web viewbeginning in the 2nd quarter of this project, ... a final report providing summative...

M&E System Manual – 07/2014 of 33

Improvement and Scaling Up of the System of Rice Intensification (SRI) in West Africa

Monitoring and Evaluation (M&E) System Manual

I. Introduction and PurposeThe purpose of this manual is to present a practical guide to the project’s M&E system—the series of principles, policies, practices and processes that enable the systematic and effective collection, analysis and use of monitoring and evaluation information.1 The M&E system must be able to work well given the challenges presented by such a complex and multi-faceted project. Specifically, it must:

Respond to three evaluative needs: learning, continuous project improvement through adaptive management, and accountability

Integrate multiple levels of the system: local, national, and regional Integrate diverse agronomic and social indicators Involve standardization for regional aggregation of data, yet also localization to deal with

the realities of diverse contexts

II. Overview of Principles and Policies1. Guiding PrinciplesThe M&E system presented in this manual must manifest and uphold the ideals of good monitoring and evaluation.

1.1. We adhere to the Program Evaluation Standards2 of Utility, Feasibility, Propriety, Accuracy, and Evaluation Accountability. 1.2. We uphold the American Evaluation Association Guiding Principles for Evaluators:3 Systematic Inquiry, Competence, Integrity/Honesty, Respect for People, and Responsibilities for General and Public Welfare. 1.3. We are committed to M&E that is inclusive and responsive with regard to issues of gender, culture, and stakeholder participation.

2. Policies on Roles and ResponsibilitiesAs a multi-level project, clarity on roles and responsibilities, and good horizontal and vertical integration of all M&E personnel, are essential.

2.1. The role of the M&E Coordinator at the regional level is to design the M&E system in consultation with the M&E Officers and Project Coordinators, including creating data collection tools, data management tools, and plans for analysis and reporting. The M&E Coordinator also backstops all data quality issues, works to aggregate and interpret data at

1 Definition of M&E system adapted from Simister, N. (2009). Developing M&E Systems for Complex Organisations: A Methodology. INTRAC M&E Paper 3. 2 Yarbrough, D. B., Shulha, L. M., Hopson, R. K., and Caruthers, F. A. (2011). The program evaluation standards: A guide for evaluators and evaluation users (3rd ed.). Thousand Oaks, CA: Sage.3 Available online at: http://www.eval.org/p/cm/ld/fid=51

http://www.eval.org/p/cm/ld/fid=51


the regional level, and is responsible for the M&E components of the project’s quarterly, annual, mid-term, and final reports; also participates in regional support missions.2.2. The role of each M&E Officer at the national level is to oversee all and implement much of the data collection at the country level. The M&E Officer backstops data quality issues at the national level. The M&E Officer also works in close collaboration with the M&E Coordinator to provide guidance and feedback on the functioning of the M&E system and to ensure good sharing of data; also participates in national support missions.2.3. The role of the Project Coordinator (CNS-RIZ) and Technical Advisors (SRI-Rice) is to review and consult on the M&E system, especially with regard to the technical and agricultural aspects of the project. 2.4. Other project actors (e.g., the Focal Points, people from partnering NGOs or other groups who are implementing SRI projects) also have some responsibilities to collect data, as outlined in Table 2, below. In many cases, it is these individuals who must collect data and then provide that data to the M&E Officer of their country.

3. Policies on CommunicationAs with Policy 2, good communication among the levels of the M&E system is essential.

3.1. As discussed in Section VII below, the policy guiding communication among actors in the M&E system is based on a Community of Practice approach, whereby the M&E team adopts practices and processes (to be determined) that facilitate frequent communication. As feasibility permits, this policy will be operationalized via email and web-based tools. The M&E team will have contact by email (at least monthly) and will have quarterly web conferences (as feasibility permits).3.2. As discussed in Sections V and VI below, clear expectations and practices for how to share data and report findings in a timely manner must be established as well. The M&E Officers will report all of their country-level data to the M&E Coordinator at least two months prior to the completion of each program year. Data collected more frequently (e.g., via the Training Report Survey) will be shared with the M&E Coordinator quarterly.

III. Overview of Objectives, Results, and IndicatorsAs outlined in the Project Management Plan (PMP), the specific objective, results, and indicators that guide the M&E of this project are presented in Table 1, below.

