not the “absence of extension services”, but rather what the absence of services results in, for example the “misuse of pastures”, the “low quality in livestock raising”, etc., among other problems that could be resolved through extension services. for the level of this analysis it is only necessary to identify the problems, not the possible solutions. the identification of solutions corresponds to subsequent stages that include the alternatives analysis. the same analogy applies for the “absence of planning for the dairy subsector”, since “planning” could be a possible solution for reversing the administrative problems.

taking these comments into account, the following alternative problem tree could be proposed:

FIguRE 5. ProbLem tree (aLternative) on miLK ProdUction in trinidad and tobago

decline in milk production

Reduced number of ranchers

High cost of livestock feed

Deficient administrative

handling

Low genetic quality

Low quality in livestock raising High labor costs

Nutritional deficiency

Rising cost of imported farm

inputs

Deficit of adequate fodder

Aging of ranchers Youth are not interested in the

dairy industry

in this alternate problem tree, the same central problem is identified, “decline in milk production” caused by a) the reduced number of ranchers, b) the high cost of livestock feed, c) the deficient administrative management, d) the low quality in livestock raising and e) high labor costs.

the analysis of the direct causes can be taken a step further in the tree. for example, it is logical to think that the number of ranchers dedicated to milk production is reduced because some of them retire from the activity due to age and because youth do not take an interest in such activity. this last cause may in turn have other causes, such as that the dairy activity is not profitable, etc. similarly, for example, it is advisable to elaborate on the causes of the rising cost of imported farm inputs, which could be due to the increase in the exchange rate, the imposition of tariffs, etc. the itemization of causes and sub-causes should continue until all the possible explanations of the problem and its causes are exhausted; that is, until getting to the root of the problem.


Comisión Europea (2001). Manual gestión del ciclo de proyecto. ede, the netherlands.

heemskerk, nick et al. (1995). Manual for Project planning. amsterdam, the netherlands.

IlPES-CEPal (2004). Metodología del marco lógico. Boletín 15. santiago de chile.

IlPES-CEPal (2005). Metodología del marco lógico para la planificación y la evaluación de proyectos y programas. santiago de chile.


10

1.3 dimensioning the problem

once the problems have been identified, the next step is to evaluate their magnitude. this implies “measuring” each of the problems identified in the sector or area analyzed.

How to dimension the problem

a first step for dimensioning the problem is to determine a series of indicators that make it possible to evidence with quantitative information the presence of the problems identified in the prior phase. for that, quantitative analysis techniques should be applied to prove the existence, characteristics and magnitude of the problems identified, from the review of reliable databases such as censuses, official statistics and baselines.

additionally, case studies can be done2 to complement the above analysis. through this instrument, qualitative and quantitative-type information can be obtained to make it possible to estimate the magnitude of the problem in areas where its existence is identified but for which sufficient information has not been found through the review of databases.

when a competitiveness problem has been identified in the agriculture sector, for example, one useful tool is the Policy analysis matrix (Pam) developed by erik monke and scott r. Pearson. the Pam has been broadly used to study the underlying factors of the competitiveness of production systems in the agro-food sector, since it is a relatively easy methodology (the “raw material” is made up of prices and technical coefficients; the calculations are limited to additions, subtractions, multiplications and divisions); the Pam can be constructed on a standard spreadsheet; and it produces useful and understandable results even for professionals with basic economic background (fao, 2007).

the Pam is considered the appropriate methodology for determining the level of competitiveness of production systems forming a chain, in different markets, at the micro level; in other words, at the production unit level. it also makes it possible to analyze competitiveness under different public sector policy and program intervention scenarios, and therefore through Pam the effect that different combinations of governmental policies and programs have or could have on competitiveness can be determined.

more specifically, the utilization of the Pam methodology makes it possible to:

• Know in which links of the value chain it is necessary to intervene and how to do it, in order to improve the competitiveness of the agro-food chains.

• determine what degree and in which links of a particular agro-food chain the competitiveness, or lack thereof, is influenced by (or depends on) the impact that the different policies and programs have on it.

• determine in what direction, to what degree and in what production systems of a particular agro-food chain competitiveness would change under different public sector policy and program scenarios.

• Quantify the magnitude of the transfers that each production system of a particular agro-food chain receives from the government (and/or from consumers) or, if applicable, the amount of transfers that such production system pays to the government (and/or to consumers) as a result of the set of public policies and programs.

the methodology for the use of Pam is explained in tool 1.

2 the case study method is a valuable research tool; its greatest strength lies in that it makes it possible to measure and register the conduct of the persons involved in the phenomenon studied (yin, 1989). in the case study method the data can be obtained from a variety of sources, both qualitative and quantitative: documents, archive records, direct interviews, direct observation, observation of the participants and physical installations or objects (chetty, 1996).



Fao (2007). Competitividad de la agricultura en américa latina y el Caribe. Matriz de análisis de Política: Ejercicios de cómputo. santiago de chile.

Monke, E. a. y Scott R. Pearson (1989). The policy analysis matrix for agricultural development. stanford, ca.

Fao-SagaRPa (2010). Metodología de la medición de competitividad de sistemas producto. méxico.

1.4 identification of the potential population or focus area

once the problems that affect the sector or area of study have been identified, the next step is to determine what population or area suffers these problems, as well as its characteristics.

it should be mentioned that the analysis of the potential population or focus area cannot be separated from the problem analysis; in other words, the identification of problems and the definition and quantification of the potential population or focus area are closely linked in terms of both the methods and the information they use.

the following helps to explain this relationship a little more:

• when analyzing the negative situations that are being identified as possible problems, the population groups, regions or focus areas being affected by these problems are also being explored.

• when confirming the existence of the problems, information should be sought that indicates the minimum characteristics of the units of analysis that are being affected by these problems, since such information makes it possible to specify the problem.

• when pursuing the case studies for the problem analysis (causes, effects and magnitude), the characteristics of the affected population or area are also being explored in depth. the proportion of the units of analysis that would be affected is also estimated in order to show the magnitude of the problem.

for this reason, many of the methods and information defined during the prior phases are made use of to do the analysis of the potential population.

How to identify the potential population or focus area

to identify the potential population or focus area it is necessary to establish the criterion or criteria that define the potential population or focus area affected by the problem. for example, if the problem identified is the poverty of rural families, the potential population will be defined from the establishment of certain criteria, such as the level of income and the level of wellbeing measured in savings capacity, access to basic housing services, health conditions and nutrition levels.

afterwards descriptive indicators and variables should be defined that make it possible to support the criteria established and, parting from that, determine the characteristics that define the potential population or focus area.


12


Secretaría de Desarrollo Social (2011). nota sobre población potencial y población objetivo. méxico, df.

1.5 Quantification of the potential population or focus area

once the potential population or focus area is identified, it must be quantified. in other words, based on the criteria and indicators established in the prior stage all persons are counted (for the potential population) or the total area (for example hectares or coastline for the potential focus area). this population or area affected by the problem will be initially the target group or area of a public program or project.

How to quantify the potential population or focus area

the data for quantifying the potential population or focus area can be obtained from censuses already done, prior studies related to the problem under analysis, statistics, etc. however, it may happen that for certain groups or areas there are no data. in these cases the population or focus area may be estimated through censuses (counting of the entire population) or sampling (estimation of the population or area from a sample).

as was previously mentioned, the stage of problem analysis and its dimensioning is closely linked to the identification and quantification of the potential population, and therefore in many cases the quantification of the potential population or focus area can result from carrying out the prior phases.


El Banco Mundial (2005). Sistema de Identificación de la Población objetivo: SIPo en Costa Rica. Serie de Documentos de Discusión sobre la Protección Social. washington, dc.

Secretaría de Desarrollo Social (2011). nota sobre población potencial y población objetivo. méxico, df.

1.6 stratification and characterization of the potential population

due to the fact that the potential population affected by a problem is, generally, heterogeneous, in this section the methodology is presented for stratifying and forming subgroups within the potential population in a way that units within each group share similar characteristics, needs and potential, but they are different from those of other subgroups.

the purpose of this stage is to determine the specific problem that affects the different units that compose the subgroups of the potential population. this makes it possible to construct specific problem trees based on which projects or programs can be designed focusing3 on the different subgroups or strata that make up the potential population.

3 the principle of targeting is that the concentration of resources on a population group of certain characteristics increases the efficacy of the public instruments used to resolve a clearly identified problem.


How to stratify and characterize the potential population

the stratification presumes the existence of different strata that are characterized by specific elements that make them distinguishable from the rest of the strata. for that, a variable must be established that makes this differentiation possible. for example, the stratification can be based on the area of interest of the program that would be implemented: production level, purchasing power, knowledge level, culture, etc.

following the stratification of the potential population, each stratum can be characterized according to the most convenient variable for the matter under study. as a product of this classification it is possible to obtain differentiated information from each stratum, from which programs or projects can be designed “tailored” to the needs of a possible target group.

the information for characterizing the potential population can be the same as the information used for dimensioning the problem from the review of reliable databases such as censuses, official statistics, baselines, etc.

S u m m a r ythe analysis that is obtained from the diagnosis makes it possible to identify, prior to the design of programs or projects, the causes of the development problems and their dimension, and who suffers from them. therefore, the diagnosis makes it possible to establish the basis for a subsequent definition of objectives and targets during the design stage of the programs.

in this case and as was already mentioned, the diagnosis is made up of six stages of analysis, in each one of which different sub-products are obtained. in the stakeholders analysis those actors having an interest or link to the area of study are identified. this analysis is the first attempt to learn the problems suffered by each of the groups involved in the study area. it is done in a participative manner to ensure the support of everyone and to promote a sense of ownership of those forming part of the process.

in the problem analysis the problems are identified through different methods of analysis. the information is synthesized in the problem tree of the area of study in a logical manner that provides a basis for understanding the causes and effects of the problems identified.

the dimensioning of the problem makes it possible to understand the magnitude of the problems through the establishment of indicators. this process of analysis is very useful for distinguishing those problems that have a greater incidence.

from the analysis identifying the potential population or focus area, the criteria are obtained that define the population or area that presents the need and/or problem. based on these criteria, it is possible to quantify the total population or area in the following stage of analysis, which justifies the design of a program or project.

finally, the stratification and characterization of the potential population makes it possible to obtain differentiated information among the units or strata that make up the potential population in those cases involving groups with different characteristics and needs. it is a useful tool for identifying the population that suffers most from the problems, and that therefore emerges as the target population of a program or project.


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case study4 4 4 4 4 4 4 4 4 4 4 4 4 4 4 4 4 4 4 4 4 4 4 4 4 4 4 4 4 4 4 4 4 4 4 4 4 4 4 4 4 4 4 4 4 4 4 4

4 4 4 4 4 4 4 4 4 4 4 4 4 4 4 4 4 4 4 4 4 4 4 4 4

II


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chapter 2case study: conducting a diagnosis

in this chapter a methodological experience is presented that exemplifies the conducting of a diagnosis at the sector level. this case includes the experience of the Project on Policy analysis and evaluation undertaken by the United nations food and agriculture organization (fao) and the ministry of agriculture, Livestock, rural development, fishing and food (sagarPa) of mexico.

2.1 identification of stakeholders in the Mexican rural and fishing sector

for the diagnosis of the mexican rural and fishing sector, a partial analysis of stakeholders was done. the relevant stakeholders were identified and categorized according to the relevant sector (government, academia, regional producers and community leaders). the problems of the relevant stakeholders were identified in the problem analysis stage.

for the identification of relevant stakeholders the rural producers of the entire country were classified in two dimensions: regional and producer strata4.

2.1.1 Regional dimension5

for the geographic demarcation nine territorial units were established as shown in table 2.

Region States

1 northwest sonora, sinaloaBaja california sur, Baja california

2 north chihuahua, durango, coahuila,

3 northeast nuevo león, tamaulipas

4 West and Bajio zacatecas, Jalisco, Michoacán, colima, nayarit,guanajuato, Querétaro

5 central san luis Potosí, aguascalientes, Hidalgo, México, Morelos,tlaxcala, Puebla

6 southeast oaxaca, guerrero, chiapas

7 gulf Veracruz, tabasco

8 Yucatan Peninsula Yucatán, Quintana Roo, campeche

Source: FAO-SAGARPA. Diagnóstico del sector rural and pesquero: identificación de la Problemática del Sector Agropecuario y Pesquero de México. Working document.

4 this classification was necessary because within the mexican rural sector, groups with different characteristics and interests coexist and therefore they cannot be treated as homogeneous.

5 to establish such regions the information from two characterizations of mexican territory were combined which made it possible to establish the rural regions that were appropriate for purposes of the diagnosis work. the first characterization (inegi, 2001) establishes a demarcation of regions based on demographic, social and welfare information obtained from the Xii 2000 national Population and housing census. the second characterization (fao, 2005) makes it possible to establish regions based on agro-ecological zones and types of enterprises or predominant agricultural production systems. both characterizations were complemented with information obtained from the mexican agri-food and fishing information service (siaP).

4 4 4 4 4 4 4 4 4 4 4 4 4 4 4 4 4 4 4 4 4 4 4 4 4 4 4 4 4 4 4 4 4 4 4 4 4 4 4 4 4 4 4 4 4 4 4 4 4 4 4 4 4 4 4 4 4 4 4 4 4 4 4 4 4 4 4 4 4

TaBlE 2. regions5 considered for the PreParation of the diagnosis


2.1.2 dimension by producer strata afterwards, the mexican rural producers and fishermen, defined in rural economic Units (reU), were classified in six different strata according to their social and economic characteristics.

this classification of the mexican rural sector not only made it possible to identify the relevant stakeholders and categorize them into groups, but it also facilitated the field work for the collection of information in the subsequent phases of analysis of the diagnosis.

section 2.6 presents the relevant stakeholders identified in each of the nine regions established in this stage, including, for example, local and federal government institutions, academic and research institutions, representative producers and representatives of the communities of each region.

the stakeholder analysis is a reference in the following phases of the project cycle. for example, in the design stage the analysis guides the selection of the appropriate alternative toward the one that meets the needs and expectations of the target group. in the execution stage the collaborating groups can be identified in order to achieve an activity or output. the stakeholder analysis is dynamic, since as the project progresses, new stakeholders are integrated or emerge, and therefore it should be considered an ongoing process.

2.2 identification and analysis of problems of the Mexican rural and fishing sector

for the identification and analysis of problems of the mexican rural and fishing sector, national sources such as the following were reviewed: agriculture information system for consultation (siacon), national statistics and geography institute (inegi), bank of mexico (banXico), national banking and securities commission (cnbv), national Population council (conaPo), national social development Policy evaluation council (conevaL), national aquaculture and fishing commission (conaPesca), ministry of the environment and natural resources (semarnat) and the ministry of the economy (se); and international sources such as: the organization for economic cooperation and development (oecd), the United nations food and agriculture organization (fao) and the economic commission for Latin america and the caribbean (cePaL).

in addition to the documentary review, the following methods were utilized: a) interviews of the relevant stakeholders of each of the nine regions established in the geographic demarcation, b) polls taken through online surveys, and c) expert meetings.

two rounds of field interviews were conducted. the first was done in order to make a preliminary identification of the problems. the purpose of the second was to confirm the problems and deepen the analysis as to how they affect the sector. the interviews were applied to the relevant stakeholders of the sector as well as to government officials, members of academia and producer and community representatives.

three types of semi-structured interviews were prepared:

1. interview guide for executives.

2. instrument for the definition of relevant problems.

3. guide for obtaining information in rural localities.

each of these instruments was designed to capture information in the three important spheres of the mexican rural and fishing sector diagnosis, which are the economic, social and environmental areas, as well as the institutional. these instruments can be consulted in tools 2, 3 and 4.


18

RECoMMEnDaTIonS In ThE STRuCTuRIng oF ThE InTERvIEWS

1. in order to obtain information efficiently and usefully, the interviews should be designed according to the type of stakeholder. note that in this project three different interview forms were developed depending on the interviewee.

2. the interviews should be designed to obtain qualitative information on the problems detected in the documentary review and to go deeper into the causes. they should also be oriented toward the important spheres of the sector being analyzed. in the project the problems were analyzed according to the social, economic and environmental spheres.

in parallel to the field work, online surveys were taken with the purpose of exploring the problems that could not be identified in the documentary review and in the individual and group interviews, and to establish the primary problems that were being identified for each sphere.

for this purpose, an instrument was prepared that was distributed among local academic and scientific institutions, local officials and authorities, rural organizations, non-governmental organizations, and members of citizens organizations related to the problems and potential of the rural sector in mexico6. this instrument is available in tool 5.

one of the principal results obtained from these online surveys was the ordering of the three principal problems that researchers, academics and officials considered as relevant in the economic, social and environmental spheres, seen from their work or research perspective.

from the initial identification of the problems of the rural and fishing sector in the field work, a consultation of a group of experts was undertaken in order to validate their relevance and also to incorporate any problems that may have been left out of the initial analysis7.

the results of the meeting made it possible to validate the initial assumption that the problems of the rural and fishing sector are concentrated in the economic, social and environmental spheres, and to also validate the causes that explain the problems within each of these broad spheres.

as a result of the information collected through the documentary review, the interviews, the online surveys and the experts meeting, the initial layout of the tree with the problems affecting the mexican rural and fishing sector was prepared (tool 3).

the problem analysis is one of the most important phases of the diagnosis. therefore, the time and resources invested in carrying it out may be extensive. how expensive and time-consuming it will be will depend on the size of the study area and the resources available for doing it. nevertheless, whatever its scope, the problem analysis is, in all cases, the cornerstone on which the rest of the stages of analysis that lead to a good diagnosis and the design of effective programs and projects lie.

6 the instrument was called definition of relevant Problems for the mexican rural and fishing sector made up of a total of 150 questions with which each of the interviewees would define the three problems of greatest relevance for the rural economic units of mexico in the economic, social and environmental spheres.

7 in order to do such consultation an experts meeting on “analysis of the development Problems of the mexican rural sector” was organized in which 36 experts in the three spheres of the rural sector participated.


2.3 dimensioning the problems of the Mexican rural and fishing sector

in order to dimension the problems that affect the mexican rural and fishing sector, reference sheets were prepared for each of the problems identified, which contained:

• Conceptualdefinitionoftheproblem• Criteriathatdefinetheproblem• Indicatorsandvariablesthatsupportthecriteria• Sourcesofinformation.

these reference sheets made it possible to establish an initial assessment of the criteria and indicators in order to quantify the problems that were being analyzed. an example of a reference sheet can be seen in tool 6.

subsequently, the indicators were programmed through statistical software and analyzed in order to identify the most prevalent problems.

the main source of information was the baseline of the 2008 sagarPa Programs, which contained additional data on the social characteristics (years and levels of education of the producers, marginalization of the locality, sources of income, etc.); economic characteristics (profitability, yields, income of the rural economic units, etc.); administrative characteristics (assessment of knowledge, type of farm assets, access to information, etc.); and production characteristics (yields, level of technology, etc.) of mexico’s rural and fishing sector producers.

finally, to complement the dimensioning of the problems, case studies were conducted for those problems that did not have sources of information for their quantification, or for which indirect bibliographic sources were resorted to.

to carry out the studies, the following steps were taken:

a) selection of the topics of study

the selection of topics for doing case studies was based on the problem tree constructed during the first stage of field work. indicators were determined for each problem of the problem tree and those that did not have sources of information to support them were selected as topics for case studies.

based on the above criterion, the following topics were identified for carrying out case studies:

in the economic sphere:

• OutdatedtechnologyoftheRuralEconomicUnits• Reducedproductquality• MarketingbarriersfortheREU.

in the social sphere:

• Lowlevelofuseoflocalpotential• Lowlevelofskills• Lowlevelofdevelopmentofnon-agriculturalactivities.

in the environmental sphere:

• Lowlevelofdevelopmentofsustainabilitypractices.


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b) survey development

for the topics requiring verification, surveys were prepared in order to collect information on social aspects of the rural population, economic aspects of the agricultural, fishing, forestry, or non-agricultural activities carried out, and information concerning the condition and availability of the natural resources existing in the zones where the reU and the families are located (tools 7 and 8).

c) determination of the regions to conduct the case studies

the characterization of mexican rural space carried out by the Universidad nacional autónoma de méxico was used as a basis for selecting the study zone for applying the survey (annex 4). based on the assumption that it would be better to apply the survey in a differentiated manner among strata for the analysis of the problems and their causes, the following ten subregions were selected within the country: north, north central, central, southeast, and yucatán Peninsula as appropriate subregions for gathering social data; and northeast, north central, central, west and gulf as favorable subregions for obtaining economic data8. the details of the states and municipalities visited in each subregion can be consulted in section 2.9.

d) selection of households and economic units

once the subregions to be visited were determined, then the households and agricultural, forestry, fishing and non-agricultural economic units were selected.

once the information was collected, it was captured and analyzed in order to calculate the indicators that would complement the diagnosis of the rural sector9.

the purpose of dimensioning the problems is to know their magnitude; however, it is sometimes also the basis for identifying the potential population or focus area that will be addressed through a public program or project, and therefore it is linked with the following stage of analysis.

2.4 identification of the potential population

the process of identifying the potential population in the framework of the diagnosis of the mexican rural and fishing sector was very closely linked to the dimensioning of the problems. in other words, the indicators that were established to measure the magnitude of the problems were in turn the basis for characterizing (identifying) the potential population.

for example, one of the main problems that affects the most vulnerable strata of the mexican rural and fishing sector is “low level of human capital”. to measure the magnitude of this problem, indicators were established on the levels of education, nutrition and health conditions of the rural families. thus, that people “didn’t finished elementary school” was considered as a criterion for identifying the population affected by this problem.

the identification of the potential population clarifies the panorama regarding who or what needs to be worked on in order to design programs or projects that serve the population or area that really suffers the problems.

8 the first five subregions were called social subregions and the last five economic, according to the predominance of the strata in each of them. nevertheless, it must be clarified that economic, social and environmental information was obtained in all subregions.

9 a total of 399 interviews were done: 106 that collected information on the social aspects of the rural population, 170 interviews of reU with agriculture, fishing or forestry activities, and 123 interviews of reU with non-agriculture activities.


2.5 Quantification of the potential population the potential population was quantified starting with a field study that used a representative sample of the sector to quantify and characterize the rural population. the sampling framework was constructed through the review and integration of different sources of information which included censuses, databases of the programs and official sources of the mexican government.

2.5.1 stratification and characterization of the potential population

as part of the diagnosis, the rural economic Units were stratified. the variable that was used to segregate the reU was sales income (si), which was constructed as the global value of the product of the quantities sold at their respective sale price in the different activities carried out by the reU (agriculture, livestock, aquaculture, fishing, transformed products, forestry and non-agricultural rural activities). the source of information that was used for estimating this variable was the sample collected for the Baseline of the 2008 SAGARPA Programs (bL), which has economic and social data from 27,053 reU. however, 723 observations were excluded from the analysis, since they did not have sufficient information for their characterization.

all of the reU were classified initially in two large blocks: the first groups those reU whose si is equal to zero (which constituted stratus 1, self-consumption producers), and the second groups those whose si is greater than zero. to classify the units of block 2 (made up of 20,436 reU) a cluster analysis was conducted with the statistics program sPss (statistical Package for the social sciences v-16). considering the above criteria, five stratification stages were done; in each of them two groups were obtained, one small (which defined each new stratum) and one large, which was stratified again because it was too aggregate. finally, the stratification process resulted in the six strata that are presented in figure 6 and table 3.

FIguRE 6. totaL stratification by saLes of the rUraL economic Units

stratum 250.6%

stratum 38.3%

stratum 49.9%

stratum 58.4%stratum 6

0.3%

stratum 122.4%

Source: FAO-SAGARPA. 2012. Diagnóstico del sector rural y pesquero: Identificación de la Problemática del Sector Agropecuario y Pesquero de México.


22

StRAtA REU % REU by Stratus

Average sales

income

Range of sales income

Sales income

minimum

Sales income

maximum

e1: subsistence family without linkage to the market 1,192,029 22.4% - - -

e2: subsistence family with linkage to the market 2,696,735 50.6% 17,205 16 55,200

e3: ReU in transition 442,370 8.3% 73,931 55,219 97,600

e4: entrepreneurial with fragile profitability 528,355 9.9% 151,958 97,700 228,858

e5: thriving entrepreneur 448,101 8.4% 562,433 229,175 2,322,902

e6: dynamic entrepreneur 17,633 0.3% 11,700,000 2,335,900 77,400,000

total 5,325,223 100.0%


after the stratification came the characterization of each stratum. for that purpose a series of indicators were calculated that provided the social, economic and environmental information necessary to characterize and quantify their problems. for the above, the 2008 sagarPa Programs baseline was used, which contains the information needed to study the areas of interest. the list of indicators is presented in table 4.

Economic and production variables Social variables

access to economic information for productiondecision-making

coverage, amount and frequency of reception of government aid

access to training services average age

access to and use of credit amount of government aid by age range

Low penetration of the formal financial system in rural areas

Level of schooling by age range

market destination of livestock products degrees of marginalization

TaBlE 3. totaL stratification by saLes according to stratUs

TaBlE 4. indicators caLcULated for condUcting the diagnosis of the rUraL and fishing sector


Economic and production variables Social variables

Use of certifications access to labor market

equipment, infrastructure and transportation Level of poverty of the rural families

net income structurevariables for social characterization by stratum (schooling, language, etc.)

cost structure of non-agriculture rural activities

structure of total gross income

infrastructure for production and marketing

risk infrastructure

net sales income

sales income (variable for stratification)

total sales income from the three principal animal species

total sales income from the three principal crops

total income by stratum

Level of profitability of agricultural activities

Level of profitability of non-agricultural activities

Levels of technical innovation

number of equivalent heads of cattle per reU

obsolescence of farm assets

stocking rate

cost-benefit ratio of primary activities

cost-benefit-cost ratio of reU

ratio of net sales income to farm assets value

average yield, production and land area

ownership of farm assets

reU according to economic activity

reU according to market destination of sales

value of farm assets


as a result of the stratification and characterization of the problems that each stratum suffers, it is possible to construct differentiated problem trees, from which focused programs can be designed for each sector.


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2.6 Relevant actors of the Mexican rural and fishing sector

1. north Central Region (Chihuahua)

Sector Institution

government

ministry of agriculture, Livestock, rural development, fishing and food (state delegation)

state government – ministry of rural development

state government – ministry of industrial development

shared risk trust – chihuahua state management

aid and services to agriculture marketing – state Unit

trusts instituted in relation to agriculture

ministry of the environment and natural resources – state delegation

academia - research

autonomous University of chihuahua

centro de investigación en materiales avanzados, s.c.

national institute of forestry, agriculture and Livesock research

centro de investigación en alimentación y desarrollo a.c. (cd. cuauhtémoc)

center for natural resources research (salaices)

regional producers

regional livestock union of chihuahua

grupo UnifrUt

Unión de regiones de Productores forestales de chihuahua, a. c.

regional agricultural Union of yellow corn Producers and other grains and seeds of the state of chihuahua

representatives of the transformation link of agricultural value chains

communities rural communities

2. northwest Region (Sinaloa)

Sector Institution

government

ministry of agriculture, rural development, fishing and food (state delegation)

state government – ministry of agriculture, Livestock and fishing

state government – ministry of economic development

shared risk trust – sinaloa state management

aid and services to agriculture marketing – state Unit



Sector Institution

governmentministry of the environment and natural resources – state delegation

national aquaculture and fishing commission and national fishing institute

academia - research

autonomous University of sinaloa (culiacan)

center for food and development research (culiacan)

national institute for forestry, agriculture and Livestock research

national Polytechnical institute – interdisciplinary center for research on comprehensive regional development (guasave)

regional producers

caades

aarc

amPahc

regional Livestock Union sinaloa


3. northeast Region (Tamaulipas)

Sector Institution

government


ministry of rural development

social, cultural and athletic development

ministry of economic development and employment

environmental agency for sustainable development

ministry of the environment and natural resources – state delegation (victoria)

trusts instituted in relation to agriculture (victoria)

national water commission

national aquaculture and fishing commission

academia - research

autonomous University of tamaulipas – multidisciplinary agronomy and sciences unit (victoria)

tamaulipas science and technology council

national institute of forestry, agriculture and fishing research (field research río bravo)

foundation ProdUce tamaulipas (victoria)

regional center for fishing research of tampico

regional producers

fishermen

aloe vera

soy


26

Sector Institution

regional producers

sorghum

ranchers (cattle)


4. Western Region (Jalisco)

Sector Institution

government officers

shared risk trust – jalisco state management

trusts instituted in relation to agriculture – western regional office

ministry of the environment and natural resources – state delegation and national forestry commission

academia - research

autonomous University of guadalajara - center for agriculture and environmental research (tlajomulco)

center for research and technical and design assistance of the state of jalisco

national institute of forestry, agriculture and Livestock research

University of guadalajara – University center of biological and agricultural sciences

University of guadalajara – University center of Los altos

regional producers

state representative of three important value chains (agriculture – Livestock and transformation)


5. Bajio Region (guanajuato)

Sector Institution

government

state government – ministry of agricultural development

shared risk trust – guanajuato state management

aid and services to agriculture marketing – bajio regional office


ministry of the economy – state delegation



Sector Institution

academia - research

center of research and advanced studies of the national Polytechnical institute – irapuato Unit

technological agriculture institute 33 (juventino rosas)

state ecology institute (salamanca)

national institute of forestry, agriculture and Livestock research – northern research center (san Luis de La Paz)

University of guanajuato – agricultural sciences institute (ex hacienda el copal)

regional producers

state representatives of three important value chains (agriculture, fishing and transformation)


6. gulf Region (veracruz)

Sector Institution

government


state government – ministry of agriculture, rural, forest and fishing development


aid and services to agriculture marketing


state government –ministry of social development and the environment

ministry of the economy (state delegation)

ministry of social development - state delegation


national forestry commission – state delegation

national water commission – state delegation

academia - research

veracruzian University (veracruz)faculty of biological and agricultural sciences

veracruzian University faculty of agricultural sciences - Xalapa

graduate school in agricultural sciences-campus veracruz


veracruz institute for rural development and fishing

center for external evaluation


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Sector Institution

regional producers

Local association of cane sugar Producers

regional Livestock Union

asociación de empacadores y exportadores de cítricos del estado de veracruz a.c.

asociación veracruzana de la cadena Productiva del café, a.c.


