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Zambia

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Title:
Zambia agricultural development, research and extension (611-0201)
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Agricultural development, research and extension (611-0201)
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United States -- Agency for International Development
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Language:
English
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1 v. (various pagings) : ; 28 cm.

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Subjects / Keywords:
Rural development projects -- Zambia ( lcsh )
Agricultural extension work -- Zambia ( lcsh )
Genre:
non-fiction ( marcgt )
Spatial Coverage:
Zambia

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Cover title.
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"Unclassified."
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Typescript.
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Electronic resources created as part of a prototype UF Institutional Repository and Faculty Papers project by the University of Florida.

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Full Text
ZAMBIA
AGRICULTURAL DEVELOPMENT, RESEARCH AND EXTENSION (611-0201)
UNCLASSIFIED




SNP Ii 9 29 AF 'an
AXECrt;'E SECRHETARP'A' SEP
ACTION MEMORANDUM FOR AHE ASSISTANT ADMINISTRATOR FOR AFRICA
FROM: AAA/AFR/DR, r
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 increasing 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:WHNorthyf.
AFR/DR:NCohen (h
AFR/SA:MDagata /
AFR/SA:RWrin (
AFR/DR/ARD:BWhittl(e draft) AFR/DR/SDP:JHester (
AFR/DR/ENG:FZobrist
GC/AFR:NFrame (draft SER/CON/ALI:Pagan (pho )
AAA/AFR/DP:RStacy -'
AFR/DR/SAP:Wonf:bjs :8/26/80:x28818




18 SEP 1980
ACTION MEMORANDUM FOR THE' ADMINISTRATOR
THRU : ES
THRU : AA/PPC, Mr. Alexander Shako
FROM : AA/AFR, Goler T. Butcher4.407
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 Goverment 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 (HMAD) 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.
($0008)
FY 1980
FX L/C Total L.O.P
Technical Assistance 1,03.0 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.




-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 MMZ 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 HAWD 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).




-3
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 (Attathment 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 tontraft is proposed, with a source list of eligible universities to be drawn up by the AID Projeft Committee based, on recommendations from, inter alia, the GRZ, USAID/Zambia, REDSO/EA, and BIFAD.
The Projeit 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 v .aiti. period w11 .wpi nn Seatmbr 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 attahed Project Authorization and thereby authorize the proposed project and the requested waiver.
Attachments:
1. Project Authorization
2. Projedt Paper
Clearances /
GC:NHolmes
AAA/PPC/PDPR: JEriks son
GC/AFR:EDragon
DAA/AFR:WNorthAFR/DR/SAP: Aarding:bjs :8/26/80:x28818




UNITED STATES INTERNATIONAL DEVELOPMENT COOPERATION AGENCY
AGENCY FOR INTERNATIONAL DEVELOPMENT WASHINGTON. 0.C. 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




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 activity; 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 im 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 project.
(2) The Cooperating Country shall covenant to provide suitable housing prior to the arrival of the U.S. technicians 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 equipment 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 project, will be under the supervision and direction of the
U.S. technical assistance team leader and the MAWD Director of Agriculture or their respective designees.
(6) The Cooperating Country shall covenant that housing constructed 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 provide 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 project, 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 attainment of U.S. foreign policy objectives and objectives 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// ir&o Douglas.J. Benneti,/Jr. Administrator
Clearances: W dat C
GC:NLHolmes e ((
AA/APR:GTButcher ..md-l date to AA/PPC:AShakow '7nEdate
GC/AFR:NPT&e:ckg:8/14/80:x23808




Appendix 5A to HS 3. Part I
(71-1 3;19)
I. TRAHSACTIGN C OI,
ALEN4CY FOII INTERNATIONAL OCVEL.Ol 'CTH A U 0 PP
c C4Am cc
PROJECT PAPER FACESH1EET COD
3
L. COUNTRY/CNTITY 4. 0OCUMENT REV.S.Ok NUMBER t~
L. PROJECT NUMBER (7 d18U.) S. BUmeAUPOFFICE 7. PROJECT TITLE (MlAffe,..s 40 lifgr.,s
- A. SYMOL Ui. CODt AGRICULTURAL DEVELOPMENT
L:611-ozolJ AFR 1 6J 3 (RESEARCH & EXTr-NSION)
8. ESTIMATED FV OF PROJECT COMPLETION S. ESTIMATED DATE OF OBLIGATION
A. QUATE
10. ESTIMATED COSTS ($000 OR CQUIVALENT SI -I AFUDNSOREFIRST FY LIFE oF PROJECT _____a. P1 C. Lie 0. TOTAL C.Fi L/Cj 4 OA
AID APPROPRIATED TOTALLY. LI
IORAN?~-'- (2.~i1) ( 899) (3,1000) 1004l.A17 2. 0RI-2 1
HOST COUNTRY 4 1 4- 4,255 4,.255
OTHER DONdORISI ..10....1.
TOTALS 2,101 1.342 3.443 ...
__________ I. PROPOSED BUDGET APPROPPIATC0 FUND ISOW.)
A. APPRO B.*PRIMARY PAIMAR!Y TECH. CODE E. IS? FY..&Q 1 M H.3(0y81 K. ]IllRDy
PRIATION PURPOSE ____-RAINCOOL' c. ZORN a LO -AM Fr COANT 8. LOAN I GRANT J. LOAM L GRANT M. LoA*
(is ESF 181B 7fl 07~ b '000
__________ TOTALS- 3,000 -4,000 __is. TM F-u 0 STHre-al LFE O PROECT 12. IN-DEPTH EVAL.OSTNY~~LIF OFPROECT UATO% SCHEDULEO
A. APPROPRIATION
0 GRANT 0. LOAN N.GRANT S. LOAN 7. &MAN, U LOAN
IIESF 3, 5:L5___ T j
TOTALS 3S5 ___ ____T 7T_____ _13. DATA CHANGE INDICATOR. WERE CHANGES MADE IN THE PlO FACESI4EET DATA. BLOCKS I2. 13. 14, OR IS OR IN BP
FACESHEET DATA. BLOCK 13' If YES. ATIAr-H CHANGED PID FAQESIIEET.
14. OA(CINATIHC O!FFICE CLC4RtANC9 45. DATE DOC'UMENT RECEVE
SIGN AT UPII- MLNTS. DATE OF OISTRIBUTION
TITjh r.atro 'AR ~vi.DATE SIGNED
)ID Representative, REDSO/EA. Io7L !8 jA
AgD 12)1.4 d




