• TABLE OF CONTENTS
HIDE
 Front Cover
 Action memorandum for the acting...
 Project authorization and request...
 Initial enviromental examinati...
 Suppporting statement
 Title Page
 Table of Contents
 List of Appendices
 Glossary of terms
 Summary and recommendations
 Description of the project
 Policy and programmatic ration...
 Implementation scheldule, responsibilities...
 Evaluation arrangements
 Financial plan
 Project feasibility
 Conditions precedent, covenants...
 Enviromental considerations
 Social soundnes/role of women
 Appendix






Title: Action memorandum for the Assistant Administrator for Africa
CITATION THUMBNAILS PAGE IMAGE ZOOMABLE PAGE TEXT
Full Citation
STANDARD VIEW MARC VIEW
Permanent Link: http://ufdc.ufl.edu/UF00067409/00001
 Material Information
Title: Action memorandum for the Assistant Administrator for Africa
Physical Description: 1 v. (various pagings) : ill., map ; 28 cm.
Language: English
Creator: Koehring, John W
Butcher, Coler T
Agricultural Delivery Systems (Africa) -- Assistant Administrator for Africa
United States -- Agency for International Development
Publisher: U.S. Agency for International Development
Place of Publication: Washington D.C
Publication Date: 1979
 Subjects
Subject: Agricultural development projects -- Somalia   ( lcsh )
Agricultural development projects -- Africa   ( lcsh )
Agricultural assistance, American -- Somalia   ( lcsh )
Agricultural assistance, American -- Africa   ( lcsh )
Genre: federal government publication   ( marcgt )
non-fiction   ( marcgt )
 Notes
Statement of Responsibility: from AFR/DR John W. Koehring.
General Note: Cover title.
General Note: "Coler T. Butcher, Acting Assistant Administrator for Africa"--P. 3, 2nd group.
General Note: "Project Number: 649-0112"--P. 10, 2nd group.
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: UF00067409
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 - 43651732

Table of Contents
    Front Cover
        Front Cover
    Action memorandum for the acting assistance administration for africa
        Page A 1
        Page A 2
        Page A 3
        Page A 4
        Page A 5
        Page A 6
    Project authorization and request for allotment of funds
        Page B 1
        Page B 2
        Page B 3
        Page B 4
    Initial enviromental examination
        Page B 5
        Page B 6
    Suppporting statement
        Page B 7
        Page B 8
        Page B 9
        Page B 10
    Title Page
        Title Page 1
        Title Page 2
    Table of Contents
        Page i
        Page ii
        Page iii
        Page iv
    List of Appendices
        Page v
        Page vi
    Glossary of terms
        Page vii
        Page ii
    Summary and recommendations
        Page 1
        Recommendations, grantee, and overview
            Page 1
            Page 2
        Project content
            Page 3
        Finiancial contribution to project
            Page 4
        Project implementation, GOK/MOA commitment, FAO commitment
            Page 5
        Evaluation arrangements, Issues
            Page 6
        USAID project committee, Project evaluation/Design team
            Page 7
    Description of the project
        Page 8
        Background
            Page 8
            Page 9
        Currently funded project
            Page 10
            Protein quality laboratory (PQL) - Kitale
                Page 11
            Diseases resitance in Maize-Muguga
                Page 12
                Page 13
        Details of proposed new project
            Page 14
            Page 15
            Page 16
            Page 17
            Soils science/ Soils physics, Maize breeding
                Page 18
            Agrometeorology
                Page 19
            Plant pathology, Agricultural economics, Other
                Page 20
        Equipment and commodities for aid funding
            Page 21
            Page 22
            Page 23
            Page 24
            Page 25
    Policy and programmatic rationale
        Page 26
        Importance of project
            Page 26
        Relationship to other USAID/ kenya projects
            Page 27
        Other donor's activities
            Page 28
            Page 29
    Implementation scheldule, responsibilities and plans
        Page 30
        Length of project
            Page 30
        Present USDA/PASA team
            Page 31
        Project coordination, Training and related activities
            Page 32
        Research plans
            Page 33
    Evaluation arrangements
        Page 34
        Annual USAID/GOK evaluations
            Page 34
        External evaluations
            Page 35
            Page 36
    Financial plan
        Page 37
        Page 38
    Project feasibility
        Page 39
        Economic feasibility, Technical feasibility, Administrative feasibility
            Page 39
    Conditions precedent, covenants and negotiating status
        Page 40
    Enviromental considerations
        Page 41
    Social soundnes/role of women
        Page 41
        Page 42
    Appendix
        Page 43
        Page 44
        Page 45
        Page 46
        Page 47
        Page 48
        Page 49
        Page 50
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Full Text






KENYA


DRYLANDS CROPPING SYSTEMS
RESEARCH PROJECT



Project Paper
615-0180















August 1979





Agency for International Development
Washington, D.C. 20523









ACTION MEMORANDUM FOR THE ACTING ASSISTANT ADMINISTRATOR FOR AFRICA
9wKwe
FROM: AFR/DR oerng

SUBJECT: Kenya-Dryland Cropping Systems Research Project 615-0180


Problem: You are being requested to approve a life-of-project fund-
ing of $6,000,000 and to authorize a grant of $2,150,000 in FY 79
funds from the Food and Nutrition (FN) appropriation to the Government
of Kenya for the Dryland Cropping Systems Research Project and for the
procurement waivers described herein.

Discussion:

A. Project Description

A major thrust of the Government of Kenya's (GOK) recently
issued Five Year Plan is the development of the arid and semi-
arid areas of the country, a task in which the United States has
been requested to play the leading role. This project will build
upon and continue the ongoing activities of the AID-funded Food
Crop Research Project, which was developed under the former East
African Agricultural and Forestry Organization before the dis-
solution of the East African Community in 1977. These activities,
which have been carried out as USAID/Kenya country activities
since October 1977, emphasize developmental research required to
solve the problems of the lower rainfall areas of Kenya. The
project is designed to produce, through basic and applied research,
an appropriate technological package of agricultural recommendations
for the intended beneficiaries, the small-holder subsistence farmers
of the semi-arid areas of Kenya's Eastern Province, and to assist in
improving the delivery system for implementing the technological
packages. The packages to be investigated and delivered will
include recommended superior crop varieties and cropping systems,
as well as improved cultural practices. When adopted by the
target group, these packages can significantly increase crop
yields while minimizing the risk of crop failures, thus, both
enhancing agricultural production and improving the well-being of
the rural poor.

Because of the relatively high risk and limited knowledge base,
the Mission has stated in the recent Country Development Strategy
Statement that it intends to follow a dual path of research and
action-oriented programs in its approach to activities in the
semi-arid land areas. This project is intended to serve as the
research branch of the strategy designed to place the initial
focus upon expanding the data base. Subsequently, it is anticipated
that there will be a major shift towards larger action-oriented
investments, particularly under the Arid-and Semi-Arid Lands
Development project (615-0172) scheduled for approval, also this
fiscal year.









-2-


B. Financial Summary

The total cost of the project will be $17,050,000 over a five-
year period. The AID financial input of $6,000,000 will fund:

FY 1979 LOP

1. U.S. Technical Assistance $1,375,000 $3,972,000
2. Participant Training 550,000 1,256,000
3. Commodities and Equipment 225,000 572,000
4. Project Evaluations 200,000
TOTAL $2,150,000 $6,000,000
FAO Component 28,500 3,650,000
GOK Contribution 256,986 7,400,000
GRAND TOTAL $2,435,486 $17,050,000

The United Nations' Food and Agriculture Organization is a joint
donor in this project with AID. While U.S. scientists will work
with their Kenyan counterparts on relatively basic applied research,
the FAO team will assist in field-testing and adopting relevant
research findings so as to maximize the utilization of these
findings by the Kenyan extension service and the ultimate target
group, i.e., the small-holders. The cost of the FAO portion will
be $3,650,000 over the five-year life-of-project.

The project will be implemented under the auspices of the Research
Division of the Ministry of Agriculture which, in turn, supports
the Kenyan Agricultural Research Institute (KARI) at Muguga
where the AID technicians will be assigned. Seven U.S. scientists
and technicians will be provided under a PASA agreement with the
U.S. Department of Agriculture. They will be responsible to the
Director of the KARI. The FAO personnel will be based at the
Katumani Research Station.

Due to the high priority given to the development of the arid and
semi-arid regions of the country in the Five Year Development Plan,
maximum support can be expected from the GOK/MOA. The GOK's commit-
ment to build up the KARI at Muguga as the national research
center will ensure, along with appropriate conditions precedent,
adequate research and office facilities with a capable administra-
tive and support staff. It is critical to the success of this
project that the GOK shall have established, by the end of the five-
year term of donor involvement, a mechanism to assure a Kenyan
capability to carry on independently. This aspect is addressed by
the project's major training component which will also be a point
of focus for the external evaluators. As a condition precedent,
the GOK will be required to advise of its planning to retain
qualified Kenyan agricultural scientists in its service, once
trained. The recurring cost implications of the project for the
GOK have been examined and have been found to be relatively small







-3


and manageable. The GOK has a good record in meeting recurring
costs on other projects and no particular problem is foreseen for
this activity. The GOK will contribute $3.2 million to support the
AID portion of the project and $4.2 million to support the FAO
activities for a total of $7.4 million, or 43%.

C. Socio-Economic, Technical and Environmental Considerations

Although it is generally difficult to quantify rigorously, the pay-
off or return on investment in agricultural research is quite high,
especially in thelong term. Achievement of the objectives of this
project is expected to result in significantly enhanced agricultural
production and other economic benefits. The project is also cost
effective with reasonable, quantifiable costs associated with the
expected benefits. Estimated project recurrent costs are compatible
with anticipated GOK budget resources. An official request of the
GOK to undertake this project has been received.

The project has also been judged to be socially sound: the project
is designed to ensure that project outputs have a positive impact on
the small-holder farmers who are the ultimate target beneficiaries.
There are no human rights implications to the implementation of
this project.

As a result of the AID/W review of project documentation submitted
by the USAID Mission, the specific technical activities proposed
within the project appear to be technically sound.

As this project consists primarily of technical assistance and
participant training, no serious negative environmental impacts
should result. The minor construction element (the construction of
a prefabricated house) will have only the usual temporary nuisance
effects of noise and dust. Irrigation, land and water use, etc.,
will be undertaken in a controlled research environment. Small
amounts of pesticides will be used exclusively for research purposes
and are thus exempt from the normal pesticide procedures of
Regulation 16. However, the procedures applicable to pesticide use
in research projects will be followed. The Project Review recommends
your approval of the Initial Environmental Examination recommendation
for a Negative Determination.

D. Committee Action and Congressional Notification

The Africa Bureau Project Review met to discuss the project on
May 22, June 1, and June 13, 1979. Several technical issues were
raised at these reviews and satisfactorily resolved. A number of
minor modifications will be made in the Project Paper as a result.

The Project Review recommended the following modifications to
the project:






-4-


1. The Project Review requested the Mission to clarify its
intentions concerning the hybrid maize research program. One
of the two maize breeders will concentrate on breeding shorter
maturing, higher yielding varieties of non-hybrid maize that
can capitalize on the concentrated periods of rainfall character-
istic of the semi-arid areas in question. The other maize breeder
will be working on hybrid maize which is predominant throughout
Kenya with an emphasis on intercroppinguulticropping/tillage
systems suitable to semi-arid areas. The cable detailing the
justification for this approach is attached.

2. The itemized list of laboratory equipment, including a computer,
for the Kitale Protein Laboratory is inappropriate to the service
function agreed by all parties to be the purpose of the activities
at that facility. The equipment list will be reviewed and revised
by the USAID technicians upon their arrival in Kenya.

3. Following the submission of the Project Paper, the Mission has
determined that the use of a mobile home to house technicians
was too expensive and that a locally produced three/four bedroom
prefabricated house was a more economical solution to the
problem of housing the technicians.

In addition to the standard conditions precedent, the USAID will
also require:

1. A Memorandum of Agreement signed by the USAID, FAO and GOK prior to
disbursement of funds as evidence that FAO is committed to the pro-
gram and that FAO funding and personnel will be available on a
timely basis.

2. The submission by the GOK of a plan indicating that all necessary
counterpart personnel for the project will be available on a
timely basis.

3. A statement from the GOK requiring the retention of qualified
Kenya scientistsin this project.

4. As a C.P. to the availability of AID funds for training purposes, the
GOK/MOA will be required to submit a life-of-project training plan.

The USAID also intends to include two special covenants in the
Project Agreement:

1. A requirement to furnish rural sociologist services as determined
necessary by both the FAO and AID-sponsored technical assistance teams.

2. A requirement to accept the joint FAO/USAID evaluation procedure
over the life-of-the-project.


A procurement waiver to permit the purchase in Kenya of seven











project vehicles and one tractor of European manufacture has been
submitted by the Mission with detailed justification provided in
Appendix XVII of the Project Paper. These waivers have been
incorporated into the PAF II attached for your signature.

The project was included in the FY 1980 Congressional Presentation.
Since the $2,150,000 of FY 1979 FN funds is being made available
to'lbegin work this year, a Congressional Notification was prepared.
The Congressional Notification was submitted to Congress on August
6 1979 and will expire on August 21, 1979.

The Africa Bureau Project Officer responsible for the project is
Cameron Pippitt, AFR/DR/EAP. The USAID/Nairobi Project Manager
is Wilbur E. Scarborough.

Recommendation: That you sign the attached PAF II, and thereby
authorize the proposed project, and that you approve the requested
procurement waiver, and that you approve the Negative Determination
recommended in the Initial Environment Examination, (Attachment 2).


Attachments:
1. PAF II
2. Environmental Determination
3. State 156904, Nairobi 11178
4. Project Paper


Clearances:
AFR/DR/EAP, MMcDaniel
AFR/DR/ARD, WJohnson (DRAFT)
AFR/DR/SDP, BBoyd (DRAFT)
AFR/EA, REney (DRAFT)
AFR/DP, GCauvin r",DPAFT)
AFR/DR, NCohen 1wV
GC/AFR, ESpriggs 9tit.
DAA/AFR, WHNorth



AFR/DR/EAP:CLPippitt:hrp:7/31/79:x28286














PROJECT AUTHORIZATION AND REQUEST FOR ALLOTMENT OF FUNDS

PART II

NAME OF COUNTRY : Kenya

NAME OF PROJECT : Research and Development of Agricultural
Systems for Semi-Arid Areas

NUMBER OF PROJECT : 615-0180


Pursuant to Part I, Chapter 1, Section 103 of the
Foreign Assistance Act of 1961, as amended, I hereby auth-
orize a Grant to Kenya (the "Cooperating Country") of not to
exceed Two Million One Hundred and Fifty Thousand United
States Dollars ($2,150,000) (the "Authorized Amount") to
assist in financing certain foreign exchange and local
currency costs of goods and services required for the project
as described in the following paragraph.

The Project will consist of furnishing to the Cooper-
ating Country technical assistance, participant training and
supplies, equipment and materials, all designed to assist in
development of technological packages benefitting agricul-
tural small-holders in certain arid and semi-arid lands of
Kenya. The Project is intended to be one component in a
broader program, jointly funded by the Cooperating Country
and the Food and Agriculture Organization (FAO) of the
United Nations. More specifically, A.I.D. will furnish
under the Project, inter alia, a technical assistance team
at the Kenya Agricultural Research Institute (KARI) at
Muguga, whose emphasis will be on relatively basic research.
The FAO will furnish a technical assistance team at the
Ministry of Agriculture's research station at Katumani,
among whose major concerns will be adaptive research and
delivery of the results of that research, through the Kenyan
extension service, to drylands small-holders. The A.I.D.
Grant will also be available for other forms of assistance,
consistent with Project and Program objectives, at the
Muguga and related facilities.

I approve the total level of A.I.D. appropriated funding
planned for the project of not to exceed Six Million United
States Dollars($6,000,000), Grant, including the funding
authorized above, during the period FY 1979 through FY 1984,
subject to the availability of funds and in accordance with
A.I.D. allotment procedures.






-2-


I hereby authorize the initiation of negotiations
and execution of the Project Agreement by the officer to
whom such authority has been delegated in accordance with
A.I.D. regulations and Delegations of Authority, subject
to the following essential terms and covenants and major
conditions, together with such other terms and conditions
as A.I.D. may deem appropriate.

a. Source and Origin of Goods and Services

Goods and services financed by A.I.D. shall have
their source and origin in the United States or the
Cooperating Country, except as A.I.D. may otherwise agree
in writing. Ocean shipping financed hereunder shall be
procured in the United States, except as A.I.D. may
otherwise agree in writing.

b. Conditions Precedent

The Project Agreement shall contain conditions
precedent in substance as follows:

1. Prior to any disbursement of funds or the
issuance of any commitment documents under the Project
Agreement, the Cooperating Country shall furnish to A.I.D.,
in form and substance satisfactory to A.I.D.:

(a) evidence, in the form of a memorandum
of agreement or comparable document, that the UNDP/FAO is
committed to funding its components of the program and that
such funding and personnel will be available on a basis and
at times compatible with the successful and timely imple-
mentation of the A.I.D. project;

(b) a plan indicating that all necessary
qualified counterpart personnel will be available for the
program on a timely basis;

(c) a plan indicating what steps the Cooper-
ating Country will take to assure that persons receiving
longterm training will be employed at the KARI, or other
acceptable institution, upon completion of such training.

2. Prior to the first disbursement of funds
under the Project Agreement for participant training, or to
the issuance of any commitment documents with respect
thereto, the Cooperating Country will furnish to A.I.D.,
in form and substance satisfactory to A.I.D., a life-of-
project training plan, prepared in collaboration with the
project's technical assistance contractor, which will
indicate, inter alia, the type and extent of proposed







-3-


training, justification for this level of training, and
such other information as A.I.D. may reasonably require in
Project Implementation Letters.

c. Covenants

The Project Agreement shall contain covenants in
substance as follows:

1. The Cooperating Country agrees to establish,
as part of the A.I.D. project and the program as a whole, a
joint FAO/AID evaluation procedure over the life of the
project, which will be contained in an annex to the Project
Agreement and further elaborated upon in the Project
Implementation Letters.

