Karen Ann Dvorak
6.0 Performance objectives
6.1 Introduction
6.2 Exploratory surveys
6.3 Topical surveys
6.4 Cost-route studies
6.5 Summary
6.6 Feedback exercises (Find out answers from the text)
6.7 Suggested reading and references
Technical Paper 6 is intended to enable you to:
1. Recall three parts of an IITA project used as a case study for collecting economic data.2. Describe the procedure followed by IITA to conduct an exploratory survey.
3. Discuss how a topical survey differs from an exploratory survey and explain what type of data is collected in a topical survey.
4. Discuss limitations of the cost-route study and recall various steps in its conduct.
Assessment of socioeconomic issues related to alley farming is in its beginning stages. Some useful examples include Sumberg et al. (1987) and Ngambeki (1985). Because of a general lack of on-farm economic data for agroforestry systems, many studies to date have used secondary and simulated data. Researchers can make important contributions to this field by conducting well planned, well executed, socioeconomic data collection exercises.
In this chapter, we will review certain principles of economic data collection for the socio-economic analysis of alley farming, using an on-going IITA project as a case study.
The IITA study was started in 1988 and consists of three parts:
· an exploratory survey,
· a topical survey, and
· an intensive data collection (cost-route or panel study).
6.2.1 Key Informant Interviews
6.2.2 Village-Level Group Interviews
Exploratory surveys are Useful tools for conducting socioeconomic inventories of resource management and resource availability in farming systems. Two types of surveys may be used:
· key informant interviews, and
· village-level group interviews.
Individual or household-level interviews are also useful tools for social science research. However, they are more time consuming than key informant or village-level surveys, and generally are not used as exploratory surveys.
Key informant interviews are useful tools for exploratory surveys. A "key informant" is generally a person with a special expertise selected to provide information. Experienced district officers, extension agents, or senior members of the farming community may be purposely selected to provide information on local cropping systems, soil management practices, or production constraints.
Similarly, key informant interviews with women traders could be used to provide information on marketing practices, marketing margins, or costs of transporting agricultural produce. Key informants need not be randomly selected. The researchers may use his or her judgement in selecting participants most likely to be knowledgeable about the subject under investigation.
Key informant interviews may be informal or formal. They may use an "open-ended" or "closed" questionnaire format, or a "check-list" approach. With a check-list approach, the researcher lists the topics to be covered in the interview, which takes the form of a discussion. The check-list is essentially a reminder to the researcher of the topics that need to be covered in the conversation.
For more formal surveys, a set of specific questions are printed. The researcher moves through the questionnaire asking each question in turn. "Closed" questions require that specific responses be recorded, for example:
In this region, what is the most common length of fallow following cassava production?_ No fallow _ 1 year _ 2-3 years _ more than 4 years
An "open-ended" question does not require a fixed response. The researcher simply records the response of key informant, for example:
Please describe the most common cropping pattern in this area
___________________________________________________
___________________________________________________
___________________________________________________
___________________________________________________
Open-ended questions are more suitable for qualitative data. Closed questions are more suitable for quantitative data.
Many socioeconomic topics can be usefully investigated using key informant interviews, including the following: types of land tenure, price trends, prevalence and sources of hired labor, availability of land, use of communal labor, methods of paying labor, household structure, cropping practices generally, transportation costs, market access, information on food storage and processing techniques. Key informant interviews have the advantages of being relatively rapid and inexpensive.
Interviews in the IITA Project
In the IITA project, village-level group interviews were used as the exploratory survey method. Villages were randomly selected from a list of villages procured from the local government for the area under study. Village contacts were made through the assistance of extension agents. Meetings were fixed one day in advance. Fifteen to twenty people representing small and large farmers and men and women were invited to attend the meeting. Generally two meetings were held per day.
Apart from a few general questions to let the meeting get going, the following topics were addressed:
· fallow periods and use of fallow vegetation,
· land tenure,
· management of trees, and
· price and markets.
Some questions were also asked on labor availability but since this is frequently a sensitive topic it cannot be explored in a great detail in the format of a village interview. Nevertheless, labor availability remains a crucial factor in alley cropping economics.
An example of a form used for the IITA exploratory survey is presented at the end of this paper (Addendum A).
