An Introduction to Agroforestry Diagnosis and Design ICRAF The development of the D&D methodology presented in this manual was supported by agrent from the U.S. Agency for International Development, Cooperative Agreem'ant No. DAN-5545-A-00-2076-00 Cover photo by Ester Zulberti International Council for Research in Agroforestry 1986 P.O. Box 30677, Nairobi, Kenya An Introduction to Agroforestry Diagnosis and Design compied and edited by J.B.Raintree with contributions from the multidisciplinary staff of The International Council for Research in Agroforestry Contents PAGE Preface itt BASIC PRINCIPLES AND PROCEDURES J. B. Raintrec What Is agroforestry? 3 Criteria of gxd agroforestry design '3 What is D&D? 4 Who can make use of D&D? 5 Basic procedures 6 Key concepts 8 Sugges-w procedures for natma , research programmes 10 The vlew from the village 18 CASE STUDY EXAMPLE OF THE 23 D&D LEARNING PROCESS J. B Raintree and D.Rocheleau D&D IN ACTION 37 Illustrations by Terry Hirst Script by J. B. Paintree & Terry Hirst BIBLIOGRAPHIC REFERENCES 51 Preface it. response to reader feedback on earlier publications In the D&D mantial series, this manual has been written to answer popular demand for a u:er-frendly introduction to I RAF's methodology for agroforestry diagnosis and design. It replaces the earlier 6uidellnes for Agroforesltry Diagnosis and Design (ICRAF Working Paper 6) and represents a new synthesis of the most generally useful and adaptable procedures to emerge fron, practical applications of the D&D methodology during a five year trial period in sites around the world. The key to effective use of the D&D methodology is f1air/fl4y. Although the'baslc logic of D&D is quite generally applicable, the specific procedures may need to be adapted to fit the requirements of the user. The elementary D&D concepts and baseline procedures are presented in the first section on BASIC PRINCIPLES AND PROCEDURES. Within this section the main concepts are presented in larger, bolder type. Basic ,rocedures and key concepts are followed by more detailed suggestions on procedures for national research programmes, with the understanding that these must be selcted and eo '91edto fit the circumstances. Some of the most Important modifications of the procedures suggested for formal research programmes arise from creative adaptations of the methodology by community-based fleldworkers doing Informal. oarticipatory agroforestry research and development, as discussed In 'The view from the • illege." Next comes a CASE STUDY EXAMPLE of the open-ended D&D learn'ng o:ocess, as It was experienced in an agroforestry project in Kenya. The introduction concludes with D&D IN ACT;ON - a pictorial dramatization of !.he D&D process as it might be experienced in a national research programme. This section Is quite helpful for gaining a rapid overview of the D&D process. Z.ince the development of D&D methods is an open-ended and continuing process, new methods and case studies are continually appearing in ICRAF's Working Paper eeries and other publications. This manual attempts to answer the need for an up-to-date, practical introduction to the methodology at an intermediate level of detail. Readers interested In more detail may wish to consult the publications listed in the Reference section, For more advanced and up-to-date methods, case studies and resource materials, Interested users are referred to the periodically updated ICRAF Publications List and to the ICRAF Newsletter. J. B.Raintree Project Leadser, Agroforestry Diagnosis and Design BASIC PRINCIPLES AND PROCEDURES b3A5IC PRINCIPLE-SAND PROCEDURES An Intr-oduction to Agroforestry Diagnosis & Design What is agroforestry? Agroforestry is a collective name for land use systems and technologies in which woody perennials (trees, shrubs, palms, bamboos, etc.) are deliberately combined on the same land management unit with herbaceous crops and/or animals, either in some form of spatial arrangement or temporal seueince. In agroforestry systems there are both ecological and eoonomic interactions among the different components. Criteria of good agroforestry design There is no substitute for good design. Agood agroforestry design should fulfill the following criteria: PRCPIJCTIYITY There are many different ways to assess the productivity improvements which are possible with agroforestry- Increused ouput of tree products, improved yields of associated crops, reduction of cropping system inputs, Inceased labour efficiency, diversification of production, satisfaction of basic needs, and other measures of economic efficiency or achievement of biological potential. SUSTAINABILITY By seeking improvements in the "sustainability" of production systems, agroforestry can achieve its conservation goals while appealing directly to the motivations of low income farmers, who may not always be interested in conservation for its own sake. ADOPTABILITY No matter how technically elegant or environmentally sound tn agroforestry design may be, nothing practical is achieved unless it is adopted by Its intended users. ThIs means that the technology has to fit the social as well as the environmental and technical characteristics of the land use system for which It is designed. 