pd-ar3t cr(~

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PD-Ar3T ?_ DEPARTMENT OF STATE - AGENCY FOR INTERNATIONAL DEVELOPMENT OFFICE OF THE ADMINISTRATOR Dr. William L. Boyd President WASHINGTON 25. D. C. State of Iowa IO'o'la City, Iowa 52240 Dear President Boyd: AUG 11 I am plec.. .3d to inform you tl"t.at pursuaut to the authority contained in Se::tion 211 (d) of the FOl."'nign Assistance Act of 1961, as amended, Grant No. AIO/csd-)294 in the amount of $?65,OOO is hereby made to the State University of Iowa. This Grant is for the purpose of implementing the project "Comparative Legislative Studies," as set forth in the Final Proposal, dated 25, 1971, and agreed to by the Agency for International Development and the State University of Iowa. "--- The Grant funds are obligated as of the date of this letter, and shall apply to cost.s incurred in furtherance of the project for five years. l'his Gra"t is made to the State Uni versi ty of Iowa on condition that the Grantee shall admini,ter the funds provided under this Grant ill accordance with the terms and conditions set forth in the Final Proposal (including Budget the Standard Pr.ovisions, and Appendix "AR, attached hereto and made a part hereof. To the extent of any inconsisten::y between the Proposal and the Standard and any other provisions which are a part of this Grant, by reference or otherwise, the Standard shall control. - ..",. s::- tP RECEIVED BEST AVAILABLE DOCUMENT AUG 2 '* 1971 0 o OFFICE Of Y. P. fOR P.ESEARCH )

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Page 1: PD-Ar3T Cr(~

PD-Ar3T _Cr(~ ~Co2-_

DEPARTMENT OF STATE -

AGENCY FOR INTERNATIONAL DEVELOPMENT

OFFICE OF THE ADMINISTRATOR

Dr William L Boyd President

WASHINGTON 25 D C

State U~iversitr of Iowa IOola City Iowa 52240

Dear President Boyd

AUG 11 19~

I am plec 3d to inform you tltat pursuaut to the authority contained in Setion 211 (d) of the FOlnign Assistance Act of 1961 as amended Grant No AIOcsd-)294 in the amount of $65OOO is hereby made to the State University of Iowa This Grant is for the purpose of implementing the project Comparative Legislative Studies as set forth in the Final Proposal dated ~~ 25 1971 and agreed to by the Agency for International Development and the State University of Iowa

---

The Grant funds are obligated as of the date of this letter and shall apply to costs incurred in furtherance of the project for five years

lhis Grat is made to the State Uni versi ty of Iowa on condition that the Grantee shall adminiter the funds provided under this Grant ill accordance with the terms and conditions set forth in the Final Proposal (including Budget Slli~a~J) the Standard Provisions and Appendix AR attached hereto and made a part hereof To the extent of any inconsisteny between the Proposal and the Standard ro~~sions and any other provisions which are ~~de a part of this Grant by reference or otherwise the Standard Pro~sions shall control

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tP ~ ~

bull ~ ~

RECEIVED BEST AVAILABLE DOCUMENT

AUG 2 1971

0

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OFFICE Of Y P fOR PESEARCH ) II~

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Please acknowledge this Grant by signing the original and six (6) copies of this letter and one copy of the Statement of Assurance of Compliance Please return all documents to the Grant Officer

Sincerely yours

h_~~ - John A ~

Attachments

1 Assurance of COTpliance 2 Final roposal amp Budget Summary 3 Standard Provisions 4 Appendix Art

ACCEPTED

BY ________ ~~~~~w_----------

BEST AVAILABLE DOCUMENT

trrmiddot L1

ASSURANCE OF CCMPLIANCE WITH TEE AGENCY FOR INIEO-mATIONAL DEVEIOPfElT REGUIATION UNDER TrlIE VI

OF THE CIVIL RIGIDS ArJr OF 1964

TIm UNIVERSITY OF IOWA (hereinafter called the Grantee) (Name or Grantee)

~y AGREES THAT it rlll comply with title VI of the Civil Rights Act of 1964 (P L 88-352) and all requirements imposed by or pursuant to the Regushylation of the Agency ror International Developnent (22 CFR Part 209 30 FR 317) issued pursuant to tmt title to the end that in 8ccordallle vith title VI of tmt Act and the Regulation no person in the United S~tes shall on the ground of rece color religion sex or national origin be excluded from participation in be denied the benefits of or be otherwise subjected to discrimination under and program or 8tivity for which the Grantee receives Federal financial assistance from the Agency and EEREBY GIVES ASSURNCE HAT it will immediately take any measures neeessary to effectuate this agreement

If any real property or structure trereon is provided or improved with the aid of Federal filencial assis+ance extended +-0 the Grantee by the Agency this assurance shall obl~te the Grantee or in the case or any transfer of such property sny transferee for Ue period during Which the rea property or structure is used for a purpgtse for which the Federal finJmcial assistance is extended or for another purpgtse involvilg the provision of similar services or benefits If any personal property is so provided this assurance sball obligate the Grantee fer the period during Which it retains Ol nership or possession of the property In all other cases ~ this assumnce sball obligate the Grantee for the period during which the Federal financial assistance is extended to it by the Agency

IHIS ASSURANCE is given in conside-ation of and for the pu-pose of obtaining any and all Federal grants loans contracts property d1scounts or other edeml financial assistance extended after the date hereof to the Grantee by the Agency including installment payments after such date on account of applications for Federal ~inanc~l assis~~e which were approved before such date The Grantee recognizes and agrees that such Federal financial assistshyaI1ce vill be extended in reliance on the representations and agreements made in tris assurance and that the United States shall lmve the right to seek judicia enforcement of this assurance This assurance is binding on the Grantee its successors transferees and assignees and the person or persons whose signatures appear below are autmrtzed to sign this assurance on behalf of the Grantee

TIm UNIVERSITY OF IOWA

BYSignature)_~~~~~~-__

TYPED NA1E ------~~~~~~---------

DATE

TIT IE

-2 I1--ltaL--i-~-I-l 7

BEST AVAILABLE DOCUMENT

FROPO~AL FeR SUIORT IiiliZR TI~

INSTITlJTIOXAIJ C1PlfTS POGRAlmiddotl

Neue of Applica1t state University of Iowa

Date of Application 1ay 25 1971

~itle Comparativ~ Legislative Studies

D~ration 5 years from date or grrurt

futlOtllt of the Grant $2t5COO

SUJ1VARY

The UriversHy cf ICmiddotia propcses middotlit~ stpport f~om the Agency for Inten2aticlal Dcmiddot-eloprent -io enlw_nce its ccpacity in t1C field of COlpCilative lieislative studies lIith ia area emphasis on Africa a1Co Aja Tb~ Ulversity of IC1-a ltiill lse gr~nt fu1ds to carry out s tu-iies of l-gslatures in celatim to political ei sccial developrrr2t develop 91 archive of data on legislative liEtedals exp_1d a1d iiprcve cu-ricula in this field of study and ting tmiddot) tne Uni-ersity guest professo-s uld scholals frol LDCs ~lti ot18r US intituticns to enlch the prcgral at IOwa Tbe University of IOia has sprcial cCtetence in social science res~arch met~odologr cOipaatiye stui~1 of legislative behavior and tee dev~lop~ent of ~ultifactored data sets Building u~cn this ccmpetence the Unverity of ICa will use gr2Ilt funds to develop comparable neas~res of cross-countr3 ~~d historical data on legislative develo~~ent initiat~ stUdies of traditional factors a~d salience o~ legislative instituticns and expand and i~ro~e upon naterial for teaching at IOia through estab1isling collaborative research arrangements with relevant scholars in the US and overseas

_lis propoal is one of three closely coordinated gra1lt proposals frcm the University of Icmiddot3 Duke Uniie-sity and the UniYcrsity of Ha~ii The University of Iowa iill participate as a member of an Inter-Universitf Advisor Co45rittee which -Till plan s~~osia pro~ote publicatic~ of resea~ch results avoid duplication of effort arronz the three gr~~t~e instit~tions and facilitate exchang~ o~ students and faculty Tit) fo-eign msti tution hen desirable

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of a special cot~~e il -~Ze subdiscilin~ of ccparative legislative

stl~esOlcig 1- 2s emiddottensiVe Cc~a arhives These stucies hill

lock a ~te crei-re 3G~i~1 ad eccror5c bac~6rt)Q1d cf legislators

perrcrra1ce 1 this -gac f1Q their clltthr~ place middot ithin the goverl-

Itental ltL~middotmiddot~)O v_LA __ alli Africa ~middotot~ld ce the nioerJ geogilpbic areas

of fcc2s ~~lt -C~ ellsi-ely Disciplinary phass middot-iould bmiddot in

ftlnction

rC-e ri~~sit dill ccrcertrate cn legislative influence 1 relation

to s~ecific c~-middotc lc=s~ ~ ~ ~oclens as Eel elt2ple umiddotC 9L1izltion population

Its geographic focus

plic~i s~ciolog Ct~olics

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Te iiersity of aiiaii xill build upon its edsting geoganic

focus on Asia and integate a progra of legislative studies middotdthb its

cc~~t~J ard area s~eci~lizaticn prcgra~s Korea Indonesia ~d Thail~~d

are prcnir~ent aleas in Ea- -aii r S gtrcgt1 alcng ~ith cc-palative ~ ork i~

the Pacific Islads Studi-=s by Halaii ~-ill for exaple compare the

legislative roles in econosicelly slcce~sful cO-L1tries iiitb thei roles

in countries ilitb lesser econcmic gro~-rth It ~middotrill conversely compare

economic i~~ications of cotntdes cr elatively strog wit those of

celatiyely veak legislative systems Emaiis approach would be

intercisciplinary to includ~ political science and bistory plus a streng

III middotnior ~noes ale Activities

1is ga1t is to aCieve t~o pucpcses 1) the en11aLcenert at the

Univesity of Io- middota cf institu~ional capacities for ~~i1ls releya~t to

t~e couparaiive study of legislative orga1izaticn ftnction ald

de~ent as these relate to tle process of ~ocietel moden7ationshy

ceyelop-e~ ad 2) the gele~ation and collation of a bcdy of priJciples

that ca be utilized cy AIu in poliCJ decisions that relate to

re~uests for tec~middotal SlppOt of letislstive institutions in fadlitating

developler~t These biO puposes ca] be s8z-ved ily pursuing the fclloflirg

specific activities

l Training d0mestic 8ld for-eign students in the design and

eXecuticn ot syztcr3tic re6=ar(O en ~he v8--ying Tole that legislatures

pJa~r in the roc~ss of ~detuiaticn-ieve] 0plcn The results cf their

021

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2 Incr~asilg the e-istirg skills e1d redirecting the interests

of dc~estic ~i foreign sc~olars to the comparative leg~slative field

rne Univer3i ty 0 I01[ generally ~rill be erric~ed by t1e presel1ce of

these scholars a1d its ccr~arative leBislative prcgraIl in particular

~middotTill be ennalced by the nemiddott kl1o~ledge that is generated

3 Cooperating id th a11Q other-ilisc facili teting the ork of scbolars

of less developed cOll1tries in rultidisciplinary ark at the Univeisit~r

of Imla en the rcle 0 legislatures in the charlcter of regire legitimacy

as -ell as on re developCent cf a cetralized data bmli at Io a asse~blilg

raterials on legislatures a1d develoent tre logic behind the bank

a1d tile techniques related to its use

4 Diffu~ing relevant ~et~odological ~1d ccrc~ptual teals in less

deelo~ed cOlUltries through the loove enrichent and redirection of

indiviQual~ and t~e ~evelcp~ent of the data b~k) thereby =ultiplying

bott ihe qumity cud quali-vY of the researcl~ frcm which existing

curricula at Io~middotw can be expanded and re curricJla dtveloped

5 Increasing the size of tJe imrld~ide pool of professional ad

expert consujtants ~lalable r-ot only to IO~il Du-e 81Q Hawaii to dra-t

en but also to AID in the pursuit of sev~ral aspects of its

6 Creating nullgli th~ p~ogral at the Univers~ty of IOa the

substance of a stbJisciplire and in cooperation odth similar prograos

at other ~imiddotelsities 811 organizatic1al Gtlucttltre ~nt ca ~vbilize

continuine i1t~-rtiorr1 intrest i1 a11d sapmt fron orgaiations

interested il deveJopr-ent

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1(1 1

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itl Suppor- f~ctl this Grat tre University of lei-Ilt ~dll cO1centrate

e1 fclts in this prcge~ en legislative behavier variables tat telp

e91aL ~hee specific 3sten cha~a~teristics 1) the scpe of olitics

2) e style IJf goverQent ~tnd 3) the legitirlacy of the regine For

tis l)1lpcse te gtrcglam -rill ex~e releva1t coparative factors il

a lage nlt=~er O~~ African and Asian legislative institttions The

Univcsity of lO~middotIa ~lill also uldertslte the study of these legislatures

at -a~iClS cLts in tire This ~lould gtequie the use of time series

cat t1G historical SClrces not cctl9arable to contempOral7f sou=-ces of

Fe each of te legislatures included for study Ima -iill seek to

a1al~ze suc] cbractelistics of t~e legislative systen as 1) the

atricutes cf ecers--te process of their recruitment their so~inl

~c cccupalonal backgro-lI1ds their politically relevant srills their

role c~ie1lttio1s inclcirg ht~ir concept of represeILtation and the

pe~pound~ge 1~r5th 0- tente in tbe Ipgislat~re 2) t~1e distribution of

the f0~al 211 inforl rales of 2ocedure the leadersnip groups the

cr-osi tio1 and role 01 legisl3tire staffs a1d the kinds and freqlelClJ

of legisative sessic~s 3) the ~utputs of the instituticn--the agenda

of issues tre modes c- cotenticn el1d the qU11titr and kinds Jf

decisions

)middotemiddoter llllike studies of ~hese fctors in the past Imla is

BEST AVAILfBLE DOCUMENT

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The for~Ietic1 0 tneol-y lO this coarative 8seerch of

Tiiill ~erdt equivalent cmiddotoss-sy-ste~ ~easuelents are 8O1g te r6st

irpctant aSgects of tle prcject It r2y be one of the ~c-st valuable

esllts of Io~a I s efforts ad ~dil reCuire close collGbor-tion arong

t~e pa~ticipents bull

p_ Cc=-arative Legislative Research Archive

lltOle a subsb Tltial aolIlt of legislatie data has been collected

in a1j- different cOL1tri8s very little of this iateriul is cOJarativE

1middot-s of it has teen collected by individual reseachers on e single

CQl~ty Cc~adson in legislative research is thus difficult because

=2 01 r3j cClalties are ot available at a sirgle location in s sLgle

is a clear ~eed for the ce~t~alizGd acq~sition ~ or ~ne

available data to per t the forulaticn and compGrative testlg of

~eorics aoc~t le8islativ~ behavior As a major part of this program

te Uive3ity of 1mmiddote 9poundlS to establish a data arch-e to begir to

big te existing legislative sttiies tcgetber at a sirgle location end

to ~-ke ~i~er ~ccessible +0 the grm-ing 1unoer of irterested scbolals in

Once J~1ese data have O~en brOght tcgether tney will contribute to

-~ pogram t IO~middotia in -I~middotiO -poimiddottant ~middoteys First the dats -Till be

utEized in traLig graduate stud2nts T1e rea13lysis of d~ta to test

BEST AVAIL~BLE DOCUMENT ( 1 t

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faculty at the University of Imllt1 and from omiddotrerseJs tlitbout slch an

acbival base those dtdies Ylould be ver lil1ited in the hypotheses

ter could test The quali ty of this re search eqerience fill be

(o1siderably enha1ced by the aVJilability or data for co~arison dth

t~e data generated thlcugh the ccllaGorative research sponsored by the

traini~g progca~

Once gathered a~d refo~tted the data ~~ll be ~ade available to

sc~olars students al1d other interested persons outside of tre University

of Io ra P(r exa-nple appropriate data sets would be available to other

llsti utions tat pre ccoperating in t~is program ie Ha-waii Clla De

~ese could tten be used in curriculul developent at tbose schools as

middotell as Ll the pre-grar at the UJiversity of Imre Finally data could be

aie available to i1di-idlal sc~olars and institutions overseas for use

1 teir research a~d trailing progrems The cUIlulatiie effect of this

disse~lilation and staring of data ~i11 be an enrichme~t of research an

Llcreased flO-I of ne data to the Uriversity of Iewa I3Jld a greatly

ena1ced ability at Iowa to aalyze legislative behavior a--d defelopnent

f 1ssociates

The University of Iowa d31 involve as Associates individual US

arc ~ereign Rcolars fro~l other instibticns in some instances fOl

cc-ivities at Iovll in others as recipents of support Oi research and

oter aciivities middothich coqlement cnd emic1 the program at o a These

Associa-es rill be involved in such activities as ser-lfing es University

of IOim g-uest professors 5~St lecturers 1d visiting faculty

lticipel1~s L ccnfiences and s~riosia and as collatJoratiEg 2search

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cevelcged c~lt-ies Smiddot~yemiddotl such projects core already uoer ~middotay

and 3y potetial ss~cetes ~ave been identified and thei ilterest~

211 gtarticipeting i1 t~e ~Cglar1 ascertained

He -resc1t ge~sc-~el a1d acilities of the University of Iomiddotro

plcvice a very st-cre basis for the research atJd training programs

~rnich ~middote a~ ~rc9~3L1g -fmever the further development cf legislative

suCie3 ali a pec~ent streugthenLlg of ~he progrun of Iomiddot ~ is a major

a oes3icral Demiddotmiddotelc~ Galt fur~ds will be uSed by the

LT~iersit2 c la= ~ icreasing te nUbe of faculty specialists in

cClJses ir sjcts elated to the subject atter Specificallr grant

fuimiddotis dll ce usee to ac3 one pernanent faculty Uemoer in roliGical

scienc~ ~middotit s~ecia iltcests b legislaive beh3vior ald political

dloYl-nt a-o 81 a29 cmiddot-petence in Ardcan pclitics and to bring

(lculy -emiddote-s fro less ceveloed countries to spend a peri cd of time

at the TJ1 i si ty o~ Io~middot adine sechtl expertise to the ~od~ at Iowa

other middotisosel -~ i_ le irol1ght to IC~ia as needed to support those nO~T

or --18 fc~~ti r~lt 7ds ~rill also be ilsed to finance data collection

exlts-s ~) t~-e res~imiddotch iork of tte acult the Associate scholars

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1~ II

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cesigned tgt trrtin US and foreign-born st1lcents in le6islati-~e rese=z-cndeg

Sttde1fs ~dll be tdTi tted cr11ally to 9 proeragt iihicn ~iould irclude a

tro~ot~h grounding in the r thods of cczparative aralysis the S1ostance

of conparatie politis g-mel31ly end the corrparative studJP of

legislative behavior in 9articulal The Uni-ersity intends to associate

tnese studelts directlr - rith research in Ttlhich faultr 2Cbers are

engaged to encourage thea to dra- U90n the skills end resources available

in this field il ra1Y departnents of the University to enable them to

spend up to one year in field research and to have thel4 snare their

findings middotrih their stmiddottidei~t and faculty colleagues Tle prograII will also

involve foreign scholars middotno are expert in the legislative process of

t3ir o- n countries in the tcaciing fgtimiddotogren both by holding -fisHing

a=point~elts at t-e University of Ioc1d by sUgervisi~g field research

c R d - t- ~ 1 rec C~ of Esta~lis~ed Scholars Tne University of Io~~

plals to extend a1 in-itaticn to seieal foreign scholars duri1g te

gle1t p2riod to patici~te in a coparative legislative researc~ seirar

duriig their visit Their plrticipat~ion middotrill edd 3 lL1iqte diiensicn to

the seiiral hceuse cf theh ~1o~-rlecge of the legislature in their own

C01-try BCmiddot2~ J1is Gemilr -ill be dealing -lith the nos-G current

reseaCIJ o~ l0~ ~ltmiddotJres as ell as discussine desigs for reseach to

fill in cowleuge of legis1timiddotre 1ehclicr -re believe

tret it ill be a l2~lilg experience for all the pclticira1ts--incltcing

BEST AVAILABLE DOCUMENT 1]7

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Ima rill lOrk collcboratively ~ith the fOrsig1 5cbolars to design a1d

carry out P reseach pruject These projects Till cc~tribute to the

retlaininB of foreign scholars and nill also add to cur mmiddotm and8rstanding

d Research The 9rinciplI enphases in cesenrcl rere cutlined in

Section III above ie to focus en con-9arative studies in iihich

legislative cehaviol can be helpful in explaining the scope of politics

the style of governcent a1d the legitinacl of regiles Variables hich

will be studied Iost closel~r ircluue tbe persistence of institutional

norms in the legislature oyer time the relationship o~ the legislatue

to ether institutions in fornirg public CC1Cepticns of politics and

the histOl~ical context detelini1g public expectations of the 12risleture

This resea~ch nag both academic and practical objectives

Academically it promises to tie legislative behavior research to other

major concerns L1 pcliti~al science such as research on systeJ stability

and paricrJance Its general substaltive eojective is to assess the role

wtlichlegislatures Illay L1 determining the capability of political

s~lstems especially their ability to deal ~middotith soCial change

Vractically the stu1y ~y offer guidance to polic~Y-Dakers on

t~1e role ~ hich legislatures rray be ~lI-pected to pIa)- in neimiddotrly established

political systelt ald on ~hc efcrrrs in established legislatur~s -Thicn

rray be required to achieve specific syste~ effe~ts The study ~dll

Nquire the assccioticn of rembers of legislative staffs a1d 2cademic

colleagues in the s~eLal nations lmder nvestigRotiop plovidirg training

fot ~ll r)f them i1 leeis1ntive re3Clrch ~ri facilitating a valuble

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ll-

of Iml3 ~ill LS~ glmiddot~t f~ds t~ estaolish a data archive to begin to

bring tb~ edtirg legi31ati--re studies tog3tller at a single locaticn

end to =afe t~e ac~essible to tie grc~ring m~er of interested

scholars in t~i3 field PerSCIlllel of tbe Data Archive ~rill searcD

broadly fo all a-reilable data on legislatures in the possession of

ildiviiual researc~rs i11ese data sets ~-Till be acquired refo~atted

for ease in alelrsis a1d stored in Archive Tne Archive ~~ll

asserble tie etel~ Gata O legislative organization ald procedure the

socialization ~~ recruite~t of lzgislators legislative decision-

makLg pccesses 2d legislative outputs To facilitate access to

the data a ~middote-riemiddotrlt11 syste middoti111 be cesigned that will 2011001 r-=searchers

to find ~iccJ ata sets that c~mt2in inforration lelefalt to their

researc1 po)2e5 RibEcg-aphic citation3 cnd abstracts of research

reports on le~i51e-imiddote oebio ~~ill be gathered and a biblicgraphic

retrieval sys tC idll a Geielc9d to aid esealcJers

cooioinet-e1 ~~as n -ie are= of c~rarativa legislatile studies is

t~3t because 0 si~~e iJS in~ti tuticn ias tce necessarJ expertise

of ccrparati ve

1-=gislatiY2 tcie3 8forts of the most conrpeteat ace interested

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oz~ the tr)middote grantee institutions and otter associated scholars It

~ill ayise t~e pa1tee i1stituticns on SllC catte-s as roritorirg

activities at the t~re~ unive~sities~ evalu~ting rese~rch frr possible

=middotclication sJ--sidies rld ether ratters related to infor~atioTI

disse~~ation coordinating research efforts to avoid duplication

ecilitating excha1ges d sttde~ts ad faculty members ~-iitb foreign

nsti tutions i~en desirable tryi1g to till lacunae in cLIricu lUn

helJilg to arralge cmferelces and sy-posia and generally trJing to

9cote te ~eielcp~2nt of cOlparatile legislative stucies as a

Gra1t L~HS idll be ~sed to support the Univ2rsity of Io -a IS

nrticipation in tre AdisorJ Co-i ttee t1e developrrErt of conferenc=s

elsEfhere il the US arHl over3eas i1 relat2d facets of leeislaive sttdies

Edstng iersonJ~l al~d fa-ilities at the University o= 1oa previde

iaculty facliiies to aid rC3emc~ trailg aPd skill in 21c~ivaJ middotork

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Six ITe-bers of t1e faculty of the Departent of Political Science

at the Unhe ity of Im-ia are presently engaged in legislative research

To merbers ot the Departllent of History are engaged in research on the

British Parlia~ent L~ the eighteenth ~~d nineteenth centuries Fer the

past six years an adv~~ced se~inar has been offered by ~embers of the

Department of Political Science and the Department of Histo~J on

comparative legislative behavior This exte1sive collaboration iiill

ma~e it possible to develop a fully inter-disciplinary program for the

students ~~d visiting faculty In addition faculty ~emcers in

Scciology interested in organizatien theory and in the College of Law

interested in legislctive processes provide furtber e-pertise ava_ilable

to students interested in tee study of legislative behavior The

presence of these specialists on th~ facult~r is reflected in the

excensive librarJ al1d otler data resources existing at Iowa in this

field

The Uniersity of Ima offers an unusually extensive program of

trainL~g in research methods Four ~e~bers of t~e Department of Politi~al

~cie1ce teach in the field of research nethods Courses jn statistics

ca1 be taken ill the Dep~rtents 01 Sociology e-d Educational Psycholcgy

Llis prcgr6l provides a verJ solid grounding il research training and

data analysis

bEST AVAILABLE DOCUMENT

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Y labCrato~y for olitical Pesearch is the reseacc1 md research

tlairirg facility of the Departe1t of Political Sci-lce Gcadvate

students receivo extensive res~arch experience through 1or~ing in the

La oratory bull The Lacoratoy is also a1 integral part of the trainirg

o~feed in ccurs~ T~middotO~ for graduate students

The full-time sta~f of the laboratory includes a director an

assistant director a t-=cl1ical cirector a supervisor of study

t1hteen graduat~ students - rf1rk in te Laboratoy receivLLg teining i~1

~a~a collecticn ~~i data e~alysis Tbe facili te5 of the La)oratorltJ

icluoe a oard eJcerline printer ccnnected to the U1iversitys

dis~ and tape storF-ze for d~ta

The pogral of trailing ia coparative legislative reseC_cch ~ill

relr heavily en t LaOerltcLJ- for taching graduate stucents Visi tine

fc111tr lYe~bes iill be able to utilize tbe facilities cf the Laboratory

gt IOra ~as sFcial ccrpetence in prOCed~les for

ccq ter ogagtlizetion of d~ta Ja1ks ~d fOi the p~ocGssing of large data

sets as well as iJ the sttdy of naticnsl end st~te legisltllres Tile

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Ile Univelsity of 10Ira will eadnister- the Grant thJotg~ its normal

a)1 iristrative char-l1els ad i1 Eccordance imiddotlith its ncrTal olicies and

operatirg procedures 7he Director of the gr~l1t-s~~ported program

Hill be a senior faculty eriOer of the Gniyecsity of IO~-ia -with extensive

expe~ie~ce in the subject field Associate Directors w~tb similar

qtalifications -aill also be appointed 7he Director- and Associate

Directors ~dll serve as eibers of t~e Inter-University Advisory CC1gtr)ttee

established to cooidinate _u bullbull ID gra1t-stpported programs at IOia Dul(e

lniversity a1d the University of Ha- aii Ll1 this field These relatiol-

ships are i~dicated in tee follc~dng a~inistrative organization chart

IX Ul~vsity Ccntri1uticn

T1~ ~h-ersity of IQ(a aSSures ALD that this Grant middotiill not

replace existing ftnds for STr current activity and imiddotrill be additive

to existing prograrrs of tCe lJniversity In direct sp~ort of this

Grat ttc University ~ill provide a) Acmi1istratile costs including

tie of senior officers of ttlt University b) Office ~ld research space

ald library and cor-puttr facilities c) Provision of a1cillamiddotCjr 1niversity

personnel -or consultation o~ ~middotjQrk nth the progral

X Reports end 5evie~-Ts

There i-ill be sub~itt-=i al arnual t2ctnical report for the purpose

of AID s revie- of activities under te Gant Tnis idLl include

a11 e-llation of prcsr~ss aidnistratve ar_c fiar~cial corsicer~tior~s

p~s cr tr foJlJ-middotire ear ~i disctlssics of the ossible l~lizaticn

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~

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A~~inistrative O~ganization

Ice Board of Regents of tle State of Im-la

-Iesicent of the University I

1 rOfcst Jf t-3 University

Den College of Liberal Arts

r Chailan DcptiEt of olitical ScieJce

Inter-G~iversity

Acisorr Corcittee

PcgrG21 Director Associate Progra~ Directors

Liaison Arcrge~~nts d ~h I I~~erested Plcfessiona1 I Perso~el j

I _

I 5cu1ti (full or PmiddotLG-tire l Asscci~tes a1d otllei non-Io~il

3ecip5ents of Gr3-1t stPPC1t Gr~cue~~e S t1~lcnts St2~retQi~S1 Data Lbed~1 31

Ln 18 r1icia 1

LO1t c~lce Factcj~1 ts

BEST AVAILABLE DOCUMENT ( ( V-t

- 17 -

of te eo17i~g cCpterce br A I D rLld ethers In addi tion there

aS3essr~ents of the gr31t

middot l ~ lI ~ _ _ _ co~~~r~~ing ~~iversiti~s md tne rrctitoring ALD office

7re l~yersity of Ie~middot~ budget of $26500 is to be deveted to the

cemiddotelgt~e~ of lstituticnal cefete1Ce in comparotive legisl~tiye studies

~t Iomiddota c t~ the exalsi0 ot a date b~L-lt ~ hich 1fill be utilized as

a ecle for icrec3ing te scope of tbe sub-specialty

T - 1 f 1 __ middotja r S Ctdget a9roxir~tly 33- has bee allocated to a

cemiddote Lp~l t rirc ipally C actlty re leased tirre for data ccllection

ai 0 3alres f~r i~~er-ieers in field research 3d secretarial

assi5ta1ce nCt2 11- of t~e Icmiddotre oudge~ is iesignated for an

ArCE_1 A~ite s(101a~middot 2d one 0 ore scnolals froQ LDe or

s1lllrt of greluate stucents in the

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- 18 -

Finally approximately 19 of the budget will be devoted to the

proposed data bruL~ that will archive not only data generated from the

research of scholars at Iowa Duke and Hawaii but also at other US

and foreign institutions Primary and 3econdary an~ses of these

data will become an integral part of ~omparative legislative studies

curricula The ability to utilize the data bank for teaching purposes

also should have a significant impact on professional preparation ofmiddot

future legislative specialists In summary the funds will be

allocated to research teaching and training activities tha~ are

entirely conson~~t with the philosophy underlying the utilization of

2ll(d) grants to achieve institutional development

Conclusion

The University of Iowa regards the research and teacbing components

of this program to be closely related an1 zrutually reinforcing The

University of Iowa offers a strong base for the pro~ram because of the

interests of faculty members here now because of their contacts with

scholars in this field in other Americ~~ and foreign universities

because of their experience with the international exchange of faculty

and because of the distinctive data gathering and processing facilities

available in our Laborator~- for Political Research The program which

we have formulated is designed not only to accomplish specific

research and teaching objectives but to contribute to the long-term

development of the University of Iowa in an area in which it has already

exhibited special interest

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~ I) - 0

- 19 -

The program on Comparative Legislative Studies with support from

this Grant rill develop the capacity at the University of Iowa to

provide assistance under separate financing arrangements to developing

countries in a number of ways and through a varieiy of channels This

assistance which would be arranged for end negotiated separate~ from

this Grant may be in the form of technical assistance advisory service

training research and information exchange etc It will be available

by mutual agreement to appropriate agencies national and international

public private a~d mixed and directly to the less developed countries

Most especially this added special competence will inevitably become

incorporated through the processes of scholarship and education into

the competence of US and foreign scholars and institutions concerned

with this topic of great significance to the developing and the more

highly developed countries alike

BUDGET SUMMARY

UNIVERSITY OF IOWA

Salaries

Graduate Student Stipends

Fringe Benefits

Travel

Equipment and Services

Other

TOTAL

$173090

32400

19209

13800

6501

20000

$265000

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IO

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(C

Dr Willa~d l Boyd Presicient University of Ima iowa City Iowa 52242

Dear Dr Boyd

4 AUG 1977

amp

FIJNDS AVAnASLe CpoundNrftAamp sEIMCEs DMsON

AUG11 ~n te t6417 ~77

Subject bull Supplsectferit-tJF-G~middotNomiddot~middot AIOcsd-3294

t middot-rrPJ1 3

I am pleased to inform you that pursuant to th~ auth~rity contained in

S-cction 211 (d) ooC the Foreign Assistance Act of 1961 as amended a sup

plemental grant in the amount of $200000 is h~reby r~de to University

of rCi1a These supplement]l grant funds areprolided to support the

activities which are described in your Proposal dated May 6 1977 for

the implementation of your program entitled Political Conditions for i

Effective Small-Scale Rural Assistant Projects

---This sup~lemental grant is mace to University of Iowa en condition that

yo~r institution shall administer the funas provided under this Grant fn

accordance lith your r~ay 6 197 proposal (including Budget SUmlilary) and

the Standard Provisions (as incorporated by Amendment No 1) which have

been agreed to by your instit1ltion Ti) the extent of an inconsistency

between the Proposal and the Standard Provisions and any otherprovisfons

which ar~ made a part of thi5 Giant by reference or other~iSe the Sta~d~

ard Provisions shall control

The new Duration Period for this Grant shall beAugust 11 1971 through

August 10 1979

The total amount of funds obligated under the grant is increased to reflect

a new total oblgated amount of $465000

Please sign the Statement of Assurance or Compliance ana the origfnal -

and seven (7) copies of this letter to acknowledge your understanding of

the conditions under which these funds have been granted Please return

the Statement of Assurance of Compliance and the original and six (6)

