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Leadership for change in Farmers Organizations:

Training report, Ridar Hotel, Kampala, 29th March to 2nd April, 2005

Edited by Millie Biruma Abaru, Charles Kabuga and Rachael Masake

Leadership for change in Farmers Organizations:

Training report, Ridar Hotel, Kampala, 29th March to 2nd April, 2005

Edited by Millie Biruma Abaru, Charles Kabuga and Rachael Masake

“Success of Farmers Organizations requires a strong, effective leadership that is responsive

to change while upholding the ideals and vision of its members”

Millie Abaru

LIMITED CIRCULATION

Titles in the Working Paper Series aim to disseminate interim results on agroforestry research and practices and stimulate feedback from the scientific community. Other publication series from the World Agroforestry Centre include: Agroforestry Perspectives, Technical Manuals and Occasional Papers. Correct citation: Abaru MB, Kabuga C and Masake R, eds. 2005. Leadership for change in Farmers Organizations. Training report: Ridar Hotel, Kampala, 29th March to 2nd April, 2005. ICRAF Working Paper – no 4. Nairobi: World Agroforestry Centre. Published by the World Agroforestry Centre Eastern and Central Africa Regional Programme United Nations Avenue PO Box 30677, GPO 00100 Nairobi, Kenya Tel: +254(0)20 7224000, via USA +1 650 833 6645 Fax: +254(0)20 7224001, via USA +1 650 833 6646 Email: icraf@cgiar.org Internet: www.worldagroforestry.org` © World Agroforestry Centre 2005 Working Paper no. 4 Photos: ICRAF staff The views expressed in this publication are those of the author(s) and not necessarily those of the World

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Editors

Millie Biruma Abaru: Development specialist, collective Action and Markets. RELMA/ICRAF, Nairobi World Agroforestry Centre (ICRAF) P.O. Box 30677 00100 Nairobi, Kenya Tel: +254 20 722 4000 or 722 4415 (Dir) Fax: +254 20 722 4001 m.abaru@cgiarf.org Charles Kabuga: Development Consultant P.O Box 29779 Kampala Tel: +256 077 438832 ckabuga@africaonline.co.ug Rachael Masake: Development Consultant : P.O Box 51179-00200 Nairobi, Kenya Tel: +254 20 2731273 or +254 722 386595 masakera@nbnet.co.ke

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Abstract With globalization and liberalization of economies farmers organizations from the developing world face the challenges of participating in a highly competitive marketplace. In the present economies, the new policies have reduced or removed heavy state interventions and left it to a free market. The policy shift requires that farmers take charge of some of the roles played by the governments. To be in charge and reap benefits from globalization, farmers need to cultivate leadership skills to enable them cope with and manage change.

Managing and leading change requires developing skills such as strategic thinking and visioning, goal and priority setting, planning as well as team building that resolve conflict while assessing group dynamics in farmers’ organization. This training is built on the experiences of the Swedish Cooperative Centre in collaboration with the Uganda Cooperative Alliance; it is designed for leaders and trainers of farmers organizations to get access to such needed tools to enhance leadership skills that will produce effective leaders to lead and manage change.

Key Words Farmers Organization, visioning, strategic thinking, leadership, change, Refon, India, Cooperatives, Eastern Africa, Farmers Federation.

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Contents Introduction ...........................................................................................................................................8

Opening remarks ................................................................................................................................8 Participant expectations, fears and concerns.....................................................................................8 Workshop objectives...........................................................................................................................8

Strategic thinking................................................................................................................................11

Operational versus strategic thinking ...............................................................................................11 Strategic thinking styles ....................................................................................................................11 Blocks to strategic thinking ...............................................................................................................13 Strategic thinking tools......................................................................................................................13

Change and its implications ..............................................................................................................21

Make appropriate changes at the right time .....................................................................................21 Effecting successful change .............................................................................................................22 Phases to achieve successful change..............................................................................................23 Implications of change for farmers’ organizations ............................................................................23 The context of eastern Africa farmers and FOs................................................................................24 References........................................................................................................................................26

Strategic planning...............................................................................................................................27

Visioning ...........................................................................................................................................27 Mission..............................................................................................................................................30 Core values.......................................................................................................................................30 Developing an action plan ................................................................................................................30 Environment scanning ......................................................................................................................30 SWOT analysis .................................................................................................................................32 Strategic direction .............................................................................................................................33 Reference .........................................................................................................................................33

Agroforestry in agriculture.................................................................................................................34

An overview of agroforestry technologies in Uganda .......................................................................34 What is agroforestry?........................................................................................................................35 The products and services................................................................................................................36 The main agroforestry systems ........................................................................................................36 Trees in the cropland ........................................................................................................................39 Trees with high-value products.........................................................................................................42 Conclusions ......................................................................................................................................45 Observations.....................................................................................................................................45

Conflict resolution ..............................................................................................................................46

Conflict and performance in farmers’ organizations .........................................................................46 Conflict and conflict management in FOs.........................................................................................48 Conflict facilitator ..............................................................................................................................50 Networking and group performance .................................................................................................50 Group discussion ..............................................................................................................................50 Managing group conflict–participants’ experience............................................................................53

Governance and the role of FOs in public policy formulation .......................................................54

Farmers’ organizations as ‘legal persons’ ........................................................................................54 The directors of FOs .........................................................................................................................54 Consequences for lack of member control .......................................................................................54 Instituting checks and balances........................................................................................................55 Corporate governance ......................................................................................................................55 The role of the board of directors......................................................................................................55 Lessons learned ...............................................................................................................................56

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Farmers’ organizations in public policy formulation..........................................................................56 Public policy ......................................................................................................................................57 UNFFE and its role in public policy formulation................................................................................57 Ways of influencing public policy......................................................................................................58 References........................................................................................................................................59

Financing farmers’ organizations .....................................................................................................60

Strengthening the most reliable sources ..........................................................................................60 Donor funds ......................................................................................................................................61 Lessons from co-operatives..............................................................................................................61 Need for training in leadership..........................................................................................................61

Organized farmers making a difference: Lessons from India ........................................................62

Background.......................................................................................................................................62 An overview of the cooperatives.......................................................................................................62 The lessons.......................................................................................................................................63

Issues arising from the training workshop ......................................................................................67

Kenya................................................................................................................................................67 Tanzania ...........................................................................................................................................67 Uganda .............................................................................................................................................68

Closing session...................................................................................................................................69

Comments by Hon. Chebet ..............................................................................................................69 Closing Speech by Dr JJ Otim..........................................................................................................69

Appendixes..........................................................................................................................................70

Appendix 1: Workshop expectations ................................................................................................70 Appendix 2: Needs assessment inventory .......................................................................................72 Appendix 3: The phenomenon of change and its implications for farmers organizations................73 Appendix 4: Resource efficiency and corporate responsibility .........................................................76 Appendix 5: Managing Change ........................................................................................................83 Appendix 6: Ten tools for managing change in national agricultural research organizations ..........86 Appendix 7: Change management 101, A primer ..........................................................................122 Appendix 8: National initiative Managing change in agriculture .....................................................132 Appendix 9: What is visioning?.......................................................................................................137 Appendix 10: A Comprehensive structure of corporate governance in Post-Enron Corporate America...................................................................................................140 Appendix 11: Frame work for analyzing board activities ................................................................145 Appendix 12: Insights into board level activities .............................................................................145 Appendix 13: Management skills ....................................................................................................145 Appendix 14: The Agricultural Council of Uganda (ACU) perspectives .........................................146 Appendix 15: List of participants.....................................................................................................151

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Acronyms

ACU Agricultural Council of Uganda AGOA African Growth Opportunity Act CDO Cotton Development Organization DFID Department for International Development EAC East African Community EAFF Eastern Africa Farmers Federation EAFU East African Farmers Union FADECO Family Alliance for Development Cooperation FO Farmer organization GMO Genetically modified organisms ICT Information and Communication Technology ICRAF International Centre for Research in Agro forestry IGAD Inter-Government Authority on Development ISNAR International Service for National Agricultural Research JITCO Jinja International Textile Corporation KCFC Kenyanda Cotton Farmers Co-operatives KENFAP Kenya National Federation of Agricultural Producers MVIWATA Mtandao wa Vikundi Vya Wakulima Tanzania NAADS National Agriculture Advisory Services NARO National Agriculture Research Organization NARS National Agricultural Research Stations PMA Plan for Modernization of Agriculture REFON Regional Farmers’ Organization Network SADC Southern Africa Development Community Sida Swedish International Development Agency SWOT Strengths, Weaknesses, Opportunities and Threats UNADA Uganda National Dairy Authority UNAFFE Uganda National Farmers Federation WFP World Food Programme

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Introduction Opening remarks

By Millie Abaru

Ladies and gentlemen: on behalf of the Project Manager, RELMA in ICRAF, you are all welcome to Uganda and more specifically, to this important and timely training. We note from the global events that change is not only possible but inevitable. It is, therefore, important that farmers strategize on how to cope and benefit from the changes. Some of the necessary conditions for this to happen might be for FO to determine their future by proper visioning or re-visioning. In addition, you as leaders of FO might have to review the way your organizations are structured and continuously identify profitable activities that benefit members. By so doing, you will maintain a committed and active membership.

We hope that the tools you will learn will help you to become strong, effective leaders that are responsive to change while at the same time upholding the ideals and expectations of your members

Before we start, we will use this chance to introduce ourselves. We will use participatory methods where each participant will introduce themselves to three others using memorable adjectives so that others can always remember her/him. These will be followed by the official introductions of individual participants stating organizations of origin and positions held in them.

Participant expectations, fears and concerns To ensure the workshop meets expectations, participants’ were asked to write their expectations, fears and concerns so that facilitators address them adequately (Appendix 1).

In addition, to get an idea about what particular topics participants wanted to learn and how deeply those topics should be covered, an inventory of participants’ entry behaviour/needs into the training was taken using an instrument in (Appendix 2). The same instrument was used at the end of the workshop for participants to indicate their level of satisfaction with the way each topic had been treated.

Workshop objectives By Charles Kabuga

Why is the training workshop important? With globalization and liberalization of economies, farmers and farmers’ organizations in eastern Africa find themselves operating in radically changed circumstances. As individuals, farmers cannot survive the onslaught of multinational companies in a laissez-faire environment. Their survival must be through the formation of strong FO to champion their cause. The need for such strong FO has never been greater. Without them, farmers will be without an institution that they can use to assert their interests and to organize access to other productive resources such as water, land, market infrastructure etc.

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In order to mitigate the impending possibility of farmers being easily turned into employees of multinational companies, producing and delivering under terms and conditions set by those multinationals, capacities of FO should be built to enable them protect the interests of their members. The key to strengthening FOs is to understand the dynamics of change and how to manage it. Thus allow FOs to appreciate the need to be bound together by shared missions based on clear-cut visions of their future.

What are the basic capacity building needs? Besides crafting shared visions, capacity building efforts in FOs must, as a minimum, include vision-based strategic planning, examination of governance and governance structures that deliver, exploration of ways of increased stakeholder financial support to their organizations, resolving conflicts, developing and supporting training programmes whose return on the investment is verifiable.

Who should benefit from the capacity building effort? Presently, many FOs in the eastern Africa have varying capacities in championing the cause of farmers. Programmes to help build these capacities in light of the new challenges need to be undertaken urgently. It is with this in mind that RELMA in ICRAF, a Sida funded project is organizing training programmes to address these concerns. The first of its kind is a five-day training of trainers seminar/workshop in which selected farm leaders and managers of FOs in the Eastern Africa will discuss key capacity concerns with a view of strategically re-positioning their FOs so that they can face the future with confidence.

The training objectives At the end of the seminar/workshop, the participants will be able to: Demonstrate the use of strategic thinking tools/styles in carrying out SWOT analyses of their

organizations. List and explain key drivers of change in agriculture (the science or practice of cultivating the soil

and raring animals) and how the changes they occasioned have impacted their FO and suggest alternative scenarios of future prospects.

Appraise the strategic plans of own FO, if any, using the knowledge and skills from the session on ‘vision – based strategic planning process’ or develop a pro-forma for ‘a vision-based strategic planning process for their organization.

Undertake and explain the SWOT that exist in the governance and governance structure of their FOs and suggest improvements.

Assess the strength and weakness of mobilizing financial and other resources for their FOs and suggest ways of eliminating the weakness.

List and explain the key steps that must be followed in developing a training programme for FOs whose returns on the investment can be verified.

Develop and discuss an action plan showing how their FOs will be situated in the public policy formulation process and the knowledge and skills they will bring into the process.

Raise key issues in FOs that need attention and suggest ways to address them. Address ways FOs should reduce conflicts within their organizations

Facilitators The facilitators were Mr. Charles Kabuga (consultant), Dr. Millie Biruma Abaru (RELMA in ICRAF), Mr. Chebet Maikut (UNAFFE/EAFFF) and Dr. Kagorora (ICRAF, Uganda)

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Methodology The training used Acton-Reflection-Learning (experiential learning) methodology. The training was highly interactive and participatory with emphasis on lectures, group discussions and presentations to the plenary.

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Strategic thinking By Charles Kabuga

Strategic thinking is an art and depends on information gathering, analysis and generation of ideas based on knowledge. This trend of thinking is different from the analytical process (convergent thinking) imparted by current education system which may not teach the student how to engage in critical thinking.

“Critical/analytical thinking”, popularized by Plato, Aristotle and Socrates, is taught in a few schools. This type of thinking is concerned with analysis, judgment and argument. It places a high priority on creating certainties. This kind of convergent thinking tends to censor ideas at an early stage. Many of the present day problems have tended to persist because traditional education has mistakenly believed that “critical thinking” is enough.

Strategic thinking can also be looked at as a form of pro-activeness which examines anticipatively the future and enhances well-thought out decisions. Furthermore, strategic thinking focuses on clarifying the intended goal of any business facilitating appropriate deployment of resources.

Operational versus strategic thinking Operational and strategic thinking are complementary except for the fact that operational type of thinking focuses more on short-term while strategic takes a long term view. The participants discussed the differences between the two concepts citing examples. For example, it was agreed that using land to generate money to pay school fees was on the strategic thinking side more than selling the land. Examples to illustrate each of the concepts below were drawn from participants.

Strategic thinking Operational thinking Longer-term Short-term Conceptual Concrete Reflective/Learning Action/doing Breaking new ground Routine/ongoing

Much as selling the land solves an immediate problem that confronts us, it was agreed that we, as individuals and organizations, should never be prisoners of ‘short-terms’. It was considered important to keep an eye on identifying and capitalizing on key opportunities in order to get firmly committed to ‘pro-active futuring’.

Strategic thinking styles Strategic thinking is usually classified into divergent thinking, intelligent naivety, being able to break out of ‘binary thinking’ i.e. right or wrong or good or bad and use a synthesizing process using ‘both’, ‘and’, and the helicopter view1.

1 Bob Barratt (1995). Helicopters and rotting fish: developing strategic thinking and new roles for direction-givers. In Developing Strategic Thought: Rediscovering the art of direction – giving. Edited by Bob Garratt. McGrow-Hill Book Company, pp. 243-256.

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Divergent thinking This enjoys and uses the different possibilities of a given idea or problem. It synthesizes differences into new and a richer whole. For example, while a convergent thinker may come up with fewer uses to which an object like a ‘walking stick’ or ‘a plate’ can be put, a divergent thinker will come up with many more uses. Divergent thinkers do not censor their ideas too early. They gather as many divergent ideas as possible. Only later do they stop diverging to apply criteria which allow them to begin to converge to a solution. The diverse ideas help them to achieve higher-quality thinking and solutions than convergent thinkers.

Intelligent naivety The confidence to ask and continue asking seemingly naïve, but profound questions individually or collectively to gradually reveal a lot about a subject which little was known. For example, at an annual general meeting of an FO, the management reported that a company car was involved in an accident and cost a lot in repairs. In an attempt to get more information regarding the accident, one stakeholder asked the following, seemingly naïve questions that revealed a lot about the accident even when answers given after every question seemed satisfactory and conclusive.

Question: Why are we spending so much money on repairing a vehicle that was bought recently? Answer: It was involved in an accident. Question: Was the vehicle insured? Answer: Yes, it was. Question: Why wouldn’t the Insurance pick the bill? Answer: They raised a few trivial technicalities that would delay the repairs and we needed the vehicle urgently. Question: What kind of technicalities? Answer: They raised the issue of the driver’s permit that had just expired. Question: What action was taken on the driver? Answer: He was cautioned. Question: How come that the police report says that the driver was a ‘she’? Answer: The driver had given a lift to a lady and probably that caused the mix up. Question: Can we interview the driver? Answer: Yes. The driver is brought in Question: Were you the one driving at the time of the accident? Answer: I had a headache and the lady I was with assisted me. Question: Did you know her? Answer: Yes, she is the wife of the boss? Question: Did she have a valid driving permit? Answer: We discovered at the police station that she had a provisional learner’s permit.

Breaking out of binary thinking Most people have been conditioned to think this way i.e. right or wrong; good or bad, ‘tall or short’. Breaking out of this ‘binary thinking’ calls for a style that uses ‘both’ ‘and’ to combine what would look like contradictions. For example, with binary thinking, I am either right or you are. However, sometimes we are both right. De Bono’s Plus Minus Interesting (PMI) thinking stool illustrates this.

Helicopter view This type operates at an altitude above the immediate problems in order to view the problems from many heights and angles.

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A strategic thinker should be able to analyse a situation accurately. For instance if a doctor gives a person 3 tablets to take one after every half an hour, How long will it last? For an analytical mind it should last 1 hour while most people would multiply 3 tablets by half an hour to get 1.5 hours.

The purpose of strategic thinking is for planning for the future using strategic objectives. This helps in identifying what to change, believe, acquire. For instance if a profession or activity is not generating profit, there is need to change to what is profitable. The failure to effect the change could be responsible for poverty experienced by the retired workers of Uganda. To date the retirees have been shown to be the poorest in Uganda probably due to inability to make use of what was available in their new circumstances.

When a strategic thinker spends money, they have a plan in place on how to replenish it. Thus a strategic thinker critically examines the future and uses critically thought through plans as a basis for allocating scarce resources. Hence thinking must be multi-directional and essential in refining understanding.

Strategic thinking is a must for every leader. The leaders must create and make the future to happen and avoid fatalistic passive approach. For the heart will never believe what the eyes have not seen. Hence the leaders must be the eyes of the members. Leaders can either be born or trained/created. De Bono compares human brain with a horse power. Thus it is necessary to add to the skills to be able to manage as a leader.

Blocks to strategic thinking Strategic thinking can be blocked by: Bad habits, values and attitudes. Intelligence trap: Using ones intelligence to defend a point of view so well that other alternative

points are not explored. Ego (making use of vocal, articulate arguments which destroy other people’s argument).

Clash system–basically inbuilt system of thinking obsessed with two points of view (right or wrong) fighting it out.

Laziness–where you depend on others to think for you because you are pretending to be too busy to put time into strategic thinking.

Strategic thinking tools It was pointed out that God gave us five senses (hearing, seeing, feeling, smelling, tasting) and probably insight as the sixth sense in order to manage the environment. He also gave us what Rudyard Kipling regarded as the six honest men (why, who, when, what, which, how) that taught him everything he knew. Properly used, the six honest men constitute a major thinking tool. This tool was elaborated with examples from the participants.

Other thinking tools from de Bono’s were discussed, illustrated and applied. These were; the PMI (Plus, Minus, Interesting), CAF (Consider All Factors) APC (Alternatives, Possibilities and Choices) and the de Bono’s2 six thinking hats.

2 Edward de Bono. (1999), Six Thinking Hats. MICA Management Resources, Inc.

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The PMI (Plus Minus Interesting) PMI application: Exercise1

Exercise 1 is based on a report from the news paper that was visioning ‘What if all vehicles in Uganda were painted yellow” Participants were requested to do a PMI analysis on this vision.

Table 1: PMI analysis results (1)

Plus–Good things Minus–Bad things Interesting

-All vehicles will look smart and clean

-It will create uniformity

-Yellow paint will be marketable

-Ugandan vehicles will be identified on sight if mixed with others

-Our sight will not be disturbed by different colours

-Save foreign currency for different paints

-Denial of colour choice for car owners Lack of competition in colour paint

-Too much demand for yellow paint creating scarcity

-Price for yellow paint might rise

-Difficult to identify different cars when stolen – hence increased theft and crime

-Boring colour

-Restriction in car chases

-Ladies/gentlemen will be forced to know the numbers of their spouse’s cars.

-Different shades of yellow will appear

-How was the yellow colour arrived at

-What is the significance of the yellow colour

PMI application: Exercise 2 Exercise was based on the story reported by the The Monitor Newspaper (Uganda) that is reproduced in Box 1. Participants were requested to apply the PMI and give advice to the president on the way forward. Results of the analysis are given in Table 2 including other issues of the story that the participants deemed to be important.

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Box 1: Cotton farmers petition Museveni over stores

By David Livingstone Ssempijja, The Monitor, 20th March, 2005.

Iganga

Bugweri farmers’ group has asked President Yoweri Museveni to intervene in matters of their 450 metric tones of cotton locked in stores by the Cotton Development Organization (CDO) since December 2004. “We request President Museveni to save us from incurring losses. We want to sell off our cotton but we are blocked by CDO”, Mr. Shaban Tigabugwa, the chairman of the group told a press conference recently in Iganga. Tigabugwa said that on December 24, 2004, CDO commandeered the police who locked four cotton stores located in Namalemba, Buyanga, Makuutu and Ibulanku sub-counties in Bugweri County. On January 16, 2005, two other stores in Buyanga sub-county were also closed and are now guarded by police. The stores, said Tigabugwa, were closed after a disagreement over a contract signed between the farmers and Jinda International Textile Corporation Limited (JITCO) a Chinese firm.

In 2004, the farmers signed an agreement for contract farming with JITCO. According to the contract, JITCO extended over Shs. 300 million to farmers for land clearance and other costs. In return the farmers would supply the firm with all the cotton harvested. “In signing, we agreed to sell our cotton to JITCO since it gave us money for use. CDO tried to compel us to sell to the zonal ginners but we objected because we had to pay back JITCO. This caused disappointment to CDO and took a decision of closing our stores, “Tigabugwa said. The farmers now threatened to take a legal action against CDO if the stores are not opened within the next two months. JITCO is currently re-installing ginning and spinning machines at Lira Spinning Mills to enable it resume operations by July 2005.

Bugweri Farmers Group has 2,931 members. Tigabugwa said that before JITCO went to Bugweri, farmers were harvesting less than 200 metric tones, compared to over 1,000 metric tones they got last season after the JITCO’s financial boost. He wondered why CDO had not intervened before the contract was signed. In a letter to the farmers’ group dated February 28, 2005, the CDO Field Officer South Eastern Region, Mr. Fred Lugojja, told the affected group to immediately sell cotton to zonal ginners or risk losses of the stock in the stores. Tigabugwa rejected. Lugojja’s directive saying that would breach their contract with JITCO.

However, the CDO Executive Director, Ms. Jolly Sabune, told the Monitor that her body does not recognize the existence of the Bugweri cotton farmers group because they are not registered with CDO, adding that even JITCO itself is not registered and is currently operating illegally. The Cotton Act requires farmers to sell to only registered ginners but JITCO is not registered and in fact that company does not do ginning business.” It is a spinning company, we only know seven companies registered with us,” she said. She said CDO had earlier asked Bugweri farmers to refrain from transacting business with JITCO but in vein.

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Table 2: The PMI analysis results (2)

Positive Minus (Negative) Interesting

i) Cotton Development Authority

CDO is a keen, watchful regulator of the cotton industry as established by law.

-The CDO responded quickly to the prevailing circumstances.

-The CDO was acting within his mandate

-The regulatory function ensures stability of the cotton industry for all players

-The organization co-ordinates the industry to enable it function coherently

-The CDO, by virtue of being at the centre of industry information flow, is an advisor to the government and stakeholders on policy.

-It is able to mobilize funds to run the industry

-The CDO is a channel for input support

-The CDO offers training

-The organization is well placed to take a long term view of the entire industry.

The CDO did not create awareness among farmers on the role of CDO, rules and regulation of the industry and the place of the zonal buyer in the cotton chain industry.

Insensitive, in that it is impounding the farmers produce without regard to welfare.

They have acted inflexible in holding the produce for over four months. T

heir action is interfering with the farmer’s cotton business, destabilizing the county’s economy and demoralizing and impacting heavily on innocent, small-scale farmers

Their action was arbitrary in that there appears to have been no consultation.

They are aloof in that they do not appear to have engaged either of the parties after impounding.

Dogmatic–they appear to insist that regulations be followed even where the situation on the ground would indicate new challenges and opportunities.

The CDO is solving a problem by creating another. Hence no one gains by the detention of the crop – this obstinacy.

The end result is lack of trust for the CDO by the group of farmers

CDO interfered with the Bugweri Farmer’s Group (BFG) at marketing stage by refusing them to sell their cotton to JITCO and yet there is no record of CDO’s involvement at production level.

-The CDO does not recognize the existence of the BFG because it claims that it is not registered with CDO creating the impression it was not pro-cotton farmers.

-Why did CDO lock the store?

-Who keeps the record of what is in store.

-Who is responsible for the security of the store?

-Given the current liberalized policies, we found it interesting for the CDO to advise the BFG not to transact business with JITCO, a company registered to undertake spinning yet denying them raw material.

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ii) Jinja International Textile Corporation Limited (JITCO)

JITCO is an investor in cotton spinning

They are liquid – hence have entered into ambitious investment.

They are dynamic – as yet unconstrained by obligations or bad habits

They are innovative, have identified a need and are fulfilling it by funding cotton production. Thus facilitating increased cotton output of local farmers.

Entered contractual agreement with a small group of farmers to the tune of 300m Uganda Shilling,

Untested – it is a new player in the country with no track record.

Unorthodox – they are venturing into an area which they are not licensed in disregard of the law

Not registering with CDO as ginners – they are unwilling to record themselves and avail the credentials for scrutiny

Predatory – they have come to exploit an opportunity without being willing to commit themselves transparently, to cotton production

It is not clear how they will gin since they are in competition with ginners

It is not sustainable for a spinner to buy seed cotton since an important processing stage (ginning) is missing.

Offers the farmers funds for production of seed cotton. JITCO was registered as a spinner but why did they pay the farmers to produce cotton?

Willing to risk where others are afraid

Willing to get outside the box by trying to do two activities i.e. ginning and spinning and yet it is registered for spinning

But who are they and what is their background.

Going into cotton buying without registering with CDO.

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iii) Bugweri Farmers’ Group (BFG)

They have united farmers into a farmer’s group.

Joint action through farmer’s group,

They are involved in income generating activities which is cotton – so they were

They have motivated farmers to grow cotton

Entered strategic contractual agreement with JITCO

They increased cotton production from 200 to 1000 metric tons and productivity

They are advocating the cause of the farmer

They offer a channel for accessing input support for farmers

They had contractual obligation which helped them to open up land and get agricultural inputs – i.e. forward contract involving legal obligation

If they had sold as per the agreement they would have gotten more that means addressing the Government Poverty Alleviation programme.

The group exercised confidence and courage to appeal to the president.

As a farmers’ organization, they did not register with any National Umbrella Organization not the National Cotton authority, CDO. Who were they and how were they accountable to farmers?

They were not informed of procedures of Forward Contract; therefore they entered into a contract with a company which they did not know much about e.g. their legal status with CDO.

Unorthodox–they are not willing to follow the advice of the regulator - Refraining from CDO’s advice.

Inexperienced– they have entered into a contractual agreement with JITCO without informing themselves of prevailing challenges

They used a wrong method of solving the problem by bypassing lower levels of authority and opting to go straight to the President. The farmers politicized the issue. They are seeking a political solution to a non-political problem and are likely to create more problems – why do they think they will receive a favourable political decision?

Inexperienced Negotiators – They ought to concentrate on getting paid – by whoever – to pay their farmers and JITCO rather than politicizing the issue. They should get the CDO to pay for the cotton if they do not want to release it.

If the farmers don’t sell the cotton to JITCO, they will remain heavily indebted to JITCO.

If the farmers sell their cotton to the zonal buyer, then they will not have control on the price – because JITCO price was agreed upon.

If they do not sell to either party, they are going to incur double losses.

BFG entered into a UgShs.300M contract farming agreement without legal advice from proper organs.

Formed in response to farmers’ need.

Not afraid to engage the market

Farmers empowering themselves.

There is no information regarding what type of disagreement was there between BFG and JITCO.

Who owns the cotton stores used by BFG?

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Other issues Some of the policy issues that the dispute raised are: Policy problem: who is allowed to buy seed cotton or to whom should seed cotton be sold? The perception of liberalization is that there is no regulation of the cotton industry - is this so? When an investor comes into the country to whom is he accountable or can he do as he likes

simply because he is an investor? Farmers entered into a contract with a person whom the regulator says they are not authorized to

do so. If so; are the present marketing arrangements adequate? Is JITCO being criminal or innovative?

CDO is allowed to impound cotton from errant entities, but what happens when farmers, who are not at fault, have not been paid?

What is the interface between CDO, the regulator and farmers, the sine qua non? What are the channels if any for dialogue between CDO and its stakeholders?

Advice to the President: The farmers should be paid for their cotton, immediately. So JITCO should be allowed to pay the

farmers as per arrangement so that farmers don’t get demoralized JITCO has attempted to circumvent existing regulation and policy. JITCO’s act may provide

relief temporarily to this group of farmers but may create longer term instability by interfering with zoning policy which guarantees stable prices and value chain wide coherence and coordination–so JITCO and other investors should be educated on the regulations/policies.

Farmer groups who intend to serve farmers well must do so transparently through recognizable structures and by following the law. These farmers must be told so.

CDO must re-engage its stakeholders and seek participatory solutions to emerging challenges and opportunity. They must be told so.

To instruct lower organs of the state to investigate and review policy on cotton sector, contract farming and farmer organizations.

Finally, the participants suggested that the umbrella farmers’ organizations should be the ones representing BFG. This indicates the urgent need for strong organised FOs to have proper leadership and proper linkages between umbrella bodies and the government.

CAF (Consider All Factors) This requires leaders to explore all factors related to an action, decision, plan, judgment or conclusion. You can then assess all the angles before making a final decision. It will be a good aide to making optimal decisions/solutions.

APC (Alternatives, Possibilities and Choices) Leaders must weigh as they explore different alternatives, approaches or solutions. This tool will assist leaders to avoid making hurriedly done and often costly decisions.

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Thinking hats According to De Bono3, people can be divided into 6 characteristics (thinking hats) based on their thinking pattern. These are: white, red, yellow, black, green and blue: White hat-a person who is neutral and objective; provides facts and figures. Red hat-a person who intuitive and reflects how people feel, surfaces emotional responses to

things. Yellow hat-a person who is positive and constructive; sees the benefits in ideas. Black hat-a person who is cautious, gives warning signs on weaknesses, risks and gives a critical

assessment. Green hat-a person who is creative; provides alternatives and new angles to issues. Blue hat-a person who acts as the ‘chair’; controls the flow, ensures that all hats are used.

All these characteristics are found amongst the farming communities and are represented at the leadership structure. It is important to engage all these types of persons in strategic thinking and will result in an inclusive thinking approach that utilizes the endowment of different members of the FO. By so doing, tensions and conflicts are reduced in FOs.

3 Edward de Bono. (1999). Six Thinking Hats. MICA Management Resources, Inc.

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Change and its implications

By Charles Kabuga and Chebet Maikut

Change is the only constant factor in individual and corporate life. This makes it mandatory to embrace change and prepare for it. According to Envirowise “Managing change is a very important factor in the success of every business”. This is particularly important for farmers and their organizations. Several changes have already taken place affecting production and marketing of farm products. Hence farmers must be in the forefront of any changes occurring.