Table 1. Project indicators for the specific objective and the four desired results

ID Indicator Description

Specific Objective: Rice productivity and competitiveness improved in targeted areas

SO1 % change in rice yields for SRI fields in targeted areas (disaggregated by country)

SO2 % change in income for SRI producers (disaggregated by country)

Result 1: Human and institutional capacities of stakeholders in the SRI value chain in West Africa strengthened

1.1 Number of SRI stakeholders (individuals) in the rice value chain trained by 2016 (disaggregated by country, category of stakeholder, theme of training, and gender)

1.2 Number of institutions that increase their capacity to scale up SRI by 2016 (disaggregated by


country)

Result 2: Appropriate innovations (equipment and/or best practices) for SRI developed, scaled up, and adopted in West Africa

2.1 Number of SRI innovations (equipment and/or best practices) developed

2.2 Number of SRI innovations (equipment and/or best practices) disseminated in each ecozone and rice system by 2016

2.3 Percentage of rice farmers practicing SRI in targeted areas in each country, differentiated by baseline status

2.4 Area under cultivation using SRI

Result 3: SRI stakeholders’ demand for knowledge and decision-making options facilitated and met

3.1 Number of functioning innovation platforms

3.2 Number of SRI knowledge products specific to each ecozone and rice system produced and shared with stakeholders along the SRI value chain by 2016

Result 4: Efficient mechanisms and tools of coordination, management and M&E of the project established

4.1 Number of coordination meetings

4.2 Number of reports submitted in a timely fashion (in compliance with established procedures)

4.3 Disbursement rate of the project

4.4 The system for data sharing among different levels is functional (y/n)

IV. Data CollectionFor each of the indicators listed above, the M&E team has provisionally defined the indicators and identified sources of data and/or data collection approaches (see the PMP). This section of the M&E system manual offers more detail about those data collection approaches, including aspects of the evaluation design (i.e., what information must be collected from whom, using what tools, and with what frequency). In the section below, indicators are referred to by their ID as listed in Table 1 above. It is important to note that, in addition to the data gathered using these tools, additional data is to be collected by extrapolating information from reports and other program documents (e.g., data for Indicators of Result 4 are derived from the exploitation of pertinent project reports). A list of the data collection tools and approaches is presented in Table 2. Also, additional data collection tools that are not related directly to an indicator from the Log Frame are also included; these tools are designed to provide a broader view of the project’s impacts using the approaches known as Outcome Mapping and Outcome Harvesting. To summarize, the data collection methods for this project consist of the following tools and approaches:

A series of 8 data collection tools (i.e., forms, checklists, surveys), An approach to reviewing program reports (especially to gather data on Result 4), and An approach to learning about program impacts through Outcome Mapping.

Table 2. Data collection tools/approach for each indicator, listed by ID


ID Tool / Approach Frequency Responsible

SO1 A. Yield Survey 1 time per harvest (at the time of harvest)

M&E Officer for National WAAPP

SO2 B. Income Survey 1 time per harvest (at the time of harvest)

M&E Officer for National WAAPP

1.1 C. Training Report Survey Every quarter M&E Officer for National WAAPP

1.2 D. Annual Institutional SRI Scale Up Capacity & Network Survey

Annually M&E Officer for National WAAPP

2.1 E. Innovation Inventory Form (IIF) Annually Focal point

2.2 E. Innovation Inventory Form (IIF) Annually Focal point

2.3 F. SRI Tracker Survey Annually M&E Officer for National WAAPP

2.4 F. SRI Tracker Survey Annually M&E Officer for National WAAPP

3.1 G. IP Checklist Annually M&E Officer for National WAAPP

3.2 H. Knowledge Product Inventory Form (KPIF)

Semi-annual (2 times per year)

Focal point

4.1 I. Extrapolation from Meeting Reports

Quarterly M&E Coordinator for Regional SRI project

4.2 I. Extrapolation from Meeting Reports

Quarterly M&E Coordinator for Regional SRI project

4.3 I. Extrapolation from Financial Reports

Quarterly Finance officer

4.4 I. Extrapolation from M&E Reports Annually M&E Coordinator for Regional SRI project

Additional data collection tools J. Focus Group Protocol (FGP-OM) and Photo/Video Voice Protocol (PVVP-OM) for

outcome mapping/outcome harvesting4 [Under development] L. Rice cropping system survey [Under development] M. Gender analysis [Under development]

Each data collection tool is included in the Appendix of this manual. Below, there is a brief description of each of the tools, plus more detail on the evaluation design (practices and processes) involved with the implementation of each of the data collection tools. Currently, all data collection tools are available as Excel and/or Word files.

4 Based on approaches outlined in Earl, S., Carden, F., Patton, M. Q., Smutylo, T., & International Development Research Centre (Canada). (2001). Outcome mapping: Building learning and reflection into development programs. Ottawa: International Development Research Centre.


- The feasibility and utility of web-based data collection tools will be explored as the project proceeds. - Another technological aspect of the data collection is that some forms require inclusion of GPS coordinates. - For all data collection tools, the name of the person completing the form and the date that the form was completed should always be noted.

After the tools and approaches are described, the baseline study is presented. This baseline study is highly important, since it will allow for a thorough understanding of: (1) what individuals and organizations are involved in SRI, (2) what SRI projects they are involved in, (3) what the target areas are in each country, (4) what area is currently under SRI, (5) what the current state of SRI scale-up capacity is, and (6) the current extent of innovations, knowledge products, and IPs. Having this information at the outset of the project serves two purposes: it provides a benchmark to compare to future data, and it begins the process of completing the end-of-year annual surveys (i.e., completing the annual surveys will be facilitated if the inventory is established and kept up-to-date through quarterly assessments by the M&E Officer in collaboration with Focal Points, Champions, and other project actors).

