A I3980e

Program and project desigN
Results-based public
management
Tools for the design and

implementation of public rural
development programs with a project
cycle approach
MODULE 1
Evaluation
Implementation
and
Monitoring
Diagnosis
Design
Results Based Public Management
Tools for the design and implementation of public rural development

programs with a project cycle approach
Results-based public
management
Tools for the design and

implementation of public rural
development programs with a project
cycle approach
MoDULe 1
Evaluation
Implementation
and
Monitoring
Diagnosis
Design
U n i t e d N at i o n s F o o d a n d Ag ri c u lt ure
Org a n i z at i o n
S a n tiago, 2014
ii

The designations employed and the presentation of material in this information

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necessarily reflect the views or policies of FAO.
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E-ISBN 978-92-5-108499-1 (PDF)
FAO, 2014
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Contents
Acknowledgements------------------------------------------------------------------------------------------------------------------ vii
Presentation ----------------------------------------------------------------------------------------------------------------------------- ix
Introduction - ---------------------------------------------------------------------------------------------------------------------------- xi
I.
Conducting a diagnosis---------------------------------------------------------------------------------------------------- 1
Chapter 1 Methodology for conducting a diagnosis------------------------------------------------------------------------------- 2

1.1 Stakeholder analysis-------------------------------------------------------------------------------------------------- 3
1.2 Problem analysis------------------------------------------------------------------------------------------------------ 5
1.3 Dimensioning the problem- ----------------------------------------------------------------------------------------10
1.4 Identification of the potential population or focus area- ------------------------------------------------------ 11
1.5 Quantification of the potential population or focus area------------------------------------------------------12
1.6 Stratification and characterization of the potential population-----------------------------------------------12
Summary-------------------------------------------------------------------------------------------------------------------------------------13
II.
Case Study----------------------------------------------------------------------------------------------------------------------15
Chapter 2 Case Study: Conducting a diagnosis-----------------------------------------------------------------------------------16

2.1 Identification of stakeholders in the Mexican rural and fishing sector-------------------------------------16
2.2 Identification and analysis of problems of the Mexican rural and fishing sector------------------------- 17
2.3 Dimensioning the problems of the Mexican rural and fishing sector---------------------------------------19
2.4 Identification of the potential population------------------------------------------------------------------------ 20
2.5 Quantification of the potential population- ----------------------------------------------------------------------21
2.6 Relevant actors of the Mexican rural and fishing sector----------------------------------------------------- 24
2.7 Relevant problems in the Mexican rural and fishing sector------------------------------------------------- 30
iii
iv

2.8 Problem trees of the Mexican rural and fishing sector------------------------------------------------------- 32
2.9 Regions and strata in the Mexican rural and fishing sector------------------------------------------------- 34
2.10 Problem trees by stratus------------------------------------------------------------------------------------------- 36
III. Tools--------------------------------------------------------------------------------------------------------------------------------41
Tool 1---------------------------------------------------------------------------------------------------------------------------------------- 42

Policy Analysis Matrix (PAM)--------------------------------------------------------------------------------------------------- 42
Tool 2-----------------------------------------------------------------------------------------------------------------------------------------51

Interview guide for high level officials------------------------------------------------------------------------------------------51
Tool 3---------------------------------------------------------------------------------------------------------------------------------------- 53

Instrument for the definition of relevant problems-------------------------------------------------------------------------- 53
Tool 4---------------------------------------------------------------------------------------------------------------------------------------- 60

Guide for obtaining information about the localities------------------------------------------------------------------------ 60
Tool 5---------------------------------------------------------------------------------------------------------------------------------------- 63

Online survey: Definition of relevant problems for the rural and fishing areas---------------------------------------- 63
Tool 6---------------------------------------------------------------------------------------------------------------------------------------- 83

Performance indicator reference sheet to quantify the problems------------------------------------------------------- 83
Tool 7---------------------------------------------------------------------------------------------------------------------------------------- 85

Survey by production strata----------------------------------------------------------------------------------------------------- 85
Tool 8--------------------------------------------------------------------------------------------------------------------------------------- 137

Survey for rural families--------------------------------------------------------------------------------------------------------- 137
F i g u res

Figure 1. Life cycle of the project: Diagnosis--------------------------------------------------------------------------------- 2
Figure 2. Problem tree----------------------------------------------------------------------------------------------------------- 5
Figure 3. Principal problem tree of the rural and fishing sector of Mexico--------------------------------------------- 7
Figure 4. Draft of the problem tree on milk production in Trinidad and Tobago-------------------------------------- 8
Figure 5. Problem tree (alternative) on milk production in Trinidad and Tobago-------------------------------------- 9
Figure 6. Total stratification by sales of the rural economic units-------------------------------------------------------21
Figure 7. Relevant problems in the economic sphere according to results of the online survey----------------- 30
Figure 8. Relevant problems in the social sphere according to results of the online survey----------------------- 31
Figure 9. Relevant problems in the environmental sphere according to results of the online survey- ----------- 31
Figure 10. Problem tree of the rural and fishing sector-------------------------------------------------------------------- 32
Figure 11. Causes that explain the low growth of agricultural and fishing activities---------------------------------- 32
Figure 12. Causes that explain poverty of rural families------------------------------------------------------------------- 33
Figure 13. Causes that explain the degradation of the natural resources---------------------------------------------- 33
Figure 14. Causes that explain the unfavorable economic environment----------------------------------------------- 33
Figure 15. Causes that explain a weak institutional framework---------------------------------------------------------- 34
Figure 16. Stratus E1: Subsistence family without linkage to the market----------------------------------------------- 36
Figure 17. Stratus E2: Subsistence family with linkage to the market-------------------------------------------------- 37
Figure 18. Stratus E3: Rural Economic Units in transition---------------------------------------------------------------- 37
Figure 19. Stratus E4: Entrepreneurial with fragile profitability----------------------------------------------------------- 38
Figure 20. Stratus E5: Thriving entrepreneur-------------------------------------------------------------------------------- 38
Figure 21. Stratus E6: Dynamic Entrepreneur------------------------------------------------------------------------------- 39
Figure 22. Diagram of the agro-industrial chain of the crop X------------------------------------------------------------ 43
Figure 23. Matrixes for the analysis of a link of the agro-industrial chain of a system-product-------------------- 43
T a b l es

Table 1. Stakeholder matrix---------------------------------------------------------------------------------------------------- 3
Table 2. Regions considered for the preparation of the diagnosis-----------------------------------------------------16
Table 3. Total stratification by sales according to stratus--------------------------------------------------------------- 22
Table 4. Indicators calculated for conducting the diagnosis of the rural and fishing sector--------------------- 22

Table 5. Social regions favorable for obtaining economic, social and environmental information for the

poorest strata of the country (Strata E1 and E2)-------------------------------------------------------------- 34

Table 6. Economic regions favorable for obtaining economic, social and environmental information

for strata E3, E4, E5 and E6- ------------------------------------------------------------------------------------- 35
vi

Table 7. Budget matrix at market prices: Production of an export crop--------------------------------------------- 45
Table 8. Budget matrix at social prices: Production of an export crop----------------------------------------------- 46
Table 9. Policy analysis matrix: Production of an export crop----------------------------------------------------------47
Table 10. Indicators of profitability and of public policy impact: Production of an export crop------------------- 48
Acr o n y ms
FAO
Food and Agriculture Organization
PAM
Policy Analysis Matrix
IMR
Indicators Matrix for Results
LFM
Logical Framework Methodology
S-S
Spring-Summer
F-W
Fall-Winter
CBR
Cost-Benefit Ratio
SAGARPA
Ministry of Agriculture, Livestock, Rural Development, Fishing and Food
REU
Rural Economic Unit
PU
Production Unit
vii
viii

Acknowledgements
For more than ten years, the United Nations Food and Agriculture Organization (FAO), through ongoing rural policy
evaluation and analysis projects, has provided technical assistance to the Ministry of Agriculture, Livestock, Rural
Development, Fishing and Food (SAGARPA) of Mexico, in the area of evaluation of programs promoting agriculture,
fishing and aquaculture production, and rural development. In the framework of this cooperation, methodological
tools have been developed jointly for the management of the different phases of a program: sector diagnosis, design,
implementation and evaluation. This document brings together the experiences obtained from the projects so that
they can be reproduced or referenced by actors involved in the management of programs or projects with similar
characteristics.
In the development of the projects the contributions of the following SAGARPA officers stands out: Arturo Enciso
Serrano, Ernesto Ezequiel Abraham Tarrab, Horacio Santoyo, Jose de Jesus Romo Santos, Jose Correa, Juan Carlos
Vargas Moreno, Lucia Rosas Ortiz, Miguel Angel Lopez Arreguin, Omar Anaya Mandujano, Alan Kristian Hernandez,
Pablo Hernandez Alarcon, Patricia Valtierra Carrillo, Claudia Gabriela Valadez Romero, Roberto Cedeo, Rogelio
Carmona Leon, Eduardo Benitez Paulin, Jose Merced Tulais Lopez and Silvia Urbina Hinojosa.
A special mention is made of Veronica Gutierrez Macias, Jaime Clemente Hernandez and Renato Olvera Nevarez (in
memoriam).
Alfredo Gonzalez Cambero, who directed the projects from 2007 to 2012, and Salomon Salcedo Baca, Senior Policy
Officer of the Regional Office for Latin America and the Caribbean of the FAO and at the time technical leader of the
projects, were the lead authors of this publication. Ana Harumi Hayashida Carrillo and Ina Salas Casasola, both FAO
consultants, participated in its drafting. Members of the projects collaborated in the systematization of each of the four
modules of this compendium of tools, contributing their knowledge and experiences in each of the phases of a project.
Particular recognition is given to Isabel Madrid Perez, Ruth Mendoza Ortinez, Mariana Ortega Ramirez and Alejandro
Davila Topete who contributed to the construction of the alternatives tree for the sustainability of natural resources.
Finally, the Representation Office of FAO in Mexico is acknowledged for its operational leadership of the projects.
ix

Presentation
Since the Marrakech Round Table in 2004, the international community has supported five specific commitments related
to improving the effectiveness of development assistance1, synthesized in the concept of Managing for Development
Results. This implies taking into account from the beginning of any initiative, project or program the expected outcomes
and how to achieve them. Furthermore, the implementation, progress monitoring, and subsequent evaluation should
consider the expected outcomes that were established at the beginning of the process.
In this regard, there is a great challenge for developing countries to adopt a new vision. This means breaking with old
customs and patterns in the manner of handling the project cycle, changing from a focus on addressing demand to a
planning process for achieving specific outcomes, established from the beginning. While there is no single approach,
since each country, each sector and each project presents particular situations, there are experiences that can be
systematized and shared.
The preparation of a set of tools for results-based management responds to the need to break with inertial operating
schemes of public development programs in the majority of countries, which do not contemplate efficiency and efficacy
in achieving results. The absence of such an approach implies that substantial resources are spent without a timeframe
for resolving the problems that the public interventions are intended for.
This document brings together the experiences obtained from the Evaluation and Analysis of Rural Policies Project
undertaken by the United Nations Food and Agriculture Organization (FAO) and the Mexican Ministry of Agriculture,
Livestock, Rural Development, Fishing and Food (SAGARPA) during the implementation of the Results-Based
Management focus in its different Programs. In this respect, on four occasions the National Council for the Evaluation
of Social Development Policy of Mexico has granted recognition to SAGARPA for its good practices in the development,
execution and evaluation of public policy in the field since 2007, taking an important step toward improving its programs
and orienting them toward performance and impact in the rural sector.
The document Results-based public management: Tools for the design and implementation of public rural development
programs with a project cycle approach includes the four phases of the life cycle of a project or program. The first
module includes the methodological tools for conducting a sector diagnosis, which constitutes the first step that justifies
the intervention by making it possible to identify a problem, dimension it, identify and quantify the population or area
facing the problem, and stratify such population.
The second module presents the procedure and methodological tools for the design of a program or project which will be
synthesized in the Logical Framework. In this module the methodology is shown for conducting the objectives analysis
and the alternatives analysis, constructing performance indicators, identifying the means of verification, identifying risk
and assumptions, and collecting counterfactual data for a baseline of the performance indicators of the program or
project.
1 The principles of Results-Based Management agreed on during the Second Round Table on managing for development results in 2004, are: 1) focus the dialog on results in all the
phases of the development process; 2) align programming, monitoring and evaluation with results; 3) keep measurement and reporting simple; 4) manage for, not by, results; and
5) use results information for learning and decision-making.
xi
xii

The third module provides the methodology for the implementation of a program or project which, under the results
approach, should include a monitoring and evaluation system consistent with its design, budgeting, and regulation, as
well as design and processes evaluations in the first year of implementation of the program or project.
The fourth module consists of the methodology for evaluating the outcomes obtained by the program or project as a
result of its implementation through the design of the results and impact evaluation of a program or project.
Each module is structured with a chapter on theory and a chapter on experience referring to the mentioned Project, and
complemented with the systematization of the methodological tools for a better understanding of the sections.
Salomn Salcedo Baca
Alfredo Gonzlez Cambero
Senior Policy Officer
Project Director (2007-2012)
Introduction
Many countries have begun to realize the need to pursue results-based public management, in order to ensure more
efficient and effective public spending. The essence of managing for results lies in the establishment of expected
objectives and outcomes, around which public sector managing is organized in order to achieve them. Such managing
rests on four basic principles: a) focusing on results; b) the linking of planning, programming, budgeting, and monitoring
and evaluation with results; c) the measurement and generation of information on results; and d) the use of results
information to support decision-making and accountability.
In order for the results orientation of public policy to be effective, the problem that such policy addresses must be
clearly identified and defined, which will make it possible to establish, in turn, clear objectives based on the outcomes
that are sought with the implementation of such policy. Nevertheless, it is common to find in the programs or projects
that implement the public policy that the definition of the problem being addressed is unclear, and sometimes even
absent. In this regard, often the programs and projects that make up the public policy of the sector are not based on a
diagnosis that identifies and defines the problem they seek to address; instead they arise in large part from predecessor
programs, to which adjustments are made in terms of relocation of program outputs, updating of aid amounts, etc.,
and as such they are unrelated to the problem that gave rise to their existence. Therefore, the diagnosis of the situation
that a development program or project is intended to address is the first step that should be taken in its planning and
implementation.
With this in mind, this first module of the document Results-based public management: Tools for the design and
implementation of public rural development programs with a project cycle approach encompasses the tools for
identifying the problem that is the basis for the formulation and implementation of a development program or project
in order to solve such problem. In this regard, this set of tools covers, using conceptual and applied elements, the
procedures for the development of a diagnosis of the rural sector that serves as a basis for the design of a program
or project. For this, through a stakeholder analysis a panorama is offered of all the persons, groups, organizations,
institutions, state governments, municipal governments, etc., that would be involved in the actions of a program or
project. For its part, through the problem analysis the development problem on which the design of a program or project
is based is identified and defined, as well as the institutional arrangement that is necessary for the implementation of
the program or project. For its part, through the problem analysis the development problem that is the basis of the
design of a program or project is identified and defined, as well as the causes and effects of such problem. For that,
the methodological systematization for doing the diagnosis of the rural sector is included, in which procedures are
established for the identification and dimensioning of the problem that affects the rural sector, which also includes the
identification, quantification and stratification of the population facing the problem. The identification and quantification
of this population are important for dimensioning the problem, while the stratification is essential for targeting the
programs or projects, and for the establishment of differentiated policies, in order to address with more precision the
needs of each type of population stratus.
xiii
xiv

Conducting a
diagnosis
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Chapter 1
Methodology for conducting a diagnosis

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The diagnosis is a process that makes it possible to obtain information about the problems that a sector faces in order to
guide the definition and effective implementation of a public development program or project. Specifically, the diagnosis
systematizes and generates current and accurate information in order to analyze the problems that affect a sector and
the actors affected by such problems.
Through a diagnosis, the causes and effects of the problems are identified, and then the means for resolving them can
be effectively identified in the program design stage. In other words, it constitutes the first phase in the life cycle of a
program or project (Figure 1).
FigurE 1. Life cycle of the project: Diagnosis
4.
1.
Evaluation
Diagnosis
3.
2.
Implementation
and Monitoring
Design
The diagnosis process includes several stages of analysis, which are defined as:
Stakeholder analysis
Problem analysis
Dimensioning of problems
Identification of the potential population or potential focus area

Quantification of the potential population or potential focus area, and
Stratification and characterization of the potential population.
1.1 Stakeholder analysis

The stakeholder analysis consists of identifying the persons, groups or institutions that may have some connection
with the sector or area under study, in order to optimize the social benefits and limit the negative impacts that a
governmental intervention in the sector can provoke.
The stakeholder analysis makes it possible to strengthen the support of those whose interests coincide or are
complementary, and diminish the opposition of those with contrary interests. The results of this analysis are reflected
in the stakeholder matrix (Table 1).
Table 1. Stakeholder matrix
Groups
Problems
Needs / Interests
Potential
Position
How to conduct a stakeholder analysis

The stakeholder analysis involves the following stages:
1. Identify the relevant actors of the sector or study area. For example, in an irrigation project, the relevant
actors will be the users of the irrigation water or farmers, the local authorities and the representatives of the
government involved in agrarian matters.
2. Categorize each actor according to the group to which it belongs. For example: governmental bodies,
producer groups, population groups, non-governmental organizations, private sector organizations, etc.
These groups form the first column of the matrix.

3. Identify the problems perceived by stakeholders. This process identifies how each group is affected by
different problems and, therefore, how their needs and/or interests regarding a possible public intervention
will be different. The results of this analysis are summarized in the fourth column of the matrix.
4. Identify the needs and interests of each group in relation to the development sector or area that is analyzed.
For example, the interests of an agricultural producer with very little or no income will be oriented toward
covering his/her basic needs such as nutrition, health and housing. On the other hand, an exporting
producer will be interested in a program that makes it possible for him/her to access international markets.
This information forms the third column of the matrix.
5. Identify the untapped potential assets of the sector analyzed, which if strengthened or used sustainably
would make it possible to improve the conditions of the units under analysis or solve the problems that
affect the sector. This information forms the fourth column of the matrix.
6. Identify their position regarding a particular program or project; in other words, classify them as to whether
they are a potential beneficiary, a potential opponent, an implementer, a collaborator, a financier, etc. This
information forms the fifth colum n of the matrix.
The stakeholder analysis is a process done in parallel with the problem analysis, since they are complementary in
information. The particular importance of the stakeholder analysis lies in the fact that participative strategies are used
in conducting it (workshops, surveys, focus groups and interviews) that make it possible to detect the problems and
subsequently identify alternatives with support. In other words, the stakeholders feel that the project/program is theirs,
generating a sense of ownership of the program or project.
Recommendations for the stakeholder analysis

1. When categorizing the stakeholders, attention should be paid to the differences that may
exist within the same group of stakeholders. For example, it is common in the rural sector for
various types of producers to coexist that differentiate themselves according to the size of
their production and their income level. In these cases, it is advisable to classify the producers
in several groups, since there are differences regarding the perception of the problems, their
needs and also their potential.
2. It is essential to identify all the relevant groups for a project/program; excluding one could
generate legitimacy problems in the agreements that will be made later on in the project;
having irrelevant groups can cause deviations from the problem and sidetrack the meetings
with demands that may not be met, generating disenchantment.
F o r m o r e i n f o r m at i o n :
Bryson, J. M. (2004). What to do when stakeholders matter: Stakeholder identification and analysis
techniques. University of Minnesota. Minneapolis, MN.
Centers for Disease Control. Stakeholder Analysis. Atlanta, GA.
Comisin Europea (2001). Manual gestin del ciclo de proyecto. Ede, The Netherlands.
Heemskerk, Nick et al. (1995). Manual for Project planning. Amsterdam, The Netherlands.
ILPES-CEPAL (2004). Metodologa del marco lgico. Boletn 15. Santiago de Chile.
ILPES-CEPAL (2005). Metodologa del marco lgico para la planificacin y la evaluacin de proyectos y
programas. Santiago de Chile.
MIT (2001). Course in Stakeholder Analysis. Boston, MA.
Schmeer, K. (1999). Guidelines for conducting a stakeholder analysis. Bethesda, MD.
The World Bank (1998). Participation and Social Assessment: Tools and Techniques. Compilado por
Jennifer Rietbergen-McCracken and Deepa Narayan. Washington, DC.
1.2 Problem analysis

The problem analysis consists of identifying the principal problems that affect the sector and for which an intervention
is desirable. For this purpose, once a central problem is identified, the causes and effects are analyzed. The results
of this analysis are summarized in a problem tree (Figure 2) according to the Logical Framework Methodology (LFM).
Figure 2. Problem tree
Effect
CAUSe
Central problem

How to conduct a problem analysis

The first step in the problem analysis process is the exploration of negative situations found from the review of available
documentary information. This step makes it possible to delineate the sectors existing relevant problems in the areas
of impact.
The purpose of the review of the documentary information is to establish the general context in which the sector or area
analyzed is developing. For the collection of this type of information official sources, both national and international, are
reviewed.
Recommendations in reviewing the documentary information

1. The documentary analysis should be based on criteria that make it possible to determine if a
negative situation could be considered a problem. These criteria are:
i. A problem in the sector being analyzed is a situation or state that affects a group under
study or unit of analysis (population, territories or areas) from the perspective under
which the sector is being studied.
ii. An additional criterion is time. A problem must be current and have been present for
at least the last five years persistently and/or increasingly. This makes it possible
to incorporate the historical aspects that differentiate the negative situations from
temporary problems.
2. This review seeks to find variables that delineate and characterize negative situations that
could be considered the problems of the sector under study and that will be analyzed and
proven subsequently.
3. In this stage the negative situations are now being differentiated as problems, causes or
effects in order to be able to make a classification, above all of the causes.
Subsequently, the information collected in the documentary review is delved into further and complemented, through
other research mechanisms that make it possible to obtain information, directly or indirectly, on the sector or area that
is being analyzed.
The mechanism that is used to obtain this information will depend on the time and the available resources to prepare
the diagnosis. Some options that may be chosen are:
Field interviews
Directed polls (surveys)
Focus groups.
Finally, with the information collected, it is possible to prepare the problem tree, which is a graphic or schematic
representation of the central problem affecting the sector and its causes and effects, which allows for easy use and
understanding in the program or project design stage.
How to prepare a problem tree

The method for preparing a problem tree, indicated through the logical framework methodology, consists of organizing
the causes and effects detected in a tree-type format, where the central problem is the point of departure (the trunk),
the causes are the roots and the effects the treetop.
The analysis begins with the determination of the central problem. The central problem is the problem that internalizes
all the problems and therefore it is global or comprehensive in nature. It represents the trunk of the tree.
After identifying the central problem, its direct causes are analyzed. The direct causes are negative situations that
directly determine the existence of the central problem. Similarly, the causes that give rise to the existence of these
direct causes are analyzed, forming the roots of the tree.
Subsequently, the effects of the central problem are analyzed. These effects, also expressed in negative situations, are
placed above the central problem constituting the treetop. Figure 3 presents the central problem of the rural sector in
Mexico, showing the central problem in the trunk of the tree and the causes of the problem in the roots.
Figure 3. Principal problem tree of the rural and fishing

sector of Mexico
Rural and
fishing sector
not sustainably
developed
Poverty
of rural
families
Degradation
of natural
resources
Weak
institutional
framework
Agricultural
and fishing
activities
with low
growth
Unfavorable
economic
environment

