P-,(:) j. n n d ri + t
Pr o e~ c Ha nd bo (::2 Techni cal A:.siastance in Resear-ch and E-
i'rnp-haFi i!nq Farm~ing~ Systems)
Far-mi nq Systems Sttiport Po1~ linivers.1t civ oF lorida rGainesvilii FL -322 6. 11
wor k 31 nq draft #
(abl31e o+ Co-,ntentT-.
Proj iect HandbokFechn-i cal (:--ssi stanc.e
F'esfeiarch and Ex tension
(er:?nphas iinq fermi nq systems)
C h apt-r ir: r I NTRC)DUCT ION3 3H.. FNetho,-dol. oqy 1Bq. A u d 3, en c f:
C'..oo Processes 1
D), Handbook Drqanization and Use 3EL Farmi nq Systems Research and Ex tensi on 3
F., -FhF Farminq~ System
b Emphasis on Mvodels J31-4
H. Reviewj Panel 1-4
Ch apjt er 11. OPERAvT:(o1f4i P:RINCI1PLES 1
(A. Farmers Per-spective I Ii.Farmer Parti ci pa-tion I1I
Cf- Prob].em-sol ving Approach I3I-4
1). Technnorloy Innojva..ti on- Process I3EL he Macro-Environment I31 -61
F.,Is.i uioa aao and Manalement II 3-7
Chapter 313131. PROJECT DEVELOiPMENT I111-31
(A., R/E In' Country Strateqy 111-i
B. Host Country Interests I13I31 -2
C. Uo.ncep-tL.tal 3ze and Strateqi ze .11 1
0. aryImpact-Visibi Iity 3131I
E. Basic National Capacity .131F. Inter-:nat ional TFechnol Ioqy 'Tr ansf+e r I113~
G Don t Underestimate th-e Potential.J t31
H.. Link--aqes, R/E and I IN 1'.11. De-siqn Considerations :1 1. _l1Chapter IV: PROJECT DES131 N I V -1
(A. Introduction I V-- I
B. Technical Design Considerations I V--i.
Use of Models; Activity AssignmentsSubject Matter Research, Area-speci-fic
Research, Technica. Liaison and Support,
C. M,-Anaqement. Desi qn C,'onsiderations. I -7
Personnel TFrai ni nn Host Insti tUtion
Ma,-naement---Loqi st ics., Fi nanci al
Resources, Li nkanps, Strateni c P1 anni na,
Personnel. Menatqement and Devel opment
Lb co n9 1
Desi.cIn Considerations I V-.1. 2
Research, Subiect Matter Research,
Relating SUb-ject Matter ztnd Hrea.-spL.- ci+ic
Research Qlatri-), 'Iechnical Liaison an(l
E. Evaluation C.onsiderations 1' V 16.)
SUqqf-sted F'lan and System., ObJpctives
in Evalt k at i on
F. Paper Preparation I., v
Project. Paper Outtline--f-4.)strAct, Backqround,
.Oesr..rj.pti(-)n, Analyses (Technical, Economic,
" -j. -41 C.1 c Adminis.tr itivp) Financial Plan,
ImpIpmpn-t,.atj.on Plan, Evalt.tation F11-an
(','He-4P*I-ER V: PROJEC-l" IMPLEMEN'rArION
B Pre-Implemeritation Vfanaoement V_-2
C feam Nembpr Selection v
1). Team C.3rientation. General v
Fafnily,, COUntrv., Library, Livinq C',onditions,
E.' F(-:?am Orientation, Prc)+essianal V-4
PrOJeCt. PUrP0'7,C.*,, Civerseas C)perati cms,, Yearn Identity, Actors, Political Awareness, Host Institution Reward Structure,, Keep to the Task:. Communications, Related Pro.jects
F. Backstop StrUCture arid Administration V-5
Actors, Manaqe(nent Syt.-,tem, Administrative
Procedures, Routines; special. Problems
G. Project Start-1.1p v
i .,alendar, Review Desitin, Host IrIStitUti an
Relationshipf.mi, Giaining Acceptance, Early
Impact,, T'e.am DepJ.(-)yment., Project Visibilit /,
H. ObJectives in Team and Tas .-.- Management V-8
1. Manaoinq EvalUation V-9
Take Charne, Evalt..tation S-ystem Select Measures., In+ormation Gatherincl, Imaqc:?
J. Mananinq New Components V-12
BE, Use+ul. Take Advantage o+ Momentum,
Close -to Prodt..tction
K., Goina the Extra Mile V-12
Host InstitUtiOn ManR(lement -:1. 3
Strateclic Planninq, Resourcre Acquisition,
CHAPTER VI: PROJECT EVALUA"rimi
A. :1 n t r od i.m- t i on VI-I
B. Preparatic.)n +or the Task VI-2
Paper Trail. Briefing,
C. Evaluiation StrAteqy
Ci f)b-ipctA,,,,es and VI-4
E Strive -for Obiectivit-y VI 4
Validity V I
G V I
H E v al t-ta t i o n R e p o r t CJ u t I i n e V 1
Pro i ect Evel uat i on Summary (PES)
Introdi..tc-tion, Exr' active 1-Summi- krv, Ciene-ral
Comments, EvAlutatinn, ExtrFt-c cope Worl.:ISSUPS, People and Places, Annexes
Ab c. nn 9
wor k i nq draft a 3.
I NTRODUCT I ON
Thi is handbook is a synthesis of some of the t hin :s we have l. earned over moire than a quarter of a centurV in w-or kinl with technical assistance projects in research and extension. The syntesizing methodology is simple. A draft is prepared, reviewed by experienced persons, revised, circulated for use (tested) and then reviewed and revised again. Working draft #3 has resulted from one workshop review. fhe plan is to conduct a workshop at least once a year for a comprehensive review. In addition, reactionns are being sought, actively and continuously., between the review workshops. You are invited, even urged, to let us have your reactions and comments, i+ you have had any experience in research and extension projects. Send them to the Farming Systems Support Project, Ulniversity of Floridai, Gainesville1 FL3261 1.
The handbook is intended for the several groups of
personnel who are involved in donor projects--from project development through design, implementation, and evaluation. These audiences include donor personnel, both those involved in program and project review as well as those responsible for project development and implementation. Others who will work on a project include design, implementation, and evaluation teams, all Lof which will include members with varving levels of ex perience in technical assistance and work with international donors. Each chapter is more relevant to one group: than to others, but every group will have some interest in what is being said for others, and is encouraged to become f amiliar with other chapters.
The handbook is oriented to the donor project and donor
personnel and contractors, both long and short term. However, it is held explicitly and strongly that the project., in turn, must be oriented to and must serve the needs and interests of the Host Institution and Host Country. It is assumed that one objective of all projects will be to help the Host Country strengthen its research and extension institutions. The need for institutional development :i.s a continuing theme throughout the handbook, which in effect assumes a project-oriented approach to Host Institution development.
workin q draft 3
C. Donor Processes
Donor assistance takes many -forms, one of which is the
bilateral project., to which this handbook is oriented. Some of these projects are financed by loan, others by grant. In some cases the donor contracts with the implementer. In others, funds are made available to the host country, who then contracts +or technical assistance. Project processes vary also, but some general activities are common. This handbook is directed to the common elements.
These stages are commonly found in the life of a project, even though the form will vary,
1. [he donor will have a country strategy. Some may
not be written, but others may be a comprehensive document
based on extensive analysis.
2. Proj iect development is the stage in which the
donor decides in general terms what the project is and how
much will be invested in it.
3,. Project design determines the size of the project,
the activities to be financed, the composition of the budget, the course of action, the amount and nature of
technical assistance and other such matters, often
in considerable detail. It is common to contract a short term team to help with this effort and to do studies that
lead to it. Donors vary in their own direct input into project design but do assume final responsibility. he
design is the official document of the donors' formal
4. Implementation almost always involves a team to
provide technical assistance. Donors vary in how much they
participate in th:i.s phase and how much they depend on the implementer f..or project management. The relative role of
technical assistance in a project also varies. T yp:i call a
loan financed project will have less technical assistance
than a grant financed project.
5. Evaluation is not really a phase., since it often
occurs more than once in a project and is anticipated as
early as project design. (3ood management provides for
constant attention to evaluation. However, the speci fic
evaluation activities occur after the other phases.
1). Handbocas Qr! 2ztq and Use
This handbook is organized around the general project
process. After a chapter on Principles of FSR/E, there are +our chapters, correspondinq to the four phases in the life of a project listed above--develiopment, design, implementation, and evaluation. Material that is common to more than one chapter is contained in the Appendixes. (A final section provides a list of
li.aterature references. This section also is unde-r devel. oprent and if you.. have SLA(ACqeSti.ons fo-.r material to be i ncl .tided, i:l* ease let. us hear about. i.t.. The--re_ are alternatives +or orcl.Ani ati on of the book, i+ you.. have a preference, please let FSSP hear,.
Eac-h chapter is onenited to a spec-i+i c situati on and as spec if icaili relevant -to a team or orou),.p.. C )ther chapt:,ers are r e 1. Pev/a nt ,.The book i s cumul ativye., in the sense that aF tean wior.:Arnc on any one Iohase is expected to be fami 1 ar imilththe chapters dealincl withb earl ier phases,. In some c.-ases a.ndi +or so ,:me P utrpoe team:):*H s w(I 1.) l1 need .o b e + a ir l i w t. h the c-.h apnte ris o n !:ucce.nedi tipj phas(S
F' eamn ytemys Reseparch and Extension (FSR/ E)
FSR/E' is A~ aterm u..sed wi dely and w~ith many mean incls -l]
1.ePa j.timat e. In order that al. 1. the di fferent u.sanes can be accomodated. this bookr does not apply, a strict defin-.t.(:n (:3 FSR/E. There are two basic cri teria. for FSR/E., which can be considered as minimum criteri a. Oine is that -the probHems. t ha t research and extension work on, and -the technol oc.y they deal with, are sel ected o.-n an adequate base of knowi edqe.. and untrderstancinq of) the relevant systems of farminq, Trh e sEc on d is that technol on(.)y innovations proposed are -tested (a) in, the-+ armi nq system (s) in wh i ch they are expected -to perform and
(b) by criteria of those systems.
All1 countries, no matter- how severe their- resources,
constrai nts, can adopt 'the FSR/[""E approach, tusinq this f=i mp iied concept. At the same time,, countrtries can- add si-tch cr1 -teria as
-the mul ti -disci pi nary approach and whol islic appro-_ach t1.o the extenrt -their res-rources allow.
A c..Jentral theme--; of -this handbook is that FSR/E isi an
a ntepral part of the qjeneral R/E process. This means -that until. FSRI/E is worked into -the R/E process, that process is i ncofml.etfcand inadequate. It also means -that FESR/E is:, not asubsti ltet- or reply acement for other comyponeints of the R/E process. Thij.s explains why this handbook: i.s real ly oriented to research and extension, not simply F SR/E,. Since FSR/E is integral to research and ex tens on, and since research and cx tens o)n are inrcompl ete. without FSP/E, there is no loqical way to.- deal. with FSFR/E out. Vf the R/E context, I he--re is also no., lonical way -to deal with R/E that does not embody the FSR/E characteristics. Some o-kr an fact, hold FSR/E to mean the total R/E process conditioned by the FSR/E approach.
F. [r he Farminq System
1the +Arming system also is not strictly,. de-fined, '1System" is a tricky concept.- There all sorts of+ systems and sub-systems surroundinq a +arm and the farm family. A user mu,.st define the sys-tem for the specific task: at Viand., and FSR/E workers have defined a wide ranqe of systems.
i.-ork i opdr
The "sy stem'i assumpid most frequ,.ent 1 y i.n this book i.s th(..
apri u :. ura pr oduc ti on yt.ei btr thea Appro'.a1ches assum(.Iyed Im 1. ac (:omod ate ot her sy s tem s a s var ie d a i.,t he( -a rm hocu se(-h olId a nd t(.h e a.k. d mar ket. Pa-..rt0 "t.nes iiid -pthe r(. Levant + armirip system" is under!-standinq howm the other systems inf 1uence i t.
L.i kewise, the conc-ept of 'farmY" is not restr-. tJ:.vfye. I t. ca n be A simple fAmif lv owne(-d and operated +arm, a tenant farm, a i+arm with several.hueod a i-arm -that dep-_ends on private plots and coinmunza.l 1 ands eve::n a p1lantat ion. No matter what the::? 'system~f o-f + armi op. it i s neces.-sary -that research and(- ex tension wmor kers u..nderstand it.,
(3. Empass n ip
(3_ reat emphasis is Pl aced on models throuqho-.ut this book&-.
A model has two pur-poses It: helps to th ink thr-oi~qh a prolIem or process and it. create y facilitates comrmuni cati on among all -the many actors -from varied backgqrounds who are invol ved in tec. hno-.l ocrYinnovati on and in donor projects -that support it Technol ocy i nnova-t ion i s a social proccess niot read. v obser va.-.b 1(, and niot welludrsod Urrian i z i p and ymtia..(:, i n, p. apc nwnces to achieve i nnovat ion i s even l ess so. Ea-(-ich-of the mnany acosandI groups of-) a-cto:rs involved will. have ncrl/hi s, own concepts ba-_;sed on experiences. A mode], helps to achi eve some commonality of concepts.
I his book akes heavy use of the technolnqy Innovati on Process mode. and den ovations of it. It. serves -to provide a cormm start iri p+ac or the many actors. It has been u..sed andA modified to fit par-ticul an needs and situations. Ujse of the 11IP model doe-F.s no-t inodic ate any, par-ti cul ar def+ense i-or 1.t as mucm:I.' it does enomaethe use o-+f models--. I+ youL do.- modi-fy the FIP r devel op your own model that proveSusfl please share it. with
th 0 F G, p
H. Review Pa ,ne].
Experiences -that fed into this draft came tromn -to many
sources to acknowledge. Working IDraft. #2 was formrally reviewed in a work--shop. i~n January 1985. No approval was requested fro-m -theworkshop participants, and there is no imnplica--tion that this draft was formally approved. Many review notes and comments; have entered this dra-ft. However, all responsibility for synthesizing the range of experience rests with FSSP.
Partici pants in -the January 1985 work.-shop were: Jay Art is, Michiclan State I.Jn~versitv.y, Earl Klogand J. B3. Claar, Uijlver!:sity o-f I].l1inois, Robert Tripp, CIIIMYT; Rober-t Hart, Wi orock- Internati onal,; Richard Harwood, 1(2)O~S; fl)onal d Voth, University of Ar kansas; Eug-eni o Martinez and Loy Crowde: r, Roc -_kef -el I.er Foundation/Uini versi ty o-f Florida; Robert. Wautih and J ames P-eiman, Colorado State Uiniversity; And Dan G-alt, Jim .Jones, i:en McDermott Susan Poats and C.'hr is Andrew of the FarmYii op System Support Project.
1-;ebr-uarv 19 3,5
CI-44FT ER 11.
F-arming Systems Resear--ch and Extension
[his handbocik is +ot..tndPd on a set (-)+ principles, th ,it
pr-ovi tie a common basi. s +or*- al I pr-oject active ti, es. Some (.-j+ them can be considered assumptions, others r-elDresent b,-Asic. tIr-ui .-.(Ts:,
still others are (-onceptLu'.kI models -that helf,:) in ,..tnderstandinq and man,=.k(-.Iinq the process.
Farming Systems IResear-ch and Extensinn (FSP/E) can
thought o+ as "applied, +ar-mer-ariented and
physical r-esear(::h SUIDpor--ted by _,o(-J.0-eC0nomit: sci(.4nicPs in a
which is integrated t,.,ith extension +k-inctions and
I:ler-sonnel.. with -the pr-odt..tct. being technc.-j'1o(:Iv and t.hr.? clierit bF! inq
the +armer, and taki.nq into cnnsiderati.(-.)n the ecol(.-3qv an(l fyi,-icr-nPr) v i i- on men .t
1-hese principles can be identified. Fhc, y art Jisted here and will be elaborated in the foll.(:iwincl paqes.
I FSR/E must deal with technology +rf:)fn
Farmer ir .1vement is essential ii FSR./.,:.
L R/E is a problem-snivinq appr-nach.
4. FSR/E is an essential cnmpf.-..)nent n+ -the lechnoloqy
Innovative Pr-ocess (TIP). ..An(J much (:)+ its valu(lies in conditioning -that process.
5,. The Research-Extension System is but one system
in a set n+ systems. and -the other systems
in+lutz nce the impact o+ FSR/E interventions.
The friacr-o-environment is made t..tp larqelv (,.i+ I-A-te
6. Even thot..tqh the project is the means by which
access is gained to LDC technology pr-oblems., the
major qoal is -to help -the Host COUntry i.fYipr'o%,H its set n+ national institutinn-, --m-)r-kinq with r-esear-ch
wrk InLi dir ai L
61. 1The Farmer's Pe-rspecti e
F-armers are the essenti al. i~osn aciricutl tural
devel opment. They are the one-s who wi1.l i ncrease production. safequ.ar d the nation's Agri cuitura. resources, and improve the
a.et? + l iving. The cen~tra. purpose o+ the R/ E System, as it is o+fal other no-vernment proc.rams in ,.ll coui ntries, isto ssupport the -farmers in their criti cal role.
Since aresoperate under the constraints imoosed. by the recol oQy and the macro-environment nat ional qoal s and policy ob jectiv \es nee(J to be tras te o+ carrier qoa 1 s (o)nstr-a.i itsunder w-,hich they operate are so overwhiel.mi nq so potw er~u. that 4:.mel.s cannot react to national cioals that are vnon)tet.wth thrse constraints. In most cssnational qoal s c:-An be transl ated into farmer goal s and can accomodate -farmer constrai nts.
FSR/E provi des methodologie11 s +or u-nders-itandi no the.- i-armers constrRi nts and how he deals with them.. Thi s unwdernstandi nq. inr tt..irn., leads to i mprovi ng research which provi des technol oqy morep relevant. to needs. Whilu1e there is var-iati on inFS/ methndolroqi es, thpv all invo:.lvye knowing and understan-di nq the farmer and test ing technoloqv in the +ari n system by cri teria o+ that: system. FSR/E alorequires a rapport with the fa;rmer. based nott olnlyN on emp--athy And appreci ati on of) constraints, bt:f also on respect -for farmer knowledge and ability ;.as a manarner and on an interest in the farm family welfare. Experi enc~e to date indicates that FSR/E is an e+fec-tive instrument +for build ding empathy, respect, and interest--nd -for improvi nq mora~lr:: o+ R/E p er soan nel
The importance of the farmer persp..ective.leads -to an ex p i cit. meaning o-f the term "i nnovation" in this handbook,. Innovat ion is d-i ned( as fa-4rmer uttili1za.ion on a inifict scale. 1 he simple existence of An improved technology does not constitut.-e innovation, a.ind the technol oqy innovatio-_n p..roce:ss :m. s niot comply ete Lmnti]. there is si qni fi cant util i zati on.
The +armi ng system is A pronduction system. It is also. a social system which exi sts in a .1aroer p] icl-coah :~co-.no-mi. c-ctural system. No national R/E Systerm has the capacity to address al.lJ system aspects of a farmi nq s-ystem. I P is essential,, however,, (1) to be able to identi fy some few critical interactions with which the farmer must deal and (2) to obey certain constrai nts imposed by -the mark..et, infrastructure, national policy. and culture.
R/E cannot deal with all problems of all farmers. It
will have to make a conscious1:- choice of) ci ien-t~elc. of commodity or problem, and of gogoraphic area. FSR/E can provide input -for the choi ce, but some choice criteria ar- outside FSRiE,
wor k i nq dr -1 -4 t
as fir oducc-: r s and armingq i.=ys-Lemis mani-.t(,jerF,, ar-(-? the key elements in nat.iona.]. production, i.-t,-. is. that they f-)articipa-Le in the R/E F,-4irmprs can be thoucjht (--)+
+irm manac iers. and the R/E system as a mt.fl.tj.-+irm
d e p iiii r t m e n t Farmers are, (,.3 -t r s P L h e III --=I j (..) r p a r t i c: i p Yik n t. s i n adoption, and the r earlierr in the innovation prnc.(,?ss i-hey c.,-w.n bf, ,qin to participate, the more e++ectivH the process will he.
There is a wide varie-tv n+ channels -for -farmer involvement.. Fhese include interviews and surveys.& on-+,--irm trials in i,-jhi(-.h
-farmers take an active r-nlc-:! in impIementatj,(,-)i-0' discussion with +armHrs on trials Lo condi.ict and on trial. p(-- r+ormancel researcher observa'tJon o+ armingq operations; p,=.krti(--ipa-t.i(-)n r.+ +arfyiers in interpreting reSUIt!S 0+ on-+arm trials; participation o+ +armE..?rs in designing extension demonstrations and interpreting them, and others.
Farmers can be involved As members o+ research and
extension committees and can take r3art in +(:)r-mal resei-irch and extension plann.ina. and there has been i5it.tccess+ul experit:.ance. with +armer particip-a-ti(-m-) in -formal research plannin(-_1 and Howevc-- r, they do not have to be formallyy integrated int.o process in order to be "involved." Thev do have to have input into these af:-.I.Avities, and FSR/E pr(.-wides. +r)i,-- -A sy,.-,tefTima(--Ac t, jav
o+ qettinq the input. Seeking +arfyier input and dealing wit.h it helps achieve rappc:)rt kAlith the +,armer.
Farmers are e experimental bv naturf.h, and in A (Iroup o+
farmerss there Are almost always some who are.. searching on their own +or 1:)ett(--r technology. Farmers seldom adopt a new on wor(.-I .3+ R/E pers(.-.)nnel.. Mey almost. ali,-)ays either try JA
OLAt in thf.- ir own systems or observe it"s per-formance in .1 Ssimilar sl-ystem. (,Jne the strencIt-1--i o+ the extpnsian (,I(i ?monstration Js.'- that it +aCiIitat.es thc -farmer-s own experimental process. F SP / E bk,.tiIds (:.in thi,.:, experimental natt-ire (.-.)+ farmerss to get +armer involvement.. Farmers be invn.lved, either on their own or in (--(.AIab(.-3ratj.on with research -and ext(:-wisinn personnel. F .-')R/E
achieves the collaborati(-)n.
Whi-Ae +Armers are inw-)Ived individuals, it is important to think. o+ them as representatives o+ key armingq S,51stem-. 1-1--)e .- ?cnn(-wnics o+ R/E require a considerable, derjr-pe (:)+ simil-Arity among key +arming system characteristics so that an improved technology can be applied to a relati,,te1v larqe production area.
p r j. n 8 11 -
JAI (i Y"J: I nq d1 r" +t 1:.
(.Frob I. em-So. vin ri. ( preach
FSR'/ E J1. s based on the standard proi em-so.l vi nig myethod, whit:h c~onsi sts of -Fivfye steps.,
1,. Prob ):lefn i side nti i ed, or an oipportun ity i s
identified, based on a tho-.rough know'leige o predominant farming systems and n+ relevant.
2. i~l Prr-itiRy possible sol Lti ons are formula ~dated o
level oped i+ yout are 1,,or-ki nc frm a prob]. em th,-t
h--as (-)een ident ..fi. ed.
r~ hese. al ternati 'is Are tested. 1If a probale
opportunity has been i dental i ed, that: technoclogcy,
is also) tested.
Farmer orient action and i1nvol vement pl ays.. a ey
role in this step. Some sc:reeni nc caiin he done oni
the ex per ieritstatonn bu._t. test i noc mu..s-t v.u l be done-: in -the f armi nc system fo:r- whi ch) the
innovation i s i ntended a.-nd by (-r iterija of th-e
4. JThe t ec-hnolIogye is mnod: i ed (adapted) to
the needs of the client farming system, based oin
resu..lts nf on-f armn trials.,
5. AcceptablP eSOlution is di sseina=ited.
Di ssemination is li terall1y an e.,xtensioin of3 the
R and D) pr-ocess. As the technology becomes near i. v
finished, the on-farmn test becomes a.lmo(-st
d emon st ra t ion, Further., FSR/E recguires continual
feedback from the farmer Find exten sio..n on the
per-formance of a tested technol ory, such that. the
extension demonstration is something of a -test.
The research -functi on of -the te(.chnol Oq\/y innovation process blends into -the extension funictioin to su.c-h
such an exten-t that they cannot be)( distinguished.
FSR/E is iterative, 1f a technology does not pass the
test, other alternatives are sought for testing. 1f problems show up in dissemination, they are referred back to an earl ier step in the technology innovation process.
FSR/E requires the participation of) as many disciplines as
-the R/E Systemn can afford,, Where resources are 1 imi temd personnel training can be less specialized to gain some interdi sci pl inary benefits. FSR/E experience itsel-f can also train personnel to handle a broader range of problems.
pr i.nR 1 1-4
work incl ciJr af t
D). he Tch no~.ocv Innovation P'rocess
F S / F." i s c om m:.)n 1. v 'as o,0c i a.t ecd w j t h + i e cId t eam S w h c
(200 et rteon o-rmtest:ii cl adap.t. e r esear-ch, *and
i ntegration of technolioqy, into armina syste.4ms.. I he F'GR/ E potent al can he nre--atly enhanced by 1-i ttincl it i nto the. tot.al technology i.nnovaition process (UTP) anid by relati nq it ci osel v to -the other func.-tions se..rvinq. that same process. FSER/E can I i A-era. I]. v condj. -t. i on -the enti re process.
1-he IIF is presented in some detail in 4pendai< (A. I .he
model shows the process As a li near process, from lr. ef t to r .irlht. In practi ce, however, the process has edackloops, ..and it c.-an start wi th a problem o.r- an Opportunli tV which can bei1dent i +ir-ccdin any o-.ne of) the fu..ncti ons.... ... ... .... . n.oq n o ato Pro......cess......... ............. ..... .....
1 Nor Id ItTe':h Te ch 'Ie ch 1 fpch 1 Tecr.h ;Diffu.se;
Stock !Scic=nrpl Gecnera 1 Tes-tnql A~dapt 1 N-teqralDisemnal-) & V.'.noaI d q 1 tion 1at io(.n 1t ion 1 t ion ("dopt
FSR/E concentrates on the func:.tions of testing.
adaptation, i ntegration, anid dissemination. Research operates on the *left end of.) -the.'I:P and can easily stop, and o-ften dones, before the technol ogy i.s 'finished. H Exttensi on, operati no on the riciht, often starts its activities too lt.FSR/E -fills t.-he qap., and both the research entity and the e> tensi n ntt hav-ne a qentxine se] f-in tprest and even a responsibilty to work in this area,* each servi nq i.ts own purpose
FSR/E sends messages to the left for theF kind of4 technolo:.qy. fa-:rmers need qeneratedj. If the nati onal system can noat- resp.:ond., very of)te--n the international system can. A-. the same -time FSR/E "f+ini shes" -the technc.lJoqy +i-or- the r-iqht e~nd of+ the continuum .Anrd
-fami1.i ar i-es ecx tens. o)n wi. th it.