How to Conduct Interviews
Always introduce yourself and your colleagues and explain the purpose of your study. It may be necessary to establish at the outset that you will not pay the villagers or hand out gifts for participation. A thorough explanation of the purpose of your research and the role of information collected from the farmers can help prevent later difficulties. Include information on how many villages you will visit and how they were selected. If villagers do not wish to participate, move on to another village.
In conducting group interviews, it is important to allow the villagers enough time to discuss matters among themselves before recording an answer. Such discussion should be encouraged, not discouraged. Avoid accepting answers from a single spokesman for all the villagers. Stress that there is no "right" answer - that your interest is the farmers' opinions, problems and concerns. Pay attention to differences in answers. For example, men and women may feel that different crops are the most important. Or, women may have different ideas than men about access to bush off-takes such as firewood.
Data from group interviews of this nature is most reliable when dealing with general practices village-wide. Crop and fallow management questions are appropriate for this method. General information on prices and markets may be asked. Group interviews are not suitable for investigating distribution of wealth, land ownership, labor hiring.
Questions should be neutral; that is, avoid ''leading questions". Leading questions have a particular answer embedded in the question itself, for example:
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Is oil bean your most important fuel wood material? | |
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- Yes |
- No |
In this leading question, you are suggesting to the farmer that the oil bean tree is the most important fuel wood. This question would be better phrased:
What three materials are most often used for firewood?(1) _________________________________________
(2) _________________________________________
(3) _________________________________________
Any list of interview questions (called an interview schedule) should be pretested with a small number of villages (or individuals if appropriate). Modify any questions the farmers have difficulty understanding. Eliminate questions which result in ambiguous answers. Pre-tests should not include part of your final sample. Allow time in research planning for pre-testing and revising the questionnaire.
Always record the date of interview and interviewers' names on each form, as well as an indication of the location of the interview. Your interview schedule should also be dated in case you make later revisions, resulting in more than one version of the interview schedule.
In closing the interview, always thank the participants sincerely for their time and information. Ask if there is any information that they would like to add on the topics that have been discussed. It may be helpful to ask if they have any questions. Many of their questions will be technical, so an extension agent or familiarity with extension recommendations is often helpful.
Review the material at the end of each day with other team members. Note any problems or ambiguities in responses. These may be cleared up by follow-up visits, or at least corrected in future interviews.
The exploratory survey, described above, deals with rather general crop and resource management issues at the village level. It is a useful tool for describing agricultural practices across a region, and for identifying areas for research. A topical survey, on the other hand, is typically very specific and designed to answer particular questions on a focused topic. It is often more appropriate to administer a topical survey to individual farmers. When properly designed, a topical survey can provide quantitative data which can be subjected to statistical analysis.
For example, data could be collected on land tenure and a table drawn up of the number of plots borrowed, rented, and owned. Such data could then be compared with regard to successful and unsuccessful alley farms (Table 1). To cut and carry the fodder for livestock may require farmers to make daily visits to their alley farm; data on distance from the compound to the alley farm could be collected and analyzed for its effect on the practice of using hedgerow species as fodder (Table 2). Farmers' characteristics such as gender, place of origin, degree of contact with extension personnel, major occupation, are suitable for a topical survey.
A topical survey may also be useful for obtaining farmers evaluations of alley farming. Farmers may be asked to list their uses of the hedgerow species. They may be asked to suggest other species which they think would be suitable for alley farming systems. Any "criticisms" should be carefully noted and evaluated for possible improvements in the system and its management.
A sample form used for a topical survey in the IITA project is presented at the end of this paper (Addendum B).
Table 1. Tenure and current status of alley farms established in 1985 in XXX village, VVV province
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Status in 1987 |
Own |
Borrowed |
Rented |
Total |
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Successful |
12 (60)* |
3 (5) |
5 (25) |
20 |
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Unsuccessful |
4 (50) |
2 (25) |
2 (25) |
8 |
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Total |
16 (57) |
5 (18) |
7 (25) |
28 |
* Numbers in parentheses are row percentages.
Table 2. Distance from compound to the alley farm and the use of hedgerow biomass from alley farms established in 198S in XXX village, VVV province.
