Title Page
 Table of Contents
 Part one: Management: Tools and...
 Part two: Program management...
 Part three: Setting and maintaining...
 Part four: Implementation
 Part five: Appendices

Title: Agricultural Program Management
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Permanent Link: http://ufdc.ufl.edu/UF00071955/00001
 Material Information
Title: Agricultural Program Management
Physical Description: 206 p. : ill., maps ; 29 cm.
Language: English
Creator: McDermott, J. K ( James Kenneth ), 1922-
Andrew, Chris O
Publication Date: 1999
Subject: Agricultural extension work -- United States   ( lcsh )
Agricultural systems -- Research -- United States   ( lcsh )
Genre: government publication (state, provincial, terriorial, dependent)   ( marcgt )
bibliography   ( marcgt )
conference publication   ( marcgt )
non-fiction   ( marcgt )
Spatial Coverage: United States of America
Bibliography: Includes bibliographical references (p. 204-206).
Statement of Responsibility: J.K. McDermott, C.O. Andrew.
General Note: Cover title.
General Note: "Working draft."
General Note: "University of Florida, 1999, Not for reproduction: Rights held by McDermott and Andrew."
General Note: Spiral bound.
Funding: Electronic resources created as part of a prototype UF Institutional Repository and Faculty Papers project by the University of Florida.
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Bibliographic ID: UF00071955
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 - 74670403

Table of Contents
    Title Page
        Page i
        Page ii
    Table of Contents
        Page iii
        Page iv
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        Page vii
        Page viii
        Page ix
    Part one: Management: Tools and Concepts
        Page 1
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        Chapter I: Introduction to management
            Page 3
            Introduction to management
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        Chapter II: Basic management tools
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    Part two: Program management environment
        Page 29
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        Chapter III: Technical processes: The technology innovation process (TIP)
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        Chapter IV: The institutional environment
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    Part three: Setting and maintaining direction
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        Chapter V: Monitoring and evaluation
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        Chapter VI: Mission and doctrine
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        Chapter VII: Planning
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    Part four: Implementation
        Page 123
        Chapter VIII: Organization and structure
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        Chapter IX: Linkages and conditioning the environments
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        Chapter X: Personnel management
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        Chapter XI: Summary
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    Part five: Appendices
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Full Text
.1 W. oV

Working Draft

Agricultural Program Management

J.K. McDermott
C.O. Andrew

University of Florida, 1999
Not for reproduction:
Rights held by McDermott and Andrew



We dedicate this effort to our many students. Our learning environment is
enhanced by their many and rich experiences, their dedication and
constructive comments, and their vision for world agriculture. I make a
special dedication to my friend, mentor, colleague, and co-author, Dr. James
K. "Ken" McDermott who gave his life to international agricultural
development. Ken died in April 1998, setting an example by learning and
managing to the end. We thank our families for their courage to travel with
us to various countries, where we gained much of the experience revealed
in the pages of this manuscript.

Table of Contents

Preface ................................................. ix

Part One
Management: Tools and Concepts ........................... 1

Chapter One
Introduction to M management ............................... 3
Management as Responsibility ......................... 3
Structure of M management ............................. 4
Functions of M management ............................. 6
Requirements of Management .......................... 8
Management as a Social Technology .................... 9
Summary: A Formula for Improved Management ......... 11
Exercises .............................. ......... 11

Chapter Two
Basic Management Tools .................................. 13
Input Generators ............................... 14
Analytical Decision Tools ............................ 18
Activity Scheduling Tools ............................ 24
Exercises ........................................ 27

Part Two
Program Management Environment ........................ 29
Technical Processes................................. 30
Institutional Processes ............................... 31
Administrative Processes ............................ 32

Agricultural Program Management

Chapter Three
Technical Processes:
The Technology Innovation Process (TIP) ................. 33
The Technology Innovation Process (TIP) ............... 34
Implications of the TIP Model ........................ 41
The Formal TIP .................................. 44
Exercises ........................................ 45

Chapter Four
The Institutional Environment ............................. 47
Consensus and Institutions ........................... 49
Society, Government, and Institutions .................. 49
Public Interest in Technology Innovation
and Agricultural Development ...................... 53
Managing for Institutional
Development and Change .......................... 60
Institutional Analysis ................................ 61
Managing the Institutional Variables ................... 65
Exercises ........................................ 68

Part Three
Setting and Maintaining Direction .......................... 69
Definitions ............. .. ..................... 71

Chapter Five
Monitoring and Evaluation ............................... 73
Introduction ........... ...... ........ .......... 73
M monitoring Process ................................. 75
The Evaluation Process .............................. 76
Who Evaluates What, When ......................... 78
Designing the Evaluation ............................ 81
Implementing the Evaluation ......................... 84
Managing the Ex Post Evaluation ...................... 87
Evaluation and Socioeconomic Criteria ................. 92
Exercises ....................................... 98

Chapter Six
M mission and Doctrine ............. ........... ........... 99
Mission .......................................... 99
Sense of M mission .................................. 100

Table of Contents

Doctrine............................ .......... 102
M mission Statement ................................. 103
Exercises ....................................... 105

Chapter Seven
Planning ............................................ 107
Activity Scheduling Tools ........................... 107
Strategic Planning ................................. 109
Other Planning M odels ............................. 112
Other Planning Tools .............................. 116
Exercises ....................................... 121

Part Four
Im plem entation ........................................ 123

Chapter Eight
Organization and Structure .............................. 124
Elements of the Formal Technology
Innovation Process (FTIP) ..................... 124
A Note on Extension ............................... 130
The TIPs in Perspective ............................. 132
Aspects of Structure ............................... 133
Organizing Concepts ............................... 135
Organizing Structures .............................. 136
Structural Concerns ................................ 141
Exercises ....................................... 144

Chapter Nine
Linkages and Conditioning the Environments ............... 145
The Environments ................................. 145
Linkages ........................................ 148
Power Analysis Tools .............................. 156
Exercises ....................................... 166

Chapter Ten
Personnel M management .................................. 167
Creating and Conditioning the Work Environment ........ 168
Personnel Management Guidelines .................... 168

vi Agricultural Program Management

Personnel Development ........................... 175
Performance Appraisal ............................. 178
Exercises ........................................ 179

Chapter Eleven
Summary ................ ............................ 181
Developing Managerial Objectives .................... 181
Keys to the Effective Management
of Agricultural Research
and Extension Programs ........................... 182

Part Five
Appendices .......................................... 189
A Learning Activity ............................... 189
Case Study: Technology Innovation
System in Cameroon ............................. 197

References ................ ........................... 204


With more than 75 years of experience in agricultural programs, the authors
feel compelled to contribute their bit to the learning environment of
managers and aspiring managers. Some maintain that managers are born, not
made, but it is our judgment that experiential learning, reading, and
discussion can enhance the manager's capability.
We initiated an agricultural programs management course at the
University of Florida in 1986 and immediately became students of
management. The course has been presented to an average of 15 students
annually since that time. This handbook was developed and has evolved
along with the course. We have presented the course or some variation of it
in several in-service training programs. Teaching and training tests both
material and process. We acknowledge a great debt to our students and to
participants in other training activities. They have taught us through their
varied management experience and through their collaboration in the
classroom. In Indonesia, for example, working with the Agency for
Agricultural Research and Development (AARD), we developed the
concepts on evaluation-planning relationships that are discussed in Part 2.
We would also like to be in debt to you, the reader. We invite your
comments and criticism, which we consider collaboration. Our aspiration is
to encourage training and writing that will be useful to those persons
technically trained in agriculture, almost all of whom will have some
management responsibilities in their careers. We welcome other writing and
are keenly interested in other training experience.
This book is designed to be an aid to learning, either in independent
study or in formal training. Each chapter has many components of a lesson
plan beginning with a list of objectives, providing key points that are
highlighted in text boxes, and ending with exercises. The illustrations can
be made into transparencies. The book can fit almost any learning/teach-
ing/training style and environment. Our training style follows the andragogy
sequence of experience, processing, generalizing, and application. The
material can be adapted for various situations, and components can be used

Agricultural Program Management

in other training courses. All agricultural workers have some management
responsibility and need some management understanding. Any one
component can be elaborated or abbreviated to fit many situations.
Exercise directions are simple and concise. This is fitting for
management. Problems do not come to managers with a user's manual.
Management is not a case of applying a pre-set solution or routine. It
involves dealing with uncertainty. Further, there is almost never a single
way to solve a problem. Scanty instructions encourage initiative and
imagination and emphasize management as a process rather than a body of
solutions. It also gives the instructor an opportunity to demonstrate
management techniques.

Program Management Training Objective Tree


Many exercises are taken from a single case. This gives students a
chance to accumulate knowledge of a single set of institutions and to relate
components of management in a situation that is almost real. This is useful
for academic instruction. The exercises can be supplemented by the
students' own experience and interests. In some cases, the class can provide
its own case. In-service training provides its own cases. You may have other
cases that serve better.
Group work is given strong emphasis. Much management involves
groups and group skills. Interaction is an essential part of processing
experience and even of providing experience and helps in the analysis that
leads to generalization. Finally, group work is the best setting for working
out applications. Group work facilitates learning from each other. We work
in small groups because they increase the opportunity for interaction and
participation. We have found that a group of four is an ideal size. If it is
smaller than that, its experience is limited, and group dynamics often do not
develop. If the group is larger than eight, chances for interaction and
participation are diminished.
The interaction within the class is important and merits the attention of
the instructor. The interaction may be more important than the teaching
skills are. It is what we think of as "managing the learning environment."

J.K. McDermott
C.O. Andrew

Gainesville, Florida, 1998

Part one

Management: Tools and Concepts

Everyone is a manager-of personal and household affairs, of education, of
career, and of professional activities. Even though everyone has had
experience in management, few consider themselves to be managers. One
objective of management training is to first recognize and appreciate the
experience and skill one already has and to then learn how to build on it.
Management is a process that continually changes as situations change;
it is not merely a body of knowledge. The development of management skills
is also a process; it can lead to improved management ability, or it can
Management is a social technology. Technology is the synthesis of
knowledge, intuition, and skill into something that can be used to achieve a
practical purpose. Social technology deals not with physical objects but with
people, their organizations, and their processes of interaction. One student
describes management as "letting people do things to get the job done." Part
1 provides background inputs for the synthesis of social technology.
Chapter 1 presents an introduction to management and a structure that
can help manage the development of management skills and an
understanding of management. This chapter will help you determine what
you can expect of yourself as a manager and can help you structure your
learning and development.
Chapter 2 describes some simple management tools. Many can be
useful, starting today, in management tasks and in many situations that you
may encounter frequently.

Chapter one

Introduction to Management

Objectives: 1. Help to gain an understanding of management.

2. Provide a conceptual framework that will assist
you in building on past experience to develop
your management skills.

3. Help to develop your own management style and
to determine what you can expect of yourself.

Many agricultural programs-from local extension to the Consultative
Group in International Agricultural Research (CGIAR)-are well-managed.
Still, agricultural educators have accumulated little teachable management
skill, and new managers are essentially on their own. This book is designed
for the technical agricultural worker who has little or no formal training in
The first step toward becoming a good manager is to recognize that
every aspect of your life requires management-personal affairs, household,
education, career, even leisure activities. You have management experience
of which you were probably not even aware. Throughout this book, you will
be presented with helpful management skills and techniques while, at the
same time, you are provided the opportunity to employ your new knowledge
in conjunction with your management experience.

Management as Responsibility

Management is described as "assuming responsibility
for the success of an enterprise or activity."

Chapter one

Introduction to Management

Objectives: 1. Help to gain an understanding of management.

2. Provide a conceptual framework that will assist
you in building on past experience to develop
your management skills.

3. Help to develop your own management style and
to determine what you can expect of yourself.

Many agricultural programs-from local extension to the Consultative
Group in International Agricultural Research (CGIAR)-are well-managed.
Still, agricultural educators have accumulated little teachable management
skill, and new managers are essentially on their own. This book is designed
for the technical agricultural worker who has little or no formal training in
The first step toward becoming a good manager is to recognize that
every aspect of your life requires management-personal affairs, household,
education, career, even leisure activities. You have management experience
of which you were probably not even aware. Throughout this book, you will
be presented with helpful management skills and techniques while, at the
same time, you are provided the opportunity to employ your new knowledge
in conjunction with your management experience.

Management as Responsibility

Management is described as "assuming responsibility
for the success of an enterprise or activity."

Agricultural Program Management

Management is not defined in terms of "tasks" (Bradford and Johnson, p.3).
Managers do, however, perform an endless-not a defined-list of tasks.
The manager is responsible "for the success of" an activity, a program, or
an organization. Assuming responsibility is the contribution of management;
this contribution-not power over others-distinguishes a manager
(Drucker, p. 394).

Structure of Management

Managers do whatever is necessary for success. Knowing what is necessary
and how to do it requires that managers draw on a wide range of skills,
knowledge, and understanding. The practice of management is not neatly
compartmentalized. We have, however, divided this field into seven
categories in order to structure this study of management. Four of these
categories are management functions.

1. Developing mission and objectives
2. Planning and strategizing
3. Implementing
4. Evaluating

The other three categories are background requirements of successful

1. Skill in the use of management tools
2. Knowledge of technical processes
3. Understanding institutional processes

These categories, in the form of a management tree, are presented in figure 1-1.

Management Situations

An infinite number of management
situations exist, ranging from a
simple task-a discrete activity with Managers deal with tasks;
a clear beginning and end, such as they are also responsible
going to market-to the management for the growth and well-
of an organization with an indefinite being of an organization.
life, such as the Florida Agricultural
Extension Service.

Introduction to Management

Articulate Resources I
with National Information Logistics
Rules Procurement

Communicate Negotiate Authority Personnel
Incentives Budgets &

Develop Develop Condition Provide
Enabling Program Work Administrative
Linka es Linkages Environment Support

Adjust to
National Execute

nStrategial Program Annual Finance
IInstitutionalll- .....Choose Gather
Method Data
Define Manage
Mission Personnel
~ _c_ rn e its ---- -Decide Analyze &
Articulate Analyze & Schedule Organize S stem Ite
Doctrine Decide Activities

Objectives Plan Implement Evaluate


Master Understand Understand
Management Technical Institutional
Tools Processes Processes
# 4 # 5M
Brainstorm, Technology Technology Role of Institutional
Write Innovation in Agriculture Development Management
Tree Process Development Institution Analysis
Diagrams Operational A L o1
Att Operatitonas Autonomous System of Institutional Linkage
Activity IActivities Innovation Services Variables Variables
C Iang Subject Matter
Force Field Research Procedures Induced Market Doclrine
Analysis Location Innovation
Specific \C-_&rsNI Enabling
Matrix Research Strcture r
Public Interest Technical I Public
Arithmetic liaison Interest Structure Diffuse
ait-!n u t Lsuppoinfrr
Sociogram Ield Extension Program

Figure 1-1. Agricultural Program Management Tree

(See Chapter 2 for a discussion of tree diagrams.)

Agricultural Program Management

Two elements are found in a management situation: 1) performance or
accomplishment and 2) development and maintenance of the entity. One
who mows a lawn must take care of the equipment as well as get the lawn
mowed. The director of an agricultural agency must keep the organization
strong and healthy as well as ensure that the organization's mission is
Top management is more involved with organization development and
maintenance and is more oriented to the long run than are other levels of
management. On the other hand, a project manager is more oriented to
short-run performance and accomplishment. A program manager's
involvement lies on a level between these two extremes.
We can now present a more complete description of management.

"Assuming responsibility for setting
objectives, planning, implementing, and
evaluating activitiesfor the success
of an organization and its program
in both the short and long run."

Management vs. Administration

Management deals with situations that a) DO NOT occur on a repetitive
basis and b) DO require specific solutions. Administration deals with
recurrent events-budget preparation, accounting, personnel, procurement,
travel, and the like-for which forms and routine procedures can be
Managers spend much time dealing with administration and are
responsible for administrative systems. If systems are inadequate, the
manager must manage situations that could otherwise be administered in
less time and at less cost. It is likewise an error to administer what should
be managed. Budget forms and procedures can be routinized; however, the
size and allocation of a budget must be managed.

Functions of Management

Management is a process, not a set of rules. The four functions of
management help to structure its study (see figure 1-1).

Introduction to Management

Setting Objectives-Articulating Mission

An objective is an aim, goal, or end. Objectives of an organization form a
hierarchy with the mission at the highest level. Objectives at one level are
means to higher-level objectives. Each unit and each individual should have
clear objectives. These objectives set direction, orient efforts, and generate
All of us-individuals and
organizations-need a sense of
mission to help us identify who we
are, the nature of our business, howhat is our business?
How do we define success?
we define success, and what impact How do we defe success?
we hope to have. A mission helpshat do we want?
focus the efforts of you and your
personnel, communicating to the
world who you are and what you represent.