Recommendations in preparing a problem tree

How to draft the problems
1. Current problems to be described are those that have been present for at least the last five
years. Temporary negative situations are excluded.
2. Avoid the phrases There are no or Lack of, since they describe what it is wished to do and
not the existing problem. For example: Lack of training in adequate tilling techniques: In
this example a solution is concealed, instead of describing the problem. It is recommended
to draft it like: Eroded soils, which is the situation to be changed with training in adequate
tilling techniques.
3. Avoid ambiguous words or phrases like system which contains various elements in itself.
This makes it difficult to analyze them one by one.
4. Avoid using phrases that contain both the cause and its effect. For example: Degradation of
soil due to deforestation. In this case this phrase should be separated into cause and effect,
where deforestation is a cause of soil degradation.
5. Finally, attention must be paid to the hierarchy and order in which the statements are placed
on the tree. This is done by verifying that there is a direct causality with the problem being
analyzed, as specified in the following example.
Example: Draft of the problem tree on the production of milk in Trinidad and Tobago
In this tree, prepared by officers of the Ministry of Food Production, Land and Marine Affairs of the Government of
Trinidad and Tobago, six direct causes are identified that lead to the decline in milk production (identified as the
central problem), which are absence of extension services, reduced number of ranchers, high costs of production,
low productivity, absence of planning for the dairy subsector, low quality in livestock raising and high labor
costs. Nevertheless, some of these statements are not consistent in their vertical logic and others do not have the
correct syntax.
Figure 4. Draft of the problem tree on milk production in

Trinidad and Tobago
Increased imports
of milk
Decline in milk
production
Absence
of
livestock
extension
services
Aging of
ranchers
Youth
are not
involved
in the
industry
Low
productivity
High production
costs
Reduced number
of ranchers
Lack of
adequate
fodder
Livestock
feed
imported
No local
feed
Lack of
administrative
skills
Lack of technology
for small scale
production
Absence of
planning for
the dairy
subsector
Low quality in
livestock raising
High
levels of
infertility
Diseases
High labor
costs
For example, the absence of livestock extension services reflects an implicit solution. The problem is not the absence
of extension services, but rather what the absence of services results in, for example the misuse of pastures, the low
quality in livestock raising, etc., among other problems that could be resolved through extension services. For the level
of this analysis it is only necessary to identify the problems, not the possible solutions. The identification of solutions
corresponds to subsequent stages that include the alternatives analysis. The same analogy applies for the absence
of planning for the dairy subsector, since planning could be a possible solution for reversing the administrative
problems.
Taking these comments into account, the following alternative problem tree could be proposed:
Figure 5. Problem tree (alternative) on milk production in

Trinidad and Tobago
Decline in milk
production
Reduced number
of ranchers
Aging of ranchers
Youth are not

interested in the
dairy industry
High cost of
livestock feed
Deficit of adequate
fodder
Deficient
administrative
handling
Rising cost of
imported farm
inputs
Nutritional
deficiency
Low quality in
livestock raising
High labor costs
Low genetic quality
In this alternate problem tree, the same central problem is identified, decline in milk production caused by a) the
reduced number of ranchers, b) the high cost of livestock feed, c) the deficient administrative management, d) the low
quality in livestock raising and e) high labor costs.
The analysis of the direct causes can be taken a step further in the tree. For example, it is logical to think that the
number of ranchers dedicated to milk production is reduced because some of them retire from the activity due to age
and because youth do not take an interest in such activity. This last cause may in turn have other causes, such as that
the dairy activity is not profitable, etc. Similarly, for example, it is advisable to elaborate on the causes of the rising cost
of imported farm inputs, which could be due to the increase in the exchange rate, the imposition of tariffs, etc. The
itemization of causes and sub-causes should continue until all the possible explanations of the problem and its causes
are exhausted; that is, until getting to the root of the problem.
Comisin Europea (2001). Manual gestin del ciclo de proyecto. Ede, The Netherlands.
Heemskerk, Nick et al. (1995). Manual for Project planning. Amsterdam, The Netherlands.
ILPES-CEPAL (2004). Metodologa del marco lgico. Boletn 15. Santiago de Chile.
ILPES-CEPAL (2005). Metodologa del marco lgico para la planificacin y la evaluacin de proyectos y
programas. Santiago de Chile.
10

1.3 Dimensioning the problem

Once the problems have been identified, the next step is to evaluate their magnitude. This implies measuring each
of the problems identified in the sector or area analyzed.
How to dimension the problem

A first step for dimensioning the problem is to determine a series of indicators that make it possible to evidence with
quantitative information the presence of the problems identified in the prior phase. For that, quantitative analysis
techniques should be applied to prove the existence, characteristics and magnitude of the problems identified, from the
review of reliable databases such as censuses, official statistics and baselines.
Additionally, case studies can be done2 to complement the above analysis. Through this instrument, qualitative
and quantitative-type information can be obtained to make it possible to estimate the magnitude of the problem in
areas where its existence is identified but for which sufficient information has not been found through the review of
databases.
When a competitiveness problem has been identified in the agriculture sector, for example, one useful tool is the
Policy Analysis Matrix (PAM) developed by Erik Monke and Scott R. Pearson. The PAM has been broadly used
to study the underlying factors of the competitiveness of production systems in the agro-food sector, since it is a
relatively easy methodology (the raw material is made up of prices and technical coefficients; the calculations
are limited to additions, subtractions, multiplications and divisions); the PAM can be constructed on a standard
spreadsheet; and it produces useful and understandable results even for professionals with basic economic
background (FAO, 2007).
The PAM is considered the appropriate methodology for determining the level of competitiveness of production systems
forming a chain, in different markets, at the micro level; in other words, at the production unit level. It also makes
it possible to analyze competitiveness under different public sector policy and program intervention scenarios, and
therefore through PAM the effect that different combinations of governmental policies and programs have or could have
on competitiveness can be determined.
More specifically, the utilization of the PAM methodology makes it possible to:
Know in which links of the value chain it is necessary to intervene and how to do it, in order to improve the
competitiveness of the agro-food chains.
Determine what degree and in which links of a particular agro-food chain the competitiveness, or lack thereof, is
influenced by (or depends on) the impact that the different policies and programs have on it.
Determine in what direction, to what degree and in what production systems of a particular agro-food chain
competitiveness would change under different public sector policy and program scenarios.
Quantify the magnitude of the transfers that each production system of a particular agro-food chain receives from
the government (and/or from consumers) or, if applicable, the amount of transfers that such production system pays
to the government (and/or to consumers) as a result of the set of public policies and programs.
The methodology for the use of PAM is explained in Tool 1.
2 The case study method is a valuable research tool; its greatest strength lies in that it makes it possible to measure and register the conduct of the persons involved in the
phenomenon studied (Yin, 1989). In the case study method the data can be obtained from a variety of sources, both qualitative and quantitative: documents, archive records, direct
interviews, direct observation, observation of the participants and physical installations or objects (Chetty, 1996).
FAO (2007). Competitividad de la agricultura en Amrica Latina y el Caribe. Matriz de Anlisis de Poltica:
Ejercicios de cmputo. Santiago de Chile.
Monke, E. A. y Scott R. Pearson (1989). The policy analysis matrix for agricultural development. Stanford,
CA.
FAO-SAGARPA (2010). Metodologa de la medicin de competitividad de sistemas producto. Mxico.
1.4 Identification of the potential population or focus area

Once the problems that affect the sector or area of study have been identified, the next step is to determine what
population or area suffers these problems, as well as its characteristics.
It should be mentioned that the analysis of the potential population or focus area cannot be separated from the
problem analysis; in other words, the identification of problems and the definition and quantification of the potential
population or focus area are closely linked in terms of both the methods and the information they use.
The following helps to explain this relationship a little more:
When analyzing the negative situations that are being identified as possible problems, the population groups, regions
or focus areas being affected by these problems are also being explored.
When confirming the existence of the problems, information should be sought that indicates the minimum
characteristics of the units of analysis that are being affected by these problems, since such information makes it
possible to specify the problem.
When pursuing the case studies for the problem analysis (causes, effects and magnitude), the characteristics of the
affected population or area are also being explored in depth. The proportion of the units of analysis that would be
affected is also estimated in order to show the magnitude of the problem.
For this reason, many of the methods and information defined during the prior phases are made use of to do the
analysis of the potential population.
How to identify the potential population or focus area

To identify the potential population or focus area it is necessary to establish the criterion or criteria that define the
potential population or focus area affected by the problem. For example, if the problem identified is the poverty of
rural families, the potential population will be defined from the establishment of certain criteria, such as the level of
income and the level of wellbeing measured in savings capacity, access to basic housing services, health conditions
and nutrition levels.
Afterwards descriptive indicators and variables should be defined that make it possible to support the criteria established
and, parting from that, determine the characteristics that define the potential population or focus area.
11
12

Secretara de Desarrollo Social (2011). Nota sobre poblacin potencial y poblacin objetivo. Mxico, DF.
1.5 Quantification of the potential population or focus

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

The data for quantifying the potential population or focus area can be obtained from censuses already done, prior
studies related to the problem under analysis, statistics, etc. However, it may happen that for certain groups or areas
there are no data. In these cases the population or focus area may be estimated through censuses (counting of the
entire population) or sampling (estimation of the population or area from a sample).
As was previously mentioned, the stage of problem analysis and its dimensioning is closely linked to the identification
and quantification of the potential population, and therefore in many cases the quantification of the potential population
or focus area can result from carrying out the prior phases.
El Banco Mundial (2005). Sistema de Identificacin de la Poblacin Objetivo: SIPO en Costa Rica. Serie
de Documentos de Discusin sobre la Proteccin Social. Washington, DC.
Secretara de Desarrollo Social (2011). Nota sobre poblacin potencial y poblacin objetivo. Mxico, DF.
1.6 Stratification and characterization of the potential

population
Due to the fact that the potential population affected by a problem is, generally, heterogeneous, in this section the
methodology is presented for stratifying and forming subgroups within the potential population in a way that units
within each group share similar characteristics, needs and potential, but they are different from those of other
subgroups.
The purpose of this stage is to determine the specific problem that affects the different units that compose the
subgroups of the potential population. This makes it possible to construct specific problem trees based on which
projects or programs can be designed focusing3 on the different subgroups or strata that make up the potential
population.
3 The principle of targeting is that the concentration of resources on a population group of certain characteristics increases the efficacy of the public instruments used to resolve a
clearly identified problem.
How to stratify and characterize the potential population

The stratification presumes the existence of different strata that are characterized by specific elements that
make them distinguishable from the rest of the strata. For that, a variable must be established that makes this
differentiation possible. For example, the stratification can be based on the area of interest of the program that would
be implemented: production level, purchasing power, knowledge level, culture, etc.
Following the stratification of the potential population, each stratum can be characterized according to the most
convenient variable for the matter under study. As a product of this classification it is possible to obtain differentiated
information from each stratum, from which programs or projects can be designed tailored to the needs of a
possible target group.
The information for characterizing the potential population can be the same as the information used for dimensioning
the problem from the review of reliable databases such as censuses, official statistics, baselines, etc.
Summar y
The analysis that is obtained from the diagnosis makes it possible to identify, prior to the design of programs or projects,
the causes of the development problems and their dimension, and who suffers from them. Therefore, the diagnosis
makes it possible to establish the basis for a subsequent definition of objectives and targets during the design stage of
the programs.
In this case and as was already mentioned, the diagnosis is made up of six stages of analysis, in each one of which
different sub-products are obtained. In the stakeholders analysis those actors having an interest or link to the area of
study are identified. This analysis is the first attempt to learn the problems suffered by each of the groups involved in the
study area. It is done in a participative manner to ensure the support of everyone and to promote a sense of ownership
of those forming part of the process.
In the problem analysis the problems are identified through different methods of analysis. The information is synthesized
in the problem tree of the area of study in a logical manner that provides a basis for understanding the causes and
effects of the problems identified.
The dimensioning of the problem makes it possible to understand the magnitude of the problems through the
establishment of indicators. This process of analysis is very useful for distinguishing those problems that have a greater
incidence.
From the analysis identifying the potential population or focus area, the criteria are obtained that define the population
or area that presents the need and/or problem. Based on these criteria, it is possible to quantify the total population or
area in the following stage of analysis, which justifies the design of a program or project.
Finally, the stratification and characterization of the potential population makes it possible to obtain differentiated
information among the units or strata that make up the potential population in those cases involving groups with
different characteristics and needs. It is a useful tool for identifying the population that suffers most from the problems,
and that therefore emerges as the target population of a program or project.
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14

II
Case Study
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4444444444444444444444444
15
16

Chapter 2
Case Study: Conducting a diagnosis

444444444444444444444444444444444444444444444444444444444444444444444
In this chapter a methodological experience is presented that exemplifies the conducting of a diagnosis at the sector
level. This case includes the experience of the Project on Policy Analysis and Evaluation undertaken by the United
Nations Food and Agriculture Organization (FAO) and the Ministry of Agriculture, Livestock, Rural Development, Fishing
and Food (SAGARPA) of Mexico.
2.1 Identification of stakeholders in the Mexican rural

and fishing sector
For the diagnosis of the Mexican rural and fishing sector, a partial analysis of stakeholders was done. The relevant
stakeholders were identified and categorized according to the relevant sector (government, academia, regional producers
and community leaders). The problems of the relevant stakeholders were identified in the problem analysis stage.
For the identification of relevant stakeholders the rural producers of the entire country were classified in two dimensions:
regional and producer strata4.
2.1.1 Regional dimension5

For the geographic demarcation nine territorial units were established as shown in Table 2.
Table 2. Regions5 considered for the preparation of the diagnosis

Region
States
Northwest
Sonora, Sinaloa
Baja California Sur, Baja California
North
Chihuahua, Durango, Coahuila,
Northeast
Nuevo Len, Tamaulipas
West and Bajio
Central
Southeast
Oaxaca, Guerrero, Chiapas
Gulf
Veracruz, Tabasco
Yucatan Peninsula
Yucatn, Quintana Roo, Campeche
Zacatecas, Jalisco, Michoacn, Colima, Nayarit,

Guanajuato, Quertaro
San Luis Potos, Aguascalientes, Hidalgo, Mxico, Morelos,
Tlaxcala, Puebla
Source: FAO-SAGARPA. Diagnstico del sector rural and pesquero: identificacin de la Problemtica del Sector Agropecuario y Pesquero
de Mxico. Working document.
4 This classification was necessary because within the Mexican rural sector, groups with different characteristics and interests coexist and therefore they cannot be treated as
homogeneous.
5 To establish such regions the information from two characterizations of Mexican territory were combined which made it possible to establish the rural regions that were appropriate
for purposes of the Diagnosis work. The first characterization (INEGI, 2001) establishes a demarcation of regions based on demographic, social and welfare information obtained
from the XII 2000 National Population and Housing Census. The second characterization (FAO, 2005) makes it possible to establish regions based on agro-ecological zones and
types of enterprises or predominant agricultural production systems. Both characterizations were complemented with information obtained from the Mexican Agri-food and Fishing
Information Service (SIAP).
2.1.2 Dimension by producer strata

Afterwards, the Mexican rural producers and fishermen, defined in Rural Economic Units (REU), were classified in six
different strata according to their social and economic characteristics.
This classification of the Mexican rural sector not only made it possible to identify the relevant stakeholders and
categorize them into groups, but it also facilitated the field work for the collection of information in the subsequent
phases of analysis of the diagnosis.
Section 2.6 presents the relevant stakeholders identified in each of the nine regions established in this stage, including,
for example, local and federal government institutions, academic and research institutions, representative producers
and representatives of the communities of each region.
The stakeholder analysis is a reference in the following phases of the project cycle. For example, in the design stage the
analysis guides the selection of the appropriate alternative toward the one that meets the needs and expectations of the
target group. In the execution stage the collaborating groups can be identified in order to achieve an activity or output.
The stakeholder analysis is dynamic, since as the project progresses, new stakeholders are integrated or emerge, and
therefore it should be considered an ongoing process.
2.2 Identification and analysis of problems of the

Mexican rural and fishing sector
For the identification and analysis of problems of the Mexican rural and fishing sector, national sources such as the
following were reviewed: Agriculture Information System for Consultation (SIACON), National Statistics and Geography
Institute (INEGI), Bank of Mexico (BANXICO), National Banking and Securities Commission (CNBV), National Population
Council (CONAPO), National Social Development Policy Evaluation Council (CONEVAL), National Aquaculture and
Fishing Commission (CONAPESCA), Ministry of the Environment and Natural Resources (SEMARNAT) and the Ministry
of the Economy (SE); and international sources such as: the Organization for Economic Cooperation and Development
(OECD), the United Nations Food and Agriculture Organization (FAO) and the Economic Commission for Latin America
and the Caribbean (CEPAL).
In addition to the documentary review, the following methods were utilized: a) interviews of the relevant stakeholders
of each of the nine regions established in the geographic demarcation, b) polls taken through online surveys, and c)
expert meetings.
Two rounds of field interviews were conducted. The first was done in order to make a preliminary identification of the
problems. The purpose of the second was to confirm the problems and deepen the analysis as to how they affect
the sector. The interviews were applied to the relevant stakeholders of the sector as well as to government officials,
members of academia and producer and community representatives.
Three types of semi-structured interviews were prepared:
1. Interview guide for executives.
2. Instrument for the definition of relevant problems.
3. Guide for obtaining information in rural localities.
Each of these instruments was designed to capture information in the three important spheres of the Mexican rural and
fishing sector diagnosis, which are the economic, social and environmental areas, as well as the institutional. These
instruments can be consulted in Tools 2, 3 and 4.
17
18

Recommendations in the structuring of the interviews

1. In order to obtain information efficiently and usefully, the interviews should be designed
according to the type of stakeholder. Note that in this project three different interview forms
were developed depending on the interviewee.
2. The interviews should be designed to obtain qualitative information on the problems detected
in the documentary review and to go deeper into the causes. They should also be oriented
toward the important spheres of the sector being analyzed. In the project the problems were
analyzed according to the social, economic and environmental spheres.
In parallel to the field work, online surveys were taken with the purpose of exploring the problems that could not be
identified in the documentary review and in the individual and group interviews, and to establish the primary problems
that were being identified for each sphere.
For this purpose, an instrument was prepared that was distributed among local academic and scientific institutions, local
officials and authorities, rural organizations, non-governmental organizations, and members of citizens organizations
related to the problems and potential of the rural sector in Mexico6. This instrument is available in Tool 5.
One of the principal results obtained from these online surveys was the ordering of the three principal problems that
researchers, academics and officials considered as relevant in the economic, social and environmental spheres, seen
from their work or research perspective.
From the initial identification of the problems of the rural and fishing sector in the field work, a consultation of a group
of experts was undertaken in order to validate their relevance and also to incorporate any problems that may have been
left out of the initial analysis7.
The results of the meeting made it possible to validate the initial assumption that the problems of the rural and fishing
sector are concentrated in the economic, social and environmental spheres, and to also validate the causes that explain
the problems within each of these broad spheres.
As a result of the information collected through the documentary review, the interviews, the online surveys and the
experts meeting, the initial layout of the tree with the problems affecting the Mexican rural and fishing sector was
prepared (Tool 3).
The problem analysis is one of the most important phases of the diagnosis. Therefore, the time and resources invested
in carrying it out may be extensive. How expensive and time-consuming it will be will depend on the size of the study
area and the resources available for doing it. Nevertheless, whatever its scope, the problem analysis is, in all cases,
the cornerstone on which the rest of the stages of analysis that lead to a good diagnosis and the design of effective
programs and projects lie.
6 The instrument was called Definition of Relevant Problems for the Mexican Rural and Fishing Sector made up of a total of 150 questions with which each of the interviewees would
define the three problems of greatest relevance for the rural economic units of Mexico in the economic, social and environmental spheres.
7 In order to do such consultation an Experts Meeting on Analysis of the Development Problems of the Mexican Rural Sector was organized in which 36 experts in the three spheres
of the rural sector participated.
2.3 Dimensioning the problems of the Mexican rural and

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

Conceptual definition of the problem

Criteria that define the problem
Indicators and variables that support the criteria
Sources of information.
These reference sheets made it possible to establish an initial assessment of the criteria and indicators in order to
quantify the problems that were being analyzed. An example of a reference sheet can be seen in Tool 6.
Subsequently, the indicators were programmed through statistical software and analyzed in order to identify the most
prevalent problems.
The main source of information was the Baseline of the 2008 SAGARPA Programs, which contained additional data
on the social characteristics (years and levels of education of the producers, marginalization of the locality, sources of
income, etc.); economic characteristics (profitability, yields, income of the rural economic units, etc.); administrative
characteristics (assessment of knowledge, type of farm assets, access to information, etc.); and production characteristics
(yields, level of technology, etc.) of Mexicos rural and fishing sector producers.
Finally, to complement the dimensioning of the problems, case studies were conducted for those problems that did not
have sources of information for their quantification, or for which indirect bibliographic sources were resorted to.
To carry out the studies, the following steps were taken:
a) Selection of the topics of study

The selection of topics for doing case studies was based on the problem tree constructed during the first stage of
field work. Indicators were determined for each problem of the problem tree and those that did not have sources of
information to support them were selected as topics for case studies.
Based on the above criterion, the following topics were identified for carrying out case studies:
In the economic sphere:
Outdated technology of the Rural Economic Units
Reduced product quality
Marketing barriers for the REU.
In the social sphere:
Low level of use of local potential
Low level of skills
Low level of development of non-agricultural activities.
In the environmental sphere:
Low level of development of sustainability practices.
19
20

b) Survey development
For the topics requiring verification, surveys were prepared in order to collect information on social aspects of the
rural population, economic aspects of the agricultural, fishing, forestry, or non-agricultural activities carried out, and
information concerning the condition and availability of the natural resources existing in the zones where the REU and
the families are located (Tools 7 and 8).
c) Determination of the regions to conduct the case studies

The Characterization of Mexican Rural Space carried out by the Universidad Nacional Autnoma de Mxico was used
as a basis for selecting the study zone for applying the survey (Annex 4). Based on the assumption that it would be
better to apply the survey in a differentiated manner among strata for the analysis of the problems and their causes,
the following ten subregions were selected within the country: North, North Central, Central, Southeast, and Yucatn
Peninsula as appropriate subregions for gathering social data; and Northeast, North Central, Central, West and Gulf as
favorable subregions for obtaining economic data8. The details of the states and municipalities visited in each subregion
can be consulted in section 2.9.
d) Selection of households and economic units

Once the subregions to be visited were determined, then the households and agricultural, forestry, fishing and nonagricultural economic units were selected.
Once the information was collected, it was captured and analyzed in order to calculate the indicators that would
complement the diagnosis of the rural sector 9.
The purpose of dimensioning the problems is to know their magnitude; however, it is sometimes also the basis for
identifying the potential population or focus area that will be addressed through a public program or project, and
therefore it is linked with the following stage of analysis.
2.4 Identification of the potential population

The process of identifying the potential population in the framework of the diagnosis of the Mexican rural and
fishing sector was very closely linked to the dimensioning of the problems. In other words, the indicators that were
established to measure the magnitude of the problems were in turn the basis for characterizing (identifying) the
potential population.
For example, one of the main problems that affects the most vulnerable strata of the Mexican rural and fishing sector
is low level of human capital. To measure the magnitude of this problem, indicators were established on the levels of
education, nutrition and health conditions of the rural families. Thus, that people didnt finished elementary school
was considered as a criterion for identifying the population affected by this problem.
The identification of the potential population clarifies the panorama regarding who or what needs to be worked on in
order to design programs or projects that serve the population or area that really suffers the problems.
8 The first five subregions were called social subregions and the last five economic, according to the predominance of the strata in each of them. Nevertheless, it must be clarified
that economic, social and environmental information was obtained in all subregions.
9 A total of 399 interviews were done: 106 that collected information on the social aspects of the rural population, 170 interviews of REU with agriculture, fishing or forestry activities,
and 123 interviews of REU with non-agriculture activities.
2.5 Quantification of the potential population

