Report of a Workshop INTERNATIONAL WORKSHOP ON AGRICULTURAL RESEARCH MANAGEMENT International Service for National Agricultural Research JMU L IB R A R IE S The International Service for National Agricultural Research (ISNAR) began operating at its headquarters in The Hague, Netherlands on September 1,1980. It was established by the Consultative Group on International Agricultural Research (CG IA R), on the basis of recommendations from an international task force, for the purpose of assisting governments of developing countries to strengthen their agricultural research. It is a non-profit autonomous agency, international in character, and non-political in management, staffing and operations. O f the 13 centers in the C G IA R network, ISNAR is the only one that focuses primarily on national agricultural research issues. It provides advice to governments, upon request, on research policy, organization, and management issues, thus complementing the activities of other assistance agencies. ISNAR has active advisory service, research, and training programs. ISNAR is supported by a number of the members of C G IA R , an informal group of approximately 43 donors, including countries, development banks, international organizations, and foundations. Citation: International Service for National Agricultural Research. International Workshop on Agricultural Research Management. October 1987. The Hague, Netherlands. Report of a Workshop INTERNATIONAL WORKSHOP ON AGRICULTURAL RESEARCH MANAGEMENT 7 to 11 September 1987 The Hague, The Netherlands isnar International Service for National Agricultural Research Table o f contents Page Program 5 Overview, Discussion Summary, and Conclusions 7 ISSUES IN AGRICULTURAL RESEARCH POLICY AND PLANNING Diagnosing Constraints in Agricultural Technology Management Systems, by H. Elliott 29 Institutional Reorganization of Agricultural Research in Uruguay, by A. Rabufetti 41 Strategic Planning of a National Agricultural Research System, by G . Rocheteau 45 Strategic Evolution of Planning at the National Institute of Agricultural Research in Niger, by I. Soumana 55 Agricultural Research Planning, Monitoring and Evaluation in Viet N am , by Nguyen Trong Hoan 59 Priority Setting and Resource Allocation in Agricultural Research at the National System Level, by E. Javier 63 Priority Setting in National Agricultural Research Systems, by G. Norton and P. Pardey 75 Priority Setting in the Tanzania Livestock Research Organization by A. Macha 83 LINKAGE ISSUES IN RESEARCH ORGANIZATIONS ISN A R Study on the Organization and Management of On-Farm Client-Oriented Research in NARS, by D. Merrill-Sands 87 Organization and Management of Linkages Between On-Farm Research and Extension: Lessons from Zambia, by L. Singogo 91 Organization and Management of Linkages Between On-Farm and Research Station Scientists: Lessons from Zam bia, by S. Kean 95 Overview of ISNAR Approach to Developing Guidelines for Strengthening the Integration of On-Farm andOn-Station Research, by D. Merrill-Sands 101 Research-Technology Transfer Linkages, by D. Kaimowitz 109 The Jordanian Experiment in Agricultural Research and Extension Linkage; and Analytic Overview, byU. Bilbesi 115 Agricultural Research Networks: An Analytical Framework, by R. Martinez-Nogueira 119 Chile’s Experience in Agricultural Research Networks, by S. Bonilla and A. Cubillos 131 IMPROVING MANAGEMENT PROCESSES Management Information Systems and Their Uses, by B. Mook 137 Research Information Systems for Agriculture and Natural Resources in The Philippines, by R. Valmayor andC .M anon 153 Program Formulation and Program Budgeting, by P. Marcotte 157 Program Budgeting in The Gambia, by J . Sands 167 Monitoring and Evaluation in NARS, by D. McLean 173 Organization and Implementation of Research Evaluation and Monitoring in the ICAR Research System by R. Acharya 183 MANAGEMENT OF HUMAN AND PHYSICAL RESOURCES Human Resources Planning and Management: a Review of ISNAR Activity, by P. Bennell 187 Agricultural Research in Algeria and its Human Resources, by R. Kellou 191 General Strategy for Physical Resources Planning and Development: Guidelines, by G. Hariri 195 Agricultural Research System in Egypt, by A. Shehata 203 ORGANIZING AGRICULTURAL RESEARCH IN LARGE NATIONAL SYSTEMS Structure and Organization in National Agricultural Research Systems, by H. Jain 209 Organization and Structure of the National Agricultural Research System in China, by Fang Zhou 219 APPENDIX List of Invited Participants 225 List of Participating ISNAR Staff Members 231 PROGRAM INTERNATIONAL WORKSHOP ON AGRICULTURAL RESEARCH MANAGEMENT ISNAR, The Hague, Netherlands September 7-11,1987 Monday 7 September THEME: ISSUES IN AGRICULTURAL RESEARCH POLICY AND PLANNING 08:30-09:00 Welcome and Introduction A. von der Osten 09:00-10:30 Diagnosing Constraints in H. Elliott/A. Rabufetti Agricultural Technology Management Systems 10:30-11:00 Break 11:00-12:30 Strategic Planning for the System G. Rocheteau/I. Soumana 12:30-13:30 Lunch offered by ISNAR 13:30-15:30 Priority Setting in E. Javier/G. Norton/ Agricultural Research A. M. Macha 15:30-16:00 Break 16:00-18:00 Working Groups Tuesday 8 September THEME: LINKAGE ISSUES IN RESEARCH ORGANIZATIONS 08:30-10:00 On-Farm Client-Oriented Research D. Merrill-Sands/ S. Kean/L. Singogo 10:00-10:30 Break 10:30-12:00 Research-T echnology D. Kaimowitz/ Transfer Linkages U. Bilbesi/G. Montes-Llamas 12:00-13:30 Lunch Break 13:30-15:00 Networking R. Martinez-Nogueira/S. Bonilla 15:00-15:30 Break 15:30-17:30 Working Groups 19:00 Dinner Hosted by ISNAR Wednesday 9 September THEME: IMPROVING MANAGEMENT PROCESSES 08:30-10:00 Management Information Systems B.T. Mook/R. Valmayor and Their Uses 10:00-10:30 Break 10:30-12:00 Program Budgeting P. Marcotte/J. Sands 12:00-13:30 Lunch Break 5 13:30-15:00 Monitoring & Evaluation D. McLean/R.M. Acharya 15:00-15:30 Break 15:30-17:30 Working Groups Thursday 10 September THEME I: MANAGEMENT OF HUMAN AND PHYSICAL RESOURCES 08:30-10:00 Human Resource Development P. Bennell/R. Kellou and Management 10:00-10:30 Break 10:30-12:00 Management of Physical Resources G. Hariri/A.R. Shehata (Planning & Development) Agricultural Research Planning, Monitoring and Evaluation in Vietnam Nguyen Trong Hoan 12:00-13:30 Lunch Break THEME II: ORGANIZING AGRICULTURAL RESEARCH IN LARGE NATIONAL SYSTEMS 13:30-15:00 The Case of The People’s H.K. Jain/F. Zhou Republic of China 15:00-15:30 Break 15:30 -17:30 Working Groups Friday 11 September THEME: CONCLUSION AND AGENDA FOR ACTION 08:30 -10:00 Presentation of Working Group Reports 10:00-10:30 Break 10:30-12:00 Continuation of Working Group Reports 12:00-12:30 Closing A. vonderOsten 12:30 Departure; Meetings with ISNAR staff; or Field Trip 6 OVERVIEW, DISCUSSION SUMMARY, AND CONCLUSIONS INTRODUCTION participants to ISN A R’s staff in both plenary and working group discussions on each topic. This feedback The workshop brought 29 participants from 27 countries helps ISNAR to validate the conceptual framework of together with ISNAR staff in a forum to discuss a range its work and improve the design of management tools for of issues facing them as directors of national agricultural handling research policy, organization, and research systems (NARS). It also enabled ISNAR to management in collaboration with the NARS. have a program consultation with its partners. This provides critical assessment and feedback on work which In this overview and discussion summary we have very is done at ISNAR and in collaboration with NARS. briefly outlined the papers and drawn together the points to emerge from the plenary and workshop discussions. At last year’s workshop (1986), in which ISNAR’s This follows the form of the workshop and deals with strategy was discussed, the research directors present each theme and topic in turn. Naturally, there was confirmed the validity of the 12 critical factors for overlap in the discussions. In order to produce a more strengthening NARS as identified by ISNAR. ISNAR’s coherent report, the points made have been grouped agreed medium-term plan is to focus, as a priority, on six under the topic to which they relate, even if they were of the critical factors falling into three broad areas: made during discussion of a different topic. The research policy, organization, and management. The six conclusion examines the results of the workshop and factors are: formulation of agricultural research policy - highlights the recommendations for ISNAR’s program priority setting, resource allocation and long-term of work. planning; structure and organization of systems; linkages between NARS, the technology transfer system and The rest of this volume contains edited versions of the users; program formulation and program budgeting; papers presented at the workshop, in which you will find monitoring and evaluation; development and more detailed discussion of the topics highlighted here. management of human resources. THEME ONE - ISSUES IN AGRICULTURAL As ISNAR’s Director General Alexander von der Osten RESEARCH POLICY AND PLANNING explained, the workshop themes were selected to share ISNAR’s current work on some of these critical factors Diagnosing Constraints in Agricultural with its partners in the NARS and to enable NARS Technology Management Systems (ATMS) leaders to exchange experiences among themselves. Agricultural research takes place within social, The workshop sessions were grouped around five economic, political, and historical settings, which differ themes. Within each theme a number of topics were from country to country. Each research system faces discussed, first with ISNAR presenting an overview of constraints related to the broader environment in that its experience or reporting work in progress and followed country. While measures to overcome these constraints by presentation by NARS leaders giving the NARS’ must be tailored to each NARS, the approach to experience. analyzing them can be systematic and used in many countries. The ATMS approach, discussed in Dr. An essential part of the workshop was feedback from the Howard Elliott’s paper, is a method for analyzing the 7 constraints facing a research system and for generating discussed how the program was being implemented, the the information needed to evaluate alternative solutions. importance given to the role of the producers, and the difficulties encountered. He discussed ISNAR’s catalytic Elliott focused on the first level of an ATMS analysis role, with regular visits from ISNAR staff helping to which provides a holistic view from three perspectives: concentrate attention on the institutional reform, and functional, historical (events), and policy. stressed the need for continued contacts. The functional analysis examines the objective of the Discussion system in terms of 13 key functions any ATM system must perform. These were illustrated by a case study in A T M S Concept. Overall there was agreement that the Panama. These functions can be related through a ATMS concept was useful because it took a systems responsibility chart to different groups or organizations view, emphasized the broader environment, and led in the system and the mechanisms they use to carry out naturally to further investigations into certain linkages the functions. Examining responsibilities allows and functions of the NARS. It was recognized that study identificatiion of structural or procedural weakness in of this broader environment was not ISNAR’s primary areas where contraints exist. Changes in structure or the mandate area even though its impact on research must mechanisms organizations use become alternatives for be understood. It was, therefore, a useful complement improvement. to ISNAR’s primary focus on the organization and management of NARS, but it should not become a The ’’events” analysis establishes a database of separate focus of attention. technological, institutional and policy changes in the system. By arranging events chronologically, and A systems perspective helped create an awareness of the relating them to each other, the analysis brings out importance of not overemphasizing any one part of the interactions between policy, institutional and technical system, so that this developed beyond the point at which changes. Once established, the database only needs to other parts could support it. An example was given of a be updated. proposal for a major extension project which would have gone far beyond the NARS’ research capacity to support The policy analysis examines policies that constrain the it with new technology to transfer. impact of the ATMS. Those amenable to change from within the system and those that have to be lived with The discussants emphasized the need to attack the until wider policy changes are made can be identified. limiting factors in the ATMS first. If a technology transfer network is hampered by a lack of technology, Elliott sees this analysis as useful in putting an then the first priority must be to make the technology- agricultural research system into a broader policy generating system function. environment. The method provides the diagnosis and information needed to generate alternative solutions, There is, everywhere, the problem of defining and which are useful in strategic planning, as well as in building an ATMS in reality, since the three technology providing the necessary background for a detailed subsystems - users, generators and transfer agents - are review of the NARS. seldom properly linked in a coherent system. Uruguay Resource Requirements. There was concern that a complete ATMS approach required analysis of many Dr. Armando Rabuffetti discussed the evolution of the problems and the skilled manpower for doing so. It Uruguayan research system in its broader policy needed to be kept going and updated. It also needed to environment and the current reorganization of be integrated into the national structures so that they agricultural research. would gain commitment to the results of the analysis. The ATMS approach is suited for use by a national study The Uruguayan research system is one of the older team or, if carried out by outside agencies, should systems in Latin America and has gone through several include nationals to enable a holistic picture to be periods of growth and recession. By the mid 1980s the obtained and help build commitment to any system faced major limitations, and a major program to recommendations it might make. overcome these was begun, involving reorganization, human resources management and development, and Impact. There was also concern about its practical developing support for research. Dr. Rabuffetti impact on NARS managers. One impact claimed was that clear analysis of the constraints could help in and conditions of donor support; the need to generate dialogue with policy makers about research and also with national support. donors. It should also generate information which enables a range of alternative proposals to be developed Strategic Planning for the System and evaluated. As the ATMS approach makes clear, a NARS operates A TM S Methodology. Most discussion about the in a broader policy environment. This environment is methodology focused on the functional analysis. The complex, changing, and difficult to forecast. Strategic consensus was that focusing on functions was useful, planning is a method developed initially for industrial since functions were more permanent than enterprises influenced by a changing environment in organizations. In practice, however, structures often which the future was difficult to forecast but important have to be accepted as given and any improvements to predict with some degree of confidence. designed to be made within the existing structure. In its work with NARS, ISNAR may become involved in Responsibility charts were accepted as a systematic way assisting with a strategic planning exercise. Strategic of recording information and studying the role of key planning as a process is also on ISNAR’s research agenda organizations in the system. The 13 key functions used in to see how it can be developed further and adapted for them were considered adequate to describe a generic NARS. Dr. Guy Rocheteau’s paper is an initial ATMS. Some were obviously outside the influence of reflection on this work and does not present a model research per se, but it was recognized that some parts of ready for use in any given country. the broader ATMS must have influence on even these. Coordination is essential for the performance of several In strategic planning, the future stems from a conscious functions, including setting goals for the agricultural desire to achieve a certain position, a ’’profound sector, executing research, organizing donor scenario” . It is a process in which there is an initial involvement, and taking into account the needs of diagnosis, evaluation of alternative scenarios, and farmers in planning and technology generation. development of an action plan to reach the preferred scenario. The scenarios of future conditions are based The historical perspective could be given through an on rational choices related to desired objectives. events analysis or chronology. It was recognized that this Usually, there are two main approaches to action, one could be a complex task, given the wide range of involving reorganization, the other mobilization of historical information, especially in large or old systems. resources. It can help in analyzing relations and identifying points to watch. However, it must be used with care and must Rocheteau discussed five stages in strategic planning. avoid too firm conclusions. Once created, the database First, organizing the planning, assigning responsibilities, may save staff time if used as a briefing tool for visiting time scale, etc.; second, a strategic diagnosis, describing evaluation or project-design teams and, as such, a NARS and analyzing the present position; third, formulating might find it worthwhile establishing one itself. the long-term objectives, i.e., the desired scenarios; fourth, developing strategies to go from the present to N A R S ’ Link to Policy. In discussion, it was stressed that the planned position; and, finally, implementing the plan NARS influence on policy making is weak. Research through short-term action plans. was felt to have the expertise to comment on system- wide issues and influence policy but needed to explore Niger appropriate means to do so. NARS must interact with policy making but usually in a consultative or In Niger, as Dr. Idrissa Soumana explained, an attempt informative, rather than participatory, role. NARS has been made to apply strategic planning to the NARS. leaders must decide how much staff time and resources A National Institute for Agricultural Research was set to give for providing information and advice to policy up in 1975 to direct the NARS. It developed to include makers at the expense of research. six research departments and various research stations, mainly in the west of the country. Finance and Aid. Four critical issues in finance and aid were identified in the discussion: the absorptive capacity A Niger team has gone through a series of strategic of NARS for aid and technical assistance; the planning steps with ISNAR to produce a long-term plan sustainability of systems supported by donors; the nature with targets, and is now working on various short-term 9 implementation stages. Some measure of - to improve links between the research and the transfer reorganization, with new bodies created to oversee of technology processes. research and a restructuring of the research system, has been carried out, as well as attempts to mobilize existing Limitations and enabling conditions. Two limitations in resources more effectively. strategic planning were noted. First, the amount and quality of information collection, processing, storage, Discussion and retrieval required. If these requirements are not met, planning objectives and recommendations for Niger. With respect to reorganization, some participants change may be inaccurate, erroneous, or irrelevant. felt that the three levels of council, board, and Since small NARS, in particular, have limited resources committee, which were introduced, seemed much more to gather the information required, this may be a complex than what it replaced. Others wondered how particular limitation for them. Second, in some the university, regions, producers, and donors were countries, governments are not deeply committed to involved in the research process. strategic planning. Dr. Soumana pointed out that the planning system fitted Two dangers in strategic planning were also mentioned: the specific conditions in Niger, met the need to involve an excessive formality in the procedures, and various parties, ensured a voice for research at the bureaucratization of the process. These were not felt to highest levels, and avoided the rigidities involved in a be impediments if three enabling conditions were met: departmental structure by using a program approach. In determining research needs, the process started in the 1. Seeing strategic planning as part of a continuing regions by drawing upon village and district-level process, integrating planning, programming, and organizations, and this involvement of relevant evaluation procedures. The strategic plan has to be organizations and people continued up to the national reanalyzed continually. level. Research expresses its needs to the Ministry of Planning, which contacts donors who discuss with the 2. Complementing the long-term strategic plan by a Ministry any project of interest. short-term action plan. This reduces the uncertainties inherent in long-term planning statements. Value o f strategic planning. In discussing SP, there was a strongly expressed, generally agreed view that farmers’ 3. Ensuring that those who have to implement the plan needs must be represented in the planning process. This participate in its preparation. poses practical problems of how to get the participation of producers or a fair representation of their views, Small countries. There was some discussion about something participants wanted specific advice about, as whether there was a difference between strategic they had found it difficult to achieve. planning in small and large countries. It was felt that while there might be differences in attitude to strategic Strategic planning was seen as a powerful tool: planning, the nature of strategic planning as a process seems to be similar in both cases. - to enhance research coordination at a national level; - to ensure that research institutions are not diverted Universities. In planning for a rational use of all research entirely by short-term operational issues; resources in a country, the issue of harmonizing research - to improve the image and credibility of the NARS proposals from the universities and research institutes among its clients and at governmental level; as such it stimulated considerable discussion. In Algeria, for is an asset for NARS in fund raising; example, guidance is given to people doing master’s and - to ensure continuity of research programs since a clear doctoral theses in choosing their topics so they fit into plan gives NARS bargaining power, with governments the areas planned for national research. While the need and donors, to defend the agreed programs; for greater synergy between universities and research - to improve efficiency in research monitoring and institutes was agreed, it was felt that often universities evaluation; either focus on more basic or purely didactic research - to ensure that not only technical but also socio­ than research institutes. This can be seen as economic factors are taken into account in research complementary to the institutes’ work. Where funding programming; for research goes via the institutes, then they can draw in contributions from the universities. A strategic plan must consider the structural and operational issues in 10 bringing universities and research institutes closer He discussed various ways of setting research priorities together. and expressed a strong preference for using commodities, because they appear best suited for linking Recommendations. It was recommended that ISNAR do the research agenda to national development goals. more work on the applicability and the necessary However, since not all development objectives relate to adaptation of strategic planning methodologies in commodities perse, there must be a parallel set of developing countries’ NARS and that research managers priorities for non-commodity concerns. increase their own knowledge of strategic planning. Ultimately, priorities must be related to projects, Priority Setting in Agricultural Research activities, and resources. Priority setting simply orders research activities in a list of descending importance but Within an overall plan, NARS need to establish does not translate itself automatically to resource priorities for research. The need for improved priority- allocation recommendations. It says where priorities lie, setting procedures and various methodologies was but does not say how much and how fast one should examined in Dr. George Norton’s paper. He discussed spend in the area. Unfortunately, there is little guidance four types of procedure: use of weighted criteria models, available on this aspect in the literature. benefit-cost (expected economic surplus) analysis, mathematical programming, and simulation modelling. The practioner’s bias came up clearly when Dr. Javier He focused on the first two as having the best potential introduced the notion of organizational priorities as a set use in developing countries and looked at work done in of institutional concerns parallel to the program the Dominican Republic, Ecuador, and Uruguay in priorities. Program priorities are concerned with long­ 1986-87 with weighted criteria models, and in Peru in term, strategic subject-matter decisions, while 1985 with the expected economic surplus analysis. organizational priorities have to do with tactical aspects of running the organization and institutional strategies ISNAR worked with the directors of three systems to for survival. Both, however, are essential. establish the goals, key criteria, and put weights on them. A spreadsheet program in a microcomputer was Tanzanian Experience used to analyze the initial results, and in an interactive way policy makers were given the chance to re-examine Dr. A. Macha described livestock research in Tanzania the weights they assigned to different criteria. Here, and discussed how priorities in livestock research policy Norton warned against the temptation to add in criteria had shifted from dealing with epidemic diseases to without really considering their meaning for research, animal nutrition. However, there was no rigorous system which may occur because of the ease of manipulating for setting priorities. data with the computer. Such methods cannot be applied in a mechanical way. After the Tanzania Livestock Research Institute was set up in 1980, it analyzed and reviewed past results, and ISNAR plans to refine the existing work, test it in some drew up a five-year research program. It was case studies, and develop a computer program and handicapped by the lack of a clear national policy on manual for use by NARS which would be supplemented research, a lack of consensus about what should be done, by training. by frequent changes in policy and personnel, and a lack of basic infrastructure to sustain basic livestock research. A Practitioner’s Perspective A further fundamental problem was the lack of inputs by Dr. Emil Javier, drawing from his experience in the the livestock owners. If these were available, researchers Philippines, approached the task of priority setting as a could recommend packages from existing knowledge. practitioner. He proposed the joint drafting of Thus priority setting has to take place within constraints agricultural development objectives with the Ministry of imposed by the system. Agriculture (MOA) which describe the Ministry’s current to medium-term targets in more or less Discussion operational terms. These statements, through which the research community may influence the M O A ’s There was considerable discussion about various priorities, can provide the common basis for planning, organizing, and implementing research and extension. 11 influences on research priority setting, as well as about for small producers was one of the main criteria and that the methodology itself. the relative weight given to this criterion should reflect the importance that the research planners give this issue. National goals. The central influence must be national In fact, where farmers are not organized to participate in goals. Many countries had chosen food self-sufficiency a priority-setting process, the explicit inclusion of their as a national goal but had not achieved it. Participants interests in a formal approach may help to give them the discussed various reasons for this: representation they lack. - Too often priorities were set but not matched by the Knowledge and information requirements. Some allocation of resources to carry them through. participants highlighted a problem for researchers - Priority was not given to research, with many choosing priorities or a research topic, especially in governments saying it is important but not giving young countries, which lacks knowledge of the field in sufficient funding to support their words. which the researcher has to work, and about what - The priorities have not been correct for the given research has been done elsewhere. A researcher’s prior system. There may be a lot of technology available but training and not his knowledge of farmers’ problems is not the inputs at the farm level to use it. too often the guide in choosing a research problem. - To have self-sufficiency as a priority does not clearly define research priorities. It is too vague. The question For NARS, lack of dependable data is a limitation in is, priority for whom? setting priorities. Quite obviously, whether one goes through a formal or informal route in priority setting, It was explained that in the three ISN AR case studies the outcome can only be as good as the information on discussed, food self-suffiency was not included as a which it is based. separate goal or criterion. Since the criterion of comparative advantage assumes that self-sufficiency was Complexity and flexibility. There was some concern that not wanted for its own sake but to improve the the formalized priority-setting methods described seem nutritional status of the population, self-sufficiency is to make setting priorities more complicated. All included within the other criteria. To introduce it participants stressed the need for simplicity. However, it separately would lead to double counting. appeared that they were prepared to accept that making the process of setting priorities more formal and External influences. Another important influence on systematic is a step in the right direction. It forces priorities and the allocation of resources can be the effect researchers to assess more critically their own work and of donors and international organizations, like the also serves as a convenient tool for demonstrating international agricultural research centers(IARCs). intellectual rigor, thereby generating respect from other Each one promotes research on the commodities of professionals in the planning and finance ministries and interest to itself. ISNAR was asked how it could help elsewhere. resist this so that NARS can coordinate their research priorities. It was suggested that one way is for countries One participant suggested approaching priority setting to set their own priorities first. These can be used to alert as a set of decisions which could be treated in a donors and IARCs to national needs and in planning a hierarchical manner. Some decisions are made at higher proper division of labor between the national and levels of aggregation by higher levels of authority and international institutes. Setting out the criteria for others are treated as downstream decisions, made at working out priorities is also good, as it helps to be more lower levels of organization but within the framework of precise about the basis for taking decisions. In setting the broader decisions. Generally, however, prioties the priorities, participation of policy makers in weighting involve both bottom-up and top-down decisions. different objectives is critical. An organizational necessity that needs to be reflected in Small farmers. There was much concern about the needs the priority-setting exercise is provision for sufficient of small farmers and how they entered the priority- flexibility to allow research organizations to respond to setting process. Participants felt the presentations did changing conditions which were unforeseen when the not appear to stress the need to make sure they were priorities were set. involved. Linking priorities with resource allocation. It was hoped It was explained that in the three case studies, concern that ISNAR could devote some effort to examining how marked priorities are or can be linked to resource 12 allocation. In the eventual allocation of resources, the adaptive research planning team, with provincial sub­ capacity of certain activities to effectively absorb teams, has been set up to deal with on-farm research. It resources must also be taken into account. links with both the extension staff and the commodity and specialist research teams based in the research IS N A R ’s plans. The participants supported ISNAR’s institutes. They described how the relationships between plan to develop a set of methodologies requiring each of these had developed, the managerial problems, different levels of sophistication to enable NARS to and how some of these were being resolved. adopt the methodology that suits their needs and capabilities. Discussion The discussion focused on some issues relevant to THEME TWO - LINKAGE ISSUES IN integrating O FC O R in NARS. RESEARCH ORGANIZATIONS Specialized versus generalized implementation o f On-Farm Client-Oriented Research (OFCOR) OFCOR functions. No firm conclusion emerged from the discussion about whether OFCO R, as a research OFCOR is a research strategy that links research with strategy, should be implemented by a specialized farmers. In this strategy, problem diagnosis and the OFCO R team/unit or whether it should be a strategy design and development of technology occur at the farm which is adopted by the whole research institute. level. Many countries and organizations have evolved However, most participants agreed that the desired long­ different approaches and institutional arrangements to term objective should be to have O FCOR integrated do this. In January 1986, ISNAR began work on within NARS as a general approach to research, with OFCOR in order to understand the critical policy, most scientists carrying out both on-station and on-farm organizational, and managerial factors relevant to research. Where there is institutional instability, implementing, integrating, and sustaining OFCO R however, it might be more effective to have a specific within a NARS. organizational unit with assigned O FC O R functions. In reviewing the work in progress, Dr. Deborah Merrill- Integration o f on-farm and on-station research. The Sands examined seven functions OFCO R could perform participants cautioned against making a strong when integrated into a NARS and ISNA R’s attempt to distinction between on-farm and on-station research. synthesize the experience of various NARS with They should be closely integrated to stimulate a two-way OFCOR. Nine case studies, three each from Latin flow of information. Information from on-farm research America, Africa, and Asia, have been undertaken with should be a critical input into priority setting and national researchers from the countries involved planning of station-based research. responsible for developing each study. Appropriate functions fo r on-farm and on-station The aim is to produce, first, practical guidelines and research. There was a general consensus that the training materials for research managers about feedback function of on-farm to on-station research was organizing and managing OFCOR; second, analytical of primary importance and the salient feature of papers synthesizing the lessons that can be drawn from OFCOR. In practice, the feedback function normally the case studies; and, finally, the case studies themselves evolves out of the testing function. The functions might as independent contributions to knowledge. What is best be planned in a stepwise manner. clear from the case studies so far is that the biggest problem in developing the linkages is the need for them It was also argued that on-farm research should play a to be intensively managed. feedback role to policy makers as well. Zambian experience Appropriate time frame fo r implementing OFCOR. It was noted that too often O FC O R has been promoted as Mr. Stuart Kean and Mr. Lingston Singogo reported on a research strategy which will deliver quick results. This two aspects of the Zambia case study. Mr. Kean is a serious misconception, especially in those areas discussed the linkages between station-based and on- where there is limited relevant technology ”on-the-shelf” farm researchers and Mr. Singogo the linkage between The perpetuation of ’’false promises” and subsequent on-farm research and extension. In Zambia a special 13 disillusionment has been an important factor inhibiting management workshop in 1986 about ways to improve the successful integration of O FC O R as a research’s links with technology transfer. Dr. David complementary research strategy in NARS. Kaimowitz outlined the planned research and progress so far. Human resource needs. The participants discussed the disciplines and professional level of staff required for The study includes a literature review, issues papers, OFCOR. The general conclusion was that when a team case studies from six countries in Latin America, Africa, approach is used to implement OFCO R, the team should and Asia, and secondary studies on specific issues. In be kept small - agricultural economist, agronomist, and each phase there will be collaboration with NARS. perhaps animal scientist - but be able to draw on specialists in other disciplines as needed. This would As with the O FC O R project, the aim is to advance require support from senior research managers, who understanding and produce diagnostic tools to help must also give attention to team building, since good identify problems and policy guidelines for research teamwork does not happen spontaneously. It requires managers on how to resolve problems. The results will management. be disseminated through project documents, conferences, ISNAR’s advisory service, and training Although senior scientists should know farmers’ materials. circumstances, they are not likely to be permanently outposted as field staff. Consequently, they must devise The term ’’technology transfer” rather than ’’research- mechanisms to provide technical support and extension” was chosen deliberately because extension supervision for outposted junior staff, as well as services are not the only institutions involved in adequate incentives and compensation for some of the technology transfer, and they have other functions hardships, such as professional isolation and difficult besides technology transfer. The linkages will be living conditions. examined from i) an institutional or structural point of view - who will do what, with what, under what Commitment from research management. There was authority, and with what incentives - and ii) a functional general agreement that the successful integration of viewpoint - examining the activities required to bridge O FCO R, whether as a generalized or specialized the gap between technology generation and transfer. complementary research strategy, requires the commitment of senior research managers. This can be a The institutional linkages will be examined at an ATMS, problem where there is a rapid turnover of senior-level specific institution, and individual research or managers. technology transfer worker level. In general, linkage problems appear to fall into four main types: structural/ IS N A R ’s approach. The participants endorsed ISNAR’s organizational; motivational/incentive; resources; approach to developing guidelines for the organization communications. and management of O FC O R within NARS as having the potential to develop recommendations relevant to a Jordanian experience wide range of countries. The products from the study were expected to be useful to NARS leaders and to Dr. Usama Bilbesi outlined how, in Jordan, the address priority needs. Participants felt it was better not government changed extension from a general rural to imply such a strong separation between on-farm and development focus to an agricultural one, linked this to on-station research. It was felt that the presentions had research and then later to development project put too much emphasis on a structural separation implementation. This was achieved through the between on-station and on-farm research as an issue. expansion of the Department of Research and Extension The attempt to define the appropriate functions of these into a National Center for Agricultural Research and the and advise on the appropriate place of on-farm research Transfer of Technology and grouping this with project within the research process was strongly supported. implementation through the creation of a Department of Projects. This department has considerable powers Research-Technology Transfer Linkages which cut across several ministries, more flexible administration, and a revolving fund to serve as financier On 1987, ISNAR initiated a three-year research project for research and transfer of technology projects. on research-technology transfer linkages as a direct result of the concern of research managers at the 14 Discussion Extension workers can more easily evaluate producers’ problems if they live with the producers and are in There was a wide-ranging discussion which reflected the constant contact with them. It was said that extension concern of the participants that research results must services, as well as research, must learn to identify and reach farmers. evaluate producers’ problems and to organize their programs accordingly. Testing technology on farmers’ Learning from the experience o f others. Several fields helps link farmers, extension, and research participants referred to the need to learn from the together. Another way to bring them together in some experience of neighboring countries; while others countries is use of pilot farms for adaptive research, referred to difficulties faced earlier by various now- validating research results, and demonstrating them to developed countries, how they had resolved them, and farmers. One participant reported how in his system, in how the developing countries could learn from such order to try to improve the research-extension linkage, experience. they offered researchers special training and then let them serve as extension staff. They could then easily talk Linkages are part o f a broader ATM S. The discussion to researchers, they spoke the same language, and this illustrated that linkages are part of a broader ATMS. helped the linkage a lot. Pricing policy and other agricultural policies strongly affect technology adoption and, hence, the effectiveness Credibility. Extension workers need to be credible to of the technology transfer system, and this, in turn, their clientele. Several factors which influence this affects the linkages between research and technology credibility were discussed. Most extension workers have transfer. The existence of an effective infrastructure for no specific training in extension. In colleges and input distribution and product marketing is also crucial. universities the curi icula are biased toward research- The possibility of effectively using a wide variety of oriented work, yet their graduates go into extension as research results will be limited if there is no strong well as research. Thi extension workers are at a national system for credit, seed, agrochemicals and disadvantage and are iess credible to the clientele. agricultural machinery production and distribution. Extension workers are also often younger than the These concerns reflect the need for a systems approach. producers, with little practical farming experience, and this reduces credibility. Rural-urban migration has an The need fo r regulation. One important function in this effect too, as it leaves the elderly in villages: they are broader system identified in the discussion was more difficult to change and are more difficult for young regulation. It is an essential function which can help extension workers to deal with. safeguard farmers’ interests by preventing poorly tested results from being transferred. In one country, for Communication. There was concern that agricultural example, research released a rice variety which greatly research results do not end up in the library, but with the improved yields, but later proved to be quite susceptible producers. Communication channels should not just to disease problems and put in jeopardy the country’s operate in closed systems, through committees, formal entire rice crop. Since then, researchers have learned contacts and reporting, but also through open systems, that participation by extension and producers is in which the results of research, technology-transfer necessary before making any final recommendations. In experience and farmers’ experience are widely broadcast another country, they set up a steering committee to try so other researchers, technology transfer workers and to regulate what technologies are transferred and by farmers may self-select anything they are interested in whom, to protect the producers’ interests. from the information disseminated. This requires mechanisms and budgets to ensure that information is Input, feedback, and participation. Within the overall disseminated widely. ATMS the need for contact between the different parts was emphasized. National policy makers set general Structure and organization. Research, extension, and research priorities, but within these, researchers must farmers must be conceived as part of one integrated work jointly with farmers and extension workers in system rather than compartmentalized. Often there is determining specific problems to be investigated. no formal point for contact between research and Otherwise, participants noted, the research may be extension. Such a point needs to be institutionalized. irrelevant. It is also important to recognize that the This does not imply, however, that research and producers also generate technology. Farmers are extension have to be in the same organization. empirical researchers, but so far only lipservice is paid to this reality rather than seeing how to build on it. It was agreed that appropriate linkage mechanisms for 15 technology transfer will vary, depending on the type of than a good researcher, because the extensionist must technology, type of product, and characteristics of the bridge the gap between researchers’ values, language, producers and industries involved. and techniques and those of poor farmers. He or she must combine good technical and social skills. This Boundaries. No consensus was reached about whether requires professional people. research’s mandate is only to generate technology or whether it has some responsibility for transfer and Non-technology-transfer functions o f extension services. eventual utilization. Whatever the decision, the roles of There was no consensus about whether extension doing research and extension should be clearly defined, non-technology-transfer activities impedes technology showing areas for which they have joint responsibility, transfer or not. Some participants reported cases where and the specific responsibilities of each. An important it impeded extension, while others gave cases where it area of joint responsibility is in following up the had positive effects, because these other activities made technologies produced to see whether they are adopted a favorable impression on farmers. or not and how they perform. Factors promoting success. Participants discussed many Coordination. Sufficient opportunities and forums for factors promoting successful technology transfer. First, coordination are needed, and the presentation appeared the appropriateness and timing of technology transfer to underestimate the need for this. Using an illustration influence adoption. In Niger, for example, fungicide use from the Indian experience, one participant noted that it was quickly adopted because it fitted in well with is preferable for research to work through extension, traditional seed-cleansing rites designed to bring good rather than going around it, even if the extension system luck and ward away evil spirits. is weak. Otherwise, the result will inevitably be a great deal of competition between the two systems, with both Transferring technology was said to be easier for systems individually being weaker than a coordinated commercial crops with stable markets, particularly system would be. export crops, than for subsistence crops or crops with uncertain markets. This is because many innovations are Motivation and incentives. Incentives are used to embodied in inputs which must be bought, and there are promote relevant research and technology transfer in no funds for use in subsistence crops; and with unstable several countries. In Vietnam, for example, researchers markets there may be great risks that the producer will and research institutions contract with state farms and not recoup his/her investment. Several participants, production cooperatives to provide new technology and however, felt that if the overall system and infrastructure are paid and promoted depending on the results. The were well organized it was possible to transfer participants noted, however, that giving researchers technology just as well for subsistence crops as for cash incentives based on immediate results could be a two- crops. One participant explained how in his country they edged sword because good research generally requires a did not try to transfer integrated technology packages. long-term effort. Research tried to know needs of the farmer, learn from him/her, and apply technologies step by step. One reason for the apparent success of single-crop commodity systems is their integrated approach, but another is that the parastatals and private firms Networking responsible for these systems often give greater incentives to their personnel. Networks among researchers and research systems are one way of helping bring about communication, Professionalization o f extension. Kaimowitz’s paper collaboration, and the integration of efforts in research. seemed to imply that attempts to ”over-professionalize” ISNAR, as Dr. Roberto Martinez-Nogueira explained, the extension service could lead to them being less able is working to clarify, conceptually, the components and to communicate with farmers. However, the participants varieties of networks, develop case studies to show what argued that for extension and research to be effective, the problems and constraints are, and develop both have to be professional. The disparity in methodologies and tools for managing, monitoring, and professional levels between research and extension evaluating networks. make effective linkages between the two very difficult. Researchers have more education and many more He discussed the criteria for setting network boundaries, opportunities for scholarships provided by donors. In and the purposes of networks. Networks serve both fact, it may be more difficult to be a good extensionist explicit purposes, like improving the effectiveness and 16 productivity of research, and implicit ox latent purposes, 4. The interests of NARS should overlap with those of like showing institutional legitimacy and trying to secure other participants, especially the international additional resources for NARS. centers and the funding institutions. If not, the viability of the network is in jeopardy. Network activities seem to deal with either research inputs and outputs, or the research process. In each type Network characteristics. Given the definition, the of network, common needs have to be identified so that participants agreed upon a number of network activities of mutual benefit may be developed. He characteristics: discussed a number of conditions for integration into a network and for operating networks. A range of - Networks follow a development path over time. structures exists and he discussed four alternatives for Initiative may pass to the stronger national systems the central core of a network, and three different from the international centers and donors. Some network models, as well as posing a number of open participants were concerned about how NARS can get questions about how NARS relate to networks. The more support from these institutions to strengthen this objective of ISNAR’s work is to see how networks process. contribute to strengthening national agricultural research. - Networks that deliver products have certainly contributed to the development of the scientific and Chilean experience technological capabilities of NARS. Those set up for mutual support to members are important in obtaining Chile’s experience with three national and six a better use of resources according to agreed objectives international networks since 1964 was described by Dr. and priorities, complementing national efforts. Sergio Bonilla. He discussed the development stages and conditions determining their efficiency. They had - There are regional differences in the nature and observed five development stages. First, ’’gestation” ; evolution of networks. Some of the more complex second, ’’acquaintance and information gathering” ; networks in Latin America are based on equal partners third, ’’joint study and analysis of common problems and with sufficient capabilities to engage in mutual support methodologies” ; fourth, ’’coordinated research” ; and, through various forms of collaboration in regional fifth, ’’collaborative research” . They had found it easier collaborative programs. Some African experiences are to implement international than national networks, and consciously the result of a strategy of strengthening they found that certain products had practically no one national system to enlarge its capacity to play a networking, e.g., horticultural crops and animal more significant role at a regional level. This gives rise production. to a greater concentration of resources for research on commodities or problem areas in certain NARS, with Discussion other members of the network acting as recipients. One participant was skeptical about the likelihood of a - Larger systems, with greater scientific and group of weak countries becoming stronger through technological capabilities, are able to participate in networking. If the network structure meant some more demanding types of networks, with activities countries left research to others because they were too centered in more upstream research. weak to do it, then he doubted if they would ever become stronger. Participation in networks. Researchers, farmers, research administrators, and policy makers differ in their Definition. For the discussion, networks were defined as appreciation of the benefits of the participation in ’’all voluntary associations among autonomous networks. Systematic evaluations are needed to assist institutions to carry out activities of common interest” . decision-making about network participation. Four consequences of this definition were stressed: The growing multiplicity of networks raises the question 1. Persuasion, rather than authority, prevails in such of balance. A lack of balance in the growth of networks arrangements. and the topics covered can create imbalances in the 2. Autonomy means an ability to decide about network NARS by giving support to one crop but not another. membership, to take part in policy making in the Some participants wanted guidance about how they network, and about funding. should decide whether or not to participate in networks 3. Common interest should be understood broadly. since it takes resources to do so. It was suggested that 17 better strategic planning and programming of national from that of the users of the technology. These should research would help, so that national priorities could be also provide evidence for national policy makers for use distinguished from regional ones. in obtaining their support. Network experiences. International networks were felt Recommendations. The working group made seven to work better than networks within a country because recommendations: they often had more experience and funding. For national networks there was a lack of experience, means, 1. Systematic studies should be carried out on the and insufficient understanding of the contribution of contributions of networks to the development of being in a network. national scientific and technological capabilities, as well as of their organizational and managerial It was reported that the Chilean experience was that requirements for effectiveness and efficiency. there had been a greater spirit of cooperation when working with neighboring countries than when working 2. The results of these studies should be given to with other institutions within Chile. international institutions, donors, and national systems, plus analytical instruments to evaluate the At first, networks have difficulties functioning because appropriateness of establishing new networks, and so of the lack of accumulated learning, and because of the avoid unnecessary proliferation, and identify those process of mutual adjustment that takes place among more effective in developing national capacities so participants. A young institution in a network must feel they may be given full support. that it participates in it, at all levels, but this is often not the case and so their membership becomes a token. 3. NARS should take the initiative, evaluating their contributions to networks and the benefits of As the capacity of the participating NARS increases, the participation. perception of the network changes, even though it may have constant effectiveness and efficiency. This results 4. Network participation should not be a substitute for in growing demands on the results and impacts of national efforts; rather, it offers the opportunity for participation in the network. better use of national resources and concentration of activities on national priorities. The effectiveness of the networks appears to be associated with their structure and management. The 5. Network participation needs support from policy risk of bureaucratization should be avoided to maintain makers and farmers’ organizations. For this, the a network’s flexibility and adaptive capacity in the face benefits of participation in networks should be of new demands, conditions, and challenges. Any available and disseminated. question of ideal size is a relative thing, depending upon the circumstances. 6. Participation in networks should strengthen NARS and fit national priorities and not simply be based on Since networks cross national boundaries, special the availability of resources for participation in attention was paid in many countries to the relationship networks backed by international funds. between the type of commodity, its competitiveness in world markets, and the risks of sharing information and 7. Network evaluations should be comparative and offer genetic materials, all of which are deterrents to new insights for the design or revision of networks. participation in networks. IS N A R ’s work. The attempt to formalize a conceptual THEME THREE - IMPROVING framework for studying networks was accepted as a MANAGEMENT PROCESSES useful effort. It helps classify the variety of situations encountered and to highlight some of the issues related Management Information Systems and their to network participation by institutions with different Uses resources and capabilities. Every organization has some kind of management Participants wanted methods and instruments for information system (MIS). An MIS is important because evaluating the benefits of participation from the it provides the information upon which management perspective of the participating institution, as well as decisions are made. In discussing MIS, Dr. Byron Mook 18 stressed the need to separate the idea of an MIS from the D iscussion tools with which it is implemented. Tools required. Several participants were concerned Four types of information are common in a research about the tools required, although one pointed out that MIS: about program content, personnel, finance, and establishing a proper method for organizing the facilities. Procedurally, an MIS involves the collection, information needed in a NARS was the fundamental movement, management, and use of information. The requirement. However, in an MIS the speed of key point, though, is how the information is used. information retrieval is important, and most countries, it Normally, this is in planning, monitoring, and evaluation was felt, could benefit from the use of microcomputers. of programs, personnel, finances, and facilities. Certainly, the participants wanted to benefit from the experience of ISNAR and other countries with MIS. Mook described ISNAR’s work in Indonesia and some sample outputs. Three main design considerations in It was suggested that the use of computers was not an developing an MIS have emerged from this: be flexible ”either/or” question but that there would be a mixture of in objectives, content, uses, and users; start small; methods. Caution was needed when starting off with the encourage multiple uses and users. The constraints in use of computers. Often the software was not easy to get developing an MIS come from the attitudes of people right at the start, there was a danger of swamping the involved who may not understand, be interested in or MIS with unnecessary information simply because there want an MIS, and from the staff and technological were microcomputers to put it on, and that there were resources that may be required . The use of seldom enough resources to put microcomputers microcomputers can make the storage, retrieval, and everywhere in the system. Introduction of a manipulation of information easier and is certainly microcomputer-based system, it was suggested, is easier desirable in large systems but is not necessarily required. when there is a paper-based system already in place. Philippines experience Cost. Organizing an MIS or other information flows has costs; however, it was felt that these would be more than The Philippine Council for Agriculture and Resources recouped by the improved functioning of the NARS in Research and Development(PCARRD) is the national management of programs, personnel, and fiscal and research planning, coordinating, and monitoring agency physical resources. for agricultural research in the Philippines. Dr. Ramon Valmayor described the background to PCA RR D and Developing and strengthening MIS. The consensus was its activities in research information systems. that the process of strengthening MIS had three parts. First, the exposure of national research leaders to the In PCARRD the MIS provides information to support potentials and requirements of MIS. This needs system management and researchers in doing research. considerable attention, since most leaders are not The Management Information Services Unit was familiar with MIS. Two ways to do this were discussed: established in 1977 to develop the council’s information systems. To date it has established seven data bases or 1. ISN AR-supported conferences and training, at both data banks: research management information for the international and national levels; research program planning and monitoring; research information databank on completed projects and 2. written descriptions of national experiences with research literature; equipment infrastructure inventory; MISs, either as formal ISNAR publications or more manpower; financial management; publications; informal ISNAR training materials. administrative support. The second part of the process is planning the content, They plan to create specialist databases and extend structure, and development of MISs. Participants saw access to some databases to the regions. Dr. Valmayor two ways in which specific operational plans might be suggested that ISNAR might consider undertaking a developed: program with NARS in which those enjoying similar conditions might exchange technologies and provide 1. through intensive case-study workshops, similar to training. the one ISNAR supported in The Gambia; 19 2. through a combination of case studies and workshops The Gambia: a comment on the approach in the country concerned, similar to what ISNAR has done in Indonesia. Dr. John Sands discussed the demonstration software in more detail and the differences between it and a Whichever approach is adopted, participants stressed complete PBS. He outlined, first, how the software had that existing management information and databases been used in a PBS workshop in The Gambia to explain should be used to the maximum extent possible. Many the concepts involved; second, the observations of the countries already have substantial amounts of relevant participants about the type of adaptation needed to information available, so that all that needs to be done is implement a PBS in The Gambia; third, the initiation of to re-package it (on computers or manually) to make the work on this; and, finally, the lessons ISNAR drew from NARS more effective. its work on PBS. Third, there is implementation. Once again, two points Discussion were made: PBS in use. There was some concern from one 1. The development and strengthening of an MIS is a participant about the theoretical nature of the labor-intensive process. A NARS may request presentations; he was anxious to have more specific ISNAR to suggest general guidelines and to monitor guidance and a model or format for budgeting that might progress - but the details of information collection, be applicable at the research institute level. It was noted data management, and use must be the responsibility that the PBS described seemed to require a lot of of national personnel. detailed information from researchers about how they spend both their time and money on each project. 2. The development and strengthening of an MIS is a Collecting this may well be beyond the capacity of many continuing, long-term process. In a relatively large systems. One participant described how, when they had NARS, leaders must plan on at least three years, and tried to introduce a PBS, the forms had been poorly or probably 5-10, before an MIS can be fully operational incorrectly completed. Some scientists resented such and effectively used for research planning, questioning, seeing it as a regulatory activity and as an monitoring, and evaluation. attempt to deny them funds. It was suggested by others that the opposite might also be true and that by Program Budgetting developing clear program budgets scientists could better defend their positions. This is especially true where a The goal of a program budgeting system (PBS) is to align central department has the upper hand in budgeting and research activities with available resources. Dr. Paul there is a need for NARS to sell their case to the central M arcotte, in presenting a synthesis of ISN AR’s in-house decision makers. work in progress, discussed where the PBS fitted in a NARS. He outlined 10 distinctive features of program Although The Gambia is quite atypical, as a small budgeting, grouped into three types of activities: country with abundant aid resources, it was understood program formulation, budgeting, and monitoring and that what had been learned there could and would be evaluation. These steps require different skills, yet must tested elsewhere. ISNAR was continuing work on be integrated into a coherent process. developing demonstration tools for PBS. An essential component of the demonstration was an understanding Using a rational-decision model, he discussed who was of the principles involved. The demand from countries responsible for decisions about these different activities for such tools is very high, but it was stressed that any in a NARS. Several outputs are expected: time model needs to address only the basic principles and allocations of scientists, financial budget breakdowns, must be simple to use. personnel costs, and direct operating costs. ISNAR has produced some demonstration software growing out of Tools and skills required. There was discussion about work in Morocco, and Marcotte showed the kinds of whether or not computers were necessary. The outputs this had produced. However, it was stressed that consensus was that in those areas where there were this was only of operational use in the country for which either physical problems (like unreliable electricity it was designed. For other countries, it could serve as a supply) or expertise gaps, a simple manual system could demonstration of the value and difficulties of such provide adequate information. If a manual system is systems. operational and adequate, then it can be computerized later. 20 Once a computer-based system is set up, then the and management can be seen as inhibiting. This tension question arises of whether it will be easily maintainable is perhaps most marked in monitoring and evaluation(M/ as the staff who set it up are lost. Attrition among E), which poses a challenge to research managers, computer specialists is high. In general, the participants according to Ms. Diana McLean. In her paper she felt that the system should be as reliable as possible. examined the relationship of monitoring and evaluation Several things could assure this reliability: i) it should be in NARS and various evaluation criteria. She pointed as simple as possible, built up from local, commercially out that ISNAR was taking an evolutionary approach to available software, thereby assuring local expertise and developing M/E materials. The philosophy in producing no dependency on consultants; ii) as many people as these is simplicity and practicality. possible within the system, i.e., scientists, users, managers, etc., should be trained so that the system Four main types of M/E activity were discussed. These, operations are not dependent upon one or two people; in order of priority for work by ISNAR are: monitoring and iii) it should include extensive documentation so and ongoing evaluation, which involves data collection that it could be used with a minimum of computer skills. and analysis of important factors during implementation; ex-ante evaluation, which analyzes the Linking PBS to annual research activities. One potential impact before implementation; ex-post participant suggested that it was better to talk of program evaluation, which assesses performance immediately formulation and budgeting together rather than as two after the activity is completed; and, impact evaluation, separate entities. If this was done, then the programs which determines the extent to which an activity had to have time limits and must be evaluated along the addressed larger development goals. way for what was happening. She also used a rational decision model, as described by Another suggested that such a process uses information Marcotte, to examine the levels at which these are from the top down as directives, and from the bottom up carried out and discussed in more detail ISNA R’s work as proposals. Thus, it is partially hierarchical for on monitoring and evaluating ongoing research management, and partially collegial for scientists. The programs. key to facilitating the combination of these two is an interdisciplinary committee, including the scientists and Indian experience groups such as farmers, making priority decisions on the proposals that should be funded. Characteristics such as Dr. R. M. Acharya discussed the organization and quality of experimental design would be deferred to the implementation of research evaluation and monitoring scientists, as they were the technical experts, while in India and the role the Indian Council of Agricultural characteristics such as relevance were committee issues. Research (ICAR) plays. There is a national evaluation system related to the five-year plans. The institutes IS N A R ’s role. ISNAR feels that the development of PBS within IC A R also have an internal monitoring and software by ISNAR for NARS is not a good idea or a evaluation system. He examined the type and method of responsible way to attempt to solve PBS problems. If evaluation, use made of the findings, reviewed IC A R ’s ISNAR develops software it makes the NARS performance in M/E, and some weaknesses in the dependent upon ISNAR or other outside consultants for evaluation system. problem solving. ISNAR does not have sufficient staff to provide this service. The consensus was that ISNAR Discussion could help with the framework or the concept of PBS and with demonstration software. However, it cannot Structure. While some discussants favored setting up an transfer a turnkey PBS, as each country is unique in its external specialized unit for M/E, others felt that there internal information and managerial needs. ISNAR’s were advantages in having an internal central unit assistance would focus on the concept, but not computer composed predominantly of people with past research programming backstopping. Specific applications should experience. The ’’policeman” role of an M/E unit should be developed locally, with local expertise and equipment be avoided. It was agreed that each country must and with ISNAR guidance if deemed essential. consider the size and complexity of its system to determine where the M/E unit should be attached and Monitoring and Evaluation what type of unit would be necessary. There is often a tension between those who manage Types o f MlE. It is important to see ex-ante and ex-post research and those who do it. Research is risk taking, evaluation as a coupled activity. It was suggested that 21 ex-ante evaluation sometimes tries, through exaggerated experiments. The fact that individual simple trials predictions of, say, yield gains or rates of adoption, to may not give significant results does not detract from convince policy makers to allocate resources to an the value of the information they give as a group. activity. This then sets projects up for ultimate failure when these over-optimistic projections have not been 2. Various factors may need to be considered when met. Ex-ante evaluation should more correctly estimate setting evaluation criteria, such as whether or not potential impact, establish the baseline, and set realistic research is problem oriented, the rate of adoption, but specific targets for an activity. farmer response, etc. The subsequent ex-post evaluation, whether or not truly Training. Training is crucial and should begin as soon as post-project, should take place after sufficient time has possible, but few opportunities exist currently for elapsed to have met some of the planned objectives. This training in M/E as used in research. It is important to might be every 3-5 years or longer, depending upon the offer appropriate training in different aspects of M/E to type of project undertaken. This level of evaluation different levels of management. Field testing methods as looks at relevance, effectiveness, and efficiency issues. they are developed is extremely important. Impact evaluation was considered important to NARS Effort required. National research managers must for relating information to policy makers, as it could determine what level of effort is necessary and cost have a major influence on resource allocation. It was effective in adopting M/E activities and other explained that ISNAR is putting less emphasis on impact management tools. ISNAR’s assistance was sought in evaluation because it is less useful as a management proposing which of these are most important, presuming technique than the other types of evaluation, and there that managers cannot do everything; at least not initially. is much work on this by other organizations. ISNAR should suggest the costs associated with putting these various management structures and mechanisms In ongoing evaluation, it is important to recognize both in place. the formal and informal processes which exist. It is also important to stress evaluation of how effectively the National systems also need techniques for evaluating concerns of farmers are incorporated into ongoing international and regional organizations and networks research programs. This implies not only methods for in which they participate or which are operating in their contacting or involving farmers, but also methods for countries, e.g., regional commodity networks. evaluating how much researchers use their recommendations in programming. IS N A R ’s approach. Overall, the discussants considered the topic of M/E to be of priority importance. ISNAR’s Personnel performance. It was suggested that ISNAR approach to developing M/E materials in steps was should also offer assistance on personnel performance endorsed, with its initial emphasis on M/E of ongoing evaluation. All discussants agreed that issues of reward research. They suggested that ISNAR concentrate its and motivation were fundamental to the success of the efforts on developing materials and in offering training research system. If teamwork and work with farmers is at the various levels of management as soon as possible. important, an alternative to scientific publications as Field testing methods as they are developed is also one of the main criteria for promotion should be important. proposed. It was agreed that national systems require different criteria for personnel evaluation, depending on the emphasis placed on different types of research (e .g ., THEME FOUR - MANAGEMENT OF basic vs. adaptive) and that on extension. HUMAN AND PHYSICAL RESOURCES Standards. There was some discussion about the Human Resources Development and standards used to evaluate the technical merit of a Management research project itself. A methodology for M/E in research has to deal with complexities such as: Human resource needs must be determined in advance. This is a planning and management function which 1. In adaptive research it was often preferable to have requires knowledge, skills, and appropriate attitudes in many simple trials, each of comparatively low NARS managers. In his oral presentation, Dr. Paul precision but providing a measure of variation over Bennell followed these assertions with 10 propositions locations and seasons, than a few individually precise 22 about human resource development and management trained technicians and other middle-level personnel. designed to stimulate discussion. He identified three Where the system is expected to provide employment types of skills needed for management competency: for all graduates, the lack of control over hiring leads to administrative; technical, subject-related; and an inappropriate mix of expertise. interpersonal. Bennell discussed the interpersonal skills that human resources management is most concerned In other countries, staff attrition, its magnitude and with: those skills needed in directing people, including causes, needs to be carefullly analyzed. Where it is likely motivating, communicating, leading, coaching and to remain a persistent problem, NARS must recognize appraising performance, handling organizational power that they will need continuing recruitment and large, and politics, and managing conflict. expensive, and long-term training programs. He noted that most managers spend too much time on Human resources development. The discussants technical and not enough on interpersonal aspects of concluded that the development of research personnel is management. It was recognized that the ratio of the strongly influenced by the type and quality of recruits. different requirements for management varies with the Most are young and inexperienced, usually fresh from level of management involved. In his written formal training programs. The degree of competition for presentation, he described ISNAR’s work on human different types of personnel required in a NARS will resource planning and analysis. affect recruitment. Algerian experience There was considerable discussion about training. It appears that training policies and procedures for Before discussing human resources in Algeria, Dr. R. professional staff are fairly well formalized and Kellou described the agricultural and research developed in most agricultural research organizations, background of the country. He outlined the present but that postgraduate training is still a major staffing in the research system and the distribution of preoccupation. More attention also needs to be given to these. He also discussed the training needs and how training technicians. there was no formal human resources planning. He suggested that ISNAR should establish a methodology Everyone agreed that management training is of great for use by each NARS in assessing its needs and should importance. It was suggested that NARS make use of give guidance on how to bring about close collaboration locally available sources of management training, but between agricultural research and higher education. some participants felt that public administration programs are often too general about most areas of Discussion management and administration. It was agreed that ISNAR has an important role to play in sensitizing Human resources planning. There was almost agricultural research managers to key issues in unanimous agreement that the development of long- management areas relevant to research, so that they are and medium-term human resource plans are essential in a better position to seek appropriate advice and and that these should be directly integrated with assistance from local management-training institutions program planning as a whole. The importance of and, where necessary, overseas institutions. In its developing and maintaining a comprehensive human training program ISNAR can help local institutions to resource information system was stressed. While this develop a capacity in training for agricultural research would obviously focus on the human resource stocks and management. This will largely be through work with flows within the NARS, it is also desirable to collect selected individuals rather than institution building per information selectively on conditions in relevant se. national labor markets. Human resources utilization. A wide variety of issues Lack of control over recruitment by NARS was was discussed, including: financial incentives for identified as a key constraint frustrating the obtaining additional training (particularly at the implementation of human resource plans. The overall postgraduate level); rewards for service in remote supply and demand for personnel varies tremendously locations; the need to maintain equity between research from one country to another. It seems that in some and extension personnel, especially when they belong to countries there is a growing problem of an excess supply the same organization; insufficient control by research of university graduates in agriculture and science. In management over the promotion process; and the need contrast, many NARS face shortages of sufficiently well- for appropriate advancement criteria. 23 Participants recognized that improving the conditions of Egypt and the historical development of research before service of agricultural research personnel may turning to the present state of agricultural research and sometimes depend on the ability of senior managers to an overview of the NARS. He discussed the role, negotiate effectively with the relevant ministeries, most resources, and strategy of the Agricultural Research notably finance and public service, and other Center as well as the impact of agricultural research. The institutions. How successful they are will depend on the ARC training program, links with extension, extent to which they can present convincing arguments information and documentation, and international and to policy makers, recognizing that most other bilateral assistance, as well as a number of occupational groups in the public sector are also seeking recommendations in these areas were also discussed. improvements in their conditions of service. Where it is impossible to get a special status for researchers, other Discussion means of motivation are required. Egyptian system. There was considerable discussion Some participants felt that as research managers they about various aspects of the Egyptian system. One had to spend so much time on administration that they question concerned the strategy taken with respect to had little if any time left, either for managing their staff creating new physical resources to handle the research or monitoring the research programs. One participant needed for the reclamation of new land, or working with stressed the need to differentiate between management existing resources. There is a new land technical and administration. NARS managers were both development program in the latest Egyptian five-year agriculturists and managers who had a number of research plan. The research requirements for this cut administrative tasks put on their shoulders. These tasks across many research institutes, and all those that have should be delegated to others. Concern was voiced about something to do with new land will be involved, as will delegating technical tasks to non-scientists because they two regional research station clusters. It was consciously would lack scientific knowledge and might not decided not to create a new research institute. However, understand the problem of research. it is felt that not enough has been done to expand agriculture into new land, and either more support will Management of Physical Resources have to be given to existing research institutes, or a new research institute will have to be set up. Researchers need appropriate physical resources to work with if they are to be productive. Dr. Ghazi Hariri Justification fo r research institutes. There was some discussed some guidelines for physical resources general discussion about the rationale behind planning and development in his paper. Both a national establishing new research stations, consolidating and/or plan for physical resources and planning and operation rehabilitating existing research stations. One discussant of them at the research station level is needed. He suggested that too often attention focused on research discussed the major constituents of physical resources: institute facilities rather than the justification for the buildings, land, equipment and supplies; and the research institute itself. requirements of physical resources planning. Location. Another discussion point concerned the Several priority indicators to help establish the need for appropriate location of physical resources and the siting research stations were discussed, as well as a planning of these to fit agro-ecological zones. Some countries in sequence. Four important areas to consider are 1) site Africa, it was suggested, might consider setting up a development and use; 2) maintenance and repair; 3) regional network of research institutes to enable more supply and purchasing; and 4) personnel development. cost-effective use to be made of investment in research. In planning physical resources he understood that it is vital to bear in mind the recurrent or operating costs as, Maintenance. It was agreed that NARS must make over the lifetime of the resources, these generally far policy makers more aware of the need to allocate outweigh the initial capital costs. Finally, Dr. Hariri sufficient financial resources for operating and discussed the responsibilities of scientists, managers, maintaining both local and donor-provided physical operators, and policy makers in physical resources resources. planning and development. One requirement for building the capacity to maintain Egyptian experience and repair physical resources is training for those who operate them. Another basic requirement is an Dr. A. H. Shehata described the agricultural sector in inventory of physical resources. This would allow 24 managers to review the status of existing physical reform also under way. Management had been resources, and would be required for developing a recognized as a major weakness, and China would seek national strategy for physical resources. Such a strategy, international cooperation in developing its capacity in it was emphasized, should match research program this and other areas. Any development, however, had to implementation. fit into China’s own environment and could not simply be copied from elsewhere. General recommendations. Overall, the participants agreed that each system needs to review, plan, and Discussion develop physical resources; adequate procedures should be developed for this purpose; and physical plant There was some more detailed discussion of how managers should be specially trained. research operated in China as well as about a range of issues in large systems. THEME FIVE - ORGANIZING Decentralization. Although centralization of national AGRICULTURAL RESEARCH IN LARGE research management for some important objectives NATIONAL SYSTEMS and for economy in resource use is needed, large systems could become cumbersome with some inefficiencies and Structure and Organization in NARS may need decentralization to respond more effectively to regional needs. It was noted that after about 30 years Dr. H. K. Jain gave an overall perspective of the changes of central control of research in Argentina, there has that many of the larger countries have introduced into recently been a decentralization of program and their NARS over the last 20 years. He discussed the operational authority to the regional level, with creation of autonomous or semi-autonomous Regional Boards with 50% farmer representation. agricultural research councils or organizations to handle Similarly in India, where research is already organized research and divided those created into three broad along federal and regional lines, there is a move towards types: administering, coordinating, and funding. He less central control of operations in ICAR, while discussed their ability to deal with six governance retaining central funding and coordination. components, their potential to perform 11 research functions, and three lessons to be drawn from this Size as a factor in efficiency and effectiveness. There was experience. some speculation on what the optimum size of an efficient and effective research unit within a large system Next, he examined the organization of research station might b e . Opinions from the participants ranged from 50 networks by country size, resource base, type of station, to 150 scientists for efficient management. Many and type of research. Finally he examined research countries have research units that are too small to be station organization by mandate, linking goals to the effective. More analysis of this issue is required. type of organization best suited to meet them. They also thought that very large research systems were The People’s Republic of China effective in making an impact, and relatively resilient in the face of funding difficulties simply because of size, but There was then a presentation on a major NARS, that of they were not necessarily efficient in their management. the People’s Republic of China. It was stressed that small systems cannot afford to be inefficient, since they can only have an impact in a There is an integrated NARS in China, with four limited number of commodities because of their limited different subsystems, as Ms. Fang Zhou described. One resources in personnel and funding. subsystem deals with basic research, another with applied research nationally, another with applied Learning from country experiences. Participants felt they research at provincial and prefectural levels, and the could learn much from the positive elements of fourth with university-affiliated research. management systems in other developing countries, and these countries could pass on experiences to each other. She discussed how these operated and managed research The S ADCC region has examples of several kinds of and the constraints in the present system. Research research structures, and there may be lessons from large policy was outlined, as was a planned reform of the country systems that could be valuable for regional research system which would match the major rural research organizations. 