• TABLE OF CONTENTS
HIDE
 Front Cover
 Title Page
 Table of Contents
 List of figures and tables
 Abstract
 Acknowledgement
 Introduction
 The setting
 Development process
 Problem identification
 Development of solutions
 Project implementation






Group Title: Water management technical report ;, no. 65
Title: Development process for improving irrigation water management on farms
ALL VOLUMES CITATION PAGE IMAGE ZOOMABLE PAGE TEXT
Full Citation
STANDARD VIEW MARC VIEW
Permanent Link: http://ufdc.ufl.edu/UF00055269/00001
 Material Information
Title: Development process for improving irrigation water management on farms
Series Title: Water management technical report
Physical Description: 4 v. : ill. ; 28 cm.
Language: English
Creator: Skogerboe, Gaylord V.
Lowdermilk, Max K.
Sparling, Edward W.
Hautaluoma, Jacob E
Colorado State University -- Water Management Research Project.
Publisher: Water Management Research Project, Engineering Research Center, Colorado State University
Place of Publication: Fort Collins Colo
Publication Date: 1980
 Subjects
Subject: Water resources development -- Developing countries   ( lcsh )
Irrigation -- Developing countries   ( lcsh )
Genre: government publication (state, provincial, terriorial, dependent)   ( marcgt )
bibliography   ( marcgt )
non-fiction   ( marcgt )
 Notes
Bibliography: Includes bibliographical references.
Statement of Responsibility: prepared by Gaylord V. Skogerboe ... et al..
General Note: "Prepared under support of United States Agency for International Development, Contract AID/ta-C-1411."
Funding: Electronic resources created as part of a prototype UF Institutional Repository and Faculty Papers project by the University of Florida.
 Record Information
Bibliographic ID: UF00055269
Volume ID: VID00001
Source Institution: University of Florida
Holding Location: University of Florida
Rights Management: All rights reserved by the source institution and holding location.
Resource Identifier: oclc - 50330356

Table of Contents
    Front Cover
        Front Cover
    Title Page
        Page i
    Table of Contents
        Page ii
    List of figures and tables
        Page iii
    Abstract
        Page iv
    Acknowledgement
        Page v
    Introduction
        Page 1
    The setting
        Page 2
        Page 3
        Page 4
    Development process
        Page 5
        Phases
            Page 5
            Page 6
        Interdisciplinary approach
            Page 7
        Client involvement
            Page 8
    Problem identification
        Page 9
        Reconnaissance
            Page 9
            Page 10
        Problem diagnosis
            Page 11
            Page 12
    Development of solutions
        Page 13
        Identification of plausible solutions
            Page 13
        Testing and adaption of solutions
            Page 14
            Page 15
        Assessment of solution packages
            Page 16
    Project implementation
        Page 17
        Project authorization
            Page 17
        Project organization
            Page 17
            Page 18
            Page 19
        Project operation
            Page 20
            Page 21
            Page 22
Full Text
g~e 0/,V


EXECUTIVE SUMMARY M


Prepared by
Water Management Research Project Staff

Water Management
Technical Report No. 65A


___I________________~a__l_____ __









Development Process for Improving
Irrigation Water Management on Farms


EXECUTIVE SUMMARY


WATER MANAGEMENT TECHNICAL REPORT NO. 65A


Prepared under support of
United States Agency for International Development
Contract AID/ta-C-1411
All reported opinions, conclusions or
recommendations are those of the authors
and not those of the funding agency
or the United States Government



Prepared by

Gaylord V. Skogerboe
Max K. Lowdermilk
Edward W. Sparling
Jacob E. Hautaluoma


Water Management Research Project
Engineering Research Center
Colorado State University
Fort Collins, Colorado


May, 1980









TABLE OF CONTENTS


Section Page
LIST OF FIGURES AND TABLES . ... . .. iii
ABSTRACT . . . ... ... iv
ACKNOWLEDGEMENTS . ... .. . v
INTRODUCTION .. ......... ......... 1
THE SETTING . . . . . 2
DEVELOPMENT PROCESS . ....... ... 5
Phases . . . . . 5
Interdisciplinary Approach . . . 7
Client Involvement ................. 8
PROBLEM IDENTIFICATION . . . 9
Reconnaissance . . . . 9
Problem Diagnosis . . . ... 11
DEVELOPMENT OF SOLUTIONS .... ........ .13
Identification of Plausible Solutions . .. 13
Testing and Adaption of Solutions . .. 14
Assessment of Solution Packages . ... .16
PROJECT IMPLEMENTATION . . .... .17
Project Authorization . . ..... .17
Project Organization . .. . . 17
Project Operation ..... .. . .... .20












Figure
1

2

3


LIST OF FIGURES



Flow diagram for the Problem Identification
phase . . . . . .
Flow diagram for the Development of Solutions
phase . . . . . .
Flow diagram for the Project Implementation
phase . . . . . .









LIST OF TABLES



Phases and subphases of the development
process for improving irrigation water
management on farms ...............




























iii


Table
1


Page

10

14

18


Page


5








ABSTRACT


The "Development Process for Improving Irrigation Water
Management on Farms" is directed toward increasing the productivity of
existing irrigated lands, improving the equity of income distribution,
and resource conservation; thereby ensuring the long-term viability of
the system. This process has two important themes: (1) an interdisci-
plinary approach; and (b) farmer-client involvement. Physical and
social scientists work together with farmers in identifying major
constraints to increasing agricultural productivity while conserving
natural resources. Acceptable solutions are developed for priority
problems in collaboration with farmers. Finally, a solution package is
implemented that utilizes both the resources of the farmers and the
government. A manual has been prepared for each of the three phases
in this development process: (1) Problem Identification Manual, (2)
Development of Solutions Manual, and (3) Project Implementation Manual.
These three manuals present guidelines for projects that have been
given the task of improving on-farm water management in large scale
irrigation systems. Although the approach advocated is general in
application, it is particularly intended for use in developing countries.
These manuals are especially designed to guide project managers in
motivating and coordinating interdisciplinary development projects and
in establishing farmer participation in the project.








