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LIBRARY 3
Michigan State
University

This is to certify that the

dissertation entitled

SUSTAINABLE TECHNOLOGY TRANSFER:
AN ANALYSIS BASED ON CASES

presented by

Fisseha Tegegne '

has been accepted towards fulfillment
of the requirements for

DOCTOR OF PHILOSOPHY degreein RESOURCE DEVELOPMENT

 

 

Major professor

 

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MSU In An Affirmative Action/Equal Opportunity Institution

SUSTAINABLE TECHNOLOGY TRANSFER:

AN ANALYSIS BASED ON CASES

BY
Fisseha Tegegne

A DISSERTATION
Submitted to
Michigan State University
in partial fulfillment of the requirements
for the degree of

DOCTOR OF PHILOSOPHY

Department of Resource Development

1990

ABSTRACT

SUSTAINABLE TECHNOLOGY TRANSFER:
AN ANALYSIS BASED ON CASES

BY
Fisseha Tegegne

There is a growing concern on how to improve living
conditions of people in developing countries, the majority of
whom live in rural areas. The issue could be addressed from
the perspective of sustainable technology transfer.

In this study sustainability of technology transfer was
evaluated using five major variables. These were: (1)
participation by users in planning and/or implementation of
the technology transfer process, (2) the type of mechanism
used for transfer, (3) the form of management and control,
(4) use of resources, and (5) benefits to users.

The study adopted an approach based on theoretical and
empirical literature and three cases involving technology
transfer. These were: agroforestry, rural education and
health care in Nepal, Paraguay and Senegal respectively.
Field work, undertaken by World Neighbors for Nepal, and the
United States Agency for International Development (USAID) for
Paraguay and Senegal, provided data that was primarily
qualitative.

Analysis of the data, using an interdisciplinary
approach, showed that sustainability of the technologies

considered was positively related to all five variables, which

were interrelated and reenforce each other. Participation was
the most crucial variable.

The study also found no significant differences in the
achievement of sustainability among the three cases despite
diversity in the type of technologies they involved and
location of the countries.

Specifically, sustainable technology transfer was found
to be a viable strategy for achieving increased agricultural
production and related activities as well as improved access
to rural education and health care which constitute important
components of rural development.

The importance of further research including in terms of
longitudinal quantitative analyses was underscored:
Methodology for evaluating sustainability of technology,
presented in this study, can be used as an input for such

undertaking.

ACKNOWLEDGEMENTS

I would like to extend my gratitude to Professor George
Axinn not only for suggesting the case study approach and
furnishing me with a number of sources, but also for his
advice and guidance. Thanks to professor Milton Steinmueller
for his comments and in enhancing my interest in Resource
Economics and Policy, a field of direct relevance to the
developing world.

I am indebted to Professor Carl Liedholm for his comments
as well as guidance and counsel during my entire stay. I
thank professor Frank Fear for his comments and professors
Donald Mead and Paul Strassman for their support.

Professor David Wiley's effort in making funding
arrangement for my study, within the context of a linkage
agreement between Addis Ababa University and Michigan State
University , is gratefully acknowledged.

I am deeply grateful to the Rockefeller Foundation for
its financial support and Addis Ababa University for granting
leave of absence and sponsorship.

Finally, I thank my family for their encouragement

throughout the program.

iv

TABLE OF CONTENTS

Acmommmms 00.0.00.........OOOOOOOOO......0...... iv

LISTOFTABLES ......OOOOOOOOOOOOOOOOO......OOOOOOOOOOO Vii

LIST OF FIGURES ......OOOOOOOOOOO0.00.0.0...O0.0.0.0... ix

I. INTRODUCTION AND REVIEW OF LITERATURE ........... l
1.1 Conceptualizations of Development and

TeChnOIOgYOOCOO0.00.00.00.00.00.0.00....0... 1

1.2 Organization of the Study .................. 2

3

l

1.3 The Technical/Engineering Approach .........
1.4 The Adoption-Diffusion Approach ............ 1

II. SUSTAINABILITY .............. .................... 24
2.1 General Considerations ......... ........... 24
2.2 Sustainable Technology Transfer ...... ...... 28

III. DEFINITIONS OF VARIABLES, DATA SOURCES, AND
HYPOTHESIS ......IOOOCOOOOOOOOOOOOI0.000.000.0000 33

3.1 Definition of Variables ......... ........... 33
3 O 2 Data sources 0 C O O O O O O O O O O O O O O O O O O O O O O O O O O 0 O O 3 5
3 O 3 HypotheSis O O O O C O I O O O O O O O O O O O O O O O O O O O I O O O O O O 3 8

IV. DESCRIPTION AND ANALYSIS OF CASES ............... 40

4.1 Agroforestry - Nepal ................ ....... 40
4.2 Rural Education Development Project-
Paraguay .............................. ..... 51

4.3 Rural Health Project - Senegal.............. 69

V. METHODOLOGY FOR EVALUATING SUSTAINABILITY OF
TECIINOIJOGY ......CCOOOCCOOCO00.0.00...0.0.0.0.... 77

VI. SUMMARY, FINDINGS AND CONCLUSIONS, LIMITATIONS
OF THE STUDY AND ASPECTS FOR FURTHER RESEARCH ... 90

Summary .................................... 9o
Findings and Conclusions ................... 94
Limitations of the Study and Aspects for

Further Research ........................... 95

Gmm
o o o
UMP

APPENDIX A. NEPAL - GENERAL BACKGROUND, EMERGENCE OF
RELATED ACTIVITIES AND EXTENSION OF THE
TECI'momGY 0.00.00.00.00.......OOOOOOCOOOO 97

APPENDIX B. PARAGUAY - EDUCATION AND RELATED
BACKGROUND DATA ......CCOOOOOOOOOCCCO0.... 104

APPENDIX C. SENEGAL - DEMOGRAPHIC AND HEALTH CARE
BACKGROUND DATA 0.0.0..........OOOOOOCOOOO 107

BIBLIOGRAPHY O......OOOOOO......OOOOOOOOOOOOOOOOO0.0... 113

vi

LIST OF TABLES

4.1 Application of Concepts and Variables:
Agroforestry Project, Nepal ...................... 48

4.2 Enrollment in Regional Education Centers,
Paraguay ......OOOOOOOOOOOOOOOO......OOOOOO..0000. 56

4.3 Superior Institute of Education, Enrollment
by Course, 1970-1975, Paraguay ................... 57

4.4 Number of Secondary Schools Using the
New Curriculum, 1980, Paraguay ................... 59

4.5 Number of Primary Level Certified and Non-
Certified teachers, 1970-1974, Paraguay .. ........ 61

4.6 Primary and Secondary Schools Enrollment,
1970 and 1975, Paraguay .................... ...... 61

4.7 Educational Material Published, 1972-1975,
Paraguay ......OOOOOOOOOOOOOOOOO.......OOOOOOOOOOO 62

4.8 Achievement Test Results for Senior High School
Students Under Traditional Curriculum,
Paraguay ......OOOOOOOOOOOOOOO.......OCOOOOOOOO... 64

4.9 Achievement Test Results for Senior High School
Students Under the New Curriculum, Paraguay ...... 64

4.10 Application of Concepts and Variables: Rural

Education Development Project, Paraguay .......... 65
4.11 Application of Concepts and Variables: Rural

Health Care Project, Senegal ..................... 74
A1 Population, Cultivated and Forested Area Per

Person, Nepal 0.0.0.0..........OOIOOOOOOOOOOOO0.0. 97
A2 Costs of Majhi Community Development Activities,

1978-1986, Nepal ......OOOOOOOOOOO0.0.0.0000...0.0 101

A3 Extension of the Technology and Related
Activities, 1986, Nepal ................... ....... . 103

Bl Trends in Population Growth, Enrollment and

vii

BZ

C1

C2

C3

C4

Related Aspects, Background Data, Selected Years,
1955-1979’ Paraguay .........OOOOOOOOOOOOOOOOOOOOOO

Unit Cost of Primary Schools: Construction,
Furniture and Student, 1972 and 1975, Paraguay ....

Demographic and Related Data, Senegal ....... ......

Principal Communicable Diseases, Sine-Saloum
1979 and1980’ senegal 000............OOOOOOOOOOOOO

Sine-Saloum Reported Deaths due to Malaria by
AgeGroup' senegal00.000.000.000...00.0.00....0...

Distribution of Medical Facilities and Personnel:
Sine-Saloum and the national trend, Senegal .......

viii

105

106

108

109

111

112

LIST OF FIGURES
Illustration of Technology Transfer at a
Nationalmvel0.0.0.0.........OOOOOQOOOOOO00......

Illustration of technology Transfer at a
Regionalmvel000...........OOOIOOOOOOOOOOOI......

Paradigm of the Collective Innovation Decision-
makingprocess00.000.000.00.........OOOOOOOOOOOOO.

Paradigm of the Innovation-Decision Process .......

Map of Paraguay with Location of Regional
Education Centers ............. ....................

Map of Senegal with Location of the Project Area ..

Framework for Evaluating Sustainability of
Technology .................................. ......

Map of Nepal Showing the Three Major Ecological

zones ......OOOOOOOOIOOOO...00.0.0.0...0.0.0.000...

ix

13

14

16

18

52

70

79

98

CHAPTER I

INTRODUCTION AND REVIEW OF BACKGROUND LITERATURE

1,1 ., -,4_,_ - ... .— o- - ..u:,7 .,._ - ,,o ...

Conceptualizations of development based on measures such
as increase in Gross National Product (GNP), and industrial
output have been found to be inadequate. This was due to
recognition that development differs from growth in that,
unlike the latter, it involves both economic and non-economic
changes [Oberle et al., 1978; Bryant et al., 1982; Lewis,
1984: Korten et al., 1984: Guy, 1987: and Meier, 1989]. The
following characterization of the major development problems
by Korten et al. (1984) reflects the above distinction:
"... three central development challenges: jpoverty,
environmental deterioration, and the empowerment of people
through increased participation in the development process"
(P.ix) . These problems are intimately related, and any effort
aimed at dealing with one in isolation from the others is not
likely to be effective.

A similar change can also be observed in the
conceptualization of technology. Approaches that considered
technology as being primarily equipment and the processes that
use of such equipment involve were predominant. As a result

the concept of technology was made synonymous with technique,

2
and its application limited to few activities. This was found
to be unsatisfactory and led to a broader conceptualization
of technology.

The goal of this study is to answer some of the questions
raised on the gap between technology transfer and its use for
long term problem solving in developing countries. It adopted
an approach based on theoretical and empirical literature and
three cases. involving transfer of technologies. The
underlying premise of this study is that conditions of people
in developing countries could be improved through sustainable

technology transfer.

1.2 W

The rest of this chapter provides a review of background
literature in terms of the engineering/technical and adoption-
diffusion approaches to technology transfer. The salient
issues that arise under each approach including the critique
are examined with particular emphasis on developing countries.
For instance, the central role accorded to individuals as unit
of nalysis, and'communication as a predominant aspect in the
adoption-diffusion approach are brought out. General examples
of regional and national technology transfer models are also
illustrated.

Chapter two focuses on sustainability both in general
and with specific reference to technology transfer. A

distinction between technology transfer pg; _s_e and sustainable

3
technology transfer is made. Five variables, that impinge on
sustainability of technology transfer, are also identified
from the literature.

Data sources, selection method and criteria, operational
definitions of variables used in this study, as well as the
hypothesis, which is based on variables derived from the
literature on sustainability and technology transfer, are
presented in chapter three.

In chapter four, the three cases are described and
analyzed to establish the relative importance of the variables
and test the hypothesis.

Chapter five presents a general methodology for
evaluating sustainability of technology including in terms of
longitudinal quantitative analyses. The aim here is to chart
out possible ways for pursuing further research in this area.

The final chapter is a synthesis of the major elements
of the study. It includes summary and conclusions,
limitations of the study, and some aspects for further
research.

The appendices provide<general background information on

each case discussed along with related activities.

1-3 MW
This approach, sometimes presented by combining

engineering and economic aspects, emphasizes the importance

of factors that lead to high profitability at the lowest

4
possible cost. It assumes that technology is neutral in its
consequences. In support of the approach Jones (1971), David
Livingston Institute of Overseas Development Studies (1975),
and Evenson et al. (1978) , among others, argue that where
capacity to generate technologies is limited or non-existent,
those developed in other economic or physical environments
will be suitable. That is, they maintain technology can be
readily transferred and used irrespective of differences that
may exist.in the economic, social, cultural and.other aspects.

If the above argument is accepted, technology transfer
becomes a matter of merely obtaining what largely consists of
hardware and putting it in place. Whether or not this is a
tenable position will be demonstrated in subsequent
discussion. The context under which the engineering approach
was introduced will however, be examined first.

Industrial activities in.general, and manufacturing ones
in particular, have provided the primary venue for promoting
this approach. In the case of developing countries, it is
best represented by the period of the 1960s and 19705,
referred to in the literature as the decade of growth.
Industrialization was guided by a strategy of import
substitution advocated, among others, by Hirschman (1958 and
1968), and Prebisch (1959).

Hirschman (1968) based his arguments on linkage effects
both forward and backward. The former relates to a situation

in which "every activity that does not by its nature cater

5

exclusively to final demands will induce attempts to utilize
its outputs in some new activities" and the latter indicates,
that "every non-primary economic activity will induce attempts
to supply through domestic production the inputs needed in
that activity" (p. 100). He emphasized that such linkages are
likely to be achieved better in industry than other sectors,
including the rural sector.

Prebisch focused on the terms of trade between
manufactured and primary goods which he argued favored the
former. To mitigate the concomitant deficit in the balance
of payments, he emphasized the importance of expanding
production of manufactured goods by adopting a strategy of
import substitution.