Change is unstoppable. Indeed some of the ministerial portfolios that Rolf Jensen, (1999) foresaw for the dream society e.g. Minister of Integrity and Ethics and that of Disaster Preparedness are already with us in Uganda and in other countries. Other portfolios foreseen include: Minister of Progress Chief Imagination Officer Intangible Asset Appraiser Director of Intellectual Capital Director of Mind and Mood

The changes occurring demand an understanding and updating by farmers’ organizations of the emerging issues in the farming fraternity.

Over the years farmers’ organizations in East Africa have tended to tolerate and accommodate constraints to the way they carry out business. This has, in many cases, been detrimental to the survival of their organizations. It is, therefore, important to know when to effect change otherwise FOs will perish if they do not make changes at the right time as illustrated by the story of frogs below.

Make appropriate changes at the right time “It is not the strongest species that survive, nor the most intelligent, but the ones who are most responsive to change.” (Charles Darwin)

Example: Frogs are very adaptable creatures. They can live on the land and in the water. Frogs can adapt to hot arid climates, cold arid climates, and cold humid climates. From a biological perspective, the frog has survived the ages because of its remarkable adaptability to the environment. But before we say hooray for adaptability, let’s take a look at an aspect that surfaced during some experiments with frogs.

In the laboratory, frogs were placed in shallow pans of room-temperature water. They were free to jump out of the pans at any time. Under each pan was a Bunsen burner, which heated the water very gradually. As the temperature rose, degree by degree, the frogs adapted to the new temperature. Unfortunately, regardless of how hot the water became, the frogs never became uncomfortable enough to jump out of the pan. In fact they stayed right there until the heat was so intense that the frogs died. Now that’s adaptability!

Some of us also, are incredibly adaptable. In fact, a major reason for our success as human beings is our ability to adapt. When we find ourselves, as individuals, mildly dissatisfied with our jobs, or with

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almost any other circumstance in our lives, we proceed to adapt. For many of us, the more our environment challenges us, the harder we try to adapt to those changes.

Organizations also tend to replicate the frog’s approach to life. The tendency in most organizations is to make lots of smaller, gradual, adaptive changes in response to the changing environment. The frog’s survival requires the ability to realize at some point that the water is too hot and needs to stop adapting. The frog needs to jump out of the pan – into the unknown – and move into a new, safer environment. So, too, must individuals and organizations determine in a timely fashion when to quit adapting and to proceed with changing directions and finding environments more supportive to them.

Effecting successful change The change to be undertaken may create anxiety. To minimise this, discuss the reasons for seeking change and provide motivation. Facilitate a forum to discuss staff fears such as possible loss of jobs, improvement of terms of service, will they have to move or even shift jobs or the unit dissolved due to the need to develop new skills and attitudes to cope with the new entity. Forward thinking FOs have embraced new changes imposed by international market. Nevertheless, to effect successful change, there is need: To create pressure for change For a compelling, clear, shared vision For resources, appropriate skills and finances to effect change For a clear plan of action

To create pressure for change, there is need for all the stakeholders to recognise and visualise the benefits to be gained if change is effected. This is a must for directors and senior employs of FOs who are instrumental in driving the changes. The board members of FOs must in addition appreciate the required change for them to mobilize/allocate sufficient resources for use. Furthermore the employees must feel that the change is for the good of their FOs or else it can lead to: Poor staff morale Declining funding from donors Exit of good staff

To avoid this, create ‘change influential persons’ who are the shakers and mobilizers to work with. These must be strong managers/farmers respected by the farmers and put in place a time table for implementation of the envisaged changes. Failure to do this might send out wrong signals culminating in: Declining reputation Demands for services going down Donors setting stringent conditions. This is evidence of declining popularity

Generally the 10 main characteristics of appropriate leaders that can effect change: Able to articulate a tangible vision and strategy Empower others to do their best Act as catalyst and manager of strategic change Get results. Turn strategy into action Exhibit a strong member orientation Communicate effectively on a day to day basis A catalyst of cultural change

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Think integratively about the total business Flexible and adaptive Take risks and are initiative

Phases to achieve successful change Leaders and influential persons in the FOs should have or develop these characteristics if it intends to effect change. S. Huntington Hobbs’s4 developed a framework for management of change which has five phases and has proved to be effective in many situations. Recognizing the need for change. This requires making a list of things you need to change and

identifying the change team or stakeholders. Create pressure for change Decide what to change Create conditions for implementing change Achieving change. Participant discussed the tool using examples from their organizations.

Implications of change for farmers’ organizations Generally, farmers are concerned with self sufficiency in food for their households. If by any chance there is any food left over after meeting the family requirements, then they would think of selling it to realize some income for other necessities of life. Today, change dictates that farmers see farming as a business. Many are trying to turn to commercial farming for both domestic and export markets. This calls for new ways of conducting business e.g. farmers need to find out ways to make use of regional economic bodies for markets and to demand for proper and appropriate services (see Appendices 3-8). Socio-economic changes have necessitated the establishment of regional economic blocks such as

ECOWAS, SADC, IGAD, EAC etc. These have brought with them a number of challenges to farmers who wish to sell to these regional markets. Farmers must therefore come out with strategies of establishing business enterprises/companies, which can do more to penetrate the regional and international markets. This has far-reaching implications as to how FOs must change to cope with emerging circumstances. FOs have to stand up and lobby for better policies each time that unfavourable policies are put in place. Some of these policies are basically political and they do not consider the aspirations of the farmers. Farmers have therefore to come together to form associations /federations and to utilize any opportunity to mobilize a strong voice that can be heard and effect policy change in their favour.

Euro-gap standards and quality. FOs needs to focus on how they lobby as a regional block to be able to, not only to influence the application of these standards, but also to assist farmers to comprehend and meet these requirements. The magnitude of this issue cannot be left to individual farmers alone.

There are many policy changes taking place in the region and so farmers ought to be familiar with the changes taking place nationally and locally. The policies of liberalization and privatization of economies opened floodgates for many business people to enter into the marketing of agricultural produce such as coffee, vanilla, horticultural products, grains etc. These players brought with them cutthroat competition unknown before with both positive and negative aspects. FOs are therefore challenged to mobilize farmers into commodity groups for easy and fair marketing of their farm produce. FOs must also familiarise themselves with the existing seeds and policies regulating their use and distribution/ transportation

4 S. Huntington Hobbs. (1999). Ten Tools for Managing Change in National Research Organizations. International Service for National Agricultural Research (ISNAR).

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Environmental degradation has come about in part as a result of high demand for land to cultivate crops and for settlement. Deforestation due to increased demand for fuel wood, charcoal and timber is destroying this resource base. The environmental degradation has negatively impacted on farming significantly. Hence the need for FOs leadership to sensitize farmers to take lead in protecting the environment. The issues of soil degradation, bush fires and overgrazing are important to farmers.

Bio-technological changes are a subject of debate throughout the world. The world’s attention is currently focussed on GMOs. The debate has quickly moved away from the policy-making arena to the public who have questioned the unprecedented emphasis and investments in modern biotechnology. Critical questions arise as to why the corporate worlds who are some of the leading proponents of genetically modified products are reluctant to assume responsibility for any unforeseen risks if they are convinced about the safety of GMO products. Amidst all these uncertainties and controversial debate, the FOs must come out and contribute significantly to the debate, lest the farmers fall, as usual, victims of unforeseen risks such as adoption and use of seeds containing terminator genes. The FOs should be spearheading the identification of appropriate and relevant technologies.

Technological changes are always coming into the market. The FO leaders should familiarize themselves with it. FOs are challenged to help their members adjust and adopt the new technologies. However, these technologies are expensive and often require a lot of research. In most cases, farmers are likely to turn their FOs to devise coping strategies.

We must recognize rural-urban migration and understand its effect on farming. The relocation to cities has brought about changes in the life styles of migrants. The urban population shop primarily in supermarkets as opposed to traditional markets, especially for foodstuffs. Supermarkets require well-organized supplies on a sustainable basis. For the farmers to be able to meet the standards, they need to be well trained and organized. This change demands attractive presentation of local products to be competitive with imports often found on the supermarket shelves.

HIV/AIDS is important to the farmer. This disease requires a multidisciplinary and multilateral approach. To date the disease has led to the disintegration of the family units and creation of many orphans and widows crying out for care and attention. There are many child-headed families. The HIV/AIDS scourge therefore, impacted negatively on agricultural productivity and by extension, the FOs. Thus FOs need to assist the affected farmers to find appropriate technologies to ensure productive agriculture.

The context of eastern Africa farmers and FOs Currently farmers in East Africa have not taken lead in understanding changes in agribusiness. This is unlike France where farmers are well-organized and make the government listen to them when they speak. It is possible for the same to happen in the Eastern Africa region, so FOs are aiming at getting better organized to achieve this. In an attempt to enhance the farmers’ voice in the region, the East African Farmers Federation (EAFF) was formed. Currently the EAFF membership is drawn from Uganda, Kenya, Rwanda, Tanzania and Democratic Republic of Congo. EAFF financial base is very weak and hence it has been difficult for it to undertake activities envisaged by the members. One way out of this predicament is to reach an agreement with the respective governments to partially fund (grants) its activities as is the case in Denmark where the FOs receive public funding to assist in their operations. A strengthened EAFF will assist in Lobbying and advocacy for farmers, undertake

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capacity building of farmers and their organizations and seek ways to improve marketing of agricultural products.

To achieve this, farmers must manage change effectively. For instance Uganda plan for modernization of agriculture expects the farmers’ organizations to take a lead in demanding and sourcing extension services from the national agricultural advisory services (NAADS). This change in extension service delivery is not unique to Uganda but it is occurring /or soon will be occurring in all the member countries of EAFF. To respond to changes EAFF must ensure strong; grass roots (commodity FOs), national (Apex) FOs that will participate effectively in the national and international arena.

Exercise: Determining the strength of the FOs At the end of the lecture, the participants were requested to determine the position of their own FOs using a format taken from Nolan, Timothy et al (1993) entitled Plan or Die, Pfeffer & Company San Diego, California:

1) How hot is the water in which our organizations operate?

2) How well assured are our sources of income (revenues, grants, sales, etc) for the next five years

1 2 3 4 5 Concerned Highly (well assured concerned (No assurances) 3) What level of competition can we expect from our current customers over the next five years?

1 2 3 4 5 Not Highly Concerned Concerned (Expect little (Expect Extreme competition) competition)

4) What level of change is taking place in our industry?

1 2 3 4 5 Not Highly Concerned Concerned (Extreme stability assured) (Dramatic change likely)

5) Do we have time, personnel and financial resources to make required changes quickly and effectively enough to maintain or surpass our current levels of success?

1 2 3 4 5 Not Highly Concerned concerned (Have all resources required) (One or more resources very limited)

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References Chebet Maikut. The Phenomenon of Change and Its Implications for Farmers Organizations

(Appendix 3). Resource Efficiency and Corporate Responsibility: Managing Change. A guide on how to manage

change in an organization (Appendix 4) Craig Dobbins, Michael Boehlje, Alan Miller, Allan Gray, and Cole Ehmke. Managing Change

(Appendix 5) S. Huntington Hobbs, Ten Tools for Managing Change in National Agricultural Research

Organizations (Appendix 6) Fred Nickols. Change Management 101: A Primer, 2004. (Appendix 7) NATIONAL INITIATIVE: Managing Change In Agriculture (Appendix 8)

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Strategic planning By Charles Kabuga

Strategic planning is vital for every progressive organization. It provides an opportunity to tap the aspirations and understanding of both the membership and employees of the organization and in the process create ownership of the strategic plan. The organization should ask itself some hard questions to help in deciding who to involve in the development of a strategic plan. For example:

Who are your organizations’ stakeholders e.g. farmers, community, government. What is their main function in the organization? What does each stakeholder want from the organization? Do you have criteria by which stakeholders can evaluate the performance of your FO? Who are your customers?

The reasons for developing a strategic plan are to: delineate fundamental organizations’ aspirations determine the reality under which the key issues are tackled determine direction and purpose for the existence of the organization Define boundaries for organization behaviour

In view of this a strategic plan must be based on the vision, mission and core values of the organization. The strategic plan provides detailed programme of action and resource disbursement to achieve objectives of an organization. Hence a strategic plan is based on the future the organization wants, the gap between where it is and the goal and on the requirements for the future.

Visioning Vision: A vision is a compelling image of a desired future. A vision focuses people towards a purpose. A good vision: Gives a sense of the future Guides decision-making and strategy formulation Creates a shared purpose Provides guidelines that determine behaviour Inspires emotion Connects to values

Characteristics of a good vision A good vision should be simple, easy to grasp, conveys unmistakable meaning and able to generate enthusiasm, and commitment, and it should be compelling. To achieve this type of vision, all the stakeholders of a farmers’ organization must be involved in the crafting of it. The following questions are necessary in ensuring formulation of a vision that stays alive, vibrant and relevant to the organization’s aspirations. Does the vision really illustrate what we want to be? Is it relevant to the type of business the FO is involved in? Is it clear? Can it be communicated in a way that will convince and excite others?

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How will the vision mobilize others; are there any clues? How will the vision be translated into a series of objectives that other people will want to adopt as

their own? Can the vision statement along with the essential values it conveys be reflected in everything we

do and be a yardstick as well as a guide? Critical analysis of all the above questions should lead to a compelling vision which: Pulls one out of bed in the morning with passion and a sense of destiny. Gives one the clarity that makes all your decisions easy. Gives one unshakable confidence with everyone. Forces everyone, even adversaries to listen to what you say. Inspires everyone around to “move mountains” to accomplish ones vision.

Crafting a personal vision The following exercise was used to introduce ‘personal visioning’ Participants were asked to

draw a horizontal line from left to right representing each ones life line. Each was asked to put a mark on the lifeline indicating where the individual is currently at. On the left part of the mark, they were each to indicate landmarks e.g. achievements like education, job placements, family, house etc.

They were then asked to share their lifelines with a few friends. The following guidelines were given to make the sharing productive: Why did you draw the line as long as you did? Why did you put the check where you did? Ask other questions; focus on age, growth, achievements etc.

Generally, participants drew the line as long as they did on the basis of (i) age and (ii) the unaccomplished achievements. Younger people tended to put the mark of how far they had moved on the lifeline to the left half. Also the more the unaccomplished, the further to the left they, even the elderly, put the mark. Participants were then asked to write ten (10) statements answering the question: WHO AM I? As

a guide, they were asked to think of themselves in terms of their roles, qualities they have, their negative attributes or a mixture of these frameworks. Whatever framework, they were to find ten different answers.

The fourth step required them to rank-order the statements putting “those self-descriptions that are most essentially them” at the top and at the bottom statements that could be done away with without the person losing his/her essential qualities. Participants shared their statements with colleagues they felt most comfortable.

The facilitator took the participants through a list of ‘life positions’. Now that each knew who/she is, they were asked to work on the right side of the mark on their lifeline. They were to examine their aspirations, assets, inadequacies and expectations like; Peak experiences they would like to have; Things they would like to start doing now; Values to be realized; Things they would like to learn to do well etc. and to plot them on the right hand side of the mark on their lifeline.

Participants were then asked to seriously think about what they had put towards the end of their lifeline and to write one sentence stating: WHAT I WOULD LIKE TO BE.

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Results of what participants wanted to be: Successful farmer Self employed A pastor A visionary leader A dairy farmer An empowered person Successful businessman An exporter of honey A role model farmer A good mother The best farmer

Personal visioning exercise was discussed using the example of the participant who wants to be an exporter of honey. Using the learnt characteristics of a good vision, the plenary contributed to shaping the vision, deriving a mission, a goal and strategic objectives as shown below. The participant was advised to fine-tune it later as time was not enough.

Vision: A leading honey exporter in Uganda

Mission: Produce a hundred thousand tons of grade per year

Goal: Develop a bee farm and attract sufficient out-growers

Strategic objectives: Set up a bee farm Grow trees Build storage facilities Purchase bee-hives Hire technical expertise

Organization visions It was pointed out that the process of formulating visions for organizations is similar to that of personal visions. This was especially so that most of organizations’ visions originate from individual promoter (s) who then ‘tell’, ‘sell’, ‘test’, or ‘consult’ other stakeholders for purposes of having a shared vision. Community visions ought to be ‘co-created’ i.e. derived with the participation of community members. It was agreed that participants would use the knowledge gained to check on the appropriateness and adequacy of their organization’s vision, mission, goal and strategic objectives.

Vision-based strategic planning versus problem-based planning Vision-based strategic planning was specifically included to address the problems encountered when planning is based on problems. “Problem-based planning” that starts with the identification of problems tends to create wish lists rather than giving a holistic picture of a desired future. On the other hand, vision-based strategic planning seeks to generate ideas about a desired future state and thereafter ways and means (strategies) of attaining that future state. This was illustrated using the following diagram.

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1 2 3 4

Desired future state (What I want to be)

Current state (Where I am)

How do I get there?

Questions to answer to get to the desired What do I do? Why do I want it done? Where will it be done? Who will do it? When will it be done? How will it be done?

Mission A mission statement defines the purposthe vision. It gives broad purposes and sdoes, what business the organization is communicates effectively its mission totheir role in the fulfilment of the missioemployees (and other stakeholders) with

Core values Core values are principles that underpiprovide an ethical framework towards ce

Developing an action plan Once the vision has been created, a straplan should be as specific as possible, timelines, costs, opportunities and constr

Environment scanning An organization operates within an envicompetition. Under such circumstances(PEST) environment and trends likely toscan identifies stable and dynamic condmarkets, technological advances, incenvironment. Government wields a lot o

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Activities

state:

e, direction and future thrusts of an organization to achieve tates what the organization is and is not, what the organization engaged in and concretizes the vision. A vibrant organization the employees and ensures that all stakeholders understand

n ultimately aligning the thinking, planning and actions of the the organization’s direction.

n planning and operations of an organization. These values rtain activities and away from others.

tegic action plan to achieve it can be developed. The action including actions to be taken, assignment of responsibilities, aints, outcomes, indicators and more.

ronment that influences its profitability and offers challenging a scan of the political, economic, social and technological impact on the vision and mission of the FO is essential. The

itions. The later would encompass the impact of international reased customer focus and uncertainty of the political f power; hence it is important to understand it

If the FO handles perishable commodities, then technology is essential in terms of cold chain or even green house effects. The FO would also need to take into account availability of equipment for storage or transportation and energy (electricity) supply. Furthermore such commodities may need to be disposed promptly. Hence information flow on market outlets is necessary for effective operation. Finally political wrangling may obstruct the advancement of other players who could make positive progress.

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SWOT analysis Apart from analysis of PEST it is prudent to examine the strengths, weaknesses, opportunities and threats (SWOT) facing the FO. SWOT analysis of an FO is best done by an external person who is knowledgeable in the business of the organization. The consultant will be able to ask relevant questions to establish the capability of the organization to undertake the envisaged activity. The information gathered assists in the design of strategic plan for the organization. SWOT will inform the organization as to where its strengths are and how best to make use of it while paying attention to the threats and available opportunities. The weaknesses are equally important in helping the organization make wise decisions regarding where it should emphasise or de-emphasize in terms of their operations.

Box 3: Life elements

Peak experiences: These are or have been your ‘kicks’ – the moments in your life that are remembered as having been really great; the times when you have felt you were really living and enjoying living. These are the moments that have made you feel living is worthwhile. It is a list of events that have mattered to you in terms of making you feel you are glad you are a human being and glad that you are alive.

Things I do well: Some of these probably are very meaningful to you. There may be duplication with your first list. Some of the things you do well may be things that bore you to death. This is a hard list to compile because it competes with our cultural norm of being modest. Try to overcome this inhibition.

Things I do poorly: This list should contain things you want to do or you have to do, but not necessarily the things in which you have no interest. It should be a list of things you need to undertake as you do poorly but for some reason or another you need to do.

Things I would like to stop doing: This might or might not be things that you have to do but would like to stop doing. Someone in your team might be able to suggest some things that it would be good for you to stop doing – now, or in the future. Some of the things on this list may be things you would like to do but that you know you do poorly. Others might be that you hate to do, but for some reason feel you have to do.

Things I would like to learn to do well: This might be a list of desired skills that you would like to include in your personal and life. It might be related to a vocational (minor occupation) activity or a new skill in your present job.

Peak experiences I would like to have: These are the kinds of things you imagine you would like to have happen to you but which have not. Peak experiences are the ones which are vital in developing a compelling vision.

Values to be realized: This element is less clear than the others. Value means many things to many people. It might be being rich, having deep friendship, or being with young people. They can be tangible but most probably are not.

Things I’d like to start doing now: The objective here is to explore some of the things you may have been putting off, but which you really want to start doing. It might be growing a beard, or asking for more responsibility on your job or a number of other similar items.

The participants were asked to write ten different statements answering the question who am I? The participants were further requested to analyze themselves in accordance to circumstances stated under “Life Elements”

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Strategic direction Having a clear and compelling vision and armed with data on environmental scanning and SWOT analysis, the FO is in good shape to know its current position and decide how best to achieve its vision. The approach applied will depend on the nature of the agri-business, the purpose for which a strategic plan is required and the key or critical issues around which to organize the strategic plan.

Goals, objectives and tasks: The strategic direction spells out the strategic goals, objectives and tasks of the organization and aggregates unit business plans into an organization strategic plan. It identifies the resources required to realize the goals and objectives and sets in place a management process to drive the farmers’ organization and monitor attainment of goals and objectives. Objectives should be specific, measurable, achievable, realistic and time-bound.

In case of a farmers’ organization, the objectives are set depending on individual aspirations of the individual farmer. Thereafter this is applied to the rest of the farming community. Activities to be undertaken are then drawn from the agreed upon objectives. Subsequently, budgeting is then carried out based on the activities envisaged.

Implementation: Successful implementation of the strategic plan will greatly depend on a shared, clear and compelling vision supported by an enlightened leadership. The leadership will need to prepare a plan of action stipulating when and what resources are required at various points.

Some degree of innovativeness and persistence is required for effective implementation of the strategic plan. Additionally skills and competencies required may have to be brought in either by members volunteering, hiring staff or training the existing ones.

Evaluation: It is vital for FOs to evaluate implementation of the strategic plan. This is possible when the time bound activities are clearly stipulated and the FO management together with the membership draw up a plan for monitoring progress made in the implementation. This could be a monthly timetable for management and quarterly for membership/stakeholders.

Reference Steven C. Ames WHAT IS VISIONING? A brief introduction to the “Oregon Model” (Appendix 8) Needs Assessment Inventory (Appendix 9)

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Agroforestry in agriculture

An overview of agroforestry technologies in Uganda By Dr. J.P.Kanahe Kagorora and Jean-Marc Boffa

What can Agroforestry provide to the Ugandan farmer?

Farmers’ dilemma Agriculture

Crop production on relatively fertile land

Livestock grazing on fallow land, roadsides and valley bottom

Deficit in wood, food and fodder

Forestry

Few public plantations

Private woodlots on infertile land

Use of only Eucalyptus

Affordable only for the wealthier farmers

Poorer farmers believe they do not have enough land for trees

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What is agroforestry?

Agroforestry

Livestock production

Crop production

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Agroforestry is a dynamic, ecologically based, natural resources management system that, through the integration of trees on farms and in the agricultural landscape, diversifies and sustains production for increased social and environmental benefits for land users at all levels. Agroforestry is planting and managing trees on farms.

Two common characteristics Trees are deliberately grown with crops on same land unit There are significant interactions (ecological and/or economic) between the two components.

Eucalytus are not friendly to crops while Musisi and Gravelia do not interfere with the crops Three attributes Agroforestry helps maintain or increase productivity of land Agroforestry improves the sustainability of farming system Improved or new agroforestry technologies should conform to local farming practices so they can

be adopted by farmers

Why agroforestry? Agroforestry is important because it is: Used by about 1.2 billion people in the tropics About 1.5 billion people (24% of the world’s population) depend to a major extent on

agroforestry products and services The future of trees is on farm – Natural forests are dwindling; most of the increases in tree

population will take place on farms

Forestry

Currently, forests and woodlands cover 24% of the total land area in Uganda. About 70% of forest resources are on private land, 15% in central forest reserves and 15% in natural parks.

Coverage of agroforestry R & D in Uganda Major activities Southern highlands (Kabale, Rukungiri) Lake Victoria Crescent (Mukono, Mpigi,

Wakiso,Mubende) Limited activities South eastern (Iganga)

Eastern lowlands (Tororo, Kumi, Soroti) Eastern highlands (Mbale, Sironko) Western highlands (Bundibugyo)

What can agroforestry provide? Products Services

Fuel wood, poles, stakes, timber, mulch

Fruits

Quality fodder

Medicine

Income

Erosion control

Soil fertility

Protection from wind

Fencing and boundary marking

Shade

Ornamental Income

The products and services

Environmental resilience, enhanced diversity

High Value Products

Wood Soil management

Quality Fodder

The main agroforestry systems Agrisilvicultural systems: Crops and trees Silvopastoral systems: Animals/pasture and trees Agrisilvopastoral systems: Crops, animals/pastures and trees Other systems: Buffer-zone agroforestry, apiculture, aqua forestry

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Improved fallows

Specific trees have been identified to be used to shorten fallow period as short as 6 months or can be grown for long-term fallows, the shrubs used to: Improve soil fertility Suppress weeds Provide fuel wood

Bean yields: Crotolaria 3.3t/ha Tephrosia 2.5t/ha Sesbania 1.7t/ha Natural fallow 0.6t/ha

Maize yields: Crotolaria 3.3t/ha Tephrosia 3.3t/ha Sesbania 2t/ha Natural fallow 0.7t/ha

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Rotational woodlots on upper terraces in Kigezi highlands

Nitrogen fixing plants are good for use as fallows. Theseflowers are stripped off, left on the land and dug into the with regular plants. Rotational woodlots on the terraces foyields particularly after growing woodlots of Alnus and Cal

Kigezi terrace fertility gradient

20% of yield 80% of yield Hard subsoil Good topsoil Low infiltration good infiltration Deficient in N Deficient in K

2

0

10

20

30

40

Beans MaizeCrop

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Estimated yields for beans and maize from trial plots of 10 m x 10 m

include Crotalaria spp. Their leaves and soil. The same crops can be intercropped r a period of 2-3 years improve the crop

liandra.

5 t wood / ha in 3 years firewood for 3 families for 1 year

Alnus, Calliandra

Yield increase on upper terrace

Rotational woodlots led to much enhanced yields

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g]

Maize yield Mineral N

Trees in the cropland These can be used for: Timber, poles Fuel wood Windbreaks Boundary marking Fertility enhancement Shade

Intercropping of timber and annual crops

Boundary planting in cropland Shade trees in coffee-banana systems

There are also trees suitable for feeding dairy animals. These enhance milk yields. For example a dairy cow fed on 6kg of Calliandra per day will give 2litres/day more milk.

39

Fodder banks Increase milk yield Reduced supply of dairy meal Production of stakes Improved manure production especially cow dung from cows fed on Calliandra

Zero grazing unit Stakes for climbing beans

Fodder banks Lands that are sloppy require special attention to avoid soil erosion. To conserve the soil and erosion, a variety of trees can grow on the slopes (contour hedges).

Contour hedges Conserve soil and water (physical barrier infiltration) Produce firewood, fodder, stakes and mulch Are in high demand Seedlings are easy to raise Require community arrangements on fragmented lands

40

Contour hedgerows

41

Trees with high-value products Enhanced nutrition of family Better health Increased income

42

Apples

s s

Mpafu fruit

edicinal specieM

A miracle tree

Plenty of biomass Does not compete with crops

Fast growing

Fodder

Nitrogen fixing

Fruits

Poles

Medicine

High quality timber

Not browsed by animals

Resistant to all pests and diseases

Easy to propagate

Challenge: Manage tree competition on crops

Competition more for Alnus than for Grevillea

Exploring tree pruning as a management regime to reduce this competition

Competition: for water and light

Shoot pruningShoot pruning

Root pruningRoot pruning

Pollarding: All branches and top cutPollarding: All branches and top cut

Some of the commonly used trees do not self prune. This includes Grevellia spp

43

0

200

400

600

800

No pruning Pollarding Pollarding+Root pruning

Bea

n yi

eld

kg h

a-1

Alnus Grevillea

Effect of pruning on bean yield average bean yield up to 5 meters from tree line

Benefits of pruning to farmer: Continued crop production on land Quality timber free of knots Intermediate products e.g. Firewood Leaf litter (esp. Alnus) increases fertility

44

45

Conclusions Agroforestry can help farmers having reasonable land acreage to: Achieve food security Take the first steps out of poverty Protect and enhance the environment

Observations It was noted that the researchers have not undertaken a comprehensive study of the local tree species. Trees such as Mvuli ones take along time to grow and hence farmers are not interested in growing them. Calliandra spp are good for honey formation. There are trees that absorb foul smell. These should be grown in the homes at areas likely to emit bad odour.

Questions raised by participants

eas. The information on them is available.

of shamba systems?

ba systems in the forest but it was felt that people living in

in ICRAF

Answer: This is done through promoting the use of trees. Fartheir nearest forest department to provide the nec ary information on the types of trees suitable for their region and how they can benefit from them.

Question: What can be done about the naturally dry areas?

Answer: There are shrubs suitable for arid ar

Question: Are there successful scenarios

Answer: There have been successful shamthe forests should not cut trees.

Question: How can farmer organizations participate or forestry department programmes?

mer organizations can invite ICRAF or ess

Conflict resolution By Millie Biruma Abaru

organizations

Group performance People form groups for different purposes. There are social pressures exerting on the group that

to function. For the group to achieve its objectives, it has to effectively manage

conflict management and networking.

anization Good interpersonal relationships

Mutual respect among group members and willingness to help each other

Shared vision and common goal

work plan

Adherence to the operational guidelines and by-laws Meet regularly and conduct regular and democratic elections Strong visionary leadership that is transparent and accountable to the group which understands,

recognizes and utilizes existing abilities in the membership Fair distribution/allocation of responsibilities and duties Leadership structure which clearly defines roles and is inclusive of gender, disability, different

cultural or social difference Hire competent persons and keep clear records Maintain sound financial policies–funding used for allotted activities–accountability Clear performance indicators–time dependence. Effective and functional monitoring and evaluation system. Regular self-appraisal by group: Action-Reflection-Action Mode Willingness to be advised and learn from each other There should be by-laws understood and respected by members Government policy–enabling environment Networking with other stakeholders Attract donor support

Conflict and performance in farmers’

impact on its abilitythese pressures and create an environment that facilitates the thriving of team spirit. Failure to manage social pressures leads to lack of achievement of group objectives followed by frustration and group collapse.

Hygiene factors for group performance Cohesion, motivation, resources,

Features/characteristics of a successful farmer org

Team work and dialogue–discussing ideas together

Common needs, interests–linking interests as evidenced by

Strong group identity partly due to shared vision, goal and common cultural background Clearly stated objectives and Group members are committed; identify themselves with the problem being addressed Equal treatment of members Open communication at all levels and sharing of information Active participation of all members in decision making Transparency in decision making and action

46

Mind set of expecting to receive from the FO instead of giving resources)

Common causes of failure There are a myriad of reasons why an FO does not meet the expectations of its membership. These

ce structures undermining the e of the commonly observed causes of ineffectiveness

al barriers Failure to pay membership fees resulting in reduction of available resources

mbers, organization does not maintain records

armers

greed, corruption and

Dl characteristics Members are committed to the

roup is based r pride in being identified with the group leads to

re upholding the principle “an injury re knowledge and responsibility

y leaders to members which encourage good the need to establish an

hesion

Mismanagement of group funds (

could be due to unrealized dreams of the organization or poor governaneffective management of the organization. Somof FOs are:

Lack of commitments and sense of responsibility by members i.e. lack of accountability by group members and unequal commitment to group activities.