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Distance to compound (minutes) |
Fodder |
Mulch |
Poles |
Total |
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<3 |
1 2 (60)* |
8 (40) |
0 (0) |
20 |
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>3 and <10 |
4(40) |
5 (50) |
2 (10) |
11 |
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>10 |
1 (103 |
7 (50) |
2 (10) |
10 |
* Number in parentheses are row percentages
Cost-route studies are highly detailed field study analyses of inputs and outputs related to farmers' use of a particular technology. They demand close participation in and observation of the adoption of a technology in the farmer's environment over an extended period of time. Generally speaking, cost-route studies (also called panel studies) are expensive and time-consuming. There is a tendency to generate data which is difficult to manage and may never be used. Cost-route studies are a last resort and must be justified by the absence of any other means to answer important research questions. Often, exploratory and special topical surveys can be used in place of cost-route studies.
Study Site
IITA conducted a cost-route study of alley farming in Ayepe village of Irewole Local Government Area (ILGA), Osun State, Nigeria. The village is an established site for IITA on-farm research and is situated in the "cocoa belt" of the lowland, semi-deciduous, humid forest, about 60 km southeast of IITA headquarters in Ibadan. Average annual rainfall is between 1250 and 1500 mm. The main rainy season is from late March to late July, followed by a break and a short rainy season from late August to early November. Soils generally belong to the Egbeda association.
Cassava (Manihot esculenta) is the primary staple and food crop produced, frequently in association with maize. Cocoyam (Zanthosoma sagittifolium) and yam (Dioscorea spp.), and small quantities of vegetables, including egusi melon (Citrullus lanatus), tomatoes (Lycopersicon esculentum), peppers (Capsicum spp.), leafy green vegetables (Amaranthus spp., Corchorus olitorius and Celosia spp.) and okra (Hibiscus esculentus) are also produced. Plantains (Musa paradisiaca) and bananas (Musa musaaceae) appear in dense stands in small "backyard" areas, scattered in food crop fields, and in plots of cocoa (Theobroma cacao.) Cocoa plots are not well maintained, yet earnings from cocoa remain an important source of cash and some farmers continue planting new cocoa. "Wild" oil palm are protected, and processing of palm oil is another important source of cash income, particularly for women.
Methods
Eleven farmers in the Ayepe area were assisted in planting hedgerows of Leucaena leucocephala in the 1987 rainy season. Scarified, but not inoculated, Leucaena seeds were planted to create six hedgerows 4m apart, each at least 25m long. Three seeds per hole were dibbled at an intra-row spacing of 25cm. The alley crops were cassava + maize. The principles of hedgerow management to maintain soil fertility were explained. After planting, management was under farmers' control.
Detailed data collection started during the rainy season of 1988, just prior to the main cropping season. In April-May, each field with hedgerows was visited and height and spacing of all Leucaena plants was measured. This management was repeated in January-February 1989. All field crop plots managed by farmers were visited and measured. Trees present in each plot were counted and mapped. The distance from compound to each plot, in kilometers and walking thee, was also measured.
Panel surveys on agricultural inputs and outputs began in October 1988. Data were obtained on all activities, inputs and outputs for each plot under the farmers' management. Each farmer was visited every three days, and interview data was recorded on a field worksheet. Coding and data entry were done at office headquarters. Data analyses were carried out using SAS computer software.
The type of data recorded in the IITA panel surveys in Ayepe consisted of:
· date of an operation,
· type of operation (clearing, weeding, pruning, harvesting, etc), and
· the hours spent by each family member in each operation.
The farmers selected in this study met 95% of the labor requirement from their family members. Work by young people and children was also included. Although they did not work as efficiently as adults, these groups nevertheless contributed to the work on the farm. Some operations, such as distributing cassava cuttings or gathering maize cobs, may be done entirely by children.
A list of field measurements taken, with a description of each measurement, is presented at the end of this paper (Addendum C). An example of a field worksheet used in a panel survey is also provided (Addendum D).
Special Topical Surveys as an Alternative to Cost-Route studies
Because so much data is generated by full cost-route studies, they require large computers and skilled programming for data management and analysis. This is one reason why cost-route studies should be avoided, whenever possible. Instead, it will in most cases be preferable to design a topical study which focuses on specific subsets of activities.