2. The Cooperating Country agrees to provide, on
a timely basis, all qualified counterpart and technical
personnel required for the successful implementation of the
Project. In particular, the Cooperating Country will furnish
at least one of the qualified rural sociologists to the UNDP/
FAO-funded component of the program, and such supplementary
Assistance in this discipline as may be required.

3. The Cooperating Country agrees to consult
with A.I.D., prior to any change in the present status of
KARI as functioning under the direction of the Ministry of
Agriculture's Scientific Research Division, concerning the
effect of any such proposed change on the implementation of
the Project and how any potential adverse effects might be
minimized.

d. Waivers

Notwithstanding paragraph a. above, the following
waivers to A.I.D. regulations are hereby approved:

1. The requirement set forth in Handbook 1,
Supplement B, that commodities procured with grant funds
have their source and origin in the U.S., is waived, based
upon the justification set forth in Annex XVII to the
Project Paper, to permit the procurement of seven Project
vehicles, at an approximate cost of $95,000, which have as
their source and origin countries included in A.I.D. Geo-
graphic Code 935. It is hereby determined that exclusion
of procurement of the Project vehicles from countries
included in Code 935 would seriously impede attainment of
U.S. foreign policy objectives and the objectives of the
foreign assistance program; and that special circumstances
exist which justify waiver of the requirement of Section
636(i) of the Foreign Assistance Act of 1961, as amended.






-4-


2. The requirement set forth in Handbook 1,
Supplement B, that commodities procured with grant funds
have their source and origin in the U.S. is waived to
permit procurement of one 45 horsepower tractor, acces-
sories and spare parts, which have their source and origin
in countries included in A.I.D. Geographic Code 935. It
is hereby determined that exclusion of procurement of
said equipment from Code 935 countries would seriously
impede attainment of U.S. foreign policy objectives
and the objectives of the foreign assistance program.





GL, Ass stan Administrator
for Africa














INITIAL ENVIRONMENTAL EXAMINATION


Project Location . . .
Project Title .............


Funding . . . .
Life of Project . ......
IEE Prepared by . .. .
Date . . . . .
Environmental Action Re H ded .
Concur .

Date . . . .


. Muguga, Kenya
. Research and Development of
Agricultural Systems for
Semi-Arid Areas
. $6,000,000
. Five Years
. USAID/Kenya Project Committee
. April 1979
. Negative Determination
* Glenwood P. Roane
Mission Director
April 1979


APPROVED:

DISAPPROVED:


DATE:


^/7 -





















:






SUPPORTING STATEMENT


The program of which this project is a major part combines
agricultural research with delivery of results of that research.to
smallholders. Both program and project will deal with improved methods
of utilizing soil and water for agriculture production to enhance
producers' returns. These improved methods of soil and water utiliza-
tion will be beneficial in terms both of increased agricultural produc-
tion and also reduction in soil erosion. More specifically, the present
excessive soil loss during torrential rainfall leads to the silting up
of dams and reservoirs and disruption of transportation by soil deposits
on the roads. Erosion damages or destroys water supplies, roads and
bridges. Both program and project are intended, inter alia, to decrease
the soil loss and reduce the potential force and amount of water runoff
through terracing and better cropping systems.

Both the program and project will study the diseases and insects
adversely affecting crop production. Efforts will be made to breed
pest-resistant crops. In addition, biological control measures will be
studied to control harmful insects. Such measures will reduce the
need for the use of pesticides and insecticides that may be harmful to
the environment.

It is noted that a certain small amount (less than $4,000) of
pesticides will be purchased for use under the A.I.D.-funded project.
All such pesticides (which cannot be specifically identified until
arrival of the team) will be used exclusively for research purposes
and confined to small areas under controlled research station conditions.
The objectives of this experimentation will be to reduce to an economi-
cally efficient minimum the amount of pesticides/insecticides now in use.
PASA and GOK personnel will be made fully aware during project implemen-
tation of A.I.D.'s environmental standards concerning pesticides and
project documentation will contain appropriate undertakings in this
regard. The use of pesticides/insecticides and disposition of treated
crops will be in accordance with Reg. 16, Section 216.3(b)(2)(iii).

There is only a minor construction element associated with this
project. This consists of erecting one prefabricated four-bedroom guest
house at the Kampi ya Mawe Research Station that would be used by project
scientists during overnight trips to the facility.

Any irrigation or other land and water use activities will be undertaken
in a controlled research environment. As a result, the environmental
impact on land use, public health, water, and use of other natural
resources will be negligible. The technical assistance team will be
aware of A.I.D.'s environmental concerns (physical and sociocultural)
and will be examining various technological packages in the light of








these concerns so as to develop packages optional both from a tech-
nological and an environmental standpoint.

Recommendation

The project will fund, primarily, technical assistance,
and participant training. It will have no physical impact on land
and water resources save in some instances of a controlled research
nature. Requirements contained in Reg. 16 with regard to the use
of pesticides in a research activity will be followed. Environmental
considerations will be paramount in the research undertaken by A.I.D.
technical assistance personnel.

It is concluded that the proposed project is not one which will
have a significant effect on the human environment and, therefore,
a negative determination is recommended.





Appendix 5A to HB 3, Part I
(TM 3:19)


1. TRANSACTION CODE
AGENCY FOR INTERNATIONAL DEVELOPMENT A = ADD PP '
C = CHANGE
PROJECT PAPER FACESHEET CODE DELT 2
3
3. COUNTRY/ENTITY 4. DOCUMENT REVISION NUMBER F


KENYA
5. PROJECT NUMBER (7 digits) 6. BUREAU/OFFICE
---- A. SYMBOL B. CODE

__ 615-180 AFR E06 I]
B. ESTIMATED FY OF PROJECT COMPI ETION


FY 18 71


Li


7. PROJECT TITLE (Maximum 40 characters)

EDRYLAND CROPPING SYSTEMS RESEARCH _/
9. ESTIMATED DATE OF OBLIGATION


A. INITIAL FY J.9J
C. FINAL FY SJ.41


B. QUARTER
(Enter 1, 2, 3, or 4)


10. ESTIMATED COSTS (5000 OR EQUIVALENT $1 )
FIRST FY LIFE OF PROJECT
A. FUNDING SOURCE
B. PX C. L/C D. TOTAL E. FX F. L/C G. TOTL0
AID APPROPRIATED TOTAL 1_890 260 2J.1 5,68.. 0 319.0 6,000.
(GRANT) (1890 ) 260 ) (24150 (5.681. ) 319.0 ) (6000:
(LOAN) I ) ( I ) I 1 I )
OTHER .....
U.S. 2.- -
HOST COUNTRY 10.0 2- 7 L4 257 ._ 35.0 7365.0 7 400' 0
OTHER DONOR(S) FAO 28.5 28.5 3445. 6 204.4 3,650,
TOTALS 3 ,5 507..0 4.2435.5 9,161.6 1,R8.8 17,050 0
11. PROPOSED BUDGET APPROPRIATED FUNDS (S000)
B. PRIMARY PRIMARY TECH. CODE E. 1ST FY.7 H. 2ND FY 8. K. 3RD FY .
A. APPRO- PURPOSE -
PRIATION PURPOSE
PRATON CODE C. GRANT D. LOAN F. GRANT G. LOAN GRANT J. LOAN L. GRANT M. LOAN

(I) FN 141 080 2150 8r 1,261 -
(2)
(3)
(4)
TCTALS 2 ,5,0 850 1.261


A. APPROPRIATION


N. 4TH FY 82


Q. 5TH FY 83


_______ 4 .1


O. GRANT


P. LOAN


R. GRANT


S. LOAN


LIFE OF PROJECT


T. GRANT U. LOAN


I FN 869.5 &9.5 6,000.C -
(2)
(3)
(4)_


12. IN-DEPTH EVALU
NATION SCHEPUIEq



7 .


TOTALS I869. 869.5 16,000.0 I
13. DATA CHANGE INDICATOR. WERE CHANGES MADE IN THE PID FACESHEET DATA, BLOCKS 12, 13, 14, OR 15 OR IN PRP
FACESHEET DATA. BLOCK 12? IF YES, ATTACH CHANGED PID FACESHEET.
To insure administrative/fiscal consi'ste
this bilateralized former EAC project
SiNO being united as a new activtyd ,It"b
[NA INO r aCt enuae tl n ID w
SYES e I an act a co inuatierefore no PID
i-- f5 tHe HAC Drolect. therefore no ID tm&


ING OFFICE CLEARANCE SUt


DATE SIGNED


101Sb i1m ir


\i. DATE DOCUMENT RECEI\
IN AID/W, OR FOR AID/W
MENTS, DATE OF DISTRII


AID 1330-4 (3-76)
1/ The official PP title: Research and Developme
Semi-Arid Areas has been abridged for brevity.


nt of Agricultural Systems for


TITLE


Director, USAID/Kenya











































I




















































i














i



















PROJECT PAPER




KENYA: RESEARCH AND DEVELOPMENT

OF AGRICULTURAL SYSTEMS FOR

SEMI-ARID AREAS







REF: FOOD CROPS RESEARCH PROJECT

618-110-10-657


SUBMITTED: APRIL 1979











KENYA: RESEARCH AND DEVELOPMENT OF AGRICULTURAL SYSTEMS FOR SEMI-ARID
AREAS




TABLE OF CONTENTS



Page

-I. SUMMARY AND RECOMMENDATIONS 1

Grantee 1

Project Content 3

Financial Contributions to Program 4

Project Implementation 5

GOK Commitment 5

FAO Commitment 5

Evaluation Arrangements 6

Issues 6

USAID Project Committee 7

Project Evaluation/Design Team (USDA/PASA) 7

II. DESCRIPTION OF THE PROJECT 8

Background 8

Currently Funded Project 10

1. Protein Quality Laboratory (PQL) Kitale 11

2. Disease Resistance in Maize Muguga 12

3. Maize Breeding Research Kitale 12

4. Plant Quarantine Station Muguga 12

5. Cropping Systems for Marginal Rainfall 12
Areas Muguga, Katumani











Details of Proposed New Project/Specific Technical
Assistance Proposed for AID Funding

1. Soils Science/Soils Physics

2. Maize Breeding

3. Agronomy

4. Agrometeorology

5. Plant Pathology

6. Agricultural Economics

7. Other

Equipment and Commodities for AID Funding; Training
of Kenyans


POLICY AND PROGRAMMATIC RATIONALE

Importance of Project

Relationship to Other USAID/Kenya

Other Donors' Activities


26

26

Activities 27

28


IMPLEMENTATION SCHEDULE, RESPONSIBILITIES AND PLANS

Length of Project

Present USDA/PASA Team

Project Coordination

Training and Related Activities

Research Plans


Page

14


18

18

19

19

20

20

20

21-25











Page

V. EVALUATION ARRANGEMENTS 34

Annual USAID/GOK Evaluations 34

External Evaluations 35


VI. FINANCIAL PLAN 37


VII. PROJECT FEASIBILITY 39

Economic Feasibility 39

Technical Feasibility 39

Administrative Feasibility 39


VIII. CONDITIONS PRECEDENT, COVENANTS AND NEGOTIATING STATUS 40


IX. ENVIRONMENTAL CONSIDERATIONS 41


X. SOCIAL SOUNDNESS/ROLE OF WOMEN 41












APPENDICES


I. ECONOMIC FEASIBILITY

II.. TECHNICAL FEASIBILITY

III, ADMINISTRATIVE FEASIBILITY

IV. ENVIRONMENTAL STATEMENT

V. SOCIAL SOUNDNESS ANALYSIS AND THE ROLE OF WOMEN

VI. LOGISTIC SUPPORT FOR PROJECT

VII. FINANCIAL ANALYSIS (Appendices VII and VIII are consolidated.)

VIII. EXPENDITURES: EQUIPMENT, MATERIALS, SUPPLIES, PERSONNEL
AND TRAINING

IX. CONTRIBUTION OF HYBRID MAIZE IN KENYA OVER THE LAST
10 YEARS

X. JOB DESCRIPTIONS OF PROGRAM TECHNICIANS

XI. PROJECT IMPLEMENTATION SCHEDULE

XII. ESTIMATED GOK CONTRIBUTION (Appendices XII and VIII are consolidated)

XIII. DRAFT PROJECT AUTHORIZATION

XIV. STATUTORY CHECKLIST

XV. GOK REQUEST FOR ASSISTANCE

XVI. SECTION 611 (e) DETERMINATION

XVII. DETAILED JUSTIFICATION FOR WAIVER

XVIII. LOGFRAME

XIX. REFERENCES























































































































































1








GLOSSARY OF TERMS


AFC Agricultural Finance Corporation

ASSP Agricultural Systems Support Project (USAID/GOK)

ATAC American Technical Assistance Corporation

CIAT International Center for Tropical Agriculture,
Palmira, Colombia

CID Consortium for International Development (Logan, Utah)

CIMMYT International Center for the Improvement of Maize and
Wheat, Mexico City

EAAFRO East African Agriculture and Forestry Research
Organization

EAC East African Community

EAFCR East African Food Crops Research

FAO/UNDP Food and Agriculture Organization/United Nations Develop-
ment Program

GOK Government of Kenya

IADP Integrated Agricultural Development Program (World Bank
financed program, designed to provide agricultural credit
and technical services to small and medium sized farm
holders)

IITA International Institute for Tropical Agriculture, Ibadan,
Nigeria

ICRISAT International Crops Research Institute for the Semi-Arid
Tropics, Hyderabad, India

KARI Kenya Agricultural Research Institute, Muguga

MOA Ministry of Agriculture

MOCD Ministry of Cooperative Development

NAL National Agricultural Laboratory






-ii- >I

ODM Overseas Development Ministry (U.K.)
AID/PASA Agency for International Development/Participating
Agency Service Agreement
USDA United States Department of Agriculture










I. SUMMARY AND RECOMMENDATIONS


Recommendations

1. Grant $6,000,000

2. Waiver: To permit the purchase in Kenya of[seven project
vehicles of European manufacture (probably
U.K.) at an estimated value of $95,000.

Grantee

The Republic of Kenya, to be represented for purposes of the
project by the Ministry of Agriculture Scientific Research Division.

Overview

A major thrust of the Government of Kenya's (GOK's) next Five
Year Plan is the development of the arid and semi-arid areas of the
country. The overall objective of the Plan is the alleviation of
poverty through the provision of basic needs and creation of income
earning opportunities.

The proposed project, entitled "Research and Development of
Agricultural Systems for Semi-Arid Areas," will be in direct further-
ance of this GOK objective. The major emphasis of the project proposed
in this Project Paper (PP) will be on certain areas of the country (in
Eastern Province) described as marginal in their agricultural capacity,
due to limitations in average annual rainfall (500-760 mm per year);
in current GOK terminology, those areas are classified as semi-arid.
Specifically, the project is designed to assist, through basic and
applied research, the development of an appropriate technological
package of agricultural recommendations for the small-holders in those
areas, perhaps 75 percent of whom are rural poor subsistence farmers;
and to assist in improving the delivery system for implementing that
technological package.

The packages to be developed and delivered will include recom-
mended superior crop varieties and cropping systems, optimal planting
times and improved cultural practices. When adopted by the target










I. SUMMARY AND RECOMMENDATIONS


Recommendations

1. Grant $6,000,000

2. Waiver: To permit the purchase in Kenya of[seven project
vehicles of European manufacture (probably
U.K.) at an estimated value of $95,000.

Grantee

The Republic of Kenya, to be represented for purposes of the
project by the Ministry of Agriculture Scientific Research Division.

Overview

A major thrust of the Government of Kenya's (GOK's) next Five
Year Plan is the development of the arid and semi-arid areas of the
country. The overall objective of the Plan is the alleviation of
poverty through the provision of basic needs and creation of income
earning opportunities.

The proposed project, entitled "Research and Development of
Agricultural Systems for Semi-Arid Areas," will be in direct further-
ance of this GOK objective. The major emphasis of the project proposed
in this Project Paper (PP) will be on certain areas of the country (in
Eastern Province) described as marginal in their agricultural capacity,
due to limitations in average annual rainfall (500-760 mm per year);
in current GOK terminology, those areas are classified as semi-arid.
Specifically, the project is designed to assist, through basic and
applied research, the development of an appropriate technological
package of agricultural recommendations for the small-holders in those
areas, perhaps 75 percent of whom are rural poor subsistence farmers;
and to assist in improving the delivery system for implementing that
technological package.

The packages to be developed and delivered will include recom-
mended superior crop varieties and cropping systems, optimal planting
times and improved cultural practices. When adopted by the target






-2-



group, these packages can significantly increase crop yields while
minimizing the risk of crop failures, thus, both enhancing agricultural
production and improving the well-being of the rural poor/subsistence
farmers.

The proposed project will be implemented as part of a broader
scale program to which the United Nations Development-1rogram/Food and
Agriculture Organization (FAO) is also to be a donor.- FAO scientists
will be based at Katumani (Ministry of Agriculture Research Station).
AID furnished technicians will be assigned to the Kenyan Agricultural
Research Institute (KARI) at Muguga. While complementarity will be
stressed, AID scientists will concentrate with Kenyan counterparts on
relatively basic applied research, while FAO scientists (who will
include an agricultural economist/systems specialist) will assist in
field-testing and adopting relevant research findings so as to maximize
utilization of these findings by the Kenyan extension service and the
ultimate target group, i.e., small-holders. Three prime objectives of
this program, then, will be to ensure (a) that the small-holders' needs
and wishes are made known to the researchers (both AID's and FAO's);
(b) that research is adapted to those needs; and (c) that results of
the research are in fact made available to and used by small-holders.
A fourth prime objective will be the training of Kenyans to carry on
this program, in due course, on an independent basis. A related and
significant program benefit will be enhancement and improvement of
KARI's status and capabilities as the Kenyan national agricultural
research institution.