Managers are oriented to the future and must deal with uncertainty. In trying
to reduce uncertainty and see the future, they evaluate for purposes of: a)
understanding the current situation and why it exists and b) helping to
anticipate the future.
After evaluating the situation, one must evaluate alternative courses of
action relative to costs, chances for success, and consequences. Finally, after
completion, the action should be evaluated as to a) how well it was
implemented and b) what impacts it had.
Ex ante evaluation leads to decisions on what to do (planning), and ex
post evaluation leads to conclusions on cost, impact, and effectiveness.


Think of a plan as a set of pre-
made decisions based on ex ante
What is the value of current evaluation. These pre-made
actions on future performance? decisions help sequence and
anticipate actions and events.
Planning allows you to schedule
and implement actions and events in proper sequence and in good time.
Planning also occurs in hierarchial form-strategizing, long-term planning,
and short-term activity scheduling. Two planning streams-one for program
planning and the other for organizational development-must exist.

Agricultural Program Management


Implementation is the execution of activities. You will spend most of your
time in the implementation stage. Because this stage is closely correlated to
the objective-setting, evaluating, and planning functions, inadequate
attention to these functions will cost time and money in the implementation
stage. Unclear goals, sloppy plans, and careless evaluation will take their
In implementation, the distinction between management and administra-
tion is blurred. All situations involve some aspects of both. By developing
administrative procedures for routine tasks, personnel are able to complete
sophisticated tasks with relatively little training. The manager spends much
time working on administrative tasks.

Requirements of Management

Managers need background knowledge and understanding in three
categories: management tools, technical processes, and institutional
processes (see figure 1-1).

Management Tools

Contrary to land, labor, and capital, the management factor of production is
not visible (see Bradford and Johnson, p. 5). While management tools help
make some aspects of management visible, in the hands of experienced
managers, these tools often take the form of mental pictures. Thus, even they
are invisible.
Tools vary in quality and utility. Managers vary in their preferences and
styles. Some tools, which seem crude and contrived at first, turn out to be
useful with practice. There are tools to help generate ideas, insights, and
information. Others aid in analysis, and still others assist in activity
scheduling. Tools are useful in communication and can be adapted to
individual needs.

Understanding of Technical Processes

Technical processes are largely social processes specific to a program,
involving individuals and groups who set their own direction and provide

Introduction to Management

their own power. These processes are autonomous. Technology innovation,
for example, existed for thousands of years before research and extension
were invented. Technology innovation is an autonomous social process.
The marketing process began when workers started specializing and
dividing labor. Capital formation and accumulation began when someone
produced more food than he or she needed. Societies have always been able
to allocate property rights.
Governments have designed programs to facilitate some autonomous
social processes and to inhibit others as a means to socioeconomic
development. The programs must come to terms with the technical processes
that evolved naturally or autonomously, independent of program

Understanding of Institutional Processes

Agricultural programs are implemented by organizations that
exist and function under rules known as institutions. Your agency was
organized for a specific purpose. It operates under a set of rules,
written and unwritten. It functions in conjunction with other or-
ganizations, each with their own purpose and rules. Some rules are
common to all agencies; others are specific.
The better you understand this complex organizational-
institutional web, the better you will manage. Your work is affected
by the rules governing your
agency, by its management style,
and by outside pressures-such as Institutions and
funding levels, policies, and organizations are human
inventions and as such are
agendas of other entities, such as inventions and as such are
subject to management.
ministries, legislatures, and even
the chief of state.
Unlike autonomous technical
processes, these rules and organizations are not givens. They are
human creations and, as such, are subject to human management.

Management as a Social Technology

Management is a social technology. Even in a one-person enterprise,
management deals with people-individually and in groups. Managers
interact with superiors, subordinates, colleagues, peers, competitors,

Agricultural Program Management

cooperators, clients, and antagonists. Thus, management is social. Drucker
(pp. xi and 3) treats management as an important social phenomenon with
important social consequences.
The manager must integrate a
range of knowledge and skills into
a management style. Thus, the tech- A manager is a social
nology of management is in play. technologist who needs
The same distinction that can be to be goal-oriented,
made between science and tech- creative, and disciplined.
nology in the field of biology can
also be made in management.

Personal Qualities

A good manager needs three specific personal qualities.

1. Goal orientation keeps the manager and his/her enterprise in focus
and helps to satisfy personal motivation.

2. Creativity is the ability to image what does not exist and to see
possibilities and relationships that are not readily apparent.

3. Discipline is self-control, doing what needs to be done when it
needs to be done (see Bradford and Johnson, p.3). Lack of dis-
cipline, more often than lack of clear thinking, leads to bad

Style and the Organization

Peters and Waterman (1982, pp. 13-15) have developed the McKinsey 7-S
Framework for categorizing the elements of management. They refer to two
of the Ss-Structure and Strategy-as the "hardware of organization" and
to the other five-Style, administrative Systems, Staff (personnel), Skills,
and Shared values-as the "software of organization."
They identify eight attributes of successful businesses.

1. A bias for action. Analyze, but do not allow analysis to paralyze

2. Closeness to the customer. Insist on quality, service, and reliability.

Introduction to Management

3. Autonomy and entrepreneurship. Encourage many leaders and
innovators throughout the organization.

4. Productivity through people. Treat personnel as the real source of
quality and productivity gain.

5. Hands-on, value-driven philosophy. Managers keep hands-on
operations in line with criteria they value highly.

6. Stick to the knitting. Stay with the business you know well.

7. Simple form, lean staff. Keep structures and systems elegantly

8. Simultaneous loose-tight properties. Decentralize elements that do
well under decentralization while keeping close central control over
"the core values they hold dear."

Summary: A Formula for Improved Management

In summary, management is "assuming responsibility" for the success of an
organization, a program, or an activity, that involves a) defining and
articulating mission and setting objectives, b) strategizing and planning, c)
implementing, and d) evaluating for the purposes of both program
effectiveness and institutional well-being in both the long run and the short
We can now present a formula for improved success as a manager.

Managerial Understanding Personal An Improved Chance
Practice + of Process + Qualities = ofManagerial Success

Knowledge Technology Process Goal Orientation
Skill Public Support Discipline
Experience Institutional Creativity


1. Discuss in small groups such issues as: Needs and expectations
from this course? My important management problems? An
experience with exceptional management, good or bad? What is

12 Agricultural Program Management

2. Study and discuss table of contents (or course outline). How well
does it seem to address your interests? What special emphasis is
needed? What seems to be neglected? What items are not clear at
this point? What seems to be unnecessary?

3. Give each student, working in a small group, a chance to raise
questions prompted by this chapter. If colleagues within a group
cannot answer the question, raise it in class.

4. In small teams, interview active program managers, at as high a
level as is practical, on management philosophy, style, and
experience. Conduct these interviews in two carefully planned
sessions. Review the first interview in preparation for the second.
Report to class and discuss. After discussion, write an individual
report of what you learned through this experience and what you
could incorporate into your own management style.

Chapter two

Basic Management Tools

Objectives: 1. Help to understand the concept of management

2. Help to become acquainted with selected tools.

3. Help to gain experience in use of tools.

Various management tools are used throughout this book. Some tools are
introduced in the present chapter and used throughout the text. Others are
introduced within a particular context and subject matter of the book.
Tools are human inventions, can be combined, partially used, adapted
to a situation, and invented by you. You are at will to make them serve your
management needs. Those tools selected for introduction in this text are few,
relative to the set that is available to managers. The desire is to help people
know that tools are useful.
Management tools are used in a sociocultural context. Some have cross-
cultural value while others may be suited only to one culture because of
deep-seated values and practices. Yet all peoples and all cultures manage
social technology with processes that might be termed management tools.
As a manager in cross-cultural settings, it pays to know what types of tools
may be acceptable and effective. Sometimes it is difficult to assess and or
prescribe tools for a particular situation, thus leaving the manager to make
a decision. Usually the risk is worth taking as many managers err on the
conservative side while efficiency and effectiveness are reduced.
Three categories of basic management tools are discussed in this
chapter. Specialized tools are presented in other chapters.

1. Input generators

2. Analysis and decision aids

3. Activity scheduling tools

Agricultural Program Management

memo, journal
group discussion
committee, focus group

schematic drawings
disciplined judgment
tree diagrams

flow chart
gantt chart

Tools are crutches to assist you in working through problems. Some can
be precise. Others reflect useful concepts. A tool's value will depend on
your style and skill. At first a tool may seem awkward and contrived, but
your skill and the tool's usefulness will improve. Use tools that serve your
style, but try many to determine which best suits you. Some tools are more
useful than at first they may appear. Don't be afraid to design your own

Input Generators

Input generators help you elicit
Management tools should thoughts and information which
serve your style of operation you and your colleagues have.
and improve your skill. Decide what input you really need.
Useless information clutters up the
process and wastes time.

Pencil and Paper

Simple writing is a tool, in the form of memos, notes to yourself, check lists,
reminders, and journals. Writing helps to give focus when one is overloaded.
You can use writing to:

Basic Management Tools

Help plan and schedule actions and remind you of things to do;

Facilitate communication and prevent misunderstanding;

Solve problems, think, analyze, and create; and

Record thoughts, ideas, and facts easily forgotten.

A checklist is simply a list of items
The very simplicity that you check, such as a shopping
of checklists often list or a list of activities. You can use
obscures their usefulness, it for routine and recurring tasks. It is
useful no matter what your level of
skill and familiarity with the task.
Licensed airplane pilots are required to use a checklist. You can use the
checklist for just about anything. Many other tools process and build on the
Memos put important points in writing to aid memory and avoid con-
fusion. Many management problems can be traced to lack of written records.
Memos confirm agreements and record commitments. Use memos to follow
up conversations, to critique tasks, to suggest improvements, for general
thoughts and ideas, and for other purposes that you may discover. Memos
"to file," or to yourself, record thoughts and facts you can easily forget.
The journal is a daily memo written for yourself which records events
(a log) along with your feelings, thoughts, doubts, and ideas regarding those
events or issues they suggest. Keeping a journal is a way to learn from
experience and accumulate wisdom. Successful journaling requires
discipline and candor. Discipline yourself to write-frequently, if not daily.
Candor demands honesty. Examine your doubts and feelings, your successes
and mistakes large and small.


Use brainstorming for listing alternatives for action or problem-solving. It
elicits information, insights, and creativity that people have right off the tops
of their heads.

Agricultural Program Management

1. Work with small groups of four to eight persons.

2. Name a facilitator and recorder for each group. The facilitator's role
is to keep the process moving, not to guide it.

3. Present a question or problem.

4. Ask for quick, spontaneous inputs. Do not evaluate, discuss, or
attack responses. Stimulate imagination. Create a "storm" of

5. Record ALL responses. Allow only questions that will clarify.

6. Combine responses and consolidate lists if more than one group is

7. Finally evaluate, discard, elaborate, and discuss.


Brainwriting serves the same purpose as brainstorming and is about equally
effective. The only difference is style.

1. Use small groups, no more than eight.

2. Present the problem or question.

3. Give each person two minutes or so to write a response.

4. Pass the papers to the left. Each person reads what is on the paper
and adds a positive statement, not evaluation, controversy, or

5. After two minutes, again pass the paper to the left, read, and write.

6. Repeat the cycle until each participant's original paper is returned.

7. Combine, and consolidate inputs.

8. Discuss, evaluate, elaborate, discard.

Basic Management Tools

Group Discussion

Group discussion elicits information, opinions, and judgment from a staff
or group. It can be used quickly, even within a lecture or meeting. Ideal size
is three to six members.
Be clear on what you want the group to discuss. Have groups report.
You can allow others to comment on a group's report. Respect the groups
and their work. Give them your reaction, and answer their questions. If
feasible, report back and explain how you used the input.
Committees are special cases of group discussion. Instruct each com-
mittee on its purpose, and then monitor it to see that it keeps to that purpose.
Appoint a chair who can deal effectively with people and who can conduct
a meeting. Provide training if needed. Standing committees continue
indefinitely; ad hoc committees are appointed for a specific task. Advisory
committees provide you a two-way flow of information on the interests,
programs, and needs of clients and other groups important to you.

Focus Groups

A focus group helps you get information on the needs and interests, and
analyses and judgments of a specific group. It is small, no more than 10
people, and focuses on one or a few issues. The leader needs to stimulate
discussion, encourage interaction, and keep the group focused. A focus
group needs to be homogenous, that is, to represent one group or type of
person. If you need a variety of viewpoints, use several groups.
Develop a list of "what" or "how" questions, not "yes" or "no"
questions. Follow up on differences of viewpoints that are relevant and
encourage interactions. Use new questions as they come up if they make
sense but do not let them distract from your focus.
Provide a recorder who is not a discussion participant.


A survey is the gathering of information on facts, experience, opinions,
needs, and other issues. It can be simple. You can do an informal survey.
Simply talk to several people. If you need a new word processor, ask some
users about their experiences. You can involve your personnel. If others are

Agricultural Program Management

involved decide on the questions to be asked. Simple tabulation and analysis
can be made. For example, you can find whether some secretaries's
experiences with word processors differ from others' experiences.

Analytical Decision Tools

Most management will be accomplished through discrete, identifiable
elements that take the form of programs, projects, or tasks. Management will
take the form of decisions and actions. Your first action when faced with a
new management situation is to structure the situation (task, project, etc.) To
structure a task is to identify its components and then relate them in a logical
and orderly fashion. You can simplify a complex task by a proper structure
or complicate a simple task by an inadequate structure. Basic analytical,
decision tools help you to mobilize, select, and organize information needed
to structure the task. They ask "what," "why," and "how" questions.

Schematic Drawings

Schematic drawings help you conceptualize and visualize some of the
invisibles of management. They do not have to be complete or even
accurate-just useful in helping you understand "the invisibles" and in
discussing them with others.
The Technology Innovation
Process is a complex social pro- A
c e a i A schematic drawing is judged on
cess. You can "see an inno-
cs. You can "see" an i its usefulness as a tool for making
vation, but you cannot "see" the
psychological and social management concepts "visible."
psychological and social
processes that resulted in that
technology a) being developed
and b) being accepted. The TIP model (Chapter 3) is a schematic drawing
that attempts to visualize that process. Borrow, adapt, and "invent" to serve
your own purpose.


A matrix deals with the relationship between two categories of variables.
Figure 2-1 shows six distinct management situations by relating two time
horizons to three levels of management. It helps you visualize and
understand a management situation. The common data table is a matrix.

Basic Management Tools

Time Horizon
Level of Management Short Run (A) Long Run (B)
Institutional (1)
Program (2)
Project (3)
Figure 2-1. Management Time-level Matrix


A graph also relates two variables. It is useful in relating variables (budget,
trials, personnel, salaries) over time. The variables are continuous, rather
than discrete, and trends can be identified, monitored, and projected.

Combined Scaled Judgment

Human intuition handles a large number of variables very quickly. It is a
great asset in management but varies in quality. You can improve its quality
by disciplining and combining judgments. "Combined judgment of wise
people" is a widely used management tool. You can discipline intuition
(judgment) by specifying criteria. You can provide the criteria, or you can
ask each "judge" to specify his or her criteria.
You combine judgments by asking the judges to rate their judgments on
a scale. Scaling allows you to quantify qualitative data. Use whatever scale
you prefer. One to five is common.
You can use a combined rating in which the judges come up with a
single rating after study and discussion. Or you can use an averaged rating
of the judges' individual ratings.

Tree Diagrams

Tree diagrams deal with hierarchies and can be used to structure a task,
analyze a problem, record decisions and analysis, and communicate. The
following relationships can be shown by a tree, as in figure 2-2.

Cause and effect, such as 2, causes A, and A in turn causes I.

Time, such as 1, 2, AND 3 (or 1, 2, OR 3), must occur before
A can occur even though they may not be a direct cause of A.

Means, such as 1, 2, and 3, are means of attaining the end A.
Means may be alternatives, such as 1, 2, OR 3, or additive,
such as 1, 2, AND 3.

Agricultural Program Management


Figure 2-2 Idealized Tree Diagram

* Why, such as I, is the
reason for wanting A. It
also shows that B may Management does not
be an alternative to A for start from where you are but
accomplishing I. from where you want to be.

* How, such as A, is a means
to achieve I. So is B.

* Components, such as a, b, and c, are units that make up 2.

A common use of the tree diagram is the objective tree, which you can
use to structure the task. Management does not start from where you are but
from where you want to be-the objective.
For example, you need to build a shelter to house vehicles and
equipment. The first step is to make a list of actions needed. This list starts
to tell you how (or what you have to do.) Use this list to build a tree, which
asks "what is needed?" If you answer the questions well, all needed actions
will be there.