copies of this supplemental Grant to the Office of Contract Management

Attachment May 6 1977 Proposal and Budget SUfiT1a ry

UNIVERSITY OF IOWA

Roberw bull OBrien fficer

Ce al Operations Division Office of Contract Management

AC~E~E~C--_ 0 BYpoundk~~ cH

D C ~lpoundSTtR5BA T ITL E ( PfeampoidPilt for

tee ment amp Research DATE 9-22 -77 (d~ ~~Bduate Ctl~1e~e

BES i AvAILdLt UOCLJMU~ I

211(d) Grant Program

Proposal of the University of Iowa

POLITICAL CONDITIO~S FOR EFFECTIVE SMALL-SCALE

RURAL ASSISTA~CE PROJECTS

Submitt~Ci to

Civic Participation Division AID

May 6 1977

Amount requeste~ $ 199987

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I TdE DEVEIOP~T PROBr~

P~litical Conditions for Rural Development

The Cocparative Legislative R~search Center of the University of

Iowa proposes to ~~dartake a two-year study to investigate the role of local

leaders and the rural public in theimplecentation of small-scale develop~ent

1 projects in less developed countries The study will use and extend the

capacity ~hich the University of Iowa developed under a 211(d) grant to

investigate and assess the impact of loeal politics on rural development

~t the co~pletion of the s~ Iowa will be in aposition to advise the

Agency on the design ~nd evaluation of s~ll-scale projects which will be

politically viabe a~d effective in ass~sting the rural poor ~

As students of development w~ approach our task with the assumption

that the proble~ of development and underdevelopment are funda~entally

ones of political econooy and a~ such can only be solved through a

simultaneous considerationof economic and political factors Efforts

which foc~s aloost solely on economic factors like those of ma~y

organizations engzed in dipersing foreign aid or efforts which focus

almost exclasively on political factors fail to take account of the

interdependence between these two dimensions of underdevelopment and

lwe have for~ulated this proposal in a canner consistent witr the cu~rent policies ard interests of the Agency We have been guided in our tsk by four Age~cy doc~e~ts Impleo~~tation of New Directions in Developnent Assista~c~~~ ~eport to the COmlittee on International Relations on Ilupleoenshytatiun of Legislative Refo~ in the Foreign Assistance Act of 1973 (July 1975) rItevis~d Projec Developiel Review and Approval Systeo (A I DL Circular A-21 Aril 23 1975) SH Butterfield Draft SUIilZ3ry StateUlent of a Practical Agelcy Approach c aural Devalopilelt (AATA February 28 1975) Cicci A Coce~ual Oie=viamiddot middot Rural Development No1 (lWorilting GOU O~ tha Rural Poor February 1975)

- l -

can meec with only l~ted success

Our concern with the i=pact of local politics on the process of

rural developcent is a result of our interest in the basic question of

how LDC governm~nts and the donor agencies which assist them can

become core effective in raising the standard of living of the rural

poor We seek answers to the following aspects of that basic question

1) What political conditions must exist both within rural communities

and between theo and central gove~ents to raise agricultural production

w~ere small-scale agriculture is the do~nant pattern 2) Vnat are the

political conditions for a core rapid expansion of the informal manufacturing

and service sector cocprised of labor intensive small-scale industries

located in the rural ar s 3) What political structures and activities

are mase crucial for the provision of welfare and econocic supporc services--

such as agricultural exeension mar~eting and transportation--to the rural

areas1 4) ~~at Folitical conditions oust exist to insure that economic

growth in the rural areas is not accowpanied by excessive and intolerable

inequalities between socio-economic classes andor between regions1

Center-Periphery Linkage in LDCs

To deter~ne the political conditions for rural development we have

in previo~s s~udies exacined the institutions and processes through which

rural populaticns are integrated i1to the national politi-cal systetlS of

middot~he countries in which they live A gap exis~s in most less developed

countries bet~een the peasantry residing on the periphery and the c~~tral

political ~stiutions staffe1 by ~~estern-educated bureaucratic elite

We are aware of the other major ~sti~utional discontinuities which comprise

J

4 middot~~1 the basic cleavage between the developed and underdewmiddoteloped sectors of

these dual societies Bridging these gaps is essential if these so~ieties ~ are to develop into viable nation states For until those Q~ the periphery

of the poli~ical syste~ participate in that system and support and comply

with the authority of central political institutions neither economic

development in ~he rural areas nor a stable polity will emerge

Bridging the discontinuities in these new political systems requires

establishing and institutionalizin3middot1inkages or networks for co~unication

and exchange of resources between decision-makers at the center and the

rural public on the periphery Three types of institutional linkages are

most prominent in less developed countries 1) those conSisting of the

state administration composed of the bureaucratice1ite 2) those consisting

of a revolutioncry political party cocposed of the ideological elite

3) and those conSisting of patron-client hierarchies composed of the political

entrepreneurial elite

Of these three linkages consisting of the state administration are

the cst extensive and pervasive in virtua~ly every LOC Such linkages

however exist primarily a~ instruwents of the center to penetrate the

periphery Central government officials are formally charged with bringing

develo~ent to the people This is a ~issi~n which conceives development

as a process ~hrough which a traditional peasantry is transformed and

assimilated iJro the DOdern center which is steadily expanding to embrace

it Agents of the center invariably have more resources to achieve their

objectives than do local political leaders but because they are frequently

strangers~ the communities in which they function they are often unable

- It -

co implement the policies of the center without working through the

local establis~ent

Though somctices significant linkages consist~g of revolutionary

party organizati~ns such as those found in China and Vietnam do not exist -

in most IDCs beca1Se of the special historical and e~omic conditions

required for their development As wi~h the administrative state however

the linkaampe apparatus of such political patties is prUlarily an instrument

of the center whose mission is to penetrate and mobilize those onthe

periphery

In contrast patron-client hierarchies are linkages which represent

the periphery at the center and mediate betwee~ these two disparate

sectors of the political systec Thcugh norcallymiddotovershadowed in scale

by the state administration patron-client hierarchies are found in almost

~very LDC a~d constitute the ~st significant network through which rural i

populations and their leaders influence the decision-~king process at

the center Patron-client hierarchies exist in a wide variety of org~iza-

tional fores ranging from info~ ~ec~~rks of individual olitical leaders

in uno-partyll systelS in S~b-SaharaI4 Africa to extensive political machines

in both one-p~rty (Africa Mexico) and ~u1ti-party systems (Turkey India)

Despite their importance as the pricary means through which peasants in

LDCs particiate in their political systems patron-client hi~rarchies

have only recently become an object of analysis by students of political

developent and do not appear in even the most sophisticated studies of

2 See Jo~ Dunca owell Peasant Socie~y and Clientelist Politics Aerican Politi~ Scielce Revietol 64 (June 1970) pp 411-25 Rene Lemarchand anc_ Keith Legg olitical ClienteliSJ and Ethnicity in Tropical Africa Aierican Political Sc~ecce ReView 66 (Y~rch 1972) pp 68-90 James C Scott PatronshyClient Politics a~d Political Change II 1tlerican Political Science Revie~ 66 (~arch 1972) p 91-113 and Friends Followers and Factiols bull edited by Steffan Sc~~d and James C Scott (Berkeley UniverSity of California Press 1977) bull

- 5 -

3 economic development Ad~niscrators of developmental assistance progracs

have too often regarded patron-clienc hierarchies as ~ped~ents to

develop~ent instead of recognizing cheir potential utility bull

~ Findings on Patron-Client Hierar~hies --

The importance of pat~on-clienc hierarchies for linking the periphery

to the center is one of the major findings ~erging from a study of the

relationships betueen l~gislators an~ their constituents in Kenya Korea

and Turkey ~hich the Cowparative Legislative Research Centpr is nov

comleting uader its 21l(d) grant from AID This study has av~mined the

creation of linkages between the periphery and the center through ~ore

than lO~OOO interviews with members of parl~ent local leaders and

peasants in t~e three countries The findings are being systewatically

set out in a book-length monograph Nearly a dozen research reports have -

uready appeared (see Appendix C) ipropositions about the nature of

political behavior of rural populations an~ the roles of local political

elites de=ived from the research~ can be s~rized as follows

1 Elected representa~ives play a significant role in the creation and mainte~ance of linkages be~een the center and periphery by developing local political achines in which they function as patrons of their constituents In turn thay s~rve as clients of political leaders of national stature who control central government institutions

2 By atte~pting to establish linkages based on patron-client relatio~shi~s elect~d representatives are responding to public expectations chat their prizary duy is to obtain resources from the center to proffiote local develop~ent ~iany elected repLesentatives spend most of their time on self-help co==unity development projects such 3S the building of schools health clinics irrigation works arid roads because such projects provide

3For exa~le ~ a widely respec~ed a~d useful analysis of rural deve16p~ent in Sub-Sahara~ Africa L~ Lele of the World Bank notes the problems of creating an adoini5~raive infrastructure in the rural areas that is sensitive to local socio-oliical conditions She does not however consider how local leaders operating o~tside of adcinistrative structures ~ night contribute to the developne~t 0 the rural areas See ~~ Lele ~ Design ~ Rural Develop~ent Lessons ~ Africa (Balt~re The Johns HopkiD~ Uciversity Press 1975) r) pp 127-61 i ~

- 6 -

their const~tuents with desired se~ices ~~d a= the sa~e time provide the reresentatives with an orgacization Yhicn can be used as a political base

3 l-tore than 90 perCel1t of the rural population is capable of articulating the p~oblems facing their local co~~ity and two-thirds discuss th~e proble~ w~th their fellow citizens on a regular basis

4 Three-q~rters of the residents of the rural areas can identify the public ofpoundici~s who serve thec--both civil servants and elected represcrtatives--by na~e Most are knowledgeable about the activities of these officials Alcost one-fifth coreover have discussed co~~~ity probl~ ~ith these officials particularly those working at the grassshyroots level Residents of rural villages actually have a higher level of political knowledge than their counterparts in the towns

5 Elections in the rural areas evoke a highly rational attern of voti~g despite the effects of ascriptive or traditional co~siderations Inc~ens are pri~rily evaluated in terms of their record in fulfilling the public r S elpectations of what they should do Elections are essentially referenda on inc~entsr perfo~ce especially their perforwance in the area of constituency servi~es such as bringing development projects to the districts bull

6 Local developcent projects have a relatively high s~olic value generating conscitutency support for local leaders and the central government at low cost

7 These projects help huild a local political infra-structure which can also be utilizec by central govern~nt civil servants to implement other policies designed to achieve rural develop~ent bull

The Icpac~ of Local Politics on Rural Projects

Having explored the developtent of linkages through which the periphery

is represented at che ~enter and through which the periphe~ attemp~s to

share in the ceners resources we now propose to build upon our initial

investigations by e~ing in greater detail the impact of local political

conditions on specific problecs of rural develop~ent We propose to

exacine the develop~ental activities of local leaders ~nd the rural public

by eX2~Ding a saple ot fifteen to twenty smalL~scale developwent projects

in each of ~he three countries which constituted the sites for our initial

8ESI AVAILABLE DOCUMENT 1 ~ - of

- 7 -

study of center-perhiphary relations The appropriateaess of this approach

and the ~ethodology through which it will be ip~emented is discussed in

section II Because the ~ethodology of investigation is in large part

the result of our previous research experience we fizst turn to a revieW

of the existinQ __ ~petence of the Comparative Legislative Research Center

in this area

II GRAXTEES EXISTIXG CmET~CE

In 1971 the University of Iowa received a 211(d) grant to develop

its capacity to do research on the role of elected represent~tives in

the process of modernization On the b~sis of this grant the University

established a research center which planned and carried out a research

project on the role of elected reres~~tatives as links between the central

gove~ent and rural populations in K~ya Korea and Turkey The project -i

served to develop t~e University of Iowas research capability in this

field esa~lished ties between the University and scholars in the bost

countries and generated a large and uniqu~ body of relevant data

In that project we fo~ussed our attention on tbe activities of elected

representatives in their constituencies notably in their contacts with

local political leaders voters and civil servants To determine tbe

nature of the linkage function performed by tbe representatives we

designed our research to explore the subject from three perspectives

1) we eXaojned ~~a ~ubject at tbe grass roots by conducting a series of

sample surveys of 200 to 300 adults in each of 12 to 14 parliamentary

constituencies in each cf th~6three countries 2) we examined the subject

at the center by intervie -ing MIls from the constituencies in which we

had conducted S3mple surveys ~nd higher civil servants with whom they

had contact and 3) ~e ex~~ined the subject from an inter-~diate level

by identifying aud ~terviewing local social and political leaders in

the MPs constituencies We used survey research methods because we

were embarking on the study of an entir~ly new subject for which little

relevant docu=e~tary data existed and on which there were few secondary

sources As a result ~e have unparalleled experience with survey

research in the rural areas of less develo~ed countries

The surveys which constituted the cajor part of our field work were

planned in collaboration ~~th scholars from the host countries They were

carried out in each constituency by student interviewers in the appropriate

language ~re than 10000 respo~dents were inteDViewed for the project

Given the visibility and sensitivity of this undertaking approval for

the research was sought and obtained from the host governments prior to -i

the collec~ion of data ~o objections were raised by these governments

at any stage of the research The data obtained have been made available

to scholars i~ the host co~cries and some of the basic findings have

been published in periodicdis in these countries

The Comarative Legislative Research Center ~hich ad~nistered the

project has aisO developed extensive experience in the study of political

leadership in other countries It h3s obta~ed substantial support from

the Fo~d Foundacion and the Rockeeller Foundation has worked in

collaboration ~~h European as ~ell as Asian and African scholars and

is engaged in a ajor study of the role of elected and non-elected leaders

in the oanag~~t o~~ocial conflict Because it has conGucted research

in a variey of setlngs the Center has an ~ceptional capacity to

- 9 -

determine how the relationships be~een political institutions and

economic p=oble75 differ in develoPed and less developed countries

In the course of the major research projects the Center has administered

it has gained highly specializpd ~p-i ce iI identifying 1Olitical leaders

in a great variety of settings conducting systematic interviews with

them collaborating with scholars in the host countries and in coding

and utilizing large files of data to answer specific research questions

The Center has ~lso undertaken to publish the results of its research

in three fores It issues codebooks to the data enabling scholrrs at

other locations to use the data expeditiously i~ publishes research reports - in the form of Occasional Papers and it publishes a scholarly periodical

devoted to the presentation of research findi~gs to an inteIT~tional

audience

The Center utilizes the data ~ysis facilities of the Laboratory

for Political Research of the University of Iowa and drawS on the unusual

n~er of secialists in comparamptive politics and survey research in

~~e Lniversitys Departmen of Political S~ience The Center itself I

has the services of an administrative secretary and a clerk-typist

~intains its~o~cn extensive archives and its o~~ publications program

It is e~uipped to assist scholars and government officials outside the

t~iversity of Io~a The participants in its p~ojects are full-tioe

faculty ~e=bers ~hose undergraduate and graduate teaching is closely

related to their research As part of the teaching program the Center

has attracted students from the countries in which the research projects

have been conducted these students have participated in the projects

bull J

have obtained training in other fields of political science have received

University of Iowa degrees~ and have ret~rned to teach and to do research

in their own countries

III PURPOSE OBJECTIVES AID METHODS

Purpose of Study

The purpose of the proposed grant is to extend the capacity of the

University of Iowa to determine the political conditions in the rural

areas of less developed countries which favor the establis~ent and growth

of small-scale developoent projects ~e objective is to put the University

of Iowa in a position to assist the Agency in designing small-scale rural

developent projects providing guidelines for carrying out social soundness

analyses of such projects and adviSing in the evaluation of projects

We will discuss the utilization of~t~e Universitys capacity in detail in

section IV below

We propose to concentrate our investigations on the political conditions

surrounding s~l-scale ru~al projects Such projects have distinctive

advantages They waximize the political participation of the rural populations

both in det~~-ining the direction ~d implementation of develop~ent efforts

and in defending the interests of periphery vis-~-vis the urban-based

bureaucratic elite S~ll-scale projects stimulate entrereneurial activity

on the part of the rural citizens and growth of the info~l canufacturing

and service sector Tbey require less lead tice and less administrative

c~erhead to ~eco~e operational than large-scale capital-intensive projects

centrally administered Such projects yield rapid and direct benefits to

1

j

the rural

- 11 b - ~~1

populations and are consistentwith their hUIlaD rights--both

political and economic However~ small-s~le projects pose s~ecial probl~s for administratcrs of developceocll assistance progracs because

they require the donor co assess the local olitics particularl the

rural politics of t~e host country

Develop~c adoinistrators pr~rily conc~rned with assisting rural

populations must therefore recognize the range of political variables

affectL~g these projects Small-scale projects offer great opportuoities

for develop~ental assistance progr~ because they can be easily targeted

to help rural populacions require low capital costs and need no be

concentrated in one or two localities Such projects ho~ever~ ~equire

the a~istrator to have ~re political kno~lecge than large-scale

projects Oil which his priJlary tas~ is guiding the work of other experts

Questions for ~Investigation

To detercine the politi~al cc~diicilS ~st conducive to ~he establ~~ent

and gro~h of scalI-scale rural projects ~e propose to address our inquiry

to the following specific questions

1 To what extent and why co local political leaders seek to establish s~~l-scale develop~ent projects within their co~unities

2 To what extent and ~~y do local leaders other than politicians initiate andor provide leadership for s=all-scale developm~t projects

3 Bot do the relations bet~Jeel different types of local leaders (political and non-political) and bet~eeo these leaders and central gove~ent civil servants posted to the rural areas affect the conduct of develop=ent projects

4 How do existing authority ~eLationships between these different leadership grous and the rural pub~ic affect the organization and operation of s~l-scale develop~ent projects

- 12 -

~

5 lhlt is the nature 0 pclgtlic participation in the establishlent and operatio~ of s~l-sclle projects and ~hat are the outcc=es or this participatioe Gucer w~at conditions is such participation ~ost likely to occur

We seek a~swe=s to t~cse questio s L order to determine the effect of

different co~iigurations of local leadership and public participation on the

outcomes or small-scale rural projects te are particular1y concerned with

the ~pact of these configurations on the rate of econocic growth and the

distribution o~ rIGSlth ithin the loal cOlllUlity ~ on the perce~tions of

s~ll-scale proj~cts by central govern~ent per~oncel and the rural public

anmiddot on the organiation or flture projects

To a~swer these que~tions it is oar intention to study the initia~ioD

izJple=enation ald i1lpact of a salple cpound small-scale rural projects in

Kanya Korea and Turley in the sae cOllities in which we carried OU

our initial icvestigations ~ 1973-75 Tne relationships between the -

various conf~gurations of local leadership and public participation and

the three phases of project develop~ant are sho~ in Figure 1 We will

exa=ine projects to pro~ote the adoption of new agricultural techniques

by s~l and moderate landnolders the building of feeder roads irrigation

ditches and other s~ple infrastructure the organization of fa~ers

cooperatives and other local associations concerned with rural development

the establish=ent of rural health clinicS and schools and the setting up

of craft and service industries

Sites for Study

We plan to return to our original set of localities because we possess

a rich body of relevant data on the extent to which linkages exist between

Figure 1

TYPES OF LFLUEXCE OF C2r~ middotGOVER1iEXT OFFCIALS

LoCu LEADERS 0 THE RURAL PUBLI-C OX THRr~

PHASES OF RURAL igtEVELOPHET PROJECTS

r----------~J C~ltral Gover1~nt Official)-N------- - J

r- Local pOlitical leaders

Local non-political leaders

~l 1---- -

ROJECT nITL~TIOS

Influ~ce on selection of projects

InrI ~elce on location of projects

Influence on policy guidelines for proj eCl

Il

I

a

I I

-I PROJECT I~L~~iATIO~ ~ 1

j Project Organizati I Selection of project

leadership

Hobilization of resources

Mobilizatiol of public compliance with project require=elts

Diffusion of project innovation

Rural Public

I

BEST AVAILABLE nOCUMENT

1 ROJECT IMPACT

Organization of ongoi=g project operation

Distribution of project benefits

Evaluation of project

Public attitudes toward project

-middot14 -

these areas and t~c central p~litical institutions of the three co~tries

and on the attit~es of the rural populacioc local leaders and elected

legislators regardi~g their problecs of develop~~c Since such data

is unavailable for alternative locales a return to the areas in which

we have previously done much research ~ables us to build on a uniquely

valuable body of icformation

A return to Kenya Korea and Turkey is also highly desirable from

the standpoint of effective research organization The Comparative

Legislative Research ~enter has developed close collaborative relationships

with several highly competent social scientists in these countries and

with the academic institutions with which these scholars are associated

We have also dev~_oped cooperative relatio~ships wi~ gove~ent officials

in these countries which should facilicate obtaining approval for our

further work

In proposing to doc~ent the origin i~pl~entation and impact of

one to three s~ll-scale develop=ent projects in each of 35 localities

we have two considerations in mind Firstmiddot because our pr~ry goal is

to deter~e the political conditions for rural developm~Lt we wish to

examine develQ~=ent in as many different settings as feasible Only in

this way can we control for so=e of the major socio-cultural variations

that erist along rural populations in less developed coultries These

include the overall level of econo~c development in the co~unity the

nature of t~e ~digenous culture an~ relationships of authority and the

pro~ty of the comounity to major urban areas and centers of central

gove~nt ad=inistration ~ce our original study sites were carefully

BEST AVAILABLE DOCUMENf

- 15 - ~ ~1

selected to represent these variations ye have concluded that these

35 localities woule be ideal sites for the propose~project Second~ in order to dete~~~ the ~pact of local leaders and public

participation o~ ~ural projects we intend to compare projects 1n which

local leaders and ~ecbers of the public have played a major ~ole with

projects in which they have not We also ~l cospare projects initiated

by the central gover~ent with projects Yhich have been locally initiated

These considerations give us a typology for selecting projects as depicted

in Figure 2

Figure 2 ~

FIVE TYPES OF RU~AL PROJCTS ACCORDIXG TO ~FLUEXCE OF CEITiW

GOVE~1E~T LOCAL LEADE~ AD RLRAL POULATIO~

Level of Participation by Rural Population

Locus of Project Initiation ~

Local Co=unity Central Governoent

BIGd

LOt

1 Projects initiated by local leaders and providing for participation of the rural ~opulation

4 Proje~ts Litiated by local leaders bu~ not involving participation of the rural population

2 Projects initiated by the Central Govern~ent and administered i~ cooperation with local leaders a~d the rural population

3 Projects initiated by the Central Govemlent and providing =or the participation of the rural population but by-passing local leaders

5 Projects initiated by the Central Gover~e~t a~d administered in cooeration Yith local leaders but not involvi~g parti~ipation of rural population

- 16 -

We recognize that the socio-cultural setting of rural develoment

projects varies significantly within and across less developed countries bull

By focussing o~ a representative sa=ple of localities ~ Ke~ya~ Korea

and Turkey we can take account of naoy~ though not all of these variations

While some of our substantive findings will not be directly generalizable

beyond the countries in which we propose to conduct our study we expect

that our basic ~ethods and fLdLgs will be applicable to national and

sub-national settings elsewhere in the developing world This is partly

d~e to the fact that the hierarchy of patron-client relations ~hich we

regard as a critical factor in rural develo~~t exists in ~ost Liles

--It is also due to the fact that the methodology for identifying local

bull leadership configurations auG poundor studying local politics which we are

perfe~ting can be used to assess local political co~ditions in a large

variety of countries even when the ~nditions themselves differ significantly

Methods of Investigation

The data needed to assess the iDpact of local leaders and mass

participaticn on rural dev~lop~nt fall into two categories Some a~e

contained among the data gathered for the research project we are currently

completing Others will require additional field research

The following data are already in hand

1 Data on the social landscape of each loc~l co~nity i~cluding aggregate data o~ level of econonic development de~graphic characteristics political pa=ticiation eth~ic loyalities and rates of socio-econocic change dur~g the past decade bull

2 Identity of local leaders including both political and I-on-political leaders and both legislators and other politicians

3 Perceptions of existiag probl~ and their possible solution a~ng

l)tS r AVAilABLE DOCUMENT

- 17 -

general public local leaders and civil serv~nts

4 Level of political kno~ledge among local citizens and local political leacers

5 Political and social values a~ong local ci~izecs and local political leaders

6 E~~ectacions of leadership roles among the local public and elected and non-elected leaders

7 Patterns of co~unication ~ong local leaders and between local leaders and the central gove~e~t

These data ~hich ~e already have in hand can be subjected to analyses

which ~~ll provida the foundation for our further work on rural develop~ent

projects A part of our work therefore will consist of fu~ther analyses

of existing data

New data of the following kinds are also required

1 Doc~entary data on the origin and evolution of particular smallshyscale develop~cnt projects in the rural areas

-2 Data on project costs boih ~itial invest=ent and recurring

operating costs and data on project ou~puts ie pupils in schools Ddles of road coopleted nl~ber of hospital a~ssions production of factory agricultural productivity

3 Data on project organizatio~ n~~r of local inha~itants participating in establis~~ent of projectt nuober of local L~habitants subsequently involved in project

4 Data-on the pe-cetion of projects by local leaders emers of the local public a~d by civil servants data on the perception of how each project ~as initiatec organized who benefitted and what its future implicatio~s are

These types of data will requ~re field work involv~~g both docucentary research

at the relevant ~istries of the central government and in local goverr~nt

authoritieS and inforoal open-ended interviews with local political leaders

elected representatives and other local leaders who~ we had previously ~

interviewed in a s=uctured syste=atic =aoner

BEST AVAILABLE DOCUMENT

- 18 -

Grant Organizatio~ and T~etable

We propose co undertake the research outlLled above beginning in the

fall se=ester 1977 Dur~g that te~ Professors Barkan and Kim as

principal investio~tors for the neo1 proj ect will contact their collaborators

in the host co~~tries They ~~ll also seek the collaboration of an additional

~rican scholar specializing in rural development with the aic of getting

additional advice on sources of data and suitable indicators for the

~easure=~~t of rural develop~ent projects

At the end of the fall seQester Professors Barkan and Kim will make

a trip to their research sites to disc~s details of the research organization

with their collaborators in the host countries and to recruit student

assistants Tney will devote the spring te~ 1978 to further analysis

of a~sting data at the University of Iowa

The gathering of additional dita L~ the field will begin in the s~er

of 1978 Professors Barkan and Kio will direct this work personally We

eAect that its coopletion ~~ll require three to six months This work ~1

involve the evaluation of central and local gove~ent reports on the

projects uncer investigation extensive on-site observations of the projects

and oen-e~ded interviews with the principal participants Our principal

respondents ~i1l be the local leaders and elected representatives we

have previously identified in the localities in which we have worked and

a sacple of active participants in the particular dpvelopment projects

being studied ~~ere necessary and apropriate surveys of the general

public will be uncertaken to assess the inpact of a given project on the

rural por)r We do not however leed 0 conduct systeAlatic sample surveys

BEST AVAILABLE DOCUMENT

- lY -

of the rur~l population as We did in 1974

In the organization of this research project we intend to reconstruct

the rese~rch tea=s ~e e=ployed during 1973-75 We shall again seek the

co11abo=~tion of P~ofessor Sc~~S-7o~g Pai of Seoul National University ~

Professor IIiCr Turan of the University of Istanbul and Professor John J

Ok~u of the U~iversity of ~arto~ S~ilarly w~ contemplate directing

the field research fro~ he same acade~ic research organizations we previously

used Seoul National U~ive~sity th~ ~~iversity of Istanbul and the

Insti~ute for Develop~eut S~udies University of Nairobi As before we

will tra~ students f~oo these institutions to serve as interviewers

The analysis of the open-ended intervie~s and of docUQentatio~ on

I ~ural develop=e~t projects will be a ~ore t~e-co~s~g process than the

analysis of closed intervie~s It will reqrire a high cotnittl~t of time

fron the principal investigators )e e--pec to hold a conference at the i

U~iversi~y of Iowa 3lO1g all the principal )clticipa~ts in the resea~ch

project d~=~g t~e spr~g 1979 to evalua~~ the newly collected data

le e~ pect to be able to vr-ite reports of t~ results during the Sl1~er 1979

(see Figre 3)

