Read Microsoft Word - CGFs TRAINING CURRICULUM text version





Prepared by NMK Secretariat

May 2007


TABLE OF CONTENTS 1. Foreword 2. Acknowledgement 3. Introduction to NMK project 4. Baseline data collection 5. Participatory extension approaches 6. Farming as a Business 7. Networking and Collaboration 8. Agro-processing and value addition 9. Marketing and markets information 10. 11. Organizational development Cross Cutting issues

Mainstreaming Gender concerns Mainstreaming HIV/AIDs Mainstreaming Drugs and substance abuse Mainstreaming Human rights Mainstreaming Environmental Issues Mainstreaming Democracy and Governance Counseling and Guidance 12. Participatory Monitoring and Evaluation


FOREWORD Njaa Marufuku Kenya Programme was formulated by Agriculture Sector Ministries to fast track the fulfillment of the first Millenium Development Goal (MDG-1). The programme targets the extremely poor and vulnerable community members, empowers them through capacity building and provision of sustainable resource support that enables them to participate fully in economic activities. A Community Group Facilitator (CGF) is attached to each farmers group that benefits from NMK support. The efficiency in resources use and gains made by groups from their projects is largely determined by the enthusiasm and support the groups receive from their facilitators. The facilitators help groups to learn new skills, remain focused, try out new technologies through experimentation and think through their planned activities. The technical ability of the facilitators has a bearing on empowering groups to improve their livelihoods, food security and incomes and increase their social capital. Their capacity needs to be built and improved to enable them effectively guide community groups in the implementation of their projects. The training guidelines were developed to ensure that Community Group Facilitators are equipped with knowledge and skills on participatory approaches so as to guide groups adopt appropriate crop and livestock production technologies. Key group management aspects such as leadership, group dynamics, governance, financial management and record keeping have been included in the document. Farming as a Business, marketing, agro-processing and crosscutting issues such as HIV/AIDS, Drug and Substance Abuse, environment and gender concerns that are key ingredients towards achieving food security and improving household incomes have also been covered in the guidelines. It is hoped that the training curriculum will be useful to trainers of Community Groups Facilitators and will help them impart the CGFs with the necessary knowledge and skills for improving their effectiveness and efficiency in service delivery to NMK community groups and the farming community in general.

Philomena Chege (Mrs) National Project Coordinator Njaa Marufuku Kenya


ACKNOWLEDGEMENT The successful development of this training curriculum took the concerted efforts of many people. Their participation and contribution in the process are recognized and acknowledged. We wish to acknowledge the role played by the NMK Secretariat comprising of Philomena Chege, Mary Mungai, Didacus Ityeng, Betty Nyandat, Richard Ndegwa, Wilson Oduori, Joyce Mue, Tom Dienya, Valerie Wambani and Boniface Ouko in formulating, editing and producing the curriculum. Sincere gratitude go to staff in the Ministry of Agriculture namely; Zachariah Mairura, Simon Muindi, Edward Osanya, Benson O. Nyariaro, Elizabeth W. Kamau, Joseph Kere Oyuga and Lydia Maina who actively participated in the process and contributed valuable information in the document. There are individuals not mentioned by name who provided vital information and materials that helped in the successful completion of the document. They are all acknowledged and their contribution highly appreciated. The Director and staff of Agricultural Information and Resource Centre enabled the document to be in the form it is in and their input is appreciated.



Background The Government of Kenya is a signatory to the Millennium Declaration made at the United Nations Millennium Summit in September 2000. World leaders at the Summit adopted the Millennium Development Goals (MDG), which set clear targets for reducing poverty, hunger, disease, illiteracy, environmental degradation and discrimination against women by the year 2015. Njaa Marufuku Kenya Programme was developed by the Agriculture Sector Ministries in collaboration with Development Partners for fast tracking the implementation of MDG 1 to half the number of poor and hungry people in the country by 2015. Goal To contribute to reduction of poverty, hunger and food insecurity among poor communities in Kenya. Objectives 1. Increase food security initiatives through support to resource poor communities. 2. Support health and nutrition interventions that target the poor and vulnerable. 3. Strengthen and support private sector participation in food security and livelihoods innovations. 4. Strengthen the management and coordination of the project. Target Beneficiaries Njaa Marufuku Kenya targets the extremely poor and vulnerable members of our communities (women, youth, orphans, single headed households), empowers them through capacity building and provision of sustainable resource support that enables them to participate fully in economic activities. Areas of Intervention Njaa Marufuku Kenya supports community driven, agricultural development initiatives that increase productivity, enhance the generation of rural incomes, address health and nutritional improvement and restore and conserve the natural resources base. Programme Components Component 1 ­ Support to Community Driven Food Security Improvement Initiatives Aim: To empower community groups through capacity building and provision of small grants for up scaling agricultural activities that focus on hunger, poverty reduction and income generation. Key activities Group's projects fall under the following broad categories. Small scale irrigation and water harvesting technologies Production of high value crops. Support to value addition and marketing of agricultural produce 5

Environmental conservation Draft animal technology adoption Promotion of livestock enterprises. Promotion of Fish Farming Artificial Insemination Services. Dipping services. Animal health services

Component 2 ­ Support to Community Nutrition and School Meals Programme Aim: To improve the health and nutrition status of vulnerable people and school-going children. Key activities Encourage involvement of the youth in agriculture through 4-K clubs and school garden projects. Support to community driven school meals programmes. Capacity building at school and community level. Promotion of consumption of locally produced micro-nutrient rich foods. Production and dissemination of Information, Education and Communication (IEC) materials. Establishment of community growth monitoring centers.

Component 3 ­ Support to Private Sector Food Security Innovations Aim: To encourage private sector participation in poverty and hunger reduction initiatives. Key areas of support Extension service delivery Water harvesting technology transfer Capacity building Crop and animal husbandry Small scale irrigation technology transfer Environmental conservation Soil improvement Component 4: Project Management and Coordination Aim: To have a well coordinated, efficient and effective programme. Key Activities Set up and operationalize NMK Secretariat and its structures. Carry out capacity building of PCUs, DCUs and Community Groups Facilitators. Design, develop and implement a Participatory Monitoring & Evaluation system. Prepare joint annual work plans and budgets for NMK Secretariat, PCUs and DCUs. Establish and strengthen linkages with stakeholders at national and district levels.



Introduction The major objective of Njaa Marufuku Kenya is to reduce poverty and food insecurity. This implies that the programme should embrace activities that will improve real incomes of farmers and enhance availability and access to food. Training under the programme should therefore be geared towards enhancing the capacity of farmers in transforming agriculture and aquaculture from subsistence to commercial farming. Capacity building should also increase skills and knowledge in technologies that will impact on food security, income generation and poverty reduction. Overall Objectives Improve staff knowledge, skills, competence and confidence. Roles of NMK Institutional Structures 1. Community Groups Facilitators (CGFs) Identify training needs of groups and group members. Act as immediate technical adviser to the group. Capacity building of groups in both managerial and technical skills, and ensuring that basic management training is undertaken before the group begins implementation of other activities. Facilitate linkage with other technical officers for special topics whenever necessary. Identify and prepare potential community member(s) to act as future group facilitator(s). 2. Divisional Implementation Teams (DivITs) Act as groups' trainers where applicable. Identify group facilitators to be trained as well as their training needs. Backstop and capacity build the Groups Facilitators where necessary. Assist the facilitator to access training materials and information. Assess training impacts for the groups and make necessary recommendations thereof. Assist the Community Groups Facilitators to identify and access external training specialists where necessary. 3. District Coordination Units (DCUs) Plan and coordinate and facilitate training of the groups facilitators Appoint other resource persons where necessary. Assess trainings needs of groups, facilitators and the DvIT. Ensure that training programmes are implemented. Manage and account for training funds. Sensitization of Community groups, Divisional Teams and other stakeholders on NMK activities. Source and keep reference materials relevant for the District. Compile and avail training reports where necessary. 7

4. Provincial Monitoring Units (PMUs) Source for resource persons where required by DCUs. Assess trainings needs of facilitators, DivITs and DCUs. Monitor implementation of training programmes in the Districts. Sensitization of stakeholders at the provincial level on NMK activities. Source and distribute reference materials for the DCUs. 5. NMK Secretariat Source and allocate training funds to various users. Source/prepare and distribute training and reference materials. Review and up-date training curriculum from time to time. Organize specialized trainings where required. Source training specialists where necessary. Assess relevance and impacts of training. Sensitize stakeholders and the general public on NMK. Organize external learning sessions where necessary.




Objective: By the end of the lesson, the learners will have improved their understanding of NMK goals and objectives. Content a) NMK Concept. b) Terms of Reference the Community Group facilitators Teaching Methodologies a) Lecture b) Group discussions Teaching Tools Lecture Notes Annex NMK Concept


Objectives: By the end of the lesson, the learners will: a) Understand the rational and importance of baseline data collection for projects/programmes evaluation; b) Learn the principles of data collection; c) Know how to practically collect and store data. Course content outline a) Introduction, definition of key concepts and words. b) Importance of data collection and analysis in projects/programme evaluation. c) Principles of data collection: Sampling and targeting (minimization of biases) Questionnaire design Questionnaire administration. Conduct of the enumerator Data recording Data analysis d) Practical: Questionnaire testing Actual data collection e) Summary ­ of what baseline survey entails Teaching Methodologies: a) Lecture with open participation b) Practical demonstration in the field on questionnaire administration and data collection Teaching tools: a) Lecture notes b) Questionnaire samples Annex Notes on Baseline Data Collection & Questionnaire



Objectives: By the end of the lesson, the learners will: a) Improve their skills on how to interact and communicate with farmers and other stakeholders. b) Appreciate the importance of sharing experiences and information. c) Be able to analyze farmer's problems and needs d) Facilitate diffusion of innovations including improved technologies and Indigenous Technical Knowledge (ITK) e) Empower farmers to organize themselves for joint planning, decision making, sharing of resources and evaluation of results. Course Content: a) Introduction b) Key steps in participatory approaches c) Extension Methods d) Important Considerations e) FFS Methodology f) CIG Approach Teaching Methodologies: a) Lecture with open participation b) Practical demonstration in the field Teaching Tools: Lecture notes FFS Extension Methodology Manual Application of methodology Annex Notes on CIG Approach Notes on participatory Extension Approaches Fish Farming Fact Sheet FFS learning topics


Objectives: By the end of the lesson, the learners will understand and appreciate the importance of the concept of Farming as a business. Course Content: a) Farm and farm enterprises choice b) Farm management and functions c) Farmer's objective formulation d) Decision-making process e) Farm resources allocations and combinations f) Calculation of gross margins g) Costs and Profitability h) Whole farm income analysis i) Farm layouts crop rotational plans j) Farm records keeping


Teaching Methodologies: a) Lecture with open participation b) Practical demonstration using a member's farm as an example Teaching Tools: a) Lecture notes b) Practical c) Application of methods Annex Notes on Farming as a Business


Objective: By the end of the lesson, the learners will acquire skills and knowledge on the importance of processing and value addition of various agricultural produce and how to practically initiate such innovations. Content: a) Importance of processing and value addition. b) Identification and selection of the processing technologies c) Resource building and knowledge-based information inputs: Packaging, quality and standards Teaching methodology: a) Lecture-cum-discussion, case studies. b) Interaction with experts in agro-processing, entrepreneurship development, and with successful entrepreneurs for practical insights on technology and production. c) Study visits to institutions and small enterprises. d) Group work, practical demonstrations and participation by the attendees. Teaching tools a) Lecture notes b) Practical Annex Notes on agro-processing and value addition


Objectives By the end of the lesson, the learners will be equipped with skills and knowledge on marketing, market information and their application. Course content a) Marketing function b) Market identification and targeting. c) Concepts of marketing mix ­ 7Ps d) The changing trends in marketing of agricultural produce. e) Agricultural produce and products chain. Teaching methodology: a) Lecture-cum-discussion, case studies. b) Study visits. Teaching tools


a) Lecture notes b) Practical Annex Notes on marketing and market information.

TOPIC VII: COLLABORATION AND NETWORKING Objectives: By the end of the lesson, the learners will: Understand and appreciate the importance of networking and collaboration (for farmer groups and extension officers)

a) Learn the various approaches of collaboration and partnership; b) Know the requirements of effective collaboration; c) Tools necessary for effective collaboration; d) Appreciate the challenges of networking and collaboration; e) The benefits of collaboration. Course Content Outline: a) Introduction: Definition of key words: Public- Private Sector Partnership, Collaborators, stakeholders, & networking. b) Importance of collaboration c) Role of key stakeholders in fostering collaboration. d) Practical ways of collaboration Teaching methodologies: a) Lecture with open/free participation. b) Practical ­ visit an existing collaboration network e.g. between government and an

established NGO.

Teaching tools:

a) Lecture notes b) Checklist for field visit Annex Notes on Collaboration and Networking



Objectives: By the end of the lesson, the learners will Course Content a) Kinds of groups: formal, informal. b) Group formation: why people form groups c) Dynamics of group development. d) Teamwork and leadership. Teaching methodology 1. Lecture 2. Discussions 3. Exercise: working together, democratic leadership. Teaching tools 1. Lecture notes Annex Notes on group Dynamics Organizational Development


Objectives: By the end of the lesson, the learners will: Be aware of the differential impact that development projects have on women and men and how to ensure equal participation of both genders in development. Acquire skills and knowledge to be more sensitive and responsive to gender concerns and their application in project implementation. Course Outline a) Definition of some concepts/ terms- Sex, Gender, Gender construction, Gender analysis, Sex Role, Gender sensitization, Gender roles, Gender awareness, Gender Identity, Gender issues, Gender concern. b) Social construction of gender: application of gender in relation to leadership choice, group membership, ownership and management of group activities, access/management of resources. c) Gender Analysis and methodology. d) Strategies to use to address the gender concerns/issues affecting the programme activities Teaching Methodology Lectures Study cases Role play Teaching tools Lecture notes Annex Notes on gender mainstreaming



Objectives: By the end of the lesson, the learners will understand the need for mainstream HIV/AIDs in the programme. Course Content: a. Key issues/emerging concerns, major impacts of HIV/AIDs. b. Necessary mitigation on the effects of HIV/AIDs on food security. c. Identification of appropriate/viable projects targeting the affected and infected (widows, widowers, orphans). d. Strategies to prolong life of those infected affected (Care and Support of the Infected and Affected) Teaching Methodologies: Lecture & Group discussions Teaching tools Lecture notes Annex Notes on HIV/AIDs mainstreaming


Objectives: By the end of the lesson, the learners will acquire skills and knowledge on human rights issues and their application in human development. Course Content: a) Definition of key concepts. b) The six human rights principles, examples and demands. c) Human rights approach in Kenya. Teaching Methodologies: Lecture & Group discussions Teaching tools: Lecture notes Annex Notes on human rights mainstreaming


Objectives: By the end of the lesson, the learners will acquire skills and knowledge on challenges of drugs and substance abuse, their effects on development and interventions measures. Course Content: a) Definition of key concepts key issues, emerging concerns and major impacts of drug and substance abuse. b) Necessary mitigation on the effects of drugs and substance abuse. Teaching Methodologies: Lecture with open/ free participation Teaching tools: Lecture notes Annex Notes on Drugs and Substance Abuse



Objectives: By the end of the lesson, the learners will acquire skills and knowledge on the importance and application of basic environmental conservation measures. Course Outline: a) Introduction, definition of key concepts: Environment, Conservation, Degradation; b) Emerging environmental Concerns; c) Environmental conservation strategies. Teaching Methodologies: Lecture. Group discussions Teaching tools: Lecture notes Annex Notes on Environmental Conservation


Objectives: By the end of the lesson, the learners will acquire skills and knowledge on democracy and governance issues in development interventions and project implementation. Course Outline: a) Definition of key concepts. b) Forms of democracy & Governments. c) Bill of rights. d) Governance levels and pillars. Teaching Methodologies: Lecture Group discussions Teaching tools: Lecture notes Annex Notes on Human Rights and Governance


Objectives: By the end of the lesson, the learners will acquire skills and knowledge on counseling and guidance principles. Course Outline: a) Definitions b) Principles c) Characteristics of a good counselor Teaching Methodologies: Lecture Group Discussions Teaching tools: Lecture notes Annex Notes on Counseling and Guidance



Objectives: By the end of the lesson, the learners will acquire skills and knowledge on Participatory Monitoring and Evaluation and the role of M&E as a decision making tool. Course Outline: a. Definition of key concepts; b. Importance of PM&E; c. Development of monitoring indicators. d. Report writing Teaching Methodologies: Lecture Group Discussions Teaching tools: Lecture notes Annex Notes on Participatory M&E



1. NMK CONCEPT NOTE a) OVERALL GOAL/ MAIN OBJECTIVE OF THE PROGRAMME The main objective of Njaa Marufuku Kenya Programme is to contribute to MDG-1 of reducing, by half, the number of extremely hungry and poor Kenyans by year 2015 starting from 2005. b) IMMEDIATE OBJECTIVE 1. Increase food security initiatives through support to resource poor communities by providing grants for capacity building/empowerment, up-scaling food security initiatives and creating a revolving fund. 2. Support health and nutrition interventions that target the poor and vulnerable as well as promotion of community based School Meals Programme targeting pupils from poor families. 3. Strengthen and support private sector participation in food security improvement and livelihood initiatives. 4. Strengthen networking and collaboration with other stakeholders in hunger and poverty reduction in Kenya. CORE VALUES AND PRINCIPLES 1. Radical change in attitude and approaches towards poverty and hunger reduction initiatives. 2. Targeting the extremely poor and vulnerable community members (women, youth, orphans, singleheaded households) and empowering them through capacity building and sustainable resource support to enhance full participation of the otherwise economically marginalized members of our society. 3. To recognize existing unique food security and hunger reduction efforts and to up-scale, replicate and reinforce such initiatives. 4. To focus on and amplify quick-win areas of Kenya's agricultural productivity potential, namely: small-scale water irrigation and management; investment in soil fertility improvement and increased use of farm inputs and modern farming techniques; emphasis on commercialization, value addition and improved earnings from farming. 5. Large scale, long-term, massive investment-on terms of coverage, resource allocation and individual efforts- in poverty and hunger reduction to ensure long-lasting solution to hunger and poverty in Kenya. 6. Collective responsibility and participation of all stakeholders and Kenyan citizens in particular in the fight against hunger and poverty in Kenya. 7. Moving from talk to action, and action with speed. Strategic Goals and Targets: The first Millennium Development Goal calls for the eradication of extreme poverty and hunger and has set the following interrelated targets: MDG-1 Target 1: Halve, between 1990 and 2015, the proportion of people whose income is less than $1 a day MDG-1 Target 2: Halve, between 1990 and 2015, the proportion of people who suffer from hunger In Kenya, the ERS and SRA have set similar targets for poverty and hunger reduction. It is recognized in the SRA that increased growth and development in agriculture is crucial in the achievement of these targets, which include: ERS Target 1: Reducing the proportion of population below the basic poverty line from 56% in the year 2000 to 26% by 2010.


ERS Target 2: Reducing the number of people who are food-cum-poverty stricken from 48.4% to 23.5% in the year 2008 and below 10% in 2015. For targets to be met, large scale and productive investment is needed: A consultants' report produced for the Ministry of Planning and National Development (MPND) in December 2004, estimates that several hundred million US dollars would need to be invested annually, if hunger were to be eradicated in Kenya by 20151. These estimates are indicative of the magnitude of the hunger problem in Kenya, which clearly requires urgent attention. The Government of Kenya has recognized that the agriculture sector receives inadequate public and private funding, which currently amounts to only about 4.5% budgetary allocation against at least 10% recommended by African Heads of State at the NEPAD Summit held in Maputo in July 2003. To address these challenges, H.E. President Mwai Kibaki called for "a drastic change of attitude and a greater commitment by those entrusted with the responsibility of managing this important sector" in the SRA document. The President repeated his call for action and pledged KSh 80 million towards the "Njaa Marufuku Kenya" Programme. In order to meet the many challenges facing poverty and hunger reduction in Kenya, the Njaa Marufuku Kenya Programme conforms to the following strategic characteristics: Transformational (rather than incremental) in scale and scope. Large scale, long-term, massive investment-on terms of coverage, resource allocation and individual efforts- in poverty and hunger reduction to ensure long-lasting solution to hunger and poverty in Kenya; Comprehensive, by concurrently addressing issues of food availability, access and utilization, and the need to generate income and employment; Focused, with well-identified priorities for addressing the challenges of Kenyans suffering from hunger, poverty, food insecurity and under-nutrition. Targeting the extremely poor and vulnerable community members (women, youth, orphans, single-headed households) and empowering them through capacity building and sustainable resource support to enhance full participation of the otherwise economically marginalized members of our society; Committed to community-participation and empowerment for effective planning, implementation and monitoring, as well as future sustainability; Learning from and building on decades of research and field experience in agriculture, food and nutrition. To focus on and amplify quick-win areas of Kenya's agricultural productivity potential, namely: small-scale water irrigation and management; investment in soil fertility improvement and increased use of farm inputs and modern farming techniques; emphasis on commercialization, value addition and improved earnings from farming; Long-term in commitment by all concerned, initially set at a minimum of 10 years; Quantitative in setting and monitoring targets for impact on agriculture, food and nutrition; A multi-sectoral and multi-institutional partnership coupled with strong national leadership and coordination. Moving from talk to action, and action with speed. Identification of the poor A key feature of NMK is targeting the poor and vulnerable. In 2001, 57 percent of Kenyans were considered poor as measured by two commonly used definitions2: Absolute Poverty: This relates to Kenyans earning less than Kshs 978 per capita per month per adult equivalent in the rural areas, and Kshs 1490 in urban areas. Food Poverty: This relates to Kenyans consuming below a minimum of 2250 Kcal per adult equivalent per day (translated into about Kshs 700 per adult equivalent per month).


S.N. Muturi and M. Odindo. 20 December 2004. Millennium Development Goal on Hunger (2005-2015) ­ Report for the Ministry of Planning and National Development (also referred to as Needs Assessment Report).


FAO (April 2004). Kenya Agriculture Sector Brief (draft); prepared by Gem Argwings-Kodhek, Tegemeo Institute of Agricultural Policy and Development, Egerton University.


It is generally felt that poverty and hunger are most severe in the arid and semi-arid (ASAL) areas of Kenya. In percentage terms, poverty levels vary greatly across the country, with some of the highest rates in Districts close to Lake Victoria, but also in central and coastal, as well as the ASAL areas. Under NMK, the category of the poor and vulnerable include: Smallholder producers, fisher folk and pastoralist households that cannot produce sufficient food, nor raise the necessary income to be food secure Poor households in urban and rural areas (and including female and child-headed households) with insufficient or no access to productive resources Malnourished children (including under-fives, school-age children and adolescents) Victims of HIV/AIDS and other chronic diseases Internally displaced persons and landless persons Njaa Marufuku Kenya - Draft Implementation Plan (2005-2015) Responsive to the President Kibaki's call to action, firmly anchored to national development policies, and with the clear commitment and support of the UN system and other partners, the Government of Kenya is ready to implement a bold and ambitious 10-year implementation plan (IP) for hunger eradication in Kenya, which will be financed from domestic (public and private) resources, and by development partners over the period 2005-2015. It is envisaged that the 11-year Implementation Plan (2005-2015) will be executed in two phases as follows: (i) Start up phase: immediate and urgent action in 2005 through a Fast Track Action Plan that focuses on community action and the implementation of social safety nets, including a proposed Community School Meals programmes, and nutritional interventions. Estimated investment: US$10.0 million (KSh 800 million) per year. The Government of Kenya through H.E. the President has already pledged US$1million (KSh 80million) towards immediate implementation activities. (ii) 10-year Full implementation Plan Areas for Intervention of 10-year Implementation Plan Drawing from existing documentation and knowledge the Implementation Plan to eradicate hunger in Kenya will identify specific interventions in several sectors, primarily ­ but not solely ­ in the agriculture sector, with clear lines of synergy developed with other sectors handling other MDGs pertinent to Hunger MDG (including Health/Nutrition; Education; Environment; Infrastructure). Components addressed by NMK NMK goals will be anchored on fulfillment of 3 key components namely: Component 1-support to Community-Driven Food Security Improvement projects (50%) Component 2- Community Nutrition and School Meals Programmes (20%) Component 3- Sponsorship for Innovative NGO, Private Sector and other Independent Food Security Initiatives (15%). Component 4- Technical Secretariat and DCUs support (15%). Institutional Arrangements for the Njaa Marufuku Kenya Programme Ministry of Planning and National Development provides overall coordination for the achievement of the MDGs in Kenya. However, the responsibility for coordinating a multi-sectoral and multi-institutional partnership related to the poverty and hunger goal (MDG-1) has been entrusted with the Ministry of Agriculture. Recognizing the complex nature of hunger and poverty eradication, the MoA will be the focal point for an alliance of government, non-government, private sector, and development partner stakeholders. Government partners will include (a) the Core Ministries for MDG-1: Ministries of Livestock and Fisheries Development and Cooperative Development and Marketing (b) Other Ministries: Health (nutrition department), Education (school feeding and Youths support), Water and Irrigation, Office of


the President (relief and rehabilitation, strategic reserves), Planning and National Development, Office of The President, Home Affaires (Social groups). Among the development partners, DFID, World Bank, IFAD, USAID, GTZ, DANIDA, CIDA, JICA, SIDA and UN agencies,( FAO, WFP, UNICEF, WHO, UNDP) and others will play important roles. It is recognized by Government and the UN System that FAO serves as overall convener on behalf of the UN for this initiative. Kenya has the largest concentration of international agricultural research centres of any country in the world. Both ICRAF and ILRI have their headquarters in Nairobi and most of the other 13 centres have representation and programmes in Kenya. It is expected that Kenya Agricultural Research Institute (KARI) Kenya Plant Health Inspectorate Services (KEPHIS) and other national research institutions will play a crucial role in this initiative. The global MDG Technical Support Centre, with headquarters in Nairobi, will also assist with planning and implementation. It is proposed that the Njaa Marufuku Kenya will be implemented through a multi-tiered institutional framework of existing institutional structures. The following generic bodies are proposed to ensure effective implementation: Sub-Committee of Relevant Ministers, chaired by the Minister of Agriculture, tasked with ensuring inter-ministerial harmonization of policies, programmes and budgets. National Steering Committee of relevant Permanent Secretaries and other stakeholder representatives across the agriculture, food and nutrition sectors. This Committee will comprise a maximum of 14 persons, comprising 7 from Government (from key ministries and KARI) and 7 from the non-government, international community, including two donor representatives. The Permanent Secretary, Ministry of Agriculture, and a Representative of the Donor Coordinating Group will jointly chair the Committee. It will provide guidance in planning and implementation of the Njaa Marufuku Kenya. Technical Working Group on Food Security. The TWG will function with a large degree of independence but will relate closely to established coordination mechanisms tasked with providing guidance to multi-sectoral activities related to poverty, hunger, food insecurity and malnutrition. The TWG is established under the Agriculture Sector Coordination Unit (ASCU). Members include directors from relevant ministries, ASCU coordinator and selected representatives. Linkages with other existing coordinating mechanisms such as the Kenya Food Security Meeting (KFSM) and Kenya Food Security Steering Group (KFSSG), the Inter-Ministerial Coordinating Committee on Food and Nutrition (ICCFN) MPND and the Task Force on Food and Nutrition Policy are established through this TWG. Secretariat based at MoA coordinates implementation of the programme. The Secretariat works under the guidance of the TWG on Food Security. The Secretariat is headed by a senior officer from the MoA, supported by 4-5 technical staff and 2-3 administrative support staff. Immediate roles include: development of the full Implementation Plan development of the Resource Mobilization Strategy development of the Public Awareness Campaign; and other tasks assigned by the National Steering Committee Source and allocate training funds to various users. Source/prepare and distribute training and reference materials. Review and up-date training curriculum from time to time. Organize specialized trainings where required. Source training specialists where necessary. Assess relevance and impacts of training. Sensitize stakeholders and the general public on NMK. Organize external learning sessions where necessary.


Provincial Coordinating Units (PCUs) Source for resource persons where required by DCUs. Assess trainings needs of facilitators, DivITs and DCUs. Monitor implementation of training programmes in the Districts. Sensitization of stakeholders at the provincial level on NMK activities. Source and distribute reference materials for the DCUs. Appraising the NMK Secretariat on issues arising from the implementation of the NMK Programme. District Coordination Units (DCUs) Plan and coordinate and facilitate training of the groups facilitators Appoint other resource persons where necessary. Assess trainings needs of groups, facilitators and the DivIT. Ensure that training programmes are implemented. Manage and account for training funds. Sensitization of Community groups, Divisional Teams and other stakeholders on NMK activities. Source and keep reference materials relevant for the District. Compile and avail training reports where necessary. Divisional Implementation Teams (DivITs) Act as groups' trainers where applicable. Identify group facilitators to be trained as well as their training needs. Backstop and capacity build the Groups Facilitators where necessary. Assist the facilitator to access training materials and information. Assess training impacts for the groups and make necessary recommendations thereof. Assist the Community Groups Facilitators to identify and access external training specialists where necessary. Community Groups Facilitators (CGFS) Identify training needs of groups and group members. Act as immediate technical adviser to the group. Capacity building of groups in both managerial and technical skills, and ensuring that basic management training is undertaken before the group begins implementation of other activities. Facilitate linkage with other technical officers for special topics whenever necessary. Identify and prepare potential community member(s) to act as future group facilitator(s).


2. TOR FOR COMMUNITY GROUPS FACILITATORS (CGFS) The role and guidelines for the Community Groups Facilitator (CGF) Each of the group benefiting from NMK grant should have a responsible field officer attached to them for purposes of facilitating them. Facilitation of the groups by CGF entails: Regular field supervision/ facilitation of the groups. Providing immediate technical support to the group and linking the group to other service providers so that the group is capacity built in various aspects. Writing regular reports and raising the earliest alarm on any group that may start showing signs of inappropriate utilization of the funds. Ideally, the field officer will use the Farmers Field Schools Approach (training of the CGF on FFS is mandatory) unless the group is dealing with an activity that cannot naturally fit within the modalities of FFS. The specific Terms Of reference for Community Group Facilitators are: 1. Shall oversee smooth running of the School and ensure that the curriculum is followed until graduation. 2. Shall commit to be with the School until end of project period. 3. Shall develop good working relationship with group. 4. Act as immediate technical adviser to the group. 5. Advise group on how to access quality farm inputs and equipment. 6. Facilitate linkage with other technical officers and other professionals/ experts for special topics whenever necessary. 7. Link the group with other stakeholders including private service providers. 8. Should have access to group records, including financial records, and advice where necessary. 9. Regularly attend FFS sessions without fail. 10. Should, in liaise with group leaders, write regular progress reports and leave copy of the report with group members. 11. Accompany group members during field visits and advise on best areas for visits. 12. Assist groups to prepare field days where necessary. 13. Should attend group meetings if invited by group members. 14. Shall respect group member's decisions and go by their wishes. FACILITATION The group members shall give some token to the CGF (for lunch and for transport) each time the Field Facilitating Officer visits the group to give technical advice. The number of visits to the group will depend on the enterprise and the FFS schedule agreed upon between the group members and the facilitator. Ideally, groups should demand the services of the facilitator and should only pay the said lunch and transport allowances when they are satisfied with the services offered.


3. BASELINE DATA COLLECTION FOR PROGRAMME EVALUATION 1.0 Definition of key concepts 1.1 Statistics This refers to the science of collecting, describing and interpreting data. It is the universal language of sciences. When carefully used, statistical methods can enable us to obtain accurate information through; Carefully defining a problem situation; Gathering data regarding the problem; Accurately summarizing the data; and Deriving and communicating meaningful conclusions There are roughly two branches of statistics namely; descriptive and inferential statistics. Descriptive statistics involve techniques of collecting, presentation and description of sample date, while inferential statistics relates to statistical routine/procedures/techniques of interpreting statistical values that result from descriptive techniques and making decisions and drawing conclusions about the sampled population NOTE: Statistics are more than just numbers! Indeed they are data, what is done to data, what is learned from the data, and the resulting conclusions from the date. 1.2 Population A population is an aggregate, a collection, or a set of subjects (individuals, objects, events) whose properties or characteristics are to be analyzed. In terms of M & E, a population may comprise the total number of people (respondents) who we have interviewed. If it were possible for characteristics of all individuals in an aggregate to be studied, this would be called a census. Rarely do we carry out a census because of time and resources constraints. Indeed researchers prefer dealing with representative samples. 1.3 Sample A sample is a subset of a population. It comprises the selected number of subjects or elements (individuals, objects or events) for study from population. Indeed, a sample is selected on the basis of how well the desired characteristics of a study are distributed among them to represent the population, bestowing the researcher with the power to generalize on the phenomenon under study. In the strictest scientific sense, a sample should be representative of the population. It should be selected with utmost care for it is critical on reliability and validity of results. 1.4 Variable(s) A variable is a characteristic of interest about each individual subject of element of a population or a sample for example, age, sex, marital status, occupation, education level etc. They fall under two categories namely; qualitative/attribute and quantitative/numerical variables. a) A qualitative/attribute variable is that which categorizes or describes elements of a population. Arithmetic operations such as additions and averaging on data resulting from such variables are not meaningful. b) A quantitative/numerical variable is that which quantifies an element of a population. Arithmetic operations such as additions and averaging are meaningful for such data. 1.5 Statistic This is a numerical value that summarizes the sample date e.g. an average age derived from the ages of 25 students admitted into a school. It is therefore, a value that describes a sample in respect of a certain characteristic or variable. 1.6 Parameter A parameter is as numerical value that summarizes all the data of an entire population e.g. the average age of all students admitted into a college. It is a value that describes a population in respect of a certain characteristic or variable. 1.7 Reliability This is a measure of the degree/extent to which an instrument yields consistent results of data after repeated trials. This is somehow addressed earlier in the process of data gathering. Errors arising out of inaccurate coding and ambiguous instructions to the subject determine reliability and the eventual validity of results


1.8 Validity Validity has to do with accuracy and meaning of inferences, which are based on research results. It is the degree or the extent to which results obtained from analysis of data actually represent the phenomenon under study in other words, how accurately does the data obtained represent the variables of the study? 2. O Level of Measurement. This refers to assignment of numbers/codes or values to observation. They are distinguished by ordering and distance properties. The computer does not know the measurement underlying the value it is given. HENCE one must determine the level/scale of measurement of his/her data and apply appropriate techniques of statistical analysis. a) Nominal Scale This is the `lowest' level of measurement- with no assumptions about relations between values. The values are merely category label egg. For the variable sex 1. Female and 2. Male The numeric values assigned to the categories are therefore only identifiers. Note that any mathematical manipulation of variables with such values does not make any sense. b) Ordinal Scale This is a higher level of measurement when compared to the nominal scale. Some criterion has been applied to order the categories for example, ordering workers in a factory according to skills or responsibilities. The real distance between such categories of workers is, however, unknown. Ordering is the only mathematical property in this sale/measurement and therefore, mathematical manipulation of variables having such values is not appropriate. c) Interval Scale d) Ratio Scale It is the highest level of measurement because it has both the ordering and distance properties of on interval scale. A zero point can be meaningfully designated for example zero is naturally defined as absence of distance. In this respect, ratio comparison can be made e.g. a 6 ft building is twice as tall as tall as a 3 feet building. Ratio measurements satisfy all properties of the real number system and, therefore any mathematical manipulations appropriate for real can be applied to ratio measures. 3.0 Basic tools and methods The basic tools required at the initial stage of data analysis are a codebook and a data code sheet. These are constructed manually and comprise most important stage! 4.0 The basic steps a) Pre-analysis stage Arranging instrument along some criteria to avoid confusion and to Facilitate efficient management of data during the analysis process; Serializing of instrument [questionnaire data/interview schedules containing data). This could as well have been done at the data collection stage; Data reduction; collapsing responses to open ­ended questions along some themes/ coding scheme to ensure clarity and to create manageable response categories Preparing a codebook (variable names/codes, variable types, variable labels and critical remarks); and Preparing of data sheets. b) Data entry stage Using codebook and data sheets to prepare data for entry (manual); Entry of data in the code sheet (manual); Initial data editing and cleaning : addressing clerical errors; Introduction to the SPSS programme: defining variable types and value labels; Creating a data file using the codebook, data sheet and the SPSS programme to create a database for analysis (electronic). Data cleaning (contingent cleaning of rogue values)


c) Data analysis stage i) Applying descriptive statistics that entails; Elements of statistical theory: Understanding the types of data and levels of measurement: Retrieving SPSS data files; and Summarizing data: generating frequency distributions, measures of central tendency (MODE, MEDIAN, and MEAN); measures of variability/dispersion (RANGE, STANDARD DEVIATION and VARIANCE); and Describing data and deriving preliminary narratives. Data transformation for further analysis ii) Applying inferential statistics to ascertain or falsify hypothesized relationship and associations using the following: Elements of statistical theory: hypotheses; CORRELATION (product-moment correlation coefficient); Chi-squire (X2) statistic and level of significance; Analysis of variance (ANOVA) ­ ONE ­ WAY and TWO ­ WAY analysis of variance; and Tests of significance: Students T-test and F-test. d) Data interpretation and presentation stage Tabulating and graphing data with appropriate charts and diagrams to illustrate decisions made; Deriving descriptions and deductions from the data to generate coherent and logical narratives; and Triangulating data from various sources and synthesizing them to generate a holistic picture of the phenomenon under study. 5. Data Analysis The first step in data analysis is to describe or summarize data using descriptive statistics. These enable us to meaningfully describe a distribution of measurements (scores) using a few indices or statistics. Each statistic used has a purpose and its usage depend on the type(s) of variables under study and scale of measurement used. i) Measures of Central Tendency The mode This refers to the most commonly attained value in a distribution of a particular variable. In a sample of subjects it is the score that occurs most frequently. For example, in the variable of number of people in a family - 3,4,5,6,7,9,10,12; the MODE = 6. There are certain aspects of the mode that may render it inefficient in describing a Distribution including the following: A set of scores/observations may have more than one MODE The MODE tends to be unstable. E.g. equal sized samples randomly selected from some population are likely to have different MODES although; they might be similar on the characteristic being measured. A set of scores may have no MODE in which case it is not helpful in describing a distribution. The Median It is the 50th percentile in a group of scores. It is the score that divides ranked scores into two equal parts such that a half of the scores are larger than the MEDIAN and half are smaller. For example, in a distribution of 75, 80,82,84,87, the MEDIAN = 82. Should the scores be even, the average of the sum of the two middle scores is the MEDIAN. For example, in a distribution of 21,23,24,25,27,30 the MEDIAN will be 24+25 divided by 2 MEDIAN = 24.5 The median however does not reflect the very low or high values in the distribution. This is a disadvantage although it may be an advantage when it is not desirable to include extreme values that may distort the distribution.


