{"metadata":{"id":"012fa3337d4c7183670b549d59fc0ec1","source":"gardian_index","url":"https://cgspace.cgiar.org/rest/bitstreams/b80ad77b-d1fa-4e66-9033-16747edd49b1/retrieve"},"pageCount":15,"title":"","keywords":[],"chapters":[{"head":"I. Introduction","index":1,"paragraphs":[{"index":1,"size":299,"text":"Humidtropics, a CGIAR Research Program, aims to help poor farm families in tropical Africa, Asia and Americas to boost their income from integrated agricultural systems' intensification while preserving their land for future generations. The humid tropics with 2.9 billion people, most of which are poor farmers on about 3 billion hectares of land, are critical to local, regional and global food supplies, and central to the maintenance of global biodiversity. The region has a great wealth of untapped resources and potential. Within the agriculture sector, this potential is driven by the richness in agro-ecological resources of water, soils, flora, and fauna, etc., and by a population for whom agriculture is often a way of life and part of the culture. However, the agro-ecological stability of the region is very fragile, and carries a high risk of degradation. Problems include loss of soil fertility and accelerated erosion, deforestation and biodiversity loss, and high incidence of pests and diseases in both production and post-harvest situations. The humid tropics have the biggest gap between potentials in terms of ecological resources, productivity and livelihoods and what actually exists today. The reasons for not yet realizing this potential are diverse, covering domains in technical, social, economic, environmental and political situations. Humidtropics is presented as a key for unlocking this potential and contributing towards the growth and development of this region through integrated agricultural research for development, involving key partners and stakeholders. The global hypothesis of Humidtropics states that \"A range of livelihood strategies exist within the region where poverty reduction, balanced household nutrition, system productivity and natural resource integrity are most effectively achieved and contribute best to human welfare\". Humidtropics aims at the realization of this vision. The program functions in Action Areas in three major impact zones: sub-Saharan Africa, Tropical Americas and Asia."}]},{"head":"The Research Framework","index":2,"paragraphs":[{"index":1,"size":155,"text":"Humidtropics research has three main integrated Strategic Research Themes (SRTs) that work together as illustrated in Figure 1. SRT1 focuses on system analysis and global synthesis, which involves a capacity to undertake characterization of Action Areas and their component Action Sites, identification of entry points, coordination of the development of tools, such as surveys to monitor agricultural system change, and providing analytical support in research synthesis. SRT2 research is organized around the systems interventions and the trade-offs that exist with integrated system productivity, institutions and markets, and natural resources management. SRT3 studies and develops capacity for institutional innovation and scaling of social and technical solutions which impacts on rural poverty and gender equity. The research framework is a matrix of location-based research in the Action Areas drawing on critical capacities in thematic research groups arrayed across CGIAR Centers and partner organizations. All the SRTs interact and come together at the Action Areas and Action Sites. "}]},{"head":"Overall Theory of Change","index":3,"paragraphs":[{"index":1,"size":141,"text":"The overall Theory of Change is based on the hypothesis that the potential inherent in the region is best realized through an integrated systems approach involving participatory action across all stakeholder groups. Systems approaches require a study of the interactions across different components and commodities within the system and to capitalize on synergies between different intensification options. They look at how component productivity increases can be balanced with environmental protection and how systems interventions to on-farm practices have consequences for institutions including markets and for the environment, particularly natural resources integrity. This integration across scales and the strategy for translating farm level research to livelihood improvement at scale is captured in the strategic research framework already discussed above (Figure 1). The framework emphasizes the interaction across the SRTs, and the cyclical learning strategy underlying the program, leading to change at scale."},{"index":2,"size":136,"text":"A second dimension to the overall Theory of Change is illustrated in Figure 2. This helps explain the initial positioning of the Action Areas in relation to the Poverty and Ecosystems Integrity status (main axes). It also illustrates the trajectory of systems interventions required to move these Action Areas to an idealized position of high productivity without sacrificing natural resources integrity, and supported by effective institutions including markets and policies. The assessment includes baseline studies on systems productivity, institutional effectiveness and natural resources integrity, which are undertaken in the context of the R4D (Research for Development) triangle functioning within SRT2 (Figure 1). R4D platforms are the core diagnostic and implementation mechanism for the program. Interventions should not only move the current position but also enhance its scale. This is undertaken through systems innovation research in SRT3."}]},{"head":"II Intermediate Development Outcomes","index":4,"paragraphs":[{"index":1,"size":62,"text":"Humidtropics is driven by the major global development challenges and the CGIAR System Level Outcomes (SLOs) of (i) Reducing rural poverty (ii) Increasing food security, (iii) Improving nutrition and health, and (iv) Sustainable management of natural resources. The Intermediate Development Outcomes (IDOs) of Humidtropics are derived directly from the overall goal and the strategic objectives (SOs) of the program, as defined below:"},{"index":2,"size":59,"text":"• SO 1 -Livelihoods Improvement: \"Improved livelihoods in terms of income and nutrition for rural farm families.