• TABLE OF CONTENTS
HIDE
 Title Page
 Action memorandum for the acting...
 Project authorization
 Table of Contents
 Project paper design team
 List of people consulted
 Project abstract
 Abbreviations
 Background
 Project description
 Project analysis
 Financial plan
 Implementation plan
 Evaluation plan
 Conditions, covenants and negotiating...
 Annexes






Group Title: Zambia : agricultural development, research and extension (611-0201)
Title: Zambia
CITATION PAGE IMAGE ZOOMABLE PAGE TEXT
Full Citation
STANDARD VIEW MARC VIEW
Permanent Link: http://ufdc.ufl.edu/UF00072249/00001
 Material Information
Title: Zambia agricultural development, research and extension (611-0201)
Alternate Title: Agricultural development, research and extension (611-0201)
Physical Description: 1 v. (various pagings) : ; 28 cm.
Language: English
Creator: United States -- Agency for International Development
Publication Date: 1980
 Subjects
Subject: Rural development projects -- Zambia   ( lcsh )
Agricultural extension work -- Zambia   ( lcsh )
Genre: non-fiction   ( marcgt )
Spatial Coverage: Zambia
 Notes
General Note: Cover title.
General Note: "Unclassified."
General Note: Typescript.
Funding: Electronic resources created as part of a prototype UF Institutional Repository and Faculty Papers project by the University of Florida.
 Record Information
Bibliographic ID: UF00072249
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 - 76891331

Table of Contents
    Title Page
        Title Page 1
        Title Page 2
    Action memorandum for the acting administrator
        Page 1
        Page 2
        Page 3
    Project authorization
        A 1
        A 2
        A 3
        A 4
        A 5
    Table of Contents
        A 7
        A 8
    Project paper design team
        A 9
    List of people consulted
        A 11
        A 12
    Project abstract
        B 1
    Abbreviations
        A 13
        A 15
    Background
        B 2
        Agriculture in the Zambian economy
            B 2
            Factors affectiing agricultural performance
                B 2
                B 3
        Present agricultural research and extension
            B 4
            B 5
            B 5a
            B 5b
            B 6
            B 7
            B 8
            B 8a
            B 8b
            B 8c
    Project description
        B 9
        Summary of proposed goal, purpose and outputs
            B 9
        Project activities
            B 10
            B 11
            B 12
            B 13
            B 14
            B 15
            B 16
            B 17
    Project analysis
        B 18
        Technical analysis
            B 18
            Background
                B 18
                B 19
                B 20
                B 21
                B 22
                B 23
                B 24
                B 25
                B 26
                B 27
                B 28
                B 29
                B 30
                B 31
                B 32
                B 33
        Social analysis
            B 34
            B 35
            B 36
            B 37
            B 38
            B 39
            B 40
        Administrative analysis
            B 41
            B 42
            B 43
            B 44
            B 45
        Environmental concerns
            B 46
    Financial plan
        B 47
        Summary of aid project budget
            B 47
        GRI contribution
            B 48
            B 49
        Summary financial tables
            B 50
            B 51
            B 52
            B 53
            B 54
            B 55
    Implementation plan
        B 56
        Role of the university contractor
            B 56
        Construction procedures
            B 56
        Procurement
            B 57
        Proposed calendar of events
            B 58
            B 59
            B 60
    Evaluation plan
        B 61
        Annual project evaluation summary (PES)
            B 61
        Mid-term formative evaluation
            B 61
        End-term summative evaluation
            B 61
    Conditions, covenants and negotiating status
        B 62
        Conditions precedent
            B 62
        Covenants
            B 62
        Negotiating status
            B 63
    Annexes
        C 1
        Annex A: logical framework
            C 2
            C 3
            C 4
            C 5
        Annex B: technical assistance/team job descriptions
            C 6
            C 7
            C 8
            C 9
            C 10
            C 11
            C 12
            C 13
            C 14
            C 15
            C 16
        Annex C: ARPT methodology and workplan
            C 17
            C 18
            C 19
            C 20
        Annex D: current MAWD staffing for research and extension divisions
            D 0
            D 1
            D 2
            D 3
            D 4
        Annex E: supplementary financial tables
            E 0
            E 0a
            E 1
            E 2
            E 3
            E 4
            E 5
            E 6
            E 7
            E 8
            E 9
            E 10
            E 11
            E 12
            E 13
            E 14
            E 15
            E 16
            E 17
            E 18
            E 19
            E 20
        Annex F: statutory checklist
            E 21
            E 22
            E 23
            E 24
            E 25
            E 26
            E 27
            E 28
            E 29
            E 30
        Annex G: PID approval cable
            E 31
            E 32
        Annex H: waivers
            E 33
            E 34
        Annex I: draft authorization
            E 35
            E 36
        Annex J: initial environmental examination
            E 37
            E 38
            E 39
        Annex K: GRZ letter of request
            E 40
Full Text




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-73. it/


ZAMBIA


AGRICULTURAL DEVELOPMENT, RESEARCH
AND EXTENSION (611-0201)


UNCLASSIFIED


X-i"l
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SIP Ii 9 29AP 'An


:AEC1TiE SECHETAPR'A'
SEP I01990


ACTION MEMORANDUM FOR THE ASSISTANT ADMINISTRATOR FOR AFRICA

FROM: AAA/AFR/DR, 7Johnl. uttlrlug


Problem: Your signature is required for the attached Action Memorandum
to the Administrator recommending a grant of $12,515,000 from the
Section 531, Economic Support Fund appropriation, to the Government of
the Republic of Zambia (GRZ) for the Zambia Agricultural Development
Research and Extension Project (611-0201). It is planned that a total
of $3,000,000 will be obligated in FY 1980.

Discussion: The purpose of the project is to assist the Government of
the Republic of Zambia in strengthening the agricultural research
capacity of the Ministry of Agriculture and Water Development and in-
creasing the effectiveness of the extension service in transferring
relevant agriculture technology, with special emphasis on small farmers.
The life-of-project funding of $12,515,000 will be expended over a five
year period. A waiver is requested in the amount of $260,000 for the
procurement of Code 935 vehicles. A justification is contained in
Annex H of the Project Paper. The IEE was approved at the time of PID
approval. The proposed project has been thoroughly reviewed by the
appropriate committees and the analyses were found to be acceptable in
all respects.

Recommendation: That you sign the Action Memorandum to the Administrator
recommending authorization of the project and the requested waiver. Also,
please clear the Project Authorization (Attachment A).
Attachments:
1. Action Memorandum for the Administrator
2. Project Authorization



Clearances:
DAA/AFR:WHNorth,,.-
AFR/DR:NCohen C.
AFR/SA:MDagata / /
AFR/SA:RWrin (-
AFR/DRARD: BWhittle (draft)
AFR/DR/SDP:JHester (dr
AFR/DR/ENG: FZobrist
GC/AFR:NFrame (draft
SER/COa/ALI:PHagan phone )
AAA/AFR/DP:RStacy f-

AFR/DR/SAP:W : of:bjs:8/26/80:x28818









18 SEP 1980


ACTION MEMORANDUM FOR THEJADMINISTRATOR

THRU : ES

THRU : AA/PPC, Mr. Alexander Shako

FROM : AA/AFR, Goler T. Butcher

SUBJECT: Project Authorization b a Agricultural Development,
Research and Extension (611-0201)


Problem: Your approval is required for a grant of $12,515,000 from the
Section 531, Economic Support Fund appropriation, to the Goverrment of the
Republic of Zambia (GRZ) for the Agricultural Development, Research and
Extension Project (611-0201). It is planned that a total of $3,000,000
will be obligated in FY 1980.

Discussion: The proposed Zambia Agricultural Development, Research and
Extension Project represents A.I.D.'s response to a critical need for
increasing food production in rural areas of Zambia. The project will
contribute to the goal of improving the welfare of small farmers and
increasing national food production through the development and adaptation
of relevant technologies. The purpose and principal focus of the project
is to assist the GRZ in strengthening the agricultural research capacity
of the Ministry of Agriculture and Water Development (MAWD) and increasing
the effectiveness of the extension service in transferring relevant
agricultural technology, with special emphasis on small farmers.

The project will provide the resources required to increase the small
farmer production of oilseed crops (sunflower and soybeans) and maize in
the Central Province of Zambia, as well as improving the understanding and
knowledge base of small farmers by focusing research extension activities
on small farmers' needs.

In order to accomplish the purpose and objectives of this project, a total
of $3,000,000 is requested for obligation in FY 1980. The life-of-project
funding is $12,515,000, which will be expended over a five-year period.
The following table illustrates the specific areas in which funds will be
required.

($000s)
FY 1980

FX L/C Total L.O.P
Technical Assistance 1,053.0 1,053.0 5,223.0
Training 250.0 10.0 260.0 2,662.0
Commodities 607.0 136.0 743.0 834.0
Construction 405.0 405.0 405.0
Other* 191.0 348.0 539.0 3,391.0

Totals 2,101.0 899.0 3,000 12,515.0

* Includes inflation, contingency and budget support in meeting operating
expenses on a declining scale. /
*) / 3 Z ? _







-2-


The GRZ will contribute the equivalent of $4,255,700 or 25.2 percent of
the total project costs. This contribution will cover salaries and housing
costs of GRZ officials in training, operational expenses on an increasing
scale, costs of land for the research stations and the houses to be
constructed.

It has been concluded from the analyses included in the project paper
that:
(1) the project approach is technically and economically sound
and socially acceptable;

(2) the technical design and cost estimates.are reasonable, and
adequately planned, thereby satisfying the requirements of Section
611(a) of the Foreign Assistance Act of 1961, as amended;

(3) the timing and funding of project activities are appropriately
scheduled;

(4) sufficient planning has been done for the implementation,
monitoring and evaluation of project progress; and

(5) all statutory criteria have been satisfied.

The Initial Environmental Examination, which can be found in Annex I of
the Project Paper, has been thoroughly reviewed by my staff, and the
negative determination for this project was.approved at the time the
PID was approved.

There are two conditions precedent which must be met. They are:

1. Prior to any disbursement, or to the issuance of any commitment
documents under the Project Agreement to finance each construction
activity, the GRZ will furnish, in form and substance satisfactory to AID,
a) evidence that suitable sites have been allocated for such construction
activity, and b) appropriate plans and specifications, cost estimates
and time schedules for carrying out such construction activity.

2. Prior to any disbursement, or the issuance of any commitment documents
under the Project Agreement to finance commodities, other than vehicles,
the Cooperating Country shall furnish to A.I.D. the following information
on all pesticides to be used on the MAWD research stations in connection
with this project: (a) generic names of pesticides; (b) manufacturers'
toxicological and environmental data; and (c) recommendations for tolerances,
rates, frequency of application and preharvest intervals as established by
U.S.E.P.A. or FAO/WHO.


There are eight covenants which can be found in the attached project
authorization (Attachment A).















The following waiver is required:

- Waiver of the source and origin requirements from A.I.D. Geographic
Code 000 (U.S.) to Code 935 (Special Free World) for the procurement of
12 project vehicles, one tractor, and 52 motorcycles which have an
approximate host of $260,000. The justification for this waiver can be
found in Annex H of the Proje6t Paper (AttaChment B).

It was intended that this project be designed in .final form and implemented
under the Title XII Collaborative Assistance Mode. However, there
proved to be insufficient time for the Title XII selection procedures to
be completed early enough to permit project authorization and obligation
in FY 1980. Instead, AID/W used an existing Cooperative Agreement with
a U.S. university (Michigan State) to undertake preparation of the
Project Paper. To implement the project, a direct AID-university
contract is proposed, with a source list of eligible universities to be
drawn up by the AID Project Committee based, on recommendations from,
inter alia, the GRZ, USAID/Zambia, REDSO/EA, and BIFAD.

The Project Review was held on August 8, 1980. The ECPR Meeting was
held on August 12, 1980. There are no unresolved issues. A Congressional
Notification advising Congress of a program change was forwarded on
September 8, 1980, and the waiting period wi1 .wpita nm SeAtember 23.
1980. The responsible A.I.D. Officer in the field will be the A.I.D.
Representative, or his designee, and the AID/W backstop will be Alfred
Harding, AFR/DR/SAP.

There are presently no significant human rights issues in Zambia.

Recommendation: That you sign the attached Project Authorization and
thereby authorize the proposed project and the requested waiver.

Attachments:
1. Project Authorization
2. Project Paper






Clearances /AA
GC:NHolmes qr.
AAA/PPC/PDP: JEriks son
GC/AFR:EDragon
DAA/AFR:WHNorth-


AFR/DR/SAP:A arding:bjs:8/26/80:x28818





UNITED STATES INTERNATIONAL DEVELOPMENT COOPERATION AGENCY
AGENCY FOR INTERNATIONAL DEVELOPMENT
WASHINGTON. DC. 20523



PROJECT AUTHORIZATION


Name of Country: Zambia

Name of Project: Agricultural Development,
Research and Extension

Project Number: 611-0201


1. Pursuant to Sections 531 and 533 of the Foreign Assistance Act
of 1961, as amended (the "Act"), I hereby authorize the Agricultural
Development, Research and Extension Project for Zambia (the
"Cooperating Country") involving planned obligations of not to
exceed $12,515,000 in grant funds over a five-year period from
date of authorization, subject to the availability of funds in
accordance with the AID OYB/allotment process, to help in financing
foreign exchange and local currency costs for the project.

2. The project consists of the provision of technical assistance,
training and commodities to assist the Cooperating Country in its
efforts to strengthen the agricultural research capacity of the
Ministry of Agriculture and Water Development (MAWD) and increase
the effectiveness.of the extension services in transferring
relevant agriculture technology to small farmers. The assistance
will specifically support the national Commodity Research Teams in
Oilseeds and Cereals/Grains, an Adaptive Research Planning Team
(ARPT) in one region, and the extension service.

3. The Project Agreement which may be negotiated and executed by
the officer to whom such authority is delegated in accordance with
AID regulations and Delegations of Authority shall be subject to
the following terms and covenants and major conditions, together
with such other terms and conditions as AID may deem appropriate.

4.A. Source and Origin of Goods and Services

Goods and services, except for ocean shipping, financed by AID
under the project shall have their source and origin in the
Cooperating Country or in the United States, except as provided in
paragraph D. below and except as AID may otherwise agree in writing.
Ocean shipping financed by AID under the project shall, except as
AID may otherwise agree in writing, be financed only on flag vessels
of the United States.

B. Conditions Precedent

(1) Prior to any disbursement, or the issuance of any
commitment documents under the Project Agreement to
finance each construction activity, the Cooperating








-2-


Country will, except as the Parties may otherwise agree
in writing, furnish in form and substance satisfactory
to AID:

(a) plans and specifications, cost estimates, and time
schedules for carrying out such construction activ-
ity; and

(b) evidence that a suitable site has been allocated
for such construction activity.

(2) Prior to any disbursement, or the issuance of any
commitment documents under the Project Agreement to
finance commodities, other than vehicles, the
Cooperating Country shall furnish to A.I.D. the
following information on all pesticides to be used-on
the MAWD research stations in connection with this
project:

(a) generic names of pesticides;

(b) manufacturers' toxicological and environmental
data; and

(c) recommendations for tolerances, rates, frequency of
application and preharvest intervals as established
by U.S.E.P.A. or FAO/WHO.

C. Covenants

(1) The Cooperating Country shall covenant to provide on a
timely basis a professional counterpart to each of the
seven U.S. technical advisors furnished under the pro-
ject.

(2) The Cooperating Country shall covenant to provide suit-
able housing prior to the arrival of the U.S. techni-
cians in Zambia.

(3) The Cooperating Country shall covenant to make available
qualified candidates for long-term academic training in
the U.S. and to ensure by bonding or other means that
such trainees are assigned upon their return to suitable
positions within the Ministry of Agriculture and Water
Development and required to carry out assignments
related to activities under this project, unless AID
otherwise agrees in writing. The period of required
service will be equal to twice the duration of the
training financed under the project.








-3-


(4) The Cooperating Country shall covenant that the equip-
ment and motorcycles procured under the project will be
exclusively used for project activities, unless AID
otherwise agrees in writing.

(5) The Cooperating Country shall covenant that use of all
vehicles, other than motorcycles procured under the pro-
ject, will be under the supervision and direction of the
U.S. technical assistance team leader and the MAWD Di-
rector of Agriculture or their respective designees.

(6) The Cooperating Country shall covenant that housing con-
structed under this project shall be used solely for
AID-financed technicians under the project or upon
completion of this project by AID-financed technical "
assistance personnel assigned to other projects in
Zambia until and unless AID otherwise agrees in writing.

(7) The Cooperating Country shall covenant that it will pro-
vide the project with a rural sociologist on a regular
consulting basis to work with the ARPT in the execution
of its programs.

(8) The Cooperating Country shall covenant to share with
AID, vehicle fuel and maintenance costs under the pro-
ject, according to the sliding scale formula set forth
in Annex E-8 of the project paper.

D. Waivers

Based upon the justification in Annex H of the Project Paper, I
hereby:

(1) Authorize a waiver from AID Geographic Code 000 (U.S.)
to Code 935 (Special Free World) to permit procurement
of 12 project vehicles, one tractor and 52 motorcycles
at an approximate cost of $260,000;

(2) Certify that exclusion of procurement from Free World
countries other than the Cooperating Country and coun-
tries included in Code 941 would seriously impede at-
tainment of U.S. foreign policy objectives and objec-
tives of the foreign assistance program; and
(3) Certify that special circumstances exist to waive, and
do hereby waive, the requirements of Section 636(i) of
the Act.








-4-


Date: I/ f/f


Clearances:
GC:NLHolmes
AA/AFR:GTButcher
AA/PPC:AShakow


Douglas J. Bennet(2Jr.
Administrator

TrFdate9J 1
d-l date to
nEdate
_r^^T^ -'a'V^^T


GC/AFR:NF~me:ckg:8/14/80:X23808









Appendix 5A to HB 3, Part I
(T7 3;19)


I. TRANSACTION LOIE
AGENCY FOR IHTEhNATIONAL DOVEC.OS-.NT A *Ao PP
SC CHANCE
PROJECT PAPER FACESHEET 0C oD- t .
3
3. COUNTRY/CNTITY 4. DOCUMENT REViS.O* NUMBER
ZAMBIA T
L PROJECT NUMBER (7 digits) S. BUREAUoQPFCE 7. PROJECT TITLE (MAIAmw 40 rtrwarlr.s)
..,.MOOL .. coo -AGRICULTURAL DEVELOPMENT
L611-0201z AFR 6_ LC(RESEARCH & EXTENSION) "
8. ESTIMATED FV OF PROJECT COMPLETION S. ESTIMATED DATE OF OBLIGATION
A INITIat. V I l. QUARtTER
Cy 8 FINAL fPY (EL i ftr J.2. J. Io 4)
10. ESTIMATED COSTS ($000 OR EQUIVALENT SI I
FI' RST FY LIF OF PROJECT_
A. FUNDING SOURCE FIS. YLFoPRE
S P C. L/C TOTr rx r./C 4. TOTAL
AID APPROPRIATED TOTAL.
IGRAT^', (22.101)J ( 899) (3,000) :10,417 '2?.09 '17. 1 'l
ILOANI I I ,I )
OTHER '
U.S. .
MOST COUNTVRY 443 44 3 4,255 4,255
OTHER DO NO I ISI
TOTALS 2,101 1.342 3.443 I LL I 41 ..Fi353-_- A.770
It. PROPOSED BUDGET APPROPPIATCD FUND ISOOC)

A. APPRO PRIMARY PRIMARY TECH. CODE E. IST FY.JQ H.M &LY K. ]RD fy
PRIATION PURPOSE -. ....
PCOO CR. sAn T E LOAM I. GrAMT LOAM I GRANT J. LOAM L. GRANT M. LOAM

(i, ESF 181 070 .5 000. 2,00


I1,


TOTsAL


N. 4TH Fr 83


0 GRANT


0. LOAN


3,000
0. STH f---


N. GRAMT


S. LOAN


4,000
LIFl OF PROJECT


7. GAM*N U LOAN


II ESF 5,51 _2iiSi.
I)
IS


(4
TOTALS| I3, I.I ji2, b I
13. OATA CHANGE INDICATOR. WERE CHANGES MADE IN THE PIO FACESNEET DATA. BLOCKS I
FACCESM.ET DATA. BLOCK 12? IF Ye. ATTACH CHANGED PrI FACESIMET.


m I *NoQ

14. ORIGINATING OfICE CL.CRANCE
.. ..' ~ .. .


AID 12104 (**Te


ZJP.OlV
12. IN-OEPTH EVAL.
UATION SCHEDULE




I '1 I I
l7B 13


t. 13. 14, OR s1 OR IN BRP


(5. DATE DOCUMENT RECCElr.J
IN AIDO OR FOR AiC COCU
MLNTS. OATE OF DISTRIBUTION




m Do TV


A. APPROPRIATION


I A.Patterson A. Roe D.LDATE SIGNED
Representative !REDSO/EA. -oT^ 712rs. 8io


*-


I








TABLE OF CONTENTS


I.