Extreme poverty hindering attendance Cultur

Lack of transparency among leaders and me Illiteracy culminating in limited capacity of the leadership Lack of vision by leaders and members

irregular meetings e.g. without agenda Poorly planned, unproductive and Change of governance structure without consulting f Dictatorship, lack of communication and team work

Power struggle within the group; conflicts between group members, nepotism

Political interference and sabotage by outsiders No contact office or even work plans Lack of constant training Unfriendly environment Lack of confidence Lack of self-appraisal Poor remuneration of workers

t Lack of recognition of FOs by the governmen Inability to respond to change Poor lobbying and advocacy skills

Failure to adhere to guideline and by-laws or operating withou t by-laws Unwillingness to learn from others; failure to accept constructive criticisms. Under rating member contributions. Dependency on donors

terminants of group cohee sion Cohesive and productive FOs often exhibit severagoals and ideals of the organization and share a common vision. Their allegiance to the gon similar socio-economic and cultural settings. Theihigher level of satisfaction, co-operation and enthusiasm therefoto one is an injury to all”. Time spent together and willingness to shapromotes healthy competition. There are constant visits brecord keeping. The smaller the group the greater the cohesiveness therefore optimum size to achieve reasonable levels of co

47

Indicators of group cohesion ess and criticism/failure

the leadership advocates for members Ability to call members at short notice

ent ending on situations. If

r activities they realize the power of ’ the need for one another and gives them a

g drama and poems about the group to play and recite together. belonging, taking from that ‘birds of a feather fly

s etc.) marks to point the way. This will enable the group and individuals

ck of achievements or their lack easily. sults of this evaluation should be used to improve the

bjectives of joining the group. by local leadership for groups to persevere even in times of

the group reward the groups by way of ideas and advice and

be achieved.

d rules’. Participatory decision-making and action.

up resources.

siping within and outside the group, theft of group assets, failure to adhere to by-laws or constitution of the group, personality clashes, unequal

All members take credit/succ The ability to withstand external threats The more difficult it is to get into a group, the more cohesive it is. Strong coordination The way

Common way of behaviour Confidence of group members

Members know their vision

Strategies to achieve cohesion and motivation in groups Establishing a savings and credit for which they share credit at the end of the year Farmers day to appreciate their success Recognizing performance and achievem Songs–each song carries a meaning and is sung at different times dep

groups compose their own songs and sing them during theisongs as a uniting force. It helps the individuals ‘seesense of identity. Composin

Uniforms–help strengthen individual’s sense of together’. (At times, even hats, T-shirt

Setting milestones or land‘see’ the way and take sto

Continuous self-evaluation and action. Regroup’s performance.

Continuous review of groups and individuals’ o Visitation and encouragement

difficulty. Visits by local leaders toendorsement of the group’s existence in the ‘eyes’ of the community.

Setting clear objectives and a plan of action showing how the objectives will Fair settlement of conflicts. Adherence to set ‘groun

Transparent and effective use of gro Open communication and constructive criticism. Effective, accountable and exemplary leadership.

Conflict and conflict management in FOs Conflicts will always arise. It may be harmful or beneficial to the group. What matters most is how it is managed. Some causes of conflicts are: Jealousy, disgruntlement and power struggle, competition for scarce resources, inability to grasp issues at hand, lack of democracy, poor financial management by leadership, competition between apex bodies, gos

48

application and commitment to group tasks or activities, lack of respect of members by the leadership and vice versa and among members, failure by members or leaders to give feedback to the group after

nce by some members, misappropriation of group resources g of project activities by group members,

sks and infidelity among group members.

y, generates new ideas and work practices, focuses people analysis, increases commitment to take part and to become involved

ality of decision making and deepens relationships between those

members. This y eak up of the groups, create psychological tension among

deas be ignored, result in diversion of resources to

negactiof efforts between groups and individuals, stifles member contributions and may lead to factionalism

being given assignments, dominaespecially in the case of projects, lack of understandindictatorial leadership, unfair distribution of ta

Benefits of conflict Conflict in a group is good if it brings the warring parties to a round table discussion where problems and issues are laid open, promotes creativitto give their work more detailedin group activities, improves the quinvolved in the conflict.

Undesirable aspects of conflict Conflicts can usher in far reaching, undesirable impacts on the life of an FO and its ma ultimately lead to permanent hatred, brthe leaders, result in loss of life, make good ifighting, limit donor funding, loss of organization’s vision, retard development, create stress, stir up

ative feelings, make working environment less pleasant, lead to lack of commitment to group vities, severely reduce the effectiveness of the communication process, interfere with coordination

or withdrawal of members.

Conflict and Unit Performance

(Low) Level of Conflict (High)

BA C

(Hi

nr

Conflict/ Performan

gh)

U it Pe formance

cratio curve

49

Approaches to conflict resolutions List all problem areas and look for consensus Strictly adhere to the by-laws Identify and eliminate areas of conflict from the original goal and propose an amendment Manage conflict through tolerance and arbitration Avoid displaying ill feelings by biding

rs and expert help

uate every group activity undertaken. ing everybody feel appreciated).

and receive all Record meetings and avail them to the members Motivate members

Conflict facilitator Aspire to be accepted by the conflicting parties particularly if from outside and remain impartial. Create human contacts among them and pin point conflicting issues and agree on procedures to address them. Let the conflicting parties explain their views with minimum interruption and invite them for negotiations.

Networking and group performance Networking can be used to enhance the performance of the groups and to increase the productivity of resources. It increases the social capital by pooling resources of the individual groups, providing opportunity to learn from each other, and to exploit the comparative advantage of the established groups. Although groups are initially formed to deal with specific issues, the agenda can be expanded as new issues become relevant, and the opportunities to address the issues may increase through networking. Therefore, enhance the need for dialogue with and advice of professionals and other resource people outside the groups because through interactions, groups are open to new information and as a result develop interest in furthering its learning and education.

Group discussion What has made your groups (FOs) succeed? Team work, dialogue love and dedication Transparency

Bring in peace make Have open discussions and encourage the leadership to resign Prioritize problems and take the highest ranking Discuss the core problem and reach a common understanding Identify the factors causing the problem and come up with basic solutions Use members to eval Hold member-centred meetings (hav Avail on time all previous meeting information to prevent speculation or rumours. Allow members to express themselves freely. Encourage, generate and share information from silent and fence sitters. Ensure there are equitable responsibilities and avoid domination by a few. Maintain group records reflecting group discussions/activities. Evaluate group performance especially by having past meeting reactions etc. Engage in productive group activities e.g. initiating new ideas, clarifying issues, seeking new

information (especially from professionals and motivating and rewarding members) Share the plans of the FO

50

Leadership structure and democratic governance

ities and to use them ed

ice Lack of constant training

ent

mbership fee

mbers

Regular meetings Sound financial policies Commitment by members, common needs and respect for each other Networking with other stakeholder Members to understand each others abil Bye-laws that are understood and follow Gender sensitivity Enabling environment Donor support local or internal Common cultural background Competence rather than nepotism

What led to failure in your organization? Lack of and mismanagement of resources Lack of meetings, no work plans Corruption, lack of transparency, no record keeping e.g. financial records Limited leadership capacity Political Interference, nepotism, power struggle and dictatorship Lack of communication

Lack of commitment Saboteurs Cultural barriers Lack of physical off

An unfriendly environm Dependency syndrome Lack of confidence Lack of team work Poor remuneration Inability to pay me Greed Illiteracy Irrelevant activities Putting all the eggs in one basket Inability to respond to change Lack of ability to lobby and advocate Incapable of influence on government policy Lack of implementation of agreed plans Lack of recognition of FOs by government Lack of negotiating capacity Having no vision Lack of interest by me Poverty among group leaders Lack of sensitization of members

51

What brings about cohesion (bonding) in a group (FO)? causes, shared vision and allegiance to the group

ent

aders to group members

Lack of transparency

rces

parency e bye-laws

h from conflict?

ms you get solutions sion

justment n being aware of problems s in the organization

ame table

h egative aspects of conflicts? t hatred

life

ng away donors

ye-laws for a solution

Common interests/ Dedication and commitm Conditional problem solving Cultural bonds Competition Transparency Constant visits by le Good record keeping

What causes conflict? Gossiping

Self-interest and suspicion Power struggle Jealousy Disgruntlement Competition for scarce resou Not understanding the issues at hand Lack of democracy Lack of financial trans Violating th

W at benefits can be derived Points to your problems When you understand proble Can help you refocus vi Helps bring about ad Brings about cohesio Reveals the misdeed Brings the warring parties to the s

W at are the n Results in permanen Can cause fights

mong the leaders Builds psychological tensions a At its worst, conflicts can cause loss of Brings about biases even against useful ideas

s Brings in diversion from planned activitie Damages the name of the organization chasi Can lead to loss of vision Retards development

How have you managed conflict? Through tolerance- using meetings and b Arbitration

52

Talking it over and coming to an understanding Conflicting parties can dialogue Allowing the people to decide

conflicting parties

s the source of conflict

conflict–participants’ experience

ce and limited. dgments about what is right or what should be done.

erent expectations or their expectations are not met. croach on other people’s turf, territory or personal space.

rent personalities, which clash with each other. thers see as illegal or impermissible.

as creating a precedent or telling the truth or judging what

Don’t show ill-feelings Reaching out to Open discussion Amend the bye-laws if it i Use the services of a counsellor/facilitator

Managing groupSources of conflict: Key resources are scar People have different opinions or ju People have diff People en People have diffe Someone does something, which o People seek to defend a principle such

is fair.

53

Governance and the role of FOs in public policy

for any successful organization. It forms the basic undation for the existence of any membership-based organization. For any FO to be run on sound

principles, it must have good organizational structures and management capable of delivering services

l persons’ l

gal persons’ or ‘entities’ or ell, employ, own assets, incur

Directors as ‘legal persons’ facilitate separation of the responsibilities and liabilities of the shareholders (members) from the organization. However, in order to manage the FOs in a manner that serves the interests of the shareholders, it is important to either elect or nominate directors [committee members] who report to the shareholders regularly on their stewardship over FO affairs.

To ensure that the report of the directors and the accounts show a true and fair view of the state of the organization, shareholders appoint professional auditors to give that opinion. Participants were challenged to explain why this was not the case in most FOs and the following reasons were advanced: Illiteracy among the membership Dishonest management, greed Complexity of present day organizations Corrupt and dishonest auditors Farmers’ organizations with subsidiary companies over which members have no control Organizations with many tiers

It was apparent that the above, and indeed other factors, had increasingly separated ownership from management of farmers’ organizations.

Consequences for lack of member control The participants discussed the consequences to lack of control of FOs by the shareholders. The following consequences were cited.

formulation By Chebet Maikut

Governance is a very important considerationfo

to its members on sustainable basis.

Farmers’ organizations as ‘legaParticipants were asked, and they confirmed, that the farmers’ organizations they come from are ‘legaentities’. Through questioning they went further to explain that as ‘le‘bodies corporate’ , their farmers’ organization can, inter alia, :Buy, sliabilities, contract and sue and be sued.

The directors of FOs

54

ection managers

oards Excessive remuneration of management

ut of lack of member-control of their organizations, participants s and balances. The

Making employees shareholders ers

It was then pointed out that the concerns and suggestions that had been contributed represent an

was realized that the principal weakness of corporate governance was the excessive top management. Re-balancing this power is a pre-requisite for

romoting accurate financial reporting.

rectors f rd roles.

rding the framework (appendix 11), participants were required

cribe the ideal balance of board-level effort between the four and effort that should be devoted by the ou have 100 marks to allocate to each of

Member apathy Deterioration of member loyalty Loss of strategic dir Over dominance of Rubber stamp b

Abuse and misuse of members’ assets

Instituting checks and balances In view of the consequences arising owere asked to reflect on their own organizations and suggest possible checkfollowing suggestions were invariably made. Making use of independent outside directors Having remuneration committees Strengthening the laws Opting for flatter structures

Empowering the stakehold Putting in place a code of ethics. Peer review amongst FOs as per NEPAD model

Corporate governance

emerging area of interest called “Corporate Governance”. Corporate governance is concerned with relationships between the board and the members, the board and management, the board with the auditors, other stakeholders such as employees, suppliers and even society at large. After the Enron5 scandal, it concentration of power in the hands ofcontrolling management fraud and p

The role of the board of diA ramework [Hilmer and Tricker,

ptions rega 1991] 6 for analysing activities was used to highlight boa

After explaining the assumto do the following exercise.

[In the context of your organization, descells in the quadrant. Estimate the actual balance of time board to the four activities. Express this in terms of marks. Ythe 4 cells]

5 Manuel A. Tipgos et al. (2004). A Comprehensive Structure of Corporate Governance in Post-Enron Corporate America. A Publication of

the New York State Society of CPAs. http://www.nysscpa.org/cpajournal/2004/1204/essentials/p46.htm

6 Bob Tricker, “From manager to director: developing corporate governors’ strategic thinking” in Bob Garratt Ed. (1955). Developing Strategic Thought. McGrow-Hill International (UK) Ltd. pp 11-28.

55

When the exercise was done, the marks awarded to each cell by each of the participants were added for each cell was established. A brief discussion followed with every participant

e cell “providing accountability’ and that of “monitoring and . Also added were the group average marks for the cells “strategy

for the “conformance roles” were higher than those for

the “conformance” and “performance” roles need to be time and board leadership are key prerequisites for

by the various management levels to run their organizations sing the diagram reproduced in appendix 13.

ublic policy formulation gh seven stages namely ermined by the compelling needs of the country

roval by cabinet or legislation by parliament

Formulating veterinary policy and water production ral inputs

lanning authority.

all times and at all levels of the structures of the FOs. Therefore if FOs are to play a licy formulation, it must strengthen its organizational and

management capacity and be driven by its core values, e.g. in the case of UNFFE, it has golden rules.

and an average markdefending his/her award of the marks.

The group average mark for thsupervising” were addedformulation” and “policy making”. The totalsthe “performance roles” (appendix 12).

Lessons learned The exercise undertaken was an eye opener to the activities of the boards. The majority of the boards were found to be maintaining status quo rather than ensuring improved performance of their FOs. After some discussion, it was agreed that bothbalanced. It was also agreed that the knowledge, an effective board. The skills neededeffectively were explained u

Farmers’ organizations in pA good public policy should go throu Gender policy setting which is det Consultative process Formulation process Legitimizing a process – app Publicizing the policy Translation of policy proposal to action Process of reviewing a policy on its performance

The Uganda National Farmers’ Federation (UNFFE) was used as a case study to illustrate UNFFE’s success in influencing public policy. The following cases were cited in which UNFFE was crucial: Ensuring farmer-driven extension services

Formulating taxation policy of key agricultu Making a contribution to the land use policy Making inputs into the bio-safety policy in the making to regulate movement and use of GMOs Championing farmers’ cause as a board member of the National Agricultural Research

Organization (NARO) and the national p UNFFE also was finally consulted on the CAADP agenda.

The principles of democracy, accountability and transparency (DAT) must not only be seen but practiced atnumber of roles, including public po

56

Your only reason for wanting to be elected must be that you wish to have the honour of serving

your fellow farmers You must have your own independent income and not expect any benefits from your post

nances are properly banked, accounted for and used only for the activities approved by your members and executive committee

ake your branch self-supporting, with farmers helping each other

over a long period of time. the management of various

ays have clear objective, goals and actions in order to achieve the desired to be made and stand the test of time, it must go through all stages of its

cgency to put it on priorities

ons Legitimising process–approval of cabinet and/or parliament. Sometimes approved policy is

actual implementation and strategies ay warrant re-formulation or termination if it

the ultural inputs and equipment/tools by

the Ministry of Agriculture and other government parastatals in the early 1990s.

The NAADS Act – through participation during the formulation stages. The bio safety policy through participation in the formulation and the drafting of the Regulations

and bio safety bill by the Uganda Nation Council for Science and Technology.

You must be willing to serve voluntarily and use your own time and resources You must be open to all your activities and keep your members informed of everything you do for

UNFFE You must ensure that all UNFFE fi

You must work to m Never promise things to the members that you personally cannot deliver Make sure that you know your rights and responsibilities as defined UNFFE’s constitution

Public policy

Reflection on policy This refers to the broad guiding statement that defines the mandate and objectives of sectoral agencies/organizations. It must have values and consistent practicesGenerally, policies aim at providing co-ordinated frameworks for resources towards sectors objectives and such frameworks provide good decision-making.

A good policy should alwresults. For a good policycy le. These include: Agenda–compelling ur Consultative process–participatory Formulation of policy–goals, objective, plans, acti

backed up by legislation Publicizing the policy Translation of policy proposal into actions – Policy periodic reviews on its performance – this m

is no longer necessary

UNFFE and its role in public policy formulation UNFFE has been involved at different levels in a number of public policy formulation process over

years. These include but not limited to the following: Lobbied government for the importation of appropriate agric

Policy of liberalization when UNFFE called on government in early 1990s to allow farmers sell their produce freely including cross border trade.

The plan for modernisation of Agriculture (PMA) where there was input through the technical committee where UNFFE was a member.

57

The seed policy especially the plant varieties protection: on-going.

production policy

ip to the National Planning and other

The recently launched policy zoning agricultural production. eipt system (which is on-going)

shows mandated by the Ministry of Agriculture, Animal Industry and

xample, the national farmers organization in the United States ial contenders in the year 2000 (Bush and

ould be extremely visible so as to effectively lobby representation on o agriculture.

countries of the

nizations within a country should not undermine one another but should seek to find common ground regarding policy issues and agree on putting their best foot forward.

process from inception, including

articipate effectively and productively with

Taxation on key agriculture inputs e.g. the removal of VAT on imported seeds e.g maize seed from Kenya.

The National Agricultural Research System (NARS) Policy and Bill. Land use policy (about to be finalised). The veterinary services delivery policy.

Water for The minimum wage bill policy

Influencing national policies (development) through membershAuthority (by Act of Parliament in 2003, UNFFE is a member of the Authority)consultations.

Partial lifting of the ban on importation of bull semen for Artificial Insemination

Warehouse rec Conducting of agricultural

Fisheries. Planning for the merger of Faculties of Agriculture, Veterinary Medicine, Forestry, Institute of

Environment and Natural Resources and Dept. of Fisheries into one College: on-going. Organic farming policy: on-going Position papers on GMOs Meat policy HIV/AIDS implementation activities by FOs

Ways of influencing public policy Borrowing a leaf from others. For e

of America demanded written answers from presidentGore) to key policy issues at the height of the campaigns. Farmers’ organizations shpublic bodies relevant t

FOs must make use of parliamentary committees on agriculture that exists in the region. National farmers’ orga

It is more effective participating in the policy formulation policies initiated by farmers’ organizations, than waiting to change them at the highest levels.

Building capacity within farmers’ organizations to pgovernments’ technical staff.

58

References Manuel A. Tipgos and Thomas J. Keefe, A Comprehensive Structure of Corporate Governance in

Post-Enron Corporate America (Appendix 10).

59

Financing farmers’ organizations By Charles Kabuga

Ideally members should be the main financiers of their FOs. This gives the FO autonomy and allows the leadership to objectively represent them at various levels. Unfortunately most of our FOs, especially the apex, is financally donor dependent. Consequently, the national apex bodies are weak and lack autonomy.

The current sources of finances for FOs are: Membership (shares, contribution, cess, commissions, fees and subscriptions) Sales Commission Grants: grants are a danger because they are given to influence the FOs mission and for creating

employment for the donors. Investments, sales Fundraising e.g. exhibitions and trade fairs Consultancy services Publications Government subsidies Donations

To date the only dependable funding sources are: membership and subscription fees from those who want to belong to the FO, sales of products – if the organization is in business, investment of profits made to generate additional income and consultancy – if the organization is endowed with experts

Participants were then asked to rank-order the four sources with the most reliable source at the top of the list. The participants discussed ‘consultancy’. After which they decided that consultancy pays well and some FOs possess the knowledge that could generate income for their organizations. Unfortunately, most FOs find it difficult to venture into it. The farmers have the knowledge but require exposure to consultancy skills. Nevertheless, it is important that we utilise local expertise. Hence in meetings such as the training workshops, it is important to network and get to know what knowledge is available within the FOs in the region. An example of this was Kenyan women trained in rain water harvesting who were contracted to train Ugandan women in water harvesting. Subsequently, the Kenyan and Ugandan women linked up and trained Zambian women groups, proving that farmers could be their own best consultants through peer learning.

Strengthening the most reliable sources Generally, even if membership is poor, failure to generate sufficient funding from the membership partly emanates from lack of commitment and ownership of FOs by the farmers. Secondly, it could be that the FOs failed to address the members’ expectations. Hence a realistic strategy should be put in place to ensure members interests and expectations are catered for by their FOs to ensure loyalty and commitment. The best way to strengthen the funding is for FOs to be business-like in their undertakings, so that they generate profits/incomes.

60

Donor funds -funded and therefore donor-driven. therefore higher as most of such

organizations tend to be accountable to donors more than to their membersdonor-driven organizations is never guaranteed, it was considered important to develop training

successful in other countries why are they not working here. Is the problem loping countries were turned into agents of government

capital. They used h to procure farmers’ produce at prices fixed and guaranteed by government. Co-operatives

he produce to these boards. The marketing boards would then do the marketing. All

boa e farmers.

t e, the farmer was always guaranteed a market and sold whatever he/she d lization policies exposed the farmer to the vagaries of price fluctuations leaving

es brought about by the new economic policies found both the leaders and n -operative organizations most un-prepared. Without leadership training, the harsh

nsequences brought about by constant changes will continue to wreck havoc on farmers’ and other

ons

Participants were in agreement that most of their FOs was donorThe risk of promoting donor interests, including visions, was

. As sustainability of

programmes that would address the funding of FOs in more creative ways.

Lessons from co-operatives Co-operatives have been poor leadership? Most co-operatives in devemarketing boards from which they received their marketing finance and working suc fundsmerely delivered tthe profits that accrued from the marketing activities benefited government and employees of these

rd more than they benefited th

Need for training in leadership No withstanding the abovpro uced. Liberahim/her helpless. The changma agers of cocorepresentative organizations. And yet, individual farmers can only hope to mitigate the harsh conditions only through group action. Consequently, the need for strong representative FOs and the training of leaders to manage change has never been greater. RELMA/ICRAF and other organizatiin a position to help must see this area of capacity building as a critical success factor in enhancing the usefulness of FOs.

61

Organized farmers making a difference: Lessons from India

By Millie Abaru

Background Small-scale land users are the ultimate target group for RELMA/ICRAF interventions aimed at

ation. Farmer to farmer training and cross-fertilization of ities of FOs to broaden their perspectives and make them ded program facilitated leaders of national farmers’

ave been remarkably successful, and leaders of FOs wanted to know the factors behind the success. 2) India has had to face similar economic development challenges as those experienced in Africa. 3) Because of assumption 2, it was hoped that the Indian models might be more ideal for replication in East Africa. The tour took place 6th -13th December 2004 and included 10 representatives of farmers organizations three from Kenya, four from Tanzania, two from Uganda and one staff from RELMA/ICRAF.

Study tour objectives The main objective of the study tour was for leaders of FO in East Africa to share experiences with the farmers’ organizations in India and learn/examine the governance and leadership structures of FOs, the policy environment for FOs and identify factors that account for success. ICRAF India organizes the tour and we visited the dairy cooperatives.

An overview of the cooperatives In 1946 the colonial government in India awarded a private firm monopoly in milk procurement in villages of Kaira District, north of Bombay. The firm, in turn, appointed contractors to collect milk in the villages. These contractors were, however, unreliable in collecting milk daily and paid insufficient remunerative prices to farmers. Farmers reacted to this by forming a cooperative, now called AMUL which collected milk from members and sold it to the government.

increasing farm production and enhanced food and income security. Reaching this target group is, however, a big challenge in the face of limited resources. One promising approach is to work with land users that are in well organized groups to reduce on costs and to make the delivery of interventions more extensive and effective. This calls for farmers working in well-managed and authentic groups.

Getting strong and well-managed FOs that are representative of the members is a challenge that among other things requires continuous educideas are some of the ways we build capacstronger. In 2002 RELMA, a Sida funorganizations in the region to share experiences with those in Europe. FOs visited the farmers’ organizations in Sweden (LRF), and visited the EU to see how European FOs lobby the EU and advocate for policies favourable to Farmers. As a result, of this study tour, FOs in the region increasingly, realized the need for strong FOs and a representative regional body for farmers to increase their voice in the global arena. This awareness resulted in the support and formation of 1) the Uganda Agricultural Council (ACU) in 2002, 2) The Regional Farmers Organization Network (REFON) in 2003 and 3) The Eastern Africa Farmers Federation (EAFF) in 2004.

In 2004, India was identified as a country to learn from because: 1) India has some farmers organizations that h

62

Today, AMUL handles 9.6 Million litres of milk daily in the peak season. There are more than 5.02 lages.

cts including milk powder, cheese, butter, chocolates and malted beverage.

Besides the dairy plant, AMUL owns cattle feed plant producing about 460 tons of le feed a day. It offers extensive veterinary services to its members through

Cooperatives are alive are voluntary member-owned and controlled. They are vibrant and have played

million members in 941 village cooperatives covering the entire district that has nearly 1,000 vilIts’ turnover in 1992-93 was Rupees (Rs) 3,114 million and its’ assets Rs 275 million. It manufactures a wide range of produ

high protein (by-pass protein) cattnumerous veterinary first-aid and artificial insemination centres. It takes veterinary care to the farmers’ doorstep, in the form of 16 mobile dispensaries manned by 65 veterinarians. Mobile team visits each village on a given day of the fortnight when its services can be availed with no additional cost; it also makes emergency visits in response to special calls.

The lessons

a major role in helping farmers compete effectively in market-based economy since 1946.

Funding: Members of the FO contribute in terms of membership fee and in addition they have government support. More importantly the FOs have invested in activities that make money so they have financial sustainability and autonomy.

Values: Gandhi principles and practices that promote perseverance, egalitarianism, inclusion, and participation are at the core of most FOs. They help to establish consistency in FO purpose, and serve to attract and retain highly motivated staff members. In the Ashrams they still have hand looms, to weave and make original products that are very competitive on the open market. “Buy India” is attractive unlike in East Africa where we have higher preferences for imports.

Influencing policy: Because of the success of Amul, the government through the national dairy board

s have a say in policy issues that affect them. The spoken in different arenas including the WTO

is replicating the success story and so farmernational federation of farmers has been very outnegotiations in favour of the small scale farmer.

Cooperatives respond to change: Over the last 25 years or so, the Indian dairy industry has progressed from a situation of scarcity to one of plenty. Dairy farmers today are better informed about

63

technologies and economics of efficient milk production. Even landless and marginal farmers now own highly productive cows and buffaloes in many areas. Modern technology and advanced management systems in milk processing and marketing have brought about a marked change in the marketplace. Consumers now have a wide range of choice of products and packages. The Operation Flood (OF) programme implemented by National Dairy Development Board (NDDB) played a key role in this transformation. The Cooperatives have proper storage facilities for both dairy and horticultural products so that the products are consumed on demand.

FOs with business acumen: When mother dairy grew stronger and sustainable, it started other subsidiary societies e.g. fruit and vegetable packaging. This affiliated project of the dairy developments board provides linkage between fruit vegetable growers and consumers. It has a large refrigeration plant with temperature and humidity conditions adjustable to the required setting of particular fruits or vegetables. The cooperatives have built some business acumen that allows them to enjoy monopoly in some of the markets.

FO relationship with the government: There is mutual respect and corporation between the government and cooperatives. Cooperatives are deemed to be independent organizations. Government role is only regulatory and government doesn’t interfere with the management of the cooperatives.

Cash payment of members’ products: Payment is made daily and participants witnessed this when they visited the village cooperative, a member brings milk. It’s weighed, tested, and when it meets the standards, she/he is paid there and then.

Transparent and visionary leadership: There is a lot of transparency by the management and officials of the cooperatives. The leaders are not only visionary but have also established management and behavioural practices that reduce social distance between FO mana ment and grassroots

embers and this builds confidence among the members.

ilds confidence and encourages the members to work hard and produce more in order to increase their income and improve their livelihood.

gem

FOs meet members’ expectations: The cooperatives meet members’ expectations by providing a number of services such as: Timely buying of members products. This bu

Price controls (usually agreed and remunerative prices) are put in place to reduce the shocks in farmers’ incomes during periods of plenty or those of scarcity.

64

Members get free veterinary services from near by locations. Member farmers produce required quantity and quality products because they are assured of the

market right from the production level or unlike eastern African countries where market is not easily accessed.

In some instances FOs give scholarships to farmers’ children

ontinuous capacity building: In line with cooperative principles, capacity building is an important

managers, negotiators, decision makers, fundraisers, and

ed

en root in India. This should be a very big and attractive

nd process bamboo in over 1500 different another income generating activity we can introduce in

leve volvement

Ccomponent in the FOs and has made it easy for dairy board to scale up the Amul experience. Training among other things includes participatory training methods, group dynamics and strengthening, book keeping and financial management. In addition, members are trained and given incentives in producing quality products and often seek to benefit from research. Consequently, not only do they process and add value to their products but the capacity building has produced capable leaders and managers that are effective organizers, advocates of FOs.

Cooperatives are the glue: Socially cooperatives are very inclusive in spite of India being a multi-religious, multicultural, and highly stratified society. Members of different caste, class are glutogether in their cooperatives. Hence cooperatives contribute to the promotion of social stability.

Income generating activities: Growing herbal medicines: Production of herbal medicine is a good income generating activity that has takventure to take up in East Africa because like India they are tropical and hence farmers have a comparative advantage in producing the herbal medicines.

Bamboo growing and value addition: Although we have bamboo growing in Africa, we have not utilized it as is the case in India. Farmers in India plant aproducts. Bamboo is easy to grow. So it is East Africa.

Gender in FOs: Membership in FOs is quite balanced and women participate up to management ls. In Ashrams, even if women appear to be invisible because of the culture, they are in

in decision making and major activities.

65

Participants’ general observations and lessons

Cooperatives can be profitable and prudent business undertakings even in the face of liberalized markets.

-Cooperatives even for small-scale farmers, when run profitably can positively contribute to community development

-It is possible for dedicated politicians to be the champions of the development and up-scaling of healthy farmers’ organizations.

-To promote strong and independent and self-sustaining FOs, Governments should only help FOswhere needed but not interfere with the development and smooth running of the FOs.

when and

-Sustainable FOs are those that are formed by members, with main function to serve members to fulfil their needs, and not used by outsiders to achieve their goals., in this case, Cooperatives not “Gov-operatives”

-Members of farmers’ organization should not depend on external funding but instead invest in their organizations.

-Members of farmers’ organizations should be active and volunteer in their farmers’ organizations.

-To be global player in the market economies, farmers must not only meet but strive to surpass international standards.

Acknowledgement Dr Singh Pal, T.C. Dhoundival, Mr V.S. Bandari, Dr H.A.Nadiaaaaadwala, Dr S. K. Pandey, Dr. S.S. Gili, Dr Antonia Paliwal and Dr Sarvesh Paliwal.

66

Issues arising from the training workshop At the conclusion of the workshop, the participants raised a number of pertinent issues. These were done in national groups.

Kenya The Kenya participants felt that the following issues require follow up. Follow up Network: Now that the course is over, people have known each other and made

contacts, can we the participants form some form of a network that could be supported by RELMA in ICRAF so that achievements of this course can be built upon?

ill remain male dominated despite the fact that it is women and youth who do most of the work.

ers to network nationally or regionally, and to claim their legitimate space, they should have ICT

Management has been identified as a source of conflict and failure among FOs. This is

A d depth were not adequate. ng these a

Rse: The training on agro-forestry was an eye opener in terms of optimal use of available

land. Could RELMA in ICRAF also in future include such challenging issues as water harvesting and irrigation? This is of particular interest to Kenya which has a large area where water scarcity is a major problem.

est in FOs and agriculture.

Tanzania Co-operatives in Tanzania are slow and operate very old ginneries. The new comers have new,

more efficient machinery. Is it possible to convince the government to inject funding into the co-operatives to revive them?

The FOs are not as inclusive as expected. Hence these FOs require assistance to become all-inclusive.

Advocacy and lobbying skills are not evident in leaders of FOs in Tanzania. Can this be included in courses offered by RELMA?