It is worth noting that import substitution involves two
phases. The first phase is one of producing consumer goods
generally under substantial protection [Corden, 1961 and
1971: Johnson, 1964: Balassa, 1970, and Grubel et al., 1971].
The second phase could involve production for export and/or
development of intermediate and capital goods sector.
Approaches to measuring performance of import substitution
industrialization and some of the problems are among others
discussed by Chenery (1960 and 1971), Steuer et al. (1965),
Power (1966), Winston (1967), Lewis (1969), Desai (1969), and
Bruton (1965, 1968 and 1970).

Examination of the above literature indicates that, for

a number of reasons, achievement of the first phase was not

6
as impressive as hoped by many. Nevertheless, it performed
by far better than the second phase in several developing
countries. That is, realization of the second phase was
distinctly difficult.

The import substitution strategy has, therefore, been
sharply criticized both from the vantage point of long- term
development and its consequences on specific issues, notably
employment. The general criticism is based on the fact that
such a strategy is not consonant with prevailing realities in
developing countries and, hence, detracts attention away from
the prepondrent rural sector in terms of overall development
strategy, priorities, and investment [Nagamine, 1981:
Chambers, 1983: Korteniet al., 1984: El Ghonemy, 1984: Cernea,
1985, and Brundtland, 1985]. In most developing countries,
the rural sector makes substantial contribution to employment,
gross domestic product and exports. Accordingly, its
performance will affect the tempo of change in the overall
system.

limited gains, especially of long-term nature, led to
shift in emphasis towards the rural sector [Johnston et al.,
1974; Axinn, 1978: Mellor, 1976 and 1986]. Along with such
a shift, it became clear that the debate focusing on whether
to choose between rural development and industrialization was
no longer central. Rather the issue became one of how to
harmonize and integrate the various activities in both

sectors.

7

Specific criticism pertaining to employment consequences
of import substitution is put in the context of excessive
reliance on the use of imported machinery. This was
encouraged by government policy support that gave rise to
capital-intensive techniques of production. The relatively
limited size of the industrial-manufacturing sector in such
countries, however, imposed constraint on expansion
possibilities of import substitution. Studies by Morawetz
(1974), Stewart (1974), and White (1978), indicate a sluggish
rate of growth in employment relative to investment and output
in the industrial-manufacturing sector and sub-sectors. This
points to the fact that technology and employment issues are
intimately related and cannot be treated in isolation from
each other.

An example of an approach using a model of technological
development relating to agriculture in the U.S.A. and Japan
is given by Hayami and Ruttan (1970) . It is briefly discussed
here because of its implication for the type of technology
that should be enhanced in developing countries. The model
is guided by factor endowment and their relative prices.
Using data for the period 1880-1960, the authors show that
land scarcity in Japan necessitated development of biological
and chemical technologies while shortage of labor in the
U.S.A. called for mechanical technologies that are labor-
saving.

The corollary of the Hayami and Ruttan model implies

8
that, where prevailing factor endowments are not taken into
account, resource use will not reflect relative scarcities and
opportunity costs of alternative courses of action. It can
therefore, be inferred that labor-intensive technologies
should be promoted in developing countries where substantial
labor supply exists.

The same conclusion also follows from one of the basic
tenets of economic theory. which stipulates that the
technology being adopted should enhance the productivity of
other factors that are relatively abundant in supply. While
efficiency cannot form a sufficient criterion alone, it is
necessary when considered in conjunction with others as
Goodman (1976), notes:

The choice of technology to be generated
and diffused must be intimately related
to jpriority' development objectives,
balanced income distribution and, more
efficient use of locally available
materials, but at the same time the
Bechnology must be socially acceptable. (p.

Others including Dunn (1979), Riedjk (1982), and Sands
(1986) have argued along similar line. A specific alterative
that recognizes limitations of the import substitution
strategy, and policies that go with it, is the small
enterprises approach. It emphasizes that the operation of
such enterprises should be integrated with various relevant

activities, both in 'terms of input and, output, thereby

enhancing their performance and that of others. There has

9

been increasing empirical evidence showing substantial
employment and income opportunities derived from such
enterprises in developing countries [Liedholm, 1984: Liedholm
et al., 1985 and 1987]. The relative efficiency of these
enterprises in the use of the scarce factor, capital, in such
countries compared to their large-scale counterparts has also
been established [Byerlee et. al., 1983].

In addition to its neglect of employment, socio—cultural,
ecological and other similar aspects, the engineering approach
treats technology as being synonymous with technique. There
is a fundamental distinction between the two. Technique
refers to physical aspects of an activity that relate largely
to the hardware and its mode of operation, such as the extent
of labor and capital intensity involved in a given process.

On the other hand, technology is a body of knowledge that is
applied to production of diverse goods and services and is
more than technique and hardware [Stewart et al., 1982]. A
number of writers including Root (1968), Merrill (1968), and
Glaser et al. (1983) have envisaged that the application of
technology encompasses various activities such as social and
organizational other than industry. Given this
conceptualization, the engineering approach’s presentation of
technology and the implication that technology transfer is
only related to the modern sector, in general, and industrial-
manufacturing activities, in particular, is too limited to be

useful for development planning [Abel et al., 1981; Ruddle et

10
al., 1983: and Derman et al., 1984].

Another assumption of the engineering approach is that
no local technologies exist. Anthropological and related
literature Moyes (1979), Brokensha et a1. (1980)
Molnar’et,al. (1983), Chambers (1983) and Redclift (1987) show
that this assumption does not hold. They maintain that local
technologies always exist in various forms and serve several
purposes. Moyes (1979) , writing on the nature of such
technologies, notes: "... local technology consists of an
extensive body of skills, an enormous amount of information
and a strong element of experimentation" (p. 9).

It is acknowledgement of the existence of such technology
and the underlying framework --economic, social and others--

that calls for a need to attach great importance both to the
type of mechanism and speed of transfer. As Glaser et al.
(1983) note:
Technology has deeper anthropological
meaning. It is a key element in culture,
it determines the relationship of a
community with its natural environment
and is the most concrete expression of
values ...it is both unfeasible and
socially counterproductive simply to pass
a veneer of technology onto indigenous
culture. Hence transfers of technology
require a high sensitivity to match
technical resources congenially not only
with social goals, but also with
infrastructure or cultural/social
foundations. (p. 338)
Over emphasis on transfer of physical hardware by the

engineering approach did not give due weight to mechanisms of

11
technology transfer and the implications thereof. This

represents yet another shortcoming of the approach.

1.4 W

The literature in this area presents technology transfer
from different disciplinary perspectives, such as Economics,
Sociology, and Anthropology among others, with underlying
assumptions and.factors deemed important.to each [Katz et al.,
1962; and Rogers, 1983]. It is almost exclusively related to
the rural sector, in general, and agriculture, in particular,
and reflects the prevailing dominant view of the sixties that
research should address constraints to adoption believed to
be cultural in nature. This was also a period of the Green
Revolution, when packages of technologies, of which the seed-
fertilizer -irrigation example is a well known one, were
developed. Adoption of such technologies at the time was
considered.necessary in that it was perceived to lay the basis
for transition towards modernization.

Technology transfer in this approach was considered to
be a process involving links between supplier(s) of given
type(s) of technology, on the one hand, with intermediaries
facilitating the transfer and users of the technology, on the
other. Five broad levels of transfer can be distinguished.
These are: international, national, regional, group and
individual each of which is discussed below. It should be

noted that while there are examples of the other levels of

12
transfer, a substantial body of the literature focuses on the
individual level as a basis of analysis.

International technology transfer can take place through
various arrangements made with businesses, bilateral and
multilateral agreements. They can be at macro level as well
as in terms of specific programmes and projects [Root, 1968:
Hayami and.Ruttan, 1971; Swannacknunn, 1978: and Odle, 1979].

An example of national transfer of technology is given
in Figure 1.1.- It suggests that local research can be
combined with foreign technologies and used to enhance the
diffusion process in a given country. Existence of .close
linkages between local research and foreign technologies is
assumed. Nelson (1974) and.Ranis (1972, 1978) have also
called for a similar approach to promote local research by
providing incentives.

A framework for regional transfer, illustrated in Figure
1.2, is dependent on the policy and other measures adopted at
the national level. Such measures require not only planning
for various sectors of the economy but also articulating the
specific targets so that internal consistency and overall
balance are achieved. The policy framework also has to
encourage both local technological innovation, as well as
securing from abroad technologies those that are likely to be
conducive in promoting the country’s long term development
objectives. Apart from difference in scope between the

national and regional models, the list of tasks involved in

13

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15
both imply that coordination and communication are of
paramount importance. This indicates that there is close
linkage between the macro and micro levels and decision making
should take such linkage into account.
The U.S.A. experience was among others, given by
Wilkening (1958), Lionberger (1960), and Feller'et al. (1984).
Learner et a1. (1967), Rogers et a1. (1967), Baker (1987),
Rivera et al. (1987), and Roling (1982, 1987 and 1988) provide
similar account for developing countries. As will
subsequently be shown coordination and especially
communication, have also been central both to the group and
individual adoption decision processes.
Rogers et al. (1971) provide a framework for group-level
analysis shown in Figure 1.3, and define stimulation as:
The sub-process in collective innovation
decision-making at which someone becomes
aware that a need exists for a certain
innovation within a social system. The
system or else is a system member who is
oriented externally through social
relationship with members of other
systems. (p. 227)

Similarly, initiation is defined as:
The sub-process in collective innovation
decision-making by which the new idea
receives increased attention by members
of the social system and is further
adapted to the needs of the system.
Initiation may result from the activities
of more than one individual.(p. 278)

and legitimation as:

The sub-process in collective innovation
decision making at which a collective

16

 

PetadIgm oi the collective innovation
decision-making process.

1. STIMULATION of Interest in the
. need to: the new Idea (by stimulates)

2..INI'I'IATION of the new idea in
the social system (by Initiator.)

3; immwmon oi the in.
(by power-holder: or 103111111le

4. DEBISIONto octamncmber:
ottIIeooctaIsysteu) '
5. ACTION or execution
otthe new Idea

 

 

 

Figure 1. 3 Paradigm of the Collective Innovation Decision
Making Process.

Everett Rogers and Floyd Shoemaker, Communication of Innovations

(New York: The Free Press, 1971) 276.

17

innovation is approved or sanctioned by
those*who informally represent the social
system in its norms and values and in the
social power they possess.. . It may be
possible for the initiators to proceed
successfully' 'without. consulting ‘the
legitimizer in a social system.(p. 280)

A general presentation of the individual level analysis
is given by Rogers et al. (1971) in Figure 1.4 and involves
four stages. These are: knowledge, persuasion, decision,
and confirmation. The first stage represents a phase of
recognizing the existence of innovation and some understanding
of its operation. The second and third stages involve
formation of an attitude that will either lead to acceptance
or rejection of the innovation. In the final stage, the
individual has room to either solidify his acceptance decision
or reverse it if new information indicates that acceptance is
a wrong decision. Personality and socio-economic
characteristics, as well as communication behavior, from the
three major aspects that are considered central for adoption
to take place.

Many early studies, a few examples of which will be
discussed.below, have specified several independent variables
in relation to individual adoption, the dependent variable.

Fliegel (1967) and Hursch (1969) argued that adoption is
dependent on the effort that a change agent makes in promoting

innovation(s). Others including Rogers et al. (1969 and 1971)

specifically maintained that it is the quality of the change

18

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19

agent's link with individual adopters that is crucial in
influencing their decision to adopt not merely the quantity
of his effort. This was recognized to involve the overall
attitude, and strategy of the change agent, including an
understanding of the adopters' extant ways of doing things.
According to Rogers et al. (1969):

Essentially the agent serves as a

communication linkage between clients and

primary innovation source (this)

relationship is characterized by

reciprocity that each expects to exchange

with the other. Communication is more

effective when a higher degree of

homophily is present. (pp. 193 and 194)

The above implies the need to enhance communication by
non-coercive strategy to promote adoption.

Another commonly used independent variable is the degree
to which individual adopters have access to, and are able to
make use of services such as credit, marketing, and extension
[Sprague, 1967; Gaud, 1968; and Jones, 1971].

The diffusion-adoption approach also accorded a central
role to rationality and maximizing profits as the basis of
individual decision making. Schultz (1964) has maintained
that:

Despite all that has been written to show
that farmers in poor countries are subject
to all manners of cultural restraints that
make them unresponsive to normal economic
incentives in accepting new agricultural
factors, studies of observed lags in
acceptance of particularly new
agricultural factors show'that these lags

are explained satisfactorily by
profitability. (p. 164)

20

Hopper (1965), Wharton (1966), Griliches .(1969),
Yotopoulos et al. (1976), and.Schutjer'et al. (1977) represent
but a few of the writers in support of the above. Concepts
of rationality and maximizing profits have however, been
subject of intense debate both at theoretical and empirical
levels. .Among others, Lukes (1970), Horton et al. (1973), and
Heiner (1983) have argued that rationality has to be perceived
in relative rather than absolute sense. This means that it
has to take into account the prevailing context, including
diverse non-economic aspects and recognize the existence of
risk and uncertainty.

For instance, there are various sources of risk and
uncertainty in agriculture and related activities. They range
from natural conditions, such as environmental, climatic
variability (Welch, 1970; Gerhart, 1975) and fluctuations in
earnings associated with them Just et al. (1983) to
consequences arising from policies [Raske, 1977; Van Sant et
al., 1985; Collins et al., 1986]. The latter can have effect
in various forms including provision of infrastructural
services or operating on production and pricing of inputs and
outputs. The distinction between risk and uncertainty is a
well known one of being able to assign a probabilistic weight
to the former and unable to do so for the latter [Arrow et

al., 1970; Sassone et al., 1978; and Hirsheifer, 1979].