FSR/E f acilitates the establishment of research and
ext-ension 1,inkiaqes. Same experts maintain -that it is not FSP./E if; i.t does riot,, This results fro(-m the si mil1anity between the onfa..rm testinq and adaptation methodoloqv of research and the demonstration methodol oqy of extension; from the e.,peri mEInt- al. nature o-f the farmer; from l.i nkages FSR/E helps b~i. 1. d wi th th
-farmer; fro-m the farm-tested! "f in ished" technol o(-.qy that resea .rch makes available to extension; and from the fAct both are wo~orI:: i nq in the same process +-or the same end.
Country ies can depend hea=vi.l1 on imported tecrhnol oqy.
They mut~st have a basic nation 1 capacity,, however, in odrto be able to import technology effectj vely. rhe Ability to t(-s-t technoloqy anid to make minor modifications i.s part of that ai capacity. Another part is the abil.i ty to know what to: -imporrt. fle i nternational network.- cannot provide these services,
r.)r.J n Hb.
1-1 ~ ~ ~ ~ ~ ~ ~ ~ ~ : Fri N4ii C:ro-I-- .rpf)
(..i the i:: rr-rv tronme1nt- 1 J
i f h.. aa r.- t ~ s: oa ti F a .5 f a, c~ rC I rf -I a I: r ii v r i? iL I rv i i.. i -~ -f i: ''' :'fl*
.01- ~ ~ ~ ~ ~ ~ tI-i cat her (D's tr~ i:i- aa~ rrnt o t ve~c: r- (--? 11 :i~ c
h n actS, p r'an i.r c m, tiri u c' -aia t i-it t.kre iE n r? men q (1. hm r s.- V o1 .C
FI l-i) .1 j, f.o i -i .kn (J et 4: .,r a I n fs oRa e. a m n r c: h ava7A n .i F.x t s
a ~ ~ ~ ~ 1 --r .1 ca .1-. t. e: ill as n nL t:r hi (,1 n t ni a r Ii h.r e~ r (:.. m k.. L o
h- an 11rI .ea-: 1 t. I: lie) othe han i da:. 0 \ it al J.L- i iv w ~ lic h moo u h C-) + h n -) J. c-pfl i S e m b .d i ad: (A musc bhe aval i ;*A b Ia
Ih e t h :i. r d Ji. i the-- F.- if rastt-i.icttcre ivte . nt. arn al
tr azin ia..p or t~ ---)t. on -, 1 plua s. r r .i q at i o n poC)r ts ,p roce s s i n(- a. nd st nr 4-- c
+ a t 1 1. i ., ari d o.)ths, f T r I*hr-e 4f + ac t i ees of ree Ar -c:h an
at n i n is0 Si. nsder, Ably. redUC:ed beyond t.he FAreca served by -.: mi .01mt-m i onf r astr-tc tottrei
lh ilIe (-f) extreme i moor tance to I- SR/E the (oen::i l.o FF8H/l managers in correct inq de=?fects in these sys.-ems. isaI n~ e Do..,nnors in r-ext rai-.4-nronj cctl" a ti v i t y h av e so.3m e p ot Fen t a;].
H er e a reF s ome a ct i os F S R/E m ana a emen t can t a -:e .
:1. 1 must..st con crn i t se pf wi th p o. 1.(1 is r e qa r d npq j. nov es-,tmten t i n r -e s e ar ch z.Rnd ex ten-,i.on
:.It can c ommniate 1 w ih othe-r systems reqpRri n t farmer needs. The need fo-r inputs. involved in technolony adoption c:an be communicated to the market as can needs for certain imports.
.......nowi edpie and t.mderstandu-inq (of the farme-:r c--an be.A
communicated. 1f national production qpo-als arec to be met, they must be translatable, and trani a.-ted,. into fre-qoal s. and t(-he, mu-st ac-oinodate farmyer constrai nts. FSR/E can hel p wi th thi s
4, Kricawkl edqe of-i opportotni ties made po-.Ssibi.e by-)
technoioqy inno-.vation can be communica--ted and explained. 1lIpw technoloqy often creates policy options as well as product(-tio.n options.
5.Where nothinq can be done toi correct defects, H/F strategy must adapt to the mac7ro-environment, both in the short and lonq ru.n.
w or 1.: 1. nIq d r a
11 nS t i tuLAt j. CIo-al. i. zat i on a nd 11a na.P a ) 6---n
lns.1tut i onl at o is A long ti .me, rcoot i.ous proCeSS,
e.M/te-nd.iid well -1 1[eodthe duration o*j most donor or: ccl: E -3 nI--eeds-;t o be inst ittt ional ized as part o+ and al ont twith -the total RAH: institutional con x It fmu.st be made inteciral to the
proc-ses of current inrsti tuti ons, tm'hich themselves are ofte: n not developed adequate:;.y -to serve the needs of n ii ua devel opment.. improving research iand extension instittions e onei of.1 the mfaijor needs of + s all countries receava i%/nc dono-.r 4 s i st a n ce. hi r aqir i c u I tur a I devP 1. aqpmen t w ~i 1. l J. i. t ted bv th-e capacity of their r nati onal. i. nstitut.ons, of w~hi ch reFsear-ch and ext*ens .on ar-e cri ti cal ThuILs5 :insti tut iona.~l development, is ma 8j o.r donor opportunity t y.
ThVe concept of institution has several critical elements. An i nsti tuti on mLst be valued by the Society. It must have an influence oin :indi vi dual behavi.or- and fon a scale that is siin i. fi cant to the economy. It must inspire conf ience that i t ~i 1 1l endure so that. individuals c--an pl an on it.
'These elempints i mpose some requirements of
1. 'Fthe organization must have an ff+ct i verorm in order -to be "valued" by the Society..2. Fhe prociram must achieve a scope of.) operation -that wi.1 make a si mi +i cant i mpac~t on the. Economy.
Tepro-ciram mu..st achieve a reasonable Ic -:ecr o s ta bi 1. I. tv Stab ili.ty is not to_- be confused with Pither ri clidity or staqiat io..n since an institution myust also be capable eo evol vi nq to meet chaatii nc neeF.ds.
Fleeting these requirements is 4-he responsiibi li ty of the direct.-ors of.) the research and extensi on entities. It is a management. o-r- IeaderShi p +Unction more -than i.t is a -function, o-f
aqi LIl url ecno oyor FSR/FE met hodolaoqy A dor.no-.r projtr.ect. can help di rectly in devel opinq an e-ffect.vcye prociram, the, f i st re qu:i r(,mpnt, even t .houcith more than tea:hnol o'I~qy and methodol oqy%, is i nv/olv ed.
.It Is not so c-l.ear cutt, hut donor proj ects can) also be e+fecti e in helpinq insti tutional directors wi-th -the otherreqU~tlrefnents of+ institutionalization. This issue is too complex for this section and is discussed in Appendix C..
r n .1:' t vn v I. n ':' fy v...' v
r r n ra (-) + c 1 -1 .-i 1-:t r) r* c-' ti-** (:,, i i v f,:.) T r. + J r I
t _tse r-I o r F [,,j I -i ci fz! n --) .1. n a pr T-- j. v-t -_. qr A ir
r s r h n d (1-.! -x t. r) :ii o n
'o u n f. r Str-,-7tt (I e
f* pub.1 i cl ,, uppor t ed R / E. pr' vei..' t 1-1 + :1.
purpose oi. provi (J i r1cl (:)+ rirc ivi di nq t echriol oqy by Wh i C.-A-)
be.. prn(Juced vvith the rrsiourcv.r: F.' .)r H
product can tie produced with less resource al... th(-.? sairle I-frle
the r-f_-.-ttAnWs riaturaI resource: s.
2. Ec'onomic. analvs-is is nlot necctlssarv tc, jils-OA.+v c .--trf p r C: t Much indicat(.7 s.' t-he (::)t
and D. R.irther, is little
vi (I fi, I A e t.hat in any country iri an%,,, pc r.-.) n c) (T) j. C.sector wit- hOI.At AMICIVat-J.01-1 in the tC-2chnolo(Iv used by pr(:)ducers. F.inally, histx)rv indicates -that technology innovation is not. likely in Z1C.jr-iC-AAItur-+.-& (--jithout a publicly supported R/.E (-- ++ort.
11 te economic issi,.te, then, is tt--) dev*. I(-.)p, desic:fr), -.1 ri d i (T) ID I rn, men t a p r P c: t t ha t w i 1. 1 h e I p t h e HO S t C" OU n t r v r e al J. z t;- 1: h e ec (.-) n om j. (.- p at en t j. a i o+ r Pse a r (- h an d ex t en s i on
VirtuAlly every I-DC has --in overwhelming for
assistancf.i? in developing its own basic national in
r-esear(.-_-h and t.-. xtpnsion, a lon(.4-lastinq, indiqenouss capi-m.-.itv t(.-.)
deal. wit.h the technology prnble ifyis o-f this
the capacity to take charcie o+ -And mani-ine th(-. natir.wiad. R/E pr(..)qr-am., incD..tdina those components +inAnced by donors. I h i s ticasic capacity can be modest, well within the ability o+ mosit COUnt'xies to -;.i++ord it, with proper T_-)Ianninq and
-4. CIther institutional capacities are nef%%ded to deal VAI-Ji p(.-)Iic.-y, marke-ts, and infrastructure. in
systems will limit what can be expected +rnf-n improvements in the R/E System. It is not nerpsisary, howeverr, to de.[Lly development
0+ the R/E system unti.1 other inStitUtIOnR]. axrn adequate.
SevF,- rAl institUtional systems can be k.,Inder development t the. same time.
5. T'he I.,iotentiAl o+ a prr..)jec-t can be enhanced by proJect activities. Two will be most help+tAl.
v.j cj r k i n q d ra f t
One is tc) incll'.Ide R/E in thc contint.(irici
f.)O.I'j.CV dialOQUe 14i'th host government, particular ,.Lrly inv .- %stivtent in res(. ?arch and and instit.k.t.tional
how e+-fective are thp Host. Institi.l.tic.)n and the implemeritinc.1 team in addressing these issues, (::an them morf.-7
e + + fe C-1. t i v e .
b Vh(- second is -to seet.-. cc1.11.8boratAnn O-f c1ther
dcmc)rs -to help protect the basic national c,--apacity that vc)u arc.:' helpinci to build.. Many donor- projects press on national cap,--xcity arid -tend to dissipate it,, rather -than butilcl it.
H.. I.derti.fy Qefend Host Cciutntry
.. .. ..... I~ ~ ..... .... ..... .....
T)onors MLASt work throUgh projec-ts which mus;t certairi specific: criteri.A. lt. is not automi .ctic that these will ).)E- ccnisistprit with Hc)!=.,t C_'ot..tntrv interests. A donor project can '..C-tually work at. to qem.lirlP, J.onq-tprm country
j. rit r-:? r e s t s A 11 I -) a t. t q h s p e c: i + j. c T. v c.-k r s o m e q Ft r i e r a 1. s t ia k t c m e n s c LA r i
I. natic.mial interest is to i ave an
r,-zipacitv to develop,, maintain, arid mAnacle an e++ectiv(-: technclloq /
Ft-viss institutional need r-F.)preserits a majcw- doi ior
of.)por-l-Amity, an opportunity +ar greater than that a+-fered bv projf.?(-.ts desi(:-.jne(I +(:.-)r- ehort-ri.m specific production w_-)zkJs;. f. (if I
o+ donor projects, e .ich +ollowinq its own criteria, is piecc- fric!al and tends to press on +raqi'Lfz Host Country capacity .- tnd +raqment it., rather than to help bUild it. Tht..ts, the e++ectAvk-nie ::s C)+ investmen-ts in research and e-xtensinn i _ire redl.AC.ed, and could actually work against Ficist Countr-/ interests.
I*hl.s handbook as;E fries that donor projects have a
specific interest in the development and strenqt.heninq 0-f Ho --ACot.in-ty capacity.
Host COUntries do need help in developing
basic national capacity,, and most projects can provide it,, evF rl J,+ there are short-term, direct action objectives. invcd.veck,
C'apacitv bt.tildinci is essentially R -f-i-triction (1-f
man .-.kqement. Kanac-jement components can be included in prc)jects :-.it relatively little Ukpital costs" except +or training orhtmnan resource development. are minimal. Jec.tinic-al is most needed Arid can be provided by short term personn(!-=,1.
For P.,tample, one n+ the (ireat. needs (j+ R/E
instAtuctions is +or strategic planning.. which needs to be done hof Hcmt Institut-tion management and f..iersonne]. Arid aver considc ?rable tifne. Jhj.S COMponent could be designed into a project at little cost, -to tak.e placf .- over -the li-fe (:,+ the proJect and the r-f sttlts, would be +ax- more use-ful than pliiiin-i done in a matter o-f wnmf tlks wit.h e-mceptionally heavy participation o+ an P.-patriate team.
p r f-) d ev 4-- 1 T T
v.) o r k. Ii I.-I q d I -f t
n c: t ..t a 1 .1. z e .--in d 'S t r ci t e cl j, z e
I YC)Ur project. needs to be developed +roa-, a set o-f
conc-(--mts thavt will help yot..t and colleagi.,tes under-staind it and e'-plain it to oth(,.- rs, particularly personnel that viill review the project +rom design thrc)utcjh evaluation. A model 0+ total
technology i.nnovation, proces!---, is presc nted in Appr!: ndi.x (-I,, Y c I_( can u s" it, fy-lodi+y it, or clc- vF-lop one nt ycm.ir n(Ain. Ex p (-:, r i e ri c rihows, however, that i.+ 1z.'ame sort. o+ model is Used 1:)oth
al-vl anal-ysiis 4-Are
2,, lt-ie innavatic.)n prncc. ss is, single
1 et-. in most cc)untrieS., tWC) ;Wt(-)n0M()US entities;,, and en-,,-tens.ion, cxre rt7 sponsible +c)r its -ftinctionss. I inf---.-acje hie-twe-en
the twc; are and k1t.,jays have been inadv quate,, 1*vja Smeasures. would increase the chance o+ devRlapincl this
a. Farming 133ystems Research dc-miils c, Ijth thc)srv
-fi..tnctic.)nq o+ -the t(--?chn(-)Inqy -innovation proc-.Osis f-hat
-fallen between research and extension responsibilities and thuis have been ner1lected. (- f:.tf-z ndinq f.c. tl-iai-iie +unctinns appei...Xrs tzl
improve signi-ficantly t.hp chances: +or e++ective
b. It seems probably. that. s-inqle d(--)n(..)r- prc)Jc- ct- tJ-iat
de--al vjithi both the rese,-zirch and the. en.ten!-ion entities viould
-further +Acilitatv-- this
Fiqi..tre III-I, derived +rom the? technolcycly innovation procc-.1sis model, will qive siame insiqh-ts into -(-.-.he rf:ml at i onshi. pis,, Dcr siqn considerat-Acni-, are di!zict..v-.ised in t.ht--2 nett c h a p t er,, Oric4inal project however, -to
accommodate these ideas.
It is I (Yipc.-)rt ant: to -the project with-Ln th(.'i country:'T, re S C) LA r C e 1- Q t f ? 1 1 t i a I Nost coutntri -s have severe resx.n.trce c o i-i -, t r a j. n f,, fi It is +(: asiible to dev(- ,llop a productive R/E s y s t e fyi within those constraintia i+ certain ClUidelines are followed It ie, necessary that: all o+ the +unc-tA.cjn-_, o+ -the t+e(-hr-fc-)J.c.)gv j_)rc-x-ess model are attended. 1-his can be -acc (imp 1.i even mlitl-i i_ t modest R/E svstem..
One econotw., measure is to depend specifically c)n thf-., interniationa). technolow.., network-_ which is quitc .. clood cAnd i1is steadily impri ivinq. network --- c.an prnvidE, o+ t.hr.,and much a-f the technology cIeneration needed. 1mpor-t+,Anc.j o+ techno1c)gy needs to bF. systematicc, See UhApter TV.,
Another economy measure is to limit the scope o+
program, by commodity, by pr(.-)blefn, area and by c1poaraphic area., '1-her(-,,? ar(- always. r%ncm.tqh resources to dc) something well. never (.7-nnt..iqh to do every-thincl well.
prndev9 I 11-5
Fh 1' 1 i -.La (-cit i ./it v As sSi. Orirfi r-3 t. s b e t w e 2n e a r-: h a nd E -1 (e n iq j. )
b v F-unctions c:+ the fechnioloci I rncovat.-:ic n ocs
-fec--fhnc)oi o I 1o ati on Pr ocess ;t (::)c. k f Sc- c n c ie c-h 1 e'T p c h F ech 1 Tc -l 1 ")hft t us;n
Ki F- o b 11 en r atn 1 lesi Ac a -t p t:n Nt ii:t Dsia r. dnpib, :1
.... .t ... -t .. .i F. ..F ..... .... FF..... ..
A -?ea ~ec: j. + 1,
E.". F S
-f Research T Ven. r. i ,
~Li a-i tori & / l dF
r. F. ....or F. ..........
LUnits t~o vMhich Assicqned
Fl cq. I.I 1- b ctivi-ty Assi. qnrnents between Researc.h and ExtensiontF By Functions o+ the Jechnoicqy finnoviatic On rces
Tecno! o~ytnnva i.onProcess S toc: 1 Sci ence. Tech t ech T ec h Fi le ch 1TPch1-
......... ....... ............n .. pIt ..tirt .....~ .. ..... ..F
...n.... .... ....rc ..... ~ ... r..... e s............. ... .... ......... .......... .... ........ ....... .~ v
F F.. F F.F.
Unit Rc.ci v:i nq- Assionmenr:
wor-f-.-inq dr-aft. 5
j. n terms o+ b as i c n at i on -zt I c a p a f: i ar he.. need tcj de-firic? -it o- it. 'for- ZR 5pEICj.'FiC',: M C) r. e
c)n below. !-* -.Isic na- .-Acinal depends on ccciunfi-y.
It seems to be a cclmman to ii tt.emp to cr(. ?att tia c.-Ofnj,-.d.ete
RI/E..' +or- c:otjntr-y, no matt(_4?r- whi--tt thc: r-esctuw.cew S tt c. h
is not possible ? +cw fn .;.kny countr-ies. Nor- is. it necessar-v Cnuntr-ies can depend cin the iritc rnatiorial nettmor :: -for aian,,.f
-furic.:tions, and do so inde. +initelv. I'his dependencfi l needs, to be.accomodated in -the str-zxteLi,./, however-. I+ not mariane-c-1. it v-0111. not be ii ystemfnatic and e+fectivp.
A i.ksc?+t..Q analytic I device is, the 'I.-,ec hnology model. d(:iveloped h,,,., Hvi-Ami and Ruttan in An lrrt:er-niittional F'or- :-pective.,
I~ ~ .. .... .....
D. Ez.:krA.y lmnact--Visiii..)i lit-v
. ..... .... .... ..
It is corwentional wisdom that developing a
procii-am And a r-esearch institution is a long run I+ donor-s.
and governmentss are imp .itient, they will not, sttstain ari lonq enough -for it to catch r0ot And sur-vivi-7 ,. IfIlpatience, in cAher wc)rds, precli,.Wes success.
k1o evidence (:hallenqe- s this pr-apc-)s-jtJc)n. Hokpj(- ?ver-, it is not completely acci..u-ate, at least. in implication. 'The lonq r-un
view c)+ institk.AtiC)nHl CIE-velal.vnerit does riot prr(::Ik..tde the... need and poi--sibility o+ Achieving An eawlv iaipact. Pin institution is more
in to a k-ihich is developed by practice And
than it is to a +act-.or-y which is bUilt in one? time per-iod to bc) t.isHd in a st..tb-.neqc.ic-_nt-. period. A resc,!arch instituticx-i is bt..Olt
dc)ing tAlhat a r-esear-ch procjr-am i.s. st..tpposed to do in SUpr)0I'-I_. CA+ .-Acjrfcuitt..w-al develc)pfnent.
With pr-oper- plannimi and vianaqn.ment., r-psear-cl-'i c-,-7-tn a shor-t term impact that Actually impir-oves it,: J.oncj time f:: 4'- : ra-ther than diver-fiincl regour-ces +r-cmn them. An early impact c,An be used to clain respect for- the rese.ar-ch entity in -the qove lf-nment and -t-o encm.trage its c.-swn r..iersonriel, bo-th a+ wV)ich Jmport.,:.irit, ccmiponentii (:)+ instit.uticin buiI.ding.
Ear-l-v ifnp)act will o+ten r-ecli.iir-c- techric.-Acc.1y +rc:)rfi the
in-ter-riat-Acm..-O. technology rietwor-k As t,,iell As per-sonnr- T. T" h e-process is at-% adaptation ci+ the FSR/E pr-ocess. +ir-st step Js
-to char-ac-ter'izp An ecology, its +ar-ming and it
problems, and r-C-SOUrces. The next step is to determine o+
known technologies would have the highest probability o-f +ittinq needs And giving a pRyo++,. T'hat A.-.echrioloqy 'is then tested, adaptations ar-e made, in the FSR/E on--fat-m r-es(-; arch (node. t4heri it passes this test, it is promoted in a small area-A. T+ it
pass(.-;?s that test it qoes an to a +U1.1--fledLied campaign.
Pr-c.At.iction pr-oqr-ams ar-e uksk.xall.y associatecl I'--ri.th t,"'.Aeris-ion"
wi-th inadequate, Attention beinq qiven tc.3 thor-ouqh and adequzz.-tte tHsting and needed adi-q3tation. E.-tension c,an riot PeF"+C)r-M
wi-th inadequatpls,:, tested techinolaq,/.
p r. f) d e v 9 1 .11 -4
-for early imf..iact are not. verv d i f + e r e n t + r o m (-. o n v :? n t j. n. n a 1. d el s j. q ri T h e p r o c e -, 5 n + I-) CI 1^1 j. n Cj t h
-and on-4arm .5 the safnF.?,, V h
di++eren(-Q comes -from expectiria production +rom rrz- search ANT) ext*:?nsian, n(-A 'JUS-t. 'frC.M GE'Xterlsion alone, and pt.0.A.,ing a reason,-:xble presssi..ire on research +or early impact.
Expectiru- early impact lv.iill Also fnean -that project sites will not be in the most difficult However, that shottld
not be a di++erence. Until at-, instif ..ttion is -fairlv well deveiaped vjith -,ik cansi.(Jerablrn capacity, it is a dQubt-Ji.A. str,;tt(-:?qv
(:?,.,pect it to :in ecn'loqlical ar( iiif= or in
ill-t :erved by arid markets.
Five Plements can be (zorisidered as constituitii I a H aa Ei i r... National Capacitv in aw-icutItux-al. reseArc-h and
1. One is the ability to arid to
+,--irmer c: I i r-ents and t.hE- j. r systems o+ +armi nq -This does not. fflv- an .AA +arfylers ir) all. 4reas i.-And ,zOA cnmvfiodities. I voices have .o fyi ade, arid the choice does not have to be thf;- smallct-st--. in
most .-rtreas. C..Vioices are di-f+j.cA.0.t brz?(- .7kuse so mup-h
has to be le-ft. tmiattendotd. It does mean that +(:)r the.. artli i-.ks, prob'Iefyis, c2knd commodities chosen is, a capacA-ty to arld utridei-stand producers---i--ind that the choices are limited to a scope t.hat can be adp..tately attended by resot.irces available.
2. rtie second elt- ment. is the ability to generatfi?
OR the Ability to ifnp(..irt :it. For the concept o+ b4,sic naf.iclnAl ci--i.p;-.kcit.y it rni--tkr--t-- no di++erence which oxf these abilities
e.-tist. or i+ -they exist in comb i riati, ori. Whi-At is siqrii+i(..-.ant is that farmerss are o++ered technological. opl.nortunities, and thait-. H-Ifr: rf,:itiorfal R/E system has capacity to do -this on a continuing basis. Many countrip!z, havee little-.? chance to develop a st..tstainAble capacity to generatee technology, even in a ommod j. t j. es. Most countries can develop the cap,%.kci-ty and the systefri -to monitor the w-jrld technology +ar.
tf -iird element is the Abilit.v ta) te!sf.- (-A-ke technolo(lical alternatives IN the relevant +arminq fny -tems and BY criteria r)+ -those s.,/stc.,ms. I'his also requires hard (:-hoi(-_-.eq, t-(:.i keep the program scope within institutional resources.
4. Thr- -fnt.trth element is the ability -to in+nrm
-Farmers o+ improved technology and to instruct them on j. t Use. S5ofrie -t.echnolowy is very easy +or- +armer-s to learn and inteqraiatr.. into their operations, and little more is needed than to defYi(_-)nstrRtp it-,. Other technologies are increasingly di++icut.Lt-. f.o work, into the systt- m and more instrttctional el++ort is rieedc- ?d Hasic cap, Acit,,, can begin with ability to handIf- the 7,:implpr technology.
5 T I-i e -f J. ri al (-:? I e i -fi R v- i t J* s t i In i .1 i t c) f.-. r ri s: t f I
i n+ or-mat. i cir--i anc.1 c.tndei--sf, and i ncl arrionq t-u-i j. tf x n+ a n (I
-x e r I s -i c) r I f -1 t i 5, be-,cat.ise the, -, sc-,wve J. t s, !...I ri d
r..)er-sanne.f. c)+ rcesear-ch and tex-tension ar-e (.10-:iper-sed cwera r- e a Fzi and is rir.)t simple, f::?veri within eacJ-1 C.)+
en t J. t i e!- Resf. ai- (-. h and c- .-. t en s i on c-ommun i c Rt. j. -)ri i s dom
near- to adequate.
Sever-al c)+ these vjill. be r-i cocInized as to
FSR/E. and this indicates its role in t.he innov,-i-d-A.an
p r ci c e I.-$ a t.echric)logy car-) be jmpoi,-J. ed. Yet twitIvDut. a s i (7. a p --A c i a c., a A ri t. r- -v c. a n n c) t. t .-.A i.., C, a d v a 1-1 t a q e% C) + t h c.? -1: e c I- I r-I C) I o (I y
v a b I e
F. International 'Teachnol.ogy Fr-i-kns+pr
. ..... .... .. .... ..
Hvami and Rut-ttan in AgEicuOtt.tral f4n
I v i t: e r n a t i q n a 1. f i- r s. q: t i, v e present a model o+ J. rit er-nat i orial
tr-ans+er and an i-iriaalysis ulse+ul in F-,/E' r.)r-o.jpc:t-.
d eve I op men t The model. was developed +rom histoi-ica]. Studies and is sk..tC:)ported witl-i empir-ical data. I ("I e M Q d C-1 V" e C (7) (1 f-I i 7'. Cz S t h f" e e
s-t-.aqef-- (-j+ technology tr-an5+er :krociriq nations.