Select site
Decide size
Decide type of construction
Decide materials to use

Basic Management Tools

Draw plans
Figure cost
Acquire funding
Decide when to build
Decide how to build, with own labor or contractor
Acquire the materials
Hire extra labor or free up labor
Make other changes, such as roads, gates, and fences
Pay bills

The list identifies the components but shows no relationships-time,
sequence, cause-effect--or what has to be done first, which takes the most
The next step is to select categories you can use to group these tasks.
We can use four major tasks: Select site, develop plans, acquire financing,
and construct. See figure 2-3. Each of these categories or major tasks is a
means to the objective of building a shelter. If you assign each task group
to a subordinate, then the task group becomes his or her objective.
From your viewpoint, each task group is a HOW to reach the objective.
For a subordinate the task group is a WHAT (objective), and it can have its
objective tree. (See figure 2-4.) Meanwhile, for the subordinate, your
objective is a WHY. In turn, your objective is a means to a higher objective,


Build Vehicle Shelter

Select Develop Acquire Construct
Site Plans Financing Building

Consider Decide size Make budget Decide who builds
other Decide type Schedule work
facilities Decide material Acquire materials
Hire (assign) labor
Figure 2-3. Vehicle Shelter Objective Tree

Agricultural Program Management

Acquire Financing

Figure 2-4. Finance Objective Tree

which for you is a WHY. Don't ignore "The Why." Shelter from rain
requires one set of specifications, protection against thievery, another.
Also note the sequence of actions. Some events have to happen before
others. You can not draw plans until you decide the size and type of
construction. A budget cannot be made until plans are developed. If the plan
calls for more budget than is feasible, you may have to re-do the plan. This
is called "iteration" and does not show up in a tree.
Use a tree for analysis. It requires you to think and to answer What,
How, and Why questions. To answer How?, go down the tree. To answer
Why?, go up.
Finally, use the tree to facilitate communication and coordination. It
shows each person what is expected of him or her and what others are doing.

Alternative Forms

You can structure the lists in other ways. You can use an outline, but it is
one-dimensional and does not visualize relationships among categories. The
outline is a true list and is useful. See figure 2-5. It does not show, however,
that size of building may influence site selection, or that site of the building
may influence type of construction.

Basic Management Tools

A. Build a shelter for cars and trucks
1. Select a site
a. Consider other facilities
2. Design building and draw up plans
a. Decide on size needed
b. Decide type of construction
c. Decide on materials to use
3. Acquire Financing
a. Develop a budget
b. Decide source of funds
Use in-house funds
Surplus, or
Savings from other budget items
OR seek extra funding
determine source
plan procurement strategy
c. Make contacts and obtain commitments
d. Report to superior officer and deliver the funds
4. Construct Building
a. Decide who will build
b. Acquire material
c. Arrange for labor
d. Build

Figure 2-5. Task Structure Outline

Another alternative is to use parallel lists. Figure 2-6 is almost a tree
diagram and helps you see inter-task relationships.
These tools seem to list actions in the proper chronological order. But
look for iterative relationships. For example, one site may seem to be ideal.
And it may effect the type of building and the materials used. However, the
relationship could go the other way. Size of building needed may not fit the
site, and perhaps only one type would fit. Other types may be out of place.
Certainly size and type will effect the budget needed, but also budget
limitations affect the type and size. One action may cause another, or an
action in one task group may have to be done before one in another task
Use of structuring tools doesn't take much time, especially after a little
practice. They can save much time, effort, and expense.
Finally, when using tools, use verbs to indicate actions needed in all

Agricultural Program Management

Build a Shelter for Cars and Trucks

Select Site Develop Plans Acquire Funds Construct Building

Consider Decide size Make budget Decide who builds
other Decide type Decide source Acquire material
facilities Decide materials In-house Arrange labor
Surplus Hire
Re-budget Assign
Extra budget Schedule work
Select source Execute
Plan strategy Pay bills
Deliver funds

Figure 2-6. Structured Parallel Lists

Activity Scheduling Tools

A common management activity is activity scheduling, whether for unique
or recurring tasks.
The most important resource in activity scheduling is time, manifest in two
ways. One is sequence-something has to be done before something else
can be done. The second is quantity-amount of time needed for each
activity in the sequence. If you do not address these issues, you risk needing
something NOW that takes 30 days to obtain.
An activity chart appears to be the
opposite of an objective tree. The
tree starts with the objective and
Activity scheduling tools
asks what activities are necessary. hl
deal with time and help
The activity chart starts by working
managers to anticipate action
back from the objective and enables and to control the future.
you to anticipate, to allow enough
time, and to know when to start and
complete each activity.

Flow Chart

The basic activity scheduling device is a flow chart, or activity chart, in
which task components are related by sequence. Figure 2-7 presents three
alternative flow charts for the objective tree presented in figure 2-3.

Basic Management Tools

Alternative 1

Select Draw A Arrange Construct
Site Plan I- Financing Building

Alternative 2

Select J Draw 30.. Order Hire 10 Construct 45
i I HiM te s Conu
Site Plan Materials Labor Building

7 Receive 10
In Alternative 2, numbers refer to the days required to complete the
activity to the left of the number. A number may appear more than
once for the same activity.

Alternative 3

Figure 2-7. Alternative Flow Charts

A flow chart shows "activity" or "event." Activity is represented by an
arrow and is stated as an action verb, such as "select site." Event is
represented by a rectangle and is stated by a verb in the past tense, such as
"site selected."
How detailed you are in breaking down the task and showing
relationships depends on your need and style. It is possible to construct
beautiful, precise, and complete flow charts. If you are using a chart to
record decisions and to communicate with a team, be sure that it does record
accurately and is clear and neat. Don't trust memory.
An activity chart is a working tool. When you are developing it, do not
hesitate to scribble, to add to, to take out, to revise. If you try to make it

Agricultural Program Management

perfect, you will be discouraged from considering alternatives and making
corrections. It's valuable because you can study alternatives at no cost and

Gantt Chart

The Gantt chart summarizes and records activities. It is a matrix, showing
time on one axis and activities on the other. Figure 2-8 shows a Gantt chart
for construction of a building. It helps you summarize all your activities,
which often include activities in a number of projects. It helps identify peak
or competitive demands for your and your staff's time.

Activity Time

June July Aug. Sept. Oct. Nov.
Select Site
Draw Plans
Develop Budget
Arrange Finance
Obtain Funds
Order Materials
Hire Labor
Construct Building
Figure 2-8. Gantt Chart, Garage Construction

Network Analysis: PERT and CPM

Another tool is network analysis. Two techniques are involved. One is
Project Evaluation and Review Technique (PERT), and the other is Critical
Path Management (CPM). These can be included in the basic flow chart. A
network is created when several activities can go on at the same time. Such
a network exists in figure 2-7 because materials can be ordered, a budget can
be developed, and funds can be arranged at the same time. However,
materials cannot be ordered until finances are arranged. Thus, the "critical
path" between "plans drawn" and "materials ordered" is 37 days, not seven
days. The "critical path" is that chain of activities that takes the most time.
It shows when you need to start a task and which path may need more
attention and even resources.

Basic Management Tools


1a. Select any task, preferably one not well-known by the class. Half the
class brainstorm to make a list of needed actions. Half the class do
the same by brainwriting. Discuss and compare the two techniques.

lb. In small groups, construct an objective tree, an outline, and a parallel
list. All groups can use the same tool, or each group can use a different
tool. Discuss and compare the different techniques.

2. Have each student keep a journal for one week. Give each one the
option of turning it in. A journal is a private matter. Whether or not
they turn in journals, discuss the experience.

3. Invent or require small groups to invent an exercise that will let them
practice or experiment with a management tool.

Part two

Program Management Environment

As a program manager, you are not managing simple enterprises in which
you deal directly with input suppliers and customers or clients. You are
managing political-socioeconomic processes aimed at achieving
agricultural development.
Agricultural development depends on the behavior of farmers and other
producers of goods and services. Governments devise programs to influence
producers to make "right" decisions and take "right" actions. The success
of your program depends on the producer's decisions and actions.
Two sets of forces influence your clients' decisions: 1) His/her own
abilities, values and knowledge and 2) the conditions imposed by
government programs and institutions. Some programs improve the
individual's knowledge-research, extension, and price and weather
reporting. Other programs impose conditions, such as taxes, credit,
subsidies, imports, exports and regulations on inputs, resource use, product
quality, and environmental impact.
These forces and how you deal with them can be understood by thinking
of three sets of processes:

1. Technical processes that have their own laws and rules and are
autonomous from the standpoint of government and management.

2. Institutional processes that result from man-made laws and rules,
usually imposed by government, but that over time develop their
own personalities and powers.

3. Administrative processes that describe how agencies and programs,
invented to facilitate the technical and institutional processes, are
organized and managed. These processes also take on their own
personalities and powers.

Agricultural Program Management

You will not escape these three processes. As a manager you are part of
the administrative process. Institutional processes are the most significant
conditioners or determinants of the environment in which you work.
Technical processes shape the substance and influence the dynamics of your

Technical Processes

Whatever is being managed has its own technical processes, those dynamics
not subject to management. Water freezes at 0C, and the bovine gestation
period is 270 days, no matter the quality of management. Technical
processes are autonomous processes, that is, self-directed. You can freeze
water or keep it from freezing by controlling temperature. You can adapt to
the freezing process, but you cannot change it. Thus, it is with social
Many failures of public programs can be explained by inadequate
attention to those processes involved in farmers' deciding and acting. The
programs tend to focus on administrative processes and ignore the
underlying technical processes that they are designed to facilitate. Credit
programs, aimed to increase net worth, often are little more than consumer
credit. Regulations are ineffective or impede production because they are not
compatible with the social dynamics with which they deal. Extension
programs fail because they copy administrative processes not fitted to
farmers' decision-action processes.
Think of process as
sequence of activities governed
Technical processes are by its own set of laws. "The
autonomous. They are independent concept 'process' is employed
of government programs, which in various sciences. Osmosis,
must adapt to them. metamorphosis, succession, and
evolution indicate the diversity
of its use. Each process is
characterized by a consistent
quality of regular and uniform sequences and is distinguishable by virtue of
its orderliness." (Loomis, 1961, p. 6) The technology innovation "process" is
a social process and its sequences may not be as visible or precise as the
biological "process." However, the technology innovation process is a
sequence of activities governed by its own set of laws. We call it
"autonomous" because it is "independent of government or public agency
control." It is self-starting, self-powered, and self-directed.

Program Management Environment

Farmers dealt with technology innovation, marketing, soil conservation,
community development, land tenure, capital formulation, and credit long
before public programs began in these areas. Farmers addressed these issues
and problems in systematic and rational ways. These "systematic and
rational ways" are much of what we call technical processes.
The next chapter describes the Technology Innovation Process (TIP),
which is perhaps the most important technical process. Many programs aim
to facilitate technology innovation, and all programs seek specific behavior
(management) change (innovation). Marketing has its technical processes,
and marketing programs-price reporting, quality control, storage and price
supports-each deals with certain parts of the processes. Credit is used in the
consumption process, the production process, or the capital formation
process. It is important to understand the technical process with which your
program works.
These technical processes involve human beings who have values,
ambitions, and abilities. They are members of groups and cultures that
impose rules, obligations, and mores and that provide security and reward.
Your program is expected to cause some desired behavior. For the program
manager, the important technical processes are social processes.

Institutional Processes

You are always functioning in a web
Understanding technical and of institutions, no matter what your
institutional processes helps country or your position and status,
you to manage programs and the web is more complex than
and to work with the you may realize. What you do, how
administrative processes. you do it, and its impact are
conditioned (when not outright
controlled) by legislatures,
government administrative units, tax
rules, import rules, your own
organization's policies, other related organizations, nongovernmental and
international financing groups, regulatory agencies, and others.
How you get paid, that is, how you finance your program, depends on
other organizations-their authority, programs, and policies.
All of these are "institutions" in the sense that they embody and
implement sets of rules that condition the behavior of virtually everyone in
the society, including your clients in their decisions and actions. Institutional

Agricultural Program Management

processes are man-made, and they can be changed. However, over time, they
develop rigidities that sometimes make them seem autonomous.
You cannot expect to master this complex of organizations and rules.
But you can live with it. Be aware that it exists. The rules are made by
people and are implemented by people, so people skills will be helpful.
Identify the most critical organizations, learn them well-their rules and
their people-and develop a plan or system to work with them.

Administrative Processes

Administrative processes are those by which human beings manage the day-
to-day affairs of their world. They are related to institutional processes but
tend to be more transient or temporary. It is through administrative processes
that institutions are created and modified. Your immediate interest is short-
term, relative to the institution's long life. However, remember that it is
through public managers that institutions are modified over time.
Administrative processes constitute the substance of this book.

Chapter three

Technical Processes:
The Technology Innovation Process (TIP)

Objectives: 1. To understand the autonomous technology
innovation process (ATIP).

2. To relate the formal technology innovation
process (FTIP) to the ATIP.

One of your first tasks as a manager is to assure yourself that you know the
"technical processes" of the enterprise that you are managing. Certainly
there is a skill called management. But some aspects of the world's work are
independent of management. Water freezes at 32 degrees Fahrenheit, and
bovine gestation requires 270 days, no matter what management does. A
fast-food restaurant operates differently from an agricultural experiment
station or even a different type of restaurant. How well you deal with these
characteristics will influence your success as a manager. You can benefit
from the freezing of water if you adjust to its trait of freezing at 32 degrees.
In agricultural programs you deal with human behavior, or social
processes, as well as with physical and biological processes. This chapter
deals with the technology innovation process (TIP), the technical social
process with which research and extension programs work. We use it to
explain the nature and importance of technical processes and to show a way
to describe the technical process of your enterprise. The management
elements and technologies are the same, but they are applied differently,
depending on the technical processes. Ignorance of, or neglect of, the
technical processes of technology innovation has resulted in the
underperformance, even outright failure, of many research and extension
programs around the world.

Agricultural Program Management

The Technology Innovation Process (TIP)

No agricultural program invented technology innovation. It has been going
on for ages as an autonomous social process by which farmers-the end
users of technology, from their own experience, intellect and resource-
developed technologies that served their own self-interest. Much history of
civilization is the history of agricultural technology innovation, which began
when mankind began to replace "hunting and gathering" with "culture."
Anthropologists have discovered evidence of sophisticated prehistoric
technologies, such as raised garden plots, irrigation, and canal systems in the
Andes, Central America, the Amazon, and the United States (Toner, 1994).
There is no recorded history of how these technologies were developed.
The autonomous TIP (ATIP) continued for thousands of years and
produced the English High Farming System, which was a set of interrelated
sophisticated technologies that became an international model. The concept
of "autonomous" is that no management entity of society, such as
government, was involved. Individuals-working alone and in groups and
guided by their own motivation-developed the technologies. An
autonomous process follows its own laws. With adjustments made for
modem conditions, the ATIP is operative today. Research and extension
projects are limited in their effectiveness when they ignore the process.
We present the ATIP as we
have conceptualized it from our
Technology innovation has gone observation and in working with
on for centuries as an autonomous it. Here, we imagine ATIP, or
social process, as a sequence recreate it, as it would have
following its own set of laws.
transpired from prehistoric
times-as our ancestors began
the movement from hunting and gathering to culture-to the beginning of the
modem era. Then, we present the ATIP in its modem form, which we have
defined as starting when governments initiated efforts to facilitate the process.
Finally, we look at the process as formal organizations deal with it, in a set of
formalized procedures that we call theformal TIP (FTIP).
We can only speculate as to how culture began since its beginning
predates written history by thousands of years. At one time the fact that
seed, which was gathered for food, would reproduce itself was not known.
That knowledge had to be learned, along with the knowledge that

Technical Processes

temperature and moisture were relevant to germination. As bits of
knowledge accumulated, they were put together into techniques (or
technologies) for producing seed or food. No knowledge that we have today
existed until someone discovered it and made it part of tradition and culture.

The Autonomous TIP Model

The TIP Model (Figure 3-1) is an oversimplified portrayal of a complex
social process. it is not an operational guideline, although guidelines can be
derived from it. The process is not as simple as the model, nor is it linear
and orderly. It may be cyclical and overlapping. The purpose of the model
is to help you understand the process.

: oTechnology Development

I >
$ 5 5- 0

0 3 3

Figure 3-1. Technology Innovation Process Model

Early Manifestation

1. World stock of knowledge and technology includes everything that
is known. Compared with today's stock of knowledge, our
prehistoric ancestors' stock was small. We, of course, do not know
of what their stock consisted, but we can guess that they had
developed technologies, some embodied in tools, of hunting and
gathering. Some of it may have been fairly sophisticated, and some
of it has almost surely been lost. Our ancestors also knew how to
identify plants for various uses and how to store and use plants long
before they had knowledge of culture. As they gained new
knowledge and developed technology over the centuries, the stock
of knowledge grew. At first it was retained only in human memory

Agricultural Program Management

and tradition. Later, communication technologies evolved by the
same autonomous processes, making it possible to maintain a larger
stock of knowledge and technology. The stock was substantial by
the time English farmers of the 1600s developed the technologies
that were integrated into the High Farming System.