ACKNOWLEDGEMENTS


A major campus activity under contract AID/ta-C-1411 has been the
preparation .of this "Development Process for Improving Irrigation Water
Management on Farms." This has been an interdisciplinary effort
involving William Franklin and William Stewart, Agronomy; Doral Kemper
and myself, Agricultural Engineering; Ed Sparling, Economics;
George Radosevich, Water Law; David Freeman, James Layton and
Max Lowdermilk, Sociology; and Jack Hautaluoma, Psychology.
This development process consists of three phases: (1) Problem
Identification; (2) Development of Solutions; and (3) Project
Implementation. Dr. Lowdermilk served as team leader for the prepara-
tion of the Problem Identification Manual; Dr. Sparling and Dr. Kemper
were in charge of the Development of Solutions Manual; and the leader-
ship in completing the Project Implementation Manual was provided by
Dr. Hautaluoma.
Besides this Executive Summary and the three manuals, there is a
publication authored by Wayne Clyma, Max Lowdermilk and Gilbert L.
Corey, "A Research-Development Process for On-Farm Water
Management" (Tech. Report No. 47, Water Management Research
Project, Colorado State University, 1977), which should be consulted by
the reader for the philosophies and concepts used in describing this
particular development process.
This has been one of the most difficult tasks that I have ever
undertaken. Bringing together many disciplinary viewpoints regarding
on-farm water management is an extremely time consuming task;
however, the end result has been a very rewarding experience. I am
indebted to all of the authors of these manuals, but I especially express
my gratitude to the team leaders for each manual. In addition, I am
extremely appreciative of the tremendous job of editing these
manuscripts by Ms. Annette Ward.



Gaylord V. Skogerboe
Project Coordinator
Water Management Research Project
Colorado State University
Fort Collins, Colorado 80523









INTRODUCTION


These three manuals present guidelines for projects that have been
given the task of improving on-farm water management in large scale
irrigation systems. Although the approach advocated is general in
application, it is particularly intended for use in developing countries.
Such countries lack established agricultural research and extension
organizations. As a consequence, knowledge of farmers' problems is
slow to reach appropriate government agencies. By the time an agency
recognizes a need for improved on-farm water management, the problems
are acute and numerous. Faced with such urgency, on-farm water
management projects do not have the luxury of isolating small problems
which can be solved in the realm of a single discipline such as
agronomy, engineering, or law. Instead the project must grapple with
multi-faceted problems which require expertise of several disciplines
plus management skills not inherent in any of the disciplines. In
addition, lack of an effective agricultural extension service means that
the project must establish two-way communication with farmers in order
to understand their problems, enlist their aid in solving the problems
and then to discriminate the changes which embody the solution. These
manuals are especially designed to guide project managers in motivating
and coordinating interdisciplinary research and development and in
establishing farmer participation in the project.









THE SETTING

During the 1960's agriculture became a focus of attention in the
theory and practice of economic development. Soon many individuals
were citing that traditional agriculture needs new inputs if it is to
become more productive. For example, the world soon became aware of
new genetic technologies popularly termed the "Green Revolution." In
the 1970's it became clear that impacts of the Green Revolution varied
greatly between countries and between regions within countries. As
agriculturalists looked for explanations of this variation, it became clear
that high potential yields can be realized only with precise control of
inputs to genetically improved grains. In particular, water control and
management was seen to be a fundamental requirement. Fifteen years
after the beginning of the Green Revolution, it is evident that areas
with adequate irrigation and drainage have profited significantly from
new grain varieties, while those without irrigation have at best
remained unchanged and at worst suffered due to market competition
with regions where new varieties are irrigated.
Public investment in water control is a prerequisite to significant
gains from high yielding crop varieties. The spread of irrigation to
fodder and coarse grain crops in the high plains of the American West
illustrates that the productivity of irrigation is not peculiar to labor
intensive agriculture. Clearly, improved water control and management
increases the productivity of agricultural lands.
A less obvious benefit of good water management is the gain in
labor productivity. Seasonal labor shortages can be avoided through
control of water inputs, while the potential for multiple cropping allows
fuller utilization of labor during off-peak periods. Furthermore, the
control of water inputs increases flexibility in scheduling farm
equipment. Countries with abundant labor but seasonal labor shortages
can use this flexibility to take advantage of economies of scale inherent
in certain labor saving mechanical technologies while retaining labor
intensive technologies appropriate to off-peak seasons. The increase in
labor productivity resulting from improved water control and manage-
ment practices will benefit landless laborers and farmers with relatively
smaller acreages at least as much as farmers with larger landholdings.