I Hater i al s trari5+er-- i tie si fTif.-O. tesf- I' e c h 1.) (-,) I J s
(:)+t-.en embadi.--: d in .-A commadity-seed, machine, or- c--hemic-al. T h e
simplest +(.jrfn (::)+ tr-*ans+rr-- is -t*-.r-ans+(;nr- o+ Vfvi ? rommodi c-ifnbcOvinct techno n(ly. It o+ten happens thr-oi-tgh exploration, and
rvlaterj- Fils r-equires little rii-A ticnial c;:apac-,:ity,.
2. Design I-r-ans-fer- i-equir-ea, national cap .kcity., 11-..
invc).Lves the c.apac-ity to I:ir-odctce irivolvecl in fhe
earlier- stage. Blu -.-pr-ints +r)r- +ac-tor-ios and designs o+ tri=tctor-s:
can I..)e imported, o+ten with t.echriic--i. Al cari be
pr-oduced, Arid cer-i-ain technoloqi(-: s copied. A pr-odl.,tction capacit.-,,
as (Alell as technoic.-)qical capacity is r--equir-ed. o+ten
fitoves into this sta( ie as it. beciins to develop its national c-apacity in i-psiear-ch and extension.
3. ff.- C:hnoloqy capacity triz.ir-fc!,+(-zr,- is, th*.-j most coaiple-x and mcjsf-. djA:+icult. ']"his is, a tr-arisfer- r)+ ability I:c) genei-ate
n F.-.- w L e I- i n o I o (I I t t a i-.- e a m o r-- e t h a n e ,, c F- I I e n -t t. r- a i n J. n q j. n a
-for-eign counti-y, Accor-dinc.1 to their- histor-ical analysis c)+ several countries, including the United States. I t c.) -f t e n
I-EqUir-es that scientists be imported to work with well-tr-,-:ij.n(-d nationi--ti staf+ aver extended periods.
The valt-ui-) cj+ these models is to help donc3r-s and hesst
c.ot-tntries determine the lev(v 21 (-.)+ technology that i -.i
r-plevant, so that expectations o+ pi-obablp pei-for-(Tiancc-. can be rea I i at i c Some o+ the m(-)s-t- ser-ic.)t.ts mistakes are thnsf .Arising out of uni-ealistic. expectations.
km o r j. r, C1 d r a.+ 1Don t Underest. i mat.e the F'oten i, i al
.. ..... .... I .. 1. .....
It is common to evaluate a donor on the si-.ze (-)+ it!l
.f. J, 1-14.4 n c i al i r_1 f.) U t ', (--)r- r(-SnUrce.- transfer,. F i n i--! n c J. j.-.% I i n f.:) u t i s J n d (74 e d
,a meast-.,ure, but -it is riot the measure.
Vhic: need +(:)r steadily ifyipr-(.-)v.i.nq institutional, c.apa(-:-ity
at least to the ri(,--od -for r.,F.Apital and financiall
in c..w(: ry instif.-.t.ttion,-4.1
ciannat be bot.mVit. with money alone. It needs direction, and it needs time. Neither (-i+ these are co stly in terms n+ ;.irid
ric. ither is a re.--idy fni;tcle item +nr sale on the mari,et.,
T)t,xiars have a persistence in
i n a. b i 1. j. t v to coordinate e++orts, F-Fperially 1.1,1 and exi..ension. Yet gome de(Iree ot is essential i.+ 1he
underst.a+.fed and t-inder-financed research or
Jr.1st.jtk..ff..J.on has df.nal with many r-fi.-wiors. 11-. ma,/ well be
1-he Eyest achieving dc:)n(-.)r-- will be
the research and extension institutions, to develop their
to the paint tmhich the-v cian e-fl:ect. the cf-icirdinal-.-ion
o-F donor e++nrtf.- and Ftlstablish their directicin.. 11,1'.7 IS CA completely +easiblc-- (:)b.jf-_,r-tJ.-,/e +(..)r the donor mho i-ias thf.2 will and
the, p(irsistence and accefas to ?.nt certivi.ri level o+
whict-i r:ari he n+.fer--td the Host. (:I e
ni..-)t require a larqe capital input.
H. f /E and IIN
ThiS SL.kMMarJZP.S SOMP (-j+ the material dist::uissed
. fnad( -.cjuate research-extensi on I i rikaqe has..-, onr-. o+ the most pc.-ersist.ent (:)+ problems. The techm-0.o.1y inrinvatior--i providv:- ,s a possible : e .,pl; .-kriation. Research has op(: rat ed at le-ff-. end (-)+ the mode1 arid extension at the ricitit, lemavinq the center- inadeq..tately --ittended. FSR/E has moved in to +ill that gapq arid ir-i d(-.ling so ma, ,/ provide t.,he key rig Tirik:age. 1+ it is. th(1 key both rrr ?search and e,.,tf:insion must be involved +or t.he potential to be realized. fhat involvement can I,-;e
qreatly +acilit, tkted j.-f donors will develop praiects with both (..Intitips a+ iutst one.
Another linkacie that riepds ispeci+ic attention is ImiAl.-I
-the InternAtional Technolocly Neti,,,jork (.[['N), which is the stnrel hot..tse +or the world's- rAnrJ.(-LA1tUr,::.d tpchnoloqy aru:1 knowl edqp. Most countries c-.ire rel,-ktivelv Pass] Ve in dealing with the FIN.. Pithor taking what. is c)++H.v-pd or n(-A. Few have an active program to search the ITN systematically for technology and I.mawledcle it needs or cot,.kld use with nrt: .eat pro+J.t.. Such a program needs -to be developed for many U)C's, and it, will. costconsider- .-tbly less than the investment needed to tec.hriology. SLAch importation will riot be a stopgap +or most countries. It. be a standard arrarmement.
1 Other IDefsig n (s.di tiei
I hese consi derat i ns hav,.e been di yft i I cI e -froem Lthfe
cx er i e .e + rjpcj on teaiims and i m mn~t1o and evAl. atA(i on teams who have dealt with dosi tin.
Do not r.. cx pt +: he d -i. on temto init iate poc
i mp1-)l e m ent at i. o n An i nformai. Survey or rapid reconnai stance madec d ur i ri q p ro j e. d(cesi q n o r b e fo)r e i fnp Rm e n ta ti o n w i I I se r ve .1i t ti.e of its in-tended purpose in facil1itatino ihe R/E pIcs It i s
necessary for- the impl1ementino FSR/E team to part cij pat(. i i t herprocess Learn ing + rem anol:her s rap idc survey isne~t ui adeqt..ate.
On the other hand, it. is reasonable t~o e-xpecft. -that the desi qn effort Icad to an improved tinderstanding between donora .nd the host country on the ni-Atu..re and r-equi.0re-ments of h technol ogy i nnovat dion proce.-ss and the wa-;y that the pro ic t. w ill hel.p meet some ot those requ.iremenits.
.2. Do not rely very heavily on neciotiat ion to solve.. som,(Ye
-fundaimental problems such as memoranda of u-nderstandi nr to~ achieve research and extension linkaqzie or pre-pro ject.areet to provided nat ional i nAnci a], suppor-t Lint il there i s a o.t product or process that justafi c esac-c en n 1n it
vlil1 not happen The project shoul d address t:his iscuc and so]. ye it over timft.
3. e carpi- iii that you,. do not f Ac ili tate proj ect managec. ntat t~he cos:-t of i mpedi no i nstituti onal dievel opment and 1 kos A proj ect mara :ement tiniat (-utsa de the Host Instiitt.:ionmaamn
former e. i.naesAn opportunity to address-7 basiic manao.termc.nt probl ems and de--nies the i nsti tu tion an epr1nc.1.1 1n~ A: Tt. :i. ona. fnanaqetnent can wellI be addressed -i. n the-r project.,
4. SecUndi no e._xtensi on personnel to research fdI ae
proj ect. mfanaqement, but it. leaves the Pxtensif.on enti L oti i th.-e process and qaysit. no ch1-ance to learn al onq wi th rese:-arc~h Design the project so that e xtensionx is involved and c-an demonstrate to-. itself i.ts own i nterest .in I inki no with resea- -:rch.
Coordi nati ng committees or speci a. coordi nation uni ts are
seldom very eff+ective-;. Linkane, wil11 come when lkinkage actJi-iies
(a) serve the se f-i nterests of both parties to the i nka(JFe- and
(b) they are provided for in position description and personnel evaluation criteria.
5. Allow plenty of -time for project desiqn.,
The ti me provided -for most proj ect desi on i.s adequate -For the work to be done.. but it o-+ften is not adequate for developing a working concensus among the donor, the Host Institution and the design team. this is especially important in col laborative mode projects. Here are some considerations.
work.Anq dr'a-ft. .."
Select your desis.c.in t"-,--am contractvii)r weli ahead timee i.-And arr.ancie +or +or the team leader to visit. countr-v ati a
morith ahead (:)i: the schedt..kled
Fhe t(=am leader on this trip ShOUld be. c-?xp(--r_-tvd to accofnplj.,_ ,h thesR ends.
a. He shaL.t1d Understand what t.he donor wants. dot-)(-)r may neefl to u.se his c.xn.trisel to help mak:e some +inal decisions rec:iardinq the project.
b. He shot.tld do c.ir initialie an 1.r1StAt(.Yt:iC3na1 i-Xn8lysis
the Host Institutions. This would include a dialocv..tcn? with iil--)e Hc.ist (:i(-)vernmPnt and Host on the, natt..tr6_--! an(A scope a+ the projc- c.t and its role in helping achieve their needs and Aspiraticiins.
c. He shoL.(ld clc-) a tentative plan a+ xAj(_-i)rt:: +(-jr
the prniect design,, including an outline (.j+ the document nef.7 ded by d(-)rior.
(J. He can ck. other ariinklyses needed +or the projf.- ct.
Bringing the t e za m lf.: ader in ahei-.td o+ tiMP i4OLAIA add I i t t 1, t.c) -tihe cast. i+ he (:: Ould do same studies and ..-.Anal yses ti.hAt k,- oud d have to be done anyway. It would cost time, in tihe sense that
donor wouid have.. to plan well ahead, but both tifn(-- -.-And fyiane ,,/ WOUld be saved in t.he improved product resultine, +rofn the improved commt.inic-a-tion.
T+ there is need +or studies and analyses to t.)H cione the design team begins iti ; work, VOU Can improve th(.a+ the desicin i-f you can k-.tsc ciesign team
-for, the StUdies and -:tnalyses. whether thf.- team Teader or riot,.
6. Anticipate cr,?valuaticin in (Jef:;j.qn staqp.
Expect. more t.han inerely a schedule? o+ evaluatir:iris in thF., ev ---iluation plan.. SOMP QUidelines are st.mgested in C-Tuikpter IV.
Some suciaests that it would be helpft..tl to have
c.x.ritinuity t:)etwcen the design team and thc evalL(9tion tei.-uris and c3n the evi-O.t.u.0-ion teams. (his would consist. o+ a dRsion team member being an subsequent evalL.tation teams. It cak..O.d also be handled by arranging for the same team -to do all f:-?valuations, oilat the same contractor.
work fAnl dra-..:t Z.
C1;H44'IER I V
The Desi(qn o
Research arnd Extension Proj ect~s
A ii !nrodUc i.or
h1-is chapter is intended for the team respo-nsi bie -for w o rk 'i n.1 orn pronj c. t d rs i cir However i t i s de r iv ed -Fromi an analysis of the :interests and needs of-j the host- a.:itao andl can be used as 'a basis of) di scussicon amoncp the team, the donor., and -the host i institution.
These guidel ines address bo-th research and extcensioni (R/E) axnd consi der t:echnol.ogy i nnovat:ion as a snq1eprocess, even thoUc~h in most cases two entities share responsib ilitv oramplementinq i.. Orient your work to the sincvile proccess"
In RIE: project d esigqn you.. do not deal directl:ty with
agiri cul Ura 1 product ion technology. You.) dea-_l w ithi organ iziatic on andl maoi.nacqement with -the ai m of+ :tmproivi ng the host cot..utntry ab ili ty to deal wi th -nQr icultUra.:l technologyy,
H. lechni cal Opsicin Considerations
1.. ase I ot.C)r design on a set of-) models that. are
consi stent wi th Pac~h other. Models will help ex pl.ai n the way y~. view the phenomena-. i0th w,-hich vaou. are deal ing. Phey will.he
-test your ideas and suqqigest new ones, and they Will pro'i-)ide a4 Common or..ett.o rall. of -the personne-l whoic are to- be
i nvolv'.ed in the pr-o Ject., That common oriett nwill i re.At]. Sac:i li tate common i(at ion amona the var-ious (IrouLps Wi thJ di \/r"SC' bac k--qroi..nds who will work on ithe proj ect dUr inQ i ts I i-fetifmEf..
Thi s se-t of qui del ines is based Irelyon the:
Technol ogy Innovation Prcess (T IP) Model and den vazti yesF fromy J. t,. It :is xp indi n Append ix A~ and suimmar izce-d i nvarou p a c: .0s You can use the Model ., moicdify, it, or develop one (..) you..r oDwni. F-s you devel op and use mcodelis, please report you.)~rexperience -to FSSP.,
-,a) fhe FIP Model provides A firm conceptu..al base for FSR/E. It also places FSR/E in context and shows both it~s potential va.'.eto the technol ogy i nnova.-.ti on process and its
1 imitation i-f viewed outside-: that process. FSR/E addresses the fu..nctions of integrat ion (knowing and u..nderstandi nq -farmers and their +arming sys-tm!s) ,testing (in the farming systems by criteri a-. of those systems) ,and adaptation (to improve the fit, of: the technol ogy -for the system and +For similar system.
o+ the technninqN"
prncF:- ss... IhPv F:- nablp research to selec-t profit. ?mFi.s of mcist relc ?%,/ance tx.) +arrners aru.1 irn search tc.)r innove-tions triost lik:el-v f it. lheii;e actionss serve to "+inish" the innovation Tic tha+-. extension can t.)e presented with +,7trmvr--ready Yhey Lreat a segment o+ the te.chnoloAy innovation pr ::icess iri which research and e-xterlsion both ha, /e an essential This fact iml: roves the chance,.:., +or
At the sami time, the Model shows the inadeq.,taciog 0+ thr ?se +uncti ans if they are not. lint.red -to a technology generating + U 1-1 C 7f-.J,(::)n (or sot..trc(7- of (:.)n the one hand af-wl to ia
function on the other. While they are essential-,
FSR/E functionss are n(.-A SU++iciF_-n-t in themselves.,
(b) It can be inferred from the -rip Model that -.4 r:nurltrv
can rely heavilv on international sot..trces o+ techn(-)1(::iqy, 1::)ut. -41'r-Om the tcims-ting furlc.ti(nn onward, a country mi..tst I-lave its ovin carn:-_- (:ity. Che interrlationRl tec-hno1c:nly cannot 1:)rovi.de them. Fhey are components o-f Basic National C.apacity.
ic). ReconcA.Ap Lh:7? orcl-anization of the R/E System oith the-. techrlaloqy innov, .41.Acm process, using the TIP Model. Use Fiqure TV healp (i) to deterfriinp a +easibl(e assi(Irlment of responsibilities to -Lhr. extension and research i. i t ci
re+le(-.:t. those assi qnm-_-nts in -the ..-An(J
extension, and (i i i ) -Lo relate the the two arqarlizatiorl : so thi.-At vati n -3 r s F- -it ined. the integrity of the techm:Angy inno n p r F mF.t i r a.
'I h i nk: of the rect --Anql e REX Y as the -total. c(-mbined R/E e-f + or t., .. However, the area f.--hokm +or each st..ib-unit dof.r s not
measi..tre its: imr.,ini-tance relative to -the total e++ort. becckt..tse eq.pal tAridt-.h is used +or the this illustrates an Jimparte.--int inadequacy o+ a model. such as this. While i : is 1..tsO+ul. +nrconce ptt..ialization, it value for analysis is iiriiited. D-ldeed I.+ pressed -too far as an analytical device, the model ina,/ do more mischief+ than qaod.
You will need to exp(rifnf.mt with vot.ir own lines. T h FiLiure will. help I./OU to Understand thE .kt"
+ the +t..mctions of the -technoloav innovati(:m process
friust b(;- -translated into job assignments,
+ Fhat eAch jot.) i.Assicinfrierit has to be assiq.ned -to &in
administrative entity ,
+ that the jobs must be related to each other within
each a+ the entities., and
+ "I"hat -the activities o+ Jle tWO er)titieS MUSt )-)E
rel ated in such way that the technology innovation process
can be i (Tip I cemented .
d e s i q n 8 1 V -
Chliv one QLAIdelino J.s critical T'he Lines
and orq -tnizational must !EilLant across
inria-vat-Aan +uvlctinns. 3nint participation in a +unctiorl Will +acilitate resear-ch and extension linkaAcie.
"Joint participation" does not mean "tdt..tplicatian (:)4Fhere are var-iC.)LAS aCtiVitieS and rolc: s involved in an.., C-14; t.he
-f-unctions, -and some r)+ them are best.. suited to research, .o extension.
11--ie modc: l an(l tl d. s .1 inp co(.t.[ (J s7z.erve as a
topic +or- a si:,eminar i:,hat, invnivetJ both research and r-I-tensit.-m-) m a n a q efTic.,?r-i t Suc I.-I .--k mee.J. nr i wriukl d 1-iel p a c h i e-vc.-a c nricerl (.)n
project objective. iE-. It. t"If.-)uld tend to C-mphasi-.,,e t.echnici--.11 and
mana(--lement live- prablefyis.,, and it.-. vj(: )uld
+aailitate p.xArticipation (-)+ host c(_-)untr,./ persanrlk .a.l. [R -Sear.ch and e,,-tensinn maru.-iclement ha,,e to draw thf, si- J. ines.
Use F j. q IV-lb t..) dri .kvj lines that seem +or
ynt.w cok..tntry. The +o.llo,,.i:inQ disct. tssion may bc--i 1-1 F.- I I.) + u 1.
Understand 'the +Ullcti wial. n e ci? 1:1 e d
The +uncti ans (::4 ti-ie I IP moded mt., st be tr-ansl"i-0.-P..(:)
activities, asf.-iigned 'to L.1171itS 0+ the R/E entitit.l ,s., and
reflected in job descriptions. FoUr r-. ssentj.al activi.t-y assi(Inments are identi-f ied. Some n+ them can varv considc--: rahly in scope and intensity. Some can L)e cambi ned and gnHd t.r.) onp
un i t In no case., hnviever, ran the functionall. A-ss_:ign(T)ent.s be neglected.
FnUr activi-ty assicIntrients are identified:
National Sublect Matter Research Ifzchnical Liaison and SL.(PPC.)rt Field Extension
fArea-speci+ic research responsibilities arf: .
+Jo know and understand th(.: +armer and his.-, prc.--,duction
csvstem (-.)r systems;
.+I(..i report problems and constraints and explain them
-to national sub.Ject matter- research;
+'('(--) test promi7-.inq ter.-A-inoloqips in the farming
+T. modify or help modify the technolnny to improve it--, +it in the armingq system and adapt it to other
-farminq systems; and
d es i (.1 n 8 T V_
Si .I. V- I a.. PIcti .lj ty sisi.(-I fnmeits t.etvieenr iee-hand (-- teinii on
E5', F)-inct ions cot t.-he Technol ocyv n nat I rin F:r- -c e ss:
Fe qh n q Dq' y nnyvA t i c)n P r ce ;s t rI d
S t oC: k Ec .1 enF: c e 1I-r Tec h Ii c- h Tec e rh 1T ec h 1'. f HE.. 11:*r (o:. c g 1 enratn t.Test nq.,. Aca t-.1 .l -. q Jtptn.
E t S.t m c atter R esearch /
+ f -.e. rc ..h /echnicalt/
I ji. aj. so n & I F i. dTc
*1 Support Ex~tension
Units to which Assiqned
Fict. IV-l:b. Activity A-~ssignment~s between Resue.-rcli and Ex teni. on, .5'. Ftm~cti ons n+ the echnol.ociv Innovati.com roes
1 Worl d a i a
;St CCk !Science, H ech t fe (-h t ech 1Te ch 1 ec: h 0 Df. us o
.. .... ..e a c ... ... .a ... ........)
I~~a:Inc C~nt Je inc AsInerii:pat sma
ae i V a aa
o co I I abor e lwi. t h tensi cin and ot her i s wht.-) u- kn
hell:i dissen-finate thc- ? tes-ted, -technad.o(ly.
research is o-ften done by teams i.i.
\/ -trietv ot names.. 1hesr:? teams, are key actors in t h
+ ac t or s I i M I t I r') Cl 8 (1 r i C U I t u r a I p r od t..tc t i on a n d i ri p t,,t t i n cl t h e
-f j. n i sh on t h n of (-.)g ',/.. IlUch n+ their ptitentiiL-O. depends on hot
they be in "(-,x)nditj.oninq" elemerits in th(,
national R/E System arid even the inttr national technology netvj(:.srk CI T 1\1 F h ft y fliuv:-vt be related witf-i the S iUppliers a-f a 1, t. e r n a t i v r- si, and with those who can deliver tht:?ir prodt.tct.
re-search de .--.ils in r ranqe c-+ and
problem areas, bUt its prooram orient;-,-.0-i(,wi it-, g(-:?oqr-4:Aphjc ;vtrr:n,,R and the +arming s, vstci ms (:)+ that area. It is. responsible +nr the inteqr-ity o-f the research prnciram by area needs and +a.rf(ling qystc m
b. National Subjgqt lvlatt-- r
..... ..... ..... ... --- .....
['11,1tiCirlal SLtb..ie(.--t matter research has two
+To support ar-ea-sT-.)ecj.+ic: res:-,earch, reii-ipondinf-.1 -to
problems arid dealing wif.-h hoth
m;--d-ter and ref ;earch methodoloqv. 1 t i s t 1-1 (: + j 1--st
(.)+ ;-4 rea-s-peci-fic research
+T'o provide ne;ew technolou,.jic ,.O altry rr-iatives tx) area
research te-ams an(J farmerss that is.. to provide technic-al leadership, to come with sr-.)mF.-.-th:incj
beyond what arr-a pe7r-s(-.)nncfl. i .ire b-,,,,
qPnerAtiri(---i new technology (,-jr- by itilf.v..)r-ting jt..
National BL.tbject matter resc- !arch has country,. wide
responsibility to mHirltairl the SLAbjeCt matter iritef-- rity o+ -Lfie research prorlil-ain. Its personnel needs to be specialized by subject matter.
tlatinnal subject. matter research *-.?++r-:)rts can v ,-Arv (:.1re-latly in size. They can substantial and assume refsponsiJlilitv +nrt.ecj-irjo.j.(.-)qy generation, i.e. genf. rate alt .ernatives they o++er thH field te :Afncs. Or they can be very
f.:)*:- rhaps one persor-i, and w (:) r k with t.he Fri"l to sutpPly technological alternatives. Or they can be anywhere in be-tvje7 -ri.
z e will be a +uriction o+ the cot.,tntry's reSOUrces and its strategy in research development. Even in any orie country, some praqrafyis c(-)uld be sutiall and others Iarrie. No matter- vit-lat scope ci+ the pr(.-jqram:'s work in generating its own new techric.-An(ly, it mutst still be responsible +or keeping uip with technalocly developments in the I+ri,,I. No ci. untry can a++ord riot to 1-::E*vp in t-.-.(-n.icli with the technoloqv netwnrf..--.
d (-- s j. q n 1-3 1 V-4
w c) r. I I c.I (A V
c. lcz chnical Liaison and SLAPP9.1 .
.. ..... .....
iflis activit.v assiqnmt- nt is not -found in man,,,, LAX. R, 'E
Svst(.-- ms, and this lack is c.ine expli-ination +or extensior-Cri., lifnJtE;?d e+tecti ..,eness. 1he a :,5sic ininents, activities, and re Fponsibilities associated with it arr- not well underf-,taoci. Yherc- mc.tst be sc3me mechanism by which A...'fie +iRld P-,tension agent can be l:i.nP:e..d e++ectively with Sources 0+ 1+ the link is noipresent,, Ac.jerits are not dp + i agto part c-4 the System and mus-l". si.ipply t.hfz- -i.-ec_-hnc.lc.-)qy +r-nm -their- awn resourr.-.,Ps. This has never
proven a viable alternat.-Ave.
IT-iere are f:ievPral optic)ns +nr-- P)rovidiriq this lin1---acP- Fhe research entity can provide it, extension can provide it,, or t-hef, can share iL. 1"echnical liaison and suq-.-.)pc)rt has threp maicir respnnsj.bj.lj.tj.et7-, which it wili clischarqe ti-irok..inh several akc t:i v i i es
+Orie is .o friainl.-airi li-Aisnn with ressea rch +c)r the I.-)urpose o+ Prnowincj abOUt anci underst and j. ric.1 -the current best
alterri;.ziktives available and about pramisinc)
wl t er na t J: ves t h,-xt -A r e b fe c o fn j. n n a v a i 1. a b 1. e I t m i s t n n t a r i I / k n c-) w abcn.tt the technc)lcjq ,,, Jt must Also haye the car..),1city f!.c) i.kriderstand the technology and to work with it-..
TV-i i s requi res at. I east 1--lal + t he I L.S Sta-f + I lave f. c)r(fla.1 t.rai rij. rig -to the same 1 evel as -iirea resetitkrch j-)er-.7,c.snne1. prcbzifl.A.
the 1-1. S. degree, and al .1 shot.0 d have acJeq.tate trai rill. rig .
cil 1 aboratA on wi th the 4: i el d r(-. search jr n test.-i. na a r .) d
Adaptation is the single most e++ective way o+ .-.eepin j Up 4ithf
deve1r)pmen-L.. Hy this collaboration e.,-ftensicui (:.-.An
in-form it.spl+ o-f the technology and Underc_,tand it. It can give
a bettF. r test than can reearc-Ji wiJ:hcJtkt.. t h i
col I aborati on, thus ervi ric-1 i t!., own i rit er-e-i-,t. Finally, -for the technolci(ly t.hat. cloes stand the test, t-he extension procf.- 77.s ifEto an early start.
C. nJlabc)r-a-t:A(..)n also + ac-JAi(-'_ates e.-ttension part i cA pati on in Tir-oblem identi.-fication and problem definition and in decidinci what p .-.Asses the tests,,
4-The second responsibility n+ technical liaison and st.tryport personnel is to liaison with input SLApplier-S to iMr.1r-0Ve the chances -that -t..he right inpi.As will be available +ar that. techricAcmy embodied iri input!:i. In the cAs-i o+ seed., this unit cokAld recrUit prodi.tcZers o+ improved varieties.