21

Studies by Dillon et al. (1971) , Canacian (1972) , Gerhart
(1975), and Roumasset (1976), among others, show that owing
to consequences of the above factors, farmers tend to be risk-
averse primarily to guard against their survival being
threatened. Willingness to adopt is primarily dictated by
prevailing circumstances. Omission of risk therefore,
represents one of the major criticisms levelled against the
maximization-approach.

Specifically, behavioral models were used to criticize
the maximization approach and the assumptions on which they
are based. Simon (1958, 1976, and 1979) particularly argued
what obtains in practice is satisficing and not maximizing.
This is due to bounded rationality indicated by limitations
in resources including time and cognitive ability.

Gannon (1966) and Coughenour ( 1968) advance a broad
criticism of the diffusion-adoption approach by pointing out
that it does not recognize the complexities involved among
various factors and interrelationships that exist .between
them.

Perrin et al. (1976), Andrew et al. (1982), and Ashby
(1982) specifically argue the approach does not incorporate
a number of important elements which Ashby (1982) summarizes
as follows:

...diffusion research has been notably
deficient in attention to the diverse
physico-biological and social requirements

of agricultural technologies and to
variation in farming environments as

22

factors in influencing peasant farmers’
adoption behavior. One reason for this
deficiency has been the assumption that
new agricultural technologies were widely
"adoptable" improvements (”1 farmers'
traditional technology. As a result,
characteristics of different technologies
have not.been considered relevant data in
explaining deference in adoption among
farmers. (p. 235)

Being’ cognizant. of' such. consequences there Ihas for
instance been increased emphasis on the farming systems
research approach in which specific agro-climatic and related
aspects are considered at the micro-level [Friedrich, 1986;
Fresco et al., 1986; Flora et al., 1986: Axinn et al., 1987].
If this approach is applied, the technology developed and/or
transferred is to be derived from field experience with
farmers' participation, rather than from research centers
without such experience. It also suggests that the
agricultural extension system within which the change agent
operates must not take a form of top down approach but rather
a two-way learning process between the change agent and users
of the technology [Rivera et al., 1987; Axinn 1988].

The modern/traditional dichotomy, which the diffusion
approach makes, is misleading given the existence of diverse
technologies in various countries that cannot be readily
classified under the above categories.

Based on the assumption that institutional and other

constraints are not significant, the role of incentives in

individual adoption decision process was considered.marginal.

23

This resulted in emphasizing the importance of communication
in the diffusion-adoption approach [Roger et al. 1971] .
Others, including Havens (1975), Schultz (1978), and Peder et
al. (1985), underscored the need to deal with some of the
constraints to adoption by using incentives. This implies
that, if communication is to be an effective tool it is
necessary to ensure that bottlenecks and distortions caused
by various measures hindering adoption be minimized.

The discussion thus far shows that technology transfer
being a mmlti-faceted process is not amenable to treatment
merely in terms of engineering or communication issues by
themselves. The case for considering it within the context
of the total milieu has therefore become more broadly

recognized.

CHAPTER II
SUSTAINABILITY

2.1 W
Sustainability is discussed in the literature at a

general level as well as in terms of specific activities. ‘The
general approach has been used by Repetto (1986) , Globlal
Tomorrow Coalition (1987), and Gow (1988). Achievement of
food-self-sufficiency, maintaining given environmental
balance, curbing population growth, and transfer of
technologies aimed at meeting users' needs provide examples
of specific activities. Among others, works by Glaser et al.
(1983), Douglas (1984), Edens et al. (1985), Dahlberg (1986),
World commission on Environment and Development (1987), and
Chambers (1988) pertain to one or more of these activities.
The essence of sustainability can be discerned from a
broad definition given by Repetto (1986) which states that it
is:
... a development strategy that manages
all assets, natural resources, and human
resources as well as financial and
physical assets, for increasing long term
wealth and well—being. Sustainable
development, as a goal, rejects policies
and practices that support current living
standards by depleting the productive

base, including natural resources. (p.15)

This indicates sustainability encompasses diverse

24

25
aspects that should be considered in addressing long term
problems. Whether in terms of the general approach or its
specific variants, sustainability implies capacity building
which Fear et al. (1989) characterize as being:

... equivalent to the opportunity to
enhance the sense of community in the
locale... In the developmental sense,
levels of community-ness vary with the
extent to which people psychologically
identify with the locale and aspire to
strengthen its capacity to solve
problems. (p. 79)

Not only does capacity building require mobilization of
various inputs but also streamling their utilization.
Planning, which has two phases, can play an important role in
facilitating these tasks. The first phase of planning is one
in which overall goals are laid out along with specific
targets. The feasibility and internal consistency of such
targets are usually worked out even if tentative, among
others, taking into account resource requirements that can
come in different forms -cash, in kind, as well as material
inputs. The sources can be both local and external.
Writing on this Fear et al. (1989) note:

the concept of reliance on local
resources and indigenous capacity is
stressed again and again in community
development literature. IHowever, the
notion of complementing these resources,
when necessary, with outside resources
and assistance is also emphasized. The
developmental question that looms large
is this: How is it possible to acquire,
direct and control outside resources in

ways that are consistent with local
values and preferences? (pp. 77 and 78)

26

The total development effort typically has therefore,
local and external components with the former coming from
private and public bodies. The private component can be
further considered in terms of individuals, communities, and
organizations. Government support is usually extended
through budgetary allocation earmarked from public funds.
External input is generally phased out after a limited period
of time. The critical question for sustainability is whether
Or not the overall effort and activities based on it can be
durable especially when the external input is no longer
available.

Implementation represents the second phase of planning
in which stipulated targets are operationalized. Based on
observations during this phase, feedbacks may be used to
modify' the initial targets thereby ‘making' the operation
flexible.

A. distinguishing feature of planning from. the
perspective of sustainability is the role played by those
affected by various decisions. This marks a significant
departure from earlier practice of planning in which
participation from below was nominal [Gran, 1983; Conyers et
al., 1984: Korten et al., 1984: Cernea, 1987: Chambers, 1986
and 1988: and Gow 1988].

The ultimate goal of participation is to promote
empowerment of people to make them fully contribute to the

development process since, "... development involves personal

27
transformations that can take place, only if individuals
themselves are intimately part of the process- that is, if
they shape it and are transformed by it." (White, 1987, p.
160].

Sustainability also requires that the planning process
be comprehensive in scope given that decisions concerning
various issues have inter-temporal and inter-generational
implications [Hartwick et al., 1986: and Randall, 1987]. It
should however, be noted that there are a number of problems
that can be encountered in attempting to accommodate diverse
and in some cases conflicting issues. ‘The concept of trade
off, based on the principle of opportunity cost, should be
used to reconcile possible conflicts.

Within the above framework, sustainability can be
further discussed by considering specific issues. Foremost
among them are benefits -potential or actual- that accrue to
people and accordingly affect the extent of their
participation. Concern here is not only with existence of
benefits but also continuty in their flow [Honadle et al.,
1985: and Salmen, 1987].

The notion of benefits should be perceived broadly, and
in social rather than private terms. This follows from the
foregoing discussion of sustainability. Costs should also be
treated alike and in conjunction with benefits to ensure that
they are not excessive relative to the latter. Studies by

Honadle et al. (1983) and Morss et a1. (1985) show that the

28
absence of empowerment based on participation by users has
resulted in many projects not showing any long term benefits.
Promoting both participation and continuous flow of

benefits will require the existence of’a decentralized system
of operation. The degree of such decentralization can vary
ranging from a regional to a local village/community level.
In the context of sustainability, decentralization is not
based on physical considerations such as a watershed but
rather on people and how to assist them in addressing problems
they are faced with. Chamber's (1988) observation is
pertinent in this regard:

sustainable resource exploitation,

environmental conservation, and rural

development are best served ... by

starting with people - the very poor and

the poor . . . they are best served by

secure and adequate livelihoods which

allow and encourage them to take the long

view in their use of resources and to

maintain and improve their position. (p.

25)

Works by Bryant et al. (1984), Gow et al. (1985), and

Uphoff (1986) among others, corroborate the importance of
institution building and decentralization for promoting

sustainability.

2.2 SEW

Technology transfer has been discussed in various
contexts, both at the micro and macro levels. It represents

a process by which technologies already in existence are made

29
available to new users from outside or within a country. The
technology is not new, since it has been used by others for
some time. On the other hand, the concept of technology
development involves creating new technology for the first
time [Valdes et al., 1979: CIMMYT, 1980: Cooper, 1980;
Dahlman et al., 1985: and Hyman, 1987].

.A distinction between technology transfer which takes
sustainability as a primary goal and one that is not
concerned with it is an important one. Accordingly, in the
case of the former technology transfer is a means to promote
the goals of development and is not an end in itself. On the
other' hand, the objective of the latter is to ‘make a
particular technology operational with the aim of deriving
the highest possible level of financial return. It is
characterized by a centralized system of management and
control [Axinn, 1972 and 1978; Feller et al., 1984; and FAQ,
1985].

The above distinction can be illustrated by specifically
focusing on literature pertaining to the three activities
namely' --' agroforestry, rural education, and. health. care
analyzed in chapter IV. Gregersen et al. (1987) writing on
the case for agroforestry note:

deforestation and poor land use...
are repeated in all regions of the Third
World. ...forestry 'widely integrated
into land use improvement programs can

reduce the severity of theses problems
and actually solve them in some cases

(p.8).

30

This indicates agroforestry can form the basis for
achieving' goals such. as reduced soil erosion ‘that. have
implication for long term development [Brundtland, 1985:
Easter et al., 1986: and Davis et al., 1987].

In education there are three key issues of
accessibility, financing, and relevance. A number of
specific aspects including equity revolve around these.
Given that an educational system uis closely tied to
organization and operation of existing institutions at
national, regional and local levels, any educational reform
should take into account the overall structure within which
it is to be implemented. In the case of developing
countries, where a large proportion of the population is
found in the rural sector, the importance of educational
reforms geared to develop skills relevant to this sector has
been emphasized. Among others, this calls for redressing
existing inequities, regarding access to educational
services, between urban centres and rural areas [Axinn, 1972
and 1978: Coombs et al., 1973: Foster et al., 1973:
Psacharopoulos, 1973: and UNESCO, 1984].

Health care has also been discussed in terms of various
issues. Chambers (1979) argues that seasonal change has an
important effect on health particularly in developing
countries where facilities to deal with the problem are very
limited. Bader (1979) among others, maintains that

technology transfer in the health sector of such countries

31

has favored capital-intensive investments in large
facilities, such as hospitals and laboratories. Only a very
small proportion of people in many developing countries can
have access to such facilities. This is due to distance and
the poor system of transport, as well as inability to afford
the relatively high cost of getting services notably by those
living in the rural areas.

Khuner (1971), Griffith et al. (1971), Johnston (1977),
Schultz et a1. (1979), and Rifkin (1980) argue that the
prevalence of disease, in general, and communicable ones, in
particular, are impediments for development. To alleviate
the problem Rich (1973) and Krishnan (1975), among others,
have emphasized the need to promote technologies that can
assist in.meeting the health needs of the large proportion of
the people. This requires examining whether or not the
service is affordable to users and hence viable over the
long-term. The issues of viability points to a need for
users'participation in some aspects of its operation, such as
covering part of the expenses to secure medical supplies,
payment for community health workers, construction and
maintenance of health facilities [Newel, 1975; Djukonovic et
al., 1975: and De Ferranti, 1985].

Five variables emerge from the foregoing discussion of
the literature on sustainability and technology transfer.

1) participation in planning and/or implementation of the

technology transfer process by users forms the basis for

32

their empowerment. 2) Knowledge about the type of mechanism
involved in the process of technology transfer represents one
way by which to judge the extent of such empowerment. 3)
The degree of decentralization in management and control by
users of the technology has a number of ramifications for
sustainability and represents another variable. 4)
understanding effect(s) of technology transfer on utilization
of various types of resources is essential when durability is
a prime concern as is the case with sustainability. 5)
Benefits to users -direct and indirect- represent specific
indication of pay off that result from transfer of a
particular technology.

The above closely related variables, operational
definitions of which are given in chapter III, are used in

this study to assess sustainability of technology.

CHAPTER III

DEFINITION OF VARIABLES, DATA SOURCES, AND HYPOTHESIS

3.1 W

This study adopted an approach based on theoretical and
empirical literature and three cases from developing countries
involving technology transfer.

Review of literature was important in laying general
framework for conceptualization of various key issues such as
development, technology and technology transfer. Among other
things, it clarified the need for a study on sustainable
technology transfer given that achievements of past technology
transfer efforts, in the developmental sense, were very
limited.

Before discussing the rationale for selection of the
three cases that provide sources of data and presenting the
hypothesis, operational definitions of technology, technology
transfer and variables used in this study are given. Glaser
et al. (1983) define technology as:

...more than technique, that is more than
science and engineering. It encompasses
the totality of specialized means
including those of management,
administration and public policy, used to

develop goods or services for human
sustenance and comfort. (p. 338)

33

34

Adopting the above broad definition, technology in this
study represents means employed to alleviate long term
problem(s) faced by users in diverse activities.

Technology transfer in this study denotes a process by
which technology from within or outside a country is made
available to a community in a particular location. It is
undertaken to fulfill developmental goals.

Participation, the first variable, reflects the role of
users in planning and/or implementation of the technology
transfer process. It is identified in this study in terms of
staffing, cash and contributions in-kind from local areas.
When all three forms of inputs are present, participation is
considered high.

