mr 72c - tanzania country study: field manual

8/14/2019 mR 72c - Tanzania Country Study: Field Manual

1/26

ANALYSISOFTHEINTEGRATIONOF

MSESINVALUECHAINS:

TANZANIA RESEARCH PROTOCOL

micro REPORT #72 APPENDIX C:FIELD MANUAL

July 2006


2/26

Tanzania Study Appendix C: Field Manual

TABLE OF CONTENTS

1. INTRODUCTION.................................................................................................................................... 11.1 CONTEXT FOR THE RESEARCH.................................................................................. 11.2 THE PURPOSE OF THIS MANUAL ................................................................................ 1

2. RESPONSIBILITIES ................................................................................................................................... 22.1 RESPONSIBILITIES OF SURVEY SUPERVISORS.......................................................... 22.2 RESPONSIBILITIES OF SURVEY TEAM LEADERS...................................................... 22.3 RESPONSIBILITIES OF SURVEY ENUMERATORS..................................................... 2

3. INTERVIEWING RESPONDENTS....................................................................................................... 43.1 PREPARING FOR THE INTERVIEW .............................................................................. 43.2 CONDUCTING THE INTERVIEW ................................................................................ 4

3.2.1 AT THE BEGINNING OF THE INTERVIEW................................................. 43.2.2 AT CONCLUSION OF THE INTERVIEW...................................................... 6

3.3 ASKING FOR REFERRALS ................................................................................................ 74. SELECTING AND LOCATING RESPONDENTS............................................................................ 8

4.1 OVERVIEW............................................................................................................................ 84.2 SAMPLING METHODS ...................................................................................................... 84.3 PRODUCER ASSOCIATION MEMBER SAMPLES .................................................. 9

4.3.1 MEMBER SAMPLE IN ARUSHA-MOSHI .......................................................... 94.3.2 MEMBER SAMPLE IN LUSHOTO....................................................................104.4 SAMPLES OF NON-MEMBER PRODUCERS.......................................................... 10

4.4.1 OVERVIEW OF RDS SAMPLING ....................................................................104.4.2 SELECTING INITIAL SEEDS..............................................................................104.4.3 NUMBER OF WAVES AND RESPONDENTS .............................................114.4.4 REFERRAL LOGISTICS.......................................................................................114.4.5 MANAGING WAVES AND TRACKING REFERRALS ..............................124.4.6 SUMMARY OF REFERRAL PROCEDURE .....................................................13

5. RECORDING RESPONSES TO SPECIFIC QUESTIONS.........................................14APPENDIX A. KEY TERMS AND DEFINITIONS................................................................................... 18

1. GENERAL VALUE CHAIN DEFINITIONS............................................................182. DEFINITIONS SPECIFIC TO TANZANIA AND HORTICULTURE..............20


3/26


1. INTRODUCTION

1.1 CONTEXT FOR THE RESEARCH

Many USAID programs have the two-fold objective of achieving improved economic growth, while atthe same time reducing poverty. One strategy for promoting broad-based economic growth is toharness the growth potential of large numbers of micro and small enterprises (MSEs) and integrate theminto productive value chains. The overall vision for the AMAP BDS Knowledge and Practice project isto promote the development of MSEs and to increase their participation in productive economic sectorsat the local, national, regional, and/or global levels. The focus of AMAPs Component A: Clients andMarkets is to better understand how MSEs are integrated into productive value chains and the effects ofthis integration on both MSEs and value chains. The outcome of this research will be important indeveloping a strategy to promote more effective linkages of MSEs into productive value chains. Theprimary focus of the research is to develop a better understanding of the following:

The factors influencing MSE owners decisions to participate in value chains and upgrade theirbusinesses in ways that enhance their competitiveness (i.e., real and perceived opportunities,barriers, risks, benefits, and costs).

The relationships between MSEs and other firms in the value chain. The effects of inter-firm relationships on the structure and competitiveness of the value chain.

Globally, the most lucrative cash crops are those grown for the export market. The Tanzanian valuechain for high-value export vegetables (HVEV) is relatively small and undeveloped. There are fewproducers, a tiny domestic market, and only two exporters. On the other hand, approximately 17% ofhouseholds1 are engaged in commercial vegetable production and many of these are located in thecooler highland areas, which are most suitable for growing HVEV. In addition, there is ample arable land

and water for irrigation in the appropriate agro-climatic areas. This value chain has been identified inseveral recent donor studies as having high potential for development.

This study focuses on the barriers and opportunities for MSEs in the horticultural sector, specificallylooking at the potential for MSE upgrading and participation in the HVEV market. The research alsolooks at the effects of social capital and trust, information, and income levels on business relationshipsand upgrading decisions. Preliminary fieldwork has provided considerable background information onthe horticulture value chain, the firms in this value chain, and how the firms relate to each other.

1.2 THE PURPOSE OF THIS MANUAL

This manual will serve as a reference for surveyors while they are in the field interviewing respondents.It is important that data be collected as carefully and completely as possible. Information collected onthe questionnaires will be coded and entered into a database where it will be analyzed to summarizefindings from the survey. Carefully collected and reported information is critical to avoiding biases and


4/26


2. RESPONSIBILITIES

2.1 RESPONSIBILITIES OF SURVEY SUPERVISORS

If you are a field survey supervisor you will:

1. Manage logistics of interview process.2. Number all the blank surveys with Control Numbers (1000 3000) prior to distribution to the

enumerator teams.

3. Ensure that the process of selecting members and non-members are understood and properlyexecuted by survey team leaders.

4. Review, code and inventory all questionnaires and send the questionnaires to Nairobi for codingand data entry on a weekly basis.