Description of data collection tools/approaches and evaluation design5 A. Yield Survey [SO1]

The Yield Survey and the Income Survey are essential tools in this M&E system because they are designed to collect data on the project’s Specific Objective: “Rice productivity and competitiveness improved in targeted areas.” This survey is actually comprised of two related data collection tools (the Inventory of Practices for SRI and Conventional Test, and the Harvest Evaluation for SRI and Conventional Plots) designed to collect systematic and comprehensive data on rice yields at the plot level, allowing for side-by-side comparison between SRI and conventional production. In addition, the survey collects information on the specific rice production management techniques being used and on some more general characteristics of the farming system present at each data collection site. The survey exists as an Excel file (which can be filled directly upon data collection if a laptop or other device is available for data entry in the field) and as a series of Word files (which can be printed and used if a laptop is not available).

The Yield Survey should be implemented one time per harvest (at the time of harvest) by the Focal Point and/or the project actors at the local level; data should then be transferred to the country’s M&E Officer. The M&E Officer coordinates with, supports, and backstops the data collection that is done at the local level by the Focal Points and/or project actors to ensure the timeliness and quality of the data.

B. Income Survey [SO2] Like the Yield Survey, the Income Survey is comprised of a series of related tools (the

Labor Calculation for SRI and Conventional Rice Fields, the INPUT COST Calculation for SRI and Conventional Rice Fields, and the Income and Benefit Calculation of SRI and Conventional Plots per Hectare). Also like the Yield Survey, these tools are available as an integrated Excel file or as separate Word files.

5 The ID for the indicator(s) covered by each tool is included in brackets next to the tool’s name.


Like the Yield Survey, the Income Survey should be implemented one time per harvest (at the time of harvest) by the Focal Point and/or the project actors at the local level; data should then be transferred to the country’s M&E Officer. The M&E Officer coordinates with, supports, and backstops the data collection that is done at the local level by the Focal Points and/or project actors to ensure the timeliness and quality of the data.

C. Training Report Survey [1.1, 1.2] This brief survey is designed to collect data on the various types of SRI training events

that occur in each country. Data collected with this tool will allow us to learn about and track the number of SRI stakeholders (individuals, vis-à-vis Indicator 1.1) and their respective institution (vis-à-vis Indicator 1.2) in the rice value chain trained each quarter (disaggregated by country, category of stakeholder, theme of training, and gender).

This survey should be implemented quarterly by the country M&E Officer. To complete the form, the M&E Officer should gather the pertinent information from either the trainer or from someone else who is associated with and very knowledgeable about the training. Such information could be gathered by observing the training, by sending the survey to the people facilitating the training (for them to fill out directly), or by interviewing the trainer (in person or by phone). In any case, the way in which the data were collected should be noted separately. The M&E officer interacts directly with the trainer or trainees and collects all the training materials either in hard or soft copy, to create an inventory/ compilation of training materials. Also in order to have high-quality data on trainings, the M&E Officer must have a reliable way to know about (ideally) all the SRI trainings that occur in the country. To meet this condition, the M&E Officer should coordinate the administering of this survey with the Focal Point, Champions, etc.

D. Annual Institutional SRI Scale Up Capacity & Network Survey [1.2] The purpose of this survey is to learn about and track institutional capacity to scale up

SRI—with reference in particular to institutions’ human resources (knowledge and skills), financial resources (budgetary support) and materials available for scaling up SRI. This form also helps us learn about and track the connections between institutional actors involved in SRI work (providing data that can allow Social Network Analysis to be performed at the institutional level).

This survey should be implemented annually in each country by the M&E Officer. One form should be completed for each institution that is involved in SRI. Like is the case with the Training Survey, gathering high-quality data on institutional capacity and networking requires good knowledge of the total population of institutions that are involved in SRI in each country. Again, this can be achieved through environmental scans with the support of the Focal Point, the Champions, and other project actors. The baseline study (described below) will establish the first inventory of institutions. Once this list is established, the Focal Point, Champions, and M&E Officer should coordinate throughout the year (at least quarterly) to update the inventory. This will make the completion of this survey (and all of the annual surveys) more feasible at year end.

E. Innovation Inventory Form (IIF)[2.1, 2.2] The purpose of this form is to learn about and track SRI innovations (equipment and/or

best practices) that are developed, disseminated and/or adapted for use in each ecozone and rice system.

This form should be completed to be submitted annually by the Focal Point, with consultation and input from the Champions. The form can be filled out continuously


throughout the year by the Focal Point and reported to the Country M&E Officer once per year, at the end of each project year. Filling this form well requires having a very comprehensive and up-to-date knowledge of the SRI innovations in the country. As with all of the forms, establishing a good baseline and keeping an up-to-date inventory throughout the year (reviewing the inventory at least quarterly) will increase the quality of the data at the end of each year. This form should be reviewed for completeness by the Project Coordinator and the Technical Advisors (in the event that those actors know about innovations that the Focal Point may have neglected to include on the form).

