Abstract
An impact assessment of food-securing upgrading strategies (UPS) can be performed to assess actual and potential UPS effects at the local level. We developed an assessment framework that integrates the main components of the food value chain (FVC), including natural resources, food production, processing, marketing, and consumption. The framework provides a generic template in which different impact assessment approaches can be complementarily integrated and was tested for a case study in Tanzania. The framework employs a structured sequence of steps: (1) context analysis and the development of UPS, (2) the selection and application of assessment approaches and (3) the establishment of food security criteria and UPS effects. To illustrate the flexibility and use of the framework, the inputs of three different impact assessment approaches were considered. First, data from a household survey was applied to provide baseline information at the local level. Second, scientific knowledge was employed to systematically assess the selected UPS. Third, local stakeholder knowledge was considered to identify the local food security constraints and preferences and provide assessments of potential UPS effects. The Framework for Participatory Impact Assessment (FoPIA) approach was utilized to conduct local focus group discussions, and the Scaling Up Assessment Tool for Food Security (ScalA-FS) was employed to gather scientific knowledge about specific UPS impacts. Based on the preliminary results from the framework testing, diverse stakeholder participation was found to be essential for considering local preferences and to engage stakeholders in the assessment process, whereas scientific knowledge and monitoring data were needed to complement the “local picture” with more quantifiable results. The strengths and shortcomings of the framework are discussed.

Similar content being viewed by others
References
Agol, D., Latawiec, A. E., & Strassburg, B. B. N. (2014). Evaluating impacts of development and conservation projects using sustainability indicators: opportunities and challenges. Environmental Impact Assessment Review, 48, 1–9.
Alene, A. D., & Coulibaly, O. (2009). The impact of agricultural research on productivity and poverty in sub-Saharan Africa. Food Policy, 34(2), 198–209.
Baur, H., Poulter, G., Puccioni, M., Castro, P., Lutzeyer, H. J., & Krall, S. (2003). Impact assessment and evaluation in agricultural research for development. Agricultural Systems, 78(2), 329–336.
Breeman, G., Dijkman, J., & Termeer, C. (2015). Enhancing food security through a multi-stakeholder process: The global agenda for sustainable livestock. Food Security, 7(2), 425–235.
Chambers, R. (1994). The origins and practice of participatory rural appraisal. World Development, 22(7), 953–969.
Ericksen, P. J., Ingram, J. S. I., & Liverman, D. M. (2009). Food security and global environmental change: emerging challenges. Environmental Science & Policy, 12(4), 373–377.
Ewert, F., van Ittersum, M. K., Bezlepkina, I., Therond, O., Andersen, E., Belhouchette, H., et al. (2009). A methodology for enhanced flexibility of integrated assessment in agriculture. Environmental Science and Policy, 12(5), 546–561.
Food and Agriculture Organization of the United Nations (1996). Rome declaration on world food security and world food summit plan of action. In: World food summit, 13–17 November 1996, Rome, Italy (pp. 13–17). Rome: Food and Agriculture Organization of the United Nations (FAO).
Fraser, E. D., Dougill, A. J., Mabee, W. E., Reed, M., & McAlpine, P. (2006). Bottom up and top down: analysis of participatory processes for sustainability indicator identification as a pathway to community empowerment and sustainable environmental management. Journal of Environmental Management, 78(2), 114–127.
Godfray, H. C. J., Beddington, J. R., Crute, I. R., Haddad, L., Lawrence, D., Muir, J. F., Pretty, J., Robinson, S., Thomas, S. M., & Toulmin, C. (2010). Food security: the challenge of feeding 9 billion people. Science, 327, 812–818.
Gómez, M. I., Barrett, C. B., Buck, L. E., De Groote, H., Ferris, S., Gao, H. O., et al. (2011). Research principles for developing country food value chains. Science, 332(6034), 1154–1155.
Graef, F., Sieber, S., Mutabazi, K., Asch, F., Biesalski, H. K., Bitegeko, J., et al. (2014). Framework for participatory food security research in rural food value chains. Global Food Security, 3(1), 8–15.
Graef, F., Uckert, G., Schindler, J., Germer, J., König, H. J., Fasse, A. et al. (2017). ScalA-FS: expert-based ex-ante assessments of potential social, ecological, and economic impacts of upgrading strategies for improving food security in rural Tanzania using the ScalA-FS approach. Food Security. https://doi.org/10.1007/s12571-016-0639-x.
Grimble, R., & Wellard, K. (1997). Stakeholder methodologies in natural resource management: a review of principles, contexts, experiences and opportunities. Agricultural Systems, 55(2), 173–193.
