Strengthening Regional/Sub-Regional Organizations of Agricultural Research for Development

Transcription

1 NARS Secretariat G LOBAL F ORUM ON A GRICULTURAL RESEARCH F ORUM M ONDIAL DE LA R ECHERCHE AGRICOLE F ORO G LOBAL DE I NVESTIGACION AGROPECUARIA Strengthening Regional/Sub-Regional Organizations of Agricultural Research for Development Rome, April 1999 c/o FAO/SDR, Via delle Terme di Caracalla, ROME ITALY Tel.: ; Fax: ; NARS-Secretariat@fao.org nars0010.doc

2 In the globalized world that characterizes this turn of century the Regional/Sub-Regional Organizations (ROs/SROs) play a key role in facilitating scientific and technological cooperation among groups of countries. Through cooperative action, the ROs/SROs facilitate joint research efforts, seeking to assure a critical mass of human and financial resources in strategic areas of research, and to promote concerted action among the various stakeholders of agricultural research for development (ARD). Given the increasing institutional diversification of ARD, this in itself is an important objective. These organizations also play an important role in the context of integration processes that are taking place in different parts of the world, mainly at the sub-regional level. But despite the important role they play, Regional/Sub-Regional organizations are confronting serious problems of sustainability, as well as an increasing challenge of evolution and consolidation in terms of being able to respond successfully to the opportunities and requirements that are being generated by the deep changes taking place in the organizational and scientific context of ARD. In order for these organizations to play an active role in this changing environment, it is important to analyze the factors that are limiting their effectiveness and their sustainability, as well as explore ways and means through which the ROs/SROs can be supported and strengthened. Regional Organizations (ROs) of ARD refer to the Regional Fora of Agricultural Research and Development that have emerged over the last years in different regions of the world. The Sub-Regional Organizations (SROs) refer to such organizations as CORAF, SACCAR and ASARECA in Sub-Sahara Africa, and the PROCIS, CONDESAN and SICTA in Latin America and the Caribbean. Similar Sub-Regional organizations are emerging in Asia/Pacific and in West Asia/North Africa. In order to address these issues, an informal meeting was held between the European Initiative on Agricultural Research for Development (EIARD), ISNAR and the NARS Secretariat, on April 14, The purpose of these notes are to present an Executive Summary of the main points discussed and the conclusions that were reached. 1. The Challenge: Factors that limit the effectiveness and sustainability of ROs/SROs The first part of the meeting was dedicated to a brainstorming of ideas related to the factors that limit the effectiveness and the sustainability of ROs/SROs. Six main areas of concern were identified: Changes in the socio-economic and political environment in which ROs/SROs operate The ownership of ROs/SROs The governance of these organizations Developing a management capacity in ROs/SROs. Strengthening an impact-assessment capacity Assuring their sustainability in the medium and long-term nars0010.doc Page - 2

3 For each of these areas of concern specific strategic factors that could become limiting factors were identified, that can be summarized as follows Changes in the Socio-economic and Political Environment: a) The role of agricultural/rural development is not clearly contemplated in the development policies of some countries. This becomes a limiting factor from the point of view of not generating an adequate policy environment for rural development, especially for addressing the issues of rural poverty, food security and sustainable development. b) While total investment in agricultural research for development (ARD) has been increasing at the global level, public investment in ARD has tended to be stagnant, or even decrease, in recent years. The growth is being mainly generated by private sector investment. This has clear implications for the capacity to produce public goods related to development. c) The dynamics of scientific progress is increasingly being generated by the new areas of science and by the new actors (i.e. NGOs, private sector). This poses a challenge to NARS and their ROs/SROs to take advantage of the opportunities being generated by this new environment. d) Given the rapid process of institutional diversification that is taking place in ARD, profound changes are taking place in the organizational environment of this area of research. New actors are playing an increasingly important role: NGOs, private sector, universities and Producers Associations, besides the NARIs, the ARIs and the IARCs. e) It is important to increase the awareness of the policy-makers of the importance of ARD and of the strategic role it plays in development, at both the national and the global levels. But this also implies looking at the multiple inter-sectoral linkages between the agricultural sector and the other production sectors (industry, environment management, etc.). An effort in this direction can clearly counterbalance some of the previously mentioned trends. e) The forces of economic liberalization, deregulation, privatization and globalization pose new challenges for SROs through their NARS to increase the market competitiveness of developing agriculture within the global context. Actors need to be identified and mobilized to meet this challenge. f) With democratization and institutional pluralism taking hold, the base for joint stakeholder ownership is being broadened, with greater prospects for accountability and improved governance of NARS and SROs Strengthening the Ownership by interested Stakeholders: a) The development of real Stakeholders in ARD is of paramount importance. This requires the development of a proactive mentality and attitude of commitment and of nars0010.doc Page - 3