IV LlX-GS ~1) U~ILIZATIO~

At the e~d of the grant period the Uti ersity of Iowa will be able to

1) advise the Agalcy 01 the design of s~l-scale rural projects to assist

the rural poor 2) provide guidelines for social soundness analysiS of

small-scale projects for the rural areas of U)Cs 3) consult w~th the

Ag~tcy 01 the evaluatiol of rural projects ~d 4) provide LDe governments

BEST AVAILABLE DOCUMENT

)ATES

~lll

1977

~inter 1977

iprilg 1978

il mer 1978

~all

1978

ipr~ng

1979

Imiddoter 1979

University vf Iowa

Plutlning of rural develo~rent project

Barkan Kil

Alalysis of existing data

Barkan Kia

Data processing

3arkan Kin

1

I

- 4 -

Figura 3

GRAT TLfETABLE

SIT E S

Kenya Korea Turkey

Preparation of field research ural developH~lt project cOlisulta~io~ a research sites

BarkanOku=u Ki~Pai Tura~rkanKi~

Preparation of field resea-ch

Tural

Field research on rural cevelop~~t projects Bar~lOk~u Ki=Pai Turan

Co=pletion of Co=pletion of field resear~~I~ fiald researcr

Ok~u i Pai bull

f Coopletion of field research

Turan

Data analysis conference a~ong all princial i~vestigators at Un~versity of Iowa Barkan Kil Oku=u Pai Turan

Co=letiol of r~ral develop~ent

project

3arkan Kiz

BEST AVAILABLE DOCUMENT

I

- LL -

~ith speciali~cs o~ ru~al developcect ~mong their own citizens ~ho ha_

partcipatcd ~s collaborators in the Iowa projects

In the proposed project we Will test a series of hypotheses cOlcerning

the political cOllditions of rural develo=ent which run counter to CODOn

assuoptions conccrnir3 t~~ influence of rural politics on project effectiveness

As a result ~e ~dll be able to assist the Agency in designing and evaluating

such projects froe the point of V~~W 0 their political viability The

hypotheses We will test sugges~ t~at the patron-clie~t relations existing

in the local politics of zost LDCs are not necessarily i~pedients to rural

develop~ent but are aspects or the political structure which cal be used to

facilitate s~ll-scale ru=~ projects which will raise the standards of

living of _ ~ rral pomlation - As ~ result or our stuey we expect to be

able to P~-O~t the local leadership confi5~rations ~4d the relationships

between local leaders ald rural poclations ~nich are oost conducive to I

successful develcp=en efforts We believe that we will be agtle to perfect

a cat~odology for identifying the political conditions for rural develop~ent

one ~hich is transferable pound~oo the countries we have specialized in to

other LDCs

We proo~ to develop specific guidelines to assist administrators

charged with selecting evaluating and =onito~ing rural develop~ent

projects to ~szess t~esc rojects in tares of their-social and political

viability he outco~e of such projects is dete~ned not only by the

efrectiv~nass ~~=h ~hich they use scarce econo~c resources but by the

~~er L~ w=ich they e~gage the suppprt of local leaders and rural

po~ulatiocs~ by thei= effect ou social a~d econo~c equality ~d by

D[~T AvAlLA8LE DOCUMENT

- 22 -

their consequences for hwan rights ~Je plan to establish criteria by

middot~hic~ the probable outco~es of projects in these social terms can be

anticipatec

The study ~e propo e will be undertltlken by faculty at the Cniversicy

of lowe in collaboration with faculty a other ~rican institutions and

institutions in the host countries We will build on the extensive contacts

between the Co~perative Legislative Research Center of the ~niversity of

Iowa end other instituions with ~aich ~e have worked One =ajor result

of our collaborative study will be the existence of a net~ork of compe~ent

scholars both in this country and overseas experi~lced in ~orking together~

shar~g a co~on teaching and training experience i~ close contact throu~~ the

effective publications progr~ developed by the Co~parative Legislative Research

Center T~e e~~ertise of this group of individuals will be ava~lable to

oteer scholars to the Agency and ~o L~C governments for specific policy

advice The eXertise developed as a consequence of this project will

extend beyond the ~tionals of the countries ~volved since the univ~sities

engaged in ~e project attrtct stude~ts fro outside heir own countries

For ey~=ple the teaching ~d research progra in the Depar~ent of Political

Science 0 theUniversity of Istanbul heavily affected by the participation

of its facul~y ~e=bers and graduate students in our projects attracts students

throughout the ~middot1iddle East for Whom the University of Istanbul is the iajor

institution ~pound ~igher education in the region rne Institute for Developmen~

Studies is si=ilarly a focal point for students and faculty in East and

Central Africa Seoul ~atiocal Unive=sity attracts students froo other

Asia~ co~tries~ In this way the capability developed among the participant$

BEST AVAIL~BLE DOrUMENT

- ) -

in our work is diffused widely To the exte~ that the abili~y to assess

rural develop~ent p~ojects in teres of their social soundness is increased

both in the United States and in ~o~~tries r~ceiving develop=en~ assistance

the cap3~ity of racipien~ countr~es to absorb aid is ~creased

We propose to draw up an inventory of personnel available in ~~e

Cnited States and in other co~~tries who are able to consult with developen~

a~nistrators on the design of rural development projects and on their

evaluation We ~~ll draw first of ai~ on individuals w~o have been

directly associated with our ~ork in the past or on ~he proposed project

and ex~~~d the list to include graduate students and gove~ent officials

with who~ these individuals have wor~d

tole Yill utilize tha existing publication program of the Center

dercribed above to disse~inate our findings The Center has specialized

oailing lists of interested individuals and institutions in all parts of -i

the world and its reports can trerefore reach the ~st relevant audience

jirec~ly ~d re~~arly

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CONTRACfjGRANTCOOPERATIVE AGREEMENT DATA SHEET

INSTRUCTIONS fjDW Complete 4 copies of the form Original SERCMSDSUP Statistical Section Copy Copy 2 SERCMSIiUP dministrative Copy opr 1 Contracting Officers COy COP) 4 SERCMSDSUP IUmin (Suspense) Copy

Missions Complde 2 copies oi the form Origin31 SERCMSDjSUF- Statistic31 Section Copy 3n~ Copy 2 Nill be ret31ned in the Missions

PART fA

ConU3lttorGranrce Name

University p~f~I~o~wa~ __ -r~ ____ ~~~~ __________ -~~ __ ~~~ ______________ ~~~~ Plorr Numt-er ApptopriJtion Number Allotment Number Project Number

930-0090-3Q13411 A5 72-111l0216 146-30-099-00-20-11 930-0090 Project Title

So~ia1 and Potitica1 Aspects of Development - Conference to Report Research Findings Amount of this Plorr I Projecl M3nagers Name and Offire Sytlbol

$10397 (increase) PDPRCP Jonatlan Silverstone Contr3ctors D-U-N-S Number

Ncgwatocs TYJlCd~3meJ j) Signature I l ~ jIf- bull G HtJ--ft u l IVmiddot

D~e

L - f - J ContractGrant Officqs typed Nailllt Signalure LJ d I -r-

plusmn t 3i-alflpta (( BLvle~ 1 I~ PARTm

ContractGranl Number

AID CSD-3294

Effeclive Date of Docum~nl Signalltre D3t~ of Documenl

Lf---C yen-~-gl tIost Courtry Institution (U iwrsity contract ONL Y)

Campus Coordinator (Uniwr ty i contract OiiL YJ

PART UL Descriplion of Cor-tractGrant P1use X ONL Y ONE item under each headiZg IF THEltrease CifYmC~e bolh ges I 30~~ O~ Nol to be completed for Amendmenl or Modlfic3lion AJigtns I III

J 710gt I I V ~ I

MOl - TYPE ACT A~ 0 G unsolicited Propsll (AIDIR 0 C Individual (Non-pe~nal senice)

~ O Cortra lGrantl ooperative Agreemenl 73101-SO(b)(6raquo 0 D Individual (ftrsonal Service)

tJl T3sk Order ( A)middot 0 H Procurement 10 be Perfocm~d by the Conmiddot 0 E UniversilyOther FAuC3lionailnSlitulions

D 2 Work Order (IQC) Ira~lor in Person (AIDPR 0 F Non-Profil Organizationlnslitutions (other

D 3 Delivety Order (Requirements) 73101middotSO(b)( Iraquo than Ed or PVO)

[j 4 Purchase Ordcr [J I Sole Source (AIOPR 7-3101-SO(b)(4)) 0 G Private Volunury Organization (PVO)

If I 2 or 3 1Lle an ~ compllle M 12 ON Y D J Imp3irmenl of Foreign Policy Objectiws 0 H International Agricultural Research Organj-

M04 - CONTRACTGRANT TYPE

o O MOA (BOA BMA etc)

o I Fixed Price (Specify fFP FPRD FPEPA FPI) _____ _

(gtIDPR 7-31 OJ SO(b)(7raquo

OK B(a)5eJection (FPR 1middot1713-1)

o L Grant iH1ndlOok 13)

o M Do Nol Ue

D 2 Cosl Reimburemenl (S~cil) CR CPFF 0 N Cooperative t~reement (Handbook 13)

CS CPAF CPIF) ~ 0 O Small Business SeImiddotAside (FPR 1middot1706-8)

o l Cooperative Agreemenl ~ 0 1 Overseas Procuring AClivilies (AIDPR

04 Grant Gener31 Supportmiddot 0U ~ 7lIOI-SC(b)(2))

o S Granl - Specific Support ~ ~06 E SER VICE

g ~ ~~t ~~(d) ~~ ~~ ~ eci~a~~~~~ogram Projeci

o amp IQCs ~ ~ relampted excepi A amp E Services)

o 9 Host Counlry ContraclGrnnt 5lJ C amp E Services

middotComplele ONLY through ~Sl ~~ 0 D Construction

M05 SELECTION PROCEDURES 0 E- Reseuch

o A Formally 3dverliscd (IFB) (A1DPR 7middot24 amp

FPR 1middot24) ~ o B Negoli3ted Price Compelilicn Gencr31

Procedure (RFP) (-JDPR 7456)

Dc A amp E (AIDPR 7410)

0 D Ed Inst andor Inl1 R~arch (-JDPR

74 5)

o E Collaboratoe Assisunce (IDPR 7458)

C F Predominant Capability (IOPR

73IOI-50(b)(l)

AID 1420-49 (179) - Page I

D F Technical Services to AID (other than trainmiddot

ing usually o~ating expense)

D G jraining SetVice for AID

o H Equipment Materi3J~ Supplies Commodities

D I Translation Service

~07middot TYPE CONTRACTORGRA-nEE

o A Firmmiddot AU profil-rn3king fUms (other than

Aamp E)

J e A amp E 8r~

zalion

o Public Inlmlational Organizations (UN

Agencies ICRC Wocld Bank elc)

(H8 J 3 Chapt~ S)

M08- TYPE AW~RD

o A S8 Sel-Aside - Awarded to Non-Minority

o B S8 Set-Asidemiddot Awarded to MinXity

o C_ S8 NOI Set-Aside - Awarded to Non-Minority

o D S8 NOI SeImiddotAsidemiddot Awarded 10 Minority

o Eo amp(a) S8A Awarded to Non-Minority (Womerl-

Owned Veterans etc)

o F 8(a) S8A Awarded 10 MinorilY

o G Personal Sen-ice ConlrdCt bull Non-Minority

o H IeJSDnal Service Conlract - MinorIty

o I Individual NonmiddotPersonal Service Contraci -

NonmiddotMinority

o J 100Jigtiduai NonmiddotPersonal Service Contracl -

Minorily

o K NOI Small Business (Univ NonmiddotProfit Large

Firms) Non-Minorily

o L- NOI Small 8usineSl (Univ Non-Profit Large

Firms) Minorily

o M US Govcrnmlnt

(Connnued on Page 2)

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--

ua ) R I GI NAL 9 bull

MODIFICATION or GRANT PAGE 1 of 2

AH 1 2 Effective Date 3 Grant No 4 Effective Date

Amend_at Ro 5 April 15 1981 AIDCSD- 3294 8-11-71

-s CRANTEE (Name and Addrea) 6 Administered by -Professor Gerhard Loewenberg -Office of Contract Management Cbrnparative Legislative Research Gente Central Operations Division Dept of Political Science am Branch University of Iowa Agency for International Developn~nt Iowa City Iowa 52240 Washington D C 20523

7 PIO No 930-0090- 3013411 A5 8 Previous PlOTa -

Appropriation No 72-11110216 93i-1l-995-l36 930-11-995-136-73-3078103

Allotment Symbol - 146-30-099-00-20-11 wunt Obliga ted by this ~ndrnent - $10397

The above numbered Grant is hereby modified as follows

1 Anotmt obligated prior to this rurendment 2 Amount obligated by this amendment 3 Total obligated anount (1 amp 2)

Delete the amJmt $465000 and substitute in lieu thereof the ammnt I$47S 39-7 ~

FUNDS AVAIrABm

~~ - APR 13 1981

PrO~A~~5iors

$465000 $ 10397 $475397

OffiCE Of fIN~(1 ~~rE~E~T __ _ 10 This amendment 11 entered into puruant to the authority of the Forelgn

Assistance Act of lS~l as amended Except aft hereln provided all terms and ~~ndi~ons nf the grant rcferpnccd in Block 13 remain unchsnged and in full force and ~ffcct

11 original and six Crantee 18 requlred to aign thh document aad return 1- eopics to issuing