The project proposed for AID funding will, as indicated, be
part of a systems approach for target areas. This approach will
emphasize the accumulation and dissemination of technical information
that will be beneficial to small-holder farmers in the target area.
These target areas include Machakos/Kitui the area most suited, from
an institutional standpoint, for successful project implementation.
Potentially, the project's methodology, and data generated, will be
useful for application to similar agronomic problems in marginal
rainfall areas of Kenya on a nation-wide basis.

This proposed project will be conducted in close collaboration
and cooperation no.t only with FAO but also with other on-going USAID/
Kenya projects; for example, it will draw upon the work of the
arid and semi-arid lands team and will also relate directly to new
activities to be developed under the Agricultural Systems Support
Project (ASSP) approved in separate documentation for AID funding in

1/ Funding will be entirely from UNDP sources, with FAO active in
management of that program component. For convenience, reference
throughout this PP is hereinafter exclusively to FAO.






-3-


FY78. Together with other USAID-funded on-going activities, the
proposed project will be aimed at alleviating constraints to agri-
cultural production in the country (the lack of adequate adaptive
research capability being one such constraint).

The currently proposed project will be carried out under the
auspices of the Research Division of the Ministry of Agriculture (MOA).
This project is viewed by that Ministry as an important component of
its new program initiative in the dryland agriculture areas.
U.S. scientists to be provided under a USDA PASA agreement will be
directly responsible to the Director of KARl. Through a significant
training component, the project will seek to establish within KARI a
cadre of Kenyan technicians capable of effectively and independently
carrying on the projects and probably of enhancing KARI's capacities
more broadly, at the end of USAID financing. Thus, this five year
project will include major elements of training of Kenyan staff, both
in-country and abroad (U.S. and other countries), to acquire the
necessary knowledge in solving problems associated with the semi-arid
areas of the country.

Project Content

Further to the question of delivery, appropriate operational
linkages will be maintained directly by KARI with the GOK Extension
Service and the GOK's Integrated Agricultural Development Program
(IADP). The AID-funded activity at KARI will have its primary re-
lationship to the delivery of benefits of research to the smallholder,
through the dryland farming activity and the Ministry of Agriculture
extension services which will be responsible for sociological and
economic inputs to the program.

The new project is proposed in recognition of the fact that
increasing population pressure in the higher rainfall/higher potential
areas has forced many families to migrate into the lower potential areas.
Often these new settlers occupy land in the former livestock grazing
areas which are less suitable for intensive crop production. Addition-
ally, these settlers attempt to introduce agricultural traditions, crops,
and varieties from the higher rainfall areas that often are inappropriap
for the more arid zones. To assist these small-holders, the development
and delivery of technology appropriate to their needs is viewed as
critical.








This proposed project will build upon and continue the ongoing
activities of the AID-funded Food Crops Research Project, which was
developed under the former East African Agricultural and Forestry
Organization (EAAFRO) before the dissolution of the East African Com-
munity (EAC) in 1977. These activities, which have been carried out as
USAID/Kenya country activities since October 1977, emphasize develop-
mental research required to solve the problems of the lower rainfall
areas of Kenya. The currently proposed project will include research
in the areas of soil physics, plant breeding (mdaize), plant pathology,
agricultural economics and agronomy. In addition, work in the area of
agrometeorology, designed to determine soil moisture relations and
water requirements of various crops, will be continued. The research
findings obtained by the U.S. research technicians working at Muguga
(KARI), in collaboration with GOK counterpart technicians, will be made
available to technicians being funded by FAO at Katumani for inclusion
in the FAO's field trials and pre-extension testing before being assembled
into a technological package for delivery to the target group by the
GOK's Extension Service.

This project proposal also recommends funding for the continued
provision of limited training of Kenyan staff and commodities for the
Protein Quality Laboratory at Kitale, an activity which closely relates
to successful accomplishment of the AID-funded effort at Muguga. In
addition, the AID-funded team at Muguga will coordinate closely with
an AID-funded advisor at the Plant Quarantine Station at Muguga (funded
under other documentation) whose work in identifying and eliminating
pathogens, which are carried on imported vegetative materials, is of
direct relevance to the currently proposed AID-funded projects and is
also of major importance to agriculture both in Kenya and elsewhere in
East Africa.



Financial Contributions to Project 1/

AID GOK FAO TOTAL

Technical Assistance/
Implementation $4,250 $6,408 $3,020 $13,678

Participant Training 1,179 96 330 1,605

Supplies, Equipment and
Materials 571 896 300 1,767


$6,000 $7,400 $3,650 $17,050


1/ See page 17 of Appendix VIII for details.











Project Implementation

This project (i.e., the USAID-funded project within the broader
program) will require a moderate amount of Mission support. It will be
operated under a PASA with The U.S. Department of Agriculture that will
call for the provision of technical inputs as required both on a full-
time and TDY basis. The USDA will purchase equipment and supplies both
in the U.S. and Kenya, following AID regulations and guidelines. The
USDA will also handle the development and implementation of all training
activities. It is estimated that the agriculturalist on the USAID Food
and Agriculture Staff will be able to handle this project on a signifi-
cant, but part-time basis. Normal senior staff supervision and
occasional ad hoc services (e.g., legal or contracting) are also
anticipated.

GOK/MOA Commitment

Due to the high priority given to the development of the arid
and semi-arid regions of the country in the next five-year Development
Program, maximum support can be expected from the GOK/MOA. The location
of the project at KARI, Muguga (formerly the headquarters of EAAFRO)
will insure adequate research and office facilities with a capable
administrative and support staff, to be supplemented to the extent ap-
propriate by project contributions. The physical location is ideal for
close cooperation with the National Agricultural Laboratory and the
Faculty of Agriculture and Departments of Sociology and Economics at
the University of Nairobi. The assignment of additional GOK personnel
to the activities as required under this project proposal should receive
high priority by the GOK because of its desire to build up KARI as the
national research center. The commitment to develop effective scientific
expertise within KARI to address the problems of the marginal rainfall
areas has been strongly indicated.

FAO Commitment

Discussions with FAO have been very positive and, based on oral
assurances, funding for the FAO project appears firm. However, a
condition precedent to disbursement of AID funds will be documentary
evidence that FAO is indeed committed to the program on a firm basis;
and that UNDP funds for the FAO component will be forthcoming on a
timely and adequate basis. Such documentary evidence would be a memo-
randum of understanding to be entered into by Government, FAO and USAID,






-6-



Evaluation Arrangements

Evaluation will be a continuing process during the life of the
project and will include: (a) periodic assessments of accomplishments
and objectives based upon approved work plans and (b) annual progress
reports to be prepared by the USDA Team Leader in collaboration with
FAO and the Kenya institutions as well as USAID/Kenya. There will be
one outside evaluation 18 months following commencement of the program;
another still 18 months further along; and a terminal evaluation of
both program and project activities. To an appropriate extent, costs
of the external evaluations are expected to be shared by USAID and FAO
in a manner to be outlined in the memorandum of understanding discussed
in the previous paragraph.

Issues

Critical to the success of the AID project, and the broader
program of which it forms a part, are the following: (a) close collabo-
ration among USAID, FAO and GOK scientists to the end that program and
project research will be of real relevance to the Kenyan small-holder;
(b) effectiveness of the Kenyan extension service in articulating the
usefulness of that research, once done, to the small-holder; and (c)
availability of other necessary inputs credit, seeds, supplies and
the like to small-holders in addition to research results.

As to issue (a), this will call for close monitoring and con-
sultation, with evaluations providing a good vehicle for project
identification and resolution. Issue (b) is also of concern but it is
noted that the Kenyan extension service has an increasing and important
orientation toward small-holders; and that, through the AID-funded
Agricultural Systems Support Project and otherwise, the extension
service will be significantly enhancing its capability to reach the small-
holder. Issue (c) is believed reasonably resolved since agricultural
credit and other inputs are increasingly available to the Kenyan small-
holders, including those in the project target area.

It is also critical that the program shall have generated and
developed, at the completion of its five year term for donor funding,
a mechanism to assure a Kenyan capability to carry on independently.
This aspect is addressed by the program's major training component and
will also be a point of focus for external evaluators. Furthermore, as
a project condition precedent, the GOK will advise of its planning to
retain qualified Kenyan agricultural scientists in its service, once
trained.











Finally, the recurring cost implications of this project and
program for the GOK have been examined and have been found relatively
small and manageable. The GOK has a good record in meeting recurring
costs on other projects and no particular problem is forseen relative
to this proposed activity.

In summary, USAID considers that the project is an attractive
and sound one and that the above-identified issues are satisfactorily
addressed. Approval of the project for AID funding is recommended.

USAID Project Committee


Wilbur E. Scarborough

Kevin F. O'Donnell
Dominic D'Antonio
Boyd Whipple
Robert Lester
Donald McClelland


Agricultural Research Advisor
Project Manager
General Development Officer
Assistant Program Officer
Financial Analyst
Lawyer, REDSO/EA
Program Economist


Project Evaluation/Design Team (USDA/PASA)


Mr. John M. Halpin
Dr. James E. Hunter
Dr. Dale Sechler
Dr. Charles D. Whyte


Team Leader
Plant Pathologist
Plant Breeder
Agricultural Economist


Approved by: Glenwood P. Roane
Mission Director











II. DESCRIPTION OF THE PROJECT

Background

Agriculture in Kenya is undergoing a gradual but dramatic change.
The people living in the more productive traditional agricultural areas
of the country have utilized the land to the extent that as the popula-
tion increases, the areas of more limited rainfall are being settled.
The population increases of 3.5 percent per annum is rapidly extending
agriculture into areas once used primarily for grazing. Usually, this
internal migration takes place within the same traditional tribal land
areas. However, some of the new settlers (the so-called landless people)
have through one means or another acquired land in the former livestock
(grazing) areas and are now beginning to develop agricultural enter-
prises. The strong majority (about 75 percent) of people in these areas
are small-holder "subsistence" farmers, growing maize, sorghum, millet
and grain legumes as subsistence crops; and cotton and sunflower, with
small amounts of castor bean, sisal, fruits and vegetables as cash crops.
Because crop failures in this area are a recurrent problem, many families
living there receive periodic Government famine relief assistance.

The economy of the marginal rainfall areas is a blend of tradi-
tional and modern life: agricultural production remains traditional
while services, mainly transportation, are being modernized. Income is
derived from the sales of cash crops, home craft items, wages and remit-
tances by relatives. The economy is not subsistence in the traditional
sense; only half of the people's food needs are produced on the farm.
Livestock is kept mainly as a store of purchasing power rather than as
a revenue generating asset. Except for transportation and postal
delivery, most services are inadequate.

The agricultural policy of the Government of Kenya (GOK) strongly
emphasizes agricultural development (particularly in the marginal areas)
as a means of increasing national productivity and employment, reducing
dependence on imports and narrowing rural-urban income disparities. The
emphasis on increasing agricultural productivity of small-holders farming
units is of major importance in addressing the income distribution prob-
lem. The Government provides price incentives to producers, which vary
over time and by crop. Agricultural pricing favors fixing the prices
of several major food crops at all points in the marketing system.











II. DESCRIPTION OF THE PROJECT

Background

Agriculture in Kenya is undergoing a gradual but dramatic change.
The people living in the more productive traditional agricultural areas
of the country have utilized the land to the extent that as the popula-
tion increases, the areas of more limited rainfall are being settled.
The population increases of 3.5 percent per annum is rapidly extending
agriculture into areas once used primarily for grazing. Usually, this
internal migration takes place within the same traditional tribal land
areas. However, some of the new settlers (the so-called landless people)
have through one means or another acquired land in the former livestock
(grazing) areas and are now beginning to develop agricultural enter-
prises. The strong majority (about 75 percent) of people in these areas
are small-holder "subsistence" farmers, growing maize, sorghum, millet
and grain legumes as subsistence crops; and cotton and sunflower, with
small amounts of castor bean, sisal, fruits and vegetables as cash crops.
Because crop failures in this area are a recurrent problem, many families
living there receive periodic Government famine relief assistance.

The economy of the marginal rainfall areas is a blend of tradi-
tional and modern life: agricultural production remains traditional
while services, mainly transportation, are being modernized. Income is
derived from the sales of cash crops, home craft items, wages and remit-
tances by relatives. The economy is not subsistence in the traditional
sense; only half of the people's food needs are produced on the farm.
Livestock is kept mainly as a store of purchasing power rather than as
a revenue generating asset. Except for transportation and postal
delivery, most services are inadequate.

The agricultural policy of the Government of Kenya (GOK) strongly
emphasizes agricultural development (particularly in the marginal areas)
as a means of increasing national productivity and employment, reducing
dependence on imports and narrowing rural-urban income disparities. The
emphasis on increasing agricultural productivity of small-holders farming
units is of major importance in addressing the income distribution prob-
lem. The Government provides price incentives to producers, which vary
over time and by crop. Agricultural pricing favors fixing the prices
of several major food crops at all points in the marketing system.











The proposed project will, in terms of potential longer-term
application, be concerned with all marginal rainfall areas (MRAs) of
Kenya; also known as the semi-arid lands I/of the country, these areas
comprise about 18 to 25 percent of Kenya's total land area and perhaps
15 percent of the population. The project will directly address those
MRAs of the Kitui and Machakos districts of Kenya's Eastern Province.
This Province is characterized by low and erratic rainfall that is
bimodal in distribution and ranges from 500-800 mm per year.

Productivity levels of the areas are estimated to be rising at
1.5 percent per year, with net population rising at over 3.0 percent
per year. Land utilization patterns for the areas are primarily:

(a) rainfed farming by small-holders with traditional
technology, shallow (sometimes) stony soils, steep
slopes and constraints of pests and unreliable rainfall;
and
(b) rainfed farming by small-holders, with intermediate
technology (i.e. fertilizers, insecticides and
mechanization).

There is no large scale irrigation nor estate farming, except for one
2,650 ha., sisal estate. Small farmer irrigation is negligible; and
rainfed arable farming, with modern technology, is confined primarily
to the special case of tobacco growing.

Total estimated population of the two target districts for the
currently proposed project Machakos and Kitui is 983,244; 662,847
in Machakos and 320,897 in Kitui. Per capital income is quite low
(certainly less that $250 per year) and the people may by any standard
be classified as rural poor. The majority (95 percent) of the rural
population is of the Akamba tribe, a people willing to accept change
and having strong achievement motivation and cooperative spirit. The
spatial distribution of the population (53 persons per square kilometer)
has been influenced by soil fertility, surface water and socio-economig
factors. The social system of the Akamba people is characterized as
loosely structured and adaptable, with a strong cohesive extended
family (average 15 persons) or kinship units (average 45 persons). Ths
land tenure system favors individual ownership rights; and the Government
policy of adjudication of land title is having significant benefits.(Ref, 1),


1/ The terms "semi-arid lands" and "marginal rainfall areas" are often
used synonymously in Kenya, a usage which will be noted in this PP.







-10-


There is a clear and fundamental need for problem oriented
(applied) research in the MRAs if agricultural productivity and
living standards in the marginal rainfall areas are to be increased;
see for example, the 1974 DAP and 1975 DAP Supplement which identified
inadequate adaptive research as one of the key constraints in this re-
gard. The proposed project is designed to identify and solve problems
through adaptive research and develop a technology that will provide
maximum benefits to the MRA small-holder.

AID has a long history of supporting food crops research in
East Africa. Original efforts, begun in 1964 under East African
Community auspices, were concentrated primarily in high rainfall
production potential areas of the country. More recently, research
work has been started in the marginal rainfall areas of the Machakos
District to develop cropping systems for the dryland areas. The
AID-funded East African Food Crops Research (EAFCR) project has been
carried out since the dissolution of the East African Community as a
bilateral activity under AID/PASA No. AG/EAR-657-6-73; on a de facto
basis, it has been part of the USAID country program since October
1977. The April 1978 evaluation of this project forms the basis for
the proposed project, discussed below, which would build upon and
enhance the effectiveness of this already ongoing AID/GOK activity.

Currently Funded Project

As a result of the deteriorating political/economic relationships
among the constituent states of the East African Community/ the
Government of Kenya decided in July 1977, to withdraw its support from
several East African regional organizations and to concentrate its
efforts on those activities which are exclusively Kenya based. The
former regional East African Agriculture and Forestry Research Organization
(EAAFRO) was therefore dissolved and has since been reorganized as a Kenyan
national research center, the Kenya Agricultural Research Institute (KARI)
at Muguga. KARI is planned to be the principal GOK agricultural research
institution and KARI (MUGUGA) will be a major Kenyan national research
center, possibly with autonomous status. (KARI is discussed in greater
detail in Appendix III. In general, KARI is believed to be a reasonably
mature institution. Gaps which have developed in KARI's staffing and
capabilities are intended to be filled by the new project which is
proposed in this PP).

USAID, beginning in 1972, had supported selected EAAFRO research
efforts in the area of food crops and cropping systems in an attempt to
increase food production and quality throughout East Africa. These


1/ Kenya, Tanzania and Uganda






-11-



efforts constitute the current AID project entitled, "East African Food
Crops Research". This project has concentrated on:

(a) increasing the production and improving the quality
of both high altitude and low altitude maize grown
throughout the region;

(b) developing cropping systems appropriate for marginal
rainfall areas;

(c) providing technical and financial support for the
East African Plant Quarantine Station at Muguga

(d) supporting sugar cane research; and

(e) developing a cadre of East African scientists and
technicians to assume full responsibility for
agricultural research in the region.