II.

A.

B.

III,

A.

B.

IV.

A.

B.

C.

D.

.E.

V.

A.

B.

C.

VI.

A.

B.

C.

D.

VII.

VIII.


Project Abstract

Background

Agriculture in the Zambian Economy

Present Agricultural Research and Extension

Project Description

Summary of Proposed Goal, Purpose and Output

Project Activities

Project Analyses

Technical Analysis

Economic Analysis

Social Analysis

Administrative Analysis

Environmental Concerns.

Financial Plan

Summary of AID Project Budget

GRZ Contribution

Summary Tables

Implementation Plan

Role of the University Contractor

Construction Procedures

Procurement

Proposed Calendar of Events

Evaluation Plan

Conditions, Covenants and Negnt ting Status


1

2

2

4

9

9

10

18

18

32

34

41

46

47

47

48

50-55

56

56

56

57

58

61

62









TABLE OF CONTENTS (Contn'd)



ANNEXES


A. Logical Framework

B. Technical Assistance Team Job Descriptions

C. ARPT Methodology and Workplan

D. Current MAWD Staffing for Research and Extension
Divisions

E. Supplementary Financial Tables

F. Statutory Checklist

G. PID Approval Cable

H. Waivers

I. Initial Environmental Examination

J. Draft Authorization

K. GRZ Letter of Request












PROJECT PAPER DESIGN TEAM


Michael Bratton

George K. Dike

Carl Eicher

David Norman

Niels Roling


John Yohe



Morgan Gilbert

Calvin L. Martin

Ann Williams

John A. Patterson

Susan A. Johns


Ph.D, Political Science Department,
Michigan State University.

Ph.D; Michigan State University,
Agricultural Extension Specialist.

Ph.D, -Professor of Agricultural
Economics, Michigan State University,

Ph.D, Professor of Agricultural
Economics, Kansas State University.

Ph.D, Professor of Agricultural
Extension Information, Wageningen
University, The Netherlands.

Ph.D, Research Agronomist, AID/
Washington.


Design Officer, REDSO/EA-, Team
Co-Leader.
- Agricultural Officer, REDSO/EA, Team
Co-Leader.

- AID Regional Legal Adviser.

- AID Representative to Zambia.

- Team Secretary.









LIST OF PEOPLE CONSULTED


Mr.
Mr.
Mr.


Patterson
Hamamba
Namakando


Mr. Chibasa

Mr. Mukutu

Ms. Chungu
Mr. Mumba

Mr. Remba


Mr.
Mr.
Mr.
Mr.


Prior
Kean
Javaheri
Mutanga


Mr. Musonda

Mr. McPhillips
Dr. Ravagnan

Mr. Nyemba

Dr. Sandrhu
Mr. Sakufiwa

Mr. Vernon

Mr. Parker

Mr. Javanovich
Mr. Patel
Mr. Mulele
Mr. Rettie

Mr. Baxter
Mr. Winderix
Mr. Obiama
Dr. Nissly

Mr. Holland
Mr. Ter Horst

Prof. Mwanza
Dr. Ncube


- SAID
- Permanent Secretary, MAWD
- Deputy Director General, National
Commission for Development Planning
- Deputy Director of Agriculture
(Research), MAWD
- Deputy Director of Agriculture
(Extension), MAWD
- Director of Research, Mt. Makulu
- Department of Agriculture, Director,
MAWD
- Coordinator Foreign Assistance
Project, MAWD
- Ag. Research Officer, Mt. Makulu
- Agricultural Economist, MAWD
- Soybean Coordinator, Mt. Makulu
- Director, Department for Economics &
Technical Cooperation, National
Commission for Development Planning
- Principal, National Commission for
Development Planning (NCDP)
- Soil Scientist
- Director, National Oilseeds Devel-
opment Project
- Microbiologist, Mt. Makulu Research
Station
- Mount Makulu
- Director, Food Conservation Unit,
Mt. Makulu
- Weed Control & Tillage Unit, Mt.
Makulu
- Weed Control 4 Tillage Unit, Mr.
Makulu
- Maize Breeder, Mt. Makulu
- Maize Breeder, Mt. Makulu
Chief Crop Husbandry Officer, MAWD
Acting Chief Economist, Economic
Planning Unit, MAWD
FAO, Program Coordinator, Kabwe
FAO
- Project Officer, FAO
Head, Crop Science Dept. School of
Agriculture, University of Zambia.
Director, Family Farms
Liaison Officer, Research/Extension,
IBRD Rural Extension-In-Service Team
- Vice Chancellor, University of Zambia
- Head, Department of Economists,
University of Zambia










LIST OF PEOPLE CONSULTED


(Continued)


Dr. Evans

Dr. Collinson
Dr. Jiggins

Mr. Kale

Mr. Sikazwa


Mr.
Mr.
Mr.


Zimba
Chanda
Savory


Director, Rural Development Studies
Bureau, University of Zambia
- CIMMYT Nairobi
Research Fellow, Rural Development
Studies Bureau, University of Zambia
Officer -in-Charge, Magoye Regional
Research Station
Officer-in-Charge, Kabwe Regional
Research Station
Farm Systems Analyst, MAWD
Farm Systems Analyst, MAWD
Commercial Farmer







1.




I. PROJECT ABSTRACT


This project is a five-year activity which will
provide $12,515,000 in grant aid to the Government
of Zambia (GRZ) for technical assistance, commodities
and supporting costs to assist the Ministry of
Agriculture and Water Development (MAWD) in strengthen-
ing its agricultural research capacity and to increase
the effectiveness of the extension service in trans-
ferring relevant new agricultural technology to the
farmers of Zambia, with special emphasis on small
producers.

AID inputs will consist of seven long-term technical
advisers for five years; one OPEX operational replace-
ment for a Zambian technician for two and one-half
years; 50 person/months of short-term consultants; 34
Zambians to receive long-term academic training, plus
short-term courses, local in-service.training; a small
special studies program; research equipment, vehicles;
operational costs and construction of housing for the
US team..

The GRZ will contribute the equivalent of $4,256,000.
(25.38% of total project costs) in the form of profes-
sional staff, training support expenses land-offices,
and operating costs,-bringing the total cost of the
project to $16,771,000.

The project will further develop a recent GRZ initiat-
ive to reorganize its agricultural research organiza-
tion and to establish direct linkages with the exten-
sion service in order to better serve Zambia's small
farmers.


-~~- ~ -W~CL- ~----I~ -)












ABBREVIATIONS


AA
AID
AID/DSB/AGR

AID/W
AID/Zambia
ARPT
BNF
CD
CDSS
CRT
CIMMYT
FAO
FI
FTC

IRISAT


LIMA
MAWD
MS
NAMBOARD'
NRDC
OPEX
PAO
PES
PhD
PID
PIO/P
RDSB
REDSO/EA

RIS
RLEO
R&R
SMS
SOTA
TA Contractor
TDY
T&V

UNIP
UNZA


Agricultural Assistant (Extension Division)
Agency for International Development
AID/Development Support Bureau/Office of
Agriculture
AID/Washington
Agency for International Development, Zambia
Adaptive Research Planning Team
Biological Nitrogen Fixation
Commodity Demonstrator (Extension Division)
Country Development Strategy Statement
Commodity Research Team (MAWD)
International Maize and Wheat Research Center
Food and Agriculture Organization
Farmer Institute
FarmerTraining Center
Government of Zambia
International Crop Research Institute for
Semi Arid Tropics
International Institute for Tropical
Agriculture
Small-scale Farmer Recommendations, MAWD
Ministry of Agriculture and Water Development
Master of Science Degree
National Agricultural Marketing Board
Natural Resources Development College
Operational.Expert-
Provincial Agricultural Officer
Project Evaluation Summary
Doctor of Philosophy Degree
Project Identification Document
Project Implementation Order/Participant
Rural Development Studies Bureau at UNZA
Regional Economic Development Service
Organization/East Africa
Rural Information Service, MAWD
Research Liaison Extension Officer, ARPT
Rest and Relaxation Leave
Subject Matter Specialist/Extension
State of the Art Study
Technical Assistance Contractor
Temporary Duty
Training and Visit System in the Extension
Division
United National Independence Party
University of Zambia











REPUBLIC OF ZAMBIA


RESEARCH STATION AND TRIAL SITES


NORTHERN

07
?'
at


NORTH WESTERN


SOUTH


CENTRAL


Oso
010

19 *r N

WESTERN


3 V


10
2







It
II
12

14
iS
17
8












21
10






22
213
23


KEY TO MAP
Mount Maoulu Resaorch Sltalon
MagoyC
Machlpopa
MUekera
Kobwe
pperbell Regional Research SMItIM
Mlisamfu
Manse
Mwlnllunga
Mongu
National irrigation Statllon
Moaobuka Animal Husbandry Statoon
Lutllu
Lucheche
Maolthl
Kaomo
Sesheke
Koatab Valley Sub-Stallon
Naomuehakend
Jumbe
Slolwindo
Chablitka
Munlru.p j


* .* JP..A** S *, t


.s, o,






2.



II. BACKGROUND
A. AGRICULTURE IN THE ZAMBIAN ECONOMY

1. Factors Affecting Agricultural Performance

Although of obvious importance, agriculture has been a
particularly troublesome sector of the Zambian economy.
Since Zambia has the highest percentage of its total
population living in urban centers of any African country
south of the Sahara (40%), it is not surprising that its
share of agriculture as a percentage of GDP is the lowest
in Africa (18% in 1978 up from 13% at independence in
1964). Government of Zambia (GRZ) policy has been directed
at satisfying the food requirements of the urban sector at
subsidized prices, which has had the effect of discouraging
economic growth of the rural areas. The dominance of copper
production in the Zambianeconomy (90% of export earnings)
overshadows agriculture and is responsible for Zambia's
dualistic economy. This dualism also extends into the
agricultural sector itself with a small and diminishing
number of large-scale commercial farmers (now no more than
400 accounting for a high percentage of marketed produce,
as compared to the estimated 600,000 small farmers and
75,000 somewhat larger and better equipped "emergent farmers".
The generally disappointing performance of Zambian
agriculture has been of major concern both to the GRZ and to
donor agencies. Negative factors at work include Zambia's
landlocked position; the GRZ's agricultural pricing policy;
lack of trained manpower; operational problems of GRZ
institutions and parastatal organizations; rural depopulation,
combined with an exodus of European commercial farmers; the
effects of the Rhodesian guerrilla war; and, most signific-
r l antly for this project, inadequate attention to the develop-
ment of agricultural technology especially with respect to
the smaller producer.
Some of these negative factors have recently been
alleviated with the emergence of an independent Zimbabwe and
new GRZ policy assertions in the Third National Development
Plan (TNDP) published in 1979. The very recent restructuring
of the Zambian agricultural research organization discussed
in the following section, is a positive and welcome step.
Also a major advantage enjoyed by Zambia in comparison to
many developing countries is an abundance of agricultural
land and a corresponding absence of land pressure.






2.



II. BACKGROUND
A. AGRICULTURE IN THE ZAMBIAN ECONOMY

1. Factors Affecting Agricultural Performance

Although of obvious importance, agriculture has been a
particularly troublesome sector of the Zambian economy.
Since Zambia has the highest percentage of its total
population living in urban centers of any African country
south of the Sahara (40%), it is not surprising that its
share of agriculture as a percentage of GDP is the lowest
in Africa (18% in 1978 up from 13% at independence in
1964). Government of Zambia (GRZ) policy has been directed
at satisfying the food requirements of the urban sector at
subsidized prices, which has had the effect of discouraging
economic growth of the rural areas. The dominance of copper
production in the Zambianeconomy (90% of export earnings)
overshadows agriculture and is responsible for Zambia's
dualistic economy. This dualism also extends into the
agricultural sector itself with a small and diminishing
number of large-scale commercial farmers (now no more than
400 accounting for a high percentage of marketed produce,
as compared to the estimated 600,000 small farmers and
75,000 somewhat larger and better equipped "emergent farmers".
The generally disappointing performance of Zambian
agriculture has been of major concern both to the GRZ and to
donor agencies. Negative factors at work include Zambia's
landlocked position; the GRZ's agricultural pricing policy;
lack of trained manpower; operational problems of GRZ
institutions and parastatal organizations; rural depopulation,
combined with an exodus of European commercial farmers; the
effects of the Rhodesian guerrilla war; and, most signific-
r l antly for this project, inadequate attention to the develop-
ment of agricultural technology especially with respect to
the smaller producer.
Some of these negative factors have recently been
alleviated with the emergence of an independent Zimbabwe and
new GRZ policy assertions in the Third National Development
Plan (TNDP) published in 1979. The very recent restructuring
of the Zambian agricultural research organization discussed
in the following section, is a positive and welcome step.
Also a major advantage enjoyed by Zambia in comparison to
many developing countries is an abundance of agricultural
land and a corresponding absence of land pressure.






2.



II. BACKGROUND
A. AGRICULTURE IN THE ZAMBIAN ECONOMY

1. Factors Affecting Agricultural Performance

Although of obvious importance, agriculture has been a
particularly troublesome sector of the Zambian economy.
Since Zambia has the highest percentage of its total
population living in urban centers of any African country
south of the Sahara (40%), it is not surprising that its
share of agriculture as a percentage of GDP is the lowest
in Africa (18% in 1978 up from 13% at independence in
1964). Government of Zambia (GRZ) policy has been directed
at satisfying the food requirements of the urban sector at
subsidized prices, which has had the effect of discouraging
economic growth of the rural areas. The dominance of copper
production in the Zambianeconomy (90% of export earnings)
overshadows agriculture and is responsible for Zambia's
dualistic economy. This dualism also extends into the
agricultural sector itself with a small and diminishing
number of large-scale commercial farmers (now no more than
400 accounting for a high percentage of marketed produce,
as compared to the estimated 600,000 small farmers and
75,000 somewhat larger and better equipped "emergent farmers".
The generally disappointing performance of Zambian
agriculture has been of major concern both to the GRZ and to
donor agencies. Negative factors at work include Zambia's
landlocked position; the GRZ's agricultural pricing policy;
lack of trained manpower; operational problems of GRZ
institutions and parastatal organizations; rural depopulation,
combined with an exodus of European commercial farmers; the
effects of the Rhodesian guerrilla war; and, most signific-
r l antly for this project, inadequate attention to the develop-
ment of agricultural technology especially with respect to
the smaller producer.
Some of these negative factors have recently been
alleviated with the emergence of an independent Zimbabwe and
new GRZ policy assertions in the Third National Development
Plan (TNDP) published in 1979. The very recent restructuring
of the Zambian agricultural research organization discussed
in the following section, is a positive and welcome step.
Also a major advantage enjoyed by Zambia in comparison to
many developing countries is an abundance of agricultural
land and a corresponding absence of land pressure.











2. Zambia's Major Crops

Maize is, by far, Zambia's most important crop with
just over one million acres under cultivation. As a food
crop, maize is consumed as the daily staple of Zambian
families and, as a cash crop, accounts for three-fourths
oftheotalvaaleof_ marketed crop production. It is
grown by all categories of farmers in Zambia: aou 0%
of market d--production-and-L8S Af-totalpro
originates from medium-sized-and small farms. Marketer-
maize production rose with some fluctuait onsh between 1964
and 1976, on average about 8 to 10 per cent per year. Poor
harvests in subsequent years saw a drop in output and
necessitated substantial maize imports in 1979 and 1980.
There is also concern by the GRZ that reliance on maize as 6 -
a single staple should be tempered by attention to other ,
cereal crops. A diversification into alternate staples (_ Ce C-
could provide small farmers with greater security of house-
hold food requirements.


Other principal food and cash crops include the oilseeds
group: groundnuts, sunflower and cotton. Oilseeds are
valuable for the manufacture of oil for human consumption
and meal for protein concentrate stockfeeds. Groundnut
production has varied widely and current output stands at
about two-thirds of the 1964 total. Sunflower and cotton
have tended to displace groundnuts and have proven
particularly popular among the middle category of farmer
whose production is not exclusively oriented to the market
or subsistence. Oilseed crops can substitute for commodities'
presently imported and are generally complementary products
which can fill niches in existing farming operations.
Other crops include sorghum, millet and beans which are
favored for subsistence, and tobacco, soybeans and sugarcan/
which are grown almost exclusively for sale. There is little
doubt, however, that maize and oilseeds are likely to be
central to any strategy for agricultural development in
Zambia. One recent study specifically identified these crops
as having "the greatest need and potential for increased
production". 1.


1. Dean F. Tuthill et.al., "Agricultural Sector Assessment:
Zambia" (Washington, USAID, Southern Africa Development
Assistance Project, 1978) p.17. _


III XAV>
b


i~ '2b.
loecr~ a


.~f7 okU- V


k!.i.7-e-- / )11 rzcc


2



NA^






4.


B. PRESENT AGRICULTURAL RESEARCH AND EXTENSION

1. The Evolution of Policy

In the past, Government policies for agricultural
research and extension have accorded low priority to he
needs of small farmers. Research has usually consisted of
efforts to develop crop varieties that fit the requirements
and resources of large-scale commercial producers. Breeding
work on maize at the National Research Station at Mount
Makulu, for example, has been confined to improving the
qualities of long season hybrids under conditions .of heavy
fertilizer application. Small farmer preferences e.g. for
a short growing season, drought resistance, or minimum inputs
- have received little attention. The unbalanced orientation
of the Zambian research establishment is not unusual among
countries.in the Southern Africa region. It can be attributed
to the large and strategic contribution made by commercial
farmers to national food production, and to the well-
organized way in which they articulate their interests into
the policy-making process.
As for agricultural extension policy, the Zambian
government has endeavoured to reach out and serve a broad
spectrum of producers. A nationwide network of extension
agents, with over 1,500 positions and 450 village level
agricultural camps, has been created with a presence in every
administrative district. However, because the small rural
population (3.5m) is scattered over a large land area, and
distances.between farm units are great, the contact between
farmers and extension workers in Zambia is often selective.
and sporadic. The most effective extension services are
available where clusters of successful farmers are to be
found. The tendency for extension to stop short of the
smaller and poorer cultivators in the outlying areas is
reinforced by training limitations and transport shortages
within the extension service itself. The fact that field
officers are called upon to deliver advice and technology
that may be inappropriate to small farmers does not make the
extension task any easier.
2. Recent Reorganization of Research and Extension
The Zambian Government has recognized the need to
stimulate small farmer agriculture and to propagate a more
fruitful linkage between research and extension. The most
important recent GRZ policy initiative involves a restruct-
uring of the national research program. The Ministry of










Agriculture and Water Development (MAWD) includes the
Department of Agriculture, within which Research, Extension,
Land Use and Training divisions can be found (Figure 1).
A recent reorganization relevant to the AID project has
taken place within the Research division. Two new types of
research teams have been created (1) Commodity Research
Teams (CRT's) and (2) Adaptive Research Planning Teams
(ARPT's) (Figure 1). _- brief outline of the nature and
functions of each is as follows:

a) CRT
One of the several priority areas spelled out in the
Third National Development Plan (1979-1983) is "improving
and expanding existing research facilities". The creation
of Commodity Research Teams is part of a GRZ plan to up-
grade the efficiency of research and extension activities
throughout the country. More precisely, the GRZ proposes
to establish twelve multi-disciplinary CRT's (Figure 2)
which will be located at regional research.stations. The
CRT's will conduct research programs on constraints to
increased production of the various commodities grown in
Zambia. The work of the CRT's will focus on such matters
as varietal improvements, costs of production, cropping
patterns, tillage practices, use and timing of agricultural
inputs, and harvesting and storage methods. The CRT research
program will pertain to the improvement of the body of
knowledge on the biology and management of the major food
and cash crops in Zambia. The goals addressed by CRT
activities relate to national goals for food production and
agricultural exports, as well as to'the improvement of the
welfare of small farm families.

b) ARPT
To improve the generation of agricultural technology the
research .establishment is now creating an Adaptive Research
Planning Team to provide feedback on small farmer production
constraints to the CRT scientists and to provide for the
testing of new technologies at the farm level. The develop-
ment of relevant improved technologies geared to specific/
target groups requires two-way communication among research
workers, extension workers and farmers. To date in Zambia
commercial farmers have tended to have greatest access to the
communications process and GRZ researchers have responded
effectively to their needs. To overcome this problem, the
ARPT system has been introduced to determine the technological.
requirements and.capacities of small farmers. Unlike the
CRT's, the focus of which is national, the ARPT's will restrict











FIGURE 1. STRUCTURE OF MAWD, SHOWING CRT'S AND ARPT'S


MINISTER
1
PERMANENT
SECRETARY
I
DIRECTOR OF
AGRICULTURE
I


I
DEPUTY DIRECTOR
(RESEARCH)


I
DEPUTY DIRECTOR
(LAND USE)


I
DEPUTY DIRECTOR
(EXTENSION)


ASSISTANT SECRETARY
(TRAINING)


RURAL
INFORMATION
SERVICES


AGRICULTURAL AGRONOMIST RESEARCH SUBJECT MATTER PROVINCIAL
ECONOMIST LIAISON SPECIALISTS TRAINING
EXTENSION OFFICER
OFFICER


PROVINCIAL
INFORMATION
OFFICER


NRDC,
COLLEGES
OF
AGRICULTURE


MAWD, SHOWING CRT'S AND ARPT'S


FIGURE 1. STRUCTURE OF














FIGURE 2. NEW STRUCTURE OF AGRICULTURAL RESEARCH


Cereals
Oilseeds
Fibers
Tubers
Vegetables
Trees 4 Plantations
Grain Legumes











Beef
Dairy
Food Conservation
Weed 4 Tillage
Pathology 4 Pests


Crops --













-- Livestock-

S Other --


COMMODITY L J ADAPTIVE
RESEARCH ._RESEARCH PLANNING
TEAMS .(CRT) r TEAMS (ARPT)

(National (Area Focus)
Focus)


SNorthern

Luapula

Copperbelt

Northwestern

Eastern

Central

Southern

- Western







6.