7. Central Region (State of Mexico)

Sector Institution

government

ministry of agriculture, Livestock, rural development, fishing and food

ministry of agricultural development

ministry of social development

ministry of the environment and natural resources

national forestry commission

ProbosQUe

national water commission

water commission of the state of mexico

academia - research

center for external evaluation state of mexico

autonomous University of mexico (faculty of agricultural sciences and faculty of veterinary medicine and animal science)

agricultural technology institute

national institute of forestry, agriculture and Livestock research /cirse (field research valle de méxico / valle de toluca)

autonomous University of chapingo

graduate school in agricultural sciences

regional producers

ranchers organization

corn Producers organization

fruit Producers organization

horticulture organization



8. Southeast Region (oaxaca)

Sector Institution

government officers

shared risk trust – oaxaca state management

trusts instituted in relation to agriculture – western regional office

ministry of the environmental and natural resources – state delegation and national forestry commission

academia - research

center for forestry and agricultural research of oaxaca.

chapingo, regional University southern center of the south

national Polytechnical institute, interdisciplinary research center for comprehensive regional development-Unidad oaxaca.

University of the sea


regional producers

state representative of three important value chains (agriculture – Livestock and transformation)


9. yucatán Peninsula Region (yucatán)

Sector Institution

government


state government – state ministry of agriculture and fishing Promotion

state government – ministry of tourism development



national aquaculture and fishing commission, and national fishing institute

ministry of social development


academia - research

rural development agency and innovation agency

center for external evaluation yucatán

autonomous University of yucatán (faculty of biological and agricultural sciences)

centro de investigación científica de yucatán, a.c.


30

Sector Institution

academia - research

national institute of forestry, agriculture and Livestock research /cirse (field research c.e. mococha)

center for graduate research and studies in social anthropology - Peninsular

foundation ProdUce yucatán

regional producers

ranchers organization

beekeepers organization

fruit Producers organization

horticulture organization


2.7 Relevant problems in the Mexican rural and fishing sector

FIguRE 7. reLevant ProbLems in the economic sPhere according to resULts of the onLine sUrvey

15%

14%

12%

10%10%

9%

9%

9%

12%

High production costs.

Restrictions on flows of resources and working capital of producers.

technological backwardness.

low productivity levels of ReUs.

low profitability of the product marketing mechanisms across regions of Mexico.

deficient infrastructure for production, post-harvest and distribution.

excessive number of intermediaries.

inefficient production techniques.

others.

15%

14%

12%

10%

10%

9%

9%

9%

12%


FIguRE 8. reLevant ProbLems in the sociaL sPhere according to resULts of the onLine sUrvey

FIguRE 9. reLevant ProbLems in the environmentaL sPhere according to resULts of the onLine sUrvey

low income of rural households.

low productivity of agricultural activity.

low level of wellbeing of rural families.

low development and use of non-agricultural economic activities.

inadequate family health and nutrition conditions.

low development of job opportunities.

low level of employability in activities with compensation greater than the minimum required.

low savings capacity of families.

other.

25%

19%

15%

11%

9%

9%

6%4% 2% 25%

19%

15%

11%

9%

9%

6%

4%

2%

degradation of soil.

deforestation.

climate change.

environmental degradation.

low yields of the production activity.

contamination of aquifers.

environmental contamination.

inadequate soil management.

excessive artificialization of rural ecosystems.

other.

17%

14%

13%

12%

11%

10%

8%

7%

5% 3%17%

14%

13%

12%

11%

10%

8%

7%

5%

3%


32

2.8 Problem trees of the Mexican rural and fishing sector

Rural and fishing sector

not sustainably developed

Agricultural and fishing activities with low growth


Degradation of natural resources

Unfavorable economic

environment


FIguRE 10. ProbLem tree of the rUraL and fishing sector

FIguRE 11. caUses that eXPLain the Low growth of agricULtUraL and fishing activities

agricultural and fishing activities with

low growth

Low levels of productivity of the rural economic

units

Limited access to markets for agricultural and fishing products

Insufficient financing for agricultural and fishing activities

Unfavorable sanitary and phytosanitary

conditions

High risk levels in agricultural and fishing activities

Insufficient technological innovation in the rural and fishing sector

Low level of development of technical,

production and entrepreneurial

skills


FIguRa 12. caUses that eXPLain Poverty of rUraL famiLies

FIguRE 13. caUses that eXPLain the degradation of the natUraL resoUrces


Salinization of soil

Overexplotation of water

resources

Contamination of water and soil

Emissions of greenhouse

gases

Erosion of soilOverexploitation of fishing resources

FIguRE 14. caUses that eXPLain the UnfavorabLe economic environment

Unfavorable economic environment

Oligopolistic inputs marketOvervalued exchange rate Distorted international prices


Low income of rural households (monetary and non-monetary)

Low level of human capital

Inadequate family nutrition

and health conditions

Low levels of education of the

economically active rural population

Low level of development of non-agricultural

economic activities

Difficulties in the creation of companies or

initiation of projects

High dispersion of population in small localities

Failure to take advantage of local non-agricultural or fishing

activities

Low employability in activities

with a level of compensation

greater than the minimum wage

Low skills development

Low productivity levels of rural

economic units


34

FIguRE 15. caUses that eXPLain a weaK institUtionaL frameworK


Informal institutions that divert the sectoral policy

Little inter-institutional coordination

Weak regulation of the functioning of public programs

2.9 Regions and strata in the Mexican rural and fishing sector

Region States Municipalities Strata

north chihuahua

Urique

e1guachochi

batopilas

north central

durango mezquital

e1- e2Zacatecas valparaiso

jalisco huejuquilla el alto

central hidalgoemiliano Zapata

e2almoloya

southeast guerrero

cochoapa el grande

e1 – e2metlatónoc

tlacoachistlahuaca

yucatan PeninsulayucatánQuintana roo

tizimín e2

solidaridade1

Lázaro cárdenas

TaBlE 5. sociaL regions favorabLe for obtaining economic, sociaL and environmentaL information for the Poorest strata of the coUntry

(strata e1 and e2)


Region States Municipalities Strata

northwest

sinaloa ahome

e4-e5-e6sonora

hermosillo

cajeme

baja california surLa Paz

Los cabos

north central

chihuahua delicias e4-e5

durangogomez Palacio

e4Lerdo

coahuilasan Pedro

e3cuatrociénagas

centralhidalgo

apan e4-e5

actopan

e3ixmiquilpan

tepeapulco

estado de méxico texcoco e4

west

jaliscoencarnación de díaz

e4-e5-e6

Lagos de moreno

michoacán

Zamora

Uruapan

gabriel Zamora

gulf veracruz

Pánuco

e3-e4Álamo

tuxpan

TaBlE 6. economic regions favorabLe for obtaining economic, sociaL and environmentaL information for strata e3, e4, e5 and e6


36

2.10 Problem trees by stratus

FIguRE 16. STRaTuS E1: sUbsistence famiLy withoUt LinKage to the marKet

Food poverty of rural families

Low monetary income




Low levels of education of the rural

economically active population

Scarce labor opportunities

Low or no private

investment in rural areas

Insufficient agriculture and fishing production

Degraded natural

resources

Low endowment of capital

goods

Adverse weather events

Isolation of the rural

zones

Low technological

level


FIguRE 17. STRaTuS E2: sUbsistence famiLy with LinKage to the marKet

Poor capacity of rural families

Low income of rural homes




Low levels of education of the

economically active rural population

Low employability in activities with a level of compensation

greater than the minimum wage

Low productivity of agricultural activities

Low endowment of capital

goods

Low level of incorporation of technology

Inadequate use of

technologies

Degradation of the natural

resources in the rural and fishing

sector

Vulnerability to adverse

weather events


Deficient infrastructure and services

High dispersion of population in

small localities

Difficulties in the

creation of companies or initiation of projects

Low level of development and use

of non-agricultural economic activities

Failure to make use of local potencial

FIguRE 18. STRaTuS E3: rUraL economic Units in transition

Rural economic units with weak profitability

Low levels of production and

productivity


Weak integration of value chains

High vulnerability to weather

contingencies

Low level of technology

Low endowment of capital goods

Weak negotiating capacity of participants

Mistrust among the links of the value chain


Over exploitation of soil due to

bad agricultural practices

DeforestationOverexploitation

of fishing resources

Overexploitation of water

resources


38

FIguRE 19. STRaTuS E4: entrePreneUriaL with fragiLe ProfitabiLity

Fragile profitiability

Low level of entreprenuerial skills

Weak integration of the value chains

Low level of technology

Degradation of the natural resources

Low level of incorporation

of soft technologies

Low level of development of entrepreneurial

skills

Low levels of

innovation

Inadequate application

of technologies


resources

Contamination of water and

soil

Soil erosion

Overexploitation of fishing resources

Mistrust among links of the value

chain

Weak negotiating capacity of participants


FIguRE 20. STRaTuS E5: thriving entrePreneUr

Fragile competitiveness

Low level of entrepreneurial

skill

Low level of development of entrepreneurial

skills

Low level of incorporation

of soft technologies

Low level of incorporation of agricultural,

manufacturing and transportation best

practices

Reduced operating capacity

to develop a quality

certification strategy


resources

Contamination of water and

soil

Erosion and salinization

of soil

Insufficient technological

supply by public entities

High costs of access to private

technology

Uncertified product quality

Breach of contracts

Degradation of the natural

resources

Low level of access to institutional support

for exporting

High costs of innovation


FIguRE 21. STRaTuS E6: dynamic entrePreneUr

Unstable competitiveness

Unfavorable macroeconomic

environment

Risk of not responding to new market demands

Insecurity

Distorted international

prices

Inadequate institutional arrangments

Reduced operating

capacity to develop an

effective health strategy

Low levels of public

investment

Low levels of private

investment

Overvalued exchange

rate

Oligopolic inputs market

Low level of farm assets

Low level of entrepreneurial

innovation

Risks of loss of the country’s

sanitary and phytosnitary

status

Deficiencies in infrastructure for production and

marketing

Fragile profitability

Concentration of sales in few

markets


40


tools4 4 4 4 4 4 4 4 4 4 4 4 4 4 4 4 4 4 4 4 4 4 4 4 4 4 4 4 4 4 4 4 4 4 4 4 4 4 4 4 4 4 4 4 4 4 4 4

4 4 4 4 4 4 4 4 4 4 4 4 4 4 4 4 4 4 4 4 4 4 4 4 4

III


42

Tool 1

Policy analysis Matrix (PaM)

the Policy analysis matrix (Pam) methodology is a powerful and, at the same time, easily implemented tool which provides a basis for conducting diagnoses of production systems regarding their levels of competitiveness and comparative advantage. the Pam also aids in identifying the impacts of policy and market failures on competitiveness, and in simulating different scenarios to show how competitiveness is affected by, for example, opening markets, appreciation/depreciation of the exchange rate, or introduction/elimination of subsidies.

the Pam analysis is based on the preparation of budgets, at both market prices and social or shadow prices (opportunity costs). competitiveness is determined in function of the profitability at market prices and the comparative sales (or efficiency in the use of the domestic production resources) are estimated based on social prices (fao, 2007).

the Pam methodology was developed by eric a. monke and scott r. Pearson (1989). some professors of the food research institute of stanford University developed practical guides for the application of the Pam and, based on these and on their implementation in mexico, costa rica and colombia, fao prepared the manual competitividad de la agricultura en américa Latina y el caribe. matriz de análisis de Política: ejercicios de cómputo (fao, 2007).

Identification of the links of the agro-industrial chain

a competitiveness analysis of an agro-industrial chain requires the analysis of the links that form the chain. the first step in analyzing the links is to identify them and graphically determine the interrelationship between one link and another; in other words, to determine what each production system produces and which production system “follows” in the value chain when the products of such system are used as principal inputs.

the number of matrixes to be constructed grows as the number of links or production systems of each agro-industrial chain analyzed increases. for this reason it is important from the beginning to discriminate between the important links or production systems and those that are not, in order to maintain the total number of links and thus of matrixes manageable.

an example of this is presented in figure 22. in the diagram the processes, marked in a double line, are distinguished from the products, marked in a single line. furthermore, the most important links to analyze are identified marked in solid lines, while those of secondary importance for the analysis are marked in broken lines. the arrows indicate the direction that the chain flows, as well as the relative importance of the flows between one link and another. in this example, the direct livestock consumption of the primary product is considered of secondary importance for the analysis because, on the one hand, it represents a small proportion of the destination of the primary production and, on the other hand, it represents a relatively unimportant input for the livestock production system. also in this example, the consumption by the seed industry is considered of secondary importance for the analysis, not only because it represents a small proportion of the destination of the primary production, but also because, strictly speaking, the technology used to produce the primary product is different from the production technology for human or livestock consumption. both links would therefore be excluded from the system of matrixes that would be constructed to represent the agro-industrial chain.


supermarkets and grocery

stores

Product for consumption

in international market

direct livestock consumption

in the national market

industrialized product

stocking and export process

Production of crop X

Primary product

local industry

seed industry

seed

FIguRE 23. matrices for the anaLysis of a LinK of the agro-indUstriaL chain of a ProdUction system

Technical Coefficients

Costs of Recovery of Capital at

Market Prices

Budget at MarketPrices

Shadow Prices and Factors of

Conversion

Costs of Recovery of Capital at

Shadow Prices

Budget at ShadowPrices

Analysis of Policies and Indicators

iii

V

Market Prices

i

ii

iV

Vi

Vii

Viii

t E C H N I C A L N O t E

• each link of the agro-industrial chain of the production system is composed of eight matrices related by formulas.

• the matrices are ordered in a staggered manner on an excel worksheet. this allows for inserting columns and rows into a matrix, without affecting the format of the other matrices.

FIguRE 22. diagram of the agro-indUstriaL chain of the croP X


44

Construction of the matrix system at market prices

the analysis to determine the ratios of profitability and competitiveness of each link or system of production of an agro-industrial chain requires the construction of at least four matrixes (figure 23). the first is the technical coefficients matrix, with coefficients that describe the production technology.

generally, the technical coefficients are quantities of inputs and factors of production required by time unit or product or some specific factor of production. the technical coefficients also include product quantities, generally by unit of time or by unit of some factor of production.

the second matrix is for market prices (unit costs) for intermediate inputs, factors of production and products that have been included in the technical coefficients matrix. these prices or unit costs are called “market prices”, because they are the ones that the producer actually faces. these market prices or unit costs include transfers to the production system, which can be direct and/or indirect (such as interest rate subsidies, or import tariffs on competing products). these market prices or unit costs also include direct taxes on the production system, which can be direct (such as value added tax or the tariffs on the import of inputs and factors of production) and/or indirect (such as, for example, setting a ceiling price on corn to the local store).

the third matrix is for capital recovery costs. for production systems in which the costs of capital goods (machinery, equipment, vehicles, buildings, etc.) are not significant, or in which usually the average producer rents such capital goods, it is not necessary to construct the capital recovery costs matrix. generally, however, capital goods, also known as fixed capital, represent a significant part of production system investment. because capital goods have a useful life of several years, in contrast to production system budgets which are often annual or monthly, it is necessary to prorate the investment in fixed capital, allocating only a portion of such investment to the production system budget. therefore it will be necessary to construct a capital recovery cost matrix for each fixed capital good of the production system.

the fourth matrix is for the budget at market prices. this matrix is the result of multiplying the market prices by the corresponding technical coefficients; in other words, it is the result of multiplying cells of the second matrix by cells of the first one. the budget matrix at market prices is, therefore, a matrix in which the numeric values are the result of formulas created in excel. the first column of numeric values contains the formulas that multiply the market prices by the corresponding technical coefficients. and the second column of numeric values contains the sums of costs, by category of costs (intermediate inputs, labor and services, water, land and capital), as well as the sums of the income from the sale of the various types of products of the system.

as the example in table 7 shows, a supplementary section is added at the end in which the principal indicators of costs, income and the relationship between them (cbr) are summarized. this supplementary section will feed the policy analysis matrix that will be constructed later, and it will be the reference for the cost and price sensitivity analysis required for the determination of the profitability and competitiveness ratios of the production system.


CONCEPtS QUANtItIES tOtALS

InTERMEDIaTE InPuTS $ 500.00

seed $ 500.00

FaCToRS oF PRoDuCTIon $ 9,850.00

laBoR

i.- PreParation of soiL

PLowing $ 400.00

ii.- PLanting

shiPPing and handLing of seed $ 9,000.00

iii.- fertiLiZation

soiL anaLysis $ 150.00

vi.- Pest and disease controL

technicaL assistance $ 50.00

vii.- harvesting:

harvest handLing $ 200.00

viii.-varioUs services and fees

PLanting Permit $ 50.00

WaTER $ 1,650.00

water $ 1,650.00

lanD $ 1,500.00

rent of Land for s-s cycLe $ 1,500.00

CaPITal $ 2,589.09

cost of worKing caPitaL Loan $ 1,458.00

hoses and water PUmPing connections $ 1,131.09

yIElDS $ 17,850.00

ProdUction for eXPort $ 17,850.00

cost of production per hectare $ 16,089.09

cost of production per ton $ 4,596.88

gross income per hectare $ 17,850.00

gross income per ton $ 5,100.00

net income per hectare $ 1,790.91

net income per ton $ 503.12

cost-benefit ratio (cbr) at market prices 1.1110

10 this is an illustration, the matrix is not complete.

TaBlE 7. bUdget matriX at marKet Prices: ProdUction of an eXPort croP10


46

Calculation of budget at social prices or shadow prices

as the name implies, shadow prices are “behind” market prices. but, in contrast to the latter, shadow prices are “clean” of influences of governmental policies and programs. the methodology for calculating shadow prices is based precisely on this concept; that is, on “cleaning” the market prices of the influences of governmental policies and programs. it must be emphasized that the route the analyst uses for the calculation of shadow prices will depend on the type and quality of information he/she has; there is no single technique for calculating shadow prices, and the most that the analyst can hope to obtain is an approximation that at least contemplates the principal influences of policies and programs.

the influence that policies and programs exercise on prices is diverse, and it is not unusual to find market prices influenced by a multiplicity of governmental policies and programs that act in opposite directions. for example, an imported input whose market price is relatively higher because it pays the value added tax (vat), can reach the producer that uses it at a relatively lower price because the cost of transporting it from the border has been reduced by a government subsidy on the diesel used by the truck transporting it. to “discover” the shadow price of this input, the vat will have to be taken away and a greater cost of transportation will have to be added, which considers the shadow price of diesel (the price the diesel would have if it were not subsidized by the government). the resulting shadow price may be greater or less than the market price, depending on which of the two policy influences is preponderant11.

once the social or shadow prices are calculated, the “social” budget will be constructed using the same technical coefficients, but now applying the social prices. an example of a budget at social prices is presented in table 8.12


InTERMEDIaTE InPuTS $ 425.00

seed $ 425.00

FaCToRS oF PRoDuCTIon $ 7,862.00

laBoR

i.- PreParation of soiL

PLowing $ 306.00

ii.- PLanting

shiPPing and handLing of seed $ 7,250.00

iii.- fertiLiZation

soiL anaLysis $ 114.75

vi.- Pest and disease controL

technicaL assistance $ 38.25

vii.- harvesting:

harvest handLing $ 153.00

11 examples of how to estimate shadow prices of marketable inputs are found in Competitividad de la Agricultura en América Latina y el Caribe. Matriz de Análisis de Política: Ejercicios de Cómputo. fao, 2007. santiago, chile.

12 this is an illustration, the matrix is not complete.

TaBlE 8. bUdget matriX at sociaL Prices: ProdUction of an eXPort croP12



viii.-varioUs services and fees

PLanting Permit $ -

WaTER $ 1,650.00

water $ 1,650.00

lanD $ 1,500.00

rent of Land for s-s cycLe $ 1,500.00

CaPITal $ 2,810.30

cost of worKing caPitaL Loan $ 1,906.17

hoses and water PUmPing connections $ 904.14

yIElDS $ 19,950.00

ProdUction for eXPort $ 19,950.00

cost of production per hectare $ 14,247.30

cost of production per ton $ 4,070.66

gross income per hectare $ 19,950.00

gross income per ton $ 5,700.00

net income per hectare $ 5,702.70

net income per ton $ 1,629.34

cost-benefit ratio (cbr) at social prices 1.40

Construction and interpretation of the PAM

the calculation of the Pam (table 9) is simple because the rows of cells with incomes and costs at market prices and social prices are nothing more than formulas that link them to the corresponding cells in the two budget matrixes, one at market prices and the other at shadow prices. the first two cells of the profitability column correspond to the value of D and of h, which represent the net incomes of the production system, at market prices and at shadow prices, respectively; in other words, it is the result of having subtracted the costs from the gross incomes. the row of divergences is the result of subtracting the second row from the first row, and constitutes the positive or negative net transfers to the production system through the gross income and through the various cost items.

Income($/ha)

CoSTS ($/ha)

Profitability ($/ha)

Intermediate Inputs Factors of Production

labor, various Services and

FeesWater land Capital

at market prices $17,850 (a) $500 (b) $9,850 (c1) $1,650 (c2) $1,500 (c3) $2,589 (c4) $1,761 (d)

at shadow prices $19,950 (e) $425 (f) $7,862 (g1) $1,650 (g2) $1,500 (g3) $2,810 (g4) $5,703 (h)

divergences -$2,100 (i) $75 (j) $1,988 (K1) $0 (K2) $0 (K3) -$221 (K4) -$3942 (L)

TaBlE 9. PoLicy anaLysis matriX: ProdUction of an eXPort croP


48

Parting from the Pam and from the results of the budget matrixes, the key indicators of profitability can be summarized, and some indicators can be calculated that help the analyst (perhaps a public official) and the producer to better understand the impact that the set of government policies and programs affecting the production system have on the producer’s income, costs and profits. the costs items are multiplied by (-1) in order to facilitate the interpretation of the values of the indicators, by guaranteeing that the negative values always reflect negative transfers to the production system (taxes), and the positive values always reflect positive transfers to the production system (subsidies). these indicators, the formulas for their calculation, and the values based on the example presented in this document are provided in table 10.

INDICAtORSper

hectareper ton

market cost-benefit ratio (includes influence of public policies) 1.11 1.11

shadow cost-benefit ratio (without influence of public policies) 1.40 1.40

government transfers through the product = i -$2,100 -$600

government transfers through intermediate inputs = (-1) x j -$75 -$21

government transfers through costs of labor, various services and fees = (-1) x K1 -$1,988 -$568

government transfers through costs of water = (-1) x K2| $0 $0

government transfers through costs of land = (-1) x K3 $0 $0

government transfers through costs of capital = (-1) x K4 $221 $63

net government transfers to the production system = L -$3,972 -$1,126

increase or decrease of the gross income of the producer, attributable to public policies = (a - e)/e x 100

-11% -11%

increase or decrease of the costs of intermediate inputs attributable to public policies = (-1) x [(b-f)] x 100

-18% -18%

increase or decrease of the costs of labor, various services and fees attributable to public policies = (-1) x [(c1 - g1)/g1] x 100

-25% -25%

increase or decrease of the costs of water attributable to public policies = (-1) x [(c2 - g2)/g2] x 100

0% 0%

increase or decrease of the costs of land attributable to public policies = (-1) x [(c3 - g3)/g3] x 100

0% 0%

increase or decrease of the costs of capital attributable to public policies = (-1) x [(c4 - g4)/g4] x 100

8% 8%

increase or decrease of the net income of the producer attributable to public policies = (d - h)/ h x 100

-69% -69%

TaBlE 10. indicators of ProfitabiLity and of PUbLic PoLicy imPact: ProdUction of an eXPort croP


for this example in particular, the values of the indicators suggest the following interpretation:

• through various mechanisms, the government policies and programs cause the producer to fail to earn 29 centavos for each peso he/she invests in the production system; in other words, the producer fails to earn $3,942 pesos per hectare or $1,126 pesos per ton produced. the net income of the producer is reduced, therefore, by 69%.

• through various mechanisms, the government policies and/or the existence of market failure cause the value of the sales of the producer to diminish by $2,100 pesos per hectare, or $600 pesos per ton produced. the gross income of the producer is reduced, therefore, by 11%.

• through various mechanisms, the government policies and/or the existence of market failure cause the cost the producer pays for intermediate inputs to increase by $75 pesos per hectare or $21 pesos per ton produced. therefore, the cost of intermediate inputs is 18% more than it would have been in the absence of distortions.

• through various mechanisms, the government policies and/or the existence of market failure cause the cost that the producer pays for labor, services and other fees to increase by $1,988 pesos per hectare or $568 pesos per ton produced. therefore, the cost of labor, services and other fees is 25% higher given the distortions.

• the costs the producer pays for use of water and land are not affected by public policies or by market failure.

• through various mechanisms, the government policies cause the cost that the producer pays for working capital and fixed capital to decrease by $221 pesos per hectare or $63 pesos per ton produced. therefore, the cost of capital is 8% lower than it would have been in the absence of distortions.

based on these findings, policy recommendations can be made regarding specific links of the value chain, in function of the policy objectives pursued.


Fao. (2007). Competitividad de la agricultura en américa latina y el Caribe. Matriz de análisis de Política: Ejercicios de Cómputo. santiago, chile.http://www.fao.org/docs/up/easypol/769/comp_agri_america_221sp.pdf

Forero, Jaime, Sandra Saboya y Sorne Ezpeleta. (2007). la Competitividad de los Productores agropecuarios Colombianos Integrados a la Cadena de alimentos Balanceados para animales y a la Cadena láctea. Proyecto de asistencia Técnica de la Fao TCP/Col/3001. Fao. colombia.

gittinger, Price J. (1983). análisis Económico de Proyectos agrícolas. Instituto de Desarrollo Económico del Banco Mundial. editorial tecnos, madrid. también disponible en:http://www.stanford.edu/group/fri/indonesia/documents/gittinger/output/title.html

gotsch, Carl h., Scott R. Pearson y Sjaiful Bahri. (2003). Computer Tutorial for Policy analysis Matrix (PaM) in Indonesian agriculture.http://www.stanford.edu/group/fri/indonesia/newregional/newPamtutorial.pdf

Monke, Eric a. y Scott R. Pearson. (1989). The Policy analysis Matrix for agricultural Development. cornell University Press.http://www.stanford.edu/group/fri/indonesia/documents/pambook/output/cover.html


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SagaRPa-Fao. (2010). Metodología de la Medición de Competitividad de Sistemas Producto. méxico.http://www.sagarpa.gob.mx/programas2/evaluacionesexternas/Lists/otras%20evaluaciones/attachments/7/documentogeneralcompetividad.pdf

SEPSa-Fao. (2006). Estudio de Competitividad de la Porcicultura en Costa Rica con la Metodología Matriz de análisis de Política. Proyecto de asistencia Técnica de la Fao TCP/CoS/3001. secretaría ejecutiva de Planificación sectorial agropecuaria. costa rica.http://www.fao.org/ag/againfo/themes/documents/pigs/estudio_de_competitividad_de_la_Porcicultura_en_costa_rica_maP.pdf

SEPSa-Fao. (2006). Estudio de Competitividad del arroz en Costa Rica con la Metodología Matriz de análisis de Política. Proyecto de asistencia Técnica de la Fao TCP/CoS/3001. secretaría ejecutiva de Planificación sectorial agropecuaria. costa rica.


Tool 2

interview guide for high level officials

noTE To ThE InTERvIEWER:

High level officials will be interviewed explaining to them that the rural development policy is being analyzed, which involves a diagnosis of the problems that the rural areas suffer and a study of the institutional setting framing the implementation of the rural public policies in this country. the intention is to generate a sense of confidence, which implies not beginning with problem analysis, but rather with the most representative policy instruments and asking why they exist.

1. Reasons for the restructuring of the Programs of the Ministry of agriculture (What was the intention?)

Problems of the sector other topics

2. origin of the Program [name of the program the interview addresses]


3. Why do such subsidies currently exist? (What justifies them?)



52

4. origin of the program [name of the program the interview addresses]


5. Why do such subsidies currently exist? (What justifies them?)


6. Why does such program currently exist? (What justifies it?)



Tool 3

instrument for the definition of relevant problems

explain to the interviewee the spheres and units of analysis and ask: in this state, what percentage does each type of producer represent?

REUlarge

exporters

Mid-sizeREU with

export potential

Mid-size REU withregional or national market

orientation

Rural families or inhabitants that engage in various economic activities (industry and services)

Rural families that have small surplus they send to local markets

Rural families with agricultural production for self-consumption

Economic Sphere

Social Sphere

%

RU

RA

L E

CO

Sy

St

EM

S


54

1. EConoMIC SPhERE (we are thinking of the Large and mid-siZe reU. what relevant problems do they face?) the diagram is just to initiate the interview.

Low Levels of Income of the REU

Production Activity Concentrated in Primary

and Low Value Added Activities

Loss of Market Share

Low Profitability of the Production Activity

Low Levels of Productivity of REUs

Low Quality of Production Processes

Marketing Barriers

TechnologyDegraded

Rural Ecosystems

Combination of Production

Factors

TechnologyServices and Infrastructure

Asymmetry in information

Level of Contract

Compliance

Degraded Soil

Resource

Overexploited Water

Resource

Production Techniques

Machinery/Equipment

Post-harvest Management

Production Technologies

Sanitary conditions

Storage TransportationLabor Capital GoodsInputs

2. SoCIal SPhERE (we are thinking of the rUraL famiLies or inhabitants with agricultural production for self-consumption. what relevant problems do they face?). the diagram is only to initiate the discussion.

Precondition: context of vulnerability of the rural population: livelihoods insufficient for survival

Food Insecurity

Income of rural families below the minimum to cover basic

needs

Degradation of natural resources (soil, water and forest)

Self-employment in agricultural activities for self-consumption

Pressure to overexploit natural resources (monoculture)

Food poverty

Low levels of nutritional wellbeing

Very low levels of income

Deficient coverage and quality of basic services (education, health,

potable water and sewage)

Access to food of low nutritional quality

Concentration of rural households in agricultural

activities (self-consumption)

Restrictions on access to land for

youth

Lack of education of the rural population (youth)

Low levels of human development


3. SoCIal SPhERE (we are thinking of rUraL famiLies or inhabitants that have minimum surplus they send to local markets or that engage in various economic activities. what relevant problems do they face?)

hyPoThETICal EFFECTS

hyPoThETICal CEnTRal PRoBlEMS

hyPoThETICal CauSES

HISTORICAL CONTExT: Low growth of real historical income of rural households with self-consumption production (especially staple grains).

Vulnerability to natural disasters

Food insecurity

Income of rural families below the minimum to cover

basic needs

Dependence on public and private transfers

(remittances) to complement income

Contamination (affecting both the ecosystems and

the health of rural families)

Sustainability of ecosystems


Pressure to overexploit

natural resources

Self-employment in agricultural

activities for self-consumption

Temporary interregional

migration

International migration

(Reduction of rural population)

Employment in multiple low paying economic activities (commerce, basic

services, tourism and manufacturing)

Low investment in productive

options

Working capital

restrictionUnemployment

External factor: Low performance

of commercial agricultural

activity (problem of the economic

sphere)

Little possibility of substitution between assets and between production activities

Low levels of savings

Acquisition of skills and abilities inadequate for the demands of the

market

Capacities Poverty

Patrimony Poverty

Scarce or nonexistent options for

enforcing contracts (whether formal – microfinances – or informal – installments)

FOOD: Access to food below the minimum

nutritional level required (limited

capacity to satisfy everyday consumption).

