• TABLE OF CONTENTS
HIDE
 Front Cover
 Title Page
 Copyright
 Foreword
 Acknowledgement
 Table of Contents
 Module 2: Research planning
 Session 1: Principles of research...
 Session 2: The institute level...
 Session 3: Setting goals and...
 Session 4: From Objectives to an...
 Session 5: Participatory planning...
 Session 6: Case study
 Back Cover














Group Title: Management of agricultural research : a training manual
Title: Management of agricultural research
ALL VOLUMES CITATION THUMBNAILS PAGE IMAGE ZOOMABLE
Full Citation
STANDARD VIEW MARC VIEW
Permanent Link: http://ufdc.ufl.edu/UF00084651/00003
 Material Information
Title: Management of agricultural research a training manual
Physical Description: 11 v. : ; 30 cm.
Language: English
Creator: Asopa, V. N
Beye, Gora
Food and Agriculture Organization of the United Nations
Publisher: Food and Agriculture Organization of the United Nations
Place of Publication: Rome
Publication Date: 1997
 Subjects
Subject: Agriculture -- Research -- Management -- Developing countries   ( lcsh )
Agricultural research managers -- Developing countries   ( lcsh )
Genre: international intergovernmental publication   ( marcgt )
bibliography   ( marcgt )
non-fiction   ( marcgt )
 Notes
Bibliography: Includes bibliographical references.
Statement of Responsibility: prepared by V.N. Asopa and G. Beye.
 Record Information
Bibliographic ID: UF00084651
Volume ID: VID00003
Source Institution: University of Florida
Rights Management: All rights reserved by the source institution and holding location.
Resource Identifier: oclc - 39160428
lccn - 98210567
isbn - 9251040915 (module 1)

Table of Contents
    Front Cover
        Front Cover
    Title Page
        Page i
    Copyright
        Page ii
    Foreword
        Page iii
    Acknowledgement
        Page iv
    Table of Contents
        Page v
        Page vi
        Page vii
        Page viii
    Module 2: Research planning
        Page 1
        Page 2
    Session 1: Principles of research planning
        Page 3
        Page 4
        Session guide
            Page 5
            Page 6
        Exhibits
            Page 7
            Page 8
            Page 9
            Page 10
            Page 11
            Page 12
            Page 13
            Page 14
            Page 15
            Page 16
        Handouts
            Page 17
            Page 18
        Reading note
            Page 19
            Page 20
            Page 21
            Page 22
            Page 23
            Page 24
            Page 25
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            Page 56
            Page 57
            Page 58
    Session 2: The institute level planning process
        Page 59
        Page 60
        Session guide
            Page 61
            Page 62
        Exhibits
            Page 63
            Page 64
            Page 65
            Page 66
        Handouts
            Page 67
            Page 68
    Session 3: Setting goals and objectives
        Page 69
        Page 70
        Session guide
            Page 71
            Page 72
        Exhibits
            Page 73
            Page 74
            Page 75
            Page 76
            Page 77
            Page 78
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            Page 82
            Page 83
            Page 84
            Page 85
            Page 86
    Session 4: From Objectives to an operational plan
        Page 87
        Page 88
        Session guide
            Page 89
            Page 90
        Exhibits
            Page 91
            Page 92
            Page 93
            Page 94
            Page 95
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            Page 97
            Page 98
            Page 99
            Page 100
            Page 101
            Page 102
    Session 5: Participatory planning exercise
        Page 103
        Page 104
        Session guide
            Page 105
            Page 106
        Exhibits
            Page 107
            Page 108
    Session 6: Case study
        Page 109
        Page 110
        Session guide
            Page 111
            Page 112
        Case study
            Page 113
            Page 114
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            Page 145
    Back Cover
        Page 146
Full Text





























Module






Research planning .

; I



























Food
and
Agriculture
Organization
of
the
United
Natldons














































Prepared by
V.N. Asopa
Indian Institute of Management
and
G. Beye
Research and Technology Development Service
Research, Extension and Training Division, FAO
























FOOD AND AGRICULTURE ORGANIZATION OF THE UNITED NATIONS
Rome, 1997






















































M-67
ISBN 92-5-104092-3








All rights reserved. No part of this publication may be reproduced, stored in a
retrieval system, or transmitted in any form or by any means, electronic,
mechanical, photocopying or otherwise, without the prior permission of the
copyright owner. Applications for such permission, with a statement of the
purpose and extent of the reproduction, should be addressed to the Director,
Information Division, Food and Agriculture Organization of the United Nations, Viale
delle Terme di Caracalla, 00100 Rome, Italy.


FAO 1997


The designations employed and the presentation of material in this
publication do not imply the expression of any opinion whatsoever
on the part of the Food and Agriculture Organization of the United
Nations concerning the legal status of any country, territory, city or
area or of its authorities, or concerning the delimitation of its
frontiers or boundaries.









FOREWORD


There has been a tremendous development of agricultural research in developing countries
over the past few decades, during which time investment in agricultural research from both
national resources and international assistance has increased markedly. However, agricultural
research institutions are generally managed by veteran agricultural research workers promoted
for seniority rather than for management training and skills. Further, there are few courses
available on the management of agricultural research, and solutions and models used in the
developed world may not be appropriate for developing countries.
FAO has actively participated in strengthening the national agricultural research
systems of developing countries, and has stressed the importance of effective organization and
management for efficient research systems. The need for training in this area is great, and
resources particularly trained human resources are limited. FAO has therefore developed
a training programme on agricultural research management to support the training of trainers,
with the expectation of a multiplier effect, and to facilitate a common perception of the
structure and terminology of management, thus enhancing communication and understanding
among agricultural research managers in discussing management problems, solutions and
opportunities.
This training manual has been prepared as a basic reference resource for national
trainers, to help them structure and conduct their own courses on management at the institute
level. A separate manual will cover project and programme management. This manual is
based on the four structural functions of management: planning, organizing, monitoring and
controlling, and evaluating, each of which is covered in individual modules. Within each
module, the manual addresses pervasive management functions, including motivating,
leading, directing, priority setting, communicating and delegating, which are at all times a
concern to all managers. Topics such as leadership, motivation, human resources
management, policies and procedures are treated separately in individual sessions.
This manual as been designed for participatory learning through case studies, group
exercises, presentations by the participants and participatory lectures. Throughout the
manual, particular effort has been made to use the cases studied to capture the unique and
rich experience of developing country research managers in tackling policy, programme and
the day-to-day problems of managing research institutions and systems.
This publication is intended primarily for managers of agricultural research institutes
in developing countries and for higher education institutions interested in launching in-service
training courses on research management. However, it is hoped that agricultural research
managers everywhere will also find it useful. The manual provides a course structure with
contents that can be built upon and enriched. Users are therefore encouraged to send
suggestions for its improvement.



Louise O. Fresco
Director


Research, Extension and Training Division






iv Module 2 Research planning


ACKNOWLEDGEMENTS



The task of preparing a training manual on Agricultural Research Institute Management began
with the FAO Expert Consultation on Strategies for Research Management Training in
Africa, held at the International Livestock Centre for Africa (ILCA), Addis Ababa, Ethiopia,
12-16 December 1983. Following the recommendations of the consultation, and on the basis
of the curriculum design adopted, FAO embarked upon the preparation of this manual. In
the process of its preparation, many agricultural research managers and management
specialists have contributed. Besides the two main consultants, namely Dr Ronald P. Black,
Denver Research Institute, University of Denver, USA, who prepared the first draft, and Dr
V.N. Asopa, Professor at the Indian Institute of Management, Ahmedabad, India, who
prepared the current version of the manual, the contribution of the following specialists in
various fields must be singled out: Ramesh Bhat, J. Casas, A.K. Jain, F.S. Kanwar,
V. Martinson, Gopal Naik, P. Nath, R.K. Patel, T.P. Rama Rao, S.K. Sharma,
E.S. Tayengco, and J.S. Woolston. FAO expresses its gratitude to them all.


Special thanks are due to the International Service for National Agricultural Research
(ISNAR), which has willingly made available its valuable experience and relevant materials
throughout the preparation of the manual.


FAO also thanks all those authors and publishers who have allowed the use of
copyright material from their publications, even though the courtesy is recognized in each
case.


This manual has been prepared under the responsibility of the Research Development
Centre, Research and Technology Development Division, FAO, with the guidance of:
Mohamed S. Zehni, former Director; and J.H. Monyo, E. Venezian and B. Miuller-Haye,
past Chiefs of the Research Development Centre. Scientific supervision was provided by
G. Beye, Senior Officer, now Chief, Research Technology Development Service.







Training manual for institute management v





TABLE OF CONTENTS


Previous Modules were:
INTRODUCTORY MODULE
INTRODUCTION TO THE MANUAL AND ITS PURPOSE
Appendix 1 Management orientation and decision making
Appendix 2 Case method
Appendix 3 Summary of course contents
Appendix 4 Illustrative schedule for a workshop on agricultural research institute
management
Appendix 5 Management training
Appendix 6 Planning and management of short-duration, executive development
programmes

Module 1 INSTITUTIONAL AGRICULTURAL RESEARCH:
ORGANIZATION AND MANAGEMENT
Session 1. MANAGEMENT: THOUGHT AND PROCESS
Session 2. OBJECTIVES AND ORGANIZATION OF AGRICULTURAL RESEARCH
Session 3. ORGANIZATION OF INTERNATIONAL RESEARCH
Session 4. ORGANIZATION OF NATIONAL AGRICULTURAL RESEARCH SYSTEMS

This module is:
Module 2 RESEARCH PLANNING

Session 1. PRINCIPLES OF RESEARCH PLANNING 3
Session guide: Principles of research planning 5
Reading Note: Long-term planning of a national agricultural research system in
the Third World: a new method 19
Summary 19
Introduction 21
1. Difficulties faced by NARS 22
1.1 Imbalances in the allocation of resources 22
1.2 Structural and functional deficiencies 23
1.3 Modest results compared to the resources involved 24
2. Advantages and specific aspects of national LTPs 25
2.1 Need for a long-term strategy 25
2.2 Specific aspects of LTPs 25
3. General presentation of the proposed structure 27
3.1 Launching stage 28
3.2 Statement of the LTP strategic orientation framework 30
3.3 Development of LTP QTPPs 31
3.4 Completion of the LTP 31







vi Module 2 Research planning


4. Determination of the level of long-term financial and human resources for
the NARS 32
4.1 Determining the level of financial resources 32
4.2 Determining the level of human resources requirements 34
5. Allocation of resources 37
5.1 General criteria for allocation of AR resources 37
5.2 Quantitative method of resource allocation: content and limitations 38
5.3 A proposed method for allocation of resources 42
6. Conclusions 52
7. References 53

Session 2. THE INSTITUTE-LEVEL PLANNING PROCESS 59
Session guide: The institute-level planning process 61
Hand-out 1: A planning example 67

Session 3. SETTING GOALS AND OBJECTIVES 69
Session guide: Setting goals and objectives 71

Session 4. FROM OBJECTIVES TO AN OPERATIONAL PLAN 87
Session guide: From Objectives to an Operational Plan 89

Session 5. PARTICIPATORY PLANNING EXERCISE 103
Session guide: Participatory planning exercise 105

Session 6. CASE STUDY: PLANNING AGRICULTURAL RESEARCH IN MUGHAL
SULTANATE 109
Session guide: Case study: Planning agricultural research in Mughal Sultanate
(Parts A and B) 111
Planning agricultural research in Mughal Sultanate (Case study Part A) 113
Agriculture in Mughal Sultanate 114
Agricultural research 116
The research and development project 118
Follow-up action 118
Case study Part A Appendix Al 121
Case study Part A Appendix A2 122
Case study Part A Appendix A3 123
Planning agricultural research in Mughal Sultanate (Case study Part B) 125
In-house review 127
Formulation of projects 127
National Workshop 127
Organizational changes 128







Training manual for institute management vii


Institutionalization of research workshops 128
Research programme at NARA 128
Divergent opinions 129
Case study Part B Appendix B1 131
Case study Part B Appendix B2 137
Case study Part B Appendix B3 143
Case study Part B Appendix B4 145

The other Modules are:

Module 3 ORGANIZATIONAL PRINCIPLES AND DESIGN
Session 1. ORGANIZATIONAL THEORIES
Session 2. STRUCTURE OF AN ORGANIZATION
Session 3. ORGANIZATIONAL DESIGN AND CHANGE
Session 4. CASE STUDY: ESTABLISHMENT OF A DIRECTORATE OF RESEARCH AT
SORONNO UNIVERSITY OF AGRICULTURE
Session 5. CASE STUDY: ORGANIZATIONAL CHANGE AT SAMARU, NIGERIA

Module 4 LEADERSHIP, MOTIVATION, TEAM BUILDING AND
CONFLICT MANAGEMENT
Session 1. LEADERSHIP
Session 2. MOTIVATION
Session 3. TEAM BUILDING
Session 4. THE IRRI AGRICULTURAL EQUIPMENT PROGRAMME CASE STUDY: IRRI
MANAGEMENT COMPARES IRRI WITH DEVELOPING COUNTRY RESEARCH
INSTITUTES
Session 5. CONFLICT MANAGEMENT
Session 6. CONFLICT MANAGEMENT CASE STUDY: DR AGADIR

Module 5 MANAGING HUMAN RESOURCES
Session 1. RECRUITING AND MAINTAINING STAFF IN THE RESEARCH ENVIRONMENT
Session 2. THE PROFESSIONAL STAFF
Session 3. HUMAN RESOURCES MANAGEMENT EXERCISE
Session 4. PERFORMANCE APPRAISAL
Session 5. PERFORMANCE APPRAISAL CASE STUDY: SUZENE KOPEC
Session 6. EXERCISE IN DESIGNING PERFORMANCE EVALUATION FORMATS

Module 6 MANAGEMENT INFORMATION SYSTEMS, COMPUTERS AND
NETWORK TECHNIQUES
Session 1. MANAGEMENT INFORMATION SYSTEMS (MIS)
Session 2. MIS EXERCISE
Session 3. COMPUTERS AS MANAGEMENT TOOLS
Session 4. NETWORK TECHNIQUES
Session 5. PERT AND CPM EXERCISE

Module 7 FINANCIAL MANAGEMENT
Session 1. FINANCIAL MANAGEMENT 1: COMPONENTS AND INFORMATION NEEDS
Session 2. FINANCIAL MANAGEMENT 2: PLANNING AND BUDGETING
Session 3. FINANCIAL MANAGEMENT 3: PROJECT DESIGN AND IMPLEMENTATION







viii Module 2 Research planning


Session 4. CASE STUDY: FARO ARROYA
Session 5. GENERATING FUNDS THROUGH CONSULTING AS AN INSTITUTIONAL
ACTIVITY. CASE STUDY: FOOD TECHNOLOGY RESEARCH INSTITUTE OF
DONGAL

Module 8 RESEARCH-EXTENSION LINKAGE
Single Session: RESEARCH-EXTENSION LINKAGE

Module 9 INFORMATION SERVICES AND DOCUMENTATION
Session 1. SCIENTIFIC AND TECHNICAL INFORMATION IN A DEVELOPING-COUNTRY
RESEARCH INSTITUTION
Session 2: INFORMATION AS AN INPUT TO RESEARCH
Session 3: INFORMATION AS AN OUTPUT OF RESEARCH
Session 4: COOPERATION IN NATIONAL PROGRAMMES
Session 5: EXERCISE ON BARRIERS TO THE FLOW OF INFORMATION

Module 10 INSTITUTE EVALUATION
Single Session: INSTITUTE EVALUATION







Training manual for institute management 1


This module consists of six sessions:


1. PRINCIPLES OF RESEARCH PLANNING
2. THE INSTITUTE-LEVEL PLANNING PROCESS
3. SETTING GOALS AND OBJECTIVES
4. FROM OBJECTIVES TO AN OPERATIONAL PLAN
5. PARTICIPATORY PLANNING EXERCISE
6. CASE STUDY: PLANNING AGRICULTURAL RESEARCH IN MUGHAL SULTANATE


Sessions 1 to 4 describe the principles of research planning and development of an
operational plan in the context of stated goals and objectives. These are essentially lecture-
discussion sessions. The common reading for all these sessions is Long-term planning of a
national agricultural research system in the Third World: a new method.
The case study on Planning for agricultural research in Mughal Sultanate emphasizes
ground realities which necessitate a pragmatic approach in planning and use of a simple
technique.
The participatory planning exercise is intended to integrate all the concepts and
techniques discussed in this module.
Depending upon the time available and the participant profile, the resource person may
wish to re-schedule the sessions. One possibility is to combine sessions 1 to 4 into one
session, with the Reading Note Long-term planning of a national agricultural research
system in the Third World: a new method providing background material. Next discuss the
case study on planning agricultural research in the Mughal Sultanate. Finally, the
participatory planning exercise can be scheduled.


MODULE 2


RESEARCH PLANNING


I










Training manual for institute management 3


DATE


TIME


FORMAT Plenary participatory lecture


TRAINER






OBJECTIVES
At the end of this session participants should:
1. Know another definition for planning
2. Be aware of the nature of the information base needed for planning
3. Understand the planning steps
4. Know the interrelationships of planning with other major management
functions and the organizational goals
5. Understand how plans provide a foundation for management
6. Know major dimensions to be considered when developing a research plan
7. Be aware of the environment within which research is planned.


