Project proposal. Developing value-chain linkages to improve smallholder cassava production systems in Vietnam and Indonesia AGB/2012/078

Transcription

1 Project proposal project Developing value-chain linkages to improve smallholder cassava production systems in Vietnam and project number AGB/2012/078 proposal phase Full Proposal prepared by Jonathan Newby, Rob Cramb, Dominic Smith, Tin Maung Aye research program manager Rodd Dyer

2 Privacy statement ACIAR, as a Commonwealth government agency, is required to comply with the thirteen Australian Privacy Principles as set out in Schedule 1 of the Privacy Act The personal information provided in this project proposal (CVs and contact details) is stored in electronic format by ACIAR. The information is reproduced internally for the purpose of meetings to consider project proposals and the names, contact details and CVs of all project members included in this proposal may be shared with external project reviewers as part of the project development cycle. It also forms part of the contract documentation exchanged with the commissioned organisation, collaborating institution(s) and partner-country government(s). The names and contact details of Project Leaders may be listed with project details on the ACIAR web site, provided to other databases and media in the context of briefings and publicity on the ACIAR project portfolio, and used for mail-outs of ACIAR corporate publications. ACIAR endeavours to keep this information as up to date as possible, with the assistance of the individuals whose details are recorded. ACIAR does not divulge any other personal information to third parties for any other purpose. Page ii

3 Contents 1 Project outline Funding request Key contacts Project summary Justification Partner country and Australian research and development issues and priorities Research and/or development strategy and relationship to other ACIAR investments and other donor activities Objectives Planned impacts and adoption pathways Scientific impacts Capacity impacts Community impacts Communication and dissemination activities Operations Methodology Activities and outputs/milestones Project personnel Intellectual property and other regulatory compliance Travel table Appendix A: Intellectual property register Administrative details Categories of intellectual property and brief description Foreground, background and third party Intellectual Property Appendix B: Budget Appendix C: Supporting documentation Appendix D: Communication and dissemination checklist Page iii

4 1 Project outline Project number Project title ACIAR program area Proposal stage Commissioned organisation Project type Geographic region(s) Country(s) Project duration AGB/2012/078 Developing value-chain linkages to enhance the adoption of profitable and sustainable cassava production systems in Vietnam and Agribusiness Full Proposal The University of Queensland Large Southeast Asia Vietnam and 4 years Proposed start date 1 January 2016 Proposed finish date 31 December 2019 Time to impact Category 1: impact likely within 5 years of conclusion of the investment 1.1 Funding request Project Term Financial Year Payment Amounts A$ Totals A$ (F/Y ) Pay 1 165, ,000 Year 1 Pay 2 133,473 (F/Y ) 300,000 Pay 3 166,526 Year 2 Pay 4 155,937 (F/Y ) 327,624 Pay 5 171,687 Year 3 Pay 6 152,252 (F/Y ) 334,323 Pay 7 182,072 Year 4 (F/Y ) Pay 8 173, ,045 Total 1,299,992 1,299, Key contacts Project leader: Australian commissioned organisation / commissioned IARC Title and name Position Organisation Professor Rob Cramb Dr Dominic Smith Professor of Agricultural Development Senior Research Fellow The University of Queensland Phone (+61) (Mob ) Fax Postal address Street address (if different to postal) r.cramb@uq.edu.au d.smith1@uq.edu.au School of Agriculture and Food Sciences, The University of Queensland, Qld 4072 Slip Road, Hartley Teakle Building, School of Agriculture and Food Sciences, The University of Queensland, QLD 4072 Page 4

5 Administrative Contact: Australian commissioned organisation / commissioned IARC Title and name Position Organisation Mr Ian Harris Phone Fax Postal address Street address (if different to postal) Director, Research and Postgraduate Studies The University of Queensland i.harris@research.uq.edu.au School of Agriculture and Food Sciences, The University of Queensland, Qld 4072 Slip Road, Hartley Teakle Building, School of Agriculture and Food Sciences, The University of Queensland, QLD 4072 Collaborating scientist: Australian collaborating organisation / collaborating IARC Title and name Position Organisation Dr Jonathan Newby Phone Fax Postal address Street address (if different to postal) Project coordinator: Vietnam Title and name Position Organisation Research Scientist, Cassava and DAPA CIAT (Centro Internacional de Agricultura Tropical) j.newby@cgiar.org CIAT Asia Regional Office, Agricultural Genetics Institute, Pham Van Dong, Tu Liem, Hanoi, Vietnam As above Dr. Pham Thi Sen Head, Research Planning and International Cooperation NOMAFSI Phone +84 (0) Postal address Street address (if different to postal) Project coordinator: Title and name Position Organisation phamthisenprc@yahoo.com Phu Ho Commune, Phu Tho Town, Phu Tho Province As above Prof. Dr. Wani Hadi Utomo Phone Fax Professor - Agriculture / Soil Science Universitas Brawijaya, Malang hadi_utomo@hotmail.com Postal address Jl. Veteran, Malang Street address (if different to postal) As above Page 5

6 Collaborating scientist: partner country collaborating organisation - Vietnam Title and name Position Organisation Dr. Nguyen Van Nam Lecturer, Agronomy and Plant protection Tay Nguyen University Phone Postal address Street address (if different to postal) ngvannamdhtn@gmail.com 567 Le Duan - Buon Ma Thuot - Dak Lak As above Page 6

7 1.3 Project summary The research context Throughout Southeast Asia, cassava (Manihot esculenta Crantz) is an increasingly important crop in terms of both rural livelihoods and regional economic development. Cassava production in most of Southeast Asia is a largely commercial activity to meet the rapidly growing regional demand for animal feed, starch products, and biofuel. The market outlook for cassava, and hence the prospects for smallholder producers, are strongly linked to supply and demand in global starch, grain, and energy markets. Nevertheless, cassava remains an important food-security crop in specific sub-regions. Vietnam grows over 500,000 ha of cassava, generating over USD 1 billion per year in export earnings, making it the world s second largest exporter of cassava products (starch and dried chips)., on the other hand, cultivates over 1,000,000 ha of cassava but remains the second largest importer of cassava starch in the world. The problem Despite its current economic importance, the sustainability of the industry is under increasing pressure from a number of endogenous and exogenous factors, including soil erosion, declining soil fertility, emerging pests and diseases, and increasing labour costs. Furthermore, while the global demand is strong it is highly variable due to connections with several global commodity markets, exposing farmers to considerable risk. Infrastructure and logistics problems also significantly impact the sector. The opportunity Given its agronomic robustness, cassava production is well suited to resource-poor farmers living in marginal upland areas, who often belong to ethnic minority groups. Its cultivation provides an important source of cash income for these upland households, contributing to their food security and livelihoods. Despite growing in marginal conditions, the crop responds well to improved management, and significant yield gaps have been identified both within and between regions. The cultivation of cassava offers a profitable livelihood opportunity, provided it is managed sustainably and farmers are adequately linked to both input and output markets. Over the last decade, various on-farm technologies have been developed to address many of the issues facing the crop, including improved industrial varieties, fertility management recommendations, integrated pest management, intercropping systems, and clean-seed approaches. However, there has been differential adoption of these technologies. Understanding the incentives for and constraints to adoption is critical to developing a sustainable smallholder sector. The SRA on which this proposal is based (AGB ) found large variation in the adoption of technologies in different production and marketing systems, with varying incentives for value-chain actors to engage in technology dissemination in the absence of strong government extension programs. Hence new impact pathways need to be developed to ensure these research outputs lead to development outcomes and impact. Developing improved value-chain linkages, nuanced to suit local conditions, has the potential to increase the adoption of cassava technologies and thereby enhance smallholder livelihoods. In both countries there are considerable opportunities to increase the productivity, profitability, and sustainability of the industry through enhanced value-chain linkages (between researchers, governments, industry, and farmers) that assist in the dissemination and adoption of improved technologies. Research questions Three broad research questions arise from this analysis: (1) What are the opportunities and constraints facing smallholder production and marketing of cassava within different value chains in Vietnam and? (2) Can the adoption of improved cassava technologies be increased by developing agribusiness models to better link primary value-chain actors (farmers, traders, processors) and support actors (researchers, government agencies, industry bodies)? (3) How can such agribusiness models be disseminated and supported within the Southeast Asian region? Page 7

8 Aim and objectives The overall aim of this project is to increase the profitability and sustainability of smallholder cassava production in Vietnam and by developing effective linkages between value-chain actors to increase the adoption of improved technologies. To achieve this, the project seeks to: (1) assess opportunities and constraints for smallholder production and marketing of cassava in different agro-economic settings, especially access to extension services; (2) increase the adoption of improved cassava production and processing technologies by strengthening linkages between primary valuechain actors (farmers, traders, processors) and with support actors (researchers, government agencies); (3) develop policy recommendations and facilitate a dialogue on the opportunities for the development of the cassava industry and improvement in rural livelihoods through improved agribusiness arrangements. Methods The project will involve a combination of rural livelihoods analysis, agrarian systems analysis, and value-chain analysis, supported by capacity building activities and demonstration trials. Activities will be developed in consultation with government and industry stakeholders. The project will introduce technological and institutional innovations through proof-of-concept activities with stakeholders. Trials will be used for participatory evaluation and also to identify agribusiness opportunities for value-chain actors. Industry partners have been identified in case-study sites in each country to collaborate in the research program as key next users of research outputs. Through developing strong industry partnerships, the project will reach over 4,000 smallholder farmers, with successful models having potential relevance to cassava-producing regions and other value-chains throughout Asia. Policy research and stakeholder dialogues will be used to address constraints to the development of a profitable and sustainable smallholder sector. This will help develop solutions at the local scale and enable lessons to be shared with other regions through regional partnerships. Partnerships and linkages The project is well aligned with country priorities of sustainable industry development, rural livelihood enhancement and poverty alleviation, and sustainable use of natural resources. Formal partnerships will be developed between the University of Queensland, International Centre for Tropical Agriculture (CIAT), national universities including Tay Nguyen University (Vietnam) and Brawijaya University (), and national research centres, including NOMAFSI (Vietnam) and ILETRI/ICFORD (). The project will also involve local extension agencies (DARD in Vietnam and BPTP in and community extension officers) in activities to increase their experience and linkages to cassava researchers, industry actors, and farmers. The project will also focus on increasing the capacity of other value-chain actors who are identified as key to the sustainability of the approach and maintaining linkages beyond the project. The project is also linked to several current and proposed ACIAR projects in the region, including the regional projects ASEM/2014/053 (Evaluating cassava-based farming and marketing systems to enhance smallholder livelihoods in Cambodia, Lao PDR and Burma) and SMCM/2014/049 (Profitable and sustainable maize-based farming systems for the sloping lands in the Mekong Region). There will be continued liaison with an IFAD-funded project in which SNV and CIAT are developing Inclusive Business Models (IBM) in the cassava industry in several Southeast Asian countries. The project is mapped to the CGIAR CRP, Roots, Tubers and Banana (RTB). The project is also strongly related to additional CRPs including Humid Tropics (HT) and Policy Institutions and Markets (PIM). In Vietnam, both Provinces are part of the Humid Tropic Action Areas where R4D platforms are being established. This will enable strong synergies, with outcomes of the research from the project feeding into these regional platforms and adding to the global analysis. At the same time, the project will also benefit from global analysis and expertise. The project will consult with researcher and industry representatives in both China and Thailand and involve them in project meetings to present industry and policy developments in the major markets. Page 8

