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Needs Assessment to Guarantee Sustained NEEDS ASSESSMENT OF AGRICULTURAL, ENVIRONMENTAL, AND SOCIAL SYSTEMS OF SMALL FARMERS IN CHIMALTENANGO, GUATEMALA A Thesis by CAROLINA OLEAS Submitted to the Office of Graduate Studies of Texas A&M University in partial fulfillment of the requirements for the degree of MASTER OF SCIENCE December 2009 Major Subject: Agricultural Leadership, Education, and Communications NEEDS ASSESSMENT OF AGRICULTURAL, ENVIRONMENTAL, AND SOCIAL SYSTEMS OF SMALL FARMERS IN CHIMALTENANGO, GUATEMALA A Thesis by CAROLINA OLEAS Submitted to the Office of Graduate Studies of Texas A&M University in partial fulfillment of the requirements for the degree of MASTER OF SCIENCE Approved by: Co-Chairs of Committee, Kim E. Dooley Glen C. Shinn Committee Member, Cecilia Giusti Head of Department, John F. Elliot December 2009 Major Subject: Agricultural Leadership, Education, and Communications iii ABSTRACT Needs Assessment of Agricultural, Environmental, and Social Systems of Small Farmers in Chimaltenango, Guatemala. (December 2009) Carolina Oleas, B.S., EARTH University Co-Chairs of Advisory Committee: Dr. Kim E. Dooley Dr. Glen C. Shinn Providing support for the agricultural development of small farmers is the main goal of the project Agriculture in Guatemala: Technology, Education and Commercialization (AGTEC). To accomplish this it is necessary, to identify the characteristics and needs of participants, as well as their environmental, social, and farming conditions. Through this study, two case studies were conducted to identify and analyze the context of small farmers of the region. This research study used qualitative and participative methods, such as interviews, focus groups, and observation, to gather data about the participants’ thoughts and opinions concerning their situations. The case study systemically gathered information about the conditions and needs of small farmers to provide a better understanding of the people and their interactions within the farm systems. This needs assessment showed how the farmers’ decisions about adoption are related to their interactions on their farms. Therefore, this study analyzed the system, as a whole, to identify priorities among different critical components that will provide optimum results for beneficiaries. These priorities will iv allow the identification of appropriate technologies that will satisfy the needs of small farmers according to their local, cultural, and economic conditions. The appropriate technologies need to be diffused among the farmers for adoption. Rogers (2003) observed that technologies that are diffused by opinion leaders are adopted by their peers. Thus, the second case study analyzed the social networks and their leaders to observe their potential to support the diffusion process of technologies. The study revealed the presence of diverse social networks, one provided by the political structure, others based on organized groups of farmers and other informal networks formed by independent farmers. Data also showed that opinion leaders have desired roles and characteristics among their networks. Therefore diffusion of innovations through formal and non-formal leaders represents a promising strategy as they are recognized and respected by peers. The diffusion of innovations through opinion leaders promotes the active participation of local members, validates the innovations, and sustains adoption over time. Therefore, the analysis of the social networks and selection of opinion leaders supports the diffusion process of the AGTEC project in Chimaltenango, Guatemala. v DEDICATION I dedicate this thesis to the memory of Dr. Norman Borlaug, leader of the Green Revolution, who devoted his life to develop agricultural technologies to save the world from hunger. vi ACKNOWLEDGEMENTS I would like to thank all my family and my boyfriend for their patience and love during this process. Their constant support has always encouraged me to do the best I can and get all my dreams accomplished. I would like to express my gratitude to my committee co-chairs, Dr. Dooley and Dr. Shinn, and my committee member, Dr. Giusti, for their guidance and support throughout the course of this research. My gratitude is extended to the Bourlaug Institute for giving me the opportunity to collaborate with the AGTEC project and for facilitating activities to conduct the field research. I would also like to thank the staff members of the project who supported the research and the farmers from Chimaltenango who were willing to participate in the study by sharing their stories and goals. vii ACRONYMS AND OPERATIONAL DEFINITIONS Acronyms AGTEC Agriculture in Guatemala: Technology, Education, Commercialization BI Borlaug Institute for International Agricultural Development TAR Texas AgriLife Research FRS Farm Research System PRA Participatory Rural Appraisal Operational Definitions Appropriate technology “Any object, process, ideas, or practice that satisfies human needs” (Hazeltine & Bull, 2003, p. 3). They are design based on the beneficiaries’ needs to fit the local, cultural, and economical situations through the use of available resources (Hazeltine & Bull, 2003). Change agent Individual who “facilitate the flow of innovations from a change agency to an audience of clients; to be effective the innovations must be selected to match client’s needs” (Roger, 2003, p. 368). Diffusion “Process by which an innovation is communicated through certain channels over time among the members of a social system” (Rogers, 2003, p. 11). Gini coefficient Economic index which measures the equality in the distribution of income among the population of a country, viii where 0 implies perfect equality and 100 implies perfect inequality (Earthtrends, 2003). Innovation “An idea, practice, or object that is perceived as new by an individual or group of individuals” (Rogers, 2003, p. 12) Needs assessment Systematic documentation that “involves the identification, definition and prioritizing of farmers’ problems and opportunities that appear susceptible to intervention” (Dorwand, Shepherd, & Wolmer, 1997, p. 243). Opinion leaders Heterophilous individuals who “influence others’ attitudes or change behavior informally in a desired way with relative frequency” (Rogers, 2003, p. 388). Participation “A process through which stakeholders influence and share control over development initiatives, decisions, and resources that affect them” (World Bank, 1996, p. 3). Social system/network “A set of interrelated units that are engaged in joint problem-solving to accomplish a common goal” (Rogers, 2003, p. 23). Sustainable development “Development that meets the needs of the present without compromising the ability of future generations to meet their own needs” (United Nations, 1987, p. 24). ix TABLE OF CONTENTS Page ABSTRACT .............................................................................................................. iii DEDICATION .......................................................................................................... v ACKNOWLEDGEMENTS ...................................................................................... vi ACRONYMS AND OPERATIONAL DEFINITIONS ............................................ vii TABLE OF CONTENTS .......................................................................................... ix LIST OF FIGURES ................................................................................................... xi INTRODUCTION ..................................................................................................... 1 Statement of the Problem .............................................................................. 1 Conceptual Framework ................................................................................. 5 Purpose of the Study ..................................................................................... 10 Research Questions ....................................................................................... 11 Methods ......................................................................................................... 12 PARTICIPATORY NEEDS ASSESSMENT OF SMALL FARMERS IN CHIMALTENANGO, GUATEMALA .................................................................... 16 Introduction ................................................................................................... 16 Literature Review .......................................................................................... 16 Background on the Study Context ................................................................ 23 Purpose and Research Objectives ................................................................. 24 Methods ......................................................................................................... 25 Findings ......................................................................................................... 27 Conclusions, Recommendations, and Implications ....................................... 44 A CASE STUDY TO SELECT OPINION LEADERS TO DIFFUSE AGRICULTURAL INNOVATIONS IN CHIMALTENANGO, GUATEMALA ... 49 Introduction ................................................................................................... 49 Literature Review .......................................................................................... 50 Background on the Study Context ................................................................ 56 x Page Purpose and Research Objectives ................................................................. 57 Methods
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