Module 2 Session 1


Principles of research planning







4 Module 2 Session 1 Principles of research planning


INSTRUCTIONAL MATERIALS

Exhibit 1 Planning
Exhibit 2 Information base needed for planning
Exhibit 3 Planning in diagrammatic form
Exhibit 4 Planning example
Exhibit 5 Planning considerations
Exhibit 6 The value of planning
Exhibit 7 Interrelationships of the four functions of management to attain
organizational goals
Exhibit 8 Plans as the foundation of management
Exhibit 9 Four major dimensions to consider when developing a plan
Exhibit 10 The planning environment




RECOMMENDED READING

Casas, J. 1990. Long-term planning of a national agricultural research system in the
Third World: a new method. FAO AGR Working Paper Series, 11.




HAND-OUT

Ewing, D.W. Some Laws of Planning, from The Human Side of Planning.




SPECIAL EQUIPMENT AND AIDS

Overhead projector and chalkboard







Training manual for institute management 5


PRINCIPLES OF RESEARCH PLANNING


Initiate the session by showing EXHIBIT 1 and reading the definition of planning. Ask
participants to give examples of planning exercises in which they have been involved. Ask
them to describe the information base used in the examples provided.
Show EXHIBIT 2 and discuss the information base needed for planning. The trainer
should be prepared to provide examples as to why the indicated information is needed. For
example, under Item 1, he or she might note that it would be hard to plan a trip without
knowing where one wished to go. Similarly, it would be difficult to plan a research project
without knowing one's goals. Under Item 2, the trainer might note that in connection with
planning a trip it would be important to know whether one had a car, an aeroplane or an ox.
Similarly, while planning a research project, it would be important to know whether one had
a set of test tubes and chemicals or an electron microscope. After discussing the items in this
exhibit, the trainer could ask the participants for suggestions of other categories of
information that would be needed as part of the basis for research planning.
Discuss planning in diagrammatic form (EXHIBIT 3). Goals should normally be
expressed in terms of where one would like some segment of the economy or society to be
at some future date. Constraints and opportunities should be expressed as basically as
possible. This will allow the planner to develop objectives aimed at overcoming the
constraints or taking advantage of opportunities in order to reach stated goals. Programmes
are a set of functional activities aimed at achieving the planned objectives. Tactics are
described as concrete steps which are required to implement the identified programmes. This
includes going into sufficient detail to determine schedules, budgets and logistics.
To illustrate the planning steps described in EXHIBIT 3, show EXHIBIT 4. The trainer
may wish to develop other examples to illustrate the process. It may help participants
understand the process better by having them suggest an example, which the trainer writes
on the chalkboard.
Show EXHIBIT 5 and discuss planning considerations. Each of the considerations
noted in this exhibit is important. The trainer may wish to stress each by giving an example,
by asking participants to give an example, or by asking a question concerning the planning
considerations. This will give participants sufficient time to absorb the importance of these
considerations.


Module 2 Session 1

Session Guide







Module 2 Session 1 Principles of research planning


Show EXHIBIT 6 and discuss each of the nine points.
Show EXHIBIT 7 on the interrelationships of the four functions of management in
attaining organizational goals. Note that, without goals, the four management functions
become meaningless. One cannot plan without knowing where one is going; one cannot
control without having a plan of how one is going to reach one's goals. With no goals or
plan, there is no rational way to establish an organization. If one does not know where one
is going, it is impossible to know whether one has arrived or not.
Show EXHIBIT 8 and discuss plans as the foundation of management. With plans, one
has a rational basis for establishing an organizational structure and determining the type of
people needed and when. It provides us with a basis for assessing how to lead effectively
and direct. It further provides us with a basis for setting control standards.
Four major dimensions to consider when developing a plan are discussed in
EXHIBIT 9. Discuss the exhibit, with examples and questions to participants so as to increase
their understanding of the nature of the four dimensions of a plan. Conclude the discussion
of the exhibit by asking participants if they can suggest other dimensions.
The planning environment provides a framework for discussing some of the major
external forces which affect an institute's plan (EXHIBIT 10). It would be useful for the
trainer to provide examples which are relevant to participants' experiences. The exhibit also
suggests that ideas, proposals and organizational objectives should flow both up and down
the management chain. It is useful to engage participants in a discussion as to whether or
not such flows occur within their organizations, and also whether or not they should occur.





TRAINING MANUAL FOR INSTITUTE MANAGEMENT
Module 2 Session 1


EXHIBIT 1


PLANNING IS THINKING NOW FROM A BASE OF
INFORMATION ABOUT WHAT YOU SHOULD DO
IN THE FUTURE


NflOW


FUTURE


I


NFORMAMON
BASE






TRAINING MANUAL FOR INSTITUTE MANAGEMENT
Module 2 Session 1


EXHIBIT 2


* A knowledge of:
where you wish to go, or
what you wish to achieve


* An understanding of your own:
capabilities
strengths
weaknesses
resources


* An assessment of:
market trends
scientific and technological trends
political tends
competition


THE INFORMATION BASE
NEEDED FOR PLANNING






TRAINING MANUAL FOR INSTITUTE MANAGEMENT
Module 2 Session 1


EXHIBIT 3


CONSTRAINTS
AND
OPPORTUNITIES


OBJECTIVES

PROGRAMMES


TACTICS SCHEDULING BUDGETING LOGISTICS



Concrete steps
to implement
programme






TRAINING MANUAL FOR INSTITUTE MANAGEMENT
Module 2 Session 1


EXHIBIT 4


GOAL
* Increased participation of agricultural research institutes in
national development.

CONSTRAINTS OPPORTUNITIES
* No or weak existing mechanism to get research results to
farmers
* Farmers resist change in farming practices.

OBJECTIVES
* Develop effective mechanisms to get research results to
farmers.
* Reduce farmers' resistance to change.

PROGRAMMES
* A system of extension agents.
* Experimental farms.

TACTICS


* 1. Set up an extension division within the agency
research and development
* 2. Select sites for experimental farms.


for agricultural


SCHEDULING BUDGETING LOGISTICS
* Tactic #1
to be initiated in week 3;
to be concluded in 3 months.
* Tactic #2
to be initiated in week 1;
to be concluded in 4 months.


AN EXAMPLE OF PLANNING








TRAINING MANUAL FOR INSTITUTE MANAGEMENT EIIT 5
Module 2 Session 1






PLANNING CONSIDERATIONS




The first stage of any type of planning is the
conscious and explicit statement of the ultimate goals

Planning precedes the functions of
organizing
monitoring and controlling
evaluating

Planning specifies
what should be done
how it should be done
when action is to be effected
who is responsible
why such action is necessary

Planning is the process whereby a manger looks to
the future and discovers alternative courses of action

Planning is desirable at all levels of an organization

Planning is an iterative process

In planning, the modern manager must anticipate
changes which might require discarding old ways and
adopting new

Planning should be done within a framework that
enables planners to view any planning step from as
many points of view as possible

Planning should consider as many points of view as
possible








TRAINING MANUAL FOR INSTITUTE MANAGEMENT
Module 2 Session 1


EXHIBIT 6


* It
gives direction
provides clarity of reason for being
keeps the organization on track

* Increases the probability of achieving the declared
purpose and of being effective

* Provides coordinated effort and optimizes use of
limited resources

* Provides measurement indices and knowledge of
"How we are doing"

* Improves public relations by making everyone
better able to interpret an organizations goals and
achievements

* Forces staff to improve management practices and
to assess overall impact

* Improves staff morale

* Increases foresight in terms of
meeting future community needs and operations
requirements
reducing crisis management

* Makes managers more future-oriented, and
increases their thinking about tomorrow


THE VALUE OF PLANNING







TRAINING MANUAL FOR INSTITUTE MANAGEMENT
Module 2 Session 1


EXHIBIT 7


THE INTERRELATIONSHIPS OF THE FOUR
STRUCTURAL FUNCTIONS OF MANAGEMENT








TRAINING MANUAL FOR INSTITUTE MANAGEMENT
Module 2 Session 1


PLANS AS THE FOUNDATION OF


What kind of
organizational
structure


Which helps
us know


Plans


and how to
achieve them


Necessary for


Which affects
the kind of
leadership
and direction


How to lead and
direct people most
effectively


In order to
assure suc-
cess of plans


EXHIBIT 8I






TRAINING MANUAL FOR INSTITUTE MANAGEMENT
Module 2 Session 1


EXHIBIT 9


FOUR MAJOR DIMENSIONS TO
CONSIDER WHEN DEVELOPING A
PLAN


Plan covers small
part of system


Level dimension


Scope dimension


Plan covers
entire system


PLAN


Plan covi
long run


Upper-level
management


Time dimension


Repetitiveness
dimension


Lower-level
management


used
once


Plan covers
short run /


Plan used
many times


1





TRAINING MANUAL FOR INSTITUTE MANAGEMENT
Module 2 Session 1


THE PLANNING ENVIRONMENT


POLITICAL
FORECASTS

\


RESEARCH
PROGRAMME
MANAGEMENT

RESEARCH
PROGRAMME
MANAGEMENT
INDIVIDUAL
STAFF MEMBERS


SCIENTIFIC AND
TECHNOLOGICAL
FORECASTS


MARKET
FORECASTS


MARKET
OPPORTUNITIES
AND BARRIERS


t
SCIENTIFIC AND
TECHNOLOGICAL
OPPORTUNITIES
AND BARRIERS


F EXHIBIT 10







Training manual for institute management 17


SOME AXIOMS OF PLANNING


1. A viable programme meets the needs of
the formal organization,
individuals, and
groups,
but A. the perfect plan is not perfect from an organizational, individual nor group
standpoint, and
B. the three needs should be borne in mind during the conception and design of
a programme, as well as during its execution.
2. Effective planning is incomplete planning.
A. The optimum amount of detail is roughly proportional to the organization's
experience in planning.
B. The less able and trustworthy a planning leader's subordinates, the less she
or he can plan in any way.
3. Every well-drawn plan is out of date by the time it is in use.
4. Planning creates anti-planning.
5. The planning leader who is effective for a sustained period has political power.
6. Good planning does not always succeed. Poor planning does not always fail.
7. The act of planning itself changes the situation in which the organization operates.


(From The Human Side of Planning by D.W. Ewing)


Module 2 Session 1

Hand-out


I










Training manual for institute management 19


LONG-TERM PLANNING OF A NATIONAL AGRICULTURAL RESEARCH
SYSTEM IN THE THIRD WORLD: A NEW METHOD


SUMMARY


Most NARS in developing countries are facing both qualitative and quantitative problems,
which in part explains their inefficient use of national and foreign resources, their modest
scientific results and their low level of effectiveness in supporting agricultural development.
The qualitative deficiencies are essentially related to NARS' structures and operation.
The quantitative deficiencies are reflected in frequently imbalanced allocations of research
resources: not only within each country, but also among regions, research programmes and
different categories of human, physical and financial resources. Imbalances can be corrected
only within the framework of a coherent strategy that justifies the development of a long-term
national agricultural research (AR) plan.
Notwithstanding their apparent sophistication, quantitative methods of AR planning tried
so far such as scoring and cost-benefit analysis in developing countries present serious
drawbacks and remain largely subjective. A critical assessment of these methods in the
context of more common AR planning experiences has led to the elaboration of new
methodology, largely inspired by the national economic planning process often used in both
developed and developing countries.
This method is based on the primacy of general and financial orientations given by the
policy-makers, and on mobilization of the scientists (researchers, professors) and
representatives of AR system partners (agricultural administrations and public services,
farmers' organizations, etc.) through a specialized planning committee. It consists of the
preparation of two or three 'target' long-term research plan proposals, which describe the
main quantitative characteristics of the AR system (level and allocation of resources) for the
final year of the plan, as the best possible with respect to:
the constraints and potentials of national agricultural development,
the available technologies and innovations, and








20 Module 2 Session I Principles of research planning


the possibilities for mobilizing national and international scientific and financial resources.
The method involves, first, an estimate of the total AR budget and number of research years
(1 research year = equivalent of 1 full-time researcher = associated support costs and
overheads) expected for the final year of the plan. Then the allocation of these research
years results in a procedure of analysis, confrontation and harmonization of the research
needs by broad sectors (groups of commodities; other themes), assessed by the planning
committees. This procedure uses matrix tables for expressing research-year needs by
commodities, themes, disciplines and research centres. The final objective is to propose
'area' research programmes and regional centres endowed with a critical mass of resources
to meet as inexpensively as possible the priority needs of agricultural development.
The proposal chosen by policy-makers can be only an indicative, flexible reference,
aimed essentially at improving the short- to medium-term decision process. In the long term,
AR system evolution would rely principally on the solution of structural and operational
deficiencies, and on the attitude of experienced research staff and managers responsive to the
agricultural realities of their country and to international scientific advances.








Training manual for institute management 21


INTRODUCTION


In most developing countries, agricultural research (AR) activities at the national level are
generally conducted by either government institutions specializing in AR or by institutions
which are not primarily involved in AR, such as agricultural faculties, rural development
societies, agro-food industries, etc. In any country, such organizations and the
politico-administrative bodies that run them (ministries of agriculture, of research, of
education, of finance, etc.) constitute the national agricultural research system (NARS).
The operation of NARS requires constant decisions, variable in scope and level of
responsibility. The most important of these decisions are those that change the structures,
orientations and resources of NARS or of its principal components. Such decisions can only
be properly taken and implemented if they are based on a good understanding of the past and
present positions of NARS, and on at least minimal agreement with the people involved:
scientists and potential users of the research results, such as extension services, agricultural
cooperatives and farms, agro-food industries, etc. The decision making process can be
formalized by the establishment of planning and programming mechanisms.
This note therefore deals with the long-term planning of national AR, so-called strategic
planning. This may seem surprising, especially at a time when the ideology of planning is
being questioned almost everywhere in the world, including in socialist countries, and when
most of the developing countries, faced with severe economic and financial crises, are forced
to give priority to short-term management. Nevertheless, it is justified for two main reasons.
The first is the unsatisfactory current situation and the low level of effectiveness of most
Third World NARS in supporting rural development (see Section 1 below). Improvement
of NARS will require profound and comprehensive qualitative and quantitative changes over
a long period of time. In this context, the availability of a national long-term plan (LTP) is
essential in order to define a strategy of evolution as a reference point for sounder short- or
medium-term decisions. This is the main concern of any long-term national planning process,
which should not be considered an end in itself, but rather an instrument to facilitate and
improve medium-term planning and/or annual or multi-annual AR programming, both at the
overall NARS level and at the level of one of its individual scientific organizations (see
Section 2 below).
The second reason is that, despite its importance, national long-term planning as
opposed to medium-term planning and programming has so far only led to a very limited
number of concrete applications and publications. This gap has to be filled, based essentially
on a critical review of the literature and experiences in the field.'








1. See Section 3 for a new approach to long-term national AR planning, and Sections 4 and 5 for a new method
for the determination of the level allocation of resources. These have been worked out based on field
experiences in several countries.







Module 2 Session 1 Principles of research planning


1. DIFFICULTIES FACED BY NARS


Most NARS in the Third World face problems which can be presented here only in brief.
We shall consider first those which are mainly quantitative, and which are manifested by
perceptible imbalances in the allocation of research resources. Then we shall consider
qualitative deficiencies, notably those related to the structure and operation of NARS. These
deficiencies are reflected in a relatively inefficient use of available resources.


1.1 IMBALANCES IN THE ALLOCATION OF RESOURCES
The most striking and frequently observed imbalances in most countries concern the
allocation of resources among regions, sectors of production and research programmes, and,
finally, within the broad categories of resources.
Unequal allocation of resources among the different regions of a country frequently
leads to excessive concentration in the capital and its surroundings. These urban poles have
attracted about 75% of the scientists in sub-Saharan francophone Africa and more than 50%
in many Latin American countries. This phenomenon is only partially explained by the need
for research in agricultural areas around the capitals, or by the need for maintenance of
equipment or access to information in other fields of research (soil science, agro-food
technology, economics, etc.). It seems to be more expressed in countries that are less
developed and more centralist. Outside the capitals, it is unusual to find research centres
with the critical mass of resources at their disposal needed to be able to respond effectively
and inexpensively to the various needs of regional farming systems and to provide their
research staff with a professional and social environment conducive to stability.
The unsatisfactory allocation of resources among different sectors and research
programmes often leads to a lack of interest in livestock production, forests and in the
problems of the protection of natural resources. Compared with crop research, these
scientific fields have the drawbacks of being relatively costly and yielding results only in the
long term, and of being more difficult to transfer through extension. Rural economics and
sociology are also often neglected, at least in institutions specializing in AR, despite their
significance for the definition of national agricultural policies. In general, too few research
programmes have mobilized real teams on a sustainable basis, endowed with adequate
resources comparable to those of the international agricultural research centres (IARCs).
Research is too often carried out by isolated scientists, who have to cover several activities,
and which rarely results in other than scrappy results, with little significance and very limited
interest for the development process.
Imbalances observed among the different categories of resources (human, physical and
financial) can generally be identified by reading the budgets of the scientific institutions. In
most cases, a high proportion of the annual budget is allocated to staff costs, and the
remaining funds for operation and equipment are obviously insufficient to ensure full
employment of the staff. In many NARS, researchers can only work half-time at best. In
sub-Saharan Africa, this rate of employment would be even lower without foreign financial
aid which, in many countries, pays for the majority of the operating and equipment expenses.
Almost everywhere in the Third World the shortage of research funds is particularly
desperate in agricultural faculties and universities in general, which are therefore








Training manual for institute management


marginalized within NARS, even though they often contain scientists with superior academic
training.
Imbalances can also be seen within human, physical and financial resources.
Concerning staffing, imbalances are evident in the poor ratio of scientists to other categories
of employees, with, very often, only a limited number of skilled technicians. This situation
often means that a disproportionately heavy share of research management falls on the best
qualified and most experienced researchers. As far as physical resources are concerned,
research centres and stations are too numerous and too specialized within the non-unified
NARS, which is reflected in a relative excess of infrastructure, their underutilization and in
high real or opportunity costs, to the detriment of other research facilities. Concerning
financial resources, in addition to the budgetary imbalances mentioned above, national funds
for equipment and operations usually fluctuate from year to year, and are so unstable in some
countries that they permit only day-to-day management.
All these imbalances lead to an inefficient use of the available resources. In most
NARS, a reduction in numbers of unskilled staff and a better distribution of research forces
throughout the country would lower overall costs. With the same budget, it would often be
possible to improve facilities for national scientists and to substantially reduce their disguised
unemployment. It is obvious that unsatisfactory allocations are the result of NARS' structural
and functional deficiencies, which will be discussed below.


