Concepts and practices in agricultural extension in developing

271 Pages·2009·6.79 MB·English

www.ipms-ethiopia.org
Concepts and practices
in agricultural extension
in developing countries:
A source book
www.ilri.org
INTERNATIONAL LIVESTOCK RESEARCH INSTITUTE
Concepts and practices in agricultural extension
in developing countries: A source book
Anandajayasekeram Ponniah, Ranjitha Puskur,* Sindu Workneh and Dirk Hoekstra
Improving Productivity and Market Success (IPMS) of Ethiopian farmers project
International Livestock Research Institute (ILRI), Addis Ababa, Ethiopia

* Corresponding author: [email protected]
ILRI
INTERNATIONAL
LIVESTOCK RESEARCH
INSTITUTE
Authors’ affiliations
Anandajayasekeram Ponniah, CaSt (Capacity Strengthening) Unit Manager, ILRI (International Livestock
Research Institute), Addis Ababa, Ethiopia, formerly IFPRI/ISNAR (International Food Policy Research
Institute), Addis Ababa, Ethiopia
Ranjitha Puskur, IPMS (Improving Productivity and Market Success (IPMS) of Ethiopian farmers project,
International Livestock Research Institute (ILRI), Addis Ababa, Ethiopia
Sindu Workneh, IFPRI/ISNAR (International Food Policy Research Institute), Addis Ababa, Ethiopia
Dirk Hoekstra, IPMS Ethiopian farmers project, ILRI, Addis Ababa, Ethiopia
© 2008 ILRI (International Livestock Research Institute)
All rights reserved. Parts of this publication may be reproduced for non-commercial use provided that
such reproduction shall be subject to acknowledgment of ILRI as holder of copyright.
ISBN 92–9146–234–9

Correct citation: Anandajayasekeram P, Puskur R, Sindu Workneh and Hoekstra D. 2008. Concepts
and practices in agricultural extension in developing countries: A source book. IFPRI (International
Food Policy Research Institute), Washington, DC, USA, and ILRI (International Livestock Research
Institute), Nairobi, Kenya. 275 pp.
Table of Contents
Foreword v
Preface vii
1 Agricultural research and development (R&D) systems: Challenges and
changing paradigms 1
1.1 Introduction 1
1.2 The reform agenda and emerging challenges 1
1.3 Paradigm shifts in agricultural R&D 3
References 26
2 The past, present and future of extension service 31
2.1 Introduction 31
2.2 Historical evolution of agricultural extension 32
2.3 Generic problems and approaches to address them 37
2.4 Factors of success in the knowledge/technology dissemination process 62
2.5 Factors affecting clients’ access to extension services 64
2.6 Changing paradigms in extension, and roles of extension agents 64
2.7 Emerging challenges and opportunities 72
2.8 The future of extension services 75
References 76
3 Extension approaches, models and methods 83
3.1 Introduction 83
3.2 Extension approaches 84
3.3 Extension models 93
3.4 Extension methods 102
3.5 From government owned R&E to innovation systems 106
References 107
4 Group formation and management for participatory research and extension 111
4.1 Introduction 111
4.2 Farmer groups 111
4.3 Farmer groups in extension 116
4.4 Groups and their dynamics 119
4.5 Group formation and development 128
4.6 Planning and implementing group activities 150
4.7 Indicators of cohesiveness 154
4.8 Monitoring and evaluating the role of FGs 163
References 166
5. Tools and approaches for participatory research and development 171
5.1 Introduction 171
5.2 Tool kits 173
5.3 Gender analysis 184
5.4 Stakeholder analysis 186
iii
5.5 Actor analysis 189
5.6 Participatory Assessment and Planning (PAP) 196
5.7 Participatory Learning and Action (PLA) 198
5.8 Participatory Farm Management methods (PFM) 202
5.9 Participatory Rural Communication Appraisal (PRCA) 208
5.10 Rapid Appraisal of Agricultural Knowledge Systems (RAAKS) 213
5.11 Participatory Extension Approach (PEA) process and tools 216
References 227
6. Progress and process monitoring, evaluation and impact assessment 229
6.1 Monitoring, evaluation and impact assessment 229
6.2 Participatory evaluation 242
6.3 Participatory Impact Monitoring (PIM) 254
6.4 Process monitoring 259
6.5 Outcome mapping 264
References 267
iv
Foreword
Agriculture has once again been identified as the lead sector for growth which will help meet the
Millenium Development Goals. It is being advocated that it should get a more prominent place in
the world’s development agenda. Even though rapid strides have been made in the last few decades
in agricultural development, hunger still exists and rural populations are amongst the poorest. Africa,
particularly, sub-Saharan Africa has not kept pace with the developments.