ffiee

~~~ or printed) BUSINESS MAHAGR amp bull

Tille TREASURER

UNITpound) STATES OF AHERICA AGENCY FOR INTERNATIONAL DEVELO~NT

BY_-1(1o-_1lt--= 13middot~_1_~ __ K R B1uteau

(Name typed or printed)

Tltle~ ____ G_r_a_n_t __ O_f_f1_c_e_r ____________ __

D3tC APR 2 J 7997 Dolt 9 APq 1981

BEST AVAILABLE DOCUM NT ___ 0 HLGlNAL - I 1 J 1 ~ )

- 2 -

AID ftmds in the am)tmt of $10397 are hereby provided for the activities lmich are described in your proposal (including Budget Stnmnary) entitled CDnference to Report Research Findings on the Study of Political CDnditions for Effective Small-Scale Rural Assistance Projects in Kenya Korea and Turkey dated February 17 1981 and made a part of the Grant b reference

BtTDGET StMMARY

Line Item

Travel

Per Diem

Other Direct Costs

Less existing 211 (d) grant funds

Total Amount Obligated by this Amendment

Estimated Costs

$ 5888

5100

_ 2500 $13488

_ 3091

$lO39

Note Indirect costs or $395086 associated with these activities will be contributed by the University of Iowa

BEST AVAILABLE DOCUMENT

~RIGINAL

- CONTRACT IGRANTCOOPERA rIVE AGRElEMI~ SERC~SDSlP Actio) Monitor

SERCMSDSUP Action Office

I

INSTRUCTIONS AJDW - Complete 4 copit of tlh fonnmiddot Orisina iCMSDfSUP Sutistical Section COP)middot Copy 2 SERCMSDjSVP Administrative CoP Copy 3 Cont-acting Officers COP) Copy 4middot SOSUP Admin (Susptnse) Copy Missionsmiddot Complete 2 copies of the form or~aI SERCtSDSUP Statistical Section Copy and Copy = wiU~ retained in the Missions

0 PART IA

Effective Date of Document tJ

Delivery Order (Requirements)middot

o 4 Purcluse Order

bull If I 2 or 3 have an bull X compl~te M I 2 ON L Y

M04 - CONTRACTGRANT TYPE

o O MOA (BOA BMA etc)

o 1 Fixed Price (Specify FFP FPRD FPEP FPI) ___ _

o 2 COli Reimbursement (S~cifY CR CPFF CS CPAF CPIF) ______ _

o 3 Cooperative Agreement

o 4 Grantmiddot General Support

o S Grantmiddot Specifi Support

o 6 GraDt 21 led)middot

o 7 Do Not Use

o amp IQCs

o 9 Host Country ContractGrant

middotComplete ONLY through M 5 1

MOS SELECTION PROCEDURES

o A Formally advertised (IFB)(AJDPR 7middot24 amp

FPR 124)

o B Negotiated Prire Competition General

Procedure (RFP) (AIDPR 7456)

o Co A amp E (AlDPR 4 I 0)

o D Ed Ins andor Intl ReStalch (UDPR

7457)

o E Collaborative ASSistance (AIDPR 7458)

o F Predominant Capability (AIDPR

7-310l-50o)(3)

AID 142049 (1-79)middot Page J

o H Procurement Co be Performed b~ the Conshy

tra~tor in Person (AlDPR

7middot3t OI-SO(b)(Iraquo

o I Sole 5gturce (AIDPR 7middot3101middotSO(b)(4raquo

o J Impairment of Foreign Policy Objecdv~

(AIDPR 7middot310 ImiddotSO(b)(7raquo

o K 8(a) Selection (FPR 1middot1713-t)

o L Grant (Handbook J 3)

o M Do Not Vse

o N Cooperative Agreement (Handbook 13)

o O Small Business SetmiddotAside (FPR 11706-8)

o P Overseas Procuring Activities (AIDPR

7middot3101middotSO(b)(2raquo

M06middot TYPE SER VICE

o A TtJining of Participants

o B Technical Assistmce (Program Project

related exc~pt A amp E Services)

J C A amp E Services

0 D COltl~ruction

0 E Research

0 F Technical Services to AID (other than trainmiddot

ing usuaU Y operating ex pense)

0 G Training Service few AID

0 H Equipment Mat~rials Supplie~ Commodities

0 I Translation Service

07middot TYPE CONTRACTORGR TEE

Firmmiddot All profitmiddotmaking fu-r1s (other than

AampE)

o 9 amp E Firms

I Prcct NumbcT

I

Contactors D-U-N-S Numbcr

I) -S--f(j

o C Individual 0-lon-~rsora1 service)

o D Individual (Pet-sonal Service)

o E University lOt her EduCltionaJ Institutions

o F Non-Profit Organization Institutions (other

than Ed or PVO)

o G Private Voiuntary Organization (PVO)

o H International AgricultwaJ Research Organmiddot zation

o I Public International Organizadon~ (UN

Agencies ICRC ewld B3J1k etc)

(HB J 3 Chapter 5)

M08middot TYPE AWARD

o A SB SeImiddotAsidemiddot Awarded to Non-Minority

o B SB SetmiddotAside bull Awarded to Minority

o C SB Not SetmiddotAside - Awarded to Non-Minoril)i

o D SB Not SetmiddotAside - Awarded to Minority

o E ~a) SBA Awarded to Non-Minewity (Womeli

Owned Veterans etc)

o F 8(a) SBA w-rded 1o Minority

o G Personal Service Contractmiddot Non-Minority

o ~ Personal Service Contnct - Minority

o I Individual Non-Personal Sence Contractmiddot

NonmiddotMinority

o J Individual Non-Personal Service Contractmiddot

Minority

o K Not Small Business (Univ Non-Profit L1lge

Firms) --vn-Minority

o L Not Small BUSiness (Univ NonmiddotProfit Large

Firms) ~inoriy

o M VS Government

(Continued on Pcge 2i

t bull - t ~ J f q

ORIGINAL bull MODIFICATION OF GRANT

1 2 Effective Date

Araendllent Ro 4 12-2-80

s CRANTEE CHace and Addrels) Professor Ger1ard Lo~middot enbelg Comparative Legislative Research Deartment of Political Science The Lnivp-rsity of Iowa Iowa City Io~a 52240

7 PIO No NI A

Appropriation No 72-11XHl26

Center

Allotment Symbol -426-30-099-00-3~-71 Amount obligated by this urendment-O- I

3 Gnnt No

AIDcsd-3294

PAGE _____ 1 _of-L

AlI 4 Effective Date

8-11-71

~ Admlnlltered by -Office of Contract Management Central Operations Division OTR Branch Agency for International Development Washington DC 20523

8 Previous PIOITs -

931-11-995-136 930-11-995-136-73-3078103

9 The above numbered Grant is hereby modified as follows

Supplement to Grant

Change the duration period sentence to read

The Duration Period for this Grant shall be August 11 1971 through December 31 198]

1 Amount obligated prior to this amendment $465000 2 A~unt obligated by this amendment -0-3 Total obligated amount (1amp2) $465000

----------------_- - ------- ----_- ------ 10 Thh lImcndmcnt is entered inlo punuant to the authority of the Foreign

~ Assistance Act of 1961 86 amended Except a~ h~reln Z II provided all terms and condi tions nf the grant referenced in Block 3 remain ~~aunchlinged and In fu1l force and effNt cnltUI cJ)za 11 o 4 J bull

Et~ ai~a gtUoItshyc Z P=u

original and six Grantee t requi red to sign this document and return 1- eopies to 1Bufng

office

~ 12 GRANTEE TES OF AMERI CA

(Name typed or printed) bull

TJlle Director Comparative Legislative liecearell CeQtoQl

Date 12880

------------------------------------

ONAL DEVELOPMENT

By ----~--~~~~---------------------

prinled)

Grant Officer Title --------------------------------

J)oll( 12-2-80 -----------------------------

BEST AVAILBLE DOCUMENT i je

Page 2: PD-Ar3T Cr(~

- 2 -

Please acknowledge this Grant by signing the original and six (6) copies of this letter and one copy of the Statement of Assurance of Compliance Please return all documents to the Grant Officer

Sincerely yours

h_~~ - John A ~

Attachments

1 Assurance of COTpliance 2 Final roposal amp Budget Summary 3 Standard Provisions 4 Appendix Art

ACCEPTED

BY ________ ~~~~~w_----------

BEST AVAILABLE DOCUMENT

trrmiddot L1

ASSURANCE OF CCMPLIANCE WITH TEE AGENCY FOR INIEO-mATIONAL DEVEIOPfElT REGUIATION UNDER TrlIE VI

OF THE CIVIL RIGIDS ArJr OF 1964

TIm UNIVERSITY OF IOWA (hereinafter called the Grantee) (Name or Grantee)

~y AGREES THAT it rlll comply with title VI of the Civil Rights Act of 1964 (P L 88-352) and all requirements imposed by or pursuant to the Regushylation of the Agency ror International Developnent (22 CFR Part 209 30 FR 317) issued pursuant to tmt title to the end that in 8ccordallle vith title VI of tmt Act and the Regulation no person in the United S~tes shall on the ground of rece color religion sex or national origin be excluded from participation in be denied the benefits of or be otherwise subjected to discrimination under and program or 8tivity for which the Grantee receives Federal financial assistance from the Agency and EEREBY GIVES ASSURNCE HAT it will immediately take any measures neeessary to effectuate this agreement

If any real property or structure trereon is provided or improved with the aid of Federal filencial assis+ance extended +-0 the Grantee by the Agency this assurance shall obl~te the Grantee or in the case or any transfer of such property sny transferee for Ue period during Which the rea property or structure is used for a purpgtse for which the Federal finJmcial assistance is extended or for another purpgtse involvilg the provision of similar services or benefits If any personal property is so provided this assurance sball obligate the Grantee fer the period during Which it retains Ol nership or possession of the property In all other cases ~ this assumnce sball obligate the Grantee for the period during which the Federal financial assistance is extended to it by the Agency

IHIS ASSURANCE is given in conside-ation of and for the pu-pose of obtaining any and all Federal grants loans contracts property d1scounts or other edeml financial assistance extended after the date hereof to the Grantee by the Agency including installment payments after such date on account of applications for Federal ~inanc~l assis~~e which were approved before such date The Grantee recognizes and agrees that such Federal financial assistshyaI1ce vill be extended in reliance on the representations and agreements made in tris assurance and that the United States shall lmve the right to seek judicia enforcement of this assurance This assurance is binding on the Grantee its successors transferees and assignees and the person or persons whose signatures appear below are autmrtzed to sign this assurance on behalf of the Grantee

TIm UNIVERSITY OF IOWA

BYSignature)_~~~~~~-__

TYPED NA1E ------~~~~~~---------

DATE

TIT IE

-2 I1--ltaL--i-~-I-l 7

BEST AVAILABLE DOCUMENT

FROPO~AL FeR SUIORT IiiliZR TI~

INSTITlJTIOXAIJ C1PlfTS POGRAlmiddotl

Neue of Applica1t state University of Iowa

Date of Application 1ay 25 1971

~itle Comparativ~ Legislative Studies

D~ration 5 years from date or grrurt

futlOtllt of the Grant $2t5COO

SUJ1VARY

The UriversHy cf ICmiddotia propcses middotlit~ stpport f~om the Agency for Inten2aticlal Dcmiddot-eloprent -io enlw_nce its ccpacity in t1C field of COlpCilative lieislative studies lIith ia area emphasis on Africa a1Co Aja Tb~ Ulversity of IC1-a ltiill lse gr~nt fu1ds to carry out s tu-iies of l-gslatures in celatim to political ei sccial developrrr2t develop 91 archive of data on legislative liEtedals exp_1d a1d iiprcve cu-ricula in this field of study and ting tmiddot) tne Uni-ersity guest professo-s uld scholals frol LDCs ~lti ot18r US intituticns to enlch the prcgral at IOwa Tbe University of IOia has sprcial cCtetence in social science res~arch met~odologr cOipaatiye stui~1 of legislative behavior and tee dev~lop~ent of ~ultifactored data sets Building u~cn this ccmpetence the Unverity of ICa will use gr2Ilt funds to develop comparable neas~res of cross-countr3 ~~d historical data on legislative develo~~ent initiat~ stUdies of traditional factors a~d salience o~ legislative instituticns and expand and i~ro~e upon naterial for teaching at IOia through estab1isling collaborative research arrangements with relevant scholars in the US and overseas

_lis propoal is one of three closely coordinated gra1lt proposals frcm the University of Icmiddot3 Duke Uniie-sity and the UniYcrsity of Ha~ii The University of Iowa iill participate as a member of an Inter-Universitf Advisor Co45rittee which -Till plan s~~osia pro~ote publicatic~ of resea~ch results avoid duplication of effort arronz the three gr~~t~e instit~tions and facilitate exchang~ o~ students and faculty Tit) fo-eign msti tution hen desirable

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~9

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II

of a special cot~~e il -~Ze subdiscilin~ of ccparative legislative

stl~esOlcig 1- 2s emiddottensiVe Cc~a arhives These stucies hill

lock a ~te crei-re 3G~i~1 ad eccror5c bac~6rt)Q1d cf legislators

perrcrra1ce 1 this -gac f1Q their clltthr~ place middot ithin the goverl-

Itental ltL~middotmiddot~)O v_LA __ alli Africa ~middotot~ld ce the nioerJ geogilpbic areas

of fcc2s ~~lt -C~ ellsi-ely Disciplinary phass middot-iould bmiddot in

ftlnction

rC-e ri~~sit dill ccrcertrate cn legislative influence 1 relation

to s~ecific c~-middotc lc=s~ ~ ~ ~oclens as Eel elt2ple umiddotC 9L1izltion population

Its geographic focus

plic~i s~ciolog Ct~olics

BEST AVAILABLE DOCUMENT

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Te iiersity of aiiaii xill build upon its edsting geoganic

focus on Asia and integate a progra of legislative studies middotdthb its

cc~~t~J ard area s~eci~lizaticn prcgra~s Korea Indonesia ~d Thail~~d

are prcnir~ent aleas in Ea- -aii r S gtrcgt1 alcng ~ith cc-palative ~ ork i~

the Pacific Islads Studi-=s by Halaii ~-ill for exaple compare the

legislative roles in econosicelly slcce~sful cO-L1tries iiitb thei roles

in countries ilitb lesser econcmic gro~-rth It ~middotrill conversely compare

economic i~~ications of cotntdes cr elatively strog wit those of

celatiyely veak legislative systems Emaiis approach would be

intercisciplinary to includ~ political science and bistory plus a streng

III middotnior ~noes ale Activities

1is ga1t is to aCieve t~o pucpcses 1) the en11aLcenert at the

Univesity of Io- middota cf institu~ional capacities for ~~i1ls releya~t to

t~e couparaiive study of legislative orga1izaticn ftnction ald

de~ent as these relate to tle process of ~ocietel moden7ationshy

ceyelop-e~ ad 2) the gele~ation and collation of a bcdy of priJciples

that ca be utilized cy AIu in poliCJ decisions that relate to

re~uests for tec~middotal SlppOt of letislstive institutions in fadlitating

developler~t These biO puposes ca] be s8z-ved ily pursuing the fclloflirg

specific activities

l Training d0mestic 8ld for-eign students in the design and

eXecuticn ot syztcr3tic re6=ar(O en ~he v8--ying Tole that legislatures

pJa~r in the roc~ss of ~detuiaticn-ieve] 0plcn The results cf their

021

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2 Incr~asilg the e-istirg skills e1d redirecting the interests

of dc~estic ~i foreign sc~olars to the comparative leg~slative field

rne Univer3i ty 0 I01[ generally ~rill be erric~ed by t1e presel1ce of

these scholars a1d its ccr~arative leBislative prcgraIl in particular

~middotTill be ennalced by the nemiddott kl1o~ledge that is generated

3 Cooperating id th a11Q other-ilisc facili teting the ork of scbolars

of less developed cOll1tries in rultidisciplinary ark at the Univeisit~r

of Imla en the rcle 0 legislatures in the charlcter of regire legitimacy

as -ell as on re developCent cf a cetralized data bmli at Io a asse~blilg

raterials on legislatures a1d develoent tre logic behind the bank

a1d tile techniques related to its use

4 Diffu~ing relevant ~et~odological ~1d ccrc~ptual teals in less

deelo~ed cOlUltries through the loove enrichent and redirection of

indiviQual~ and t~e ~evelcp~ent of the data b~k) thereby =ultiplying

bott ihe qumity cud quali-vY of the researcl~ frcm which existing

curricula at Io~middotw can be expanded and re curricJla dtveloped

5 Increasing the size of tJe imrld~ide pool of professional ad

expert consujtants ~lalable r-ot only to IO~il Du-e 81Q Hawaii to dra-t

en but also to AID in the pursuit of sev~ral aspects of its

6 Creating nullgli th~ p~ogral at the Univers~ty of IOa the

substance of a stbJisciplire and in cooperation odth similar prograos

at other ~imiddotelsities 811 organizatic1al Gtlucttltre ~nt ca ~vbilize

continuine i1t~-rtiorr1 intrest i1 a11d sapmt fron orgaiations

interested il deveJopr-ent

BEST AVAILABLE DOCUMENT

1(1 1

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itl Suppor- f~ctl this Grat tre University of lei-Ilt ~dll cO1centrate

e1 fclts in this prcge~ en legislative behavier variables tat telp

e91aL ~hee specific 3sten cha~a~teristics 1) the scpe of olitics

2) e style IJf goverQent ~tnd 3) the legitirlacy of the regine For

tis l)1lpcse te gtrcglam -rill ex~e releva1t coparative factors il

a lage nlt=~er O~~ African and Asian legislative institttions The

Univcsity of lO~middotIa ~lill also uldertslte the study of these legislatures

at -a~iClS cLts in tire This ~lould gtequie the use of time series

cat t1G historical SClrces not cctl9arable to contempOral7f sou=-ces of

Fe each of te legislatures included for study Ima -iill seek to

a1al~ze suc] cbractelistics of t~e legislative systen as 1) the

atricutes cf ecers--te process of their recruitment their so~inl

~c cccupalonal backgro-lI1ds their politically relevant srills their

role c~ie1lttio1s inclcirg ht~ir concept of represeILtation and the

pe~pound~ge 1~r5th 0- tente in tbe Ipgislat~re 2) t~1e distribution of

the f0~al 211 inforl rales of 2ocedure the leadersnip groups the

cr-osi tio1 and role 01 legisl3tire staffs a1d the kinds and freqlelClJ

of legisative sessic~s 3) the ~utputs of the instituticn--the agenda

of issues tre modes c- cotenticn el1d the qU11titr and kinds Jf

decisions

)middotemiddoter llllike studies of ~hese fctors in the past Imla is

BEST AVAILfBLE DOCUMENT

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The for~Ietic1 0 tneol-y lO this coarative 8seerch of

Tiiill ~erdt equivalent cmiddotoss-sy-ste~ ~easuelents are 8O1g te r6st

irpctant aSgects of tle prcject It r2y be one of the ~c-st valuable

esllts of Io~a I s efforts ad ~dil reCuire close collGbor-tion arong

t~e pa~ticipents bull

p_ Cc=-arative Legislative Research Archive

lltOle a subsb Tltial aolIlt of legislatie data has been collected

in a1j- different cOL1tri8s very little of this iateriul is cOJarativE

1middot-s of it has teen collected by individual reseachers on e single

CQl~ty Cc~adson in legislative research is thus difficult because

=2 01 r3j cClalties are ot available at a sirgle location in s sLgle

is a clear ~eed for the ce~t~alizGd acq~sition ~ or ~ne

available data to per t the forulaticn and compGrative testlg of

~eorics aoc~t le8islativ~ behavior As a major part of this program

te Uive3ity of 1mmiddote 9poundlS to establish a data arch-e to begir to

big te existing legislative sttiies tcgetber at a sirgle location end

to ~-ke ~i~er ~ccessible +0 the grm-ing 1unoer of irterested scbolals in

Once J~1ese data have O~en brOght tcgether tney will contribute to

-~ pogram t IO~middotia in -I~middotiO -poimiddottant ~middoteys First the dats -Till be

utEized in traLig graduate stud2nts T1e rea13lysis of d~ta to test

BEST AVAIL~BLE DOCUMENT ( 1 t

- 7 -

faculty at the University of Imllt1 and from omiddotrerseJs tlitbout slch an

acbival base those dtdies Ylould be ver lil1ited in the hypotheses

ter could test The quali ty of this re search eqerience fill be

(o1siderably enha1ced by the aVJilability or data for co~arison dth

t~e data generated thlcugh the ccllaGorative research sponsored by the

traini~g progca~

Once gathered a~d refo~tted the data ~~ll be ~ade available to

sc~olars students al1d other interested persons outside of tre University

of Io ra P(r exa-nple appropriate data sets would be available to other

llsti utions tat pre ccoperating in t~is program ie Ha-waii Clla De

~ese could tten be used in curriculul developent at tbose schools as

middotell as Ll the pre-grar at the UJiversity of Imre Finally data could be

aie available to i1di-idlal sc~olars and institutions overseas for use

1 teir research a~d trailing progrems The cUIlulatiie effect of this

disse~lilation and staring of data ~i11 be an enrichme~t of research an

Llcreased flO-I of ne data to the Uriversity of Iewa I3Jld a greatly

ena1ced ability at Iowa to aalyze legislative behavior a--d defelopnent

f 1ssociates

The University of Iowa d31 involve as Associates individual US

arc ~ereign Rcolars fro~l other instibticns in some instances fOl

cc-ivities at Iovll in others as recipents of support Oi research and

oter aciivities middothich coqlement cnd emic1 the program at o a These

Associa-es rill be involved in such activities as ser-lfing es University

of IOim g-uest professors 5~St lecturers 1d visiting faculty

lticipel1~s L ccnfiences and s~riosia and as collatJoratiEg 2search

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cevelcged c~lt-ies Smiddot~yemiddotl such projects core already uoer ~middotay

and 3y potetial ss~cetes ~ave been identified and thei ilterest~

211 gtarticipeting i1 t~e ~Cglar1 ascertained

He -resc1t ge~sc-~el a1d acilities of the University of Iomiddotro

plcvice a very st-cre basis for the research atJd training programs

~rnich ~middote a~ ~rc9~3L1g -fmever the further development cf legislative

suCie3 ali a pec~ent streugthenLlg of ~he progrun of Iomiddot ~ is a major

a oes3icral Demiddotmiddotelc~ Galt fur~ds will be uSed by the

LT~iersit2 c la= ~ icreasing te nUbe of faculty specialists in

cClJses ir sjcts elated to the subject atter Specificallr grant

fuimiddotis dll ce usee to ac3 one pernanent faculty Uemoer in roliGical

scienc~ ~middotit s~ecia iltcests b legislaive beh3vior ald political

dloYl-nt a-o 81 a29 cmiddot-petence in Ardcan pclitics and to bring

(lculy -emiddote-s fro less ceveloed countries to spend a peri cd of time

at the TJ1 i si ty o~ Io~middot adine sechtl expertise to the ~od~ at Iowa

other middotisosel -~ i_ le irol1ght to IC~ia as needed to support those nO~T

or --18 fc~~ti r~lt 7ds ~rill also be ilsed to finance data collection

exlts-s ~) t~-e res~imiddotch iork of tte acult the Associate scholars

BEST AVAILABLE DOCUMENT

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cesigned tgt trrtin US and foreign-born st1lcents in le6islati-~e rese=z-cndeg

Sttde1fs ~dll be tdTi tted cr11ally to 9 proeragt iihicn ~iould irclude a

tro~ot~h grounding in the r thods of cczparative aralysis the S1ostance

of conparatie politis g-mel31ly end the corrparative studJP of

legislative behavior in 9articulal The Uni-ersity intends to associate

tnese studelts directlr - rith research in Ttlhich faultr 2Cbers are

engaged to encourage thea to dra- U90n the skills end resources available

in this field il ra1Y departnents of the University to enable them to

spend up to one year in field research and to have thel4 snare their

findings middotrih their stmiddottidei~t and faculty colleagues Tle prograII will also

involve foreign scholars middotno are expert in the legislative process of

t3ir o- n countries in the tcaciing fgtimiddotogren both by holding -fisHing

a=point~elts at t-e University of Ioc1d by sUgervisi~g field research

c R d - t- ~ 1 rec C~ of Esta~lis~ed Scholars Tne University of Io~~

plals to extend a1 in-itaticn to seieal foreign scholars duri1g te

gle1t p2riod to patici~te in a coparative legislative researc~ seirar

duriig their visit Their plrticipat~ion middotrill edd 3 lL1iqte diiensicn to

the seiiral hceuse cf theh ~1o~-rlecge of the legislature in their own

C01-try BCmiddot2~ J1is Gemilr -ill be dealing -lith the nos-G current

reseaCIJ o~ l0~ ~ltmiddotJres as ell as discussine desigs for reseach to

fill in cowleuge of legis1timiddotre 1ehclicr -re believe

tret it ill be a l2~lilg experience for all the pclticira1ts--incltcing

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Ima rill lOrk collcboratively ~ith the fOrsig1 5cbolars to design a1d

carry out P reseach pruject These projects Till cc~tribute to the

retlaininB of foreign scholars and nill also add to cur mmiddotm and8rstanding

d Research The 9rinciplI enphases in cesenrcl rere cutlined in

Section III above ie to focus en con-9arative studies in iihich

legislative cehaviol can be helpful in explaining the scope of politics

the style of governcent a1d the legitinacl of regiles Variables hich

will be studied Iost closel~r ircluue tbe persistence of institutional

norms in the legislature oyer time the relationship o~ the legislatue

to ether institutions in fornirg public CC1Cepticns of politics and

the histOl~ical context detelini1g public expectations of the 12risleture

This resea~ch nag both academic and practical objectives

Academically it promises to tie legislative behavior research to other

major concerns L1 pcliti~al science such as research on systeJ stability

and paricrJance Its general substaltive eojective is to assess the role

wtlichlegislatures Illay L1 determining the capability of political

s~lstems especially their ability to deal ~middotith soCial change

Vractically the stu1y ~y offer guidance to polic~Y-Dakers on

t~1e role ~ hich legislatures rray be ~lI-pected to pIa)- in neimiddotrly established

political systelt ald on ~hc efcrrrs in established legislatur~s -Thicn

rray be required to achieve specific syste~ effe~ts The study ~dll

Nquire the assccioticn of rembers of legislative staffs a1d 2cademic

colleagues in the s~eLal nations lmder nvestigRotiop plovidirg training

fot ~ll r)f them i1 leeis1ntive re3Clrch ~ri facilitating a valuble

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ll-

of Iml3 ~ill LS~ glmiddot~t f~ds t~ estaolish a data archive to begin to

bring tb~ edtirg legi31ati--re studies tog3tller at a single locaticn

end to =afe t~e ac~essible to tie grc~ring m~er of interested

scholars in t~i3 field PerSCIlllel of tbe Data Archive ~rill searcD

broadly fo all a-reilable data on legislatures in the possession of

ildiviiual researc~rs i11ese data sets ~-Till be acquired refo~atted

for ease in alelrsis a1d stored in Archive Tne Archive ~~ll

asserble tie etel~ Gata O legislative organization ald procedure the

socialization ~~ recruite~t of lzgislators legislative decision-

makLg pccesses 2d legislative outputs To facilitate access to

the data a ~middote-riemiddotrlt11 syste middoti111 be cesigned that will 2011001 r-=searchers

to find ~iccJ ata sets that c~mt2in inforration lelefalt to their

researc1 po)2e5 RibEcg-aphic citation3 cnd abstracts of research

reports on le~i51e-imiddote oebio ~~ill be gathered and a biblicgraphic

retrieval sys tC idll a Geielc9d to aid esealcJers

cooioinet-e1 ~~as n -ie are= of c~rarativa legislatile studies is

t~3t because 0 si~~e iJS in~ti tuticn ias tce necessarJ expertise

of ccrparati ve

1-=gislatiY2 tcie3 8forts of the most conrpeteat ace interested

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12 -

oz~ the tr)middote grantee institutions and otter associated scholars It

~ill ayise t~e pa1tee i1stituticns on SllC catte-s as roritorirg

activities at the t~re~ unive~sities~ evalu~ting rese~rch frr possible

=middotclication sJ--sidies rld ether ratters related to infor~atioTI

disse~~ation coordinating research efforts to avoid duplication

ecilitating excha1ges d sttde~ts ad faculty members ~-iitb foreign

nsti tutions i~en desirable tryi1g to till lacunae in cLIricu lUn

helJilg to arralge cmferelces and sy-posia and generally trJing to

9cote te ~eielcp~2nt of cOlparatile legislative stucies as a

Gra1t L~HS idll be ~sed to support the Univ2rsity of Io -a IS

nrticipation in tre AdisorJ Co-i ttee t1e developrrErt of conferenc=s

elsEfhere il the US arHl over3eas i1 relat2d facets of leeislaive sttdies

Edstng iersonJ~l al~d fa-ilities at the University o= 1oa previde

iaculty facliiies to aid rC3emc~ trailg aPd skill in 21c~ivaJ middotork

BES~ AVAIL4BLE DOCUMENT I

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Six ITe-bers of t1e faculty of the Departent of Political Science

at the Unhe ity of Im-ia are presently engaged in legislative research

To merbers ot the Departllent of History are engaged in research on the

British Parlia~ent L~ the eighteenth ~~d nineteenth centuries Fer the

past six years an adv~~ced se~inar has been offered by ~embers of the

Department of Political Science and the Department of Histo~J on

comparative legislative behavior This exte1sive collaboration iiill

ma~e it possible to develop a fully inter-disciplinary program for the

students ~~d visiting faculty In addition faculty ~emcers in

Scciology interested in organizatien theory and in the College of Law

interested in legislctive processes provide furtber e-pertise ava_ilable

to students interested in tee study of legislative behavior The

presence of these specialists on th~ facult~r is reflected in the

excensive librarJ al1d otler data resources existing at Iowa in this

field

The Uniersity of Ima offers an unusually extensive program of

trainL~g in research methods Four ~e~bers of t~e Department of Politi~al

~cie1ce teach in the field of research nethods Courses jn statistics

ca1 be taken ill the Dep~rtents 01 Sociology e-d Educational Psycholcgy

Llis prcgr6l provides a verJ solid grounding il research training and

data analysis

bEST AVAILABLE DOCUMENT

e ~

- 14 -

Y labCrato~y for olitical Pesearch is the reseacc1 md research

tlairirg facility of the Departe1t of Political Sci-lce Gcadvate

students receivo extensive res~arch experience through 1or~ing in the

La oratory bull The Lacoratoy is also a1 integral part of the trainirg

o~feed in ccurs~ T~middotO~ for graduate students

The full-time sta~f of the laboratory includes a director an

assistant director a t-=cl1ical cirector a supervisor of study

t1hteen graduat~ students - rf1rk in te Laboratoy receivLLg teining i~1

~a~a collecticn ~~i data e~alysis Tbe facili te5 of the La)oratorltJ

icluoe a oard eJcerline printer ccnnected to the U1iversitys

dis~ and tape storF-ze for d~ta

The pogral of trailing ia coparative legislative reseC_cch ~ill

relr heavily en t LaOerltcLJ- for taching graduate stucents Visi tine

fc111tr lYe~bes iill be able to utilize tbe facilities cf the Laboratory

gt IOra ~as sFcial ccrpetence in prOCed~les for

ccq ter ogagtlizetion of d~ta Ja1ks ~d fOi the p~ocGssing of large data

sets as well as iJ the sttdy of naticnsl end st~te legisltllres Tile

BEST AVAILABLE DOCUMENT

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Ile Univelsity of 10Ira will eadnister- the Grant thJotg~ its normal

a)1 iristrative char-l1els ad i1 Eccordance imiddotlith its ncrTal olicies and

operatirg procedures 7he Director of the gr~l1t-s~~ported program

Hill be a senior faculty eriOer of the Gniyecsity of IO~-ia -with extensive

expe~ie~ce in the subject field Associate Directors w~tb similar

qtalifications -aill also be appointed 7he Director- and Associate

Directors ~dll serve as eibers of t~e Inter-University Advisory CC1gtr)ttee

established to cooidinate _u bullbull ID gra1t-stpported programs at IOia Dul(e

lniversity a1d the University of Ha- aii Ll1 this field These relatiol-

ships are i~dicated in tee follc~dng a~inistrative organization chart

IX Ul~vsity Ccntri1uticn

T1~ ~h-ersity of IQ(a aSSures ALD that this Grant middotiill not

replace existing ftnds for STr current activity and imiddotrill be additive

to existing prograrrs of tCe lJniversity In direct sp~ort of this

Grat ttc University ~ill provide a) Acmi1istratile costs including

tie of senior officers of ttlt University b) Office ~ld research space

ald library and cor-puttr facilities c) Provision of a1cillamiddotCjr 1niversity

personnel -or consultation o~ ~middotjQrk nth the progral

X Reports end 5evie~-Ts

There i-ill be sub~itt-=i al arnual t2ctnical report for the purpose

of AID s revie- of activities under te Gant Tnis idLl include

a11 e-llation of prcsr~ss aidnistratve ar_c fiar~cial corsicer~tior~s

p~s cr tr foJlJ-middotire ear ~i disctlssics of the ossible l~lizaticn

BEST AVAJLIl8E OOCI1MrNT

~

- 16 -

A~~inistrative O~ganization

Ice Board of Regents of tle State of Im-la

-Iesicent of the University I

1 rOfcst Jf t-3 University

Den College of Liberal Arts

r Chailan DcptiEt of olitical ScieJce

Inter-G~iversity

Acisorr Corcittee

PcgrG21 Director Associate Progra~ Directors

Liaison Arcrge~~nts d ~h I I~~erested Plcfessiona1 I Perso~el j

I _

I 5cu1ti (full or PmiddotLG-tire l Asscci~tes a1d otllei non-Io~il

3ecip5ents of Gr3-1t stPPC1t Gr~cue~~e S t1~lcnts St2~retQi~S1 Data Lbed~1 31

Ln 18 r1icia 1

LO1t c~lce Factcj~1 ts

BEST AVAILABLE DOCUMENT ( ( V-t

- 17 -

of te eo17i~g cCpterce br A I D rLld ethers In addi tion there

aS3essr~ents of the gr31t

middot l ~ lI ~ _ _ _ co~~~r~~ing ~~iversiti~s md tne rrctitoring ALD office

7re l~yersity of Ie~middot~ budget of $26500 is to be deveted to the

cemiddotelgt~e~ of lstituticnal cefete1Ce in comparotive legisl~tiye studies

~t Iomiddota c t~ the exalsi0 ot a date b~L-lt ~ hich 1fill be utilized as

a ecle for icrec3ing te scope of tbe sub-specialty

T - 1 f 1 __ middotja r S Ctdget a9roxir~tly 33- has bee allocated to a

cemiddote Lp~l t rirc ipally C actlty re leased tirre for data ccllection

ai 0 3alres f~r i~~er-ieers in field research 3d secretarial

assi5ta1ce nCt2 11- of t~e Icmiddotre oudge~ is iesignated for an

ArCE_1 A~ite s(101a~middot 2d one 0 ore scnolals froQ LDe or

s1lllrt of greluate stucents in the

BEST AVAfLIlBLE DOCUMENT

- 18 -

Finally approximately 19 of the budget will be devoted to the

proposed data bruL~ that will archive not only data generated from the

research of scholars at Iowa Duke and Hawaii but also at other US

and foreign institutions Primary and 3econdary an~ses of these

data will become an integral part of ~omparative legislative studies

curricula The ability to utilize the data bank for teaching purposes

also should have a significant impact on professional preparation ofmiddot

future legislative specialists In summary the funds will be

allocated to research teaching and training activities tha~ are

entirely conson~~t with the philosophy underlying the utilization of

2ll(d) grants to achieve institutional development

Conclusion

The University of Iowa regards the research and teacbing components

of this program to be closely related an1 zrutually reinforcing The

University of Iowa offers a strong base for the pro~ram because of the

interests of faculty members here now because of their contacts with

scholars in this field in other Americ~~ and foreign universities

because of their experience with the international exchange of faculty

and because of the distinctive data gathering and processing facilities

available in our Laborator~- for Political Research The program which

we have formulated is designed not only to accomplish specific

research and teaching objectives but to contribute to the long-term

development of the University of Iowa in an area in which it has already

exhibited special interest

BEST AVAILABLE DOCUMENT

~ I) - 0

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The program on Comparative Legislative Studies with support from

this Grant rill develop the capacity at the University of Iowa to

provide assistance under separate financing arrangements to developing

countries in a number of ways and through a varieiy of channels This

assistance which would be arranged for end negotiated separate~ from

this Grant may be in the form of technical assistance advisory service

training research and information exchange etc It will be available

by mutual agreement to appropriate agencies national and international

public private a~d mixed and directly to the less developed countries

Most especially this added special competence will inevitably become

incorporated through the processes of scholarship and education into

the competence of US and foreign scholars and institutions concerned

with this topic of great significance to the developing and the more

highly developed countries alike

BUDGET SUMMARY

UNIVERSITY OF IOWA

Salaries

Graduate Student Stipends

Fringe Benefits

Travel

Equipment and Services

Other

TOTAL

$173090

32400

19209

13800

6501

20000

$265000

BEST AVAILABLE DOCUMENT

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BEST AVAILABLE DOCUMENT

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Dr Willa~d l Boyd Presicient University of Ima iowa City Iowa 52242

Dear Dr Boyd

4 AUG 1977

amp

FIJNDS AVAnASLe CpoundNrftAamp sEIMCEs DMsON

AUG11 ~n te t6417 ~77

Subject bull Supplsectferit-tJF-G~middotNomiddot~middot AIOcsd-3294

t middot-rrPJ1 3

I am pleased to inform you that pursuant to th~ auth~rity contained in

S-cction 211 (d) ooC the Foreign Assistance Act of 1961 as amended a sup

plemental grant in the amount of $200000 is h~reby r~de to University

of rCi1a These supplement]l grant funds areprolided to support the

activities which are described in your Proposal dated May 6 1977 for

the implementation of your program entitled Political Conditions for i

Effective Small-Scale Rural Assistant Projects

---This sup~lemental grant is mace to University of Iowa en condition that

yo~r institution shall administer the funas provided under this Grant fn

accordance lith your r~ay 6 197 proposal (including Budget SUmlilary) and

the Standard Provisions (as incorporated by Amendment No 1) which have

been agreed to by your instit1ltion Ti) the extent of an inconsistency

between the Proposal and the Standard Provisions and any otherprovisfons

which ar~ made a part of thi5 Giant by reference or other~iSe the Sta~d~

ard Provisions shall control

The new Duration Period for this Grant shall beAugust 11 1971 through

August 10 1979

The total amount of funds obligated under the grant is increased to reflect

a new total oblgated amount of $465000

Please sign the Statement of Assurance or Compliance ana the origfnal -

and seven (7) copies of this letter to acknowledge your understanding of

the conditions under which these funds have been granted Please return

the Statement of Assurance of Compliance and the original and six (6)

copies of this supplemental Grant to the Office of Contract Management

Attachment May 6 1977 Proposal and Budget SUfiT1a ry

UNIVERSITY OF IOWA

Roberw bull OBrien fficer

Ce al Operations Division Office of Contract Management

AC~E~E~C--_ 0 BYpoundk~~ cH

D C ~lpoundSTtR5BA T ITL E ( PfeampoidPilt for

tee ment amp Research DATE 9-22 -77 (d~ ~~Bduate Ctl~1e~e

BES i AvAILdLt UOCLJMU~ I

211(d) Grant Program

Proposal of the University of Iowa

POLITICAL CONDITIO~S FOR EFFECTIVE SMALL-SCALE

RURAL ASSISTA~CE PROJECTS

Submitt~Ci to

Civic Participation Division AID

May 6 1977

Amount requeste~ $ 199987

BEST AVAILABLE DOCUMENT

I TdE DEVEIOP~T PROBr~

P~litical Conditions for Rural Development

The Cocparative Legislative R~search Center of the University of

Iowa proposes to ~~dartake a two-year study to investigate the role of local

leaders and the rural public in theimplecentation of small-scale develop~ent

1 projects in less developed countries The study will use and extend the

capacity ~hich the University of Iowa developed under a 211(d) grant to

investigate and assess the impact of loeal politics on rural development

~t the co~pletion of the s~ Iowa will be in aposition to advise the

Agency on the design ~nd evaluation of s~ll-scale projects which will be

politically viabe a~d effective in ass~sting the rural poor ~

As students of development w~ approach our task with the assumption

that the proble~ of development and underdevelopment are funda~entally

ones of political econooy and a~ such can only be solved through a

simultaneous considerationof economic and political factors Efforts

which foc~s aloost solely on economic factors like those of ma~y

organizations engzed in dipersing foreign aid or efforts which focus

almost exclasively on political factors fail to take account of the

interdependence between these two dimensions of underdevelopment and

lwe have for~ulated this proposal in a canner consistent witr the cu~rent policies ard interests of the Agency We have been guided in our tsk by four Age~cy doc~e~ts Impleo~~tation of New Directions in Developnent Assista~c~~~ ~eport to the COmlittee on International Relations on Ilupleoenshytatiun of Legislative Refo~ in the Foreign Assistance Act of 1973 (July 1975) rItevis~d Projec Developiel Review and Approval Systeo (A I DL Circular A-21 Aril 23 1975) SH Butterfield Draft SUIilZ3ry StateUlent of a Practical Agelcy Approach c aural Devalopilelt (AATA February 28 1975) Cicci A Coce~ual Oie=viamiddot middot Rural Development No1 (lWorilting GOU O~ tha Rural Poor February 1975)

- l -

can meec with only l~ted success

Our concern with the i=pact of local politics on the process of

rural developcent is a result of our interest in the basic question of

how LDC governm~nts and the donor agencies which assist them can

become core effective in raising the standard of living of the rural

poor We seek answers to the following aspects of that basic question

1) What political conditions must exist both within rural communities

and between theo and central gove~ents to raise agricultural production

w~ere small-scale agriculture is the do~nant pattern 2) Vnat are the

political conditions for a core rapid expansion of the informal manufacturing

and service sector cocprised of labor intensive small-scale industries

located in the rural ar s 3) What political structures and activities

are mase crucial for the provision of welfare and econocic supporc services--

such as agricultural exeension mar~eting and transportation--to the rural

areas1 4) ~~at Folitical conditions oust exist to insure that economic

growth in the rural areas is not accowpanied by excessive and intolerable

inequalities between socio-economic classes andor between regions1

Center-Periphery Linkage in LDCs

To deter~ne the political conditions for rural development we have

in previo~s s~udies exacined the institutions and processes through which

rural populaticns are integrated i1to the national politi-cal systetlS of