1.2 STRUCTURAL AND FUNCTIONAL DEFICIENCIES
These deficiencies will be examined in terms of both structural and overall functioning of
NARS, and management of scientific and technical organizations.
NARS' structures pose no problems when research forces are largely concentrated in
a single, multi-purpose agricultural research institution (ARI) or in a limited number of
research institutes with complementary tasks. They do pose problems, however, in NARS
which are split and poorly integrated. Such NARS relatively numerous in the Third
World are characterized by:
the presence of many, small scientific and technical organizations in relation to the size
of the NARS; and
the absence of a higher policy body responsible for conceiving and implementing a
national AR policy, with political and financial authority over all the scientific and
technical organizations involved, or at least over the highest ones.
In such NARS, competition among scientific organizations and their political and adminis-
trative supervisors at the national level is often uncontrolled. This is accompanied by a
certain squandering of resources, e.g., in the duplication of programmes and resources.
Structures considered a priori to be suitable do not, however, guarantee a good
functioning of AR. Even under such favourable circumstances, imbalanced allocation of
resources often persists, owing to the absence or inefficiency of mechanisms for evaluation,
programming and planning of AR activities and resources.
Consideration of the main problems of management of scientific organizations them-
selves will be limited to problems related to managers and to human, physical and financial
resources of ARIs.








24 Module 2 Session 1 Principles of research planning




Directors are frequently obliged to manage their institutions without clear policy
guidance from their government superiors, and yet at the same time are not free from
frequent and arbitrary interference. Moreover, the absence or irregular operation of
collective decision making and advisory or evaluating bodies, such as boards or scientific
councils, often leads to an autocratic and centralistic management of the institutions by their
directors.
As for staff management, the frequently occurring situation of an absence of specific
staff regulations creates many well-known problems in the selection and career development
of researchers. When regulations exist, they seldom foster teamwork. Under these
circumstances, institutions have difficulty in consolidating their human potential and ensuring
the achievement of their objectives.
The management of financial and physical resources is often one of the major weakness
of ARIs in developing countries. This is mainly because of understaffed and underequipped
departments (computers are a rarity) and to the rigid and bureaucratic operating regulations
of public institutions. This often results in a mediocre and sluggish information system, an
incomplete use of allocated funds, delays and overcosts in orders and payments for goods and
services and negligent maintenance of infrastructure, equipment and vehicles. Such
deficiencies create severe obstacles to the normal progress of research activities, and
accentuate the squandering of financial and physical resources.


1.3 MODEST RESULTS COMPARED TO THE RESOURCES INVOLVED
Owing to the shortcomings noted in the previous paragraphs, most NARS in developing
countries can show only modest results in scientific terms but especially with respect to
impact on development. The deficiencies of agricultural policy and of extension services
should not overshadow the responsibilities of NARS in the development process. In fact, a
great proportion of technical innovations originating from NARS have proved to be too risky
or too complex and ill-adapted to development needs, largely because they resulted from
scientific practices that relied too much on work done in controlled environments (research
stations and laboratories).
The situation has been improving as a result of increasing applied research through field
trials and on farming systems. People everywhere are becoming more aware of the need to
work out intensification models adapted to the needs and capacities for evolution of the main
production types of regional farming systems. Although this trend is promising, it can only
be pursued if NARS organize themselves around regional research centres, where research
teams can cooperate closely with public and private regional agricultural organizations.
So far, NARS have not achieved their aim of being the effective development tools
expected after the success of the green revolution. Obviously, the great possibly too
great expectations aroused in the 1960s and 1970s, followed by an increase in funding to
NARs, did not materialize. With very few exceptions, NARS no longer have the same
benevolent attention from their governments. In many countries, particularly in Africa and
Latin America, this change in the national attitude has unfortunately coincided with serious
economic and financial crises, and with greater stringency in bilateral and multilateral foreign
aid. Therefore, today, most NARS are having hard times, with, for some of them, drastic
cuts in their funding.







Training manual for institute management 25


2. ADVANTAGES AND SPECIFIC ASPECTS OF NATIONAL LTPs


2.1 NEED FOR A LONG-TERM STRATEGY
Only a few NARS in developing countries will be able to play an important role in the rural
development process without vigorous and continuous support from national authorities
concerned with financing, implementation and application of AR. To improve NARS'
situations, the following points must be taken into consideration:
better use must be made of the financial resources available, through balanced allocation
in order to ensure the best possible use of human and physical resources. This may
often require reductions in staffing (sometimes including scientists) and of infrastructure;
research programmes and centres need to be set up and supported with the necessary
resources in order to be able to respond to the pressing problems of agricultural
production and of the rural environment, with optimal use of research funds and close
cooperation with extension and development organizations; and
the quality-oriented problems noted earlier need solving, especially those related to the
structure of NARS, the operation of their institutions and conditions of employment for
the research staff.
Such quantitative and qualitative transformations of NARS cannot all be accomplished at the
same time. Some changes will require more time, such as geographically redeploying
research forces to new regional research centres; recruiting and training young scientists for
boosted programmes; eliminating unnecessary unskilled staff; increasing (both relatively and
absolutely) funding for equipment and operations; and improving the management of financial
and physical resources. Other transformations may be very rapid, like restructuring the
supervisory and scientific organizations of NARS; issuing appropriate staff regulations; or
setting up advisory and evaluation bodies.
To sum up, the creation of well-organized, economic and efficient NARS requires the
definition and continuing application of measures of all sorts, which can become coherent and
effective only through national strategies for long-term development. The elaboration of such
strategies fully justifies the preparation of national AR plans to cover periods of 8 to 15 years
(equivalent to two or three Four-Year or Five-Year Plans). These LTPs then serve as
reference points for the creation of medium-term plans (MTPs) or short-term action
programmes.


2.2 SPECIFIC ASPECTS OF LTPs
For a better delineation of the content and the advantage of the LTP, a few concepts
generally used in medium-term planning will be described below.
An MTP for AR is usually has two elements: the target plan and its operational
programme. The target plan describes the main characteristics of the NARS (level and
allocation of resources, structures and methods of operation), which are considered to be the
best possible at the termination of the plan with respect to national research needs, the
country's policy choices, possibilities for mobilization of national and foreign resources and
the NARS' capacity for development. The operational programme of the target plan shows








26 Module 2 Session 1 Principles of research planning




the strategy for mobilization of resources and for any reorganization of NARS, as well as the
corresponding measures to be applied during the planning period.
An MTP should be prepared within the framework of an operational and continuing
planning system. After official approval of the plan, this planning system would be
responsible for:
taking concrete decisions (opening staff positions, assigning funds);
following up the implementation of national decisions, and those related to foreign
assistance; and
evaluation to revalidate or revise the plan in order to keep up with its progress, and to
be aware of constraints or new opportunities during the execution of the plan.
In long-term planning, it would be unrealistic to propose a precise model for the structures
and the operation of NARS in the far distant future. This task can only be approached in
terms of orientations and general principles. Therefore the target plan will be composed
essentially of a quantitative target plan proposal (QTPP) that provides a relatively precise
outline of the NARS desired at termination, and covering levels and allocations of its
resources among commodities, scientific disciplines, regions, etc. Under these conditions,
the operational programme for the LTP could have two forms:
it could restrict itself to a few general suggestions concerning strategies for the
mobilization of resources and the re-organization of the NARS, and call for the
preparation of an MTP to deal with these aspects in detail; or,
if the preparation of an MTP is unlikely to be soon,
it could propose a short-term programme of action considered essential to provide a
positive start to the LTP.
In any case, it cannot be the task of the LTP to go into the details of planning in the short
or medium terms, or to propose, as an MTP might do, a broad and detailed re-structuring
of NARS, such as mergers of institutions, the creation of new institutions, the suppression
of established ones, new definitions of responsibilities between organizations and ministries,
etc., or to give a precise schedule for staffing or budgeting the different institutions
comprising the NARS.
Finally, the LTP will essentially be a guide for decision making regarding the level of
resources and their allocation to research programmes, regions, staff costs, operation,
equipment, etc. This may sound restrictive, but it has many advantages.
First of all, the LTP would have no immediate institutional concerns. Its basic
proposals would relate to the resources and would be put forward only with reference to the
priority problems and the national options for rural development, as well as to the national
scientific and financial capacities for AR. This means that the scientific and technical
organizations concerned, together with the scientists, can participate in drafting the LTP in
all serenity.
Second, if the results of the target LTP are independent of the structures, it is evident
that their availability can ultimately facilitate the development of proposals or decisions more
securely based on the structures of NARS and their operation.
Third, it becomes possible to establish a close complementary relationship between the
LTP and an MTP. Till now, most MTPs have been prepared according to the 'upstream'








Training manual for institute management 27


process of pluri-annual programming. This process consists essentially of beginning with the
present situation (notably of programmes) and striving to improve it by progressive
adjustments. In its most elaborate form, such as the C6te d'Ivoire experience, pluri-annual
programming consists of:
analysing AR programmes and projects (parts of programmes) that are under way or
newly proposed by NARS institutions;
comparing them by taking into account their socio-economic and scientific advantages and
whether they are in line with the country's broad development orientations; and
selecting priorities, respecting budgetary constraints for the period considered. Then, for
the four to five years of MTP period, additional needs for resources for starting
programmes and projects are stressed, resources for research activities underway are
maintained, and resources for activities that are winding down are deducted.
The programming process is not only an upstream process, as it generally involves some
considerations of prospective future development of the NARS. See Du Plessix et al. (1973)
and Trouchaud (1979).
The existence of an LTP should improve the quality of MTPs by complementing the
upstream process by a balancing downstream process, starting from the QTPP for the LTP.
The final advantage of the LTP is the chance to consider in the plan only those problems
relating to the determination of the level of resources for the NARS and their allocation.
This will be discussed following presentation of the general planning procedure.




3. GENERAL PRESENTATION OF THE PROPOSED PROCEDURE


Many developing countries have experience in planning, generally through the preparation
of national economic and social development MTPs. The practices in this area certainly
vary, but are usually have two major elements:
political primacy, so that the government decides to start the preparation of the plan,
names its responsibilities, outlines the broad preliminary orientations, chooses among
the plan's possible provisional options and decides about plan application; and
the mobilization of experts and representatives of the country's socio-professional
groupings (through working committees and consultations), in order to ensure that the
plan is accurately prepared and is broadly acceptable by the nation without major
disagreement over its application.
For obvious reasons, the process of LTP development should follow these practices and
principles. This justifies the proposal for the general procedure set out in Table 1, which
describes the four main stages and the three levels of responsibility, with emphasis on some
aspects other than those related to the level and allocation of resources, which will be
examined in Sections 4 and 5.









28 Module 2 Session 1 Principles of research planning


Table 1 LTP preparation: levels of responsibility, main stages and operations


LEVELS OF RESPONSIBILITY

MAIN STAGES POLITICAL LEVEL POLITICO-PROFESSIONAL PROFESSIONAL LEVEL
LEVEL
(Government authorities) L( c C mit) (Specialized committees)
(Ad hoc Committee)

1. Launching NARS diagnosis Create specialized
Decision to prepare LTP committees
Create Ad hoc
Committee

2. Statement of Definition of LTP's guiding principles (role of AR; ways
strategic and means of improving its effectiveness)
orientation Orientation for long-term national and foreign financial
resources

3. Development Standard resources and
of target LTP costs per research year
proposals (RY)
Fixing of long-term RY
range expected
Fixing of indicative RY
ranges by specialized
committees

3.1 Preparatory Information-training seminar on LTP and methods of
development of quantitative target LTP

3.2 Sectorial Leadership and supervision Preparation of specialized
approach of specialized committees' reports
work

3.3 Global Harmonization of sectorial research proposals
approach Non-sectorial research needs proposals
Final quantitative target plan proposals (QTPP)

4. Completion Finalization of the QTPP
of LTP Development of
proposals implementation
strategies for QTPP
(resource mobilization;
NARS organization)
First draft of LTP report

5. Decisions Analysis of LTP Final version of the LTP
proposals report
Choice of one proposal
[ Preparation of an MTP]


3.1 LAUNCHING STAGE

This stage requires a policy decision by the government
Ministry of Planning, of Research or of Agriculture).
thorough diagnosis of the NARS, and is accompanied
Committee, representing the politico-professional level,
for the preparation of the LTP. One of its primary
specialized committees.


authorities concerned (usually the
It assumes the availability of a
by the designation of an Ad hoc
which will actually be responsible
functions will be the creation of







Training manual for institute management 29


3.1.1. Necessity for a thorough diagnosis of the NARS
The diagnosis of the NARS must include a precise and critical inventory of the levels and
allocation of current resources (human, physical and financial, both national and foreign) and
of their evolution in the past. This will be indispensable for the determination of the levels
Sof resources to be considered in the long term.
The diagnosis must also cover qualitative aspects related to the mobilization of
resources; conditions of service, stability, availability and location of scientific staff; size,
stability and productivity of programmes; adaptation of infrastructure and other physical
resources to research needs; methods of management of financial resources; etc.), and to the
structures and the operation of the NARS and its scientific organizations.
Finally, the diagnosis should lead to valid assessments of the effectiveness of the NARS
(estimated degree of scientists' effective time used for research; judgments on scientific
results) and of its role (practical relationships with development organizations), and to an
attempt to stress the NARS' main strengths and weaknesses.
The most important elements of the diagnosis will be used later as references for the
preparation of the statement of the planning orientation framework and for defining the LTP
implementation strategy.


3.1.2 Ad hoc and specialized committees: composition and significance
It must be stressed that the LTP should not be simply a plan for the scientists or research
organizations. For it to be properly considered a national plan, its preparation has to
mobilize representatives of all parties involved. The composition of the committees must
therefore reflect this imperative, and at the same time guarantee the scientific, technical and
financial credibility of the LTP.
The Ad hoc Committee is directly responsible for the whole process of LTP preparation.
Its members are drawn from the politico-professional level: delegates of the ministers
concerned with AR (research, agriculture, education, planning, finance, etc.), representatives
of the public and private users of AR (administration, development services, farmers'
organizations, etc.), and directors of the main scientific and technical organizations of the
NARS. It is supported by a secretariat of experts familiar with planning and rural
development.
The role of the specialized committees is to identify, prioritize and quantify research
needs in each field defined by the Ad hoc Committee. For greater efficiency, the committees
should be formed on the basis of production sectors or commodity groups.'
At the same time, however, it is essential to create a specialized 'horizontal' committee
to cover 'national and regional agricultural economics,' which will provide information
complementary to those of the 'vertical' sectorial committees by taking account of relations
among groups of commodities at the levels of the farm (farming systems), of regions
(agrarian systems) and of the country itself. Each of the specialized committees should be
composed of a limited number of permanent members (not more than a dozen), chosen from


1. In the Niger, four sectorial committees operated in the fields of: rain-fed crops; irrigated and intensive crops;
livestock production; and environment (forests, soils, fisheries and wildlife) (Casas, Labouesse and Soumana,
1989). In Tunisia, with its more diversified agricultural production, more sectors were studied (cereals, food
legumes, industrial and horticultural crops, tree fruits, etc.) (Casas, Labouesse and Rocheteau, 1987).







30 Module 2 Session 1 Principles of research planning


among the best specialists of the NARS and of the users of AR (administration, development
services, farmers' organizations, etc.).


3.2 STATEMENT OF THE LTP STRATEGIC ORIENTATION FRAMEWORK
In the second stage, government authorities set out the strategic orientation of the LTP in a
policy document which will be the basic and essential reference for the planning work. It
will be prepared by the Ad hoc Committee, working in close cooperation with the government
authorities. In its final form, this policy statement must be available to the specialized
committees called upon to intervene in the following stage. This statement represents the
guiding principles for the development of the LTP. The principles may vary from country
to country, but, as a general rule, they contain guidelines for the expected role of AR, a
description of the ways and means by which this statement should improve the effectiveness
of NARS, and a presentation of possible trends in long-term AR financial resources.