9 2 Justification 2.1 Partner country and Australian research and development issues and priorities The production, processing and use of cassava in Southeast Asia constitute a highly complex value chain that is undergoing rapid development. Globally, cassava is the world s seventh most important food crop in terms of area planted, but ranked third in the tropics. While traditionally a subsistence crop, cassava has become a very important cash crop in Southeast Asia in terms of smallholder income and rural livelihoods, with significant contributions to regional and national economies. The global trade in cassava products (starch and dried cassava) has increased substantially in recent years and is now valued at around USD 3.79 billion annually (Fig. 1). Both production and consumption of traded cassava are concentrated in Asia, which accounts for over 95% of global exports. Value of cassava exports (Billion USD) Manioc (cassava) starch Manioc (cassava), fresh or dried Fig. 1 Global trade in cassava (fresh or dried) and cassava starch (Source: Comtrade) The market outlook for cassava remains strong, but is now coupled to the volatile energy market, with biofuel mandates changing regional market dynamics. This coupling has increased the connections to other commodity markets, notably for maize and sugarcane, where cassava is a substitute in both production (competing for land) and in a range of starch and feed commodity markets. As such, the future of the regional cassava market is heavily influenced by external factors, including agricultural policies for a wide range of commodities, especially Chinese policies impacting on the domestic maize sector. Unlike carbohydrates grown for direct consumption, cassava in Asia is a normal economic good with a positive income elasticity of demand. As such, there has been a rapid increase in demand linked to the consumption of starch-based products (including sweeteners, paper and cardboard, and processed foods). The increased competition for feedstock has seen an upward trend in prices in the region, but with an increased level of fluctuation around this trend, in part related to the potential for product substitution with other starchy crops mentioned above. This creates opportunities and risk for smallholders. Vietnam currently grows over 500,000 ha of cassava, generating over USD 1 billion per year in export earnings, making it the world s second largest exporter of cassava products Page 9

10 (starch and dried chips)., on the other hand, cultivates over 1,000,000 ha of cassava but remains the second largest importer of cassava starch in the world (Figs. 2-4 in Appendix E). Both countries feature several different agroecological zones with significant variations in climate, impacting on both production and marketing opportunities (Figs. 6-9 in Appendix E). Hence the opportunities and incentives for sustainable private and public sector involvement in technology transfer vary considerably. Cassava has been an ideal crop for resource-poor farmers, which has made it an important activity for local livelihood development, provided farmers have options to manage the yield and price risks. However, in both countries it has attracted limited government investment relative to other crops and continues to face concerns over environmental sustainability. The livelihoods of producers and the environmental and economic sustainability of the industry are under increasing pressure from a number of internal and exogenous factors: changing global, regional, and national trade and market policies related to starch, feed and biofuel (for cassava and substitutes such as maize and sugarcane); infrastructure problems reducing the competiveness of regions in the global market; soil erosion and decline in soil fertility in areas where the crop is not managed appropriately; emerging pests and diseases throughout Southeast Asia; rising labour costs and difficulty in mechanising the production system; continued underinvestment in cassava development by private and public institutions, relative to other crops such as maize. The increase in demand for feedstock has also seen production move into more fragile landscapes, typically without the adoption of best management practices. This is leading to concern regarding the environmental impact of the cassava boom, particularly in Vietnam. Thus the Government of Vietnam is seeking to maintain or reduce the current production area, while investing in research and development efforts toward productivity gains. In there is also a strong focus on increasing productivity. With cultivated area in decline in the traditional zones of Java, expansion into new areas (including the eastern province of Nusa Tenggara Timor (NTT)) is considered possible but presents a range of trade-offs in terms of food security and environmental outcomes. In both Vietnam and, interest in developing the biofuel sector will create additional opportunities for smallholders but also add to the concern over sustainability if expansion is not well managed. The demand for biofuel also adds to the competition for feedstock between the food and the industrial sectors. The adoption of improved technologies is therefore vital to meeting the growing demand for cassava and ensuring the sustainability of the sector and of the resource base. Consultations in and Vietnam as part of the SRA on which this proposal is based (AGB ) revealed that both governments recognise that solutions to increasing productivity need to be market driven, with the private sector playing an important role in linking technologies to farmers. There have been high levels of adoption of particular technologies (e.g., new varieties) in some locations and value-chains. However, identifying and evaluating new agribusiness models to increase the adoption of improved technologies is important to ensure research outcomes translate into development impacts and that the benefits are shared within the community. Stakeholder consultations also emphasised the need for adoption of technologies to address land degradation in poorly managed systems while improving smallholder incomes and reducing risks. However, the incentives for private sector involvement vary considerably in the different production and value-chain settings. Hence the respective roles of the private and public sectors need to be considered across a typology of technologies in these different production and marketing settings. The available technologies that can potentially be tested in the project sites include improved varieties and a range of improved crop and soil management practices as described in R.H. Howeler, Sustainable Soil and Crop Management of Cassava in Asia. Cali: CIAT, 2014 and R.H. Howeler and T.M. Aye, Sustainable Management of Cassava in Page 10

11 Asia: From Research to Practice. Cali: CIAT, The adoption of new varieties and improved practices has markedly contributed to the increase in average yields of cassava in Southeast Asia from about 12 t/ha in 1984 to 21 t/ha in 2013, hence there is an expectation that these include best-bet technologies for the project sites and beyond. However, it has become clear that progress in developing improved varieties and crop and soil management practices in the project sites has been constrained by limited use of standard evaluation and demonstration trials for the selection of the best adapted varieties and practices with local famers. CIAT in conjunction with national breeding programs in Southeast Asia has developed at least 45 new higher-yielding varieties which are now planted on more than 50% of cassavagrowing areas. On-farm research in the region has resulted in the identification of highyielding and high-starch varieties as well as early bulking varieties. Some released varieties have high yield potential - more than 50 t fresh root/ha with % starch content. The list of released cassava varieties in Howeler and Aye (2014) gives a brief account of their characteristics and management to address issues of low yield, pests, diseases, and environmental stress. Improved varieties are thus available for testing and adoption in cassava-growing areas of Burma, Cambodia, Laos, and Vietnam. There are also proven management practices that are available for testing, adaptation, and uptake in the project sites. Crop management practices include selection of good planting materials, improved tillage practices, fertilizer application methods, soil fertility management and erosion control, efficient weed control, pest and disease management, and the proper use of improved cassava varieties within the context of existing farming systems. Regarding soil management, thousands of short- and long-term fertilizer trials conducted in Asia have indicated that the response to particular nutrients depends on the original fertility of the soil and may also change over time. Balanced application of N, P, and K mineral fertilizers has increased root yields by 50 to 100 % in many areas and even more in very poor soils. The root starch content has also increased with the application of increased N, P, and K, but most markedly with additional K application. A combination of 100 kg N, 20 kg P and 120 kg K per ha plus returning plant tops has achieved cassava root yields of up to 40 t/ha in many places without declining soil fertility. Previous research has also found that planting contour hedgerows (e.g., Paspalum atratum) is usually most effective in reducing erosion by slowing run-off and trapping eroded sediments. The project is well-aligned with the Australian Government s new aid strategy, which focuses on two development outcomes: supporting private sector development and strengthening human development. In particular, it will contribute to two of the aid program s 10 strategic targets: #2 Engaging the private sector exploring innovative ways to promote private sector growth and engage the private sector in achieving development outcomes ; #3 Reducing poverty promoting economic growth in ways that provide pathways out of poverty. While the project is not engaging in gender transformative research, as implied in #4 Empowering women and girls, the project will be supported by the RTB Gender Specialist to provide a gender lens on the analysis to ensure outputs are gender responsive. The regional nature of the project will provide a basis for comparing gender norms in cassava production and marketing between locations. 2.2 Research and/or development strategy and relationship to other ACIAR investments and other donor activities The research strategy in this project is to focus on smallholder cassava in and Vietnam two large, dynamic, and rapidly-growing economies in Southeast Asia with different histories of government and private-sector involvement in agricultural and rural development but in both of which cassava production has been experiencing rapid change, largely through the activities of smallholders. Various cassava value chains have emerged, linking smallholders to global markets and crucially influencing livelihood outcomes, but these are still poorly understood. Governments in both countries want to increase Page 11

12 smallholder productivity and improve livelihoods, while protecting the resource base, but conventional state-based research and extension approaches have had limited impact. There is a backlog of cassava technologies that are potentially suitable to different locations within the two countries. These could be extended to farmers but need testing and demonstrating in specific agroeconomic zones. Furthermore, impact pathways for new technologies and information products (particularly for pest and disease management) need to be evaluated in these different settings. Governments and development agencies are now emphasising the potential role of private-sector partnerships in achieving such rural development objectives. The working hypothesis of the project is that there are incentives for cassava value-chain actors to work together to increase productivity and sustainability through the adoption of improved practices. In particular, agribusiness firms investing capital in processing facilities have a strong incentive to expand and maintain the supply of feedstock from the surrounding region. If farmers yields are low and fluctuating and at risk of declining over time due to soil degradation, it is in the processor s interest to help promote improved varieties, better nutrient management, soil conservation, and pest and disease control. This will help to sustain an optimal throughput and reduce the processor s costs and risks. However, if there are several processors in a region, there is also an incentive to free-ride on the efforts of others unless actors can be assured of sharing the costs and benefits of industry development. The project will thus explore the potential for promoting adoption of a range of improved technologies (production, processing, resource management) in various cassava value chains by involving and linking primary value chain actors (farmers, traders, processors) and support actors (researchers, government agencies, industry bodies). The incentives for the involvement of private-sector actors will vary between the different technologies, production locations, and value-chain settings. The project has not selected the main processing regions of Lampung () and Tay Ninh (Vietnam) as intervention sites, given the large number of processing firms (Figs. 10 and 11). The strategy is to first test the potential for private-sector involvement in sites with fewer market actors, where the rewards to individual processors from investing in increased productivity of smallholders are more secure. Subsequently, the evidence from these sites can be provided to stakeholders in areas with a larger number of industry actors, where it is expected that a higher level of collective action would be needed to overcome the freerider problem (i.e., why should one processor invest when other processors will reap much of the benefits). This collective action may be achievable, for example, through a selfimposed local industry levy, once the business case is established. There are three broad technologies that will be the focus of the research new varieties, soil and nutrient management, and pest and disease control. The rationale behind the choice of these technologies is that (a) there is a backlog of research outputs from CIAT and national research partners that provides suitable options for testing and demonstration in the case-study sites and (b) these technologies address the major issues facing smallholders in the two countries, namely, low yields, soil degradation, pests and diseases, and the risk that the industry is unsustainable. Thus the project provides an opportunity to develop new impact pathways for CGIAR and national research systems by linking this research with the interests of actors along the different value chains. The project fits well with the current goals of ACIAR and the CGIAR. ACIAR's principal goals are to reduce food insecurity, improve rural livelihoods, and care for the natural resource base for agriculture. Similarly, the new CGIAR Strategy and Results Framework define four system-level outcomes: reduction in poverty, increased global food security, improvement of nutrition, and better management of natural resources. The focus of this project fits well with both these sets of goals. A more sustainable and profitable cassava production sector, linked to a viable and supportive processing sector, will reduce poverty and improve the livelihoods of smallholder cassava producers, as well as the buyers, collectors, and workforce linked to processing. The adoption of soil management practices will contribute to environmental outcomes within and beyond the farm boundary. Partnerships with private Page 12