TABLE OF CONTENTS
I. Project Abstract 1
II. Background 2
A. Agriculture in the Zambian Economy 2
B. Present Agricultural Research and Extension 4
III, Project Description 9
A. Summary of Proposed Goal, Purpose and Output 9
B. Project Activities 10
IV. Project Analyses 18
A. Technical Analysis 18
B. Economic Analysis 32
C. Social Analysis 34
D. Administrative Analysis 41
.E. Environmental Concerns. .46
V. Financial Plan 47
A. Summary of AID Project Budget 47
B. GRZ Contribution 48
C. Summary Tables 50-55
VI. Implementation Plan 56
A. Role of the University Contractor 56
B. Construction Procedures 56
C. Procurement 57
D. Proposed Calendar of Events S8
VII. Evaluation Plan 61
VIII. Conditions, Covenants and Negontiting Status 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 Ph.D, Political Science Department,
Michigan State University. George K. Dike Ph..D; Michigan State University,
Agricultural Extension Specialist. Carl Eicher Ph.D,-Professor of Agricultural
Economics, Michigan State University, David Norman Ph.D, Professor of Agricultural
Economics, Kansas State University. Niels Roling Ph.D, Professor of Agricultural
Extension Information, Wageningen University, The Netherlands. John Yohe Ph.D, Research Agronomist, AID/
Washington.
Morgan Gilbert Design Officer, REDSO/EA, Team
Co-Leader.
Calvin L. Martin Agricultural Officer, REDSO/EA, Team
Co-Leader.
Ann Williams AID Regional Legal Adviser.
John A. Patterson AID Representative to Zambia. Susan A. Johns Team Secretary.




LIST OF PEOPLE CONSULTED
Mr. Patterson USAID
Mr. Hamamba Permanent Secretary, MAWD
Mr. Namakando Deputy Director General, National
Commission for Development Planning Mr. Chibasa Deputy Director of Agriculture
(Research), MAWD
Mr. Mukutu Deputy Director of Agriculture
(Extension), MAWD
Ms. Chungu Director of Research, Mt. Makulu
Mr. Mumba Department of Agriculture, Director,
MAWD
Mr. Remba Coordinator Foreign Assistance
Project, MAWD
Mr. Prior Ag. Research Officer, Mt. Makulu
Mr. Kean Agricultural Economist, MAWD
Mr. Javaheri Soybean Coordinator, Mt. Makulu
Mr. Mutanga Director, Department for Economics &
Technical Cooperation, National Commission for Development Planning Mr. Musonda Principal, National Commission for
Development Planning (NCDP) Mr. McPhillips Soil Scientist
Dr. Ravagnan Director, National Oilseeds Development Project
Mr. Nyemba Microbiologist, Mt. Makulu Research
Station
Dr. Sandrhu Mount Makulu
Mr. Sakufiwa Director, Food Conservation Unit,
Mt. Makulu
Mr. Vernon Weed Control & Tillage Unit, Mt.
Makulu
Mr. Parker Weed Control & Tillage Unit, Mr.
Makulu
Mr. Javanovich Maize Breeder, Mt. Makulu
Mr. Patel Maize Breeder, Mt. Makulu
Mr. Mulele Chief Crop Husbandry Officer, MAWD
Mr. Rettie Acting Chief Economist, Economic
Planning Unit, MAWD
Mr. Baxter FAO, Program Coordinator, Kabwe
Mr. Winderix FAO
Mr. Obiama Project Officer, FAO
Dr. Nissly Head, Crop Science Dept. School of
Agriculture, University of Zambia. Mr. Holland Director, Family Farms
Mr. Ter Horst Liaison Officer, Research/Extension,
IBRD Rural Extension-In-Service Team Prof. Mwanza Vice Chancellor, University of Zambia
Dr. Ncube Head, Department of Economists,
University of Zambia




LIST OF PEOPLE CONSULTED CContinued)
Dr. Evans Director, Rural Development Studies
Bureau, University of Zambia Dr. Collinson CIMMYT Nairobi
Dr. Jiggins Research Fellow, Rural Development
Studies Bureau, University of Zambia Mr. Kale Officer -in-Charge, Magoye Regional
Research Station
Mr. Sikazwa Officer-in-Charge, Kabwe Regional
Research Station
Mr. Zimba Farm Systems Analyst, MAWD
Mr. Chanda Farm Systems Analyst, MAWD
Mr. Savory Commercial Farmer




ABBREVIATIONS
AA Agricultural Assistant (Extension Division)
AID Agency for International Development
AID/DSB/AGR AID/Development Support Bureau/Office of
Agriculture
AID/W AID/Washington
AID/Zambia Agency for International Development, Zambia ARPT Adaptive Research Planning Team
BNF Biological Nitrogen Fixation
CD Commodity Demonstrator (Extension'Division)
CDSS Country Development Strategy Statement
CRT Commodity Research Team (MAWD)
CIMMYT International Maize and Wheat Research Center
FAO Food and Agriculture Organization
FI Farmer Institute,
FTC FarmerTraining Center
G Government of Zambia
SAT International Crop Research Institute for
Semi Arid Tropics
S.=TV International Institute for Tropical
Agriculture
LIMA Small-scale Farmer Recommendations, MAWD
KAWD Ministry of Agriculture and Water Development
MS: Master of Science Degree
NAMBOARD' National Agricultural Marketing Board
NRDC Natural Resources Development College
OPEX Operational.ExpertPAO Provincial Agricultural Officer
PES Project Evaluation Summary
PhD Doctor of Philosophy Degree
PID Project Identification Document
PIO/P Project Implementation Order/Participant
RDSB Rural Development Studies Bureau at UNZA
REDSO/EA Regional Economic Development Service
Organization/East Africa
RIS Rural Information Service, MAWD
RLEO Research Liaison Extension Officer, ARPT
R&R Rest and Relaxation Leave
SMS. Subject Matter Specialist/Extension
SOTA State of the Art Study
TA Contractor Technical Assistance Contractor TDY Temporary Duty
T&V Training and Visit System in the Extension
Division
UNIP United National Independence Party
UNZA University of Zambia




141
REPUBLIC OF ZAMBIA
RESEARCH STATION AND TRIAL SITES
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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 strengthening its agricultural research capacity and to increase
the effectiveness of the extension service in transferring 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 replacement 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 professional staff, training support expenseslandloffices,
and operating costs,-bringing the total cost of the
project to $16,771,000.
The project will further develop a recent GRZ initiative to reorganize its agricultural research organization and to establish direct linkages with the extension service in order to better serve Zambia's small
farmers.