Hacking, T., & Guthrie, P. (2008). A framework for clarifying the meaning of triple bottom-line, integrated, and sustainability assessment. Environmental Impact Assessment Review, 28(2–3), 73–89.
Hermans, F., Stuiver, M., Beers, P. J., & Kok, K. (2013). The distribution of roles and functions for upscaling and outscaling innovations in agricultural innovation systems. Agricultural Systems, 115, 117–128.
Kaburire, L., Graef, F., Mutabazi, K., Makoko, B., & Swai, E. (2015). Multistakeholder platforms for sustainable upgrading Agri-food value chains in Rural Tanzania: creating a space for empowerment and effective engagement, Plant2030 Status Seminar, Berlin, Germany 4th–6th March 2015. https://www.researchgate.net/profile/F_Graef/publication/280051656_Multistakeholder_Platforms_Sustainable_Upgrading_AgriAgrifood_Value_Chains_in_Rural_Tanzania_Creating_a_Space_for_Empowerment_and_Effective_Engagement/links/55a56dee08ae00cf99c968b2.pdf.
Kangalawe, R. Y. M., Christiansson, C., & Östberg, W. (2008). Changing land-use patterns and farming strategies in the degraded environment of the Irangi Hills, central Tanzania. Agriculture, Ecosystems and Environment, 125, 33–47.
Klöpffer, W. (2003). Life-cycle based methods for sustainable product development. The International Journal of Life Cycle Assessment, 8(3), 157–159.
Kok, K., Patel, M., Rothman, D. S., & Quaranta, G. (2006). Multi-scale narratives from an IA perspective: Part II. Participatory local scenario development. Futures, 38(3), 285–311.
König, H. J., Schuler, J., Suarma, U., McNeill, D., Imbernon, J., Damayanti, F., et al. (2010). Assessing the impact of land use policy on urban-rural sustainability using the FoPIA approach in Yogyakarta, Indonesia. Sustainability, 2(7), 1991–2009.
König, H. J., Sghaier, M., Schuler, J., Abdeladhim, M., Helming, K., Tonneau, J. P., et al. (2012). Participatory impact assessment of soil and water conservation scenarios in Oum Zessar watershed, Tunisia. Environmental Management, 50(1), 153–165.
Le Bars, M., & Snoeck, D. (2007). Simulator for technical and economical modelling of farms. Centre de coopération internationale en recherche agronomique pour le développement (CIRAD). http://www.olympe-project.net/en/library/publications/iamm/articles/use_of_olympe_and_simulation_game_in_water_management.
Liwenga, E. (2003). Food insecurity and coping strategies in semiarid areas: The case of Mvumi in Central Tanzania. Stockholm: Stockholm University.
López-Ridaura, S., Van Keulen, H., van Ittersum, M. K., & Leffelaar, P. A. (2005). Multiscale methodological framework to derive criteria and indicators for sustainability evaluation of peasant natural resource management systems. Environment, Development and Sustainability, 7(1), 51–69.
Mieves, E. 2016. Farmers’ views on innovation outcomes: participatory outcome evaluation with smallholder farmer groups in Tanzania. Master thesis in Sustainable International Agriculture, Faculty of Agricultural Sciences, Georg-August-University of Göttingen and Faculty of Organic Agriculture, University of Kassel, accomplished at DITSL.
Mnenwa, R., & Maliti, E. (2010). A comparative analysis of poverty incidence in farming systems of Tanzania, Special Paper 10/4. Dar es Salaam, Tanzania: Research on Poverty Alleviation (REPOA). http://www.repoa.or.tz/documents_storage/publications/10-4%20web.pdf.
Morris, J., Tassone, V., De Groot, R., Camilleri, M., & Moncada, S. (2011). A framework for participatory impact assessment: involving stakeholders in European policy-making, a case study of land use change in Malta. Ecology and Society, 16, 19.
Müller, C. (2011). Agriculture: harvesting from uncertainties. Nature Climate Change, 1(5), 253–254.
Mwinuka, L., Schneider, I., Maeda, C., Mutabazi, K. D., Makindara, J., Graef, F., Sieber, S., Swai, E., Mbwana, H., & Swamila, M. (2015). Comparing stakeholder views for mutual acceptable food value chain upgrading strategies in Tanzania. African Journal of Agricultural Research, 10, 1376–1385.
Prato, T. (2000). Multiple attribute evaluation of landscape management. Journal of Environmental Management, 60(4), 325–337.