3.2.1 The expected role of AR
The primary goal of AR is to support agricultural and rural development by:
proposing technical innovations adapted to the physical and socio-economic conditions and
to the capacities for change of rural areas;
producing technical and socio-economic information (soil maps, inventories of biological
resources, surveys of farms and marketing systems, etc.); and
it should also support academic and in-service training for the national (public and
private) senior staff, etc.


3.2.2 Ways and means of improving the effectiveness of AR
The strategic policy statement should help overcome the principal quantitative and qualitative
deficiencies of NARS identified in the diagnosis, by:
balancing sectorial and regional research efforts;
creating programmes and centres endowed with a critical mass of resources;
ensuring a better coordination of scientific organizations and their supervisors;
developing international scientific relationships;
and so forth.
Most of these proposals should be general, in order to not disturb the work of the
committees, but some should be specific or even imperative (e.g., to create a research centre
in a specific region).


3.2.3 Long-term financial resources orientation
The strategic policy statement should give precise indications on this point, particularly by
setting an indicative rate of growth in long-term national public AR expenses. Lack of clear
long-term financial guidelines is a major constraint, which is routine in the preparation of







Training manual for institute management 31


socio-economic development plans. It is therefore essential to guide the committees and to
avoid unrealistic LTP proposals. These points will be discussed in detail in Section 4.


3.3 DEVELOPMENT OF LTP QTPPs
This third stage is by far the most important and delicate of the procedure. It consists of
developing two or three QTPPs for the LTP, with different levels and allocations of
resources, to be submitted to national authorities. It involves three successive phases,
resembling those which are generally found in the preparation of national socio-economic
development plans.
The first phase consists of preparatory work conducted by the Ad hoc Committee, aimed
at facilitating and guiding the next two phases. This preparatory work should determine the
foreseeable range (maximum and minimum levels) of total financial resources expected in the
long term, and the corresponding range in the total number of research years (RYs) or
equivalent full-time researchers, through a preliminary calculation of standard resources and
costs per RY. This number will itself be broken down into indicative numbers of RYs
allotted to the different specialized committees. The work concludes with a three-to-four-day
information seminar for all members of the specialized committees, addressing the aims and
method of development of the LTP.
The second phase is devoted to a sectoral approach to research needs (expressed in
RYs) based on an analysis of the needs and potentials of rural development.
The third phase consists of a global approach to research needs. After (i) a review and
harmonization of the sectoral proposals, (ii) an elaboration of the non-sectoral research
proposals, and (iii) an analysis of all the previous proposals by region, the secretariat of the
Ad hoc Committee and the leaders of the specialized committees develop the final QTPPs for
the LTP.
The third stage, with its three phases, will not be discussed further here, since it is
covered in Sections 4 and 5 on methods of determining levels and allocations of LTP
financial and human resources.


3.4 COMPLETION OF THE LTP
The fourth stage, executed by the Ad hoc Committee, consists of finalizing the QTPPs, with
presentation of all their financial implications estimated from the standard costs defined
during the preparatory work of the third stage. There remains the preparation for the
government authorities of a first provisional report, presenting the complete proposals for the
LTP by adding either a proposal for a well-defined programme of short-term action
specifying the measures considered indispensable to start the LTP, or a brief statement
concerning the implementation of the QTPPs (strategies for mobilization of resources and
re-organization of the NARS), details of which will be worked out later during the
preparation of the MTP.
The fifth and last stage is devoted to decisions. After the analysis of the provisional
report, the government authorities choose among the prospective plan proposals and
implementation scenarios. The Ad hoc Committee thereafter prepares the final version of the
report based on the LTP selected.







32 Module 2 Session 1 Principles of research planning


4. DETERMINATION OF THE LEVEL OF LONG-TERM FINANCIAL AND
HUMAN RESOURCES FOR THE NARS


4.1 DETERMINING THE LEVEL OF FINANCIAL RESOURCES
Realistic and acceptable LTP proposals must be based on precise information from policy-
makers on the desirable and possible evolution of financial resources available for AR. This
information must primarily cover national public resources, which is usually the largest
element. It must also cover other resources, such as the country's private sector, foreign
cooperation, etc. Such information is a policy decision for the future development of AR.
It expresses the government's view of the future capacity of the revised NARS to effectively
serve rural development. It sums up clearly the government's assessment of:
the past and present levels of financial resources for AR, their origin and their allocation
(national public or other resources, foreign resources; staffing, equipment and
operational costs); and
future possibilities for national (particularly public) and foreign financing, depending a
great deal on the prospects for evolution of the country's economy and agriculture.


4.1.1 Past trends and current levels of financial resources for AR
This information should have been collected during the NARS diagnosis, but, as a precaution,
the Ad hoc Committee should re-evaluate total current resources and their components, taking
special notice of current AR expenditures in non-specialized public, semi-public and private
NARS organizations, and possible public AR expenditures on loans. Estimates should be as
accurate and recent as possible, since they will have decisive influence on the estimate of
financial resources to be expected in the long term. Earlier AR resources, both public and
private, can be restricted to those reported (in current prices, adjusted to constant prices) by
the biggest NARS organizations.
This information can lead to initial options on desirable trends in long-term financing
for AR. Severe imbalances between national and foreign resources, or between staffing costs
and costs for operations and equipment, are of course more easily absorbed with a rapidly
expanding national AR budget. A rapid increase in financial resources in the past might
justify a slowing down during the period of the LTP; in contrast, stagnation or reduction in
these resources could call for an accelerated future increase.
These options can be bolstered by international comparisons, especially using the most
convenient criterion, namely the ratio of national AR expenditure to agricultural gross
domestic product (AGDP). Unfortunately such comparisons are not easy to make, since AR
expenditures are rarely evaluated on a standard basis, and the data available generally
concern only the public institutions specializing in AR, rather than the totality of the NARSs.
Some international organizations have recommended that developing countries should invest
1% of their AGDP' in AR.


1. Even 2% investment has been recommended, which is the average ratio observed in developed countries,
although, for developed countries, the ratio of AR expenses:AGDP is not significant, as a large part of AR
resources is dedicated to the agro-industrial sector, which is often economically more important than the
agricultural sector. Here it would be more suitable to use the ratio AR expenses:agricultural and agro-industrial
GDP, which ranges between 1 and 1.5% in most developed countries (Casas, 1988).







Training manual for institute management


This recommendation, however, may not have the same significance for all countries.
The percentage might be too high for countries with large, relatively homogeneous
agricultural areas and only a few important commodities; it would probably be too low for
countries with the opposite characteristics.


4.1.2 Possibilities of long-term financing of AR
Although the discussion above provides some idea of the trend in AR resources, only consid-
eration of the total range of possible public, private and foreign financing can permit one to
determine the probable level of financial resources that the LTP could mobilize.
Possibilities of public financing
These possibilities can be assessed by examining past trends particularly growth rates and
probable future trends, expressed in constant currency units, of
the total public budget,
the budget for rural development, and
the budget for scientific research.
Observations must cover a fairly long period in order to eliminate 'accidents' related to too
favourable or unfavourable years (weather conditions, extreme price fluctuations for export
commodities, etc.) Analysis of these data should provide an assessment of the long-term
tendencies in the growth rates of these three budgets.
In a conservative and not very optimistic hypothesis, in which AR would receive no
preferential budgetary support from the government, the lowest of the three above-mentioned
rates, Rmin, could be taken as the minimum growth rate of the public budget for AR.
A more optimistic hypothesis would reflect a desire by the government to provide the
country with a renewed and strengthened NARS in the long term. The budget for AR would
be relatively preferential, and its growth rate would be higher than that of the total budget.
We shall see below how this maximum rate, R,, can be precisely determined from the
previous minimum rate, R,,n.
Thus we arrive at a range of indicative annual growth rates for public expenditures for
AR. Taking these rates, we can then calculate the maximum (PEm,) and minimum (PEmin)
amounts, expressed in constant currency units, for annual public expenditure anticipated at
plan termination, and which the LTP must take into account, by applying the following
formulae:
PEm = PEo x (1+R,)"
and PEmi = PEo x (1+R,,,)"
where: PEo = total actual annual public expenditures (for the reference year used to
estimate PEo)
n = number of years separating the reference year and final year of the LTP
R,, and R,, are expressed as percentages.






34 Module 2 Session 1 Principles of research planning


Other possibilities of financing
With the help of information from the diagnosis and review of NARS, we can establish the
annual maximum (OE,,) and minimum (OEmi,) overall expenditures, i.e., the amounts of
other financial resources that can reasonably be expected at plan termination. It is wiser to
propose growth rates for these resources similar to or not much higher than those of the
public AR budget.
Determining the indicative ranges of total annual AR expenditures
From the above, indicative total expenditures at plan termination can be obtained. The
maximum (TE,,) and minimum (TEi,) amounts of annual financial resources to be expected
at plan termination can be calculated by:
TE. = PE. + OE.
and TEmin = PE,, + OE,,n
At this stage of LTP preparation, the range of possible total expenditures must be considered
as flexible, open to adjustment, depending on:
the quality and advantages of the LTP, which might possibly justify the approval of
increased efforts to provide AR funds by government authorities and donors; and
possible adjustments upward or downward reflecting economic and budgetary
prospects during the preparation period of the LTP.
Furthermore, to give direction and to provide a suitable framework for the planning
committees, the range of total financial resources must remain relatively narrow. The
maximum amount of total expenditure (TErm) should not be more than 30% or 40% higher
than the minimum (TEmin). If the same margin is observed for public expenditures, the value
of PE,, can be directly calculated from PEmi, with no need for reference to the maximum
growth rate, Rm,, which can be calculated a posteriori as indicative.
Finally, the method proposed for determining the levels of long-term funding for AR
is based on procedures which are somewhat empirical, but as realistic as possible because
they are based on a thorough understanding of the procedures for allocation of public
budgetary resources, and not simply on the vague indications (with or without figures)
provided by some national authorities concerned with AR.


4.2 DETERMINING THE LEVEL OF HUMAN RESOURCES REQUIREMENTS
In order to determine the level of staffing needed, we shall use average norms for long-term,
annual costs per research scientist. The methodology for this procedure is discussed below.


4.2.1 Justification for the use of standard costs per research year
Among the human, physical and financial resources covered in the LTP, scientists are
considered to be the most significant and decisive resource. They are the most significant
because their allocation among commodities, the major research areas and the agro-ecological
regions is enough to give a clear picture of the scientific potential of the LTP and of its
connection with the problems and possibilities of agricultural development.








Training manual for institute management 35


They are decisive because the amount and allocation of other research resources depends
directly on the number, specialization and location of scientists. The link between scientists
and other resources varies according to the field of research. Thus 'biological' research in
plant and animal production is more demanding than rural economics and sociological
research in terms of scientific equipment, infrastructure and unskilled labour (farm workers),
but less demanding in terms of surveyors and secretarial staff. Soil and forestry research rely
heavily on means of transport. Nevertheless, it is obvious that, in a diversified NARS, these
resources must, on the whole, be more or less proportionate to the number of scientists or
RYs.
The proposed procedure is supported by the long-term definition of average 'optimal'
norms for associated needs per RY in terms of staff categories and of costs of operation and
equipment. Such norms are currently used in the formulation of the budgetary requests of
many AR institutions in developed countries. If they are rarely or little used in developing
countries, this is probably because of the budgetary impossibility of meeting these norms in
the short or medium term. However, their use in the preparation of LTPs for NARS in
developing countries has two great advantages.
First, in the long term it ensures a good balance among the various categories of
resources, and guarantees their full employment, which can help overcome the
underemployment that is a major weakness of many NARS, as stressed in Section 1.
Second, and more important, it facilitates the calculation of an average annual cost of
the 'operational' RY, i.e., the RY endowed with all the means deemed necessary to one, full-
time researcher's activity. Knowing this average cost is the only convenient way of
converting NARS' total long-term funding into a total number of RYs. This conversion will
considerably facilitate the preparation of the target LTP proposals. From the moment they
respect this total number of RYs (expressed in accounting terms, like total expenditures,
within brackets), the Ad hoc and specialized committees can concentrate on identifying the
priority needs for RYs, without worrying about the needs for other resources or about their
cost.


4.2.2 Estimating the average long-term cost of an operational RY
The anticipated average cost of the operational RY during the last year of the LTP is
calculated by establishing the average needs per researcher for support staff (technicians,
administrators, unskilled workers, etc.) and for operating and equipment expenses, together
with an estimate of the long-term unit costs for the staff member. These can be laid out as
in Table 2.
Establishing standard resource requirements per RY
These norms are specific to each NARS, and are established based on the experience of the
country's scientists and directors, and on the observation of the national AR programmes and
organizations. Favourable situations in NARS of neighboring countries or in IARCs may
also be examined critically. Some comments can be made concerning the norms presented
in Table 2.
For the support staff, only a limited number of broad staff categories should be
considered, carefully specifying the training or the qualifications required in the long term
(academic degree or education level recognized by specific evaluation by national scientific
organizations) (see Explanatory note (1) to Table 2).








Module 2 Session 1 Principles of research planning


Table 2 Estimates of long-term research expenses per RY in the Niger (in CFA millions; 1986)


CATEGORIES OF PROJECTED DISTRIBUTION OF STAFF ANNUAL UNIT COST PER
EXPENDITURE CATEGORIES COSTS'21 RESEARCHER
A. Salaries and social 1.00 Researcher 2.7 2.7
benefits 0.15 Other senior staff 2.5 0.4
1.00 Research assistant 1.3 1.3
2.00 Technicians 0.9 1.8
3.00 Auxiliaries 0.3 0.9
Subtotal 7.1
B. Expenditures for operation, equipment, and investment"'3 8.0
C. TotalA + B 15.1

Explanatory notes
(1) Researchers are highly qualified officials directly responsible for origination and conduct of research activities.
The staff regulations must specify modalities for their recruitment (equivalent of MSc at minimum) and promotion.
Other senior staff are highly qualified staff (equivalent to MSc) responsible for overall scientific, technical,
administrative and financial management of research departments, research centres, research support services,
finance control and management, etc. Research assistants are staff with the equivalent of two years of
university education, performing research activity (laboratories, experimental and support stations, field studies,
data treatment, technical workshops, etc.) or administrative (accountants, executive secretaries) tasks.
Technicians are qualified staff (high school diploma or equivalent level of experience and ability) who assist
researchers and research assistants in technical, administrative (secretaries, accounting) and maintenance
(electricians, plumbers, mechanics, etc.) tasks. Auxiliaries are unskilled staff (drivers, guards, agricultural
workers, animal handlers, cleaners, etc.).
(2) Estimates made from costs observed at the National Agricultural Research Institute of the Niger (INRAN) in 1986,
taking account of a rise in research worker's salaries and social benefits (+ CFA 0.3 million/year), corresponding
to an increase in salaries linked to higher qualifications and status comparable to that of university professors.
(3) In the Niger, a preliminary estimate would distribute expenditures for operation, equipment and investment as
follows:
25% 'basic support for researchers' (transport costs, inputs for laboratories and stations, supplies, etc.);
25% 'fluid' (electricity, telephone, water), and general expenses (operation of general management of the DG,
centres and stations);
25% equipment (scientific, transport) and equipment maintenance;
25% capital (construction, land development works) and amortization.
Source : Casas, Labouesse and Soumana, 1989.
Annual costs of operation and equipment at the termination of the plan cover the various
categories of expenditures other than for staff (see Explanatory note (3) to Table 2). In
developing countries, these costs are relatively high if research workers and their support
staff are fully employed. According to estimates available, costs would be between
$US 15 000 and $US 25 000/RY.

Two comments are worth making concerning operation and equipment costs. First, they
should not be underestimated (a common fault), in order to avoid ending up with LTP
proposals with underevaluated costs or with too many staff members having to work part time
for lack of sufficient funds. Second, in the poorest countries, such amounts may represent
the cost of more than thirty unskilled government jobs.

These norms are only valid at the level of the global LTP. When the time comes for
LTP implementation, it must be remembered that all fields of research do not have the same
norms, and adjustments must be expected.

Estimate of long-term annual unit cost for staff

These unit costs will be estimated by re-evaluating the actual costs (salaries, bonuses, social
benefits, etc.), taking into consideration: (1) a prudent estimate of general salary trends in
the public sector, and (2) a possible improvement in the career structure scheme of research








Training manual for institute management 37


staff, linked to higher qualifications and to possible upgradings of their salaries in relation
to those of other, more favoured, public activities.
Long-term annual cost of the operational RY
This cost (CRy) is obtained by adding together the annual expenditures for staff and the
operating and equipment expenses. It will be expressed in national constant currency (based
on the reference year used to estimate the current expenditures of NARS). Even if rigorous
procedures are followed, this cost will still have only an approximate value. Its amount can
vary widely (from $US 50 000 to $US 100 000) from country to country, depending
primarily on salary levels.
Determining levels of human resources requirements
The total maximum and minimum number of RYs expected at the termination of the plan,
which the Ad hoc Committee must take as relatively flexible reference values, will be:
N. = TE, CRY
and Nm,, = TE,,ICRy
The availability of these numbers of equivalents of full-time researchers (i.e., RYs) should
permit us, by going back to the previously established norms, to estimate the numbers of staff
members in other categories, but such estimates are not useful at this stage of preparation of
the LTP.