4 social responsibility. This also requires that stakeholders develop a clear awareness of their common interests, and of the importance of collaborating among them as a way of achieving their objectives (instrumental value of collaboration). b) It is of great importance to build ROs/SROs on the basis of the common interests of stakeholders. But for this to be possible, this has to develop simultaneously with the previous point. c) The previous two points should lead to a clear sense of ownership of the ROs/SROs by the Stakeholders that are involved in this process. The main stakeholders should be from the region, and the governance (i.e. chairmanship) should be in their hands. d) It is very important to involve the new actors of ARD in this process of building ROs/SROs (i.e. NGOs, the private sector, and universities), since they constitute important stakeholders. ROs/SROs should not only be constituted by NARIs. e) End-user involvement is of special importance, since this is one of the main Stakeholders. N.B.: We frequently face weaknesses in one or more of these key factors. These weaknesses become limiting factors to the process of building-up strong ROs/SROs Improving the Governance of these Organizations: a) In the multi-actoral world that characterizes the present context (NARIs, NGOs, Private Sector, Producers Associations, Universities), it is important to develop multi-actoral decision-making systems, that allow the participation of these various actors in the Governance of the ROs/SROs. They can no longer be based only on NARIs. b) As part of the previous point, end-user involvement in the governance of these organizations should be assured. c) There should be a clear definition of Tasks, Competences and Responsibilities among the various components of the Governance of ROs/SROs (the governing bodies). It is especially important to define the respective roles of the Chairman (or President) of the ROs/SROs, and the Executive Secretary (or Technical Secretariat). In order to assure an efficient operation of the organization, it is important to define clearly what is delegated to the Technical Secretariat in order to allow it to function properly. d) Transparency and accountability in the governance of the ROs/SROs should be assured. nars0010.doc Page - 4

5 e) It is important to develop a Management Information System (MIS) as a tool to assure effective governance (for the identification of common interests, research priorities, monitor impact, etc.). connectivity and access to internet should also be strengthened Developing a Management Capacity: a) The operational and management capacity of the Technical Secretariat of ROs/SROs has to be strengthened. If this capacity is not developed, very little progress can be made with respect to the other factors. This aspect can become a major limiting factor. b) This requires developing in the Technical Secretariat an analytical and monitoring capacity with respect to what is happening in their region/sub-region of influence (identification of challenges and opportunities). The development of a Management Information System (MIS) is a critical tool, for the monitoring of what is happening in the various Regional/Sub-Regional Research Networks and in the agricultural and rural environment of the region. c) Since the ROs/SROs operate through Regional/Sub-Regional Networks and Programs, a key factor is the effectiveness and the efficiency with which the networks operate. Here the issue of developing a capacity for the Management of Networks is of great importance. The management of a network is different from the management of individual research projects. In many cases a researcher is given this responsibility of managing (coordinating) a network, without a clear indication of what is being expected of him or her. The development of a network management capacity is of great importance. d) It is equally important to assure end-user involvement (through participatory research techniques) in Regional/Sub-Regional Research Networks. This is part of the efficient management of networks Strengthening Impact-Assessment and Dissemination of Results: a) For ROs/SROs to operate effectively they need to continuously monitor the environment in which they operate, and have to develop a capacity to assess the impact of the Regional/Sub-Regional programs and networks. Thus their capacity for impactevaluation and impact-assessment should be strengthened. b) The previous point highlights the importance of documenting cases of successful research programs, analyzing their impact and disseminating their results. Otherwise the positive impact of producing concrete results will be lost. c) Here again a Management Information System (MIS) can play an important role. nars0010.doc Page - 5