5. Communicate with Research International survey leader Michael Muindi on any problems orquestions that may arise with regard to the conduct of the field data collection.

2.2 RESPONSIBILITIES OF SURVEY TEAM LEADERS

If you are a survey team leader you will:

1. Direct the process of selecting respondents who are NOT members of the producerorganizations being studied.

2. Maintain lists of members, as well as non-member respondents and referrals to ensure there isno duplication of respondents.

3. Ensure that the non-member seeds chosen in each area meet the selection criteria.4. Organize and direct the work of the survey teams at the field sites in Arusha, Moshi or Lushoto.5. Direct the survey enumerators in conducting each wave of the respondent driven sampling

based on approved lists of initial seed farmers.

6. Manage funds for paying incentives to respondents for their participation and for makingreferrals of other farmers.

7. Review completed questionnaires to assure they have been filled in correctly and accurately.Work with field survey enumerators to correct any errors found in recording responses and

f b k d if


5/26


2. Follow instructions in this manual and from your field survey supervisor in selecting respondentsto be interviewed.

3. Conduct survey interviews either at the respondents place of work or residence or in alocation that will allow the respondent to give answers in privacy.

4. Provide payment of 5,000 Tsh to each respondent for their time and their help in identifyingother qualified respondents.

5. Obtain signed receipts for payments made to each respondent.6. Consult your supervisor when you have any questions or concerns about the questionnaire or

about methods of selecting respondents or collecting information.

7. Complete answers to all questions and make any corrections or additions as directed by yoursupervisor.


6/26


3. INTERVIEWING RESPONDENTS

3.1 PREPARING FOR THE INTERVIEW

Dress When interviewing, it is important to look professional at all times. Your dress should beappropriate and comfortable. Do not necessarily wear your best clothes, or clothes that would makeyou stand out (such as a business suit). Do not wear expensive jewelry that may make you appear to bemuch richer than the people that you are interviewing. Such considerations are important, and havebeen found to influence how comfortable people feel about being interviewed.

Supplies requiredBefore leaving for the field, check to make sure you have adequate supplies for thedays work. These supplies include:

1. A sufficient supply of questionnaires (bring extras)2. This Field Survey Interviewers Manual3. Identification documents and/or picture badge4. Referrals from previous waves where appropriate5. Information sheets on the survey study6. A clipboard7. Blue ballpoint pens8. A briefcase or bag to carry the questionnaires9. Any personal items you will need to be comfortable

Finding a Good Interview LocationTry to conduct the interview in a location that is private and wherethere are not many distractions. This could be a room in the house or business location, or outside atsome other location. It is important for the respondent to listen carefully during the interview, and if

you cannot find a suitable location to conduct the interview, try to set up a time in the future.

3.2 CONDUCTING THE INTERVIEW

3.2.1 AT THE BEGINNING OF THE INTERVIEW

Remember to build rapport with respondents. At the beginning of an interview, you and the respondentare strangers to each other. The respondent's first impression of you will influence his/her willingnessto cooperate with the survey. Be sure that your manner is always friendly.

1. Make a good first impressionWhen first approaching the respondent, do your best to makehim or her feel at ease. Open the interview with a smile and greeting such as "GoodAfternoon" and then proceed with introducing yourself and the purpose of your visit.

2. Always have a positive approachNever adopt an apologetic manner, and do not use wordsh "A b ?" "W ld f ?" "W ld d


7/26


Never mention other specific interviews or show completed questionnaires to otherinterviewers or supervisors in front of a respondent or any other person. Request honesty and

openness in the answers from the respondent.

4. Give the respondent the opportunity to ask questions before continuing with the interviewBefore agreeing to be interviewed, the respondent may ask you some questions about thesurvey or how she was selected to be interviewed. Be direct and pleasant when you answer.Answer any questions from the respondent frankly.

5. Explain that the purpose of the survey and researchis to better understand the opportunitiesand constraints for growth in the sub-sector, and that the questions will be related to their

business and the environment in which it operates. Indicate that a copy of the final report can besent to them.

6. Indicate that the interview will take approximately one hourask if the respondent has availablethat much time. If not indicate your willingness to return at another time if it is inconvenient forher to answer questions then.

7. Before starting the actual interview make sure you have already filled in the followinginformation Interviewer name; Date, time start interview; Location of interview; and How respondent was selected

8. Be neutral throughout the interviewMost people are polite and will tend to give answers thatthey think you want to hear. It is therefore very important that you remain absolutely neutral

as you ask the questions. Never, either by the expression on your face or by the tone of yourvoice, allow the respondent to think that he has given the "right" or "wrong" answer to thequestion. Never appear to approve or disapprove of any of the respondent's replies.

9. If the respondent gives an ambiguous answertry to probe in a neutral way, asking questionssuch as:

Can you explain a little more? I did not quite hear you, could you please tell me again? There is no hurry. Take a moment to think about it.

10.Never suggest answers to the respondentIf a respondent's answer is not relevant to aquestion, do not prompt him by saying something like "I suppose you mean that..... Is that right?"Rather, you should probe in such a manner that the respondent himself comes up with therelevant answer.


8/26


12.Handle hesitant respondents tactfullyIf the respondent is reluctant or unwilling to answer aquestion, try to overcome his or her reluctance by explaining that the same question is beingasked of business owners all over the country and that the answers will all be merged together.If he still refuses, simply write the code 999 next to the question and proceed as if nothinghad happened. If you have successfully completed the interview, you may try to obtain themissing information at the end but the respondent should not be forced to give an answer.

13.Do not make assumptionsYou should also be careful not to jump to conclusions based onprevious information. Do not assume the answer to any question based on your previousexperience with the way people behave or think.