5. ALLOCATION OF RESOURCES


Allocation of research resources will result in the assignment of researchers (and their support
resources) to scientific fields, either commodities or groups of commodities, subjects,
scientific disciplines, or to either the country as a whole or only one or several of its agro-
ecological zones.
In the great majority of countries, the authorities take these decisions empirically, using
common sense, scientific and technical background, and their knowledge of national AR and
agriculture. The desire for better management of more-or-less scarce resources has led,
however, to experimentation with quantitative methods of allocation, which aim not at
replacing the judgment of decision-makers, but at supporting it.
Whether they are empirical or quantitative, these methods of decision making try to
weigh alternative uses for expected or available resources. To this end, their criteria are the
benefit from and cost of anticipated research activities. After describing these criteria, we
shall discuss the content and the limitations of quantitative methods of resource allocation
currently being tried, although mostly in developing countries. These limitations explain the
proposal for a new method, to which most of this Section 5 is devoted.


5.1 GENERAL CRITERIA FOR ALLOCATION OF AR RESOURCES
Appraisal of expected research depends on different criteria according to the nature of
research. For applied research, aimed at the production of technical innovations, ex ante
appraisals are made for the speed and breadth of diffusion of these innovations, and for the
possible distribution of expected economic benefits.







38 Module 2 Session 1 Principles of research planning




Speed and breadth of diffusion of innovations depend on:
their intrinsic value, i.e., expected increase in crop yields or livestock performance;
farmers' gains; reductions in costs, agricultural work or difficulty, etc.
ease of diffusion, i.e., simplicity of implementation, adaptation to farming needs and to
the capacity for evolution of farmers and their socio-economic environment (price ratios,
access to certain factors of production, agricultural credit, etc.); and
importance of the commodities involved, (and of their ecological environments) judged by
various criteria, including contribution to AGDP and to national food supply (in
calories, protein, etc.), area occupied, number of farms and farming jobs involved, etc.
The distribution of expected benefits may affect the potential beneficiaries to different extents:
farmers, consumers, agro-food industries, regions and national government. The last-named
must preserve certain economic and political balances. For this reason, the advantages of
technical innovations should be appraised for the tax revenues they may provide, for their
contribution to improvement in foreign trade, and for their effect on certain target groups
(large- or small-scale farmers, urban or rural consumers, etc.).
The benefit of research aimed at production of knowledge is appraised very differently.
The availability of technical and socio-economic information may be important for improving
agricultural policy or for a better orientation of research; basic or methodological work can
enable further applied research to proceed more rapidly or embody a training aspect.
The expected cost of research depends on the quality and quantity of the resources to
be mobilized (particularly scientists), on the expected duration of the research, and on
programme organization (the idea of a critical mass of resources, as mentioned earlier).
The comparison of the expected benefits and costs associated with a set of alternative
research activities facilitates the identification of those activities which could ensure the
greatest productivity from the available or expected resources.


5.2 QUANTITATIVE METHODS OF RESOURCE ALLOCATION:
CONTENT AND LIMITATIONS
Three methods or families of methods have been tested in developing countries, namely
congruence, scoring, and cost-benefit analysis. A very good critical presentation of these
quantitative methods has been done by Montes Llamas (1986). See also other references.


5.2.1 The Congruence or Proportionality method
This method consists of assigning research resources to commodities in proportion to their
contribution to AGDP, considered to be the best indicator of their national importance. This
is a very simple method, and its shortcomings are obvious. It takes into account only
commodity-oriented research and disregards the economies of scale that are generally possible
for research applied to important national commodities. For example, although millet and
sorghum represent half of AGDP of some countries in Sahelian Africa, they will not require
the same proportion of research resources.








Training manual for institute management 39


5.2.2 The Scoring method

So far, this method has been used principally to propose a ranking of research priorities by
commodity. In the simplest scoring tests, ranking is done by attributing to each commodity
a weighted grade which takes into account, in the long term, two criteria: (1) the
commodity's socio-economic importance (contribution to AGDP, exports, agricultural
employment, etc.), and (2) the priorities of agricultural policy, expressed by assigning
different weights to the criteria of socio-economic importance (see Table 3).
Table 3 A simplified example of the use of scoring

Consider a country whose agriculture is based entirely on four major commodities: rice, cassava,
sugar cane and cattle. The first table shows the contribution of these commodities to AGDP, exports
and agricultural employment, and their respective ranking with regard to these three criteria.
CONTRIBUTIONS (%) SIMPLE RANKING
AGDP Exports Employment AGDP Export Employment
Rice 35 0 20 1 4 3
Cassava 30 30 20 2 2 3
Sugar cane 15 50 50 4 1 1
Cattle 20 20 30 3 3 1

By applying two different sets of weighting coefficients which are supposed to represent
government preferences to the above simple ranking, we obtain the following two rankings (A and
B), providing two orders of priority for the commodities.
WEIGHTING WEIGHTING
SEMPLOY- TOTAL RANK EMPLOY- TOTAL RANK B
AGDP EXPORTS MENT WEIGHT A AGDP EXPORTS MENT WEIGHT
x 0.6 x0.1 x0.3 x 0.4 x0.3 xO.3

Rice 0.6 0.4 0.9 1.9 1 0.4 1.2 0.9 2.5 3
Cassava 1.2 0.2 0.9 2.3 2 0.8 0.6 0.9 2.3 1
Sugar cane 2.4 0.1 0.6 3.1 4 1.6 0.3 0.6 2.5 3
Cattle 1.8 0.3 0.3 2.4 3 1.2 0.9 0.3 2.4 2

With the first set of coefficients, preference being given to the value of production, rice is the
commodity with highest priority in research, followed by cassava, cattle and sugar cane. With the
second set (more importance given to exports), the ranking is changed: cassava comes first, followed
by cattle, with rice and sugar cane equal third.


More recent work has led to the development and testing of more sophisticated scoring
methods. Some of them, still applied only to commodity-oriented research, take into account
not only the socio-economic importance of commodities but also some of the other criteria
cited in Section 5.1, particularly criteria related to anticipated cost of the research, its
probability of success, possible relations with IARCs, etc. Other work based on a scoring
approach consisted of carrying out in a single country, independent scoring of commodities
and of scientific disciplines (for the latter, indications of national and regional orders of
priority were included) (Norton and Pardey, 1988).
These methods of scoring have the advantage of proposing a formal, structured
framework for reflection on the problem of research priorities; even for the most elaborate
methods, however, they some grave drawbacks:

1. The greatest weakness of scoring arises from the problems posed by selection and
weighing the criteria of priority among research fields. First, several of the criteria most
frequently used are not independent. In particular, there is significant overlap between







Module 2 Session 1 Principles of research planning


most of the criteria related to the socio-economic importance of commodities (contribution
to AGDP, agricultural employment, etc.) and to the impact of innovations. This has led,
in a majority of scoring exercises, to obvious, commonsensical results: the most
important commodities are always among those of highest priority for research.
Further, certain possible criteria for priority are inevitably contradictory or
incompatible, particularly in the poorer countries. Thus it is not possible, in all cases and
at the same time, to increase production for internal consumption and for export; increase
farm productivity, competitiveness of products, and agricultural employment; and aim at
rapid agricultural growth and greater social justice. Although it is normal for some
regions to be privileged in the long term (for their high production potential or for their
socio-economic backwardness), it is unusual for others to be deliberately abandoned.
One cannot expect research results that are simultaneously sure, rapid, very attractive and
easily transferable. Scoring cannot take these contradictions into account: it means
additions but not subtractions. As a result, scorers tend to retain only those criteria
which are mutually coherent, and thus to oversimplify the expression of national
agricultural policies. Scoring tests appear to be even more tainted with subjectivity since
they use, for the sake of greater accuracy, large numbers of criteria.
2. Scoring ignores the complexity of agricultural realities. Scoring deals with commodities
taken in isolation (e.g., 74 for the Dominican Republic). Many commodities, however,
maintain or can maintain complementary relations (mixed cropping or rotated crops,
livestock production and fodder resources, etc.) within existing or possible farming
systems. In the long term and in most developing countries, the intensification of these
relations, especially by broadening and deepening the combination of agriculture and
livestock production, will be virtually indispensable for the promotion of self-sustained
agricultural development and for the preservation of natural resources. Because scoring
cannot take such facts and requirements into account, it leads to obvious errors in priority
setting.
3. A similar over-simplification prevails in the approach to scientific disciplines. To
consider them in isolation amounts to ignoring the important interactions between some
of them (plant breeding and plant protection; genetic-environmental interactions for
livestock production; etc.) and to turning a deaf ear to the interdisciplinary needs of most
programmes, particularly those which apply to commodities.
4. Scoring ends up with priority setting without identifying the amount of resources to be
allocated. Should we, as in a cost-benefit analysis, assign available resources to first-
priority research until they are exhausted? Or is it necessary that resources allocated to
commodities and disciplines respect the ranking of research priorities? In either case,
there is no indication of how to proceed from priority setting to resource allocation.
Perhaps it is significant that most of the scoring done so far have gone no further than
proposing rankings of research priorities.
5. Finally, scoring of research priorities does not take into account expected productivity or
profitability of resources, as is done in the cost-benefit analysis method. Small-scale
research programmes on commodities of secondary importance may prove to be more
profitable than large-scale programmes applied to commodities of first priority.
To conclude, by its oversimplified approach to AR realities, scoring, despite its apparent
sophistication, remains a very subjective method of determining research priorities. Its scope








Training manual for institute management 41


is further limited by the fact that it demands a lot of work and, in the end, provides no
operational tool for the actual allocation of resources.


5.2.3 Cost-benefit analysis
This method consists of ranking research programmes according to the decreasing value of
their expected rate of financial return, calculated from a precise assessment of expected costs
and benefits. Planning or programming assigns available or expected resources according
to this ranking.
Cost-benefit analysis has two great advantages. First, it is an integrated and complete
method of allocation of resources: for the chosen programmes, all details are available on the
amounts of human, physical and financial resources by region, commodity, subject and
scientific discipline. Second, determination of rates of financial return from AR programmes
facilitates comparison of the advantages of this activity with that of other agricultural or non-
agricultural activities. Since it is supposed to be highly profitable, AR can only benefit from
such comparisons.
These advantages, however, are largely offset by some major drawbacks. The first
and worst is that it is burdensome and subjective. In fact, this method entails an enormous
amount of work in order to develop precisely each of the possible programmes, and to
estimate their expected cost and benefits. These estimates are even more difficult and chancy
than the often questioned ex post evaluations made on the profitability of AR programmes.
The main difficulties in obtaining these estimates for each programme are:
for research costs: definition of indirect costs throughout the duration of the programme
(taking into account common research charges, costs of other national and foreign
research work useful for advancement of the programme concerned), amortization of
human investments (costs of staff training) developed before the programme's
conception and start, etc.;
for benefits: uncertainties about the expected technical innovations and about the speed
and breadth of their diffusion, changes in commodity prices and production factors,
the problem of distributing innovation benefits between AR and others involved in the
extension process.
Such estimates of financial return can only be very approximate and subjective, especially in
developing countries where knowledge about agriculture and natural resources is inadequate
or where information and statistical forecasts are scarce and unreliable.
Further, the profitability of most non-commodity programmes cannot be calculated
easily, although they can mobilize 30% or more of a NARS' resources.
The second drawback is the theoretically questionable nature of the method of ranking
programmes. In principle, allocation of resources among alternative programmes is optimal
when it achieves equal average productivity (or rate of return).
In order to satisfy this economic principle, it would be necessary, at the expense of
a considerable amount of extra work, to either:


1. For a severe criticism of ex post and ex ante cost-benefit analysis of agricultural research (which frequently
overestimates agricultural research profitability), see Montes Llamas, 1986.







42 Module 2 Session 1 Principles of research planning


go back to the programmes considered and modify their content to achieve equal
profitability of their resources (generally by increasing the resources in the more
profitable programmes and decreasing them in the less profitable ones); or
from the start, consider for each commodity and for each research subject not one
programme but several alternative programmes of varying breadth and profitability.
A third major drawback of cost-benefit analysis is that it can eliminate certain important
commodities and subjects whose profitability is low or chancy. This would be the case in
many countries with regard to research on livestock production or protection of natural
resources, which are relatively costly and the results of which are difficult to diffuse. In
contrast, plant production taking place in ecologically favourable environments or in
large-scale farming systems would be systematically privileged. Therefore, this method
arises from too economistic a view of the role of government authorities who (unlike those
who finance private research) cannot deliberately sacrifice important fields of research just
because they are difficult or have only long-term effects.
Finally, cost-benefit analysis is alluring but of little use in the preparation of the LTP.
It seems better adapted to pluri-annual programming of research activities for a limited
number of new programmes.


5.3 A PROPOSED METHOD FOR ALLOCATION OF RESOURCES
The method proposed was conceived as applicable to most of the NARS, that is, for
medium-size countries with populations of approximately 5 to 40 million; for larger countries
it would need further adjustment. After the presentation of the method in general, the
principles and operational tools used first in a sectorial and then in a global approach to the
needs will be discussed in detail.


5.3.1 General basis of the method
The proposed method is based on the criteria for allocation of resources, as presented in
Section 5.1, and strives to take into account the complexity of agricultural policies,
agricultural realities and research itself.
National agricultural policies are frequently contradictory; they also change over time.
For this reason, ad hoc and sectorial committees must appraise research needs with some
prudence and independently of government authorities.' To this end, the committees should:
avoid being too confined within political priorities not previously submitted to an in-depth
assessment, or which could be questionable or occasional;
give preference to needs showing a certain performance or stability despite changing
trends in agricultural policy; and
endow NARS with sufficient flexibility and adaptability to cope with urgent research
needs arising from exceptional biological or climatic circumstances or government
requests: the reputation of AR depends largely on the ability of NARS to respond to
such situations.


1. Government authorities should, normally, accept such an attitude, since they often count on the results
of research (innovations, information, etc.) to improve agricultural policy.








Training manual for institute management 43


This triple requirement is a determining factor in the preparation of the proposal for research
allocation. It justifies:
the consideration of research area programmes and research area projects instead of
research programmes and projects;
the proposal of national-level research area programmes, with their elementary area
projects for the most important national commodities and subjects, and autonomous
research area projects for the others;' and
the assignment of different priority degrees not to the area programmes and projects but
to their RYs, which allows proposals of programmes and projects of varying
importance depending on available resources.
In this way, we avoid the selection of only the big or most profitable programmes, as
generally results from the scoring or cost-benefit analysis methods. We also avoid proposing
inflexible programmes that the two quantitative methods would insist on selecting or rejecting
entirely.
The method also takes into account the complexity of agricultural realities and of
research itself: research needs are perceived not only commodity by commodity and subject
by subject, but also by production sector, by region and by scientific discipline. In fact, with
the dual sectorial and global approach to needs, the LTP proposals are not merely the sum
of individual programmes or sectorial, regional or disciplinary research plans, but the result
of a complete and coherent picture of research needs, which strive to respond to the country's
agricultural development problems, while minimizing the importance of research resources.
This integrated approach is possible because research proposals are presented in matrix tables
which have major advantages: they are easy to set up, adjust, and allow for both aggregation
and additions.


5.3.2 Principles and operational tools peculiar to the method
This section briefly presents the concepts of research area programmes and research area
projects, and matrix tables.
Considerations of research area programmes and research area projects
When considering research area programmes and research area projects, the first step in
decision making for research allocation is to propose several alternatives for the duration of
research. The final objective of resource allocation is to propose two or three alternative sets
of RYs. Each RY should have a scientific scope (specialization by discipline, by scientific
subject or by commodity, or some combination of the three), a geographic location, and a
specific place within research teams responsible for research programmes and projects of
NARS in the long term.
These proposals cannot claim, like the cost-benefit analysis method, to prepare
detailed research programmes and projects (with their scientific and geographical objectives,



1. The concepts of 'research area programmes' and 'autonomous research area projects' parallel the concepts
of 'research programmes' and 'autonomous projects.' An autonomous project can itself be a small research
programme, as distinguished from an elementary research project, which is part of a programme and
usually connected to other elementary projects within the programme. For more details, see Du Plessix
(1973) and Trouchaud (1979).