In conclusion, public investment in irrigation can help increase
agricultural productivity and improve equity of income distribution in
developing countries.
Irrigation systems pose unique but well-known management
problems. The water resource must be captured and controlled; proper
amounts must be delivered to crops at appropriate times. Equally
important but often overlooked is removal of wastewater from croplands.
Associated management functions include: construction and operation of
large scale facilities; coordination of spatially dispersed conveyance
systems; provision and enforcement of rights to water use; and
collective good problems of maintaining productivity of both land and
water resources. All of these functions suggest some form of collective
action. In theory, indivisibilities and collective action are most
efficiently managed by centralized, hierarchical authority. In practice,
hierarchies do well in management of problems where subordinates are
easily monitored. Consequently, construction and operation of large
scale facilities is usually satisfactory. But, centralized organizations
are inefficient at controlling multitudes of subordinates each of whom
has a slightly different set of circumstances. Thus, local water
management is either (a) subject to inflexible standard procedures
appropriate to few situations; or (b) it is the object of benign neglect.
The results are often inefficient conveyance and application of water
from year to year, and to degradation of land and groundwater
resources in the longer run.
The source of the problem is not the fault of one institution or
another, rather it is one of missing communication links. In countries
with highly productive agricultural sectors, there are formal and
informal communication linkages between farmers and technical experts.
These linkages keep the research and development efforts of govern-
ment and private technicians pointed in the direction of farmers'
problems. When these linkages are weak or missing, research may have
little impact on farmers and vice versa.
Irrigation authorities in such countries recognize local water
management problems only after they become quite serious. Their
understandable response is an attempt to establish such linkages on a
temporary basis. Such projects are then faced with problems more






4

comprehensive and at the same time ill-defined than those usually faced
by agricultural technicians. The need is therefore to establish
communications with farmers in order to better understand the
problems. But the comprehensiveness of the problems means that their
causes and solutions require simultaneous involvement of several
disciplines. Thus, the approach used must rest upon the two basic
principles advocated by these manuals: (1) farmer involvement in
problem solving; and (2) interdisciplinary research.






5


DEVELOPMENT PROCESS


Phases

This series of manuals on the "Development Process for Improving
Irrigation Water Management on Farms" is directed toward increasing the
productivity of existing irrigated lands, improving the equity of income
distribution, and resource conservation; thereby ensuring the long-term
viability of the system. This process has two important themes:
(a) an interdisciplinary approach; and (b) farmer-client involvement.
Physical and social scientists work together with farmers in identifying
major constraints to increasing agricultural productivity while
conserving natural resources. Acceptable solutions are developed for
priority problems in collaboration with farmers. Finally, a solution
package is implemented that utilizes both the resources of the farmers
and the government. A manual has been prepared for each of the
three phases in this development process:
1. Problem Identification Manual;
2. Development of Solutions Manual; and
3. Project Implementation Manual.
The three phases have also been subdivided into subphases as listed in
Table 1.


Table 1. Phases and subphases of the development process for
improving irrigation water management on farms.

Phase Subphase

Problem Identification Reconnaissance
Problem Diagnosis

Development of Solutions Identification of
Plausible Solutions
Testing and Adaption of
Solutions
Assessment of Solution
Packages

Project Implementation Project Authorization
Project Organization
Project Operation






5


DEVELOPMENT PROCESS


Phases

This series of manuals on the "Development Process for Improving
Irrigation Water Management on Farms" is directed toward increasing the
productivity of existing irrigated lands, improving the equity of income
distribution, and resource conservation; thereby ensuring the long-term
viability of the system. This process has two important themes:
(a) an interdisciplinary approach; and (b) farmer-client involvement.
Physical and social scientists work together with farmers in identifying
major constraints to increasing agricultural productivity while
conserving natural resources. Acceptable solutions are developed for
priority problems in collaboration with farmers. Finally, a solution
package is implemented that utilizes both the resources of the farmers
and the government. A manual has been prepared for each of the
three phases in this development process:
1. Problem Identification Manual;
2. Development of Solutions Manual; and
3. Project Implementation Manual.
The three phases have also been subdivided into subphases as listed in
Table 1.


Table 1. Phases and subphases of the development process for
improving irrigation water management on farms.

Phase Subphase

Problem Identification Reconnaissance
Problem Diagnosis

Development of Solutions Identification of
Plausible Solutions
Testing and Adaption of
Solutions
Assessment of Solution
Packages

Project Implementation Project Authorization
Project Organization
Project Operation








Together, the three manuals describe three phases that comprise
an entire development process. In the Problem Identification phase, the
project staff (also referred to in these manuals as the program team,
program staff, or team) seeks to understand and diagnose the agri-
cultural system as it exists. In the Development of Solutions phase,
alternative designs to correct problems in the system are identified and
evaluated. In the Project Implementation phase, the program staff
attempts to change the present system to a better one by implementing
a solution.
Described in this manner, the three phases in this development
process seem distinct. In reality they usually overlap because informa-
tion is rarely complete from any particular phase before the next phase
begins. There is also a continuous recycling through earlier phases as
new facts reveal a need for further information. For example, in the
process of developing solutions, researchers discover new facts about
farmer management practices. These new facts may necessitate a
redefinition of the problem and a reordering of the associated priorities.
Thus, it is likely that problem definitions will continue to change as
solutions evolve and are implemented.
When one constraint is relaxed in a production system, other
constraints will become critical. Because implementation occurs on a
larger scale than the development of solutions, it is likely that
unforeseen constraints will emerge. This requires that solutions be
flexible enough to be adapted to unexpected problems. Such flexibility
involves a refinement in the development of solutions and the appear-
ance of these unforeseen problems provides additional knowledge about
problem identification.
Although the development process is a continuous recycling
through phases, the manuals are organized in a separate and sequential
format. Hopefully, allocating specific blocks of time and effort to each
phase will encourage program members to recognize the limits of program
resources and to keep sight of the goals they must reach.
At the same time, the three manuals should be used together, for,
while they describe discrete steps, each has information relevant to the
other two. The Problem Identification Manual contains much detailed