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

population
As part of the diagnosis, the Rural Economic Units were stratified. The variable that was used to segregate the REU was
Sales Income (SI), which was constructed as the global value of the product of the quantities sold at their respective sale
price in the different activities carried out by the REU (agriculture, livestock, aquaculture, fishing, transformed products,
forestry and non-agricultural rural activities). The source of information that was used for estimating this variable was
the sample collected for the Baseline of the 2008 SAGARPA Programs (BL), which has economic and social data from
27,053 REU. However, 723 observations were excluded from the analysis, since they did not have sufficient information
for their characterization.
All of the REU were classified initially in two large blocks: the first groups those REU whose SI is equal to zero (which
constituted stratus 1, self-consumption producers), and the second groups those whose SI is greater than zero. To
classify the units of block 2 (made up of 20,436 REU) a cluster analysis was conducted with the statistics program
SPSS (Statistical Package for the Social Sciences V-16). Considering the above criteria, five stratification stages were
done; in each of them two groups were obtained, one small (which defined each new stratum) and one large, which
was stratified again because it was too aggregate. Finally, the stratification process resulted in the six strata that are
presented in Figure 6 and Table 3.
Figure 6. Total stratification by sales of the rural economic

units
Stratum 2
50.6%
Stratum 3
8.3%
Stratum 4
9.9%
Stratum 1
22.4%
Stratum 5
Stratum 6
8.4%
0.3%
Source: FAO-SAGARPA. 2012. Diagnstico del sector rural y pesquero: Identificacin de la Problemtica del Sector Agropecuario y
Pesquero de Mxico.
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22

Table 3. Total stratification by sales according to stratus
STRATA
REU
% REU by
Stratus
Average
sales
income
E1: Subsistence family without

linkage to the market
1,192,029
22.4%
E2: Subsistence family with

linkage to the market
2,696,735
E3: REU in transition
Range of sales income

Sales
income
minimum
Sales
income
maximum
50.6%
17,205
16
55,200
442,370
8.3%
73,931
55,219
97,600
E4: Entrepreneurial with

fragile profitability
528,355
9.9%
151,958
97,700
228,858
E5: Thriving entrepreneur
448,101
8.4%
562,433
229,175
2,322,902
E6: Dynamic entrepreneur
17,633
0.3%
11,700,000
2,335,900
77,400,000
5,325,223
100.0%
Total
Source: FAO-SAGARPA. 2012. Diagnstico del sector rural y pesquero: Identificacin de la Problemtica del Sector Agropecuario y Pesquero
de Mxico.
After the stratification came the characterization of each stratum. For that purpose a series of indicators were
calculated that provided the social, economic and environmental information necessary to characterize and quantify
their problems. For the above, the 2008 SAGARPA Programs Baseline was used, which contains the information
needed to study the areas of interest. The list of indicators is presented in Table 4.
Table 4. Indicators calculated for conducting the diagnosis of the

rural and fishing sector
Economic and production variables
Social variables
Access to economic information for production

decision-making
Coverage, amount and frequency of reception of

government aid
Access to training services
Average age
Access to and use of credit
Amount of government aid by age range
Low penetration of the formal financial system in rural

areas
Level of schooling by age range
Market destination of livestock products
Degrees of marginalization
Economic and production variables
Social variables
Use of certifications
Access to labor market
Equipment, infrastructure and transportation
Level of poverty of the rural families
Net income structure
Variables for social characterization by stratum

(schooling, language, etc.)
Cost structure of non-agriculture rural activities

Structure of total gross income
Infrastructure for production and marketing
Risk infrastructure
Net sales income
Sales income (variable for stratification)
Total sales income from the three principal animal
species
Total sales income from the three principal crops
Total income by stratum
Level of profitability of agricultural activities
Level of profitability of non-agricultural activities
Levels of technical innovation
Number of equivalent heads of cattle per REU
Obsolescence of farm assets
Stocking rate
Cost-benefit ratio of primary activities
Cost-benefit-cost ratio of REU
Ratio of net sales income to farm assets value
Average yield, production and land area
Ownership of farm assets
REU according to economic activity
REU according to market destination of sales
Value of farm assets
Source: FAO-SAGARPA. 2012. Diagnstico del sector rural y pesquero: Identificacin de la Problemtica del Sector Agropecuario y Pesquero
de Mxico.
As a result of the stratification and characterization of the problems that each stratum suffers, it is possible to construct
differentiated problem trees, from which focused programs can be designed for each sector.
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24

2.6 Relevant actors of the Mexican rural and fishing

sector
1. Nor th C entral Region (Chihuahua)
Sector
Institution
Ministry of Agriculture, Livestock, Rural Development, Fishing and Food (State Delegation)
State government Ministry of Rural Development
State government Ministry of Industrial Development
Government
Shared Risk Trust Chihuahua state management

Aid and Services to Agriculture Marketing State Unit
Trusts Instituted in Relation to Agriculture
Ministry of the Environment and Natural Resources State Delegation
Autonomous University of Chihuahua
Centro de Investigacin en Materiales Avanzados, S.C.
Academia Research
National Institute of Forestry, Agriculture and Livesock Research

Centro de Investigacin en Alimentacin y Desarrollo A.C. (Cd. Cuauhtmoc)
Center for Natural Resources Research (Salaices)
Regional livestock union of Chihuahua
Grupo UNIFRUT
Regional
producers
Unin de Regiones de Productores Forestales de Chihuahua, A. C.

Regional Agricultural Union of Yellow Corn Producers and other Grains and Seeds of the State
of Chihuahua
Representatives of the transformation link of agricultural value chains
Communities
Rural communities
2. Nor thwest Region (Sinaloa)

Sector
Institution
Ministry of Agriculture, Rural Development, Fishing and Food (State Delegation)
State government Ministry of Agriculture, Livestock and Fishing
Government
State government Ministry of Economic Development

Shared Risk Trust Sinaloa state management
Aid and Services to Agriculture Marketing State Unit
Sector
Government
Institution
National Aquaculture and Fishing Commission and National Fishing Institute
Autonomous University of Sinaloa (Culiacan)
Academia Research
Center for Food and Development Research (Culiacan)

National Institute for Forestry, Agriculture and Livestock Research
National Polytechnical Institute Interdisciplinary Center for Research on Comprehensive
Regional Development (Guasave)
CAADES
Regional
producers
AARC
AMPAHC
Regional Livestock Union Sinaloa
Communities
Rural communities
3. Nor theast Region ( Tamaulipas)

Sector
Institution
Ministry of Rural Development
Social, cultural and athletic development
Ministry of Economic Development and Employment
Government
Environmental agency for sustainable development

Ministry of the Environment and Natural Resources State Delegation (Victoria)
Trusts Instituted in Relation to Agriculture (Victoria)
National Water Commission
National Aquaculture and Fishing Commission
Autonomous University of Tamaulipas Multidisciplinary agronomy and sciences unit (Victoria)
Tamaulipas Science and Technology Council
Academia Research
National Institute of Forestry, Agriculture and Fishing Research (field research Ro Bravo)
Foundation PRODUCE Tamaulipas (Victoria)
Regional Center for Fishing Research of Tampico
Fishermen
Regional
producers
Aloe Vera
Soy
25
26
Sector
Institution
Regional
producers
Sorghum
Communities
Rural communities

Ranchers (Cattle)
4. Western Region (Jalisco)

Sector
Institution
Shared Risk Trust Jalisco state management
Government
Officers
Trusts Instituted in Relation to Agriculture Western regional office

Ministry of the Environment and Natural Resources State Delegation and National Forestry
Commission
Autonomous University of Guadalajara - Center for Agriculture and Environmental Research
(Tlajomulco)
Academia Research
Center for Research and Technical and Design Assistance of the State of Jalisco
National Institute of Forestry, Agriculture and Livestock Research
University of Guadalajara University Center of Biological and Agricultural Sciences
University of Guadalajara University Center of Los Altos
Regional
producers
State representative of three important value chains (Agriculture Livestock and

Transformation)
Communities
Rural communities
5. Bajio Region (Guanajuato)

Sector
Institution
State government Ministry of Agricultural Development
Shared Risk Trust Guanajuato state management
Government
Aid and Services to Agriculture Marketing Bajio regional office

Ministry of the Economy State Delegation
Sector
Institution
Center of Research and Advanced Studies of the National Polytechnical Institute Irapuato Unit
Technological Agriculture Institute 33 (Juventino Rosas)
Academia Research
State Ecology Institute (Salamanca)

National Institute of Forestry, Agriculture and Livestock Research Northern Research Center
(San Luis de La Paz)
University of Guanajuato Agricultural Sciences Institute (Ex Hacienda el Copal)
Regional
producers
State representatives of three important value chains (Agriculture, Fishing and Transformation)
Communities
Rural communities
6. Gulf Region ( Veracruz)

Sector
Institution
State government Ministry of Agriculture, Rural, Forest and Fishing Development
Aid and Services to Agriculture Marketing
Government
State government Ministry of Social Development and the Environment

Ministry of the Economy (State Delegation)
Ministry of Social Development - State Delegation
National Forestry Commission State Delegation
National Water Commission State Delegation
Veracruzian University (Veracruz)
Faculty of Biological and Agricultural Sciences
Veracruzian University
Faculty of Agricultural Sciences - Xalapa
Academia Research
Graduate School in Agricultural Sciences-Campus Veracruz

Veracruz Institute for Rural Development and Fishing
Center for External Evaluation
27
28
Sector

Institution
Local Association of Cane Sugar Producers
Regional
producers
Regional Livestock Union

Asociacin de Empacadores y Exportadores de Ctricos del Estado de Veracruz A.C.
Asociacin Veracruzana de la Cadena Productiva del Caf, A.C.
Communities
Rural communities
7. C entral Region (St ate of Mexico)

Sector
Institution
Ministry of Agriculture, Livestock, Rural Development, Fishing and Food
Ministry of Agricultural Development
Ministry of Social Development
Government
Ministry of the Environment and Natural Resources

National Forestry Commission
PROBOSQUE
National Water Commission
Water Commission of the State of Mexico
Center for External Evaluation State of Mexico
Autonomous University of Mexico (Faculty of Agricultural Sciences and Faculty of Veterinary
Medicine and Animal Science)
Academia Research
Agricultural Technology Institute

National Institute of Forestry, Agriculture and Livestock Research /CIRSE (Field Research Valle
de Mxico / Valle de Toluca)
Autonomous University of Chapingo
Graduate School in Agricultural Sciences
Ranchers Organization
Regional
producers
Corn Producers Organization

Fruit Producers Organization
Horticulture Organization
Communities
Rural communities
8. Southeast Region (Oaxaca)

Sector
Institution
Shared Risk Trust Oaxaca state management
Government
Officers
Trusts Instituted in Relation to Agriculture Western regional office

Ministry of the Environmental and Natural Resources State Delegation and National Forestry
Commission
Center for Forestry and Agricultural Research of Oaxaca.
Chapingo, Regional University Southern Center of the South
Academia Research
National Polytechnical Institute, Interdisciplinary Research Center for Comprehensive Regional

Development-Unidad Oaxaca.
University of the Sea
Regional
producers
State representative of three important value chains (Agriculture Livestock and

Transformation)
Communities
Rural communities
9. Yucat n Peninsula Region ( Yucat n)

Sector
Institution
State government State Ministry of Agriculture and Fishing Promotion
State government Ministry of Tourism Development
Government

National Aquaculture and Fishing Commission, and National Fishing Institute
Ministry of Social Development
Rural Development Agency and Innovation Agency
Academia Research
Center for External Evaluation Yucatn

Autonomous University of Yucatn (Faculty of Biological and Agricultural Sciences)
Centro de Investigacin Cientfica de Yucatn, A.C.
29
30
Sector

Institution
National Institute of Forestry, Agriculture and Livestock Research /CIRSE (field research C.E.
MOCOCHA)
Academia Research
Center for Graduate Research and Studies in Social Anthropology - Peninsular

Foundation PRODUCE Yucatn
Ranchers Organization
Beekeepers Organization
Regional
producers
Fruit Producers Organization

Horticulture Organization
Communities
Rural communities
2.7 Relevant problems in the Mexican rural and fishing

sector
Figure 7. Relevant problems in the economic sphere according to
results of the online survey
12%
15%
High production costs.
14%
Restrictions on flows of resources and

working capital of producers.
12%
Technological backwardness.
10%
Low productivity levels of REUs.
10%
Low profitability of the product

marketing mechanisms across regions
of Mexico.
9%
14%
9%
15%
9%
12%
10%
10%
9%
Deficient infrastructure for

production, post-harvest and
distribution.
9%
Excessive number of intermediaries.
9%
Inefficient production techniques.
12%
Others.
Figure 8. Relevant problems in the social sphere according to

results of the online survey
4% 2%
6%
25%
Low income of rural households.
19%
Low productivity of agricultural activity.
15%
Low level of wellbeing of rural families.
11%
Low development and use of nonagricultural economic activities.
25%
9%

9%
Inadequate family health and nutrition

conditions.
9%
Low development of job opportunities.
6%
Low level of employability in activities

with compensation greater than the
minimum required.
4%
Low savings capacity of families.
2%
Other.
9%
11%
19%
15%
Figure 9. Relevant problems in the environmental sphere

according to results of the online survey
5%
3%
17%
7%
8%
14%
10%
13%
11%
12%
17%
Degradation of soil.
14%
Deforestation.
13%
Climate change.
12%
Environmental degradation.
11%
Low yields of the production activity.
10%
Contamination of aquifers.
8%
Environmental contamination.
7%
Inadequate soil management.
5%
Excessive artificialization of rural ecosystems.
3%
Other.
31
32

2.8 Problem trees of the Mexican rural and fishing sector
Figure 10. Problem tree of the rural and fishing sector
Rural and
fishing sector
not sustainably
developed
Agricultural and
fishing activities
with low growth
Poverty of rural
families
Degradation of
natural resources
Unfavorable
economic
environment
Weak institutional
framework
Figure 11. Causes that explain the low growth of agricultural

and fishing activities
Agricultural and
fishing activities with
low growth
Low level of
development
of technical,
production and
entrepreneurial
skills
Insufficient
technological
innovation in
the rural and
fishing sector
Low levels of
productivity
of the rural
economic
units
Limited access
to markets for
agricultural
and fishing
products
Insufficient
financing for
agricultural
and fishing
activities
Unfavorable
sanitary and
phytosanitary
conditions
High risk levels

in agricultural
and fishing
activities
Figura 12. Causes that explain poverty of rural families
Poverty of rural
families
Low income of
rural households
(monetary and
non-monetary)
Low productivity
levels of rural
economic units
Low level of
development of
non-agricultural
economic
activities
Low employability
in activities
with a level of
compensation
greater than the
minimum wage
Low skills
development
Low level of
human capital
Failure to take
advantage of local nonagricultural or fishing
activities
Low levels of
education of the
economically
active rural
population
High dispersion
of population in
small localities
Inadequate
family nutrition
and health
conditions
Difficulties in
the creation of
companies or
initiation of projects
Figure 13. Causes that explain the degradation of the natural

resources
Degradation of natural
resources
Overexploitation
of fishing
resources
Erosion of soil
Salinization of
soil
Overexplotation
of water
resources
Contamination of
water and soil
Emissions of
greenhouse
gases
Figure 14. Causes that explain the unfavorable economic environment
Unfavorable economic
environment
Overvalued exchange rate
Distorted international prices
Oligopolistic inputs market
33
34

Figure 15. Causes that explain a weak institutional framework
Weak institutional
framework
Little inter-institutional
coordination
Weak regulation of the

functioning of public programs
Informal institutions that divert

the sectoral policy
2.9 Regions and strata in the Mexican rural and fishing

sector
Table 5. Social regions favorable for obtaining economic, social and
environmental information for the poorest strata of the country
(Strata E1 and E2)
Region
States
Municipalities
Strata
Urique
North
Chihuahua
Guachochi
E1
Batopilas
North Central
Durango
Mezquital
Zacatecas
Valparaiso
Jalisco
Huejuquilla El Alto
E1- E2
Emiliano Zapata
Central
Hidalgo
E2
Almoloya
Cochoapa el Grande
Southeast
Guerrero
Metlatnoc
E1 E2
Tlacoachistlahuaca
Tizimn
Yucatan Peninsula
Yucatn
Quintana Roo
E2
Solidaridad
E1
Lzaro Crdenas
Table 6. Economic regions favorable for obtaining economic, social and

environmental information for strata E3, E4, E5 and E6
Region
States
Sinaloa
Municipalities
Strata
Ahome
Hermosillo
Sonora
Northwest
Cajeme
E4-E5-E6
La Paz
Baja California Sur
Los Cabos
Chihuahua
Delicias
E4-E5
Gomez Palacio
Durango
E4
Lerdo
North Central
San Pedro
Coahuila
E3
Cuatrocinagas
Apan
E4-E5
Actopan
Hidalgo
Central
Ixmiquilpan
E3
Tepeapulco
Estado de Mxico
Texcoco
E4
Encarnacin de Daz
Jalisco
Lagos de Moreno
West
Zamora
Michoacn
E4-E5-E6
Uruapan
Gabriel Zamora
Pnuco
Gulf
Veracruz
lamo
Tuxpan
E3-E4
35
36

2.10 Problem trees by stratus

Figure 16. Stratus E1: Subsistence family without linkage to the
market
Food poverty of rural

families
Low monetary
income
Low level of human

capital
Insufficient
agriculture
and fishing
production
Low
endowment
of capital
goods
Degraded
natural
resources
Scarce labor
opportunities
Low
technological
level
Adverse
weather
events
Isolation
of the rural
zones
Low levels
of education
of the rural
economically
active population
Low or no
private
investment
in rural
areas
Inadequate
family nutrition
and health
conditions
Figure 17. Stratus E2: Subsistence family with linkage to the

market
Poor capacity of
rural families
Low income of
rural homes
Low productivity of
agricultural activities
Low
endowment
of capital
goods
Low level of
incorporation
of technology
Low level of human

capital
Low level of
development and use
of non-agricultural
economic activities
Low employability in activities

with a level of compensation
greater than the minimum wage
Inadequate
use of
technologies
Degradation
of the natural
resources
in the rural
and fishing
sector
Vulnerability
to adverse
weather events
Low skills
development
Deficient
infrastructure
and services
Low levels of
education of the
economically
active rural
population
Failure to make
use of local
potencial
Inadequate
family nutrition
and health
conditions
High
dispersion of
population in
small localities
Difficulties
in the
creation of
companies
or initiation
of projects
Figure 18. Stratus E3: Rural Economic Units in transition
Rural economic units with

weak profitability
Low levels of
production and
productivity
Low level of
technology
Low
endowment of
capital goods
Weak integration of
value chains
Weak
negotiating
capacity of
participants
Mistrust
among the
links of the
value chain
Low skills
development
High vulnerability
to weather
contingencies
Over exploitation
of soil due to
bad agricultural
practices
Degradation of
natural resources
Deforestation
Overexploitation
of fishing
resources
Overexploitation
of water
resources
37
38

Figure 19. Stratus E4: Entrepreneurial with fragile profitability
Fragile profitiability
Low level of
entreprenuerial skills
Low level of
incorporation
of soft
technologies
Low level of
development of
entrepreneurial
skills
Low level of
technology
Low
levels of
innovation
Inadequate
application
of
technologies
Degradation of the
natural resources
Overexploitation
of water
resources
Contamination
of water and
soil
Soil
erosion
Weak integration of the

value chains
Overexploitation
of fishing
resources
Mistrust
among links
of the value
chain
Weak
negotiating
capacity of
participants
Low skills
development
Figure 20. Stratus E5: Thriving entrepreneur
Fragile
competitiveness
Low level of
entrepreneurial
skill
Low level of
development of
entrepreneurial
skills
Low level of
incorporation
of soft
technologies
Uncertified
product quality
Low level of
incorporation
of agricultural,
manufacturing and
transportation best
practices
Breach of
contracts
Reduced
operating
capacity
to develop
a quality
certification
strategy
Degradation
of the natural
resources
Overexploitation
of water
resources
Low level of access to

institutional support
for exporting
Contamination
of water and
soil
Erosion and
salinization
of soil
High costs of
innovation
Insufficient
technological
supply by
public entities
High costs
of access
to private
technology
Figure 21. Stratus E6: Dynamic Entrepreneur
Unstable
competitiveness
Unfavorable
macroeconomic
environment
Overvalued
exchange
rate
Distorted
international
prices
Risk of not
responding to
new market
demands
Oligopolic
inputs
market
Low level of
farm assets
Fragile
profitability
Low level of
entrepreneurial
innovation
Concentration
of sales in few
markets
Risks of
loss of the
countrys
sanitary and
phytosnitary
status
Inadequate
institutional
arrangments
Deficiencies in
infrastructure for
production and
marketing
Reduced
operating
capacity to
develop an
effective health
strategy
Low levels
of public
investment
Insecurity
Low levels
of private
investment
39
40

III
Tools
444444444444444444444444444444444444444444444444
4444444444444444444444444
41
42

Tool 1
Policy Analysis Matrix (PAM)

The Policy Analysis Matrix (PAM) methodology is a powerful and, at the same time, easily implemented tool which
provides a basis for conducting diagnoses of production systems regarding their levels of competitiveness and
comparative advantage. The PAM also aids in identifying the impacts of policy and market failures on competitiveness,
and in simulating different scenarios to show how competitiveness is affected by, for example, opening markets,
appreciation/depreciation of the exchange rate, or introduction/elimination of subsidies.
The PAM analysis is based on the preparation of budgets, at both market prices and social or shadow prices (opportunity
costs). Competitiveness is determined in function of the profitability at market prices and the comparative sales (or
efficiency in the use of the domestic production resources) are estimated based on social prices (FAO, 2007).
The PAM methodology was developed by Eric A. Monke and Scott R. Pearson (1989). Some professors of the Food
Research Institute of Stanford University developed practical guides for the application of the PAM and, based on these
and on their implementation in Mexico, Costa Rica and Colombia, FAO prepared the manual Competitividad de la
Agricultura en Amrica Latina y el Caribe. Matriz de Anlisis de Poltica: Ejercicios de Cmputo (FAO, 2007).
Identification of the links of the agro-industrial chain

A competitiveness analysis of an agro-industrial chain requires the analysis of the links that form the chain. The first step
in analyzing the links is to identify them and graphically determine the interrelationship between one link and another; in
other words, to determine what each production system produces and which production system follows in the value
chain when the products of such system are used as principal inputs.
The number of matrixes to be constructed grows as the number of links or production systems of each agro-industrial
chain analyzed increases. For this reason it is important from the beginning to discriminate between the important
links or production systems and those that are not, in order to maintain the total number of links and thus of matrixes
manageable.
An example of this is presented in Figure 22. In the diagram the processes, marked in a double line, are distinguished
from the products, marked in a single line. Furthermore, the most important links to analyze are identified marked in solid
lines, while those of secondary importance for the analysis are marked in broken lines. The arrows indicate the direction
that the chain flows, as well as the relative importance of the flows between one link and another. In this example, the
direct livestock consumption of the primary product is considered of secondary importance for the analysis because,
on the one hand, it represents a small proportion of the destination of the primary production and, on the other hand,
it represents a relatively unimportant input for the livestock production system. Also in this example, the consumption
by the seed industry is considered of secondary importance for the analysis, not only because it represents a small
proportion of the destination of the primary production, but also because, strictly speaking, the technology used to
produce the primary product is different from the production technology for human or livestock consumption. Both links
would therefore be excluded from the system of matrixes that would be constructed to represent the agro-industrial
chain.
Figure 22. Diagram of the agro-industrial chain of the crop X
Seed
Product for
consumption
in international
market
Seed industry
Stocking and
export process
Local industry
Industrialized
product
Production of
crop X
Supermarkets
and grocery
stores
Primary
product
Direct livestock
consumption
in the national
market
Figure 23. Matrices for the analysis of a link of the agro-industrial

chain of a production System
TECHNICAL NOTE
Technical
Coefficients
Each link of the agro-industrial

chain of the production system is
composed of eight matrices related
by formulas.
II
Market
Prices
III
Costs of
Recovery of
Capital at
Market Prices
IV
Budget at
Market
Prices
Shadow Prices
and Factors of
Conversion
The matrices are ordered in a

staggered manner on an Excel
worksheet. This allows for inserting
columns and rows into a matrix,
without affecting the format of the
other matrices.
VI
Costs of
Recovery of
Capital at
Shadow Prices
VII
Budget at
Shadow
Prices
VIII
Analysis of
Policies and
Indicators
43
44