+The third responsibility is tx) prnvi.de technical F..,upport to +ield sta++. Fhe +ield s-ta++., b,./ JA.-.s very pos-0--ing,
Will qUickly become isolated +rom the rest cnt+ the system, i+ the system is not energetic in [---.eepjnq it integrated.
d rc ? s j. cl n 8 1 V__'_)
kA o r k n q di r a.f +
1 echn ica.]. su.p port tac:t .Avi t i i ncl.ud e t rair iing o CH c'r..l d
rerf.q ).t: i. on of ret er erice mat eria a 1 and tri.nani (I s I: Ut..bi.e s.hooi1nq and response to acient!:-; requests t-or help. lrairi nn of f i. c d agents needs to be :tntecoral to thF. efctnsi on pr ogram, not an ad hot.-. !.er vicp -from o-ther ent i i. T..i aaniang iF, he p ri nciapl..e means ,,j h ich norjtionext en cir.on rsstc- n tra .de, +Flows thro-I.tqh the system. Fi eJ. d agent trai ni nq needs toC. b(, part of the proo(raRM of+ techna oson and: SU.port personnel
a nd w r i t- e n i. n t o J ob de-s cr i p t i onn ..
Unt.1 i we can provide better in-formationt think in tmsof one TLS~ person -for every twelve field aclents, with hal+ the i:S personnel +fo-)r ma I tr ai ned t o the s amfe I Ee of (- a refA r e se rch personnel and the other half with traininq, short-term and otherwise, well beyond that ofj the extension -field agent.
I he performance of -the fiel agent is an e: xceptiona -lly Cjood indica-.tor o-f the performance of the esachexesio system.
With fewj exceptions, inadeqUacy in his per-formance is du..e -to deficiencies in the technoloqy innova-tion systt.?n., more than to
def ciencacet the acjent.
~qn.to farmer ratio or fo-.rmal=k training o.3+ th1-e avqent, h o--h often cited aF~s major probl e-:ms, are not near ly as important, to aqeIn. pr + -r-f o rnc e a s a re thI-ie quL taIit f t./ih e, t echI--inoC_. oqi c.AlI information the system makes i-avail ahle and the trai ni nq and other technical support he pets from the rest of the research and( exi tendion system. The aqent is an instrument o-f the system and cannot be expec*.(.ted to be an autonomoi. ,.-s forcf. -i n himyself+
. he firci. d aqent. has two ma Jor r-espons iilities--toantr
+~armers n1- new (to the farmer ) techno-.laop i caL aIL tern it 1 "es a:nd to:i.ntutthem in how to use the technolc oq i e s. He i s also.responsible fo~r reporting on performance of the tec-hnolr..qy n farmer prob.l ems and needs.We k-.now of.i no rule of th1-kumib for the number ofj i eld arpe..nts needed. It is clear-, however., -that many country es have more.aqents- than they can su..ppo.-rt adepqiatP.ly/, either technically or
1 opi st i. calmly Al most all countries have? a hi pher r-at io of agrents to LSpersonnel than i s dcci re-abl. Eiryce a-.nd Evenc.-.o present some analyses that i ndi cate LDC.s tend to over invest in extension compared to research. (Bryce, James iKc and Robert E Evenson, ep cultural. Research and Extensiro, Agri cul tt.ural Development [iounc:ii, 1975, pp 8-10) It will rarely be the ca-. se that more field aqents can be justified. It is better to st..tpport the present ones more effectively.
5'The above: discu..ssion provides the best rcasoing avaa labIle to Justi fy the need to address both r-esearch and extension in a single project. Working with both entities in a sinplc!e project will provide a common orientation to both entities and will provide resources to both entities, dedicated to the
desipn8 I' V-6
samcffe pitrpose. Often in kaqc-e ca--nnot happen because oner- c: the entities is si mpl y niot capable ot,) ho]. di no- up its end 0 the I i nk -:a 9e., 'The need -to wo vuith both ent i tiocs a addressed ini
-the section on pojtdevelopment 1+ -the proj eci(:-t -.s oi -. cli.na]. I conceived does niot. intend to pr::with both entities, do0 what 'Ou ca,-n to get same resources and- technical asi tac i to the other
OVEI ri ,*c n i + l.1parti1ci pat ion of-3 both is notfai ia
. ge en ..... ... ....i derat io. qnS.,
Ihe -techni Cal aspects of R E are -c omet i mes the easi est. t o aC(compTF. 1.i sh. Uan tionAnid management are more cii ut u oftten they are the variable es that make the di-fference. Here aresome pt.indel es that will increase your chan-ce +or success,
1. Personnel Tral ni nq
irai Filnq is on~e means by which yout devel op the hut-man
resou.r-ce, but trajini np may niot automati ca].l1y achi eve the results you- need.
a. ha* c daqenrt needs cont i nu..ous tr i n.i no ,.n that trai ni ng needs to be an i ntepral. part o+ the ax tensl.onproqram. [-hat is one o the reasons that the [echni cal fia o and Support Unit is so i mprl-rant It must provi de~ technical: support to the -fipl.d sta-ff arid a pr inc ipal means of-i dol no so by tr aini ng. Field apent training needs to be speci fi c to the:-7 technology extension is promoting. Extension deals in i nf rmat ion., and trai ni nc. is one of -the ways i.t processes anid mnanages i nfor mat ion.
b. I LS personnel need to be trai ned up to the le-7vel of+ the field research teams. The only alternative is for the Sf i. l resarc t eiams or somre oth er u.ni t of research 1,to assInme the technical Support functi ons,.R,.nd that requires more trained personne-:l in research.
.Fr..r both r-esearch and cxl a-.nsio)n, ,,you cag.ki gain so.-me time arid economies by giving U.SE. quality qradu-ate -traiinq in country.. This Could be given for- nradu..atfia credit, which wod111 d hel p insu-re qual i -. you cankr do.- it in off seasons, ei ther b:' hri~np.i no in pra~essors on short term ass3. onmrents or by uxsinq member-s of the con tractor teamv.
d. [he- possibilities -for self+ training are
s i. pnj.+ i cant. Both research and ex-tensi on are deal ing with new information and this experience offe-rs Chances for semi nars in which personnel can li 1terall1y train themselves. Oine o-f the rea. o-.pportuni ties are in, meetings in which research res.il ts., inc].u~di nn on farm trial and per-haps even demonstratiAons, are reported anid ani-alyzed anid in which research plans arefrmilad. Tfhes-:e can be semintar-ety].e inrvol vi nq both research and extension pe.-rsonnel and accomplish an eduIcational funtrction as iwel ] as an adi ni strati ve-techni.(:,k cal fncti on.
(I es. .o n 8 IV-7
i,-j(-)rk:j.ncj dra+t '31'
2. Hc-.ist Insi-iti.ttion 111anac.lement
host. insiti-Lutior-i need-, helf.--) with, frAnagement, an(l virtually everv prr_)ject can br ? fnade fr(::)r-e e++e(.Aive i+ it includes some managc-'afyient assistan(:--'e to the h(-.sst. inStAtI.Ation, especiAlly i+ in!3titiutiorval is
considered a desired end.
H., IncidE ClUat-A- *jC:)Cji5tj.C SUpport -for ai i(l e.,xt.-.ensiari
is a pr-(_-ibJRm,. It will be di.-f-ficult. to achieve, bt-_- caitse (1)(ist
L.DC (-.invernments are Under to Llive F_-mP1(.)Vment to friar.*Iv
people as and incre,-:isinq the bt..td(,-iet (C)L.Itside donor
1Atill be slow, dj.++j.(-,:LkJA and Y) n t. h F...b e s t V 0 U c a n
Resist P.-pandinq the +ield -extension sta++., unless there i n an exception -_xl. opportunity. There are +ew situations in which nui.mber o+ +ield agents is a serious lift0Ain(:.j +actor. Fhere c-are many in which support is,. Field agent to +armer ratio has, li-ttle MF* aninq vnthoutt adequi:-kt.e lotiistic and technical si..ipT:)ort.
11(_-)ve research into new areas be-fore expanding exteni:.5j.(::)n., 1+ kJ--iere is no source o-F +,.-krfner-read,/ little +t,.tnctA(.-3n,,
I ax.-.) P: t 0. a 5 (narl y al t e r n at i ve s as yoi..( c a n st. + or ex 1:)a n d j ri q logistic s1,.(pport.'
(b) A second major problc-- m is the lack +ir-)an(-.1.ial
resources adequate -to -the +unction expected o+ the research and extension
Vk.AJ.ntAinini,.1 st-ipport, +or an (-)rcianj.zHti(:.jn is Jt..tst. ---!s
important if-) j.)LA)1.1C administration As is developing and mainti-tininq a (--lood pr(-)(::trafyi. Many techniqk.,kes ha-ve been devpiope(l over time, anti many o+ them can be +itted to the host cot..in-try and hf.-)st, institt..ition situation.
Here are some alternati-ves that (:.--an be considered.
+ 11ai.-:e a re( -ord o+ per+ (.- romance and success.
Translate :into m(-.)netary -terms and sV-ills and
program activities -to inform those wh(.-j hold the purse.
+ Present the research and e.,tensit-w-i f--)roqraffi as
an investment rather than a cost..
+ ivlakp tise o+ "advisory (-.-:oi,.tncils" and name people
i-in -them who know the system, who can legitamize the R/E
pringram. and who can actt.,(ally help in+lt..tence -fund
al 1, doctors.
+ Don't overlook. other donors. Donors inav be. a
quasi-permanent source o+ support in (.Some COL.11-I'tries.
Jes i (In 8 TV-8
wku- V-.-. i n q dr- i + t :.7,
L(:m::4-.. -for.- pr--ivate. s(..IpPnr-.t. III: 1 0_11
c ome a r, esu. I. p 1- 0 (-.1 r a I I I ac t i v i a t. se I,
cominprci.a.l. inf,(-:?r-est. FI.-Iis amp LmO-.
don t b e (.)vr-:?i- 1. ,, + etikrt ul
+ C ;onqider- a permanent position in thc: H(:)!:--,t
DlStitLA'Aon with the sole responsibility o+ acquir-ino +inar-icial st-ippoirt., This pasitim-, be ver-y cjns(.
-Fn top to emphi-isize the +act that r-esour-ce
is a. al8jOr- r-esponsibility (-.j+
(c) LinkaLle the intf.-r-national tec.hnoloqv netl^wwk.
witf-I the hos-t-. j.n,..,titLktic..7n Lleinq In A v-(.- ,.' t(:: tive
mode and I:.,avinq all. dir-ection and initiative. to some, (...?n ti y Wif-A-i a basic national capacity in and extension
(-Jiscl..Issed elsei.-jf-iere :in this handbocA.-, -t.-he host institutior-I is.. in
a position take the initiative and help s-et direction iind
scope o+ ther .::nllabor-ation tmith intpr-national entity ess. W'wevei-, it. needs. a system and a pr-oqri-Am +t)r- doinc.1 so,. HPrr,.? ar-e somie i deas t h -At (7: a n be wor tt-. ed i n t o A- p v-- (--) i ec t ..
+ Develop a plan or- program or system by which
. C. I kAJ
hot.;t institt.itit-ui are to (nair-ifain J. I~
the inter-national and as!.sign
to persarici, (.-.)r poEii-kions. V: F.- .1. J. r i 1-: a q
a significant par-t a-f thp -job descripi-,Aon,,
+ Provide suibscr-iptiong -t-.-n -0,-.)ur-nais and tx) oth(.- r
r-elevant puI-.)lici..;.tions or- in+or-mation spr-vices.
+ Provide travel to scientific meetings and t.o
i-esear-ch stations whei-e work- is being done.,
Ir-avel cat.fl.d be As. -frequtent as once a vear.
+ Facilitai-e contacts between host insi-itution
pc rsonnf.:!l that can be m,--iintained by mail and per-h -.)ps occasional visits. 4 +eW pal'tiCUlai-ly good contFiitcts
can be brcm.,tqht in as consi..tltants +or -the express
pi..tr-pase o+ est.ablishin(74 lonq tim(na? link.s. fhi!-i can
r-kls(.-) inc.-lude helping to miziintain contact with majorpro+essors oi- other- pr-o+essors (:)+ HI prer-sonnel.
The contr--Actor's home o++ice can be help+Ul in setting
UP and maintaining cf..)ntact.s. Participants in decv-ee
COkArS---,e.S can aim at establishing these lir-4-. aqes.
QJ) 1"Icyst Host Institutions will be in ar-eat nee.d (.3+ strategic planning. fhey need a lon(.1 time plan that sets
program direction, sets goals as to scope and pr-oqr-am, and includes A strategy -f(..)r r-eaching the goals. WithntAt SLA(--.h a lonq range plan, Qr-owth is not t. o n c .- i..t r 1+ it does, it will
be haphazar-d. 1+ .J-ie institUtion does not have such a plan, I-hen donor support will +allot,,,i donor criter-ia bec. _kuse thel-e is no national criter-it.k.
vxm- ---Anq drLk+t 5
1he rwoject can inclUde zi component to facilitatee !7--il-tch a
p I n SIAC-h i..A component would not be costl,/ to the project. M C) s t n+ tl e viork i-ieeds to be done 1 :)V thf: ? host. institut.ini-i, L)ut. tl-fe prc3cessi is -fairly tediC)Us, a n d s o m e t c h n i c: a 1. a-sistance CoUld bE? t..t s p + u I It could Lip by sihnrf. (- erm persons, perhaps in r, peatecl tOl-Ar F, SLAPf1JA7MentCNJ by he4p +rom the pro.ject. implc-wientaticm
1::).1ann.1,nc.J c(,-.)L.(Id takp place over I.i+f? c.+ project., Ev(-n-i f.-A-10LIC31-1 Ioncl V-Un planning is needed, many actions nciRd to taken in the shc)rt run.
# :i majc)r :0:,suF,? in striat-.ecv.c: plar-11-linq is tt-tc..? extent t.c) lAthich the country will depend cir, in-ternat.ional. sources c)+ technc11c)(1y a n d t.-. h e n a t. Lt r f.) + t h a. -t: d e p e.-.. n d e n (.-- e_ This issue", in tUrn, Is
critAc:id. +or thcl l cwpanizaticm and operation cJ+ the !:w'stem in the shart rLkT-1, starting today.
f.e) link.aqe mt..mt :5tart vn.th
and m(..tst Lip encouraged and st.tpported by manaqc-:. ment, even though most (.)+ the work: and action takes. place in -Fechnica1-.-)rc)qrafD activif-Aes. H-lis sukb ject is treated in various places thr-nuqh t.his and needs, to be central to the project.
(+) PersonnRl manaclement and development is another
important issue +or institutior-tal manAc;ement. qiven the +act th,-,A personnel is by -far- the most important resource in and
extension. It i- B common to thin :: c)+ pHy-s-ionnPI problems in tc rm :.' o+ salary, bLAt th(!N-Cr are Other J.SSUes involved. Personnel will rRspond to opportk..tnity +or development. And -to do a noci. Job.
P-issignments are an important element in both motivAticm c--.knd development o+ persoi-inel. *11--le Assiqnment, +(-)r example, to maintain contact with intern...ational sources o+ techrfoic)qv v)ould help devf.---I.op and maintain many persons at a low
sa 1. -zA r y
ReSCHArces, to (-. ?nable person to develop a clood procIram WOLAId also be both a mc)-tivation And a development ins- rumpnt-T*his emphasi.7es the need +(:-)r an activf.F V,-.)rc)qrafn in resource EACqUl ssi ti on. O+tpn the resources !T* needed to enikble Person tc) work are not qrpat, and ac:q-tirincl resc-)k-tr-c-c- s in small. F..uyiauints sometimes simplifies. the job.
i Anotl-ier important element in personnel .-And
development is particil.jation in important matters (.)+ the i n s ti t. i..i t i on I'lanagement can solicit participa-t..-ion, +ar examplee, in strategic planning as wiell a!-., in managing the routine c-j+ the institutic.vi.
Traininc1 is not the only element involved in personnel d eve I c3p men t The design -teafn needs consider this iss(,.ke as part (:)+ the project's cc3typonent in manaqpmen-t.-..
desiqne I V 1.
F CAb r u a r Y 1. 9 8 F
F t j. o n a I D e!E- i (.1 n f.o n e r a t i r.) n s
I~ ~ I., 1 .1 1 ... .. .. .- : .. ..... ... . ". ._ llj.....
N b e s -t o r q n i z A t i n n a I +arm +or t.he F-( E 1-E)ystem has been identified and iusti+ied. Yoi.A can +eel tairlv however, -thi-it 'the assignments, discussed in Bection E' -.;.bove, needed -to mak:e the tpchnolocly inn(-wation process. that i+ provided they will indeed do so. 1he "assicinments" have been deri-ved +rom experience. HssitInments divide up tl-ip functionss and responsibilities. As a result. they t.end to divid-:.,
-the arqanizatinn as well. LWrianization MUSt relate the divisions so that the R/E procIram is de +acto at intc-Mri-atted program.
(_)rqanizat-L(.-jn to f--.tri.ActL.tre,. how the
to each other. However, it is important that the job description o+ ea.ch LAnit which has been assigned a responsib-Lli-1--.-,1, pro,,,,i(Jes for act-Avities thAt vvill link that assiqnmpnt e++ectivelv to ass-tcjnments received by nther t.Anits. lhuts, job d(-:?s(:-r:ipt_:0.-,)n becomes as important ass: the structure o+ the organization.
lhi.As, tw..) criteria MLAst be satisfied:
-fhe resp(.-,nsibi1it%/ assignments must. cover the +owisii-icInments, discusse(.1 and -axpla:tne(J in 1 3 t..ion B., 1h( e++orts can I.-) e fT) o d e s t b u t i--i m LA F t LA t t. e n d t o t h + o u r r c-- sp (,') n s i 1.) i 1. :1. U. e s
+-- Job descriptions musit be vjrit.tf:-?n St..) that ther(-. sr)cnsibilities are attended and so that each as,7,j.qnfl-jent linked e++ectivelv with othet- assicinments.
f4hen ycit.A are worl,.inq with or(janizationai issues, yout must. have more inter:kction with -the host. institution and the host cni.tntry than is essential nn design o+ other project plements.. You ali_io mav nt.-)t be able to F-.tchieve a resnD.Ation during design o+ organizational Whi--vt yout car-, do, however, is, to C)p( 1-1 LAP
the probit.-nn, net peciplp started to be concerned at)01.vt (-.irqanization arid organizational Altprnativ(--Rs, and tx,) improve chances that the implementation team can address them ef+ectively.. Tht.A5, design shOLAld to fyl --Ak.e a
relevant issi.Ae o-f the project, a legitimate isst.Ap +or the prclject to address:, It sh0LAJd also make resources available_ Vhis k:ind o+ issue will not ta --:e manv resources, but the cynes -that are nee(Jed may well be
I C)rq -:in i z at i on Al tprna t i ves
1hpre are several alternatives +or organization a rt d +or combination n+ al-ternatives. Those listed here t 0.11 be help-ful in Starting -An iiAnalrtical process that will I.E,?ad to a relevant. orqAnizational +orm +or -the specific SitUation. some (nay +it as they are., otherss will almost certainly need adaptatic:)n.
I-) s q n i i 9 1 V_ 1 1.
working dra-t 3
a. One alternative is to assign each responsibility to an administrative unit or units.. Thus., each subject matter program woul d be an admi nistrative unit, even though small. By the same token area-speci.fic research would be assigned to units, a team for each area.
The technical support and liaison +unction could be
assigned to one unit in the extension entity. It could also be assigned to several units, organized by subject matter or by geographic areas. in most cases the field extension agents are organized into units that would +it into a total system.
Size of country and thus size of the research and extension entities will be important factors in orqanizati-on. In l::eneral the simpler an organization can be the better. In sinmall operations, +o.)r example, o-ne unit co.iuld handle the technical liaison and support responsibility, without subdivisions. As size i ncreases, sub-d:i visi ons will be needed
b. Area Specific Research
On-farm research teams (FSR teams) is one way to
organize area specific research. These teams can answer directive to the research director; they can answer to a technical director who is also responsible for subject matter research; or they, could answer to an "area research deputy" who in turn answers to the director of research. In cases in which area-specific research is rather new and not well integrated into the program, a deputy director could be useful in helping the research entity and the teams learn and perform this new assignment of responsibi 1 i ty.
Ain alternative to on-farm research teams is the branch
experiment station. This requires, however, (a) that the station adequately reflects the area's ecoloqy, (b) that the researchers spend a great deal of time with +armers, and ((c-) that they work closely with extension.
There could be a combination of the two. Even on-farm
researchs teams need a headquarters. In some countries in which on-farm research is emphasized. the branch station is known as a production center rather than an experiment station. If the branch station work is emphasized, there needs to be some on-farm work. If research personnel have trouble getting off the station, extension through demonstration and trials may be able to serve the function of ke::epinq close contact with farmers.
Area-specific research personnel need to be to some degree extension workers, and this needs to be reflected in their job descriptions. Their major responsibility is to test and adapt technoloqvy, but that is so close to extension that it is difficult to tell what is research and what is extension. They need to be sensitive to farmer needs and to extension needs and above all not to worry about distinquishina research from ex tensi on.
vi c.) v- k i r i q d r a f t
r. Si..ibiect Matter Research
I hi s r(i- spans bi .[ ity c. an be assi q ned to i, there iRF-9 F1-1C1Uqh F30!rsonnel to provide te;:.ims. T+ is .k severe resm.trce constraint. herp may be it..(st one t..tnit th.it is charged with C-Qnt-.act vtith international sciurces nt
t h n ol v It c, icit..tld be crnstitut ed 1-.iy specialists.
The suti iect matter research per,.:.,onnel are responsible +(.)r- a(:--ountry-widt-: prcm-jr,.-im o+ research., Members c)+ a cc)(1)(11ocil.tv t(-. am
ccxtid be stationed in several There needs to be
so th ,%t- there is A sincile, natinmr.0. prc)qram.
d. Relatinq rn.atter and area-sp. g..JA'ic rL--.s(--:?,:krqh.
.... ..... ..... _., .." T ..... .....
It. is just as important -to link these two (-..1 events together vjithiv-i reseArch as it i.s to link reseRr(-.h witt-i extension, And snme-times, it. is almost as di++icult.. 'r v, c--e r ( i s
enc t -ir -j elements worP.inq tcxiethev- very m p.1 H ex p e e n+ -1 ti,%j(.
ef + ec: t j. ve I V. Jhe key has been the recognition c)+ the service i-l-i(, ? othere" ciroup CCNAld y.:)rc:)\/jdr-. AreA-fF:peci+j.c-_ resf, airch.1 -f CD F example, can give matter technology cit +Ar cjrr -kter test.
than st,,tbject mat-Ler research can. It C-An i(-Ief'lti+V PF"Otd.eml..
o+ much more 8nd help ovalutate -them arid pl., n
V- e se a r c. h On the c_-)A.J-)er h;.:knd si..tbjRc-.:t. mati:c: r re z:,Rarch is the
+irst o+ the +ic teiwms and is are,7k ic
r e s (-; a r c: I Cs link v.,ith t1--te vjc)rld., Hrea-speaci+ic- r.mser4-.4r(-_J-i hfi-.4.s
limiAP(I potential withotA this source... 0+ t.echnnimly.
LJnder severe resource cnn.str,-,xints,, personnel in Sub j (,.e c t natter research can 1,-je reduc -ed with less harmful -impact tA-lan, in res(i*arch. The rnuntry can re'lv on tf-m.- vic.)rld
SCV.Arf::(- n+ technology, t)k.,tt not +c1r iz- rea-speci+ic. However, subjec.l- matter research has tc) be orcjanj.-..ed,. planned. iand (nanagec-1 to Hchievc..- this end. It:. doesn't Fl.f"Ply L)",
rr_-- duvzi ng 1:)ersonnr;: l .
The fnatrix +c-)rm o+ research (.-)rci .-mizAtion V)as vmnr .:ed kmel I
in some ex per ii, ences. It is, depicted in Fiqi..tre: IV--2. T hi s F, h c) ix, s.ft the st,.tbiect matter pear. le havF- tc.) maintain in c :+
-the subject matter prclaram, countrywide, while a1ccomndatinel the needs o+ ArPa-qpPm+ic rpse.arch. resear-c-1-1 is
responsible that the research prociram serves the -fa.rmer!s r.i+ tl--)c area while accn(Tic.datina the needs, and resources o+ the sijbject mattf.- r programs. These accommodations are more +ruit+u]. and e+-fective i+ there is ioint e++c)rt in rpviewinq research re 5ults and in planning annUal research pro(Irams. These Joint research review and plav-tninq m#.-etinqs are activities.
In the e experiencee with the matrix., all teams ans1,Ajered to -k technical director. It. should serve as well. j,+ there. w+=r-v.-. ak
to -the director tor sutbjPr.t matter research and -for are;ii specific research,.
F i q..cr )- 12. Research LOrqan 1 at 1on Ma-.ttrix
S th I.. oct fir es-Spec i f-c Research Units
Un j. t-.~ s rea.- 1. Arca 2 Ar(OaU Pirea 4 Areoa n
Ce ea I
4i h Ir
. .. .. . . . ... .. . . . . .
Thi syte o+ or4aiainws lvlie n tc4: + ct v l in Gu t m l by I4-A Fh 4i:-s:e ~~c c,?(-~
liii ns) syte of area. n The at n.ov was de opne and use
+:ar-mi ncj system (s) and (enOUch of) the techncalociy so that they: can help ad jt~vt the subject matter research prncprams--- to tha-i-t area,.
()l-. the same ti me the national ,or systemn-wi do) sub ject. matter research prociran leaders are responsible +or the subject matter integrity of the procIrams. Where the lin__? intersect,* rec:oncili nation must tak--e 0+ae ~ course no one
1. s completely happy, b,:ut under proper leadership tfrnm top management. totat proiciram inrteqri ty c:an b::e m tind
Reconcili.at ion takes place at annu..al moeti ncqs in which research results of -the past. Year .Are reported And a-.nalyzed and research plans f:or the nexct Year are mace,, Top fnanaciemo-nt mnay have to take an activfe-- role,. 4 If eetJi rcis can be held in the area, it may hel p.
The national subject matter procir--ams can think-. of
qenerwatinq tec-rhnc-Lnc-.y if+ national resources permit teamsn with thi1s capac ity. The prociams can also be manned wi th very small teamms who depend on the~ international network.: and imported technc)o oq under more severe resource constrainots.
mnatrx8 IY-1 3a
k -.t n q dr- t
e,. fec.hpical liaison and support.
. ..... ....
T*his responsible lity is: pei-haps the ssinql, most
nectlected area (-.)+ in research :--tnd e-t-ension. In very -1 f-,w
countries outside the United States-, is thi!:z, r-c2,sponsibi lit," a d e qt..t a t e I y hand]. ed. I-hi,7, responsibility is vital o
extension. There is virtually no way the field aqi ?nt c,:.kn rer-+otrm
a d E? (.1 Lk Z-1 t. I Y unless. this assignment is c:Rrripd C)Ut (,96 11. I t S/ h e does, s/he is acting independfnntIv of the system, as an
aLk t. CNI C) MOUS ;Aqent, not an extension of the svstefyi.