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
7S,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 significr antly for this project, inadequate attention to the development 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.




3.
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 ofthet talainof marketed _crop production. I is
grown by all categories of farmers in Zambia: bou 60% om marketed-production-and4-RL8af-tatApr
_ originatesfrom medium-sized-and.small farms. Marketer maize production rose with some fluctua-Th between 1964 and 1976, on average about8 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 &t a single staple should be tempered by attention to other cereal crops. A diversification into alternate staples C
could provide small farmers with greater security of household 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 gr6undnuts 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.
>6,
NA Ve0
0d
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Al,. -




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 wellorganized 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 treated 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 restructuring 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). _-7rief 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 upgrade 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 Reseirch Planning Team to provide feedback on small farmer produittion 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
PERMANENT
SECRETARY
DIRECTOR OF
AGRICULTURE
I
DEPUTY DIRECTOR DEPUTY DIRECTOR DEPUTY DIRECTOR ASSISTANT SECRETARY
(RESEARCH) (LAND USE) (EXTENSION) (TRAINING)
CRT APT 'SUBJECT MATTER EXTENSION RURAL
COORDINATOR SPECIALISTS TRAINING INFORMATION
DEPARTMENT SERVICES
~PROVINCIALART' AGRICULTURE "
AGRICULTURAL AGRONOMIST RESEARCH SUBJECT MATTER PROVINCIAL PROVINCIAL NRDC,
ECONOMIST LIAISON SPECIALISTS TRAINING INFORMATION COLLEGES
EXTENSION OFFICER OFFICER OF
OFFICER AGRICULTURE




FIGURE 2. NEW STRUCTURE OF AGRICULTURAL RESEARCH
Cereals
Oilseeds
Fibers
Tubers Crops
Vegetables
Trees & Plantations Northern
Grain Legumes OD Luapula
RESEARCH RESEARCH PLANNING Copperbelt
TEAMS .(CRT) TEAMS (ARPT) Northwestern
(National (Area Focus)
Focus) Eastern
Central
Southern
Beef Livestock- L Western
Dairy Food Conservation Weed & Tillage Other
Pathology 4 Pests




Ay
theiractivities to specific geograp ical areas. Beginning with a single ARPT, which will w 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 agricultura economist and an exte on
agronomist. They will h e two m* t to
a t _f mall d-tnslate
J these needs into researh priorities to be addressed by o
or m A RPT's also do adaptive testing, of Y
improved technologies that are relevant. in meeting the needre'g of farmers. Such adaptive testing is to be undertaken both on experiment stations and on farmers' fields. J of '
c) Extension awf *
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




7.
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 concentrate 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 OF THE FARMING SYSTEM
Elements Human Technical
I I;
Chemical
Factors Exogenous Endogenous Physical Biological
Community Mechanical
Structures. Norms.d ,
Belefs ut Farming 4- ConsumptionSide ...Household Incme
Sie...... ---, i------- "Incme"
ExtaDecision t(F M) S -vi-wgs
Market
Side
-Other
Inputs Ln Ci Labor management
I, I I
Crops *
Processes Off-.farm Uvestock
r
Frimng Systemi
II
Fa ingBroken lines represent results of farming system. .,,, ..System. ..
Broken lines represent results of farming system. L -- -- -- ---- -- -- --




FIGURE 4. SCHEMATIC FRAMEWORK FOR ARPT WORK
ADAPTIVE RESEARCH STAGES CURRENT FARMING __EXTERNAL
SYSTEM INSTITUTIONS
1. Description or diagnosis (Hypothesis formulation) I
of present farming system B h I
I i
i i
2. Design of improved system Experiment Station Trials-e-BODY.OF I
elements ---.KNOW EDGE(CRT)
I I I
a----------------- ----I I
I I I
3. Testing of improved system Trials at Farm Level -- -----... i
element F I
- --- --Farmers' Testingn. .....nnnnn......nnn
I $ a
. . a4. Extension of improved system MODIFIED FARMING SYSTEM-.element




FIGURE 5. FUNCTIONS OF ARPTIS'
FUNCTIONS TRAINING INSTITUTIONAL RESEARCH INFORMATION EXTENSION PARTICIPATION
SUPPORT
NATION UNZA RURAL
NAMBOARD CRT CRT CRT INFORMATION HQ
NRDC SERVICES
AGRIC.
CO ALLEGES
PROVINCE FARMER COOPERATIVE ARPT'S PA
INSTITUTES MARKETING
UNIONS SMS
DISTRICT FARMER DAO
TRAINING
CENTRES SMS
STATION AA
WARD CD
FARMER CONTACT CONTACT CONTACT VPC
GROUPS I GROUPS GROUPS




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 Zasnbia. 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 different 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 researchers 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 of these problems will be directed to CRT's for research and some will be handled internally by the ARPT. In either case
; the findings will be fed back through the extension service
A to the small farmer.
C, '/.q, 3) The enhancement of the capacity of the extension service
. \ r 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,




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) I Team Leader/Agricultural Economist
b) Oilseed CRT( ,{
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 professional 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