14.Do not skip questionsDo not skip a question even when you think the answer if obvious.Some of the questions are purposefully overlapping in order to check for consistency inanswering.

15.Do not hurry the interviewAsk the questions slowly to ensure the respondent understandswhat he is being asked. After you have asked a question, pause and give him time to think. Ifthe respondent feels hurried or is not allowed to formulate his own opinion he may respondwith "I don't know" or give an inaccurate answer. If you feel the respondent is answering

without thinking, just to speed up the interview, say to the respondent, "There is no hurry.Your opinion is very important so consider your answers carefully."

16.Do not show the questionnaire to anyone, including the respondentYou must not show thequestionnaire to anyone, unless otherwise told to by your supervisor or field-editor. Forexample, sometimes a respondent may want to complete the questionnaire himself, or to read aquestion himself. It is important that you do not show the document to him. If respondentdoes request this, be polite but firm about your refusal.

17. If you are ever unsure, write out all of the respondents reply on the questionnaireAnythingout of the ordinary can also be noted on the front page in the comments box or in the marginsdirectly on the survey.

18.Write legiblyIt is important that those who will be entering the data from your survey candecipher what you have marked. Checks should be clearly within one box and not another. Ifyou are circling an item, be sure not to circle other items nearby.

3.2.2 AT CONCLUSION OF THE INTERVIEW

1. Say that the interview is now over and thank the respondent for their participation.2. Explain that an integral part of our research will be on the producers that their firm does

business with, and that we hope to understand better how they fit into the whole picture andhopefully think of ways that will strengthen the entire sub sector


9/26


Also check that you have followed the skip instructions correctly. You can make minorcorrections yourself, but if you made a big mistake, you should simply explain to the respondentthat you have made an error, and ask the question again.

4. Do not re-copy questionnaires. As long as the answers are clear and readable, it is notnecessary that the questionnaire itself be neat. Every time you transcribe the answers to a newquestionnaire, you increase the chance of an error. Record ALL information on thequestionnaires you have been provided.

5. If the respondent is non-member, obtain referrals. See instructions below in section 3.3.6. Give gratuity to respondent and obtain signature. The final step in every interview is to thank

the respondent sincerely and provide him or her with a gratuity of 5,000 Tsh in recognition oftheir time and effort contributed to the survey. Obtain the respondents signature to verify thatthe payment was received.

3.3 ASKING FOR REFERRALS

Each non-member respondent will be asked for three referrals. These referrals will be used to contact

the next wave of respondents.

1. Ask if they would be willing to provide the names of producers who grow and sell similar typesof vegetables that we can contact.

2. This producer should NOT live in the same household.3. Record the contact information for each producer.4. Prioritize the referrals according to the instructions in section 4.4 below.5. Accompany the respondent to meet the one or two top priority referrals and obtain their

agreement to be interviewed. Check for accurate spelling of the referrals names.

6. When the survey team leader indicates that it is time to begin the next wave, interview thereferrals.


10/26


4. SELECTING AND LOCATING RESPONDENTS

4.1 OVERVIEW

The producer surveys will collect data from smallholder producers of high-value export vegetables(HVEV) and producers of other commercial vegetables. The prospective respondents are owners orprincipal decision makers of smallholder farms in this value chain. The number of non-member farmersin each of the two regions is unknown, although there are probably more than 10,000 non-members ineach region according to the 2005 Tanzania Household Census.

The primary aim of the survey is to collect quantitative data that will be entered into a database, whichwill then be subjected to statistical analysis focused on the behavior of MSEs and their potential forgrowth. While certain questions are more qualitative in nature, such as describing what obstacles mightbe interfering with business, for the most part the survey focuses on collecting quantitative data that willbe entered into a database and analyzed statistically.

4.2 SAMPLING METHODS

A total of 1,978 smallholder vegetable farmers will be interviewed for this survey. The respondents willcome from two groups: members and non-members. Selection of the members and non-members will be based on different sampling methods:

1. Members will be selected using random sampling without replacement. Thesevegetable producers are members of the target associations of MIM, ULU, and Lishe Trust.

2. Non-members will be selected using respondent driven sampling (RDS). Thesevegetable producers grow vegetables in the same agro-climatic areas, but they are not membersof the target associations of MIM, ULU, and Lishe Trust. However, they may be members ofother producer associations.

TABLE 1. NUMBER OF RESPONDENTS TO BE INTERVIEWED IN THE FOUR SUB-SAMPLES

Members Non-members Totals

Arusha Moshi 425 564 989

Lushoto 425 564 989

Totals 850 1128 1978

Comparisons between the member and non-member samples will permit testing of hypotheses aboutthe extent to which opportunities to take advantage of different types of vertical linkages, and thebenefits that derive from those opportunities, are correlated with membership in different types ofproducer groups. The member and non-member samples will also be used to test hypotheses abouthorizontal linkages, especially the factors that encourage or discourage horizontal linkages, the benefitsof those linkages, and the effects of horizontal linkages on incentives for upgrading.


11/26


4.3 PRODUCER ASSOCIATION MEMBER SAMPLES

The member sample refers to farmers who belong to the target producer associations in twocultivation zones of the Northern Highlands: Arusha-Moshi and Lushoto. These cultivation zones havebeen chosen as the sites from which to sample as they have considerable potential to produce HVEV.For Arusha-Moshi, member producers belong to a producer association organized by the non-profitMarket Intermediary Management (MIM). The MIM has established producer association groups in sixareas and has connected these producers to an Arusha exporter (Gomba Estates Ltd.GEL). ForLushoto, there are two target producer associations: ULU and Lishe Trust.

The member samples have been randomly selected from membership lists provided by the associations.