Module 2 Session 1 Principles of research planning


methods, durations and human, physical and financial resource requirements). Such a
procedure would be unrealistic: it can only be seriously considered for short- or medium-term
programming and ought to be essentially the responsibility and competence of the leaders of
scientific institutions and of scientists. Target LTP proposals can identify research needs only
in terms of research area programmes and research area projects, terms which cover all the
possible long-term programmes and projects the teams can implement.
Research area programmes and research area projects have two major advantages.
First, they essentially refer to permanent and ongoing research capacities which normally are
expected to grow in time as the competence of their staff increases. Second, they leave
NARS directors and staff free to create the research programmes and projects best adapted
to the varying biological, physical, socio-economic and political conditions prevailing in the
long term. This will give NARS flexibility and adaptability to respond to even the most
urgent and unpredictable development needs.
For convenience henceforth, a distinction will be made within the research area
programmes between actual area programmes and autonomous area projects, according to
whether they require big or small research teams.
National research area programmes for important national commodities and subjects
In the long term, research on commodities which are currently the most important and on
major horizontal scientific subjects (preservation of natural resources, farming systems, social
sciences, etc.) have a permanent priority that must be taken into account by all government
authorities.
For each of these important commodities and subjects, a research area programme
with a relatively large research staff will be established. This proposal is based on the fact
that all countries except the smallest should, in the long term, acquire a sufficient number of
researchers to cope with their major development needs. This is the only way to ensure the
scientific autonomy of each country and to take advantage of the possibilities of international
scientific cooperation.
The scientific specialization and the geographic location of the RYs of each area
programme must be expressed in a research strategy with a comprehensive approach to the
priority problems, without overlooking important aspects or wasting resources.
Consequently, each national research area programme related to an important commodity
could, for its own specific needs (excluding research needs that are in common with other
commodity programmes) mobilize a limited number of multidisciplinary research teams of
scientists (one to four teams depending on the country's geographical and economic size),
based in the research centres located in regions which (1) are of national importance for
commodity production, and (2) differ in agro-ecological and socio-economic conditions;' a
few generalists or polyvalent researchers in other research centres located in less important
regions, or even in marginal production areas which have a specific scientific interest in the
area programme involved.2 Each generalist would act as a relay for the multidisciplinary




1. Regions that are agro-ecologically close but have distinct socio-economic characteristics (race, culture,
religion, population density, distance from routes of communications or frontiers) have differing farming
systems and consumption patterns, and therefore have different research requirements.
2. Special agro-ecological conditions (of interest for experimental observations, production of basic seed, etc.),
presence of indigenous plant species related to different farming systems and consumption patterns, etc.








Training manual for institute management 45


research teams and, with their support, would carry out work in accordance with the national
research area programme and local needs.
First priority would be given to a minimum research area programme assembling the
RYs (including portions of RYs) considered indispensable for the integrated study of the
priority problems of the commodity concerned.
As a second priority, the RYs considered not indispensable but likely to improve
productivity and stability would be added to this minimum research area programme. These
RYs would help the central multidisciplinary units by reinforcing the disciplines already
represented and by adding new disciplines, or by broadening the geographical zone of
intervention of scientists, or both.'
Research needs related to important subjects could be approached in the same manner (first
priority: irreducible needs; second priority: additional needs), taking into account the
following specific observations.
To facilitate linkage between research and regional development (administration,
development projects, farmers' organizations, etc.), each regional research centre should have
a farming systems research (FSR) team that would:
analyse and characterize regional farming systems and rank the constraints to their
development;
develop models for intensification of agricultural production, adapted to the main types
of farms in each broad agro-ecological and economic region, by sorting, combining
and adapting specialized technical innovations through on-station and on-farm
experiments; and
improve the orientation of specialized sectoriall and thematic) research.
These FSR teams would be within NARS and act as an interface between the specialized
research teams and the development services (extension services and farmers). Their size and
composition can only be determined through a centre-by-centre (or region-by-region) analysis
of the sectorial research proposals.
The needs of social sciences research will be partially studied by rural economists and
sociologists of the FSR teams. The inclusion of other specialists should be anticipated for
a more thorough study of problems related to land tenure, rural employment, agricultural
credit, inputs supply, processing and marketing of agricultural products, organization and
operation of rural societies, etc.
The needs of soils and social sciences will usually require a principal research unit
near the capital to provide for equipment maintenance and for access to statistical and other
information.
Autonomous research area projects for less important commodities and subjects
Less important commodities and subjects will be approached through autonomous research
area projects, which are small programmes with a very limited number of generalists or


1. Researchers in a minimum research area programme can get involved with distant regions from their
research centre only occasionally, or by relying on technicians permanently located there.








Module 2 Session 1 Principles of research planning


polyvalent researchers.' Much more than the researchers in specific fields of research, they
will depend on close links with foreign scientific communities. The proposed RYs could
have three varying priorities depending on the situation.
As first and second priorities (irreducible and additional research needs), commodities
and subjects retained would be those with permanent priority, such as:
food commodities of minor national interest but of importance for certain regions and/or
certain populations (e.g., dairy and horticulture production near big cities); and
support research in cross-disciplinary scientific fields with great interest for most or all
of NARS (tissue culture, biometrics, etc.).
Second and third priorities (additional needs and useful-but-not-indispensable needs) would
cover other commodities (including new commodities to be introduced) and secondary
scientific subjects.
Matrix tables for the presentation of RY proposals
It is essential that the committees' RY proposals be presented in a standardized form in order
to allow their aggregation and to facilitate a global approach to research needs. Each
committee must present its proposals as two element matrix tables (EMTs) showing:
in one axis, for both tables: the scientific disciplines specific to the field of study, with,
for each discipline, two or three columns showing the degrees of priority attributed
to RYs; and
in the other axis, for the sectorial or thematic EMT: the commodities or the scientific
subjects associated with the field of study, followed by the locations of RYs (by
research site or centre); and, for the regional EMT: research centres, followed by
commodities or subjects.
Table 4 is an example of a sectorial EMT with two degrees of priority. It presents two
proposals (slightly simplified) for rain-fed crops in the Niger, one having 32.5 RY as priority
1, the other 37.5 RY as priorities 1+2. These proposals combine:
three national research area programmes for millet (7.5 RY as priority 1), cowpea
(5.5 RY) and sorghum (5.5 RY);
two autonomous research area projects for maize (2 RY) and sesame (1 RY (priority 2));
one small research area programme for groundnuts (3 RY), representing an intermediary
situation between the above programmes and autonomous projects; and
direct common research area needs, adding 9 RY concerned with basic seed production,
plant physiology (drought tolerance), and post-harvest technology (storage and
processing).
Table 5 summarizes the above proposals, using the same data as Table 4 but showing the
needs by commodities and the common needs for each research centre. In this presentation
by centres, it seems to be possible and desirable to set up common laboratories for agronomy
and plant protection.


1. A project devoted to a secondary crop could, for instance, be limited to one or two generalists located in
the research centre(s) covering the regions most concerned.







Training manual for institute management 47


The two EMTs are connected in various ways with other tables dealing with other
commodity sectors and horizontal fields of research. Thus, some researchers in the field of
rain-fed crop protection also work on irrigated crops (research needs assigned to other
EMTs), which explains the existence of fractions of RYs in two centres; research needs in
soils, engineering, economics, biometrics, etc., of rain-fed crops are integrated into another
EMT relating to complementary needs common to all research fields.
The EMTs can be connected and combined in two global matrix tables. Table 6
shows the sectorial and thematic global matrix table. Across, all of the disciplines involved
are listed'. The global regional matrix table (not presented here), summarizing all the
proposed RYs by research sites, provides a picture of their research activities. These two
global tables show the connections between the EMTs, like those for the Niger.
The aggregation of RYs presented in the EMT and global matrix tables can be
calculated manually, but more efficiently using a computer, especially for LTP proposals
containing more than 300 RY.


5.3.3 Sectorial and global approaches to research needs
The proposed method proceeds in turn to a sectorial and to a global approach to research
needs (always expressed in RYs). It takes into account the expected long-term resources, the
problems and potentials of agricultural development, research results already available and
expected, and the requirements of good national research organization.
Sectorial approach to research needs
This approach essentially concerns the specialized sectorial committees by production sector
(groups of commodities). Each committee must proceed successively to:
identify and rank the development problems and potentials of each sector at country and
regional levels;
identify and assign priority ratings by region for these development problems and
potentials, according to expected likelihood of their being solved or developed
through research;
identify research needs corresponding to the development problems and potentials
identified; and
quantify these needs in terms of research area programmes and autonomous research area
projects, together with their RY requirements and their priority rating (1, 2 or 3).
The sectorial committees will prepare brief sectorial reports (say, 30 to 40 pages each)
according to standardized formats (see Table 7 at the end of this Reading Note for an
indicative Table of Contents), and will finally summarize the research needs in EMTs.


1. For the LTP proposals in the Niger, 30 disciplines were identified, including those of the generalists for plant
production, livestock production and forestry.
















Table 4 Proposed commodity RYs for rain-fed crops in the Niger (Priorities 1 & 2)


COMMODITY AND PLANT BREEDING PLANTGY AGRONOMY PHYTOPATHOLOGY ENTOMOLOGY WEED SCIENCE GENERALISTS TECHNOLOGY TOTAL
1 2 1 2 1 2 1 2 1 2 1 : 2 1 2 2 1 2 2

MILLET
Kollo 1.0 1.0 1.0 0.5 3.5
Bengou 1.0
Maradi 1.0 1.0 0.5 1.0 0.5 4.0
Subtotal 2.0 2.0 0.5 2.0 1.0 I 7.5 1.0
COWPEA
Kollo 1.0 0.5 0.5 0.5 2.5
Maradi 1.0 0.5 0.5 0.5 0.5 3.0
Subtotal 2.0 .1.0 1.0 1.0 0.5 i 5.5
SORGHUM
Kollo 1.0 0.5 1.5
Benghou 10 1.0
Maradi 1.0 1.0 0.5 0.5 3.0
Subtotal 2.0 i 1.5 0.5 0.5 i 1.0 i 5.5
GROUNDNUT
Bengou 1.0 1.5
Maradi 1.0 0.5 0.5 1.0
Zinder 1.0 3.0
Subtotal 1.0 0.5 _____ 1.0 1.0 5.5
MAIZE
Kollo 1.0 1.0
Diffa 1.0 2.0
Subtotal 2.0 1.0
3.0 1.0
SESAME Maradi i i 1.0 i 1.0
COMMON NEEDS
Niamey 2.0 3.0 1.0 5.0 1.0
Maradi 3.0 3.0 1.0
Zinder 1.0 1.0 1.0
Subtotal 3.0 2.0 1.0 1.0 i _3.0 1.0 9.0 2.0
TOTAL 10.0 2.0 1.0 6.0 2.0 4.0 i 2 1.5 4.0 3.0 3.0 1.0 32.5 5.0

Source: Adapted from Casas, Labouesse and Soumana, 1989.







Table 5 Proposed research centre RYs for rain-fed crops in the Niger (Priorities 1 & 2), developed from Table 4



COMMODITY AND PLANT BREEDING PLANT AGRONOMY PHYTOPATHOLOGY ENTOMOLOGY WEED SCIENCE GENERALISTS TECHNOLOGY TOTAL
PHYSIOLOGY
LOCATION
LOCATI 1 2 1 2 1 2 1 2 1 2 1 2 1 2 1 : 2 1 2

NIAMEY
Common needs 2.0 i 3.0 1.0 5.0 1.0
KOLLO
Millet 1.0 i .0 1.0 0.5 35
Cowpea 1.0 0.5 0.5 0.5 2.5
Sorghum 1.0 0.5 1.5
Maize 1.0 1.0
Subtotal 3.0 2.0 0.5 1.5 0.5 1.0 8.5
BENGOU
Millet 1.0 1.0
Sorghum 1.0 1.0
Groundnut 1.0 1.0
Subtotali i i i i2.0 1.0 2.0 1.0
MARADI
Millet 1.0 1.0 0.5 1.0 0.5 4.0
Cowpea 1.0 0.5 0.5 0.5 0.5 3.0
Sorghum 1.0 1.0 0.5 0.5 3.0
Groundnut 1.0 0.5 0.5 2.0
Sesame 1.0 1.0
Common needs 3.0 30
Subtotal 7.0 3.0 1.5 2.5 1.0 1.0 i15.0 1.0
ZINDER
Groundnut 1.0 1.0 1.0
Common needs 1.0 1.0 1.0
Subtotal 1.0 1.0 1.0 1.0 2.0
DIFFA 1.0 1.0
Maize_____
TOTAL 10.0 2.0 ~ 1.0 6.0 2.0 4.0 1.5 4.0 3.0 3.0 1.0 32.5 5.0

Source: Adapted from Casas, Labouesse and Soumana, 1989.










Training manual for institute management 51


The committee addressing national and regional agricultural economics considerations
also has to prepare a report (see Table 8 at the end of this Reading Note for an indicative
Table of Contents). At the stage of the sectorial approach to research needs, the report will
not contain research proposals (needs related to FSR and social sciences will be presented
later) but will serve essentially for reference and as a source of information (particularly
statistics) for the sectorial committees.
As indicated in Section 3.3, before the sectorial approach can be initiated, the Ad hoc
Committee must allot an indicative 'quota' of RYs to each sectorial committee. This
precaution is essential in order to avoid outsized and imbalanced sectorial research proposals
that would disturb the later global approach. Setting these indicative quotas is a delicate and
country-specific job, based essentially on the prospects of national agricultural development,
any imbalances in the sectorial distribution of current research efforts, the scientific and
technical background of the Ad hoc Committee members, and on knowledge about
neighboring NARS.
It should be recalled that the total number of RYs expected in the long term (N,, and
Nm,,,) does not have to be attributed to the sectorial committees only. The indications from
the results of our own experience in the preparation of LTPs are that about 15% of these
totals could be reserved for FSR teams, and 10 to 15% for social sciences (beyond those
included in FSR) and for complementary research needs, as discussed below.
In any case, sectorial quotas of RYs are only indicative. This means that the
committees could exceed them if their proposals were well grounded. In the last analysis,
decisions on these matters will be made during the global approach.
Global approach to research needs
Elaboration of the global approach is the responsibility of the secretariat of the Ad hoc
Committee together with the leaders of the specialized committees. It involves:
a first harmonization of the sectorial research proposals,
identification and quantification of non-sectorial research needs, especially those relating
to FSR and to rural economy and sociology, and
final readjustments after an analysis of the regional allocations of the proposed RYs.
The harmonization of sectorial proposals is based on a critical analysis of the specialized
committees' reports. Its objectives are:
to re-evaluate the degree of priority in each sector through inter-sectorial comparisons,
in order to guarantee that research needs assigned the same degree of priority (1, 2
or 3) will have equal advantages (on the basis of discussions about the approximate
anticipated costs and benefits of the research area programmes and projects); and
to define certain linkages and synergies between the different sectorial research needs, in
order to avoid duplication (for example, a common approach to the research needs
of agronomy and plant protection for crops covered by different committees).
The identification of non-sectorial research needs will be made first for FSR and for social
sciences, as discussed earlier, and subsequently for complementary research needs involving
some or all of the different research fields inventoried so far: bioclimatology, tissue culture,
agricultural engineering, computer-biometrics, etc.







52 Module 2 Session 1 Principles of research planning


Finally, the regional approach to research needs will facilitate the finalization of the
global approach. The grouping of all the above proposals by research centre (existing or
new) should permit an appreciation of the first profile anticipated for each centre and each
region, with their total number of RYs and the distribution of RY by commodities, subjects
and scientific disciplines. This information will then be used for two purposes.
First, it has to be ascertained for each region that the research proposals correspond
to the priority needs of agricultural development as presented in the report of the national and
regional agricultural economics specialized committee, remembering that earlier proposals
might have anticipated the coverage of certain regional needs by researchers located in other
regions. Thereafter, it will be verified whether previous work has really led to the proposal
to create research centres in the main regions of the country, bringing to each one the critical
mass of resources necessary for effectiveness and continuity of work, as well as with regard
to the reasonable cost of the research (cf. Section 1.1).



6. CONCLUSIONS


The conclusions of this study deal with the nature of the quantitative target LTP proposals,
and the advantages and limitations of long-term planning.
The quantitative LTP proposals obtained by the proposed procedure are largely a
reflection of the knowledge, experience and scientific and technical background of the
committee members involved in their preparation. They are not the only possible proposals:
the same method would have led other specialists to proposals that would doubtlessly be
closely related but different. They are not necessarily optimal: no method can guarantee such
a result. They are the result of pragmatic and conscientious choices made by the committees
and, as such, they are certainly less subjective than proposals chosen by any of the previous
quantitative methods.
These quantitative proposals represent only one part of the complete LTP proposals
to be presented to the government authorities for selection (cf. Section 3.4). It is important
that all the work accomplished will lead, either directly or after preparation of an MTP, to
the adoption of a precise programme of action related to the mobilization of resources and
to the structural and operational reorganization of NARS. For these later stages, it must be
remembered that the best decisions are made by the people who have to apply them or bear
the consequences, or both.
Finally, two important qualifying remarks can be made concerning the implementation
of an LTP or MTP. The first is that a plan is not a rigid prescription to be followed
imperatively; it can only be a flexible indication, aimed essentially at improving the
short-term decision making process and at achieving a better response to anticipated and
unforeseen developments in the national economy and its international relations. The second
remark is that the future of any NARS is primarily conditioned by the quality of the scientists:
only competent and experienced researchers, who are open to the agricultural problems of
the country and to the progress of agricultural science, can effectively support national rural
development. For this reason, a plan must first of all encourage the appropriate training of
scientists and the crucial need for their integration into the international scientific community.
This observation holds true for all qualified research personnel.








Training manual for institute management 53


Finally, the development of NARS will largely depend on the quality and conduct of
its managers, particularly on their capacity for dialogue with scientists and national and
foreign partners of the national agricultural research institutions (NARIs). From this point
of view, the proposed planning method, characterized by its participatory procedure, has also
a certain pedagogical value.