HEALTH: Low quality public

health and social security services (and in some cases non-existing)

EDUCATION: Deficient

quality and coverage of rural

education

BASIC GOODS: Difficulties in providing clothing and shoes with minimum quality

HOUSING: Unsafe and unhealthy

conditions of the housing of rural families

BASIC SERVICES (Social Infrastructure):

Deficient coverage and quality of basic

services in the rural sector (public

transportation, potable water,

sewage, plumbing, public lighting, etc.)

Centralization of services and economic activities in capitals or centers of

economic activity.

Insufficient supply of forms

of financial intermediation (NGOs, savings banks, credit unions, micro-financers, etc.)


56

4. EnvIRonMEnTal SPhERE (was any problem indicated in the social sphere or in the economic sphere related to the environmental sphere? take this tree as a reference for the causes and effects of cLimate change, if this was indicated as a problem and if it is decided to go deeper into the matter)

Diminishing yields and therefore loss of productivity

Partial or total loss of harvests. Loss of livestock. Damage to

plantations

Damage to production infrastructure in zones with high risk of these

types of events

13% reduction in agricultural production attributable to

delayed rains and increased temperature

Reduction in the environmental services

derived from rural ecosystems (alteration of

sustainability)

Flooding of coastal zones due to extreme

precipitation. Droughts and early and late freezes.

Effect of flooding and strong winds due to

hurricanes

Pressure on the availability of water for the

agricultural sector

Thermal oscillations that stress crops and increase

consumptive use

Loss and alteration of rural ecosystems [loss of biodiversity (natural

capital that can be used by rural families)]

harm to production and the stock of production

infrastructure in the rural area. Problem of rural area in the environmental sphere derived directly from the effects of

climate variations

Cause 1: Greater frequency of

occurrence of extreme climate events

(hurricanes, droughts, freezes and hail)

Cause 2: Changes in trends and magnitudes

in time and space of precipitation and

temperature

Global Warming Natural Oscillations


5. EnvIRonMEnTal SPhERE (was any problem indicated in the social sphere or in the economic sphere related to the environmental sphere? take this tree as a reference for the causes and effects of deforestation, if this was indicated as a problem and if it is decided to go deeper into the matter)

Regional and medium and long-term

effect: Decrease of evapotranspiration (alteration of water

cycle at regional scale) and effect of thermal

changes on wind circulation

Intensification of runoff/Increased leaching and

loss of humus

Loss of secondary forest flora due to loss of

foliage (water impact and greater exposure to solar

radiation)

Loss of micro-fauna of the soil due to low thermal tolerance

Damage to soil structure due to thermal exposure and dehydration

Loss of arboreal plant cover

Loss of native fauna

Reduction in capture of carbon dioxide and

carbon monoxide

Underestimation of forest potential as economic activity

Legal and oversight problems

in land use

Government aid has incentivized agricultural over forestry activities

Few studies on the forest capacities

of soil

Infrastructure problems

The production of grains and vegetables as

monoculture has been promoted in order to guarantee food self-sufficiency in Mexico

Agricultural activities have been prioritized

regardless of the ecological capacities of

the regions

Little training in forest use

Poor marketing channels

Low financing and capitalization

Floods and landslides

Loss of productivity

Human and material losses

Degradation of ecosystems

Loss of fertility

Wind and water erosion

Indirect effect: reduction in

rainfall

Deforestation


58

6. EnvIRonMEnTal SPhERE (was any problem indicated in the social sphere or in the economic sphere related to the environmental sphere? take this tree as a reference for the causes and effects of inadeQUate soiL management, if this was indicated as a problem and if it is decided to go deeper into the matter)

Orographic and infrastructure characteristics

Soil degradation

Poor marketing / undercapitalization

Lack of motivation in the sector /

migrationLow training

Low profitability of the sector

Mismanagement of grassland

It is the most profitable and productive production system

due to its intensive use of energy and agrochemical,

technical simplicity and already established

marketing chains

Few studies on soil capacities Overgrazing Monoculture

Underutilization of soil

Excessive utilization of soil

Inadequate soil management

Effects of overgrazing

Effects of underutilization

Effects of intensive use of soil

(monoculture)

Reduction of non-deteriorating

processes / invasion of non-native species

Direct effect (negative):Low productivity due to use of crops inappropriate for the natural soil potential

Loss of biodiversity and plant cover / low moisture retention

Compacting of soil implies loss of filtration

capacity, greater vulnerability to wind

Chemical, biological and physical

deterioration of subsoil

Deterioration of grassland (ranching)

Indirect effect: erosion

Less profitability

Loss of fertility


noTES FoR ThE InTERvIEWER:

1) Objective of the instrument: guide the discussion based on the problems previously identified, in order to facilitate their corroboration and the identification of their causes and effects.

2) Stakeholders to whom the instrument is applied: this instrument should be applied during the interviews. the stakeholders to whom it can be applied are mid-level public officials, academic sector stakeholders and/or representatives of the value chains or rural organizations.

3) type of interview: the interview can be individual or by group.

4) Estimated duration of the interview: From 45 minutes to 1:30 hours.

5) Explanation that should be given to the interviewee(s):

a. it should be mentioned that the objective of the Diagnosis is to analyze the problems suffered by the sector and the rural population (as well as their causes and effects), in order to be able to establish the relevance and magnitude of such problems, to ensure that the current public policy instruments are oriented toward addressing and/or solving them.

b. in this regard, it should be explained that the objective of the interview is to be able to take advantage of the experience of the interviewees in order to back up the existence of the problems previously identified and be able to identify possible causes of such problems. it should also be explained that such information will be treated as confidential.

c. Finally, it should be explained that the interview will follow the sequence of steps described below.

6) the sequence of steps for conducting the interview is:

Step 1: explain that for purposes of the diagnosis we are viewing the rural environment from three spheres (economic, social and environmental), in which there are three units of analysis (ReU, rural families or self-consumption producers, and rural ecosystems). it is important to explain that the definition of these spheres follows from the need to abstract a reality as diverse as the rural environment, in order to facilitate the analysis of problems.

Step 2: Begin the discussion based on one of the units of analysis, indicating one of the problems that has been identified and its possible causes. For example: “The REU that carry out commercial production activity face a low productivity problem”.

ask: is this a relevant problem in the state? Why does it exist?

Step 3: if it is determined that the problem is relevant, proceed with the discussion of the causes and effects of such problem. Based on the results of the discussion, put the causes and effects in order for the problem at hand, following the problem tree diagram.


60

Tool 4

guide for obtaining information about the localities

1. Limits of the community (it could be a municipality or a locality if necessary)

2. natural resources (nr):

what are the principal nr available in the community? (who uses them and how?)

3. infrastructure of the community

what services exist in the community? (roads, irrigation infrastructure, health centers, schools, community centers)

4. means of livelihood

what types of activities do the habitants engage in? (agriculture, livestock, forestry, principal service activities such as grocery stores, banks, savings banks, etc. and industries in the community)


5. based on a comparison of the maps (of the past and the present) the history of the community is constructed

5.1 what has changed in the last ten years? why has it changed?

5.2 what have been the principal problems confronted in the last ten years? who have they affected and why (causes)?


62

noTE FoR ThE FaCIlITaToRS:

1. Considerations for planning the exercise:

a) ensure that, with the help of the responsible government officials, persons of the chosen communities are called in advance.

b) Explain to the community representatives, prior to the trip to the community, the objective and process of the visit.

c) Inform the corresponding local authorities (municipal presidents, community leaders, moral authorities, etc.) seeking their consent to the extent possible.

d) the use of some local infrastructure should be requested to carry out the process (school, auditorium, etc.)

e) the groups of participants should be from 5 to 15 persons, so that they are manageable.

f) ideally these groups should contain people who are old enough to remember how the community was and explain the changes it has gone through, but also young people who can lay out the principal challenges they face.

2. Considerations for conducting the process:

a) divide the people attending into two groups (in function of their age or gender)

b) take into account the topics set forth in this guide to construct two maps (map of the past and map of the present). the topics (points 1 to 4 of this guide) should be the same for the construction of both maps.

c) the map of the past should show how the community was ten years ago, and ideally it should be prepared with the older participants.

d) the map of the present should show the current situation of the community following the topics guide.

e) once both topics are concluded, they should be explained by the persons who made them and they should be compared. Based on this process the history of the community should be constructed and the problems its members face inferred.

3. Necessary materials that should be taken to the community:

a) Flip charts.

b) Box of colors or markers.

c) ideally a photographer or camera should be taken.


Tool 5

online survey: definition of relevant problems for the rural and fishing areas

WElCoME:

dear expert on rural matters:

we invite you to participate in the following survey on topics concerning the rural area. this survey will be used for the preliminary definition of a set of relevant problems that affect the country’s rural development. the data derived from this survey will be used to prepare a “diagnosis of the rural and fishing sector” which is of great importance for improving planning and the capacity to implement solutions to the problems identified. therefore, the information you can provide based on your knowledge and/or experience in the economic, social and/or environmental spheres of the rural area is of great relevance for this work.

an implicit commitment is that your information will be exclusively used for such work and it will be treated as confidential; this means that your personal data and the responses you give during the survey will not be disclosed individually.

the survey is structured in two stages: 1) an online questionnaire that will make it possible to explore and make a preliminary determination of those relevant problems that, from your experience/knowledge, affect the development of the country’s rural and fishing sector; and 2) a telephone conversation, based on the questionnaire, in order to go into greater depth on certain topics of interest for the analysis. once the information is systematized and processed, its results will be shared with you through your personal email.

we thank you in advance for your collaboration and participation in this project. if you have any concern or question in this regard we ask that you contact us at (put email contact here)

Kind regards,

fao, evaluation and analysis of rural Policies


64

InTRoDuCTIon:

many thanks in advance for your collaboration on this survey. your responses will allow us to enhance the problems exploration work in the framework of the “diagnosis of the rural and fishing sector” that the fao will be carrying out in the country throughout this year. this online survey is the first part of a survey composed of two stages, and its duration is from 15 to 20 minutes. it is very important that in the first section of this online survey you provide us with your telephone numbers so that we can communicate with you and complete the second stage of the survey, which will be a brief telephone interview.

we remind you that your information will be used only for this work and will be kept confidential. if you have any comment or question in this regard we ask that you contact use at the following email: (put the contact email).

Kind regards,fao, Policy evaluation and analysis

i. CONTaCT iNFOrMaTiON

i.1. complete name (in the format name, middle name, first Last name, second Last name):

i.2. name of the institution or organization where you work or which you represent:

i.3. Position:

i.4. type of institution or organization where you work or which you represent:a) institution or center of studies in the academic and research sector.b) agency of the national Public administrationc) agency of the Local governmentd) association or union of rural producerse) non-governmental organization or civil associationf) farmers organization

g) other. specify:

i.5. address of the institution or organization where you work or which you represent (in the format street, exterior number, interior number, colonia, Zip code, municipality, city, state, country):

i.6. telephone(s) (with area code):

i.7. Preferred time to receive calls:

i.8. email:


TyPology oF ThE RuRal EnTITIES

the following types of rural entities will be the reference for exploring the problems related to the economic sphere (rural economic Units-reU), social (rural families) or environmental (reU and rural families) of the rural and fishing area. to begin, based on your experience/knowledge, what percentage does each of the following types of producers/families represent in the country? (the sum of the six categories should be 100%).

(1) Large and exporting reU: ___%

comments: ________________________________________________________________________

(2) mid-size reU with exporting potential: ___%

comments: ________________________________________________________________________

(3) mid-size reU with regional or national market orientation: ___%

comments: ________________________________________________________________________

(4) rural families that engage in various economic activities (industry and services, or a mixture of these with agricultural activities): ___%

comments: ________________________________________________________________________

(5) rural families that have small surpluses destined for local markets: ___%

comments: ________________________________________________________________________

(6) rural families with agricultural production for self-consumption: ___%

comments: ________________________________________________________________________

SeCTiON 1: eCONOMiC SPHere (eS)

Section ES.1.:

for purposes of this section, we ask you to think about the relevant problems that the Large and mid-siZe rural economic Units (reU) have had to face.

based on the above, and on your experience/knowledge, in the following list of problems we have identified in advance, please indicate the three most relevant problems for the rural and fishing area.

if you consider that the problems selected should be renamed, to the left of each option we have left a space for renaming them. similarly, if you consider that the three most relevant problems are not included on the list, please choose the three primary problems and write in each section of comments each problem you will refer to when indicating the causes, effects and specific comments on such problems.

for the three problems you selected, two sections of questions will immediately be displayed in which you will be asked to specify the three to five causes and effects of each problem. each section will contain questions in order for you to provide more details on the options selected, as well as space for comments or specifications.


66

[Menu of causes and effects]:Low profitability of the agricultural production mechanisms with respect to other regions of the country.

Low profitability of the agricultural production mechanisms with respect to the profitability obtained by the reU and/or regions of other countries oriented toward international markets.

Low profitability of the mechanisms for marketing agricultural products with respect to other regions of the country.

Low levels of productivity of reUs.

sub-optimum production scale.

inefficient production techniques.

restrictions on rural producers’ funding flows and working capital.

Low quality of production processes.

barriers to marketing.

Low quality of products.

high costs of production.

technological backwardness.

sanitary and phytosanitary problems.

intermediaries.

monopsony.

breach of contracts.

deficient infrastructure for production, post-harvest and distribution.

Production activity concentrated in primary and low value added activities

scarce offering of financing by the formal and/or informal financial institutions


Section ES.2.:

Please describe what products and/or production chains are directly affected by this problem:

Section ES.3.:

Please list the regions, states and/or countries that are being specifically impacted by this problem:

Section ES.4.:

the purpose of this section is to inquire about the causes and effects of each relevant problem. Please choose option “c” if the problem is a caUse of the central problem that heads each block of problems; choose the option “e” if the problem is an effect of the central problem; choose “nr” if, based on your experience/knowledge, the problem is not reLated to the central problem; and choose “no answer” if you consider that you do not have sufficient information to classify the problem in one of the other three categories.

ES.4.1. low profitability of the agricultural production mechanisms with respect to other regions of the country

Problem C E nR na

Low levels of income of the agricultural reUs

Loss of market share in the agricultural markets


Low levels of productivity of agricultural reUs

restrictions on obtaining an optimum scale of production

Low quality of production processes

inefficient production techniques

Low level of development of adequate technologies for agricultural production

Low levels of investment in production infrastructure

restriction of cash flow (funding) and working capital

reduced profit margins of agricultural producers (especially those of staple grains)

reduction (negative historic trend) of formal credit for the agricultural sector

concentration of production on low yield products (primary production)

the social sector (community property) cannot guarantee the credit it requests.


68

Problem C E nR na

high transaction costs

Low level of cooperative and commercial agreements among participants of the production chains

degradation of rural ecosystems

Low capacity of producers to take advantage of or apply market information and new technologies

ES.4.2. low profitability of the agricultural production mechanisms with respect to the profitability obtained by the REu and/or regions of other countries oriented toward international markets

Problem C E nR na










high transaction costs

Low level of cooperative and commercial agreements among participants of the production chains


development of research and technology inappropriate for the ecological aptitudes of the rural regions


imperfections of technical assistance and innovation market

Low level of education of rural population

Low quality of marketing processes

deficient conditions of rural infrastructure (transportation and storage)

asymmetry in the application of standards and rules on quality, food safety and sanitary conditions.

Low level of education of the rural population


ES.4.3. low profitability of the mechanisms for marketing agricultural products with respect to other regions of the country

Problem C E nR na






Low level of cooperative and commercial agreements among participants in the production chains


Low quality of marketing processes

Low level of compliance with contracts

deficient coverage of services and infrastructure (transportation and storage)

asymmetry of information

asymmetry in the application of standards and rules on quality, food safety and sanitary conditions

ES.4.4. low levels of productivity of REus

Problem C E nR na




Low profitability of the agricultural production mechanisms with respect to other regions of the country

Low profitability of the agricultural production mechanisms with respect to other countries oriented toward international markets





reduced profit margins of agricultural producers (especially those of staple grains)


concentration of production in low yield products (primary production)

the social sector (community property) cannot guarantee the credit it requests


70

Problem C E nR na




ES.4.5. Sub-optimum production scale

Problem C E nR na




Low levels of productivity


Low profitability of the agricultural production mechanisms with respect to other countries oriented to international markets


Low development of adequate technologies for agricultural production



reduced profit margins of agricultural producers (especially staple grains)


concentration of production on low yield products (primary production)






ES.4.6. Inefficient production techniques

Problem C E nR na







Low level of development of technologies adequate for agricultural production






concentration of production in low yield products (primary production)




Low capacity of the producers to take advantage of or apply market information and new technologies

ES.4.7. Restrictions on rural producers’ funding flows and working capital

Problem C E nR na







Low level of development of technologies adequate for agricultural production


72

Problem C E nR na



restrictions on obtaining an optimum production scale



concentration of the production in low yield products (primary production)

the social sector (community property) cannot guarantee the credit it requests

ES.4.8. low quality of production processes

Problem C E nR na






Low profitability of the agricultural production mechanisms with respect to other countries oriented towards international markets



Low profitability of the agricultural marketing mechanisms



ES.4.9. Barriers to marketing

Problem C E nR na




Low profitability of the agricultural marketing mechanisms

Low level of compliance with contracts


Problem C E nR na

deficient coverage of services and infrastructure (transportation and storage)

asymmetry of information

SECTIon 2: SoCIal SPhERE oF RuRal FaMIlIES In FooD PovERTy (SSFP)

we move on now to the problems affecting rural families living in a situation of food poverty.

based on the above, and according to your experience/knowledge, please indicate the option that corresponds to the magnitude of the following pre-identified problems, based on their relevance for the rural and fishing areas. the scale begins at 1 if the problem has no relevance, and ends at 5 if the problem is very relevant. there is also the option “no answer”, which may be marked if you consider that none of the answer options apply for the problem in question.

for those problems that you qualify with relevance 4 or 5, two questions will immediately be displayed requesting details, whether on the products and/or production chains or on the regions, states and/or countries referred to in thinking about the relevant problem in question. additionally, a table will appear asking you to specify the causes and effects of each problem. Please be as specific as possible.

Low income of rural households.

Low productivity of agricultural activity.

Low level of development and use of non-agricultural economic activities.

Low capacity of employability in activities with a level of compensation greater than minimum wage.

scarce employment alternatives.

cultural aspects.

Low level of well-being of the rural families.

Low savings capacity of the families.

inadequate conditions of family health and nutrition conditions.


74

SSFP.1. Food poverty.

Section SSFP.2.:


Section SSFP.3.:

Please list the regions, states and/or countries that are being specifically affected by this problem:

Section SSFP.4.:

the objective of this section is to inquire about the causes and effects of each relevant problem. Please choose option “c” if the problem is a caUse of the central problem that heads each block of problems; choose the option “e” if the problem is an effect of the central problem; choose “nr” if, based on your experience/knowledge, the problem is not reLated to the central problem; and choose “no answer” if you consider that you do not have sufficient information to classify the problem in one of the other three categories.

Central problem: Food poverty

Problem C E nR na

food insecurity

degradation of natural resources (soil, water and forests)

self-employment in agricultural activities for self-consumption

income of rural families less than the minimum to cover basic necessities

very low levels of income

concentration of rural households in agricultural activities (self-consumption)

restrictions on access to land for youth

Low levels of nutritional wellbeing

access to nutritionally low quality food

deficient coverage and quality of basic services (education, health, potable water and sewage system)

Low educational levels of the rural population (youth)

Low levels of human development


SECTIon 3: SoCIal SPhERE oF RuRal FaMIlIES In SkIllS oR aSSETS PovERTy (SSSP)

we move on now to the problems affecting rural families living in situations of skills or assets poverty.

based on the above, and according to your experience/knowledge, indicate the option corresponding to the magnitude of the following pre-identified problems, based on their relevance for the rural and fishing area. the scale begins at 1 if the problem is not relevant, and it ends at 5 if the problem is very relevant. there is also the option of “no answer”, which may be chosen if you consider that none of the answer options apply to the problem in question.

for those problems you qualify with relevance 4 or 5, two questions will immediately be displayed requesting details, whether on the products and/or production chains or on the regions, states and/or countries referred to in thinking about the relevant problem in question. additionally, a table will appear asking you to specify the causes and effects of each problem. Please be as specific as possible.

SSSP.1. Skills poverty.

SSSP.2. assets poverty.

Section SSSP.3.:


Section SSSP.4.:


Section SSSP.5.:



76

Central problem: Skills poverty

Problem C E nR na

Low levels of saving

acquisition of skills and training inadequate for the demands of the labor market

Little flexibility of substitution among assets and among production activities

restriction of working capital

Low investment in production activities


access to food below the minimum nutritional level required (limited capacity to satisfy current consumption)

employment in multiple economic activities with low compensation (commerce, basic services, tourism and manufacturing)

Pressure to overexploit natural resources

Unemployment

temporary interregional migration

international migration (reduction of rural population)


Low quality public health and social security services (and in some cases non-existent)

sustainability of ecosystems

contamination (affecting both the ecosystems and the health of rural families)

vulnerability in the face of natural disasters

food insecurity

deficient quality and coverage of rural education.

income of rural families below the minimum needed to cover basic necessities

dependency on public and private transfers (remittances) to complement income

Central problem: asset poverty

Problem C E nR na

Low levels of saving

acquisition of skills and training inadequate for the demands of the labor market

Little flexibility of substitution among assets and among productive activities


Problem C E nR na

restriction of working capital

Low investment in production activities


access to food below the minimum nutritional level required (limited capacity to satisfy current consumption)

employment in multiple economic activities of low compensation (commerce, basic services, tourism and manufacturing)

Pressure to overexploit natural resources

Unemployment

temporary interregional migration

international migration (reduction of rural population)


Low quality public health and social security services (and in some cases non-existent)

sustainability of ecosystems

contamination (affecting both the ecosystems and the health of rural families)

vulnerability in the face of natural disasters

food insecurity

deficient quality and coverage of rural education

income of the rural families below the minimum needed to cover basic necessities

dependence on public and private transfers (remittances) to complement income

difficulties in providing clothes and shoes with minimum quality

insecure and unhealthy conditions of housing for rural families

deficient coverage and quality of basic services in rural areas (public transportation, potable water, sewage system, public lighting, etc.)

scarcity of offers of financial brokerage (ngos, savings banks, credit unions, micro-financers, etc.)

centralization of services and of economic activities in capitals or centers of economic activity.

scarce or non-existent options for enforcing contracts (whether formally or informally).


78

SECTIon 4: EnvIRonMEnTal SPhERE (EnS)

for purposes of the following questions, we ask that you think of the problems the ecosystems of the rural area have had to face over the last five years; the rate of recovery, maintenance or preservation of the natural resources; and their use as a means of livelihood within the subsistence strategies of rural families.

Section EnS.1.:

based on the above, and according to your experience/knowledge, please indicate the option corresponding to the magnitude of the following pre-identified problems, based on their relevance for the rural and fishing area. the scale begins at 1 if the problem is not relevant, and it ends at 5 if the problem is very relevant. there is also the option of “no answer”, which may be chosen if you consider that none of the answer options apply to the problem in question.

for those problems you qualify with relevance 4 or 5, two questions will immediately be displayed requesting details, whether on the products and/or chains or on the regions, states and/or countries referred to in thinking about the relevant problem in question. additionally, a table will appear asking you to specify the causes and effects of each problem. Please be as specific as possible.

EnS.1.1. Climate change.

EnS.1.2. Deforestation.

EnS.1.3. Inadequate soil management.

EnS.1.4. Excessive artificialization of the rural ecosystems.

Section EnS.2.:


Section EnS.3.:



Section EnS.4.:


climate change.

Low yields of the production activity.

deforestation.

environmental degradation.

soil degradation.

environmental contamination.

contamination of the aquifers.

contamination of surface waters.

inadequate soil management.

EnS.1.1. Climate change

Problem C E nR na

more frequent extreme climate events (hurricanes, droughts, freezes and hail)

changes in the space and time trends and magnitudes of precipitation and temperature

damage to production and production infrastructure in the rural area

Partial or total losses of harvests, livestock and plantations

damage to production infrastructure

reduction of yields and productivity

Pressure on the availability of water for the agricultural sector

oscillations in temperature that stress crops and increase consumptive use

Loss and alteration of rural ecosystems (biodiversity)

reduction of the environmental services offered by rural ecosystems (alteration of sustainability)


80

EnS.1.2. Deforestation

Problem C E nR na

Underestimation of the potential of forestry as an economic activity

Legal and enforcement problems in land use

Low skills in forestry activities

few studies on the capacity of land for forestry activities

insufficient forestry aid that has incentivized agricultural activities over forestry activities

reduced capture of carbon dioxide and monoxide

Loss of native fauna

Loss of arboreal plant cover

decrease of evapotranspiration (alteration of the water cycle at a regional scale)

reduction in rainfall

intensification of the runoff, increase of lixiviation, and loss of humus

Loss of secondary forest flora due to loss of foliage

Loss of soil micro-fauna due to low thermal tolerance

wind and water erosion

Loss of fertility

Loss of soil productivity

degradation of ecosystems

floods and landslides

human and material losses

EnS.1.3. Inadequate soil management

Problem C E nR na

Underutilization of soil

excessive utilization of soil

orographical and infrastructure characteristics

degradation of soil

few studies on the suitability of soil

Lack of training in the use of soil

migration

Low profitability of the sector

overgrazing

monocrops


Problem C E nR na

misuse of the grasslands

Loss of biodiversity and plant coverage

Low moisture retention

invasion of no native species

Low productivity due to use of crops unsuitable for the natural potential of soil

Loss of filtration capacity (more vulnerable to wind)

erosion

Loss of fertility

chemical, biological and physical deterioration of soil and subsoil

Less profitability of agricultural activities

EnS.1.4. Excess artificialization of the rural ecosystems

Problem C E nR na

complementing of water deficits with irrigation

Low technology transfer

insufficient soil fertility

excessive and inadequate use of agro-chemicals

resistance of pests and diseases

dependence on technological packages (intensive use of fertilizer, pesticides, improved seeds)

extensive use of agricultural machinery

aid for monocrops over extensive areas through various governmental subsidy schemes

Lack of land use regulation

small and insufficient areas of production

search for short-term increase in productivity

contamination of environmental resources by agro-chemical residues

negative effects on public health

biological loss of flora and fauna

deterioration of ecosystems

compacting and loss of physical, biological and chemical properties of soil

Loss of fertility

Low or non-existent sustainability of the agricultural sector


82

SECTIon 5: CoMMEnTS oR SPECIFICaTIonS

in this space please provide the comments or specifications you would like to make on the survey (including additional problems that have not been mentioned).

hElP

PRoBlEM: a negative situation or state that affected in the immediate past and continues to affect now: i) a population group, or ii) a territory within the economic, social and environmental sphere of the rural area. the negative situation that is considered a ProbLem should be current; in other words, it should be or have been present during the last five years, constantly or incrementally, in the rural area of the country. furthermore:

a) a problem is not a lack or absence of a solution, such as: Lack of financing for the rural sector.

b) a problem is not an expected solution to a problem, such as: greater support for producers is required.

c) a problem is not legal or institutional, such as: failure to establish the sustainable rural development commission; or insufficient personnel or budget.

d) a problem is not a precondition or fact, such as: fragmentation of the ownership of land; or change of market prices for grains, etc.


Tool 6

Performance indicator reference sheet to quantify the problems

PRoBlEM: PovERTy oF RuRal FaMIlIES

1. ConCEPTual DEFInITIon oF ThE PRoBlEM

A person in the rural area should have a net income of $7,326.6 annually in order to have minimum wellbeing. According to the data of the 2008 Base Line it was estimated that the REU families are composed of 3.28 equivalent adults, and therefore the income that would permit minimum wellbeing for the members of a REU is $24,029.

Indicator Criterion variable Source of information

Low income of rural families

Percentage of reU with net income less than or equal to the minimum baseline for wellbeing

- gross income

- total costs

- necessary income for the minimum wellbeing of a rural family

- baseline


84

PRoBlEM: loW lEvEl oF huMan CaPITal

1. ConCEPTual DEFInITIon oF ThE PRoBlEM

It would seem that there is a threshold (six years of basic education) after which the effect of formal education becomes more obvious and one can begin to clearly perceive an increase in the capacity to absorb new technologies, in the adaptation to specific conditions and in the general efficiency of utilization of inputs. there is an increase in productivity of around 2% per additional year of schooling after that threshold.

Indicator Criterion variable Source of information

Level of schooling

Percentage of reU with representatives that

finished primary school or less

- Level of schooling- baseline

- country statistics


Too

l 7

surv

ey b

y p

rod

uct

ion

str

ata

nat

ion

aL

dia

gn

osi

s o

f th

e r

Ur

aL

sec

tor

Ca

SE S

TuD

y

SuR

vEy

oF

PR

oD

uC

TIo

n u

nIT

S

Sug

gES

TIo

nS

Fo

R T

hE

PER

Son

aPP

lyIn

g T

hE

In

STR

uM

EnT:

:

•id

entif

y yo

urse

lf

•P

rese

nt th

e ob

ject

ive

of th

e in

stru

men

t

•a

ssur

e th

e in

terv

iew

ee o

f the

con

fiden

tialit

y of

the

info

rmat

ion

•e

xpla

in w

hy th

e P

U w

as c

hose

n (r

ando

m s

elec

tion/

repr

esen

tativ

enes

s of

the

regi

on)

Exa

mpl

e:

hel

lo, g

ood

mor

ning

/aft

erno

on, m

y na

me

is _

____

____

____

____

____

____

____

____

____

____

____

____

____

____

____

_. i

wor

k fo

r th

e U

nite

d n

atio

ns

food

and

agr

icul

ture

org

aniz

atio

n (f

ao

). w

e ha

ve c

hose

n yo

u to

pro

vide

us

info

rmat

ion

on th

e re

leva

nt p

robl

ems

in y

our r

egio

n an

d in

you

r Pro

duct

ion

Uni

t. w

e w

ould

app

reci

ate

it if

you

coul

d gi

ve u

s a

few

min

utes

of y

our

valu

able

tim

e to

ask

you

a fe

w q

uest

ions

. you

can

res

t ass

ured

that

all

the

info

rmat

ion

you

prov

ide

us w

ill b

e st

rictly

con

fiden

tial.

can

we

ask

you

a fe

w q

uest

ions

?

not

e:

•a

pply

this

inst

rum

ent o

nly

to P

rodu

ctio

n U

nits

(P

U).

•yo

u sh

ould

see

k ou

t the

ow

ner

or th

e ad

min

istr

ator

/man

ager

of t

he p

rodu

ctio

n un

it.