middot~he countries in which they live A gap exis~s in most less developed

countries bet~een the peasantry residing on the periphery and the c~~tral

political ~stiutions staffe1 by ~~estern-educated bureaucratic elite

We are aware of the other major ~sti~utional discontinuities which comprise

J

4 middot~~1 the basic cleavage between the developed and underdewmiddoteloped sectors of

these dual societies Bridging these gaps is essential if these so~ieties ~ are to develop into viable nation states For until those Q~ the periphery

of the poli~ical syste~ participate in that system and support and comply

with the authority of central political institutions neither economic

development in ~he rural areas nor a stable polity will emerge

Bridging the discontinuities in these new political systems requires

establishing and institutionalizin3middot1inkages or networks for co~unication

and exchange of resources between decision-makers at the center and the

rural public on the periphery Three types of institutional linkages are

most prominent in less developed countries 1) those conSisting of the

state administration composed of the bureaucratice1ite 2) those consisting

of a revolutioncry political party cocposed of the ideological elite

3) and those conSisting of patron-client hierarchies composed of the political

entrepreneurial elite

Of these three linkages consisting of the state administration are

the cst extensive and pervasive in virtua~ly every LOC Such linkages

however exist primarily a~ instruwents of the center to penetrate the

periphery Central government officials are formally charged with bringing

develo~ent to the people This is a ~issi~n which conceives development

as a process ~hrough which a traditional peasantry is transformed and

assimilated iJro the DOdern center which is steadily expanding to embrace

it Agents of the center invariably have more resources to achieve their

objectives than do local political leaders but because they are frequently

strangers~ the communities in which they function they are often unable

- It -

co implement the policies of the center without working through the

local establis~ent

Though somctices significant linkages consist~g of revolutionary

party organizati~ns such as those found in China and Vietnam do not exist -

in most IDCs beca1Se of the special historical and e~omic conditions

required for their development As wi~h the administrative state however

the linkaampe apparatus of such political patties is prUlarily an instrument

of the center whose mission is to penetrate and mobilize those onthe

periphery

In contrast patron-client hierarchies are linkages which represent

the periphery at the center and mediate betwee~ these two disparate

sectors of the political systec Thcugh norcallymiddotovershadowed in scale

by the state administration patron-client hierarchies are found in almost

~very LDC a~d constitute the ~st significant network through which rural i

populations and their leaders influence the decision-~king process at

the center Patron-client hierarchies exist in a wide variety of org~iza-

tional fores ranging from info~ ~ec~~rks of individual olitical leaders

in uno-partyll systelS in S~b-SaharaI4 Africa to extensive political machines

in both one-p~rty (Africa Mexico) and ~u1ti-party systems (Turkey India)

Despite their importance as the pricary means through which peasants in

LDCs particiate in their political systems patron-client hi~rarchies

have only recently become an object of analysis by students of political

developent and do not appear in even the most sophisticated studies of

2 See Jo~ Dunca owell Peasant Socie~y and Clientelist Politics Aerican Politi~ Scielce Revietol 64 (June 1970) pp 411-25 Rene Lemarchand anc_ Keith Legg olitical ClienteliSJ and Ethnicity in Tropical Africa Aierican Political Sc~ecce ReView 66 (Y~rch 1972) pp 68-90 James C Scott PatronshyClient Politics a~d Political Change II 1tlerican Political Science Revie~ 66 (~arch 1972) p 91-113 and Friends Followers and Factiols bull edited by Steffan Sc~~d and James C Scott (Berkeley UniverSity of California Press 1977) bull

- 5 -

3 economic development Ad~niscrators of developmental assistance progracs

have too often regarded patron-clienc hierarchies as ~ped~ents to

develop~ent instead of recognizing cheir potential utility bull

~ Findings on Patron-Client Hierar~hies --

The importance of pat~on-clienc hierarchies for linking the periphery

to the center is one of the major findings ~erging from a study of the

relationships betueen l~gislators an~ their constituents in Kenya Korea

and Turkey ~hich the Cowparative Legislative Research Centpr is nov

comleting uader its 21l(d) grant from AID This study has av~mined the

creation of linkages between the periphery and the center through ~ore

than lO~OOO interviews with members of parl~ent local leaders and

peasants in t~e three countries The findings are being systewatically

set out in a book-length monograph Nearly a dozen research reports have -

uready appeared (see Appendix C) ipropositions about the nature of

political behavior of rural populations an~ the roles of local political

elites de=ived from the research~ can be s~rized as follows

1 Elected representa~ives play a significant role in the creation and mainte~ance of linkages be~een the center and periphery by developing local political achines in which they function as patrons of their constituents In turn thay s~rve as clients of political leaders of national stature who control central government institutions

2 By atte~pting to establish linkages based on patron-client relatio~shi~s elect~d representatives are responding to public expectations chat their prizary duy is to obtain resources from the center to proffiote local develop~ent ~iany elected repLesentatives spend most of their time on self-help co==unity development projects such 3S the building of schools health clinics irrigation works arid roads because such projects provide

3For exa~le ~ a widely respec~ed a~d useful analysis of rural deve16p~ent in Sub-Sahara~ Africa L~ Lele of the World Bank notes the problems of creating an adoini5~raive infrastructure in the rural areas that is sensitive to local socio-oliical conditions She does not however consider how local leaders operating o~tside of adcinistrative structures ~ night contribute to the developne~t 0 the rural areas See ~~ Lele ~ Design ~ Rural Develop~ent Lessons ~ Africa (Balt~re The Johns HopkiD~ Uciversity Press 1975) r) pp 127-61 i ~

- 6 -

their const~tuents with desired se~ices ~~d a= the sa~e time provide the reresentatives with an orgacization Yhicn can be used as a political base

3 l-tore than 90 perCel1t of the rural population is capable of articulating the p~oblems facing their local co~~ity and two-thirds discuss th~e proble~ w~th their fellow citizens on a regular basis

4 Three-q~rters of the residents of the rural areas can identify the public ofpoundici~s who serve thec--both civil servants and elected represcrtatives--by na~e Most are knowledgeable about the activities of these officials Alcost one-fifth coreover have discussed co~~~ity probl~ ~ith these officials particularly those working at the grassshyroots level Residents of rural villages actually have a higher level of political knowledge than their counterparts in the towns

5 Elections in the rural areas evoke a highly rational attern of voti~g despite the effects of ascriptive or traditional co~siderations Inc~ens are pri~rily evaluated in terms of their record in fulfilling the public r S elpectations of what they should do Elections are essentially referenda on inc~entsr perfo~ce especially their perforwance in the area of constituency servi~es such as bringing development projects to the districts bull

6 Local developcent projects have a relatively high s~olic value generating conscitutency support for local leaders and the central government at low cost

7 These projects help huild a local political infra-structure which can also be utilizec by central govern~nt civil servants to implement other policies designed to achieve rural develop~ent bull

The Icpac~ of Local Politics on Rural Projects

Having explored the developtent of linkages through which the periphery

is represented at che ~enter and through which the periphe~ attemp~s to

share in the ceners resources we now propose to build upon our initial

investigations by e~ing in greater detail the impact of local political

conditions on specific problecs of rural develop~ent We propose to

exacine the develop~ental activities of local leaders ~nd the rural public

by eX2~Ding a saple ot fifteen to twenty smalL~scale developwent projects

in each of ~he three countries which constituted the sites for our initial

8ESI AVAILABLE DOCUMENT 1 ~ - of

- 7 -

study of center-perhiphary relations The appropriateaess of this approach

and the ~ethodology through which it will be ip~emented is discussed in

section II Because the ~ethodology of investigation is in large part

the result of our previous research experience we fizst turn to a revieW

of the existinQ __ ~petence of the Comparative Legislative Research Center

in this area

II GRAXTEES EXISTIXG CmET~CE

In 1971 the University of Iowa received a 211(d) grant to develop

its capacity to do research on the role of elected represent~tives in

the process of modernization On the b~sis of this grant the University

established a research center which planned and carried out a research

project on the role of elected reres~~tatives as links between the central

gove~ent and rural populations in K~ya Korea and Turkey The project -i

served to develop t~e University of Iowas research capability in this

field esa~lished ties between the University and scholars in the bost

countries and generated a large and uniqu~ body of relevant data

In that project we fo~ussed our attention on tbe activities of elected

representatives in their constituencies notably in their contacts with

local political leaders voters and civil servants To determine tbe

nature of the linkage function performed by tbe representatives we

designed our research to explore the subject from three perspectives

1) we eXaojned ~~a ~ubject at tbe grass roots by conducting a series of

sample surveys of 200 to 300 adults in each of 12 to 14 parliamentary

constituencies in each cf th~6three countries 2) we examined the subject

at the center by intervie -ing MIls from the constituencies in which we

had conducted S3mple surveys ~nd higher civil servants with whom they

had contact and 3) ~e ex~~ined the subject from an inter-~diate level

by identifying aud ~terviewing local social and political leaders in

the MPs constituencies We used survey research methods because we

were embarking on the study of an entir~ly new subject for which little

relevant docu=e~tary data existed and on which there were few secondary

sources As a result ~e have unparalleled experience with survey

research in the rural areas of less develo~ed countries

The surveys which constituted the cajor part of our field work were

planned in collaboration ~~th scholars from the host countries They were

carried out in each constituency by student interviewers in the appropriate

language ~re than 10000 respo~dents were inteDViewed for the project

Given the visibility and sensitivity of this undertaking approval for

the research was sought and obtained from the host governments prior to -i

the collec~ion of data ~o objections were raised by these governments

at any stage of the research The data obtained have been made available

to scholars i~ the host co~cries and some of the basic findings have

been published in periodicdis in these countries

The Comarative Legislative Research Center ~hich ad~nistered the

project has aisO developed extensive experience in the study of political

leadership in other countries It h3s obta~ed substantial support from

the Fo~d Foundacion and the Rockeeller Foundation has worked in

collaboration ~~h European as ~ell as Asian and African scholars and

is engaged in a ajor study of the role of elected and non-elected leaders

in the oanag~~t o~~ocial conflict Because it has conGucted research

in a variey of setlngs the Center has an ~ceptional capacity to

- 9 -

determine how the relationships be~een political institutions and

economic p=oble75 differ in develoPed and less developed countries

In the course of the major research projects the Center has administered

it has gained highly specializpd ~p-i ce iI identifying 1Olitical leaders

in a great variety of settings conducting systematic interviews with

them collaborating with scholars in the host countries and in coding

and utilizing large files of data to answer specific research questions

The Center has ~lso undertaken to publish the results of its research

in three fores It issues codebooks to the data enabling scholrrs at

other locations to use the data expeditiously i~ publishes research reports - in the form of Occasional Papers and it publishes a scholarly periodical

devoted to the presentation of research findi~gs to an inteIT~tional

audience

The Center utilizes the data ~ysis facilities of the Laboratory

for Political Research of the University of Iowa and drawS on the unusual

n~er of secialists in comparamptive politics and survey research in

~~e Lniversitys Departmen of Political S~ience The Center itself I

has the services of an administrative secretary and a clerk-typist

~intains its~o~cn extensive archives and its o~~ publications program

It is e~uipped to assist scholars and government officials outside the

t~iversity of Io~a The participants in its p~ojects are full-tioe

faculty ~e=bers ~hose undergraduate and graduate teaching is closely

related to their research As part of the teaching program the Center

has attracted students from the countries in which the research projects

have been conducted these students have participated in the projects

bull J

have obtained training in other fields of political science have received

University of Iowa degrees~ and have ret~rned to teach and to do research

in their own countries

III PURPOSE OBJECTIVES AID METHODS

Purpose of Study

The purpose of the proposed grant is to extend the capacity of the

University of Iowa to determine the political conditions in the rural

areas of less developed countries which favor the establis~ent and growth

of small-scale developoent projects ~e objective is to put the University

of Iowa in a position to assist the Agency in designing small-scale rural

developent projects providing guidelines for carrying out social soundness

analyses of such projects and adviSing in the evaluation of projects

We will discuss the utilization of~t~e Universitys capacity in detail in

section IV below

We propose to concentrate our investigations on the political conditions

surrounding s~l-scale ru~al projects Such projects have distinctive

advantages They waximize the political participation of the rural populations

both in det~~-ining the direction ~d implementation of develop~ent efforts

and in defending the interests of periphery vis-~-vis the urban-based

bureaucratic elite S~ll-scale projects stimulate entrereneurial activity

on the part of the rural citizens and growth of the info~l canufacturing

and service sector Tbey require less lead tice and less administrative

c~erhead to ~eco~e operational than large-scale capital-intensive projects

centrally administered Such projects yield rapid and direct benefits to

1

j

the rural

- 11 b - ~~1

populations and are consistentwith their hUIlaD rights--both

political and economic However~ small-s~le projects pose s~ecial probl~s for administratcrs of developceocll assistance progracs because

they require the donor co assess the local olitics particularl the

rural politics of t~e host country

Develop~c adoinistrators pr~rily conc~rned with assisting rural

populations must therefore recognize the range of political variables

affectL~g these projects Small-scale projects offer great opportuoities

for develop~ental assistance progr~ because they can be easily targeted

to help rural populacions require low capital costs and need no be

concentrated in one or two localities Such projects ho~ever~ ~equire

the a~istrator to have ~re political kno~lecge than large-scale

projects Oil which his priJlary tas~ is guiding the work of other experts

Questions for ~Investigation

To detercine the politi~al cc~diicilS ~st conducive to ~he establ~~ent

and gro~h of scalI-scale rural projects ~e propose to address our inquiry

to the following specific questions

1 To what extent and why co local political leaders seek to establish s~~l-scale develop~ent projects within their co~unities

2 To what extent and ~~y do local leaders other than politicians initiate andor provide leadership for s=all-scale developm~t projects

3 Bot do the relations bet~Jeel different types of local leaders (political and non-political) and bet~eeo these leaders and central gove~ent civil servants posted to the rural areas affect the conduct of develop=ent projects

4 How do existing authority ~eLationships between these different leadership grous and the rural pub~ic affect the organization and operation of s~l-scale develop~ent projects

- 12 -

~

5 lhlt is the nature 0 pclgtlic participation in the establishlent and operatio~ of s~l-sclle projects and ~hat are the outcc=es or this participatioe Gucer w~at conditions is such participation ~ost likely to occur

We seek a~swe=s to t~cse questio s L order to determine the effect of

different co~iigurations of local leadership and public participation on the

outcomes or small-scale rural projects te are particular1y concerned with

the ~pact of these configurations on the rate of econocic growth and the

distribution o~ rIGSlth ithin the loal cOlllUlity ~ on the perce~tions of

s~ll-scale proj~cts by central govern~ent per~oncel and the rural public

anmiddot on the organiation or flture projects

To a~swer these que~tions it is oar intention to study the initia~ioD

izJple=enation ald i1lpact of a salple cpound small-scale rural projects in

Kanya Korea and Turley in the sae cOllities in which we carried OU

our initial icvestigations ~ 1973-75 Tne relationships between the -

various conf~gurations of local leadership and public participation and

the three phases of project develop~ant are sho~ in Figure 1 We will

exa=ine projects to pro~ote the adoption of new agricultural techniques

by s~l and moderate landnolders the building of feeder roads irrigation

ditches and other s~ple infrastructure the organization of fa~ers

cooperatives and other local associations concerned with rural development

the establish=ent of rural health clinicS and schools and the setting up

of craft and service industries

Sites for Study

We plan to return to our original set of localities because we possess

a rich body of relevant data on the extent to which linkages exist between

Figure 1

TYPES OF LFLUEXCE OF C2r~ middotGOVER1iEXT OFFCIALS

LoCu LEADERS 0 THE RURAL PUBLI-C OX THRr~

PHASES OF RURAL igtEVELOPHET PROJECTS

r----------~J C~ltral Gover1~nt Official)-N------- - J

r- Local pOlitical leaders

Local non-political leaders

~l 1---- -

ROJECT nITL~TIOS

Influ~ce on selection of projects

InrI ~elce on location of projects

Influence on policy guidelines for proj eCl

Il

I

a

I I

-I PROJECT I~L~~iATIO~ ~ 1

j Project Organizati I Selection of project

leadership

Hobilization of resources

Mobilizatiol of public compliance with project require=elts

Diffusion of project innovation

Rural Public

I

BEST AVAILABLE nOCUMENT

1 ROJECT IMPACT

Organization of ongoi=g project operation

Distribution of project benefits

Evaluation of project

Public attitudes toward project

-middot14 -

these areas and t~c central p~litical institutions of the three co~tries

and on the attit~es of the rural populacioc local leaders and elected

legislators regardi~g their problecs of develop~~c Since such data

is unavailable for alternative locales a return to the areas in which

we have previously done much research ~ables us to build on a uniquely

valuable body of icformation

A return to Kenya Korea and Turkey is also highly desirable from

the standpoint of effective research organization The Comparative

Legislative Research ~enter has developed close collaborative relationships

with several highly competent social scientists in these countries and

with the academic institutions with which these scholars are associated

We have also dev~_oped cooperative relatio~ships wi~ gove~ent officials

in these countries which should facilicate obtaining approval for our

further work

In proposing to doc~ent the origin i~pl~entation and impact of

one to three s~ll-scale develop=ent projects in each of 35 localities

we have two considerations in mind Firstmiddot because our pr~ry goal is

to deter~e the political conditions for rural developm~Lt we wish to

examine develQ~=ent in as many different settings as feasible Only in

this way can we control for so=e of the major socio-cultural variations

that erist along rural populations in less developed coultries These

include the overall level of econo~c development in the co~unity the

nature of t~e ~digenous culture an~ relationships of authority and the

pro~ty of the comounity to major urban areas and centers of central

gove~nt ad=inistration ~ce our original study sites were carefully

BEST AVAILABLE DOCUMENf

- 15 - ~ ~1

selected to represent these variations ye have concluded that these

35 localities woule be ideal sites for the propose~project Second~ in order to dete~~~ the ~pact of local leaders and public

participation o~ ~ural projects we intend to compare projects 1n which

local leaders and ~ecbers of the public have played a major ~ole with

projects in which they have not We also ~l cospare projects initiated

by the central gover~ent with projects Yhich have been locally initiated

These considerations give us a typology for selecting projects as depicted

in Figure 2

Figure 2 ~

FIVE TYPES OF RU~AL PROJCTS ACCORDIXG TO ~FLUEXCE OF CEITiW

GOVE~1E~T LOCAL LEADE~ AD RLRAL POULATIO~

Level of Participation by Rural Population

Locus of Project Initiation ~

Local Co=unity Central Governoent

BIGd

LOt

1 Projects initiated by local leaders and providing for participation of the rural ~opulation

4 Proje~ts Litiated by local leaders bu~ not involving participation of the rural population

2 Projects initiated by the Central Govern~ent and administered i~ cooperation with local leaders a~d the rural population

3 Projects initiated by the Central Govemlent and providing =or the participation of the rural population but by-passing local leaders

5 Projects initiated by the Central Gover~e~t a~d administered in cooeration Yith local leaders but not involvi~g parti~ipation of rural population

- 16 -

We recognize that the socio-cultural setting of rural develoment

projects varies significantly within and across less developed countries bull

By focussing o~ a representative sa=ple of localities ~ Ke~ya~ Korea

and Turkey we can take account of naoy~ though not all of these variations

While some of our substantive findings will not be directly generalizable

beyond the countries in which we propose to conduct our study we expect

that our basic ~ethods and fLdLgs will be applicable to national and

sub-national settings elsewhere in the developing world This is partly

d~e to the fact that the hierarchy of patron-client relations ~hich we

regard as a critical factor in rural develo~~t exists in ~ost Liles

--It is also due to the fact that the methodology for identifying local

bull leadership configurations auG poundor studying local politics which we are

perfe~ting can be used to assess local political co~ditions in a large

variety of countries even when the ~nditions themselves differ significantly

Methods of Investigation

The data needed to assess the iDpact of local leaders and mass

participaticn on rural dev~lop~nt fall into two categories Some a~e

contained among the data gathered for the research project we are currently

completing Others will require additional field research

The following data are already in hand

1 Data on the social landscape of each loc~l co~nity i~cluding aggregate data o~ level of econonic development de~graphic characteristics political pa=ticiation eth~ic loyalities and rates of socio-econocic change dur~g the past decade bull

2 Identity of local leaders including both political and I-on-political leaders and both legislators and other politicians

3 Perceptions of existiag probl~ and their possible solution a~ng

l)tS r AVAilABLE DOCUMENT

- 17 -

general public local leaders and civil serv~nts

4 Level of political kno~ledge among local citizens and local political leacers

5 Political and social values a~ong local ci~izecs and local political leaders

6 E~~ectacions of leadership roles among the local public and elected and non-elected leaders

7 Patterns of co~unication ~ong local leaders and between local leaders and the central gove~e~t

These data ~hich ~e already have in hand can be subjected to analyses

which ~~ll provida the foundation for our further work on rural develop~ent

projects A part of our work therefore will consist of fu~ther analyses

of existing data

New data of the following kinds are also required

1 Doc~entary data on the origin and evolution of particular smallshyscale develop~cnt projects in the rural areas

-2 Data on project costs boih ~itial invest=ent and recurring

operating costs and data on project ou~puts ie pupils in schools Ddles of road coopleted nl~ber of hospital a~ssions production of factory agricultural productivity

3 Data on project organizatio~ n~~r of local inha~itants participating in establis~~ent of projectt nuober of local L~habitants subsequently involved in project

4 Data-on the pe-cetion of projects by local leaders emers of the local public a~d by civil servants data on the perception of how each project ~as initiatec organized who benefitted and what its future implicatio~s are

These types of data will requ~re field work involv~~g both docucentary research

at the relevant ~istries of the central government and in local goverr~nt

authoritieS and inforoal open-ended interviews with local political leaders

elected representatives and other local leaders who~ we had previously ~

interviewed in a s=uctured syste=atic =aoner

BEST AVAILABLE DOCUMENT

- 18 -

Grant Organizatio~ and T~etable

We propose co undertake the research outlLled above beginning in the

fall se=ester 1977 Dur~g that te~ Professors Barkan and Kim as

principal investio~tors for the neo1 proj ect will contact their collaborators

in the host co~~tries They ~~ll also seek the collaboration of an additional

~rican scholar specializing in rural development with the aic of getting

additional advice on sources of data and suitable indicators for the

~easure=~~t of rural develop~ent projects

At the end of the fall seQester Professors Barkan and Kim will make

a trip to their research sites to disc~s details of the research organization

with their collaborators in the host countries and to recruit student

assistants Tney will devote the spring te~ 1978 to further analysis

of a~sting data at the University of Iowa

The gathering of additional dita L~ the field will begin in the s~er

of 1978 Professors Barkan and Kio will direct this work personally We

eAect that its coopletion ~~ll require three to six months This work ~1

involve the evaluation of central and local gove~ent reports on the

projects uncer investigation extensive on-site observations of the projects

and oen-e~ded interviews with the principal participants Our principal

respondents ~i1l be the local leaders and elected representatives we

have previously identified in the localities in which we have worked and

a sacple of active participants in the particular dpvelopment projects

being studied ~~ere necessary and apropriate surveys of the general

public will be uncertaken to assess the inpact of a given project on the

rural por)r We do not however leed 0 conduct systeAlatic sample surveys

BEST AVAILABLE DOCUMENT

- lY -

of the rur~l population as We did in 1974

In the organization of this research project we intend to reconstruct

the rese~rch tea=s ~e e=ployed during 1973-75 We shall again seek the

co11abo=~tion of P~ofessor Sc~~S-7o~g Pai of Seoul National University ~

Professor IIiCr Turan of the University of Istanbul and Professor John J

Ok~u of the U~iversity of ~arto~ S~ilarly w~ contemplate directing

the field research fro~ he same acade~ic research organizations we previously

used Seoul National U~ive~sity th~ ~~iversity of Istanbul and the

Insti~ute for Develop~eut S~udies University of Nairobi As before we

will tra~ students f~oo these institutions to serve as interviewers

The analysis of the open-ended intervie~s and of docUQentatio~ on

I ~ural develop=e~t projects will be a ~ore t~e-co~s~g process than the

analysis of closed intervie~s It will reqrire a high cotnittl~t of time

fron the principal investigators )e e--pec to hold a conference at the i

U~iversi~y of Iowa 3lO1g all the principal )clticipa~ts in the resea~ch

project d~=~g t~e spr~g 1979 to evalua~~ the newly collected data

le e~ pect to be able to vr-ite reports of t~ results during the Sl1~er 1979

(see Figre 3)

IV LlX-GS ~1) U~ILIZATIO~

At the e~d of the grant period the Uti ersity of Iowa will be able to

1) advise the Agalcy 01 the design of s~l-scale rural projects to assist

the rural poor 2) provide guidelines for social soundness analysiS of

small-scale projects for the rural areas of U)Cs 3) consult w~th the

Ag~tcy 01 the evaluatiol of rural projects ~d 4) provide LDe governments

BEST AVAILABLE DOCUMENT

)ATES

~lll

1977

~inter 1977

iprilg 1978

il mer 1978

~all

1978

ipr~ng

1979

Imiddoter 1979

University vf Iowa

Plutlning of rural develo~rent project

Barkan Kil

Alalysis of existing data

Barkan Kia

Data processing

3arkan Kin

1

I

- 4 -

Figura 3

GRAT TLfETABLE

SIT E S

Kenya Korea Turkey

Preparation of field research ural developH~lt project cOlisulta~io~ a research sites

BarkanOku=u Ki~Pai Tura~rkanKi~

Preparation of field resea-ch

Tural

Field research on rural cevelop~~t projects Bar~lOk~u Ki=Pai Turan

Co=pletion of Co=pletion of field resear~~I~ fiald researcr

Ok~u i Pai bull

f Coopletion of field research

Turan

Data analysis conference a~ong all princial i~vestigators at Un~versity of Iowa Barkan Kil Oku=u Pai Turan

Co=letiol of r~ral develop~ent

project

3arkan Kiz

BEST AVAILABLE DOCUMENT

I

- LL -

~ith speciali~cs o~ ru~al developcect ~mong their own citizens ~ho ha_

partcipatcd ~s collaborators in the Iowa projects

In the proposed project we Will test a series of hypotheses cOlcerning

the political cOllditions of rural develo=ent which run counter to CODOn

assuoptions conccrnir3 t~~ influence of rural politics on project effectiveness

As a result ~e ~dll be able to assist the Agency in designing and evaluating

such projects froe the point of V~~W 0 their political viability The

hypotheses We will test sugges~ t~at the patron-clie~t relations existing

in the local politics of zost LDCs are not necessarily i~pedients to rural

develop~ent but are aspects or the political structure which cal be used to

facilitate s~ll-scale ru=~ projects which will raise the standards of

living of _ ~ rral pomlation - As ~ result or our stuey we expect to be

able to P~-O~t the local leadership confi5~rations ~4d the relationships

between local leaders ald rural poclations ~nich are oost conducive to I

successful develcp=en efforts We believe that we will be agtle to perfect

a cat~odology for identifying the political conditions for rural develop~ent

one ~hich is transferable pound~oo the countries we have specialized in to

other LDCs

We proo~ to develop specific guidelines to assist administrators

charged with selecting evaluating and =onito~ing rural develop~ent

projects to ~szess t~esc rojects in tares of their-social and political

viability he outco~e of such projects is dete~ned not only by the

efrectiv~nass ~~=h ~hich they use scarce econo~c resources but by the

~~er L~ w=ich they e~gage the suppprt of local leaders and rural

po~ulatiocs~ by thei= effect ou social a~d econo~c equality ~d by

D[~T AvAlLA8LE DOCUMENT

- 22 -

their consequences for hwan rights ~Je plan to establish criteria by

middot~hic~ the probable outco~es of projects in these social terms can be

anticipatec

The study ~e propo e will be undertltlken by faculty at the Cniversicy

of lowe in collaboration with faculty a other ~rican institutions and

institutions in the host countries We will build on the extensive contacts

between the Co~perative Legislative Research Center of the ~niversity of

Iowa end other instituions with ~aich ~e have worked One =ajor result

of our collaborative study will be the existence of a net~ork of compe~ent

scholars both in this country and overseas experi~lced in ~orking together~

shar~g a co~on teaching and training experience i~ close contact throu~~ the

effective publications progr~ developed by the Co~parative Legislative Research

Center T~e e~~ertise of this group of individuals will be ava~lable to

oteer scholars to the Agency and ~o L~C governments for specific policy

advice The eXertise developed as a consequence of this project will

extend beyond the ~tionals of the countries ~volved since the univ~sities

engaged in ~e project attrtct stude~ts fro outside heir own countries

For ey~=ple the teaching ~d research progra in the Depar~ent of Political

Science 0 theUniversity of Istanbul heavily affected by the participation

of its facul~y ~e=bers and graduate students in our projects attracts students

throughout the ~middot1iddle East for Whom the University of Istanbul is the iajor

institution ~pound ~igher education in the region rne Institute for Developmen~

Studies is si=ilarly a focal point for students and faculty in East and

Central Africa Seoul ~atiocal Unive=sity attracts students froo other

Asia~ co~tries~ In this way the capability developed among the participant$

BEST AVAIL~BLE DOrUMENT

- ) -

in our work is diffused widely To the exte~ that the abili~y to assess

rural develop~ent p~ojects in teres of their social soundness is increased

both in the United States and in ~o~~tries r~ceiving develop=en~ assistance

the cap3~ity of racipien~ countr~es to absorb aid is ~creased

We propose to draw up an inventory of personnel available in ~~e

Cnited States and in other co~~tries who are able to consult with developen~

a~nistrators on the design of rural development projects and on their

evaluation We ~~ll draw first of ai~ on individuals w~o have been

directly associated with our ~ork in the past or on ~he proposed project

and ex~~~d the list to include graduate students and gove~ent officials

with who~ these individuals have wor~d

tole Yill utilize tha existing publication program of the Center

dercribed above to disse~inate our findings The Center has specialized

oailing lists of interested individuals and institutions in all parts of -i

the world and its reports can trerefore reach the ~st relevant audience

jirec~ly ~d re~~arly

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CONTRACfjGRANTCOOPERATIVE AGREEMENT DATA SHEET

INSTRUCTIONS fjDW Complete 4 copies of the form Original SERCMSDSUP Statistical Section Copy Copy 2 SERCMSIiUP dministrative Copy opr 1 Contracting Officers COy COP) 4 SERCMSDSUP IUmin (Suspense) Copy

Missions Complde 2 copies oi the form Origin31 SERCMSDjSUF- Statistic31 Section Copy 3n~ Copy 2 Nill be ret31ned in the Missions

PART fA

ConU3lttorGranrce Name

University p~f~I~o~wa~ __ -r~ ____ ~~~~ __________ -~~ __ ~~~ ______________ ~~~~ Plorr Numt-er ApptopriJtion Number Allotment Number Project Number

930-0090-3Q13411 A5 72-111l0216 146-30-099-00-20-11 930-0090 Project Title

So~ia1 and Potitica1 Aspects of Development - Conference to Report Research Findings Amount of this Plorr I Projecl M3nagers Name and Offire Sytlbol

$10397 (increase) PDPRCP Jonatlan Silverstone Contr3ctors D-U-N-S Number

Ncgwatocs TYJlCd~3meJ j) Signature I l ~ jIf- bull G HtJ--ft u l IVmiddot

D~e

L - f - J ContractGrant Officqs typed Nailllt Signalure LJ d I -r-

plusmn t 3i-alflpta (( BLvle~ 1 I~ PARTm

ContractGranl Number

AID CSD-3294

Effeclive Date of Docum~nl Signalltre D3t~ of Documenl

Lf---C yen-~-gl tIost Courtry Institution (U iwrsity contract ONL Y)

Campus Coordinator (Uniwr ty i contract OiiL YJ

PART UL Descriplion of Cor-tractGrant P1use X ONL Y ONE item under each headiZg IF THEltrease CifYmC~e bolh ges I 30~~ O~ Nol to be completed for Amendmenl or Modlfic3lion AJigtns I III

J 710gt I I V ~ I

MOl - TYPE ACT A~ 0 G unsolicited Propsll (AIDIR 0 C Individual (Non-pe~nal senice)

~ O Cortra lGrantl ooperative Agreemenl 73101-SO(b)(6raquo 0 D Individual (ftrsonal Service)

tJl T3sk Order ( A)middot 0 H Procurement 10 be Perfocm~d by the Conmiddot 0 E UniversilyOther FAuC3lionailnSlitulions

D 2 Work Order (IQC) Ira~lor in Person (AIDPR 0 F Non-Profil Organizationlnslitutions (other

D 3 Delivety Order (Requirements) 73101middotSO(b)( Iraquo than Ed or PVO)

[j 4 Purchase Ordcr [J I Sole Source (AIOPR 7-3101-SO(b)(4)) 0 G Private Volunury Organization (PVO)

If I 2 or 3 1Lle an ~ compllle M 12 ON Y D J Imp3irmenl of Foreign Policy Objectiws 0 H International Agricultural Research Organj-

M04 - CONTRACTGRANT TYPE

o O MOA (BOA BMA etc)

o I Fixed Price (Specify fFP FPRD FPEPA FPI) _____ _

(gtIDPR 7-31 OJ SO(b)(7raquo

OK B(a)5eJection (FPR 1middot1713-1)

o L Grant iH1ndlOok 13)

o M Do Nol Ue

D 2 Cosl Reimburemenl (S~cil) CR CPFF 0 N Cooperative t~reement (Handbook 13)

CS CPAF CPIF) ~ 0 O Small Business SeImiddotAside (FPR 1middot1706-8)

o l Cooperative Agreemenl ~ 0 1 Overseas Procuring AClivilies (AIDPR

04 Grant Gener31 Supportmiddot 0U ~ 7lIOI-SC(b)(2))

o S Granl - Specific Support ~ ~06 E SER VICE

g ~ ~~t ~~(d) ~~ ~~ ~ eci~a~~~~~ogram Projeci

o amp IQCs ~ ~ relampted excepi A amp E Services)

o 9 Host Counlry ContraclGrnnt 5lJ C amp E Services

middotComplele ONLY through ~Sl ~~ 0 D Construction

M05 SELECTION PROCEDURES 0 E- Reseuch

o A Formally 3dverliscd (IFB) (A1DPR 7middot24 amp

FPR 1middot24) ~ o B Negoli3ted Price Compelilicn Gencr31

Procedure (RFP) (-JDPR 7456)

Dc A amp E (AIDPR 7410)

0 D Ed Inst andor Inl1 R~arch (-JDPR

74 5)

o E Collaboratoe Assisunce (IDPR 7458)

C F Predominant Capability (IOPR

73IOI-50(b)(l)

AID 1420-49 (179) - Page I

D F Technical Services to AID (other than trainmiddot

ing usually o~ating expense)

D G jraining SetVice for AID

o H Equipment Materi3J~ Supplies Commodities

D I Translation Service

~07middot TYPE CONTRACTORGRA-nEE

o A Firmmiddot AU profil-rn3king fUms (other than

Aamp E)

J e A amp E 8r~

zalion

o Public Inlmlational Organizations (UN

Agencies ICRC Wocld Bank elc)

(H8 J 3 Chapt~ S)

M08- TYPE AW~RD

o A S8 Sel-Aside - Awarded to Non-Minority

o B S8 Set-Asidemiddot Awarded to MinXity

o C_ S8 NOI Set-Aside - Awarded to Non-Minority

o D S8 NOI SeImiddotAsidemiddot Awarded 10 Minority

o Eo amp(a) S8A Awarded to Non-Minority (Womerl-

Owned Veterans etc)

o F 8(a) S8A Awarded 10 MinorilY

o G Personal Sen-ice ConlrdCt bull Non-Minority

o H IeJSDnal Service Conlract - MinorIty

o I Individual NonmiddotPersonal Service Contraci -

NonmiddotMinority

o J 100Jigtiduai NonmiddotPersonal Service Contracl -

Minorily

o K NOI Small Business (Univ NonmiddotProfit Large

Firms) Non-Minorily

o L- NOI Small 8usineSl (Univ Non-Profit Large

Firms) Minorily

o M US Govcrnmlnt

(Connnued on Page 2)

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--

ua ) R I GI NAL 9 bull

MODIFICATION or GRANT PAGE 1 of 2

AH 1 2 Effective Date 3 Grant No 4 Effective Date

Amend_at Ro 5 April 15 1981 AIDCSD- 3294 8-11-71

-s CRANTEE (Name and Addrea) 6 Administered by -Professor Gerhard Loewenberg -Office of Contract Management Cbrnparative Legislative Research Gente Central Operations Division Dept of Political Science am Branch University of Iowa Agency for International Developn~nt Iowa City Iowa 52240 Washington D C 20523

7 PIO No 930-0090- 3013411 A5 8 Previous PlOTa -

Appropriation No 72-11110216 93i-1l-995-l36 930-11-995-136-73-3078103

Allotment Symbol - 146-30-099-00-20-11 wunt Obliga ted by this ~ndrnent - $10397

The above numbered Grant is hereby modified as follows

1 Anotmt obligated prior to this rurendment 2 Amount obligated by this amendment 3 Total obligated anount (1 amp 2)

Delete the amJmt $465000 and substitute in lieu thereof the ammnt I$47S 39-7 ~

FUNDS AVAIrABm

~~ - APR 13 1981

PrO~A~~5iors

$465000 $ 10397 $475397

OffiCE Of fIN~(1 ~~rE~E~T __ _ 10 This amendment 11 entered into puruant to the authority of the Forelgn

Assistance Act of lS~l as amended Except aft hereln provided all terms and ~~ndi~ons nf the grant rcferpnccd in Block 13 remain unchsnged and in full force and ~ffcct

11 original and six Crantee 18 requlred to aign thh document aad return 1- eopics to issuing

ffiee