The SACCOS in Tanzania are still not strong and hence the need for training in financial management.

Can RELMA build the capacity of Umbrella FOs in lobbying internationally? Could RELMA assist local FOs to enhance their voice?

Gender – our farmers’ organizations st

ICT – This is now a regular management tool. It is now imperative that for farmwhether capacity.

Financial an area in which FOs require training support to address.

lthough the above four points were briefly touched upon in the course, the coverage an We are requesting RELMA in ICRAF to either design a training package coveri

reas or expand their coverage within their existing packages.

ELMA in ICRAF should in addition address the following in future training: Land U

The issue of youth disinter Food storage is a problem that needs to be addressed.

67

A can assist the farmers to avoid being swallowed up by the multi-nationals? is need for all the various FOs to strengthen their national bodies for effective lobbying and king.

d expose mult-inationals that

Uganda Considering that all the 3 countries have problems for farmers voicing their issues, RELMA

should bring them together to enhance their visibility and voice; i.e. farmer empowerment. Is there a way RELM There

networ FOs in Uganda represented here should form a team to monitor an

are exploiting the farmers. Thank you to RELMA for facilitating training. Is it possible for RELMA to assist in dealing with training of grassroots?

The analysis on governance should be facilitated in most of our organizations as they are still inward looking.

There is need to form a committee of umbrella bodies to facilitate networking

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Closing session rsn

RAF should facilitate further training

o

Closing Speech by Dr JJ Otim Dr Otim expressed his gratitude to the planners of the workshop. He had received positive reports on the workshop and is convinced that the participants gained knowledge from the course. (Refer to Appendix 14)

As leaders they were challenged to back to their workstations fully aware that not everybody is interceded in FOs. He urged them to always stand their ground while advocating for farmers since people receive what they negotiate for. He advised them not to stand alone as individuals if they wish to succeed. He maintained that that was also the case with farmers’ organizations. They need to join together to form stronger organizations and speak with one strong voice. He reiterated that to speak with one voice was essential since you get only what you negotiate for.

He reminded participants those regional delegates who participated in a workshop similar to this decided that they wanted to come together. They formed REFON for which he was chairman. Other regions have formed organizations e.g. SACAU and East African Farmers Union. The group decided to form a network to bring together the farm organizations in the region. There was need to develop country apex bodies. Malawi took the challenge and formed FUM. Ethiopia, Djibouti and Malawi wanted to be part of Eastern Africa Farmers Federation. Uganda is currently hosting EAFF.

While EAFF is trying to sensitize members about its existence, RELMA in ICRAF will work hard to ensure networking of the regional economic bodies. East Africa EAFF should now be able to network with SACAU, ROPPA and the North African body. Several people in East Africa are also in IFAP. He requested Hon. Chebet to ensure more Africans join the international farmers’ bodies.

He praised RELMA in ICRAF for selecting the right facilitator with long-term experience and integrity. He was convinced that with Mr. Kabuga as the lead facilitator, participants had emerged out of the course with flying colours.

Dr. J.J. Otim awarded attendance certificates to participants and thereafter declared the workshop closed.

M . Abigael Tabu, group leader of participants, thanked RELMA in ICRAF and the hotel ma agement and gave an overview of the training. The participants feel they need to find a networking forum. With the current situation, ICT information needs to reach their members

RELMA in IC The region requires advocacy and lobbying skills

Comments by Hon. Chebet Kn wledge does not rot when it is utilized. Hence the participants can go and use their knowledge as consultants in agriculture. The outcome from this workshop should be practiced. He requested for a formation of a committee to link the apex bodies in Uganda.

69

Appendixes Appendix 1: Workshop expectations

crisis management ing challenger

Leadership skills nces from other organizations or networks

arket the produce.

k to be able to influence policy in their favour

aches

Equip leaders on ideas and knowledge on leadership

Fears and concerns

e management No file cover or bags

ugh time for workshop

Learn more about strategic visioning Enhanced capacity Learn how to be a good leader Expect to get more equipped in leadership especially Learn how other farmers’ leaders are facing emerg

To share and learn different experie To make sharing information Leadership Strategies to bring the youth on board To understand organizational skills, produce and be able to m The workshop will be able to offer skill on how to enhance skills in FOs East African farmers get organized to form a bloc

and speak wit one voice To improve small scale farmers skills Best appro Marketing to our produce Sharing experiences with participants from other countries Understanding of strategic planning I hope to become more useful to my institution after this workshop To get more education Polish up, add more leadership skills Able to plan and organize my organization To institutionalize the organizations through leadership Improved Leadership skills Be aware of the contemporary economic situation and know how to respond on it as a Leader of

farmers Solidarity amongst farmers in eastern Africa Find the root cause of poverty amongst farmers in the region

New farming techniques and marketing channels Find answers to: market our crops, How to compete favourably with developed countries and to

know the strength of FOs.

No fear Little per Diem (US$25 per day) Insufficient facilitation and tim

Time won’t be enough Eno

70

Four days are not enough for this important workshop would RELMA pick the bill

n personal (private) transport in farming sector

tivities: transform peasant farming as business? all farmers because we are not united and weak

re there is war

the workshop

If any of us fell sick Full transport refund o Stealing of livestock from farmers, middle men Are we able to specialized farming ac

als swallowing sm Fear of multi-nation Getting to North of Uganda whe Time not enough

ts after Corruption in the side of governance by over looking farmers righ

71

Appendix 2: Needs assessment inventory

Your name…

Degree of importance Degree of fulfillment

Objectives: Check those that are ore those

importance to you, apoints among all of those checked. A total imp rtant to you. Please ign

that are not o

llocating exactly 100

of 100 must be assigned.

ou checked well it was

fulfilled.

e

Craft a vision and discern the link between visioning and strategic planning.

2. Use the steps of a vision based strategic planning process to validate or formulate a strategic plan for an FO.

3. Identify, describe and demonstrate the use of key thinking tools and styles.

4. List key drivers of change related to agriculture and assess their degree of impact on a FO.

5. Assess the appropriateness of governance and governance structure of intermediate FOs in promoting and protecting farmers’ interests.

6. Identify and discuss suitable ways of financing FOs that also guarantee the independence of those organizations.

7. Identify the various sources of conflict in FOs and outline ways of how such conflicts can be managed and resolved.

8. Articulate gender concerns in FOs and the way they should be addressed to turn FOs into vibrant and dynamic organizations.

9. Articulate what public policy is the process for public policy formulation and strategies for involving FOs in the process.

10. Exchange ideas with other participants on key issues affecting farmers and FOs.

100 Total

* If you checked only one objective, assign all 100 points to it. If you checked two objectives, spread the 100 points between them etc.

*0 is unsatisfactory, 1-2 poor, 3-4 below average; 5 average;6 above average;7 good ;8 very good; 9-10 Excellent.

Weigh each checked objective for its Rate each objective yfrom (0-10) to indicate how

B able to:

1.

72

Appendix 3: The phenomenon of change and its implications for farmers organizations (Chebet Maikut)

Introduction , the ea

re continuing to occur. A ed change in social, political and economic aspects of the societies in which we live. The environment is also changing. As leaders of FOs, these

s that we must deal with for the survival and continuity of our o

iety, the farming world has been affected by these changes. Changes have occurred and are continuing to occur in all walks of life.

Implication of change to FOs erned about what to feed on, and by any chance, if there were some

su k of sell g it for some income to purchase other basic necessities in the home. Farmers have since realized however, that they can do farming as a business, so they have

r both domestic and export markets.

wn distortions. Regionally, the birth of economic blocks such as etc, have brought with them a number of challenges to farmers w ional markets. How can FOs help the farmers?

F therefore, come out with strategies of establishing business enterprises/companies, which ional and international markets. Farmers are now doing framing as a

bu ssisted.

omic and political changes, which have brought about new and the political environment that has got significant, bearing on

ac have generated more challenges especially for FOs, which have to stand up and lobby for better policie me that unfavourable policies are put in place. Some of

itical and they do not consider the aspirations of the farmers.

T tical changes have created both opportunities and challenges for the farm associations/federations. In Uganda, the current government has

nt for farmers' organizations to be formed and operate freely. FOs needs to utilize these opportunities to mobilize all farmers in order to form strong as group/entities that can create meaningful gains for their mem rs.

E rought with them a number of macro and micro economic changes and policies aimed at revitalizing the economies of our countries. In Tanzania, there was a sudden shift from socialist-biased economy, while in Uganda and Kenya, there was mic liberalization. In

In the last one or two decadeschanges a

re have been great changes in our ll of us have witness

stern Africa region and these

changes create a great deal of challengerganizations.

Like other aspects of our soc

In the past, farmers were concrplus, they would then thin in

turned to commercial farming fo

However, the export market has got its o ECOWAS, SADC, IGAD, EAC, ho wish to sell to these reg

Os must can do more to penetrate the reg

siness and they need to be a

Coupled with the above are socio-econpolicies affecting agriculture

tivities of the farmers. Theses each ti

these policies are basically pol

he socio-economic and poliers to come together to form

created an enabling environme

sociations/ be

conomically, the late 1980s b

econoUganda, privatization also came along. The changes in economic policies impacted a lot on FOs.

73

First of all, many business men and women entered into marketing of agricultural produce, such as

mers could be paid on time for their crops.

ddlemen reduced the profit margins of the farmers. In addition, the businessmen access small farmers in remote areas. FOs are therefore challenged to mobilize

e is that we as farmers must act quickly to redress this situation. It is my strong

ffecting farmers. FOs are challenged to help the new technologies. However, these technologies are expensive

s. The magnitude of this issue

s and investments in

about the safety of GMO products.

significant

coffee, vanilla, horticultural products, grains etc. This opened opportunities for marketing of non-traditional crops. Far

However, the micould not easilyfarmers into commodity groups for easy marketing of farm produce.

The environment is facing degradation due to increased pressure on land for both settlement and cultivation, deforestation due to increased demand for fuel wood, charcoal and timber, only to mention a few. The environmental degradation has negatively impacted on farming significantly. The implication herconviction that, FOs can play a leading role in the sustainable utilization of environmental resources.

Changes in technology are yet another important issue atheir members to adjust and adopt and require a lot of research. How can FOs help farmers?

Today the question of Euro-gap pauses a great challenge to the farmers. FOs need to focus on how to lobby as a regional block to be able to not only influence the application of these policies but also to train farmers to be able to comprehend and meet these requirementcannot be left to individual farmers alone.

Currently there is a debate on GMOs in Africa. This debate has quickly moved away from the policy-making arena to the public who have questioned the unprecedented emphasimodern biotechnology. Critical questions arise as to why the corporate worlds who are some of the leading proponents of genetically modified products are reluctant to assume responsibility for any unforeseen risks if they are convinced

Amidst all these uncertainties and a controversial debate, the FOs must come out and contribute significantly to the debate, lest the farmers will, as usual, fall victims of the unforeseen risks.

Socially, all of us have been witnesses of the scourge caused by HIV/AIDS, which has affected and led to the disintegration of the family units. Today, we have many orphans and widows that need special care and attention; we have many children-headed families. There has also been reduction in agricultural productivity. All this has great implications for the FOs. FOs cannot afford to look on as our farmers’ fraternity suffer and lack the necessary care. We must wake up and join the struggle against HIV/AIDS; we must support the needy orphans and widows. I am glad to inform you that UNFFE has already embarked on this campaign and we would like to appeal to all FOs in the eastern Africa region to join this struggle.

The high levels of urbanization have also affected both the shopping and feeding habits. It seems to me that, the urban population is moving towards shopping from the supermarkets as opposed to traditional markets, for especially, foodstuff. Supermarkets require well-organized sustainable supply. For the farmers to be able to meet the standards of supermarkets, they need to be well trained and organized. This creates a challenge to FOs.

74

The collapse of the cooperative movement in the region and Uganda in particular, which used to handle marketing of farmers' produce, left a big gap in marketing. Farmers could no longer access credit to purchase farm inputs because of high interest rates by micro-finance institutions and commercial banks. The revitalization of Uganda Cooperative Alliance (UCA) and the birth of UNFFE

The EAFF, which is a regional farmer’s organization, was also formed on the above principle. EAFF's

sues. I believe that the recommendations of

and other FOs were partly to fill in the gaps mentioned above. So far, farmers are realizing the benefits of federating/forming cooperatives and the government should support these efforts.

role is to voice legitimate concerns and interests of farmers in the region with the aim of enhancing regional cohesiveness and socio-economic status of the farmers. Currently, the membership is drawn from national farmers’ organizations in Uganda, Kenya, Tanzania, Democratic Republic of Congo and Rwanda. Arrangements are still under way to allow in Ethiopia and Burundi. We shall then compose a strong force that shall ultimately promote, advance and protect the interests of the farmersin the region.

I wish to extend my sincere appreciation to RELMA for sponsoring this workshop, which has brought together farmers leaders to deliberate on these important isthis workshop will go a long way in changing the well being of the farmers in eastern Africa. I look forward to fruit full deliberations.

Thank you.

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Appendix 4: Resource efficiency and corporate responsibility

A guide on how to manage change in an organization-www.oursouthwest.com “It is not the strongest species that survive, nor the most intelligent, but the ones who are most responsive to change” - Charles Darwin

“To cope with a changing world, an entity must develop the capacity of shifting and changing - of

e wider community. It can also be used as a tool by environmental business support organizations when assisting companies.

, managers can be more successful in taking staff with them and achieving their objectives.

The four key factors for success when implementing change within an organization are: Pressure for change–demonstrated senior management commitment is essential A clear, shared vision–you must take everyone with you. This is a shared agenda that benefits the

whole organization Capacity for change–you need to provide the resources: time and finance Action–and performance–“plan, do, check, act”–and keep communication channels open

This guide includes tips and techniques that organizations can deploy to better manage change internally. The “Change Management Matrix” at the end of this guide is a simple tool for identifying and plotting status and progress in an organization. This should help you structure your process of managing change to get you from the raising of awareness and interest to desire and action (A-I-D-A).

Worst practice in managing change “The main dangers in this life are the people who want to change everything or nothing”-Lady Nancy Astor

Before looking at the four factors for success, recognising the four factors for failure in managing change can help identify problems more rapidly, and can show where initial action should be concentrated: Lack of consistent leadership De-motivated staff kept in the dark Lack of capacity: budget cuts, no spend-to-save policy, short-term approach to investment,

stressed out staff working hard just to stand still Lack of initiative to “do something different”

These four factors for failure then lead to the “treadmill effect”:

developing new skills and attitudes; in short, the capability of learning” - A De Gues, The Living Company.

Introduction This guide has been written to help organizations manage change as they seek to become more sustainable through resource efficiency, and as they take corporate responsibility for the effects of the business on th

Much of the advice in this guide is little more than the application of common sense and good management practice, but all too often some of these elements are overlooked. By taking a systematic approach to implementing change

76

No time for reflection, planning and learning No improvement in design and implementation

The following employee excuses demonstrate that change is being managed badly and that employees

n’t got time” “The boss doesn’t care anyway”

g my head down this time”

ers to do what you want them to do because they want to do it” - EisenhowerFirstly there must, of course, be pressure for change – a driving force. The need for

needs to be m

Pressure for change could be senior management commitment from the outset, but it may have come

ho wants to work for a company or an organization that has developed a notorious reputation for

For success, however, regardless of where the original pressure came from, senior management sential if momentum is to be maintained for effective

The rest of the organization will need to be convinced of the need and the case for change - this is

ink no one is looking” (H Jackson Brown, Jnr).

Sen ve by what they do and say - both privately and he talk” by failing to back up their statements with

ction and a continuous commitment, progress can soon stall. Other conflicting or new priorities ail to remain fully supportive of the

project.

Increasing need to do something Increasing failure and unplanned consequences

are increasingly de-motivated: “It’s not my job” “I have

“I’m keepin “If it’s such a good idea, why didn’t we do this the last time management changed its mind?” “It will all change again next month” “When the MD makes his mind up, I might do something” “Nobody told me about it…..”

The four factors for success: pressure-shared vision-capacity-action Factor 1: Pressure for change (the top down approach)

“Leadership is getting oth

change has been identified, the decision to proceed has been taken, and this nowco municated throughout the organization.

from customers or clients in a supply chain.

Wpolluting the environment or exploiting its suppliers? It is widely accepted that when people take a pride in the organization they work for, they perform better and will more readily put themselves out to help achieve corporate goals.

commitment and drive for change is esimplementation.

dealt with in more detail in factor 2 (A clear shared vision). Only this can happen to good effect if senior management, including the chairman and chief executive, are collectively behind the changes sought.

“Our character is what we do when we th

ior management must be seen to be fully supportipublicly. If, however, senior management “talks taemerge and the momentum can be lost if senior management f

77

So, get senior management signed up to the change. And communicate this to all staff–giving them eel that they have joint ownership of the change

orward-thinking companies are already signed up to becoming more sustainable through resource

e sustainable in its broadest sense also means attending to social ood employer by, for example, encouraging fairness at work; helping staff to

g a ‘good neighbour’ that is responsive to the local community; and as an message

the opportunity to feed in their contributions and fbeing implemented.

Fefficiency, using cleaner technologies, minimizing waste and embracing the principles of producer responsibility. But being morresponsibilities as a gdevelop their skills; beinethical trader. That is the positive that needs to be communicated throughout the

ing to get to a jointly defined future” – Prof

respond well to challenges (that they feel they can

re crucial for success.

commitment and support from staff is to provide these ‘motivators’ for your staff – or at least as many of them as possible. Here are some tips, questions and ideas to help

where your enthusiasm takes you”. When was the last time you [or senior management] told or showed your staff how proud you are of what they have achieved? The

Happiness: “A happy team is an effective team”. A culture where laughter is permitted and approach to

your staff can reap many benefits; because if they know their employer cares about them as

organization.

Factor 2: A clear, shared vision

“Businesses are nothing more or leessor Howard H Stevenson, Harvard Business School

ss than organizations of people try

“As a manager the important thing is not what happenyou are not there” - Ken Blanchard

s when you are there, but what happens when

For change to be effective, it needs to be implemented at all levels; embedded in the culture of the organization. To keep colleagues with you and not against you they need to be motivated and you need to understand what motivates them. You should never forget that change is a major cause of stress amongst the workforce. Staff will usuallymeet!); it’s fear of the unknown that raises stress levels. Getting staff motivated to support the changes that are to be implemented is therefo

Staff, their managers and senior managers are all motivated by similar things. They do not, however, necessarily place them in the same order of importance. These ‘motivators’ include pride, happiness, responsibility, recognition, security, success, and, of course, money. The trick in successfully managing change and getting the

you.

Pride: “Follow

performance of your staff can drop significantly if they feel unappreciated or taken for granted. Staff that take pride and some level of enjoyment in their work and working environment are much more likely to perform well and provide new ideas for improving the organization’s own well being.

encouraged can make all the difference in helping everyone get through the day. A caring

individuals then they will be more likely to care about the employer’s interests.

Taking the approach of ‘treating others as we would wish to be treated ourselves’ is the ‘golden rule’ for strengthening and improving relationships between everyone at all levels in the organization.

78

Responsibility: “It is amazing what you can accomplish if you do not care who gets the credit“-Harry Truman

Giving people more responsibility is a demonstration of trust. If people feel they are trusted they

s market profile, corporate reputation and product quality. A useful exercise here is, following a presentation on why change is being undertaken, to ask staff, individually or in small

s a vision for the company/organization and also for themselves as individuals. Good questions to get things going are: What or where are you now? What or where

(Ask teams to apply these questions to the company as well as themselves)

ut where ideas overlap and demonstrate where common ground exists and can be strengthened. Use the ‘Change Management Matrix’ at the end of this guide to

for their individual contributions? To ignore this important motivator would be a serious error; and

any to do business with.

r

nroe

or

usually respond by taking greater care and pride in their work. Is management prepared to delegate responsibility and provide the back-up? Will management then take responsibility when things go wrong?–Or does it have a blame culture?Success: “Success in your life is not a single achievement. It’s all that you do with others and for others”.

We all have slightly different views on what constitutes success. But there can often be common factors such a

focus groups, what they have a

would you like to be?

A facilitated discussion can tease o

reveal the current status within your organization.

Recognition: When the leader’s work is done, the people say ‘We did it ourselves’–Lau Tzu

Are your staff valued and made to feel part of the organization’s success? Even when times are hard? When was the last time you took time out to say ‘thank you’ to staff at all levels of the organization

could result in losing the support you need when implementing change.

An effective approach employers can take is to treat its employees as its most important and valued customers. The employer is providing employment activity and wages; the employees purchase these with their effort. The spin-off is that the external customers benefit from a more highly motivated comp

Security: “You do not lead people by hitting them over the head – that’s assault, not leadership”-Eisenhower

Whenever change is being implemented the fear factor can set in. This can be the fear of change itself and its consequences such as the possible loss of job security or loss of responsibility or control. Continuous, honest and open communication is essential here. Change can take people out of thei‘comfort zone’ and raise their stress levels. The challenge is to demonstrate that the new ‘zone’ is even more comfortable and secure – or at least it will be once the initial short-term discomfort of implementing change has been overcome.

Money: “I am not interested in money. I just want to be wonderful” Marilyn Mo

Money is of course an important motivator. Under-paid staffs feel under-valued and are less likely to respond positively to change–especially if it means more effort for little or no increase in either pay

79

recognition–or both! Many, especially those with captivating outside interests, ‘work to live rather than live to work’, but we need to recognize that most full-time employees spend more of their waking hours at work than they spend on pursuing leisure interests or with their families. This means

witching off equipment when not in use – especially if the shareholders rather than their own pay packets benefit from cost-saving measures. However,

Staff suggestion schemes, with financial rewards for employees, need to be handled sensitively. Make e of costs savings (subject

“More business is lost every year through neglect than through any other cause” -Jim Cathcart

the organization’s own employees that have the information, intuition, ideas and instincts necessary for implementing change effectively. When given the capability and the

savings and efficiency improvements.

that providing the other six motivators are equally as important as paying a fair wage for a fair job of work done.

If your company is already highly profitable, staff may not have a strong inclination to reduce operating or production costs by, for example, s

informing staff of the environmental impacts of the organization (for example carbon dioxide emissions or waste volumes going to landfill) and how staff have an important role in reducing these, can be an effective motivator – especially as environmental awareness continues to increase amongst the general population. The positive feedback to staff of reductions in harmful environmental impacts can increase this motivation (“Haven’t we done well, can we keep this up and do better?”).

sure you do deliver the rewards that you promise. Better still, let a percentagto a capped limit perhaps) go towards supporting a local charitable cause that has been chosen by staff. This can motivate those who are not unduly concerned with environmental issues, but who may have local community interests.

Finally, management and staff alike need to remember that, in the words of Henry Ford,

“It is not the employer who pays wages; he only handles the money. It is the product that pays wages”.

Factor 3: Capacity for change (resources)

Capacity here means resources and these are staff time and, where appropriate, money. To implement change you need to identify the resources that will be required before you proceed and make sure these are provided. It is usually

opportunity to participate in improvement programmes, it is employees who often can find the greatest cost

Factor 4: Action

“We are what we repeatedly do. Excellence then, is not an act, but a habit”-Aristotle

Having got the other three factors in place (pressure, a clear shared vision and capacity) you now have to implement the planned change.

“Energy is equal to desire and purpose”-Sheryl Adams

Keeping up momentum is what matters here and implementing the Plan – Do - Check – Act management methodology is essential to maintaining the effectiveness and appropriateness of the

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change. Good monitoring and analysis of the resulting data is essential. Make sure you continue to keep employees informed of progress - the ‘Change Management Matrix’ outlined below this guide can help you do this.

There are other useful guides or tools on the “BUSINESS” page of www.oursouthwest.com that complement this guide. These include two further parts to this guide:

Part two-“Worst practice guide on energy & environmental management” who can help you identify where your own organization might be getting it wrong (!)

Part three-“Influencing senior management–Getting it wrong”–essential reading for avoiding the pitfalls when seeking top level commitment. The Change Management Matrix given below will help you plot progress and move forward methodically and effectively. Written by Phil Harding, Head of sustainable business, and government office for the South West, 2003. © Government Office for the South West, 2004

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Change management matrix Plot in each column where the organization stands and then try to make progress by moving up the matrix in a straight horizontal line, targeting the weaker areas first.

Action (and

Awareness>Interest>Desire>Action

Pressure for change Clear shared vision Capacity (resources) performance)

3

-Policy and action plan

3

-High level of

3

-Resources (staff and

3

in place

-Regular reviews

-Active commitment from top management

awareness and support at all levels

-Staff highly motivated

funding) routinely committed

-Cost savings re-invested for further improvements

and embedded throughout the organization

-Monitoring and reporting of progress

-Action being taken

2

-Policy agreed and communicated to all staff

2

-Representatives from all levels of management chain involved in planning process and drawing up action plan(s)

-All staff given opportunity to make an input

2

-Key staff working on plans and projects.

-Staffing and funding needs identified and resources becoming available

2

-Wider engagement across the organization

-‘Low-cost’ and more ‘no-cost’ measures implemented

1

-Board level “champion” appointed

-Drafting of policy

1

-Key and supportive staff identified for assisting in drafting policy, taking action, and driving the process

1

-“Champion” appointed at middle management level (to support the Board’s “Champion”).

-Training & development needs assessment

1

-Commencement of action at some levels of the organization.

-Some ‘no-cost’ measures implemented

0

-No explicit policy

‘Business as usual’, no forward planning

-Lack of consistent leadership & responsibility (buck-passing)

0

-De-motivated staff kept in the dark

-No communication.

-General mistrust

0

-No investment. High stress levels in over-worked and under-valued staff

-No training & development

0

-Zero action

(or limited to crisis management)

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Appendix 5: Managing Change (Craig Dobbins, Michael Boehlje, Alan Miller, Allan Gray, and Cole Ehmke, Center for Food and

)

C tion a ue to o ace. W ge is not new to farming, a new type of change is now occurring. In the past, changes in production agriculture were related to the technology used in the production s tem. Machines replaced animal power and human labour. As machines increased in size and co ng d ed. Today, p agriculture allo to be dev ts applie rates, based on lo ield. New uced, making significant contributions to in mal metho lling pests are being developed. Herbicides provide an alternativ ical weed c secticides and fungicides provide alternatives for controlling insects and plant diseases. These changes have re to focu to pr g thi many have s ng eff uction system netics, , pest control, and fertility technologies con portan roduct ture. But farmers today also face a new s natu rkets is changing. ge open access markets in which assured a any time and laces are being transformed. In their pl tiated product markets are developing. Access to these new markets is not assured.

While production of products for these differentiated product markets often offer premiums relative to c products, pr n con contract. Th ay impose additional dut additi ards o ocess se markets may result in a closer wo with or a p se changes are opening up new product ies and ne doing busin set of changes is requiring farmers to ask, “What is the right thing succeed in th ry, farmers must be farm business managers, and this requires new sk on–a general management orientation rather than a pr or plant management orientation.

Part of this se mponents mfa anager to e with e. These include vision, s resourc n plan ( f one of these components is absent, it is u the business anagers will successfu he complex changes that are occurring.

If ion will result. Without vision, the overall goal or purpose for the activities lacking. Without vision, the business may be operating like the hapless pilot who announced to a

cabin full of passengers, "I'm not exactly sure of our destination, but we have a strong tail wind and we should get there in record time."

If skills are lacking, anxiety will result. This may be the state of more than a few farm managers today. While farm managers have strong production skills, what is needed today are business skills–skills in dealing with finance, marketing, managing people, relationships and providing organizational leadership.

Agricultural Business Purdue University

hanges in produc griculture contin ccur at a rapid p hile chan

ysmplexity, monitorieloped and inpu

introd

evices were addd at variable recision ws yield maps

genetics are continuallycation in the fcreased crop yields and more efficient ani production. New

e to mechands for controontrol methods. In

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s on the best way icient prodtinue to be an imet of changes. The everyone is

oduce or on “doins. Changes in ge

ngs right.” And machineryion agricult part of today's p

re of product maccess at

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trolled by n the production pran input supplierw ways of

ese contracts m. Producing in theies rocessor. Theess. Thise 21st centuto do?” To

ills and a new orientatioduction

new orientation is recognizirm business m

ng that veral important co complex changFigure 1). I

ust be present for the components successfully cop

kills, incentives, nlikely that

vision is missing, confus

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is

83

Incentives must be clear. This helps provide motivation. Without strong clear incentives, there will be k enough for the business to survive. If resources are not

ness survival.

rgent tasks, regardless of importance, have been completed. In spite of good intentions, we may not get to important tasks until they become urgent.

only gradual change, which might not be quicpresent, there will be frustration. And finally, if there is not an action plan, false started will delay if not prevent the progress necessary for busi

Figure 1: Components needed to manage complex change

VISION-SKILLS-INCENTIVES-RESOURCES-ACTION-PLAN-CHANGE SKILLS-INCENTIVES-RESOURCES-ACTION-PLAN-CONFUSION VISION-INCENTIVES-RESOURCES-ACTION-PLAN-ANXIETY VISION–SKILLS-RESOURCES-ACTION-PLAN-GRADUAL CHANGE VISION-SKILLS-INCENTIVES-ACTION-PLAN-FRUSTRATION VISION-SKILLS-INCENTIVES-RESOURCES-FALSE STARTS Copyright 1987, Enterprise Corp. Ltd Another part of this new orientation is recognizing that time spent managing is as important as time spent doing urgent tasks that occur on a daily basis. Because the labour force and the management team of the farm business include many of the same people, the farm business manager performs many tasks. Some of these tasks are important, while others may not be important. Some of the tasks are urgent. There seems to always be an over abundance of urgent tasks–things that must be given attention because the deadline is rapidly approaching or maybe even past, however, tasks are not urgent. Human nature being what it is, tasks that are not urgent, even though they may be important, are often put off until u

Figure 2 illustrates some of the possible activities that consume a farm business manager's time. Many managers find much of their time being used by activities in Quadrant I. It will never be possible to eliminate all crises, but with better planning or more time spent planning, it may be possible to reduce the number emergencies. But where will this additional time come from? An obvious answer is time spent in Quadrant IV. However, it would also be possible to get some time from Quadrant III. While these things are urgent (usually for someone else), they are not important. It is important to seriously ask why we need to do these things.

Figure 2: Allocation of tasks based on urgency and importance

Urgent Not Urgent

I

Crisis

II

Preparation

Important Deadline-driven projects, meetings, preparations Values clarification, planning

Relationship building

True re-creation

Pressing problems Prevention

Empowerment

III

Many proximate pressing matters

Many popular activities

IV

"Escape" activities

Irrelevant mail

Excessive TV

Not Important

Interruptions, some phone calls

Some mail, some reports

Some meetings

Trivia, busywork

Some phone calls

Time wasters

84

The material that is part of the modules on strategy challenges the reader to address the changes taking place in farming and then develop a strategy for taking advantage of the many opportunities that these changes present. For most farm business managers, this is not an urgent activity, but it is important. The environment surrounding production agriculture continues changing at a rapid rate. To capitalize on these changes, farm business managers need to give careful thought to what the business

desired outcome will be achieved. will become and how the changes needed to reach the

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Appendix 6: Ten tools for managing change in national agricultural research organizations (S. Huntington Hobbs)

Copyright ©1999 by the International Service for National Agricultural Research (ISNAR). ISNAR encourages the fair use of this material. Proper citation is requested. The action plan for managing change in national agricultural research organizations (NARO) in developing countries consists of a programme of five phases. Figure 1 shows how each phase is supported by two tools that help NARO managers complete the necessary tasks to move forward with the change process. The 10 tools for change are a combination of proven tools from the management sciences (e.g., strategic planning) and tools that ISNAR has developed or adapted specifically for NARO (e.g., diagnostic studies).

Phase 1: Recognizing the need for change A change process begins with awareness among management that NARO may have to change. To recognize this, managers have to be aware of the problems that NARO may have and of the changes occurring in its environment. The change checklist (tool A) provides a quick inventory of potential and typical NARO problems. Another part of recognizing the need for change is to know what the different stakeholders expect from the organization. The stakeholder analysis (tool B) helps provide this information.