F. SRI Tracker Survey [2.3, 2.4] The purpose of this form is to learn about and track the percentage of rice farmers

practicing SRI (as defined by the project) in targeted areas in each country. Data gathered via this survey are essential to our understanding of the percentage of rice farmers practicing SRI in targeted areas in each country, differentiated by baseline status, and of the area under cultivation using SRI—two indicators of central importance to the project.

This survey should be implemented annually by the country M&E Officer. Completing this survey requires attaching a map indicating the target areas in the country, and requires including normative data on rice production in general in those areas. Thus, to complete the survey, the M&E Officer will likely need to consult not just with actors in the agricultural and development community of the country, but also rely on national agriculture statistic reports. This form includes a field in which the person completing the form can indicate the sources of agricultural statistic data used.

G. IP Checklist [3.1] The purpose of this checklist is to learn about and track the number of functioning

Innovation Platforms (IPs) in each country or region. The checklist is based on the discussion of IPs presented in the CORAF/WECARD report entitled, “Integrated agricultural research for development (IAR4D) multi-stakeholder Innovation Platform (IP) Processes.”6 The checklist could be used regarding IPs formed around technological innovations, institutional innovations, market innovations, policy innovations, etc.

This checklist should be implemented annually by the country M&E Officer. One difficulty in implementing this checklist is defining the boundaries of a given IP. Within the context of this program, all IPs will involve rice production. However, the M&E Officer should attempt to divide IPs by their main focus (e.g., mechanization, marketing, SRI in a specific ecozone, etc.).

H. Knowledge Product Inventory Form (KPIF)[3.2] The purpose of this form is to learn about and track the number of knowledge products

(e.g., brochures, manuals, multimedia, articles, technical fact-sheet, etc.)—specific to each ecozone and rice system—that are developed and disseminated with stakeholders along the SRI value chain.

The form should be completed twice per year by the Focal Point and submitted to the M&E Officer. Like the IIF, this form can be filled out continuously throughout the year by the Focal Point. In the date column, the Focal Point should write the approximate date on which the knowledge product was disseminated. Also like the IIF, this form should be reviewed for completeness by the Project Coordinator and the Technical Advisors (in the event that those actors know about knowledge products that the Focal Point may have

6 Available online at: http://www.coraf.org/database/publication/publication/IAR4D_Brochure.pdf

http://www.coraf.org/database/publication/publication/IAR4D_Brochure.pdf


neglected to include on the form). All knowledge products are to be collected in hard and/or soft copy by the focal point and M&E officer.

I. Extrapolation from Reports (Meeting, Financial, and M&E Reports)[4.1, 4.2, 4.3, 4.4] To gather and track data on the number of coordination meetings, the number of reports

submitted in a timely fashion (in compliance with established procedures), the disbursement rate of the project, and the functionality of the system for data sharing among different levels, various project reports will be reviewed and analyzed.

The M&E Coordinator (with input from the Project Coordinator and/or Financial Officer regarding financial reports) will collect, review, and analyze various project reports on a quarterly basis.

J. Outcome Mapping [N/A] A Focus Group Protocol (FGP-OM) and Photo/Video Voice Protocol (PVVP-OM) for

outcome mapping/outcome harvesting will be developed, tested, and implemented. The purpose of this approach is to gather open-ended formative and developmental data on the complex social, ecological, and economic impacts of the program. Doing so will add a level of nuanced understanding to our knowledge about the project’s success in addition to the reporting of data against the pre-established Log Frame. This approach is included in the IAR4D paradigm. As stated in the 2009 FARA concept paper on IAR4D7, there is a need for M&E systems that value multi-disciplinary and multi-stakeholder interaction, improved processes and outcomes—this “requires a change of thinking, from systematic cause-effect attribution logic, to a more systemic way of monitoring and evaluating behavioral outcomes. This change can be supported by the use of more systemic tools such as the ‘outcome mapping’ approach, rather than the almost universally used ‘logical frameworks’ that reinforce systematic and linear cause–effect logic” (p. 28).

The M&E Coordinator (with input from the country-level M&E Officers), will develop the approach and the tools to be used to put outcome mapping and outcome harvesting (OM/OH) into practice. These will be based also in part on a series of OM/OH tools recently published via the OM network by the World Bank Institute (“Guide for Real-Time Outcome Monitoring: How to harvest outcome information to learn from results,” November 7, 2013).