13 sector actors are important to the success of the project; however, the nature of these partnerships needs to be evaluated in terms of their ability to deliver economic, social, and environmental benefits. Locating the project in and Vietnam creates the opportunity for a regional approach, with important technical and policy lessons shared between these countries. While the production of cassava is dominated by smallholders in Vietnam and, the rapidly expanding market has seen fierce competition for feedstock, resulting in foreign direct investment and the granting of large land concessions in the emerging economies of Lao PDR, Cambodia, and Burma. Through a partnership with another project in these countries (ASEM ), the project provides the opportunity to explore the wider regional aspects of trade in cassava products and alternative policies to develop the industry and support smallholder livelihoods. This is not only relevant for cassava but for the production and marketing of other commodities such as maize, sugarcane, rubber, oil palm, and small-scale forestry. A proposed regional project concentrating on profitable and sustainable maize-based farming systems on sloping lands in the Mekong (Vietnam, Lao PDR, and Burma) also presents the opportunity to compare the two interrelated commodities. In many cases, farmers are choosing between maize and cassava production as their major source of income. The cassava project is anticipated to have several national partners in common with the maize project in Vietnam, and where appropriate could share field sites and activities for example in Mai Son District of Son La Province. This may include comparative trials to compare the economics of maize and cassava with farmers, common household surveys, and common policy dialogues. The maize project will undertake value chain analyses for maize and also for a number of potential intercrops and rotation crops all of which will provide valuable information to inform the participatory processes under the cassava project. The project will also provide opportunities to inform projects working on livestock feeding and feed value chains in both and the Mekong region, e.g., research on livestock feeding systems in Lampung (), as part of LPS/2008/038. The latter project has suggested there could be benefits in developing partnerships between cattle fatteners, the starch factory, and other cassava producers. Improved utilisation of by-products also reduces environmental concerns stemming from residue management. CIAT and SNV have been collaborating on developing Inclusive Business Models (IBM) in the cassava industry in Vietnam, Laos, and Cambodia funded by IFAD. The project has demonstrated that having existing technologies that lift the productivity of farmers and the profitability for value-chain actors is the major entry point. These can be adapted through local testing together with farmers and value-chain actors. Furthermore, given the strong competition for feedstock, forming farmer groups for the purpose of increasing farmers bargaining position in price negotiations is usually not effective. In the absence of new technologies, forming farmer groups is seen as largely unsustainable and difficult to replicate outside a project. This project has also shown the need to build the capacity of value-chain actors through the life of the project and avoid dependence on ongoing project resources and crowding out of private-sector activities. The CGIAR Research Programs (CRPs) are leading to a more programmatic approach within and between the CGIAR centres and their partners. Of particular interest in the cassava sector is the Roots, Tubers, and Bananas (RTB) CRP, for which CIAT is leading the work on breeding cassava varieties, cassava agronomy, and in the area of pests and diseases in Asia. Research on the utilisation of cassava and cassava residues in pig systems in Vietnam may also be applicable in areas of eastern where smallholders are already keeping pigs and utilising cassava. The project will be mapped to the RTB CRP (Appendix F) and specifically contribute to Theme 6 (Post harvest technologies, value chains, and market opportunities) and the cross cutting Theme 7 (Enhancing impact through partnerships). The project will liaise with Page 13

14 Themes 3 (Managing priority pest and disease), Theme 4 (Making available high-quality planting material) and Theme 5 (Development of tools for more productive, ecologically robust cropping systems) to identify proven technologies that can be tested with farmers and other value-chain actors. Similarly, the CRP on Policies, Institutions, and Markets (PIM), in which CIAT is active in the component linking farmers to markets, can add value to many of the activities undertaken as part of the project. Another CRP that will help efforts to understand and improve cassava production, marketing, and processing is the Climate Change, Agriculture, and Food Security (CCAFS) CRP in which climate scenarios for cassava are being investigated. Finally, the Humid Tropics (HT) CRP has two action area sites working in the two project provinces in Vietnam. Humid Tropics is developing research for development (R4D) platforms in these sites that will provide a useful forum for research outputs generated from the ACIAR cassava project. It also provides an opportunity to share survey data and other research results. Page 14

15 3 Objectives The overall aim of this project is to increase the profitability and sustainability of smallholder cassava production in Vietnam and by developing effective linkages between value-chain actors to increase the adoption of improved technologies. This implies three research questions which link to the three project objectives: What are the opportunities and constraints facing smallholder production and marketing of cassava within different value chains in Vietnam and, including incentives and drivers for adoption of sustainable farming systems? Can the adoption of improved cassava technologies be increased by developing agribusiness models to better link primary value-chain actors (farmers, traders, processors) and support actors (researchers, government and non-government agencies, industry bodies)? How can such agribusiness models be disseminated and supported within the region? Objective 1 Assess opportunities and constraints for smallholder production and marketing of cassava within different value chains 1.1 Understand the macro-level drivers for the development of the cassava industry including changing market and policy arrangements for cassava (starch, feed, chips) and substitutes (e.g., maize, potato, and sugar) and the potential benefits and risks to valuechain actors 1.2 Conduct training in value-chain methodologies, economic analysis and gender analysis 1.3 Map the relationship between primary value-chain actors and supporting services in different agro-economic settings, including how information moves along the value chain and how benefits are shared 1.4 Conduct a diagnostic analysis of current cassava production systems in different agroeconomic settings, including adoption of varieties, management of planting material, soil and nutrient management, pest and disease management, intercropping, labour utilisation by gender, and farm-level risk 1.5 Assess the impact of alternative agribusiness arrangements on the flow of information and materials and the distribution of benefits within and between cassava-producing communities, with particular focus on poor households, ethnic minorities, and women Objective 2 Increase the adoption of improved cassava production and processing technologies by strengthening linkages between primary value-chain actors (farmers, traders, processors) and with support actors (researchers, government agencies, industry bodies) 2.1 Conduct training in improved cassava practices, demonstration trials, and participatory research methods, including public sector extension services (where present) 2.2 Conduct participatory evaluation of new varieties, soil and nutrient management, pest and disease management, and intercropping with farmers and industry stakeholders, with a focus on short- and long-term economic impacts 2.3 Identify opportunities for on-farm improvement and commercial production of clean planting material 2.4 Investigate opportunities to communicate information on pest and disease management to farmers through value-chain actors 2.5 Conduct participatory evaluation of soil management practices (including intercropping) 2.6 Evaluate opportunities for value-chain actors to promote adoption of appropriate fertiliser regimes Page 15

16 Objective 3 Develop policy recommendations and facilitate learning alliances for the development of a sustainable cassava industry and improvement in rural livelihoods through improved agribusiness arrangements 3.1 Understand existing local and national policies and priorities and implications for scaling out research outcomes 3.2 Facilitate dialogue between stakeholders (industry associations, government policy makers from key departments, farmers and researchers) to inform provincial planning and policies aimed at supporting industry development and smallholder livelihoods 3.3 Promote learning alliances between national partners and industry associations to share lessons from the project and inform national policy 3.4 Develop policy briefs based on the project that have relevance to smallholder commodity production within the Southeast Asian region 3.5 Facilitate a Southeast Asian workshop on opportunities to support smallholder livelihoods and improve cassava value chains Page 16

17 4 Planned impacts and adoption pathways 4.1 Overview Impact pathway analysis indicates how the project activities are expected to influence agricultural development objectives. The project outputs will be (a) a diagnostic analysis of smallholder cassava production and marketing in different agro-economic settings and value chains; (b) locally-adapted and assessed cassava technologies with the potential to contribute to improved smallholder livelihoods in those settings; (c) documented agribusiness models that link value-chain actors in the dissemination of improved technologies; (d) improved capacities of project partners to facilitate, analyse, and disseminate these agribusiness models. The outcomes measures of technical and institutional change induced by the project outputs that are conditional on broader processes of agricultural innovation will be wider adoption of improved cassava technologies, increased capacity of value-chain actors to work together in identifying, evaluating, and promoting improved technologies, and an improved evidence-base for policies and programs in support of cassava smallholders and associated agribusiness firms. The next users of the project outputs will thus be relevant agribusiness firms, industry groups, and government research, extension, and policy agencies. The project outputs will be shared with these users in the course of the project through research and policy briefs, targeted communication with provincial policy-makers and planners, and the development of learning alliances between national partners and industry stakeholders to continue the process of innovation and adoption. The cassava smallholders in the study sites will also be next users of the information and technologies generated by the project. The final users will be cassava smallholders in other locations who benefit from the wider adoption of agribusiness models and supportive policies and the consequent dissemination of improved technologies. The impacts measures of social, economic, and environmental change that are influenced by broader processes of agricultural development will be widespread increases in the profitability and sustainability of smallholder cassava production in Vietnam and and a consequent improvement in rural livelihoods. The project will assess the risks and other external factors potentially disrupting these beneficial impacts, including market and yield risks. It will also examine potential unintended effects, such as impacts on women and children or the exclusion of marginal producers from contractual agreements with traders and processors. 4.2 Scientific impacts Significant scientific knowledge about smallholder cassava production and marketing will be generated through this project that can be scaled out to other regions and countries. There will also be findings relevant to other sectors where supported smallholder systems are an alternative to large-scale concessions or plantation arrangements (e.g., sugarcane, rubber, oil palm, eucalyptus). Specifically, the project will generate knowledge regarding the following issues and questions: What are the impacts of the cassava boom on the livelihoods of smallholder farmers? How are benefits and risks shared within the community and between value-chain actors? How does the economics of recommended technologies vary in different agroeconomic settings? How does this influence the relative advantage of technologies and their rate of adoption? How does this affect farmers willingness to pay for improved planting material and invest in soil management? Page 17