2. Research, a modem scientific term, is used here for the gaining of
new knowledge. We do not know how primitive peoples gained
new knowledge, but it is clear that they did. It is almost definite that
accident, curiosity, and observation were important as they are
today, but systematic efforts-which involved discussion,
hypotheses, and experimentation-also may have been developed.
These primitive people had no written material to consult, but
individuals may have gained new knowledge by talking to others
with long memories and different experiences. Certainly, they
learned from experience; they remembered; and they associated
various pieces of evidence. As they developed their technologies,
they gained new knowledge, some of which was embodied in the
new technology. The farmers who developed technologies of the
English High Farming System may have been more systematic.
They had more knowledge and experience, and they gained new
knowledge using the same procedures that they used to develop the
technologies. They had improved communications and record-
keeping technology, and they had the accumulation of thousands of
years of methodology experience.

3. Technology generation combines pieces of knowledge, including
technology, to generate a new technology that will serve a purpose.
The fact that seed would reproduce itself was of no value to our
primitive ancestors. They needed a technology that combined
knowledge of the seed with knowledge of other factors, such as
moisture, temperature, and planting techniques. How they
"generated" that technology we do not know. They may have
learned to plant seed in the proper season. Or their first technologies
may have been weed control among the desirable plants that they
found growing in the wild. It is interesting to think of the alternative
ways in which they could have begun to cultivate seeds. The first
technology was very simple and became sophisticated as new bits
of knowledge were integrated into it.

Technical Processes 37

Development of the English High Farming System was essentially
a technology development phenomenon. Of course, it demanded new
knowledge, but it was a relatively simple knowledge that the
developers, who were also users, could acquire. In the primitive, pre-
science era there may have been little differentiation between the
acquisition of new knowledge and technology generation.

4. Technology testing determines the technology's value in sites and
production systems. In the ATIP, a farmer (user) tests each new
technology in higher production systems, by his/her own criteria,
which are subjective and system-specific.

5. Technology adaptation involves relatively minor changes in
technology-after it has been tested-to make it better fit the testing
situation or system. Since technology synthesizes several items into
one technology, only one element may need to be changed. Our
prehistoric technologists may have dealt with seed, temperature,
moisture, and depth of planting. They may not have been able to do
anything about the seed itself, but it would have been relatively easy
either to manipulate the other variables or to adjust to them if they
varied by time and place. Some adaptation of seed may have been
possible if there were
several different seeds
from which to choose. Fitting new technology into
If major changes were a farming system involves
the technology its evaluation by farmers
made, the technology
d he ee in relation to cost, price,
would have been
and his/her subjective criteria.
considered new.

6. Technology integration is that function by which a new technology
is fitted into a current system. How did our prehistoric ancestors,
many of whom where migrant, fit crop production into their
livelihood systems? At first, they may have planted, gone on their
annual trek, and then returned for the harvest. The seeds that they
gathered from the wild would have survived the wild. Although a
new technology must be integrated into an existing production
system in the short run, the accumulation of technologies will cause
the system to change over time. Sedentary farming probably
developed in this way.

Agricultural Program Management

7. Technology dissemination is the "seeding" of information about the
new technology among farmers and other potential users. A new
technology can come to people's attention without any purposive
effort-from neighbors, local markets, itinerant traders,
international trade, friendship and family groups, travel, and even
wars. In the pre-commercial era, there may have been more effort
by users looking for better technology than by owners wanting to
distribute it.

8. Adoption and diffusion are two aspects of the same phenomenon.
Producers, one by one, adopt a new technology. The producer is the
only one who can bring about technology innovation. As
individuals adopt a technology, it becomes diffused. When the
diffusion has become significant, that technology can be considered
an innovation. That is, as an innovation, it has become effective and

Modern Manifestation

1. The world stock of knowledge and technology today is embodied in
products, such as seeds, chemicals, and machinery. It is recorded in
books and reports and stored in libraries and files, and located and
managed by sophisticated technology. However, it also still exists
in memory, experience, folk wisdom, tradition, intuition, hunches,
sociocultural conventions, and institutions. The supply is so vast
that it is not completely managed. Ironically, much knowledge
relevant to a specific problem rests only with producers, and much
of this knowledge is outside our managed stock.

2. Research today is
largely scientific and Science analyzes.
some is highly Technology generation synthesizes.
sophisticated. Farmers
who developed the English High Farming System acquired much
new knowledge but by methods that were not very sophisticated.
They probably used systematic problem-solving techniques, which
have come to be called the scientific method.
About 1840, German chemist, Justus von Liebig, discovered
the importance of soil minerals in plant growth. This discovery of

Technical Processes

critical new knowledge by modem scientific methods marked the
beginning of a new era in technology innovation. The "new era"
was marked by two characteristics. It was the first known event of
a non-producer professional using science to gather new knowledge
relevant to an agricultural problem. It was also the first case of a
society, through its management entity of government, using public
resources to do agricultural research. It led quickly to the invention
of publicly supported agricultural experiment stations and training
laboratories, tools of modem technology innovation. This invention
of a government organization and of a new profession dedicated to
agricultural technology innovation led to the FTIP.
Scientific research is analytic. Its purpose is to discover new
knowledge of phenomena and relationships. It aims to control all
variables except the one under study.

3. Technology generation produces products and techniques that make
it feasible to use new knowledge. It is synthetic; it synthesizes many
knowledge items, including technologies. Producers could not use
the new knowledge of soil minerals until fertilizer and
manufacturing equipment were invented and manufacturing and
utilization techniques were worked out. There are many similar
examples. Knowledge of hybridization was not used until
technologies for producing hybrid seed on a significant scale were
available and enterprises were organized to produce it.
Technology, whether embodied in a product or not, has to serve
in a range of situations in which there is limited control of other
variables, so scientific research that controls most variables is not
adequate for technology generation and development. Technology
development requires a methodology distinct from scientific
research, but it does make use of the scientific method and requires
all the genius of scientific research.

4. Technology testing today is implemented by non-users and users
alike. These professionals require objective criteria. The subjective
criteria that the producer uses are still significant in the modem
version of the TIP, but individual user tests are site-specific. To test
over a broader area, professionals need objective criteria. They can
manage the stock of knowledge, gain new knowledge, and generate
technology with little or no user participation, but they cannot

Agricultural Program Management

complete the testing function without user participation. Testing is
not complete until the technology is tested in the production
(farming) system in which it is expected to perform. Users play a
significant role in technology development, much as they did when
technology innovation was a completely autonomous process.
Professionals consider that the purpose of a result demonstration is
to show farmers a new technology; however, the farmer sees it as
a test in his/her own production system.

5. Technology adaptation. Professionals and users participate, with
various degrees of collaboration, in technology adaptation. In the
1980s, the International Potato Center in Peru developed a simple
technology for potato storage, utilizing their knowledge of diffused
light. The technology was in the form of a structure. The idea was
popular in many countries, but users made many adaptations in the
storage structure (the technology) to fit local situations and
materials, all of which maintained the principle of diffused light.
Defects in the genetic make-up of a crop may not be repaired in
the adaptation function, but the selection and management of a
variety may be manipulated. If the defect is serious enough and
changes are major, one must return to the technology generation

6. Technology integration.
New technologies need In the short run, new technology
to fit into the current must fit into the farming system.
farming systems. A In the long run, technology
technology that seems modifies the farming system.
technology that seems
rational and economic
may not fit into a system because of capital needs, labor or
management requirements, input supply, inconvenience, other
competing activities, or some other problem. Integration depends on
the farmer's perceptions, expectations, and management ability.
Government actions-along with markets, roads, and the
like-create the environment in which farmers perceive, create
expectations, and manage their affairs.
Over time, if powerful enough, one or more technologies lead
to changes in the system. In fact, almost all changes in production
systems stem from new technologies.

Technical Processes

Some new technologies, such as seed, can be easily fit in, but
others may require a more complicated process. For example,
before farmers could adopt artificial insemination, a technology of
semen production had to be developed, and a semen production
industry had to be organized. In order to facilitate technology
innovation, extension and research programs have been organized.

7. When the "owner" of a new technology has an interest in the
widespread adoption, dissemination in the modem TIP is most often
purposive. Extension and other public programs, as well as input
suppliers, have such an interest. Sometimes users of technology will
search for it. Germany was seeking better technology when it began
using the English High Farming technology. Some countries have
organized programs to search the world for germ plasm of both
plants and animals, and farmers take field trips and tours to seek
better technologies. However, dissemination also still occurs as a
coincidence-through local markets, national markets, travel, social
groups or families, and other means. Professional disseminators are
often alert to take advantage of these coincidences.

8. Adoption and diffusion. Farmers have control of adoption as they
have had throughout the history of technology innovation.
Professionals can help them learn of new technology, test it in their
system, and work it into their system. They have many
sophisticated techniques at their disposal. Government can
condition the infrastructure and policy environment, but in a free
society, the farmer makes the decision, as he or she has always
done. As users adopt the technology, it is diffused, and as diffusion
reaches a certain point, the technology is said to be an innovation.

Implications of the TIP Model

1. Public programs designed in the public interest can serve the public
interest only if they serve the individual interest. Public interest is
an aggregation of individual interests. Farmers innovate by their
own criteria in their own interest. Even police power-which is
manifest in taxes, environmental regulations, quality control, or
other means-will have little impact on adoption if the farmer's

Agricultural Program Management

interest is not served. Public programs can change conditions, but
the TIP obeys its own rules. Ignoring the autonomous forces,
programs designed and managed by rote or form are often defeated
by these very forces.

2. The ATIP model provides the conceptual framework for farming
systems research and extension (FSRE). It indicates and explains
the role of FSRE, which is mainly to test, adapt, and integrate
interest and participation in technology generation and
dissemination. It emphasizes the importance of understanding the
production systems of the clients. Integration requires the
knowledge of problems about which farmers are concerned and
their criteria for solution. Technology development is not complete
until the technology has been tested in the production system in
which it is expected to perform and by the criteria of the producer.
FSRE emphasizes the distinction between technology and
science and between technology development and scientific
research. FSRE, as an adaptive approach, makes use of technology
development methodology, which modifies and extends (scientific)
research methodology.

3. The TIP model implies that innovation is an issue only for research
and extension programs. However, much technology is embodied
in a commodity that often requires numerous complementary
conditions for sustained use. No new technology can be adopted if
inputs are too costly, if commodity prices are too low, if regulations
or taxes raise costs, or if other nontechnical forces are constraining.
Most of these forces are reflected in the farming system. Some of
these factors can be changed by other programs or by private
industry. Extension programs have organized cooperative, both to
provide inputs and to market outputs, as a way to facilitate
integration of technology into the farming system.

4. The TIP model applies to all of agriculture-large corporate-type
farming, specialized farming, very small farms, or general family
farms-whether the innovation is proposed by public or private
initiative. (It probably applies to nonagricultural enterprises as
well.) If formal efforts to encourage technology innovation do not
facilitate all TIP functions, then innovation must await the

Technical Processes

autonomous process, which moves in its own direction and at its
own pace. Modem agriculture is accustomed to innovation and may
adopt a new technology before it is thoroughly tested. This quick
adoption does not negate the need for testing. It simply changes the
testing mechanism.
The performance of
some quickly adopted All agricultural programs
have a role to play
technology does not
in technology innovation.
meet expectations
when tested over time.

5. The TIP appears simple, deceptively simple. It appears linear, and
it may be repetitive. For example, it can apply to an individual
farmer who receives new knowledge of a technology. He or she
will not generate new technology but will test it, perhaps adapt it,
and adopt it if it fits into his or her production system. Then, the
farmer may be active in dissemination among friends and family.
The TIP applies to grand movements of technology. For example,
maize originated in Central America and moved into North
America before recorded history. It may have been gradual,
passed from individual to individual. Dissemination may have
been by war or trade, but eventually it came down to individuals
testing it, adapting it, integrating it, and adopting it. In this case,
after dissemination, the process looped back to the new
knowledge function.
Peanuts probably came with African slaves to North America
as new information. While adopted in Africa, peanuts became new
knowledge and again made various TIP passes in the United States
before sustained use began. Soybeans came to North America
from China, perhaps as a result of the plant exploration program,
but maybe coincidentally with the tea trade. This was also new
knowledge, and the process began anew. The soybean, as
imported, had a limited acceptance. After the University of Illinois
reinitiated the process with scientific research, mapped the genes,
and developed some new varieties, its acceptance was exceptional.
Complementary technologies continue to pass through the TIP as
advances are achieved in the production and distribution of
peanuts and soybeans in the United States and around the world.

Agricultural Program Management

The Formal TIP

The term "FTIP" is not completely accurate. The TIP refers to a process, a
set of functions, which obeys its own laws and to which management must
adapt. The FTIP is (1) a set of procedures that has been developed by
purposive actions to facilitate the ATIP and (2) the entities that implement
them. These entities taken together can be thought of as the Technology
Innovation System (TIS). The FTIP is a creation of the management that
controls it. In some countries, the FTIP has performed quite well. But, in
others, its performance has been disappointing, even to the point of failure.

Problems of Formalism

Formalism is a major problem in the management of programs aimed at
changing human behavior. When a program is effective in one location, it
is often duplicated in other locations. What is usually copied is what is
visible, and what is visible is form. Inadequate attention is given to
understanding the substance or function, with the idea that, if you execute
the form, the substance will take care of itself.
An illustration of the dangers of formalism is the experience of the
United States in attempting to export its FTIP through its technical
cooperation program. After decades of evolution, the FTIP of the United
States had become quite effective in facilitating all eight functions of the
ATIP. The FTIP is almost universally known as research and extension.
These terms are used to refer to either programs or organizations. The forms
that were taken overseas were the experiment station for research and the
local field agent for extension. These organizational forms addressed the two
ends of the TIP, but they
virtually ignored testing,
adaptation, and integration. The danger of formalism was
Local culture and systems too shown in the U.S. experience
often were unaccounted for. in technical assistance programs.
This gap in the TIP was
serious, even fatal.
After years of frustration, expatriates developed a new form to deal with
these middle functions called FSRE, which dealt with technology and not
science. It came to terms with the producers and emphasized testing,
adaptation, and integration into the production system of the client. FSRE

Technical Processes

began as a rebellion against the traditional forms of research and extension
and often operated independently of them.
The FTIP of the United States over time had learned to attend to the
FSRE functions through general administrative forms, such as the branch
station and the extension specialist, and through operation styles that
fostered intense interaction with farmers and emphasized feedback of the
technology's performance in the farming system. It was the doctrine, not the
specific structure, of the research and extension system that emphasized
respect for the client and service, factors that led to the style of operation.


1. In small group discussion, question the TIP. Record questions that the
group cannot answer. Exchange questions among groups. Respond to
the questions that you receive from another group. Report and discuss.

2. For a non-research and extension program, such as price reporting, price
support, soil conservation, land use planning, irrigation, or land use
regulation, describe the ATIP that it serves. Identify the functions that
it facilitates.

Chapter four

The Institutional Environment

Objectives: 1. Help to understand the concept of institution.

2. Help to understand the relation between institu-
tion and organization and the concept of organi-
zation with institutional qualities.

3. Help to appreciate the role of institutions in
performance of the economy, especially agricul-
tural growth and development.

4. Help to learn some useful criteria for analyzing
an institutional organization and gain experience
in their application.

All of us live and labor in a framework of rules. It takes the form of laws,
administrative regulations, taxes and subsidies, public programs, and
cultural pressures from religion, custom and tradition, and special interests.
These rules are the arrangements by which the larger Society controls or
conditions the actions of individuals. Sovereign nations govern and manage
themselves by these societal arrangements. We commonly call them
institutions. Institutions are a critical element of the agricultural program
manager's work environment.
You can think of institutions either as 1)"rules of behavior valued by
Society"or as 2) "collective action in control of individual action," the
definition of John R. Commons (p. 69). Institutions control "individual
behavior" by 1) restraining certain actions, 2) liberating certain actions, and
3) expanding the possibilities or scope of action. They provide the
individual with what Commons calls "security of expectations."

Agricultural Program Management

The concept of individual is
significant. The performance of an Institutions: 1) Rules of
economy is determined by actions of behavior valued by
individuals from head of state to laborer, society. 2) Collective
and actions at all levels are conditioned by action in control of
legal, cultural, economic, and social individual action.
institutions. Countries manage themselves
through their institutions.
Societies control their members in two general ways. They may be
contrasted as visible and invisible, as formal and informal, or as government
and consensus. Institutions derive their power from the collectivity, the
Society, no matter what the enforcement mechanism.
Institutions do not control the actions of every individual. They do
condition behavior so that it is possible to predict the predominant action of
a collectivity of many individuals. For example, in the United States,
individuals can reduce their taxable income by the interest paid on home
loans. This does not cause every individual to buy a home, but it does
increase the number of home buyers.
Institutions themselves are not visible, yet they are real and powerful,
permeating all sectors of society. Traffic lights and speed zones restrain
driving habits. Marriage restrains certain behaviors between the sexes and
liberates others. Education expands possibilities for the individual. Price
reporting frees farmers from ignorance of the value of their product and
constrains marketers who would take advantage of that ignorance. Quality
control programs assure farmers that chemicals are safe and effective, and
they assure consumers that food is safe. They liberate honest dealers by
restraining dishonest ones. Grades and standards regulations enhance the
efficiency of trading. Tax and inheritance laws influence investment and
buying and selling. Private property gives the individual security of tenure
by excluding others.
We tend to take institutions for granted, much as a fish takes water for
granted. We often do not even recognize them in our own culture. However,
they are human, not natural, arrangements. They vary from culture to
culture, and this variation helps to explain culture shock. Institutions change
over time, either gradually without any conscious direction or abruptly by
deliberate action for a specific purpose.

