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How Theory of Change can be a pathway to impact: three takeaways

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This blog post is written by Anneli Sundin, Communications Lead in the AgriFoSe2030 programme. This post was first published by SEI.

ToC workshop group photo with project teams back in October 2019 at SLU Uppsala, Sweden. Credit: AgriFoSe2030

Theory of Change (ToC) is a systematic approach focusing on pathways to change. This approach can be a key ingredient for a well-functioning project design, blended with stakeholder participation and strategies for communication. Here, three takeaways from a recent paper exploring the use of ToC are outlined.

We still see food and nutrition insecurity in many parts of the world and, in recent years, the Sustainable Development Goal (SDG) target of Zero Hunger (SDG2) seems to have become more difficult to reach. To combat this challenge, smallholder farms need to further increase their productivity.

We in the Agriculture for Food Security (AgriFoSe2030) programme believe that we need to connect and synthesise best available scientific research with policymaking processes, as well as with practices on the ground. We focus on sustainable intensification of smallholder farming systems in Sub-Saharan Africa (SSA) and South and Southeast Asia for improved food and nutrition security and are interested in bringing change that directly benefits smallholder farmers. But we need tools that can guide us. As such, we turned to Theory of Change.

In the recently published paper in the journal Global Food Security, we showcase how we applied Theory of Change in three projects. It is an approach for evaluation, widely used today within development practice, and, stated in the paper as “a systematic way of clarifying the underlying theories and cause-effect pathways that underpin initiatives working to promote social and economic change, particularly in complex interventions”, such as those interventions that take place in agricultural research for development.

All of the three projects were part of the wider AgriFoSe2030 programme, and aimed to translate research into policy and practice. The paper explores the benefits of having used ToC in the projects, as well as some of the challenges it involved.

The projects

All three projects are related to different types of livestock production in low-income countries. One of them looked at how to develop the sector for edible insects as a way to combat food insecurity in Zimbabwe and the Democratic Republic of Congo. Another one, based in Uganda, further north in SSA, focused on sustainable dairy production and artificial insemination. The third project was about improved goat keeping for smallholder farmers in a number of different regions in Laos, Southeast Asia.

Field visit to small commercial dairy farm, Uganda. Credit: Anneli Sundin
Goats in their pen, Laos. Credit: Anneli Sundin
Newly built market structure for selling of edible insects. Credit: Robert Musundire

Here, three takeaways from our paper are outlined, exploring how to enable a successful ToC process. At the bottom of this page, you can read more about the ToC stepwise method.

Takeaway 1: Stakeholder engagement as you begin your ToC

Many research studies have shown the importance of stakeholder engagement for a successful research or development project. Throughout each project period, the teams focused on activities that involved reaching out to stakeholders and finding inventive ways to engage with people. For instance, the groups involved stakeholders outside academia from the onset of the projects. The paper states that “drawing on all stakeholders’ perspectives, experience and skills to construct the ToC map strengthened the shared vision, identified the key target groups and developed a realistic ‘pathway’ to guide planning and implementation”.

Through this genuine and early stakeholder engagement, the projects gained wide support early on, which manifested in tangible outcomes in the longer term. For example, in the edible insect project, representatives from the municipality of Chinhoyi in Zimbabwe were part of the project team, and understood through their participation the value and importance of boosting the edible insect sector. As a result, they decided to devote a piece of land to the construction of an insect market facility.

In the example of Laos and goat management, a strong feeling of ownership of the project and its goals was created among the agricultural extension officers (the intermediaries between farmers and researchers), thanks to robust collaboration between the researchers and extension agencies. This also resulted in the project reaching farmers more easily.

Takeaway 2: Allow for flexibility

When we made sure that there was good internal communication within projects, and also between projects and both the AgriFoSe2030 management and the communication and engagement team, everyone had a better understanding of the contexts in which the projects were operating. Hence, it was easier to redirect funding and resources in ways that helped achieve the projects’ desired outcomes. This allowed the project teams to adjust their ToC plans. Previous research points to this as very important for success; in order for them to succeed, projects need to have some degree of flexibility in budgeting and resources, and there is a need for “complexity-aware” approaches.

Takeaway 3: Combine your ToC with communication strategies

In each case, we gave the project teams training and guidance in how to communicate with relevant stakeholders. This covered, for example, how to explore windows of opportunity, and how to tailor speeches, presentations and written texts so that audiences would not just understand, but also listen to them and become interested and involved. The projects used planning matrixes for their communications, in which they mapped specific stakeholder groups, the change they were targeting for that particular group, what messages would work well and through which channels they could communicate them. The projects also made sure these matrixes were aligning well with their ToC plans.

