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Project Proposal Poverty Reduction Strategies - Excel

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                               Project Title:     Socio-economic and technical considerations to mitigate land and water degradation in the Peruvian Andes - No. 7



                                 Brief Title:     Resource degradation in the Andes




                 Priority being addressed:        E



                    What is your research         The currently widespread use of degrading land and water management practices in the Andean system of basins constitutes a significant
                                                  bottleneck to achieving sustainable agricultural growth. However, there exist sustainable land and water management practices that can be
                                                  profitably adopted by farmers once appropriate economic, social, technical and institutional frameworks are in place.



                 Your overall project goal        Generate recommendations regarding the design and practical implementation of (i) sustainable land and water management technologies
                 (problem) is therefore to:       (SLWMT); and (ii) appropriate economic, social, technical and institutional frameworks and policies that are conducive to their adoption
                                                  within a gender inclusive approach. This includes testing of specific solutions in the field within a framework that will allow scaling-up of
                                                  the results. In this way, the research will contribute to achieving sustainable land and water management and improve rural livelihoods in
                                                  the Peruvian Andes.


                          Project Duration        2 years

                   Target Commence Date           July 1 2007

                                Finish Date:      June 30 2009


                   Validity Period of your        Until October 31 2007




                     Opening of Financial         Yes




                CPWF Benchmark basin:             Jequetepeque basin in the Peruvian Andes



            Estimated coverage of CPWF
                                   themes:
                  Crop Water Productivity                           50%
                  Improvement (Theme 1)
                       Water and People in                          50%
                    Catchments (Theme 2)
                  Aquatic Ecosystems and                               %
                       Fisheries (Theme 3)
                    Integrated Basin Water                             %
             Management Systems (Theme
                                        4)
             Global and National Food and                              %
                 Water System (Theme 5)


                        PROJECT TEAM              1. Hans Jansen, IFPRI Costa Rica, e-mail h.jansen@cgiar.org, tel. +506-255-4011, Socio-Economics and Economics of Natural Resources
               (attach CVs in the TECHNICAL       Management; 2. Maximo Torero, IFPRI Washington DC, e-mail m.torero@cgiar.org, tel. +1-202-862-5662, Socio-Economics; 3. Javier
                 response screen using the file
                                                  Escobal, GRADE Peru, e-mail jescobal@grade.org.pe, tel. +51-12-641780, Socio-Economics; 4. Eduardo Zegarra, GRADE Peru, e-mail
                   name: "<Project Title> CV" )
                                                  ezegarra@grade.org.pe, tel. +51-12-641780, Natural Resources Management and Agronomy; 5. Eduardo Chávarri Velarde, National
                                                  Agricultural University La Molina (UNALM) Peru, e-mail echavarri@lamolina.edu.pe, tel. +51-12-475683, Hydrology and Environmental
                                                  Science; 6. Jetse Stoorvogel, Wageningen University The Netherlands, e-mail Jetse.Stoorvogel@wur.nl, tel. +31 317 48 40 43, Soil Science,
                                                  Environmental Science and GIS; 7. Victor Agreda, Ministry of Agriculture, Peru, e-mail victor.agreda@incagro.gob.pe, tel. +51-1-471-
                                                  4242, Soil and Water Conservation.




                  PROJECT SUMMARY

                                                  The Andean basins face three major challenges: rural poverty, land and water degradation (LWD), and weak institutions. More than 50% of
                                                  the land in the Peruvian Sierra is degraded or severely degraded. LWD threatens rural livelihoods that are overwhelmingly agriculture-based.
                                                  While over half the Peruvian population is poor, poverty is concentrated in the rural Sierra with 30% of the population of which 81% is
                                 The Andean basins face three major challenges: rural poverty, land and water degradation (LWD), and weak institutions. More than 50% of
                                 the land in the Peruvian Sierra is degraded or severely degraded. LWD threatens rural livelihoods that are overwhelmingly agriculture-based.
                                 While over half the Peruvian population is poor, poverty is concentrated in the rural Sierra with 30% of the population of which 81% is
                                 poor. In the Jequetepeque basin poverty varies between 50 and 100%. Adoption of sustainable land and water management technologies
                                 (SLWMT) is crucial for increasing the returns to land and labor, the main assets of poor rural households. Though some known SLWMT are
                                 able to reduce LWD, adoption has been limited due to a number of constraints, including inadequate access to technical assistance
                                 concerning profitable SLWMT. However, many other constraints are complex and not well understood. The Project will study the
                                 conditions required for widespread adoption of SLWMT in the Jequetepeque basin while ensuring relevance of the results for similar micro-
                                 regions in the Sierra. The research will adopt a demand-driven approach and work closely with local governments, communities, and
                                 farmers' and technical assistance organizations. It will utilize results of community focus groups and household survey data analysis, and
                                 draw upon technical research being conducted by the IFPRI-IDB project. The Project will also analyze the profitability and risk of specific
                                 SLWMT and test a limited number of best practices under farmers' conditions. The Project is highly complementary to the on-going IFPRI-
                                 led project "Priorization of Investments in the Sierra of Peru" (funded by IDB and the Government of Peru) and as such will benefit from its
                                 institutional and technical frameworks. The Project will produce:

                                 (i) Typology of microregions. The Project will use existing GIS data already collected by the IFPRI-IDB project in the Jequetepeque basin
                                 including indicators on geography, land quality, water availability, poverty and inequality, gender, production, and infrastructure and
                                 markets. Factor and cluster analysis techniques will be used to develop a typology of micro-regions from which a random sample in the
                                 Jequetepeque basin will be selected. The typology will be replicated for all the Sierra to identify similar regions to which the results obtained
                                 for the Jequetepeque basin can be scaled up.
                                 (ii) Detailed analysis of LWD within each selected microregion to identify major bottlenecks in water and land management through surveys
                                 (community and farm level) and community focus groups with key informants.
                                 (iii) Review of existing SLWMT to identify best practices for selected micro-regions. This consists of matching best practices with LWD
                                 constraints from the previous step.
                                 (iv) Analysis of the determinants of adoption of best practices. For a limited number of best practices and in close consultation with local
                                 governments, farmer organizations and technical assistance organizations, pilot projects that implement these best practices under actual
                                 farmers' conditions will be carried out to identify major adoption bottlenecks. Methods include cost-benefit analysis, trade-off analysis and
                                 qualitative and quantitative analysis of the biophysical, socio-economic and institutional environments impacting adoption.
                                 (v) Local capacity building in prioritizing best practices and developing local support for the replication and upscaling of successful pilot
                                 programs based on the typology of micro-regions.