7. REFERENCES


National systems of agricultural research
Arnon, I. 1989. Agricultural Research and Technology Transfer. London: Elsevier.
Casas, J. (ed) 1988. Agricultural Research in Countries of the Mediterranean Region.
Proceedings of the ICAMAS/CEC DG XII Instanbul Seminar, 1-3 December
1986. [ICAMAS/CIHEAM] Options Mediterran6ennes Study Series.
Casas, J., & Labouesse, F. 1988. Les systems nationaux de recherche agronomique en
Afrique sub-sahariene francophone: la crise de croissance et les perspectives
devolution. Montpellier: INRA-Economie et sociologie rurales.
CGIAR. 1985. International Agricultural Research Centres: Achievements and Potential
Washington, D.C.: CGIAR.
FAO. 1984. National agricultural research. Report of an evaluation study in selected
countries. FAO, Rome.
Oram, P., & Bindlish, V. 1987. Investment in Agricultural Research in Developing
Countries: Progress, Problems and Determination of Priorities. Washington,
D.C.: IFPRI.
Ruttan, V.W., & Pray, C.E. 1987. Policy for Agricultural Research. (Boulder, CO:
Westview Press.
Trigo, E., Pineiro, M., & Ardila, J.Y. 1982. Organization de la investigation
agropecuaria en America Latina. San Jose, Costa Rica: IICA.
World Bank. 1987. West Africa Agricultural Research Review. Washington, D.C.:
World Bank.


AR Planning Methods and Experiences
Ardouin-Dumazet, P., et al. 1988. Niger: Project national de recherche agronomique.
Report provisoire de preparation. FAO, Rome.
Arnon, I. 1978. The Planning and Programming of Agricultural Research. FAO,
Rome.
Casas, J., Labouesse, F., & Rocheteau, G. 1987. Programme de developpement de la
recherche agricole en Tunisie. Vol. 2: Proposition d'un programme national a
long terme. The Hague: ISNAR-Ministere de l'Agriculture de Tunisie.







54 Module 2 Session 1 Principles of research planning


Casas, J., Labouesse, F., Soumana, I., et al. 1989. Programme de developpement de la
recherche agronomique au Niger. Tome II: Proposition d'un plan national a long
terme. The Hague: ISNAR-Ministere du Plan du Niger.
Casas, J., & Labouesse, F. 1989. Elaboration d'un plan national a long terme de
recherche agronomique: premieres propositions de niveaux et d'allocations de
resources. Note preliminaire. The Hague: ISNAR Ministere de l'agriculture
du Mali.
Contant, R., & Bottomley, A. 1988. Priority setting in agricultural research. ISNAR
Working Paper, No. 10.
Daniels, D., & Nestel, B. (eds) 1981. Resource Allocation to Agricultural Research.
Proceedings of a workshop held in Singapore, June 1981.
FOFIFA. 1988. (sous la dir. de Ravohitrarivo, C.P.) Plan directeur de la recherche
agricole Antananarivo, Madagascar: FOFIFA.
CGIAR. 1985. Indicators for priority setting among commodities. In: TAC Review of
CGIAR: Priorities and Future Strategies, Annex 2. TAC Secretariat, Rome.
ICA. 1981. Plan national de investigation agropecuaria del ICA. Bogota: ICA.
Montes Llamas, G. 1986. Las prioridades y la asignacion de recursos en la
investigation agricola: una evaluacion criteria. Cali, Colombia: ICA-CIAT-BID.
Norton, W.N., & Pardey, G.P. 1988. Priority-setting mechanisms for national
agricultural research systems: present experience and future needs. ISNAR
Working Paper, No. 7.
Shumway, C.R., & McCracken, R.J. 1975. Use of scoring models in evaluation
research programs. American Journal of Agricultural Economics, 57: 714-718.
UNESCO. 1975. Method for priority determination in science and technology.
UNESCO, Paris.


Other references
Bremond, J., & Lidsky, C. 1973. Les planifications economiques Paris: Hatier.
Du Plessix, D.J. et al. 1973. La programmation de la recherche agronomique en Cote
d'Ivoire. Colloque IIP, Abidjan 1973.
Fevrier, R. 1969. La programmation de la recherche agronomique. In: La recherche
agronomique et les problems agricoles. Paris: INRA.
Godet, M. 1988. Prospective etplanification strategique. Paris: Economica.
Schuh, G.E., & Tollini, H. 1979. Costs and benefits of agricultural research: the state
of the art. World Bank Staff Working Paper, No. 360.
Temmar, H.M. 1988. Planification du developpement. Les procedures et les
institutions. Algiers: Publisud.
Trouchaud, J.P. 1979. Rapport de mission en Haute-Volta (appui a I'organisation de la
recherche scientifique et technologique). ORSTOM, Paris.









Training manual for institute management 55


Table 7 A proposed Table of Contents for a specialized committee report covering a
group of commodities

Chapter 1. Basic information on the commodities concerned

National and regional importance in agricultural production (contribution to AGDP, number of
farmers), foreign trade, food consumption: past, present situation, trends.
Available statistics and remarks.
Main economic partners concerned in production, production support (input supply, credit,
extension, etc.), storage, processing, marketing of the commodities: state, parastatal,
cooperative and private enterprises and services. Past, present and anticipated governmental
agricultural policy towards the commodities (pricing, marketing, existing and anticipated
development projects, etc.).

Chapter 2 Development problems and potentials of the commodities

This chapter mainly deals with current national commodities. It presents, for the country as a
whole and for each large region,
(i) the degree of current seriousness and long-term permanency of the technical and
economic problems faced by the commodities, and the major limitations to their
development;

(ii) the development potential (possibilities of geographical extension and of intensification),
and expected solutions from agricultural and economic policy (prices, extension, roads,
etc.) and from AR (innovations and information already available or expected).
Distinguish between:
problems common to all or most of these commodities: soil conservation, seasonal lack of
labour forces, weaknesses of agricultural credit and of marketing of inputs and products, etc.,
and
commodity-specific problems (plant breeding and protection, storage, etc.).
Prospects for the possible introduction of new commodities: advantages, technical and economic
difficulties, regions potentially concerned.

Chapter 3 Priorities of research needs

Recapitulation of the research needs mentioned in Chapter 2; location of corresponding research
areas, ranking of these areas taking into account: (1) the development problem intensity and the
production potentialities, (2) research results already available and expected, with considerations
concerning their value (refer to the state of the art and international cooperation in scientific
areas concerned) and their anticipated diffusion.
Presentation of needs in RYs by research area programmes and autonomous research area
projects in sectorial tables by order of priority (two or three levels of priority). Give explanatory
remarks concerning these tables, mainly the number of RYs: (1) according to commodities and
their common research needs: (2) by scientific discipline; (3) by research centre.
Provide a brief comparison of research needs planned, against the present research situation for
the commodities concerned.









Module 2 Session 1 Principles of research planning


Table 8 A proposed Table of Contents for the report of the specialized committee for
national and regional agricultural economics


Chapter 1 General information on the national agricultural economy

Data on the role (past, present and projected) of agriculture in the national economy: as
proportion of the gross domestic product, of the working population and of imports and exports;
evolution of rural and urban incomes; etc.
Data on the sectorial and regional composition of agriculture: contribution of various commodities
to AGDP; distribution of AGDP by regions.

Food consumption: calory, protein, etc., intakes.
National agricultural policy: broad orientations and their evolution.
Implementation tools: projects, prices, imports, etc.
Proportion of the national budget provided for agriculture.

Chapter 2 Information on the larger agricultural and administrative regions

General description of the broad agricultural regions (climate, population, infrastructure, etc.).
Section on each broad region with description of their principal farming systems: main
characteristics of representative production units (average size, cropping, animal husbandry
systems, etc.) and of their socio-economic environments; ranking of limiting factors and
potentials. The level of knowledge of these systems has to be mentioned.

Chapter 3 Need for research on farming systems, rural economics and sociology

Chapter to be written after finalizing the global approach in collaboration with the other
sectorial committees.
FSR: profile of each regional FSR team (number of FSR researchers for crops, livestock,
environment and socio-economy);
General rural economics and sociology: research needs in commodity or sector economic
analysis; land tenure, agricultural funding, rural population, etc.
In general, most research centres should have at least 20 or 30 RYs (or a total of 150 to 250
permanent employees, according to the norms established), a number at which economies of
scale generally begin to be perceptible for infrastructure and equipment. As far as possible, the
proposal should avoid recommending that a small number of large research centres covers overly
extensive regions. Such a structure would lead to scale dis-economies (e.g., more difficult
management of the centres and increasing costs of transportation) and would weaken
researchers' relations with development services and farmers' organizations. Nevertheless,
exceptions can be made for less important agricultural regions or for new centres that can only
expand at a later date. Furthermore, to encourage possibilities for dialogue among scientific
disciplines and to minimize the risks of discontinuity of research work, each important discipline
should, if possible, be represented in each centre by at least two researchers.
This regional approach may lead to considerable adjustments in the proposals. In order to reduce
or to facilitate them, it is essential that the sectorial committees:
take into consideration only a limited number of possible research centres (which should be
identified, or at least indicated in the statement of the strategic orientation of the plan); and
indicate the degree of rigidity to flexibility of the projected location for each proposed RY.









Training manual for institute management 57


At the end we arrive at the preliminary two or three final quantitative target LTP proposals,
presented in the form of a set of matrix tables (cf. Section 5.3.2). This quantitative information
will be supplemented by calculations (from Table 1) of the numbers of other categories of staff,
annual budgets (national and foreign) for operation and equipment at termination of the plan, and
growth rates of the various resources.
At this stage, the Ad hoc Committee is able to write a first provisional report for the government
authorities. The report should include a small number of significant tables, and be illustrated by
maps and graphs as appropriate; the matrix tables and other detailed tables should be presented
as annexes.
The report should be as succinct as possible. Previous information should be synthesized in order
to point out:
- major features of the LTP proposal;
- their advantages compared to the present NARS (improvement of regional and sectorial
balance of AR efforts, of balances between research resources, of research-development
relations); and
- that full consideration has been taken of the financial constraints set up by the government.










Training manual for institute management 59


DATE


TIME


Plenary participatory lecture


OBJECTIVES
At the end of this session participants should be able to describe an eight-step process of
long-range planning at the institute level.


Module 2 Session 2


The institute-level
planning process


FORMAT


TRAINER


--








60 Module 2 Session 2 The institute-level planning process


INSTRUCTIONAL MATERIALS

Exhibit 1 The eight steps
Exhibit 2 Planning process flov
Exhibit 3 Consensus building:


v chart
an aid to planning


Hand-out 1 A planning example



SPECIAL EQUIPMENT AND AIDS

Overhead projector and chalkboard








Training manual for institute management 81


THE INSTITUTE-LEVEL PLANNING PROCESS


Initiate the session by asking the participants if any of them have previously been involved
in a long-range planning exercise. If some have, try to elicit from them a description of the
process in terms of the steps taken, the time involved in the exercise and the resources
devoted to the planning effort. The trainer may wish to note the planning process on the
chalkboard.
Show EXHIBIT 1 and discuss each step, noting that objectives are at a lower hierarchal
level than goals. After discussing the first three steps the trainer should draw on the
chalkboard the diagrammatic planning process exhibit used in Session 1 (Exhibit 3: Principles
of Research Planning), and note the similarities between this generalized planning process and
the current process being discussed for institute-level planning.
The logistics of the plan includes the resources, such as staff, equipment, facilities, etc.,
needed to carry out the operational plans denoted in Step VI of EXHIBIT 1. Finally, recall,
as we noted in the previous session, that planning is an interactive process. We should take
into account this iterative nature by including a formal recycling step, as shown in the last
step in EXHIBIT 1.
Show EXHIBIT 2. Using the flow chart, discuss how the various planning steps naturally
flow from one to next. Note that Step II, Assessment of Constraints and Opportunities at the
Institute Level, is not included in the flow chart as it is not one of the plan outputs,
EXHIBIT 2 being a flow chart of plan outputs.
The institute's goal leads to institute strategic objectives. Based on these objectives,
programme goals are formulated. Programme goals lead to programme strategic objectives.
These strategic objectives result in the institute's operational plan for the goal of interest.
Also flowing from programme strategic objectives is the programme operational plan for
meeting those objectives. Based on the operational plans, one is able to determine the
resources or logistics needed to carry out these plans. The summation of the needed
programme logistics (usually expressed in terms of project budgets) results in the institute







62 Module 2 Session 2 The institute-level planning process


logistics for the given goal. The trainer should provide some simple examples of the process
of moving from institute goals to logistics.
Note that it is important during the entire planning process that as many institute staff
members as possible be involved in developing and implementing the plan. This will help
ensure that no good thoughts are overlooked. Consensus building is very helpful in planning.
Show EXHIBIT 3 and discuss 'How do you build consensus?' Participants should be
encouraged to share their experiences in this regard.
Give participants Hand-out 1. This example should be reviewed in detail, showing how
each step in the process logically leads to the next. Start with institute Goal I and follow the
example through to the logistics for Goal I.
You have achieved consensus decision when all members of your group support the
decision, though it may not be exactly what each of them wants. Consensus decisions are
better than decisions arrived at through voting or executive order because everyone supports
them. This makes implementation easier. Show EXHIBIT 3 and discuss what one should do
and what one should not do during the process of planning through consensus.








TRAINING MANUAL FOR INSTITUTE MANAGEMENT EXHIBIT 1
EXHIBIT 1
Module 2 Session 2







THE EIGHT STEPS:
A PROCESS OF LONG-RANGE PLANNING
FOR RESEARCH INSTITUTES





Goal setting and the search for new
STEP I
opportunities (Institute level)

STE Assessment of constraints and
opportunities (Institute level)


STEP III Strategic objectives (Institute level)


Transferring institute-level strategic
STEP IV objectives to multiprogramme goal
setting


STEP V Strategic objectives (Programme level)

STEP VI Operational plans (Programme level)


STEP VII Logistics of the plan (synthesized from
programme operational plans)


STEP VIII Recycling of the plan (reiterations)








TRAINING MANUAL FOR INSTITUTE MANAGEMENT
Module 2 Session 2


EXHIBIT 2


PLANNING PROCESS


ALL
INSTITUTE


GOAL A



STEP I


PROGRAMME A





PROGRAMME B


STRATEGIC
OBJECTIVES
= FOR GOAL A

STEP III
I 4
GOAL X


STEP IV
I
r------------
NOT
PARTICI-
PATING IN
GOAL X
-i,-------------


OPERATIONAL
PLAN FOR
GOAL A

STEP V


STRATEGIC
OBJECTIVES

STEP V
I
I
I
I
I


LOGISTICS
FOR GOAL A


STEP VII


OPERATIONAL
PLAN

STEP VI
I
I
I
I
I


PROGRAMME C


I I I
GOAL X STRATEGIC OPERATIONAL
OBJECTIVES PLAN

STEP IV STEP V STEP VI








TRAINING MANUAL FOR INSTITUTE MANAGEMENT
Module 2 Session 2


DO'S


EXHIBIT 3


DON'T


DO get all your assumptions
and issues 'on the table'

DO get everyone to
participate and listen to
everyone's input

DO look at disagreements as
opportunities to get new
points of view

DO consider all the
alternatives before arriving at
a solution

DO decide the criteria for a
'good' solution before
discussing solutions

DO get all the data you can
on the issue

DO make sure that people to
be affected by the decision
also help to make the
decision


DON'T come to easy, early
agreements

DON'T vote (although a
show of hands is OK as an
indicator)

DON'T compete or argue
strongly for extreme
positions

DON'T make executive
decisions if you can avoid it


DON'T talk about solutions
until everyone agrees on the
problem

DON'T be negative


DON'T discourage divergent
points of view


CONSENSUS BUILDING:
AN AID TO PLANNING


.1











Training manual for institute management 67


A PLANNING EXAMPLE


LEVEL: All institute
GOAL 1: To increase the value of coconuts in the national economy

STRATEGIC 1A To increase productivity of the nation's coconut
OBJECTIVES FOR plantations
GOAL 1 1B To discover additional coconut product formulations
with a potential international market
1C To assist the local metal-working industry to improve
their ability to produce coconut processing equipment

PROGRAMME STRATEGIES FOR GOAL 1


AGRICULTURAL
ENGINEERING
PROGRAMME


1A To improve harvest and post-harvest equipment and
facilities
1C To assist the local metal-working industry to improve
their ability to produce coconut processing equipment


FOOD PROCESSING 1B To discover additional coconut product formulations
PROGRAMME with potential international markets

GENETICS 1A To identify coconut cultivars with higher productivity


1B To identify coconut cultivars with fruit with improved
taste characteristics appropriate for international markets


PROGRAMME







68 Module 2 Session 2 The institute-level planning process


TACTICS TO ACHIEVE GOAL 1


Operational Plans
1A-1 Develop improved coconut storage
facilities
1A-2 Identify cultivars that will increase
tree productivity by 20% in 5
years

1B-1 Screen current formulations that
may have international market
potential
1B-2 Ensure that trees identified with
production increase potential also
produce coconuts that meet the
required taste requirements

IC-1 Develop new or improved coconut
processing equipment designs
1C-2 Improve skills of metal-working
technicians through training


Logistic requirements
1A 2 engineers and 2 extension
agents/data collectors to initiate
first year of post-harvest
equipment and facilities project,
etc.

1B 1 researcher with food
formulation background; a new
autoclave; etc.


1C 1 master trainer/consultant for
metal-working technology; a new
vehicle to transport trainer/
consultant to metal-working firms;
etc.