The mean This is the average of a set of scores/measurements resulting from summing up all scores and dividing the sum thereof by the total number of cases. It is expressed as; X = x/n where X = mean = sum of the scores X = each score, and N = number of scores Properties of the MEAN The MEAN is more stable than either the MODE or MEDIAN. If equal sized samples are randomly selected from the same population their means will tend to be more similar; The mean takes into account every score in the distribution; and The mean is pulled towards an OUTLIER, which becomes its major weakness as a measure of central tendency. ii) Frequency distribution This refers to the distribution of scores or measures in a sample for a specific variable. Frequency distributions are usually expressed in tables giving a record of the number of times a score on a response occurs. A percentage column is usually included in a distribution table. We can also generate "grouped frequency distributions" when scores are converted into interval variables for example. On the variable age as follows: NOTE: Frequency distribution tables serve to provide both descriptions and some sought of presentation of quantitative data. Frequency distributions are also expressed in percentages and represented in graphic form for to give a visual impression of what the data yields. Such are bar charts, histograms, frequency polygons, pie charts etc. Shape(s) of distributions Descriptive analysis includes indices that describe the shape of a distribution: Kurtosis For example is a measure of vertical departure from normal distribution. It refers to the "peakedness" or "flatness" of a curve, a peaked bare is said to be plasykurtic. Relationships Descriptive statistics can also give us a measure of a relationship between the two or more variables. An index can be computed for example, to measure whether the level of education is related to levels of income in a sample. This is possible only if the variables are measured at the ratio or interval scales. The correlation coefficient is most appropriate in this case. iii) Measures of Variability/dispersion Measures of central tendency are not sufficient to describe date. Using measures of variability on a distribution can yield more details. Variability refers to how scores are distributed around a central score or value, usually the mean. The purpose is to establish the extent of individual differences on a given variable. In this way, the resulting statistic allows to seek more meaning from the data that we describe. They comprise the RANGE, STANDARD DEVIATION AND VARIANCE. a) The range This is the difference between the highest and the lowest score in the distribution, hence determined by subtracting the lowest score from the highest e.g. Scores: 78, 79,80,81,82 and 85 The RANGE = 85 ­ 78 = 7 A small range indicates that scores are not spread out, while a big range denotes vice versa. Its advantage is that it provides a quick rough estimate of variability. Its biggest disadvantage is that it only uses the highest and lowest scores hence insensitive to the entire distribution. b) Standard deviation This is the extent to which scores in a distribution deviate from their mean or average. This mean is thus deducted from each score to determine the STANDARD DEVIATION i.e. x ­ x. Usually, some of the values will be negative. To do away with the negatives, the total sum of deviations is SQUARED and divided by the degrees of freedom giving us the VARIANCE.


c) The Variance This is expressed as S² = (x ­ x) ² divided by n ­ 1, after which the square-root is Calculated thus; S = (x-x) 2 divided by n ­ 1 S2 = Sample variance and S = Sample standard deviation X = sample mean N = sample size N -1= degree of freedom NOTE: If the VARIANCE value is small, the scores are close together. iv) Inferential Statistics These deal with inferences about a population based on results obtained from a sample. The essence of the inferential statistics is to generalize about a population using sample data. Indeed, these statistics are more concerned with determining how likely it is for results obtained from a sample to be similar to results expected from the entire population. Dealing with inferential statistics will therefore require us to have had some type of hypothetical assumptions about relationships between various variables either in terms of causality or association. Several statistical routines/procedures can be applied for inferences, of which suitability dependent on: (a) Sample size: If the sample size is too small, some statistical procedures cannot be used because they won't yield any meaningful results. (b) Types of variables and measurement scales: For example, are the variables to be used continuous or discrete?. Are they ratio, interval, nominal or ordinal? NB: Most data analysis procedures are suitable for variables measured at interval and ratio scales. © Type of research/evaluation design: In an experimental study that seeks to compare the differences between two or more groups, the analysis of variance (ANOVA) is best, while correlation and regressions are best suited for relationships and prediction. Inferential statistics include: (a) Correlation: Measures the degree of relationship between two variables. There are various techniques normally used, but the choice is based on: Whether variables are discrete or continuous and whether scale of measurement is nominal, ordinal, interval or ratio. They include: Pearson product-moment correlation (r) Correlation Coefficient. (i) Pearson product-moment correlation "r": It is used when both variables are ratio/interval and continuous e.g. age, income etc. It is commonly used in social science data. We can use the technique for categories/attribute data if we change them into dichotomous dummy variables. The value lies between ­ 1 and 1. (ii) Correlation coefficient: It tells the data analysis the magnitude of a relationship between two (2) variables. The bigger the value, the stronger the relationship. It also indicates the direction of relationship depending on whether it is a positive or a negative value. It is positive if the increase in variable x1 increases variable x2 and vice versa. It is negative if there is an inverse relationship. NB: Its importance lies in determining how variables are related and the strength of the association. A significant level is usually set at 0.01. This is also the confidence level. The computer generates the significant level for any pair of variables. (b) Chi-square test (x2) It is used to establish the relationship between two categorical variables egg. Gender and road accidents caused by drivers. The variable "road accidents" could be; 1.none 2.few 3.many AND "gender" could be; 1.female 2. Male


The technique compares through a count, the proportion observed in each category and what would be expected under the assumption that the two variables are independent. If the observed frequency greatly departs from what is expected, the hypothesis is that the two variables are independent is rejected and a relationship established. A test of significance is also done set at 0.05 or 0.01. The x2 value should be equal to or greater than zero. If the obtained value is greater than the critical value, the Hº of independence is rejected. It is weaker than correlation. If the probability of computed x2 value is less than the level of significance set, the Hº of independence is rejected. (d) Analysis of variance(ANOVA) This is used to determine whether there are significant differences between two or more groups of samples at a selected probability level. Pertinent questions in ANOVE are: (i) What is the probability that the variation among a group of sample means has occurred as a result of randomly selecting the samples from a common population? (ii) Are the differences among the groups due to treatments given or due to chance? This is done in: (i) ONE-WAY ANALYSIS OF VARIANCE Where groups are compared on only one variable but at different levels. The independent variable is measured at nominal/ordinal levels while the dependent variable is measured at ratio/interval level. (ii) TWO-WAY ANALYSIS OF VARIANCE Two or more groups are compared in more than one variable. NB: In variance, an F-statistic is generated. If it is greater than the set critical value (F-value) a difference between sample means is established. BASELINE DATA QUESTIONNAIRE FOR NMK SUPPORTED GROUPS (COMPONENT 1) A. GROUP INFORMATION Name of the Group................................................................... Name of village......................................Location........................Division........................District............ .................. Gender Numbers: Women..........................Men...................Youth.................. Social structure: Indicate if: a) Women Group b) Widows c) Orphans d) Men Group e) Mixed Group f) Coop society g) Any other B. Consider Location where the group/project is located: a) Main agro-ecological zones..................................... b) Type of soils and fertility.......................... Rainfall pattern: Long rains............., Short rains...........................................c) Number of permanent rivers...................Number of seasonal rivers.............. d) Number of natural springs.......................... e) Wells............................f) Any natural resources available........................................................................................................................... ..................... C. HOUSEHOLD DATA i) Name of household head............................................... b) Gender.....................Status: 1Married 2 Single 3Widow 4 Widower 5 Orphan ii) Total No of children................e) Children in primary school.........................f) Children in secondary school.................g) In Colleges or university.................... h) Out of school and not working.......................................g) No of dependent orphans (staying with HH)........................ i) No of casual workers............................ J) No of permanent workers.......................... D Household expenditure and income: i) Annual amount payable for school/college fees............................... ii) Estimated monthly on food & general upkeep.................... iii) Estimated daily expenditure on upkeep....................................iv) Estimated monthly income...............................v) source of


monthly income: Estimate amount in Ksh- Sale of farm produce............, Salary/Wages (if employed)............, Remittance from other places..............., any other sources....................... b) Household Assets: Estimated land acres.................. Motor Vehicles............Tractor (s)...........Posho mill............. Shop/Kiosk...............Bicycle (s)..............................Any other family asset................................ c) Group Assets (Specify)........................................................................................... E-Housing type: 1-Stones 2- Bricks 3-Mud 4-Make shift F- Enterprises 1. Livestock Enterprises TYPES Number Amount of Amount of Amount No of No Most milk/eggs/honey/Fish produce sold animals Consumed common produced per year consumed per sold per year diseases per annum per annum year Local zebu Dairy cows Local poultry Commercial poultry Beehives Pigs Sheep Dairy goats Local goats Camels Fish ponds 2. Crop Enterprises Cash Acres Estm. Total Amount Where Main Amount given Amount crop Yield production sold per sold reasons as consumed type per (Kg) per annum for selling. gifts/donation acre year to friends and relatives

etc G- Nutrition Main staple food..................................................Source of main staple food.................................................................. Is the staple food balanced? 1 Yes 2 No Is food produced adequate to last full year? 1Yes 2No If no, estimate number of months locally produced staple foods last............ Is the family dependant on relief food? 1Partially 2 Completely 3 No Estimate amount and type of relief food household receives received per year.....................................................................Source(s) of the relief food.............................................. Existence of kitchen garden: 1Yes 2 No Are there nutritional-related diseases in the area? 1 Yes 2 No


Common nutritional-related diseases in the area: a) Kwashiorkor b) Marasmus c) Scurvy Blindness e) Any other (specify) H- Health Common human diseases affecting household Disease type Period when common Most commonly applied Source of remedy remedy


Estimate distance to nearest dispensary..................... Existence of family latrine: Yes No I- Water Water source Estm. Distance to Monthly cost (if Type of home-based water treatment in nearest source any) use Piped water Lake/Ocean Stream Ponds Dams Spring Well Any other J-Energy Type Estm. Distance to Estimated cost per nearest source month Gas Bio-gas Paraffin Wood fuel Any other. K-Human Conflict Type Causes of conflicts Conflict resolution measures Wildlife-Human conflicts Human-Human (Tribal/clan) conflicts Cross boarder conflicts L-Markets and Market access Main Estimated. Commodity Types of buyers Main Commodities market (s) Distance to sold (Whole sellers, bought Markets Brokers, Companies, any other M-Conditions of marketing support infrastructure Type Condition GoodFair (Available) (Occasionally Available) Roads Telephones Post office Electricity Mobile network

Bad (Not available)



COMPONENT 2- BASELINE SURVEY QUESTIONNAIRE FOR SCHOOLS Name of District: ________________ Name of School: ______________ No. of teachers: ________________ No. of supportive staff: _______________ Total Number of Pupils: ________________ No. of Boys: ________________ No. of Girls: _______________ No. partial orphaned pupils__________________ No. total orphaned pupils _______ Total of Parents/Guardians: ________________ A. TOILETS 1. How many toilets does the school have? ____________ 2. Type of the toilets._____ 1. Standard VIP_________ 2. Mud Type____________ 3.Others (Specify) ___________ 3. How many toilets for girls? ________ 4. How many toilets for boys__________ 5. Are the toilets adequate (1 toilet per 24 pupils)? _________ 1. Yes 2.No B. WATER 1. What is the current source of water? ________ 1. Roof catchment 2. Borehole 3.River 4. Dam 5. Piped 6. Others (specify) __________ 2. How far is the water source?______________________(kms) 3. How is the water used in the school?__________________________ 4. Is the water treated? ______________1.Yes 2.No 5. If Yes, How? _____________ 1. Boiling 2. Chlorination 3.Others (specify) ________ 6. Is the water available throughout the year?_____________1.Yes 2.No 7. Is the water adequate throughout the year? ___________________1.Yes 2.No 8. What storage facilities are available? _________1. Tanks 2. Others (specify)____ C. SCHOOL MEALS PROGRAMME 1. Is there any feeding programme in the school? ___________ 1. Yes 2. No 2. If, yes, which pupils are fed and how is the programme managed? 3. What meals are provided?_________________1=Breakfast 2=Mid-morning meal 3=Lunch 4. What types of food are prepared for the school meal?________________________________________________________ D. SCHOOL KITCHEN 1. Is there any kitchen available? ________1=Yes 2=No 2. If No, is there any usable structure available? ________1.Yes 2. No 3. What is the type and source of fuel? Type Source Is it adequate? (Yes/No) 1 E. FOOD STORE AND COOKING FACILITIES 1. Any existing food store in the school? __________ 1. Yes 2. No 2. If yes, what is the storage capacity? ________ 3. What is currently in the store?________________________________________ 4. [Observe if the store well-ventilated] Comments _____________________________________ 5. What cooking facilities are available in the school e.g. Jikos, Sufurias, feeding utensils etc? [List in the table below] Item Total Number Are they Adequate? 1.Yes 2.No 1 2 3 etc


F. COOKS 1. Do you have any cooks in the school? ________ 1. Yes 2. No G. SCHOOL GARDEN 1. Is there any school garden in place? ______________1.Yes 2.No 2. If yes, what is the size? _____________ (Acres) 3. Who runs the garden? _______________ 4. What activities are currently carried out on the garden? _________________________ 5. Is there an Agriculture teacher in the school? ___________1. Yes 2. No H. VULNERABLE GROUPS 1. Which are the vulnerable groups in the school?

[List the groups, the kind of support given and by who in the table below]

APPENDIX 5: QUESTIONNAIRE FOR BASELINE DATA FOR HOUSEHOLD FOOD AND NUTRITION SECURITY AT COMMUNITY LEVEL PART A: BACKGROUND INFORMATION District..............................Division.....................Location........................... Sub location........................ Name of respondent..............................................Enumerator............................... PART B. Household composition. List the household members indicating their marital status, gender, and relation to hh head, education level, residence and occupation. Use the codes provided below the table. 1. Give information about your household members NAME SEX - RELATIO 1=male N HH 2=femal HEAD e AGE (Yrs/ month s) EDUCATI ON INCOM E 1=Yes 2=No MARI TAL STAT US OCCUPA TION

Codes Educational level Relation to h/h head marital status 1=none 1=Child 1=Married 2=primary incomplete 2=Parent 2=Divorced/separated 3=primary complete 3=Brother/sister 3=widowed 4=vocational (secondary) 4=Grand parent 4=single 5=secondary incomplete 5=others specify..... 5=N/A 6=college (certificate& diploma) 7=University 8=pre-unit 9= does not know Occupation- 1=Farmer 3=housewife 4=formal employment 5=student 6= business 7=none 8=N/A 9= others specify-------------------SOCIAL ECONOMIC STATUS 2. What are the main sources of income? 1=casual Labour 2=sale of farm produce 3=formal employment 4=Business 5= others specify---------------CROP & LIVESTOCK PRODUCTION 3. What is the size of land? ___________ (Acres) Owned__________ (acres); Rented__________ (acres) ; Others__________ (acres) 4. What total land acreage of land used for farming? ____________ (acres)


5. What crops did you grow in the last one-year? Crops Annual Est. amount Est. grown yield of food Amount (Kg) consumed/y sold/yr ear (a.) Foods Crops)

Est. Amount purchase d/yr

Amount given out

To whom?

(b.) Cash crops

6. Did you store any food after harvest in the last one-year? __________ 1=Yes 2=No 7. If yes, where and what was the main method of preservation? ___________ Type of food Amount Where stored? Main method stored stored preservation (kgs/bags)


Codes Measures 1.90 Kgs Sacks, 4. 2 kg Kasuku, 2. 50 Kgs Sacks, 3. 18 kg-Deb; other , specify.................... Where stored 1. Granary 2.House


4.Others specify___________________

Method of preservation 1=chemical 2=Ash 3=Smoking 4=None 5= others specify_________ 8. Do you always have enough food for all the members of your household? ____Code: 1 Yes 2 No 9. How long does the harvested food last? _______(months) 10. What are the other sources of food for hh consumption apart from farming? __1=Food relief; 2=Food for work; 3=food gifts; 4= borrow ;5=none 6= others specify_________ 11. Do you have a kitchen garden? ___________1=Yes 2=No 12. What are the main types of crops grown in your kitchen garden? __________________________________________________________________________________ _____ (List) 13. Do you own livestock? --------- 1=Yes 2=No 14. If Yes, Provide the following Information? Type No. of Product Prod/year livestock Amount sold Amount Amount consumed/yr given out To whom?

Types: Cattle, Goat, Chicken, Rabbit, sheep etc Products: milk, meat, eggs, honey etc Measures: Kgs, bags, litres etc. 15. Do you practice fish farming? _____________________1=Yes



16. If yes, provide the following information. Type No. Product Prod/year of fish

Amount sold

Amount consumed/yr

Amount given out

To whom?

FOOD CONSUMPTION PATTERNS 17. What is the main staple food consumed? __________________ 18. How many meals do you usually consume per day? _________Code: 1- One 2 ­Two 3 ­Three 19. How often are the following foods consumed in your household? Type of food Frequency of Freq. of Frequency of Rarely consumption consumptio consumption consumed per week n per month per 2 month Never consumed

CEREALS Maize products Millets products Sorghum Products Wheat products Rice Others, specify ROOTS AND TUBERS Cassava Sweet potatoes Arrowroots Yams Others, specify PLANT PROTEINS Beans Cow peas Pigeon peas Green grams "Njahi" Others, specify ANIMAL PROTEINS Beef Eggs Milk Fish Pork Rabbit VEGETABLES FRUITS Sukuma wki



Cowpeas leaves Cabbage Spinach Tomatoes Carrots Amaranth Black nightshade Pawpaw Oranges Ripe bananas Mangoes Others, specify Fats, oils and Sugar Cooking fat Cooking oil Sugar

FOOD HYGIENE AND SAFETY AND SANITATION 20. What do you do to ensure the food you eat is safe? ___________________________ (May have multiple answers) 1=Wash hand before eating 2=Wash food before eating 3=Proper cooking 4=Wash food before e cooking 5=Covering food 6=Wash utensils 7=Clean environment 8=others specify__________ 21. What do you do to leftovers foods?__1=thrown away 2= eaten 3=given to animals 4= others specify_____________ 22. If eaten, what is done to the food before eating? _1=Warming 2=Boiling 3=others specify_________ 23. Is there a toilet /latrine in the compound? _______1=Yes 2= No 24. If Yes, observe its' cleanliness? ________ 1=Clean 2=Not clean 25. What do you use as an alternative for the latrine (for those without toilet)? ____ 1=bush 2= flying toilet 3=communal toilet 4=neighbors toilet 5= others specify 26. Do the members of this household practice hand washing after using the toilet? _____ 1=Yes 2= No 27. If yes what facility do you use for hand washing?___1=leaky tin 2= Tilting 3=Tap 4=basin 28. In addition to water what do you use to wash hands? _1=Soap 2=Ash 3=Lemon 4=Nothing 29. What do you use for anal cleaning? __ 1=Finger2=Toilet paper 3=Old newspapers/books 4=old cloth 5=Green leaves 6=water 7= others specify______________ NUTRITION KNOWLEDGE 30. Have you received any information on nutrition? ___________1=Yes 2=No 31. If Yes what kind of information and from what source? Type of information Source By who? Duration When was the hours/days? last time?

1=Radio Neighbor

2=church 3=Health facility 7=others specify___________

4=Television 5=Field training



By who? 1=Health worker 2=extension worker 3=Friend 4=others specify__________ NUTRITIONAL RELATED PROBLEMS [By observation] 32. What are the common nutrition related problems in the area? CHILD CARE PRACTICES 33. Background information of the index child (select one)(6-59 months) Sex __________ ;Age_________; Date of Birth_________ 34. Duration of exclusive breast feeding if already stopped_________(days/weeks/months) 35.1f the child is above 2 years how long was the child breast-fed or has been breast-feeding? _____ 36. If the child is still below two years is the child still breast feeding?_______1=Yes 2=no 37. If no, give reasons? __1=Inadequate breast milk 2=working mother 3=child refusal, 4=sickness 6=no reason 7=others specify_______ 38. If the child is not exclusively breast-feeding when did you introduce the following foods? [Put the information on the table below] Food Items Age when Method of feeding: 1=cup and spoon; 2=bottle; 3=others introduced specify

Immunization status of the child: 39. Is the child fully immunized?______________ 1=Yes 2=No 40. If No, what vaccines have not been administered? (Use card to verify) BCG Penta Penta Penta PV1 PV2 PV3 OPV0 OPV1 OPV2 OPV3 MEASLES 1 2 3 41. Has the child received vitamin A supplementation in the last six months? _______1=Yes 2=No 42. From the child health card is growth monitoring still continuing? _______1=Yes 2=No 43. If no, at what age was it stopped? ___________ 44. Has the child been ill in the last two weeks? __________ 1= Yes 2=No 45. [If Yes ask], What illness?___1.Common cold, 2Malaria; 3Pneumonia; 4Diarrhoea; 5Worms (internal); 6Ringworms; 7Skin Diseases/scabby 8 Others, Specify ___________ 46. Weight and Height measurement of the index Child FIRST READING SECOND AVERAGE READING Height (cm) Weight (kg) 47. Presence of Oedema? _________ 1=Yes 2= No VULNERABLE GROUPS 48. Which are the vulnerable groups in the community and what support is given to them and by who? Vulnerable group What support is given By who to them


APPENDIX 6: BASELINE DATA QUESTIONNAIRE FOR PRIVATE SECTOR/NGO SUPPORTED HOUSEHOLDSS The purpose of this baseline data is to enable the NGO/DCUs to have the basic socio-economic data for household members supported by the NMK community grant. This data should be collected carefully and kept safely to enable the NGO/ DCU or any other interested party determine the level of socio-economic improvement realized as a result of the NMK grant support. The data is for future evaluation. The data should be collected by a qualified enumerator, who should be hired and monitored by the NGO Date of data collection......................................................... A. GROUP INFORMATION (If the person belongs to the group) Name of the Group................................................................... Name of village...................................Location...........................Division........................District............ Gender Numbers: Women..........................Men...................Youth.................. Social structure: Indicate by ticking the category of the group: 1) Women Group 2) Widows 3 Orphans 4 Men Group 5 Mixed Group 6 Coop society 7 Youth group 8 physically challenged 9 Any other (specify)....................... B. Consider Location where the group/project is located: 1. Main agro-ecological zones..................................... 2) Type of soils and fertility.......................... 3 Average annual rainfall (mm)....... and periods: Long rains....................... ..Short rains.............................. 4) Number of permanent rivers...................Number of seasonal rivers.............. 5) Number of natural springs.......................... 6) Wells............................f) Any natural resources available........................................................................................................................ ......... C. CURRENT LEVELS OF COLLABORATION/PARTNERSHIP i) Names and types (NGOs, CBOs, etc) of collaborating partners:

D. HOUSEHOLD DATA a) Name of household head........................................................ b) Gender.....................Status: 1 Married 2 Single 3 Widow 4 Widower 5 Orphan c) Total No of children................e) No of children in primary school.........................f) Children in secondary school............... g) Students in Colleges or university.................... h) Out of school and not working.......................................g) No of dependent orphans (staying with HH).................. i) No of casual workers............ J) No of permanent workers.......................... Household expenditure and income: a) Annual amount payable for school/college fees............................... B) Estimated monthly on food & general upkeep.................... c) Estimated daily expenditure on upkeep......................... d) Estimated monthly income............................... E) Source of monthly income: Estimate amount in Kshs- Sale of farm produce............, Salary/Wages (if employed)............, Remittance from other places..............., any other sources....................... b) Household Assets: Estimated land acres.................. Motor Vehicles............Tractor (s)...........Posho mill............. Shop/Kiosk...............Bicycle (s)..............................Any other family asset................................ c) Group Assets (Specify)............................................................................................ Housing type: 1-Stones 2- Bricks 3-Mud 4-Make shift Livestock Enterprises


Crop Enterprises

Nutrition Main staple food..............................................Source of main staple food:................................................ Is the common family diet balanced? 1. Yes 2. No Is food produced adequate to last full year? 1.Yes 2 No If no, estimate number of months locally produced staple foods last............ Is the family dependant on relief food? 1.Partially 2 Completely 3 No Estimate amount and type of relief food household receives received per year.....................................................................Source(s) of the relief food.............................................. Existence of kitchen garden: 1: Yes 2: No Are there nutritional-related diseases in the area? 1: Yes 2: No Common nutritional-related diseases in the area: 1) Kwashiorkor 4) Blindness 5)Any other (specify) Health: Common human diseases affecting household

2) Marasmus

3) Scurvy

Estimate distance to nearest dispensary..................... Existence of family latrine: 1:Yes Water



Human Conflict

Markets and Market access

Conditions of marketing support infrastructure


4: PARTICIPATORY GROUP EXTENSION APPROACHES. NMK gives emphasis to use of participatory group extension methods in the implementation of projects supported by the programme. These methods serve as a means of disseminating information and technologies to farmers to enhance agricultural and rural development. The aim of using participatory group extension methods is to develop farmers skills and empower them solve their problems. Through group extension methods emphasis is given to adult learning principles and farmers are encouraged to own both problems and solutions. Working with community groups allows extension staff to interact closely with farmers and widen their coverage and hence use scarce resources efficiently. On the other hand group members can pool their labour and other resources, share tasks, learn from one another and make decisions jointly. Farmers are also actively involved in setting their targets and in the evaluation of their activities and results. Participatory Group Extension consists of a basket of approaches that involve `outsider' facilitators working closely with the local communities. Farmers take on more active, participatory roles than in conventional extension. The approaches can be selected, mixed and adopted as necessary to suit a particular situation. The aims of using any of the approaches include: a) To strengthen the community's ability to carry out their activities with limited assistance from outsiders; b) To empower the community to plan and manage their own development. Purposes of Group Approaches: The participatory group approach used to reach farmers should serve the following purposes: (a) Build interaction and communication between the farmers and facilitator; (b) Sharing of information and experiences amongst the farmers; (c) Enable analysis of farmer's problems and needs; (d) Facilitate diffusion of innovations including improved technologies and Indigenous Technical Knowledge (ITK); (e) Empower farmers to organize themselves for joint planning, action, decision making, sharing of resources and evaluation of results. Key Steps in Participatory Group Extension Approaches Majority of Participatory Group Extension Approaches follow the broad sequence outlined below: (a) Creation of awareness - The facilitator organizes a meeting in which he/she introduces himself to community group members. He/she describes the process and/or approach to the group members, clearly outlining the purpose, the key steps and the expected outputs. (b) Institutional analysis - Involves identifying institutions within the community, their roles and responsibilities. This helps the facilitator and farmers identify the key institutions to develop linkages with in order to enhance collaboration and synergies and thus enable the group have access to the necessary support services (e.g. inputs supplies, marketing, credit facilities, etc). (c) Farmer's needs assessment - The aim is to identify the felt needs of the farmers group and gather socio-economic information on the group, its activities, production constraints, possible solutions and opportunities. The needs assessment exercise should help the group determine what they want to do to change their situation. (d) Planning - This involves prioritization and analysis of the farmer's needs and constraints, possible solutions and opportunities, choosing activities to be carried out and developing an action plan. The action plan should clearly spell out the activities to be carried out, when, how, where and by whom. (e) Participatory technology development (PTD) - This is meant to build on the local knowledge, skills and experiences of farmers and facilitators and encourage them to experiment and be innovative as well as seek for new information. Important methods include on farm adaptation trials and demonstrations of specific technologies. Exposure visits and farmer to farmer extension e.g. Field days, farm visits, farming competitions etc. organized by the farmers themselves can enhance sharing of information and experiences on agricultural technologies.


(f) Capacity building - Enhances farmers' skills, knowledge and ability to plan and mobilize resources necessary for implementation of their activities. Training should be provided on specific enterprises, leadership, organizational and financial management, group dynamics, record keeping etc. Emphasis should be given to farming as a business to enable the farmers generate income to develop a resolving fund to further upscale their activities and from which group members can get soft credit for activities in their individual farms. (g) Participatory Monitoring and Evaluation - This is meant to assess performance based on criteria developed by the group itself. Activities should be monitored on a continuous basis while evaluation should be carried out at different times and at different levels of implementation. Annual group review meetings are effective opportunity for participatory monitoring and evaluation. Extension Methods There are many different methods in participatory group extension approaches. These include: (a) Barazas - These are occasions when farmers are brought together to be introduced to some new development or to be persuaded to take greater care with some practice such as soil conservation. These could be used to create awareness on NMK activities. (b) Demonstrations - Held to create interest in new technologies, products or techniques. They provide a good opportunity to teach a practical skill (method demonstration) or to show the benefits of a particular product or method (result demonstration). (c) Field days - These are occasions for extension agents and/or farmers to disseminate technologies and encourage their diffusion to the larger community. If well organized they are a useful opportunity for farmers to exchange ideas and give feedback on technologies. (d) Group discussions - Are used to identify group or community needs or to plan an activity or project. Participants should be open to learn, exchange ideas and willing to reach a consensus. (e) Excursions - Give farmers an opportunity to learn from other farmers and research centers and thus widen their experiences and options. (f) Farmer Field Schools - Farmers are given opportunity to make a choice in the methods of production through adult education and discovery based approach. The approach increases the capacity of farmers groups to test new technologies in their fields; assess results and their relevance to their circumstances; and interact on a demand driven basis with facilitators. 5: FFS METHODOLOGY (Notes found in a separate manual i.e. FFS Training Manual) GENERAL FFS LEARNING TOPICS Introduction to FFS. Climate setting. Communication. Concept of AESA. Concept of Ecosystem Concept of what is this. Facilitation skills. FFS core activities. Group dynamics. Leadership. Principles of experimentation. Special topics. Steps in FFS implementation and Cross cutting issues.


ENTERPRISE SPECIFIC TOPICS A: TRAINING TOPICS/CURRICULUM FOR CROPS Principles of FFS/ Learning day/ Working day Problems in the area/ Prioritization Choice of crop/Enterprise of study to address priority problem Setting of study norms/ leveling of expectations. Land preparation/ Soil conservation Varieties of seed available/ and choosing varieties for planting. PTD Establishment Planting/seed-selection Weeds and weeding Top-dressing Types of pesticide, usage and dangers /Methods of Disease control. Pests and natural enemies of the study crop Record keeping Indicators of maturity and harvesting technique Grading/Sorting/Processing/ value addition/marketing Disposal of residue/ recycling Gross margin Analysis of the results Plans of up scaling what is learnt at group and individual farmer levels i.e. enterprise growth plan Next enterprise of study Cross cutting issues and Graduation/ Awarding of certificates B: TRAINING TOPICS/CURRICULUM FOR LIVESTOCK Principles of FFS/ Learning day/Working day Problems in the area/ Prioritization Choice of livestock/Enterprise of study to address priority problem Setting of study norms/ leveling of expectations. Land preparation/ soil conservation for fodder establishment Breeds of Livestock available/ and choosing breeds for PTD Establishment. Qualities of good breeding animal i.e. male/female Housing and housing types and accompanying importance Feeds and feeding External and internal parasites and their economic importance Breeding Livestock products and how to maximize on production Record keeping Processing/ value addition/ grading /marketing Utilization of livestock by-products Gross margin analysis Analysis of the results Enterprise growth plan per farmer and by the whole group Cross cutting issues. Next enterprise of study by the group Graduation and certification


C: TRAINING TOPICS/CURRICULUM FOR FISH FARMING Principles of FFS/ Learning day Problems in the area/ Prioritization Choice of Fish Farming/Enterprise of study to address priority problem Setting of study norms/ leveling of expectations. Site selection Land preparation/ Pond Construction Species of Fish available/ and choosing species Fish Farming Systems / choice of Pond management method to be used Advice on stocking densities Fertilizer applications Feeds and feeding Diseases of fish and their prevention Fish predators and their control Guidelines for transport of live fish Fish harvesting, processing and handling Effects of environment Record keeping Processing / value addition/ grading Gross margin analysis Analysis of the results Enterprise growth plan per farmer and by the whole group Cross cutting issues. Next enterprise of study by the group Graduation and certification D: TRAINING TOPICS/CURRICULUM FOR BEE KEEPING Number of times harvests made per year Supplementary feeding Foliage glowing plants Stocking rate Types of beehives Site Selection Apiary Management Indicators of honey accumulation Value Addition By products utilization. Best time for harvesting NOTE: o Harvesting ­ Always test the smoker first before harvesting o Foliage if wilting then enough honey is accumulated or if bees are fierce/aggressive and cluster at entrance and having a romantic smell then ready for harvesting o When harvesting be careful not to kill any bees as it attracts many bees Important considerations Group approaches and methods in reaching and interacting with farmers are only effective, if group dynamics and active participation of farmers are encouraged. It is important for each group to establish a set of working rules (formal or informal) or bye-laws that will be well understood by all group members. There should be benefits for following the rules and penalties for breaking them. 1] The role and election of group officials (chairperson, secretary, treasurer, etc.) should be stipulated.


2] Members' contributions (labour, finances, etc) and their attendance in meetings and workdays should be spelt out. 3] Rules on financial control, management, expenditure and book-keeping should be well spelt out to ensure transparency and accountability in the use of resources. 6: COMMON INTEREST GROUPS (CIG)APPROACH The concept of formation of CIGs aims at empowering the farming communities to take up agribusiness opportunities. Emphasis is on enterprise-based opportunities that are market oriented and income driven. CIGs are viewed as business entities and not just extension groups. Delivery of extension packages are part of enterprise development and are enterprise specific. In the use of CIGs approach the market opportunities of the possible enterprises in existing and new markets should be considered. The scopes of opportunities are normally wide and include organized production of existing and new enterprises; value adding/agro-processing, packaging and branding for niche markets. There are also instances where an adopted opportunity can trigger another opportunity e.g. animal feed manufacturing CIG as a result of demand for feeds by dairy production CIGs. Capacity building of CIGs involves training the members on organizational development, networking skills and technical packages required for enterprise development. Training normally is on the following areas as per the sequence with the exception of technical packages: Group organization and team work development Leadership and management Entrepreneurship and enterprise development (including marketing) Technical packages dictated by the steps being made on enterprise development. Cross cutting issues (Gender, advocacy, environment, HIV/Aids drug and alcohol abuse, democracy, legal rights and governance) must be mainstreamed during technical packages training. Networking with other service providers. CIGs focused tours Participatory monitoring and Evaluation. Enterprise growth plan.