***Baseline study*** Almost every data collection tool, once piloted, must be implemented as soon as possible

to establish baseline levels for all indicators. Especially, the following tools should be administered as quickly and as thoroughly as possible:

o The Annual Institutional SRI Scale Up Capacity & Network Surveyo The Innovation Inventory Form (IIF)o The SRI Tracker Surveyo The IP Checklisto The Knowledge Product Inventory Form (KPIF)o Rice Cropping System Survey

7 Hawkins, R., W. Heemskerk, R. Booth, J. Daane, A. Maatman and A. A. Adekunle. (2009). Integrated Agricultural Research for Development (IAR4D). A Concept Paper for the Forum for Agricultural Research in Africa (FARA) Sub-Saharan Africa Challenge Programme (SSA CP). FARA, Accra, Ghana. 92 pp.


Additionally, in areas where SRI test plots are already established or where SRI is being practiced, the Yield Survey and the Income Survey should also be administered.

An important process in completing the baseline study is conducting an effective environmental scan of each country. Using all stakeholders involved (Project Coordinator [CNS-RIZ] and Technical Advisors [SRI-Rice], Focal Point, Champion, etc.), collect as much pertinent data as possible about current SRI activities and about each country’s current human and institutional capacity to implement and scale up SRI. To aid in systematically gathering data on the current state of SRI work in the country at the start of the project, and additional tool has been created, the Inventory of SRI Activities (see section K in the Appendix). Through this scanning process, using the Inventory of SRI Activities plus the other tools listed in the first bullet point above, the project will have a good baseline inventory of: (1) what individuals and organizations are involved in SRI, (2) what SRI projects they are involved in, (3) what the target areas are in each country, (4) what area is currently under SRI, (5) what the current state of SRI scale-up capacity is, and (6) the current extent of innovations, knowledge products, and IPs.

V. Data Sharing, Management and AnalysisAs a large, complex, multi-faceted project, good data sharing and management are key issues in the successful M&E of the project. Beginning in the 2nd Quarter of this project, the M&E Coordinator will develop a comprehensive relational database (in Microsoft Access) for data sharing, with separate dashboards for actors at different levels of the system, that will include data entry, management, and sharing options that work in diverse conditions. In addition, he will create and share guidance documents and training modules on using the system. Input will be sought from all M&E Officers regarding the development of the database and dashboards. Until the database is operational, Excel spreadsheets will be used to manage and share data.

The network data derived from the last question on the Annual Institutional SRI Scale Up Capacity Survey will be analyzed using the Social Network Analysis (SNA) software called Gephi (See Figure 1 for an example of SNA maps being created using this software). These maps will also be useful in reporting, especially when paired with data from other sources as well. Figure 1. Example of SNA with Gephi

Other analysis plans will be developed following an initial review of the data in the first two quarters of the project Year 1.VI. Reporting


The following M&E reports will be produced:o Two-page M&E update for inclusion in Quarterly Reportso Comprehensive Annual Reports complete with formative data and process noteso A Mid-Term Review based on additional empirical examination, support visits,

and comprehensive analysis of data collected by the project’s mid-pointo A Final Report providing summative conclusions about the projects results.

As stated in M&E Policy 2, each actor in the M&E system has specific roles and responsibilities regarding reporting. The M&E Coordinator will provide quarterly reports to the Project Coordinator demonstrating good functioning of the necessary M&E processes and providing formative and developmental evaluative insights as well, whenever feasible.

To facilitate these regional-level reports, the country-level M&E Officer will be in contact with the M&E Coordinator on at least a quarterly basis to share any data and process notes that she or he may have. To facilitate creation of Annual Reports, the M&E Officers will send the M&E Coordinator all data collected to date approximately 2 months prior to the end of each project year.

The M&E Coordinator will work to establish a multi-variable, multi-media method of data visualization and reporting (overlaying survey data, GPS coordinates, yield data, photo and video data, social network maps, etc. to provide an interactive and comprehensive picture of the project’s progress).

VII. Communication: A Community of PracticeTo allow for good reporting and, in general, good functioning of the M&E system, the team must establish the best ways to communicate and share documents, data, resources. Pending feasibility concerns, the team will explore Web 2.0 and social media options. Currently, an email list serves as the vehicle for communication between the members of the M&E team. As the project develops, the use of this email-based community of practice venue is expected to increase substantially.

APPENDIX – Data Collection ToolsA. Yield Survey

Inventory of Practices for SRI and Conventional Test

Year: Season (provide range of months):

Country: Province/ Region:

Village: Farmer name:GPS coordinates: Farmer gender: Female__ Male __ (check one)Enumerator/ Reporter name: Farmer age:Enumerator/ Reporter organization: Date:Plot ID:Rice cropping system/agro-ecological zone (circle one)Irrigated rice/ rainfed lowland rice / rainfed upland rice / mangrove / other (please specify):

* This sheet is conceived for a side-by-side comparison trial of a SRI and Conventional plot* It can also be used averaging a number of fields in a particular location, thus cover a larger scale, without side-by-side comparison aspects: Practices SRI Conventional Method, equipment usedPlot size m2 N/ASide-by-side comparison yes/no N/AAverage number of plots number N/A Land preparation Ploughing yes/no Puddling yes/no