•r

emin

d th

e in

terv

iew

ee a

t all

times

that

the

info

rmat

ion

refe

rs to

the

year

20

##


86

inte

rvie

w d

ate

Que

stio

nnai

re n

umbe

r

day

mon

thye

ar

I.

PER

Son

al In

FoR

MaT

Ion

oF

ThE

In

TER

vIEW

EE

firs

t las

t nam

e se

cond

Las

t nam

en

ames

nam

e of

the

com

pany

(if

appl

icab

le)

stat

em

unic

ipal

ityLo

calit

y

tele

phon

e (o

ptio

nal)


II.

ECo

no

MIC

aCT

IvIT

IES

II.1.

Wha

t pr

oduc

tion

activ

ity(

ies)

do

you

enga

ge in

prim

arily

?

(mar

k th

e th

ree

mai

n ac

tiviti

es b

y im

port

ance

acc

ordi

ng to

the

inco

me

they

gen

erat

e,

indi

cate

the

num

ber

1 fo

r th

e m

ost i

mpo

rtan

t sou

rce

of in

com

e, th

e nu

mbe

r 2

for

the

activ

ity th

at g

ener

ates

the

seco

nd m

ost i

mpo

rtan

t sou

rce

of in

com

e an

d th

e nu

mbe

r 3

for

the

activ

ity th

at g

ener

ates

the

third

sou

rce

of in

com

e)

agr

icul

ture

(if a

ny o

f the

se o

ptio

ns a

re c

hose

n go

to S

ECTI

on

III

)Li

vest

ock

fore

stry

aqu

acul

ture

and

fi

shin

g (i

f thi

s op

tion

is c

hose

n go

to S

ECTI

on

vII

)

oth

er a

ctiv

ity n

ot

agric

ultu

ral

spec

ify: (if t

his

optio

n is

cho

sen

go to

SEC

TIo

n v

III)

III.

lan

D T

Enu

RE

III.1

. o

f th

e to

tal l

and

area

tha

t yo

u us

e in

you

r pr

oduc

tion

unit

III.1

.1. h

ow m

uch

land

are

a

is y

ours

?h

ecta

res

is r

ente

d?

hec

tare

s

othe

r: sh

arec

ropp

ing,

loan

ed o

r po

sses

sed

in a

noth

er fo

rm?

hec

tare

s

III.1

.2. W

hat

type

of

tenu

re d

o th

ese

land

s ha

ve?

Land

are

ais

it p

artit

ione

d?(y

es/n

o)h

as la

nd b

een

sold

?(y

es/n

o)

1.so

cial

hec

tare

s

2.c

omm

unal

hec

tare

s

3.P

rivat

e (s

mal

l pro

pert

y)h

ecta

res

4.o

ther

(sp

ecify

):h

ecta

res

Inte

rvie

wer

: If

the

inte

rvie

wee

eng

ages

in

ag

ric

ULt

Ur

e: g

o to

sec

tio

n iv

Live

sto

cK

: go

to s

ecti

on

vfo

res

try:

go

to s

ecti

on

vi

aQ

Ua

cU

LtU

re

an

d f

ish

ing

: go

to s

ecti

on

vii

no

n-a

gr

icU

LtU

re:

go

to s

ecti

on

viii


88

Iv.

ag

RIC

ulT

uR

al a

CTIv

ITIE

S

Ma

rke

tin

g

Iv.1

. In

the

yea

r 20

##

Wha

t di

d yo

u pl

ant?

(ind

icat

e na

me

of c

rop)

Wha

t la

nd a

rea

did

you

plan

t w

ith

annu

al c

rops

?

Wha

t w

as t

he

prod

ucti

on

cycl

e?(m

ark

with

an

X)

Wha

t la

nd a

rea

did

you

plan

t w

ith

prot

ecte

d ag

ricu

ltur

e?(g

reen

hous

e, t

unne

ls,

mic

ro-t

unne

ls,

plas

tic,

et

c.)

Wha

t la

nd a

rea

did

you

plan

t w

ith

pere

nnia

ls(e

.g..

frui

t tre

es, a

lfalfa

, gr

asse

s, s

traw

berr

ies,

ar

ticho

kes,

egg

plan

ts)

Wha

t la

nd a

rea

did

you

plan

t w

ith

othe

r cr

ops?

Wha

t vo

lum

e di

d yo

u ha

rves

t?

Was

it p

roce

ssed

?

Irri

gate

d?R

ain

fed?

SS

FWIr

riga

ted?

Rai

n fe

d?Ir

riga

ted?

Rai

n fe

d?ye

sn

o%

1.h

ecta

res

hec

tare

sh

ecta

res

hec

tare

sh

ecta

res

hec

tare

sh

ecta

res

tons

2.

hec

tare

sh

ecta

res

hec

tare

sh

ecta

res

hec

tare

sh

ecta

res

hec

tare

sto

ns

3.h

ecta

res

hec

tare

sh

ecta

res

hec

tare

sh

ecta

res

hec

tare

sh

ecta

res

tons

4.

hec

tare

sh

ecta

res

hec

tare

sh

ecta

res

hec

tare

sh

ecta

res

hec

tare

sto

ns

5.h

ecta

res

hec

tare

sh

ecta

res

hec

tare

sh

ecta

res

hec

tare

sh

ecta

res

tons

Iv.2

. o

f w

hat

was

har

vest

ed in

20#

#,a)

Prim

ary

prod

uct

Cro

p (f

ollo

w in

or

der

of

iv.1

)

how

muc

h di

d yo

u se

ll to

the

nat

iona

l mar

ket?

how

muc

h di

d yo

u se

ll to

the

ext

erna

l mar

ket?

how

muc

h fo

rse

lf-co

nsum

ptio

nSup

erm

arke

tsW

hole

sale

m

arke

tsM

iddl

eman

13In

form

al

mid

dlem

an14

Dir

ect

poin

t of

sal

eo

ther

(S

peci

fy):

Dir

ectl

y ex

port

edE

xpor

t th

roug

h br

oker

sD

irec

t po

int

of

sale

Sup

erm

arke

to

ther

s (S

peci

fy):

1to

nsto

nsto

nsto

nsto

nsn

ame

tons

tons

tons

tons

tons

tons

2to

nsto

nsto

nsto

nsto

nsn

ame

tons

tons

tons

tons

tons

tons

3to

nsto

nsto

nsto

nsto

nsn

ame

tons

tons

tons

tons

tons

tons

4to

nsto

nsto

nsto

nsto

nsn

ame

tons

tons

tons

tons

tons

tons

5to

nsto

nsto

nsto

nsto

nsn

ame

tons

tons

tons

tons

tons

tons

13

form

al c

ompa

ny s

peci

aliz

ed in

sto

rage

, log

istic

s, e

tc. (

see

sUr

vey

gU

ide)

.

14

Per

son

or g

roup

of p

erso

ns th

at in

form

ally

buy

the

prod

uctio

n fr

om th

e pr

imar

y pr

oduc

er.


b) P

roce

ssed

pro

duct

(m

ark

with

an

X)

Indi

cate

th

e in

put

crop

Type

of

prod

uct

proc

esse

d?

how

muc

h di

d yo

u se

ll to

the

nat

iona

l mar

ket?

how

muc

h di

d yo

u se

ll to

the

ext

erna

l mar

ket?

how

muc

h fo

rse

lf-co

nsum

ptio

nSup

erm

arke

tsW

hole

sale

m

arke

tsM

iddl

eman

15In

form

al

mid

dlem

an16

Dir

ect

poin

t of

sa

le

oth

er

crop

s?

(Spe

cify

):

Dir

ectl

y ex

port

edE

xpor

t th

roug

h br

oker

sD

irec

t po

int

of s

ale

Sup

erm

arke

to

ther

s (S

peci

fy):

nam

e

nam

e

nam

e

nam

e

nam

e

Iv.3

. h

ow d

id y

ou f

ind

or g

et a

cces

s to

you

r m

arke

t ni

che?

M

ark

wit

h an

X(f

ollo

w th

e or

der

of iv

.1)

12

34

5

thro

ugh

com

mer

cial

rel

atio

ns

thro

ugh

pers

onal

rel

atio

ns

i did

res

earc

h

i hire

d a

prof

essi

onal

thro

ugh

a br

oker

the

gove

rnm

ent h

elpe

d m

e

the

orga

niza

tion

i bel

ong

to h

elpe

d m

e

oth

er (

spec

ify):

15

form

al c

ompa

ny s

peci

aliz

ed in

sto

rage

, log

istic

s, e

tc. (

see

sUr

vey

gU

ide)

.

16

Per

son

or g

roup

of p

erso

ns th

at in

form

ally

buy

the

prod

uctio

n fr

om th

e pr

imar

y pr

oduc

er.


90

Iv.4

. W

hat

do y

ou c

onsi

der

are

the

mai

n pr

oble

ms

in g

ettin

g yo

ur p

rodu

ct t

o th

e m

ost

impo

rtan

t m

arke

ts?

Pro

blem

sn

umbe

r by

ord

er o

f im

port

ance

(fol

low

the

orde

r of

iv.1

)

scar

ce in

fras

truc

ture

for

tran

spor

tatio

n1

23

45

scar

ce p

ost-

harv

est i

nfra

stru

ctur

e

Low

qua

lity

of th

e pr

oduc

t

Lack

of c

omm

erci

al c

onta

cts

Lack

of p

erso

nal c

onta

cts

non

-tar

iff b

arrie

rs

Lack

of k

now

ledg

e of

the

sale

s pr

oces

s

hig

h co

sts

of m

arke

ting

volu

me

of p

rodu

ctio

n in

suff

icie

nt to

sat

isfy

de

man

d

i don

’t ha

ve p

robl

ems

oth

ers,

spe

cify

Iv.5

. h

ow d

id y

ou s

et t

he s

ale

pric

e of

the

pro

duct

? (m

ark

with

an

X th

e co

rres

pond

ing

optio

n us

ing

the

nam

e of

the

mar

ketin

g ch

anne

l ind

icat

ed in

que

stio

n iv

.2: t

own

mar

ket,

info

rmal

mid

dlem

en, b

roke

r, et

c.)

Pro

cedu

re

Sel

ect

wit

h an

Xac

cord

ing

to t

ype

of c

ontr

act

Sel

ect

wit

h an

Xac

cord

ing

to t

ype

of c

ontr

act

Sel

ect

wit

h an

Xac

cord

ing

to t

ype

of c

ontr

act

Sel

ect

wit

h an

Xac

cord

ing

to t

ype

of c

ontr

act

Pro

duct

1P

rodu

ct 2

Pro

duct

3P

rodu

ct 4

Wit

hno

tarize

d co

ntra

ct

Sim

ple

Con

trac

tve

rbal

oth

er

(Spe

cify

Wit

h no

tarize

d co

ntra

ct

Sim

ple

Con

trac

tve

rbal

o

ther

(S

peci

fy

Wit

h no

tarize

d co

ntra

ct

Sim

ple

Con

trac

tve

rbal

oth

er

(Spe

cify

Wit

h no

tarize

d co

ntra

ct

Sim

ple

Con

trac

tve

rbal

o

ther

(S

peci

fy

the

buye

r se

t it

i neg

otia

ted

it w

ith th

e bu

yer

i set

it.

the

curr

ent

regi

onal

m

arke

t pric

e w

as u

sed


Pro

cedu

re

Sel

ect

wit

h an

Xac

cord

ing

to t

ype

of c

ontr

act

Sel

ect

wit

h an

Xac

cord

ing

to t

ype

of c

ontr

act

Sel

ect

wit

h an

Xac

cord

ing

to t

ype

of c

ontr

act

Sel

ect

wit

h an

Xac

cord

ing

to t

ype

of c

ontr

act

Pro

duct

1P

rodu

ct 2

Pro

duct

3P

rodu

ct 4

Wit

hno

tarize

d co

ntra

ct

Sim

ple

Con

trac

tve

rbal

oth

er

(Spe

cify

Wit

h no

tarize

d co

ntra

ct

Sim

ple

Con

trac

tve

rbal

o

ther

(S

peci

fy

Wit

h no

tarize

d co

ntra

ct

Sim

ple

Con

trac

tve

rbal

oth

er

(Spe

cify

Wit

h no

tarize

d co

ntra

ct

Sim

ple

Con

trac

tve

rbal

o

ther

(S

peci

fy

the

curr

ent

natio

nal m

arke

t pr

ice

was

use

d

the

curr

ent

inte

rnat

iona

l m

arke

t pric

e w

as u

sed

a g

over

nmen

t ag

ency

set

it

oth

er, s

peci

fy:

Iv.6

. In

form

atio

n re

gard

ing

the

paym

ent

for

the

sale

of

your

pro

duct

s:

Cro

p(f

ollo

w th

e or

der

of iv

.1)

Tim

e of

pay

men

t

Indi

cate

the

per

cent

age

(%)

for

each

of

the

mea

ns o

f pa

ymen

tTh

e th

ree

perc

enta

ges

–cas

h, c

heck

, ot

her-

mus

t ad

d up

to

100

%.

Did

you

hav

e an

y of

the

fol

low

ing

prob

lem

s in

col

lect

ing?

Mar

k w

ith

an X

Cas

hC

heck

oth

er f

orm

of

paym

ent

imm

edia

tely

%

%%

nam

eth

e bu

yer

did

not r

etur

n to

pay

.

15 d

ays

afte

r de

liver

ing

the

prod

uct

%%

%n

ame

the

chec

k th

ey g

ave

me

boun

ced.

1 m

onth

aft

er d

eliv

erin

g th

e pr

oduc

t%

%%

nam

eth

e ch

eck

was

exp

ired

2 m

onth

s af

ter

deliv

erin

g th

e pr

oduc

t%

%%

nam

eth

e bu

yer

did

not h

ave

mon

ey

6 m

onth

s af

ter

deliv

erin

g th

e pr

oduc

t%

%%

nam

eth

e bu

yer

did

not r

espe

ct th

e ag

reed

pric

e

oth

er%

nam

e%

nam

eth

ey p

enal

ized

me

for

low

qua

lity

they

did

not

pay

me non

e

oth

er, s

peci

fy


92

Te

ch

no

log

y a

nd

qu

ali

ty

Iv.7

. In

20#

#, h

ow d

id y

ou p

repa

re t

he s

oil i

n yo

ur P

u?

(ind

icat

e w

ith a

n X)

Cro

p na

me

(fol

low

the

orde

r of

iv.1

)

Trad

itio

nal t

illag

e (p

low

ing,

lig

ht p

low

ing)

wit

h an

imal

sTr

adit

iona

l till

age

(plo

win

g, li

ght

plow

ing)

wit

h m

achi

nery

Min

imal

till

age

Zero

till

age

oth

ers

(Spe

cify

):

1 2 3 4 5 Iv.8

. W

ho p

rovi

ded

you

with

see

d (r

epro

duct

ion

mat

eria

l)? (i

ndic

ate

with

an

X)

Cro

p na

me

(fol

low

the

orde

r of

iv.1

)R

epro

duce

s ow

n m

ater

ial

Buy

s ce

rtif

ied

repr

oduc

tion

m

ater

ial f

rom

a n

eigh

bor

Buy

s m

ater

ial i

n th

e cl

oses

t bu

sine

ssB

uys

cert

ifie

d m

ater

ial f

rom

sp

ecia

lized

sup

plie

rso

ther

s (S

peci

fy):

1 2 3 4 5 Iv.9

. R

egar

ding

the

am

ount

of

seed

:

Cro

p na

me

(fol

low

the

orde

r of

iv.1

)

Wha

t do

se d

idyo

u ap

ply?

(Kg/

ha o

r pl

ants

/ha

)

how

did

you

det

erm

ine

the

seed

dos

e th

at y

ou w

ould

use

(de

nsit

y of

pla

ntin

g)?

(mar

k w

ith a

n X

)

From

ow

n ex

peri

ence

Follo

wed

ne

ighb

ors’

re

com

men

dati

ons

Follo

wed

the

re

com

men

dati

ons

of

the

clos

est

busi

ness

Follo

wed

re

com

men

dati

ons

of

spec

ializ

ed s

uppl

iers

Follo

wed

re

com

men

dati

ons

of a

pro

fess

iona

l se

rvic

es p

rovi

der

oth

ers

(Spe

cify

):

1 2 3 4 5


Iv.1

0. I

n 20

##, ho

w d

id y

ou f

ertil

ize?

Cro

p na

me

(fol

low

the

orde

r of

iv.1

)

Che

mic

al f

ertiliz

ers

org

anic

fer

tiliz

ers

oth

ers

(Spe

cify

):1

23

41

2

nam

eD

ose

(Kg

or L

t/ha

)n

ame

Dos

e(K

g or

Lt/

ha)

nam

eD

ose

(Kg

or L

t/ha

)n

ame

Dos

e(K

g or

Lt/

ha)

nam

eD

ose

(Kg

or L

t/ha

)n

ame

Dos

e(K

g or

Lt/

ha)

1 2 3 4 5 Iv.1

1. I

n 20

##, di

d yo

u do

a s

oil a

naly

sis?

no

yes

Whe

n w

as t

he la

st t

ime

you

did

a so

il an

alys

is?

Iv.1

2. h

ow d

id y

ou d

eter

min

e th

e do

sage

of

fert

ilize

rs t

o ap

ply?

(in

dica

te w

ith a

n X)

Bas

ed o

n a

soil

anal

ysis

Did

a f

olia

r an

alys

is

From

ow

n ex

peri

ence

Follo

wed

reco

mm

enda

tion

s of

the

clo

sest

bus

ines

s

Follo

wed

reco

mm

enda

tion

s of

a p

rofe

ssio

nal s

ervi

ces

prov

ider

oth

ers

(Spe

cify

):

Iv.1

3. I

n 20

##, ho

w w

ere

you

supp

lied

with

fer

tiliz

ers?

(ind

icat

e w

ith a

n X)

From

org

anic

mat

ter

of t

he

prop

erty

or

clos

e by

Clo

sest

bus

ines

sB

ough

t vo

lum

es w

ith

own

orga

niza

tion

The

gove

rnm

ent

supp

lied

it (Sta

te,

Mun

icip

al)

oth

ers

(Spe

cify

):


94

Iv.1

4. I

n 20

##, w

hat

type

of

irrig

atio

n di

d yo

u ap

ply?

(in

dica

te w

ith a

n X)

Cro

p na

me

(fol

low

the

orde

r of

iv

.1)

Do

not

irri

gate

By

grav

ity

in e

arth

en

cana

l B

y gr

avit

y in

line

d ca

nal

By

cany

onB

y sp

rink

le,

drip

or

mic

ro-s

prin

kle

oth

ers

(Spe

cify

):

1 2 3 4 5 Iv.1

5. I

n 20

##, ho

w d

id y

ou d

eter

min

e w

hen

to ir

rigat

e an

d ho

w m

uch

wat

er t

o ap

ply?

(in

dica

te w

ith a

n X)

From

ow

n ex

peri

ence

By

irri

gati

on s

ched

ule

Follo

wed

nei

ghbo

rs’

reco

mm

enda

tion

sh

as a

sys

tem

to

mea

sure

ev

apot

rans

pira

tion

Follo

wed

rec

omm

enda

tion

s of

a p

rofe

ssio

nal s

ervi

ces

prov

ider

oth

ers

(Spe

cify

):

Iv.1

6 h

ow d

o yo

u de

tect

the

pre

senc

e of

pes

ts o

r di

seas

es?

(ind

icat

e w

ith a

n X)

From

ow

n ex

peri

ence

Con

sult

atio

n w

ith

a ne

ighb

orC

onsu

ltat

ion

wit

h a

busi

ness

obs

erva

tion

of

the

exte

nsio

nist

oth

er (

Spe

cify

):

Iv.1

7 h

ow d

o yo

u co

ntro

l pes

ts a

nd d

isea

ses?

(in

dica

te w

ith a

n X)

Do

not

cont

rol

Bio

logi

cal c

ontr

ol

Wit

h or

gani

c pe

stic

ides

Wit

h ch

emic

al p

esti

cide

so

ther

s (S

peci

fy):

Iv.1

8. h

ow d

o yo

u de

term

ine

the

dose

to

appl

y in

the

con

trol

of

pest

s an

d di

seas

es?

(ind

icat

e w

ith a

n X)

From

ow

n ex

peri

ence

ask

in t

he c

lose

st b

usin

ess

ask

the

ext

ensi

onis

to

ther

s (S

peci

fy):


Iv.1

9. W

hat

pest

icid

es d

id y

ou a

pply

in t

he p

rior

seas

on t

o co

ntro

l pes

ts a

nd d

isea

ses?

Cro

p na

me

(fol

low

the

orde

r of

iv.1

)

Che

mic

al p

esti

cide

so

rgan

ic p

esti

cide

s

oth

ers

(Spe

cify

):1

23

41

2

nam

eD

ose

(Kg

or lt

/ha)

nam

eD

ose

(Kg

or lt

/ha)

nam

eD

ose

(Kg

or lt

/ha)

nam

eD

ose

(Kg

or lt

/ha)

nam

eD

ose

(Kg

or lt

/ha)

nam

eD

ose

(Kg

or lt

/ha)

1 2 3 4 5 Iv.2

0. h

ow a

re t

he p

rodu

cts

to c

ontr

ol p

ests

and

dis

ease

s su

pplie

d? (

indi

cate

with

an

X)

From

org

anic

mat

eria

ls o

f th

e pr

oper

ty o

r cl

ose

byC

lose

st b

usin

ess

Buy

vol

umes

wit

h ow

n or

gani

zati

ono

ther

s (S

peci

fy)

Iv.2

1. In

20

##

, ho

w d

id y

ou c

ontr

ol w

eeds

?

Cro

p na

me

(fol

low

the

orde

r of

de

iv.1

)

Do

not

cont

rol

Bio

logi

cal

Con

trol

Mec

hani

cal

cont

rol

Wit

h or

gani

c pe

stic

ides

Wit

h ch

emic

al p

esti

cide

s

oth

ers

(Spe

cify

):1

23

12

3

(Ind

icat

e w

ith

an X

)n

ame

Dos

e (K

/ha)

nam

eD

ose

(K/h

a)n

ame

Dos

e (K

/ha)

nam

eD

ose

(K/h

a)n

ame

Dos

e (K

/ha)

nam

eD

ose

(K/h

a)

1 2 3 4 5


96

Iv.2

2. h

ow d

id y

ou h

arve

st?

(ind

icat

e w

ith a

n X)

Cro

p na

me

(fol

low

the

orde

r of

iv.1

)C

ompl

etel

y m

anua

lM

echa

nize

dTh

e bu

yer

of t

he p

rodu

ct d

oes

the

harv

est

oth

er (

Spe

cify

):

1 2 3 4 5 Iv.2

3. D

id y

ou d

o an

y po

st-h

arve

st h

andl

ing?

(ind

icat

e w

ith a

n X)

Cro

p n

ame

(fol

low

th

e or

der

of iv

.1)

non

eSto

rage

w

itho

ut

cont

rol

Sal

e in

bu

lk

Pac

kagi

ng a

ccor

ding

to

spe

cifi

cati

ons

of

the

clie

nt

Sto

rage

wit

h te

mpe

ratu

re c

ontr

ol

Sto

rage

wit

h co

ntro

lled

atm

osph

ere

Sto

rage

wit

h m

odif

ied

atm

osph

ere

Fum

igat

ion

for

expo

rtTr

ansp

orta

tion

to

mar

ket

in

refr

iger

atio

no

ther

(S

peci

fy):

ow

ne

xpor

ter

ow

ne

xpor

ter

ow

ne

xpor

ter

ow

ne

xpor

ter

ow

ne

xpor

ter

ow

ne

xpor

ter

1 2 3 4 5 Iv.2

4. D

id y

ou r

ecei

ve t

echn

ical

ass

ista

nce?

(in

dica

te w

ith a

n X

all t

he o

ptio

ns th

at a

pply

)

no

yes

The

tech

nica

l ass

ista

nce

you

rece

ived

was

:M

ark

wit

h an

Xh

ow o

ften

did

you

rec

eive

ass

ista

nce?

Mar

k w

ith

an X

From

who

m?

nei

ghbo

rs

suff

icie

nt

onc

e a

year

Why

bus

ines

s w

here

you

buy

in

puts

tw

ice

a ye

ar

ext

ensi

onis

tg

ood

qual

ityev

ery

mon

th

oth

er: s

peci

fy

rel

evan

tw

hene

ver

i req

uest

ed it

tim

ely

oth

er: s

peci

fyo

ther

(sp

ecify

):


Iv.2

5. D

o yo

u ha

ve a

ny t

ype

of c

ertif

icat

ion?

Type

of

cert

ific

atio

nIn

dica

te w

ith

an X

Bei

ng p

roce

ssed

Why

not

?M

ark

wit

h an

X

yes

saf

ety

no

doe

s no

t und

erst

and

conc

ept.

trac

eabi

lity

Kno

ws

wha

t cer

tific

atio

n is

but

doe

s no

t hav

e an

yone

to a

dvis

e hi

m/h

er.

bes

t agr

icul

tura

l Pra

ctic

es (

ba

P)

(saf

ety/

Labo

r/en

viro

nmen

t)d

oes

not h

ave

finan

cing

.

bP

m /

ha

cP

P /

iso

90

01 /c

lean

indu

stry

(t

rans

form

atio

n)d

oes

not n

eed

it, n

o on

e as

ks fo

r it.

oth

er (

spec

ify):

the

prod

uct d

oes

not r

equi

re c

ertif

icat

ion.

oth

er (

spec

ify):

Iv.2

6. I

n th

e la

st f

ive

year

s

hav

e yo

u m

ade

any

impr

ovem

ents

in t

he f

ollo

win

g pr

oces

ses?

Indi

cate

wit

h an

X t

he y

ear

they

wer

e m

ade

non

e, w

hy?

Mar

k w

ith

an X

20

#120

#220

#320

#4

20

#5

cha

nge

of g

enet

ic m

ater

ial

doe

s no

t kno

w w

hat t

echn

olog

ies

coul

d be

ado

pted

in th

e pr

oduc

tion

proc

ess

in th

e pr

epar

atio

n of

the

land

in p

lant

ing

Pro

duct

ion

syst

em d

oes

not r

equi

re in

nova

tion

in p

est,

dise

ase

and

wee

d co

ntro

lit

is v

ery

cost

ly

in h

arve

stin

gd

oes

not h

ave

reso

urce

s to

inve

st in

tech

nolo

gies

in th

e po

st-h

arve

st p

roce

ss

ther

e ar

e no

tech

nica

l per

sonn

el tr

aine

d to

impr

ove

the

prod

uctio

n sy

stem

in p

acka

ging

in th

e tr

ansp

orta

tion

of th

e pr

oduc

tth

e te

chno

logi

es a

vaila

ble

in th

e m

arke

t are

not

with

in r

each

(dis

tant

m

arke

ts)

acq

uisi

tion

of s

peci

aliz

ed v

ehic

les

in m

arke

ting

of th

e pr

oduc

tth

e re

sear

ch c

ente

rs d

o no

t gen

erat

e ne

w te

chno

logi

es

in th

e ad

min

istr

ativ

e pr

oces

sd

oes

not k

now

the

tech

nolo

gies

gen

erat

ed b

y th

e re

sear

ch c

ente

rse

xpan

sion

of i

nfra

stru

ctur

e

oth

er (

spec

ify):

oth

er (

spec

ify):


98

En

vir

on

me

nta

l

Iv.2

7. W

ater

the

Pro

duct

ion

uni

t us

es:

Com

es f

rom

(In

dica

te t

he p

erce

ntag

e):

Rec

eive

s pr

ior

trea

tmen

t (ind

icat

e th

e pe

rcen

tage

):

Pre

-tre

atm

ent (

exa

mpl

e: g

rills

, sie

ves,

grit

cha

mbe

rs a

nd d

egre

aser

s)%

wel

l:%

seco

ndar

y or

bio

logi

cal t

reat

men

t (ae

robi

c or

ana

erob

ic o

xida

tion

of o

rgan

ic m

ater

ial.

exa

mpl

e: a

ctiv

ated

slu

dge,

par

ticle

bed

s, o

xida

tion

pond

s an

d ot

hers

)%

Pip

e:%

Prim

ary

or p

hysi

cal-

chem

ical

trea

tmen

t (re

duce

s th

e su

spen

ded

mat

ter

thro

ugh

prec

ipita

tion

or s

edim

enta

tion

with

or

with

out r

eage

nts,

or

by

mea

ns o

f var

ious

typ

es o

f che

mic

al o

xida

tion)

%

dam

: %

oth

er:

%

oth

er:

%n

one:

%

doe

s no

t kno

w (

mar

k w

ith a

n X

)d

oes

not k

now

(m

ark

with

an

X)

Iv.2

8. y

our

wat

er is

(mar

k w

ith a

n X)

Sew

age

Cle

anTr

eate

d se

wag

e

Iv.2

9. h

ave

you

had

prod

uctio

n pr

oble

ms

due

to c

onta

min

atio

n in

you

r Pu

?

yes

no

Spe

cify

Iv.3

0. W

hat

prob

lem

is c

ause

d by

app

lyin

g m

ore

fert

ilize

rs t

han

nece

ssar

y?

(ind

icat

e w

ith a

n X)

non

eD

ecre

ases

th

e yi

eld

Con

tam

inat

es

soil

Con

tam

inat

es

grou

ndw

ater

Con

tam

inat

es

rive

rs a

nd

ulti

mat

ely

the

sea

oth

er (Spe

cify

):

Do

ES

no

T aPP

ly F

oR

FR

uIT

TR

EES

an

D P

aST

uR

ES

Iv.3

1. h

ave

you

plan

ted

the

sam

e cr

op f

or m

ore

than

thr

ee y

ears

in t

he

sam

e so

il? (i

ndic

ate

with

an

X)

yes.

Why

?n

o. W

hy?

it is

wha

t is

best

pro

duce

d in

this

re

gion

the

soil

is d

amag

ed (

loss

of f

ertil

ity)

bec

ause

i do

n’t h

ave

any

choi

ceth

e pr

ice

of th

e pr

oduc

t wen

t dow

n

it ha

s a

good

pric

ei c

onst

antly

cha

nge

the

crop

acc

ordi

ng

to m

arke

t dem

and

it is

the

only

one

i kn

ow h

ow to

pro

duce

cha

ngin

g cr

ops

is e

xpen

sive

it is

com

mon

pra

ctic

e in

cro

p ro

tatio

n

oth

er (

spec

ify):

oth

er (

spec

ify):

Iv.3

2. W

hat

do y

ou c

onsi

der

is t

he p

robl

em o

f pl

antin

g th

e sa

me

crop

m

ore

than

thr

ee y

ears

in t

he s

ame

soil?