The EAFCR has had five sub-projects in Kenya, all at varying
times assisted by PASA and other personnel. Brief descriptions of these
sub-projects, all of which have been supported by AID through PASA
scientists, equipment, commodities and training 1/ follow:

1. Protein Quality Laboratory (PQL) Kitale

The incorporation of high quality protein tryptophanee and lysine)
with vitreous endosperm 2/ into high yielding maize populations or hy-
brids requires a means of determining chemical content of maize seeds
without destroying seed viability. The PQL, utilizing techniques devel-
oped at CIMMYT in Mexico, performs this vital protein chemical analysis,
This laboratory concentrates most of its efforts on selecting high pro-
tein maize germ plasm; however, work with sorghum, millet and food
legumes is proposed for the future. The importance of this research
activity is recognized if one understands that 40 percent of total
crude protein in regular maize--the East African staple--is nutritionally
unavailable to the consumer because of the limiting amino acids lysine
and trytophan. The PQL, by identifying and supplying the Opaque-2 (high
lysine-trytophan) germ plasm to breeders, can assist in substantially
improving the nutritional qualities of maize grown and consumed in East
Africa, and thereby improving the general health of the population.


1/ AID obligations to these sub-projects totalled approximately
$2,640,000 as of July 31, 1978.
2/ The vitreous or "hard" endosperm maize varieties are preferred
by the East African maize consumer.


I







-12-


2. Disease Resistance in Maize Muguga

This sub-project seeks to develop an overall disease resistance
program to solve the recurrent disease infestation problems which reduce
maize yields in the low elevation areas of East Africa. The initial
focus is on resistance to virus diseases, such as maize Streak and Sugar
Cane Mosaic Viruses. Identification of the viruses and of sources of
resistance to Streak are the major thrust of this effort. Maize grown
in the lower altitudes is used primarily as a subsistence crop. Uncon-
trolled disease outbreaks in these areas retard development and produce
famine conditions. This research activity is intended to help reduce
the occurrence of such outbreaks.

3. Breeding Research Kitale

This sub-project, in collaboration with the Protein Quality
Laboratory, and the Disease Resistance activity, seeks to develop
maize varieties that have the combination of high disease resistance,
high yielding capability, and high quality protein endosperm. These
improved varieties will be distributed to growers in East Africa.

4. Plant Quarantine Station Muguga

The East African Plant Quarantine Station is a vital facility
which protects Kenya and East Africa from the potentially dangerous
introduction of plant diseases and pests into the region. Plant mate-
rials from all over the world are sent to the Station to be tested,
certified disease and pest free, and released to agronomic testing
centers throughout East Africa for planting trials. USAID has assisted
EAAFRO by supplying an experienced Plant Quarantine Officer to direct
this operation, and by providing laboratory equipment and other
commodity support.

5. Cropping Systems for Marginal Rainfall Areas Muguga and
Katumani

This sub-project coordinates the research efforts of a four-
person multi-disciplinary team (consisting of an Agrometeorologist,
Agronomist, Agricultural Economist and an expected TDY Electronic
Specialist) which is to develop comprehensive recommendations for
improving semi-arid lands cropping systems and optimizing food crop
yield responses to supplemental irrigation, when available, in the
marginal rainfall areas. This team's recommendations are to be
based on the findings obtained from research designed to enhance the
GOK's ability to:






-13-


(1) quantify the water regime which a given crop or
cropping combination will experience when soil, climate,
food crop and cropping season are specified;

(2) predict yields of given food crops and cropping
combinations grown in a water regime;

(3) adapt into the cropping systems soil tillage
and conservation;

(4) incorporate drought escaping and drought resistant
crop varieties into the cropping system;

(5) determine the social and economic constraints impeding
implementation of cropping system recommendations; and

(6) evaluate alternate strategies for implementing and
assessing cropping system recommendations.

In April 1978 the EAFCR Project was reviewed by an external
team recruited by AIDAJ under PASA funding; see Part I above for iden-
tification of this team. This evaluation was appropriate in view of:

(a) the transition of the Project from regional (EAC)
to USAID/Kenya bilateral auspices, and

(b) the requirement in the PP dated September 30, 1975 that
the Project not be continued for funding beyond FY78
without resubmission of the Project to the Administrator
for review and approval.

The evaluation team found that certain of the above sub-projecqt
were doing well and, in substance, should be continued; however, the
team also concluded that the original EAAFRO project viewed in its
entirety, was too compartmentalized and insufficiently attuned to the
need for research oriented to the small-holders' needs and that it
failed to stress delivery of research results to the small-holder.
To quote the evaluation:

"In the opinion of the Team, activities carried out
on a regional basis, as under EAAFRO, often may
justifiably be devoted primarily to basic research,
whereas country specific research projects should
have greater practical application. The original
project proposal made no significant reference to






-14-


recipients or a target group. The basic thrust
was to conduct research in specific areas and to
develop research methodology as well as specific
research capabilities within the cooperating
organization."

USAID/Kenya, the GOK and UNDP/FAO based on their findings, have
agreed to redirect the project as outlined in this document. Attractive
elements in the current Project will be retained while areas of weakness
- such as project integration and communication with the small-hOlder
beneficiary will be addressed and remedied.

Details of Proposed New Project

It should be stressed first that what is now proposed is AID
funding for a component part of a program aimed at -

(a) the conducting of research relevant to Kenya's dry-
lands small-holders initially in the Machakos and
Kitui area and, potentially, to other areas later; and

(b) the delivery of the results of that research to those
small-holders.

The concept is that, within this program, there would be discrete but
closely interrelated projects, namely:

(a) the furnishing by AID of (1) Seven technicians to be
stationed at Muguga and Kitale under a 5-year USDA/PASA
Agreement, (2) significant training of Kenyans, (3) limi-
ted commodity support and (4) certain project-related
training and commodities for the Protein Quality Labora-
tory at Kitale; and

(b) the furnishing by FAO of eight technicians at Katumani
for the same period, also with appropriate levels of
training and commodities.

The semi-arid lands research conducted by the AID and FAO tech-
nicians would be closely coordinated; with the FAO team in particular
being made fully cognizant of the need to work with the Kenyan extension
service on the "delivery" aspects of the program. A prime program ob-
jective and expectation is that Kenya will itself through the program's
training component have developed the institutional capability within
five years to manage this program on an independent basis and, indeed, to
expand its scope to include marginal rainfall areas additional to the
initial target areas of Machakos and Kitui Districts.








-15-


More specifically as to the proposed new program, AID and FAO
will furnish the following personnel, each to have at least one GOK
counterpart. The GOK is also to furnish rural sociologists, on both
a full and part time basis, to work with the FAO team.
I/
AID' FAO
-- Senior Maize Breeder -- Project Manager/Soil-Water
Management Specialist
-- Maize Breeder
-- Agronomist (2)
-- Agrometeorologist
-- Plant Breeder (2)
-- Agronomist
-- Animal Nutritionist
-- Plant Pathologist
-- Pest Control Specialist
-- Soil Physicist
-- Farm Management Research
-- Agricultural Economist Economist

Scope of work for each of these positions is found in
Appendix X. As mentioned, it is the intention, through mounting of
the two activities (AID's and FAO's) to develop a program which would
build and improve upon the current EAFCR Project. Specifically, and
with reference to particular points of constructive criticism made by
the EAFCR Project's recent professional scientist/evaluators:

1. As indicated above, the EAFCR marginal rainfall crops systems
sub-project is currently developing essential agro-economic information
that will be incorporated into a technological package of recommenda-
tions regarding appropriate crop varieties, cropping systems, planting
times and cultural practices, which when adopted by the target group
can significantly improve their agricultural productivity. Research
under this sub-project will focus on food crops appropriate to marginal
rainfall areas. Research on non-food crops is conducted at other re-
search stations. In developing optimal crops systems for the marginal
rainfall areas however non-food crops will be evaluated and tested as
potential elements of the recommended crop systems. Specialties con-
sidered essential under the current Project would be continued.-

1/ The Team Leader will be nominated by the USDA for Mission and
GOK concurrence.
2/ These are three research scientists in the fields of agricultural
economics, agrometeorology and agronomy. They are assigned to the
Kenya Agricultural Research Institute (KARI) at Muguga (formerly
part of EAAFRO) and conduct their field work at the Ministry of
Agriculture (MOA) research stations at Katumani in Machakos
District and Kamplya Mawe in Kitui District.






-16-



Furthermore, the proposal recommends that the existing USDA team's re-
search activity be directly linked with the FAO Dryland Farming project
activity to be launched concurrently with the new AID-funded activity.
Thus, the proposed USAID research effort, combined with the FAO Drylands
activity, will include all essential research elements required to
develop and, through the GOK's Extension Service, to deliver a techno-
logical package of recommendations for improved agricultural productiv-
ity by small-holders in marginal rainfall areas. Research information
acquired during the brief period that the marginal rainfall crop
systems sub-project has been in existence (about one year) has shown
that such an intensified research effort is warranted. The increased
emphasis being placed by the GOK on improving the conditions of small
farmers in the marginal rainfall areas is highly suggestive of greater
Government support for this class of beneficiary. Other GOK organiza-
tions, such as the Faculty of Agriculture of the University of Nairobi,
are beginning to develop information relevant to the drylands. The
FAO Drylands project will call for extensive utilization of field
trials and the development of a pre-extension agronomic testing system
which will greatly increase prospects that appropriate technological
recommendations will be developed for adoption by the target group of
small farmers.

2. Evaluation of the EAFCR maize breeding sub-project has confirmed
that an intensified plant breeding program which could develop improved
varieties of maize for the lower rainfall areas is needed. The expanded
breeding program would build on the many years of maize breeding research
supported by USAID at the Kitale Research Station; would utilize those
breeding materials developed; and would draw upon Kenyan maize breeders
trained under that successful program.

3. Increased attention to the problem of crop diseases will be
initiated and practical control methods developed either through
resistant varieties, improved cultural practices, or a combination of
both, which can be included in a technological package for the Dryland
areas. Present efforts of the PASA Plant Virologist will serve as a
useful starting point for this intensified effort. The Virologist has
made several significant discoveries relating to two major maize
diseases and has identified promising resistant strains that could be
incorporated into the proposed new maize breeding.

4. The research in agrometeorology is to be continued with greater
emphasis placed on research that has direct application to the agronomic
problems of the target group. The proposed new program will continue
these activities and will stress the close working relationship which
must be maintained between the agrometeorologist and other AID-funded
scientists working under the revised program and the FAO Dryland team,







-17-


to insure that the results of the agrometeorologist's activities have
a greater developmental impact on the program as a whole.

5. The evaluation report indicates that the work in socio-economics
must be intensified and must be closely related to existigg-conditions
found in the target area if improved technological packages, adaptable
to the needs of the target group, are to be developed. It is recommended
that the actual socio-economic conditions of the target group be studied
in-depth in addition to analyzing available relevant data. The need for
establishing operational linkages with the district extension workers,
and for increasing the utilization by researchers of rural sociology
information, available from the University of Nairobi, is also recognized,
To these ends, the GOK as part of its program contribution will furnish
the services of a rural sociologists) to meet the requirements of the
project. As project work is initiated, the data base will be considered
and the desired level of sociological input will be determined. In this
regard, both project teams will review requirements periodically and
recommend to Government the levels needed to meet the requirements of
the project.

6. Additionally, a Farming Systems Specialist will be assigned to
the program. This specialist would have a background in farm management
and a working knowledge of agricultural extension systems for both crop"
and livestock production as they relate to small-holders. To address
the need for this type of expertise, FAO will provide under its
Drylands Farming Research Project a full-time agricultural specialist
(farm management economist) who will work with Kenyan counterparts in
the fields of agricultural economics, rural sociology and agricultural
systems development; information relating to socio-economic conditions/
will be made available to the USAID team by this FAO technician.
Further, this FAO-funded technician will assist in providing the
linkages between the technical research workers and primary beneficiaries
- the small-holders in the marginal rainfall areas by closely collabh
orating and cooperating with the GOK extension service and other appro4
private agencies to enhance and improve the delivery system relevant to
technological packages as these are jointly developed by USAID and FAO,Yi


1/ e.g., crops and/or livestock presently grown; average yields, market
systems and prices; farm income; resource requirements; labor avails
ability and distribution by sex and age groups; the role of women,
off farm per capital income; land tenure practices; family groups; social
and cultural values; and common agricultural practices of the area, etqt
2/ FAO's emphasis through the extension service will be on"two-way"
communication: both determining small-holders' wishes and needs so
that research can be adapted accordingly; and then communicating to
small-holders the results of that research.






-18-



Specific Technical Assistance Proposed for AID Funding

While Appendix X contains a scope of work for each scientist
(both AID and FAO funded), a summary of the prime areas for AID
funding, with supporting rationale, seems appropriate. These are:

1. Soils Science/Soils Physics

The proposed new USAID project in collaboration with FAO
Drylands Research Project will develop an integrated approach to
solving the problems of agricultural production in the marginal
rainfall areas. The climatic constraints involving rainfall, evapora--
tion, water holding capacity of the soils, and moisture requirements
for different crops and varieties will be determined. The
physical characteristics of the soils will be studied and recom-
mendations will be incorporated into the final technological package
developed for the target areas. The MOA has adequate facilities and
technically trained people to carry out the mechanical aspects of the
soil research work at the National Agricultural Laboratory (NAL). At
least one scientist from this institution will be assigned to this
project, and will work in close cooperation with the personnel
described below.

The whole topic of soil and moisture conservation has to be
given major attention as agricultural systems are developed in the
lesser rainfall regions of the country. A soils physicist with prac-
tical working knowledge of soil and water conservation will, therefore.
be a part of the AID-funded team, This individual will develop infor-
mation on rainfall acceptance of different soil types and study the
effects of various tillage practices on water infiltration rates and
moisture retention. He17 will also collaborate with the agronomist
and the agrometeorologist and the FAO soil management conservation
specialist in developing appropriate experimental tracts and field
plots.

2. Maize Breeding

Maize is the principal food crop of Kenya, and deserves
special attention under this new AID-funded project. Two maize i
breeding specialists will, therefore, be assigned to KARI at Muguga to
provide assistance to maize breeders in all areas of the country but
with greater emphasis on the work being done on varieties for the lower
rainfall areas. They will work closely with the Kenyan maize breeders
and with the FAO Entomologist and USAID Plant Pathologist to be avail-
able under this project. An attempt will be made to breed improved


1/ The masculine pronoun is used throughout this paper for convenience
only. Qualified female nominees for any or all positions would of
course receive equal consideration.







-19-


maize varieties, with higher protein content,' that are not only more
tolerant of the drought conditions but also resistant to diseases prev-
alent in the lower rainfall areas. These scientists will coordinate
with their FAO counterparts all of the maize breeding activities being
carried out in the country at the Research Stations in Kitale, Embu,
Katumani and Coastal areas.

3. Agronomy

The agronomist assigned to this project will study the present
farming systems and potential crop systems. He will evaluate crops,
varieties and farming practices that have evolved from experiences
gained by the farmers. Special attention will be given to the mixed
cropping system that usually combines several crops, including two or
three different legumes, in the same production area. He will work
closely with the scientists at the University of Nairobi who have been
emphasizing the production of edible legumes with special attention to
pigeon and cow peas; and will select in consultation with FAO, the most
desirable crops and varieties for inclusion in the FAO conducted field
trials. Also, the agronomist will do research on edible legumes and
cereal production and investigate the significance of mixed cropping
practices that are a major part of agriculture as presently practiced
in the area.

The agronomist will collaborate and coordinate his activities
with University of Nairobi scientists having similar interests. These
specialists will work closely with the soil scientists who will deter-
mine the chemical and physical properties of the soil, and with the
agrometeorologist who will investigate the water regimes of the soil
and crops and determine minimal crop water requirements for optimal
plant growth. A joint effort will be developed to determine the best
varieties, crops and agricultural practices that will insure the most
economic production, considering the soil and climatic situations.

4. Agrometeorology

The project area, because of steep slopes, poorly drained soil
types and occasionally very intensive rainfall, is subject to serious
soil erosion that will become more critical as agricultural production
in the region is intensified. The marginal rainfall areas have a
history of traditional soil conservation practices that will be examined
by the AID-funded agrometeorologist in collaboration with Kenyan scien
tists and specialists and modified to improve overall conservation
methods, water infiltration and rainfall acceptance. In this regard,
the agrometeorologist will take the lead in gathering basic information

1/ The PQL at Kitale will assist in this effort by testing, and select-
ing for breeding trials, promising varieties that have superior
protein quality characteristics.






-20-


regarding water holding capacity of soils and crop water requirements.
Information regarding rainfall, evaporation rates, soil moisture con-
tent and varietal differences are required by the agronomist and plant
breeders. This information is presently being developed by an
agrometeorologist under the AID/USDA/PASA. Emphasis will be placed on
obtaining information that has practical application for plant breeders,
agronomists and the final recipient the small farmer.

5. Plant Pathology

The Plant Pathologist, working with his Kenyan counterparts and
with an FAO-funded entomologist, will identify the principal crop
diseases prevalent in the target area and other sections of the country;
control of these diseases is critical not only to maize production but
to other food crops commonly grown and to be introduced in the future.
Special consideration will be given to plant diseases that may appear
in the target area as production is intensified. This scientist will
not only work with the plant breeder to help breed resistant varieties
but will also examine the present cultural practices of the small far-
farmers and recommend changes to prevent diseases from carrying over
from one growing season to the next.

6. Agricultural Economics

At the present time there is no Agricultural Economics Division
at KARI. The Director of KARI and The Scientific Research Division of
the Ministry of Agriculture have identified a need for a separate
Division of Agricultural Economics at the station. The agricultural
economists in the new division will work with the scientists of all
other divisions helping them evaluate the economics of the projects.
Since the major effort of the GOK and KARI is to be focused on the
dryland areas, it is anticipated that the thrust of the work and train-
of personnel in this division will complement this priority. The work
will include (a) collecting relevant input-output data for each project,
(b) analysis of the data in terms of developing functional relationships
between physical outputs and relevant economic inputs, (c) work with the
scientists in developing experiments, (d) work with the scientists in
making recommendations to the extension staff, and (e) in cooperation
with the other scientists make suggestions for further work.