                                 TEXT SECTION: 6000 word count starts                                                      5766      words in total

                                 PROJECT OVERVIEW (attach bibliography at Annex B)

Background and justification:    Four out of every five of the 9 million inhabitants of the Peruvian Sierra are classified as poor. Average annual per capita income in the rural
                                 Sierra is US$ 750 or 30% below the national average for all rural Peru. Most rural poor in the Sierra live in degraded or highly degraded
                                 areas where LWD is the result of production on steeply sloping areas, declining use of fallow, and limited application of inorganic or
                                 organic sources of soil nutrients. The Sierra also has high population densities: 296 persons per km2 of arable land compared to 192 for all
                                 of rural Peru. Population pressure in the Jequetepeque watershed is even higher at 409 persons per km2 of arable land. High population
                                 density combined with highly skewed land distributions result in uneconomically small average farm size (just over 2 ha of mostly
                                 unirrigated land). In addition, competing property rights of land and water in common areas, insecurity of land tenure and scarcity of
                                 irrigation all add to the problem of land scarcity (World Bank 2002).

                                 In spite of the economic recovery in Peru since 2000, rural poverty in the Sierra is increasing (Escobal and Valdivia 2004). Together with
                                 livestock, agriculture forms the backbone of the rural economy of the Sierra. However, land and labor productivity are low and lead to low
                                 agricultural profitability and high levels of rural poverty. Inappropriate land and water management practices that contribute to LWD are
                                 important determinants of low current productivity levels while compromising future economic possibilities. Knowledge among farmers
                                 regarding promising SLWMT is grossly inadequate and extension reaches only a small proportion of farmers (IFPRI 2004). Identification,
                                 testing and dissemination of SLWMT that can be profitably adopted by farmers can lead to substantially increased land and labor
                                 productivity, thus contributing to higher current and future incomes of poor rural households.

                                 The recently elected new government of Peru is interested in increasing agricultural production for exports and has specifically designated
                                 the Sierra as the primary focus of its efforts aimed at increasing agricultural productivity on a sustainable basis. The new "Sierra
                                 Exportadora" program (with financing from the World Bank and IDB, see Government of Peru 2006) involves significant investments in
                                 rural infrastructure and the IFPRI-IDB project (see IFPRI 2004) is designed as an instrument to help the government implementing its
                                 investment approach to poverty reduction in the Sierra. The proposed Project is therefore highly complementary to the already on-going
                                 IFPRI-IDB project and will make liberal use of the outputs and products generated by that project (see below). However, neither the "Sierra
                                 Exportadora" program nor the IFPRI-IDB project contain a soil and water management component since both focus more on the question of
                                 how to prioritize infrastructure-type investments. At the same time and in order to achieve productivity increases on a sustainable basis,
                                 concerted efforts are needed to address the natural resource degradation problem in the Sierra. In turn, this requires adequate understanding
                                 of the needs of poor rural households in terms of appropriate SLWMT and of the factors that affect adoption and profitability of these
                                 technologies. Such understanding is currently incomplete (but see FAO 2002 for some highly localized experiences) and calls for
                                 identification of best practice SLWMT, analysis of the technical, socio-economic and institutional determinants of their adoption, and
                                 development of strategies for their efficient dissemination.




  Project Goal (your vision of   The Project Goal is to generate information for helping the Peruvian national government, and regional and local governments to formulate
                  the future):   strategies and policies that will create adequate economic, social and institutional environments to help farmers in the Sierra achieve higher
                                 incomes resulting from increased agricultural productivity on a sustainable basis through the adoption of appropriate SLWMT that have
                                 been validated under farmers' conditions in the field. The Project will achieve this goal through the development, application and
                                 dissemination of a methodology for the identification, validation and upscaling of appropriate SLWMT across different microregions. These
                                 microregions will be identified on the basis of georeferenced data available from the IFPRI-IDB project. The proposed Project is
                                 complementary with the IFPRI-IDB study as it specifically will provide solutions to address LWD in selected microregions which can be
                                The Project Goal is to generate information for helping the Peruvian national government, and regional and local governments to formulate
                                strategies and policies that will create adequate economic, social and institutional environments to help farmers in the Sierra achieve higher
                                incomes resulting from increased agricultural productivity on a sustainable basis through the adoption of appropriate SLWMT that have
                                been validated under farmers' conditions in the field. The Project will achieve this goal through the development, application and
                                dissemination of a methodology for the identification, validation and upscaling of appropriate SLWMT across different microregions. These
                                microregions will be identified on the basis of georeferenced data available from the IFPRI-IDB project. The proposed Project is
                                complementary with the IFPRI-IDB study as it specifically will provide solutions to address LWD in selected microregions which can be
                                linked to the commodities identified by the market chain analyses which are an integral part of the IFPRI-IDB project. In this way the
                                Project will generate important information for Peru's "Sierra Strategy" as well as for Peru's "Sierra Exportadora" program and significantly
                                contributes to achieving sustainable increases in the income of poor farm households in the rural Sierra.