7: FARMING AS A BUSSINESS Definition of a business: A business is an organization formed to make a profit by buying and selling merchandise, providing services or manufacturing goods. A business is an undertaking done with the intention of earning a profit. It involves investing with the objective of generating income at a later stage. In other words it involves a business person putting money into risk. An activity operated for the purpose of earning a profit by providing a service or a product. Profit is: The amount that remains after subtracting the cost of giving the service or product from what one gets after selling. When the production cost is bigger than what comes from the sale, the business incurs a loss. Examples of business: Tailoring, Retail shop, Maize mills, hairdressing, Wholesale, Home kiosks, Hotels/Bars, Boda boda, Welding, Carpentry etc All businesses are the same in away because before you start them, you first have to find out what you need and decide how you want to operate. This is called planning. The activities of a business are: Planning (what will we do, how to finance): This involves identifying requirements (inputs) and deciding how to operate the business using those inputs. The inputs can be in the farm of materials and finance. Organizing (who will do these things, and when): Involves distribution of tasks. Operating (actual buying or making of goods or providing services) Marketing (developing product, pricing, distributing, selling) Controlling (accounting for money, profits, records) Definition of Farming-As-A-Business: Operating a farm with profit making as the main objective thus operating a farm as a business enterprise. Subsistence Farming vs. Commercial Farming Subsistence farming provides food for a family and a small amount of money for basic needs only or Production of commodities for home consumption only. Income is not an immediate objective. Some farmers do it for prestige or for payment of dowry. Commercial farming provides food for a family and a profit for improved living costs and future investment or Farming is carried out for profit. Farmers invest in enterprises that can generate income. Risk management is given priority to minimize losses and increases outputs. Exercise 1 What are the differences between farming and tailoring business? Tailoring Inputs Operational activities Marketing activities All businesses have different types of risks, but proper planning and management can help one make sound decisions for a business Farming


Exercise 2 What are the risks in agribusiness and tailoring business? (Please complete the table and indicate by putting a tick where it applies). Compare risks in agribusiness and tailoring Nature of Risks Tailoring Weather Perish ability Bulkiness Produce price fluctuation Input price fluctuation -


Note that competition in farming is different from many other businesses. The market price fluctuates with supply and demand and is not necessarily predictable. The farmer must keep his costs low to maximize profit, as he is a risk taker. Farming seems to have more risks than tailoring. However, when the right decisions are made at the right time through proper business planning and management, risks can be minimized. Definition of some key business terms used Business Expenses ­ Any money paid out related to running a business or farm. For example, seeds and labour would be business expenses on a farm but purchasing Blue Band for cooking would not be. Production Costs ­These are expenses a farmer incurs when producing a commodity or crop. For example, the expenses one incurs in a farming business include seeds or cuttings, tools, equipment, and chemicals. Labour Costs ­ The total expenses for family labour and hired casual labour in producing a specified commodity. Farms have labour cost for activities such as sowing, weeding and harvesting. While some or all labour may be performed by family members and no wage is paid, the cost still exists (since if family members did not perform the labour other workers would have to be hired). Post Harvest Cost ­ These costs occur after harvest and are the costs that are required to get your product to the market. In the case of farming, it might me gunnysacks (packaging), or transportation costs to get the harvest to market. Sometimes these costs include selling cost such as commissions paid to selling agents for finding a buyer and may be called Marketing Costs. Yield/Output ­ This in the total volume of the product produced in a given time period. In case of a farm business, the yield would be in terms of quantity of crop produced (kg) per acre after a season. The yield is determined after deducting the waste or unusable amount. Sellable yield would be the yield after deducting waste and the amount the family keeps for their own use. Gross Income ­ Also called Revenue or Total Income, this is the sum of money a farmer receives for selling his commodity before deducting the variable costs of production and marketing that commodity. Net Profit ­ The sum of money left when all costs of production and marketing are deducted from the Gross Income. Net Profit is sometimes called Net Income. Income Statement ­ A management tool to determine Net Profit where actual production and marketing costs are deducted from Gross Income. Projected Income Statement ­ A simple predictive and management tool that informs the business person or farmer about the anticipated outcome of expenditures (investments) in terms of profits or losses (return on investment). Business Planning ­ The conscious act of thinking, arranging, designing steps to further your business or farm. Credit ­ Borrowed money for investment. Borrowed money before production and paying it back with interest after production is finished. (Another way to consider it is that it is money that you will earn in the future but that you are paying someone else for the privilege to use it today.)


Savings ­ Money that the business person or farmer sets aside from profits to be used for future expenses either business or personal. Sellable yield ­ Net yield after deducting the unusable amount. Farm gate price ­ The price of which the farmer sells the product to a buyer who purchases from his farm. Market price ­ the price at the market place. The farmer incurs transaction costs to get to the market. Break ­ even yield ­ Crop yield that must be realized to pay all costs. Break-even price ­ Minimum price to cover all costs of production. Value addition ­ Any activity to capture more of the profit from the retail price that the consumer will eventually pay for the product. Marketing ­ This is everything the businessman does to identify customers and what goods and services they are interested in. It also covers research about customers and the competition. Market: - Is a physical location or in a broader spectrum , where buyers of goods meet sellers. E.g. ­ Myanga market, retail market, Nairobi stock exchange (shares), -Foreign exchange business (currency) Diversification ­ A production technique or system where more than one commodity is produced from the same unit e.g. farm to manage risk and increase income. Person Day: Unit used to measure casual labour. (One working day for an adult). Return to Labour: Net profit divided by total number of person ­ days used to produce the commodity. Operational costs: The costs of actions or services needed to produce the output commodity. This does not include the cost of inputs. This would include labour for I and preparation, fertilizer application e.t.c. Unit Costs and Margins: The cost of production per Kg is referred to as unit cost. The profit margin is the difference between cost of production per unit and the sale price per unit of a product. Middlemen: Market participants that purchase from the producer or another middleman and sell to the final consumer or another market intermediary. Cash flow: Any amount of money that flows into the business as income or out of the business as expenditure. Efficiency: a process of working well, quickly and without waste. Small Holder Association(SHA) Collaboration group of farmers, for purpose of earning higher profits and paying. Fixed Capital: Machinery, tools, etc. that are invested in and paid for by a business in an initial period that will last for some time in the future. At what point can one claim to be doing farming as a business? a) Getting high yields per unit area b) Keeping records (helps you access progress) c) Having a good plan (road map to achievement) d) Good management strategy e) Use of Projected Income Statement ­( Evaluates options) FAAB strives to address some problems: Examples a) Problem: Low Gross Margins Possible solution Improve crop yields (e.g improve soil fertility and or/resolving drainage problems) Improve post harvest operations Improve supply/purchase system b) Problem: Low Crop Intensity Possible Solution Change to more intensive crops ( e.g hot pepper) Grow more high value crops (e..g pineapples, French beans, hot pepper)


c) Problem: High fixed Costs (Labour, machinery, Land, Building) Possible Solution Minimize expenses on buildings, rent of land, fencing Streamline layout of field to save in the labour and machinery use. Note: High fixed costs need to be combined with high intensity farming (higher GM) to cover the costs Low intensity farming (Low GM) can only be profitable with low fixed costs.

2.0 BUSINESS PLAN 2.1 Learning Objective: 1. Define a business plan 2. Explain the importance of business planning 3. List and explain the key components of a business plan 4. Prepare business plans for their enterprises 2.2 Facilitation Methods: Group discussions, presentations in plenary, practical exercises 2.3 Materials required: Flip Chart Paper, Marker Pens, Masking Tape, Manila Cards, Scripts of the exercises Suggested time: 3 hrs 2.4 Facilitators Guide: 1. Introduce the session and learning objectives 2. Participants brainstorm and define a business plan and its importance. Using participants contributions, agree on a working definition of a business plan and its importance 3. Explain the key aspects of business planning which include the following: Defining the business Activities Deciding scale of the business Inputs required Quantities required Cost estimation (fixed and operational costs) Sources of funding Assigning of roles and responsibilities Setting of rules and regulations Day-to-day management Record keeping/ financial accounts Marketing. 4. In groups, participants critically analyze two selected enterprises in session 4 and come up with a business plan. Focus should be on the key aspects of business planning discussed in no.3 above. 5. Invite groups to make the presentation to the plenary for discussions. The facilitator guides the discussion ensuring that the key elements of a business plan are all included. 6. Wrap up the session by emphasizing the importance of making a business plan as a guide to a successful business /enterprise.


What is business planning? Business planning involves setting objectives, defining the scale/size of the business, preparing and organizing all resources (human and material), which are required to run the business. It ensures that time and other resources are optimally utilized and costs are minimized. For small individual/group enterprises 5 key steps have to be undertaken in the planning process and these include: Deciding on the scale or size of the business Computing start-up and operating costs Mobilizing resources to start the business Assigning roles and responsibilities among members Agreeing on rules and regulations governing the running of the business Writing out a simple work plan Getting started Computing start-up and operating costs The group needs to know the costs to be met before anything can be produced (fixed costs). These may include: cost of land, buildings and cost of initial inputs. A group intending to start a poultry enterprise for example will have to construct a poultry house, it has to purchase feed/ water troughs. Once the group has established the fixed costs, the group also needs to compute the running or operating costs (variable costs). For a poultry enterprise these will include: costs of feed, vaccines, kerosene for lighting, veterinary drugs, labour, transport to the market and market dues. As with any business the group must ensure that cost estimates are realistic and kept to a minimum.

Figure 1: A group enterprise must be properly planned for it to succeed and all members' views must be accommodated Assigning roles and responsibilities At the time of choosing the business, group will have established whether or not it has the skills needed to run the business. At this stage the group decide exactly what role each group member has to play in running the group business. The group also needs to identify which member will have responsibility for coordinating each set of activities (coordinators). This also applies to individuals. Main areas of responsibility in small group businesses include:


Input supply to be coordinated by supply coordinator Production/processing to be coordinated by production coordinator Accessing advisory services to be coordinated by the group advisor Record keeping/treasurer to be coordinated by accountant Marketing/sales to be coordinated by marketing coordinator General management to be coordinated by business manager Apart from identifying the coordinators, the group also needs to assign individual members to the respective teams. Usually 1-2 members are assigned to work under each of the coordinators. Roles should be assigned to members who are knowledgeable, preferably with experience for the tasks assigned to them. However it is important to note that the main purpose of assigning roles and responsibilities is to ensure that all group members actively participate in the various enterprise operations. Like leadership, coordinating positions should be regularly rotated so that all members get opportunity to practice different roles. This ensures that knowledge is broadly shared and capacity built among all members and not focused on just one or two individuals. It also ensures that if a coordinator is sick or leaves the group, other members are able to step in and ably perform his/her duties.

Figure 2: Clearly assigned roles will lead to easy management of the group enterprise Agreeing on rules and regulations It is often difficult to get members to devote equal time and contributions to the group business. It is therefore often necessary to make rules and regulations guiding the group business. In particular the rules/regulations should guide the following: What new members must contribute in order to join the group business What benefits members will receive in case they wish to leave the group How much time each member should devote to the group activities How profits will be shared How losses (if any) will be shared How much of the profits will be reinvested in the business How arguments or conflicts will be resolved


It is however, important to note that only when rules are enforced, will they be of any use to the group. Some form of disciplinary measures need to be imposed on offenders while well performing members should be rewarded. Deciding on the scale or size of the business The size of the business is primarily determined by number of potential customers who will buy the product (size of the market) and the individual/groups' ability to meet the required start-up costs (fixed capital) and management. A simple market survey before starting the enterprise is recommended. Such a survey should address the following issues: How many potential customers exist? What are the product demand levels and their stability throughout the year? Are the resources sufficient to meet start-up costs? Are there competitors or other firms making similar products? What is the possibility for future expansion? However, the rule of the thumb is that it is usually better to start small and subsequently grow Drawing up the work plan It is important that the individual/group draws up a work plan before commencing business. The work plan should specify the key activities to be implemented, where they will be carried out, when they will be carried out, who will be responsible for each set of activities, the key resources required and the expected outputs for each activity. This will not only lead to timely operations, but will also ease supervision and monitoring of enterprise activities. Once the group has developed a work plan it ought to ensure that it sticks to it and alter it only when it is absolutely necessary. Getting started Once the group/individual decide on the scale of the business, start up operations have to be organized, some of which may be implemented at the same time hence a need for coordination. Key operations may include: Securing funds for the business. e.g. Individual/members' contributions, group savings, loan e.t.c. It is however, recommended that most financing for operations comes from individual or group fund. In case of a group enterprise, enough land should be secured, as lack of group land is usually the main constraint to running group enterprises. The group can rely on the good will of one of its members, but it would be better off hiring land and or outright purchase of its own land. Finding premises in which the business will operate. The premises can either be owned or hired by the individual/group depending on finances available Getting equipment and supplies that are needed to kick-start the business. The equipment depends on the type of enterprise e.g. a poultry enterprise requires the following: litter, feed and water troughs, lamps, feed and vet drugs, while a crop enterprise will require seed, agrochemicals etc. Preparations for selling include identifying a location for selling the products, which, could be a market stall, a roadside kiosk or a retail shop. Preparation for marketing also includes advertising the product on signposts or billboard, radio and newspapers. This is always the most neglected aspect of enterprise development and needs to be addressed at the planning stage. The sub-committee on marketing should try to link up with sources of marketing information and as much as possible try to promote the group products.


An example of a business plan for a group bean enterprise All groups should endeavour to prepare a simple business plan for their enterprises. A typical business plan should indicate the group name, its location, type of enterprise, the overall business objective, specific objectives, estimated start up costs, sources of funding, scale of enterprise, member's roles/responsibilities, rules/regulations and a simplified work plan. This will ease management and monitoring of the business. Group Enterprise: ...............Beans................................................................................. Overall objective: To maximize the group's income through commercial production of beans Specific Objectives To maximize yield through use of improved bean varieties To minimize costs through use of group labour To get premium prices by selling high quality beans during off-season e.g. Estimated start up costs: Shs. 10,000 Sources of Funding Members' contributions, Shs. 6,000 Group Fund, Shs. 4,000 Scale of enterprise Start with 2 acres during 1st rains of 2004 and expand to 4 acres in the 2nd rains. Members' Roles and Responsibilities 4 working committees under the leadership of a coordinator Purchases committee (3 members) Production committee (4 members) Finance committee (Treasurer and 3 members) Marketing committee (3 members) Rules and regulations All members to pay contribution of Shs. 400 each All members to work on group garden at least once a week A fine of Shs. 60 for absenting from group work All members to carry out monthly monitoring visits Work plan Activity When Ploughing Seed purchases Planting Weeding Harvesting February 04 February 04 March 04 May 04 June 04 Where Group plot UNFFE stores Group plot Group plot Group plot Chairman's home Chairman's home Soroti town Responsible person Production coordinator Purchases coordinator All members All members All members All members Marketing coordinator Marketing coordinator Resources Oxen, plough Cash, seed Group labour Group labour Group labour Hired labour Hired labour Transport Expected output Ploughed field Seed purchased Crop planted Crop weeded Crop harvested Clean crop High quality beans High income

Drying & June 04 threshing Sorting and July 04 bagging Marketing September 04


3.0 WAYS TO MANAGE RISKS 3.1 Learning objectives Participants to be able to identify business risks in farming. Understand definition of Risk How to manage risks 3.2 Facilitation methods: Small group and plenary discussions 3.3 Materials required: Flip chart, Marker pens, Pens, Note book Suggested time ­ 45minutes 3.4 Facilitators Guide What is Risk? Write answers on the board. Steer discussion to definition o Risk ­ The chance or possibility of loss. For example, a risk in farming is the lack of rain or not being able to sell your crop or commodity. Write definition on the board some of the risks of farming are: 1. Weather 2. Post Production Losses 3. Market Availability 4. Prices 5. Competition 6. Pests and diseases 7. Storage and 8. Health Risk cannot be completely avoided but it can be reduced or managed. Ask if someone can explain Re-emphasize the explanation Managing Risks means planning a way to lessen the impact of the risk. Discuss Ways to Manage Farm Risks Ask someone to read the first way to manage or reduce risk Discuss complete list of ways & why: o Plan your farming business using the Projected Income Statement o Grow what you know o Learn more about what you are growing and new crops o Plant several types of crops (maize, beans, sweet potatoes, etc.) o Set aside profits from each season (savings) o Keep records of costs, prices, etc. o Undertake non-agricultural profits generating activities o Work with other farmers to reduce costs and increase profits o Plant what sells (Plant-to-meet-market) o Develop a Farm Plan o Develop a healthy lifestyle o Know your HIV status Class Dynamic: Forms Groups and list ways to manage risks. 3.5. Reference notes to the facilitator Risk ­ The chance or possibility of loss. For example, a risk in farming is the lack of rain or not being able to sell your crop or commodity.


Risk cannot be completely avoided but it can be reduced or managed. Managing Risks means planning a way to lessen the impact of the risk. Ways to Manage Farm Risks: 1. Plan your farming business using the Projected Income Statement 2. Grow what you know 3. Learn more about what you are growing and new crops 4. Plant several types of crops (maize, beans, sweet potatoes, etc.) 5. Set aside profits from each season (savings) 6. Keep records of costs, prices, etc. 7. Undertake non-agricultural profits generating activities 8. Work with other farmers to reduce costs and increase profits 9. Plant what sells (Plant-to-meet-market) 10. Develop a Farm Plan 11. Develop a healthy lifestyle 12. Know your HIV status


8: FISH FARMING SELECTING OF A SITE FOR COMMERCIAL AQUACULTURE Commercial aquaculture can result in attractive profits but it can also result in mediocre profits or huge losses. Reasons for failure are diverse but include over-capitalization. Improper practices and food site selection. This Fact Sheet will give advice on site selection. If you select a good site, you still may fail if you design your farm poorly or manage it wastefully. THE FIVE CRITERIA FOR SITE SELECTION You should select a site taking into consideration the 5 criteria listed below. This does not mean you must meet every one of the criteria. However, be assured that if you do not meet a particular criteria, your cost of production will rise. If cannot meet even a few of the criteria, you probably will not make any profit. 1. WATER : The best situation is to have lots of water, for "free", meaning gravity flow. For ponds you should have a flow rate of at least 1 cubic meter per minute for each 1 hectare of ponds. Increase this by two or three fold if your ponds will leak excessively. Water from one pond can be siphoned into the next to conserve fertilizers but ponds should be drained and have the bottom dried yearly. Water, once used for fish culture, can be used to irrigate crops without adverse effects. 2. CLIMATE Water should be as warm as possible (more than 250C) for tilapia and clarias, as cold as possible (less than 180C) for trout. High sunlight intensity is also preferred for tilapia culture. In Kenya, growth of tilapia is quite slow at elevations greater than 1600m. For commercial purposes, average water temperatures of about 280C are best. If you are in an area with temperatures lower than this, a larger surface area can compensate somewhat. 3. LAND AREA The larger the surface area (with gentle slope) you have, the better in most cases. This is of course only true if your land and water does not cost much. Larger surface areas of ponds allows for greater natural production. The capital cost of pond construction is less than the cost of constructing tanks or cages. For tilapia production, one hectare of pond space can produce about 8 to 10 tons of fish per year if the pond is fertilized and fish are fed. A large private reservoir is ideal for production of tilapia in cages if other criteria are met. 4. PROXIMITY TO MARKETS Consider trying to market 1 ton of live fish per week. Will there be sufficient demand in your local area or will you have to truck out your fish every day or every week? It is *infinitely easier to sell at your doorstep or have a permanent buyer who takes everything you can produce and either picks them up or close enough for you to deliver. 5. INFRASTRUCTURE Roads, phone, electricity, although not essential for fish production, are certainly beneficial to a business. If you need to practice an intensive form of fish production, due to other constraints of space or water, you will need access to power. Electrical power is about 3 times cheaper than diesel power in Kenya. OTHER CONSIDERATIONS Predators A "predator-free" site may not remain so for long after fish farming begins. Otters, monitor lizards, pelicans, cormorants and humans are predators that tend to migrate to places where the fishing is easy. If predators are already present, some additional expenses will be necessary to reduce losses. It is best to deter predators before they figure out that there are large amounts of fish for the taking. Personnel Can you hire qualified people to staff your farm? Formal education is not the only criteria to use when selecting workers. Raising fish requires a certain understanding of animal welfare that is not always instilled in those having formal education. Fish are especially difficult to understand because they are not easily visible to people and their physiology is quite different from birds and mammals. Some training for prospective staff is available at Sagana Fish Farm. Access to technical advice. Technical advice can be expensive. It can also be wrong. Double check any advice you receive with someone who is qualified (meaning they have grown a few tons of fish before) and takes an interest in


your success. Consider criticism and compliments very carefully. Your best advice may come in form of criticism. You can also be misled into unnecessary expenditure by compliments. The horticulture and animal husbandry consultants may know about business planning for agriculture but they most likely do not know enough about fish farming to give proper advice. Good consultants admit when they don't know something. Competition Farmers in your area who can supply fish of equal quality for a lower price than you will be your competition. However if demand is high nearby fish producers may in fact help your own marketing. Also the presence of several fish farmers in one area may make it possible for inputs to be obtained less expensively by forming a purchasing block. Opportunity costs Ask yourself the following questions a. Would I be better off putting my money in the bank and drawing interest instead of investing in this? b. What else could I do with this site that could result in greater profits and would cost less to implement? c. Can I spend continuously and wait 3 years before realizing a profit? In general, the greater our planned initial investment, the more likely you will be to answer one of the above questions in a way that would lead you away from fish farming. However, some situations are just ideal for fish farms. Please feel free to contact the staff at Sagana Fish Farm, Fisheries Department if you are wondering about your situation. Some Pond Construction Tips Dimensions Minimum depth should be about 50-60cm to keep weeds from growing Maximum depth should be about 1metre to 1.2meters. Any more than that is a waste of space and possibly money because water below 1meter is not really used all that much by the fish in a really fertile pond. A slope on the pond dikes is needed. The more gentle the slope, the more solid the pond, but gentle slopes make ponds more expensive and make weed control more difficult. A slope of 2 to 1 (2meters horizontal for every meter in height) is the minimum recommended. A slope of 3 to1 is better. Freeboard, the distance between water level and the top of the dikes, should be about 30cm on small ponds and 50cm on larger ponds that are bigger than 1hectare. Length and width depend mostly on topography. Long narrow ponds are easier to seine but the lay of the land is most important when deciding width and length. Soil types Too much clay can make pond dikes crack and leak. This is why the black cotton soils are not really all that good for pond construction. Too much clay makes the soil easily eroded by wave action. Too much sand and stones or tree stumps will make the dikes too leaky but sometimes these leaks can be sealed by spreading cow dung on the interior dikes. A mixture that is about 25% clay is best. Make a ball and see if it maintains its shape when thrown up and landed on the ground. Also see if it cracks when left out on the sun to dry. It should not crack and should keep its shape when thrown in the air. Make sure layers of dike are built up gradually, moistened and compacted, every 15cm. If the soil is not the best type, make pond dikes a little wider than normal, or use a liner. Other design considerations Consider where the water will go if you have a big rain. Make sure it cannot wash out your pond. If you have extra soil use it to your ponds advantage; don't just pile it in a useless place. Increase the slopes of your dikes or protect your ponds from floods. Grass or other vegetation should be planted on levees but not allowed to grow tall or out into the pond.


You will usually have better production if your pond is near your house. If you have a spring that constantly runs water, it is better to capture the spring and then channel the water to a pond in a way that you can control the inflow. Spring water that is in constant flow through a pond is not advisable for tilapia production. Materials Many locally available materials can be used for pond construction. Pipes can be made of bamboo or tiles. Open canals lined with stones or bricks can serve as inlets. Screens can be made of feed sacks, baskets, pierced tins, etc. Feed sacks on sticks can replace wheelbarrows. Sometimes they are even better in sticky or wet soils. Drainpipes are not necessary. Would you pay lots of money for something you only use twice a year? It only takes an hour or two to cut the dike to drain most ponds and it doesn't leak through the old cut when you begin filling again. NOTE: Ponds should be constructed so that they drain water freely and that they allow free in-flows of water. Some Pond Management Tips Water flow, Yes or no? If you allow flow water in your pond continuously, the temperature will be lower and the nutrients will not accumulate. This is good for trout production. It is very bad for tilapia, catfish and fairly bad for carp production. Tilapia and catfish feed on the food that is produced by the fertilizers. Washing this food out of the pond is a waste. Tilapia, carps and catfish do best at high water temperatures. Keeping the temperature of the water low will make them grow slower. Water flowing into the pond brings in silt and can bring in chemical residues from pesticides. Reducing the water flow into ponds will reduce silt loads and lessen the risk of chemical contamination. Water should be screened before it enters the pond. This can be achieved by having the water enter the pond through PVC or a bamboo pipe and tying a feed sack to the end entering the pond. If you do not screen your water, you may get some wild fish, some predators or other unwanted insects and snails into your pond. Weeds or other plants, yes or no? Lilypads, water lettuce, water hyacinth, etc. use the nutrients in the water so that the small microscopic plants (phytoplankton) cannot get to them. If your fish eats plankton (tilapia does) then the larger weeds are a very bad thing to have. The weeds whose leaves are on the water surface will increase the loss of water through evaporation. This is not usually good for a pond. It can make your pond dry up so fast The weeds also shade the pond, making the water cooler, and preventing the phytoplankton from growing. Weeds make it very difficult to get the fish out of your pond by seining, by gill net, by hooking or by draining. Weeds harbor snails which can transmit fish and human parasites. They can also harbor snakes and fish predators. Weeds can serve as a refuge for the small fish. This is good if you have some bass in your pond and you want them to reproduce. Just make sure the pond does not get completely covered with weeds as this will be counterproductive. Never fertilize your pond if it is full of weeds. Pull them out first then fertilize afterwards. Shallow waters promote weed growth. Construct ponds so that the shallow end is deeper than 50cm. Keep pond sides trimmed so the grasses on the pond levee do not spread out into the pond.


Aquatic weeds make good mulching because they cannot take root on land. Alternatively, Land weeds make good pond compost because they will not spread in the water. Some few weeds can grow in both habitats but these are rare. Many Aquatic weeds produce spores or seeds that fall to the bottom of the pond. They will germinate if sunlight can penetrate the water all the way to the pond bottom. This is why shallow water contains more weeds. It is also why you should add manure or other fertilizer to the pond immediately after you have pulled out the weeds, to make sure the plankton grows quickly and blocks out the sunlight from reaching the pond bottom. Advice on Stocking Densities for Tilapia Production There are a few things we must know before we can decide how many fish to stock in a pond: 1. What is the surface area of your pond? 2. What kind of fish do you want to produce? 3. How do you intend to manage the pond; that is, what kind of feed and what kind of fertilizer will you be using (and how much). 4 . What size do you want the fish to be when you harvest? 5. What is the expected water temperature in your pond? 6 . Are there any other fish in the pond? Carrying capacity of a pond is the total weight of fish that can be supported by the pond. It is similar to the notion of an improved pasture. Good pastures can support more cows than poor ones. And if the cows will be given supplemental feed, more cows per pasture can be supported, up to a limit. Like a pasture, it is the sun and fertility that makes for production; therefore surface area is important; not pond volume. Assuming that tilapia is the major fish species you have chosen to raise and that there are no other fish in the pond, the table below can be used to help guide you in selecting the stocking density that best suits your conditions. This table was made based on experimental results obtained at Sagana Fish Farm. The last management level using pelleted feeds has not finished the testing stage and is based only on an estimated carrying capacity from research conducted elsewhere. Management you intend Expected to practice capacity (See sheets on feeding and (kg per 100m2) fertilizing to find recommended rates). 1. Composting, grasses and small 15 kg amounts of manure. 2. Chemical fertilizers at maximum 25 kg recommended rate. 3. Manure and feed such as bran. 40 kg Number of fish to stock per square meter pond surface 150 g 200g 300g 400g










2 3.5

1.3 2.3

1 1.75

4. Our best management practice: 70 kg total 4.7 bran at ½ recommended rate plus 60 of tilapia; 10 of chemical fertilizer at full clarias recommended rate.

5. Pelleted feed at ¾ ration plus Estimated at 120 8 6 4 3 fertilizer to bring total N and P to full kg recommended rate. If you are in a cool area (water temperature less than 24C most of the time, then the carrying capacity will be somewhat less than what is written above. If you do not want your fish to be smaller than what is in the table above, stock fewer.


Polyculture (growing more than one species in the same pond) can increase the carrying capacity of your pond if practiced well. For instance adding clarias catfish to a pond stocked with tilapia can result in additional production if you do not add too many. For most cases, adding 10% of the total number as clarias will be beneficial to overall production. If you stock small fish (less than 20 grams) add 20% for mortality. If you stock larger fingerlings (over 20 grams), add only 10%. When you stock a pond with small fingerlings, you are wasting space for the first few months. Some people stock their ponds at double or triple the rate, grow the fish up to half or 1/3 the final weight, then split them out over 2 or 3 ponds. This requires a seine that can reach over most of the pond and some additional equipment such as basins and baskets for moving the fish. Example: your pond has a surface area of 150 m2 and you want to produce tilapia of 300 g. You intend to use bran and cow manure as inputs and will try to follow the recommended rates. You may be able to add some urea from time to time. Select management level 3. This means you should stock at 1.3 fish per m2, or 150 times 1.3= 195 fish. Add 20 % for losses so that means 234 fish. You want to also have clarias, so put in 23 clarias and 211tilapia. If your fish do not attain the desired size in about 8 to 10 months, either remove some fish or improve the management. FERTILIZERS - ORGANIC AND CHEMICAL(REASONS WHY WE FERTILIZE A POND) Mainly to raise the natural food for the fish. These are microscopic organisms known as phytoplankton. The fertilizers are sources of Nitrogen and Phosphorus which are used by the plankton for growth. By fertilizing your pond regularly, you improve the supply of these nutrients to the plankton, the main diet of the fish, resulting in fast growth. COMMON TYPES OF FERTILIZERS 1. Organic (manure) and grasses. 2. Chemical 3. Lime 1. Organic fertilizer a)Poultry b)Rabbit c)Sheep and goat d)Green Manure (Grass and Leaves) Methods of applying Manure. (i) Crib method:- a compost crib is made of wooden poles at one or more sides of the pond. It will help to fertilize the water gradually - it requires frequent turning to facilitate the release of nutrients. (ii) Bag method: - a bag is filled with manure and tied to the corner of the pond. The bag is shaken weekly or daily. Manuring rates of the pond Manuring rates depend on the size of the pond which is expressed as surface area. From research findings, maximum recommended manuring rate is 50g of dry matter per m2 per week. i.e. 5Kg/100m2/week. 2. Chemical fertilizers any chemical fertilizer can be used but DAP, MAP and Urea are the cheapest sources of nutrients. (i) For Phosphorus, use DAP or TSP. (ii) For Nitrogen, use UREA. Methods of applying chemical fertilizers Dissolve the fertilizer in a bucket of water by stirring, and then sprinkle the solution at different points of the pond. If you throw the fertilizer in dry, it will sink and some of the nutrients, especially phosphorus will be absorbed by the mud. Application Rates - for Sagana area. - Use less in cooler areas - (about1/2). 2 D.A.P. 2g/m every week I.e. 200g per 100m2 per week, or 15 tablespoonful weekly for every 100m2. UREA. 3g/m2/week i.e. 300g/100m2/week (about 30 tablespoonful).


NB. Excess fertilizers or manure can cause oxygen problems in the pond and sometimes can kill the fish. Always observe the behavior of the fish especially during the morning hours to see it they come gasping for air. If they stop gasping after the sun comes out, they will be O.K. If not add fresh water. If water is so green you cannot see more than 15cm down, don't fertilize that week, there are enough nutrients. 3. Agricultural Lime. Used to improve soil quality, which helps the organic and chemical fertilizers to work better. It also helps to clear up muddy water. In red soils; about 20kg per 100m2 can be applied. Black cotton soils may require more.

Some characteristics of organic and chemical fertilizers.

Organic: Chemical: - DAP, Urea, MAP, TSP -Contains trace minerals and vitamins. -Contains only what the label says -Uses oxygen to decompose. -does not use oxygen when dissolving Is highly variable in composition -Varies little in composition from what depending on feeds given and is indicated on the label. bedding used. -Can help reduce turbidity due to -Does not reduce turbidity. clay silt in the ponds. -Can help reduce seepage in ponds -Does not act on seepage -Some of the ingredients can be directly -Not directly consumed by the fish consumed by the fish. ATTENTION. Do not use Nitrogen-containing fertilizers in a reservoir whose main function is drinking water for people. ADVICE ON FEEDING YOUR FISH How much should I feed my fish? It helps to know just how many fish are in your pond and what size they are. Fish also change their appetite depending on the water temperature. If the water is too cold (see the species list and optimum temperature in fact sheet number 1), then the fish will not eat much and neither will they grow. If you DO NOT KNOW how many fish are in the pond, begin by feeding small amounts every day. After a week or two, the fish will learn to come and feed. If it takes more than an hour for the fish to finish the feed, it is probably too much and you should reduce the amount. Remember that as the fish get bigger, they eat more, so the amount fed must be adjusted. Following are some recommended feeding amounts to begin with for tilapia and/or catfish in fertilized ponds (See Table 1). For fresh leaves, it is better to base the amount on the pond's surface area. For every 100m2, up to 4kgs of fresh green leaves can be added every day. For bran or oilseed cakes you should not exceed 1kg per day for every 100m2 no matter how many fish are in the pond. When and How to feed: Tilapias have small stomachs and need to eat all day long. But early in the morning, the water is a bit cool and oxygen levels are low so the fish may not feel like feeding much. It is best NOT to feed before 9 or 10 AM. For most fish, feeding twice a day is sufficient - say 10 AM and 4 PM. If you have only a small amount of high quality food such as poultry pellets, it is best to give that in the afternoon, when the water is warmest and fish will eat readily. If you feed at close to the same time and at the same place in the pond every day, the fish will learn to come for the feed. If you are late one day, they will be waiting for you! Healthy fish that are used to feeding and growing fast are VERY active feeders. We say "they boil the water" or are in a "feeding frenzy".


If you are feeding the recommended amounts of the recommended feed and still the fish do net respond it could be due to one or more of the following: 1. The water is too cold, or has too little oxygen. 2. The fish really aren't there (usually they die just after stocking in the pond but the owner may not see this and assume they are still in the pond). 3. The fish are ill. There will be other symptoms if this is the case. 4. The feed is very heavy and sinks so fast, you just don't see the fish eating it. If you think your case is # 4, then get a handful of mud from the bottom of the pond where you throw in the feed. If it is very smelly and contains uneaten feed, then you are feeding too much. If the fish are consuming all the feed, the bottom will be smooth and there will be no smelly food accumulating. Overfeeding can pollute the water and kill the fish. It is also expensive. Storage: Moldy feed is just as dangerous to fish as it is to people. Trout are especially sensitive to the toxins produced or moldy feed. Vitamins also degrade over time and degrade faster with high heat and high humidity. So, store feed for short periods of time (less than 1 month) and make sure they are kept dry and cool.

Table 1: Recommended feeding rates for tilapia or tilapia/clarias polyculture. For high-quality diet (a compound diet with at least 26% protein, use the same rate as for oil press cake. Approx. months after stocking 1-2 2-3 3-5 5-8 8 or more Assumed size of fish 5-20g 20-50g 50-100g 100-200g Over 200g Amount bran/day 1 g/fish 1-3 g/fish 3 g/fish 4 g/fish 5 g/fish of Amount of oil press/day 1 g/fish 1-2 g/fish 2 g/fish 3 g/fish 3-4 g/fish

Feeds Following is a list of possible feeds and fish that are known to consume them. This is by no means exhaustive, there are indeed many more feeds that can be added to the list. Type of feeds Leaves of: cassava, arrowroot, sweet potato titonia. Leaves of: Sesbania Leucaena Cassia Maize bran Rice bran Wheat bran Maize germ Form Chopped or whole or added to pellets. Stems are not especially useful and encourage snails. leaves only: DO NOT GIVE SEEDS they are toxic. Value Excellent source of vitamins, high protein. Helps give color to trout flesh and ornamental fish. Types of fish that consume Tilapias; carps after the leaves have decomposed. Trout to a lesser extent.

Good source of Tilapias. Other fish vitamins and benefit from the protein. Also good fertilizer effect. fertilizer. energy Tilapias, moderate carp. catfish,

feed as is or soaked Good in blood. Can be source; included in pellets. protein.

as is or soaked in Higher protein than Tilapias, blood. bran; good energy catfish. source



Wheat pollard

is very finely ground High protein, good Tilapias, catfish, so often included in energy. carps. Is a major pellets; rarely fed component of trout alone as powder. feeds. Cakes made by pressing. Contain more fats and less protein than cakes made by solvent extraction. Excellent protein Tilapias, source and energy carps. source. Can get moldy or go rancid if improperly stored. catfish,

Oilseed cakes: Soy Sunflower Sesame Cottonseed

Dead animals or Can be put directly animal byproducts into pond. Large or fish wastes pieces should be chopped. Be wary of diseased animals. Insects: termites, white ants locusts, maggots, silkworm larvae

Excellent protein and mineral source. Some kind of animal or fish product is usually good if fish are in cages.

Especially appreciated by catfish. Tilapias also consume these. Blood and liver is good for trout.

Fresh or dried. Do Excellent energy Trout, tilapias, not feed if killed with source; high protein. catfish, carps. insecticide.

Diseases of fish Occurrence of disease outbreaks in fish farming is due to bad husbandry since the disease causing organisms are always in the environment and cause few problems until the fish are stressed through inadequate dietary or environmental conditions. The water quality parameters such as pH, temperature, dissolved oxygen may lead to outbreak of disease pathogen or parasites within the host. In fish, disease parasite or pathogens may enter through gills, penetration of egg membrane, ingestion, rupture of skin, wounds or through the digestive tract. Poor handling of fish is the major cause of both bacterial and parasitic infections. Transporting of fingerlings/fry from areas without proper care being taken can enhance spreading of diseases. Increased nutrient levels due to intensive cage culture promotes proliferation of parasites. Pollution due to high levels of ammonia predisposes fish to succumb to large numbers of parasites. Human feces may be a source of gut parasites especially to common carp. Damages of fish by predators lead to secondary bacterial or fungal infections. The predators especially birds and mammals play an important role in life cycles of parasites e.g. birds act as intermediate host in life cycle of the nematode contracaecum and otters may act as final host for the digenean Haplorchis both common parasites of Tilapia. Snails are carriers of the two parasites most common at Sagana Fish Farm. SOME COMMON FISH DISEASES AND THEIR PREVENTION SYMPTOM PATHOGEN 1.-Cottony grey-white or brown Fungus patches on the skin 2 -Black spots -Yellowish cysts on gills Trematodes PREVENTION -Good handling -Avoid handling fish in cold water. -Low organic matter in water -Control snails and discourage birds. -Remove infected fish.