In Chapter II, a transfer’ ‘mechanism. involving
intermediaries closely tied only to source(s) of the
technology. This reflects one—way communication and the
absence of participation by users and defined as a delivery
system. In contrast, an acquisition system involves two-way
communication based on users' needs. These features are used
to identify’ the 'type of ‘transfer' mechanism, the second
variable, of this study.

A third variable is decentralization in management and
control. Decentralization represents the extent to which
users are involved in management and control over operation
of a technology. Cost-sharing and management by users at the

local level are two indicators used in this study. They

35
reflect users' willingness to bear some of the financial, as
well as non-financial responsibilities that the technology
transfer may bring with it. When the presence of both is
observed, decentralization is considered to be high while
their absence shows lack of it.

Use of resources, the fourth variable, is identified by
the extent to which the technology transfer process promotes
greater utilization of abundant resources relative to scarce
ones. For developing countries the former is made up of
readily available resources such as labor and other material
inputs while the latter represents those that are not.

Benefit(s) both direct and indirect to users represents
the fifth variable. In this study direct benefits are
identified by increased fodder production, access to
education and health care services as a result of introducing
agricultural, educational, and medical technologies
respectively. Indirect benefits are those achieved due to

linkage effects.

3.2 Egg; Sources

Over forty cases were examined as possible sources of
data for this study. Using primarily, but not exclusively,
study variables derived from review of the literature, as
much data as could be obtained was gleaned from each and
recorded. The data was largely qualitative. Three cases

were ultimately selected. These were: agroforestry project

36
in Nepal‘, rural education development project in Paraguay2
and primary health care project in Senegala. There were a
number of considerations in selecting the cases. First, they
provided relatively more data. Given. that technology
transfer spans diverse activities, it was also important that
such diversity be reflected in selecting the cases.
Accordingly, the cases were mixed both in terms of region
with one case each from Asia, Latin America and Africa as
well as the type of technologies- agricultural, educational
and medical. In addition, all three cases involve basic
needs related activities, that have long term positive
implications for developing countries. Selection of the
cases was therefore, based on general as well as specific
issues that relate to practical rather than theoretical

considerations.

 

1 Tom Arens and Gopal Nakarmi, World Neighbors, South
Asia Regional Office, "Baudha-Bahunipati Family Welfare
Project: Its Income-Generation Activities with particular
Reference to Agroforesry," A paper for presentation to the
International Institute for Environment and Development's
Conference on Sustainable Development, London, April 20-30,
1987.

2 Ronald Nicholson, Henry L. Miles, Diane N. Johnson
and Judith M. Titus, "US Aid to Education in Paraguay: The
Rural Education Development Project," r ect act

EXQlE§§19n_B§EQ£§: NO- 45: US AID June 1983-

3 Abby L. Bloom, "Prospects for Primary Health Care in
Africa: Another Look at the Sine Saloum Rural Health

Project in Senegal," AID Evaluation Special Study, No. 20
US AID, April 1984.

37

Although details of the three cases are given in
chapters IV and the Appendices, some of their major
features are discussed here. Field work for the agroforestry
project in Nepal was undertaken by staff of World Neighbors.
This organization was one of the major sources providing
financial and technical assistance for the project.

The original project focused on family planning, and
agroforestry was only one component. As time went on, it
became apparent that there were a number of specific and
interrelated problems other than family planning. Baseline
surveys were conducted to identify the nature and scope of
such problems. The singling out of fodder as being a central
problem led to data collection on the introduction, trial,
and adoption of a new fodder tree called Ipil-Ipil.

Data collection for Paraguay involved a team that had a
working knowledge of Spanish, was familiar with the project
areas, and the country's school system. The team also used,
the input of experts for making sociological studies in
designing the questionnaires that formed the basis for field
interviews. Teachers, directors, supervisors, regional
education center personnel, students, parents, and Ministry
of Education staff involved in various departments were
covered by these interviews. Access to education,
construction, and maintenance of educational facilities,
relevance of curriculum, teaching material development and

teacher training were the major issues addressed. The

38
interviews were supplemented by observations, including
visits to schools and review of documents. Decentralized
educational reform was aimed at redressing inequities between
urban and rural areas as well as making education more
relevant.

Phase one of the rural health project in Senegal was
faced with a number of problems notably financial viability.
Based on evaluation of the first phase by the USAID (1980)
and the government of Senegal, the project was restructured

and implemented.

2.3' Hypothesis

Based on theoretical constructs, empirical evidence,
operational definitions of concepts and variables provided
above as well as, the three cases to be analyzed in Chapter
IV, this study is aimed at testing the hypothesis that
technology transfer is sustainable when there is:

- participation by users in planning and/or
implementation of the technology transfer
process:

- acquisition type of technology transfer;

- greater use of the relatively abundant
resources;

- decentralized management and control: and

- Benefits to users.

Given that sustainability is multidimensional,

39

involving not only the economic, social, and cultural aspects
but also others such as physical and biological, an
interdisciplinary approach to analysis is envisaged in this
study; The variables also reflect this interdisciplinary
feature as they represent elements from various disciplines.

Transfer of technologies in the three cases were each
examined using the five variables and the results provide
basis for assessing sustainability.

Methodology for evaluating sustainability of technology
given in chapter V could be used for making analyses
including longitudinal quantitative ones if the necessary

data become available.

CHAPTER Iv1

DESCRIPTION AND ANALYSES OF CASES

4.1 Agrofgrgstry Projgc - Nepal

The Baudha-Bahunepati project which initially focused on
family planning shifted its emphasis to agroforestry that was
accompanied by introduction and dissemination of a technology.

The 'three :major’ ecological zones of Nepal and the
features associated with them are given in Appendix A. It
will suffice here to provide some background on the type of
land and related activities summarized.by.Arens et al. (1987):

Generally in Nepal, wet land terraces are
cleared of all trees and grass to maximize
production of rice and wheat. Since this
land is considered prime land, there are
objections to planting trees and grass on
wet land terrace faces... small, marginal
farmers are generally the primary users
of forest lands ...

The Majhi of the Bahunepati community, who first had
access to the agroforestry based technology were, an example
of small farmers indicated above. Implications of continued
reliance on existing practice was recognized in that increased
cultivation of forest land led to reduction in the amount of

fodder available and, hence, decline in the number of animals

possessed by farmers that provide manure and supplementary

 

1 This chapter draws significantly from [Arens et al.,
1987: Nicholson et al., 1983: and Bloom, 1984].

40

41
source of income. lLess manure availability for input in farms
meant reduced level of agricultural production, while
declining sale of livestock further lowered the already low
incomes. These interrelated problems revolved around fodder
and according to Arens et al. (1987):

What was needed was a majic species which
grew on terrace faces (roughly 25% of the
country’s cultivated land is unused
terrace face), which could be cut to
prevent shading, deep rooted to prevent
competition with crops for moisture and
nutrients, and multipurposed to provide
fodder, green manure and fuelwood (p. 7).

To deal with the foregoing problems Arens et al. (1987)
add the following goals, were envisaged:

- To increase agricultural productivity and
family income of small farmers in
particular.

- To increase community participation in
program design, implementation, and
sustaining management.

- To integrate project activities with other
agencies and HMG for effective of
available resources.

- To demonstrate the project’s cost
effectiveness... (pp. 3 and 4).

It can, therefore, be observed that efforts aimed at
improving’ the community's ‘well-being encompassed income-
generating activities, rather than exclusively focusing on
family planning. Specifically, since people in the area
derive their livelihood from agriculture and related
activities, promoting this sector's development was considered

essential. Agroforestry was used to achieve this task.

42

An understanding of agroforestry as used in this study

is given by Gregersen et al. (1987):
Agroforestry has been defined in numerous
ways. Simply stated, it is an
agricultural technology that incorporates
. trees into annual and perennial cropping
systems. The overall intent of
agroforestry systems is to promote
positive interactions among' trees and
crops to obtain better crop yields and
sustain production using the limited
resources available on a small farm.
...agroforestry has also become a viable
option for LDC small farmers who need to
improve and to sustain production without
using high input technologies.(p. 31)

Before considering the specific technology involved in
this. project and its consequences, the role .of 'various
participants both external and domestic will be discussed.
External assistance was provided by World Neighbors and Oxfam,
in the form of financial and technical input for planning.
By 1987 support by World Neighbors covered nineteen of the
forty-four administrative areas in four districts [Arens,
1983, p. 3].

Local communities, played important roles in various
aspects of the project's operation notably by donating land,
participating in research, trial, demonstrations, and cost
sharing in training, as well as extension of the technology.
The government also provided some assistance for research and
training. Planning from below characterized the project's
program approach, with decentralization and flexibility

forming the basis of its operation.

43
The particular technology was aimed at handling the major
problem of chronic fodder shortage used to feed buffaloes.
Arens et al. (1987) outline how introduction of a new fodder
tree began:

In 1977, a few Ipil-Ipil (Leucaena
leucocephla) seeds of peruvian and giant
varieties were obtained from the
Philippines and sown in plastic bags.
Innoculent came from soil around a tree
planted some years before. ... the giant
varieties out performed the peruvian
strain in fodder yields. Seeds were
collected from these trees and . . . a small
nursery was started in 1978 to produce
seedlings for distribution to farmers...

(P-B)

Writing on features that made Ipil-Ipil attractive over

other varieties including local ones, Arens et al. note:

The trees were prolific fodder producers
and could be cut every 2 to 4 weeks during
the monsoon, unlike most local trees that
are cut seasonally, once a year. Ipil was
well suited because it coppiced well and
could be lopped low to the ground and cut
regurarly. It is a vertical rooter and
roots do not compete with crops. (pp. 9
and 10)

It can be discerned from the above that the new variety
was suitable interms of physical-biological aspects as well
as in its ability to address the basic problem the community
was faced with.

The question that arises from the foregoing is the extent
to which the new fodder tree has been grown by farmers in the
project area and possibilities for disseminating it to other

areas. Initial on farm trials involved a few selected farmers

44

to assess the suitability of the new variety using a nursery.
The seedling showed.eighty percent survival rate [Arens et al.
1987, p. 9]. This led to devising an extension scheme based
on home nurseries primarily involving users both within and
outside the project areas. Arens et al. (1987) write:

Starting in 1980, "field days" were

organized. Farmers in the same community,

and those from other panchayats and

districts were given a tour of farmer

demonstrators ... and involved in field

level discussions and sharing with

Bahunipati farmers. ...farmers were

followed up at least once a month to

ensure they were successful and all the

steps and practieces were being followed,

from transplanting, spacing, manussing,

weeding, protection, lopping, feeding

practices etc. (p. 10)

Data by Arens et al. (1987) show that the impact of the
new fodder tree among farmers, both in the project, and other
areas was substantial. During 1978-1986, eighty-eight percent
of households in the Majhi village planted the tree [p.12].
Outside the project area, Ipil-Ipil training and demonstration
has reached twenty-three administrative areas. Community
fodder nurseries, organized by local farmers, were developed
in two other areas by 1986 [p. 17].

Owing to increased availability of fodder, veterinary
facilities and the resulting animal upgrading, the number of
livestock in the project area increased by forty percent, and
earnings from its yearly sale rose by eighty-two percent

between 1983 and 1986 [Arens et al., 1987, p. 5].

There were also other benefits due to the project. One

45

of them was increased community effort to avoid negative
effects of environmental degradation. An illustration of this
was: "Terraces have been stabilized by extensive planting of
Ipil.. and soil erosion reduced" [Arens et al. 1987, p. 13].
Use of fuelwood from the Ipil_Ipil tree also meant that the
high demand on forest resources and, hence, the extent of
deforestation was reduced.

Arens et al. (1987) also note that ". . .planting and
management practices were meshed with the farmers' cropping
and labor practices" (p.9). This was an important factor in
the transfer of the technology because users’ participation
accorded them a concrete opportunity to assess its potential
benefits on the basis of which they decided to accept it.

An. important indirect. result in. relation. to family
planning should be noted. With relative improvement in income
and related benefits, family planning acceptance among
villagers had risen by twenty-one percent between 1977 and
1986 [Arens et al., 1987, p.61. This trend of family planning
acceptance being preceded by economic and related changes was
consistent with historical experience [Leibnstein, 1974:
Perlman, 1981: and World Development Report, 1982].

Arens et al. (1987) further note:

A national training program for 15 NGOs
(under the auspices of the Social Services
National Coordination Council) was
conducted in Bahunipati's Majhi village
in 1986 to assist other NGOs replicate and

build on the "user group" concept
successful in Bahunipati (p.8).

46

The above shows that the project also had broader impact
in that it demonstrated the existence of common geeneral
issues on the basis of which development can be promoted
despite defferences in local circumstances.

Description and analysis of the project, based on the
evidence presented, showed that participation was the major
driving force. Specifically, it encompassed local farmers,
including women, in all phases of its operation ranging from
research about the technology to training and extension.
Participation involved users both in planning and
implementation of the project.

The mechanism of technology transfer was of the
acquisition system type in this case. It is supported by the
fact that demand for introducing the technology was derived
from needs of users, based on studies in which problems of
the community were clearly established.

There were a number of factors that accounted for
achievement of decentralization in management and control.
The whole process of experimenting with the new fodder tree
evolved in the local areas, where the gravity of the fodder
problem had been felt. Decentralized program management, use
of staff from the local area, and regular follow-up
facilitated adoption of the technology by farmers both in the
project area and beyond.

Transfer of the technology also led to more use of

relatively abundant resources in diverse forms such as, human

47
and material inputs.

Alleviation of fodder shortage was the major and
foremost benefit realized by the community. Not only did it
become available, but also on a continuous basis because the
technology introduced made a year round harvest possible.
Table 4.1 summarizes major features of the technology transfer
in terms of concepts and variables of the study. Illustrations
of community development activities that emerged as a result
of extending the technology are discussed in Appendix A.