   Project Objectives (attach   High levels of land and water degradation in the Peruvian Sierra are to a large extent due to very low adoption of different types of SLWMT
   objective tree at Annex C)   such as improved fallows, zero burning, leguminous cover crops, use of manure, incorporation of crop residues etc. Insufficient knowledge
                                regarding the main drivers of adoption of SLWMT and weak institutional capacity result in limited and/or inadequate interventions by
                                governments, non-government agencies and farmers' organizations to stimulate adoption of such technologies. Consequently the Project’s
                                main two outputs consist of:
                                (1) Expanded and improved knowledge regarding the key determinants of adoption of SLWMT according to micro-region.
                                (2) Transfer of this knowledge to the main actors/stakeholders including Peruvian counterpart organizations (GRADE, UNAM, INCAGRO)
                                and other local research organizations (e.g. CIP) and universities; national, regional and local governments; farmers' organizations and
                                NGOs; and other stakeholders interested in rural development in the Sierra.
                                In order to achieve these two main outputs, the Project will generate a number of output targets or deliverables. First, there is a need for a
                                carefully assembled inventory of available SLWMT (from Peru and elsewhere) that are suitable for farmers’ conditions in the Sierra, under
                                the assumption that appropriate policies and other institutional conditions for their adoption can be put in place. Second, and given the
                                spatially highly heterogeneous biophysical and socio-economic conditions in the Sierra as well as significant differences among smallholder
                                farmers according to the assets available to them, it is unlikely that the same SLWMT will be suitable for overcoming land and water
                                degradation everywhere. Therefore, another output target of the Project consists of sound knowledge regarding the 'best fit' of SLWMT, or
                                'best-bet' SLWMT which can be expected to differ over space and between household types. This implies the need for an adequate incentive
                                structure embedded in a policy framework designed to stimulate adoption of such technologies. Such an incentive structure needs to
                                explicitly take account the spatial heterogeneity (related to biophysical conditions such as climate and soils, and infrastructure) and inter-
                                household heterogeneity (mainly in terms of available or lacking assets, see Jansen et al. 2006a) which ultimately determines the capacity to
                                adopt. Here the focus will be on the systematic identification of location- and household specific bottlenecks in land and water management
                                that limit widespread adoption of SLWMT; and designing appropriate policy measurements to overcome these. This project will test
                                different mechanisms to implement this policy measures.
                                The above output targets, if realized, can be expected to result in increased adoption of SLWMT which is the main expected outcome of the
                                proposed Project. This, in turn, will result in improved management of soil and water resources and diminished natural resource
                                degradation. Finally, these outcomes will have a positive and sustainable impact on land and labor productivity and eventually result in
                                higher household income and decreased rural poverty.

                                We recognize that increased adoption of SLWMT (the main focus of this Project), while crucial for improved management of soil and water
                                resources, is not the only factor that can improve land and water degradation. A number of other factors such as a less skewed land
                                distribution combined with lower population pressure, improved legal and regulatory frameworks, and better knowledge regarding the
                                extent and impact of land and water degradation on agricultural productivity can also lessen natural resource degradation. However, the
                                scope for influencing these factors through research is much less promising and certainly a much more slow and uncertain process.
                                Therefore, the Project concentrates its core efforts on the role of SLWMT in combatting soil and water degradation which can be expected
                                to lead to results in the nearer term while also giving the Project a clear focus and a relatively high probability of success.




            Project Outputs.    1. Typology of microregions in the Jequetepeque basin as a basis for targeting soil and water conservation investments. This typology will
                                be constructed based on a multi-output stochastic profit frontier approach (Kumbhakar and Lovell; 2000) in which a combination of micro-
                                level information on inputs and outputs, together with geo-referenced data to measure accessibility and agroecological information will be
                                combined. This typology of microregions will allow us to identify areas with different levels of technical efficiency in combination with
                                different levels of market accessibility, and different agricultural products. This will allow us to identify the 'best fit' of SLWMT, or 'best-bet'
                                SLWMT for each respective typology. Similar typology scaled up for similar microregions throughout the Sierra of Peru will also be
                                developed as a potential scaling up tool of the results of the project for the Jequetepeque basin. While the specific application is relevant for
                                the Peruvian Sierra in general and the Jequetepeque basin in particular, the methodology development component is relevant for, and can be
                                potentially applied in, other river basins as well, and as such constitutes an international public good (IPG).

                                2. Improved knowledge among national, regional and local governments, extension services, scientists and other stakeholders regarding
                                existing potentially adoptable SLWMT that resulted from the inventory of available SLWMT (from Peru and elsewhere) that are suitable for
                                farmers’ conditions in the Sierra within their respective typology. Key elements of this knowledge will be communicated widely through
                                workshops, publications etc and as such can be considered an IPG.

                                3. Improved knowledge among national, regional and local governments, extension services, scientists and other stakeholders regarding 'best
                                fit' of SLWMT.

                                4. Improved knowledge among scientists, extension services, policy makers and other stakeholders regarding determinants of adoption of
                                SLWMT.

                                5. Improved institutional capacity to design economic and social incentive structures conducive to adoption of SLWMT in Peru.



Gantt Chart (attach Chart at    Please see Annex D
                   Annex D)
                             Please see Annex D




Activities and methodology   1. Delineation and upscaling of microregions with different characteristics for soil and water conservation policy intervention. This set of
                             activities involves the application of a combination of GIS and statistical techniques and includes the following activities:

                             1.1 Identification of a typology of microregions. This typology will be constructed based on a multi-output stochastic profit frontier
                             approach (Kumbhakar and Lovell; 2000) in which a combination of micro level information on inputs, outputs and household characteristics
                             (including household head tenure, household head gender, household schooling, household size, and membership in producers association),
                             together with geo-referenced data available from the IFPRI-IDB project for the entire Sierra (including the Jequetepeque basin) on measures
                             of accessibility to markets and agro ecological information (including climate, soils and slopes) will be combined. This typology of
                             microregions will allow us to identify areas with different levels of technical efficiency in combination with different levels of market
                             accessibility, and different agricultural products. This will allow us to identify the 'best fit' of SLWMT, or 'best-bet' SLWMT for each
                             respective typology
                             1.2. Subsequently we will randomly sample a number of these microregions and we will use them to identify existing bottlenecks as detailed
                             in point 2.
                             1.3. Similar typology scaled up for similar microregions throughout the Sierra of Peru will also be developed as a potential scaling up tool of
                             the results of the project for the Jequetepeque basin.