18 What are the opportunities and constraints to working with value-chain actors to increase the adoption of technologies in different production and processing settings? How can more effective impact pathways be developed in regions with different levels of government support through partnerships with the private sector? How do alternative agribusiness models affect the economic, social, and environmental impacts of cassava production? What is the role of policy to balance these outcomes? How can governments work to support smallholder livelihoods and industry development? How does improvement in the efficiency and profitability of the processing sectors impact the derived demand for feedstock and adoption of production technologies? These research outputs will be published in multi-disciplinary international journals with a focus on rural livelihoods, value-chain development, and rural development. 4.3 Capacity impacts The partnership between international researchers from UQ and CIAT and local partners will increase local capacity in five main areas: Rural livelihoods and agrarian systems analysis Value-chain analysis and agribusiness development Variety dispersal and clean-seed systems Soil fertility management and managing erosion on sloping lands Policy analysis and dialogue The targets for capacity building include staff and students at local universities, notably Tay Nguyen University (Vietnam) and Brawijaya University (), and national research centres including NOMAFSI (Vietnam), ILETRI (), and ICFORD (). The project will also include local extension agencies (DARD, BPTP, and community extension officers) in activities to increase their experience in establishing demonstration trials on the main cassava technologies. There is significant variation in the level of local extension capacity across the proposed sites, with cassava not always a priority crop. Therefore the project will have a strong focus on increasing the capacity of other valuechain actors in their knowledge of cassava management as key next users. This includes both processing factories and intermediaries who link farmers to markets. In each country, training will be conducted in Year 1 by national and international experts, with technical support provided for the remaining period during the establishment of trials and participatory evaluations. 4.4 Community impacts Economic impacts Working with industry and government partners, the project seeks to increase the adoption of technologies by at least 4,000 smallholder farmers by the end of the project. This will have significant economic impacts at the farm, local, and national scales. In some cases this will lead to large increases in productivity (up to 50%). For example, a trader interviewed in North Sumatra who purchases from around 100 farmers estimated that the average yield from his source region was only t/ha. According to national statistics, the average yield for the province as a whole is 32 t/ha, which is thought to more closely reflect the best yields rather than the average. The factory identified in the SRA as a potential project participant (Bumi Sari Prima) has around 30 large traders sourcing from around 3,000 ha of smallholdings and is currently operating at only 50-60% capacity. Working with the factory and the trader network to increase the adoption of improved practices will lead to substantial benefits for all value-chain actors. A modest 5t/ha increase in yields across the 3,000 ha is valued at around AUD 1.2 million p.a. Page 18

19 In NTT maize remains the main staple, followed by cassava, but cassava is increasingly been grown as a cash crop and exported to Java as dried chips, with processed final products (modified cassava flour (MOCAF), starch, snack foods) returning to NTT. Several companies are currently investigating investing in processing within NTT. Reported average cassava yields are relatively low (10-12 t/ha), but these are typically traditional varieties grown as an intercrop with maize and legumes. However, the price for traditional varieties tends to be higher than introduced industrial varieties (IDR 400/kg versus IDR 1,000/kg in 2014). Focus groups in Sikka District estimated that around 40% of gross cash income in the field comes from cassava. A 5t/ha increase in the yield of traditional varieties is valued at around AUD 500/ha but larger yield increases are possible if industrial varieties are planted. There are around 10,000 ha of cassava in the two identified districts on the island of Flores (Fig. 12). Reaching 2,000 farmers (2,000ha) is estimated to generate benefits at the farm level of over AUD 1 million p.a. Additional employment and income is expected to be generated in the harvesting and processing of the additional cassava produced. The project will evaluate the economic and social trade-offs involved in the commercialisation of the farming system, including exposure of rural households to risk. Furthermore, there are opportunities through working with farmers, traders, and processors to create value and employment within the value chain. The project also has an important role to play in ensuring important information regarding emerging pests and diseases is distributed to value-chain actors who are moving planting material from Java and Lampung to NTT. Changes in fertility management will increase incomes through use of better types of fertiliser (with improved nutrient balance), and optimal timing and placement of fertiliser. For example, analysis in some regions has shown a 600% return on investment through improved fertility management, although there remains low utilisation. Working with valuechain actors to alleviate the constraints to adoption again has the potential for significant economic benefits to smallholders. Risk management strategies for smallholders will also be explored. In other cases, the impact will be in terms of avoided losses due to yield reduction. Farmers in some areas of Dak Lak have reported that cassava yields have fallen by 30% in only a few seasons due to inadequate soil and nutrient management. Soil erosion control measures are expected to be the most challenging technologies to be trialled given that the benefits may only accrue in the medium term. Therefore, the focus will be on conservation cropping systems that also offer a short-term benefit. This will mean that strong market connections will be required for intercrops. However, attention will need to be paid to the returns to labour in these systems, given that labour costs have doubled over the past 5 years in some of the case-study sites. Current yields in the target districts in Dak Lak are around 20t/ha. A 30% decline in yields is valued at AUD 650/ha (VND 1,800/ha). There are over 30,000 ha of cassava grown in Dak Lak, with over 11,000 ha in the Ea Kar and Krong Bong Districts in which the factories identified in the SRA are located. In Son La Province there are over 28,000 ha of cassava grown for a variety of value chains, with the selected districts representing over 10,000 ha. Avoided losses due to emerging pests and diseases will be another project benefit. Yield loss due to cassava mealybugs has been reported to reach 84% in some areas. There is less known about Cassava Witches Broom, but initial estimates place yield losses at 10-15%, with a further 25-30% loss in starch content. However, heavy infections have seen 100% losses. Adoption of pest and disease management practices will thus have a substantial impact on household incomes and ensure stable feedstock for the industry. Research is currently being conducted into clean-seed systems (leading to certified planting material at the farm level), but there is limited knowledge of farmers willingness to pay for planting material. The project will provide important analysis of the business case for different models. Page 19

20 4.4.2 Social impacts Cassava production is well suited to resource-poor farmers living in marginal upland areas, often belonging to so-called ethnic minority groups. The project will seek to ensure that marginal communities remain supported relative to other areas with better links to services. A strong focus of the research is to evaluate the social impacts of various agribusiness models. The question is whether private-sector actors only have an incentive to support better-resourced smallholders in more favourable areas, or whether agribusiness models can be developed that are genuinely pro-poor. This aspect will be closely monitored within the project. Given the wide socio-economic differences between the four project sites, the value-chain analysis will capture and contrast the gender norms throughout the value chain. The household livelihood surveys will be gender disaggregated to allow comparison between male and female respondents. Other important socio-economic characteristics beyond gender (particularly ethnicity) will be included in this analysis to capture the variations between and within the case study locations. Labour productivity is a key criterion that will be used in the analysis of trials. Gender analysis of labour inputs will be conducted to ensure that increased labour requirements do not place an additional burden on women or children but rather create better livelihood opportunities for all household members. The sites also offer an opportunity to explore how ethnicity impacts on the adoption of technologies and the relationships between value-chain actors. From interviews during the SRA, it became apparent that some factories use different business models in different supply zones, based on social factors. Policy dialogues grounded in evidence from the case-study regions in Vietnam and may contribute to shift away from large-scale land concessions in the region that have disadvantaged rural households to supported smallholder schemes with more equitable outcomes Environmental impacts Cassava is often cultivated on poor and degraded soil because it has the capacity to generate higher income relative to most other crops. As such, cassava has a poor reputation association with soil and land degradation. The project has a strong focus on improving the sustainability of cassava production through the adoption of soil and land management practices. The association with an ACIAR project on maize production on sloping lands will enable comparisons between the two cropping systems and shared lessons. The project also seeks to examine the extent to which agribusiness actors in different value chains have an incentive to support the adoption of these practices relative to other technologies. If private-sector involvement can be enhanced, there is scope to make a significant environmental impact. Page 20

21 4.5 Communication and dissemination activities Project communication and stakeholder engagement The philosophy of the project is to keep stakeholders engaged throughout the project and foster lasting networks. The inception meeting will bring together researchers, government agencies, industry, and farmer representatives to discuss the project. Objective 3 seeks to establish and maintain stakeholder engagement and dialogue at local, national, and international scales. Industry exchanges will be carried out in which processors and traders are taken to other areas (within their own country and potentially overseas) to discuss successes in linking with farmers. The project will also engage with the national cassava industry associations (VICAAS and ICAS) to participate in workshops so as to disseminate information and lessons beyond the target provinces. Project staff will be involved in regional and international workshops and conferences where the lessons can be shared more broadly. Local government agencies, such as DARD in Vietnam and BPTP in, will be consulted during the life of project and invited to participate in project field days and meetings. During the SRA local government stakeholders outlined their expectations of the project. These include an analysis of the role of cassava in the livelihoods of farmers in their region to enable lobbying for resources and support; information on local supply and demand to assist in better planning of sustainable cassava development; information on threats and sustainable production practices; and, methods to support linkages between farmers and value-chain actors. While not formal partners of the project, lead collaborating institutions have budget allocated to allow for their continuing involvement. Where needed, they will be contracted to assist in maintaining field activities between visits of project staff. However, the objective of the project is to avoid these local agencies being dependent on project support that will conclude at the end of the project. Having said this, there may be opportunities identified in which private sector actor have an incentive to work in collaboration with (or support) public sector involvement. Furthermore, there may be specific value-chains or production settings in which ongoing support by the public sector is identified due to lack on incentive for private sector involvement. The project has identified several next users of research outputs at a variety of scales, with different information needs (Table 1). At the local scale, value-chain actors (including processors and traders) and the local government are the main next users of research outputs. The project will identify various technologies, business models and policies that are appropriate to support the development of eco-efficient cassava value-chain. Ecoefficient value chains are efficient and profitable, sustainable and resilient, and inclusive of the community, particularly poor farmers, ethnic minorities, and women. At the national scale, the evidence of these studies is targeted at the industry associations and national policy makers. The successful models will be presented and opportunities for out-scaling developed. The final set of next users are Donors, NGOs and the research organisations. Research outputs will allow for better targeting during project design and implementation, as well as helping to set new priorities for R&D. Page 21

22 Table 1 Information needs, research outcomes, development outcomes and impact Next users Information needs of next user Research Outcome Intermediate development outcome (IDO) Impact Processors and traders Available technologies that increase the productivity of smallholder farmers and increase profitability of value chain actor. Potential threats to cassava in their feedstock zone and technologies to avoid losses Opportunities and risks of providing inputs to farmers Private sector partner aware of opportunities and constraints (risk) of involvement in the dissemination of different technologies across various production and value-chain settings. Value-chain actors more proactive in disseminating technologies to smallholder farmers Increased adoption of improved technologies through improved value chain linkages Productivity of smallholders cassava improves whist increasing the profitability and income stability of farmers, traders and processors Local government Role of cassava in livelihoods and economic development of the Province Appropriate local policies to support cassava sector planning and development Local Government aware of current situation regarding the importance of cassava for rural livelihoods and economic development communicated Local government, private sector and farmer representatives in order discuss problems, opportunities and set priorities and targets Enhanced policies at the local level to support the development of eco-efficient cassava value chains Regional economic development and employment Improved environmental sustainability of cassava production Improved food security 1 Industry association Market trends and trajectories Industry association in greater position to lobby governments for support for the industry based on evidence. Enabling national policy environment developed to support the development of ecoefficient cassava value chains 1 The role of cassava in food security will vary between project sites with variations in the importance for direct consumption and source of cash income Page 22