\" • SO 2 -Sustainable Intensification: \"Increased total farm productivity respecting natural resources integrity.\" • SO 3 -Gender Empowerment: \"Empowered women and youth with better control over and benefit from integrated production systems.\" • SO 4 -Systems Innovation: \"Enhanced capacity for systems innovation.\""},{"index":3,"size":68,"text":"The point to note regarding the SOs is their integrated nature, and that they are realized together in an interactive and integrated fashion. Each SO relates directly to one or two IDOs. The realization of these IDOs is then accomplished through a number of \"Flagship Projects\", which are seen as the main vehicles through which the research of Humidtropics is carried out to ensure impacts of the program. "}]},{"head":"The Intermediate Development Outcomes and their Targets SO 1: Livelihoods Improvement","index":5,"paragraphs":[{"index":1,"size":172,"text":"The following two IDOs contribute to this SO: IDO 1 -Income: \"Increased and more equitable Income from agriculture for rural poor farm families, with special focus on rural women.\" This IDO is strongly linked with IDO 3 on Productivity and IDO 4 on NRM. It is based on generating total farm income through both sustainable intensification and diversification of production systems to improve the livelihoods of rural women and men (Table 1). Realizing the IDO will require improving institutional effectiveness with integration of commercialization principles and value chain and business model trade-off analysis to improve market linkages and income generating outcomes. IDO 2 -Nutrition: \"Increased consumption of safe, nutritious foods by the poor, especially among nutritionally vulnerable women and children.\" This IDO will be accomplished through research for the diversification of high quality crops and livestock leading to enhanced consumption of diverse nutritious foods by the poor. Humidtropics will focus on food consumption as the main indicator for this IDO. Three key areas in which targets and outcomes will be assessed are:"},{"index":2,"size":9,"text":"• Changes in the diversity and quality of diets."},{"index":3,"size":15,"text":"• Attitudes toward better nutrition, willingness to pay and trade for diverse and quality food."},{"index":4,"size":12,"text":"• Food/crop diversity in farms, markets, and on the plate (household consumption)."},{"index":5,"size":43,"text":"It is expected that over the 9-12 year period of the IDO, there will be 50% improvement in the above characteristics, especially among rural women and children. Also, the number of malnourished children will decrease by 25%, especially in Tier 1 Action Areas. "}]},{"head":"SO 3: Gender Empowerment","index":6,"paragraphs":[{"index":1,"size":10,"text":"This SO is supported by the following IDO with targets:"},{"index":2,"size":70,"text":"IDO 5 -Gender: \"Increased control by women and other marginalized groups over integrated systems assets, inputs, decision-making and benefits.\" Gender analysis research cuts through all the IDOs, and can be seen through a number of gender-disaggregated targets and technologies. However this dedicated gender IDO, will aim at undertaking strategic crosscutting gender-in-development research, within the R4D paradigm, with links to all the Action Areas and Sites. The following targets are set:"},{"index":3,"size":50,"text":"• Proportion of women (70%) in Humidtropics that perceive that they have better control over assets, inputs and benefits compared to the baseline in year 1. • Women producers enabled to \"catch up\" in access to markets, microfinance and control over assets (gap narrowed by 50 % against the baseline)."},{"index":4,"size":32,"text":"• Improvement (30% compared to baseline) about the perceptions of balance in gender relations at all levels in the different systems and empowerment between women and men with regard to decision making. "}]},{"head":"SO 4: Systems Innovation","index":7,"paragraphs":[]},{"head":"III. Impact Pathways and associated Theories of Change","index":8,"paragraphs":[{"index":1,"size":68,"text":"Three different Impact Pathways are presented in this document as examples, reflecting both the integrated nature of Humidtropics, and also the diversity of issues being addressed within this integrated systems program. The first impact pathway is on Sustainable Intensification, involving IDOs on productivity and NRM, but with links to Income and to Nutrition IDOs. The second Impact Pathway is on Gender, while the third is on Innovation Systems."}]},{"head":"i. Sustainable Intensification Pathway and Theory of Change","index":9,"paragraphs":[{"index":1,"size":47,"text":"Change in smallholder farming systems in the tropics is gradual, adaptive, and stepwise, responding primarily to farmers' contexts and circumstances (Figure 4 impact pathway). Linkage to Livelihoods Improvement Pathway and Theory of Change A similar pathway can be generated for the Livelihoods/Income pathway but also linked within."},{"index":2,"size":112,"text":"Entry points for research based on market opportunities are identified and ranked by rural people through the R4D platforms to develop baskets of potential options. Different, often competing, value chains and business models serve as frameworks to identify, co-develop, test and scale best-bet institutional, system productivity and NRM interventions that include the combinations of crops, livestock and trees, together with soil & water management practices constructed around market incentives. Interventions are validated through action research seeking best-fit options at priority Action Sites that are nested within Action Areas. In both market access and policy incidence, fostering participatory processes will significantly contribute to greater understanding of the enabling factors and conditions for uptake."}]},{"head":"The Nutrition Dimension","index":10,"paragraphs":[{"index":1,"size":60,"text":"Nutrition and diet research issues could also emanate from the situation analysis and R4D platforms established through the sustainable intensification pathway process. In Humidtropics consumption of safe, nutritious foods by the poor, especially among nutritionally vulnerable women and children, is considered as a key component of livelihoods attainment. Nutrition is therefore addressed as a sub-set within the Income/Livelihoods Strategic Objective."