The agricultural sector in developing countries is facing rapid changes and unprecedented challenges.
The knowledge intensive nature of the sector is more evident now than ever before. The trends of urban
markets, globalization, changing consumption patterns, land and water constraints, climate change,
need for alternative sources of energy including biofuels, and emerging diseases are driving development
in agriculture. Private sector is increasingly playing a role, as also the civil society. Innovation is the
order of the day.
Extension worldwide has been transforming in response to various challenges and developments. There
is no gainsaying the crucial role of agricultural extension services in promoting agricultural innovation
processes. They can play the boundary spanning role and help link farmers to various technical and
non-technical services and markets. They are the major conduits for knowledge sharing.
There is a large amount of literature that has been and is being generated in this field of inquiry.
This source book, a joint effort of ILRI and IFPRI/ISNAR, compiles available and recent literature on
developments in the agricultural extension approaches and practice, mainly focusing on developing
countries. This will help both practitioners and students of extension to access knowledge regarding
various changes in various parts of the world and help learning from these experiences.
I congratulate the authors for their dedicated efforts in bringing out this volume and contributors whose
work shaped this piece. We have no doubt it will be of immense use to policy analysts, policymakers,
and the research and development community at large.
Carlos Seré Aberra Deressa
v
Preface
This source book is a product of joint activity between ILRI–IPMS project, CaSt and IFPRI–ISNAR. It was
developed to address the felt needs of practitioners, students and researchers in the area of agricultural
extension to have a compilation of available literature on developments in concepts and practice of
agricultural extension in developing countries.
Agricultural sector in the developing world is changing rapidly and is driven by a number of external
and global factors. The challenges the sector is facing are ever increasing and becoming more
complex. Consequently, the demands placed on extension services which have a crucial role to play in
promoting agricultural innovation to keep pace with the changing context and improve livelihoods of
the dependent poor, have also increased manifold. A number of innovative approaches and methods
have been tried in various developing country contexts in agricultural extension, to transform the
system and to capacitate them to respond to the demands and challenges. This source book brings
together these various experiences and developments in thinking, to facilitate learning and use by
practitioners and students.
The first chapter outlines the emerging challenges faced by agricultural R&D sectors and how paradigms
are evolving in response to these changes and challenges. The second chapter traces the evolution
of agricultural extension thinking and practice. It highlights some generic problems faced at various
stages of evolution and approaches to address them. It highlights the factors identified in literature as
contributing to successful knowledge dissemination processes and creating higher access to clients
to the services. While reflecting on the challenges and opportunities, the chapter also explores the
possible future of extension services in developing countries.
The third chapter gives an account of the various extension models, approaches and methods that have
been tried out in developing countries and the experiences. The chapter concludes with the transition
being made to agricultural innovation systems from Research & Extension systems and highlights the
role of extension services in this context. Chapter four highlights the importance of farmer groups in
providing effective extension services and promoting innovation. It explains in detail the processes,
approaches and methods involved in group formation and development, management, performance
assessment and, monitoring and evaluation.
Chapter five lists and describes in detail the various tools and methods used in participatory research and
development processes. Chapter six focuses on the very important issues of Monitoring and Evaluation
as systems for learning and for facilitating reflective action cycles. The importance of participatory
approaches in M&E, process monitoring and outcome mapping are highlighted.
This book can be used by students and practitioners of extension, researchers and decision-makers.