Bonding of fields yes/no Leveling yes/no Other: yes/no Nursery Soaking of seeds hours/no Other seed treatment yes/no Raised (non-flooded)

nursery yes/no Variety(ies) Name N/ATransplanting (TR) or Direct Seeding (DS) TR or DS Date of Transplanting Date (or range of dates) N/A Age of seedlings days N/A Seedlings or seeds/hill Number Planted in lines yes/no Spacing between hills cm x cm Weeding Use of weeder Number Hand weeding Number of times Herbicide application

(pre or post)Number of applications

Weed pressure (hi/med/low) Fertilization Organic Matter (OM)

application # per season/no * Quantity of OM t/ha * Type of OM type

Type of fertilizer:………………………………….. # per season/no

* Quantity of N kg/ha Other fertilizer: # per season/no.

* Quantity kg/ha Pesticide Herbicide # per season/no. Fungicide # per season/no. Insecticide # per season/no. Other: # per season/no. Water management Irrigation of plot yes/no Water control vegetative

phase yes/no

Water control after flowering yes/no

Intermittent water application/AWD yes/no

Permanent flooding Yes/no Number of irrigations Number Flood prone yes/no Drought prone yes/no Harvest Date of Harvest Date (or range of dates) Grain yield kg/plot size Grain yield kg/ha Price of paddy rice currency/kg

Revenue from grain (price x yield) currency/ha

Revenue from straw (price x yield) currency/ha

Total revenue (grain and straw) currency/ha

Some additional information on farming system: Main Crops:

Animals:

Trees and others: Average rice field area/ household (ha):

TomArchibald, 07/17/14,

Could these 4 be Litres per season ?

Average yield before SRI (kg/ha):

Harvest evaluation for SRI and Conventional Plots

Country: Country:Village: Village:Farmer: Farmer:Plot # (ID): Plot # (ID)Date: Date:Variety: Variety:Reporter: Reporter

Plot # SRI Plot # Conventional

Plant No. tillers No. panicles

Plant height (cm) Plant No. tillers No.

paniclesPlant

height (cm)1 1 2 2 3 3 4 4 5 5 6 6 7 7 8 8 9 9 10 10

Panicle analysis

PanicleLength (mm) No. grains Panicle Length (mm) No. grains

P1 P1 P2 P2 P3 P3 P4 P4 P5 P5

Harvest square 1m2

SquareNo. plants / m2

Grain moisture (%)

Fresh weight (g) Square

No. plants / m2

Grain moisture (%)

Fresh weight (g)

S1 S1 S2 S2 S3 S3 S4 S4 S5 S5

Harvest of entire plotlength (m) width (m) length (m) width (m)

Plot size Plot size Weight (kg)

Weight (kg)

Grain moisture %

Grain moisture %

B. Income Survey

Labor calculation for SRI and Conventional Rice Fields

Year: Season (provide range of months):

Country: Province/ Region:

Village: Farmer name:

GPS coordinates: Farmer gender: Female__ Male __ (check one)

Enumerator/ Reporter name: Farmer age:Enumerator/ Reporter organization: Date:

ID#:

Plot size considered (for calculations) (ha): Currency used:

SRI Conventional

1 2 (1+2) = 3 Calculate 1 2 (1+2) = 3 Calculate

Practices

Number (#) Man Days

(MD)

# MD x cost **

Additional/ other costs * * Specified Total

cost/unit Total cost/ha Number MD # MD x costAdditional/

other costs *

* Specified Total cost/unit Total cost/ha

Land preparation Land clearing Spreading of organic matter Ploughing Bonding of fields Puddling Leveling Other: Nursery Nursery preparation Sowing the seeds Watering/nursery management Others Transplanting Uprooting of seedlings Transportation of seedlings

Transplanting of seedlings Other: Weeding Hand weeding Weeder use Herbicide application Other: Pesticide Pesticide application Other: Fertilizer Fertilizer application Other: Water management Time used for irrigation/water mgt Other: Harvest Harvesting Transportation Threshing Other: Other

Total

* Additional labor costs: refers to costs that are not expressed in Man Days, but if for instance a lump sum is paid for a certain task, or if an equipment is rented that replaces man power, for instance: tractor service is paid for plowing. Categories for additional labor cost should be numbered in the table and explained in a separate sheet.