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 PAO Soybean Agronomist at Mount Makulu and four Zambian Officers attached to the Magoye soybean program. Th 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.. tothe work of all maize breeding personnel.. A key. compete '0
of the proj ect is to strengthen the -capacity.- ofE. the Z-azbiazt I research. establishment. to. devel-op. genetic- breeding, Iness an&.1 bALA refine and adapt. varieties- of. the nation's principal staple' J, fdod crop..1
4. The.ARPT
The ARP7 will be responsible for., introducing a.- 'Ibottomr
up!' approach: into the. process. of. setting resea-rch. priorities in Zambia. Sometimes. called. "adaptive, research!",. tis. approach begins by identifyJin-g- the-, neek oE ftmers. an&i the opportunities that exist- for the improvement. of- existing: farming. systems-.. The, adaptive. research:, aprpro-ach; can-, be. summarized in faxr stages:
1) diagnostic- stage:. analysis, of faer- nee.&;; anL aningsystem potential an& constraints.
Z), design stage: identification oE passihler' improvedZ technologies.
3) testing. sta ge: evaluat-ion. of promiLs-ing._ terhnoto-gies; undmfarmers.'" conditions
4) extens ion- stage-.- dissemiation- and& general appir.cation..
Initially.,. the main., functions- of' the. ARPt 'wi.I be. timiterdl toresearch and extension. Once: ARPT's a come firmly- estab-isidt throughout Zambia, however, it is- anrticipate*- that- they wilt engage in a broader set: of functins... These- includL- influeioing the, content of a-gricultural1 train-ing, and extension information programs. an&, influencing: the. operation, of agricultural support services& im favor- of'small. nrezs. Further details- on the. adaptive. research., p-race:ss, ancL the. functions of the ARPT are- give=, below~ CSecfion L;, A,,, Technical Analys is).. Finally,,, it, should be.* stressed. tha-t adaptive! research by: the. ARPT will complement an&. interact with. commodity research, by the- CR7"s-.. The ARPT wilI. inuen=e. the choice of CRT research; priorities, an&. the CRT's- wilXX generate& improved technologies for testing; by the- ARPr.
The ARPT advisers. provided: by this p.roj ec t. wIth: their Bulltime Zambian counterparts wilt be, locate&. at Ka-bwe Regi=ion~ Research Station. in, CetrxIl Province.. Much: aE their work- wIll. be. at the farm. level, an-d. the researc]L statioxr wilUl cmstitu.te primarily a location,. for the analysis ofE the substantiaL anmunts of: data that the ARPT will. collect. from, farmer surveys: and. trials. The bulk. of the full-time junior staff will. be funfecdi




14.
and provided by the GRZ. Staffing is tentative at present
but may include the ollowili:
Provided by M.AWD
Research Extension
Technical Officers 3 1
Supervisors (Agricultural Assistants) 4 2
Permanent Laborers Z
Drivers 2
Additional backup funding is to be provided to allow for
clerical assistance and other extra staff if the above proves
insufficient..
S. 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 onfarm 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.
61Y, V c) 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
well. The extension division will provide background data on farmer practices, facilitate contact between researchers '~ ~ and farmers, and assist in the administration of trialsiand
tests.
d) 'Farmer Training. One to two-day short courses will be
held at. FTC's and agricultural stations and camps.,




Agricultural Assistants and Commodity Demonstrators will be be responsible for organizing these courses around demonstration 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.
TPerson/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
OPEX Resource: Microbiologist 30




16.
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 consultant 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. l0.research, 5 extension
15 B.S. 5 research, 10 extension
b) Short-term (6 months) training and study tours at USDA, CIMWYT, IITA. 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




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.




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 (eg.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 inte-ractions 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 underlying 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 indirectly (e.g. improved evacuation routes, transportation systems) influence the prices farmers receive. 3) Miscellaneous 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 outnumber men 2:1 in the rural areas, and head 20% of the rural households. Such characteristics are likely to have a veryprofound 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 involves 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 production 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




21.
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 harvesttime 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 lintls of improved varieties. Local testing will then be undertaken and cultural innovations introduced that are applicable to small farmer growing conditions. Based on existing knowledge of these three crops grown around. 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 made available after 6-7 years, the normal period needed to develop new crop varieties in a subtropical environment such q
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 femaleheaded 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. Th. igri stage primarily confined
e ion. -"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 extension 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 CINNYT 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 recognition 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:




2S.
i) compressing the time span between discovery of technology &/I and its dissemination to small farmers, I1,e
ii) increasing the volume of relevant research output through' -,. the system; and
iii) raising the quality and quantity of research productsthrough 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 fromthe 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 Mill 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 replicating 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 professional support to the MAWD for the T and V system. It is




27.
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 workshops 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 researchextension 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 Cfor 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




28.
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 expatriates in the research branch under GRZ contract and about 2) expatriates in the extension service. Current reliance 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) wi-h 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 institutions in the world is necessary for the development of a firstclass 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 6month 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 targetted 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.




30.
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 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.
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 personnel 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 Spldcial 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




31.
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
C' ,'result in intermediate products (eig. such as trained
A 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 imroved nutrition levels among the rural
populaion. ents 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 service, credit facilities, input availability, market development, 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 expenditure 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 Pf measuring benefits with any




33.
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 extension. 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 RLEOin order to perform the bridging function between small farmers, applied research, commodity research and the extension system.




34.
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 compatiblewith 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 WMAIDI 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 involve all levels of extension officers in all phases of the interaction between small farmers and the research establishment. A more detailed assessment of participating GRZ institutions 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 smallofarmers in the identification and solution of agricultural problems.




35.
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 S 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 individual 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 development 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




36.
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-ofrail" (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 NA BOARD 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 threefourths 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 S ha. and 60% less than 2 ha., yet they are served by a road, rail, marketing and extension infrastructure 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




37.
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
CCIMMYT/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 supervision of researchers and extension workers with the assistance 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




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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 agricultural 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 cot-ton 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 usedprimarily 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 unlikely 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 acceptability of soybeans as a village food crop; and second, that nutrition education programs are undertaken to promote acceptability of this new commodity.
S5. 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




39.
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 far- households today. Indeed., many female-headed households rely on these activities as a sale source of income. The proportion of female-headed households varies from province to province, the highest up to 60t; Central Province averages about ZO%.
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 byr the Rural, Development Studies Bureau (RDSB), University of Zambia, shaws that women farming alone are susceptible to the reclamation of tols 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 choices in favor of low-hbshandry 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 increasingly 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 shouAld seek to move
beyond the existing CIMMYT methodology by including sex of head of household as one criterion in discerning recommendation domains. COther possible criteria include ethnic group, and whether or not farmers are registered with the
extension service. See also Annex C.) 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 femaleheaded households to resources such as labohar, tools and credit; the generation and. retention of farm and off-farm income by women; the labor requirements of the farming systems




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.- Suinagry 'of -Social Ipc
The project aims primarily at institution-building within MAIVD 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.