(ind

icat

e w

ith a

n X)

non

eTh

e nu

trie

nts

are

exha

uste

dTh

e so

il er

odes

oth

er (

Spe

cify

):


Iv.3

3. h

as t

here

bee

n an

y ch

ange

in t

he la

nd u

se o

n th

e pr

oper

ty o

r an

y pa

rt o

f it

in t

he la

st t

en y

ears

?

Cha

nges

no

yes

Indi

cate

the

yea

r(s)

in w

hich

the

y oc

curr

edo

n w

hat

prop

orti

on o

f yo

ur p

rope

rty?

20

#120

#220

#320

#4

20

#520

#6

20

#720

#820

#9

20

#0

fore

st to

agr

icul

ture

fore

st to

Liv

esto

ck

agr

icul

ture

to L

ives

tock

(agr

icul

ture

, for

est,

Live

stoc

k) to

Urb

an

oth

er (

spec

ify):

Iv.3

4. W

hat

do y

ou c

onsi

der

are

the

mai

n pr

oble

ms

caus

ed b

y th

e in

adeq

uate

use

of

wat

er?

(in

dica

te w

ith a

n X)

non

eTh

e aq

uife

r is

dep

lete

dD

eser

tifi

cati

on o

ver

the

long

-ter

mTh

e bo

dies

of

wat

er a

re

cont

amin

ated

oth

er (

Spe

cify

):

not

e fo

r in

terv

iew

er:

Pro

ceed

with

the

ques

tions

on

mar

ketin

g, te

chno

logy

and

qua

lity

of th

e ec

onom

ic a

ctiv

ities

(se

ctio

ns: v

. Li

vest

ock;

vi.

fore

stry

; vii.

aqu

acul

ture

and

fis

hing

or

iX. n

on-a

gric

ultu

re)

that

the

PU

dec

lare

d in

que

stio

n 1.

in th

e ev

ent t

hat t

he P

U o

nly

decl

ared

agr

icul

tura

l act

iviti

es, g

o to

sec

tion

iX.

rel

atio

nshi

p P

U –

env

ironm

ent a

nd L

abor

.


100

v.

lIvE

STo

Ck a

CTIv

ITIE

S(C

attle

, Sh

eep,

Pou

ltry,

Pig

s, o

ther

s)

Ma

rke

tin

g

Iv.1

. In

20#

#

Wha

t di

d yo

u pr

oduc

e?(in

dica

te th

e ty

pe o

f liv

esto

ck y

ou h

ave)

how

man

y he

ads

of

catt

le, be

e co

loni

es

or f

emal

e re

prod

ucer

s di

d yo

u ha

ve in

tot

al in

yo

ur P

u?

of

all t

he a

nim

als

you

have

, ho

w m

any

are?

Mal

e re

prod

ucer

sFe

mal

e re

prod

ucer

sR

epla

cem

ent

fem

ales

Rep

lace

men

t m

ales

Bre

edin

gR

earing

Fatt

enin

gSte

ers

1.n

°n

°n

°n

°n

°n

°n

°n

°

2.n

°n

°n

°n

°n

°n

°n

°n

°

3.n

°n

°n

°n

°n

°n

°n

°n

°

4.n

°n

°n

°n

°n

°n

°n

°n

°

v.2.

In

20##

Spe

cies

(f

ollo

w th

e or

der

of v

.1)

how

muc

h di

d yo

u se

ll of

Fem

ale

repr

oduc

ers?

Rep

lace

men

t fe

mal

es?

Rep

lace

men

t m

ales

?B

reed

ing

anim

als?

Rea

ring

ani

mal

s?Fa

tten

ing

anim

als?

Ste

ers?

Milk

?E

ggs?

hon

ey?

1.n

°K

gn

°K

gn

°K

gn

°K

gn

°K

gn

°K

gn

°K

glt

Kg

ton

2.n

°K

gn

°K

gn

°K

gn

°K

gn

°K

gn

°K

gn

°K

glt

Kg

ton

3.n

°K

gn

°K

gn

°K

gn

°K

gn

°K

gn

°K

gn

°K

glt

Kg

ton

4.n

°K

gn

°K

gn

°K

gn

°K

gn

°K

gn

°K

gn

°K

glt

Kg

ton

v.3.

of

wha

t yo

u pr

oduc

ed in

20#

#,

Spe

cies

(f

ollo

w

orde

r of

v.

1)

Did

you

pro

cess

?h

ow m

uch

did

you

sell

to t

he n

atio

nal m

arke

t?h

ow m

uch

did

you

sell

to t

he e

xter

nal m

arke

t?

how

muc

h fo

rse

lf-co

nsum

ptio

nye

sn

oSup

erm

arke

tsW

hole

sale

m

arke

tsM

iddl

eman

17In

form

al

mid

dlem

en18

Dir

ectl

y ex

port

edE

xpor

t th

roug

h br

oker

so

wn

poin

t of

sal

eSup

erm

arke

to

ther

s

tons

tons

tons

tons

tons

tons

tons

tons

tons

tons

tons

tons

tons

tons

tons

tons

tons

tons

tons

tons

tons

tons

tons

tons

tons

tons

tons

tons

tons

tons

tons

tons

tons

tons

tons

tons

17

form

al c

ompa

ny s

peci

aliz

ed in

sto

rage

, log

istic

s an

d m

arke

ting.

18

Per

son

or g

roup

of p

erso

ns th

at in

form

ally

buy

the

prod

uctio

n fr

om th

e pr

oduc

er in

his

/her

uni

t of p

rodu

ctio

n.


v.4.

how

did

you

fin

d an

d ge

t ac

cess

to

this

mar

ket

nich

e?

Mec

hani

smM

ark

wit

h an

X

(fol

low

the

orde

r of

v.1

)

thro

ugh

com

mer

cial

rel

atio

ns1

23

4

thro

ugh

pers

onal

rel

atio

ns

i did

res

earc

h

i hire

d a

prof

essi

onal

thro

ugh

a br

oker

the

gove

rnm

ent h

elpe

d m

e

the

orga

niza

tion

i bel

ong

to h

elpe

d m

e

oth

er (

spec

ify):

v.5.

Wha

t do

you

con

side

r ar

e th

e m

ain

prob

lem

s fo

r ge

ttin

g yo

ur p

rodu

ct t

o th

e m

ost

impo

rtan

t m

arke

ts?

Pro

blem

sM

ark

wit

h an

X

(fol

low

the

orde

r of

v.1

)

scar

ce in

fras

truc

ture

for

tran

spor

tatio

n1

23

4

scar

ce p

ost-

harv

est i

nfra

stru

ctur

e

Low

qua

lity

of th

e pr

oduc

t

Lack

of c

omm

erci

al c

onta

cts

Lack

of p

erso

nal c

onta

cts

non

-tar

iff b

arrie

rs

Lack

of k

now

ledg

e of

the

sale

s pr

oces

s

hig

h co

st o

f mar

ketin

g

volu

me

of p

rodu

ctio

n in

suff

icie

nt to

sat

isfy

the

dem

and

doe

sn’t

have

pro

blem

s

oth

er (

spec

ify):


102

v.6.

how

do

you

set

the

sale

pric

e of

the

pro

duct

?

(mar

k th

e co

rres

pond

ing

optio

n us

ing

the

nam

e of

the

mar

ketin

g ch

anne

l ind

icat

ed in

que

stio

n v2

)

Pro

cedi

mie

nto

Sel

ect

wit

h an

Xac

cord

ing

to t

ype

of c

ontr

act

Sel

ect

wit

h an

Xac

cord

ing

to t

ype

of c

ontr

act

Sel

ect

wit

h an

Xac

cord

ing

to t

ype

of c

ontr

act

Sel

ect

wit

h an

Xac

cord

ing

to t

ype

of c

ontr

act

Pro

duct

1P

rodu

ct 2

Pro

duct

3P

rodu

ct 4

Wit

h no

tarize

d co

ntra

ct

Sim

ple

cont

ract

verb

al

cont

ract

oth

er,

(Spe

cify

):

Wit

h no

tarize

d co

ntra

ct

Sim

ple

cont

ract

ve

rbal

co

ntra

ct

oth

er,

(Spe

cify

):

Wit

h no

tarize

d co

ntra

ct

Sim

ple

cont

ract

ve

rbal

co

ntra

ct

oth

er,

(Spe

cify

):

Wit

h no

tarize

d co

ntra

ct

Sim

ple

cont

ract

ve

rbal

co

ntra

ct

oth

er,

(Spe

cify

):

the

buye

r se

ts it

i neg

otia

te it

w

ith th

e bu

yer

i set

it.

the

curr

ent

pric

e in

the

regi

onal

mar

ket

is t

aken

the

curr

ent

pric

e in

the

natio

nal m

arke

t is

tak

en

the

curr

ent

pric

e in

the

inte

rnat

iona

l m

arke

t is

take

n

a g

over

nmen

t ag

ency

set

s it

oth

er (

spec

ify):


v.7.

Inf

orm

atio

n re

gard

ing

paym

ent

for

the

sale

of

your

pro

duct

s:

Tim

e of

pay

men

t

Indi

cate

the

per

cent

age

(%)

for

each

of

the

mea

ns o

f pa

ymen

tTh

e th

ree

perc

enta

ges

– ca

sh,

chec

k, o

ther

– m

ust

add

up t

o 10

0%

.D

id y

ou h

ave

any

of t

he f

ollo

win

g pr

oble

ms

in

colle

ctin

g?M

ark

wit

h an

X

Cas

hC

heck

oth

er f

orm

of

paym

ent

imm

edia

tely

%

%%

spec

ifyth

e bu

yer

did

not r

etur

n to

pay

.

15 d

ays

afte

r de

liver

ing

the

prod

uct

%%

%sp

ecify

the

chec

k th

ey g

ave

me

boun

ced.

1 m

onth

aft

er d

eliv

erin

g th

e pr

oduc

t%

%%

spec

ifyth

e ch

eck

was

exp

ired

2 m

onth

s af

ter

deliv

erin

g th

e pr

oduc

t%

%%

spec

ifyth

e bu

yer

did

not h

ave

mon

ey

6 m

onth

s af

ter

deliv

erin

g th

e pr

oduc

t%

%%

spec

ifyth

e bu

yer

did

not r

espe

ct th

e ag

reed

pric

e

oth

er (

spec

ify):

%sp

ecify

%sp

ecify

they

pen

aliz

ed m

e fo

r lo

w q

ualit

y

they

did

not

pay

me

non

e

oth

er (

spec

ify)?

Te

ch

no

log

y a

nd

qu

ali

ty

v.8.

In

20##

, w

hat

prod

uctio

n sy

stem

did

you

use

? (i

ndic

ate

with

an

X)

Spe

cies

(f

ollo

w th

e pr

evio

us

orde

r)

Pro

duct

ion

syst

em

hav

e yo

u in

corp

orat

ed g

enet

ical

ly im

prov

ed s

peci

es?

Inte

nsiv

eS

emi-

inte

nsiv

eE

xten

sive

yes/

no

If y

es,

in w

hat

year

?

1 2 3 4 v.9.

In

20##

, w

hat

prev

entiv

e sa

nita

ry c

ontr

ol a

ctiv

ities

did

you

car

ry o

ut?

(ind

icat

e w

ith a

n X)

Spe

cies

(f

ollo

w th

e pr

evio

us o

rder

)a

pplie

d va

ccin

es f

or m

ost

prev

alen

t di

seas

esP

erio

dic

bath

sP

aras

ite

cont

rol

vene

real

dis

ease

con

trol

oth

er (

Spe

cify

):

1 2 3 4


104

v.10

. h

ow d

id y

ou d

etec

t th

e pr

esen

ce o

f di

seas

es?

(ind

icat

e w

ith a

n X)

Spe

cies

(fol

low

the

prev

ious

ord

er)

Bas

ed o

n ow

n ex

peri

ence

obs

erva

tion

of

a pe

rson

un

rela

ted

to t

he P

uo

bser

vati

on o

f th

e ex

tens

ioni

sto

bser

vati

on o

f th

e pr

ivat

e ve

terina

rian

oth

er (

Spe

cify

):

1 2 3 4 v.11

. h

ow d

id y

ou c

ontr

ol d

isea

ses?

(in

dica

te w

ith a

n X)

Spe

cies

(fol

low

the

prev

ious

ord

er)

Did

not

con

trol

Wit

h ho

me

rem

edie

sW

ith

med

icin

e bo

ught

in a

bu

sine

ssW

ith

med

icin

es r

ecom

men

ded

by a

ve

terina

rian

oth

er (

Spe

cify

):

1 2 3 4 v.12

. h

ow d

id y

ou d

eter

min

e th

e do

se t

o ap

ply

of t

he m

edic

ines

? (i

ndic

ate

with

an

X)

From

ow

n ex

peri

ence

ask

ed d

ose

whe

n I

boug

ht t

he m

edic

ine

Rec

omm

enda

tion

of

the

vete

rina

rian

oth

er (

Spe

cify

):

v.13

. In

wha

t pr

opor

tion

did

you

inte

grat

e th

e di

ffer

ent

inpu

ts w

ith w

hich

you

fed

you

r ca

ttle

? (i

ndic

ate

perc

enta

ge %

)

Spe

cies

(f

ollo

w th

e pr

evio

us o

rder

)n

atur

al g

rass

land

Est

ablis

hed

gras

slan

dB

alan

ced

feed

Feed

sup

plem

ents

oth

er (

Spe

cify

):

1%

%%

%%

2%

%%

%%

3%

%%

%%

4%

%%

%%


v.14

. h

ow d

id y

ou c

alcu

late

the

num

ber

of a

nim

als

or b

eehi

ves

in y

our

Pro

duct

ion

uni

t? (

indi

cate

with

an

X)

Spe

cies

(fol

low

the

prev

ious

ord

er)

Did

not

cal

cula

te

From

per

sona

l ex

peri

ence

I kn

ew t

he p

astu

re

inde

x I

mea

sure

d th

e fo

rage

pr

oduc

tion

as

indi

cate

d by

the

ext

ensi

onis

t,

vete

rina

rian

or

othe

r te

chni

cian

oth

er (

Spe

cify

):

1 2 3 4 v.15

. h

ow d

id y

ou in

sem

inat

e th

e sp

ecie

s of

you

r Pro

duct

ion

uni

t?

(onl

y ap

plie

s fo

r ca

ttle

, she

ep, g

oats

, pig

s) (

indi

cate

with

an

X)

Spe

cies

(f

ollo

w th

e pr

evio

us o

rder

)n

atur

al m

atin

g w

ith

loan

ed m

ale

nat

ural

mat

ing

wit

h ow

n m

ale

art

ific

ial i

nsem

inat

ion

wit

h lo

cal s

emen

art

ific

ial i

nsem

inat

ion

wit

h fr

ozen

se

men

oth

er (

Spe

cify

):

1 2 3 4 v.16

. D

id y

ou d

o es

trus

syn

chro

niza

tion?

(onl

y ap

plie

s fo

r ca

ttle

, she

ep, g

oats

, pig

s) (

indi

cate

with

an

X)

Spe

cies

(f

ollo

w th

e pr

evio

us o

rder

)ye

sn

o

1 2 3 4


106

v.17

. In

the

cas

e of

milk

pro

duct

ion

(onl

y ap

plie

s fo

r ca

ttle

, she

ep a

nd g

oats

) (i

ndic

ate

with

an

X)

Spe

cies

(fol

low

the

prev

ious

or

der)

how

did

you

do

the

milk

ing?

Do

you

have

a r

efri

gera

tion

tan

k?W

ere

you

paid

a h

ighe

r pr

ice

for

the

qual

ity

of t

he m

ilk?

Com

plet

ely

man

ual

In a

milk

ing

cham

ber

Wit

h m

obile

eq

uipm

ent

Milk

ing

cham

ber

wit

h st

atio

nary

equ

ipm

ent

oth

er (Spe

cify

):ye

sn

oye

sn

o

1 2 3 4 v.18

. In

the

cas

e of

sal

e as

car

cass

es (

indi

cate

with

an

X)

Spe

cies

(fol

low

the

prev

ious

ord

er)

how

was

the

sla

ught

er d

one?

Do

you

have

a r

efri

gera

ted

room

?W

ere

you

paid

a h

ighe

r pr

ice

for

the

qual

ity

of t

he p

rodu

ct?

Com

plet

ely

man

ual

In a

TIF

sl

augh

terh

ouse

oth

er (Spe

cify

):ye

sn

oye

sn

o

1 2 3 4 v.19

. D

id y

ou d

o an

y po

st-p

rodu

ctio

n ha

ndlin

g? (

indi

cate

with

an

X)

Spe

cies

(fol

low

the

prev

ious

or

der)

non

e

Pac

kagi

ng

acco

rdin

g to

clie

nt

spec

ific

atio

ns

Sto

rage

wit

h te

mpe

ratu

re c

ontr

olSto

rage

wit

h at

mos

pher

e co

ntro

lSto

rage

wit

h m

odif

ied

atm

osph

ere

Trea

tmen

t fo

r ex

port

Tran

spor

t to

mar

ket

in

refr

iger

atio

no

ther

(Spe

cify

):

ow

nW

ith

Exp

orte

r o

wn

Wit

h E

xpor

ter

ow

nW

ith

Exp

orte

ro

wn

Wit

h E

xpor

ter

ow

nW

ith

Exp

orte

ro

wn

Wit

h E

xpor

ter

1 2 3 4


v.20

. D

o yo

u ha

ve a

ny t

ype

of c

ertif

icat

ion?

Spe

cies

(f

ollo

w th

e pr

evio

us o

rder

)

yes,

spe

cify

(in

dica

te w

ith a

n X

)n

o, w

hy n

ot?

(ind

icat

e w

ith a

n X

)S

anit

ary

org

anic

Saf

ety

In p

roce

sso

ther

(Spe

cify

):

1sp

ecify

doe

s no

t und

erst

and

conc

ept

2sp

ecify

Kno

ws

but d

oes

not h

ave

anyo

ne to

adv

ise

him

/her

3sp

ecify

doe

s no

t hav

e fin

anci

ng

4sp

ecify

doe

s no

t nee

d it,

no

one

asks

for

it

the

prod

uct d

oes

not r

equi

re c

ertif

icat

ion.

oth

er (

spec

ify):

v.21

. D

o yo

u re

ceiv

e te

chni

cal a

ssis

tanc

e (i

ndic

ate

with

an

X)

no

yes

The

tech

nica

l ass

ista

nce

you

rece

ived

is:

Mar

k w

ith

an X

how

oft

en d

o yo

u re

ceiv

e as

sist

ance

Mar

k w

ith

an X

From

who

m?

nei

ghbo

rssu

ffic

ient

onc

e a

year

Why

bus

ines

s w

here

i bu

y in

puts

tw

ice

a ye

ar

serv

ice

prov

ider

goo

d qu

ality

ever

y m

onth

tif

slau

ghte

rhou

se

tech

nici

anr

elev

ant

whe

neve

r i n

eed

it

Priv

ate

vete

rinar

ian

tim

ely

oth

er (

spec

ify):

oth

er (

spec

ify):

oth

er (

spec

ify):


108

v.22

. In

the

last

fiv

e ye

ars

hav

e yo

u in

vest

ed in

tec

hnol

ogy

in t

he f

ollo

win

g pr

oces

ses?

Indi

cate

wit

h an

X in

wha

t ye

ar y

ou m

ade

inve

stm

ent

If y

ou h

ave

not

mad

e an

y in

vest

men

ts,

why

?M

ark

wit

h X

20

#120

#220

#320

#4

20

#5

gen

etic

mat

eria

ld

oes

not k

now

wha

t tec

hnol

ogie

s ca

n be

ado

pted

Pro

duct

ion

proc

ess

rep

rodu

ctio

nP

rodu

ctio

n sy

stem

doe

s no

t req

uire

inno

vatio

n

nur

sing

it is

cos

tly

fatt

enin

gd

oes

not h

ave

reso

urce

s to

inve

st in

tech

nolo

gies

gro

wth

ther

e ar

e no

tech

nica

l per

sonn

el tr

aine

d to

impr

ove

the

prod

uctio

n sy

stem

milk

ing

in th

e po

st-p

rodu

ctio

n pr

oces

sth

e te

chno

logi

es a

vaila

ble

in th

e m

arke

t are

not

with

in r

each

(d

ista

nt m

arke

ts)

in th

e tr

ansp

orta

tion

of th

e pr

oduc

tth

e re

sear

ch c

ente

rs d

o no

t gen

erat

e ne

w te

chno

logy

in th

e m

arke

ting

of th

e pr

oduc

td

oes

not k

now

the

tech

nolo

gies

gen

erat

ed b

y th

e re

sear

ch

cent

ers

in th

e ad

min

istr

ativ

e pr

oces

so

ther

(sp

ecify

):

exp

ansi

on o

f inf

rast

ruct

ure

oth

er (

spec

ify):

En

vir

on

me

nt

v.23

. D

id y

ou d

o an

y po

st-t

reat

men

t of

the

was

te a

nd r

esid

ue o

f th

e Pro

duct

ion

uni

t?

Trea

tmen

t

yes

(indi

cate

the

perc

enta

ge)

no

They

are

rec

ycle

d in

th

e Pu

They

are

sol

dTh

ey a

re t

aken

to

publ

ic la

ndfil

lsTh

ey a

re p

ut in

sp

ecia

lized

dep

osit

so

ther

sIn

dica

te w

ith

an X

was

tew

ater

%%

%%

%

con

tain

ers

%%

%%

%

man

ure

%%

%%

%


v.24

. h

as t

here

bee

n an

y ch

ange

in t

he u

se o

f la

nd o

r an

y pa

rt o

f it

in t

he la

st t

en y

ears

?

Cha

nges

yes

no

Indi

cate

the

yea

r(s)

in w

hich

the

y oc

curr

edo

ver

wha

t pr

opor

tion

of

your

pro

pert

y?20

#220

#320

#4

20

#520

#6

20

#720

#820

#9

20

#0

fore

st to

agr

icul

ture

fore

st to

Liv

esto

ck

agr

icul

ture

to L

ives

tock

(agr

icul

ture

, for

est,

Live

stoc

k) to

Urb

an

oth

er (

spec

ify):

v.25

. W

hat

do y

ou c

onsi

der

are

the

mai

n pr

oble

ms

caus

ed b

y th

e in

adeq

uate

use

of

wat

er?

(ind

icat

e w

ith a

n X)

non

eD

eple

tes

the

aqui

fer

Pro

duce

s de

sert

ific

atio

n ov

er t

he

long

ter

mB

odie

s of

wat

er a

re c

onta

min

ated

oth

er (

Spe

cify

):

not

e fo

r th

e in

terv

iew

er:

Pro

ceed

with

the

ques

tions

on

mar

ketin

g, te

chno

logy

and

qua

lity

of th

e ec

onom

ic a

ctiv

ities

that

the

PU

dec

lare

d in

que

stio

n 1.

(s

ectio

ns: v

i. fo

rest

ry; v

ii; a

quic

ultu

re a

nd f

ishi

ng o

r vi

ii. n

on-a

gric

ultu

re)

if th

e P

U o

nly

decl

ared

eng

agin

g in

live

stoc

k ac

tiviti

es, g

o to

Sec

tion

IX.

Rel

atio

nshi

p u

P –

Env

iron

men

t


110

vI.

Fo

RES

TRy

Ma

rke

tin

g

vI.1

. In

20#

#

Wha

t sp

ecie

s or

pro

duct

s di

d yo

u m

ake

use

of?

(indi

cate

the

nam

e)

Do

you

have

per

mit

s fo

r en

gagi

ng in

for

estr

y?h

ow m

any

hect

ares

did

you

use

?W

hat

was

the

vol

ume

cut

and/

or

gath

ered

?ye

sn

oSpe

cify

1h

ecta

res

m3

2h

ecta

res

m3

3h

ecta

res

m3

4h

ecta

res

m3

vI.2

. o

f w

hat

you

mad

e us

e of

in 2

0##

Spe

cies

(fol

low

the

orde

r of

vi.1

)

Did

you

pro

cess

it?

how

muc

h di

d yo

u se

ll in

the

nat

iona

l mar

ket?

how

muc

h di

d yo

u se

ll to

the

ext

erna

l m

arke

t?ye

sn

oS

awm

ills

Indu

stry

Mid

dlem

ano

ther

(Spe

cify

):M

ark

wit

h an

XIn

dica

te w

hat

proc

essi

ng y

ou d

id:

1m

3m

3m

3m

3m

3

2m

3m

3m

3m

3m

3

3m

3m

3m

3m

3m

3

4m

3m

3m

3m

3m

3

vI.3

. h

ow d

id y

ou f

ind

and

get

acce

ss t

o th

is m

arke

t ni

che? M

ark

wit

h an

X(f

ollo

w th

e or

der

of v

i.1)

12

34

thro

ugh

com

mer

cial

rel

atio

ns

thro

ugh

pers

onal

rel

atio

ns

i did

res

earc

h

i hire

d a

prof

essi

onal

the

gove

rnm

ent h

elpe

d m

e

the

orga

niza

tion

i bel

ong

to h

elpe

d m

e

oth

er (

spec

ify):


vI.4

. W

hat

do y

ou c

onsi

der

are

the

mai

n pr

oble

ms

for

gett

ing

your

pro

duct

to

the

mos

t im

port

ant

mar

kets

?

Pro

blem

s

Mar

k w

ith

an X

(f

ollo

w th

e or

der

of v

i.1)

12

34

scar

ce in

fras

truc

ture

for

tran

spor

tatio

n

scar

ce p

ost-

harv

est i

nfra

stru

ctur

e

Low

qua

lity

of th

e pr

oduc

t

Lack

of c

omm

erci

al c

onta

cts

Lack

of p

erso

nal c

onta

cts

non

-tar

iff b

arrie

rs

Lack

of k

now

ledg

e of

the

sale

pro

cess

hig

h co

sts

of m

arke

ting

volu

me

of p

rodu

ctio

n in

suff

icie

nt to

sat

isfy

the

dem

and

doe

s no

t hav

e pr

oble

ms

oth

er (

spec

ify):

vI.5

. h

ow d

id y

ou s

et t

he s

ale

pric

e of

the

pro

duct

? (m

ark

the

corr

espo

ndin

g op

tion

usin

g th

e na

me

of th

e m

arke

ting

chan

nel i

ndic

ated

in q

uest

ion

vi.2

)

Pro

cedu

re

Sel

ect

wit

h an

Xac

cord

ing

to t

ype

of c

ontr

act

Sel

ect

wit

h an

Xac

cord

ing

to t

ype

of c

ontr

act

Sel

ect

wit

h an

Xac

cord

ing

to t

ype

of c

ontr

act

Sel

ect

wit

h an

Xac

cord

ing

to t

ype

of c

ontr

act

Pro

duct

1P

rodu

ct 2

Pro

duct

3P

rodu

ct 4

Wit

h no

tarize

d co

ntra

ct

Sim

ple

cont

ract

verb

al

cont

ract

oth

er,

(Spe

cify

):W

ith

nota

rize

d co

ntra

ct

Sim

ple

cont

ract

ve

rbal

co

ntra

ct

oth

er,

(Spe

cify

):

Wit

h no

tarize

d co

ntra

ct

Sim

ple

cont

ract

ve

rbal

co

ntra

ct

oth

er,

(Spe

cify

):

Wit

h no

tarize

d co

ntra

ct

Sim

ple

cont

ract

ve

rbal

co

ntra

ct

oth

er,

(Spe

cify

):

the

buye

r se

t it

i neg

otia

ted

with

th

e bu

yer

i set

it.

the

curr

ent p

rice

in th

e re

gion

al

mar

ket w

as t

aken


112

Pro

cedu

re

Sel

ect

wit

h an

Xac

cord

ing

to t

ype

of c

ontr

act

Sel

ect

wit

h an

Xac

cord

ing

to t

ype

of c

ontr

act

Sel

ect

wit

h an

Xac

cord

ing

to t

ype

of c

ontr

act

Sel

ect

wit

h an

Xac

cord

ing

to t

ype

of c

ontr

act

Pro

duct

1P

rodu

ct 2

Pro

duct

3P

rodu

ct 4

Wit

h no

tarize

d co

ntra

ct

Sim

ple

cont

ract

verb

al

cont

ract

oth

er,

(Spe

cify

):W

ith

nota

rize

d co

ntra

ct

Sim

ple

cont

ract

ve

rbal

co

ntra

ct

oth

er,

(Spe

cify

):

Wit

h no

tarize

d co

ntra

ct

Sim

ple

cont

ract

ve

rbal

co

ntra

ct

oth

er,

(Spe

cify

):

Wit

h no

tarize

d co

ntra

ct

Sim

ple

cont

ract

ve

rbal

co

ntra

ct

oth

er,

(Spe

cify

):

the

curr

ent p

rice

in th

e na

tiona

l m

arke

t was

tak

en

the

curr

ent p

rice

in th

e in

tern

atio

nal

mar

ket w

as t

aken

a g

over

nmen

t ag

ency

set

it

oth

er (

spec

ify):

vI.6

. In

form

atio

n re

gard

ing

the

paym

ent

for

the

sale

of

you

prod

ucts

:

Tim

ing

of t

he p

aym

ent

Indi

cate

the

per

cent

age

(%)

for

each

mea

ns o

f pa

ymen

tTh

e th

ree

perc

enta

ges

–cas

h, c

heck

, ot

her

– m

ust

add

up t

o 10

0%

.W

hat

prob

lem

s di

d yo

u ha

ve t

o co

llect

?M

ark

wit

h an

X

Cas

hC

heck

oth

er f

orm

of

paym

ent

imm

edia

tely

%

%%

spec

ifyth

e bu

yer

did

not r

etur

n to

pay

.

15 d

ays

afte

r de

liver

ing

the

prod

uct

%%

%sp

ecify

the

chec

k th

ey g

ave

me

boun

ced.

1 m

onth

aft

er d

eliv

erin

g th

e pr

oduc

t %

%%

spec

ifyth

e ch

eck

was

exp

ired

2 m

onth

s af

ter

deliv

erin

g th

e pr

oduc

t %

%%

spec

ifyth

e bu

yer

did

not h

ave

mon

ey

6 m

onth

s af

ter

deliv

erin

g th

e pr

oduc

t %

%%

spec

ifyth

e bu

yer

did

not r

espe

ct th

e ag

reed

pric

e

oth

er%

spec

ify%

spec

ifyth

ey p

enal

ized

me

for

low

qua

lity

they

did

not

pay

me

non

e

oth

er (

spec

ify):


Te

ch

no

log

y a

nd

qu

ali

ty

vI.7

. In

20#

#, d

id y

ou h

ave

fore

st a

rea

plan

ted

on y

our

Pu?

yes

Wha

t sp

ecie

s?

no

Why

?

vI.8

. h

ow d

id y

ou o

btai

n th

e pl

ants

in o

rder

to

mai

ntai

n th

e fo

rest

are

a th

at y

ou p

lant

ed?