** Cost of 1 Man Day (MD) (specify currency):

INPUT COST calculation for SRI and Conventional Rice FieldsUse of equipment for cultivating is included in Labor data collection sheet and not here, as it replaces man power

Country: Province:Village: Farmer name:GPS location: Date:Reporter name: Organization:ID :Unit area of measurement *:

Currency (costs):

SRI Conventional SRI Conventional

Inputs Price per unit

Amount used (unit)/ unit area * Costs/unit area* Amount used

(unit)/ unit area * Costs/unit area* Amount used(unit)/ha Costs/ha Amount

used(unit)/ha Costs/ha

Seed

Organic matter

Fertilizer type:

Fertilizer type:

Irrigation cost

Pesticides

Other:

Other:

Other:

Other: TOTAL Input costs

* : same unit of measurement

Income and Benefit Calculation of SRI and Conventional plots per Hectare

Calculated from Tables 1-38 (highlighted cells)

SRI Conventional

Total Revenue (kg paddy x price) from table 1

Total Labor Costs from table 2

Total Input Costs from table 3

Benefit (Revenue – Cost of Labor and Input)(currency/ha)

Currency:

8 Using data from the: Inventory of Practices for SRI and Conventional Test Labor calculation for SRI and Conventional Rice Fields INPUT COST calculation for SRI and Conventional Rice Fields

C. Training Report SurveyName: Date:

Please provide some basic information about when and where the training took place.

Country:Province/Region:Town/Village: GPS coordinates:Date(s) of Training:Trainer Name:Trainer Organization:

Please provide a brief description of the training event.

Theme(s) of Training:Type of Training: (formal sessions, field visits, exchange visits, etc.)Learning Objective(s) of Training:

Pedagogical Approach of Training / Activities Facilitated:

Duration of Training:Planned Follow-Up:

Numbers of stakeholders participating (by category):

Category Producers Extension Agents Researchers Others Total

Male

Youths ( 18 - 35 yrs) Non-Youths (36+ years)

Female Youths ( 18 - 35 yrs)

Non-Youths (36+ years)

Total

Additional Remarks on Training:

D. Annual Institutional SRI Scale-Up Capacity & Network Survey (AISSUCNS)Name: Date:

The purpose of this form is to learn about and track institutional capacity to scale up SRI—with reference in particular to institutions’ human resources (knowledge and skills), financial resources (budgetary support) and materials available for scaling up SRI.

This form also helps us learn about and track the connections between institutional actors involved in SRI work.

Please fill out one form for each institution in your country that is involved in SRI.

Please provide some basic information about the institution.

Country:Province/Region:City/Town/Village: GPS coordinates:Type of Organization:Total # of Employees:# Employees Working on SRI project(s):

Please provide a brief narrative describing the nature of the institution’s involvement with SRI (e.g., how they got started with SRI, what projects they are involved with, what successes they have had, what challenges they have identified, etc.).

Please provide some information on the SRI training the institution has participated in.

Source / Training Service Provider:Type of Training (e.g., formal sessions, field visits, exchange visits, etc.)SRI Topics Covered:

# Employees Trained:

Please provide some information on the institution’s capacity for scaling up SRI.Number of staff with:

Acceptable Good SuperiorKnowledge of SRI principles

Acceptable Good SuperiorSkills to practice SRI

Acceptable Good SuperiorAbility to do research on SRI

Acceptable Good SuperiorAbility to train others on SRI

Is there one or more “SRI Champion(s)” in the organization?No Yes If Yes, provide name(s):

How supportive is the organization’s leadership of SRI?Not at All Not Very Somewhat Very

Approximately how much money did the organization devote to SRI activities in the last year?Amount (please include currency):

Please rate the adequacy (considering both the quality and quantity together) of the following types of materials that the organization possesses to support their SRI work: Check the box that applies for each category of material:

Non-Existent Poor Fair Good Very Good

General SRI manualsContext-specific manualsMechanization equipmentData collection guidelines

Harvesting equipment (moisture meter/scales)

Photo/video cameras

GPS equipmentOther: _______________

Please provide information on this organization’s connections to other organizations concerning their work with SRI.

If they are connected to an individual who is not affiliated with an organization, include that person’s name.

Collect input from two or three key informants within the organization. If more than one informant mentions a connected organization, still only record that

organization once in the table below. For the purposes of this survey, “work with SRI” can be defined broadly (e.g., if people

have collaborated, discussed, exchanged materials, etc. around any type of SRI work).

Write the organizations (or individuals) named by informants and check the box to show their perceived strength of that connection.

# Organization NameStrength of Connection

Weak Moderate Strong123…

Please some information about the institution’s SRI project(s)Please complete this table for each of the institution’s SRI projects.

Type of Project:Start / End Dates:Funding Agency:

Budget:# Employees Involved:

Desired Objectives and Results:

Involves WAAPP?: Yes No Involves Focal Point?: Yes No

Type of Project:Start / End Dates:Funding Agency:

Budget:# Employees Involved:

Desired Objectives and Results:

Involves WAAPP?: Yes No Involves Focal Point?: Yes No

Please copy, past, and fill in additional tables as needed.

E. Innovation Inventory Form (IIF)Name: Country:

The purpose of this form is to learn about and track SRI innovations (equipment and/or best practices) that are developed, disseminated and/or adapted for use in each ecozone and rice system.