This is a collation of knowledge regarding the practice of extension and is not intended to be used as
a recipe or blue print. Based on the context and the requirement, the approaches and tools should be
selected, adapted and used. There is a built-in flexibility that would allow the user to employ his/her
experience, creativity and imagination in adapting and using the approaches and tools described in
this source book.
The authors encourage the readers to provide feedback and constructive comments for further
development of this source book. Your inputs are very much appreciated.
Authors
vi
1 Agricultural research and development (R&D)
systems: Challenges and changing paradigms
1.1 Introduction
1.2 The reform agenda and emerging challenges
1.3 Paradigm shifts in agricultural R&D

1.1 Introduction
In a rapidly changing world, food and agricultural innovation systems in developing countries are facing
new and increasingly complex challenges. Fighting poverty, ensuring food and nutrition security while
protecting the environment still remains a major challenge facing global development practitioners
today. New mechanisms to foster development and diffusion of innovation are needed to strengthen
the ways in which information, knowledge and technology are developed and disseminated to ensure
that the global changes benefit smallholder farmers, food insecure households and other vulnerable
groups.
The scientific methods of experimentation and discovery have not changed since the 19th century,
nor will they change. However, the environment in which discovery and innovation occurs changes
constantly and this influences the organization and social process of innovation. The Research
and Development (R&D) community responds to the changing needs and emerging challenges by
developing innovative tools and approaches. Since the introduction of technology transfer model, the
R&D arena in the developing world has seen a number of paradigm shifts. In this chapter an attempt is
made to briefly describe these concepts so that the R&D practitioners can comprehensively internalize
the desirable features of these concepts in designing the future policies strategies and programs.
Over the years the R&D system has been testing, adopting and adapting a number of concepts and
procedures to make it relevant, effective and efficient. Some of these concepts include: Farming
Systems Approach; Participatory Research Methods; National Agricultural Research Institutes (NARIs);
National Systems Framework (NSF) including National Agricultural Research Systems (NARS), National
Agricultural Extension System (NAES) and National Agricultural Education and Training System
(NAETS); Agricultural Knowledge and Information Systems (AKIS); Agricultural Innovation Systems
(AIS); Rural Livelihoods; Agri-Food Chain/value chain; Knowledge Quadrangle; Action Research;
Agricultural Research for Development (ARD); Doubly green revolution and Rainbow revolution; and
Positive Deviance. These concepts are briefly discussed in this chapter to understand the contemporary
perspectives and their evolution with respect to agricultural R&D systems.
1.2 The reform agenda and emerging challenges
The policy and institutional context in which agricultural research and innovation occurs has changed
dramatically. Rapid changes continue to take place in the structure and authority of governments, the
global economy, the structure of the farming sector and in the global and local food industries and
retail businesses. The institutional landscape is also changing dramatically. The ‘third parties’ (such as
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civil society, farmer organizations and NGOs) are increasingly playing an important role in agricultural
R&D. Cross sectoral linkages between agriculture and other sectors (such as water, health, energy
and education) are becoming increasingly important. The agricultural sector is expected to play a
significant role in poverty alleviation and food and nutrition security, while protecting the environment.
Research and support services are now inextricably linked to the broader development questions. With
reduced funding support, the agricultural R&D system is now forced to face questions on its continuing
relevance, approaches, accountability and impact.
Since independence from colonial powers, most developing country research and extension managers
have been forced to grapple simultaneously with five complex transitions which ultimately will
influence the productivity and sustainability of the R&D system. These are:
• Managerial transition—from colonial to local research and extension administrators;
• Scientific transition—from expatriate to national scientists;
• Financial transition—from dependence on financial support from colonial governments and large-
scale farmers to mobilizing support from national governments, donors and beneficiaries;
• Political transition—from commercial farms to smallholders to private research and extension; and
• New forms of public–private–civil society research–extension partnerships.
At present the three core institutions in the agricultural knowledge triangle—research, extension and
higher education—have been downsized and restructured and new private institutions are now in stiff
competition with their public counterparts.