                             2. The mapping of microregions into distinct typologies in the previous activity will be followed by the development and application of a
                             framework to identify the main bottlenecks regarding land and water management and identify specific technologies as potential solutions.
                             In each type of microregion sampled in the previous activity the Project will:

                             2.1 Implement a detailed analysis of the key constraints in land and water management. We will use two basic analytical tools: first,
                             collection of qualitative information tapping into key informants' knowledge using community focus groups; and second, quantitative
                             analysis using household-level data.
                             2.1.1 Regarding the qualitative analysis, in each of the selected microregions we will implement so-called community diagnostics based on
                             the methodology used by Jansen et al. (2006b) in rural communities in Honduras. Such diagnostics, to be carried out with the help of local
                             NGOs with long-term experience in their areas of influence, will focus on the characterization of problems, limitations and opportunities as
                             far as management of land and water resources is concerned. The diagnostics will use highly participatory, informal but structured methods
                             in close interaction with a carefully selected, representative group of stakeholders in each community. The qualitative analysis will be crucial
                             for revealing bottlenecks that prevent farmers from sustainable management of land and water resources; and for identifying key explanatory
                             variables to be used in the subsequent quantitative analysis.
                             2.1.2 Regarding the quantitative econometric analysis, we will use the latest available Living Standard Measurement Survey (Government of
                             Peru 2004) supplemented by primary data to be collected at the farm and plot levels by the Project. While focusing on land and water
                             management, primary data collection will extend to other variables as indicated by the qualitative analysis. Where data requirements
                             indicate the need (e.g. in order to apply the trade-off methodology, see activity 3.3 below), we will also take measurements in farmers' fields
                             regarding field slope, soil and water characteristics etc, including laboratory analyses of soil and water samples. In terms of model
                             development we will build on the econometric framework developed by Jansen et al. (2006a) which related adoption decisions to plot level,
                             farm level and community-level characteristics, as well as to households' livelihood strategies.

                             2.2 Identification of alternative solutions to land and water degradation problems for the different types of microregions based on local and
                             international 'best practices'. A review of existing best practices (both local and from other countries) will be carried out in order to identify a
                             menu of possible solutions that can be implemented to solve the identified bottlenecks. This review will be based on the large and growing
                             literature on the private and social returns in soil and water conservation technologies (e.g. Fuglie and Kascak 2001) and past experiences by
                             project partners and their associates.

                             3. The third set of activities will match 'best practice' solutions identified in the previous activity with the specific needs of farmers in the
                             selected microregions. Farmers' needs, requirements and limitations will follow straight from the results of the qualitative and quantitative
                             analyses obtained in activity 2.1. The goal is to assess the potential to profitably increase agricultural production and to identify where the
                             opportunities are for raising productivity through the adoption of suitable SLWCP. In addition to the crucial guidance provided by the
                             results of activity 2.1, we will:

                             3.1 Make use of available databases from the IFPRI-IDB project that have information on actual yields and yield gaps for most of the major
                             commodities grown in the Sierra and on the estimation of the technical efficiency gap from the stochastic profit frontier estimations. In
                             particular, we will analyze potential yield gains as well as movements towards the stochastic profit frontier as a result of the adoption of
                             SLWCT. This activity will be linked directly to the market chain analyses carried out in the IFPRI-IDB project; these analyses will be used
                             to help us focusing on production systems of commodities in which the Sierra has comparative advantage and which at the same time are
                             relevant for the poor.
                             3.2 In order to assure the farm-level potential impact of best practice solutions in terms of profitably increasing productivity, we will start
                             with a standard financial cost-benefit analysis (CBA) at the farm level to assess the potential economic impact of each of these solutions.
                             3.3 We will extend the traditional economic impact analysis based on CBA towards a much wider integrated assessment approach. This
                             approach, called trade-off analysis (TOA, see Antle et al. 2003) is based on statistically representative sample of data of individual farms (in
                             the selected micro-regions in the Jequetepeque watershed) and spatially explicit bio-physical and economic models. Compared to standard
                             CBA typically done by researchers, TOA is participatory since stakeholders are integrated into the process of economic impact analysis.
                             Also, TOA provides quantitative information about impacts by integrating disciplinary data and models, but does not necessarily involve
                             valuing all impacts in monetary terms as in traditional CBA. This permits researchers together with stakeholders to analyze economic and
                             environmental performance and trade-offs of alternative best-practice SLWMT in an integrated way, while explicitly taking account of
                             spatial heterogeneity through the information contained in the GIS.
                             3.4 Field-test a limited number of pilot SLWMT under actual farmers' conditions. The idea here is not to assess their technical performance
                             as such but rather to further study farmer adoption behavior and elicitate possible farm-level bottlenecks that have not been identified in the
                             previous steps.

                             Activity 3 in general, but sub-activities 3.3 and 3.4 in particular, are highly demand-driven and participatory, implemented in close
                             consultation with local policy makers, leaders of farmer organizations and technical assistance organizations working in the Sierra, and other
                             key stakeholders. The main purpose is to identify options for SLWMT that are politically and socially feasible as well as economically
                             advantageous. The activity will utilize data generated by the Project's community focus groups and community and household surveys, but
                        as such but rather to further study farmer adoption behavior and elicitate possible farm-level bottlenecks that have not been identified in the
                        previous steps.

                        Activity 3 in general, but sub-activities 3.3 and 3.4 in particular, are highly demand-driven and participatory, implemented in close
                        consultation with local policy makers, leaders of farmer organizations and technical assistance organizations working in the Sierra, and other
                        key stakeholders. The main purpose is to identify options for SLWMT that are politically and socially feasible as well as economically
                        advantageous. The activity will utilize data generated by the Project's community focus groups and community and household surveys, but
                        also draw extensively upon existing household data (Government of Peru 2004) and previous technical research conducted in the Sierra by
                        project partners (Antle et al. 2005) and others (e.g. CIP). In addition, local stakeholder knowledge is expected to be essential in contributing
                        information about factors affecting adoption of SLWMT.