For example, in a study focused on labor requirements, data on major labor operations may be recorded for an alley farm and one additional field (similar to a control). Such a study could be conducted in conjunction with an agronomic on-farm trial that assesses the potential of alley farming for mulch and fodder production under farmer management. The researcher may wish to record labor requirements for clearing, weeding, pruning, and mulching, and for cutting and carrying fodder.
Dates of operations, and the age and gender of workers should be recorded. Dates of operations will be important because some periods in the season are especially busy, e.g., clearing and planting time(s), and time of first weeding. When farmers find it necessary to postpone pruning, the shading of alley crops by hedgerows may cause yield losses. It is important to note, if alley farming increases, than labor requirements are peak labor demand periods. Likewise, the researcher should note when tasks are done primarily or exclusively by either men or women.
This paper described the procedures followed in an IITA project to collect data for the socioeconomic study of alley farming. Exploratory surveys focus on issues at the village level while topical surveys are more specific in nature and are aimed at collecting quantitative data on land tenure, farm practices, farmer's characteristics, etc. related to individual farmers. Cost-route or panel studies are more expensive and time consuming. The amount of data procured in cost-route studies is quite large and can be analysed by using the SAS computer program. Sample forms for data collection using each of the methods are given at the end of the chapter.
1. Name two types of surveys that may be used as exploratory surveys.
2. Name four or more topics on which information can be sought in an exploratory survey for economic data collection on alley farming.
3. Circle A for agree and DA for disagree.
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a. |
A topical survey deals with village-level problems while an exploratory survey focuses on individual farmers. |
A |
DA |
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b. |
The study of farmers' characteristics falls in the domain of topical surveys. |
A |
DA |
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c. |
The topical survey offers an opportunity to collect quantitative data which may be subjected to statistical analysis. |
A |
DA |
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d. |
"Cost-route study" and "panel study" refer to the same thing. |
A |
DA |
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e. |
The cost-route study is preferred over exploratory and topical surveys due to its simplified and rapid approach. |
A |
DA |
4. The five major steps in the conduct of a cost-route study in Ayepe Village by IITA scientists were:
. Selection of 11 farmers
. ___________________
. Data collection on various activities, outputs and inputs
. ___________________
Addendum A: Exploratory survey Sample Croup Interview Form
Addendum B: Topical Survey Sample Questionnaire
Addendum C: Field Measurements
Addendum D: Cost-Route Study Sample Data Sheet
Casley, D.G.; Kumar, K. 1988. The collection, analysis, and use of monitoring and evaluation data. The Johns Hopkins Press for the World Bank, Baltimore, Maryland, USA.
Chambers, R. 1981. Rapid rural appraisal. Rationale and repertoire. Public Administration and Development 1: 95-106.
Khon Kaen University. 1987. Proceedings of the 1985 International Conference on Rapid Rural Appraisal, 2-5 September 1985, Khon Kaen, Thailand. Khon Kaen: Rural Systems Research and Sameng Systems Research Projects.
Holtzman, J.S. 1986. Rapid reconnaissance guidelines for agricultural marketing and food systems research in developing countries. Working Paper No. 30.MSU International Development Papers. Department of Agricultural Economics. Michigan State University, East Lansing, Michigan USA.
Ngambeki, D.S. 1985. Agricultural Systems. 17: 243-258.
Quiros, C.A., Gracia, T., Ashby, J.A. 1990. Farmer evaluation of technology: methodology for open-ended evaluation. Working Document No. 62. Centro Internacional de Agricultura Tropical, Apartado Aereo 6713, Cali, Colombia. 108 p.
Rhoades, R.E. 1982. The art of the informal agricultural survey. Social Science Training Document. International Potato Center, Apartado 5969, Lima, Peru. 40 p.
Sumberg, J.E., McIntire, J., Okali, C., and Atta-Krah, A.N. 1987. ILCA Bulletin 28, 2-6.