Construction of the matrix system at market prices

The analysis to determine the ratios of profitability and competitiveness of each link or system of production of an
agro-industrial chain requires the construction of at least four matrixes (Figure 23). The first is the technical coefficients
matrix, with coefficients that describe the production technology.
Generally, the technical coefficients are quantities of inputs and factors of production required by time unit or product or
some specific factor of production. The technical coefficients also include product quantities, generally by unit of time
or by unit of some factor of production.
The second matrix is for market prices (unit costs) for intermediate inputs, factors of production and products that have
been included in the technical coefficients matrix. These prices or unit costs are called market prices, because they
are the ones that the producer actually faces. These market prices or unit costs include transfers to the production
system, which can be direct and/or indirect (such as interest rate subsidies, or import tariffs on competing products).
These market prices or unit costs also include direct taxes on the production system, which can be direct (such as Value
Added Tax or the tariffs on the import of inputs and factors of production) and/or indirect (such as, for example, setting
a ceiling price on corn to the local store).
The third matrix is for capital recovery costs. For production systems in which the costs of capital goods (machinery,
equipment, vehicles, buildings, etc.) are not significant, or in which usually the average producer rents such capital
goods, it is not necessary to construct the capital recovery costs matrix. Generally, however, capital goods, also known
as fixed capital, represent a significant part of production system investment. Because capital goods have a useful life
of several years, in contrast to production system budgets which are often annual or monthly, it is necessary to prorate
the investment in fixed capital, allocating only a portion of such investment to the production system budget. Therefore
it will be necessary to construct a capital recovery cost matrix for each fixed capital good of the production system.
The fourth matrix is for the budget at market prices. This matrix is the result of multiplying the market prices by the
corresponding technical coefficients; in other words, it is the result of multiplying cells of the second matrix by cells
of the first one. The budget matrix at market prices is, therefore, a matrix in which the numeric values are the result
of formulas created in Excel. The first column of numeric values contains the formulas that multiply the market prices
by the corresponding technical coefficients. And the second column of numeric values contains the sums of costs, by
category of costs (intermediate inputs, labor and services, water, land and capital), as well as the sums of the income
from the sale of the various types of products of the system.
As the example in Table 7 shows, a supplementary section is added at the end in which the principal indicators of
costs, income and the relationship between them (CBR) are summarized. This supplementary section will feed the
policy analysis matrix that will be constructed later, and it will be the reference for the cost and price sensitivity analysis
required for the determination of the profitability and competitiveness ratios of the production system.
Table 7. Budget matrix at market prices: Production of an

export crop10
CONCEPTS
QUANTITIES
TOTALS
INTERMEDIATE INPUTS
$ 500.00
SEED
$ 500.00
FACTORS OF PRODUCTION
$ 9,850.00
LABOR
I.- PREPARATION OF SOIL
PLOWING
$ 400.00
II.- PLANTING
SHIPPING AND HANDLING OF SEED
$ 9,000.00
III.- FERTILIZATION
SOIL ANALYSIS
VI.- PEST AND DISEASE CONTROL
$ 150.00
TECHNICAL ASSISTANCE
$ 50.00
HARVEST HANDLING
$ 200.00
PLANTING PERMIT
$ 50.00
VII.- HARVESTING:
VIII.-VARIOUS SERVICES AND FEES
WATER
$ 1,650.00
WATER
$ 1,650.00
LAND
$ 1,500.00
RENT OF LAND FOR S-S CYCLE
$ 1,500.00
CAPITAL
$ 2,589.09
COST OF WORKING CAPITAL LOAN
$ 1,458.00
HOSES AND WATER PUMPING CONNECTIONS
$ 1,131.09
YIELDS
PRODUCTION FOR EXPORT
$ 17,850.00
$ 17,850.00
Cost of production per hectare
$ 16,089.09
Cost of production per ton
$ 4,596.88
Gross income per hectare
$ 17,850.00
Gross income per ton
$ 5,100.00
Net income per hectare
$ 1,790.91
Net income per ton

Cost-benefit ratio (CBR) at market prices
10
10 This is an illustration, the matrix is not complete.
$ 503.12
1.11
45
46

Calculation of budget at social prices or shadow prices

As the name implies, shadow prices are behind market prices. But, in contrast to the latter, shadow prices are
clean of influences of governmental policies and programs. The methodology for calculating shadow prices is
based precisely on this concept; that is, on cleaning the market prices of the influences of governmental policies
and programs. It must be emphasized that the route the analyst uses for the calculation of shadow prices will depend
on the type and quality of information he/she has; there is no single technique for calculating shadow prices, and
the most that the analyst can hope to obtain is an approximation that at least contemplates the principal influences
of policies and programs.
The influence that policies and programs exercise on prices is diverse, and it is not unusual to find market prices
influenced by a multiplicity of governmental policies and programs that act in opposite directions. For example, an
imported input whose market price is relatively higher because it pays the value added tax (VAT), can reach the
producer that uses it at a relatively lower price because the cost of transporting it from the border has been reduced
by a government subsidy on the diesel used by the truck transporting it. To discover the shadow price of this input,
the VAT will have to be taken away and a greater cost of transportation will have to be added, which considers the
shadow price of diesel (the price the diesel would have if it were not subsidized by the government). The resulting
shadow price may be greater or less than the market price, depending on which of the two policy influences is
preponderant11.
Once the social or shadow prices are calculated, the social budget will be constructed using the same technical
coefficients, but now applying the social prices. An example of a budget at social prices is presented in Table 8.12
Table 8. Budget matrix at social prices: Production of an

export crop12
CONCEPTS
QUANTITIES
INTERMEDIATE INPUTS
TOTALS
$ 425.00
SEED
$ 425.00
FACTORS OF PRODUCTION
$ 7,862.00
LABOR
I.- PREPARATION OF SOIL
PLOWING
$ 306.00
II.- PLANTING
SHIPPING AND HANDLING OF SEED
$ 7,250.00
III.- FERTILIZATION
SOIL ANALYSIS
$ 114.75
TECHNICAL ASSISTANCE
$ 38.25
HARVEST HANDLING
$ 153.00
VI.- PEST AND DISEASE CONTROL

VII.- HARVESTING:
11 Examples of how to estimate shadow prices of marketable inputs are found in Competitividad de la Agricultura en Amrica Latina y el Caribe. Matriz de Anlisis de Poltica: Ejercicios
de Cmputo. FAO, 2007. Santiago, Chile.
12 This is an illustration, the matrix is not complete.
CONCEPTS
QUANTITIES
TOTALS
VIII.-VARIOUS SERVICES AND FEES

PLANTING PERMIT
$-
WATER
$ 1,650.00
WATER
$ 1,650.00
LAND
$ 1,500.00
RENT OF LAND FOR S-S CYCLE
$ 1,500.00
CAPITAL
$ 2,810.30
COST OF WORKING CAPITAL LOAN
HOSES AND WATER PUMPING CONNECTIONS
$ 1,906.17
$ 904.14
YIELDS
$ 19,950.00
PRODUCTION FOR EXPORT
$ 19,950.00
Cost of production per hectare
$ 14,247.30
Cost of production per ton
$ 4,070.66
Gross income per hectare
$ 19,950.00
Gross income per ton
$ 5,700.00
Net income per hectare
$ 5,702.70
Net income per ton
$ 1,629.34
Cost-benefit ratio (CBR) at social prices
1.40
Construction and interpretation of the PAM

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

COSTS ($/ha)
Income
($/ha)
Intermediate
Inputs
Profitability
($/Ha)
Factors of Production
Labor, Various
Services and
Fees
Water
Land
Capital
At market prices
$17,850 (A)
$500 (B)
$9,850 (C1)
$1,650 (C2)
$1,500 (C3)
$2,589 (C4)
$1,761 (D)
At shadow prices
$19,950 (E)
$425 (F)
$7,862 (G1)
$1,650 (G2) $1,500 (G3)
$2,810 (G4)
$5,703 (H)
Divergences
-$2,100 (I)
$75 (J)
$1,988 (K1)
-$221 (K4)
-$3942 (L)
$0 (K2)
$0 (K3)
47
48

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

Production of an export crop
per
hectare
per ton
Market cost-benefit ratio (includes influence of public policies)
1.11
1.11
Shadow cost-benefit ratio (without influence of public policies)
1.40
1.40
-$2,100
-$600
-$75
-$21
-$1,988
-$568
Government transfers through costs of water = (-1) x K2|
$0
$0
Government transfers through costs of land = (-1) x K3
$0
$0
$221
$63
-$3,972
-$1,126
Increase or decrease of the gross income of the producer, attributable to public

policies = (A - E)/E x 100
-11%
-11%
Increase or decrease of the costs of intermediate inputs attributable to public policies

= (-1) x [(B-F)] x 100
-18%
-18%
Increase or decrease of the costs of labor, various services and fees attributable to
public policies = (-1) x [(C1 - G1)/G1] x 100
-25%
-25%
Increase or decrease of the costs of water attributable to public policies = (-1) x [(C2 G2)/G2] x 100
0%
0%
Increase or decrease of the costs of land attributable to public policies = (-1) x [(C3 G3)/G3] x 100
0%
0%
Increase or decrease of the costs of capital attributable to public policies = (-1) x [(C4
- G4)/G4] x 100
8%
8%
-69%
-69%
INDICATORS
Government transfers through the product = I

Government transfers through intermediate inputs = (-1) x J
Government transfers through costs of labor, various services and fees = (-1) x K1
Government transfers through costs of capital = (-1) x K4

Net government transfers to the production system = L
Increase or decrease of the net income of the producer attributable to public policies =
(D - H)/ H x 100
For this example in particular, the values of the indicators suggest the following interpretation:
Through various mechanisms, the government policies and programs cause the producer to fail to earn 29
centavos for each peso he/she invests in the production system; in other words, the producer fails to earn
$3,942 pesos per hectare or $1,126 pesos per ton produced. The net income of the producer is reduced,
therefore, by 69%.
Through various mechanisms, the government policies and/or the existence of market failure cause the value of
the sales of the producer to diminish by $2,100 pesos per hectare, or $600 pesos per ton produced. The gross
income of the producer is reduced, therefore, by 11%.
Through various mechanisms, the government policies and/or the existence of market failure cause the cost the
producer pays for intermediate inputs to increase by $75 pesos per hectare or $21 pesos per ton produced.
Therefore, the cost of intermediate inputs is 18% more than it would have been in the absence of distortions.
Through various mechanisms, the government policies and/or the existence of market failure cause the cost that
the producer pays for labor, services and other fees to increase by $1,988 pesos per hectare or $568 pesos per
ton produced. Therefore, the cost of labor, services and other fees is 25% higher given the distortions.
The costs the producer pays for use of water and land are not affected by public policies or by market failure.
Through various mechanisms, the government policies cause the cost that the producer pays for working capital
and fixed capital to decrease by $221 pesos per hectare or $63 pesos per ton produced. Therefore, the cost of
capital is 8% lower than it would have been in the absence of distortions.
Based on these findings, policy recommendations can be made regarding specific links of the value chain, in function
of the policy objectives pursued.
FAO. (2007). Competitividad de la Agricultura en Amrica Latina y el Caribe. Matriz de Anlisis de Poltica:
Ejercicios de Cmputo. Santiago, Chile.
http://www.fao.org/docs/up/easypol/769/comp_agri_america_221sp.pdf
Forero, Jaime, Sandra Saboya y Sorne Ezpeleta. (2007). La Competitividad de los Productores Agropecuarios
Colombianos Integrados a la Cadena de Alimentos Balanceados para Animales y a la Cadena Lctea. Proyecto
de Asistencia Tcnica de la FAO TCP/COL/3001. FAO. Colombia.
Gittinger, Price J. (1983). Anlisis Econmico de Proyectos Agrcolas. Instituto de Desarrollo Econmico del
Banco Mundial. Editorial Tecnos, Madrid. Tambin disponible en:
http://www.stanford.edu/group/FRI/indonesia/documents/gittinger/Output/title.html
Gotsch, Carl H., Scott R. Pearson y Sjaiful Bahri. (2003). Computer Tutorial for Policy Analysis Matrix (PAM)
in Indonesian Agriculture.
http://www.stanford.edu/group/FRI/indonesia/newregional/NewPAMTutorial.pdf
Monke, Eric A. y Scott R. Pearson. (1989). The Policy Analysis Matrix for Agricultural Development. Cornell
University Press.
http://www.stanford.edu/group/FRI/indonesia/documents/pambook/Output/cover.html
49
50

SAGARPA-FAO. (2010). Metodologa de la Medicin de Competitividad de Sistemas Producto. Mxico.

http://www.sagarpa.gob.mx/programas2/evaluacionesExternas/Lists/Otras%20Evaluaciones/Attachments/7/
DocumentoGeneralCompetividad.pdf
SEPSA-FAO. (2006). Estudio de Competitividad de la Porcicultura en Costa Rica con la Metodologa Matriz
de Anlisis de Poltica. Proyecto de Asistencia Tcnica de la FAO TCP/COS/3001. Secretara Ejecutiva de
Planificacin Sectorial Agropecuaria. Costa Rica.
http://www.fao.org/ag/againfo/themes/documents/pigs/Estudio_de_Competitividad_de_la_Porcicultura_en_
Costa_Rica_MAP.pdf
SEPSA-FAO. (2006). Estudio de Competitividad del Arroz en Costa Rica con la Metodologa Matriz de Anlisis
de Poltica. Proyecto de Asistencia Tcnica de la FAO TCP/COS/3001. Secretara Ejecutiva de Planificacin
Sectorial Agropecuaria. Costa Rica.
Tool 2
Interview guide for high level officials
Note to the interviewer:

High level officials will be interviewed explaining to them that the rural development policy is
being analyzed, which involves a Diagnosis of the problems that the rural areas suffer and a
study of the institutional setting framing the implementation of the rural public policies in this
country. The intention is to generate a sense of confidence, which implies not beginning with
problem analysis, but rather with the most representative policy instruments and asking why
they exist.
1. Reasons for the restructuring of the Programs of the Ministry of Agriculture (What was the intention?)
Problems of the sector
Other topics
2. Origin of the Program [name of the program the interview addresses]

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

Other topics
51
52

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

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

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

Other topics
Tool 3
Instrument for the definition of relevant problems

Explain to the interviewee the spheres and units of analysis and ask: In this state, what percentage does each type of
producer represent?
Economic Sphere
REU
large
exporters
Rural Ecos ys tems
Mid-size
REU with
export potential
Mid-size REU with

regional or national market
orientation
Rural families or inhabitants

that engage in various economic
activities (industry and services)
Rural families that have small surplus they

send to local markets
Rural families with agricultural

production for self-consumption
Social Sphere
53
54

1. ECONOMIC SPHERE (we are thinking of the LARGE and MID-SIZE REU. What relevant problems do they face?)
The diagram is just to initiate the interview.
Low Levels of Income

of the REU
Production Activity
Concentrated in Primary
and Low Value Added
Activities
Loss of Market
Share
Low Profitability of the

Production Activity
Low Levels of Productivity

of REUs
Degraded
Rural
Ecosystems
Degraded
Soil
Resource
Overexploited
Water
Resource
Low Quality of Production

Processes
Combination
of Production
Factors
Technology
Production
Techniques
Machinery/
Equipment
Labor
Inputs
Technology
Capital
Goods
Post-harvest
Management
Marketing Barriers
Asymmetry in
information
Production
Technologies
Services and
Infrastructure
Storage
Level of
Contract
Compliance
Transportation
Sanitary
conditions
2. SOCIAL SPHERE (we are thinking of the RURAL FAMILIES or INHABITANTS with agricultural production for
self-consumption. What relevant problems do they face?). The diagram is only to initiate the discussion.
Low levels of human
development
Food
Insecurity
Income of rural families below

the minimum to cover basic
needs
Self-employment in agricultural
activities for self-consumption
Lack of education of the

rural population (youth)
Pressure to overexploit natural

resources (monoculture)
Food poverty
Low levels of
nutritional wellbeing
Deficient coverage and quality of

basic services (education, health,
potable water and sewage)
Degradation of natural resources

(soil, water and forest)
Access to food of low

nutritional quality
Very low levels of

income
Concentration of rural
households in agricultural
activities (self-consumption)
Precondition: context of vulnerability of the rural population: livelihoods insufficient for survival
Restrictions on
access to land for
youth
3. SOCIAL SPHERE (we are thinking of RURAL FAMILIES or INHABITANTS that have minimum surplus they send to
local markets or that engage in various economic activities. What relevant problems do they face?)
Contamination
(affecting both the
ecosystems and
the health of rural
families)
Sustainability
of ecosystems
Food
insecurity
Vulnerability
to natural
disasters
Dependence on public
and private transfers
(remittances) to
complement income
Income of rural
families below the
minimum to cover
basic needs
Degradation
of natural
resources
Pressure to
overexploit
natural
resources
Self-employment
in agricultural
activities for selfconsumption
HYPOTHETICAL
EFFECTS
Employment in
multiple low paying
economic activities
(commerce, basic
services, tourism and
manufacturing)
Temporary
interregional
migration
International
migration
(Reduction of
rural population)
Low investment
in productive
options
Working
capital
restriction
Little possibility
of substitution
between assets
and between
production
activities
HYPOTHETICAL
CENTRAL
PROBLEMS
HYPOTHETICAL
CAUSES
Unemployment
Acquisition of
skills and abilities
inadequate for the
demands of the
market
Low levels of
savings
Capacities
Poverty
Food: Access
to food below
the minimum
nutritional level
required (limited
capacity to
satisfy everyday
consumption).
Health: Low
quality public
health and
social security
services (and
in some cases
non-existing)
External factor:
Low performance
of commercial
agricultural
activity (problem
of the economic
sphere)
Patrimony
Poverty
Education:
Deficient
quality and
coverage
of rural
education
Basic goods:
Difficulties
in providing
clothing and
shoes with
minimum
quality
Housing:
Unsafe and
unhealthy
conditions of
the housing of
rural families
Scarce or nonexistent
options for
enforcing contracts
(whether formal
microfinances
or informal
installments)
Basic services
(Social Infrastructure):
Deficient coverage
and quality of basic
services in the
rural sector (public
transportation,
potable water,
sewage, plumbing,
public lighting, etc.)
Centralization of services
and economic activities
in capitals or centers of
economic activity.
Historical context: Low growth of real historical income of rural households with
self-consumption production (especially staple grains).
Insufficient
supply of forms
of financial
intermediation
(NGOs, savings
banks, credit
unions, microfinancers, etc.)
55
56

4. ENVIRONMENTAL SPHERE (was any problem indicated in the social sphere or in the economic sphere related
to the environmental sphere? Take this tree as a reference for the causes and effects of CLIMATE CHANGE, if this
was indicated as a problem and if it is decided to go deeper into the matter)
Diminishing yields and therefore

loss of productivity
Partial or total loss

of harvests. Loss of
livestock. Damage to
plantations
13% reduction in agricultural

production attributable to
delayed rains and increased
temperature
Damage to production
infrastructure in zones
with high risk of these
types of events
Flooding of coastal
zones due to extreme
precipitation. Droughts
and early and late freezes.
Effect of flooding and
strong winds due to
hurricanes
Pressure on the
availability of water for the
agricultural sector
Thermal oscillations that

stress crops and increase
consumptive use
Harm to production and

the stock of production
infrastructure in the rural area.
Problem of rural area in the environmental
sphere derived directly from the effects of
climate variations
Cause 1: Greater
frequency of
occurrence of extreme
climate events
(hurricanes, droughts,
freezes and hail)
Global Warming
Cause 2: Changes in
trends and magnitudes
in time and space
of precipitation and
temperature
Natural
Oscillations
Reduction in the
environmental services
derived from rural
ecosystems (alteration of
sustainability)
Loss and alteration of

rural ecosystems [loss
of biodiversity (natural
capital that can be used
by rural families)]
5. ENVIRONMENTAL SPHERE (was any problem indicated in the social sphere or in the economic sphere related to
the environmental sphere? Take this tree as a reference for the causes and effects of DEFORESTATION, if this was
indicated as a problem and if it is decided to go deeper into the matter)
Loss of
productivity
Indirect effect:
reduction in
rainfall
Human and
material losses
Degradation of
ecosystems
Loss of
fertility
Intensification of runoff/
Increased leaching and
loss of humus
Regional and medium

and long-term
effect: Decrease of
evapotranspiration
(alteration of water
cycle at regional scale)
and effect of thermal
changes on wind
circulation
Wind and
water erosion
Loss of secondary forest

flora due to loss of
foliage (water impact and
greater exposure to solar
radiation)
Floods and
landslides
Loss of microfauna of the

soil due to
low thermal
tolerance
Reduction in capture
of carbon dioxide and
carbon monoxide
Loss of arboreal
plant cover
Damage to soil
structure due to
thermal exposure
and dehydration
Loss of native
fauna
Deforestation
Underestimation of
forest potential as
economic activity
Few studies on the

forest capacities
of soil
Little training in
forest use
Legal and
oversight problems
in land use
Infrastructure
problems
Poor marketing
channels
Low financing and

capitalization
Government aid has

incentivized agricultural
over forestry activities
The production of grains

and vegetables as
monoculture has been
promoted in order to
guarantee food selfsufficiency in Mexico
Agricultural activities
have been prioritized
regardless of the
ecological capacities of
the regions
57
58

6. ENVIRONMENTAL SPHERE (was any problem indicated in the social sphere or in the economic sphere related
to the environmental sphere? Take this tree as a reference for the causes and effects of INADEQUATE SOIL
MANAGEMENT, if this was indicated as a problem and if it is decided to go deeper into the matter)
Less
profitability
Loss of
fertility
Deterioration of
grassland (ranching)
Reduction of
non-deteriorating
processes / invasion of
non-native species
Indirect effect:
erosion
Direct effect (negative):

Low productivity due to use
of crops inappropriate for
the natural soil potential
Loss of biodiversity
and plant cover / low
moisture retention
Effects of
underutilization
Compacting of soil
implies loss of filtration
capacity, greater
vulnerability to wind
Effects of
overgrazing
Chemical, biological
and physical
deterioration of
subsoil
Effects of intensive
use of soil
(monoculture)
Inadequate soil
management
Underutilization
of soil
Orographic and
infrastructure
characteristics
Poor marketing /
undercapitalization
Soil degradation
Lack of motivation
in the sector /
migration
Low profitability of
the sector
Few studies on
soil capacities
Low training
Excessive utilization
of soil
Overgrazing
Mismanagement of
grassland
Monoculture
It is the most profitable and

productive production system
due to its intensive use of
energy and agrochemical,
technical simplicity
and already established
marketing chains
Notes for the interviewer:

1) Objective of the instrument: Guide the discussion based on the problems previously
identified, in order to facilitate their corroboration and the identification of their causes and
effects.
2) Stakeholders to whom the instrument is applied: This instrument should be applied
during the interviews. The stakeholders to whom it can be applied are mid-level public
officials, academic sector stakeholders and/or representatives of the value chains or rural
organizations.
3) Type of interview: The interview can be individual or by group.
4) Estimated duration of the interview: From 45 minutes to 1:30 hours.
5) Explanation that should be given to the interviewee(s):
a. It should be mentioned that the objective of the Diagnosis is to analyze the problems
suffered by the sector and the rural population (as well as their causes and effects), in
order to be able to establish the relevance and magnitude of such problems, to ensure
that the current public policy instruments are oriented toward addressing and/or
solving them.
b. In this regard, it should be explained that the objective of the interview is to be
able to take advantage of the experience of the interviewees in order to back up the
existence of the problems previously identified and be able to identify possible causes
of such problems. It should also be explained that such information will be treated as
confidential.
c. Finally, it should be explained that the interview will follow the sequence of steps
described below.
6) The sequence of steps for conducting the interview is:
Step 1: Explain that for purposes of the Diagnosis we are viewing the rural environment
from three spheres (Economic, Social and Environmental), in which there are three
units of analysis (REU, rural families or self-consumption producers, and rural
ecosystems). It is important to explain that the definition of these spheres follows from
the need to abstract a reality as diverse as the rural environment, in order to facilitate
the analysis of problems.
Step 2: Begin the discussion based on one of the units of analysis, indicating one of the
problems that has been identified and its possible causes. For example: The REU that
carry out commercial production activity face a low productivity problem.
Ask: Is this a relevant problem in the state? Why does it exist?
Step 3: If it is determined that the problem is relevant, proceed with the discussion of
the causes and effects of such problem. Based on the results of the discussion, put the
causes and effects in order for the problem at hand, following the problem tree diagram.
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60

Tool 4
Guide for obtaining information about the localities

1. Limits of the community (it could be a municipality or a locality if necessary)
2. Natural Resources (NR):
What are the principal NR available in the community? (Who uses them and how?)
3. Infrastructure of the community

What services exist in the community? (Roads, irrigation infrastructure, health centers, schools, community
centers)
4. Means of livelihood
What types of activities do the habitants engage in? (Agriculture, livestock, forestry, principal service activities such
as grocery stores, banks, savings banks, etc. and industries in the community)
5. Based on a comparison of the maps (of the past and the present) the history of the community is constructed
5.1 What has changed in the last ten years? Why has it changed?
5.2 What have been the principal problems confronted in the last ten years? Who have they affected and why
(causes)?
61
62

NOTE FOR THE FACILITATORS:

1.
Considerations for planning the exercise:

a) Ensure that, with the help of the responsible Government officials, persons of the chosen
communities are called in advance.
b) Explain to the community representatives, prior to the trip to the community, the
objective and process of the visit.
c) Inform the corresponding local authorities (municipal presidents, community leaders,
moral authorities, etc.) seeking their consent to the extent possible.
d) The use of some local infrastructure should be requested to carry out the process (school,
auditorium, etc.)
e) The groups of participants should be from 5 to 15 persons, so that they are manageable.
f) Ideally these groups should contain people who are old enough to remember how the
community was and explain the changes it has gone through, but also young people who
can lay out the principal challenges they face.
2.
Considerations for conducting the process:

a) Divide the people attending into two groups (in function of their age or gender)
b) Take into account the topics set forth in this guide to construct two maps (map of the past
and map of the present). The topics (points 1 to 4 of this guide) should be the same for the
construction of both maps.
c) The map of the past should show how the community was ten years ago, and ideally it
should be prepared with the older participants.
d) The map of the present should show the current situation of the community following
the topics guide.
e) Once both topics are concluded, they should be explained by the persons who made
them and they should be compared. Based on this process the history of the community
should be constructed and the problems its members face inferred.
3.
Necessary materials that should be taken to the community:

a) Flip charts.
b) Box of colors or markers.
c) Ideally a photographer or camera should be taken.
Tool 5
Online survey: Definition of relevant problems for the rural and

fishing areas
WELCOME:
Dear expert on rural matters:
We invite you to participate in the following survey on topics concerning the rural area. This survey will be used for
the preliminary definition of a set of relevant problems that affect the countrys rural development. The data derived
from this survey will be used to prepare a Diagnosis of the rural and fishing sector which is of great importance for
improving planning and the capacity to implement solutions to the problems identified. Therefore, the information you
can provide based on your knowledge and/or experience in the economic, social and/or environmental spheres of the
rural area is of great relevance for this work.
An implicit commitment is that your information will be exclusively used for such work and it will be treated as confidential;
this means that your personal data and the responses you give during the survey will not be disclosed individually.
The survey is structured in two stages: 1) an online questionnaire that will make it possible to explore and make a
preliminary determination of those relevant problems that, from your experience/knowledge, affect the development
of the countrys rural and fishing sector; and 2) a telephone conversation, based on the questionnaire, in order to go
into greater depth on certain topics of interest for the analysis. Once the information is systematized and processed, its
results will be shared with you through your personal email.
We thank you in advance for your collaboration and participation in this project. If you have any concern or question in
this regard we ask that you contact us at (put email contact here)
Kind regards,
FAO, Evaluation and Analysis of Rural Policies
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64

INTRODUCTION:
Many thanks in advance for your collaboration on this survey. Your responses will allow us to enhance the problems
exploration work in the framework of the Diagnosis of the rural and fishing sector that the FAO will be carrying out in
the country throughout this year. This online survey is the first part of a survey composed of two stages, and its duration
is from 15 to 20 minutes. It is very important that in the first section of this online survey you provide us with your
telephone numbers so that we can communicate with you and complete the second stage of the survey, which will be
a brief telephone interview.
We remind you that your information will be used only for this work and will be kept confidential. If you have any
comment or question in this regard we ask that you contact use at the following email: (put the contact email).
Kind regards,
FAO, Policy Evaluation and Analysis
I. CONTACT INFORMATION
I.1. Complete Name (in the format Name, Middle Name, First Last Name, Second Last Name):
I.2. Name of the institution or organization where you work or which you represent:
I.3. Position:
I.4. Type of institution or organization where you work or which you represent:
a) Institution or center of studies in the academic and research sector.
b) Agency of the National Public Administration
c) Agency of the Local Government
d) Association or union of rural producers
e) Non-governmental organization or civil association
f) Farmers organization
g) Other.
Specify:
I.5. Address of the institution or organization where you work or which you represent (in the format Street, Exterior
Number, Interior Number, Colonia, Zip Code, Municipality, City, State, Country):
I.6. Telephone(s) (with area code):
I.7. Preferred time to receive calls:
I.8. Email:
TYPOLOGY OF THE RURAL ENTITIES

The following types of rural entities will be the reference for exploring the problems related to the economic sphere
(Rural Economic Units-REU), social (rural families) or environmental (REU and rural families) of the rural and fishing
area. To begin, based on your experience/knowledge, what percentage does each of the following types of producers/
families represent in the country? (The sum of the six categories should be 100%).
(1) Large and exporting REU: ___%
Comments: ________________________________________________________________________
(2) Mid-size REU with exporting potential: ___%
Comments: ________________________________________________________________________
(3) Mid-size REU with regional or national market orientation: ___%
Comments: ________________________________________________________________________
(4) Rural families that engage in various economic activities (industry and services, or a mixture of these with
agricultural activities): ___%
Comments: ________________________________________________________________________
(5) Rural families that have small surpluses destined for local markets: ___%
Comments: ________________________________________________________________________
(6) Rural families with agricultural production for self-consumption: ___%
Comments: ________________________________________________________________________
SECTION 1: ECONOMIC SPHERE (ES)

Section ES.1.:
For purposes of this section, we ask you to think about the relevant problems that the LARGE and MID-SIZE Rural
Economic Units (REU) have had to face.
Based on the above, and on your experience/knowledge, in the following list of problems we have identified in advance,
please indicate the three most relevant problems for the rural and fishing area.
If you consider that the problems selected should be renamed, to the left of each option we have left a space for
renaming them. Similarly, if you consider that the three most relevant problems are not included on the list, please
choose the three primary problems and write in each section of comments each problem you will refer to when
indicating the causes, effects and specific comments on such problems.
For the three problems you selected, two sections of questions will immediately be displayed in which you will be asked
to specify the three to five causes and effects of each problem. Each section will contain questions in order for you to
provide more details on the options selected, as well as space for comments or specifications.
65
66

[Menu of causes and effects]:

Low profitability of the agricultural production mechanisms with respect to other regions of the country.
Low profitability of the agricultural production mechanisms with respect to the profitability obtained by the REU and/or
regions of other countries oriented toward international markets.
Low profitability of the mechanisms for marketing agricultural products with respect to other regions of the country.
Low levels of productivity of REUs.
Sub-optimum production scale.
Inefficient production techniques.
Restrictions on rural producers funding flows and working capital.
Low quality of production processes.
Barriers to marketing.
Low quality of products.
High costs of production.
Technological backwardness.
Sanitary and phytosanitary problems.
Intermediaries.
Monopsony.
Breach of contracts.
Deficient infrastructure for production, post-harvest and distribution.
Production activity concentrated in primary and low value added activities
Scarce offering of financing by the formal and/or informal financial institutions
Section ES.2.:
Please describe what products and/or production chains are directly affected by this problem:
Section ES.3.:
Please list the regions, states and/or countries that are being specifically impacted by this problem:
Section ES.4.:
The purpose of this section is to inquire about the causes and effects of each relevant problem. Please choose option
C if the problem is a CAUSE of the central problem that heads each block of problems; choose the option E if the
problem is an EFFECT of the central problem; choose NR if, based on your experience/knowledge, the problem
is NOT RELATED to the central problem; and choose No Answer if you consider that you do not have sufficient
information to classify the problem in one of the other three categories.
ES.4.1. Low profitability of the agricultural production mechanisms with respect to other regions of the country
Problem
Low levels of income of the agricultural REUs
Loss of market share in the agricultural markets
Low levels of productivity of agricultural REUs
Restrictions on obtaining an optimum scale of production
Low quality of production processes
Inefficient production techniques
Low level of development of adequate technologies for agricultural production
Low levels of investment in production infrastructure
Restriction of cash flow (funding) and working capital
Reduced profit margins of agricultural producers (especially those of staple grains)
Reduction (negative historic trend) of formal credit for the agricultural sector
Concentration of production on low yield products (primary production)
The social sector (community property) cannot guarantee the credit it requests.
NR
na
67
68

Problem
NR
na
High transaction costs

Low level of cooperative and commercial agreements among participants of the production
chains
Degradation of rural ecosystems
Low capacity of producers to take advantage of or apply market information and new
technologies
ES.4.2. Low profitability of the agricultural production mechanisms with respect to the profitability obtained by the
REU and/or regions of other countries oriented toward international markets
Problem
High transaction costs
Low level of cooperative and commercial agreements among participants of the
production chains
Development of research and technology inappropriate for the ecological aptitudes of the
rural regions
technologies
Imperfections of technical assistance and innovation market
Low level of education of rural population
Low quality of marketing processes
Deficient conditions of rural infrastructure (transportation and storage)
Asymmetry in the application of standards and rules on quality, food safety and sanitary
conditions.
Low level of education of the rural population
NR
na
ES.4.3. Low profitability of the mechanisms for marketing agricultural products with respect to other regions of the
country
Problem
NR
na
NR
na

Low level of cooperative and commercial agreements among participants in the
production chains
Low quality of marketing processes
Low level of compliance with contracts
Deficient coverage of services and infrastructure (transportation and storage)
Asymmetry of information
Asymmetry in the application of standards and rules on quality, food safety and sanitary
conditions
ES.4.4. Low levels of productivity of REUs

Problem
Low profitability of the agricultural production mechanisms with respect to other regions
of the country
Low profitability of the agricultural production mechanisms with respect to other countries
oriented toward international markets
Reduced profit margins of agricultural producers (especially those of staple grains)
Concentration of production in low yield products (primary production)
The social sector (community property) cannot guarantee the credit it requests
69
70

Problem
NR
na
NR
na

production chains
technologies
ES.4.5. Sub-optimum production scale

Problem
Low levels of productivity
of the country
oriented to international markets
Low development of adequate technologies for agricultural production
Reduced profit margins of agricultural producers (especially staple grains)
Concentration of production on low yield products (primary production)
production chains
technologies
ES.4.6. Inefficient production techniques

Problem
NR
na
NR
na

of the country
Low level of development of technologies adequate for agricultural production
Concentration of production in low yield products (primary production)
production chains
Low capacity of the producers to take advantage of or apply market information and new
technologies
ES.4.7. Restrictions on rural producers funding flows and working capital

Problem
of the country
Low level of development of technologies adequate for agricultural production
71
72

Problem
NR
na
NR
na
NR
na

Restrictions on obtaining an optimum production scale
Concentration of the production in low yield products (primary production)
The social sector (community property) cannot guarantee the credit it requests
ES.4.8. Low quality of production processes

Problem
of the country
oriented towards international markets
Low profitability of the agricultural marketing mechanisms
production chains
ES.4.9. Barriers to marketing

Problem
Low profitability of the agricultural marketing mechanisms
Low level of compliance with contracts
Problem
NR
na
Deficient coverage of services and infrastructure (transportation and storage)

Asymmetry of information
SECTION 2: SOCIAL SPHERE OF RURAL FAMILIES IN FOOD POVERTY (SSFP)

We move on now to the problems affecting rural families living in a situation of food poverty.
Based on the above, and according to your experience/knowledge, please indicate the option that corresponds to the
magnitude of the following pre-identified problems, based on their relevance for the rural and fishing areas. The scale
begins at 1 if the problem has no relevance, and ends at 5 if the problem is very relevant. There is also the option No
Answer, which may be marked if you consider that none of the answer options apply for the problem in question.
For those problems that you qualify with relevance 4 or 5, two questions will immediately be displayed requesting
details, whether on the products and/or production chains or on the regions, states and/or countries referred to in
thinking about the relevant problem in question. Additionally, a table will appear asking you to specify the causes and
effects of each problem. Please be as specific as possible.
Low income of rural households.
Low productivity of agricultural activity.
Low level of development and use of non-agricultural economic activities.
Low capacity of employability in activities with a level of compensation greater than minimum wage.
Scarce employment alternatives.
Cultural aspects.
Low level of well-being of the rural families.
Low savings capacity of the families.

Inadequate conditions of family health and nutrition conditions.
73
74

SSFP.1. Food poverty.

Section SSFP.2.:
Section SSFP.3.:
Please list the regions, states and/or countries that are being specifically affected by this problem:
Section SSFP.4.:
The objective of this section is to inquire about the causes and effects of each relevant problem. Please choose option
Central problem: Food poverty

Problem
Food insecurity
Degradation of natural resources (soil, water and forests)
Self-employment in agricultural activities for self-consumption
Income of rural families less than the minimum to cover basic necessities
Very low levels of income
Concentration of rural households in agricultural activities (self-consumption)
Restrictions on access to land for youth
Low levels of nutritional wellbeing
Access to nutritionally low quality food
Deficient coverage and quality of basic services (education, health, potable water and
sewage system)
Low educational levels of the rural population (youth)
Low levels of human development
NR
na
SECtioN 3: SOCIAL SPHERE OF RURAL FAMILIES IN SKILLS OR ASSETS POVERTY

(SSSP)
We move on now to the problems affecting rural families living in situations of skills or assets poverty.
Based on the above, and according to your experience/knowledge, indicate the option corresponding to the magnitude
of the following pre-identified problems, based on their relevance for the rural and fishing area. The scale begins at 1
if the problem is not relevant, and it ends at 5 if the problem is very relevant. There is also the option of No Answer,
which may be chosen if you consider that none of the answer options apply to the problem in question.
For those problems you qualify with relevance 4 or 5, two questions will immediately be displayed requesting details,
whether on the products and/or production chains or on the regions, states and/or countries referred to in thinking
about the relevant problem in question. Additionally, a table will appear asking you to specify the causes and effects of
each problem. Please be as specific as possible.
SSSP.1. Skills poverty.

SSSP.2. Assets poverty.
Section SSSP.3.:
Section SSSP.4.:
Section SSSP.5.:
75
76

Central problem: Skills poverty

Problem
NR
na
NR
na
Low levels of saving

Acquisition of skills and training inadequate for the demands of the labor market
Little flexibility of substitution among assets and among production activities
Restriction of working capital
Low investment in production activities
Access to food below the minimum nutritional level required (limited capacity to satisfy
current consumption)
Employment in multiple economic activities with low compensation (commerce, basic
services, tourism and manufacturing)
Pressure to overexploit natural resources
Unemployment
Temporary interregional migration
International migration (reduction of rural population)
Low quality public health and social security services (and in some cases non-existent)
Sustainability of ecosystems
Contamination (affecting both the ecosystems and the health of rural families)
Vulnerability in the face of natural disasters
Food insecurity
Deficient quality and coverage of rural education.
Income of rural families below the minimum needed to cover basic necessities
Dependency on public and private transfers (remittances) to complement income
Central problem: Asset poverty

Problem
Low levels of saving
Acquisition of skills and training inadequate for the demands of the labor market
Little flexibility of substitution among assets and among productive activities
Problem
Restriction of working capital
Low investment in production activities
Access to food below the minimum nutritional level required (limited capacity to satisfy
current consumption)
Employment in multiple economic activities of low compensation (commerce, basic
services, tourism and manufacturing)
Pressure to overexploit natural resources
Unemployment
Temporary interregional migration
International migration (reduction of rural population)
Low quality public health and social security services (and in some cases non-existent)
Sustainability of ecosystems
Contamination (affecting both the ecosystems and the health of rural families)
Vulnerability in the face of natural disasters
Food insecurity
Deficient quality and coverage of rural education
Income of the rural families below the minimum needed to cover basic necessities
Dependence on public and private transfers (remittances) to complement income
Difficulties in providing clothes and shoes with minimum quality
Insecure and unhealthy conditions of housing for rural families
Deficient coverage and quality of basic services in rural areas (public transportation,
potable water, sewage system, public lighting, etc.)
Scarcity of offers of financial brokerage (NGOs, savings banks, credit unions, microfinancers, etc.)
Centralization of services and of economic activities in capitals or centers of economic
activity.
Scarce or non-existent options for enforcing contracts (whether formally or informally).
NR
na
77
78

SECTION 4: ENVIRONMENTAL SPHERE (ENS)

For purposes of the following questions, we ask that you think of the problems the ecosystems of the rural area have
had to face over the last five years; the rate of recovery, maintenance or preservation of the natural resources; and their
use as a means of livelihood within the subsistence strategies of rural families.
Section ENS.1.:
Based on the above, and according to your experience/knowledge, please indicate the option corresponding to the
magnitude of the following pre-identified problems, based on their relevance for the rural and fishing area. The scale
begins at 1 if the problem is not relevant, and it ends at 5 if the problem is very relevant. There is also the option of
No Answer, which may be chosen if you consider that none of the answer options apply to the problem in question.
For those problems you qualify with relevance 4 or 5, two questions will immediately be displayed requesting details,
whether on the products and/or chains or on the regions, states and/or countries referred to in thinking about the
relevant problem in question. Additionally, a table will appear asking you to specify the causes and effects of each
problem. Please be as specific as possible.
ENS.1.1. Climate change.

ENS.1.2. Deforestation.
ENS.1.3. Inadequate soil management.
ENS.1.4. Excessive artificialization of the rural ecosystems.
Section ENS.2.:
Section ENS.3.:
Section ENS.4.:
Climate change.
Low yields of the production activity.
Deforestation.
Environmental degradation.
Soil degradation.
Environmental contamination.
Contamination of the aquifers.
Contamination of surface waters.
Inadequate soil management.
ENS.1.1. Climate change

Problem
More frequent extreme climate events (hurricanes, droughts, freezes and hail)
Changes in the space and time trends and magnitudes of precipitation and temperature
Damage to production and production infrastructure in the rural area
Partial or total losses of harvests, livestock and plantations
Damage to production infrastructure
Reduction of yields and productivity
Pressure on the availability of water for the agricultural sector
Oscillations in temperature that stress crops and increase consumptive use
Loss and alteration of rural ecosystems (biodiversity)
Reduction of the environmental services offered by rural ecosystems (alteration of
sustainability)
NR
NA
79
80

ENS.1.2. Deforestation
Problem
NR
NA
NR
NA
Underestimation of the potential of forestry as an economic activity

Legal and enforcement problems in land use
Low skills in forestry activities
Few studies on the capacity of land for forestry activities
Insufficient forestry aid that has incentivized agricultural activities over forestry activities
Reduced capture of carbon dioxide and monoxide
Loss of native fauna
Loss of arboreal plant cover
Decrease of evapotranspiration (alteration of the water cycle at a regional scale)
Reduction in rainfall
Intensification of the runoff, increase of lixiviation, and loss of humus
Loss of secondary forest flora due to loss of foliage
Loss of soil micro-fauna due to low thermal tolerance
Wind and water erosion
Loss of fertility
Loss of soil productivity
Degradation of ecosystems
Floods and landslides
Human and material losses
ENS.1.3. Inadequate soil management

Problem
Underutilization of soil
Excessive utilization of soil
Orographical and infrastructure characteristics
Degradation of soil
Few studies on the suitability of soil
Lack of training in the use of soil
Migration
Low profitability of the sector
Overgrazing
Monocrops
Problem
NR
NA
NR
NA
Misuse of the grasslands

Loss of biodiversity and plant coverage
Low moisture retention
Invasion of no native species
Low productivity due to use of crops unsuitable for the natural potential of soil
Loss of filtration capacity (more vulnerable to wind)
Erosion
Loss of fertility
Chemical, biological and physical deterioration of soil and subsoil
Less profitability of agricultural activities
ENS.1.4. Excess artificialization of the rural ecosystems

Problem
Complementing of water deficits with irrigation
Low technology transfer
Insufficient soil fertility
Excessive and inadequate use of agro-chemicals
Resistance of pests and diseases
Dependence on technological packages (intensive use of fertilizer, pesticides, improved
seeds)
Extensive use of agricultural machinery
Aid for monocrops over extensive areas through various governmental subsidy schemes
Lack of land use regulation
Small and insufficient areas of production
Search for short-term increase in productivity
Contamination of environmental resources by agro-chemical residues
Negative effects on public health
Biological loss of flora and fauna
Deterioration of ecosystems
Compacting and loss of physical, biological and chemical properties of soil
Loss of fertility
Low or non-existent sustainability of the agricultural sector
81
82

SECTION 5: Comments or specifications

In this space please provide the comments or specifications you would like to make on the survey (including additional
problems that have not been mentioned).
HELP
PROBLEM: A negative situation or state that affected in the immediate past and continues to affect now: i) a population
group, or ii) a territory within the economic, social and environmental sphere of the rural area. The negative situation
that is considered a PROBLEM should be current; in other words, it should be or have been present during the last five
years, constantly or incrementally, in the rural area of the country. Furthermore:
a) A problem is not a lack or absence of a solution, such as: Lack of financing for the rural sector.
b) A problem is not an expected solution to a problem, such as: Greater support for producers is required.
c) A problem is not legal or institutional, such as: Failure to establish the Sustainable Rural Development
Commission; or insufficient personnel or budget.
d) A problem is not a precondition or fact, such as: Fragmentation of the ownership of land; or change of market
prices for grains, etc.
Tool 6
Performance indicator reference sheet to quantify the problems

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

families
Criterion
Percentage of REU with

net income less than or
equal to the minimum
baseline for wellbeing
Variable
-
-
-
Source of information
Gross income
Total costs
Necessary income
for the minimum
wellbeing of a rural
family
Baseline
83
84

PROBLEM: Low level of human capital

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

representatives that
finished primary school
or less
Variable
Level of schooling
Source of information
-
-
Baseline
Country statistics
CASE STUDY
SURVEY OF PRODUCTION UNITS
NATIONAL DIAGNOSIS OF THE RURAL SECTOR
Remind the interviewee at all times that the information refers to the year 20##
You should seek out the owner or the administrator/manager of the production unit.
Apply this instrument only to Production Units (PU).
Note:
Hello, good morning/afternoon, my name is ______________________________________________________________. I work for the United Nations
Food and Agriculture Organization (FAO). We have chosen you to provide us information on the relevant problems in your region and in your Production Unit. We
would appreciate it if you could give us a few minutes of your valuable time to ask you a few questions. You can rest assured that all the information you provide
us will be strictly confidential. Can we ask you a few questions?
Example:
Explain why the PU was chosen (random selection/representativeness of the region)
Assure the interviewee of the confidentiality of the information
Present the objective of the instrument
Identify yourself
SUGGESTIONS FOR THE PERSON APPLYING THE INSTRUMENT::
Survey by production strata
Tool 7
85
Day
Month
Year
Municipality
Name of the company (if applicable)
Second Last Name
Questionnaire number
Locality
Names
86
Telephone (optional)
State
First last name
I. PERSONAL INFORMATION OF THE INTERVIEWEE
Interview date

(If this option is chosen go to SECTION VIII)
Specify:
(If this option is chosen go to SECTION VII)
(If any of these options are chosen go to SECTION III)
Interviewer: If the interviewee engages in

AGRICULTURE: go to SECTION IV
LIVESTOCK: go to SECTION V
FORESTRY: go to SECTION VI
AQUACULTURE AND FISHING: go to SECTION VII
NON-AGRICULTURE: go to SECTION VIII
Other Activity not

agricultural
Aquaculture and
Fishing
Forestry
Livestock
Agriculture
(Mark the three main activities by importance according to the income they generate,
indicate the number 1 for the most important source of income, the number 2 for the
activity that generates the second most important source of income and the number 3
for the activity that generates the third source of income)
II.1. What production activity(ies) do you engage in primarily?
II. ECONOMIC ACTIVITIES
Hectares
Hectares
3. Private (small property)

Other (Specify):
Hectares
2. Communal
4.
Hectares
1. Social
Land area
Is it partitioned?
(Yes/No)
III.1.2. What type of tenure do these lands have?