                        4. This activity will consist of (a) a project initiation workshop with all project partners, and (b) a number of dissemination efforts to
                        communicate the results to wide range of relevant audiences:

                        4.1 Project initiation workshop: Before starting the project's activities, a two-day kick-off workshop will be held in Peru. This meeting will
                        include representatives from all project partners and a limited number of Peruvian stakeholder institutions. The main goal of this initiation
                        workshop is to establish appropriate organizational arrangements and stimulate team building.
                        4.2 Dissemination and communication:

                        4.2.1 Report on delineation and upscaling of microregions
                        4.2.2 Report on results of community diagnostics
                        4.2.3 Report on econometric analysis results
                        4.2.4 Report on cost-benefit analysis of best-practice technologies
                        4.2.5 Report on trade-off analysis of best-practice technologies
                        4.2.6 Report on field-testing of selected best-practice technologies
                        4.2.7 At least two articles to be published in international peer-reviewed journals will be prepared, one focussing on the Project's
                        methodology and one on the specific Project results obtained for the Jequetepeque basin and their relevance for other parts of the Sierra in
                        Peru.
                        4.2.8 We will develop four bulletin-type communications aimed at extension workers, local policy makers, NGOs working in the Sierra and
                        farmers' organizations, reporting on the Project's progress in a language that is appropriate for these audiences. These bulletins will be
                        produced at six-month intervals starting after six months into the Project.
                        4.2.9 After one year a mid-term workshop will be held in which the Project's executing agencies will discuss progress with the CPWF and
                        make adjustments if and where as necessary.
                        4.2.10 At the end of the Project a one-day workshop will be held to disseminate the main findings to government agencies (national and
                        local), NGOs, the private sector, farmers' organizations and other members of civil society, with a specific focus on discussing the
                        implications of the findings for policy. The private sector's interest in the results of the Project may stem from the potential to market certain
                        commodities as "produced with environmentally sustainable production methods" in high-value niche markets.

                        5. The Project will pay significant attention to local capacity building throughout its life, as follows:

                        5.1 GRADE, UNAM and INCAGRO are full Project partners and their staff will be exposed to, contribute to, and participate in the
                        development and application of the full array of methodologies used in this Project. In Peru the Project will be based at GRADE. This will
                        allow GRADE to make data sharing arrangements with Peruvian universities and research centers. Essentially, the Project methodology will
                        be institutionalized in ways that enable it to serve as a national public resource, and contribute to GRADE as a center for the study of
                        Andean development problems as is specifically foreseen in the IFPRI-IDB project. Once institutionalized for the Peruvian Sierra, the
                        methodologies and associated databases can be improved and updated over time and even extended to other Andean countries. Besides
                        GRADE, UNAM and INCAGRO are expected to play a significant role in these activities in their respective fields of technical experience.
                        Finally, and before carrying out the diagnostic surveys at the community level, each NGO involved will be given the appropiate amount of
                        training carried out by staff of IFPRI and its local partner organizations.
                        5.2 Whereas the approach outlined above should help determine which types of SLWCT fit best where, there remain the challenges of
                        implementing and interfacing the recommended technologies with the interest and capabilities of local farmers. To tackle these challenges
                        and achieve the desired result of increased adoption, the Project will actively involve local policy makers, communities and farmers in
                        decisions about which specific technologies to field-test under actual farmers' conditions in order to study farmers' adoption behavior and
                        identify remaining bottlenecks and solutions to these.

                        6. Finally, the Project will be subject to a continous monitoring and evaluation plan (for details see appropriate section below)




Assumptions and risks   The Project will be carried out assuming that:

                        1. Full and unconditional collaboration is received from the IFPRI-IDB project. However, (a) given the importance given by IFPRI to the
                        latter, (b) since it is based in the same IFPRI Division as the proposed Project, and (3) the Division Director plays an active role in both
                        projects which are highly complementary, the risk of non-cooperation by the IFPRI-IDB project is practically zero.

                        2. The IFPRI-IDB project will be carried out satisfactorily and according to schedule. Given the high-calibre staffing of said project and the
                        priority assigned to it by the current government of Peru, the risk of the contrary to happen is considered to be very low.

                        3.There exist a significant number of SLWCT that are suitable for combatting LWD in the Sierra that can be profitably adopted by farmers
                        once the appropriate conditions are in place. Given examples of adoption of such technologies in hillside areas in other parts of the world
                        (e.g. Costa Rica, Colombia, but also Kenya) we believe that the current lack of widespread adoption of SLWCT is not so much due to lack
                        of available technologies but rather due to the absence of adequate economic incentives and other policies, inadequate institutional
                        frameworks and insufficient household capability to adopt.

                        4. The situation in the country as a whole, and in the Sierra in particular, regarding land distribution and property right issues will not
                        significantly worsen during the life span of the Project. Even though these are considered problems beyond the Project's reach (see objective
                         once the appropriate conditions are in place. Given examples of adoption of such technologies in hillside areas in other parts of the world
                         (e.g. Costa Rica, Colombia, but also Kenya) we believe that the current lack of widespread adoption of SLWCT is not so much due to lack
                         of available technologies but rather due to the absence of adequate economic incentives and other policies, inadequate institutional
                         frameworks and insufficient household capability to adopt.

                         4. The situation in the country as a whole, and in the Sierra in particular, regarding land distribution and property right issues will not
                         significantly worsen during the life span of the Project. Even though these are considered problems beyond the Project's reach (see objective
                         tree in Annex C) and largely of a socio-political nature, we do recognize their significance related to the problems to be addressed by the
                         Project.