6 1.6. Assuring Sustainability: a) The sustainability of ROs/SROs depends basically on three key strategic factors: The ownership (and thus commitment) that the Stakeholders have on these organizations (involving all Stakeholders). A Sustainable Funding Strategy, based on the ability to mobilize financial resources from different sources (including a willingness to share costs). Their capacity to show results and to deliver, in terms of the objectives they pursue. Without this third element, the previous two can quickly erode away. b) The analysis of the various factors that limit the effectiveness and the sustainability of ROs/SROs clearly point to the need to develop a Strategy for the Strengthening of ROs/SROs. This is analyzed in the second section of these notes. 2. Elements of a Strategy for the Strengthening of ROs/SROs Having identified the above limiting factors, the meeting went on to analyze three complementary questions: a) Which factors can be more readily influenced, and therefore can provide entry-points to addressing the issues and challenges previously identified? b) What can be done about them? c) Who can be the main actors that can contribute to this process? A brief presentation is made of the main ideas and proposals for action that were identified in each of the six areas of concern analyzed in the first section, in response to the above questions. These ideas should still be considered as a first approximation to the topics being discussed, but they do provide elements for a strategy aimed at strengthening ROs/SROs Changes in the Socio-economic and Political Environment: a) In terms of the entry points for this first area of concern two important factors were identified, that in fact are complementary to each other: Policy Research aimed at addressing the development issues that are raised in this first point in the previous section. nars0010.doc Page - 6

7 Policy Dialogue among the main Stakeholders involved, and with policy-makers and end-users in both the public and the private sector. This policy-dialogue should lead to a process of knowledge appropriation and of developing consensus among stakeholders, around key policy issues and intervention points. b) In terms of what to do and what instruments to use, the importance of three approaches or actions was highlighted: Public awareness programs and advocacy action. Develop new strategic alliances between the stakeholders of ARD and other key actors (industrial leaders, policy-makers, new actors). The development of National Fora to discuss these issues, generate an informed public opinion (public awareness) and facilitate consensus for action. c) In terms of who can contribute to this process, the following actors were identified: Future Harvest Governments IFPRI ROs/SROs ISNAR NGOs Policy-makers 2.2. Strengthening the Ownership by interested Stakeholders: a) Three entry points were identified in this second area of concern: Development of a Stakeholder attitude/mentality, and of their capacity to analyze their interests in the context of ongoing policy discussions (at the national and regional/global levels). Involvement of Stakeholders and end-users in the conception of the RO/SROs, in the setting of the agenda and in the design of the regional/sub-regional programs. Involvement of Stakeholders in the National and Regional Fora. b) In terms of what to do and what instruments to use, the importance of three approaches or actions was highlighted: Support organization of stakeholders. It is important to develop joint/participatory policy dialogues around specific topics/themes, involving the various stakeholders interested in each topic. nars0010.doc Page - 7

8 It is important to open the ROs/SROs to the participation of the new actors in ARD in order to have a wide participation of stakeholders in the design of their programs. c) In terms of who can contribute to this process, the following actors were identified: ROs/SROs Stakeholders Associations NARS Secretariat NGOs 2.3. Improving the Governance of these Organizations: a) Three entry points were identified in this third area of concern: Clear differentiation and assignment of responsibilities to the various governing bodies of the ROs/SROs (the Chairman s Office, the Executive Secretariat, and the Coordination Units of the Regional/Sub-Regional Networks and Programs). Strengthen Strategic Planning capacity of ROs/SROs, especially aimed at identifying and analyzing opportunities and challenges generated by the changing environment, and at research priority setting. Establish or strengthen a Management Information System (MIS). There are various softwares and approaches for the establishment of such systems. b) In terms of what to do and what instruments to use, the importance of three approaches or actions was highlighted: Clarify governance and management functions that are required by ROs/SROs. This has to do with the clear definition of the Tasks, Competences and Responsibilities of the various governing bodies of these regional organizations. Expose ROs/SROs to benchmarking and Best Practice through the exchange of experiences on what works, and what doesn t. The exchange of experiences and approaches between regions (among ROs/SROs) can play an important role in this process. Comparison with other scientific associations and/or regional organizations could also be fruitful. Look at what can be learned from the various experiences in developing multiactorial decision-making systems. These experiences have developed around such issues as conflict-resolution over the management of natural resources. c) In terms of who can contribute to this process, the following actors were identified: ROs/SROs ISNAR NARS Secretariat FAO nars0010.doc Page - 8