The random selection took place in the US and at no time will the field survey teams be selecting surveyparticipants in the member sample. No household will be surveyed more than once. In the event thatthe selected households in the member sample are unable or unwilling to participate in the survey, theProject Director will randomly select replacement households and inform the field survey supervisors.Since these replacement households must come from the same association (i.e., specific MIMassociation, ULU, or Lishe Trust) as the originally selected respondents, it is important for field surveysupervisors to inform the Project Director immediately if any original respondents are not available toparticipate in the survey.

TABLE 2. NUMBER OF MEMBER FARMERS IN ARUSHA-MOSHI AND LUSHOTO AREAS

Region Approx.Number

Notes

Arusha-Moshi 706 Members are organized into 27 clubs in 6 associations This number does not count Midawe club 3 (suspended) or

Kimnyaki club 6 (incomplete)

Approximately 400 of these are experienced members whohave completed at least one season and and approximately 300 areinexperienced members who have not completed one season

Lushoto 521 303 farmers on active member list for ULU 218 on active member list for Lishe Trust

4.3.1 MEMBER SAMPLE IN ARUSHA-MOSHI

In the Arusha-Moshi area, there are 706 farmers currently affiliated with GEL. These farmers are

organized into 27 clubs and six associations. One club (Enaboishu Association club 4) participated in thepilot test of the questionnaire and has therefore been excluded from the survey. This leaves 656member farmers eligible for the survey.

A member sub-sample of 425 households in Lushoto-Moshi has been selected according to two groups:1. Midawe Association: All 101 members in the four active clubs of the Midawe Association


12/26


4.3.2 MEMBER SAMPLE IN LUSHOTO

A random sample of 425 members of ULU and Lishe Trust has been selected from the total of 521farmers who belong to these two associations.

4.4 SAMPLES OF NON-MEMBER PRODUCERS

The method of respondent-driven sampling (RDS) described below -- will be used to generate thenon-member sample. Farmers in the non-member sample do not belong to the target producerassociations (MIM associations, ULU, Lishe Trust), but they may belong to other types of farmer orproducer groups. The member and non-member samples should have the following characteristics in

common: 1) they all farm in the same agro-climatic zone; 2) their farms all employ fewer than 25 peopleduring the busiest season; and 3) they all produced and sold vegetables in the past 12 months.

4.4.1 OVERVIEW OF RDS SAMPLING

The RDS method involves starting with an initial set of interviewees (seeds). These seeds then recruitother respondents, who then recruit additional respondents. This process proceeds until completion ofa predetermined number of waves. Using information on the personal network size (as reported in thesurvey) and the recruitment pattern of referrals, it is possible to calculate unbiased estimates ofpopulation parameters and assess the representativeness of the final sample.

4.4.2 SELECTING INITIAL SEEDS

In order for the RDS sample to reach equilibrium quickly, it is important to choose a diverse set ofinitial seeds. Table 3 provides guidelines for selecting initial seeds in each region. Each region will bedivided into six locations. In ArushaMoshi, the six locations will correspond to the geographic reach ofthe six MIM associations. In Lushoto, the entire geographic region covered by ULU and Lishe Trust

should be subdivided into six locations that are roughly equivalent in the total number of smallholdervegetable farmers in each location.

Two initial seeds will be selected in each location. The initial seeds should meet three criteria:1. There should be one man and one woman;2. They should be geographically distant from each other; and3. They should represent two language groups, if more than one language is spoken in that

location.

Survey team leaders will be responsible for assuring that the initial seeds meet the guidelines, andsupervisors will review the completed surveys from the initial seeds to ensure the guidelines have beenmet before proceeding to the next wave.

TABLE 3. GUIDELINES FOR SELECTING DIVERSE INITIAL SEEDS WITHIN ONE LOCATION

Sex 1 man and 1 woman


13/26


4.4.3 NUMBER OF WAVES AND RESPONDENTS

Respondent driven sampling (RDS) requires that each household refers (i.e., provides the names for)three additional households for the next wave of sampling. Of the three referrals, only one or two willbe interviewed. In waves 1 and 2, two referrals will be selected and interviewed. In waves 3 through 6,only one referral will be selected from the three names. No referrals will be requested from therespondents in wave 7. The selection of the one or two referrals will follow a random processdescribed below.

TABLE AVES AND EFERRALS IN ON EMBER AMPLE IN ACH EGION4. W R N -M RDS S E R

Number of Waves Total Respondents

in Wave

Referrals per

Respondent

Cumulative # of

Respondents0 12 2 12

1 24 2 36

2 48 2 84

3 96 1 180

4 96 1 276

5 96 1 372

6 96 1 468

7 96 -- 564

4.4.4 REFERRAL LOGISTICS

Upon completion of the interview, non-member respondents will be asked to provide referrals for threesmallholder farmers who currently produce and sell vegetables. The interviewer will then record thecomplete referral contact information on a special page of the questionnaire.

To prioritize the referrals, the interviewer will conduct a randomization process. Each interviewer willbe provided with a six-sided die. The interviewer will roll the die two times. With the first roll of thedie, the interviewer will select the priority 1 referral:

A roll of 1 or 2 makes the first referral Priority 1 A roll of 2 or 3 makes the second referral Priority 1 A roll of 3 or 4 makes the third referral Priority 1

The interviewer will then record the adapted control number for the priority 1 referral. The adaptedcontrol number consists of the current respondents control number (found at the top of the page),followed by a hyphen and the numeral 1.