Phase 2: Creating pressure for change Internal and external stakeholders can press for change, but a crisis can also create this pressure. However, while pressure is necessary for initiating change, pressure alone doesn’t make change happen. The NARO manager has to translate this pressure into an internal sense of urgency for change. The crisis awareness tool (tool C) guides the manager on how a crisis can be constructively used to create this urgency.

A change team (tool D) provides continuity and guidance to the change process.

Phase 3: Deciding what to change The NARO must decide whether the organization has to change, and if so, what it should change. A diagnostic study (tool E) helps identify what has to be changed.

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Phases and tools for managing change in NARO

Strategic planning (tool F) guides NARO on how it must change.

Phase 4: Creating the conditions for implementation For successful change, all stakeholders must be involved in negotiating the proposed changes. Stakeholders who feel particularly affected by the intended changes will seek to influence them in one way or another. The negotiation cycle (tool G) identifies the key steps to follow in this negotiation

ge the new

erstandings in these

g this is through transition rituals and symbols, which tell all concerned that the old has finished and the new has begun. “Victories” need to be celebrated to indicate that the change process is continuing and achieving important milestones. Experience shows that change can be very confusing and that the process has to be handled very carefully. Different situations require different solutions, so the phases outlined here, in particular phases 2–4, should not be thought of as strictly linear. Rather, they serve as markers or reminders of the various processes that need to be performed to manage change successfully.

Challenges of managing change in developing-country NARO Managing change is a challenge in every organization, but it presents particularly difficult problems for developing country NARO for a number of reasons.

The public-sector orientation of NARO

process.

Probably the single most important reason that people resist change is the fear of what the change might bring. These fears can be mapped on a fear map (tool H), which allows management to prepare specific responses to specific concerns related to organizational change.

Phase 5: Achieving chanTo achieve change, conflicts have to be settled. The responsibility chart (tool I) helps clarifyrelationships and provides an easy mechanism for identifying any misundrelationships.

Signalling Success (tool J) is about informing stakeholders that changes are occurring and that the change process is on the right track. The easiest way of signallin

87

Developing-country NARO is typically public-sector organizations, serving multiple groups of clients and facing a multitude of objectives directed towards improving the welfare of people. Many NARO find it difficult to set priorities and decide whether it is better to do research on, for example, how to increase yields or on how to lower production costs. Since the decisions are difficult and the choices often painful, NARO often grow to embrace multiple tasks instead of choosing those that are most relevant and urgent. Also, as there are few performance indicators, measuring performance is much more difficult in the public sector than in the private sector.

Developing-country circumstances

In many developing countries, management is a very scarce—if not the scarcest—resource. While in industrialized countries new managers can be readily recruited, in a developing country new managers must often first be trained. An additional problem is that in developing countries, managers spend a significant amount of time on no managerial issues to compensate for deficiencies elsewhere in the

rs can spend many hours ensuring that their institute has these supplies are available on the

m.

otes, advertises, and transfers the technology to farmers. In developing countries, public-

formed and receptive farmers sector NARO in developing countries typically faces significant

about the possibility

Research is a search to know the unknown. Research on plants and animals is governed by the time ycles. The search for the unknown characteristics of plant and

animal life is a laborious, meticulous, and time-consuming process. This has many implications for

local economy. For example, NARO manageenough basic supplies such as fuel and spare parts. And even ifmarket, the operational budget is not always sufficient to purchase the

More complex research task

In developed countries, public-sector agricultural research may play an important role in generating technology. But it is essentially the private sector that bundles research into technological packages and promsector NARO are expected to take on most of these tasks.

Private-sector organizations in developed countries often have plenty of resources and access to established channels of communication to user groups. They deal with inwith purchasing power. Public-resource scarcity and has to develop their own linkages to user groups. They must work with farmers who have little purchasing power and limited knowledge of modern agriculture. They therefore face much more comprehensive and difficult challenges than their counterparts in the developed world.

Agricultural traditions

People have farmed for several thousand years, with changes in agricultural practices evolving very slowly. The accumulated experience of generations and the risks inherent in farming have made the agricultural sector a traditional, conservative environment. In particular poor small-scale farmers, who form the majority of the large farming community in the developing world, tend to be averse to risk because tradition has taught them what works and what doesn’t. Also, they are not in the position to take any risks because their resources are few and their situation is precarious. These attitudes and concerns affect developing country NARO and make them cautious and patientof change.

Nature of research

clock of these plants’ and animals’ life c

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NARO: the completion of research initiatives is often measured in years; it is difficult to measure performance when the impact of the research may be years down the road; it is relatively easy to hide behind the excuse that research takes time; and it may be difficult to show the effects of organizational change on the organization and on research.

Donor dependence

Most developing-country NARO were created in the last 50 years. Most of them have received inter-d establishment, and many still depend on donor funding to some

extent. Many donor organizations recognize the importance of strengthening the agricultural sector in

countries seem to have a new leader every few years. Such frequent changes in leadership are a poor basis for a firm direction for an organization. Also, as the leadership

On the other hand, in some countries, particularly those that have had the same president or prime

ined. Many have obtained higher degrees in developed countries. They share

training and a conviction in the scientific method and, in that sense, have a common orientation and

dentity and sense of self-worth is heavily tied to his or her professional career. This means that potential changes must be scrutinized closely to make sure that they do not threaten the

gnificant personal achievements and well-being.

national support for their creation an

developing countries, and some developing-country governments have found it expedient or necessary to rely on external sources to finance their agricultural research. In some African countries, the share of external financing for agricultural research can be 80% or more of the budget. And most NAROs are actively seeking how to get their share of donor resources. Thus, donors become stakeholders of NAROs but with possibly very different perspectives than the immediate stakeholders.

Changes in NARO leadership

Many NAROs in developing

is seen as transient and not really worthy of support because it may soon been replaced, it is much more difficult to achieve organizational change. Indeed, the change effort itself often changes, as new leaders usually arrive with new ideas.

minister for a decade or more, NAROs have been headed by the same director for as many years. This other extreme is also hardly conducive to organizational change, because these leaders typically prefer to maintain the status quo.

Organizational culture in NARO

NARO researchers all over the world have much in common. Because of the expertise required, all ofthem are university tra

vocabulary. Many senior-and even middle-level NARO managers get opportunities for international travel and for meeting colleagues from other countries, which reinforces a sense of common purpose and destiny.

Most researchers have achieved a level of education, travel, and even income that, for a variety of reasons, was often denied to their parents. The world of the NARO researcher seems to be one of upward social mobility. This has enormous implications for any change effort, because the re-searcher’s i

researcher’s very si

General lessons in managing change

Several lessons can be drawn from ISNAR’s experience in strengthening developing-country NAROs.

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a. Change takes time Change can take a long time because the change process must go through a series of phases that build on each other. Skipping phases may create an illusion of speed, but the result is rarely satisfactory. While the phases may be carried out in a different order, experience dictates that each phase is indispensable in the change process. It is very difficult to give a time frame for the change process.

s on many factors, such as the extent to which the organization has to change, the number of people involved, the strength of the NARO, past experiences with change, resources

Change can only take place with people who are committed to improving the NARO. This commit-r from the most senior managers. If they do not explicitly and openly

support the proposed changes, then the result is usually poor. This is also true at the micro level of a

However, in most cases it would be unwise to advise a developing-country NARO to have a NAROs are too weak to withstand the stress of a major internal

also usually function in countries with very weak labour markets. This means that if a

blems arise especially when the planned changes are being implemented. Internal and external stakeholders can react in quite different

e result is that along with the intended objectives, there will be

The duration depend

available, and cultural practices. A rule of thumb, based on ISNAR’s experiences in strengthening NARO, is that for fairly comprehensive changes one year should be enough to plan the change, another year to begin making the changes, and a third year to consolidate the changes and to begin to see improvements in performance. By the fourth year, there should be evident improvements in performance. NARO that take longer than four years to see the results of relatively major changes may need to seriously reconsider the decisions and processes followed.

b. Change requires commitment

ment has to come in particula

unit or department—the commitment of the leader of that unit is essential.

c. Change can be disruptive Change can create tension with the existing order of things. Managers can use this tension to motivate people to think creatively to work toward a solution.

d. Change should be as much as necessary and as little as possible The management literature of the 1990s is full of advice on the need for total change. Best-selling titles emphasize that even though change disrupts, this disruption is necessary to build the new corporations required by the increasingly global nature of the economy.

“management revolution.” Most turnaround. To advise an organization to “thrive on chaos” is appropriate only when its accounting and information systems work well; it would be suicidal for organizations where the accounts, plans, and information flows are already disorganized.

Overly ambitious changes may also create staffing problems. NAROs, which typically operate in the public sector, generally cannot hire or lay off staff independently of the government entity they be-long to. Theymajor change in the NARO requires some new or specialized staff, the NARO usually faces a significant problem as the local markets don’t always offer these skills. The NARO then has to identify suitable junior staff, find financial support for training, send them for specialization, and hope they will return to the organization.

e. Change often has unintended consequences Planning change may be the easiest part of the change process. Pro

and unpredictable ways to change. Th

90

unintended consequences of the proposed changes. While not all of these unintended consequences

ain ople involved, the time it takes to complete the change process, and

RO that is tempted to ask, “Can we afford this change?” should also ask itself, “Can we afford to not change?” Famous 19th

rles Darwin would have agreed, “Change, or become extinct.”

Peters, T. 1987. Thriving on Chaos: A Handbook for a Management Revolution. New York, USA:

are necessarily bad, they will affect the final outcome of the change process.

f. Change requires careful management The pitfalls in managing change in NAROs are many. Indeed, avoiding these pitfalls is one of the main reasons for this publication. As organizational change is often a journey into the unknown, it can create a great deal of uncertainty among staff. A well-informed manager, capable of seeing both the pitfalls and the opportunities in a change process, will be more successful in leading the NARO towards improved performance.

Sometimes the entire organization has to change, sometimes only one unit (e.g., the planning department or the training office) or a particular process (e.g., financial management or staff evaluation). While managing change at the micro-level is seen as fairly easy, the change process is very similar whether one is trying to change a whole NARO, a unit, or a process. The mdifferences are the number of pethe costs.

While the same change process can be applied to different situations, it is very difficult to provide any guidance as to the probable costs of the change process. However, a NA

century English naturalist Cha

Reference

Harper & Row. Hammer, M. and J. Champy. 1993. Reengineering the Corporation: A Manifesto for Busines

Revolution. New York, USA: Harper Business. Phase 1. Recognizing the Need for Change

One of the main reasons why performance does not seem to improve in many NAROs is that the managers are often unaware of the need for change. Some managers are comfortable doing what they have always done; others have never worked in an organization where performance was higher and so

91

they are unaware of any shortcomings. Some may not realize that their NARO is in serious problems, while other managers may be aware of the problems but do not know how to deal with them. Organizations often change because the environment they work in is changing, and the organization

, but with severe consequences on the domestic market, as local

Democratization: Throughout the world, governments and their organizations, such as NAROs, are

reducing their size and expenditure. In many cases this has led to a drop in support to governmental organi-

ding public-sector agricultural research. The trend toward privatization also puts me

cou cluded agricultural research and technology transfer. This means that NARS and tive.

innovation may come from discoveries outside the ricultural sector. There is a market for technology coming from the information sciences and bio-

sciences. Meanwhile, research is rapidly becoming more global in nature. Research organizations seek to establish more cross border alliances, and the worldwide scientific community is increasingly better connected.

New research technologies. New technologies, such as biotechnology, are changing the nature of research and the results that can be achieved through research. Equally significant, new technologies have repercussions in terms of property rights, scale of investment, speed of innovation, and equity in accessibility.

New communication technologies: New communication technologies, including electronic mail and the Internet, are increasing access to and dissemination of information. Moreover, they are changing the way researchers collaborate and the location of some types of research.

Declining budgets: A NARO that sees its budget decline every year is losing friends and support. A ARO with a declining budget for three consecutive years is probably in urgent need of change.

has to adjust to the new circumstances. This chapter first looks at some of the changes in the global environment that can affect NAROs.

Liberalization of international trade: Trade liberalization may lead to increased competition in agricultural exports for some developing countries. It may make imported food cheaper, to the poten-tial benefit of urban consumersfarmers may not be able to compete with cheap imported food.

Redefinition of political and national boundaries: Some countries, such as the former Soviet Union, are dividing into smaller nations, and others are forging stronger regional alliances, such as those in southern Africa. This will have an impact on political and donor support to developing countries and on these countries’ access to specific markets.

becoming more accountable to citizens. This requires greater transparency in management of organizations.

Reduction of size of governments and increasing privatization: Many governments are

zations, inclupressure on governments to pass the responsibility for certain tasks to the private sector. In so

ntries this has inNAROs will have to learn to become leaner and to operate more from a private-sector perspec

Globalization of research: Agricultural ag

N

Loss of good staff: Above-average staff turnover can be a strong signal that all is not well in the organization. While it is inevitable that staffs join and leave the organization from time to time, a

92

noticeable erosion of good staff is a serious warning. If staff leave for jobs with similar pay and benefits, the signals are even more urgent.

Poor staff morale: The greatest asset of an agricultural researcher is his or her knowledge, but it is also a weakness. Research on farm work or other agriculture-related jobs is in the decline of support to the agricultural sector. Years of overproduction of the agricultural sector in the developed world

Increasing environmental concerns: Agricultural research is facing increasing pressure to look into

ore efficient ways of organizing and managing their work. New management practices have led to flatter organizational structures, more

ge checklist The first tool for managing change in NAROs is a simple checklist. The checklist summarizes the

Internal signs: The following are signs from within the NARO that it may have to change, public

re all signs that the NARO must be renewed.

re for their other job (e.g., teaching). Researchers may be more occupied with moonlighting as private consultants. When staffs are no longer held accountable for their work, or

staff

has had a negative impact on the political support for agriculture. As most developed countries have had food surpluses consistently every year for many years, their concern for food scarcity and food production in the developing countries is waning.

issues of sustainable agriculture.

New management practices. Trends toward globalization, liberalization of trade, and new commu-nication technologies are pushing organizations to find m

decision-making power for staff, and greater reliance on team work.

Tool A: Chan

typical problems that can be found in a NARO and thus provides a NARO leader with a quick inven-tory of issues that signal whether his or her organization has to change. The checklist can be divided into warning signs that come from within the NARO and from outside. Any one of the items on the list can justify the need for change. Naturally the greater the number of items that apply, the greater the urgency for change.

sector, there are few job opportunities for an agricultural scientist, particularly in countries with weak labour markets. In some developing countries, researchers are increasingly finding jobs in the private sector. But competition for these few jobs is tough. This situation can contribute to poor staff morale. Absenteeism, poor performance, frequent complaints, and possibly even labour unrest or sabotage of equipment a

Low commitment from staff to work for the NARO: In some NAROs the commitment and dis-cipline to work for the organization is very poor. Typical overt signs of this are staff arriving late and leaving early. If staff are poorly paid, they may be forced to hold two jobs and use part of their NARO time to prepa

when they see no point in doing any serious work, or when everybody else in the organization seems to do the same, commitment will be low, in which case staff may decide to stop putting in any effort for the NARO altogether.

Limited control over who works for the organization: Most public-sector NARO directors have little or no control over who works for them, because the allotment, assignment, and transfer of is usually the responsibility of another civil-service department or unit. A NARO leader cannot be expected to build a coherent team under such conditions.

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Poor record-keeping: A well-functioning NARO maintains good records of its research results and its accounts. Research results are written up in a timely manner, are shared with colleagues, and are stored in such a way that others can easily access them. Similarly, in a well-functioning NARO,

ties for the staff or operating resources available.

en lights, piles of files obstructing the hallways, and unusable bath-room facilities. While the problem is made worse by budgetary cuts, repairs are often relatively easy

organization, a NARO director should lead the organization for at least three years and no more than eight. If the NARO has changed

e past six years or so, the NARO will have a problem determining a

s sometimes seem over occupied with getting assignments that offer daily allowances for services rendered. Such per diems often come on top of regular salaries, providing an

In every business or service, customers will complain. The question is how much they complain, whether the organization heeds these complaints, and what it does to

to its clients, because they are likely to be defective.

records on staff, equipment, and financial resources are up to date and reliable. NAROs with poor track record-keeping need to review the situation.

“Ghost-town” research stations: Some NAROs have up-country research facilities without any re-search activity or research staff. This is often a sign that there is no incentive for researchers to work or live there, or that the NARO has too many facili

Poorly maintained facilities: Typical examples of dilapidated facilities are walls in need of paint, broken doors and windows, brok

and inexpensive to carry out. Poorly maintained facilities usually point to a lack of concern of man-agement and staff for the organization.

Untimely changes in leadership: To contribute optimally to the

leaders every two years for thclear direction and vision. If a poorly performing NARO has been led by the same director for over eight years, it may be time for a new leader with a fresh look at the organization. In either case, the NARO may need to review its governance policy (e.g., the organization of its board of directors) to ensure that its leaders are available for an appropriate time.

Per diem disease: Staff

incentive for staff to pursue per diem jobs with priority.

External signs: External signs that the NARO may have to change does not mean that the NARO is doing something wrong. Even if the NARO manages most things right, some problems stem from a particularly difficult environment. Even so, external warning signs are valid, and change should be considered.

Low adoption of recommendations made by the NARO: The clearest indication that a research organization is successful is when its clients (in particular farmers) achieve good results with the NARO’s products and services. If products have a consistently low adoption rate, the organization clearly faces a problem that must be addressed. A major problem for many NAROs, however, is that they often have very weak monitoring systems for assessing whether their output is received and ap-plied successfully by clients.

Demands for better service:

resolve them. For example, demands from farmers, farmers’ organizations, or politicians speaking on behalf of farmers for better service indicate that linkages to farmers must be improved. At the same time, however, a NARO that receives no feedback from the farming community or its representatives should take a hard look at its channels of communication

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A poor or declining reputation: A poor reputation is clearly a sign of trouble. The problem is that staffs often don’t seem to notice or even worry that the organization’s reputation is low. They may dismiss a supposedly poor reputation as envy on the part of the critics or by saying that outsiders don’t know the organization well enough to know the facts. While this may be true, it cannot be denied that if an organization has an image problem, then it has to do something about it (see box 1).

y or an institute already exists for this task.

ort conditional are a sign that NAROs should heed.

The rise of competitors: The most dramatic result of a poor reputation is that other organizations are created to do the same, or a very similar, job. A typical example is the creation of a “foundation” for agricultural research, or a university moving more heavily into agricultural research, when a ministr

Donors setting stringent conditions for their support: Donors sometimes require NAROs to meet strict conditions for their support, such as reporting at regular intervals on the progress and expenditures made in projects. NAROs may find fulfilling these requirements time-consuming and laborious, but donors making their supp

Phase 1. Recognizing the need for change Internal signs that change may be necessary: External signs that change may be necessary:

Declining budgets �Low adoption of recommendations made by the

Loss of good staff NARO

Poor staff morale �Demands for better service

Low commitment from staff to work for the NARO �A poor or declining reputation

Untimely changes in leadership

Limited control over who works for the organization �The rise of competitors

Poor record-keeping �Donors setting stringent conditions for their

"Ghost-town” research stations support

Poorly maintained facilities

Per diem disease

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ToSta s, those that are or could be af-fec shows some of the stakeholders and the lders is crucial for the success of the NARO, bec the NARO or provide the necessary resources and political support for it t

By answering the following five questions, a NARO can determ whether it satisfies its akeholders: Who are the NARO’s stakeholders? What do they want from the NARO? What criteria do they use to evaluate the NARO? How does the NARO perform against these criteria? How can the NARO make its stakeholders effective allies?

Table 2 helps a NARO establish how well it meets the criteria that stakeholders use to evaluate it. With the stakeholder analysis, the NARO manager can identify areas of concern and the things that the organization may need to do differently.

ol B: Stakeholder analysis keholders are the individuals or organizations that a NARO serveted by the NARO, or those that can affect the NARO. Table 1 functions they represent for the NARO. Satisfying stakeho

ause they produce or use the outputs of o function.

ine st

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Table 1 NARO stakeholders and their main functions

Stakeholder Main functions

Policymakers -authorize existence of the NARO

-provide mission

-provide resources

NARO managers -define strategy

-provide leadership

-plan and manage research programmes

-prepare and justify budget requests

Researchers -plan and do research

-inform others of research findings

Research disseminators -disseminate knowledge and research findings

-provide feedback to researchers

Farmers -adopt and adapt research findings

-implement new technologies

Consumers -demand farm produce with certain attributes

-contribute taxes to government

Nongovernmental organizations -can provide access and support to specific groups of farmers

International agricultural research organizations

-can provide training and guidance and access to germ plasm and technology

an provide access to resources, technology, and markets Agro industry -c

Donors can provide resources and guidance

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Table 2.Stakeholder analysis

Stakeholder What do stakeho ers

the NARO? Typical criteria by which

aluates

NARO’s performance

How to turn stakeholders into effective allies

ld want from stakeholder ev

Policymakers Effective and efficiagricultural knowledge and technology to user

-Farm yields and total production

-Pressure from user groups

Support from this group is vital to NARO. This group is possibly unaware of the contribution of NARO. Link support for change to policy objectives.

ent delivery of

groups

NARO car career opportu

rce to manag

promotion -Key role to play in change process. May feel threatened by change. -Normally overburdened with work and will need strong justification for participating in change process.

nd in

rtunities to do

arch peer reco funding for projects

ay present ssues

of job security and unities

search.

Research

disseminators

reliable technology and information

participation in setting the research agenda

technology and Information

participation of

disseminators in research planning

Will support change that increases the farmers’ voice in research planning but may resist efforts that threaten their role as the key contact with farmers.

managers resou

nities Public relations

e opportunities

size of budget

Researchers job security a come job availability, salary, Change m

oppo

rese

gnition

benefits conflict between i

journal publications improved opportto do re

farmer adoption of

Farmers improved technologies

removal of critical production bottlenecks

higher agricultural

Income

higher yields

Only organized groups may be able to influence change process in NARO, organized groups may benefit more than others.

Consumers

sufficient supply of food and other agricultural products low prices / good quality

safe food

availability of agricultural produce retail food prices

absence of reports of

food contamination

Little or no awareness of role of NARO. However, in a food crisis situation (e.g., scarcity, high prices, contamination), NARO has opportunity to present itself as part of the solution.

Non governmental

organizations

delivery of services to specific target groups

collaboration with NGO

actual delivery of specific services acceptance of

objectives of the NGO

Will support or oppose a change process in the NARO, depending on overlap between objectives of the change and objectives of the NGO.

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International

agricultural

centres

d

t rmers scientific rigor in research activities

ci der e

Will generally support a change

Process in a NARO. Pma

so t N

Agro industry

d industry products help assure a dependable supply of agricultural products

technological innovations, ideas,

knowledge

government support and

icultural products at moderate or low cost supply of technological innovations, ideas, knowledge

Mchange in a NARpband increased influence iai o dm

oppose an public-sector a

Donors

ragricultural development delivery of specific products or services to specific groups transparency and accountability in the use of donor f

rs’ income field reports and

ting

cUp significant financial

research

elivery of agricultural

echnology to fa

ollaboration opportunity to test mproved technologies in a winvironment

information on yields and total production use of their methods and germplasm scientific reports

implementation of joint projects

otential strong allies but y not fully

hare NARO objectives, r have as much access

o resources as theARO may expect.

ay strongly support

evelop market for agro

recommendations promoting agro industry products

availability of agr

O if erceives increased enefit to the industry,

n setting research genda. Some Agro

ndustries may prefer to own research. Some ay

yctivity in principle.

hange and potential sually strong roponents of sources of

esearch contribution to

unds

data on yields, production, and farme

formal evaluations financial and audireports

support. May set stringent conditions for their support.

Recommended reading University of Minnesota and International Union of Forestry Research Organ nning

and Managing Forestry Research. Module 2.2. Identifying Stakeholders aVienna, Austri

izations. 1994. Pland their Concerns.

a: IUFRO.

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Phase 2 Creating pressure for change

inister of agriculturegets f

Change usually ppen without pressure. For exam a new m may demand more effective research results; the minis ce may cut bud or research; farmers’ organizations may call for better service to farmers; or donors may encourage the NARO to address new issues. Even NARO managers themselves who recognize that there’s a do things differently may p

It may ound con pres a pos they are concerned a rms e the N changing. Furthermore, sta d—e mplain—are potential allies later on in the change process.

While pressure is necessary to initiate change, pressure alone doesn’t make change happen. NARO ressure into an internal sense of urgency for change. Pressure for change

NA often on or may ignore it. Creating an internal sense of urgency means nvincing enough people that maintaining the status quo is more dangerous than launching into the

unknown. The change effort therefore requires the active cooperation of many people. Without this sense of urgency and motivation, the effort is likely to be wasted.

Many change efforts fail to complete even the first phase. Sometimes, it seems that even though meetings are being held regularly, more consultants are brought in, and memos and plans are issued on a regular basis, the change effort is doomed from the start. This happens when the stakeholders’ pressure for change is not strong, consistent, or continuous enough. The NARO makes a feeble attempt at changing but soon resorts back to business as usual and the initial pressure for change disappears.

Senior managers may recognize the need for change but overestimate how successful they have been at instilling a sense of urgency in staff. Management may also lose patience and move forward with the change process too quickly, finding out soon that they have moved ahead of a parade that few have joined.

doesn’t ha ple, try of finan

n urgent need to ress for change.

tradictory, but stakeholdersbout the NARO; it confikeholders who are concerne

s suring for change is that they believven if they only co

itive signal. It showsARO is worth

managers have to translate pis stakeholders saying, “You have to change.” Achieving a sense of urgency is the members of the

RO saying, “We have to change.” Even though the pressure may be there, NARO staffs ’t understand the urgencyd

co

100

Experience shows that an excellent time to begin a change process is when a new leader has been appointed who can provide a focus for change at different levels. If the change concerns the entire NARO, the director must lead the change. If a unit has to change, the unit manager should be in charge. In this regard, experience shows that once a serious change process is underway, the replacement of a key leader can significantly disrupt the change process.

Tool C: Crisis awareness A crisis, by its very nature, requires urgent action (see box 2). People are generally reluctant to change, but a crisis creates a situation where change can be seen as a desirable, if not the only option.

Much of the management literature on change stresses that for change to start, it is necessary to “unfreeze” the organization—the members of the organization have to be convinced that new op-portunities must be considered, and that a new perspective is necessary.

most effective way of unfreezing an organization is by creating awareness among staff that the rganization is in a crisis. This helps create an understanding of the urgency of the change. Building

ave been identified through the use of the first two change tools: the

crisis among NARO staff is typically the task of NARO’s leader, who can

leader must make sure that staffs

The ocrisis awareness usually centres on a major problem, such as a poor reputation or an opportunity that has been missed, e.g., when a competitor has won an important grant. To enhance the sense of crisis, management can emphasize the severe consequences of not taking action, of leaving the problem unresolved.

A number of crises may already hchange checklist and the stakeholder analysis. These tools are designed to identify problem areas and to indicate where change may be necessary. By building a sense of crisis around these problems, the NARO can be motivated to change.

Instilling an awareness of call a general staff meeting and publicly announce that he or she is aware of the problem. By acknowledging that there is a problem, the leader creates both an expectation and a tension that the problem will be addressed, which contributes to the sense of urgency. Also, representatives of stakeholders can be invited to the NARO to state their concerns.

The official and open acknowledgment of management that the NARO has a problem helps prevent malicious rumours and gossip and enhances faith from staff in management that if they’re aware of the problem, they might do something to correct it. Thus, the NARO’s leader accepts responsibility for action on the problem. While accepting responsibility, the understand that the problem concerns the whole organization, not just management.

To increase the sense of urgency, the leader can meet with groups of staff, outlining the concerns and problems that the organization faces. The mere presence of the leader at such smaller meetings testifies to the seriousness of the crisis. Also, by participating in such meetings, staff will feel as participants in, rather than the objects of the change process.

Another way of creating an internal sense of urgency is by holding an internal review of the orga-nization. The purpose of the review is to create awareness among the members of the NARO that change is needed. The review is not meant to produce solutions to the organization’s problems, even though it is inevitable that some people will present some. An internal review is a series of in-house

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discussions that allows the NARO to confront itself with its strengths and weaknesses. Reviews must be prepared carefully: relevant discussion topics must be selected, presentations and discussion papers must be prepared, chair persons to lead the discussions must be identified, and reporters to summarize the discussions must be appointed.

It is difficult to say when the urgency rate among staff is high enough. Experience shows that more s must feel that there is an urgent need for change. The higher the

It is important to note that staff, particularly key managers, don’t have to agree on solutions at this

being promoted before the (key) stakeholders agree on the nature of the problem(s). If the change process seems to be going

than 50% of the key managerpercentage, the higher the probability of getting the change process off to a good start.

phase. Discussion on solutions will come later—indeed they should be avoided for now, if at all possible. At this stage, discussions on possible solutions will only divide staff, rather than unite them. One of the reasons that change efforts often fail is that solutions are

nowhere, the point to restart the process is here. An agreement on the problem provides the most solid departure point for any change initiative.

Recommended reading Norman, A. 1995. Managing the Crisis You Tried to Prevent. In Harvard Business R

(6). pp. 147-158. eview. Vol 73

ources, expertise, reputation, and rela-

Tool D The change team A change process can be successful only when it is managed well. The best instrument for guiding a change process is a strong change team. This is a group of people with substantial influence a in terms of position in the organization, information, access to restionships. A strong team is a signal of the urgency of the situation and it lends legitimacy to the change process.

The head of the change team must be someone with an important line position, such as the director of research, as the team must have direct access to the NARO’s top management. Alternatives for this

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position are the head of the planning department (because much planning will be involved), the training unit (who are experienced in organizing meetings), or administration (because new rules and procedures will have to be implemented). Since these support activities are not central to the NARO’s activities, however, the heads of these departments are usually not seen as powerful enough to overcome any resistance in the research programmes. Generally, appointing the head of a support or

The management literature suggests that the most efficient number of people on the change team is

ill operate outside the NARO’s normal procedures and hierarchy, this cross-departmental composition is crucial. Significant expertise, resources, and a sense of professional impartiality can be gained by including respected outsiders on the change team.

A mixed group of people first needs to achieve a common understanding of the purpose and objec-tives of the team and the problems to address. An effective way of achieving this is to send the change team on a one-to three-day planning meeting, preferably away from the office. This meeting is also an excellent opportunity for the change team to get to know each other better.

The change team has two major responsibilities: (a) Guide the change process and (2) build a growing coalition for change.

However, change teams often do a poor job on the first responsibility and totally neglect the second. This is typically true when teams focus too much on finding solutions. As we have seen above, this is a fundamental mistake; the change team’s task is to focus on the process, not the content. Teams that focus on content (i.e., solutions) inevitably bring the team members’ own ideas to the discussion to a significant extent, thus neglecting the larger issues and perspectives of the organization and its stakeholders. The change team may come up with excellent proposals but will probably find little

thusiasm and support for their ideas outside the team.

bring about changes by carefully managing the change process (scheduling nt

sta ty to provide the content. While this approach may be slower, the change ey responsibility: building a growing coalition for change.

w and who act in the interest of the organization.

service unit to lead the change team is acceptable only if the change process focuses on that specific unit.

about seven. A change team consisting of between five and 12 members to start with is probably quite acceptable. Below that, divergent opinions may be missed; above that, the individual contributions will become insignificant. However, it should be noted that having the right people on the team is more important than the size of the team.