9 2.4. Developing a Management Capacity: a) Four entry points were identified in this fourth area of concern: Support the development and strengthening of an operational and management capacity of the Technical Secretariats of the ROs/SROs. Develop and use management tools that are suited for the needs of ROs/SROs. A Management Information System (MIS), mentioned above, is one of the tools. Strengthen connectivity with all stakeholders and relevant institutions in the region/sub-region, as well as integration into internet. The first factor facilitates continuous interaction and monitoring, and thus management, of the activities and programs of ROs/SROs. Connection into internet facilitates access to information and knowledge, as well as interaction with other organizations and initiatives with similar interests through cyberspace. Develop the network-management skills of the coordinators of Regional/Sub- Regional Research Networks. b) In terms of what to do and what instruments to use, the importance of seven approaches or actions were highlighted: In order to strengthen the operational capacity of the Technical Secretariats of ROs/SROs, a program of posting APOs to these secretariats can be developed. This is presently under discussion between the NARS Secretariat and various donors, who have shown interest in this program. This could strengthen the operational capacity of the secretariats, and would generate a network of persons that are carrying out similar functions around the world (facilitates circulation of information and experiences). Training and the exposure to Best Practice can play an important role in strengthening the management capacity of ROs/SROs. Interaction with universities could provide an interesting input. Enhanced accountability and transparency through improved management practices is an important element in the strengthening of management capacities. Improvement of connectivity among institutions and researchers in the region, and the establishment or improvement of Web Pages to allow proactive and interactive participation in internet, can become powerful research management tools for ROs/SROs. The establishment of databases that can play an important role in facilitating research partnerships (through a better knowledge of who is doing what), or in monitoring research results, can greatly enhance the management capacity or nars0010.doc Page - 9

10 ROs/SROs. These databases could cover such aspects as: the active Regional/Sub-Regional Research Networks with data on publications and other research results being produced by them; information on ongoing research projects in the region/sub-region; information on human resources (researchers) and their thematic and geographic distribution; and available technologies in the major crops of importance to the region/sub-region (technology supply). One of the most important actions to be carried out in this area of concern is that of improving the network-management capacity in ROs/SROs through training, workshops and other activities aimed at improving planning, programming, participation and involvement of end-users, monitoring, evaluation of impact and presentation/ dissemination of results in the regional/sub-regional networks. There are some experiences with training programs for network coordinators/managers that should be looked into, to see what has been their impact, and how they can be adapted to the needs of ROs/SROs. The management (coordination) of Regional/Sub-Regional Research Networks should shift from IARCs to NARS. For this to take place, the requirements mentioned in the previous points will have to be improved. c) In terms of who can contribute to this process, the following actors were identified: ROs/SROs CTA NARS Secretariat Universities FAO EIARD/Donors ISNAR IARCs 2.5. Strengthening Impact-Assessment and Dissemination of Results: a) Three entry points were identified in this fifth area of concern: Refine, simplify and apply impact-assessment methodologies that can be used by ROs/SROs. Improve information management capacity in ROs/SROs in order to be able to monitor the regional/sub-regional networks and their development impact. Strengthen capacity to disseminate research results and present these results convincingly to the various stakeholders and to policy-makers. This is of paramount importance as a key element that may give a very important feedback to the first two areas of concern analyzed above: changes in the socio-economic environment and the strategic importance assigned to agricultural research for development (through empirical evidence of the strategic value of ARD); and strengthening the sense of ownership by stakeholders, through their increased conviction that ARD is useful for them. nars0010.doc Page - 10

11 b) In terms of what to do and what instruments to use, the importance of three approaches or actions was highlighted: Develop and/or adapt impact-assessment methodologies. See how the IAEG experience, as well as other relevant CGIAR experiences, can be useful to the ROs/SROs, in terms of impact evaluation and in terms of presentation of research results to the stakeholders and to interested parties. Document cases of successful research programs or projects, as well as develop a capacity to present their results in a convincing way to stakeholders, to policymakers and to the public in general. c) In terms of who can contribute to this process, the following actors were identified: ROs/SROs FAO IAEG NARS Secretariat ISNAR 2.6. Assuring Sustainability: a) As pointed out at the end of the first section, the sustainability of ROs/SROs depends on three key strategic factors: ownership by stakeholders, capacity to show results and to deliver them, and a Sustainable Funding Strategy. Since the first two factors have already been covered in the previous points, in this last area of concern we will concentrate only on one critical issue: that of the development of a Sustainable Funding Strategy. The proposal that is outlined in the next paragraph includes both internal as well as external funds. b) In terms of what to do, the following actions or steps were identified in seeking to facilitate the development of a Sustainable Funding Strategy in ROs/SROs: Promote the discussion of the need for such a strategy among the stakeholders of the interested ROs/SROs. It is very important to develop a clear awareness of the need for such a strategy and a commitment or willingness to participate in costsharing schemes, that makes it possible to mobilize funds from different sources. Secondly, it was considered very important to develop access to new funding sources, based on a funding mechanism that could allocate funds through a competitive grants scheme. Only through such a funding mechanism will it be possible to support the development of the various activities mentioned in the previous sections, aimed at strengthening the ROs/SROs on the basis of the criteria and the objectives mentioned above. In order to further spell out and operationalize this proposal, it was decided that the NARS Secretariat and ISNAR will prepare a proposal for a Strategy for the nars0010.doc Page - 11