information about where to look for problems and therefore lays
emphasis on types of measures and tests used in diagnosis. The
Development of Solutions Manual deals primarily with allocation of team
resources to priority problems and therefore emphasizes strategies for
conducting adaptive research which will lead to practical solutions. The
Project Implementation Manual involves organization on a grander scale
and therefore emphasis is upon management of interdisciplinary, client-
oriented organizations. While it is fitting that the Problem Identification
Manual emphasizes diagnostic techniques, it is clear that effective
management of interdisciplinary research and strategies for choosing
solvable problems are also important to problem identification. Similarly,
the other two handbooks depend upon their companion volumes as
necessary complements.

Interdisciplinary Approach

The "Development Process for Improving Irrigation Water
Management on Farms" requires an effective interdisciplinary project
team, consisting of some personnel trained in the physical sciences and
others in the social sciences, in order to develop an adequate under-
standing of the farm irrigation system. Along with technically qualified
and experienced professionals in the disciplines required, other
essential ingredients are a commitment to the project, management
skills, open communication, and close collaboration of team members with
each other and with the farmer clients. Some of the most essential
elements for effective interdisciplinary teamwork include a respect for
the contributions that each discipline can make; a desire to establish
effective communication with all disciplines and farmers; and the strong
desire to learn from each other and from farmers in particular.
Achievement of such communication is not a trivial task. Staff
members have learned to concentrate on variables and relationships
within the province of their own discipline, ignoring or depreciating the
significance of factors relegated to other disciplines. An interdisci-
plinary perspective therefore requires special effort, especially by
project managers.









Client Involvement

Special focus must be given to listening to the farmer-client,
understanding his needs, and his perceptions of major farm constraints.
This procedure helps to build credibility with the farmers by increasing
their awareness and interest in solving farm problems.
Client involvement is an effective method for gaining information
about the dynamics of the farm system and for identifying sources of
support or obstacles to change. Farmers generally have extensive
relevant information, as well as an intuitive understanding of how their
system works; yet, they are often ignored by outside experts.
Client involvement and an interdisciplinary approach are recurring,
interconnected themes in all three manuals.









PROBLEM IDENTIFICATION


The intent of the Problem Identification manual is to provide an
understanding of the sequence of specific activities, such as the use of
reconnaissance findings for designing detailed diagnostic field studies,
conducting diagnostic field studies, analysis and interpretation of
findings, selection of criteria for ranking significant problems, and
reporting of priority problems and their apparent causes.
A sequence of the major activities which can be used for problem
identification studies during the two subphases of reconnaissance and
problem diagnosis are shown in Figure 1.

Reconnaissance

The reconnaissance subphase is basically an initial learning
situation that provides a general understanding of the farm situation.
First, there is a need for clearly stated preliminary objectives.
The general objectives may, for example, be one or more of the
following:
a) increased agricultural production;
b) increased equity of income distribution; and
c) resource conservation.
These general objectives must be supplemented with more specific
preliminary objectives so that they provide definite focus to the
development process. Examples of more specific objectives would be to
increase yields of a particular crop by a certain amount by a particular
year, increase income of tenants and farmers with small landholdings,
provide increased work opportunities in a particular region, alleviate
waterlogging and salinity problems, or reduce erosion of topsoil.
Reconnaissance includes the survey and summary of previous
available investigations. Visits should be arranged with officials of
organizations related to agriculture, such as governmental departments,
universities, and selected personnel at research institutes. Informal
interviews with farmers give the project team a feeling for farmers'
views of their own problems.









PROBLEM IDENTIFICATION


The intent of the Problem Identification manual is to provide an
understanding of the sequence of specific activities, such as the use of
reconnaissance findings for designing detailed diagnostic field studies,
conducting diagnostic field studies, analysis and interpretation of
findings, selection of criteria for ranking significant problems, and
reporting of priority problems and their apparent causes.
A sequence of the major activities which can be used for problem
identification studies during the two subphases of reconnaissance and
problem diagnosis are shown in Figure 1.

Reconnaissance

The reconnaissance subphase is basically an initial learning
situation that provides a general understanding of the farm situation.
First, there is a need for clearly stated preliminary objectives.
The general objectives may, for example, be one or more of the
following:
a) increased agricultural production;
b) increased equity of income distribution; and
c) resource conservation.
These general objectives must be supplemented with more specific
preliminary objectives so that they provide definite focus to the
development process. Examples of more specific objectives would be to
increase yields of a particular crop by a certain amount by a particular
year, increase income of tenants and farmers with small landholdings,
provide increased work opportunities in a particular region, alleviate
waterlogging and salinity problems, or reduce erosion of topsoil.
Reconnaissance includes the survey and summary of previous
available investigations. Visits should be arranged with officials of
organizations related to agriculture, such as governmental departments,
universities, and selected personnel at research institutes. Informal
interviews with farmers give the project team a feeling for farmers'
views of their own problems.