~~~ or printed) BUSINESS MAHAGR amp bull

Tille TREASURER

UNITpound) STATES OF AHERICA AGENCY FOR INTERNATIONAL DEVELO~NT

BY_-1(1o-_1lt--= 13middot~_1_~ __ K R B1uteau

(Name typed or printed)

Tltle~ ____ G_r_a_n_t __ O_f_f1_c_e_r ____________ __

D3tC APR 2 J 7997 Dolt 9 APq 1981

BEST AVAILABLE DOCUM NT ___ 0 HLGlNAL - I 1 J 1 ~ )

- 2 -

AID ftmds in the am)tmt of $10397 are hereby provided for the activities lmich are described in your proposal (including Budget Stnmnary) entitled CDnference to Report Research Findings on the Study of Political CDnditions for Effective Small-Scale Rural Assistance Projects in Kenya Korea and Turkey dated February 17 1981 and made a part of the Grant b reference

BtTDGET StMMARY

Line Item

Travel

Per Diem

Other Direct Costs

Less existing 211 (d) grant funds

Total Amount Obligated by this Amendment

Estimated Costs

$ 5888

5100

_ 2500 $13488

_ 3091

$lO39

Note Indirect costs or $395086 associated with these activities will be contributed by the University of Iowa

BEST AVAILABLE DOCUMENT

~RIGINAL

- CONTRACT IGRANTCOOPERA rIVE AGRElEMI~ SERC~SDSlP Actio) Monitor

SERCMSDSUP Action Office

I

INSTRUCTIONS AJDW - Complete 4 copit of tlh fonnmiddot Orisina iCMSDfSUP Sutistical Section COP)middot Copy 2 SERCMSDjSVP Administrative CoP Copy 3 Cont-acting Officers COP) Copy 4middot SOSUP Admin (Susptnse) Copy Missionsmiddot Complete 2 copies of the form or~aI SERCtSDSUP Statistical Section Copy and Copy = wiU~ retained in the Missions

0 PART IA

Effective Date of Document tJ

Delivery Order (Requirements)middot

o 4 Purcluse Order

bull If I 2 or 3 have an bull X compl~te M I 2 ON L Y

M04 - CONTRACTGRANT TYPE

o O MOA (BOA BMA etc)

o 1 Fixed Price (Specify FFP FPRD FPEP FPI) ___ _

o 2 COli Reimbursement (S~cifY CR CPFF CS CPAF CPIF) ______ _

o 3 Cooperative Agreement

o 4 Grantmiddot General Support

o S Grantmiddot Specifi Support

o 6 GraDt 21 led)middot

o 7 Do Not Use

o amp IQCs

o 9 Host Country ContractGrant

middotComplete ONLY through M 5 1

MOS SELECTION PROCEDURES

o A Formally advertised (IFB)(AJDPR 7middot24 amp

FPR 124)

o B Negotiated Prire Competition General

Procedure (RFP) (AIDPR 7456)

o Co A amp E (AlDPR 4 I 0)

o D Ed Ins andor Intl ReStalch (UDPR

7457)

o E Collaborative ASSistance (AIDPR 7458)

o F Predominant Capability (AIDPR

7-310l-50o)(3)

AID 142049 (1-79)middot Page J

o H Procurement Co be Performed b~ the Conshy

tra~tor in Person (AlDPR

7middot3t OI-SO(b)(Iraquo

o I Sole 5gturce (AIDPR 7middot3101middotSO(b)(4raquo

o J Impairment of Foreign Policy Objecdv~

(AIDPR 7middot310 ImiddotSO(b)(7raquo

o K 8(a) Selection (FPR 1middot1713-t)

o L Grant (Handbook J 3)

o M Do Not Vse

o N Cooperative Agreement (Handbook 13)

o O Small Business SetmiddotAside (FPR 11706-8)

o P Overseas Procuring Activities (AIDPR

7middot3101middotSO(b)(2raquo

M06middot TYPE SER VICE

o A TtJining of Participants

o B Technical Assistmce (Program Project

related exc~pt A amp E Services)

J C A amp E Services

0 D COltl~ruction

0 E Research

0 F Technical Services to AID (other than trainmiddot

ing usuaU Y operating ex pense)

0 G Training Service few AID

0 H Equipment Mat~rials Supplie~ Commodities

0 I Translation Service

07middot TYPE CONTRACTORGR TEE

Firmmiddot All profitmiddotmaking fu-r1s (other than

AampE)

o 9 amp E Firms

I Prcct NumbcT

I

Contactors D-U-N-S Numbcr

I) -S--f(j

o C Individual 0-lon-~rsora1 service)

o D Individual (Pet-sonal Service)

o E University lOt her EduCltionaJ Institutions

o F Non-Profit Organization Institutions (other

than Ed or PVO)

o G Private Voiuntary Organization (PVO)

o H International AgricultwaJ Research Organmiddot zation

o I Public International Organizadon~ (UN

Agencies ICRC ewld B3J1k etc)

(HB J 3 Chapter 5)

M08middot TYPE AWARD

o A SB SeImiddotAsidemiddot Awarded to Non-Minority

o B SB SetmiddotAside bull Awarded to Minority

o C SB Not SetmiddotAside - Awarded to Non-Minoril)i

o D SB Not SetmiddotAside - Awarded to Minority

o E ~a) SBA Awarded to Non-Minewity (Womeli

Owned Veterans etc)

o F 8(a) SBA w-rded 1o Minority

o G Personal Service Contractmiddot Non-Minority

o ~ Personal Service Contnct - Minority

o I Individual Non-Personal Sence Contractmiddot

NonmiddotMinority

o J Individual Non-Personal Service Contractmiddot

Minority

o K Not Small Business (Univ Non-Profit L1lge

Firms) --vn-Minority

o L Not Small BUSiness (Univ NonmiddotProfit Large

Firms) ~inoriy

o M VS Government

(Continued on Pcge 2i

t bull - t ~ J f q

ORIGINAL bull MODIFICATION OF GRANT

1 2 Effective Date

Araendllent Ro 4 12-2-80

s CRANTEE CHace and Addrels) Professor Ger1ard Lo~middot enbelg Comparative Legislative Research Deartment of Political Science The Lnivp-rsity of Iowa Iowa City Io~a 52240

7 PIO No NI A

Appropriation No 72-11XHl26

Center

Allotment Symbol -426-30-099-00-3~-71 Amount obligated by this urendment-O- I

3 Gnnt No

AIDcsd-3294

PAGE _____ 1 _of-L

AlI 4 Effective Date

8-11-71

~ Admlnlltered by -Office of Contract Management Central Operations Division OTR Branch Agency for International Development Washington DC 20523

8 Previous PIOITs -

931-11-995-136 930-11-995-136-73-3078103

9 The above numbered Grant is hereby modified as follows

Supplement to Grant

Change the duration period sentence to read

The Duration Period for this Grant shall be August 11 1971 through December 31 198]

1 Amount obligated prior to this amendment $465000 2 A~unt obligated by this amendment -0-3 Total obligated amount (1amp2) $465000

----------------_- - ------- ----_- ------ 10 Thh lImcndmcnt is entered inlo punuant to the authority of the Foreign

~ Assistance Act of 1961 86 amended Except a~ h~reln Z II provided all terms and condi tions nf the grant referenced in Block 3 remain ~~aunchlinged and In fu1l force and effNt cnltUI cJ)za 11 o 4 J bull

Et~ ai~a gtUoItshyc Z P=u

original and six Grantee t requi red to sign this document and return 1- eopies to 1Bufng

office

~ 12 GRANTEE TES OF AMERI CA

(Name typed or printed) bull

TJlle Director Comparative Legislative liecearell CeQtoQl

Date 12880

------------------------------------

ONAL DEVELOPMENT

By ----~--~~~~---------------------

prinled)

Grant Officer Title --------------------------------

J)oll( 12-2-80 -----------------------------

BEST AVAILBLE DOCUMENT i je

Page 3: PD-Ar3T Cr(~

ASSURANCE OF CCMPLIANCE WITH TEE AGENCY FOR INIEO-mATIONAL DEVEIOPfElT REGUIATION UNDER TrlIE VI

OF THE CIVIL RIGIDS ArJr OF 1964

TIm UNIVERSITY OF IOWA (hereinafter called the Grantee) (Name or Grantee)

~y AGREES THAT it rlll comply with title VI of the Civil Rights Act of 1964 (P L 88-352) and all requirements imposed by or pursuant to the Regushylation of the Agency ror International Developnent (22 CFR Part 209 30 FR 317) issued pursuant to tmt title to the end that in 8ccordallle vith title VI of tmt Act and the Regulation no person in the United S~tes shall on the ground of rece color religion sex or national origin be excluded from participation in be denied the benefits of or be otherwise subjected to discrimination under and program or 8tivity for which the Grantee receives Federal financial assistance from the Agency and EEREBY GIVES ASSURNCE HAT it will immediately take any measures neeessary to effectuate this agreement

If any real property or structure trereon is provided or improved with the aid of Federal filencial assis+ance extended +-0 the Grantee by the Agency this assurance shall obl~te the Grantee or in the case or any transfer of such property sny transferee for Ue period during Which the rea property or structure is used for a purpgtse for which the Federal finJmcial assistance is extended or for another purpgtse involvilg the provision of similar services or benefits If any personal property is so provided this assurance sball obligate the Grantee fer the period during Which it retains Ol nership or possession of the property In all other cases ~ this assumnce sball obligate the Grantee for the period during which the Federal financial assistance is extended to it by the Agency

IHIS ASSURANCE is given in conside-ation of and for the pu-pose of obtaining any and all Federal grants loans contracts property d1scounts or other edeml financial assistance extended after the date hereof to the Grantee by the Agency including installment payments after such date on account of applications for Federal ~inanc~l assis~~e which were approved before such date The Grantee recognizes and agrees that such Federal financial assistshyaI1ce vill be extended in reliance on the representations and agreements made in tris assurance and that the United States shall lmve the right to seek judicia enforcement of this assurance This assurance is binding on the Grantee its successors transferees and assignees and the person or persons whose signatures appear below are autmrtzed to sign this assurance on behalf of the Grantee

TIm UNIVERSITY OF IOWA

BYSignature)_~~~~~~-__

TYPED NA1E ------~~~~~~---------

DATE

TIT IE

-2 I1--ltaL--i-~-I-l 7

BEST AVAILABLE DOCUMENT

FROPO~AL FeR SUIORT IiiliZR TI~

INSTITlJTIOXAIJ C1PlfTS POGRAlmiddotl

Neue of Applica1t state University of Iowa

Date of Application 1ay 25 1971

~itle Comparativ~ Legislative Studies

D~ration 5 years from date or grrurt

futlOtllt of the Grant $2t5COO

SUJ1VARY

The UriversHy cf ICmiddotia propcses middotlit~ stpport f~om the Agency for Inten2aticlal Dcmiddot-eloprent -io enlw_nce its ccpacity in t1C field of COlpCilative lieislative studies lIith ia area emphasis on Africa a1Co Aja Tb~ Ulversity of IC1-a ltiill lse gr~nt fu1ds to carry out s tu-iies of l-gslatures in celatim to political ei sccial developrrr2t develop 91 archive of data on legislative liEtedals exp_1d a1d iiprcve cu-ricula in this field of study and ting tmiddot) tne Uni-ersity guest professo-s uld scholals frol LDCs ~lti ot18r US intituticns to enlch the prcgral at IOwa Tbe University of IOia has sprcial cCtetence in social science res~arch met~odologr cOipaatiye stui~1 of legislative behavior and tee dev~lop~ent of ~ultifactored data sets Building u~cn this ccmpetence the Unverity of ICa will use gr2Ilt funds to develop comparable neas~res of cross-countr3 ~~d historical data on legislative develo~~ent initiat~ stUdies of traditional factors a~d salience o~ legislative instituticns and expand and i~ro~e upon naterial for teaching at IOia through estab1isling collaborative research arrangements with relevant scholars in the US and overseas

_lis propoal is one of three closely coordinated gra1lt proposals frcm the University of Icmiddot3 Duke Uniie-sity and the UniYcrsity of Ha~ii The University of Iowa iill participate as a member of an Inter-Universitf Advisor Co45rittee which -Till plan s~~osia pro~ote publicatic~ of resea~ch results avoid duplication of effort arronz the three gr~~t~e instit~tions and facilitate exchang~ o~ students and faculty Tit) fo-eign msti tution hen desirable

BEST AVAlLAB~E DOCUMENT

~9

-

II

of a special cot~~e il -~Ze subdiscilin~ of ccparative legislative

stl~esOlcig 1- 2s emiddottensiVe Cc~a arhives These stucies hill

lock a ~te crei-re 3G~i~1 ad eccror5c bac~6rt)Q1d cf legislators

perrcrra1ce 1 this -gac f1Q their clltthr~ place middot ithin the goverl-

Itental ltL~middotmiddot~)O v_LA __ alli Africa ~middotot~ld ce the nioerJ geogilpbic areas

of fcc2s ~~lt -C~ ellsi-ely Disciplinary phass middot-iould bmiddot in

ftlnction

rC-e ri~~sit dill ccrcertrate cn legislative influence 1 relation

to s~ecific c~-middotc lc=s~ ~ ~ ~oclens as Eel elt2ple umiddotC 9L1izltion population

Its geographic focus

plic~i s~ciolog Ct~olics

BEST AVAILABLE DOCUMENT

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Te iiersity of aiiaii xill build upon its edsting geoganic

focus on Asia and integate a progra of legislative studies middotdthb its

cc~~t~J ard area s~eci~lizaticn prcgra~s Korea Indonesia ~d Thail~~d

are prcnir~ent aleas in Ea- -aii r S gtrcgt1 alcng ~ith cc-palative ~ ork i~

the Pacific Islads Studi-=s by Halaii ~-ill for exaple compare the

legislative roles in econosicelly slcce~sful cO-L1tries iiitb thei roles

in countries ilitb lesser econcmic gro~-rth It ~middotrill conversely compare

economic i~~ications of cotntdes cr elatively strog wit those of

celatiyely veak legislative systems Emaiis approach would be

intercisciplinary to includ~ political science and bistory plus a streng

III middotnior ~noes ale Activities

1is ga1t is to aCieve t~o pucpcses 1) the en11aLcenert at the

Univesity of Io- middota cf institu~ional capacities for ~~i1ls releya~t to

t~e couparaiive study of legislative orga1izaticn ftnction ald

de~ent as these relate to tle process of ~ocietel moden7ationshy

ceyelop-e~ ad 2) the gele~ation and collation of a bcdy of priJciples

that ca be utilized cy AIu in poliCJ decisions that relate to

re~uests for tec~middotal SlppOt of letislstive institutions in fadlitating

developler~t These biO puposes ca] be s8z-ved ily pursuing the fclloflirg

specific activities

l Training d0mestic 8ld for-eign students in the design and

eXecuticn ot syztcr3tic re6=ar(O en ~he v8--ying Tole that legislatures

pJa~r in the roc~ss of ~detuiaticn-ieve] 0plcn The results cf their

021

BEST AVAJLABLE DOCUMENT 1 lr

- 4 -

2 Incr~asilg the e-istirg skills e1d redirecting the interests

of dc~estic ~i foreign sc~olars to the comparative leg~slative field

rne Univer3i ty 0 I01[ generally ~rill be erric~ed by t1e presel1ce of

these scholars a1d its ccr~arative leBislative prcgraIl in particular

~middotTill be ennalced by the nemiddott kl1o~ledge that is generated

3 Cooperating id th a11Q other-ilisc facili teting the ork of scbolars

of less developed cOll1tries in rultidisciplinary ark at the Univeisit~r

of Imla en the rcle 0 legislatures in the charlcter of regire legitimacy

as -ell as on re developCent cf a cetralized data bmli at Io a asse~blilg

raterials on legislatures a1d develoent tre logic behind the bank

a1d tile techniques related to its use

4 Diffu~ing relevant ~et~odological ~1d ccrc~ptual teals in less

deelo~ed cOlUltries through the loove enrichent and redirection of

indiviQual~ and t~e ~evelcp~ent of the data b~k) thereby =ultiplying

bott ihe qumity cud quali-vY of the researcl~ frcm which existing

curricula at Io~middotw can be expanded and re curricJla dtveloped

5 Increasing the size of tJe imrld~ide pool of professional ad

expert consujtants ~lalable r-ot only to IO~il Du-e 81Q Hawaii to dra-t

en but also to AID in the pursuit of sev~ral aspects of its

6 Creating nullgli th~ p~ogral at the Univers~ty of IOa the

substance of a stbJisciplire and in cooperation odth similar prograos

at other ~imiddotelsities 811 organizatic1al Gtlucttltre ~nt ca ~vbilize

continuine i1t~-rtiorr1 intrest i1 a11d sapmt fron orgaiations

interested il deveJopr-ent

BEST AVAILABLE DOCUMENT

1(1 1

- 5 -

itl Suppor- f~ctl this Grat tre University of lei-Ilt ~dll cO1centrate

e1 fclts in this prcge~ en legislative behavier variables tat telp

e91aL ~hee specific 3sten cha~a~teristics 1) the scpe of olitics

2) e style IJf goverQent ~tnd 3) the legitirlacy of the regine For

tis l)1lpcse te gtrcglam -rill ex~e releva1t coparative factors il

a lage nlt=~er O~~ African and Asian legislative institttions The

Univcsity of lO~middotIa ~lill also uldertslte the study of these legislatures

at -a~iClS cLts in tire This ~lould gtequie the use of time series

cat t1G historical SClrces not cctl9arable to contempOral7f sou=-ces of

Fe each of te legislatures included for study Ima -iill seek to

a1al~ze suc] cbractelistics of t~e legislative systen as 1) the

atricutes cf ecers--te process of their recruitment their so~inl

~c cccupalonal backgro-lI1ds their politically relevant srills their

role c~ie1lttio1s inclcirg ht~ir concept of represeILtation and the

pe~pound~ge 1~r5th 0- tente in tbe Ipgislat~re 2) t~1e distribution of

the f0~al 211 inforl rales of 2ocedure the leadersnip groups the

cr-osi tio1 and role 01 legisl3tire staffs a1d the kinds and freqlelClJ

of legisative sessic~s 3) the ~utputs of the instituticn--the agenda

of issues tre modes c- cotenticn el1d the qU11titr and kinds Jf

decisions

)middotemiddoter llllike studies of ~hese fctors in the past Imla is

BEST AVAILfBLE DOCUMENT

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The for~Ietic1 0 tneol-y lO this coarative 8seerch of

Tiiill ~erdt equivalent cmiddotoss-sy-ste~ ~easuelents are 8O1g te r6st

irpctant aSgects of tle prcject It r2y be one of the ~c-st valuable

esllts of Io~a I s efforts ad ~dil reCuire close collGbor-tion arong

t~e pa~ticipents bull

p_ Cc=-arative Legislative Research Archive

lltOle a subsb Tltial aolIlt of legislatie data has been collected

in a1j- different cOL1tri8s very little of this iateriul is cOJarativE

1middot-s of it has teen collected by individual reseachers on e single

CQl~ty Cc~adson in legislative research is thus difficult because

=2 01 r3j cClalties are ot available at a sirgle location in s sLgle

is a clear ~eed for the ce~t~alizGd acq~sition ~ or ~ne

available data to per t the forulaticn and compGrative testlg of

~eorics aoc~t le8islativ~ behavior As a major part of this program

te Uive3ity of 1mmiddote 9poundlS to establish a data arch-e to begir to

big te existing legislative sttiies tcgetber at a sirgle location end

to ~-ke ~i~er ~ccessible +0 the grm-ing 1unoer of irterested scbolals in

Once J~1ese data have O~en brOght tcgether tney will contribute to

-~ pogram t IO~middotia in -I~middotiO -poimiddottant ~middoteys First the dats -Till be

utEized in traLig graduate stud2nts T1e rea13lysis of d~ta to test

BEST AVAIL~BLE DOCUMENT ( 1 t

- 7 -

faculty at the University of Imllt1 and from omiddotrerseJs tlitbout slch an

acbival base those dtdies Ylould be ver lil1ited in the hypotheses

ter could test The quali ty of this re search eqerience fill be

(o1siderably enha1ced by the aVJilability or data for co~arison dth

t~e data generated thlcugh the ccllaGorative research sponsored by the

traini~g progca~

Once gathered a~d refo~tted the data ~~ll be ~ade available to

sc~olars students al1d other interested persons outside of tre University

of Io ra P(r exa-nple appropriate data sets would be available to other

llsti utions tat pre ccoperating in t~is program ie Ha-waii Clla De

~ese could tten be used in curriculul developent at tbose schools as

middotell as Ll the pre-grar at the UJiversity of Imre Finally data could be

aie available to i1di-idlal sc~olars and institutions overseas for use

1 teir research a~d trailing progrems The cUIlulatiie effect of this

disse~lilation and staring of data ~i11 be an enrichme~t of research an

Llcreased flO-I of ne data to the Uriversity of Iewa I3Jld a greatly

ena1ced ability at Iowa to aalyze legislative behavior a--d defelopnent

f 1ssociates

The University of Iowa d31 involve as Associates individual US

arc ~ereign Rcolars fro~l other instibticns in some instances fOl

cc-ivities at Iovll in others as recipents of support Oi research and

oter aciivities middothich coqlement cnd emic1 the program at o a These

Associa-es rill be involved in such activities as ser-lfing es University

of IOim g-uest professors 5~St lecturers 1d visiting faculty

lticipel1~s L ccnfiences and s~riosia and as collatJoratiEg 2search

BEST AVAILABLE DOCUMENT

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cevelcged c~lt-ies Smiddot~yemiddotl such projects core already uoer ~middotay

and 3y potetial ss~cetes ~ave been identified and thei ilterest~

211 gtarticipeting i1 t~e ~Cglar1 ascertained

He -resc1t ge~sc-~el a1d acilities of the University of Iomiddotro

plcvice a very st-cre basis for the research atJd training programs

~rnich ~middote a~ ~rc9~3L1g -fmever the further development cf legislative

suCie3 ali a pec~ent streugthenLlg of ~he progrun of Iomiddot ~ is a major

a oes3icral Demiddotmiddotelc~ Galt fur~ds will be uSed by the

LT~iersit2 c la= ~ icreasing te nUbe of faculty specialists in

cClJses ir sjcts elated to the subject atter Specificallr grant

fuimiddotis dll ce usee to ac3 one pernanent faculty Uemoer in roliGical

scienc~ ~middotit s~ecia iltcests b legislaive beh3vior ald political

dloYl-nt a-o 81 a29 cmiddot-petence in Ardcan pclitics and to bring

(lculy -emiddote-s fro less ceveloed countries to spend a peri cd of time

at the TJ1 i si ty o~ Io~middot adine sechtl expertise to the ~od~ at Iowa

other middotisosel -~ i_ le irol1ght to IC~ia as needed to support those nO~T

or --18 fc~~ti r~lt 7ds ~rill also be ilsed to finance data collection

exlts-s ~) t~-e res~imiddotch iork of tte acult the Associate scholars

BEST AVAILABLE DOCUMENT

1~ II

- 9 -

cesigned tgt trrtin US and foreign-born st1lcents in le6islati-~e rese=z-cndeg

Sttde1fs ~dll be tdTi tted cr11ally to 9 proeragt iihicn ~iould irclude a

tro~ot~h grounding in the r thods of cczparative aralysis the S1ostance

of conparatie politis g-mel31ly end the corrparative studJP of

legislative behavior in 9articulal The Uni-ersity intends to associate

tnese studelts directlr - rith research in Ttlhich faultr 2Cbers are

engaged to encourage thea to dra- U90n the skills end resources available

in this field il ra1Y departnents of the University to enable them to

spend up to one year in field research and to have thel4 snare their

findings middotrih their stmiddottidei~t and faculty colleagues Tle prograII will also

involve foreign scholars middotno are expert in the legislative process of

t3ir o- n countries in the tcaciing fgtimiddotogren both by holding -fisHing

a=point~elts at t-e University of Ioc1d by sUgervisi~g field research

c R d - t- ~ 1 rec C~ of Esta~lis~ed Scholars Tne University of Io~~

plals to extend a1 in-itaticn to seieal foreign scholars duri1g te

gle1t p2riod to patici~te in a coparative legislative researc~ seirar

duriig their visit Their plrticipat~ion middotrill edd 3 lL1iqte diiensicn to

the seiiral hceuse cf theh ~1o~-rlecge of the legislature in their own

C01-try BCmiddot2~ J1is Gemilr -ill be dealing -lith the nos-G current

reseaCIJ o~ l0~ ~ltmiddotJres as ell as discussine desigs for reseach to

fill in cowleuge of legis1timiddotre 1ehclicr -re believe

tret it ill be a l2~lilg experience for all the pclticira1ts--incltcing

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Ima rill lOrk collcboratively ~ith the fOrsig1 5cbolars to design a1d

carry out P reseach pruject These projects Till cc~tribute to the

retlaininB of foreign scholars and nill also add to cur mmiddotm and8rstanding

d Research The 9rinciplI enphases in cesenrcl rere cutlined in

Section III above ie to focus en con-9arative studies in iihich

legislative cehaviol can be helpful in explaining the scope of politics

the style of governcent a1d the legitinacl of regiles Variables hich

will be studied Iost closel~r ircluue tbe persistence of institutional

norms in the legislature oyer time the relationship o~ the legislatue

to ether institutions in fornirg public CC1Cepticns of politics and

the histOl~ical context detelini1g public expectations of the 12risleture

This resea~ch nag both academic and practical objectives

Academically it promises to tie legislative behavior research to other

major concerns L1 pcliti~al science such as research on systeJ stability

and paricrJance Its general substaltive eojective is to assess the role

wtlichlegislatures Illay L1 determining the capability of political

s~lstems especially their ability to deal ~middotith soCial change

Vractically the stu1y ~y offer guidance to polic~Y-Dakers on

t~1e role ~ hich legislatures rray be ~lI-pected to pIa)- in neimiddotrly established

political systelt ald on ~hc efcrrrs in established legislatur~s -Thicn

rray be required to achieve specific syste~ effe~ts The study ~dll

Nquire the assccioticn of rembers of legislative staffs a1d 2cademic

colleagues in the s~eLal nations lmder nvestigRotiop plovidirg training

fot ~ll r)f them i1 leeis1ntive re3Clrch ~ri facilitating a valuble

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ll-

of Iml3 ~ill LS~ glmiddot~t f~ds t~ estaolish a data archive to begin to

bring tb~ edtirg legi31ati--re studies tog3tller at a single locaticn

end to =afe t~e ac~essible to tie grc~ring m~er of interested

scholars in t~i3 field PerSCIlllel of tbe Data Archive ~rill searcD

broadly fo all a-reilable data on legislatures in the possession of

ildiviiual researc~rs i11ese data sets ~-Till be acquired refo~atted

for ease in alelrsis a1d stored in Archive Tne Archive ~~ll

asserble tie etel~ Gata O legislative organization ald procedure the

socialization ~~ recruite~t of lzgislators legislative decision-

makLg pccesses 2d legislative outputs To facilitate access to

the data a ~middote-riemiddotrlt11 syste middoti111 be cesigned that will 2011001 r-=searchers

to find ~iccJ ata sets that c~mt2in inforration lelefalt to their

researc1 po)2e5 RibEcg-aphic citation3 cnd abstracts of research

reports on le~i51e-imiddote oebio ~~ill be gathered and a biblicgraphic

retrieval sys tC idll a Geielc9d to aid esealcJers

cooioinet-e1 ~~as n -ie are= of c~rarativa legislatile studies is

t~3t because 0 si~~e iJS in~ti tuticn ias tce necessarJ expertise

of ccrparati ve

1-=gislatiY2 tcie3 8forts of the most conrpeteat ace interested

BEST AVAIL~BLE DOCUMENT MCi I I yl

12 -

oz~ the tr)middote grantee institutions and otter associated scholars It

~ill ayise t~e pa1tee i1stituticns on SllC catte-s as roritorirg

activities at the t~re~ unive~sities~ evalu~ting rese~rch frr possible

=middotclication sJ--sidies rld ether ratters related to infor~atioTI

disse~~ation coordinating research efforts to avoid duplication

ecilitating excha1ges d sttde~ts ad faculty members ~-iitb foreign

nsti tutions i~en desirable tryi1g to till lacunae in cLIricu lUn

helJilg to arralge cmferelces and sy-posia and generally trJing to

9cote te ~eielcp~2nt of cOlparatile legislative stucies as a

Gra1t L~HS idll be ~sed to support the Univ2rsity of Io -a IS

nrticipation in tre AdisorJ Co-i ttee t1e developrrErt of conferenc=s

elsEfhere il the US arHl over3eas i1 relat2d facets of leeislaive sttdies

Edstng iersonJ~l al~d fa-ilities at the University o= 1oa previde

iaculty facliiies to aid rC3emc~ trailg aPd skill in 21c~ivaJ middotork

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r ~-)