Strategic Objectives
1A-1 Develop improved coconut storage
facilities



1C-1 Develop new or improved coconut
processing equipment designs
1C-2 Improve skills of metal-working
technicians through training


Operational Plans
1A Establish project to determine
criteria and design of facility;
produce prototype facility;
demonstrate to farmers
1C Set up training/consulting team to
visit interested metal-working
firms on a regular basis


1B-1A Develop taste preference profiles IB Establish a project to develop a
for major international markets formulation for canned coconut
1B-1B Screen current formulations that milk, etc.
may have international market
potential
1B-1C Develop new formulations


IA-2 Identify cultivars that will increase
productivity by 20% in 5 years
1B-2 Ensure that trees with the desired
productivity also have fruit with
the needed taste characteristics


1B Establish a test plot to screen
indigenous and imported germ-
plasm for productivity, etc.







Training manual for institute management 69


DATE


TIME


FORMAT Plenary participatory lecture


TRAINER






OBJECTIVES
At the end of this session, participants should:
1. Know the relationship of institutional goals to the other major institutional
management functions.
2. Be aware of major factors influencing institute goals.
3. Be aware of questions that may be asked to assess constraints and opportunities
which influence reaching organizational goals.
4. Be aware of how strategic objectives relate to goals at the institute level.
5. Know questions which can assist in transferring institute strategic objectives
into multiprogramme goals.


Module 2 Session 3


Setting goals and objectives







70 Module 2 Session 3 Setting goals and objectives


INSTRUCTIONAL MATERIALS

Exhibit 1 Interrelationships of the four functions of management in attaining
organizational goals
Exhibit 2 Major influencing factors
Exhibit 3 Mission and mandate of the Peruvian National Institute for the
Development of Agro-industry
Exhibit 4 Mission and mandate of the Institute of Agricultural Sciences of Burundi
Exhibit 5 Mission and mandate of the Central Food Technology Research Institute
of India
Exhibit 6 Mission and mandate of the Livestock Research Institute, Mpwapwa,
Tanzania
Exhibit 7 Mission and mandate of the National Institute of Science and Technology
of the Philippines
Exhibit 8 Objectives from a Thai Five-Year Plan
Exhibit 9 Summary results of the Korean Institute of Science and Technology food
technology needs and opportunities assessment
Exhibit 10 Assessment of constraints and opportunities at the institute level
Exhibit 11 Strategic objectives at the institute level
Exhibit 12 A-B-C Priority System
Exhibit 13 Transferring institute objectives to multiprogramme goals




SPECIAL EQUIPMENT AND AIDS

Overhead projector and chalkboard







Training manual for institute management 71


SETTING GOALS AND OBJECTIVES


Initiate the session by showing EXHIBIT 1, discussing the relationships of institute goals with
the four major structural management functions of planning; monitoring and controlling;
organizing; and evaluating.
Ask participants to suggest factors which influence the derivation of institute goals. Note
these on the chalkboard. Then show EXHIBIT 2 and assess whether or not the participants'
suggested factors fall within one of these three categories. Try to summarize influencing
factors suggested by participants which do not fall within one of these three categories.
By showing and discussing EXHIBITS 3 to 7, analyse with participants how missions and
mandates can affect the establishment of institute goals.
Following the discussion of the ways through which an institute's mission and mandate
can affect its goals, move to the next major factor listed in EXHIBIT 2 and discuss this by
showing an excerpt from a national development plan of interest. EXHIBIT 8 shows two
objectives from a national Five-Year Plan of Thailand. The first objective could suggest
research in the area of plant genetics; the second could suggest a social science research
project.
EXHIBIT 9 presents the results of a client-needs assessment in Korea. Show this exhibit
and note how client needs can point to institute research goals.
Evolve a list of questions through discussions which would assist institute management
in setting and examining institute goals. Discuss how such questions could influence the
establishment of goals. The trainer should be prepared with his or her own relevant
examples.
Show EXHIBIT 10. Discuss these general questions, which can help in determining
constraints to and opportunities for achieving institute goals. Ask participants to suggest
additional questions which could be useful for this purpose.
Show EXHIBIT 11. By asking each of the questions in this exhibit, try to elicit how these
questions can assist in translating institute goals into institute strategic objectives.


Module 2 Session 3

Session Guide







72 Module 2 Session 3 Setting goals and objectives




As one can normally suggest many objectives which could assist in achieving a goal,
some method of prioritization is often required. EXHIBIT 12 shows one such priority system.
Show EXHIBIT 13. Note how these questions can help institute management in moving
from institutional objectives to a series of programmatic goals.







TRAINING MANUAL FOR INSTITUTE MANAGEMENT
Module 2 Session 3


EXHIBIT 1


INTERRELATIONS OF THE FOUR STRUCTURAL
FUNCTIONS OF MANAGEMENT IN ATTAINING
ORGANIZATIONAL GOALS









TRAINING MANUAL FOR INSTITUTE MANAGEMENT
Module 2 Session 3


EXHIBIT 2


MAJOR FACTORS
INSTITUTE


INFLUENCING
GOALS


NATIONAL
DEVELOPMENT
PLANS


+
4/'.

7-;


I I








TRAINING MANUAL FOR INSTITUTE MANAGEMENT
Module 2 Session 3


EXHIBIT 3


MISSION AND MANDATE 1


* Develop new industries based on the use of native
raw materials

* Substitute imported products in part or in whole by
national products

* Encourage the development of processed or semi-
processed materials instead of raw materials for
export

* Raise the nutritional standard of the population by
applied research and development of food products

* Assist in the increase of cultivated areas of certain
crops and livestock with currently limited markets by
investigation of new industrial applications

* To increase productivity of natural forests, reducing
the cost of their products

* Create new employment opportunities through
contributions to food industry and productivity


Source: INDDA Brochure


PERUVIAN NATIONAL INSTITUTE FOR THE
DEVELOPMENT OF AGRO-INDUSTRY (INDDA)











TRAINING MANUAL FOR INSTITUTE MANAGEMENT
Module 2 Session 3


EXHIBIT 4


MISSION AND MANDATE 2


*To promote the scientific and technical development of
agriculture, animal husbandry and forestry in Burundi


Source: From a report by J. Kafurera


THE INSTITUTE OF AGRICULTURAL SCIENCES OF
BURUNDI


I I







TRAINING MANUAL FOR INSTITUTE MANAGEMENT
Module 2 Session 3


EXHIBIT 5


MISSION AND MANDATE 3


THE CENTRAL FOOD TECHNOLOGY RESEARCH
INSTITUTE (CFTRI), INDIA



*To promote the technical and economic progress of
India's food and allied industries through research and
development work, designed to generate and apply
relevant technology for the maximal conservation and
optimal utilization of the nation's food resources


Source: as stated in 30 Years of CFTRI







TRAINING MANUAL FOR INSTITUTE MANAGEMENT
Module 2 Session 3


EXHIBIT 6


MISSION AND MANDATE 4


1. To undertake studies on the various livestock diseases
prevailing in the country

2. To undertake studies on various animal husbandry
problems


Source: in a report by M.L. Kyomo


THE LIVESTOCK RESEARCH INSTITUTE,
MPWAPWA, TANZANIA








TRAINING MANUAL FOR INSTITUTE MANAGEMENT IIT
EXHIBIT 7
Module 2 Session 3


MISSION AND MANDATE 5




THE NATIONAL INSTITUTE OF SCIENCE AND TECHNOLOGY,
THE PHILIPPINES




1. To implement and conduct programmes of scientific and technological
research and development as may be directed by the board.
2. To cooperate with private enterprise in research activities relating to
scientific and technological problems of industry, agriculture, engin-
eering, mathematics and the natural, biological and social sciences.
3. To conduct studies through its research centres on industrial, agricul-
tural, medical, biological and related fields, and to cooperate with
other government agencies along these lines.
4. To perform analyses and tests for the purpose of establishing suitable
standards of products, to calibrate weights and measures, to
determine the quality and composition of materials, and to issue
certifications in relation thereto.
5. To provide government entities and local industrial organizations with
data of a scientific and/or technological nature, subject to established
laws and regulations on national security.
6. To establish, expand, maintain and operate pilot plants, research
centres, test and standards laboratories, experimental stations and
documentation facilities.
7. To study and evaluate project proposals for research and development
in the industrial, agricultural, medical, biological and related fields,
from public and private sectors, and to recommend necessary
financial, technical and other appropriate assistance thereto.
8. To receive assignments of patents, grant exclusive rights to their use,
and charge and collect reasonable fees or charges for their use in
accordance with the policies of the institute.
9. To keep posted on research projects and activities financed or assisted
under this act.
10. To recommend deserving citizens for training, government and private
grants and scholarships in the Philippines and abroad in science, other
than nuclear science, technology, mathematics and science teaching.


Source: as stated in the Philippine Science Act, 1958







TRAINING MANUAL FOR INSTITUTE MANAGEMENT
Module 2 Session 3


EXHIBIT 8


OBJECTIVES


FROM A THAI FIVE-YEAR PLAN



*

* To accelerate research on sugar cane varieties, with a
productivity target of 10 tons per rai and a sweetness
target of 10 CCS

*

* To get millers and farmers to cooperate in formulating a
production plan








TRAINING MANUAL FOR INSTITUTE MANAGEMENT
Module 2 Session 3


EXHIIT9


SUMMARY RESULTS OF THE
KOREAN INSTITUTE OF SCIENCE AND TECHNOLOGY
NEEDS AND OPPORTUNITIES ASSESSMENT





Among the problems faced by Korea's food processing
industry were:
unregulated supply, quality and consistency of
domestic raw material;
uneconomic operation on a short, seasonal basis
or at a fraction of full capacity; and
high cost of packaging materials (mostly cans).


The assessment resulted in 24 recommendations
relating to need for research in the areas of processing,
storage, distribution and raw material.







TRAINING MANUAL FOR INSTITUTE MANAGEMENT
Module 2 Session 3EXHIBIT 10





ASSESSMENTS OF CONSTRAINTS AND
OPPORTUNITIES AT THE INSTITUTE LEVEL





QUESTIONS

u9 WHAT MIGHT PREVENT US FROM REACHING OUR GOALS?

O WHERE ARE WE CAPABLE OF GOING?

6W WHERE ARE WE STRONG? WHERE ARE WE WEAK?


WHAT DOES THE AGRICULTURAL SECTOR KNOW OF US?
WHAT DO THEY THINK OF US?

WHAT DO WE KNOW ABOUT OUR NATIONAL AGRICULTURE
AND AGRO-INDUSTRY?

W HOW DO OUR GOALS REINFORCE NATIONAL GOALS?

u WILL OUR STAFF SUPPORT A LONG-RANGE PLANNING EFFORT?

WHERE ARE OUR STAFF STRENGTHS?
WHERE ARE THEIR WEAKNESSES?

B WHAT ARE THE RISKS OF CHANGE?

9W' ARE OUR FACILITIES ADEQUATE?






TRAINING MANUAL FOR INSTITUTE MANAGEMENT
Module 2 Session 3


EXHIBIT 11


QUESTIONS

WHAT OBJECTIVES WILL GET US TO EACH INSTITUTE GOAL?

WHICH OBJECTIVES WILL REQUIRE A HIGHER LEVEL OF
o' APPROVAL?

WHAT WILL THESE OBJECTIVES LOOK LIKE?
WHAT PROGRAMMES WILL DO THAT?

WILL THE NEW OBJECTIVES ADDRESS EXISTING PROBLEMS?
ow IF SO, TO WHAT EXTENT?

CAN WE MEASURE THE SUCCESS OR FAILURE OF EACH
OBJECTIVE?

mw DO THESE OBJECTIVES GIVE ENOUGH ATTENTION TO:
AGRICULTURE-RELATED GOALS?
GOVERNMENT-RELATED GOALS?
INSTITUTE STAFF GOALS?

gw ARE THESE NEW OBJECTIVES, OR STALE, OLD IDEAS?

HOW CAN WE REACH OUT INTO THE ORGANIZATION FOR NEW
CONCEPTS?


STRATEGIC OBJECTIVES
AT THE INSTITUTE LEVEL





TRAINING MANUAL FOR INSTITUTE MANAGEMENT
Module 2 Session 3


After putting together the full list of proposed institute
strategic objectives, assign to each an A, B or C priority.


A = MUST DO




B = SHOULD DO





C = LIKE TO DO


If institute goals are to be
reached.


These would make it easier to
reach institute goals quickly,
but could be put off
temporarily if necessary


These are desirable, but could
be eliminated, or postponed
until work has been completed
on any A or B priorities.


EXHIBIT 1







TRAINING MANUAL FOR INSTITUTE MANAGEMENT
Module 2 Session 3


EXHIBIT 13


QUESTIONS

HOW CAN EACH PROGRAMME IDENTIFY ITS OWN
ow GOALS AS A CONTRIBUTORY ELEMENT TO THE
OVERALL INSTITUTE STRATEGIC GOALS?

CAN THE PROGRAMME PROPOSE NEW GOALS
5w WHICH SHOULD BE CONSIDERED AT THE INSTITUTE
LEVEL?

ARE THESE PROGRAMME GOALS
9w TOO AMBITIOUS?
TOO CAUTIOUS?

HOW CAN WE BE SURE THAT THERE ARE NOT
BETTER SOLUTIONS?

CAN WE GENERATE BETTER APPROACHES BY JOINT
ow PLANNING WITH OTHER PROGRAMMES?


TRANSFERRING
INSTITUTE STRATEGIC OBJECTIVES
TO MULTIPROGRAMME GOALS










Training manual for institute management 87


DATE


TIME


FORMAT


TRAINER


Plenary participatory lecture


OBJECTIVES
At the end of this session, participants should:
1. Know criteria for sound programme strategic objectives.
2. Know a set of criteria for programme operational plans.
3. Be familiar with several approaches to selecting projects to compose an
operational plan.
4. Be familiar with activities which influence resource attraction and allocation.
5. Be aware of questions that should be asked in reiterating a plan once a first
version is prepared.


Module 2 Session 4

From
Objectives
to an
Operational Plan


M -







Module 2 Session 4 From Objectives to an Operational Plan


INSTRUCTIONAL MATERIALS


Exhibit 1
Exhibit 2
Exhibit 3
Exhibit 4
Exhibit 5

Exhibit 6
Exhibit 7
Exhibit 8
Exhibit 9
Exhibit 10
Exhibit 11


Criteria for sound programme strategic objectives
Strategic objectives at the programme level
Criteria for programme operational plans
Operational plans at the programme level
The use of project results for projects which were stimulated by markets
or by needs, compared to those stimulated by technology or by means
Decision Theory representative method
Economic Analysis representative method
Operations Research representative method
Activities for research resource attraction
Activities determining resource allocation
Reiteration of the plan


RECOMMENDED READING

1. Baker, N.R., & Pound, W.H. 1964. R&D project selection: Where we stand.
IEEE Transactions on Engineering Management, December: 124-134.
2. Utterback, J.M. 1975. The role of applied research institutes in the transfer of
technology in Latin America. World Development, 3(9):
3. Casas, J. 1992. Long-term planning of a National Agricultural Research System in
the Third World. FAO Research Development Centre Working Paper Series,
No. 11.


SPECIAL EQUIPMENT AND AIDS

Overhead projector and chalkboard







Training manual for institute management 89


FROM OBJECTIVES TO AN OPERATIONAL PLAN


Review with participants the eight steps in developing an institute plan (described in
EXHIBIT 1 of Module 2 Session 2). Then note that this session deals with the steps between
the development of programme strategic objectives to recycling (reiteration) of a plan. Show
EXHIBIT 1. Review and discuss these criteria.
Show EXHIBIT 2. Discuss the questions in EXHIBIT 2 and ask if they are relevant to the
planning process in their institutions.
Show EXHIBIT 3. Review each of these criteria with participants and ask them to suggest
additional criteria for determining operational plans. Show EXHIBIT 4. Review the questions
with participants. Ask them to assume they are in a planning situation, and, from this
hypothetical situation, attempt to answer the questions.
Operational plans which are based upon markets or needs have often been shown to
produce more utilizable results than those which were stimulated by technology or by means.
Show EXHIBIT 5 to illustrate this from a case study reporting research results from Latin
American institutions.
Discuss the range of project selection models which may be used in preparing an
operational plan. Show EXHIBITS 6, 7 and 8 to illustrate possibilities. The trainer will find
information on these models in the Background Reading.
Certain activities will attract R&D resources. Show EXHIBIT 9 and discuss the activities
noted in this exhibit. Not only do these activities help obtain resources, they also determine
from where resources are derived.
Show EXHIBIT 10. Ask participants if they have been involved in any such activities.
The trainer should be prepared to illustrate these activities with examples from his or her
experience.
The final step in the eight-step process is to reiterate an analysis of the plan contents.
EXHIBIT 11 lists a number of questions that should help in such a plan review. The trainer
should have prepared examples to illustrate these questions.









TRAINING MANUAL FOR INSTITUTE MANAGEMENT
Module 2 Session 4


EXHIBIT 1


THE OBJECTIVE:

/ Specifies a result, not an activity.

/ Describes just one result that you want
accomplished.

/ Starts with 'TO,' followed by a verb.

/ Specifies when the result is to be accomplished.

/ Emphasizes what will be done and when it will be
done, but does not specify why or how it will be
done.

/ Is feasible in the light of projections for resources
available.

/ Is clearly related to one or more goals stated by
the institute director.

/ Is designed with, and understood by, those
responsible for its attainment.


Is specific, measurable and verifiable.


CRITERIA FOR SOUND PROGRAMME
STRATEGIC OBJECTIVES




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