It’s not all rosy – but the benefits outweigh the challenges

The projects did also experience some challenges. It can be difficult to learn the ToC approach if you’re completely new to the concept. It was important to de-mystify it and have a facilitated process with a ToC expert, from start until the end.

The two projects on the African continent aimed at going beyond improving practices to also influence policy. They realised that policy development on governmental level is often a slow and fluid process. Sometimes you rather need bottom-up approaches that can demonstrate clear results. They decided, therefore, to get closer to local policy processes. When a policymaker can clearly see that an activity or initiative is successful on local level, it can open up opportunities for policy changes on regional or national levels.

Early in the process of developing their respective ToCs, the project teams understood that creating associations with their target groups (e.g. the farmers, traders or extension services) would help in consolidating the projects, as well as spreading knowledge and experience to a wider group. However, all three projects struggled with launching these farmers’ or traders’ associations due to the short project periods and contextual challenges linked to “e.g. demographics, the institutional landscape in which the associations operate, the environmental context, as well as underlying economic structure or local economic base”.

However, thanks to the early involvement of stakeholders and the fact that some of these associations could create demonstration farms, spin-off effects could be seen. In the case of dairy farming in Uganda, both an association of AI technicians was formed, as well as a number of farmers’ associations. These activities led to the renewal of the animal fertility and breeding centre at the Makerere University, and AI skills training is now included in the university’s educational programs.

We are yet to see the long-term impact of these AgriFoSe2030 projects, but we understand that ToC has helped them to more effectively integrate science-based knowledge in agricultural practice and policy. When we engage with stakeholders and develop refined communication strategies as part of our ToC planning, we will increase the likelihood of getting on the right path to impact.

What are the steps in a ToC process?

These projects walked through an eight-step process, guided by a ToC facilitator. This process begins with understanding the purpose of using ToC methods and describing the desired change, as well as the current situation. It then continues with the identification of what, where and by whom change needs to be made, and with the mapping of change pathways. Thereafter, strategies are developed for the interventions needed to make that change happen. Last but not least, it is important to look at monitoring and evaluation of the project and reflect on the full process. See the figure below to get an overview of this stepwise approach.

The ToC stepwise approach. Diagram modified from van Es et al. (2015)

Read more about the AgriFoSe programme here
AgriFoSe2030, Agriculture for Food Security, contributes to sustainable intensification of agriculture for increased food production on existing agricultural land; the aim is to do so by transforming practices toward more efficient use of human, financial and natural resources.

Pandemic adapted Swedish-Ugandan training on livestock raising with low use of antibiotics

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Written by Kristina Osbjer and Ulf Magnusson at the Department of Clinical Sciences, SLU

Photo: Justine Alinaitwe

The coronavirus pandemic is changing how we work and is providing us with an opportunity to rethink the way we conduct education, sustain research and maintain collaborations. A recent field-training experience in Uganda, combining video recordings, zoom lectures and discussions with local facilitation, has paved the way forward for us within the CGIAR Research Program on Livestock to conduct interactive training in responsible antibiotic use in Ugandan livestock farming communities amidst travel restrictions.

Antimicrobial resistance – the silent pandemic

While the world is preoccupied with fighting COVID-19, antimicrobial resistance is continuing to spread, with serious consequences for health and economies (World Bank, 2017). Antimicrobial resistance (AMR), the ability of microbes to persist and grow in the presence of drugs designed to inhibit or kill them, is accelerated by the excessive and inappropriate use of antimicrobials in humans, animals and crops (FAO, 2020). Low and middle-income countries (LMICs) are predicted to account for most of the increase in antimicrobial use and to carry the largest burden of AMR, but the action and research agenda on AMR has so far been largely driven by the OECD countries (O’Neill J, 2016).

More attention to the conditions of antimicrobial use and resistance in LMICs will be required and was also the focus in a recent webinar arranged by the Livestock Antimicrobial Partnership (LAMP), hosted by SLU Global, where the divergent challenges in curbing AMR in high-income countries as compared to LMICs were discussed (LAMP webinar, 2020).

Sweden as a model to curb Antimicrobial Resistance
Sweden has a long-term experience in producing healthy and productive animals with low antibiotic use. Our unique expertise and lessons learned are internationally recognised and disseminated through online courses (Future learn, 2020) and guidelines (FAO/SLU, 2019 and FAO/SLU, 2020).