- 13 -

Six ITe-bers of t1e faculty of the Departent of Political Science

at the Unhe ity of Im-ia are presently engaged in legislative research

To merbers ot the Departllent of History are engaged in research on the

British Parlia~ent L~ the eighteenth ~~d nineteenth centuries Fer the

past six years an adv~~ced se~inar has been offered by ~embers of the

Department of Political Science and the Department of Histo~J on

comparative legislative behavior This exte1sive collaboration iiill

ma~e it possible to develop a fully inter-disciplinary program for the

students ~~d visiting faculty In addition faculty ~emcers in

Scciology interested in organizatien theory and in the College of Law

interested in legislctive processes provide furtber e-pertise ava_ilable

to students interested in tee study of legislative behavior The

presence of these specialists on th~ facult~r is reflected in the

excensive librarJ al1d otler data resources existing at Iowa in this

field

The Uniersity of Ima offers an unusually extensive program of

trainL~g in research methods Four ~e~bers of t~e Department of Politi~al

~cie1ce teach in the field of research nethods Courses jn statistics

ca1 be taken ill the Dep~rtents 01 Sociology e-d Educational Psycholcgy

Llis prcgr6l provides a verJ solid grounding il research training and

data analysis

bEST AVAILABLE DOCUMENT

e ~

- 14 -

Y labCrato~y for olitical Pesearch is the reseacc1 md research

tlairirg facility of the Departe1t of Political Sci-lce Gcadvate

students receivo extensive res~arch experience through 1or~ing in the

La oratory bull The Lacoratoy is also a1 integral part of the trainirg

o~feed in ccurs~ T~middotO~ for graduate students

The full-time sta~f of the laboratory includes a director an

assistant director a t-=cl1ical cirector a supervisor of study

t1hteen graduat~ students - rf1rk in te Laboratoy receivLLg teining i~1

~a~a collecticn ~~i data e~alysis Tbe facili te5 of the La)oratorltJ

icluoe a oard eJcerline printer ccnnected to the U1iversitys

dis~ and tape storF-ze for d~ta

The pogral of trailing ia coparative legislative reseC_cch ~ill

relr heavily en t LaOerltcLJ- for taching graduate stucents Visi tine

fc111tr lYe~bes iill be able to utilize tbe facilities cf the Laboratory

gt IOra ~as sFcial ccrpetence in prOCed~les for

ccq ter ogagtlizetion of d~ta Ja1ks ~d fOi the p~ocGssing of large data

sets as well as iJ the sttdy of naticnsl end st~te legisltllres Tile

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Ile Univelsity of 10Ira will eadnister- the Grant thJotg~ its normal

a)1 iristrative char-l1els ad i1 Eccordance imiddotlith its ncrTal olicies and

operatirg procedures 7he Director of the gr~l1t-s~~ported program

Hill be a senior faculty eriOer of the Gniyecsity of IO~-ia -with extensive

expe~ie~ce in the subject field Associate Directors w~tb similar

qtalifications -aill also be appointed 7he Director- and Associate

Directors ~dll serve as eibers of t~e Inter-University Advisory CC1gtr)ttee

established to cooidinate _u bullbull ID gra1t-stpported programs at IOia Dul(e

lniversity a1d the University of Ha- aii Ll1 this field These relatiol-

ships are i~dicated in tee follc~dng a~inistrative organization chart

IX Ul~vsity Ccntri1uticn

T1~ ~h-ersity of IQ(a aSSures ALD that this Grant middotiill not

replace existing ftnds for STr current activity and imiddotrill be additive

to existing prograrrs of tCe lJniversity In direct sp~ort of this

Grat ttc University ~ill provide a) Acmi1istratile costs including

tie of senior officers of ttlt University b) Office ~ld research space

ald library and cor-puttr facilities c) Provision of a1cillamiddotCjr 1niversity

personnel -or consultation o~ ~middotjQrk nth the progral

X Reports end 5evie~-Ts

There i-ill be sub~itt-=i al arnual t2ctnical report for the purpose

of AID s revie- of activities under te Gant Tnis idLl include

a11 e-llation of prcsr~ss aidnistratve ar_c fiar~cial corsicer~tior~s

p~s cr tr foJlJ-middotire ear ~i disctlssics of the ossible l~lizaticn

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~

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A~~inistrative O~ganization

Ice Board of Regents of tle State of Im-la

-Iesicent of the University I

1 rOfcst Jf t-3 University

Den College of Liberal Arts

r Chailan DcptiEt of olitical ScieJce

Inter-G~iversity

Acisorr Corcittee

PcgrG21 Director Associate Progra~ Directors

Liaison Arcrge~~nts d ~h I I~~erested Plcfessiona1 I Perso~el j

I _

I 5cu1ti (full or PmiddotLG-tire l Asscci~tes a1d otllei non-Io~il

3ecip5ents of Gr3-1t stPPC1t Gr~cue~~e S t1~lcnts St2~retQi~S1 Data Lbed~1 31

Ln 18 r1icia 1

LO1t c~lce Factcj~1 ts

BEST AVAILABLE DOCUMENT ( ( V-t

- 17 -

of te eo17i~g cCpterce br A I D rLld ethers In addi tion there

aS3essr~ents of the gr31t

middot l ~ lI ~ _ _ _ co~~~r~~ing ~~iversiti~s md tne rrctitoring ALD office

7re l~yersity of Ie~middot~ budget of $26500 is to be deveted to the

cemiddotelgt~e~ of lstituticnal cefete1Ce in comparotive legisl~tiye studies

~t Iomiddota c t~ the exalsi0 ot a date b~L-lt ~ hich 1fill be utilized as

a ecle for icrec3ing te scope of tbe sub-specialty

T - 1 f 1 __ middotja r S Ctdget a9roxir~tly 33- has bee allocated to a

cemiddote Lp~l t rirc ipally C actlty re leased tirre for data ccllection

ai 0 3alres f~r i~~er-ieers in field research 3d secretarial

assi5ta1ce nCt2 11- of t~e Icmiddotre oudge~ is iesignated for an

ArCE_1 A~ite s(101a~middot 2d one 0 ore scnolals froQ LDe or

s1lllrt of greluate stucents in the

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Finally approximately 19 of the budget will be devoted to the

proposed data bruL~ that will archive not only data generated from the

research of scholars at Iowa Duke and Hawaii but also at other US

and foreign institutions Primary and 3econdary an~ses of these

data will become an integral part of ~omparative legislative studies

curricula The ability to utilize the data bank for teaching purposes

also should have a significant impact on professional preparation ofmiddot

future legislative specialists In summary the funds will be

allocated to research teaching and training activities tha~ are

entirely conson~~t with the philosophy underlying the utilization of

2ll(d) grants to achieve institutional development

Conclusion

The University of Iowa regards the research and teacbing components

of this program to be closely related an1 zrutually reinforcing The

University of Iowa offers a strong base for the pro~ram because of the

interests of faculty members here now because of their contacts with

scholars in this field in other Americ~~ and foreign universities

because of their experience with the international exchange of faculty

and because of the distinctive data gathering and processing facilities

available in our Laborator~- for Political Research The program which

we have formulated is designed not only to accomplish specific

research and teaching objectives but to contribute to the long-term

development of the University of Iowa in an area in which it has already

exhibited special interest

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The program on Comparative Legislative Studies with support from

this Grant rill develop the capacity at the University of Iowa to

provide assistance under separate financing arrangements to developing

countries in a number of ways and through a varieiy of channels This

assistance which would be arranged for end negotiated separate~ from

this Grant may be in the form of technical assistance advisory service

training research and information exchange etc It will be available

by mutual agreement to appropriate agencies national and international

public private a~d mixed and directly to the less developed countries

Most especially this added special competence will inevitably become

incorporated through the processes of scholarship and education into

the competence of US and foreign scholars and institutions concerned

with this topic of great significance to the developing and the more

highly developed countries alike

BUDGET SUMMARY

UNIVERSITY OF IOWA

Salaries

Graduate Student Stipends

Fringe Benefits

Travel

Equipment and Services

Other

TOTAL

$173090

32400

19209

13800

6501

20000

$265000

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Dr Willa~d l Boyd Presicient University of Ima iowa City Iowa 52242

Dear Dr Boyd

4 AUG 1977

amp

FIJNDS AVAnASLe CpoundNrftAamp sEIMCEs DMsON

AUG11 ~n te t6417 ~77

Subject bull Supplsectferit-tJF-G~middotNomiddot~middot AIOcsd-3294

t middot-rrPJ1 3

I am pleased to inform you that pursuant to th~ auth~rity contained in

S-cction 211 (d) ooC the Foreign Assistance Act of 1961 as amended a sup

plemental grant in the amount of $200000 is h~reby r~de to University

of rCi1a These supplement]l grant funds areprolided to support the

activities which are described in your Proposal dated May 6 1977 for

the implementation of your program entitled Political Conditions for i

Effective Small-Scale Rural Assistant Projects

---This sup~lemental grant is mace to University of Iowa en condition that

yo~r institution shall administer the funas provided under this Grant fn

accordance lith your r~ay 6 197 proposal (including Budget SUmlilary) and

the Standard Provisions (as incorporated by Amendment No 1) which have

been agreed to by your instit1ltion Ti) the extent of an inconsistency

between the Proposal and the Standard Provisions and any otherprovisfons

which ar~ made a part of thi5 Giant by reference or other~iSe the Sta~d~

ard Provisions shall control

The new Duration Period for this Grant shall beAugust 11 1971 through

August 10 1979

The total amount of funds obligated under the grant is increased to reflect

a new total oblgated amount of $465000

Please sign the Statement of Assurance or Compliance ana the origfnal -

and seven (7) copies of this letter to acknowledge your understanding of

the conditions under which these funds have been granted Please return

the Statement of Assurance of Compliance and the original and six (6)

copies of this supplemental Grant to the Office of Contract Management

Attachment May 6 1977 Proposal and Budget SUfiT1a ry

UNIVERSITY OF IOWA

Roberw bull OBrien fficer

Ce al Operations Division Office of Contract Management

AC~E~E~C--_ 0 BYpoundk~~ cH

D C ~lpoundSTtR5BA T ITL E ( PfeampoidPilt for

tee ment amp Research DATE 9-22 -77 (d~ ~~Bduate Ctl~1e~e

BES i AvAILdLt UOCLJMU~ I

211(d) Grant Program

Proposal of the University of Iowa

POLITICAL CONDITIO~S FOR EFFECTIVE SMALL-SCALE

RURAL ASSISTA~CE PROJECTS

Submitt~Ci to

Civic Participation Division AID

May 6 1977

Amount requeste~ $ 199987

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I TdE DEVEIOP~T PROBr~

P~litical Conditions for Rural Development

The Cocparative Legislative R~search Center of the University of

Iowa proposes to ~~dartake a two-year study to investigate the role of local

leaders and the rural public in theimplecentation of small-scale develop~ent

1 projects in less developed countries The study will use and extend the

capacity ~hich the University of Iowa developed under a 211(d) grant to

investigate and assess the impact of loeal politics on rural development

~t the co~pletion of the s~ Iowa will be in aposition to advise the

Agency on the design ~nd evaluation of s~ll-scale projects which will be

politically viabe a~d effective in ass~sting the rural poor ~

As students of development w~ approach our task with the assumption

that the proble~ of development and underdevelopment are funda~entally

ones of political econooy and a~ such can only be solved through a

simultaneous considerationof economic and political factors Efforts

which foc~s aloost solely on economic factors like those of ma~y

organizations engzed in dipersing foreign aid or efforts which focus

almost exclasively on political factors fail to take account of the

interdependence between these two dimensions of underdevelopment and

lwe have for~ulated this proposal in a canner consistent witr the cu~rent policies ard interests of the Agency We have been guided in our tsk by four Age~cy doc~e~ts Impleo~~tation of New Directions in Developnent Assista~c~~~ ~eport to the COmlittee on International Relations on Ilupleoenshytatiun of Legislative Refo~ in the Foreign Assistance Act of 1973 (July 1975) rItevis~d Projec Developiel Review and Approval Systeo (A I DL Circular A-21 Aril 23 1975) SH Butterfield Draft SUIilZ3ry StateUlent of a Practical Agelcy Approach c aural Devalopilelt (AATA February 28 1975) Cicci A Coce~ual Oie=viamiddot middot Rural Development No1 (lWorilting GOU O~ tha Rural Poor February 1975)

- l -

can meec with only l~ted success

Our concern with the i=pact of local politics on the process of

rural developcent is a result of our interest in the basic question of

how LDC governm~nts and the donor agencies which assist them can

become core effective in raising the standard of living of the rural

poor We seek answers to the following aspects of that basic question

1) What political conditions must exist both within rural communities

and between theo and central gove~ents to raise agricultural production

w~ere small-scale agriculture is the do~nant pattern 2) Vnat are the

political conditions for a core rapid expansion of the informal manufacturing

and service sector cocprised of labor intensive small-scale industries

located in the rural ar s 3) What political structures and activities

are mase crucial for the provision of welfare and econocic supporc services--

such as agricultural exeension mar~eting and transportation--to the rural

areas1 4) ~~at Folitical conditions oust exist to insure that economic

growth in the rural areas is not accowpanied by excessive and intolerable

inequalities between socio-economic classes andor between regions1

Center-Periphery Linkage in LDCs

To deter~ne the political conditions for rural development we have

in previo~s s~udies exacined the institutions and processes through which

rural populaticns are integrated i1to the national politi-cal systetlS of

middot~he countries in which they live A gap exis~s in most less developed

countries bet~een the peasantry residing on the periphery and the c~~tral

political ~stiutions staffe1 by ~~estern-educated bureaucratic elite

We are aware of the other major ~sti~utional discontinuities which comprise

J

4 middot~~1 the basic cleavage between the developed and underdewmiddoteloped sectors of

these dual societies Bridging these gaps is essential if these so~ieties ~ are to develop into viable nation states For until those Q~ the periphery

of the poli~ical syste~ participate in that system and support and comply

with the authority of central political institutions neither economic

development in ~he rural areas nor a stable polity will emerge

Bridging the discontinuities in these new political systems requires

establishing and institutionalizin3middot1inkages or networks for co~unication

and exchange of resources between decision-makers at the center and the

rural public on the periphery Three types of institutional linkages are

most prominent in less developed countries 1) those conSisting of the

state administration composed of the bureaucratice1ite 2) those consisting

of a revolutioncry political party cocposed of the ideological elite

3) and those conSisting of patron-client hierarchies composed of the political

entrepreneurial elite

Of these three linkages consisting of the state administration are

the cst extensive and pervasive in virtua~ly every LOC Such linkages

however exist primarily a~ instruwents of the center to penetrate the

periphery Central government officials are formally charged with bringing

develo~ent to the people This is a ~issi~n which conceives development

as a process ~hrough which a traditional peasantry is transformed and

assimilated iJro the DOdern center which is steadily expanding to embrace

it Agents of the center invariably have more resources to achieve their

objectives than do local political leaders but because they are frequently

strangers~ the communities in which they function they are often unable

- It -

co implement the policies of the center without working through the

local establis~ent

Though somctices significant linkages consist~g of revolutionary

party organizati~ns such as those found in China and Vietnam do not exist -

in most IDCs beca1Se of the special historical and e~omic conditions

required for their development As wi~h the administrative state however

the linkaampe apparatus of such political patties is prUlarily an instrument

of the center whose mission is to penetrate and mobilize those onthe

periphery

In contrast patron-client hierarchies are linkages which represent

the periphery at the center and mediate betwee~ these two disparate

sectors of the political systec Thcugh norcallymiddotovershadowed in scale

by the state administration patron-client hierarchies are found in almost

~very LDC a~d constitute the ~st significant network through which rural i

populations and their leaders influence the decision-~king process at

the center Patron-client hierarchies exist in a wide variety of org~iza-

tional fores ranging from info~ ~ec~~rks of individual olitical leaders

in uno-partyll systelS in S~b-SaharaI4 Africa to extensive political machines

in both one-p~rty (Africa Mexico) and ~u1ti-party systems (Turkey India)

Despite their importance as the pricary means through which peasants in

LDCs particiate in their political systems patron-client hi~rarchies

have only recently become an object of analysis by students of political

developent and do not appear in even the most sophisticated studies of

2 See Jo~ Dunca owell Peasant Socie~y and Clientelist Politics Aerican Politi~ Scielce Revietol 64 (June 1970) pp 411-25 Rene Lemarchand anc_ Keith Legg olitical ClienteliSJ and Ethnicity in Tropical Africa Aierican Political Sc~ecce ReView 66 (Y~rch 1972) pp 68-90 James C Scott PatronshyClient Politics a~d Political Change II 1tlerican Political Science Revie~ 66 (~arch 1972) p 91-113 and Friends Followers and Factiols bull edited by Steffan Sc~~d and James C Scott (Berkeley UniverSity of California Press 1977) bull

- 5 -

3 economic development Ad~niscrators of developmental assistance progracs

have too often regarded patron-clienc hierarchies as ~ped~ents to

develop~ent instead of recognizing cheir potential utility bull

~ Findings on Patron-Client Hierar~hies --

The importance of pat~on-clienc hierarchies for linking the periphery

to the center is one of the major findings ~erging from a study of the

relationships betueen l~gislators an~ their constituents in Kenya Korea

and Turkey ~hich the Cowparative Legislative Research Centpr is nov

comleting uader its 21l(d) grant from AID This study has av~mined the

creation of linkages between the periphery and the center through ~ore

than lO~OOO interviews with members of parl~ent local leaders and

peasants in t~e three countries The findings are being systewatically

set out in a book-length monograph Nearly a dozen research reports have -

uready appeared (see Appendix C) ipropositions about the nature of

political behavior of rural populations an~ the roles of local political

elites de=ived from the research~ can be s~rized as follows

1 Elected representa~ives play a significant role in the creation and mainte~ance of linkages be~een the center and periphery by developing local political achines in which they function as patrons of their constituents In turn thay s~rve as clients of political leaders of national stature who control central government institutions

2 By atte~pting to establish linkages based on patron-client relatio~shi~s elect~d representatives are responding to public expectations chat their prizary duy is to obtain resources from the center to proffiote local develop~ent ~iany elected repLesentatives spend most of their time on self-help co==unity development projects such 3S the building of schools health clinics irrigation works arid roads because such projects provide

3For exa~le ~ a widely respec~ed a~d useful analysis of rural deve16p~ent in Sub-Sahara~ Africa L~ Lele of the World Bank notes the problems of creating an adoini5~raive infrastructure in the rural areas that is sensitive to local socio-oliical conditions She does not however consider how local leaders operating o~tside of adcinistrative structures ~ night contribute to the developne~t 0 the rural areas See ~~ Lele ~ Design ~ Rural Develop~ent Lessons ~ Africa (Balt~re The Johns HopkiD~ Uciversity Press 1975) r) pp 127-61 i ~

- 6 -

their const~tuents with desired se~ices ~~d a= the sa~e time provide the reresentatives with an orgacization Yhicn can be used as a political base

3 l-tore than 90 perCel1t of the rural population is capable of articulating the p~oblems facing their local co~~ity and two-thirds discuss th~e proble~ w~th their fellow citizens on a regular basis

4 Three-q~rters of the residents of the rural areas can identify the public ofpoundici~s who serve thec--both civil servants and elected represcrtatives--by na~e Most are knowledgeable about the activities of these officials Alcost one-fifth coreover have discussed co~~~ity probl~ ~ith these officials particularly those working at the grassshyroots level Residents of rural villages actually have a higher level of political knowledge than their counterparts in the towns

5 Elections in the rural areas evoke a highly rational attern of voti~g despite the effects of ascriptive or traditional co~siderations Inc~ens are pri~rily evaluated in terms of their record in fulfilling the public r S elpectations of what they should do Elections are essentially referenda on inc~entsr perfo~ce especially their perforwance in the area of constituency servi~es such as bringing development projects to the districts bull

6 Local developcent projects have a relatively high s~olic value generating conscitutency support for local leaders and the central government at low cost

7 These projects help huild a local political infra-structure which can also be utilizec by central govern~nt civil servants to implement other policies designed to achieve rural develop~ent bull

The Icpac~ of Local Politics on Rural Projects

Having explored the developtent of linkages through which the periphery

is represented at che ~enter and through which the periphe~ attemp~s to

share in the ceners resources we now propose to build upon our initial

investigations by e~ing in greater detail the impact of local political

conditions on specific problecs of rural develop~ent We propose to

exacine the develop~ental activities of local leaders ~nd the rural public

by eX2~Ding a saple ot fifteen to twenty smalL~scale developwent projects

in each of ~he three countries which constituted the sites for our initial

8ESI AVAILABLE DOCUMENT 1 ~ - of

- 7 -

study of center-perhiphary relations The appropriateaess of this approach

and the ~ethodology through which it will be ip~emented is discussed in

section II Because the ~ethodology of investigation is in large part

the result of our previous research experience we fizst turn to a revieW

of the existinQ __ ~petence of the Comparative Legislative Research Center

in this area

II GRAXTEES EXISTIXG CmET~CE

In 1971 the University of Iowa received a 211(d) grant to develop

its capacity to do research on the role of elected represent~tives in

the process of modernization On the b~sis of this grant the University

established a research center which planned and carried out a research

project on the role of elected reres~~tatives as links between the central

gove~ent and rural populations in K~ya Korea and Turkey The project -i

served to develop t~e University of Iowas research capability in this

field esa~lished ties between the University and scholars in the bost

countries and generated a large and uniqu~ body of relevant data

In that project we fo~ussed our attention on tbe activities of elected

representatives in their constituencies notably in their contacts with

local political leaders voters and civil servants To determine tbe

nature of the linkage function performed by tbe representatives we

designed our research to explore the subject from three perspectives

1) we eXaojned ~~a ~ubject at tbe grass roots by conducting a series of

sample surveys of 200 to 300 adults in each of 12 to 14 parliamentary

constituencies in each cf th~6three countries 2) we examined the subject

at the center by intervie -ing MIls from the constituencies in which we

had conducted S3mple surveys ~nd higher civil servants with whom they

had contact and 3) ~e ex~~ined the subject from an inter-~diate level

by identifying aud ~terviewing local social and political leaders in

the MPs constituencies We used survey research methods because we

were embarking on the study of an entir~ly new subject for which little

relevant docu=e~tary data existed and on which there were few secondary

sources As a result ~e have unparalleled experience with survey

research in the rural areas of less develo~ed countries

The surveys which constituted the cajor part of our field work were

planned in collaboration ~~th scholars from the host countries They were

carried out in each constituency by student interviewers in the appropriate

language ~re than 10000 respo~dents were inteDViewed for the project

Given the visibility and sensitivity of this undertaking approval for

the research was sought and obtained from the host governments prior to -i

the collec~ion of data ~o objections were raised by these governments

at any stage of the research The data obtained have been made available

to scholars i~ the host co~cries and some of the basic findings have

been published in periodicdis in these countries

The Comarative Legislative Research Center ~hich ad~nistered the

project has aisO developed extensive experience in the study of political

leadership in other countries It h3s obta~ed substantial support from

the Fo~d Foundacion and the Rockeeller Foundation has worked in

collaboration ~~h European as ~ell as Asian and African scholars and

is engaged in a ajor study of the role of elected and non-elected leaders

in the oanag~~t o~~ocial conflict Because it has conGucted research

in a variey of setlngs the Center has an ~ceptional capacity to

- 9 -

determine how the relationships be~een political institutions and

economic p=oble75 differ in develoPed and less developed countries

In the course of the major research projects the Center has administered

it has gained highly specializpd ~p-i ce iI identifying 1Olitical leaders

in a great variety of settings conducting systematic interviews with

them collaborating with scholars in the host countries and in coding

and utilizing large files of data to answer specific research questions

The Center has ~lso undertaken to publish the results of its research

in three fores It issues codebooks to the data enabling scholrrs at

other locations to use the data expeditiously i~ publishes research reports - in the form of Occasional Papers and it publishes a scholarly periodical

devoted to the presentation of research findi~gs to an inteIT~tional

audience

The Center utilizes the data ~ysis facilities of the Laboratory

for Political Research of the University of Iowa and drawS on the unusual

n~er of secialists in comparamptive politics and survey research in

~~e Lniversitys Departmen of Political S~ience The Center itself I

has the services of an administrative secretary and a clerk-typist

~intains its~o~cn extensive archives and its o~~ publications program

It is e~uipped to assist scholars and government officials outside the

t~iversity of Io~a The participants in its p~ojects are full-tioe

faculty ~e=bers ~hose undergraduate and graduate teaching is closely

related to their research As part of the teaching program the Center

has attracted students from the countries in which the research projects

have been conducted these students have participated in the projects

bull J

have obtained training in other fields of political science have received

University of Iowa degrees~ and have ret~rned to teach and to do research

in their own countries

III PURPOSE OBJECTIVES AID METHODS

Purpose of Study

The purpose of the proposed grant is to extend the capacity of the

University of Iowa to determine the political conditions in the rural

areas of less developed countries which favor the establis~ent and growth

of small-scale developoent projects ~e objective is to put the University

of Iowa in a position to assist the Agency in designing small-scale rural

developent projects providing guidelines for carrying out social soundness

analyses of such projects and adviSing in the evaluation of projects

We will discuss the utilization of~t~e Universitys capacity in detail in

section IV below

We propose to concentrate our investigations on the political conditions

surrounding s~l-scale ru~al projects Such projects have distinctive

advantages They waximize the political participation of the rural populations

both in det~~-ining the direction ~d implementation of develop~ent efforts

and in defending the interests of periphery vis-~-vis the urban-based

bureaucratic elite S~ll-scale projects stimulate entrereneurial activity

on the part of the rural citizens and growth of the info~l canufacturing

and service sector Tbey require less lead tice and less administrative

c~erhead to ~eco~e operational than large-scale capital-intensive projects

centrally administered Such projects yield rapid and direct benefits to

1

j

the rural

- 11 b - ~~1

populations and are consistentwith their hUIlaD rights--both

political and economic However~ small-s~le projects pose s~ecial probl~s for administratcrs of developceocll assistance progracs because

they require the donor co assess the local olitics particularl the

rural politics of t~e host country

Develop~c adoinistrators pr~rily conc~rned with assisting rural

populations must therefore recognize the range of political variables

affectL~g these projects Small-scale projects offer great opportuoities

for develop~ental assistance progr~ because they can be easily targeted

to help rural populacions require low capital costs and need no be

concentrated in one or two localities Such projects ho~ever~ ~equire

the a~istrator to have ~re political kno~lecge than large-scale

projects Oil which his priJlary tas~ is guiding the work of other experts

Questions for ~Investigation

To detercine the politi~al cc~diicilS ~st conducive to ~he establ~~ent

and gro~h of scalI-scale rural projects ~e propose to address our inquiry

to the following specific questions

1 To what extent and why co local political leaders seek to establish s~~l-scale develop~ent projects within their co~unities

2 To what extent and ~~y do local leaders other than politicians initiate andor provide leadership for s=all-scale developm~t projects

3 Bot do the relations bet~Jeel different types of local leaders (political and non-political) and bet~eeo these leaders and central gove~ent civil servants posted to the rural areas affect the conduct of develop=ent projects

4 How do existing authority ~eLationships between these different leadership grous and the rural pub~ic affect the organization and operation of s~l-scale develop~ent projects

- 12 -

~

5 lhlt is the nature 0 pclgtlic participation in the establishlent and operatio~ of s~l-sclle projects and ~hat are the outcc=es or this participatioe Gucer w~at conditions is such participation ~ost likely to occur