},{"index":2,"size":252,"text":"Humidtropics assumes that any strategy to improve the nutrition of poor people must simultaneously address the consumption of nutritious food through demand side (consumption, access) and the supply side (production, availability). The target population on the demand side includes poor people in rural and urban areas. On the supply side, the target population includes smallholder farmers and market actors (as the link between producers and consumers). Advocacy will be supported through R4D Platform initiatives to increase awareness about the importance of consuming diverse and quality food for a family's nutrition. Platform initiatives will help to test smart and low-cost marketing campaigns that make optimal use of traditional and modern communication channels, while carefully monitoring and evaluating its impact on the nutritional indicators. The demand for diverse and quality food will also be stimulated indirectly through improving the incomes of poor people so that they have the means to buy such food. Humidtropics will increase the supply for diverse and quality food by promoting a greater diversity of agricultural production in line with the sustainable intensification of farming systems through optimizing synergies between staples, vegetables, fruits, trees, and livestock at the community level. Private sector R4D Platform actors will be encouraged to develop market incentives for increased diversity of nutritious foods. Appropriate technologies for homestead gardens and small-scale animal rearing will also be developed and promoted to poor households to make a direct improvement in their nutrition. A strong partnership link will be established with A4NH (CRP 4) to benefit from derived synergies."}]},{"head":"ii. Gender Empowerment Pathway and Theory of Change","index":11,"paragraphs":[{"index":1,"size":143,"text":"The pathway on gender begins with the situation analysis and the R4D Platform analysis to be carried out across all Action Areas. This leads to analysis of participation barriers as well as to identification of specific gender-related entry points and needs. Strategic and integrated gender research carried out in flagship programs in the Action Areas create the knowledge base about gender needs and leads to initiation of an Action Area Gender platform. The platform is used to determine entry points for gender sensitive interventions. Figure 5 illustrates the process of linking the current weak status of gender equity in agricultural R4D, to various processes leading to strengthening of gender dimensions (empowerment) in representation and program management roles, as well as in the mainstreaming of gender dimensions into research and technology development. Interventions are carried out through Flagship Programs and shared across leading to:"},{"index":2,"size":11,"text":"• Aggregated increase in technology adoption and productivity of women producers."},{"index":3,"size":12,"text":"• Enhanced capacity of men and women to diversify and share risks."},{"index":4,"size":8,"text":"• More equitable and integrative agricultural growth outcomes."},{"index":5,"size":11,"text":"• Sustained engagement of men and women in integrated systems development."},{"index":6,"size":33,"text":"• Change in gender relations at all systems levels with improved women decision making on inputs, interventions and benefits. • Change in behaviour of institutions and policy makers with regard to women empowerment."},{"index":7,"size":41,"text":"Outcomes are monitored through SRTs 1 and 3, and the experiences are translated to Action Area Gender platforms of newly established Action Areas. After 12 years all AA will benefit from Action Area Gender platforms and the results as mentioned above."}]},{"head":"iii. Systems Intensification Pathway and Theory of Change","index":12,"paragraphs":[{"index":1,"size":131,"text":"Actors in innovation systems need to develop the capacity to create conducive social and institutional conditions that allow farmers and others to use new technology as part of a strategy to address problems and make use of new opportunities. Through their participation in Humidtropics, researchers and their partners gain experience with new theories, methodologies and processes, that are simultaneously studied, tested and improved, and subsequently institutionalized when appropriate. In Humidtropics we regard these enabling conditions for technology to diffuse as part of the innovation challenge. Research alone is unable to drive system innovation, and therefore needs to build upon and strengthen ongoing energies, initiatives and leadership capacities for change. Humidtropics will therefore embed its research in ongoing dynamics, to ensure that research is links to real demands and produces outcomes that "}]},{"head":"Research Implementation Issues","index":13,"paragraphs":[{"index":1,"size":166,"text":"are important to society. Scaling then happens through 'pull' rather than 'push' mechanisms. A range of communication and innovation intermediation strategies is then needed to work towards system innovation. Humidtropics will facilitate and enhance interaction among existing networks of actors, resulting in the operation of permanently evolving R4D Platforms that operate at different levels. Several forms and aspects of research activity are embedded in this broader process, and linked to the multi-level model of system innovation (figure 6) in three phases: (1) Landscape and regime level diagnosis R4D activity will start with a diagnostic research, and serves to find promising entry points for further investigation, vision development and action and thus supports the other impact pathways. This diagnosis involves a multi-disciplinary characterization of simultaneously occurring trends, i.e. of how the landscape selection environment is changing, and a diagnosis of institutional (=regime) constraints. The purpose of this research is to identify emerging tensions, constraints and opportunities that set the agenda for further activity in niche level incubators."