25 Experience with research councils in the larger systems noted that the meeting confirmed the need for practical suggests that no autonomous or semi-autonomous management tools and guidelines, suitably adapted to research council without funding power was really the needs and circumstances of different NARS. For listened to. However, it was noted that even small ISNAR to produce these it had to concentrate its efforts systems faced just as much difficulty as large systems in on a selected number of management topics. Here the drawing dispersed research institutions together into a priorities selected by ISNAR had been reconfirmed at national entity: each institution wants to retain its the meeting. independent authority. Participants felt that complete system reviews by ISNAR could help move governments The working methods had been supported, too, along to improve the structure where needed. with the idea of starting small and building up gradually, while refining the techniques. It was clear that working Autonomy. The general perception was that in recent in isolation is unproductive, said von der Osten. ISNAR years there has been a move toward greater autonomy needs to collaborate with future users of its products in for research from bureaucratic and financial structures. joint efforts in the design, adaptation, and testing of The discussants agreed that the target is to achieve management tools - just as farmer involvement in greater administrative and financial autonomy for technology design is the key to success in agricultural research organizations, but not at the expense of research. commitment to government priorities and programs of economic and social development. Too often, however, He recognized that ISNAR’s work on the various topics there is tight bureaucratic control over finance and was at differing stages of advancement, reflecting the administration and no national guidance for the research state of the art. Some was still at the level of developing program. In Argentina, where decentralization is the conceptual understanding of the problem, while creating some fear that a vigorous regional board might some was well on the way to producing the desired exert too much pressure on the direction of research, the guidelines and management tools in specific areas. sensible membership of 50% government and university, and 50% farmers and users of research was considered The feedback from the participants was very useful in an appropriate stabilizing factor. It was also stressed that giving guidance and suggestions for future efforts. Many the members of a board of an autonomous institution important points were recommended, including: should be active and concerned users of research conclusions for development. 1. Support for the ATMS approach as giving a broader picture of the NARS environment; recommendation Duplication o f research. Duplication is a common that it should not become a separate ISNAR thrust, problem for large research systems. It is difficult to but rather remain as a support to the review of N A RS avoid, and some coordinating review boards can spend a work, where the policy environment is a major lot of time checking to avoid duplication, rather than constraint on the system. checking positively that programs are highly relevant and urgent. Participants felt that donors and I ARCs may 2. ISNAR should do further work on the applicability give rise to some of the duplication. One positive and necessary adaptation of strategic planning approach to duplication of experiments has been to methodologies for NARS. organize formal national coordinated research programs on common problems with a well-defined, concrete plan. 3. ISNAR should continue work on how priority setting Sometimes in a large system it is necessary to arrange and resource allocation could be linked in sectoral or commodity reviews, taking in all research methodology and process, and should produce a set institutes concerned, so that a well-coordinated program of methodologies for use in different circumstances. is reached in an internal networking process. A focused and clearly defined national program can facilitate 4. ISNAR should continue the work on developing dealings with donors. guidelines for institutionalizing OFCOR. CONCLUSION 5. The network research should produce methods and instruments for evaluating the benefits of network In his closing remarks, ISNA R’s Director General participation, for both the participants and users of Alexander von der Osten expressed his satisfaction with technology, and should highlight benefits for use in the workshop. There was good, intensive interaction, gaining support from policy makers. and ISNAR had received the feedback it hoped for. He 26 6. ISNAR should consider helping to arrange a program 9. ISNAR should help local training institutions develop for inter-country experience and technology a capacity in training for agricultural research exchange in development of MIS. management, initially at the level of individual staff members who can collaborate with ISNAR. 7. ISNAR should clarify the concept of PBS and develop well-documented, simple, easy-to-use Overall, the emphasis was on producing tools that were demonstration software for PBS, but should leave practical, simple to use, and requiring as little specialized the local development and application in specific manpower as possible. countries to the staff of the NARS. All the points made and recommendations will be 8. ISNAR should develop the guidelines for ongoing considered carefully by ISNAR as it reviews its own M/E and offer training at various levels of program and plans its work program. management as soon as possible. 27 28 DIAGNOSING CONSTRAINTS IN AGRICULTURAL TECHNOLOGY MANAGEMENT SYSTEMS Howard Elliott Deputy Director General ISNAR I. INTRODUCTION d) the components of the system, their activities, goals and measures of performance; ISNAR’s goal, as expressed in its strategy statement, is ”to assist developing countries to improve the e) the management of the system. effectiveness and the efficiency of their agricultural research systems through enhanced capacity in the areas The approach taken in the present ATMS study is of research policy, organization, and management.” 1* generally called a ’’contingency” approach. It attempts This means that ISNAR’s primary focus must be the to understand the interrelationships within and among national agricultural research system (NARS), but its organizations as well as the relationship between the systems approach leads it on occasion to place the NARS individual organization and its environment. It attempts within a broader environment — the agricultural to understand how organizations operate under varying technology management system (ATMS). The objective conditions and in specific circumstances and is ultimately of this paper is: directed towards suggesting organizational designs and managerial actions most appropriate for specific a) to present a conceptual framework for identifying situations. In short, it says there is no one best way of opportunities to improve agricultural technology organizing and managing research systems... i.e., that management systems;2* there is a middle ground between trying to apply ’’universal principles” and saying ”it all depends” .4’ b) to describe certain tools that have been used to assist in identifying such opportunities and choosing among III. THE AGRICULTURAL TECHNOLOGY them; MANAGEMENT SYSTEM c) to relate this analysis to commonly used frameworks The ATMS comprises all institutions, individuals, and for strategic planning at the system level. their interdependent relationships, aimed at the generation, assessment, and diffusion of improved II. SOME SYSTEM CONCEPTS agricultural technologies in order to increase agricultural production and incomes. By ’’agricultural technology Churchman31 defines a system as a ’’set of parts management” we mean that the component parts of the coordinated to accomplish a set of goals.” He identifies system, individually or collectively, are able by some basic considerations that the scientist must keep in mind management means to deal with the constraints to the when thinking about the meaning of a system: system, either by adapting the system to the constraints or by attacking the constraint. Improvement in the a) the total system objectives and, more specifically, the ATMS also implies that the system is able to endogenize performance measures of the whole system; some of the constraints that were previously considered part of its environment. b) the system’s environment: its fixed constraints; A generic ATMS which places the component parts of c) the resources of the system; the system in relation to each other is described in the following diagram. 29 Donors Politico Bureaucratic ITGS Structure I T T S Structural Conditions TG S - Technology Generat ing Sys tem TTS - Technology Transfer S ystem TUS - Technology Using System ITGS - International Technology Generat ing System ITTS - International Technology Transfer System These are: base of the country, and the initial distribution of resources and power; - the ’’technology sector” , with its subsectors (the technology generating sector, the technology transfer - the ’’policy environment” , made up of all laws, sector, and the technology using sector); regulations, customs and practices which limit the way in which components of the technology sector behave. - the politico-bureaucratic structure, composed of formal representatives of the government and decision IV. A THREE-LEVEL ANALYSIS AND ITS makers, and the channels through which interests of all ASSOCIATED TOOLS groups in the system are made known to policy makers; The ATMS approach was developed first for use in Latin - the ’’external sector” , composed of donors, America, where the public sector had a pervasive impact international technology generating institutions, and on both the supply of and demand for agricultural multinational firms engaged in technology generation technology. In many cases, however, the private sector and transfer; has been emerging as an important force. In spite of significant investments, some systems have not been - the underlying ’’structural conditions” , which include very productive. Reconciling competing theories of the world markets for inputs and outputs, the resource evolution of technical change in Latin American 30 agriculture led to our three-stage analysis which could Stage 1: The System-Level Analysis deal with all the issues they raised. These theories included: The Stage 1 analysis is the most aggregative level and generates the information and hypotheses about the a) induced innovation, which explained the influence of key environmental variables, primarily the development of inappropriate technology by structural constraints and policy environment. It fully incorrect market signals; describes the system and its evolution. It includes the following tools and products. b) structuralists, who emphasized the role of land distribution in producing biased technical change; Analysis Tools and Products c) political economists, stressing the role of special- Functional Responsibility charts for key interest groups; Analysis organizations in the ATMS, providing a complete mapping of the system’s d) monetarists, emphasizing incorrect exchange rates structure and management mechanisms. and pegged interest rates in inflationary situations; Events Analysis of major policy, institutional, e) technological determinists, describing the role of Analysis and technological events in recent external organizations and the international transfer history of the system, providing a of technology; chronology of the system and the interrelationship between policy, f) institutionalists, focusing on management institutional, and technological events. weaknesses within the research system. Policy An assessment of key policies which All of these approaches emphasize different factors Analysis affect the overall level of economic which affect the nature and quantity of improved activity in the system, relative prices technologies, both supplied by the agricultural research of factors and outputs, and direct system and demanded by users of those technologies. investments in the agricultural sector. On the supply of technology side, the ATMS model Stage 2: Institutional Analysis looks at the system’s research resources, component units, internal management, and its attempts to The institutional analysis focuses only on the few key influence its environment. On the demand for organizations within the system concerned with technology side, the model postulates that the nature of technology generation for agriculture. As a component technology demanded is conditioned by a number of of the ATMS, each organization can be approached (as a structural conditions and policy constraints that limit the subsystem) in terms of its mandate, objectives, range of options open to farmers of different classes. resources, and management of both its internal functions Some of these constraints, through improved technology and outward linkages to its environment. In many ways, management, may be changed. an ISNAR review of a national agricultural research institute concentrates on this level of analysis. The key The ATMS approach involves three levels of analysis functions that the analysis looks at are: which are logically linked to one another and are iterative in their contribution to identifying - problem identification; opportunities to improve the system. It begins - priority setting; holistically but focuses rapidly on the key points of - obtaining adequate financial support; intervention, a) at the system level, b) the institutional - attracting and retaining human resources; level, and c) the commodity level. Information - developing and managing infrastructure; generated at each succeeding level is used to confirm - programming and executing research; hypotheses advanced at higher levels and will be - managing linkages with the technological available when formulating strategies for improvement environment; in the technology management system. - monitoring and evaluation research; - communicating results to clients and policy makers. It is at this level that we begin to look at the management 31 issues that are basically under the control of the director assessment of the present scenario and its critical of an institute (including the way he manages his problems; 2. the generation of a range of alternative relationships with the broader ATMS). solutions from which a preferred scenario is chosen; and 3. the establishment of the action program and choice Stage 3: Technology Performance Analysis: among the strategic options for implementation. In Case Studies and the Interventions Opportunity Matrix many cases, the strategic planning process is faulty because action-oriented managers jump from the This third level of analysis brings us to the disaggregated problem to action without considering the range of level of the individual commodity and an attempt to alternative scenarios. The tools developed in the ATMS assess the impact of technology management activities approach lend themselves well to Steps 1 and 2 of the related to one crop. Case studies on carefully selected process and consequently help ensure that a range of commodities are carried out using an integrating alternatives is considered before choosing the preferred framework which we called the ’’Interventions scenario. Opportunity Matrix” (IOM). At its simplest this is a checklist of factors which positively influence or The Functional Analysis and Responsibility Charting constrain the path of technological change at the level of the individual commodity. In its more complex form, The mapping of the ATMS is carried out using a one can attempt to quantify the variables. modified form of a project management tool called a responsibility chart. The responsibility chart identifies It is at the level of the individual commodity that all relevant actors in a particular project, describes their hypotheses about the adequacy of resources, roles, and determines the level of responsibility they management, or the impact of external factors are have with respect to a particular function (e.g., ’’makes confirmed or disproved. It is, for example, quite final decision” , ’’must be consulted”). In applying this conceivable that a system, which in the aggregate is tool to the ATMS, we identify the key organizations or underfinanced and understaffed, may manage to give classes of participants, describe their principal mandates stable funding and allocate its best scientists and place within the system, and assess their level of continuously to its most important commodity and participation in each of thirteen key functions that the achieve an impact. system must be able to perform (or at least influence in its own behalf). Having determined the level of For each selected commodity, covering the principal participation, we describe the mechanism by which the food, export and industrial crops, a number of organization participates in the function. technological events are studied in detail. The impact on production is estimated, and each factor is assessed as The thirteen key functions of the ATMS are: having contributed positively or negatively to the production impact. 1. define macroeconomic strategy; 2. determine the intersectoral allocation of resources; Looking across the range of technological innovations 3. develop human resources for the agricultural sector; and commodities, one can see the extent to which 4. generate domestic political support for agricultural research resources, management, farm-level research; constraints, structural conditions, and the policy 5. generate external support for research; environment have been constraints on or contributors to 6. set clear goals for the agricultural sector; success in generating and diffusing improved 7. allocate resources within the agricultural sector; technology. 8. determine agricultural research strategies; 9. generate and assess technology; V. THE STAGE 1 (SYSTEM-LEVEL) 10. transfer technology; ANALYSIS AND STRATEGIC PLANNING 11. provide support service to technology adoption; 12. evaluate the impact of technology development In this paper we now concentrate on the role of the Stage efforts; 1 analyses in generating hypotheses about system-level 13. ensure the marketing and use of the product. constraints and in providing the information required to assess alternative proposals for improving the overall All of these functions can be associated with the various agricultural technology management system. resource, management, and external variables discussed above. The strategic planning process involves three steps: 1. an 32 We can illustrate this with a responsibility chart from the - real coordinating structures are different from the case study of Panama. Tables 1 and 2 show the formal ones; responsibility charts for the functions of ’’generating” - external assistance is uncoordinated; and ’’transferring” technology (two of the thirteen - system is isolated from domestic support; functions described). - fragmentation leads to some duplication, and even contradiction, in the messages reaching farmers. The responsibility chart provides three ways of looking at a system: From these observations, hypotheses about alternative structural and management improvements were * the ’’structural” (number of organizations involved in formulated, carefully taking account of the target the system and their mandates); farmers to be served and the historical fact of autonomy among the various parastatals involved in the sector. * the ’’functional” (the critical functions of the system This history limits the degree of centralized direction the and how they are carried out); system will permit. * the ’’operational” (the mechanisms that are used to The Events Analysis perform these functions. The events analysis is a methodology for systematically The concentrated technology generating sector contrasts recording and analyzing information about significant with the fragmented and overlapping activities of various events in the development of an agricultural research organizations performing the technology transfer and technology management system. function, which grew in the vacuum created by the abolishment of the extension service during the reform It uses a relational database management program to in the late 1960s. explore the relationships among technical, institutional, and political factors associated with individual events. There are three principal advantages of constructing By cross-referencing different types of information we responsibility charts: can not only identify patterns of interaction, but at any moment can provide the supporting evidence which will * they make very explicit the hypotheses about the role have been drawn from a wide variety of sources. and behavior of institutions within and outside of their principal mandate areas; An ’’event” is essentially defined by the fact that someone has cited it in literature or conversation as * they point out the presence of superfluous institutions being important in illustrating some point about the or the absence of essential actors with respect to each system. Once recorded and accurately described, it may function; be recovered and used in other contexts and may bring out relationships that would not have been apparent * they help suggest alternatives for improvement of a when the event was considered in isolation. structural nature (combine institutions, create new ones) or of a managerial nature (strengthen the For each event, the following information was obtained mechanisms for performing the function through more and recorded in the database program: resources, additional meetings, more permanence of staff, etc.) a. description of the event, e.g., introduction of CIAT germplasm; In this respect the information helps lay out the range of alternatives from which a preferred scenario is chosen. b. nature of event (agronomic, biological, chemical, mechanical, economic, institutional); With respect to the Panamanian ATMS, we identified several critical weaknesses: c. crop to which event relates; - few agricultural institutions influence agricultural d. year of event; policy; - the system is complex and fragmented; e. sector in which event originated (public or private, - there is an absence of mechanisms for establishing external or domestic); policy; 33 f. organization principally responsible; obviously the exchange rate and the level of government involvement in the sector. Policies influencing the real g. sector of the ATMS to which principal organization cost of imported chemicals and equipment, the wage belongs; rate, and the real rate of interest will influence the nature of technology demanded. h. collaborating organizations; Table 4 shows the key policy variables that were seen to i. sector to which collaborating organizations belong. be important in the case of Panama. The analysis identifies the policy and assesses its impact on the With such information on literally hundreds of events, agricultural sector. At the same time, it explains the one is able to carry out the following analyses: reasons why such a policy exists (often to serve interests outside the agricultural sector). By recognizing that a. a chronology of technological events by commodity, some policies are unlikely to be changed in order to their nature, and the characteristics of the facilitate the generation and diffusion of improved participating institutions; technology, one can avoid recommendations that would never be implemented. b. an analysis through time of the interaction between classes of institution (public and private, university VI. CONCLUSION and research institute, donors and private sector, etc.); In this paper I have attempted first to describe the three- stage analysis of an agricultural technology management c. a chronology of major institutional changes or system. The analysis begins with a system-wide look at principal policy changes in the system. key policies, structures, and management processes; it then descends one level to look at key institutions and This historical perspective, which is most easily carried their internal functions; and finishes with a detailed look out by a local study team, generates the database of at particular technological events within specific crops. information needed to assess the feasibility of alternative The method is iterative, and information at each level policies or organizational structures, some of which may serves to confirm or revise conclusions reached at the have been attempted before under the same or different other levels. circumstances. The simple chronology of events in pastures, shown in Table 3, brings out the change in The paper then gave particular attention to the strategy that accompanied a change in donors and the functional analysis and the way it can be used to generate interaction between the public, private, and hypotheses for improvements of an organizational or international donor sectors. management nature in order to carry out key functions. The information made explicit by the approach helps in A separate chronology of events in rice indicated clusters the assessement of alternative options for improving the of technological events of the same type (early reliance functioning of the system. The policy and events analyses on mechanical and chemical innovations in the 1940s complete the information needed for identifying and 1950s prior to the Green Revolution in the 1960s). opportunities to improve the overall agricultural The private sector was associated with those mechanical technology management system. This then leads to the and chemical innovations and public institutions more institutional and technology performance analyses at the than with the latter. level of particular organizations and commodities for which another set of tools is available. The Policy Analysis REFERENCES The third tool in the Stage 1 analysis looks at the implications of key macro policies for the agricultural 1) ISNAR sector. The technique is to identify those policies that Working to Strengthen National Agricultural affect the level of economic activity, relative prices of Research Systems: ISNAR and its Strategy. agricultural inputs, factors of production, and outputs, and reflect key policy decisions for direct investment in 2) Elliott, H ., R. Hertford., J. Lyman-Snow, and technology generation and transfer. E. Trigo Identifying Opportunities to Improve Agricultural The key variables that operate at the macro level are Technology Management Systems in Latin America: 34 A Methodology and Test Case. 4) Churchman, C. West Rutgers University and ISNAR: December 1985. The Systems Approach. New York: Dell 1979 p. 29. 3) Hertford, R., J. Lyman-Snow, H. Elliott, and E. Trigo 5) Kast, F., and J. Rosenzweig Identifying Opportunities to Improve Agricultural Organization and Management: A Systems and Technology Management Systems in Latin America: Contingency Approach. A Methodology and Test Case. 4th Ed. New York: McGraw Hill 1985. Rutgers University and ISNAR: January 1987. 35 Table 1: Panama: Responsibility Chart: Generation of Technology INSTITUTION R O LE M ECHANISM FO R PARTICIPATING IN TECHN OLO GY G EN E RA T IO N MIDA coordinate Overview of agricultural sector MIPPE none none Legislature finance none ORP none none CAN none none CAR none none CAL none none Crop Commiss. none none BID none none USAID finance support to IDIAP, previous support to FAUP CIID finance technical assistance in dual purpose livestock IICA none none in generating sector World Bank none none IMF none none IDIAP decide/exe on-station and on-farm research FAUP execute research stations, on-farm research CIMMYT execute provide germplasm, research methodology,IDIAP/FAUP CIAT partic. CIAT approach: germplasm for acid soils strategy CATIE partic. Rice farming systems Baru, technical assistance CIP execute research on station, support to PREC O D EPA Rutgers partic. Rutgers staff in onions, potato, pastures, cattle ISNAR partic. nascent collaboration in economic studies Chemonics none none SEN EA G R O partic. proposed role in farm-level trials; validation BDA partic. BDA gerente is member ID IAP Junta Directiva BNP none none Private Banks none none ENASEM none none Seed Companies none none Input Suppliers none none A NDIA none none C O A G R O none none IMA none none ISA none none EN D EM A none should be link to IDIA P for mechanization IPA CO OP none none Pioneer Seed execute hybrid seed produced for sale in Latin America Citricos execute abandoned disease research, 4 ha varietal trials Nestle partic. provide land and labor to test ID IAP material United Brands execute research on station with production interest Co rp Bayano none none SONA partic. field-level trials of technology A NA GA N none none CONAC partic. some asentamientos collaborate in on-farm trials Arroceros finance rice tax partially allocated to research Low Income Farm partic. on-farm trials in ID IA P/FA UP programs Small Farmers partic. on-farm testing of IDIAP/FAUP material Large Farmers none none Asentamientos partic. on-farm testing on some asentamientos Molineros none none 36 Table 2: Panama: Responsibility Chart: Transfer of Technology INSTITUTION R O LE MECHANISM FOR TEC H N O L O G Y TRANSFER MIDA MIPPE execute Integrated Rural Development project under MIPPE Legislature finance finance ORP none none CAN none none CAR coordinate theory: coordinate credit, extension, input support CAL coordinate coordination at micro level of intervention CropCommiss. none none BID none none USAID finance Chemonics in SEN EA G R O , Education for Rural Development CIID none no role in transfer beyond on-farm trial impacts IICA none none World Bank none none IMF none none IDIAP partic. on-farm research, diagnostic studies, documentation, communication methods FAUP execute on-farm research, materials for SEN EA G R O , courses CIMMYT partic. on-farm research, germplasm IDIAP/FAU P CIAT partic. livestock program works on farm CATIE partic. on-farm research CIP none none Rutgers partic. work with SEN EA G R O on-farm programs, large farmer ISNAR none none Chemonics execute develop transfer methodology SENEAGRO execute field agents, local committees, extension material BDA execute technical assistants enforce norms as condition BNP partic. agricultural agents supervise loans, techniques Private Banks none none ENASEM execute production, storage, certification of seed Seed Companies partic. link to producer associations, sales to clients Input Suppliers partic. sales agents contact farmers, advertise, recommend ANDIA inform through individual member companies C O A G R O none none IMA none none ISA partic. enforce technical recommendations as condition ENDEM A none ? work with o ther public agencies IPACOOP partic. provide some technical assistance beyond management Pioneer Seed partic. literature, recommendations for local distributors Citricos execute request SEN EA G R O agent to help outgrowers (pina) Nestle execute tech. assistance, fix planting dates, purchase quotas United Brands execute technical services to associated outgrowers Corp Bayano partic. some extension to farmers in project area SONA execute 2000 families reached (76%), 12 crops covered ANA GAN partic. organize demonstrations with IDIAP CON AC partic. asentamientos one-time target of M ID A services Arroceros inform technical publications for members and government Low Income Farm partic. targets of transfer and research efforts Small Farmers partic. targets of area development, crop programs Large Farmers partic. on-farm testing, targets of private efforts Asentamientos partic. M ID A agents concentrated on asentamientos 1972-82 Molineros partic. seed distribution, credit 37 Table 3: Panama- ATM Events in Pastures Y E A R CASE N A TU RE DESCRIPTION OF EVENT 1953-54 pastures biol Controlled introduction of forage 1962 pastures agron FAUP introduces and evaluates species at Tocumen 1968+ pastures agron Priorities shift to legume crops for forage 1968-72 pastures agron FAO/Minag introduce and test forage species at Gualaca (high-input approach) 1968-76 pastures agron FAO/M AG work on high-input pasture, frequency of cutting, fertilization 1972-75 pastures agron IICA-CATIE give priority to utilization and systems of production 1979 pastures biol Introduction of new species (Andropogon gayanus) with BNP, FAUP, CIAT 1980+ pastures econ BNP, Nestle, BDA make credit available for improved pastures 1983 pastures biol Cl AT-Rutgers program fucuses on germplasm for acid soils, seed multiplication 1983 pastures educ One IDIAP researcher receives training at CATIE 1983+ pastures educ Eight of fifteen researchers receive short-term training at CIAT pastures program 38 Table 4: Panama: Implications of Key Macro Policies for the Agricultural Sector POLICY INTENTION OF POLICY IMPLICATIONS OF POLICY FOR AG RICULTU RE Use of US dollars as currency Stability of exchange ra te , facilitate 1. overvaluation of dollar hurts export and import substitution; international service economy, self­ 2. facilitates importation American chemicals, equipment; generated inflation impossible 3. exchange rate offers no protection from American producers; 4. compensating measures required for agriculture; 5. research essential to attain U.S. levels of productivity. Reduction in budget deficit Containment of government expenditures 1. compression of government budgets for public agricultural sector; on bureaucracy 2. makes recruitment of new research staff difficult; 3. budget cuts may tend to fall on operating budgets rather than personnel. Liquidation of state-owned 1. reduce budget deficit; 1. closing of sugar mills; 2. review of Citricos de Chiriqui; enterprises 2. liberate investment funds for 3. refrain from creating new public enterprises. other purposes Revise labor legislation 1. social policies of 1970 gave Panama 1. power of unions in agricultural industries may be reduced; high labor costs; 2. less favorable 2. restrictive practices in food industries maybe lightened (e .g ., milk, interpretation of labor code; tomato, bananas); 3. more flexible hiring and firing practices 3. facilitate the structural adjustment may generate more employment. process Reinterpret Agricultural progressive dismantling of 1. privileged situation of certain crops will be reduced; Incentives Law protection by quotas; 2. self-increased emphasis on cost-reducing technology; 3. increased sufficiency must be at world prices attention to non-traditional exports. Revise incentives to agricultural 1. reduce credit subsidy for 1. exchange rate and import legislation favored over-capitalization capital agriculture; 2. review tax exemption of agriculture; 2. research oriented towards meeting needs of for imported equipment and inputs mechanized farmers. Expenditure on agriculture relatively high expenditure on 1. high expenditure ratio due to relatively small sector; agriculture in relation to 2. expenditure has not produced high productivity; Agricultural Value Added 3. expenditure in form of subsidies, buraucracy, and government enterprise; 4. reform of expenditure pattern sought by donors. Creation of Science and 1. defence of research as necessary 1. recognition that science and technology research is inadequate; Technology Unit, MIPPE function; 2. monitoring of 2. recognition of need to coordinate research policy among sectors; resources devoted to research 3. forum for debate of agriculture versus other sectors. Credit Policy 1. public sector credit small portion 1. public credit targeted to small and medium farmers; total; 2. differentiated clientele 2. donors have favored specialized credit; 3. private banks select prime customers; 4. government use of credit as means of directing production is weak tool. 40 INSTITUTIONAL REORGANIZATION OF AGRICULTURAL RESEARCH IN URUGUAY Armando Rabuffetti Director General DGITT Uruguay INTRODUCTION provides over 50% of the basic inputs for the industrial sector. Important efforts are presently being made in Uruguay to strengthen and improve the national agricultural Approximately 65% of the A G D P comes from animals research system (NARS). One of the most important (meat, wool, and milk), with the remaining 35% coming actions undertaken since 1985 is that involving the from plant crops. Between 50 and 60% of total meat institutional reorganization of the system. Two production (400,000 t/yr) and over 90% of total wool international organizations, IICA and ISNAR, have production (80,000 t/yr) are exported. Dairy production been working with national research center authorities has substantially increased over the past 10 years and staff members in trying to identify limitations and (800,000 t/yr), and today 20 to 30% of total production is constraints and to prepare some preliminary documents exported. Most of the crops produced are used related to the organization, structure, and functioning of internally, with the exception of rice and, to a lesser the new agricultural research institute. degree, soybean, barley, and citrus, which are exported. This paper presents an overview of the actual process of Despite its importance as a source of export earnings institutional reorganization of the NARS in Uruguay and for internal market food supplies, the contribution and analyzes the role that these international institutions of the A G D P to the national G D P is around 10-12%. are playing and should have in the near future. There is a consensus that agriculture in Uruguay must be To better understand the nature and scope of the intensified as soon as possible to increase the proposed reorganization, some general background productivity of the sector and to improve its information on the country, its agriculture, and a brief competitiveness in international markets. The existence history of research organization and functioning is of an effective system of agricultural research, with the necessary. capability to adapt or to generate technological packages for the different agro-ecological and/or socio-economic GENERAL BACKGROUND INFORMATION regions of the country, becomes, therefore, an essential need. Uruguay is a relatively small South American country some 30-35° south, and bounded by Brazil, Argentina, and the Atlantic Ocean. It has an area of 187,926 sq.km AGRICULTURAL RESEARCH and an estimated population of only 3 million. Agricultural research has been an important activity in Agriculture is fundamental to the Uruguayan economy, Uruguay since the beginning of the century, and the both for production of almost all the food that is system reached a reasonable efficiency and effectiveness consumed internally and as the source of nearly all in the mid 1960s. In 1914 ’La Estanzuela’ was established export earnings. Agricultural products, at different as a plant breeding research station in the southwestern levels of processing, represent over 90% of total region of Uruguay. Under the direction of Dr. Alberto Uruguayan exports. Similarly, the agricultural sector Boerger since its founding in 1957, La Estanzuela was a 41 leading station for South American cereal breeding. In MAJOR LIMITATIONS AND 1961 it was transformed into the ’Alberto Boerger CONSTRAINTS PERCEIVED IN 1985 Agricultural Research Center’ (CIAAB). Its research program was expanded to several commodities (crops, This significant deterioration in some of the components pastures, beef, sheep, and dairy production) and several of the NARS led the democratic government, installed disciplines (soils, agricultural climatology, plant in 1985, to give priority to strengthening and improving protection, plant breeding, animal nutrition, economics, the agricultural research system. Several limitations and and statistics). constraints were apparent in the NARS. These were essentially related to: From 1961 to 1968 there was an effective consolidation of the Center as the executive unit for agricultural a) Objectives. There was a weak articulation of research of the Ministry of Livestock, Agriculture, and agricultural research programs with national socio­ Fisheries. This was essentially due to strong government economic development programs, as well as a lack of support in the form of adequate financial resources and formal participation of clients. salaries and to positive international cooperation with FAO, USAID, and IICA in training, experts, and b) Financial Resources. There was a poor allocation of equipment. financial resources, as well as variability in the amount and timing of their release. Between 1968 and 1973 the decentralization of research activities from ’La Estanzuela’ was achieved by c) Human Resources. The exodus of the best-qualified increasing regional field experimentation and creating a researchers was one of the most striking realities, national network of five experiment stations (mainly leaving the institution without the required expertise commodity oriented) as well as some Experiment in research planning and prioritization. Also, there Demonstration and Production Units (UEDP). was not a well-defined policy for human resources management. From 1973 to 1985 the agricultural research system deteriorated considerably. d) Operational Efficiency. Research programs showed discontinuity, probably as a result of the close linkage First, there were failures in the consolidation of the of research projects with individual researchers (and experiment station network, mainly caused by a the exodus of personnel) and also as a direct reduction in government financial support and the consequence of the variability and shortage of exodus of the better-qualified staff for economic or financial support. In particular, there was a political reasons. Secondly, efficiency in using external significant reduction in the regional field technical cooperation was very variable. For example, a experimentation that has traditionally been an USAID loan for more than $5 million was abruptly important component of research activities in all interrupted in 1980 before reaching its objective of regions. Work in the UEDPs could not be adequately consolidating infrastructure, equipment, and training to maintained, except in some special cases where ensure the adequate functioning of the experiment station farmer organizations supported part of the cost network. However, other cooperation projects, like the associated with the research program. Chinese technical cooperation on rice and the Japanese technical cooperation on vegetable production, helped e) Administrative Aspects. Excessive rigidity in to improve, at least partially, the facilities of some administrative procedures for using financial experiment stations. resources prevented the director of the center from administering research programs with the flexibility The regional IICA/BID Procisur regional network for normally required in research, and especially in the horizontal transfer of technology between biological research. Argentina, Brazil, Uruguay, Chile, Paraguay, and Bolivia was probably the most significant contribution to f) Specific areas o f work or services. Specifically, there an effective and relevant flow of information from were areas of work or services which showed definite southern Latin American regions to Uruguay. constraints: - Monitoring, evaluation, and economic analysis were loose, weak, and essentially informal. - Planning and priority selection of research projects 42 were rather diffuse and weak. 1. General Characteristics of the Proposed Law - The transfer of technology mechanisms was almost non-existant, reducing the possibilities for Cl A AB to Some important aspects of the new institution, as reach the existing network of public and private defined in the proposed law, are summarized below organizations working on extension and technical to highlight the most relevant characteristics of the assistance. new institutional model. - Library services and internal and external flows of information were minimal. - Scope of action: The institution will be a ’research institution’ linked to the existing network of public and private organizations of extension and technical MEASURES ADOPTED IN 1985 TO assistance by a transfer of technology department. STRENGTHEN AND IMPROVE NARS - Legal Status: A semi-autonomous organization linked Four actions were simultaneously begun in 1985 to to the Ministry of Livestock, Agriculture, and strengthen and improve the agricultural research system: Fisheries. 1) an institutional reorganization, leading to the - Governance: creation of an institute linked to the Ministry of a) Board o f Directors: This will have four members, Agriculture but with mechanisms and means to avoid two representatives of Government, one of whom is short-term fluctuations in its financial support and nominated President, and two representatives from economic policies; farmers’ organizations. The Board’s main functions 2) application of special laws, already available, to are those related to the definition of policies and rehire experienced staff who had earlier left the strategies for the institution. institution, either for economic or political reasons; b) Director General: He is the executive arm of the 3) an overall system development project to be financed Board of Directors and will implement their by some external agency (probably the Interamerican decisions. He will also have direct responsibility for Development Bank, IDB) which could, in a very the preparation of a national research program and short time, improve the potential of the institution budget, human resources management, and internal through postgraduate and in-service training, and international network cooperation strategies. equipment, and experts; c) Regional Directors: They will carry technical and 4) to maintain and increase national and international administrative responsibilities at the regional level. cooperation. d) Consultant Committee: This will include farmers’ organizations with national or sectoral importance. In addition, it also includes the university and the INSTITUTIONAL REORGANIZATION M OA divisions related to the planning and programming of agricultural policy. The Consultant During 1985, the Ministry of Livestock, Agriculture, Committee is intended to give opinions about and Fisheries appointed an advisory commission with research programs and priorities. broad representation from farmer organizations as well - Financial Resources: These will come from more than as public and private institutions linked to research, one source. This should buffer the institution against teaching, extension, and technical assistance. This fluctuations due to political changes or economic commission worked out a draft proposal for institutional oscillations affecting budget assignments. reorganization. Next, during 1986, the Minister Essentially, resources will come from: appointed a much smaller commission which worked on - public funds (annual budget defined by a second proposal, based on the draft, but with a Government); narrower scope according to the Ministry’s mandate. - taxes on agricultural products at points of sale or, for During this second stage, ISNAR was consulted, and its certain products, only if they are exported; expertise was of fundamental importance in developing - revenues from production at the institute or from the rationale of this second and definitive approach. services offered by the institute. 2. Factors affecting the rate of progress Two factors of a different nature have been operating in the country during the past two years which, in our 43 opinion, explain the relatively slow rate of draft law evaluation systems; administrative and financial preparation at the government level. mechanisms; and transfer of technology organization. First, the institutional reorganization of agricultural There are basically four stages in the preparation of such research in Uruguay is being accomplished alongside a documents: change in the political framework of the country associated with the re-establishment of a democratic 1. Diagnosis of the situation and general discussion of regime. The first steps in the discussion of institutional the problems between experts from IICA or ISNAR reorganization of agricultural research coincided with and leaders of the national research center. In some the very early stages of the new democratic regime, cases, e.g. transfer of technology, representatives of which followed an 11-year strong dictatorial regime. This other local institutions directly involved in the process meant that a large number of social, technical, or are also invited to participate; professional organizations, with various relationships to agricultural research itself, participated in the initial 2. Preparation of a preliminary document, with the advisory commission. The result was an initial proposal international institution expert responsible for this for an institution with a wide scope of action in research action; and extension and with the participation at the board level of a very large number of organizations. It was then 3. A workshop at the national institution with the necessary to develop internal strategies to demonstrate participation of all local staff and experts to discuss that for the efficiency and effectiveness of the research the preliminary document and to identify critical system, as well as the actual possibilities of financial areas. Comments and suggestions relevant to the support, it was absolutely necessary to conceive an preliminary document are then obtained; organization with a scope of action which gave priority to the activity which suffered the greater deterioration, 4. Preparation of the final document. The main i.e., research, and with a rather simple mechanism for its responsibility for this lies with the national institution direction. leaders, with advice from the international institution experts. Second, for a long time and publically, especially since 1984, several farmers’ organizations asked to share Given the length of time that the process of institutional responsibility in the administration and economic reorganization normally takes, the positive contribution support of agricultural research. However, when this of international organizations would be best achieved if desire was considered, the resistance to possible new their supporting work and expertise is continued taxes became so strong that the government slowed regularly; not only during the primary stages of designing down the processing of the law and redefined the the institute, but also during the later stages, in which proposed taxation mechanisms. The relatively high the functioning of the institute according to its new taxation pressure imposed on the rural sector in the past, organization and structure has to be ensured. especially on products like meat and wool, probably accounted at least partially for this resistance. This is a continuous learning process for everyone involved, and it seems that for an international institution like ISNAR, Uruguay’s case of institutional COOPERATION OF INTERNATIONAL research reorganization poses a definite challenge. INSTITUTES IN SUPPORTING NATIONAL RESEARCH REORGANIZATION Since 1985, ISNAR and IICA have been complementing their efforts in working with Cl AAB in the process of research reorganization. The primary purpose is to produce a series of basic documents which will be used in the design and organization of the new institute. Each agency is assisting with the preparation of four documents. ISNAR is working on research policy, research priorities, organization and structure, and human resources development. IICA is dealing with the mid-term research plan; programming, budgeting, and 44 STRATEGIC PLANNING FOR A NATIONAL AGRICULTURAL RESEARCH SYSTEM Guy Rocheteau Senior Research Officer ISNAR Translated from the original French I - UTILITY AND CHARACTERISTICS OF - The search for the best possible linkage between a STRATEGIC PLANNING NARS and its environment (all factors that have influence on the process of generating, transferring and adapting technology) has a central place in the Strategic planning* '* is a planning method used in the exercize. industrial sector, where it is by far the most suitable - The necessary institutional changes for accomplishing method when an organization is confronted with an the planned activities are fully taken into account. uncertain future, and with an unpredictable - All authorities involved (political decisions-makers, environment, so that it is continually subjected to abrupt planners, directors of research institutes, users of changes. Under such circumstances, ’management research results) participate in its preparation. Such planning’ (or ’long-term planning’), which aims at participation enhances validity of the decisions, and determining the resources to be used to attain preset the chances that they will be put into practice. goals, is not applicable. - Lastly, strategic planning is a continuous process. A strategic plan may be periodically revised to take into In strategic planning, the vision of a desired future is account changing circumstances. acquired through an exercize in futurology, based on the method of ’scenarios’. A scenario is a description of a II - STAGES OF STRATEGIC PLANNING future situation which is uncertain but plausible. Different scenarios are identified within limits of probability, then a decision is taken on the preferred The development of a strategic plan consists of five scenario(s). major phases, which can be subdivided into a number of steps (Figure 1): When this method is applied to a national agricultural research system, the characteristics of strategic planning are the following: - Its point of departure lies in a description of the situation which is desired to occur in future (the (1) The present study is mainly based on the following preferred scenario). The difference between the works in the abundant literature on the subject: current and the desired situation gives a measure of the - Selcuk Ozgediz. ’A Strategic Planning Process changes that are to be brought about. Model’. C G IA R office, April 1987. Unpublished - The strategies to be used to proceed from the current document. to the desired situation, take into account the - Nagy Hanna. ’Strategic Planning and Management. constraints, as well as the capabilities, of the system A review of recent experiences’. World Bank Staff (the potential of a NARS). Working papers No. 751, 1985. - The strategic choice, i.e. the reasons why one objective - Michel Marchesnay. ’Strategy. From diagnosis to and one strategy are preferred to all others, are clearly industrial decision’. Chotard et Associes editors. explained. 1986. 45 Figure 1 - Phases and Stages of strategic planning Phase Stage 1 O R G A N IZA TIO N OF THE 1 Assigning the planning responsibility PLANNING 2 Determination of time period 3 Circumscribing the NARS 2 STRA TEGIC DIAGNOSIS 4 Proceeding to stragegic diagnosis 3 D EV ELO PM EN T O F LONG-TERM 5 Setting the level of national OBJECTIVES research effort 6 Defining the missions assigned to NARS 7 Developing the strategic program 4 D EV ELO PM EN T OF 8 Developing NARS reorganization STRATEGIES strategies 9 Developing resource mobilization stragegies 5 O PER A TIO N A LIZA TIO N 10 Measuring the importance of projected changes 11 Developing a short-term action plan - organization of the planning; The development of a strategic plan is a complex - strategic diagnosis (current situation); process, taking a long time (one to two years) at high - development of long term objectives (desired cost in terms of money and manpower. From the situation); beginning, that should be clearly appraised and accepted - development of strategies (how to proceed from the by political authorities. actual to the desired situation); - operationalization. Stage 2 Determination of time period As the essential objective of strategic planning is the Phase 1 reinforcement of a NARS, the period to be considered ORGANIZATION OF THE PLANNING should be that judged necessary for allowing a NARS to achieve optimum size, and a maximum in efficiency - Stage 1 Assigning the planning responsibility effectiveness. The strategic plan is a political decision; therefore, final Stage 3 Circumscribing the NARS recommendations should be approved at the highest political level. It is best to use a wide definition of a NARS, including not only those institutions that have a formal research Organizational responsibility should be assumed by a mandate, but also institutions that contribute to the planning committee, appointed at political level. The production of knowledge and the generation of members of this committee should be chosen on the basis technology in the agricultural field. of three criteria: - the ability to devote necessary time to the However, one should clearly distinguish between those accomplishment of the task; institutions that one wants to plan the activities and - they should hold a high level government office; which will be required to implement the plan, and those - they should have a deep and direct knowledge of for which simple recommendations will be formulated. national agriculture. Phase 2 The committee should have an interdepartmental as well STRATEGIC DIAGNOSIS as a multidisciplinary character. It should have a permanent office, and be able to use working groups (or Stage 4 Proceeding to strategic diagnosis experts’ missions) for preparatory investigations. Two steps have to be taken: 46 (a) A monographic study of NARS However, such studies, and particularly studies on This study consists of a description of the essential ’similar’ countries, are always useful, if only because elements of the NARS in the present situation (the they show that profitability rates on research present scenario), in order to allow item by item investments are in general high (according to product comparison with the future situation (the preferred between 30% and 100%). scenario(s): - The importance o f technological innovation as a factor - activity programs; o f agricultural development. This importance depends - origin, value and allocation of resources; on the agricultural development strategy followed by a - organizational structures. country, and on the diversification of its agriculture: (a) Agricultural development based on the increase (b) An analysis of the strengths and weaknesses of arable surface, and/or large-scale agricultural (potentials and constraints) of the NARS. exploitation, could be assured easily enough by This last aspect is the heart of strategic diagnosis, simple transfer of technology (which could be part because it results in an evaluation of the potential of buying technology in developed countries). On and capacity of NARS to implement plans. the other hand, intensification of agriculture and At methodological level, strategic diagnosis requires aid to smaller farmers will require a higher degree a dynamic analysis of NARS that could be based on of organization of new production systems, and the study of evolutionary phenomena (the forces the generation of new technologies. contributing to the development of the system), and (b) Research needs in a given country are as extensive that is able to learn from experience. as the diversity of the conditions of agricultural production (production types diversity, or Phase 3 agricultural-ecological diversity). DEVELOPMENT OF LONG-TERM Summarizing the political choices concerning OBJECTIVES agricultural development for which agricultural intensification, promotion of small farmers, Stage 5 Setting the level of national research diversification of production, and regionalization of effort intervention will require increased research efforts: - The importance o f research in the ’production The level indicators which are most often used are: function’. From the point of view of return on - percentage of the agricultural Gross National Product investment, is it better to invest in research, in devoted to research; extension, or in development of agriculture? In - percentage of agricultural research expenses with developing countries, one can often observe a respect to the Gross National Product per inhabitant. tendency towards low investments in research at all stages of growth: However, it is also relevant to use: (a) At the primary growth stage, developing countries - average expense per research worker, multiplied by generally give priority to extension and number of research workers; agricultural training, considering that extension - number of research workers per hectare of cultivable of available techniques and training of staff for land. agricultural development require the most urgent attention. However, one factor is often On what level should one fix, in a long-term perspective, undervalued: research investment only yields the research effort? profits in the long run. Low investment in research stems from absence of a prospective vision of A. Examination of strategic options future needs. (b) At a later stage of growth, the need for training of Several elements can help to reach a decision*21: new staff is less urgent and the messages of - International comparisons. Lessons can be learned by comparing the situation in the country being studied with observations in ’similar’ countries. - The impact o f research on development. Retrospective (2) On these points, cf. Howard Elliott 'Resource studies on the profitability rates of research investment allocation and priority setting in antional are difficult to conduct. Besides, it is not safe to agricultural research systems'. ISNAR. February extrapolate from a past situation to a future situation. 1987. Unpublished. 47 extension need to be renewed. Governments have important, even when it does not include the a better perception of the need for investment in implementation of research of a cognitive nature research. On the other hand , they have difficulties (fundamental or strategic research), that a NARS in understanding that the accepted supplementary should be correctly and constantly informed of the efforts will not result fast in extension-ready advancement of knowledge in the field of fundamental results. research relevant to the development problems of Consideration of the dynamic equilibrium to be concern. This could imply that NARS scientists are maintained between investment in research, extension sent for limited periods to institutes conducting and agricultural training is an essential period in the research of that type, at regional or national level. It strategic planning process. could even be useful for NARS to be represented on - The competition in financing agricultural research vs the program committees of the same institutes, in non-agricultural research. O ther research- order to contribute to better compatibility of their development disciplines will compete with agricultural activities with national agricultural needs. research for the attribution of public funds; examples - Making available to planners the information needed to are medical research and new forms of energy elaborate agricultural policies and agricultural research. The problem is particularly clear when all development projects. This applies mainly to research is placed under the single tutelage of a economical research projects which are most often Ministry of Research. executed via the Ministry of the Plan or technical - The possibility o f obtaining outside technical and ministries. financial assistance. The significant parameter here is Several arguments justify that economists should be not primarily the importance of aid as an absolute represented in research institutes: better collaboration value, but its relative importance when compared to between economists and natural science experts; the national effort. Beyond a certain limit, the feedback of information to other scientific disciplines, necessary continuity of research is no longer which leads to better programming of research guaranteed. Preoccupations with national activities. independence can also influence decision. - Contributing to the distribution o f research results to other agricultural development sectors: extension and B. Developing strategic options agricultural training. One could proceed to draw up a maximum hypothesis The point here is to decided whether or not NARS and a minimum hypothesis concerning: should contribute to (to what degree and in what form), - the increase in absolute value of the national research and thus spend part of their resources on, the diffusion effort. For example: 100 to 150 researchers in 1995; of their own results. - the importance of external aid as compared to national Two remarks can be made: research efforts. For example: 10 to 20 technical 1) The often excessively academic and specialized assistants as compared to national workers. character of training in faculties of agriculture tends In that way, one could select four possible scenarios, to justify direct participation of researchers in from which one could be preferred: agricultural training. A t the same time, more Scenario 1: 100 national scientists, 10 technical assistants participation of teachers in research activities can be Scenario 2: 100 national scientists, 20 technical assistants more easily envisaged. Scenario 3: 150 national scientists, 15 technical assistants 2) Experience proves that the difficulties of Scenario 4: 150 national scientists, 30 technical assistants communication between agricultural research and extension could be lessened through the Stage 6 Defining the missions assigned to NARS contributions of groups of scientists: (a) to the training of extension staff, A. Examination of strategic options (b) to the defining of annual extension programs, (c) to the implementation of actions common to All NARS have as their primary mission to contribute to research and extension, which could involve the production o f technical innovations corresponding to creating research support stations for extension the needs of technological and agricultural development. and recruiting by research institutes of communication specialists. However, other functions can be assigned to a NARS: - Contributing to the advancement o f knowledge. It is 48 B. Developing strategic options - large vs small-scale exploitation, - controlled vs free sector. Decision needs to be taken at three levels: - Distribution of national efforts between various Second level: Impact desired fo r research projects to be NARS missions. undertaken (the impact which is judged most apt fo r the - Specification of lines of action to be privileged to promotion o f agricultural development): implement NARS functions other than technological research. - increased productivity vs increase of yield per hectare, For example: - increase of production vs reduction of production - contribution to the advancement of knowledge: costs, sending 3 to 5% of the staff in international institutes - introduction of new production systems vs dealing with fundamental research in soil improvement of current production systems, conservation and drought fighting; - selection criteria for genetic improvement, - economic research: setting up a group of minimally - types of methods for prevention and control. 3 to 5 scientists in the national institute; - contribution of research in extension of its results: Third level: Research approach: creating a network of research stations to support extension in three regions. - ’vertical’ research (centered on the development of particular production methods) vs systematic research - Development of the strategic program (cf. infra 7). (centered on the development of production systems), - multidisciplinary research vs monodisciplinary Stage 7 Developing the strategic program research. The strategic programming relates to general political Fourth level: Research type to be undertaken: decisions: the idea is to determine the general lines of action which will define the choice of intervention - local adaptation research vs generation of new domains and the research approaches for several years. technologies. A. Examination of strategic options 1) Each NARS has a primary obligation to adapt available technologies to the local production First level: Priority objectives fo r technological constraints, which is a condition for their adoption by development to the realization o f which agricultural direct producers. All other activities should, subject research should contribute: to evaluation, be considered as residual. (a) Production priorities: Therefore, it is necessary to start by reflecting on the - production to substitute import vs production for importance of adaptive research, which primarily export, depends on two factors: - food production vs commercial production, - the diversity of agricultural situations in the country - introduction of new products (diversification (at an agro-ecological and socio-economical level); of agriculture vs development of current - the existence of ’available technologies’. products). Such a reflection should be supported by exact (b) Thematic priorities: knowledge of the various conditions of national - conservation of natural resources and production and the results of agricultural research, at reproducibility of production systems vs national level (results obtained in controlled productivity growth, environment laboratories and experimental stations) - agricultural mechanization vs human investment, and at international level (results obtained in other - irrigation vs dry agriculture. parts of the world approaching the national (c) Regional priorities: conditions). - high-potential regions vs marginal regions, 2) In a number of cases, one will have to admit that there - colonization of unused land vs development of are no appropriate available technologies to satisfy territories which have been inhabited a long time. the needs of important sectors of national agriculture. (d) Priorities of target groups: The importance and the nature of the resources - rural producers vs urban consumers, secured by NARS for the generation o f new technologies will depend on decisions concerning the 49 incorporation of the NARS activities in the frame of among various NARS institutes, and coordination of an international division of scientific work. This their activities; includes two main modalities which are not mutually - it considerably improves the initiative capacity, that is exclusive: the negotiating capacity of the NARS in its relationship (a) Vertical cooperation: One can distinguish three with outside agencies, on scientific cooperation; levels of responsibilities: - finally, it constitutes a frame of reference to be used • international research centres which for government investment decisions related to the concentrate their efforts on fundamental and NARS. strategic research; • trans-national regional centres generating Phase 4 technologies adapted to specific conditions in DEVELOPMENT OF STRATEGIES large natural regions of a continent; • NARS which adapt technologies to specific Stage 8 Developing NARS reorganization national conditions. strategies Results coming from international and regional research centres being useful to a large number The question is to know whether or not changes in the of countries, the resulting economical use of structure and organization of a NARS are necessary, in means proves to be considerable. Therefore, order to satisfactorily accomplish planned activities and , there is every advantage for a NARS to if so, to define ways and means of the change. concentrate on adaptive research in vertical cooperation. The principal strategic choices concern the degree of However, that supposes either that part of the unification of the system, the more or less autonomous national finances are invested in regional organs character of research institutions (which could even go (such as W A R D A in Africa) or international as far as privatization), and the degree of centralization organs, or that a certain degree of dependence on or decentralization, administratively and the regional and international research agencies geographically, of the system. is tolerated. (b) Horizontal cooperation: Several NARS with Reorganization of a NARS must remain within limits common objectives cooperate to the fixed by the political environment and by the capacity advancement of an agreed program, each taking for evolution of existing structures; therefore, there are part of scientific responsibilities according to its no universally valid reference models. However, the relative advantages. Economical use of means is science of management has advanced past the stage of also important. pure empirism: compared evaluations, in time and This formula has the great advantage that it space, of organizational systems of research have permits a NARS to contribute directly to resulted in conclusions of sufficiently general fundamental or applied research without having applicability to be usable for research adapted to to renounce essential tasks and priorities of individual situations. But it is also known today that adaptive research. there is no ’perfect’ solution to solve all structural and organizational problems in every particular case. B. developing a long term strategic research program Experience shows that various solutions can always be considered in a given context, all having advantages and The result of the reflection is the development of a disadvantages. If this point of view is correct, the right strategic program which explicits the outline of desired approach consists in considering various alternatives research interventions, in an order of priorities including available to reorganize a NARS, to study their 2, 3, or at most 4 degrees*3*. advantages and disadvantages, and then to make the Such a program has several uses: - it provides clear directives to the leaders of research institutes, to which they can refer when programming their activities; (3) For a decision aid models study to establish research - it facilitates continuous evaluation of the actual priorities, cf. George W. Norton, and Philip contribution of the NARS to the attainment of national G. Pardey ’Priority-setting mechanisms for national development objectives; agricultural systems: recent experience and future - it facilitates distribution of research responsibilities needs’. ISNAR, April 1987. 50 most appropriate choice for the desired objectives, infrastructures remain. Certain NARS are endowed with within available means. The progressiveness of the infrastructures which are only partially used or which no decided changes should be carefully considered. longer correspond to the present needs. In such a context, new investments, without simultaneous Stage 9 Developing resource mobilization elimination of superfluous appliances, will result in strategies excessive maintenance costs and management costs for infrastructures, at the expense of operating budgets for A. Global strategies current research programs. Acceleration v\ progressiveness o f growth B. Sectoral strategies The rate and rhythm of progression of national expenditure on research should take into account Personnel policy constraints in the development of NARS, which limit its The efficiency of a NARS depends on the existence of a capacities for implementation and are very frequently group of scientists and technicians who are stable, underestimated. There are constraints at personnel competent, and motivated. level: newly recruited young researchers need to be guided; therefore one should start by assembling a small Stability: the essential variable here is the employment number of top managers and give them time to acquire market. Emigration of scientists to other sectors is experience, before proceeding to more extensive inevitable when salaries and conditions of work are recruiting. There are contraints at administrative level: better there. considerable and rapid growth of research expenditures necessitates that the capacity of research institutes for Competence: the academic level of scientists is an managing new resources should be reinforced important criterion, though insufficient. Experience, beforehand. On the whole, a slow though sustained proper scientific supervision, practical field experience, progression of a NARS is in all circumstances preferable acquisition of experimental research techniques, are all to sudden acceleration followed by period of slowing decisive factors as well. down, due to difficulties encountered. Motivation: it can improved through the introduction of Expansion v.v consolidation incentive systems (productivity bonuses, promotion by The temptation is always to use additional resources for performance evaluations) which will incite staff to expansion: new recruitment, creation of infrastructures, conform to assigned objectives and to accept research and new laboratories. It may well be preferable, constraints. however, to spend at least part of additional resources on consolidation of existing systems, in order to augment Nevertheless, it is an established fact that governments productivity and quality of performance by existing are very rarely ready to modify the application of public personnel (through improvement in training, regulations in favour of one category of staff, especially remuneration, and working conditions) rather than concerning salaries and the progression of careers. An recruiting new staff, and in order to maintain existing alternative policy is to de-regulate research staff rules infrastructures and laboratories rather than creating new (short-term contracts, salaries related to individual ones. competence). Nationalization vs increase o f resources Financing sources New resources of a national origin can be used to National financing sources should be diversified, if nationalize research and staff, though not to augment national budget is insufficient, in relation to what is them. possible: para-fiscal taxes collected on the profession, The nationalization of a NARS financing is primarily service performance contracts with development justified by the need for continuity of the research effort, operators, production income. Nevertheless, the which outside aid does not guarantee. Nevertheless, one advantages of such diversification have limits: should moderate that judgement: national financing is (a) Financing by the profession (for example cotton more urgently needed for operating expenses than for industries) could introduce biases in the research equipment and investment expenses. priorities of NARS. (b) Sales of services could exaggeratedly orient research Disinvestment vs new investments towards short-term conjunctural preoccupations. Research programs terminate but staff and (c) The existence of an important production sector 51 could exaggeratedly overload the administrative strengths and weaknesses of the NARS in the current management of research institutes. situation, of constraints impeding its development (at the level of financial, human, physical resources), of the Use o f f inances capacity of various component institutes to make the It is obvious that operating budgets allocated to research required institutional changes (strategic diagnosis). institutes are mainly destined to carry out research The compatibility of defined objectives with the NARS programs. Nevertheless, just as Emil Q. Javier correctly capacities for their implementation, provide a realistic notes*41, other types of activities (’organizational short-term perspective on the basis of the distinction activities’) which respond to ’non-targeted’ objectives, between: should also be taken into account: - certain action, which the NARS seems able to carry out on its own or at least to start up in a significant way, - ’Opportunity activities’. Here, activities are related to and for the implementation of which necessary the need for research institutes to prove at any time resources seem to be available; their usefulness and their impact: service performance - conditional action, of which the implementation is and short-term interventions in response to urgent subject to conditional decisions or initiatives to be needs. The credibility of the institution with the taken by one or another authority (government, government, and its other partners, is concerned here. donors); - delayed action, of which one can predict with certainty - ’Transition activities’. Here, activities are related to that the NARS would not be able to start them up in a implementation of institutional reinforcement significant way on a short-term basis, either because (administration and organization) decided upon, the they are premature, or because the required prior cost of which cannot be supported by the programs. conditions will certainly not have been fulfilled in time, or because necessary resources will certainly not be - 'Research entrepreneurship activities’. This is available. concerned with all incentive measures, including Such an approach has the advantage of placing financial aspects, having for purpose to motivate staff: development of the NARS in a realistic framework and, productivity bonuses, grants. above all, to put in evidence the ’waiting problems’, the solution of which is a condition for the implementation Phase 5 of the projected objectives (Table 1, Annex). OPERATIONALIZATION It is convenient to treat ’conditional’ and ’certain’ actions seperately, namely: Stage 10 Measuring the importance of projected changes - In the first place, deciding actions to be taken to solve ’waiting problems’ as soon as possible. Measuring the changes to be made results from a comparison between the current situation and the - In the second place, deciding on ways in which the desired situation. It should be expressed, in most cases, ’certain’ actions will be carried out, in NARS as well as in terms of increase or decrease of the importance in the various institutes having responsibilities for attributed to each of the essential parameters of the carrying out the plan. Simultaneously, short-term strategic plan. objectives should be compared with the means needed to attain them , in order to establish ’operational plans’: Stage 11 Developing a short term action plan material investment plan, personnel plan, and The action plan again places the NARS in the perspective of ’management’ planning: the expected results are defined in a non-equivocal way and are foreseeable. The time horizon to be considered for the action plan should correspond to a period of relative (4) Cf. Emil Q. Javier: ’An integrated approach to stability in the NARS environment. priority setting and resource allocation in Once general and long-term objectives have been agricultural research’. ISNAR. Paper presented at defined, what are the possibilities fo r attaining these the Rockefeller Foundation Conference in objectives on a short-term basis? ’Allocating Resources for Developing Country Agriculture Research’. Bellagio, Italy, 6-10 July The starting point should be an evaluation of the 1987. 