The most effective alternative is -For the c?,,,tenf.-zion eni-A-l-,/ LO .ISeUme this rc.Ie, assicln persons tc.3 it, I.-r-ovido? thc.-. m t.rainincl needed +Mr- tl'-)P +LAnction, chiim-'cle them w j. t h F:%. + + e c: t .1. r! 1:1 linkkcie to research, Hnc:J sk..tpportinq (-..hp.m with resok.,trc es
task:. With ;-zo-i adecluate arid suppcirt
p n si o n ca n c- + + e c t .1. J. a i n t- h o t h e r s c))..i r (... e s o + + there, is more than one- rpsp, .--rc:h entity in th(-. CnLAntI--\.,. f I-ti ul"I
can also hein wi-i--h area-spec:ttic f:. T ..kl .1, ".!, t, 1.
t. e (.-: h n j. c: a 1. 1 1 a i. i-: on a. n d !. U ID If.) 0 r t IM-1 .1 1.. W C ) U 1. d d J- q... c: 1-1 ..4. r (.1 'A 1 1. t h e
eXf.)Ect(.:?d c.)+ the weil t. 1.3 t'('- J.*,
C-ine is tc)
j. n the.3 i interest o+ the (en*t*..iA:.v to dc-- i. t .
(ILm.:?s I.-Iot ;ksst..tfYie
r to -facj.iltate thle role, 1:
.1. Fz --s C' .! I I (-.) (TI 1: t V, e s r u t a V -1 cl *.i. t t k-, ? r i -j k k . t i i 3 1
e .k (,:.I e 1- -1 t iz 1, 1 F.-? fi ? c + r i: i a r c: 1, -f a "Z., s k (1) F..? S t i- -, E I f.. S 17 C a I Si 1. C 3. 1 1 t I r !
1::) 1H, -t'. 1:.. t c: n I.:) *.- I.-) n 1::) c:I t cy r i. s + o t re'.1spcarch pirci(notc.,I
i s KI J. .1. .1. I'j (.: a 1'r, J. I-I q t. (f r + s i. k I.-) P C.) F t t o (I t
I+ accepts, this: c).f.t.en
t h r k..! cl i:-. h e r e s vi? a r (.,- h e- +.-. e n iii i a n .1. 1. :-A.i. i (.,:) n !-.) -tl + i c & r 1 h (r ? -?- a c
:'L!:-, re+r jrred to in thf..? sinclular, indicates the minifflum lr--vei it (np 1. n + 7. c t 1: 4:i, L h a t e.. c h n i (-.: a 1 .1, i a i s n n a n d S u F..) p a r t 1 J.-I :t i I.-I
1-. e I- I s i o 1.1 j. t s -F. i I I ma v 1--) e .-:1 q o ., d i cl c.? a + n r t h e r 9 -, e c .k r c t i (o ? n t j. t, ./ t ci
h v ( ='I r C:? s e a r c h e- t.. e I-) I (:-.' n 1. 1. a i s; C.) n + + j. c: r 1 h e r P s--. p) (:) i--) b i 1. 1. t v C-I t
t h i fsi o -t; + i c C: r c: ":R 1-1 a 1. s o b c-- b r o i-t cl e n e d t c) j. n c 1 u d e 1.) u I I e t i n s, d j. o by-c.ax-Acast.s,, anci (::)ther in+ormi ,ticni servic-HS.,
S-FiIA arlother Alternati.ve is the veri+icati.on
at +J er in His +Unction iE- tn take the tectinci1c.)cly
-th,--kt resf,-arch is recomfw. :,ndincj and vpri+,., it in the conditions in which Pxtensic)n pr(7.)qrAm--* arp... wcwkina. Ihe e-tensinn
trial is Anot-.her form of t-he testing and adaptation trials, o+ r-F: search and is 8 lerjItiITIc:ktP and necessary tuinction +or ext-.ensic.-.u-i tro p-?r-+or(ii,, The verification label does r int indicat(v? that
SL.kppc3rt function i.s adequately handled.
In very small coutntrips '. area-speci+ic research -.An(:!
tec..hnical liaisc.)n and support could be c:c)n,:.,c)J.idate d int.c. a sinclie un i t it wol-tld be responsible +or testinfi and adaptincl
tecl--inoloqy introduced by the S-LAb je.t finatt.er- research arid
promoting it throc.u.1h the field agents.
t~irk j.1 rcl d r ft. +
E. EvalIuatinn Clonsider at i nsz
Vhei d e s i (.In t- e am 1-ias a n J.m)pc)r t: ant r e spron j-i i? i y + c)r
eval j.ua ons It t do more thantr as.cert tha-t theF.re wi I I.b so m any\ e', al uat i (-)n s at ce ttn :i me. IH n k in thr outih an ev t i scheme vii I]. hel p make the desi qn more real j. st-i c
1 gircei an1PVA eva t it on prcesr p a.
[here are several ways-- in which thi s can- be clone. Here-: is one. YoUL C:,7r an ue i t or make some mod i i cat ion of) it..
a.. Desc r :i be :: th1e c-,ur ren t si t uat j. o.n i i nt.e r ys. r--e I e van. to t he project and make some project ion o+ what the Si tuLat 1 on Would be at -the end of) -the project if no interventions W.,ere madMe,,
Li. Describe the desired situation at the end of the project period. I+ a -fol.low on project. :is anticipated, descra be
-the desi red ci tUatiton at the end cof the -fol.low up project and anti ci pate what the i nterim sitt nation, at the e-nd o+ th + irslt. p roj ec t Would be. It will be necessary to state the va .[ULi
sysemyout are isn-faman come,. iisti tuticon a chan cje, num.f~ber o+ people i nvo.ved -total production, orcianizationa]. and mizanaclemenlt improvemeiznts .
c -z..qest an &val iati on sy/stem.,T
First,* list the constraints that a..re c qo. nqC to imp i 'vie on reaching -the desi red -ci tuat(.)n azndl qave some icleia of their seri1ousnesis. tiese will. inc 1. Ude budget resources, manpowi-er, na .ture o-f changes des..iired,, He as spec i ic and anal y-ticaF-l as t ime al lo ws. Theni reconsider if -the desired situati on is realistic iin the face of -these constraints.
Se( ondl y. deal with three cri ti cal el ement~s c0+ eval1 u a.it o n d e :Hi q n
What are the measures You wi I I Lice to nuaage progress, and accomplishments?.7 What will be? thez. uni ts yoi.
wil1 .ise to ineasutre'?
In terms of those measures and t..ints,, what are the goals or targets y/ou care aiming -for'?
How will in-formation be gathered to maue
d. Reconsider your original "desired -Sjtuation. If+ itL seems unreal i t ic, make ad juLstmentc in your evaluation design.
e. Design into the project a review of) the evalt.uaticon desiLgn by~ t.he implentation -team and a- revision. In this way the evaluation design c-an become A LiSeftil. tool for project implementation management
Degjni i 8 1 V 1-5.
V! cl r k: i. rl q d r -a + t
U ss f.. b t. i v e -s t o + a c i 1 i t. a t e E. ? v a.1 t..t a t 1. c) n
kil.I.+uJ. L.Ase o+ cibiec.tivess can orea-1-:1y
1.)ot.h r-- valuation and m,_m-iagement-.. fJbJF, r_-tjv(t7-, (-.an ssc:,rve ass the
C-CHICEPtUal q.I.LAE? that binc.19 many project components tocjf..- th(.. r ...-..knd
cc.mr-dirui.tes .ictivitiess that a Sinqle Pro ject restfl.ts. 1. t j. s
clear that -(-.-.he design cannot Set realistic j(: ctj. VHS +or
the implempritz.ition -teall). F"roir..?ct design can encouracle the
implefyientatic.n to lop t.ASP+ L.A. I wc)rk.inq objec.-t:Iveq,, and it
can the develaptilent r)-f those- objec-.tives. o+ this
will -facilitatf:i? both mariz:.kclPment and evaluation o+ th( 1::) r c) -i e
The cl(essicIn team c:;-tn set some provisions). or tent,-=)tive
cibiect.-tvr_- ss anc.1 (-an ssLACIgC. St A Simple +arfnR-t-. that c:an be t..ised -from
demi.c.in thrr..,ugh implement,-ikticm And :-?valuation. Ihe des- ,iqn tei..-tai
Can LAse cibipctives tc) sse-t.- the c.3+ the project'.
il-. (:,Fq.n desicin the F.. lrmject So that objec-tive settincl becomes:
in t.he doncir's mcmitarincl And t-,he.
lt is. c c) in ivion + Or- a d On Cw t 0 r e CILA i I in a n n u :k j. p ri F.5 c)-f iri -t Clbj*- ctiv. ss are existential to (lacid pl .arlss cli
vjc)rI.-. and can sa+elv be efnphasiz(.-: d.
Here i's a '.."J. flip I +C:)rmat that "locA can tjs(e C:)r fYlc:)di+v.. I t .1 a simple +orfyi that can thread through the b(-!l.nrj
Used 1-.)y the implefric-riter and the evalt-u-it.inn team. J.f f-he
'arld implefyiefltatic_)n te-Rin i..tses it th,-ik-f. should be A o r f..?,-al t EMCCRAY"i.icIement to the evA.I.L.Aation team tc) LASf.i?
Objectives 1 1 Factors 1 F ;,_ c t c) r s Ac t i on S
1 Date 1 Ex p ec t ed 1 p e c t P d 1 n di cat E.-?d
c) H e 1 P 1 to hinder i
..... ... .. .. l...._ .l...- ......... ..... . ..... . ..... ...
.... .. ..... ..... ... ..... ..... .. ..... ..... ..... ..... ..... ..... ... ..... .... .... .... ..... ..... ... ..... ..... .... ... .. ..... ..... I.' '...,., ... .....
This +nrfn can be. easily modified by the implefrien-t.-.ati. omi tezm to (nr.)nj.tc)r its, own prcigresss and to Serve af7 a Sel+-evaluation i ristrurrient .
Des.i.c.iners can +ill out thiss tcirm, both +cir the pr-c:)jec..t
or j. n d i v i d LJ;.A 1. C OMf) Oll fzll t S., However, design teams and h er s
connected with the project cannot expect the design have
enough I...nnwlPdcje n+ -the copprzttional. sitt-uzition to +il.l nixt: the 4orm de+initivelv. The implementatic.)n team viill have (TiLAc-h mare
in+armAtion -t:han is 1-.)ossible -for the design team. Even th(
implementation team will be getting new in+ormaticn and new Under-st,.-Andiriq,, and +or thirds reason will need to the +C.3r-fn
under reflk.AlAr- monitorincl. I-he implementation team shoulci be
expected, even required, to brincl it L.1f) tn date requl. ...trly,
Ds cl n i j. 8 1 V_ 16
iA.iorkiriq drai. t
F I ask Organ j. ,at i on and Ma riikq. _f t
1. 1. n -t r o d u c t i r
1his section is written +or- the desicin team and t.-.he
-team contracting entity.. VhP team leader if.., the -zicJ-.r.)r in
clesiqn, Arid the shcnAd not be il ut c h a r k:
alu.st be done in E.k short time, bi..vt riore important, decisions, to be Made, and at least thre(. ? ets ink-tF..it
be irvvc)lved, 1_)it.h its own interest Rnd point o+ vietc. 1 h
team leiLitder mutst. f.-.)rc.aviize i-lind manacip the operat-Aon.
C..'nmimm-0. cat i on i s: al a) nst. nevc: r 4 .Ifdequ ate,. I eiRfUl flleflib(9r- 7: 01"E? c.-.W(-er) utvi -.:ncmn to Pach cAher i..intil mee.tinq +(.-)r the Mariv
will not be -familiar vjith the donor and j ts. i -vt yle arid stratem/. fhe c.cn.tritry will be now to o+ fhe t-eRm, -.nd cWt..en tfipre ii :,
less communication between the donor and host.. perl lorinel than is expecA....e.-d" fhe t.eafn lc-.,ader muist v3:0-A-)
a+ thpsc-? CnMMUr1tCiRtiC)r1 problems,, He must accomplish the ta!zik. At the same time he needs to improve commutnic-ation.
ProjecA desic -In is part o+ a. dynafni.c. 1--)r-cmess." D o n t L. surprised j.+ varinuts donc)r personnel are not i.n cofnp.k.-Af---aqreefnent on vihat thp donor wants to accomplish in the t--ilso clo nc.t hP (_tpset. YCRA may be expPct-.ed to help develop 1-fif-I pro.-ject. concept.
.. .... ....... ....
Advance work vfill makek the task easier arid mc.re
Most 1.-)roductive will be to discover ass much o-f the pirc.)-jert. papf r trail as yctui can, -to cj .-vther in+ormatic.)n on the county and donor's inter-rst --krid !-7trateciy in the and -tc) fi,-avc-- a br-ie+:t.ncj bf-+(-)r--e Jeavinq +nr -the assi..nment. Thc ut-;c-+uJ. preparation activity would be a trip to the coutritry hy t h team I Padpr at least ane i-Tionth before the team' .:,. assignmentt.
The proj(azict paper trail will v -try with donors,. Th e A].- 1)
paper consists rj+ the country d(:?ve1.1oprTient strategy statement, tfie most recent anrit..tal budget SL.kb(TUSSiOn, and the pro i ect identification doct.ment, prc.)c3ressing + rom the general -to the sp ec i + i c: There +r-eqt..tently are other papers that You can check. on. C)n set wok.A.d relRte to a Ck.Arrent. or e,,-. rl:ier pro.jec-L- clo-:..ely
related 'to YOUrs.. It will have generated much paper,. EvaIt..u:xtic)ns and most recent annUal reports would be help+i..Q. TIt may be easier to apt- thein +rnm the contractor than th(i ? donor. Check both. Another checl...- vcm..t need -to fyiakre. is +(.)r sttvlies done
by the donor in connection with your project.
1 wo m a ior donors, World Fian .-: and fAIO havk-:t, he-adquarters i.n Washington and both o+ them generate paper- on most countries., Very o+ten the (-)-(-.her d(-jn(-)r will. have prnject- documents or coutritry
8 1 V--- t
v, (:-.I r fc i I 1 (.1 cl r a + t f,
o+ value tc you. Ver-v (.j+tpn it. wil). hav : personnel.
+a(yuliai- wit.h t.h7 (7cm..intry and s-iitukatic)i Finally, therp will. b*? contractors c)+ earlier projpc-ts viho c --tn help.
Aim +or a brie-fincl bL-+(--)r(- -the tpam leave.F. thE:..? CC3kAntry.
The briefing should accomplish three ends. One ic. *t.-cj clet
stateside donor view o+ -the project alono with in-f(:.irmi.At.icjn
-)e r -)tr-N./ and the donors interest and analysis on tl --. otm
lhis h(. J.ps you putt Vc)ur project ancl yf:)(..Ir task in You wi. I I -.Also .A mission
1'he second pm..irpcise tc) accompli -,h is -to review s7cime
technical considerations relevant to the task. YOIJ Call LASP this
handbook ..:,. which at-tempts -to fnak:e available to -you mutc..h n+ thpexj:iprience o.F others an the FA(T)e assignment.
Finally, start as soon at, ycit..t can -t.he -tasl... o+ team
b LA j. 1. Cl i n Cl q p c. c) n s ce n s. u.,z i n t h e t f.-! a m a cl r e e m e n t (I n -t h e ta s 1.:: ai n c.1
iiFpec:-.i.+J.c response C:)+ Y 0 (Dut will likel-v only clet.
it-. st.artc- d at thi 7; point.
Pam I eAder Visit
... .... .....
perhap's -the most use prer-)Rratory ....Activity i.!F, c1c.)ncunder the press o-f timp., That is.to start the design activity several. months. be+civ-e the team is, due to arrive in cok.u.-Itry. I tAj actions have pr-(.-jvpn helpful.
(Ane -to .Appci-int the tt- Am leader early and let him have a hand in selecting tJie rest o-f the tF.- am. It is import-ant -for the mfz mbHr to 1-.)p able -to work: toqF-ther, jutst as-, important as I.-)eJnq individually well.
I'he secc.)nd action is to arrancip a coun-try vi5,i-t +nr
the team leader to help strt..tcture And prF--p,- ire the task be-Fore thr.? team i-Arrives. (hp t.eam IFR .Ader COUld be responsible +(,. r muc-1-1 (..)+ the 1.)rj.e+j.n(j vii-th SUCh -A ViSit.
11--iese twc-3 actic)ns recji..tire rpsot..trces and time. 11-le can bf..? provided by mare adv, .tnced plwininn., 'The resourc-ps c4*-in bc iusti.-fl.ed on twc.) cot.tnta. ll-ie prodt.u-t will 1---)e qrc: ?atly imprcweO,
perhaps more, than enOL.1clh to jUf:5ti+'l/ the C:Ost, There is, almost alvlays some need +or analysis and data ciAtherincl ahectcl o+ the team' % arr i vail *This- could pay +or the trip.
+ i: rranqe -for .-A team brip+inq soon after you arri.,..:,(- in
COUntry to determine: Donc)r program and stratecly. what- wanted
in the project; more information and utriderstAnding (:-).f the
Dsgnii H I V_ 18
w o r I< i n a d r a -f t
C D U n t r i -t s i n s t i t u t i o n s an d t h e a c.- t o r 1-i y o u a r e I i k F.? 1 y t c) b e., d F.- a I i I--I a wi t. h (.-et c-!?rmi ne a t th i s t i fne i LATut V)h .At -the. cj(.-)n(-)r- e.x r')ec:T7 s
C) -f Y C.) U r e Ek (ji i n p r e p a r a t i c3 n n 4: t h e d C) (7 u In (-: n
..eep close contact witl-i the dnnor thr('1Uqhat..tt your
assi moment. T+ +E.sasible, have A donar repre ssentative wor-A., virt.c.taflY as a te ,ifyi member.
Host Institution Contac:t
.. . ... .....
+beek as mukch contact with tl-iR host institution and as
particApiatic.)n (.-j+ host institi.ition pF.x-rsc-.)nne1 ai.ii, i i: -feiFt ;ibl -_-!,. 1. +
I.-Iost. iristitutticin c-Arincit participatet, C::0LAI_1 =r:!1
institi-ttion i-15.5 MUch as. -Feas-ible Urld(- r /ClUr 'ticjht. t.-jort-.: schedule-it ii:.4 ncxt liI--.:r.--?J.y that. 'C)U Will a(-.hi(..ve nptimi.uyi participation.
Whether participation or rint, aim -to establish -teaff)
credibili-tv anc-I r-esI-.)ec.t in thp host institution. I et t-.1--ic,-nYi teach
YOU as much -.ts pns-ssible.. Discuss With them -the modf.A.s yout using arid s*-- ek: a concenst.is vuth -them c.)n ycn.i mi-lk:(-,- .,
j.-f yot-i or thf..?y think modi-fications would -fit yciur siti-tation b e t. t e r (..jse a +ew days. at the beclinni.ricl o+ tl-ie Assiqnment -Lc)
rappcirt with host institution pt- rsclnnel worrying
abcmxt the prc.)jert desic1n. Seek some sessions. in w4vi.ch inf.ttitution pc.- rsc)nnel and ch-m-ior personnel f,,jcjr'[:: with the teamt. Cjrie c.)-f youtr c)biectives is -tc) establi-sh a tl lree-wav
-iosi inst t i on Any (lains yout
,,,aur tewn, the danor, and the I A. -ut
(:.-.,An mai--.e in this area will improve chance r,+ proje-cA S U1 C: c P T5 S
Team Manag( !TqE-. j-+.
+or c.0fTiplete--- communication amonc I t'9,'=A(T1
meeting once a day., with no others present" will hf:?lP VC.)LA I-DkAlld and fyi '-iintain consensus., divide t..tp th(-- -taski-z butt still maintain coordinate ion, share in-formation, and developed under-standincl. En-formation c)+t-.Pn cannc.it be taken at -face ""alue- J V fy) e t i 1") cj s cj+ tei m a-fter rapport has been (-:,st,;.kb1ished will helf.) IFIC)LA EWalUatte in-fc.)rmaLion.
+A+ter a +ew days a+ intrc)duc-:torv worke, emphasizinci cont, .-A.c:t. with hast institt-ition personnel, develop a tentative time schedule e. YOU CRn LASP charts and a Garitt chart to shot.-j
Aim +or at Leat tWO OUt-PLAt'.s besides th(.--. desit.in pfz -.
One o+ these is intannible. 1+ in the project desiqn you can
help improve COMMun.ication and achieve consensus on tl-ie prrjj( nrt between the donor and the host institution, %'/0Ik Will +aCilitatc.? the wcr -.-. o+ the implementation team.
The SeC.Orld 0LAtpLAt is paper Jw:it as you ar-E? UrCjF.-d t0
discover -the paper -trail as yat..t start to work, you Are urcled to leave a qo(-)(-l paper trail -for the i(nplemL--?ntatian team and th*. evalt-tation team.
0scInt j. 8 1' V_ 1. 9
w.-jr, k. j. nci d r- a +
4. An Ideal ('."Rse
On e (7 a 7. e p p r V.) a C: h e s t h e i d F:? a I 'the team 1--iad
with the hoi=t: institl.lt.ion, F.And he -im-id hinst. :irm :tj.tU'(-j.C)n I.-v, m-sc-mine.l.
knew each other. Fle visited the CC)Utntry well a h e a d c) + t h en cl e s i q n a c t i v j. t y a n d a -f t e r ev a I LA a t j. n q t h e t a s k. helpecl pick. the r.e!=.-,t. o+ the expatriate team. He and the hnst .1.nstitt.Aion pp.rsc.)nncz ].
plaxined the design activity, starting with a conceptual +rafnework or model and proviclinq a workshop involwincl the hc.)st
ini-titution and the expatriate teAfyi.. The de+irled the
pro-ject otl.jectives and strategies, cle+ine,- d the S tl LtC!'_Ur-G?, -M-ld iflen-ti+ied resot..trc:e.!-..l
This activity did not provide a project cif.--2s..-Agn per se. I did provide an analysis o.f whAt the hc)!.,t institution needc: d bUt. in thf..- +orm (:)+ components that VIOUld +it into R pr-c.)iect de! riqri dcIcument *The cc.).-.Leaders provided a document outline, and thr-wc.)rkshop, under +nrced dra+t, Wr(-.)te thf... document.
Durincl -the vic.)rkshop, -the team leader kept cf.-intzact
with the donc.r,, insisting on keep:Lnq him rhere tmaE: a
siqni+j.(::Ant participation c)+ -the donor in -the d:?!-0.cjn workshop. i..)+f-'er the tmc)r.ksl--iopj -the teafn leacler wc.3rked .-As a consu.IU-.int. wil-.-A-i
f.he donnr in cc-tmpletincl thp project design.
Osqn i i e I V-2f..)
w~or hiriq dr-aft#
G3. P :ape7r Pr- epar at i c.rc
L. Dievel op yo..tr own outline1 Vaou car-(:do0-this :indJependlent or in co 1abor at.ion witLh the donor r you Can iLcS(E tI:; he oi...Li ne in this. set Of CJLAi dc.l Iines, revi sed as yo.ut and the do-.nor de ~is n ~d ed .
2.Duri nc the Ler brief i nc YOU need ton do Some
or-clani.zat ion of the t e-am and make a prel.i mi nary p.1 akn of work The Leamn leader i s respo-.nSib.1 eand should ci tak--e char-tie. Hesoc also get considerable part ici pation of-I the Learn,
Maean ef f ort to base you..r des.i pn on ob ject ivemdl and kno..w] edpe gai ned from research and pubi :i shed.. Oo not downplayc~ the judgment of the team or the experience of t-eamf members. At -the same time you need tx.o show Lh.at -therf --Areson l.cmical and empi ri cal. bass for your desi pn---that you are not:coml-.etel y dependent on the i ntuit ion,* bi ases, and eprncsof a CIro.UP aSSEMbledC +Or this task.. Mo-.de].s wilii. hel.p You do- th is..
no-me i tems ctise-f i in Lhis reclard are i nc ded in t p aC:ka t.-t- Thev include.
aThe Techn-oleopy Inno\/.a.ti on Process Mvodel
b.. The Research Crqani::ationm- matrix
(:-. T "he Inte.-rnati onal TIechno oy I.nnovati on Network
d. Assiqni-cent. of Responsibil1ity, Research an-d Extensi on
e. Tables on Retu..rns to Research
These (zc- Lie inclu tded in- one or more annex es, and i-e+Fe-rred to in- var iotis pl aces in Lhete x.
4. Some arcal yses, will li hel.y isLi 11 be needed i n adld i tion i.toc that done in -the process of proj ect development or beforeyo arr-iye.. Tw.o types of needs will be important from Li me to time. COne type is that noecried to help wi th proj ect desi tn. "rh.,e other is simplyv to show that the proj ect and the desi qn is: U s t'.i + i (-d .Deci ding on -the analyses -to dio will1 requi c're some? arnalyvsis i lf.Note the analyses suqge-ted in cippercdi,, C an--d p;et aqreement witLb the dnron which analyses yo.c will he expected to do. IGetti np some work done before 'iOUr teamj arrives:in country may be helpful, but i1t i s necessary to (:.et. a(:Ireeme c-t on what they are and how they are *Lo be carri ed olut. You could: end tL.p with a lot of work and material that serves rno UsnefulI purpose.
p.-aprep,9 I U-'2
t1\ o.rkt ncq d r af+t
Hr 0 ec~tPaj:3r %Jt I I rl E,
1.-o-ie Paper ~ trat
lIne Pane. .I.nclt..de co.:sts, '1A inpt traiiing output.,
commodities, construct ion,, host country input. chantnes
intendedd to be -.ccomnpiished.
a. Char-acter j.z e host coi~ntrY atr i iCAA.Iture and~ ax pl..aln itsi5
importance in the economv. (WAorl d Eiaink~ reports are s-L.
b. D',escribe -the current status o-f agricultural research and
e-xtension, showing orrnanizatLon (with diagrams) r-eport ing
b-udget and personnel, important current R/E policies, andl
objectives of this project. This needs to be an analyvti cal
taskP as Hmell as simply description. (See Appendix (".
Ec o nor(iti c A na 1 v se is
Proj ect. Descri ption
a. Su..mmary of Goal, Purpo:se, and t(utpUt~S from I on Frametw
b. Pro.Ject Activ,,ities
UJse inputs fromn Log Frame, describe types nf T(A ne-:eded,
prepare job descriptions, explin short-term conslAtant.
needs, descri b:e trai ninng, list commodities, and expi i
course n+ act :i on (strategy o-.r pl an.,ho p ai n iy how~ the-cofnponents relate to each other.
4. Project analyses
a. [echn: --ical (Analysis~
Show a.-nd explain why you have chosen -this co_-urse of4
acion or pro j cc t strategy And why iti xet-?dt-)wr.