3 -Loss of appetite. -Fin and tail rot. -Pale gills -Fluid in abdomen


-Improved water quality

4. -Round worm in spiral shape Nematode near gills (Contracaecu m) 5. -Fish try to scrap their bodies Parasitic on hard surfaces(flashing) protozoan NUTRITIONAL DISEASES CAUSE 1. Lack of proteins

-Not really a problem for fish health but leads to consumer dissatisfaction -Dips in salt, potassium Permanganate or formalin. -Keep water temp. near optimum range for that species of fish. PREVENTION -Feed protein rich food e.g. Soya beans, slaughter house by-products, fish meal. -Feed with energy-rich foods

SYMPTOM -poor growth. -Caudal fin erosion. -Loss of appetite. -Poor growth

2. Lack of lipids

Fish Predators and their Control in Aquaculture Predators seldom feature in aquaculture fish production and losses caused by them are often much higher than recognized. Fish predators range from insect larvae, insects, birds, frogs, toads, lizards, crocodiles, turtles, snakes, fish, mammals e. t. c. It is reported that one pelican (bird) can consume between 1 to 3 tons of fish a year. According to du Plessis (1957), ten breeding pairs of cormorants will catch a bout 4.5 tons of fish a year. Herons may cause losses of up to 30-40 % of fry and juvenile fish in a farm pond. The losses caused by others're even greater as they kill more than they eat. These animals cause losses as high as 80% of the stock. Below find the list of some of the common predators and their control measures. Name of predator Type of fish eaten Control measure Insects and insect Juvenile fish and Oil emulsion to prevent aerial breathing. larvae eggs and fish just Use of fish that feed on insect larvae especially hatched. those that have gills and can remain in the bottom. Frogs and toads juveniles esp. for Fence with frog proof wire mesh. tilapia and clarias Clear bush around pond. Screen both in and outlets. Use traps. Adult catfish and bass eat frogs. Fish all types of fish Use screen in the inlets and outlets. Do pond draining periodically Snakes destroy larval and Clear bush around the pond and fence properly, juvenile fish using cacti (crown of thorns). Crocodiles, All types of fish Proper fencing and keeping dense bushes cut alligators and large down. lizards. Turtles prey on catfish Fencing around pond with wire mesh, trapping. Birds: All types of fish and proper fencing all round and then above with wading birds e.g., at all stages netting material or manila ropes/strings on poles Herons, egrets especially in with bright colored cloth or metal crossed over e.t.c. shallow waters. the pond. Diving birds. Cormorants feed on cover ponds with nets or wire mesh, use flash Kingfisher, fish fish just after the guns, windmills that revolves and flash


eagle cormorants, pelicans e.t.c Otters (mammals) most common ones are Lutra and Aeonyx

Man (poaching)

fish are fed- when they are most concentrated. Prey on large fish at night killing more than they can eat. They burrow and live under the roots of trees near the water. Otters are very clever They can even open latches on gates. all types of fish. This is also considered among the major predators through which fish are lost.

brilliantly and bells to scare the birds a way. The birds can also be actively discouraged by destroying their nests . Proper fencing around the ponds. The otters can also be trapped using special otter traps set in their passages. Guard by use of trained dogs. Fence the pond half way across and thus provide hiding places for fish. In general, measures to combat monkeys are also effective on otters--meaning both are very difficult to control. Extremely difficult to control and is most common in cage culture and other intensive fish farming. Can however be controlled by i) employing a watchman. ii) use of trained dogs iii) hidden obstruction to prevent seining. iv) Fence farm and lock securely. v) Burglar alarms or electrified fence.

If the situation is bad, then trapping or shooting can be used as the last resort in cases of birds and otters in consultation with the Fisheries Department and Kenya Wildlife Services personnel. Be careful with poisoning, as this means is often non-selective and animals that you do not wish to kill (even small children) can become victims. The measures used against birds and mammals are often partially effective, as these animals very soon find ways of circumventing the control measures. It is best to discourage predators before they attain large numbers and become impossible to control. EFFECTS OF PREDATORS (1) Reduction in harvest (2) Physical injury especially by birds making fish susceptible to secondary infection by bacteria and fungi. (3) spread of fish disease when predator feed on sick and defecate in fish pond e.g. nematodes . PREVENTION Predator control Birds, monitor lizard Otters, Snakes EFFECTS OF ENVIROMENT Bad husbandry inadequate dietary or environmental condition (PH, dissolved oxygen) may cause stress to fish. High nutrient levels promote proliferation of parasites e.g. fungi. high levels of Carbon dioxide in water can cause kidney disease. Introduction of infected fish from other areas without proper care can transmit communicable diseases. PREVENTION Proper fish handling to avoid abrasion which causes removal of scales and slime. Screen at the inlets and stocking disease free fish or fingerlings. Liming 2T/Ha (200/M2) to kill protozoa and fungi. This is done after draining the pond. Use uncontaminated water supply. Proper aeration by addition of fresh water at the inlet (ONLY DURING EMERGENCY). Stock fish at recommended density, control overcrowding due to overpopulation by stocking catfish.


Prevent accumulation of organic matter, which takes up oxygen during decomposition. Avoid excess feeding or excessive use of manures. DISEASE ASSOCIATED WITH AQUACULTURE (1) Malaria * Caused by mosquito which breed on stagnant water. To prevent: Mosquito breeding, construct regular pond i.e. rectangular with smooth banks to avoid creation of spaces where water would stagnate and fish cannot get to the larvae. Most if fish notably Gambusia affinis feed on larvae hence the problem of malaria is not serious in fish farming. (2) Bilharzias * Spread by water snails. To prevent: stock fish which feed on snails e.g. Catfish. Crayfish may also be used to control snails. Keep pond banks clean. Allow water level fluctuations. Abandoned ponds are dangerous to human health. They are breeding grounds for mosquitoes and snails. Ponds should either be stocked with fish or drained. GUIDELINES FOR TRANSPORT OF LIVE FISH 1. Major considerations 1.1 Water quality: the major parameters that limit loading density (kegs. of fish that can be transported per water volume), are adequate oxygen levels and the build-up of toxic waste products such as ammonia and carbon dioxide and dioxide. Other parameters affect the severity of the problem. 1.2 Temperature: as T increases, fish consume more O2 and O2 is less soluble. 1.3 pH: high pH makes ammonia more toxic; low pH makes CO2 more toxic. 1.4 Loading density: the more fish, the more O2 consumed and the more wastes produced. One kg of large fish uses less oxygen than one kg of small fish. Make sure you adjust for size when deciding on loading densities. 1.5 Trip duration: even if O2 is adequate, wastes increase with trip duration. 1.6 Road quality: although bumpy roads make for some agitation of the water, thereby increasing oxygen content, very bad roads cause the fish to tossed around and they arrive at destination very tired. So is the driver. 1.7 Fish health and condition: fish should have EMPTY stomachs. This reduces the pollution of the water from regurgitation and from elimination of wastes. 1. Transport methods 2.1 Water source: Borehole water is usually cleanest but beware of high CO2 levels and low initial O2 concentrations. Some springs have toxic levels of dissolved CO2. Water from a pond with relatively clear water can be used. Avoid water with a lots of plankton. City water can contain toxic levels of chlorine and can kill fish. Spring water or city water can be used if it sits overnight prior to adding fish. This serves to reduce the CO2 and chlorine levels. 2.2 Temperature: Try to use the coolest water possible for your species of fish. If you ice the water, use large blocks instead of chipped ice. Transporting in the early morning or late evening helps keep temperatures cool. 2.3 Containers: barrels or basins or tanks: the greater the surface area, the better the chances of aeration from agitation. Large transport tanks (hauling tanks) are often insulated, equipped with a drain and fish chute, and use some type of aeration equipment. A large tank should have a baffle in the middle so that quick stops do not cause the water to surge to one end with too much force. In areas of rough terrain, a recessed cover helps to conserve water that could otherwise be lost from steep grades. 2.4 Aeration: compressed oxygen, liquid oxygen, air compressors and agitators are the most common means of aeration. Each has its advantages and disadvantages. 2.5 Other treatments: Salt is often used to help the fish maintain osmotic equilibrium. Concentrations from 0.2 to 1% can be used safely with most fish. Fish blood is about 0.8% salt. Buffers added to soft waters help prevent pH changes. If the transport water is hard. (>100mg/1CaCo3), it is sufficiently buffered. Calcium chloride is a good buffer.


2.6 Acclimation: abrupt changes in temperature and pH can stress fish. When transferring to and from

transport water, fish should be properly acclimated. 3. Sample systems and loading rates for Kenya. These can be adjusted depending on your experience and the other factors mentioned above. Let's assume (unless otherwise noted) we are going to transport tilapia of about 5g Average weight. 3.1 A container with no added air, no agitation. Use 1.5 liters water per kg of fish per minute. Example: to transport 5kgs fingerlings for 30 minutes, you will need 1.5 x 5 x 30 =224liters of water (assuming it was saturated with O2 before putting in fish). 3.2 Plastic bags with oxygen You can put in 1kg of fish for every additional 2liters of water. Bags should be about ¼ to 1/3 full of water, the rest being oxygen. MAKE SURE YOU ELIMINATE THE AIR BEFORE ADDING THE OXYGEN. Double the bags and fold the closure over to prevent leaks. At this rate, the trip can last even 24 hours. Example: you have 2kg of fish to transport. You will need to add 4 liters of water and should put in about 8 liters of oxygen. The bags, when tied closed should have a capacity of 14 liters (fish + water + oxygen). 3.3 A tank with a 12-volt air compressor You make sure you can maintain about 6mg/1 D.O. during the transport. The diffuser type plays an important role in aeration. The smaller the bubbles, the better the oxygen transfer. Also, the longer the bubbles stay in the water the better the transfer. This means air should enter at the BOTTOM of the tank and with small bubbles. Avoid back-pressure on the compressor. Loading rates: assuming your aeration is sufficient to maintain ad equate oxygen, small fish of about 5kg should be loaded at about 360g/liter (360kg/m3 )for 8hours. market size fish of about 300g should be loaded at 720g/liter or 720 kg/m3 for 8hours. Black bass need more oxygen and harder water, so loading rates above should be halved. Trout need cool water and do well with high salt concentrations (1%). 4. A note on fish transfers Fisheries officers should make sure they do not contaminate waters that contain endemic and unique stocks of fish you are transporting. Unique and pure strains of O. niloticus are found in Lake Turkana and in Lake Baringo. The watershed areas of these two lakes should not receive a strain O. niloticus that is not endemic. Kenya does not allow Common carp west of the Rift Valley, Probably to avoid its introduction into the lake Victoria watershed. Unfortunately, Uganda has not been so careful.



CATFISH (Clarias gariepinus)

RAINBOW TROUT (Oncorhyncus mykiss)

COMMON CARP (Cyprinus carpio)



Eats a large variety of supplemental foods including brans, leaves, and kitchen wastes. Is low on the food chain ­ eats microscopic plants. Responds well to organic and chemical fertilizer additions. Does best in warm waters; prefers 28°C. Very tolerant of low water quality. Is a very prolific breeder; can quickly overpopulate a pond. Males grow faster than females. High market demand for sizes over 250g. Catfish Eats a variety of supplemental foods. Consumes zooplankton, insects, snails, tadpoles, leeches, fish. Used to control tilapia populations. Grows very quickly if adequate high protein feed is available. Very tolerant of low water quality; can breathe air. Few bones; makes a good fillet; excellent smoked. Trout Requires high quality feed, >40% protein. In natural waters, consumes insects, crustacea and other small animals. Grows well in cool waters, 10-18°C. Usually requires flowing water to assure adequate oxygen. Fingerling supply may be a problem. High market price, especially when fresh. Fine bones; excellent smoked. Common Carp An exotic species that has established itself in natural water bodies. Eats a variety of supplementary foods, especially kitchen wastes and brans. Feeds mainly on the bottom of the pond and can make waters very turbid. Attains a large size and does not usually overpopulate a pond. Variable market demand due to intramuscular bones.


9 : AGRO-PROCESSING Introduction Kenya has bimodal rainfall and a range of altitudes that augment the production of tropical fruits such as mangoes, passion fruits, bananas, pineapple, citrus, avocadoes, and papaya as well as diverse vegetables and temperate fruits. Much of the fruits and vegetables that are produced are seasonal and are never all consumed as production is without reference to the market demand leading to glut and losses. Naturally fresh fruits and vegetables are perishable, have a low price when they are in the raw state, but can be processed into a range of high quality and value food products for preservation and /or income generation. It is against this background that particularly food processing has been considered as a potential for diversification and commercialization of agriculture, employment generation in rural and urban areas, value addition and increased export possibilities for Kenya. One of the 6 fast track interventions of the SRA addresses issues of value addition, market access and improved access to quality inputs and financial services as agricultural production alone can no longer provide a reliable livelihood for the growing population. Consequently promotion and improvement of agro- processing should be a fundamental part of agricultural development efforts which aim at achieving national food security. The ultimate objective is to improve farmers' economic opportunities for improved livelihood by systematically building up technical and managerial competencies. In general, the future of particularly food processing looks fairly bright as the processes of rapid urbanization, industrialization and globalization occur. Levels of employment increase with changes in life style accompanied by changes in patterns of food consumption. People will tend to seek a wider variety of foods including processed foods, pre-processed, pre-seasoned, or pre-packaged that can save them time and labor. Farmers then have to be helped to make a transition through promoting establishment of small or medium scale processing plants close to rural areas. This could too contribute to rural employment, reduced losses, reduced rural-urban migration and increased price stability of the products. Currently only 7.5% to 9.0% of fruits and vegetables are being processed Joint action is therefore needed to enable the farmer benefit from wider markets and better incomes through agro-processing. Agro-processing and marketing hold the key to progress with respect to poverty alleviation, food security & environmental sustainability. Why agro-process? · Add value (commercial) · Preserve · Improve Nutritional value · Improve taste/convenience · Demand by nature of product · Recoup losses from other processes · Create employment The principle reasons for food processing should be to retain as much of the nutrients as possible, paying great attention to quality, value, food safety, packaging methods and materials. Criteria that determine whether a fruit or vegetable can be processed include: 1. Demand for the processed form of a particular fruit or vegetable e.g. tomato sauce 2. Biochemical characteristics of the fruit or vegetable (ability to withstand processing) 3. Sustained accessibility of the fruit or vegetable. However, fruit or vegetable processing is not without difficulties, particularly with respect to the choice of technology, quality control, consistency and marketing decisions. This differentiates the requirements for processing for home preservation from those of income generation. At household level processing, quality is usually acceptable to the consumers who are family / or friends, packaging is elementary, and the capacity involved is low with modest investment especially on equipment. Conversely as an income generating initiative, the consumer is unknown to the processor, thus product quality has to be competitive, stringent and consistent, with the package upholding product quality, be informative and appealing to customers. This requires more technical skills in quality control, packaging and marketing and consequently higher capital investment. The initiative too requires compliance with legal aspects of registration of the enterprise, taxation and food regulations.


Currently there exists rudimentary packaging, quality and standards with lack of or inappropriate buildings for processing and lack of appropriate equipment/ technologies and knowledge on availability and use of the same. PROCESSING TECHNOLOGIES Processing technologies are carefully selected on the basis of the set of conditions under which they operate, namely the social, economic, political, technological and ecological environment. Factors affecting choice of technology Crop factors: Volume or quantity Intended use of crop Commercial value of crop Energy/labour demand Crop to be processed Human factors Labour/family size Financial status Cultural & religious background Consumer habits Hardware Factors Costs- purchasing, running & service Durability Throughput Availability of hardware/spare parts Skill required-operate & maintain Processing Losses Equipment for Processing Roots and Tubers Peelers- manual and motorized Graters-manual and motorized Chippers-manual and Motorized De-watering equipment/presses Dryers Milling machines Fruit and vegetable processing technologies The prevalent fruit and vegetable processing technologies include drying/ dehydration and use of acids, salts and sugars as the principal food preservatives of a chemical nature. Nevertheless the general technical methods of reducing food deterioration include: Selecting high quality raw materials: clean, mature, right colour, right size or shape depending on fruit or vegetable type, not moldy or bruised to produce high quality processed products. Physical- Heating, Cooling, Lowering of water content, Drying/dehydration., Sterilizing Chemical - Salting, Smoking, Sugar addition, Artificial acidification, preservatives addition Biochemical - Lactic acid fermentation (natural acidification), Alcoholic fermentation. Combining various procedures is the best option. Nuts processing (macadamia) & equipment/technology choice 1. Dehusking- the fibrous outer husk to remove heat respiration and facilitate drying. Mechanical dehuskers the best. 2. Drying-use of silos with fan or sun or solar drying. Dry macadamia from 20% to 1.5% to shrink kernel from shell and prevent its damage. 3. Cracking- Pass the nut into a sorter for equal sizes selection. Then crack with two rollers crackers or handle press cracker.


4. Sorting- the cracked shell from nut. Manual selection or water floatation methods. Good quality kernel floats. 5. Roasting & flavouring- Using oven, then select and salt or flavour. Can coat with honey, chocolate etc 6. Packaging- vacuum packaging in laminated foil bags- to maintain freshness and taste. PACKAGING Attention to packaging methods and materials is a more difficult but feasible task as the most advanced food processing and preservation techniques may not save food from spoiling if living organisms, dirt or moisture slip in through faulty packaging or poor hygienic practices during packaging. Importance of packaging Aids distribution- due to extended shelf-life, market the product over a bigger area so increasing sales Reduces losses- better protection in storage, distribution and use Brand image-Increases sales Shape, size, colour, convenience, etc. Customer appeal Packaging materials A good package depends on product but in general need be; cheap and available, tear and crease resistant, sealable, odorless, taintless, resistant to weather changes, not permeable to O2, CO2, N2, moisture etc Plastic films are becoming increasingly important in most developing countries Briefly: they are better able to protect foods and extend the shelf-life, they are tough and durable to withstand rough handling during transport and distribution, they are convenient to handle by both processors and customers, they add very little weight to the product which reduces transport costs, they can be easily printed to inform customers about the product they fit closely around the product which takes up little extra space for transport, they have an attractive appearance to most customers which helps the processor to increase sales, they are mostly inert (they do not react with foods or taint them), They have good barrier properties to moisture and air. Polythene is the cheapest and most widespread plastic films used for food packaging in developing countries. The film also has a relatively low melting point which makes it easily heat sealable. Impulse sealer whose initially both bars are cold, but when they are closed together on the films one bar is heated electrically for a pre-set time. After heating the pressure is maintained for a few seconds to hold the seal in place while it cools and sets. LABELLING The label is the primary point of contact between the producer and the purchaser and should be thought of as an integral part of the producer's marketing plan. The most important roles of the label include: Persuading the buyer to purchase the product without tasting or smelling it, rather than that of a competitive brand which may be next to it on the shelf. For the first-time buyer the appearance of the food, including the label, is the most influential factor that attracts the customer. Informing the customer clearly about the product; its contents, ingredients, its weight. Increasingly the label is required to inform the customer about the shelf-life of the food - its 'use by date'. - In some cases the label needs to inform the buyer about storing the food. Examples include frozen foods or foods that need refrigeration after opening. Sometimes the customer may need to be told how to use the food product and recipes are commonly included on products that are used as ingredients in cooking.


QUALITY CONTROL Quality control looks at particular points in the whole process at which specific checks are made e.g. net weight, acidity, and colour. In contrast, quality assurance, a management tool that includes quality control looks at the whole process - from the purchase of materials, through the manufacturing process, to the point at which the consumer uses the food. Product quality. Quality needs to be enhanced so that food is safe to utilize. Safety of product is the risk of food being contaminated with potentially hazardous material. Types of contaminants are microbial (bacteria, moulds, etc), biological (hair, excreta etc) Chemical (e.g. detergents) Physical e.g. stones, glass. Identify where losses in quality occur. If poor quality raw materials; discuss with suppliers and put together testing procedures. If at processing- train staff, use thermometers for temperature checks, etc. Process e.g. fruits, cassava immediately after harvest, use same lot, mature material/crop, and avoid damaged material/crop. Work with farmers/agents to improve quality-advising them on good post harvest management practices (no piling, remove damaged materials, store in cool place, etc). At processing stage- check quality during preparation (remove all peels; have uniform slices; observe strict hygiene in room and by operators; collect formulation- pH, amounts of sugar, salts ;optimal mc%, etc. Basic rules for hygiene, sanitation and safety: The employee is a prime determinant of the final product quality; hence rules about washing hands before contact with foods, use of utensils to handle products, disposable gloves, clean clothes, and protected hair need to be applied regardless of the size of the operation. Good Manufacturing Practices Observe right levels of quality and quantities for materials and ingredients, that facilities are of appropriate size to prevent overcrowding (allow proper placement, orderly storage, etc), well lit facilities, well maintained equipment, and well set temperatures, preparation and processing times, pressures, etc. Good layout allows orderly flow of processes. Standards Standards are technical documents detailing the criteria necessary · To ensure that a material, product is fit for purpose it is intended. · to minimize health and environmental risks through: facilitation of public administration procedures · to simplify legislation through: availing reference to approved and recognized standards · to reduce risks of deceptive practices Kenya Bureau of Standards The process of certification is carried out by the Kenya Bureau of Standards the only body authorized to certify that a food product adheres to national safety standards or specifications. Kenya Bureau of Standards has basically the following roles · Development of standards · Certification of accreditation e.g. diamond mark of quality-products that are consistent in standards and quality, Calibration mark- for measuring equipments, safety mark-products that are safe for intended purpose, management systems e.g. KEBS certifies e.g. quality management system ISO 9001, Environment management system (ISO 1400) and HACCP · Quality assurance- Inspects imports, and also assists industries comply with standards · Testing services- e.g. it tests samples privately submitted, or as routine inspection to factories · Other works are from Metrology- instrument calibration, repairs and testing and technical advice- to industries, government organizations, and research institutes. · There is also the information and resource centre- for promoting and facilitating information on standards flow. With a library and also a subscription scheme. · KEBS assist industries in developing and promoting in-plant standards through trainings, attachments and factory visits. It also organizes seminars.


10: MARKETING AND MARKETING INFORMATION. Introduction This section presents key theories and concepts that are useful in the process of planning and undertaking market opportunity identification. It is particularly important to those who have no or little background in marketing. It further introduces the reader/learner to the 7Ps of marketing. Marketing Function This is one of the main business areas of an enterprise. It can be defined as the process of identifying and satisfying market needs through a profitable and socially responsible production and supply of products in the form of goods and/or services. This encompasses market research, new product development and the planning and execution of marketing strategies. Marketing function differs from the marketing theory which deals with concepts and tools such as strategic planning and growth strategies, market analysis, market and consumer research, market segmentation, product positioning and branding, and development of marketing plans and strategies. It is marketing theory that refers to the handling of the key marketing variables (marketing mix) ­ 7Ps. Marketing Mix (7Ps) - These are tools under the control of the market oriented enterprise managed strategically to obtain the desired response from the market. - To use these variables, a marketing plan must be prepared. This is an instrument used to plan and implement marketing strategies. Product: The Product management and Product marketing aspects of marketing deal with the specifications of the actual good or service, and how it relates to the end-user's needs and wants. Pricing: This refers to the process of setting a price for a product, including discounts. Promotion: This includes advertising, sales promotion, publicity, and personal selling, and refers to the various methods of promoting the product, brand, or company. Placement or distribution refers to how the product gets to the customer; for example, point of sale placement or retailing. This fourth P has also sometimes been called Place, referring to "where" a product or service is sold, e.g. in which geographic region or industry, to which segment (young adults, families, business people, women, men, etc.). People: Any person coming into contact with customers can have an impact on overall satisfaction. Whether as part of a supporting service to a product or involved in a total service, people are particularly important because, in the customers' eyes, they are generally inseparable from the total service. As a result of this, they must be appropriately trained, well motivated and the right type of person. Process: This is the processes involved in providing a service and the behavior of people, which can be crucial to customer satisfaction. Physical evidence: Unlike a product, a service cannot be experienced before it is delivered, which makes it intangible. This therefore means that potential customers perceive greater risk when deciding whether or not to use a service. To reduce the feeling of risk, thus improving success, it is often vital to offer potential customers the chance to see what a service would be like. This is done by providing physical evidence, such as case studies, or testimonials. Identifying market opportunities The concept of production/ marketing chain - This refers to a system that consists of actors and organizations, relations, functions and product, cash and value flows that make possible the transfer of a good or service from the producer to the final consumer. - It is made up of inter-related links, which are generally production, post-harvest and processing, marketing and consumption. - From the definition of the marketing concept, a holistic perspective of the production chain is necessary for matching product supply with market demand and to understand the different


functions, inter-linkage relations and conflicts, constraints and opportunities, plus price and value formation along the chain. Production Post-harvest & Processing Marketing Consumption

BUSINESS ORGANISATIONS (include informal farmer groups, farmer cooperatives and associations, intermediaries, processing enterprises and retail outlets such as supermarkets and corner stores)

LOCAL SUPPORT SERVICES (include formal and informal providers such as input suppliers, retail outlets, public and private rural development agencies, repair shops, accountants, lawyers, etc.) The implication is that a thorough knowledge of the production chain enables one to identify market opportunities related not only to fresh products, but also to processed and transformed products. These agro-industrial products can be traditional and already existing in the area, or can be new, potential products to be introduced. Other opportunities related to the support services can also be identified especially for by-products. - After the identification of the opportunities, then the strategic planning can begin. This will be tackled in subsequent modules on marketing strategies. Key food consumption trends Knowledge of the current global trends in food consumption is important in helping identify market opportunities for both traditional and new, potential products in the region. Some of these trends include: - Consumers tend to prefer "convenience products", which are those that are practical and easy to use. The reason for this trend is that firstly, more and more women are working outside their homes, and secondly, for several reasons there is less time or interest in preparing food in the household. Convenience products are generally either processed or transformed, and are packaged and labeled/unlabelled e.g. (Increasing preference for already slaughtered chicken; French beans-carrot mix sold by hawkers; noodles; bottled fruit juices and dairy products; cakes and other confectionaries; pre-cooked foods; etc) - There is greater interest in health and balanced nutrition, including natural and organic products: o The market for fresh produce, mainly fruits and vegetables, is exploding. o The nutraceutics (products that can prevent or cure illness) market is growing rapidly worldwide. o In the United States and the European Union, the growth of markets for organic agricultural products has reached impressive figures: more than 20% per year. o The consumption of sources of dietary fiber, vitamins and minerals, including fruits and vegetables, is increasing. o There is enormous interest in eating low-calorie (light) foods. o There is renewed interest in natural medicine, which is based on the use of medicinal plants. - Food consumption outside the household, in restaurants and fast food outlets, is rapidly increasing. -


Consumers of developed countries are showing great interest in exotic tropical and subtropical products, such as fruits and vegetables. - The ethnic market (or nostalgia) market is expanding rapidly, pushed by domestic and international migrations (Ethiopian restaurants in Kenya). - In addition, the industry has shown interest in renewable raw materials and in responding to the consumer preferences already mentioned. It is therefore necessary to be alert with respect to market opportunities related to convenience, healthrelated, exotic and ethnic products. Exercise 1.1 Mapping an Extended Product Chain Objective The trainees will be able to identify key links, actors and organizations, functions, price formation and local support services along a selected production chain. Instructions for the Facilitator and Trainees 1. Form groups of four participants, by territory if possible, and select a group leader. 2. Choose a product or product chain from the territory with which at least one member of the group is well acquainted. 3. The group can use the Worksheet for this exercise. The Worksheet has two parts: the upper section (A) can be used to map the production chain & the matrix appears in the lower part (B). 4. In Worksheet A, the group will draw (using symbols, figures and arrows) the production-to-consumption route of a selected product. The map or route should include the different chain links, plus the actors and main functions in each chain link. If the group has sufficient information, price formation along the chain can also be mapped. 5. In Worksheet B, the group will complete the matrix with information on the chain links, functions, actors and organizations, and local support services (informal and formal). 6. When finished, the group will copy the map and matrix in flip charts for presentation in a plenary session by group leader. Resources needed 1. The Worksheet for Exercise 1.1 2. Paper and pencils 3. Flip chart, or overhead projector and transparencies 4. Markers for transparencies Time required: 1.5 hours Work sheet A


Work sheet B: Production Chain Matrix Production Chain: Chain Link Functions

Area: Actors Organizations

and Local Services


Teaching Notes for use by District SMS in the training of Frontline Extension Staff (NMK) Training Subject Marketing and market information Objectives To equip the trainee with skills and knowledge to build beneficiaries capacity to access markets Content Marketing strategies (Duration - 8 hours) Specific objectives 1. Discuss the concept of marketing strategy. 2. Introduce the Product-Market growth matrix and its applicability in strategy formulation. 3. Explain the various potential marketing strategies. 4. Introduce contract and collective marketing. Orienting question 1. Describe possible growth strategies for an area in terms of products it produces and the targeted markets. Introduction A strategy is a plan of action based on historical price behaviour (Baud and Weness, 2006). Choice of the most profitable strategy depends on specific commodity and time of the year. Factors that must be taken into account when formulating an optimal marketing strategy include; cash flow, storage capacity, risk of higher or lower prices, production risk, market price level, seasonal and cyclical price trends. Once the best opportunity to satisfy unfulfilled customer needs is identified, a strategic plan for pursuing the opportunity can be developed. Market research will provide specific market information that will permit the firm to select the target market segment and optimally position the offering within that segment. The marketing strategy then involves: Segmentation, Targeting (target market selection), Positioning the product within the target market and finally proposing the value of the product to the target market. It is important to note that any market strategy identified is inevitably anchored on the manipulation of the 7Ps of marketing. 1.1 Organized Marketing In situations where there are relatively large numbers of small-scale grower marketing the various items produced, it is recommended that they should consider combining forces with others in joint or "organized" marketing activities. Advantages of organized marketing Facilitate more aggressive and effective market development programs by sharing costs. Greater efficiency Consolidation of market power. Establishment and enforcement of quality standards. Provide buyers with larger or more regular supplies, avoiding the frustration of erratic or limited availability. Enhanced leverage in market disputes 1.1.1 Contracts with Existing Firms Involves developing positive working relationships with larger, successful players that have ongoing market development programs in place. Contracting sales of products to such


firms and agreeing to provisions for specific promotional activities may prove to be mutually beneficial. 1.1.2 1.1.3 1.1.4 Marketing Orders If production volume is sufficient, consider marketing orders. These typically establish quality and packaging standards and allow for assessments that can be used for research and market development programs. Marketing Cooperatives Farmers' marketing cooperatives can sometimes provide benefits by increasing members' marketing power. A cooperative may also establish more consistent packaging and quality standards, more consistent supplies, and more efficient transportation to market by aggregating small shipments into full containers or by mixing loads if necessary. Marketing cooperatives can also engage in market development activities that would be beyond the financial reach of individual growers. The success of a marketing coop must have sufficient sales volume to operate efficiently. This requires not only sufficient start-up volume, but also continued commitment by growers to market their production through the cooperative, even when prices might be better elsewhere. Growers must also feel that they are being treated fairly with respect to quality discounts or penalties and expenditures on market development activities for their specific crops. Despite limited start up operating budgets, marketing cooperatives must strive to find competent, dedicated management and administrative personnel. Voluntary Associations Works best when based on specific commodities. They can then gain membership and participate in national trade associations. These can publish newsletters and other materials that help to educate consumers and other stakeholders as well as hosting annual trade shows which can be a viable way of reaching the trade with information. It is important that the voluntary associations maintain strong working relationships with Organizations. The Product ­ Market Growth Matrix The matrix is applied in strategic planning that presents a simple conceptual framework for growth strategies for a given business firm. Nevertheless, it is equally applicable to an area for a specific product. The matrix can be presented as follows: Existing products New products



Existing markets

Market penetration

Product development

New markets

Market development


Source: Ansoff, 1957 cited in manual for identifying market opportunity Based on two variables, product and market, the matrix proposes four main growth strategies for the area; 1. Market penetration means increased sales of products to current market segments, without changing the product offered. This can be achieved by either, reducing prices, improving distribution, and/or increasing promotion. 2. Market development means identifying and developing new market segments for current products. These new market segments can be represented by institutional markets, other geographical areas including export markets, or buyers using the product in new ways. 3. Product development refers to the offer of innovative products, new products for the region, or modified products to current market segments. Products do not necessarily have to represent


an innovation, but can be existing products that are improved, or packaged and labeled differently. 4. Diversification is the production of new products for new markets. It is important to note that each of these growth strategies represents a different risk level. Risk is an essential aspect to consider when working with small-scale rural producers, because they tend to be risk-averse due to their weak economic context and low access to resources. Risk increases in direct proportion to the level of change. For example, whereas the market penetration strategy implies the lowest risk level because it demands the least change, the diversification strategy signifies the greatest risk because it requires more change. However, it should be noted that the element of risk is always present in business and marketing activities. 1.3 Marketing Strategies A market strategy has to be tailored to an individual producer. Financial position, market knowledge and emotional risk bearing ability all should be considered when choosing a market strategy. A market plan or strategy does not insure success. The uncertainties of the commodities markets can make any strategy look bad. Over time, however, a marketing plan should add to average returns and reduce variability of returns. 1.3.1 Tail-gate marketing. Is one of the simplest forms of direct marketing. It involves parking a vehicle loaded with produce on a road or street with the hope that people will stop and buy. This is commonly used for selling produce in season. Advantages of this method are that it takes very little investment and can be set up on short notice. 1.3.2 Farmers markets Are excellent places for a beginner. They do not demand that a vendor bring a consistent supply of high-quality produce every market day, although that is still the ideal. If you have less-than-perfect tomatoes, you may be able to sell them as canners at a reduced price. A farmers Market develop steady customers, which can also lead to additional marketing channels. Disadvantages include the need to spend time away from the farm and the possibility of having produce left over at the end of the market. 1.3.3 On-farm Marketing strategies include roadside or farm stands and pick-your-own. These often make a winning combination, as customers who come for the enjoyment of spending time in the field will often purchase more of the same crop, or different ones, already harvested. Innovative farmers have found that on-farm entertainment can be profitable additions to on-farm markets. The farm landscape should be kept neat to attract customers. 1.3.4 Subscription Gardening Is a strategy that is yet to be practiced locally. It can take many different forms. One form, also known as Community Supported Agriculture (CSA), involves providing subscribers with a weekly basket of seasonal produce. The subscribers pay partially or in full for their share of the farmer's planned production at the beginning of the season. This both eliminates the problem of covering upfront production costs at the beginning of the year and guarantees a market. The challenge for the grower is to have a consistent and continuous supply of popular vegetables throughout the growing season. It is helpful to survey the customers/members about their preferences before planting. (It is akin to the mama mbogas who sell Asian vegetables in residential areas.) 1.3.5 Restaurants That are interested in serving fresh, locally-grown produce can be a good market. One key to remember when working with chefs or restaurant owners is that they are very busy people. Ask the chefs what day and hour is the best time to call, and then be consistent about calling at that time every week to find out what they need. Delivery is another service chefs will require. Chefs who buy locally suggest that growers schedule a visit with seed catalogs in hand before ordering for the coming season; they appreciate the opportunity to tell you what they can use or would like to try.



Grocery and natural food stores May be one of the most difficult markets to break into for small-scale growers. Some stores, however, find they have customers who are pleased to find locally produced foods. If you want to sell to retailers, remember that they need products to be consistently available and of the highest possible quality. Have a sample of your product with you when you visit the store, and have a price in mind. 1.3.7 Schools and institutions These can provide ready market for an assortment of agricultural produce. However, there is an opportunity for innovative products which promote healthy lifestyles. The concept of corporate responsibility can further be harnessed to support small farmers to supply to institutions which provide meals to its staff. 1.3.8 The Internet Can be used to transact business or to distribute information about your farm and products or both. It is important to simultaneously use several outlets. Diversity in marketing, as well as diversity in planting, is a cornerstone of stability. 1.4 Market Development Activities (Marketing Skills) Marketing skills involves the processes of availing education programs and materials that enhances knowledge and promote products. These are broadly categorized into those that are directed to trade participants and those directed to consumers. 1.4.1 Trade Participants Education programs and materials aim at increasing the knowledge of wholesale and retail buyers while at the same time providing exposure to more consumers. These activities are recommended to reach wholesale and retail buyers and merchandisers. Trade shows Participation in industry trade shows is a great way to reach top echelon produce executives. Sponsoring a stand at national shows and association events is highly effective, yet may be costly unless done in conjunction with other common interest groups. Product Samples : Provide potential buyers with product samples if possible especially during trade shows to reach retailers and wholesalers. Successful wholesalers have used targeted samples delivered directly to key buyers to their advantage. Availability calendars Easy-to-read availability calendars remind buyers of seasonal availability. If printed on high quality stock in four colors with photos of the product, this type of item will frequently be posted in buyers' offices or warehouses, and can be relatively long-lived. Harvest availability calendars can also be published as part of paid advertising in trade publications, funds permitting. Handling information Handling specifications, i.e., recommended storage temperatures, humidity, packaging, and realistic estimates of shelf life are essential, even to trade professionals. Many are not fully aware of the handling requirements of exotic produce and horticultural goods. Tie-ins Tie-ins or cross-merchandising ideas can stimulate impulse sales and improve profitability for retailers. Tie-ins can also help educate consumers as to additional product features and advantages. Consumer information Provide buyers with information that consumers expect, such as ripening and planting techniques, typical uses, preparation methods and recipes. These materials may be in the form of ready-to-use point-of-sale materials that can be distributed to consumers, or included in concise instructions to handlers which stress "what your customers need to know about [specific commodity]." These materials can enhance retailers' images with consumers by making retail sales staff more knowledgeable.