Has land been sold?
(Yes/No)
Hectares
Hectares
is rented?
other: sharecropping, loaned or possessed in another form?
Hectares
is yours?
III.1.1. How much land area
III.1. Of the total land area that you use in your production unit
III. LAND TENURE
87
Hectares
Hectares
Hectares
Hectares
2.
3.
4.
5.
Hectares
Hectares
Hectares
Hectares
Hectares
Tons
Tons
Tons
Tons
5
Tons
Tons
Tons
Tons
Tons
Wholesale
markets
Tons
Tons
Tons
Tons
Tons
Middleman13
Tons
Tons
Tons
Tons
Tons
Informal
middleman14
14
Person or group of persons that informally buy the production from the primary producer.
Tons
Tons
Tons
Tons
Tons
Direct point
of sale
How much did you sell to the national market?
13 Formal company specialized in storage, logistics, etc. (SEE SURVEY GUIDE).
Tons
Supermarkets
Crop
(Follow in
order of
IV.1)
Hectares
Hectares
Hectares
Hectares
Hectares
What land area did you

plant with protected
agriculture?
(Greenhouse, tunnels,
micro-tunnels, plastic,
etc.)
Tons
Tons
Tons
Tons
Name
Tons
Name
Tons
Name
Tons
Name
Tons
Direct point of
sale
Tons
Hectares
Hectares
Hectares
Hectares
Hectares
Irrigated?
Hectares
Hectares
Hectares
Hectares
Hectares
Rain fed?
What land area did you plant

with other crops?
Tons
Tons
Tons
Tons
Tons
Supermarket
Directly exported
Tons
Tons
Tons
Tons
Tons
Others
(Specify):
Tons
Tons
Tons
Tons
Tons
Export through
brokers
Tons
Tons
Tons
Tons
Tons
What volume
did you
harvest?
How much did you sell to the external market?
Hectares
Hectares
Hectares
Hectares
Hectares
Rain fed?
Name
Tons
Other
(Specify):
Hectares
Hectares
Hectares
Hectares
Hectares
Irrigated?

with perennials
(E.g.. fruit trees, alfalfa,
grasses, strawberries,
artichokes, eggplants)
No
Tons
Tons
Tons
Tons
Tons
How much for

self-consumption
Yes
Was it processed?
88
IV.2. Of what was harvested in 20##,

a) Primary product
Hectares
FW
SS
Irrigated?
Rain fed?
What was the

production
cycle?
(Mark with
an X)

with annual crops?
1.
What did you

plant?
(Indicate name
of crop)
IV.1. In the year 20##
Marketing
IV. AGRICULTURAL ACTIVITIES

Type of product
processed?
Supermarkets
Wholesale
markets
Middleman15
16
15 Formal company specialized in storage, logistics, etc. (SEE SURVEY GUIDE).
Other (Specify):
The organization I belong to helped me
The government helped me
Through a broker
I hired a professional
I did research
Through personal relations
Through commercial relations
Mark with an X
(Follow the order of IV.1)
5
Informal
middleman16
Direct
point of
sale
IV.3. How did you find or get access to your market niche?
Indicate
the input
crop
b) Processed product (Mark with an X)
Name
Name
Name
Name
Name
Other
crops?
(Specify):
Direct point
of sale
Supermarket
Directly exported
Others
(Specify):
Export
through
brokers

How much for
selfconsumption
89
The current
regional
market price
was used
I set it.
I negotiated it
with the buyer
The buyer
set it
Procedure
Simple
Contract
Verbal
Other
(Specify
With
notarized
contract
Simple
Contract
Verbal
Product 2
Product 1
With
notarized
contract
Select with an X
according to type of contract
Select with an X
Other
(Specify
With
notarized
contract
Simple
Contract
Verbal
Product 3
Select with an X
Other
(Specify
Simple
Contract
Verbal
Product 4
Select with an X
With
notarized
contract
(Mark with an X the corresponding option using the name of the marketing channel indicated in question IV.2: Town market, informal middlemen, broker, etc.)
Number by order of importance

Other
(Specify
90
IV.5. How did you set the sale price of the product?
Others, specify
I dont have problems
Volume of production insufficient to satisfy

demand
High costs of marketing
Lack of knowledge of the sales process
Non-tariff barriers
Lack of personal contacts
Lack of commercial contacts
Low quality of the product
Scarce post-harvest infrastructure
Scarce infrastructure for transportation
Problems
IV.4. What do you consider are the main problems in getting your product to the most important markets?

With
notarized
contract
Simple
Contract
Verbal
Other
(Specify
With
notarized
contract
Simple
Contract
Crop
(Follow the order
of IV.1)
%
%
%
1 month after delivering the product
2 months after delivering the product

%
15 days after delivering the product
Other
Name
Cash
Immediately
Time of payment
Other
(Specify
With
notarized
contract
Name
Check
Name
Name
Name
Name
Name
Other form of
payment
Verbal
Other
(Specify
With
notarized
contract
Other, specify
None
They did not pay me
They penalized me for low quality
The buyer did not respect the agreed price
The buyer did not have money
The check was expired
The check they gave me bounced.
The buyer did not return to pay.
Simple
Contract
Other
(Specify
Mark with an X
Verbal
Product 4
Select with an X
Did you have any of the following problems

in collecting?
Simple
Contract
Product 3
Select with an X
Indicate the percentage (%) for each of the means of

payment
The three percentages cash, check, other- must add
up to 100%.
Verbal
Product 2
Product 1
IV.6. Information regarding the payment for the sale of your products:
Other, specify:
A government
agency set it
The current
international
market price
was used
The current
national market
price was used
Procedure
Select with an X
Select with an X
91
Traditional tillage (plowing,

light plowing) with animals
Traditional tillage (plowing, light

plowing) with machinery
Crop name
(Follow the order
of IV.1)
What dose did

you apply?
(Kg/ha or plants/
ha)
IV.9. Regarding the amount of seed:
From own
experience
Reproduces own material
Buys material in the closest

business
Buys certified material from

specialized suppliers
Zero tillage
Followed
neighbors
recommendations
Followed the
recommendations of
the closest business
Followed
recommendations of
specialized suppliers
Followed
recommendations
of a professional
services provider
How did you determine the seed dose that you would use (density of planting)? (Mark with an X)
Buys certified reproduction

material from a neighbor
Minimal tillage
Others (Specify):
Others (Specify):
Others (Specify):
92
Crop name
IV.8. Who provided you with seed (reproduction material)? (Indicate with an X)
Crop name
(Follow the order
of IV.1)
IV.7. In 20##, how did you prepare the soil in your PU? (Indicate with an X)
Te c h n o l o g y a n d q u a l i t y

Name
Dose
(Kg or Lt/
ha)
Name
Yes
Name
3
Dose
(Kg or Lt/
ha)
Name
Did a foliar analysis
From own experience
From organic matter of the

property or close by
Closest business
Bought volumes with own

organization
Name
1
Dose
(Kg or Lt/
ha)
2
Dose
(Kg or Lt/
ha)
The government supplied it (State, Municipal)
Name
Organic fertilizers
Followed recommendations
of a professional services
provider
Dose
(Kg or Lt/
ha)
of the closest business
IV.13. In 20##, how were you supplied with fertilizers? (Indicate with an X)
Based on a soil analysis
When was the last time you did a soil analysis?
Dose
(Kg or Lt/
ha)
Chemical fertilizers
IV.12. How did you determine the dosage of fertilizers to apply? (Indicate with an X)
No
IV.11. In 20##, did you do a soil analysis?
Crop name
(Follow the order
of IV.1)
IV.10. In 20##, how did you fertilize?
Others (Specify):
Others (Specify):
Others (Specify):
93
Do not irrigate
By gravity in earthen
canal
By gravity in lined
canal
By canyon
By sprinkle, drip or
micro-sprinkle
By irrigation schedule
Followed neighbors
recommendations
Consultation with a neighbor
Consultation with a business
Biological control
With organic pesticides
Observation of the extensionist
From own experience
Ask in the closest business
Ask the extensionist
IV.18. How do you determine the dose to apply in the control of pests and diseases? (Indicate with an X)
Do not control
IV.17 How do you control pests and diseases? (Indicate with an X)
From own experience
of a professional services
provider
Others (Specify):
Others (Specify):
Other (Specify):
Others (Specify):
Others (Specify):
94
With chemical pesticides
Has a system to measure

evapotranspiration
IV.16 How do you detect the presence of pests or diseases? (Indicate with an X)
From own experience
IV.15. In 20##, how did you determine when to irrigate and how much water to apply? (Indicate with an X)
Crop name
(Follow the order of
IV.1)
IV.14. In 20##, what type of irrigation did you apply? (Indicate with an X)

Name
Dose (Kg
or lt/ha)
Name
2
Dose (Kg
or lt/ha)
Name
3
Dose (Kg
or lt/ha)
Name
4
Dose (Kg
or lt/ha)
Crop name
(Follow the
order of de
IV.1)
Biological
Control
Mechanical
control
(Indicate with an X)
Do not
control
Name
IV.21. In 20##, how did you control weeds?
From organic materials of the property or

close by
1
Dose
(K/ha)
Name
2
Dose
(K/ha)
With organic pesticides
Closest business
Name
Name
1
Dose (Kg
or lt/ha)
Dose
(K/ha)
Name
1
Dose
(K/ha)
Name
2
Dose
(K/ha)
With chemical pesticides
Name
Organic pesticides
Buy volumes with own organization
IV.20. How are the products to control pests and diseases supplied? (Indicate with an X)
Crop name
(Follow the order
of IV.1)
Chemical pesticides
IV.19. What pesticides did you apply in the prior season to control pests and diseases?
Name
Dose (Kg
or lt/ha)
Dose
(K/ha)
Others (Specify):
Others (Specify)
Others (Specify):
95
Completely manual
Mechanized
Sale in
bulk
Exporter
Own
Own
Exporter
Storage with
temperature control
Packaging according
to specifications of
the client
Own
Why
No
Other: Specify
Extensionist
Business where you buy

inputs
Neighbors
From whom?
Yes
Other (Specify):
Other: Specify
Whenever I requested it
Timely
Relevant
Twice a year
Once a year
Own
Exporter
Own
How often did you receive assistance?
Exporter
Exporter
Transportation
to market in
refrigeration
Other (Specify):
Fumigation for export
Every month
Mark with
an X
Own
Storage with
modified atmosphere
Good quality
Sufficient
The technical assistance you

received was:
Exporter
Storage with
controlled
atmosphere
IV.24. Did you receive technical assistance? (Indicate with an X all the options that apply)
None
Storage
without
control
The buyer of the product does

the harvest
Mark with
an X
Other
(Specify):
96
Crop
Name
(Follow
the order
of IV.1)
IV.23. Did you do any post-harvest handling? (Indicate with an X)
Crop name
IV.22. How did you harvest? (Indicate with an X)

Other (Specify):
Does not know what technologies could be adopted
None, why?
Other (Specify):
Expansion of infrastructure
In the administrative process
In marketing of the product
Acquisition of specialized vehicles
In the transportation of the product
In packaging
In the post-harvest process
Other (Specify):
Does not know the technologies generated by the research centers
The research centers do not generate new technologies
The technologies available in the market are not within reach (distant
markets)
There are no technical personnel trained to improve the production

system
Does not have resources to invest in technologies
20#5
In harvesting
20#4
It is very costly
20#3
Production system does not require innovation
20#2
In pest, disease and weed control
20#1
Indicate with an X the year they were made
In planting
In the preparation of the land
In the production process
Change of genetic material
Have you made any improvements in the following processes?
Other (Specify):
The product does not require certification.
Does not need it, no one asks for it.
BPM / HACPP / ISO 9001 /Clean Industry

(Transformation)
No
Does not have financing.
Best Agricultural Practices (BAP)

(Safety/Labor/Environment)
IV.26. In the last five years
Yes
Knows what certification is but does not have anyone to advise him/her.
Why not?
Traceability
Being processed
Does not understand concept.
Indicate with
an X
Safety
Type of certification
IV.25. Do you have any type of certification?
Mark with an X
Mark with
an X
97
%
%
Dam:
Other:
Treated sewage
Does not know (Mark with an X)
None:
No
Specify
None
Decreases
the yield
Contaminates
soil
Contaminates
groundwater
Contaminates
rivers and
ultimately the sea
Other (Specify):
IV.30. What problem is caused by applying more fertilizers than necessary?
Yes
Other (Specify):
It is common practice in crop rotation
I constantly change the crop according

to market demand
The price of the product went down
The soil is damaged (loss of fertility)
No. Why?
None
The nutrients are

exhausted
The soil erodes
Other (Specify):
IV.32. What do you consider is the problem of planting the same crop
more than three years in the same soil? (Indicate with an X)
Other (Specify):
Changing crops is expensive
It is the only one I know how to produce
It has a good price
Because I dont have any choice
It is what is best produced in this

region
Yes. Why?
IV.31. Have you planted the same crop for more than three years in the
same soil? (Indicate with an X)
DOES NOT APPLY FOR FRUIT TREES AND PASTURES
Primary or physical-chemical treatment (reduces the suspended matter through precipitation or sedimentation with or without reagents, or by
means of various types of chemical oxidation)
Secondary or biological treatment (aerobic or anaerobic oxidation of organic material. Example: activated sludge, particle beds, oxidation ponds and
others)
Other:
Pre-treatment (Example: Grills, sieves, grit chambers and degreasers)
Receives prior treatment (indicate the percentage):
98
IV.29. Have you had production problems due to contamination in your PU?
Sewage
IV.28. Your water is (Mark with an X)

Clean
Pipe:
Does not know (Mark with an X)
Well:
Comes from (Indicate the percentage):
IV.27. Water the Production Unit uses:
Environmental

No
Yes
20#1
20#2
20#3
20#4
20#5
20#6
20#7
20#8
Indicate the year(s) in which they occurred
None
The aquifer is depleted
Desertification over the long-term
20#9
20#0
Other (Specify):
On what proportion of your property?
Note for interviewer:

Proceed with the questions on marketing, technology and quality of the economic activities (Sections: V.
Livestock; VI. Forestry; VII. Aquaculture and Fishing or IX. Non-agriculture) that the PU declared in question 1.
In the event that the PU only declared agricultural activities, go to section IX.
Relationship PU Environment and Labor.
The bodies of water are

contaminated
IV.34. What do you consider are the main problems caused by the inadequate use of water? (Indicate with an X)
Other (Specify):
(Agriculture, Forest, Livestock) to Urban
Agriculture to Livestock
Forest to Livestock
Forest to Agriculture
Changes
IV.33. Has there been any change in the land use on the property or any part of it in the last ten years?
99
Kg
Yes
No
Did you process?
18
Kg
Kg
Kg
Kg
Replacement
males?
Wholesale
markets
Tons
Tons
Tons
Tons
Supermarkets
Tons
Tons
Tons
Tons
Middleman17
Tons
Tons
Tons
Tons
Replacement
males
Kg
Kg
Kg
Kg
Tons
Tons
Tons
Tons
Kg
Kg
Kg
Kg
Fattening animals?
Breeding
Rearing
Steers?
Tons
Tons
Tons
Tons
Supermarket
Directly exported
Tons
Tons
Tons
Tons
Others
Kg
Kg
Kg
Kg
lt
lt
lt
lt
Milk?
Fattening
Tons
Tons
Tons
Tons
Export through
brokers
Kg
Kg
Kg
Kg
Own point of sale
Rearing animals?
How much did you sell of
Informal
middlemen18
Person or group of persons that informally buy the production from the producer in his/her unit of production.
Tons
Tons
Tons
Tons
N
N
Breeding animals?
17 Formal company specialized in storage, logistics and marketing.
Species
(Follow
order of
V.1)
Kg
Kg
Kg
Kg
Replacement
females?
V.3. Of what you produced in 20##,
4.
Kg
Kg
2.
3.
Kg
Female
reproducers?
N
N
Replacement
females
Of all the animals you have, how many are?
ton
ton
ton
ton
Honey?
Tons
Tons
Tons
Tons
How much for

self-consumption
Kg
Kg
Kg
Kg
Eggs?
Steers
100
1.
Species
(Follow the
order of V.1)
V.2. In 20##
N
N
3.
4.
N
N
Female
reproducers
Male reproducers
1.
How many heads of

cattle, bee colonies
or female reproducers
did you have in total in
your PU?
2.
What did you

produce?
(indicate the type of
livestock you have)
IV.1. In 20##
Marketing
(Cattle, Sheep, Poultry, Pigs, others)
V. LIVESTOCK ACTIVITIES

Mark with an X
(Follow the order of V.1)
4
Other (Specify):
Doesnt have problems
Volume of production insufficient to satisfy the demand
High cost of marketing
Lack of knowledge of the sales process
Non-tariff barriers
Problems
1
Mark with an X
(Follow the order of V.1)
4
V.5. What do you consider are the main problems for getting your product to the most important markets?
Other (Specify):
Through a broker
I did research
Mechanism
V.4. How did you find and get access to this market niche?
101
Other (Specify):
A government
agency sets it
The current
price in the
international
market is taken
With
notarized
contract
Simple
contract
Verbal
Other,
contract (Specify):
With
notarized
contract
Simple
contract
Verbal
Other,
contract (Specify):
Product 2
Product 1
With
notarized
contract
Simple
contract
Verbal
Other,
contract (Specify):
Product 3
Select with an X
With
notarized
contract
Simple
contract
Verbal
Other,
contract (Specify):
Product 4
Select with an X
102
The current
price in the
national market
is taken
The current
price in the
regional market
is taken
I set it.
I negotiate it
with the buyer
The buyer
sets it
Procedimiento
Select with an X
Select with an X
(Mark the corresponding option using the name of the marketing channel indicated in question V2)
V.6. How do you set the sale price of the product?

%
%
%

Specify
Intensive
Semi-intensive
Production system
Extensive
Specify
Specify
Specify
Specify
Specify
Other form of payment
Species
(Follow the previous order)
Applied vaccines for most prevalent

diseases
Periodic baths
Parasite control
V.9. In 20##, what preventive sanitary control activities did you carry out? (Indicate with an X)
Species
(Follow the previous
order)
Specify
Check
V.8. In 20##, what production system did you use? (Indicate with an X)
Other (Specify):
Cash
Indicate the percentage (%) for each of the means of payment

The three percentages cash, check, other must add up to 100%.
Immediately
Time of payment
V.7. Information regarding payment for the sale of your products:

Mark with an X
Venereal disease control
Yes/No
Other (Specify):
If yes, in what year?
Have you incorporated genetically improved species?
Other (Specify)?
None
They did not pay me
Did you have any of the following problems in

collecting?
103
Based on own experience
Observation of a person
unrelated to the PU
Did not control
With home remedies
With medicine bought in a

business
Observation of the extensionist
Recommendation of the veterinarian
%
%
%
%
Natural grassland
Species
Established grassland
Balanced feed
Feed supplements
V.13. In what proportion did you integrate the different inputs with which you fed your cattle? (Indicate percentage %)
Asked dose when I bought the medicine
With medicines recommended by a

veterinarian
Observation of the private

veterinarian
Other (Specify):
Other (Specify):
Other (Specify):
Other (Specify):
104
From own experience
V.12. How did you determine the dose to apply of the medicines? (Indicate with an X)
Species
V.11. How did you control diseases? (Indicate with an X)
Species
V.10. How did you detect the presence of diseases? (Indicate with an X)

Did not calculate
From personal
experience
Natural mating with

loaned male
Natural mating with own

male
Artificial insemination
with local semen
I knew the pasture

index
Species
Yes
No
Other (Specify):
As indicated by the extensionist,

veterinarian or other technician
Artificial insemination with frozen

semen
I measured the forage

production
V.16. Did you do estrus synchronization? (Only applies for cattle, sheep, goats, pigs) (Indicate with an X)
Species
V.15. How did you inseminate the species of your Production Unit?
(Only applies for cattle, sheep, goats, pigs) (Indicate with an X)
Species
V.14. How did you calculate the number of animals or beehives in your Production Unit? (Indicate with an X)
Other (Specify):
105
Completely manual
In a milking
chamber
With mobile
equipment
In a TIF
slaughterhouse
Other (Specify):
Species
(Follow the
previous
order)
None
Own
With
Exporter
With
Exporter
Own
Storage with
temperature control
Packaging
according to client
specifications
Own
With
Exporter
Storage with
atmosphere control
V.19. Did you do any post-production handling? (Indicate with an X)
Completely manual
How was the slaughter done?

Yes
With
Exporter
Storage with modified

atmosphere
Own
Yes
Own
With
Exporter
Treatment for export
No
Do you have a refrigerated room?
Other (Specify):
Yes
No
Were you paid a higher price for the quality

of the milk?
Own
With
Exporter
Transport to market in
refrigeration
Yes
Other (Specify):
No
Were you paid a higher price for the quality of the product?
No
Do you have a refrigeration tank?
106
Species
Milking chamber with

stationary equipment
How did you do the milking?
V.18. In the case of sale as carcasses (Indicate with an X)
Species
order)
V.17. In the case of milk production (Only applies for cattle, sheep and goats) (Indicate with an X)

Specify
Why
No
Good quality
Relevant
Timely
Other (Specify):
TIF Slaughterhouse
Technician
Private veterinarian
Other (Specify):
Sufficient
Service provider
Business where I buy inputs
Neighbors
From whom?
Yes
In process

received is:
Specify
V.21. Do you receive technical assistance (Indicate with an X)
Specify
Safety
Organic
Specify
Sanitary
Yes, specify (Indicate with an X)
Species
V.20. Do you have any type of certification?
Mark with
an X
Other (Specify):
No, why not?