(ind

icat

e w

ith a

n X)

Spe

cies

(fol

low

the

prev

ious

or

der

of v

i.1)

Rep

rodu

ced

own

mat

eria

lB

ough

t fr

om n

eigh

bors

mat

eria

l fro

m n

urse

ries

Bou

ght

mat

eria

l in

com

mun

ity

nurs

erie

sB

ough

t m

ater

ial i

n ce

rtifie

d nu

rser

ies

oth

er (

Spe

cify

):

1 2 3 4 vI.9

. In

20#

#, w

hat

plan

t ca

re d

id y

ou c

arry

out

in y

our

fore

st?

(ind

icat

e w

ith a

n X)

Spe

cies

(fol

low

the

prev

ious

ord

er)

Pru

ning

Thin

ning

Phy

tosa

nita

ry

mea

sure

sW

eed

cont

rol

Fert

iliza

tion

oth

er (

Spe

cify

):

1 2 3 4 vI.1

0. D

id y

ou d

o an

y po

st-p

rodu

ctio

n m

anag

emen

t? (i

ndic

ate

with

an

X)

Spe

cies

(fol

low

the

prev

ious

ord

er)

non

eD

ryin

gS

awin

gIn

dust

rial

pre

para

tion

oth

er (

Spe

cify

):In

term

edia

teFi

nal

1sp

ecify

spec

ify

2sp

ecify

spec

ify

3sp

ecify

spec

ify

4sp

ecify

spec

ify


114

vI.1

1. D

o yo

u ha

ve s

ome

type

of

cert

ifica

tion?

Spe

cies

(f

ollo

w th

e pr

evio

us o

rder

)

yes,

indi

cate

the

Sta

ndar

d th

at w

as c

erti

fied

no

San

itar

yEnv

iron

men

tal

Qua

lity

Indi

cate

the

cer

tifi

ed a

ctiv

ity:

In p

roce

sso

ther

(Spe

cify

):

1st

anda

rdst

anda

rdst

anda

rdsp

ecify

2st

anda

rd

stan

dard

st

anda

rd

spec

ify

3st

anda

rdst

anda

rdst

anda

rdsp

ecify

4st

anda

rdst

anda

rdst

anda

rdsp

ecify

vI.1

2. W

hy h

aven

’t y

ou s

tart

ed t

he c

ertif

icat

ion

proc

ess?

(in

dica

te w

ith a

n X)

Doe

s no

t kn

ow w

hat

it is

kno

ws

but

does

not

hav

e an

yone

to

advi

se h

im/h

erD

oes

not

have

fin

anci

ngD

oes

not

need

it,

no o

ne

asks

for

itTh

e pr

oduc

t do

es n

ot

requ

ire

cert

ific

atio

no

ther

(Spe

cify

):

vI.1

3. D

o yo

u re

ceiv

e te

chni

cal a

ssis

tanc

e? (

indi

cate

with

an

X)

no

yes

The

tech

nica

l ass

ista

nce

rece

ived

is

:M

ark

wit

h an

XW

ith

wha

t fr

eque

ncy

did

you

rece

ive

assi

stan

ceM

ark

wit

h an

XFr

om w

hom

?

the

neig

hbor

ssu

ffic

ient

onc

e a

year

¿Por

qué

?b

uyin

g co

mpa

nytw

o tim

es a

yea

r

ext

ensi

onis

tg

ood

qual

ityev

ery

mon

th

oth

er (

spec

ify):

rel

evan

tw

hene

ver

it w

as n

eede

d

tim

ely

oth

er (

spec

ify):

oth

er (

spec

ify):

vI.1

4. I

n 20

##, di

d yo

u us

e an

y of

the

fol

low

ing?

(in

dica

te w

ith a

n X)

Stu

dies

for

the

de

velo

pmen

t of

for

estr

y m

arke

ts

Fore

st p

rodu

cts

prom

otio

n ca

mpa

igns

Trad

e m

issi

ons,

pro

mot

iona

l fai

rs a

nd/

or m

arke

t in

tegr

atio

n fo

rum

s D

irec

tory

of

expo

rter

s of

fo

rest

pro

duct

sC

olle

ctiv

e m

arks

of

fore

st p

rodu

cts

oth

er p

roce

ss t

o im

prov

e m

arke

ting

, sp

ecif

yn

one


vI.1

5. I

n th

e la

st f

ive

year

s, (i

ndic

ate

with

an

X th

e ye

ar e

xecu

ted)

hav

e yo

u m

ade

inve

stm

ents

in t

echn

olog

y in

the

fol

low

ing

proc

esse

s?

20

#120

#220

#320

#4

20

#5n

one,

why

?M

ark

wit

h an

X

gen

etic

mat

eria

l d

oes

not k

now

the

tech

nolo

gies

that

cou

ld b

e ad

opte

dP

rodu

ctio

n pr

oces

s

in th

e po

st-p

rodu

ctio

n pr

oces

sP

rodu

ctio

n sy

stem

doe

s no

t req

uire

inno

vatio

n

it is

ver

y co

stly

in th

e tr

ansp

orta

tion

of th

e pr

oduc

td

oes

not h

ave

reso

urce

s to

inve

st in

tech

nolo

gies

ther

e ar

e no

trai

ned

tech

nica

l per

sonn

el to

impr

ove

the

prod

uctio

n sy

stem

in th

e m

arke

ting

of th

e pr

oduc

tth

e te

chno

logi

es a

vaila

ble

in th

e m

arke

t are

not

with

in r

each

(d

ista

nt m

arke

ts)

in th

e ad

min

istr

ativ

e pr

oces

sth

e re

sear

ch c

ente

rs d

o no

t gen

erat

e ne

w te

chno

logi

es

exp

ansi

on o

f inf

rast

ruct

ure

doe

s no

t kno

w th

e te

chno

logi

es g

ener

ated

by

the

rese

arch

ce

nter

s

oth

er (

spec

ify):

oth

er (

spec

ify):

En

vir

on

me

nt

vI.1

6. h

as y

our

Pro

duct

ion

uni

t be

en a

ffec

ted

by il

lega

l log

ging

in a

ny r

ecen

t se

ason

s? (i

ndic

ate

with

an

X)

no

(ind

icat

e w

ith

an X

)

yes.

in w

hat

year

? (i

ndic

ate

with

an

X)

on

wha

t pr

opor

tion

of

your

pr

oper

ty?

Why

doe

s it

occ

ur?

20

#120

#220

#320

#4

20

#5

ther

e’s

no o

vers

ight

cor

rupt

ion

at p

oint

s of

ove

rsig

ht/in

spec

tion

insu

ffic

ient

ove

rsig

ht

oth

er (

spec

ify):


116

vI.1

7. h

as y

our

prod

uctio

n un

it be

en a

ffec

ted

by F

ores

t Fi

res

in a

ny r

ecen

t se

ason

s?

no

(ind

icat

e w

ith

an X

)

yes.

In

wha

t ye

ar?

(ind

icat

e w

ith a

n X

)o

n w

hat

prop

orti

on o

f yo

ur

prop

erty

?W

hat

caus

ed t

he f

ire?

20

#120

#220

#320

#4

20

#5

hig

h te

mpe

ratu

res

hum

an c

arel

essn

ess

(thr

owin

g ou

t of l

ight

ed c

igar

ette

but

ts, e

tc.)

Unc

ontr

olle

d bu

rnin

g pr

actic

es

indu

stria

l acc

iden

ts

oth

er (

spec

ify):

not

e fo

r in

terv

iew

er:

Pro

ceed

with

the

ques

tions

on

mar

ketin

g, te

chno

logy

and

qua

lity

of th

e ec

onom

ic a

ctiv

ities

(s

ectio

ns: v

ii. a

quac

ultu

re a

nd f

ishi

ng o

r vi

ii. n

on-a

gric

ultu

ral)

that

the

PU

dec

lare

d in

que

stio

n 1.

if th

e P

U o

nly

decl

ared

doi

ng fo

rest

ry a

ctiv

ities

go

toS

ecti

on I

X. R

elat

ions

hip

uP

– E

nvir

onm

ent

vII.

aQu

aCu

lTu

RE

an

D F

ISh

Ing

Ma

rke

tin

g

vII.1

. In

20#

#

Wha

t sp

ecie

s di

d yo

u cu

ltiv

ate

or e

xtra

ct?

(indi

cate

the

nam

e)vI

I.1.2

. a

quac

ultu

revI

I.1.3

. Fi

shin

g

aqu

acul

ture

(g

o to

vii.

2)Fi

shin

g(g

o to

vii.

1.3)

how

man

y M

3 o

f ca

paci

ty d

o yo

ur t

anks

or

cage

s ha

ve?

how

man

y ju

veni

les

did

you

prod

uce?

how

man

y an

imal

s di

d yo

u pr

oduc

e pe

r M

3 o

f w

ater

?W

hat

was

the

qua

ntit

y ex

trac

ted?

Do

you

have

a p

erm

it t

o ca

rry

out

the

acti

vity

? (y

es/n

o)

1.3

m3

juve

nile

sto

nsto

ns

2.4.

m3

juve

nile

sto

nsto

ns


19

form

al c

ompa

ny s

peci

aliz

ing

in s

tora

ge, l

ogis

tics,

etc

.

20

Per

son

or g

roup

of p

erso

ns th

at in

form

ally

buy

the

prod

uctio

n fr

om th

e pr

imar

y pr

oduc

er.

vII.

2. o

f w

hat

you

prod

uced

or

extr

acte

d in

20#

#

Spe

cies

(fol

low

the

orde

r of

vi

i.1)

Did

you

do

any

proc

essi

ng o

f th

e sp

ecie

s?h

ow m

uch

did

you

sell

to t

he n

atio

nal m

arke

t?h

ow m

uch

did

you

sell

to t

he e

xter

nal m

arke

t?

how

muc

h w

as f

or

self-

cons

umpt

ion?

yes

no

Sup

erm

arke

tsW

hole

sale

m

arke

tsM

iddl

eman

19In

form

al

Mid

dlem

an20

Dir

ectl

y ex

port

edE

xpor

t th

roug

h br

oker

so

wn

poin

t of

sal

eSup

erm

arke

to

ther

s

1to

nsto

nsto

nsto

nsto

nsto

nsto

nsto

nsto

ns

2to

nsto

nsto

nsto

nsto

nsto

nsto

nsto

nsto

ns

3to

nsto

nsto

nsto

nsto

nsto

nsto

nsto

nsto

ns

4to

nsto

nsto

nsto

nsto

nsto

nsto

nsto

nsto

ns

vII.3.

how

did

you

fin

d an

d ge

t ac

cess

to

this

mar

ket

nich

e? Mar

k w

ith

an X

(fol

low

the

orde

r of

vii.

1)

12

34

thro

ugh

com

mer

cial

rel

atio

ns

thro

ugh

pers

onal

rel

atio

ns

i did

res

earc

h

i hire

d a

prof

essi

onal

thro

ugh

a br

oker

the

gove

rnm

ent h

elpe

d m

e

the

orga

niza

tion

i bel

ong

to h

elpe

d m

e

oth

er (

spec

ify):


118

vII.4

. W

hat

do y

ou c

onsi

der

are

the

prim

ary

prob

lem

s fo

r ge

ttin

g yo

ur p

rodu

ct t

o th

e m

ost

impo

rtan

t m

arke

ts?

Pro

blem

s

num

ber

by o

rder

of

impo

rtan

ce(f

ollo

w th

e or

der

of v

i.1)

12

34

scar

ce in

fras

truc

ture

for

tran

spor

tatio

n

scar

ce p

ost-

harv

est i

nfra

stru

ctur

e

Low

qua

lity

of th

e pr

oduc

t

Lack

of c

omm

erci

al c

onta

cts

Lack

of p

erso

nal c

onta

cts

non

-tar

iff b

arrie

rs

Lack

of k

now

ledg

e of

the

sale

pro

cess

hig

h co

st o

f mar

ketin

g

volu

me

of p

rodu

ctio

n in

suff

icie

nt to

sat

isfy

dem

and

doe

s no

t hav

e pr

oble

ms

oth

er (

spec

ify):

vII.5

. h

ow d

o yo

u se

t th

e sa

le p

rice

of t

he p

rodu

ct?

(m

ark

the

corr

espo

ndin

g op

tion

usin

g th

e na

me

of th

e m

arke

ting

chan

nel i

ndic

ated

in q

uest

ion

vii.2

)

Pro

cedu

re

Sel

ect

wit

h an

Xac

cord

ing

to t

ype

of c

ontr

act

Sel

ect

wit

h an

Xac

cord

ing

to t

ype

of c

ontr

act

Sel

ect

wit

h an

Xac

cord

ing

to t

ype

of c

ontr

act

Sel

ect

wit

h an

Xac

cord

ing

to t

ype

of c

ontr

act

Pro

duct

1P

rodu

ct 2

Pro

duct

3P

rodu

ct 4

Wit

h no

tarize

d co

ntra

ctSim

ple

Con

trac

tve

rbal

C

ontr

act

oth

er,

(Spe

cify

):

Wit

h no

tarize

d co

ntra

ct

Sim

ple

Con

trac

t ve

rbal

C

ontr

act

oth

er,

(Spe

cify

):

Wit

h no

tarize

d co

ntra

ct

Sim

ple

Con

trac

t ve

rbal

C

ontr

act

oth

er,

(Spe

cify

):

Wit

h no

tarize

d co

ntra

ct

Sim

ple

Con

trac

t ve

rbal

C

ontr

act

oth

er,

(Spe

cify

):

the

buye

r se

ts it

i neg

otia

te it

with

th

e bu

yer

i set

it.

the

curr

ent p

rice

in th

e re

gion

al

mar

ket i

s ta

ken

the

curr

ent p

rice

in th

e na

tiona

l m

arke

t is

take

n


Pro

cedu

re

Sel

ect

wit

h an

Xac

cord

ing

to t

ype

of c

ontr

act

Sel

ect

wit

h an

Xac

cord

ing

to t

ype

of c

ontr

act

Sel

ect

wit

h an

Xac

cord

ing

to t

ype

of c

ontr

act

Sel

ect

wit

h an

Xac

cord

ing

to t

ype

of c

ontr

act

Pro

duct

1P

rodu

ct 2

Pro

duct

3P

rodu

ct 4

Wit

h no

tarize

d co

ntra

ctSim

ple

Con

trac

tve

rbal

C

ontr

act

oth

er,

(Spe

cify

):

Wit

h no

tarize

d co

ntra

ct

Sim

ple

Con

trac

t ve

rbal

C

ontr

act

oth

er,

(Spe

cify

):

Wit

h no

tarize

d co

ntra

ct

Sim

ple

Con

trac

t ve

rbal

C

ontr

act

oth

er,

(Spe

cify

):

Wit

h no

tarize

d co

ntra

ct

Sim

ple

Con

trac

t ve

rbal

C

ontr

act

oth

er,

(Spe

cify

):

the

curr

ent p

rice

in th

e in

tern

atio

nal

mar

ket i

s ta

ken

a g

over

nmen

t ag

ency

set

s it

oth

er (

spec

ify)

vII.6

. In

form

atio

n re

gard

ing

the

paym

ent

for

the

sale

of

your

pro

duct

s:

Tim

ing

of t

he p

aym

ent

Indi

cate

the

per

cent

age

(%)

for

each

mea

ns o

f pa

ymen

tTh

e th

ree

perc

enta

ges

–cas

h, c

heck

, ot

her

– m

ust

add

up t

o 10

0%

.W

hat

prob

lem

s di

d yo

u ha

ve t

o co

llect

?M

ark

wit

h an

X

Cas

hC

heck

oth

er f

orm

of

paym

ent

imm

edia

tely

%

%%

spec

ifyth

e bu

yer

did

not r

etur

n to

pay

.

15 d

ays

afte

r de

liver

ing

the

prod

uct

%%

%sp

ecify

the

chec

k th

ey g

ave

me

boun

ced.

1 m

onth

aft

er d

eliv

erin

g th

e pr

oduc

t %

%%

spec

ifyth

e ch

eck

was

exp

ired

2 m

onth

s af

ter

deliv

erin

g th

e pr

oduc

t %

%%

spec

ifyth

e bu

yer

did

not h

ave

mon

ey

6 m

onth

s af

ter

deliv

erin

g th

e pr

oduc

t %

%%

spec

ifyth

e bu

yer

did

not r

espe

ct th

e ag

reed

pric

e

oth

er%

spec

ify%

spec

ifyth

ey p

enal

ized

me

for

low

qua

lity

they

did

not

pay

me

non

e

oth

er (

spec

ify):


120

Te

ch

no

log

y a

nd

qu

ali

ty

For

aQu

aCu

lTu

RE

Pro

duct

ion

uni

ts b

egin

with

Qu

ES

TIo

n v

II.7

.Fo

r FI

ShIn

g P

rodu

ctio

n u

nits

beg

in w

ith

Qu

ES

TIo

n v

II.1

5.

vII.7

. In

20#

#, w

hat

syst

em o

f pr

oduc

tion

did

you

use?

Spe

cies

(f

ollo

w p

revi

ous

orde

r –

Que

stio

n vi

i.1)

Sel

ect

wit

h an

X

hav

e yo

u in

corp

orat

ed g

enet

ical

ly im

prov

ed s

peci

es?

(yes

/no)

Inte

nsiv

eS

emi-

inte

nsiv

eE

xten

sive

1 2 3 4 vII.8.

Wha

t ty

pe o

f eq

uipm

ent

do y

ou u

se f

or y

our

prod

uctio

n?

Spe

cies

(f

ollo

w p

revi

ous

orde

r)a

cclim

atiz

atio

n in

stal

lati

ons

Pon

d (m

3 )C

ages

M3

Col

lect

ion

infr

astr

uctu

reIn

frae

stru

ctur

a de

ac

opio

Pac

king

in

fras

truc

ture

Sto

rage

in

fras

truc

ture

Ref

rige

rati

on

infr

astr

uctu

reo

ther

(Spe

cify

):E

arth

enC

oncr

ete

gla

ss

fibe

r

1 2 3 4 vII.9

. h

ow d

id y

ou o

btai

n po

st-la

rva

or ju

veni

les?

(in

dica

te w

ith a

n X)

Spe

cies

(f

ollo

w p

revi

ous

orde

r)R

epro

duce

s ow

n m

ater

ial

Buy

s ce

rtif

ied

repr

oduc

tion

m

ater

ial f

rom

nei

ghbo

rsB

uys

from

labo

rato

ries

Buy

s in

labo

rato

ries

wit

h bi

osec

urit

y ce

rtif

ied

by g

over

nmen

t ag

enci

esIm

port

s th

emo

ther

(Spe

cify

):

1 2 3 4


vII.1

0. W

hat

type

of

feed

pra

ctic

es d

id y

ou e

ngag

e in

? (i

ndic

ate

with

an

X)

Spe

cies

(fol

low

pre

viou

s or

der)

non

eFr

esh

fish

mea

to

rgan

ic

fert

iliza

tion

Che

mic

al

fert

iliza

tion

Sim

ple

pelle

t h

ydro

-sta

biliz

ed

pelle

t o

ther

(Spe

cify

):

1 2 3 4 vII.1

1. h

ow d

id y

ou c

alcu

late

the

fee

d ra

tion?

(in

dica

te w

ith a

n X)

Spe

cies

(fol

low

pre

viou

s or

der)

From

ow

n ex

peri

ence

Det

erm

ined

bio

mas

s an

d us

ed f

eed

tabl

esa

sked

the

ext

ensi

onis

ta

sked

a p

riva

te

vete

rina

rian

oth

er (

Spe

cify

):

1 2 3 4 vII.1

2. W

hat

prev

entiv

e sa

nita

ry c

ontr

ol a

ctiv

ities

did

you

do?

(in

dica

te w

ith a

n X)

Spe

cies

(fol

low

pre

viou

s or

der)

non

eTa

nk li

min

gC

ontr

ol o

f th

e ae

rati

on

mec

hani

smD

aily

mon

itor

ing

of t

he

popu

lati

onD

aily

con

trol

of

wat

ero

ther

(Spe

cify

):

1 2 3 4 vII.1

3. W

hich

of

the

follo

win

g di

d yo

u us

e in

the

man

agem

ent

of y

our

farm

? (i

ndic

ate

with

an

X)

Mon

itor

ing

Tray

o

xyge

n m

eter

Ph

met

erTh

erm

omet

erS

ecch

i dis

ko

ther

(Spe

cify

):


122

vII.1

4. ¿

Cóm

o de

tect

ó la

pre

senc

ia d

e en

ferm

edad

es e

n su

gra

nja?

(ind

icat

e w

ith a

n X)

Spe

cies

(fol

low

pre

viou

s or

der)

By

own

expe

rien

ceB

y ob

serv

atio

n of

a

pers

on u

nrel

ated

to

the

farm

By

obse

rvat

ion

of t

he

exte

nsio

nist

By

obse

rvat

ion

of a

pr

ivat

e ve

terina

rian

oth

er (

Spe

cify

):

1 2 3 4

aft

er f

inis

hing

thi

s se

ctio

n, g

o to

Qu

ES

TIo

n v

II.1

6.

Que

stio

ns f

or F

ISh

Ing

uni

ts o

f Pr

oduc

tion:

vII.1

5 I

n 20

##, w

hat

type

of

equi

pmen

t di

d yo

u us

e fo

r ex

trac

tion?

(ind

icat

e w

ith a

n X)

ow

ners

hip

Fish

ing

vess

el21

net

s an

d ot

her

fish

ing

gear

Full

bert

hsC

olle

ctio

n in

fras

truc

ture

Pac

king

in

fras

truc

ture

Sto

rage

in

fras

truc

ture

Ref

rige

rati

on

infr

astr

uctu

reo

ther

(Spe

cify

):

ow

ned

ren

ted

coo

pera

tive

con

cess

ione

d

an

orga

niza

tion

vII.1

6. W

here

did

you

pre

pare

you

r pr

oduc

t fo

r sa

le?

(ind

icat

e w

ith a

n X)

an

impr

ovis

ed p

lace

In a

pla

nt f

or s

ale

fres

hIn

a p

lant

for

sal

e fr

ozen

In a

pla

nt f

or s

ale

cann

edo

ther

(Spe

cify

):

do

you

have

pot

able

wat

er?

yes

no

21

(1)

boa

t of l

ess

than

10.

5 m

in le

ngth

(2)

Lon

glin

er o

f >10

.5 a

nd <

14

m in

leng

th, (

3) t

raw

ler

> 1

4 m

in le

ngth

, (4)

tun

a ve

ssel

, (5)

Pur

se s

eine

r, (

6) f

acto

ry v

esse

ls.


vII.1

7. D

id y

ou d

o an

y po

st-p

rodu

ctio

n or

pos

t-ex

trac

tion

man

agem

ent?

(in

dica

te w

ith a

n X)

Spe

cies

(fol

low

pre

viou

s or

der)

non

eB

ulk

sale

Pac

king

acc

ordi

ng t

o sp

ecif

icat

ions

of

the

clie

nt

Sto

rage

wit

h te

mpe

ratu

re c

ontr

olSto

rage

wit

h at

mos

pher

e co

ntro

l

Sto

rage

wit

h m

odif

ied

atm

osph

ere

Trea

tmen

t fo

r ex

port

Tran

spor

t to

mar

ket

in r

efri

gera

tion

oth

er (

Spe

cify

):

ow

nE

xpor

ter

ow

nE

xpor

ter

ow

nE

xpor

ter

ow

nE

xpor

ter

ow

nE

xpor

ter

ow

nE

xpor

ter

1 2 3 4 vII.1

8. I

n 20

##, di

d yo

u us

e an

y of

the

fol

low

ing?

(in

dica

te w

ith a

n X)

Stu

dies

for

the

de

velo

pmen

t of

aq

uacu

ltur

e an

d fish

ing

mar

kets

Cam

paig

ns p

rom

otin

g aq

uacu

ltur

e an

d fish

ing

prod

ucts

Trad

e m

issi

ons,

pro

mot

iona

l fai

rs a

nd/

or m

arke

t in

tegr

atio

n fo

rum

s

Dir

ecto

ry o

f ex

port

ers

of

aqua

cult

ure

and

fish

ing

prod

ucts

Col

lect

ive

mar

ks o

f aq

uacu

ltur

e an

d fish

ing

prod

ucts

oth

er p

roce

ss t

o im

prov

e m

arke

ting

, sp

ecif

yn

one

vII.1

9. D

o yo

u ha

ve a

ny t

ype

of c

ertif

icat

ion?

Spe

cies

(fol

low

pre

viou

s or

der)

If y

es.

sele

ct w

ith

an X

wha

t ty

pe o

f ce

rtif

icat

ion

no

San

itar

yo

rgan

icS

afet

yIn

pro

cess

oth

er (

Spe

cify

):

1sp

ecify

2sp

ecify

3sp

ecify

4sp

ecify

vII.

20. W

hy h

aven

’t y

ou b

egun

the

cer

tific

atio

n pr

oces

s? (

indi

cate

with

an

X)

Doe

s no

t kn

ow w

hat

it

is a

bout

kno

ws

abou

t it

but

doe

s no

t ha

ve a

nyon

e to

adv

ise

him

/her

Doe

s no

t ha

ve f

inan

cing

Doe

s no

t ne

ed it

, no

one

ask

s fo

r it

The

prod

uct

does

not

req

uire

ce

rtif

icat

ion

oth

er (

Spe

cify

):


124

vII.

21. D

o yo

u re

ceiv

e te

chni

cal a

ssis

tanc

e?

no

yes

The

tech

nica

l ass

ista

nce

you

rece

ived

is:

Mar

k w

ith

an X

Wit

h w

hat

freq

uenc

y do

you

rec

eive

ass

ista

nce?

Mar

k w

ith

an X

From

who

m?

nei

ghbo

rs

suff

icie

nt

onc

e a

year

Why

?b

usin

ess

whe

re i

boug

ht

the

inpu

tstw

ice

year

ext

ensi

onis

tg

ood

qual

ityev

ery

mon

th

buy

ing

com

pany

rel

evan

tw

hene

ver

i nee

d it

i hav

e a

priv

ate

vete

rinar

ian

tim

ely

oth

er (

spec

ify):

oth

er (

spec

ify):

oth

er (

spec

ify):

vII.

22. In

the

last

fiv

e ye

ars

hav

e yo

u m

ade

inve

stm

ents

in t

echn

olog

y in

the

fo

llow

ing

proc

esse

s?

Indi

cate

wit

h an

X in

wha

t ye

ar y

ou m

ade

the

inve

stm

ent

no

inve

stm

ents

wer

e m

ade,

why

?M

ark

wit

h an

X20

#120

#220

#320

#4

20

#5

gen

etic

mat

eria

lsd

oes

not k

now

the

tech

nolo

gies

that

cou

ld b

e ad

opte

dP

rodu

ctio

n or

ext

ract

ion

proc

ess

Pos

t-pr

oduc

tion

proc

ess

Pro

duct

ion

syst

em d

oes

not r

equi

re in

nova

tion

it is

ver

y co

stly

tran

spor

tatio

n of

the

prod

uct

doe

s no

t hav

e re

sour

ces

to in

vest

in te

chno

logi

es

ther

e ar

e no

trai

ned

tech

nica

l per

sonn

el to

impr

ove

the

prod

uctio

n sy

stem

mar

ketin

g of

the

prod

uct

the

tech

nolo

gies

ava

ilabl

e in

the

mar

ket a

re n

ot w

ithin

rea

ch

(dis

tant

mar

kets

)a

dmin

istr

ativ

e pr

oces

sth

e re

sear

ch c

ente

rs d

o no

t gen

erat

e ne

w te

chno

logi

es

exp

ansi

on o

f inf

rast

ruct

ure

doe

s no

t kno

w th

e te

chno

logi

es g

ener

ated

by

the

rese

arch

ce

nter

s

oth

er (

spec

ify):

oth

er (

spec

ify):


En

vir

on

me

nta

l d

eg

rad

ati

on

vII.

23. h

ave

you

had

prod

uctio

n pr

oble

ms

due

to w

ater

con

tam

inat

ion?

(ind

icat

e w

ith a

n X)

yes

(sel

ect w

ith a

n X

one

or m

ore

prob

lem

s)W

hat

do y

ou c

onsi

der

is t

he p

rim

ary

sour

ce o

f w

ater

con

tam

inat

ion?

(sel

ect w

ith a

n X

)n

o

red

uctio

n of

the

fish

popu

latio

nsU

rban

was

tew

ater

aff

ects

on

the

heal

th a

nd s

afet

y of

the

prod

ucts

agr

icul

tura

l and

fish

ing

prod

uctio

n w

aste

wat

er

ext

inct

ion

of s

peci

esin

dust

rial w

aste

wat

er

red

uctio

n of

siz

e an

d w

eigh

t of t

he p

rodu

ctm

isha

ndlin

g of

sol

id w

aste

s

oth

er (

spec

ify):

non

e

don

’t kn

ow

oth

er (

spec

ify):

not

e fo

r in

terv

iew

er:

Pro

ceed

with

the

ques

tions

on

mar

ketin

g, te

chno

logy

and

qua

lity

of th

e ec

onom

ic a

ctiv

ities

(s

ectio

n: v

iii. n

on-a

gric

ultu

ral)

that

the

PU

dec

lare

d in

que

stio

n 1.

in th

e ev

ent t

hat t

he P

U o

nly

decl

ared

eng

agin

g in

agr

icul

tura

l and

fish

ing

activ

ities

go to

Sec

tion

IX.

Rel

atio

nshi

p u

P –

Env

iron

men

t

vIII.

n

on

-ag

RIC

ulT

uR

al

vIII

.1. W

hat

non-

agric

ultu

ral a

ctiv

ities

do

you

enga

ge in

prim

arily

? (W

rite

them

dow

n)


126

vIII

.2. In

you

r pr

oduc

tion

syst

em,

for

the

year

20#

#

how

wer

e yo

u su

pplie

d w

ith

your

raw

mat

eria

ls?

(mar

k w

ith a

n X

)

Do

you

cons

ider

th

at y

our

supp

liers

are

the

be

st y

ou c

ould

ha

ve?

(yes

/no)

Why

?

Wer

e yo

ur s

ales

af

fect

ed?

(mar

k w

ith a

n X

, jus

t one

op

tion)

Wha

t ca

used

the

se a

ffec

ts?

(mar

k w

ith a

n X

all t

hat a

pply

)

yes

no

Cau

ses

ow

n pr

oduc

tion

for

the

qual

ity o

f the

ir pr

oduc

tsd

roug

ht

bou

ght t

hem

in th

e na

tiona

l mar

ket

bec

ause

they

giv

e m

e th

e be

st

pric

esh

urric

ane

impo

rted

them

for

thei

r pu

nctu

ality

in d

eliv

erin

g th

e su

pplie

sfl

ood

oth

er (

spec

ify):

oth

er (

spec

ify):

i sol

d on

cre

dit b

ut th

ey n

ever

pai

d m

e

econ

omic

pro

blem

s

fam

ily o

r pe

rson

al p

robl

ems

hea

lth p

robl

ems

oth

ers

(spe

cify

):

vIII

.3. M

arke

ting

and

Qua

lity

vIII

.3.1

. h

ow d

o yo

u se

ll yo

ur p

rodu

cts?