The Institutional Environment

Consensus and Institutions

Consensus is a major source of enforcement power, even if of low visibility.
Consensus enforces rules, of which we may hardly be aware yet obey
effortlessly, simply because it makes sense for the overall good. Consensus
also underlies most of the government-enforced institutions. Also, consensus
may allow for considerable diversity. Finally, institutions change by
Consensus reflects tradition, culture, custom, fad, and religion. Tradition
includes the rules handed down from earlier generations. It varies among
cultures, and cultures vary in how highly they value tradition and in how
many traditions they can accommodate. In some cultures a tradition may be
set aside relatively easily as new customs, even fads, in individual action
Of the institutions associated with consensus, religion is the most
visible. Consensus determines the religious diversity that prevails in a
nation. Religions are sometimes powerful civil, as well as spiritual,
institutions to the point that church and government merge. Religious
freedom indicates that government allows the individual to choose a church
and, in turn, allows the church to provide the rules for the behavior of its
members, within limits of course.
Consensus cannot always define what is valued by a Society, but it can
define rules or procedures for defining what is valued, or at least what
society will tolerate. These procedures are implemented by government.
Invisible, informal, consensual institutions have often been formalized by
government in the course of history.

Society, Government and Institutions

Government is society's management entity. It manages through institutions,
of which those associated with government are the most visible. These
institutions are implemented by direct management, mandates and
regulations, permission, incentives, and programs.

Institutional Organization

Institutions can't be managed directly. They are neither visible nor tangible.
They are established, revised, and implemented by organizations, which you

Agricultural Program Management

can see and manage. An organization is not per se an institution. However,
in common usage the term institution often is used to refer to an
organization when it is the dominant organization associated with an
institution and when it has persisted long enough for individuals to come to
depend on it. Such an organization has institutional qualities.
You may work within an
organization with institutional
Many institutions are associated qualities. Your objective is to
with organizations yet some condition individual behavior
institutions, such as matrimony, to accomplish an end valued by
have no dominant organization. the Society. This could be
increased production from
technology or other programs,
improved marketing, improved resource conservation, more rational land
use, or some other goal. Accomplishing these public objectives requires that
many individuals make the right decisions.
An organization must satisfy four criteria in order to have institutional

1. Effectiveness. Its program must be effective in conditioning or
changing the actions of individuals. A research organization, for
example, must deliver technologies that farmers will adopt to
improve their operations.

2. Scale. Its program must be of a scale to have an effect on enough
individuals so that it makes a difference on the total economy.

3. Stability of program. It must be stable enough to allow clients to
develop confidence and a security of expectation; to allow impact
to accumulate; and to allow the organization to accumulate skill,
knowledge, and wisdom.

4. Endurance. The organization and its program must endure, so that
clients come to depend on it for long-range plans and investment.

The Institutional Environment

Direct Management

Government manages the
enterprises that deal with
St The concept of "conditioning"
legislative, administrative, behavior is important to the
and judicial processes management of institutions
through which Society in the public sector.
decides and implements
what it will value. There is
almost never unanimous agreement on what is valued, but there has to be
some degree of consensus on what is the public interest. The public interest
is defined by special interests and pressure groups battling one another in the
electoral, legislative, administrative, and regulative processes. These
processes are not precise and often not very effective in identifying the
public interest. Minority interests, through skill and power, often prevail.
But government exercises sovereignty, and the public interest is what
government says it is.
Government also can and often does manage commercial and industrial
enterprises. Government manages public interest programs and services that
a private market would not sustain. Among these are public education,
national defense, welfare, jails, roads, and agricultural programs-such as
research, extension, price reporting, quality control, conservation, price
supports, commodity storage, and land use planning.
Police power is managed by sovereign governments and is the ultimate
means of enforcement. In normal societies it will be used mostly for dealing
with behavior aberrant from consensus or for violation of laws established
by consensual procedures. In extreme cases, a Society cannot agree on what
it values by peaceful measures. When the disagreements are too great, the
sovereign police power is challenged, and civil war breaks out. This can lead
to the weakening or even the collapse of the institutional structure and the
disappearance of an effective government. The power of war lords prevails
in the place of sovereignty.

Laws and Regulations

Laws and regulations directly instruct and control individual action. They
reflect consensus that is not strong enough to prevail without the power of

Agricultural Program Management

law or administrative regulation. Special interests, often opposed by other
special interest groups, are expressed in laws and regulation.
Rules and regulations set minimum standards and limits, such as speed
limits and minimum sanitation standards for food stores. Some regulations
are mandates-food and commodity labeling, compulsory education,
commercial and professional licensing, patent protection, and quality
specifications. Public utilities are given monopoly status and then regulated
to protect the public interest. National government can mandate state
governments, which can mandate municipal governments. Legislative and
administrative actions are regulated by courts. Administratively, one
government unit regulates others on budget, salary level, personnel policy
and the like.

Permission, Incentives, and Opportunities

Permission is the absence of formal restraint and is in itself a rule with
institutional power. If there is no restraint, for example, on misleading
advertising or labeling, sellers' actions are liberated, and buyers' actions are
restrained by their lack of knowledge. There is a continuous debate over
what government should not permit.
Incentives take the form of taxation and subsidies. Societies tax what
they want to discourage and provide tax breaks and subsidies for what they
want to encourage. This helps explain the complexities of tax codes and the
debate over the effects of taxes on investment and other individual
Opportunities for expanding individual action are provided by Society's
support of programs and services such as agricultural research and
extension, public education, price reporting, crop storage, production credit,
crop insurance, soil conservation, and transportation infrastructure. These
programs are determined to be in the public interest. Most do not mandate
individual action but offer alternatives and opportunity. When enough
individuals take advantage of an alternative, the competitive situation
changes. Technology from research will increase yields and production
efficiency, but it favors some commodities or some locations. This change
in the competitive situation conditions individual behavior, even for the non-
Providing opportunities is the niche in the institutional framework for
most agricultural program managers. You have institutional responsibility.
It includes conditioning individual action to serve the public interest while

The Institutional Environment

protecting the private interest of the individual. You are also responsible for
the financing and well-being of your program, and that requires skill in
dealing with a variety of other institutions.

Serving the Public Interest

In serving the public interest, your work will be in two spheres-political
and managerial. You have to know what right decisions you are seeking and
how compatible they are with the clients' criteria and situation. You need to
work with special interest organizations and government entities in order to
perform your institutional responsibilities. It is through political processes
that public interest and general program content is determined and resources
are made available. Special interest groups press legislatures, administrative
offices, and regulatory agencies-each seeking their own ends, which deal
with both content and size of program.
Even when the public interest is well-defined, there remains the task of
accomplishing it. There is little doubt, for example, that technology
innovation is, in general, in the public interest. Most countries have created
organizations and programs to achieve innovation. Many have been
ineffective and have not achieved institutional quality. Some have failed
outright. None are perfect.

Public Interest in Technology Innovation
and Agricultural Development

Socialization of Agricultural Research

In most countries, socialization of agricultural research has been deliberately
employed as an instrument of modernization. The market does not
effectively allocate resources to agricultural research for the following

1. Many agricultural innovations
cannot be protected by patent Technology innovation
and almost immediately in agriculture is almost
become public property. Some universally socialized.
innovations can be protected, It represents a non-market
but the market may not justly allocation of resources.
attend to rights, privileges, and
distributional results.

Agricultural Program Management

2. Agriculture is an industry of small firms that cannot afford costly
and risky research. Yet farmers do constantly adjust and adapt

3. Because of the low price elasticity of demand for farm products,
benefits of technology innovation in agriculture are quickly passed
to consumers, who benefit more from research than producers do-
thus, the public interest in research.

The contrast between English and German experiences demonstrates the
idea of public interest in innovation. In the early 1800s, through the efforts
of landowners and farmers, England was known as the "school of
agriculture." Germany, noting England's superiority as a nation, made a
deliberate effort to overcome the gap (Ruttan, p. 71).
Ruttan states, "Public support for education and research as instruments
of economic progress was a major institutional innovation in the 19th
century. In Great Britain the strong laissez faire tradition (itself an
institution) was a major obstacle to the institutional innovations needed to
take advantage of education and research, these new sources of growth. In
contrast, German states financed a whole gamut of institutions, erecting
buildings, installing laboratories, and, above all, maintaining competent and
... distinguished faculties." (p. 72)
By the late 1800s, Germany had surpassed England in the ability of its
people to read, write, and calculate; in engineering capacity; and in
institutional support of theoretical and applied scientific knowledge. The
English superiority gap closed quickly. Germany established a publicly
supported agricultural experiment station in 1852, the first in the world.
Before the end of the century, 74 publicly supported agricultural experiment
stations were established in Germany.
The German experience taught several lessons. One was the power of
science, that is, investigation and analysis. Another was that scientific and
technological knowledge could be produced by organized effort, the same
as other inputs It demonstrated that it was feasible for the public to organize
and manage special purpose entities for such a systematic effort-in the
public interest. The German model of public, organized research was copied
by the United States and Japan and eventually by almost all countries.

The Institutional Environment

Evolving Agricultural-Institutional Environments

Hayami and Ruttan (1985, p. 41) have identified six causes of agricultural
growth, important in different periods. These are: exploitation, conservation,
location, diffusion, high-payoff inputs, and induced innovation. Each
involve specific institutional arrangements.

1. Resource Exploitation. Central to exploitation is the expansion of
agricultural land area, both domestic and foreign, with no thought
of saving or improving it or of increased productivity. Population
growth and industrialization increased demand for food. The
institutions that encouraged transportation technology development
and then international trade and exploration encouraged agricultural
production in Africa, the Americas, and Asia. War technology had
made domination of indigenous populations possible. Agricultural
trade was the major force for the large-scale European colonization
of the world. Adam Smith's Wealth of Nations articulated a set of
rules valued by the Society to guide individual economic action.
They were reflected in changes in city administration, land tenure,
and capital formation. Productivity of land and labor changed little.
Agricultural technology had improved incrementally over the
centuries, but no dramatic or great jumps are documented, either in
agronomic or managerial technology. In England, farmland was
used continuously for the same purpose-crop production or

2. Conservation. In the conservation model, technology innovation-
especially in soil fertility management-became significant. The
innovations included crop rotation, green manure (turnips), and use
of animal manure. These practices saved soil nutrients through
recycling and built-up soil humus, thought at the time to be the
basis for fertility. Farming systems were developed. One system
(the Norfolk Crop Rotation System), along with advances in
livestock breeding, formed the basis for English high farming,
acclaimed in the mid-1800s as a revolution. It increased land
productivity substantially but not labor productivity.
The technological development was made possible by
institutional change in property rights. The serf system ended, and

Agricultural Program Management

large private holdings developed in the enclosure movement. Large
farmers, able to devote resources to technology experimentation,
developed the high farming system. This research by farmers,
without public intervention, was a case of autonomous technology
innovation. It was not associated with technology institutions.

3. Location. In the location model agricultural development takes
place in an urban-industrial matrix, and nearness to the center of the
matrix is more important than soil and climate. Growth results from
the urban market for farm products and access to inputs from the
industrial-commercial sector. Transportation technology, such as
transcontinental railroads in the United States, effectively decrease
the distance between farms and the matrix center. The important
institutions are those associated with urbanization and urban
administration, such as governance, public safety, transportation,
public investment in roads and technology, industrial development,
and markets. The center is an industrial-urban complex, and not
simply an aggregation of people with little economic power.

4. Diffusion. The diffusion
model assumes the existence Diffusion, autonomous or
of superior technology and deliberate, transfers
emphasizes the diffusion of improved practices and
this technology to new areas superior genetic materials to
in which it serves as a source new countries and locations.
of growth. Diffusion was
manifest in two ways. One is
an autonomous diffusion of the autonomously generated
technology. Turnips and forages for green manure, livestock
manures, and crop rotations achieved the status of innovations when
a significant number of English farmers adopted them as routine
practices. The other form that diffusion takes is the deliberate public
(governmental) effort, by either providers or receivers, to facilitate
diffusion. Germany, for example, set out to catch up with English
agriculture by importing British high farming. Both England and
the United States organized programs to search in other countries
for better plant and animal germ plasm well before they organized

The Institutional Environment

public research in agriculture. Modem efforts in technical assistance
feature diffusion.

5. High-Payoff Inputs. The high-payoff input model demonstrates
developments in both technology and institutions. It had its
beginning in Germany, where a public decision was made to invest
in the importation of agricultural technology from England. This
was one of the first cases of public investment in agricultural
technology-justified as being in the public interest-and led to the
development of the research university. It opened the way for
development of public experiment stations the world over, a major
institutional innovation.
This public support led to the entrance of science in the effort
to improve agricultural technology, a substantive contribution of
profound significance. Eventually, it became clear that soil fertility
was declining in spite of the best efforts of conservation farming.
German research discovered soil minerals and their relation to
fertility. It was not done by farmers experimenting with better
technologies of farming but by a chemist, Justus von Liebig, who
followed the scientific method. Since then science has played a
significant role in agricultural technology development, supported
largely by the public through the research university and other
organizational forms. However, science and high technology
research have not completely displaced the farmer in technology
Liebig's discovery led to the development of the fertilizer
industry and the industrial-commercial farm-input supply complex,
which could only develop with the support of another set of
institutions, as explained by Hayami and Ruttan: "This implies three
types of investments 1) in capacity to produce new
technical knowledge; 2) in capacity to develop, produce, and
distribute new technical inputs; and 3) in capacity of farmers to use
modem ... factors effectively." High private and social returns to
investment in education and research have been demonstrated by a
series of studies. Each of these three investments involve a set of
institutions that form the environment for both farmers and
agricultural program managers. Experience has shown that high
input technologies developed for the highly developed countries
seldom fit other countries, which lack this institutional endowment.

Agricultural Program Management

6. Induced Innovation. Technology
and technical change are central to
this model developed by Hayami Induced innovation, as
and Ruttan. Private investment, an economic model,
institutional change, and political results when farmers,
because of favorable
opportunity are made possible by rces ress
prices, pressure sup-
changes in technologies.
Traditionally, economists have organizations to offer
organizations to offer
treated institutions and technology improved technology.
as givens. The induced innovation
model treats technology and
institutions as factors of production, as variables.
The model holds that technology innovation is a major source
of growth. Innovations are induced by economic pressure to
substitute low-cost factors for high-cost factors of production and
by demand for the product. In order for the innovations to be
produced, there must be an allocation of productive resources to
research and technology development. Thus, technology innovation
is integral to the production process and economic growth, not an
external autonomous condition. It involves a special set of
In this model, innovation begins with producers searching for
cheaper and better factors of production. They press both supply
firms and research organizations to make these improvements.
Farmer pressure is applied through market institutions, but often
that is not adequate. Technology innovation in agriculture is almost
universally socialized and thus represents a non-market allocation
of resources. The market must price agricultural products and
factors of production in an efficient manner in order to generate the
pressure to search for innovation. Given the need or pressure to
innovate, the efficient allocation of research resources depends on
institutions, political forces, public administration, and dialectic
interaction among farmers, researchers, and politicians. Farmer
pressure is effective when farmers are organized and the research
institutions are able to react.