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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 longterm 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 MAAWD in Lusaka. The Team Leader will report directly to the MAWD Director of Agriculture and would work very closely with the Deputy Directois for 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 theproject.
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 consultants, 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 theUS team. The Team Leader will hire an Administrative Assistant locally whose job it would be to handle numerous timeconsuming, 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. Tinming 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 connections 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 expect *ancy is desired), both MAWD and the project design team preferred to remain with normal GRZ house construction practices.




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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 WD).
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 undertaken, 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 desirable 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 replacements 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 MAN'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 beforeand-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.




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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 P10/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 helpful to the PP team in the development of this project. Senior MAID staff collectively devoted over 150 person/hours of time
with the PP team,* includinq')meetings and field trips. This represents several times the average host government participation 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.




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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 concept 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 research 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.
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.




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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 remains 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).




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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.
S. 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, a10% 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 the GRZ 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




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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 3S1O 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




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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 FY82 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 101 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 FY 83 FY 84 FY 85 TOTALS
Soybean Breeder 125 125 125 125 125 625
Maize Breeder 125 125 125 125 125 625
Sunflower Agronomist 125 125 125 125 125 625
Farming Systems Economist 125 125 125 125 125 625
Agronomist 125 125 125 125 125 625
Extension Agronomist 125 125 125 125 125 625
Agricultural Economist 125 125 125 125 125 625
SUB-TOTALS 875 875 875 875 875 .4375
SHORT-TERM TECHNICAL ASSISTANCE
Soil Scientist (8 P/m) 21 21 21 21 84
Entomologist (6 P/m) 21 11 11 21 64
Plant Pathologist (7 P/m) 21 11 21 21 74
Farm Systems Analyst (4 P/m) 11 11 11 11 44
Sr. Rural Dev. Specialist
(5 P/m) 11 21 11 11 54
University Coordinator (3 P/m) 32 32
Librarian (2 P/m) 11 11 22
Evaluation (6 P/m) 32 32 64
Microbiologist (OPEX-30 P/m) 63 125 125 313
Microbiologist (2 P/M) 11 11 22
Other Specialities (7 P/m) 11 11 21 21 11 75
SUB-TOTALS 117 221 264 107 139 848
TECHNICAL ASSISTANCE TOTALS 992 1096 1139 982 1014 5223




ESTIMATED AID PROJECT EXPENDITURES BY FISCAL YEAR (US$000) (Continued)
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) so so 100 50 so 300
Research Associate Program 63 63 63 63 252
TRAINING TOTALS 260 708 898 588 208 2662
CONSTRUCTION
Long-Term Advisor Houses (6) 37S 375
Screenhouses (3) 30 30
CONSTRUCTION TOTALS 40S 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
COMMODITY TOTALS 743 91 834




ESTIMATED AID PROJECT 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




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 612 1068 1680
In
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




S6.
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 IALWD 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 undertake 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 GRZj 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 longterm 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 plantbreeding 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




57.
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 adherence. 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 construction.
C. PROCUREMENT
Equipment and scientific instruments in the amount of
S438,000 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 motorcycles 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
Z6-small motorcycles for field use Extension/ARPT, Kabwe




58.
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 PlO/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 accommodate 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 Pimar
Date Major Action Responsbi lity
August, 1, 1980 Submission of PP to AID/W. AID/Zambia AID/REDSO/EA
August, 20, 1980 AID/W Review and Project AID/W
Authorization.
August, 30, 1980 Signature of Grant Agreement AID/Zambia-GRZ August, 1980 Short list of US universities AID/Zambia
agreed to. REDSO/EA,GRZ,
AID/W
October, 1980 Zambian Soybean Breeder AID/Zambia
processed for short-term
training.
October, 1980 Bids solicited from US uni- AID/W Contracts
versities on short list. Office
October, 1980 PIO/C for research equip- AID/DSB/AGR
ment completed & approved. REDSO/EA November, 1980 Request for Proposals (RFP) AID/W
issued by Contracts Office.
December, 1980 Procurement Contracts REDSO/EA
awarded/orders placed for AID/W
research equipment.Vehicle
orders placed.
January, 1981 University proposals re- AID/W, GRZ
viewed (60 days after RFP). REDSO/EA January, 1981 Construction started on 6 AID/Zambia and
houses. GRZ
January, 1981 GRZ and REDSO reps visit GRZ/REDSO
3 final university candidates for interviews.
January, 1981 University contractor AID/W, AID/
selected. Zambia, GRZ




Primary
Date Major Action Responsibility
January, 1981 1 short-term trainee AID/Zambia
departs for INTSOY Soybean Conference in Srilanka. February, 1981 University Contract signed AID/Zambia
February, 1981 Team Leader and Univ.Admin. AID/Zambia
Officer to Lusaka on 30-day TA Contractor
TDY to arrange office, secretary, admin.asst; interview participants; check on housing.
March, 1981 Soybean Breeder arrives on TA Contractor
45-day TDY.
May, 1981 Arrival of Team Leader. TA Contractor
May, 1981 Processing completed for 8 TA Contractor
B.S. and 2 M.S. participant trainees.
June, 1981 Vehicles arrive. TA Contractor
June,-.1981 Initial research equipment TA Contractor
shipped by surface arrives Zambia.
July, 1981 Construction of houses com- GRZ
pleted.
July, 1981 OPEX Microbiologist arrives. AID/W
August, 1981 Contract Adm. Officer TDY. TA Contractor
August, 1981 First 10 trainees depart for
US.
September, 1981 Librarian Consultant TDY AID/W
one month.
September, 1981 6 long-term TA team members TA Contractor arrive.
September, 1981 3-screenhouses construction TA Contractor contracted for (1-Mount Makulu, 2-Magoye). October, 1981 Final surface shipment of TA Contractor
research equipment arrives. December, 1981 Data Processing/Farming TA Contractor
Systems Analyst TDY shortterm Consultant. February, 1982 3-screenhouses construction TA Contractor
completed.
May, 1982 Selection processing of TA Contractor
PIO/P's completed for 4 Ph.D, 5 M.S., 7 B.S., and 5-6 month participants.
June, 1982 Five short-term trainees TA Contractor
depart for training. July, 1982 First AID annual internal AID/Zambia
evaluation completed (PES). August, 1982 2nd group of 16 trainees TA Contractor
depart for the US. March, 1983 Selection and processing com- TA Contractor
pleted for 8 M.S., participants and 7 short-term participants.