52 financing plan. Decisions taken should be compatible - an excessive tendency towards rationalization of with strategic choices concerning the mobilization of choices whereas it is known that attitudes the resources. characterized by a dose of improvisation, risk-taking and jumping into action are factors of excellence for an Ill - LIMITATIONS OF STRATEGIC organization; PLANNING - finally, the risk of overestimating the importance of Strategic planning has a number of limitations which, if the planning function as compared to other not clearly appreciated, could annul its usefulness: management aspects, which are therefore neglected. - an excessive tendency towards formalization, towards bureaucratization of planning procedures and of A good strategic plan does not by itself guarantee the regular implementation of the plan, which can block capacity of an organization to evolve and transform the capacity for initiative and creativity of NARS itself. managers; ANNEX Table 1 - P O SSIB IL IT Y FOR SH O R T -T E R M IM P L E M E N T A T IO N OF L O N G -T E R M O BJEC TIVE S LO N G -TE R M O BJECTIVES P O S S IB IL IT Y FOR SH O R T -T E R M IM P L E M E N T A TIO N A C T IO N S ’certain’ ’conditional’ ’delayed’ I . National research effort a) Going from 60 to 100 national + scientists 2. Outside assistance a) Going from 40 to 20 technical assistants + 3. N A R S missions a) Training: supervision of + theses by scientists b) Extension: creating three + support stations 4. Strategic programming a) Developing an irrigated rice + program together with IRRI b) Developing research on + systems of high plateaux 5. Reorganization o f N A R S a) Privatizing research on + coffee b) Creating single autonomous + institute for food crops 6. Mobilization o f resources a) Inactivate one research + stations for livestock b) Introducing productivity + bonuses 53 54 STRATEGIC EVOLUTION OF PLANNING AT THE NATIONAL INSTITUTE OF AGRICULTURAL RESEARCH IN NIGER Idrissa Soumana Director General INRAN Niger Translated from the original French HISTORICAL ACCOUNT OF to promote the idea of having a national institution for AGRICULTURAL RESEARCH IN NIGER agricultural research. Niger is a landlocked country in the Sahel zone. It is We now have six agricultural research centers: about 1,267,000 sq. km in area and subdivided into zootechnics; veterinary; forestry; rural economics; regions. Two-thirds of the territory is in the sahelian ecology; and the computer and statistical center, for area. Climatologically, the north sahelian is pastoral and statistical analysis and drawing up of protocols. The the south sahelian is agricultural. The 300 mm national institute has its stations mainly in the west, with precipitation line delimits the agricultural area, which a large center in the middle of the country. This means accounts for 45-46% of the country. In this part, the that there is a concentration of centers in the western rainfall varies between 300 and 600 mm per year, and part of the country. At present, the centers are divided this includes a small area near Sudan with 600 m m . There into departments, and there are quite a number of are about 30 million ha of useful or cultivated land, 50 stations with laboratories and various operational million ha which could be used, 3 million ha under rain- activities. fed cultivation, and 3 million ha under irrigation. In spite of financial investments in research, the results Rainfall varies widely from one year to another. Since were not up to expectations. So the Niger government 1975, there has been a rainfall reduction period, and so asked ISNAR to study the system, and advise on far this year, nowhere in the country has the annual strengthening it. This study has gone through various average been achieved. Since 1968, the main problem stages which are descibed below. has been drought, and things do not seem to be improving. The first stage was the definition or drawing up of a mandate for research, with development priorities The main crop is millet, grown over an area of 3 million defined by the government and using the projected ha. Production varies according to the rainfall. The resource allocations for agricultural research. This second crop is cowpea. Production also varies in relation required the setting up of a national program and to the rainfall. The third crop is sorghum. Here too defining priorities, taking into account the present production fluctuates and is dependent on rainfall. situation of our national agricultural research system. This had to be developed as a program of agricultural research per region, and included an assessment of the NATIONAL INSTITUTE OF contributions from foreign aid. AGRICULTURAL RESEARCH When determining the basic principles of the plan, the In 1975, the National Institute of Agricultural Research mission and scope of research must be decided. This was set up, taking over French institutions such as means one must decide where one is headed, what one IRAB, INVT, IRA C H O , to try and control the wants to do, how intervention is limited, how to abide by agricultural research system. The previous institutions national strategy, giving priority to applied research and, were completely independent. Some coordination lastly, defining research priorities on the basis of socio­ problems were met, and it was quite useful for politicians 55 economic interests and production potential, and on the manner within our institution. The breakdown per sector basis of considerations peculiar to each sector which is also more homogeneous. At the end of the plan, we affect research productivity in that sector. have centers in Niamey, Colo, Rawa, and Zindaire. Zindaire hardly had any researchers on the spot, and REINFORCEMENT although we have a large station in Niamey, we tried to distribute manpower and worked out a breakdown of Research is not the exclusive preserve of research researchers per sector and per zone. For the operations institutes, because its results must be applied in the field. sectors, we aimed at greater precision in the distribution. To prove the value of the agricultural system, some For each of these sectors, we tried to indicate the requirements had to be satisfied. Since there was an operating area and the allocating of resources in relation expert team, we had to gather all information possible to priorities. on agriculture. To obtain this information, we had to call in specialists in research, administration, and ASSESSMENT development. Then these specialists had to work together to give their common assessment of the In this exercise, we started from the basis of cost per situation and draw up the plan. The approach was as researcher, to assess the system. This is a considerable follows. improvement because, in the distribution of technicians and scientists, we had limited possibilities, taking into The ISNAR team had a general discussion, talked to all account the national potential for training, which is also technical and research departments, then visited the a problem. Foreign training for our researchers is whole country to obtain a first assessment of the expensive. Very often, when they return they have situation. Then six working groups were set up on main considerable adaptation problems, because they have crops, irrigated agriculture, non-irrigated agriculture, become accustomed to amenities, installations, and forestry, institutional problems, and identification of facilities better than exist in their home country. We try sectoral research, to define the manpower required. to carry out cost assessment on the basis of GDP financing over a number of years. The basic philosophy is control of the research sector through a national system. Niger being one of the less- A nother important feature is integration of the entire developed countries, we have modest ambitions. We research system. seek moderate growth and control of the national system. We have about 25 researchers now and hope to To carry out the plan, we believe that the preliminary reach 140 at the end of our plan. We believe this is conditions are the following. feasible. Of course, foreign aid is indispensable, but we ask for moderate aid, so we can keep control of the The national agricultural research system must be able system ourselves. to coordinate and finance its research. Also, it must set up procedures for programming and periodic assessment CHANGES of the plan. It should provide for improvement of the working conditions of researchers and give them staff Then we planned changes in a number of centers, major statutes, which they do not yet have. There is also the and minor: the Maridi center, which we already have, a synergy of research with the University, which is very new center in Zendaire, and a new center in Ta Atawa, important. We would like for the National Institute for with specific missions, plus small centers such as in the Agricultural Research and for the University, which are Sudan area. Another area to monitor is irrigation. We the two main research institutions, to achieve have four centers with national coverage, plus some coordination of their activities, and thus contribute to support centers. If we examine the system closely, the the development effort. main focus is on rain-fed crops, with very little work being done for irrigated crops. Livestock and soils must The Institute depends on the Ministry of Agriculture also be considered. The plan aimed at readjusting and of Higher Education. Next to this planning, there is discrepancies, to achieve a certain harmc ly and reorganization of the structure, because so far we have equilibrium in the national system. only one director general without a deputy, whereas we want a scientifically oriented deputy director general, to The principal result has been better balance between the carry out and supervise all scientific activities. distribution of resources. In the distribution per sector of 1985-6, we try to apportion manpower in a coherent 56 ADMINISTRATIVE MANAGEMENT research needs. It is planned that the director of the institute will preside over this national committee, and Another important problem for the management of the will provide its secretariat. But we are trying to be institution is the administrative and financial aspect. We realistic about this. need managers who understand the needs of research and can establish an administrative coordination system; SCIENTIFIC COUNCIL the deputy director general will deal with coordination of the scientific program. Considering that we do not have sufficient high-level professors and researchers, we set up a Scientific Council The regional centers will have center directors reporting for the institute. It is a unit which advises the Director directly to the director general. Because they will have General on programs, to make sure that they are to coordinate various programs in their stations, these formulated properly, and that they are carried out centers will need to have secretaries general who are in adequately as well. This scientific council gathers all the direct contact with the administrative manager. people recognized at the university level, and also outside consultants according to the specific fields needed in our research programs. Above that, we have a LINKAGES Board of Directors; the President now is the Dean of the University of Niamey, which underlines our desire to Next, we have the problem of relations between research achieve synergy with the university. We have then a and extension. A unit that will establish a link between Higher Council of Agricultural Research. The Higher research and extension is needed. A second unit is a Council will group various ministries, such as the communication unit; this has been mentioned on various Ministry of Agriculture, the Ministry for Animal occasions. There must be communication aiming at Resources and Forestry, and representatives of the introducing the institute, making it known, adapting it to Prime Minister. For this council to be efficient, it must the environment, having it accepted. The stability of be able to take decisions. So, all the work of the National research financing, apart from political instability, Council for Programs and the Scientific Council, depends on the efficiency of the institution to solve the adpated or modified by the Board of Directors, must be problems it confronts. If the institute gives evidence of approved by the Upper Council of Research, who will its utility, everyone will agree that research must be submit it to the Government and the Council of carried out. Ministers. The third unit is a training unit, for the training of researchers and technicians. The political organization divides the country into seven departments or regions. These are administrative units, which from an administrative point of view will have great autonomy in the definition of their development process. That is to say, the national development program will be the sum total and integration of regional development programs. For research to be coordinated, we have provided linkages with research at the regional level. These are units which will gather the researchers of the regional centers and the people responsible for technical departments of the participating ministries, and the representatives of the cooperatives, in order to define research needs at the regional level. These research needs will be centralized by the coordinator of the research unit and will be sent to the ministry, in order to be examined and compared with the assessment carried out at the ministerial level, so that it fits in. The representatives of the ministries must set up a national program committee for the expression of national 57 58 AGRICULTURAL RESEARCH PLANNING, MONITORING, AND EVALUATION IN VIETNAM Nguyen Trong Hoan Senior Researcher Ministry of Agriculture Vietnam INTRODUCTION two or three crops in the Mekong River delta. Recently, there has been an emphasis on diversification, and the Vietnam has a land area of 329,566 sq. km, of which 16% rice area has gradually declined from 90% to 80%. is cultivated, 35% is forest, and 14% is pasture. Geographically, there are three distinct areas: the plains, The labor input in rice farming is high - from three to extending through the length of the country, with the four persons per hectare and even five in some areas. Red River delta in the north and the Mekong River delta Rice yields compare favorably with those of other in the south as the two granaries of the country; the countries in South and Southeast Asia, where they apply highlands, with mountain ranges in the northwestern much higher chemical and mechanical inputs. Average parts running south to central Vietnam; and the yields are increasing and are approaching 3 t/ha, but seacoast, which is over 3000 km long. Administratively, some good cooperatives in the north reach or exceed 10 the country is divided into 40 provinces and three cities. t/ha per year from two rice crops. The higher productivity is due to the introduction of suitable high- Vietnam lies in the tropics from 8°N to 23°N. There are yielding varieties, better irrigation, and use of organic two different seasons in the north: winter from wastes, azolla, and fertilizers, as well as good cultural November to April, with a relatively low temperature practices based on labor-intensive farming. Cooperative (16°C on average) and low rainfall; and summer, from social organizations also facilitate the quick transfer of May to October, with high temperatures, frequent technical innovations for production. floods and typhoons. In the south, there is a monsoon- type climate with temperatures between 25°C and 28°C. Agricultural production is trying to keep pace with the The humidity is high throughout the year in most parts of population growth, but at the current rate of population the country. growth, the country has to produce 400,0001 more food every year. This is the challenge which agricultural The population of over 60 million is divided almost scientists in Vietnam have to face. equally between north and south. Population density varies widely, from the heavily populated main river Despite a steady increase in rice production, there is deltas to the moderately populated coastal regions. malnutrition, primarily due to an overwhelming reliance Nearly 70% of the active population are engaged in on rice as almost the sole source of nutrition. agriculture, which accounts for 45% of GNP. The annual Consequently, emphasis is now being given to improving population growth rate is 2.2 to 2.4%. the quality of diet through diversification of production. Soybeans, groundnuts, pulses, potatoes, maize, CROP PRODUCTION vegetables, fruits, fisheries, and livestock are receiving increased research attention. The agricultural system includes crops, livestock, and In order to obtain raw materials for industry and to fisheries, with rice, maize, sweet potatoes, sugarcane, promote exports, industrial crops are also receiving potatoes, vegetables, and fruits being particularly more attention. Most of these are produced on state important. The basic feature of agriculture, however, is farms. rice monoculture, with two annual crops in the north and 59 During the last three decades, crop cultivation has been - The Soil and Fertilizer Research Institute, conducting greatly intensified by the construction of thousands of research on effective soil utilization and optimal major and minor hydraulic works, and nearly 30% of the fertilizer rates for different crops. cultivated area is now irrigated. In the deltas, it is over 80%. - The Plant Protection Research Institute, responsible for studies on pests, plant diseases, and their control. LIVESTOCK PRODUCTION - The Agricultural Economics Research Institute Livestock production, generally pigs, buffaloes, cattle, studies production ecomonics, methods for improving goats, poultry, and ducks, is widely undertaken by both economic managment, and effective production cooperatives and individual households. Pig rearing gets organization. highest priority, since pigs are the major source of meat as well as an important source of fertilizer. Introduction - The Institute of Agricultural Machinery and and development of new and improved breeds, artificial Mechanization does research on agricultural insemination, and improved management practices are machinery manufacture, machine operation, and some of the steps undertaken to stimulate production. maintenance. From 1980 to 1985 pig production rose by 25%, reaching nearly 12 million head, andlive-weightat slaughter for 8 - The Agricultural Planning Institute is responsible for to 9-month-old pigs rose from 45 kg to 62 kg. studies on soil resources, determining and regionalizing crop production, and establishing THE NATIONAL AGRICULTURAL optimal resource exploitation approaches. RESEARCH SYSTEM - The Institute of Agricultural Construction and Design The first agricultural research institute, on crops, was carries out research on capital construction and established February 10, 1952 and later became the agricultural design. National Institute of Agricultural Sciences (INSA). The primary mandate of the institute is to carry out long­ - After the reunification of Vietnam, the Ministry of term, strategic research to support and improve Agriculture set up the Agricultural Technology agricultural production. Institute in Ho Chi Minh City and the Rice Research Institute in Mekong Delta. During the 1960s, several research departments of INSA separated from the main institute and emerged as new - A number of research centers also form part of the institutes to undertake expanded programs of applied research network, including ones dealing with maize, research in various commodity and non-commodity mulberry, and sericulture, veterinary drug testing, and areas, leaving INSA to work more on long-term scientific-technological information. research. Ten institutes were formed: Some companies and enterprises have research centers - The Food Crops Research Institute, responsible for for testing and applying improved agricultural applied and adaptive research on important food technologies in various crops and animals. They combine crops, including rice, sweet potatoes, potatoes, pulses, research with production and help shorten the time and vegetables. needed to transfer technological innovations to production. These are: - The Industrial Crops Research Institute, responsible for crops like tea, citrus, and leechee. - the Coffee Research Center of the Union of Coffee Enterprises; - The Animal Husbandry Research Institute, with - the Cotton Research Center, under the Cotton responsibility for research on genetics and Company; crossbreeding, husbandry and management of pigs, - the Vegetable Research Center of the Vegetables and buffaloes, cattle, horses, poultry, and other livestock Fruits Company; in tropical conditions. A H RI has seven research - the Pig Crossbreeding Research Center belonging to stations throughout the country. the Pig Production and Crossbreeding Company; - the Chicken Research Center, under the Union of - The Veterinary Research Institute, working on animal Poultry Chicken Enterprises; diseases, their control, and vaccine production. 60 - the Bee Research Center, under the Central Bee consideration by the MOA and the State Committee Company; for Science and Technology. Research plans are - the Fodder Research Center of the Central Fodder derived according to the goals and objectives of the Company. national five-year plan. Besides research topics in national programs, there are also separate topics Some Research Institutes have established testing implemented by the Ministry. stations and application centers within their network systems in various parts of the country. 2. Approval Procedures Agricultural research is also carried out by the After being vetted by the Council of Agricultural agricultural universities, which make a great Science and Technology, and with the concurrence contribution to agricultural science and technology. of the Minister of Agriculture, the research plan is sent to the State Committee for Science and AGRICULTURAL RESEARCH PLANNING, Technology. This committee examines the plan in MONITORING AND EVALUATION consultation with the State Committee for Planning, the Ministry of Finance, and the MOA. Thereafter, 1. Methods of Developing Program and Topics the State Committee for Science and Technology, on behalf of the MO A , announces the approved Initially, research programs and topics are research plans, including programs and topics at both formulated by the research institutions and a national national and ministry levels, together with the program chairman in consultation with crop and resources allocated for their implementation. livestock production departments, taking into account the goals and objectives of the national five- 3. Management of Implementation year plans. The Ministry of Agriculture, based on the approved Subsequently, the proposals formulated are plan, allocates specific responsibilities to the submitted to the Ministry of Agriculture (MOA) research units (institutes, centers, agricultural units, according to standard procedures, which include the etc.) and, in turn, assigns tasks to the concerned following information: research departments. The research units are responsible for submitting progress reports every - program outline, providing a general review of the three, six, and twelve months. content and objectives; - list of topics; In recent years, agricultural research has usually - justification of content, and procedure for each been carried out through programs. Topics on the topic; same commodities, or economically and technically - facilities available for implementation and related matters, are put into one program. For management; instance, the rice program consists of topics on - input requirements (manpower, equipment, genetics, breeding, intensive cultural practices, and materials, capital construction, etc.); pest management, and includes farming tools, seed - summary of activities and achievements of earlier storage design, and policies to stimulate rice programs or topics. production. This helps draw all research workers into one integrated team and in forming links within The Department of Agricultural Science and or outside the M OA, and among units at research Technology (DAST), on behalf of the MOA, and production levels. receives the proposals. It does the initial scrutiny and holds discussions with the concerned institutions and Each program has a Board of Directors responsible scientists for any necessary clarification and for formulating and monitoring the program. The approval. board of a national program is appointed by the State Committee for Science and Technology, upon DAST coordinates approval and integrates research recommendations by the M OA, and its chairman is proposals, prepares overall agricultural research appointed by the Council of Ministers. The Board of plans, and sets priorities on the basis of their urgency MOA Programs is appointed by the Minister. in solving production problems and their potential economic effectiveness. It also develops norms for The research units, which may include universities, 61 may be given responsibility to implement one or research outputs, and to undertake timely corrective more topics in a program, and the chairman of the measures. Thus monitoring is a device to improve concerned program manages the whole program. program management. It is restricted to watching and overseeing and does not question the program 4. Research Management objectives. At the base level, each research institution has its REMARKS AND CONCLUSIONS Council for Science and Technology which does on- the-spot supervision, examines reports, evaluates In planning agricultural research, Vietnamese scientists the topic, and submits its observations through try to meet the objectives laid out in the state plans. DAST to the Council of Agricultural Science and Research programs and projects are identified and Technology for the necessary actions. implemented in close coordination among the State Committee for Science and Technology, the State At the ministry level, DAST, on behalf of the Committee for Planning, the Ministry of Finance and Council for Agricultural Science and Technology, Ministry of Agriculture, and between central and local organizes periodic evaluations. Based on these, a levels. topic may be dropped or intensified. DAST identifies the production technologies to be approved and Research planning has not involved the participation of applied for production and recommends the results the majority of research users or the collaboration of for regional trials. The Ministry then gives directives research institutes and non-agricultural institutions. to the concerned agencies for implementation. Every Hence, many targets have not been achieved, and some year, the number of topics may change. Some are topics have overlapped, causing a waste of investment terminated, some dropped, some modified, and and resources. some added. After a program has finished, evaluation is carried out At the State level, inter-ministerial programs are by the Council for Science and Technology, but so far, evaluated by the State Committee for Science and standard criteria for more accurate evaluation have not Technology. Based on the committee's observations, been developed. the M OA takes the necessary actions. Like other developing countries, Vietnamese 5. Research Monitoring agricultural production aims at: - food self-sufficiency; The regular measurement of program inputs, - increasing national income; activities, and outputs is undertaken periodically - adequate nutrition for the population; during implementation. Monitoring is normally - supply of goods to export; concerned with the procurement, delivery, and - provision of industrial inputs. utilization of the project resources, adherence to the work schedule or progress made in the production of It is hoped that, in keeping with these targets, ISNAR outputs. The purpose of monitoring is to indicate, as and colleagues from other countries will give us support soon as possible, any shortcomings in the delivery of and cooperation in agricultural science and technology. outputs, execution of activities, or production of 62 PRIORITY SETTING AND RESOURCE ALLOCATION IN AGRICULTURAL RESEARCH AT THE NATIONAL SYSTEM LEVEL Emil Q. Javier Senior Research Fellow ISNAR INTRODUCTION In those countries where these quantitative approaches have been tested, research administrators have found Basically the administrator of a national agricultural them stimulating, informative, for the most part research system sees his principal functional reassuring, but not entirely useful. responsibilities as follows: In the first place, the assignment of relative weights to 1) justify and generate resources; national development goals is a political act beyond the 2) establish priorities and allocate resources; competence o f the research com m unity. If the research 3) see to the proper planning, programming and community on its own were to make assumptions of this implementation of the research and research support fundamental nature, the assumptions should be made programs; very clear to high political authority for validation. 4) see to the formulation of proper technology and policy recommendations and their adoption by Moreover, it is doubtful if the relative values of national producers and policy makers. development goals are intended to be resolved by society and governments in the manner in which current Priority setting and resource allocation, therefore, is priority-setting procedures approach the problem. only one of four major interrelated tasks. A national Depending on the weights assigned to them , it is entirely research administrator looks at his priority setting and possible that some of the national goals will hardly be resource allocation responsibility with the three other served at all. equally important functions in mind. For comparisons to be valid, the criteria which address Thus, for some, priority setting and resource allocation different national development goals must be expressed is as much an attempt to introduce more rationality in in common terms, usually in cash terms. Unfortunately, the process as to generate resources by demonstrating to while most national goals are clearly economic, others its publics the relation between research priorities and are not. national development goals. Integration of ethnic and/or religious minorities is often To assist research administrators and decision makers in a very important national goal. If the alternative is establishing priorities and allocating resources, a political dismemberment, what is its economic value? Of number of methods or approaches have been developed. course, one can assume that the costs of counter­ The basic purpose is to inject more objectivity and insurgency efforts can be substantially reduced with transparency into what is by practice an intuitive and improved relations among national communities. subjective exercise. The premises and details of some of However, the estimates of economic benefits are highly these methodologies are dealt with at length by the conjectural. companion paper in this session of the workshop. How does one quantify the economic benefits derived However, these priority-setting methodologies have not from reducing third-degree malnutrition among pre­ found much use yet in developing countries. schoolers, one of the most reliable indicators of malnutrition? It is doubtful if any civilized society today, 63 however rational, will entertain such quantification. A However, priority-setting methodologies should not be society seeks to promote the well-being of its people not overly ambitious to integrate all national goals into a only because it makes economic sense but more so single exercise. Their rigor and credibility decline as the because it is ethical and just. less obviously economic goals are given cash values which many find difficult to accept, both on scientific For the above reasons, it is more likely that national and ideological grounds. Moreover, priority-setting policy will decide priorities by assigning budget resources methodologies give the false impression of precision, directly among competing national development goals on which perhaps is not intended but nevertheless comes a fixed ratio over a specific planning period. In other out without the proper qualification. words, all the goals must be addressed. Importance is expressed by the level of resources assigned to them. The following discussion attempts to accomplish three The ratios are reviewed periodically as governments things: 1) to recognize the limitations of current change and as progress is achieved in meeting stated methodologies; 2) to relate the priority-setting goals. This is not the same as giving the national methodology with the political processes which set development goals differential weights in an integrated national goals and with the essentially technologically priority-setting exercise which lumps all the goals oriented processes which build up the research activities together. relevant to those goals; and 3) to pick up where most priority-setting exercises leave off - actual research In the second place, the methods by themselves do not allocation. resolve allocation decisions. Priority setting is simply the ordering or ranking of activities in their claim to It is written very much in the perspective of a national available resources. A higher priority rank means that system administrator, with the intention of giving an the activity is up front in the queue; resources are insight on how a research administrator might look at allocated to it ahead of others in the line as resources priority setting and resource allocation in the context of become available. A higher priority rank would imply his other responsibilities. under most circumstances a higher resource allocation, but this need not be so. ESTABLISHING PROGRAM PRIORITIES Third, these methodologies, while addressing long-term Levels o f Decision Making. Program priorities are strategic program needs, do not take into sufficient established in at least four levels: account the near-term, tactical aspects of running organizations. Current priority-setting methodologies - at the Cabinet/Parliament level, where national are strong on program priorities but soft on development goals are determined; organizational priorities. - at the level of the Ministry of Agriculture, where sectoral objectives are spelled out; Finally, current priority-setting methodologies do not - at the national research system level, where relate clearly with the organizations’ structure and other agricultural research programs are built; management functions. - at the level of implementing research institutions which decide on their respective research activities. Nevertheless, there are strong and valid arguments for further refining and streamlining of priority-setting The process ideally is iterative; i.e . , one echelon feeding methodologies, provided their limitations are information to the other sequentially and in both recognized. Resources will always be scarce. A clearer directions until a final decision is reached. However, relation between activities and potential benefits will not basically there is a dominant top-down flow from guarantee optimal utilization of scarce resources but national authorities to the research system in terms of should at least minimize opportunities for gross national policies and directions; and a strong bottom-up misallocation. flow from the implementing cadres to the policy makers in terms of which realistic and feasible activities can Moreover, in contrast with non-formal, heuristic contribute towards those national goals. methods, formal priority-setting exercises will tend to promote stability and continuity of research support, A fifth level could be added - the level o f the individual given the periodic changes in leadership which many scientist. However, for the purposes of this discussion NARS undergo. this level is subsumed under the fourth, while 64 recognizing that, indeed, individual choices can be programs, campaigns and activities. Where these decisive factors in the final outcomes. indicative directions are not sufficiently clear, the research community may have to take the initiative to The levels of decision making and the relationships spell out the sector targets in behalf of the ministry, or among the different echelons are diagrammed in Figure preferably jointly with it. 1. The foregoing can be easily shown by an illustration. National development goals are normally spelled out in Tables 1, 2 and 3 are examples of how the national the five-year plans and annual government budget development goals, the agricultural sector objectives documents. Since the national goals are invariably and the agricultural sector operational targets in a broad, noble and ambitious, they have not been particular country may be described. constraints in program priority setting. Tables 1 and 2 state the broad national development Similarly, the agricultural sector objectives derived from goals and agricultural sector objectives of the country. FIGURE 1 - PROGRAM PRIORITY SETTING IN AGRICULTURAL RESEARCH DECISION LEVEL CABINET N A TIO N A L D EV E LO PM EN T GOALS Top down MINISTRY OF A G R IC U L T U R A L SECTOR OBJECTIVES AGRICULTU RE Agricultural Sector Operational Targets (Programs) RESEARCH SYSTEM A G R IC U L T U R A L R ESE A RC H PRO G RA M S Bottom up INSTITUTE A G R IC U L T U R A L R ESE A RC H ACTIVITIES the national development plans are sufficiently broad to Table 3 attempts to express the national goals and accommodate practically every activity proposed by the objectives into more operational terms indicating research community. specific sets of activities, their target clienteles and introducing the notions of time and scale of effort. Agricultural Sector Operational Targets. The research community needs more clear, directive statements in In addition to translating national goals into more order to plan more accurately. More importantly, the operational terms, the statements in Table 3 are an research community organizes and builds its research opportunity to test whether the research community and agenda not on the bases of development goals but along the leadership in the Ministry of Agriculture are commodities, disciplines, factors of production and operating on the same wave length, as well as an agro-ecological zones. There is therefore a need fo r a set opportunity for both to influence one another in the o f statements which form the bridge between development process. Presented as the research community’s planning goals and the research agenda to establish very clearly the assumptions (if they interpreted the directives of the connection between the two. Ministry of Agriculture correctly!), the Ministry of Agriculture now is obliged to accept, reject, or amend These statements are usually implied in the manner the Ministry of Agriculture builds up its major production 65 any or parts thereof of the research community’s national goal, as illustrated in Tables 1,2 and 3, provides planning assumptions. the one-to-one correspondence between research priorities and development goals which our publics look The parenthetical statement is quite important, for. particularly in situations where agricultural research is organizationally remote from the Ministry of However, there remain a number of important targets Agriculture, or more precisely from the Office of the which the commodity approach cannot give sufficient Minister. This underlines the research community’s justice to, such as, returning to the illustration: subordinate role to the political process in policy and goal setting and establishes the essential supporting role 2.1 to rehabilitate existing systems and irrigate an of research to the line agency responsible for additional 200,000 hectares of land; development. All too often, research and extension do 2.3 to promote rural industries; not come together, to the detriment of the country’s real 3.1 to reduce third-degree malnourishment among pre­ interests. This is likewise a subtle reminder to the schoolers from 2.5 % to 1.0 %; Minister of Agriculture that he has to look after 5.1 to redistribute 500,000 hectares of farm lands to research, as he may not always do so. tenants and landless workers; 5.2 to intensify extension and organize producers’ At the same time, these descriptive sets of activities cooperatives in major land-reform districts; evoke clear research opportunities for the scientists and 6.2 to intensify extension and organize producers’ the research units in the national research system. They cooperatives in the tribal regions. can now plan and propose their own activities which they believe can contribute to the development targets set by Since these targets cut across commodities or may have the Ministry of Agriculture and eventually to the nothing to do with them, any further effort to compare national goals. them with specific commodities in the priority list stretches the validity of the comparisons beyond the This intermediate set of statements (Table 3) serves point that renders the listing meaningless. Again, one another important purpose: they can be easily related to can keep these targets in mind when building up current priority-setting exercises. activities within commodities, but the more logical and direct way to address them is to prepare a separate A closer analysis should reveal that many of the targets priority list for each of the non-commodity targets. are in fact commodities and/or objectives, targets, thrusts and disciplines which can be readily Thus one ends up with two priorities lists: accommodated as the research activities are built-up - a commodity priority list; within commodities. - a second list of priority activities for other concerns. Thus, in the examples given, raising cropping intensity, DEVELOPING THE AGRICULTURAL promotion of appropriate agro-silvicultural practices on SECTOR OPERATIONAL TARGETS hillsides and promotion of integrated pest management STATEMENTS can be built into the research objectives of the commodity programs. Likewise, special attention can be The development of the agricultural sector operational given to the adaptive research needs of tribal regions and targets, particularly the process itself, is a central major land reform districts but still within the context of element in this paper and requires further elaboration. the major commodities produced by those communities and in those districts. Science, of which agricultural research is part, has two roles in society - a developmental role and a critical role. Since most priority-setting exercises are commodity As a tool for development, priorities in science must be oriented, the greater part of the national targets are approached in the broader context of goal setting at the therefore adequately covered. national and sectoral levels. As a first principle, therefore, the priorities in agricultural research will have The preference for a priority-setting exercise expressed to be constrained by national and agriculture-sector in the main as commodities and the deliberate crafting of goals and objectives. the agricultural sector operational targets in terms readily associated with commodities and how they may In its second role as critic, science, including agricultural be researched but enumerated under each major research, must contribute to the political processes 66 which define those national and sectoral goals and ESTABLISHING ORGANIZATIONAL objections. PRIORITIES The point of departure, therefore, is the agricultural Current priority-setting methodologies are designed to sector objectives as defined by the responsible agency of establish the order of importance among competing government - the Ministry of Agriculture (and related programs. However, they do not capture the essence of ministries). As referred to earlier, the operational other types of activities which are broadly defined as targets can be derived for the most part from the organizational in nature. operations, activities and campaigns being undertaken by the Ministry of Agriculture. Opportunity Activities. These activities have to do with the immediate needs of organizations and their The degree of detail and the number of operational administrators to demonstrate immediate relevance and targets may vary. Spelling out physical targets, such as impact. Agricultural research must compete with many hectarages, average yield levels, gross production levels urgent national needs, and it is very easy for research to and target clientele is not easy. On the other hand the fall to the bottom of the priority heap for failure to physical targets, in order to be met, must be demonstrate a sense of urgency in their activities. disaggregated in terms of tons of improved seeds, tons of different kinds of fertilizers, specification of major Even as agricultural research organizes itself for long­ production areas, major production and marketing term fitness to its environment by addressing the long­ constraints, manpower deployment, location of test sites term priorities of agricultural development, it must work and a whole range of parameters which almost for its short-term fitness. It must generate resources to automatically suggest the important elements of an survive for the present. It must provide evidence of its extension program and its complementary research relevance to the present to be assured of resources now program. and in the future. Since obviously the planners cannot arrive at this The human element must also be taken into account. physical target in a vacuum by themselves, this could be Research administrators have personal agendas a neat way of stimulating a three-way dialogue. alongside those of the research system and the country. They too need recognition and support to stay in office This is where the outcomes of the program priority- (or better yet, be promoted to more important posts setting exercise are crucial. If programs judged very where their fine leadership qualities could be put to important in the priority-setting exercise carried out greater use). independently by the research community are not included in the agriculture operational targets, then Transition Activities. Mention was made earlier of the there must be something wrong in the methodology or need to relate priority setting and resource allocation there must be a special reason for their non-inclusion with other management activities. One such activity is which the research system may be well-advised to accept the development and implementation of the (or to argue, as the case may be). organization’s Strategic Plan. Preparing a strategic plan is of course by itself a major institutional exercise. The In the real world there is ample scope for dialogue and point being made here is that priority setting and maneuver. For example, should the Ministry of resource allocation should be made in the context of a Agriculture spell out even as few as only five major strategic plan, either formally written up or implied. operational targets, many NARS with their current resources will have their hands full. In any case, in most The system’s institutional strategy may require shifts in countries if one takes the five most important structure, governance, culture and management beyond commodities, one would have covered easily two-thirds existing levels of resource allocation for administration. of the country’s agricultural economy. Any NARS which To the extent that they can be captured in the manner adequately addresses the problems of 2/3 of its which the program priorities are built up, they should be agricultural economy cannot be faulted for lack of so provided. The magnitude of these activities depend relevance. upon how major an organizational overhaul the system had to undergo from its present state. On the other hand, a very long shopping list is a very handy instrument for justifying additional resources for Research Entrepreneurship Activities. The public sector research. service in most countries does not sufficiently provide 67 for reward and recognition directly and immediately Note that the same criteria may be applied to strategic related to excellence and productivity. Neither are program decisions but their order of importance will be entrepreneurship and competition sufficiently different. stimulated to push individuals and agencies to greater productivity, as in the private sector. LINKING PRIORITIES WITH RESOURCE ALLOCATION Moreover, the inherent unpredictability of research requires that individual scientists be given sufficient Priorities simply establish the order in which activities latitude to pursue new, unconventional ideas. Since are funded in a queue of competing activities. The these normally are outside the mainstream of current determination of levels of allocation requires another set thinking, and are naturally highly speculative, they will of information. The resource requirement of any not merit high scores in the standard priority-setting particular activity will depend upon the current levels of exercises. investment in the activity, the inherent cost of conducting the activity at a previously set level of A system of research grants for scientists adjudged capability, and the capacity of the activity to absorb outstanding in their respective fields by their peers and/ resources. or a competitive research grant system will fall under this category. The method proposed is to treat the resources available to the national research system as a fund composed of In countries where competitive research grant systems several portfolios. Following the illustration in the have been adopted, they are also used to redress the bias previous sections, they may be summarized as follows: against research in the basic natural sciences, the social sciences and the humanities and to provide incentive for Program Priorities many creative researchers in the universities. System-building portfolio (Commodity, Non-Commodity) The three types of activities described are but some of Organizational Priorities the organizational priorities which national research Transition portfolio systems may have to address. How they are broken down Opportunity portfolio will reflect how the research administrators themselves Research entrepreneurship portfolio perceive their national research systems. The first is based on program priorities of a long-term Conceptually it should be possible to add the criteria system-building nature, while the rest attempt to capture which address organizational issues onto those which issues defined as organizational in orientation. deal with programmatic issues in an integrated priority- setting exercise. Priority lists are developed for each portfolio, based on appropriate criteria and relative weights. However, the type of activities among which one discriminates for program content are qualitatively Ideally, the organizational priorities should fall within different from the type of activities one chooses among the limits of the desired range of system-building to satisfy organizational needs. Program priority priorities, with a few highly justified exceptions. In other decisions are essentially long-term activities, while words, the organizational priorities are established organizational needs are qualified to mean those separately but are ’’nested” within program priorities. extremely visible, short-gestation, usually downstream type of activities which enhance the organization’s short­ For each of the activities in the list, an allocation target is term fitness to the environment. arrived at, based on the actual cost of conducting the activity at a desired level and the capacity of that activity For example, the criteria for the opportunity activities in to absorb resources effectively. their order of importance could be: An a priori decision is made to partition the projected 1) Chances of success available resources among the several portfolios. The 2) Quick maturity activity cells are then allocated resources, starting from 3) Visibility the top, until the portfolio resources are exhausted. 4) Cost 5) Economic impact Planned Level o f Capability. It is very useful at this stage 68 to introduce the notion of planned level of capability as a Capacity to Absorb Resources Effectively. The next step decision variable. Capability in research falls into is to translate the planned levels of capability to different grades of intensity and sophistication. At the projected resource requirements. However, the base, one simply has the capability to monitor resource implications of the planned levels of capability technological developments elsewhere, and to cannot be generalized across commodities, disciplines introduce, test and adapt these technologies to local and regions. Research in livestock tends to be more conditions. At the intermediate level is the ability to costly than research in crops. Social science research conduct applied research and generate new technology. usually requires less than most natural sciences. On-farm Finally, upstream, is the ability to conduct basic and research in outlying regions is more expensive than strategic research on agricultural problems. research conducted in readily accessible areas. There is always the temptation to fine-tune priority Thus the projected resource requirements at the planned setting and resource allocation at the highest levels, levels of capability are best left to the judgment of the ostensibly for the sake of efficiency. However, national implementing agencies subject to review at the system research administrations are well advised to resist the level. temptation and leave that judgement to the implementing levels, which are better informed in doing Moreover, in the end, the rate of injection of resources so; hence, the introduction of the notion of planned level to any activity will have to be tempered by the capacity of capability as the decision variable appropriate at the of the existing structure and human resources to absorb national level. additional resources effectively. In the absence of highly trained manpower, an activity, however important, For the most important commodities, one assumes that a cannot justify a sudden flow of substantial resources. third level of capability would be desired. For the less important commodities, the initial level would be Similarly, a poorly led unit must have its management sufficient. improved or its leaders replaced before additional resources are allocated to it. The planned level of capability on a particular commodity, however, may be influenced by research These observations are often reflected systematically in spillover effects. As an extreme example, if basic, the monitoring and evaluation system (if the strategic and applied research on a very important organization has one) or simply through the informed commodity are easily accessible to a country at very little judgments of key administrators. In a sequential process, cost (in resources, national pride and sense of security), this factor comes in after the resource requirements at the first-level capacity may be appropriate in order to the planned level of capability have been determined. free resources for other important activities in the priority list. Projected Resource Requirements o f Allocation Cells. It should be possible now to set up a table similar to that Moreover, it should be possible to discriminate among shown in Table 4 to indicate the projected resource disciplines within a major commodity. For scientific requirements of the different allocation cells. Table 4 reasons and/or research spillover effects, a decision may illustrates the breakdown for the system-building be made to plan at capability level 1 in one discipline and portfolio for commodities. The projected resource at capability level 3 in another within the same allocations among all priorities are summarized in Table commodity. 5. Returning to the illustration, all the commodities The resources are finally allocated to each of the specified in the operational targets will have to be ranked allocation cells in descending order as resources become high in the priorities list. All others are relegated to a available for the respective portfolios. residual category which includes candidates for phase­ out or for low-level, essentially, monitoring activity. Balance among Portfolios. The portfolios have different purposes, and therefore it is conceptually difficult if not Those commodities not identified as priority at present impossible to arrive at a quantitative or systematic but deemed potentially important can be carried approach to partitioning resources among portfolios. together with the ’’residuals” or given support in the This is an intuitive, subjective judgment which a research Research Entrepreneurship Portfolio. administrator and his most trusted advisors must make. However, a few general observations may be helpful. 69 1) If the research system is perceived to be doing effort among agro-ecological zones and among political extremely well by its publics, there is little regions. Unfortunately, there are no known acceptable justification for the opportunity portfolio. standards for the balance between basic and applied research, for production and environment research, for 2) If the reverse is true, and/or if the research balance among disciplines. administrator is new on the job and anxious to make a good impression, there is a good case for a more The best that can be done is merely to indicate whether visible opportunity portfolio. current levels are adequate or whether small, medium or major shifts are desired for any of the categories. 3) A NARS which has just undergone a strategic planning exercise which called for a major This very brief reference does not intend to diminish the organizational shift, may require a larger transition importance of these other priority issues. What is portfolio compared with one where no major intended to be conveyed here is that these areas are structural changes are envisaged. much less susceptible to rigorous, quantitative treatment and thus remain gray areas of subjective (or informed) 4) In some of the more mature NARS, where there is judgment. some need to stir up more competition, need to stimulate performance by visible awards and CONCLUSION recognition, an expanded research entrepreneurship portfolio may be useful. The paper attempts to illustrate one of many possible integrated approaches to agricultural research priority 5) In any case, the system-building portfolio should setting and resource allocation at the national research normally command the majority share of resources. system level. The opportunity portfolio becomes an ’’opportunism” portfolio if short-term needs consistently overwhelm The approach brings to the fore the following long-term goals over a period of time of a research observations: administrator’s tenure. 1) Current priority-setting methodologies attempt to JUDGING THE BALANCES AMONG cover too much ground and in doing so tend to lose OTHER PRIORITY THEMES credibility and acceptance. The methodologies are relevant and logical as far as economic goals and It is naive to assume that all of our publics will want to measures are concerned. However, they break down look at agricultural research priorities exclusively in conceptually when essentially political development terms of commodities. That will be too simplistic a view objectives are mixed up with economic goals. of the real world. 2) National priorities are often expressed a priori by The balance among agro-ecological zones, among setting fixed resource allocation ratios to different disciplines, between basic and applied research, between national goals over a specific planning period. The production vs. environment research, are relevant allocation ratios are reviewed periodically as priority issues. governments change and as progress is made towards stated goals. Increasingly, legislators would like to see how their political districts or regions stand in the priorities. Current priority-setting methodologies, on the other hand, proceed with the premise that one can adopt In this approach it is assumed that the researchers appropriate criteria and assign relative weights to themselves will build in these considerations as they these criteria to arrive at the national priorities for develop their research proposals. However, this is not agricultural research. enough. The researchers need guidance on the planned relative shifts of priorities between the present and the However, for the latter approach, it is conceivable next planning periods. that some national goals may not be served at all. The first step obviously is a characterization of the 3) The paper nevertheless strongly endorses the present levels of effort in each of these issues. The rough usefulness of priority-setting procedures and congruence role can be applied to the balance of research 70 proceeds to illustrate how they may be used in in a queue of activities as resources become available. conjunction with other measures. Actual resource allocation decisions, on the other hand, require another set of information which 4) Priority setting and resource allocation can be as includes existing levels of support, inherent cost of much an exercise to optimize resource allocation as conducting an activity at a planned level of capability, to generate resources, if the exercise can be made to and the capacity of an activity to absorb resources demonstrate to the research system’s publics the effectively. correspondence between research priorities and national development goals. 9) In addition to program priorities, the research system must provide for its organizational needs. Program 5) An operational statement o f agricultural sector targets priorities are defined as long-term strategic, system- is proposed to bridge the gap between national goals building activities, while organizational priorities are and the research agenda. These sectoral targets are defined as quick-gestating, visible activities which deliberately crafted to accomplish the following: enhance the organization’s short-term fitness to its environment. a) to encourage the Ministry of Agriculture to be more focused and specific in its development objectives; 10) The approach proposes to treat the resources b) to provide an opportunity for the research system available for research as an investment fund with and the Ministry of Agriculture (extension system) to several portfolios. Criteria and relative weights are influence one another and synchronize their developed for each portfolio. Since the individual activities; portfolios have narrower scopes and purposes, there c) to provide the scientists firmer targets to hitch their should be more logic and coherence in the criteria research wagons to; and relative weights adopted. d) finally, to establish a one-to-one correspondence between the research agenda and development goals. 11) Based on their respective criteria and relative weights, priority listings are established for each 6) Carried by its own logic, the research community portfolio. Projected resource requirements are builds its research activities into commodities, factors determined for each allocation cell, based on of production, disciplines and agro-ecological zones. inherent costs of conducting the activity at a planned However, whichever classification is adopted, any level and the capacity to absorb resources effectively. single factor listing will miss the interactions. On the other hand, 2-way, 3-way, and 4-way classifications 12) An a priori decision is made to apportion the are unwieldy. available resources among the portfolios. The Among these classifications, the commodities relate resources are then assigned to the allocation cells in a most readily to development goals. Thus a strong descending order of priority until the portfolio fund is preference is expressed fo r comparison among exhausted. In the unlikely event that the assigned commodities as the principal mode fo r assessing resource level exceeds the projected resource national research priorities. The balance among requirements of the activities in the portfolio, the factors of production, the balance among disciplines, resources are reassigned to the other portfolios. the balance between basic versus applied research, the balance among research approaches (to maximize 13) Priority setting and resource allocation must be employment, to reduce pollution, to reduce cost of approached in the context of the institution’s other production, to minimize production risks, and to management functions, such as strategic planning minimize fluctuation in yield levels, etc.) can be taken and monitoring and evaluation. into account as the commodity research programs are built-up. 7) However, the commodity approach has its own limits. Other very important concerns are ignored or barely addressed. These non-commodity concerns simply have to be dealt with separately. 8) Priority setting establishes the order of importance among competing activities. It establishes the order 71 TABLE 1. NATIONAL DEVELOPMENT GOALS TABLE 3. AGRICULTURAL SECTOR OPERATIONAL TARGETS (PROGRAMS) 1. to achieve food self-sufficiency (inversely, to reduce food imports); 1.1 to increase rice production by 10% to keep up with 2. to stimulate employment; population growth and to provide for food reserves 3. to improve nutrition among disadvantaged sectors of 1.2 to increase maize production by 30% society; 1.3 to increase fish catch by 45% 4. to generate foreign exchange (to fund imports and develop industry); 1.4 to increase poultry production by 25% 5. to promote agrarian reform; 1.5 to increase aquaculture production by 80% 6. to accelerate economic development and social 1.6 to sustain current productivity levels in beans, integration of cultural minorities; vegetables, cattle, pigs 7. to conserve the country’s natural resources and 2.1 to rehabilitate existing systems and irrigate an safeguard the environment. additional 200,000 hectares of farm land 2.2 to raise cropping intensity from 1.1 to 1.5 2.3 to promote rural industries (food processing; agricultural equipment manufacturing; handicraft production) 3.1 to reduce third-degree malnourishment among pre­ schoolers from 2.5% to 1.0% 4.1 to sustain current productivity levels in pineapple and banana TABLE 2. AGRICULTURAL SECTOR OBJECTIVES 4.2 to expand export of fresh mango by 50% 1. to increase production of cereals, grain legumes, fish; 4.3 to expand export of canned tuna by 30% livestock products; 4.4 to expand export of prawns by 100% 2. to increase demand for labor by promoting labor- intensive type of agriculture; 4.5 to develop a canned tomato paste export market 3. to help the malnourished through expanded nutrition 5.1 to redistribute 500,000 hectares of farm lands to intervention activities; tenants and landless workers 4. to promote agricultural exports; 5.2 to intensify extension and organize producers cooperatives in major land-reform districts. 5. to accelerate land redistribution and to help organize farmers’ beneficiaries; 6.2 to intensify extension and organize producer cooperatives in the three tribal regions 6 . to promote agricultural development in the tribal communities; 7.1 to promote appropriate agro-silvicultural practices on hillsides 7. to minimize soil erosion and reduce use of agricultural pesticides. 7.2 to promote integrated pest management 72 TABLE 4. PLANNED LEVELS OF CAPABILITY IN AGRICULTURAL RESEARCH AND THEIR RESOURCE IMPLICATIONS (SYSTEM-BUILDING PORTFOLIO FOR COMMODITIES) PLANNED COMMODITY DESIRED PRESENT 5 YEARS 10YEARS Capability3' Budgeth) Capability Budget Capability Budget Capability Budget 1 L3 LO L2 L3 2 L3 L2 L2 L3 3 L3 LI LI L2 4 L2 L2 L2 L2 5 L2 LI L2 L2 6 L2 LO LI LI 7 L2 LO LI L2 8 LI LO LI LI 9 LI LI LI LI 10 LI L3 L2 LI n LI LO LO LI a) LO - minimal or non-existent LI - capability for adaptive research L2 - capability for adaptive and applied research L3 - capability for adaptive, applied, strategic and basic research b) Projected budgetary requirements estimated by implementing units subject to review at the system level TABLE 5. PROJECTED RESOURCE ALLOCATION System Priorities Program Organizational Research System Building Transition Opportunity Entrepreneurship Commodities Others AC1 AS, AT, AO, AE, Projected Resource a c 2 a s 2 a t 2a o 2a e 2 Allocation AC, AS, AT, AO, A E, based on - cost of conducting desired level of activity A C n a s n AT n AOn a e n - capacity to absorb resources 73 74 PRIORITY SETTING IN NATIONAL AGRICULTURAL RESEARCH SYSTEMS George Norton Research Fellow ISNAR PRIORITY SETTING IN AGRICULTURAL much emphasis to place on particular commodities RESEARCH (e.g., rice, maize, sheep) and types of research (e.g., varietal improvement, improved livestock nutrition, Research administrators in national agricultural farming systems). Implicit in those decisions are the research systems (NARS) are faced with the need to locational emphasis of research; the focus on establish priorities among competing programs. As particular factors of production (e.g., land, labor, research budgets have tightened, the demand for water); the emphasis placed on longer-term basic improved methods to assist NARS administrators with versus shorter-term applied and adaptive research; priority-setting decisions has grown. ISNAR is and the distributional effects of research on farm responding to that demand by developing and testing size, on producers versus consumers, and on people practical yet formally structured procedures for use by at different income levels. NARS decision-makers when making research resource allocation decisions. The purpose of this paper is to In many NARS, research resource allocation identify critical issues in developing priority-setting decisions are heavily influenced by the previous methods; to review recent experience in applying year's budget and by rules of thumb such as the structured priority-setting procedures; and to highlight congruence between research spending and the value plans for further refinement of the methods, of production by commodity. Changes which do development of documentation, and collaboration with occur often result from requests by scientists, NARS. pressures from politicians and producer groups, and the dictates of foreign-assisted projects. ISSUES IN DEVELOPING Judgement based upon prior knowledge and PRIORITY-SETTING METHODS information provided by scientists is crucial for research resource allocation decisions. In addition, A series of fundamental issues is relevant to rapid or radical changes in research programs can be development of improved priority-setting methods: costly. Particularly as research budgets tightened, however, forcing changes in the system, the 1. Why Might More Structured Priority-Setting increased use of more structured quantitative Procedures Be Useful to NARS methods may prove helpful in improving the NARS decision-makers make allocative choices objectivity of those judgements. The aim is to foster based on their knowledge and prior experience. That consistency of research priorities with goals and knowledge and experience frequently includes an objectives and to improve the efficiency of the understanding of current national and regional goals research system in meeting producer and consumer and objectives as voiced through the political needs. The idea is not to replace judgement but to process, a sense of the severity of particular types of increase and organize the information available for research problems, and a general feel for what is updating prior knowledge and beliefs. The hope also possible to achieve through research of different is to inject continuity in the priority-setting process types. It also includes an awareness of the desires of and to provide NARS decision-makers with methods producer groups. Decision-makers must decide how they find helpful when rationalizing their decisions 75 to and mediating conflicting desires of scientists, goals and, in many cases, are means of achieving producer groups, and politicians. Documenting the those broader goals. decision process through a structured procedure may also help generate additional resources for research. In developing improved methods for agricultural 2. Why Has There Been Relatively Little research priority setting, all three broad goals will Previous Use of Quantitatively Structured normally need to be considered and, in most Research on Priority-Setting Methods? countries, it will be necessary to explicitly Many quantitative priority-setting procedures are incorporate several of the more specific sub-goals. currently available but few have been However, when considering sub-goals it is important institutionalized into the decision-making practices (1) not to lose sight of the forest (major goals) for the of NARS managers. A crucial factor in the non-use trees (sub-goals) and (2) to remember that agricul­ of these procedures undoubtedly has been the lack of tural research is only one of many tools available for a rigorous yet cost-effective approach which can achieving societal goals and that research is a more incorporate the large number of commodities and powerful tool for achieving some goals than others. research areas, as well as the multiple goals and criteria found in most strategic decision-making 4. What Quantitative Priority-Setting Methods situations in NARS. There have been concerns about Have Been Previously Tested the quantity and quality of data in many countries. The primary methods reported on in previous studies Furthermore, the computer capability available for research priority setting include: through microcomputers in most developing country a) establishment and weighting of multiple NARS today was not generally available even two or criteria dor ranking commodities and research areas; three years ago. Finally, the need for priority setting b) use of benefit-cost analysis, including seemed less urgent when budgets were expanding expected economic surplus techniques, to select than it does now that many budgets are contracting. commodities and research areas; c) application of mathematical programming to 3. Priority Setting Requires Explicit choose an optimal research portfolio incorporating Consideration of National Development multiple goals and constraints; Goals d) development and use of a simulation model. While individual politicians, and even agricultural research administrators, may have personal agendas These four approaches are very briefly described which can mask overall national goals, most below. Additional information on these methods, countries have an overriding national goal of including discussions of their advantages and increasing or at least maintaining the social and disadvantages, can be found in Norton and Pardey, economic well-being of their people. Shumway, Ruttan, Schuh andTollini, Anderson and Parton, Scobie, and Norton and Davis. This broad goal can generally be broken down into three more specific goals: (1) to raise the average a) Weighted Criteria Models. Several studies have level of well-being (frequently measured in terms of established multiple criteria for ranking income) in the country; (2) to increase the well-being commodities (or research areas) and then of particular groups (frequently low-income) in weighted the individual criteria to arrive at an society; and (3) to foster economic and military aggregate priority ranking. The relative weights (social) security in the country. One aspect of the attached to each criterion to arrive at the final list economic security goal may involve reducing year-to- of research priorities are sometimes left unstated year income fluctuations and ensuring the long-run and sometimes made explicit. This procedure is sustainability of the natural resource base. To often called a scoring model approach. A few achieve these three major goals, countries may studies also have used a crude scoring model, specify more specific national goals, such as: called congruence analysis, in which all weight is achieving food self-sufficiency, stimulating placed on the criterion of value of production. employment, improving nutrition of disadvantaged groups, generating foreign exchange, promoting b) Benefit-cost Expected Economic Surplus Analysis. agrarian reform, and accelerating the economic and The benefit-cost approach to selecting research social integration of cultural minorities. These more priorities has been used in different forms. Most specific sub-goals are components of the broader studies have employed consumer-producer 76 surplus analysis and have incorporated expert on methods to assist with this next level of decisions. opinion to determine projected research impacts, It must be remembered, however, particularly when adoption rates, and probabilities of research making project-level decisions, that it is not advisable success. These studies provide estimates of the to ’over program’ specific research activities to the economic efficiency and distributional extent that scientific judgement as well as possible implications of agricultural research resource positive effects of serendipity are impeded. allocation. They typically calculate benefit-cost ratios, internal rates of return, and net present 6. Importance of Institutionalizing the values for alternative types of research or for Priority-Setting Process research on different commodities. These Priority-setting is a process, not simply a procedure, analyses may or may not include regional and and must be institutionalized as part of the overall international research spillovers and the effects of process of research management. Priority-setting domestic pricing policies on research benefits. techniques applied only once by people outside of the decision-making process have little value. Results of c) Mathematical Programming. Mathematical initial quantitative analyses, no matter which method programming is another alternative for research is used, must be thoroughly discussed with decision­ selection. It relies on mathematical optimization makers and sensitivity analysis conducted along the to choose a research portfolio through maximizing lines suggested by the discussion. a multiple goal objective function given the resource constraints of the research system. The RECENT EXPERIENCE WITH procedure uses similar information to the AGRICULTURAL RESEARCH weighted-criteria model but selects an ’optimal’ PRIORITY-SETTING METHODS research portfolio rather than simply ranking research areas. The two approaches with the most potential, given additional refinements, for application by NARS in less d) Simulation. Finally, the simulation method has developed countries, are the weighted criteria models been used to identify and select research and the benefit-cost (expected economic surplus) priorities. For example, Pinstrup-Andersen and procedures. In this section, we discuss recent Franklin built a mathematical model to project experiences with applying weighted criteria models in the contributions and costs of alternative research three Latin American countries: the Dominican activities. They established goals and then Republic (DR), Ecuador, and Uruguay and briefly identified changes in supply, demand for inputs, compare those experiences with lessons learned from and demand for output needed to meet those applying an expected economic surplus model applied in goals. They identified needed technologies, time Peru. More detailed descriptions and assessments of the and financial costs, and the probability of research methods are found in Norton, Norton and Pardey, success and adoption. Espinosa et al., Norton and Ganoza, ISA, and CIAAB. These four approaches are the most common In 1986 and 1987, weighted criteria models were formally structured priority-setting models, although developed and implemented in the DR (ISA), Ecuador none of them has been used very often by NARS to (Espinosa et al), and Uruguay (CIAAB) to assist with date. priority setting for agricultural research. In the DR, the study was carried out at the Instituto Superior de 5. How Does Priority Setting Relate to Other Agricultura (ISA); in Ecuador, by the planning office of Research Programming and Management? the Instituto Nacional de Investigacion Agropecuaria Research priority setting, as discussed in this paper, (INIAP); and in Uruguay, by the office of the Director concerns the ranking of priorities by commodity and of the Centro de Investigacion Agricola Alberto Boergcr broad research areas such as plant breeding, livestock (CIAAB). nutrition, plant protection, etc. Some of the methods also assist with relative allocation of funds once the The purpose of all three studies was to apply a procedure commodities and research areas are ranked. for prioritizing agricultural research by commodity and However, these procedures must be combined with by major research area. others before project-level decisions, human resource needs assessments, monitoring and ex post evaluation The procedures employed in the three studies were of research activities can be made. ISNAR is working similar but with some important differences, as the 77 Ecuador study built on lessons learned in the DR, and advantage. The major criterion used to measure the Uruguay study built on other lessons learned in probability of success was the potential for success as Ecuador (Norton). National goals for the research indicated by the researchers themselves. system were elicited in each country and a series of criteria established which relate to those goals. Separate The group of criteria referred to as efficiency in the use criteria were developed for commodities and for of research resources contained three criteria: the research areas, and weights were elicited from decision­ relationship to research in the international centers, the makers to establish the relative importance of the degree of emphasis on the commodity in the current criteria. Commodities and research areas were ranked research program, and the incentive for the private according to each criterion and these rankings were sector to conduct the research. The group of criteria multiplied by the elicited weights to arrive at research related to the distribution of research impacts contained priorities. two criteria in the Uruguay study: number of producers and the effect of increased productivity on the price of Goals product. The DR and Ecuador studies also included the The three major goals identified above were used in each value of home consumption as a criterion. study: (1) to raise the average level of income in the The rationale for including each of these criteria is country, (2) to increase the well-being of low income described in Norton along with a discussion of other groups in society, and (3) to reduce year-to-year income criteria which were considered but not included or were fluctuations in the country, especially on the downside. included in the DR or Ecuador studies but dropped in These goals are referred to in Figure 1 as ’efficiency’, Uruguay (e.g. protein and calories, land area, ’equity’, and ’security'. employment). Criteria Research Area Criteria A set of criteria was established to measure whether The five criteria used to select research priorities by particular commodities or research areas contribute to research area were (1) whether the research causes an the attainment of the above goals. A large number of increase in the use of relatively abundant resources and a criteria were discussed in each country, and a total of 15 saving of relatively scarce resources, (2) the quantity and criteria were eventually used in the DR, 14 in Ecuador, severity of research problems, (3) non-duplication with and 10 in Uruguay to determine priorities by commodity. transferable research from outside the country, (4) the A total of five criteria were used in each case to extent of private-sector incentives to conduct the determine priorities by research area . Refinements were research, and (5) current emphases in the research made in successive studies to increase the independence program. These criteria all relate to the income growth of criteria and to remove criteria that were questionable (efficiency) goal. It is difficult to identify research area measures of whether research contributed to the stated criteria which measure whether particular types of goals. research affect income distribution or variability. Commodity Criteria Data Collection and Model Implementation Commodity criteria were grouped into four conceptual Information used in the analysis included both groups: product importance, probability of success, quantitative data on value of production, numbers of efficiency in use of research resources, and distribution farms, value of exports and imports, person-years of impacts (Figure 1). The first three of these groups devoted to research on different commodities, etc, as relate to the efficiency or income level goal and the last well as qualitative or subjective information on such group relates to the equity or distributional goal. In none factors as probability of success, private-sector of the three studies was criteria included which incentives, severity of research problems, etc. represented the third goal (reduced income Furthermore, weights had to be elicited from decision­ fluctuations). Future weighted criteria studies may want makers to place relative emphasis on the various criteria. to add criteria which explicitly rank commodities from lowest to highest with respect to annual gross income Step 1. Develop Commodity and Research Area variability (or price and yield variability separately) Lists. In the DR, information was collected on 74 (Figure 1). commodities. In Ecuador, an initial list of 109 The group of criteria referred to as product importance commodities on which INIAP was conducting research contained four criteria in the Uruguay study: value of was discussed. This list was reduced to 44 commodities production, generation or saving of foreign exchange, for the analysis through decisions to eliminate some and expected future demand change, and comparative to group others. In Uruguay, a smaller list of 78 commodities was reduced to 21 commodities or national commodity programs and one additional major commodity groups. The list of research program areas research program. In Ecuador, the prioritized lists were contained nine areas in the DR, 16 in Ecuador, and 16 in distributed and discussed in the Ministry of Agriculture, Uruguay. the Board of FEDI A, the Commission on Science and Technology, and in AID. There seemed to be a Step 2. Collect Quantitative and Qualitative recognition in Ecuador that priority-setting with a Data on Chosen Criteria. Information on weighted criteria model is an iterative process and that quantitative criteria was gathered from local and FAO much of the model’s value stems from the discussion of secondary data sources and one table was constructed criteria among the decision-makers and from the for each criterion. Commodities were ranked for each sensitivity analysis. In Uruguay, the results from the first criterion. Information needed for the qualitative run with the model were discussed with the research criteria, as well as the weights to place on criteria, was directors. The directors made small changes to the obtained through interviews with scientists and weights placed on criteria and the model was rerun, administrators at both the national and regional resulting in a new prioritized list. Personnel in CIAAB experiment stations. undertook additional sensitivity analysis and, with the assistance of ISNAR, have been developing an Step 3. Elicit Weights on Criteria. Relative implementation plan. weights to place on the different criteria were obtained from national and regional research system AN ASSESSMENT OF THE WEIGHTED administrators. In Ecuador, a total of 34 people were CRITERIA MODELS USED IN THE used to determine the weights. These weights were DOMINICAN REPUBLIC, ECUADOR, AND established separately for the commodity and the URUGUAY research area criteria. In Uruguay, fewer people (seven system and station directors) were used to determine the A number of strengths and weaknesses in the procedures weights, and more attention was devoted to grouping were identified during the analyses described above. the criteria which pertain to particular goals. A Delphi The first strength is the ability of the procedure to procedure was used in which the seven directors were systematically incorporate both quantitative and shown the average of the group and provided with an qualitative information related to a set of multiple goals opportunity to adjust their weights. and criteria in order to prioritize a long list of commodities and research areas in a relatively short Step 4. Derive Rankings by Commodity and By period of time. Research Area. Once the basic information was collected and organized into a series of tables, one Second, the procedure proved relatively easy for both procedure was followed to arrive at a final ranking of research administrators and the local analysts to research priorities by commodity. A second procedure understand. Third, the analysis, as applied in Ecuador resulted in lists of priorities by research areas. and Uruguay with the direct involvement of research system administrators at various stages, helped those Step 5. Analysis and Interpretation of Results. decision-makers to consciously identify and trade off In the DR, the results of this weighted criteria analysis goals and criteria. Fourth, the use of spreadsheet were used to determine a small set of commodities and programs in Ecuador and Uruguay facilitated sensitivity research areas with the highest priority. Further analysis after the initial set of priorities was determined. assessment was then made of human, physical, Fifth, the procedure provided a relatively objective administrative, and other resources needed to structure assessment of priorities because individuals were not research programs focused on these commodities and allowed to rank commodities or research areas directly, research topics. In Ecuador and Uruguay, the prioritized but had to weight criteria. list of commodities was split into a high-priority group, an intermediate-priority group, and a low-priority The first weakness inherent in ex ante research priority group. Research area priorities were identified for each setting, and thus in the procedure, is that there is a large region of the country. amount of subjectiveness. Although the approach is less subjective than unstructured judgement, there is In the DR, a team of consultants followed up the initial subjectiveness in the responses to questions related to priority-setting exercise with additional analysis and some of the criteria and also in the weights placed by discussions at the experiment station level and decision-makers on the criteria. Second, it proved eventually recommended the establishment of five difficult to specify independent criteria with no overlap. 79 Third, certain of the criteria are difficult to explain to the The following assessment based on the Peru study interviewees (e .g ., comparative advantage and potential provides a perspective on the potential application of future demand for the product). In Uruguay, the this approach. comparative advantage and future demand questions were answered by a small group of economists from the The procedures briefly summarized here are described ministries of agriculture and trade. in more detail in Norton and Ganoza, 1985. The first step involved developing questionnaires to be used in In the Ecuador study, more attention was devoted to interviews with researchers and extension workers. assessing the most appropriate people for answering Forty-five experiment station researchers were different questions than was the case in the DR. interviewed to obtain their projections of the most likely However, some criticism surfaced about the weights yield or cost changes due to particular research projects, placed on criteria. In Uruguay, decision-makers were probabilities of success, and time lags for the release of given the opportunity to change their weights after new technologies. Forty extension workers were viewing the initial results. This was very useful because it interviewed to obtain their projections of the timing and demonstrated the implications of placing different geographical spread of new technologies and estimates weights on the various goals and criteria. of the depreciation of previous technologies. Research and extension workers were asked about additional Computer spreadsheet programs were a major help in inputs needed to use the improved methods, possible Ecuador and Uruguay. Additional work needs to be expansion of area cultivated and/or replacement of devoted to developing a more menu-driven program, existing crops, and about the spread of new technologies but the analysts in INIAP and CIAAB were able to use with and without extension. the spreadsheet programs without too much difficulty. The benefits of agricultural R & E were quantified It became clear from working in all three count •' is that it using an expected economic surplus criterion. is preferable to work directly with the final decision­ Changes in producer and consumer surplus were makers or their designees. In the DR, the study was calculated which result from rightward shifts in the conducted by a very competent set of consultants from supply curve which were projected to occur due to the local agricultural university, but the procedure was technological change. Separate analyses were not institutionalized to allow for additional sensitivity conducted for each commodity and different benefit analysis or future priority-setting efforts. In Ecuador, formulas were used depending on the situation for and especially in Uruguay, the decision-makers were each commodity with respect to imports or exports, more directly involved, conducted sensitivity analyses, marketable surplus, shifts in demand over time due and are better able to assess why certain commodities or to population and income, and government pricing research areas received high priority as a result of the policies. Internal rates of return to research were analyses. calculated and the distribution of benefits to producers and consumers assessed. Calculations were performed using a microcomputer spreadsheet THE USE OF EXPECTED ECONOMIC program and a substantial amount of sensitivity SURPLUS ANALYSIS IN PERU analysis was performed. In 1985, an expected economic surplus analysis was conducted for the five major commodity research and AN ASSESSMENT OF THE EXPECTED extension (R & E) programs in Peru: rice, corn, small ECONOMIC SURPLUS PROCEDURE USED grains, potatoes, and beans. The intent was not to IN PERU prioritize among the five commodity programs but to estimate rates of return to the R & E investment and to The expected economic surplus approach used in Peru calculate the distribution of benefits between producers proved particularly useful for identifying the effects of and consumers to provide information to the new alternative pricing policies on both the total and the government about those programs. However, the same distribution of research benefits. Thirty-five cases were basic procedure could be used for priority setting. In included in the spreadsheet program to allow for fact, Davis, Oram, and Ryan have recently developed different demand, trade, policy, and other assumptions. an expected economic surplus model to assist the The study was conducted over a four-month period of Australian Center for International Agricultural time. Because a different spreadsheet analysis must be Research (A CIA R) in establishing its research funding completed for each commodity and because of the priorities. detailed information required on factors such as income 80 and price elasticities, it would be difficult to apply the economic surplus procedure explicitly assumes that the procedure used in Peru to a long list of commodities. It research goals are: raising the level of national income may make sense in future studies, however, to narrow (efficiency) and equity (distribution). the list of alternatives, using a weighted criteria procedure, to a small set (10-15) and then use the Therefore, it captures most of the criteria mentioned in expected economic surplus approach to prioritize those the weighted criteria discussion and removes the need to alternatives, using the weights derived from the first step weight individual criteria. There remains a need to to weight the efficiency, distribution, and security goals. weight the efficiency and distributional goals, but the It is difficult to use the expected economic surplus same procedure used in the weighted criteria model can procedure for ranking research areas because of the be used to elicit weights for those goals. Within the set of problem of applying it to certain areas such as distributional goals, weights can be applied to different socioeconomics, to relatively basic research, and to regions, income levels, and to producers versus systems or interdisciplinary research. The expected consumers. If only the economic (internal) rate of return economic surplus approach also requires a higher level is used to rank commodities, then all the weight is of economic training on the part of the local analyst than implicitly placed on the efficiency goal. does the weighted criteria approach. In addition, the procedure, as currently implemented, appears to be FUTURE PLANS more of a black box for decision-makers. It was easier to explain the logic of the weighted criteria procedure to General guidelines, weighted criteria models, expected administrators than it was the expected economic surplus economic surplus models, and others, all have their own procedure. comparative advantage and can also be used together. Finally, the expected economic surplus procedure Therefore, one logical solution to meeting the needs for cannot readily incorporate certain criteria, such as priority-setting mechanisms in NARS is for ISNAR, in private-sector incentives, to the conduct of research. collaboration with other institutions interested in However, with additional refinements some of these agricultural research priority setting, to develop a problems can be overcome. flexible menu-driven interactive computer program which can assist NARS in selecting and employing alternative procedures. The procedure selected by a IMPLICATIONS FOR DEVELOPMENT OF NARS for a particular situation would depend on the IMPROVED RESEARCH PRIORITY- adequacy of the data, resources and time available, SETTING PROCEDURES economic importance of the decision, etc. This program would be used as part of an institutionalized priority- Multiple goals and criteria are important in most setting and research management process. This flexible strategic decision-making situations in NARS, and priority-setting procedure would build on existing decisions of different levels of importance are m ade, and weighted criteria and expected economic surplus differing amounts of time and resources are available for models. making those decisions. At times, research systems are substantially restructured. At other times, changes are Over the next two years ISNAR has joined up with made at the margin. In some countries, the basic A C IA R to concentrate on (1) formulating improved research institutions (facilities and scientists) are priority-setting procedures which are well-grounded in available for research, but in others, the institutions are economic theory, (2) conducting a series of in-country much less developed. Consequently, there is a need for a case studies in collaboration with individual NARS to flexible approach that can be tailored to the time-frame, help refine the research priority-setting procedures, (3) resources available, and the economic importance of the developing a flexible, menu-driven computer program decision. Furthermore, priority-setting exercises such as to assist with research priority setting, (4) writing a book those described above require additional follow-up which discusses priority-setting theory, methods, and activities of several types. Research projects must be lessons from the case studies, and (5) providing a manual defined, human resource decisions made, and for NARS which documents in detail the use of the programming completed for other aspects of the procedures developed. research activity. COLLABORATION WITH NARS It is important to recognize the direct relationship between the weighted criteria method and the expected In the longer term, the goal is to integrate these priority- economic surplus approach. Essentially, the expected setting procedures with the other research organization 81 and management tools being developed by ISNAR. The Instituto Superior de Agricultura (ISA). Contenido procedures would be incorporated into the service and Tecnico de la Investigacion del Instituto Dominicano de training activities of ISNAR. Investigaciones Agropecuarias. Report prepared for ISNAR in the Dominican Republic by Moscoso, W., A. Collaboration with NARS has been and will continue to Coutu, D. Bandy, and G. W. Norton, June, 1986. be important in developing improved priority-setting procedures. The collaboration in the Dominican Norton, G. W. Priority Setting Methods for Agricultural Republic was helpful in refining the procedures which Research: Recent Experience in the Dominican were used in Ecuador. The Ecuador collaboration was Republic, Ecuador, and Uruguay. Paper prepared for important not only for Ecuador, but for refining the the Rockefeller Foundation Conference ’Allocating procedure used in Uruguay. The lessons from Uruguay Resources for Developing Country Agricultural will be important for future refinements of the Research’, Bellagio, Italy, July 6-10, 1987. procedures. Plans are under way for four case studies in Asia over the next two years. There are possibilities for Norton, G.W. and J.S. Davis. ’Evaluating Returns to studies in West Africa and for follow-up work in Latin Agricultural Research: A Review’. Amer. J. of Agr. America as well. Econ. 63: (1981): 685-699. Those of us working on developing the procedures are attempting to balance our time over the next two years Norton, G.W. and V.G. Ganoza. The Benefits of among case study work, further study of the theory Agricultural Research and Extension in Peru, paper behind various components of the procedures, writing of prepared for INIPA and for USAID, Lima, Peru, June the book and manual, and designing the computer 1985. programs. We are not yet in a position to undertake a large set of in-depth in-country studies over the next two Norton, G. W., and P. G. Pardey. Priority Setting years, but any suggestions you have for improving Mechanisms for National Agricultural Research priority-setting procedures would be very much Systems: Present Experience and Future Needs. ISNAR appreciated. We will share with you our progress as we working papers series, The Hague, 1987. refine agricultural research priority-setting procedures over the next couple of years. Pinstrup-Andersen, P. and D. Franklin. ’A Systems Approach to Agricultural Research Resource REFERENCES Allocation In Developing Countries.’ Resource Allocation and Productivity in National and Anderson, J. R. and K. A. Parton. Technologies for International Research, ed. T.M. Arndt, D.G. Guiding the Allocation of Resources Among Rural Dalrymple, and V.W. Ruttan, Minneapolis, Univ. of Research Projects: State of the Art. ’Prometheus, Minnesota Press, 1977. 1(1983): 180-201. Ruttan, V. W. Agricultural Research Policy, Baltimore, Centro de Investigacion Agricola ’Alberto Boerger’ Johns Hopkins University Press, 1982. (CIAAB). Identificacion y Seleccion De Prioridades de Investigacion Agropecuaria en el Uruguay. Report Schuh, G .E . , and H. Tollini. Costs and Benefits of prepared for CIAAB by G. Ferreira, G. Norton, and C. Agricultural Research: State of the Art, Washington, Valverde, May 1987. DC, World Bank Staff Working Paper No. 360, 1979. Davis, J.S., P. A. Oram, and J.G . Ryan. Assessment of Scobie, G.M. Investment in Agricultural Research: Agricultural Research Priorities: An International Some Economic Principles, CIMMYT Working Paper, Perspective. Australian Center for International Mexico, 1984. Agricultural Research (A CIA R) Canberra, 1987. Shumway, C. R. ’Allocation of Scarce Resources to Espinosa, P., G. Norton, and H .D . Gross. Agricultural Research: Review of Methodology,' Amer. Identificacion Y Seleccion De Prioridades De J. Agr. Econ., 55(1973): 557-66. Investigacion Agropecuaria en el Ecuador, Instituto Nacional de Investigacion Agropecuaria (INIAP), Draft, October, 1986. 82 PRIORITY SETTING IN THE TANZANIA LIVESTOCK RESEARCH ORGANIZATION (TALIRO) Augustine M. Macha Director General TALIRO Tanzania INTRODUCTION A considerable amount of research was carried out between the 1920s and 1950s, much of which has been The livestock industry in Tanzania is still dominated by reported in the literature. Current research should note peasant farmers who own about 99% of the total that: livestock population. For most of these farmers wealth is still reckoned by numbers of livestock. The indigenous 1. Some of the conclusions arrived at in earlier years are stock is largely unimproved, and the industry as a whole no longer necessarily valid due to changed is very undercommercialized. The small amount of circumstances. For instance, early workers ruled out commercial activity within the livestock sector is the raising of Bos taurus cattle in the tropics because dominated by government through parastatal of a very hostile environment. Since 1975 Tanzania organizations. has imported several thousand head of purebred exotic dairy cattle from New Zealand and the USA. Tanzania is reputed to rank third in Africa (after Our limited experience has shown that, under good Ethiopia and Sudan) in livestock numbers, with 13 management, such animals do perform well in high- million head of cattle, 5.6 million goats, 3.8 million altitude areas. It is now generally accepted that in sheep, 250,000 pigs, and 25 million chickens; yet the most cases genetics per se is not the most important majority of Tanzanians experience periodic nutritional factor; management is. stress. The present population of 20 million is expected to double by the year 2000. This will increase demands 2. Some of the experiments carried out in earlier years on livestock, both for animal products and for draught were limited in scope and were inconclusive. There power to help produce more grain and vegetables. is, therefore, a need to repeat them under our present conditions and knowledge. BEGINNING OF LIVESTOCK RESEARCH EVOLUTION OF LIVESTOCK RESEARCH Livestock research in Tanzania began in 1905, when the PHILOSOPHY first livestock research station was opened by the Germans at Mpwapwa in central Tanzania. In 1907 they The philosophy of livestock research has gradually constructed the first cattle dip in East Africa. Following changed over the years according to what was perceived the end of the First World War in 1918, the Germans left as the most pressing problem at a given time. During the Tanzania, and the British took over. U nder British rule, 1920s and 1930s much effort was spent on controlling the research effort was not maintained because of animal diseases which used to kill large populations of frequent changes in staff and policy. Most emphasis was livestock whenever there was an outbreak; e.g., placed on cash crops for export of raw materials to the rinderpest, contagious bovine pleuropneumonia ’home’ industries. (CBPP), and East Coast Fever (ECF). Much progress was made after the discovery of effective vaccines and/or Even after independence, livestock research suffered drugs to control the causative organisms and their from a lack of adequate research personnel and financial vectors. backing. The same cash crops continued to enjoy high priority because of their export value. Control of the most deadly diseases enabled the 83 importation of cattle (Bos taurus) for crossing with local REORGANIZATION OF RESEARCH breeds, and this was the beginning of genetic improvement by crossbreeding and selection. Since the Following the break-up of the East African Community 1930s exotic breeds of cattle have been introduced into (EAC) in 1977, the Tanzania government took steps to Tanzania from Europe, Asia, the USA, New Zealand, ensure that the former EAC research institutes in Kenya, and Zimbabwe and crossed in many Tanzania continued their research programs. At the combinations with local and other exotic breeds. A same time it was directed that the opportunity should be major constraint to production plans at present is the taken to review and reorganize the existing Tanzanian lack of specific knowledge about the kind of animal best research institutes of the ministries into autonomous suited to commercial dairy and beef production in organizations (parastatals) to which qualified scientists different ecological zones. and administrators were posted. Subsequently, the Tanzania Livestock Research Organization (TALIRO) While animal scientists preoccupied themselves with was one of the organizations created by an Act of disease control and genetics, relatively little effort went Parliament in 1980. It consists of four research institutes, into improving animal nutrition. Most livestock in each with a number of centers, although some have yet Tanzania subsist on rangeland grasses and browse, to be established. The institutes deal with research on sometimes supplemented by seasonal crop residues and animal diseases, livestock production, tsetse and byproducts. Little or no formal supplementary feeding is trypanosomiasis, and pastures. practiced. Both the quality and quantity of intake vary markedly from region to region and from season to During the last 25 years many sound research proposals season, but inadequate nutrition is probably the most were formulated but never started due to a lack of serious malady of livestock in Tanzania. Inadequate financial and/or personnel support. Since the creation of supply of feed during the dry season (equivalent to TA LIRO , steps have been taken to: winter in the temperate zone) often causes animals to lose most of the weight gained in the rains. Milk - Analyze, evaluate, and publish past results. This production also falls drastically. The most important exercise is in progress. area of animal nutrition research would, therefore, seem to be the feeding of preserved forages to cattle, - Draw an integrated long-term research program that especially dairy cows, during the dry season. Until a will take into account old and new research proposals solution to the dry season feed shortage is found, from conception to completion. The first ever five-year livestock production will remain well below its real research program on animal production, animal potential. However, there are serious technical and diseases, tsetse and trypanosomiasis, pasture and economic limitations to forage preservation. forages was approved by T A L IR O ’s Council during 1986. What remains now is implementation as and In recognition of the importance of pasture and forages when resources permit. for animal production, the Tanzanian government has recently given higher priority to pasture research. A new - Insure realistic cost-related field station development. and independent Pasture Research Institute is under Until now most of our research has been conducted construction. The main target for pasture research is the under ’Central Research Institute/Center’ atmosphere dairy sector, with the ranches as the secondary target. and the results interpreted accordingly. Extension Livestock research as a whole will be problem-oriented, recommendations were made for completely different and the problems identified will be tackled by complete conditions from those under which the results were research packages designed for each production system. obtained. The concept of testing new technology under Pasture research and livestock nutrition must go hand- producer conditions as early as possible and verifying in-hand. farmers’ acceptance of the new technology is gradually gaining acceptance. This approach will require Thus, it can be seen that priority in livestock research researchers to be much more mobile. Massive donor has evolved over the years from desease control to support will be required to make this goal a reality. So animal breeding and genetics, then to animal nutrition far no firm commitment has been made by any of the and culminating in pasture and forages, but closely tied potential donors. to animal nutrition. - Project the long-term research manpower and training requirements. Currently TA LIRO has 75 graduates and nearly 200 technicians. The organization would be 84 doing rather well if it were able to make full use of the invest in short-term profitable projects where the trained professional and technical staff. As it is, the return on investment is certain. Recipient staff are not used fully due to the lack of essential governments have similarly shied away from long­ facilities, e.g., laboratory equipment, transport, etc. term projects whose outcome is uncertain or cannot Our staff is entirely Tanzanian, which reflects the be quantified in cash terms. There has also been a heavy investment the government has put into very negative attitude by poor countries in regarding manpower development. research as a luxury that only developed countries can afford. - Develop research-extension linkages and publish results needing translation into field language for 2. One common feature of developing countries is little extension use. The link between research and or no consensus on what should be done. Our extension is still very weak or non-existent. There is countries are characterized by much instability, as provision for an extension unit within the research evidenced by frequent changes of policy and department of each institute/center. personnel. As yet we do not have a tradition of or respect for research. Due to limited resources, often - Establish library, documentation, publication, and only short-term projects have received high priority. general information services. Current information is Research, unfortunately, is a long-term activity very expensive and difficult to come by. A number of requiring considerable patience and investment. The donors have generously included library support in benefits of research are not immediately obvious or their budgets set aside for T A L IR O . appreciated: they are vaguely described in long-term socio-economic benefits. Politicians are more T A L lR O ’s mandate is very broad: ’Initiate, organize, interested in politically visible projects, e.g., conduct, and establish priorities to promote and carry industrial plants, many of which have turned out to out applied and basic research designed to facilitate be white elephants. Many developing countries are livestock research and other fields related to livestock now paying the very high price of industrializing at development’. the expense of agriculture. They did so with the full encouragement of donors who were only too glad to As a parastatal organization under the Ministry of sell them industrial plants. Agriculture and Livestock Development, TA LIRO is responsible for executing the approved research 3. Lack of basic infrastructure to support sustained program. The parent ministry is responsible for broad livestock research. Local funding of agricultural policy issues. research has been very erratic. The percentage of GDP spent on all research has been estimated to be Within each discipline or area, the various research about 0.3. It is not certain how much of this goes to committees decide on research priorities in accordance agricultural research. with government policy. Once the minister responsible gives his formal approval, the program will be Many of the inputs required by researchers have to implemented to the extent available resources will come from outside. Foreign exchange has been in permit. short supply recently, so scientists have had to do without imports, including literature. MAJOR CONSTRAINTS TO SETTING RESEARCH PRIORITIES 4. The major constraint to improved livestock production is not knowledge per se, but the There are a number of practical problems which make application of already known technology. Usually, priority setting in livestock research very difficult. technology is available which could, in principle, increase livestock productivity, but the difficulty is to 1. Lack of clearly defined national policy on research bring improved technology and management systems and the political will to support the stated policy. Too to the livestock producers. Where new technology is often the authorities seem to merely pay lip-service to accepted and applicable, such as in the small the importance of research. When it comes to actual commercial sector of the livestock industry, the budgetary allocation, the funds are simply not there. supply of necessary inputs required by the farmers, In general, agricultural research has been given such such as building materials, water, farm machinery, low priority that it has benefitted little from donor fencing, drugs, feedstuff, etc. will make all the support. Most donors have been more willing to difference to production. More often than not many 85 of the basic inputs are either inadequate or lacking, setting priorities in livestock research. To do the latter, thus making sustained livestock production certain assumptions must be made: impossible. If such inputs were guaranteed, we have adequate knowledge to make packages for different 1. That there is a clearly defined policy and national types of livestock. goals to be achieved through research. The political system is committed to supporting the research effort; 5. The major problem with pasture research is that over 90% of livestock production takes place in 2. That the basic infrastructure to support sustained uncontrolled grazing areas. This makes the research is available; application of improved pasture technology difficult, if not impossible. In the main cattle areas of 3. That target groups are receptive to the new Tanzania, animals are owned and managed technology generated through research. Agricultural individually, but the grazing areas and other production has improved steadily as a result of the resources are shared. There is, therefore, little research effort. incentive for individuals to restrict livestock numbers and manage herds in order to conserve grazing. A In the absence of the above, it is likely that researchers change in the land-tenure system must be brought will be doing little more than fumbling. Substantial about before it is possible to apply new pasture resources will be used in the name of agricultural technology. research without making any impact on overall agricultural production. CONCLUSION To date research priorities are more or less based on past This paper has dwelt more on the priorities needed to experience and knowledge of what others have been able organize a viable livestock research system than on to achieve through research. 86 ISNAR STUDY ON THE ORGANIZATION AND MANAGEMENT OF ON-FARM CLIENT-ORIENTED RESEARCH IN NARS D. Merrill-Sands Research Fellow ISNAR THE ISNAR OFCOR STUDY When fully integrated into a research system, O FC O R performs the following seven inter-related functions: In January 1986, ISNAR initiated a two-and-a-half-year study on the organizational and managerial implications 1) support within research using a problem-solving of integrating an on-farm client-oriented research approach, which is fundamentally oriented to farmers (OFCOR) strategy within NARS. In today’s as the primary clients o f research; presentation, I will first give an overview of the study before we present various aspects and preliminary 2) contribute to the application o f an inter-disciplinary conclusions of the study relevant to today’s theme: systems perspective within research; Linkage Issues in Research Organizations. 3) characterize major farming systems and client groups, The objective of the study is to understand the critical using agro-ecological and socio-economic criteria, in policy, organizational and managerial factors for order to diagnose priority production problems as implementing, integrating, and sustaining on-farm well as identify key opportunities for research with client-oriented research within a NARS in such a way the objective of improving the productivity and/or that it effectively strengthens national research stability of those systems; capacities and advances the process of technology generation and dissemination. 4) adapt existing technologies and/or contribute to the development o f alternative technologies for targeted WHAT DO WE MEAN BY OFCOR? groups of farmers by conducting experiments under farmers’ conditions; OFCOR is a research strategy which links research aimed at technology generation (i.e., applied and 5) promote farmer participation in research as adaptive research) with the ultimate client of research — collaborators, experimenters, testers, and evaluators the farmer. The principal characteristic of O FC O R is of alternative technologies; that problem diagnosis and the design, development, adaptation, and evaluation of appropriate technological 6) provide feedback to the research priority-setting, solutions occur primarily at the farm level. O FC O R is planning and programming process so that fundamentally farmer-oriented. experiment station and on-farm research are integrated into a coherent program focused on Since we are examining organization and management farmers’ needs; issues in this study, we have defined O FC O R more specifically in terms of the roles or functions it can play 7) promote collaboration with extension and within the research and extension process, rather than in development agencies in order to improve efficiency terms of methodologies, as is common in the literature of the technology generation and diffusion process. on Farming Systems Research. Looking at these functions together provides a good definition of what we mean by OFCOR. 87 WHY IS ORGANIZATION AND arrangements and management systems for MANAGEMENT OF OFCOR AN ISSUE? implementing and integrating OFCOR. The case study countries are, by region: Over the past 15 years, many NARS have instituted O FC O R programs of varying scope and intensity. Use Latin America Asia Africa of this research strategy has increased significantly. This has resulted from the growing recognition that Panama Nepal Senegal information on farmers’ needs, production conditions, Ecuador Indonesia Zimbabwe and demands for technologies — particularly those of Guatemala Bangladesh Zambia small, resource-poor farmers — has often not been incorporated effectively as a basis for research priority In each case study we ask: What lessons for research setting, planning and programming. The result has been policy and the organization and management of OFCOR that, in too many instances, research has produced can be drawn from this experience which would be technology which may be sound in its own right but is relevant to other research managers trying to integrate inappropriate for this client group. O FC O R has thus or strengthen O FCO R within their own systems? been seen as a way of building a better link between research and farmers — particularly resource-poor These case studies will then serve as a basis for the farmers. comparative analysis which is the second part of the O FCO R study. In the comparative analysis we will Still, despite the increased emphasis on O FCO R as a systematically analyze this wide range of experiences strategy for linking research and farmers, too little and synthesize relevant lessons in order to create attention has been paid to ways of integrating this guidelines for research managers. The synthesis is, thus, approach within the research process so that it performs a consolidation — or a digest — of the practical its desired functions effectively. Emphasis has been experiences of research managers in these nine OFCOR placed on the development of methodology, but now situations. that experience with the approach is accumulating, problems of implementation are emerging, and the The major analytic themes being developed in the institutional challenges are much more apparent. comparative analysis of the O FCO R study are: Many NARS have undertaken major O FC O R efforts - Alternative Arrangements for Organizing OFCOR: with little orientation or accumulated experience upon Comparative Strengths and Weaknesses; which they could draw regarding the actual - Organization and Management of Linkages between implementation of this type of research. They have had O FCO R and Experiment Station Research; to move ahead by trial and error, finding solutions to - Organization and Management of Farmer organizational and managerial issues and problems as Collaboration in Research; these problems have arisen. - Organization and Management of Linkages between O FC O R and Extension; The objective of this study is, therefore, to address these - Management of O FCO R Research Process and issues of implementation directly and to try to synthesize Decentralized Field Operations; the experiences of diverse NARS with integrating - Development and Management of Human Resources O FCO R as a complementary research strategy. This will in OFCOR; then provide a base of practical research management - Financial Resource Use and Management; experience upon which research managers can draw - Management of Relations with Donors and External when trying to build-up O FC O R as an integral part of Sources of Knowledge; the research process in their institutes or research - Issues in the Institutional Development of OFCOR in systems. NARS: An Evolutionary Perspective. THE OPERATIONAL STRATEGY OF THE Synthesis papers will be written on each one of these OFCOR STUDY: CASE STUDIES AND themes. COMPARATIVE ANALYSIS OPERATING PRINCIPLES In the O FC O R study we are developing nine case studies of selected NARS which have had sufficient time to There are three operating principles for the OFCOR experiment with and develop diverse organizational study. First, the study is being conducted on the principle that we should learn from the experiences of NARS with Linkage Issues in Research Organizations. integrating on-farm client-oriented research. Analysis The principal linkages we have looked at in the study a re : and synthesis of these real-world experiences should serve as the basis for developing guidelines or checklists - linkages to farmers; of key issues on organization and management of - linkages to extension; OFCOR for research managers. The second principle of - linkages to experiment station research. the study is that national researchers should be responsible for developing the case studies. The third Today we will focus on the last two. The presentation is principle is that the case studies should directly benefit in two parts, representing the two principal products the collaborating NARS by contributing to their system- coming out of the research study. building efforts. Stuart Kean and Lingston Singogo, who were the PRODUCTS OF THE OFCOR STUDY principal researchers on the Zambia case study, will present the key findings and conclusions from their case The OFCOR Study will have three groups of final study research. Emphasis is given to the management of products: first, practical guidelines and training the linkages between O FC O R and experiment station materials for research managers for organizing and research, and O FCO R and extension. Their managing on-farm, client-oriented research within presentation will demonstrate the kind of analysis NARS; second, a series of analytic papers on key coming out of the individual case studies. organizational and managerial themes which synthesize the relevant lessons that can be drawn from the nine Then, in the second part of this presentation, I will give a country case studies of OFCOR situations; and third, a brief summary of the theme paper I am in the process of series of individual case studies with detailed analysis of developing which intends to synthesize the relevant specific OFCOR situations. These will be stand-alone lessons from all the case studies on organizing and products, as well as primary sources of data for managing the linkage between O FCO R and on-station developing the guidelines. research. This paper is still very much in the working stage, and we have more analysis to do before we have a CURRENT STATUS OF THE STUDY fully developed set of guidelines. At this point in the study, we have most of the case But what I would like to do today is to present, in the studies finished and we expect to be able to get at least limited time we have, an overview of the approach we four published by the end of the year. We have also are going to use for the synthesis and the development of already begun the papers on the major analytic themes the guidelines. That is, to indicate to you: of research policy, organization, and management of OFCOR. Case study summaries highlighting practical - how we intend to analyze the issue of managing the lessons and guidelines for research managers to be drawn linkage; from the diverse OFCOR situations will be developed by June of next year. - how we intend to organize the information in such a way that it will be useful to you as senior research AGENDA FOR THE PRESENTATION managers. The agenda for this morning is to present some of the I am putting this out for your review and feedback findings of this study relevant to the theme of today: essentially as product-testing, since you are the principal clients for our research. 89 90 ORGANIZATION AND MANAGEMENT OF LINKAGES BETWEEN ON-FARM RESEARCH AND EXTENSION: LESSONS FROM ZAMBIA L.P. Singogo National Coordinator of Adaptive Research Ministry of Agriculture Zambia INTRODUCTION Provincial Agricultural Officer (PAO), supported by Subject-Matter Specialists (SMSs). Every province has a On-farm research in Zambia is conducted mainly by the regional research station headed by an officer-in-charge. Adaptive.Research Planning Team (ARPT) which was He represents the Research Branch in the province. established within the Research Branch of the Research activities at this level are undertaken by the Department of Agriculture in 1980. At present, ARPT station agronomist and to a lesser extent by ARPT. is operating in eight out of nine provinces of Zambia. On-farm research was introduced at the time when the The extension organization at the district level is headed relevance of research and extension programs to the by the District Agricultural Officer (D A O ), assisted by majority of Zambian small-scale and traditional farmers SMSs. The district is divided into blocks which comprise was under review. The results of this review led to the camps. Research activities at these levels are carried out introduction of the Training and Visit (T&V) method in either at sub-research stations and/or in the Extension Branch and the reorganization of the recommendation domains by station supervisors and Research Branch into Commodity and Specialist Teams A R PT staff respectively. Each recommendation domain with a national focus and the ARPT with an area focus. comprises three clusters on average. Trials in these In both extension and research there was, and still is, a clusters are conducted by trial assistants (TAs). TheT A s general concern that they lack appropriate extension are administratively and technically responsible to the messages for small-scale farmers. This is due partly to D A O and the farming systems agronomist in ARPT the existing gap between research and extension and respectively. partly to that between extension and farmers. This paper discusses how A R PT’s programs and activities have been ORGANIZATIONAL OPTIONS FOR organized and managed to narrow these gaps, the ON-FARM RESEARCH IN ZAMBIA problems encountered, and some proposals for improvement. Before establishing the Adaptive Research Planning Team to conduct on-farm research, three possible ORGANIZATIONAL STRUCTURE OF THE options were considered. First, to undertake a major DEPARTMENT OF AGRICULTURE reorganization of the whole research branch and establish regional research teams or institutes The Department of Agriculture is headed by the comprising all possible combinations of biological and Director of Agriculture (DA O), who is supported by social scientists. These teams would have been two assistant directors, one for research and the other responsible for carrying out both on-station and on-farm for extension. The Assistant Director Extension (AD E) research in the regions. The second option was to place is supported by a number of Chief Subject-Matter social scientists into the already existing Commodity and Specialists (CSMS) at national headquarters. The Specialist Research Teams. This would have meant all Assistant Director Research (A D R) is supported CSRTs undertaking surveys and on-farm research trials. primarily by the Chief Agricultural Research Officer (CARO), under whose command are the Commodity The third option was to form a separate team , in addition and Specialist Research Teams (CSRTs) and the ARPT. to the CSRTs, which would have an area focus in order At the provincial level, extension is represented by the to complement the national focus provided by 91 Commodity Research Teams. It was decided by senior been one of the most important occasions for ARPT- research and extension managers to opt for this extension interaction and feedback. approach. Since then, A RPT has expanded along these lines. It is believed that the option chosen has affected 2. The Training and Visit program the nature of the linkages between on-farm research and The T&V program of extension has been fully other institutions such as extension. operational in a few provinces only. In these provinces, A R PT’s involvement has been significant. ARPT is now operational in eight of Zambia’s nine The most noteworthy contribution by ARPT has provinces. Each provincial team includes an agronomist, been the production of monthly extension bulletins an agricultural economist, and a Research Extension based on the latest trial results and socio-economic Liaison Officer (RELO) who is on secondment from the studies. Other activities have included participating extension branch. This team is based at the Regional in district training sessions and production of bi­ Research Station. It is planned to have four rural monthly extension newsletters. sociologists who should support the activities of the provincal teams. At the national level, there is a 3. In-Service Training of Extension Workers and Farmers nutrition coordinator and a national A RPT coordinator. In provinces where the T&V system has not been In provinces where livestock is an important enterprise, operational, ARPT has nevertheless participated in adaptive livestock research officers have been the formal in-service training sessions for both appointed, two thirds of whom have been drawn from extension workers and farmers. These seminars/ extension. At the field level, A RPT uses the services of workshops are usually held at farm institutes and TAs who have been seconded from extension. farmer training centers. MANAGEMENT OF FORMAL AND The RELOs prepare and present lectures on INFORMAL ON-FARM communication skills and a farming systems RESEARCH-EXTENSION LINKAGES perspective. In return, ARPT receives comments from extension workers and farmers about on-farm In institutionalizing on-farm research into the research trials. branch, one of the major aims and objectives of ARPT was to narrow the gap between research and extension. 4. Dissemination of New Technology This would be achieved by drawing extension workers at Out of eight provincial teams which have been national, provincial, and field levels into the process of established, only three have been able to either revise technology generation for small-scale and traditional old or produce new recommendations for specific farmers. A RPT provides many opportunities for farming systems. However, observations and bridging the gap between research and extension. These discussions with farmers suggest that some farmers occur in two main ways: have already adopted some aspects of on-farm trials. In Central Province, farmers demanded more seed A. Involvement of ARPT in Extention for an early-maturing maize variety during its first Activities year of on-farm testing. In North-Western Province, farmers would not give back 2 kg of seed to ARPT In provinces where A RPT has been established for some staff after harvest as earlier agreed because they time, A RPT has been participating alongside extension decided to keep it themselves and replant it next staff in a number of extension- oriented activities, season. including: B. Involvement of Extension in ARPT 1. Farmer and Extension Field Days Activities The RELO has assisted extension workers in planning and executing farmers’ field days. Other A RPT has been seeking the participation of extension A RPT members attend these field days as resource personnel at all levels in most of its activities. The persons. W hether the field days are intended as result following activities highlight this aspect of linkage: demonstrations of adopting recommended technology or are for testing new technology, 1. Program Planning and Evaluation extension workers are involved in explaining the At the national level, CSMSs participate in the processes to the farmers. Attendance at field days has quarterly and annual reviews of A R PT’s activities. During annual reviews, the current year’s on-farm 92 research results are discussed and the following been the case in Eastern and North-Western season’s program agreed on. At the provincial level, Provinces. In Northern Province, however, the there is a formal provincial A RPT steering committee RELO approached all extension workers in the which meets at least twice a year to review on-farm province and requested their opinions about the trial results, discuss the following season’s program, technical content and format of the new and the revision and release of provincial recommendations. Extension workers’ views and recommendations. The membership of this comments on these issues have been quite useful to committee includes all Provincial SMSs, ARPT ARPT. members, DAOs, and all agribusiness representatives. The committtee is chaired by the PROBLEMS ENCOUNTERED WITH ON- Provincial Agricultural Officer. It is through this FARM RESEARCH-EXTENSION committee that the views of extension personnel are LINKAGES considered in planning and evaluating A R PT ’s programs. The development of the organizational structure and the management of linkages between on-farm research and 2. Participation in ARPTs Surveys extension outlined above has not occurred without The participation of extension workers in ARPT problems. In order to give a balanced view of the surveys has mainly been with field-level extension situation, it would be appropriate to state the nature of workers, at the block and camp levels. Extension these. workers have been the main source of information for demarcating farming systems in each province. 1. The secondment of RELOs to the provincial teams Field extension workers have participated in informal has been incomplete. Out of eight established and formal surveys mainly as interpreters for the provincial teams, there are only three Zambian and discussions between A RPT staff and farmers. Trial three expatriate RELOs, some teams having two Assistants have been used to collect data related to RELOs. Three provincial teams are still without trials on trial farmers’ fields and surrounding farmers. RELOs. Given the importance of this position in ARPT-extension linkage, much more could have 3. On-farm Trials and Tests been done if all provinces were fully staffed. Most of A R PT’s on-farm trials are being implemented by TAs who have been seconded 2. Some ARPT staff have suggested that limited technically, but not administratively, from the extension participation in A RPT activities has been extension branch, to work full-time with ARPT. due to lack of motivation by extension workers. In Originally, it was planned to second extension general, A RPT personnel have had more access to workers to ARPT for at most four years, after which physical and financial resources with which to do their they would be surrendered back to extension in work than their extension counterparts. This has exchange for others. The current feeling of most created a level of inequality between the two sides. ARPT members is that these TAs should be permanently seconded to ARPT. In implementing 3. Although the mechanisms for contributing to these field programs, TAs elicit the involvement of A R PT’s activities have been established, extension other extension workers operating in the same target workers’ contributions have been limited. This has area. In this way a wider range of extension workers been partly caused by a lack of understanding of the is exposed to the activities of ARPT. nature of A R PT ’s work. This has been particularly so for extension workers outside the target areas. This In Eastern Province, more than 50% of on-farm trials also applies to SMSs who have had limited were run by extension workers during the first three involvement in ARPT activities. seasons. On-farm testing of suitable technologies is supervised by local extension workers who are guided 4. The training and orientation of extension staff has by the RELO. traditionally been towards commercial farmers. Consequently, many extension messages have not 4. Revision and Release of Crop Recommendations been wholly appropriate for small-scale farmers, In conjunction with the provincial SMSs, the ARPT which has meant that extension workers have tended agronomists and the RELOs propose the revisions to work more closely with commercially oriented and recommendations which are discussed by the farmers. This difference in client group has provincial ARPT Steering Committees. This has 93 sometimes hindered communication between ARPT linkages does exist in Zambia. Several management and field extension workers. strategies have been instituted to operationalize linkages. These strategies have been influenced by 5. There has been insufficient forward planning by the level of staffing, the demand by extension for ARPT staff on activities to be undertaken. This has appropriate extension messages from on-farm reduced the involvement of extension workers in research, and the willingness of each side to get A R PT activities. Since extension workers are involved in on-farm research and extension. So far, involved in several other activities, they need to be intensive participation of extension workers in informed in advance of their anticipated participation technology generation has been limited to target in on-farm research activities. areas. Ways need to be developed to spread this involvement. All these efforts are made in the belief CONCLUSION that drawing extension workers into the process of technology generation will enhance the dissemination The basic organizational framework for of that same technology to the end users - the farmers. strengthening on-farm research and extension 94 ORGANIZATION AND MANAGEMENT OF LINKAGES BETWEEN ON-FARM AND RESEARCH STATION SCIENTISTS: LESSONS FROM ZAMBIA Stuart Kean Former National Coordinator of ARPT Zambia INTRODUCTION - supply local germplasm for possible inclusion in breeding programs; The importance of the Adaptive Research Planning - provide assistance to implement collaborative Team (ARPT) having good working relationships with trials together together with CSRT; scientists in the Commodity and Specialist Research - provide information on how present CSRT Teams (CSRTs) was recognized from the earliest recommendations are being adopted by farmers; discussions about the need for a section dealing with on- - discuss possible revisions to recommendations. farm reseach. The benefits from such interaction should be two-way. Despite recognition of the need for effective collaboration between provincial ARPTs and CSRTs, 1. Flow from CSRT scientists to ARPT the strength of the relationship has varied considerably ARPT scientists could gain from interaction and both between different teams and over time. There have information from CSRT scientists by: been, broadly, three phases in the evaluation of these - providing insight on particular problems, e.g. pests relationships: and diseases, etc.; - making suggestions about how certain data should 1979-1982 - The design phase. During this phase ARPT be collected, e.g. on weed scoring, pest and disease was getting off the ground, and there was minimal counts; interaction. The mandate for collaboration with CSRT - giving advice, based on previous research, about scientists was included in the early ARPT documents solutions to problems which can be tested in on- outlining the team ’s objectives. farm trials; - giving advice about trial designs; 1983-1985 - The establishment phase. By the end of this - providing planting material for on-farm trials; phase, six provincial ARPTs had been established, and - giving comments about technology under test in by June 1985, 23 scientists were working in the team. ARPT on-farm trials; There was resentment among some CSRT scientists that - assisting with the formulation of new and revised the Assistant Director of Research (A D R) was recommendations. favouring ARPT, especially by allocating a lot of resources to the team, about which some of them knew 2. Flow from ARPT scientists to CSRTs very little. The principal benefits of flows from ARPT to CSRTs There was quite a lot of interaction, mainly informal, are to: between provincial ARPTs and CSRTs, most of it - provide information on farmers’ circumstances to initiated by A RPT scientists. However, most ARPT staff help CSRTs set priorities, plan trials, and set were trying to get their own programs started and treatment levels; cooperation with other people did not have the highest - provide information on how CSRT material priority. Several A RPT scientists were frustrated performs on farms under farmer management; because many CSRTs had few technologies available for - give an assessment of farmers' varietal preferences, on-farm trials and were also hindered by the difficulty of including such features as taste and cooking time; getting access to previous seasons’ results. 95 By mid 1985, there was quite a lot of friction between 1. Participation by SCRT Scientists in Surveys A RPT and scientists in several CSRTs. A new CARO There has been very little participation by CSRT was skeptical of the role of ARPT, the value of social scientists in A RPT surveys. Evidence could only be scientists, and the ability of various A RPT team found of a few occasions when scientists from seven members. She was determined to redress the resource CSRTs participated in surveys conducted in four imbalance which had been in A R P T ’s favor and, in so provinces. Nonetheless, this involvement was doig, became a rallying figure for others critical of considered to have been useful by the ARPT ARPT, most of whom were based at the Central scientists. Research Station. 2. Collaborative ARPT-CSRT Trials 1986-1987 - Consolidation o f A R P T I CS R T Interaction. All the provincial ARPTs have, in recent years, From the end of 1985 to the present, much effort has collaborated with 10 CSRTs in conducting trials of been made, especially by ARPT scientists, to improve mutual interest. The initiave for these collaborative interactions between ARPT and CSRT scientists. There trials has been taken by both teams, and is now a generally positive attitude towards improving responsibility for management has varied although, interaction. in the majority of cases, it has rested with ARPT. The joint discussions, visits, and assessments of these LEVEL OF INTERACTION BETWEEN trials have been extremely valuable in breaking down ARPT AND CSRT SCIENTISTS barriers between the scientists. The experience with collaborative trials has generally been very The study team assessed the level of the interaction successful, with both sections gaining not only between A RPT and CSRT scientists between moderate knowledge from the specific trial, but also having a to good. However, the level of interaction and better understanding of the other teams’ work. collaboration between ARPT and CSRTs has improved considerably in the last couple of years. 3. Visits to Trials In most areas it appears that the level of interaction has Fourteen of the 16 CSRT scientists interviewed, said increased over time. that they had visited ARPT trials, although four of The Director of Agriculture thought that ARPT had these said that they had seen only the ARPT trials helped most scientists in the research branch to have a conducted at research stations. The ARPT scientists better understanding of the problems of small-scale consider that informal discussions in the field, at and farmers. He considers that A RPT helps to integrate the between trial sites, are extremely valuable work of all the CSRTs, because it cuts across the work of opportunities for interaction. A smaller proportion all of them. of CSRT scientists made the same comment. The At the conclusion of the 1986 Commodity Research Senior Maize breeder, at one time, had been highly Review meetings, there was a general feeling among critical of the work of ARPT in Luapula Province, ARPT scientists that ARPT was being treated as an but after became very enthusiastic about the team’s equal with CSRTs, which had previously not been the work case. 4. Reviewing Results and Setting Research The findings of the survey of functions showed that Priorities scientists in the research branch consider ARPT-CSRT All CSRT scientists interviewed said that they had interaction to be of highest priority. been consulted, in one way or another, by ARPT However, in practice, it was considered by both groups, scientists about the content of trials. There have been to have been the least well performed function. several important occasions when ARPT and CSRT scientists have been able to come together to review EFFECTIVENESS OF INTERACTION each season’s trial results and to plan their research BETWEEN ARPT AND CSRT SCIENTISTS programs. Most of the scientists interviewed considered that informal interaction, such as casual conversations The qualitative assessment of interactions is based on and correspondence, have been as important as information collected during interviews with 16 CSRT formal occasions. The informal interaction has, by scientists and 13 A RPT scientists in the three provincial definition, depended on the motivation and interest case studies. By type of interaction it revealed: of individuals. They have suited the ’loner’ operating style of some individuals, but have not been so 96 effective as part of a systematic team activity, in interest in them. Most CSRT scientists said that they which everyone knows what is going on. were primarily interested in receiving reports containing agronomic data about farmers’ practices. There have been several important formal occasions Dissatisfaction was expressed by several CSRTs for interaction, including: about receiving insufficient data from A R PT about - ARPT Provincial Committee meetings, the production constraints faced by farmers growing - Commodity Research Team Review meetings, their particular crops. Several teams, such as - Research Committee meetings. groundnuts, sunflower, and soybean, have gone The Commodity Research Team Review meetings, ahead and undertaken their own surveys to collect established in 1984, are considered to be the most such data. The problem appears, in large part, to be important. Although these meetings have taken that an insufficient number of copies of reports are place for the last few years, there is no reason why being distributed by ARPT, and then they are not they should not have remained simply ’talking being circulated among CSRT members. There has shops’. There is no effective regulatory mechanism been minimal discussion of the data required by to ensure that the decisions taken at these meetings CSRTs, although the issue has been raised several are implemented. In this sense, the process of setting times with different CSRTs. research priorities is quite flexible. In spite of this, it appears that these meetings and discussions have not Consequently, there is little evidence that CSRT been simply formal occasions. Both A RPT and scientists have used A RPT reports in helping to CSRT scientists consider that they can and, in some determine their research priorities. It seems, cases, have already benefitted from such interaction. therefore, that most ARPT information has been Fifteen CSRT scientists said that they thought ARPT transmitted verbally to the CSRTs. has had, or should have, a role to play in helping to A RPT scientists have also had some problems in plan CSRT research programs, by feeding back obtaining the results of previous CSRT trials, which information about farmers' problems. Six of the is why A RPT initiated a research data base study. CSRT scientists were able to give examples of how information from A RPT through reports and 6. Miscellaneous Mechanisms for discussions, have helped them to set priorities or Collaboration design trials. Several other opportunities or mechanisms have been useful for A RPT and CSRT scientists to work There are also several provincial ARPTs which have together. These include: confirmed that various CSRT research priorities are - conducting analyses, e .g . , soil, oil content e tc .; already addressing important problems. These - collection of germplasm and provision of planting include priorities such as the need for a range of material; short-duration maize varieties, acid-tolerant - revision of research recommendations; sorghum varieties, and the development of upland - involvement in variety release; rice varieties. - assignment of one CSRT scientist to liaise with The list is still small, in comparison with the size of ARPT; the total research programs, and much more could - job description, including the need for interaction; be done, but it reflects an increasing willingness - research services, e.g., loaning equipment, among CSRT scientists to consider problems and transporting, trial requisites. proposals from ARPT. Considerable interest has also been shown by ARPT scientists in the latest FACTORS AFFECTING THE information from the CSRT scientists, in particular INTERACTION BETWEEN ARPT AND concerning new varieties for on-farm trials. Such SCRT SCIENTISTS interest is not surprising, given that A R PT is completely dependent on the CSRTs for all new Many factors have contributed to the effectiveness of the technology. interactions between A RPT and CSRT scientists. 5) Exchange of Data and Reports 1. Lack of Technologies Available for Testing All the CSRT scientists said that they had seen some from CSRTs ARPT reports, and most had seen that A RPT annual reports. However, nine said that they had not seen There have been several CSRTs which, until the last any survey reports, although most expressed an two or three years, have had few technologies which 97 they considered to be ready for on-farm testing by Understandably, most of this form of interaction has ARPT. This was the case with various varieties and been informal in nature. When the ARPT national still is the case with much farm equipment. Several coordinator changed offices, from MAWD CSRT scientists interviewed considered that at first headquarters to the Central Research Station, he they did not make much effort to interact with ARPT had more opportunities for informal contact with because they thought it had nothing to offer, whereas CSRT scientists. For ARPT and CSRT scientists more recently, as new varieties have been released, based at different research stations communication they have had a lot more reason to interact. In those has been a serious problem. cases where the CSRTs have been weak, the A RPT scientists have been faced with the choice of either 5. ARPT Organizational Structure addressing less important problems areas or doing Virtually all the CSRT scientists interviewed some of the CSRT research themselves. When they considered the present structure of ARPT, as a have tried to do some of the research themselves, for separate section, to be the most appropriate because example, testing a new jab planter with farmers, they it has a whole-farm, rather than a commodity, focus. have sometimes run into great difficulties and had In this way it has been able to work with all CSRTs, no specialist team to turn to. Alternatively, when without bias for any particular crop. Some CSRT they have done the research on station, they have scientists said that if the functions had been sometimes been accused by CSRTs of doing too much incorporated into the CSRTs, there would have been station research. too much work, and it would have beem impossible to supervise the on-farm trials. 2. Resource Allocation to CSRTs Lack of human and financial resources has limited 6. Influence of Donor Project Organizations the ability of several CSRTs to rapidly develop The structure of donor projects has sometimes technologies which could be taken for on-farm tests helped interaction between ARPT and CSRT by ARPT. Interactions between A R PT and CSRTs scientists, e.g. when the project has supported have increased considerably, once the CSRTs have scientists in both teams. Project documents and technologies ready for on-farm testing. The lack of scientists’ job descriptions have sometimes spelled resources has also severely restricted the ability of out that project members must interact, and project CSRT scientists to travel to the provinces and meet evaluations have focused on the level of such A R PT scientists. interaction. Projects have also created a number of formal and informal occasions for interaction. The 3. CSRT Scientists View of ARPTs Functions main danger with such donor project influence has The majority of the CSRT scientists interviewed been that the interaction between ARPT and CSRT considered A R PT ’s primary role to be on-farm scientists has tended to be largely restricted to testing of technology developed by the CSRTs. interaction between project members. Fourteen of them saw the secondary role to be providing feedback to the CSRTs about farmers’ 7. Improved Opportunities for Interaction problems and about the performance of technology Since A RPT was established, several formal when tested under farmers’ conditions. The mechanisms have been created for facilitating importance given to the technology testing role interaction between A RPT and CSRT scientists. indicates that the CSRTs are primarily concerned to These were described in detail above, but they interact with A RPT to ensure that the technologies include: they have developed are taken to as many farmers as - Commodity Research Review meetings (held prior soon as possible. Interaction with A R PT has indeed to the main public Research Committee meetings); increased when CSRTs have had material that they - CSRT field visits, which have been arranged each would like A RPT to test in on-farm trials. This may year to every province where ARPT has been eventually lead to a clash of priorities between those working. of the farmers in a particular system and the priority to test CSRT material. 8. The Role of Senior Research Managers In the last two years CA RO has been very supportive 4. Proximity of ARPT and CSRT Scientists of the idea that ARPT and CSRT scientists should be The majority of CSRT scientists interviewed had had interacting with each other. CA RO has occasionally most frequent contact with those A RPT scientists issued directives that CSRT scientists must based at the same research stations as themselves. participate in the field visits to provincial ARPTs, as 98 well as organize Commodity Research Review However, the ambiguity of the procedures has meant meetings, to which ARPT should be invited. that various individuals have sometimes felt that they have been left out or bypassed. It is an area that 9. Trial Outlines needs to be streamlined if confusion is to be avoided. The process of preparing a trial outline for each trial has encouraged ARPT agronomists to make more CONCLUSION thorough literature reviews and to approach CSRT scientists for information. Circulation of the draft Interaction between A RPT and CSRT scientists has . trial outlines to CSRT scientists has given them an improved in recent years and is presently considered to opportunity to comment on the treatments and be moderate to good. Interaction has been most design of A RPT’s trial program. However, few successful in reviewing A R PT ’s results and in planning CSRT scientists have made comments on the trial A R PT ’s trial program. Several organizational and outlines circulated. managerial mechanisms have played important roles in increasing the level of interaction. There is considerable 10. Recommendation Release Procedure room for improving interaction, and managerial The procedure for revising research mechanisms can be expected to help bring about this recommendations has been very ambiguous. improvement. Consequently, it has been possible for ARPT, and virtually any other organization, to be able to revise the research recommendations. 99 100 OVERVIEW OF AN ISNAR APPROACH TO DEVELOPING GUIDELINES FOR STRENGTHENING THE INTEGRATION OF ON-FARM AND ON-STATION RESEARCH D. Merrill-Sands Research Fellow ISNAR In order to present an overview of the approach we are Experience has shown, however, that the fact that using for the comparative analysis and synthesis of the although the importance of the linkage is recognized in main findings of the case studies, I intend to give a brief most strategies for institutionalizing O FCO R, the full summary of the paper I am in the process of developing potential of the collaborative link is seldom actually to synthesize the relevant lessons from all the case realized. O ur basic argument is that to be effective, the studies on strengthening the link between O FC O R and link must be managed -- and usually intensively on-station research.1 This paper is still very much in the managed. We cannot expect this collaboration to occur working stage, but I present this overview of the working spontaneously. Collaboration must be encouraged and paper, nevertheless, in order to demonstrate 1) how we supported. This requires a clear and well-defined intend to analyze the issue of managing the linkage, and management strategy. 2) how we intend to organize the information in such a way that it will be useful to you as senior research WHAT IS THE NATURE OF THE LINK managers. BETWEEN OFCOR AND EXPERIMENT STATION RESEARCH? Our proposal for the ultimate structure of the paper is to: The nature of the link can best be understood by looking 1) define the nature of the link; at the functions that each can perform vis a vis the other 2) draw observations from the case studies on the partner. The degree to which these functions are process of institutionalizing the link; performed and the relative balance among them 3) examine the conditions and factors which affect the characterizes the nature of the link. Furthermore, the performance of the link; desired emphasis given to specific functions will 4) develop guidelines for management strategies for determine the optimal organizational and managerial strengthening collaboration and integration of arrangements developed to maintain the link. O FCOR and station-based research. First we will look at the functions O FCO R can perform WHY ARE WE LOOKING AT THE LINK in relation to experiment station research. We have BETWEEN ON-FARM AND EXPERIMENT identified three principal functions: STATION RESEARCH? 1) a service function; Building an effective link between on-farm client- 2) an adaptive research function; oriented research and experiment station research is 3) a feedback function. critical for the successful and productive integration of O FCO R within the research system. O FC O R is not O FCO R in its most robust form unites all three effective as an isolated research endeavor; it is a research functions. strategy designed to complement experiment station research, whether disciplinary-, commodity-, or The service function involves on-farm screening, testing, systems-based. The bottom line is that the success of and evaluation of technologies generated by experiment OFCOR depends on the strength of its linkage to on- station research. Trials are relatively simple in design, station research. and emphasis is placed on broad-scale coverage, or 101 multi-locational testing. A demonstration role is often applied research and accelerate the process of an important secondary objective; the trials are used to developing adoptable technology. expose both extension and farmers to new technologies. The service function has been the dominant role of on- We look next at the functions experiment station farm research in NARS. research can perform in relation to OFCOR. The two principal functions are: In its service function, on-farm research plays a support role which supplements experiment station research. It is 1) an applied research function; a passive role with experiment station research programs 2) a support function. determining priorities and ’’pushing out” selected technologies to be tested on-farm. The applied research function is technology generation. It is the direct complement to O FC O R ’s adaptive The adaptive research function2 involves the adjustment research function. O FCO R is dependent on station- or adaption of existing technology to a particular set of based programs to generate technological alternatives environmental conditions — either agro-ecological or which O FCO R can screen, select and adapt to meet the socio-economic — through on-farm research. Through specific needs and conditions of designated client farm-level research, O FCO R identifies problems or groups. This interdependence implies the need for a opportunities and then ’’pulls down” technologies or balanced build-up of applied and adaptive research knowledge from experiment station research as the basis programs within a NARS. for designing potential solutions.3 In this function, O FC O R has an active research role. OFCOR The support function involves experiment station researchers take the lead in identifying research research providing specialized knowledge to OFCOR. problems or opportunities, setting priorities, and Professional input from station-based scientists is designing potential solutions. potentially valuable to O FCO R at all stages of the research process — diagnosis, design of possible The feedback function involves providing relevant technological solutions, data analysis and interpretation, information from farm-level characterization, diagnosis, redesign, and evaluation. This function is and/or adaptive research to the priority-setting, complementary to O FC O R ’s feedback function; each planning, and programming process of station-based partner provides specialized knowledge and expertise to research. As the case study experiences demonstrate, the other. this function, although critical, has proved to be the most difficult to institutionalize. OBSERVATIONS FROM THE CASE STUDIES4 There are two types of feedback.4 The first — and most ambitious — is feedback of information on technical and At this preliminary stage of the analysis, there are three managerial problems of farmers as an essential input central observations emerging from the case studies. into priority setting within applied experiment station First, the adaptive research function has been the most research programs. The objective is to assist these successfully implemented. Second, although its relative programs to respond to the priority problems and needs importance varies among OFCOR situations, the service of client groups rather than to their specific disciplinary function is generally perceived to be a responsibility of or commondity-determined interests. OFCOR. It is the function of O FCO R which is most desired by OSR, but is not always taken up by OFCOR A second type of feedback, which is more modest in its researchers, who often see it as the least desirable. objective, focuses on the programming of research, i.e. Third, the feedback and support functions have been the the annual planning and design of experiments, rather least fully implemented. than on priority setting. This type of feedback involves encouraging station-based researchers to systematically It is not suprising that the feedback and support take into account the characteristics of farmers’ functions have been the most difficult to implement. environments in their experimental work. It entails Both depend heavily on collabration and interactions. providing information on the farming conditions and Because of this, they bring about changes in researchers’ management practices of defined groups of farmers so work programs, responsibilities, and decision-making that experiments can be designed to conform more autonomy. Moreover, because these functions entail closely to the actual conditions under which farmers influencing the research agenda of other scientific operate. This can significantly increase the relevence of programs, they can provoke conflicts of interests, power 102 and scientific judgement. And, finally, the benefits from CONDITIONS WHICH DEFINE THE collaboration are often greater for the institution than DECISION-MAKING ENVIRONMENT OF for the individuals, and are somewhat intangible and THE RESEARCH MANAGER long-term in nature. In contrast, the additional demands made on researchers' time and scarce resources are often These conditions determine the institutional perceived as personal costs which are concrete and environment of the research manager. He/she has little immediate in nature. or no ability to change these conditions. They must be recognized as the basic structural constraints and Research leaders must recognize that collaboration is opportunities under which realistic objectives are to be not without costs, and that these costs will rarely be set and a management strategy for strengthening the link voluntarily assumed by researchers. The conclusion is devised. They will affect both the nature of the link and that if these functions are to be fully implemented, the degree of institutionalization that is ultimately research managers must develop a management strategy feasible. which defines a clear institutional policy and appropriate organizational and managerial mechanisms for Let me briefly review the conditions we have identified collaboration. as important environmental determinants: DESIGNING A MANAGEMENT STRATEGY - Institutional stability of the NARS. Frequent turnover of senior research managers disrupts institutional Our job in this study is, therefore, to draw on the case policy making, priority setting, and planning in NARS, studies to develop guidelines which research managers and is particularly problematic for non-traditional can use in designing a management strategy for research such as OFCOR. strengthening this link that is appropriate to their particular institutional setting. - Commitment o f senior research managers to OFCOR*. Senior research managers can strongly influence the As a first step towards developing guidelines for quality of the link through the research policy they designing a management strategy, we reviewed the case formally or informally set within the institution. studies, asking the question: Under what conditions is the link most productive? Or, said another way, on what - Financial resource base o f the NARS*. The potential conditions does the effective performance of the link for conflicts between O FC O R and station-based depend? research increases substantially in situations of scarce resources and strong competition for funds. In analyzing the key factors determining the quality of this link, we have assumed the perspective of a senior - Human resource base o f the NARS*. The number and research manager striving to strengthen this linkage in type of staff available for deployment in O FCO R is a his/her research institute. The research manager key factor influencing the options available for operates within an institutional environment in which introducing or building O FC O R capacity within a some conditions are inflexible parameters and others are NARS, as well as the rational division of under his/her control. Accordingly, when developing a responsibilities and labor between O FCO R and strategy for managing this link, the two types of station-based research. conditions which have to be taken into consideration are: - Current organization o f research*. Whether station- those conditions which define the decision-making based research is organized by commodity programs, environment of the senior research manager; disciplinary departments, or regional research stations will have an important bearing on the nature of its link those conditions which can be developed by the senior with O FCO R, as well as the organizational and research manager in order to strengthen the managerial arrangements required for strengthening collaborative link between O FCO R and experiment the link. station research. - Maturity and capacity o f station-based research. This affects the amount of ’’technology on the she lf’ available for O FC O R to draw on for adaptive research. It can also affect the degree to which scientists in applied research programs perceive a need 103 for O FCO R and are receptive to feedback from on- the fullest degree possible the potential that does exist farm research. for strengthening the link. - On-farm research antecedents. The tradition of on- In our approach to developing guidelines for designing farm research within the NARS will affect the manner management strategies, we have synthesized from the in which O FCO R is perceived by experiment station case studies those institutional conditions under which scientists, both in terms of its validity as a research the link functions most productively and effectively and strategy and its appropriate role within research. which can be influenced by the research manager. - Development policy*. The degree to which national We have identified seven basic conditions which need to development policy supports the objective of be developed by the senior research manager in order to channeling assistance to resource-poor farmers can strengthen the collaborative link between OFCOR and have an important impact on the priority accorded to experiment station research. Achievement of these this client group in research policy and, hence, the conditions can be viewed as the central objectives for priority given to O FCO R within a NARS. any management strategy designed to strengthen this link: - Capacity o f extension. The size and competence of the extention service can significantly influence the degree 1) Researchers working in OFCOR and experiment to which O FC O R emphasizes, or is expected to station research share an applied, farmer-oriented emphasize, the service function in terms of testing and perspective toward agricultural research. OSR and demonstration of technology. O FC O R researchers share a common mission. The objective is to develop technologies appropriate for - Degree o f centralization in research infrastructure. designated client groups. This involves researchers Highly centralized systems will be more dependent on sharing a common set of objectives, common on-farm research to achieve necessary agro-ecological perceptions of the primary constraints to agricultural coverage. This will influence the relative emphasis development, and a common understanding of the given to O FCO R functions and the relative weight of clients of research. O FC O R within the research system. A highly centralized system entails higher communication costs 2) Researchers in OFCOR and experiment station in integrating O FR and station-based research. research agree on the functions that each should perform fo r the purposes o f collaboration. Successful - Agroecological complexity. The degree of collaboration depends on a clear division of labor and agroecological complexity and diversity is an responsibility. Research managers need to work important factor determining the relative importance closely with the O FCO R and station-based staff to of the adaptive research and feedback functions of develop a consensus on the appropriate functions O FC O R within the research process. and services that each should provide. (* Conditions which could potentially be altered by 3) Researchers in OFCOR and experiment station senior research managers over the long term.) research share a common understanding that OFCOR is a complemetary, not a competing, strategy for ROOM TO MANEUVER research. It is important that each of the partners is seen to enhance the productivity of the other. The The environmental conditions outlined above define the relationships are consultative, not supervisory, and parameters of what is potentially feasible for the domains of authority are defined. Potential for strengthening collaboration. But as you all know well, conflicts is exacerbated if OFCOR is viewed by within any institutional environment there is always station-based researchers as competing for and room to maneuver. The challange for the research capturing resources. manager is, thus, to identify where she or he has room to maneuver and then to develop a management strategy 4) OFCOR has scientific credibility among station-based which is, on the one hand, realistic given the institutional researchers. This is essential if linkage functions are environment of constraints and opportunities, but at the to be successfully performed, particularly with same time goes as far as possible towards developing a respect to the adaptive research and feedback positive environment for collaboration. Although the functions which depend heavily on collegial ideal can rarely be achieved, the objective is to exploit to interaction. Scientific credibility involves the capacity 104 of the OFCOR researchers in both absolute and AN EXAMPLE OF THE APPROACH FOR relative terms, as well as the degree to which station- DEVELOPING MANAGEMENT based researchers view O FCO R methodology, GUIDELINES modes of analysis, and criteria for evalution as legitimate. Let me close this presentation by illustrating our approach to developing guidelines for effectively 5) Scientists perceive the benefits from collaboration to managing the link between O FCO R and OSR. Let’s outweigh the personal costs. Because participation in look more closely at one of the conditions necessary for a collaborative research requires changes in objectives productive link: the scientific credibility of O FCO R with and activities, it is not without costs for the scientists on-station researchers. involved. It must therefore be made attractive to scientists through material, professional, and As I said earlier, the case studies indicate that it is intellectual incentives and rewards. essential that O FC O R researchers have scientific credibility among station-based reseachers if the linkage 6) Sufficient human and financial resources are available functions are to be successfully performed. This is to support cooperative and collaborative activities. particularly true with respect to the adaptive research The activities which link OFCOR and experiment and feedback functions, which depend heavily on station research require money and person hours collegial interaction. which are not automatically available. Resources must be formally allocated for collaborative This appears to be common sense, but in reviewing activities. OFCOR-OSR experiences, the issue of poor scientific credibility occurs repeatedly. Moreover, it is a factor 7) Adequate opportunities exist fo r form al and informal which cuts across most of the other conditions we have interaction. The exchange of information and identified as conducive to successful collaboration. It is specialized advice depends on formal and informal undoubtedly a priority management issue in interaction. This requires some combination of strengthening collaboration between O FCO R and institutional, organizational, and locational station-based research. proximity for potential collaboration. Several key factors are involved in establishing the The next step in our approach is to deliniate the key scientific credibility of O FCO R researchers in the eyes policy, organizational, and managerial factors of on-station scientists: determining these conditions. That is, what are the factors which a research manager must take into account 1) The competence o f the OFCOR researchers, both in when she or he, given the constraints and opportunities absolute and relative terms. O FC O R must be staffed established by the environmental factors, goes about by solid and experienced researchers who can interact designing a strategy for promoting these conditions? with station-based scientists as colleagues of equivalent status. The third step is the identification of mechanisms that can be employed to manipulate those factors, and so to 2) The scientific quality o f OFCOR research. This develop the conditions required for effective obviously depends in part on the general research collaboration. The mechanisms emerging from the case capacity of the O FCO R staff. But it also depends on studies which have been effectively employed by the degree to which thay have developed the research managers for strengthening this link can be specialized skills required for OFCOR. divided into three types which are basic to any strategy for managing collaboration: 3) The degree to which station-based researchers view OFCOR methodology, modes o f analysis, and criteria 1) mechanisms to create incentives which stimulate and fo r evaluation as legitimate. This issue refers to the reward collaboration; common problem of the high coefficients of variation 2) mechanisms to mobilize resources to support in on-farm trials as compared with station-based communication, coordination, and collaborative trials. It also relates to the degree to which social activities; science analysis is understood and respected within 3) mechanisms to provide opportunities for formal and the research institution, as well as the degree to which informal interaction. O FCO R social scientists understand agricultural 105 science and research methods and can communicate research and for building a sound and well-focused effectively with station-based scientists. program. 4) The degree to which OFCOR scientists can - Promote good trial management. Trial clustering, for demonstrate complementary expertise as specialists example, has been used to improve trial management who understand real farming conditions and farm ers' in order to ensure reliable results. priority problems and needs. If O FC O R is designed as a complementary research strategy, then OFCOR - Ensure timely analysis and presentation o f data. researchers need to demonstrate complementary Making OFCOR data readily available to station- areas of expertise. Because their principal area of based researchers ensures more opportunity for strength should be the development of understanding O FC O R practitioners to demonstrate scientific of farm-level constraints and opportunities for credibility. research, O FCO R researchers who remain distant from farmers and rely on technicians to implement - Generating opportunities fo r OFCOR practitioners to the O FR, can lose credibility among station-based keep abreast o f OSR has helped OFCOR researchers scientists. design work to take advantage of ’’technology on the shelf” and available specialized advice, increasing the Some mechanisms for influencing these factors, and relevance of the research to OSR. therefore for enhancing scientific credibility, have emerged from the case studies: SUMMARY OF THE CONCEPTUAL FRAMEWORK - Build the OFCOR effort at a speed which allows OFCOR researchers to consolidate expertise and Having illustrated the framework we are using to improve their skills. develop guidelines for the design of a management strategy, I will conclude by quickly summarizing that - Provide specialized training to OFCOR staff. This will framework. help ensure a higher quality of O FCO R research and will develop expertise which is complementary to on- Conditions station research. Certain conditions appear to facilitate the effective integration of on-farm and on-station research. These - Create opportunities fo r OFCOR practitioners to conditions can be seen as the strategic objectives of the demonstrate their capacity. For example, encouraging research manager. O FCO R researchers to conduct some on-station trials has helped on-station scientists recognize O FCO R Factors scientists as colleagues of equivalent status. Key policy, organizational, and managerial factors determine these conditions. These factors must be taken - Tailor the presentation o f OFCOR research results into account when devising a strategy for fostering these more directly to the needs o f on-station scientists. This conditions. has been effective in demonstrating the complementary role of O FCO R, as well as the Mechanisms expertise of O FC O R scientists in agricultural research The case studies indicate some of the mechanisms which and development. have been effectively employed by research managers to manipulate the key factors in order to develop the - Promote opportunities fo r on-station scientists to learn conditions required for effective collaboration. We need about the OFCOR approach. Mechanisms such as joint to synthesize their experiences in using various field visits, direct participation of OSR researchers in management mechanisms. the O FCO R research process, or workshops on O FC O R methods or research findings have increased MANAGEMENT STRATEGY the degree to which station-based researchers view the These are the basic steps we are taking to develop O FC O R approach as legitimate. guidelines for advising research managers on designing effective management strategies — particular to their - Ensure strong scientific leadership fo r OFCOR. This is institutional settings — which fully exploit their room to essential for maintaining the quality of O FCO R maneuver for strengthening the collaboration between OFCO R and experiment station research. 106 FOOTNOTES - The Organization and Management of the Adaptive Research Planning Team: Zambia 1) Deborah Merrill-Sands and Jean McAllister, Stuart A. Kean ’’Strengthening the Link Between On-Farm and Lingston P. Singogo Experiment Station Research: Lessons Emerging from Nine Country Case Studies.’ A draft of this - Organization and Management of On-Farm Research paper was presented to the Second Study Workshop in Nepal on Organization and Management of On-Farm Badri Nath Kayastha Research in NARS, 31 August - 4 September 1987, Sudarshan Bhakta Mathema The Hague, Netherlands. Brahma Ram Bhakta Mathema 2) In this paper we use the CG IA R definitions for - Organizacion y Manejo de Programa de Investigacion applied and adaptive research: en Finca de Productores: Panama - applied research = that designed to create new Miguel Cuellar M. technology; - adaptive research = that designed to adjust - Organizacion y Manejo de Programa de Investigacion technology to the specific needs of a particular set en Finca de Productores: Ecuador of environmental conditions. Romulo Soliz V. Patricio Espinosa 3) This is the definition of OFCOR adaptive research Victor Hugo Cardoso put forth by Collinson. He introduced the idea of OFCOR ’’pulling down” technologies. Citation: - The Zimbabwe Case Study : The Organization and Collinson, M . P . , Senior Agricultural Administrators Management of Five On-Farm Research Programs in Networkshop on Farm Research, Lesotho, 25-28 the Department of Research and Specialist Services November 1985, Briefings for the Program, Tuesday, Marcelino Avila 26 November. CIMMYT/E.S.A. Regional Ephrim E. Whingwiri Programme. September 1985. Bright C. Mombeshora 4) This is a distinction put forth by Baker and Norman. - Organizacion y Manejo de la Investigacion en Finca en D.C. Baker and D.W. Norman, ”A Framework for Guatemala Assessing Farming System Activities in National Sergio Ruano Settings in West Africa: With Special Reference to Astolfo Fumagalli Senegal and Nigeria.” Paper presented at the West African Farming Systems Research Networkshop, - Organisation et Gestion de la Recherche sur les Dakar, Senegal, 11-14 March 1986. Systemes de Production au Senegal J. Faye OFCOR CASE STUDIES J. Bingen The analysis is based on the following case studies, all of - Study on Management and Organization of On-Farm which are in draft form, but will be published by ISNAR Research in Indonesia in 1988. The Agency for Agricultural Research & Development - The Evolution and Significance of On-Farm and Ministry of Agriculture Farming Systems Research in BARI M. A. Jabbar M.D. Zainul Abedin 107 108 RESEARCH-TECHNOLOGY TRANSFER LINKAGES David Kaimowitz Research Fellow ISNAR ISNAR’S RESEARCH-TECHNOLOGY applicable tools. A summary conference will also be held TRANSFER LINKAGE STUDY to discuss the project’s findings with research and technology transfer managers and donors. Last year at this meeting many participants expressed the hope that ISNAR would pay more attention to At present the project is still in its initial stages. But even helping NARS improve their coordination with so, I believe it is useful to present a tentative framework technology transfer institutions in order to increase: (a) for studying linkages in order to get your ideas and the relevance of their research efforts and (b) the feedback. In addition, I would like to make a few general transfer of the technologies they produce. They stressed observations which have struck me while going through that unless significant improvements were made in this the literature in the hope of livening the discussion and area it would be impossible to rapidly increase the taking advantage of your collective insights regarding incorporation of new technological innovations into these issues. agricultural practice. In response to that request, ISNAR has recently initiated a three-year international Before proceeding, however, let me note that the term comparative study of the linkage problem. ’technology transfer’ has been consciously chosen for this project rather than extension. This is to emphasize This study is designed to advance our current that: a) technology transfer is not the responsibility of understanding of the key factors affecting the extension alone: private firms, parastatal and non­ effectiveness and efficiency of the linkages between governmental organizations, producers’ associations, agricultural research and technology transfer, develop individual producers and research institutions diagnostic tools to help identify linkage problems, and themselves all participate in the T.T. system; and b) provide new approaches to overcoming these many extension services carry out a wide range of weaknesses. These tools will be made available to NARS activities besides technology transfer. managers, policymakers, and donor institutions through a set of general conclusions and guidelines, support Moreover, even the term ’technology transfer’ tends to missions on this topic and, eventually, a series of training imply a one-way flow of information. This is not an materials for our courses and seminars. accurate reflection of the complex interactions and transformations which innovations typically undergo. During the first year of the study, emphasis will be placed Unfortunately, however, no readily acceptable on reviewing the existing literature and coordinating the alternative terminology is available. As used here, preparation of a series of ’issues papers’ which present therefore, technology transfer implies a two-way flow. innovative approaches to the linkage problem. The second year will be focused on the elaboration of in- TWO COMPLEMENTARY WAYS OF depth case studies of the research-technology transfer LOOOKING AT LINKAGES linkages in at least six countries in Africa, Asia, and Latin America. These studies will be carried out by The linkages between agricultural research and national researchers, in collaboration with ISNAR staff. technology transfer are only one part of a broader The third year will be devoted to integrating these agricultural technology management system (ATMS) or different materials and producing a set of concrete agricultural knowledge system (AKS). As such they are 109 influenced by all the factors affecting the system as a (1) Input Feedback. People involved in technology whole. Unless the other components of the system are transfer, who are (or should be) in close contact with effective, it is unlikely that the linkages will be. farmers, can play a role in expressing the farmers’ Nevertheless, for the purpose of analysis it is necessary technological needs to researchers. They can also to at least partially abstract from these broader issues provide information on how new technologies and focus specifically on the linkages themselves. perform under widespread use in on-farm conditions and producers’ reactions to them. These linkages can be conceptualized as both institutional and functional relationships. The first refers (2) Testing or Adaptive Research. Technologies must be to any interactions which may exist between research adapted to local conditions and the needs of institutions or departments and those charged with particular types of farmers. In addition, those who technology transfer. These interactions include the are expected to transfer these technologies must division of resources, responsibilities, and power become familiar with them and convinced of their between the two, the existing incentives for utility. Some authors, at least, have argued that the collaboration, and all of the different mechanisms that best way to achieve these purposes is to directly have been created for them to coordinate their activities. involve technology transfer workers in adaptive The second focuses on particular functions that need to research. be performed by the system to link technology generation with technology transfer activities, (3) Transformation o f Research Results. Before independently of the particular institutional experimental results can be effectively transferred, arrangement used to achieve this. the domain for which they are relevant must be specified, they must be put in a form technology There are three different levels of analysis that are transfer workers can interpret and producers can relevant for an institutional analysis: the system, the use, their economic implications must be analyzed, institution, and the individual. At the system level, and certain extrapolations must be made. goals, activities, power, and resources are distributed between institutions. At this level it is decided which (4) Regulation. After a technology is generated, and institutions will exist, which tasks will be assigned to before it is transferred, someone must decide them, and how they should interact with one another. whether it should be transferred. This is the role of regulation. Regulation may take the form of a Internally, each institution also has its own structure, varieties committee, a pesticide registration allocation of resources, management procedures, and decision, or a manual of recommended practices. informal dynamic; all of which can directly affect linkage How it is carried out, however, often has a major behavior. Ultimately, though, linkage activities are impact on the agility of the research-technology performed by individuals. The behavior of these transfer relationship. individuals is influenced by their training, experience, and incentives. (5) Communication o f Research Results. Researchers Each of these levels is generally only manipulable by a must transmit the knowledge generated by their unique group of people. Policymakers and donors make research either to technology transfer workers or, in decisions mostly on a system-wide basis. NARS and some cases, directly to producers. This can be done technology transfer managers are able to influence through publications, audiovisual materials, field institutional factors, and some individual variables. days, informal communication, subject-matter Individual researchers or technology transfer workers specialists, or group presentations and discussions. can influence the linkages principally through their attitudes, training, and proficiency. (6) Training. One particular way of transmitting research results to technology transfer workers is THE FUNCTIONS LINKAGES ARE MEANT through training programs. But training also has the TO PERFORM broader task of providing researchers and technology transfer workers with the different skills Looking at the problem from a functional perspective, they need to interact effectively. It is primarily this we abstract from the particular institutions involved and second role I have in mind in defining training as a ask what types of activities need to be carried out to separate function. bridge technology generation with technology transfer? Seven such functions have been identified: (7) Services. Certain technologies are passed from 110 researchers to technology transfer workers in the provide feedback regarding the technologies they form of services such as library and laboratory work with. facilities and the production of improved inputs such as seed, breeding cattle, fertilizer, pesticides, and Certain activities may not have been assigned to the agricultural machinery. Although these services are most appropriate institution or department. not generally included in discussions of research- Similarly, problems may arise from separating technology transfer relations, they are a significant activities among two or more institutions or, point of interaction between the two types of inversely, putting activities, which should be institutions. separate, in the same institution. There may be excessive centralization or decentralization. Perhaps The need to perform these linkage functions is more or no one has sufficient power or authority to ensure less common to all agricultural technology systems. How that the institutions coordinate their activities or well they are carried out, however, will depend on the perform their responsibilities. institutional considerations mentioned above, the general effectiveness of the institutions involved, and Institutional incompatibilities are another structural the environment in which the system operates. problem. These include situations in which research is organized nationally but extension by province; LINKAGE PROBLEMS FACED BY research by commodity, extension by region; AGRICULTURAL RESEARCH MANAGERS research with different types of producers; a different time horizon, etc. There are many opportunities for things to go wrong. Repeatedly, around the world, the linkages between 2. Motivational/Incentive Problems. Institutions, or the research and extension have been identified as one of individuals within them, may lack motivation or the weakest areas of agricultural technology systems. incentives for carrying out linkage functions. They may have little respect for their institutional Moreover, linkage problems are not unique to counterparts. They may want to avoid the loss of developing countries, agriculture, or the public sector. institutional autonomy which comes from We have encountered numerous examples in the cooperation. There may be more rewards from literature of similar problems in developed capitalist and publishing their results in international journals than socialist countries, in industry and the social sciences, training technology transfer workers. Policymakers and in large private corporations. In fact, problems in may be more interested in having them help win the this area appear to be universal and may, indeed, to forthcoming election than in facilitating some some extent, be inevitable. What makes the linkage technological change whose benefits may come long problems particularly severe in public-sector institutions after they have left office. charged with promoting agricultural development in developing nations is the general weakness of these 3. Resource Problems. Even if institutions are well institutions, the great cultural and educational structured and wish to perform the linkage functions, differences which exist between researchers, technology they may lack the resources to do so. There may be transfer workers, and farmers in these countries, and the no budget for publications, adequate pesticide urgency of their need to increase agricultural testing, or visiting the researchers in the provincial production, particularly among small producers. capital. They may be so overloaded with tasks that they do not have time to interact. The causes of inadequate linkages can be divided into four broad groups: (1) structural and organizational 4. Communication Problems. Likewise, even with the problems; (2) motivational and incentive problems; (3) best of intentions, researchers and technology resource problems; and (4) communications problems. transfer workers may find it difficult to communicate. They often have different value systems and ways of I. Structural and Organizational Problems. It may be conceptualizing the problems. Frequently, they come that no one has been assigned to carry out one or from distinct backgrounds, have unequal levels of more of the functions listed above. Perhaps no one is education, and speak different languages (either charged with adaptive research, or researchers are literally or figuratively). not assigned to communicate their research results to technology transfer workers. Or no committee has been set up to allow technology transfer workers to I l l SOME POSSIBLE SOLUTIONS activities are expected. Staff evaluations, promotions, salaries, and prestige can be more closely tied to fulfilling Appropriate solutions to these linkage problems will ’linkage’ responsibilities. More resources can be depend on the particular institutional capacities, goals, provided for the different activities. agrarian structures, and technologies involved in each case. Some problems may even be insoluble. There may Communication Problems. Subject-matter specialists be trade-offs or constraints which, at best, will only allow can be hired to translate research findings and make for ’second best’ solutions. Some problems are soluble at them understandable to field-level extension workers. the individual level, some at the institutional level, and Staff exchanges and visits between research and some only by national policymakers. Generally, though, technology transfer workers can make each more the solutions which get proposed are to some extent familiar with the language and values of the other. implicit in the way the problem is defined. Hence, it is Training can also be used for this purpose. particularly important that our diagnosis be on target. SOME ISSUES FOR DISCUSSION Some possible solutions to the different linkage problems which have been suggested in the literature are Finally, let me raise a few issues for discussion which discussed below. They are presented to suggest some of have caught my attention as I have reviewed the the possible alternatives open to research managers, but literature on linkage problems. I believe that these are in no way do I wish to imply that they are the only some of the issues which are currently on the cutting edge possible solutions available for these problems or the of thinking regarding linkages: optimal ones. 1. Are communication channels the problem? Structural!Organizational Problems. Different activities can be moved from one place on the organigram to Reading the literature, one is often left with the another. Research can be placed in the same institution impression that the principal linkage problem is a lack of as technology transfer or it can be separated. Liaison an available channel of communication. But is this really departments can be organized in research institutions or the case? Where do motivational, incentive, and in extension. Research institutions can seek new, resource problems fit in? Perhaps creating coordination alternative or additional institutions to transfer the mechanisms such as joint committees or programming technologies they produce. The commodity, meetings may not even address the principal underlying disciplinary, client group, and regional mandates of linkage problems; especially when mechanisms are research and technology transfer institutions can be created at the request of national policymakers or redefined to make each more compatible with the other. foreign donors, rather than through the institution’s own initivate. If the problem is missing functions, the solution may be to assign these activities to individuals and provide them 2. Is inter-institutional coordination the weak with the resources necessary for carrying them out. A link? communications or information department may be needed to put research results in an accessible form. Similarly, inter-institutional coordination is frequently Someone can be assigned the task of on-farm adaptive portrayed as necessarily positive. But this may not trials. A liaison department or inter-agency committee always be the case. Efforts at coordination may consume can be created to provide input and feedback. A seed great amounts of time and resources, with only limited multiplication program m aybe required. Researchers or results. In certain instances it may be more efficient for technology transfer workers may be assigned tasks they institutions to begin their own technology transfer did not previously have. programs or seek new counterparts. Obviously, research institutions need some channel for transferring their Motivational/Incentive and Resource Problems. Positive technology - but a variety of these may be available. If, and negative incentives can be used at both the on the other hand, research managers conclude that institutional and individual levels. Additional funds can coordination with a particular institution is necessary, be made available specifically for achieving certain what are the implications of this and are they prepared to linkage goals. Linkage activities can be carefully give up some of their institutional autonomy to make programmed, so that their subsequent fulfillment can be such coordination effective? evaluated. Individual job descriptions or institutional mandates can be modified to make it clear what linkage 112 3. What implications do extension’s them more, but will also enable them to better non-knowledge transfer activities have for its communicate with researchers. linkages with research? Again, there are two sides to this argument. Although most discussions of the linkages between Professionalized extension workers may become less research and extension presume that technology transfer willing to continue living and working in the dismal is necessarily the primary activity or goal of extension conditions in which most of the developing world’s agencies, it is not necessarily the case. Not only do farmers live, less likely to come from a farming extension agencies often engage in other activities, but background, and less capable of communicating with these are also frequently of primary concern to farmers. Two suggestive studies carried out in Kenya policymakers. Among the most important are: selling and Taiwan conclude that extensionists with higher inputs, supervising credit repayment, enforcing degrees do not necessarily perform better. While it is government regulations, providing statistical clearly premature to draw any final conclusions on this information, carrying out pest eradication programs point, there may well be trade-offs whereby making using long-established technologies, organizing extension workers able to communicate better with cooperatives, participating in general community researchers makes them less able to communicate with development activities, creating employment for farmers. secondary school graduates, supporting political patronage systems, and giving relatively weak national 5. Lessons from the past, implications for the governments a direct presence at the village level. What future are the implications of this and why does it continue to be true despite the rising popularity of the Training and Finally, I think we should consider the importance of Visit extension system, one of whose strongest precepts looking at linkage problems historically. Too often is that extension should confine itself strictly to solutions are proposed and new programs begun without knowledge-sharing activities? serious consideration of past experience. Thus, the same mistakes are repeated under different guises and 4. Is ’professionalizing’ extension desirable? acronyms. To avoid this, each country’s search for solutions must give close consideration to its own A further common idea is that linkage problems can be institutional and technological history. What has solved by professionalizing extension workers through worked? What hasn’t? Why? If we are willing to look at greater training, higher salaries, and better working these experiences critically, we are much more likely to conditions. It is argued that this will not only motivate arrive at viable solutions. 113 114 THE JORDANIAN EXPERIMENT IN AGRICULTURAL RESEARCH AND EXTENSION LINKAGE: ANALYTIC OVERVIEW Usama Bilbesi Director of Projects Ministry of Agriculture Jordan AGRICULTURE IN JORDAN RESEARCH AND EXTENSION Agriculture is virtually the mainstay of the national Research is the oldest means through which agricultural income of Jordan. At present only 7% of the total development was launched in the early 1950s. The main area is cultivable. The agricultural production balance is thrust of agricultural research in Jordan was the unfavorable, and there are shortages in certain crops, development of improved wheat and barley varieties. e.g., wheat, barley, dairy products, and red meat, while Extension was also established in the early 1950s, but it there are surpluses in vegetables and fruits. Some 50,000 did not develop into an effective means of agricultural ha are under irrigation, where vegetables and development until the early 1960s. Until 1970 extension subtropical fruits are produced. The rest of the area is covered various rural development activities, of which rainfed and produces mainly cereals and fruits like olives agriculture was the major field. The administrative and grapes. Rainfall is undependable and irregular, but organization of extension was along the staff-and-line an increasing amount of ground water is being tapped principle, with subject-matter specialists (SMSs) back- and utilized. stopping extension agents in the field. The main agricultural exports are vegetables and citrus; For almost 16 years extension was a separate entity set imports are cereals, feeds, red meat, and dairy products. aside from agricultural research. Linkage between extension and research was achieved by having both The agricultural policy of the government of Jordan is departments within the Ministry of Agriculture. mainly concerned with: Personal contacts were also valuable and not to be ignored. The results of research were funnelled to - increased food production; extension through official channels which required some - development of agricultural products for export; time and red tape. - generation of rual income and employment; - conservation of natural agricultural resources and In 1970, both departments were merged through a bylaw protection of the environment; which created the Department of Agricultural Research - control of land fragmentation; and Extension. The technical and administrative - support and development of agricultural services like functions of the new department were organized through research, extension, plant protection, and animal another bylaw in 1973. The merger of extension and health. research into one central department helped foster agricultural dvelopment by creating better, more The Ministry of Agriculture is the major implementor of effective extension services and more realistic agricultural policy, but other agencies are involved. To agricultural research. secure maximum coordination between the ministry and the rest, an Agricultural Council has been created, The outcome of the merger was: chaired by the Prime Minister. Private farmers are also - Extension agents also became agents of agricultural represented in this council. research in the field and among the rural population. - The cadre of SMSs was beefed up by the researchers and their assistants. 115 - Development and expansion of training programs for powers. An agricultural development fund with capital both cadres. of about $10 million was created to finance applied - Research programs were reoriented and made more agricultural research and the transfer of technology. realistic. - Better feedback for researchers. Extension is an integral part of both projects. NCARTT - Access to research facilities - laboratories, library, is the generator of agricultural research and the samples - by the extension agents. educational organ of the Ministry of Agriculture and its - Audiovisual material available to researchers. Department of Projects. Research undertakings in - Better-qualified trainers for the extension agents. N CARTT are back-stopping the extension divisions in - Extension agents serving as liaison officers for both projects. researchers. - End of isolation of researchers. The new organization of the N CARTT emphasized: - End of academic research and enhancement of applied - The institution of research and extension as a national ’problem- solving’ type of research. committment. - More scientific material for production of extension - ’Transfer of technology’ replaced ’Extension’ to show bulletins. the importance of the practical dissemination of improved agricultural technology but did not skip the DEVELOPMENT PROJECTS teaching-learning element. - The growing importance of stations and regional The next phase in the development of research and agricultural centers as vehicles for the process of extension linkages came in the mid-1980s. In 1985, two technology transfer. large development projects were launched by the - The need to check the fulfillment of the objectives of Ministry of Agriculture. Earlier managerial experiences research and extension through the creation of a with projects were not complete successes, and the need monitoring and evaluation unit. to foster and expedite the two projects was evident. - The establishment of an ’agricultural development fund’ to foster and support practical research and The first project was designed with financial help from extension projects. USAID to support the existing Department of Research and Extension and help build it into a national The Department of Projects as an organ of the Ministry institution. Accordingly, it was renamed the National of Agriculture was created to serve as the guardian of the Center for Agricultural Research and Transfer of institution of research and extension in the country. Technology (NCARTT). Research/ extension links were maintained and strengthened. CHARACTERISTICS OF THE DEPARTMENT OF PROJECTS The second project is the Zarka River Basin Project. Its aim is to safeguard the filling capacity of the lake of the The salient features of the newly created Department of King Talal Dam through soil erosion control and Projects (DOP) are: consequent agricultural development. 1. The department is stronger than any other department of the Ministry through the chairmanship Implementation of this project depends on two factors: of its steering committee by the Minister of salesmanship and physical structures. A group of young Agriculture and the Director of DOP serving as its college graduates in agriculture were trained in rapporteur. extension philosophy and methodology to work as extension agents for the project. 2. The steering committee of the Department of Projects has considerable legal powers similar to DEPARTMENT OF PROJECTS those of the ministers of Agriculture, Public Works, and Finance. The major reason for this is simply to Leadership and management of the two projects was expedite procedures for personnel, finance, entrusted to a new department: the Department of procurement of supplies, and construction. This is Projects. To safeguard this department against red tape also meant to sidestep red tape and bureaucracy. and financial constraints, the director of the department was made to report to a steering committee enjoying 3. In the former Department of Research and considerable financial, administrative, and managerial Extension, extension was merged to research, but 116 with the creation of D O P , extension was also merged CONCLUSION with development projects, such as the River Zarka development project. To sum up, the linkage between extension and agricultural research in Jordan has been developed 4. A demarcation line was drawn between the ongoing through the past 30 years in an evolutionary manner. traditional programs of the Ministry and that of the The early stages of rural extension were not a failure but DOP. paved the way towards a more definite approach to agriculturally oriented extension. 5. The creation of the Agricultural Development Fund (ADF), which is financed jointly by the Jordanian The transition of extension in the above manner was government and USAID, will serve as financier for dictated by the inclination and ability of the Jordanian research and transfer of technology projects, in farmer, the necessity to feed the ever-growing addition to the existing programs. The A D F capital is population of Jordan at 3.5% per year, create more deposited as a revolving fund to ensure continuity income and jobs through exports, and the availability of and duration. research results waiting only for the right vehicle for them to be transferred to the farmer. 6. It is envisaged by the Ministry of Agriculture that NCARTT will grow and serve the nation by becoming With the help of the expertise of ISNAR, we are intent a national entity leading the process of generating on doing the following: agricultural technology and making it available to Jordanian farmers. 1) evaluate the performance of the former Department of Research and Extension; 7. For the first time extension is in the service of not 2) help the reorganization of the proposed National only research but also agricultural development Center for Agricultural Research and Transfer of projects with a focus on physical structures. Technology so that it meets our expectations. 8. Linkage between research and extension is not only achieved, but is institutionalized. The same applies to other activities and physical development programs. 117 118 AGRICULTURAL RESEARCH NETWORKS: AN ANALYTICAL FRAMEWORK Roberto Martinez Nogueira Senior Research Officer ISNAR INTRODUCTION in the decision-making processes of the various agents involved in agricultural research at both the The institutional factor plays a strategic part in the international and local levels. development of knowledge and technologies in the agricultural sphere. Multidisciplinary contributions, the NETWORK CONCEPTUALIZATION different sites where research and trials have to be carried out, the differing requirements dictated by Nature of the Networks environment and transfer to the farmer, e tc ., mean that since attempts to achieve systematic technological Various approaches for network conceptualization have development in agricultural production began, various been used in the literature*1*. The multiplicity of patterns of coordination, complementation and definitions is due to the complexity and diversity of integration between institutions have evolved, with institutional arrangements referred to by this term. differing degrees of division of labor and cooperation. Since the purpose of this paper is to make analytical These patterns include agricultural research networks, contributions for the creation, organization and which are showing a constant increase in number. There operation, monitoring and evaluation of inter- is a large variety of different arrangements, due both to institutional mechanisms for systematically seeking the the nature of the participants and to their objectives and growth of members’ scientific and technological modes of operation. The resources invested in setting capabilities, the analysis refers only to those mechanisms them in motion and keeping them in operation are highly with the following characteristics: significant, though it is still too early to assess the results a) they arise from a mutual agreement by the and the impact. Therefore, the sustained interest shown participants; b) there is collaboration and in institutional networks for agricultural research complementation between institutions; c) a central core requires a conceptual effort that will provide suitable coordinates contributions and manages overall analytical tools for a better understanding of the interactions; d) resources are assigned specifically to attributes of the various types of networks, based on the totally or partially finance activities; e) members expect formulation of hypotheses regarding the relationship to obtain a net benefit from their participation. between their nature, development and effectiveness. That is, these mechanisms transcend their member This paper presents some of these hypotheses. It in no organizations, and they differ from unscheduled way intends to be an inventory of current experiences, interactions between centers and institutes, however nor to set out a conclusive analysis on the basis of the frequent and productive these may be. available empirical evidence. Partial information is used to formulate ideas that will throw light on this field of Purposes of the Networks study, make some contributions to enrich the current debate, and provide further tools for the subsequent task The networks try to fulfill various purposes at the same of gathering data on experiences and carrying out time<2). research and assessment thereon. Finally, its ultimate Each one of the participants will have made an individual objective is to produce some propositions that may serve assessment of the importance of these purposes, but it 119 would appear that the network will be more effective guidelines and methodologies for organizing and when appreciations in this respect coincide. carrying out research. In this sense, they mean an increase in the resources available to the institutes, a. Explicit Purposes even if these do not involve monetary income for i. To increase scientific and technological capability. members. The networks are means of increasing the capability of their member institutions in one of the areas of vi. To promote the dissemination o f knowledge and the work, from basic research to the transfer of transfer o f technologies. Networks constitute means technology. This capability is measured by the skill of facilitating articulation between basic, strategic, of their human resources, the information they have applied and adaptive research, as well as testing of access to, the stock of knowledge, materials and technologies in different production systems. infrastructure that makes the research possible, and the management resources available for research b. Latent Purposes and transfer. i. Institutional legitimacy. In many countries, institutionalization of agricultural research is ii. To integrate scientific and technological capabilities. extremely precarious. There is insufficient political The networks are mechanisms for horizontal recognition, it is possible that contributions to the integration and for the articulation of the growth of agricultural product are not fully international research and transfer system. appreciated, and there is a lack of understanding Horizontal cooperation programs provide the with regard to demands for resources, organizational possibility of integrating the scientific and requirements and continuity. Links with similar technological capabilities of different countries, thus organizations in other countries, particularly the allowing division of labor and resource allocation so backing of international centers and foreign or that each country’s comparative advantages and the multilateral sponsors, mean winning domestic concentration of efforts in line with political recognition and legitimacy. priorities may be exploited. ii. Program stability. This greater knowledge and Networks are the only means available to small legitimacy allow greater program stability. The countries to gain access to knowledge that can only external commitments generated by network be obtained through investments beyond their participation limit the possibilities of institutional individual possibilities. Likewise, networks joined authorities and political administrations subjecting by international centers allow access to the results of research programs to counterproductive strategic and applied research. fluctuations. This stability appears in two dimensions: a) in the staff allocation to projects iii. To improve the effectiveness o f research. The belonging to the networks, which assume progress of knowledge is cumulative; each project commitments the institution must honor, and b) in makes use of the information gathered by other the resources mobilized, since external contributions research workers and other institutions. Networks usually require local complementary actions that thus allow access to the critical mass necessary for must be carried out by virtue of the commitments making significant contributions to knowledge, as assumed. well as dealing with research problems from a multidisciplinary standpoint and by taking iii. Additional resources fo r national systems. Network environmental variations into account. membership in many cases involves external resources for the operation of national systems. iv. To increase research productivity. Networks allow Although financing is usually for specific purposes, better use to be made of available resources and an its institutional impact goes beyond the increase in research input-output coefficients. consequences for program stability pointed out in Network operation should also result in the the previous section. improvement of management efficiency and the concentration of efforts. iv. Exploiting opportunities. Articulation of a network involves setting up regular communication between v. To facilitate access to research inputs. Networks participants. This leads to the identification of new make available to their member institutes opportunities through a better conceptualization of information, physical facilities, genetic material, production and research problems, the perception 120 of new methods for overcoming them, and the farmers, with consequent impact on production; identification of previously unperceived alternatives for institutional action. - participants in the decision-making processes relating to agricultural development policies, through: v. Synergistic effect. Although this is a general purpose 1) information on the prospects and possibilities of all networks at the level of the participants, it also available, 2) evaluation of the experiences the network has similar impacts at institute level. Within them has access to, 3) improved knowledge of the problems occurs a ’demonstration’ effect regarding the ways of of technology generation and transfer and 4) carrying out and managing research; modes and evaluation of the impact of political and institutional practices are spread, and the institution ’opens up’. conditions on farming research. iv. Catalytic impact. Networks provide the opportunity NETWORK ACTIVITIES to display scientific and technological potential that is often subject to institutional restrictions and The approach adopted allows us to anticipate that obstacles imposed by the environment. Likewise, participation in a network should stimulate increased they arouse the interest of sponsors, of policy­ complexity in the activities undertaken, a greater degree makers and of users with regard to research results. of collaboration in members’ decision-making processes and a more active role by national systems. Additional Contributions Activities Carried Out Networks are means of achieving a double integration: 1) institutional, among national agricultural research To achieve the aims referred to in the previous section, institutes, international centers and various other networks undertake different activities. The following institutions setting up mechanisms for communication, list includes most of them, although it does not attempt collaboration and joint action, and 2) substantive, to be exhaustive. facilitating integration between the different stages of research, from basic to adaptive, including the Relating to Research Inputs and Outputs understanding of the problems of transfer and use by the farmer. a. Information - exchange of information and knowledge of Although this paper concentrates on the contributions potential use to partcipants; to the growth of network members’ scientific and - exchange of information and knowledge relating to technological capabilities, we should not lose sight of the programs and projects directed at disciplines, level of integration relating to the international system commodities or problem areas; of agricultural technology generation, transfer and - exchange of information on institutional activities utilization. Thus, the impact of network operation goes and resources; beyond the simple institutional framework of member organizations, and consideration should be given to b. Transfer of methodologies, materials and resources contributions to: - This covers the transfer of genetic material, contributions to methodology and the availability - the system of technology generation and development, of an infrastructure for research. through better resource allocation, increases in scientific capability, in productivity and in scale c. Training economies; - exchange and visits; - long and short courses; - the system of transfer, by articulating actions and - postgraduate. allowing a constant, systematic flow of materials, knowledge and resources; d. Technical assistance - short- and long-term technical assistance; - the technology usage system, by facilitating the - technical assistance and supervision in project development and dissemination of new technologies. design and execution; In this sense, it is hoped that institutions that are - institutional technical assistance. network members will increase the number and improve the quality of technologies made available to 121 Relating to Research Work - identification of problems and needs; - definition of priorities; a. Coordinated research - selection of objectives; - identification of common problems; - drawing up of work plans; - independent project execution; - scheduling of activities and projects; - coordination at different stages of the project. - implementation; - monitoring and evaluation; b. Research collaboration - transfer of results. - distribution of responsibilities within a common program with shared objectives; We can conceptualize a developmental path involving a - joint review of the progress of programs and progression towards the incorporation of a larger adjustment of projects to common development. number of activities with greater integration in the implementation of these functions. This was the case c. Joint research with the Collaborative Potato Program (Programa - common problems, objectives and methodologies; Colaborativo sobre la Papa - PRECO D EPA ). Likewise, - single or shared management of project this is the USAID recommendation for action in implementation. Africa'6'. Distribution of Activities According to The most precarious networks would appear to be those Networks whose profile shows a heavy concentration on exchange of information, training and materials, along with joint The network’s level of complexity derives from the needs identification, definition of priorities and overall nature of its activities'41. The activities related to the task design. Further development of the network would exchange of research inputs and outputs are the least lead to an expansion of this profile. A really integrated demanding with regard to the degree of commitment on system would include joint project implementation, with the part of participants to the need for articulation the participation of all network members, in the various between them and to the consequent complementarity. stages of the planning-programming-implementation These are the least complex activities, in which and evaluation process. participants maintain their independence when carrying out their projects. Not all networks must cover the entire length of this path. Some of them are complementary, arising from Networks involving exchanges relating to the mutual interest on the part of participants, even though implementation of research projects are more complex, they do not aim to achieve the integration of their since that means identifying common priorities, regular research systems. It should be stressed that a exchange mechanisms for evaluating research progress, fundamental purpose of a network is to increase national and various modes of assistance. In these cases, the systems’ capabilities. Its contribution is cumulative and exchange of information and materials, training dynamic, but the network can also be conceived as a activities and technical support, are usually centered on mechanism whose characteristics remain unchanged as the specific themes of research carried out on a these national capabilities increase. coordinated or collaborative basis. These are necessary items that contribute to the carrying out of these The Contributions of Each National System activities, but not the main focus of the networks. The technology generation process consists of a set of The exchange of research inputs and outputs lays the activities that can be classified analytically into basic, foundation for closer collaboration, the identification of strategic, applied and adaptive research. Though the common needs, and the coordination of research work. boundaries of these categories are blurred, they serve In this sense, the establishment of less complex networks the purpose of this paper. may be the first step towards greater degrees of institutional integration'51. It can be argued that a national system’s scientific capability is expressed by the distribution of these Integration of Activities various research categories in its programs. This capability may differ in each program. A system may Implementation of each of these activities should follow have reached maturity in certain commodities or areas various organizational and management stages. In this of research, while in others its development is slight or respect, it is possible to distinguish: non-existent: 122 - the weakest national programs concentrate their members of the network. Exchanges regarding resources on extension, field trials and validation of institutional activities and communication relating to technologies; research results will be appropriate and viable, - the more developed programs add adaptive research whereas division of labor in joint projects seems tasks and technology development to the above; technically more risky. - basic and strategic research is carried out in some programs by institutions with a high level of scientific - Shared programs, with division of labor in capability. interdependent joint research areas, will be more viable scientifically and technically if greater capability If it is reasonable to consider that local research systems is available. In such cases, making research processes follow a developmental path that moves progressively compatible and implementing them jointly will have a upwards to more demanding activities, it can be inferred greater likelihood of success. that contributions to the networks will be determined by this capability. That is, the less-developed systems and - The organizational and management demands of the programs will receive inputs and assistance that will more complex networks mean that programs will be enable them to make progress in field trials and adaptive incorporated into extremely complex and precise research. The more-developed systems will join planning, coordination and implementation systems*7*. networks with more complex contributions, with their basic interest centered on knowledge generated by the Political and Institutional Factors. For national systems more demanding types of research on resource with less accumulated capability, networks are the only economy. alternative for effective inclusion in the international flow of knowledge. In these cases, the institutional Network members are usually heterogeneous in their viability of networks will be greater due to the scientific and technological capabilities; so contributions participants’ effective strong interest. The division of will differ. Exchange flows between network members labor, the move towards greater specialization, the will thus have different added value for research. In this development of comparative advantages and the access respect, one objective of the network is to create a to critical masses of research relating to specific capability for the progressive achievement of greater commodities or problem areas, may be the only means added value in the contributions of each participant, and available to these systems for the growth of their of increasing homogeneity in their contributions. capabilities. Inclusion of National Systems in Networks On the other hand, larger national systems with greater accumulated capability may, for reasons of institutional The viability of the inclusion of national systems in autonomy, be inclined to participate in less complex networks is determined by factors related to: 1) each networks, concentrating on the exchange of information national system or program’s scientific and technological and the coordination of certain activities, but developing capability, and 2) issues of a political and institutional and maintaining non-shared capabilities in those nature. programs they consider to be of strong national interest. The change in agricultural technology from being freely Scientific and Technological Capabilities. It has been available to becoming proprietary may discourage mentioned that there is a growth path in the participation in more complex networks with more development of national systems’ capability and that the collaborative and joint components. potential contributions of each network member are determined by that development. CONDITIONS FOR NETWORK SUCCESS Some extremely important network design problems Conditions for Integration must be considered: - Collaborative actions require a high degree of It would appear that setting up networks require certain formalized interactions. In conditions of low conditions to ensure their effectiveness*8’. capability, the scarce resources, uncertainties and problems inherent in project management mean that A differentiation in contributions occurs: task implementation interdependence is at a minimum. Each institute could carry out activities - when it involves exchange of information, and without trying to depend on contributions of other differentiation is at a minimum. The variation comes 123 from the content of specific contributions. There is no - A mechanism through which participants can express division of labor, even though there may be a multiple, their interest and commitment. Here, needs are diverse exploitation of each participant’s work, expressed and priorities defined. The nature of the when the network carries out collaborative actions’ mechanism varies according to the type of network either by allocating specific areas of work to each of and the degree of task complexity, and responsibilities the participants or by joint execution of research are assigned in line with the capabilities of network projects. There is a division of labor, which becomes members*9*. the basis of the network’s existence. The corollary is that networks made up of national - Geographical proximity is important, since it ensures a institutes with a similar potential capability and task greater likelihood of convergence of needs, problems orientation will find it difficult to consolidate. In this and interests, and facilitates network operation. case, it will be necessary to reach agreements on reorganization of national systems’ structures and - A strong leadership that will help to organize the programs in order to achieve some degree of network and overcome bureaucratic and institutional specialization in contributions through the use of inertia. comparative advantages. Conditions of Operation A perception of the usefulness and relevance of this differentiation. In this respect, the motivation of Some authors state certain conditions whose fulfillment scientists and managers would appear to be related to helps to explain the result of network operation*10): the existence of a problem of common interest and the expectation of impact on the institutions. To achieve 1. Focusing o f activities. This involves: a) a clear this, differentiation should allow a better allocation of definition of objectives so they will help in planning, resources, thus gaining in efficiency through the programming and evaluation; b) a greater likelihood concentration of activities and the use of comparative of achieving a clear profile of network activities, advantages, so that concentration will improve gaining legitimacy*11*. scientific and technogical capability through the consolidation of a critical mass of research. 2. Internalization o f activities within each institution. The result is that the degree of viable division of labor Network activities cannot involve a limited group of is related to the complementary relationships that may research workers, but must be of significance for the be established. This assumes a differentiation in institution and have the support of its directors and contributions, but at the same time requires the managers. Isolation within the institution of the uneveness in capabilities between participants not to groups incorporated into the network would seem to be too great. Otherwise, there would be no mutual make national participation very vulnerable. advantage, and contributions from the better- consolidated programs would be discouraged. 3. Institutionalization o f horizontal mechanisms for However, networks constructed round a strong central policy formulation, program design and activities organization, as in the case of many of those in which coordination. Networks are usually difficult to international centers participate, are an exception. In manage due to the number of participants and the this situation, it is precisely the disparity in scientific diversity of interactions. One condition necessary for capabilities that justifies the network’s existence. it to function is a core of people to deal with logistic and support issues, to centralize and disseminate Resources for the network’s operation. Although information, and to help in the coordination between participation in the network allows better institutional participants. This management capability may be resource allocation, it also involves expenses. The contributed by one of the institutions belonging to most impecunious institutes may face very serious the network, as in the case of those built around an difficulties in meeting these costs if they have no international center. external support, at least until sufficient social recognition is generated. These additional resources NETWORK ORGANIZATION may serve as initial contributions that will encourage greater local financial commitment. Both external and Institutionalization of Networks internal support are necessary if the network is to be viable. It is understood that networks are inter-institutional arrangements structured around permanent, shared 124 objectives. This desire for permanence assumes a self- 3) a central directing and coordinating mechanism, with sustaining process for consolidating links: the participation of the institutes involved and with - progressively more complex activities; an operating secretariat around which programs are - actions that mobilize financial, human and material structured and managed; resources in an increasingly coordinated, collaborative 4) the above mechanism can also have technical and shared fashion; coordination provided by the member institutes, but - financial support for the network, provided by its whose functions are strictly network-related. members in proportionately larger amounts than finance from external sources; As can be seen, these alternatives assume a shift in the - setting up of permanent network coordination and degree of participant commitment, along with their control bodies, with increasing legitimacy within the intervention in the decision- making process. different institutes belonging to the network, and in the eyes of the other agents that constitute the In this respect, different central core functions can be environment external to the research. identified: a) to initiate and convene, b) to structure and be task The network is not a static arrangement. Its operation leader, c) to provide participants with technical support, should generate new stimuli at the institutional and inter- d) to manage program resources, e) to be the hub of the institutional levels. It is at the same time a mechanism communications network, f) to coordinate actions, g) to for the development of scientific and technological supervise actions, h) to evaluate actions. capability and a mechanism in development as that capability grows. The more evenly distributed these functions are among participants, the more decentralized and participative Network development can be planned. This is a central the networks will be. This is an additional criterion for issue, both for design and management. Identification of network institutionalization. The more centralized these present and future participation, the contribution they functions are, the more passive the member anticipate making during the network’s life cycle, and participation and the more vulnerable the collaboration expansion of interactions, are matters that shape the achieved. The following section clarifies this network’s institutional strategy. In this respect, observation. networks may be open mechanisms, whose growth is limited only by the availability of resources. Closed Participation by National Institutes. Madamba identifies mechanisms, set up to achieve specific results in a limited two ways in whch national institutes can develop period of time, though valuable for the development of relationships with international centers: 1) receptive agricultural research, lie outside the objectives of this role, and 2) collaborative role; which may in turn give paper. rise to two variations: a) recipient, and b) actor"3'. Organizational Variations in Networks These modes can be extended to the network relationships established by those institutions that do There are various organizational variations in the not occupy a central position. Mode 2 b is the most network universe. Although the structure adopted demanding with regard to scientific and technological should be in line with the nature and activities of the capability, and gives rise to less ’hierarchical’ and more network"2', the way this universe has been created has horizontal relationships. Mode 1 is typical of radial sometimes meant that organizational models have been networks with a strong central core. As national reproduced regardless of the nature of the participants programs assume an active collaborative role and the and of the institutional strategy. central core is based on local coordinators, so networks will become more decentralized. The Central Core. The alternatives seem to be as follows: Thus, there are various possible situations through 1) a strong central articulating core that gives a radial combinations of the role assumed by the national shape to the interactions within the network; institutes and the way the central core is organized. Some 2) a central coordinating mechanism, consisting of of these possibilities fit participants’ contributions and representatives from the institutes involved, with the capabilities more closely. In this sense, it may be support of an international institution through which appropriate to propose a dynamic hypothesis with regard resources are channelled and activity leadership is to the development of the network’s structural pattern. exercised; The central core will thus progressively become 125 increasingly more participative and less directive as its These three models are, of course, extreme participants’ scientific and technological capability simplifications of a very varied and complex reality. grows and they take on a more active role within the network. It should be stressed that each is an attempt at analysis, the purpose of which is to help in the task of NETWORK VARIETIES AND conceptualizing this problem and clarifying the DEVELOPMENT enormous variety of situations. Empirical research will enable one to verify or refute the set of hypotheses that Network Models may develop from the models. There are several analytical alternatives that could be Network Development Strategy identified for the construction of network models. Each has advantages and disadvantages. In this paper, The three models identified represent different stages in networks are classified according to the articulation the capability of the participating systems. This growth between their substantive aspects (activities covered and path involves several shifts: members’ contributions), their organizational and - from a radial relationship mode to a central, network- management attributes, and their growth strategies. Our articulating core to horizontal interactions between all choice is based on the potential for generating relevant participants; propositions with regard to the design, characteristics - from the exchange of results of autonomous and viability of each resulting type. experiences and research to coordination, shared programming and joint implementation; For analytical purposes, models can be distinguished as - from more decentralized structures to the generation follows: of participative mechanisms; - from a certain homogeneity of capabilities to 1. Networks made up basically of national systems with increasing development of comparative advantages weak scientific and technological capability, used in a collaborative fashion. belonging to relatively small countries, and based on activities involving limited scientific requirements in If the growth path is conceived in this way, a network terms of knowledge exchanged. These networks integration constitutes a strategic way of promoting require the intervention of some external mechanism international scientific and technological capability. to stimulate and support them and become their Each network should be thought of in terms of its central core. This central core is often an members’ development and of its own, leading to international center or a multilateral body. progressively more complex levels of complementation and integration of national systems. 2. Networks consisting of national systems with greater capability, which can carry out more demanding This concept of the growth path leads to another activities as far as the resources mobilized are important conclusion: the sought-after integration could concerned, going as far as participation in arise from different strategies. Those that can be collaborative and joint research. They have a higher conceived in terms of poles would be as follows: degree of internal heterogeneity so that there is a graded and varied transfer process. The benefits of 1. Strategies aimed at grouping national research participation are usually not shared equally, some systems so they can jointly identify their problem national systems functioning as dynamic factors and areas, define common priorities, program their providing transfer to the less developed. In these activities, and undertake collaborative actions with a cases, the central core may have characteristics high degree of interdependence. This strategy would similar to the previous model, but with greater seek rapid integration of national systems, thus participation by the national systems and horizontal encouraging division of labor from the outset. It mechanisms being of greater significance. assumes environmental conditions of widely receptive public policies and institutions. In 3. Networks consisting of more-developed national particular, this strategy requires absence of systems and units. The activities around which they competition between network members in are structured are usually more specific, with clearer commodity markets and technologies. differentiation between participants’ contributions. 2. Incremental strategies, starting from priority 126 activities for all participants, which consist of partial The less developed and consolidated national systems commitments, require limited resources and have are, the greater are their needs for information, training, low requirements of public and institutional policies. and technical assistance, and the greater their interest in joining networks following a balanced growth strategy. Choice of the strategy is the result of a decision by In these cases, demands for joint identification of network members. But the network is faced by priorities and planning of activities will be greater, and it significant constraints. The degree of development of will be more difficult to satisfy the broader issues tackled national systems, regional and ecological peculiarities, by the network. Effective use will depend on the quality and political and institutional conditions, reduce the of these processes and the management capability degree of freedom available for its definition. Network exhibited during implementation. design should be preceded by careful identification and a strict evaluation of these factors. On the contrary, systems and programs with greater accumulated capability will tend to be interested in On the other hand, network integration can be analyzed collaborative efforts aimed at resolving specific by reference to the experience of other attempts at problems. In this respect, we are faced with a paradox: integration of policies, activities and resources between the greater capability of network members facilitates countries. These attempts offer sufficient evidence in joint planning, while joint planning makes use of the sense that overambitious schemes involving a certain network participation less critical. amount of ’wishful thinking’ and not backed by firm, deep commitments, come up against insuperable Networks and the International Agricultural obstacles arising from the many interests at stake, the Research System’s Development Strategy complexity of the integration process, and poor perception of the costs and benefits involved. Throughout this paper, networks have been presented as a device for integrating the national system’s The networks that adopt incremental strategies, with agricultural research and as a means for developing the specific contributions that expand progressively, help to capabilities of national systems. It should be borne in consolidate the established mechanisms. These mind that as progress is made in both those directions, mechanisms are also enriched as the participants there must necessarily be a redistribution of the type of gradually increase their scientific and technological activities currently carried out by elements of the system capability. at the overall level. The foregoing clarifies some hypotheses presented in This is the issue currently under debate on the handing previous sections. Regardless of the scientific and back of functions by the international centers to the technological capability of systems and national national systems. It is to be supposed that, as some of the progams, strategic reasons may advise a certain national systems of developing countries acquire greater gradualism. Networks for the exchange of research capability for carrying out applied research, they will be inputs and outputs may constitute the first step towards able to undertake many of the efforts currently falling increasing integration of national systems. under the aegis of international centers. With the increasing importance of biotechnoloy for technological Another strategic alternative arises from the tension innovations, and with the ongoing process of between ’balanced’ and ’non-balanced’ approaches: privatization of knowledge, this handing back would seem to require a greater concentration by international 1. The balanced approaches argue for homogeneous centers on strategic research, and greater articulation growth of scientific and technological capability in with basic research institutions. the institutes’ various areas of activity. Therefore, networks cover a broad range of activities, seeking a In this scenario, new networks can develop among the maximum mobilization of the institutes’ resources. developing countries that have accumulated the greatest scientific and technological capability, processing more 2. According to the non-balanced approaches, complex knowledge and making use of more horizontal participation in the network should be specific, organizational structures, with a clear division of labor concentrating institutional efforts, increasing between problem areas. particular capabilities and, from there, achieving significant internal impact. The debate on the design of an integrated system of networks within a developmental pattern of its members’ 127 scientific and technological capabilities should be William H. Starbuck, Handbook o f Organizational enriched by the results of analyses of technological Design, Vol. 1, N.Y., Oxford University Press, 1981. prospects, and of the legal and economic development of the technology generation, transfer and marketing 2. An important reference for the treatment of the process. origins of networks is D.L. Plucknett and N.J.FI. Smith, ’Networking in International Agricultural CONCLUSIONS Research’, Science, Vol. 25, pp. 989-993. For the experience of a particular international center, see This paper has presented tentative conclusions and D. Winkelmann, Networking: some impressions from certain hypotheses regarding the effectiveness and CIM M YT, paper presented at the First International viability of various inter-institutional arrangements. Meeting on National Systems of Agricultural These are all, in turn, partial illustrations of certain Research, IFA RD , Brasilia, 1986. general propositions: 3. There seems to be a consensus on this point, as can be - There is a necessary correspondence between network gathered from various papers on the subject. Of objectives, their activities, their members’ scientific these, see those quoted by Plucknett and Smith, and and technological capability, and the organizational Winkelmann. Also, and in particular, C. Valverde structures they adopt. and K. Brown, ’Regional Research Networks: The - Networks are based on the possibility of reaching experience of P R E C O D E P A ’, CIP/ISNAR, 1985. collaborative agreements based on the division of labor, comparative advantages and complementation. 4. As indicated in another section of the paper, the They are attempts at achieving greater national, inter-institutional arrangements known as ’networks’ regional and international integration in agricultural are extraordinally numerous and diverse. Therefore, research. The integration strategies should be all attempts at ordering them runs the risk of being incremental, non-balanced and aimed at achieving a objected to, due to the presence of ’special cases’ or progressive increase in scientific and technological particular modes adopted in specific circumstances. capabilities. What is presented here is intended to clarify the problem and draw some generic consequences that - Organizational arrangements should be adjusted to have operational relevance. the type of activity and the capability of network members. These arrangements should, in turn, vary as 5. The activities indicated have been used by SPA A R to this capability grows. draw up a network classification: - information exchange networks, which organize These tentative conclusions do not, of course, exhaust and facilitate the exchange of ideas and all the issues raised. It has been argued that networks methodologies and the communication of research can be visualized as mechanisms for increasing scientific results (activity la); and technological capabilities, which are in turn - consultation networks, which periodically gather developed through increased complexity of their together institute members to share experiences on activities and progressive integration of the national independent research, thus progressing to a greater systems involved, even if this is not a necessary condition degree of coordination (activity 2a); for their establishment. Ways of accelerating this - collaborative agricultural research networks, with growth, as well as the role played therein by various joint planning, implementation and monitoring factors relating to the setting of objectives, resource (activities 2b and c). availability, participant commitment and organizational arrangements adopted, should be the subject of further By way of example, CARIS (Current Agricultural studies based on an analysis of the experience of some Research Information System) of the FAO, and typical networks. RAIN (Rainfed Agricultural Information Network) can be placed in the first network category. Networks NOTES based on the testing of genetic materials are also included in this category. 1. For a review of the organizational literature, see Howard Aldrich and David A. Whetten, The consultation networks make greater demands on ’Organization-sets, action sets and networks: making their members. CIMMYT’s network on production the most of simplicity’, in Paul C. Nystrom and 128 systems in Eastern and Southern Africa, and 13. See J.C. Madamba, Role and Status o f National PCCMA in Central America, are of this type. Research Systems fo r Agriculture, Forestry and Fisheries in the Asia-Pacific Region and How They PANESA (Pasture Network for Eastern and May Relate with International Associations, paper Southern Africa), SACCAR (Southern African presented at the meeting to constitute A PA A RI, Center for Coordination in Agricultural Research), Thailand, October 1985. SAFGRAD (Semi-Arid Food Grains Research and Development) and PRECO D EPA in Latin America 14. The notion of selective leadership is developed by could be included in the third category. Valverde, op.cit. The typology presented is set out in detail in the BIBLIOGRAPHY report of a meeting held from 13 to 15 January 1986, in Belgium. See Special Program for African - Aldrich. J., and D .A. W hetten, ’Organization-sets, Agricultural Research, Report o f the Technical Group action sets and networks: making the most of on Networking. simplicity’, in Paul C. Nystrom and William H. Starbuck, Handbood o f Organizational Design, Vol. 6. See Margaret Sarles, Agricultural Research in Latin 1, N.Y. Oxford University Press, 1981. America: Towards a Strategy o f Institutional Development, mimeograph, Research Advisory - FAO, 1985. Cooperative research networks in the Council, 1985. Near East. Paper presented to the Near East Regional Commission on Agriculture: First Meeting, Egypt, 7. D. Winkelmann, op.cit. 1985. 8. The requirements for successful networking have - Greenland, D .J., E.T. Craswell, and M. Dagg. been gathered, synthesized and enriched by Carlos International Networks and their Importance in Soil Valverde. See his paper, Collaborative Agricultural Management Research, mimeograph, 1985. Research Networks: Network Development Characteristics. ISNAR, mimeograph. - ISNAR. The Role o f International Associations in Strengthening National Agricultural Research. The 9. In this respect, Filemon Torres explains a particular H a g u e ,1982. way of determining these capabilities and distributing tasks in a network based on experiences in Tropical - Ker, A .D .R . ID R C Involvement with Agricultural Africa. See his Agroforestry Research Networks in Research Networks, paper presented at the Inaugural Tropical Africa: A n Ecozone Approach, paper Workshop for an Acid Tropical Soils Management presented at the First International Conference on Network, Brasilia, 1985. Agricultural Research Systems, Brasilia, September 1986. - Lazier, J .R . Forage Networks. Paper presented at the Workshop on Potentials of Forage Legumes in 10. Besides Carlos Valverde’s work, see Plucknett and Farming Systems of Sub-Saharan Africa, Addis Smith, op.cit.; D .J. Greenland; E .T. Craswell and Ababa, 1985. M. Dagg, International Networks and Their Importance in Soil Management, mimeograph, 1985, - Madamba, J.C. Role and Status o f National Research SPAAR, op.cit.; Valverde and Brown, op.cit., FAO, Systems fo r Agriculture, Forestry and Fisheries in the Cooperative Research Networks in the Near East, Asia-Pacific Region and How they may Relate with paper presented at the First Meeting of the Near East International Associations, paper presented at the Regional Commission on Agriculture, Egypt, 1985, meeting for the constitution of A FA A R I, Thailand, and H.G. Zandra, Canadian Support to Agricultural October 1985. Research fo r the Developing World, paper presented to the CG IA R meeting, Ottowa, May 1986. - Plucknett, D .H . , and N .J.H . Smith, ’Networking in International Agricultural Research, Science, Vol. 11. See Valverde and Brown, op.cit. 225, pp. 989, 993. 12. Winkelmann, (op.cit.) points out this necessary - Sarles, M. Agricultural Research in Latin America: connection. 129 Towards a Strategy o f Institutional Development, Networks: the Experience of PRECO D EPA . Country mimeograph, Research Advisory Council, 1985. Report No. R 23. ISNAR, The Hague, 1985. Special Program for African Agricultural Research. - Venezian, E. International Associations and National Report o f the Technical Group on Networking, Agricultural Research. Report o f a Conference on the Brussels, 1986. Role o f International Associations in Strengthening National Agricultural Research, Bellagio, Italy, 1981; Torres, F. Networking fo r the Generation o f published by ISNA R-IA D S-IFA RD . Agroforestry Technologies in Africa. Paper No. 31. International Council for Research in Agroforestry - Winkelmann, D. Networking: Some Impressions from (ICRAF), Nairobi, 1985. CIM M YT, paper presented at the First International Meeting on National Agricultural Research Systems, Valverde, C. Collaborative Agricultural Research IFA RD , Brasilia, 1986. Networks: Network Development Characteristics. ISNAR, mimeograph, 1986. - Zandstra, H .G . Canadian Support to Agricultural Research fo r the Developing World. Paper given at Valverde, C., and K. Brown. Regional Research C G IA R Mid-term Meeting, Ottowa, Canada, 1986. 130 CHILE’S EXPERIENCE IN AGRICULTURAL RESEARCH NETWORKS Sergio E. Bonilla Director of Research and Alberto G. Cubillos Director of Crop Research Instituto de Investigaciones Agropecuarias (INIA) Chile INTRODUCTION working in a coordinated way in the identification, processing, storage and diffusion of agricultural To avoid going too far back in time, this paper refers to information. developments since the Agricultural Research Institute (INIA) was created in 1964 as an autonomous private Also in 1974, the Coordinating Center (IN IA ’s Central corporation, related to the government through the Library) was appointed as the liaison center for the Ministry of Agriculture and mainly financed by public worldwide and regional systems AGRIS/A G RIN TER. funds. IN IA ’s Central Library improved the gathering of The Rockefeller Foundation played an important role in bibliographical control of documents by use of a INIA’s organization. The Institute benefitted greatly computerized data-base in response to an increas­ from the Foundation’s experience in collaborative and ing number of requests for information by the users. This joint research activities. Hence, INIA has had a rather improvement was made possible in 1981, thanks to a large and rich experience in the complex field of grant from the International Development Research networking. Centre (IDRC) of Canada to INIA to start the Centro Nacional A G R IN T E R - CHILE. It is difficult to identify all the conceptual implications and make a precise classification of the different types of There have been many accomplishments in a short time: agricultural research networks. However, the first requirement for networking is that every participating - 18,411 bibliographical citations published since 1960 institution must have something to offer. Also, the more have been recovered and edited in seven volumes as a developed research institutions are, the more likely they ’Chilean Agricultural Bibliography’. The last three are to get maximum benefits out of them. volumes are already incorporated in the computerized data-bank (BIBA). NATIONAL NETWORK EXPERIENCE - Compatible methods within the network and with The following three collaborative and integrative efforts other international systems have been adopted within Chile may not completely fit the network (especially those of A G RIS/A G RIN TER). definition discussed in this workshop. Nevertheless, they are an indispensable support to research in agricul­ - Retrospective searches and selective distribution of ture, although their activities may be of a rather information (SDI) are being used. tangential nature. The important characteristics of the collaborative effort NATIONAL AGRICULTURAL are: INFORMATION SYSTEM - It is a national network. This system has operated since 1974. The network comprises a coordinating center, based at INIA, and - It has a national coordinating center and acts as a several participating libraries in the agricultural sector, liaison center for international systems. 131 - It has had international donors for specific projects. WHEAT VARIETY COOPERATIVE TESTING TRIALS PERMANENT GRADUATE PROGRAM IN AGRICULTURAL AND FORESTRY The established objectives for the cooperative testing SCIENCES trials were: Several Agriculture Faculties from Chile and from the - to determine the agronomic value of new wheat Southern Zone of the Inter-American Institute for varieties under very different ecologic and Cooperation Agriculture (IICA) have been interested in management conditions, prior to their acceptance by graduate training since the early 1960s. the National Certification Program; The first graduate course (genetics and plant breeding) - to demonstrate that this type of cooperative testing was offered by the Agronomy Faculty of the University method is efficient and cheap, and could be used as a of Chile and INI A in 1967. Many others followed. model for the certification of other crops; These activities were institutionalized at the national - to stimulate a wider collaboration among plant level in October 1970, when a five-year Operational breeders in using better germplasm and to improve the Agreement was signed by Chilean universities, INIA efficiency of the resources spent on research. and IICA, to establish a Permanent Graduate Program (PPG). The agreement was renewed for another five There were four types of participants: years in 1976. The by-laws, a superior council, and - the Technical Seed Unit of the Servicio Agricola y executive committee, a coordinating unit and the Ganadero (SAG) of the Ministry of Agriculture, which academic structure were defined. acts as a coordinating and supervising unit; - INIA; The coordinating system was highly effective. IICA - four university experiment stations; provided an assistant coordinator from 1970 to 1979. - three private experiment stations. The national participating institutions had to take over the management and funding. A re-organization of the The methods, locations (about 25 sites), varieties higher education system in Chile took place in 1980. This included in each site, seed conditions and treatment, change limited the financial support for the coordinating fertilization per site, observations to be taken, unit and reorientated professional specialization harvesting conditions, sampling, inspections and the way according to market demands. It was thought that the the results are to be published were all previously system would collapse, but all universities created approved by the cooperating entities. graduate study programs. This gave more importance and continuity to the whole system than was initially All data had to be sent to the Technical Seed Unit for expected. From 1967 to 1980, 405 students studied for processing and distribution among the cooperators. master’s degrees. Since 1980, 11 faculties and colleges from 5 universities have been involved in graduate The system has been operating continuously since 1976. training. The system has persisted, but the coordination Inter-institutional problems arose due to improper use is missing. of the generated information for propaganda and commercial purposes by some of the cooperators. The important characteristics of this program are: The characteristics of this cooperation are that: - The system constitutes a national network. - It is a complex national network including state - It has an initial strong inter-institutional institutions, universities and private enterprise. coordination. - There is a control and coordinating agency. - Complementary efforts are made by all - The problems arise by the use of data for unintended participating institutions. purposes. - The original model is exceeded, and agricultural - Some cooperating entities use the network to graduate education is institutionalized by all legitimate their enterprises. universities. - Present lack of coordination makes these acitivities less efficient. 132 INTERNATIONAL NETWORK - Funding: CIP finances part of the EXPERIENCES operational costs of each of the nine projects and INIA’s network experiences at the international level, the cooperating countries both regional and worldwide, are more numerous and supply the additional fruitful. All of these networks originated as inter- resources needed. institutional agreements. Some will be briefly described, but others will only be referred to for purposes of This network is a shared program, and its nature is based contract. on a relatively good development of the participating institutions’ technological and scientific capabilities. COOPERATIVE PROGRAM FOR POTATO RESEARCH (PROCIPA) LATIN AMERICAN MAIZE PROGRAM (LAMP) PROCIPA was created by an agreement between the National Intitute for Agricultural Technology of This is a cooperative agreement between the Argentina (INTA), the Brazilian Enterprise for Agricultural Research Service (ARS) of the U.S. Agricultural Research (EM BRAPA), INIA (Chile), the Department of Agriculture, Chile (INIA) and 10 other Alberto Boerger Center for Agricultural Research of countries interested in preserving and developing maize Uraguay (CIAAB), and the CIP (International Potato genetic resources for the benefit of all mankind. It was Center) in August 1982. signed in 1986. Its basic objective was: The program includes a systematic evaluation of the - to create a permanent cooperation system between genetic diversity of maize in order to select better interested institutions for the generation and exchange genotypes and make them easily available for the corn of potato production (Solanum tuberosum L.), breeders of the world. It also considers the regeneration knowledge and technologies; of native maize germplasm in each country. - not to substitute for national programs, but to complement and strengthen them. Organizationally, it has a Program Director, an International Coordinator, and principal Researchers It has several organizational levels: (National Coordinators) - Executive Committee: One representative from each participating This network has a different organization from that of institution. PRO CIPA. It is an international network with a - Technical Committee: One representative from coordinating level. ARS specifically allocates each national potato complementary resources to each participating country, program plus one from and there is an annual joint evaluation meeting. CIP. - Coordination: Coordinator and Assistant INTERNATIONAL AGRICULTURAL Coordinator. RESEARCH CENTERS NETWORKS - Evaluation Committee: Critical evaluation by groups of experts. Chile participates in several of these collaborative - Cooperative Projects: A cooperative project efforts. They mostly deal with germplasm exchange and based on problems testing. common to all participant countries. Each project is INIA is the Chilean counterpart institution for several coordinated by one or nurseries and yield trials of: more institutions with CIMMYT Wheat, triticale, maize, barley recognized leadership in CIAT Beans the subject. At present, IRRI/CIA T Rice Argentina coordinates CIM M YT/ICARDA Barley three projects, Brazil CIP Potatoes three, Chile two, and ICRISAT Chickpeas and lentils Argentina/Brazil one. IC A R D A Lentils, barley 133 Most of these networks probably do not fulfill the and this was the logical consequence of previous conceptual definition of a network, because these bilateral and multi-lateral exchanges between nurseries and trials are defined at the Center level, with countries. very little, if any, interaction with the participant institutions. PROCISUR, a five-year program, is the second, consolidation stage of the IICA/Cono Sur/BID program FAO’S TECHNICAL COOPERATION and has been in operation since August 1984. NETWORKS This two-stage program was agreed upon between INIA participates in two of the technical cooperation Argentina, Brazil, Chile, Paraguay, Uruguay and networks organized and partially supported by F A O ’s Bolivia. Regional Office for Latin America and the Caribbean. The program is financed by BID, IICA and the Technical Cooperation Network in Food Crop participating countries. IICA is, in addition, the Production. This started as a Cooperative Network on administrating agency and uses its central structure in Edible Legumes Production in 1982. The national and Costa Rica and the local office in each country. sub-regional coordinators decided to include other crops in 1987, changing the network to a Cooperative Network INIA, as a national institution, has been fully identified on Food Crop Production. with and highly committed to the program. The objectives are well-defined and of common interest to all During 1987, training on beans and vegetables research the coutries. The institutional structure has been very and production was organized in Brazil, and on tropical effective. There is a Directive Commission for the roots and tubers in Cuba. O ther topics include tomato, program, formed by the agricultural research directors cassava, and yam. of the six participating countries. It has had appropriate external financial support, and has worked in The network includes more than 30 participating collaboration with CIMMYT and CIAT. countries. There are four sub-regional coordinators and an FA O official with the responsibility for the whole PRO CISUR is the most complex regional network in region. which Chile has ever participated. The program has had the ability to build solid structural mechanisms in spite of Technical Cooperation Network fo r Post-Harvest the differences in the scientific and technological Technology fo r Grains. The Latin American Association capacities of the participating national systems and the for Post-Harvest Technology for Grains (A L A G R A N ) many products involved. was a very effective nucleus for the organization of the National Associations in Argentina, Colombia, Chile, The activities foreseen to accomplish the stated Honduras, Mexico and Uruguay in a network on Post- objectives are: Harvest. The network includes about 20 countries and undertakes training, workshops and consultations. a) reciprocal cooperation, through sub-program coordination; annual coordination and technical Regional Coordination has been assigned to the meetings; seminars and professional exchanges National Center for Storage (consultancy, observation and participation in Training (CEN TREIN A R) in Brazil. An FAO regional congresses and other events); officer is also responsible foor the network. b) international consultancy activities directly contracted by the program or through the IARCs; COOPERATIVE PROGRAM FOR AGRICULTURAL RESEARCH IN THE c) training (in other institutions, short courses, in SOUTHERN CONE, PROCISUR service training and graduate scholarships). Technical exchange and cooperation in agricultural The ultimate objective of the program is to establish a research among the southern countries of Latin America permanent coordination and support system for started as an informal activity many years ago. There is reciprocal cooperation and exchange of knowledge about no doubt that the IICA/Cono Sur/BID Cooperative agricultural research through joint and cooperative Program operated quite successfully from 1980 to 1983, activities among the participating countries. 134 This paper has no intention of making a detailed Networks may start at any of these stages, but some of evaluation of PROCISUR. Several have already been them may have been gone through voluntarily or done and more precise studies and analyses are involuntarily during previous activities. expected. However, a few accomplishments must be pointed out, besides all those on training: When PRO CIPA started, CIP had already gone through the early stages. On the other hand PRO CISUR has - Germplasm exchange has been very successful and has been simultaneously going through all of them, but very led to the strengthening and creation of several little, if any, collaborative research is being carried out. nurseries with the outstanding material of each country, such as: DETERMINING CONDITIONS FOR NETWORK EFFICIENCY LACOS Advanced Wheat Lin^, Nursery of the Southern A number of factors seem to affect network efficiency. Cone; These include: ERCOS Wheat Variety Yield Trial of the Southern 1. Homogeneity of the scientfic and technological Cone; capacity of partipant programs. Owing to the large ELAR Latin American Wheat number of participants in some FAO networks, a Rust Nursery; common language to speak about the same problem REFCOSUR Forage Evaluation is missing. Network of the Southern Cone, which 2. Clear objectives. In cooperative testing trial has recently been networks, what will the results be used for - prestige, implemented. efficiency, advertising or other purposes? These activities may be considered as networks ’per 3. Clear goals. How many varieties will come out for se’. certification from a cooperative testing trial? DEVELOPMENT STAGE OF THE 4. Declared interest of the participants. There is usually NETWORKS a balance of what we can offer and what we can obtain. INIA’s experience indicates that in network development it is possible to indentify different stages, 5. Use of the research results only for the specific according to the activities being carried out. purposes of the network. a) Gestation. In our experience there is usually a 6. An institutional commitment to provide adequate promoter who normally is not a participant. resources to achieve the network objectives. There are three kinds: b) Acquaintance and Information. This is the time when Financial - external funding, for coordination and the potential participants get together and ask execution of additional activities; questions of each other, like: internal funding, for execution of normal What do they do? program activities; How well do they do it? Human - training; What can be obtained? Physical - facilities and equipment necessary for What can we offer? network activities. It is a stage of informal transfer of information and material, prior to an organizational stage. 7. Strong direction, Through regular meetings with high-level national directors and program c) Joint study and analysis o f common problematic and coordinators. methodological aspects. These activities are practically independent of the environment. 8. Permanent training program. This is related to the scientific and technological capacity of national d) Coordinated Research - PROCISUR systems. Collaborative Research - PROCIPA 135 9. Easy transfer of information, ideas, germplasm. To ensure the persistency of networks, it is necessary to continuously keep all levels of policy makers well QUESTIONS informed, in spite of the often short time they spend in their jobs at the higher level. The Chilean experience From our experience two unanswered questions arise: shows that it really pays to continuously inform and make policy makers aware that they are also important - Why is it easier to implement international than participants. INIA usually does it at the following levels: national technical cooperation networks? - Why are there certain products with practically no The Board of Directors (INIA); the Agricultural networking? For example, horticultural crops Planning Office (O D EPA ); the National Planning (orchards and vegetables), animal production. Office (O D EPLA N); and the Ministry of Agriculture. FUTURE OF NETWORKS However, consolidation of these networks can only be achieved by full funding of the participant institutions It is difficult for the ultimate beneficiaries - farmers - to by their countries. The present state of economies of perceive the many advantages of these mechanisms for the developing countries suggests that this possibility is the improvement of the efficiency of agricultural rather difficult and remote; therefore, international research, even if they are already using technology support for international networks is essential. generated through networking. Beneficiaries cannot differentiate these technologies from those generated by the national systems. This suggests that we should not expect too much support from farmers. 