3 BASIC PRINCIPLES AND PROCEDURES An Introduction to Agrororestry Diaqws & Design What is D&D? DIAGNOSIS AND DESIGN D&D is a methodology for the diagnosis of land management problems and design of agroforestry solutions. It was developed by ICRAF to assist agroforestry researchers and development fleldworkers to plan and implement effective research and development projects. There is a saying in the medical profession that 'Diagnosis should precede treatment.* Anyone concerned with problem-soling applies this principle in one way or another. In the work of the automobile mechanic, the radio repairman, the forester, or the farmer, the ability to solve a problem begins with the ability to define what the problem is. A clear statement of the problem Is often all that is needed to suggest a solution. D&D is simply a systematic approach to the application of thIs principle in agrotorestry. The key features of the D&D approach are: l5P flexibility - D&D is a flexible discovery procedure which can be adapted to fit the needs and resources of different users. speed - D&D has been designed with the option of a "rapid appraisal" application at the planing stage of a project with in-depth followup during project implementation. repetition - D&D Is an open-ended learning process. Since initial designs can r!most always be improved, the D&D pross needn't end until further improvements are no longer nessary. 4 BASIC PRINCIPLESAND PROCEDURES An Introduction to Agrforestry Diagnosis & Design Who can make use of D&D? Most problem solvers already use some form of the basic logic of D&D. This logic is so fundamental to human problem solving as to be almost "common sense." The systematic elaboration and adaotation of this basic logic to agroforestry which is presented in this manual has been developed with three main users In mind: RESEARCHERS D&D was developed in collaboration with researchers In national prngrammes and was initially intended primarily for use by multi­ disciplinary, and often multi-institutional, teams of scientists. As a discovery procedure for identifying the agroforestry-related needs and potentials of existing land use systems, D&D assists in the identification of priorities for development-oriented research. Toward this eid, the methodology provides a logical, stepwlse procedure for collaboration between specialists with diffe.rent disciplinary backgrounds and approaches to problem solving. EXTAEGNSEINOTNS Iint vIosl viendc reians inthgely rreecsoeganrcizhe d pthroacte essx teinf siorne sweaorrckhe rsis mutos t daeisvoe lobpe technology that can be extended readily to farmers. Initially as members of D&D survey teams and later as collaborators in on-farm trials, extension agents can make important contributions to agroforestry research. As the stock of proven agroforestry technolcrj/ increases, extensionists can make direct use of D&D to identify agroforestry solutions to local problems. FIEDLECDVOWEMLOOMRPUKMNEEIRTNYST cfuoonmvcemtrionunmn ieitnyn -tbI 'fa ielspeldlndwg o dlreokvceaerll so,pp emnooepnnle-t gtoocv apetrlaanlyym saetsn m t pooreregr faoanrcimtziva teia ornno sl eima nipnao otrhttaheneirrt own development. D&D ha applications in grass roots development wbaosriks, fnoort oconmlym ausn aic atotionlg folro casle lfn-eheedlsp adnedv eilnonpmoveantti,o nbsu t toa lsfoo ramsa al research and extension institutions. 5 BASIC PRINCIPLES AND PROCEDURES An Introduction to Agroforestry Diagows & Design Basic procedures The basic logic of the D&D discovery procedure is displaye in the following table. The process can be subdivided Into smaller steps (e.g. pp. 8-1 4) and used selectively for varying purposes, b,-t the hierarchical logic of D&D is quite robust and generally applicable to virtually any problem in technology design. The more detailed procedural suggestions are best thought of as optional steps for collecting and processing the information needed to answer the basic questions shown in the table below. If at any time you feel you are getting "lost in the details," simply return to this outline of basic procedures for a reorientation to where you are In the process. RAL IAGES BASIC QUESTIONS TO ANSWER KEY FACTORS TO CNSIDERNQUIRY PREDIAGNOSTIC DEFINITION OF THE LAND USE DISTINCTIVE CO'BINATIONS SEEING AND COMPARING SYSTEM AND SITE SELECTION OF RESOURCES, TECHNXOGY THE DIFFERENT LAND USE (which system to focus on?) AND LAND USER OBJECTIVES SYSTEMS HOW DOES THE SYSTEM WORK? PRODUCTION OBJECTIVES AND ANALYSING AND (how Is it organized, how does It STRATEGIES, ARRANGEMENT DESCRIBING THE SYSTEM function to achieve its objectives?) OF COMPONENTS DIAGNOSTIC HOW WELL DOES THE SYSTEM WORK? PROBLEMS INMEETING SYSTEM DIAGNOSTIC INTERVIEWS (what are its problems. limiting OBJECTIVES (production short- AND DIRECT FIELD constraints, problem-generating falls, sustalnabIlity problems) OBSERVATIONS syndromes & intervention points?) CAUSAL FACTORS. CONSTPAINYS TPUBLESHOOTING THE AND INTERVENTION POINTS PROBLEM SUBSYSTEMS DESIGN & HOW TO IMPROVE THE SYSTEM? SPECIFICATIONS FOR PROBLEM ITERATIVE DESIGN EVALUATION (what Is needed to improve system SCLVING OR PERFCP1ANCE AND EVALUATION performance?) ENHANCING INTEPVENTIONS OF ALTERNATIVES PLANNING WHAT TO DO TO DEVELOP AND RESEARCH AND DEVELOPMENT RESEARCH DESIGN, DISSEMINATE riE IMPROVED NEEDS, EXTENSION NEEDS PROJECT PLANNING SYSTEM? IMPLEMENTATION HOW TO ADJUST TO NEW FEEDBACK FROM ON-STATION REDIAGNOSIS AND INFORMATION? RESEARCH, ON-FARM TRIALS REDESIGN INTHE LIGHT AND SPECIAL STUDIES F NEW INFORMATION