/J ^ 5 I
/ 4

theiractivities to specific geograp *cal areas. Beginning
with a single ARPT, which will wk initially in Central
Province, the GRZ's plan is ev tually to create an ARPT
for each province. he ARPT' u uall consist o n
agronomist, an agriculture economist andanan exte aton
agronomist. They will h e two m r fifirst, to
aicr"ain t ofsmall famd t slate
these needs into research priorities to be addressed by o
or m oeRPT's also do adaptive testing, of Y" y -C
Improved technologies that are relevant in meeting the needrs'e-e
of farmers. Such adaptive testing is to be undertaken both
on experiment stations and on farmers' fields. e o {

c) Extension .a, I le '

Other recent organizational innovations within MAWD are
significant to this project.

i) Decentralization of many operational decisions.
Administrative and financial functions of the various
departments of MAWD are now more or less concentrated in the
office of the Provincial Agricultural Officer. Further
decentralization of authority to the district level has been
announced and will be put into effect during the life of the
project.

ii) The LIMA program. This is an extension program
designed around a farm input package for units of one-fourth
hectare. Its fundamental principle is the encouragement of
rational use of agricultural inputs on standardized units of
land using standardized measures for fertilizer, seed and
insecticide. The LIMA program is directed at small farmer
agricultural production and includes the use of existing
technologies disaggregated into usable packages.

iii) The Training and Visit (T and V) Extension System.
This deals with an extension service that is under-financed,
in need of more technical training and communication aids,
and in need of higher motivation among staff. The T and V
system is designed to attack these organizational problems.
Its main features are a unified command, a regular itinerary
for farmer contact, and regular briefings.of full staff.

3. Relevant Activities by AID and Other Donors

Until this year AID activities in Zambia were limited to
food imports under PL 480 and an annual commodity import loan
which has supplied about one-third of Zambia's recent
fertilizer imports. In FY 1980 AID expects to begin two


~-- ---- --P'--












important projects stressing institution building, technical
assistance and training with emphasis on agriculture: the
agricultural research and extension project presented in this
paper and an agricultural studies and manpower training
activity. Both projects relate directly to two basic GRZ
objectives which are highlighted in the Third National
Development Plan and AID's recently prepared CDSS on Zambia:
1) to increase the incomes of small farmers and 2) to
increase total food production. Both projects are also
designed to alleviate the four major constraints to achieving
the above goals as identified.in the CDSS: (1) insufficient
investment and allocation of scarce resources in the
agricultural sector; (2) the lack of a coherent and effective
agricultural sector strategy; (3) defects and deficiencies
in statistical information needed for making agricultural
policies and decisions; (4) difficulty in reaching small
farmers through existing development projects.

The Zambian agricultural scene is attracting the
attention of. a number of foreign donors who have a wide
variety of planned and current activities. Among the most
relevant for this project, given the GRZ decision to concen-
trate the initial ARPT work in Central Province, are:

a) A rural extension in-service training project funded by
the World Bank and with technical assistance provided by
the Netherlands. The first stages of this project have been
started in Central Province, with a view to upgrading the
skills of extension workers and raising the quality of farmer
training. The Training and Visit system mentioned above is
an integral part of this project.
b) The Food and Agriculture Organization of the United
Nations (FAO) has an activity on in-service planning and
training for agriculture and rural development, also in
Central Province. The FAO aims to train MAWD personnel in
the identification, implementation, and evaluation of viable
agricultural projects of all types.
c) The Pan-African Institute for Development (PAID) plans to
conduct studies on the social acceptability and economic
feasibility of GRZ rural development policies at the village
level in Central Province. The regional headquarters of
PAID are located in Kabwe and PAID programs for 14 Eastern
and Southern African countries are administered fromthere.












d) Donors have initiated integrated area development schemes
in several parts of Zambia. The World Bank supports an.
approach to agricultural development that focuses on
extension, marketing and the provision of credit for farm
inputs in Eastern and Southern Provinces. Other donors are
financing projects that concern both infrastructure and
agriculture in Northwestern Province (Federal Republic of
Germany), Western Province (ADB) and Eastern, Northern,
Luapula and Western Provinces (SIDA).
The PP team made contact with the donors operating in
Central Province and in each case assurances of mutual
cooperation and the avoidance of duplication were exchanged.
Whereas there is a fairly heavy concentration of donors in
the Central Province, such a concentration is by no means
atypical of Zambia as a whole. It seems highly desirable
for the success of the AID project described below that
opportunities for coordination with complementary donor
activities be realized to the fullest.










FIGURE 3. SCHEMATIC REPRESENTATION OF SOME DETERMINANTS OP THE FARMING SYSTEM


Human


Technical

I


Exogenous
Community
Structure
Norms. and
Bell5i Input
Side
ExtrMal
Instutions -
Market
'Side
OthrU -




F11







t
it t farm






Broken lines represent results ol farming system.


Ir .- Chemical
Endogenous Physical
| ~ '-*Mechanical -^y'

Farming 4-- Consumption- 1
Household *4-. income
................ I ------- "Income"

(F-Decision|I





tf Labor ManagemIent


-t---t
Farming System

I. i ------ --I.


Elements


Factors


Inputs


Processes


Biolo


gical


m II I













FIGURE 4. SCHEMATIC FRAMEWORK FOR ARPT WORK


ADAPTIVE RESEARCH STAGES


1. Description or diagnosis
of present farming system



2. Design of improved system
elements


3. Testing of improved system
element


4. Extension of improved system
element


CURRENT FARMING
SYSTEM


EXTERNAL
INSTITUTIONS

I


(Hypothesis formulation)


I I
I I
Experiment Station Trials. -BODY OF
4 ---KNOW EDGE (CRT)
I- -- -..----- -----
I I

Trials at Farm Level .......-------

Farmers' Testing .. ..... ......


OD A N ST------ ------
MODIFIED FARMING SYSTEM---..-.










FIGURE 5. FUNCTIONS OF ARPT'S


FUNCTIONS


NATION






PROVINCE



DISTRICT




STATION


WARD


FARMER


TRAINING


INSTITUTIONAL
SUPPORT


RESEARCH


INFORMATION


EXTENSION PARTICIPATION


"I ---












III. PROJECT DESCRIPTION

In the six months which have elapsed since the ,
submission of the PID for this project in January, 1980,
the GRZ has made considerable progress in planning the
framework aimed at redirecting research priorities towards
the needs of small farmers. The multi-disciplinary research
teams referred to in the PID have evolved into the Commodity
Research Teams (CRT's), described briefly in the preceding
section, around which an important part of this project will
be based. The recent establishment of the Adaptive Research
Planning Team (ARPT) as a GRZ initiative provides a potential
link to the small farmer and sets the stage for this project.
AID will provide major technical support to both the CRT's
and the ARPT.
Small farmers presently grow 60% of marketed maize in
Zambia and have the potential to dramatically increase
production in terms of additional hectares and yield per
hectare. Longstanding institutional arrangements/for
agricultural research, however, have not permitted the small
farmer to share in the benefits of new technologies. Other
incentives for the small farmer such as price and access to
inputs and markets are also judged inadequate to meet GRZ
objectives. The advantages of other cash and food crops such
as sunflower and soybean are just becoming known to small
farmers and further efforts in research and extension will be
necessary to develop potential.
This project will help build institutions which will
direct research toward the needs of small farmers. The
commodity teams and adaptive research teams being organized
in the MAWD will approach research from a problem-solving
point of view. The results of research by CRT's and the ARPT
will be incorporated into extension programs for small farmers.
Given the long-term nature of agricultural research and
institution building, the time-phase necessary for major
impact is probably 10-15 years. Therefore, the present GRZ
initiative is the beginning of a long-range effort and it
would be realistic to think of this project as the first phase
of a potential longer-term AID assistance program which could,
if initial results are promising, be extended to a second,
and even third 5-year phase.
A. SUMMARY OF PROPOSED GOAL, PURPOSE AND OUTPUTS
a) The long-term goal of the project is to assist the GRZ
in improving the welfare of small farmers and increasing
national food production through the development and
adaptation of relevant technology. This goal is fully












III. PROJECT DESCRIPTION

In the six months which have elapsed since the ,
submission of the PID for this project in January, 1980,
the GRZ has made considerable progress in planning the
framework aimed at redirecting research priorities towards
the needs of small farmers. The multi-disciplinary research
teams referred to in the PID have evolved into the Commodity
Research Teams (CRT's), described briefly in the preceding
section, around which an important part of this project will
be based. The recent establishment of the Adaptive Research
Planning Team (ARPT) as a GRZ initiative provides a potential
link to the small farmer and sets the stage for this project.
AID will provide major technical support to both the CRT's
and the ARPT.
Small farmers presently grow 60% of marketed maize in
Zambia and have the potential to dramatically increase
production in terms of additional hectares and yield per
hectare. Longstanding institutional arrangements/for
agricultural research, however, have not permitted the small
farmer to share in the benefits of new technologies. Other
incentives for the small farmer such as price and access to
inputs and markets are also judged inadequate to meet GRZ
objectives. The advantages of other cash and food crops such
as sunflower and soybean are just becoming known to small
farmers and further efforts in research and extension will be
necessary to develop potential.
This project will help build institutions which will
direct research toward the needs of small farmers. The
commodity teams and adaptive research teams being organized
in the MAWD will approach research from a problem-solving
point of view. The results of research by CRT's and the ARPT
will be incorporated into extension programs for small farmers.
Given the long-term nature of agricultural research and
institution building, the time-phase necessary for major
impact is probably 10-15 years. Therefore, the present GRZ
initiative is the beginning of a long-range effort and it
would be realistic to think of this project as the first phase
of a potential longer-term AID assistance program which could,
if initial results are promising, be extended to a second,
and even third 5-year phase.
A. SUMMARY OF PROPOSED GOAL, PURPOSE AND OUTPUTS
a) The long-term goal of the project is to assist the GRZ
in improving the welfare of small farmers and increasing
national food production through the development and
adaptation of relevant technology. This goal is fully








10.


consistent with the major objectives of the Zambian Third
National Development Plan and the main focus of AID's
FY 82 Country Development Strategy Statement (CDSS).
b) The purpose of the project is: to help the GRZ strengthen
the agricultural research capacity of the Ministry of
Agriculture and Water Development (MAWD) and to increase the
effectiveness of the extension service in transferring
relevant agricultural technology with special emphasis on
small farmers.

c) The outputs of the project are:
1) The strengthening of the MAWD Commodity Research Teams
on Oilseeds and on Cereal Grains. A major concern of the
Oilseeds Team is the need for high protein food, as well as
food oils and stockfeeds, in Zanbia. Soybeans and sunflowers
have the dual potential of serving small farmers as food
crops and as cash income earners. Research programs are
needed to develop varieties tailored to Zambian small farmer
conditions. A major concern of the Cereals Team is the
necessity to breed and introduce varieties of maize tailored
to small farmer conditions which in many respects are differ-
ent from those of commercial farmers.
2) The effective operation of an Adaptive Research Planning
Team (ARPT). In contrast to the CRT's, this team of research-
ers will not work on a specific range of commodities on a
nationwide basis (i.e. days to maturity of maize; harvest
time shattering problems of soybeans). Rather it will work
in specific geographical regions to identify, with the help
'-\ of farmers, problems peculiar to local farming systems. Some
S of these problems will be directed to CRT's for research and
S some will be handled internally by the ARPT. In either case
the findings will be fed back through the extension service
to the small farmer.


3) The enhancement of the capacity of the extension service
to diffuse usable agricultural technology to small farmers
through improved research-extension linkages and communication.
4) The upgrading of professional and technical skills:in
agricultural research and extension within MAWD through
selected academic and practical training in Zambia, in the US,
in other African countries, and at international institutions.
B. PROJECT ACTIVITIES
The project will provide technical assistance to MAWD in
the form of seven long-term (5 year) AID-financed advisers,


o

S'"";h
-^1 y


C\`
o
\jd












one medium-term (2.5 year) scientist (microbiologist) under
an OPEX arrangement to fill in for a Zambian in training,and
62 person/months of short-term consultants. These staff
resources, with the possible exception of the OPEX scientist,
will be recruited by the US university which is awarded the
contract for the implementation of the project. The GRZ
has requested that these advisers be assigned to the Oilseeds
CRT, the Cereal Grain CRT, and the ARPT in Central Province.
In part the assignments reflect the need of GRZ to fill gaps
in the existing research establishment. The main reason
behind the provision of technical assistance, however, is to
promote the development of technologies for selected basic
food crops. Through the interaction of the social scientists
on the ARPT and agricultural scientists on the CRT's the
project will contribute to the reorientation of research
priorities towards the requirements of small farmers.
The technical assistance team will comprise the following
long-term advisers:
a) 1 Team Leader/Agricultural Economist
b) Oilseed CRT.( ,r

1 Soybean Breeder ,
1 Sunflower Agronomist

c) Cereal Grain CRT:
1 Maize Breeder
d) ARPT in Central Province:
1 Farming Systems Economist (Agricultural Production/
Farm Management Economist)
1 Agronomist
1 Research Liaison Extension Officer (Extension
Agronomist) (RLEO)
Major facts concerning the functions of these advisers and
the MAWD organizations to which they will be assigned are as
follows (see Section IV, A, Technical Analysis, for additional
discussion):
1. Team Leader/Agricultural Economist
The Team Leader will provide administrative and profes-
sional leadership for the project. The administrative task
will be substantial owing to the general complexity of the
project, the major training and consultancy elements, and the
placement of project staff in three different locations. In


11.







12.


his capacity as an Agricultural Economist, the Team Leader
will also work with the CRT's in two ways. He will (a)
provide help in the economic interpretation of experiments
undertaken by the various CRT's and (b) encourage the
adoption of ARPT recommendations by the CRT researchers. The
Team Leader will report to and work closely with the Director
of Agriculture, MAWD (see Section IV, D, Administrative
Analysis for further details).
2. Oilseeds CRT

The OilseedsCRT will have its headquarters at Magoye
Regional Research Station in Southern Province, with a
sub-group at the Mount Makulu Research Station near Lusaka.
Commodities will be provided under this project in the form
of laboratory and field equipment at these stations to
facilitate the operation of major oilseeds breeding programs.
The Soybean Breeder will be located at Magoye and his work
will be assisted by a strong complement of existing staff.
These include an FAO Soybean Agronomist at Mount Makulu and
four Zambian Officers attached to the Magoye soybean program.
The Sunflower Agronomist, located at Mount Makulu, will be
able to call upon the support of an FAO Sunflower Breeder
who already has work underway at the same experiment station.
Farm laborers and clerical assistants will be allocated by
GRZ to, assignments in connection with the oilseeds breeding
program. Full details of the functions of the US advisers
who will be working with the Oilseeds CRT are provided below
(Section IV, A, Technical Analysis).
3. Cereal Grain CRT
The Cereal Grain CRT will'eventually have its headquarters
at Golden Valley Research Station in Central Province.
However, pending the full scale development of this facility,
which will require several years, the Maize Breeder will be
located at Mount Makulu. As with the OilseedsCRT, the US
adviser on the Cereal Grain CRT will be able to interact with
others in his field. The Government of Yugoslavia supports
one Maize Breeder at Mount Makulu and negotiations are in
progress with SIDA (Sweden) for a second. In addition, two
Zambian Maize Breeders are expected to return from overseas
training at the M.Sc. level during the life of this project.
However, given the dominance of maize as Zambia's most
important food crop, at least one more maize breeder is
clearly needed. As with the Oilseeds CRT the GRZ will
provide farm laborers and clerical assistance for the Cereal








13.


Grain CRT. The upgraded research facilities provided under
this project at Mount Makulu are expected to contribute to- 2
the work of all maize breeding personnel.. A key component: jO
of the project is to strengthen the capacity, of the Zambian i:
research. establishment to. develop. genetic breeding: lines and~i b)uL
refine and adapt varieties of. the nation's principal' sttap-le?
food crop. Yc/'
4. The ARPT

The ARPT will be responsible for, introducing. a-. bottomr
up"' approach into the process: of setting research. priorities
in Zambia. Sometimes called. "adaptive research",, this.
approach begins by identifying: the- needs of farmers. andi the
opportunities that exist for the improvement of existing
farming systems.. The adaptive research: approach- can- be:
summarized in four stages:
1) diagnostic stage:,. analysis= of farmer needs- and farming-
system potential and. constraints.

2) design stage: identification of possible improved
technologies

3) testing stage: evaluation. of promiis-ing; tehno~ogies; undam
farmers' conditions
4) extension stager: dissemination andi general appltcat-i a..

Initially, the main.. functions of the ARP' will be limiteedi to'
research and extension. Once ARPT's become firmly establisftted
throughout Zambia, however, it is anticipated that they wilt
engage in a broader set: of functions.. These include- influen.-
ing the content of agricultural training: and! extension
information programs and& influencing. the. operation: of
agricultural support services. in favor o:f smalI farmers;.
Further details on the: adaptive research process and the
functions of the ARPT are given below (SectiomL A,,,
Technical Analysis).. Finally,, it should be stressed: that
adaptive research by the ARET will complement and interact
with commodity research. by the- CRT"s.. The: ARPT will influence.
the choice of CRT research. priorities and the CRTV's will
generate improved technologies for testing by the ARPT..
The ARPT advisers, provided by this project. with: their full-
time Zambian counterparts will be located at Kabwe- Regional
Research Station in CentraL Province.. Much: of their work will
be at the farm. level and the research station. will constitute
primarily a location: for the analysis oaE the substantial amounts
of data that the ARPT' will collect from' farmer surveys and.
trials. The bulk of the full-time junior staff will. be funded








14.


and provided by the GRZ. Staffing is tentative at present
but may include the following:
Provided by MAWD

Research Extension
Technical Officers 3 1
Supervisors (Agricultural Assistants) 4 2
Permanent Laborers 2 -
Drivers 2

Additional backup funding is to be provided to allow for
clerical assistance and other extra staff if the above proves
insufficient.
5. Extension
The project seeks to develop greater capacity within the
MAWD extension service for transferring improved technologies
and interpreting CRT research findings to small farmers.
Moreover, upward communication is envisaged in which
extension will play a critical role in conveying information
on the production problems of small farmers to the attention
of researchers. Funding will be provided under the project
to conduct the following activities:

a) In-service training for agricultural extension workers.
Five-day courses will be held at Farm Institutes (provincial
level) and Farmer Training Centres (district level) to convey
information on improved agricultural recommendations.
Extension workers will also be trained to participate in on-
farm trials and organize demonstrations for small farmers.

b) Transportation. Twenty-six extension supervisors in
SCentral Province will be provided with motorcycles to help
alleviate chronic transport shortages and to increase the
number and range of farm visits.