Since all five variables of this study are supported by
analysis of the evidence, the agricultural technology involved

was sustainable.

48

Table 4.1
Application of Concepts and Variables: Agroforestry

Project - Nepal

 

 

Type of Technology Scope of the

Involved Project

Agricultural District Level
specifically intro- covering forty eight
duction of new fodder administrative areas
tree each with population of

between 2000 and 9000 in
five districts.

 

 

Indicators of Participation by Users

 

Local community participation in program design
implementation, management and evaluation.

Farmers provided various types of local inputs
for research, trial, training and extension of
the new fodder tree.

Project staff were mostly from the local area.

 

49

Table 4.1 cont’d.

 

Type of Mechanism used for Transfer

Acquisition - Based on local initiatives.

 

 

Management and Control

Decentralized with regular follow-up.

 

 

Use of Resources

 

Human About 90 percent of extension staff was from the
local areas.

Farm families were used, among others, for
planting seeds, and trial of fodder tree.

Material Contributions- cost sharing by
and communities for various activities
Financial such as research training and extension.

 

50

Table 4.1 cont'd.

 

Benefits

 

The technology was adaptable to individual farm family
condition and had social acceptability among farmers.

Empowerment of local people due to transfer and
use of the technology.

-fodder production

-availability of manure for
fertilizing fields

Increased --- -crop production

-income from sale of animals

-acceptance of family planning

 

Reduced forest depletion due to use of leaves from the
new fodder tree as source of fuel.

Training of local personnel including farmers in various
activities.

Coordination of project activities with government
livestock, fodder and reforestation programs in the
area.

The project demonstrated the importance of participatory
approach and stimulated other related activities.

 

Source: Compiled from Arens et al., (1987).

51
4.2 Buzul Edugatlon Development Ergjgc - Paraguay
The Rural Education Development Project in Paraguay was

pursued within a framework of the country's development
strategy. Nicholson et al. (1983), provide the following
background:

... education and.the overall development

process within Paraguay'began to evidence

a new dynamism. . . . a new approach to
regional development stressed rural

(areas) supported by integrated
infrastructure investments . (Appendix B,
p. B-l)

The above strategy had two major features. The first
was emphasis on the rural sector, from which the majority of
the country's population derives its livelihood. Use of a
regional approach in setting educational program priorities
represented the second feature. Figure 4.1 provides a map of
Paraguay with some of the locations covered by the program.

In adopting region as a frame of reference, it is
necessary to clarify the basis for it. One approach. is based
on use of physical factors such as a watershed, [Perloff et
al. 1960] while another starts with people in a particular
area and problems that they are faced with as key
considerations [Nagamine, 1981]. It is in the latter category
that the Rural Education Development Project in Paraguay, the
particular problems of which are identified by Nicholson et
al. (1983) below, falls:

In 1970 Paraguay's education sector was
characterized by inefficiency and

inequitable access. . . .the curriculum had
become irrelevant. ...the facilities had

52

Q ' National Capital
0 Cities
Road:

-v—o-o-e-v- Railroad

M Riv!“

Figure 4.1 flap of Paraguay with Location of. Regional Education Centres from
Ronald Nicholson et al., (Washington. D.C.. 1983) xi.

 

 

 

53

become inadequate. ...only 20 percent of
rural primary schools offered all six
primary grades (rural schools often had
only grades one through three and were
overcrowded). Less than 18 percent of
those entering grade one finished grade
six (retention rate). The MOE generally
acknowledged that few teaching materials
and text books were available and that
teachers had received inadequate training
in the use of these materials. In
addition, the MOE (Ministry of Education)
had an inadequate planning capacity,
received insufficient funding and had an
overly centralized administration that
did not respond to local needs. (Appendix
B, pp. 8-2 and B-3)

The. problems revolve around implementing curriculum
reform, provision of various inputs including teachers,
facilities and other supplies, within a decentralized system
of operation [Appendix B].

Community contributions that came both in the form of
cash and in-kind, such as land and labor for construction and
maintenance of educational facilities constituted one
component of the domestic input. Another source was
government support represented by Ministry of Education
allocations amounting to $1.8 million during 1970-1976. USAID
provided $4.2 million in loan and $300,000 in grants over the
same period [Nicholson et al., 1983, p.51. It emphasized the
need to adopt a systems approach that integrated various
activities, such as curriculum, textbook production,
financing, administration and construction of schools to
assist smooth implementation.

The USAID loan was used for building the following:

Superior Institute of Education were important in carrying out
tasks envisaged by the educational reform.
Centers ranged from preschool to secondary and vocational

education that imparted practical skills.

54
Two new Regional Educational Centers (RECs) and
upgrading of one existing school complex to RECs
status. Once completed, a network of seven RECs
would reach 10,700 students and indirectly affect
140,000 additional students ... about one third of
the student population in Paraguay.
A Superior Institute of Education (SIE) planned to
provide improved. secondary school teacher
preparation.
One hundred twenty primary schools (grades one to
six) to increase access and equity, especially for
students from low-income families living in
communities with the largest classroom deficits.
Four hundred eighty thousand copies of 19 books for
grades four, five and.six for rural areas [Nicholson

et al., 1983, p. 5].

Establishment of Regional Education Centers, and The

(1983) specifically write that:

They have a Corps of teaching,
administrative and support personnel
within each local unit. They use the new
curricula in their schools and teacher

training programs . They have become
effective decentralized units of
administration as well, with

responsibility for 'teachers’ salaries,

Activities of the

Nicholson et al.

55

construction, and budget allocations.(p.
ix)

Table 4.2 provides data on enrollment in Regional
Education Centers by level of education. It shows that
Villarrica had increased enrollment for all three levels'I
while for the other three centers the increases did not
include the primary level. This may be due to differences in
priorities among the Centers, in general, and Villarrica's,
command over relatively more resources than the others in
particular. Enrollment in such Centers should be interpreted
within the context that, in general, "...their primary role
is to provide educational leadership; and community
development in the ... areas where they are located"
[Nicholson et al., 1983, p. 5]. Accordingly, enrollment data
is but one of several indicators of their role.

The Superior Institute of Education was established to
orient the system towards general education. Measures used
to achieve this include teacher training and teaching material
developments Enrollment. by course at the Institute is
summarized in Table 4.3 It shows that consistent with
establishment of the Institute's goal, enrollment in
specialized education declined significantly. In contrast,

increased enrollment in teacher training reflects movement

 

1 Nicholson et al. (1983) indicate that primary

schooling runs up to grade six while the basic level
represents grades seven to nine. Practical-vocational
oriented training such as humanities and commercial studies
are offered at grades ten, eleven and twelve.

56

Table 4.2

Enrollment at Regional Education Centers

 

 

Regional Primary Baslc Humanities
Education

Center 1975 1979 1975 1979 1975 1979
San Lorenzo 712 570 360 428 233 397
Encarnacion 1053 939 694 648 325 559
Villarrica 672 716 329 350 187 213
Concepcion 765 674 611 702 324 438

 

Source: Ronald Nicholson et al. (1983): F-5.

57

Table 4.3
Superior Institute of Education, Enrollment by Course,

1970 and 1975.

 

 

1970 1975
Teacher Training 120 276
Primary - 140
Secondary 120 136
Specialization 84 12
Teacher Improvement - 1307

 

Source: Ronald Nicholson et al. (1983): F-6.

58
towards general education.

There are a number of other positive impacts that have
resulted from implementation of the project. Central to all
of such impacts discussed below is change in curriculum at
various levels of the educational system. Nicholas et al.
(1983), note four steps that such change involved:

First, before a school can initiate the
curricula, teachers and directors must
have at least 2 1/2 months of . . . training
in theory and practice.

The second component requires a parent
orientation program ... to introduce new
concepts, strategies and programs.

The third component requires a more
comprehensive assessment of students:
Fourth, curriculum technicians integrate
new text book materials and innovative
instructional practices into new
curricula.(pp. 9 and 10)

Characteristic features of the new curriculum include
participation by various groups, and its orientation towards
meeting practical needs. In addition to the seven Regional
Education Centers, the new curriculum.was used both by public
and private schools as Table 4.4 shows. The relatively
greater use of it by public schools compared to private ones
is due to the fact that the education reform and financing
focused on "...qualitative and quantitative improvements for
selected elements of the ...public school system" [Nicholson
et al., 1983, Appendix B, p. B-2].

An important input for implementing the new curriculum

was the increased number of teachers. This was promoted by

building ten new teacher training institutes [Nicholson et

59

Table 4.4

Number of Secondary Schools Using New Curriculum, 1980

 

 

 

Sector

Department Total Public Private
Capital 26 13 13
Concepcion 2 1 1
Cordillera 6 5 1
Guaira 3 1 2
Caaguazu 2 1 —
Itapua 1 1 -
Misiones 1 1 —
Paraguari 1 l -
Alto Parana 1 1 -
Central 7 7 -
Neembucu 3 3 -
Amambay 1 - 1
Pdte. Hayes 3 - 3

Total 57 36 21

 

Source: Ronald Nicholson et al. (1983): F-3.

60

al., 1983, p. 7] and establishment of teachers certification
program, as Table 4.5 illustrates that 84% of primary level
teachers were certified by 1974. Women played important roles
in the country's educational system in that they, ". . .comprise
nearly 95% of teachers, and most of the school directors,
district supervisors, Ministry of Education personnel, and
department heads" [Nicholson et al, 1983, p.16].

Table 4.6 shows that enrollment both at the primary and
secondary levels increased, with a relatively greater increase
in.the latteru The figures reflect some improvement in access
to educational opportunities. This was important for students
in rural areas since it enabled them to attend school while
continuing to contribute towards family labor working on
family farms.

The positive impact of introducing the new curriculum
can also be illustrated by improvements in retention and
graduation rates. For instance, they increased from 40% to
52% and 36% to 47% for secondary schools between 1964-1969
and 1974-1979 respectively [Nicholson et al., 1983, p. F-4].

Publication of educational material represents yet
another indication of the degree to which the new curriculum
was being put to use in practice. Table 4.7 shows that
between 1972 and 1975, educational material published totalled
470,000. Prevalence of an overall gap between demand and
supply in this regard was due to the fact that, ".. the MEO's

‘ budget is so inadequate that necessary instructional material

61

Table 4.5
Number of Primary Level Certified and No

Teachers, 1970-1974.

n-Certified

 

 

 

 

Certified Non-Certified
Year Total Number % Number %
1970 13,392 10,610 79 2,782 21
1972 14,114 ' 11,705 83 2,409 17
1974 14,945 12,482 84 2,463 16

 

Source: Ronald Nicholson et al. (1983):

Table 4.6

Primary and Secondary Schools Enrollment

F-8 O

, 1970 and 1975

 

 

 

1970 1975
Primary Enrollment 424,179 460,000
Urban 201,041 193,000
Rural 223,138 273,000
Secondary Enrollment 55,777 75,425
Source: Ronald Nicholson et al. (1983): viii.

62

Table 4.7

Educational Material Published, 1972-1975

 

 

 

Year Grade Texts Guides Total
1972 first 80,000 5,000 85,000
1972 second 30,000 3,500 33,500
1972 third 25,000 25,000
1973 first 50,000 50,000
1973 second 30,000 30,000
1973 third 3,000 3,000
1974 first 10,000 10,000
1974 second 3,000 3,000
1975 first 64,200 64,200
1975 second 65,000 3,000 68,000
1975 third 90,000 9,000 99,000
Total 434,200 36,500 470,700

 

Source: Ronald Nicholson et al. (1983): F-9.

63
are in short supply" [Nicholson et al., 1983, p.x].

In terms of distribution, arrangement between educational
institutions and the Internal Revenue Service made possible,
...selling text books in the regional tax
offices located through out the interior
of the country. ... 165 branch offices of
the Internal Revenue Service, ...provide
ready made outlets for text books

(Nicholson, 1983, p. 12].

In addition, decentralized operation of the Regional
Education Centers was instrumental in promoting use of
educational material in their respective localities.

Data relating to students'achievement under the
traditional and the new curriculum is given in Tables 4.8 and
4.9. Scores in the range of three to five represent a
category of good to excellentz. A comparison of the three
subject areas namely social life and communication; Nature,
health and work; and mathematics showed scores of 74%, 80%
and 78% under the traditional curriculum while the respective
figures for the new curriculum were 80%, 90% and 89%
[Nicholson et al., 1983, p. 15]. It can be concluded from
the above that achievement test results improved with
introduction of a more relevant curriculum.

While all tables thus far have provided data in terms of

specific issues, Table 4.10, consolidates both general and

particular phenomenon using concepts and variables of the

 

2 This classification is adopted by Nicholson et al.
(1983) and not the author of this study.

647

 

 

Table 4.3
Results oi Achieveaent Tests Siven to Traditional Curricula
Students in Senior High School
Grade
1 2 3 4 5 Total
Subject 3"”? 7'7 3"": 3"": 3'“? 3”"?

 

Social Lile and
Coaaunication

nature, Health
and work

Hatheaatics

Total

35 16.28 22 10.25 50 23.26 59 27.44 49 22.79 215 100

24 11.01 19 8.72 45 19.72 63 28.90 69 31.65 218 100
20 9.17 28 12.34 50 22.94 71 32.57 49 22.48 218 100

79 12.13 69 10.60 143 21.97 195 29.65 167 25.65 651, 100

 

Table 4.9

Source: Ronald Hicholson, et al. (19831: F-4.