60.
Primary
Date Major Action Resps5i1i'lity
July, 1983 ist External Evaluation. Evaluation
Team
August, 1983 8 M.S. participants and TA Contractor
7 short-term trainees depart for US.
September, 1983 External Evaluation Report Evaluation
submitted.. Sub-Contractor
March, 1984 Selection and processing TA Contractor
completed for 7 shortterm training programs. July, 1984 2nd internal AID Evaluation
(PES).
August, 1984 7 short-term trainees TA Contractor
depart for training.
November, 1984 PID completed for possible AID/Zambia
second phase. RDSO/EA
January, 1985 Selection and processing of TA Contractor
PIO/P's completed for 7 short-term training programs. February, 1985 PP design, authorization and AID/Zambia
to June, 1985 obligation Second Phase, if REDSO/EA
approved.
March, 1985 7 short-term trainees depart TA Contractor
for training.
March, 1985 Final outside Evaluation of Evaluation Team
project.
December, 31, Project Assistance Completion
1985 Date (PACD).




61.
VII. EVALUATION PLAN
The evaluation of the project will occur in three
phases:
A. AX NUAL 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 contribution to annual evaluations through their written report
to INAWD, the AID/Zambia Representative, and the project
Team Leader at the end of each consultancy.
B. MID-TERM FOR?AETIVE 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 SUMBATIVE EVALUATION
Under normal circumstances another external evaluation (5 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, excluding motorcycles, will be under the direction and supervision 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 cooperation 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
PID Approval Cable G
Waivers H
Draft Authorization
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 Measures of Goal Achievements: Assumptions for
Goal: achieving goal
targets:
To assist the GRZ in Increased production of oilseeds (Sun- National That agricultural
improving the welfare flower, Soybean) and maize by small agricultural research and extenof small farmers and farmers in Central Province. Improv- production sion will continue
increasing national ing the understanding and knowledge statistics. to be'high priorfood production base of small farmer production con- ities of the GRZ.
through the develop- straints by focusing research/exten- MAWD records
ment and adaptation sion activities on small farmer welfare, and reports That GRZ recurrent
of relevant techno- on research and capital budgetlogy. and extension ary allocations to
activities. MAWD during the
project and beyond
will be increased to
support institutions
and activities developed under the
project.
PURPOSE:
To help the GRZ Functioning Commodity Research Teams in Reports and Coordination and costrnkthen the Oilseeds and Cereal Grains working on: records of operation will conagricultural res' the needs of small farmers. MAWD research tinue between the
earch capacity of stations. Re- Research and Extenthe Ministry of Functioning adaptive research planning ports on sion Services of the
Agriculture and team capable of referring small farmer activities of MAWD Department of
Water Development production constraints to the CRT's. MAWD extension Agriculture.
(MAWD) and to in- service. Recrease the effect- Functioning extension staff in Central ports of CRT Effectiveness of the
iveness of the Province that is working collaboratively and ARPT teams extension service
extension service with the ARPT and. disseminating relevant Project eval- will be improved by
uations more frequent in-




NARRARIVE SUMMARY OBJECTIVELY VERIFIABLE INDICATORS MEANS OF IMPORTANT
VERIFICATION ASSUMPTIONS
PURPOSE: (Contn'd).
in transferring rel- technology to small farmers. service training
evant agricultural sessions for agents,
technology with spe- and the increased
cial emphasis on. mobility provided by
small farmers the vehicles, motor
bikes and petrol supplied under the
project.
Small farmer research
will be improved at
both the basic and
adaptive levels
through the academic
and practical training of Zambians under
the project.
OUTPUTS:
The strengthening Establishment of two functional multi- Reports by The MAWD will be able
of thd MAWD Commodity disciplinary research teams e.g. Oil- CRT and ARPT to assign appropriate Research Teams on Oil- seeds CRT and Cereal Grains CRT. teams. Train- counterparts and will
seeds and Cereal Grains. ing records make needed equipment
ARPT Teams conducting diagnostic, design, of US and 3rd available to CRT, The effective oper- and testing research in established re- country part- ARPT, and extension
ation of MAWD's first commendation domains. icipants. activities on a timAdaptive Research Project eval- ely basis.
Planning Team (ARPT) Teams of research liaison extension off- uation.
in Central Province. icers (RLEIO's) working with Recommend- The external institation Domains of ARPT to disseminate utional support
The enhancement of the improved technologies to small farmers, systems for farm incapacity of the ex- puts and markets will
tension service to Identification of small farmer pro- be reasonably accessdiffuse useable agr- duction constraints bv reserch/exten- ible by small farmers




NARRATIVE SUMMARY OBJECTIVELY VERIFIABLE INDICATORS MEANS OF IMPORTANT
VERIFICATION ASSUMPTIONS
INPUTS: (Contn'd.)
1 Microbiologist-OPEX Housing built by
Training- $2,662,000 all training. MAWD construction
Long-term academic unit will be comtraining in agricult- pleted on schedule.
ural sciences in the US, short-term practical'training in third countries and local in-service training.
Commodities $834,000 for commodities,
Laboratory and farm equipment.
3 screenhouses, library books and journals.
Vehicles and motorcycles,
6 houses for US technicians $405,000 housing US technicians.
Operational Recurrent
Costs $612,000 operational recurrent costs.
Spec-al Studies ($550,000 Special Studies--included in
A. studies conducted Total under Training). by students of the University of Zambia,
B. Research Associates
GRZ GRZ budget contribution total
t aff salaries, traip- T47256,000 in local currency or ing support, offices, 25,38% of total project'costs, operations maintenance, housing, etc.