In most developing countries, the public sector agricultural R&D system has been characterized by
build up of research personnel, declining levels of operating resources per researchers and growing
reliance on donor funds. Today most NARIs are constrained by recruitment freezes or lack of finance to
hire new staff or retain existing staff (inadequate support, low pay); budgets highly committed to staff
salaries and benefits, i.e. existing establishment costs; budgetary constraints that focus on short-term
activities, geographical areas and limited number of commodities; and lack of strong national or rural
development policies in favour of resource-poor smallholders and sustainability.
Recent studies (Biggs and Smith 1998; Hall and Nahdy 1999; Ashby et al. 2000; Chema et al. 2003)
show that many organizations, especially publicly funded agencies dealing with agricultural R&D in
developing countries are facing a crisis of confidence among key stakeholders due to:
• lack of strategic planning that indicates future directions
• inward looking attitudes
• poor participation and cooperation of end-users in research activities
• inadequate monitoring and evaluation systems
• top-heavy, bureaucratic procedures
• insufficient resources for effective implementation of priority research
• lack of effective external linkages and
• lack of evaluation and performance culture.
This crisis has been found to result in organizational inefficiencies, lack of adequate stakeholder
participation and responsiveness, decreasing investor confidence, inadequate staff motivation and
morale, limited research and service outputs, limited uptake and utilization of research findings and a
‘brain-drain’ from the public sector.
The reform agenda within the R&D arena includes: redefinition of the role of government in agricultural
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R&D, decentralization/privatization of agricultural R&D activities, broader and active stakeholder
participation-pluralism in service provision, networks and partnerships and new funding arrangements.
The new funding arrangements include: separation of financing from service provision and research
execution and changing the funding base to competitive funding. Orientation of R&D to be more outward
looking, client oriented and impact driven and embracing of ‘systems’ perspectives are also part of the
reform agenda in the R&D arena. Some of the exogenous trends contributing to the reform process
are changes in the political, socioeconomic, market and institutional context together with changes in
the demand for R&D services, research technologies, methodologies and approaches. Managing this
complex environment requires a range of skills and tactical planning, and shift in paradigms.
Recent developments in the context of agricultural R&D present certain challenges to agricultural
research and innovation in developing countries. These developments include:
• Confronting new priorities in a rapidly changing world (e.g. stronger demand for competitive and
quality-conscious agriculture) and adapting to changes within a more complex innovation systems
framework where there are a greater number of actors and linkages to consider;
• Redefining the role of government in agricultural research and service provision and defining the
role of the private sector, civil society and end users;
• Strengthening the demand side of agricultural research and services to ensure that these programs
are more responsive and accountable to end users;
• Developing a clear understanding of the institutional structures needed at the national, regional
and subregional levels for agricultural research and service provision and of whether, and how,
this understanding would imply changes in the current structures present at national, regional and
global levels;
• Developing a clear understanding of the institutional structures needed at every level for
agricultural education within the emerging food and agricultural innovation systems;
• Ensuring stakeholder participation and developing local, regional and global partnerships and
alliances;
• Facilitating development of innovative funding instruments that make public institutions more
sustainable, reduce donor dependence, and enhance co-financing by end users and others
• Assisting in developing mechanisms through which internal and external support for food and
agricultural innovation systems in developing countries are better coordinated;
• Strengthening system linkages and coordination, including linkages between agricultural research
policy and wider policies for science and technology (IFPRI 2005).
1.3 Paradigm shifts in agricultural R&D
Agricultural Research and Technology Development is undergoing a paradigm shift, in which the
environment under which agricultural research and extension systems are operating is affecting their
organizational structure, management style and field operations. Basic trends of these environmental
changes are based on multiple partnerships, multilevel participation and the enlargement of the scene
from national to supra-national levels. Under these circumstances, both agricultural research and
agricultural extension policies are going obsolete with regard to new options (SDR 2005).
A shift was needed from a single commodity, monodisciplinary base to a farming system and a
multidisciplinary based approach together with a change from a top-down extension model to a
participatory approach to technology assessment and adoption. The key features of the paradigm shift
are summarized in Table 1.1.
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