23 National government Role of cassava in livelihoods and economic development at national scale Successful models to increase the adoption of proven cassava technologies Potential policies to support sustainable development of the industry Appropriate private-public partnerships identified for scaling out technologies through industry associations National government use grounded evidence in the development of national cassava strategy to support smallholders in the cassava sector Partnerships developed to support the scaling out of successful models Donors Appropriate areas of private sector involvement for increasing the adoption of technologies Methods for out-scaling technologies beyond project sites Donors have access information on opportunities and limitation of developing value chain linkages to support sustainable smallholder sector (World Bank, IFAD, DFAT) Improved targeting and collaboration between private sector and public sector partners Improved program development based on evidence NGOs Appropriate technologies for profitable and sustainable cassava production Appropriate areas of private sector involvement for increasing the adoption of technologies NGOs support smallholder cassava farmers using appropriate technologies and partnerships Research organisations and RTB Effective impact pathways for technologies being developed as part of RTB including the targeting of private and public next users Appropriate next users identified in different technologies and settings Constraints to adoption identified based for various technologies and new research priorities identified NA Page 23

24 4.5.2 Internal project communication Managing the internal project communication will occur through the following. Each year a country-level annual meeting will be held to present research findings and plan for the subsequent year. At alternate annual meetings a representative from the other country will attend to report on activities in that country. A newsletter of project activities will be developed to keep partners informed of upcoming events and research outcomes. This will be published at least 4 times per year. A website will be established for sharing information internally and with external parties. To limit the costs of communication, web-based communication software will be utilised (Webex, Skype, Adobe meeting). The project will communicate through existing international platforms as those of CIAT, GCP-21, and RTB, all of which have common interests with the project. Page 24

25 5 Operations 5.1 Methodology Research approach The project will explore the potential for promoting adoption of a range of improved technologies (production, processing, resource management) in various cassava value chains by involving and linking primary value-chain actors (farmers, traders, processors) and support actors (researchers, government agencies, industry bodies). As indicated in Section 2.2, the working hypothesis is that there are incentives for value-chain actors to work together to increase productivity and sustainability through the adoption of improved practices. This requires a multiple case-study approach in which mixed methods are used to understand the various processes at work and to experiment with alternative arrangements appropriate to each context. Hence the project will establish action-research sites in two regions of each country which represent various production, processing and marketing systems (Table 2). These are the provinces of Sumatra Utara and Nusa Tenggara Timur (particularly Flores) in ; and Dak Lak (and neighbouring Dak Nong) and Son La in Vietnam. These are major smallholder production sites in which the issues identified above are clearly evident. Between them these sites cover different value chains including large and medium dry starch (for various end uses, including animal feed), dry chip (industry), dry chip (food), local ethanol, snack food, and fresh food markets. The sites also differ in terms of the number and types of processing factories, with likely impacts on the incentives and transaction costs involved in mobilising agribusiness support for smallholder improvement. In each site, a private-sector partner has been identified during the SRA to assist in identifying traders and source regions where smallholder cassava production is a significant contributor to rural livelihoods. The project is not limited to these initial contacts, however, and will seek to involve other actors in the site selection process and subsequent activities. Table 2. Characteristics of cassava value chains in study provinces Province Dak Lak (Vietnam) Son La (Vietnam) North Sumatra () NTT () Area of cassava (ha) Average fresh yield (t/ha) Main industries 25, Starch Ethanol Dry chips (industrial + animal feed) 28, Starch Dry chips (industrial + animal feed) 47, Starch Snack food 79, Fresh market Dry chip (gaplek) Number of factories 5 starch 1 ethanol (Dak Nong) 1 starch 9 starch 8 non-starch Investment in mocaf and smallscale starch Within these case-study sites a range of conventional quantitative and qualitative techniques will be used, drawn from the repertoires of rural livelihoods analysis, agrarian Page 25

26 systems analysis, and value-chain analysis. The aim of these analyses will be to understand the livelihood resources, strategies, and trajectories of cassava-based smallholders, the influence of the wider agrarian system on the opportunities and constraints faced by these smallholders (e.g., access to land, capacity for collective action, exposure to risk), and the attributes and incentive structures of the other actors in the cassava value chain(s) in each site (input suppliers, traders, processors). These analyses will rely on structured and semistructured face-to-face interviews with individual actors, small groups, and key informants along the value chain. The importance of gender and ethnicity will be an important area of analysis in each of these activities with data collected to allow gender disaggregation. In addition to these analyses, the project will use an action research approach to experiment with new arrangements to choose, adapt, and promote better cassava technologies, centred on demonstration trials, field days, and participatory evaluations by primary valuechain actors. By exploring options and incentives for agribusiness involvement in demonstrating and otherwise fostering adoption of available technologies, the project will develop linkages between primary actors in the value chain (e.g., farmers and processors) and support actors (e.g., researchers and processors). The participatory evaluation of demonstration trials will help to assess the relative advantage and trialability of the technologies under local conditions and livelihood strategies. As these new arrangements for technology adaptation and promotion are tested, viable models for agribusiness involvement in improving the profitability and sustainability of smallholder farming systems will be identified and described for a wider audience of end users. The surveys will also provide a baseline for subsequent evaluation of localised, short-term project impacts. There will be no imposition of a control group as such; rather, evaluation will be based on before-after comparisons of farmers in the baseline survey, interpreted through their articulated reasons for adoption or non-adoption of identified practices and other concurrent changes in their goals and circumstances (Cramb and Purcell 2001). However, villages surveyed for Objective 1 but not directly included in project activities for Objective 2 will provide a kind of control or reference group, though no technologies or services will be withheld from interested parties in this group. Indeed, the aim of the project is to develop the action-research sites as nodes of diffusion, hence to encourage wider interactions among value-chain actors across the study regions. For example, surveys in Vietnam will take place in around 4 communes in each of the 4 selected districts. The project will establish demonstrations in only a subset of communes that are selected together with private and public sector stakeholders Research methods The specific methods to be used relate to the three research questions presented in Section 3. What are the opportunities and constraints facing smallholder production and marketing of cassava within different value chains in Vietnam and? 1.1 A desktop review will be undertaken of information on global and national cassava production, utilisation and trade, with particular reference to the main substitutes in production and final markets (e.g., maize, sugarcane, potato). 1.2 Training will be conducted in value-chain methodologies, economic analysis and gender analysis for personnel from this and other related projects 1.3 Cassava value chain assessments will be conducted in each case-study area, including primary actors, supporting actors, and local policy environment. Where appropriate and feasible, value-chain analyses of potential intercrops will also be undertaken. The role of gender in the functioning of the value chain will be analysed. 1.4 Diagnostic household surveys will be carried out in identified feedstock supply zones to determine current production practices, market linkages, sources of information, risk profiles, and constraints to adoption of improved practices. It is anticipated that around 500 Page 26

27 households will be surveyed in each of the four locations. Data will be gender and ethnicity disaggregated to allow analysis. 1.5 In the final year, follow-up interviews will be conducted to evaluate how the project interventions have increased the knowledge, attitudes, skills, and aspirations (KASA) and led to changed practices of farmers and other actors within the different value chains. Can the adoption of improved cassava technologies be increased by developing agribusiness models to better link primary value-chain actors (farmers, traders, processors) and support actors (researchers, government and non-government agencies, industry bodies)? Stakeholders identified in the value-chain assessments mentioned above will be invited to participate in project planning activities according to the circumstances and responses at each locale. Selected participants will be trained by project staff in improved cassava cultivation practices, establishing demonstration trials, and participatory methods. Participatory variety selection will be conducted with farmers in identified supply zones and value chains, with varying levels of outside support from stakeholders and research institutions. A strong emphasis will be placed on the involvement of private sector actors in facilitating this process with the view that they could continue the process beyond the life of the project. Discussions with stakeholders will be used to identify opportunities for commercial production of healthy planting material where market demand exists in different value chains, and on-farm improvement where there is not potential market demand. Discussions with value-chain actors will be undertaken to investigate cost-effective opportunities for them to communicate information on pest and disease management (identification, monitoring, and treatment) to farmers. Participatory evaluations will be undertaken with value-chain actors (farmers, government, and industry partners) of improved soil and nutrient management practices and soil conservation systems (including intercropping) with a focus on assessing the economic returns and the constraints to adoption. Business plans will be prepared to help evaluate opportunities for value-chain actors to promote adoption of appropriate fertiliser regimes (e.g., through the provision of credit or insurance). The effectiveness of linkages between value-chain actors will be monitored and evaluated with stakeholders, and emerging agribusiness models will be described and assessed in the form of business case studies. The evaluation will be based primarily on before-after assessments, taking account of baseline data and external trends, rather than a with-without assessment. How can such agribusiness models be disseminated and supported within the region? A review will be undertaken of local and national planning and policy timelines and procedures based on key-informant interviews to determine suitable entry points for developing continued support for the research outcomes. Stakeholder dialogues on the agribusiness models will be organised in each of the four case-study regions to identify incentives for collaboration, problems, and solutions. A learning alliance will be facilitated among key national stakeholders (national industry associations, government policy and research institutes, other development agencies) to share lessons and means of scaling out the successful project activities and identify constraints to collaboration. Page 27

28 Evidence-based policy briefs will be prepared on agribusiness models for improving cassava-based livelihoods, including opportunities for scaling out the approach and opportunities for industry collective action to increase and sustain smallholder productivity. A regional (Southeast Asian) dialogue will be organised on cassava and related value chains and opportunities to support smallholder livelihoods and industry development (in collaboration with ASEM and the SMCM/AGB maize project). Page 28

29 5.2 Activities and outputs/milestones Objective 1: Assess opportunities and constraints for smallholder production and marketing of cassava within different value chains No. Activity Outputs/ milestones 1.1 Review cassava production, use and trade, and main substitutes in production and final markets 1.2 Conduct training in value-chain methodologies, economic analysis and gender analysis 1.3 Assess cassava value chains in each site, including primary and supporting actors and local policy environment, and where feasible conduct initial mapping of value chains of potential intercrops. Annual update on cassava production, trade and utilisation in target countries and the region Training material developed for use within the region Training report Map cassava VC including actors, processes, flows of information Geographical representation of production and information flow is different VC and production settings Report on gender norms within the value-chain in different sites Due date of output/ milestone Annually June 2016 August 2016 Risks / assumptions Willingness of regional partners and industry bodies to share data and information on policies Availability of project staff to attend common training events Trained staff reallocated Willingness of value-chain actors to participate and share information Applications of outputs Inform stakeholders of trends and changes in policies at the regional and global scale that will impact interventions targeted at the national and local scale Common methodologies and skills developed for project activities Identify communes and villages to be involved in Activity 1.3 Identify key actors to be involved in training of improved practices and extension (2.1) Identify location for demonstrations in objective Conduct farm surveys to find current production practices, market linkages, sources of information, risks, and constraints to adoption Establish baseline for current practices, perceptions, aspirations and opportunities. Data to be gender disaggregated. Jan 2017 Willingness of farmers to participate in survey Ability to recall information accurately Identify key stakeholders to be involved in objective 3. Identify demand for various technologies and constraints Set priorities Page 29