PROBLEM IDENTIFICATION

PRELIMINARY PROGRAM OBJECTIVES
a. Increased Agricultural Production
b. Increased Equity of Income Distribution
c. Resource Conservation


DEVELOP GENERAL OVERVIEW OF SYSTEM


CONDUCT RECONNAISSANCE FIELD INVESTIGATIONS
a. Plant Environment
b. Farm Management Practices
c. Water Supply and Removal
d. Institutional Linkages


PRELIMINARY LISTING OF PROBLEMS


REFINE PROGRAM OBJECTIVES


DESIGN DIAGNOSTIC STUDIES


CONDUCT DIAGNOSTIC FIELD STUDIES
a. Plant Environment
b. Farm Management Practices
c. Water Supply and Removal
d. Institutional Linkages


ANALYSES AND INTERPRETATION OF FINDINGS


IDENTIFY CRITERIA FOR SELECTION AND RANKING
OF PROBLEMS ACCORDING TO PROGRAM OBJECTIVES


REPORT FINDINGS OF PRIORITY PROBLEMS
AND THEIR APPARENT CAUSES

Figure 1. Flow diagram for the Problem Identification phase.


-t-








Reconnaissance also includes preliminary field surveys, not to be
confused with the more detailed diagnostic surveys to be conducted
later. The preliminary field survey is designed to provide an overview
of the farm system and to identify potential subjects for intensive
study. Preliminary field surveys will focus on four components:
(a) the plant environment; (b) farm management practices; (c) water
supply and removal; and (d) the institutional linkages supporting the
system.
The members of the reconnaissance team should collect data for
planning the detailed field studies, but they should attempt to limit the
amount of data they bring to the planning sessions of the team. Their
information will be used to prepare the more detailed diagnostic field
studies to be conducted under the Problem Diagnosis subphase.
Information from the initial reconnaissance is discussed by team
members who propose a list of major problem areas. Explicit use should
be made of preliminary objectives as criteria for selecting major problem
areas. The project team and officials of relevant agencies then refine
the preliminary objectives in light of the knowledge gained. The result
is a set of operational objectives which should be much more clearly
stated and specific than the preliminary objectives.

Problem Diagnosis

The next step is to design diagnostic field studies. Close
collaboration between disciplines and with concerned agencies outside
the project is imperative at this point. There are economies of size in
field studies since the same sites and personnel may simultaneously be
used to gather data relevant to several problems and from several
disciplinary perspectives. Furthermore, there is always the possibility
that project studies can complement studies being done by other
agencies or that they are duplicating or confounding work being done
by others.
Communication and consultation between the many people involved
will require time and effort. There will be a natural eagerness to get
on with what seem to be obviously important tasks. It is the duty of
the project manager to keep team personnel aware of the pitfalls of
hastily designing field studies.








After the data are collected, data analyses and interpretation must
be completed as a team activity. The data analyses must be planned
before doing the field studies and should be designed to relate problems
to project objectives. To provide a long list of problems without
showing their relative significance in relationship to each other is not
sufficient. Problems or constraints must be ranked in relationship to
agreed upon criteria.
Ranking of priority problems may reveal inconsistencies or
inadequacies of criteria previously agreed upon. New information about
political or organizational realities may reshape objectives. Therefore,
the last step in the Problem Diagnosis subphase--refine program
objectives--should develop a final set of criteria reflecting the realities
which determine the priority ranking of problems. Those criteria will
guide allocation of project resources in the Development of Solutions
phase.
The findings of the diagnostic field studies should be reported to
two major audiences. Brief summary reports without much technical
language should be prepared for policy-makers who need to be kept
informed of the field studies. More technical reports are required for
the persons who will be working in the Development of Solutions phase
to provide them with background information and benchmark data for
their applied, adaptive, and evaluative research efforts in order to
determine acceptable solutions for the identified priority problems.








DEVELOPMENT OF SOLUTIONS


The transition from the Problem Identification phase to the
Development of Solutions phase occurs when the staff agrees to change
emphasis from understanding problems to actual attempts at solution.
The development of solutions is characterized by three subphases:
(a) identification of plausible solutions; (b) testing and adaption of
solutions; and (c) assessment of solution packages. These subphases
are represented diagramatically in Figure 2.
The Development of Solutions phase marks a change in the
relationship of project staff to their clients. During the Problem
Identification phase the staff had a relatively passive role while
observing the system. The Development of Solutions phase requires a
more action oriented, manipulative role. This assumption of initiative
brings with it a temptation for "experts" to ignore the farmers in the
rush to define solutions. But, in the Development of Solutions phase
the farmers' opinions and suggestions are very important. First, the
farmers are intimately familiar with details peculiar to the local
situation. Second, farmers are, by necessity, interdisciplinary in their
approach to the system. Their critical judgment can help project
specialists become aware of the dynamics of the agricultural system.

Identification of Plausible Solutions

Faced with a situation where solutions are not obvious, a
worthwhile technique to elicit ideas is a "brainstorming session." All
members of the staff are encouraged to spontaneously submit ideas with
no threat of judgment. Inputs from farmers can be included indirectly
through the staff members. After many ideas have been exhausted for
each problem, they are evaluated with respect to program objectives
and constraints to eliminate obviously impractical or implausible
solutions. The criteria used at the initial screening should be quite
general because subsequent steps involve more detailed consideration of
each potential solution.
After initial screening, the remaining solutions are subjected to
detailed analysis for potential costs and benefits to each interest group
within the society. This exercise is time consuming; it is an important








DEVELOPMENT OF SOLUTIONS


The transition from the Problem Identification phase to the
Development of Solutions phase occurs when the staff agrees to change
emphasis from understanding problems to actual attempts at solution.
The development of solutions is characterized by three subphases:
(a) identification of plausible solutions; (b) testing and adaption of
solutions; and (c) assessment of solution packages. These subphases
are represented diagramatically in Figure 2.
The Development of Solutions phase marks a change in the
relationship of project staff to their clients. During the Problem
Identification phase the staff had a relatively passive role while
observing the system. The Development of Solutions phase requires a
more action oriented, manipulative role. This assumption of initiative
brings with it a temptation for "experts" to ignore the farmers in the
rush to define solutions. But, in the Development of Solutions phase
the farmers' opinions and suggestions are very important. First, the
farmers are intimately familiar with details peculiar to the local
situation. Second, farmers are, by necessity, interdisciplinary in their
approach to the system. Their critical judgment can help project
specialists become aware of the dynamics of the agricultural system.