How often do you receive assistance
Other (Specify):
The product does not require certification.
Does not need it, no one asks for it
Does not have financing
Knows but does not have anyone to advise him/her
Does not understand concept
Whenever I need it
Every month
Twice a year
Once a year
Other (Specify):
Mark
with
an X
107
Does not know what technologies can be adopted
If you have not made any investments, why?
%
%
%
Containers
Manure
They are recycled in

the PU
Wastewater
Treatment
They are sold
They are taken to

public landfills
Yes
(indicate the percentage)
V.23. Did you do any post-treatment of the waste and residue of the Production Unit?
Environment
Indicate with an X
No
Mark with X
108
Other (Specify):
Others
They are put in

specialized deposits
Other (Specify):
In the marketing of the product
The research centers do not generate new technology

Does not know the technologies generated by the research
centers
The technologies available in the market are not within reach

(distant markets)
There are no technical personnel trained to improve the

production system
In the post-production process
Milking
Growth
20#5
It is costly
20#4
Fattening
20#3
Nursing
20#2
20#1
Indicate with an X in what year you made

investment
Reproduction
Production process
Genetic material
Have you invested in technology in the following processes?
V.22. In the last five years

Yes
No
20#2
20#3
20#4
20#5
20#6
20#7
20#8
Indicate the year(s) in which they occurred
None
Depletes the aquifer
Produces desertification over the

long term
20#9
20#0
Other (Specify):
Over what proportion of your property?
If the PU only declared engaging in livestock activities, go to

Section IX. Relationship UP Environment
Note for the interviewer:

Proceed with the questions on marketing, technology and quality of the economic activities that the
PU declared in question 1.
(Sections: VI. Forestry; VII; Aquiculture and Fishing or VIII. Non-agriculture)
Bodies of water are contaminated
V.25. What do you consider are the main problems caused by the inadequate use of water? (Indicate with an X)
Other (Specify):
(Agriculture, Forest, Livestock) to Urban
Agriculture to Livestock
Forest to Livestock
Forest to Agriculture
Changes
V.24. Has there been any change in the use of land or any part of it in the last ten years?
109
Sawmills
Other (Specify):
I did research
Mark with an X
(Follow the order of VI.1)
VI.3. How did you find and get access to this market niche?
m3
3
3
No
Indicate what processing you did:

m3
Mark with an X
Yes
m3
3
m3
m3
m3
3
Middleman
Industry
m3
m3
Other (Specify):
How much did you sell in the national market?
m3
m3
m3
m3
How much did you

sell to the external
market?
m3
m3
m3
m3
What was the volume cut and/or

gathered?
110
Species
Did you process it?
Hectares
VI.2. Of what you made use of in 20##
Hectares
How many hectares did you use?
Hectares
Specify
No
Hectares
Yes
Do you have permits for engaging in forestry?
What species or products did you make use of?

(indicate the name)
VI.1. In 20##
Marketing
VI. FORESTRY

Mark with an X
4
The current price

in the regional
market was taken
I set it.
I negotiated with
the buyer
The buyer set it
Procedure
Simple
Verbal
contract contract
Other,
(Specify):
With notarized Simple

Verbal
contract
contract contract
Other,
(Specify):
Product 2
Product 1
With
notarized
contract
Select with an X
Select with an X
(Mark the corresponding option using the name of the marketing channel indicated in question VI.2)
VI.5. How did you set the sale price of the product?
Other (Specify):
Does not have problems
Volume of production insufficient to satisfy the demand
High costs of marketing
Lack of knowledge of the sale process
Non-tariff barriers
Problems
With
notarized
contract
Simple Verbal
contract contract
Product 3
Other,
(Specify):
Select with an X
VI.4. What do you consider are the main problems for getting your product to the most important markets?
With
notarized
contract
Simple Verbal
contract contract
Product 4
Other,
(Specify):
Select with an X
111
With
notarized
contract
Simple
Verbal
contract contract
Other,
(Specify):
With notarized Simple

Verbal
contract
contract contract
%
%
%

%
Other
Immediately
Specify
Cash
Specify
Check
Specify
Specify
Specify
Specify
Specify
Indicate the percentage (%) for each means of payment

With
notarized
contract
Other,
(Specify):
With
notarized
contract
Other (Specify):
None
They did not pay me
Other,
(Specify):
Mark with an X
Simple Verbal
contract contract
Product 4
Select with an X
What problems did you have to collect?
Simple Verbal
contract contract
Product 3
Select with an X
112
Timing of the payment
Other,
(Specify):
Product 2
Product 1
VI.6. Information regarding the payment for the sale of you products:
Other (Specify):
A government
agency set it
The current price

in the international
market was taken
The current price

in the national
market was taken
Procedure
Select with an X
Select with an X

Why?
No
Reproduced own material
Bought from neighbors material from nurseries
Pruning
Thinning
Phytosanitary
measures
Specify
Specify
Intermediate
Specify
Sawing
Specify
Drying
Industrial preparation
Specify
Specify
Specify
Specify
Final
Other (Specify):
Other (Specify):
Other (Specify):
Bought material in certified nurseries
Fertilization
None
Weed control
Bought material in
community nurseries
Species
VI.10. Did you do any post-production management? (Indicate with an X)
Species
VI.9. In 20##, what plant care did you carry out in your forest? (Indicate with an X)
Species
order of VI.1)
VI.8. How did you obtain the plants in order to maintain the forest area that you planted? (Indicate with an X)
What species?
Yes
VI.7. In 20##, did you have forest area planted on your PU?
113
Standard
Standard
Standard
Standard
Standard
Standard
Standard
Environmental
Standard
Standard
Standard
Standard
Quality
Knows but does not have anyone to advise him/her
Studies for the

development of forestry
markets
Forest products promotion

campaigns
Trade missions, promotional fairs and/

or market integration forums
VI.14. In 20##, did you use any of the following? (Indicate with an X)
Collective marks of
forest products
Other (Specify):
Timely
Directory of exporters of
forest products
Whenever it was needed
Every month
Two times a year
Once a year
Relevant
Other (Specify):
The product does not

require certification
Other process to improve

marketing, specify
Mark
with
an X
No
None
Other (Specify):
Other (Specify):
With what frequency did you receive assistance
Other (Specify):
Mark with
an X
Good quality
Sufficient
The technical assistance received

is:
Does not need it, no one

asks for it
Extensionist
Buying company
The neighbors
From whom?
Yes
Specify
Specify
Specify
Specify
In process
114
Por qu?
No
VI.13. Do you receive technical assistance? (Indicate with an X)
Does not know what it is
Indicate the certified activity:
Yes, indicate the Standard that was certified
VI.12. Why havent you started the certification process? (Indicate with an X)
Standard
Sanitary
Species
VI.11. Do you have some type of certification?

20#4
20#5

(distant markets)
There are no trained technical personnel to improve the

production system
It is very costly
Does not know the technologies that could be adopted
None, why?
No
(Indicate with
an X)
20#1
20#2
20#3
20#4
Yes. in what year? (Indicate with an X)

20#5
On what proportion of your

property?
Why does it occur?
Other (Specify):
Insufficient oversight
Corruption at points of oversight/inspection
Theres no oversight
VI.16. Has your Production Unit been affected by illegal logging in any recent seasons? (Indicate with an X)
Environment
Other (Specify):
20#3
Other (Specify):
20#2

centers
20#1
In the marketing of the product
In the post-production process
Production process
Genetic material
Have you made investments in technology in the following processes?
VI.15. In the last five years, (Indicate with an X the year executed)
Mark with an X
115
20#1
20#2
20#3
20#4
Yes. In what year? (Indicate with an X)
4.
1.
2.
Aquaculture
(Go to VII.2)
Fishing
(Go to VII.1.3)
What species did you cultivate or extract?

(indicate the name)
VII.1. In 20##
Marketing
M3
M3
What caused the fire?
How many animals did you

produce per M3 of water?
Tons
Tons
How many juveniles did

you produce?
Juveniles
Juveniles
Tons
Tons
What was the quantity

extracted?
Do you have a permit to

carry out the activity?
(Yes/No)
VII.1.3. Fishing
If the PU only declared doing forestry activities go to

Section IX. Relationship UP Environment

Proceed with the questions on marketing, technology and quality of the economic activities
(Sections: VII. Aquaculture and Fishing or VIII. Non-agricultural)
that the PU declared in question 1.
Other (Specify):
Industrial accidents
Uncontrolled burning practices
Human carelessness (throwing out of lighted cigarette butts, etc.)
High temperatures
VII.1.2. Aquaculture
On what proportion of your

property?
How many M3 of capacity do

your tanks or cages have?
20#5
116
VII. AQUACULTURE AND FISHING
No
(Indicate with
an X)
VI.17. Has your production unit been affected by Forest Fires in any recent seasons?

Tons
Tons
Tons
Tons
Tons
Tons
Wholesale
markets
20
19 Formal company specializing in storage, logistics, etc.
Other (Specify):
Through a broker
I did research
Tons
Tons
Tons
Tons
Middleman19
Tons
Tons
Tons
Tons
Informal
Middleman20
Mark with an X
(Follow the order of VII.1)
VII.3. How did you find and get access to this market niche?
Tons
Supermarkets
No
Tons
Yes
Did you do any

processing of the
species?
Species
(Follow the
order of
VII.1)
VII.2. Of what you produced or extracted in 20##
Tons
Tons
Tons
Tons
Own point of sale
Tons
Tons
Tons
Tons
Supermarket
Directly exported
Tons
Tons
Tons
Tons
Others
Tons
Tons
Tons
Tons
Export through
brokers
Tons
Tons
Tons
Tons
How much was for

self-consumption?
117
The current price

in the national
market is taken
The current price

in the regional
market is taken
I set it.
I negotiate it with
the buyer
The buyer sets it
Procedure
Other,
(Specify):
With
notarized
contract
Simple
Verbal
Contract Contract
Other,
(Specify):
Product 2
Product 1
With notarized Simple Verbal

contract
Contract Contract
Select with an X
Select with an X
(Mark the corresponding option using the name of the marketing channel indicated in question VII.2)
With
notarized
contract
Simple Verbal
Contract Contract
Product 3
Other,
(Specify):
Select with an X
With
notarized
contract
Simple
Verbal
Contract Contract
Product 4
Other,
(Specify):
Select with an X
118
VII.5. How do you set the sale price of the product?
Other (Specify):
Does not have problems
Volume of production insufficient to satisfy demand
High cost of marketing
Lack of knowledge of the sale process
Non-tariff barriers
Problems
Number by order of
importance
VII.4. What do you consider are the primary problems for getting your product to the most important markets?

With notarized Simple Verbal

contract
Contract Contract
Other,
(Specify):
With
notarized
contract
Simple
Verbal
Contract Contract

Specify
%
%
Specify
Check
Cash
%
Other
With
notarized
contract
Specify
Specify
Specify
Specify
Specify
Other,
(Specify):
With
notarized
contract
Other (Specify):
None
They did not pay me
Other,
(Specify):
Mark with an X
Simple
Verbal
Contract Contract
Product 4
Select with an X
What problems did you have to collect?
Simple Verbal
Contract Contract
Product 3
Select with an X
Indicate the percentage (%) for each means of payment

Immediately
Timing of the payment
Other,
(Specify):
Product 2
Product 1
VII.6. Information regarding the payment for the sale of your products:
Other (Specify)
A government
agency sets it
The current price

in the international
market is taken
Procedure
Select with an X
Select with an X
119
Intensive
Earthen
Concrete
Pond (m3)
Glass
fiber
Cages
M3
Species
(Follow previous order)
Reproduces own
material
Buys certified reproduction

material from neighbors
Infraestructura de
acopio
Storage
infrastructure
Other (Specify):
Other (Specify):
Refrigeration
infrastructure
Have you incorporated genetically improved species? (Yes/No)
Imports them
Packing
infrastructure
Buys in laboratories with

biosecurity certified by government
agencies
Collection
infrastructure
Buys from laboratories
VII.9. How did you obtain post-larva or juveniles? (Indicate with an X)
Acclimatization
installations
Extensive
For AQUACULTURE Production Units begin with QUESTION VII.7.

For FISHING Production Units begin with QUESTION VII.15.
120
Species
Semi-intensive
Select with an X
VII.8. What type of equipment do you use for your production?
Species
(Follow previous order
Question VII.1)
VII.7. In 20##, what system of production did you use?

None
Fresh fish meat
Organic
fertilization
From own experience
Determined biomass and

used feed tables
None
Tank liming
Control of the aeration

mechanism
Monitoring Tray
Oxygen meter
PH meter
Thermometer
Asked a private
veterinarian
Hydro-stabilized
pellet
Secchi disk
Daily monitoring of the

population
VII.13. Which of the following did you use in the management of your farm? (Indicate with an X)
Species
Simple pellet
Asked the extensionist
Chemical
fertilization
VII.12. What preventive sanitary control activities did you do? (Indicate with an X)
Species
VII.11. How did you calculate the feed ration? (Indicate with an X)
Species
VII.10. What type of feed practices did you engage in? (Indicate with an X)
Daily control of water
Other (Specify):
Other (Specify):
Other (Specify):
Other (Specify):
121
By own experience
By observation of the
extensionist
Nets and other

fishing gear
Full berths
Collection
infrastructure
21
No
In a plant for sale fresh
In a plant for sale frozen
Packing
infrastructure
In a plant for sale canned
Storage
infrastructure
Refrigeration
infrastructure
(1) Boat of less than 10.5 m in length (2) Longliner of >10.5 and < 14 m in length, (3) Trawler > 14 m in length, (4) Tuna vessel, (5) Purse seiner, (6) Factory vessels.
Yes
Do you have potable water?
An improvised place
VII.16. Where did you prepare your product for sale? (Indicate with an X)
An organization
Concessioned
Cooperative
Fishing vessel21
Other (Specify):
Other (Specify):
After finishing this section, go to QUESTION VII.16.
Other (Specify):
122
Rented
Owned
Ownership
By observation of a
private veterinarian
Questions for FISHING Units of Production:
By observation of a
person unrelated to the
farm
VII.15 In 20##, what type of equipment did you use for extraction? (Indicate with an X)
Species
VII.14. Cmo detect la presencia de enfermedades en su granja? (Indicate with an X)

None
Bulk sale
Campaigns promoting
aquaculture and fishing
products
Specify
Specify
Does not know what it

is about
Knows about it but does

not have anyone to advise
him/her
In process
Does not need it, no one asks for it
VII.20. Why havent you begun the certification process? (Indicate with an X)
Specify
Safety
Organic
Specify
Sanitary
Exporter
Own
Own
Exporter
Other (Specify):
The product does not require

certification
Own
Exporter
Transport to market
in refrigeration
No
None
Other (Specify):
Other (Specify):
Other process to improve

marketing, specify
Treatment for export
Collective marks of
products
Exporter
Storage with
modified
atmosphere
Directory of exporters of
products
Own
Storage with
atmosphere control
If Yes. select with an X what type of certification
Trade missions, promotional fairs and/

or market integration forums
Species
VII.19. Do you have any type of certification?
Studies for the

development of
markets
Exporter
Own
Own
Exporter
Storage with
temperature control
Packing according to
specifications of the
client
VII.18. In 20##, did you use any of the following? (Indicate with an X)
Species
(Follow previous
order)
VII.17. Did you do any post-production or post-extraction management? (Indicate with an X)
123
Relevant
Timely
Other (Specify):
Buying company
I have a private veterinarian
Other (Specify):
20#5

(distant markets)
There are no trained technical personnel to improve the

production system
It is very costly
Does not know the technologies that could be adopted
No investments were made, why?
Other (Specify):
20#4
Other (Specify):
20#3

centers
20#2
Administrative process
Marketing of the product
Transportation of the product
Post-production process
20#1
Other (Specify):
Whenever I need it
Every month
Twice year
Once a year
With what frequency do you receive assistance?
Mark with an X
Mark with
an X
124
Production or extraction process
Genetic Materials
Mark with
an X
Indicate with an X in what year you made the investment
Good quality
Sufficient

received is:
Extensionist
Business where I bought

the inputs
Neighbors
Yes
From whom?
Have you made investments in technology in the

following processes?
VII.22. In the last five years
Why?
No
VII.21. Do you receive technical assistance?

Industrial wastewater
Mishandling of solid wastes
None
Extinction of species
Reduction of size and weight of the product
Other (Specify):
No
In the event that the PU only declared engaging in agricultural and fishing activities
go to Section IX. Relationship UP Environment

Proceed with the questions on marketing, technology and quality of the economic activities
(Section: VIII. Non-agricultural) that the PU declared in question 1.
Other (Specify):
VIII.1. What non-agricultural activities do you engage in primarily? (Write them down)
VIII. NON-AGRICULTURAL
Agricultural and fishing production wastewater
Affects on the health and safety of the products
Dont know
Urban wastewater
What do you consider is the primary source of water contamination?

(Select with an X)
Reduction of the fish populations
Yes
(Select with an X one or more problems)
VII.23. Have you had production problems due to water contamination? (Indicate with an X)
Environmental degradation
125
Flood
For their punctuality in delivering

the supplies
Other (Specify):
Imported them
Other (Specify):
Others (Specify):
Health problems
Family or personal problems
Economic problems
3.
2.
1.
Directly to the
consumer
With
Intermediary
Yes
No
Specify
Does your buyer (whether final or intermediate) require

quality standards from you? If so, indicate what they are
in the corresponding column.
Local market
Regional market
National market
Foreign market
Other (Specify):
What is the final destination of your production (whether direct or with an intermediary)?
(Mark with an X)
(Keep the same order of activities as VIII.2, mark with an X the corresponding answer, NA means that the question does not apply for the activity in question)
VIII.3.1. How do you sell your products?
VIII.3. Marketing and Quality
Hurricane
Bought them in the national market
Causes
What caused these affects?

(Mark with an X all that apply)
I sold on credit but they never paid me
Drought
No
Because they give me the best

prices
Yes
For the quality of their products
Why?
Were your sales

affected?
(Mark with an X, just one
option)
Own production
How were you supplied with your raw materials?

(Mark with an X)
Do you consider
that your
suppliers are the
best you could
have? (Yes/No)
VIII.2. In your production system, for the year 20##
126
Activity

Number of workers
Number of
workers
Number of workers
administrative work?
(accounting, sales,
etc.)
No
Yes
VIII.5. In 20##, did you receive any training?
specialized
technical work?
(use of looms or
pottery tools, etc.)
basic tasks?
(cleaning,
preparation of
inputs, etc.)
#
Specify
Others?
In your business/company, how many workers carry out
VIII.4. Information regarding the level of technology:
Te c h n o l o g y a n d C a p a c i t y B u i l d i n g
Other (Specify):
Through an intermediary
I researched and consolidated them
With personal relations
Establishing commercial relations
They were recommended to me
VIII.3.2. How did you get your clients?
Manual
Semi-automated
Doesnt
have any
Adapted
(reconfigured)
Designed or
specialized
Other (Specify):
How would you classify the facilities and constructions of your

business/company?
(Mark with an X)
If yes, what? (describe)
Automated
How would you classify the level of mechanization of

your business/company?
(Mark with an X)
(Mark with an X)
127
Yes
Was it registered in the Tax Office?

(Yes/No)
No
No
Did it pay taxes?

(Yes/No)
Other (Specify):
Because the majority of my clients have told me so
Because the market surveys of the product(s)

indicate this
Because my profits are always better than expected.
Why?
Do you consider that the design of your product(s) meets the current needs of your clients?
(Mark with an X)
VIII.8. Quality
Was registered in a Chamber of Commerce

or Producers Union? (Yes/No)
Months
Months
Advertising
Other (Specify):
Months
Months
Months
Production
processes
Client service
Months
Accounting
Sales
Months
(Mark with an X)
How often do you provide training

in such topics?
(Indicate every how many months)
Administrative
Topics
On what topics?
(Mark with an X who received the training)
Number of employees
How many of your employees are registered

in the Social Security System?
Dont have any advertising
Sufficient
Scarce
How would you qualify the current level of advertising you do of your product(s)?
(Mark with an X)
Did it register the employees in the

Social Security System?
(Yes/No)
Other (Specify):
The quality of the courses or course providers is not satisfactory
Lack of financing
It is a business that will not last very long
The administrators dont have time to organize the training
The employees are too busy to attend courses
The external courses are very expensive
There are no courses available in the community
They learn by experience
Why dont you provide training to your employees?

(Mark with an X all the options that apply)
128
VIII.7. As of 20##, your business or company
Yes
VIII.6. In 20##, did you provide any training to your workers?

Supply of inputs
Finding a buyer
There was government aid for this activity
Other (Specify):
Local currency
3.
Other (Specify):
Local currency
Loaned
2.
Rented
What was the

value of your
sales in 20##?
Local currency
Owned
The place where you engage in your activity is:

(Mark with an X and in the case of Other specify in the space
provided)
1.
How many
years has your
organization or
business been
active?
(If the answer is
less than 1 year,
specify if they are
months or weeks)
(Fill in all the fields for each of the three activities and respect the order indicated in VIII.1)
VIII.10. Gross margin of the business
To have access to financing
Finding people who have the

capacity to run the business
I didnt have any other option
Other (Specify):
To reduce my costs
Finding the equipment that I need
I need to complement the income my family obtains

in agricultural activities
Local currency
Local currency
Local currency
In your business
or company, how
much did you pay
for electricity in
20##?
Other (Specify):
Local currency
Local currency
Local currency
How much did

you pay in 20##
for the use of
the place where
your business
or company
is located?
(Mortgage, rent,
etc.)
I need to cover other markets
Obtaining a permit to operate
I consider that it is my most profitable option
Activity
The demand increased
Yes, why?
Local currency
Local currency
Local currency
How much were the rest

of the costs incurred in
your activity in 20##?
(Other than electricity,
compensation and rent or
purchase of property)
Other (Specify):
Lack of trained workers
There are already a lot of similar

businesses
I am not interested
I dont have money
The demand is constant
No, why?
Do you consider that your business needs to expand? (Yes/No)

(Mark with any X)
Obtaining financing
What was the most difficult obstacle for getting

your business going?
(Mark with an X)
It is the family business by tradition
What circumstances led you to engage in your current

business?
(Mark with an X)
VIII.9. Creation of the Business
Observations
129
20#3
20#4
20#5
Less
than
10%
Between
11% and
25%
Between
25% and
50%
Between
50% and
75%
100%
How did you overcome the situation?
With help from neighbors

With help from the government
Other (Specify)
Hail
Winds
None
Other (Specify):
Loss or reduction of plant species
Deforestation
Contamination of the underground water
Contamination of the surface water
Exhaustion of the water resource
Compaction of the soil
Loss of soil fertility
Soil contamination
Desertification
Erosion
Environmental problem
Light
Moderate
Level of degradation
(Mark with an X)
Severe
Water conservation works
Soil conservation works
Application of best production practices
Adequate use of solid waste
Wastewater treatment
Actions
Mark with
an X
Specify the action:
What actions have you taken to reduce the impact of your activity on the environment?
Mark X
130
IX.2. What problem do you think you cause to the environment with your production activity?
The production was insured

With help from family members
Droughts
With own resources
20#2
Floods
20#1
Did not overcome it
No
Did you lose any part of your production?
Hurricanes
Event
Yes
(indicate with an X in what year)
IX.1. In the last five years, have you confronted any of the following climatic events?:
IX. RELATIONSHIP ENVIRONMENT

Light
Moderate
No
(Go to X.3)
Development Bank
Savings Bank
Credit Union
Loan Shark
Family member
Other (Specify):
Acquisition of machinery and/or equipment
Construction of infrastructure or facilities
Expand my business
Acquire some other type of goods
Pay my employees
Pay debts
Other (Specify):
Bank
Purchase of inputs
What is the purpose of your loan?

(Mark with an X)
X.2. Information regarding your credit:
Yes
IX.1. In the last two years, did you obtain any credit (loan)?
X. PENETRATION OF THE FINANCIAL SYSTEM
Other (Specify):
None (finalize this section)
Loss or reduction of animal species
Environmental problem
Level of degradation
(Mark with an X)
Other (Specify):
Air conservation works
Specify
Specify
Specify
Specify
Specify
Specify
Specify
Specify
Specify
Specify
Specify
Who granted the loan?