12 Strengthening of Regional/Sub-Regional Organizations, and for the funding mechanism based on a competitive grants scheme that would play a key role in its implementation. A first draft of this proposal could be presented in MTM in Beijing, and a final proposal for ICW-99. c) In terms of who can contribute to this process, the following actors were identified: ROs/SROs Governments Stakeholders of ARD in each Region Donors 3. Next Steps in the Development of a Strategy for the Strengthening of ROs/SROs In order to operationalize these ideas and move in the direction of formulating and launching a Strategy for the Strengthening of Regional/Sub-Regional ARD Organizations, four operational steps were defined, to be carried out within this year: 3.1. Present these ideas to interested parties and promote a discussion of them, as part of the further development of this strategy. Two main channels or audiences were identified for such a purpose: a) The first interested party are the Regional/Sub-Regional Organizations themselves and the Stakeholders that constitute them. The NARS Secretariat will contact the various ROs/SROs through , and through the regional meetings that are taking place in the next three months in most regions of the world. It should be pointed out that these ideas have been discussed in several occasions at the regional and sub-regional levels, when ROs/SROs have raised the issue of the need to support their activities and strengthen what they are doing. Through this consultation process, these ideas will be further discussed widely with the ROs/SROs and with their stakeholders, in order to enrich this proposal with their additional inputs. b) Secondly, these ideas will be presented to the EIARD group through its Chairman, for discussion in the next meeting of the European initiative. EIARD will also bring it to the attention of other donors Prepare a Project Proposal for the support of a Strategy for Strengthening ROs/SROs. The second action will be the preparation of a Project Proposal for the support of a Strategy for the Strengthening of Regional/Sub-Regional ARD Organizations. This Project Proposal will be prepared by ISNAR and by the NARS Secretariat in the next three to four weeks, covering both the general strategy and the various components mentioned in these notes, as well as the funding mechanism to be based on a competitive grants scheme aimed at supporting projects that will be presented by ROs/SROs, along the lines of the strategy. A first draft of this Project Proposal will be available by MTM (Beijing), and will be further elaborated on the basis of the nars0010.doc Page - 12

13 feedback that is received from all interested parties, for presentation at ICW-99 in Washington. If approved, this strategy could be launched at GFAR-2000 in Dresden, Germany Identify seed money for program-development. Many of the issues mentioned in this document require an effort of program-development, working side-by-side with the ROs/SROs. Thus it was considered that some seed-money for program-development efforts is required (i.e. for workshops, consultancies, exploratory activities) Analysis of a Sustainable Funding Strategy with the interested Stakeholders in developing countries (ROs/SROs). A key element of the proposed strategy is that of the development of a Sustainable Funding Strategy for ROs/SROs. This requires the commitment of the stakeholders that constitute these regional organizations. The funding mechanism mentioned above based on a competitive grants scheme will be part of this strategy, but this funding source has to go hand-in-hand with a commitment on the part of the interested stakeholders to contribute to such a funding strategy, through direct contributions or through cost-sharing mechanisms. This step is very closely related to the question of ownership by the stakeholders of the ROs/SROs, as well as to a clear improvement in the various factors analyzed in this paper that limit the effectiveness and the sustainability of these regional organizations. In order to address this strategic issue, a policy dialogue will be encouraged between EIARD, the donor community, and the leaders of the various ROs/SROs in the near future. A possible scenario for such meetings could be the meetings of the Regional Fora that will take place this year, or early The NARS Secretariat will contact the various Regional Fora to explore this possibility, and to organize it in close collaboration with EIARD. nars0010.doc Page - 13