A bottom-up approach to influence antimicrobial stewardship in livestock within the CGIAR Research Program on Livestock

SLU is leading the Animal Health Flagship within the CGIAR Research Program on Livestock (CGIAR, 2020). The programme focuses on supporting the development of small-scale livestock farming with the goal ‘more meat, milk and eggs by and for the poor’ primarily targeting Uganda, Ethiopia, Vietnam and Tanzania. SLU contributes to the programme with expertise in herd health and matters related to antibiotic resistance. Such expertise was used also in the training on productive livestock with low use of antibiotics in Uganda. The first round of training was carried out 25-27 November 2020 in Masaka district in collaboration between SLU and colleagues from Ministry of Agriculture, Animal Industries and Fisheries, Makerere University, and local authorities in Masaka. The SLU moderators participated online, whereas the Ugandan facilitators and training participants gathered in Uganda, following the COVID-19 safety measures imposed by the Uganda Government. A mix of veterinarians from the government and the private sector as well as para-veterinarians and some farmers participated in the training that aimed for a two-way learning process to identify feasible measures to reduce the need for antibiotics and use it only when needed in a medically rational way. The local context was emphasised by taking stock of knowledge and current practices in maintaining healthy animals, the role of animal health professionals and farmers in securing animal health and the prevailing application of good animal husbandry, biosecurity and antimicrobial use. This was followed by pre-recorded and online presentations and discussion on the Swedish model and how alternative practices may be adopted in Uganda.  

Sharing ideas helped us learn from each other

The training participants praised the participatory training approach and the opportunity to learn from each other, realising that among themselves they already had much of the knowledge required to become antibiotic-smart. The combined online and onsite training format was successful, yet, required a venue with stable internet connection. Participating farmers and veterinarians concluded that they were equally responsible to limit the prevailing irresponsible use of antibiotics and proposed more sensitisation campaigns, using highly influential people and practical real-life examples to raise the general awareness of AMR. They also asked for follow-up trainings to enable sustainable change of practices. As facilitators, we gained new insights on how antimicrobials are used and accessed in Uganda and tips on how to improve future hybrid and follow-up trainings. We hope that our experience can inspire others to design and implement pandemic-adapted training.

Wild food as a safety net: Food and nutrition security during the Covid-19 pandemic.

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This blogpost is written by Divya Gupta, Indian School of Business, Hyderabad, India; Suchita Shrestha, Southasia Institute of Advanced Studies, Kathmandu, Nepal and Harry Fischer, SLU. This article was first published by SIANI.

Andheri Village in Himachal Pradesh, India. Source: Divya Gupta

Edible wild foods have been an important part of the diet for rural populations around the world, primarily in developing countries. They are also an important safety net and contribute to resilience by enabling people to cope with food insecurity in times of rural distress. This has become particularly apparent in the context of the COVID-19 pandemic.

We have conducted research on food security during the COVID-19 pandemic in the mid-Himalayan region of rural India and Nepal, where nationwide lockdowns were imposed starting last the week of March and continued for several months. The lockdown led to movement of all kinds being sharply constrained, which disrupted the food supply chain and created uncertainty in accessibility, availability and affordability of food. Working with local research assistants, we have been able to continue our data collection and conduct interviews (while following strict government guidelines) thereby providing an in-depth understanding of how the effects of the lockdown unfolded in the areas.

Wild mushrooms harvested by a household in Himachal Pradesh, India. Source: Subodh Kumar (Research Assistant)

Over the past few decades, a large proportion of the populations in our study sites have transitioned to cultivating cash crops. While these trends may have increased household incomes overall, they have led to reduced production of food for household’s own consumption and increased dependence on markets for both food and income. The lockdown constrained farmers’ ability to sell their harvest due to transport restrictions to the market, leaving many of them to face huge financial losses. This compromised the purchasing power of the people and increased their reliance on wild foods such as leaves, seeds, nuts, honey, fruits, mushrooms that they can collect from their communal resources, including forests, grasslands, and water bodies.

Rasnalu Village in Ramechhap, Nepal. Source: Divya Gupta

Edible wild foods have been an important coping strategy for households to deal with food shortages following the lockdown, especially for landless households and wageworkers who depend on off-farm employment. The lockdown has had a profound effect on the employment and income of such households. There were families that could not afford adequate food and reported consuming less food than before.