With the second roll of the die, the interviewer will select the priority 2 referral: A roll of 1 or 2 makes the first referral Priority 2 A roll of 2 or 3 makes the second referral Priority 2 A roll of 3 or 4 makes the third referral Priority 2

If the roll of the die again indicates the priority 1 referral, then the interviewer should continue to roll


14/26


interviewed. If the top priority producer(s) cannot be found, or do not agree to participate in thesurvey, then the next highest priority referral will be invited to participate. Enumerators should conductall interviews in private and not in the presence of referring producers.

The figure below illustrates how referrals are prioritized and adapted control numbers are assigned:

John is an initial seed. The initial seeds are part of wave 0. Johns control number is 1243. At the end of his interview, John provides referrals for three people: Mary, Michael, and James. The interviewer rolls the die and selects James as priority 1, Mary as priority 2, and Michael as

priority 3. Notice the adapted control numbers that are assigned to James, Mary, and Michael.

John takes the interviewer to meet James and Mary. When it is time to start wave 1, James andMary receive unique control numbers and are interviewed during wave 1.

James and Mary both provide three referrals. The adapted control number for James referralsis based on James unique control number plus the numerals 1, 2, or 3 to indicate priority.Similarly, the adapted control numbers for Marys referrals are based on Marys control number.

When it is time to start wave 2, the top two priority referrals for both James and Mary areinterviewed.

ILLUSTRATION OF REFERRAL PROCESS

Wave 0Initial SeedJohn

Control No. 1243

Johns referrals/Adapted Control No.Mary 1243 - 2Michael 1243 - 3

James 1243 - 1

Wave 1James

Control No. 1255

Wave 1

James referrals/Adapted Control No.Malcolm 1255 - 1Simon 1255 - 3

Kris 1255 - 2

Mary

Control No. 1276Marys referrals/Adapted Control No. Jane 1276 - 2Charles 1276 - 3

Ana 1276 - 1

4.4.5 MANAGING WAVES AND TRACKING REFERRALS

Tracking referrals and waves is absolutely critical to the RDS process, and Team Leaders will need tofollow all referrals very carefully. Since we are sampling without replacement, a household can bereferred only once, even if it is not selected for a survey. Once a household is referred, itshould not appear on any other referral list. The names and contact information for referrals should be


15/26


Referrals within one wave should all be completed before moving on to begin the interviews in the nextwave. For instance, in wave 1, if Respondent A is interviewed and refers Respondents B, C and D, andB and C are selected to be interviewed, then both B and C should be interviewed before any of Bs orCs referrals. In the example above, both James and Mary should be interviewed before any of James orMarys referrals are interviewed.

4.4.6 SUMMARY OF REFERRAL PROCEDURE

In summary, the procedure to be followed by enumerators is the following:

1. Complete an interview and ask the respondent for three referrals.2. Pay respondent 5,000 Tanzanian shillings for the interview after the respondent signs a payment

form.3. Prioritize the referrals based on the random selection process.4. Select the appropriate number of referrals, depending on the wave number (see table 4).5. Accompany the respondent to meet the referrals and secure their agreement to be interviewed

then or later. Verify the name and location information.6. Wait to interview the referrals until after your survey team leader has indicated that the

previous wave is completed and the next wave can begin.


16/26


5. RECORDING RESPONSES TO SPECIFIC QUESTIONS

General

The instructions in boxes are for the interviewer. There are two types of instructions:1. Instructions in the white boxes where it says Read should be read out loud to the

respondent.2. Instructions in grey boxes are directions for the interviewer and should not be read out

loud.

No answer boxes should be left empty. In the cases where:o The question is not applicable to the respondent, write 777.o The respondent does not know the answer, write 888.o The respondent refuses to answer, write 999.

Use instead of a 0 for zero, so that there is no confusion between 0, 6, and 9.Caution

Some of the respondents may not speak Kiswahili. Provisions must be made for

respondents who speak in other local languages.

Respondent Information (pages 1 and 2)

Fill in as much information about the respondent as possible before the interview. Complete the rest ofthe general information during the interview.

Questions 2 and 3 are for non-members only. Seeds will not have an adapted control number. Theadapted control number reflects the control number of the person who referred them and the prioritythe respondent received for being interviewed.

Section A: Background Information

Section A ensures that we are talking to the right kind of respondent, a smallholder farmer who grows

the vegetables in the relevant agro-climatic zone.

A.1 Explain fully at the beginning of the interview what is meant by vegetables. Interviewersshould name all of the vegetable crops listed in the question, speaking slowly. See the list of vegetablesused in this study on page 22 of this manual.


17/26


A.4 Vegetable crop cultivation is highly seasonal, with the most paid labor occurring during the 6-8weeks when the harvests are occurring. During this time, several day laborers may be employed. Thisquestion provides information on peak employment rather than average employment. Do NOT countother members of a producer group who help each other with harvesting and who may sell productswith the respondent, but who receive separate revenues.

A.9 and A.10 The respondent need not own or operate a computer to have access. Use of acomputer may be provided by a neighbor, producer association or service center and operated by arelative, friend or association employee. The purpose here is to determine if the respondent has theoption of using a computer for internet or e-mail messages and information.

Section B: Marketing Practices

The marketing practices section asks questions about how the respondent sells their vegetables and thedifferent types of buyers they sell to.

B.1 B.5 These answers should refer the type of person or firm to whom the respondent sold, not theeventual destination of the product.

B.1 B.2 Ask B.1 for all buyer categories listed first. If the answer to B.1 = 2, No for a buyercategory vegetable, skip B.2 and write 777 Question Not Applicable in the answer spaces.

B.6 The answers 1 - 8 should not be read. The interviewer should listen to the respondent and write itdown completely. The Team Leader will work with the interviewer to record the number of thestatement that most closely corresponds to the respondents answer.