Identification of Plausible Solutions

Faced with a situation where solutions are not obvious, a
worthwhile technique to elicit ideas is a "brainstorming session." All
members of the staff are encouraged to spontaneously submit ideas with
no threat of judgment. Inputs from farmers can be included indirectly
through the staff members. After many ideas have been exhausted for
each problem, they are evaluated with respect to program objectives
and constraints to eliminate obviously impractical or implausible
solutions. The criteria used at the initial screening should be quite
general because subsequent steps involve more detailed consideration of
each potential solution.
After initial screening, the remaining solutions are subjected to
detailed analysis for potential costs and benefits to each interest group
within the society. This exercise is time consuming; it is an important






14




DEVELOPMENT OF SOLUTIONS


GENERATE POTENTIAL SOLUTIONS
TO PRIORITY PROBLEMS


SCREEN POTENTIAL SOLUTIONS
a. Program Objectives
b. Program Constraints
c. Strategic Considerations


RANK PLAUSIBLE SOLUTIONS
a. Groups Affected
b. Uncertainty
c. Disciplines Involved
d. Time Requirements
e. Resource Requirements
f. Complementarities with
other Solutions


DEVELOP WORK PLAN
a. Set Goals
b. Design Tests
c. Allocate Team Resources
d. Specify Feedback Mechanisms
e. Specify Deadlines


DISCARD
IMPLAUSIBLE
SOLUTIONS


PERFORM TESTS


CONDUCT DEMONSTRATIONS,
FIELD DAYS, etc.


OBTAIN FEEDBACK FROM CLIENTS
a. Farmers
b. Agencies


REFINE SOLUTIONS WITH PHASED
WITHDRAWAL OF TEAM RESOURCES


ASSESS SOLUTIONS ACCORDING
TO PROGRAM OBJECTIVES
a. Technical Adequacy
b. Farmer Acceptance
c. Farmer Participation
d. Economic Adequacy
e. Social and Political Feasibility
i f. Organizational Adequacy

z Ye INo Yes
w S < NEED MORE INFORMATION MORE TESTING NEEDED-
No
No DISCARD UNACCEPTABLE
< ARE SOLUTIONS ACCEPTABLE DISCARD T A
Yes SOLUTIONS

SYNTHESIS OF ACCEPTABLE
SOLUTIONS INTO ALTERNATIVE
SOLUTION PACKAGES


REPORT ALTERNATIVE
SOLUTION PACKAGES

Flow diagram for the Development of Solutions phase.


Figure 2.


I








part of identifying those relationships which need study. It also
reminds team members of the inter-connectedness of their discipline
oriented tasks.
Classification of benefits and costs by interest group facilitates
comparison of solutions by economic efficiency criteria, as well as equity
criteria, and it improves the quality of estimates of aggregate effects
which must include indirect as well as direct impacts. Finally,
identification of interest groups helps to identify sources of potential
support or resistance for each solution.
Other criteria which must be considered include the demands made
upon project resources. Does the project have the expertise,
manpower, financial resources, and time to both develop and implement
the solution in question? Finally, since the ultimate feasibility of a
given solution will generally be uncertain, the staff must consider the
risk of allocating its resources to one or two promising solutions instead
of developing several alternative solutions. A general rule is that
plausible alternatives should be retained as long as possible to maintain
flexibility in project planning. Thus, after plausible solutions have
been evaluated according to expected benefits and costs to various
clients, for their demands upon project resources, and for their
probable feasibility, the project staff must agree upon a strategy for
detailed development of a group of solutions with the understanding
that some potential solutions will be discarded or significantly modified
as results of tests and field trials are evaluated.

Testing and Adaption of Solutions

Agreement upon an overall strategy is then translated into a set of
tests to gain necessary information about potential solutions. Project
staff will be assigned to various information gathering tasks with agreed
upon deadlines. There is a natural tendency for staff to develop
vested interests in "their" solutions. Therefore, it is important that
staff agree ahead of time upon decision points and criteria to be used
in choosing between alternatives. The tendency to develop proprietory
attitudes toward particular solutions can be offset by assigning
individuals to development of multiple solutions as far as practical.








Detailed development then proceeds through testing of parts of
solutions to field trials where farmers and other interested parties can
observe and evaluate the solutions. It is particularly important to keep
officials of relevant agencies appraised of field trial results. While
government agencies have different interests than farmers, they are an
important part of the farmers' environment. Ignoring them may lead to
overlooking important matters which could either block or enhance
implementation. Conversely, consulting government agencies can allow
for necessary adaptions while gaining potential support for subsequent
implementation proposals.
An important aspect of solution development is the phased
withdrawal of support of the project staff. Implementation will be
carried out on a larger scale by less highly trained staff. Therefore,
an ideal final solution would be one which can be implemented by
farmers totally independent of technical or financial assistance. Short
of this, the development of a feasible solution must assure that the
solution can succeed with such support as will be available to farmers
during implementation.