Display contests Retailers can be encouraged to promote goods by sponsoring display contests with prizes and recognition for winners. This approach requires significant expenditures for administration and prizes. Paid advertising Place informational ads in leading trade journals, advertising can make potential buyers aware of fruit availability and identities of shippers and their sales staff. Trade directories As a shipper, make your presence known by getting listed in trade directories such as The Yellow Pages, membership directories of organizations such as the FPEAK, KENFAP, etc. Because of the growing importance of the Internet, cross-listing on key websites will help buyers locate producers as well. Direct mail, fax or e-mail Remind past customers of seasonal availability of items by direct mail, fax or e-mail. Alert them at the beginning of the season and to impending peak supply periods. Most chain stores need at least two or three weeks notice to include items in their merchandising plans. Avoid use of faxes to firms that are not regular customers; many business people resent unsolicited faxes that tie up their machines and increase their operating costs. The same is true for e-mail. The practice of sending unsolicited e-mail, commonly called "spamming", is an aggravation for many people. If e-mail is used, the potential customer should be given the opportunity to be taken off the e-mail distribution list at once, or the e-mail communication may do more harm than good to the sender's reputation and goodwill. Promotional kit Develop a comprehensive retail promotional kit containing commonly used materials such as price cards, shelf talkers, recipes, nutritional brochures, posters, etc. Video tapes Depending on the product, wholesalers and retailers can be provided with training videos that incorporate basic product information and merchandising suggestions described above. 1.4.2 Consumers Education programs and materials aim at stimulating sales. In retail outlets, a combination of materials and methods often works best. The following are recommended if resources are available. In-store demonstrations:In-store demos are particularly effective in setting customers to try and buy new food products. Customers receive product samples and usually get verbal and written information about the product as well. In-store demonstrations are very effective, but also quite costly. Costs may be reduced by utilizing volunteers. Point-of-sale materials Price cards, posters, die-cuts, brochures, recipes, and video tapes are effective ways to get retailers' and consumers' attention. High quality materials (good stock, full-color) items are most likely to get used by retailers. Price cards should be 7" x 11" or smaller. Poster size is not critical, with typical sizes up to 24" x 36". Posters are likely to be used in multi-product displays. Multiple die-cuts are frequently used in creating larger displays. Bi-fold or tri-fold brochures can convey lots of information, but making them available to customers can be problematic unless display racks are also provided. Informational brochures are sometimes developed in-house by wholesalers and retailers; such firms welcome factual information. Recipes, on standard 3" x 5" stock and in pads, are usually welcomed by retailers. In addition to recipes, cards can contain information on ripening, storage, general preparation, and nutritional composition. Videotapes should contain much of the same information as brochures and recipe cards. However, recipes should be left to a printed format in the interest of brevity and convenience unless they are extremely simple.



1.5.1 1.5.2 1.6

A web site The Internet or "world wide web" is a rapidly growing communication medium. The proliferation of personal computers in offices and homes makes this an effective way to communicate with consumers, many of them highly educated and affluent. A "home page" can be established for a small fee which is also necessary for page maintenance. A web site could contain color photographs of fruits, vegetables and planting materials, basic information on sources, availability, storage, preparation methods and recipes. Visitors can also place orders or request additional information, depending on the design of the site. CONTRACTUAL ARRANGEMENTS IN MARKETING Contract farming, sometimes referred to as out grower scheme, is a type of farming with agreed upon terms between farmers and an investor e.g., a processing and/or marketing firm to produce and supply agricultural products with specific characteristics at predetermined prices. Contract farming is fundamentally a way of allocating risk between producer and contractor in that the farmer takes the risk of production and the contractor the risk of marketing. The terms of the agreement vary and usually specify how much produce the contractor will buy and what price they will pay. The contractor frequently provides technical advice and sometimes inputs on credit. Current evidence indicates that contract farming targets high value products with a market niche and operates in areas with easy access rather than remote areas where transport costs are high. Benefits of contract farming Improved farmer access to local and international markets. Increased farmer incomes. Increased farmer links to other services. Increased access to credit and inputs. Reduction in per unit cost of transport through pooling of products. Increases access to extension and research services. Enhances risk reduction. Types of contracts Market specification contracts are pre-harvest agreements that bind the firm and the farmer to a set of conditions governing the sale of the crop, including specified prices, quality and timing. Resource specification contracts oblige the firm to supply inputs, extension, credit, et cetera in exchange for a marketing agreement. Production management contracts typically bind the farmer to observe a particular production method or input regimen, usually in exchange for a marketing and/or resource provision. COLLECTIVE MARKETING / MARKETING GROUPS Farmers can increase their income and efficiency by joining with other farmers to market their goods, purchase their inputs and co-ordinate their farming techniques Among the activities that the farmers can engage collectively include: Agreeing to grow the same variety of crop to ensure uniform quality. Adding value by working to improve quality to meet the needs of a specified market. Weighing the goods and packing them in a standard way will attract a higher price. Group negotiations with traders for the sale of larger quantities of goods can improve the sale price significantly. If the collective activity includes the pooling of funds to purchase storage facilities, drying floors, transport vehicles, farm inputs, testing equipment, etc. then the income of the group may be enhanced still further. Key Issues Identifying the participants Although a number of farmers may work together to receive training or extension services not all of them may be prepared to join with the others to marketing their goods collectively.


When an officer first introduces the idea of collective marketing to a group, it mustunderstand that some farmers are likely to be more enthusiastic than others. A survey of potential members should be conducted by the office to discover how many members of the group want to be involved. This survey can also be used to discover whether more doubtful members of the group can be won round to the idea or whether they would prefer not to take part. For this survey, officers need to carefully explain what collective marketing is, how it might benefit the group and to explain how the group needs to organize itself to carry out the plan. No effort to encourage the formation of collective marketing associations will succeed unless each member of the group is enthusiastic about the idea. They must also be fully aware of both the potential benefits and any reduction of their individual freedom of action which may result from forming a marketing association. They also need to commit themselves to spend some time in discussion with their fellow participants to decide on the group's plans. Once each farmer has agreed on who they wish to include in their group, the names of these members should be recorded. Feasibility study Officers should spearhead the collection of information necessary for initiating all activities with the full participation and agreement of the group. Such a study should try to find out whether the group would benefit from collective action and by how much and in what ways. This kind of feasibility study is very simple. It is really just a method for checking that all the necessary elements are in place before embarking on the project. The aim of the study should be to obtain the following information:A; What is the geographical area of the proposed group? It might be necessary to draw up a scale map of the land owned or worked by each member of the group showing any roads or tracks between and bordering this land. This will help the group to discover whether each farmer has easy access to any central storage or other collective facilities (drying floors, road-side loading places, packing, weighing or milling facilities) that might be used collectively. B; What is the normal and potential production of each member? A list of all the different products which the group proposes to market collectively should be compiled. (At this early stage, the group may have decided only to market one product collectively.) The average volume of production of each product for each member should be made. This, of course, will vary from season to season and from year to year but the group must have some approximate idea of the total production capacity of the group's members. Each farmer should then be asked what volume of each product they are likely to keep for their own use and how much they are likely to have over for sale in an average season. They should also be asked how mush more they could produce in ideal weather and market conditions. All this data should be recorded. C; Making an inventory of the group's assets Most farming communities have very few assets. However, the group may already own, or have access to, tools or facilities that could be made use of for collective activity. A single member might own, for instance, weighing scales or a draft animal or a storage hut which they would be willing to sell or hire to the group as a whole. Here, it is of vital importance to reassure each member that they will not be required to share any equipment with the group if they do not wish to. And if they are willing to allow the group to share it, they need only do so if they are given a price or a renting fee by the group that they have agreed to. D; Assessing the market One of the most important components of the study should be to assess the local and wider market to discover the potential sales value of the group's surplus produce. One of the aims of the group might be to sell larger volumes of a crop which would attract a better price than the small volumes sold by individual farmers. Traders need to be approached to find out just how much more they would pay, say, for two tons of maize rather than for just one bag. Likewise, traders are likely to pay more for sorted and graded products or for produce packed in standard weight bags.


E; Assessing the data from the feasibility study Once the data for the feasibility study has been collected, this data needs to be assessed and analyzed. By comparing the volume or weight of the expected surplus output of the group with the information from the market assessment, it should be possible to make a rough calculation of the likely increase in income the group could expect to earn if they market their goods collectively. In addition, it should be possible to estimate what added value would come from any collective action to improve the quality or packing of the goods for sale. By estimating these likely benefits, it may also be possible to work out what extra equipment or other farm inputs the group could spend this extra money on which could be used to increase the income of the group still further in future years. On the other hand, if the data shows that very little benefit could be achieved by collective marketing activity, the group may decide not to begin such activity. Exercise 1.1 Marketing Group Meetings Objective The trainees will be able to tackle the various issues that arise during the preparation for collective marketing, before transactions and after transactions. Instructions for the Facilitator and Trainees 1. Form three groups of participants based on a product to be marketed and select a group leaders for each. 2. Each group will then select a chairperson for the simulated meetings to discuss the following agenda First Meeting (Preparation) Rules of the meeting, timing, breaks, allowing all to speak, reporting, actions to be taken, summary statements. Explanation of what is collective marketing Some ideas on the types of people that may want to join such a group Terms of joining Regularity of meetings Types of products that the group should work on Who could assist the group from other organizations, groups etc. Starting the planning process Next steps for marketing Second Meeting (Before the Transaction) Specific product What volume Where to sell To whom to sell What is the market doing Lowest offer to sell Third Meeting (After the Transaction) How to share the money received Discussion of what went well, what went not so well What improvements could they make in terms of variety, packaging, grading, point of sale, price, negotiations, marketing analysis, savings and credit. Agenda for the next planning meeting 3. Each group is to identify the person to take the minutes to record what has been agreed upon. 4. When finished, the groups will copy the minutes in flip charts for presentation in a plenary session by group leader. Resources needed 1. Paper and pencils 2. Flip chart, or overhead projector and transparencies 3. Markers for transparencies Time required: 2.5 hours


Training Subject Marketing and market information Objectives To equip the trainee with skills and knowledge for planning and executing a rapid market survey. Topic 2 Market Surveys (Duration - 8 hours) Specific Objectives - Explain the objective and strategies of a market survey. - Describe what should be considered in order to develop a research plan - Describe the main aspects of a market survey. - Explain how to organize the contents of the final market survey report. Some Orienting Questions 1. Is market research important? Why? 2. Who should perform market research? 3. Why is it useful to have up to date market information? 4. What information is it useful to have for the product, market, buyers and rules? Introduction Information is an important input in decision making. Farmers mostly need information on the current price of the product they would like to sell. However, market information also include details of the quantity of product being sold on any particular day in the different markets, cost and availability of transport, traders contacts, etc. in order to obtain these information, market research must be carried out. Market research in essence is a systematic process aimed at finding out as much as possible about the market for the goods that the farmers want to sell and include: 1. Finding out how the price of the product has changed over a long period of time. 2. Finding out which traders deal in the product. 3. Finding out the quality of the product that is desirable. 4. When the product is needed. The module on rapid market survey should not be confused with a complete sub-sector marketing study; it is rather a short exercise to identify critical aspects in the flow of a particular commodity or product from the point(s) of production to the point(s) of sale. Specifically the market chain survey aims to gather information that will reveal new business opportunities or identify key bottlenecks in the market chain. This information is vital when moving to design the marketing strategy. The required information can be divided between data about the product, buyers, linkages between buyers and other specific observations defined by the agro-enterprise group prior to the survey. Applying an approach akin to market research, 1.1 Planning for the survey 1.1.1 Setting the objectives of the survey This should be the first step in planning and executing a market survey. The objectives can include 1. To identify market opportunity for a particular product that is producer traditionally or can be produced in the region. 2. To capture information on purchasing conditions for the products with marketing opportunities. 3. To promote the diversification of rural production (rather than to replace traditional crops). 1.1.2 Constituting the survey team - The team should have members with different skills and backgrounds including the agricultural officer, statistics officer, one or two farmer group representatives and if possible, a specialist in the area being surveyed e.g. a livestock specialist if the dairy sector is being evaluated. - It is the responsibility of the team to consider how many surveys will be conducted, their locations and the logistics required to enable the survey team to get to these points in the market.



A budget should be developed which meets the needs of the survey team and provides resources to write up results in addition to the field time. A good recommendation is that teams of 2 or 3 people conduct market interviews. While one person asks questions and engage the interviewee, the other take notes and observe gaps in the information while monitoring the process and keep time. Ensure that the survey is focused Information collected should be relevant to the needs of the enterprise / client group. A theoretical map of the survey zone and market channels to be included in the survey should be drawn. Ensure that all the information needed to develop a business plan is collected. Key informants should provide background information and insights to the most useful people to interview prior to setting out on the survey. List the people to contact, use key informants as a guide As part of the theoretical map, include information sources and types of people to be interviewed and the numbers of interviews planned at each point in the market chain. A good recommendation is that 4-5 persons at one point in the chain are interviewed so that data can be crossed check, triangulated and confirmed with other market chain actors. The key informant's information is to guide this process. This can be A leading agent in the particular product market chain. An ex researcher who knows the sector. A retired schoolteacher familiar with the area. Select sites / locations / industries to be visited - Plan for follow up visits based on information from first meetings. - Depending on the nature of the product market chain being investigated, plan visits, and be well prepared when visiting each interviewer. Do not go to an interview without having the purpose of the visit clearly in your mind. - Be observant, do the answers from the person fit the situation? Use local observation to color your interview. Design interview checklists and pretest - A checklist to guide through the interview should be developed. - Interviewers should be trained using pre-tests to ensure that the right information is collected. - Adapt checklists, where needed to specific types of interviewee, e.g. a checklist for a processor is different from a checklist for a market retailer. - It is often useful to split the appraisal and checklists into two parts Demand questions focused on urban and market outlets. Supply chain questions focused on actors in the market chain often rurally located. Collating information and report writing - One person in the group should be tasked to collate data and be responsible for writing up results. - The findings from the results should be reviewed by the team and debated. Use of results - Plans to present the final report orally to the relevant farmers groups and agro-enterprise team should be made. - A written document should outline the process, major findings and recommendations. - The document should also provide information on key informants or actors within the product market chain who may be interested in participating in the design of marketing strategies. Data Collection It is important to define the types of information required for making business along the market chain more dynamic, i.e., the data being gathered should focus on opportunities for business development. In addition to providing marketing information, the survey will also enable farmer groups and service providers to identify key actors in the chain with the view of establishing new business options, and also to permit the identification of possible strategic partners within the design of

1.1.3 1.1.4 -








the strategy to increase overall market chain competitiveness. Hence the market survey should not be considered as an end point, but as essential groundwork for the next steps and for gap filling during the design of the intervention strategy. 1.2.1 Data about the clients The basic data needed about the clients are: - Name - Location (exact address, city, department, etc.) - Contact information (telephone, fax, cellular phone, electronic mail, etc.) - Type of client (i.e., position in the chain:-trader, supermarket, restaurant, hotel, institution) - What other products are bought 1.2.2 Data about the product and the market chain - Commodity characteristics, (grades, types, varieties). - Presentation of the product, (weight, packaging, etc.). - Product volumes, (aggregate market size, individual buying conditions). - Frequency and site of product delivery, (dates, periods, market site, on-farm). - Consumption patterns, (seasonality, trends). - Supply situation, Production, (demand, storage, trade flows). - Product price and form of payment, Price paid, (cash, credit, for how many days) - Price relationships, (Seasonal, cyclical, supply ­ demand) - Actors in the chain, (Market channels, marketing arrangements) - Marketing behavior, (Practices, vertical integration, market power). - Legal requirements for selling product, (sanitary registration, bar codes, packaging, legalized invoices, etc.) - Market infrastructure, (Roads, markets, communications). - Government, (Regulation, marketing, price fixing). - Global Trade, (World Market situation, tariffs, Sanitary and Phyto-sanitary regulations, Technical - Barriers to Trade). - Timing of the study, (Timing of study relative to market cycle). Collection of secondary data As with any type of research or analysis the starting point in an investigation should be a serious review of existing information in regard to the product, how it is produced, and the markets for this particular product. Secondary information is extremely valuable as it is low cost, the work has been done by others and it usually only requires systematizing, therefore accessing good secondary data will save you considerable time and money. Gathering primary data is expensive and to reduce days in the field or to help focus primary data secondary data collection should be undertaken. Sources of secondary information include: - Market information services - Consultancy Reports - Research institutions and universities - Chambers of Commerce - Trade Associations - Wholesalers - Internet - Development projects (NGOs) - Agri-business development centers - Press, specialized trade / commodity journals - Export promotion institutions (EPC/EPA) Collection of primary data Contacting interviewees Although there are numerous ways in which the respondents can be contacted, personal or phone interviews are most appropriate. However, due to high cost of phone


interviews, personal interview is the best option in terms of effectiveness due to its flexibility. Interviews can be conducted individually or in group (focus groups). Sampling Plan Sampling is an important activity that enables the identification of the specific respondents to be interviewed. Proper sampling ensures that the entire population is adequately represented. The findings and conclusions derived are also precise. Sample design Will consider the following: - Who should be interviewed ­ Sample Unit. - How many people should be interviewed ­ Sample Size. - How will they be selected ­ Sampling Procedure 1. Random sample among entire population ­ Probability sample 2. From it will be easy to obtain information ­ Convenience sample 3. Specific number of people from different categories ­ Quota sample Research tools The key tools are the questionnaire and the interview guidelines. The questionnaire contains a series of carefully prepared questions that the interviewee should answer. Questions can be open ended or closed (include all possible responses). The complexity of the survey and the requirements for interviewees vary according to the type of market being analyzed. If the study is focusing on sales in to a local, nearby market, then a small team of 2 or 3 people working for 2-3 days may be sufficient. If the market chain under analysis extends to several markets within a municipality, or several markets within a district, the size of the team and the number of days required to undertake the survey increases. In estimating the time required for the survey, it should be considered that excluding transportation, a standard interview might take 30 minutes to 1 hour. In some cases it may take 2 hours when an interviewee has many products to discuss, or is a key actor. Data Processing and Analysis Since data is collected from a wide range of respondents, it is important to organize the questionnaires accordingly for data entry and analysis. At this stage, secondary information already obtained should be incorporated for the analysis which should result in information in the following broad categories: Demand side of the market chain analysis - Identify the major products and market chains - Provide figures on the size of these markets, and a figure of the total market demand for the product in question. - At the product level, information is required on price, volume, trends, quality criteria, uses as well as potential uses. - The results should prioritize products in terms of where the enterprise can increase sales, increase product value, volume of trade i.e., how to be more competitive. - The process of demand analysis should record the names of traders, buyers and processors, so that any future intervention can be developed in partnership with these actors after the analysis of the results have been made. Supply side of the market chain analysis - A map of the zone being analyzed with major production zones, of the selected commodity. - For a commodity, the study should provide information on seasonality of production - Trend information on prices of the target raw commodity and if possible for processed products derived from the raw material, i.e., cassava roots, cassava chips, cassava flour, cassava starch, etc.... - Marketing costs along the market chain, showing costs paid by and to the intermediaries from the farmer to the consumer. This information should include margins along the chain.


Flows of the commodity through the main supply chains, coming from the major areas of production. 1. Sample Questions for a questionnaire a. Theme: Products with high or intermediate growth in demand - The volume of sales of ___________ in your chain of supermarkets this year was greater (+), equal (=) or less (-) than last year's volume? ________________ More or less by what percentage? __________________ What products presented the highest increase in demand? Give the percentage in rounded figures. 1. ______________________________________________ _____% 2. ______________________________________________ _____% 3. ______________________________________________ _____% 4. ______________________________________________ _____%

b. Theme: Products in scarce supply - Is it now difficult to obtain any type of _______________? - Yes [ ] Go to Question No. ___ - No [ ] Go to Question No. ___ - What specific product or products are in scarce supply? In which months? 1. __________________________ _____________________________ 2. __________________________ _____________________________ 3. __________________________ _____________________________ 4. __________________________ _____________________________ - Why is this product (or these products) scarce? (keep the same order.) 1. ____________________________________________________________ 2. ____________________________________________________________ 3. ____________________________________________________________ 4. ____________________________________________________________ Exercise 1: Developing a Simplified Questionnaire for Studying Purchasing Conditions for a Product Objective - The trainee will design a simplified questionnaire for identifying key purchasing conditions or requirements for a given product of interest. Instructions for the Facilitator and Trainees 1. Form groups of four or five, preferably by region, and name a group leader. 2. The group will suppose both a product and a type of contact for the simplified questionnaire. 3. The group should complete questions for the eight topics in the matrix columns,& make sure that the questions're easily understood,&keep vocabulary as simple as possible. 4. All questions should be open-ended, except for the question on method of payment and frequency of purchase, which can be closed. Therefore the group will think of appropriate response options to close the two questions. 5. Write the complete questions in the Worksheet for this exercise. 6. Afterwards, transfer the Worksheet content into a large paper and present in a plenary session. Resources needed · Worksheet for Exercise 2 · Paper and pencils · Flip chart, or overhead projector and transparencies · Magic markers, or markers for the transparencies Time required: 1.5 hours


Worksheet for exercise 1 Questionnaire for Identifying Purchase Conditions for a Product No. 1 Topics Required quality aspects Questions

2 Preferred variety of product 3 Preferred presentation or packaging


Unit purchase price (closed)


Method of payment


Minimum volume purchased per supplier (closed)


Preferred frequency of purchase


Minimum acceptable supply continuity


Developing a Simplified Questionnaire for Studying Purchasing Conditions for a Product ­ Feedback (Answer to exercise 1) Questionnaire for Identifying Purchase Conditions for a Product (Mango) No. 1 2 Topics Required aspects quality (a) Which is the list of key quality requirements for the mangoes that you purchase? (b) Is that all? Questions


Preferred variety of product A. Which mango varieties do you buy? B Which variety do you (optional) prefer? Preferred presentation or What presentation or packaging to you demand from your mango packaging suppliers? Unit price purchase (a) Which is the unit of purchase for mangoes? (b) At what price per unit are you currently buying? (closed) What is your method of payment for mangoes?



Method payment

of a). for cash b). after one week b). after two weeks d) d. after one month e. other: _________________________


Minimum volume Which is the minimum volume of mangoes that are you willing to purchased per purchase per delivery from a given supplier? Please specify the supplier units. (closed) Which is your preferred frequency of purchase for mangoes?


Preferred frequency purchase

a). every day b). every two days of c). once a week d). every two weeks e). once a month f). other: __________________________

Minimum acceptable supply Which is the minimum acceptable supply continuity expected from a continuity given supplier?


11 : ORGANISATIONAL DEVELOPMENT. Formation of farmer groups Group formation process The purpose and objectives of a farmer group should be known to the potential members from the beginning. This will help one to decide whether to join the group or not. Those who join will be assumed to have assessed the purpose of the group and seen possible benefits of joining and how. The clearer the purpose of a group, the more it registers genuine/committed members. Principles of group formation: The group should be small: members should know each other The group should be homogeneous: members should live in similar geographic and economic conditions and have close social affinity. This reduces conflict and helps to build trust Groups should be voluntary and democratic: members can decide, who can join their group, who will lead them, what rules they will follow, and what activities they will undertake The group should be formed around income-generating activities: income-generating activities are crucial to group development because they produce assets that help build self-reliance Guide to group formation process: Step 1: Awareness creation by an initiator, e.g. Ministry of Agriculture staff, innovative member of the society, etc. Step 2: Invite farmers to discuss: o the problems and needs of farmers o the possibility of a farmer group to address these needs o the benefits and obligations of the group members If there is an interest to continue discussions, call a second meeting. Step 3: Invite an adviser/facilitator and discuss the following issues: o common problems and needs of the farmers o possible solutions to these needs o problems/needs to be addressed by the farmer group o advantages and disadvantages of a group approach o services the FG can provide o what is expected from members o membership issues o what could be the appropriate legal form o elect a "working group" or "steering committee" that will continue to guide the group through the formation process. Step 4: The working group/steering committee should analyse the ideas in step 3 above and determine their feasibility o points to be considered are market issues, organization, technical issues, and financial issues. o propose a name for the group Step 5: The working group/steering committee should convene a meeting to present the results of its analysis in step 4 above. If the analysis indicates that the idea to form a group is viable, the farmers should indicate interest by signing a pre-membership agreement. There should be a decision on which legal form the group should have. Step 6: The working group/steering committee to write a first draft constitution. Step 7: In a meeting with the farmers/potential members, the draft constitution is presented, discussed, amended and adopted. It should be mentioned that recruitment of members is a continuous process. Step 8: In a meeting, only those who have signed the pre-membership agreement participate. The members are required to pay a membership fee. They elect the interim committee. The interim committee is mandated to proceed with the registration of the farmer group. Step 9: After the registration, election of the management committee takes place and the farmer group begins its operations.


Step 10: Start operations e.g. develop a business plan, open bank account, start offering services, etc Stages of group development3: The basic though not exclusive stages in group development can be identified as: Forming: People with a common goal identify a common problem and decide to come together. This stage may be or is often initiated by an outsider, e.g. an extension agent or local leader or an insider who may have had experience of the same elsewhere. This person may be called a mobilizer or innovator and is not necessarily the leader of the group. Storming: This is a meeting of minds. It involves dealing with the initial problems of coming together, understanding each other, and harmonising means to achieving the goals identified in formation. Among other details, it is necessary that at this step the missing information is collected, success stories are reviewed, persons who can assist are identified and an ad-hoc chairman is elected. Norming: This relates to establishing rules that govern behaviour. The group also develops a group vision that will define these rules. The rules will most probably be contained in the group bylaws or constitution. The constitution must contain the initial objective of formation and give an indication of the operation guidelines for the group's leaders and members. It is in this discussed document that items such as when to hold meetings, election of leaders, management structures etc. are mentioned. Performing: The group is said to have reached maturity when there is mutual acceptance of group members, communication exists between members and decisions are made together, tasks are performed jointly, and organisation and control of group activities is done. Group dynamics: This refers to interrelationships among members that contribute to group success. Several factors should be considered, e.g.: be friendly to everyone in the group treat everyone with respect insist that roles and obligations are taken into account everybody should adhere to the code of conduct leaders should have certain minimum criteria (see chapter 3.3) generally, do unto others as you wish others to do unto you. In every group, members have different talents, which need to be tapped in order to make the group more effective. Members have qualities that complement each other and these should be used optimally to bring synergy into the group. To enhance group performance, the leaders and members should: allow everyone to participate invite the weak and shy members to contribute continuously remind members of their roles and obligations ensure members adhere to code of conduct have clear roles and responsibilities Benefits and disadvantages of farmer groups Advantages: Bulk marketing of produce to realise economies of scale Bulk purchase of inputs, leading to lower input costs Training and education of members Access of useful information on markets, technologies, regulations, etc. Improving access to advice and extension Facilitate access to credit Joint negotiations with traders, processors, service providers, national branch associations, etc. Help farmers to realize higher returns on their farming business Sharing of risks


Disadvantages: Decision making takes longer than in case of a company or individual farming Participation in a group adds additional costs to the farmer for maintaining the group. In most cases these are, however, lower than the expected benefits Members risk loss as a result of being a guarantor to defaulters Groups vulnerable to political interference Whole group suffers if some members produce lower quality produce Group members lose in case of misuse of resources Success & failure factors Experiences with groups have shown that there are some factors that lead to success or failure in formation and development of groups. These should be considered when forming or managing a group. Typical success factors are the following: Political good will Member driven group formation Formation is centred around a profitable income-generating activity Competent advisers Legal registration Common values, democratic decision-making Enforcing code of conduct and constitution Capable and dedicated leaders Regular training of members and management Members have common interests, and common social background Manageable group size Active participation of members in meetings and other activities Clearly defined set of rules (procedures manual) Clear roles & responsibilities of members, leaders, employees Appropriate conflict resolution procedures Effective communication Accurate and timely record keeping Commitment of members Effective management of resources Adherence to procurement guidelines Typical failure factors and their possible solutions: Lack of clearly defined objectives and strategy Inadequate planning and budgeting Use of incompetent advisers Poor leadership Lack of member commitment Lack of competent management Inadequate training for leaders and members Failure to identify and minimize risks (do SWOT analysis according to chapter 2.2) Inadequate equity capital Ineffective communication Selection of legal form In principle, the laws in Kenya provide different options for farmers to associate with each other. These legal forms differ in who is having the influence, who is contributing the funds, who gets the profits, what happens in case of insolvency, but also in view of registration requirements and costs. The following legal forms exist:


Farming with assistance of a Farmer Group 1. Formal (incorporated) 2. Formal (not incorporated) Partnership Firm 3. Semi-Formal 4. Informal (registered) (not registered) Self-Help Group, Common Interest Group (CIG) Club "merry round"

NGO Association Trust Cooperative Company (Ltd.)


The following explanations on legal forms presented in the graph above give only give a very brief overview. Farmer groups should get additional expert advice when they want to form a group or to change their legal form: Non-Governmental Organization (NGO): founded according to NGO Co-ordination Act 1990, the NGO are non-profit organizations that are oriented towards idealistic objectives. The funds and assets can only be used for the promotion of the objectives of the NGO, and can not be distributed to the members in any form. A sample constitution of 12 pages is available Association: founded according to the Societies Act 1970 (revised in 1998), Chapter 108, the association is a non-profit society, where the nature or object can be chosen freely. The Act mainly deals with the details of registration, the government controlling rights, the contents of the constitution of a society. The liability of the members is limited to the amount of an annual subscription. It is prohibited to distribute funds of the association to the members. A specimen constitution of 5 pages is available. The registration at the Registrar of Societies costs 2,700 KSh and has to be reconfirmed every year. Trust: founded according to the Trustees Act, Chapter 164, a trust is a non-profit organization oriented towards idealistic or social objectives. The funds and assets are provided by a person or company (trust fund); the dividends and interests if the trust funds are used to achieve the objective of the trust. Cooperative: founded according to the Cooperative Societies Act, No. 12 of 1997, Chapter 490, the cooperative is a joint business of the members. The profits are either reinvested or distributed to the members. The objective is to jointly run the business (e.g. savings & credit, dairy processing, etc.). Cooperatives are registered with the Ministry of Cooperative Development and Marketing (MoCDM) or their local representative offices. The initial registration costs amount to 3,000 KSh. Company (Ltd.): founded according to the Companies Act, Chapter 486, the company is a profitoriented business owned by one or several individuals or legal entities. Contributions to the investment capital can vary between the owners. Profits and losses are distributed depending on the share an owner is holding. The liabilities of the limited company are limited to the paid-in registered capital, and owners are not liable with their personal assets and income from other sources. Partnership: a joint business activity of two or more individuals. Profits and losses are distributed equally among the partners. Every partner is fully responsible for the liabilities of the partnership without any limit with his personal assets and any income from other sources. Firm: a business activity of one or several individuals registered with the municipality. Profits and losses are distributed equally among the partners. Every partner is fully responsible for the liabilities of the partnership without any limit with his personal assets and any income from other sources. Self-Help Group / Common Interest Group (CIG): registered with the Area Social Development Officer (SDO) by filling a form "Application for Registration of a Self-Help Group/Organization" in 5 copies and by paying a fee. A copy of the constitution, the Minutes of the first meeting and a list of the founding members (from 15 to 50) has to be added to the application also fivefold. Annual renewal is obligatory and costs a fee. At the moment, a legal basis for the formation of Self-Help Groups or CIG is still missing. However, the Ministry of Gender, Sports, Culture & Social Services


who is in charge, plans to include this in the Youth Policy and/or the Disability Policy that are currently in a draft form. In principle, members are free to choose any constitution; the SDO, however, often recommends using the specimen constitution for a society that is applied for the associations. Since there are no rules for the Self-Help Group & CIG, these are free to retain or distribute the profits and losses according to their constitution. Banks accept to open accounts, but getting a loan might be more difficult because it is not regulated who is in charge for the liabilities of the group (most probably all of the members up to the full amount or at least the signatories ­ chairperson, secretary, treasurer -). Club: is an informal group of individuals that come together for any social or other interests. The objectives can vary, in the case of a farmer club; they could be joint farming activities, joint saving and providing loans ("merry go round"), sharing of information and experiences, etc. As the club is not registered or incorporated, the sharing of profits and losses depends on (non-)existing verbal or written agreements of the members of a club. If a club opens a bank account it is in the name of the person opening it, not in the name of the club. Access to loans and signing of contracts on behalf of the club is not possible, because it is not a legal entity. Which legal form should be selected by a farmer group? The following factors need to be considered when selecting the legal form: Readiness of the members to commit themselves Registration requirements and costs Long or short term scope of the members Does the group plan joint investments? Are loans needed to realise the joint business? Limitation of liabilities of the members Ability to take a company to court in case of breach of contract If members are not yet fully committed and if they do not plan larger investments, they could form a Common Interest Group. The registration requirements and costs are lower, and they do not have to fulfil many obligations by the registering office. For example, they can set up a constitution just as they like it (although they are recommended to go along the lines of the specimen for an association). However, there is currently no legal backing for this form of a group (see above). A Common Interest Group or Self-Help Group registered at the Ministry of Gender, Sports, Culture & Social Services can open a bank account. It might, however, have problems to obtain a loan and it also can not take a company to court in case of breach of contract. Every member of a CIG is liable for the entire risks of the group with his/her entire personal property. It is therefore recommended to select the legal form of an association although registration costs and requirements are higher. The liability of each member is limited to the amount of his/her annual contributions. An association also has better access to loans from micro-finance institutions and commercial banks. Most importantly, an association can take a company to court in case of breach of contract, because it is a legal entity. Constitution & by-laws What is a constitution? A constitution is a set of rules that guide the affairs of a group of people. It should be designed to protect the members' rights and properties, and to enable a transparent and democratic management of the group's business. It must be understood and agreed upon by all members. It is only worth as much as it is applied in practice and adhered to by the members and their leaders. In principle, each group is free to set up its own constitution. However, it is usually more efficient to take a sample or specimen constitution and adapt it to the specific needs and circumstances of the group Since a constitution has to be presented to the registration body, and due to the necessary quorum to change a constitution, which is normally two-thirds of the members present at the General Meeting (GM), it is rather difficult to change a constitution. Therefore, many groups and associations have separate by-laws or procedures manuals that can be changed by simple majority vote of the GM. There are numerous situations when a constitution is specifically needed If somebody wants to become a member (eligibility criteria)


If a member is not paying his membership fees (sanctions) If a chairman has to be elected or dismissed (election procedures) If a member is never attending the meetings (roles and obligations) If profits or losses have to be distributed to members (utilisation of profits) According to the specimen constitution for an association, the following points have to be clarified in the constitution: Name, location, address of the association Objects of the association (purpose, and objectives) Rules on membership (eligibility, entrance, expulsion) Entrance and subscription fees Management structure (office bearers) Duties of office bearers, terms of office Responsibilities of the executive committee General Meetings Procedures at meetings Trustees (if any), auditors and funds Financial management (purposes for which funds may be used) Creation of branches Procedures to revise/amend the constitution Dissolution of the association Inspection of accounts and list of members Rights and obligations of members Members are the most important component of a group. The members are the owners, the users, and the ones who should control the organisation. Though the leaders have specific roles, members also have certain rights and obligations as follows: Rights: Obligations: Approve / amend the constitution Election of Management Committee Passing of resolutions Sign marketing agreements & other binding contracts between the member & the FG Sharing equitably any jointly owned equipment Ensuring management committee complies to the law and regulations Being informed about the group activities Evaluating the performance of the group and its leadership Attending the GM Access to books of accounts and other records. Provision of the necessary contributions Members must make use of the services provided by the farmer group Abide by the constitution, by-laws & contracts Participate in decision-making Give accurate information to the group Examine all records and reports Paying off loans on time Promoting the farmer group to potential members Building up the image of the FG in the public Do the necessary activities to achieve group objectives Support the leaders in their duties and tasks Building group cohesion and trust

Code of conduct for members For a farmer group to function properly and effectively, the members should adhere to certain ethical standards. These standards should be agreed upon by members and documented. Every member should sign a code of conduct. A "Code of Conduct" could look like this:


Needs and situation analysis, planning and monitoring 2.1 Identification of members' needs The facilitator or the office bearers of the farmer group (FG) call for a members' meeting; on the agenda of the meeting there is a topic called "Identification of needs and problems". A second person takes the minutes of the meeting, by writing the needs and problems as expressed by the farmers into the following form: Needs / problems as Can the farmer group take If yes, what could be the expressed by members care of the expressed need activity or service to cater of the group / problem? (yes/no) for the need or to solve the problem? 1. 2. 3. 4. Analysis of strengths and weaknesses (SWOT analysis) The needs identification of a farmer group can also be realised by conducting a SWOT analysis. The SWOT analysis is based on a simple principle: if the main Strengths, Weaknesses, Opportunities and Threats of an individual or a group are known, it will be quite simple to identify the necessary solutions or activities that are needed to improve the situation. The improvement of the situation is reached by activities to enhance the strengths, to eliminate or reduce the weaknesses, to build on the opportunities and to prevent the effects of possible threats. Name of farmer group: Date: Summary of Strengths (internal / positive) Possible solutions /activities or services needed

Summary of Weaknesses (internal / negative)

Summary of Opportunities (external / positive)

Summary of Threats (external / negative)


(i) Kinds of Groups 1. Formal 2. Informal Formal ­ highly structured and registered groups Informal ­ Non structured and unregistered groups e.g weddings/burial groups. (ii) People form groups for many purposes e.g Environmental conservation To generate income Survival ­ (that is Self Help) Pooling resources together Addressing common problems ­ water Social group Emphasize the importance of working together and that two heads are better than one!! Summary: Procedure of forming a group. 1. A person(s) with vision 2. Sensitization/sharing/awareness, creation 3. Common felt need 4. Recruitment of willing member 5. Interim officials 6. Registration of members 7. Constitutions/regulations/by-laws 8. Election of officials 9. Application for registration Certificate Renewal (annual) 10. Open a bank account Group Levels Level One: unformed: Group is not formed and lacks structures. Different people have come together but do not now how to work together They cannot identify their problems Level Two: Formed A group is formed, leaders are chosen and roles assigned. People have different ideas. Leaders believe they know it all. Most members are confused and not clear of their roles. Level Three: Dependant: Group believes it cannot accomplish its goals without help from the outside. Most of the members are able to identify problems but expect other people to discuss and even solve the problems for them. Level Four: Reactive A group after identifying a problem to solve or a project to accomplish (a major doing well), encounters difficulties and puts the blame on one another and often puts initial blame on lack of outside help .They even blame the person who introduced the project. Level Five: Interdependent The group works well with field workers or advisers. For a time it may need technical advice and how to expand the project. The problems are solved and projects are successfully started. The work of the group is shared. Level Six: Independent The group and its leaders work well with minimal outside assistance. They can identify and solve their problems and carry out projects. They are also able to identify and properly utilize assistance and to aim others.