The team can include staff members from different levels and units. Even though it will seem somewhat awkward to manage, as it w

en

A change team can helpmeetings and consultations, publishing summaries, bringing in experts, etc.) and giving the differe

keholders the opportuniteam can work on its second k

The change team is expected to consider the interests of all the groups that may be affected by the changes. It should therefore include persons who are respected for their opinions and who can raise the different groups’ points of view. However, rather than a representative body of the organization, the change team should foremost be a collection of “movers and shakers” who can overcome possible differences in points of vie

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Throughout the change process, the change team has to find ways of expanding the number of sup-porters of and allies to the change process. More and more people have to get involved in the process to build a critical mass to make the change process a success. It is this coalition of supporters and allies, rather than the quality of the change proposals that will most influence the actual implementation of the changes.

Recommended reading Katzenbach, J. and D. Smith. 1993. The Discipline of Teams. In Harvard Business Review. Vol 71

(2). pp. 111-120.

Phase 3: Deciding what to change NARO can basically make changes in eight organizational areas: Mandate

broader mandate may bring NARO new

aluation system; when it introduces a (new) system to evaluate the performance of its scientists; when it changes the way it

NARO may be forced to change its mandate when, for example, it faces pressure to expand its work to cover natural resource management and other ecological concerns. Opposition to changes in the mandate may come from both internal and external stakeholders, who may fear that the new mandate jeopardizes their interests.

Changing the mandate, especially when it broadens the NARO’s work, may require the inclusion of additional stakeholders into the change process. A opportunities but may also make it more vulnerable. A narrower mandate may bring the NARO greater focus to its work but create discontent with some stakeholders, who may feel that their interests are not being looked after anymore. While mandates generally need to be approved by higher level stakeholders, the NARO can play a significant role in formulating the new mandate.

Outputs and services: A growing number of NAROs are requested to add to their existing outputs and services technologies for, e.g., non-traditional exports (such as vegetables, fruits, flowers, and ornamental plants). These crops require a very different kind of output from the NARO.

Procedures: Most changes require new operating procedures. Examples are when the NARO wants to broaden its planning activities to include a planning, monitoring, and ev

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collects and retrieves information; when it introduces in a new budgeting system; or when it decides to change the way it does research by focusing on farming systems research.

Staffing: When a NARO establishes a natural resource unit, a biotechnology programme, a social studies department, or when it strengthens its financial planning, then this usually has staffing implications. New staff may have to be hired and existing staff relocated. Any decision to change the

ay also require a change in the number and composition of staff.

Re may decide to invest its financial resources differently, favouring one crop over another. It may also decide to change the location where certain research is done or assign new infrastructure or tools (e.g., research station, vehicles) to research.

Structure: A NARO that wants to work more efficiently and effectively often changes its organizational structure. Many NAROs, however, soon discover that the new structure doesn’t work very well either. This occurs especially when changes in authority to spend funds are not reflected in the new structure.

Organizational culture: There is a growing recognition that every organization develops its own, unique way of doing things. Used to thinking and behaving in a particular way, staffs are usually reluctant to change their thinking and behaviour (see Box 3). Called an organization’s culture, it explains why a NARO that has done commodity research for 20 years finds it difficult to shift to multi-crop farming systems research. A country’s culture will also strongly influence the organizational culture. For example, the status of women in the national culture will affect their po-

inkages: Good linkages to stakeholders, particularly farmers, are vital for a successful NARO. and services to its clients.

outputs or procedures m

sources: A NARO

sition in the NARO.

LLinkages help the NARO identify stakeholders’ needs and gear its outputsNaturally, the NARO needs excellent linkages to those stakeholders that can provide funding. These linkages can change as a NARO reaches different groups of farmers, forms strategic alliances with other organizations, or seeks new sources of funding.

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A diagnostic study examines and evaluates a NARO or a unit within the NARO. Doing a diagnostic study has several advantages. It identifies the strengths and weaknesses of the NARO. Thus, the study helps reveal where the NARO can build from its strengths and where it needs to change. It indicates that it’s acceptable to discuss and document the NARO’s strengths and weaknesses, and it shows there is a willingness and an opportunity to improve the NARO. It can generate an expectation among stakeholders that change is indeed possible. And finally, if there is no external pressure for a NARO

se.

diagnostic study has several stages:

Exploratory work: Pre-study work includes discussing and agreeing with management the areas that the diagnostic study will cover: is the subject the entire NARO, a particular unit (e.g., the training office), or a particular function (e.g., planning)? The exploratory work includes selecting the individuals to do the actual study. This is a good opportunity for the change team to intervene. The change team will need to consider what combination of expertise is required, the role of outsiders, and which members of the change team should assist in conducting the diagnostic study.

Preparation: The diagnostic study team will need to agree on how the study will be conducted, and it must prepare a schedule and review relevant documents. In preparing the schedule, it is important to have key stakeholders participate in the study. Stakeholders, or their representatives, must be given the opportunity to express their concerns. The greater the number of NARO staff that can be interviewed, the better. Staff can be interviewed in groups if necessary. The greater the involvement of staff, the greater is the likelihood that some internal urgency for change will be generated.

to change, a diagnostic study may create the necessary internal pressure.

All stakeholders should be consulted in a diagnostic study. How detailed or extensive the study must be depends on how fundamental the problems are and whether previous studies are available. It is important that NARO staff and other stakeholders perceive the study document as informed and unbiased. The collaboration of competent outsiders is often advisable at this pha

A

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Main field work: The field work involved in a diagnostic study consists of visits to and interviews with NARO staff and key stakeholders to collect information and identify the various points of view. It is important to tell the interviewees that by answering the questions, they can contribute to improving the NARO.

Discussions and writing of diagnostic study: After analyzing the information collected, the diagnostic-study team will reach some preliminary conclusions and recommendations, which they have to discuss with top management and the key stakeholders that may be affected. With the feedback from these discussions, the team can prepare a final diagnostic report. The report has a number of objectives: documenting the situation of the NARO (or the unit) helping to reach a consensus on what can be done to strengthen the NARO providing legitimacy to initiating a change process providing a reference point as to what has to be changed and why

It is useful to keep in mind that discussions on strengths must be balanced with discussions on weaknesses. Likewise, discussions on opportunities should be followed by discussions on threats. All the major internal groups should be represented in these discussions. Finally, a strong external

e

arch pro-, and a government-approved mandate to conduct

agricultural research.

representation on the team (25–35% non-NARO participants) brings a healthy external perspective into the discussions and can help create a sense of urgency for change.

Focus of diagnostic study: A diagnostic study should answer at least three key questions for each of the eight organizational areas that a NARO can change (see Table 3).

SWOT analysis: A variation on doing a diagnostic study is identifying the NARO’s strengths, weaknesses, opportunities, and threats, a common type of study known as the SWOT analysis. Thinformation provided by this analysis is the same as that produced by a diagnostic study, but it is grouped somewhat differently.

Strengths are the positive internal abilities and situations that can help the organization achieve its objectives. In many NAROs, typical strengths are a cadre of trained and experienced resefessionals, sufficient land to conduct research

Weaknesses are the internal abilities and situations that limit or interfere with the organization’s efforts to achieve its objectives. Typical weaknesses in NAROs are scarce operational funds, poor documentation of research results, and inadequate coordination with extension units.

Opportunities are the external factors that can potentially help the organization achieve or exceed its objectives. In NAROs, some typical opportunities are a national development loan that can be tapped to support agricultural research, offers to tap into the germplasm banks or the knowledge of other research organizations, and the emergence of computerized information.

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Table 3. Key questions for the main organizational areas that a NARO can change

Area of change

Key questions

What is the current status and role of the NARO? Mandate

What should the mandate of the NARO be?

What stake holder’s involvement is required to approve or confirm the mandate?

Outputs and services

What has been the impact of the NARO’s outputs and services over the last five years?

What are the strengths and weaknesses of the NARO’s current outputs and services?

What new products and services should the NARO consider providing?

r evaluation of research in the NARO be

can this be improved?

mproved?

Staff Are the human resources in the NARO appropriate in number, level of training, staff mix,

How can the NARO capture additional resources?

anizational structure?

What beliefs, values, and customs would help improve performance, and how can these be

logy, and how can these be improved?

ith policymakers, donors, and how can these be

P ocedures How can priority setting, planning, monitoring, and improved?

How are financial resources managed, and how

How are staff recruited, evaluated, rewarded, and how can this be i

and gender to do the NARO’s job?

What areas of expertise does the NARO have to strengthen for the next few years?

What incentives need to be in place to ensure that the staff is willing to relocate to where the NARO needs them most?

Resources Are the current resources (human, financial, physical) well targeted, or is the NARO trying to do too much with too few resources?

Where are decisions on resource use being made, and where should they be made?

Structure What are the strengths and weaknesses of the NARO’s current org

How can collaboration be strengthened among the different units?

What adjustments may be desirable to the NARO’s organizational structure?

What are the key beliefs, values, and customs of the staff in the NARO?

In what way do these beliefs, values, and customs influence the performance of the NARO?

Culture

promoted in the NARO?

Linkage What channels of communication exist with user groups, and how can these be improved?

What channels of communication exist with other sources of knowledge, expertise, and techno

What channels of communication exist wimproved?

Threats are the external factors that may result or have resulted in the organization not achieving its objectives. Some typical threats for NAROs are falling prices for agricultural export products, cuts in

A diagnostic study is best done by combining the perspectives of stakeholders inside and outside the NARO. The strengths of the organization are best identified and analyzed by those within it. They know the organization best, and they are most interested in identifying and explaining the strengths of the NARO. External stakeholders (e.g., farmers’ associations) are better situated to determine the

government spending, and the spread of agricultural pests and diseases. It may be difficult, however, to determine whether something is a threat or an opportunity. For example, the emergence of a research foundation in a country can become a potential partner but also a possible competitor. A drought may destroy a country’s agricultural production and years of research, but it can also motivate policymakers to support research on much-needed drought-resistant crops.

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NARO’s weaknesses. These stakeholders will generally have a better understanding of the NARO’s shortfalls and unmet de llenge for the change team is to incorporate these external views on the NARO’s weaknesses into the change process in such a way that NARO staff will interpret them as

The opportunities are also the external stakeholders. They will have a clearer view of thin d be done.

T ts are b o will have to make a number iliar with the country’s a situa e threats as well. While they y more aware of the threats they face

R mended rNestel, B. 1989. ral Research

Systems, Usin ands: International

Dagg, M. and P. ational Agricultural R No. 23. The Hague, the Netherlands: International Service for N

Tool F: Strategic planning S lannin the situation of the NARO, ( (3) outlining how the NARO should bring abo ARO or to individual re stations

ISNAR staff have reviewed m all strategic plan ntially the same. The model that is presented here is the most basic and quite si

The main differe strategic planning is that the diagnostic study seeks to identif information collected and an the diagnostic study should play a key role in the strategic planning xercise.

mands. The cha

positive criticism.

probably best identified bygs that the NARO could try and of work that is not being done but shoul

he threa est identified externally by a neutral advisor or group of advisors, wh of visits to the different stakeholders and become fam

gricultural tion. NARO staff themselves can provide some useful insights into th may be somewhat blind to new opportunities, staffs are probabl.

ecom eading Some Practical Guidelines for Evaluation within National Agricultug a Checklist Approach. Working Paper No. 22. The Hague, the NetherlService for National Agricultural Research. Eyzaguirre. 1989. A Methodological Framework for ISNAR Reviews of N

esearch Systems. Working Paperational Agricultural Research.

trategic p g in a NARO is an analytical process that consists of (1) understanding 2) determining what the NARO should change, and ut the changes. Strategic planning can apply to the whole N

search , programmes, or departments.

uch of the extensive literature on strategic planning and concluded thatning models are essemple to communicate, and it covers all essential elements.

nce between the diagnostic study andy the problems while strategic planning aims to find solutions. Thealyzed in

e

Step 1 Determine the desired future NARO: Using the diagnostic study, specify the competitive advantage and distinctive competence to be

sought or maintained in the future. Formulate the desired mission, goals, and programme thrusts. Specify the desired programme mix, balance, priorities, targets and the time frame for achieving

them.

Step 2 Do a gap analysis Compare the NARO described in the diagnostic study with the desired future NARO and identify

any gaps.

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Specify the gaps, with particular attention to differences between present and desired outputs and inputs (resources, skills, organization).

Identify probable resources and constraints. All stakeholders must be involved in identifying and evaluating potential solutions and alternatives.

strategic plan. The change team must ensure that the plan is supported by the key stakeholders (see

communicate and that appeal to the stakeholders. It clarifies the direction in which the NARO wants to move. A useful guideline is that a good vision can be explained in five minutes.

e in the

the NA is i e quite forcefully on a number of occasions; it is not

eting or a newsletter story—the leader must use every suitable

Step 3 Develop the strategic plan After evaluating the alternatives and agreeing on a solution, this solution becomes the NARO’s

box 4) and that the NARO’s management states its support and ownership of the plan.

Summarize and share a vision. After completing the strategic plan, management has to formulate a vision that can inspire the organization with new motivation. A vision is a picture of the future that is relatively easy to

A vision answers three questions: 1. Why does the NARO exist? 2. What does the NARO look lik future? 3. How does the NARO get there?

The analysis done in the strategic planning exercise can help answer these questions. The head ofRO should then communicate the answers to all key stakeholders, in particular the NARO staff. Itmportant to repeat this “new vision” messag

enough to announce it in one mechannel to promote it. A change team that has done its job well now also has allies and counterparts who can help spread and promote the vision.

To F: Strategic planning ol

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Recommended reading Johnson, G. 1987. Strategic Change and the Management Process. Oxford, UK: Blackwell. Journal of Strategic Change. 1994. Vol 3 (1). 3-20

Phase 4: Creating the conditions for change

At this stage, a change team can make three major mistakes: Not including the relevant stakeholders in the dialogue for finding solutions Not providing a forum where stakeholders can negotiate

to allay the fears arising from change

is essential for change teams to realize that stakeholders, both internal and external, will want to negotiate the details of the proposed changes. Stakeholders who feel that they will be affected by the changes will try to steer them to their advantage, one way or another. They may do this directly (through, for example, a memo) or indirectly (by not cooperating in seeking solutions). Managing a change process is therefore also an exercise in managing negotiations. The change process has a much greater chance of success if these negotiations are formalized and brought out in the open. Formal negotiation fora also greatly help reduce conflicts among groups with different interests.

Not seeking a solution It

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In this phase of negotiations, the change team first selects the individuals to be involved in the negotiation process, the place and duration of the discussions, the format (e.g., an exchange of papers or a week-long seminar), and the “referees,” to help resolve issues between different interest groups.

Negotiations also help clarify who makes decisions on resources. Once it is clear who is authorized to take key decisions on resources, it is important to include them in the negotiation process. Formal negotiations also give people the idea that their concerns are being taken seriously. Typically, change creates winners and losers; some people may be given additional resources, others may see some of their influence disappear. But by having been given the opportunity to participate in a process of negotiations, they are probably less opposed to the changes than if they had been confronted with an accomplished fact.

The change team should be well informed of the concerns of the different interest groups and find oncerns into the change process. However, relatively powerful groups that are

par etter to rev being considered, than to try to overcome their

sistance during the implementation of the changes.

jectives define the boundaries of what kind of hanges may occur or are permissible, such as the number of staff involved (e.g., proposal to integrate

the veterinary and livestock programmes), processes (e.g., planning and budgeting of joint activities), the time frame (e.g., within six months), the cost (e.g., project has a proposed budget of US$ 50,000), the region (e.g., La Llorona Research Station), and the proposed targets (e.g., reducing the approval time for new varieties).

Negotiation is a process of give and take, and there is a risk that too much giving and too little taking changes the original proposals quite fundamentally. Clear objectives help ensure that the original goal of the changes is kept in mind. Also, as discussions about change can become quite heated, the best way of preventing discussions from becoming too emotional is focusing on the objectives of the changes. An emotional outcry from some staff members that they have no confidence whatsoever in the proposed solution can be countered best by saying, “Our objectives for this proposal are the following: What are your objectives?” (see Box 5). This forces the discussion to remain on a technical

o were initially opposed to the proposal find that in actuality they have

ways of bringing these cticularly opposed to the proposed changes can seriously threaten the change process. It is bisit their concerns while different solutions are still

re

It is important to define objectives for change. Obc

level, and often those whsimilarideas.

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Tool G: The negotiation cycle Change teams are often seen as teams that plan for change. But they really are much more; they help negotiate solutions for change. To begin a successful cycle of negotiations (see Figure 3), the change team must provide the different stakeholders with a clear description of the proposed changes. Note

s about the projected outcomes of the proposals. If the different groups cannot even agree on the projected outcomes, it becomes vital to identify their assumptions and discuss them.

e proposals may be so important that they have to be implemented, with or without stakeholders’ agreement. Proposals that involve issues such as job

the budget is halved?” By reopening the negotiation process with new questions, the dialogue with the stakeholders is renewed, bringing new views and possibilities to the

n Business. Mintzberg, H. 1983. Power In and Around Organizations. Eaglewood Cliffs, USA: Prentice-Hall.

Tool H: The fear map Probably the single most important reason that people resist change is their fear of what the change will mean for them personally. By dividing these fears into a “fear map,” the change team can help overcome that fear (see table 4). The map helps to identify the fears that staff may have about the changes focus which concerns need to be addressed most urgently formulate an appropriate response or action for each category of fear

The first step in dealing with staff’s fear of change is to investigate which proposed changes can invoke which kinds of fear. The more categories apply, the greater the chance of major resistance to

that these potential solutions should be presented as proposals rather than plans–a plan suggests that a decision has already been made and that the next step is implementation. A proposal says, “We think this is a good idea, but we are open to negotiation.”

The next step in the negotiation process is to ask the different stakeholders whether they agree on the projected outcomes. Very often, different groups clash over proposed changes, because they have different assumption

If there is no agreement, then the change team has to decide if it wants to (1) continue the negotiations until agreement is reached, (2) reject the proposals altogether, or (3) implement the proposals without agreement. Proposals that are likely to meet with too much resistance or that are too difficult to implement should be rejected. On the other hand, som

availability, salaries, conditions of service, and location are the most likely ones that will have to be implemented without agreement.

It is often worthwhile to continue the negotiation process. This is best done by organizing a contingency planning meeting. Contingency planning asks “what if” questions: “What if the budget is doubled?” or “What if

fore and, possibly, revealing assumptions and interests that remained hidden.

The next step is to consider alternatives, which, as noted above, has to be done in reference to the objectives. Alternatives that are compatible with the objectives can then lead to adjusted proposals, which in turn become proposals for negotiation.

Recommended reading Fisher, R. and W. Ury. 1983. Getting to Yes: Negotiating Agreement Without Giving In. New York, USA: Pengui

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that change. While it is important to share with staff how the changes will affect which categories, it

s difficult issue as soon as possible. It will be very painful for those who have to suffer the consequences, but the sooner the organization

The fears in the “task” category are basically individual and usually have to be dealt with on a case-

y can cause much anguish. The cultural change that is most

e long term, the easiest way of changing the organization’s culture is to hire new staff with the desired behaviour.

e concern of only a small but articulate group of individuals, especially those who fear loss of autonomy and decision-making power. Typically, they

sing the all-embracing “we” (“That’s not the way we do things around e

is equally important to inform staff of what will not be affected by the changes.

The greatest fears will be in the “personal” category, as people’s basic need to have an income is involved. The sooner everyone is ensured that this category is not affected, the sooner the fear of change will disappear. However, if the “personal” category is part of the change process (some staff will be laid off or salaries cut), the organization must deal with thi

can put these issues behind them, the better. This is one category where implementing a solution without negotiation may be more efficient than a full cycle of negotiation. However, negotiations may be necessary if the affected groups are influential enough to block many of the proposed changes.

by-case basis. The discussion has to focus on how the benefits of the change can outweigh the costs.

The discussions in the category “structure” also need to focus on how the benefits of the change outweigh the costs. But the concerns of the work units or groups involved should have been dealt with in the diagnostic study. Perhaps the toughest structural issue involves autonomy and decision-making power, because here the change process typically and inevitably creates winners and losers.

The fear of change in the “culture” categoroften required in a NARO is a true commitment to working for farmers, not for researchers’ own professional advancement. The quickest way of beginning to change an organization’s culture is probably through the strategic vision. An appropriate vision can motivate staff to show the desired behaviour. In the medium term, this behaviour needs to be encouraged through incentives (e.g., promotions for those that clearly support the new values and behaviour). In th

Sometimes, what seems to be a widely held concern within the organization about the effects of a change in an organization’s culture is really th

claim broad support by uhere.”). As mentioned above, these issues have to be negotiated with these groups, emphasizing thbenefits of the change.

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Table 4. The fear map

Categories of fear of change Recommended responses Personal Job availability. Will I have a job?

Clarify as soon as possible whether the “Personal” category is included in the change process.

Salary. Will my pay-check be affected? Seek to resolve these issues as quickly as possible.

Conditions of service. Will my allowances and privileges be affected?

It may be necessary to impose solutions without negotiating.

Location. Will I have to work somewhere else?

Task Job content. What will I have to do? Deal with on a case-by-case basis with individuals. Career development. What effect will this have on my career?

Emphasize how the benefits can outweigh the costs.

Structure Work units. What will happen to our unit? With whom will I have to work?

Usually must deal with groups, or leaders of groups.

Status. Will I suffer loss of face? Will I be more important or less important? Will my unit be more

Structural changes may create perception of“winners and losers”. Effort needs to be made to

important or less important? minimize such perceptions.

Access to resources. Will I have access to the resources that I need to do my job?

Emphasize how the benefits can outweigh the costs.

Autonomy/decision-making power. Do I gain or lose influence in deciding what I do?

Culture Values. Are we changing the way we do things? Short term. New vision has to begin to inspire

desired behaviour.

Medium term. Incentives have to be established to promote desired behaviours.

Long term. Recruitment of new staff who have the new desired values

Recommended reading Student, K. 1978. Managing Change: A Psychologist’s Perspective. In Business Horizons, Vol. 21.

No.6. Iacovini, J. 1993. The Human Side of the Organization Change. In Training and Development. Vol. 47 (1). pp. 65-68.

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Phase 5. Achieving change

C embe what they are expected (and willing) to contribute. Social events, hosted by the NARO, often help team members to get to know each other better and can contribute to Box 6).

The need for gin s typical o RO leaders fi to h lp renew the NARO. Most staff is not interested in b an exercise when the take-home pay is already inadequate and if there is n ensation for the extra work. The diagnostic study is the proper place to signal a poor in ARO can ers and seek a formula that allows greater flexibility in creating o incentive structure.

NAROs can sometimes negotiate a one-off major This can relieve some of e take-home pay pressure, but when all the staff r produc-

tivity will hardly improve as staff members are n or good work nor sanctioned for oor performance.

o-nuses can become a strong incentive for change, particularly when the vision calls for generating new sou ns, and as (co-)providers of bonuses or awards.

Another obstacle for change can be a particular person or position. The team charged with changing an organization may be concerned that the NARO loses a talented manager, or it may be afraid of the political influence of a certain person. Almost inevitably, these individuals become a beacon of hope for those in the organization who resist change. If an influential staff member continues to block the change process, the only solution may be to reassign or even remove them. A useful way of pushing for change is to reward those who have been especially active in the change process. New positions, higher pay, bigger offices, more staff, more responsibilities, quicker access to top management are all ways of compensating staff who have helped to push for change.

hange often results in new work teams. M rs of teams need time to discover

building good working relationships (see

proper incentives: Perhaps the bigcentive systems, with the low salarie

est obstacle for change in NAROs is their poor f public-service institutions. Most NA

nd it very difficult to retain or motivate staff ecoming involved in such

e

o compcentive structure. With the study, the N explore alternatives with its stakehold

r improving the

increase in staff salaries.th eceive the same increase, performance and

either rewarded fp

Some NAROs are authorized to reward staff with special performance or activity bonuses. These b

rces of funding and closer linkages to user groups. Farmers’ organizations, export associatio agro industry can serve

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It can take a NARO months and even years to actually change its organizational structure. Reassigning responsibilities and tasks and changing reporting relationships is a difficult and often little appreciated job, and some managers are reluctant to confront the many conflicts that need to be resolved during a change process.

A responsibility chart (see table 5) helps to quickly identify and resolve conflicts related to the new organizational structure. It identifies who decides, who informs, and who should be consulted. The

etail can be added to the different roles in the responsibility chart, such as general responsibility, or overseer operating responsibility, or task manager

issues that conflicting parties agree on form the basis for building a more positive dialogue between them. The areas where there is disagreement become areas for negotiation and where the NARO must clarify responsibilities.

If necessary, more d

specific responsibility, or subtask specialist must be consulted must be notified must approve

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Table 5: The responsibility chart

Staff member 1

(program director)

Staff member 2

(research scientist)

Staff member 3

(laboratory technician)

Task 1

Plan research project A R 1 S

Task 2

Approve project budget

R, A

AS, 1 I

Task 3

Prepare report on research results

I R S

A= approval (right to veto); R = responsibility (executes); I = inform (to be informed); S= support (provides resources) After different individuals or groups of individuals have filled out the chart, a comparison of the different outcomes reveals where they agree and disagree. On issues where there is disagreement, more negotiations may be needed, or a higher-level manager acting as “referee” may need to decide nd clarify the tasks and responsibilities.

all staff and their families and give an informal invited

installation of a new m destroyed a terminal from the old system at a lunch

d a clear message and are easy to organize (see box 7).

tr s also a good time to publicly recognize the past contributions of persons and units. his is particularly necessary when the role of certain people and units will be less significant in the

future.

Reinforcement symbols help transmit important new values and behaviours to stakeholders. Exam-ples are the way staff dress, how offices are divided and decorated, whether staff can have any special privileges (such as reserved parking areas), and the way top managers behave.

The same symbol can be used in different ways. In one NARO, a new director discouraged research-ers to wear jackets and ties because he felt that a too formal way of dressing created a barrier when

a

Recommended reading Huczynski, A. 1987. Encyclopedia of Organizational Change Methods. Aldershot, UK: Gower. The Open University. 1994. Planning and Managing Change. In The Capable Manager. Book 8. Oxford, UK: Alden Press.

Tool J: Signalling success The final stage in the change process is announcing that a new NARO has emerged. This can be done by so-called transition rituals and reinforcement symbols and by celebrating success.

Transition rituals are very useful to indicate the successful completion of a change process. For example, a new station director can host a cookout forspeech. Or management can launch a new organizational structure in a ceremony with speakers expressing their expectations of the renewed NARO. To celebrate theco puter network, one NARO ceremoniously break. These rituals sen

A ansition ritual iT

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interacting with farmers. In another NARO, however, the newly appointed director insisted that staff ear formal attire because he wanted to improve the discipline in his organization.

T elebrating success is to show a n the oth the in-ternal and external stakeholders that the process has completed an important phase. It is not n y—and indeed not advisable—to only celebrate the completion of the entire transformation p cesses most often occur step by step, and each of these small achievements is an o ity to celebrate that the change journey is underway, that progress is being made, and that it is worthwhile to participate in the change effort.

Celebrating success is also about giving publics It encourages others to join the process, and it helps sustain a sense of urgency. The change

am has to plan for these short-term results to keep the change process moving forward. Remember rogram that is

w procedure (such as the first report from a new accounting system).

w

he purpose of c t critical points i change process to b

ecessarrocess. Change propportun

recognition to those who have contributed to the uccess.

tethat even small milestones are worth celebrating: the move into new offices, a new pformed, or the first output of a neCelebrating these small wins is a clear way of signalling that the change process is ongoing and on track.

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Recommended reading Caldwell, R. 1993. Is Anyone Listening? Communicating Change to Employees. In Journal of

Strategic Change. Vol. 2 (2). pp. 83-88.�

Conclusion: The learning organization A change process is often a long and difficult journey, and some organizations embark on it every so many years. Some types of organization, however, go about it in a much less dramatic way, because they change a little every day. These organizations are known as “learning organizations.” Learning organizations are characterized by the following: They have an organizational culture that encourages experimentation and dialogue. Staff is

encouraged to develop new ideas, and teams are stimulated to try out new things. Information is exchanged among the different levels in the organization freely and easily.

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They actively seek to learn from their clients, staff, and partner organizations. They always assume that there is a better way of doing things, and that someone outside the organization must have at least part of the answer.

They continuously look at the world around them to stay abreast of changes in the organization’s environment to avoid being surprised by changes in the world and to be prepared to make adjustments if necessary.

In many ways, learning organizations have integrated the lessons outlined in these guidelines into their daily mode of operation. NAROs themselves can become learning organizations and thus pre-pare for major changes by integrating into their daily routine the procedures suggested in this guideline. This way, change is certain to be less traumatic and painful.

Recommended reading on management of change Beer, M., R.A. Eisenstar, and B. Spector. 1990. Why Change Programmes Don’t Produce Change. In

Harvard Business Review. November/December. Bolman, L.G. and T.E. Deal. 1991. Reframing Organizations. Artistry, Choice and Leadership. San

Francisco, USA: Jossey-Bass. Drucker, P.F. 1974. Management: Tasks, Responsibilities, Practices. New York, USA: Harper &

Row. Ensminger, J. 1992. A Proper Marriage: New Institutional Economic Anthropology. In Making a

Market. Cambridge series on The Political Economy of Institutions & Decisions. Gleick, J. 1988. Chaos—Making a New Science. London, UK: Heinemann. Kotter, J.P. 1995. Leading Change: Why Transformation Efforts Fail. In Harvard Business Review.

Vol. 73 (2). pp. 59-67. Liebenstein, H. 1989. Organizational Economics and Institutions as Missing Elements in Economic

Development Analysis. In World Development, Vol. 17 ( 9). pp. 1361-1373. Lippit, G.L., P. Langseth, and J. Mossop. 1985. Implementing Organizational Change. A practical

guide to managing change efforts. San Francisco, USA: Jossey-Bass. Mokyr, J. 1985. Twenty-Five Centuries of Technological Change. An Historical Survey. Chur,

Switzerland: Harwood. North, D.C. 1989. Institutions and Economic Growth: An Historical Introduction. In World

Development. Vol. 17. No. 9, pp. 1319-1332. Wildavsky, A. 1964. The Politics of the Budgetary Process. Boston, USA: Little, Brown. Zaltman, G. (editor). 1979. Management Principles for Nonprofit Agencies and Organizations. New

York, USA: AMACOM.

Te ongen and Fionnuala Hawes Cover design: Richard j B.V., Rijswijk, The Netherlands

Produced by ISNAR publication services xt editor: Jan van Dongen Layout: Jan van DClaase Printer: Rapporten Service Drukkeri

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Ap(Fre

SecBac version of this paper several years ago and I’ve tinkered with it ever ince. It is, for me, an exercise in change management.

ople who wish to reflect upon their experience in a structured way.

In ment,” at least three basic definitions come to

y of knowledge

Th

of

or

erhaps

by events ori ually termed “the environment.” Hence, the second

n exercises g

eco , and so on). Researchers and practitioners alike typically distinguish tween a knee-jerk or reactive response and an anticipative or proactive response.

an area of professional practice."

m at they are engaged in planned change, that they are change agents, that they manage change for eir clients, and that their practices are change management practices. There are numerous small

consulting firms whose principals would make these same statements about their firms. And, of course, most of the major management consulting firms have a change management practice area.

Some of these change management experts claim to help clients manage the changes they face – the changes happening to them. Others claim to help clients make changes. Still others offer to help by

pendix 7: Change management 101, A primer d Nickols 2004)

tion I: Introduction kground: I wrote the first

s

Purpose and audience: The purpose of this paper is to provide a broad overview of the concept of “change management.” It was written primarily for people who are coming to grips with change management problems for the first time and for more experienced pe

Section II: Change management defined thinking about what is meant by “change manage

mind: The task of managing change

An area of professional practice A bod

e task of managing change

The first and most obvious definition of “change management” is that the term refers to the task managing change. The obvious is not necessarily unambiguous. Managing change is itself a term that has at least two meanings.