},{"index":2,"size":82,"text":"(2) Niche/incubator level experimentation At the niche level, Humidtropics will experiment in the field with multiple (combinations of) social and technical options, building upon earlier diagnostic work. As promising/interesting institutional and technical options become available (through research and dialogue) they will take the form of socio-technical incubators. These are networks of people that try out new institutional and technical options at different levels. Lessons learned from the incubator testing will be documented, leading to adapted designs and/or the discontinuation of specific investigations."},{"index":3,"size":130,"text":"(3) Regime-level coalition building to enable scaling The niche-level incubator activities include the gradual building of a support network and coalition for promising technical and institutional innovations. Such networks may include policymakers, NGO's, extension organisations, value chain parties, donors, media, etc. that can serve scaling purposes. The gradual expansion and strengthening of the support network and coalition will result in both gradual and sudden changes (i.e. 'tipping points'). Institutional changes achieved this way will provide an enabling environment where different groups of farmers can capitalise on the social and technical opportunities offered by ever changing environments. This will also lead to experiences in innovation networks, and documented methodological approaches, that will enhance the capacity of agricultural players to innovate themselves and make demands on CGIAR and other innovation support organisations."}]},{"head":"IV. Flagship projects","index":14,"paragraphs":[{"index":1,"size":295,"text":"Flagship projects provide an excellent opportunity to carry out research that is focused on achieving the IDOs and ensuring full participation of stakeholders throughout all the phases of research towards impact as explained in the earlier sections. Multi-sectorial and -disciplinary public and private sector partners will engage in integrated systems research that meets the livelihood and environment challenges and opportunities that the biodiverse landscapes provide. Focus will be on the trade-offs that occur related to inputs (time, money and land), integrated systems intensification (Productivity x NRM x Markets) and benefits (income, yield, nutrition and environment when changing or challenging one or more of a system's components. The Gender and Innovation SOs and related IDOs are special in ensuring that inputs and benefits are more equitably distributed (Gender) and that innovations and interventions are better targeted, prioritized and originating from within the system whilst ensuring that institutions improve to support the mainstreaming of such solutions (Innovation). For example introducing livestock as a new component into a farming system may improve income and nutrition but may compromise land use for crops, vegetables and fruits in favor of fodder and may positively or negatively affect soil fertility. Livestock keeeping may need new knowledge and skills and more resources at the cost of time and money spent on other activities and needs. There may also be cultural taboos preventing women access to cattle or shifting labor patterns having youth carrying fodder to the animals or limited access to veterinary services increasing the risk of production losses. Unraveling the systems and priorities and sharing lessons with other or similar systems across the humid tropics will help to research and mainstream those interventions that have best potential for the landscapes, people and institutions to bring them to scale for better impact."},{"index":2,"size":173,"text":"The Flagship projects are based on Action Areas with main agricultural production systems nexus that gives them a place-based character (Table 2). In Tier 1 (phase 1) of Humidtropics, there are 5 Flagship projects. Four relate directly to the Action Areas and the solutions within those based on their characteristics and potential for innovation. The geographical aspects, landscapes, and crops may be similar the people, socio-technical regimes, farm practices, livelihoods and living conditions vary significantly providing scope for cross-learning and sharing of solutions and requiring a fifth Flagship project that has a strategic, global and crosscutting nature, and derives from key research domains including aspects of innovation, gender and capacity building. Four additional Flagship Projects will be launched in 2017 based on Tier 2 Action Areas, making a total of 9. These include the West Africa Moist Savanna project, the Southern Africa Moist Savanna project, the northern Andes Transect project, and the Indonesian Humid Lowlands project. A summary introduction of the Flagship projects for Tier 1 operations is provided on the next pages. "}]},{"head":"The East and Central African Humid Highlands Flagship Project","index":15,"paragraphs":[{"index":1,"size":213,"text":"The East and Central Africa Humid Highlands project (ECA) includes the humid and sub-humid tropics of west Kenya, southern Uganda, the Ethiopian Highlands, eastern Congo, Burundi and Rwanda. There are more than 78 million people living on 29 million ha with a very high average population density of 263 persons per km 2 . Land degradation averages 40 to 90% of the area. Poverty levels are relatively high and persist as 28 to 71% of people earn less than US $1.25 per day. Smallholders cultivate a variety of crops, including maize, grain legumes, banana, cassava, sorghum, sweet potato, groundnut as well as minor leafy greens and other vegetables, as part of their system. The major cash crops include coffee, maize, sugarcane, banana, soybean, Irish potato, cotton and tobacco. Main known constraints in the system include soil degradation, fertility loss and degradation on the slopes, the challenge of the parasitic weed striga (in Kenya and Uganda), decline in the production of cooking banana (in Uganda and Rwanda), widespread incidence of pests and disease, poor distribution and high costs of farm inputs, and poor infrastructure and access to markets and institutions. Women farmers still carry a disproportionate burden of farm and household responsibilities, and yet have limited rights to land and other resources and assets."