7. Other

In addition to the various activities described above that should
be initiated or intensified, one other important on-going sub-project
deserves the continued support of AID. This is the Regional Protein /
Quality Laboratory at Kitale. Direct USAID support to this facility-


1/ USAID financed start-up laboratory/office equipment and required
supplies and chemicals.







-21-


was prematurely terminated when the PASA technician assigned to the
activity returned to the U.S. in December 1977 after completing only
14 months of a planned 4 year assignment. The scheduled academic
training of the two Kenyan technicians necessary to enable them to
take over responsibility for the operation of the PQL has not been
completed. Specifically, each counterpart was scheduled to receive
12 months of U.S. technical training at Purdue University in addition
to 3 months training at CIMMYT in Mexico. Only one technician has
completed the CIMMYT course.

Further, critical items of laboratory equipment including an
ultra-violet spectrophotometer, which is used in many routine protein
analysis procedures, have not been purchased and are urgently needed
if operational efficientyof the laboratory is to be maintained. In
addition some consumable commodities, i.e., laboratory glassware and
chemicals, are required to continue the work of the PQL. In spite of
these obstacles, the Kenyan technicians at the PQL have performed com-
mendably since the departure of the last PASA technician. They are
prepared to provide, and have the potential for providing, expanded
service to the plant breeders if the PQL receives the necessary support
(training and equipment) proposed. Continued support of this labora-
tory, through modest training and equipment, is of direct relevance to
the work to be done at Muguga and should be given under this expanded
project. Some equipment items have been identified to insure effective
operation and additional training of Kenyans is also indicated. Some
TDY assistance may be required which can be furnished under the PASA
agreement.

It should also be noted that the Plant Quarantine Station
Officer funded by AID under other documentation, is another key person
with whom the new AID team should coordinate. The importance of that
facility is discussed on page 12 above.

Equipment and Commodities for AID Funding

In order to make the project operationally effective USAID
will provide various items of agricultural equipment, vehicles and
supplies estimated in total at $571,000. These are detailed in
Appendix VIII. FAO will provide similar items for its component
project in the program, estimated in total at $200,000.






-22-


The operation of the AID-funded project will depend to a
larger part on the timely delivery of many of these items. Maximum
effort by the team leader and USAID will be required in the early
stages of the project to make the purchases in an orderly and timely
fashion. The USDA will be responsible for procurement arrangements
and implementation.

A U.S. source waiver is requested t.permit purchase in Kenya
of 7 European source vehicles for the project, at an estimated cost
of $95,000. Detailed justification ispresented in Appendix XIII.

Agricultural equipment and the laboratory items proposed for
purchase are identified in Appendix VIII. These are required to
carry out essential research activities for the project as well as
to supplement existing equipment in the Protein Quality Laboratory at
Kitale. Consumable items such as chemicals will be purchased at the
start of the project by USAID; later requirements will be part of the
GOK contribution. Some of the equipment presently being used by the
agrometeorologist is highly technical and cannot be repaired in Kenya.
The PP recommends a special line item in the budget for air freight
and repair in the United States. However, on-the-job training in
electronics equipment maintenance and in-country short courses in
electronics are proposed which will increase the Kenyans' capability
to maintain the scientific equipment.


A small desk top computer was purchased for the former EAAFRO
maize breeding program. This is not presently being utilized due to
lack of technical capability in Kenya to effect necessary repairs.i/
Further, this computer is inadequate for complicated problems and
lacks storage capacity. The proposal, therefore, is to purchase a
Hewlet-Packard 9845A with accessories as described in Appendix VIII
at an estimated cost of $50,000. This computer would be supplemented
with appropriate hand-held calculators as discussed in the appendix.

Finally, it is hoped that all items shown in Appendix VIII for
U.S. source procurement can in fact be purchased in the U.S. in timely
fashion. Experience shows, however, that it is highly unlikely this
will turn out to be the fact. Therefore, on a case-by-case basis,


1/ A TDY electronics specialist should shortly be addressing this and
other equipment maintenance/repair problems under the current project.
Additionally, the USAID Agricultural Economist assigned to KARI will
initiate an on-the-job computer operation/maintenance program for the
KARI technicians; this should insure optimal utilization of the new
equipment.






-23-


USAID/Kenya will consider waiver of the U.S. source requirement to
permit local purchase of critically needed items, from any "Free World"
source, based on a showing that U.S. supplies are unavailable for de-
livery within the time required to meet project objectives. It is
estimated that perhaps $40,000 of project funds would be used for such
non-U.S. source purchases.

Training of Kenyans

Training of Kenyan technicians and development of Kenyan
capability to carry out relevant activities at the termination of this
project are of prime importance and are, therefore, treated in this PP
at considerable length. Training will be initiated in Kenya through
project-supported seminars and short training courses as well as through
project supported advanced degree training at the Faculty of Agriculture
of the University of Nairobi. These students will work on the project
and their research will be project related. Training in the United
States will be of varying types and durations and will be directly
coordinated by the PASA Team Leader.

It is impractical at this time to develop special estimates of
training numbers and funding requirements by fiscal year. However, as
a condition precedent to the availability of project funds for train-
ing purposes, the GOK will submit to USAID/Kenya a life-of-project
training plan which will also indicate the source of Kenyan manpower to
qualify for this training. This PP, drawing on the April 1978 review
team findings and the ATAC manpower study (ref. 3), recommends an allor
cation of $1,179,20 which would fund approximately 8 Kenyans to the
BS, 14 to the MSc, 4 to the PhD level at U.S. institutions and 5 Kenyans
to the MSc level at Kenyan institutionsl, plus limited non-degree pro-
grams and certain local seminars. Attendance at selected meetings of
various international organizations such as ICRISAT, CIAT, IITA, etc.,
will be considered essential and will be recommended by the team leader
to USAID for approval. In addition, permanent linkages with these inter
national organizations will be developed. FAO will be funding similar
training relevant to the needs of the Katumani Station.

As pointed out in the ATAC manpower study, the supply of univer-
sity and technically trained personnel within the agricultural sector
of Kenya is limited. This situation is recognized and this project will
attempt to alleviate the problem by providing training, as indicated.


1/ All training to the degree level is based on current estimates of
future needs at KARI, Muguga, and allows for some inevitable attri-
tion. These figures are subject to reconsideration once the U.S.
scientists are in place.






-24-



However, to obtain acceptable results from this project and to estab-
lish a continuation of activities, a nucleus of trained Kenyans will
have to be assigned to this activity from its inception. Major
emphasis will be placed on developing activities that will provide
meaningful practical information during the life of the project. At
the same time, priority attention will be given to providing the frame-
work within which the project will be continued after the end of USAID
participation. (Note: FAO is taking a similar approach as to training).

Project-funded training will be at all levels. This will include
in-service training in work-oriented situations as well as professional
development within the country. However, as pointed out in the ATAC
manpower study, such possibilities are limited, so that training abroad
will be an integral part of this project. Several different approaches
are indicated. As mentioned above, organized in-country training by
the permanent team members and those provided on TDY will be expected.
People requiring specific training to acquire certain skills will be
sent for special technical training to the U.S. and other countries.
Travel and study grants for short visits to national and international
institutions and for attendance at professional conferences is recognized
as necessary to continued professional development. This type of
learning experience will be encouraged under this project.

The need for a different type of training is indicated in the
ATAC manpower study. There are not enough agricultural graduates being
produced at the University of Nairobi to satisfy the needs of the
country. However, experience has shown that graduates from Egerton and
other colleges with diplomas can be trained to the BSc level at U.S.
institutions in two years. Similar training in Kenya requires at least
three years but enrollment is curtailed because of space and faculty
limitations. This project will encourage the MOA to obtain for the
project an increased number of Egerton graduates with an interest in
research.I/The best of these technicians will be selected for the BSc
training in the U.S. after a satisfactory probationary period of working
as part of the research team. After receiving the initial degree, these
graduates will return to Kenya and be reincorporated into the project.
At a later time, they would be eligible for further training at an
advanced degree level.


1/ In this and other respects, this project will complement the FY78 AID/
GOK Agricultural Systems Support Project, one component of which will
finance a major expansion of Egerton College. Another ASSP component
will finance MOA training opportunities; ASSP training funds can, in
USAID's estimate, easily be absorbed for MOA training needs indepen-
dent of the Muguga Stations' requirements.







-25-


The last type of training to be supported by the project will
be the traditional advanced degree training. All candidates for this
type of training will have served as counterparts to members of the
research team. They will follow recommended course of study and will
be expected to return to the project. Their research work and disser-
tations should be project related. It is expected that a majority of
the degree candidates will study at U.S. universities and their major
advisors will be knowledgeable about the project. In addition, USDA
will prepare a special program of study for the Egerton graduates,
whose numbers should be sufficient to make such a program cost-effective,
All participants selected for training at any of the levels described
above will be approved jointly by the Director of KARI and the U.S.
team leader and all training, generally, will be within the scope of
training plans to be prepared by the team leader.

In the past, the retention of trained Kenyan agricultural
scientists has been a chronic Government problem, primarily because
demand for such scientists is strong in the private sector and the
GOK's Scheme of Service (levels of staff compensation) are frequently
noncompetitive. We now anticipate that KARI will be established as a.
semiautonomous corporate research entity with an improved staff salary
schedule that will measurably increase KARI's attractiveness to the
career Kenyan scientist. (The Science and Technology Amendment Bill
1979, which will incorporate KARI when enacted, has been submitted to
Parliament and passage appears imminent.) USAID, as a project Condition
Precedent, will, however, request the GOK to submit a statement that
outlines Government's longer term plans for addressing the staff
retention problem.






-26-



III. POLICY AND PROGRAMMATIC RATIONALE

Importance of Project

This project will help achieve agricultural sector goals of
Kenya both directly and indirectly: Directly, by obtaining critical
agronomic information which can assist in solving the agricultural
production problems of the marginal rainfall areas; and indirectly,
by strengthening the research capability of the MOA. One of the
principal sector goals of the GOK is to assure self-sufficiency in
food production. Achievement of this goal will mean that the smaller
and poorer farmer has improved his agricultural production and in-
creased his economic return. Special attention is being given in this
regard to the farmers in the marginal rainfall areas by the GOK. A
major consideration for the future is to attempt to even out food
production so that famine years do not occur as a result of lower than
normal rainfall. This project will make a major contribution toward
these objectives.

Agriculture provides 85-90 percent of the employment in Kenya.
Improvement in this sector will not only increase the GDP but will
provide continued economic and political stability. The improved use
of the marginal lands with a proper mix of crop and animal production
will promote efficient internal migration and help minimize under-
employment and unemployment, while assuring an adequate food supply
for the country.

The 1974-78 Government of Kenya Development Plan states that:
"High priority is given to agricultural research in order to develop
varieties of crops and livestock and more efficient production
techniques). The Ministry of Agriculture budget for 1977/78 allocated
$9.4 million to the Division of Agricultural Research or about 7.8
percent of the total Ministry budget (ref. 3). This research project
will directly support the above stated priority.

In addition to developing improved varieties of crops for the
marginal rainfall areas, a major stimulus will be provided for the
development of KARI at Muguga and for the Katumani Dryland
Agriculture Research Station. All the laboratory and basic research
work will be done at the Muguga station with the field trials being
carried out mainly at Katumani and other sub-stations, such as Kampi
ya Mawe, in cooperation with the FAO team members.






-26-



III. POLICY AND PROGRAMMATIC RATIONALE

Importance of Project

This project will help achieve agricultural sector goals of
Kenya both directly and indirectly: Directly, by obtaining critical
agronomic information which can assist in solving the agricultural
production problems of the marginal rainfall areas; and indirectly,
by strengthening the research capability of the MOA. One of the
principal sector goals of the GOK is to assure self-sufficiency in
food production. Achievement of this goal will mean that the smaller
and poorer farmer has improved his agricultural production and in-
creased his economic return. Special attention is being given in this
regard to the farmers in the marginal rainfall areas by the GOK. A
major consideration for the future is to attempt to even out food
production so that famine years do not occur as a result of lower than
normal rainfall. This project will make a major contribution toward
these objectives.

Agriculture provides 85-90 percent of the employment in Kenya.
Improvement in this sector will not only increase the GDP but will
provide continued economic and political stability. The improved use
of the marginal lands with a proper mix of crop and animal production
will promote efficient internal migration and help minimize under-
employment and unemployment, while assuring an adequate food supply
for the country.

The 1974-78 Government of Kenya Development Plan states that:
"High priority is given to agricultural research in order to develop
varieties of crops and livestock and more efficient production
techniques). The Ministry of Agriculture budget for 1977/78 allocated
$9.4 million to the Division of Agricultural Research or about 7.8
percent of the total Ministry budget (ref. 3). This research project
will directly support the above stated priority.

In addition to developing improved varieties of crops for the
marginal rainfall areas, a major stimulus will be provided for the
development of KARI at Muguga and for the Katumani Dryland
Agriculture Research Station. All the laboratory and basic research
work will be done at the Muguga station with the field trials being
carried out mainly at Katumani and other sub-stations, such as Kampi
ya Mawe, in cooperation with the FAO team members.







-27-


Relationship to Other USAID/Kenya Projects

This proposed project will be closely related to other USAID
projects such as: The Marginal/Semi-Arid Lands Study (Ref. 1); and
the recently signed Agricultural Support Systems project (ASSP).
The former will provide useful baseline data and identify priority
activities that could be researched under the new project; while the
latter will provide useful resources support to the new program.

Several components of ASSP will be of importance to the pro-
posed new project. The Range Research component of ASSP and the
Crops Research aspect of the new program will complement each other.
The soil physicist and agrometeorologist will collaborate and assist
the Engineering and Hydrology Advisor of the Range Research under
ASSP on water and land uses, and vice versa. Similarly, the Plant
Material Advisor under ASSP and the plant breeder and agronomist under
systems for the Marginal Rainfall Areas. Furthermore, KARI's research
capabilities to combat problems in the MRAs will be developed through
this project; since KARI addresses both agricultural and livestock
production problems, there will be cooperation and collaboration be-
tween the Range Research component of ASSP and the Crops Research
aspect of the new program.

The proposed ASSP project will provide assistance for increas-
ing the agricultural training capacity of Kenya which will increase the
number of trained extension staff. The training components of the new
program are designed to incorporate some of the trained Egerton
graduates and other (e.g., University of Nairobi) students into an
advanced training program (e.g., Egerton graduates to the BS level, and
University of Nairobi graduates to the MSc and PhD levels) to meet
specific needs of the research project. Therefore, ASSP's training
program will complement the training program of the new program.
Furthermore, ASSP's plan to replace the present lower level extension
staff with Egerton graduates will also assist the new program in its
collaborative effort, between MOA's extension service and the GOK's
Integrated Agricultural Development Program (IADP), to prepare an
effective delivery system for implementing research findings. Under
the new program, the research team will develop a technological
package, but the extension service will have the ultimate responsibility
of delivering that package to the target group.

In addition, the proposal to assist the Faculty of Agriculture
at the University of Nairobi will also be beneficial to all research
efforts in the country. ASSP will complement the World Bank's program






-28-


to increase enrollment from 300 to 805 students. This two-phase
program, consisting of academic and feasibility studies to be
followed by a construction and teaching staff-development stage, will
significantly increase the number of university graduates available
for research projects in general. It is also anticipated that the
staff-development aspect should provide graduates with greater ability
to cope with research problems.

The support to be given under the ASSP proposal to the
Agricultural Finance Corporation (AFC), the Ministry of Cooperative
Development (MOCD) and support to improved grain and marketing systems
will also be useful to the new program's objectives. Improved tech-
nology usually requires greater inputs. In the case of the small
subsistence farmers, who comprise the target group, this usually means
a source of adequate and equitable credit. In addition, the presence
of a strong and viable cooperative system assures a source of required
inputs and a purchaser for the products produced. Storage, both on
the farm and at intermediate collection points, is to be addressed
under ASSP and is an essential element to any agricultural development
program.

In summary, the new program will benefit from all the present
and future USAID/Kenya activities outlined above.

Other Donors' Activities

There will, as shown above, be close coordination between the
project and the recently developed FAO Project on Dryland Farming
Research and Development; in fact, the two projects will provide a
comprehensive program. Details of the FAO project are as shown in
ref. 4. In essence, the FAO proposes to furnish 38 man-years of
technical assistance over five years. This FAO project, with a total
budget of $3,650,000, will be located at the Katumani Station, which
is the principal area of field research under the existing Food Crops
Research Project and which will to all appearances remain so. New
laboratories, offices and housing will be constructed at the Station.
The USAID Project will be physically located at Muguga where the
complementary facilities of KARI will be available.

The FAO project will work in the areas of sorghum breeding,
animal nutrition, economics, and rural sociology, general agronomy
and farming systems agronomy. The specialist in these areas will
actually be located at Katumani and work directly with the personnel
of that station.

1/ One mechanism for this coordination will be the Technical Co-ordination
Committee, sited in UNDP/FAO Project Paper, pages 46-48, of which
USAID is a representative participant.







-29-



Discussions with the Directorof Research of the MOA, the
Directors of KARI and Katumani, and with the country representative
of FAO, have clearly established the acceptability and desirability of
a joint approach. UNDP funding is understood to be available for this
activity. It is agreed that a memorandum of understanding dealing,
among other things, with contributions of each of the three parties
(i.e. GOK, USAID, FAO) to the joint project will be developed as a
condition precedent to disbursement of the AID contribution to this
project.