(Kee

p th

e sa

me

orde

r of

act

iviti

es a

s vi

ii.2,

mar

k w

ith a

n X

the

corr

espo

ndin

g an

swer

, na

mea

ns th

at th

e qu

estio

n do

es n

ot a

pply

for

the

activ

ity in

que

stio

n)

activity

Dir

ectl

y to

the

co

nsum

erW

ith

Inte

rmed

iary

Doe

s yo

ur b

uyer

(w

heth

er f

inal

or

inte

rmed

iate

) re

quir

e qu

alit

y st

anda

rds

from

you

? If

so,

indi

cate

wha

t th

ey a

re

in t

he c

orre

spon

ding

col

umn.

Wha

t is

the

fin

al d

estina

tion

of

your

pro

duct

ion

(whe

ther

dir

ect

or w

ith

an in

term

edia

ry)?

(mar

k w

ith a

n X

)

yes

no

Spe

cify

loca

l mar

ket

Reg

iona

l mar

ket

nat

iona

l mar

ket

Fore

ign

mar

ket

oth

er (

Spe

cify

):

1. 2. 3.


vIII

.3.2

. h

ow d

id y

ou g

et y

our

clie

nts?

(Mar

k w

ith

an X

)

they

wer

e re

com

men

ded

to m

e

est

ablis

hing

com

mer

cial

rel

atio

ns

with

per

sona

l rel

atio

ns

i res

earc

hed

and

cons

olid

ated

them

i hire

d a

prof

essi

onal

thro

ugh

an in

term

edia

ry

the

gove

rnm

ent h

elpe

d m

e

the

orga

niza

tion

i bel

ong

to h

elpe

d m

e

oth

er (

spec

ify):

Te

ch

no

log

y a

nd

Ca

pa

cit

y B

uil

din

g

vIII

.4. In

form

atio

n re

gard

ing

the

leve

l of

tech

nolo

gy:

In y

our

busi

ness

/com

pany

, ho

w m

any

wor

kers

car

ry o

ut

how

wou

ld y

ou c

lass

ify

the

leve

l of

mec

hani

zati

on o

f yo

ur b

usin

ess/

com

pany

? (m

ark

with

an

X)

how

wou

ld y

ou c

lass

ify

the

faci

litie

s an

d co

nstr

ucti

ons

of y

our

busi

ness

/com

pany

? (m

ark

with

an

X)

basi

c ta

sks?

(c

lean

ing,

pr

epar

atio

n of

in

puts

, etc

.)

spec

ializ

ed

tech

nica

l wor

k?

(use

of l

oom

s or

po

tter

y to

ols,

etc

.)

adm

inis

trat

ive

wor

k?

(acc

ount

ing,

sal

es,

etc.

)

oth

ers?

Man

ual

Sem

i-au

tom

ated

aut

omat

ed

Doe

sn’t

ha

ve a

nya

dapt

ed

(rec

onfi

gure

d)D

esig

ned

or

spec

ializ

edo

ther

(Spe

cify

):#

Spe

cify

num

ber

of

wor

kers

num

ber

of w

orke

rsn

umbe

r of

wor

kers

vIII

.5. In

20#

#, d

id y

ou r

ecei

ve a

ny t

rain

ing?

no

yes

If y

es,

wha

t? (de

scribe

)


128

vIII

.6. In

20#

#, d

id y

ou p

rovi

de a

ny t

rain

ing

to y

our

wor

kers

?

yes

on

wha

t to

pics

?(m

ark

with

an

X w

ho r

ecei

ved

the

trai

ning

)h

ow o

ften

do

you

prov

ide

trai

ning

in

suc

h to

pics

?(i

ndic

ate

ever

y ho

w m

any

mon

ths)

no

Why

don

’t y

ou p

rovi

de t

rain

ing

to y

our

empl

oyee

s?(m

ark

with

an

X al

l the

opt

ions

that

app

ly)

Topi

cs(m

ark

with

an

X)

adm

inis

trat

ive

mon

ths

they

lear

n by

exp

erie

nce

acc

ount

ing

mon

ths

ther

e ar

e no

cou

rses

ava

ilabl

e in

the

com

mun

ity

Pro

duct

ion

proc

esse

sm

onth

sth

e ex

tern

al c

ours

es a

re v

ery

expe

nsiv

e

clie

nt s

ervi

cem

onth

sth

e em

ploy

ees

are

too

busy

to a

tten

d co

urse

s

sal

esm

onth

sth

e ad

min

istr

ator

s do

n’t h

ave

time

to o

rgan

ize

the

trai

ning

adv

ertis

ing

mon

ths

it is

a b

usin

ess

that

will

not

last

ver

y lo

ng

oth

er (

spec

ify):

mon

ths

Lack

of f

inan

cing

the

qual

ity o

f the

cou

rses

or

cour

se p

rovi

ders

is n

ot s

atis

fact

ory

oth

er (

spec

ify):

vIII

.7. a

s of

20#

#, y

our

busi

ness

or

com

pany

Was

reg

iste

red

in a

Cha

mbe

r of

Com

mer

ce

or P

rodu

cers

uni

on?

(yes

/no)

Was

it r

egis

tere

d in

the

Tax

off

ice?

(yes

/no)

Did

it p

ay t

axes

?(y

es/n

o)

Did

it r

egis

ter

the

empl

oyee

s in

the

S

ocia

l Sec

urit

y Sys

tem

?(y

es/n

o)

how

man

y of

you

r em

ploy

ees

are

regi

ster

ed

in t

he S

ocia

l Sec

urit

y Sys

tem

?

num

ber

of e

mpl

oyee

s

vIII

.8. Q

ualit

y Do

you

cons

ider

tha

t th

e de

sign

of

your

pro

duct

(s)

mee

ts t

he c

urre

nt n

eeds

of

your

clie

nts?

(mar

k w

ith a

n X

)h

ow w

ould

you

qua

lify

the

curr

ent

leve

l of

adve

rtis

ing

you

do o

f yo

ur p

rodu

ct(s

)?

(mar

k w

ith a

n X

)

yes

no

Why

?D

on’t

hav

e an

y ad

vert

isin

gSuf

fici

ent

Sca

rce

bec

ause

my

prof

its a

re a

lway

s be

tter

than

exp

ecte

d.

bec

ause

the

mar

ket s

urve

ys o

f the

pro

duct

(s)

indi

cate

this

bec

ause

the

maj

ority

of m

y cl

ient

s ha

ve to

ld m

e so

oth

er (

spec

ify):


vIII

.9. Cre

atio

n of

the

Bus

ines

s

Wha

t ci

rcum

stan

ces

led

you

to e

ngag

e in

you

r cu

rren

t bu

sine

ss?

(mar

k w

ith a

n X

)

Wha

t w

as t

he m

ost

diff

icul

t ob

stac

le f

or g

etting

yo

ur b

usin

ess

goin

g?(m

ark

with

an

X)

Do

you

cons

ider

tha

t yo

ur b

usin

ess

need

s to

exp

and?

(ye

s/n

o)(m

ark

with

any

X)

yes,

why

?n

o, w

hy?

it is

the

fam

ily b

usin

ess

by tr

aditi

ono

btai

ning

fina

ncin

gth

e de

man

d in

crea

sed

the

dem

and

is c

onst

ant

i con

side

r th

at it

is m

y m

ost p

rofit

able

opt

ion

obt

aini

ng a

per

mit

to o

pera

tei n

eed

to c

over

oth

er m

arke

tsi d

on’t

have

mon

ey

i nee

d to

com

plem

ent t

he in

com

e m

y fa

mily

obt

ains

in

agr

icul

tura

l act

iviti

esfi

ndin

g th

e eq

uipm

ent t

hat i

nee

dto

red

uce

my

cost

si a

m n

ot in

tere

sted

i did

n’t h

ave

any

othe

r op

tion

find

ing

peop

le w

ho h

ave

the

capa

city

to r

un th

e bu

sine

ssto

hav

e ac

cess

to fi

nanc

ing

ther

e ar

e al

read

y a

lot o

f sim

ilar

busi

ness

es

ther

e w

as g

over

nmen

t aid

for

this

act

ivity

supp

ly o

f inp

uts

oth

er (

spec

ify):

Lack

of t

rain

ed w

orke

rs

oth

er (

spec

ify):

find

ing

a bu

yer

oth

er (

spec

ify):

oth

er (

spec

ify):

vIII

.10.

gro

ss m

argi

n of

the

bus

ines

s(f

ill in

all

the

field

s fo

r ea

ch o

f the

thre

e ac

tiviti

es a

nd r

espe

ct th

e or

der

indi

cate

d in

viii

.1)

activity

how

man

y ye

ars

has

your

or

gani

zati

on o

r bu

sine

ss b

een

acti

ve?

(if t

he a

nsw

er is

le

ss th

an 1

yea

r, sp

ecify

if th

ey a

re

mon

ths

or w

eeks

)

The

plac

e w

here

you

eng

age

in y

our

acti

vity

is:

(mar

k w

ith a

n X

and

in th

e ca

se o

f “o

ther

” sp

ecify

in th

e sp

ace

prov

ided

)W

hat

was

the

va

lue

of y

our

sale

s in

20

##?

In y

our

busi

ness

or

com

pany

, ho

w

muc

h di

d yo

u pa

y fo

r el

ectr

icit

y in

20

##?

how

muc

h di

d yo

u pa

y in

20

##

for

the

use

of

the

plac

e w

here

yo

ur b

usin

ess

or c

ompa

ny

is lo

cate

d?

(Mor

tgag

e, r

ent,

et

c.)

how

muc

h w

ere

the

rest

of

the

cos

ts in

curr

ed in

yo

ur a

ctiv

ity

in 2

0##

? (o

ther

than

ele

ctric

ity,

com

pens

atio

n an

d re

nt o

r pu

rcha

se o

f pro

pert

y)

obs

erva

tion

s

ow

ned

Ren

ted

loan

edo

ther

(Spe

cify

):

1.Lo

cal c

urre

ncy

Loca

l cur

renc

yLo

cal c

urre

ncy

Loca

l cur

renc

y

2.Lo

cal c

urre

ncy

Loca

l cur

renc

yLo

cal c

urre

ncy

Loca

l cur

renc

y

3.Lo

cal c

urre

ncy

Loca

l cur

renc

yLo

cal c

urre

ncy

Loca

l cur

renc

y


130

IX.

REl

aTIo

nSh

IP –

En

vIR

on

MEn

T

IX.1

. In

the

last

fiv

e ye

ars,

hav

e yo

u co

nfro

nted

any

of

the

follo

win

g cl

imat

ic e

vent

s?:

Even

tn

o

yes

(indi

cate

with

an

X in

wha

t yea

r)D

id y

ou lo

se a

ny p

art

of y

our

prod

ucti

on?

how

did

you

ove

rcom

e th

e si

tuat

ion?

Mar

k X

20

#120

#220

#320

#4

20

#5le

ss

than

10

%

Bet

wee

n 11

% a

nd

25%

Bet

wee

n 25

% a

nd

50

%

Bet

wee

n 5

0%

and

75

%10

0%

hur

rican

esd

id n

ot o

verc

ome

it

floo

dsw

ith o

wn

reso

urce

s

dro

ught

sth

e pr

oduc

tion

was

insu

red

hai

lw

ith h

elp

from

fam

ily m

embe

rs

win

dsw

ith h

elp

from

nei

ghbo

rs

non

ew

ith h

elp

from

the

gove

rnm

ent

oth

er (

spec

ify):

oth

er (

spec

ify)

IX.2

. W

hat

prob

lem

do

you

thin

k yo

u ca

use

to t

he e

nviron

men

t w

ith y

our

prod

uctio

n ac

tivit

y?

Env

iron

men

tal p

robl

em

leve

l of

degr

adat

ion

(mar

k w

ith a

n X

)W

hat

acti

ons

have

you

tak

en t

o re

duce

the

impa

ct o

f yo

ur a

ctiv

ity

on t

he e

nvir

onm

ent?

ligh

tM

oder

ate

Sev

ere

act

ions

Mar

k w

ith

an X

Spe

cify

the

act

ion:

eros

ion

was

tew

ater

trea

tmen

td

eser

tific

atio

n

soil

cont

amin

atio

n a

dequ

ate

use

of s

olid

was

teLo

ss o

f soi

l fer

tility

com

pact

ion

of th

e so

ila

pplic

atio

n of

bes

t pro

duct

ion

prac

tices

exh

aust

ion

of th

e w

ater

res

ourc

e

con

tam

inat

ion

of th

e su

rfac

e w

ater

soil

cons

erva

tion

wor

ksc

onta

min

atio

n of

the

unde

rgro

und

wat

er

def

ores

tatio

nw

ater

con

serv

atio

n w

orks

Loss

or

redu

ctio

n of

pla

nt s

peci

es


Env

iron

men

tal p

robl

em

leve

l of

degr

adat

ion

(mar

k w

ith a

n X

)W

hat

acti

ons

have

you

tak

en t

o re

duce

the

impa

ct o

f yo

ur a

ctiv

ity

on t

he e

nvir

onm

ent?

ligh

tM

oder

ate

Sev

ere

act

ions

Mar

k w

ith

an X

Spe

cify

the

act

ion:

Loss

or

redu

ctio

n of

ani

mal

spe

cies

air

cons

erva

tion

wor

ksn

one

(fin

aliz

e th

is s

ectio

n)

oth

er (

spec

ify):

oth

er (

spec

ify):

X.

PEn

ETR

aTIo

n o

F Th

E F

Inan

CIal

SyS

TEM

IX.1

. In

the

last

tw

o ye

ars,

did

you

obt

ain

any

cred

it (lo

an)?

yes

no

(go

to X

.3)

X.2.

Inf

orm

atio

n re

gard

ing

your

cre

dit:

Wha

t is

the

pur

pose

of

your

loan

? (m

ark

with

an

X)

Who

gra

nted

the

loan

?(m

ark

with

an

X)

Wha

t co

uld

happ

en if

you

don

’t p

ay b

ack

the

loan

?(m

ark

with

an

X)

Pur

chas

e of

inpu

tsb

ank

spec

ifysp

ecify

spec

ifyn

othi

ng

acq

uisi

tion

of m

achi

nery

and

/or

equi

pmen

td

evel

opm

ent b

ank

spec

ifysp

ecify

spec

ifyi c

ould

gen

erat

e a

bad

cred

it hi

stor

y in

the

cred

it bu

reau

con

stru

ctio

n of

infr

astr

uctu

re o

r fa

cilit

ies

sav

ings

ban

k sp

ecify

spec

ifysp

ecify

my

guar

anto

r w

ould

pay

exp

and

my

busi

ness

cre

dit U

nion

spec

ifysp

ecify

spec

ifyin

crea

se th

e in

tere

st th

at i

have

to p

ay

acq

uire

som

e ot

her

type

of g

oods

Loan

sha

rksp

ecify

spec

ifysp

ecify

i can

lose

my

colla

tera

l as

sets

Pay

my

empl

oyee

sfa

mily

mem

ber

spec

ifysp

ecify

spec

ifyo

ther

(sp

ecify

):

Pay

deb

tso

ther

(sp

ecify

):

oth

er (

spec

ify):


132

X.2.

Inf

orm

atio

n re

gard

ing

your

cre

dit

(con

tinue

d)

Wha

t w

as t

he a

mou

nt o

f th

e la

st lo

an y

ou o

btai

ned?

Wha

t w

as t

he a

nnua

l int

eres

t ra

te o

n yo

ur lo

an?

on

wha

t da

te d

id y

ou o

btai

n th

e lo

an?

Loca

l cur

renc

y%

doe

s no

t kno

wm

onth

year

Wha

t w

as t

he t

erm

of

your

loan

?D

o yo

u ha

ve a

ny in

sura

nce

asso

ciat

ed w

ith

the

loan

? (m

ark

with

an

X)

mon

ths

doe

s no

t kno

wye

sn

o

X.3.

Why

did

n’t

you

obta

in t

he c

redi

t?

Sel

ect

wit

h an

X t

he o

ptio

n ac

cord

ing

to t

he r

espo

nse

indi

cate

dW

hy?

i can

’t pr

ove

the

min

imum

inco

me

i don

’t ha

ve c

olla

tera

l

ther

e w

ere

too

man

y re

quire

men

ts (

spec

ify w

hat t

hey

wer

e)

i cou

ldn’

t pay

for

it

i don

’t ne

ed th

e cr

edit

oth

er (

spec

ify):

X.4.

In

the

last

tw

o ye

ars,

did

you

hav

e an

y sa

ving

s ac

coun

t?

yes

no

(go

to X

.6)

X.5.

If

yes

Wit

h w

hom

do

you

have

the

sav

ings

acc

ount

?(m

ark

with

an

X)

In 2

0##

, w

hat

are

you

savi

ng f

or?

(mar

k w

ith a

n X

)

ban

k?sp

ecify

spec

ifysp

ecify

to o

btai

n a

loan

sav

ings

ban

k?sp

ecify

spec

ifysp

ecify

to b

uy m

achi

nery

otr

a, ¿

cuál

?:

spec

ifysp

ecify

spec

ify

to p

ay d

ebts

to m

ake

the

dow

n pa

ymen

t on

an a

utom

obile

oth

er (

spec

ify):


X.6.

If

the

answ

er is

no,

why

don

’t y

ou h

ave

a sa

ving

s fu

nd?

Sel

ect

wit

h an

X t

he o

ptio

n ac

cord

ing

to t

he in

dica

ted

resp

onse

Why

?

ther

e ar

e to

o m

any

requ

irem

ents

(sp

ecify

wha

t the

y ar

e)

the

bank

or

savi

ngs

bank

is v

ery

far

i par

ticip

ate

in a

sav

ings

gro

up

i do

not n

eed

a sa

ving

s ac

coun

t

i don

’t kn

ow a

bout

the

serv

ice

oth

er (

spec

ify):

X.7.

In

the

last

tw

o ye

ars,

did

you

hav

e an

y in

sura

nce

for

your

Pro

duct

ion

uni

t?

yes

no

(go

to X

.9)

X.8.

If

you

answ

ered

yes

in q

uest

ion

IX.7

.

Wha

t ty

pe o

f in

sura

nce

does

you

r P

u h

ave?

(mar

k w

ith a

n X

)W

ho o

r w

hat

inst

itut

ion

gave

you

the

insu

ranc

e?

aga

inst

wea

ther

con

tinge

ncie

s (d

roug

hts,

floo

ds, f

ires)

insu

ranc

e co

mpa

nysp

ecify

aga

inst

thef

t of m

achi

nery

or

equi

pmen

tg

over

nmen

tsp

ecify

aga

inst

thef

t of i

nven

tory

c

ompa

ny w

here

i bu

y in

puts

and

che

mic

als

spec

ify

aga

inst

nat

ural

dis

aste

rs (e

arth

quak

es, h

urric

anes

)b

ank

spec

ify

oth

er (

spec

ify):

oth

er (

spec

ify):

spec

ify


134

X.9.

If

you

answ

ered

no

in q

uest

ion

IX.7

., w

hy d

on’t y

ou h

ave

insu

ranc

e?

Sel

ect

wit

h an

X t

he o

ptio

n ac

cord

ing

to t

he in

dica

ted

resp

onse

Why

ther

e ar

e to

o m

any

requ

irem

ents

(sp

ecify

wha

t the

y ar

e)

i don

’t ne

ed th

e in

sura

nce

i don

’t ha

ve m

oney

to p

ay fo

r it

i don

’t kn

ow a

bout

the

serv

ice

oth

er (

spec

ify):

XI.

hu

Man

CaP

ITal

In

Th

E P

u

XI.1

. M

anag

emen

t an

d B

usin

ess

Skill

s

Wha

t is

the

sch

oolin

g le

vel o

f th

e m

anag

er

of t

he b

usin

ess

or

com

pany

?(s

elec

t one

opt

ion

with

an

X)

Wha

t is

the

m

anag

er’s

car

eer

or s

peci

alty

?(i

ndic

ate

whi

ch

one)

Do

you

have

a

busi

ness

pla

n?(m

ark

with

an

X)

Is t

he a

naly

sis

of y

our

busi

ness

pla

n im

port

ant

for

the

deci

sion

mak

ing

of y

our

busi

ness

/com

pany

?(m

ark

with

an

X)

Do

you

keep

acc

ount

ing

reco

rds

– in

clud

ing

inve

ntor

ies?

(m

ark

with

an

X)

how

do

you

keep

the

se r

ecor

ds?

(mar

k w

ith a

n X

)

In t

he c

ompa

ny/b

usin

ess

are

the

acco

unting

rec

ords

an

alyz

ed?

(mar

k w

ith a

n X

)

yes

no

yes

no

yes

no

yes

no

non

eo

n pa

per

Prim

ary

on

a sp

read

shee

t

seco

ndar

yin

acc

ount

ing

soft

war

e ad

apte

d to

my

com

pany

by

a s

peci

alis

t

hig

h sc

hool

in a

ccou

ntin

g so

ftw

are

that

was

rec

omm

ende

d to

me

bac

helo

r’s

deg

ree

oth

er (

spec

ify):

spec

ialty

gra

duat

e


XII.

oR

gan

IZaT

Ion

XII.1

. To

whi

ch o

f th

e fo

llow

ing

type

s of

org

aniz

atio

ns d

o yo

u be

long

?

Sel

ect

wit

h an

XW

hat

bene

fit

do y

ou o

btai

n fr

om t

he o

rgan

izat

ion?

(sel

ect w

ith a

n X

)W

hat

role

do

you

perf

orm

in t

he

orga

niza

tion

? (g

o to

XI.

2)W

hy h

aven

’t y

ou jo

ined

any

org

aniz

atio

n?

soci

alit

repr

esen

ts m

y in

tere

sts

Par

ticip

ant

they

don

’t im

prov

e th

e pr

oduc

tion

coo

pera

tive

Pur

chas

e of

che

aper

inpu

tsth

ere

is a

lot o

f cor

rupt

ion

in a

ll of

th

em

ass

ocia

tion

or P

rodu

cers

’ Uni

ono

btai

ning

of c

redi

t o

ffic

erth

ey a

sk fo

r m

oney

to jo

in

cha

mbe

r of

com

mer

cem

anag

es g

over

nmen

tal a

ido

ther

(sp

ecify

):it

is a

was

te o

f tim

e

exp

orte

rs’ a

ssoc

iatio

n P

oliti

cal p

ower

they

car

e ab

out t

heir

pers

onal

inte

rest

, no

t the

gro

up in

tere

st

non

e(g

o to

Xi.1

.3)

non

eo

ther

(sp

ecify

):

oth

er (

spec

ify):

oth

er (

spec

ify):

XIII.

EM

Plo

yMEn

T

XIII

.1. In

you

r Pro

duct

ion

uni

t, h

ow m

any

peop

le d

o yo

u ha

ve w

orki

ng?

(em

ploy

ees

or d

ay la

bore

rs)

Eco

nom

ic a

ctiv

itie

s

ToTa

lP

erm

anen

tTe

mpo

rary

of

the

tota

l how

man

y ar

e m

embe

rs o

f yo

ur

fam

ily?

of

the

tota

l how

m

any

are

regi

ster

ed

in t

he S

ocia

l Sec

urit

y Sys

tem

?h

ombr

esM

ujer

esh

ombr

esM

ujer

esh

ombr

esM

ujer

es

agr

icul

ture

Per

sons

Per

sons

Per

sons

Per

sons

Per

sons

Per

sons

Per

sons

Per

sons

Live

stoc

kP

erso

nsP

erso

nsP

erso

nsP

erso

nsP

erso

nsP

erso

nsP

erso

nsP

erso

ns

fore

stry

Per

sons

Per

sons

Per

sons

Per

sons

Per

sons

Per

sons

Per

sons

Per

sons

fish

ing

Per

sons

Per

sons

Per

sons

Per

sons

Per

sons

Per

sons

Per

sons

Per

sons

aqu

acul

ture

Per

sons

Per

sons

Per

sons

Per

sons

Per

sons

Per

sons

Per

sons

Per

sons

non

-agr

icul

tura

lP

erso

nsP

erso

nsP

erso

nsP

erso

nsP

erso

nsP

erso

nsP

erso

nsP

erso

ns


136

XIII

.2. h

ow m

any

of t

he e

mpl

oyee

s in

you

r Pu

hav

e th

e fo

llow

ing

leve

l of

educ

atio

n?

Eco

nom

ic a

ctiv

itie

s

PER

Ma

nEn

TTE

MP

oR

aR

y

Pro

fess

iona

lsn

on-p

rofe

ssio

nals

Pro

fess

iona

lsn

on-p

rofe

ssio

nals

agr

icul

ture

Per

sons

Per

sons

Per

sons

Per

sons

Live

stoc

kP

erso

nsP

erso

nsP

erso

nsP

erso

ns

fore

stry

Per

sons

Per

sons

Per

sons

Per

sons

fish

ing

Per

sons

Per

sons

Per

sons

Per

sons

aqu

acul

ture

Per

sons

Per

sons

Per

sons

Per

sons

non

-agr

icul

tura

lP

erso

nsP

erso

nsP

erso

nsP

erso

ns

XIII

.3. In

the

last

mon

th,

how

muc

h di

d yo

u sp

end

in t

otal

on

the

paym

ent

of e

mpl

oyee

s in

you

r Pu

(pa

yrol

l exp

ense

)?

Eco

nom

ic a

ctiv

itie

sTe

mpo

rary

Per

man

ent

Spe

cify

if t

he p

ayro

ll ex

pens

e is

mon

thly

or

annu

al

agr

icul

ture

$$

mon

thly

/ann

ual

Live

stoc

k$

$m

onth

ly/a

nnua

l

fore

stry

$$

mon

thly

/ann

ual

fish

ing

$$

mon

thly

/ann

ual

aqu

acul

ture

$$

mon

thly

/ann

ual

non

-agr

icul

tura

l$

$m

onth

ly/a

nnua

l

XIII

.4. h

ow m

any

of t

he e

mpl

oyee

s in

you

r Pu

are

fro

m

ori

gin

Spe

cify

the

nu

mbe

rSpe

cify

the

pla

ce w

here

you

r w

orke

rs a

re f

rom

your

loca

lity?

Per

sons

the

regi

on?

Per

sons

oth

er s

tate

s (m

igra

nt w

orke

rs)?

Per

sons

oth

er c

ount

ries?

Per

sons

End

of s

urve

y: T

hank

the

inte

rvie

wee

aga

in f

or h

is/h

er t

ime

and

verif

y th

at y

ou h

ave

all t

he s

ectio

ns o

f th

e qu

estio

nnai

re

corr

espo

ndin

g to

the

inte

rvie

wed

Pu

.


Too

l 8

surv

ey fo

r ru

ral f

amil

ies

nat

ion

aL

dia

gn

osi

s o

f th

e r

Ur

aL

sec

tor

Ca

SE S

TuD

y

SuR

vEy

oF

Ru

Ra

l Fa

MIl

IES

Sug

gES

TIo

nS

Fo

R T

hE

PER

Son

aPP

lyIn

g T

hE

In

STR

uM

EnT:

•id

entif

y yo

urse

lf

•P

rese

nt th

e ob

ject

ive

of th

e in

stru

men

t

•a

ssur

e th

e in

terv

iew

ee o

f the

con

fiden

tialit

y of

the

info

rmat

ion

•e

xpla

in w

hy th

e in

terv

iew

ee w

as c

hose

n (r

ando

m s

elec

tion/

repr

esen

tativ

enes

s of

the

regi

on)

Exa

mpl

e:

hel

lo,

good

mor

ning

/aft

erno

on,

my

nam

e is

___

____

____

____

____

____

____

____

____

____

____

____

____

____

____

___

i w

ork

for

the

Uni

ted

nat

ions

fo

od a

nd a

gric

ultu

re o

rgan

izat

ion

(fa

o).

we

have

cho

sen

you

to p

rovi

de u

s in

form

atio

n on

the

rele

vant

pro

blem

s yo

ur fa

mily

face

s. w

e w

ould

app

reci

ate

it if

you

coul

d gi

ve u

s a

few

min

utes

of

your

val

uabl

e tim

e to

ask

you

a f

ew q

uest

ions

. yo

u ca

n re

st a

ssur

ed t

hat

all t

he in

form

atio

n yo

u pr

ovid

e us

will

be

stric

tly

conf

iden

tial.

not

e:

•a

pply

this

inst

rum

ent o

nly

to r

ural

fam

ilies

.

•th

e ow

ner

or a

dmin

istr

ator

/man

ager

of t

he p

rodu

ctio

n un

it sh

ould

be

soug

ht.

•n

ote

that

with

this

inst

rum

ent t

he e

cono

mic

uni

t is

bein

g in

terv

iew

ed a

s a

hous

ehol

d.


138

Def

initi

ons:

•h

ouse

hold

: pe

rson

or

grou

p of

per

sons

whe

ther

rel

ated

or

not,

that

reg

ular

ly r

esid

e in

par

t of

or

the

entir

e ho

use

and

that

usu

ally

con

sum

e th

e fo

od t

hat

is p

repa

red

with

a c

omm

on b

udge

t.

•h

ouse

hold

mem

bers

:•

any

per

son

who

reg

ular

ly l

ives

in

the

hous

ehol

d, r

egar

dles

s of

whe

ther

he/

she

is c

urre

ntly

in

the

hous

ehol

d or

is

tem

pora

rily

abse

nt f

rom

it.

for

exam

ple,

som

eone

who

has

left

for

vaca

tion

or fo

r te

mpo

rary

wor

k (le

ss th

an o

ne y

ear)

.•

Per

son

that

has

bee

n in

the

hom

e fo

r on

e ye

ar o

r m

ore,

or

any

pers

on th

at h

as b

een

in th

e ho

me

for

less

than

one

yea

r bu

t tha

t pla

ns to

sta

y fo

r on

e ye

ar o

r m

ore.

•g

uest

s th

at m

eet t

he a

bove

requ

irem

ents

and

that

sle

ep in

the

hous

e, s

hare

the

food

pre

pare

d in

the

hous

e an

d w

ho c

an m

ake

free

use

of t

he k

itche

n.

•n

ot m

embe

rs o

f th

e ho

useh

old:

•P

erso

ns w

ho h

ave

been

abs

ent f

or m

ore

than

one

yea

r or

a m

embe

r th

at h

as b

een

away

for

less

than

a y

ear

but t

hat p

lans

to b

e aw

ay fo

r on

e or

mor

e ye

ars

(cou

ntin

g fr

om th

e da

y su

ch p

erso

n le

ft).

dat

e of

inte

rvie

wn

úmer

o de

cue

stio

nario

day

mon

thye

ar

I.