}]},{"head":"The Western African Humid Lowlands project","index":16,"paragraphs":[{"index":1,"size":285,"text":"The West Africa Humid Lowlands project includes the humid and sub-humid tropics of Cameroon, Nigeria, Ghana and Cote D'Ivoire that are inhabited by 145 million people and cover 206 million ha. The project includes intact humid forests in South-eastern Cameroon to completely deforested and extremely degraded areas in southern Cote d'Ivoire and Ghana, and many conditions in-between. The West African Guinea Rainforest is a vulnerable biodiversity hotspot and poses an urgent environmental challenge in relation to helping people to raise their standard of living. The socioeconomic situation is highly variable between and within countries, but all are characterized by large populations of both rural and urban poor seeking better livelihoods, with 28% of the population living on <1.25 USD day -1 . Most of the soils are highly weathered, inherently poor and prone to rapid degradation. Rainfall is generally sufficient for two annual cropping cycles per year as the growing period exceeds 200 days. A total of 46 million ha (47% of the cultivated land) is under tree crop systems, a further 29 million ha (30%) under root crop systems and 23 million ha (23%) under cereal-root crop mixed systems. Cocoa is the most extensively grown tree crop and is almost exclusively managed by smallholders. Oil palm is the next most important and is grown on both large estates and smallholders. Together, these two crops account for approximately 90% of total tree crops. Other tree crops include rubber, robusta coffee, kola nut, citrus, mango, and avocado. Cassava is the most important staple crop with maize, yams, plantains, upland rice, and cocoyam widely cultivated. Livestock densities are low often due to presence of trypanosomiasis but small animal enterprises are particularly important to the poor and women."}]},{"head":"The Central American and Caribbean project","index":17,"paragraphs":[{"index":1,"size":407,"text":"The Central American and Caribbean project focuses on three main sites in the humid and subhumid tropics of Nicaragua, Honduras, Guatemala, El Salvador, Haiti and the Dominican Republic. Poverty and food shortage remain major problems in rural areas. Over 20% of the population is malnourished while food insecurity, especially among pregnant women and children <5 year of age, has increased between 2001 and 2006. Throughout these countries, poverty is a predominantly rural problem. In 2009, Nicaragua had an estimated population of 5.9 million inhabitants, 2.5 million of which lived in rural areas with 68% earning less than US$2 per day. In that same year, the rural areas of Honduras held close to 74% of the country's poor and 86% of the extremely poor. Haiti is the poorest country in the Western hemisphere, with 90% of its inhabitants living with less than US$2 day -1 (50% rural) and almost 72% with less than US$1.25 day -1 . Gender relations remain male-dominant through persisting unfair cultural norms, but women are free to operate within local markets. The North-Central Nicaragua is characterized by poor access to markets, high concentration of poverty, vulnerability to the effects of climate change, including catastrophic incidents like hurricanes, and the impact of degradation (deforestation in particular). It encompasses large variability in soil types with hillsides susceptible to erosion. Mixed crop-livestock systems are dominant with maize, beans, rice, root crops grown for food, coffee, cacao, banana, and vegetables grown for income. Animal enterprise includes cattle (30% of households), poultry and swine. Another sector of this Action Area is the Haiti-Dominican Republic border area, which provides a unique opportunity to contrast extremes of resource integrity, institutional capacity and social cohesion between Haiti and the Dominican Republic. Haiti faces an extreme serious threat from environmental catastrophe and natural resource deterioration. Productivity is very low, less than one-third is arable, with a density pressure of over 1,000 people per km 2 and an annual loss of 3% to erosion. Farms are often homesteads, with a typical size of 1 hectare. Agriculture in the Dominican Republic is more productive with large areas of forest cover of 50% (compared to only 4% in Haiti). In both countries agricultural systems are based on the same crops: maize, beans, sugar cane, root crops and plantains. The abundance of fruits and farm animals also varies with resource conditions. Fruit trees include bananas, mangos and avocados. Livestock consists of some cattle, goats, pigs, and poultry."}]},{"head":"The Central Mekong project","index":18,"paragraphs":[{"index":1,"size":305,"text":"The Central Mekong project in Southeast Asia lies above the delta and below the high mountainous temperate zone, and is a critical site for exploring agricultural development in a region undergoing dramatic ecological, social, and economic transformation. The Area is rich in biodiversity that is threatened by rapid economic change with many uncertainties surrounding its sustainability. The project is situated within the larger 260 million ha geopolitical boundary of the Greater Mekong Sub-region which includes Cambodia, Lao PDR, Myanmar, Thailand, and Vietnam plus the two southwest provinces of China. It includes two of the poorest countries in the world (Cambodia and Laos) where over 29% of the population live in poverty. The primary focus of the Central Mekong Action Area will be on the complex of rice and non-rice cropping and farming systems (plus areas with other land uses) in the non-flooded lowlands, uplands, and highlands. \"Green Revolution\" agriculture in the last century contributed greatly to staple food production, and food self-sufficiency in the region to the extent where Thailand and Vietnam engage in massive export rice production but this success has environmental tradeoffs in terms of land degradation, eutrophication and water pollution. These are further confounded by increasing free range cattle production on steep slopes. Benefits are unevenly distributed with infrastructure improvement, farm input distribution and farmer services focused upon delta and lowland communities and bypassing rainfed uplands and highlands. With physical access to markets still varying greatly, the development of regional transport corridors is one of the most important drivers of change. Improvements in transport and communications translate into benefits for the poor, even as these developments remain highly variable. Economic development has resulted in large shifts in consumption and expenditure patterns and these changes are set to continue as the project is situated between the two emerging economies of China and India."