-30-


IV. IMPLEMENTATION SCHEDULE, RESPONSIBILITIES AND PLANS


Length of Project

Here, as in true of most research activities, a program of five
years is considered as being the minimum required to develop this activ-
ity to the point where it is reasonable to expect the host government to
be able to carry it alone. More specifically, it is difficult in any
project of this nature to establish a definite start up time when the
project proposal is being drafted. The inherent nature of the GOK/
USAID approval process as well as the AID/W review can cause unexpected
delays. The selection of scientists to provide the services and the
security clearance process can take vaying lengths of time. The
references to project implementation cited above have established an
optimistic or "under best of conditions" time schedule. Thus, five
year authorization is requested both because research per se is
inherently a long-term proposition and also because experience shows
that those best of conditions seldom exist.1/

Under the heading "Evaluation Arrangements", below, a method is
described to review the project 18 months before the scheduled termina-
tion. This review will determine manpower requirements during the final
phase of the project based upon accomplishments as of that time.

It is also felt the training effort should be extended over a
five year period and, indeed, high quality training is critical to
accomplishment of a self-standing Kenyan institute within only five
years. As discussed, all candidates for training should have proven
work experience with the project before %eing chosen for training sup-
port. In the case of the Egerton graduates who will be candidates for
the BSc in the United States, thus requiring two years of training,
they would have to be selected no later than the third year of the
project in order to return before project completion. This participa-
tion in the activities of the project before being selected for train-
ing will also apply to those selected for advanced degree work.

For the above reasons, it is believed that the five year project
schedule is realistic in meeting the final goals and objectives.


1/ For example, most scientific personnel are committed to teaching or
research assignments several months in advance. It is felt that the
research effort should go forward with the majority of the team mem-
bers at the same time. For most specialists this will mean two tours
of duty of two years each or replacement at the end of the first
tour by someone in the same field.






-30-


IV. IMPLEMENTATION SCHEDULE, RESPONSIBILITIES AND PLANS


Length of Project

Here, as in true of most research activities, a program of five
years is considered as being the minimum required to develop this activ-
ity to the point where it is reasonable to expect the host government to
be able to carry it alone. More specifically, it is difficult in any
project of this nature to establish a definite start up time when the
project proposal is being drafted. The inherent nature of the GOK/
USAID approval process as well as the AID/W review can cause unexpected
delays. The selection of scientists to provide the services and the
security clearance process can take vaying lengths of time. The
references to project implementation cited above have established an
optimistic or "under best of conditions" time schedule. Thus, five
year authorization is requested both because research per se is
inherently a long-term proposition and also because experience shows
that those best of conditions seldom exist.1/

Under the heading "Evaluation Arrangements", below, a method is
described to review the project 18 months before the scheduled termina-
tion. This review will determine manpower requirements during the final
phase of the project based upon accomplishments as of that time.

It is also felt the training effort should be extended over a
five year period and, indeed, high quality training is critical to
accomplishment of a self-standing Kenyan institute within only five
years. As discussed, all candidates for training should have proven
work experience with the project before %eing chosen for training sup-
port. In the case of the Egerton graduates who will be candidates for
the BSc in the United States, thus requiring two years of training,
they would have to be selected no later than the third year of the
project in order to return before project completion. This participa-
tion in the activities of the project before being selected for train-
ing will also apply to those selected for advanced degree work.

For the above reasons, it is believed that the five year project
schedule is realistic in meeting the final goals and objectives.


1/ For example, most scientific personnel are committed to teaching or
research assignments several months in advance. It is felt that the
research effort should go forward with the majority of the team mem-
bers at the same time. For most specialists this will mean two tours
of duty of two years each or replacement at the end of the first
tour by someone in the same field.






-31-


The present USDA Research Virologist will be replaced, under
this new program, at the end of tour of duty in February 1979 by a
scientist having a background in the whole spectrum of plant diseases,
(i.e., a plant pathologist). The vacancy in the present program for a
plant (maize) breeder will be filled with a person capable of working
with the various maize breeders in the country. The Agricultural
Economist position will be continued with an expanded scope of work to
establish an Agricultural Economics Division at KARI. The scientist
who was recruited as a sugarcane agronomist will be replaced by a
general agronomist at the end of the present tour of duty. The present
positions of electronics specialist and biochemist are to be eliminated
in the future program. It will be necessary under the present PASA to
furnish an electronics technician on a TDY basis.

Assuming early project approval and prompt contract negotiations,
it would be possible to field the first members of the proposed research
team in mid-CY 1979. The present and future staffing follows:


Present USDA/PASA Team

1. Plant Pathologist
(Quarantine Station)



2. Plant Pathologist
(Virology)

3. Agricultural Economist

4. Agrometeorologist

5. Sugarcane Agronomist (now
functioning as an agronomist)

Future USDA/PASA Team Position

1. Senior Plant Breeder Maize

2. Plant Breeder Maize

3. Soil Physicist

4. Plant Pathologist

5. Agronomist

6. Agrometeorologist*

7. Agricultural Economist*


Departure Date


02/81 (will not be replaced)
(This position is fully funded
existing E.A. Food Crops Project
618-657)

02/79 (to be replaced)


08/79 (to continue)

10/79 (to continue)

04/79 (to be replaced)


Possible Arrival Date


08/79

08/79

08/79

08/79


08/79

at post

at post


*Postions in present PASA to be continued






-32-


Project Coordination

The USAID research team will be coordinated and directed by the
designated Team Leader who will have broad knowledge and experience in
the multi-disciplinary approach to solving agricultural production
problems/'. He will work closely with the FAO Team Leader and the
Kenya Agriculture Research Institute at Muguga and coordinate the USAID
teami'b efforts through that Director and other appropriate MOA officials.
The Team Leader will be concerned with utilizing the technical expertise
existing in the country and insuring that the research team effectively
utilizes MOA counterparts. He will promote the success of the project
by timely employment of TDY assistance when the need arises. He will
have to view the research project and the broader program as one
combining all available knowledge from Kenya and other countries into a
technological package meaningful to the recipients.

Training and Related Activities

Annual training plans will be developed by the USDA/PASA leader
in consultation with GOK, FAO and USAID. Training at U.S. institutions
will be implemented by a U.S. iRiversity contractor, as opposed to use
of the AID participant training mechanism.

In-country participation in educational activities will also be
arranged by the team leader. He will be expected in this regard to
develop close contacts with the Faculty of Agriculture at the University
of Nairobi as well as with other relevant departments of that institu-
tion. Also, members of the team will be encouraged to give occasional
lectures in their areas of competence at the University, and to take an
active role in working with graduate students who may be assigned to the
project. The team leader will utilize both TDY and permanent personnel
in organizing seminars within the local academic and professional com-
munity. These seminars will be organized in cooperation with the
Director of KARI, FAO and appropriate university professors. Seminars
should be planned and scheduled well in advance and conducted in such a
manner as to enhance the reputation of KARI and to advance the program's
objective of a coordinated approach to solving the problems of dryland
agriculture.

All scientist to be furnished under the project will provide
"on-the-job training" to Kenyan counterparts. The MOA will assign
personnel to the project as required.


1/ The PASA will fund the services of a qualified administrative
assistant, thus permitting the Team Leader to concentrate on
substance and coordination.






-33-


Research Plans

All members of the AID-funded USDA/PASA team will be required
to develop specific research plans within 90 days of their arrival at
post. These will be coordinated with FAO and reviewed and approved by
the designated team leader, the Director of KARI, and the USAID
Project Manager. These research plans will be updated on an annual
basis and will become a part of the annual report to be prepared by the
contractor's representative for USAID/Kenya. All research should be
oriented toward producing practical recommendations that can be in-
corporated into minimal risk technological packages to be developed in
cooperation with the FAO team.

A definite research plan or proposed plan of work for each
specialist is not prepared in this PP because the development of each
work plan is predicated on the cropping season, i.e., long rains or
short rains, that is underway when the technicians arrive in Kenya, as
well as on the amount of precipitation received at the research sites
in that particular year. Since the arrival time of the various team
members and an accurate forecast of precipitation levels at the research
sites can only roughly be estimated, development of tentative plans of
work for specialists at the time would not be realistic. Further, the
proposed specialists who will continue the work initiated by the current
PASA scientists will have to formulate their research activities in
relationship to the achievements attained by the current project techni-
cians. Because it is impossible to predict with any precision the mag,
nitude of research achievement attained at a given point in time by each
PASA scientist, work plans for the scientists cannot be realistically
drafted until after the arrival in country.of these specialists.






-34-


V. EVALUATION ARRANGEMENTS

Evaluation will be a continuing process during the life of the
AID-funded project. This will include evaluating progress made toward
on-going program as well as efficiency of the operation. A recognition
of the need for evaluation, the organizations responsible, and dates
for implementation of the evaluation are outline in this Project Paper.
Since that project is merely part of an important program, focus of
joint FAO/USAID evaluations will be on accomplishment not only of AID's
project but also of program objectives, namely the promotion of communi-
cation between small-holders and researchers and the delivery to the
former of the results of adaptive research. AID's particular interest
will be met by a more AID-specific series of evaluations.

Proposed evaluations are, more particularly, as follows:

(a) Annual USAID/GOK Evaluations

The MOA of the GOK will participate with USAID in an annual
review of the project. The Director of Research in the MOA will either
participate or appoint a representative, who will be joined in the re-
view by representatives appointed by the USDA and a representative ap-
pointed by USAID/Kenya. They will review the project in the context of
the objectives agreed upon in the project documentation by GOK and
USAID, establish evaluation criteria, and make appropriate recommenda-
tions where necessary to overcome any difficulties encountered. FAO
would be invited to participate in these evaluations.

As an aid in these evaluations, each AID-funded technician
will develop an initial work plan, which may be revised prior to the
beginning of each year in consultation with members of the research
team, division heads, the team leader and the Director of KARI, and
will write a progress report at the end of each year. These will be
submitted to the team leader who will combine them in a project report
for use by the above-identified review team. This review team will make
any necessary recommendations concerning the present and future activi-
ties in their report. The annual report to USAID/Kenya will be the
responsibility of the team leader. This report will include not only a
detailed narrative of the research project progress and identification
of problems in the technical area, but also strategies for resolving
those problems identified; a complete financial accounting; and problems
(if any) encountered in the expenditure of funds and the allocation and






-34-


V. EVALUATION ARRANGEMENTS

Evaluation will be a continuing process during the life of the
AID-funded project. This will include evaluating progress made toward
on-going program as well as efficiency of the operation. A recognition
of the need for evaluation, the organizations responsible, and dates
for implementation of the evaluation are outline in this Project Paper.
Since that project is merely part of an important program, focus of
joint FAO/USAID evaluations will be on accomplishment not only of AID's
project but also of program objectives, namely the promotion of communi-
cation between small-holders and researchers and the delivery to the
former of the results of adaptive research. AID's particular interest
will be met by a more AID-specific series of evaluations.

Proposed evaluations are, more particularly, as follows:

(a) Annual USAID/GOK Evaluations

The MOA of the GOK will participate with USAID in an annual
review of the project. The Director of Research in the MOA will either
participate or appoint a representative, who will be joined in the re-
view by representatives appointed by the USDA and a representative ap-
pointed by USAID/Kenya. They will review the project in the context of
the objectives agreed upon in the project documentation by GOK and
USAID, establish evaluation criteria, and make appropriate recommenda-
tions where necessary to overcome any difficulties encountered. FAO
would be invited to participate in these evaluations.

As an aid in these evaluations, each AID-funded technician
will develop an initial work plan, which may be revised prior to the
beginning of each year in consultation with members of the research
team, division heads, the team leader and the Director of KARI, and
will write a progress report at the end of each year. These will be
submitted to the team leader who will combine them in a project report
for use by the above-identified review team. This review team will make
any necessary recommendations concerning the present and future activi-
ties in their report. The annual report to USAID/Kenya will be the
responsibility of the team leader. This report will include not only a
detailed narrative of the research project progress and identification
of problems in the technical area, but also strategies for resolving
those problems identified; a complete financial accounting; and problems
(if any) encountered in the expenditure of funds and the allocation and






-35-


distribution of resources. The yearly report is to be prepared in
accordance with the most recent USAID guidelines for such reports.
Also annual reports of the team leader and technicians will form a data
base for determining progress toward goals, purpose, output, input needs,
etc. These, along with the reports of the annual cooperative review,
team (USAID,GOK, USDA), will form a continuing report of progress that
will be available to both the U.S. and Kenyan Governments.

In addition to these annual evaluations, the project will
be subject to audit in accordance with normal AID procedures and
scheduling.

(b) External Evaluations

Eighteen months following the arrival of the last program
technician in Kenya (whether AID or FAO funded) an outside team of ex-
perts will be engaged by AID to work with Kenyan experts, appointed by
the Director of Research in the Kenyan MOA, to review the impact of the
overall program on the target group in Kenya. Specifically, this team
will review with FAO and USAID-funded technicians the degree to which
small-holders, through the Extension Service or otherwise, are communi-
cating with the AID and FAO funded researchers and the degree to which
those researchers are directing their work toward perceived needs of
this beneficiary group. The team will identify problems, if any, in
this regard and make appropriate recommendations. The team will also
indicate the extent to which program objectives are being achieved as
of that date. Eighteen months after completion of this first external
evaluation, a second such evaluation will be held, this one implemented
through FAO's contracting procedures. Focus of this second evaluation
will be expanded to include:

(1) effectiveness of the Kenyan Extension Service in
delivering the benefits of USAID and FAO funded
adaptive research to the small-holder; and

(2) progress toward ultimate Kenyanization of the
program.

Following program completion i.e., departure of the last
technician from Kenya final and comprehensive evaluation will be held,
subject to procedures to be agreed among the parties (USAID, FAO, GOK).

Suggested funding of external evaluations might be as follows:

(1) USAID to pay costs of first;
(2) FAO of second;
(3) USAID and FAO to share costs of final, one-
half each.






-36-



As to data for external evaluations, no initial baseline
survey is believed critical since it is known that little if any com-
munication now takes place from small-holder to research; virtually any
positive findings can be considered attributable to the new program.
As to other economic/social data, a minimum of baseline data is avail-
able for the target area. The best available data are referred to in
this PP as the preliminary report of the CID Team (ref. 1), but the
CID final report should be available by the time the FAO and USAID
teams are in the field. One of the priority responsibilities of the
FAO funded Agricultural Economist will be the development of more
specific and useful baseline data for the project area.







-37-


VI Financial Plan

AID will contribute $6,000,000 to the project and the GOK will
contribute $3,200,035 to direct project support. In addition FAO
will provide $3,650,370 to the overall program with the GOK
providing an additional $4,165,297 for FAO support. Details are
shown in Appendix VIII and the AID contribution is summarized
below as:

Personnel Costs $3,972,000
Participant Training 1,179,000
Travel and Per Diem 78,000
Equipment 511,000
Expendable Supplies 60,000
Project Evaluation 200,000

$6,000,000

AID cost estimates are based on recent project experience in Kenya
and current PASA agreements with USDA in the ongoing project.
Inflation and contingency factors are those being used in USAID/K
projects to assure sufficient funding for unexpected expenses in
periods of rising costs.

The GOK will contribute toward a variety of project support costs.
Staff will be released for training on continued salaries plus pay-
ment by the GOK of one-way international transportation. The GOK
will also be adding staff, which entails a financial commitment
(salaries), in order to furnish counterparts for the conduct of the
program. In addition, technical support and labor needed to back-
stop the project will be supplied by the GOK. These staff, labor
and other costs are to be contributed to the AID project at an
estimated cost of $2,996,410.

As to material inputs from the GOK, these are essential to the
success of the project and also involve a sizable financial commit-
ment. Land for field experiments, laboratories, greenhouses and
offices will be provided by the GOK at an estimated cost of $95,570.
Equipment in the amount of $38,255 will be provided by GOK to carry
out the proposed research. Some of this is available in Kenya, but
some will have to be imported. The Governments will jointly support
this need with the GOK making available certain existing equipment
and the USAID covering most of the costs of new equipment. Consum-
able supplies costing $969,800 are needed as a result of increased
activity by the U.S. technicians. These supplies will be provided by
the GOK, except that USAID will cover some of these costs during the
first year of the project allowing GOK to phase this new cost into its
budget and to assure an adequate inventory at the initiation of the
project.






-38-


Cost estimates for the GOK are based upon actual costs in terms
of the various levels of personnel and salaries and wages. The
personnel requirements were calculated on the basis of present and
future staff recommended to achieve project objectives. Transpor-
tation costs (vehicle operation) were calculated at three Kenya
Shillings per kilometer, which is the standard used by the GOK,
with an estimated use of 120,000 km/year or 12,000 km per vehicle.
Per diem is based upon the present rate of 200 Kenya Shillings.
The value of laboratory space for project utilization is based upon
a cost of 40 Kenya Shillings per year per square meter of floor
space.

Agricultural land was given a rental value of 800 Kenya Shillings
per hectare. The cost of administrative support was developed by
taking 20 percent of the total department budget for this item.
(Administrative support will be a major requirement at KARI and
will definitely absorb that percentage of administrative support.)
Other items were based upon best estimates of amounts required and
actual costs.

AID-funded project inputs will flow into the total program and total
outputs will result from FAO-related activities. The effective use
of AID inputs by FAO will be reviewed in the periodic project
evaluations.







-39-


VII. PROJECT FEASIBILITY

The project's economic feasibility is treated in Appendix I;
its technical feasibility in Appendix II; and its administrative
feasibility in Appendix III. Brief summaries of each category follow.

Economic Feasibility

As with research projects generally, it is difficult to quantify
the benefits rigorously. Available information suggests, Appendix XIX
(Ref. 6), that the pay-off or return to investment in agricultural
research is tremendous, although such pay-off cannot typically be real-
ized in the short-term. Achievement of program objectives, however,
will clearly result in significantly enhanced agricultural production
and other economic benefits. Further, the proposed AID funding is in
furtherance of a clearly cost-effective activity.