30 1.5 Evaluate project impacts on knowledge, attitudes, skills, aspirations, and practices of farmers and other actors Evaluate changes in KASA of farmers and VC actors Assess the impact of learning alliances and dialogues of raising the profile of cassava in policy development Nov 2019 VC = Value chain, KASA = Knowledge, Attitudes, Skills and Aspirations Willingness for stakeholders to honestly share their experience with the program Develop nuanced impact pathways for different production and marketing setting based on evidence. Share successful models with regional partners at final workshop of AGB and ASEM program Objective 2: Increase the adoption of improved and sustainable cassava technologies by strengthening linkages between primary value-chain actors (farmers, traders, processors) and with support actors (researchers, government agencies). No. Activity Outputs/ milestones 2.1 Conduct training in improved cassava practices, demonstration trials, and participatory research methods 2.2 Conduct participatory variety selection with farmers with varying levels of outside support from research institutions 2.3 Identify opportunities for on-farm improvement and commercial production of clean planting material Assessment of existing capacity (human, financial) of public and private actors in cassava technologies and extension methods Increased technical capacity of both public and private sector actors Establishment and monitoring of different variety demonstration M&E of farmer participation in the different production and value-chain settings Report on the demand for clean planting material in different settings Report on the costs of different seed systems Develop business models for different settings reported Due date of output/ milestone Dec 2016 End of season report in Yr. 2, Yr3 and Yr4 Jan 2017 Jan 2017 Jan 2018 Risks / assumptions Availability of staff in partner organisations to undertake training Minimal turnover or reallocation of trained staff Willingness of farmers to participate Maintenance of outside support Ability to develop meaningful willingness-to-pay values Incentives exist to invest under existing technology and risk profile Applications of outputs Conduct of trials and communication of practices within project Better targeting of research results to next users by understanding capacity and incentives for actors to link to farmers in different settings Locally adapted varieties Enhanced knowledge and skills of local actors including private sector Prioritise production and value-chain settings where a business case exists for the development of clean-seed systems Prioritise settings were extension should focus on on-farm management and IPM measures Page 30

31 2.4 Investigate opportunities to communicate information on pest and disease management to farmers through value-chain actors 2.5 Conduct participatory evaluation of soil management practices (including intercropping) Agreed plan for participation of value-chain actors in communication activities Report submitted Assessment of adoptability of improved soil management practices Jan 2017 Jan 2018 Value-chain actors perceive benefits and willing to participate Willingness of farmers and other actors to participate Improved farmer knowledge of pest and disease management Further testing of agribusiness models Locally adoptable and adopted soil management practices 2.6 Evaluate opportunities for value-chain actors to promote adoption of appropriate fertiliser regimes Agreed plan for participation of value-chain actors in communication activities Jan 2017 Value-chain actors perceive benefits and willing to participate Improved farmer knowledge of fertiliser requirements Further testing of agribusiness models Page 31

32 Objective 3: Develop policy recommendation and facilitate learning alliances for the development of a sustainable cassava industry and improvement in rural livelihoods through improved agribusiness arrangements No. Activity Outputs/ milestones 3.1 Review government planning and policy procedures 3.2 Facilitate stakeholder dialogues in each case-study region to identify incentives, problems, and solutions 3.3 Facilitate and evaluate a learning alliance between key stakeholders Working paper on local planning and policy constraints Dialogues conducted and reported Meetings of key stakeholders held in each country Due date of output/ milestone July 2017 Throughout project During Yr. 3 Risks / assumptions Openness of government actors to discussion of procedures Willingness to participate Effective facilitation Participation of national industry associations, government policy and research institutes, other development agencies Applications of outputs Entry points for continued government support Locally adapted solutions to production and processing problems Further testing of agribusiness models, including incentives and constraints Share lessons and means of scaling out activities Further testing of agribusiness models, including incentives and constraints 3.4 Develop evidence-based policy briefs on agribusiness models for improving cassava-based livelihoods 3.5 Facilitate a Southeast Asian workshop on opportunities to support smallholder livelihoods and improve cassava value chains Policy briefs produced and distributed Workshop held and reported Workshop proceedings During Yr. 4 During Yr. 4 Successful identification and implementation of agribusiness models Timely completion of preceding tasks by all projects (including ASEM cassava project and SMCM/AGB maize project) Scaling out and up of successful agribusiness models Wider application of project findings to smallholder development strategies in partnership with agribusiness and government actors Page 32

33 5.3 Project personnel List of participants involved in the project Australian commissioned and collaborating organisations (or IARC) Name Sex (m/f) Agency and position Discipline and role in project Dominic Smith M UQ Agribusiness economics; Project leader Rob Cramb M UQ Agricultural economics and policy; project adviser Project leader Jonathan Newby M CIAT Agricultural economics; Project leader (CIAT) Project coordinator Dominic Smith M UQ Agribusiness economics; Value-chain development Agronomist Tin Maung Aye M CIAT Soils and agronomy; Demonstration trials Time input (%) 20% 25% 10% 6% 10% Funding ACIAR ACIAR UQ 20% ACIAR 20% ACIAR 15% ACIAR Cu Thi Le Thuy F CIAT Value chain analysis 30% ACIAR Keith Fahrney M CIAT Agronomy; Linkages to RTB Kris Wyckhuys M CIAT Entomology; Managing pests and diseases Nozomi Kawarazuka 5% CIAT 5% CIAT F CIAT Gender specialist 5% CIAT Partner country institution(s) or collaborating IARC Vietnam Name Sex (m/f) Agency and position Discipline and role in project Pham Thi Sen F NOMAFSI Agronomy and extension - coordination Vu Hong Trang M NOMAFSI Agronomy demonstration trials Nguyen Viet San M NOMAFSI Agrarian systems and livelihoods Phan Huy Chương M NOMAFSI Agronomy demonstration trials Dr. Nguyễn Văn Nam M Tay Nguyen University Agronomy and Plant protection Dr. Le Duc Niem M Tay Nguyen University Agricultural economics, statistics, participatory methods Time input (%) Funding 20% NOMAFSI 15% NOMAFSI 20% NOMAFSI 30% NOMAFSI 30% TNU 30% TNU Mrs. Do Kieu An F Tay Nguyen University Tropical Agriculture 25% TNU Name Sex (m/f) Agency and position Discipline and role in project Time input (%) Funding Page 33

34 Wani Hadi Utomo M University of Brawijaya - Professor Dr. Ir. Suhartini MP Karuniawan Puji Wicaksono Erwin Ismu Wisnubroto, Dipl Ag.Sc Agronomy; n project leader 20% UB M University of Brawijaya Socioeconomics 25% UB M University of Brawijaya Crop protection 15% UB M University of Brawijaya Agronomy 50% UB Mr. Triono M University of Brawijaya Food technologist 15% UB Dr Didik Harnowo M ILETRI Project coordination and links to policy makers 10% ILETRI Ruly Krisdiana MS F ILETRI Agric. Socioeconomic 25% ILETRI Dr. Kartika Nurwiyati F ILETRI Plant breeder 15% ILETRI Ir. Yudi Widodo MS M ILETRI Agronomist, plant breeder 25% ILETRI Description of the comparative advantage of the institutions involved The University of Queensland has a long record of collaborative, multidisciplinary research in Southeast Asia on farming systems, agricultural development, and natural resource management, including managing numerous ACIAR projects. The School of Agriculture and Food Sciences is a multi-disciplinary unit within the Faculty of Science with strengths in agricultural economics, agribusiness, rural management, and agrarian systems. The Social Science Group within the School currently has research projects in China, Philippines, Malaysia,, Timor Leste, Vietnam, Lao PDR, Cambodia, Bangladesh, and Pakistan. CIAT s international and national staff in Southeast Asia have a good understanding of the cassava sector and connections in the research, production and processing sectors in Vietnam and, as well as in the region more broadly. The project will draw on the experience of CIAT in cassava agronomy, breeding, pest and disease management, soil management, and linking farmers to market. The project will gain from the lessons of several CRPs working within Asia and the broader global program. The Northern Mountains Agriculture and Forestry Science Institute (NOMAFSI) has been involved in numerous ACIAR projects related to production and marketing of various commodities including maize, temperate fruits, and other agroforestry systems. These projects have aimed to increase smallholder engagement in competitive value chains while improving land and crop management practices for the development of sustainable and profitable farming systems. It is also currently involved in projects with CIAT and other CGIAR centres related to RTB, Humid Tropics, and CCAFS. They are experienced in in coordination of multidisciplinary research for development projects. Tay Nguyen University is the main university located in the Central Highlands. It has implemented several international projects in the past and is currently involved in ACIAR projects. The University has a history of collaboration with CIAT and continues to work on projects with the CGIAR related to several CRPs (Livestock and Fish, Humid Tropics). It has implemented small government research projects related to cassava in the past. Staff from TNU have been involved in the cassava SRA and have good links to governments and other industry stakeholders. Page 34

35 The University of Brawijaya has been one of the main institutions involved in cassava research within. It has previously been involved in research projects in collaboration with CIAT, with staff attending training at CIAT headquarters. The Faculty of Agriculture has been involved in several ACIAR projects related to a number of commodities, including cassava. The University has strong connections to alumni working within ICFORD, other IAARD institutions, and within the Provinces. Staff from the University have experience implementing projects in collaboration with ILETRI and other institutions. The n Legumes and Tuber Crops Research Institute (ILETRI) is one of the technical implementation units under the coordination of n Center for Food Crops Research and Development (ICFORD). The main task of ILETRI is to conduct research on legumes and tuber crops, including cassava. The Institute is responsible for cassava breeding and agronomy. The Institute has experience with working in collaboration with BPTP in the provinces for the extension of cassava production practices through participatory methods. It also provides technical backstopping to NGOs and advice to industry looking to increase cassava productivity Summary details of the role of each participant involved Dr Dominic Smith (UQ) is the project leader. He will be responsible for overall project management as well as designing value-chain assessments and identifying agribusiness opportunities with value-chain actors. Formerly based in Vietnam, he has a strong understanding of agricultural policy development and procedures in the region, critical for facilitating policy dialogues. Prof Rob Cramb (UQ) is the project leader. He will be responsible for overall project management, will give guidance on research design and methodology to the project partners, will analyse project findings in the light of broader theoretical and empirical trends in agribusiness and agrarian development, and liaise with other related projects within and beyond ACIAR s research program. Dr Jonathan Newby (CIAT) is an agricultural economist and will serve as the CIAT project leader coordinator. Based within the region he will be responsible for day-to-day coordination of activities under each of the objectives with local partners, in consultation with the project leader. In order to understand the adoption of technologies he will be responsible for overseeing the design of household surveys and economic assessment of participatory trials. Dr Dominic Smith (UQ) is an agricultural economist and market development specialist. He will be responsible for designing value-chain assessments and identifying agribusiness opportunities with value-chain actors. Currently based in Vietnam, he has a strong understanding of agricultural policy development and procedures in the region, critical for facilitating policy dialogues. Dr Tin Maung Aye Cassava Agronomist (CIAT) is a soil scientist and cassava agronomist with experience working throughout Southeast Asia. He will be responsible for the development, implementation and analysis of participatory trials together with local partners, including variety selection, fertility management, and intercropping systems. Ms Cu Thi Le Thuy (CIAT) is a value-chain specialist at CIAT. She has experience working in the cassava value-chain for over a decade. She will assist in the development of the value-chain methodology with partners and the implementation of the value-chain assessments in Vietnam. She will coordinate between international researchers and Vietnam researchers. Dr Keith Fahrney (CIAT) is an agronomist and senior scientist at CIAT. He has a long history of working on cassava participatory research projects in Southeast Asia. Dr Fahrney will provide technical advice to the project and share lessons from other RTB activities. He will participate in several regional meetings and policy dialogues. Page 35