(Mark with an X)
Specify
Severe
Actions
Specify
Specify
Specify
Specify
Specify
Specify
Specify the action:
Other (Specify):
I can lose my collateral

assets
Increase the interest that I

have to pay
My guarantor would pay
I could generate a bad credit

history in the credit bureau
Nothing
What could happen if you dont pay back

the loan?
(Mark with an X)
Mark with
an X
What actions have you taken to reduce the impact of your activity on the environment?
131
Does not know
Yes
Specify
Specify
Savings Bank?
Otra, cul?:
Specify
Specify
Specify
Specify
With whom do you have the savings account?

(Mark with an X)
No
(Go to X.6)
Bank?
X.5. If Yes
Yes
Specify
Specify
Specify
No
Other (Specify):
To make the down payment on an automobile
To pay debts
To buy machinery
To obtain a loan
In 20##, what are you saving for?

(Mark with an X)
Why?
Year
On what date did you obtain the loan?

Month
132
X.4. In the last two years, did you have any savings account?
Other (Specify):
I dont need the credit
I couldnt pay for it
There were too many requirements (specify what they were)
I dont have collateral
I cant prove the minimum income
Does not know
Do you have any insurance associated with the loan?

(Mark with an X)
What was the annual interest rate on your loan?
Select with an X the option according to the response indicated
X.3. Why didnt you obtain the credit?
Months
What was the term of your loan?
Local currency
What was the amount of the last loan you obtained?
X.2. Information regarding your credit (continued)

No
(Go to X.9)
Why?
Insurance company
Government
Company where I buy inputs and chemicals
Bank
Other (Specify):
Against theft of machinery or equipment
Against theft of inventory
Against natural disasters (earthquakes, hurricanes)
Other (Specify):
Who or what institution gave you the insurance?
Against weather contingencies (droughts, floods, fires)
What type of insurance does your PU have?

(Mark with an X)
X.8. If you answered Yes in question IX.7.
Yes
X.7. In the last two years, did you have any insurance for your Production Unit?
Other (Specify):
I dont know about the service
I do not need a savings account
I participate in a savings group
The bank or savings bank is very far
There are too many requirements (specify what they are)
Select with an X the option according to the indicated response
X.6. If the answer is No, why dont you have a savings fund?
Specify
Specify
Specify
Specify
Specify
133
Graduate
Specialty
Bachelors
Degree
Other (Specify):
In accounting software
that was recommended
to me
No
High School
Yes
In accounting software
adapted to my company
by a specialist
No
How do you keep these records?

(Mark with an X)
Secondary
Yes
Do you keep accounting records

including inventories?
(Mark with an X)
On a spreadsheet
No
Is the analysis of your business plan

important for the decision making
of your business/company?
(Mark with an X)
Primary
Yes
Do you have a
business plan?
(Mark with an X)
On paper
What is the
managers career
or specialty?
(Indicate which
one)
Yes
No
In the company/business
are the accounting records
analyzed?
(Mark with an X)
Why
134
None
What is the schooling

level of the manager
of the business or
company?
(Select one option with
an X)
XI.1. Management and Business Skills
XI. HUMAN CAPITAL IN THE PU
Other (Specify):
I dont know about the service
I dont have money to pay for it
I dont need the insurance
There are too many requirements (specify what they are)
Select with an X the option according to the indicated response
X.9. If you answered No in question IX.7., why dont you have insurance?

Purchase of cheaper inputs

Obtaining of credit
Manages governmental aid
Political power
None
Other (Specify):
Cooperative
Association or Producers Union
Chamber of commerce
Exporters Association
None
(Go to XI.1.3)
Other (Specify):
Other (Specify):
Officer
Participant
Persons
Persons
Persons
Persons
Persons
Persons
Livestock
Forestry
Fishing
Aquaculture
Non-agricultural
Hombres
Agriculture
Economic activities
TOTAL
Persons
Persons
Persons
Persons
Persons
Persons
Mujeres
Persons
Persons
Persons
Persons
Persons
Persons
Hombres
Permanent
Persons
Persons
Persons
Persons
Persons
Persons
Mujeres
Persons
Persons
Persons
Persons
Persons
Persons
Hombres
Temporary
Persons
Persons
Persons
Persons
Persons
Persons
Mujeres
What role do you perform in the

organization? (go to XI.2)
XIII.1. In your Production Unit, how many people do you have working? (employees or day laborers)
XIII. EMPLOYMENT
It represents my interests
What benefit do you obtain from the organization?

(Select with an X)
Social
Select with an X
XII.1. To which of the following types of organizations do you belong?
XII. ORGANIZATION
Persons
Persons
Persons
Persons
Persons
Persons
Of the total how many

are members of your
family?
Other (Specify):
Persons
Persons
Persons
Persons
Persons
Persons
Of the total how

many are registered
in the Social Security
System?
They care about their personal interest,

not the group interest
It is a waste of time
They ask for money to join
There is a lot of corruption in all of

them
They dont improve the production
Why havent you joined any organization?
135
Persons
Persons
Persons
Persons
Persons
Forestry
Fishing
Aquaculture
Non-agricultural
Persons
Persons
Persons
Persons
Persons
Persons
Persons
Persons
Persons
Persons
Persons
Persons
Professionals
Persons
Persons
Persons
Persons
Persons
Persons
Non-professionals
TEMPORARY
Persons
Persons
Persons
The region?
Other states (migrant workers)?
Other countries?
Monthly/Annual
Monthly/Annual
Monthly/Annual
Monthly/Annual
Monthly/Annual
Monthly/Annual
Specify if the payroll

expense is monthly or
annual
Specify the place where your workers are from
End of survey: Thank the interviewee again for his/her time and verify that you have all the sections of the questionnaire
corresponding to the interviewed PU.
Persons
Specify the
number
Your locality?
Origin
XIII.4. How many of the employees in your PU are from
Non-agricultural
Fishing
Permanent
136
Aquaculture
Forestry
Livestock
Temporary
Agriculture
Economic activities
XIII.3. In the last month, how much did you spend in total on the payment of employees in your PU (payroll expense)?
Persons
Livestock
Non-professionals
PERMANENT
Professionals
Agriculture
Economic activities
XIII.2. How many of the employees in your PU have the following level of education?

CASE STUDY
SURVEY OF Rural FamilieS
NATIONAL DIAGNOSIS OF THE RURAL SECTOR
Note that with this instrument the economic unit is being interviewed as a household.
The owner or administrator/manager of the production unit should be sought.
Apply this instrument only to rural families.
Note:
Hello, good morning/afternoon, my name is ______________________________________________________________ I work for the United Nations
Food and Agriculture Organization (FAO). We have chosen you to provide us information on the relevant problems your family faces. We would appreciate it if
you could give us a few minutes of your valuable time to ask you a few questions. You can rest assured that all the information you provide us will be strictly
confidential.
Example:
Explain why the interviewee was chosen (random selection/representativeness of the region)
Assure the interviewee of the confidentiality of the information
Present the objective of the instrument
Identify yourself
SUGGESTIONS FOR THE PERSON APPLYING THE INSTRUMENT:
Survey for rural families
Tool 8
137
Month
Other NonAgricultural
Activity
Aquaculture and
Fishing
Forestry
Livestock
Agriculture
If you choose one of these options, go to

SECTION HOUSEHOLD ECONOMY EMPLOYMENT
If you choose one of these options go to I.2 and go ahead with

SECTION HOUSEHOLD ECONOMY AGRICULTURE
(Mark the three primary activities in function of their importance

for the income they generate; use the number 1 for the most important
source of income, the number 2 for the activity that generates the second source
of income and the number 3 for the activity that generates the third source of income)
I.1. What production activity (ies) do you engage in primarily?
Year
138
I. ECONOMIC ACTIVITIES
Day
Nmero de Cuestionario
Not members of the household:

Persons who have been absent for more than one year or a member that has been away for less than a year but that plans to be away for one or more
years (counting from the day such person left).
Household members:
Any person who regularly lives in the household, regardless of whether he/she is currently in the household or is temporarily absent from it. For
example, someone who has left for vacation or for temporary work (less than one year).
Person that has been in the home for one year or more, or any person that has been in the home for less than one year but that plans to stay for one
year or more.
Guests that meet the above requirements and that sleep in the house, share the food prepared in the house and who can make free use of the kitchen.
Household: person or group of persons whether related or not, that regularly reside in part of or the entire house and that usually consume the food that
is prepared with a common budget.
Date of interview
Definitions:

Private (Small property)
3.
Hectares
Hectares
Hectares
Hectares
Land area
Years
Years
Years
What activity
do you engage
in?
Relationship
22
Single
Married
Is it partitioned?
(Yes/No)
Divorced
Civil status
(Mark with an X)
Separated
Widow
(er)
What is
your native
language?
Has land been sold?

(Yes/No)
22 Relationship: spouse or partner; child or stepchild; father/mother; father-in-law/mother-in-law; son-in-law or daughter-in-law; grandchild; brother/sister; brother-in-law/sister-in-law; other family member; not related.
Years
Age
Years
Fem.
Male
Gender
(Mark with an X)
Years
Complete name of the member of the

Household
Member
Number
II.1. Please tell me the names of the members of your household?
II. IDENTIFICATION OF MEMBERS OF THE HOUSEHOLD
Other, specify:
Communal
2.
4.
Social
1.
What type of tenure do these lands have?
How much land area do you have? ______________
Of the total land area you use in your production unit
I.2. Land tenure
Do you
speak
another
language?
(Specify)
139
Graduate
Professional
Technical career
High School
Secondary
Primary
Preschool
No education
No
Social Insurance
None
Other, (Specify):
Product 2
(Specify name)
Product 3
(Specify name)
Feed
Rent of machinery services

(rent tractor)
Pay workers
Seeds
Other (Specify):
Pesticides
Organic fertilizer
Product 1
Item
Chemical fertilizer
Product 2
Product 3
Government
Social Security
Product 4
(Specify name)
Indicate the primary agricultural products you obtained in your PU
Yes
Product 4
State Health
$
Other medical
services (Specify
which)
Private Doctor
Product 5
Product 5
(Specify name)
How many times did you go the

doctor in the last year?
What health center or hospital do you go to for medical

attention?
Private Social
Security
III.2. In 20##, how much did you spend on the production of these products in the following items
Product 1
(Specify name)
III.1. In 20##
III. HOUSEHOLD ECONOMY
NI
Are you currently in

school?
What is the last year you finished?
What is the highest level of education you

reached?
II.2. Education and health of the members of the family:
140
Agriculture

Products produced by the household
Product 2
$
Product 3
$
Indicate the three agricultural products you produced

Product 4
10
Other: specify
$ Annual
$ Annual
Flowers, medicinal plants, mushrooms or other

products collectable by the household.
$ Annual
Furniture made at home
$ Annual
10
Crafts, wood products, palm fronds or mats

made at home
$ Annual
Clothes, table cloths or napkins made at home
$ Annual
Eggs
$ Annual
Cured meat, barbeque, sausages, other food

prepared at home.
How much did you

obtain in 20## for
the sale?
$ Annual
Was it sold
in your
own store?
(Yes/No)
Jams, jellies, liquors or preserves
Who in your home helped with the sale of these

products?
(Mark with an X)
$ Annual
Yes
Who in your home sold such products?

(Mark with an X)
Product 5
Milk, cheese, yogurt or other milk products
Product
No
(Go to
III.6)
III.4. In 20##, did you or any of the members of your household sell any of the following products
Product 1
III.3. In 20##, how much money did you obtain or do you expect to obtain for the sale of these agricultural products?
141
$
$
electricity?
fuel consumption?
Monthly, every two months, quarterly,
every six months, annually





How often do you spend this?

(Record how often)
$
$
$
In a beauty salon
In the making of crafts
How often
(Daily, Weekly,
Twice a month,
Monthly)
How much money was

obtained as wage?
Amount
In a mechanics workshop
10
In a carpentry workshop
Preparation and sale of food (fast food,

restaurant, bar, etc.)
Garment and textile workshops
In a mobile commercial establishment

(stands, markets etc.)
In a retail establishment (stores,

pharmacies, hardware stores, paper
goods stores, etc.)
No
Yes
Who in your household was employed in such

activities?
(Mark with an X)
As day laborer
Jobs
Mark the
response with
an X
III.6. In 20##, were you or any member of your household employed in any of the following activities?
raw materials, packaging and/or work

materials?
other expenses? (Specify)
rent of the place where you sold?

(store, land use or plates)
No
$
Yes
How much did you spend the last

time?
(Record the amount in local currency
of the expense that is recorded)
employee wages?
Expenses
Did you spend money on

Permanent?
Temporary?
How were they hired

(Select with an X)
Months
Months
Months
Months
Months
Months
Months
Months
Months
Months/years
Months/years
Months/years
Months/years
Months/years
Months/years
Months/years
Months/years
Months/years
For how much

How much time
time were they
working in such
hired?
place?
(Specify the time (Specify in months
in months)
or years)
142
Employment
III.5. In 20##, for the sale of the products that you mentioned

10
Other (Specify):
I didnt need it
The agricultural activity that I did is very profitable.
I have never worked in anything other than what I do on my lands or property.
Its very hard work with low pay
The salaries are very low and much is spent on commuting and/or food
The level of schooling that the jobs require is greater than I have
I do not have the necessary knowledge to carry out the work required
There are no sources of employment in the region in these activities
Select with an X
III.7. If you answered No to the previous question, why werent you employed in such activities?
In another trade or job (Specify):
How often
(Daily, Weekly,
Twice a month,
Monthly)
How much money was

obtained as wage?
Amount
In a maquiladora or factory (includes

agricultural products processor)
In construction (masonry and other

works; includes assistant)
No
Yes
Who in your household was employed in such

activities?
(Mark with an X)
In an internet caf
Jobs
Mark the
response with
an X
Permanent?
Temporary?
How were they hired

(Select with an X)
Months
Months
Months
Months
Months/years
Months/years
Months/years
Months/years
For how much

How much time
time were they
working in such
hired?
place?
(Specify the time (Specify in months
in months)
or years)
143
City
City
City
City
City
City
City
City
10
Other (Specify):
I got this work many years ago
I went to look for the job
From someone who is not a member of my household
From a family member
How did you find out about the job?

State
State
State
State
State
State
State
State
State
Foreign region (go to III.10)
Local region (go to III.11)
City
State
Other state
(Specify)
Where did he/she go?

No
Go to
III.14
Yes
How much money

did he/she send?
(Indicate the
amount in local
currency)
The place where you got the job is located at:

(Mark with an X)
Other country (Specify):
Canada
The United States
In another state (Specify which)
Other city (Specify which)
The capital of the state of residence (specify which)
The nation's capital
The municipality
The locality
Country
Country
Country
Country
Country
Country
Country
Country
Country
Country
Other country
(Specify)
Did this member of

the household send
you any money?
How often does he/
she send money?
(Indicate the time in
days, weeks, twice a
month or months)
Months/years
Months/years
Months/years
Months/years
Months/years
Months/years
Months/years
Months/years
Months/years
Months/years
Since when has

he/she sent it?
(Indicate in
months or years)
144
III.9. Information regarding the source of employment:
City
Other city of
the same state
(Specify)
Household member
(Respect above order and mark
with an X)
No
(Go to III.14)
Yes
Who in your household left your

community in search of work?
Mark the response

with an X
III.8. Did any member of your household have to permanently leave the locality in search of work?

None
From 7 to 8 months
Other (Specify):
All
From 5 to 6 months
From 3 to 4 months
From 1 to 2 months
Between 15 days and 1 month
Other (Specify):
None
Day care
Medical services
Services of: water, electricity, sewer
Housing
Bathroom
have a doctor at the work site?
tell you the safety rules that should be followed in handling pesticides?
have a safety and hygiene commission?
have a first aid kit?
provide you with adequate clothes for the work?
provide you with any specialized equipment for carrying out the work if required?
inform you of any risk to your safety and health before beginning to work?
Yes
No
On the property or in the establishment where you went to

work, did your employer offer you access to
(Select with an X)
III.11. On the property or in the business or establishment where you went to work, did your employer
Other (Specify):
Long term
Short term
Which member of your

household accompanied you?
(Select with an X)
Less than 15 days
How long did you stay?

(Select with an X)
III. 10. In the region where you went to work
Yes
No
Doesnt know
Did your employer register you in the Social

Security System?
(Select with an X)
145
Yes
Company contracted by the employer

Does not know
Other (Specify):
On how to behave in the production unit
On the hazards on the property/establishment
Other (Specify):
Other
Aid 3
Aid from the government, specify
Aid 2
For the sale of assets (houses, facilities, machinery, etc.)
For the rent of assets (houses, facilities, machinery, etc.)
Aid 1
For rent of your land
In 20##, did you receive any additional income to the income generated by your own activities?
III.14. Now, tell me about the rest of your activities
Work materials
Other expenses? (Specify)
Meals
Yes
How often do you spend this?

(Record how often)
How often (Specify: 1 just once, every two weeks, monthly,

every two months, every six months, annually)
Monthly, every two months, quarterly, every six

months, annually

months, annually

months, annually
How much money did you receive?
How much did you spend the last time?

(Record the amount in local currency of the
expense remembered)
No
(Go to III.14)
Transportation
Expenses
Did you spend money on

Not very useful
Useful
Very useful
Do you consider that the training was:

(Select with an X)

months, annually
Personnel of the employer
Who provided it?

(Select with an X)
On how to do the work
What type of training?

(Select with an X)
III.13. In 20##, in order to carry out the work for which you were hired
(Select with an X)
No
(Go to III.13)
III.12. In the business or PU where you went to work, did you receive training before starting to work?
146
Other income

10
I used the savings I had
I worked more hours
I found another job
I did an additional activity that I had not done before
I sold a business
I received help from a family member or friend
I received aid from the government
I did not take any action
I sold an asset
Other (Specify):
I asked for a loan
IV.2. How did you face the event?
other. (Specify):
a serious illness or accident of a member of your household that required

hospitalization?
Select the answer with an X
death of a member of your household?
the loss of your farm assets?
the loss of your harvest or livestock production due to weather events?
the loss of your housing due to a fire, flood, hurricane, earthquake or other
natural disaster?
How much money

was needed to face
this situation?
Who in your household suffered such event?

(Death, illness, lost job, bankruptcy, etc.)
the bankruptcy of a business of the members of your household?
Yes
In what year
did this event
occur?
No
(Go to IV.3 )
Select with an X
the unemployment of a member of your household?
Event
IV.1. In the last four years, has your household been affected by
IV. SHOCKS ON THE FAMILY
147
The time for planting/fattening the animals was greater
I had to work as a day laborer elsewhere

- Another parcel
- Another region
- I migrated
I changed activity
$
$
$
$
$
$
$
Vegetables
Fruits
Meat
Beans and other cereals
Tortillas
Dairy
Other food
Item
V.1. In the last week:
F OO D
How much money?
148
V. HOUSEHOLD EXPENSES
Others (Specify):
How many times did you

eat?
I had to increase the hectares planted
How much did you spend?
I spent more in fertilizer
I stopped working
I spent more in pesticides
No
$
Yes
I spent more in seeds
Event
IV.3. In the last five seasons, due to bad weather you would say that: (Mark with an X)

$
$
$
Other household services (water, electricity, trash collection)
Gasoline and transportation
Fuel (gas, wood, coal)
$
$
$
$
$
$
$
Electronic devices (TV, radio, etc.) and home appliances (refrigerators, washing
machines, blender, etc.)
Furniture and utensils for the home (dishes, mattresses, etc.)
Real estate tax
Supplies, uniforms and other school expenses
Purchase of vehicles
Vehicle maintenance (tune-ups, replacement parts, oil, etc.)
Parties, vacations, other family events (including funerals)
Others (Specify):
Health and medical services
How much did you

spend?
How much did

you spend on the
following items?
Clothing and shoes for the family
Item
V.3. In the last year, how much did you spend on:
Telephone, cellular, telegraph, internet.
Others (Specify):
Item
Cleaning materials (home)
V.2. In the last month:
OTHER EXPENSES
149
Other (Specify):
Laminate
Ceiling
Other (Specify):
Earth
Mosaic
Cement
Floor
Preschool
Primary
Secondary
High School
Other (Specify):
Mobile health care
Public Health Center
Private Health Center
Other (Specify):
Education
services
Health clinic
No
None
Yes
None
Health services
Yes
No
Other (Specify):
Other (Specify):
Frequently
Three times a day
From 4 to 5
times a week
Every day
Twice a day
None
Public
transportation
services
From 2 to 3
times a week
No
Once a day
Yes
Yes
Telephone
Once a week
None
Potable water
service
VI.3. In the locality where you live, are there: (Indicate with an X)
Sewer
Other (Specify):
Separate
Attached
Inside the house
Is located:
No
Other (Specify):
Land line
Cellular phones
A booth and in
some houses
Only a booth
None
Yes
No
Other (Specify):
Separate
Attached
Infrastructure
Other (Specify):
Drainage system
A body of water
Public lighting
Highway
Yes
Other (Specify):
Latrine
Septic Tank
Flush toilet
Type
The bathroom
Roads
Inside the house
Is located:
Other (Specify):
Telephone service
Other (Specify):
Solar energy
Gas
Wood
Functions with:
The kitchen
No
150
Potable water
Electricity
Other (Specify):
More than three
Three
Two
One
Number of rooms
VI.2. The services you have in your house are: (Indicate with an X)
Other (Specify):
Adobe
Cane
Laminate
Palm
Wood
Stone
Wood
Slab
Brick/cement block
Walls
The primary construction material of the house is:
VI. 1. Information about the home of the household
VI. HOME AND LOCALITY CONDITIONS

The World Bank. Enterprise survey. Washington, DC.
The World Bank. Governance survey database. http://web.worldbank.org/WBSITE/EXTERNAL/TOPICS/EXTP
UBLICSECTORANDGOVERNANCE/0,,contentMDK:21817491~pagePK:148956~piPK:216618~theSitePK:286
305~isCURL:Y,00.html
151
152

153
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Program and project desigN

Tools for the design and

Results Based Public Management

Tools for the design and implementation of public rural development

Program and project desigN

Tools for the design and

Results Based Public Management

Tools for the design and implementation of public rural development

The designations employed and the presentation of material in this information

Program and project desigN

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

1.1 Stakeholder analysis-------------------------------------------------------------------------------------------------- 3

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

1.3 Dimensioning the problem- ----------------------------------------------------------------------------------------10

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

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

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

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

2.1 Identification of stakeholders in the Mexican rural and fishing sector-------------------------------------16

2.4 Identification of the potential population------------------------------------------------------------------------ 20

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

2.6 Relevant actors of the Mexican rural and fishing sector----------------------------------------------------- 24

2.7 Relevant problems in the Mexican rural and fishing sector------------------------------------------------- 30

Results Based Public Management

Tools for the design and implementation of public rural development

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

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

Policy Analysis Matrix (PAM)--------------------------------------------------------------------------------------------------- 42

Interview guide for high level officials------------------------------------------------------------------------------------------51

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

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

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

Survey by production strata----------------------------------------------------------------------------------------------------- 85

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

Survey for rural families--------------------------------------------------------------------------------------------------------- 137

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

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

Figure 5. Problem tree (alternative) on milk production in Trinidad and Tobago-------------------------------------- 9

Program and project desigN

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

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

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

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

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

Figure 18. Stratus E3: Rural Economic Units in transition---------------------------------------------------------------- 37

Figure 19. Stratus E4: Entrepreneurial with fragile profitability----------------------------------------------------------- 38

Figure 20. Stratus E5: Thriving entrepreneur-------------------------------------------------------------------------------- 38

Figure 21. Stratus E6: Dynamic Entrepreneur------------------------------------------------------------------------------- 39

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

Table 1. Stakeholder matrix---------------------------------------------------------------------------------------------------- 3

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

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

Results Based Public Management

Tools for the design and implementation of public rural development

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

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

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

Program and project desigN

Food and Agriculture Organization

Policy Analysis Matrix

Indicators Matrix for Results

Logical Framework Methodology

Ministry of Agriculture, Livestock, Rural Development, Fishing and Food