T~his may have been done As -the donor selected t-.hi s
alternative. Pivoid cliches that have little or no mneani Lnn
-to general ists who have no speci al know edge or ap-.pre7i at. lJll
of research or estension.
b. Eco-.no:mi~c (Analysis
It i s di ffi (.::ul t to make this analysis. Y'ot. have to-.
assuAme -too much with regard to resul ts to be very
convincing,, if you.. present an analysis.
I~t is more ur-efPul to use another approach. Data are
avail able to show that research provi des hi nher returns on
i nvestment 'than any cievel opment alti:ernat iv e, when it t:i d5(one ra i!-t .The real i ssue i.s doi.ng it ri jt .~ tabl1eti 'to shO-ow; its (-.?(-cmi. c: validity =and models s'-. desi qn the ef-fort correctly. ; See iAppendi-- 1 fr- tables and A~ppendix~ 6 -formoidels.
T he.-re-.- current-.1y :is some quepstiaon abot the -.cost (::+
Maetwo Points. FSR, i+- orqaiiz ed and manacled cor-rectly, wil1lak the total -f+-rt more e-ffecti ye. An important management issue is the degree Li-f intensity 0.1: FBR. 11n the1 r
-fi.nal -Ana.lyvsis, ei ach +farm is a distinct -farmino s--ystemYi If wefz can-' 'fLind the prprdegree of- i t e-:nsit'I:(based oyn thle propl)er- deqr-ee o-f kne-neral i nation o)f the -ft ndincls) ., FS R/E c-:a n be c.-ost e-ffective.
c. Soci al. Mnai.ysi
+ El ti Sin. Oine issut-e is that a research pro ject w'illi create an eiite, as- you buil1d the (:apaba ity needed t~o do) research. Face-: this issue squareplyv. Make the point that research is essential -for acpri cultural developinec nt. a..ndj th'.at. trained personnel is essentialt. for research, E m ph1ias i. ze 'th e vAl.ue o-f i.n vest ment in the hujma.n resoutre. You- can redu..c:
ci:it~. mby emphasizing M.S8. over Ph. U. often a ncciidea +or other reasons.
+ H-ene aciazariF.-s. Personnel of+ the research and
e-~tension systems will. be first benet aci ariaes. Fce it, bt-.)I show that fa- rmers will benefit i(o)m ancrc.e-ased proiUCtiCon'. Show also that low-income urban consu-mers will. benefit from more -odat lo wer prices. FinallIy show t-hat. with i ncr-e.ased +Frm income 'the sinall1. r-Urai business mian will be a benef~ici arv, and there will be increased employment. opportune ties for,- the landless l.Abore r,, Be accurate and an alyt i al These are alreal possibial ties. Do not dc-ail in cliiches and truiOsms.
+ Women in Development. He anal yt ical-:l in your an-aIl. sa s of what impact this proj ect will 1 have on women and -Family> Ii i-f. Resist temptation 'to deal wMith the isst..e as "o ie pl1.a te..
Can this project be administered with reasonable ease?
Desi qn it so it cian and show that in this section. Al~so note the impact on manaqernent and admi ni strat ion of.) 'the hoc-st itSti tuti ots, both while the pro ject is in ope---ration and after proj ect terminates. Do) not, however! ak the pro.j ec't easy to admi ni ster at sacri-fice to the host inst i tuti.1on.
pa pr- ie p 9 T-24
v)mrr k j. n r.1 d r a 4: t
5, F; i n a n (- i a 1. F'.1 -an
a t_. m r j. --z p t, h (.- ? I- r c.) j e c t H t..i d q e t L.1 s. e n a r r i.A t J. v e a n d t L)
Li. Host ciov(zirnment
T M. s v i i I I c., + t e n b R :i n k i n d,, This is an
r e (.LAi r emen t It wiI.J. be US(-?+LAl -to report the t.,c)-tal
reseiwch aimd extension 17)LAdClet C)+ the c.:o(..tr)try,. hov.j trends.
LDC bud(jet. analy--,is i :., dJ.++ic.-.uIA.-... I)o thi- best vc.)u can.
Use to shov.1 Rs fY)Lkc-h 1.'iroject detail as, IS e
+ i b I
6. I.Anplementation Plain
IJ-0.s. (Aeals with the administrat-ive aspc.- cts (:3+ -initiating ;.'And
implementing the project-selecting contractoi- .. mani:iqing
c-ommodity inf.m..it, c: a n t r u a. t. i o n m a n a e fn e n t t: j. mJ. 1-1 q i..I n d () t h e r
a d m i ni s -t r, .k t i v e- m at t t e r s "The course c)+ -,action requested in
clears morr v)ith -the technical or project oppr*, ,.*,ttion, al
ma. t t e r s .
7. Evi.ali..%atinn Plan
Fhe donor will have some specific: needs and wishes to be..
i n c: nr p or at ed This section should look. beyond th(acifninistrati.ve reqUirf9ment, h(-)vjevt: ?r, to how evalt..taticn-ii-.: (,::avi
improve c-hanctjs projr..?ct suc-c-.ess-, The pl.Rn shcm.Ad Ine
developed as an important c_-nmf.)c)nent (.-.)+
B.. Conditions, covenants, neclatiatic)n status
These axre all donor determined and need not cat.-tse.. yot..t roncprn.,
9. ( annexes
Use anne -,,es at yo%..ir convenience. It is a qood idea -(-.c)
the bady o+ -the report +a.irly succint. Ut7iie i+ v(-)t.A
need tc) incit.Ae very MUch data or
p ax p r e 1.-19 1 V -- 2f,5
lhc.i Imp.tementation alf
Fosearch Extension Proje-cts
Frinc-ipal. Rutdience fnr- this chapter is t.he who
asi= umed rF.-?sp(.-)n5,ibilj.ty to :i.(TIP.L(-?m(-:?nt a
project in and extension. There fm-w be parl.-.s c)-f: it
LtSe+utl t(-.i the host institt-ition, am-1 i-L mav have --MMe ValUe 'Lrl helping the ci(.)n(--)r' Understand the i--ieeds and or-iRnt...-atiom O-f the..
This chapte- r p.la(-.:e-., more emphasis project
host inStltUtiOll than do other chapters. 'I h r? p r o i f.? c t j. s a
(---ritical management entity nperati.nq in an (em.,ironment
an(-.1 important man. -kq(--?fnents; needs. No fTlv.0.-.tPr h(:iw cloiiielv thf:?
rl)l,-(.-IjHc.l--. -field ide-nti+ies witf-i the host ins0-Atution (:)r it
i d e V. I C) V f- Cl the tecAm is i. uni. t and hAs nfe(IS ID+ i t5 OfAll-If
anN/ Rntity. Tht..is, efyiphasi ---. on tht- team is
Flowever., the orientation o+ this handbook, namely thf-m!
o+ k.he. 1--iost still. holds. VhP A .,Pafn hc--s no
reason +or bping separate +rnfn th(-t? interes-l.-.s o+ t.he host i n s t i t. u ti o n ., Even thOLP- lh the projec.t. is the +act..(s. (:)+ this chapter, the guidelines Are intended to help project mana( .I e m fF.? n t Serve the 411terests (.)+ the host institution, an(A some (-..)+ the q4ukidelines may be use+t.t.1 to host institt-ttion ma n A cl e m e n t
Itw.) entities are involved. 11-m.? r)r(-)iec-t
the and thp backsstnp. It. sorflet.imes ii :, Hai=y
La tak-'e the ba(:,J..stc.3ppin(..j and administrative (::).f U.-IR cni-itractor +or qranted.. Hov)Pv.;5r, each project +acps the
with a new and mt-tch n+ pre?,vinuiFi
experience is not +L.(11.\/ USCA+Ul.. As, pArt n+ the project, the
t ea liscr(zste (nanaqement Under condition t.
i e] d m is a (.
-fully aj-.)f.)rf.-c:j.ated by personnel. and with -t..Pam member
interacti(-m si.tch fhat- the bac --.stop is smmptifnf: ?s t-,he "they" in a "v)e-thev" relationship.
I.n spite a+ the pro-ject orientat-ion o+ this chaf.:)ter., one the marks o+ a project is thi..At it (joes bevand the
requirements of -the contract in assistance and support to the host instittAtion. 'There will be guidelines on goinc.3 the extra mi I F-.
mp I (Y)n t 9 V-1
work ncicir a -1t W'S
S P r-P.-- I mol.-. -?i e f-nI- att i on Iv a n aq ei~nnt
I.. e r e-i s C) ten a Co:an s Ji. d er ab h C t. i mne qi a p b etI. vien be. j. n' Q~ Iwre a orn t r act. a nd beP i noq ab 1. e to b he a i n j. tp I e me n tat.. i aon ti n e akr n set I4
eoresc: an be + o urnd t hi s .j i me -: atn b e us e d to a Ir eat a-kd v ant-%t.a.c.'I You can sta rt ee:l ecti no a-i:at trai.necs-iii, -tar-t commodity prfo-c-ur-effent set upthe support management sysf-ecm, and arranc-i_e h ou 1F i no qan11d mnake oAnth er i ni-cou.nt ry ..a r r An qemften ts 4 or- the? ex pa. r iate team. Fhe team II.leader sholOd h.e sel ected as early as + easibhi. s, and -ait rea scsnable e-f +ort nesto be made -+or -fund ino t ha.t L.v i..1 *.1 o w hi mn t o s t a rt t o w o rk And to tr a ve 1. (:o( the hos-t. Co)u n t r v For cert atin purposes other perso-nnel a i so neFe d to visi t the. coun t rv Dofn ore fe h ave some means 1--y wh :vi ch s.utch iprimp]. mentat ion (or' in teri.m) at .vtiesc:an be a-IUt ho0r i Z *? d PFPr si s t .?n ce i n s e ek i nq a utt.h or j.i at ionn a nd +fun ds wil 'I IJ. r chances of projct st.uzcess.
Team Memnbe.-r S o
T.. Match -the person to the po..sition.. Lack of persronal:.
techn ical capab il1it-/ ise seldom a probl em. iec~hni ca l mnii matches
j:oe mes ar-c,. In somenin cases, technical qua -ili +i cat i one ii scom)fe areas are siurvpr i ino 1 hi il-, and A person who couldc serve viell i .n
m stsi tu..ati onse may not be up to host countryepcttos
An-other typ~e of) mismatch is a per-son completely adeuate +or a. rancie of3 responsi bil1 ities _Assiqcned -o at rcsponsibi ..i ty0.1:id that ratios. ManAciemen t has to assume-i respo.nsivlbi .Ity, fo-riniadequate pe: rformnance l.inder these conditions, not -the person.
2 hec f-or host. country personal itv preferences. S m .. coalntrl e-.s prefer assertive people, o:3thers prefer monre pa...ssive t y J:) es ". C--hec l:: wi th c x pe7r ienced persons, to fi. nd j.+ your hot. cmwitry has such pre+ ere-ic.es atrid what they are
The r-int combi nati on of persons ise as i mportarlit as
i ndi vi dual members. Check: -i or mix of technical abi lit i c as wl as co.-mbination of+ personality types and styles of.) work--. C oni.i( dr reIes and interests o-)f host institution.
4. Start. earl y andciv e yoursel -f as fmuch tine as you can in pLtti1no 'the -team together.
5., 1f an ideal candidate does not acceRpt you..r i nvitz-ion. ask her/him to help identi-Fy someone with samequli caion
6. B~e Able to ex.plain role and sioInifican-ce of.) all
pnsitions. Sometimes signi-Ficaince of) a position and need +for a person is i.as aood a motivator as is salary.
7., Analyz'e tho-,rouqtchly the actions- contractor can taewithin own discretion to mnake service on the project more attractive. both professinnotal 1y And in qual it~y of life. Reflect this in project policy, manaqement, and recruitment.
8 'I ca lede should be selected -Fi ret and should h e involved in recruiting others.
9 .. Y m (,) r e m H j. n s e 1 ( c t i i--) q r e p I A c. e m e. n t s 1,(:
To the extent send c.i Rndi.dates on short. t.F.--rm
dut.-%,, to the
D I e a a) C-) r i e n t iii t. i (D n G e n e r r: k J.
U i-i j. I ;---A 1..)erson has lived or tAj(_-)rkerJ in a cr..iutntry it is
di++i(.-.tjIt +or her/him to appr-E-!ciate much of "'jhat you (--an clive i.ri an orientation. Even thot..tqh its (-_--++Hctiveness is limitedd, orientation does have vAl.ue, and the value is critical,.
Ihink in (::)ri.cjinaI and r(... 1:0.acements. F
repl.;--.-cements VOLA tMil.1 haVe much more information -than you i-tad +or (-)r:iqinal team. Fhe prciiect will soon seem ccimmQnPla(ze V(.)L.I,, bult it;'s not to the new team member., Don;'t slAqht the replacement 1:)ersonnel and
1 RecocInizp importance of +amil.y, who (Ries ri(_-it h -kve the
suF)port that the team members" professional respon5ibilitiess and activities provide.
.2. ulpscri.be the country, loczktion with respect -(-.o (-Aher COUntries, qpoqraphY!, Climate, II+f_- 517Y.Le. CLOAL.tre, e c a n C) ful i c siti..tati(-.)n, p(:31itics and and matters of specii-ic relevance to .-)roiect and team. Provide ;-k (T-jap.
n..til.d -A small library t.eam members f:::an utsF. in ok wl
pr ep ar at i on Useful. materials, are project documents, other donor prepared docum(--nn-ts, youtr prriposAl, t.he contr-Rct., AloncI with c)thH,--.r i n+ormati on /OLA C4RI-I 6ACCUMU). Rt9 th lt VJOL.11. d PIF I. .3-Ful,
4. Provide both inIformAtion and disci.ission oppnrtun:i.t.'%/ +or familiess (---in Iivinq conditions. Health and education
are o+tRn (-:)+ most concern,. Develop as mutch in-f-ortriation as you can on -international. commUniCAtiOl-I ai-id A-:r-Ansportation facilities contractor perquisites., SUCh as _-RCC:PS!:S to dancer -FacilAties--health nt.trse, dipl.omati.r.: mail., commi.ssar"./,,
-furniture; shopping + --xcilities--Iocaliy, in-cat-intry, neRrtiv., and by mail. order--iIIClUdinCj team M(-Mbf.-rS:' i(DrIOrtatiOn and restrictions; recreation And tourist possibi.lAti.es;
opr)ortunities +or- +amiAy member activities opl.-inrtunities for +R(Yiil.y members to either- as pr(-)+-ssionaJ.-:, or volunteers.
5. Provide an orientation kit +or (each +amily---with map (-.)+ country and (_:, -xpit.ai city, important. phone numL)ers and a(AcIresses, churches, donor privil.eqes available and ruies for accessin(:j them, international COMTK.tni cat i ons facilitiess (airlinrt ?s, telex, and cable nUmbers), ways to contact team and family member!:-; in An emergency. Provide information that is critical., vital, or high1v t.tse+ul, keeping the kit as neat and fliRnerAaeb"Ie as vou can.
h. Discuss, to the extent yni..i can determine it yot..trsej.+, thF.. CUItUral. positioning" of the team ii_ nd +amil.y mc.-Mbers. Perhaps al I c-An do j. s t(--) st i muil a t e an awareness and encoutrane personn(-.?I t(--) be sensitive -Ln certain issues. Th(ise wiil V'ary
m p m n t9
w c) r n ci d r a + t :1* S
cot-kritry b---!,c.nk..knt.rV ano even wi.t.hin cmmtry, cle.pendincl
I oc i on., Hc)i;-j visiL.)le ar-F -! yot-t as +c)re:i.qriers'_ ." 1,4hat is expected c) + y o tt k(hi-;A-.-. ycm.t expect .-' What ct..istcwns are c-, r 1. t. 1. c: al What. is cIenera]. reaction to +r.)reirjnF-.rs'? S I, I e c. -f .1. c--itti-t.ude5 towards. (J.S. f..) r ons".'
1+ there 'are -In\/ security problems or precat-tti ons, riee!d"d
realistic in+or-mation and explanation 0+ f.hem. cot.t1d
be in thf. project area, other f-ilaces in thp cclunl-.ry, cot,.(ntries which team members are li .-.ely to visit, or coi-tritries. an d ..- i t i e s
Be as realistic as possible. Do riot r .v0--iie t..t n r rz? ma s c) n a ti 3. e + e a r s .
E. Team Orientatic)rI4 Pro+esision .--O.
-ream members need orientation beyond the general which thev need Alonq with their
I. Describe th(.:? purpcise o+ the project. "r-he dc-mor has
TPeCj.+j.C PLAr-POSH this project is expected tc.i accnryiplj, ,h. Yc)Ll i*a5= contractor al5,r) have a purpose. st-tre t--he team urider-stanclis; how this project +its both donor and (,. 0 n t r a c t a r p U r p c3 s e
2. Help th(.7? team understand the di.-f-ference bptt"jeen
operations and domestic operations. Becat-ts-P ot personnel scarcity, they o+ten are expected to a broader- sc:cjpc? cj+
responsibility t.han in thp United States. Tl-iev may have to handle questions n+ orqRniz .-Ation and management: that mever arisc,'? at homp. 1+ some concepts are new to host Country or- host im.;titt.ftion, st-tch as ar ea-c.sper-i-fic: research or the t(-:?chnical liaison and support. +t-tric.-tion, spend some time on -the (-.i+ tl-)ese functions Some other parts (-)+ thi. s handbook wi. 11 k..kse+k..0. .. You c.-.an t..tse others to help dHvelop an (::)+
the concept 7.,
-team kric.)w t.he policies and practices recl.Ardiri( teafn idf- ?ntity and del.-)*l.c)vfnent in the project,, Hc)w closely,, will the team be Pxpectpcl to intc-qr-,zktp its members intc) the c:)peri-:kt.l.c:)nFn o+ -the host institution. There needs, to be A projc,?ct r)olicv, and the tpam riec.:?ds. to krric lw it. What will thf:--? mHmbers" ex.pc ictpd rr .Latirlnship tc) team leader".', To his counterpart.' T*o donor per stminel'..' fn host. in,.-ititi-itiori management '..:'
4.. ln+or-m thp tr Afrl as +L.kl.,IY as YOU are able, to clo the names (:3+ key ac-tors in the host institution and host country. Al t h (..) t..t q h SUbject to ahangp, any special relationships among i
5. Try tc) sorne political awareness and sensitivitV
ill the tCaM, bUt dc) not overemphasize political relationships. It. is extremely Cli++i.CUlt +(:)r +areiclners to understand anc.1 pvalu, ..4.te these reiRtionshil-.1s., and the cost c)+ error- is a+ten cireater than the consecIt-tences o+ icnorance.
fnp.L mn t 9 V-4
workin(-.i dr-a-ft W",
InIf(-.)r--uI I-Jie t.eam on I-Jie rr m, ard .-trk..ICAUre f i
ho it institt..(tinn. Ihkt helr:m7s i..indc- stand t-he and act..Lon!=
(-.)f C-ok.kriter-Parts., Vh(-:1 strutr.-.ture in which '-1--fey ap(;-rAte -is
consi(Jer-ably cJi++f---,j-pnt +I-offl VOUr. I+ you do not it., courisel t. I-i (.:.- t e a m t (-) I e .A r n j. t a n d r e p (.-.) r t i t I-) a. C: I.:- .
7 C; o u n s r I t r? R m o s t i r. k L n i t s o w n t i c. k a ri d o b i e c t i N/ e s ;-.1 n d ri (-) t. t r y t (::i s (-) A. v e t h e m a ri \/ f.-) r (-.., b I e m s t h ey t-) i 1. 1 5- e e a r t h i n k- t. h (i ? v
See. A+ter an j. ndi vi du -il i s viel I -f i tted i rito the host instituti(- n and ha-, won rr- ?Fjpect and c(..)n+idE-nce o+ his CCIL.Inter-Parts, he may be able to work: on some problFm!---- outside I-iis
Assignment. Even thf,- ri he shnt..O.d qive attention( in to ti-ioFie t-hings that ;-:Are critical to the p r i:-) ject., riot to "81.1 the problems (.3+ the world." Iork an the extra-aESsicinment rm.,tr-jh-t.-. riot.
be allowed to detx,- .kct +rom the AssianmerttB. C..omfnUrlicat inn is vit-Al to team members +ar +rom fiome and their- own institution. II-)+(..)I-M tVl(:?M -FUlIV 0+ who ke.ep thc.-- m
informed on what ma-k.-Aers. i,-jhcj they ark ? in+t--)r,-ri on vfl-i -.it m;Att(-- rs,
whc) is expect d to help them on -%/, .Arious problems, vd-iat the (:::nmmunicatiL.)ns- procedures are amonq the team in the +ipld. J. 4: thes--? have not been decided it out with the tezmn. + t. al
is nev i, anything out b(-+(-jr(- arriving in cot..tntrv viiI.11. he.
s I-I b j e C. t t c 1-1 a I-) q F.? However, it :i.!:-, USe+U.1 to ha'/9 SOffiethil-ICI t d -i+ i t j.
.ve 4kn utrider- c I s to be cl
cjeneral., the more communication the i..)etter, team meaibf-- rs, not inhibited in communiazAtinq outside the project, i-i-aid care..
shok-ild be in t-isinq t-iritten means o+ COMMLHIJ.C Rtivlq al
or iri+ormatiori critical to other persons or (iroup .-9. As well. as it (--an be done, in+(..)r-m the- te.-Am (.-.)+ (.-)ther
donors and projects that are r(--.- Ievant to this, (-)n.- And the nature o+ the Sensit.iz" the team to the imT..)c..)rtan(-e c:)-f
in+ormincl itsel.+ (-)4; other projects and de-term.ining the proj.3er lirikziaes to develop with thf.-..M. This is in-forrviation th F.11- nee(-As V.o be tx) contractor SL.tPr)(-)rt CII-OUP. Don'-t: attempt to
bt..(ild linkages that do riot a real Durpose,' Linkages
timv-: and mnripv an(l have- rin ValUe they serve the host
i. risti ti ttion. either directly or throu(-.1h YOUr I-..)rnject... lei.) i. I-) (--I
in-formed, however, is wort-h some e++ort.,
F. Backstop StrUCtUrC-- and )dmini-stratj.on
One C3+ the +irst steps. in project is setting
t..tp the backst(-.)p or support i':trt.xctutrc. and system o+ mariageryie-rit., This structure becomes visible only when it doesn't work,, The need is to it invisible.
1,, ldenti+ / the 1.-.-(-y --Actors the support strJCtUre mUSt deal wi. th. The donor and the hoi7t institution are the. two principal arqaniz -.Ations, but there may be. theirs. IMithin the -two organizations, determine who does what., 'This reqUirf:?S understanding something (-j+ their (-)rqanizz-xtj.(..)nAI structt,.tres, procedures, and positions thi-At you will. be dev alinq with,, K n o %,)
-;ks many n+ the persons as is tFeasible, bt..it they will ch .--.inqe, go YOU rIC?fN.J irv7.,iqht into organization and procedure'.:s.
mp I mn t 9 k)-5
Each prniect is atypi(:-al and ne(- eds its awn
s-,.,stem. The sw= t em vi i I I be a blend o-f contractor, donor, And host inst'-.J.-tutJL(.7)n rrocedi..tres, designed to serve prniect needs.
The most e++ective way to accomplish this is a meet:inq in country o-f representatives (:.i+ the or-(:.Ianizat:[(::)ns thAt h, -kve the authr.-Prity to decisions. In casp o+ &-)nars, -find out, V) h a t decisi(-wis are (nade in country And which at.
-.r at i vp s nee d B ev on d
t ministertr p r a c Fz d i _t r Ez .d to be devElOpC?
A-his expectations nt-_ ed to be clari+ied about (-)th(-:ir- r(-_iies (::) + t h e i -i r i L r a c o i, i % _t p p o r t. B y s e m e s Y t:- r.: i . 11 y t h (--) f F, e deiiklinq
nrc)cuu--pment. o+ c.ommr.Aities, recrt.Atment-. o4f: participant. tra.i.nees. Y(_-)u i_ Iso need -tc) :,nnw how -to deal. with emerqet-Acies-, especially medicAl and fnprl.i.cal Other matters to deal with incli.We Ac.c.ounting and :u.tditinq expectations., cust(-.ims +n..r project commodities
cy:iods. and shipp-inq pr .icticrr*.m --. .
4. Seek tci anticipate ( .A rpci..irrent. needs and tx) devH.1r:)p(--,.-?
prredurRs sn thev can be routini,_ed. Est.,;.blishinq rotftinef i that. +it -DI.I. (-.)r-qanizati(.)ns" needs and procedures not saves tifne and cost, it is alsc) improve,.7, project quAlitv.
"i Re-le.vant projeCt. CJOCkAmentsu, 77, ..tch as f,-,,rojert par.Jer and contract, ne(-7 d -to be reviewe(I -for an\ special administratj,%/e needs (---)r -for any special _Adm-inistrati.ve problems, Pither or neglected in the document. ThereN may be need to amend the contract or aqree (-)n special interpretRtAon to provide pr(-)j(i:jct needs. Any special interpretations, need to be reflected in the +iles, either by minutes (-)r a memn con+irminq t.hp
G,. Projpct. StArt--Up
111 ,tny thincls need to be, d(:)ne At once. Houisc4:eepJ nr.I +-.ask5 tA lill be important and will tai;e much o+ your time, butt. in -this .,ecti(::)n Rttent.i(:)n is tutrne(J to the pr(-)ject and its
to serve the interests (-)+ the host i nsti tuti tin, YOU need to rely on \/OUr own jt.v-Jqment to set priorities.
1. The anly priority -to suqclest is related to the calendar,. You cot.Ad lose (or qain) a (:---rnp year, depending o'n sensitive YOU Are to the calendar. Check the croppin(-I cvcle and set
ties on t,.jh .-.tt needs to be done.- and hot-.j MUch time yot..( hi;tve before you h .tkve to +iikll Under cnintrol (-)-f- the c,:.Rlendar
2. Review project design paper. Take it seriot.ts1v tm..it not r r.? 1. J. q i o us I y. In a very short time o+ living and work-inq in rxm.intry, yot..t will have information and insicifits the design qrOUp could not have.. The project is now your responsibility. T A k e c h a r q C.1ari+y the qoals and objectives o+ -the proJect, develop
- it 1. i : -- -s,, -iconceptui- --ation that can be shared by team member ai +rom
these set team objectives and individUal objectives. See. H, Obir-ctives in TeAm and Tas :: Management.)
mp I mn t 9 V-6
worl,.J.nq dra-ft #*! ,
;% '4+4: er the te-am has review lpd the rr-(- -- C-_-t rid sek. a rl d o 1.. j e (.7 t i e S, w or % vi 1. t h t h e h o s t-. i ME, t i t LA t I C) 1-1 C: 0 ea Cl u e!::. h u( J. .1. d' wor a 13.1. e (.-I onct-, misus dea I i n (.-I. wi h (-.. oric ept ul al i j. on a n (J
q cia 1. s and lhe team Inav have +.o fllodi.-fv some o-f J'A.,!7
i deas and cnni ppts, butt. i 1,.- J. s i ftipcw-tarit to have ,-x iikjnr-k,-.-.-tbJ.e
I'Viat. does not mean t otal aqre(.-?ment. There are,
vari ni-te, ways to achieve a (,,tork-inq (:::oriCF.AnSL.tS. Ihey al.1 invnl, e interaction betwt-?c! n voi..tr tc-7 Afn and the host institution, bUt to l h t I-i e r J n o n e (..I r 0 U ,:) s e v e r - i L smA I I er (-.irnups c)r individuals you iwill need tc.-) decide.