Source: Adapted from Karen Dvorak, Joost Foppes and Abe Goldman
"Survey on Resource Management Needs and Strategies Group Interview Form",
(International Institute of Tropical Agriculture, March 1988)
Village: _______________ LGA: _______________
Community: _______________ Country: _______________
Interviewer: _______________ Form # 2A(3.88)
I. CROPS
1. In your village, what crop is the most important for:
a. food _______________
b. cash _______________
c. area _______________
2. What other crops are important in your village (rank in order of importance)?
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________ Yams () ________ |
Cocoyams () ________ Cassava () |
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________ Platain () ________ |
Maize () ________ Rice () |
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________ OilPalm () ________ |
Kola () |
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________ Vegetable & fruits () [Specify] |
________ Others [specify] |
II. FALLOW SYSTEM AND FIELD TYPES
3a. Do people in this village move their cultivated fields every year all together?
________ Yes ________ No
3b. [If Yes] How many areas does the village have in this rotation cycle?
________ Years
3c. Was the number of areas the same (same length of cycle) 20 years ago?
________ Yes ________ No, if no, how many years rotation? ________
4a. What is the best length of time to rest a field after cropping?
(Distinguish between actual fallow periods and cycles that include fallow+cropping)
Cropping: ________ years Fallow: ________ years Full cycle: ________ years
4b. Are some fields in the village rested for more than (the required number of years)?
________ No ________ Yes, if yes, what is the longest period that fields are rested? ________ years
4c. How many years are most fields in this village rested before replanting? ________ years
4d. What is the fewest number of years that fields in this village are rested? ________ years
5a. Do you have compound farms? ________ Yes ________ No
5b. Are these fields ever rested? ________ No ________ Yes. If yes, for how long? ________ years
6a. Other than compound gardens, are all fields fallowed for the same length of time? ________ Yes ________ No
6b. (If No) What are the differences?
Group 1:
Group 2:
III FALLOW VEGETATION
7a. What are the most important plants in the bush/fallow? (Enter names in 7b below)
7b. What are their uses?
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8. When you clear a field, are all trees cut? ________ Yes ________ No. If no, which ones are not cut?
9a. Do you plant any trees in fallow fields? ________ No ________ Yes. If yes, what are they?
9b. (If yes) please describe how you do the planting
9c. Why are these trees planted?
10a. What is the best plant for staking? ________ Why?
10b. Is this the one most often used? ________ Yes ________ No. If no, which is most often used?
11a. Do many people here buy staking? ________ No ________ Yes. If yes,
(i) What is the main type of wood that is bought? ________
(ii) What is the usual price for these stakes? ________
11b. Can anybody take stakes from the bush? ________ No ________ Yes
12a. What is the best wood used here for firewood? ________
12b. Which types of wood are most often used for firewood? ________
________________________________________________________
12c. Is much wood from here sold to other areas? ________ No ________ Yes
12d. Do you buy firewood? ________ No ________ Yes
12e. Can anyone take firewood from the bush? ________ Yes ________ No
IV LAND ECONOMY AND AVAILABILITY
13a. Do people from outside the village use land in this village? ________ No ________ Yes
If yes, how do they pay for it?
________ Gift ________ Loan ________ Rent ________ Pledge ________ Buy
13b. Where do they come from?
13c. Is land in this village owned ________ communally only ________ individually only ________ both
14. If a family in the village does not have enough land, can they get more? ________ No ________ Yes. If yes, how would they obtain it and how would they pay of it? (Note length of time)
________ Gift ________ Loan ________ Rent ________ Pledge
15. Do some people from the village farm land on other areas?
________ No ________ Yes. If yes where do they go? ________
V. LABOR AND AVAILABILITY
16a. Is it very difficult to hire labor? ________ No________ Yes. If yes when is it most difficult? ________
16b. What is the daily rate for hired labor?
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Men |
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Food or Wine |
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16c. Are many people from this village working outside the village? ________ No ________ Yes. If yes where fare they working?