Section C: Information About the Top Buyer

This section is about the Top Buyer. In Section B, the respondent identified their most important typeof buyer category. Of all the different buyers in this particular category, the Top Buyer is the singleindividual or firm that was most important to them. For example, from the list following B.2, they mayhave answered in B.3 that they sold most of their produce to Tanzanian intermediaries or brokers. Thesingle intermediary or broker that was most important to them is their Top Buyer.

C.9 C.12 These can be written or unwritten agreements. The important characteristic of an

agreement is that the buyer and seller reach an agreement (accord, understanding) prior to the deliveryof the vegetables.

Section D: Business Services

Section D asks questions about the different business development and training services that therespondent may receive from their buyers or other sources


18/26


Section E: Relationships Between Producers

This section asks questions about the activities, social capital and networks within producer groups. If a

respondent belongs to more than one producer group, then we would like information about a secondgroup. No respondent should provide information about more than two groups and they should beactive members of both those groups.

E.1 This question is a test to ensure that the respondent is belongs to the group indicated on page 1. Ifthere is an inconsistency in the response, i.e. they do not seem to belong to the group indicated at thebeginning, probe further. If the issue of membership cannot be resolved, or there was an error,continue with the survey, and bring this to the attention of the Team Leader.

E.2 E.23 are for members only, those who respond to E.1 with 1 8.

E. 24 For respondents who are non-members, they should answer E.1 = 9, None of the Above andthey should start on E. 24. If the non-member answers E.24 = 1, Yes then they should skip E.25A andB and go to question E.26.

For members, E.24 is about any additional producer group to which they might belong.

E. 25A and B If a member does not belong to a second group, ask questions 25A and B and got toSection F.

If a non-member answer E.24 = 2, No also ask questions E25A and B and go to section F.

E.46 E.66 is for non-members who belong to two producer groups only. Do not record informationfor members who may belong to a third group.

Section F: Upgrading Practices

Section F is about the respondents growing practices and knowledge about upgrading opportunities.

F.1-F.3: Ask F.1 for all vegetables listed first. If the answer to F.1 = 2, No for a vegetable, skip F.2and F.3 and write 777 Question Not Applicable in the answer spaces.

F.16 F.18 These questions should be answered in terms ofacres. The MIM association farmers use

hectares, so write down the hectares, but note the amount in acres in the answer box. 1 hectare =2.471 acres and 1 acre = 0.404685642 hectares.

F.16 If a piece of land was planted more than one time during the past 12 months, do NOT count itmultiple times. Count each piece of land only once.

Section G: Demographic and Household Information


19/26


G.2 These age ranges include those who have completed 15 years of age and range up to and includingthose who have completed 60 years of age.

G.4 If school is not in session at the time of the survey, then ask how many attended during the lastregular session.

G.6-G.11 Please read the instructions for the income questions very carefully. It is very important toask the income questions in two stages:

1ST STAGE: Probe very, very carefully to uncover all of the sources of income for all of the

members of the household in part A.

Probe carefully under each income category and list all sources of income in the first column ofthe table. Pause after probing for each income category to give respondent time to considerand list all income sources in that category. Provide examples for each category. Ask frequentlyif the respondent or other members of the household earned any other income in thatcategory.

Write each specific source of income in the lines below that category. For example, types ofCROP AND LIVESTOCK INCOME are avocados, bananas, coffee, eggs, cheese, chickens;SMALL BUSINESSES include making and selling doughnuts, home brew, corn grinding, buyingitems for resale, transportation services, hair dressing, etc.; and types of EMPLOYMENT areteacher, maid, day laborer, head load carrier, clerk, accountant, etc.

2ND STAGE: After all of the sources of income are listed in the table, go back and askpart Band C of each question together for each source of income.

G.6 Note that part B and C of question G.6 is in terms of seasons rather than the months used inquestions G.7 G.11. This is because income from crops comes in at the end of a growing season.

Producer Referrals

Referrals should be taken for non-member respondents only. Consult Section 3.3 and 4.4 of the FieldManual above for instructions on the compensation and referral process.

Gratitude

Please make sure that you record the end time of the interview and get the respondents signaturewhen they receive the 5,000 Tsh for participating.

Enumerator Observations


20/26


APPENDIX A. KEY TERMS AND DEFINITIONS

There are several terms and concepts used in the survey questionnaire with which field surveyors mustbe familiar. The following are definitions of these terms.

1. GENERAL VALUE CHAIN DEFINITIONS

Buyer Firms (Buyers): Firms that buy the product for resale, including firms that buy the productfrom MSE producers. Buyer firms may resell the product in national and/or international markets.These firms may also participate in activities at other levels of the value chain, including supplying raw

materials and production.

Governance: The patterns of vertical relationships between firms in a value chain, which arecharacterized by a) the level of control that one firm exercises over another and b) the flow ofinformation between firms. The three general types of governance, in order of increasing strength, arethe following:

Market Relationships: Arms-length transactions with little information exchange between firms.

Network Relationships: Some firms in the chain exert a degree of influence or control over theoperations of other firms, information flows between firms are more extensive, and suppliers supplyproducts according to buyers specifications.

Hierarchical Relationships: Value-added functions are vertically integrated under the ownershipof a single firm.

Horizontal Relationships: Market and non-market interactions between firms operating at the same

level of the value chain. Horizontal linkages among MSEs can take the form of formal or informal groups,as well as networks that are managed through a third party (e.g., lead firm, broker, trader). Similarly,cooperation among larger firms can be important for creating industry standards, developing marketingcampaigns or lobbying.

Household Economic Portfolio: This is the synchronization of the households full set ofproduction, consumption, and investment activities, given the set of available resources and the house-holds economic goals.

Input Suppliers: Firms that provide raw materials and inputs used in production.