The Institutional Environment

Agricultural Development Under Stress
An economy seeks equilibrium. A flow of new technology causes stress,
which in turn causes disequilibrium. Technology does not have the same
effect among regions, among products, or among factors of production.
Some technology favors flat land over hilly land, humid areas over arid
areas, and warm areas over cool areas. Non-farm technology, such as
transportation or refrigeration changes the competitive structure. Technology
can change both supply of and demand for a commodity, either for
consumption or production. It can change relative demand for production
factors-land, labor, capital, and management.
Several major stresses have been occurring in many countries. One deals
with the human factor. Technology increases human productivity, and
significantly less labor finds a market in farm production as new technology
develops. Another is regional. Some areas of low soil fertility and rough
terrain have not been able to take advantage of much technological
development, and their competitive position deteriorates. Other technologies
have improved the efficiency of resource exploitation, such as the harvest
of water, timber, and fish. Some areas suffer from all these stresses. Even
some entire nations experience the problems. Few escape them all.
Agricultural development results from adjusting to these stresses and
involves significant structural change-larger firms, more highly capitalized
farms, increasing off-farm employment opportunity, rural community
reorganization, capital markets, government services and regulation. How
well a society deals with stress and development depends to a large extent
on its institutions. Some exacerbate the stresses. Others aim to mitigate
them, either by restraint or by developing alternatives. Often little or no
effort toward institutional modification is made.
In the United States, a continuing effort is being made. Agricultural
research institutions are researching policy alternatives and resource use and
management. Agricultural extension is not simply a technology
dissemination agency seeking growth but one that enlists client participation
in developing solutions to problems hindering agricultural development. In
addition to changes in the programs of old institutions, new ones are
emerging. It is difficult to predict if these institutional changes will be

Agricultural Program Management

Managing for Institutional Development and Change

Appreciation for institutions and institutional dynamics is essential for the
manager. An institutional manager must look through the organization and
see its institutional function. The manager must also look inside the
institution and see its developmental needs. Institutions created by
government are supported by public funds to serve a definite purpose.
However, their creation is never complete nor perfect. Government expects
management to complete and perfect the institution. Institution development
is not automatic or assured. The needs of the institutions themselves, even
those of mature institutions, must also
be met. In some countries, the
agricultural programs are not effective
or large enough to have institutional Institutions are human
inventions and need
qualities. Even effective institutions
continuing attention
need to change to meet the needs of the by organizations and
agricultural economy and rural society. their managers.
Thus, institutional development is a
continuing need.
The various institutional aspects, and requirements, of agricultural
development have significant implications for managers of agricultural
programs. They not only manage what in the short run seems to be a stable
enterprise, but they are faced with continual adjustment of institutions and
even the invention of new institutions.
Research and extension managers are important actors in agricultural
development since they occupy critical positions in institutions created
specifically to facilitate innovations to serve a public. They have great
opportunity to serve economic development and a moral responsibility to
discharge their functions effectively. Hayami and Ruttan clearly demonstrate
the role of technology in agricultural development and, in turn, the
importance of developing the human resource-both the human resource
that deals with technology development (your staff) and the human resource
that utilizes the technology and makes it productive to the economy (your
client). Technology and human resource development are the business of
research and extension. Research and extension managers deal with the
public interest, which is easy to conceptualize but not so easy to determine

The Institutional Environment

in such a way that it serves an authentic purpose. There are many interests,
and these various, often diverging, interests must be reconciled into a single
public interest.
The responsibility for acquiring resources needed for technology
innovation clearly rests with agricultural program managers. Since a large
part of technical innovation in agriculture is socialized, the acquisition of
funds takes place outside the market, that is, by political and administrative
processes. Hayami and Ruttan argue that resources allocated to technology
innovation are just as integral to agricultural production as are resources
allocated for procurement of conventional inputs, such as seed, fertilizer,
machinery, and labor.
Farmers are also potential
collaborators in acquiring resources for
Research and education research and extension and in determining
managers must deal with the technology innovation that needs to be
policy and development induced in the agricultural sector. History
issues, too. emphasizes the need to take farmers
seriously because of their technology
innovation ability and their political
potential. The concept induce is significant in the Hayami-Ruttan argument.
It means to bring on, to bring about, to cause, to effect and implies a
purposive, deliberate, strategic effort to induce a specific, identifiable product
or effect. Further, it implies that technology innovation is neither random nor
beyond the control of management. This implies that research and extension
managers need to develop programs compatible with national
conditions-resource endowment, product and input markets, and production
and household systems. In the allocation of resources outside the market, note
the importance of dialectic interaction between farmers and the research-
extension organization. The farmer is the only actor in the national economy
who can make use of innovation in agricultural technology. The farmer is the
final judge, the only implementer of this technology.

Institutional Analysis

Institutions are embedded in organizations and their programs. Since
organizations and institutions are human inventions, they are subject to
management, and managers are expected to exert influence over them, their
nature, and their performance. Management starts from understanding and

Agricultural Program Management

analysis. Two sets of variables are simplified aids in analyzing an institution.
The variables are essentially checklists, so that you will not overlook one.
They do not go very far in telling you what ought to be. One set is
institutional variables that pertain to the organization itself. The other set is
the linkage variables that pertain to other relevant institutions.

Linkage Variables*

Linkage variables link the institution to the Greater Society. The linkage,
technically, is another institution that links the subject institution to the
Greater Society. Relationships between the subject institution and the others
are made up of a pattern of transactions. In common usage, a pattern of
transactions with another institution is almost always called a linkage. Thus,
we say that research has a good linkage or bad linkage with extension.
Linkages fall into four categories: Enabling, Program, Normative, and
Program Linkages are those patterns of transactions with other
organizations that are critical to the accomplishment of your organization's
program. Virtually no institution or organization can accomplish much
simply by its own efforts. It must depend on others for inputs of all kinds
and on the services of others to help deliver its outputs. Research depends
on colleges for personnel, others for technical and scientific knowledge, and
still others for goods and services. It depends on extension and others to
deliver its technology to users. Research depends on the market to embody
some of its technology in commodities and to make them available to the
Enabling Linkages are those
institutions and relationships that
Maintaining program linkages provide an organization with the
and enabling linkages will have resources and authority to
great impact on how well an a
gratiaton how wl an operate. Usually more than one
organization functions.
linkage is important, and linkages
are not independent of each other.

'Management of the linkage variables is discussed in Chapter 10, Conditioning

The Institutional Environment

For example, resources may come directly, or finally, through an office in
the Ministry. That is a linkage. But there is also a linkage with the source of
those funds, either the legislature, special interest groups that pressure the
legislature, a foreign donor, or someone else. In some cases, the same
linkages award both resources and authority. In other cases, however, you
may need authority from a linkage that has little to do with resources.
Program and enabling linkages require your attention and time.
Normative Linkages deal with the norms and mores of a society. These
may be related to religion, where churches, mosques, and synagogues are
examples of major institutions. Norms may also be articulated by groups
associated with special interests, such as food safety, animal rights, and the
environment. Special interests in many situations are becoming increasingly
Diffise Linkages, thought of as general or miscellaneous linkages, deal
with the general image of the institution and its program. They probably
serve to strengthen other linkages. Mass communication media such as
newspapers and radio, which may have virtual institutional quality, and your
relations with them are important linkages.

Institutional Variables
Five institutional variables serve the mission of the organizations that are
designed to fulfill institutional expectations (figure 4-1). Mission is closely
associated with doctrine. Mission reflects doctrine, as well as leadership, and
in turn it is reflected in both leadership and doctrine. Mission answers such
questions as: What is our business? What impact do we want to have? It is
a powerful influence on program and program execution.

1. Leadership is "the process of
influencing activities of ..
[others] in efforts toward Leadership, structure,
goal achievement in a given program, resources, and
situation," a concept provided doctrine are five important
by Hershey and Blanchard (p. variables for the analysis
83, 1982). It is not confined to of institutions.
so-called management but can
be exerted by anyone in the
organization. It is more than

Agricultural Program Management

management, but leadership is expected of management. Several
factors characterize leadership. One is the nature, quality, and
amount of leadership. Another is the source of leadership or its
location in the structure. A third factor is the opportunity for
development and expression of leadership. Leadership does not
have to be fixed and stagnant.


Leadership Proram
(Management) DoctrineProam


2. Doctrine is the mentality, the philosophy, of an organization. It is
sometimes referred to as corporate culture. It is intangible yet very
real, and a powerful influence on the way an organization functions.
It is not illogical, but it goes beyond logic. Doctrine consists of a
philosophy: What personnel hold to be true; what personnel value;
the work norms of personnel; and the attitudes of personnel toward
their work, the clients, the program, and the institution itself.

3. Program is made up of what the organization does and what it
produces, what it tries to accomplish for society. Program is the
only variable that has value and the only reason for the existence of
the organization. It involves what is done, where it is done, how it
is done, who benefits, and how good it is. Other variables have
value to the extent that they enhance and support the program.

4. Structure consists of components and how they relate to each other.
All houses have similar components-roofs, walls, doors, windows,
floors, and ceilings. The way in which these components are related
to each other determines the structure of the house. So it is with an
organization. All are made up of people and subunits. The manner

The Institutional Environment

in which they relate to each other determines what the structure will
be. Structure involves not only the formal and visible relationships
but also the human, personal relationships that are not immediately

5. Resources consist of all the
facilities that an organization has to Managing the five
work with-personnel, equipment institutional variables
and supplies, land and buildings, is a leadership task that
endowment, and recurring budgets integrates resources,
allocated by higher authority. The doctrine, structure, and
goodwill an organization enjoys program into a consist-
with that authority and the skill it ent, effective, and
has in working with sources of efficient effort to serve
funds can rightly be considered the "common good."

Managing the Institutional Variables

Each agricultural program has its own special purposes and responsibilities.
Content of the institutional variables to be managed is a function of those
purposes and responsibilities.


Leaders must establish and articulate doctrine (and Mission), give guidance
to program, procure resources, deal with structure, and create an
environment in which personnel can perform well. Leadership is responsible
for all other variables. Leadership visualizes the appropriate scale and
devises a path for getting there, keeping resources and program
proportionate to each other. This means resisting the temptation to adopt a
program beyond the means available, which is one of the most dangerous
threats to effectiveness.
Leadership has a particularly difficult task in maintaining stability.
Strong leadership, especially during the building stage, is necessary. Yet
stability requires a diffuse leadership, so that everything does not depend on
the director and does not risk abrupt change should the director be replaced.

Agricultural Program Management

One criterion of institutionalization is that the institution not be subject to
the "whims of a temporary incumbent of a key position." Providing strong
leadership and maintaining diffusion of power at the same time is not easy,
but it is not impossible. Leadership also involves the development of
leadership among personnel at all levels.


Doctrine also needs to be consistent with other variables. An extension
entity needs a doctrine that reflects a client orientation, such as service,
respect for client, belief in technology, interest in human well-being, and
willingness to work hard and under difficult circumstances. A research
group charged with science needs a doctrine that reflects the needs of
science--discipline, orderliness, careful work, a respect for science. It may
have less enthusiasm for immediate results and service. Doctrine should also
fit the institution's operating style. If the style depends on individual
initiative, doctrine must value initiative, the will to assume responsibility,
and a sense of responsibility.
Doctrine is one of the most important factors in the performance of an
organization. It is often overlooked by managers. Yet doctrine is always
present and can be managed even though it cannot be seen. A manager may
not be able to dictate doctrine, but he or she has a great potential for
influencing it. Group discussion is an excellent means of building a strong
and useful doctrine, especially if it is under good leadership. Once the
doctrine is developed, it is the manager's responsibility to articulate it, both
within the organization and in the external environment.
A strong, functional doctrine is also a means of encouraging stability.
If an organization has spent several years developing and voicing a doctrine,
it will be reflected in program and operating style, and the organization will
not be easily moved off course. That will be especially true if the doctrine
values broad participation and diffuse leadership.


An institution will be known and evaluated on its program-what it does,
where it does it, who benefits, and how much they benefit. There are far
more program alternatives than are ever possible to manage. If public
interest is to be served, one must nurture a combination of alternatives that
produces the most common good.

The Institutional Environment

In building a program, the first objective is to achieve effectiveness. The
next is to achieve efficiency. Once efficiency is mastered, then management
can address expansion as needed. But without effectiveness, the others
matter little. In achieving effectiveness, one looks for good probabilities of
success and does not take on the toughest job first. Also, look for
opportunities that serve the most good and keep the effort modest enough
so that it can be well-done. Quality of performance is more important than


Structure must reflect the other variables. Since agriculture is a space-
intensive industry, it is widely distributed and must adapt to many site-
specific factors. Agricultural program activities, especially research and
extension, must adapt to this diversity in agriculture. This requires some
decentralization of control. Structure needs to reflect that need while at the
same time permitting the exercise of central leadership. Central management
can give strong leadership through several techniques: Setting policy,
establishing procedures for program planning and evaluation, orderly
monitoring, and clear articulation of doctrine and Mission. These are not
normally associated with structure, but they do specify inter-unit and
interpersonal relationships, which are components of structure. They also
show how institutional variables are interrelated.
Structure reflects program. Science or even technology generation may
indicate a structure based on subject matter. If the program emphasizes
commodities or problems, the structure needs to be consistent, and personnel
of one discipline may be found in several units rather than one. Structure
must also reflect resources. It is a common error for a small organization to
build a structure similar to a large one with many more resources. A small
organization needs neither the specialization nor the bureaucracy of a large
organization, and this affects structure.


Resources are fixed only in the short run. Unfortunately, many managers
consider resources fixed and outside their control. This is hardly ever the
case. It is normal to think of enabling linkages as those with government
because government is generally the only source of authority and an

Agricultural Program Management

important source of resources. There are multiple sources of funds
(especially for research)-foundations, private companies, other government
agencies, and for some countries, international development agencies with
grant and loan funds. There is a tendency to think of resources only as
funds-of course, funds embody many things, but once converted, they
become other resources. Thus, government and others can donate land,
buildings, faculty lines, infrastructure, etc. Developing and implementing a
resource acquisition strategy is as much a responsibility of management as
is program development and implementation.


1. Characterize an organization with institutional qualities according
to the institutional variable assigned. If all know the same
organization, characterize it. If not, have one member describe an
organization he/she knows well. By questions and discussion, bring
out all information needed.

2. Describe the ideal organization in terms of the variable. How could
management reasonably change conditions (from Exercise 1) to
move toward the ideal and to improve institutional performance?
Report and discuss.

3. Select an institution, not organization-such as income tax,
common property, highway truck cargo inspections, import tax,
product tax vs. land tax, or another-in which the class has an
interest. Discuss its various impacts.

4. The entire class should discuss, critique, understand selected
agricultural growth models. By inference, identify and discuss some
institutions or government actions that were likely needed for that
model to have become effective.

5. Each small group should discuss one model, identify major
institutions (or government support) needed for it, and explain the
model and report to class.

Part three

Setting and Maintaining Direction

A sense of direction is an essential element of management. If it is weak,
management will be weak, although administration could be quite good. A
clear sense of direction will encourage a manager to improve his/her own
skill and competence. A sense of direction leads to a sense of mission,
shared by the manager and personnel, that encourages imagination and
dedication in achieving the mission. It is often manifest in an organization's
mission statement and always results in a clear idea of each person's
individual mission and role. A sense of direction grants power to the
Planning provides the route map for maintaining direction toward
achieving the mission. This route (plan) is made up of a sequence of
activities. As with a clearly articulated mission, a plan that states what is
expected conditions personnel attitude and improves performance. Without
such a plan, personnel are likely to become frustrated and confused, wasting
time and resources.
It is not conventional to treat evaluation this early in a discussion of
management nor to be so specific in relating goal setting, planning, and
evaluation. We are led to this action by our study and experience.
Evaluation occurs continuously through the management process even
though we may not be conscious of it. Evaluation is essentially analysis, a
special case of analysis. By evaluation, one determines value in terms of
achieving something that he or she wants. Even in deciding on mission and
its hierarchy of lesser goals, we must evaluate, that is, determine value in
terms of achieving goals. Monitoring during implementation involves
verifying the ongoing value of planned activities. Conventional evaluation
determines the value of all past decisions.

We acknowledge a special debt to Professor Robert House of Vanderbilt University
for counsel in writing the chapters on planning and evaluation.

Agricultural Program Management

We have defined management as assuming responsibility and have
identified four categories of what managers do-set objectives, plan,
implement, and evaluate. In executing these four categories, a manager
makes a continuous series of decisions. Decisions are so important to
management that some authors have virtually equated management to
decision-making (Simon, 1960). Every decision is based on some sort of
analysis, which determines the value of something in achieving an objective.
Whether the goal is clear or blurred or whether the analysis is adequate or
sloppy, evaluation is taking place.
ISNAR recognizes a distinction between ex ante (before project choice
and implementation) and ex post (after implementation) evaluation. The
same distinction is made by Love (1991): "The options available and the
potential effects of a decision must be evaluated before implementation" (p.
19). From a general management standpoint, all evaluations are ex ante,
even those after implementation. Their only justification is to improve future
decisions and actions. They cannot modify past actions. To make these
concepts workable and useful, we can think of ex ante and ex post
evaluations as "nested mirror images" as indicated in Figure 1.
Mission refers to the highest institutional or organizational objective,
and all other organizational, unit, or individual objectives are means to that
mission. The determination of missions should be based on (a) an analysis
of the situation and on (b) the final impact desired. Once the mission is
determined, a strategy by which to achieve that mission should be plotted.
A strategy is a type of plan, but without detail on actions. It is a sequencing
of major events needed (or objectives to be accomplished) in order to
achieve the mission.
Medium-term planning requires more detail than the general strategy.
It is mainly the selection of projects aimed at the critical factors that limit the
achievement of the mission. It is based on an analysis of the limiting factors
and judgment on the best way to deal with them.
Project or activity design is a detailed program of activities selected as
the most appropriate way to execute the project.
These three levels of planning require analysis (or evaluation) in terms
of efficiency in achieving a result. This is thought of as ex ante evaluation.
Project design is aimed at a resulting product. That product may be a
better variety or a machine that reduces costs. As a product, it has no impact.
If adopted, a variety will have an impact on farm production, and a
machine will have an impact on costs and profits. These can be thought of as
the primary impact, resulting from project selection as well as project product.