Level 1[ Unformed] Lack of office bearers Not prioritizing enterprise ­ dairy goat project Lack of cohesiveness Group has low income and poor quality dairy goats Level 2 (Formed) Has a registration certificate Group has paid registration fee (50%) of members) Mode of elections (selection/election) Members do not know the objectives of the FFS or groups that is: Need to improve their dairy stock Need to improve management aspects of dairy goats. Need to make role in the FFS Use of common buck by the members Maintenance of the buck and house by members. Attendance and participation in all meetings Level 3: (Dependent) * The buck house has not been constructed * No self-initiative in solving their problem * Lack of confidence Level 4 (Reactive) The group has problems such as: No feed nor water for the buck Buck not well looked after and often sick Irregular internal meetings without proper records Services not according to prior objectives Improper accounting Poor attendance in topic meetings and field days. Blaming bucker keeper, facilitator or officials of the FFS for their problems. 5. Level 5 (Inter Dependent) Healthy buck which is well-fed, water always available Regular and well attended meetings in all topics and field days Good records and accounting records Good management practices by the members. 6. Level 6: (Independent) All in level five Rarely need the facilitator High level of management by members High level of cohesiveness Group Level Chart Assessment: 1. Group Development 2. Problem identification 3. Project identification 4. Project running 5. Project expanding Issues to that members exhibit in a group: 1. There is no problem 2. It is not my problem 3. I cannot do anything 4. I don't know how I don't have the resources 5. We can do it ­ we can't even teach others.


Types of groups Self Help Groups (SHG) A group of 15-30 members Registered under culture and Social Services Do not require licenses to meet Registered under culture and social services for purpose of meeting. If more than 30 members not recognized by Law as only members in the application letter for registration are recognized Association and Organizations Organization: Association of people who do not necessarily have common interest Association: People with common interest Could be at different levels e.g H/H ­ stockists ­ wholesale ­ manufacture Association is strong and recognized (enforced) by the laws of Kenya. Registered under AG's Office Can be formed by several SHGs. Disadvantages Conflict ­ can results in disintegration Time lack to make decision or action Why do Association/Organizations Collapse? (1) Conflict (2) Failure to abide by by ­laws (3) Uninterested members or leaders, * Members should avoid negative utterance about their organization Once an association is formed goals and objective can be changed (4) Self imposed leaders (5) Expansion beyond control (6) External interference (7) Failure to evaluate the organization activity (8) Lack of plan of operation Activity Leader Collaboration Time Frame Requirement And Budget (9) (10) (11) (12) (13) (14) (15) (16) Inability to make decisions Lack of information ­ to members or organization Unexposed leaders ­ unaware of roles or delegation Where leaders and members lose hope very easily Customer care Lack of idea or basic knowledge in book keeping Know your competitors ­ strengths and weakness You must know well the commodity you are dealing with its requirements e.g site of production, production processes, safe storage, market information etc) (17) You must know who your customers are catchment area (18) Establish, total amount of money you need, how much you have, and how to raise balance. What Needs to be Included in By-Laws (SHGs) (1) Objectives ­ should be uniform for groups in similar organizations. (2) Committee members for small SHGs up to 10 is necessary ­ help reach consensus (3) Committee positions defined (4) Responsibilities of executive officials (5) Ways of raising funds; Registration, (monthly) subscription, fines, donations, revolving funds grant for IGPs


(6) How to treat defectors(Refund, % refund), new members How to treat shares of a member (dead member) ­ pass to next of kin how do you identify next of kin Do you give it to trustees? Example of FFS Association Network Association/FFS SHG (District levels) Divisional FFS SHGS FFS SHGs at community level To register association, standard by-laws (Articles of Association) from AGs Office are given. Memorandum of association: (Pay 3000/=) Given 2 ­ 4 weeks to read and understand, if you cannot agree, you return the M.O.A and get your money back. Requirements: Choose arbitrator Raise shares Benefits to next of kin in case of death if a member Supportive documents while making application for registration to include: Goals Objectives & Activities As many objectives as possible could be listed Advantages of Association. Share experience with experts High organizing power Cost saving/sharing An access information on external market & Bigger investment (7) Tenure of office of committee members, In case of elections How do you elect officials? And how do we conduct by ­ election? (8) Account management ­ signatures and withdraws. Most of the time 3 signatures are given, with 2 signatures mandatory for withdraw, one of which must be that of treasurer. (9) Welfare (if any) should be specific. In case of hospitalization, death etc, how do you treat the member? (10) If any investment, it should be specified. How do you use money from fines, registration, e.g entertainment. (11) Investment priority (12) Management of risks policy



1. Recognizing the many existing services providers (Government, NGOs, Private Sector, faith-led organizations and community based organizations) 2. That enormous resources are commanded by these different entities (human, physical and financial) 3. Utilization of these resources not coordinated and many service providers often do not consider priority demands of the farmers. 4. Need for Sharing of ideas, resources to minimize conflicts and enhance efficiency. 5. Declining global funding and resource allocation to Agricultural and public sector- need for new ways of resource mobilization to help both farmers and extension staff. 6. Farmers now exposed to many service and inputs providers- they need to know how to benefit from this opportunity. 7. Need to minimize government involvement in too many activities; importance of inviting other stakeholders to assist farmers as well. 8. Extension workers now agents in change, not just agents of change: they must practically be involved in all processes. Role of key stakeholders in fostering collaboration a) Role of Government ministries 1. Stimulate the desire to improve the situation by supporting the process of collaboration 2. Assisting farmers to organize Stakeholder Forums. 3. Formation of Consortia. 4. Improvements on impeding policy and legal structures (Creation of enabling environment to encourage private sector participation). 5. Actual funding of private organizations- case of NMK 6. Empowerment, capacity-building farmers. b) Role of Private Sector Capacity Building. Increase investment in the agricultural sector. Improve on our global image thus encouraging external donors to help. Counter-checking where public sector is not doing well. c) Role of the Farmer 1.Be directly involved. 2.Demand improved services. 3.Change in attitude- see agriculture as business, not subsistence. Suggested practical ways for collaboration Knowledge of existing and potential partners/collaborators- carry out stakeholder analysis; Knowledge of what each is doing. Making exchange visits. Joint meetings, felid days, etc. Utilize opportunities in modern communication, especially. use of internet and e-mail services. Capacity building- proposal writing, communication skills, negotiation skills, etc. Creation and funding of stakeholder fora. Formation of Consortia. Negotiations skills. Mobilization of existing and potential collaborators within and outside the mandate extension area. Proposal writing skills, - with good knowledge of work planning, budgeting, logical framework; basics skill in project planning and management. Computer skills and having e-mail address. Communication and report writing skills


Improvement on personal skills- The key personality factors to consider are:

Being people friendly, reaching out to people, developing interest in what other people do. Flexibility and ability to accommodate programmes and what others do; Persistence through effective follow-ups, renegotiations and strong belief in what you want to do; Accepting failures without being discouraged; Striving to reach more collaborators; Being proactive, seeking new ideas; Ability to make sacrifices: Transparency and accountability. Professionalism and integrity. Necessary tools Telephone, Computer (e-mail), Transport Main Challenges Little trust from people in the private sector, NGOs, etc. Budgetary implications: wide networking may require finance and other resources, Lack of skills -negotiations skills, proposals writing, report writing skills, computer skills. Monetary mentality: thinking wrongly that collaborators are cash cows, having wrong expectations, tendency to work on large budgets/big, unrealistic targets etc. Competing interests. Conflict on who gets the credit for good work done. Poor attitude and lack of initiatives. Low self esteem, low self-confidence. c) ChallengesFarmers Lack of capacity Low level of literacy Low recognition ­ legal acceptance, recognition of offices, etc. Poor organizational structures. Lack of networking skills and exposure. Poor group management skills. Advantages of collaboration Budgetary support to GoK. Enhanced innovation, reduced idleness and apathy. Trainings/capacity building and exposure ­ including sponsorship for tours, international meetings, academic scholarships, etc. Logistical support: e.g. some collaborators have given vehicles, computers etc to GOK departments or staffs Rewards and work recognition of efforts- some private sector collaborators have been more concerned with direct rewards, prizes etc to those who work harder and help them succeed. Wide exposure to current issues and events, latest technologies, publications, etc. Improved professionalism among those involved. Advantages to farmers/groups More trainings and capacity building/exposure. Actual support in terms of loans, credits, grants, etc. Accessibility to new technologies, information, ideas, experiences, etc. Sustainability of started projects. Reduced over reliance on GoK support and staffs. Practical Checklist: Consider: history of collaboration, resource sharing, mutual benefits (synergy), actual processes of collaboration (e.g. meetings, joint supervision, field days, etc),


B: NETWORKING DEFINATION: What is networking/ Process of creating linkages between, people with common:- Interests - Pursuits and - Goals A pattern of communications or interactions 1) Interest? ( What is our interest) Interested in Group of people who exchange information, contacts and Experiences for professional, social and or agri-business purposes. (2) Forging partnership with individuals and institution Interests Goals Pursuits Networks assists in binding together alike minded people for - Contacts - Friendship - Support ­ forming Support systems Types of Networks 1. Formal Networks * Regulative networks * Information network * Innovative network * Integrative network 2. Informal Network 3. Systematic (Targeting) Network 4. Haphazard Networking 1. Formal Network Formed deliberately e.g through ­ seminars, training, workshops Meetings, etc, which are attended in official capacity Types of Formal Networks 1. Regulative Network This is found in formal communication and consists of the channels used to disseminate organizations: Regulations Project/company policies Practices Procedures 2. Innovative Network: Purpose ­ makes organization flexible and adaptive to changes ­ demands, Environment, etc. Developed as a result of participative management theory Creative ideas from employees accepted. E.g (TQM (Total quality Management) - Systematic planning/dev. Approaches 3. Informative/Instructive Network: Trainings for productivity, furthers an organizations need for adaptiveness leading to productivity E.g ­ T.O.T.s 4. Integrative network Focuses on employee morale E.g ­ A reward system ­ rise in pay. A pat on the back or the grapevine Scholarship Commissions (cash) Today ­ KBC Rewarded




Informal Network Unofficial links. We interact with people we meet at: Churches Market places Weddings Clubs Clinics Friends homes They form part of our friends (network) It is important to identify various people holding different roles who can help. Systematic (Targeting)Network Involves one going directly to people he/she wants to network and have similar interest through individual choice and initiative E.g for business venture - KAP - Honey Care Africa o - Heifer International Project One here requires courage to initiate a discussion Requirements for Networking Tips for personal organization Use of dairy and calendar Use of business cards (not common in GOK) Keep other people's cards Follow up on people you have met Keep record of information ­ power and empowerment Develop assertive participation Facilitate connecting people Use time wisely Remember to be a member of a professional group/association Benefits of Net working Creates means of becoming visible Fosters self-help (Harambees in case of need) Make new friends Information exchange Enhances career development Knowing where to go when you need held and how to ask for it Knowing the right persons to help you. Sense of belonging to a certain group which is a common features of networking. Effects of Gender on Networking * Lack of time * Social ­ cultural * Financial constraints * Lack of information * Sexual discrimination * Lack of initiative ­ aggressiveness * * * * * Inferiority complex Lack of opportunities Lack of motivation Lack of Education lack of facilities ­ telephone


13. CROSS CUTTING ISSUES THE CONCEPT OF MAINSTREAMING The efforts made to involve women in the development process focus on mainstreaming. According to UNIFEM, the mainstream is defined as the place where choices are considered and decisions made that affect the management options of many people. The idea about gender mainstreaming in the development process is about both women and men being seen and heard and having an effective positive impact on their lives. Mainstreaming as a concept has evolved over time. It is a journey not a destination. Initially mainstreaming meant the strengthening of women's active involvement in development; interfacing women's capabilities and contributions with macro-development issues. Today, mainstreaming is more used to refer to a comprehensive strategy involving and consisting of programmes where both men and women are involved equally; integrating them both into existing programmes and agenda setting activities. MAINSTREAMING GENDER This implies that gender issues and concerns are integrated and are part and parcel of all the activities of the programme. It is a way of ensuring that the programme takes into account both the men's and women's interests and needs. The efforts made to involve both women and men in the management process focus on mainstreaming. Gender and development strategies Seek to effect social and cultural changes in order to positively influence the relationships between women and men. Are needed to empower and enable women and men to collectively determine their own development. Increase the access of both men and women to resources, opportunities and power and ensure that the development activities impact and benefit women equally. Definitions of some concepts Sex Refers to the physical or biological differences between men and women. It identifies the biological differences between men and women, characteristics that are universally unchanging Gender Refers to the men's and women's roles different roles as defined by the society. It identifies the social differences between men and women that are learned, are changeable over time and have wide variations within and between cultures. Gender Analysis Is the systematic effort to identify and understand the roles of women and men within a given context. This is an in-depth analysis of the different roles of women and men to understand what they do, what they have, and what their needs and priorities are. It leads to practical prescriptions or remedies to these concerns. Gender analysis Tools These are tools that help one in making a gender-responsive plan. Such tools as gender daily activity calendars, activity profile, access and control of resources and benefits profile which are borrowed from various models are used for this purpose. Gender sensitization Is the systematic effort to promote awareness of gender differences and the implications that these differences have on planned change efforts in development. Society A group of people living together in a locality and sharing norms, rules, values, traditions and beliefs Construction Building, making or putting together


Gender roles Are learned behavior in a given society Gender Identity Refers to the subjective feelings of "maleness" or "femaleness" irrespective of one's sex. One may be of one sex but with a gender identity of the other sex. Gender concern -Important issues affecting ones life or production Gender Responsiveness -Policies/activities that intend to transform existing gender disparities to create a more balanced relationship between women and men, touching on strategic gender needs. They may target both sexes, or males or females separately. Positive aspects of Gender Great awareness on gender on the perception of gender-gender is not women issues but refer to the roles and responsibility of men, women, boys and girls Women can participate and complete equally with men. Empowerment of women does not imply dis-empowerment or control over men Help in mobilization of community in their roles Both men and women contributions are important in development Negative aspects of Gender Misconception of what gender is Confusion between gender and feminism Gender create tension between men and women Diluting men's power People are exploiting the gender issue for personal gain Causes conflict between old and new Social construction of gender The social construction of gender refers to the way in which society prepares boys and girls for their future roles as men and women. The boy is expected to play the man's role and any deviation from this is deemed as not acceptable. Examples Education - Male child given more priority , - Certain subjects are considered appropriate for girls and not boys and vice versa Tradition and culture-women not allowed to eat the nutritious food Identification of Gender Concerns -This are defined as the issues that emanate from the relationship between men and women and that are in need of change Examples: The division of labour- e.g. skewed division of labour Access to and control of resources and benefits Decision making Leadership Access to credit facilities Steps to address Gender concerns Identify the gender issues in the project/activities Formulate objectives from the gender concerns, i.e. what you what to achieve? Identify forces for and forces against Formulate strategies to meet the object Develop indicators Barriers to Mainstreaming Resistance to change Women's past exclusion


Lack of equal accomplishment Inadequate resource base for women activities Size of investment enterprises designed for and managed by women

HOW TO MAINSTREAM GENDER IN COMMUNITY SUPPORTED GROUPS Gender concerns that may affect Community groups projects 1. Leadership issues (a.) Lack of opportunity to lead -Husbands may not allow potential women to take leadership position -Women also play a big role in domestic affairs hence may have no time to participate in group activities -Women may lack exposure/Some men may not allow their women to attend courses/seminar/workshops in to increase their capacity in leadership (b.) Lack of full support to the women by their husbands /communities - e.g. Lack of financial and moral support -Men excluded from the women's group may question the usefulness of the women's group (c.). Low Level of education -Due to cultural and socio-economic aspects women may not have been subjected to high levels of education (d.) Democracy -Women with unqualified qualities of leadership can be elected as leaders due to the fact that their husbands is prominent in the area (Chief/councilor/rich) (e.) Decision Making Over ­reliance of women on their husbands/men while making decisions (f.) Self-centered leaders Some men who are self-centred may always work for the downfall of the strong women leaders. 2. Membership (a.) Lack of proper/clear constitution -If no clear constitution some husbands /men may take advantage of the group e.g. a man may want reimbursement of shares and profits after of his wife simply because the constitution does not clearly define the next of kin (b.) Economic aspects -Most women run no IGAs hence depend on their husbands for monthly/membership contributions hence may drop due to lack of financial support by their husbands 3. Management (a.) Lack of transparency -lack of transparency of women to men (b.)Business Skills -lack of economic empowerment by men/society men act as remote control of women group affairs. {Book keeping, fund sourcing} (c.) Lack of clear objectives or focused activities -Interference of women profit/dividends by men would sabotage management of the group 4. Up scaling the group project. (a.) Lack of security to acquire credit facilities -Women have no control over family/community assets -Women not aware of their rights (b.)Saving -may have joint bank account hence mis-using the money hence no funds for business expansions (c.) Business premises -ownership of the premise (d.)Lack of entrepreneurship skills -Some men may not allow their women to attend courses/seminar/workshops (e.)Limited markets/transport


-women are confined in one markets leading to denial of chances to exploit for markets (f.) Family conflicts -successful women may look down upon their husbands leading to family break down COMMUNITY NUTRITION. Gender concerns affecting promotion of good nutrition Access and control of family resources Different nutritional requirements for men and women Culture Food taboos Child health focused on women alone MAINSTREAMING GENDER IN SCHOOL MEALS PROGRAMME & 4-k CLUB Gender concerns: Membership of the school meals committee/4k club Management of the programme/club activities Community contribution/participation Strategies to address the Gender needs/concerns -Baseline surveys identify the gender concerns in the community -Create awareness in the community -Capacity building of the community -Improve the group constitution -Encourage Husbands/community to support the women projects -Constitution with clear objectives - Build up your own saving /credit facility Problems you anticipate in addressing the gender concerns -Cultural resistance may hinder entry to the community -Ignorance -Political influence -Family disagreement -Men may refuse to grant more land for the women projects Expected output Balanced group leadership Well managed business More confidence in women Increased transparency Increased support MAINSTREAMING HIV/AIDs To mainstream HIV/AIDs in the programme ­simply means to integrate HIV/AIDs issues in programme activities at all levels INTRODUCTION The HIV/AIDs pandemic is adversely affecting household as while as national food security through its effects on food availability, access and utilization. Household suffers the loss of productive labour, income and food reserves. Savings are diverted and assets depleted to meet health acre and funerals expenses. In some cases household are forced to make permanent adjustments, e.g shifting from commercial to subsistence farming. Results to children headed household Additional responsibilities to the elderly who are unable to provide farm labour. The HIV/AIDs has affected the agricultural sector negatively through infection of the most productive workers (15-49 years). Prevalence rate stands at 6.1 %.


Affected and infected families have been reduced to a state of chronic malnutrition and food insecurity that need appropriate measures for mitigation. Since there is no cure for the virus there is need to prevent new infections and prolong the lives of those already infected. Objectives d) Create awareness on the impacts /dynamics of HIV/AIDs on food and nutrition security. e) Awareness creation on prevention measures f) Create awareness on the need to support the infected and affected lives g) To prevent more infections and prolong lives of those infected and affected Teaching Methodologies: Lecture notes Course Content: e. What is HIV and AIDS? i. What are the key issues emerging from this situation? ii. What are the major impacts? iii. What are the most urgent interventions needed to reduce the sero-prevalence rates and the effects of HIV/AIDS on people and other areas of development in a community? iv. Mitigation of the negative food security impacts v. What are the major challenges ahead for your District/Division? vi. Whose challenges are these? f. Identification of appropriate/viable projects targeting the affected and infected(widows, orphans) g. Strategies to prolong life of those infected affected (Care and Support of the Infected and Affected) a. Nutritional care and support b. Nutritional management of commonly diseases with HIV ­Infection c. Create awareness on the importance of counseling and testing d. Create awareness on HIV & Breast feeding guidelines e. Create awareness HIV& Infant feeding guidelines h. Prevention and Advocacy measures; a. promotion of testing and support programmes b. provision of information on safe sex c. promotion of attitude and behavior change d. incorporation of HIV and AIDS education curricula in all programmes The HIV and AIDS pandemic is now a global crisis and constitutes one of the most formidable challenges to development and social progress. It is eroding decades of development gains, undermining economies, threatening security and security and destabilizing societies. The illness and subsequent deaths of workers resulting from HIV and AIDS, has an enormous impact on the national productivity. Labor productivity drops, the benefits of education are lost, and resources that would have been used for wealth creation and poverty reduction are diverted to treatment, care and support. Savings are declining, and loss of human capital is affecting production and quality of life. The sum total of these has a negative impact on the National Gross Domestic Product. IMPACTS OF HIV/AIDS ON THE VARIOUS SECTORS HIV/AIDS has impacted negatively on all sectors of the economy. Some of the impacts include; 1. Agricultural Sector Lack of farm labour due to HIV/AIDS related deaths or illnesses. Lack of farm inputs as a result of sick farmers/ or their family members having to spend lots of money on ARVs or treatment of opportunistic infections. Fall in acreage of land cultivated due to illness/lack of labour. Reduced income from farming as land lies idle. 2. Education Sector i.Supply of experienced teachers has been reduced by HIV/AIDS.


ii.Children are kept out of school to care for their siblings or parents sick with AIDS or to take care of other economic activities. iii.School dropout increased and enrollment reduced. iv.Increased workload for teachers following death of their colleagues (replacement of teachers still restricted). v.Quality of labour may be compromised as school dropout rates increase or absenteeism of pupils/students to care for the sick siblings/ or parents. 3: Health Sector i.Increased number of patients over-stretched bed capacity. ii.Stress of health workers due to large number of sick people (HIV/AIDS related illness). iii.Death of health workers leading to increased work-load for those in service. iv.Increased overall cost of health care in the country 4: Social Sector i.Increased demand on social services ii.Overstretched responsibilities and resources of the extended family. iii.The society and families have to deal with complex issues of sex and family iv.More young children are becoming heads of households (problem of orphan-hood/ child headed households) v.Many children are turning to the streets or to commercial work and becoming increasingly vulnerable to other problems e.g. juvenile delinquency, drug abuse, STDs including HIV infections being exposed vi.Bereavement in succession has become a common phenomenon in the families, increase of funeral costs and all the effects it has on the family and especially children and the community as a whole vii.Increased stigma, discrimination and rejection of PLWHA and their families viii.Increased poverty levels due to death of bread-winners ix.Loss of jobs and exploitation for cures leading to selling of property x.Decline in life expectancy xi.Increase in child and infant mortality xii.Children are traumatized when their parents suffer and ultimately die in their hands. Good Nutrition What good Nutrition does: Improves health and nutritional status by improving weight loss Increases immunity and thus the ability to fight opportunistic infection Delay disease progression because of strong immunity Enhances drug effectiveness in terms of utilization and transit within the body Reduces severity of drug side effects Nutritional management of some common diseases with HIV-infection symptom Causes Management Diarrhea May be a symptom due to poor Drink plenty of fluids hygiene Continue feeding and treat any possible Side effects of medication causes Lack of absorption of nutrients like Avoid alcohol lactose ,fats, sugars Seek medical attention if there is blood in Allergic reaction to nutrients the stool Anorexia(lack Side effects of ARVs Eat small frequent meals of appetite) Effects of opportunistic infections Eat favorite foods always Stress ,anxiety, depression Take snacks in between meals and take plenty of fluids Do simple exercises like walking Eat plenty of fresh fruits and vegetables



Lack of exercise Drink plenty of fluids Side effects of medication Eat foods with high fibre-whole grains, Eating over processed foods with vegetables, oats etc. less fibre and fluids Do not skip meals Exercise a lot Massage the belly Anemia Lack of iron Increase consumption of iron rich foodsLack of vitamin B12 absorption vegetables Presence of illness Increase consumption of fruits rich in Side effects of ARVs Vitamin C Reduced consumption of tea, coffee after meals Treatment for malaria and worms promptly Fatigue/gener HIV-infection Establish cause of fatigue al body Side effects of medication Eat snacks between meals weakness Stress caused by the virus Exercise Depression and anxiety Rest Malnutrition Deep breathing and proper ventilation Hormonal changes Drink plenty of water loss of body muscle Fever Occur due to opportunistic diseases Seek medical attention Mouth Alimentary canal infections Good oral hygiene and gargling with a sores/thrush Side effect of some antibiotic therapy pinch of salt in warm water Eat garlic or drink raw garlic tea to relieve the pain Eat fermented foods like yoghurt Eat mashed ,soft, smooth foods at room temp Drink fluids with straw to ease swallowing Avoid spicy, sugary and acidic foods and drinks Muscle Effect of disease Refer to ARV assessment if BMI is less wasting/weigh Inadequate intake of food than 16.5 t loss Diarrhea and lack of nutrient Advise to prevent infections and treat absorption infections promptly Side effects of some drugs Assess possible causes of weight loss If due to dietary intake; Eat balanced meals and increase quantity, take snacks Dry mouth Effect of disease or drugs Advise to rinse mouth with warm salted Eating very salty ,dry foods or water drinking a lot of caffeinated drinks Avoid very hot foods, sweets, strong teas, sodas, alcohol Strategies to prolong life of those infected 1. Medications that include anti-retroviral drugs (ARVs) and other drugs for opportunistic infections 2. Promotion of good nutrition and food security 3. Psycho-social support-through registration of support groups and voluntary counseling and testing centers 4. Provide appropriate care for HIV/AIDS affected people, especially orphans, and take action to prevent further HIV infections. 5. Encouraging physical exercising among those infected to improve their lean body mass, appetite stimulation and stress reduction


6. Heath life styles/Behavioral change ­ good rest, use of condoms, active in developmental activities HIV AND BREAST FEEDING . h) · HIV passes via breastfeeding to about 20% of infants born to HIV infected women. · In areas with a high prevalence of HIV, the lack of breastfeeding is associated with a three to fivefold increase in infant mortality. · Therefore, infants can die from either the failure to appropriately breastfeed or from the transmission of HIV through breastfeeding. · These risks include contamination and related illness from unclean water used to prepare infant formulas or lack of fuel to sterilize feeding equipment. · A child born uninfected to an HIV positive mother has a one in five chance of acquiring the virus from her milk if breastfed. · Exclusive breastfeeding for the first six months of the child's life is safer than mixed feeding (partial breastfeeding and partial supplementary feeding). · Mixing breastfeeding with replacement feeding will increase the risk of HIV transmission to the child. This should not be done. · Replacement feeding during the first six months should only be done with a suitable breast milk substitute. · After six months, a suitable breast-milk substitute and complementary foods made from appropriately prepared and nutrient-enriched family foods, should be given three times a day. · Drug treatment for HIV given to the mother and infant at birth can reduce the rate infants becoming infected by half CARE Provide appropriate care and support for HIV/AIDS affected/infected people, especially orphans, and take action to prevent further HIV infections. MAINSREAMING HUMAN RIGHTS On December 10, 1948 the General Assembly of the United Nations adopted and proclaimed the Universal Declaration of Human Rights the full text of which appears in the following pages. Following this historic act the Assembly called upon all Member countries to publicize the text of the Declaration and "to cause it to be disseminated, displayed, read and expounded principally in schools and other educational institutions, without distinction based on the political status of countries or territories." PREAMBLE Whereas recognition of the inherent dignity and of the equal and inalienable rights of all members of the human family is the foundation of freedom, justice and peace in the world, Whereas disregard and contempt for human rights have resulted in barbarous acts which have outraged the conscience of mankind, and the advent of a world in which human beings shall enjoy freedom of speech and belief and freedom from fear and want has been proclaimed as the highest aspiration of the common people, Whereas it is essential, if man is not to be compelled to have recourse, as a last resort, to rebellion against tyranny and oppression, that human rights should be protected by the rule of law, Whereas it is essential to promote the development of friendly relations between nations, Whereas the peoples of the United Nations have in the Charter reaffirmed their faith in fundamental human rights, in the dignity and worth of the human person and in the equal rights of men and women and have determined to promote social progress and better standards of life in larger freedom, Whereas Member States have pledged themselves to achieve, in co-operation with the United Nations, the promotion of universal respect for and observance of human rights and fundamental freedoms, Whereas a common understanding of these rights and freedoms is of the greatest importance for the full realization of this pledge, Now, Therefore THE GENERAL ASSEMBLY proclaims THIS UNIVERSAL DECLARATION OF HUMAN RIGHTS as a common standard of achievement for all peoples and all nations, to the end that every individual and every organ of society, keeping this Declaration constantly in mind, shall strive by teaching and education to promote respect for these rights and freedoms and by progressive


measures, national and international, to secure their universal and effective recognition and observance, both among the peoples of Member States themselves and among the peoples of territories under their jurisdiction. Article 1. All human beings are born free and equal in dignity and rights.They are endowed with reason and conscience and should act towards one another in a spirit of brotherhood. Article 2. Everyone is entitled to all the rights and freedoms set forth in this Declaration, without distinction of any kind, such as race, colour, sex, language, religion, political or other opinion, national or social origin, property, birth or other status. Furthermore, no distinction shall be made on the basis of the political, jurisdictional or international status of the country or territory to which a person belongs, whether it be independent, trust, non-self-governing or under any other limitation of sovereignty. Article 3. Everyone has the right to life, liberty and security of person. Article 4. No one shall be held in slavery or servitude; slavery and the slave trade shall be prohibited in all their forms. Article 5. No one shall be subjected to torture or to cruel, inhuman or degrading treatment or punishment. Article 6. Everyone has the right to recognition everywhere as a person before the law. Article 7. All are equal before the law and are entitled without any discrimination to equal protection of the law. All are entitled to equal protection against any discrimination in violation of this Declaration and against any incitement to such discrimination. Article 8. Everyone has the right to an effective remedy by the competent national tribunals for acts violating the fundamental rights granted him by the constitution or by law. Article 9. No one shall be subjected to arbitrary arrest, detention or exile. Article 10. Everyone is entitled in full equality to a fair and public hearing by an independent and impartial tribunal, in the determination of his rights and obligations and of any criminal charge against him. Article 11. (1) Everyone charged with a penal offence has the right to be presumed innocent until proved guilty according to law in a public trial at which he has had all the guarantees necessary for his defence. (2) No one shall be held guilty of any penal offence on account of any act or omission which did not constitute a penal offence, under national or international law, at the time when it was committed. Nor shall a heavier penalty be imposed than the one that was applicable at the time the penal offence was committed. Article 12. No one shall be subjected to arbitrary interference with his privacy, family, home or correspondence, nor to attacks upon his honour and reputation. Everyone has the right to the protection of the law against such interference or attacks. Article 13. (1) Everyone has the right to freedom of movement and residence within the borders of each state. (2) Everyone has the right to leave any country, including his own, and to return to his country. Article 14. (1) Everyone has the right to seek and to enjoy in other countries asylum from persecution.


(2) This right may not be invoked in the case of prosecutions genuinely arising from non-political crimes or from acts contrary to the purposes and principles of the United Nations. Article 15. (1) Everyone has the right to a nationality. (2) No one shall be arbitrarily deprived of his nationality nor denied the right to change his nationality. Article 16. (1) Men and women of full age, without any limitation due to race, nationality or religion, have the right to marry and to found a family. They are entitled to equal rights as to marriage, during marriage and at its dissolution. (2) Marriage shall be entered into only with the free and full consent of the intending spouses. (3) The family is the natural and fundamental group unit of society and is entitled to protection by society and the State. Article 17. (1) Everyone has the right to own property alone as well as in association with others. (2) No one shall be arbitrarily deprived of his property. Article 18. Everyone has the right to freedom of thought, conscience and religion; this right includes freedom to change his religion or belief, and freedom, either alone or in community with others and in public or private, to manifest his religion or belief in teaching, practice, worship and observance. Article 19. Everyone has the right to freedom of opinion and expression; this right includes freedom to hold opinions without interference and to seek, receive and impart information and ideas through any media and regardless of frontiers. Article 20. (1) Everyone has the right to freedom of peaceful assembly and association. (2) No one may be compelled to belong to an association. Article 21. (1) Everyone has the right to take part in the government of his country, directly or through freely chosen representatives. (2) Everyone has the right of equal access to public service in his country. (3) The will of the people shall be the basis of the authority of government; this will shall be expressed in periodic and genuine elections which shall be by universal and equal suffrage and shall be held by secret vote or by equivalent free voting procedures. Article 22. Everyone, as a member of society, has the right to social security and is entitled to realization, through national effort and international co-operation and in accordance with the organization and resources of each State, of the economic, social and cultural rights indispensable for his dignity and the free development of his personality. Article 23. (1) Everyone has the right to work, to free choice of employment, to just and favourable conditions of work and to protection against unemployment. (2) Everyone, without any discrimination, has the right to equal pay for equal work. (3) Everyone who works has the right to just and favourable remuneration ensuring for himself and his family an existence worthy of human dignity, and supplemented, if necessary, by other means of social protection. (4) Everyone has the right to form and to join trade unions for the protection of his interests. Article 24. Everyone has the right to rest and leisure, including reasonable limitation of working hours and periodic holidays with pay.


Article 25. (1) Everyone has the right to a standard of living adequate for the health and well-being of himself and of his family, including food, clothing, housing and medical care and necessary social services, and the right to security in the event of unemployment, sickness, disability, widowhood, old age or other lack of livelihood in circumstances beyond his control. (2) Motherhood and childhood are entitled to special care and assistance. All children, whether born in or out of wedlock, shall enjoy the same social protection. Article 26. (1) Everyone has the right to education. Education shall be free, at least in the elementary and fundamental stages. Elementary education shall be compulsory. Technical and professional education shall be made generally available and higher education shall be equally accessible to all on the basis of merit. (2) Education shall be directed to the full development of the human personality and to the strengthening of respect for human rights and fundamental freedoms. It shall promote understanding, tolerance and friendship among all nations, racial or religious groups, and shall further the activities of the United Nations for the maintenance of peace. (3) Parents have a prior right to choose the kind of education that shall be given to their children. Article 27. (1) Everyone has the right freely to participate in the cultural life of the community, to enjoy the arts and to share in scientific advancement and its benefits. (2) Everyone has the right to the protection of the moral and material interests resulting from any scientific, literary or artistic production of which he is the author. Article 28. Everyone is entitled to a social and international order in which the rights and freedoms set forth in this Declaration can be fully realized. Article 29. (1) Everyone has duties to the community in which alone the free and full development of his personality is possible. (2) In the exercise of his rights and freedoms, everyone shall be subject only to such limitations as are determined by law solely for the purpose of securing due recognition and respect for the rights and freedoms of others and of meeting the just requirements of morality, public order and the general welfare in a democratic society. (3) These rights and freedoms may in no case be exercised contrary to the purposes and principles of the United Nations. Article 30. Nothing in this Declaration may be interpreted as implying for any State, group or All over the world, the 19th and 20th centuries were marked by grave human rights violations perpetrated through activities such as slave trade, the First and Second World Wars and Hitler's Massacre of over 6 million Jews in Nazi Germany. These violations prompted the world's nations to come up with principles safeguarding human rights. These principles have been in use for a long time and continue to be improved upon through application and refinement. Eve with the existence and wide acceptance of the human rights principles, violations continue throughout most of the world. State-sanctioned racial discrimination, apartheid, perhaps the world's most apparent form of human rights violations, has ended in South Africa but genocide, disappearances, torture. Arbitrary killings by law enforcement agencies and other human rights abuses are reported elsewhere. The first serious effort to recognise and protect human rights of all was the universal Declaration of Human Rights passed by the United Nations in 1948. It is a statement of the basic human rights. In 1966, the International Covenant on Civil and Political Rights and the International Covenant on Economic, Social and Political Rights, expanded the scope of the Universal Declaration. Both covenants came into force in 1976. These there international human rights instruments are collectively known as the Bill of Rights.