Lead Firms: Firms that play central roles in the value chain and are involved in a significant percentageof total sector sales or value added. Because of their market share, they have an effective influence ongovernance patterns within the value chain and have incentives to invest in upgrading opportunities


21/26


Profits: Also known as net returns, these are the payments made to the firm for its products and/orservices (revenues) minus the firms cash and in-kind expenses (costs).

Retailers: Firms that sell the product to final consumers.

Risk Adjusted Return: Projected returns (profits) adjusted for risk of losses associated withinvestment and upgrading under conditions of uncertainty. The decisions maker evaluates discretealternatives on a set of attributes which are weighted to reflect the importance the decision makerplaces on each attribute (multiple attribute decision making).

Risks: These are the chances of incurring losses not only in terms of profits, but also in terms of assets,

household consumption flows, social capital, and business relationships.

Social capital: The institutions, relationships, attitudes, and values that govern interactions amongpeople; norms and networks that facilitate collective action. A high level of social capital is generallyseen as a positive asset, since it can lead to more productive communities through higher levels of trustand shared information, lower transaction costs, and greater networking. However, it is possible forsocial capital to divide a community and exclude outside groups.

Suppliers: Firms that sell the product to other firms.

Sustainability: This concept includes the implications of the decision for future income flows,continued market access, long-run opportunities, and future economic security.

Trust: Willingness to expose oneself to risk in a business agreement with another person or firm.

Transaction Costs: Non-price costs associated with a transaction, including the costs of gatheringinformation, the costs of negotiating a contract, and the costs of enforcing the terms of a contract.

Upgrading: Innovation that increases value added. There are five specific categories of upgrading:

Process upgrading is an increase in production efficiency, which results in either greateroutput for the same level of inputs or the same level of output from fewer inputs. Processupgrading reduces the cost of production and may be attributable to improved organization ofthe production process, such as better farm management, or by the use of an improvedtechnology, such as the use of drip irrigation compared to furrow irrigation.

Product upgrading is a qualitative improvement in the product that makes it more desirableto consumers, such as a more tasty or healthy vegetable. As used here, quality is definedvery broadly to include any extrinsic, intrinsic, tangible, or intangible changes that result in theproduct being able to command a higher final price.

Functional upgrading is the entry of a firm into a new higher value added level in the value


22/26


from its conception to its end use, including activities such as design, production, marketing, distribution,and support to the final consumer. The activities that comprise a value chain can be contained within asingle firm or divided among different firms. Value chain activities can be contained within a single

geographical location or spread over wider areas.

Vertical Relationships: Market and non-market interactions between firms operating at differentlevels of the value chain. Relationships between MSE producers and their buyers are an importantexample of vertical relationships. Vertical linkages are critical for moving a product from inception to themarket and for transferring benefits, learning and embedded technical, financial and business servicesfrom firms up the chain to firms down the chain or vice versa.

Wholesalers: Firms that do not produce the product and do not sell to the final consumer. In themost direct case, these firms buy from MSE producers and sell to retailers. Examples include exporters,distributors, brokers, and intermediaries.

2. DEFINITIONS SPECIFIC TO TANZANIA AND HORTICULTURE

BRC: British Retailer Consortium (BRC). The BRC is the lead trade association representing thewhole range of retailers, from the large multiples and department stores through to independents. In1998 the BRC developed and introduced the BRC Food Technical Standard to be used to evaluatemanufacturers of retailers own brand food products. The majority of UK and Scandinavian retailers willonly consider business with suppliers who have gained certification to the appropriate BRC GlobalStandard.

Brokers: Firms that operate at the wholesale level in the domestic market channel. Brokers receiveproducts from suppliers on consignment and resell the products at the wholesale level (e.g., to wetmarket intermediaries) or at the retail level. Brokers pay the suppliers (usually farmers) after theproducts are sold and the brokers costs plus fees are deducted. Unsold products are returned to

suppliers. Brokers can be observed in Kariakoo market (Dar es Salaam), where farmers bring produceto brokers drop-off points.

Certification: A validation process, usually performed by a third-party authorized certificationindividual or agency, indicating that specific practices are being followed with respect to SPS, organicproduction practices, labor practices, environmental practices, bioterrorism security measures, etc.

Channel Natural Irrigation: Gravity-based natural (channel) irrigation is used only inmountainous areas. Water flowing down the mountain is diverted into a system of channels that can beopened or blocked to flow into selected fields. When a farmers field is receiving water, he or she usesa hoe to open and close temporary rivulets to reach all of the crops in the field. This is more efficientthan furrow and pan irrigation, but still leads to high levels of soil and nutrient loss. Note that this typeof irrigation requires group action. The group maintains the main channels and selects a captainwhose job it is to select the irrigation schedule (who gets water on which days).


23/26


farmers. Distributors usually provide retailers with a full range of fruit and vegetables, so they maysupplement locally grown products by importing products from countries in the region, such as Kenyaand South Africa.

Drip Irrigation: The most efficient irrigation method is drip irrigation. Once it is installed it does notrequire much labor input. It conserves water and results in very low soil and nutrient loss as well asreducing moisture-related plant diseases). Drip irrigation is very expensive to install.

EurepGAP: EurepGAP started in 1997 as an initiative of retailers belonging to the Euro-RetailerProduce Working Group (EUREP). It has subsequently evolved into an equal partnership of agriculturalproducers and their retail customers to develop widely accepted standards and procedures for the

global certification of Good Agricultural Practices (GAP). EurepGAP was driven by the desire toreassure consumers. Following food safety scares such as BSE (mad cow disease), pesticide concerns andthe rapid introduction of GM foods consumers throughout the world are asking how food is produced;and they need re-assuring that it is both safe and sustainable.