                         PROJECT LEADER AND PARTNERS (attach table at Annex E)

 Key qualifications of   The project will be carried out by five renowned institutions: IFPRI, GRADE, Wageningen UR, UNALM and INCAGRO. IFPRI will
proposed institutions:   provide overall leadership and based on its previous experience in similar research projects in other countries, provide the main building
                         blocks for the framework for analysis. While IFPRI is especially known for its excellence in research, through its Communication Division
                         it is paying increasing attention to the dissemination of information and capacity strengthening which will also receive appropriate attention
                         in this Project. In summary, IFPRI has: a strong reputation for excellence in policy research and advice in the international arena; the
                         institutional qualities necessary to successfully combine applied research with training and capacity-building; and exceptional Project
                         partners to ensure that all activities are adequately carried out. Wageningen University and Research Centre (Wageningen UR) will play the
                         central role in determining the feasibility of different SLWMT in different microregions, and apply innovative models (developed and
                         applied elsewhere) to simulate farmers' behavior towards technology use. Wageningen UR is the leading European university in the Life
                         Sciences, providing education and generating knowledge in the field of life sciences and natural resources. Its 6,000 staff and more than
                         9,000 students contribute actively to solving scientific, social and commercial problems in the field of life sciences and natural resources.
                         Wageningen UR approaches these national and international issues from the perspectives of various disciplines, with an integrated approach
                         and in close collaboration with governments, companies, stakeholder organisations, citizens, and other knowledge institutions. GRADE will
                         provide a base in Peru for local researchers and join with IFPRI and Wageningen in the design and implementation of the research. GRADE,
                         founded in 1980, is a private, nonprofit research center. GRADE is currently staffed by 13 senior researchers with postgraduate degrees and
                         about 15 assistant researchers. GRADE’s staff has been researching Peru’s most critical problems, producing results that directly contribute
                         to the design and implementation of successful development policies. In addition, IFPRI and GRADE will design, manage and evaluate
                         several pilot field programs as described in the project summary. UNALM has a renowned reputation on agriculture research and specially a
                         wide experience in environmental studies and ecological economic zonification. Together with Wageningen UR, UNALM will play the
                         central role in determining the feasibility of different SLWMT in different microregions, suggesting and promoting alternative solutions
                         among smallholders in the Sierra. Finally, INCAGRO which aims at contributing to the expansion, strengthening, and institutional
                         development of the rural agricultural technology and innovation system in Peru will bring its pluralistic, decentralized, demand driven, and
                         led by the private sector design in helping the project design and implement incentive mechanisms for adoption of sustainable soils and
                         water technologies. INCAGRO will also help strengthening the Project's links with producer organizations as beneficiaries, and help in
                         successfully merging the knowledge generated by the Project with already existing local farmers' knowledge.
                                    IMPACT: INTERMEDIATE AND END USERS OF YOUR RESEARCH

    Project stakeholders and        Please see Annex F
ultimate beneficiaries (attach
           table at Annex F)




 Text statement on achieving        Besides the network stakeholders, the expected users and beneficiaries of the results generated by the Project can be divided into five main
              participation:        groups:
                                    (a) The beneficiaries of the Project will be first and foremost poor farm households and their organizations in the rural Sierra since the main
                                    objective of the project is to increase the sustainability and the value of what they can produce. The Project will help solving some of their
                                    major production bottlenecks by providing validated alternatives for sustainable land and water management and increased household
                                    income. Since poverty has been and continues to be a primary source of violence and civil conflict in Peru which disproportionally affects
                                    poor households and women in particular, the results of the project may be especially beneficial to them.
                                    (b) Local governments and technical assistance organizations (including public extension services, NGOs and other development partners
                                    such as CIP) will benefit from the information base, potential solutions and pilot project results which could serve as inputs into the design
                                    of their regional development plans and assistance strategies.
                                    (c) The Central Government of Peru. The Project will support the strategy of rural poverty reduction in Peru in general, and the efforts of the
                                    Government of Peru to reduce poverty in the Sierra in particular. Recently the newly elected Government of Peru announced a new program
                                    called "Sierra Exportadora" as one of its most important rural development programs. While the "Sierra Exportadora" program recognizes
                                    land degradation as a constraint to increasing agricultural production in the Sierra, it does not provide any specific solutions to overcome
                                    this problem. The outputs generated by the Project will provide key information needed for the design of policy solutions to overcome the
                                    different bottlenecks caused by land degradation and inappropriate water use in the different types of microregions in the Sierra. The
                                    scaling-up framework in which the Project is designed is crucial in this respect. Specifically, the information base of validated solutions to
                                    the bottlenecks identified in the management of water and land for each type of microregion could be potentially scaled up to other
                                    microregions with similar characteristics and bottlenecks. Moreover, given the scale-dependent nature of land and water management
                                    constraints and the fact that the project combines analyses at differrent scale levels (plot, household, microregion) the project wil be able to
                                    generate solutions that are specifically tailored to each scale.
                                    (d) Exporters of products from the Sierra. In the context of the government’s “Sierra Exportadora” plan, exporters of high-value agricultural
                                    produce who source (or will source) from producers located in the Sierra will benefit from the Project by being introduced to SLWCT that
                                    will improve the value and sustainability of their export products.
                                    (e) Finally, and given the similar characteristics of the Sierra of Peru to the Sierra regions of other Andean countries, such as Ecuador,
                                    Bolivia and Colombia, the results of the Project can be considered international public goods since the pilot experiences in the Jequetepeque
                                    basin can not only be transferred to other microregions in the Peruvian Andes but to other Andean countries as well.




            Text statement on       In order to facilitate long-term impact, the Project will include capacity building of local institutions as an integral part of its activities. This
       dissemination strategy:      will be achieved through the joint execution of field work, data analysis, preparation of dissemination materials and workshops. Moreover,
                                    GRADE, UNALM and INCAGRO all will benefit from the expertise brought by IFPRI (typology of microregions, statistical methods for
                                    analysis of adoption behavior) and Wageningen UR (trade-off analysis as a new way of evaluating technologies). Where appropriate, we will
                                    involve students from both UNALM and Wageningen University in the Project where the Project will pay for their field costs. Finally,
                                    besides through scientific publications, the Project will communicate its results in popular formats and in Spanish and disseminate these
                                    materials in close collaboration with local partners. In this way, the Project will maximize the probability that its prioritization of "best
                                    practices" SLWCT and related recommendations regarding concrete land management and water conservation projects with proven benefits
                                    will find their way into regional rural development plans.