Rasnalu Village in Ramechhap, Nepal. Source: Divya Gupta

A woman from a landless household with eight family members in a remote village in Nepal told us, “my husband is a construction worker, and he lost his job immediately after the lockdown was imposed. This constrained our ability to buy food to adequately feed our family. I was constantly stressed out about this and often resorted to foraging edible wild foods that I was able to find in our forests”. Another smallholder farmer in India shared, “we did not have enough food left in our reserve when the lockdown was imposed, unfortunately it was also a bad season for our crops as we lost most of our harvest to pest infestation. The wild foods that we were able to gather from our forest was a huge respite and we were extremely grateful for that”.  In addition, wild foods were also a convenient option as some households preferred foraging as opposed to spending money buying vegetables from the market, as an interviewee from a small-landholding household from our site in Rasnalu Village in Nepal shared.

“We occasionally collect vegetables growing in the wild. However, during the lockdown owing to the shortage in supply of fresh vegetables and a consequent rise in their price, we relied more on foraging”.

Wild foods in our sites were also perceived to be safe from contamination. Although not based on scientific fact, many households feared consuming produce bought from the market. “We were scared to buy vegetables from the market because we feared they might carry the infection, so we substituted vegetables with wild foods that we would find in our forests”, said a farmer in our study site in India. He further added:

“Once when I had got vegetables from the market, my mother panicked and immediately threw them away. Market bought vegetables were strictly banned in our household”.

In addition, cooking wild foods was also perceived as a way of continuing traditional recipes. For example, in our sites in Nepal, households procured greens such as stinging nettle, fiddlehead fern, and others that are used as an alternate to market-bought/ cultivated vegetables. “These foods are a part of our traditional recipes that we have been cooking for generations”, shared a female respondent.

Fiddlehead ferns. Source: Rakshya Timalsina (Research Assistant)

It is important to note that under normal circumstances, a lot of the households in our study areas use diverse food sources to fulfill the dietary needs of their family, including farms/kitchen gardens, markets, and communal land and water resources. We observed that at the time of the lockdown, wild foods were particularly important for households that lacked adequate income and/or did not have the option of a kitchen garden. Thus, wild foods have been an important component of the food basket for our sample population during the pandemic

Observation from our research highlights the importance of wild foods as carriers of important cultural values and also their roles in helping households cope with food insecurity in the context of shocks and uncertainty, such as the COVID-19 pandemic. Often overlooked as a resilience strategy, wild foods are a vital resource that demands more attention in ensuring mechanisms for managing and safeguarding habitats for their long-term sustenance.

This research was supported by the Swedish Research Council (VetenskapsrÄdet) research project 2018-05875 and a FORMAS Urgent grant 2020-02781.

Antibiotics – a tragedy of the commons

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This article was written by Susanna Sternberg Lewerin, Professor in Epizootiology & Disease Control at the Department do Biomedical Sciences & Veterinary public Health, SLU.

Antibiotics kill susceptible bacteria while those who have acquired traits to destroy the drug or protect themselves from it survive and multiply. Resistant bacteria can share their resistance genes with others. Illustration: SLU

Today is the Antibiotic Awareness Day. It is a day to be grateful for these important medicines, and to consider how to best preserve them for the future.

Antibiotics, drugs to combat bacteria, are useful tools in both veterinary and human medicine. They allow us to treat bacterial infections in animals and people, common diseases as well as those that occur due to immunosuppressive treatments such as cancer therapy or following transplant surgery. The problem is that all use of antibiotics kills the susceptible bacteria and leave the field open for those who have  become resistant to the antibiotic. In a successful treatment course, the few remaining (resistant) bacteria can be killed by the host’s immune system and the host, animal or person, is cured. On the other hand, if the majority of the disease-causing bacteria are resistant, the treatment will be ineffective.

To preserve antibiotics as medical tools, we must use them as little as possible, only when needed, in the correct dose so that enough of the drug reaches the body site where the bacteria are causing the disease, and only for the time needed, until the immune system has eliminated the disease-causing bacteria. This is not as easy as it sounds, it takes insight into what diseases cause problems in animals and people in different settings, how to prevent them and how to treat them effectively, with or without antibiotics.

In Sweden, disease prevention is a key feature of veterinary medicine. Good animal husbandry, good biosecurity, vaccination and other strategies to control and prevent disease has been and continues to be a major research focus. We also collaborate in EU projects where different practices, attitudes and societal systems present new challenges that can be addressed by learning from the Swedish experiences (successes as well as failures) and by new ideas and innovations.

In low-income countries, antibiotics are not restricted to prescription from a veterinarian or a doctor but can be bought over-the-counter in drug stores where the products can be of poor quality and the information about how to use them may be lacking or misleading.