Assessment of Solution Packages

When field tests are finished, the solutions are given a final,
thorough assessment for technical adequacy, farmer acceptance, farmer
participation, economic adequacy, social and political feasibility, and
organizational adequacy. The next step in solution development is to
synthesize the acceptable solutions into alternative solution packages.
Finally, these alternative solution packages must be presented in a
formal report in a format that can be used by decision-makers.









PROJECT IMPLEMENTATION


A flow diagram for this final phase in the development process is
shown in Figure 3. The Project Implementation phase consists of three
subphases: (a) project authorization; (b) project organization; and
(c) project operation.

Project Authorization

After a set of solutions has been suggested from the preceding
phase, it is necessary to select one solution and to act on it. The
Project Implementation Manual discusses the process of selecting a
solution. It makes recommendations on how the technical staff, who
were involved in the Problem Identification and Development of Solutions
phases, can contribute to the selection which includes political and
other considerations.
Once the solution is chosen and the general purpose of a project is
defined, it is necessary to prepare a proposal to secure funding from
donors, the government, etc. The manual lists criteria of good
proposals and offers suggestions for the analyses that would be done
and the kinds of evidence that should be included in making a
convincing presentation. A general approach for preparing executive
proposals is described.
Some of the legal arrangements required for a project have to be
dealt with before a proposal is accepted, but other legal actions are
necessary after the project is approved by the donors. The manual
describes important legal issues and discusses means of dealing with
them.

Project Organization

The project's organizational form should have been considered in
writing the proposal; however, a final decision on the structure can
only be made after the project has been authorized. The manual
examines differences between projects and other organizations and
points out management concerns for the project staff. Four forms of
project organization are described. In one form the staff is made of
people from one agency who are on temporary assignment to do the









PROJECT IMPLEMENTATION


A flow diagram for this final phase in the development process is
shown in Figure 3. The Project Implementation phase consists of three
subphases: (a) project authorization; (b) project organization; and
(c) project operation.

Project Authorization

After a set of solutions has been suggested from the preceding
phase, it is necessary to select one solution and to act on it. The
Project Implementation Manual discusses the process of selecting a
solution. It makes recommendations on how the technical staff, who
were involved in the Problem Identification and Development of Solutions
phases, can contribute to the selection which includes political and
other considerations.
Once the solution is chosen and the general purpose of a project is
defined, it is necessary to prepare a proposal to secure funding from
donors, the government, etc. The manual lists criteria of good
proposals and offers suggestions for the analyses that would be done
and the kinds of evidence that should be included in making a
convincing presentation. A general approach for preparing executive
proposals is described.
Some of the legal arrangements required for a project have to be
dealt with before a proposal is accepted, but other legal actions are
necessary after the project is approved by the donors. The manual
describes important legal issues and discusses means of dealing with
them.

Project Organization

The project's organizational form should have been considered in
writing the proposal; however, a final decision on the structure can
only be made after the project has been authorized. The manual
examines differences between projects and other organizations and
points out management concerns for the project staff. Four forms of
project organization are described. In one form the staff is made of
people from one agency who are on temporary assignment to do the









PROJECT IMPLEMENTATION


A flow diagram for this final phase in the development process is
shown in Figure 3. The Project Implementation phase consists of three
subphases: (a) project authorization; (b) project organization; and
(c) project operation.

Project Authorization

After a set of solutions has been suggested from the preceding
phase, it is necessary to select one solution and to act on it. The
Project Implementation Manual discusses the process of selecting a
solution. It makes recommendations on how the technical staff, who
were involved in the Problem Identification and Development of Solutions
phases, can contribute to the selection which includes political and
other considerations.
Once the solution is chosen and the general purpose of a project is
defined, it is necessary to prepare a proposal to secure funding from
donors, the government, etc. The manual lists criteria of good
proposals and offers suggestions for the analyses that would be done
and the kinds of evidence that should be included in making a
convincing presentation. A general approach for preparing executive
proposals is described.
Some of the legal arrangements required for a project have to be
dealt with before a proposal is accepted, but other legal actions are
necessary after the project is approved by the donors. The manual
describes important legal issues and discusses means of dealing with
them.

Project Organization

The project's organizational form should have been considered in
writing the proposal; however, a final decision on the structure can
only be made after the project has been authorized. The manual
examines differences between projects and other organizations and
points out management concerns for the project staff. Four forms of
project organization are described. In one form the staff is made of
people from one agency who are on temporary assignment to do the









PROJECT IMPLEMENTATION


REVIEW ALTERNATIVE SOLUTION PACKAGES
AND IDENTIFY PROJECT APPROACH

Z PREPARE PROJECT OBJECTIVES
t-

SPLAN AND DEVELOP PROJECT PROPOSAL
o y
0. No
I- OBTAIN PROJECT AUTHORIZATION

Yes
MAKE LEGAL ARRANGEMENTS

ESTABLISH PROJECT ORGANIZATION


z r SELECT KEY PERSONNEL

W" F REFINE PROJECT OBJECTIVES
oz
0.. F DEVELOP INSTITUTIONAL LINKAGES
0O

SPECIFY MODE OF PROJECT MANAGEMENT

SELECT AND TRAIN PROJECT PERSONNEL


OPERATIONALIZE OBJECTIVES -

DEVELOP WORK PLAN AND
SCHEDULE OF EVENTS

INITIATE PROJECT FIELD OPERATIONS

ESTABLISH FIELD TECHNICAL SUPPORT SERVICES

)< | OBTAIN FARMER PARTICIPATION AND TRAIN FARMERS
n-
ar
o ORGANIZE FARMERS

y
DEVELOP LINES OF COMMUNICATION
WITH OTHER ORGANIZATIONS

MONITORING, EVALUATION AND REFINEMENT


PHASED TRANSFER OF RESPONSIBILITY

Figure 3. Flow diagram for the Project Implementation phase.