ECo

no

MIC

aCT

IvIT

IES

I.1.

Wha

t pr

oduc

tion

activ

ity

(ies)

do

you

enga

ge in

prim

arily

?(m

ark

the

thre

e pr

imar

y ac

tiviti

es in

func

tion

of th

eir

impo

rtan

ce fo

r th

e in

com

e th

ey g

ener

ate;

use

the

num

ber

1 fo

r th

e m

ost i

mpo

rtan

t s

ourc

e of

inco

me,

the

num

ber

2 fo

r th

e ac

tivity

that

gen

erat

es th

e se

cond

sou

rce

of in

com

e an

d th

e nu

mbe

r 3

for

the

activ

ity th

at g

ener

ates

the

third

sou

rce

of in

com

e)

agr

icul

ture

if yo

u ch

oose

one

of t

hese

opt

ions

go

to I

.2 a

nd g

o ah

ead

with

SEC

TIo

n h

ou

SEh

olD

EC

on

oM

y –

agR

ICu

lTu

RE

Live

stoc

k

fore

stry

aqu

acul

ture

and

fi

shin

g

oth

er n

on-

agr

icul

tura

l a

ctiv

ity

if yo

u ch

oose

one

of t

hese

opt

ions

, go

toSE

CTI

on

h

ou

SEh

olD

EC

on

oM

y –

EM

Plo

yMEn

T


I.2.

land

ten

ure

of

the

tota

l lan

d ar

ea y

ou u

se in

you

r pr

oduc

tion

unit

how

muc

h la

nd a

rea

do y

ou h

ave?

___

____

____

___

Wha

t ty

pe o

f te

nure

do

thes

e la

nds

have

?

land

are

aIs

it p

arti

tion

ed?

(yes

/no)

has

land

bee

n so

ld?

(yes

/no)

1.so

cial

hec

tare

s

2.c

omm

unal

hec

tare

s

3.P

rivat

e (s

mal

l pro

pert

y)h

ecta

res

4.

oth

er, s

peci

fy:

hec

tare

s

II.

IDEn

TIFI

CaTI

on

oF

MEM

BER

S o

F Th

E h

ou

SEh

olD

II.1

. Pl

ease

tel

l me

the

nam

es o

f th

e m

embe

rs o

f yo

ur h

ouse

hold

?

Mem

ber

num

ber

Com

plet

e na

me

of t

he m

embe

r of

the

h

ouse

hold

gen

der

(mar

k w

ith a

n X

)a

geW

hat

acti

vity

do

you

eng

age

in?

Rel

atio

nshi

p22

Civ

il st

atus

(mar

k w

ith a

n X

)W

hat

is

your

nat

ive

lang

uage

?

Do

you

spea

k an

othe

r la

ngua

ge?

(Spe

cify

)M

ale

Fem

.Sin

gle

Mar

ried

Div

orce

dS

epar

ated

Wid

ow

(er)

1ye

ars

2ye

ars

3ye

ars

4ye

ars

5ye

ars

6ye

ars

22

rel

atio

nshi

p: s

pous

e or

par

tner

; chi

ld o

r st

epch

ild; f

athe

r/m

othe

r; fa

ther

-in-la

w/m

othe

r-in

-law

; son

-in-la

w o

r da

ught

er-in

-law

; gra

ndch

ild; b

roth

er/s

iste

r; b

roth

er-in

-law

/sis

ter-

in-la

w; o

ther

fam

ily m

embe

r; n

ot r

elat

ed.


140

II.2

. Ed

ucat

ion

and

heal

th o

f th

e m

embe

rs o

f th

e fa

mily

:

nI

Wha

t is

the

hig

hest

leve

l of

educ

atio

n yo

u re

ache

d?W

hat

is t

he la

st y

ear

you

fini

shed

?a

re y

ou c

urre

ntly

in

scho

ol?

Wha

t he

alth

cen

ter

or h

ospi

tal d

o yo

u go

to

for

med

ical

at

tent

ion?

how

man

y tim

es d

id y

ou g

o th

e do

ctor

in t

he la

st y

ear?

no education

Preschool

Primary

Secondary

high School

Technical career

Professional

graduate

1°

2°

3°

4°

5°

6°

other, (Specify):

yes

no

none

Social Insurance

Private Social Security

government Social Security

State health

Private Doctor

other medical services (Specify

which)

1

2

3

4

5

6

7

1 2 3 4 5 6 III.

ho

uSE

ho

lD E

Co

no

My

III.1

. In

20#

#

Indi

cate

the

prim

ary

agri

cult

ural

pro

duct

s yo

u ob

tain

ed in

you

r P

u

Pro

duct

1(s

peci

fy n

ame)

Pro

duct

2(s

peci

fy n

ame)

Pro

duct

3(s

peci

fy n

ame)

Pro

duct

4(s

peci

fy n

ame)

Pro

duct

5(s

peci

fy n

ame)

III.

2. I

n 20

##, ho

w m

uch

did

you

spen

d on

the

pro

duct

ion

of t

hese

pro

duct

s in

the

fol

low

ing

item

s

Item

Pro

duct

1P

rodu

ct 2

Pro

duct

3P

rodu

ct 4

Pro

duct

5

che

mic

al fe

rtili

zer

$$

$$

$

org

anic

fert

ilize

r$

$$

$$

Pes

ticid

es$

$$

$$

seed

s$

$$

$$

feed

$$

$$

$

ren

t of m

achi

nery

ser

vice

s (r

ent t

ract

or)

$$

$$

$

Pay

wor

kers

$$

$$

$

oth

er (

spec

ify):

$$

$$

$

agriculture


III.3.

In

20##

, ho

w m

uch

mon

ey d

id y

ou o

btai

n or

do

you

expe

ct t

o ob

tain

for

the

sal

e of

the

se a

gric

ultu

ral p

rodu

cts?

Indi

cate

the

thr

ee a

gric

ultu

ral p

rodu

cts

you

prod

uced

Pro

duct

1P

rodu

ct 2

Pro

duct

3P

rodu

ct 4

Pro

duct

5

$$

$$

$

III.4

. In

20#

#, d

id y

ou o

r an

y of

the

mem

bers

of

your

hou

seho

ld s

ell a

ny o

f th

e fo

llow

ing

prod

ucts

Pro

duct

yes

no

(go

to

iii.6

)

Who

in y

our

hom

e so

ld s

uch

prod

ucts

? (m

ark

with

an

X)

Who

in y

our

hom

e he

lped

wit

h th

e sa

le o

f th

ese

prod

ucts

? (m

ark

with

an

X)

Was

it s

old

in y

our

own

stor

e?(y

es/n

o)

how

muc

h di

d yo

u ob

tain

in 2

0##

for

th

e sa

le?

12

34

56

78

910

12

34

56

78

910

milk

, che

ese,

yog

urt o

r ot

her

milk

pro

duct

s$

ann

ual

jam

s, je

llies

, liq

uors

or

pres

erve

s$

ann

ual

cur

ed m

eat,

barb

eque

, sau

sage

s, o

ther

food

pr

epar

ed a

t hom

e.$

ann

ual

egg

s$

ann

ual

clo

thes

, tab

le c

loth

s or

nap

kins

mad

e at

hom

e$

ann

ual

cra

fts,

woo

d pr

oduc

ts, p

alm

fron

ds o

r m

ats

mad

e at

hom

e $

ann

ual

furn

iture

mad

e at

hom

e$

ann

ual

flow

ers,

med

icin

al p

lant

s, m

ushr

oom

s or

oth

er

prod

ucts

col

lect

able

by

the

hous

ehol

d.$

ann

ual

oth

er: s

peci

fy

$ a

nnua

l

Products produced by the household


142

III.5

. In

20#

#, f

or t

he s

ale

of t

he p

rodu

cts

that

you

men

tione

d

Did

you

spe

nd m

oney

on

(ind

icat

e w

ith a

n X

)h

ow m

uch

did

you

spen

d th

e la

st

tim

e?(r

ecor

d th

e am

ount

in lo

cal c

urre

ncy

of th

e ex

pens

e th

at is

rec

orde

d)

how

oft

en d

o yo

u sp

end

this

?(r

ecor

d ho

w o

ften

)E

xpen

ses

yes

no

empl

oyee

wag

es?

$m

onth

ly, e

very

tw

o m

onth

s, q

uart

erly

, ev

ery

six

mon

ths,

ann

ually

rent

of t

he p

lace

whe

re y

ou s

old?

(sto

re, l

and

use

or p

late

s)$

mon

thly

, eve

ry t

wo

mon

ths,

qua

rter

ly,

ever

y si

x m

onth

s, a

nnua

lly

raw

mat

eria

ls, p

acka

ging

and

/or

wor

k m

ater

ials

?$

mon

thly

, eve

ry t

wo

mon

ths,

qua

rter

ly,

ever

y si

x m

onth

s, a

nnua

lly

elec

tric

ity?

$m

onth

ly, e

very

tw

o m

onth

s, q

uart

erly

, ev

ery

six

mon

ths,

ann

ually

fuel

con

sum

ptio

n?$

mon

thly

, eve

ry t

wo

mon

ths,

qua

rter

ly,

ever

y si

x m

onth

s, a

nnua

lly

othe

r ex

pens

es?

(spe

cify

)$

mon

thly

, eve

ry t

wo

mon

ths,

qua

rter

ly,

ever

y si

x m

onth

s, a

nnua

lly

III.6

. In

20#

#, w

ere

you

or a

ny m

embe

r of

you

r ho

useh

old

empl

oyed

in a

ny o

f th

e fo

llow

ing

activ

ities

?

Jobs

Mar

k th

e re

spon

se w

ith

an X

Who

in y

our

hous

ehol

d w

as e

mpl

oyed

in s

uch

acti

viti

es?

(mar

k w

ith a

n X

)

how

muc

h m

oney

was

ob

tain

ed a

s w

age?

how

wer

e th

ey h

ired

(sel

ect w

ith a

n X

)Fo

r ho

w m

uch

tim

e w

ere

they

hi

red?

(spe

cify

the

time

in m

onth

s)

how

muc

h tim

e w

orki

ng in

suc

h pl

ace?

(spe

cify

in m

onth

s or

yea

rs)

yes

no

12

34

56

78

910

am

ount

how

oft

en(d

aily

, wee

kly,

tw

ice

a m

onth

, m

onth

ly)

Per

man

ent?

Tem

pora

ry?

as

day

labo

rer

$m

onth

sm

onth

s/ye

ars

in a

ret

ail e

stab

lishm

ent (

stor

es,

phar

mac

ies,

har

dwar

e st

ores

, pap

er

good

s st

ores

, etc

.)$

mon

ths

mon

ths/

year

s

in a

mob

ile c

omm

erci

al e

stab

lishm

ent

(sta

nds,

mar

kets

etc

.)$

mon

ths

mon

ths/

year

s

gar

men

t and

text

ile w

orks

hops

$m

onth

s m

onth

s/ye

ars

Pre

para

tion

and

sale

of f

ood

(fas

t foo

d,

rest

aura

nt, b

ar, e

tc.)

$m

onth

s m

onth

s/ye

ars

in a

car

pent

ry w

orks

hop

$m

onth

s m

onth

s/ye

ars

in a

mec

hani

cs w

orks

hop

$m

onth

s m

onth

s/ye

ars

in a

bea

uty

salo

n$

mon

ths

mon

ths/

year

s

in th

e m

akin

g of

cra

fts

$m

onth

s m

onth

s/ye

ars

employment


Jobs

Mar

k th

e re

spon

se w

ith

an X

Who

in y

our

hous

ehol

d w

as e

mpl

oyed

in s

uch

acti

viti

es?

(mar

k w

ith a

n X

)

how

muc

h m

oney

was

ob

tain

ed a

s w

age?

how

wer

e th

ey h

ired

(sel

ect w

ith a

n X

)Fo

r ho

w m

uch

tim

e w

ere

they

hi

red?

(spe

cify

the

time

in m

onth

s)

how

muc

h tim

e w

orki

ng in

suc

h pl

ace?

(spe

cify

in m

onth

s or

yea

rs)

yes

no

12

34

56

78

910

am

ount

how

oft

en(d

aily

, wee

kly,

tw

ice

a m

onth

, m

onth

ly)

Per

man

ent?

Tem

pora

ry?

in a

n in

tern

et c

afé

$m

onth

s m

onth

s/ye

ars

in c

onst

ruct

ion

(mas

onry

and

oth

er

wor

ks; i

nclu

des

assi

stan

t)$

mon

ths

mon

ths/

year

s

in a

maq

uila

dora

or

fact

ory

(incl

udes

ag

ricul

tura

l pro

duct

s pr

oces

sor)

$m

onth

s m

onth

s/ye

ars

in a

noth

er tr

ade

or jo

b (s

peci

fy):

$m

onth

s m

onth

s/ye

ars

III.7

. If

you

ans

wer

ed n

o to

the

pre

viou

s qu

estio

n, w

hy w

eren

’t y

ou e

mpl

oyed

in s

uch

activ

ities

?

Sel

ect

wit

h an

X

ther

e ar

e no

sou

rces

of e

mpl

oym

ent i

n th

e re

gion

in th

ese

activ

ities

i do

not h

ave

the

nece

ssar

y kn

owle

dge

to c

arry

out

the

wor

k re

quire

d

the

leve

l of s

choo

ling

that

the

jobs

req

uire

is g

reat

er th

an i

have

the

sala

ries

are

very

low

and

muc

h is

spe

nt o

n co

mm

utin

g an

d/or

food

it’s

ver

y ha

rd w

ork

with

low

pay

i hav

e ne

ver

wor

ked

in a

nyth

ing

othe

r th

an w

hat i

do

on m

y la

nds

or p

rope

rty.

the

agric

ultu

ral a

ctiv

ity th

at i

did

is v

ery

prof

itabl

e.

i did

n’t n

eed

it

oth

er (

spec

ify):


144

III.8.

Did

any

mem

ber

of y

our

hous

ehol

d ha

ve t

o pe

rman

ently

leav

e th

e lo

calit

y in

sea

rch

of w

ork?

Mar

k th

e re

spon

se

wit

h an

X

Who

in y

our

hous

ehol

d le

ft y

our

com

mun

ity

in s

earc

h of

wor

k?W

here

did

he/

she

go?

Did

thi

s m

embe

r of

th

e ho

useh

old

send

yo

u an

y m

oney

?h

ow m

uch

mon

ey

did

he/s

he s

end?

(ind

icat

e th

e am

ount

in lo

cal

curr

ency

)

how

oft

en d

oes

he/

she

send

mon

ey?

(ind

icat

e th

e tim

e in

da

ys, w

eeks

, tw

ice

a m

onth

or

mon

ths)

Sin

ce w

hen

has

he/s

he s

ent

it?

(ind

icat

e in

m

onth

s or

yea

rs)

no

(go

to ii

i.14)

yes

hou

seho

ld m

embe

r (r

espe

ct a

bove

ord

er a

nd m

ark

with

an

X)

oth

er c

ity

of

the

sam

e st

ate

(spe

cify

)

oth

er s

tate

(spe

cify

)o

ther

cou

ntry

(spe

cify

)

no

go

to

iii.1

4ye

s

1c

ityst

ate

cou

ntry

$m

onth

s/ye

ars

2c

ity

stat

e c

ount

ry

$m

onth

s/ye

ars

3c

ity

stat

e c

ount

ry

$m

onth

s/ye

ars

4c

ity

stat

e c

ount

ry

$m

onth

s/ye

ars

5c

ity

stat

e c

ount

ry

$m

onth

s/ye

ars

6c

ity

stat

e c

ount

ry

$m

onth

s/ye

ars

7c

ity

stat

e c

ount

ry

$m

onth

s/ye

ars

8c

ity

stat

e c

ount

ry

$m

onth

s/ye

ars

9c

ity

stat

e c

ount

ry

$m

onth

s/ye

ars

10c

ity

stat

e c

ount

ry

$m

onth

s/ye

ars

III.9

. In

form

atio

n re

gard

ing

the

sour

ce o

f em

ploy

men

t:

how

did

you

fin

d ou

t ab

out

the

job?

(ind

icat

e w

ith a

n X

)Th

e pl

ace

whe

re y

ou g

ot t

he jo

b is

loca

ted

at:

(mar

k w

ith a

n X

)

from

a fa

mily

mem

ber

Loca

l reg

ion

(go

to ii

i.11)

the

loca

lity

the

mun

icip

ality

from

som

eone

who

is n

ot a

mem

ber

of m

y ho

useh

old

fore

ign

regi

on (

go to

iii.1

0)

the

natio

n's

capi

tal

the

capi

tal o

f the

sta

te o

f res

iden

ce (

spec

ify w

hich

)

oth

er c

ity (

spec

ify w

hich

)

i wen

t to

look

for

the

job

in a

noth

er s

tate

(sp

ecify

whi

ch)

the

Uni

ted

stat

es

i got

this

wor

k m

any

year

s ag

oc

anad

a

oth

er c

ount

ry (

spec

ify):

oth

er (

spec

ify):


III.

10.

In

the

regi

on w

here

you

wen

t to

wor

k

how

long

did

you

sta

y?(s

elec

t with

an

X)

Whi

ch m

embe

r of

you

r ho

useh

old

acco

mpa

nied

you

?(s

elec

t with

an

X)

on

the

prop

erty

or

in t

he e

stab

lishm

ent

whe

re y

ou w

ent

to

wor

k, d

id y

our

empl

oyer

off

er y

ou a

cces

s to

(s

elec

t with

an

X)

Did

you

r em

ploy

er r

egis

ter

you

in t

he S

ocia

l S

ecur

ity

Sys

tem

?(s

elec

t with

an

X)

yes

no

Doe

sn’t

kno

w

shor

t ter

m

Less

than

15

days

1b

athr

oom

bet

wee

n 15

day

s an

d 1

mon

th2

hou

sing

from

1 to

2 m

onth

s3

serv

ices

of:

wat

er, e

lect

ricity

, sew

er

4m

edic

al s

ervi

ces

Long

term

from

3 to

4 m

onth

s5

day

car

e

from

5 to

6 m

onth

sa

lln

one

from

7 to

8 m

onth

sn

one

oth

er (

spec

ify):

oth

er (

spec

ify):

oth

er (

spec

ify):

III.1

1. o

n th

e pr

oper

ty o

r in

the

bus

ines

s or

est

ablis

hmen

t w

here

you

wen

t to

wor

k, d

id y

our

empl

oyer

(Ind

icat

e w

ith

an X

)ye

sn

o

info

rm y

ou o

f any

ris

k to

you

r sa

fety

and

hea

lth b

efor

e be

ginn

ing

to w

ork?

prov

ide

you

with

any

spe

cial

ized

equ

ipm

ent f

or c

arry

ing

out t

he w

ork

if re

quire

d?

prov

ide

you

with

ade

quat

e cl

othe

s fo

r th

e w

ork?

have

a fi

rst a

id k

it?

have

a s

afet

y an

d hy

gien

e co

mm

issi

on?

tell

you

the

safe

ty r

ules

that

sho

uld

be fo

llow

ed in

han

dlin

g pe

stic

ides

?

have

a d

octo

r at

the

wor

k si

te?


146

III.1

2. I

n th

e bu

sine

ss o

r Pu

whe

re y

ou w

ent

to w

ork,

did

you

rec

eive

tra

inin

g be

fore

sta

rtin

g to

wor

k?

no

(go

to ii

i.13)

yes

Wha

t ty

pe o

f tr

aini

ng?

(sel

ect w

ith a

n X

)W

ho p

rovi

ded

it?

(sel

ect w

ith a

n X

)D

o yo

u co

nsid

er t

hat

the

trai

ning

was

: (s

elec

t with

an

X)

(sel

ect w

ith a

n X

)o

n ho

w to

do

the

wor

kP

erso

nnel

of t

he e

mpl

oyer

very

use

ful

on

how

to b

ehav

e in

the

prod

uctio

n un

itc

ompa

ny c

ontr

acte

d by

the

empl

oyer

Use

ful

on

the

haza

rds

on th

e pr

oper

ty/e

stab

lishm

ent

doe

s no

t kno

w

oth

er (

spec

ify):

oth

er (

spec

ify):

not

ver

y us

eful

III.1

3. I

n 20

##, in

ord

er t

o ca

rry

out

the

wor

k fo

r w

hich

you

wer

e hi

red

Did

you

spe

nd m

oney

on

(ind

icat

e w

ith a

n X

)h

ow m

uch

did

you

spen

d th

e la

st t

ime?

(rec

ord

the

amou

nt in

loca

l cur

renc

y of

the

expe

nse

rem

embe

red)

how

oft

en d

o yo

u sp

end

this

?(r

ecor

d ho

w o

ften

)E

xpen

ses

no

(go

to ii

i.14)

yes

tran

spor

tatio

n$

mon

thly

, eve

ry t

wo

mon

ths,

qua

rter

ly, e

very

six

m

onth

s, a

nnua

lly

mea

ls$

mon

thly

, eve

ry t

wo

mon

ths,

qua

rter

ly, e

very

six

m

onth

s, a

nnua

lly

wor

k m

ater

ials

$m

onth

ly, e

very

tw

o m

onth

s, q

uart

erly

, eve

ry s

ix

mon

ths,

ann

ually

oth

er e

xpen

ses?

(sp

ecify

)$

mon

thly

, eve

ry t

wo

mon

ths,

qua

rter

ly, e

very

six

m

onth

s, a

nnua

lly

III.1

4. n

ow, te

ll m

e ab

out

the

rest

of

your

act

iviti

es

In 2

0##

, di

d yo

u re

ceiv

e an

y ad

diti

onal

inco

me

to t

he in

com

e ge

nera

ted

by y

our

own

acti

viti

es?

how

muc

h m

oney

did

you

rec

eive

? h

ow o

ften

(sp

ecify

: 1 ju

st o

nce,

eve

ry t

wo

wee

ks, m

onth

ly,

ever

y tw

o m

onth

s, e

very

six

mon

ths,

ann

ually

)

for

rent

of y

our

land

$

for

the

rent

of a

sset

s (h

ouse

s, fa

cilit

ies,

mac

hine

ry, e

tc.)

$

for

the

sale

of a

sset

s (h

ouse

s, fa

cilit

ies,

mac

hine

ry, e

tc.)

$

aid

from

the

gove

rnm

ent,

spec

ify$

aid

1$

aid

2$

aid

3$

oth

er

$

other income


Iv.

Sh

oCk

S o

n T

hE

FaM

Ily

Iv.1

. In

the

last

fou

r ye

ars,

has

you

r ho

useh

old

been

aff

ecte

d by

Even

t

Sel

ect

wit

h an

XIn

wha

t ye

ar

did

this

eve

nt

occu

r?

Who

in y

our

hous

ehol

d su

ffer

ed s

uch

even

t?

(dea

th, i

llnes

s, lo

st jo

b, b

ankr

uptc

y, e

tc.)

how

muc

h m

oney

w

as n

eede

d to

fac

e th

is s

itua

tion

?n

o(g

o to

iv.3

)ye

s1

23

45

67

89

10

the

unem

ploy

men

t of a

mem

ber

of y

our

hous

ehol

d?$

the

bank

rupt

cy o

f a b

usin

ess

of th

e m

embe

rs o

f you

r ho

useh

old?

$

the

loss

of y

our

hous

ing

due

to a

fire

, flo

od, h

urric

ane,

ear

thqu

ake

or o

ther

na

tura

l dis

aste

r?$

the

loss

of y

our

harv

est o

r liv

esto

ck p

rodu

ctio

n du

e to

wea

ther

eve

nts?

$

the

loss

of y

our

farm

ass

ets?

$

deat

h of

a m

embe

r of

you

r ho

useh

old?

$

a se

rious

illn

ess

or a

ccid

ent o

f a m

embe

r of

you

r ho

useh

old

that

req

uire

d ho

spita

lizat

ion?

othe

r. (s

peci

fy):

Iv.2

. h

ow d

id y

ou f

ace

the

even

t?

Sel

ect

the

answ

er w

ith

an X

i ask

ed fo

r a

loan

i sol

d an

ass

et

i use

d th

e sa

ving

s i h

ad

i wor

ked

mor

e ho

urs

i fou

nd a

noth

er jo

b

i did

an

addi

tiona

l act

ivity

that

i ha

d no

t don

e be

fore

i sol

d a

busi

ness

i rec

eive

d he

lp fr

om a

fam

ily m

embe

r or

frie

nd

i rec

eive

d ai

d fr

om th

e go

vern

men

t

i did

not

tak

e an

y ac

tion

oth

er (

spec

ify):


148

Iv.3

. In

the

last

fiv

e se

ason

s, d

ue t

o “b

ad w

eath

er”

you

wou

ld s

ay t

hat:

(mar

k w

ith a

n X)

Even

tye

sn

oh

ow m

uch

mon

ey?

i spe

nt m

ore

in s

eeds

$

i spe

nt m

ore

in p

estic

ides

$

i spe

nt m

ore

in fe

rtili

zer

$

i had

to in

crea

se th

e he

ctar

es p

lant

ed$

the

time

for

plan

ting/

fatt

enin

g th

e an

imal

s w

as g

reat

er$

i had

to w

ork

as a

day

labo

rer

else

whe

re-

ano

ther

par

cel

- a

noth

er r

egio

n-

i m

igra

ted

$

i cha

nged

act

ivity

$

i sto

pped

wor

king

oth

ers

(spe

cify

):

v.

ho

uSE

ho

lD E

XPEn

SES

Fo

oD

v.1.

In

the

last

wee

k:

Item

how

muc

h di

d yo

u sp

end?

how

man

y tim

es d

id y

ou

eat?

vege

tabl

es

$

frui

ts$

mea

t$

bea

ns a

nd o

ther

cer

eals

$

tort

illas

$

dai

ry$

oth

er fo

od$


oT

hE

R E

XP

En

SE

S

v.2.

In

the

last

mon

th:

Item

how

muc

h di

d yo

u sp

end

on t

he

follo

win

g it

ems?

cle

anin

g m

ater

ials

(ho

me)

$

tele

phon

e, c

ellu

lar,

tele

grap

h, in

tern

et.

$

oth

er h

ouse

hold

ser

vice

s (w

ater

, ele

ctric

ity, t

rash

col

lect

ion)

$

gas

olin

e an

d tr

ansp

orta

tion

$

fuel

(ga

s, w

ood,

coa

l)$

oth

ers

(spe

cify

):

$

v.3.

In

the

last

yea

r, ho

w m

uch

did

you

spen

d on

:

Item

how

muc

h di

d yo

u sp

end?

clo

thin

g an

d sh

oes

for

the

fam

ily$

hea

lth a

nd m

edic

al s

ervi

ces

$

elec

tron

ic d

evic

es (

tv,

rad

io, e

tc.)

and

hom

e ap

plia

nces

(re

frig

erat

ors,

was

hing

m

achi

nes,

ble

nder

, etc

.)$

furn

iture

and

ute

nsils

for

the

hom

e (d

ishe

s, m

attr

esse

s, e

tc.)

$

rea

l est

ate

tax

$

supp

lies,

uni

form

s an

d ot

her

scho

ol e

xpen

ses

$

Pur

chas

e of

veh

icle

s$

vehi

cle

mai

nten

ance

(tu

ne-u

ps, r

epla

cem

ent p

arts

, oil,

etc

.)$

Par

ties,

vac

atio

ns, o

ther

fam

ily e

vent

s (in

clud

ing

fune

rals

)$

oth

ers

(spe

cify

):

$


150

vI.

ho

ME

an

D l

oCa

lITy

Co

nD

ITIo

nS

vI. 1.

Inf

orm

atio

n ab

out

the

hom

e of

the

hou

seho

ld

The

prim

ary

cons

truc

tion

mat

eria

l of

the

hous

e is

:n

umbe

r of

roo

ms

The

kitc

hen

The

bath

room

Wal

lsC

eilin

gFl

oor

Is lo

cate

d:Fu

ncti

ons

wit

h:Is

loca

ted:

Type

bric

k/ce

men

t blo

cksl

ab

cem

ent

one

insi

de th

e ho

use

woo

din

side

the

hous

efl

ush

toile

tst

one

woo

dtw

o

woo

dP

alm

mos

aic

thre

ea

ttac

hed

gas

att

ache

dse

ptic

tan

kLa

min

ate

can

eLa

min

ate

ear

thm

ore

than

thre

ese

para

teso

lar

ener

gyse

para

teLa

trin

ea

dobe

oth

er (

spec

ify):

oth

er (

spec

ify):

oth

er (

spec

ify):

oth

er (

spec

ify):

oth

er (

spec

ify):

oth

er (

spec

ify):

oth

er (

spec

ify):

oth

er (

spec

ify):

vI.2

. Th

e se

rvic

es y

ou h

ave

in y

our

hous

e ar

e: (i

ndic

ate

with

an

X)

Pot

able

wat

erS

ewer

Elec

tric

ity

Tele

phon

eo

ther

(Spe

cify

):

vI.3

. In

the

loca

lity

whe

re y

ou li

ve,

are

ther

e: (i

ndic

ate

with

an

X)

hea

lth

serv

ices

yes

no

Edu

cati

on

serv

ices

yes

no

Pot

able

wat

er

serv

ice

yes

no

Pub

lic

tran

spor

tati

on

serv

ices

yes

no

Tele

phon

e se

rvic

eye

sn

oIn

fras

truc

ture

yes

no

non

en

one

non

en

one

non

e r

oads

hea

lth c

linic

Pre

scho

olo

nce

a w

eek

onc

e a

day

onl

y a

boot

hh

ighw

ay

mob

ile h

ealth

car

eP

rimar

yfr

om 2

to 3

tim

es a

wee

ktw

ice

a da

y a

boo

th a

nd in

so

me

hous

esP

ublic

ligh

ting

Pub

lic h

ealth

cen

ter

seco

ndar

yfr

om 4

to 5

tim

es a

wee

kth

ree

times

a d

ayc

ellu

lar

phon

es

a b

ody

of w

ater

Priv

ate

hea

lth c

ente

rh

igh

scho

olev

ery

day

freq

uent

lyLa

nd li

ne

dra

inag

e sy

stem

oth

er (

spec

ify):

oth

er (

spec

ify):

oth

er (

spec

ify):

oth

er (

spec

ify):

oth

er (

spec

ify):

oth

er (

spec

ify):



The World Bank. Enterprise survey. washington, dc.

The World Bank. governance survey database. http://web.worldbank.org/wbsite/eXternaL/toPics/eXtPUbLicsectorandgovernance/0,,contentmdK:21817491~pagePK:148956~piPK:216618~thesitePK:286305~iscUrL:y,00.html


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