17. Where is most of the food sold that is produced in the village? ________
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FARM/FARMER DATA 22.8.89 kd Project Reference: ________ Farm number: ________
Locality: ________ Village: ________ Farmer name: ________ Date: ________
Planter's name if not original farmer: ________ Year planted: ________ Interviewer: ________
Species 1: ________ Species 2: ________ Local staff member/contact: ________
A 1. Visit to field? ___ Yes ___ No
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YEAR |
CROPS |
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A3. Is hedgerow ongoing? ___ Yes ___ No
If NO - Reason for failure
___ Establishment failure
___ Maintenance failure
___ Overtaken by weeds
___ Moisture stress
___ Returned to owner*
___ Abandoned field*
___ Poor stand
___ Shading
___ Lost m bum
___ Slashed
___ Waterlogged
___ Infertile soil
___ Cannot locate __ farmer field
___ Farmer evaluation of failure:
A4. Current use
___ Temporary fallow
___ Cassava fallow
___ Cropping:
Pattern: _______________
Date planted: __________
IF YES
A5. Most recent pruning: ________
A6. Most recent weeding: ________
A7. Hedgerow biomass uses:
___ Mulch ___ Feed ___ Timber
___ Stakes ___ Fuel
___ Combination (specify):
___ Other (specify): _______________
A8. Farmer evaluations:
1. Hedgerow uses
2. Crop yields (and/or soil improvement)
3. Weed suppression
4. Labor requirements
5. Management requirements
FARMER CHARACTERISTICS
B1.___ Indigene or ___ stranger (if au-anger: B1a. Years in village: ___ B1b. Home: ___)
B2. Number of ___ goats ___ sheep ___ cattle B3. Cocoa herds? ___ Yes ___ No
B4. Tenure of alley farm: ___ B5. Oil palm? ___ Yes ___ No
B6. Main occupation (by income source): _________ Secondary: _________
B.7 Number of adults in compound doing farm work: _________
B.8 Hires annual labor? ___ Yes ___ No B9. Hires task labor? ___ Yes___ No
DIFFUSION
C1. Have you undertaken gap filling? ___ Yes ___ No
C2. Have you extended the size of your first alley? ___ Yes ___ No
C3. Have you planted a new alley? ___ Yes___ No
C3a. If yes, is it also experimental? ___ Yes___ No. C3b. If yes, give ID:
C4. Has any other family member planted hedgerows? ___ Spouse___ Other ___ No
C5. Have you given seed to any other farmer? ___ Yes ___ No
C6a. If yes, may we know to whom (name and location)
C6b. When were the seeds given? _________
C6c. Do you know if they were planted? ___ Planted___ Not planted ___ Don't know
C7. Have other farmers asked you about alley cropping/alley farming? ___ Many ___ Some ___ None
C8. What changes would you recommend in the alley cropping/farming system?
C9a. What do you think is most important for obtaining good stand?
C9b. For obtaining good biomass production?
Source IITA Ayepe Studies, 1989
(1) Field size
Field measurements were initially done using flexible tapes laid along two boundaries. Areas were approximated as rectangles. This was not a very accurate measurement, but served the purposes for the first stages of data collection. From April 1989, all field measurements were done using compass and tapes or pacing.
(2) Tree counts
All established trees within a plot's boundaries were identified and coordinates marked on 2 plot map. Coordinates were determined by laying two flexible tapes along two boundaries of the field, and estimating location of the tree relative to the baseline tape. Coordinates obtained in this manner were approximate.
(3) Stand counts of Leucaena leucocephala
A flexible tape was laid on the ground along the base of the trees in a hedgerow. The reading for each tree was recorded. Plant height was measured for the tallest stem, using a metal metal tape or, for trees in excess of a height for easy reading, a marked rod.
(4) Biomass measurements
For each of the six hedgerows, every fifth stand of L. leucocephala was cut to a height of 50 cm from the ground. Small branches (<3mm thick) and leaves were stripped from the stems. Fresh (leaves + small branches) weights of stems and leaves small branches were taken separately using a spring balance in the field. Foliage and stems were spread on the alleys, stacked at the field, or returned to the farmer according to the farmer's preference.
Source: IITA Ayepe Study, 1989
RME004 ALLEY CROPPING TRIALS KAD 4.9.89 700 FARM PAGE
Coding: ___ Data entry: ___ Interviewer: ___ Circle farmer estimates 24 bowls
Proofreading 1: ___ Proofreading 2: ___ Asterick by enumerator observations 42* bowls
Country: ___ State: ___ Village: ___ Underline enumerator estimates 16 years
Locality: ___ Currency: ___ Stratum: ___