}]},{"head":"The cross-cutting strategic research theme project","index":19,"paragraphs":[{"index":1,"size":40,"text":"This Flagship Project is specially created to enable a number of strategic cross-cutting research to be undertaken, as well as exploring global analysis and synthesis in various domains. Some key dimensions of research in this Flagship project are as follows:"},{"index":2,"size":12,"text":"Innovation Systems and Innovation Capacity. This research will address questions such as:"},{"index":3,"size":37,"text":"• What is the contribution of different types, configurations and operationalization of R4D platforms (under different conditions, and for different categories of beneficiaries) in developing, testing and adapting social and technical options that benefit Humidtropics target audiences?"},{"index":4,"size":65,"text":"• What is the value and different scaling strategies (ranging from classical extension, innovation platforms, FFS, mobile ICT and mass media) in scaling discourses, processes, knowledge and technology, among farmers and relevant players in the value chain and in policy circles (i.e. at both niche and regime level)? Global synthesis and analysis on key outcomes from Humidtropics research All these areas will be further developed."}]},{"head":"V. Partnerships","index":20,"paragraphs":[{"index":1,"size":113,"text":"Partnerships are at the core of Humidtropics. The program can be considered a formal knowledge-based network of R4D Partners. Partnerships are at global, regional, national and local levels. They include both multi-sectorial and -disciplinary research and development interests aimed at the complex concept of sustainable development that involves the integration, or intersection, of economic development, environmental protection and preservation, and social development that enhances the quality of life and well-being of the individual. They include partners from the various organizations along the research-development impact pathway chain. Thus there are a full spectrum of partners from both research and development organizations (including direct partners and boundary partners). Categories of current partners are as follows:"},{"index":2,"size":31,"text":"• CGIAR Centers: currently the program involves seven CGIAR centers (Bioversity, CIAT, CIP, ICRAF, IITA, ILRI, IWMI), though links also exist with a number of others, through the CGIAR Research Programs. "}]},{"head":"Phased Workplan","index":21,"paragraphs":[{"index":1,"size":37,"text":"This new cycle of the operation of Humidtropics would be executed in 3 three-year phases, which would be the basis of research implementation and budget allocation for realization of the IDOs and targets established for the program."},{"index":2,"size":109,"text":"Phase I, Yr. 1 -Yr. 3 (20151 -Yr. 3 ( -2017)): This phase will continue the research in selected projects from the pool of ongoing research during the preface period, and will also see the unrolling of the new Flagship Project framework in all Action Areas. There will be an intensification of Action Research and the intensification of activities across all three strategic research domains cutting across all the Flagship Projects. Particular work during this period will focus on finalizing the baselines and initiating the M&E framework and data gathering as a component of research functioning. Capacity building and gender mainstreaming structures will also be incorporated in the programs."},{"index":3,"size":135,"text":"Phase II, Yr. 4 -Yr. 6 (2018-2020): During this phase, research will continue in Flagship Projects in all Tier 1 locations. This phase should see a fully functioning Flagship Project teams, with fully integrated research across all the strategic themes of Humidtropics. The period will also see an expansion of research into new sites, as Tier 2 Action Areas / Flagship Projects are launched during the period. These new projects will go through situation analysis (SRT 1) and R4D Platform establishment and functioning (SRT 3), building on the gains and experiences from the Tier one operations. Growth and progress will therefore be in two directions, (i) strengthening and intensifying research operations towards outcomes (SRT 2 & 3) in Tier 1 flagships, and (ii) accelerated kick-off of research operations (SRT 1) in the Tier 2 flagships."},{"index":4,"size":66,"text":"Phase III, Yr. 7 -9 (2021-2023): Research activities described in Phase II will all continue and be intensified into phase III. Monitoring and evaluation and data gathering towards outcome tracking will be intensified. Deliberate efforts will be made towards the strengthening of the interaction with development partners and boundary partners in the R4D functioning, and research in development efforts will continue through all the Flagship projects."},{"index":5,"size":75,"text":"Throughout all the three phases, there would be elements of capacity building and gender mainstreaming which will be incorporated as budgeted components within all projects. Research budgets will be oriented at the realization and attainment of the IDOs through Flagship Projects, with reasonable allocation made for program governance and management, and for the cross cutting activities in SRTs and in gender and capacity development. The broad brush details of the budget layout are presented below."}]},{"head":"VII. Budget","index":22,"paragraphs":[{"index":1,"size":96,"text":"The budget is a work in progress and given the flexible nature of W3 and Bilateral funding for the time being mainly focuses on W1/W2. However, most SRT activities would depend on significant W3/Bilateral funding to about 6 times the W1/W2 total per year. The special Flagship Project on cross-cutting themes is estimated at US$1,000,000 per year. Below (Table 3) is an overview of Flagship Project basic funding needs from W1/W2 based on Action Area Coordination and SRT performance followed by a timeline with growth budget based on establishing and delivering on these Flagships (Table 4)."