One meaning of “managing change” refers to the making of changes in a planned and managed systematic fashion. The aim is to more effectively implement new methods and systems in an ongoing organization. The changes to be managed lie within and are controlled by the organization. Pthe most familiar instance of this kind of change is the change or version control aspect of informationsystem development projects. However, these internal changes might have been triggered

ginating outside the organization, in what is usmeaning of managing change, namely, the response to changes over which the organizatiolittle or no control (e.g., legislation, social and political upheaval, the actions of competitors, shiftin

nomic tides and currentsbe

The second definition of change management is "

There are dozens, if not hundreds, of independent consultants who will quickly and proudly proclaithth

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taking on the task of managing changes that must be made. In almost all cases, the process of change ise in this task of managing the

ange that is laid claim to by professional change agents.

engineering, systems engineering and the study of human and s, these component bodies of knowledge are linked

r now, suffice it to say that there is a large, reasonably cohesive wledge underlying the practice and on which most practitioners

u application of it does exhibit a high degree of variance.

st three basic definitions of change management: The task of managing change (from a reactive or a proactive posture)

onsisting of models, methods, techniques, and other tools)

do not. Some are foreign-owned and some are foreign-based. Some are corporations, some are partnerships, and some

have been around a long time and some are newcomers. Some have been built up over the years while others have been

e a similar system in a health insurer that is organized along product lines and market segments. It is yet a

is treated separately from the specifics of the situation. It is expertgeneral process of ch

A body of knowledge

Stemming from the view of change management as an area of professional practice there arises yet a third definition of change management: the content or subject matter of change management. This consists chiefly of the models, methods and techniques, tools, skills and other forms of knowledge that go into making up any practice.

The content or subject matter of change management is drawn from psychology, sociology, business administration, economics, industrial organizational behaviour. For many practitionerand integrated by a set of concepts and principles known as General Systems Theory (GST). It is not clear whether this area of professional practice should be termed a profession, a discipline, an art, a set of techniques or a technology. Foalbeit somewhat eclectic body of knowo ld agree—even if their

To recapitulate, there are at lea

An area of professional practice (with considerable variation in competency and skill levels among practitioners)

A body of knowledge (c

Content and process

Organizations are highly specialized systems and there are many different schemes for grouping and classifying them. Some are said to be in the retail business, others are in manufacturing, and still others confine their activities to distribution. Some are profit-oriented and some are not for profit. Some are in the public sector and some are in the private sector. Some are members of the financial services industry, which encompasses banking, insurance, and brokerage houses. Others belong to the automobile industry, where they can be classified as original equipment manufacturers (OEM) or after-market providers. Some belong to the health care industry, as providers, as insured, or as insurers. Many are regulated, some are not. Some face stiff competition, some

are sole proprietorships. Some are publicly held and some are privately held. Some

pieced together through mergers and acquisitions. No two are exactly alike.

The preceding paragraph points out that the problems found in organizations, especially the change problems, have both content and process dimension. It is one thing, for instance, to introduce a new claims processing system in a functionally organized health insurer. It is quite another to introduc

different thing altogether to introduce a system of equal size and significance in an educational establishment that relies on a matrix structure. The languages spoken differ. The values differ. The

123

cultures differ. And, at a detailed level, the problems differ. However, the overall processes of change and change management remain pretty much the same, and it is this fundamental similarity of the change processes across organizations, industries, and structures that make change management a task, a process, and an area of professional practice.

Section III: The change process

n’s adoption of the systems concept of homeostasis or dynamic stability. What is useful about this framework is that it gives rise to thinking about a

is s ving from one state to another, specifically, from the problem state to the als are set and

chieved at various levels and in various areas or functions. Ends and means are discussed and related ul planning is accompanied by efforts to obtain buy-in, support and commitment.

The net effect is a transition from one state to another in a planned, orderly fashion. This is the

From the preceding discussion, it follows that “problem finding” is the search for situations requiring

The change process as “unfreezing, changing and refreezing”

The process of change has been characterized as having three basic stages: unfreezing, changing, and re-freezing. This view draws heavily on Kurt Lewi

staged approach to changing things. Looking before you leap is usually sound practice.

What is not useful about this framework is that it does not allow for change efforts that begin with the organization in extremis (i.e., already “unfrozen”), nor does it allow for organizations faced with the prospect of having to “hang loose” for extended periods of time (i.e., staying “unfrozen”). In other words, the beginning and ending point of the unfreeze-change-refreeze model is stability—which, for some people and some organizations, is a luxury. For others, internal stability spells disaster. A tortoise on the move can overtake even the fastest hare if that hare stands still.

The change process as problem solving and problem finding

A very useful framework for thinking about the change process is problem solving. Managing change een as a matter of mo

solved state. Diagnosis or problem analysis is generally acknowledged as essential. Goato one another. Caref

planned change model.

The word “problem” carries with it connotations that some people prefer to avoid. They choose instead to use the word “opportunity.” For such people, a problem is seen as a bad situation, one that shouldn’t have been allowed to happen in the first place, and for which someone is likely to be punished—if the guilty party (or a suitable scapegoat) can be identified. For the purposes of this paper, we will set aside any cultural or personal preferences regarding the use of “problem” or “opportunity.” From a rational, analytical perspective, a problem is nothing more than a situation requiring action but in which the required action is not known. Hence, there is a requirement to search for a solution, a course of action that will lead to the solved state. This search activity is known as “problem solving.”

action. Whether we choose to call these situations “problems” (because they are troublesome or spell bad news), or whether we choose to call them “opportunities” (either for reasons of political sensitivity or because the time is ripe to exploit a situation) is immaterial. In both cases, the practical matter is one of identifying and settling on a course of action that will bring about some desired and predetermined change in the situation.

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The change problem

At the heart of change management lie the change problem, that is, some future state to be realized, some current state to be left behind, and some structured, organized process for getting from the one to the other. The change problem might be large or small in scope and scale, and it might focus on

divisions or departments, the entire organization, or one or on al level, the change problem is a matter

of moving from one state (A) to another state (A’). Moving from A to A’ is typically accomplished as

on).

Change as a “how” problem

The change problem is often expressed, at least initially, in the form of a “how” question. How do we

problem is means-centred, with the goal state more or less implied. There is a

estions. What are we trying to accomplish? What changes are necessary? What indicators will signal success? What standards apply? What measures of performance are we trying to

s and networks of ends-means relationships often have to be

individuals or groups, on one or moremore aspects of the organization’s environment. At a conceptu

a result of setting up and achieving three types of goals: transform, reduce, and apply. Transform goals are concerned with identifying differences between the two states. Reduce goals are concerned with determining ways of eliminating these differences. Apply goals are concerned with putting into play operators that actually effect the elimination of these differences (see Newell & Sim

As the preceding goal types suggest, the analysis of a change problem will at various times focus on defining the outcomes of the change effort, on identifying the changes necessary to produce these outcomes, and on finding and implementing ways and means of making the required changes. In simpler terms, the change problem can be treated as smaller problems having to do with the how, what, and why of change.

get people to be more open, to assume more responsibility, to be more creative? How do we introduce self-managed teams in department w? How do we change over from system x to system y in division z? How do we move from a mainframe-centred computing environment to one that accommodates and integrates PCs? How do we get this organization to be more innovative, competitive, or productive? How do we raise more effective barriers to market entry by our competitors? How might we more tightly bind our suppliers to us? How do we reduce cycle times? In short, the initial formulation of a change reason why the initial statement of a problem is so often means-centred and we will touch on it later. For now, let’s examine the other two ways in which the problem might be formulated—as “what” or as “why” questions.

Change as a “what” problem

As was pointed out in the preceding section, to frame the change effort in the form of “how” questions is to focus the effort on means. Diagnosis is assumed or not performed at all. Consequently, the ends sought are not discussed. This might or might not be problematic. To focus on ends requires the posing of “what” qu

affect?

Change as a “why” problem

Ends and means are relative notions, not absolutes; that is, something is an end or a means only in relation to something else. Thus, chain

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traced out before one finds the “true” ends of a change effort. In this regard, “why” questions prove extremely useful.

Because our productivity used to be higher, too, but now it’s not

be increased? To improve earnings per share.

e need to be improved?

l” matter, and one we’ll not go into in this paper.

management mirrors management's mindset

nological developments, the marketing people with customer needs and competitive activity, ive and other regulatory actions, and so on. Also, the higher up a person

me perspective and the wider the range of issues with which he or

they require of the organization only that it adjust to an ever-changing set of circumstances. But,

Consider the following hypothetical dialogue with yourself as an illustration of tracing out ends-means relationships. Why do people need to be more creative? I’ll tell you why! Because we have to change the way

we do things and we need ideas about how to do that Why do we have to change the way we do things? Because they cost too much and take too long. Why do they cost too much? Because we pay higher wages than any of our competitors Why do we pay higher wages than our competitors?

Eureka! The true aim is to improve productivity! No it isn’t; keep going. Why does productivity need to be improved? To increase profits. Why do profits need to

Why do earnings per shar To attract additional capital. Why is additional capital needed? We need to fund research aimed at developing the next generation of products. Why do we need a new generation of products? Because our competitors are rolling them out faster than we are and gobbling up market share. Oh, so that’s why we need to reduce cycle times. Hmm. Why do things take so long?

To ask “why” questions is to get at the ultimate purposes of functions and to open the door to finding new and better ways of performing them. Why do we do what we do? Why do we do it the way we do it? Asking “why” questions also gets at the ultimate purposes of people, but that’s a different matter altogether, a “politica

The approach taken to change

The emphasis placed on the three types of questions just mentioned reflects the management mindset, that is, the tendency to think along certain lines depending on where one is situated in the organization. A person’s placement in the organization typically defines the scope and scale of the kinds of changes with which he or she will become involved, and the nature of the changes with which he or she will be concerned. Thus, the systems people tend to be concerned with technology and techthe legal people with legislatis in the hierarchy, the longer the tishe must be concerned.

For the most part, changes and the change problems they present are problems of adaptation, that is,

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either as a result of continued, cumulative compounding of adaptive manoeuvres that were nothing more than band-aids, or as the result of sudden changes so significant as to call for a redefinition of the organization, there are times when the changes that must be made are deep and far-reaching. At

exa anizations have been designed by one group t has been said of the United States Navy, for

at is, the definition, placement and coordination of functions and because the ends have already been

ith means. This is why so many problem-e designed to buffer their core

ch organizations all units fit into one of three perimeter.

ms and operations), coordination is achieved through standardization, that is, .g., upper management and staff or support functions),

anning. In perimeter units (e.g., sales, marketing, and customer stment (see Thompson).

o re from environmental turbulence and with a history of relying le in buffer units,

n ask “what” questions. People in the perimeter ial

questions. “Why” questions are generally asked -to-day operations or results. The group most able to

ke this long-term or strategic view is that cadre of senior executives responsible for the continued

y, all people in all units must e.

To summarize: Problems may be formulated in terms of “how,” “what” and “why” questions. Which

trategies

such times, the design of the organization itself is called into question.

Organizations frequently survive the people who establish them. AT&T and IBM are two ready mples. At some point it becomes the case that such org

of people but are being operated or run by another. (Iinstance, that “It was designed by geniuses to be run by idiots.”) Successful organizations resolve early on the issue of structure, thpeople. Other people then have to live with this design and,established, these other people are chiefly concerned wsolving efforts start out focused on means. Some organizations aroperations from turbulence in the environment. In sucategories: core, buffer, and

In core units (e.g., systeadherence to routine. In buffer units (ecoordination is achieved through plservice), coordination is achieved through mutual adju

Pe ple in core units, buffered as they aon adherence to standardized procedures, typically focus on “how” questions. Peopresponsible for performance through planning, ofteunits are as accountable as anyone else for performance and frequently for performance of a financnature. They can be heard asking “what” and “how” by people with no direct responsibility for daytawell being of the firm: top management. If the design of the firm is to be called into question or, more significantly, if it is actually to be altered, these are the people who must make the decision to do so.

Finally, when organizational redefinition and redesign prove necessarconcern themselves with all three sets of questions or the changes made will not stand the test of tim

formulation is used depends on where in the organization the person posing the question or formulating the problem is situated, and where the organization is situated in its own life cycle. “How” questions tend to cluster in core units “What” questions tend to cluster in buffer units People in perimeter units tend to ask “what” and “how” questions “Why” questions are typically the responsibility of top management

In turbulent times, everyone must be concerned with everything.

Section IV: Skills & sManaging the kinds of changes encountered by and instituted within organizations requires an unusually broad and finely honed set of skills, chief among which are the following.

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Political skills Organizations are first and foremost social systems. Without people there can be no organization. Lose sight of this fact and any would-be change agent will likely lose his or her head. Organizations are hotly and intensely political. And, as one was pointed out, the lower the stakes, the more intense the politics. Change agents dare not join in this game but they had better understand it. This is one

ust learn to take apart and reassemble operations and systems

It is called “Solution

r interpersonal skills. To be effective, we must be able to listen and listen actively, to restate, to reflect,

or Spanish, but most of us will have to learn to speak

nts of a marketing frame of reference is an entirely

agent is r sometimes desperate) points

ll-paid compliment can buy

ning about computers, although most people employed in today’s

ified results. To

area where you must make your own judgments and keep your own counsel; no one can do it for you.

Analytical skills Make no mistake about it, those who would be change agents had better be very good at something, and that something better be analysis. Guessing won’t do. Insight is nice, even useful, and sometimes shines with brilliance, but it is darned difficult to sell and almost impossible to defend. A lucid, rational, well-argued analysis can be ignored and even suppressed, but not successfully contested and, in most cases, will carry the day. If not, then the political issues haven’t been adequately addressed.

Two particular sets of skills are very important here: (1) workflow operations or systems analysis, and (2) financial analysis. Change agents min novel ways, and then determine the financial and political impacts of what they have done. Conversely, they must be able to start with some financial measure or indicator or goal, and make their way quickly to those operations and systems that, if reconfigured a certain way, would have the desired financial impact. Those who master these two techniques have learned a trade that will be in demand for the foreseeable future. (This trade, by the way, has a name. Engineering.”)

People skills As stated earlier, people are the sine qua non of organization. Moreover, they come characterized by all manner of sizes, shapes, colors, intelligence and ability levels, gender, sexual preferences, national origins, first and second languages, religious beliefs, attitudes toward life and work, personalities, and priorities — and these are just a few of the dimensions along which people vary. We have to deal with them all.

The skills most needed in this area are those that typically fall under the heading of communication o

to clarify without interrogating, to draw out the speaker, to lead or channel a discussion, to plant ideas, and to develop them. All these and more are needed. Not all of us will have to learn Russian, French,

Systems, Marketing, Manufacturing, Finance, Personnel, Legal, and a host of other organizational dialects. More important, we have to learn to see things through the eyes of these other inhabitathe organizational world. A situation viewed from different situation when seen through the eyes of a systems person. Part of the job of a changeo econcile and resolve the conflict between and among disparate (ant d

of view. Charm is great if you have it. Courtesy is even better. A wegratitude. A sincere “Thank you” can earn respect.

System skills There’s much more to this than learworld of work do need to learn about computer-based information systems. For now, let’s just say that a system is an arrangement of resources and routines intended to produce spec

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organize is to arrange. A system reflects organization and, by the same token, an organization is a

systems, appraisal systems, promotion systems, and reward and incentive systems.

d

’d better understand how a business works. In particular, you’d better understand how the business in which and on which you’re working works. This entails an understanding of money—

nnis, Benne & Chin reference)

y new operation in Wapping, some

ional: People are rational and will follow their self-interest—once it is revealed to them.

system.

A word processing operator and the word processing equipment operated form a system. So do computers and the larger, information processing systems in which computers are so often embedded. These are generally known as “hard” systems. There are “soft” systems as well: compensation

There are two sets of systems skills to be mastered. Many people associate the first set with computers and it is exemplified by “systems analysis.” This set of skills, by the way, actually predates the digital computer and is known elsewhere (particularly in the United States Air Force and the aerospace industry) as “systems engineering.” For the most part, the kind of system with which this skill set concerns itself is a “closed” system which, for now, we can say is simply a mechanistic or contrivesystem with no purpose of its own and incapable of altering its own structure. In other words, it cannot learn and it cannot change of its own volition. The second set of system skills associated with a body of knowledge generally referred to as General Systems Theory (GST) and it deals with people, organizations, industries, economies, and even nations as socio-technical systems—as “open,” purposive systems, carrying out transactions with other systems and bent on survival, continuance, prosperity, dominance, plus a host of other goals and objectives.

Business skills Simply put, you

where it comes from, where it goes, how to get it, and how to keep it. It also calls into play knowledge of markets and marketing, products and product development, customers, sales, selling, buying, hiring, firing, EEO, AAP, and just about anything else you might think of.

Four basic change management strategies (See the Be

Note: The fourth and last strategy in the table below is not one of those presented by Bennis, Benne and Chin. It is instead the product of the author’s own experiences during some 30 years of making and adapting to changes in, to, and on behalf of organizations. An excellent example of this strategy in action, albeit on an accelerated basis, is provided by the way in which Rupert Murdoch handled the printers of Fleet Street. He quietly set about building an entireldistance away. When it was ready to be occupied and made operational, he informed the employees in the old operation that he had some bad news and some good news. The bad news was that the existing operation was being shut down. Everyone was being fired. The good news was that the new operation had jobs for all of them—but on very different terms That there are also elements of the empirical-rational and power-coercive strategies at play here serves to make the point that successful change efforts inevitably involve some mix of these basic change strategies, a point that is elaborated on below.

Empirical-ratChange is based on the communication of information and the proffering of incentives.

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Normative re-educative: People are social beings and will adhere to cultural norms and values. Change is based on redefining and reinterpreting existing norms and values, and developing commitments to new ones.

Environmental-adaptive: People oppose loss and disruption but they adapt readily to new

pulation. Large populations argue for a mix of all four strategies, something for

tal-adaptive strategies Expertise. Having available adequate expertise at making change argues for some mix of the

lable argues for reliance on the power-coercive

Dependency. This is a classic double-edged sword. If the organization is dependent on its people,

a range of products and services that have been carefully designed and developed to compare so favourably in our customers’ eyes with the products and services offered by our competitors

them. On the other hand, the right kind of lone wolf makes an excellent temporary team leader.

Power-coercive: People are basically compliant and will generally do what they are told or can be made to do. Change is based on the exercise of authority and the imposition of sanctions.

circumstances. Change is based on building a new organization and gradually transferring people from the old one to the new one.

Factors in selecting a change strategy Generally speaking, there is no single change strategy. You can adopt a general or what is called a "grand strategy" but, for any given initiative, you are best served by some mix of strategies.

Which of the preceding strategies to use in your mix of strategies is a decision affected by a number of factors. Some of the more important ones follow. Degree of resistance. Strong resistance argues for a coupling of power-coercive and

environmental-adaptive strategies. Weak resistance or concurrence argues for a combination of Empirical-Rational and normative re-educative strategies

Target poeveryone so to speak

The stakes. High stakes argue for a mix of all four strategies. When the stakes are high, nothing can be left to chance.

The time frame. Short time frames argue for a power-coercive strategy. Longer time frames argue for a mix of empirical-rational, normative-re-educative, and environmen

strategies outlined above. Not having it avaistrategy

management's ability to command or demand is limited. Conversely, if people are dependent upon the organization, their ability to oppose or resist is limited. (Mutual dependency almost always signals a requirement for some level of negotiation.)

One more time: How do you manage change? The honest answer is that you manage it pretty much the same way you’d manage anything else of a turbulent, messy, chaotic nature, that is, you don’t really manage it, and you grapple with it. It’s more a matter of leadership ability than management skill. The first thing to do is jump in. You can’t do anything about it from the outside. A clear sense of mission or purpose is essential. The simpler the mission statement the better.

“Kick ass in the marketplace” is a whole lot more meaningful than “Respond to market needs with

that the majority of buying decisions will be made in our favour.” Build a team. “Lone wolves” have their uses, but managing change isn’t one of

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Maintain a flat organizational team structure and rely on minimal and informal reporting requirements.

Pick people with relevant skills and high energy levels. You’ll need both. Toss out the rulebook. Change, by definition, calls for a configured response, not adherence to

the fly. No

ry measure. Don’t “lock in” until the last minute, and then insist on

If they start asking for authority, that’s a signal

sues logbook. Let anyone go anywhere

y, if things look chaotic, relax.

Rem nge management is to bring order to a messy situation, not pretend that it’s

The

Org

prefigured routines. Shift to an action-feedback model. Plan and act in short intervals. Do your analysis on

lengthy up-front studies, please. Remember the hare and the tortoise. Set flexible priorities. You must have the ability to drop what you’re doing and tend to something

more important. Treat everything as a tempora

the right to change your mind. Ask for volunteers. You’ll be surprised at who shows up. You’ll be pleasantly surprised by what

they can do. Find a good “straw boss” or team leader and stay out of his or her way. Give the team members whatever they ask for, except authority. They’ll generally ask only for

what they really need in the way of resources. they’re headed toward some kind of power-based confrontation and that spells trouble. Nip it in the bud! Concentrate dispersed knowledge. Start and maintain an isand talk to anyone about anything. Keep the communications barriers low, widely spaced, and easily hurdled. Initiall

ember, the task of cha

already well organized and disciplined.

Selected sources Planning of Change (2nd Edition). Warren G. Bennis, Kenneth D. Benne, and Robert Chin (Eds.). Holt, Rinehart and Winston, New York: 1969.

Human Problem Solving. Allen Newell and Herbert A. Simon. Prentice-Hall, Englewood Cliffs: 1972. anizations in Action. James D. Thompson. McGraw-Hill, New York: 1967.

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Ap National initiative Managing change in agriculture hanges to how food is

agricultural sector are challenged by the increased risk of business failure as well as increased

dev l-State national educational

er

inclflexibility in management

food supply.

g greater coordination of successive stages in the production and distribution of food and fibre products.

d to a limited number of users. nmental protection and natural resource conservation, with

cision

already underway in everal states. It also reflects a system wide commitment to additional programmes that help people in e agricultural sector--producers, families, agribusinesses, and rural communities--understand change

and develop creative, strategic responses to it.

Vision People in the agricultural sector make significant decisions that enable them to take advantage of change, thereby improving the performance of their businesses and the well-being of their families and communities, while satisfying the demands of society.

Strategy Managing change in agriculture provides unique educational programmes that focus on strategic thinking and decision making processes. The initiative utilizes a holistic systems approach that recognizes the interdependence of producers, agribusinesses, rural families, communities and society. It equips people with the management perspective and capabilities necessary to understand and respond positively to the challenges of major socio-economic change.

pendix 8: Agriculture is in the midst of a major revolution that is bringing "profound cproduced, processed, distributed, and marketed in the United States and abroad" [1]. People in the

opportunity for success that could result from these changes. To meet the challenge, they need to elop a broad set of management capabilities. Therefore, a new Federa

initiative, Managing Change in Agriculture, has been established. [2].

The need Th revolution in American agriculture is having a significant impact on farm families,

ibusinesses, and rural communitag ies, requiring them to make major adjustments to be successful in the evolving agricultural industry. Significant changes affecting people in the agricultural sector

ude: Dramatic change in federal farm programmes, giving producers greater

decisions, and greater responsibility for marketing and risk management. Changing consumer preferences, as the U.S. population becomes older, more suburban and more ethnically diverse, and as people demand greater variety, quality, safety and convenience in an affordable

Increased globalization of markets, providing more opportunities as well as more competition in domestic and foreign markets. Accelerated industrialization of agriculture, demandin

New technologies, often more complex and difficult to use effectively and profitably than earlier technologies and sometimes restricte

Heightened expectations for enviroimplications for management decisions of producers and processors.

Increasingly powerful information systems, providing greater access to information for demaking for some-but not all people.

Managing change in agriculture builds on innovative, educational programmessth

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Within the context of the initiative, agriculture is broadly defined to include the prodprocessing, and distribution of crop, livestock, aquaculture, and forest products. Agricultural

uction,

Objectives ry objective of Managing change in agriculture is for people in the agricultural sector to

enjoy the benefits of a productive agriculture that is competitive in the global economy and

nut roducts. CES provides

atti

Ma trates on strategic thinking and decision making processes

anagement areas require people to adopt integrated, s approaches to problem solving; and they require the cooperative extension system to employ

mic, and human resource ajor issues include significant changes in the commodity provisions of the 1996 Federal

s.

producers and their families are the primary audience for the initiative. Other audiences include small- to moderate-size agribusinesses, non-agricultural rural businesses, agricultural associations and organizations, and agricultural institutions. Programmes under the Managing Change in Agriculture initiative are designed to complement those of other national Extension initiatives--Communities in Economic Transition, Water Quality, Sustainable Agriculture, and Food Safety and quality.

The primahave successful, profitable businesses contributing to the well-being of their families and communities. To be successful, these business owners must be sensitive to the desires and expectations of consumers and society. Hence, the secondary objectives of the initiative are for (1) society tofriendly to the environment; and (2) consumers to have access to an abundant supply of safe,

ritious, convenient, and affordable food and other natural resource peducational programmes through which people in the agricultural sector develop the knowledge,

tudes, skills, aspirations and behaviours to: Choose effective survival and growth strategies for adjusting to change.

Respond rapidly to global (regional, national and international) market signals. Use appropriate risk management techniques.

Protect the environment and natural resource base. Protect the environment and natural resource base. Evaluate and adopt appropriate technologies. Contribute to the strength and vitality of communities. Participate in the process of resolving public issues that involve trade-offs among economic

returns and environment, community and other concerns. Management areas

naging change in agriculture concenthat enable people to understand change and its implications, develop and evaluate alternative responses, and make and implement decisions. The educational programmes of this initiative apply these processes in four important management areas: (1) Managing the Agricultural and Natural Resource Business, (2) Managing the Environmental Interface, (3) Managing Technology, and (4) Managing the Community Interface. These msysteman interdisciplinary, team approach to the planning and delivery of its educational programmes.

1. Managing the agricultural and natural resource business. Managers need to learn effective business management skills that integrate a large number of technical, econofactors. MAgricultural Improvement and Reform (FAIR) Act, structural changes in the hog industry, an extreme low in the cattle-price cycle, emerging markets for customized grains and oilseeds, trade policy and emerging global markets, and other major trends in agriculture that challenge the survival of many agricultural firms. Educational programmes give attention to individual and family goal setting and decision making, strategic planning, and development of business plan

133

2. Managing the environmental/natural resources interface. Managers need to integrate production- marketing factors with environmental protection and natural resource conservation considerations. Major issues include society's concern about point and no point source pollution (caused by erosion, manure, fertilizers, and pesticides), conservation of natural resources, and access to quality recreation. Educational programmes include environmental protection and natural resource conservation alternatives in a firm's decision making process. Programmes also include pubic issues education and conflict resolution.

3. Managing technology. Managers must be able to assess the appropriateness of new technologies

tion-marketing decisions communities and

eds of producers and their families. Educational of business and community and the impact of ommunity services. Leadership development

ve involvement in community activities.

u

var sing needs of people confronted with Other program areas may be added in the future to address emerging national

products and new markets,

that could be used to accomplish their firms' objectives. They are faced with a continuous stream of new products and practices, such as bio-engineered seeds and precision farming equipment, that have many potential benefits, but the actual short- and long-term benefits and costs for individual farms or firms are not well known. They also need to understand and evaluate electronic technologies, which are revolutionizing the way firms access and respond to information. Educational programmes help people understand specific technologies, products, and practices; evaluate them; and apply them in their businesses.

M4. anaging the community interface. Managers need to integrate producwith their need to support a local community. Issues include the viability of ruraltheir ability to satisfy the business and social neprogrammes include understanding the interdependencebusiness decisions on the longer-term availability of cand other educational programmes increase effecti

Ed cational programme priorities Managing change in agriculture focuses nationwide attention on three priority program areas using a

iety of educational programmes that meet the most pressignificant change. priorities. The priority areas are:

1. Risk management and marketing. Programmes in this area help agricultural producers develop and implement business procedures to take advantage of new marketing opportunities and manage increased risks inherent in their changing environment. Several programmes concentrate on changes in government commodity price support, disaster assistance and crop insurance programmes that have lowered the historic public "safety net" and reduced government involvement in business decisions. Producers learn new financial, marketing, and production risk management skills, and consider a greater number of alternatives in their business and marketing plans.

2. Integrated Animal Product Systems. These programmes recognize the interdependence of all firms in a product system-- from providers of animal genetics to sellers of consumer-ready beef, pork, and dairy products. Integrated, interdisciplinary programmes help people solve complex industry-level problems, as well as individual producer- and firm-level problems associated with the many significant changes occurring in these industries. Close working relationships with clientele and coordination of extension and research activities provide the knowledge and assistance people need to improve genetic- driven product characteristics, reduce problems of disease, adopt more effective production and processing practices, recycle wastes, develop new

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effectively respond to threats of phyto-sanitary trade barriers, and implement new methods of business organization and economic coordination.

3. Conservation. Programmes involving conservation help landowners evaluate the consequences of using alternative conservation technologies and management practices. Programmes also assist them in developing and implementing effective strategies that integrate conservation objectives with production and business objectives. Consideration is given to several environmental provisions of the FAIR Act, which seek to maintain and improve the conservation of farm land and other natural

r and intensity of educational programmes in the above priority program areas vary by state, as land grant extension faculty work with people to solve their problems and take advantage

ccessfully trategic and tactical decisions dealing with change.

plement new goals and plans; participants' assessment of progress

resources (for example, the Grazing Lands Conservation Initiative, Environmental Quality Incentives Programme, Highly Erodible Land Conservation, Conservation Reserve Programme, Wetlands Reserve Programme). The initiative expands extension's efforts to provide renewable resource information and education under the renewable resources extension Act.

The true value of the Cooperative Extension System (CES) is its ability to design, develop, and deliver educational programmes that meet the unique needs of local people as they adjust to change. Hence, the numbe

of opportunities associated with major changes in the agricultural sector. States also develop programmes in other areas to meet the unique priority needs of their citizens as they respond to change.

Expected outcomes General outcome. Participants in managing change in agriculture programmes will improve the performance of their businesses and the well-being of their families and communities by sumaking and implementing major s

Specific measures. The following outcome measures will be used to evaluate CES impact: Participants' perception of being helped by the programme, including their ability to identify

change and to develop and imtoward their goals.

Number of people who develop new business and family goals; make strategic, business, marketing, or financial plans to accomplish their goals and make major business changes based on their plans.

Number of new technologies, management practices, marketing practices, and risk management techniques adopted by participants, as well as the number of these practices thoughtfully rejected.

The actual or expected net value of implemented plans.

National initiative team responsibilities The national initiative team, appointed by CES, provides overall leadership for developing and implementing the initiative. The team: Identifies critical issues and problems of change in the agricultural sector. Increases CES awareness of the issues and of people's needs. Encourages development and implementation of innovative, interdisciplinary programmes. Seeks cooperation of non-extension partners. Evaluates the results.

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Current information Information about managing change in agriculture is continuousl

Home Page [URL: http://www.reeusda.gov/]. Click y updated on the CSREES-USDA

on "Programmes," then "Programme Title."

Tom Lyson, Cornell University (607-255-3163, tal2@cornell.edu)

National initiative team members Elbert Dickey, Co-Chair, University of Nebraska (402-472-2966, coex010@unlvm.unl.edu) David Holder, Co-Chair, Cooperative State Research, Education and Extension Service, U.S.

Department of Agriculture (202-720-4387, dholder@reeusda.gov) Adell Brown, Southern University (504-771-2242, abrown@2244aol.com) Bill Caldwell, North Carolina State University (919-515-3252, bcaldwel@amaroq.ces.ncsu.edu) Richard Frahm, Cooperative State Research, Education and Extension Service, U.S. Department of

Agriculture (202-401-4603, rfrahm@reeusda.gov)

Alice Morrow, Oregon State University (503-737-1013, morrowa@ccmail.orst.edu) Carolyn Pickel, University of California (916-741-7515, cxpickel@ucdavis.edu) Henry Wadsworth, ECOP Liaison, Purdue University (317-494-8489,

henry_wadsworth@acn.purdue.edu) Notes 1. Mark Drabenstott, "Introduction" to Food and Agricultural Markets: The Quiet Revolution, Lyle

Shertz and Lynn M. Daft, eds. ERS-USDA and National Planning Association, 1994.

nge in Agriculture became a national initiative in October 1995.