Describe the ‘initial situation’    The recently installed new Government of Peru explicitly recognizes rural poverty in the Sierra region as one of the most pressing social,
     of the target group(s) of      political and economic problems that afflict the country. Land and water degradation, caused by widespread use of unsustainable land and
beneficiaries of the project at     water management practices, keeps land and labor productivity low and therefore is an important cause of rural poverty. Land and labor
the moment when the project         productivity could be increased by widespread adoption of SLWMT. However, this is currently not happening because of (1) insufficient
           should be starting:      information about best-fit technologies among farmers and technical assistance services, and (2) inadquate knowledge about appropriate
                                    incentive frameworks that are conducive to adoption of such technologies. In order to identify and evaluate such best-fit technologies that
                                    can be profitably adopted by farmers, simple cost-benefit analysis is considered inadequate and the Project therefore proposes a combination
                                    of innovative methodologies to arrive at recommendations regarding appropriate technologies and for increasing their adoption.



Description of the situation in     The results of the Project will have impact at the following levels: plot level, farm household and farm enterprise level,
     the future once you have       watershed/microregion level, ecosystem level, and institutional level. Through the prioritization of best practices and generation of specific
       remedied the problems        policy recommendations for increasing the adoption of SLWMT among farmers in the Peruvian Sierra, the Project's activities will contribute
       identified in the ‘initial   to achieving sustainable land and water management at the plot level which will have impacts at higher scale levels as well (farm and
  situation’ that your project      watershed). At the farm household level, the Project will improve rural incomes and livelihoods, and increase land and labor productivity.
                   will address.    By increasing local capacity to conduct research on soil and water conservation and through the introduction and transfer of improved
                                    methodologies, the Project will contribute to increasing the relevance and continuity of NRM research by local institutions in Peru. The
                                    Project wil also strengthen the knowledge base of public (extension services) and private (private extension providers, NGOs etc) entities
                                    involved in technical assistance to farmers. At the level of public institutions that design and implement policies (ranging from district to
                                    provincial to central governments), the information generated by the Project can be used as inputs into the design of policies and other
                                    incentive structures that promote adoption of SLWMT. Finally, and insofar as the Project's results are relevant for similar microregions in
                                    other Andean countries, similar stakeholders in these countries may eventually benefit as well, adding to the international public goods
                                    character of the Project's outputs.
                            incentive structures that promote adoption of SLWMT. Finally, and insofar as the Project's results are relevant for similar microregions in
                            other Andean countries, similar stakeholders in these countries may eventually benefit as well, adding to the international public goods
                            character of the Project's outputs.



Monitoring and evaluation   Rather than setting up a costly separate monitoring and evaluation system, the Project will actively engage in the M&E framework that is
                     plan   already part of the IFPRI-IDB project. In order to be able to estimate the impact of the use of SLWCT on a number of economic and
                            environmental indicators, it is necessary to use a control group of non-adopters, chosen such that they adequately reflect a hypothetical
                            situation of beneficiaries under the non-treatment condition. If the control group is not adequately selected and does not have characteristics
                            similar to those of the beneficiaries, outcomes that result from pre-existing differences between treatment and control units can be
                            mistakenly attributed to the adoption of SLWCT and cause selection bias. Random assignment to treatment and control groups from the
                            potential population of adopters of SLWCT is envisaged to allow us to construct an appropriate counterfactual by ensuring that, on average,
                            those who adopt are no different than those who do not adopt. This will allow us to avoid the selection problems that plague quasi-
                            experimental studies, and is particularly important for looking at technology adoption since there are likely to be important unobservable
                            differences between users and non-users.

                            Besides depending on the collaboration of the IFPRI-IDB project, the ability to pursue such a randomized design will require the active
                            support of local policy makers and other key stakeholders for this approach. This will build upon the involvement of these stakeholders in
                            identifying and implementing the types of technologies to be tested, but will also require capacity building to increase the understanding of
                            key stakeholders of issues affecting adoption behavior and why a randomized design is desirable.




   Any other comments to    This Project will also be an important input to the Government of Peru in designing future operations to sustainably reduce rural poverty in
    explain your project?   the Sierra:
                            1. First it will provide 'best fit' of SLWMT, or 'best-bet' SLWMT which will result in an increase of rural households' productivity and
                            welfare;
                            2. Second, the scaling-up framework in which the Project is designed is crucial in this respect. Specifically, the information base of
                            validated solutions to the bottlenecks identified in the management of water and land for each type of microregion could be potentially
                            scaled up to other microregions with similar characteristics and bottlenecks.
                            3. Finally, given the similar characteristics of the Sierra of Peru to the Sierra regions of other Andean countries, such as Ecuador, Bolivia
                            and Colombia, the results of this project can be considered international public goods since the pilot experiences in the Jequetepeque basin
                            can not only be transferred to other microregions in the Peruvian Andes but to other Andean countries as well.


                            END OF TEXT SECTION: maximum 6000 words in total. Please note that any words beyond 6000 will be deleted and not sent to
                            the evaluation panels.
                              ENVIRONMENTAL IMPACT: (attach table at Annex G)

                              The proposed Project is about identifying, evaluating and implementing profitable and sustainable land and water management technologies
                              in order to simultaneously improve farmers’ incomes and decrease the currently widespread land and water degradation in the Peruvian
                              Sierra.

                              The Project is expected to have a pronounced positive environmental impact in terms of preserving land and water resources which are
                              crucial productive assets for poor farmers in the Sierra.

                              The proposed project is therefore of Type A.