Poor farmers sometimes use the volume intended for treatment of one animal to treat several animals (i.e. with a lower dose), rendering the treatment ineffective and paving the way for resistant bacteria without curing the disease. If no veterinarian is involved in determining the cause of the disease, antibiotics may be used to treat diseases that are not caused by bacteria, so that the treatment is a waste of money and, again, promotes the resistant bacteria.

We collaborate with researchers in low-income countries on how to prevent and control animal diseases. We also work on developing systems for monitoring of diseases and antibiotic use, to provide information about what diseases are common and which antibiotics are used effectively. This project also addresses ways to increase the interaction between veterinarians and farmers by video consultations, to facilitate farmers’ access to veterinary advice on disease treatments while improving profitability for both groups. 

It is important to recognise the need for different strategies in different settings, disease prevention and control rely on knowledge of the local situation and its context-specific challenges and opportunities. Still, the worries and hopes of farmers are similar in countries all over the world and serve as incentives for improvement of animal health and production. The long-term goals of our research focus on animal health and welfare, for a sustainable animal production with a sustainable use of antibiotics. We must all contribute to preserving antibiotics for the future. Don’t let it be nobody’s responsibility, it lies with everyone.

Why do we collaborate?

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The next chapter of SLU – Vietnam collaborations

Photo: Agnes Bondesson, SLU

Looking back

More than 35 years ago, the Swedish University of Agricultural Sciences’ (SLU) initiated contact with Vietnamese universities with support from Sida/SAREC. The early research capacity development programmes aimed to strengthen individual and institutional research capacity in Vietnamese priority areas. The programmes have been part of the development agenda to reduce poverty and contribute to the socio-economic development of Vietnam. Several departments and faculties at SLU have over the years been involved in the collaborations. Some of these projects have also involved Swedish MSc and PhD students who have been able to conduct fieldwork in Vietnam. Many programmes have been large long-term projects involving several universities and research institutes in Vietnam and resulting in a large number of Vietnamese MSc and PhD graduates.

SLU Global conducted a detailed evaluation report to increase learning from experiences and to feed into our present and future international collaborations. Focus of the evaluation was on initiatives within the sectors relevant to agriculture, rural development, and forestry. The time scope for the study was 1977-2018. Collaborations result in both long-listed research projects and education. Both key activities provided capacity development at institutional level/national level as well as individuals, and Vietnamese society.

Looking forward into future

1 October 2020, SLU global opened up a new chapter of collaborations by inviting SLU and Vietnamese researchers to an online workshop aiming to be a discussion forum for researchers, teachers and others to explore opportunities and interest in future collaborations based on past experiences between SLU and Vietnam. The purpose with this workshop was to create new possible networks and exchange knowledge between researchers, teachers and others at SLU and in Vietnam. More than 55 researchers were participating in small group discussions to potential future collaborations and what tools we need to make the collaborations possible. Tools, as we recognised from our experiences were not only required research competent, but also administrative supports from the universities. SLU and Uppsala University has joint representative office in Hanoi, providing supportive services connecting researchers and students, including alumni, between the two countries. Moreover, the workshop also made visible financial opportunities from Vietnam, Sweden and the EU.

A small but important step to the future is to allow researchers/teachers between the two countries to discuss their common interests as well as challenges. During the workshop, researchers were divided into 8 groups according to research interests. Common topics discussed during this workshop are varies including, land transformation, climate change, transformation from rice to horticulture, small scale forestry, pest control, agri-business, remote sensing in forest research, payment for forest environmental forestry scheme (PES), animal health, agroforestry etc. Moreover, the workshop group discussions continued to discuss the Joint teacher student exchanges and the access to new online courses. One concrete example is the course on bioinformatics, which is being developed to be given fully digitally by SLU. Voicing from the discussion, researchers from both countries would like to see the expansion of the collaboration beyond Sweden-Vietnam, but South East Asia as target region.

One of the main challenges to continue the engagement is the limitation of funding, considering Vietnam is no longer a priority for international development. Researchers can overcome this challenge by searching new financial opportunities, such as EU and the private sector, as well as focusing on early career development for researchers from low and low-middle income countries. Decreasing of financial support does not stop the ‘Will to Collaborate’. With Covid-19 in the background, online communication channels and platforms will continue to increase, which benefits a long term conversation between researchers and teachers between the two countries.

This blog post was written by Alin Kadfak, Communications Coordinator, SIANI