Setting and Maintaining Direction

Situation Mid-term Primay
Analysis, Planning Project & Primary Final
Mission & & Project Activity Evaluation impact Impact
Strategy Selection Design Evaluation Evaluation




Ex Ante Evaluation Monitoring Ex Post Evaluation

Figure Pt. 3-1. Evaluation Summary and Relationships

Final impact results from a primary impact or a combination of primary
impacts. Increased farm production could result, for example, in lower
prices and lower consumer costs and eventually in less farm employment.
An improved machine, which cuts costs, may result in increased
manufacturing and service activity. Increased agricultural production could
also result in environmental damage and in changes in land prices, land
tenure, and other significant aspects.
These nested mirror images emphasize the relationship between
planning and evaluation. The same criteria are used for both. In planning,
one has to anticipate and estimate "what would happen if... "; in
evaluation, empirical data are often available.
Desired results and impacts constitute the setting of direction. Planning
and implementation facilitate progress in that direction and help to maintain


Planning is (a) the determination of mission and objectives and (b) the
development of a course of action by which to achieve that mission and
objectives. It involves ex ante evaluation.
Monitoring is the observation of a plan during implementation and
response with corrective action. It involves expresent, continuous evaluation.

72 Agricultural Program Management

Evaluation is the determination of the value of a completed plan and
involves ex post evaluation.
Evaluation of projects and activities constitutes the monitoring of
medium-range plans, strategy, and mission. The evaluation of medium-
range plans is the monitoring of mission and strategy.

Chapter five

Monitoring and Evaluation

Objectives: 1. To understand the central role of evaluation in management and to see
the relationship between planning and evaluation.

2. To learn the types and levels of evaluation and the components and
procedures of evaluation.

3. To gain experience in evaluation and in the design of an evaluation


Management is a constant stream of evaluation, starting with the question, "What is our
business?," or "What impact do we want?". Answers to either question depend on what we value.
The answers are almost always means to higher objectives. Management takes decisions and actions
based on their value in conducting the business or achieving the impact. Life itself is a stream of
evaluation. As infants, we learn to evaluate behavior in terms of the value of the response, as both
conscious and subconscious process. Then we manage our behavior to achieve reward, that is,
response we value.

We practice evaluation to the point that it becomes almost an involuntary process. We
evaluate in spite of ourselves. Thus, it is that evaluation appears almost instinctive. Certainly, it is
intuitive. Our intuition handles innumerable data, some of which we are not aware, so rapidly as to
be virtually instantaneous. This type of evaluation can be thought of as intuitive, implicit,
subconscious, and subjective. Most evaluation is done in this manner. Even objective, purposive,
systematic evaluation is conditioned by the intuitive evaluation of the evaluator. It is the objective
of this chapter to present concepts and methods for making evaluation objective, systematic, and
explicit. Some of the methods help in disciplining intuition to serve that purpose.

We do not intend to discredit intuition. Sometimes it is good, very good, and in some cases,
it is superior to the best objective reasoning that can be produced. Evaluation is a creative process.
It subsumes all institutional activity from preinstitutional development throughout the operation of
institutions and their programs. It also provides for problem identification and resolution. As
propositions and hypotheses for resolution, or for realizing opportunities, are stated, creativity comes
into play. Preparation, imagination, incubation, illumination, and verification can all manifest

1. Preparation involves a logical, conscious process of gathering and analyzing
information. We call it research.

2. Imagination permits the sometimes nonlogical, subconscious processes to provide
alternative views, new descriptions, and creative thought.

3. Incubation is both voluntary and involuntary thought that allows for the prepared and
imagined results to intermingle.

4. Illumination, usually through sudden insight, provides a mode for recording
information in new forms and restructuring problems and opportunities that enhance
the value of programs.

5. Verification tests illumination against practice and logic, either to validate or

This process is iterative and continuous and must be monitored for effectiveness.

Determining the Value

We define evaluate: "To determine or fix value
or to determine significance or worth, usually by
careful study." The market determines or fixes the Evaluation is the process
value in exchange of commodities and services in of determining the value, significance,
terms of money that must be exchanged for a good or or worth of some activity or factor
service. Although constantly changing, at any one that is important in management.
time, exchange value is clear and specific. This
valuing (evaluation) is largely the stuff of economics.
Value is not fixed by careful study but by social
processes conditioned by the institutional environment.

Markets, however, are not available for many elements important to society and for many
activities internal to both market and non-market enterprises that need to be evaluated. Further, the
market evaluates only for the present. Even a futures market is for value in the present. Meanwhile,
all management, in or outside the market, deals with the future and must determine or fix value in
terms of the future. The market provides information, that of which is a useful input to many
evaluations that it in itself does not do. Non-market evaluation must be done by careful study or its
surrogate, intuition. In this type of evaluation, little is automatically clear or specific.

For us, evaluation is careful study (analysis) (1) to determine the probable value of an
objective (almost always a means to a higher objective), (2) to determine the probable value of a
sequence of activities (plan) in achieving the objective, (3) to determine the value of the result
achieved, and (4) to determine the value of primary and subsequent impacts of the result. Following
ISNAR, (1) and (2) are ex ante evaluations, and (3) and (4) are ex post evaluations. Evaluation is a
specific case of analysis.

Monitoring Process

Monitoring is a special case of
evaluation and comes between ex ante and ex Monitoring is the process of keeping watch
post evaluation and is concerned with over an activity to see that it meets
maintaining the integrity of the implementation predetermined schedules and standards.
process. Monitoring primarily involves keeping
watch over the plan to see that it is on track and
taking corrective action if it is not. However, it can also include a "re-evaluation" of the strategy and
actions selected in planning. It might be said that evaluation takes stock while monitoring assesses
flow and practice relevant to goal achievement. Figure 5-1 shows the way ISNAR views monitoring
and evaluation in terms of project implementation. Monitoring is largely observation and data-
gathering (sensing) against pre-set targets or standards. However, determining the worth (effective-
ness) of project implementation often requires careful study.

poitor'ing_]" n(onocat Infooatn)on

orEding (dataion


COfftdivt Action

& processes I

Figure 5-1. Relationship of Monitoring to Evaluation
Repottion Cinformadon) ,

SCoreccive Action
tionI l LevlI
rnodifikattioo in

Figure 5-1. Relationship of Monitoring to Evaluation

Source: McLean (1988).

Nestel (1989) defines monitoring as "the continuous or periodic review... by management
... of the implementation of an activity to ensure the input deliveries, work schedules, outputs and
other actions are proceeding according to plan." He defines evaluation as "a process for determining
systematically and objectively the relevance, efficiency, effectiveness, and impact of activities in the
light of their objectives." (p. 3) McLean (1988) writes, "Monitoring provides information on project
performance ... according to plan. Managers monitor resources, such as funds or personnel, and
processes, such as annual reviews or seminars ...".

Monitoring presupposes a plan, written or mental, to accomplish a goal. It could be a plan
for a research station, a year's field trials, the building of a shelter, the publication of a newsletter,
preparation for a conference, the implementation of a personnel records program, or a ten-year
strategic plan. It is essentially observation against a plan. Observation yields both quantitative and
qualitative data. Observation of personnel at work will give you insights on the quality of work and
other attributes beyond the objective data that is feasible in a report.

The Evaluation Process

Human beings are continually evaluating, as an instinctive, involuntary, subconscious
process. However, we need to be able to evaluate in administrative, procedure-conscious, deliberate,
and purposive ways. If we can conceptualize and understand the intuitive process, it will help us to
develop administrative evaluation procedures. However, the subconscious, intuitive process will
continually insinuate itself into the deliberate procedure.

We start with a newborn infant who values physical comfort. We can think of physical
comfort as a single value or as several values-not being hungry, cold, wet, or in pain. The infant
starts immediately to evaluate. There is a feeling or sense that directly indicates to the infant the
value of a specific situation in terms of physical comfort. Thus, we can identify two phenomena-
values involved and a means of sensing. Reaction to a negatively valued situation is involuntary,
instinctive. Nothing has to be learned. Soon other values appear, which can be thought of as mental
or psychological. Security is such a value. Fear of falling would be insecurity. It is instinctive, does
not have to be learned, and applies to the individual, but it is of a different nature than simple
physical discomfort. A third level of values involve other people, and that level does involve
learning. A baby has to learn that a smile indicates "something" pleasant in terms of its physical and
psychological values.

From these simple phenomena, hundreds of other values and means of sensing are learned.
The mother values the comfort of her child. She cannot sense the child's discomfort by direct
feeling. She has to infer his/her discomfort from something that she can sense, such as hearing the
child cry or seeing the child squirm. Thus, we identify another phenomenon-the indicator. It is a
crude indicator, measuring only general discomfort. It does not specify the discomfort-hunger,

pain, being wet, or being cold-nor does it indicate the degree of discomfort. The mother needs a
more precise means of understanding, for example, the interval since the last feeding as an indicator,
and a clock and her memory as a means of sensing. She needs to determine the value of intermediate
factors, such as diaper changing, that influence the final value. Discomfort could be caused by
hunger, wetness, or coldness, the causes of which, in turn, may be easily determined. Discomfort
could also be pain, the cause of which may not be easily determined. She does not have a single
indicator that will give her all the information that she needs, so she processes the information that
she does have (from observation, experience, child's history, and other learning) and decides what
is needed to restore the child's comfort. Then she determines the value of alternative actions to
achieve what is needed to restore comfort. The means that she uses for determining needs and action
is largely intuition. It often appears instantaneous because the human intuition handles a great many
variables at a great speed.

This common case illustrates many of the elements of evaluation. It all deals with
values-ultimate value, component values, and value of activities to achieve some value. We have
seen the process, starting with values involved, requiring indicators for all but the simplest of cases,
means of obtaining information, and a means of processing it (Figure 5-2). We also see valuation
after the fact (that the baby is uncomfortable) and before the fact (probable effect of alternative

Values Value Indicator Information Decision,
Involved Indicators Sensors Analysis Action

Figure 5-2. The Evaluation Process

Evaluation Components

We can derive components from this autonomous process, which can be used in a formal
evaluation procedure model that can be deliberately managed. It is simple in concept; it can be kept
simple in practice; but it can also become complex. It is a useful guideline that will help in
evaluation although any one evaluation will take its own form.

Values Involved make up the first component, which is a complex of values by which
something can be evaluated. We can take as an objective the raising of rice yield in Asia. Increased
quantity of rice is one value by which we evaluate. We need more. We also value grain quality, cost,
and profit. Put together, perhaps with others, these are the values involved. Some elements may need
to be sacrificed, at least in part, to achieve others.

METRIC is the means by which you measure
the values involved. Yield can be reassured in many Evaluation requires a value system,
terms. Do you want yield per unit of land, per hour of a metric, a sensing procedure,
work, per person per year? Do you want it in tangible and a scheme of analysis.
terms, in physical terms, or in money terms? Do you
want gross income, net income, or labor income? How
will you measure quality?

SENSING is the gathering of data or information that the metric requires. Does someone else
get data on yield, production cost, price, and total production, or do you have to get it yourself? How
do you get information on grain quality? If it is too difficult to get the data (sensing) on a metric, you
may have to change your metric. This introduces the concept of iteration, going back and modifying
the metric or even value system to something on which you can get data.

ANALYSIS is the handling of the data you collect, what you do with it. This requires study
and conclusion and then decision and action.

Who Evaluates What, When

Anyone can evaluate anything at anytime, depending on need or administrative procedure.
Much attention to formal evaluation has resulted from international donor agency interest in the
value of projects that they support. This has resulted in a kind of formalism. A project has to be
evaluated, and some external entity is contracted to do the evaluation. Ideally, "external evaluators"
do not evaluate. They can help with sensing and analysis, but it is the manager who evaluates, that
is, decides on the values involved and draws conclusions. In many cases, however, the external
evaluator by default has to identify the values involved and the metric, whole or in part. The
"manager" can be over the financing agency, the implementing agency, the activity itself, or some
other entity. Different "whos" evaluate different "things" at different "times," and at times, you as
manager may be the "evaluated." If you are the project manager, you may be evaluated by a donor
agency or by superior levels in your own organization. You may be in the middle, having a project
or activity of a subordinate unit being evaluated by an external donor or by a higher level office in
your own government or agency.

Levels of Evaluation

One way to determine who does what and when is to consider levels of evaluation.
Evaluation can be at four levels: input, product, primary impact, and secondary impact. Some refer
to these levels as input, output, result, and impact (See Figure 5-3).

INPUT includes finance, personnel, equipment and land, and commodities-all elements
that can be measured by a standard unit, money. These make up activity cost against which
returns can be compared. Management elements, however, have no standard measure. They
include activity planning and strategy, timeliness and quality of operations, quality of personnel,
relevance of project, and other such items.

OUTPUT (or PRODUCT) is what you get
directly from the project. It results from combining There are four levels of evaluation-
the inputs. It can be embodied in a seed variety, tool, input, output, primary impact
machine, set of construction plans, or writing. It can and secondary impact.
be in the form of knowledge of an improved tech-
nology, such as fertilizer formula, fertilizer
placement, computer system, personnel appraisal, or budgeting accounting system. It can also be
in the form of skill-in placing fertilizer, in computer operation, in personnel appraisal, or in
keeping farm records. Knowledge and skill as well as hardware are products.

PRIMARY IMPACT (or RESULT) is what happens as a result of the output. Did farmers
adopt the new variety AND if so what has been the result on TOTAL production? A new variety may
increase yields 25 percent, but if only 3 percent of the farmers adopt it, it makes little difference. If 75
percent adopt it, the result (impact) will be significant. If 80 percent of your supervisory personnel
used good personnel appraisal techniques, what has been the result in your organization.

SECONDARY IMPACT is what happens as a result of the primary impact. If total
production is increased by 20 percent, has it had an effect on food prices, on the acreage planted
to that crop, on soil conservation, on land tenure or on human nutrition. If you have had success
with a personnel appraisal system, has that success had other consequences? The system may
have been adopted by other organizations, your turnover rate may be reduced, or the image of
your organization or institution may be changed.

Figure 5-3. Levels of Evaluation

IR-8 and the Green Revolution

Experience with IR-8 illustrates the evaluation levels.

Inputs-in terms of salaries, land and facilities, and other costs-can be measured accurately
and easily. Other inputs, such as planning, strategizing, and deciding are difficult to measure.
Breeders built on other work, in one sense an input, but there is no easy way to measure it. However,
the decision to use the earlier work and the strategy of how to use it are inputs. Implementation and
strategy are inputs.

Product, of course, was the new rice variety. It can be evaluated by a technical value system
in trials, laboratory tests, and on farms. Product can be credited directly to the inputs, but attribution
of cause among the inputs is difficult.

Primary impact (result) of IR-8 was a substantial increase in rice production. However, it
cannot all be attributed to the breeding project. IRRI had training programs, and governments sup-
ported a variety of programs to make fertilizer, pesticides, and credit available and to guarantee
prices. Attributing cause among different programs and activities is difficult.

There are several secondary impacts. The "Green Revolution," triggered by IR-8 and the
Mex-Pak wheat varieties, caused changes in land tenure, rental practices, and labor opportunities as
productivity increased. Eating habits changed as rice became plentiful and cheap. Demand for
machinery increased and led to improved designs for rice equipment. Success of these varieties led
to the formation of the world network of international agricultural research centers and a substantial
increase in research investment, not only in the IARCs but also in many countries. The research
process gained credibility as starvation was averted by the green revolution.

Each impact, as well as the total impact, can be evaluated. Green Revolution evaluators have
been oriented to different values and thus have focused on different aspects. Some value plentiful
and cheap food; others value employment security and equity in farming areas. Currently,
environmentalists are evaluating according to their values. All evaluations are legitimate.

Evaluation Matrix

Figure 5-4 shows the evaluation process against the levels of evaluation. It is not designed
to be filled in. Its value lies in showing the scope of evaluation and how components fit together. It
helps you to define your evaluating task and to avoid confusion and frustration.

It will also help answer the question of who does what and when. Many persons have interest
in a program, and there will be different value systems involved. Not all of the interests and value

systems will be the same as yours; some will not even be compatible. You will, at times, find it
necessary to evaluate your work according to the value systems of others, and sometimes according
to the time table of others. You will also find others evaluating you-sometimes with your
collaboration, but not always.

System Metric Sensing Analysis



Figure 5-4. Evaluation Matrix

"What" to evaluate grows from management's need. That can be your need, but it can also
be the finance agency management's need, whether an international donor, a legislature, or a private
grantor. Your need sometimes is derived from their need. Much writing and discussion of evaluation
assumes a donor project. However, its value extends far beyond a project to the complete range of
management decisions and actions: Should I hold a field day? Should we organize a picnic for
employees? Should I start a newsletter for employees? Should we computerize our administrative
records? And 1,001 others. The before, during, and after evaluation model is useful for all
management decisions and actions, from holding a staff meeting to strategic planning. Plan, monitor,
and evaluate.