Technical Feasibility

The technology to be studied and recommended will focus on
pragmatically useful methodology. Equipment and commodities, for example,
would be that within the small-holders' means and practical for his/her
adoption. Cultural and social practices, as well as the agriculture-
specific sciences, would figure in all "crop package" equations and
recommendations.

Administrative Feasibility

The project and program will, to succeed, call for cooperation
and support of several GOK entities as well as the FAO/AID teams. It is
believed that the necessary commitment and dedication exist on the GOK
side, and that sufficient GOK personnel are to be assigned to the project~
and that project/program objectives will not be unduly impeded due to
administrative arrangements.







-39-


VII. PROJECT FEASIBILITY

The project's economic feasibility is treated in Appendix I;
its technical feasibility in Appendix II; and its administrative
feasibility in Appendix III. Brief summaries of each category follow.

Economic Feasibility

As with research projects generally, it is difficult to quantify
the benefits rigorously. Available information suggests, Appendix XIX
(Ref. 6), that the pay-off or return to investment in agricultural
research is tremendous, although such pay-off cannot typically be real-
ized in the short-term. Achievement of program objectives, however,
will clearly result in significantly enhanced agricultural production
and other economic benefits. Further, the proposed AID funding is in
furtherance of a clearly cost-effective activity.

Technical Feasibility

The technology to be studied and recommended will focus on
pragmatically useful methodology. Equipment and commodities, for example,
would be that within the small-holders' means and practical for his/her
adoption. Cultural and social practices, as well as the agriculture-
specific sciences, would figure in all "crop package" equations and
recommendations.

Administrative Feasibility

The project and program will, to succeed, call for cooperation
and support of several GOK entities as well as the FAO/AID teams. It is
believed that the necessary commitment and dedication exist on the GOK
side, and that sufficient GOK personnel are to be assigned to the project~
and that project/program objectives will not be unduly impeded due to
administrative arrangements.





-40-


VIII. CONDITIONS PRECEDENT, COVENANTS AND NEGOTIATION STATUS


1. In addition to standard grant CPs, USAID intends to require:

(a) evidence that FAO is committed to the program and that
FAO funding and personnel will be available on a basis
and at times compatible with the successful and timely
implementation of the AID funded project;

(b) submission of a plan indicating that all necessary GOK
counterpart personnel for the AID project will be
available on a timely basis; and

(c) a statement from the GOK as to its planning to retain
qualified Kenyan scientists for this project, once
trained and in position.

2. A further CP to the availability of AID funds for training
purposes will be submission to and acceptance by USAID of a life-of-
project training plan, to be prepared by the GOK/MOA in collaboration
with the USDA.

3. One special covenant will call for the GOK to accept the evalua-
tion arrangements outlined above in this PP. Another will require the
GOK to provide rural sociologist services as determined necessary by
both the FAO and AID sponsored teams.

This PP has been reviewed and accepted by both the GOK and FAO.
The GOK has requested the assistance from USAID (appendix XV). FAO/
Nairobi is seeking approval of its proposed undertakings from its
headquarters, Rome.







-41-


IX. ENVIRONMENTAL CONSIDERATIONS

These are treated in Appendix IV. The conclusion is that
neither project nor program will adversely impact on the environment
in any forseeable way. Rather, accomplishment of project/program
objectives will enhance the environment by decreasing soil erosion
and reducing amounts of pesticides/insecticides/herbicides now being
used.



X. SOCIAL SOUNDNESS/ROLE OF WOMEN

See Appendix V for detailed treatment. The conclusion is that
both project and program are considered socially sound and will have a
beneficial impact upon women in the target areas.







-41-


IX. ENVIRONMENTAL CONSIDERATIONS

These are treated in Appendix IV. The conclusion is that
neither project nor program will adversely impact on the environment
in any forseeable way. Rather, accomplishment of project/program
objectives will enhance the environment by decreasing soil erosion
and reducing amounts of pesticides/insecticides/herbicides now being
used.



X. SOCIAL SOUNDNESS/ROLE OF WOMEN

See Appendix V for detailed treatment. The conclusion is that
both project and program are considered socially sound and will have a
beneficial impact upon women in the target areas.









Appendix I
Page 1 of 3 pages

ECONOMIC FEASIBILITY


(1) Overview

The economic feasibility of this project depends on the
extent to which the research components of the USAID and FAO projects
interact with and support each other. The USAID plant-breeder's
activities complement those of the plant pathologist, agronomist, soil
physicist, agricultural economist, and agrometeorologist, and vice versa.
The proposed pre-extension activities of GOK's rural sociologist and
the FAO's agricultural economist and agricultural systems specialist
will complement those of the AID-funded "basic" scientists and provide
a basis for implementing the research findings.

Although the focus of this project is on food crops
problems in the semi-arid areas, the scope of the project is broad and
includes research that will help solve problems in the high rainfall
areas as well, e.g., plant disease, soil erosion, etc. Thus the project
assures a continuum of research efforts to increase the food production
of the country as a whole.

As with any research activity, this project does not lend
itself easily to 'ex ante' quantification of the objectives and outputs.
The research is designed to develop base data, analytical models and
strategies for implementation, and to make recommendations concerning
improved plant varieties, cropping systems and resources combinations
which, when adopted, will maximize agricultural output of smallholders
in semi-arid areas. The technical outputs from the basic research in
the form of recommendations are expected to be forthcoming early in the
life of the project so that, when they are adopted, increased crop pro-
duction can be realized. Increased production will generate several
secondary and tertiary productive activities leading to increased economic
welfare of the target areas and the country as a whole.

(2) Methodology

The economic analysis that is most appropriate for this
project is a cost-effectiveness analysis. This analysis is useful in
demonstrating that a reasonable qualtifiable cost is associated with the
expected outputs/objectives. The outputs/objectives of this project
consist ultimately of increased food production of the marginal rainfall
areas. An important intermediate output/objective, however, consists of
training MOA technicians who will contribute to the final output.

(3) Cost Effectiveness

The American Technical Assistance Corporation Manpower
Survey (Ref. 3) has analyzed the demand for and supply of trained
manpower in Kenya, and concluded that there is





rlo
Appendix I
Page 2 of 3 pages

a manpower shortage of trained personnel in agriculture, particularly those
with diplomas and/or degrees. The current supply of graduates and diploma
and certificate holders is inadequate to meet the apparent demand.
Under these conditions, competition among employers is keen, and the MOA
(whose salary scale is low relative to the private sector) finds it
particularly difficult to attract the needed number of graduates into its
programs.

One major constraint as pointed out by the ATAC study is
training capacity. It is apparent that the current capacity of agricul-
tural training facilities in Kenya is inadequate to meet the objectives
of this project. One alternative for providing the number of trained
technicians to meet the requirements of the project and for assuring
that its objectives are met is to train Kenyans as proposed in the project.
Another is to improve the institutional capacity of Kenya for such
training. Both aspects are being addressed under the Agricultural
Systems Support Project, implementation of which is now starting.

Academic training of the counterpart technicians as proposed
will not guarantee their services with the MOA, but it is hoped that
careful selection, practical orientation (one year service before acade-
mic training begins), occupational association and incentives for
advancement (i.e. the assurance of taking over the research activities
upon termination of the project and monetary renumeration) will minimize
job turnover. The possible change in KARI's status to one of autonomy
from the GOK might result in an improved KARI compensation scheme, which
of course would help greatly.

It has been estimated 'ex post' that the maize breeding
program alone in Kenya, supported by USAID over the last ten years,
realized an increase in maize production valued at over $45 million
(Appendix IX) Through this project it is possible that yields will
continue to increase through the introduction of new varieties; but
equally important will be the significance of the research project in
controlling diseases, improving crop varieties, preserving the soil
through improved cropping systems, and the expansion of crops in areas
where production previously was uncertain.

This research program in collaboration with FAO will
develop a technological package that will consider alternative cropping
systems; improved crop varieties; information and recommendations on
soil fertilization; soil preparation and method and time of planting. It
will examine and make recommendations concerning the marketing and
distribution systems, related (complementary and supplementary) farm and
non-farm opportunities, cooperatives and credit systems and, in collabo-
ration with appropriate government institutions, develop strategies for
implementing recommendations that will improve the overall welfare of
the target area.






Appendix I
Page 3 of 3 pages

Conventional development projects typically have a 15 to
20 percent annual internal rate of return. This is considered good, but
returns to investment in agricultural research are generally much higher.
Indeed, there has been a proliferation of studies which indicate that
returns to investment in agricultural research are often two to three
times higher than returns to other types of agricultural investment. For
example, the annual internal rate of return to investment in agricultur~t
research in India (for all commodities from 1953-71) is estimated at
40 percent; for hybrid corn in the U.S. from 1940-55, from 35 to 40 per-
cent; and for rice in Japan from 1930-61, the annual return is estimated
at 75 percent. Indeed, based on the available evidence concerning the
payoff to investment in all types of development projects in developing
countries, few such projects are able to match the returns realized in
agricultural research projects.*

Based on this evidence, the economic benefits from this
USAID-FAO/UNDP research program, while they cannot be quantified, are
expected to be considerable. They are likely to be manifest by:
greater economic returns to producers from improved cropping systems;


reduction in out-migration of productive males, and increased
employment; outputs in the form of trained MOA technicians, whose work
will contribute ultimately to increased crop production; and improved
infrastructure (transportation, services, etc.) resulting from increased
production. Given the characteristics of the target group and the
agricultural policy of the GOK (which strongly endorses development of
the semi-arid areas), the research project will insure effective
,development of the target area, and that this development will have a
spread effect which will induce positive changes in the economic welfare
of the country as a whole.














Results of these and other studies are summarized in Thomas M. Arndt,
Dana G. Dalrymple, and Vernon W. Ruttan, Resource Allocation and Producti"
vity in National and International Agricultural Research (Minneapolis:
University of Minnesota Press, 1977), pp. 5-6.
A










Appendix II
Page 1 of 3 pages


TECHNICAL FEASIBILITY


The USAID/Kenya and USDA project design team has based its
judgments as to the technical feasibility of the project on an evaluation
of past and present programs. The present state of agriculture in Kenya,
GOK's initiatives and capability of institutions and individuals have
also been considered. An effort was made to consider all aspects of the
project and to conduct research in conjunction with FAO's Drylands
Farming Research Project, thus providing a technological package for the
small-holder in the marginal rainfall areas of the country.

The choice of the technologies recommended for this project is
based upon two and one half weeks of intensive review of the on-going
(1975-78) USAID project entitled "East African Food Crops Research
Project," (Documents resulting from this review are available with the
Kenya Desk, AID/W). The American technicians and, in many cases, Kenyan
technicians or assistants working on the project or involved with related
projects, were interviewed. Laboratory and field experiments were
observed, with special attention given to the level of technology
presently being used by the researchers. In addition, the team observed
small farms in the marginal rainfall areas and larger farms in the high
rainfall areas to gain an understanding of the problems of farmers and
their current level of technology. The manager of a seed supply company,
staff members of the MOA and many others with knowledge of agriculture in
Kenya, were also interviewed. Based upon this intensive review, it was
the judgment of the team, endorsed by USAID/Kenya, and based on the
considerations outlined below, that the research program recommended in
this project is technically feasible for Kenya and that it is also
feasible for farmers to adopt the type of technology likely to be recom-
mended as a result of this research.

Discussions with personnel of the GOK's Extension Service revealed
a capable delivery system for conveying technological innovations and
information to farmers. However, an improved level of training for new
extension workers is recognized as a major objective. This will be
achieved by increased enrollment at Egerton College under the ASSP
activity now getting under way. The cooperative effort at the district
level between extension personnel and research workers seemed to be
adequate but will be strengthened through this project.

The level of technical sophistication used in the various
research activities will vary considerably. Much of the work is of an
applied nature and involves a limited amount of advanced technology.
However, some components of the project, such as agrometeorology and soil
physics, will involve the use of complex instruments to measure soil and
water relations. A computer will be used to store and analyze data









Appendix II
Page 2 of 3 pages


generated by these scientists and will assist the effective development
of the plant breeding program. Kenyan counterpart technicians should be
able to carry on the research at the completion of the project.

The development of new crop varieties is one of the technologi-
cal developments that Kenya will be able to utilize and maintain with
the least amount of difficulty. Adoption will require very little capi-
tal input. Little educational effort will be necessary (unless a new
variety would require adoption of new cultural practices, which is un-
likely). There is ample evidence from past experience that Kenya
farmers will make the necessary adjustments. The rapid increase in the
use of hybrid maize is a good example of what can be achieved. The
country's ability to continue to produce seed of new varieties is not in
question, due to the highly successful Kenya Seed Company and the Kenya
Seed Inspection Service.

Farmers in Kenya have shown their willingness to accept new
varieties and crops (e.g., the hybrid maize). The producers in the
target area are often referred to as subsistence farmers but actually
they are part of the market economy since they will sell part of their
crops and then buy back what is required for food; in this regard, the
constraint of inadequate storage facilities is being addressed under
ASSP. Kenyan small-holders have demonstrated a keen sense of economic
value and, if the worth of new technology is demonstrated to them, its
acceptance can virtually be assured. The FAO agricultural economist
and systems specialist, together with the rural sociologist to be fur-
nished by the GOK, will continually be working with this aspect of the
activity. Recommendations will be developed with full awareness of
relevant economic and social constraints. Some parts of the technologi-
cal package such as new varieties of commonly grown crops (i.e. maize or
pigeon peas) will be virtually "cost free". Likewise, marginal small
farmers in the high risk area will be able to utilize recommendations on
controlling disease by crop rotation or controlling insects by following
practices that favor naturally occurring biological control mechanisms.
The Agricultural Economist to be provided under the FAO component of the
program will determine the economic soundness of significant changes
such as different tillage and terracing practices that increase penetra-
tion and retention of soil moisture. (The value of increased production
would, of course, have to be weighted in individual cases against
economic and social costs).

Emphasis of this research project is to develop production tech-
nology for the marginal rainfall areas. However, farmers in the high
rainfall areas may be able to use some of the improved practices, such
as the soil and water relationship to determine time of planting. New







Appendix II
Page 3 of 3 pages


varieties that are disease and insect resistant may be of value as well
as recommendations for crop rotation in areas where maize is grown in
monoculture. Also, recommendations developed for improving land
preparation and soil conservation could be applicable to the high
potential areas. It is also reasonable to expect that farmers in the
higher rainfall areas will be willing to invest in cost-incurring manager
ment practices (e.g., fertilizers, pesticides, mechanization), providing
the cost/benefit ratio warrants the investment. Thus, if experiments in
the marginal rainfall area result in the development of technological
complex management practices that are too costly to be utilized in the
higher risk areas of the MRA, it is quite possible that they can be used
in the low risk, high rainfall areas.

The members of the USAID/FAO research team will maintain close
liaison with the MOA extension service to insure the latter's under-
standing of the research effort and problems. This will also enable
extension personnel to detect approaches that may not be feasible as wq.l
as to suggest alternatives. Close cooperation between members of the
extension service and the FAO research team will ensure rapid diffusion:
of successful management practices.

As indicated above, trained manpower in Kenya is definitely a
limiting factor, especially in the field of agricultural development.
USAID has been assured by the Director of Research (MOA) that, because
of the high priority placed on agricultural development by the MOA,
suitably qualified technical people will be assigned to the project. As
described in Part II of this PP, personnel training and development will'
be of highest priority to the project. It is believed that the MOA will
continue to view this approach to the development of the marginal rain-
fall areas as a permanent effort. It will, therefore, be possible to
have a trained technical staff in place at the termination of the project,

Adequate laboratory and office space are available to KARI,
Muguga. Administrative and support staff are adequate to support the
technical aspects of the project.








Appendix III
Page 1 of 5 pages


ADMINISTRATIVE FEASIBILITY


The proposed project will involve the cooperation and support of
several governmental organizations. A description of the capability of
these organizations to carry on the responsibilities anticipated, linkage
relationships (mechanisms for coordination), ability of organizations to
administer contracts, and administrative arrangements to reach and
involve the target population follows:

(1) Kenya Agricultural Research Institute (KARI) at Muguga

KARI (formerly EAAFRO, a department of the East African
Community) is a well-established research institution that has served
East Africa for many years. It was moved from Amani, Tanzania, to Kenya
in 1948. With the breakup of the Community in 1977, the facility and
research located in Kenya have become an institute of the GOK and the
institute now has a more Kenya-specific orientation. (Emphasis
previously was on research of more regional interest and application.)

It is possible that in due course KARI will move to autonr
omous status. If so, this would likely result in an increased compensa-
tion scale, thus making KARI more competitive with private industry in
the personnel category.

KARI is currently divided into three divisions, of which
the Agricultural Research Division is the principal one relevant to
purposes of the proposed project. Although understaffed (like most
Kenyan institutions) and currently reorientating its effort toward
applied research, it has good facilities and capable research staff
that are well organized and administered; improvements proposed under
this project, however, are necessary for KARI to realize its full
potential. KARI has established good working relationships with the
USAID/PASA team. If a proposed reorganization plan now being considered
by the GOK is implemented, the Institute would serve as the national
agricultural research center.

It is not believed--given KARI's situation as outlined
above--that KARI needs significant "institution-building" assistance as
such, However, administrative and management advice (as well as scien-
tific inputs) would be welcome additional skills to the personnel,
especially as KARI moves to the status of Kenya's national agricultural
research facility.

All USAID technicians, with the exception of the Maize
Breeder, will be located at Muguga, within the divisions associated
with the technicians' disciplines. One Maize Breeder will be located
at the Kitale Research Station. They







Appendix III
Page 2 of 5 pages

will be administratively and technically responsible to their respective
division heads and the Director of KARI. The Director of KARI will be
responsible for establishing the administrative linkages with other
cooperating organizations. The Director, as well as the USAID team leader,
will be responsible to see that the linkages established are adequately
utilized in the planning and implementation of the research activity as
well as the dissemination of results to the target area.