Filling this form well requires having a very comprehensive and up-to-date knowledge of the SRI innovations in your country. The form can be filled out continuously throughout the year by the Focal Point and reported to the Country M&E Officer once

per year, at the end of each project year. In “Description of innovation,” please include:

o If the innovation is a piece of equipment, a best practice, or another type of innovationo What challenge or issue in rice production the innovation addresses

In “Description of development/dissemination/adaptation,” please include:o If the innovation was developed, disseminated, and/or adapted (in some cases, you could be recording all three)o What individuals and organizations were involved in the development, dissemination, and/or adaptationo What ecozones, rice systems, and/or geographic locations of your country experienced this innovation

# Description of innovation Description of development/dissemination/adaptation Date of entry on form1234567…

Please fill out this additional information form for each of the SRI innovations listed in the Table, above.Coordinating with Focal Points, Champions, or other project actors, please provide detailed technical specifications, detailed descriptions, and as much information as you can about the innovation. Include a brief story of how the innovation came about.

Innovation # (from table):

Please attach photos, documents, or any other items related to this innovation.

F. SRI Tracker SurveyName: Date:Country:

The purpose of this form is to learn about and track the percentage of rice farmers practicing SRI in targeted areas in each country.

For the purposes of this form, a farmer is practicing SRI if the following conditions are met:

o …o …o …

Please provide some information about rice production in your country in general.Use whatever existing data is available; estimate when necessary. Please indicate the sources of data used.

Data Source

Total Area (ha)

Total Yield (tn)

Average Yield (kg/ha)

# of Producers

Please insert or attach a map of your country indicating the areas targeted by the project.Number each targeted area.

Please provide more information about each of your country’s target zones.Estimate when necessary.

Target Area #

Ecozones / Rice Systems Present

Total # of Rice Producers

# of Producers Practicing SRI

Total Area Under

Rice (ha)

Area Under

SRI (ha)# female # male # female # male

G. Innovation Platform ChecklistName: Date:

Country:

The purpose of this checklist is to learn about and track the number of functioning Innovation Platforms (IPs) in your country or region.

The checklist is based on the discussion of IPs presented in the CORAF/WECARD report entitled, “Integrated agricultural research for development (IAR4D) multi-stakeholder Innovation Platform (IP) Processes,” available online at: http://www.coraf.org/database/publication/publication/IAR4D_Brochure.pdf

IPs often form around various types of innovations:o Technological innovations o Institutional innovations o Market innovations o Policy innovations

One difficulty in implementing this checklist is defining the boundaries of a given IP. Within the context of this program, all IPs will involve rice production. However, attempt to divide IPs by their main focus (e.g., mechanization, marketing, SRI in a specific ecozone, etc.)

How many IPs are currently active in your country?

Please provide additional information about each IP. Complete this checklist for each IP:

Theme or topic addressed by this IP:

Focal organization or person(s):

Does the IP have the following characteristics?: Yes Somewhat No

A common purpose and objective

Participatory approaches and collective action tools

Functional experiential learning and sharing

Dissemination pathways (farmer-to-farmer learning, etc.)

Non-linear collective and collaborative interaction

Involvement of socially diverse stakeholders

Involvement of economically diverse stakeholders

Feedback mechanisms between research and practice

Trust and understanding between actors

Leadership and facilitation skills from focal organization

Potential for economic, social and environmental benefits

http://www.coraf.org/database/publication/publication/IAR4D_Brochure.pdf

H. Knowledge Product Inventory Form (KPIF)Name: Date:Country:

The purpose of this form is to learn about and track the number of knowledge products (e.g., brochures, manuals, multimedia, articles, technical fact-sheet, etc.)—specific to each ecozone and rice system—that are developed and disseminated with stakeholders along the SRI value chain.

For the “Date” column, put the approximate date that the product was disseminated.

# Type of Product Ecozone / Rice System Covered

Developed By Disseminated To

# Copies Disseminated

Date

1

2

3

4

5

6

7

…

K. Inventory of SRI ActivitiesName: Date:

Country:

This inventory tool is designed to provide a snapshot of the various diverse SRI activities occurring in a country at a given point in time.

This material is to accompany the information provided via the SRI Tracker Survey. That survey will allow us to know the target areas of your country, with their ecozones and rice systems, their average rice yields, and the current area under SRI cultivation.

Please provide information about the organizations and individuals in your country involved in SRI.In the Location column, please be as precise as possible (e.g., City/Town/Village, Province, GPS coordinates).In the Type column, please indicate what type or organization (e.g., farmer group, NGO, research center, university, etc.) or individual (e.g., producer, extension agent, researcher, marketer, etc.).In the Description of SRI Project(s) column, please briefly state what that organization or individual’s activities with SRI involve (e.g., growing test plots, offering trainings, developing mechanization equipment, developing knowledge products, innovating SRI for new ecozones or rice systems, etc.)

# Name Location Type Phone # / Email Description of SRI Project(s)

1

2

3

4

5

6

7

…

In your own words, please describe the current state of SRI development and dissemination in your country.

What SRI success stories, if any, have occurred in your country so far?

What are the biggest challenges to SRI development and dissemination in your country?

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