Results of Achieveoent Tests Given to New
Curicula Students in Senior High School

 

Subject

Grade

 

4 I 4 Z 4 1 4 I 4 I 4 Z

 

Social tile and
Boa-unication

Nature, Health
and Hort

Hatheaatics

Total

15 8.02 23 12.3 37 19.79 2 22.46 70 37.43 187 100

8 4.23 11 5.82 27 14.29 60 31.75 83 43.91 189 100
6 3.16 15 7.39 31 16.32 56 29.47 82 43.16 190 100

29 5.12 49 8.66 95 16.78 158 27.92 235 41.52 566 100

 

Source: Ronald Sicnolson, et al. (1983): F-S

65

Table 4.10
Application of Concepts and Variables: Rural Education

Development Program, Paraguay

 

 

Type of Technology Scope of the
Involved Project
Educational Regional
In particular relating Aimed at establishing
to curricula reform. local regional educational

centers that provide
educational leadership and
community development.

 

 

Indicators of Participation by Users.

 

Participation by local communities in various areas
including:

Curriculum change.

supply of a large number of personnel especially
as teachers.

mobilizing resources
from the locality fund raising.

 

66

Table 4.10 cont'd.

 

Type of Mechanism used for Transfer

Acquisition -Based on long term needs
of communities.

 

 

Management and Control

 

Administrative responsibility shifted to local
Regional Education Centers (RECs) that are:

-decentralized

-assisted in distributing teaching
material.

-in controlled teachers' salaries, construction
and budget allocations.

 

 

Use of Resources

 

Human
contributions used for constructing,
Material ----- and maintaining educational
facilities and similar tasks.

 

Financial

 

67

Table 4.10 cont.

 

Benefits

 

Introduction of new curriculum and relevant teaching
materials and textbooks aimed at meeting practical
needs.

Building of new schools in the rural areas improved
access and equity.

Improved students' achievement.
Higher retention rates.

Empowerment of local people due to changes brought
about by the educational reform.

School building design developed during the project's
implementation is adaptable to different site
conditions.

 

Source: Compiled from Ronald Nicholson et a1. (1983).

68

study. The project was characterized by participation
involving diverse groups--the communities in general,
students, teachers, and educational institutions. Such
participation included planning and implementation of
curriculum reform. Since curriculum reform was based on
assessment of the type of education provided relative to the
needs of the communities, the technology transfer mechanism
reflected this and hence it was an acquisition type.

Regional Education Centers, and units under them
responsible for handling various tasks at local levels were
also established. Their responsibilities include budget
decisions and distribution of educational material thus
illustrating implementation of decentralized management and
control in practice.

Use of relatively abundant resources such as human and
material inputs, contributed by communities, was enhanced.
In addition, there were specific benefits realized including
increased access to educational opportunities, improved
students' achievement and retention rates.

Analysis of the evidence using the five study variables
therefore, shows that the educational technology was

sustainable.

69
4.3 WW - Senegal
This was a primary Health Care Project located in the

Sine-Saloum region shown in Figure 4.2 It was introduced in
1977 to deal with the following problems (Bloom, 1984):

Inadequate numbers of trained health and

community development personnel.

Exceedingly poor access to health care,

due in part to insufficient numbers of

health facilities, particularly health

posts (the most accessible source of

health care for the bulk of the region's

population). Inadequate supplies of

essential drugs and long delays in

procurement. (p. 3)

Given the above it was stipulated that the project, "...
establish a network of 600 village health posts staffed and
supported by 1000 community level personnel throughout the
region." [p. 3].

The project budget totalled $5,021,282 of which USAID
provided $3.3 million in various forms ranging from equipment
and medical supplies to training. The government of Senegal
covered the balance. Five of the six provinces with a
population of about 880,000 in Sine Saloum were to be reached
over a period of four years [Bloom, 1984, p.4].

Although health facilities were set up in over 400
villages of the region, there remained important problems
relating to financing and implementation [Bloom, 1984, p. 5].
Ability of the project to continue functioning was therefore,
called to question. According to Bloom, 1984:

...village Ihealth facilities were not

financially 'viable ... not recovering
their operating costs (particularly the

70

 

 

                     

        

 
   

 

                          

 

 

 

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09" 00‘ J00 ~o’oo
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P. rift! .1. 121:1 . \. 2 ......~ .v C
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«we . «33.0 .V )5 21 4 k .t
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.ma . 550.7% .
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71
cost of medicines), many had closed ...
In addition, ... transport system could
not cope with the new demands imposed by
the PHC program.(p. ix)

These problems led to a need for revitalizing the project
in late 1980 by concentrating on measures aimed at increasing
community participation both in planning and implementation.
A system of user fees, to address the project's financial
viability, was established. Not only was this to cover costs
of medicines, but also remuneration for services rendered by
community health workers, and maintenance expenses of health
facilities. Bloom (1984), provides specific features of the
operation:

All payments for drugs and fees for
services ... are deposited in the village
health committee treasury. . . . in addition
to ensuring that financial contributions
are made, the village health committee
ensures that, health workers are
responsive to villagers' felt needs.
Ensures that accurate financial records
are kept, that stocks of medicines are
replenished, and that funds are not
diverted. Holds meetings to review ...
management problems and village health
problems. Selects village health worker
candidates. (pp. 12 and 15)

The above indicates that community participation in
practice was both diverse and significant.

Training of staff, in general, and those involved in
village management committees, in particular was also promoted
after 1980 "... to increase the villagers' understanding of
the health program and their responsibilities of financing and

managing village level activities" [Bloom, 1984, p. 9] . Women

72
played an important role in health services by participating
as community health workers.

Domestic and external effort in construction and location
of health facilities was streamlined to avoid their
concentration in few locations. iFor instance, the major store
for’medicines was moved to facilitate distribution at village
level. This was important given the overall goal of
increasing access to primary health care with limited
resources.

The need to maintain financial and health data both for
planning and monitoring performance was also underscored
(Bloom, 1984):

An innovative, comprehensive survey to
measure morbidity, mortality, nutritional
status and knowledge, attitudes and
practices to family planning was conducted
in collaboration with the U. 8. Center for
Disease Control (CDC).(p. 7)

This indicates that in practice due weight was given to
gathering information on important aspects of health care,
illustrations of which are presented and discussed in Appendix
C along with other background issues.

Introduction of a Primary Health Care (PHC) system to
the region was made possible not only by use of field staff,
such as community health workers, but also due to willingness
by the communities to pay for the services they received.

Their participation in executing different tasks was also

essential. Given these features, the transfer mechanism

73
involved was an acquisition type.

Decentralized management and control was one of the
distinguishing features of the project after 1980. It was
manifested by jurisdiction of local health committees over
collection and allocation of user fees. Use of relatively
abundant resources was promoted as a result of the technology
transfer. Services rendered by Community Health Workers,
cost sharing through payment of user fees, use of local
material and labor for constructing health care facilities
provide concrete illustrations. ‘Using concepts and variables
of this study, salient issues pertaining to the project are
summarized in Table 4.11.

Evaluation of the data using the five study variables,
therefore, demonstrates that the medical technology providing

primary rural health Care was sustainable.

74

Table 4.11
Application of Concepts and Variables: Rural Health

Project - Senegal

 

 

Type of Technology Scope of the
Involved Project
Medical Regional
specifically relating covers five provinces
to rural primary with about 20% of the
health care country's total population

 

Indicators of Participation by Users

 

Active community development in the project's
operation through village health committees
including meetings to review village problems and
encourage people to make use of health services.

Community Health workers were predominantly from
the localities.

 

 

Type of Mechanism used for Transfer
Acquisition.

The project was based on meeting needs of users and
had social acceptability as reflected by their
willingness to share the cost of providing health
services.

 

75

Table 4.11 cont'd.

 

Management and Control

 

Decentralized -especially in the management of user
fees- both in its collection and utilization at the
village level, such as payment for village health

 

 

 

 

workers.
Use of Resources
Human Contributions by local communities
Material for construction, maintenance of health
and facilities and provision of various
Financial activities

 

76

Table 4.11 cont.

 

Benefits

 

Availability of local primary health care services.

Local people were empowered as a result of transfer
and use of the technology.

Training of health workers and village management
committees.

Introduction of record-keeping on various aspects
of health in the communities.

 

Source: Compiled from Abby Bloom, (1987).

CHAPTER V

METHODOLOGY FOR EVALUATING SUSTAINABILITY OF TECHNOLOGY

Evaluation is an effort aimed at.promoting use of theory
to guide practice and is a means by which to judge process(es)
and effect(s) of an activity. Underscoring its crucial
importance the UN (1985) notes:

. . .evaluation is now seen as an aid to
learning ... as a tool of effective
management of development activities in
the short run and intermediate terms, and
for strengthening management capabilities
in the long term. ... (as well as)...
making optimal use of limited resources
and to lay greater emphasis on the quality
of development efforts and their results

[pp. 7 8 8].

The above indicates the need to-build in evaluation at
the beginning rather than leaving it until the end of an
activity. Once devised for the initial stage it could easily
be extended to other subsequent stages. Jequier (1983)
observes that:

... risk also depends on social and
cultural factors. Certain. :new
technologies, because they are well
tested, may have a very low technical and
economic risk, but may ultimately fail
completely because the social and cultural
factors were neglected. (p. 16)

This reflects that social and cultural acceptability of
a technology are crucial in assessing its sustainability. At

the heart of the social and cultural factors lie issues

77

78

relating to human and institutional dimensions. These can be
considered both at the macro and micro levels as well as in
terms of measures undertaken by private and public bodies.

This chapter presents general methodology for evaluating
sustainability of technology. It highlights what has been
done in this study and can also serve as a basis for future
work. Four major distinct but related phases, based on a
synthesis of the literature and the three case studies, can
be advanced. The phases are depicted in Figure 5.1 and
discussed below.

Phase one involves devising the conceptual framework.
It provides a general basis, for describing the process(es),
identifying the major factors affecting the operation and
determining intended consequences of a particular technology
under study. When different conceptualizations of what is
being studied exist, it is important that the framework
adopted by a study and operational definitions thereof be made
clear. This phase represents a general research tool and can
be undertaken along with phase two.

Phase two is concerned with background information
gathering on the locale that can be categorized into
general and specific factors. Examples of general factors
include social, cultural, economic, physical and biological.
Participation, management and control, mechanism of technology
transfer, use of resources and flow of benefits to users

represent illustrations of specific factors.

79

 

CONCEPTUALIZATION OF TECHNOLOGY ‘--. PHASE I

1

GATHERING BACKGROUND INFORMATION
ON THE LOCALE INTO WHICH TECHNOLOGY

 

 

 

 

 

 

 

TRANSFER IS TO BE MADE

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

GENERAL FACTORS SPECIFIC FACTORS
r- SOCIAL PARTICIPATION
___ CULTURAL MECHANISM OF
TECHNOLOGY TRANSFER -

 

 

 

 

 

 

 

ECONOMIC MANAGEMENT AND ‘— PHASE II
CONTROL

 

 

 

 

 

 

 

 

PHYSICAL RESOURCE USE '---~

 

 

 

 

 

 

 

 

 

L__ BIOLOGICAL FLOW OF BENEFITS

 

 

 

 

 

 

 

IDENTIFICATION OF SPECIFIC PROBLEMS PHASE III

 

 

 

THE TECHNOLOGY IS TO ALLEVIATE <4—

I

EVALUATING PERFORMANCE OF TECHNOLOGY
USING THE CONCEPTUAL FRAMEWORK AND ——— PHASE IV
INFORMATION GATHERED

VI

 

 

 

 

 

 

 

Figure 5.1 Framework for Evaluating Sustainability of Technology
synthesized from the literature and the three cases.

80

The first step of the research strategy for phase two
requires devising a questionnaire to generate preliminary
information from a small proportion of'potential users of the
technology on an informal basis. This is a useful input for
a more formal, structured and comprehensive questionnaire,
both in its coverage of issues and the size of the population
of users to be interviewed, that will be administered
subsequently.

Formulating the questionnaire and the associated task of
making budget estimates needed to undertake the research is
the responsibility of the major researcher(s) . Administering
the questionnaire, whether on a small or large scale will,
however, require use of assistants. Such assistants usually
must have a minimum level of formal education, in addition to
knowledge of the local language, culture and similar other
community system(s). They should also be given some kind of
training prior to beginning their assignment. It is during
such training that objective(s) of the research, importance
of the data to be collected, and interviewing procedure(s)
including the schedule and approximate length of time to be
spent in each interview session have to be fully explained.
Equipped with good grasp of what they are expected to do, the
research assistants should explain the same to potential users
of the technology to get clear and pertinent answers.

The major researcher has to participate closely in the

field work, to ensure reliability of information being

81
gathered. by making first-hand observations about the locale.

There are two other possible sources of background
information. The first is off-field interviewing of
individuals and/or groups to obtain insight about the locale
especially relating to general factors. Examining documents
relevant to issue(s) under study represents the second source.
Once the information gathering task is completed, what remain
are coding, summarizing and storing it in a suitable form for
conducting analysis.

Before proceeding to consider the issue of measurement
in terms of specific indicators, it is in order to discuss
.broad approaches on which such measurements can be based.
Direct quantitative measurement represents one approach.
Dealing with indicators that readily lend themselves to such
measurement using market price and physical quantities of
inputs and outputs need not be dwelt upon. However, both
theoretical and practical considerations that application of
such measurement calls for should be properly taken into
account as subsequent illustrations show.