136 MANAGEMENT INFORMATION SYSTEMS AND THEIR USES Byron Mook Senior Research Officer ISNAR INTRODUCTION AND DEFINITIONS somewhat abstract definitions. Perhaps we’ll come back to them later. My presentation this morning will perhaps be a bit different from some of those with which you’ve been TYPES OF INFORMATION INCLUDED confronted in the first two days of this workshop. My IN AN MIS emphasis will be less on the theoretical background to management practices, and more on PRA CTICA L (1) On program content. In agricultural research, what approaches to bringing about managerial change. Much projects are actually being carried out? What are of what I’ll be talking about is based on work ISNAR has their objectives, where are they taking place, when been doing in Indonesia. did they begin, when will they end, and what are their expected outputs? Let me begin by saying just a few words about the phrase ’’Management Information System” . These three words (2) On personnel. Who is on the payroll? What are their often sound a bit scary, I think, mainly because the educational and career backgrounds, where are phrase ”MIS” has come to be associated with hi-tech they, and, most important, what projects are they approaches to management and, specifically, with working on? computers. But none of us should be put off. One of the principal messages I hope to leave with you this morning (3) On finance. How much are different programs and is that we have to separate the idea of an MIS from the projects actually costing? (As we’ll discuss later, one tools by which an MIS is implemented. Every one of the of the big challenges to an MIS - and to one of its organizations represented in this room has some kind of spinoffs, a Program Budgeting System - is to allocate a Management Information System already. It may be the approximately 65% of budget which most paper-and-pencil based and/or, in some cases, it may be research organizations spend on personnel to be based largely on word-of-mouth. But it is an MIS. particular research projects.) Information does exist, it does move (at least a bit), it is managed (more or less), and it is used (to some extent). (4) On facilities. What buildings and equipment do research organizations have available for carrying As a result, we should try this morning to think, not out their research programs? about the establishment of an MIS in your organization or mine, but rather about the evolution and PROCEDURAL COMPONENTS improvement of the MISs we already have. (1) Information collection. What information exists on To make this point clear - and so that we all have a shared the four subjects mentioned above (i.e., program, understanding of what we’re talking about - let’s begin personnel, finance, and facilities)? with a simple definition of an MIS. I’d say that the usual MIS includes four main types of information and has (2) Information movement. Where is this information? four main procedural components. I’ll go through these Is it only at the stations or institutes - or only at the two lists quickly, since I don’t want to spend too much national headquarters, or both? time at the beginning on what I fear may seem like 137 (3) Information management. How is this information a ’’first-generation institutional development” problem). handled? Who is responsible for information But over the past 10-15-20 years, these NARS have made collection and movement? Are we talking about a considerable investments in both physical and human largely paper-and-pencil operation, or are resources (e.g. buildings/equipment and Ph.D./M.Sc.). microcomputers being used, or do we have a Now much such investment is in place, buildings arc combination of both? finished and trainees have returned, and the challenge now is to mold these resources into an efficient and (4) Information use. Obviously the most important of effective research program. the four components, the reason-for-being of any MIS. Who uses whatever information exists and for In Indonesia, the most pressing management issue for what purposes? A A R D is that the tools available to senior officials for oversight of such a large organization are little changed The obvious answer to this last question should be from what they were ten years ago. (And the planning, monitoring, and evaluation - of program, organization is large, larger than any represented in this personnel, finance, and facilities. room except the Indian one. Approximately 10,000 total employees, of which approximately 2,000 are graduates BACKGROUND TO ISNAR WORK IN and 400 are Ph.D.s. Spread out in more than 25 major INDONESIA centers/institutes, more than 100 stations and sub­ stations, over a country 5000 kilometers long.) Most The NARS with which ISNAR has been working most information on projects, personnel, finance, and closely on MIS issues is that in Indonesia. I myself have facilities are updated irregularly. Those data which do been, and continue to be, heavily involved in this arrive at the A A R D secretariat in Jakarta are often in cooperative program. As a result, many of the forms which make use by senior managers difficult. generalizations I will make this morning will Aggregation of information from different centers and undoubtedly be influenced by what ISNAR and A A R D stations is time-consuming. (the Indonesian Agency for Agricultural Research and Development) have been doing together. In short, the information necessary for either the central secretariat or the centers/institutes to allocate resources Just a few words of background at the beginning... As at rationally or to monitor and evaluate progress is very least some of you in this room will know, A A R D and weak. ISNAR are entering their seventh year of cooperation. Indonesia was actually one of the first three NARS with SAMPLE OUTPUT FROM THE AARD MIS which ISNAR began to work. Way back in 1981, we did one of our first country reviews in Indonesia, and, since I’ve distributed to you this morning several types of that time, we have contributed to ten other program/ product from the early days of the A A R D MIS. Let’s institute reviews. As you can imagine, therefore, the look quickly at each of them , to give you a flavor of what stack of ISNAR and ISNAR-related plans, one might expect from an MIS. If you'd like to come recommendations, proposals, and publications on back to any of them in the discussion period, we can do Indonesia is formidable. so. (The following Exhibits are all collected at the end of this paper). The latest stage in our cooperation with A A R D began (1) Here we have one page from a list of all research last year, when we concluded an agreement to assist in projects at one research institute. The number in the what many people are today calling ’’second-generation left hand column identifies the institute, the project institutional development problems” . Such work is a itself, the research program of which the project is a logical follow-on to the system and program/institute part, and the fiscal year. reviews which I have just mentioned. A major theme in all these reviews has been the importance of You can see, for example, that the research program management issues. on hybrid rice is composed of six discrete research projects. What are ’’second-generation institutional development” problems? I think that this phrase is almost certainly (2) Here we see what the cost of each of these six relevant to most of the NARS represented in this room. projects is and the total for the entire hybrid rice Not too long ago, most NARS in Asia, Africa, and Latin program. We can discuss later, if you wish, how America had an acute shortage of men and material (i .e ., these cost figures are arrived at. I SHOULD 138 EMPHASIZE TH A T THEY A R E N O T T H E biggest program at the institute is in rice GOV ERN M ENT B U D G ET FIGURES; mechanization and post-harvest technology, and INSTEAD, THEY A R E A CTU A L USE that 13% of institute resources goes for legumes, FIGURES. maize, and wheat. (3) Here we see those cost figures broken down into various categories of use: e.g., personnel, materials, (12) And finally, one more level down, for program equipment, travel, and overhead. management. The example here is from the rice breeding program. Four projects out of 14consume (4) Now we shift to personnel. Here we see what each more than 50% of resources available to the person is doing. How much of his total time is he program. spending on research, how much on administration, and how much on training? Within research, which particular projects is he working on? And finally, let’s look at personnel issues. Exhibit 4 (5) Here we cut these same personnel data another way, above, which shows what each person is doing, is clearly to look at the project first. Who is working on it, and and excellent tool for managers responsible for staff what percentage of his/her time is he spending? evaluation. And Exhibits 5 and 8 give managers a means of monitoring quickly all scientists working on particular (6) Here we look at the total cost of research work on a research problems. particular commodity, in this case legumes. GETTING STARTED ON AN MIS (7) Here we look by discipline, in this case economics. Now how did A A R D and ISNAR go about getting (8) And finally, here we look at resources devoted to a started on the development and improvement of the particular problem, in this case brown planthopper. A A R D MIS? The first step, an early decision, was that we should do an intensive analysis of information USES OF THIS OUTPUT available for planning, monitoring, and evaluation at one institute. We had three objectives in doing such a Now what does (or can) a research manager do with such case study : information? Obviously the payoff from an MIS comes in the use, and not in the methodology. (1) To find out what information the secretariat in Jakarta had available on program, finance, and Let’s look at policy issues first. The next four exhibits personnel at the institute chosen. contain information which should be of use to four different levels of research policy maker and manager. (2) To find out what information the institute itself had available. ( 9) For top policy makers. The research institute from which these data come has the national mandate (3) To analyze how such information was organized, for irrigated rice. And yet, as you can see from the and how it moved (or did not move) between the figures presented here, its budget is small institute and the secretariat. compared to the place of rice in the national economy, a large percentage of its work is not As secretariat staff, institute staff, and ISNAR staff directly related to rice, it does most of its work in worked together on this case study, we all quickly one geographic area, it pays modest attention to a became aware that there were multiple lists of projects major pest problem, and its staff structure is supposedly being carried out, that personnel lists were changing rapidly. generally out-of-date, and that there were minimal financial monitoring procedures. A considerable (10) For A A R D management. Here we see that amount of information was missing, and much of what breeding and agronomy get most attention at this did exist was of questionable validity and reliability. institute, and that pathology and economics get almost none. As a result of this case study, A A R D and ISNAR staff worked together to develop procedures for collecting (11) For institute management. Here we see that the the kinds of information everyone agreed was needed, 139 for moving it from institutes to the secretariat (and, in educational background, career, civil service some cases, the other way), for managing it (mostly using status, etc. Instead, we pared such a ’’wish list” microcomputers), and - most important - for using it. down to 22 variables which most officials seemed to agree were most useful for manpower LESSONS LEARNED and training planning. What have we learned? In other words, lots of things might be interesting to know, but we have had to ask hard I believe that the lessons fall into two broad categories: hard questions about our ability to collect data, considerations regarding the design of an MIS, and to move it, to manage it, and - again, most awareness of management constraints to the important - to use it. development and improvement of an MIS. (b) Similarly, we have moved slowly on increasing Design considerations the geographic coverage of the MIS. Once again, some officials advised that we should try Here there are at least three sub-lessons. to include all institutes, centers, and stations in the first year. In fact, we covered only about (1) The need for flexibility with regard to objectives, 30% in 1986-87-and were continually conscious content, and uses/users. of the need to get as many of our methods and procedures as correct as possible as early as Such a statement may surprise some of you. possible. Certainly the academic literature on MIS gives Now our target for this second year, 1987-88, is considerable attention to the need to be precise to increase this coverage to about 70%. about objectives, content, and uses/users AT TH E BEGINNING. (3) The need to encourage multiple uses and users. We have continually faced the very real danger that But over the course of the past year, we have institutes and centers will see the whole MIS continually changed the content of the information enterprise as a ploy to encourage policy and being collected, the way in which it is managed, and management centralization. As a result, we’ve tried the forms in which it is presented. to involve such institutes/centers to the maximum extent possible from the beginning. Two activities The approach, in other words, has really been a are important. ”bottom-up” one. W e’ve preferred to let the system grow, rather than to start with a preconceived notion (a) Tailoring the output from the MIS to the needs (or model) of what should be included and what of center and institute managers. should be accomplished. (b) Setting up the various MIS databases at the (2) The importance of starting small. Such a strategy is institutes/centers themselves, so that the units obviously a natural corollary of a ”bottom-up” of A A R D become not only the providers of approach. Our preference for modesty has two information but also the primary users of it. implications. Management Constraints (a) We have tried to include only minimal, essential information in the first stage of the Here again there are at least two types of lessons learned. expanded MIS. An example regarding information on personnel will illustrate this (1) Management attitudes may not be supportive. Do point. senior managers understand the need for an MIS as an input to planning, monitoring, and evaluation? When we began, some A A R D officials advised And - even more important - do they really want that we should try to include all information on good information? personnel now contained in individual files at the secretariat and at the institutes. Had we A A R D and ISNAR have discovered that the answer taken this advice, however, we would have to the first question is not as obvious as we had wound up with more than 100 variables on thought. Managers at different levels of the system 140 have over time developed their own procedures for Processing - all of whom, in turn, depend on people planning, monitoring, and evaluation (PME) and/ from the centers and institutes. or, quite often, they have developed mechanisms to Part-time staff commitments, such as the ones which avoid performing such functions altogether. The have been made in Indonesia, are almost certainly idea that PME depends on good information is not appropriate for the early stages of MIS work. But in always accepted. the long term, full-time assignments are essential. The logical home for such staff is in units concerned Nor may the basic idea of an MIS be acceptable... with planning, monitoring, and evaluation. Managers may not want to know about the details of their research projects, personnel, and finance, and/ With regard to micros, I hesitate to make or, almost certainly more important, they may not generalizations, though I recognize that issues of want others to know. Some of the types of sample new technologies for management are important output which I’ve handed out to you clearly have the ones. Clearly the sheer volume of information potential for making some people uncomfortable. generated in a big NARS like the Indonesian one requires management and analysis by computer. In (2) The resources required for an MIS may be in short addition, A A R D is fortunate to have substantial supply. Here I am talking primarily about people numbers of scientists and managers with at least and, at least in some of the bigger NARS, about some computer experience. But let me stress again, microcomputers. as I did at the outset, that an MIS does not depend on computers. In fact, in a small NARS, in which the The demands on staff time in developing and volume of information required is not great, perhaps improving an MIS are not small. In Indonesia, for the most efficient and effective way to begin is with a example, the MIS team at the secretariat level good paper-and-pencil system. consists of people from the Program Formulation Division, the Personnel Division, the Finance As in all of research management, the substance is Division, and the Center for Agricultural Data more important than the procedure. 141 EXHIBIT 1. LIST OF PROJECTS AT SAMPLE RESEARCH INSTITUTE 1986/1987 Project Number Project Name Program of which Project is Part 3 0 2 4 0 1 8 6 8 7 Studi Pewarisan Sifat Pembentukan Varietas Padi Unggul Komponen Produksi dan Pewarisan Sifat 3 0 2 5 0 1 8 6 8 7 Studi Pewarisan Sifat Pembentukan Varietas Padi Cere dan Bulu Unggul dan Pewarisan Sifat 30 2 6 0 1 8 6 8 7 Studi Keragaman Sifat Pembentukan Varietas Padi Unggul Tanan Bias Pada Bebe- dan Pewarisan Sifat rapa Varietas Padi Gogo Lokal 3 0 2 7 0 2 8 6 8 7 Pertananam Sumber Persi- Pembentukan Varietas Padi Hibrida langan 3 0 2 8 0 2 8 6 8 7 Pertanaman Test Cross dan Pembentukan Varietas Padi Hibrida Back Cross 3 0 2 9 0 2 8 6 8 7 Evaluasi dan Perbanyakan Pembentukan Varietas Padi Hibrida Cms, Maintainer dan Restorer 3 0 3 0 0 2 8 6 8 7 Studi Genetik Pembentukan Varietas Padi Hibrida 3 0 3 1 0 2 8 6 8 7 Perbanyakan Benih Hibirida Pembentukan Varietas Padi Hibrida 3 0 3 2 0 2 8 6 8 7 Uji Daya Hasil Pembentukan Varietas Padi Hibrida 3 0 3 3 0 3 8 6 8 7 Pemupukan NPK Jangka Pan- Cara bercocok Tanam dan Pemupukan jang Padi Sawah Padi Untuk Memantapkan Hasil 3 0 3 4 0 3 8 6 8 7 Pupuk Azolla Jangka Pan- Cara Bercocok Tanam dan jang Pemupukan Padi Untuk Memantapkan Hasil 142 EXHIBIT 2. LIST AND TOTAL COST OF PROJECTS (BY PROGRAM) AT SAMPLE RESEARCH INSTITUTE, 1986-87 Project Number Project Name Cost (Rp 0001 3013018687 Daya Hasi l Lanjutan Padi Gogo Rancah 6152 3015018687 Breeder Seed 11771 3017018687 Perbanyakan Galur Harapan Padi Gogo 5875 Subtotal 268932 02 3027028687 Pertanam Sumber P e r s i l a n g a n 6692 3028028687 Pertanam Test Cross dan Back Cross 7181 3029028687 Evaluasi dan Perbanyakan Cms, M a in ta in e r dan R e s to r e r 9399 3030028687 Studi Genet ik 9370 3031028687 Perbanyakan Benih H ib r id a 7306 3032028687 Uji Daya Hasi l 7154 Subtotal 47102 03 3033038687 Pemupukan NPK Jangka Panjang Padi Sawah 13904 3034038687 Pupuk A zo l l a Jangka Panjang 7193 3035038687 Penggunaan Bahan Organik Pada Padi Sawah 8427 3036038687 Cara Pemberian P Pada Padi Gogo 5017 3037038687 Respons V a r i e t a s Terhadap P 4162 3046038687 Pengendal ian Gulina Pada Tanaman Gogo Dilahan PMK Sumatera S e la tan 4318 143 EXHIBIT 3. BUDGET ALLOCATION BY PROGRAM AND PROJECT AT SAMPLE RESEARCH INSTITUTE P r o i e c t Sci en t i s t Other Number Cost Personnel Sudd!i es Eaui Dment T ravel Overhead Total Costs Pembentukan Varietas Padi Unggul dan Pewarisan Si tat (....) ( ..... ) (....) (---.) (....) (....) (.....) (.......) 3003018687 2 ,665 .7 3 698.00 278.00 71.00 694.00 8,969 .00 13,375.73 3005018687 1,102 .39 347.00 132.00 36.00 347.00 4 ,484 .00 6 ,448 .39 3007018687 2 ,000 .0 5 698.00 265.00 71.00 694.00 8,969 .00 12,697.05 3009018687 596.25 1,744.00 662.00 178.00 1,734.00 22, 422.00 27,336.25 3011018687 1,157.77 2 ,084 .0 0 794.00 214.00 2 ,081 .0 0 26,907.00 33,237.77 3013018687 800.02 350.00 132.00 39.00 347.00 4 ,484 .0 0 6,152 .02 3015018687 1,076 .98 695.00 265.00 71.00 694.00 8,9 69 .00 11,770.98 3017018687 519.26 356.00 132.00 37.00 347.00 4 ,484 .0 0 5,875.26 86 38 ,439 .8 5 15 ,334.00 5 ,868 .0 0 1,548.00 14,919.00 192,824.00 268,932.85 Pembentukan Varietas Padi Hibrida 3027028687 1,123 .04 484.00 205.00 49.00 347.00 4 ,484 .0 0 6,692 .04 3028028687 1,600.33 477.00 205.00 68.00 347.00 4 ,484 .0 0 7,181.33 3029028687 4,106 .11 277.00 142.00 43.00 347.00 4 ,484 .0 0 9,399.11 3030028687 2 ,484 .7 3 1,384.00 559.00 111 .00 347.00 4 ,484 .0 0 9,369.73 3031028687 1,951 .28 311 .00 164.00 49.00 347.00 4 ,484 .0 0 7,306 .28 3032028687 1,7 19 .65 381.00 173.00 49.00 347.00 4 ,484 .0 0 7,153 .65 12 12,985.14 3 , 314 .00 1,448 .00 369.00 2 ,082 .0 0 26, 904.00 47,102 .14 Cara Berocock Tanam dan Pemupukan Padi Untuk Memantapkan Hasil 3033038687 7 ,937 .2 7 830.00 273.00 33.00 347.00 4 ,484 .0 0 13,904.27 3034038687 1 ,197.29 830.00 273.00 62.00 347.00 4 ,484 .0 0 7,193.29 3035038687 2 , 343 .66 969.00 221.00 62.00 347.00 4 ,484 .0 0 8,426.66 3036038687 2 ,002 .0 2 415.00 123.00 62.00 173.00 2,2 42 .00 5,017.02 3037038687 1,171 .83 415.00 123.00 37.00 173.00 2 ,242 .0 0 4,161 .83 3046038687 1,303.12 415.00 123.00 62.00 173.00 2,2 42 .00 4,318 .12 3039038687 1,824 .35 415.00 123.00 62.00 173.00 2 ,242 .0 0 4,839 .35 ( .... ) ( .... ) (....) (....) (....) ( ..... ) (.....) 144 EXHIBIT 4. STAFF (BY PROJECT) AT SAMPLE RESEARCH INSTITUTE Name Grade Unit Project Res Res Admin Admin Sht.Trm Sht.Trm. Lng.Trm Lng.Trm Work Work In Total Cost Number Time Cost Time Cost Time Cost Time Cost Out Cost Time (*) R'000 (*) R'000 ( X ) R'000 (*) R'000 (*) R'000 ( X ) Dr.M.Sudjadi Sudjono P 10481 3426008687 15.0 1572 0 0 0 .0 0 0.0 0.00 0 0.00 15.0 P 10481 3112168687 10.0 1048 0 0 0 .0 0 0.0 0.00 0 0.00 10.0 P 10481 3152228687 20.0 2096 0 0 0 .0 0 0.0 0.00 0 0.00 20.0 P 10481 3115168687 10.0 1048 0 0 0.0 0 0.0 0.00 0 0.00 10.0 P 10481 3113168687 15.0 1572 0 0 0 .0 0 0.0 0.00 0 0.00 15.0 P 10481 3153228687 20.0 2096 0 0 0 .0 0 0.0 0.00 0 0.00 20.0 P 10481 3901008687 0.0 0 5 524 0 .0 0 0.0 0.00 0 0.00 5.0 P 10481 3902008687 0.0 0 0 0 5.0 524 0.0 0.00 0 0.00 5.0 Subtotal 90.0 9433 5 524 5.0 524 0.0 0.00 0 0.00 100.0 Dr.Moch.Sultoni Arifin a jp 3994 3905008687 0.0 0 0 0 0.0 0 0.0 0.00 100 3994.00 0.0 Subtotal 0.0 0 0 0 0.0 0 0.0 0.00 100 3994.00 0.0 Dr.Moh.Fathan Muhadjir a jp 9308 3064058687 12.0 1117 0 0 0.0 0 0.0 0.00 0 0.00 12.0 a jp 9308 3902008687 0.0 0 0 0 10.0 931 0.0 0.00 0 0.00 10.0 a jp 9308 3425008687 10.0 931 0 0 0 .0 0 0.0 0.00 0 0.00 10.0 a jp 9308 3423008687 10.0 931 0 0 0 .0 0 0.0 0.00 0 0.00 10.0 a jp 9308 3172278687 12.0 1117 0 0 0.0 0 0.0 0.00 0 0.00 12.0 a jp 9308 3901008687 0 .0 0 10 931 0.0 0 0.0 0.00 0 0.00 10.0 a jp 9308 3183318687 12.0 1117 0 0 0.0 0 0.0 0.00 0 0.00 12.0 a jp 9308 3403008687 12.0 1117 0 0 0.0 0. 0.0 0.00 0 0.00 12.0 a jp 9308 3107138687 12.0 1117 0 0 0.0 0 0.0 0.00 0 0.00 12.0 Subtotal 80.0 7446 10 931 10.0 931 0.0 0.00 0 0.00 100.0 Dr.Moh.Kosim Kardin s 7019 3902008687 0 .0 0 0 0 100.0 7019 0.0 0.00 0 0.00 100.0 Subtotal 0.0 0 0 0 100.0 7019 0.0 0.00 0 0.00 100.0 Dr.Moh. Fatchurochim M. asp 5314 3141208687 15.0 797 0 0 0.0 0 0.0 0.00 0 0.00 15.0 asp 5314 3138208687 30.0 1594 0 0 0.0 0 0.0 0.00 0 0.00 30.0 asp 5314 3140208687 15.0 797 0 0 0.0 0 0.0 0.00 0 0.00 15.0 asp 5314 3904008687 0 .0 0 0 0 0.0 0 0.0 0.00 0 0.00 0.0 asp 5314 3204408687 20.0 1063 0 0 0.0 0 0.0 0.00 0 0.00 20.0 asp 5314 3205418687 20.0 1063 0 0 0.0 0 0.0 0.00 0 0.00 20.0 ( . . . . ) EXHIBIT 5. PROJECTS (BY STAFF INPUTS AND COSTS) AT SAMPLE RESEARCH INSTITUTE Project Name Grade Unit Cost Res.Time Res.Cost Adm.Time Adm. Cost Number % Rp. 000 % Rp. 000 3431008687 I r . Harnoto a jp 9308 23.40 2178.07 0.00 0.00 3431008687 I r . Henny Mayrowani s 7019 45.00 3158.55 0.00 0.00 74.40 5895.10 0.00 0.00 Potential and Constraints of Maize Production in Upland Areas of Java Indonesia (ESCAP) 3432008687 I r . Aman Djauhari a j p 9308 15.60 1452.05 0.00 0.00 3432008687 I r . Adimesra D ju l i n s 7019 51.00 3579.69 0.00 0.00 3432008687 I r . Sar i S u t iyo Rini s 7019 36.00 2526.84 0.00 0.00 102.60 7558.58 0.00 0.00 Evaluasi Kendala Pemantaalan Kredit Tenaga Ternak di Daerah Transmigrasi (Diljen Peternakan Projek IFAD) 3433008687 I r . Aman Djauhari a jp 9308 15.60 1452.05 0.00 0.00 15.60 1452.05 0.00 0.00 Pemangkasan Tanaman Kedele Terhadap Kualitas Biji 3434008687 Dr.I r .Abdu l Karim Makarim ajp 9308 4.00 372.32 0.00 0.00 4.00 372.32 0.00 0.00 Identifikasi Usahatani Di Hulu Daerah Aliran Sungai 3435008687 I r . Al Sri Bagyo asp 8076 45.00 3634.20 0.00 0.00 45.00 3634.20 0.00 0.00 Penelitian Soybean (Biaya Sadi kin Somaatmadja Sendiri) 3438008687 Sadi kin Somaatmadja ap 11,925 70.00 8347.50 0.00 0.00 70.00 8347.50 0.00 0.00 No Kegiatan Name 3901008687 Ir.Achmad Husni Malian s 7019 0.00 0.00 10.00 701.90 3901008687 I r . W i d h i a t i Adi 1 Hadi s 7019 0.00 0.00 10.00 701.90 3901008687 I r . J a l e n g Sulaiman asp 8076 0.00 0.00 2.00 161.52 3901008687 Dr. Subandi ap 11,925 0.00 0.00 20.00 2385.00 3901008687 I r . Endang S u h a r t a t i k asp 8076 0.00 0.00 5.00 403.80 3901008687 I r . Sup apto Hardjo Sumadi aj p 9308 0.00 0.00 75.00 6981.00 3901008687 Adiono Pa.Bso s 7019 0.00 0.00 100.00 7019.00 3901008687 I r . Hendrik V i r g i l i u s asp 8076 0.00 0.00 3.00 242.28 3901008687 Dr. Zainuddin Harahap ap 11,925 0.00 0.00 30.00 3577.00 ( ) 146 EXHIBIT 6. LIST AND COST OF PROJECTS BY COMMODITY AT SAMPLE RESEARCH INSTITUTE 1986-87 P r o j e c t Number P r o j e c t Name Cos t (Rp 000) ( ) ( ) (. 3108138687 Root D i s t r i b u t i o n and N u t r i e n t Uptakes 6953 3114168687 Metodologi Uji Ketahanan V a r i e t a s Jagung dan Sorghum Terhadap Penyak i t Utama ( B u l a i , Karat d l l ) 3955 3432008687 P o t e n t i a l and C o n s t r a i n t s o f Maize P roduc t ion in Upland Areas of J ava , In d o n e s i a (ESCAP) 9801 S ub to ta l 208,818 Kacang 3436008687 Respon Kacang-Kacangan Dal am Kerapatan Populasi Tinggi Terhadap Perlakuan Zat Penghambat Tumbuh (PGR) 2242 3191348687 Pertanam Koleksi Kacang-Kacangan 6844 3155238687 P e n e l i t i a n Evaluasi 11,989 3154228687 P e n e l i t i a n Penyak i t Bakte r i Kacang-Kacangan 11,871 3401008687 Legume C u l t i v a r S e l e c t i o n f o r Cond i t ion A f t e r Lowland Rice and Acid Soi l (1984-1 987) (Canada) 4452 3409008687 Food, Legume and Course Grain (19 8 2 -1 9 8 7 ) (FAO/UNDP) 2958 3406008687 Pigeon Pea Improvement Phase I I (ACIAR-8567) ( 1985-1988) (Au s t r a l i a/ACIAR) 2714 S ub to ta l 43,070 Kacang h i i a u 3119188687 H i b r i d i s a s i Kacang Hijau 4546 3122188687 S e le ks i Pembentukan Kacang Hijau 4246 3129188687 Uji Daya Hasi l Pendahuluan G alu r -Ga lu r Kacang Hij au 7990 ( ) ( ) ( - . . . ) 147 EXHIBIT 7. LIST AND COST OF PROJECTS BY DISCIPLINE AT SAMPLE RESEARCH INSTITUTE 1986-1987 P r o j e c t Number P r o j e c t Name Cost (Rp 000) ( ) ( ) ( ) 3167268687 P e n e l i t i a n Daya Guna dan Has i l Guna Ja sa d Renik (M ycor rh ih iza ) 4342 3168268687 Pengaruh Cara Pen genda l i an Gulma Pada Ubi Kayu 3793 3169268687 Penampilan S i f a t Agronomis Klon Harapan Ubi Kayu 5460 S u b to t a l 424,835 Ekonomi 3197378687 Evaluas i Program Pengapuran Dal am Rangka Pening- ka tan Produksi Kedelai 24,555 3433008687 Evaluas i Kendala Pemanfaalan K re d i t Tenaga Ternak di Daerah T ransm igra s i ( D i t j e n Pete rnakan - Projek IFAD) 3694 3196368687 Pengaruh Penetapan Mutu Gabah/Beras Yang Dibel i BUL0G Terhadap Pendapatan Petani Padi 15,369 3195358687 Dampak Program Pence takan Sawah Terhadap Pening- ka tan Pendapatan 4876 S u b to t a l 48,494 F i s i o l ogi 3180318687 Pengaruh Curah Hujan Pada S t a d i a Pemasalahan Po- long Terhadap Mutu Benih Kedelai 7874 3107138687 Pengaruh Pemakaian Mulsa Terhadap Pertumbuhan dan Hasi l Jagung di Lahan Ker ing 4037 3183318687 E f f e c t of Edaphic and F ie ld Environment on Seed Q u a l i t y (Kerjasama JICA) 9976 ( ) 148 EXHIBIT 8. LIST AND COST OF PROJECTS (BY STAFF INPUTS) ON BROWN PLANT HOPPER AT SAMPLE RESEARCH INSTITUTE Project Number JUDUL RPTP (Title of the Program) Percentage of Time Spent TOTAL BIAYA JUDUL KEGIATAN (Title of the Project) (Budget Rp 000) 3068068687 Jud.RPTP: P e n e l i t i a n Pengendal ian Hama P a d i / P e n e l i t i a n Ekobiologi Hama Padi 9 ,880 .0 Jud.Keg. : H i b r i d i s a s i dan Perkembangan B i o t ip e Wereng Cokla t Pelaksana: Dr. I r . Ida Nyoman Oka 12 I r . Bahagiawati A.H. 16 I r . R.S. D ja tn ik a K i l i n 9 3418008687 Jud.RPTP: Kerjasama/Swasta 13,061.0 Jud.Keg. : P e n e l i t i a n , Penaggulangan Hama Padi Wereng Cok la t dan Virus Lainnya ( In p res 3) 1986 ( D i r e k t o r a t Je nde ra l P e r t an i an Tanaman Pangan) Pelaksana: D r . I r . Ida Nyoman Oka 6 D r . I r . J u s t i n u s S o e j i t n o 7 I r . A r i f i n Kar tohard jono 37 I r . Jumanto Hardjosudarmo 9 I r . R.S. D ja tn ik a K i l i n 36 I r . Soewito T jokr owid jo jo 20 3074068687 Jud.RPTP: P e n e l i t i a n Pengendal ian Hama P a d i / P e n e l i t i a n Ekobiologi Hama Padi 13,728.0 Jud.Keg. : H i b r i d i s a s i dan Diskr im inas i Inang Wereng Hijau Pelaksana : D r . I r . Sri Suharni Siwi 40 I r . I . Gusti Putu A l i t 57 3073068687 Jud.RPTP: P e n e l i t i a n Pengendal ian Hama P a d i / P e n e l i t i a n Ekobiologi Hama Padi 11,747.0 Jud .Keg . : S k r in ing Wereng Hijau Pelaksana : I r . A r i f i n Kar tohard jono 37 I r . I . Gusti Putu A l i t 38 3420008687 Jud.RPTP: Kerjasama/Swasta 3 ,185 .0 Jud.Keg. : Penguj ian I n s e k t i s i d a Gusodrin 15 wcc Terhadap Wereng Coklat (P.T. A lf a Abadi P e s t i s i d a I n d u s t r i ) Pelaksana : Panudju Pudjokaryono Total Budget: 51,601.0 EXHIBIT 9. Data From One Sample Research Institute Issues For TOP POLICY MAKERS This institute has the national mandate for irrigated rice. (1) Its budget is 3% of the total AARD budget. Wetland rice contributes 20% of AGDP. (2) 35% of the institute budget goes for research on palawija crops and cropping systems. (3) 89% of the budget is spent within 50 kilometers of the main station. (4) 3% of the budget goes for research on brown plant hopper. (5) 28% of the current graduate staff are on training. When they return, approximately 25% of the graduate staff will have Ph.D.'s and 25% will have M.Sc.'s. EXHIBIT 10. Data From One Sample Research Institute Issues for AARD MANAGEMENT Research Program Areas By Discipline Plant Breeding 34% Agronomy 26% Agricultural Engineering 18% Pest Management 9% Cropping Systems 9% Plant Diseases 4% Agricultural Economics 0% 150 EXHIBIT 11. Data From One Sample Research Institute Issues for INSTITUTE MANAGEMENT Research Program Areas Rice Mechanization and Post-Harvest Technology 22% Rice Breeding 16% Rice Pests and Diseases 11% Hybrid Rice 10% Irrigation and FSR 10% Rice Agronomy and Fertilizers 1% Grain Legume Breeding 6% Hybrid Maize Breeding 4% Wheat Breeding 3% Other 8% EXHIBIT 12. Data From One Sample Research Institute Issues For PROGRAM MANAGEMENT The Rice Breeding Program consists of 14 research activities. Perbanyakan Benih CMS dan Benih Hibrida 17.6% Verifikasi/Uji Adaptasi Galur Harapan 12.3% Penelitian Sumber Bahan dan PembuatanP ersllangan 11.9% Observasi Daya Hasil 9.8% 51.6% TEN other activities 48.4% 151 152 RESEARCH INFORMATION SYSTEMS FOR AGRICULTURE AND NATURAL RESOURCES IN THE PHILIPPINES Ramon V. Valmayor Executive Director, PCARRD and Cynthia R. Mamon Chief, MIS The Philippines When the Philippine Council for Agriculture Research * to generate and analyze management and statistical (PCAR) was created on November 10, 1972, one of its reports to support PCA RR D operations and internal mandates was to establish a repository for research control activities; information in agriculture. When it was renamed the * to develop PCA RR D MIS masterplan, hardware Philippine Council for Agriculture and Resources development, and ED P organization programs; Research and Development (PCA RRD ), the * to act as liaison to various computer/information development function was added, and its scope was centers. extended not only to cover agriculture but natural resources as well. To provide for the agency’s data processing requirements, PC A R R D has installed two multi-user ESTABLISHMENT OF THE Altos microcomputer systems, Model 986-40, with 13 MANAGEMENT INFORMATION terminals distributed among the various technical SERVICES (MIS) UNIT divisions, the MIS Unit, the Office of the Executive Director, and the Deputy Executive Director for Aware of the critical importance of research program Research. planning, monitoring, and evaluation, PCA RR D made initial attempts in 1974 to computerize the compilation CURRENT INFORMATION SYSTEMS AND of research projects that pass through P C A R R D ’s COMPUTER APPLICATIONS evaluation mechanism. To provide a proper organization to develop the agency’s information To date, P C A R R D ’s MIS has developed seven systems to support its operations, the Management information systems. They are: Information Services (MIS) Unit was established in 1977 with the following objectives: 1. Research Management Information System (RMIS) * to provide updated and relevant information for effective planning and decision-making; The RMIS is the information processing support for * to analyze the information needs of the PCA RRD the research program planning and monitoring Secretariat and the national network of research functions of PCA RRD. This provides a computer- centers and stations; assisted system to create files of proposed, new, and * to develop manual and computerized information on-going research projects, support the preparation systems and databases for efficient information and integration of the national research program, storage, processing, and retrieval; consolidate budgetary plans, and maintain files of * to act as the central electronic data processing (EDP) approved research projects for monitoring and unit of PCA RRD and provide computer processing evaluation. This supports on-line data entry for services to PCA RRD researchers, scholars, and other updating and inquiry about the research programs users; and/or about any record in the files. * to strengthen the functional linkages of research centers and stations through a systematic and effective This system provides the only comprehensive information network; database of on-going research in agriculture and 153 natural resources in the country. The RMIS database System, which provides a database on the bio-data of also provides inputs to the FAO-developed global all PCA RRD Secretariat personnel. database called the Current Agricultural Research Information System (CARIS). 5. Financial Management System (FMS) 2. Research Information Storage and Retrieval This system provides management with financial System (RETRES) indicators to formulate operating plans and institute financial control. It is currently being tested to run This system was designed to establish a databank of on the Altos 986-40 microcomputer to assist in the terminal reports of completed research projects, monitoring of PCARRD-GI A-funded projects. The publications, monographs, and other library system provides management reports showing a materials and develop a query system that facilitates comparative analysis of approved, recommended literature searches. This system will assist selective buget vis-a-vis actual releases, disbursements, dissemination of information (SDI) and provide the and liquidations of individual project funds. system interface between the computer and the manual library system at the Scientific Literature 6. Publications Mailing System Services (SLS) Unit. 7. Administrative Support Information System This complements the RMIS which deals with on­ (ADSIS) going research, while RETRES concerns itself with bibliographic abstracts, research publications, and technical reports of completed research. RETRES PLANS FOR THE FUTURE also provides inputs to another FAO-developed global database called AGRIS - the International Although PCA RRD has made some notable Information System for Agricultural Sciences and achievements in the development of comprehensive Technology. agricultural and resources research information systems, further work is planned to support the National 3. Equipment Infrastructure Management Research and Development Network. This includes the System (EIMS) creation of specialized commodity databases, i.e., a banana germplasm data bank and the agro-crop-climatic Based on the results obtained in the resources soils databases necessary for technology transfer surveys, EIMS provides a computer-based inventory activities. of all equipment and infrastructure resources of agencies in the National Research and Development We also intend to bring the RMIS and RETRES systems Network. This system covers information on the into the regions so that the benefits of these databases location, distribution, and utilization of all research will not be confined to the national level. However, to equipment in the country and provides the necessary achieve this, we need financial support to provide information for equipment acquisition and hardware and software resources to the National maintenance programs of the Institutional Research and Development Centers. Given the support, Development Department (IDD). we hope to establish in the National Research and Development Centers the data processing capability that 4. Manpower Management System (MMS) they need so that all information in PCA RRD's databases will be made available and accessible to them A computer-based system, the MMS provides through diskette exchange. We also hope to upgrade our complete information on all researchers involved in existing computer systems so that the archival concept in agricultural and natural resources research. The storing agriculture and resources research information main output is the Directory of Research Manpower will be achieved. At present, our computer system can Resources in Agriculture, Forestry, Fisheries and only accommodate an annual national research program Mines. It also provides information on the location, due to limited storage capabilities. distribution, and specialization of the research manpower resources in the National Research and Internationally, although we are a major contributor to Development Network (NRDN). the CARIS and AGRIS systems, we hope to achieve It has a sub-system, the Personnel Information information exchange with other international agencies 154 so that the benefits of our information systems will be shared with our Asian neighbors and other developing countries. 155 156 PROGRAM FORMULATION AND PROGRAM BUDGETING Paul Marcotte Visiting Research Fellow ISNAR INTRODUCTION This, then, becomes the input for the professional- operational level. At this level, heads of departments The purpose of this paper is to describe program and researchers design the short-term program to align formulation and program budgeting as components of a capabilities, facilities, and research problems. The larger process. This larger process is illustrated in Figure output is the approval of experiment proposals. 1, as an example of a rational, decision-making model of a national agricultural research system (NARS). This becomes the annual program and budget at the researcher level. In this rational model, the activities required for a The output is scientific information. This information functioning organization take place at discrete decision can be systematically fed back on each or all of the levels (national, institutional, and professional/ decision levels, and passed on to the client/user groups. operational), over time. While decisions are made independently at the various levels, the levels are It is this linkage, the integration of the program and the connected by the flow of information downward through budget, which is of particular importance for this the system, and by feedback loops transmitting the program. This is a critical point in the model, as it is at results of the research endeavor. this juncture that the prioritization and selection of programs is connected to the research implementation In this rational system, the outputs from one level and information generation phases of the process. become the inputs for another. For example, at the national level, the goal is priority setting for the research PROGRAM FORMULATION PROCESS enterprise. The inputs necessary at this level are the national development objectives, which are formulated It is essential at the outset of implementing a program by an interactive group of politicians, advisors, and formulation process that an understanding of the interested groups. The outputs at the national level are parameters of the process and its component parts be research priorities and resource allocation. established. To begin, it is necessary to define the stages of the process. The outputs from the national level become the inputs for the institutional level. The objectives at this point are Research planning is the stage in which development to create a long-term plan with respect to the prescribed objectives and strategies are transformed into research inputs and to interpret the directives. This is objectives, priorities, and long-, medium-, and short­ accomplished by research directors and advisory groups, term strategies, and into which resources are allocated such as senior staff and regional committees. The specific to major program thrusts reflecting these priorities and outputs from this level are research objectives, program/ strategies. project prioritization, and resource planning. Research programming is the stage in which coherent Note: The author wishes to acknowledge that he drew sets of research activities are defined at different levels upon the works of several ISNAR staff in the of disaggregation corresponding with increasing preparation of this presentation, in particular that of specificity of objectives (programs, projects, operations, Matthew Dagg and Rene Devred. experiments), arranged in a well-defined time frame. 157 and organized in such a way as to match with existing * Clear — the program elements are clearly defined to human, physical, and financial resources. facilitate audience understanding. PBS provides information to the framework within * Fiscally responsible — the program reflects a realistic which this prioritization and allocation process can take budget for key research within limited resources. place. Initially, the main priorities for research and the allocation of resources are set at a policy level. The long­ PROGRAM FORMULATION INPUTS term program of the institution is decided by senior scientists and administrators on the basis of constraints Elements necessary to delineate the program to be overcome and opportunities to be exploited. It formulation process are: requires stability and continuity, as research problem selection is based on: (a) immediate significance but * Long-term plan — the long-term planning which is execution of long duration; or (b) research that must be performed by the upper levels of management initiated at present in order to be ready for future needs. provides the parameters within which to orient the short-term planning at the researcher level. The short-term or annual research program is usually determined on the basis of current staff and facilities, * Criteria fo r assessing priorities — the policy criteria for within the guidelines of the long-term program. It is this prioritization should be provided by government and short-term process that is the specific program senior management in order to assure objectivity and formulation concern, as it is by definition dynamic, appropriateness. adaptable to changing conditions, and incorporates the realities of the agricultural research workers within a * Research Personnel — well-trained research and given system. technical staff are essential inputs at the institutional and research levels. THE GOAL OF PROGRAM FORMULATION * Facilities — work plans must be based on facilities that The goal of program formulation is to establish an are currently available. effective and efficient short-term (annual) research program to facilitate national development. This goal * Funds — proposals, ranked by priority, should be can be realized by creating a research-user partnership prepared based on preliminary funding estimates. This which rests upon the principle that a publicly funded budget constraint and proposal prioritization will research organization should be programmatically and allow for unworthy projects to be terminated. fiscally accountable, and at the same time, should have a Experiments and studies requiring funds in addition to responsibility to meet the needs of the country. the budget estimate should be prepared in anticipation of budget supplements or entrepreneurial funding. The characteristics of the final programmatic selection This will allow for marginal resources to shift from one should be the following: sector to another if there is a clear demonstration of research importance. * Appropriate — the program experiments and studies are appropriate to the country in terms of size and * Information on the user to be served — there needs to sophistication; and realistic in relation to its be an information flow from the community served to environment and resource availability. the researcher proposing and conducting experiments (a researcher-user partnership) so that experiments * Relevant — the program selected from a wide range of will be designed to serve the primary clients. experiments and treatments is relevant to the client groups as targeted within the adopted criteria for * Information on Service!Development agencies — performance. research-generated benefits depend upon appropriate inputs, infrastructure, and institutions. Because * Quality — the program consists of quality experiments capabilities are limited, the research that development that penetrate to the core of the problem with minimal agencies are likely to support are an important effort, and are designed with scientific and statistical influence on the scientific experiment or treatment care so valid conclusions can be drawn. selection. 158 * Appropriate body — an appropriate body is necessary to the policy makers should match the demands and for reaching decisions on alternative choices of requirements of the demand sector: i .e . , the clients, such experiments. as commodity groups, consumers, and farmers. The participants intervening at this level are the political At this point the desired characteristics and the program decision makers, a national research council, a scientific formulation inputs are synthesized into the short-term and technical committee, ministry senior staff, and (annual) plan. The mechanism which facilitates this political influence groups, such as: commodity lobbies; synthesis depends on the size, sophistication, and type of agriculture faculties; advisory committees; and agro­ management which is in place. While it is not possible to industry groups. Depending on the specific history and describe all the types, because each is dependent upon sophistication of the research endeavor, it is recognized unique conditions, there are general types. For example, that not all of these participants at this level may be in it is characteristic of research organizations for the existence or assume an active role. It is also understood individual researchers to have greater technical expertise at this level that clients will have different and possibly than the managers. In this case the individual scientist’s conflicting demands within the limited national resource judgement may be adequate for assessing priorities of potential, so establishing client interaction is necessary. experiments. Thus, a collegial style of management is For example, an export-oriented commodity association appropriate. may be specifically interested only in its commodity despite the fact that it may be in direct competition for However, depending on the program criteria established land required for production for consumption. Thus, the at the upper levels, in order to assure objectivity, senior interactive group, with interests and vision beyond the management may need to establish a program immediate, can negotiate a compromise. committee. This provides a wider viewpoint and assures that the program is both effective and efficient The Institution Level concerning the adopted criteria. The institutionalization and/or permanence of this committee system depends It is at the institutional level where the detailed on the needs of the managers and planners. agricultural research planning is accomplished. At this level, a research strategy is developed to address the THE FRAMEWORK national priorities, as well as support its request for an adequate share of the sector total. The task is to interpret The process by which program formulation goals and the directives established at the national level and inputs interact is highlighted in Figure 1: Rational synthesize the disciplines available at the institution in Decision Model. While this process is hierarchical, the direction dictated by the strategy. Specifically, the decisions on allocations and resource utilization are tasks are to design a research program within the made discretely at the various levels. This recognizes guidelines established, and to prioritize and implement that while general administration functions of the the research program. In the program design the management structure can be performed hierarchically, following concerns must be addressed: 1) the attainment program formulation requires a collegial style (first of goals that have been set at the national level; 2) among equals), with leadership replacing authority. maintenance of high scientific standards; and 3) science must be oriented to practical goals. The National Level Essential to the process at this point is the clarification At the national level, the decisions made are concerned and understanding of the downward flow of information with priority setting for a national development policy to orient the program design and the upward flow from and the resources required for implementation. Usually, the scientific contingent to provide assessment in the agricultural sector, resources are allocated to the capabilities. sector as a whole rather than to the individual subsectors such as research and extension. The task at this level is to The Professional-Operational Level provide directives on: research priorities; research objectives; and target groups. Of necessity, at this level At the professional-operational level, decisions are it is a broad conceptualization and strategic in nature taken on the approaches necessary for achieving the rather than specific. It is at this level that the synthesis of priority objectives through programs and projects. It is supply and demand of research needs and capabilities at this level that the local and individual scientist’s should occur. Ideally, the supply of information on knowledge is utilized to decide the best approaches to scientific programs submitted from the institutional level the accomplishment of specific research objectives. 159 The area of participation at this level is the allocation of - receipt of a balanced program and budget approved research problems to departments and scientists with the with respect to the expressed objectives. intention of proposal preparation, experimentation, and monitoring and evaluation of the individual projects. PROGRAMS, PROJECTS, OPERATIONS, ACTIVITIES Functional responsibilities are clearly defined between the administrators and the practitioners at this level. The To accomplish the program budgeting process as role of the administrators is to see that the resources described above, a sample set of data collection forms needed for conducting the scientific experiments are has been designed. It should be understood that while available and to ensure that the resources are efficiently these forms are in fact being utilized in an ongoing PBS used for the purposes for which they were provided. For process, they are merely for discussion purposes in the the researcher, the role is to provide outputs that can be context of this paper. The actual PBS tool needs to be used by the different groups of clients. Specifically for designed specifically to fit particular situations. the scientist, this requires the identification of needs and opportunities within agreed priority areas, the Prior to the explanation of the specifics of the process, it formulation and implementation of scientific projects, is essential that definitions for the different levels of and reports on these projects. The form that this programming be adopted. Programs, projects, reporting process takes is described in the next section: operations, and activities are aggregated from highest to Program Budgeting. lowest degree according to objectives. PROGRAM BUDGETING ’’Program” is the term given to the highest level of aggregation of research activities at different levels of A Program Budgeting System (PBS) for research is the organization in an institution. The names ascribed to the process by which research activities, with well-defined component parts of a program budgeting system as program objectives, are aligned with available resources. described here are as follows: ’’programs” are As an organizational tool, PBS is a formal system for disaggregated into ’’projects” ; ’’projects” into collecting information on the programs, sub-programs, ’’operations” ; and ’’operations” into ’’activities” . For projects, and sub-projects that have been selected and each of the following, the term will be defined and the their attendant budget and personnel allocations. It is a information collection instrument will be described project-based management tool to facilitate beginning with ’’activities” as this is the smallest unit of programming, budgeting, and accounting. As such it aggregation. improves the overall process of management by ensuring that all activities have a measurable and sustained impact Activities of program development. By providing detailed costs of the component activities, as outlined in the program An activity is the most elementary research action formulation process, it enables managers to monitor performed within an operation and the smallest usefully program versus plan, and evaluate progress towards identifiable unit of research action recording goals. quantifiable data related to manpower time and direct operation costs. The ideal program budgeting process presupposes the existence of commodity and regional priorities. It For each activity (e .g ., travel, installation of an includes the following components: experiment, interpretation of results, reports) all quantifiable data related to personnel time (time of the - designation of the year’s provisional budget; scientist and the technicians) and to all direct operational - a clear statement of experimental objectives, costs are recorded. justification, and methods; - a breakdown into operations and activities that can be The Personal Time Allocation Data Sheet (PTS) is filled costed on a standard basis (e.g., time od researchers, in by all individual research staff (scientists and support staff, transportation, etc.) within the technicians) each year. It includes only data concerned constraints imposed by the existing financial and with the total effective work time spent by each staff human resources; member on research activities. Details of time allocated - an appropriate presentation for formulation of by staff to all research activities must be entered, aggregated programs and investment; including research operations, seminars, teaching, study tours, etc. The PTS serves as a check that staff are not 160 unduly over- or under-committed for good, realistic other projects, programs, and institutions; and scientific performance. staff requirements. Operations Programs An operation is the aggregation of the activities A program is a coherent set of projects in one specific performed by a single scientist or in a single task in a area of research. Program scope and size may vary specific discipline or field of specialization. Since many considerably according to the level of disaggregation research projects are of a multidisciplinary nature, they and specificity of objectives. involve two or more scientists and therefore two or more operations. Programs can be grouped in three categories: The research worker in charge of an operation records, - Commodity programs assemble all projects related to one by one, all ’’activities” and experiments conducted specific commodities, groups of commodities (e.g., under the operation. All the activities conducted in one cereals, forage crops, livestock, vegetable crops, fruit operation constitute the workplan of that operation. crops) or groups of products (e.g. grains, tubers, fruit, milk, butter, skins). The summary data and specific information collection document for operations is the Operation Data Sheet - Thematic programs comprise all projects related to (ODS). The ODS information includes: the individual or interrelated production factors, the identification, objectives, and geographic location of the resource base, disciplinary or multidisciplinary themes operation; the staff work time allotted to the operation; (e.g., soil-water-plant relationships, soil-vegetation the operational inputs (travel, person days, etc.); and correlations and land-use planning, fertilizer and experimental inputs (fertilizer, chemical products, water herbicide application, trace elements, etiology of for irrigation, etc.). specific plant or animal diseases). Projects - Systems-based programs involve all projects related to agro-systems, farming systems, or region-specific The term ’’project” is utilized here only within the production or cropping systems (e.g., mountain agro­ organizational context described in the paper and should systems, rainfed farming systems, irrigation, farming not be confused with or mistaken for project-type systems, orchard plantation systems). funding from donor agencies. Several classifications exist, and each country should A project is a coherent set of ’’operations” with a goal, a adopt the mode of classification which best fits its specific rationale, a clearly defined set of objectives, a plan of needs; for example, major program (food crops); action for achieving those objectives, a limited time program (cereals); sub-program (coarse grains); project frame for execution, specific outputs which can be (millet). O f course, depending on the size and measured against initial objectives, and a budget sophistication of the research effort, this classification defining human resource inputs (personnel time), and may change. For instance, in a smaller country with direct operation costs (recurrent expenditure including limited research resources, a major commodity program all inputs required for project implementation). may be only one or two grains, with all activities, A project is often a multidisciplinary undertaking operations, and projects aimed towards solving specific involving a number of scientists and technicians trained problems of that particular grain. in different disciplines or fields of specialization, assembled in a team , working within the same work plan All activities of a research institution can be combined and under the supervision of one of themselves. into projects and aggregated into programs. Complex programs, grouping several sub-programs in different Summary data and specific information on each project regions or involving interlinked projects, can be are recorded on a Project Data Sheet (PD S). supervised by a program coordinator responsible for planning, budgeting, coordinating, and monitoring all The information on the PDS includes: identification of a projects under the program. project; research and development objectives; development and target group impacts; linkages with 161 Computerized System The specific outputs that could be utilized by the individual research scientist would be the actual budget A program budgeting system can be operated using and quarterly expenditure reports, and YTD (year to standard clerical procedures. However, if the research date) time allocations. Past PBS workshop participants system is large, a computerized system gives the have indicated that worktime budgeting is a key element management tool greater flexibility. in research management, for both scientists and supervisors. A PBS has been developed by ISNAR, and training sessions on the PBS methodology have been conducted A listing of the research objectives, as defined for the in Morocco, Syria, and The Gambia. However, the PBS individual projects on the ODS, allows the scientists to computer software was developed for one specific focus on the prioritized research issues. application. For use elsewhere, the PBS software would need to be redesigned. For example, coding files would The benefits accruing to the manager at the institutional have to be customized to the existing system and the level are that information is provided by budget and structure of data sheets would have to be consistent with category cost by scientist and by programs/projects. This forms in operation. The following description is of a PBS helps maintain a realistic ratio of operating costs to salary in which these designs have already been developed. and permits making the case for realistic funding for the The Project Data Sheet, Operation Data Sheet, and program elements. While individual progress can be Personal Time Allocation Sheet have been designed to monitored on a quarterly or yearly basis with this facilitate input of the information into an appropriate information, these reports also provide management microcomputer data base. with time series data which can be used during the planning process to relate programs to development To accomplish this task it was necessary to develop a objectives. coding manual to identify the different classifications efficiently: including codes for commodities, thematic Specific examples of reports that can be generated by and system program classifications; for research PBS are aggregation of budgets by scientists, and personnel, research centers, stations and experiment aggregation of budgets by programs and projects. This sites; for provinces and geographical regions; and for kind of budget breakdown was considered essential by research and development objectives. managers at the previous workshops. Once the information has been computerized, printouts The specific benefits accruing to the various advisory can be made available at different breakdowns of boards and committees at the national management level research activities aggregated by activities, operations, are that facts are provided to aid the decision process. projects, and programs. The use of a microcomputer Accurate information is provided on research programs allows data (objectives, targets, manpower, costs, etc.) according to government-defined development tracking and retrieving at different levels of aggregation objectives and research programs by target groups. This or disaggregation. assures the capability to monitor the programs and individual projects in a timely, accurate, and consistent Useful Outputs fashion. For example, outputs from the PTS and the ODS identify resource position (scientist time and Different cross-sections of data can be provided, expenditure) and work accomplished to date. Thus depending on the combination of variables requested by progress can be checked on the implementation of users, in particular policy makers, planners, managers, programs, and factors that assist or impede the work can scientists, and farmers. Breakdowns of personnel time be identified. Corrective action can be prescribed, or or cost, as well as direct operational costs, given in real decisions on alternative programs can be considered if it figures, relative percentages or bloc-diagrams, can be is determined that projects and programs are not provided by commodities, thematic or system programs, meeting goals. by field of specialization, by disciplines, by development or research objectives, by client groups or by research These various uses and benefits of the information workers. The breakdown of outputs can also be provided generated by a PBS are described in Figure 2: Potential by regional stations, geographic or natural regions, by Output and Use of PBS. Of specific interest is the any sort of linkages with other research or development multiplicity of uses at the different levels: scientist, projects, as well as by specific budgetary items. manager, and national as the key to a functioning PBS is 162 a benefit (and thus a vested interest) of those involved in Briefly, the planning formulation section describes how the process. directives were set at national levels, how these directives are integrated and prioritized SUMMARY programmatically at the institution level, and how they are operationalized at the scientific-professional level. The need for the synthesis of program formulation and budgeting into a formalized process has been An integral part of the program formulation process is a recognized. However, it has been a difficult task to tool with which to collect information. The specific accomplish. Systemic failure, thus far, has occurred due information collection instrument described in the to the type of information collected, the models within program budgeting section consists of forms that identify which the information was used, and the process (or lack scientific activities, categorical costs, and progress thereof) through which the information was filtered for towards programmatic objectives. When this decisions. information is included in the upward flow of planning formulation, it provides the basis for objective judgment Assuming that these problems are continuous, the regarding programs and projects and enables the process described in this paper has attempted to identify institutional and national levels to evaluate progress key characters and information in existence (or that can towards the long-range goals. be generated easily and efficiently) and can use the intuitive judgement of those involved in an interactive process. 163 Figure 1. RATIONAL DECISION MODEL - NARS. LEVEL Contribution to Science A Input National National Priority Development Feedback Setting ' \ Objective N. \ \ \ Development Output Research Priorities \ Institutions Feedback Institution Input ^ ^ \ Long-term Resource Allocation \ \ Planning \ Knowledge x Output Feedback — Research Objectives , Output Program/Project Input pri° ri’ ization Professional/ Short-Term Resource Planning Operational • Program Formulation Input Output Annual Program Researcher Implementation Information Approval of Time Experiment Proposals — — Denotes Feed loops going Forward to Future Processes 164 Figure 2. POTENTIAL OUTPUT AND USE OF PBS. Output Type o f In fo rm a tion I n fo r m a t io n From Use by S c i e n t i s t s - Manager - N a t i ona l Level Time and F inanc ia l Time and f i n a n c e s Personnel Time A l l o ­ S c i e n t i s t : can a s s e s s p r o g r e s s Budget Breakdowns a l l o c a t e d to s c i e n c e c a t i o n Data Shee t towards o b j e c t i v e s r e g a rd i n g t ime ende avors broken down Accounting d e f in e d o b j e c t i v e s f o r a s ses sm en t by o p e r a t i o n s p r o j e c t , Manaaer: can i d e n t i f y a c t i v i t i e s d i s c i p l i n e , r e g i o n s , and o p e r a t i o n s (by in d i v i d u a l c e n t e r s , commodit ies , s c i e n t i s t o r in a g g r e g a t e ) t h a t a r e and them es . ou t o f synch o r can i d e n t i f y problems f o r c o r r e c t i v e a c t i o n N a t i o n a l : a g g r e g a t e commodity, th e m a t ic and system in f o r m a t i o n , and r e g i o n a l d a t a w i l l p r o v id e i n f o rm a t i o n f o r p e r s p e c t i v e r e g a rd in g o r i g i n a l g o a l s and o b j e c t i v e s . P e r s o n n e l : I n fo rm a t io n by Personnel Time A l l o c a t - S c i e n t i s t : I f o v e r loa ded can r e a u e s t t ime personne l c a te g o ry a t i o n Data Sheet supp lementa l o r e n t r e p r e n u r i a l cos t matched to budget Employment/Personnel funds - can i d e n t i f y e x p e r t i s e ne eds. fo rm s . Manager: can i d e n t i f y i f pe r so n n e l i s being over o r under u t i l i z e d - can i d e n t i f y t r a i n i n g needs f o r t h o s e in s e r v i c e - can i d e n t i f y gaps in c a p a b i l i t y f o r f u t u r e t r a i n i n g needs. N a t i o n a l : a s s i s t in s e t t i n g g o a l s and o b j e c t i v e s w i t h i n c a p a b i l i t i e s o r a u t h o r i z e new t h r u s t s and a t t e n d a n t n e e d s . V ar ia b le Aggregat ion Development and O pera t ion Data Shee t S c i e n t i s t : f eedback from c l i e n t r e s e a r c h o b j e c t i v e s P r o j e c t Data Shee t groups on a p p l i c a b i l i t y and t a r g e t groups Accounting a d a p t a b i l i t y can a l lo w c o r r e c t i v e Ex te ns io n Feedback a c t i o n . Manager: in f o rm a t i o n can a s s i s t in th e p r i o r i t i z a t i o n o f r e s e a r c h p r o j e c t s in l i g h t of o b j e c t i v e s from n a t i o n a l l e v e l . N a t i o n a l : a g g r e g a t i o n on u t i l i z a t i o n of s c i e n t i f i c p roduc t by t a r g e t groups w i l l p ro v id e i n f o rm a t i o n on goal a t t a i n m e n t so can a s s e s s c o r r e c t n e s s of g o a l s and s e r v i c e c a p a b i l i t y . D i r e c t Opera t ing U t i l i z a t i o n and c o s t s O p er a t io n Data Sheet S c i e n t i s t : can a s s e s s i f o r i a i n a l Costs (DOC) of expe r im en ta l and Accounting proposa l r e q u e s t f o r i n p u t s was o p e r a t i o n a l in p u t s accounted Manager: can a s s e s s i f l i m i t e d DOC i s being over u t i l i z e d by s p e c i f i c p r o j e c t s o r s c i e n t i s t s . N a t i o n a l : can de t e rm in e i f DOC/ Persona l a l l o c a t i o n i s s u f f i c i e n t t o p ro v id e s t a f f and r e s e a r c h . I n s t i t u t i o n a l Linkage with o t h e r PDS S c i e n t i s t : i s p rov ided a d d i t i o n a l Linkage r e s e a r c h p r o j e c t s : in fo rm a t i o n f o r i n c o r p o r a t i o n i n t o i n t e r n a l , o t h e r p r o j e c t / e x p e r i m e n t . i n s t i t u t e , from Manager: can f a c i l i t a t e e f f i c i e n c y of t e c h n i c a l a s s i s t a n c e , p r o j e c t s by i n c o r p o r a t i n g in f o r m a t i o n and from development and min imiz ing d u p l i c a t i o n . i n s t i t u t e s N a t i o n a l : can make d e c i s i o n s f o r s e l e c t i o n of i n s t i t u t e s o r r e g i o n s f o r s p e c i a l i z a t i o n o r c o o p e r a t i o n . 165 166 PROGRAM BUDGETING IN THE GAMBIA Jonathan S. Sands Consultant ISNAR INTRODUCTION and tightly constrained demonstration of some features of a Program Budgeting System. It serves mainly to This paper provides a brief overview of ISNAR’s current systematically organize information. Its two primary work with Program Budgeting Systems. I will discuss the functions as a demonstration tool are to illustrate: status of the ISNAR demonstration Program Budgeting System program, pointing out some of the primary - Consistent Information. The tool forces the features and highlighting differences between the organization of information about projects into a ISNAR tool and a more complete Program Budgeting consistent framework. System. These differences result partly from the - Reporting Facilities. It demonstrates, in a limited modified definition of Program Budgeting System that fashion, some of the ways in which the information ISNAR is using. I will then describe our experience in entered into the computer can be extracted in a useful The Gambia briefly, concentrating on the goals, results, way. and further work required. Finally, I will present some of the lessons we have learned to date about Program Consistent Information Budgeting Systems. The creation of an effective and efficient agricultural This discussion draws on experiences from ISN A R’s research program requires the examination of projects work in Program Budgeting in many places. These (discrete research activities) in a consistent manner. The include Morocco, Sudan, Syria, Madagasgar, and The minimum essential information required for each project Gambia. Our most recent work, and that with which I is limited to the objectives of the project - both am most familiar, has been in The Gambia. I will development and research, the plan of action required therefore use that experience to highlight some of the to achieve those objectives, and the resources required major points I wish to emphasize. for that plan of action; human, financial, and other. THE SOFTWARE The program facilitates gathering the required information about each project and entering it in a Over the past two years ISNAR has developed a consistent fashion. Objectives for each project are software tool for use in Morocco in conjunction with the required; these must be drawn from an ’approved’ list, implementation of a Program Budgeting System in that encouraging the design of projects targeted specifically country. While this tool is often called a Program to satisfy the desired goals. The operations required for Budgeting System, it is really only a small subset of a each project are then entered and the program builds a complete Program Budgeting System. For countries project budget from that data. This process also allocates other than Morocco, the best use of the program is as a individual scientists to specific projects. demonstration tool. Reporting Facilities The ISNAR demonstration software serves to point out some of the benefits possible when moving to a Program A variety of reports can be generated using the project Budgeting System. However, it is not a fully data. These include reports grouping the projects by implemented Program Budgeting System; it is a limited objectives, by location, by program, or by scientists 167 involved. Project budgets can be listed as well as Budgeting System. However, attempting to adopt the aggregated, into budgets by program. Workplans for existing program as a rudimentary Program Budgeting individual scientists can be created to reveal under- or System can result in an inappropriate and ineffective over-programming of scientists’ time. Program Budgeting System. A Program Budgeting System must be tailored to the specific circumstances of While many NARS do not yet have software with the use. capabilities of the demonstration program, the ISNAR software must not be viewed as a ready-made Program Budgeting System. There are several fundamental A CASE STUDY: THE GAMBIA differences between the ISNAR demonstration software and a complete programming tool: ISNAR has provided advice to The Gambia, currently in the process of implementing a Program Budgeting Ranking or Prioritizing. Ranking projects by objectives System. The following section, providing a brief after priorities have been set and the ability to change description of the ongoing process, serves as a useful priorities is not currently possible with the ISNAR tool. framework for discussion of some of the important issues in any Program Budgeting System. Program Aggregation. A project is assigned to a particular program when the data are first entered. A The Setting complete programming tool will have the ability to re­ aggregate projects into different programs in the The Gambia is a small (10,690 sq. km.), densely planning process. populated (over 65 persons/km2) country on the western coast of Africa. It follows the lower watercourse of the Data Consolidation. All but the smallest research Gambia river and, except for the seacoast, is completely systems will have several research centers. The surrounded by Senegal. The estimated population in programming tool should have the ability to consolidate 1985 was 740,000, with an annual growth rate of 3.2%. data from several research centers into one central data Agriculture accounts for 35-40% of the GDP, as well as base for use by the planning commission. 80% of employment. Groudnuts occupy 50% of the land under cultivation and are the principal source of export Budget Consolidation. A key advantage to a full earnings. The principal food crops are rice, sorghum, Program Budgeting System is the ability to consolidate millet, and maize. Per capita food production has been project budgets into existing standard line-item budget declining for the last 5-7 years, and local production is categories used in Accounts. This is referred to as a currently less than 60% of domestic consumption. The crosswalk. A crosswalk requires a flexible translation existing agricultural research establishment comprises process that groups the budget items used in the project about 25 scientist-years. This number is not expected to budgets with the more traditional line items used in the increase greatly in the near future. national accounts. The ISNAR system does not have this capability. In 1985, USAID initiated a long-term, US$ 18,000,000 project to achieve food self-reliance in The Gambia. The Monitoring. A fully implemented Program Budgeting project is using a two-pronged approach involving: ” .. (1) System will have a formal link to Accounts in order to the long-term institutionalization of an effective, applied provide up-to-date reports to both planners and agricultural research system, and (2) the development, managers of the status of projects. There will also be promotion and adoption by farmers of improved some standard mechanism to evaluate progress towards agricultural technologies as early as possible.” goals (considered as Monitoring and Evaluation by ISNAR). ISNAR’s Role Countries interested in implementing a Program ISNAR was asked to participate in one of the Budgeting System, therefore, should view the ISNAR fundamental components of the project; the software simply as a demonstration and educational tool. establishment of an Agricultural Research Management After use in discussions and training workshops, the System (ARMS). The goal of ARMS is to set agricultural software serves to guide the design of software research priorities in the light of farmers’ needs, appropriate to the specific situation. The ISNAR researchers’ recommendations, and the Government of software, as an existing package, has the seductive The Gambia (GO TG) policy objectives and available appeal of a rapid and easy implementation of a Program human and financial resources. A National Agricultural 168 Research Board (NARB) would group important of program budgeting. This took two days. The next participants of the agriculture system in order to provide three days were spent compiling information on three a forum for the establishment of research priorities. existing projects in the form required for the Program ARMS will enforce these priorities through procedures Budgeting System. This, in turn, required the creation by which research programs will be designed, reviewed, of standard sets of research and development objectives, and funded. ISN AR's work in The Gambia was initiated personnel files, other resource files, and standard in 1985/86 in conjuction with the Working Group on budgets. The next two days were spent introducing the ARMS and the Working Group for Financial and participants to the actual software and entering the data Administration Research Management Systems for the three projects into the computer. The final days (FARMS). Both of these working groups were were spent discussing the Program Budgeting System organized by the GO TG with support of USAID under process, the benefits to The Gambia, the design of a the Gambia Agricultural Research and Diversification system for The Gambia, and the procedure for Project (GARD). M. Dagg was the primary ISNAR staff implementation. member involved in this work. Conclusions of the Workshop The recommendations of both the ARMS and FARMS indicated the need for the selective introduction of The participants of the workshop confronted many of planning, programming, and budgeting procedures for the fundamental issues involved in introducing a the research program on a trial/demonstration basis. Program Budgeting System into a national agricultural The first step was to introduce the concepts of Program research system. Some of the major issues discussed are Budgeting through a workshop targeting interested presented below and, while set in the Gambian personnel involved in the agricultural research process framework, are relevant to any Program Budgeting in The Gambia. System introduction. PBS Workshop 1) There was unanimous agreement among the participants in the workshop that a Program Budgeting ISNAR conducted the first workshop on Program System would be useful, perhaps even required, for The Budgeting in The Gambia in late April of this year. The Gambia. This Program Budgeting System should fulfill workshop was not designed to implement a Program two major functions: Budgeting System in The Gambia. Rather, we wanted to describe a system previously designed in the context a) Encourage the presentation of projects, in standard of a complex NARS (Morocco) and to expose the format, by objectives and budgets in order to allow agricultural research scientists of The Gambia to some rational selection of the most worthy projects for alternative methods and procedures for a Program funding. This standardized information should also Budgeting System. This preliminary work is necessary help prevent over- and under-budgeting of staff time. before an appropriate Program Budgeting System can b) The Program Budgeting System should fill a be designed and implemented. Both the software part of monitoring role in order to provide scientists and the system (if it is to be computerized) and the management with information on the progress of instruments designed for priority-setting and planning individual projects. (such as the NARB) must be appropriate to the country. This agreement is essential for providing the motivation The structure of the workshop was typical of most of our necessary for introducing the major changes implied by a preliminary workshops on Program Budgeting. There Program Budgeting System. were 21 local participants, 14 from the Gambian Government, and 7 from the USAID G A R D Project. 2) To accomplish these two functions, the participants Participants ranged from scientific researchers to the realized that the Program Budgeting System would have Deputy Director of Agricultural Research. The to cut across all levels of the research system; national, Director, Administrator, and Accountant for the institutional, and professional. The basic functions of G A RD Project were also present. these three levels would be: a) project creation by the scientists, b) program creation by the Institute, and c) We used the demonstration software, originally advice and review by the national level. developed for Morocco, to illustrate the concepts of a Program Budgeting System. We then described 3) The workshop identified the primary participants, ISNAR’s project management system, a modified form users, and beneficiaries of the system. The desired 169 outputs and basic report formats of the Program workable Program Budgeting System will be created on Budgeting System were described. schedule. While initial plans called for a Program Budgeting System to be implemented in time for the the 4) The measuring of the outputs of the scientists and 1988/89 budget year, this will not be possible. A few of projects was believed to be a fundamental part of the the constraints currently operating in The Gambia Gambian Program Budgeting System. In recognition of slowing the implementation are listed below. These the difficulties involved and the sensitivity of the issue, should be concerns of any NARS attempting to the participants decided that the measuring must be implement a Program Budgeting System. conducted by the scientists themselves, with guidance from the Director of Research. Financial Considerations 5) The workshop defined the formal linkages to A strong impetus for scientists to adopt the Program Accounts that would be necessary for the system to Budgeting System is the use of the system to justify perform its monitoring function, and procedures were budgets during periods of constrained or diminishing suggested to implement them. funds. The system serves as evidence of the planning and importance of projects that have been approved. 6) The elements of the programming cycle, and the Currently, in The Gambia, this motivation is lacking. participants, were defined. It was recognized, however, There are no actual budgetary constraints. Money, that this is not a discrete process with a start and end. coming from the G A R D project, is effectively infinite. Rather, it is a continuous, annual, process. Thus, while 80 to 90% of the agricultural research activities have been put into the Program Budgeting 7) The major elements of the software design were System format, little use of the system is made for discussed. ISNAR’s demonstration tool proved to be financial control. Budgets are updated (increased) every extremely useful as a reference framework but was six months with very little limitation. inappropriate for The Gambia for several reasons. Manpower Constraints The tool incorporates many assumptions about the structure of the agricultural research system that may Several different manpower constraints operate to delay not be valid for all countries. For instance, as noted Program Budgeting System implementation. The before, within the Demonstration Program Budgeting planning workshop envisaged that one full-time person System, projects are composed of operations, each of would be required to oversee the initial implementation. which represents the action of one scientist on that This person does not exist, nor has any particular person project. The projects, then, become scientist based. In been charged with that responsibility. The Gambia, an alternative formation was adopted. Operations were eliminated. Projects are composed only During the operation of the system, the Director of of Activities, the tasks required for sucessful completion Research must conduct regular progress discussions with of the project. Each activity can have several scientists the project leaders. As many autonomous activities are working on it. Projects are task based. This does not, of subsumed under several big projects, these discussions course, prevent aggregating or extracting information should actually be conducted on the Activity level. by scientist. Additionally, the required number of forms Currently, there are about 40 different seperately was significantly reduced. budgeted activities. Obviously, the Director cannot conduct frequent reviews of 40 activities. A final 8) Finally, an initial plan of action was developed, constraint is the demand for computer expertise. The along with a tentative schedule for implementation. This people originally allocated to develop the software and plan defined the major steps required, estimated the integrate the budgets with Accounts are occupied almost resources needed, and described the qualifications full-time with analyzing research results. What little time necessary for the person assigned the responsibility for they have left over is spent on the main G A R D budget. the development and implementation of the Program Budgeting System. This plan was accepted as workable, Organizational Constraints although tentative and subject to change. The National Agricultural Research Board (NARB) CURRENT STATUS was designed to decide on priorities and review and approve the research program constructed at the A successful workshop does not guarantee that a institution level. This setting of priorities and review of 170 the annual program are a basic function of a Program organizational changes in the NARS. If ISNAR is the Budgeting System. The primary justification for putting software developer, the country will be dependent on projects in the Program Budgeting System format is to the ability of ISNAR to respond quickly to that country’s provide consistent information for this process. requests for help. With a limited staff and budget, However, to date, no NARB nor ARMS has been ISNAR will have to defer many of these requests. created. This is primarily due to political circumstances related to the recent elections. Thus, a system exists The second point, transferring expertise to the NARS, is without the original organizational structure envisaged related. The benefits accruing to a NARS by increasing to use it. The fall-back plan has been to use the Interim the computer expertise of its staff are significant. If a Project Committee (IPC) of the G A R D Project to fill NARS has no people qualified to develop the required the role of the NARB. software, ISNAR can serve to identify consultants, set up training workshops, and advise on other aspects of introducing computer technology. LESSONS Computer literacy is often required and not always ISNAR’s strength lies in proposing and modifying a available. Workshops and training sessions for the framework for a Program Budgeting System in the Program Budgeting System should be preceded, if country. This framework includes program formulation, required, by a one- or two-day course on computer project definition and selection, and monitoring and basics. evaluation. These are all parts of the original concept of Program Budgeting. ISNAR can bring to this endeavor a cross-country perspective that helps minimize poorly CONCLUSIONS designed, unworkable systems. The successful and rapid introduction of a Program This conceptual development is best undertaken through Budgeting System depends on many factors. An analysis a series of workshops with NARS personnel. Initial of our experiences in The Gambia and other countries introduction of the concepts can occur at ISNAR, but has identified some of the most important: further development should occur in the country in order to benefit from local expertise and knowledge. The 1) There must be an effective priority-setting capacity people who will be most affected by the Program with enough power to actively guide agricultural Budgeting System, the scientists, research directors, and research. the planners, must participate in these initial stages. 2) Only minimal changes should be required in the ISNAR can help draw up specific plans for the organizational structure of the agriculture research implementation of a Program Budgeting System. These system. Major structural changes usually involve plans should set a realistic timetable for implementation unforeseen subsidiary effects. These will often delay the and serve as benchmarks from which to measure structural changes themselves and will usually delay the progress. The scope of these plans can range from Program Budgeting System implementation. specifying the structure and composition of national advisory boards and procedures for formulating long- 3) Detailed advance planning of the actual range plans down to specifying the purpose and expected implementation procedures must be carried out. This outputs of a computerized program to help the Program planning should identify all interested and affected Budgeting System implementation. personnel. ISNAR, however, has no comparative advantage in 4) Affected personnel must be introduced to the actual software development. The creation of custom concepts early in the process. Every effort should be software is best conducted in the country by local made to build consensus within this group on the value personnel. A less favored alternative is for the country, of a Program Budgeting System. itself, to hire consultants as programmers. Two points argue strongly for this division. The first is reduced 5) Perceived benefits, such as budget security, by the dependence of the NARS on ISNAR. Any software affected scientists will speed adoption. These benefits system as complex as a Program Budgeting System will should be identified and advertised. If benefits cannot be be subject to evolutionary improvements. These can be identified, implementation of the Program Budgeting simple error corrections as well as the incorporation of System should be reconsidered. added features or the redesign of the system to reflect 171 6) The development and implementation of the system 1) The flexibility and simplicity of the demonstration should be evolutionary, with the benefits of each tool must be increased. The increased flexibility will component readily apparent. The complete, immediate allow a greater diversity of NARS to benefit from use of implementation of a full-fledged system is usually the tool. The role of the software as a demonstration and unworkable. The design of the later stages is partially training tool must be emphasized, and the perception of dependent on the successful adoption and modification the software as a generic Program Budgeting System of the early steps. must be avoided. 