Sc) The ARPT will engage the services of extension workers
not only in the dissemination stage of the adaptive research
process, but in the diagnostic, design and testing stages as
4 well. The extension division will provide background data
on farmer practices, facilitate contact between researchers
' .\ and farmers, and assist in the administration of trials and
tests.
d) 'Farmer Training. One to two-day short courses will be
held at FTC's and agricultural stations and camps.








15.


Agricultural Assistants and Commodity Demonstrators willbe
be responsible for organizing these courses around demon-
stration plots on farmers fields using new approaches geared
to the requirements of traditional mixed farming patterns.
It is anticipated that 3-4,000 farmers in Central Province
will be directly trained during the life of the project.

e) Indirect benefits to even larger numbers of farmers are
anticipated once information on new and relevant technologies
is incorporated into the training and visit extension program
throughout Zambia.
The project is designed to bring about closer linkage
between the research and extension divisions of MAWD. The
Research Liaison Extension Officer (RLEO) on the ARPT will
be charged with special responsibility for this task (for,
a full account of the work of the RLEO, see Section IV, A,
Technical Analysis, and the job description in Annex B).
Moreover, researchers and extension workers are expected to
cooperate in all phases of farmer contact, particularly
during on-farm trials, tests and demonstrations. The RLEO
and the extension staff will be the key actors in promoting
two-way communication between researchers and farmers.
6. Short-Term Consultants
Short-term consultants will be provided where gaps need
to be filled to ensure the effectiveness of the CRT's and
ARPT supported by AID. A total of 62 person months (50 to
be paid for under the project) is planned. In addition to
short-termers, one medium-term technician will be required
under an OPEX arrangement.

Type Person/Months
a) Soil Scientist 8
b) Sorghum/Millet Agronomist 12
(to be requested and funded from AID
Sorghum/Millet CRSP)
c) Entomologist 6
d).Plant Pathologist 7
e) Farm Systems Analyst 4
f) Senior Rural Development Specialist 5
g) Librarian 2
h) Microbiologist 2
i) US university Contract Manager 3
j) Evaluation (Two in-depth evaluations are
planned by an external mission, during
years 3 and 5) 6
k) Other Specialists (to be specified) 7
37


OPEX Resource: Microbiologist














The OPEX scientist will fill in for 30 months while the
Zambian microbiologist is receiving masters degree training
in the US. He will also be available as a short-term con-
sultant for one month each in years 4 and 5. He will be
individually recruited, probably outside of the university
contract, and will report to the Chief Research Officer at
Mount Makulu.

7. Training

Extensive academic and practical training of Zambians
is needed to carry out and sustain the improved research and
extension programs envisaged under the project and to reduce
Zambia's long-term reliance on expatriates. The following
training is planned:
a) Long-term academic training in the US
4 Ph.D research
15 M.S. 10.research, 5 extension
15 B.S. 5 research, 10 extension

b) Short-term (6 months) training and study tours at USDA,
CIMMYT, IITAE ICRISAT. 27 persons for a total of 162 person/
months.

c) In-service training for a) extension workers 150 per
year for 5-day sessions at Farm Institutes (FI) and Farmer
Training Centers (FTC); and for b) farmers 1040 person/
days per year at 1-2-day sessions at FTC's, agricultural
stations and camps.

8. Special Studies
The special studies program (referred to as research
grants in the PID) will supplement core CRT and ARPT
activities. In the course of research the need may arise
for data or analyses that lie beyond the immediate terms of
reference of the CRT or ARPT but which contribute to the
intended outputs of the project. In such cases special
studies will be commissioned.

There will be two types'of arrangement:
a) Studies involving faculty, graduate and undergraduate
students from the agricultural and social science schools of
the University of Zambia (UNZA).
b) Studies involving Research Associates who will be Ph.D


16.








17.


candidates probably from the contracting US university.
Conditions, topics and personnel will be jointly determined
by MAWD and the Contractor and, where Zambian university
personnel are involved, by UNZA as well.

9. Commodities

The project will provide relevant research equipment,
vehicles and supplies for use by the project-assisted CRT's
and ARPT, totaling US$834,000. The equipment list is itemized
in Annex E. Eight vehicles and one tractor are to be procured
under the project for use by the CRT's and ARPT, and 26 small
motorcycles for extension supervisors in Central Province.
Four vehicles and all 26 motorcycles will be replaced in the
fourth year. It will be necessary to construct six houses
for US project advisers (3 at Kabwe, 2 at Mount Makulu and
1 at Magoye). The Team Leader and Microbiologist will occupy
rented houses in Lusaka.
10. Summary Statement
The objectives of the project as well as the main lines of
execution remain very close to those proposed in the PID
prepared six months earlier. Implementation refinements,
the strengthening of the US team and the support for the
CRT's and ARPT, and realistic inflation and contingency
factors, are largely responsible for the increased AID
budget from an estimated $8,156,000 in the PID to a new
AID life-of-project total of $12,,515,000. All major elements
of the project are examined further in the Technical Analysis
in the following section.








18.


IV. PROJECT ANALYSES

A. TECHNICAL ANALYSIS

1. Background

a) Technology Generation for Small Farmers

Research in low-income countries aimed at developing
improved technology for small farmers has often been based
on a number of simplistic and erroneous assumptions. As a
result, very little has been produced that is relevant for
large sections of the farming community. The assumptions,
which unfortunately are often not explicitly questioned,
include those pertaining to homogeneity oft the environment
in which farmers operate, optimism concerning characteristics
of that environment (e.g. good soil, availability of improved
inputs, access to market), and inaccurate notions concerning
the goals and characteristics of farm production units.
In reality the environment in which farmers operate is
complex. A farming system is the result of interactions
among several interdependent components. At the center of
the interactions are the farmers themselves and their families
whose means of livelihood form an inseparably integrated
whole. In achieving a specific farming system, farm families
allocate certain quantities and qualities of inputs (land,
labor, capital and management) to three processes (crop,
livestock and off-farm enterprises), in a manner which,
within the knowledge they possess, will maximize attainment
of household goods. Figure 3 illustrates some of the under-
lying determinants of the farming system. The total
environment can be divided into two elements: technical and
human. The technical element determines the types and
physical potential of livestock and crop enterprises, and
includes physical and biological factors that have been
modified to some extent by man, often through technology
development. The farming system that actually evolves,
however, depends greatly upon what is possible as defined
by the technical element.
The human element is characterized by two types of factors:
exogenous and endogenous. Exogenous factors (i.e. the
social environment), which are largely outside the control
of the individual farming family, will influence what it will
be able to do. They can be divided-into three broad groups:
1) Community structures, norms and beliefs. 2) External
institutions. These can be subdivided into two main groups:
inputs and outputs. On the input side, extension, credit








18.


IV. PROJECT ANALYSES

A. TECHNICAL ANALYSIS

1. Background

a) Technology Generation for Small Farmers

Research in low-income countries aimed at developing
improved technology for small farmers has often been based
on a number of simplistic and erroneous assumptions. As a
result, very little has been produced that is relevant for
large sections of the farming community. The assumptions,
which unfortunately are often not explicitly questioned,
include those pertaining to homogeneity oft the environment
in which farmers operate, optimism concerning characteristics
of that environment (e.g. good soil, availability of improved
inputs, access to market), and inaccurate notions concerning
the goals and characteristics of farm production units.
In reality the environment in which farmers operate is
complex. A farming system is the result of interactions
among several interdependent components. At the center of
the interactions are the farmers themselves and their families
whose means of livelihood form an inseparably integrated
whole. In achieving a specific farming system, farm families
allocate certain quantities and qualities of inputs (land,
labor, capital and management) to three processes (crop,
livestock and off-farm enterprises), in a manner which,
within the knowledge they possess, will maximize attainment
of household goods. Figure 3 illustrates some of the under-
lying determinants of the farming system. The total
environment can be divided into two elements: technical and
human. The technical element determines the types and
physical potential of livestock and crop enterprises, and
includes physical and biological factors that have been
modified to some extent by man, often through technology
development. The farming system that actually evolves,
however, depends greatly upon what is possible as defined
by the technical element.
The human element is characterized by two types of factors:
exogenous and endogenous. Exogenous factors (i.e. the
social environment), which are largely outside the control
of the individual farming family, will influence what it will
be able to do. They can be divided-into three broad groups:
1) Community structures, norms and beliefs. 2) External
institutions. These can be subdivided into two main groups:
inputs and outputs. On the input side, extension, credit








18.


IV. PROJECT ANALYSES

A. TECHNICAL ANALYSIS

1. Background

a) Technology Generation for Small Farmers

Research in low-income countries aimed at developing
improved technology for small farmers has often been based
on a number of simplistic and erroneous assumptions. As a
result, very little has been produced that is relevant for
large sections of the farming community. The assumptions,
which unfortunately are often not explicitly questioned,
include those pertaining to homogeneity oft the environment
in which farmers operate, optimism concerning characteristics
of that environment (e.g. good soil, availability of improved
inputs, access to market), and inaccurate notions concerning
the goals and characteristics of farm production units.
In reality the environment in which farmers operate is
complex. A farming system is the result of interactions
among several interdependent components. At the center of
the interactions are the farmers themselves and their families
whose means of livelihood form an inseparably integrated
whole. In achieving a specific farming system, farm families
allocate certain quantities and qualities of inputs (land,
labor, capital and management) to three processes (crop,
livestock and off-farm enterprises), in a manner which,
within the knowledge they possess, will maximize attainment
of household goods. Figure 3 illustrates some of the under-
lying determinants of the farming system. The total
environment can be divided into two elements: technical and
human. The technical element determines the types and
physical potential of livestock and crop enterprises, and
includes physical and biological factors that have been
modified to some extent by man, often through technology
development. The farming system that actually evolves,
however, depends greatly upon what is possible as defined
by the technical element.
The human element is characterized by two types of factors:
exogenous and endogenous. Exogenous factors (i.e. the
social environment), which are largely outside the control
of the individual farming family, will influence what it will
be able to do. They can be divided-into three broad groups:
1) Community structures, norms and beliefs. 2) External
institutions. These can be subdivided into two main groups:
inputs and outputs. On the input side, extension, credit








19.


and farm requisite distribution systems are often financed
and managed by government agencies. On the output side,
the government may directly (e.g. marketing boards) or in-
directly (e.g. improved evacuation routes, transportation
systems) influence the prices farmers receive. 3) Miscel-
laneous influences, such as population density and location.

Unlike the exogenous factors, the endogenous factors are
controlled by the farming family, which ultimately determines
the farming system that will emerge, given the constraints
imposed by the technical element and exogenous factors.
b) Agricultural Technology Generation in Zambia: Historical
Perspective.

In a country such as Zambia acceptance of the assumptions
discussed earlier will result in technology being developed
that is unsuitable for large sections of the farming community.
The discussion of the determinants of the farming systems
helps to explain the heterogenity that exists in current
Zambian agriculture. Some of the most important factors
contributing to this heterogenity are as follows:
1) The technical element. For example, rainfall, which
varies from less than 600mm to more than 1500mm in different
parts of the country, is superimposed on different ecological
units which are partially differentiated on the basis of
altitude. As a result the potential exists for a wide range
of crops to be grown.
2) The human element. White settlers, plus some Zambians,
have set up large commercial farms which are sharply
differentiated from the farms of small and emergent
cultivators. Commercial and emergent farmers make extensive
use of external institutional support systems and cheap labor
and tend to be concentrated around the "line-of-rail".
Small farmers, who are numerically dominant in isolated areas,
of necessity have more subsistence-orientated farming systems,
due mainly to poor access to external institutions and labor
constraints at critical times during the growing season. A
complicating feature of the Zambian case is the migration of
men to urban areas in search of employment, particularly in
mining. Most of these come from small farm families. It
has been reported that as a result, nationally, women out-
number men 2:1 in the rural areas, and head 20% of the rural
households. Such characteristics are likely to have a very
profound effect on the types of farming systems found (e.g.
severe shortages of labor) and relevant strategies for their
improvement (e.g. women enjoy legal equality of access to
agricultural credit and information, but in practice the









20.


recipients of such services are overwhelmingly male).
Addressing the needs of the whole farming community in-
volves initial acceptance of the heterogeneity existing
within it. This has led GRZ to the formulation of the
adaptive research approach at field level which is to be
closely linked to the reorganization of experiment station
work around the interdisciplinary commodity teams.
2. CRT

Reorganization of the MAWD Research Branch involves the
creation of Commodity Research Teams (CRT's) and Adaptive
Research Planning Teams (ARPT's) (Figures 1 and 2). The
CRT's will undertake the research necessary to find solutions
to constraints identified principally, but not exclusively,
by the ARPT's. The GRZ plans to develop 12 CRT teams
covering every major commodity and agricultural research
discipline important in Zambian agriculture. This project
will assist the Oilseeds CRT and the Cereal Grains CRT.
These CRT's will be responsible for all basic research on
their assigned commodities and for providing on-the-job
training of Zambian scientists appointed as CRT counterparts.
CRT's will collaborate closely with the ARPT and will
eventually devote up to 60% of-their time and resources to
priorities identified by the ARPTthrough its linkages
with the small farmers. Each CRT will coordinate closely
with other CRT's as appropriate in solving the varietal,
pest, and agronomic constraints to increased production by
small farmers.

Because Zambia remains heavily dependent on imports of
vegetable oil and because maize production has been erratic
in recent years, it is most appropriate that this project
address these two commodity areas. The small farmer sector
of Zambia's agricultural industry must be brought along
to where it becomes a net food producer and can contribute to
the overall economy of the country. There appear to be some
obvious needs by the small farmer for improved technology to
which the CRT can contribute. These include early maturing
maize varieties, higher yielding maize varieties grown under
conservative input levels, better planting methods, improved
shelling techniques and alternative crop production choices
for risk avoidance during poor growing years.
With respect to oilseeds, the project will work on soybeans
and sunflower. Sunflower sales have been declining since
1976 and soybeans are a relatively new crop to the Zambian
scene. It is GRZ policy to expand and diversify the prod-
uction of oilseeds as inputs for local oil extraction plants
with the short-term objective of attaining self sufficiency
in vegetable oils and oil cake (high protein supplement for
livestock and poultry feed). Imports, which are estimated at
$ 11 million for vegetable oils and $10 million for protein













feed concentrate, could be thereby reduced. The greatest
potential for solving these production shortages in oilseed
crops lies with sunflower and soybeans. Soybeans introduced
in recent years have been found to be very well adapted to
the Zambian agroclimatic environment. There is also great
potential for developing soybeans as a food and cash crop for
small farmers. The aim is to develop technical packages
which will address production constraints such as harvest-
time shattering in soybeans, high yielding pest resistance
in soybean varieties adapted to local growing conditions and
improved innoculum availability for soybean and other bean
production which will enable the farmer to take advantage of
biological nitrogen fixation in the cropping system. Pest
resistant, high-yielding, high oil content sunflower varieties
also need to be developed, as do cultural techniques for
growing sunflowers under more marginal moisture conditions.
In the process of working on these problems the CRT's will
look to the International Agricultural Research Centers
such as CIMMYT, INTSOY, IITA, ICRISAT, ICIPE and successful
regional crop improvement programs in Kenya and Zimbabwe as
sources for breeding lints of improved varieties. Local
testing will then be undertaken and cultural innovations intro-
duced that are applicable to small farmer growing conditions.
Based on existing knowledge of these three crops grown around s L
the world, there is sufficient variability in the genetic
germplasm to solve the problems discussed above. Given the
resources provided in this project, new varieties should be r
made available after 6-7 years, the normal period needed to
develop new crop varieties in a subtropical environment such
as Zambia, where two generations per year can be grown. ,

3. ARPT
a) The Role of the ARPT in Zambia
The ARPT was proposed in recognition of the heterogeneous
character of the Zambian farming community. It stresses a
"bottom up" approach through a strategy of starting the
research process at the farmers' level by first ascertaining
their needs and then addressing these needs through the
determination of appropriate research priorities. The work
of the ARPT consists of four stages. (Figure 4):
1) The descriptive or diagnostic stage. The actual farming
system is examined in the context of the total environment,
to identify constraints which farmers face and to ascertain
the potential flexibility in the farming system in terms of
timing, availability of resources, labor shortages in female-
headed households, etc. An effort is also made to understand








22.


goals and motivation of farmers that may affect efforts to
improve the farming system.
2) Design stage. A range of improved technologies is
identified that is thought to be relevant in dealing with the
constraints delineated in the descriptive or diagnostic stage.
Strategies for dealing with the constraints can involve either
developing technology to break them, or to avoid them through
exploiting the flexibility, often incremental, that exists in
the farming system. The sig_ stage is primarily confined
Swor----ion.
S 5) The testing stage. A few promising improved technologies
arising from the design stage are examined and evaluated under
farm conditions, to ascertain theirsuitability for producing
desirable and acceptable changes in the existing farm system.
Criteria for evaluating the changes are based on those that are
important to farmers. The testing stage consists of two
parts: first, trials at the farm level with joint researcher
and farmer participation, and later, farmers testing with
full control by farmers themselves.
4) The extension stage. Implementation of the strategies that
were identified and screened during the design and testing
stages.
In practice there are no clear boundaries between the
various stages. Design activities for example, may begin
before the descriptive or diagnostic stages end and may
continue into the testing stage as promising alternatives
emerge during the trials at the farm level where farmers and
researchers interact directly. Similarly, there is an exten-
sion component from the earliest stages of adaptive research
and by the time of farmer's testing extension activities
become central to ARPT work.
At present the GRZ has made the following decisions about
the operation of the ARPT's:
1) There will eventually be one ARPT for each province with an
overall ARPT coordinator.
2) Because the area focus of each provincial team can encompass
a range of crop, livestock and off-farm activities, the ARPT
will necessarily develop working relationships with a number
of CRT's. These will be of a recursive nature; for example,
findings of the ARPT will help determine the research
priorities of the CRT's, and the CRT's in turn will provide
technologies for adaptive testing by the ARPT.
3) Another important linkage in disseminating the results to
farmers is that between research and extension. The GRZ has
endorsed the inclusion of a Research Liaison Extension Officer
(RLEO) in the ARPT. This officer will be responsible to the
MAWD Deputy Director of Agriculture (Extension) and is initially









23.


to be an Extension Agronomist. The other two members of the
ARPT will be under the jurisdiction of the Deputy Director of
Agriculture (Research), as will the ARPT budget. The RLEO
must have close relationships with the Provincial Agriculture
Officer (PAO) and Subject Matter Specialists (SMS's) in the
province. (See Section below on Research-Extension Linkages.)

b) Functions and Staffing of the ARPT

As ARPT's become institutionalized in the Zambian government
structure, it is anticipated that their influence will be
widely felt. Broadly speaking, the functions of an effective
ARPT will eventually encompass the following fields (see
Figure 5):
i) Research: interaction with farmers and CRT's in determining
research priorities;
ii) Extension: delivery and evaluation of technologies through
effective liaison with, and feedback from, the extension
service.
iii) Information: provision of relevant agricultural advice for
incorporation into extension education programs.
iv) Training: contribution to curricula material to agricultural
training institutions.
v) Institutional support: exertion of influence support services
to provide farm requisites and marketing opportunities in a
form useful to small farmers.
vi) Participation: stimulation of local community organizations
through interaction with farmer contact groups.

Realistically, MAWD and AID must acknowledge that the ARPT
is unlikely to prove fully effective in all these functions
during the 5-year life of the project. The above list is
provided to indicate the potential scope of the MAWD's
prospective adaptive research program. The ARPT's main
functions are with research and extension and other functions
are likely to follow only as the ARPT concept is generalized
throughout Zambia.