Reidsma, P., König, H., Feng, S., Bezlepkina, I., Nesheim, I., Bonin, M., et al. (2011). Methods and tools for integrated assessment of land use policies on sustainable development in developing countries. Land Use Policy, 28(3), 604–617.
Reif, C., Lana, M., Graef, F., Dietrich, O., Schindler, J., Helming, K., et al. (2015). Combining analytical methods for assessing food security across the food value chain: a conceptual integrated approach. Outlook on Agriculture, 44(1), 11–18.
Richardson-Ngwenya, P. (2013). Situated knowledge and the EU sugar reform: A Caribbean life history. Area, 45(2), 188–197.
Riisgaard, L., Bolwig, S., Ponte, S., du Toit, A., Halberg, N., & Matose, F. (2010). Integrating poverty and environmental concerns into value-chain analysis: a strategic framework and practical guide. Development Policy Review, 28(2), 195–216.
Roche, C. (1999). Impact assessment for development agencies: Learning to value change. Oxford: Oxfam GB with Novib.
Rockström, J., Kaumbutho, P., Mwalley, J., Nzabi, A. W., Temesgen, M., Mawenya, L., et al. (2009). Conservation farming strategies in East and Southern Africa: yields and rain water productivity from on-farm action research. Soil and Tillage Research, 103(1), 23–32.
Rounsevell, M. D. A., & Metzger, M. J. (2010). Developing qualitative scenario storylines for environmental change assessment. Wiley Interdisciplinary Reviews: Climate Change, 1(4), 606–619.
Schindler, J., Graef, F., König, H., Mutabazi, K., Mchau, D., & Kaburire, L. (2016a). Developing community based food security criteria in rural Tanzania. Food Security (this issue). https://doi.org/10.1007/s12571-016-0627-1.
Schindler, J., Graef, F., König, H. J., Mchau, D., Saidia, P., & Sieber, S. (2016b). Sustainability impact assessment to improve food security of smallholders in Tanzania. Environmental Impact Assessment Review, 60, 52–63.
Shemdoe, R. S., Van Damme, P., & Kikula, I. S. (2009). Increasing crop yield in water scarce environments using locally available materials: an experience from semi-arid areas in Mpwapwa District, central Tanzania. Agricultural Water Management, 96(6), 963–968.
Sieber, S., Jha, S., Tharayil Shereef, A., Bringe, F., Crewett, W., Uckert, G., et al. (2015). Integrated assessment of sustainable agricultural practices to enhance climate resilience in Morogoro, Tanzania. Regional Environmental Change, 15(7), 1281–1292.
Spillane, J. P., Reiser, B. J., & Reimer, T. (2002). Policy implementation and cognition: reframing and refocusing implementation research. Review of Educational Research, 72(3), 387–431.
Thirtle, C., Lin, L., & Piesse, J. (2003). The impact of research-led agricultural productivity growth on poverty reduction in Africa, Asia and Latin America. World Development, 31(12), 1959–1975.
Uthes, S., Fricke, K., König, H., Zander, P., van Ittersum, M., Sieber, S., et al. (2010). Policy relevance of three integrated assessment tools - a comparison with specific reference to agricultural policies. Ecological Modelling, 221(18), 2136–2152.
van Ittersum, M. K., Ewert, F., Heckelei, T., Wery, J., Alkan Olsson, J., Andersen, E., et al. (2008). Integrated assessment of agricultural systems - a component-based framework for the European Union (SEAMLESS). Agricultural Systems, 96(1–3), 150–165.
Acknowledgements
This publication is part of the Trans-SEC project (www.trans-sec.org). The German Federal Ministry of Education and Research (BMBF) funded the Trans-SEC project, and the German Federal Ministry for Economic Cooperation and Development (BMZ) co-financed the Trans-SEC project. The views that are expressed in this paper are the sole opinions of the authors and should not be regarded in any circumstance as official positions of the BMBF and BMZ. The abstract of this article was previously published online in the Deliverable 8.1.1 of the Trans-SEC homepage. The anonymous reviewers are thanked for their valuable suggestions.
Author information
Authors and Affiliations
Corresponding author
Ethics declarations
Conflict of interest
The authors declare that they have no conflict of interest.
Rights and permissions
About this article
Cite this article
König, H.J., Graef, F., Schindler, J. et al. Combining participatory, qualitative and quantitative methods for impact assessment of food value chains into an integrated framework. Food Sec. 9, 1309–1321 (2017). https://doi.org/10.1007/s12571-017-0739-2
Received:
Accepted:
Published:
Issue Date:
DOI: https://doi.org/10.1007/s12571-017-0739-2