36 Dr Kris Wyckhuys (CIAT) is a cassava entomologist in Asia, responsible for coordinating research and information sharing between Southeast Asian stakeholders. He currently manages an Asia-wide cassava IPM network and will provide links between the ACIAR project and broader regional activities in pest and disease management. Dr. Pham Thi Sen (NOMAFSI) is a senior staff-member of NOMAFSI with experience in management and implementation of projects supporting development of sustainable cropping systems in the Northwest Highlands of Vietnam. She will be responsible for dayto-day coordination of activities implemented under the project in Son La Province. She will also be in charge of overall project coordination from the Vietnamese side and will be the key communication link between Vietnamese and Australian partners. Mr. Vu Hong Trang (NOMAFSI) is a NOMAFSI staff-member having experience in farming systems in the Northwest areas. As the Director of the NOMAFSI s Northwest Agriculture and Forestry Research and Development Center, based in Son La, he will be in charge of experiments in Son La and will be the main communication link with Son La DARD for activities under this project. Mr. Phan Huy Chuong (NOMAFSI) is a staff-member of NOMAFSI s Northwest Agriculture and Forestry Research and Development Center based in Son La. He has experience in conducting participatory research on-farm for evaluation of different conservation agriculture innovations. With support from other staff of NOMAFSI, he will implement field research. Mr. Le Viet San (NOMAFSI) is a NOMAFSI staff-member. He has experience in agrarian systems research and development, including rural appraisal and household surveys. He will join studies on socio-economic aspects and impact assessment of the production systems. Dr. Nguyen Van Nam (TNU) is a specialist in agronomy and plant protection. He will be responsible for coordinating activities in Dak Lak Province. His role will include the analysis of current cassava production systems in Dak Lak, establishing demonstration trials for new varieties, soil fertility management, and pest and disease control. Dr. Le Duc Niem (TNU) is a specialist in agricultural economics and international trade. He will be responsible for conducting qualitative and quantitative surveys of cassava growers or households and the project s stakeholders, identifying agribusiness opportunities, and creating linkages in the production and distribution of cassava products. He will conduct analysis of current agricultural policies in Vietnam and organize dialogues between farmers and stakeholders in the cassava industry. He has experience working in Dak Lak Province and is able to effectively work with local ethnic minorities. Ms. Do Thi Kieu An (TNU) is a plant protection and crop scientist. She will be responsible for the development and implementation field trials in Dak Lak Province, including variety selection, fertility management, intercropping systems on sloping lands, and pest management. She is a graduate of the University of Queensland. Prof. Dr Wani Hardi Utomo (UB) is a soil scientist in the Department of Sustainable Agriculture, Brawijaya University. He has a long history of collaboration with CIAT on cassava research and has been involved in several ACIAR projects. He will be responsible for coordinating project activities in and providing advice in the development of agronomic demonstration trials conducted, particularly related to soil fertility management. He will assist in capacity building of junior researchers and valuechain actors in sustainable cassava production. Dr Suhartini (UB) is an agricultural economist in the Department of Socioeconomics, Faculty of Agriculture, Brawijaya University. She will be responsible for economic analysis of agronomic trial data and analysis and identifying agribusiness opportunities with valuechain actors. She will also be involved in the cassava value-chain analysis in North Sumatra and Nusa Tenggara Timur. Page 36

37 Dr Karuniawan Puji Wicaksono (UB) is an expert in crop protection at Brawijaya University. He will be responsible for developing training materials related to pest and disease management in the project sites. He will be linked to training activities conducted by CIAT s pest and disease experts. Mr Erwin Ismu Wisnubroto (UB) is an agronomist at Brawijaya University. He recently completed his Masters at Massey University, New Zealand. He will be responsible for implementing agronomic trials in conjunction with ILETRI staff. Dr Didik Harnowo (ILETRI) is the Director of ILETRI. He was formerly the head of BPTP in North Sumatra. He will be responsible for coordination of the ILETRI team and links to other n Government agencies. Dr Ruly Krisdiana (ILETRI) is an agricultural economist at ILETRI. She has experience in household surveys and adoption studies. She will be responsible for households surveys conducted in the project sites and monitoring and evaluation of adoption. Ms Kartika Noerwijati (ILETRI) is a plant breeder at ILETRI. Dr Nurwiyati will be involved in participatory variety selection in the project sites and investigating opportunities for private-sector support of planting material distribution. Dr Nurwiyati will work closely with pest and disease specialists on avoiding the spread of these problems to project sites. Dr Yudi Widodo (ILETRI) is a cassava agronomist with experience in working on participatory approaches to cassava development. Dr Widodo has previously collaborated with CIAT projects on variety selection and fertility management. He will assist in the design and implementation of demonstration trials with farmers and value-chain actors in the project sites and training of value-chain actors. 5.4 Intellectual property and other regulatory compliance No significant intellectual property issues are anticipated. Page 37

38 5.5 Travel table The travel timetable is based around two trips per year to each country. Due to the different seasonal calendars between the countries planning will happen for during the July visits whilst planning for activities in Vietnam will occur in January. PART A Commissioned Organisation or IARC Trip no. Person or position Estimated date of travel 1 Rob Cramb Project leader Jan 2016 Brisbane- Jakarta-Hanoi (via Singapore) 2 Dominic Smith Value chain specialist 3 Dominic Smith Value chain specialist Jan 2016 July 2016 From / to Purpose Duration (days) Brisbane- Jakarta-Hanoi (via Singapore) Brisbane- Jakarta-Hanoi (via Singapore) 4 Rob Cramb Project leader July 2016 Brisbane- Jakarta-Hanoi (via Singapore) 5 Rob Cramb Project leader Jan 2017 Brisbane- Jakarta-Hanoi (via Singapore) 6 Dominic Smith Value chain specialist Jan 2017 Brisbane- Jakarta-Hanoi (via Singapore) 7 Rob Cramb Project leader July 2017 Brisbane- Jakarta-Hanoi (via Singapore) Dominic Smith Value chain specialist July 2017 Brisbane- Jakarta-Hanoi (via Singapore) 8 Rob Cramb Project leader Jan 2018 Brisbane- Jakarta-Hanoi (via Singapore) 9 Dominic Smith Value chain specialist Jan 2018 Brisbane- Jakarta-Hanoi (via Singapore) 10 Rob Cramb Project leader July 2018 Brisbane- Jakarta-Hanoi (via Singapore) 11 Dominic Smith Value chain specialist July 2018 Brisbane- Jakarta-Hanoi (via Singapore) 12 Rob Cramb Project leader Jan 2019 Brisbane- Jakarta-Hanoi (via Singapore) 13 Dominic Smith Value chain specialist Jan 2019 Brisbane- Jakarta-Hanoi (via Singapore) Inception meeting Inception meeting and VC training Value chain study review of results Review of VC study and planning for household survey Biannual meeting - Planning and field visits Biannual meeting - Planning and field visits Biannual meeting - Planning and field visits Discussion with value chain actors in Biannual meeting - Planning and field visits Biannual meeting - Planning and field visits Biannual meeting - Planning and field visits Biannual meeting - Planning and field visits Discussion with value chain actors and develop business models Biannual meeting - Planning and field visits Biannual meeting - Planning and field visits Biannual meeting - Planning and field visits 15 days 15 days 15 days 15 days 12 days 12 days 15 days 15 days 12 days 12 days 15 days 15 days 12 days 12 days Page 38

39 14 Rob Cramb Project leader July 2019 Brisbane- Jakarta-Hanoi (via Singapore) 15 Dominic Smith Value chain specialist July 2019 Brisbane- Jakarta-Hanoi (via Singapore) 16 Rob Cramb Project leader Sept 2019 Brisbane- Jakarta-Hanoi (via Singapore) 17 Dominic Smith Value chain specialist Sep 2019 Brisbane- Jakarta-Hanoi (via Singapore) Biannual meeting - Planning and field visits Discuss outcomes with stakeholders. Economic analysis Visit field sites. Discuss outcomes with stakeholders. Biannual meeting - Planning and field visits Biannual meeting - Planning and field visits Report writing for workshop Biannual meeting - Planning and field visits Report writing for workshop 18 Rob Cramb Project leader Dec 2019 Brisbane-Hanoi Final policy dialogue for ASEM and AGB 19 Dominic Smith Value chain specialist Dec 2019 Brisbane-Hanoi Final policy dialogue for ASEM and AGB 15 days 15 days 12 days 12 days 7 days 7 days 1. PC = partner country, A = Australia PART B Australian Collaborating Organisation/s Trip no. Person or position Estimated date of travel From / to Purpose Duration (days) 1 Jonathan Newby Jan 2016 Hanoi-Jakarta Inception meeting 10 days 2 Tin Maung Aye Jan 2016 Hanoi-Jakarta Inception meeting 10 days 3 Jonathan Newby July 2016 Hanoi-Jakarta Value chain study review of results and planning for household survey 4 Tin Maung Aye July 2016 Hanoi-Jakarta Agronomic training and planning (NTT) 5 Jonathan Newby Jan 2017 Hanoi-Jakarta Annual meeting and planning and field visit 6 Tin Maung Aye CIAT Agronomist Jan 2017 Hanoi-Jakarta Hanoi Vietnam Field sites 7 Jonathan Newby July 2017 Hanoi-Jakarta 8 Tin Maung Aye CIAT Agronomist July 2017 Hanoi Vietnam Field sites Hanoi-Jakarta Hanoi Vietnam Field sites Annual meeting and planning for field activities for 2017 Field trip in Vietnam Field visit to demonstration sites Annual meeting and planning Field visit to demonstration sites and field day 10 days 10 days 20 days 20 days 20 days 20 days Page 39