Exporters: Firms that sell to buyers outside of Tanzania.

Foreign Distributors: Firms located outside of Tanzania that buy from Tanzanian exporters or fromEuropean wholesalers and sell to supermarkets in the UK and Europe.

Furrow and Pan Irrigation: The most common type of irrigation used by smallholder commercialvegetable producers. It involves using a pan to manually throw water from irrigation ditches to crops.It has low efficiency due to high labor input and high evaporation levels.

Good Agricultural Practices (GAP): GAP are guidelines, generally established at the national level,to ensure a clean and safe working environment for all employees while eliminating the potential forcontamination of food products. GAP addresses issues of site selection, adjacent land use, fertilizer

usage, water sourcing and usage, pest control and pesticide monitoring, harvesting practices (includingworker hygiene, packaging storage, field sanitation and product transportation) and cooler operations.

High Value Export Vegetables (HVEV): For the purpose of this study, HVEV are defined as agroup of vegetables that share similar production and market characteristics: snow peas, sugar snappeas, French green beans, baby corn, baby carrots, patty pan squashes, baby leeks, broccoli, cauliflower,and zucchini. These vegetables are typically grown in higher altitude, temperate (cool climate) zones andhave export potential. Most of these vegetables are not traditionally consumed by the Tanzanianpopulation.

A table listing the commonly grown Tanzanian vegetables is found on the next page, along with theirnames in Kiswahili. The high value export vegetables are highlighted in blue. Many of the Kiswahiliterms regularly used are a pigeon of the English name, as many of these vegetables are new to the areaand do not have traditional names. This is especially true of the less traditional HVEV, for whichsmallholders commonly use the English names (e g snow peas sugar snap peas)


24/26


List of Vegetables Grown in the Northern Highlands of Tanzania

English Term Kswahili Term

Amaranths Muchicha/Mnavu

Baby Carrots Karoti changa

Baby Corn Mahindi changa

Beans (dry) Maharagwe

Beet Root Viazi vya kungeza damu

Bell Peppers Pili pili hoho

Broccoli Brokoli

Brussel Sprout

Cabbage Kabeji

Cachucha Peppers Pili pili mbuzi

Carrots Karoti

Cauliflower Kobi maua

Celery Selari

Chinese vegetables Chinese

Collards Sukuma wiki

Corn Mahindi

Cucumber Tango

Eggplant (Brinjal) BiringanyaFrench Green Beans Maharage machanga

Garden Peas Njegere

Green Beans Uwalu / green beani / ngeleshi

Hot Peppers (long) Pili pili kali

Leeks Kitunguu / Liki

Lettuce Saladi / Lettuci

Okra Bamia

Onion KitunguuParsley Paseli

Patti Pan Squashes Maboga

Pigeon Peas Mbaazi

Potatoes (Irish) Viazi mviringo

Red cabbage Kabeji nyekundu

Snow Peas Njegere

Squash Maboga

Sugar Snap Peas NjegereSweet peppers Pili pili tamu

Sweet potatoes Viazi vitamu

Tomatoes Nya nya

Turnips Balungi

Zucchini/Baby Marrow Mamunya


25/26


Medium and Large Vegetable Farmer: Farmers who grow and sell vegetables, with a totalcultivated area of more than 10 acres or 4 hectares.

Packing House: A plant for processing and packaging vegetables.

Producer Groups: Producers groups are associations, cooperatives, or clubs of producers that have aspecific commercial mission such as aggregating for sales or transport, growing for specific retailers,achieving economies of scale, sharing best practices, financing, etc.

Sanitary and Phyto-Sanitary Standards (SPS): Requirements and preferences related toprotecting the health and safety of the consumer. These include the absence of harmful chemical

residues and microbiological contaminants (e.g., E. coli). Some of the more important sanitary andphyto-sanitary standards for exports are the EUREPGAP standard, for export to the EU, and the BRCstandards, for export to the UK.

Smallholder Commercial Vegetable Farmers: Farmers who grow and normally sell vegetables,with a total cultivated area of 10 acres (4 hectares) or less at any time.2

Wet Markets: Traditional market places, usually open-air, in which both wholesale and retail salesoccur. At the wholesale level, farmers, brokers, and intermediaries sell their products to other

intermediaries or to retail vendors. At the retail level, market vendors sell to final consumers. Wetmarkets can be found throughout Tanzania, with the larger markets near population centers or tradehubs. The largest wet market in Tanzania is Kariakoo market in Dar es Salaam. Also in Dar es Salaamare two smaller wet markets that specialize in high-value vegetables and cater to the foreign residentsand resident minority populations (i.e., Indian, Chinese and European): Kisutu and Kinondoni TX.

.


26/26


WHOLESALE

DISTRIBUTORS

(importers)

NATIONAL: DOMESTIC MARKETS INTERNATIONAL: EXPORT MARKETS

APPENDIX B: TANZANIA HIGH VALUE VEGETABLES VALUE CHAIN MAP

RETAIL

PRODUCTION

INPUTS

INTERMEDIARY

OR

COOPERATIVE

SOCIETIES

EXPORTERS

FARMERS (small, medium, and large)

AND FARMER ASSOCIATIONS

STOCKISTS

WET MARKETINTERMEDIARIES

DISTRIBUTORS

DISTRIBUTORS

WET MARKETRETAIL VENDORS

HOSPITALITYINDUSTRY

SUPERMARKETS &SMALL SHOPS

SUPERMARKETS

OUTSIDE TANZANIA

BROKERS

WHOLESALERS

(importers)

INTERMEDIARIES

Outside Tanzania

Inside Tanzania

mr 72c - tanzania country study: field manual

Documents