NARRATIVE SUMMARY OBJECTIVELY VERIFIABLE INDICATORS MEANS OF IMPORTANT
VERIFICATION ASSUMPTIONS
OUTPUTS: (Contn'd.)
through improved re- Small farmer production constraints re- The ARPT research research/extension link- erred to proper CRT's, sults will, over time.
ages and communication. prove relevant in
Approximately 19 research/extension influencing basic
The upgrading of the professionals trained to Ph.D and M.S. research conducted
professional and tech- levels and approximately 1S participants under the CRT's.
nical skills in agric- trained to the B.S. level in agricultultural research and ural sciences. Farmers will accept
extension within MAWD and put into practthrough selected Approximately 162 person months of in- ice improved techacademic and practical service training. nology introduced by
training in Zambia, extension officers.
in the US, in other In-country research and extension trainAfrican countries and ing at provincial and national level at international in- amounting to 3750 person days. stitutions.
In-country training for small farmers
amounting to 4160 person days.
INPUTS:
USAID USAID
T-e-h-ical Assistance $5,223,OO for technical assistance. Records of TA Zambian degree cand1 Team Leader/Agricul- Contractor idates can be identtural Economist ified and released for
1 Soybean Breeder long-term training in
1 Sunflower Agronomist the US.
1 Maize Breeder
1 Farm System Economist Participants returning
(Agricultural Product- after training will be
ion/Farm Management effectively utilized
Economist) in positions relevant
1 Agronomist to their training.
1 Research Liaison Ex- Specialized technical
tension Officer (Exten- assistance proposed
sion Agronomist) can be supplied by a
Specialized Short- US university under




ANNEX B
JOB DESCRIPTIONS FOR TECHNICAL ASSISTANCE TEAM
General qualifications and duties are described for each of the seven members of the Project Team, as well as for the OPEX Microbiologist who will be filling in when the Zambian Microbiologist at Mount Makulu is in the US pursuing an M.S. Degree.
The use of the male pronoun throughout these descriptions
is for convenience only and should not be interpreted as implying that qualified female candidates would not be considered on an equal basis.
Team Leader
Maize Breeder
Soybean Breeder
Sunflower Agronomist
Farming Systems Economist
ARPT Agronomist
Research Liaison Extension Officer (RLEO)
Microbiologist




JOB DESCRIPTION TEAM LEADER
DURATION: 5 YEARS
A. QUALIFICATIONS
1. Ph.D in Agricultural Economics with experience in organizing and carrying out multi-disciplinary research/ extension programs in the Third World.
2. Five to ten years professional experience in the Third. World preferably involving micro-level research.
B. DUTIES
1. Serve as administrative leader of the team of technical and social scientists Clong-term,. short-tern and Research Associates), including liaison with GRK and USAID/Zambia. The incumbent will report to the Department of Agriculture as specified below.
2. Assist in the recruitment of the Technical Assistance Team and. short-term consultants.
3. Assist in identifying and placing Zambians in short and long-term training courses, study tours and participation in scientific symposia outside Zambia.
4. Participate with MAIM and UNZA in reviewing Special Studies carried out by UNZA faculty and. graduate students.
S. Assist in recruiting US/African Research Associates for undertaking relevant special studies as mutually agreed upon
with MAWD.
6. Assist the Commodity Research Teams CCRT's).in the design and economic interpretation of experiments.
7. Assist in the communication of ARPT recommendations to researchers on the CRT's.
8. Undertake professional activities which are mutually agreed upon with the Deputy Director of Agriculture (Extension) in support of the extension program.
Duty Station: Lusaka
Responsible to: Department of Agriculture, Director, an policy
matters and to the Deputy Director of
Agriculture, (Research) and the Deputy Director
of Agriculture, (Extensioh) on technical matters.




JOB DESCRIPTION MAIZE BREEDER
DURATION: S YEARS
A. QUALIFICATIONS
A Ph.D in plant breeding, preferably in maize, with a
minimum of 5 years experience in a tropical or subtropical region, or at an International Agricultural Research Center or S years experience as a maize breeder.* Field experience should include demonstrated ability to plan and execute a significant maize breeding program. Research project planning, management, and implementation experience are essential. Demonstrated ability and willingness to develop and implement interdisciplinary research within the framework of a multidisciplinary Maize Commodity Research Team (CRT) is essential.
B. DUTIES
The maize breeder as a member of the National Cereal Grain CRT will devote a majority of his resources and time to research on maize breeding problems of small farmers. In the course of his work he will:
1. Continue to implement current research during the absences from Zambia of GRZ maize breeding professional research officers who are-away for graduate training.
2. Evaluate germplasm, conduct variety evaluation trials, develop new varieties and hybrids and recommend varieties and/or hybrids for release to small farmers in Zambia.
3. Prepare research publications on plant breeding research.
4. Ensure proper maintenance and use of equipment provided under the project.
5. Respond to ARPT recommendations on research priorities with a view to developing a breeding program relevant to the needs of the small farmers.
6. Maintain close linkages with the ARPT agronomist and assist him as appropriate in designing and implementing adaptive research and demonstration trials on farmers fields.
7. Provide liaison between the special short-term consultants and the professional and administrative officers of both the Cereal Grain CRT and the ARPT.
8. Assist in the identification and selection of Zambian agricultural scientists for long-term training, in-country, or short-term training as appropriate.
* Maize breeding experience can be in the US.




JOB DESCRIPTION SOYBEAN BREEDER
DURATION: 5 YEARS
A. QUALIFICATIONS
A Ph.D with a concentration in plant breeding and a
minimum of 5 years of prior breeding experience on grain legumes, including soybeans. Prior experience in tropical/ sub-tropical areas is desirable. Field experience should include demonstrated ability to plan and execute a plantbreeding program including research planning, project management, and implementation. The candidate must also have demonstrated ability to conduct interdisciplinary research on team activities and to work effectively with public officials, donor agencies and farmers.
B. DUTIES
The soybean breeder will devote up to 60% of his resources and time for 5 years to soybean research priorities identified by the ARPT.
In the course of his work, he will:
1. Continue research in progress and implement new research during the absences of Zambian Research Officers who are in the US in graduate training.
2. Evaluate germplasm, conduct variety yield trials and develop soybean varieties in response to small farmers needs in liaison with the ARPT.
3. Prepare research publications relating to soybean breeding research.
4. Assure proper maintenance and use of program field and laboratory equipment.
5. Encourage the development of GRZ capability to produce breeders' seed to be released to the National Seed Outlet for increase and distribution to farmers.
6. Provide assistance to GRZ Officers and the ARPT in the allocation of resources, the establishment of small-farmer priorities, and the evaluation of applied research programs.
7. Provide liaison between appropriate short-term consultants, GRZ Officials, and the ARPT.