4., One (-)+ the +irst c.)bJ(---?(-t:tvF*q to is individual. 3(::ceptarice (.-.)+ team MFMbf;el !S bV hOSt. j. r-1 S t i t U t. i o n n (i e + + f-: c t. i -q
to (J(::) thils is. to makp a sinr--ere e++Ort to learn ;-,xi I --- h a
_,,eems 11'e.RSOnable +rom host institi..ttinn per-sionnel. abouif,. the country, its and the host. rid it.s
p r oQ r a ms Trav _-?Ilinq t iit.h cot..in-terpArti. to learn abni.ft aLlricukiti-kre and tx_-i meet. people is use+i..il. Dol-Ct cofflp( ,Ile(:J to d( =smanstratr--? vnt..tr OWrl compc-itpnce and :-nowl.pdc.ife until a. need arises.
5. thir4:-. almost immedi.,-,itely how the hosit
institution with project fi-elp can mak:e A production impact r-Ju j. c. I y ., I+ mantled plan +or early impact can cl.a.in
the host institution -viii Jbility, can help itlith lAnkaule iiind
other institution building -And can fielp yot.ir team
achieve credibility. is expected to tRiist available _-tnd
almos -,t--t-Padv make some ininor .--incl uicwc-* it-.
to farmers ; eep the-need arid possibility o+ ear-IV impac t in mind ass yot..t develop team objectives and work ti,)ith hos.t In
setting project workincl finals and ob-iG:?rtivF-F_.
6. Establ.isl-i warkinq Arranqements with -the hnst
It is seldom advisable +(:)r the team to be housed as a clroup That qives i. more vigibiAity than is needed arid iinpc,- des tl-ie development. o+ an identity with the host instAtLltiOll, itF5 problefw:i, and il-,-.s pk.ArPOSeS. The extent to whic1-i t.eafrj ideriti+y with the host instittAtI.On iS a CIDOCA ME a!SLAI -e 0+ Project SUCCE-ERS. That -.Ldentity can best be encouri-Aged bv dispersing the team to the i -4orkinq Units o+ thp host institution. : I-hi s may
(---ause some inconveniences at +irst, bt..tt. it will -idcl t(--) project e++ectiveness and (=VF MtUally to team member satisfaction. C.) n c, e
loca-(:.ed, members need to seek to become "sta++" and
7;. K.eep the team arid project visibility as lniko as donor
p 0.1. i c. i e F) (Ali 1 .1 a I I (-)W YOUr -task is to support the host. institUtion, and +nr this purpose the lower the team visibility the 1-.)etter. The pro ject will. be "visible" in th(,ise
places in it needs visibility And to -the extent needed.
'The host illStil-Altion needs tC) bUild its sel+-Psteefn and sel+corifidenc.F.-?, arid hiah project visibility does not help. T eia M members ripecl contacts and aoctal personal relati(!:)ns,, not. visibility.
mp.1 mn t 9 V *7
v l C) r 1.;: i n q d r -a + t. # ...!
FI., Objef:.-tives in 'Teafn and f.as0--. Management
I h i h n d b (--) a (-i i v fr s a c n n Y.- i d H r R i-.i I (-,.A (; ., m p 1--i Rsi s t n -(-. h a .1, t..t e a n d
u. s e (:-i + o b j r- t i v e I t. s %. t g c.-. i e i -.-, t*. s t h a t t i e c j (.-? s i (.1 r I e. a f Y I ( t
b i (e (:- t j. ./ e s a :-, a n (D r n i z 1. n q d e,,!, i. c e -:A n d t h a t e v a I tt a t j. n s h e orq.-aniz(i d la rf.jel.y around objectives. These short term tej.vn-.- make qood u -.Le n+ objectives, I.-n.it the that thl
ar(- ? the onf--si that th( ? implement. ti(:.)n tearn develops and
with. te,zim can work t.-4ith
by t-immeone else. Besides, with its (::hAn(::p to com .-? to
and tm(-Jerstand the pr(,-,)ject envir(-mment the tp .-A(n (..-An beto come t..tp wit.h bc-?tt(--?r- objec.t.-Aves. Y(:)!.Ar. te'am
needs it-:, serve J.- -s av)n it =
ciwn de+ininitions- 'I"h(:?y shot-tid be consistent with the de-sicIn teafy);,S bUt the impnr-Lant thinq iss /OLA t(I.I.Low
vot.tr own criteria.
and discussion. F"his present-!--. a tic-fad opportunity , to invnivE :% tpam ai= a tearn. This invol-vement will likely Iive better anaitlysis -than is possibic., otherwise, but- it also team
member riArtAcj.p ..ktj.c.-,n, which alwk.,vvs improves ( hant.,,es tor- SLACCfFi ;S. Project team participation in thi!:., extr: rcise is not. with the (---oncept o+ the team with host institutif..)n
un i ts- Host institution interests can be better r(: 41ected irj teafn;'s plans, j.+ te,afn is dispersed. 1here may c.::(-)fne a t-.-A.me t jl--fen host. instituti.i:)n personnel will be involved with thp teafn in reviewincl :an(-.-.i revising objectives.
Objective 7, need to be revised as the S-itUation chanqps or a! voui more Jn+omration and t..tnderstan(-.Ijr-)(:j a+ it. I I--( ev
nee(.1 -1-0 13H Under c(--intinUal ((:)Y- pF.-rj.(:)dj.c:) review, and that recit.,tires monitoring and evaluation.
Objectives need to be, stated corrc.- ctly. Thev are most t..tse+t..tI when. rtiey are stated as declarat.tvc.i st,-Zktc.)mH.ntS.
'They describe a +ut.ure state or situatj.(-m (not simply a process or set o+
They contain the speci-fics related to a..
I-hev (-an probably 1.-)e aca(.-implished project constraints.
YOU can deal with a hierarchy o+ objectives, i.e. have short term objectives that are +or moving. toward a lonq-term
Ob i EK-.: t i vFi?. Thit-7i rzanlr.ina mi: objec tives should not qet too cofn -.)l --Ated or detailed. For detailed plAnninq, US P C.At.her manatlement devices such as the ar.tivitv netwni-J-.: or Delta C.-hart.
YOU can deal with objectives that are cnminon +or .he -t,-.eam or with individual t.3bJectivet-ii or suborciup
fnp 1. mnt 9 V-H
viorkinq dra*ff. WS
Hclow is a sj,(TIpJH +*ormat to help think -the
objectives, standardi.-ze pr(--:?sentAtic3n,, and to help
tn cfc)t--icir, teams. host. i .md oF.1 iers tmhc) want
tc) t-inderstand ,,,our proifi.act. Mod-i+v it or devis-e ontz -for vot..u- own purpose.
... .... ..... . ..... ..... ..... .. .. .
Ob -i ect i Date to 1 P a .-) 1- tz.-, t. 0 1 Ac. t i C.) I.-[ S
kchie"IR 1 Hi ndHri nq 1 He I p i. n 9 Infencied ..... ... .... ..... I...- -p r 9 g r PS !5 1 P r q g r e 5 .... ..... .. .. ...
.. .... .... ..... .. .... .... ..... .. .. ..... ..... ... ..... .. .. .... .... ..... ..... .. ..... .....
,ecxt can t,.tse the obJective chart in making presentation: tc) the Cz ValUation teafns or in evaluating e.Va.LLU-1tj.01-1,-:5. T h j.
handbook sLtqqf.-st (I) -that evaluation teams. usse team statements, in their evaluations and (2) that they se I -f
f-V,:.AIL.tKAtT(-jn as, part o+ the
Tn identi+yinq and e%\/aIL.IRtif-)Q factors hinderinc.1 and +actors help)inq, ycm-i are usinq a manAqement tpchniqute known as "Forrp Field Arl'alysis.." can use br-Ainstormincl and groul.i d-iscussion
t(---(.hniqL-Ie!:.i 'to ME4.-P the tw(' lists, n+ -factors. irouq-.1 (II.Sc.-A.tssion
can be i-ts-ed in Am .O.ysis, but ryinre study may be ne.f Zded. You .O.so need tc.) identi-fy*,and analvzp -t..He Alternal-Aves yam..t have +(:-)ract i cm Finally, you need to decide on Actions and prof1rit.km thf fn, in a strategy +(:)r strenc.1-thenincl or taking advantiaqv? (.-.)+ the fRctcirs that help and refyinvincl or attQnLAA-t-inq thr: -Fax:t.ors 1-1 J. 1-1 d H. r I
T. Manaclincl Evalk..taticins,
Ev ..AIL.katinrm are eplisc)des, in the Ii-fe (-.)+ nroJec-t
i-And (::.-.Rn be uscid to enhance pro-ject mc-imAclement. They can be i..tE--,ecj
to show o++ vok..kr accomplishments -A..nd need not be. -zi (:::czik..tsp o+ vlorrv or dread. Your Own attAti-tile is critical. lt permeates
everyth-incj ycm..i (Jo, And it shows thr-c.3ur.1h to all (-)hserv(-Fr"s and helps. creaU.- the cleneral image o+ your project. Tha.f..
imam-?" i.s iinnortant -.in thRt it in turn helps create. the exper-t-Ations, I..)Oth o+ the donor and the FWalUatOrS, Ot IWIRt result +ram the (-V81J.Uation. Psycholoclists. Have Ion(.l held that
what People expect to +ind helps determine what they do +ind., ('he external imaqe i.-jill be relate.0 to the teams own
image, and thus c- ?xpectF.Ations. Cer-tainIv. a team -, expectations o+ itsel+ has impor-tant in+.I.Ltenc..e on its own performance.
cluidelines are important. J'ake charge o+ the project,
including ev,--:klutation, and develop and desmc)nstratf.- .. -a positive men tal attitude.,
working dra+-t. W.S:
I T c- k k E: h a r (::I e M (::) n j t (--i r i n q A n d e vc-ii u;;. t i a n a r R a s, J. fn p o r t. a n t ,A:ks any other components. n+ manarlemerit. In voutr own
e, d c n n t. j. n .,i o k..t s ( ut a t i m n m art at once t--n d(i?!veIap a s vs, f., e m f-:'ee ?p it simple., Don't 16_ Yt it Cllet OUt Of harld.
.2.. f-he +irst step :in de. siqriinq an evaluation system iS -t(,)
S031(SC't eN./alUiEktion criteria. In part this antici.-%ates what (-Ahers ,-.are cjc)j.nq to want.. and in part it is bUilt on tmhat. nee..(J.
Start with the I.-)roject design docume.rvt and whAthas on the subject. rhe L(:.x tical Frameworl---. c,-A-n be madc--.- irltr, -. kn
PX C 1. 1. F ?rl t. eV a 1. Lla t i o n t (_-) o I F i 1. 1 Y r f..? v i f.- w t h r7? (,.. o n t r a c t T h e s P
k. j i I I Cl i \/ F- ? a (:.jond n+ 1,mhat the. dc))-m.)r these; svnthf-. i_,ize a list criteriaia. Match them aq;-Ainst. youir ideas, based on (-.)bsPrv--Ati(-)n and exper:tv*nce.., and against the i n t er est s an d j. d eatt7, m-f t h e h ofiz:t j. n S t i t u ti on As you .jLain experience, review the match amonq these i.nterecits.
From this dr4:tw utp list-. o+ critt.- ria that
serve your putrp(-)s;es speci+iCaAll", and wi I I cons:i.stent- t,,,0A-.h donor F?,xpectations., 'The more you carl work with thf hostinstitk.Ainn -the more will be R++nrts., Eit(-... st..tre-.)
I i st is consistent with youtr objectives.
H.-le sec(.-3rid ster :is to MpAsutres that. t,-!ill
the criteria. 'Y(-%Lt need Me? ERISLAr e 1-1 t-hat (-,An be used be+ore.- an,/ imp !xcts o+ the j-.)roject ar. lik.ely. Early in the pr(-)ject tJ-ief.--,e will be relatt--ad more to input- management than to CRAtf.)LA., As, ti me qoes on., mnre attention can be qiven to outputss. With inr.-ju(te, hOWeVeRr, there is a type o-f interim output. L*'election And
processing (--)+ part i ri pants is an interim or intermediii-4te o+ art input. n+ expatriatc=A assistance and resourfmes
F,'esutltq (-.)+ the +irst year's research is intermediate oi..ttj:-m..tt. be it the charac-terization ri+ a t-.,/pf; ? (:)+ armingq arpa, rest..(Its o+
or the st-art (-)+ area-specitic research in a i I P. w a., r P... Et
lhr-:!s7F.a intermediate cir interim fneasures, Are trJ,(-.J.-.V. They can Pasily +all intO MeaSLtres o+ input, and little mor(T ?,. Vhere will be some. value lin ffipasuires (-)+ inpt..tt, but ,/ou can C.0 fartherr without violating the-..? criteria (.)+ simplicity.
C)ne (neiitmi; ci+ r,joinq farther r is to conceptt..u--_Qi.,7e the
or task,-ss yol-k +ace, to translat-F.- thf.m into
ti V i J (: -1, a n (A t--hefyi on an act i v j. t y chart. P r C) (q r e s s t h r o u q h t h e a c t i v i ty c- h a r t vi i '1 1. P r (:) (A u c ..? s i q n i + i c. za n t i n t er i fn oul t p k..1 t s I+ they don't seem !:.;iqni4;:i cAnt, then the active ty cl-iart n e e d m t o b e r F.- v i F, e d This indicates the relAtionship amonq planning, nbjective setting, and ...valuation.
4. YOU Will need a means o+ patherinq in+orma-f.-Aon (-.in t.he, frleasl..lres yakt have developed. In+(-irfnati(:-.)n shot..Cld be -that iml-lich the -team can provide, and by activities that are? clost:F Lv
related to the recP.Aar team dt..tties. For example, i+ y(..m..t can utsem in+ormAtinn that A team member need!:; to record as nart o+ his:, work., y(-m..t qain P++icj.c-r-,r-y and increase the chance that yot..tr syst em wi II Jindeed be implemented.
inp 1. mnt9 V- 1, 0
5,, )levelopinci a clood imanp has tvin 1-1
.. -cle part.
p r o ert fnust be l wel 1. manancid but i n .1 ar + r ofn mt V.1 e ci+ of. jeraticm. ll-iese twci -are more c.losRly related than thf.. N/ .zeem. Here are some c.p.tideline..s.
A., -ibl o n r ii at i ni a 1.1 d
1*)(..)Fl:, (.. mlphasize F.:)rc ..fns in
reports. Emphas:i.ze pos.l-t-A.Ve +,actor!=11
b. Fac.:e v-)rcA3lems squarely in a syst.em(matic:
,Fr3lv-LncI moilp. Face them promptly., Don't let. thern
.1. i n ci e r [hl*.i= is (z sir.)F: ?ci, -.0 .h/ tri..ie o-f
-l-a the Avold si-b-tations cause
proic,- ct rnembers themsf- lves t-:mphasj.,,-7("
problHms, in their cnontacts- and
c. I+ a problem hRs no solution, accommodate .1. t
may be? neae ssarv to change strategy cir objectives.
Or it (nav be ne.,cpssarv to 1-ive tmith it.
d. 1+ have to live with it icincire tt to th(T ?
certainiv in cionve-r-sat..-ion's and reports.
e. Makf-., the most c)+ the p(-)E:it-.Lve elements (-I+ thF...
project, MUtPUtS B.1-ld
- i c t j. c)n.
-f,. .6e i-able to explain voutr proje-c-t clearly,
in terms (-.)+ obiertive!-., istratec.w. -And
Also be surf,:. % tl-'iF.- entire te&am is able to. I h 1 !7!3
recli-tires clood commi.inication and team inter ..Action.
(-l,, V eep (-(-)ntaf::t with k-iave E.in
in voi-ir project. and helf.-i them to kF.-en in+ormpd.
mp.1 mn t 9 V- 1. t
J. Manaqincl Net, i o m r) n n e n t sr,
project is o+t(-n inti-ndt-tc-inq 5(::)methin(.1 nevi. In
cases new activities cautse nc) (--c)n(-(--.rn. -,,loMetj.meS,, hoviever,
Inet with +ear and suspicion b / sorm.- UnitS Cl-f the host
institk-i-tion or by other entities. I.-f cAher are earfull or
it, is Clamaging to the I-inst. institt.ttion and :its linkage possibilities. Below are some a(.-.ti(--)ns (-an
I... Identi-fy thn ways ttie new component can be- help+t..kJ. to the k.,tnit.s whose col.I.Abnrat.iori N,/OU need., In cm(-- case, +01" example. an research prcnlriam wc)n the st -triport o4l
C:001MCK"lity team t-.)v help-inq triple th m.imber o+ triAls th,-..it CnUld be? run., The cc)(rimodity tciam rpaiFmned that allc.)winq +iF?Id researchers tn helD pl,an the +ield tri ais was i:-:k reascmable pri ce to nay +(-)r the extra. t.ri. I+ the new component cannot be
to other i-mits, 'this is an indicati.c.n that snmethina i5ii vircinq with lesion or iml:)lementaticin strategy.
:2. ldenti+v twith other Ac:tivit.ies c)r pr(..)(., Ir ams, that. t-)a.ve momenti-mi r-.vr- imith problfm!-:i or- prr-)qra(ns that- are rer-.(,: J.vinci more
at.Arention than usutal and fnei--ans to be help+t-ti t a them. Rpm-l-mber, however, that this is suo(iested as an j.(7ipl.c: fn(:: n't..-kt.i4.(- ir-i
strateqv and shot.t.f.cl nc.)t be allowed to ckitract +rom prc.)ject and obiect.ives.
Wor at., claselv and direc- w j. t h I
-tly the +,.--irm j-rn(Jk..t(:.-tic)n
proces!z-, as is +easible and in line with project ob.-jectives. y n u may be at-.tie to relate this to the need +or Parly producticn-i impact and be Able to wor .-. it-. into project strate-civ.
K. (-ioina the Extra Mile
The basic: and overridi.nn pt..trpnse c)+ your f project TS t(D Ile.1p th.- ? host institution vj.l.th its awn development. It l.s easy to Inse siqht r.)+ this pt..trpo..;e because o+ the.- immediate pressure (.-)+ manag.' Lnq a proirm- ct, which tak(:?s on its ovin lj.+o and c.:an easily
-i-Appear As An end in itsel+. T'he pr-(-)ject will likely h ..ive iiV..)(nv ? institution buildincl components. In almost ail cases ther(: is much more that needs to be and ran be done, within resnt.,irres thait the prc)jec:t.hc-.ks available to it.
Yout have some rpsok..irces. Yout Iiave vour ovin expertise, F..-tnd CiAll alWa\/S SClUeeZe OUt a little tifTle. It is always possible to mak:e -(.-.Ime adit-istments in 'the Use and selection o+ short-t-.erm consultants. and in short-term trai.ninq nrnvissinns o+ the prniect" Lt is possible to amend the contract, withot.A unreasonable t r oub I e. There are also some indirect 1-eSOL.trce.s. Your donor and others mav have +tjnds avi-O.lable +(.-)r- sound and worth\,,- purpcmes. The e..."istence o-F vot..tr pi-oject mav create investment
oppartt.mi-t-Aes +or other donors and interest in helping
YOUr chance to ac) the extra mj.16 in hClpinq thFz host.
institution in :its (..itAjn development vjill be directly asscv-iat.ed with thH rapport team memberi.-i are able tn establish with their
11P.1 emen t 9 V-1 2
host I. v1st i tt-tt J, an .1 e a cp..kes, !I. nc- J. udi n cI tof.-) cnanoF.inemen t.., (Jn(; ?
h e ill In s t. u s e + t..t A. m e --A n is t a e is t. a b 1. i ii.; h t h i is r a t7p n r f, i ts t d F! v e p 4:.k In i den.k.A t y 1,41. th the Eat.. i Fist. i. ttkti on ., I I I-it j, .1. teafn r::an +
thv:- problefurfs., 1-.he +ri..tstrationis, and ths? aspirations o+
as as (-)+ individI-ta.1s. 11-His ich--- n+.-At.v
prnif-C:t suc::Cpss Rind (n,.Al..-:es service an the pr(_-)4,ec:-t friore inter-,-- stinri ,--_ nd more satis+%/inc.1 to thp te;mn..
a rapr.:)nr-f-. -I.- ( stablishecl fnariv possibilities c,)fnen up,
.1 t v) j. .1. 1 fie a Case in whic-h the host J. I-)s t i. tUtACM CJ(_N--?iiS Vlof.have serl.cm..us C) n c-: e t h e r P :i, is r a p p (-I r t t. h (-.) s
p r r.) [-I I F? m is c: a n t) fi? d i s c u is i7, f D d a n d + a c: d f b i e c:: t i v e 1. v Unti I tl-ien, I i t t .1. i. is (-.. c:) 1--te qa.i.n( d t.-.)v c)-f+ering 1--lelp in
With .'OLA Can also help host institution m.anacIFf-tu- ,ni+ or + un cis amon cl donor s + or i t F, own fni..tr r.) ose s. i a f-. h e
extenf.-. the institution takes initiative in see .--inq +utndiii +or spec.-J.+i(_- de- velopfnent.al. pt..trposes ac-czc)V,-dirIrJ to itiz, it
has a. isay in its, (-mAin destiny. The hc-)!st iI-)StitUtj.(.)I_) mav be ablf%
tc.) use the pr(- senc.-.e a+ your project And ycn.ir c7octns(i ?.t to jiF)I:)rC)ve its chanc:e-,
Y nkt c.an also deal witi.-I Problems (-)+ I i I-I k at e S t :1. S I H h finterest. n+ a reF:Parc::h entity, -for examplk- ?, -for e. -,tension to h,-ii %y E
some assistance to inc-rease its ab.i.Aitv to link !,-Jith Pie potential -for youtr team helpincl establish these linkaqf.- 'S 1i= likely to be considerably greater ti-tan is at. t--, %Yiclerft.
F perhaps th( ? bic1c.lest c-)ppartunity is to helt- ) the hosit institi.,ttion vlitl--) :Its fnanaqpfnent prc.A.:)'1ems. lhat i s de .-AA.t
L.. Host Institt-ttion Man Aqefflevlt.
Host J.I--)Stv(-.ukt:1r3n management is mutch mc3re
is +or c:ciuntFerpart. institutions in deve'lnped E e f'.. v
1-vas responsibility, +.:,c) 1: n.Iilcl i-A I
at the same ti.rnv,? bei.na responsik.)Ie +orC11"' Pr"u3dkJc :tion. I V-f P Or (I i- r-l 1. z at J. cu.) s I.... h e L) ud, T di n n --fn,..AJ. n -r en ii-..imic:
:is MUCh lifjhter than it is in netm or nrclani z ati ot-is. Hc:)S.t... j niF.:t. i t(.. t j. on + arF- d 1,%0, f.-h
,kis in developing their institutions, and' the- opera-F(; it,. er.i.C)U! ., nation ..i 1, c-on,;.,tr,-iints., Donc-)r +IIv-)(Jwith conditionss, and -for .lUrpos-es --,,hich +0- donor c-riteri,,-:A rat. rhell* than hai--.-t F-iepcls and interests. is thaf-,
LDC., (mi-magerf- +ind themselves routin(-: s IA jt )C)u't,,
r e R 1. c:: I-) a n P (.- ) I- r e is ci t.,t r c-.Y t h t vvi 1 A. (,.? n,:., b I t h c- Ill t a fn a. n a q
Your prnif,?ct. can hr-!1p, but results will. cx3me slow1v and vi i J. .1. 1 iol- be clr .-Arnatic:-- 'Vhere Are same I.-A Iincls nepci rlc- )t do.
Yok..t (.-.annot fnanacle. lhat doess not. isolvv .. anything beyond thri?
nf ,?etl. YOU (nimnat Rdvise,, exc:er)t in fin.nor fnattters.
f dvic::C? -from e..q.-latriatefs is likely to be h,;.ksed on c:riter.ia and premises tf-i,_-vt i..ire nc-)t. relevant." The innst -thinci vcnut ran
do is CCAM-15(il aS thC- y wor --: cm.A their cm,,m manaut- ?rnent
Hp I effluent 9 V_
n q d ; r a +
I I cj I- r) km n I- i t er j. i-i-t i. I-) .-.I f A d 1- i n ci 1:- 1---i J r n w n p r c- h .1. em : a
t h (e v d e + i n e e ri t- o e m s ., *Y o t. t (- a n F...i r .,i v i d e (,. c.) t.t n s ? I -- --- h o- 1. p n cl t. c.,
u r--1 c-1 e 1- -6 a I-) d t 1 -1 F:? f -1 r (::) c s s e ii. c.) + (niiu-l .-,.qefncm f h e .1. r .) J. n cl t a i, d. e n L -f .;/
a I t. e r n t i ,, f-- S: a. r i d h e-1 p i n q to anal ysp them-and you can provi. d e p cr .: :1 + .1. c h e Lp for specific prohl.f.-fris, through eif-.her -yc k-w cwwi
.:; e r s7, c) n n r s h o r t t- e r m c: a n s t.i I -(-. a n t s
CJ + a 1 1. I i (e t n a r i a a e m re n t n e -- d t. h f, e el s t a n d o u t
T. One is the i-leed +(-)r- ionn-rancle or strateclic planm.nq. D n? v e I o 1.) j. n cl a I on (.-j r F.t n cl e p 1. zi n t ., i I I I i --: e 1. v b e ma r c-) d i + + i c uk 1. -t + o r
reiii( ; .irch than +cir F ew can provide t.he
th-)/ need -from in-cat-intrv regoUrces. they c-'an aet huip -from J, n-tert saticmal. sotArces, bk..it wilI likely StA.I.J. have to. 01 .O :H SCDMF., c: h c1 i c e s Some (--)+ their problems may h.zv./e to qc) unat-ten-ided. c--.-wem
with I-Jle combined et+arts (..)+ national and internAtional
Ja --.-incj advantage o+ those international rp(jUires a fninimi-t(n national capaci-ty fa) tc) decicie +or and 0:1) to handlH the technology it receives, and a mp(-- ,(::j.+j.c: str at (.-.I y or +c-I r (n a i nt a i n I. 1--in I i n wi tJ-) ent i t j. in the international technology/ network ---.. Se(e 1.11-E, and t.his
Fhis piannincl e++(.)r-t needs to be sriread c)u(t. r-wer s.everal. y(! ars and invol,%,ee participation n+ research emtit- / personnel .zks as other entities, such as national.
univerc- itj.as, extension, iimd possibly others. Expatritittes7 can
h e I p (.*'jn(:a person, i.n crw.mtry two times a year +(-.)r- thre(-: yf.4ai-s, c: o u 1. d be much morc-i e+-fective than a teafn c)+ expatrii-ttes for ..4 mon t h cw- so.