7) A generic Program Budgeting System software 2) The key areas of a Program Budgeting System that program, designed to demonstrate concepts, is not an have to be modified for successful adoption by a NARS adequate tool for implementing a NARS-specific should be identified. Possible variants for key structures system. Effective software for a particular country of a Program Budgeting System should be explored and should be created by local trained personnel. This tested. The converse is also required. We must identify software should take advantage of existing expertise and those parts of a Program Budgeting System that are can be built from many types of commercial software absolutely essential for successful operation. applications, such as spreadsheets and/or database managers. The design is obviously dependent on the 3) ISNAR must consistently acquaint potential users local conditions, the structure of the NARS, and the with the preconditions for establishing a workable available resources. Program Budgeting System. The resources required to implement an effective Program Budgeting System are IMPLICATIONS FOR ISNAR significant, and the benefits of the system must be weighed against these costs. Much work remains for ISNAR. Specifically, in terms of the ISNAR software, we have three major tasks: 172 MONITORING AND EVALUATION IN NARS Diana McLean Research Officer ISNAR This paper is addressed to agricultural research directors intrinsic to good research management. Monitoring who wish to build monitoring and evaluation (M/E) provides information on activities in progress, enabling mechanisms into ongoing operations of their a manager to adjust a research program during its organizations. It is the first in a series of papers on the implementation; this is particularly important in broader topic of monitoring and evaluation, which research systems where resources - human, financial, includes evaluation for planning purposes (ex ante), and physical - are in short supply. Evaluation, which ongoing program evaluation, final program evaluation deals more with longer-term issues of quality and (ex post), and impact evaluation. ISNAR has chosen to relevance, can enable a research institute to assess concentrate first on the monitoring and evaluation of research programs and methodologies, identify research in progress. Because ISNAR is attempting to productive staff, and identify and respond to constraints, develop practical materials for research managers, this such as unforeseen budget cuts. Both monitoring and paper does not present a detailed review of the extensive evaluation provide the factual basis for making research existing literature on theories of evaluation. Neither do planning at all levels of the system more effective, and we attempt to present detailed aspects of personnel for justifying further investments in research to national evaluation, or financial and physical resources policymakers and donors. management. Research managers can greatly benefit from integrating This paper will (1) provide a general introduction to even limited monitoring and evaluation activities into monitoring and evaluation, including a brief definition day-to-day procedures. When used in a positive manner, of terms, and examples of the roles M/E play in planning these activities can bring management and staff together and managing research; (2) describe ISNAR’s approach on a common understanding of the objectives of research for developing subsequent materials in monitoring and and the performance expected. evaluation; and (3) provide information on how to introduce monitoring and evaluating into ongoing Research is intrinsically uncertain in its timing, and research programs and activities. research programs must be kept flexible. It is precisely because research is so uncertain that research managers Your feedback as research managers is very important should pay more attention to monitoring and evaluation. to ISNAR’s process of developing relevant and practical Decisions are continually being made to adapt or materials for use in national agricultural research reorient activities as circumstances and new information systems. ISNAR seeks your views on the ideas and require. Much of this information comes from good techniques presented in this paper, as well as the monitoring and evaluation. approach ISNAR proposes to take in the development of further M/E materials. WHAT IS MONITORING AND EVALUATION? WHY IS MONITORING AND EVALUATION Most research managers have been exposed to some IMPORTANT TO RESEARCH SYSTEMS? aspects of monitoring and evaluation. Oftentimes this has been through an association with a donor-funded Monitoring and evaluation (M/E) procedures are project or for a national planning exercise. The concepts 173 of M/E presented here are more comprehensive and can Evaluation be integrated into the day-to-day management of research. They focus upon systems as well as projects, Evaluation is an analytical process, needed in research and become part of research planning and the planning and implementation, and to assess the impact management of resources at all levels in the system. Most of past activities. Evaluation is based on both qualitative M/E is conducted by the researchers, station heads, and quantitative information. Much of the information program leadership, and directorate. used in evaluations is gathered through routine monitoring. Whereas monitoring would address whether Monitoring an activity is proceeding as planned, evaluation would ask whether the original plan was appropriate or in need Monitoring is the ongoing process of recording, of modification. Evaluations usually result in a set of analyzing, reporting, and storing data during the recommendations. implementation of an activity (Figure 1). The purpose of monitoring is to determine whether an activity is The term ’’evaluation” is used to describe distincly proceeding according to plan. It provides feedback to different processes, which can cause confusion when management at all levels. This permits management to discussing the topic. Any assessment, appraisal, compare the progress of work against planned analysis, or review is in the broader sense evaluative. objectives, detect deviations, identify bottlenecks, and However, in defining evaluation as a management tool, take corrective actions in the course of research we have assumed that certain basic criteria exist: implementation. It is an internal activity and is part of the management information system. * It is important to define targets well in advance and to set up systematic monitoring procedures; this usually Managers must ensure that the monitoring system is not takes the form of a time series of well-chosen more time consuming than the benefits justify, that no observations. superfluous data are collected, that data analysis, interpretation, and feedback are timely, and that * Evaluations must consider the institutional, political, researchers perceive it as useful. Monitoring provides social, and economic context in which they are much of the data necessary for comprehensive conducted. evaluation at a later date. * A differentiation must be made between research results and the contribution they make to national development objectives. The latter is also influenced MONITORING EVALUATION by national infrastructure, economic policies, extension possibilities, environmental factors, etc. Recording ( Data ] Information from Monitoring Analysis Information from Other Sources Reporting (Information) Analysis Figure 1. Relationship of monitoring to evaluation. Storage Recommendations Corrective Action Modification in in Implementation Objectives, Resources, & Implementation 174 An ex ante evaluation is a comprehensive analysis of the functions? M/E cannot compare performance to potential impact of an activity before implementation. It objectives if these objectives do not exist or are serves to set target objectives, and is used in priority ambiguous. At each level of research, from planning setting and resource allocation. It defines the baseline to execution, objectives should be defined which are against which progress toward planned objectives would consistent with the level of effort required. be measured in subsequent evaluations. For a NARS, ex ante evaluation, which leads to improved research Are new M /E procedures necessary? Is there a less planning, may be the single most important evaluative formal approach in process which works, or which activity. could be modified to work better? Monitoring and ongoing evaluation involve the * Who needs the information, fo r what purpose, and in collection of data on key indicators and the analysis of what time frame? It is essential when planning M/E this and other information during the implementation of activities to clearly determine who will use the results an activity. Comparing achieved with expected results in and for what purpose, and to construct the analysis for a given time frame is the most prevalent and useful form this audience. Timely corrective action may require of evaluation for management purposes; it indicates how that authority be delegated to middle-level managers efficiently resources are used and identifies problems in to take corrective actions in the necessary time frame. original planning and management. * What are the simplest M /E procedures which could do An ex post evaluation is an assessment of performance the job? Once objectives have been defined, indicators immediately after activity completion; it is used to of performance must be selected, and the methods of determine whether the program objectives were measurement determined. Only essential information attained, and the causes of any discrepancies. The should be collected. lessons learned can be incorporated into subsequent planning and implementation. * Are the data to be collected objective and verifiable? Objective in the sense that the same information Impact evaluation of research attempts to determine the collected by several different people would be extent to which an activity addressed larger development consistent; verifiable in that recorded data exist to goals, such as increased domestic farm production or back-up any conclusions made. food self-sufficiency. It has a time frame of 10 or more years after activity completion and is, therefore, not an * Are personnel and funds available to do the work? This effective management tool. Impact evaluations are often implies a commitment at all levels to keep records and used to justify to policymakers why resources should be a capacity to analyse and synthesize data as they are allocated to research. passed through the system. Roles of Monitoring and Evaluation PLANNING MONITORING AND EVALUATION ACTIVITIES Information from evaluations is used for monitoring different levels of leadership (Table 1). Some Questions to Ask in Advance evaluations may occur only once in 10-15 years, others are required on a more regular basis. In national Monitoring and evaluation are successful only if they can agricultural research systems, monitoring and evaluation be used to maintain and improve the quality of research. can play a role in improving research programs (1) by They should not become ends in themselves. Before contributing information to the processes of priority installing new monitoring and evaluation procedures setting and resource allocation, long-term planning and into a particular activity, several questions should be program formulation, (2) by assessing program asked: formulation procedures and program leadership, (3) by assuring through monitoring that day-to-day activities at * What are the components or functions o f the system research installations are implemented according to which need to be managed more efficiently and schedule, (4) by assessing the potential success of effectively? In some NARS the entire system may need research through early feedback from clients of research improvement, from planning to implementation. while research is ongoing, (5) by evaluating ex post the output of research at the completion of an activity, (6) by * What are the defined objectives o f these components or evaluating the ultimate impact of an activity well after 175 completion to estimate the contribution of research to more appropriate for the justification of research development. programs to policymakers than for research managers. ISNAR’s APPROACH TO DEVELOPING MONITORING AND EVALUATING M/E MATERIALS ONGOING RESEARCH PROGRAMS In the previous section we described the many Definitions of Terms and Concepts contributions to research planning and management to be made by a monitoring and evaluation system. In this document, the term ’’program” refers to Because of the extent and diversity of these coordinated research activities whose scientific output contributions, ISNAR is taking an evolutionary contributes to a national research objective. Programs approach to the development of M/E materials for use in are composed of projects, which address specific national agricultural research systems. The dearth of research problems. Each project in turn comprises a practical M/E materials for research management has number of specific operations or experiments. led ISNAR to approach the task in the following Objectives must be determined for each level of the manner. research hierarchy. In turn, each experiment, project, and program will be evaluated in reference to these The first objective is to develop techniques for objectives. monitoring and evaluating ongoing research activities. The primary focus is on evaluating the quality and Relationship Between Planning and Evaluation performance of the research program, including decision-making procedures, program leadership, and At every level of research planning and program the adherence of scientists to accepted standards of formulation there should be clear definitions of goals research execution and reporting. and objectives, identifiable inputs and expected outputs, and some notion of time frame. It is during these There are also important associated elements of exercises that performance indicators are identified. personnel management and physical resource management which will be presented in other ISNAR One of the ways research programs can be designed and documents. For this presentation of M/E, we must key indicators for monitoring identified is through the assume that adequate procedures for research priority use of a logical framework. The ’’logframe” provides a setting and planning have been followed in developing matrix of logical reasoning which defines inputs, the research programs. outputs, purposes, and goals of a program or activity. The logframe is just one technique which has been The second objective will be to develop materials for ex successfully used by planners. Whether or not this ante evaluation, which is fundamental to the planning technique is used, the basic information it provides is processes of research. Because planning is probably the essential to adequate planning. The logframe specifies single most important management activity of a research the data collection and reporting requirements manager, ISNAR is preparing a separate analysis of (monitoring), and it defines from the outset of an activity different planning techniques, to which ex ante the standard against which actual results will be evaluation contributes. Ex ante evaluation defines the measured (evaluation). potential impact of different activities and establishes the baseline for subsequent evaluations. Table 2 summarizes some of the sources of data suitable for research program M/E and their means of The third objective will be to develop materials for ex verification. This table is by no means exhaustive; it is post evaluation, the measurement of achieved results suggested as a list which may guide research managers in from a completed research project or program. This is an defining an appropriate list for their systems. integral part of subsequent program formulation, and provides valuable lessons learned to researchers and Monitoring Ongoing Research research managers. Monitoring is primarily focused on the implementation The final task will be to develop materials for impact of inputs and on achievement of the outputs. Most data evaluation of research programs. This is not considered used in monitoring research activities are recorded by a priority concentration, since it is a long-term endeavor researchers themselves. They are compiled and analyzed 176 Table 1 Ex pec ta t i ons from Ev a lu a t i ons o f A g r i c u l t u r a l Research a t D i f f e r e n t Levels o f Management in th e System Level of Category Methodology Frequency Use management 1. Cabinet Impact Soci oeconomi c 5-15 yrs Guide inv estment survey 1 evel 2. Nat ional Impact Socioeconomic 5-15 y rs Guide ba la nce of agr i cul t u r a l survey in ve stmen t in mini s t r i e s Ex-post Techni cal re sea rc h /d eve lo pm en t Revi ew 2-5 y rs i n s t i t u t i o n s 3. Nat iona l Ex-an te Technical and 2-5 y rs Determine p o t e n t i a l a g r i c u l t u r a l soci oeconomi c impact of r e s ea rc h r e s ea rch an a ly s i s i n i t i a t i v e s (counci 1) Ex-post Technical review 2-5 yrs Guide a l l o c a t i o n s D ia gn ost i c s tu d i e s to r e s ea rc h i n s t i t u t i o n s 4. Research Ex-ante Technical and 2-5 yrs Determine p o t e n t i a l i n s t i t u t i ons socioeconomic impact of r e s ea rc h a n a l y s i s i ni t i a t i v e s ; j u s t i f y / a l l o c a t e re sou rc es t o d iv i s io n s /p ro g ra m s Moni t o r i n g P h y s i c a l / f i n a n c i a l annual Improve e f f i c i e n c y o r g a n i z a t i o n a l ; of management B e n e f i c i a ry 1-5 yrs of r e s ea rc h c o n ta c t i n s t i t u t i on Ongoing Annual r e s ea rc h annual Improve r e s e a rc h r e p o r t s implementa t ion and p la nn in g Ex-post Technical review 2-5 yr s Balance of programs j u s t i f i c a t i o n of re s o u rc es E x - p o s t Personnel annual Asse ssm ent/ e v a l u a t i o n ass ignme nt of personnel 5. Research Monitor ing P h y s i c a l / f i n a n c i a l annual Improve s t a t i o n s t a t i o n s o r g a n iz a t io n a l management Annual review Sh o r t- te rm and r e p o r t s (a nnua l) program Personnel e v a l u a t i on Personnel management 6. Programs Monitor ing and Q u a r t e r ly p ro g r e s s , q u a r t e r l y Guide s h o r t - t e r m ongoing annual and and annual programs; improve f i n a l r e p o r t s program p la nning Annual review and management 7. P r o j e c t s Moni t o r i n g and Q u a r t e r ly p ro gr es s q u a r t e r l y Guide t o modify ongoing re p o r t s and annual p r o j e c t s Annual r e p o r t Annual review Ex-post Final r e p o r t 3 -5 yrs Guide f o r f u t u r e p r o j e c t s 8. R esear che r Monitor ing and Q u a r t e r ly p ro gr es s q u a r t e r l y Guide r e s ea rc h ongoing re p o r t s and annual exec u t i on Annual r e p o r t s and p la nn in g Annual review Personnel annual Assessment of e v a l u a t i o n performance 177 progressively through the hierarchy from project always occur in NARS, either through a lack of time or leaders, to program heads, to the research directorate. capability on the part of the researchers. In the case of research inputs and services, the hierarchy involves management and administration from station It should be stressed that analysis of research programs to directorate levels. At each level there should be clear and component projects and operations is not a solitary assignments of responsibility for the supervision of data activity. At many levels in the hierarchy, scientists rely collection, analysis, and reporting, and for remedial on peer review, both formal and informal, to test their action. logic, methods, and ideas. This collaborative sharing of intellectual ideas and experience is valuable to all The functions of a monitoring system should be agreed scientists, but is indispensable to younger, less- upon by the people implementing the system. Several experienced researchers. criteria should be kept in mind when designing a monitoring system: Reporting. Managers at all levels of a monitoring system should consider reporting as a two-way process. While * Who needs the information and for what purpose? information about implementation is primarily communicated upwards to higher levels of management, * What is the simplest means possible of collecting this it is essential that the people who contribute to the information? Can it be obtained from existing monitoring system know that their efforts are being sources? If the information is not available, can it be used. collected at reasonable cost in relation to its usefulness? Researchers should accept the responsibility of routine reporting to technical and administrative supervisors. * Can the information be presented in a straightforward Quarterly progress reports and annual/final reports are format for timely use in decision-making? standard in many research systems. The quarterly reports are primarily used to safeguard the resources * Can the information be stored in a format compatible available to research, to identify problems within the with data from other sources, so findings from similar yearly activity; annual reports summarize resources used activities can be compared? and technical progress, both valuable to subsequent planning and budgeting exercises. Project and program Recording data on key indicators. Most monitored data leaders must, in turn, review these periodic reports and are available from existing or easily installed procedures, summarize the information for the next highest level of such as lab/field notes, staff time sheets, monthly or research management. quarterly budgets, and procurement records. Monitoring need not be complicated or extensive, but Another important form of reporting is the periodic rather it should become part of the routine of day-to-day requirement for oral presentations on research proposed management. Desired information, such as that on or in progress. Whether organized by station, program resources delineated in the PBS workplan, can be or technical discipline, seminars provide a visibility over summarized in quarterly and annual progress reports. research which can prompt valuable feedback from peers. Seminars generally involve a wider audience than Another form of monitoring keeps track of the technical is involved in the formal reporting process. This can be direction of research. Both on-farm research and particularly important when conducting multi­ beneficiary contact monitoring are methods used to disciplinary research, for it provides a forum for determine if ongoing research is appropriate to local discussion. conditions. And, finally, program leadership should organize an Analysis. It is not sufficient to record data. They must be annual program review, for the evaluation of the past analyzed to be useful to management. Each functional year’s results and for planning and fine-tuning the next level should perform some analysis and present a year’s research program. Project leaders in this forum synthesis to the next higher level. This analysis is should be able to summarize the activities carried out in important when considering both the flow of resources their projects and discuss and defend their rationale for and technical information. Good research requires the coming year. These meetings should be monitored ongoing surveillance and final statistical analysis - the through minutes, and an annual program report should transformation of data into information. This does not result. 178 Table 2 Examples o f Research Program Indicators Levels o f Possible Means o f Responsibility fo r achievement indicator verification data collection INPUTS - Determined by projects, based on operation workplans: - program stated objectives program report program head - personnel scientific and time sheets individual reports support time - funding expenditures accounting data accounting office - facilities construction or on-site report institute engineer acquisition procurement data accounting office - equipment acquisition procurement data accounting office & supplies actual use lab/station logs lab/station manager - leadership project meetings meeting reports project head program meetings meeting reports program head - training courses completed training records training officer OUTPUTS - Considered both by projects and by programs: - preliminary research data research reports scientist research from experiments publications project head results and surveys - completed program committee program records program head research recommendations annual reports NARS director results - research trained personnel training records training officer capacity & improved administration administrator improved facilities records PU RPOSE - Contribution of knowledge from research programs to research, development and policymaking bodies: - new knowledge released program records program head of interest technology or certification national body to research, recommendations res/extension extension service extension & communications NARS director policymakers on policy G O A L - Research relationship to national development objectives: - increased crop production data farm surveys statistics dept. production - intensified changes in crop input statistics devel. ministry land-use patterns & inputs - conservation reduced erosion survey methods land-use body & land-use resource planning planning document planning body - increased per capita change national data statistics dept. income increased spending village surveys devel. ministry - improved decreased disease nutrition surveys national health nutrition & mortality service 179 Storage. Whether a manual or computerized data - the extent of constructive interactions with other collection and storage system is used, information should national and international research institutes; be accessible and retrievable by managers at different levels of the system. A thoroughly centralized system of - the degree of success achieved in resolving resource data storage can cause unnecessary delays at outlying constraints, whether funding, facilities, or manpower; stations if information is unavailable. Likewise, backup documentation in the detail required at the station level - the successful development of interdisciplinary teams need not be in central files. When deciding where to for implementation and analysis. store information, the need for information, the facility of movement, and the security of data storage should all Annual program review. Each program should conduct be considered. an annual internal evaluation to analyze the past year’s research results and review the forthcoming year’s Evaluating Ongoing Research proposals. This review should be institutionalized as a part of routine management in a research organization. Role o f peer review. Research evaluation involves Preparation for and participation in these technical looking at the relevance achieved through research reviews should constitute part of a researcher’s job planning and programming, and the correct execution of responsibilities and, therefore, should become part of research activities. Both require an assessment of the the employee performance evaluation process. technical judgement and skill of both researchers and Likewise, the quality of project and program leadership program leadership and are best accomplished through and management should be assessed in this process. peer review. Peer review is the approach most often taken in annual program reviews, comprehensive Comprehensive program review. Periodically, say every program reviews, and personnel performance three to five years, it is also important to organize evaluation. evaluations at the project or program level to address questions of original objectives, progress, and lessons It must be stressed here that no M/E system can make up learned. This comprehensive program review often for a lack of key scientific leadership in a NARS. That involves bringing together a group of senior researchers scientific staff are largely young and inexperienced is a for a more in-depth analysis than occurs during the widely recognized problem in developing countries. The annual program reviews. Whether a group is pulled important role of program leadership cannot be stressed together to evaluate a particular research program, or enough when one considers the absolute importance of the ensemble of programs which comprise the ongoing the peer review process to quality experimentation. Peer research system, the boundaries of their task and the review of proposed experiments, including a discussion utility of it must be clearly defined in advance. The of activity objectives, rationale, methodology, analysis, boundaries of the evaluation are usually outlined in a and interpretation should involve all researchers as part scope of work prepared beforehand. of the annual review process. The role of senior scientists is crucial to structuring the discussion and to offering Advance planning of a comprehensive evaluation should alternative ideas and methods. include precise plans on documentation to obtain, people to interview, and sites to visit, allowing sufficient Peer review can play a role in evaluating research flexibility should a different line of inquiry be suggested activities by determining: from preliminary analysis. Some supplemental information may need to be gathered through surveys or - the degree to which program, project, or activity interviews. Most evaluation teams use a blend of objectives have been achieved; interviews, field visits, observations, and report reading. An evaluation must place the program in the - the extent to which objectives have been modified or institutional, political, social, and economic context in activities proposed in light of new information, which it is implemented. Beyond a comparison of primarily from clients; achieved and expected results, an evaluation should try to clarify the internal and external factors affecting these - the extent to which activities are on schedule; results. Even technically sound and competently implemented programs sometimes do not achieve their - the timeliness and effectiveness of communications; objectives, due to such extrinsic factors as staffing changes, funding cuts, or a lack of fuel for transport. - the capability of staff to accomplish their objectives; 180 An evaluation culminates in recommendations; for a program budgets. Evaluation should become a part of research program this might be suggestions for the routine programming and implementation, and be revision of its objectives, workplan, and schedule, or the incorporated as an expense of conducting research. suggested termination of a program or component of it. Constraints to implementation are identified and CONCLUDING REMARKS solutions recommended. Recommendations for program changes should be discussed with the This paper has tried to illustrate the importance of researchers and program leaders prior to the submission integrating even a minimal package of monitoring and of the final report. This gives both the researchers evaluation activities into day-to-day management involved and the team a chance to exchange ideas and practices in national research organizations. It test each other’s logic in an informal setting. concentrates on the internal monitoring and evaluation which should take place for ongoing research, and Estimating Costs of Monitoring and Evaluation focuses primarily on the necessary reporting requirements of the researchers themselves. Setting up When monitoring is carried out through normal M/E procedures in a research system should be seen as a management channels, very few extra resources are tool for better management and not as an auditing needed. Time, however, must be allocated for exercise. coordinating and tabulating data at the program and directorate levels. Unless the research system is ISNAR will be testing some of these ideas and methods undertaking very extensive data collection and analysis, in national agricultural research systems over the coming a specialist in evaluation should not be necessary. year. It is our intention to more fully develop methods for ongoing research program monitoring and evaluation There are more extraneous costs associated with before moving into the other broader areas of evaluation evaluations when external assistance is brought in. There described earlier: ex ante, ex post and impact. We are pros and cons to using external evaluators; for more welcome your feedback on both the information complex or controversial research programs, presented here and the approach ISNAR proposes to collaboration with external specialists may be valuable. take in developing subsequent M/E materials. Costs should be budgeted in advance, based on the type of evaluation required, the expertise sought, Finally, I want to thank my colleagues, Matthew Dagg, transportation and support needs, and the time required. Peter Goldsworthy, and Ghazi Hariri, and former Should additional data collection be required, the costs ISNAR staff member, Josette Murphy, for their of these activities should be built into the research contributions to this paper. Much of the material is theirs. 181 182 ORGANIZATION AND IMPLEMENTATION OF RESEARCH EVALUATION AND MONITORING IN THE ICAR RESEARCH SYSTEM R.M. Acharya Deputy Director General (AS), Indian Council of Agricultural Research India INTRODUCTION General, and is assisted by deputy directors general who are heads of respective technical divisions and who in The Indian Council of Agricultural Research (ICAR) is turn are assisted by assistant directors general and senior an autonomous registered society set up by the scientists, etc. There is a separate hierarchical set-up for Government of India to undertake, aid, promote, and administrative and financial services. coordinate agricultural and animal husbandry research, education, and the transfer of technology. Over 85% of NATIONAL EVALUATION SYSTEM its funds come from government grants but the Agricultural Produce Cess Fund, the US-India Fund, A national evaluation system exists. A planning bilateral cooperation, and foreign assistance also commission group on agricultural research and contribute to its resources. The annual budget is around education is constituted every five years to consider the Rs. 1,800 million, excluding AP Cess, US-India, World five-year plan proposals. Furthermore, the ICAR Bank loans, and external assistance. headquarters has the main responsibility for evaluation and monitoring. Here, in addition to seven subject- The Council functions through: matter divisions, specialized evaluation units, such as the Project Implementation and Monitoring Unit (PIM), - its headquarters, which is an administrative and also exist for the planning of projects. national evaluation facility; - its research units, which comprise 40 research POLICY FOR EVALUATION institutes, 6 national research centers, 6 project directorates, 4 national bureaus, and the National There is a formal policy on evaluation, especially of the Academy of Agricultural Research Management. ICAR institutes, coordinated research projects, and ad hoc schemes. Although there is no set policy, the whole These institutes and centers cover all the crops, livestock system is also subjected to an external review from time species, fish production systems, agricultural to time. engineering, processing technologies, agriculture statistics, and economic and natural resources related to RESPONSIBILITY CENTERS AND agriculture. EVALUATION SYSTEMS There is a network of 72 multi-disciplinary and multi- 1. ICAR Research System locational problem-orientated All-India Coordinated Research Projects (AICRPs). ICAR also supports When the five-year plans are made, a large working individual scientist-oriented AP Cess and US-India group on agricultural research and education is funded ad hoc research and also implements bilateral appointed by the Planning Commission which cooperative and foreign-aided research. The Council evaluates the implemetation of the program employs around 6000 scientists and, along with the 26 envisaged in the previous plan, identifies research agricultural universities, is perhaps the largest and educational priorities for the next, and indicates agricutural research system in the world. The ICAR is the strengthening or expansion of the research headed by a senior science manager, the Director system and the financial resources required. In 183 evaluating the effectiveness of program (c) A d hoc Projects implementation, the utilization of research results, Ad hoc projects are subjected to evaluation by the and their impact on the improvement of production ICAR headquarters’ scientists, external referees and and productivity of major agricultural products is scientific panels of 15 to 20 eminent scientists drawn considered. from within and outside the ICAR research system. 2. Components (d) Foreign-Aided Projects The evaluation is done jointly by scientists at ICAR (a) Institutes headquarters and representatives of the donor The institutes are the major units of the ICAR agencies. research system and have an internal evaluation and monitoring system. Research projects are CATEGORY OF EVALUATION formulated by individual researchers or a group of researchers in well-structured Research Project File As indicated above, ex-ante monitoring and ex-post (RPF) proformas which provide objectives, technical evaluations are carried out. There is no selection of programs, evaluation measures, and funds required. research projects for evaluation except by the These are subjected to ex-ante evaluation by the Quinquennial Review Teams (QRTs) and the mid-term project leader and the head of the division before appraisal committee, both of which evaluate the major they are approved by the Divisional/Institute Staff programs. Research Council (SRC). TYPE OF EVALUATION The SRCs comprise the head of the division and scientists of the division at the divisional level, and Evaluation is primarily designed to examine the the director, head of divisions, and senior scientists effectiveness of the implementation of the technical at the institute level. The divisional SRCs exist only program and achievement of the envisaged objectives. in the National Institutes (the three largest institutes Little emphasis is laid on efficiency in terms of cost: with considerable postgraduate teaching benefit ratio or the impact on production or productivity responsibilities). There is a continuous monitoring of a particular crop/livestock species in the country in of the research projects through the quarterly general. The quinquennial reviews of the institutes and meetings of the SRC and submission of brief reports of the system, however, do keep in view the results every quarter and at the end of the year in RPF. obtained in relation to inputs and the impact the results These reports are examined by the project leader/ have made on production. head of the division and the director. The final reports of the projects in RPF are also subjected to METHODS OF EVALUATION ex-post evaluation. The institutes are subjected to external evaluation every five years (Quinquennial Peer review based on presentation of the reports in the Review). The review involves the institute, ICAR SRC meetings at the institute, annual workshops of the headquarters, and an external expert team. Each of AICRPs, and examination of reports are the major the institutes also has a Management Board or methods of evaluation. Committee to broaden the base of decision making on research programs and resource allocation, and USE OF EVALUATION FINDINGS this meets quarterly. The evaluation findings have been used for restructuring (b) All-India Coordinated Research Projects (AICRPs) the system, e.g., adding new institutes/research units The AICRPs are monitored regularly by full-time and projects, redefining the mandate of different senior scientists - the Project Coordinators - and are research units, and making changes in their programs subjected to evaluation at annual workshops which and structures. involve not only the scientists engaged in the projects but also scientists from ICAR headquarters and RESULTS OF AN EVALUATION OF THE some senior research scientists from outside the ICAR RESEARCH SYSTEM system. These projects are also subjected to external evaluation every 5 to 10 years. A critical study of the evaluation and monitoring system in ICAR was carried out as part of a country report on the Role of Evaluation in National Agricultural 184 Research Systems (NARS) prepared for the ICAR headquarters. Similarly, on average, one International Development Research Centre (IDRC) of workshop was held each year, except in some projects Canada last year. It was based on responses to where it was once in two years. The recommendations questionnaires sent to the institute directors, heads of made at the workshop, as well as those of the mid-term divisions and project coordinators, and personal appraisal committee, were fully implemented. discussions with senior officers at ICAR headquarters, directors, and heads of divisions of 18 selected institutes. The ad hoc research projects funded out of the AP Cess Other documents related to the evaluations carried out fund and US-India fund which were subjected to by QRTs of the institutes and mid-term appraisal evaluation in 1985/86 numbered 1172 and 92, committees of AICRPs were also examined. respectively. Out of the 1172 AP Cess-funded projects, 696 were actually operating during the year. A total of The results showed that a small technical section existed Rs. 174 million and 86 million were spent on the two sets in each institute to help the director in research project of schemes. These schemes were monitored by 21 evaluation and maintenance of research project files. On scientific panels. average, two meetings of the SRC per year were held, and the progress of 70 projects was monitored, the final WEAKNESSES IN THE EVALUATION reports of 18 projects were evaluated, and 24 new SYSTEM proposals were considered, giving an overall average of 110 projects evaluated. The SRC meetings were held In spite of the well-laid system of research evaluation, over an average of three days, making almost 25 projects there is a general lack of appreciation of the need for and considered each day. The meetings were slightly longer role of research evaluation. Three major factors, the in the National Institutes; however, the time available centralized and generalized recruitment and placement for evaluation of each project was insufficient. Outside system of scientists, rotation of heads of divisions, and experts participated in about one-third of the SRC five-yearly assessment of scientists for their career meetings. advancement, appear to have led to lack of seriousness in planning, evaluation, and monitoring of research Although the SRC was considered highly effective by projects. There has also been a general decline in the the majority of the respondents, the time spent for standards of research performance, a lack of research evaluation would not suggest any real efficiency. The leadership, and a tendency to take more individual- examination of the RPFs in most of the institutes oriented projects and projects which are likely to yield a involved in the study revealed a lack of seriousness by large number of publications. The size of some of the project leaders, heads of divisions, and directors in institutes has also become unmanageable. evaluating the project proposals or their annual/final reports and in communicating these evaluation findings There is a need for a strong program planning, to the scientists to allow them to improve their monitoring, and control center at the ICAR performance. There was little funding of individual headquarters. This should have the major role in projects. Instead, the divisions/centers were given evaluation and monitoring, with an in-built system for budget allocations without any serious consideration of the flow of the information required for evaluation from the needs of the projects being carried out. the institutes, AICRPs, and other projects. The evaluation should involve authorities which have the The responses of the Project Coordinators (PCs) about power to modify or redirect programs and re-allocate the effectiveness of the research evaluation of AICRPs the resources. suggested that effective monitoring of these projects did exist through the visits of the PCs to the units and A number of factors have led to weakness in the role of through the annual workshops. Most evaluation is, the ICAR headquarters in evaluation and monitoring however, about effectiveness in implementing the of ICAR institutes’ research programs. These include: technical program and is primarily based on the peer review at the workshop. The major constraint in the - the dichotomy of administrative and technical wings at evaluation was the delay in the submission of the reports. the ICAR headquarters; It has been suggested that to make the evaluation more - three major national institutes which involve one-third effective, the PC units should be strengthened and the of the personnel and funds of the system reporting to external review of the work be done every five years. the Director General and not to the Deputy Directors The PCs visited each center on average once a year and General, who are heads of the technical divisions at communicated their observations to the center and the headquarters; 185 - non-involvement of the Assistant Directors General in - the impact of production technologies/new varieties evaluation and monitoring of the institutes’ research developed on the increase in production or programs; productivity per unit area/time. - little technical/administrative support to the DDG s for servicing the institutes. The present career advancement system, through assessment of the research output (primarily through In addition to correcting these anomalies, involving evaluation of the new varieties and the publication of external experts in research evaluation of the institute papers) of individual scientists, should be delinked from programs may help. In addition to effectiveness, the the evaluation of the research projects. Greater efforts programs should also be evaluated for: should also be made to encourage a multidisciplinary approach to research, since a major objective in - efficiency, especially the output in relation to efforts agricultural research is to solve problems related to made and manpower and infrastructure facilities production and productivity. invested; and 186 HUMAN RESOURCES PLANNING AND MANAGEMENT: A REVIEW OF ISNAR ACTIVITY Paul Bennell Senior Research Officer ISNAR This paper will briefly review ISNAR’s work concerning the Tunisian report, research needs by commodity and human resources planning and management (HRPM) disciplinary areas are specified in considerable detail, during the last twelve months. The main focus will be on using professional researcher full time equivalents the analysis and recommendations contained in NARS (f.t.e.). A ten-year planning period is adopted, and two reviews undertaken during this period. sets of first and second order research priority needs are presented (See Table 1). It is noticeable that no Three key HRPM subject areas will be addressed, sophisticated manpower planning methodology has been namely, planning, staffing and development, and used to determine these priority needs. Instead, they utilization. The following discussion will describe in have been derived as an integral part of the overall general terms how these different aspects of HRPM have research planning process. This once again underlines been dealt with in recent ISNAR reviews of national the point that human resource requirements for agricultural research systems and will consider some of agricultural research personnel can only be estimated on the main conclusions and recommendations that have the basis of carefully formulated national research emerged from these exercises. strategies and program objectives. There is no human resource methodology that can circumvent the necessity HUMAN RESOURCES PLANNING of undertaking this detailed planning and programming of agricultural research activities. Human resources planning is concerned with the assessment and provision of the types and amounts of By expressing future research needs in terms of scientific skills required for the attainment of predetermined tasks full-time equivalents, the Tunisian team can make a over a specified time period in the most cost-effective comprehensive assessment of human resource manner. In simple terms, this planning process can be requirements which is independent of the present divided into two main parts: one which is concerned with organizational structure of agricultural research in the question - what human resources will be required?, Tunisia. Once requirements have been established, it is and the other, which focuses on - what human resources then appropriate to consider what the most appropriate will be available? organizational structure should be. It also encourages a The level of detail and sophistication in dealing with national system perspective by implicitly taking into human resources planning issues has varied from one account all relevant scientific professional personnel in review to another. To a large extent this is mainly due to the country. Finally, it helps to ensure that new physical differences in the precise terms of reference of the review investments for agricultural research are planned so that mission and the extent to which they worked with they serve in a precise manner the needs of professional research managers and scientists (sometimes constituted personnel for research facilities. Too often in the past, as task forces) in developing estimates of human research infrastructure has been developed without a resource requirements for the future. clear conception of its future utilization by research personnel. ISNAR’s recent work in Tunisia is a good example of the benefits that can be derived from working closely with a On the basis of a rigorous examination of agricultural team of national consultants, each of whom has research needs in Tunisia, the team estimates that a total specialized expertize in certain clearly defined areas. In of 248 f.t.e. researchers will be required in 19% in order 187 to meet first-order research priorities, and 318 f.t.e. overseas training institutions, DR & SS should be able to researchers to meet second-order research priorities. recruit the required number of high-quality graduates to Given that there were approximately 245 f.t.e. attain the projected net increases in professional and professionals already engaged in agricultural research sub-professional staff, taking also into account activities in 1985, this means that the 10-year research additional recruitment to make up for the attrition of plan elaborated by the team could be implemented existing staff. The key resource constraint identified by without any increase in the overall numbers o f the team is the likely availability of experienced researchers. Furthermore, the team also concludes that researchers in D R & SS who have an essential role to if the experiment station network is rationalized in play in supervising inexperienced staff. It was accordance with their recommendations, then financial recommended, therefore, that DR & SS employ resource requirements in 1996 would be no higher than sufficient numbers of expatriate scientific staff as a stop­ at present. The second-order priority needs require only gap measure during the next 5-10 years. a 20% net increase in professional research personnel over a ten-year period. While research expenditure On the basis of an examination of the main commodities, would need to increase on average by 2.6% per annum factors and production systems in Zimbabwe, the team to ensure that these additional researchers are utilized allocated the projected professional staff complement of effectively, total agricultural research expenditure in 195 among the proposed research programs and research 1996 would remain at the mid 1980s figure of 1.6% of services activities. Again, it should be noted that it is the agricultural gross domestic product. research program (measured in full-time equivalent research person years) that provides the essential The limited increases in research personnel building block of the human resources planning exercise. recommended by the Tunisian team should be contrasted with the very large increases in research The review of the Institute of Agricultural Research in personnel which are frequently recommended in Ethiopia was centrally concerned with analyzing the national agricultural research plans. Clearly, in some feasibility of a comprehensive manpower development instances, these increases are justifiable, both in terms of plan developed by the Institute. This calls for a doubling actual research needs and in the likely availability of of professional research staff during a nine-year period. resources, but very often over-inflated estimates of While the team believed that IA R ’s projected human human resource requirements are produced which are resource estimates were well reasoned, concern was only tenuously related to the overall research planning expressed about the availability of university and other process. When this happens, human resource plans are graduates to meet recruitment targets. In general, the little more than 'wish lists'. The adverse consequences of overall demand for these personnel from government this approach to human resource planning are well agencies is much greater than the supply. Another set of known. A very similar human resources planning concerns expressed by the team focused on the ability of methodology was adopted in the Niger review, again IAR to train and effectively deploy such a large increase with heavy reliance being placed on collaboration with in mainly inexperienced staff across a much enlarged national research personnel in developing personnel network of research stations. The team recommended requirement estimates. that IAR should set up a Manpower Development Unit which would have the main responsibility for the The Zimbabwe review adopted a more aggregated implementation and monitoring of the manpower approach to determining human resource requirements development plan. than was the case in Tunisia. The team recommended that government financial support to the Department of During 1987, ISNAR staff participated in a review of the Research and Specialist Services (DR & SS) should NARS in Pakistan. With regard to human resources increase in real terms by 5.0% per annum during the planning, the mission report noted that further planning next 5-6 years, which is in line with the targeted growth should concentrate on improving the efficiency of of the agricultural sector under the present Five-Year existing research staff, with fewer additions of staff, National Development Plan. Under this particular concentrated on carefully chosen high-priority research financial scenario, the team calculated that the problems and that clearly delineated research programs Department could effectively employ approximately must form the basis of human resources planning. The 195 professional staff by 1992, compared with the 140- lack of a well-developed human resources computerized 150 who are currently employed. On the supply side, it information system was identified as an important factor was concluded that given current and projected outputs impeding the production of a long-term operational of agriculture and science graduates from domestic and research plan. In all NARS, but especially relatively 188 large and decentralized ones such as in Pakistan, Given the large investments in training by many NARS, research managers must have comprehensive, up-to- the need to evaluate the effectiveness of training date information on all key aspects of the utilization of activities becomes increasingly important. ISNAR will human resources. This will be dealt with in some detail need to give more attention to this in the future. in the presentations on management information systems and program budgeting. Training requirements for technical and administrative support personnel are given relatively limited attention STAFFING AND DEVELOPMENT in the review reports. This is symptomatic of preoccupation with professional personnel Control over the recruitment process is a prerequisite requirements, and development and utilization issues in for effective HRPM. With the exception of Tunisia, NARS. Again, this imbalance in treatment needs to be research systems reviewed by ISNAR missions during rectified. the last year have had sufficient control over the recruitment of researchers and other key categories of HUMAN RESOURCES UTILIZATION personnel. Furthermore, they have generally been able to attract higher-quality recruits, although again, A multitude of factors collectively influence the relatively poor conditions of service in the ministry efficiency with which agricultural research personnel are research organizations in Tunisia have militated against utilized. This, after all, is what agricultural research this. planning and management is all about. However, two particular issues have preoccupied recent ISNAR With regard to training, considerable emphasis is placed reviews: the level of staff morale and motivation, and on the need for carefully programmed on-the-job and closely linked to this, the availability of operational formal training for researchers and other support resources. personnel. Recommendations in this area are relatively uncontentious, given the widespread recognition by Concerns about motivation take one to the heart of what senior research managers in the NARS concerning the is conventionally known as organizational behavior importance of training. However, this is sometimes not theory. This focuses on the behavior of the individual in the case at the senior policy-making levels and among an organization and looks in particular at his/her specific government agencies responsible for approving training needs and responses to incentives, pressures and activities. influences in the work environment. The review reports generally identify poor conditions of service for An important issue is the extent to which a formal researchers and other staff as being the major cause of apprenticeship for graduate researchers should be poor motivation. Incomes are not only very low in an instituted. In the Zimbabwe and Uruguay reports, 4-5 absolute sense but also in relation to what is paid to year apprenticeships are recommended, composed of equivalent personnel in other public and private two years of closely supervised and structured on-the-job organizations. This is identified as ’the major problem’ training, followed by master’s degree training (or in Tunisia, where senior university professionals earn up equivalent) in research methodology and an appropriate to twice as much as equivalent research personnel specialization. employed in the Ministry of Agriculture. All the review countries, with the exception of Pakistan, The Uruguay and Zimbabwe reports make continue to be heavily dependent on overseas comprehensive recommendations about the grading and institutions for most postgraduate training, which has pay structures of researchers and technicians. In the case given rise to many of the well-known problems of cost, of Uruguay, the establishment of a new semi- relevance and duration. autonomous agricultural research organization (to be called Instituto Uruguayo de Tecnologia Agropecuaria) In those countries where very large increases in the has provided the opportunity for a thorough reappraisal research cadre are planned (Ethiopia, Uruguay), the of the existing conditions of service. formulation and implementation of comprehensive training strategies pose a major challenge. This is not The median experience-income profile for agricultural simply a question of costs, but equally significant are the researchers in Uruguay is flat, with very compressed problems associated with the sequencing of formal income differentials between staff with different levels postgraduate degree training and the selection of of experience. It is possible to analyze the extent to overseas universities. which incomes are dispersed around the median values. 189 This dispersion is limited in Uruguay, which indicates so, while at the same time receiving an income which is that seniority tends to be the most important equal to or even greater than that of management determinant of professional income. staff. The Uruguay report recommends that the existing grade * Closely related to merit promotion criteria and the and salary schemes should be replaced by new ones dual ladder, promotion to higher job positions should which will effectively meet the motivational and overall not be subject to the availability of vacancies in fixed career needs of IUTA professionals in addition to other establishments but simply on whether the individual staff categories. The report states that the new schemes fulfills the specified performance and service should be based on the following principles: requirements for promotion. * Simple in conception so that they can be easly * Provision for accelerated advancement of a specially understood by all employees and implemented in a competent and highly motivated staff who make straightforward manner. Thus, the existing system of exceptionally valuable contributions to research multiple income additions and allowances (for total activities. Without this flexibility there is the dedication, seniority, family situation, etc.) should likelihood that ’high flyers’ will leave to take up more whenever possible be consolidated into a single salary. attractive jobs elsewhere. * Effective promotion and financial incentives * An income growth curve that corresponds with the throughout the entire career of the staff member. underlying relationship between the age (or There should therefore be regular opportunities for experience) of researchers and their level and rate of significant promotion, which should be linked with growth of individual productivity. This curve should relatively sizeable percentage increases in normally be ’S’ shaped, with low productivity growth remuneration. during the early stages of the professional’s career, while new skills are being acquired, followed by a * For each staff category, a set of job titles which readily period of relatively rapid growth which gradually convey the competence and/or seniority of the staff tapers off as the researcher reaches the latter stage of member and also help to provide a clear sense of his/her career. career progression. The recommended new job grading scheme for researchers comprises: Assistant * Full-time employment but with some opportunities Researchers, Researcher 1, Researcher II, Senior for professional staff to supplement their incomes Researcher, Principal Researcher and Chief through outside consultancies. Researcher. On the basis of these principles, new grade and salary * Well-specified promotion criteria which place primary schemes for professionals in INTA are proposed in the reliance on demonstrated job performance but, where report. appropriate, give adequate recognition to the The existing grade and salary schemes for researchers attainment of job-relevant qualifications. Simple and technicians employed by DR & SS of Zimbabwe seniority criteria should generally only play a limited conform to a much greater extent to the above principles role. than in Uruguay. Consequently, the report’s recommendations are generally more limited, being * There should be dual administrative and scientific confined to making slight adjustments in the typical career ladders for professional staff. Thus the length of time spent by a researcher in each grade and competent professional who wants to remain a ensuring that the researcher enjoys steady career practicing scientist throughout his/her career can do progression for at least 30-35 years. 190 AGRICULTURAL RESEARCH IN ALGERIA AND ITS HUMAN RESOURCES R. Kellou Director General I.N .R .A .A . Algeria Translated from the original French INTRODUCTION improvement of agricultural production in Algeria. It is directed research, giving absolute priority to applied In Algeria, agricultural development, with its research without ignoring basic research. consequences for the improvement of the socio­ economic standing of rural populations, is a basic On the basis of the wide priorities of agricultural priority in national development programs. development indicated above, the operational programs of the national research and development establishment The agriculture and fisheries sector, in close cooperation cover: with the hydraulics sector, has started various activities over the past three years designed to intensify - knowledge of the environment: soil, water; wildlife, agricultural production under local conditions and to livestock and pasture resources; improve the productive potential. - development of phytogenetic resources; cereals, forage, dry leguminous crops, date palm; Priority in improving efficiency has been given to: - knowledge, improvement, and development of local zootechnical resources, and improvement of livestock - cereals, dry leguminous and forage crops; production: sheep, cattle, goats, etc.; - horticutural crops and potatoes; - optimization of production factors: water, fertilizer, - tree crops: olives, vines, date palm; seeds, etc.; - intensive cattle production for milk and meat, and - protection of crops and agricultural products, and upland cattle rearing; better veterinary care of livestock; - sheep rearing in the savannah; - developing plant byproducts, for use as animal food - poultry production; and/or as fertilizer. - seeds and seedlings. Organization This production intensification program is supported by specific activities in: The research and development establishment is, at the - professional agricultural training; national level, coordinated by a High Commissioner for - retraining and improving the qualifications of Research and, at the sectoral level, it falls under the executives; control of the Research Directorates of the interested - implementing and strengthening extension services; ministries (mainly Agriculture, Fisheries and - strengthening applied research and developing basic Hydraulics, Forestry, Environment, and Higher research. Education). It is a complex system, in which two large groups are apparent. AGRICULTURAL RESEARCH The first group consists of technical research institutes and national institutes in the economic sectors of Directives Agriculture-Fisheries and Hydraulics-Forestry- Environment. The national institutes in agriculture deal Agricultural research is considered as an essential and with agricultural research (INRA); crop protection, necessary function for quantitative and qualitative animal health, and soils, irrigation and drainage, while 191 the technical institutes cover major crops, industrial and For 1988, operating budget for agricultural research (all market crops, trees and vines, sheep and cattle, small sectors) is planned at 210 million DA, of which 21 livestock, and the development of Saharan agriculture. million, (10%) go to INRA. These institutes, which report to the Directorate of Training, Research and Extension, implement programs Equipment budget. Since they were created, the which have previously been submitted to the Scientific Institutes for Training, Development, and Research Council for Research and Development, the secretariat under the aegis of the Ministry of Agriculture and of which is provided by INRA. Fisheries have managed a large number of investment operations. In 1986, their list included 92 operations The other national institutes outside the Agriculture resulting from previous investment programs. This list Ministry deal with forestry research, water resources, has been shortened in 1987, owing to the closure of and environmental protection. several operations. Presently, these institutes manage 43 ongoing projects, with a total program authorization of The second group consists of the different units and 602,923,000 DA. training laboratories of university research. The human potential in agricultural research. We will only mention those that have a close working In 1986, the Commission for Research began an relationship with agricultural research carried out by the evaluation, at the national level, of the human resources agricultural sector. These are the National Agricultural available for agricultural research. These were estimated Institute, the Research Unit for Arid Zones, and the at 600 permanent and associated researchers. About 450 Research Unit for Biological Terrestrial Resources. of these reside in the University. Some 10% are professors and associate professors, 70% assistant The means professors, and 20% engineers. In the production sectors, the scientific potential is only Mainly, we discuss here the means to deal with the 150. These are mainly agricultural engineers, of whom operational structures of agricultural research (stations about 25% have some postgraduate education. and laboratories), finance, and principally, the scientific In INRA, all scientific and technical personnel work on and technical staff. research; there are 51 researchers, seven with postgraduate degrees, and 14 are studying for the Stations and laboratories doctorate. There are 45 research-experiment stations in the Thus, this manpower represents a third of the production ’’Research-Development” network, distributed sector’s total and 12% of the national total. throughout all the agro-pedoclimatic zones, excepting the mountain zone. There are 10 laboratories, usually PLANNING AND MANAGING HUMAN sited at headquarters or central stations. RESOURCES Finance The analysis of human resources shows some weaknesses, characteristic of the recent operation of the Operating resources. Operating resources mainly come research and development establishment, and of the from the state budget and are distributed in the form of support provided by higher education. These include: equipment and operation subsidies. - The diversity of research programs initiated by staff, Globally, the operation subsidy granted in 1987 to frequently with duplication, fragmentation, and scientific and technical activities in all sectors was without any precise objective in agricultural approximately 560 million DA, i.e., 0.9 percent of the development. state general budget devoted to operations. - Agricultural training, at the national level, which is mainly theoretical and divorced from the concrete Credits reserved for agricultural research in all sectors technical problems facing the farmers. There is a lack reached 187 million D A , i .e ., 33 percent, of this research of experimental farms, of fields for practical work, of budget, of which 24 million DA (12%) are for INRA. organized links between higher education and agriculture. - A real distortion in the way graduates are used. This is characterized by priority recruitment into education, a 192 sector with a high level of attraction resulting from its specialized by product, or institutes of the ’’horizontal” financial status. type, ensures that, given a better coordination, programming by objectives will be implemented, In 1981, a national seminar on scientific and technical aiming at priorities previously defined. research defined the main trends and priorities of research in Algeria. These were repeated and confirmed The main program items are: by various instructions from the Government and by the objectives stated in the ongoing development plan for - phytogenetic resources: collection, identification, 1985-1989. characterization, gene banks; - cultivar creation; Generally speaking, these trends required: - producing and developing rapid production techniques for plant material; - definition of a national program of priority agricultural - zootechnical resources and animal selection; research, taking into account the socio-economic - evolution and rational use of natural resources: water, concerns of the country; soils; - rational and organized use of the existing human - mastering climatic parameters which determine the scientific potential, if possible structuring development of crops, livestock, and rural multidisciplinary units (programming by objectives) construction; around a common direction of research; - rural socio-economics; - decentralization of financial and administrative - biometrics and informatics. management of research units (stations, laboratories, etc.); Human resources and their planning - coordination, evaluation and monitoring of research activities inside the High Commission for Research, so The planning of human resources, as presently as to ensure that research is adapted to the socio­ conducted, satisfies only the immediate requirements economic concerns of the country; resulting from current activities. This seems to result - harmonization, between the various sectors, of from an insufficiently defined programming by recruitment conditions and of the use of human objectives. A current study will shortly establish the scientific potential. human resource needs and the distribution per subprogram and per research operation. This plan of action, begun in 1985, allowed for Government investigation and approval of ad hoc The following programs are already being considered: programs, particularly as regards research priorities, organization of the implementing body, and - cereals, dry leguminous crops, forage crops (product); coordination of activities. - cereals, sheep (system); - intensive cattle production for meat and milk Finally, a statute modifying the operation of reasearch (product); structures, particularly for 1NRA and the technical - cattle, upland pasture (system); institutes, as well as agricultural research personnel, is - tree crops, mountain viticulture (product and system); being studied by the ministries concerned. - date palm (product); - saharan agriculture (system). Conditions bearing on planning and management of human resources Support by the training system The main conditions are research priorities set at the The numerous institutes of agricultural training are a national level, with the aim of reaching food self- powerful support for agricultural research, if the sufficiency in the medium to long terms. teaching is oriented to agricultural reality and completed by taking into account, at various levels, the scientific or They try to exploit, as rationally as possible, all the technical problems facing agriculture. means available or mobilizable (installations, finances, manpower, etc.) in the national research and This principle has been implemented very recently development establishment. (1986). On the basis of the accepted priority research program, it already allows research for engineering The present organization, with technical institutes projects or master’s theses to be conducted in the 193 research stations of the agricultural sector and, in preferential for the agricultural research sector; particular, INRA. - necessary access to scientific and technical information on a regular basis, the lack of which may leave the Doctoral education overseas is acceptable only if it researcher bypassed or even isolated (documentation, provides an initiation to research, followed by research seminars, congresses, colloquia, etc.). work devoted to a national problem and conducted inside the national structures. CONCLUSIONS Given that researchers in technical institutes are also Planning and management of human resources in the engaged in development or extension activities, it is clear agricultural research sector is a very complex endeavor that the productive sectors still do not have enough because: human resources to fully implement their research programs. It is an absolute necessity to ensure an - it addresses a field frequently affected by changes or organized contribution from higher education. reorganization imposed by agricultural development Moreover, this human national scientific potential is worries, inducing research programs in the short, unequally distributed in the various fields of research medium and long term; activity, because of the lack of general directives which - it bears on a fundamental component, people, but characterized past research and education (engineers' these are specialized technicians and scientists; memoirs and doctoral theses). - it deals with a living world, calling on all scientific disciplines, frequently in a cooperative way. A brief analysis of its components shows that there is a relative shortage of cadres in research fields as important Definition and implementation of a priority research as knowledge and exploitation of national resources program, planned by disciplines or objectives, using (pedology, hydraulics, agrometeorology, distributing, multi-disciplinary teams with sufficient management and combatting desertification). autonomy, and means to attain the set goals, are the essential conditions for successful agricultural research. Conditions of researcher evaluation Identifying set goals within research programs and subprograms with appropriate time planning, is a This concerns the main elements affecting the fundamental component of human resources planning, operational efficiency of a researcher. Whatever the organization, implementation, and management. The existing research system and its operation, it is difficult experience acquired in this field by ISNAR and the to ignore or minimize the importance of: World Bank should allow the development of concepts and methodologies for evaluating, implementing, and - career and remuneration statutes, which should be planning human resources, that we could utilize. harmonized throughout all sectors and even, we think, 194 GENERAL STRATEGY FOR PHYSICAL RESOURCES PLANNING AND DEVELOPMENT: GUIDELINES Ghazi Hariri Senior Research Officer ISNAR INTRODUCTION objectives and research priority setting and resource allocation by major regions, commodities, and human Successful agricultural research depends upon the and financial resource development; and with the effective planning and development of human, financial, planning and management of physical resources at the and physical resources required for carrying out research institutional level. activities. It is therefore essential for agricultural research leaders to develop the knowledge and skills DEVELOPING A NATIONAL PLAN FOR that will enable them to maximize the efficiency and AGRICULTURAL RESEARCH PHYSICAL effectiveness of these scarce resources. The availability RESOURCES and maintenance of physical resources to conduct laboratory and field experiments and studies is a sine The planning of physical resources has been defined as: qua non for agricultural research. ’assessing the requirements, and the availability,of suitable functioning physical resources, which are Development of good research physical resources is an needed for the research program implementation to extremely complex process. Physical resource planning attain research objectives over a specified time period in and development systems exist to support scientists and the most cost-effective manner’. Hence the physical their investigations. The consistency and quality with resource plan brings together the research plan, the which they receive such support has a great influence on financial resources, and the physical resources available the quality of research output. The inadequacy of for the scientists to carry out, within an appropriate research physical resources, especially land areas of organizational structure, their research activities significant size and suitably located for field efficiently. experiments, is a limitation to effective agricultural research in many developing countries, of significance Physical resource planning helps in establishing new equal to the shortage of human resources. stations, or consolidating old stations, and enhances the efficient servicing, maintenance, and utilization of The tendency to neglect physical resource planning and buildings, land, equipment, and personnel. This requires development will harm research output and destroy attention to service facilities and spare parts; local and creative climate. Diagnosing the problems in planning foreign currency for buying what is needed; utilities and development of physical resources which commonly (notably power and water supply); well-trained technical disrupt the activities of the research program and impair assistants; and efficient supply and purchasing its effectiveness and efficiency should be one of the procedures. important tasks of research management. Planning and development of a N A RS’s physical This presentation examines the main issues in physical resources are not done in isolation. They are closely resource planning and development for agricultural related to such factors as the system’s program needs, research which will assist agricultural research leaders in and its financial and human resource bases. In making their efforts to improve physical resource management decisions about the type and number of research and development. It deals with the planning of a national stations, support services, and equipment, a infrastructure, taking into account national policy fundamental consideration is sustainability, over time, 195 from national resources. Recent trends towards • national; shrinking real research budgets for many national • administrative regions and/or districts; agricultural research systems (NARS) have led to an • according to agro-ecological zones. enormous drain by the recurrent costs of supporting a large infrastructure on NARS budgets, often at the Research priorities at the national level may require expense of human resource development or adequate stations capable of dealing with broad problems and able operating funds. In the face of declining budgets, to integrate research efforts to solve these problems. therefore, consolidating research stations to a Establishing stations for homogeneous agro-ecological reasonable number and spread may be desirable. zones, may facilitate researchers grasping the social and economic constraints and potentials and may aid Once research priorities are determined, long-term implementing research findings. Establishing stations at plans for developing human, physical, and financial the level of the administrative region and/or district is resources can help ensure continuity in research, likely to help in improving formal and informal adherence to established priorities, and rational interaction with policymakers, extension services, development of resources. Long-term plans help to development organizations, and farmers. maintain research priorities and define research agendas more realistically than can be done through annual Once the need for a research station has been decided, planning alone. the research system must ensure that financial resources are available for establishing the station, the required Since planning is concerned with establishing broad professional and support personnel for carrying out research objectives and specifying overall resource research priorities are available, and operating funds are allocation to each program, station and expertise sufficient and adequate, and available on time. requirements should be expressed as aggregated Therefore, the need for financial and human resources estimates of the human and physical resources required plans to match the physical resource plan is obvious. for each program over a certain time period — medium and/or long-term, from 5 to 10 years. Once future PLANNING OF PHYSICAL RESOURCES resource availabilities are known, more detailed FOR EXISTING RESEARCH STATIONS planning must be undertaken in order to allocate these resources to activities within research programs. Research managers and other decision-makers in the government must decide the optimum allocation of PRIORITY INDICATORS OF THE NEED resources among the various possible research FOR NEW RESEARCH STATIONS programs, given overall national and agricultural development objectives, and likely resource availability Setting priorities in the distribution of resources likely to in the future. It is necessary to emphasize the distinction be devoted to research priorities for the duration of the between strategic and long-term program planning. The research plan is essentially a political decision. However, strategic plan is concerned with establishing broad this decision must be based on information collected and research objectives and specifying overall resource presented by agro-economists, planners, and biophysical allocation to each program over a given time period. scientists. Thus, at this level of planning, physical resource requirements are expressed as aggregated estimates of The principal priority indicators to be considered for the cost of physical resources for each research station. establishing research stations are: a. geographic level of research priorities; Once future resource availability is known, more b. availability of professional and support personnel to detailed planning must be undertaken in order to carry out research priorities; allocate these resources to programs within the research c. availability of financial resources needed for station. implementing research priorities; d. sufficient and adequate operating funds to maintain Estimation of the costs of new items and operation of implementation of research priorities. physical resources are accompanied by the estimation of the appropriate kinds and levels of skills of researchers Research stations in a country, whether multipurpose or and other personnel available at present and required in commodity, may be located in terms of scope of the future. These estimations must be done on a careful operations, at three levels: analysis of the capacity of the research system or organization to productively utilize these resources in 196 the future. Thus, precise estimates should be made for together the research plan, the funds requested, and the capital, salaries, and operational requirements for physical resources required for scientists to carry out implementing research programs. The cost can vary their research efficiently. The following steps could be from one type of research program to another and thus considered when developing such a plan (figure 1). can strongly influence the numbers of researchers who could be productively employed by the research system Figure I. Physical Resources Plan or organization, and may influence the amount of investment needed for physical resources. Physical Status and Use Proposed Resources — i of Physical ----------------------- >Research MONITORING AND REVIEWING Data Base Resources Plan PHYSICAL RESOURCES Physical resource monitoring is essential for efficient Strategies for: implementation of the research program. Performance • Site Develop­ depends upon the efficiency with which the resources ment are deployed and activities executed in order to achieve • Maintenance research objectives within a given time frame. A primary and Repair aspect of the research monitoring process is review of • Supply and the physical resources which are to be the source of Purchasing program benefits and the means of achieving program • Personnel objectives. This review requires the generation of Development physical resource information, at varying frequencies, for various levels of the management hierarchy, relating Adjusted to the availability and development of staff; the Research availability and development of equipment, including Plan servicing; progress in constructing or maintaining buildings and land, the availability and distribution of inputs (e.g., office, laboratory, farm, and workshop Human inputs), taking into account the requirements of Resource appropriate supply/demand balance and timing; and Plan cash flow and budget provisions and expenditures. PLANNING AND OPERATION AT THE 1. Begin with the proposed long-term research program RESEARCH STATION LEVEL for the next five or so years. What do you want to accomplish? How much? Over what time span? Use Buildings, land, equipment, and other components of the physical resource data base and show that physical research station physical resources will deteriorate and resources status and use have been considered in become eventually non-functional without a strategy for developing the proposed long-term research physical resources planning and maintenance. For program. What physical resources do you have? instance, non-functioning equipment should be repaired What quantity? Quality? Where are they? in a timely fashion or disposed of. Research support services, supply and purchasing, maintenance and 2. Develop strategies for site development, repairs, publication and information, etc., can actually maintenance and repair, equipment development, enhance research effort if they are properly planned, capital/assets and expendable supplies, centralized organized, and run. Site and equipment development services, physical resource personnel development, should be the main responsibility of research and policies and procedures for managing physical management, to ensure that research will have the resources. benefit of adequate equipment and facilities. Centralizing services and sharing equipment and 3. Prepare long-term plans for funding available and facilities will maximize the use of physical resources. anticipated physical resources. Do you have enough physical resources to do the work? What are the PHYSICAL RESOURCES PLAN needed items? How much will these items cost to buy and maintain? What are the foreign exchange As discussed earlier, the physical resource plan brings requirements? Long-term factors to be estimated: 197 costs of site development (land and buildings: - it should develop monitoring procedures for the use of existing and/or new); develop a site development physical resources. and use plan; • costs of maintenance and repair for available and STATION OPERATION AND anticipated physical resources; develop a MANAGEMENT maintenance and repair plan; • costs of supply — capital/assets and expendables - It is essential that all station activities should be designed in local and foreign currency for items to be to implement the research program efficiently. imported; and develop a supply and purchasing Strategies must be considered for developing and use of plan; buildings and land, maintaining and repairing, • costs of training people associated with physical developing equipment, supplying and purchasing, resources - in planning and/or operating physical developing physical resources personnel, and resources — for in-country and in-service training, centralizing services at national and research station and for abroad and in-service training; develop a levels. physical resources personnel development plan. Site development and use (land and buildings). 4. Develop a physical resource long-term plan which Agricultural research needs to have a consistent long­ encompasses the plans for site development and use, term land and buildings use strategy to function maintenance and repair, supply and purchasing, and effectively. physical resource personnel development. The physical resource plan should be congruent with the In agricultural research we may perhaps work with financial and human resource long-term plans. inadequate buildings and library, but certainly not with a Furthermore, the physical resource plan should take poor research field facility. Having a vast complex of into consideration the research mandate of the expensive buildings, paved roads, houses, and institute or station, the agroecological resource base, laboratory facilities does not contribute much to good the agricultural production situation, the nature, field research. The research needs should dictate the level, and scope of research programs, and the design of land and buildings as well as other physical current and future activities. resources and services. 