Definition of Human Rights A right is something owed to a person or a community by reason of nature, custom, or law. Human rights are the rights one has by being human. Human rights are part of natural rights. All individuals have human rights. They are entitlements that all human beings have by virtue of being human. They are also moral codes in all societies on what is right or wrong, permissible or not permissible. They protect all people from exploitation and dominance by more powerful people. Characteristics of Human Rights After years of debate and argument, a number of things can now be said of human rights. At the 1993 World Conference on Human Rights in Vienna, Austria, a Declaration was adopted that proclaimed, amongst other things, that human rights are "inalienable, universal, indivisible and interdependent". Inalienable ­ they cannot be taken away by another person or by the State. They can only be violated. Universal ­ they apply to and are enjoyed by all the people in the world. Indivisible ­ No right is more important than the other and their enjoyment must be pursued equally. Interdependent ­ full enjoyment of ones right is dependent on the enjoyment of one or several other rights. They are interrelated. Classification of Human Rights Human rights can be classified into three categories. This however does not mean that some rights are ore important than others, but is merely a way of illustrating the various aspects of human rights that human rights must be applied to, in order to safeguard human dignity. These are civil and political rights; social, economic and cultural rights; and group or solidarity rights. Civil and Political Rights They are also referred to as first generation rights. These rights enable citizens to participate in governance and to freely discuss issues. They are as follows: The right to life, liberty, protection from slavery and servitude; protection from torture and cruel, inhuman, or degrading treatment or punishment, protection from discrimination; Right to a fair trial before an independent and impartial body and right to be presumed innocent; Freedom from arbitrary arrest, detention, or forced exile; Non-interference with one's privacy, family, home or correspondence and protection from attacks upon honour and reputation; Freedom of movement and residence within borders of each State as well as the right to leave any country or return to it, seek asylum and enjoy it; The right to a nationality; The right to own property individually or jointly with others, and protection from deprivation of property; Freedom of thought, conscience and religion; Freedom of peaceful assembly and association; and Right to take part in the Government directly or through elected representatives.

Economic, Social and Cultural Rights Also referred o as second generation rights, these rights complement civil and political rights. They relate to people's sense of belonging, dignity, survival and preservation of cultural practices. The environment must also be seen to enable everyone to enjoy both categories of rights. Economic, social and cultural rights include: The right of a people to self-determination and self-governance; The right to work, right to free choice of work, right to just and favourable conditions of work, and the right to equal pay; The right to social security, social benefits and pension; The right to quality goods and services; The right to adequate safe and clean drinking water and reasonable standards of sanitations;


The right to leisure and rest; The right to form and join a trade union of one's choice, and the right to strike; The right to social security, adequate standard of living for self and family including food, clothing, and housing; The right to marry and found a family; The right to highest attainable standard of physical and mental health; The right to education, including compulsory free primary education; The right to preserve ones cultural heritage; The right to take part in cultural life, and to enjoy the benefits of scientific progress and applications.

Group of Solidarity Rights Group or solidarity rights are those rights that are enjoyed as communities and other forms of groupings. Some of these rights are still contestable and do not enjoy universal recognition like other rights. Examples of these rights include: The right to self-determination The right to a clean and healthy environment and development Protection as a minority Concept of Limited Rights Human rights have limitations. One can enjoy his or her human rights but in doing so should not interfere with the rights of others. E.g. a person's freedom of speech stops when he or she begins to defame another. According to international standards, restrictions on human rights should be reasonable, non-discriminatory, and justifiable. (Your rights begin where mine end). HUMAN RIGHTS STANDARDS AND INSTRUMENTS Human rights standards are set out in the various international instruments that States sign at the international or regional levels. The role of the government is to create an enabling political and economic environment that gives the citizens the widest opportunity to enjoy their human rights The main human rights instruments are: The International Bill of Human Rights, which include: The Universal Declaration of Human Rights The International Covenant on Civil and Political Rights The International Covenant on Economic, Social and Economic Rights Other key instruments are: The Convention on the Elimination of all Forms of Discrimination Against Women (CEDAW) The Convention Against Torture (CAT) The Convention on the Rights of the Child (CRC) Statute establishing the International Criminal Court The African Charter on Human and People's Rights. HUMAN RIGHTS UNDER THE KENYAN CONSTITUTION The current Constitution contains the civil and political rights that are enshrined in the International Covenant on Civil and Political Rights. They are contained under the Constitution's Chapter Five (sections 71-82. Section 83 states instances when the rights can be derogated from while section 84 is the provision for enforcement of the fundamental rights). These rights are fundamental and indivisible and therefore contained in the supreme law of the land. Domestication of Human Rights In Kenya, human rights provided for under international instruments are no immediately applicable in Kenya unless those rights are recognized by the laws of Kenya. Human rights recognised by the laws of Kenya can be enforced and protected by Kenya courts. The process of recognition of such human rights and other international treaties is known as domestication. The Constitution of Kenya, in Chapter V recognises the following rights: Protection of the right to life; Protection of right to personal liberty


Protection from slavery and forced labour; Protection from inhuman treatment; Protection from deprivation of property; Protection against arbitrary search and entry; Provision to secure protection of the law; Protection of freedom of expression; Protection of freedom of assembly and association; Protection of freedom of movement; Protection from discrimination on grounds of race, tribe, place of origin or residence or other local connexion, political opinions, colour, creed or sex. Nevertheless, many of these contain exceptions, and provide instances when the State can derogate from the human rights of the individuals. Another limitation in this Bill of Rights is the concentration on civil and political rights only and the exclusion of the economic, social and cultural rights. HUMAN RIGHTS ENFORCEMENT MECHANISMS AND PROCEDURES Local Protection and Enforcement Constitutional Protection of Fundamental Rights and Freedom of the Individual When human rights are nationally guaranteed, they become enforceable in local courts. However, human rights do not cease to be human rights merely because they are not locally guaranteed. They are still enforceable through international mechanisms. As earlier mentioned, not all internationally recognized human rights are included in the current Constitution. Local Enforcement of Human Rights Every person has a right to get compensation when his or her rights have been violated. Likewise, a person is entitled to protection when his or her rights are threatened with violation. High court may make orders binding the lower court. Constraints in Local Enforcement and Protection Expense involved Takes long for cases to be heard and decided Lack of clear-cut procedure for one to enforce HR issues in court Bill of rights is not inclusive of all rights Political interference in court proceedings Regional Protection and Enforcement The African Charter Kenya signed the African Charter on Human and Peoples' Rights enacted in 1981 by the Organization of African Unity now the African Union. The Charter creates the African Commission on Human and People's Rights to promote human and people's rights and ensure their protection. Has power to investigate human rights abuses brought to its attention. However, an individual cannot take a human rights dispute to the commission. A complaint can only be made by one State against another. States need to make declaration to give non-governmental organizations power to make complaints (only Burkina Faso has made declaration). International Enforcement of Human Rights International Covenant on Civil and Political Rights It places obligations on States that have signed it. The obligations are: States undertake to respect and guarantee to all individuals rights recognized in the covenant without distinction of any kind. States undertake to pass laws to guarantee and enforce the rights in the covenant. States undertake to ensure that any person whose rights or freedoms recognized in the Covenant are violated has an effective remedy. States undertake to ensure that cases related to human rights courts determine violations and that orders issued are enforced.


The covenant established the Human Rights Committee. Reports are to be submitted to the committee periodically on steps being taken to give effect to the rights recognized in the covenant and should indicate factors and difficulties affecting implementation of the rights in the covenant. Committee listens to complaints against States. The committee will only deal with a complaint if the victims of the violations have exhausted all available remedies in their countries. In certain circumstances, the Committee permits individuals whose rights have been violated by their governments to complain directly to the committee but there are conditions: Country must have signed the Covenants optional protocol (agreement), which gives individuals the right to complain. (Operation 23rd March 1976 but Kenya is yet to sign). The complainant must have exhausted all local remedies. The complaint should be written and signed. The Committee is required to notify country complained against. The country is given six months within which to make a written response. International Covenant on Economic, Social and Cultural Rights This covenant requires States that have signed it to: Take steps with a view to achieving gradually the rights recognized in the covenant; Pass laws to effect the rights in the Covenant; and Guarantee the rights in the covenant without discrimination on any basis. It is up to developing countries to decide the extent to which they want to guarantee economic rights. Human Rights and the State A person will not be said to have a right to something unless some other person owes them a duty either to do something unless some other person owes them a duty either to do something or to refrain from doing something to facilitate the realization of that right. The person who has a right is referred to as a right holder while the person who has a duty is referred to as a duty bearer. Right holders are individuals and communities while duty bearers can be individuals, the State, State agents, United Nations, corporations, NGOs and other entities. Duty bearers normally have four sets of duties: 1. To respect the rights, or to refrain from interfering directly or indirectly with the enjoyment of the right; 2. They have a duty to protect the right, which involves taking measures to prevent other people or entities from interfering with the enjoyment of the right; 3. They have duty to facilitate the enjoyment of the right, which means that they should adopt appropriate legislative, administrative, budgetary, judicial, promotional, and other measures towards the full realization of that right; and 4. They have the duty to directly provide assistance or services for the realization of the right. The last two are sometimes lamped together to constitute the duty to fulfil the realization of the right. Because tax payers have ceded their power to govern themselves to the State, it bears a heavy duty to ensure that rights are respected, protected and fulfilled. States on their part have a duty to ensure that human rights of individuals are guaranteed and protected. It is the duty of the State to ensure that peoples' rights are not trampled on and that all enjoy the rights guaranteed by law. Human Rights Monitoring : Monitoring is crucial to ensuring human rights protection, fulfillment and respect. Monitoring involves continuous and accurate observation, investigation, recording and according publicity to incidents or cases of human rights violations. It may also involve collection of information on performance of obligations and the effects of human rights interventions. Monitoring serves four purposes; 1. To collect and analyze information on the implementation of development initiatives which have a bearing on human rights; 2. The need to know whether the development measures that have been set up are working and to document their effects on people; 3. To identify if there is need to change policy measures that are producing negative unexpected results; and 4. To identify capacity issues which need to be addressed.



What is drug abuse? A drug is any substance that has a biological effect when taken into the body. Drugs like alcohol and tobacco are legal in the United Kingdom while the possession, use or supply of others such ecstasy, cocaine and cannabis are against the law. Even though cannabis was reclassified from class B to C in January 2004, it is still illegal to posess, supply or manufacture it. Drugs in the UK Recent research has looked at the use of drugs in people aged 1218 years old. Some of the results are shown in the table. Proportion of : school students saying that they had taken illegal drugs in 20% the last year. 15 year olds who smoked tobacco or drunk alcohol within 29% the last month. 11-15 year olds who have smoked cannabis in the last 12% year. 14 & 15 year olds who are fairly sure or certain that they 55% know a drug user. Source: UK Drug Report on Trends in 2001

Addiction and dependency Do all drug users become addicted? In short, the answer is "no" but as always with drugs the real answer is more complicated. There are many different types of drugs and each has its own particular features.

Physical addiction Some drugs like heroin can cause physical addiction. They actually alter the structure of nerve cells in user's brains and this means that their nervous system cannot work properly without the drug. The user is addicted to the drug. If a user stops taking the drug, they will feel withdrawal symptoms as their nerves need to readjust to working without the drug. It may take weeks before their nervous system is back to normal and during this time there is a great temptation to return to using the drug and stop the withdrawal symptoms.

Picture 2. Cigarettes and alcohol are legal drugs that can cause addiction.


Psychological dependence Many drugs can cause psychological dependence. This can be as bad as a physical addiction even though the drug does not cause physical changes in the user's nervous system. Drugs, like solvents, can become a central part to a user's life. They feel depressed and down if they do not use the drug. They crave the feeling that the drug gives them and without it, dependent users cannot face their day-to-day life. Tolerance A feature of many drugs is called tolerance. As the user's body adjusts to the drug, a bigger amount needs to be taken each time to get the same feeling as when it was first taken. This can quickly spiral into using more and more of the drug and lead to addiction or dependence.

Causes of drug abuse Medical experts are still unable to definitively state what causes drug abuse, so there are a variety of explanations being offered. These various explanations can be divided into four main psychological theories. The behaviorists believe that drug abuse is not a genetic trait but instead a learned behavior. They believe that people begin to use drugs by copying the habits of those around them. The humanists also believe that drug abusers are a product of their environment. The biological theory, however, believes that drug abuse is an inherited trait, meaning that certain people have a genetic predisposition toward using and abusing drugs. Finally, the social work theory feels that people use drugs because of their socio-economic status. They feel that drugs are used in an attempt to escape an intolerable situation. Drug abuse or substance abuse is the use of any chemical substance (especially controlled substances such as psychoactive drugs, narcotics, hormones, prescription medication or over the counter medicines) in a way that society deems harmful to the user or others. What is drug abuse and addiction? Drug abuse refers to the use of a drug for purposes for which it was not intended, or using a drug in excessive quantities. Drug addiction is a state of physical or psychological dependence on a drug. Physical addiction is characterized by the presence of tolerance (needing more and more of the drug to achieve the same effect) and withdrawal symptoms that disappear when further medication is taken. All sorts of different drugs can be abused, including illegal drugs (such as heroin or cannabis), prescription medicines (such as tranquilisers or painkillers), and other medicines that can be bought off the supermarket shelf (such as cough mixtures or herbal remedies). What causes drug abuse and addiction? This depends on the nature of the drug being abused, the person taking the drug and the circumstances under which it is taken.


ENVIRONMENTAL ISSUES The concept of environment is actually the complete context comprising nature and natural resources, and not any specific resource sector. The various resource sectors such as water, forests, human beings, minerals, fish, air and energy are simply components of the environment. Within this definition, the infrastructure constructed to facilitate socio-economic activities such as settlements, factories and transport infrastructure are all parts of the environment. Human interventions, especially through consumption and other socio-economic activities impose changes leading to the degradation of the environment through pollution or depletion of certain components of the environment. This has led to the rigorous fight to undertake activities related to conserving the environment within all development activities.

Basic Concepts of soil and water conservation What is soil Erosion? Is the removal and carrying away of the top soil by water and wind leaving the surface unproductive. What is soil conservation? This is the preservation of the natural top layer of the earth surface for the present and future growth of the plants. Causes of erosion There are many factors that lead soil erosion Cutting down of trees Overstocking Poor farm layout Ploughing down the slopes Types of Erosion Splash erosion Sheet erosion Rill erosion Gulley erosion River bank erosion Wind erosion Soil conservation measures Good farm layout Contour ploughing Establishing good cover crops Mulching Grass strips Trash lines Crop rotation Tree planting Destocking Terracing Cut off drains Water Conservation Water is necessary for growth of all living things. We use water for drinking, washing, cooking, transportation, growing plants and producing electricity. There is important to conserve water for future use. How water is lost Surface run off Evaporation 122

Poor cultivation practices How water is conserved (Conservation measures) Forest areas are the major sources of our rivers, springs, wells and other water bodies. These areas which are sources of water are called catchment areas. 1. Catchment Areas Conservation: The trees and small plants which grow in water Catchment areas must not but cut down as this will leave the ground bare. Most of the rain falling on the bare Catchment will result into runoff. 2. River bank protection: River banks should be well protected from wearing away and siltation 3. Mulching way of conservation water in the farm. 4. Water harvesting and storage Roof catchment, harvesting and storage Water harvesting from trees Road water harvesting from dry river beds rock catchment and harvesting ridges, furrows and basin harvesting and conservation AGRO FORESTRY What is Agro forestry? Agro forestry is a farming practice in which trees and crops or pastures are grown together on the same piece of land. Types of Agro forestry 1. Trees with crops Alternative rows of trees and crops Boundary planting Trees planted in the crops land 2. Trees with pasture (range land) 3. Crops with pasture Why practice Agro forestry Increase production per unit land/area. Some trees add nutrients into the soil Some trees make plants foods in their roots which is used by other plants Trees provide shade, timber, building materials, fruits, medicine and wood fuel Trees help in soil conservation

2.0 BASIC CONCEPTS ON WASTE MANAGEMENT & AGRICULTURAL POLLUTION Types of pollutions and definitions Air pollution and its pollutants Water pollution and its pollutants Soil pollution and its pollutants Land pollution and its pollutants Pollution Control and Waste Management in Agriculture Control of air pollution - Dust, smoke, Agricultural chemicals Control of water Pollution 123

Human waste, animal waste, Agricultural chemicals, factory waste, Bathing and washing waste Control of land Pollution - Careless dumping of polythenes, bottles, metals, papers, human waste and agricultural chemicals Control of soil pollution - Agricultural chemicals, human waste, etc What is pollution? It is the introduction of wastes or dirty material into water, space air, or a certain environment which could be poisonous and dangerous to our lives. These wastes and dirty materials are called pollutants. Types of Pollution Air pollution Water pollution Soil pollution Land pollution Air Pollution: Air gets polluted when substances such as smoke, poisonous gases, dust etc are introduced into the atmosphere. Such substances are such as:Dust, smoke, agricultural chemicals, poisonous gases, loud noise etc.


Water Pollution This is the collection and introduction of wastes into water bodies. This makes the water unsuitable for domestic use. Such pollutants are such as: Animal wasters Agricultural chemicals and fertilizers Factory wastes Bathing and washing wastes Human wastes Land Pollution This is the deposition of waste material on the open land making it dangerous to live there. Such waste materials are such as Agricultural chemicals Rotting organic matter

POLLUTION CONTROL Control of Air Pollution Dust: amount in Air Can be controlled by Sprinkling water on dusty floors before sweeping. This reduces amount of dust below off. Making the floor and walls dust free by cementing or smearing them with cow dung Planting trees as wind breaks to prevent dust blowing in the open dry fields Planting grass in the play grounds during rainy seasons to cover the open grand Wearing protective clothing and masks when working in dusty environment. Smoke: Smoke from the kitchen can be reduced by using smoke less jikos which also uses less firewood, can also be reduced by having the house with many ventilations. 124

Agricultural Chemicals Keep chemicals out of reach by children wash spray pump and your body thoroughly after spraying. Read and follow instructions on the label carefully Use protective clothing Avoid eating and drinking when applying chemicals Burry the empty chemical containers in deep fits away from water sources Poisonous gas: Factories to be set away from people's resident and lives Loud Noise: Reduce noise from vehicles, musical equipments, loud speakers etc. Control of water pollution Human wastes: Build latrines and use them to dispose off human wastes. Animal wastes: Fence off water sources and restricts animals from contaminating water with their wastes Chemical (Agric. Wastes): Avoid throwing chemicals or other containers in water sources. Empty chemical containers and bury them deep into the ground away from water source. Factory wastes: Factories should purify any dirty waste water before releasing it to the water source. Solid factory waste should be safely disposed Bathing and Washing wastes: To avoid contaminating water, people should not wash or bath near or in a water body/source. Control of land pollution Careless dumping: All rubbish in school cupboards, and homesteads should be collected and sorted before putting in a rubbish pit. The wastes can be burned in the pit. Burry bottles, metals wastes, paper and polythene sheets under ground

MAINSTREAMING DEMOCRACY AND GOVERNANCE A: DEMOCRACY Meaning of Democracy Democracy means different things to different people. However there is almost universal consensus that democracy is a good and desirable state of affairs. So much so that even states that are manifestly undemocratic normally claim to be democratic. The term democracy comes from two Greek words `demos' meaning the people and `kratos' meaning authority. Abraham Lincoln, a famous US president defined democracy as a "government of the people, for the people by the people." Democracy therefore refers to rule or a way of governing based on the consent or will of the people. The essential elements of democracy include: Recognition of the fact that power belongs to the people Recognition of the importance of the following goals: (i) Greater freedom for the people (ii) just society (iii) The same rules for all (iv) Equality before the law (v) Respect for the rules of law and (vi) Equal opportunities for all. In a democracy, people rule themselves either directly or indirectly through their representatives. Power belongs to the people. The citizens play a role on how the government operates as they have opportunities to contribute to the process. The citizens also decide who shall rule them through a process of periodic elections. Those elected get donated power to govern on behalf of the people. Forms of Democracy Democracy can be exercised by people either directly or indirectly through representatives. These are the two main forms of democracy: direct and indirect democracy. Direct Democracy Here people rule themselves. All adult members of a community under direct rule decide on the day to day issues that affect them. Due to the fact that all adult members must be involved in decision making


directly, this form of democracy is only practicable in small communities. It is not possible when the numbers of adult members are large for decisions would never get made. To apply this type of democracy to govern a country with millions of people like Kenya would require that you bring the people into a stadium everyday to make decisions on how the country is to operate. This is impossible. The only examples of situations when direct democracy is exercised are when very important decisions are about to be made in a country. In such instances the country conducts a referendum on the issue so that all adults can vote and give their say on what decision should be taken. In finalizing Kenya's new constitution, a referendum has to be held so that all adult Kenyans get an opportunity to vote for or against the new constitution. A second example is under the East African Community. It is envisaged that there will progressively be an East African Federation. There is a proposal to have a federation by 2012. Before this happens, there will be a referendum for the citizens of East Africa to vote on whether they want a federation or not. It is only in this type of circumstances that direct democracy is possible in a large community. Indirect Democracy This is also referred to as representative democracy. This form of democracy emerged due to the impracticality of exercising direct democracy in large societies. Here people elect representatives and give them a mandate to decide on important daily issues on their behalf. The mandate is given for a specific period of time after which they have to elect other representatives or renew the mandate of those they had elected before. The representatives make decisions on behalf of the people who elected them and are accountable to the people. Those representatives who do not account for the actions and who did not represent the people well do not get their mandate renewed during the elections. Since the representatives are expected to articulate the views of the people who elected them, it is expected that they will be easily accessible to consult with the people. At the village level representatives are elected to represent the village in school committees, development committees and even local church committees. At the national level, this form of democracy is mainly exercised through the institution of parliament. Kenyans are governed according to agreed rules. Most of these rules are made in parliament. In an ideal world all Kenyans would directly participate in the process of making these laws. However since this is not possible, Kenyans every five years elect their representatives who are called legislators or members of parliament. These legislators then go to parliament to make laws on behalf of the people. There are different forms of representative democracy. The two most common are parliamentary democracy and presidential democracy. In addition some countries like Kenya have a mixed system comprising both elements of parliamentary and presidential democracy. Parliamentary Democracy In a parliamentary democracy citizens elect members of parliament to represent them. These members of parliament make laws on behalf of the people. The elected members of parliament then choose one of them to head the executive arm of government. The person so chosen is called a Prime minister. Usually the Prime Minister is the leader of the party with the majority members in parliament. The Prime Minister once chosen will appoint people he/she wants to serve in cabinet. A prime minister will remain in office as long as he/she enjoys the support of majority of the members of parliament. If the person becomes unpopular then parliament can pass a vote of no confidence in the Prime minister. If this happens the Prime Minister, must vacate office and parliament will elect another Prime Minister from amongst its members. Presidential Democracy The other type of representative democracy is presidential. Under this system voters elect representatives to the legislative body called parliament and also elect a president who will be the head of the executive. The president holds power for a fixed period then citizens get an opportunity to vote him/her back to or out of office. The president, unlike under a parliamentary system, is not under the direct control of parliament. Parliament however can check the powers of the president just the same way he/she also checks the power of parliament. This is what is referred to as the principle of checks and balances. This principle is


also applicable to the other arm of government, the judiciary. Under this system, the president appoints members of the government and they do not necessarily have to be members of parliament. They are normally experts in their field. Both forms of indirect democracy have their advantages and disadvantages. Parliamentary democracy makes it easy for the government to pass laws as there is very little disagreement between the executive and legislative arm of government. However its disadvantages are that the division between the executive and legislature is weaker hence diluting the application of checks and balance. In an attempt to balance the weaknesses of each of these systems some countries have a combined parliamentary and presidential democracy. Government, and its Roles in a Democracy Government is the institution through which the state exercises its power over its territory and regulates social behaviour. Since in modern day life not all people can participate in the process of governance, the government as an entity is the one that regulates conduct in society and governs on behalf of the citizenry. In Kenya the government is composed of three arms, the executive, the legislature and the judiciary. Types of Government There are different types of governments. The type of government in a state depends on the state's history as well as the socio-economic and political realities. The main types of governments that exist around the world include: a)Monarchy b)Aristocracy c)Oligarchy d)Dictatorship e)Democracy Monarchy This is a system of government in which the highest authority is vested in a King, queen, emperor or empress. This person is usually called a monarch. The power of the monarch is hereditary, that is it is passed from one person to another within the same family. Everybody living in the area or country owes direct loyalty to the monarch. A monarchy can be either absolute or constitutional. In an absolute monarchy, the monarch exercises absolute authority unlimited by any other institution or rule while in a constitutional monarchy the powers and authority of the monarch is controlled by the constitution. Aristocracy This is a form of government where the rulers are chosen from people of a particular class in society usually the highest social standing. This form of rule was practiced in ancient times and members of the nobility or aristocrats are the ones who rule. Governance is therefore based on one's social standing in society. Oligarchy This refers to rule by a few members of a community or group. When referring to governments, the classical definition of oligarchy, as given for example by Aristotle, is of government by a few, usually the rich, for their own advantage. It is compared with both aristocracy, which is defined as government by a few chosen for their virtue and ruling for the general good, and various forms of democracy, or rule by the people. In practice, however, almost all governments, whatever their form, are run by a small minority of members. From this perspective, the major distinction between oligarchy and democracy is that in the latter, the elites compete with each other, gaining power by winning public support. The extent and type of barriers impeding those who attempt to join this ruling group is also significant. Dictatorship This form of government is not democratic. Under it one person or a small group of people hold power. In practice the dictator either ignores rules laid down or applies them ruthlessly and only in manners that are to the dictator's view and interest. The dictator's words are of greater effect than the law and are often taken as the law. A dictator does not require consensus or consultation in the process of governance. They instead resort to compulsion and force to ensure that their commands are obeyed and their authority followed.


Democracy In a democracy, as already stated, government exists and performs its functions with the consent of the people. This consent is normally granted through regular elections. People are also frequently consulted and listened to by the government. Such a government respects the essential elements of democracy. Such a government adheres to democratic principles, is accountable to the people, provides avenues for citizens' participation in decision making, provides equal opportunities to its citizens and conducts regular free and fair elections. Democratic governments are the most common type of governments.. There are in practice several classifications of democratic governments. They can be classified as either parliamentary or presidential as already discussed above. Democratic governments can either be federal or unitary. A federal government is one where power is devolved and divided amongst the different geographical units or regions that make up the state. A unitary government on the other hand is one where power and authority of government is centralized. The central government exercises control over all other units in the state. All the other units are therefore subordinate to and lower than the central authority. In exercising democratic governance, governments normally adopt different approaches and philosophy. These are also ways of categorizing democratic governments. One will hear talk of a government being liberal democratic, social democratic, conservative, democratic central or socialist. A liberal democratic government is one that stresses liberty, freedom of the individual and social pluralism as the most important for success of democracy. The system focuses on the protection of individual rights and freedoms and a free market. The state is expected, under a liberal democratic system, to provide a lot of room for individual development. This reduces the welfare role of the state by transferring such responsibilities to people and non-state actors. A conservative government is the opposite in certain respects to a liberal state. Such kind of government also believes on freedom of individuals and gives the state a strong function to perform. It is also very slow to adapt to new changes and ways of doing things. A social democratic government is one that promotes the well-being and social security of the individual citizen by minimizing inequality of wealth and privilege. It stresses the need both for a welfare state and social reforms in order to ensure that every one has access to basic services and social security without discrimination. The system believes that the state has the responsibility to address inequality in society. It focuses on minimum quality of life for all people and safeguarding the dignity of human beings. Socialist democracy commonly referred to as communism or socialism believes in the role of the state as the all provider for citizens. It believes that the state should provide for all needs of the individual and that individuals within the state should be at the same level of life. What one works for is the benefit of the entire state & the members within it. Institutions of Democracy : Democracy is built around institutions. The state is the unit in which people exists within a geographical unit so as to pursue common goals under one government. The government is the principal unit for managing affairs within that state. In a democracy such government is the institution that has been democratically chosen by the people to govern on their behalf. As a democratic institution, a government is traditionally composed of three branches or arms. These are: The executive The Judiciary The legislature It is through these three arms that the government exercises its power and authority to control and influence conduct within the state. Each of these organs performs different but complementary tasks. The executive carries out policies and laws passed by the legislature. It is the arm that runs the government. It is in Kenya composed of the President and ministers and other civil servants. The day to day running of government business is carried out by the executive. The Legislature on the other hand is the principal body that makes laws and policies. It is the arm that best captures the representative interests and powers of the citizens. It is composed of members of parliament elected from constituencies and is headed by the speaker of parliament. This arm also supervises the executive.


The other arm of government is the judiciary. It is headed by a chief justice who is a judge. The task of the judiciary is to interpret and apply laws passed by the legislature. It also deals with any dispute that occurs within the state and decides those disputes in accordance with the laws of the country. Discussions on the arms of the government are never complete without stating the important roles of citizens in the process of governance. Citizens play a very important role in government. It is them who elect the government, who then acts on their behalf. Separation of Powers Each of the organs of government performs distinct functions. This is necessary to ensure that one organ does not dominate the others or that the same organ makes laws, executes those laws and sits in judgment over disputes when they arise. This is where the concept of separation of powers comes in. The concept sets limits on the work of each of the organs of government. It requires that the institutions of government be organized in such a manner that each performs separate functions. Further it requires that each organ have the independence to carry out its work properly without undue influence, and pressure from the other arms of government. No arm of government should therefore be more powerful than the other. This will enable each arm to provide checks and balances on the others and thus prevent abuse of power by any of the three arms. This is what forms the basis for the concept of checks and balances. Checks and Balances These are mechanisms established to ensure that each arm of government performs its functions and further that no arm abuses its powers. The mechanism enables every arm of government to check on the use of power by other arms while its powers are also being checked. The Kenyan constitution provides mechanism for the application of the concept of checks and balance. The president as head of the executive checks on the legislature by accepting or rejecting bills. He/she has power to reject a bill passed by parliament. The judiciary can also cancel a law passed by parliament if the same does not conform to the constitution. At the same time the executive has to seek approval from parliament before using public resources. This approval is sought through the budget process. A judge cannot also be dismissed from office by the executive except in accordance with the laid down procedure after the recommendation of a tribunal. Other Institutions The result of the above discussion is that the arms of government perform very critical functions in a democracy. Mechanism also exists to ensure that they perform these functions effectively and do not abuse their powers. Citizens and their institutions also exist as a check on the powers of government. Through regular elections citizens can remove from office those who do not represent their interests in government. Two other institutions exist in society that performs very key roles in a democratic government. The first institution is that of non-governmental and community based organizations. These are institutions formed by citizens that are not part of formal government as we all know it. They perform the important function of enabling citizens to participate in activities that are for the improvement of their welfare and also empower them to better perform their tasks. There is also the institution of the media. The media performs a very important role in a democracy. It keeps the people aware of the actions of government and provides people with key information to enable them make informed decisions. To perform its role the media needs to be free of government control, be independent and non-partisan. The other institution that performs an important function in a democracy is the institution of the political party. It is an avenue through which citizens participate in political affairs of the country and the principle mechanisms of competing for and acquiring political power and office in the country. The last two institutions that also play an important role in society are the institutions of religious leaders and groups and also the private sector. Religious groups perform the task of providing avenues for people to satisfy their religious needs. They also participate in governance by keeping the government in check to ensure that it is democratic. The private sector is also a key player in governments. They contribute their ideas and participate in projects and developments in the country.


Indicators of Democracy Although there is not one definition of the term democracy there are certain elements that distinguish a democratic state from that state which is not democratic. Not all states will have all the indicators below. They are however ideals which all states should aspire for in the process of building democracy, otherwise referred to as the democratization process. These elements include: Multi-party system Well Protected Bill of Rights Political Tolerance Regular Free and fair elections Accountability Transparency Control of Abuse of power Rule of Law Economic Freedom Multiparty system: In a democracy citizens compete for power through political parties. The political party which garners the majority votes in an election usually forms the government. A political party brings together people who share a vision for a country and have an ideology on how they would want the country governed. It is important to have different political parties to give people with different ideologies and visions the opportunity of propagating those ideologies and thus allowing for healthy competition. This is one of the indicators of democracy. A multiparty system allows for opposition to the political party that wins elections to play the role of a watchdog. The opposition keeps the ruling party in check. During elections voters also have a choice of candidates, parties and policies to choose from. Bill of Rights All human beings are born free and equal. As human beings they are entitled to certain fundamental rights. These basic rights are referred to as human rights. These rights include civil and political rights like the right to life, freedom of expression and freedom of association. It also includes economic, social and cultural rights and also third generation rights or group rights. The rights that all human beings are entitled to should be guaranteed by every democratic state. They are normally included in the constitution. The bundle of rights is normally referred to as the Bill of rights. The existence and content of the Bill of Rights is an indicator of democracy. A country that does not guarantee and protect the Bill of rights cannot be called democratic. For more information on human rights, read Chapter 6 on Human Rights. Political Tolerance Democracy requires that people tolerate and live in harmony which each other. Although the wish of the majority usually prevails, by the majority having their way, the minority must also be protected and be given an opportunity to have their way. One of the hallmarks of democracy is the extent to which the majority respects diversity and ensures that the rights of minority or marginalized groups within society are protected, such as ethnic minorities, refugees, or the disabled. In most democracies political parties and civil society organizations are the main actors who stand out for democracy. Democracy requires that political parties and civil society groups exist and be tolerant of each other. When a political party forms government it should tolerate the other parties that have divergent opinion from its own. During campaigns for political office, parties should differ on ideas but not express these differences violently. Civil society must also be given the space to operate. Tolerance even extends to the family and village level. We should not expect everybody to have similar views as ours but we must accept the rights of those with divergent opinions to express those rights. Regular Free and Fair Elections One of the hallmarks of democracy is the holding of regular free and fair elections (see also Chapter 8 on Elections). This is an opportunity that exists periodically for the citizens to choose their officials. In a democracy the period should be predetermined so that everybody knows how frequently the elections shall be held. Secondly everybody who is qualified, that is being of the agreed age should be allowed to


participate in the elections. The playing field must also be level. All parties intending to be elected must be given an equal opportunity to campaign. There is also need for an independent body to oversee the process of elections and to count the election result. After the elections have been concluded and the results announced, democracy requires that all people accept the election results. For this to happen, the elections must be free and fairly held. Failure to accept the election results may result in violence. This is undemocratic. Instead provision should exist for any party that is aggrieved with an election result to seek redress in the judicial system. This requires the existence of an independent and impartial judiciary. Accountability Accountability means being answerable for one's actions. It requires that every action that government takes must be justifiable and must be action which the government can account for. Elected people must make decisions and perform their duties according to the will and wishes of people, not themselves. This means that people must have a way of knowing what is happening. The people need to have an opportunity to interact with their leaders and being informed of the actions they have taken on their behalf. This is what accountability provides for. Transparency For the government to be accountable, the people must be aware of what is happening within the country. Transparency is the creation of openness and access for the people to see clearly what is going on in the government and society. People must also be in a position to question and receive clarifications on unclear issues. If a leader is accountable, they have nothing to hide and will therefore be transparent. A transparent government will give people information on decisions that affect them and thus offer them an opportunity to know what is going on and participate in governance. Control of Arbitrary Exercise of Power It is said that power corrupts and absolute power corrupts absolutely. Citizens of any state give the government the power to govern on their behalf. This power must be exercised in a positive manner and where it is not, this will be abuse of power. One of the ways to avoid abuse of power is to ensure that there is separation of powers between the three arms of government and that these arms act as checks and balances against each other. Establishment of fair procedures is another way of checking abuse of power especially when dealing with the public. This is what is known as due process of law. Due process protects people from arbitrary government. Due process requires that people be informed of proposed government actions and where necessary a hearing be conducted before the decision is made. The right to be heard is a fundamental part of due process. There is need too for an independent judiciary. The media also plays a very critical role in ensuring that there is control of abuse of power. It creates awareness of the actions of the government and informs the government on people's views. It also helps to unmask abuse of power. Prevention of abuse of power is one of the indicators of a democracy. Rule of Law The rule of law is based on the idea of government by law. The concept has several elements. Firstly is the element that the government can only exercise the powers granted to it by the law. Secondly, it is a requirement of the rule of law that all be treated equally under the law. One can also not be punished unless the person has broken the law and is rightly judged through the established judicial process. Lastly the rule of law requires that there be separation of powers between the three arms of government. The essence of the rule of law is to require equality of all before the law and that government only exercises power in accordance with the law. The principle of equality which is also a hallmark of democracy is included in the concept of rule of law. It requires that the law should apply equally and that all people should be treated equally be they rich or poor, young or old, female or male. It therefore is against discrimination or favoritism. Equality means that all individuals are valued equally, have equal opportunities and are not discriminated on the basis of such issues as colour, race, creed, gender or sexual orientation. Equality means people have equal opportunities.