project. The second form is where the project is done by a relatively
permanent staff from an agency whose job is to go from one project to
another. Another approach is the "matrix" model, a form used by
organizations who deal with much change or who strictly follow a
management-by-goals scheme. Finally, a common form of project
organization is to have the key persons be contract personnel whose
careers are directed toward doing the kind of work required on the
project. All of these forms are acceptable and the manual describes
some of the consequences of using each approach.
After the project organizational form is chosen, it is necessary to
recruit the remainder of the high level project staff. In writing the
proposal, and in doing some of the other work to prepare the project,
several key persons may have been committed to be on the staff. After
authorization, the other principal technical and project management
positions must be filled. The manual describes some criteria of good
project staff persons and advocates recruiting procedures for obtaining
the people.
The style of managing the project must be established early. The
manual recommends establishing teamwork and describes important
features of attaining interdisciplinary teamwork. The necessity of
having an interdisciplinary project is discussed as are some of the
hazards.
One of the bases of interdisciplinary teamwork on a project is the
use of a participative management style. The style is also applicable to
utilizing the contributions of persons from different cultures, although
it is not used in many parts of the world. The advantages and
disadvantages of the style and some issues about its use are
considered. A model for using the style in a meeting is presented.
Good project teams resolve their conflicts rather than avoid them.
Some good means of dealing with conflict are described and discussed,
and a recommended approach is covered.
Managing through goals to produce teamwork is strongly
advocated. A goal setting process, the changes that take place in the
organization because of using goals, and the need to monitor progress
toward goals and refine goals are considered.








Dealing with cross-cultural issues is one of the overlooked areas of
project management. The project managers' responsibilities are to
emphasize the importance of cross-cultural issues and to model good
practices in confronting them. Several practical steps are described in
the manual for training, inducing sensitivity, and meeting the issues
effectively.

Project Operation

Once the central project staff is assembled, they must set the
project in motion. One of the first tasks is to refine the project's
objective into operational goals. Milestone points of progress should be
identified and the work plan of the project should be laid out in a
manner similar to the Critical Path Method (CPM) or the Program
Evaluation and Review Technique (PERT).
Next, the remainder of the project staff should be hired including
lower level administration, technical and labor personnel. Again, some
desirable qualifications for these people are discussed and a recruitment
procedure is outlined.
The need for training of the staff and the farmer is recognized.
Principles of training relevant to on-farm water development projects
are listed. The manual recommends that much training of farmers be
done within the context of a water management advisory service which
is similar to an extension service, but mainly for on-farm water
management topics.
An important job for the project's manager is to make the project
function effectively in the social, cultural, political and technical
context in which the project is nested. A main concern is obtaining the
involvement of the farmers and maintaining their participation through
recognition, good reward practices, training, and the development of
farmer organizations. Steps are described on how to assess and ensure
farmer participation.
The network of different types of organizations affecting the
project is presented. Much of the manager's task here is to analyze
the networks that exist and then practice good public relations to foster








the development of an infrastructure favorable to continuing the
project's aims. Water users associations are a part of this
organizational network.
Throughout the various phases of the development process,
evaluation and improvement of results have been stressed. In this final
phase of the project, it is most important to have carefully considered a
specific system' for monitoring, evaluation and refinement of the
project's activities and methods. Monitoring consists essentially of
inspecting key indices of the progress and quality of performance of
the project. Monitoring may utilize existing data collection programs by
other agencies; but invariably, such data will have to be supplemented
by a monitoring network operated by project personnel.
Evaluation involves relating the changes in resource availability
and use to production costs and yields, which develop into socio-
economic impacts. These relations are, in turn, evaluated against
project goals and targets to determine the effectiveness of project
implementation. Besides evaluating the monitoring data (which is done
on a continual basis), it is usually necessary to do supplementary field
evaluations which involve the collection of additional data.
Refinement is concerned with implementation of changes resulting
from the evaluation process, which involves a reassessment or "tuning
up" of the project plan. Refinement can consist of minor adjustments to
project implementation or even major revisions to the project. The
primary purpose of refinement is to continually readjust the mechanics
of project implementation and the package of solutions, which is a
recognition that successful project planning and implementation are
reiterative and dynamic processes. The project plan needs to be
sufficiently flexible so experience and evaluation can result in continual
improvement.
In the Development of Solutions Manual, a procedure of phased
withdrawal of technical support is suggested as a means for ensuring a
balance of farmer and project involvement, which transfers as much
responsibility to the farmers as is practicable. During the Project
Implementation phase, the capability of farmers and their associations to
assume project activities after the staff leaves must be developed. To






22

ensure that this is done in a gradual and orderly way, the phased
withdrawal of support should be programmed at the outset so that there
is a full understanding about the transition of responsibility by all
parties involved. Ideally, the innovation should be completely
integrated into the agricultural system before the project personnel
move on to other assignments. But this integration is unlikely to
happen if total responsibility for innovations has not been transferred
to users well before the end of the project.




University of Florida Home Page
© 2004 - 2010 University of Florida George A. Smathers Libraries.
All rights reserved.

Acceptable Use, Copyright, and Disclaimer Statement
Last updated October 10, 2010 - - mvs