In other circumstances, indirect methods of measurement
have to be applied. The scalogram analysis provides one such
method. It involves adding up elements, considered relevant
to constitute components of the indicator at hand, for
developing a composite index. The method requires that the
elements be both undimensional and cumulative to form such an

index [Blalock, 1968: Morrison, 1970: and Miller, 1983]. A

82
numerical scoring system, reflecting the relative importance
of each element, should be utilized if the tools of statistic
are to be employed in analyzing them. This is because for
such analysis the scale used should be of the interval or
ratio type.
Bennett.et.al. (1975) suggest.another'method.toideal with
the issue of measurement namely:

... to draw inferences through proxy or
substitute measures. Proxy measures are
short term indicators of long term program
effects and are based on research tested
relationships. These are relationships
between: (a) the achievement of
objectives at lower and higher levels
within a phase. . . ; or (b) the achievement
of objectives within the earlier phase and
a later phase... (p. 15).

They argue that the above method is particularly '

necessary for assessing long-term consequences of activities
that cannot be observed over the short-term. This is based
on the general premise that short and medium term trends in
a given activity can be used to extrapolate future pattern.
To apply this method it is necessary to have some historical
data that can be used as a point of reference to evaluate the
results obtained since actual magnitude of the factors being
measured do not exist.

In cases where direct and indirect quantitative
approaches to measurement discussed above are not feasible,
qualitative approach has to be adopted [Collinson, 1979].

Use of categories such as high, medium and low to indicate

 

83
broad.magnitudes in relative terms represents one form of the
approach. These categories are usually established on the
basis of responses received from potential users of the
technology and/or examination of relevant documents(s)
concerning various issues.

The distinction between qualitative and quantitative
measurement is not based on lack of understanding of
interrelationships among various issues being examined in one
case as against the other but rather on differences in the
relative specificity of findings.

Having set a general perspective on evaluation
illustration of specific indicators will now be discussed.
Financial and material contributions, that could come from
local and external sources, are indicators of participation
by individuals, communities as well as governments and non-
government organizations. Where records for each exist, they
can be used to quantify and assess implications of various
levels of participation on sustainability overtime.

Knowledge about indicators, such as users beliefs,
attitudes, and practices is important because sustainability
of technology ultimately depends on users acceptance of it.

In terms of management, the extent of decentralization
and its fit with the conditions in the locale represents
another indicator. It can be analyzed by considering issues
such as leadership and staffing at various levels of the

technology transfer process including research,

84
demonstration/training and extension.

Some of the above indicators can be measured using the
principle of opportunity cost. For instance, monetary
estimates can be made for time spent working in managerial
and other capacities with committees and associations in
planning, decision making and implementation.

Implications of issues emanating from government policies
and programs, such as tariff, subsidy, credit, tax, import,
export and price policies should also be considered. The
effects of ‘these issues. on sustainability' of technology
transfer are among others, reflected through input and output
markets. Most of them can be quantified as discussion in '
chapter one shows. Idkewise, activities of private sector
institutions and their impact on sustainability of technology
should be examined. '

In general the question of which approach to use for
measuring various indicators will have to be decided upon
careful examination of each method's requirement(s) and the
indicators' ability to meet them. One of the practical
aspects that.has to be considered is the nature of data likely
to be obtained. From diverse examples given in this chapter,
it can be discerned that there is scope to utilize the
different approaches. That is, direct and indirect
quantification, and qualitative measurement of different
forms.

The degree of impact that the various general factors

85

will have on sustainability of technology depends on the
specific nature of the technology being considered. For
instance, when dealing with agricultural technologies,
(Johnson, 1985: and Sfeir, 1986) physical and biological
factors are crucial. In addition, particular issues such as
availability of market, existing land and labor use practices,
as well as farming systems also become more relevant. These
can be better understood if considered in conjunction with
evidence derived from research involving users of a particular
technology in a locale, rather than independent of them.

Phase three delineates the specific research area with
which a study is aimed to deal. This is done by spelling out
the particular problems that are to be analyzed. Problems,
especially of micro nature, are usually identified from
information gathered in phase two within the context of the
conceptual framework developed in phase one. Alleviating
particular problem(s) at hand without at the same time
generating new ones is the general underlying goal. Problems
involving fodder production, rural education, and primary
health care analyzed in this study are but three different
examples.

In phase four, performance of the technology is evaluated
using a set of criteria derived from relevant theoretical and
empirical literature. The five specific factors indicated in
Figure 5.1 provide examples of such criteria used in this

study. For assessing sustainability of technology, such

86
factors should be considered in terms of the extent to which
they enhance users' long-term goals and possibly that of the
community within which they are located. Understanding
implication(s) of a technology on utilization of scarce
resources relative to abundant ones in the particular setting
being analyzed is important.

Despite dysfunctional consequences that can arise from
various sources due to risk and uncertainty, the task of
evaluating intended results should be done as well as
possible. This calls for exercising care both at a general
level and in terms of specific technique(s). For instance,
when there is interdependence among variables, use of
regression analysis will not be satisfactory since multi-
collinearity among the independent variables makes deriving
sound coefficients using the least square method problematic.
Other features of the regression model, such.as its assumption
of errors being associated only with the independent
variables, should also be noted.

In cases where interdependence among variables exist
techniques such as factor analysis, which envisages that no
variable, dependent and independent alike, is error free,
should be used [Scott, 1966]. It is defined by Harman (1965)
as a multi-variate technique used to transform a large number
of inter-correlated variables into non-correlated factors.
The ultimate purpose of this exercise is to have an

understanding of the entire collection of variables. The

‘1' LI

 

87
technique has been applied at a general as well as particular
levelswwith mixed results [Eysenck 1952, Adelman et al. 1971].

Major frameworks within which evaluation has been made
using ‘various specific ‘techniques include, social .impact
assessment (FAO, 1981; Carley et.al., 1984; and Derman.et al.,
1985) , environmental impact assessment (Rau et al., 1980:
McAllister, 1982: and Seneca et al., 1984) and economic impact
assessment [Richardson, 1972; Greenberg, 1978; Barlow et al.,
1979; and Bulmer, 1982]. Whichever framework, and
technique is utilized for evaluation, effort should be made
to incorporate as much of the relevant factors as possible.

Clarity should also be maintained given that the purpose of
using one or more of the above is to gain an understanding of
the activity being examined.

Specifically, care should be taken in making use of
different techniques. For instance, when applying the cost
benefit technique (Turvey et al., 1965: Maass, 1966: Sassone
et al., 1986) it is important that there be no distortions of
costs and benefits -direct and indirect alike- resulting in
under or over estimation of them. Accordingly, distinction
between private and social calculus should be made at the
outset and the items to be included under each be carefully
identified. Different formulations of cost-benefit equations
each with underlying assumptions should also be examined for
their suitability.

In. choosing' a discount rate, the implication of a

88

particular choice on inter-temporal and inter-generational
aspects, both in terms of resource allocation and the
distribution of the resulting benefits, should also be
recognized. Deliberate 3mm choice of low discount rate
should, for instance, be avoided if limited resources are to
be allocated competitively. Various types of trade-offs made.
should also be considered in terms of long-term consequences.

A general frame of reference for methodology to evaluate
sustainability of technology is summarized below:
(1) The importance of participation by potential users of
the technology, directly and indirectly, in research about
the locale has to be recognized and utilized. That is,
evaluation of sustainability of technology should begin with
an understanding of the specific conditions users are faced
with and their needs.
(2) Given that issues relating to sustainable technology
transfer span diverse aspects, use of an inter-disciplinary
approach is important for understanding them.
(3) Although sustainability should place primary focus on
micro aspects especially as they relate to users of the
technology, an understanding of macro issues is also'
important.
(4) Criteria for evaluation should not be those relating to
characteristics of the technology per g; but rather factors
derived from research and considered to be crucial for

achieving sustainability.

89
(5) Given that qualitative and quantitative analyses are
complementary both should be done to reenforce each other if
there are no constraints to do so.

In undertaking all of the above, there is choice in terms
of the specific type of techniques to be used from existing
body' of knowledge but. the suitability issue has to be
carefully addressed in light of what is being analyzed. This
is important because if the method utilized for a particular
task at hand is wrong, the conclusions derived by using it
cannot be correct.

The methodology and the underlying criteria discussed in
this chapter can be applied to diverse technologies and are

hence replicable.

CHAPTER VI

SUMMARY, FINDINGS, CONCLUSIONS, LIMITATIONS OF THE
STUDY AND ASPECTS FOR FURTHER RESEARCH

5-1 §BEE§£Y
This chapter presents some of the salient points of the

study, the theme of which is Sustainability of Technology
Transfer, in the form of summary, findings, conclusions, and
limitationsm Some areas for further research are also
indicated.

The review of theoretical and empirical literature, in
Chapters I and II, discussed technology transfer in terms of:
(1) the engineering/technical, (2) the diffusion-adoption, and
(3) the sustainability approaches. This was done to
facilitate exposition and bring out some of the major
contrasts between the different approaches on various issues,
including conceptualization of technology itself.

The engineering/technical approach was shown to be based
on the assumption of suitability of technologies
notwithstanding differences in other aspects such as the
environment, institutions and the social structure. It is
almost exclusively discussed in terms of industry in general
and manufacturing activities in particular. In this approach
technology was perceived to be synonymous with technique and

hence emphasis on physical hardware and its transmission from

90

91
one place to another whether within a country or among
countries.

The diffusion-adoption approach ‘was presented using
different disciplinary perspectives and the assumptions that
go with them. Economics, sociology, and anthropology based
treatment of the approach were predominant. Providing package
of inputs such as seed-fertilizer-irrigation to farmers was
pursued as a primary goal. The technologies were typically
generated from experiences at the International Research
Centers, and assumed to be acceptable to farmers. Granted
this assumption, it was argued that the key determinants for
adoption of the technologies revolved around individual
adopters' personal characteristics and the efficacy of
communication between those effecting the technology transfer
and the adopters.

One of the major challenges to this approach has been the
basis for its assumption that technology derived at the
International Research Centers will be readily accepted by
users and given this whether mere focus on communication was
of any utility by itself. Prevalence of ecological and
farming systems differences among others, form the basis of
the above challenge.

In recent years it has generally been recognized that
preoccupation with technology transfer pg; ge has not been
able to address long term development problems. The need to

reexamine the premises of such transfer has therefore, become

92
important. This necessarily means focusing on the issue of
how to achieve sustainability. In contrast to the other
two approaches, the sustainability approach emphasized that
technology transfer represents a means for enhancing users
participation and empowerment by involving them in the
planning and/or implementation of the transfer process. It
takes into account the economic, social, cultural, physical,
biological and other aspects. In addition, it adopts a
dynamic perspective considering inter-temporal and inter
generational implications of decision making and is based on
a comprehensive framework. The approach also supports the
underlying theory which postulates that a technology making
use of the relatively abundant resources relative to the
scarce ones should be promoted.

Five variables identified from the literature on
sustainability, were used in formulating the study hypothesis
which states that technology transfer is sustainable when the
following exist:

- participation by users in planning and/or
implementation of the technology transfer process:
- acquisition type of technology transfer;
- greater use of the relatively abundant resources
compared to scarce ones;
- decentralized management and control by users; and
- benefits to users.

From a total of forty cases examined three that provided

93
relatively more data were selected and used as sources. They
were based on field experiences from Nepal, Paraguay, and
Senegal conducted by staff from World Neighbors for the former
and the USAID for Paraguay and Senegal. Each organization
also made significant financial and/or technical support to
the projects over limited time period.

The specific problem in the case of Nepal revolved around
alleviating' shortage of fodder supply faced by' a local
community. By using resources both from local and external
sources, a technology that was able to satisfy the community's
fodder needs on a continuous basis was introduced. In
addition, a number of other community development activities,
related to the fodder production, emerged. The project
therefore, had linkage effects.

In Paraguay the negative consequences of irrelevant
curriculum and access to educational opportunities especially
for those living in the rural areas constituted major
problems. The goal of the educational reform among others,
was to address these problems.

Senegal's primary health care project was aimed at
providing services to rural communities that do not have
access to the few health facilities usually concentrated in
urban areas.

Diversity of the cases regionally, sectorally, and in
terms of the types of technologies -agricultural, educational,

and medical- was important to evaluate whether or not

94
sustainability of technology was affected by it.
This study adopted a broad conceptualization of
technology which recognizes that not only is it more than
technique but is also applicable to diverse activities.

6.2 W

The following findings emerge from analysis of the data
using the five study variables.

First, operation of all three cases were decentralized
thereby facilitating the dual task of involving users in cost
sharing of the projects' activities while at the same time
putting management and control in their hands. Various types
of Committees were the primary forms of organizations used in
exercising such control. That is, through users'
participation the technologies enhanced empowerment, and
capacity building. The mechanism of technology transfer used
in all three cases was therefore, of the acquisition system
type. This is in contrast to the delivery system approach in
which technology transfer merely represents a top-down
mechanical process with no consideration of participation by
users.

Second, increased use of the relatively abundant
resources was characteristic of all three projects. This was
found to hold both in the form of staffing, which included a
sizeable proportion of women as well as material inputs from

local sources.

95

Sustainable technology transfer was a viable strategy for
achieving increased agricultural production and related
activities as well as improved access to rural education and
health care. This was due to positive effects of
participation, acquisition type of technology transfer
mechanism, decentralization in management and control,
increased use of the relatively abundant resources and
continuity in flow of benefits to users. These were
interrelated and reenforced each other. Of these,
participation was the crucial variable. The study also found
no basic differences in the achievement of sustainability in
all three cases despite diversity in the type of activities
they involved and location of the countries. The findings

support the study hypothesis.

 

6.3 Limitations of the Study egg aspects :0; fugghe;
Research:

Use of secondary and qualitative data represent two
practical limitations of this study. It should however, be
noted. that. the idistinction. between. qualitative and
quantitative analysis is not based on lack cf understanding
of interrelationships among issues being studied in one case
as against the other but rather on differences in the relative
specificity of findings. The methodology presented in chapter
V can be used as an input for conducting further studies.