},{"index":2,"size":37,"text":"Table 3. Each Action Area Based Flagship has the following W1/W2 investment needs per year (note this does not break things down in overheads, personnel, partnerships, travel, etc which will be done when completing the full proposal).  "}]}],"figures":[{"text":"Figure 1 Figure 1 Strategic Research Framework "},{"text":"Figure 2 Figure 2 Humidtropics Conceptual Framework "},{"text":"Figure 4 Figure 4 Sketch of the impact pathway for Strategic Objective on Sustainable Intensification, indicating links to other Strategic Objectives (SO) and geographical coverage (with the approximate number of households engaged). The numbers between brackets refer to the Theory of Change. At Action Sites, Humidtropics will facilitate the establishment of R4D platforms composed of key partners, including women and men representing farmer groups and other stakeholders from the research, development, private and government sectors [1]. R4D platforms play an essential role in identifying and prioritizing a set of potential entry points for the sustainable intensification of smallholder agriculture in Action Areas of Humidtropics [1]. A unique feature is that the entry points simultaneously cover aspects of best-bet improved productivity and natural resource integrity interventions [2]. They will be validated through participatory action research in the incubators (see Figure 6) seeking best-fit options for sustainable intensification aligned to prevailing agro-ecological potential, market access, natural resource status conditions and resource endowments of typical farming families. This component will have a specific focus on gender [3]. Scaling processes are designed so that pro-poor best-fit options are tested across a sufficient range of context diversity at Action Sites. They are defined by socio-ecological gradients and farmer typologies that integrate the gender dimension to refine our understanding of what works where and for whom. Development partners use decision support tools for best-fit interventions to scale sustainable intensification interventions from Field Sites to Action Sites This requires private and government actors to create enabling conditions, including access to inputs, micro-finance, market facilitation, and value addition opportunities [4]. Boundary spanning partners will engage with farmers and farmer associations in creating institutional innovations "},{"text":"Figure 5 Figure 5 Gender Empowerment Impact Pathway "},{"text":" gender equity issues in R4D Prioritization and setting of gender equity targets involving R4D Platforms Communication and advocacy artifacts and activities for gender sensitizationImproved status of gender equity in R4DEvaluation related to control over inputs (time, money, land) and access to benefits! "},{"text":"Figure 6 Figure 6 Stylized multi-level model of socio-technical transitions "},{"text":"Table 1 . Consolidated Income targets and metrics for 12 years IDO Targets Metric Base 3yr 6yr 9yr 12yr IDO TargetsMetricBase 3yr 6yr 9yr12yr Increasing total Increase in total farm income per farm family 0 9 25 35 44 Increasing totalIncrease in total farm income per farm family09253544 farm income expressed as a proportion (%) of current income      farm incomeexpressed as a proportion (%) of current income Lifting households Number of poor households lifted above poverty 0 2 5 11 17 Lifting householdsNumber of poor households lifted above poverty0251117 above poverty line line expressed as a proportion (%) of total      above poverty lineline expressed as a proportion (%) of total  number of poor households under poverty line      number of poor households under poverty line  "},{"text":"Table 2 . Selected characteristics of each Tier 1 Action Area. Action Area Population Land Average Average Major farming systems ( Dixon Action AreaPopulationLandAverageAverageMajor farming systems ( Dixon  (million area rainfall (mm) altitude classification % land area) (millionarearainfall (mm)altitudeclassification % land area)  people) million [LGP (days)] (masl)  people)million[LGP (days)](masl)   ha)    ha) Tropical Africa      Tropical Africa East and Central 78 29 1,347 [240] 1,566 Highland perennial (56%); Maize East and Central78291,347 [240]1,566Highland perennial (56%); Maize African Humid     mixed (23%); Highland temperate African Humidmixed (23%); Highland temperate Highlands     mixed (16%) Highlandsmixed (16%) Western African 89 51 1,727 [256] 325 Tree crops (68%) Western African89511,727 [256]325Tree crops (68%) Humid Lowlands      Humid Lowlands Tropical Americas      Tropical Americas Central American 18 19 2,044 [270] 370 Coastal plantation & mixed (63%); Central American18192,044 [270]370Coastal plantation & mixed (63%); and Caribbean     Maize-beans-livestock (35%) and CaribbeanMaize-beans-livestock (35%) Tropical Asia      Tropical Asia Central Mekong 25 40 1,834 [231] 605 Upland intensive mixed (39%); Central Mekong25401,834 [231]605Upland intensive mixed (39%);      Highland extensive mixed (29%); Highland extensive mixed (29%);      Lowland rice (26%) Lowland rice (26%)  "},{"text":"• How do institutional and other determinants of a behavior change towards sustainable intensification interact with each other?• To what extent do newly developed modes of thinking, methods, processes and approaches for embedding research in development become institutionalized in national and international innovation systems, and what factors that hinder or enable the implementation and institutionalization of the Humidtropics programme in different contextual settings?... Other domains in which global R4D activities would be covered in this project are: Other domains in which global R4D activities would be covered in this project are: (1) Capacity building and Capacity development in R4D: This will include various forms of (1)Capacity building and Capacity development in R4D: This will include various forms of  capacity development among R4D actors, as well as opportunities for involving student capacity development among R4D actors, as well as opportunities for involving student  thesis, and post-doctoral placements in the research of Humidtropics. thesis, and post-doctoral placements in the research of Humidtropics. (2) Gender and youth development: This will include specific cross cutting gender research (2)Gender and youth development: This will include specific cross cutting gender research  and capacity building. and capacity building. (3)  (3)  "},{"text":"Phased workplan covering the 9 year period from 2015-2023 • Non-CGIAR International Centers: A number of non-CGIAR centers are principal partners in this program and receive W1 and W2 funding in support of their partnership operations. These include AVRDC, Wageningen University, icipe, and FARA.