The GRZ has proposed that the ARPT supported under the AID
project should have its headquarters at Kabwe, at the Regional
Research Station in Central Province. The PP team considers
this a good choice. For example, it is an important province
agriculturally and has an operational Training and Visit.
extension program. Long-term staff support by US advisers
is to be the same as that proposed for all ARPT's, (i.e. an
Agronomist, an Agricultural Economist, and an RLEO). In the
performance of its work the ARPT will pay special attention
to on-the-job training of Zambian counterparts in adaptive
research work. At present such training programs are not







24.


incorporated into formal degree courses although some of the
international agricultural institutes such as CIMMYT do
provide short courses. In this connection it will be
important to complement CIMMYT plans for training Farming
Systems Analysts (Agricultural Economists) in Zambia.
Training functions, especially of the RLEO, (aided on
occasion by the other long-term members of the ARPT) should
include instruction to extension staff in the techniques
and requirements of adaptive research. As far as research
methodology is concerned, the ARPT will seek to develop .cost
effective approaches to adaptive research. The GRZ proposes
to base ARPT work on the CIMMYT methodology. Further details
of this, as well as a proposed ARPT workplan,'are given in
Annex C.
4. Extension

a) Integration of Extension and Research Services
The reorganization of the MAWD Research Division is
distinctly innovative, as it brings together extension and
research officers to implement the ARPT activities described
above. MAWD has recognized the need to inform extension
officers more fully on agricultural technology and to devise
better.mechanisms to feed back the constraints of small.farmers
to research scientists for appropriate research. This re-
cognition has been the basis of the collaborating approach
between research and extension taken by the Department of
Agriculture.
At present, the research division directs its research
according to farmer needs determined through a series of
meetings attended by the Commercial Farmers Bureau, government
parastatal officers, research scientists, Zambia Seed Producer
Association, and provincial level MAWD agricultural officers.
The research results produced at the research stations under
this method of determining research priorities are written
up in crop memo pamphlets and given to the extension service
to guide officers in training sessions and setting out
demonstrations with small farmers. The extension service has
difficulty in reaching small farmers, however, because of
transportation shortages, lack of support from parastatal
institutions, lack of appropriate technology, lack of
extension and direct involvement in research activities.
This project is designed to facilitate the new approach'to
bring closer collaboration between research and extension
officers through the ARPT concept. As already discussed
this project will establish the new position of RLEO in
the ARPT in Central Province and will finance a technical
assistance adviser to fill the position. The work of the
RLEO is expected to enhance the utilization of research by:








25.


i) compressing the time span between discovery of technology /ll
and its dissemination to small farmers, / 4,e
ii) increasing the volume of relevant research output through" ,,
the system; and
iii) raising the quality and quantity of research products
through on-farm trials and farmer tests.
The RLEO will be stationed at Kabwe with the other ARPT
members. He will be responsible for collaboration on project
activities with provincial level extension officers and will
receive overall project guidance at the national level from-
the Deputy Director of Agriculture (Extension).

At the Provincial level the RLEO and Zambian counterparts
will participate in the adaptive research program carried out
by the ARPT and undertake the responsibility to train extension
officers at the camp, station, district and provincial levels.
Extension officer training .will be conducted at the Farm
Institute and the four Farmer Training Centers in Central
Province. Training conducted at these institutions will be
through workshop sessions, seminars, demonstrations and
general meetings. The RLEO will also be responsible to
participate in the organization and conduct of farmer
training workshops held at the agricultural stations and camps.
These farmer training workshops will.be of one or two-day.
duration. It is expected that six to eight hundred farmers
will participate each year in these training and demonstration
workshops. To facilitate these workshops a small amount of
budget support is being provided through the project. At the
national level the duties of the RLEO will be to ensure close
collaboration with the Deputy Director of Agriculture.(Research)
and the Dutch Research Extension Liaison Officer stationed
at Mount Makulu. The Deputy Director of Agriculture (Extension)
will also assist in the coordination of the work of the Dutch
Rural Extension In-Service Training team headquarters at Kabwe
and financed under the World Bank Fourth Education Project.
The technqiues and methodologies gained through the ARPT work
in Central Province will provide guidance to MAWD in replica-
ting the ARPT in other provinces.
One of the major advantages of this project is the close
linkage planned between research and extension work in the
conduct of field trials and on-farm tests. This approach will
provide training to extension officers on how to carry out and
monitor on-farm tests and demonstrations at the small farmer
level. District and camp level staff will be trained at ARPT
farm trial sites on the techniques used to set up farmer
demonstrations and observe the results of applying new
technology. The knowledge gained by extension officers through
this association will be directly applied by encouraging small







26.


farmers to modify their current farming practices. At
present, by contrast, demonstrations are conducted without
the benefit of extension workers observing research trials
at either the research stations or on farmer fields.

b) Other Functions of Extension
The present extension program has several components which
will be strengthened by the research-extension linkage of
this project. In particular the strengthening will accelerate
the development of the Farmer Field Day Activity, the Training
and Visit System and the Rural Information Service. While
these program activities are already part of the extension
program it is the intent of the project to provide additional
support through an intensification of the training effort for
extension workers and farmers, motorcycles for transportation
of agents, printed material on improved technology, and
professional assistance in the conduct of field demonstrations
and farmer field days.

i) Field Days and Tours:
It is planned that the project will have an immediate
impact on small farmers by assisting extension officers in
conducting field days and tours at ARPT farm trial sites.
The adaptive field trials and farmer testing plots conducted
by the ARPT will provide an excellent opportunity for
extension officers to bring small groups of farmers together
to observe the newly developed technology. These field days
will have the greatest impact on the farmers adjacent to
ARPT sites. In addition the ARPT trial and testing sites will
provide the opportunity to inform other extension agents in
the province of the newly developed technology and on the
methodology for organizing and conducting proper field days
and tours. This spread effect will give the ARPT work a
wider audience throughout Central Province and make for
possible replication in other provinces. Another benefit
expected through the project will be the training of
instructors from the other Farmer Training Centers (26) in
the country. If possible the training of FTC instructors will
be scheduled in Central Province, thus offering an opportunity
for the instructors to observe and study the ongoing work out
of the ARPT.
ii) Training and Visit System (T and V System):
The Training and Visit System has been recently introduced
into the national extension service. The system is.presently
being tested out in the Central, Southern and Eastern
provinces. The,World Bank is providing financial and profes-
sional support to the MAWD for the T and V system. It is












planned that as the new agricultural technology is developed,
it will be fed by the RLEO(s) of the ARPT into the T and V
system. The method to transfer the new technology for T and
V system extension officers will be through workshops and
seminars held at the Central Province Farm Institute and
Farming Training Centers. It is anticipated that the work-
shops and seminars will reach approximately 250 to 280 of the
extension officers in the Central Province. By taking
advantage of the instituted T and V system, it is hoped that
the new agricultural technology adapted through the ARPT
will be given a much wider distribution than is now possible.

iii) Rural Information Service (RIS):
The RIS is the primary office responsible for publishing
printed material, programming radio farm forums and preparing
audio visual materials. The World Bank Fourth Education
Project is providing financial and professional assistance to
the RIS. While the RIS is currently being assisted by another
donor, it should be closely monitored by the contractor of
this project. If it is determined during the first or second
year project evaluation that additional commodity or financial
assistance is required, the project contractor should consider
using part of the allotted contingency fund to provide
specific additional support. The RIS will support the research-
extension component of the project by providing brochures,
leaflets, bulletins and audio visual materials based on the new
agricultural technology recommended by the ARPT. Information
on the new technology will also become part of the farm forum
program which is disseminated by radio to the farm audiences.
Thus the published material and the radio program will be an
integral medium to transmit knowledge of improved technology
to extension officers and small farmers.
c) Female Extension Workers
Since 20% of households are headed by females and since
women are responsible for major agricultural tasks in all
households (for further description see below, Section IV,
C, Social Analysis), considerable attention must be paid to
this category of farmer. The project will reinforce MAWD
policies to increase the number and improve the quality of
female extension workers. At present in Zambia, women
comprise fewer than 5% of the staff of the extension service
(e.g. 13 female extension workers out of a total of 284 in
Central Province). Their work is hampered in a number of
ways: (i) most are stationed at provincial and district
headquarters rather than at agricultural camps in the field
(ii) in many rural areas social pressures are exerted
against women travelling and working alone, and (iii) the
training of female extension workers emphasizes home
economics, kitchen crops and poultry keeping; while training











in improved crop production practices, for example in maize
and sunflower that some women farmers grow, has been largely
limited to male extension workers. The project seeks to
improve this situation by (i) investigating the problems of.
women farmers, for example through the adaptive research by
the ARPT and through special studies ii) actively seeking
qualified female candidates, not only for in-service
training but for undergraduate and advanced degrees iii)
encouraging MAWD initiatives to extend information and
technology to women farmers, perhaps using a contact group
approach or women farmer field days.

5. Training
The participant training component of the project is aimed
at improving the professional qualifications of Zambian
scientists on the MAWD staff. At present, there are about
c~5 expatriates in the research branch under GRZ contract and
about 2) expatriates in the extension service. Current
relia:ice on expatriates for professional services is very
heavy, and the GRZ will seek to redress the balance between
Zambian and expatriate scientists and other professionals
over the next decade. The School of Agriculture at the
University of Zambia (UNZA) has been unable to keep pace with
national requirements for graduates in the agricultural
sciences. In 1979 it produced only 12 graduates (4 women)
with bachelors degrees in agriculture. Several steps have
recently been taken to alleviate this situation. The
planned intake of first-year students in agriculture at UNZA
has been boosted to 60 for 1981; freshmen students are now
able to designate agriculture as a major field; and
discussions are underway concerning the admission of NRDC
diploma holders to the University. Nonetheless, the Scheol
of Agriculture will have limited capacity for growth given
existing teaching and laboratory space at the Lusaka campus.
Even disregarding this physical constraint, several years
will be needed before the effects of new admissions policies
are felt in the form of an expanded pool of trained
agriculturalists.
For this reasons, the project proposes to train 34 Zambiahs
in various crop research and extension specialities to the
B.S., M.S., and Ph.D levels at US and other institutions in
third countries. The aim of the training program is to
provide the Zambian staff of the MAWD with the essential
scientific, technical and administrative skills needed to
carry out desired research and extension work. The training
will also assist the GRZ with its goal of Zambianization of
the senior level positions of the research and extension
services. The numbers and educational levels of the existing
MAWD Zambian research and extension staffs are indicated in








29.


Annex D Academic and in-service training provided by the
project will improve both the scientific and administrative
skills of Zambian professionals. The academic training is
designed to perfect a highly qualified core of professionals
who can deal effectively with agricultural research and
extension problems. The unusually large number of participants
to receive training for undergraduate and advanced degrees
under this project (4 Ph.D's in research, 15 M.S.'s and 15
B.S.'s in research and extension) is considered justified as
the most effective way, and probably the only way, to provide
graduate level Zambian scientists with the highly specialized
skills needed to carry out independent research in plant
breeding, soil fertility, microbiology, etc. B.S. level
training is required to strengthen research station management
capability, research support staff, and extension work.
Students receiving university training will be bonded to work
for the GRZ (MAWD) in appropriate positions for specified
periods of time commensurate with the length of time of
training. The project agreement will contain a covenant
requiring measures to ensure proper subsequent use of personnel
trained under the project. The cementing of the linkages
between Zambian researchers and researchers in other institut-
ions in the world is necessary for the development of a first-
class research development program. The exchange of knowledge,
genetic materials and research techniques and methodologies
is urgently needed to perfect the present MAWD research and
extension endeavours.

Short-term training will be an important element of the
training program. This will consist of third country study
assignments at courses sponsored by CIMMYT, IITA, ICIPE,
ICRISAT and INTSOY, as well as USDA and special US university
sponsored short courses. These courses, normally of a 6-
month duration, would include practical aspects of farming
systems research; maize/sorghum/millet breeding and production,
research administration, etc. Study tours of relevant
development projects in nearby countries (e.g. Zimbabwe and
Kenya) are also envisaged under this component of the project.

Within Zambia, in-service training sessions of 2 to 5
days duration will be supported. In-service training will be
targeted at such GRZ personnel as field extension workers,
extension and research supervisors, research assistants,
field interviewers, and data analysts. Workshops, seminars
and lectures will be planned, managed and taught by MAWD and
AID project staff personnel, including short-term consultants.
Training sites will include NRDC, field research stations,
Farm Institutes and Farmer Training Centers. Also, the
farmer training component of the project will consist of
short workshops of one or two-day duration for small farmers.











These workshops will be conducted at the Farmer Training
Centers and camp or station centers which will make it as
convenient as possible for the farmer to attend.

6. Special Studies
Funding under this part of the project will provide
opportunity to undertake supplementary studies that fall
beyond the purview of the CRT and ARPT. In order to support
project objectives, data and analyses may be required for
example, on the following topics: a) the relationships among
farming systems in Zambia with special attention to the
/ \ disequalizing effects of labor flows; b) the role of women
in farm-level decision-making and production; c) rural
consumer preferences and the acceptability of soybeans and
S other grain legumes as food crops at village level; d) the
.' reduction of shattering problems in soybeans; e) institutional
\` constraint to the adoption of improved technology,
mechanization and storage.
u Funding for such studies will be channelled in two ways:

a) University of Zambia Special Studies.
Over the five-year period these will amount to a total of
$300,000, the disbursement of which will be jointly determined
among MAWD, the University of Zambia, and the US university/
contractor. These studies would be for project-related work
involving faculty, graduate and undergraduate students in both
the technical and social science areas. For example, UNZA
will be asked to provide a Rural Sociologist to develop, in,
conjunction with MAWD, a program of work over the five-year
Life of the project. A sociologist from the US was originally
proposed but, at GRZ request, $50,000 was transferred from
short-term consultancy to special studies to cover the costs
of recruiting and supporting a qualified Zambian in this
position. The sociologist will assist the ARPT in all phases
of its work including questionnaire design, farmer contact,
and interpretation of results from social structural and ,
cultural points of view. Other UNZA personal will be engaged
on a more flexible basis. One of the objectives of this
funding is to encourage the development of a "demonstration
effect" on Zambian students of the advantages of a career in
agriculture.
b) Research Associate Spdcial Studies
Over the five-year period these will amount to $250,000
to meet fieldwork and report preparation requirements. Five
Ph.D candidates based at US universities (including Zambians
and other Africans) will be involved. The Research Associates
will provide full-time assistance to the project and serve












the dual role of conducting research i) that contributes to
the achievement of the objectives of the project and ii) in ,
partial fulfilment of the requirements of a Ph.D degree. The
Research Associates will be both social and technical
scientists and will work with the ARPT's and CRT's
respectively. The intention is, with five Research Associates
in Zambia over the life of the project, each for a period of
18 to 24 months, that there would be an average of two
individuals of this type in Zambia at any one time. The
Deputy Director of Agriculture (Research) indicated that study
tours of 18 to 24 months would be welcome but that shorter
tours would be of questionable value. The inclusion of
Research Associates in the project has the full agreement of
MAWD; indeed their inclusion was felt by both sides not only
to be mutually beneficial but important to the success of
the project as a whole.

Topics for the studies and choice of personnel will be a
joint decision between MAWD and the US university contractor.'
Such studies will tend to be relatively low cost, as Research
Associates will receive nominal salaries and an allowance of
$200 per month in lieu of housing.
7. Summary Conclusions
After in-depth discussions with the MAWD research and
extension staff at all levels, the PP team is satisfied that
the innovative approach proposed for the CRT's and ARPT's
and the resulting strengthening of linkages at national and
provincial levels, is technically sound and feasible. In the
six months since the PID was prepared, MAWD has devoted a
great deal of thought and attention to the development of
this concept and to-the redirection of agricultural research
to benefit the smaller farmer. The PP team found itself in
a dynamic situation, with momentum already provided by this
GRZ initiative, into which the proposed AID project should
fit smoothly, in a stroke of unusually fortuitous timing.







32.


B. ECONOMIC ANALYSIS

The main thrust of the project is in helping GRZ to
create some of the preconditions necessary for bringing
about improvement in the welfare of small farmers in the
long run. It is not, therefore, a revenue producing project,
making it difficult to analyse from an economic viewpoint.
For example, it is not possible at this stage to employ
conventional cost-benefit analysis.

1. Types of Economic Benefits

While costs of the project can be estimated it is much
more difficult to estimate the benefits. Reasons for this
include the following:
a) The benefits that will arise during the project will
result in intermediate products (e.g. such as trained
Zambians, redirected research priorities, etc.) which only
in the long run will bring about improvements in the welfare
of small farmers. Such benefits will include increases in
real income and improved nutrition levels among the rural
population. Benefits will also accrue to the national economy
in the form of reduced food imports resulting from increases
in domestic food production.
b) The benefits that will arise in the long run will directly
accrue to the different types of small farmers. However, in
addition it is likely that indirect benefits are likely to
accrue to emergent and perhaps even commercial farmers.
It is possible to design an improved technology that can only
be adopted by large farmers but it is not possible to design
a type which is only applicable for small farmers and cannot
also be captured by other types of farmers.
c) For the ultimate goal of improvement in the welfare of
small farmers to be attained preconditions other than those
under the purview of the project need to be fulfilled. Other
factors would include a satisfactory degree of development
of external institutions such as an efficient extension ser-
vice, credit facilities, input availability, market develop-
ment, etc. It would be virtually impossible to separate the
effects of different factors in and outside the project on
projected benefits. Therefore, it is impossible to estimate
"a priori" the benefits that eventually will arise from the
implementation of this project. However, numerous documented
studies in both high-and-low-income countries have demonstrated
the high potential pay-off in terms of return to public ex-
penditure in agricultural research (e.g. internal rates of
return in the USA 34-51%, India 63%, Columbia 71%, etc.) A
unique feature of this project which could have a favorable
impact on the internal rate of return is the explicit strategy
of strengthening the research-extension linkages.

2. Areas of Cost-Effectiveness
Because of the difficulty of measuring benefits with any


r



6 .-]











degree of accuracy, the only alternative is to pursue the
least cost method of achieving project objectives, i.e.
helping improve the welfare of small farmers through a
decentralized research system and through the integration
of applied research, commodity research and extension
services. The following activities of the project have been
designed in the least cost manner:
a) Training of Zambians is a major component of the project.
In the long-run there is no doubt this is the least cost way
of providing the necessary skills. Continuing to hire
expatriates to undertake such functions is simply not a
viable alternative. Moreover, other universities in the
Southern and Eastern African region do not at present have
openings for the numbers of Zambian students that would be
required to significantly expand the pool of agricultural
skills.
b) The "top-down" approach to developing improved technology,
that until recently characterized agricultural research in
Zambia has certainly not proved a cost effective way of
addressing the problems of small farmers. The restructuring
of research around multi-disciplinary CRT's and their strong
linkages to interdisciplinary provincial ARPT's provides
promise of a more cost effective way of addressing the
problems of different types of small farmers. This point is
developed further in the Technical Analysis (IV, 2 ARPT).
This can be achieved through the ARPT's helping to articulate
the research priorities of CRT's and undertaking adaptive
testing, based on an identification of those needs or
problems. This "bottom-up" approach to technology development
is now being implemented in many countries because it is
thought to be the only cost effective method of developing
improved technologies relevant to the needs of more dis-
advantaged farmers who traditionally have not had a "voice" in
determining research priorities. Just how cost effective
this approach will be is an empirical question but the fact
remains that the "top-down" approach has been completely
ineffective.
c) The institutionalization of the research-extension link
as proposed in the project has important implications in
terms of cost effectiveness. A common problem in many
countries has been the dichotomy between research and ex-
tension. As a result technology has often been developed
that has not been delivered to and disseminated by the
extension service in a timely manner. This project will
support the establishment of a new position the RLEO -
in order to perform the bridging function between small
farmers, applied research, commodity research and the
extension system.













C. SOCIAL ANALYSIS

1. Social Feasibility: Institution-Building

The project is designed to build institutions with two
levels of impact in mind; the national and the regional.
At the national level the project will strengthen the MAWD
by contributing advisers and training to the Commodity
Research Teams (CRT's). The project will also contribute
to institution building at the regional level by assisting
in the establishment of an Adaptive Research Planning Team
(ARPT) in Central Province. In the long-term the training
component of the project is compatible with the GRZ goal of
Zambianization of public service personnel.

The institution building approach of the project appears
feasible within the present social environment of MAWD.
The senior administrators and professionals in the research
division have expressed support for technical assistance and
training opportunities, as have the younger professional
officers who stand to be selected for training. The
proposals for strengthening the linkages between research and
extension have been firmly endorsed. Indeed, the chances
for project success are enhanced by the strong working
relationship that already exists between the research and
extension branches at Ministry Headquarters. Nevertheless,
a current problem is the poor communication and coordination
between research and extension at the lower levels of the
MAWD organization. This project is innovative in that it
seeks to integrate an extension component into the adaptive
research process. Special care will have to be taken to in-
volve all levels of extension officers in all phases of the
interaction between small farmers and the research establish-
ment. A more detailed assessment of participating GRZ in-
stitutions and GRZ support capabilities is given below
(Section IV, D, Administrative Analysis).
2. Beneficiaries
Beyond institution-building, a beneficial impact is
envisioned among the rural poor majority. In the broadest
sense, the concern of GRZ and AID strategy in agriculture
is with the 600,000 small farmers in Zambia. This is the
group that is often referred to by GRZ as "traditional"
farmers. The project will help to reorient research
priorities in such a way as to contribute in the long run
to improvements in the welfare of this group. Moreover,
the adaptive research process will facilitate the
participation of smallfarmers in the identification and
solution of agricultural problems.