8. Assist in the selection and processing of Zambian plant breeders for participant training and for in-country or other short-term training and assist in selection of training institutions.
9. Assist with short courses or other types of in-service training for counterparts, ARPT and extension workers and other GRZ personnel in plant breeding, including development of curricula, course materials and presentation.




JOB DESCRIPTION SUNFLOWER AGRONOMIST
DURATION: 5 YEARS
A. QUALIFICATIONS
A Ph.D in Agronomy with emphasis on field crop production or field-oriented soil science, with a minimum of 5 years experience; or an M.S. degree in Agronomy with an emphasis on field crop production or field-oriented soil science with a minimum of 7 years experience. Research project planning, management and implementation experience are essential. Experience as an extension agronomist with a joint research appointment would be highly desirable. Demonstrated ability and willingness to develop and implement interdisciplinary research within the framework of a multi-disciplinary oilseed team is essential. The incumbent will be posted at Central Research Station, Mount Makulu, Lusaka, Zambia.
B. DUTIES
The Sunflower Agronomist as a member of the National
Oilseeds Commodity Research Team will devote a majority of his resources and time to research on sunflower production problems of small farmers. In the course of work he will:
1. Continue research in progress and implement new research activities designed to attack problems identified by the Adaptive Research Planning Team (ARPT) as being constraints to increased small farmer sunflower production.
2. Prepare the agronomic portion of research publications.
3. Assure-proper use and maintenance of equipment in the program.
4. Provide liaison between the special short-term consultants and the professional and administrative officers of both the CRT and the ARPT.
S. Assist in the identification and selection of Zambian agronomists for long-term training, in-country, or short-term training as appropriate.
6. Maintain close linkages with the ARPT Agronomist and assist as appropriate in designing and implementing adaptive research and demonstration trials on farmers' fields.




JOB DESCRIPTION FARMING SYSTEMS ECONOMIST
DURATION: 5 YEARS
A. QUALIFICATIONS
1. Ph.D in Agricultural Economics with specialization in farm management/production economics.
2. Three to five years experience in farming systems research or as a member of a multi-disciplinary team carrying out farm level surveys in the Third World.
B. DUTIES
1. Participate in the Adaptive Research Planning Team (ARPT), consisting of the Farming Systems Economist, an Agronomist and as Research Liaison Extension Officer. The team will carry out its program of work at the farm level in the Central Province of Zambia with duty stations at Kabwe.
2. Participate in the planning, supervision and implementation of farm level surveys, trials and evaluation of improved technologies for small farmers compatible with the CI~vMYT methodology presently implemented by the GRZ.
3. Assist in the timely processing and analysis of the results of farm level surveys, trials and tests conducted by the ARPT.
4. Assist in the interpretation of results for CRT's and policy makers through seminars, workshops and publications.
5. Assist in training Zambian counterparts, other Zambian staff members of the ARPT, and university students engaged in Special Studies.
6. Assist the Research Liaison Extension Officer in short training courses for extension staff.




JOB DESCRIPTION ARPT AGRONOMIST
DUPATION: 5 YEARS
A. QUALIFICATIONS
M.S. or Ph.D in a field crops speciality or soil science
with emphasis on production and problem solving research at the farm level. Must have an established record of providing leadership in and conducting successful extension programs. The candidate must be committed to working in the developing world, with 5 years of field experience in Africa. Demonstrated ability and willingness to develop and work with scientists from other countries and with a multi-disciplinary team is essential. As a member of the Adaptive Research Planning Team (ARPT) the agronomist's responsibilities will be under the leadership of the Deputy Director of Agriculture (Research) and the work of the team will be coordinated by the National .ARPT leader. The incumbent will be posted at Kabwe, Central Province, Zambia.
B. DUTIES
The responsibilities of the ARPT Agronomist will include:
1. Participation in ARPT research by cooperating with other team members in problem identification and research priorities.
2. Providing leadership for/and the conducting of field trials and tests.
3. Maintaining close linkages with the Commodity Research Teams (CRT) Agronomists.
4. Advising the ARPT Research Liaison Extension Office (RLEO) on matters relating to the extension of research findings and feedback.
S. Assisting in the timely processing and analysis of the results of farm level surveys, trials, and tests conducted by the ARPT.
6. Assisting in the interpretation of results for CRT's and policy makers through seminars, workshops and publications.
7. Assisting in the identification and selection of Zambian Agricultural scientists for long-term training, in-country or short-term training as appropriate.




JOB DESCRIPTION RESEARCH LIAISON EXTENSION OFFICER (RLEO)
DURATION: 5 YEARS
A. QUALIFICATIONS
An M.S. or Ph.D in an agricultural science with a minimum of five years field experience in Third World countries, preferably Africa or. 10 years experience in the US. Field experience should include a demonstrated ability to plan, implement and evaluate extension field testing, demonstration
-ictivities, and extension officer and farmer training programs. "An experienced extension agronomy specialist with a background ,of working cooperatively with researchers and county level tensionn agents is essential. The incumbent should have a demonstrated capability to manage and administer extension activities. A willingness and motivation to develop and implement and interdisciplinary research/extension activity within the framework of the Adaptive Research Planning Team. concept is necessary.
B. DUTIES
The RLEO as a member of the ARPT will devote the majority of working time to diagnostic, design and testing stages and in cooperating in the farming system research work and developing extension officer and farmer training programs. Specific duties will be:
1. Assist in the implementation of ongoing extension training activities and participate in the development of new training activities plan to be initiated at the camp, station, district and provincial level training institutes/centers.
2. Assist in the evaluation of ongoing extension training activities in Central Province and help plan new methodology for conducting training program.
3. Participate in the planning, supervision and implementation of farm level surveys, trials, tests and evaluation of improved technologies for small farmers compatible with CIMMYT methodology presently implemented by the GRZ.
4. Assist in the timely processing and analysis of the results of farm level surveys, trials, tests conducted by the ARPT.
S. Assist the ARPT researchers in short training courses for other ARPT members.
6. Assist in the coordination of the extension activities of ARPT and the relevant extension activities of other donors e.g. the Training and Visit System, FAO In-Service Training project and World Bank projects.
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7. Assist in the identification and selection of Zambian extension candidates for long-term, short-term and incountry training.