KARI, as the former EAAFRO, has had experience in adminis-
tering USAID contracts. The administration is recognized both by the
GOK and USAID/Kenya as having the ability to administer contracts
effectively.

Administrative arrangements are being made to reach and
involve the target populations. The research planned is within Machakos
and Kitui Districts where the District Agricultural Officers meet and
have discussions with Research Officers on the activities of the Stations
and those of the Districts. The FAO agricultural systems scientist will
help place the research into an economic package by working with exten-
sion officers and the target group. The FAO's agricultural economist and
agricultural systems specialist, together with a rural sociologist to be
furnished by the GOK, will work within the target group to involve and
understand the people so that in collaboration with the extension and
research station staff, a sound package can evolve from the research
program. Facilities for utilizing mass media techniques are available at
KARI and the National Agricultural Laboratories (described below) and
will be linked and utilized in reaching the target group.

(2) National Agricultural Laboratories (NAL) at Nairobi

The NAL, known as Scott Agricultural Laboratories until
1963, is a well established institution that has served Kenyan agricul-
ture since 1903. It has responsibilities and capabilities in the
technical service, research, and information dissemination areas that are
vital to the success of the proposed new project. The research of the
soil survey division, which has cooperated with the Consortium for
International Development's team in the just-completed arid/semi-arid
land study, is the base from which the soil aspect of the integrated
research project will begin. A strong soil chemistry division, with
good laboratory facilities for chemical analyses and an experienced
field researcher, will provide backstop support and will collaborate in
developing project activities in the medium rainfall areas.

The plant pathology department at KARI, with recognized
expertise in nemotology and bacteriology, together with complementary
expertise in virology provided by a cooperative arrangement between MOA
and the British Overseas Development Ministry (ODM), will provide
facilities as well as staff to develop and implement research in the plant





Appendix III
Page 3 of 5 pages


pathology area. A well-organized information dissemination department
at the NAL, with broad capabilities in the use of mass media, will serve
as an excellent resource in the spread of information to the target groups,

While the USAID PASA technicians (excluding the Maize
Breeder at Kitale) will be physically located at KARI (Muguga), a cl9se
linkage will be maintained with NAL in those areas where researchers
have common interests and related research. Full consultation and coppera-
tion will be involved in both the planning and implementation of research,
Staff in soil survey, entomology, plant pathology and soil chemistry will
be specifically and intimately involved. The NAL is administered through
the Ministry of Agriculture (MOA), as is KARI. Therefore, research in
both organizations is coordinated by the Director of Research in the MQA
who will establish the administrative linkages through the Director of
KARI and the PASA team leader.

The NAL is primarily a service institution and has strong
linkages with the extension service and the target population. The Rural
Development Support Communications Center of NAL has the capability to
reach the target group via mass media.

(3) University of Nairobi at Kabete

The University of Nairobi, Kabete Campus, is a new instiu-
tion, having been organized in 1970 as a part of the University of
Nairobi system. Previously, most Kenyans studying agriculture at the
university level went to Makerere University in Uganda. The Faculty of
Agriculture at the University of Nairobi, Kabete, is organized into Sax
departments: Crop Production, Soil Science, Agricultural Economics,
Animal Production, Food Science and Technology, and Agricultural Engineer"
ing. Both B.Sc. and M.Sc. level training are available, with provisions
for the Ph.D. degree via the thesis research route. Possible expansion.
and curriculum revision at the Faculty are topics for study under ASSP,

As of 1977, 80 new students per year are being admitted
into the B.Sc. Program in Agriculture. In addition, students are admitted
into special B.Sc. programs as follows: 20 students/year in Food Scierce
and Technology; 30/year in Agricultural Engineering; and 10/year in
Forestry. A postgraduate diploma is offered for one year of post B.Sc,
work in two areas: irrigation and soil and water conservation. This
program admits 15 students per year, and the one-year program consists
of nine months of academic training and three months of field training.
Currently 104 M.Sc. students are enrolled in the two-year M.Sc. program in
six areas: Animal Production, Agricultural Economics, Agronomy, Plant
Breeding, Soil Science, and Plant Pathology. One year of the program js
devoted to course work and one year to field research. The staff in the





Appendix III
Page 4 of 5 pages f



Faculty of Agriculture is approximately 40 percent Kenyan, 10 percent
from other African countries and 50 percent expatriate. The staff is
assigned to the M.Sc. program in addition to their regular staff assign-
ment. There also is a shortage of physical facilities and the library
needs additional reference materials if adequate training is to be given
at the advanced degree level. The M.Sc. programs are tied to ongoing
field research activities.

There is a major research program in Integrated Grain
Legume Improvement. This involves beans, pigeon peas and cowpeas. There
are over six man-years of plant breeder, agronomist, physiologist,
pathologist, entomologist and soil scientist input into this project which
is targeted to the needs of the marginal rainfall area. The Director of
KARI, as well as the USAID Team Leader, will be responsible for estab-
lishing and effectively utilizing a linkage with these researchers. The
technicians will contribute to the training of scientists in their
specialty by giving occasional lectures and/or by co-advising M.Sc.
students in their field research. These students will do this research
at Muguga or in the Dryland Area and thereby contribute to the project.

(4) Other Organizations within Kenya

Collaboration with the MOA extension service, with staff
of IADP and with the MOA's Land and Farm Management Division will be
necessary to effectively reach the target group. The District Agricul-
tural Officer (DAO) and his field staff and IADP field staff will be in
daily contact with the target group. They have the responsibility and
capability to utilize both personal contact and the mass media in reaching
the audience. Linkages will be established by the Director of KARI to
insure that information flows effectively and that there is full coopera-
tion and collaboration with extension, IADP staff, and the project research
team.

The Kenyan Seed Company is the major producer of seed of
improved varieties in Kenya. It has the capability to produce seed of
any crop needed. Linkages will be maintained to insure that it produces
the best materials available and that seed is available to people in the
target area.

The Kenya Inspection Service for Seeds (KIS) has the
responsibility for the maintenance of seed purity and quality. A linkage
will be maintained to insure an awareness of problems encountered by
them as well as project staff.






Appendix III
Page 5 of 5 page


(5) Other Donor Agencies

FAO is presently involved in the marginal rainfall areas
developing/testing new varieties of sorghum and millets; designing/testing
small-scale farming tools and equipment; and developing sheep and goat
production/marketing systems for the smallholder. The new FAO Dryland
Farming Research Project will focus on pre-extension testing and adopt n
of farming systems technologies (cropping and livestock) that are approp-
riate for the MRA and, in coordination with the Kenya Extension Service
and the Integrated Agriculture Development Program staff,will insure thFt
these technologies are rapidly disseminated to smallholders for adoption.
FAO also plans to add eight additional staff members at Katumani during
1978/79* as a critical and integral part of the program to which the
proposed AID project will contribute.

The MOA is considering the development of a total program
for the Dryland Area and has asked support from various donors in this
effort. Linkages with donor organizations will be established and main-
tained to maximize returns and insure complementarity of all programs.
The Director of Research in the MOA has this administrative responsi-
bility.

The British Overseas Development Ministry (ODM) is
involved in virology research at Muguga. As this group is located at
KARI (Muguga), a close linkage will be maintained with the USAID plant
pathologist.

ICRISAT, IITA, and CIMMYT have representatives located in
East Africa. The Director of KARI and the USAID PASA Team Leader will
be administratively responsible for establishing and maintaining effective
utilization of the resources of the International Centers.










*Soil Physicist (Soil Management Conservation); Agronomist (Cropping
Systems); Agronomist (Physiologist); Plant Breeder (Legume and Oilseed);
Plant Breeder (Tubers and Root Crops); Animal Nutritionist/Husbandry;
Farm Management Economist; Plant Protection Specialist; Rural Sociologist
(subcontracted through the University of Nairobi and provided by the GOK6,









Appendix IV


INITIAL ENVIRONMENTAL EXAMINATION


Project Location . . .. Muguga, Kenya
Project Title . . . .. .Research and Development of
Agricultural Systems for
Semi-Arid Areas
Funding . . . . $6,003,283
Life of Project . . .... Five Years
IEE Prepared by . . ... USAID/Kenya Project ComMitteq
Date . . . . ... .April 1979
Environmental Action Recommende . Negative Determination
Concurrence ..-rT .3 -.. --.. Glenwood P. Roane
Mission Director
Date . .. . . April 1979
Administrator's Decision . ... .(Concurrence/Nonconcurrenqe)
Date . . . . .


Signature











SUPPORTING STATEMENT


The program of which this project is a major part combines
agricultural research with delivery of results of that research to
smallholders. Both program and project will deal with improved methods
of utilizing soil and water for agriculture production to enhance
producers' returns. These improved methods of soil and water utiliza-
tion will be beneficial in terms both of increased agricultural produc-
tion and also reduction in soil erosion. More specifically, the present
excessive soil loss during torrential rainfall leads to the silting up
of dams and reservoirs and disruption of transportation by soil deposits
on the roads. Erosion damages or destroys water supplies, roads and
bridges. Both program and project are intended, inter alia, to decrease
the soil loss and reduce the potential force and amount of water runoff
through terracing and better cropping systems.

Both the program and project will study the diseases and insects
adversely affecting crop production. Efforts will be made to breed
pest-resistant crops. In addition, biological control measures will be
studied to control harmful insects. Such measures will reduce the
need for the use of pesticides and insecticides that may be harmful to
the environment.

It is noted that a certain small amount (less than $4,000) of
pesticides will be purchased for use under the A.I.D.-funded project.
All such pesticides (which cannot be specifically identified until
arrival of the team) will be used exclusively for research purposes
and confined to small areas under controlled research station conditions.
The objectives of this experimentation will be to reduce to an economi-
cally efficient minimum the amount of pesticides/insecticides now in use.
PASA and GOK personnel will be made fully aware during project implemen-
tation of A.I.D.'s environmental standards concerning pesticides and
project documentation will contain appropriate undertakings in this
regard. The use of pesticides/insecticides and disposition of treated
crops will be in accordance with Reg. 16, Section 216.3(b)(2)(iii).

There is only a minor construction element associated with this
project. This consists of erecting one prefabricated four-bedroom guest
house at the Kampi ya Mawe Research Station that would be used by project
scientists during overnight trips to the facility.

Any irrigation or other land and water use activities will be undertaken
in a controlled research environment. As a result, the environmental
impact on land use, public health, water, and use of other natural
resources will be negligible. The technical assistance team will be
aware of A.I.D.'s environmental concerns (physical and sociocultural)
and will be examining various technological packages in the light of







these concerns so as to develop packages optional both from a tech-
nological and an environmental standpoint.

Recommendation

The project will fund, primarily, technical assistance,
and participant training. It will have no physical impact on land
and water resources save in some instances of a controlled research
nature. Requirements contained in Reg. 16 with regard to the use
of pesticides in a research activity will be followed. Environmental
considerations will be paramount in the research undertaken by A.I.D.
technical assistance personnel.

It is concluded that the proposed project is not one which will
have a significant effect on the human environment and, therefore,
a negative determination is recommended.







Appendix V
Page 1 of 2 pages


SOCIAL SOUNDNESS ANALYSIS AND THE ROLE OF WOMEN


The social benefits anticipated from this project will be forth-
coming during and beyond the life of the project, and although these
benefits cannot be quantified 'ex ante', they will be distributed among
the primary target group, which includes the small limited resource
farmers and rural residents, as well as secondary target groups through-
out the country. Specifically, the benefits should include, at least
to some extent:

(1) improved nutritional status and health
(2) decreased male out-migration
(3) improved group cohesiveness, and
(4) expanded opportunity for community development

The project is socially sound and compatible with the primary
target group as well as all other groups in Kenya. The initial research
target area includes the Machakos and Kitui districts of Eastern Kenya
in which the overwhelming majority (95%) of the rural population is of
the Akamba tribe, characterized by those qualities that promote economic
development. These include: flexibility of society, willingness to
accept change, acquisitive values and cooperative spirit, and a strong
achievement motivation. GOK agricultural policy strongly endorses
development of agriculture in the marginal rainfall areas and of the rural
poor located in these two districts within the marginal rainfall areas.

The social impact and the distribution of the benefits resulting
from this research project are expected to be positive, with little or
no undue burden placed on the different groups within the internal target
population and beyond. Values, beliefs, social structure and organiza-
tion of the primary target groups, because of the characteristics of the
people, will be minimally disrupted, What the research project will do
is to remove many of the constraints which, because of lack of resources
and knowledge, the people themselves cannot remove. The research team,
in collaboration with the appropriate organizations, will develop a
technological package with the existing resources of the target group
and with minimum cost incurring resources and within the existing social,
economic and political structure of the target group.

A recent study of the target area revealed that the adult male
(working) population is less than the adult female population (average
78 males to 100 females) (ref. 1). Furthermore, the study area is
characterized by a highly youthful population approximately 50 percent
are under 15 years of age. These two statistics have rather strong
economic implications for the area's productive capacity and the role of







Appendix V
Page 2 of 2 pages


women. With the productive population (age 15-60 years) constituting
only 44 percent (of which productive male workers constitute only about
33 percent due to out-migration in search of job opportunities), a great
burden is placed upon women and a small proportion of the working male
population and older males to produce the agricultural outputs needed
for subsistence by the entire group. This project, therefore, will
insure a greater agricultural productive capacity of the target area
with special attention to the role of women in the agricultural produc-
tion, and will help to alleviate the seasonal agricultural labor
shortage by making agricultural employment attractive enough to reduce
significantly the increasing out-migration.

Three activities which will facilitate that relative research findings
reach women farmers who constitute the majority of the agricultural
producers are: (1) The Agriculture Information Center at the National
Agricultural Laboratory is developing improved extension methodologies for
transmitting improved agricultural practices to women farmers based on
research findings developed by the agricultural research centers. (2) It
should be emphasized that the focus of this project is on the development of
agricultural packages appropriate for the semi-arid farming areas. The primary
components of these packages will be on food crops as opposed to cash crops.
Therefore this project meets the needs of small farmers in general, and women
farmers in particular since women farmers primarily cultivate food crops as
opposed to cash crops which are primarily under the responsibility of male
producers. (3) The nomination of women participants will be encouraged for
all available training activities funded under this project.

To assure that research findings are relevant and reach small farmers, all
training, both U.S. and in-country, will include courses dealing with the
socio-cultural factors involved in the adoption and diffusion of new crops.






Appendix VI
Page 1 of 2 pages


LOGISTIC SUPPORT FOR PROJECT


Major in-country project support will be through the established
channels of the KARI administrative unit at Muguga. Where there is joint
involvement with such agencies as NAL, University of Nairobi, FAO, etc,,
the arrangements for logistic support will be through the Director pf
KARI after his discussions with those responsible at the respective
institutions. All of these organizations have expressed their interest
in this project and their willingness to cooperate.

The divisions within KARI are required to project financial needs
which are utilized in formulating a budget that is assigned to the
particular division. Standard procedures are followed for the purchase
of supplies and equipment, and for normal operating expenses. These
procedures appear reasonable and administratively sound. Arrangements
are available for the immediate cash purchase of small items needed on
short notice. A contingency fund is maintained within the Director's
office for emergency and unanticipated expenditures. The KARI maintains
a workshop for the fabrication of equipment needed for projects. This
unit is apparently quite responsive. There is a pool for vehicles and
equipment as well as a maintenance facility. While the number of vehicles
available is often inadequate to meet all requests, this project would,
of course, fund the purchase of additional vehicles. Field assistants
and laborers are assigned to each division. These can be utilized at
Muguga or transported to the research areas where field trials are
conducted. Labor can also be requested from the outlying stations where
work is located and the station is paid for such labor from KARI/ARD
project funds. Large field equipment is provided by the research station
but equipment meeting special project needs is transported from Muguga.

The system through which host country support flows appears adequate
from the standpoint of accountability and resource management. PASA
technicians will be expected to become familiar with the system, work
within it, and suggest how to improve it (rather than ignore or attempt
to circumvent it). The GOK has assured financial support for maintenance
and operation of the project. There are difficulties in obtaining major
items such as large pieces of equipment, instruments, vehicles, etc.,
some of which are included in the USAID contribution. There also are
problems of availability of necessary supplies within the country and the
speed with which they can be obtained. None of these difficulties/
problems is believed insurmountable.





Appendix VI
Page 2 of 2 pages


The USDA will be responsible for all project activities relating
to U.S. support. This will include the purchase in the U.S. of project
commodities, following AID regulations and procedures. USDA will alsq
arrange for all U.S. training activities for Kenyan participants under
this project. In addition, USDA will have the ultimate responsibility
of assuring that the required technicians are available when needed,
and will be responsible for maintaining close liaison with the field
work in Kenya. USDA will be authorized an executive visit each year
to review project accomplishments and problems.

The team leader appointed by USDA will be its responsible repre-
sentative in Kenya who will control and be accountable for the USAID
contribution to the project. This person will work directly with the
Director of KARI and in collaboration with him make decisions relating
to all technical matters concerned with the project activities. This
will include preparation and review of annual work and research plans
and the coordination of the various research activities to insure that
the final result is useful to the target group. In conjunction with the
Director of KARI, he will select participants for training in the
United States and will recommend any international project-related
travel to USAID for its approval.

The team will coordinate on contractual matters with a Project
Manager from the USAID/Kenya Food and Agriculture Office who will have
the responsibility of monitoring the project to the normal extent on
behalf of USAID.







APPENDIX VIII
APPENDIX VIII


FINANCIAL APPENDIX


VIII (1) SUMMARY OF PROJECT COSTS


VIII (2) AID

(a)

(b)

(c)

(d)

(e)

(f)


CONTRIBUTION

Personnel Costs

Participant Training

Travel and Per Diem

Equipment

Expendable Supplies

Project Evaluation


VIII (3) GOVERNMENT OF KENYA CONTRIBUTION







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