2. The Cooperative Extension System is a federal-state-county partnership. System decisions, such as new initiatives, are jointly made by the Extension Committee on Organization and Policy, representing the state land grant universities, and the Cooperative State Research, Education and Extension Service, representing the U.S. Department of Agriculture. Managing Cha

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Appendix 9: What is visioning?

A brief Introduction to the “Oregon model”

thing in

ty to

ly

ent is the formal ty seeks to become-

or better. A vision statement is als t and implementation of a strategic action plan that can help ommunity mobilize to achieve its vision over time.

Th ning regon communities have been at the forefront of the use of visioning as a planning tool. creasingly, visioning is used y local communities in Oregon to complement their state mandated

land use plans, introduce a broader dimension into proper planning, and build greater consensus for preferred future directions. This trend fits well with the state’s reputation for being innovative, forward –thinking and values oriented.

In recent years, communities ranging in size from the largest city in the state to some of its smallest have engage in community visioning projects. Each of their visioning experiences has been unique, providing new insights and lessons for the communities that have followed them.

Based on the work of the Oregon visions project, a committee of the Oregon chapter of the American planning association, and the experience of the local communities, an overall approach to community visioning has emerged. Because this approach directly reflects the visioning efforts of local communities around the state, we call it “Oregon Model”

(Steven C. Ames) Virtually every step forward in the progress of mankind has begun with a dream. Seeing somethe mind’s eye has been the first step to achieving it in reality.

Visioning is a process through which a community envisions the future it wants, and then plans howto achieve it. It brings people together to develop a shared image of “where” want their communibe in the future. Once a community has envisioned where it wants to be, it can begin to conscious

rk toward that goal. wo

A vision is a guiding image of what a community would like to be, and vision statemexpression of such a vision. It depicts in words and images what the communihow it would look, how it would function, how it might bve4 different

o the starting point for the developmenc

In undertaking a visioning process, a community can: Better understand local strengths , weaknesses and core community values

Identify outside forces trends and issues that are shaping its future Articulate a preferred vision to guide its future directions Develop the strategic tools to achieve its vision.

e Oregon model: Comprehensive community visioOIn

137

The Oregon model: A comprehensive community visioning process

undertake specific activities

tucommunity institutions, hou

required.

current trends and activitie

Activities: DeterminatioCreation of a probable groups, community meet

Produce: Trend stateme Step three: Creating the visdescribing what the commu

The four steps of the OreThe Oregon model for commfocuses on a driving question

While all four steps are reco

changes and flexibility. The

Step one: Profiling the compresent. This involves identina ral resources, populatio

resources. An assessment of includes the development ofcommunity members. Driving question: “Whe Activities: Research an

developed, additional a

Products: Community p Step two: Analyzing the tre

projected trends, and their pwhat the community will loodeveloped.(As discussed late Driving question: “Whe

1 2 3 4

Where are Where do we How do we

e want to be? get there?

Where are

we now? w

Descriptive Information Tre

Community values Pro

Community profile

Action plan

138

Trend

Statement

going?

Trend

at different points in th

sing, transportation,, ed

ch commun

s continue. It involves

n of current and projescenario (or alternative ings and brainstorming snt, probable scenario, ad

ion. The next step involnity seeks to become.

gon model unity visioning involve

, involves different activ

mmended, a community

four steps in the Oregon

munity. The first stepfying and describing ken, geographies, the lo

community strengths and a statement of commu

re are we now?” d data collection, comctivities su

rofile, strength and weak

nds. The second step is

otential impact on the k like at some point in tr, additional “possible scre are we going?”

nd information Po

Sce

bable scenario Co

statement

Vision statement

may choose to follow only some of them or to e process. The model allows for these kinds of

odel are:

community as it exists in the eristics of the area, such as geography,

cal economy and labour force, political and ucation resources, and cultural and recreational

ity survey, community meetings etc. may be

munity is headed if analyzing research to determine current and

cted trends, assessment of their future impact. possible scenarios) through a task force, work essions, or other means. ditional possible scenarios.

ves the actual creation of a vision or the future, Based on the identifies community values, a

s a comprehensive four step- process. Each step ities, and results in specific products.

m

is to profile the y charact

weaknesses is prepared. This step also typically nity values that articulates core beliefs shared b

pilation and analysis. If a values statement is

nesses assessment, values statement

to determine where the com

community. A “probable scenarios”, describing he future if it stays on its current course, may be enarios” also may be developed)

ssible/preferred Goals, strategies, actions

narios

mmunity vision Action agencies and priorities

“preferred scenario” is developed to describe what the community will look like if it responds to emerging trends and issues in a proactive manner. Ultimately, the community’s formal vision sta

Wh lso firmly grounded in reality. By basing the preferred scenario on concrete facts and trends identified through the is ess, citizens ision that is bo listic and achievab “What do we want to be?” n o ario and final vision statement through task forces, work

groups, community meetings, brainstorming session, or other means. temen

tep four: Developing an action plan. Once the vision has been created, a strategic action plan to

ould be as specific as possible, including actions to be

y also be

tement is based on this scenario.

ile developing the vision statement involves imagination and creativity, the process is a

v ioning proc create a v th rea le. Driving question:Activities: Creatio f a preferred scen

Product: Preferred scenarios, vision sta t

Sachieve it can be developed. The action plan shtaken, assignment of responsibilities, timelines, costs, opportunities and constraints, and more. Driving question: “How do we get there?” Activities: Identification of goals, strategies, action, implementation agendas and ma

linked to the development of a community benchmarking system to measure progress n achieving community goals.

Product: Action plan(s)

139

Appendix 10: A Comprehensive structure of corporate governance in Post-Enron Corporate America

as made structures

i

e ay is the excessive concentration of power in the g or equalizing this power is a prerequisite for controlling

mor

A c f corporate governance is needed in reflecting this revolutionary view of p ibe such a structure in the following sections in the hopes of stimulating

ought and discussion about alternatives to the current “tone at the top” approach. Built using a bottom-up process to support the view that the corporate enterprise exists under a public trust charter granted by the stakeholders or society in general, this approach depends more on checks and balances among the board of directors, top management, and the employees.

Symptoms The systemic problems at companies such as Enron, WorldCom, and Tyco International arose because of an imbalance of power in favour of top management in corporate organizations. The shift in power from shareholders to management started with the appearance of large corporations as a result of the Industrial Revolution, when small capitalists pooled their resources to finance bigger ventures that were operated by professional managers referred to subsequently as “managers for hire.”

Evidently, the unlimited power of managers for hire over the affairs of a corporation has grown consistent with the growth and importance of the corporate enterprise in our society. The first glimpse of management’s power was reflected in the corporate social responsibility debate of the 1960s and 1970s. Classical economists, led by Nobel Prize laureate Milton Friedman, argued that the purpose of business is to earn maximum profit for the shareholders. Others rejected the notion of maximum profits as the sole, overriding purpose of business. Maintaining that business has a social responsibility to its stakeholders and to society at large, they advocated that top management should use the vast economic power of business to promote social goals such as cleaning the environment, urban renewal, and equal opportunity. Since then, top management’s power has grown, and boards of directors have become rubber stamps.

Balancing corporate power Of interest is whether SOA would provide a mechanism for rebalancing the power between the board of directors and top management. More fundamentally, can implementing the SOA provisions prevent management fraud?

(Manuel A. Tipgos and Thomas J. Keefe)

Corporate governance structures have traditionally been a private matter between shareholders and man e Sarbanes-Oxley Act (SOA) hagers with some state law restrictions, but thgoverning the conduct of the corporation a matter of federal law. Even the adoption of a code of eth cs, previously within the domain of management prerogatives, is now a requirement under SOA.

Th principal weakness of corporate governance todhands of top management. Rebalancinmanagement fraud and promoting accurate financial reporting. To regain the confidence of the financial markets, a revolutionary approach to corporate governance is needed. Formally recognizing

p in the corporate process, rather than as a factor ofem loyees as a group and as key participants production and a commodity traded in the labour market, is an important element in a transition to a

e balanced governance structure.

omprehensive struc ture oem loyees. The authors descrth

140

SOA does not diminish the existing discretions and prerogatives of management in conducting and d of

e really change the power of management. The force of t cannot stop management fraud. Management fraud can be

stopped only by management itself.

communicate directly with each other within and outside the confines of the board to share critical

nduct of the corporation’s affairs is worked out between the board of directors and top management.

rest in the corporate enterprise through gainful employment;

management

cial officers is now a requirement of the law.

focused and vigilant about their shared responsibility of complying

pursuing the business of the corporation, nor does its requirement for an independent boardirectors and an independent audit committelaw or regulation can be a deterrent, but i

The authors’ proposed corporate structure attempts to rebalance power in the corporation by recognizing employee groups as members of the corporate team. In this context, the three key participants in the corporate process—the board of directors, management, and the employees—can

information about the business of the corporation.

The corporate process and the employees The conduct of the corporation is a three-way process involving the board of directors, top management, and the employees. Unfortunately, the potential role of the employees in this process has never been adequately recognized. The employees have traditionally been considered under the control of management, while the co

In the last 10 to 15 years, two significant and dramatic changes have transpired in the social and economic status of employees. First, reengineered organizations and the concept of employee empowerment have led employees to become a force in making significant decisions affecting the success of a corporation. Second, the employees are increasingly owners of a corporation as participants of 401(k) and other savings and retirement programmes. As “new owners,” they are connected with the corporation in three significant ways: by direct inte as a source of security in retirement years through 401(k) and other retirement programmes; and as a source of “collateral benefit” from being a stakeholder (as members of society) in the

corporate enterprise. Pursued to its fullest, a three-way relationship among the board, management, and the employees will balance power within the corporation, promote accurate financial reporting, prevent fraud, and regain the integrity of the financial markets with minimum interference from the government.

Empowered relationships: Shared visions At the core of restructuring corporate governance is empowerment at all levels—shareholders, the board, top management, and the employees—consistent with the concept of empowered or reengineered organizations. The goals and objectives of the corporation will be a shared vision. SOA has changed the playing field for controls, creating an environment where such change can occur. Under the law, top management has to certify the accuracy of the financial reports and make certain disclosures about the controls and procedures in place to avoid fraudulent financial reporting. Even a code of ethics for senior corporate finan

To keep all these constituencies with SOA as well as their responsibility to the stakeholders of the corporation, each of them will

141

assume a primary responsibility of upholding key shared goals. Matching and assigning the goals to each group is crucial to the success of the new structure, considering each group’s past problems.

Internal control: Historically, internal control has focused on conforming employees’ actions to the desires of management. One of the problems underscored in the recent scandals, however, has been management’s inappropriate overrides of accounting systems that were functioning properly under the

create and maintain a structure that will ensure harmony and cooperation between management and the employees in pursuing the goals and

bber-stamping the actions of management.

ill rebalance corporate power, guarantee accurate financial

nts in the corporate process signifies a move ooperative relationship

o

The on labour, individually and collectively, will be of historic magnitude, and erhaps may be understood only sometime in the future. In the near term, however, the new self-

because it would be difficult for management to cook the books by overriding internal controls or manipulating transactions under the watchful eyes of

countability in other areas.

holders and of

service, a clean environment, or a general rise in the standard of living. Stockholders have a dual

control of employees. Assigning internal control to the employees will enhance the integrity of the financial records by preventing management from overriding the controls and manipulating the transactions.

Corporate governance: The board’s job will be to

objectives of the organization rather than simply ru

The code of ethics: Management will be assigned responsibility for the code of ethics to promote the importance of corporate morality and ethical standards. This will also put management in a leadership role rather than in the cop’s role it currently plays in internal control systems.

Continuous vigilance by each group wreporting, stop management fraud, and encourage good corporate behaviour. Under the concept of empowered or reengineered organizations as the cornerstone of this comprehensive governance structure, all three goals are shared visions and shared responsibilities.

Recognizing the role of employees The recognition of the role of employees as key participatoward an enlightened view of employees in general, which will promote a cam ng shareholders, top management, and employees in the corporate environment.

psychological impact pesteem of employees will probably lead to dramatic gains in productivity. A new era in resource management may open, including a reconsideration of compensation issues.

Management fraud will be prevented at its source

employees. This will also lead to management’s ac

Even though retaliation or retribution from management is now a crime under SOA, SOA does not guarantee that employees will step up as whistle-blowers. As recent whistle-blowers have found out, co-workers and other sectors of society view them as traitors. Direct and equal access to the board, management, and the independent audit committee will empower employees to confront any group for misbehaviour.

Completing the structure: There is a distinction between the interests of stakestockholders in an enterprise. Stakeholders, broadly defined as society as a whole, are interested in the collateral benefits derived from the success of the enterprise, such as the abundance of a product or a

142

interest in the success of the enterprise: direct interest as a reward for their investment, and collateral benefit as stakeholders. Similar benefits are enjoyed by management and employees based on their close association with the enterprise. Therefore, for stockholders, management, and employees with

legitimacy. The public trust has been shaken by revelations of misconduct by corporate America, and the current volatility of the financial markets continues to reflect the concerns of the

s of its operations and to judge whether it is upholding the public trust. Stakeholders require truth, honesty,

complish this end to a

the proposed comprehensive e. They are an enlightened public accounting

public trust for

sure that there are no

spect to the operation of the corporate organization, serving as the link between the

empowered relationships, the success of the enterprise becomes a shared goal.

The public trust Stakeholders provide the corporate enterprise with a “charter” to operate and enjoy approval under the public trust. Business corporations, as well as other social institutions, must uphold the public trust to maintain their

investing public

Stakeholders use a corporation’s annual reports and financial statements to gauge the succes

and integrity in these financial reports. This expectation makes the quality of financial reports one of the most important components of corporate America. The current SOA requirement that both the CEO and the CFO attest to the accuracy of their financial reports may acconsiderable degree, but not completely. The best guarantee will come from a reengineered corporate structure predicted on the checks and balances outlined above, whose constituent parts adopt the qualities of truth, honesty, and integrity of financial reports as part of their shared vision.

Two groups act primarily of “guardians of the public trust” in reengineering of corporate governance structurprofession and the independent audit committee.

An enlightened public accounting profession: A public accounting profession, practicing with extraordinary dedication and integrity, is an important element of satisfying thestakeholders as well as shareholders. Accountants with the knowledge, training, experience, and mindset needed to guard and uphold the public trust should be sought by every corporation desiring to ensure its stakeholders that its financial statements and disclosures meet the stakeholders’ expectations.

The independent audit committee: Under the empowered, reengineered relationships among management, employees, and the board, the audit committee will have two fundamental responsibilities. Internally, it will oversee the annual audit to ensure the accuracy and integrity of the financial statements as required by legislation or statute. It will also enbreakdowns in corporate governance rules and procedures, including the rules of ethical conduct and internal control. The audit committee also would be the practical monitor collecting information regarding corporate misconduct and encouraging those with such information to come forward.

Externally, the role and responsibility of the independent audit committee would be to uphold the public trust with restakeholders and the corporate organization. An illustration of the relationships discussed is shown in the exhibit.

Internal audit function and management accountants: The internal audit function should generally report to the independent audit committee, and its work should be focused to uphold the public trust.

143

While continuing to perform its basic responsibilities, such as compliance audits, operational audits, assistance to external auditors, special projects for the audit committee, and other tasks requested by the operating departments, the internal auditor will no longer act as a watchdog for the board to ensure that management creates an environment of controls to protect corporate assets from misuse or fraud committed by the employees. Rather, the internal auditor will promote a positive, cooperative

the key participants of the corporate process.

the business’ profitability

relationship among

Management accountants would face a big challenge. They would be charged with responsibilities for: employees’ active and knowledgeable participation in their new role as a member of the corporate

team

internal control functioning as planned continuous vigilance against any type of “cooking the books” and creative accounting implementing the infrastructures to facilitate top management’s certification and disclosure

responsibilities under the Sarbanes-Oxley Act; and a code of ethics that will transform the corporate enterprise into a moral and ethical entity in the post-Enron era.

Manuel A. Tipgos, PhD, CPA, is a professor of accounting at the School of Business at Indiana University Southeast.

Thomas J. Keefe, PhD, is an associate professor of business administration at the School of Business at Indiana University Southeast.

144

Appendix 11: Frame work for analyzing board activities

Outward looking Providing accountability Strategy formulation

Inward looking Monitoring and

supervising

Policy making

Past and present oriented Future oriented

Source; Hilmer & Trickler (1991)

Appendix 12: Insights into board level activities

uO tward looking

In ard looking Roles Role

w

e Performance Conformanc

Past and present orientated

Future orientated

Sou

Management skills

Source; Leadership Studies Productions (1

rce; Bob Tricker (1995)

Appendix 13:

Conceptual

Techn

Skills needed

Management levels

Top management

Middle management

Supervisory management

Human resource

980)

ical

145

Appendix 14: The Agricultural Council of Uganda (ACU) perspectives (D

It is now known that smallholder farmers as individuals, sma eneral purpose groups or associations cannot survive the onslaught of multinational/large cartel of big agro-processing companies i an omies. ACU experience reveals that Uganda’s and

ying important role in shaping agricultural and trade policies, fectively defending the interests of producers nationally and regionally, even in international arenas

ell organised for market-led

A cted by ACU also ot everyone i multinationals/big fi ment partners and c ciety organizations support meaningful farmers’ organizations

powerment. The critics express doubt over the extent to which FOs are either representative or legitimate especially when their leaders fight more for access to donor’s money. Furthermore, instead

ernment for support to their members they literary beg government for andouts.

neral purpose FOs and their failure to articulate rmers’ interests in a market-led economy that gave impetus to ACU to encourage the formation of

d FOs with focus on specific markets for their agricultural commodities. This ecessitated the adoption of agro-industry chain approach in organising ACU member commodity-ased organizations so that their capacity ckle primary production, primary value addition rough to access to markets (see figure 1). Ladder in transformation of smallholder farmers from

roduction to commercial farming as a business shown in /figure 2 illustrate ACU step by ep approach to FOs capacity building including other key play s agro-input dealers ssociations and service providers. As a result of ACU focus on commodity-based FOs its effort is ow bearing fruit as outlined in the examples below.

fter recommending and lobbying for Jack Bigirwa, Chairman of Coffee Farmers’ Organization, AP appointed him to head the coffee unit. Now the national coffee farmers’ organization has

s.170million from IFAP for capacity buil its 5,000 coffee farmers to enable em produce quality coffee beans, improve their marketing and negotiation skills as well as

articipate effectively in research to develop new coffee varieties for the future.

y lobbying the German government, ACU has also enabled Uganda honey beekeepers association to et financial and technical assistance. Now UHBA has set up an apiculture training school centre at

dition to honey refiner e centre now produces quality beehives for sale to eekeepers, NGOs and war veterans etc. The training school centre is due for official opening soon.

or dairy farmers, ACU on behalf of its members has negotiated with the French Government, AAIF (DDA) and linked them with Uganda National Dairy Cooperative Union (Formerly Uganda

Project Phase 1 supported by the French is ow extended to 2007 in Mbarara District. Again the emphasis is on Dairy Farmers’ empowerment

and production for markets (local and regional markets). It is hoped the experience will be replicated in other districts in Uganda.

r. J. J. Otim)

ll scattered g

n a liberalised d/or laissez-faire econEastern Africa’s FOs are not yet plaefcompared to West Africa’s FOs who are commodity-based and weconomy.

survey condu shows that n n government circles, rms, develop ivil so

em

of dialoguing and lobbying govh

It was the realisation of weaknesses within the gefacommodity-basenb is built to tathsubsistence pst ers such aAn

AIFreceived UgSh ding ofthp

BgNakasongola in ad y unit. Thb

FMNatural Dairy Farmers’ Association). A successful Dairyn

146

Sugarcane, coffee, tea, simsim, oilseeds crops out grower schemes are now operational in Uganda

ACU will not encourage going backward to championing general purpose

of agriculture in Uganda and regionally under Regional Farmers Organizations Network

interests of their members.

where smallholder commodity-based farmers organizations are well organised.

With the above successes,FOs. ACU is focussed on uplifting smallholder farmers to commodity-based farmers’ organizations who can negotiate and enter into contract/out growers farming and value addition through helping them set up subject matter experts.

The focus is on increased productivity and increased share of marketed production of economically active and organised low income smallholder farmers. Ultimately, ACU aim to build the capacity of smallholder farmers to become members of private sector playing a much more vigorous role in the development (REFON).

This capacity building seminar/workshops should therefore focus on commodity-based FOs if its output is to help mitigate the impending possibility of smallholder farmers being easily turned into employees of multinational/big local firms. Glorifying general purpose apex FOs to lead capacity building of farmers’ organizations in Eastern Africa is a sure recipe for failing smallholder farmers’ organizations to protect the

ACU has seen the impact of this approach in Uganda here where for too long; emphasis had been put on establishment of general purpose FOs. Farmers have remained marginalised while their leaders beg governments under false belief that they are lobbying. Indeed smallholder farmers have continued to produce and deliver under terms and conditions set by multinationals and poverty has intensified. Let this Seminar Workshop borrow a leaf from ACU experience. The West Africa’s FOs are playing an increasingly important role in shaping national and regional agricultural and trade policies and effectively defending the interests of producers, even in international arena because they realised past mistakes and focussed on capacity building of their commodity-based FOs such as cotton farmers’ organization and horticulture farmers’ organizations.

Thank you.

147

Figure 2: Ladder in the transformation of farmers from subsi e

Progressive peasant farmers: Smallholder farmers, who are be d by of the stock h,etc to generate income.

Subsistence farmers: Those village cultivators who grow enoug

stenc to commercial agriculture

ginning to be market-oriente

h only to live on, not to sell.

COMMERCIAL E

(organized far icooperatives/associati

FARM

mers,RS

ndividuals ons)

selling surplus ir produce/live /poultry/fis honey

Capacity building of

Commodity based farmers

Step 3 Lead agency: ACU

MARKET-ORIENTED F (organized Farmers, Individu Cooperatives/Associations)

ARMERS

als

Capacity Building of Commodity based Farmers Step 2

MARKET-ORIENTED FARMERS

(organized farmers, individuacooperatives/associations)

ls Lead Agency: ACU

Capacity building of

Commodity based farmers

Step 2 Lead agency: ACU

PROGRESSIVE PEASANT FARMERS

SUBSISTENCE FARMERS

Capacity building of

Commodity based farmers

Step 1 Lead agency: ACU

148

The ag

ased industry chain approach to building capacity of farmers.

ro-industry chain

Quality raw material supply (Primary production)

Diversified product

Processing

(higher value added

Products)

Markets a) Export i) International ii) Regional

b) Domestic

Primary

processing

(Primary value

added

Consumers

By-product & waste Utilization

Distr Distribution

Logistics

Distribution

Logistics

ORGANIZED

FARMER

ibution

Logistics

The agricultural council of Uganda in integrated agro b

149

Supporting Industries Suppliers of technology, machinery and material goods) Main raw material input supply system Primary processing supply system Secondary/tertiar ocessing supply system Machinery and vices system

Supporti Investment services Banking services ance services services ction extension services Post-harvest services Product services Processes ser es Product safety & quality systems

Note: In order for the agro-industry chain to function effici , supporting industries/services must also function efficiently in partnership with organised farmers. An integrated approach Education/training services Training Skills development Transport and communication servi Marketing and distribution services Advertising Receipt warehousing/commodity exchange systems Marketing & promotion to transformi subsistence to commercial

enterprise m effective linkages/networkin ong all the key Packaging services Machinery repair & maintenance services Export services Brokerag Forwardi Port services Accounting C lting s s O critica port services Stakeholders in the agro-industry chain. The current segmented approach by general purpose FOs

will not deliver.

y pruip

us

eq

ind

ment inputs and ser

tring service es

InR Pr

sur& Dodu

vic

ently

ng agriculture fromg am

ces

intelliust e

gencensure

e ng

onsuther

ervicel business sup

150

Appendix 15:

y Centre (ICRAF) 00

4000 or 722 4415 (Dir)

List of participants

1. Millie Abaru RELMA in ICRAF World AgroforestrP.O. Box 30677 001Nairobi, Kenya Tel: +254 20 722Fax: +254 20 722 4001 m.abaru@cgiarf.org 2. Mary Anecho Nebbi district farmers association P.O. Box 16 Nebbi- Uganda Tel: +256 077 989 678

peratives

81/4 or 0744 312406

3. Saidi S. Asaidi Secretary General Tanzania Federation of Co-o

2567 P.O. Box Dar-Es-Salaam, Tanzania Tel: +255 022 21840Fax: +255 022 2184081 ushirika@ushirika.co.tz 4. Patrick Birech NGOMA P.O. Box 889 Moi’s Bridge Eldoret, Kenya Tel: +254 0723 584359 martharop2000@yahoo.com

ipyeg5.Hillary KNGOMA

o Bwalei

Moi’s Brigde

20 978810 oo.com

P.O. Box 880Eldoret-KenyaTel: +254 07martharop2000@yah 6.Charles Byabakama Rukungiri District UNAFFE P.O. Box 1 Rukungiri – Uganda. Tel: +256 077 625687 7. Ezron Isekayombi ECOSTA

Kasitu Bundibugyo District Bundibugyo Town

l: +256 078 447629

8. David Marcel Itegeirize FADECO P.O. Box 223 Karagwe-Kagera-Tanzania Tel: +255 0744 742420 ditegereize@yahoo.com

Te

9. Elizabeth Jepcumba Joshua

Tel: +254 0722 254404 ℅ martharop2000@yahoo.com

NGOMA P.O. Box 889 Moi’s bridge Eldoret Kenya

10. Elieth Joseph FADECO P.O. Box 223

ragwe-Kagera-Tanzania l: +255 0748 558581 or 028 2223924

com

KaTeFax +255 058 2223024 eliethsekiku@yahoo. 11. Charles Kabuga P.O Box 29779 Kampala Tel: +256 077 438832 ckabuga@africaonline.co.ug 12. J.P. Kargorora Dissemination Specialist, ICRAF P.O. Box 1166 Bundibugyo, Uganda

kkanahe@yahoo.co.ukTel: +256 077 499582

13. Rose Kasozi ACU P.O. Box 7538 Kampala Tel: +256 075 816674 rose-kasosi@yahoo.co.uk

151

el: +254 0724 880619

ira

r .O. Box 149

ia 16

14. James Kinja KENFAP P.O. Box 124 Kianjai, Kenya T

15. FlorenceKisambUNAFFE-Jinja P.O. Box 808

4803 Jinja+256 071 88 16. Issa Mahmoud MVIWATA ZanzibaPZanzibar-YtanzanTel: +255 747 411426 or 744 9108issamahmoud@hotmail.com 17. Chebet Maikut

mpala, Uganda

0748

President UNAFFEP.O. Box 6213, KaTel: +256 041 349249 or 077 409414 Fax +256 041 23chmaikut@yahoo.com 18. Rachael A Masake P.O Box 51179-00200 Nairobi, Kenya

273 or +254 722 Tel: +254 20 2731386595 masakera@nbnet.co.ke 19. Juma Hamsisi Masisi

2229773 or 0744 891867

Legal Counsellor OMEN Emancipation and Development W

P.O. Box 184 Kaaragwe Tanzania Tel: +255 0282 womenda@yahoo.com or jhmasisi@yahoo.com 20. Mariam Mawerere Board Member KDFU - NEC Member UNFFE)

s Association el: +254 077 390431

H. Mgumia Coordinator

el: +255 023 4184 or 0744 687067 gumia2@yahoo.com

P.O. Box 276 Kamuli District FarmerT 21. Athman

MVIWATA P.O. Box 3220 Morogoro, Tanzania TM 22. January J. Mihayo

eneral Manager AHAMA Co-op Union Ltd .O. Box 51 Kahama, hinyanga, Tanzania el: +255 028 2710225 ax: +255 028 2710452

yetunda Muhindo UNAFFE

n FE

ct Central Region Rep.

el: +256 071 249899 com.ug

GKPSTF 23. Elijah KKasese DistrictPost Restante Kasese Tel: +256 077 645207 24. David Kavuma Mutesasira ChairpersoMUDFA NEC Member UNFMubende DistriP.O. Box 264 Mityana, Uganda Tdkavuma@yahoo. 25. Mwenya T. Muniafu

t l

nya el: +254 0721 289 094

da ordinator,

f Agricultural roducers

age Market 061

494 934 .com

Chairman, Bungoma DistricKenya National Federation of AgriculturaProducers P.O. Box 175 Webuye, KeT 26. Daniel MwenRegional CMt. Kenya Region Kenya National Federation oPP.O. Box 1201 VillNairobi, Kenya Tel: +254 0722 dmmwendah@hotmail 27. Patroba Oguta Nyangina

hairman armers

eratives Ltd. enya 0720-546653 432

CKanyada Cotton FCo-opP.O. Box 80 Homa Bay, KTel: +254-0735-394943 or+254 059 22208 or 059 21

152

28. Oyet Obiya National Coordinator

uncil of Uganda ampala Uganda

or 075-615269 ax: +256 041 236473 fo@agricounciluganda.org

Agricultural CoP.O. Box 7038, KTel: +256-041-236473/4Fin 29. Dennies Mukhuulo Ochwada

rowers Association 7 00100

el: +254-20-2721509 or

National Chairman Kenya Cotton GP.O. Box 1548Nairobi, Kenya T0722-757350 dochwada@yahoo.com

153

30. Peter Otim Odoch or

ucers and

r 077 442962

ilseed@utlonline.co.ug

Executive DirectUganda Oil Seed ProdProcessors Association P.O. Box 2215 Kampala, Uganda Tel: +256 041 342504 oFax: +256 041 342504 o 31. Lucia Wangechi Omayio

oi’s Bridge

72151 oo.com

Member NGOMA P.O. Box 889 MEldoret, Kenya Tel: +254 054 ℅ martharop2000@yah 32. Abigail T. Omoyi Senior Co-operative Officer Ministry of Co-operative Development and Marketing P.O. Box 30507, 00100 GPO Nairobi, Kenya abbeshuchi@yahoo.com 33. Ramsey Owot President Uganda Honeybee Keepers Association (ACU) P.O. Box 7156 Kampala, Uganda Tel: +256 077 495672 uha@infocom.co.ug 34. Martha Rop Executive NGOMA P.O. Box 889 Moi’s Bridge Eldoret, Kenya Tel: +254 054 22191 or 0722-977081 martharop2000@yahoo.com 35. Alfred Rutwama Healer Rukararwe PWRD 275 Bushenyi Uganda Tel: +256 078 657906 36. Stephen Ruvuga P.O Box 3220 Fax : +255 23 2604184 37. Keith Rwamahe ICRAF/Kabale Kyanamira

Kabale Tel: +256 077 611402

154

38. Christine Saabwe Trainer Uganda Beef Producers Association

077 460151

on oriculture Association

nda

Carol Hs-Plot 40 Bombo Rd Kampala, Uganda Tel: +256 041 231882 or 39. Harriet Ssali ChairpersUganda FlP.O. Box 16375 Wandegeya, UgaTel: +256 077 450464ugaflor@africmail.com 40. Babilas M. Tungaraza

001094

Women Dairy (MVIWATA) oshi or 3220 Morogoro

ff) or 0744 587043

Manager Tanzania Cotton Co-operative Appex P.O. Box 2502 Mwanza, Tanzania Tel: +255-0745-Fax: +255 2503018 41. Helen A. Usiri Farmer MVIWATA Nronga P.O. Box 3023 MTanzania Tel: +255 02 756157 (o

155

Working Paper Series – World Agroforestry Centre

of eastern Africa: a call to action

y conservation through agroforestry: managing tree species diversity y-based, nongovernmental, governmental and research

organizations in western Kenya.

ion of prosopis juliflora and local livelihoods: Case study from the Lake

1. Agroforestry in the drylands

2. Biodiversitwithin a network of communit

3. Invas

Baringo area of Kenya

156

rg