In order to clarify the meaning of "small farmer" and
to pinpoint target groups for the project, a brief discussion
of criteria for the classification of farmers is in order.
Crudely speaking, one of the main characteristics that
distinguishes types of farmer in Zambia is the area of land
under cultivation:

Type Cultivated Area Estimated Numbers

Commercial Farmers Over 40 ha. 400
Semi-commercial Farmers 20 40 ha. 5,000
Emergent Farmers 5 20 ha. 70,000
Small Farmers 0 5 ha. 600,000

Other characteristics, for example, the source of power for
cultivation, can be assumed to roughly coincide with and
reinforce this classification. Most small farmers till only
with a hoe, emergent and semi-commercial farmers with oxen,
and commercial farmers with tractors. Similarly, the smaller
farmers are distinguishable according to the proportion of
produce marketed and cash income from agriculture (low),
access to farm inputs (low), source of labor (family rather
than hired) and settlement pattern (village rather than in-
dividual homestead).

The emphasis on the small farmer does not imply a single
or rigidly defined target group. The advantage of adaptive
research is that it permits the development of recommendations
for a wide range of farming systems and the delivery of
differentiated packages of technology tailored to the
needs of distinct producer groups. The task of defining
precise domains for agricultural recommendations will fall to
the ARPT. The work of the ARPT will take note of the
heterogeneity of farming systems within the small farmer
category. The ARPT may not be able to influence the develop-
ment of technologies relevant to all potential target groups
during the life of the project. .But, in choosing where to
place emphasis in initial research activities, the ARPT will
have to balance at least two considerations. On the one hand,
certain improved small farmers, especially those cultivators
up to 5 hectares with oxen, are in a position to take
advantage of market opportunities providing they can break
one or more constraints of present farming systems. This is
the group most likely to immediately respond to relevant
technologies and to contribute to national food production.
On the other hand, other categories of small farmer clearly
constitute the poor majority. Those farm families cultivating
under two hectares (with hand-held hoes, perhaps 400,000 in
Zambia) are most likely to face seasonal food deficits and
to have female heads of households. In order to meet GRZ











goals and the AID mandate, the project must maintain a
focus on multiple target groups within the small farm
sector.

3. Choice of Location

The dualism that marks Zambian society and economy is
manifest in regional disparities. A clear distinction exists
between two types of rural province: those on the "line-of-
rail" (i.e. Southern, Central, Lusaka and Copperbelt) and
the outlying provinces (Northern, Luapula, Northwestern,
Western and Eastern). The line-of-rail provinces are best
served by the infrastructure of agricultural services -
NANBOARD depots, cooperative marketing unions, agricultural
extension camps as well as enjoying proximity to urban
markets. Agricultural production in the outlying provinces
has been inhibited in large part by problems with the timely
delivery of inputs, collection of produce, and payment of
farmers. Government agencies responsible for these services
have simply been stretched too thin.

The choice of location for ARPT activities was governed
by two considerations. First, the ARPT must have easy access
to the project target groups among the rural poor majority.
In this regard, almost any province in'Zambia would have
qualified; according to the Census of Agriculture 1970-71,
in no province do small farmers constitute fewer than three-
fourths of the total. Second, the chances for farmers-to
respond to relevant and improved technology must be maximized.
Since the project does not make provision for the upgrading
of agricultural support services, the choice of location was
restricted to areas where the infrastructure was already
relatively reliable.

The GRZ requested that the ARPT be set up at Kabwe
Regional Research Station and that its work begin in the
Central Province. This choice of location fulfills the
necessary conditions: 80% of the farmers in Central Province
cultivate less than 5 ha. and 60% less than 2 ha., yet they
are served by a road, rail, marketing and extension infra-
structure that is better developed than the norm. The
Central Province lies on the Zambian plateau at a consistent
altitude of 1000 metres above sea level and receives a
uniform annual rainfall of 800-1000 mm. The population of
345,000 comprises some 75,000 farm households and is spread
over a large area in a low density of about 3 persons per sq.
km. The main starch staples grown by small farmers are
maize and sorghum with millet and cassava also important in
some areas. Maize serves as both a food crop and as a cash









crop, whereas the others are always consumed locally as
porridge (or beer) supplemented with a side-dish of fish,
groundnuts, beans or leafy vegetables. For the most part,
emergent and commercial farmers are restricted to pockets in
Mumbwa District, parts of Kabwe Rural District, and the
Mkushi block. Small farmers predominate in all other parts
of the province. The ARPT may wish to pay particular
attention to Serenje District which is populated almost
exclusively by unimproved or subsistence village farmers.
The ARPT may also wish to build upon the preliminary analysis
of the eight distinct farming system domains in Central
Province (six of them traditional) prepared for MAWD by the
International Maize and Wheat Improvement Centre/East Africa
(CIMMYT/EA).
4. Spread Effects

The work of the ARPT will increase resources devoted to
farm level research as a complement to the work conducted on
experiment stations. Trials of new agricultural technologies
will first be conducted on farmers fields under the super-
vision of researchers and extension workers with the assist-
ance and labor of farmers. Later, the farmers themselves will
assume all management functions and fully test recommendations
within the context of their own annual agricultural cycles.
In this process, those farmers who participate in farm trials
and tests will benefit most quickly and directly from the
spread of relevant technologies. Indirect benefit will accrue
to farmers with similar crop mixes and conditions of operation,
especially the 3-4000 who attend in-service training sessions
organized under the project. Since Central Province enjoys
fairly homogenous ecological conditions, it is likely that
technologies developed on the basis of farm trials and tests
will have potential for broad diffusion. Spread effects might
also be reasonably expected to other provinces where comparable
farming systems prevail or where Zambian researchers trained
under the project are able to initiate further adaptive research
investigations.
5. Social Feasibility : Small Farmers
It seems feasible that the project will benefit target
groups among small farmers and have a measure of spread effect,
providing three caveats are considered.
a) Agricultural support services must operate efficiently and
effectively. It is no good recommending the adoption of
hybrid seeds or fertilizers, for example, if these inputs are
unavailable at local depots at planting time or if payment for
the previous season's crop has not been made. Moreover,
technology development must be realistically matched to the






38.


capacity of the existing support system to deliver.
b) The success of this project also depends on the effective
transfer and evaluation of recommendations by the agricultural
extension service. Since the Training and Visit System has
been more fully operationalized in the Central Province than
elsewhere in Zambia, it is hoped that a reasonable degree of
diffusion of innovations will occur. Training for agricult-
ural assistants provided under the project cannot alone
reinvigorate the entire extension service. Special effort
will also have to be made to direct the attention of extension
workers beyond the existing clientele of emergent farmers.
In Central Province many of the most successful producers are
settlers from outside the area. In addition to servicing the
concentration of Tonga, Lozi and Zimbabwean emergent farmers
in Mumbwa District, for example, extension should address the
needs of the Lenje, Lala and Shwaka groups (among others)
indigenous to the Central Province.
b) There is some question regarding the acceptability of
certain oilseed commodities by small farm families. Sunflower
and cotton have caught on as cash crops, especially among
emergent farmers (90% of marketed sunflower production comes
from noncommercial farms);. soybeans, however, are produced
almost exclusively (95%) by commercial farmers. The latter
commodity is used primarily as a stockfeed and does not
presently play a part in human diets in villages. The work
of the soybean breeder designated under the project is un-
likely to be relevant to the rural poor majority unless
accompanied by a widespread change in food preferences.
Given its richness in protein, however, soybean has high
potential for improving nutrition in Zambia. It can also
double as an alternative cash crop and, when planted in
rotation, serve as a partial substitute for nitrogenous
fertilizer. On balance, the soybean component of the project
can be endorsed with two provisos: first, that a special
study is made of rural consumer preferences and the accept-
ability of soybeans as a village food crop; and second, that
nutrition education programs are undertaken to promote
acceptability of this new commodity.
5. The Role of Women
Women are central to agricultural production in Zambia.
Not only do they provide a significant proportion of the labor
force on commercial and emergent farms but produce 80% of the
domestic food in the traditional sector. Women cultivate
field and kitchen crops and are responsible for processing
starch staples into meals.
Part of the reason for this pivotal role of women lies in
the political and economic history of Zambia. During the
colonial era most rural areas were incorporated into a








Southern African mining complex which stretches from
Capetown, South Africa to Lubumbashi, Zaire. Able-bodied
males were drawn out of the rural areas into urban mine
employment. Men were usually responsible for shifting
slash-and-burn axe-cultivation or cattle-keeping, but
male outmigration and woodland depletion have led to
greater emphasis being placed on hoe-cultivation by women
on permanent plots. Income-generating activities such as
beer brewing and the sale of groundnuts have traditionally
been the preserve of women and continue to be important to
small farm households today. Indeed, many female-headed
households rely on these activities as a sole source of
income. The proportion of female-headed households varies
from province to province, the highest up to 60t; Central
Province averages about 20%.

Women are over-represented among the poorest stratum of
traditional farmers. Seasonal labor is one of the scarcest
factors 6f production in rural Zambia and a major constraint
on increased production by households headed by widows or
divorcees. Research by the Rural Development Studies Bureau
(RDSB}, University of Zambia, shows that women farming alone
are susceptible to the reclamation of tools and equipment
by the families of men who are dead or departed. The
cultivation of permanent fields is demanding in terms of
the intensive labor required for hoeing, ridging and weeding.
As a result female-headed households have often reduced the
area of staples under cultivation or changed crop chaides in
favor of low-husbandry but low-nutrition crops such as cassava.
The RDSB study shows that one-third of the female-headed
households have insufficient grains to engage in brewing
beer for sale. Moreover, women and. children whose household
production is stalled below the subsistence level are in-
creasingly being driven into piecework as hired laborers for
more successful farmers.
The ARPT? in its focus on multiple target groups with
different farming systems, should take care not to exclude
female-headed households. Indeed it should seek to move
beyond the existing CIMMYT methodology by including sex of
head of household as one criterion in discerning recommend-
ation domains. COther possible criteria include ethnic
group, and whether or not farmers are registered with the
extension service. See also Annex C.J Moreover,: as part
of the project, special studies are recommended on women in
agricultural production in Zambia which would address the
following topics, among others: the accessibility of female-
headed households to resources such as labor, tools and
credit; the generation and. retention of farm- and off-farm
income by women; the labor requirements of the farming systems


39.


~ ..






40.


of female-headed households and the flexibility (or lack
thereof) available for the introduction of innovations;
role of female extension workers in fostering contact with
women as agricultural producers (see also Section IV, A,
Technical Analysis).

7. Summany of Social Impact
The project aims primarily at institution-building within
MAWD and evaluation of the project should reflect this.
The extent to which MAWD is better able to address the
technological constraints of small farmers is the most
appropriate criterion for assessing social impact. Some
small farmers, including households headed by women, will
directly benefit from farm trials, test, and demonstrations,
and from the adoption of improved technology. Wide and
sustained spread effects, however, depend in part on the
commitment and capacity of agricultural support agencies
other than MAWD and beyond the scope of this project.





41.


D. ADMINISTRATIVE ANALYSIS
1. Administrative Arrangements for US Technical Assistance

a) Coordination among Three Locations by Team Leader
The biggest administrative problem arising from the
implementation of this project is the fact that the US long-
term technical assistance team will be located in three
different locations in Zambia: four members will be in the
Lusaka area (the Team Leader in town near MAWD and three at
the main research station at Mount Makulu); three in Kabwe
(Central Province), 100km north of Lusaka; and one at Magoye
(Southern Province) 120km south of Lusaka. This distribution
is required by the nature of the GRZ agricultural research
network, with actual locations dictated by the selection of
crops covered. Although in all cases access to Lusaka and to
the other stations concerned is good (first class paved roads),
US advisers will be housed at their respective stations, which
will present a number of administrative problems. For this
reason, and the general complexity of the project involving 7
long-term advisers and 62 p/m of consultants, an overall team
leader is deemed necessary, an experienced agricultural
professional who can coordinate the work done-by the US team
at the various locations and serve as the team's spokesman
with MAWD in Lusaka. The Team Leader will report directly to
the MAWD Director of Agriculture and would work very closely
with the Deputy Directorsfor Research and Extension. He will
also play an important substantive role as a farm systems
economist supporting the CRT structure, with progressively more
time devoted to the substance of research in the latter years
of the project.
The Team Leader will be based in Lusaka, where he can work
closely with MAWD and yet would be only 15 minutes away from
the Mount Makulu Research Station. A house and a separate
office would be rented in Lusaka for the Team Leader, as there
is inadequate office space at MAWD Headquarters. The Team
Leader will be the first team member to arrive in Zambia, as
soon as possible after the US university contractor is selected
and probably several months ahead of the other team members.
His early tasks will include planning the arrival schedules
for the long-term advisers and the first short-term consult-
ants, working closely with MAWD to select the first groups of
Zambians to go to the US for academic training and laying the
professional groundwork and workplan for the balance of the
US team. The Team Leader will hire an Administrative Assist-
ant locally whose job it would be to handle numerous time-
consuming, yet important logistical details, involving housing,






42.


furnishings, vehicles, arrival and delivery of project
commodities, etc. The Team Leader would also hire locally
a secretary and driver who would support the AID team as a
whole.
b) Housing of the US Team

Housing for the US team in the three locations mentioned
is not now available and would have to be built and financed
under the project. Timing of construction is clearly of
paramount importance as team members will not be able to work
effectively unless they are resident at their respective
stations. With the exception of the Team Leader who can
occupy rented quarters in Lusaka, long-term team members
should not be sent to Zambia until their housing is completed.
Short-term consultants can, of course, be sent at any time, as
they require far less logistical support.
The GRZ has prescribed standards for staff housing, and
architectural plans for senior staff (suitable for expatriate
professionals) have been reviewed by REDSO/EA engineers and
found satisfactory. These three-bedroom houses, several of
which were inspected by the PP team, are adequate for families
with no more than two children at post. Appropriate
furnishings will be provided under the project.

The main problem with respect to housing is the time
required for construction if local private contractors are
employed. Estimates of about one year were quoted after the
construction contract is signed before the houses are ready
for occupancy, due mainly to financing, labor and supply
problems. The GRZ has proposed to build the houses using
MAWD's own construction teams, which have in the past proved
to be more reliable and faster than local private contractors.
Using these procedures a construction period of six months
is considered sufficient. The GRZ has also agreed to furnish
suitable building sites, provide electrical and water connec-
tions and assign Department of Public Works engineers to
supervise construction. Construction delays are frequently
the result of financing uncertainties, which should not be a
problem in this case, since AID will fund construction costs.
To reduce construction time, some consideration was given
to exploring pre-fabricated housing, perhaps from Zimbabwe,
but local examples seen by the team did not appear to be as
solidly constructed as conventional houses built by Zambian
contractors. Since the houses will be used by the Zambian
research staff long after the end of the AID project (at
least a 40-year life expectancy is desired), both MAWD and
the project design team preferred to remain with normal GRZ
house construction practices.






43.


c) Schooling Problems

An important recruitment constraint for the US team will be
the lack of adequate schooling in the rural locations (Kabwe
and Magoye; Mount Makulu's proximity to Lusaka is an exception).
In Kabwe the convent primary schools are generally considered
adequate for boys until age 8 and girls until age 13 although
classes are large (40-50). Selection of advisers for the
two rural areas would, therefore, probably have to exclude
candidates with children in fourth grade through high school,
unless they are willing to consider boarding school.

d) Implementation under US University Contract
Implementation of this project will be contracted by AID
to a US university or consortium of universities. Selection
will be based on competitive bidding, judged jointly by AID
and the GRZ (MAWD).
For procedures on selection of the university contractor,
see Section VI below (Implementation Plan). The length of
the project covered by this PP will be five years. However,
because of the long-term nature of the research to be under-
taken, it is likely that the present project, if successful,
may be followed by another second and perhaps even a third
five-year phase. As for the first phase, it would be desir-
able for as many as possible of the US team members to
remain for the full five years for maximum continuity. A
basic tour of three years is recommended with an authorized
"R & R" holiday trip annually for each US family.* Staff
members desiring a second tour would take home leave in the
US at the end of the third year, while for the others re-
placements would arrive at that time.
The microbiologist to be supplied under the project will
not strictly be a member of the technical assistance team. -
He will play a direct operational role at Mount Makulu,
filling in for MAWD's sole Zambian microbiologist while the
latter is in the US pursuing a Master's degree. The US
microbiologist will be sought under an OPEX arrangement for
a two-and-a-half year period to provide appropriate before-
and-after overlap with his Zambian counterpart in training.
2. Role of AID/Zambia
The present two-member AID office in Lusaka will be
expanded before the end of 1980 to include an agricultural
officer and a management officer, both of whom are expected
to play an active supporting role in this project, especially
during the first two years. The agricultural officer, will
act as liaison between the US Agricultural Research and
Extension team and AID/Zambia on matters of program and

*R & R travel funds can be applied for an annual trip to the
east coast of the United States for R & R and/or to attend
professional meetings.








substance. He will be largely responsible for conducting
an annual Project Evaluation Summary (PES) with the team's
help (see Section VII, Evaluation Plan). On the logistical
side, the AID management officer will assist the Team Leader
in facilitating the smooth start-up of the project in the
first months following the team's arrival. Another useful
function of the AID/Zambia office will be in the area of
participant training. A well-qualified Zambian training
assistant is already employed at the AID/Zambia office and
will be able to prepare and process much of the required
training documentation such as PIO/P's and bio-data forms.
The training assistant will also work on the Ag. Studies,
Training and Institutional Development Project (611-0075)
which has an equally large training component. Despite
excellent anticipated project support from AID/Zambia, it
should be borne in mind that all of the AID staff will have
numerous other responsibilities and will be able to devote
only a limited portion of their time to this project. For
day-to-day management, the project will have to rely on the
Team Leader and his administrative assistant.
3. Assessment of Participating GRZ Institutions
The institution-building objectives of this project have
been emphasized throughout this paper. The GRZ entities
most directly involved are, of course, the Research and
Extension divisions of MAWD. Both are well-established and
have developed an infrastructure over the years which place
them well ahead of similar institutions in most African
nations. Although thinly staffed at the professional level,
both have capable, progressive leadership. Both directors
are foreign-trained (Research-US and Extension-New Zealand)
and appear to have an excellent relationship both with each
other and with the various expatriate experts who assist them.
Both the Directors of Research and Extension and members of
their senior staff were extraordinarily cooperative and help-
ful to the PP team in the development of this project. Senior
MAWD staff collectively devoted over 150 person/hours of time
with the PP team, including \meetings and field trips. This
represents several times the average host government partic-
ipation in the design of an AID project and reflects the
degree of GRZ interest.
Although it has an infrastructure which has been described
as potentially one of the most effective in Africa,*the MAWD




*The Agricultural Education Sector in Zambia: Constraints and
Opportunities, by William T. Levine, South-East Consortium for
International Development, 1978.










Extension Service's performance suffers from a number of
shortcomings, including inadequate teaching for its large
staff (over 1500 extension workers), lack of transport for
field staff, and a low level of incentive for extension
agents in terms of housing, per diem allowances and working
conditions. The Research Organization, although possessing
a network of 23 field stations around the country is critically
short of trained Zambian staff and is constrained in the
operations by recent Government-wide budget cuts.
Despite these limitations, MAWD has made significant recent
progress in improving its research organization, with the
creation of the new Commodity Research Team and Adaptive
Research Planning Team structure. Much has already been
written in this paper about the CRT and ARPT, but the point
to be made here is that this initiative was taken by MAWD
immediately prior to the design of this project and was thus
not imposed by AID or the contract design team as the basis
for the project. Nevertheless, it will indeed serve as the
framework around which the US technical assistance will be
based and is expected to receive full GRZ backing as a con-
cept of MAWD's own creation.
4. GRZ Support Capabilities

a) Counterpart staff MAWD will be expected to assign a
Zambian professional counterpart to each of the seven US
technical advisers supplied under the project. Considering
the limitations of the size of the Zambian professional re-
search and extension staffs and the several other foreign
donor projects which they must support, it is evident that a
full-time senior person cannot be furnished in most cases.
The choice may then be between sharing a senior Zambian with
one or more other projects on a part-time basis or accepting
a full-time junior person (Diploma level) who may have very
little experience or operating authority. Although the
training value of the latter option may be high, regular
access to a senior Zambian professional will be important
for every US adviser. Therefore, the GRZ will be asked to
identify a Zambian counterpart of appropriate rank for each
US adviser, even one already working with another relevant
project. In cases where counterparts are sent to the US
for long-term training, substitute counterparts will be
designated by MAWD, normally the official replacements for
the officers in training.
b) Selection of trainees although all of the long-term
training proposed in the project is badly needed, the GRZ
may have difficulty in identifying suitable candidates,
freeing them for 2-3 years of study abroad and finding
replacements to do their work in the meantime. For this
reason, there may have to be some trade-offs between the four







46.


proposed Ph.D training positions and those at the Master's
degree level, if sufficient Ph.D candidates cannot be found.
The GRZ is being strongly urged to identify participants
for training at the outset of the project. To enforce this
principle, AID will plan the arrival in Zambia of the
advisers (other than the Team Leader) to coincide with the
final selection of the first group of Zambian participants.
E. ENVIRONMENTAL CONCERNS
An Initial Environmental Examination recommending a
negative determination was submitted with the PID in January
1980 and approved in AID/W as part of the PID review process.
Since this Project Paper proposes no significant design
changes from the PID, no further environment analysis is
necessary. The IEE is attached to this paper as Annex J.