Some illustrations of which are given below.

96

Identification and quantification of changes in various
types of domestic and external inputs overtime and the
consequences for sustainablity of technology provides one
ground for further study.

Closely examining existing local organizations in terms
of their development, strengths and contributions -direct
and indirect- to sustainable technology transfer is also
relevant.

Women in many rural societies including the three cases
examined in this study make important contributions working
in the fields and otherwise. Given this systematic analysis
of conditions that will make maximum use of their effort for
sustainablity of technology can be important.

possible linkage between micro and macro factors and
their implications for sustainability of technology can
constitute yet another aspect for further research. If
necessary data become available, the methodology presented in
chapter V can be used as an input for conducting further

studies.

APPENDICES

APPENDIX A

Appendix A

NEPAL - GENERAL BACKGROUND, EMERGENCE OF RELATED
ACTIVITIES AND EXTENSION OF THE TECHNOLOGY.

Nepal has over ninty percent of its population in the
rural sector (Tull et al. 1987). It has three major
ecological zones each with distinct characteristic features

as Table A1 and Figure A show.

Table A1

Population, Cultivated and Forested area

 

Ecological Altitude Gross Popu- culti- Fore-
zone é¥)sea Area2 lation vated sted
229 ('oomm ) 1984 Area Area

(mill) ('OOOKmZ) ('OOOKmZ)

 

Tarai <500 24 7.1 15 9
Hill 500-4000 96 7.8 16 29
Mountain >4000 21 1.4 neg. neg.
Total 141 16.3 31 38

Source: Upadhyay, "Watershed. Management in Nepal Under
Conditions. of Limited. Data and. Access," in. K.

Easter, et al. Wate s d esources Mana ement:

Integgegeg Egemework with Studies from Asia

97

98

Boa> use:

.cn~ Aommfi .mmoum
"noeasomv .Ho no .uouoom .2 Sony mocou Heme: ounce m.Haeoz .< shaman

 

2.25m

 

 

 

 

     
             

 
    

          

 

u
.

u
.

s
as
ma“. .3.

     

»

       

Exes

         

  

.. e 2...
. u. . ”(Xx

a

     

2

 

 

99

and.the_£asifis (1986): 178-
neg a negligible
Upadhyay (1986), summarizes some features of each zone
as follows:

The Tarai zone occupies about 17 percent
of Nepal and is extension of the Indo-
Gangentic plain. 'the zone contains about
half of Nepal's cultivated land and
slightly less than half of the
population. ... the climate is sub-
tropical. Land use is predominantly
agricultural in the southern belt and
there are forests on the southern slopes.
The Hill zone .. climate is a temperate
monsoon type with cool dry winters and
warm wet summers. Half of the total
population and 68 percent of the land
area of Nepal are included within the
zone. The zone has a complex system of
high ridges, basins and steep slopes.
Less than 5 percent of the zone is flat.
Cultivation is done on bench terraces of
varying standards, and in many areas
terracing has gone beyond.prudent levels.
terraces have been established on lands
too steep and fragile for cultivation
under normal rainfall conditions. large
numbers of livestock are past of the
farming system. The forest type is
predominantly temperate. .. intensive use
of land, heavy grazing pressure, and a
rapid rate of deforestation have been
major contributing factors to increasing
erosion in this zone. The mountain zone
occupies 15 percent of Nepal's land area
and has about 8 percent of the total
population ...this zone is ...
characterized by low rainfall and low
temperature during much of the year...
the short growing season, low rainfall,
and fragile landscape Zhave restricted
intensive use of the land, although
grazing pressure is relatively'high, The
typical alpine vegetation... is now
disappearing because of heavy use as fuel
wood. (pp. 178 & 179)

Differences in agroclimatic conditions in general and

100

access to fertile land in particular, therefore, make major
difference in the livelihood of inhabitants. The agroforestry
project stimulated two activities in the Majhi village - a
small irrigation canal and a drinking water supply system.
The first led to increased dry land cultivation thereby
boosting food. production. and the latter' made access to
drinking water for Majhi households possible.

These activities illustrate that local communities can
expand the range of services available to them through cost
sharing. Table A2 provides cost data for four activities
including the above two in Majhivillage between 1978 and
1986. Components of the two broad categories of costs used
in the Table were specified by Arens et al. (1987), as

follows:

... m ses (trainingytmaterials,

equipment, transportation, rent, drugs,
cost of stud animals), and staff eosts
(including allowances for the nurseryman,
livestock assistant and extension staff,
pro-rated.administrative support, and ...
consultant's costs. (p. 6)

It can be discerned from the above that program expenses
are ‘those allocated for fixed inputs while staff costs
represent spending on variable inputs.

Although local participation in training and extension
regarding'Ipil-Ipil was substantial, TablezAz shows that staff
cost exceeded program cost. This may largely be due to

expenses incurred for research and consultancy personnel fees.

Drinking water and irrigation canal activities being

101

Table A2
Costs of Majhi Community Development Activities,

1978-1986 (in U.S. dollars).

 

 

Activity Program cost Staff cost
Ipil-Ipil 5312 8531
Livestock 3125 2375
Drinking water 820 100
Irrigation 475 250

 

Source: Arens et al., (1987): 7.

102

almost exclusively undertaken by the community did not involve
cost for research and consultancy. On the other hand there
was spending for purchase of equipment. The two put

together resulted in program cost being greater than staff
cost. The Table shows of the four activities, drinking water
project had a relatively very low staff cost followed by
irrigation. Extension of the technology and related
activities for 1986 is given in Table A3. It indicates that
over fifty percent of the total areas reached.by the extension
program fall under Ipil-Ipil training and demonstration
activities while progress in other activities was slow. This
is not a surprising result given that the primary activity was

that of achieving self- sufficiency in fodder production.

103

Table A3

Extension of the Technology and Related Activities,

 

 

1986.
Activities Number of Administrative
, Areas Covered
Animal upgrading 8
Ipil-Ipil training and
demonstration 23
Drinking water supply systems 8
Irrigation Canals 2
'Community fodder nurseries 2
Imported citrus trial 9

 

Source: Compiled from Tom Arens et al. (1987): 17.

APPENDIX. B

PARAGUAY -

The Rural Education Development Program

Appendix B

BACKGROUND DATA

(REDP)

was

established in 1962 when operation of the Inter-American

Cooperative educational service (SCIDE) came to an end.

Nicholson

et al. (1983) summarizing the background write:

SCIDE made six major transition: (1) the
technical-vocational school in Asuncian,
(2) the San Lorenzp Rural Normal School
(1956) , (3) the in-service teacher
training centers, (4) the preservice
training programs (5) the curriculum and
materials center (1957) in Asuncion, and
(6) numerous new schools and classrooms.
. . .the Rural Education Development Project
(REDP)... continued many of the programs
begun by SCIDE. REDP's stated aims
remained mearly identical to those of
SCIDE: to reduce illiteracy in paraguay
through an increase in normal schools, in-
service teacher training, new school
construction, development of instructional
materials, and reorganization of the
Ministry of Education (MEO).[PP. 2 and 3]

Table B1, provides general and education related data.

It indicates among other things,
primary and secondary levels increased substantially,

the primary level showing a relatively greater increase.

that per pupil cost for

with

Illustration of per unit construction and furniture costs

at the primary level for 1972 and 1973 are given in

Table 2.

104

TABLE 81

1135

Trends in Population Growth, Enrollaent and Related Aspects, Selected Years, 1955-1979

 

 

TTEH 1955 1968 1970 1975 1979
Population 1aillionsl 11.11 1.4 2.4 2.6 2.9
Gross Rational Product 18H?)
1aillion guaranies, 81* 11,993 30,483 74,921 190,438 8.4
Per Capita 10.5. $1 H.R H.R 303 320 404
Hlnistry ol Education (HES)
1aillion guaranies, 81 124.9 352.8 1,388.4 2,709.9 5,626.6
H50 Budget as Z of Total Budget 12.36 12.92 13.3 14.7 13.4
Population 17-14 yrs) H.R H.R 510,000 580,100 615,400
Prilary Enrolllent 254,118 330,000 424,179 460,000 304,000
183 l 180 1 ‘182 1
Urban H.A 196,000 201,041 193,000 199,000
119661
Rural H.A 176,000 223,138 273,000 305,000
119661
Population 113-18 or 15-191 H.A H.R 332,300 262,381 402,400
113-181 115-191 113-181
1977
Secondary Enrolllent 16,000 39,000 55,777 75,425 110,095
Pre Pupil Ezpenditures--Secondary 8.0 $32.71 $53 $96.85 H.R
Source: Ronald Nicholson et al. 119831: viii.

! 8 126.00 = 0.3. $1
H.R = Hot Available.

(Fluctuating Tree aarket rate in 19711.

106
Table B2

Unit cost of Primary Schools: Construction, and
furniture -1972 and 1973 - ( in US dollars)

 

 

Data construction/m2 Furniture/m2
9/12/72 35.21 13.04
10/31/72 42.29 12.91
2/28/73 58.13 28.20
4/4/73 68.98 12.90
7/25/73 76.96 16.65

 

Source: Ronald Nicholson et al., (1983): F-l.

Table B2 shows that construction costs approximately
doubled while furniture cost increases were relatively modest.
Given that local.material was used.in school construction, the
large increases in cost may be attributed to other inputs

especially imported ones.

APPENDIX C

Appendix C

SENEGAL - DEMOGRAPHIC AND HEALTH CARE BACKGROUND DATA

The primary health care project covers twelve percent
of the country's land mass and about one fifth of the total
population. It is considered to be one of the largest in the
Sub-Saharan region [Bloom, 1983]. The major economic
activity in Sine Saloum is agriculture with Millet and Peanuts
being the two major crops grown in the region. Millet
combined with other crops such as rice, cow peas and corn is
the staple food.crop while peanuts, one of the country's major
exports is a cash crop with the region contributing about two
thirds to export earnings Bloom (1983).

Table Cl provides data on health and related aspects both
for Senegal and Sine Saloum. It shows that annual population
growth rate and infant.mortality rate are high for the project
area compared to the country as a whole.

Table C2 provides data on major communicable disease
prevalent in the Sine-Saloum region for the period 1979 and
1980. The Table indicates that Malaria, prevalent all year
round, is not only top on the list but also showed an increase
of about twenty-three percent in one year.

Number of deaths due to malaria by various age groups in

107

108

Table C1

Demographic and Related Data.

 

Senegal Sinezgaleum
Population (1982 est) 6,000,000 1,200,000
Land Area (Km ) 197,000 23,620
Population Density
(persons/km) 30.5 51
Crude Birth rate 48/1000 ?
Crude Birth rate 23/1000 ?
Annual population
growth rate ' 2.8% 4.0%
Infant mortality
rate (1979) 118/1000 118/1000
Mortality rate
under 5 years 275/1000 286/1000
Life expectancy
at birth 44 ?
Fertility rate (1980) 7.1 ?
Adult literacy rate 27.8% ?
Access to safe water 37.0% ?

 

Source: Abby Bloom, (1984): Table 1.

109

Table C2
Principal Communicable Diseases Sine-Saloum,

1979 and 1980

 

 

1212 12§Q

Malaria 103,193 126,957
Gonococchal 5,910 4,061
Streptococchal Infections 4,946 12,638
Whooping Cough 4,321 - 4,028
Measeles 3,935 1,995
Schistosoomiasis 2,266 1,995
Chicken Pox 1,720 3,655
Flu 1,570 3,019
Mumps 1,482 1,705
Amoebiasis - 2,978
Source: Abby Bloom (1984): Table 3.

110
Sine Saloum is given in Table C3. It shows that malaria is
widespread among all age categories, although fatality arising
from it is relatively high, among children aged one to four
years.

The above are consequences reflecting combinations of
factors including environmental conditions, lack of access to
health services and poor nutritional intake both by adults
and children Bloom (1984) notes:

The overall nutritional status of
Senegalese mothers and children is poor:
low birth weight is a problem affecting
10 percent of all infants; one-quarter of
pre-school children weigh less than 80
percent of the standard weight for age;
anemia is common among both women and
children; and a substantial portion of
children aged 1-6 years receive less than
75 percent of their daily caloric
requirements.(p.3)

It can therefore, be discerned that children are
especially vulnerable to various types of disease.

Availability of medical personnel and facilities for the
region in comparison with Senegal as a whole is given in Table

C4. The data shows that they are limited particularly

considering the relatively sizeable population of Sine-Saloum.

Table C3

Sine-Saloum Total Reported Deaths:

111

Malaria Cases and

Deaths by Age group, Reported by Health Facilities -

 

 

1979.

Age Malaria Malaria % of total Total

group cases deaths deaths due deaths
to Malaria

Under 1 12,764 11 1.7 635

1-4 23,508 42 24.9 169

5-14 27,481 33 17.8 185

15+ 39,440 36 18.0 450

 

Source: Abby Bloom (1984):

Table 4.

Table C4

112

Distribution of Medical Facilities and Personnel:

Sine-Saloum and the Nation Trend.

 

 

fienege; gige-Saioum
Hospitals 12 1 (8%)
Hospital beds 35,323 268 (8%)
Health Centers
(Dep't. Hospitals) 35 9 (26%)
Health Center Beds 787 103 (13%)
Material and child
health centers 65 10 (15%)
Physicians 295 18 (6%)
Nurses 2,482 293 (12%)
Mid wives 381 25 (7%)
Population per physician 18,670 60,367
Population per Nurse
child bearing age 2,219 3,708
Females per mid wife 3,447 10,392
Source: Abby Bloom (1984): Table 2.

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