Designing the Evaluation

Ideally, evaluation is designed during planning and is used to decide on objectives and to
choose from alternative actions. If it has not been designed, design it. It is not too late. Either you
want the evaluation OR you are being evaluated. If the latter is the case, you may expect a friendly,
neutral, or adversarial evaluation. KNOW what to expect and have an evaluation design. It will help
you control your own fate. You do this by reconstructing your ex ante evaluation. There was always
some kind of ex ante evaluation done, even though it may have been intuitive and superficial. From
actions already executed, achievements already made, knowledge of earlier conditions, and
interviews and group discussions with participants, you can INFER the components of an evaluation
design. A "reconstructed" evaluation design will serve you better than a standard or objective design

selected or devised by "disinterested" evaluators. It will show good management, will influence the
evaluation, and will help you to analyze the evaluation. Use the same pattern you would use in an
evaluation design made during planning, and keep it simple.

Values Involved

Values involved are those attributes of a process, product, or impact that are valued and the
criteria by which each is valued. For a machine, weight, complexity, and cost are attributes, but
criteria vary among users. Seldom is a single variable involved. A new sorghum variety is valued
both for its yield and its cooking quality and taste, and perhaps by its maturity date. Each of these
attributes are valued, but seldom do all criteria show the same value. Thus, attributes and criteria
almost always have to be reconciled. In some cases, higher grain prices are valued; in others, lower
food prices are valued. Low cost will be more important in some cases than in others. Income may
be valued by several criteria-total income, family income, labor income, income-per-land unit. In
selecting values, you may have a difficult time separating attribute and criteria. Don't worry about

In dealing with values, it is useful to set a target, such as a 25 percent increase in yields, or
a 10 percent increase in production, rather than simply "higher" yields or "higher" income.


We can almost never measure a value directly, and so, we use indicators that can be
measured. Thus, we use the term "metric." For example, automobile buyers value comfort and
safety, but these attributes cannot be measured. They also value fuel economy. Weight is an
indicator of all three automobile attributes, and it can be measured. Some buyers will value fuel
economy higher than comfort. Thus, weight does not have a single meaning. For some purposes this
confusion does not matter, and "weight" itself is a value, an intermediate value that serves a higher

Metric can be thought of as the scale that measures the indicator. Scales come in at least three
forms. Ordinal scales compare specimens as more, less, bigger, smaller, better, or sweeter, but they
cannot tell how much more, bigger, sweeter, or better the specimen is.

Ratio scales measure in ratios, such as weight per acre, per hour of labor, or pound of seed;
income per hour or per year; miles per hour; or dollars of return per dollar of cost. Ratio scales can
be precise and can be constructed in whatever way is useful. Sometimes their precision is greater
than their meaning, but that precision is a measure of the indicator itself, not a measure of how well
the indicator reflects the value. Data availability and accuracy may be a problem.

Interval Scales fall between the ordinal and the ratio scales. Our common scales, degrees,
grams, pints, dollars, feet, and kilometers are interval scales. Data are usually gathered in interval
scales, many of which are standard. Data from the standard interval scales are known as quantitative
data and provide no valuation. We can devise interval scales and, by using them, convert qualitative
data into quantitative data. It is commonly used to collect judgments-poor, fair, good, very good,
excellent-and to give each a number weight, usually one to five. Such a scale can be used "to
measure" beauty, opinion, skill, taste, importance, quality, usefulness, or other attributes that cannot
be measured by a standard interval scale. It is used for certain athletic events. In a race, the
participant can be evaluated by standard interval scales. Divers or skaters are evaluated by combined
judgments of several persons on a scale from 1 to 10. This sort of interval scale is one way to
discipline intuition and to make use of the "combined judgment of wise persons." This technique
can be used in several ways. See Decision Matrix (Chapter 7) and Combined Judgment (Chapter 2).


Sensing is the term used for observation and the gathering of data and information on the
metric. There are numerous data sources, some published and available. Some are timely. But much
is not easily available, and you may have to search for it and gather your own data. Yield data are
not available except in gross average terms. Qualitative data are rarely available in a useful form.
Some, but not all, qualitative data are easier to obtain than quantitative data are. The sensing required
for a metric may be difficult or not feasible, and you may need to select another metric. There is risk
involved in choosing a metric on the basis of ease in obtaining data, but sometimes we are almost
forced to take that risk.

We seldom "measure" the entire item that we intended to measure. We measure parts of it
and use those parts as indicators, or surrogates, for the total. There is no metric for general
knowledge level, so some elements have been chosen as indicators of knowledge level. Standard
tests on these elements have been devised. Over time, students have learned to study for the tests.
So the metric has become the de facto value. Number of publications is one metric for scientific
competence and is used to evaluate researchers. The metric has become the value system, and
publication strategy isjust as important as research competence for some researchers. The metric and
means of sensing sometimes becomes the norm.

Another danger is that data on an indicator may measure attributes other than the one you
really value. Yield may be measuring weather and other aspects of the environment as much or more
than the value of a practice or variety.

Analysis and Decision

In some cases, the data on the metric is precise, and the relationship between value, metric,
and sensing is so good that, once you have data and statistical analysis, your evaluation is complete.

If you want yield of 4,000 kilograms per hectare, a maturity date of 100 days, and consumer
acceptance equal to or better than competing varieties, evaluation is relatively easy. Such precision
and relationship is not possible for many agricultural programs. This is largely due to factors that
simply cannot be controlled by program management. In these cases, you need to analyze the
external factors for their effect on your program. Even success beyond expectation may be due to
non-program factors.

An open house or field day at the station could be affected by weather or some other event
that would make your first evaluation criteria almost meaningless. A well-planned and -executed
extension campaign may not meet your value targets. Or conversely, it may have met your targets
even though there were problems in management.

Another need for analysis arises when various values are involved with your program doing
well on some but not on others. You need to judge and weigh the positive and negative factors.

It is useful in all evaluations to identify external factors that may have helped or hindered the
project. In many cases, the best you can do is to make a judgment as to their effects or to make a
judgment on the value of targets accomplished and not accomplished. Combined judgments are
almost always better than individual judgments. Even if it's your judgment and the manager is
responsible, combined judgments can be a useful input into your judgment.

Implementing the Evaluation

Seldom can you do an evaluation that is neat, orderly, and systematic. Implementation or
operationalization of the concepts almost always presents some challenges. A Zambia Research
Project, evaluated two years into the project by external evaluators, presents four evaluation
implementation situations. The design as well as the implementation of the evaluation was left to
the evaluators. Some value elements were implied, but not made explicit, in the scope of work. Four
components presented distinct situations.

The Farming Systems Research (FSR) component had not had enough time to produce an
output. All that could be evaluated was input. The FSR experience was limited, and there was
significant disagreement about methodology. Deciding on factors and criteria was difficult, even if
possible, and metric and sensing must flow from the value system. The evaluators resorted to raw,
undisciplined intuition. Much evaluation is done this way.

The training component presented a different situation. Thirty students had been sent for
M.S. training. That was input. There had been enough experience with training that it was no
problem to evaluate the input, that is, the efficacy of selection, processing, and placement of
students. The experience could also be used to project output. Few students fail. Potential impact

could also be anticipated. It needs to be recognized that these analyses were about the same as ex
ante evaluation.

The sunflower component presented another type of situation. Sunflower was planted on land
that had no alternative use (Zambia had more land than could be tilled.) with labor that had no
opportunity cost (in a slack period in the cropping cycle). Sunflower would compete with weeds,
would not shatter when mature, and could wait until harvesting labor had no opportunity cost. Yields
were low, but costs were virtually zero. Its value was the "fit" in the system, not the values
associated with conventional research, so research strategy and design had to reflect the different

The soybean component was exactly opposite. Soybeans require a high level of management,
from seed inoculation through weed control to harvesting. The research aimed to develop varieties
that (1) would not shatter, (2) would compete successfully with weeds, and (3) needed no
inoculation; this was to be done with one breeder, with virtually no linkage to international expertise.
Strategy and research design are inputs. The value system would include chance for success, payoff
if successful, and time for payoff. It is quite clear that chance for success is not great and time for
payoff will be great. So payoff would have to be very high to warrant this research. This is also
virtually the same as ex ante evaluation.

Design Considerations

1. A specific design is needed for each evaluation and perhaps for each component. You
can use ingredients from other designs, but each design must fit your task. By
thinking through the design, using the four evaluation components, you will save
time and improve the evaluation.

2. Time determines what you can evaluate. We can now evaluate the project that
produced IR-8 in all its aspects-inputs, product, and primary and subsequent
impacts. But good management requires a stream of evaluations long before all
results have been achieved, and these evaluations need to produce some expectation
of product and impact.

3. Projection of probable results and impact can and must be made before they are
realized. Some projection is easy, such as projecting the product of sending 30
students to obtain an M.S. degree (Zambia). Most are more difficult, even for experts,
and the best one can expect is an estimate of probability. Probability for IR-8 may
have been easier to estimate than the probability of the desired soybean variety in

4. Anticipation of these situations during
planning or ex ante evaluation makes Evaluation is a continuous activity.
monitoring and subsequent evaluation Projects are evaluated before (ex
easier. It also improves planning. How- ante), during (monitoring), and
ever, ease of evaluation as a planning after (ex post) implementation.
criterion introduces risks.

5. The relationship between evaluations-ex ante evaluation and monitoring, input, and
subsequent evaluations are emphasized by these considerations. An important
function of early evaluations is to revise ex ante evaluation and to suggest
modifications in plan and input. The evaluator can select, discard, and recombine
elements for achieving objectives. This re-examination of the ex ante evaluation
needs to include a review of the context of the project being evaluated. This includes
its social system and traditions, its value system, resources, and other cultural factors.

6. Evaluation by intuition may be needed in some cases and should not be dismissed
lightly. Objective evaluation of the Columbus voyage, until land was sighted, would
not have been as good as the manager's intuition. However, you do not have to rely
on raw intuition. It can be disciplined by requiring, of yourself or an external
evaluator, that the evaluation components be specified. Specifying these elements
protects against personal attitudes and passions.

7. Personnel of the project or activity being evaluated can participate in the evaluation,
as a part of overall management. They have unique knowledge and insights and are
the most important actors in post-evaluation implementation. Well-managed, the
evaluation can control for personnel bias and self-interest and can take advantage of
the knowledge, insights, and ideas of personnel.

There is a relationship between activity evaluation and personal performance
appraisal. In neither case is the person being evaluated. Personal performance is one
element of project achievement, but it is influenced by other elements. It is important
to distinguish personnel from other elements.

8. Profit, either as an involved value or metric, is not useful in evaluating an enterprise.
It is little more than a global measure of financial status. A "good" profit may be well
below the potential just as a "bad" profit may be above what should have been
expected. Profit alone does not tell what caused it, or what prevented it, and thus
gives no guidelines for decisions and actions.

Managing the Ex Post Evaluation

The four management functions provide a useful structure. You will even need to monitor
and evaluate the management of the evaluation. Although one will discover ties between ex ante and
ex post evaluations, we address ex post in this chapter and ex ante in Chapter 7, Planning.

Evaluation Objective

The situation in which you find yourself, how you got there, and what you want to
accomplish are issues you need to face. They may be so interrelated that you deal with them all at
once. You could find yourself in one of several situations. You may have observed problem in your
operations that needs to be solved, and thus, you may need information and analysis. You may not
have a specific problem but think that there is need and opportunity for improvement in both
efficiency and effectiveness. You may need to demonstrate the value of your program and
accomplishments to funding agencies. You may have a problem project that is being evaluated by
some external group. You may be faced with a routine project evaluation by a funding agency. Your
first step is to identify your situation, find out how and why you got there, and decide what you need
to accomplish. An analysis of your situation and how you got there helps you decide how to achieve
your objective.

The following guidelines will be helpful.

1. Determine WHY you are evaluating. This will help you be more effective, and it will
help to simplify the task. Is it your own motivation, or is someone pressing you?

a. WHO is the audience for the report. It could be you, personnel of a program,
all personnel, all technical personnel, all your administrative personnel, your
superior officer in the institution, an entity that provides you enabling
linkage, a donor, the legislature, or the general public through press and
radio. Or it could be a combination of some of these.

b. Decide WHAT you want the evaluation to do to or for that audience. If the
audience is you, do you want to know the result or impact or whether you did
things the right way? Do you want insights into how to manage better? If it
is for your staff, what do you want to happen? Do you want the evaluation to
help them decide what research to undertake? Improve the way they manage
their research? Learn better
ways to do something?
Take management responsi- It is as important in evaluation to have
abilities more seriously? If it a plan and an objective as it was to
is for someone in the Minis- plan the activity being evaluated.
try, do you want them to _

increase funds for that research? Increase funds for additional research?
Assist you with linkage with others? Help you to get a donor to renew
funding for a project?

2. Determine or discover what is of interest to that audience, in what concepts do they
think. A donor, for example, may be interested in economics, as may be the planning
office. Some audiences will think in political terms-who or what areas are
benefited? Your own staff will have different concepts. For some purpose, help to the
farmer may be the orienting concept. For others, it may be technical quality of the
work. For still others, administrative neatness may be the dominant concept.

3. Decide on the objective. This decision in an evaluation is as important as deciding
on objectives for any endeavor. Objectives of evaluation, as in research, can be
rooted in identification of problems, in goal achievement, or in opportunities not yet
realized. Propositions or hypotheses about the reasons for unrealized expectations are
potential causes for the situation. Objectives then suggest what needs to be done to
determine if the causalities indeed are real and what may be causal in providing for
a resolution to the concerns. Do not expect to accomplish the objectives completely.
Their utility lies in helping you to think through the task and in communicating it to

Alternative Models Applied to Evaluation

Intuition and Judgment are perhaps the most valuable evaluation tools. The difficulties in
relating causes) to effect are often a result of inadequate information, including data, for an
objective evaluation. ". While there is controversy over certain techniques, there is little
disagreement about the fundamental soundness of methods of evaluating research based on
consensus of experts." (McLean, 1988) Farmers could be included among the experts. What is true
of research is true of any other activity. Specify your objectives and the values and criteria in which
you are interested, and ask the evaluators to come to terms with them. The next best tool is to require
the experts to identify the criteria that they are using. Recognize also that the selection of experts is
a judgment, sometimes based on intuition. See "Combined, Scale Judgment" (Chapter 2) and
"Decision Matrix" (Chapter 7) for ways to discipline intuition.

The Objectives Accounting Table is a form by which participants in a project can report to
you (Figure 5-5).

Dates by
Which to Factors Factors
Achieve What Was Impeding Promoting Actions
Objectives Objectives Achieved? Progress Progress Planned

Figure 5-5. Objectives Accounting Table

It can be used (1) for reports to you from subordinate managers to help you monitor progress, (2)
by the activity manager to help in evaluating activity status, situation, and alternative actions for the
managers own purposes, and (3) by external evaluators to give the activity manager an opportunity
for self-evaluation and for having both factual and judgmental input into the evaluation. It also gives
attention to factors external to the project.

The checklist, described by Nestel (1989), is another alternative. This instrument has to be
designed for each task. It asks a list of questions in several categories that are relevant both to the
purpose of the evaluation and to the project or activity being evaluated. It is designed to elicit
opinions and judgments of competent persons in a manner that is structured and that is common to
all evaluators. The checklist is a device that helps to prevent leaving out an important item. (See
Chapter 2.) This checklist is in the form of questions (What was the objective? How was it
established? What was achieved? What problems were encountered?), rather than items simply to
be checked off.

Evaluation Examples

It is easier to conceptualize evaluation elements than it is to design and implement an
evaluation. There are at least three problems. These can be identified in Tables 5-1 and 5-2.

1. One problem is to distinguish the functions in the evaluation process. Often the same
thought can be used either as a metric or value involved. For example, chance for
success is a value or criterion. The metric is a probability, and sensing is a probability
estimate. Conceptually, they can be distinguished. In practice, the distinction is not
worth spending much time on.

Table 5-1. Activity Proposal Evaluation Matrix

Component Value Involved Metric Sensing

Problem identification
and Activity Selection





Procedure and

Technical Feasibility

Personal and
Resources are

Chance of Success




Number of Potential

Types of Users

Value to Average User

Effectiveness in
Solving Problem

Percentage of Clients
Who Would Accept

Ease of

Number and
Qualification of Staff

Equipment, Finance,

Probability Estimate

Result/Cost Ratio

Projected Cost

Opportunity Cost

Data or

Knowledge, Judgment

Knowledge, Technical
and Group Judgment

Group Judgment

Date, Analysis
and/or Group

Technical Managerial

Personnel Inventory
and Analysis



Cost, Value Estimate
of Result; Judgment

Budget Estimate

Analyze Alternative

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