47.


V. FINANCIAL PLAN
A. SUMMARY OF AID PROJECT BUDGET
Total AID life of project contributions total $12,515,000,
of which $2,779,000 represent allowances for inflation and
contingencies. These allowances constitute an increase of
28.5% over the 1981 "base price" of the US contribution of
$9,536,000.

Major. components of the project budget are as follows:

Technical Assistance $ 5,223,000
Training 2,662,000
Commodities 834,000
Construction 405,000
Operational Recurrent Costs 612,000

TOTAL 9,736,000
Inflation at 10% compounded annually 1,852,000
Contingency 8% 927,000

GRAND TOTAL AID BUDGET $ 12,515,000

It will be noted that this budget represents a 54% increase
from the PID estimate of $8,156,000 for AID's life of project
contribution. Although the final design of the project re-
mains unusually faithful to the initial proposal in the PID,
several factors explain the cost increases from the earlier
provisional budget.
1. Direct technical assistance costs have increased by just
over $1 million, although they now represent a lower percent
of the total US budget (about 40%) than in the PID (about
50%). This increase is the result of a) the addition of one
and a half more staff members: a Team Leader/agricultural
economist for 5 years and an OPEX microbiologist for two and
one half years, and b) a higher level of cost estimates for
technical assistance (now budgeted at an average cost of
$125,000 per year). The PID cost estimate failed to take
account of institutional overhead assigned to technical
assistance.
2. The training budget has increased by about $850,000 as a
result of refinements in the training plan, which now include
the Special Research Grants ($300,000) and the Research
Associate Program ($250,000).






47.


V. FINANCIAL PLAN
A. SUMMARY OF AID PROJECT BUDGET
Total AID life of project contributions total $12,515,000,
of which $2,779,000 represent allowances for inflation and
contingencies. These allowances constitute an increase of
28.5% over the 1981 "base price" of the US contribution of
$9,536,000.

Major. components of the project budget are as follows:

Technical Assistance $ 5,223,000
Training 2,662,000
Commodities 834,000
Construction 405,000
Operational Recurrent Costs 612,000

TOTAL 9,736,000
Inflation at 10% compounded annually 1,852,000
Contingency 8% 927,000

GRAND TOTAL AID BUDGET $ 12,515,000

It will be noted that this budget represents a 54% increase
from the PID estimate of $8,156,000 for AID's life of project
contribution. Although the final design of the project re-
mains unusually faithful to the initial proposal in the PID,
several factors explain the cost increases from the earlier
provisional budget.
1. Direct technical assistance costs have increased by just
over $1 million, although they now represent a lower percent
of the total US budget (about 40%) than in the PID (about
50%). This increase is the result of a) the addition of one
and a half more staff members: a Team Leader/agricultural
economist for 5 years and an OPEX microbiologist for two and
one half years, and b) a higher level of cost estimates for
technical assistance (now budgeted at an average cost of
$125,000 per year). The PID cost estimate failed to take
account of institutional overhead assigned to technical
assistance.
2. The training budget has increased by about $850,000 as a
result of refinements in the training plan, which now include
the Special Research Grants ($300,000) and the Research
Associate Program ($250,000).














3. Commodities, only a rough estimate at the time of the
PID, have grown by about $350,000 with the compilation of a
definitive list of required equipment and supplies. The
commodity budget includes a 7% fee for the US Procurement
Agent and a $20,000 supplement for air freight of critical or
fragile items.

4. The PID budget gave insufficient attention to operational
costs arising from the activities of the US team, apart from
those contributed by the GRZ. A budget of just over $600,000
has been added for this purpose, details of which can be
found in the Financial Annex.

5. Finally, the PP budget includes a more liberal provision
for inflation and contingency than was thought necessary when
the PID was prepared. A contingency of almost $1 million is
now allowed. While this is only 8% of the inflated cost of
the project, it is considered adequate because the main elements
and activities of the project are clearly defined and major
deviations are considered unlikely. With respect to inflation,
a 10% rate, compounded annually,is considered sufficient
since all of the construction and 90% of the commodities will
be financed during the first year. Subsequent year expenditures
relate primarily to US technicians' costs and training, which
are considered unlikely to increase by more than 10% annually.

B. GRZ CONTRIBUTION
The GRZ budget for this project totals $4,256,000 or 25.38% of
overall costs. The host government will mainly be in-kind,
through the provision of personnel, facilities and services.
Since most of the Zambian staff involved as well as facilities
to be used already exist and are in the GRZ budget, the
additive recurrent cost burden on the GRZ will not be great.
Nevertheless the GRZ has committed itself to devote considerable
human and institutional research towards the objectives of this
project. Although the high priority attached by MAWD to the
support of this project has been amply demonstrated by the
active participation of senior ministry officials in the design
of the project, MAWD's ability to meet its recurrent cost
obligations should be examined in the light of austerity
measures imposed from time to time by theGRZ on its operating
ministries because of the effect on the Zambian economy of
fluctuating copper prices. As reported in the PID (p.20),
severe cuts were imposed in 1979 on the MAWD research and
extension budgets. However, in the case of research, half of
this cut (about $450,000) was later restored by a budget
supplement. Following are revised figures for the MAWD







49.


research and extension budget for the past two years.
MAWD Research/Extension Budget ($000)

1979 1980 % Increase

Research

Recurrent 2036 2513 23.4%
Capital 1273 2363 85.6%
Total 3309 4876 47.3%

Extension

Recurrent 7910 8674 9.6%
Capital 2469 3810 54.3%

Total 10,379 12,484 20.2%

An examination of the GRZ budget on a year-by-year basis
reveals that most current costs relate to staff salaries of
Zambian personnel working on project activity directly or
those in the US for long-term training. The effects of this
on MAWD will be of an opportunity cost nature, rather than
a heavy burden of additive financing. The AIDREP/Zambia and
the design team believe that the GRZ budget is within
reasonable limits and that MAWD will have both the resources
and the motivation to fulfill its commitment under the project.

A multi-year comparison of the MAWD budget and its research
and extension components is given below. In addition to steady
increases in absolute terms, research and extension have also
received some increase in percentage terms except for 1979 when
MAWD received a sizeable increase in its headquarters capital
budget.
Multi-year Budget Comparisons ($000)
Unit 1976 1977 1978 1979 1980

Research 2181 2756 3510 3309 4876
Extension 7364 8665 10,071 10,379 12,484
MAWD 106,602 117,775 96,869 177,350 169,405
GRZ 773,600 1,046,708 971,555 1,231,255 1,286,964





50.


Multi-year Budget Comparisons ($000)


Percentages 1976 1977 1978 1979 1980
MAWD as % of GRZ 13.7 11.2 9.9 14.4 13.1
Research as % of MAWD 2.0 2.3 3.6 1.8* 2.8*
Extension as % of MAWD 6.9 7.3 10.3 5.8* 7.3*
Dept.of Agriculture 8.9 9.6 13.9 7.6* 10.1*
(Rsh + Ext) as % of
MAWD


* Declines in % due to larger than normal capital allocations
to MAWD Headquarters.

The GRZ project budget is summarized in the following table
showing major headings by fiscal year. For a breakdown of the
GRZ budget, see the Financial Annex, where the full budget
submitted by the MAWD is included. In the Annex table,
support costs, which parallel the presentation of the AID
budget, are indicated in Zambian kwacha (Kl.00 = $1.25).

C. SUMMARY FINANCIAL TABLES
Pages 51-55 contain financial tables summarizing the AID
and GRZ contributions to this project by category and fiscal
year.





SUMMARY OF GRZ PROJECT EXPENDITURES BY FY ($000)


FY 81 PY 82 FY 83 FY 84 FY 85 TOTALS


Support to US Technical
Assistance 104.8 112.8 113.9 108.8 111.0 551.3

Support to Training 106.3 261.7 328.1 288.8 288.8 1273.7

Operational Recurrent
Costs 191,2 209,9 177.6 234.1 259.8 1067.6,

Basic Totals 402.3 584.4 619,6 631.7 654.6 2892.6

Totals with inflation
15% (compounded annually) 402.3 672.1 884.8 869.5 1040.1 3868.9

Contingency 10% 40.2 67.2 88,5 86.9 104.0 386.8

GRAND TOTAL GRZ BUDGET 442,6 739,3 973.3 956.4 1144.1 4255.7






ESTIMATED AID PROJECT EXPENDITURES BY FISCAL YEAR (US$000)


LONG-TERM ASSISTANCE


FY 81 FY 82 PY 83 FY 84 FY 85


Soybean Breeder
Maize Breeder
Sunflower Agronomist
Farming Systems Economist
Agronomist
Extension Agronomist
Agricultural Economist

SUB-TOTALS


SHORT-TERM TECHNICAL ASSISTANCE

N Soil Scientist (8 P/m)
Entomologist (6 P/m)
Plant Pathologist (7 P/m)
Farm Systems Analyst (4 P/m)
Sr. Rural Dev. Specialist
(5 P/m)
University Coordinator (3 P/m)
Librarian (2 P/m)
Evaluation (6 P/m)
Microbiologist (OPEX-30 P/m)
Microbiologist (2 P/m)
Other Specialities (7 P/m)


SUB-TOTALS


125
125
125
125
125
125
125

875


125
125
125
125
125
125
125

875


63 125


117

992


125
125
125
125
125
125
125

875


21
11
11
11

21

11
32
125

21

264


125
125
125
125
125
125
125

875


125
125
125
125
125
125
125

875


625
625
625
625
625
625
625


.4375


21
21
21
11


107


54
32
22
64
313
22
75

848


139


982 1014 5223


TECHNICAL ASSISTANCE TOTALS


TOTALS


1096 1139






ESTIMATED AID PROJECT EXPENDITURES BY FISCAL YEAR


TRAINING FY 81 FY 82 FY 83 FY 84 FY 85 TOTALS

Ph.D Candidates (4 x 3 Yrs.) 80 80 80 240
M.S. Candidates (15 x 2 Yrs.) 40 140 260 160 600
B.S. Candidates (15 x 2 Yrs.) 160 300 300 140 900
Short Courses (27) 10 50 70 70 70 270
Incountry Training 25 25 25 25 100
Special Study Grants (6) 50 50 100 50 50 300
Research Associate Program 63 63 63 63 252

TRAINING TOTALS 260 708 898 588 208 2662

CONSTRUCTION
SLong-Term Advisor Houses (6) 375 375
1 Screenhouses (3) 30 30

CONSTRUCTION TOTALS 405 405

COMMODITIES

Vehicles (12) 120 60 180
Tractor (1) 18 18
Motorcycles (52) 31 31 62
Research Equipment 438 438
Household Furniture(7 sets) 126 126
Office Furniture (Team Leader) 10 10


91 834


COMMODITY TOTALS


743


(US$OO000) (Continued)





EXPENDITURES BY FISCAL YEAR (US$000)(Continued)


FY 81 FY 82 FY 83 FY 84 FY 85 TOTALS

OPERATIONAL RECURRENT
COSTS

Project Expendables 66 66 66 66 66 330
Administrative Recurrent
Costs 24 30 30 30 30 144
Vehicle Fuel & Maintenance 46 37 28 18 9 138

RECURRENT COST TOTALS 136 133 124 114 105 612
TOTAL PROJECT COSTS 2536 1937 2161 1775 1327 9736
TOTAL COSTS WITH 10% INFLATION
(compounded annually) 2536 2131 2615 2363 1943 11588

CONTINGENCY 8% 203 171 209 189 155 927



GRAND TOTAL AID BUDGET 2739 2302 2824 2552 2098 12515


ESTIMATED AID PROJECT





SUMMARY OF PROJECT INPUTS ($000)

AID GRZ TOTAL

FX LC FX LC FX LC

Technical Assistance 5223 551 5223 551

Training 2136 526 -1274 2136 1800

Commodities 834 834

Construction 405 405

Operational Recurrent
Costs 12 1068 1680

TOTAL 8193 1543 2893 8193 4436

Inflation 1482 370 976 1482 1346

Contingency 742 185 387 742 572

6354
GRAND TOTAL 10,417 2098 -4256 10,417






56.


VI. IMPLEMENTATION PLAN

A. ROLE OF THE UNIVERSITY CONTRACTOR

1. Selection Procedures

AID-financed inputs for this project will be implemented
by a professional team supplied by a US university selected
under a competitive bidding procedure. The US university
team will work for and with the GRZ implementing agency, the
.MAWD Department of Agriculture's Research and Extension
Divisions.

At the PID stage it was intended that this project be
designed in final form and implemented under the Title XII
Collaborative Assistance Mode. However, there proved to be
insufficient time for the Title XII selection procedures to
be completed early enough to permit project authorization
and initial obligation in FY 1980. Instead AID used an
existing Cooperative Agreement with a US university to under-
take preparation of the Project Paper in July 1980. To
implement the project a direct AID-university contract is
proposed, with a short list of eligible universities to be
drawn up by the AID Project Committee based, inter alia, on
recommendations from the GRZ, AID/Zambia and REDSO/EA.
Requests for proposals will be prepared and issued by the
AID/W Contract Office as soon as possible after execution of
the Project Agreement with the GRZ to permit arrival of the
long-term technical assistance team in the Spring of 1981.
2. Administration of Training Program
The project's training program will be administered by the
contracting university, as will the Research Associate Program.
Roughly 20-30 per cent of the Zambian participants in long-
term academic training in the US would attend the contracting
university, which would have the responsibility of placing
the remaining students at other appropriate US universities.
B. CONSTRUCTION PROCEDURES
The only construction financed under the project will be
six houses for the long-term US advisers and three plant-
breeding screenhouses for experimental purposes. The
screenhouses will be very simple wood-frame structures which
will be built using labor at the research stations and locally
available materials.
The six houses to be built will be located at the MAWD






56.


VI. IMPLEMENTATION PLAN

A. ROLE OF THE UNIVERSITY CONTRACTOR

1. Selection Procedures

AID-financed inputs for this project will be implemented
by a professional team supplied by a US university selected
under a competitive bidding procedure. The US university
team will work for and with the GRZ implementing agency, the
.MAWD Department of Agriculture's Research and Extension
Divisions.

At the PID stage it was intended that this project be
designed in final form and implemented under the Title XII
Collaborative Assistance Mode. However, there proved to be
insufficient time for the Title XII selection procedures to
be completed early enough to permit project authorization
and initial obligation in FY 1980. Instead AID used an
existing Cooperative Agreement with a US university to under-
take preparation of the Project Paper in July 1980. To
implement the project a direct AID-university contract is
proposed, with a short list of eligible universities to be
drawn up by the AID Project Committee based, inter alia, on
recommendations from the GRZ, AID/Zambia and REDSO/EA.
Requests for proposals will be prepared and issued by the
AID/W Contract Office as soon as possible after execution of
the Project Agreement with the GRZ to permit arrival of the
long-term technical assistance team in the Spring of 1981.
2. Administration of Training Program
The project's training program will be administered by the
contracting university, as will the Research Associate Program.
Roughly 20-30 per cent of the Zambian participants in long-
term academic training in the US would attend the contracting
university, which would have the responsibility of placing
the remaining students at other appropriate US universities.
B. CONSTRUCTION PROCEDURES
The only construction financed under the project will be
six houses for the long-term US advisers and three plant-
breeding screenhouses for experimental purposes. The
screenhouses will be very simple wood-frame structures which
will be built using labor at the research stations and locally
available materials.
The six houses to be built will be located at the MAWD






56.


VI. IMPLEMENTATION PLAN

A. ROLE OF THE UNIVERSITY CONTRACTOR

1. Selection Procedures

AID-financed inputs for this project will be implemented
by a professional team supplied by a US university selected
under a competitive bidding procedure. The US university
team will work for and with the GRZ implementing agency, the
.MAWD Department of Agriculture's Research and Extension
Divisions.

At the PID stage it was intended that this project be
designed in final form and implemented under the Title XII
Collaborative Assistance Mode. However, there proved to be
insufficient time for the Title XII selection procedures to
be completed early enough to permit project authorization
and initial obligation in FY 1980. Instead AID used an
existing Cooperative Agreement with a US university to under-
take preparation of the Project Paper in July 1980. To
implement the project a direct AID-university contract is
proposed, with a short list of eligible universities to be
drawn up by the AID Project Committee based, inter alia, on
recommendations from the GRZ, AID/Zambia and REDSO/EA.
Requests for proposals will be prepared and issued by the
AID/W Contract Office as soon as possible after execution of
the Project Agreement with the GRZ to permit arrival of the
long-term technical assistance team in the Spring of 1981.
2. Administration of Training Program
The project's training program will be administered by the
contracting university, as will the Research Associate Program.
Roughly 20-30 per cent of the Zambian participants in long-
term academic training in the US would attend the contracting
university, which would have the responsibility of placing
the remaining students at other appropriate US universities.
B. CONSTRUCTION PROCEDURES
The only construction financed under the project will be
six houses for the long-term US advisers and three plant-
breeding screenhouses for experimental purposes. The
screenhouses will be very simple wood-frame structures which
will be built using labor at the research stations and locally
available materials.
The six houses to be built will be located at the MAWD










Research Stations where US adviserswill be assigned: Kabwe
(3), Mount Makulu (2), Magoye (1). It has been proposed to
the GRZ that construction be financed by the host government
using the Fixed Amount Reimbursement (FAR) method of payment.
This procedure is acceptable to the GRZ, since standard GRZ
plans and specifications for senior staff housing (Model 3-2-2)
will be used and building will be under MAWD's direct control.
MAWD will use its own house construction units and work crews,
which have been formed in each of Zambia's nine provinces, with
supervision supplied by the Public Works Department. The PP
team was told that the MAWD unit has a better record of adheren-
ce. to construction schedules than private contractors because
of better control and supervision. In the Administrative
Analysis, the problem of construction delays was raised, and a
principle stressed with the GRZ by the PP team was the US
advisers will not be sent to Zambia until their housing is
ready, except for the Team Leader who will be in a rented house
in Lusaka, and short-term consultants. The GRZ has indicated
its intention to begin construction of the six houses as soon
as possible after the Project Agreement is signed. This will
allow approximately six months for the house to be completed,
which MAWD judges to be sufficient. The AID/Zambia office will
monitor the situation closely and a REDSO/EA engineer will be
available as needed to assist the GRZ with the planning of con-
struction.

C. PROCUREMENT

Equipment and scientific instruments in the amount of
$438,000 will be procured virtually all of it from the US except
for small articles available locally as shelf items. A full list
of equipment is included in the Financial Annex to this paper
(Annex E). Seven sets of residential furniture for the US team
will be ordered from the US. Office furniture for the Team Leader
will be procured locally.
Eight vehicles, one tractor and 26 motorcycles will be purr
chased in the first year, and four vehicles and another 26 motor-
cycles in the fourth year as replacements.
The first year's purchase of vehicles includes:
Vehicle Use
3-1/2 ton pick-up trucks CRT, Mount Makulu
2-4 wheel drive multipurpose vehicles ARPT, Kabwe
2-station wagons Team Leader/ARPT
1-mini-bus Extension, Kabwe
1-90 hp tractor CRT, Magoye
26-small motorcycles for field use Extension/ARPT, Kabwe










To reduce the cost of fuel it is recommended that all of
these vehicles be diesel-powered (diesel fuel presently
costs half as much as gasoline in Zambia). For such
reasons as right-hand steering, maintenance and spare parts,
it will be necessary to purchase all of these vehicles in a
non-US source/origin basis. The justification for a Code
935 waiver is attached as Annex H.