5. Adjust the long-term research program, if there are The specific needs of buildings and land may vary with unanticipated changes in financial, human, and the country and location, but the pattern of development physical resources. remains basically the same. The selection and initial development of the physical plant — land and buildings - Issues to be considered while developing a long-term is extremely important, however. plan for physical resources: In field design, the field research facilities should come - a data base on physical resources should be available first, with buildings and other physical needs to be fitted and current; into the design. In the development of many stations, - it should show what is needed as new supplies; unfortunately, dwellings and offices occupy the choice - it should show what is needed for the development of sites, and research fields are fitted around them. As a old and new sites, i .e ., new stations and/or substations; general rule, critical research cannot be carried out - it should show what is needed for centralized services; within about 50 meters of dwellings. Experience has - it should show the funding available and its allocation shown that a very firm stand is required to prevent to purchasing of supplies, maintaining and repairing of encroachment of buildings, roads, electrical lines, and physical resources, developing buildings, land and other facilities on research fields. It is essential to keep in other components of the research site, and training of mind the primary purpose of the station: field research. physical resource personnel; The development pattern thus requires that research - it should show the existing in-country capabilities to people, and field scientists in particular, serve supply the needed new items; prominently on station planning and development - it should estimate the foreign currency needed for committees. supplies, e.g., equipment, chemicals, books and journals, and others, and for foreign training of The main issues to be considered for establishing a personnel; research station are site selection, master plans, and the overall plan for research fields and laboratories. 198 Maintenance and repair. Availability and maintenance to a need for the consideration of systems based on of physical resources for conducting research are crucial modern technology; i.e., computers for agricultural research. The maintenance and repair of - Import policies and lack of foreign exchange prevent physical resources can never be overlooked. In most research institutes from importing the required research institutions maintenance and repair of physical equipment and expendable supplies, e.g., laboratory resources receives the lowest priority in budget chemicals and glasses, most of which are made in allocation. Funds for maintenance are usually the first to industrial countries. suffer in budget shortfalls. In cases where considerable - Tedious lengthy administrative procedures are investment has been made in buildings, land, required to assure availability of supplies and materials equipment, and supplies there is no concomitant at the right time at the research institutes. provision for maintenance. As a matter of fact, capital investment should be accompanied by an increase in the Centralized specific services and sharing facilities. operational budget to some 20 percent of this Support systems should be consolidated whenever investment. Maintenance can and should be possible. Resources may be sufficient for a shared facility programmed into the long-term plan, with financial and insufficient if two facilities are created. Sharing and provisions as a high-priority budget item. centralizing some facilities, where possible, should be adopted to maximize the use of physical resources. To The first step in developing a strategy for maintenance do so, inventory the existing physical resources to and repair of the research institute’s physical resources is promote inter-institutional and inter-departmental use to estimate the capacity of the institute’s services to meet of such resources, make accessible and facilitate the use maintenance needs. The establishment of operation and of sophisticated and expensive equipment in the support of an institutional maintenance service institutes of the NARS, and study the feasibility of represents its own set of specific management centralizing some facilities and services at the national challenges. Maintenance and repair staff, with their and institute levels. particular management requirements, differ from those of the scientific and administrative staff. They need Personnel development and training. One of the major special training, organizing, and support, with specific constraints to productive agricultural research is the lack policies, procedures, and repair equipment. In the case of qualified research support staff - administrative and where institutes cannot afford to establish maintenance service. It is estimated that an average of 10 research and repair units for sophisticated and advanced scientific support specialists, including physical resource staff, are instruments and equipment, it is proposed to establish required to support each agricultural scientist. This this unit at the research system level. figure varies from situation to situation, depending on the institute’s research mandate, availability of The second step is to estimate the current and future equipment, facilities, local services, and the capacity of need for supplies, spare parts, and special equipment for scientists and support staff. the maintenance and repair services. The requirement for development and training is not Successful maintenance depends on available parts only for research managers, but for the entire spectrum inventories. Thus, the third step is to develop physical of physical resource staff. This encompasses managers resource inventories. and operators of physical plant services, purchase and supply staff, field and laboratory technicians, and Supply and purchasing. It is impossible to keep maintenance and repair staff. buildings, land, equipment, and supplies running without a supply and purchasing system that can provide Physical resource planning, the people associated with the neccessary inputs for operations, maintenance, and planning, and their responsibilities can be summarized repairs in a timely fashion. Typical problems keeping as in the following table. supply and purchasing from functioning effectively, for instance, are: - The lack of foreign exchange prevents libraries from continuing subscriptions to scientific journals and current books. The rapidly increasing cost of maintaining traditional documentation systems points 199 Table 1: Responsibilities o f sta ff associated with physical resource planning and development Physical Site Maintenance Supply and Physical Resource Development and Repair Purchasing Resource ^Subplans Personnel Staff Training 1. Scientists • suggest • maintain • requests for • identify development physical specific training needs at resources supplies needs station level the use, and requests for development 2. Managers • plan at • plan at • plan at • assess and (Directors of station level station level station level plan at station Station, Heads of level programs, Admin. Officers, Farm Managers) 3. Physical • suggest • maintain and • requests for • assess and Resource development repair, within fixed supplies request Operators needs at their capaci- training (including Farm station level cities, and Managers) requests for development 4. Policy Makers • plan at • plant at • plant at • plan at (e.g., director national level national level national level national level of research or planning at ministry level) It is clear from the above table that planning of physical and physical resources. The planning and development resources at the institute level is mainly the responsibility of a NARS’s physical resources is not done in isolation. of managers of the institute - directors of stations, heads It is closely related to such factors as the system’s of programs, administrative officers, farm managers, research program needs, its financial resource base, and etc. — while planning of the same at national level is its human resource endowment. They determine the mainly the responsibility of policy makers, e .g . , directors framework of such planning and development. of research or directors of planning at the ministry level. Scientists, as well as operators, play a great role in REFERENCES providing information for planning and development of physical resources. Training in planning and A M PU ER O , E. 1981. Organization and administration development of physical resources should be offered to of experiment stations in developing countries. Cornell managers as well as policy makers and scientists. International Agriculture Mimeograph 86. 27p. CONCLUSION BALDERSTON, J. 1985. Support operations can enhance research. Society of Research Administrators Successful agricultural research depends upon the Journal, 1985, p .5-12. effective planning and development of human, financial, 200 CIMMYT. 1985. ’Outline of experiment station NUNN, E.W. 1985. Improving research institutes’ management training course’. support and development services: scope and proposals for enhancement. A draft, 15p. H ARW O OD, R.R. et al. 1971. The field research center, p. 186-192. In ’National agricultural research RA O , A. 1981. Strengthening the capability of systems in Asia. 271p. Edited by A .H. Museman. experimental stations, p.265-270. In ’Agricultural research management: Asia. Volume 3. SE A R C A ’. NUNN, E.W. 1983. Organisation and management for the support of agricultural research at the research SENANAY AKE, Y .D.A . (Editor). 1980. Experiment institute level. 264p. Ph.D. Thesis, University of station management. Proceedings of a Seminar- Reading, England. Workshop, September 7-8,1978, Peradeniya, Sri Lanka. 143p. SEARCA. 201 202 AGRICULTURAL RESEARCH SYSTEM IN EGYPT A.H. Shehata Director General Agricultural Research Center Egypt AGRICULTURAL BACKGROUND Furthermore, ample and ever-increasing evidence from research trials and large-scale demonstrations carried The agricultural sector of Egypt accounts for 21% of the out during the 1980s suggest that Egypt has enormous Gross Domestic Product (GDP) and involves 34% of the potential to further increase agricultural output despite total work force in the country. The cultivated land area, its relatively high levels of productivity. all under irrigation, is estimated at 2,500,000 ha, with a cropping intensity of about 1.9 crops per year; thus There is a strong belief that the future of Egyptian giving a total cropped area of 4,900,000 ha. At present, agriculture depends on securing a continuing stream of only 3% of Egypt’s total area is under cultivation. What improved agricultural technology. Because of the compounds the problem of man and land in Egyptian relatively high levels of productivity already achieved, agriculture is a population increase of 380% since the and the complexity inherent in irrigated intensive turn of the century, while land under cultivation has agriculture, the technological contraints on Egyptian increased by only 25%. agriculture are greater and more sophisticated than those operating in most other developing countries. During the last 20 years, food production in Egypt has Egypt is perhaps more dependent upon further failed to keep pace with consumption, and the country improved agricultural technology than any other has become increasingly dependent upon food imports. country. Therefore, any strategy to improve agriculture Three main factors have contributed to the present gap must give high priority to removing whatever constraints between production and consumption of agricultural limit the relevance, efficiency, and effectiveness of food commodities. These are: programs concerned with the generation, validation, and wide-scale application of appropriate agricultural - a relatively low level of investment in the agricultural technology. sector in general, and research/extension programs in particular; HISTORICAL BACKGROUND - slow growth in productivity and total production of major food commodities; Egypt initiated agricultural research on a modest scale at - substantial increases in demand for food due to Gaza as early as 1897, in what was know as the ’’Royal unchecked population growth and to considerably Agricultural Society” . In 1910, the Egyptian government larger increases in per capita consumption. established the Department of Agriculture under the Ministry of Public Works, to perform "agricultural Several assessments of Egyptian agriculture have research, seed production, extension in crop production, emphasized Egypt’s unusually favorable land, water, and with emphasis on cotton, soil and fertilizer analyses, and climatic resources. These have enabled the country to pest control.” Only three years later, a separate Ministry attain relatively high levels of productivity when of Agriculture (MOA) was established. This underwent compared with world average yields. Yield data from various organizational changes over the years. In 1971 a FAO indicate that yields of several crops in Egypt, like presidential decree established the General Authority wheat, rice, maize, lentils, and soybeans, compare for the Agricultural Research Center, thus unifying all rather favorably with those in more-developed regions research functions within the MOA under one of the world such as North America and Europe. administration. 203 The Agricultural Research Center (ARC) started as a of the ARC, who is responsible for the day-to-day semiautonomous organization, with the Minister of operations and the supervision of technical, financial, Agriculture as Chairman of the Board. More recently, and administrative matters; three deputies for Research, the ARC was extensively reorganized as a direct result Experiment Stations/Production, and Extension; the of a presidential decree in 1983. This decree established directors of the 14 institutes; a representative of the the ARC as a scientific and extension institution and Academy of Scientific Research and Technology gave it broad general authority for agricultural research (ASRT), and five consultants versed in agriculture and and extension activities in Egypt. An earlier decree in selected by the Minister of Agriculture. The main 1982 gave the ARC responsibility for the production functions of the ARC Board are to: farms known as ’’state farms” , under the General Authority for Agricultural Production, which was - organize, plan, coordinate, promote, and review amalgamated into the ARC. agricultural research; - arrange to utilize the results of research; Not all agricultural research activities are centered in the - identify problems and develop closely coordinated ARC. Four other research centers, in various ministries, research programs; 13 university colleges of agriculture, and four faculties of - plan and develop extension programs; veterinary science are also involved in research. Several - administer agricultural research stations; research activities in the universities have recently been - publish or otherwise disseminate research results and coordinated with the ARC programs through a agricultural information; university grants system adopted by the M OA and - foster relations with national and foreign scientific funded through USAID grants. institutions. Although the ARC is the largest agricultural research The Board may establish subject-matter committees to organization in the country and has the primary mandate review research projects and report on matters that may to undertake agricultural research, considerable be referred to them. research is carried out by the other institutions, with very little coordination. Several proposals have been Within A RC there are four major divisions dealing with advanced and are currently under consideration to research, extension, agricultural production and establish a mechanism for coordination of agricultural research stations, and finance and administration. There research at the national level. are also seven general departments (library, technical office, technical inspection, planning, legal affairs, NATIONAL CENTRAL AGRICULTURAL financial and administration inspection, and RESEARCH ORGANIZATION organization and administration). The Agriculture Research Center (ARC). After the A three-dimensional management matrix has been reorganization of the ARC in 1983, the center was better adopted since 1985 to facilitate planning, qualified to play the major role in realizing the implementation, monitoring, and evaluation of research technological leap needed for agricultural development within the ARC. The three dimensions are: in Egypt. Accordingly, the ARC became entrusted with a twofold mission: Research Insitutes. There are 14 institutes and 3 central laboratories. Each institute is governed by a council (a) to generate a flow of applied research results for the composed of the heads of the research divisions, the two creation of the agricultural technology needed to deputies, and chaired by the institute’s director. The ensure the continous development of agricultural institutes deal with soils and water, cotton, field crops, production; sugar, horticultural crops, plant pathology, plant protection, agricultural mechanization, animal (b) to ensure the widespread transfer and extension of production, animal health, animal reproduction, serum such technology among farmers to achieve higher and vaccines, agricultural economics, extension. The yields and better income, and to determine the laboratories cover pesticides, experimental design and economic effects of those new technologies and protein and feed analysis. devise solutions to application of problems. Coordinated multidisciplinary research programs. The ARC is governed by a Board of Directors chaired by During the 1970s not enough research was directed the Minister of Agriculture and consists of the Director towards solving production constraints. Applied 204 research did not significantly reflect the major goals of and consolidate the interface between the two sub­ both vertical and horizontal agricultural development. systems; Furthermore, the interrelationships among specialized - improve coordination of technical assistance projects institutes occupied low priority in research programs. In in research and extension and use available resources the last five-year research plan, 1982 - 1987, a in developing and strengthening the basic infrastucture multidisciplinary approach was adopted, and twelve and institution building; national programs were implemented. The new five-year - participate and help develop a national strategy for research plan further emphasizes the multidisciplinary seed production distribution and marketing; concept. It includes 18 integrated improvement - provide adequate funding to research stations, programs in: cotton; maize and sorghum; wheat and institutes, and programs; barley; rice; oil seeds; sugar; legumes; forage crops; fruit - monitor and effectively analyze the socioeconomic trees and ornamentals; vegetable and medicinal crops; implications of newly developed technology at the soils, water, and fertility management; crop farm level, and keep a two-way communication and intensification and agricultural systems; adaptive feedback mechanism operative; mechanization; milk and meat production; small - upgrade and expand facilities for publication, ruminants; poultry; new land technology development; documentation, and library services; and integrated pest management. - strengthen ties with universities and other research institutions at the national and international levels Regional Research Stations. The 13 field crop, 7 wherever resources permit. horticultural, and 11 animal production research stations across the country, as well as production farms, with a While such a strategy meets the approval and blessing of total of 11,000 ha, have been organized into regional all concerned, there is still a lot to do to translate all ARC clusters under a deputy director for experiment components of this into coherent action programs. stations and production. Each regional station has a director seated at one of the research stations, IMPACT OF AGRICULTURAL RESEARCH designated as the regional headquarters. Operations ON AGRICULTURAL PRODUCTION and maintenance budgets for research stations and production units flow through the regional directors. The accomplishments in the agricultural sector as a Thus, the various research stations in a region form a direct result of applying research results over the past 30 composite regional station, even though some are far years are impressive. One example will suffice here. apart. Staff at research stations remain as members of Cotton production increased from 700,000t in 1950 to their respective institute. Staff at ARC headquarters 800,000t during the 1980s, despite a decrease in cotton continue to conduct research on the stations, and joint acreage from 810,000 ha to 405,000 ha. Other examples planning and budgeting continue through the permanent can be found in cereals, vegetables, and livestock committee for research, planning, and follow-up, production. chaired by the ARC director and including all institute directors and the 3 ARC deputy directors. As a These improvements in average productivity were compliment to reseach carried out at the stations, 18 on- accompanied by an increase in cropped area of 690,000 farm verification units are permanently located at the ha between 1960 and 1980. Furthermore, the use of provincial governor level to carry out on-farm research nitrogen fertilizer jumped from 5(H),OOOt in 1950 to in collaboration with the respective intitutes’ programs. 3,500,000t in 1980, a 450% increase. ELEMENTS OF AN ARC STRATEGY The 1980s saw wide-scale demonstrations and extensive production experiments in farmers’ fields showing the An overall strategy was formulated by the ARC productive potentials of new varieties developed by the management and approved by the Board of Directors in ARC programs, together with packages of technical January 1985. The elements of that strategy, in recommendations. In the maize national production summary, are: campaign, for example, run over thousands of acres during the 1980 - 1986 period, yields of around three - concentrate on integrated multidisciplinary programs; tons/acre across 13 governorates in upper and lower - establish priorities in research according to clearly Egypt were seen. This average, over some 375,000 acres identified production constraints at the farm level; in 1986 alone, is almost double the present national - strengthen linkages between research and extension, average, and some rather progressive small farmers 205 obtained three times the national average. These results scientific staff is involved in animal production research, were achieved through the cultivation of three ARC- the share of animal production in total production value developed varieties. These results show that appropriate is estimated at 35.5%. agricultural technology has already been generated or introduced. Now it needs to be widely applied through In the ARC, research staff account for just under 9% of the intensification of extension programs. the total workforce. The majority of employees are clerks, technicians, and laborers. Nonetheless, the MANPOWER IN AGRICULTURAL number of research staff changes continuously because RESEARCH staff members with Bsc or MSc degrees have the right to continue to the PhD level. At least 30% of their time on Egypt is one of the few developing countries not the job is allowed for their course work and thesis suffering from a shortage of trained and adequately problems. From 1982 to 1987, 139 scientists were qualified staff in agricultural research. In fact, Egypt promoted to chief researcher, 213 to senior researcher, provides, on-loan, about 20% of its total research staff and 655 who obtained their PhD degree to researcher. resources to other Arab and African countries. The 1981 The A R C management put great emphasis on training estimates of available manpower gave a total of 3267 for both research and non-research staff, as well as scientists and 4403 assistant researchers. With an annual extension personnel. From 1982 to 1987, 655 of the growth rate of 10%, the total number of research staff, A R C ’s junior research assistants obtained PhD degrees, including universities, other research centers, and the in addition to 352 who obtained MSc degrees from ARC, is estimated at 10,000 for 1986. Since the 1930s, national and foreign universities. More than 540 staff Egypt has a history of providing scholarships for members were given the chance to visit other institutions potential young scientists to obtain PhD degrees in in developed countries for short periods. Furthermore, agricultural sciences from the best universities in the ARC provided the extension service with 20,355 person- USA, UK, Germany, and the USSR, among other days of training on new developments in agricultural developed countries. Furthermore, during the last two technologies. An additional 17,310 person-days of decades Egyptian universities have been carrying out an training were given to A RC staff on foreign languages, impressive MSc and PhD training program. Today, administration, management, statistics, and computers. highly qualified and dedicated scientists are available in all research institutions. However, there is an evident LINKAGES WITH EXTENSION need to examine and improve employment, working conditions, and motivation, if the country expects them The transfer of agricultural research results in the form to perform up to their full potential. of simple production recommendations suitable for wide adoption by farmers is the cornerstone of any The actual time allocated to research functions varies agricultural development. In recent years, a from one institution to another and from discipline to considerable volume of research results has been discipline across institutions. At the universities a large accumulated. Recommendations derived from these segment of staff time is devoted to teaching. Only about results did not spread into farmers’ fields at a satisfactory 40% is allocated for research, and this is largely the rate, particularly, during the 1970s. The increases in supervision of thesis research problems. In the A RC and agricultural production so far realized, even though other research centers, twice as much staff time is encouraging, are much less than the potentials indicated available for research and extension support. by on-farm verification and demonstrations. This is due, in part, to a lack of adequate coordination between In all cases, a minimum of 10-15% of staff time is used research and extension, a lack of adequately trained for administration and consultancy. By 1986, in A RC at extension staff, the need for a specific national plan for least 30% of staff time is required for extension subject- extension, and the absence of a clear educational matter support. philosophy in extension. An examination of manpower resource distribution by It was mandatory, therefore, to review the role of groups of commodities against the value of production agricultural extension and its place in the chain of reveals some discrepancy. While horticultural crops technology generation and transfer. Subsequently, a account for 23.6% of agricultural production value, directorate for extension was created within the ARC some 31.4% of the total manpower in research is organizational structure. Research and extension are working in horticulture. The opposite situation is found considered by the ARC management as two sub-systems in animal production. While only 24.4% of the total of a holistic approach to agricultural technology 206 generation, validation, and demonstration. An institute - Agricultural Research Review, which dates from 1922. for extension research has been established to deal with It is issued annually in nine parts per volume. It matters such as adoption problems, impact, represents the major medium for publication of socioeconomic factors, and extension methodology. agricultural research carried out by the ARC staff. There are about 4000 extension workers at the provincial Published in English, with an Arabic summary, the governorship, district, and village levels, under the Review is exchanged with 200 local and 130 foreign direction of the General Department of Agricultural institutions. Extension in MOA. There have been improved extension/research linkages during the 1980s, as the - The Agricultural Scientific Extracts aim to introduce following three instances show: recent world agricultural technologies to Arabic­ speaking agricultural specialists and technicians. This (a) ARC researchers are required to actively participate series was first published in 1956, one volume annually. in problem identification, technology validation, Each volume contains three parts of 240 pages each. and demonstration. Visits to farmers' fields to give technical support to extension workers are an - The ARC Technical Series aims to disseminate ARC integral part of their job description. In fact, recommendations about specific commodities and/or extension-related activities are part of the criteria production problems. The target audiences are for promotion in the ARC. Subject-matter progressive farmers, extension officers, and food specialists belonging to integrated commodity industry specialists. During the last five years hundreds improvement programs currently work closely with, of bulletins have been issued. and give technical support to, general extension at the district level. However, much more effort is needed to make up-to- date information in agricutural research and technology (b) Regional experiment stations serve as centers for readily available to scientists at all institutions. It is technology dissemination in their respective zones. recommended that a centralized, computerized data­ They are active in producing all foundation seed and base and information storage and retrieval system, part of the certified seed of major field crops and at including a catalog of country-wide library holdings on least 60% of the total demand for seedlings of agriculture, be created to enhance existing facilities. horticultural crops. Although expensive to initiate, this investment is regarded as essential. In line with this recommendation, (c) Short courses are offered by the ARC to extension the ARC has recently joined the AGRIS and CARIS staff at central and regional levels through the networks of FAO and the National Information integrated commodity programs. Network. AGRICULTURAL RESEARCH BUDGETARY SUPPORT FOR INFORMATION AND DOCUMENTATION AGRICULTURAL RESEARCH There is no agricultural library in Egypt that is It is widely accepted that a steady increase in agricultural completely adequate for a major research or educational productivity through technical change is indispensable institution. However, there are modest libraries at the to national economic growth. Increases in productivity National Research Center (NRC) of the Academy of in the past 100 years have come largely from science- Scientific Research andTechnology (ASRT), ARC, and based technology and from changes in management and the colleges of agriculture. Branch libraries are also inputs developed through organized research. found in ARC institutes and regional stations. These Worldwide experience shows that returns from facilities have been suffering for years from the absence investment in research may be two or three times greater of back issues of periodicals and magazines due to than can be obtained from other investment financial difficulties. opportunities. The main A RC library contains over 6800 books, some However, all research organizations in Egypt suffer from 132 periodicals, more than 500 technical bulletins, 2894 limited financial support. The A RC research budget MSc and 1600 PhD dissertations. Some periodicals go over the past five fiscal years 1982/83 to 1986/87 typifies back to the beginning of the century. The ARC also the budgetary difficulties encountered in all research produces three main publications on a regular basis: organizations in the country. Extensive staffing overloads the regular budget, with at least 60% going to 207 salaries and incentives. Despite this, average wages are Multidisciplinary cooperative research, progressive quite low. In contrast, very few resources are allocated personnel management policies, and flexibility of to program operations and maintenance. procedures should be the main working characteristics of the council. Similar situations exist in other research institutions. Allocations for research in the universities are low. All INTERNATIONAL AND BILATERAL expenses for graduate students’ thesis work of ARC staff ASSISTANCE IN RESEARCH AND registered for MSc and PhD degrees in the universities EXTENSION are covered from the ARC budget. Foreign technical assistance has played an important This situation undoubtedly represents a serious role during the last 10 years in the development of the constraint to efficient research management. It is agricultural sector in general, through the provision of therefore recommended that an annual investment of funds and expertise in research, extension, production not less than 1% of GNP or 3% of the gross value of and credit administration. These resources are agricultural production, whichever is higher, be made channeled to the agricultural sector through the over the next 10 years. This should be accompanied by a Agriculture and Industry Ministries, ASRT, and the sharp focus on priority to assure that the available Supreme Council of Universities. Among the largest resources are directed towards the most effective assistance programs are those funded by USAID. These economic use. No duplication, overlapping, or leakage include an agricultural systems program, the Rice should be allowed. Improvement and Training Project, the Egyptian Major Cereals Project, the University Linkage Project, the PL- COORDINATION AND PRIORITY 480 Projects and, more recently, a National Agricultural SETTING AT THE NATIONAL LEVEL Research Project. FAO has sponsored a number of technical cooperation The university colleges of agriculture, the NRC, and projects in collaboration with several ARC units. FAO/ research centers and institutes in certain ministries all UNDP collaborated in many areas, including improved carry out agricultural research, seemingly independent irrigation systems. Cooperation between the ARC and of each other and of the ARC, which is the primary several CGI A R centers has been going on since the early agricultural research organization in the country. Apart 1970s, particularly on germplasm exchange, cooperative from a limited attempt made by the MOA and funded by testing, and training. IDRC has also funded research USAID for a university grants system tied to ongoing activities on oilseed and forage crops. ARC research programs, there is duplication in programs and interagency competition for funds. There However, it is recommended that external technical and is a general consensus that if agriculture is to meet the financial support be better coordinated to strengthen challenge of food production in the future, its research and consolidate national institutions towards greater must be put on a sound footing and be developing and effectiveness and sustainability in the medium and long managed in a coordinated and integrated manner. term. All external resources should be directed and managed within the institutional priorities, since those Several assessments of agricultural research in Egypt priorities have been established in accordance with the have been made by international and national agencies goals of national agricultural development. Meeting the during the last five years. They all came to the conclusion requirements of integrated national research programs, that there is an apparent need for a functional improving the efficiency of operations and maintenance coordinating mechanism at the national level. It is of research stations and laboratories, improving the therefor recommended than an Egyptian Council for capability to transfer and widely disseminate improved Agricultural Research and Extension be established to agricultural technologies, increasing the ability to train overcome the major limiting factors to productive, scientific and administrative staff, establishing and relevant, efficient, and effective agricultural reseach and operating a modern central library, and supporting extension programs. selected research of a semi-basic nature must be given clear priority status. Only then can external technical The proposed council should form a single planning, and financial support be considered cost-effective. coordinating, priority-setting and decision-making body under the Minister of Agriculture. It should be given full authority and freedom to plan, coordinate, fund, and execute all agricultural research programs nationwide. 208 STRUCTURE AND ORGANIZATION IN NATIONAL AGRICULTURAL RESEARCH SYSTEMS H.K. Jain Deputy Director General ISNAR RATIONALE FOR REORGANIZATION strong links with it. In the second phase, they must learn to be more self-reliant, to solve some of the more World agriculture entered a new phase in the 1960s. For difficult problems of their agriculture in areas like soil most of its 10,000 years since the first domestication of and water management and productivity in stress plants and animals, agriculture has been of a traditional environments. They must also learn to develop kind characterized by low yields and limited use of renewable resources of energy so that their agriculture various farm inputs. The 1960s saw a massive building up in the coming decades will not have such heavy on population pressures in the developing countries in dependence on costly energy-intensive inputs like the wake of major advances in modern medicine. Also, chemical fertilizers and chemical pesticides. The the 1960s saw a far greater emphasis on improved emergence of biotechnology in relation to agriculture nutrition, with the newly independent countries striving has opened up altogether new possibilities in this to improve the standard of living of their people. The direction. Many of the developing countries, with their increased demands on food supply focused major limited resources of non-renewable energy, have greater attention on research for the first time to transform the compulsion to exploit these new possibilities that genetic traditional systems of farming in these countries to make engineering and other advances in molecular biology them more productive and profitable. offer. It was during this period that many developing countries The reorganization of research services which has started to take important policy decisions to reorganize already taken place in some developing countries has and strengthen their agricultural research services. helped to give them a new research infrastructure - more Looking back over the past 20 years, we may well find confident, more responsive and more committed to the that more investments have been made in agricultural needs of agricultural development in the country. The research in many developing countries during this period fundamental changes have been in respect to the than in the entire history of scientific support for their administrative framework, governance mechanisms, agriculture. Furthermore, this is only the beginning, and linkages and relationships with the policy-making bodies even greater investments in building the national and development departments. research systems are expected in the next 20 years. Many developing countries have yet to reorganize their DEFINING NATIONAL AGRICULTURAL agricultural research services. Africa’s emerging RESEARCH SYSTEMS national agricultural research systems in the background of their post-colonial evolution are beginning to receive In considering the organization and structure of the a great deal of attention. Also, the countries of Asia and national agricultural research systems (NARS), it is Latin America have taken only the first steps in laying important that we begin to define them more clearly. In down the foundations of a more scientific and modern a broad sense the NARS consist of all those agriculture. They have a long way to go in equipping organizations and institutions in the country carrying out their research services with improved management research in various fields of agricultural sciences. These skills, tools and procedures. In this first phase many of institutions are often very diverse and are distributed in them have learned to take better advantage of the the various ministries of the government, parastatal international agricultural research system and to forge bodies, faculties of agriculture and other science 209 faculties in the universities, and in the private sector agriculture as a spokesman for the farmers as his client. having close links with agri-business. For practical The Agricultural Research Council should be purposes, however, the core of the NARS is more conducting only that kind of research that leads to restricted. The core consists of the organizations and improved technologies most needed by the farmers. institutions created and/or funded by the governments Here, then, we have a developed country laying down a to generate improved production technologies to policy that the government-funded research service will provide support to their development programs of have no other purpose than to serve the needs of the agriculture. farmers. In retrospect, it is clear that Lord Rothschild’s report did have a great deal of influence on Britain’s The government (through its ministry of agriculture and policy in reorganizing its national agricultural research sometimes other ministries) is the promoter of the system. Many of the institutional changes which have interests of the farmers - their largest constituency in taken place recently in that country have been influenced most developing countries. As guardian of these at least in part by the Rothschild Report. It follows that interests and recognizing the crucial place of agriculture the linkage between the national agricultural research in the process of economic development, the system and the national programs of agricultural governments have (or should have) a deep interest in development should be even stronger in the developing making science and technology an instrument of social countries, where agriculture constitutes the mainstay of and economic advance. For this reason, most the economy. governments create their own research infrastructure for the development of agriculture, and it is this research BASIC COMPONENTS OF NARS service created by the government which forms the heart of the national agricultural research systems. A successful national agricultural research system is built around three main components. First, it must have the The research apparatus consisting of experiment stations needed experiment station infrastructure, and this may function under the ministry of agriculture and/or means: other ministries. In some cases the governments prefer not to create research institutions of their own but hand i) qualified scientists and technicians; over responsibility for agricultural research to faculties ii) field and laboratory facilities in the form of well- of agriculture to which they extend funding and other equipped stations; support. These core groups of institutions often link up iii) a stable budgetary support consistent with the needs with other research institutions in the country, which of the evolving research programs. may not be directly involved in terms of commitment, but all of which have a potential to make some significant Second, it must have the organization and structure to contribution. A good NARS is able to mobilize this use these resources effectively. The organization and support from peripheral institutions for its research structure provide the foundation for effective work. This is often done through a system of contract mobilization of the available resources to achieve the research for specific and specialized activities, while the goals of the system. Organization and structure have most pressing problems of national priority are been defined by management specialists in theoretical addressed by the research service organized by the terms, and if I have time, I could cover some of this government. ground, but my purpose in this lecture is not to treat the subject in terms of management theory. My purpose is to It is rather important that we make this distinction discuss in practical terms what organization and between the national agricultural research system of a structure mean in the context of NARS and why we country in its wider sense and the research services consider them to be so very important. specifically created by the governments as an instrument of their policy for agricultural development. The Third, the NARS must have the management skills, distinction was first clearly made by Lord Rothschild, tools and techniques to do their job more efficiently. Scientific Advisor to the British government, in the 1970s. In a report on the organization of agricultural research in Britain, Lord Rothschild spoke of a EFFECTIVENESS AND EFFICIENCY contractor/client relationship. He suggested that the head of the national research system (in this case the Organization and structure help to create the potential head of the Agricultural Research Council) should see for a NARS to be effective. Once you have created this himself in the role of a contractor with the minister of potential for effectiveness you can build on it the 210 additional dimension of efficiency. You can do this by and from operational procedures designed more for giving it the management techniques and tools which the built-in checks and counter checks in the use of NARS leaders and other scientists can use in the course government funds and playing it safe, rather than taking of their work. Some national agricultural research major initiatives and some risks. The new concept has systems, including many in the developed countries, are been to hand over much of the administrative and highly effective in achieving their objectives, but they managerial responsibility to the scientists themselves, are not particularly efficient in the use of their resources. recognizing that research requires a different kind of Conversely, there are NARS which the management administrative culture. At the same time, the scientists would consider as highly efficient — they do not governments have made sure through various devices waste resources - but they are not necessarily very that the councils are not independent of them in terms of effective. accountability. They must remain fully committed to the government’s policies of agricultural development and TYPES OF NARS ORGANIZATIONS must provide technical support for these policies. It is autonomy combined with commitment. This distinction between effectiveness and efficiency is something which we may find useful for operational An important point which must be recognized is that the purposes. I would define organization and structure in ARCs have not all taken the same route in evolving their NARS as the institutional framework and entities, and structure and organization. It is already possible to the governance mechanisms and decision-making recognize at least three types of councils in terms of their processes created to make use of the human and physical mandates. I will call them: resources of NARS for the research process. The institutional framework and the governance mechanisms a) Administering Councils may or may not provide the right environment in which b) Coordinating Councils improved management tools can be used. To take one c) Funding Councils example, a national research system may be doing an excellent job of determining research priorities and The administering type is all-embracing — it organizes, programs, but if its governance mechanisms do not give and it is in complete control of all the government- it any control over its scientific manpower — selection funded research infrastructure. In the larger countries procedures and personnel policies — it cannot use these where there are two separate federal and state streams management skills very efficiently. of research, the councils control the federal stream but also have a coordinating role at the national level. The What are the different kinds of institutional models Coordinating Council has its primary responsibility in characterizing the organization of NARS around the coordinating research at the national level, but the world, more particularly the developing part of the research institutes maintain their administrative and world? There is a great deal of variation, but is is possible budgetary independence. They are not administratively to identify a number of them, recognizing at the same linked to the council. The Funding Council, while not time that they represent only some of the dominant administratively linked to the research stations, has characteristics. We may consider the models at the level complete control over the disbursement of the research of the research system and in terms of the research funds of the government and is, therefore, in a position station network. At the system level, some of the to define priorities and give a sense of direction to the different kinds of organizations which are commonly work. However, it cannot effectively translate these found today are as follows. priorities into matching programs because it has no research stations of its own. The Agricultural Research Council (ARC) National Research Institutes (NRI) The response of the larger Asian countries in terms of reorganization and strengthening of their agricultural The Latin American countries were prompted in research in recent years has been to set up semi- reorganizing their research services by considerations autonomous agricultural research councils. These which were very similar to those of the Asian countries. councils have increasingly taken up responsibilities Their newly set up national research institutes are which earlier belonged to the department of agriculture. fundamentally not very different from the agricultural The basic concept underlying this transfer of research councils of Asia. Perhaps they enjoy greater responsibility has been to free the research service from autonomy, decentralization and a wider resource base. the constraints of the larger government bureaucracy Unlike Asia, the national research institutes in Latin 211 America control and manage all of the public-funded An important variant of the ministry of agriculture research infrastructure in the country. Two kinds of model is the organization of research in several national institutes can be broadly recognized - semi- ministries. The best example is provided by Sri Lanka, autonomous and autonomous. The semi- autonomous where seven different ministries dealing with one or the national institutes receive strong directions in terms of other aspect of agricultural production have organized their management and research policy from a board of their own research services. governors; the president (director general) of the institute reports to the board. The minister of The University Faculty of Agriculture agriculture, however, appoints the board, and in this way, he makes sure that the interests of his ministry are Some developing countries, recognizing the ready safeguarded. The fully autonomous institutes have no availability and concentration of highly trained such board and the president of the institute reports manpower in their universities, have found it more directly to the minister of agriculture. The president realistic to mobilize their colleges of agriculture to clearly has more power in these autonomous institutes. provide research support to the country’s agriculture. Another distinct feature of the Latin American institutes Agricultural education and research are fully integrated is that in most cases they are responsible for both in these systems. These university-based research research and extension, unlike the Asian councils, which services may be highly variable in their organization and have no administrative links with the extension services. commitment. On the one extreme we have the land- grant colleges of agriculture in the United States of Most of the newly set up national research institutes in America — one of the most successful experiments in the Latin America could be placed in one or the other of development of scientific agriculture anywhere. The these two categories. An exception is provided by the land-grant colleges in the United States have evolved a national research system of Brazil, under the umbrella very definitive organization consistent with the mandate of EM BPRAPA. EM PBRAPA has characteristics of and responsibilities given to them by the government. both a national institute and an Asian council. It Within a period of 25 years of the establishment of the maintains a large research infrastructure of its own, first land-grant college, the United States Congress particularly for commodity-oriented research at the enacted legislation in the form of the Hatch Act of 1887, national level, but at the same time it coordinates which called for the establishment of an agricultural research in a federal setup where the states have a large experiment station in each state, and a decision was research infrastructure of their own. Also, EM BRA PA taken to locate these experiment stations largely in the mobilizes resources very effectively from the private land-grant colleges. The Hatch Act thus helped to sector, and in this way it is less closely tied with the public transform the basic character of these colleges. They research sector than some of the other institutes in Latin were no longer solely academic institutions. They America. became at the same time major agricultural research centers of the country, with additional investment of Ministry of Agriculture Model large resources in scientific manpower, field and laboratory facilities. Several developing countries in The agricultural research services in developing recent years have adopted this model with some countries have traditionally formed an integral part of modification. India’s 23 state agricultural universities, the department of agriculture in the government, and in for example, have been set up in the past 25 years on the a majority of countries this position continues. general pattern of the land-grant institutions. This form of research organization continues to be predominant in the smaller African, Latin American On the other extreme, there are university systems in and Asian countries, including the countries of the South which research remains a part-time activity of teachers, Pacific. While the larger research systems have found it and the experiment station facilities tend to be limited. increasingly difficult to cope with the larger bureaucracy One of the more important examples of a large national of the government, and for this reason have reorganized system organized around faculties of agriculture is themselves with various degrees of autonomy, the provided by the Philippines. In the Philippines, we have smaller countries continue to find this model quite valid a national Council for agricultural research acting for their situation. They find it unrealistic, and in many primarily through the colleges of agriculture, which it cases unnecessary, to think of large research councils has helped to build up for increased research capacity in and institutes in their context. Their problem has been to the past 15 years. The administrative control of this introduce reforms within the existing framework. university-based system rests with the Science/ Education Ministries, rather than the Ministry of Agriculture. 212 A COMPARATIVE ANALYSIS Again, it is possible to suggest that the organizational structure does determine the effectiveness of the Research systems are built around people, some of research service in performing some of its important whom are highly productive under most conditions, functions. The problem, of course, is the element of while others have the potential to be productive, given subjectivity involved in an analysis of this kind. We need the right environment. What determines this a great deal of research into the research systems to environment is partly a function of the organization and establish these relationships, and that is why ISNAR is structure of the system. This includes all those developing a strong research group. We do know, governance and decision-making processes and however, that many of the research services, following institutional structures through which human, physical, their reorganization in the last 20 years, have made a financial and other resources are combined in a significant contribution to the process of agricultural synergistic manner for undertaking the research work. development in a number of developing countries. The For the purpose of a comparative analysis of the different adoption rate of technology developed by the scientists systems and their organizations, therefore, we must of these research services has been high. Vernon Ruttan, consider some of these governance mechanisms and based on 23 studies of agricultural research productivity decision-making processes as determined by in developing countries, speaks of an average annual organizational autonomy, distribution of authority and rate of return on investment of 55 percent. power, and linkages at different levels. The different Agricultural research has thus been found to be highly systems which we have considered do differ significantly rewarding. The problem is one of defining those with regard to some of these mechanisms and decision­ components of the research system which contribute to making processes. Table 1 gives an assessment of the its success. If our subjective assessment in Table 2 is not different organizational models for some of these entirely off the m ark , it seems reasonable to suggest that components. organization and structure constitutes one of these components. We may not all agree with this rather subjective assessment of the governance mechanisms of the ORGANIZATION OF RESEARCH STATION different types of research systems. This, however, is not NETWORKS important. What is important is that the different systems do differ significantly for some of these Organization at this level merits a detailed consideration mechanisms. For example, the semi-autonomous of its own, which we may consider briefly for the present. research councils and national institutes tend to have full The very first issue here is one of the size of the network; control over the selection of their scientists and how many research stations? This will be determined in development of their manpower resources through the first place by the availability of scientific and other suitable personnel policies. The research services of the resources in a country. The tendency generally is to have ministry of agriculture generally would have no too many stations with a sub-critical mass of scientific independent personnel policies, as they are tied up for and other resources. Many of these stations tend to the most part with the rules of the civil service. On the become isolated in terms of leadership and links with the other hand, the research service in the department of national system, and their productivity suffers. agriculture may be in a better position to develop close Consolidation of the research station network should links with the extension service organized by the same probably receive far greater attention in most countries ministry than a research council which has no than it normally does. The emphasis most of the time is administrative relationships of any kind with the on growth. extension service. The second factor determining the number of stations Do the different research systems, based on their and their location is obviously the size of the country and organization and structure, also differ in their potential its agroecological diversity. Ideally, and consistent with to be effective for the functions which they must the availability of resources, the needs of the different perform? It is the performance of these functions which agroecological regions should be met. If a country does is expected to determine their success or failure. This have a great deal of such diversity and must have a obviously is the more important question. We may number of research stations, then two other issues consider here some of these functions and again become important. First, there is the question of division undertake a comparative analysis. This has been done in of responsibility between the different research stations, Table 2. and second, there is the question of inter-institutional coordination at the national level. 213 ISNAR’s experience of working with many developing coordinated network the different research stations with countries with a limited number of qualified scientists a free flow of genetic materials, information and and other resources suggests that there is some merit in concepts and a great deal of collaborative work. having basically two different types of stations — national Typically a coordinated national program consists of a research stations and regional research stations. These coordinating center and a number of cooperating centers will have quite different mandates with a strong located in the different national and regional institutes complementary relationship. The national research and national stations, depending on the distribution of stations will be developed as the country’s main research the particular crop commodity in the country. The centers for advanced research for the generation of coordinating center, headed by a project coordinator improved genetic materials and technologies for a and assisted by a small group of scientists from different particular commodity or group of commodities, or for a disciplines, is located in one of the national stations. The particularly important factor of production such as soil project coordinator is appointed on the basis of his/her and water management. The main concern here is that recognized position of scientific leadership in the field, this kind of advanced research, which often cuts across as the coordinator’s personality contributes significantly the needs of different regions, cannot be easily replicated to the success of the program. The coordinator exercises and must, therefore, be organized on a centralized basis. little direct control over the cooperating centers which, The national research stations will have the required for all practical purposes, are an integral part of the concentration of resources in the form of a institutions in which they are located. He/she must multidisciplinary team of scientists and laboratory maintain close contacts with the directors of the national facilities, and their research results must have the and regional institutes to ensure that their scientists potential for wider application transcending provincial implement the research programs assigned to them. or state barriers. The number of such national research stations would vary, depending on the crop and livestock The main components of the priority areas of research resources of the country, and only the more important are identified in the ’’national workshop” of the scientists priority programs built around commodities of from the different cooperating centers. The workshop is overwhelming importance to the country (e.g., maize in held at least once in a year, when a review of the results Kenya, rice in Bangladesh or Indonesia) could be obtained at the different centers during the previous addressed through stations of this kind. Depending on season are presented by the coordinator in a the availability of scientific and other resources, consolidated form. Also, the workshop provides the countries set up a number of national stations around the opportunity to plan the program of work for the next more important commodities or factors of production. year on a national basis. The impression one carries of these workshops is of strong interdisciplinary, inter- Complementing the national stations would be a group institutional interactions in the formulation and of regional research stations placed strategically in the execution of research programs. There is also an element different agroecological regions and having a major of healthy competition between the different centers of a focus on production-oriented research closer to the national program. needs of the farming systems in the particular region. The regional research centers would help to improve the Finally, we come to the question of scientific structure of productivity of the recommended farming systems, using an agricultural research station. There are research the new genetic materials and concepts of production stations which are primarily discipline based and those developed at the national research centers. They will be which have their main focus on one or more commodities doing more of adaptive research by integrating the or on production systems, and finally those which different components of production technology in combine the commodity focus with a discipline-based response to the specific regional needs. Table 3 departmental structure. It is not difficult to see the illustrates the principle of the organization of the relative merits of these different types of research research station network as a function of country size, its stations. While a small research station or an institute in agroecological diversity and its scientific resource base. most developing countries must have its major focus on a specific commodity or production system or factor of The problem of inter-institutional coordination has been production, the larger research stations are perhaps addressed by a number of countries through the better organized with a combined commodity and organization of national research programs involving a disciplinary focus. The problem here is one of evolving a large number of research stations. These national multidisciplinary approach in research programs programs are built around some of the more important organized around a commodity or group of commodities, and they help to knit together in a commodities. The international agricultural research 214 centers are successful because they succeed admirably in Table 4 presents a highly simplified approach to different achieving this objective. They, however, operate in a types of organization in a research station which would somewhat different context. The national systems have respond optimally to its mandate. to find their own solutions to this problem. 215 Table 1. NARS AND THEIR GOVERNANCE FUNCTIONS Components o f Governance ARC ARC ARC NRI NRI MA Uni v e r s i ty ( A d m in is te r ing ) (C o o rd in a t in g ) (Funding) (semi- (Autonomous) F a c u l t i e s of autonomous) A g r i c u l t u r e 1 . Experiment S t a t i o n +++ + + +++ +++ +++ + Network 2. Independent and S t a b l e +++ + ++ ++ +++ ++ + Budget 3. Personnel P o l i c i e s ++ + + ++ +++ + + 4. Procurement P rocedures ++ + ++ +++ +++ + ++ 5. Maintenance of Research ++ + + +++ +++ + ++ I n f r a s t r u c t u r e 6. D e c e n t r a l i z a t i o n + +++ +++ ++ +++ + +++ +++ s t r o n g ++ average + weak Table 2. RELATIVE POTENTIAL OF NARS FOR RESEARCH FUNCTIONS E f f e c t i v e n e s s f o r ARC ARC ARC NRI NRI MAF U n i v e r s i t y Research Functions (A dm in is te r ing ) (C o o rd in a t in g ) (Funding) ( semi - (Autonomous) F a c u l t i e s of autonomous) A g r i c u l t u r e 1 . Research P r i o r i t i e s and +++ ++ ++ ++ +++ ++ + Resource A l l o c a t i o n 2. Program Formulat ion +++ ++ + ++ ++ ++ + 3. Program Imple menta t ion ++ + + ++ +++ ++ + 4. Moni t o r i ng +++ + ++ ++ ++ ++ + 5. E va lua t ion +++ ++ +++ ++ ++ + + 6 . Research C o o rd in a t io n ++ +++ +++ +++ + ++ 7. Links w ith Ex te ns io n + + + +++ +++ +++ + 8. Links with Academic + ++ +++ ++ ++ + +++ Communi ty 9. I n t e g r a t i o n of Research, ++ + + ++ ++ ++ ++ Teaching and Exte ns ion 10. Links w ith P o l i c y Makers +++ + + + ++ ++ + 11 . S t a f f Development ++ + + ++ ++ ++ +++ +++ s t rong ++ average + weak Table 3. ORGANIZATION OF A RESEARCH STATION NETWORK COUNTRY SIZE RESOURCE BASE TYPE OF STATION TYPE OF RESEARCH Large country Excellent resource base National stations Basic and strategic Regi onal stations Applied and strategic Large country Fair amount of resources Nati onal stations ( se veral) Applied and strategic Regional stations Adaptive and applied Medium country Limited resources National stations (limited) Applied Regional stations Adaptive Small country Limited resources National stations (one or two) Applied Regional stati ons Adaptive Small country Very limited resources Regional stations Adaptive and applied with lead functions Very small country Limited resources National station Adapti ve testing sites Table 4. RESEARCH STATION ORGANIZATION BY MANDATE GOAL ORGANIZATION Pure research Individual scientist Highly focused mission Multidisciplinary program structure Commodity development Multidisciplinary program structure (single commodity?) or Research station with disciplinary departmental structure Commodity development and Research station with disciplinary growth of discipline departmental structure Growth of discipline Disciplinary institute Farming systems research Multidisciplinary program with a coordinating unit 218 ORGANIZATION AND STRUCTURE OF THE NATIONAL AGRICULTURAL RESEARCH SYSTEM IN CHINA Fang Zhou National Center for Rural Technology China INTRODUCTION Historically, the development of science and technology in the People’s Republic of China, since the founding China has a population of one billion people; 80% are in revolution 39 years ago, can be divided into four stages agriculture. These are the 800 million people living in according to the White Book No. 1 of Science and rural areas, mainly engaged in farm production or with Technology published by the State Science and part-time employment in township enterprises, who do Technology Commission. not have their staple food supply from the government. According to statistics from the State Statistical Bureau First stage (1949 - 1966) for 1985, the gross agricultural production value - Organization and construction of national research amounts to 34.3% of the gross agricultural and industrial institutions. production value. Although agriculture in China does not make up a large proportion if we only look at that Second stage (1966 - 1976) figure, agriculture also provides a large quantity of raw - Serious setback caused by the Cultural Revolution. materials to industry, such as cotton, bast fibre (e.g., hemp, jute), wool, tobacco, rubber, sugarcane, etc. The Third stage (1976 - 1980) production value of industrial products based on agricultural raw materials accounts for 70% of the gross - Restoration and consolidation. production value of light industry. Fourth stage (1981 - 1985) Agricultural growth clearly plays an important role in - Blossoming of scientific and technological the development of the national economy. Agriculture, development. since the founding of the People’s Republic of China, has experienced significant changes. Now, China has The government of China has paid a lot of attention to basically become capable of feeding and clothing its agricultural research and organized an integrated people, providing most of the required agricultural raw national agricultural research system(NARS). The state, materials to industry and exporting some agricultural province, prefecture and county governments set up products. However, agriculture in China still remains at science and technology commissions in charge of the a less-developed level, with antiquated equipment, low overall coordination and management of all aspects of production efficiency, and insufficiently explored and science and technology. The departments responsible exploited resources. A great challenge is confronting for agriculture at these four government levels have China as the government plans to achieve four times the corresponding management mechanisms for the industrial and agricultural production value, based on coordination and control of agricultural research. 1980, by the end of this century. This will undoubtedly need the support of science and technology. To give this ORGANIZATION AND STRUCTURE OF support China has an acute need to transform its present THE NARS agricultural research system into a more effective and efficient one to produce more research findings for The organizational type of the NARS in China can be agriculture. considered as a Ministry Model. This may be subdivided into two categories: extension and research. 219 Extension Chinese Academy of Water Conservation, under the Ministry of Water Resources and Electric Power. Extension work is practiced in an independent system They have a similar pattern of relations with the separated from research. Extension institutions, ministries they belong to. sponsored by government, are essentially located in counties. The relevant authorities in coordination and 3. Provincial and prefectural level. Each province or management are at national, provincial, and prefectural autonomous region has its own academy of levels and they deal with the overall plan, resource agricultural science, academy of forestry, etc. They allocation, monitoring, evaluation, etc. are controlled by the departments responsible for agriculture, forestry, etc. in provincial governments. Research In keeping with local agricultural conditions, research is focused on solving provincial production problems, Research is organized by the different ministries at but they are also assigned work in key projects being different levels. Institutions which carry out research are conducted nationally or regionally. Main research controlled by the agricultural management departments activities are directly listed in the yearly or long-term at different governmental levels. program of the provincial government and funding is allocated accordingly. There are four subsystems with differing responsibilities within research. Below this level, the NARS has prefectural research institutions, which are under the prefectural 1. Chinese Academy o f Science. This is a comprehensive departments. They are smaller than provincial center for natural science in China, affiliated with the research institutions. State Council. Its mandate is basic research, part of which relates to agriculture. It has 122 research 4. University-affiliated institutions. These institutions institutes dispersed all over the country. specialize in basic theory and applied research in accordance with educational requirements and 2. Ministerial and commission level. The Chinese technology generation needs. Research funding flows Academy of Agricultural Science (CA A S), under the from the State Education Commission through the Ministry of Agriculture, Animal Husbandry and state financial budget. At present, China has 59 Fishery (MA AF), is a comprehensive research center agricultural universities and colleges. for agriculture and animal husbandry in China. Its mandate is to solve key scientific and technological RESEARCH AND FUNDING problems of significant economic importance. It concentrates on applied research in crop breeding There are about 1400 agricultural research units in and and cultivation, plant genetic resources, soil and above the prefectural level within the two subsystems of fertilizer, plant protection, agricultural meteorology, M AAF and the Ministry of Forestry, according to the and veterinary science. Each of its 34 independent statistics of the National Survey on Science and institutes has one or two main research functions. Technology in 1985. Generally speaking, the institutions Funds are allocated after approval by the planning at ministerial, local (province and prefecture), and and financial sections in the Ministry from the university levels are the mainstay of agricultural research national budget of the Treasury. The research in China. program is approved by the Ministry. The CAAS does most of the research on key projects with There is an additional source of research and funding in national priority. the NARS. Besides undertaking research from government (ministry and local department) with The Chinese Academy of Forestry, under the allocated funding, the research institutions or units Minister of Forestry, is a national center for described above can take on research from the integrated applied forestry research. It has 11 production sectors, with funding support from them. research institutes and pilot farms, and the management pattern is similar to the CAAS. They can also do research in a large range of areas in which they are interested, capable, and physically Other research institutions at this level include the qualified. In this case, funding should be found by the Chinese Academy of Agricultural Engineering research institutes themselves from foundations, loans, Research and Planning, under the M AAF, and the and foreign assistance. 220 PROVINCIAL RESEARCH INSTITUTE of extension station, from state to county or even town. The government has unified arrangements for the To clarify the organization of research in the NARS, let extension, application, and production of new research us take a research institute at the provincial level as an findings. example. In general, research in a provincial institute is dominated by the provincial department in which it is This description gives an idea of the kind of research located. Based on a balancing of long-term and short­ system the People’s Republic of China has and how it term plans, production requirements and reports given works. There are constraints in the system, and what by research units, the department produces an annual follows summarizes talks with several administrative program and assigns projects. officials at the national level. They pointed out crucial problems existing in the NARS: As a basic unit, a provincial research institute should make socially oriented investigations several months - Research institutions are set up according to before the following year begins, to select research administrative divisions rather than natural agro­ projects which are suitable for the agricultural ecological divisions. So, institutional overlapping and development of the province or region, for development duplication of effort are very serious problems. of the unit itself and in keeping with the resources of the research unit. This is the first phase. The second is to - Research institutions do not have relations with compile a proposal report, including research objectives, producers. Each institution performs its activities and contents, developments domestically and worldwide, reports them to the authority at the next level up. approach, progress schedule, duration, environmental Being over-controlled by administrative authority, conditions, funding estimate, etc. The third is to give the there is no competition between research units and report to the internal academic commission for market functions do not work. evaluation and approval. After it is approved, it will be submitted to the provincial administrative department, - Programs do not accurately reflect the needs of e.g., Department of Agriculture. This department has agricultural development. Over-concentration on power over project decision-making, determines management of plans gives rise to imbalanced whether it should be listed in the provincial research development in some aspects of agriculture. program or, if it is of wider social and economic significance, sends it for consideration at a higher level. - There is a lack of sufficient funds to execute research. The decision taken depends on the evaluation of the expert group and the balance between the factors Because of these constraints, scientific research is far mentioned at the end of the previous paragraph. from meeting the needs of the current systematic reform of the rural economy. Consequently, the government of When the proposal is accepted, or listed in the China will launch a large-scale reform in science and government program for research, funds are allocated technology in the near future. At present it is being tried through the provincial department of the treasury in a small area. I will discuss two points arising from this according to the budget made. in the next section. One is the goal of agricultural research and priorities; the other is the planned reform RESEARCH AND EXTENSION SYSTEM of the science and technology system. The NARS in China manages research monitoring, RESEARCH POLICY evaluation, and appraisal at separate levels - national, ministerial, provincial, and unit - depending on the level In the past, China suffered from poor nutrition, low of the program in which the research is included. The living standards, and a long-standing problem of surplus unit conducting research should give reports to these rural labor, caused by monoculture and imbalanced management authorities in a certain period of time. growth in agriculture. Now China intends to diversify Because of the imperfect appraisal system being used in the rural economy through all-around development in the NARS, research appraisal takes the form of agriculture, forestry, animal husbandry, byproducts, organizing a workshop composed of a number of experts and fisheries, and will manage agriculture, industry, and and professionals. trade comprehensively. Extension work on research findings is carried out by the To achieve the general, strategic goal of national independent extension system. There are several levels economic development, agricultural research should be 221 closely tied to improving productivity per unit area, several ways to obtain funds, depending on the quality, gross production, and production value, characteristics of the research, as well as unified planning through: and management of key national projects. - research on comprehensive rural development Basic research and some applied research will be funded harnessing all resources, developing the base for by the National Foundation of Natural Science, which is commodity production in some key areas; sponsored by government through grants by application. - research on a production structure which can maintain The Foundation gives support to projects based on their a healthy ecological environment; priority in national development planning. Adaptive - research on intensive technical systems with high research, and some applied research which is profitable output, good quality, and low cost, using mainly in the short term, will use a technical contract system and biotechnology; will obtain funds by accepting commitments, - research on overall control of drought, waterlogging, transferring results, contracting national projects, and frost damage, and harmful organisms; servicing. - research on technologies for storage, transportation, on-site processing, and multi-utilization of farm In the meantime, the reform will also involve products and byproducts; macroscopic changes in management, streamlining, and - macroscopic research; decentralization. The system of giving directors - research on basic theory and application of new responsibility for their institutes has initially been technology. implemented in the NARS. Research units are allowed to decide on plans, resource allocation, hiring, firing, PLANNED REFORM etc. The NARS has begun to adopt the fixed-term system for research institution directors, a new appointment In the science and technology system China wants to put system for professional and technical posts, and the a major effort into the launching of a nationwide reform relevant policies to mobilize the rational flow of and has already issued some policies and regulations on technical personnel. relevant matters. The main principle of this reform is that economic development relies on science and Obviously, the government of China has become aware technology, and science and technology orients of the importance of laws in the management of scientific economic development. research. A sound NARS would need the protection of law. The Patent Law has just been approved, and the The reform will focus on adjusting the distribution of Technical Contract Law of the People’s Republic of institutions and the funding allocation system. As I China will be put into practice this November. But this mentioned above, research institutions are organized work is just beginning. according to administrative divisions. Overlapping and duplication of effort cause great waste in human, Of course, there are many problems under discussion, physical and financial resources. In the reform, such as the scope and degree of planning, market institutions at the national level will concentrate on functions for research, salary regulations, etc. applied and applied basic research and at the provincial level on applied and adaptive research. The prefectural INTERNATIONAL COOPERATION level will be rearranged according to agricultural, economic, and ecological divisions, and will carry out Opening to the outside world is a cardinal and long-term adaptive research. China is on the way to building policy of the Chinese government for the development centers of agricultural science based on agricultural of science and technology. Nowadays in agricultural divisions and is seeking a new approach to combine research, China has established relationships with over research, education, and extension as an entity. 10 international agricultural research organizations, including IRRL CIMMYT, CIP, and ICARDA, and is The government of China will reform the funding cooperating with the agriculture departments of several allocation system to avoid management of scientific countries. In recent years, the introduction of advanced research relying purely on administrative technologies in biology, agronomy, horticulture, animal considerations, to avoid government centralization in husbandry, the exchange of crop, fruit tree, vegetable, decision-making and resource allocation, and to and animal varieties, and collaborative research in many promote close links between the research and aspects of agriculture, have given a great push to the production sectors. For research units, there will be 222 scientific development as well as the agricultural growth Since each country has its own history, development of the People's Republic of China. pattern, social foundation, and natural environment, no country can simply copy other countries in social and Although the range of areas in which China is willing to scientific development. China is keen to develop collaborate with other countries and organizations is cooperative relations with both developed and very wide, training managerial personnel in agricultural developing countries to learn their advantages in research is one of the crucial problems that needs to be technology and management. China also strongly feels solved. This is because management science has been that it is very important to find an acceptable path in stressed only in recent years. Agricultural research agricultural development and research management that management is, therefore, still a very weak point. conforms to its own characteristics and allows it to set up Investigation has shown that traditional management an effective and efficient agricultural research system. relying on experience dominates, that most managers are not well trained, and that they still use old It is hoped that China will receive assistance from the administrative methods and backward equipment. The International Service for National Agricultural government of China is aware of these obstacles and is Research, as ISNAR’s goal of assisting developing prepared to introduce advanced managerial technology countries to improve the effectiveness and efficiency of from foreign countries and to train a large number of their agricultural research systems through enhanced qualified managerial personnel through various capacity in research policy, organization, and channels. management, coincides with China’s concept of development. 223 224 LIST OF INVITED PARTICIPANTS INTERNATIONAL WORKSHOP ON AGRICULTURAL RESEARCH MANAGEMENT ISNAR, The Hague, Netherlands September 7-11,1987 Dr. R.M. Acharya Deputy Director General Indian Council of Agricultural Research (ICAR) Krishi Bhavan Dr. Rajendra Prasad Rd New Delhi 110001 India Mr. Akle Jonas Directeur de la Recherche Agronomique p.i. Ministere du Developpement Rural et de 1’Action Cooperative B .P .715 Cotonou Republique Populaire du Benin Mr. Usama Bilbesi Director of Projects Ministry of Agriculture P.O. Box 226 Amman, Jordan Dr. Sergio E. Bonilla Director de Investigacion Instituto de Investigaciones Agropecuarias Casilla 439, Correo 3 Santiago Chile 225 Dr. Tohar Danakusma Director Center for Agricultural Data Processing Agency for Agricultural Research and Development (A A RD ) Jalan Ragunan 29, Pasar Minggu Selatan Jakarta 12520 Indonesia Mr. Dotianga Diamoutene Directeur General Adjoint Institut d ’Economie Rurale (IER) B .P .258 Bamako Mali Dr. Leopold Gahamanyi Directeur Institut des Sciences Agronomiques du Rwanda (ISAR) B . P . 138 Butare Rwanda Mrs. Ntombi Gata Deputy Director Agricultural Research and Specialist Services Ministry of Agriculture P.O. Box 8108 Causeway Harare Zimbabwe Dr. Konate Gnissa Directeur General Institut National d ’Etudes et de Recherches Agricoles (INERA) B .P .7192 Ouagadougou Burkina Faso Mr. Nguyen Trong Hoan Expert, Dept, for Food Science & Technology Ministry of Agriculture & Food Industry Hanoi Vietnam 226 Dr. David R. Hogg Director Evaluacion y Control Instituto Nacional de Tecnologia Agropecuaria (INTA) Rivadavia 1439 Buenos Aires (1033) Argentina Dr. R. Kellou Directeur General de l’lnstitut National de la Recherche Agronomique d’Algerie (INRA A) 2, rue Hacene Badi B.P. 115, El Harrach Alger Algerie Dr. Pablo Larrea Director General Instituto Nacional de Investigaciones Agropecuarias (INIAP) Av. Eloy Alfaro y Amazonas Edificio del MAG - 4 piso Quito Ecuador Dr. Gabriel Montes-Llamas Gerente General Instituto Colombiano Agropecuario (ICA) Apartado Aereo 151173 - El Dorado Bogota Colombia Dr. A.M. Macha Director General Tanzanian Livestock Research Organization (TALIRO) Box 6910 Dar es Salaam Tanzania Mr. Danwell R.B. Manda Acting Chief Agricultural Research Officer Ministry of Agriculture P.O. Box 30134 Lilongwe 3 Malawi 227 Dr. Luis Marcano Presidente Fundacion Serviciopara el Agricultor (FUSAGRI) Apartado Postal 2224 Caracas Venezuela Mr. Mulugetta Mekuria Head, Socio-Economics Dept. Institute of Agricultural Research (IAR) P.O. Box 2003 Addis Ababa Ethiopia Dr. Henry K. Mwandemere Controller of Agricultural Services (Institutions) Ministry of Agriculture P.O. Box 30134 Lilongwe 3 Malawi Dr. Paul Nkwi Nchoji Directeur Adjoint Ministere de l’Enseignement Superieur et de la Recherche Scientifique (MESRES) B .P . 1457 Yaounde Cameroun Dr. Bharati Patel Assistant Director of Research Ministry of Agriculture & Water Development Department of Agriculture Mulangushi House Lusaka Zambia Dr. Armando Rabuffetti Director General Centro de Investigaciones Agricolas Andes 1365, Esc. 919 Montevideo Uruguay 228 Dr. Abdel Rehim Shehata Director Agricultural Research Center (ARC) Garnet el Kahira Street, Giza Cairo Egypt Mr. Lingston Singogo National Coordinator of Adaptive Research Planning Team Mt. Makulu Research Station P/B 7, Chilanga Zambia Ms. Emilia Solis Directora Ejecutiva de Programas Agropecularios Regionales Ministerio de Agricultura y Ganaderia Apartado 10094 1100 San Jose Costa Rica Dr. Idrissa Soumana Director General Institut National de Recherches Agronomiques du Niger (INRAN) B.P.429 Niamey Niger Dr. Ramon Valmayor Executive Director Philippine Council for Agriculture, Forestry & Natural Resources Research and Development (PCAARD) Los Banos Laguna Philippines Dr. Dennis Wanchinga Manpower & Training Officer Southern African Center for Cooperation in Agricultural Research (SACCAR) Private Bag 0033 Gaborone Botswana 229 Ms. Fang Zhou Engineer in Agricultural Machinery The State Science & Technology Commission National Center for Rural Technology (NCRTD) 54 San Li He Rd Beijing China PARTICIPATING ISNAR STAFF AND CONSULTANTS Luka Abe Paul Marcotte Paul Bennell A.V.J. Martin Joseph Casas Jean McAllister Matthew Dagg Diana McLean Rene Devred (consultant) Deborah Merrill-Sands Howard Elliot Genevieve Michel Alan Fletcher Byron Mook Peter Goldsworthy George Norton Ghazi Hariri Guy Rocheteau Huntington Hobbs Han Roseboom H. Krishan Jain Paramjit Sachdeva Emil Javier Jonathan Sands (consultant) David Kaimowitz Geoffrey Tansey (consultant) Stuart Kean (consultant) T. Ajibola Taylor Coenraad Kramer Alexander von der Osten Gregory Krapp Dennis Wood 231 232 International Service for National Agricultural Research Headquarters Correspondence Communications Oranje Buitensmgel 6 P O B o x 9 3 3 7 5 Telephone 070-472991 2511 VE. The Hague 2509 AJ. The Hague Telex 33746 Netherlands Netherlands Cable ISNAR