The secx)nd m;-itior manaqefnent problrnri -faced bv hos't..
instAtution management. is the acquisition o+ resourc.es.. S e I d c) m
cia donor projects address this problem, even thot..tqh it Is centr, -i-[ to insti-Lutional management around tile world. 1-his handbool-::, in
the C-'hapter IV,, Sectic.n C., suggests it be inc-It,.idpcJ in (1c: sicin and lists. i -,ome altr-: rn-atve a(-ti(:)n,r, +or consideration.
Even i+ not incit..tded in the project, yout can do
something about it', and VOLA can do it with 'fe4p) reSOLArceS. I h main thinn is to address -the iSSU(e and see that there ar(: se.vera.]. alternatives -to depending solel.y on the national treasury. 'Th e
develc pment. and P.xistencp o+ a Ionq-ran(je plan will- be c)+ exceptional value in +und acquisitic-in..
e e A, ? -1
'1hp third major problem is that o+ linkaq. betwcei
research and 9)- tension, :k problem which has :se.Idom been solved to any siqni+icant extent. This is di++ici-ilt tn t..mderstand, since
tile stkccr;:: ss (.--I+ each en-ti-ty depends heavil.v on thp SUCCeSS C)+ thi.-Ott-, er Fherp are several. possible explanations +(-.)r the persistence o+ this problem.
w o r k i n Q 4 -f
Ck-ie is that. the. tvm entities- are einds
o+ the technolociv innovation process and irmorincl the c-enter + u n c t i a n IS This meAns that the-,,/ havp littl or chance? +or contact, interad-ion, and "fn resolve this
may rpcjuire a chance in proqrafn or
A second &?xplanat.inn is -that -the manner in which one
defines its nt.Arrnose does i c)t rHquire? Ihiis vjot.lld holcf
that res-ear-c-An de+inps: its PLArposre as dciinq research with no res-.:punsibilitv +or clissemin.ation. It. h(nicls that exter-sicnn viK vj5-:; H-rs jcAn ii-is routine disisemini--Ation vilnen safnecwie qive ,-s it scmet.hinci t C.7 d i C-? m i In,.A t e Neither defines its PL.Arpoisf- e as chanclinq prc)(Atm-tJon. This indicates that neithHr entity sRes any real. purpose in and has not assicjn-- d some
c:jrc)iAp cnr samp inclividt.Aals the specific responsibility to cl F-? v e 1. C-) p i. And maintain linkages vjith f.-.he other.
A ('.-hird isi, that vii-th rpseArch o
is c i on c e a n d t. ec In n o J. ocl -,Y a n d w i t h Rx r-- n T., i on c. c) m p o s (.:? d .1 a r- q (-.i +
4: i el d agents wi. th sub-prc)+*-ssj. onal trai ni nq there- --, too m I.A c- 1-1 social. distance between -the two qroUPS that interaction, collabnraticnn, and linkaq.R is not like-ly. Another fnarti+est .-Aticln (-j+ this is that extension, with so Little attcwltion
-ter.-J-mic.al liaisc)n ancl -:,LI.:)port does Ino.t.. t'he capac-'lAy tc)
.AV) it-.i= end c)+ the
It may be that one o+ the important thincls you can do iis f.] utriderst.and tine? persistence o+ -the problem. Once the problem is Understood and istat-.Pd there fyiFo/ be scmie +R:ir.[\,, clr,ar to how to resolve it...
empnt9 V 1. 115
v i o r if. j. n cl d r iit -f t
CHf-W f ER V 1.
E I/ a .1 Lk a t i c) n
Res ea r (7 h a n d I--" x t F. n si (.-.) r-i Pr o i e (-: t s,
Primary at.idience +or this chapter is the evalt-katic3n team
a n d c: o n t r a c t i n q e n t. i t y a I t. h o t..t q h s L) m c-3 n t h e j. n + a r m j. k t j. o n v4 1-3 e ctsf_-+t..tl to both the (.l(.-.)nor- and the irnplefnent tncj team and J.n di.SCUSSions I..)etween the eValt-tcItiOl-I team and its clients.
Fhere are several types o+ evaluations. Vhis handhocii-
assurnes a mid-project evaluation which has the madn purpose n+ 1--ielpinn the donar to understand 1:.iroject. prnqress and to mAke decisions regarding project direction, processs, and desiqln. The dar-mr i.s the j-.)rj.(n,.arv client (-3+ an eN./i-AILIAtion. E,-pec_--Idonor personnel i::now .-.i create. deal aboc.tt the projs: ct and have been c:ondl kc.-Linq L.'A continLACA.15, evalt.u-.Ation. In mc.)st casc.'s, the cinnor provides, --A sc..(.)pe c)+ wc.)rk +(:-jr- the Pvalt..tatinn anci rna ./
idv: nti+y problems cm- othpr j.SSL.(eS, that need attf.-wition. In Fic)1m.: cases tl-if- donor will provide criteria, blAt j)-i mariv Jt. is, k.lp tc) the te,- krn t.o select and apply the critF.-ria.
klhile thp dc.)nc)r is the mair-i client, t.heinip guidelines (0 +or the -VRlUati01-1 to I.-je use+i.A +or thp implementation t.eam And even +or the host institution. *F(-,) serve these three it
J.1, USP+L.Q +Of- -thr_- (Rvaluation team to tai: e a I-.)ositive attitude;! and
An empathy +or the three involved.
F"mpathy and a positive attitUdE? Will serve thv.- r- ?\/,aluaticm
-team well on other i-m-_-cnk..mt.s. In mc.)st eval uat j. ans the: prc.iject I a
not had time to generatess de+j.nitj.vv-: impacts,, espc-: ciallv i+ Persistence is one (:)+ the crit.prion +nr impact. fl-iis meiims fh, .-tt evaluai-c.3rs must rely heavily on _jUdc.jmrTmts and in+C.Arences in trvinq t-.c. firc-iject the probable impact o+ strate..q," and
c. t. i v J. t i e s f )at-1 wi.J.j. I.)P. cli++i(.-t..tlt to ccirne by,, and fnt..tc-h c)+ th(-data that Can Ile ;RCCLIMLAlated musit be interpreted. It. tmill, not b(.-? s t r Aiqht.+orward. TI-iv ? onJ.v way the tHarn c_-An handle the and deve I c )p expecti-itions (:)+ its probable siqni+j.c --1nc(-_ is to rel-- / heavily on jumIgment And intuit.-Aon. That involves cor-isiderable r j. s k. One way to (nake thRt risk. manageable is to approach the tasi; with empathy / +or the. actors in the situation in which they are*
It JS USE-+01. to kH.ep in mind the purpnsse o+ the
It is- riot to +ind and publish thF4? UltifllatG- -trUth Or to
and p.lac-" blame. It is to help improve project.. manacternent. and e.XeCLAtion., and the key +or that is the implementation team. T'he more successful evalukators are in ec: tablishinq rapport with that tpam the more likely their recommendations will be e++ective. A positive attitUde and empathy are useful devices in estAblishinq that rapport.
eval 19 VI-1
w o r i:- J. n cl d r a 4; t
B. Prepar-atinn +c)r- the
Vime is a criticala l elefrient in citn evaluation, ti'me
p r ep ar at i on as w *? 1. 1. A S t I ME + Or rm -, e C L ( t j. o n Under time pressure, pre-de partLlre prept: trat-icjn is o+ten sacri-ficed, even thoutc1h .-t +e,.j (Jays work. be+a e leaving +or the assignment hPips save. 'time in the -field and improve o+ +:i.r..Id -time.
1. SV eValLA,:ltjOfl time a sizeable paper has bp(:-1-1 estab i i si--)ed. EvialUation -team shoUld P-xpect donor _:ind j.fTlt7)lEeMeTltHr to help (, establish that trail. It consists ci+ proiec:t. ciocument :, V:)r*(::)i*-.(:-.t-- reports,, consultant. reports, and perhaps c,)tI--ier dn..nc-_)r
documents relevant to the project., Irv tc) qc?t -the time to sti,(d-y these docutmet--itsi.
2.. f-) two-dav pre-dpparture t-)rie+incj will help tt-le
t.eam qlet to ::nciw v.-ach otht *r,, -tri share common qoAls and concF-.,pts,
* n d t. o (I a i n an ( .s x p e c t a t i. c.) n c.) + t-_ h e t as k. n d t h e d i v i sii o n c) +
* e s p (.-.)n s j. b i I i t e s This creates a useful mental set and enables t.he team -to make better use o+ travel time than WCNAld be without it. r'ry ta -avoid havi.1-Iq to in +i Id i-= Mr-OUP Ot stranclers with littip cl.c)ncept o+ the task. H"rf.-. samp +..-.hinq ,, t.c.) accomplish in the pre-depRi-ture brie-fincl.
i.=A,, Get the dnnar"s views (-)+ the proje..ct, country strategy, hOW the PrOieCt +jtS C(:)Untr,),, stratf;-njy, it.And (.-.)thF,?r in+0r(Y)atACIn CNI CoUri-try, econom.1 c situationn, PcIlAtic:aA situation, and -the like.
b. Review technical criteria, mcxtels
and other material that. will help -the teafn members to +rc)m a (--c.:)fnmon technical base. lhprc: are many -iAnd diverqr_-- nt req,--irdind research and extension, and especially, ., so when 'S .t nvo I ved. With the k..kse o+ models and diSCUSSiOll,, the tena.un can develop (_--ommc)n concepts, at least +c)r communication purposE.?Fs"
c. Accumt.tia-te nrciiect in+ormatiot--i, +r-om persoris who 1-%now the pro-ject and the country. lhis could be +rom the impIpmentinq agent, persons experienced in the proJect., or others. Acct..imulate some j.-_')aper, but. be highly sie.fec.tivp tn tl-ie paper you lucl arMUnd.
d. Beciin -to orcianizce the team. Find out t.A-le tnterc !sts and capabilities o+ members and help them expectations o+ their responsibilities.
3. Insist on and expect -in in-country brie+inq as soon as it appears feasiblee utpon arrival. Donor personnel will. have varying views depending on their position in the organization. Normally the donors country o++icFA is more yclur clien-t than is the headquarter
e v al 9 VI 2
work -i nq drat--- W]:
Evalu-at j. n Stratecvy
'YCtur' Str-ateqy !ShOu d be_: a riener-al mret hod ofoper at :inn kwI. t h cer t.a. in q rne r al .1 i e d oh) i j oc t J. yves!- a nd st-L v .. e of op er a t i o:"In
1. He sureP yU nderstand tmhat donor per-sonnepl. who are respnsibl.e +for manalinq the project want and need fro.-m the eval u a.it i o n. Doni' t re]. y too heavi. I / on the Sc.ope of Nio.rk ITaki..e the manRaqer 5 needs ser i.ousi y and be sure they are 'attended.
2"Devel op. som.fe concept of.) i mpl.etentati on team's mnqrnt n-)eedsI-: that -the eval.uati on may be abl.e to hel p seits~v
Sear ch for pos ta yve a specs op pr o iect. .I1t i ; jut ..I:asproduct ivye to bi 1(1l on strencfth As it i s to correct- weakness,
4,, Identify the neqati ye aspects.
5.. Pl ace the po:sit i e and neat i e into a 1 arqer perspect~.e that is uspl-ul or fu..nctinn onal.
]:n general this strategy Rims to gain r-apport ,with both
the proj ect. and the donor by (a) seei ng their- poi nts of: N\!i w anid
(b) seek:i nq the posi ti ve Empathy and posi tive attitu-de hell-, ni ln rapport, wr-hic:h ini tturn helps to-. deal' with p~b.esin an oh ect i e manner. An evial uation holds somneth :1.nc o+ a personal. or individual -threat, even though the evalLati.on tea _m itself has4. no:!zuch intent ion. Your- str-atep y needs -to -dcethat threat. so that problems can be addressed separate from-)c persons. YouA Can dead wi th probl.ems- col di. y and 1 oclical .1 --once you have deal t wi perso::ns warmly y and pyzoI p:.cl
6. Recommendations ne to be considered c.arestul .y.. I n so:me ca:-ses donors revi ew and fmo.dify, you..r rcmedt os. others the donor will tak:e YOU.r re.:commendat ions almost Wi thoutl..
qutonp1 ac inp:' the responsi bili ty compl etel y on o. If -you-r report is ton be taken seriously, the reco_-mmendations must be si p-n:L i icant., must be real isti c mu..st address the fcosms l.i mi ti nq success of -the proj ect and must be compat i h.e tti thI the notio.-ns of those charged wi th maniaqinq the proj ec. 4e i na compatible does niot. mean apcment or- whitewash It means car-e in cas in n the ec mndtonso that it -fi:t s manApemennt style an pr oji zct Concepts of tht .C --ose responsibhi.e for the proj ec t.,
Resist the t--emptation to-. make.a too many recommendations.
Don't make a recommendation out of a "pood idea" if it takes too many resources, too much time. and has little chance of heinq put into effect.
If you have suppesti(ons, useR a headi nn su-ch as
alternativess to consider." Many "recommendations" WOl~ld be better- described as "alternatives' and do need further study before heinp adopted. Recall that the project manager and donorlive with a project you are seeing only for a matter 0-f- weeks. Recoani ze the. limitations imposed on You bv the li mi tatti onsso
e~ v a 1 9 y I -:
workincl draft #..Z
D.. Objectives and Sel-f-Evaluation
Ihis h,-; tncJbc-)c:)k has emphasized the [..tse c)-f c.)bjectives in pro-ject de .,i.cjn and impJ.(--m _-.,ntion. Now it does so in pro-ject e v a 3. 1..( a t i c') n I + c) b j e c t i v ax r e t-) Pi n q ..t s .-- d j n :1. i i--) e w i t 1-1 t h e s e
it will qr(-_ atly facilitate your OJOr -: to LASE? them in e va I t..ta t i o n 1+ the project has not t..tsed them i..ip until now, -you can still usc-7? themr-and at the same time demonstrate their valuf-: :0--i project manacjc. ment.
Fhe most prodUCtiVe Wa' ' +or YOU to USe (ob jeCtives is to
have the i (TI p I e m e n t a t i c) n t cT? a fn s t Ek t E* a n (A r f.? v i a w i t s n v) n c) b i e c t. i v e and then to dc) a sel+-evaluatic)n c)+ thc. -. pro-iec:t.. IS t..i c h a n e x. e r c i ss e will qenerat.t-_-, data and insi.qhtS LASP-fUl tO 'YOU., [ t kAj i I I
help you establish rapport as well as initiate a 1..tse+k.A proc-ess in the project.
Jr-I dF?a.jij"j(:.j with of.:)jectivc--. s, i..tse whatev( .-?r is writ-.ten dclwl"I,
but also spend adequate time in d.isc_-t..tss.ion with the team, hoth a!" a cirOUP and with indi-viduals fo allow thpm to Pxpla:6--f t1--at? to you. Y 0 L. t F. h c) t.. t I c J e , p (.: c: t t h --i i t t I E- t ED a M C: A T I C.? I I ID L j -k i 1 t. C 1 111 o t I e
c c) n (:_-c- pt(.,tAl i-.-:atJ.on crf I:he project. and ci+ pro ject. strateci-,,/. I' h F
tream should f.--xpr-:?cA- to be a5l-ed to expl,--xin this
---tnd should t-,c) have -n c.)f.)porturiJty to dci so. Hcw. i^jell (-.he
team f.)Or-+(:)r-fns in explaining and objectivf:-s i.s:
an '_Lmpnrtant element c)+ -the evali..i, itt.ic)n.
A simple -format will hell:.i the implementation team
(J-e+UJ. in+ormatinn and analysis. 1+ the teafn has developed a +c)rm,-_it, use it. to the extent you are able. See the formatss sttqrjested in the chapters addressing project-. design and prajec:t i MP I f9fflefl t. a t. j. nn.,
IhIiS E--46'r-CiSe kAlill enable the implPmentat-Acin team to
set the parameters o+ the evaluation. I+ its pi.- r...Ameters are not
consistent with your scope (n+ i.e. thf:i clonor s parameters,
c.hec.1-: f o see i+ it results +rom some (YO. sc:nm(Tn.tni cat j. on or di+-ference in viewpoint or i+ -the prcll.-Af- m J.S= fYVOr"e Sierj.OUS, SLIC.-h as a la.Ack. o+ congrUence o+ the concept!:-. c)+ donor and implementation +.-eam or even a cc.)ntronta-ticin on some asp ect s c)q: project manacipment.
E. Strive +or (3biectivity
[he emphasis placed here on empathy, a positive attitude, and the need -for rapport should not ben interpreted to mean that. vou need not be objective and even touciti. Di++iC(Alt thot.tah it
is., strive +or as much objectivity as is +eAsible. Analvsti:i lik.e to usf.- the -term "riclor," a term o+ten associatF-d with numbers, 1he problem with nt..tmbers is placing a meaning on them or makincl. them relevant to the project. We. simply are not able to providestandards or norms +ar some o+ the cc)f.- ++ici.ent.s. fiettinq reliabi.e data o+ten takes, more time than an eV -AlUr.AtiOll teAm hasi and manv ci+ the numbers may be relevant to host institution management bt..tt CleizIrlY C)UtSide the responsibilities o+ the project.
'119 k) I -J.
w or k iin q d r af +
Nc)n qt.a n ti + i able dant a caci n a Is n beI ob Inj e c t.I vaein d canri1- Ae used w i -th Inri qlo I- a .1 thIniu qhI th!Ie t es5,ts c)+ s uc: h Iaf f., i s i s In ot 'tan d ard Olne (-av -to pin ci qocr is to. present the dt.in .a descri. pti .ve o:rm or by numbers, and then, separate]. fy., to exp. ai ri itese as f::vici ence i3 .1 support 0f a point or r*e.cO(P(Dle rd-at i on. E-V1 deie :.s the i. u nt erpret a-it ion o+f the data u..sed to suppo-rt a point. 'I i s at 1.1 a tlfimI.SC m (YIC.J h IS 't0r er-c r i n juIc u d men t an d ntL.tIt o Yc nu.t" o:.n ./ d lef? ense i s t.o r epor t -and cx p a i n =a s cop et. v..\ as thIne T. i mIIj. f cT-I s p a c e (:: +aHn e- va HI u atf :i o i rep .c. 1. ols. Yo~u may be aIteto use ther mnodel s presented i n t hi s handbook to hel p r educe -thi s r it sk
.~e~au.u)+o the sut.biject ae naftre (..+ a-kn (myst auat on anmdth !:-hcrt time th.-iat you have to dlo it, a chief vi nc vat ici ty is~ not. al ways ea-2sy. i-or)r your team to achi eve credi biIti ty., YOU must be concerned we~ith the problem. Here are some thinpis you.- an dc).
1 Pt an- you.r work svstemmat ical ly I'odel s wil h.I etlp %Iou as wil 11the i mpl ementati on team's ohbj1ectivyes and stfea sio
Check for consi stenicy in both obsf.ervata ons and aHinalvse~s smo-nq your tearn members. Sot vi nq -the ncon-si stc-nci es ma -i. a youL throucin an exe:-rcise tha--t wilI improve v./li di ty.
Develop hypotheses as soon as -Appears +e- sblt-? and (:heckthemn ouit spec ai call ly in your intervi ews. You.I may b::e able to spec i fy thne data ne.-eded, *the source, and assi pn more than o.-ne:. member of the team to test the hypothesis. ilie entire teamn ran hear the evidence and help draw inferrences andi conci usi ons,
4,, Identify important data needs and qaps as e.-ach y in the.. eva].Uat ion to i mpr-ove your chance o+ plettinn the data.
. St art datnlthe eer"rt in the ea sio
Waritinq tihe r-eport 'is a pocod way to) reveal data gapsri and i nconsi stenc ies.
interview techn3. ues a-re critcl ee vr S
questions in aln in-terview that can be answered with "lyes' or "nI-o. These qUeStions are so easy to answer that t heyv yi,,.el d unisin i-omation as o)f-ten as informat~ion. They are especi ally ineffective When YOU and t.he respondent do not share acmor native 1 rqin.Instead use questions that require thoucliht and require a description or analysis.
A -second useful techni que is to demonstrate the~ at ti tudFe- of a student, trying to learn and understand. Avoid th impression
that YOU are tryinq to prove a point or make a case. Respondents are li kely -to be candid d In belping YOU 'L earn and kunders'alndl. Thiey are put On qUard i + you are tryi ng to prove a poi nt or make a case.
eval 9 V1-5
Gi. E:< tra-Ev ,al uat ion Aqtendas,
Occasiconalii yocu will1 encounter situations in wh-ich somne o+ the parties a nyflc]. 'id wil1l want to Use your team andth evaluation to achieve an objective that is oly ; marginal 1y rel ated -to -the purpose of+ an eval uat i.on. Many o+ these extrae-:valk.uata on aqendas are 1 eoititymate, and yot.. may be able to make a qenui ne contri bution without compromise s.anri your own reponsi bi3.i ty,.. However,* in some cases they are simply attempts to use you.. and your task fo:r- ends that have li ttl erlne to your task and
co.,d be harm+f A to your jo.
YOU ha8ve to rel y on you)Lr ow,-n j udqme-_nt (1I in rec-oor.,.iip.
-these agencdas and (2) in deci di nq how to handle -them.
In some cases, even a 1eqititmate,- request may be outside
you..r responsi b ii ty. For e.x a4tmple, ei t the i mpli ement i n acent or -the doJno.r, may want .an evalua., tion of.I Art i mVnl ement. i na teamn member (his is clearly/ outside w.1hat one should expect froml an e Val LAa ti on1- It may be completely .ecli ti mate, in twhi ch- case you.. c.an decide what to do as an individual, otside the Pv aluSti on. However, such a request co,:uld be part of an onqc.i nq personait. y coinE 1 1ct i.n wh i ch your contri btiion coti c do as mu..ch hai-rm as qJood. In other cssCon- +i~cts between two eron resut~l t from fUnda-=men:tal di.+ ferences i n viewpoint on technical1 cr iter a.. anid thne --issue may have./ to be f ac.-ed..
Some qui.delines may be -usel-ul.
Only one evaluation report should probably be writtAeni. It cai.n treat squa-irely anid in a stra-i htfc)rw.ard manner, manyv proble-zms
-that appear delicate or sensitive Jf rapport has been establishedl aXind i+f the issue is handled ob Iectiv ely and accordi no to fairly spe,-.c:1 + i c cr iteria. If a separate report seems needed or has been
reuete,,consider very carefully bfore wr1.t inq it. C on si den-: t he a] ternat:i ye a+f an oiral report--if the need and reques.-t is .I en i t i mate and seems needed Let the requester, in a memo of conversation, write it dwn i+ he needs it written.
I:n sometyi cases the request is clearly more than- can be expected o-f an evaluation team, and your best alternative is si mpI. y not to qr ant i.
You~ mnay have exp..erie-nce or make observations that inte. rest you As an indi vi dual and have value LiIn another context H an1dlIe these cases by1, your own crite-ria, ['hey c..-an be handled or responded to but ouA.tSidte the framework.. of the eva]. uati on
In some cases igonorance as your best strategy. If. you.1.
sense -troubl e, on an issue notA important -to the eval uati on task,
tebest alternative may beto I ono-.re it and all the data presented t~o yo.
working draft #3
H. ELva.ati.n Report Uut.ine
There is no standard format for an e.valuation report. I he one below is given as a start ing point for you to dev1ope your own,, It. will result from your own style of operation, the scope of work, and your discussions with the donor and others.
1. Project Evaluation Summary
The PES is also called the Face Sheet. It is a standard AID form, and much of it will be filled out by the donor.
'he body of the PES is made up of a list of actions to be
taken against names of specific persons who will be
expected to take those actions and the time at which they
will be completed.
The actions will be derived from your recommendations.
This is one reason to keep your list of recommendations
short and to make them realistic both from the standpoint.
of impact and act. ionability.
Give some idea of the purpose and conditions of the
evaluat ion. There are several reasons for an evaluation.
There are several evaluations in the history of a project,
and each will have its own conditions, Explain, briefly.
Use one paragraph for a brief description of the
methodology used in the evaluation. Explain how bacl.::cround
papers and interviews were used and how that data was
translated into an evaluation.
Closely related to methodology is the way the report was prepared, who did the writing,, who did the revieewinq, and
how the final report was prepared.
3. Executive Summary
One to two paqes, made up of numbered items that summarize
your report. You do not need much explanation here.
Simply assert your findings. List positive findings as
well as findings reflecting problems. List these findincis
in an impersonal style.
Avoid such wording as "X should be commended for....," just
as you would "A should be criticized for..,"
List your recommendations separate from finding., and make them in summary form with little detail and no discussion.
eva I p a r VI 7
4,, en er a Comments
here i s t+ tf en a need to comment on the pro j )ect (::r-- he host i nstituti on beyond the area covered by the scope oAf work. It 'iour team +eels this ne~ed, use this headinic,1 f.ep qleneral comments to under three paqes. It can come here or .1 ater .
5.Eval. uat ion
I n this s--ectiton + ollow yorscope o-,+ wo:rk i tenb at LISi nf the + Orma-t blo I + some a ters can ble comb ined., do s o b-)u t don t l1et an itemn e-t lost.
(AScope ro+ Work kitemn NUmber one.
Evidence or 'Findinqs
Di scussca on
Recom)(mendata ons arid "alternatives -to consi der.
H. to N.,
1+ you have no recommendati ons (and YoushrJ no
unl.ess they are si qni icant) 1You can present + indi ncjs and discussions thorouphly'. It is just as importat to
justi+y no recommendation on an itepm in aI scope o+ wor k as i t is to ju.st i +y a recommendati on.. rA:ssime that. th e
donor is interested in your investiqatLion o+ an issi-t-e
listed in -tjhe op' + work6. Extra-Scope o+ Work: Issues
A~s di cussed above, -Lt is (:+ten use-ful to (-.o beyond the
r--+ work< in ciatherinq da-ta and presenting analysis.
Murch oJ+ the extra-scope mater al can + it in in the
scope i + work above. Use a separate secti on, however.
i+ you. nieed it.
Att.L=Mpt to pDut call Iofyour" eval ua-ti on in one docu ment
tw hi cl becomes part o+ donor e, memory. With rpasonabl.e
ski J11, sensitive issues c-a-n be dealt with adPt..ately
in an o++ ici a I document.
7People and Placs
List the people YOU ta'lk:ed1 with,. the documents you read,
and -the ci tee you visited.
YOU may want to include material that does not +i t in
report-, Put it in one or more annexes,
eval p a p V 1.-