Since a considerable amount of equipment will be purchased
from the US, the services of a procurement agent will be
necessary. Technical specifications will be prepared by
AID/DSB/AGR (which was represented on the design team) and
sent to REDSO/EA for preparation of PIO/Cs. Upon completion
PIO/Cs would be sent to the US procurement agent selected by
AID/W for procurement arrangements. Itmay be necessary
initially to rent warehouse space for the project to accomm-
odate the early shipments of furniture equipment and materials
if they arrive in Zambia before the US team is in place to
receive them.


D. PROPOSED CALENDAR OF EVENTS


Date

August, 1, 1980

August, 20, 1980

August, 30, 1980
August, 1980

October, 1980

October, 1980

October, 1980

November, 1980

December, 1980


January, 1981

January, 1981

January, 1981

January, 1981


Major Action


Submission of PP to AID/W.

AID/W Review and Project
Authorization.
Signature of Grant Agreement
Short list of US universities
agreed to.

Zambian Soybean Breeder
processed for short-term
training.
Bids solicited from US uni-
versities on short list.
PIO/C for research equip-
ment completed 4 approved.
Request for Proposals (RFP)
issued by Contracts Office.
Procurement Contracts
awarded/orders placed for
research equipment.Vehicle
orders placed.
University proposals re-
viewed (60 days after RFP).
Construction started on 6
houses.
GRZ and REDSO reps visit
3 final university candid-
ates for interviews.
University contractor
selected.


AID/Zambia
AID/REDSO/EA
AID/W

AID/Zambia-GRZ
AID/Zambia
REDSO/EA,GRZ,
AID/W
AID/Zambia

AID/W Contracts
Office
AID/DSB/AGR
REDSO/EA
AID/W

REDSO/EA
AID/W

AID/W, GRZ
REDSO/EA
AID/Zambia and
GRZ
GRZ/REDSO

AID/W, AID/
Zambia, GRZ


Primary
Responsibility







59.


Major Action


January, 1981


February, 1981
February, 1981




March, 1981

May, 1981
May, 1981

June, 1981
June,-.1981

July, 1981

July, 1981
August, 1981
August, 1981

September, 1981

September, 1981

September, 1981

October, 1981

December, 1981

February, 1982

May, 1982


June, 1982
July, 1982

August, 1982

March, 1983


1 short-term trainee
departs for INTSOY Soybean
Conference in Srilanka.
University Contract signed
Team Leader and Univ.Admin.
Officer to Lusaka on 30-day
TDY to arrange office,
secretary, admin.asst; inter-
view participants; check on
housing.
Soybean Breeder arrives on
45-day TDY.
Arrival of Team Leader.
Processing completed for 8
B.S. and 2 M.S. participant
trainees.
Vehicles arrive.
Initial research equipment
shipped by surface arrives
Zambia.
Construction of houses com-
pleted.
OPEX Microbiologist arrives.
Contract Adm. Officer TDY.
First 10 trainees depart for
US.
Librarian Consultant TDY -
one month.
6 long-term TA team members
arrive.
3-screenhouses construction
contracted for (1-Mount
Makulu, 2-Magoye).
Final surface shipment of
research equipment arrives.
Data Processing/Farming
Systems Analyst TDY short-
term Consultant.
3-screenhouses construction
completed.
Selection processing of
PIO/P's completed for 4 Ph.D,
5 M.S., 7 B.S., and 5-6 month
participants.
Five short-term trainees
depart for training.
First AID annual internal
evaluation completed (PES).
2nd group of 16 trainees
depart for the US.
Selection and processing com-
pleted for 8 M.S., participants
and 7 short-term participants.


Date


Primary
Responsibility

AID/Zambia


AID/Zambia
AID/Zambia
TA Contractor



TA Contractor

TA Contractor
TA Contractor

TA Contractor
TA Contractor

GRZ

AID/W:
TA Contractor

AID/W

TA Contractor

TA Contractor

TA Contractor

TA Contractor


TA Contractor

TA Contractor


TA Contractor

AID/Zambia

TA Contractor

TA Contractor





60.


Major Action


July, 1983

August, 1983

September, 1983

March, 1984


July, 1984

August, 1984

November, 1984

January, 1985

February, 1985
to June, 1985

March, 1985

March, 1985

December, 31,
1985


1st External Evaluation.

8 M.S. participants and
7 short-term trainees
depart for US.
External Evaluation Report
submitted.
Selection and processing
completed for 7 short-
term training programs.
2nd internal AID Evaluation
(PES).
7 short-term trainees
depart for training..
PID completed for possible
second phase.
Selection and processing of
PIO/P's completed for 7
short-term training programs.
PP design, authorization and
obligation Second Phase, if
approved.
7 short-term trainees depart
for training.
Final outside Evaluation of
project.
Project Assistance Completion
Date (PACD).


Date


Primary
Responsibility

Evaluation
Team
TA Contractor

Evaluation
Sub-Contractor
TA Contractor



TA Contractor

AID/Zambia
REDSO/EA
TA Contractor

AID/Zambia
REDSO/EA

TA Contractor

Evaluation Team






61.


VII. EVALUATION PLAN

The evaluation of the project will occur in three
phases:
A. ANNUAL PROJECT EVALUATION SUMMARY (PES)

Internal AID evaluation studies are planned at the end
of operational years, 1, 3 and 4 of the project. This
monitoring activity will be conducted principally by the
AID/Zambia Agricultural Officer and the REDSO Agricultural
Officer. It is also anticipated that as well-informed
outsiders, the short-term consultants will make a contri-
bution to annual evaluations through their written report
to MAWD, the AID/Zambia Representative, and the project
Team Leader at the end of each consultancy.

B. MID-TERM FORMATIVE EVALUATION
At the end of operational year 2 an external evaluation
team of 2-3 members will be contracted using short-term
consulting funds provided under the project for a total of 3
person/months. The task of the team will be to assess and
identify any problem areas and make recommendations for
possible design adjustments. The team will also appraise the
capacity of GRZ to bear cost-sharing, particularly where
sliding scales are concerned, and recommend any adjustments
that may be necessary. In particular, the evaluation should
assess the implementation rate of the participant training
program and the recruitment of professionals employed by the
US contractor. The evaluation should also assess MAWD
counterpart situation and make recommendations to address any
noteworthy situations. The team should also give a preliminary
indication of whether a second phase of the project appears
justified and, if so, propose directions for a longer term
AID role in Zambian agriculture. As such, the mid-term
formative evaluation will probably be the most important and
substantive evaluation phase during the five-year life of the
project.
C. END-TERM SUMMATIVE EVALUATION

Under normal circumstances another external evaluation
,( p/m) would be undertaken at the end of year 5 for a
thorough final assessment of the project and its results.
If a decision has been-taken to proceed with a second phase,
however, the timing of this evaluation might be moved forward
to the early part of year five. This evaluation might be
timed to immediately precede, and serve as a basis for, the
Project Paper for the second five-year phase of the project.






61.


VII. EVALUATION PLAN

The evaluation of the project will occur in three
phases:
A. ANNUAL PROJECT EVALUATION SUMMARY (PES)

Internal AID evaluation studies are planned at the end
of operational years, 1, 3 and 4 of the project. This
monitoring activity will be conducted principally by the
AID/Zambia Agricultural Officer and the REDSO Agricultural
Officer. It is also anticipated that as well-informed
outsiders, the short-term consultants will make a contri-
bution to annual evaluations through their written report
to MAWD, the AID/Zambia Representative, and the project
Team Leader at the end of each consultancy.

B. MID-TERM FORMATIVE EVALUATION
At the end of operational year 2 an external evaluation
team of 2-3 members will be contracted using short-term
consulting funds provided under the project for a total of 3
person/months. The task of the team will be to assess and
identify any problem areas and make recommendations for
possible design adjustments. The team will also appraise the
capacity of GRZ to bear cost-sharing, particularly where
sliding scales are concerned, and recommend any adjustments
that may be necessary. In particular, the evaluation should
assess the implementation rate of the participant training
program and the recruitment of professionals employed by the
US contractor. The evaluation should also assess MAWD
counterpart situation and make recommendations to address any
noteworthy situations. The team should also give a preliminary
indication of whether a second phase of the project appears
justified and, if so, propose directions for a longer term
AID role in Zambian agriculture. As such, the mid-term
formative evaluation will probably be the most important and
substantive evaluation phase during the five-year life of the
project.
C. END-TERM SUMMATIVE EVALUATION

Under normal circumstances another external evaluation
,( p/m) would be undertaken at the end of year 5 for a
thorough final assessment of the project and its results.
If a decision has been-taken to proceed with a second phase,
however, the timing of this evaluation might be moved forward
to the early part of year five. This evaluation might be
timed to immediately precede, and serve as a basis for, the
Project Paper for the second five-year phase of the project.






61.


VII. EVALUATION PLAN

The evaluation of the project will occur in three
phases:
A. ANNUAL PROJECT EVALUATION SUMMARY (PES)

Internal AID evaluation studies are planned at the end
of operational years, 1, 3 and 4 of the project. This
monitoring activity will be conducted principally by the
AID/Zambia Agricultural Officer and the REDSO Agricultural
Officer. It is also anticipated that as well-informed
outsiders, the short-term consultants will make a contri-
bution to annual evaluations through their written report
to MAWD, the AID/Zambia Representative, and the project
Team Leader at the end of each consultancy.

B. MID-TERM FORMATIVE EVALUATION
At the end of operational year 2 an external evaluation
team of 2-3 members will be contracted using short-term
consulting funds provided under the project for a total of 3
person/months. The task of the team will be to assess and
identify any problem areas and make recommendations for
possible design adjustments. The team will also appraise the
capacity of GRZ to bear cost-sharing, particularly where
sliding scales are concerned, and recommend any adjustments
that may be necessary. In particular, the evaluation should
assess the implementation rate of the participant training
program and the recruitment of professionals employed by the
US contractor. The evaluation should also assess MAWD
counterpart situation and make recommendations to address any
noteworthy situations. The team should also give a preliminary
indication of whether a second phase of the project appears
justified and, if so, propose directions for a longer term
AID role in Zambian agriculture. As such, the mid-term
formative evaluation will probably be the most important and
substantive evaluation phase during the five-year life of the
project.
C. END-TERM SUMMATIVE EVALUATION

Under normal circumstances another external evaluation
,( p/m) would be undertaken at the end of year 5 for a
thorough final assessment of the project and its results.
If a decision has been-taken to proceed with a second phase,
however, the timing of this evaluation might be moved forward
to the early part of year five. This evaluation might be
timed to immediately precede, and serve as a basis for, the
Project Paper for the second five-year phase of the project.






61.


VII. EVALUATION PLAN

The evaluation of the project will occur in three
phases:
A. ANNUAL PROJECT EVALUATION SUMMARY (PES)

Internal AID evaluation studies are planned at the end
of operational years, 1, 3 and 4 of the project. This
monitoring activity will be conducted principally by the
AID/Zambia Agricultural Officer and the REDSO Agricultural
Officer. It is also anticipated that as well-informed
outsiders, the short-term consultants will make a contri-
bution to annual evaluations through their written report
to MAWD, the AID/Zambia Representative, and the project
Team Leader at the end of each consultancy.

B. MID-TERM FORMATIVE EVALUATION
At the end of operational year 2 an external evaluation
team of 2-3 members will be contracted using short-term
consulting funds provided under the project for a total of 3
person/months. The task of the team will be to assess and
identify any problem areas and make recommendations for
possible design adjustments. The team will also appraise the
capacity of GRZ to bear cost-sharing, particularly where
sliding scales are concerned, and recommend any adjustments
that may be necessary. In particular, the evaluation should
assess the implementation rate of the participant training
program and the recruitment of professionals employed by the
US contractor. The evaluation should also assess MAWD
counterpart situation and make recommendations to address any
noteworthy situations. The team should also give a preliminary
indication of whether a second phase of the project appears
justified and, if so, propose directions for a longer term
AID role in Zambian agriculture. As such, the mid-term
formative evaluation will probably be the most important and
substantive evaluation phase during the five-year life of the
project.
C. END-TERM SUMMATIVE EVALUATION

Under normal circumstances another external evaluation
,( p/m) would be undertaken at the end of year 5 for a
thorough final assessment of the project and its results.
If a decision has been-taken to proceed with a second phase,
however, the timing of this evaluation might be moved forward
to the early part of year five. This evaluation might be
timed to immediately precede, and serve as a basis for, the
Project Paper for the second five-year phase of the project.






62.


VIII. CONDITIONS, COVENANTS AND NEGOTIATING STATUS

A. CONDITIONS PRECEDENT
As conditions precedent to the disbursement of funds
for the construction of houses, the GRZ will be required to
furnish evidence that suitable sites have been selected and
land provided. The GRZ must also provide in advance of the
disbursement of funds for construction, appropriate plans
and specifications, cost estimates and time schedules for
construction.

B. COVENANTS
The Grant Agreement will contain the following covenants:

1. The GRZ agrees to provide appropriate counterpart
personnel on a timely basis.

2. The GRZ agrees that US technicians for whom housing is
being built under the project, will not arrive in Zambia
until such housing is completed and available.
3. The GRZ agrees.that housing constructed under the project
will be used exclusively by AID-financed advisers in this or
subsequent projects until or unless AID.otherwise agrees in
writing.
4. The GRZ agrees to make available qualified candidates for
long-term academic training in the US and agrees to ensure
by bonding or other means that these persons are assigned to
the same or other suitable positions as mutually agreed upon,
within MAWD for a period equal to at least twice the period
of training financed under the project.

5. The GRZ agrees that all equipment, including motorcycles,
procured under the project will be used exclusively for
project activities and that the use of all vehicles, ex-
cluding motorcycles, will be under the direction and super-
vision of the US Team Leader and the MAWD Director of
Agriculture or their respective designee.
6. The GRZ agrees to provide the services of a Zambian
sociologist to the ARPT for a regular program of work for
which AID funds have been budgeted under the Special Studies
activity of the project.
7. The GRZ agrees to share with AID vehicle fuel and
maintenance costs under the project according to the sliding-






62.


VIII. CONDITIONS, COVENANTS AND NEGOTIATING STATUS

A. CONDITIONS PRECEDENT
As conditions precedent to the disbursement of funds
for the construction of houses, the GRZ will be required to
furnish evidence that suitable sites have been selected and
land provided. The GRZ must also provide in advance of the
disbursement of funds for construction, appropriate plans
and specifications, cost estimates and time schedules for
construction.

B. COVENANTS
The Grant Agreement will contain the following covenants:

1. The GRZ agrees to provide appropriate counterpart
personnel on a timely basis.

2. The GRZ agrees that US technicians for whom housing is
being built under the project, will not arrive in Zambia
until such housing is completed and available.
3. The GRZ agrees.that housing constructed under the project
will be used exclusively by AID-financed advisers in this or
subsequent projects until or unless AID.otherwise agrees in
writing.
4. The GRZ agrees to make available qualified candidates for
long-term academic training in the US and agrees to ensure
by bonding or other means that these persons are assigned to
the same or other suitable positions as mutually agreed upon,
within MAWD for a period equal to at least twice the period
of training financed under the project.

5. The GRZ agrees that all equipment, including motorcycles,
procured under the project will be used exclusively for
project activities and that the use of all vehicles, ex-
cluding motorcycles, will be under the direction and super-
vision of the US Team Leader and the MAWD Director of
Agriculture or their respective designee.
6. The GRZ agrees to provide the services of a Zambian
sociologist to the ARPT for a regular program of work for
which AID funds have been budgeted under the Special Studies
activity of the project.
7. The GRZ agrees to share with AID vehicle fuel and
maintenance costs under the project according to the sliding-






62.


VIII. CONDITIONS, COVENANTS AND NEGOTIATING STATUS

A. CONDITIONS PRECEDENT
As conditions precedent to the disbursement of funds
for the construction of houses, the GRZ will be required to
furnish evidence that suitable sites have been selected and
land provided. The GRZ must also provide in advance of the
disbursement of funds for construction, appropriate plans
and specifications, cost estimates and time schedules for
construction.

B. COVENANTS
The Grant Agreement will contain the following covenants:

1. The GRZ agrees to provide appropriate counterpart
personnel on a timely basis.

2. The GRZ agrees that US technicians for whom housing is
being built under the project, will not arrive in Zambia
until such housing is completed and available.
3. The GRZ agrees.that housing constructed under the project
will be used exclusively by AID-financed advisers in this or
subsequent projects until or unless AID.otherwise agrees in
writing.
4. The GRZ agrees to make available qualified candidates for
long-term academic training in the US and agrees to ensure
by bonding or other means that these persons are assigned to
the same or other suitable positions as mutually agreed upon,
within MAWD for a period equal to at least twice the period
of training financed under the project.

5. The GRZ agrees that all equipment, including motorcycles,
procured under the project will be used exclusively for
project activities and that the use of all vehicles, ex-
cluding motorcycles, will be under the direction and super-
vision of the US Team Leader and the MAWD Director of
Agriculture or their respective designee.
6. The GRZ agrees to provide the services of a Zambian
sociologist to the ARPT for a regular program of work for
which AID funds have been budgeted under the Special Studies
activity of the project.
7. The GRZ agrees to share with AID vehicle fuel and
maintenance costs under the project according to the sliding-






63.


scale formula set forth in the Project Paper.

C. NEGOTIATING STATUS

As already noted, the degree of participation and co-
operation by the GRZ in the design of this project has been
unusually high. All major elements of the project, its
methodology and even operational details have been thoroughly
discussed with senior officials of the GRZ implementing
agency (MAWD). The National Commission for Development
Planning (NCDP) was also briefed on the project, and an
official letter of request for AID to undertake the project
(Annex K), was received from the Permanent Secretary of the
NCDP while the PP design team was in Lusaka.
Since this will be the first AID Project Grant Agreement
with the GRZ in the current AID program, the draft Grant
Agreement is being circulated in advance to appropriate GRZ
Ministry of Finance and Ministry of Legal Affairs staff for
review. As there will be very little time between project
authorization and the deadline for FY 80 project obligation,
the need for urgent action has been stressed with the GRZ to
permit rapid review and signature of the Project Grant
Agreement.










ANNEXES





Logical Framework A

Technical Assistance B
Team Job Descriptions

ARPT Methodology and Workplan C

Current MAWD Staffing for D
Research and Extension Divisions

Supplementary Financial Tables E

Statutory Checklist F

PID Approval Cable G

Waivers H

Draft Authorization I

Initial Environmental Examination J

GRZ Letter of Request K




PROJECT DESIGN SUMMARY


ANNEX A


LOGICAL FRAMEWORK

Project Title 4 Number: AGRICULTURAL DEVELOPMENT (RESEARCH 4 EXTENSION) NUMBER 611-0201

NARRATIVE SUMMARY OBJECTIVELY VERIFIABLE INDICATORS MEANS OF IMPORTANT
VERIFICATION ASSUMPTIONS


Program or Sector
Goal:


To assist the GRZ in
improving the welfare
of small farmers and
increasing national
food production
through the develop-
ment and adaptation
of relevant techno-
logy.


Measures of Goal Achievements:


Increased production of oilseeds (Sun-
flower, Soybean) and maize by small
farmers in Central Province. Improv-
ing the understanding and knowledge
base of small farmer production con-
straints by focusing research/exten-
sion activities on small farmer welfare.


Assumptions for
achieving goal
targets:


National
agricultural
production
statistics.

MAWD records
and reports
on research
and extension
activities.


That agricultural
research and exten-
sion will continue
to be high prior-
ities of the GRZ.

That GRZ recurrent
and capital budget-
ary allocations to
MAWD during the
project and beyond
will be increased to
support institutions
and activities dev-
eloped under the
project.


PURPOSE:
To help the GRZ
strengthen the
agricultural res-
earch capacity of
the Ministry of
Agriculture and
Water Development
(MAWD) and to in-
crease the effect-
iveness of the
extension service


Functioning Commodity Research Teams in
Oilseeds and Cereal Grains working on
the needs of small farmers.

Functioning adaptive research planning
team capable of referring small farmer
production constraints to the CRT's.

Functioning extension staff in Central
Province that is working collaboratively
with the ARPT and disseminating relevant


Reports and Coordination and co-
records of operation will con-
MAWD research tinue between the
stations. Re- Research and Exten-
ports on sion Services of the
activities of MAWD Department of
MAWD extension Agriculture.
service. Re-
ports of CRT Effectiveness of the
and ARPT teams extension service
Project eval- will be improved by
nations more frequent in-




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