 Annex A: Team member
                 c.v.’s.      Please attach in the online TECHNICAL RESPONSE screen (using the naming convention: "<Insert Project Name> <Insert CV Name> CV")


  Annex B: Bibliography       Please attach in the online TECHNICAL RESPONSE screen (using the naming convention: "<Insert Project Name> Bibliography")


 Annex C: Objective tree      Please attach in the online TECHNICAL RESPONSE screen (using the naming convention: "<Insert Project Name> Objective Tree")


   Annex D: Gantt Chart       Please attach in the online TECHNICAL RESPONSE screen (using the naming convention: "<Insert Project Name> Gantt Chart")


Annex E: Table of project                                                                                                                    Brief description of research responsibilities with
                                                           Area of expertise           Relevant output and activities listed in the Gantt
          team members        Names of team members                                                                                           respect to the outputs and activities listed in the
                                                        important to this project.                          chart
                                                                                                                                                                Gantt chart.
                  (Leader)    Hans Jansen               Adoption analysis,           2: 2.1.1, 2.1.2                                        Primary responsibility for project
                                                        community                    4: 4.2.2, 4.2.3, 4.2.7                                 management, community diagnostics and
                                                        diagnostics, field           5: 5.1                                                 preparation of journal articles.
                                                        survey analysis              6                                                      Shared responsibility for household
  (Principal Investigators)   Maximo Torero             Econometric analysis         1: 1.1, 1.2                                            Primary responsibility for econometric
                                                        of household data,           2: 2.1.2                                               analysis.
                                                        GIS                          4: 4.2.1, 4.2.3, 4.2.7                                 Shared responsibility for delineation and
                              Jetse Stoorvogel          Trade-off analysis,          3: 3.3                                                 Primary responsibility for trade-off analysis.
                                                        GIS, soil and water          4: 4.2.5, 4.2.7                                        Shared responsibility for capacity building
                                                        conservation                 5: 5.1                                                 and preparation of journal articles (with all
                              Javier Escobal            Econometric analysis,        1: 1.1, 1.2                                            Primary responsibility for impact analysis.
                                                        impact analysis              2: 2.1.2                                               Shared responsibility for household
                              Eduardo Zegarra           Natural resource             2: 2.1.1, 2.2                                          Primary responsibility for cost-benefit
                                                        economics, impact            3: 3.2                                                 analysis, and organization of workshops
                                                        analysis,                    4: 4.1, 4.2.2, 4.2.4, 4.2.7, 4.2.8, 4.2.9, 4.2.10      (initiation, mid-term, final)
                                                        communication                5: 5.1, 5.2                                            Shared responsibility for community
                              Eduardo Chávarri          Environmental                2: 2.2                                                 Primary responsibility for identification of
                              Velarde                   management                   3: 3.1, 3.2, 3.4                                       best practice solutions and analysis of
                              Victor Agreda             Soil and water               2: 2.2                                                 Primary responsibility for field-testing of
                                                        conservation;                3: 3.1, 3.4                                            selected technologies.
                                                        institutional aspects of     4: 4.2.6, 4.2.7, 4.2.8                                 Shared responsibility for identification of best
                                                        adoption of SLWMT            5: 5.1, 5.2                                            practice solutions and analysis of potential




Annex F: Table of project      Stakeholder (Give full        Type of group or          Address / geographic       Approximate number                                Role
stakeholders and ultimate         name of group or             organization                 location                   involved
                                    organization)
             beneficiaries
                              Poor farm households      PS                           Rural Sierra of Peru       1.4 million households (7 million people)
                                                                                                                                           Primary ultimate beneficiary
                                                      PS                   Rural Sierra of other                              Primary ultimate beneficiary
                                                                           Andean countries                                   Scaling-out stakeholder if project is scale up to all
                                                                           (Ecuador, Colombia,                                Andean countries.
                          Poor farm households                             Bolivia)                >10 million households (50 million people)
                          Farmers’ organizations      PS                   Rural Sierra of Peru    1000-2000 farmers’ organizations ultimate beneficiary
                                                                                                                              Primary
                          Government extension        NARES and PS                                                            Primary ultimate beneficiary
                          services                                                                                            Scaling-out stakeholder if project is scaled up to all
                          NGOs involved in                                                                                    Sierra.
                          providing technical
                          assistance to farmers
                                                                           Rural Sierra of Peru    3000-4000 extension agents and 1000 NGOs
                          Municipalities              Local government     Rural Sierra of Peru    1200 Municipalities       Primary ultimate beneficiary
                          Central Government Peru     Central government   Lima, Peru              200 Decision makers       Primary ultimate beneficiary
                          CIP                         CGIAR                Lima, Peru              100 Scientists            Primary ultimate beneficiary
                          Exporters of agricultural                                                150 Export companies that Primary ultimate beneficiary
                          products produced in                                                     source from the Sierra    Scaling-out stakeholder if project is scale up to all
                          the Sierra;                                                                                        Sierra.
                          organizations of
                          exporters
                                                      PS                   Lima, Peru

Annex G: Environmental
      impact assessment

 Environmental Impacts    The proposed Project is about identifying, evaluating and implementing profitable and sustainable land and water management technologies
                          in order to simultaneously improve farmers’ incomes and decrease the currently widespread land and water degradation in the Peruvian
                          Sierra.

                          The Project is expected to have a pronounced positive environmental impact in terms of preserving land and water resources which are
                          crucial productive assets for poor farmers in the Sierra.

                          The proposed project is therefore of Type A.
Table of Environmental   TYPE A: The Project and the technology that could result from it would have no negative environmental impacts
                Impact
                         TYPE B. The Project and the technology that could result from it would have no major problems of negative environmental impact. All the
                         possible negative impacts are easily remediable.

                         TYPE C. The Project and the technology that could result from it could have a negative impact on the environment. (You must clarify how
                         this potential environmental impact will be prevented or mitigated.)

                         TYPE D. The Project and the technology that could result from it have obvious negative environmental implications. (You must clarify why
                         you feel the project should non the less be undertaken and how the potential environmental impact will be prevented or mitigated.)

				
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Description: Project Proposal Poverty Reduction Strategies document sample