• Advanced Research Institutions: This is a critically important category to ensure strategic and technical engagement with such organizations. Current partners in this category include CIRAD, CSIRO, CATIE, SLU, Wageningen, Stirling, Purdue, and FAO. • National Research and Extension Systems (NARES) institutions: Several national research organizations in all the Action Areas are partners in Humidtropics. • Development organizations, including NGOs, CBOs, etc. are key and central as boundary partners • Farmer Organizations; Women Groups, etc. • Private sector • Regional and Sub-Regional Organizations: These include organizations such as FARA, the West and Central African Council for Agricultural Research and Development (CORAF/WECARD), Association for Strengthening Agricultural Research in East and Central Africa (ASARECA), SADC, FORAGRO, IICA, APAARI, etc. Formal links with a number of these parties still need to be established. Humidtropics also has established partnerships with a broad range of organizations and projects, some of which have been integrated their research into Humidtropics. This includes: • The Africa Rising Project, led by IITA • The Sustainable Tree Crops Programme (STCP) across West Africa specifically on cocoa agroforests. Innovation platforms and capacity building, addressing value chain bottlenecks, generated lasting benefits for tree crop farm households. • The rich experiences of partners and lessons from on-going partnerships such as the Fertilizer Alliance led by IFDC, AGRA and other sub-regional organisations are important in the design and implementation of Humidtropics. • Influential for the development of Humidtropics is the integration of the sub-Saharan Africa Challenge Program (SSA-CP), which is managed by FARA. • Also mainstreamed into Humidtropics is the Consortium for Improving Agriculture-based Livelihoods in Central Africa (CIALCA). CIALCA focuses on practical agronomic interventions in banana-, cassava-and legume-based systems and works through a flexible networking of local NGOs, farmer associations, and national research organizations and universities. In summary, seven CGIAR centers work closely with at least 10 national research programs and nine public universities through five large projects (CIALCA, SSA-CP, Water and Food CP, BARNEASA and N2Africa). CIALCA operates in DR Congo, Burundi and Rwanda. SSACP is active in DR Congo, Rwanda and Uganda. Water and Food CP operates in Ethiopia and N2Africa promotes nitrogen fixing technologies in DR Congo, Kenya and Rwanda. Many of these national partners have particularly strong programs in banana management (NARO and Initiation of the Humidtropics program technically began in July 2012. An inception workshop to launch the program was held at IITA in Ibadan 19-21 November 2012 and a Program Implementation Agreement between IITA, as Lead Center for Humidtropics, and the CGIAR Consortium was signed mid-January 2013. The first 6-month period, covering July -December 2012, represented a \"getting started\" phase for the program, during which various activities including establishment of procedures and processes for the quick start-up of operations, and continuation of research activities of the respective Centers and partners, which had been mapped into Humidtropics. In the second 6-month period (Jan -Jun, 2013) efforts were directed at the establishment of management structures and the launching of the program in respective Action Areas. This period also saw the establishment of partnership contracts and various partnership 'teams' for research in the Action Areas. The period from July 2013 till end 2014 is devoted to beginning/continuation of field operations in new Humidtropics activities, while also working on the transformation of the program into a performance-based, IDO-driven program, for full kick-off in Jan, 2015. The phased workplan for this new phase of the program is indicated below.  "},{"text":"Table 4 . Projections for the next 9 years in US$ million based on rolling out Action Area based Flagship projects with an annual inflation compensation of 10% (same note as in table 3) *Governance and Management includes investments for the Advisory Committee, Executive Office (Management, Admin, Communications, Planning & M&E) and strategic investments. Flagship Projects    US$ Million    TOTAL Flagship ProjectsUS$ MillionTOTAL  Yr1 Yr2 Yr3 Yr4 Yr5 Yr6 Yr7 Yr8 Yr9 US$ million Yr1Yr2Yr3Yr4Yr5Yr6Yr7Yr8Yr9US$ million West Africa lowlands 4 4.4 4.8 5.3 5.9 6.4 7.1 7.8 8.6 54.3 West Africa lowlands44.44.85.35.96.47.17.88.654.3 East & Central Africa 4 4.4 4.8 5.3 5.9 6.4 7.1 7.8 8.6 54.3 East & Central Africa44.44.85.35.96.47.17.88.654.3 Central America & Caribbean 4 4.4 4.8 5.3 5.9 6.4 7.1 7.8 8.6 54.3 Central America & Caribbean44.44.85.35.96.47.17.88.654.3 Central Mekong 4 4.4 4.8 5.3 5.9 6.4 7.1 7.8 8.6 54.3 Central Mekong44.44.85.35.96.47.17.88.654.3 Cross cutting SRTs 1 1.1 1.2 1.3 1.4 1.6 1.7 1.9 2.2 13.4 Cross cutting SRTs11.11.21.31.41.61.71.92.213.4 West Africa Moist Savanna   4.8 5.3 5.9 6.4 7.1 7.8 8.6 45.9 West Africa Moist Savanna4.85.35.96.47.17.88.645.9 Southern Africa Moist Savanna   4.8 5.3 5.9 6.4 7.1 7.8 8.6 45.9 Southern Africa Moist Savanna4.85.35.96.47.17.88.645.9 northern Andes Transect   4.8 5.3 5.9 6.4 7.1 7.8 8.6 45.9 northern Andes Transect4.85.35.96.47.17.88.645.9 Indonesian Humid Lowlands   4.8 5.3 5.9 6.4 7.1 7.8 8.6 45.9 Indonesian Humid Lowlands4.85.35.96.47.17.88.645.9 Sub-Total 17 18.7 39.6 43.7 48.6 52.8 58.5 64.3 71 414.2 Sub-Total17 18.7 39.6 43.7 48.6 52.8 58.5 64.371414.2 Governance & Management 1.7 1.9 4 4.4 4.9 5.3 5.9 6.4 7.1 41.4 Governance & Management1.71.944.44.95.35.96.47.141.4 10%*           10%* TOTAL 18.7 20.6 43.6 48.1 53.5 58.1 64.4 70.7 78.1 455.6 TOTAL 18.7 20.6 43.6 48.1 53.5 58.1 64.4 70.7 78.1455.6  "}],"sieverID":"2f455ca3-c5ac-442a-b108-c8184b34d2bd","abstract":""}