40 9 Jonathan Newby Jan 2017 Hanoi-Jakarta Hanoi Vietnam Field sites 10 Tin Maung Aye CIAT Agronomist Jan 2017 Hanoi-Jakarta Hanoi Vietnam Field sites 11 Jonathan Newby July 2017 Hanoi-Jakarta Hanoi Vietnam Field sites 12 Tin Maung Aye CIAT Agronomist July 2017 Hanoi-Jakarta Hanoi Vietnam Field sites 13 Jonathan Newby July 2018 Hanoi-Jakarta Hanoi Vietnam Field sites 14 Tin Maung Aye CIAT Agronomist Jan 2018 Hanoi-Jakarta Hanoi Vietnam Field sites 15 Jonathan Newby July 2018 Hanoi-Jakarta Hanoi Vietnam Field sites 16 Tin Maung Aye CIAT Agronomist July 2018 Hanoi-Jakarta Hanoi Vietnam Field sites Annual meeting and planning Annual meeting and planning for 2017 activities Field visit to demonstration sites meeting with stakeholders Field visit to demonstration sites and field day Annual meeting Annual meeting Visit field sites. Discuss outcomes with stakeholders. Economic analysis Visit field sites. Discuss outcomes with stakeholders. 17 Jonathan Newby Sept 2019 Hanoi-Jakarta Annual meeting and report writing 18 Tin Maung Aye CIAT Agronomist Sept 2019 Hanoi-Jakarta Annual meeting and report writing 20 days 20 days 20 days 20 days 20 days 20 days 20 days 20 days 10 days 10 days PC = partner country, A = Australia PART C Overseas Partner Organisation/s Trip no. Person or position Estimated date of travel 1 NOMAFSI Jan 2017 Vietnam- 2 TNU Jan 2018 Vietnam- 3 NOMAFSI Jan 2019 Vietnam- 4 TNU Jan 2020 Vietnam- 5 UB Jan Vietnam 6 ILETRI Jan Vietnam 7 UB Jan Vietnam 8 ILETRI Sep Vietnam From / to Purpose Duration (days) Annual meeting Annual meeting Annual meeting Annual meeting Annual meeting Annual meeting Annual meeting Annual meeting 10 days 10 days 10 days 10 days 10 days 10 days 10 days 10 days Page 40

41 9 3 representatives from project team Dec Vietnam Final policy dialogue for ASEM and AGB 10 days PC = partner country, A = Australia Page 41

42 6 Appendix A: Intellectual property register Inquiries concerning completion of this form should be directed to 6.1 Administrative details Project ID Project title Assessment provider If not Australian project leader, provide title AGB/2012/078 Developing value-chain linkages to enhance the adoption of profitable and sustainable cassava production systems in Vietnam and Rob Cramb Former project leader Date of assessment 25/05/ Categories of intellectual property and brief description Plant or animal germplasm exchange Does the project involve: Yes No provision of germplasm by Australia to a partner country? provision of germplasm from a partner country to Australia? provision of germplasm from or to an IARC or another organisation and a project participant? use of germplasm from a third party material subject to plant breeders/variety rights in Australia or another country? If yes to any of the above, for each applicable country provide brief details of the material to be exchanged: If the germplasm exchange can be finalised before the project commencement, provide a Materials Transfer Agreement. If the specific germplasm to be exchanged cannot be identified until after project commencement, indicate the type of material likely to be exchanged. No No No No No Country Details of plant or animal germplasm exchange Proprietary materials, techniques and information Does the project involve provision (from one party to another) of: Yes No research materials or reagents (e.g. enzymes, molecular markers, promoters)? proprietary techniques or procedures? proprietary computer software? If "yes" to any of the above, for each applicable country provide: brief details of the materials or information, the organisation providing, and the organisation receiving the materials a copy of any formal contract between the parties. No No No Country Details of proprietary materials, techniques and information Page 42

43 Other agreements Is any aspect of the project work subject to, or dependent upon: Yes No other materials-transfer agreements entered into by any project participant? No confidentiality agreements entered into by any project participant? No If "yes" to any of the above, for each applicable country provide: brief details of the agreements and conditions a copy of any such agreement before project commencement. Country Details of other agreements 6.3 Foreground, background and third party Intellectual Property This includes, but is not limited to patents held or applied for in Australia and/or in partner countries and/or in third countries. For example, Foreground IP includes any new germplasm, reagents (such as vectors, probes, antibodies, vaccines) or software that will be developed by the project. Foreground IP (IP that is expected to be developed during the project) Ownership of or rights to Foreground IP other than as detailed in the ACIAR Standard Conditions must be approved by ACIAR. Is it expected that there will be Foreground IP? Yes No No If "yes", for each applicable country provide brief details of the IP and who will have rights to use the IP (e.g. Commissioned Organisation, Australian collaborating organisation/s partner countries). If a patent, give details of patent status (provisional, application, granted), priority date and designated countries. Country Details of foreground IP Background IP (IP that is necessary for the success of the project but that has already been created and is owned by parties to the project) Any agreements in place regarding Background IP should be provided to ACIAR prior to project commencement. Is it there Background IP? If yes, are there any restrictions on the project's ability to use the Background IP? would there be any restriction on ACIAR or the overseas collaborator claiming their rights to IP for the project based on the Background IP (refer ACIAR Standard Conditions)? If "yes", for each applicable country provide brief details of: Yes No No Page 43

44 the source of the Background IP. whether the Commissioned Organisation and/or Australian collaborators and/or developing country collaborators own it. any conditions or restrictions on its use. country Details of background IP Third Party IP (IP that is owned by or licensed from other parties) Agreements governing the use of third party IP can be related to research materials, research equipment or machinery, techniques or processes, software, information and databases. Is there any relevant Third Party IP that is essential to the project? If yes, would there be any restriction on ACIAR claiming its rights to IP for the project (refer ACIAR Standard Conditions)? Yes No No If "yes", for each applicable country provide brief details of: the source of the Third Party IP. the applicable country/ies, the circumstances/agreement/arrangement under which the IP is to be obtained or used by the project partners (for example, material transfer agreement, germplasm acquisition agreement, confidentiality agreement, research agreement or other arrangements). any conditions or restrictions on its use. Country Details of third party IP Other contracts, licences or legal arrangements Are there any other contracts, licences or other legal arrangements that relate to the project? If "yes", for each applicable country provide brief details. Yes No No Country Details of other contracts, licences or legal arrangements Page 44

45 7 Appendix B: Budget Page 45

46 8 Appendix C: Supporting documentation This section is only required for FULL PROPOSALS. Documents attached: Letters of support Letters of approval Curricula vitae Page 46

47 9 Appendix D: Communication and dissemination checklist This section is only required for FULL PROPOSALS. How would you define impact within the context of the project? (e.g. farmers in project field trials adopt new variety) Who are the main target groups/intended users for this research? What types of outputs do you anticipate the project generating? What is the incentive or incentives for the main target groups in adopting this research? What is the anticipated time within the project until first outputs are at a point where you would want to disseminate these to end users? What way do you think is best to raise awareness of outputs with end users? What communication products would be useful for this project (ensure these are budgeted for)? Farmers Extension workers Policy makers Scientists Commercial sector Non-government organisations Funding providers Other New crop varieties New management techniques (husbandry, tillage, planting cycles etc) New tools (direct drill ploughing, computer models etc) New coordination/management practices for accessing markets or value chains Publication(s) (within the ACIAR scientific publications series) Other media (posters, brochures, DVDs, CDs etc) Case studies Demonstration plots, on-farm participatory trials etc Strong market demand for cassava outputs Increased competition for feedstock Private sectors operating below capacity and interested to increase linkages to smallholders Immediately During year 1 During year 2 During year 3 During year 4 Post project Publication Mainstream/local media Workshop Training courses Social media (Facebook, Twitter) Mobile phone (text messaging, mobile application) Field days Field trials Demonstration plots Farmer visits Media engagement Brochures Posters Website DVDs Page 47

48 Who are the major target groups and what mechanisms are available for disseminating project information to these groups? Indicate if this dissemination is a project responsibility and if so at what stage? Is there an existing network, association, organisation etc in place to communicate with end users? Can this network be utilised by the project team for delivering outputs/information? Does this network, association, organisation etc have a track record in delivering outputs/information? CD-ROM Hard copy publications Events List Target groups Yes No Yes No Yes No List appropriate mechanisms Pilot stage Field trials/demonstrations Full scale out Village-based Farmer associations Extension services Government research organisations University/academic Commercial sector Non-government organisations Yes No If no what could improve the chances of this network delivering research outputs/information? Would an on-the-ground communications person (such as an Australian Youth Ambassador for Development) help in disseminating information and outputs? Would engagement with a third party organisation, such as an NGO, help in delivering output information to end users? If such engagement would help to disseminate information are there suitable organisations operating in this area? How would you gauge efficacy of communications activities? List: Yes No Yes No Yes Within the project Scale up beyond the project For example: # of workshop attendees Level of media coverage (i.e. ten articles in local paper) Website visits Brochures/posters etc distributed to villages Should you wish to discuss aspects of the project s communications strategy with ACIAR, please contact the Communications Unit for advice and assistance <aciar@aciar.gov.au>. Page 48

49 APPENDIX E Area (million ha) Production (million tons) - Area harvested - Production Viet Nam - Area harvested Viet Nam - Production Fig. 2 Area and production of cassava in and Vietnam (Source: FAO Stats) Yield (t/ha) Thailand Viet Nam Fig. 3 Cassava yields in, Vietnam and Thailand (Source: FAOSTATS) Page 49

50 Net starch trade (Million USD) n Net Starch Viet Nam Net Starch Fig. 4 Net value of and Vietnam cassava starch trade (Source: Comtrade) Cassava (dried or fresh) trade (Million USD) n Net Cassava (dried or fresh) Vietnam Net Cassava (dried or fresh) Vietnam Cassava (dried or fresh) imports Fig. 5 Net value of and Vietnam Cassava (dried or fresh trade); value of Vietnam cassava imports from neighbouring countries (Cambodia and Lao PDR). (Source Comtrade) Page 50

51 Fig 6. Production of cassava by District in (2007 and 2010) Fig. 7 Precipitation Seasonality and Cassava Yields in. Note the large variations from the between the two project sites of NTT and North Sumatra in seasonality and yields Page 51

52 Fig 8. Temperature and Rainfall Seasonality in Vietnam. Note the large variation between the Central Highlands (DakLak) and North West (SonLa) Fig 9. Cassava production, area and yields by Province in Vietnam. Page 52

53 Fig 10. Cassava area and estimated number of cassava processing factories (all sizes) by Province. Fig 11. Number of cassava processing factories (starch/flour and non-starch) by Province. Page 53

54 Fig 12. Location of field sites in. Activities in North Sumatra will be focused around processing factories in Deli Serdang (smallscale) and Simalungaun with the large starch factory located in Pematangsiantar City. There has been recent expansion in the Toba Samosir area which is a different agroecological zone. However, collectors from the factories in Pematangsiantar also travel to this area. Final sites within the Province will be selected through consultation with private sector and public sector stakeholders Activities in NTT will be focussed around Sikka and Flores Timur (East Flores). There are several small-scale processors looking to expand their current activities which largely involve trading dried chips, into additional value adding including small scale starch and MOCAF production. Public sector stakeholders from Kupang and other areas will be invited to visit demonstrations. Page 54

55 Fig Location of field sites in Vietnam Activities in SonLa will be focused in two Districts. The starch factory is located in Mai Son District. The largest area of cassava is grown in Thuan Chau, however due to the distance to the factory most cassava is processed into dried chips. Activities in DakLak will initially be focused around Ea Kar and Krong Bong District. These are the main supply zones for the region. Activities may expand based on the value-chain assessments. Indeed, it may be that factory may identify new regions with lower yields as a priority. Stakeholders from DakNong will also be invited to activities with the potential to expand activities. The selection of sites in DakLak also gives the opportunity to evaluate some of the previous intervention during the SADU project implemented by CIAT over 5 years ago on linking cassava farmers to value-chain actors. Page 55

56 APPENDIX F Fig 14 RTB impact pathway from seven themes to long-term impacts Page 56