However there are instances when even in a democracy people can be positively discriminated against or not treated equally. This is when affirmative action is applied. This is the process of taking steps to favour certain people in society so as to make up for past discrimination against them by others. Economic Freedom In a democracy every individual should have the right and ability to own and use property without the fear that such property can be taken away unfairly by the state. People should also have the opportunity to work and provide for their livelihood and the freedom not to be forced into slavery or to provide forced labour. Democracy presupposes that there is freedom to work and acquire property legitimately and thereafter to enjoy the fruits of the acquired property. Requirements of Democracy In order to ensure that democracy is guaranteed certain safeguards need to be put in place. Some of these requirements or safeguards are discussed below. Civic education This is the process of enlightening people of their rights & duties in society. Civic education is important for democracy to survive as it improves people's knowledge& skills to participate in public life. Civic education also helps to develop a sensible political culture amongst people in which they are not only aware of their rights and duties to create a better society, but are also aware of the rights& duties of the state. The task of providing civic education is normally performed by the government and civil society organizations. Religious bodies also perform the duty of providing civic education. Accountable and transparent system of government The existence of a transparent and accountable government also helps to guarantee democracy. A government that acts according to the wishes of the people and in which people have opportunity of getting information on government decisions and where people are regularly consulted is one which promotes democratization. Respect for the Rule of Law To safeguard democracy it is also important and necessary that all within the state act according to the rule of law. No individual or institution should be above the law or treated more favourably than others. Government must act within the confines of the law and should not disregard laws and regulations that have been set. Free and fair elections The holding of regular free and fair elections, in which all qualified people are allowed to vote, and also those qualified are allowed to offer themselves for and vie for elective office are allowed to do so, is a hallmark of democracy. To ensure that there is democracy, it is essential that the elections be conducted regularly in accordance with well laid down electoral laws and supervised by a competent and impartial body. Independence of Public institutions In democracy all public institutions must have the capacity and power to perform their duties competently and without undue influence from other institutions and or individuals. It is only then that they will perform their duties in a fair manner and in a manner that is acceptable to all without fear or favour. Checks and Balance It is important in a democracy that a system of checks and balances exist so as to ensure that no institution exceeds its powers and that the organs of government perform their functions in accordance with the laid down rules without overstepping their powers. CONCLUSION Democratization is a process. The processes of governance in a country determine the levels of democracy. In countries where the leadership is dictatorial, where there is no freedom of the press, where the people are not free to express themselves and where there is endemic corruption, the likelihood of democracy existing is very slim. The discussion of democracy is therefore closely linked to that on governance which is dealt with in Chapter 9 of this handbook.


B: GOVERNANCE What is Governance? Governance refers to how a group of people living or working together manage their relationships and control behaviour within the group. It involves the management of relations between the leadership and their people. In a broad sense it refers to the process of managing public affairs. It extends to the manner and extent in which citizens take part in the process of governance. In a country or state, governance is normally undertaken by government. The government has the power to manage the affairs of the public on behalf of the people. However, since governance is larger than government, the government in managing affairs must do so according to the will of the people. In practice too there are also other actors who play a role in the process of governance. These include civil society, religious bodies and the private sector. Good governance is one that is democratic and participatory and one where the citizens' will is respected and taken into account in decision-making processes. Levels of Governance Governance can be seen at different levels within the society. Some of the important levels include: Family level b) Community level c) Nation state level d) Regional level e) Local authorities At each of these levels there are different actors who play different roles to ensure that the process of governance is carried out in an effective and democratic manner. Family Level This is normally the smallest unit in society for purposes of governance. At this level the actors include the father, mother and children. In extended families the actors are much larger and include relatives. At the family level, members share duties and family tasks. For there to be harmony and good governance it is necessary that the members discuss amongst themselves so as to reach a decision on issues affecting their family and to determine their priorities. Although the parents are normally the head of the family, through the process of discussion all members of the family participate in decisionmaking. This helps to ease tensions and avoid conflicts. Community Level The community is a grouping of individuals with common interests. It is normally composed of several families. As far as governance is concerned there is an increased number of people at the community level. These people all need to be involved in the decision making process. This makes the process more complicated. However, since all these people are affected by the decision, a mechanism has to be found to involve them and to ensure that their interests are taken care of. Even if the decision is made by a few nominated individuals the important thing is that all the members of the community have a mechanism for taking part in discussions on matters affecting the community. Such communication channels must be clearly established and known by members of the community so as to maintain peace and harmony within the community. Local Authority Level These institutions have been established to ensure that people participate in governance at the local level. By their very nature, local authorities provide services at the local level. Examples of local authorities include county councils, town councils and municipal councils. Even at this level there are several interests of the residents that need to be balanced in the process of governance. Local authorities provide basic services to the people and are critical if well managed. However in Kenya local authorities have become synonymous with failure and corruption due to their poor management. Secondly, over the years the powers of local authorities have been reduced and the same transferred to the central government. The minister for local government for example has overriding powers over local authorities including the power to dissolve councils at will. Further, appointees of the central government like town clerks have more powers than the elected representatives of the people, the councilors.


Due to the limitations of the current local authorities, a central feature of the constitutional review debate in Kenya has been the drive towards devolution of power so as to strengthen the role of local authorities and improve governance at the local level. Regional Level At the regional level, there is an infrastructure referred to as the provincial administration. As conceived, this was to provide links between the central government and the people all the way from the top down to the grassroots level within the villages. The work of the provincial administration is to carry out government decisions at the provincial, district, division, location and sub-location level. The provincial administration starts with the office of the president and moves down to the Provincial Commissioners, District Commissioners, the Divisional officers, the chiefs and then sub-chiefs. The ongoing constitutional review process has made proposals to abolish the provincial administration due to the negative role it has played over the years by acting as a tool of control and oppression by the central government. The provincial administration exists side by side with a system of local authorities established under the Local Government Act. These are either city councils, or municipal councils, or country councils or town councils. Although this system was supposed to provide a devolved system of government, the central government has a lot of control over the affairs of the local authorities ­ especially through the wide discretion enjoyed by the Minister under the Act ­ to the extent that one writer has summed up the relationship between the local authorities and the central government as that between a horse and a rider. The Bomas draft and the Proposed New Constitution both propose ways of devolving government to the local level, with some marked differences. While the Bomas draft proposed four levels of devolution (national, regional, district, and location), the Proposed New Constitution proposes only two (district and national). The Senate, a key link with devolved governments and the protector of devolution has been removed from the Proposed New Constitution and in its place a National Forum of Devolved Governments and Other Fora established. Nation State Level Within a state the range of diverse interests and groups are varied. All these must be listened to and their interests taken into account in the process of governing the state. This is not easy to do. It is however essential for there to be good governance and for those with the principal responsibility to govern to be able to do so in a representative and fair manner. Several issues that need to be done to aid the process within a state includes opening a channel of communication between the government and the governed. In the process of governing, the government must try as much as possible to ensure that the interest of all sectors of society are taken into account and implemented. This requires a high degree of fairness and justice. Only then will there be peaceful co-existence amongst the diverse members of the state. Good governance in a state requires that the government adhere to the rule of law by respecting laws and regulations governing the society. Further such laws and regulations must be applied equally to all people in the society without fear or favour. Leadership and Governance Strong and effective leadership is important in creating a strong, thriving and healthy society. Leaders guide people's energies towards the goals of society. For good and effective governance a leader should be democratic and govern in accordance with the will of the people. A leader who is not democratic is called an authoritarian leader or a dictator. Such leader does not govern in accordance with the law and soon runs down institutions and creates bad governance in the country. A democratic leader also encourages participatory leadership, one in which the citizens participate. Leadership is a very key component of governance. It is leadership that normally guides and provides the lead or direction to a society in the process of governance. A good leader will assist the society to achieve good governance. Such a leader will be democratic and encourage the participation of the members of the society. A good leader is patient and consults widely in the process of governance.


Challenges to Good Governance There are several challenges to efforts at good governance. These include: (i) Corruption: this involves the misuse and abuse of the official powers for private benefit. It involves the improper and unlawful enrichment by officials through abusing their powers and their offices. It involves stealing of public fund or using the said funds for private gain. Bribery and extortion are forms of corruption. Both the giver and taker of corruption are guilty. Fighting corruption requires cooperation of both government and the citizens. (ii) Political Patronage: this is the process by which politicians give support to another person or people as a way of maintaining a relationship for political purposes and favour. Such leaders tend to favour a certain group of politicians when allocating public resources. (iii) Nepotism: This involves favouring one's own relatives over other individuals. It results in people being given jobs to which they are not suited. This is dangerous for good governance as it kills the culture of merit-based appointment (iv) Bureaucracy and Red-tape: bureaucracy usually refers to a large organization with very clear features and many rules and procedures that enable the organization to achieve its objectives. It is usually associated with a large organization like the civil service. A bureaucratic organization is organized in a series of levels with the highest being at the top. They are very difficult to understand and change due to the many rules and procedures. They cause delays and inefficiencies which are often referred to as red tape. A lot of time is spent making decisions. They are inefficient and slow. Many officers in the organizations avoid taking responsibility for what the organization does or fails to do. (v) Lack of access to Information: good governance requires the participation of all members of society. For members of society to participate in governance processes meaningfully, they need to have information. Such access to information will enable them make informed and useful contributions. In situations where the members of society are denied or otherwise unable to access information, they will be unable to participate effectively in the process of governance. (vi) Poor leadership: leaders play an important role in governance. They will inspire the rest of society and guide them. When the leadership is poor, the process of governance is difficult. Ways of Entrenching Good Governance Entrenching good governance is a cooperative process requiring the adoption of several approaches but above all calling for setting up an integrity system in society. An integrity system provides a practical framework of checks and balances to prevent corruption and other illegal practices that damage the public interest. It also encourages an environment that improves the quality of official decision-making. Leadership is very important in achieving good governance. However, electing a good head of state or government does not always guarantee good governance. Support from the wider society is required for its success. Leaders must get support from a wide range of groups. Building political will for good governance needs to begin at the grassroots. Leaders must also set the example for the rest of society. They must be committed to good governance. Institutional Pillars for Good Governance Good governance to be successful and sustainable requires the existence of several institutions. It is through these institutions that good governance can be introduced in society and also encouraged. Some of the critical institutions are: an elected and accountable parliament a responsive executive auditor-general ombudsman independent anti-corruption agencies public service local government


civil society private sector international actors and mechanisms

An elected and accountable legislature Elected parliaments play a crucial role in ensuring good governance. They have the legitimacy and legal right to hold the executive accountable for actions taken by it. Parliament promotes good governance not just by checking and balancing other organs of the government but also ensuring that activities are free of corruption. In Kenya two crucial committees that assist parliament in carrying out this task are the Public Accounts Committee (PAC) and the Public Investment Committee (PIC). The former's task is to find out how the government or public money is spent by public servants while the latter deals with government or public investments. Parliament also has powers to set up committees with special mandate to investigate a matter of national importance after which they are disbanded. Lastly parliament has power to pass a vote of no confidence in or to impeach the president for actions that are not in accordance with the public good. The Executive The executive has a central role in building, maintaining and respecting a country's constitution and governance system. It should be an example of the integrity of a country's political system and its components and assumes the role of a leader in a pro-democratic system. The executive needs to be responsive to the needs of the society. The Judiciary An independent, impartial and informed judiciary is a key component for ensuring good governance. The judiciary needs to have constitutional protection and also needs to be accessible to the people. One of the critical issues is appointment of judicial officers. The method of appointment should be transparent and ensure that they are not under any control or influence by other organs like the executive. Individual members of the judiciary should be held accountable for their actions in such a manner that improves the overall accountability and independence of the institution. Thus a judicial officer who engages in corrupt practices, for example, needs to be punished. Auditor-General. The task of this institution is to audit the state's income and expenditure, and act as a watchdog over its financial integrity. The auditor-General, to be effective should enjoy security of tenure and independence. The Ombudsman. This is also referred to as the complaints office. It is an office that receives and investigates complaints about bad administration of the government. It is therefore independent of the executive. It gives people opportunity to have decisions affecting them reviewed by independent and expert people without the expense and delay of a court case. The office to be effective and enjoy public confidence must be independent of political control and have sufficient resources. It also needs to easily accessible. Kenya does not have an office of the Ombudsman although there has been a lot of discussion for the establishment of one and is one of the proposals that is in the draft constitution. Independent Anti-Corruption Agencies. Although the law enforcement agencies like the police have powers and authority to investigate and prosecute all offences in society, it is necessary to have specialized agencies exclusively to deal with corruption cases. This is due to the pervasive nature of corruption and its sophistication over recent years. The success of an anti-corruption agency depends on their independence, availability of sufficient resources at its disposal and the honesty and commitment of its personnel. In Kenya there


exist the Kenya Anti-corruption Commission. The predecessor of this, the Kenya Anti-corruption Authority was declared unconstitutional in 2001 and disbanded. Public Service The honesty and commitment of the civil service is a key factor in ensuring good governance. They are the implementers of the bulk of the policies of government. Unlike politicians, the civil service is supposed to be neutral and professional. They are, however, regularly under immense pressure, including from the politicians to engage in corrupt practices. Their ability to withstand such pressures and perform their tasks professionally is what will guarantee good governance. Local Government Local governments are closest to the people in the current government structures. They have been at the center of several corruption scandals at the lower levels. Efforts to rid them of corrupt practices are therefore very important and also visible to the citizens. The Media An independent media plays a crucial role in the process of governance. They provide an avenue of communication between the governors and the citizens. It also helps to keep the government in check. It is essential that the freedom and independence of the media be guaranteed by law and not subject to individual whim. The other challenge is the need to fight corruption within the media just like in other sectors of society. This is even greater due to the important role that the media plays in society. Civil Society Civil society has become a major player in democracy and development in the world today. They have backed popular demands for greater accountability to the people. They have helped to start important anti-corruption efforts. Their contribution is essential in all efforts to ensure good governance and fight corruption. Their role needs to be strengthened. Private Sector The private sector plays a significant role in the development of a country. Their contribution is key as it is only through good governance that an enabling environment will exist for the private sector to operate profitably. International Actors The world is today more interconnected than ever before. Thus the contribution of international actors to the process of good governance in a country is essential. Kenya must cooperate with and seek help of the international actors to ensure that its efforts at governance and fighting corruption are successful. The role of foreign agencies and diplomats in the process of governance of a country is therefore extremely important. Principles Underlying Institutional Pillars The existence of institutions is essential for good governance. However institutions alone are not sufficient. In addition, it is essential that several rules and principles be followed. These rules and principles include: (i) Free and Fair elections: the process of choosing the leaders of a country must be free, fair and legitimate so that everybody has an equal chance of electing and being elected to govern the country. (ii) Judicial review of official actions: judicial review is the process through which the lawfulness of administrative acts is tested. The process allows people to challenge actions taken against him or her and is therefore a useful avenue of ensuring that those in administrative positions carry out their duties in accordance with the law and do not victimize or favour certain people but instead act fairly. (iii) Public service ethics, monitoring assets and integrity system: the need to encourage and keep high levels of honesty in the public service is linked with the citizens' expectations for a better service. More governments are beginning to reassess the way in which they handle issues of corruption and


the resultant loss of confidence in the honesty and efficiency of public administration. The integrity of public officials can be tested in many ways and it is essential that rules are made to fit the society's conditions. (iv) Conflict of interest, nepotism and cronyism: conflict of interest occurs when one with power is required to make a decision on a matter in which he/she has personal interest. The person makes a decision that favours their personal interest and not the best possible decision. Conflict of interest, nepotism (giving jobs to relatives) and cronyism (giving jobs to friends) can, for example, ensure that the best person is not necessarily the person hired for the job. To avoid these vices it is essential that clear procedures and rules are introduced that help identify and deal with conflicts of interest and prevent serious weakening of the operations of an organization. (v) Public Procurement: the buying of goods and services by the public sector is big business and a potential avenue of corruption. It is essential that checks and balances be put in place and private professionals be involved too to ensure that the process of public procurement is transparent and corruption-free. (vi) The right to information, public awareness and public records: to ensure democratic governance it is imperative that people have a right to information protected by law. Such right should extend to the right to access public records and also that efforts at public awareness be encouraged. (vii) Giving citizens a voice: citizens with power are a vital support to a country's system of governance. Citizens need to be informed, to know their rights, be willing to claim them and be prepared where necessary, to complain without fearing oppression. Paralegals and their organizations are important avenues for giving a voice to citizens. (viii) Citizen's participation: citizens need a supportive environment to enable them play an active and meaningful role in the process of governance. (ix) Fighting corruption: it is important that adequate and specific legislation exist to encourage the fight against corruption Public Resources and Governance Good governance involves the proper management of public affairs and resources. The management of natural resources, which also forms part of good governance, is discussed in a separate section. In this section we discuss the management of the other public resources specifically finances. Taxes, loans and grants in aid are some of the most important sources of government income or revenue. Industry and commerce are other sources. Together these sources provide the government with the money to do its duty to society. The government as the custodian of public resources needs to use the resources effectively with care, good planning and efficiency. Proper use of public resources improves governance. It also prevents wastage and allows for sound national development. Mismanagement of resources on the other hand weakens people's faith in the system of democracy and results in further corrupt practices. The government has a duty to efficiently manage and report back to the public on the use of public resources. A number of institutions exist to assist the government to check on how public resources are used. These institutions act as watchdog of public resources and may therefore be said to contribute further to good governance. They include the office of the Controller and Auditor General which checks whether the government money has been used as planned, the Ministry of Finance which is responsible for making decisions on government income and spending, the Central bank of Kenya, which is the main banker of the government. Its duties include managing incomes and monetary policies of the country and supervising activities of all public institutions and commercial banks. Kenya and Global Governance Kenya is a sovereign state. This means that it has power to make decisions and act without seeking the authority of another state or organization. The reality of the modern world is however such that states need each other as they pursue their national interests. States therefore enter into treaties and other agreements with other states as part of their sovereign rights and to pursue their interests. Kenya, for example is a member of several regional and international organizations. Each of these organizations has its own rules. Membership to each organisation comes with both obligations


and rights. Some of the organizations which Kenya has joined include the United Nations, The African Union, the East African Community and the Common Market for Eastern and Southern African States (COMESA). To be able to relate with other countries, Kenya has a ministry in charge of foreign affairs. It also invariably has diplomatic missions in majority of countries with which it has relations. The way Kenya relates to foreign nations is governed by its foreign policy. Due to the world having become a global village Kenya, despite being a sovereign state, has some of its acts governed by commitments it has entered into by being a member of the international community. This is one of the effects of globalization. For example, the United Nations has over the years developed minimum human rights standards that all states member parties to the UN and the UN Human Rights treaties must guarantee to all individuals within their jurisdiction. Similarly Kenya must participate in and join hands with other states in efforts to ensure international peace and security. It is in pursuit of this duty that Kenya continues to contribute forces to be deployed in peace-keeping missions and also why Kenya was a key actor in efforts at resolving the Sudan and Somalia conflicts and guaranteeing peace in these countries. As part of the global process there exist certain international institutions that also affect governance within the country. The two most crucial are the International Monetary Fund (IMF) and the World Bank. In the recent past they have attached conditions to the loans they grant to developing countries with an intention of improving governance in those countries. There has, however, also been debate as to the negative effects that the policies of the IMF and World Bank have on countries. For example during the early nineties, these two institutions came up with a policy of structural adjustment programmes which has been criticized as leading to increased poverty in many countries in Africa, Kenya included. Settling International Disputes Global governance normally stress that when disputes arise they should be resolved peacefully. There is therefore a lot of premium paid on amicable settlement mechanisms. The International Court of Justice has long existed as an avenue for arbitrating international disputes. Other methods that are mentioned by the UN Charter include: (i) Negotiation: this method of dispute settlement involves direct discussions between or among the parties to the dispute with the aim of arriving at an agreement. It is at the heart of diplomacy and works well if all parties are truthful and moderate. Mediation: in mediation, the parties to a dispute agree to invite a third party to help them reach an agreement. The mediator does not make a decision on behalf of the parties but helps them to reach an agreement through compromise Enquiry: this process involves investigation by an independent party into the facts of the dispute and the writing of a report of the findings. This report is then used for negotiating a settlement. The investigation by an impartial party helps to reduce the tensions and mistrust normally associated with international disputes especially over facts. Arbitration: this is a method of resolving a dispute through the use a neutral third party agreed upon by the parties. The third party, called an arbitrator, listens to both sides of the disputes, looks at the applicable law and then reaches an award. Conciliation: it is similar to mediation save that under conciliation the third party is an international body whose help has been sought to help solve the dispute. The conciliator investigates the facts of the dispute and suggests the terms of settlement that are acceptable to the parties. Judicial Settlement: this is the process of settling a dispute through an international court. It is different from arbitration because in arbitration legal principles to be applied are limited to what the parties earlier agreed. There is no such restriction in judicial settlement.







MAINSREAMING OF COUNSELLING AND GUIDANCE: Definition of Counseling: i) This is a helping relationship between a professional trained counselor and a client who need empowerment to live acceptably, cope or solve their own problems or make the right decision. ii) It is also a face to face relationship between two or more people in which a counselor by means of the relationship and his/her competences helps the counselee achieve a better personal adjustment and growth in maturity, by stimulating the counselee to exploit his/her potential and use more of his/her resources. - Counseling empowers the counselee - The people who go for counseling are normal people who need to be helped to cope with their personal problems We live in a world full of anxieties, concern, struggle, care, etc. Therefore counseling was founded on bases for finding out:- Why people are the way they are. - Why they think and act the way they do. - How they can cope more effectively with their lives. However, psychology contributes enormously to our knowledge of the above concerns. Goals of Counseling: - To understand the source of problem, frustrations. - To explain the changes taking place in the society. - To identify client who need guidance or counseling. - To acquaint oneself with the guidelines or principles and ethics involved in the practice. GUIDANCE: - It is a process of helping a person grow and develop as much as possible educationally, socially, emotionally, morally and vocationally. - It is the process of helping individual to understand himself and the world. The individuals could be normal people, not even in a crisis or problem. - Guidance is concerned primarily and systematically with personal development of the individual. Personal development - in terms of the individual becoming all that he is capable of becoming i.e. To realize his/her full potentiality. Assumption Individuals who understand himself and his world become more effective, more productive and happy. He becomes more fully functioning and happy. He becomes more fully functioning person. They achieve greater awareness not only on who they are but who they can become. DIFFERENCE BETWEEN COUNSELLING AND GUIDANCE Generally the terminologies are used interchangeably but they have a difference. G U I D A N C E: C O U N S E L I N G: - Formal guidance is based on facts, Principles and methods. - It is a preventive approach to a problem i.e. - Is affective hence based on perception of before a problem has taken place. Needs and feelings. - Less personal and less intimate. - An intervention so it means a problem has - One way process of communication. Already set in. - Initiated by the counselor or a concerned - More intimate, private and confidential. Authority eg. parent, teacher, employer - Two way process of communication. - Anybody could give informal guidance but - Initiated by the client. It could be correct or false eg. Peers. Professional based NB: - Occasional process. ( Formal guidance is structured ) - Lifelong process.


COUNSELLING AND GUIDANCE AS A RECENT DEVELOPMENT: Counseling and Guidance are recent development in Africa because the role of a counselor was held by five groups of people in concepts; - Extended family systems - The ancestors - The elders - Initiation rites held society together - Taboos Modes of counseling in the Traditional African Society: Information was passed through: - Songs and dances - Initiation rites - Proverbs - Organized visits to uncles and aunties - Story telling (All stories had a moral issue) Therefore the need for counseling and guidance has been intensified by: - Breakdown in extended family system - Epidemics such as HIV/AIDS bringing about orphans - The moral crisis/decay eg. Homosexuality, incest etc. - Conflict between African ideology and foreign ideology eg. Dressing code, hairstyle, music, eating habit, modern lifestyle in general and more recently I.T. PRINCIPLES OF GUIDANCE AND COUSELLING Guidance Principles: 1. Concerned primarily and systematically with a personal development of the individual. It is a step by step progression to a goal ­ personal development in terms of the Individual becoming ie. to realize his potentiality eg. - Teacher's Interest - Intellectual development - Counselor interest - Total development of the individual ie. Intellectual, moral, spiritual, physical. 2. The Primary mode by which guidance is conducted has individual behavioral process: This principle is derived from behaviorism because individuals mind is inferred from behaviour. This implies that one has to do, say or write. So guidance is basically done in relation to individual behaviour. 3. Guidance is oriented towards cooperation not compulsion or confrontation: "This is the hall mark of guidance", Create awareness but requires the client to own upto his/her problem. NB: When counseling or guidance is forced, it leads to mistrust and suspicion. So, no improvement can be expected. 4. Guidance is a continuous sequential educational Process: It is not a single event; it is a series of actions progressing towards a goal & It begins in childhood and continues even during adulthood. 5. Guidance is based on recognizing the dignity and worth of the individual as well as his right to choose. This principle is based on the concept that, all human beings are equal. So; the Counseling attitude should not be affected by social status, age, sex or appearance nor should the guiding process devalue the client. Let the client feel dignified even after the guiding process is over. COUSELLING PRINCIPLES 1. Human Beings are basically self determining: They have the capacity and capability to be what they would like to be. So they can control their destiny.


2. Counselling should lead to self understanding and self acceptance: -Help clients to understand themselves, realize their limits and potentialities. This leads to rich feelings of satisfaction hence happier and adjusted. This principle is also important in the healing process. 3. The client should develop a greater level of honesty towards self through counselling -This is an evaluative principle for counselors eg. If the client has vague in the initial stages but opens up deep secrets in the course of counseling then you are succeeding. 4. The objectives of the client should be based on the clients needs and not the Counselors: This principle is based in client-centred therapy (non directive counselors) CHARACTERISTICS OF AN EFFECTIVE COUNSELLOR 1. Congruence: - This refers to consistency & it is the harmony between what you say, what you do and what you are. 2. Unconditional Positive Regard (UPR) - Respect -Accept the client as he/she is i.e. Do not be judgmental (there is something sacred about a human being) -Manifest positive acceptance attitude (warm) -Do not show shock, disgust, blame etc. in revelation of any information from a client. 3. Empathy: (Means feeling with) - To empathize you get into the client's frame of reference -Demonstrate accurate and empathic understanding of the counselee and communicate that understanding to him/her. -Ability of the counsellor to tune in on the counselee's wavelength ( counselor to see the counselee's world from his eyes) -Empathy is a form of identification 4. Confidentiality: The counsellor should not disclose the client's secrets unless under 3 conditions as listed below: - If the counselor has his/her permission - If the client is a threat to his/her own life. - The purpose of confidentiality is to see that no harm comes to him - If a client is a threat to another's life 5. Patience - Be a good listener - Do not complete his sentence even if he/she stammers (avoid mental disruption) - Patience is a sign of respect - Clients feel respected when given time 6. Emotional Stability: - Refrain from being excited ie. Not easily stirred. - Transference ­ displacement of the client's emotions to the counselor. - Counter transference ­ (Emotional displacement from the counselor to the client e.g love feelings/ intimacy, temper etc.) NB.Transference could be positive or negative 7. Availability: -Be available physically and mentally Physically -Indicate on the door or inform Secretary, This reduce frustration to the Client Mentally - Give undivided attention e.g. Put off the telephone and listen actively. 8. Flexibility: - Do not be rigid but a client can. e.g. a counselor or client can sometimes overlook schedule to attend to an emergency. For instance, a client could be going for suicide. - Be open minded - Let client express his opinion. 9. Readiness to consult and Research: - To avoid mistakes - Consultation is not a sign of weakness; it does not show inadequacy but maturity


10. Commitment: Be committed to the service 11. Presentable: - Dressing - Manners - Organized - Create serene atmosphere e.g. A flower in your office/clinic REFERRAL: This should be done on the following conditions: - A client being a close relative or friend or too difficulty in differentiating the professional line - Emotional development e.g. Counter transference. - Client requiring different service e.g. legal, medical etc. - No success with several meetings - Topic (problem) beyond counselor's competence e.g. Schizophrenia ­ a mental illness. - Personality clash e.g. sarcasm - Significant difference that interferes with relationship - Similar unresolved conflict Integration of Counselling to Agricultural Objectives in Ministry of Agriculture: There is need to carry out a survey on counseling needs in our areas of operation /Target groups for demand driven services. Otherwise the outstanding issues that could be dealt with immediately are to do with: HIV/AIDS pandemic Drugs and substance of abuse Vulnerable groups, the poor, etc. Please suggest others that requires the attention of a counsellor 14. PARTICIPATORY MONOTORING AND EVALUATION (PM&E). Monitoring: is a continuous and periodic review and overseeing by project management to ensure that the project input deliveries, work schedules, targeted outputs, etc. go according to plan. Monitoring as an internal process should be distinguished from `supervision' which is undertaken periodically by an external agency. Monitoring is undertaken for the purposes of; Assessing progress; Identifying difficulties Ascertaining problem areas Recommending immediate remedial action Evaluation: is a periodic assessment of the relevance, performance, efficiency and impact of the project in context of its objectives. It usually involves comparison requiring information from outside the project- in time, area or population. Project evaluation is a process by which programme inputs, activities, and results are analyzed and judged against explicitly stated norms- programme objectives, work schedules, budgets, etc. Evaluation involves an assessment of RESULT i.e. WHAT has been accomplished and PROCESS ­ "HOW" it was accomplished EVALUATION PROCESS RESULTS Experiences gained Impacts on Target Groups Co-ordination Objectives met Local Involvement Inputs required Leadership styles Time required Beneficiary motivation Etc. Etc. A result is a describable or measurable change of state that is derived from a cause and effect relationship; at the output, outcome and impact level. (Expected outputs are the immediate, visible, concrete, tangible and logical consequences of a program or project inputs & activities)


Evaluation Concerns: These include; i. Validity of Design: Is it logical and coherent? ii. Relevance: Does the project continue to make sense? iii. Efficiency: Do the results justify the costs? iv. Effectiveness: Achievement of objectives and Effects on Target Groups. v. Sustainability: Will benefits be sustainable after withdrawal of external support? vi. Causality: What are the factors affecting the performance? vii. Alternative Strategies: Other ways to address the problem? viii. Unanticipated Effects: Significant but not foreseen. Evaluation is undertaken to: Determine EFFECTIVENESS; Did the project achieve its planned purpose? Determine SIGNIFICANCE; Did the project make a substantial contribution to development? Measure EFFICIENCY; Did we achieve a satisfactory cost/benefit ratio; could we have accomplished our purpose at a lower cost? Assess the RELEVANCE; Was it the right project? Learn LESSONS: Which can be applied to similar activities elsewhere? Evaluation can assist in identifying success or failure elements. Persons responsible for Evaluation Evaluation can be carried out by people for whom the project is meant, the employees of project, a central team from a national center or outside parties. A central evaluation team may come on board to evaluate a project when: The types of skilled staff for the needed work are not available on the ground The required data extends for a time before a project is initiated to a period past its completion It is necessary to have data from within and outside project population to achieve some form of rudimentary control comparison. Evaluation techniques can be applied uniformly to a development program involving interproject comparison. A measure of independence opinion from the project facilities will provide the best objective analysis. Reasons for monitoring; i. Monitoring assists management to establish the required information system and to use it in a timely fashion. ii. Monitoring aims at determining the relationship between inputs/activities and outputs. iii. Monitoring determines the extent of external constraints/support factors on the project performance and outputs. iv. When the monitoring of a project reveals a significant departure from expectations, it may call for an interim internal evaluation system to assess the likely outcomes under present conditions and review the case for a major reappraisal of the assumptions and premises for project design. Monitoring functions should focus on the interaction between the project activities and the reactions of the target population if it is to meet the needs of the management. In people centered projects, monitoring covers the following areas: i. Financial and physical information. ii. Beneficiary contact information & iii) Project diagnostic studies. Responsibilities of a monitoring staff: i. To identify targets for project implementation and the indicators to measure progress towards attainment of these targets. ii. Collate, summarize, and disseminate the information flowing from various agencies and staff engaged in implementing the project. iii. Collect and analyze data from the intended beneficiaries of the project to supplement the available records and reports. iv. Identify problems encountered by the project and conduct diagnostic studies bearing on theses problems.


Maintain in a retrieval format, the various data series overtime as an aid to later evaluation. Prepare reports that highlight the findings of various analyses and to the extent appropriate, present a range of logical options requiring decisions to the management. The central theme of evaluation process is to establish linkages between projects components and the impacts. To facilitate this requirement, the project in question should be classified under: Outputs: These are the physical outcomes produced by the project activities e.g. number of schools built, km of roads made, units of services provided, etc. Effects: these are direct and intermediate consequences of the project's outputs, e.g. high crops yields, increased school enrolment, increased levels of information available etc. Impacts: These are changes in the standards of living of the target group, or within the target area, stemming from the project. These include increased income, housing, nutritional status of the population, health status, etc. The community level where they may comprise changes in the structure of social services including health care in the economic system including production and infrastructure or in social interrelationships and patterns of communication. Types of Evaluation 1. Ex-ante evaluation. (Baseline Survey) 2. On-going evaluation 3. Ex-post evaluation. Stages to consider include; i.Before project implementation: consider initial project objectives ii.During implementation: analysis of actual implementation; what actually happened to the project and any problems that arose. iii.After implementation: project achievements in comparison with objectives iv.Recommendations and conclusions (What are key lessons learnt from the project) In general, Monitoring and Evaluation involves: Careful assessment of whether and to what extent the linkages between the various project components have been established in the intended way. Determining the impact the project has on the living conditions of the intended beneficiaries and whether that is self-sustaining. Similarities: Monitoring and Evaluation have the following in common: They are distinct functions in view of their different objectives, reference periods, requirements for comparable analysis and primary users. They use similar data collection and analysis system. Indicators used for monitoring may be included in the range of information required for evaluation although the review will be of longer time span; comparative analysis will be used and a large group of users will be addressed. There are three basic assumptions on M&E 1. it is a tool for decision making; 2. it should be a continuous process of problem definition, measurement, analysis and judgment; 3. It should be an integral part of the project process. M&E AS A TOOL FOR DECISION MAKING As a tool for decision making, M&E should be designed in such away that the information obtained facilitates and support rational decision making on project; i.e. data secured by the various types of monitoring should be fed back into t=decision making process to meet the requirements of the needs of the management at policy formulation, project planning and project management levels. Decision makers who participate will each have distinct information requirements. Nevertheless, all information secured must fulfill three criteria for monitoring and evaluation to serve as a tool for rational decision making by being: relevant- geared to the specific needs of decision makers; Timely- available and accessible at the time decision making is required; Accurate-reliable and empirically verifiable.

v. vi.



Specific performance measures are chosen because they provide valid, useful, practical, and comparable measures of progress towards achieving expected results. They can be quantitative: measures of quantity, including statistical statements and/or qualitative: judgments and perceptions derived from subjective analysis.

Performance indicators necessary to measure the progress towards achieving expected outputs. -Performance indicators necessary to measure the progress towards achieving expected outcomes. -Performance indicators necessary to measure the progress towards achieving the expected impacts. Features of indicators- SMART Tip: Select indicators that are realistic and for which it is cost effective to collect the required data! OUTCOMES Expected outcomes are the short-term effect of the program or project which are linked to the objectives. Corresponds to developmental results that are the logical consequence of achieving a combination of outputs. This is generally the level where the beneficiaries or end-users take ownership of the project and funding comes to an end. Tip: Results at the outcome level should answer the question: "What" is the observable, measurable change occurring in the program or project? IMPACTS The broader, higher level, long-term effect or consequences linked to the goal(s) or vision of the program or project. Impact results are developmental results at the societal level that are the logical consequences of a combination of outcomes. Tip: Answer the question "why" are we doing this program or project? REACH For "whom" will the program or project make a difference? The users, participants and direct beneficiaries - at the outcome level - or main clients of the program or project in terms of scope including WIDE targets when appropriate. Can also include key stakeholders and delivery agents. RISKS AND ASSUMPTIONS The probability that a critical assumption required to attain the expected results is not met. Should be in direct link to the program or project and include both internal and external risks. PLANNING AN EVALUATION Before an evaluation is undertaken, project management should decide on: - The aspects of the project to be evaluated - Timing of evaluations ­ when they should take place; - Who is to carry out the evaluation; - Information to be used - How comprehensive the evaluation should be Evaluation planning must deal with the following issues; a) How many evaluations? This should relate to project events, management needs, availability of people to do evaluations& cost. b) When should evaluations be scheduled? This should relate to the needs of decision-makers and also the major project phases. c) What assumptions (hypothesis) should be tested at each evaluation? i.Early evaluation to assess whether the design is realistic, and whether the inputs are available and on schedule; ii.Intermediate evaluation: Are inputs on schedule and adequate? What unforeseen circumstances have arisen?


iii.Later Evaluations: Is output/purpose being achieved? Are the intended beneficiaries (target groups) actually benefiting from the project? d) What methods should be used to obtain the data required? e) Record Search? Interviews? Inspections? Surveys? (Remember data must be relevant, timely and accurate.) Who will do the evaluation? Insiders? Outsiders? Collaborative Style? (FOR NMK PROJECT THE COLLABORATIVE STYLE WILL BE USED) f) How much will the evaluation cost?




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