We seek a~swe=s to t~cse questio s L order to determine the effect of

different co~iigurations of local leadership and public participation on the

outcomes or small-scale rural projects te are particular1y concerned with

the ~pact of these configurations on the rate of econocic growth and the

distribution o~ rIGSlth ithin the loal cOlllUlity ~ on the perce~tions of

s~ll-scale proj~cts by central govern~ent per~oncel and the rural public

anmiddot on the organiation or flture projects

To a~swer these que~tions it is oar intention to study the initia~ioD

izJple=enation ald i1lpact of a salple cpound small-scale rural projects in

Kanya Korea and Turley in the sae cOllities in which we carried OU

our initial icvestigations ~ 1973-75 Tne relationships between the -

various conf~gurations of local leadership and public participation and

the three phases of project develop~ant are sho~ in Figure 1 We will

exa=ine projects to pro~ote the adoption of new agricultural techniques

by s~l and moderate landnolders the building of feeder roads irrigation

ditches and other s~ple infrastructure the organization of fa~ers

cooperatives and other local associations concerned with rural development

the establish=ent of rural health clinicS and schools and the setting up

of craft and service industries

Sites for Study

We plan to return to our original set of localities because we possess

a rich body of relevant data on the extent to which linkages exist between

Figure 1

TYPES OF LFLUEXCE OF C2r~ middotGOVER1iEXT OFFCIALS

LoCu LEADERS 0 THE RURAL PUBLI-C OX THRr~

PHASES OF RURAL igtEVELOPHET PROJECTS

r----------~J C~ltral Gover1~nt Official)-N------- - J

r- Local pOlitical leaders

Local non-political leaders

~l 1---- -

ROJECT nITL~TIOS

Influ~ce on selection of projects

InrI ~elce on location of projects

Influence on policy guidelines for proj eCl

Il

I

a

I I

-I PROJECT I~L~~iATIO~ ~ 1

j Project Organizati I Selection of project

leadership

Hobilization of resources

Mobilizatiol of public compliance with project require=elts

Diffusion of project innovation

Rural Public

I

BEST AVAILABLE nOCUMENT

1 ROJECT IMPACT

Organization of ongoi=g project operation

Distribution of project benefits

Evaluation of project

Public attitudes toward project

-middot14 -

these areas and t~c central p~litical institutions of the three co~tries

and on the attit~es of the rural populacioc local leaders and elected

legislators regardi~g their problecs of develop~~c Since such data

is unavailable for alternative locales a return to the areas in which

we have previously done much research ~ables us to build on a uniquely

valuable body of icformation

A return to Kenya Korea and Turkey is also highly desirable from

the standpoint of effective research organization The Comparative

Legislative Research ~enter has developed close collaborative relationships

with several highly competent social scientists in these countries and

with the academic institutions with which these scholars are associated

We have also dev~_oped cooperative relatio~ships wi~ gove~ent officials

in these countries which should facilicate obtaining approval for our

further work

In proposing to doc~ent the origin i~pl~entation and impact of

one to three s~ll-scale develop=ent projects in each of 35 localities

we have two considerations in mind Firstmiddot because our pr~ry goal is

to deter~e the political conditions for rural developm~Lt we wish to

examine develQ~=ent in as many different settings as feasible Only in

this way can we control for so=e of the major socio-cultural variations

that erist along rural populations in less developed coultries These

include the overall level of econo~c development in the co~unity the

nature of t~e ~digenous culture an~ relationships of authority and the

pro~ty of the comounity to major urban areas and centers of central

gove~nt ad=inistration ~ce our original study sites were carefully

BEST AVAILABLE DOCUMENf

- 15 - ~ ~1

selected to represent these variations ye have concluded that these

35 localities woule be ideal sites for the propose~project Second~ in order to dete~~~ the ~pact of local leaders and public

participation o~ ~ural projects we intend to compare projects 1n which

local leaders and ~ecbers of the public have played a major ~ole with

projects in which they have not We also ~l cospare projects initiated

by the central gover~ent with projects Yhich have been locally initiated

These considerations give us a typology for selecting projects as depicted

in Figure 2

Figure 2 ~

FIVE TYPES OF RU~AL PROJCTS ACCORDIXG TO ~FLUEXCE OF CEITiW

GOVE~1E~T LOCAL LEADE~ AD RLRAL POULATIO~

Level of Participation by Rural Population

Locus of Project Initiation ~

Local Co=unity Central Governoent

BIGd

LOt

1 Projects initiated by local leaders and providing for participation of the rural ~opulation

4 Proje~ts Litiated by local leaders bu~ not involving participation of the rural population

2 Projects initiated by the Central Govern~ent and administered i~ cooperation with local leaders a~d the rural population

3 Projects initiated by the Central Govemlent and providing =or the participation of the rural population but by-passing local leaders

5 Projects initiated by the Central Gover~e~t a~d administered in cooeration Yith local leaders but not involvi~g parti~ipation of rural population

- 16 -

We recognize that the socio-cultural setting of rural develoment

projects varies significantly within and across less developed countries bull

By focussing o~ a representative sa=ple of localities ~ Ke~ya~ Korea

and Turkey we can take account of naoy~ though not all of these variations

While some of our substantive findings will not be directly generalizable

beyond the countries in which we propose to conduct our study we expect

that our basic ~ethods and fLdLgs will be applicable to national and

sub-national settings elsewhere in the developing world This is partly

d~e to the fact that the hierarchy of patron-client relations ~hich we

regard as a critical factor in rural develo~~t exists in ~ost Liles

--It is also due to the fact that the methodology for identifying local

bull leadership configurations auG poundor studying local politics which we are

perfe~ting can be used to assess local political co~ditions in a large

variety of countries even when the ~nditions themselves differ significantly

Methods of Investigation

The data needed to assess the iDpact of local leaders and mass

participaticn on rural dev~lop~nt fall into two categories Some a~e

contained among the data gathered for the research project we are currently

completing Others will require additional field research

The following data are already in hand

1 Data on the social landscape of each loc~l co~nity i~cluding aggregate data o~ level of econonic development de~graphic characteristics political pa=ticiation eth~ic loyalities and rates of socio-econocic change dur~g the past decade bull

2 Identity of local leaders including both political and I-on-political leaders and both legislators and other politicians

3 Perceptions of existiag probl~ and their possible solution a~ng

l)tS r AVAilABLE DOCUMENT

- 17 -

general public local leaders and civil serv~nts

4 Level of political kno~ledge among local citizens and local political leacers

5 Political and social values a~ong local ci~izecs and local political leaders

6 E~~ectacions of leadership roles among the local public and elected and non-elected leaders

7 Patterns of co~unication ~ong local leaders and between local leaders and the central gove~e~t

These data ~hich ~e already have in hand can be subjected to analyses

which ~~ll provida the foundation for our further work on rural develop~ent

projects A part of our work therefore will consist of fu~ther analyses

of existing data

New data of the following kinds are also required

1 Doc~entary data on the origin and evolution of particular smallshyscale develop~cnt projects in the rural areas

-2 Data on project costs boih ~itial invest=ent and recurring

operating costs and data on project ou~puts ie pupils in schools Ddles of road coopleted nl~ber of hospital a~ssions production of factory agricultural productivity

3 Data on project organizatio~ n~~r of local inha~itants participating in establis~~ent of projectt nuober of local L~habitants subsequently involved in project

4 Data-on the pe-cetion of projects by local leaders emers of the local public a~d by civil servants data on the perception of how each project ~as initiatec organized who benefitted and what its future implicatio~s are

These types of data will requ~re field work involv~~g both docucentary research

at the relevant ~istries of the central government and in local goverr~nt

authoritieS and inforoal open-ended interviews with local political leaders

elected representatives and other local leaders who~ we had previously ~

interviewed in a s=uctured syste=atic =aoner

BEST AVAILABLE DOCUMENT

- 18 -

Grant Organizatio~ and T~etable

We propose co undertake the research outlLled above beginning in the

fall se=ester 1977 Dur~g that te~ Professors Barkan and Kim as

principal investio~tors for the neo1 proj ect will contact their collaborators

in the host co~~tries They ~~ll also seek the collaboration of an additional

~rican scholar specializing in rural development with the aic of getting

additional advice on sources of data and suitable indicators for the

~easure=~~t of rural develop~ent projects

At the end of the fall seQester Professors Barkan and Kim will make

a trip to their research sites to disc~s details of the research organization

with their collaborators in the host countries and to recruit student

assistants Tney will devote the spring te~ 1978 to further analysis

of a~sting data at the University of Iowa

The gathering of additional dita L~ the field will begin in the s~er

of 1978 Professors Barkan and Kio will direct this work personally We

eAect that its coopletion ~~ll require three to six months This work ~1

involve the evaluation of central and local gove~ent reports on the

projects uncer investigation extensive on-site observations of the projects

and oen-e~ded interviews with the principal participants Our principal

respondents ~i1l be the local leaders and elected representatives we

have previously identified in the localities in which we have worked and

a sacple of active participants in the particular dpvelopment projects

being studied ~~ere necessary and apropriate surveys of the general

public will be uncertaken to assess the inpact of a given project on the

rural por)r We do not however leed 0 conduct systeAlatic sample surveys

BEST AVAILABLE DOCUMENT

- lY -

of the rur~l population as We did in 1974

In the organization of this research project we intend to reconstruct

the rese~rch tea=s ~e e=ployed during 1973-75 We shall again seek the

co11abo=~tion of P~ofessor Sc~~S-7o~g Pai of Seoul National University ~

Professor IIiCr Turan of the University of Istanbul and Professor John J

Ok~u of the U~iversity of ~arto~ S~ilarly w~ contemplate directing

the field research fro~ he same acade~ic research organizations we previously

used Seoul National U~ive~sity th~ ~~iversity of Istanbul and the

Insti~ute for Develop~eut S~udies University of Nairobi As before we

will tra~ students f~oo these institutions to serve as interviewers

The analysis of the open-ended intervie~s and of docUQentatio~ on

I ~ural develop=e~t projects will be a ~ore t~e-co~s~g process than the

analysis of closed intervie~s It will reqrire a high cotnittl~t of time

fron the principal investigators )e e--pec to hold a conference at the i

U~iversi~y of Iowa 3lO1g all the principal )clticipa~ts in the resea~ch

project d~=~g t~e spr~g 1979 to evalua~~ the newly collected data

le e~ pect to be able to vr-ite reports of t~ results during the Sl1~er 1979

(see Figre 3)

IV LlX-GS ~1) U~ILIZATIO~

At the e~d of the grant period the Uti ersity of Iowa will be able to

1) advise the Agalcy 01 the design of s~l-scale rural projects to assist

the rural poor 2) provide guidelines for social soundness analysiS of

small-scale projects for the rural areas of U)Cs 3) consult w~th the

Ag~tcy 01 the evaluatiol of rural projects ~d 4) provide LDe governments

BEST AVAILABLE DOCUMENT

)ATES

~lll

1977

~inter 1977

iprilg 1978

il mer 1978

~all

1978

ipr~ng

1979

Imiddoter 1979

University vf Iowa

Plutlning of rural develo~rent project

Barkan Kil

Alalysis of existing data

Barkan Kia

Data processing

3arkan Kin

1

I

- 4 -

Figura 3

GRAT TLfETABLE

SIT E S

Kenya Korea Turkey

Preparation of field research ural developH~lt project cOlisulta~io~ a research sites

BarkanOku=u Ki~Pai Tura~rkanKi~

Preparation of field resea-ch

Tural

Field research on rural cevelop~~t projects Bar~lOk~u Ki=Pai Turan

Co=pletion of Co=pletion of field resear~~I~ fiald researcr

Ok~u i Pai bull

f Coopletion of field research

Turan

Data analysis conference a~ong all princial i~vestigators at Un~versity of Iowa Barkan Kil Oku=u Pai Turan

Co=letiol of r~ral develop~ent

project

3arkan Kiz

BEST AVAILABLE DOCUMENT

I

- LL -

~ith speciali~cs o~ ru~al developcect ~mong their own citizens ~ho ha_

partcipatcd ~s collaborators in the Iowa projects

In the proposed project we Will test a series of hypotheses cOlcerning

the political cOllditions of rural develo=ent which run counter to CODOn

assuoptions conccrnir3 t~~ influence of rural politics on project effectiveness

As a result ~e ~dll be able to assist the Agency in designing and evaluating

such projects froe the point of V~~W 0 their political viability The

hypotheses We will test sugges~ t~at the patron-clie~t relations existing

in the local politics of zost LDCs are not necessarily i~pedients to rural

develop~ent but are aspects or the political structure which cal be used to

facilitate s~ll-scale ru=~ projects which will raise the standards of

living of _ ~ rral pomlation - As ~ result or our stuey we expect to be

able to P~-O~t the local leadership confi5~rations ~4d the relationships

between local leaders ald rural poclations ~nich are oost conducive to I

successful develcp=en efforts We believe that we will be agtle to perfect

a cat~odology for identifying the political conditions for rural develop~ent

one ~hich is transferable pound~oo the countries we have specialized in to

other LDCs

We proo~ to develop specific guidelines to assist administrators

charged with selecting evaluating and =onito~ing rural develop~ent

projects to ~szess t~esc rojects in tares of their-social and political

viability he outco~e of such projects is dete~ned not only by the

efrectiv~nass ~~=h ~hich they use scarce econo~c resources but by the

~~er L~ w=ich they e~gage the suppprt of local leaders and rural

po~ulatiocs~ by thei= effect ou social a~d econo~c equality ~d by

D[~T AvAlLA8LE DOCUMENT

- 22 -

their consequences for hwan rights ~Je plan to establish criteria by

middot~hic~ the probable outco~es of projects in these social terms can be

anticipatec

The study ~e propo e will be undertltlken by faculty at the Cniversicy

of lowe in collaboration with faculty a other ~rican institutions and

institutions in the host countries We will build on the extensive contacts

between the Co~perative Legislative Research Center of the ~niversity of

Iowa end other instituions with ~aich ~e have worked One =ajor result

of our collaborative study will be the existence of a net~ork of compe~ent

scholars both in this country and overseas experi~lced in ~orking together~

shar~g a co~on teaching and training experience i~ close contact throu~~ the

effective publications progr~ developed by the Co~parative Legislative Research

Center T~e e~~ertise of this group of individuals will be ava~lable to

oteer scholars to the Agency and ~o L~C governments for specific policy

advice The eXertise developed as a consequence of this project will

extend beyond the ~tionals of the countries ~volved since the univ~sities

engaged in ~e project attrtct stude~ts fro outside heir own countries

For ey~=ple the teaching ~d research progra in the Depar~ent of Political

Science 0 theUniversity of Istanbul heavily affected by the participation

of its facul~y ~e=bers and graduate students in our projects attracts students

throughout the ~middot1iddle East for Whom the University of Istanbul is the iajor

institution ~pound ~igher education in the region rne Institute for Developmen~

Studies is si=ilarly a focal point for students and faculty in East and

Central Africa Seoul ~atiocal Unive=sity attracts students froo other

Asia~ co~tries~ In this way the capability developed among the participant$

BEST AVAIL~BLE DOrUMENT

- ) -

in our work is diffused widely To the exte~ that the abili~y to assess

rural develop~ent p~ojects in teres of their social soundness is increased

both in the United States and in ~o~~tries r~ceiving develop=en~ assistance

the cap3~ity of racipien~ countr~es to absorb aid is ~creased

We propose to draw up an inventory of personnel available in ~~e

Cnited States and in other co~~tries who are able to consult with developen~

a~nistrators on the design of rural development projects and on their

evaluation We ~~ll draw first of ai~ on individuals w~o have been

directly associated with our ~ork in the past or on ~he proposed project

and ex~~~d the list to include graduate students and gove~ent officials

with who~ these individuals have wor~d

tole Yill utilize tha existing publication program of the Center

dercribed above to disse~inate our findings The Center has specialized

oailing lists of interested individuals and institutions in all parts of -i

the world and its reports can trerefore reach the ~st relevant audience

jirec~ly ~d re~~arly

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PART fA

ConU3lttorGranrce Name

University p~f~I~o~wa~ __ -r~ ____ ~~~~ __________ -~~ __ ~~~ ______________ ~~~~ Plorr Numt-er ApptopriJtion Number Allotment Number Project Number

930-0090-3Q13411 A5 72-111l0216 146-30-099-00-20-11 930-0090 Project Title

So~ia1 and Potitica1 Aspects of Development - Conference to Report Research Findings Amount of this Plorr I Projecl M3nagers Name and Offire Sytlbol

$10397 (increase) PDPRCP Jonatlan Silverstone Contr3ctors D-U-N-S Number

Ncgwatocs TYJlCd~3meJ j) Signature I l ~ jIf- bull G HtJ--ft u l IVmiddot

D~e

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plusmn t 3i-alflpta (( BLvle~ 1 I~ PARTm

ContractGranl Number

AID CSD-3294

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J 710gt I I V ~ I

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tJl T3sk Order ( A)middot 0 H Procurement 10 be Perfocm~d by the Conmiddot 0 E UniversilyOther FAuC3lionailnSlitulions

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o O MOA (BOA BMA etc)

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(gtIDPR 7-31 OJ SO(b)(7raquo

OK B(a)5eJection (FPR 1middot1713-1)

o L Grant iH1ndlOok 13)

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CS CPAF CPIF) ~ 0 O Small Business SeImiddotAside (FPR 1middot1706-8)

o l Cooperative Agreemenl ~ 0 1 Overseas Procuring AClivilies (AIDPR

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g ~ ~~t ~~(d) ~~ ~~ ~ eci~a~~~~~ogram Projeci

o amp IQCs ~ ~ relampted excepi A amp E Services)

o 9 Host Counlry ContraclGrnnt 5lJ C amp E Services

middotComplele ONLY through ~Sl ~~ 0 D Construction

M05 SELECTION PROCEDURES 0 E- Reseuch

o A Formally 3dverliscd (IFB) (A1DPR 7middot24 amp

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Procedure (RFP) (-JDPR 7456)

Dc A amp E (AIDPR 7410)

0 D Ed Inst andor Inl1 R~arch (-JDPR

74 5)

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C F Predominant Capability (IOPR

73IOI-50(b)(l)

AID 1420-49 (179) - Page I

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o H Equipment Materi3J~ Supplies Commodities

D I Translation Service

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Aamp E)

J e A amp E 8r~

zalion

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Agencies ICRC Wocld Bank elc)

(H8 J 3 Chapt~ S)

M08- TYPE AW~RD

o A S8 Sel-Aside - Awarded to Non-Minority

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Owned Veterans etc)

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(Connnued on Page 2)

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ua ) R I GI NAL 9 bull

MODIFICATION or GRANT PAGE 1 of 2

AH 1 2 Effective Date 3 Grant No 4 Effective Date

Amend_at Ro 5 April 15 1981 AIDCSD- 3294 8-11-71

-s CRANTEE (Name and Addrea) 6 Administered by -Professor Gerhard Loewenberg -Office of Contract Management Cbrnparative Legislative Research Gente Central Operations Division Dept of Political Science am Branch University of Iowa Agency for International Developn~nt Iowa City Iowa 52240 Washington D C 20523

7 PIO No 930-0090- 3013411 A5 8 Previous PlOTa -

Appropriation No 72-11110216 93i-1l-995-l36 930-11-995-136-73-3078103

Allotment Symbol - 146-30-099-00-20-11 wunt Obliga ted by this ~ndrnent - $10397

The above numbered Grant is hereby modified as follows

1 Anotmt obligated prior to this rurendment 2 Amount obligated by this amendment 3 Total obligated anount (1 amp 2)

Delete the amJmt $465000 and substitute in lieu thereof the ammnt I$47S 39-7 ~

FUNDS AVAIrABm

~~ - APR 13 1981

PrO~A~~5iors

$465000 $ 10397 $475397

OffiCE Of fIN~(1 ~~rE~E~T __ _ 10 This amendment 11 entered into puruant to the authority of the Forelgn

Assistance Act of lS~l as amended Except aft hereln provided all terms and ~~ndi~ons nf the grant rcferpnccd in Block 13 remain unchsnged and in full force and ~ffcct

11 original and six Crantee 18 requlred to aign thh document aad return 1- eopics to issuing

ffiee

~~~ or printed) BUSINESS MAHAGR amp bull

Tille TREASURER

UNITpound) STATES OF AHERICA AGENCY FOR INTERNATIONAL DEVELO~NT

BY_-1(1o-_1lt--= 13middot~_1_~ __ K R B1uteau

(Name typed or printed)

Tltle~ ____ G_r_a_n_t __ O_f_f1_c_e_r ____________ __

D3tC APR 2 J 7997 Dolt 9 APq 1981

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- 2 -

AID ftmds in the am)tmt of $10397 are hereby provided for the activities lmich are described in your proposal (including Budget Stnmnary) entitled CDnference to Report Research Findings on the Study of Political CDnditions for Effective Small-Scale Rural Assistance Projects in Kenya Korea and Turkey dated February 17 1981 and made a part of the Grant b reference

BtTDGET StMMARY

Line Item

Travel

Per Diem

Other Direct Costs

Less existing 211 (d) grant funds

Total Amount Obligated by this Amendment

Estimated Costs

$ 5888

5100

_ 2500 $13488

_ 3091

$lO39

Note Indirect costs or $395086 associated with these activities will be contributed by the University of Iowa

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- CONTRACT IGRANTCOOPERA rIVE AGRElEMI~ SERC~SDSlP Actio) Monitor

SERCMSDSUP Action Office

I

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Delivery Order (Requirements)middot

o 4 Purcluse Order

bull If I 2 or 3 have an bull X compl~te M I 2 ON L Y

M04 - CONTRACTGRANT TYPE

o O MOA (BOA BMA etc)

o 1 Fixed Price (Specify FFP FPRD FPEP FPI) ___ _

o 2 COli Reimbursement (S~cifY CR CPFF CS CPAF CPIF) ______ _

o 3 Cooperative Agreement

o 4 Grantmiddot General Support

o S Grantmiddot Specifi Support

o 6 GraDt 21 led)middot

o 7 Do Not Use

o amp IQCs

o 9 Host Country ContractGrant

middotComplete ONLY through M 5 1

MOS SELECTION PROCEDURES

o A Formally advertised (IFB)(AJDPR 7middot24 amp

FPR 124)

o B Negotiated Prire Competition General

Procedure (RFP) (AIDPR 7456)

o Co A amp E (AlDPR 4 I 0)

o D Ed Ins andor Intl ReStalch (UDPR

7457)

o E Collaborative ASSistance (AIDPR 7458)

o F Predominant Capability (AIDPR

7-310l-50o)(3)

AID 142049 (1-79)middot Page J

o H Procurement Co be Performed b~ the Conshy

tra~tor in Person (AlDPR

7middot3t OI-SO(b)(Iraquo

o I Sole 5gturce (AIDPR 7middot3101middotSO(b)(4raquo

o J Impairment of Foreign Policy Objecdv~

(AIDPR 7middot310 ImiddotSO(b)(7raquo

o K 8(a) Selection (FPR 1middot1713-t)

o L Grant (Handbook J 3)

o M Do Not Vse

o N Cooperative Agreement (Handbook 13)

o O Small Business SetmiddotAside (FPR 11706-8)

o P Overseas Procuring Activities (AIDPR

7middot3101middotSO(b)(2raquo

M06middot TYPE SER VICE

o A TtJining of Participants

o B Technical Assistmce (Program Project

related exc~pt A amp E Services)

J C A amp E Services

0 D COltl~ruction

0 E Research

0 F Technical Services to AID (other than trainmiddot

ing usuaU Y operating ex pense)

0 G Training Service few AID

0 H Equipment Mat~rials Supplie~ Commodities

0 I Translation Service

07middot TYPE CONTRACTORGR TEE

Firmmiddot All profitmiddotmaking fu-r1s (other than

AampE)

o 9 amp E Firms

I Prcct NumbcT

I

Contactors D-U-N-S Numbcr

I) -S--f(j

o C Individual 0-lon-~rsora1 service)

o D Individual (Pet-sonal Service)

o E University lOt her EduCltionaJ Institutions

o F Non-Profit Organization Institutions (other

than Ed or PVO)

o G Private Voiuntary Organization (PVO)

o H International AgricultwaJ Research Organmiddot zation

o I Public International Organizadon~ (UN

Agencies ICRC ewld B3J1k etc)

(HB J 3 Chapter 5)

M08middot TYPE AWARD

o A SB SeImiddotAsidemiddot Awarded to Non-Minority

o B SB SetmiddotAside bull Awarded to Minority

o C SB Not SetmiddotAside - Awarded to Non-Minoril)i

o D SB Not SetmiddotAside - Awarded to Minority

o E ~a) SBA Awarded to Non-Minewity (Womeli

Owned Veterans etc)

o F 8(a) SBA w-rded 1o Minority

o G Personal Service Contractmiddot Non-Minority

o ~ Personal Service Contnct - Minority

o I Individual Non-Personal Sence Contractmiddot

NonmiddotMinority

o J Individual Non-Personal Service Contractmiddot

Minority

o K Not Small Business (Univ Non-Profit L1lge

Firms) --vn-Minority

o L Not Small BUSiness (Univ NonmiddotProfit Large

Firms) ~inoriy

o M VS Government

(Continued on Pcge 2i

t bull - t ~ J f q

ORIGINAL bull MODIFICATION OF GRANT

1 2 Effective Date

Araendllent Ro 4 12-2-80

s CRANTEE CHace and Addrels) Professor Ger1ard Lo~middot enbelg Comparative Legislative Research Deartment of Political Science The Lnivp-rsity of Iowa Iowa City Io~a 52240

7 PIO No NI A

Appropriation No 72-11XHl26

Center

Allotment Symbol -426-30-099-00-3~-71 Amount obligated by this urendment-O- I

3 Gnnt No

AIDcsd-3294

PAGE _____ 1 _of-L

AlI 4 Effective Date

8-11-71

~ Admlnlltered by -Office of Contract Management Central Operations Division OTR Branch Agency for International Development Washington DC 20523

8 Previous PIOITs -

931-11-995-136 930-11-995-136-73-3078103

9 The above numbered Grant is hereby modified as follows

Supplement to Grant

Change the duration period sentence to read

The Duration Period for this Grant shall be August 11 1971 through December 31 198]

1 Amount obligated prior to this amendment $465000 2 A~unt obligated by this amendment -0-3 Total obligated amount (1amp2) $465000

----------------_- - ------- ----_- ------ 10 Thh lImcndmcnt is entered inlo punuant to the authority of the Foreign

~ Assistance Act of 1961 86 amended Except a~ h~reln Z II provided all terms and condi tions nf the grant referenced in Block 3 remain ~~aunchlinged and In fu1l force and effNt cnltUI cJ)za 11 o 4 J bull

Et~ ai~a gtUoItshyc Z P=u

original and six Grantee t requi red to sign this document and return 1- eopies to 1Bufng

office

~ 12 GRANTEE TES OF AMERI CA

(Name typed or printed) bull

TJlle Director Comparative Legislative liecearell CeQtoQl

Date 12880

------------------------------------

ONAL DEVELOPMENT

By ----~--~~~~---------------------

prinled)

Grant Officer Title --------------------------------

J)oll( 12-2-80 -----------------------------

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FROPO~AL FeR SUIORT IiiliZR TI~

INSTITlJTIOXAIJ C1PlfTS POGRAlmiddotl

Neue of Applica1t state University of Iowa

Date of Application 1ay 25 1971

~itle Comparativ~ Legislative Studies

D~ration 5 years from date or grrurt

futlOtllt of the Grant $2t5COO

SUJ1VARY

The UriversHy cf ICmiddotia propcses middotlit~ stpport f~om the Agency for Inten2aticlal Dcmiddot-eloprent -io enlw_nce its ccpacity in t1C field of COlpCilative lieislative studies lIith ia area emphasis on Africa a1Co Aja Tb~ Ulversity of IC1-a ltiill lse gr~nt fu1ds to carry out s tu-iies of l-gslatures in celatim to political ei sccial developrrr2t develop 91 archive of data on legislative liEtedals exp_1d a1d iiprcve cu-ricula in this field of study and ting tmiddot) tne Uni-ersity guest professo-s uld scholals frol LDCs ~lti ot18r US intituticns to enlch the prcgral at IOwa Tbe University of IOia has sprcial cCtetence in social science res~arch met~odologr cOipaatiye stui~1 of legislative behavior and tee dev~lop~ent of ~ultifactored data sets Building u~cn this ccmpetence the Unverity of ICa will use gr2Ilt funds to develop comparable neas~res of cross-countr3 ~~d historical data on legislative develo~~ent initiat~ stUdies of traditional factors a~d salience o~ legislative instituticns and expand and i~ro~e upon naterial for teaching at IOia through estab1isling collaborative research arrangements with relevant scholars in the US and overseas

_lis propoal is one of three closely coordinated gra1lt proposals frcm the University of Icmiddot3 Duke Uniie-sity and the UniYcrsity of Ha~ii The University of Iowa iill participate as a member of an Inter-Universitf Advisor Co45rittee which -Till plan s~~osia pro~ote publicatic~ of resea~ch results avoid duplication of effort arronz the three gr~~t~e instit~tions and facilitate exchang~ o~ students and faculty Tit) fo-eign msti tution hen desirable

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of a special cot~~e il -~Ze subdiscilin~ of ccparative legislative

stl~esOlcig 1- 2s emiddottensiVe Cc~a arhives These stucies hill

lock a ~te crei-re 3G~i~1 ad eccror5c bac~6rt)Q1d cf legislators

perrcrra1ce 1 this -gac f1Q their clltthr~ place middot ithin the goverl-

Itental ltL~middotmiddot~)O v_LA __ alli Africa ~middotot~ld ce the nioerJ geogilpbic areas

of fcc2s ~~lt -C~ ellsi-ely Disciplinary phass middot-iould bmiddot in

ftlnction

rC-e ri~~sit dill ccrcertrate cn legislative influence 1 relation

to s~ecific c~-middotc lc=s~ ~ ~ ~oclens as Eel elt2ple umiddotC 9L1izltion population

Its geographic focus

plic~i s~ciolog Ct~olics

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Te iiersity of aiiaii xill build upon its edsting geoganic

focus on Asia and integate a progra of legislative studies middotdthb its

cc~~t~J ard area s~eci~lizaticn prcgra~s Korea Indonesia ~d Thail~~d

are prcnir~ent aleas in Ea- -aii r S gtrcgt1 alcng ~ith cc-palative ~ ork i~

the Pacific Islads Studi-=s by Halaii ~-ill for exaple compare the

legislative roles in econosicelly slcce~sful cO-L1tries iiitb thei roles

in countries ilitb lesser econcmic gro~-rth It ~middotrill conversely compare

economic i~~ications of cotntdes cr elatively strog wit those of

celatiyely veak legislative systems Emaiis approach would be

intercisciplinary to includ~ political science and bistory plus a streng

III middotnior ~noes ale Activities

1is ga1t is to aCieve t~o pucpcses 1) the en11aLcenert at the

Univesity of Io- middota cf institu~ional capacities for ~~i1ls releya~t to

t~e couparaiive study of legislative orga1izaticn ftnction ald

de~ent as these relate to tle process of ~ocietel moden7ationshy

ceyelop-e~ ad 2) the gele~ation and collation of a bcdy of priJciples

that ca be utilized cy AIu in poliCJ decisions that relate to

re~uests for tec~middotal SlppOt of letislstive institutions in fadlitating

developler~t These biO puposes ca] be s8z-ved ily pursuing the fclloflirg

specific activities

l Training d0mestic 8ld for-eign students in the design and

eXecuticn ot syztcr3tic re6=ar(O en ~he v8--ying Tole that legislatures

pJa~r in the roc~ss of ~detuiaticn-ieve] 0plcn The results cf their

021

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2 Incr~asilg the e-istirg skills e1d redirecting the interests

of dc~estic ~i foreign sc~olars to the comparative leg~slative field

rne Univer3i ty 0 I01[ generally ~rill be erric~ed by t1e presel1ce of

these scholars a1d its ccr~arative leBislative prcgraIl in particular

~middotTill be ennalced by the nemiddott kl1o~ledge that is generated

3 Cooperating id th a11Q other-ilisc facili teting the ork of scbolars

of less developed cOll1tries in rultidisciplinary ark at the Univeisit~r

of Imla en the rcle 0 legislatures in the charlcter of regire legitimacy

as -ell as on re developCent cf a cetralized data bmli at Io a asse~blilg

raterials on legislatures a1d develoent tre logic behind the bank

a1d tile techniques related to its use

4 Diffu~ing relevant ~et~odological ~1d ccrc~ptual teals in less

deelo~ed cOlUltries through the loove enrichent and redirection of

indiviQual~ and t~e ~evelcp~ent of the data b~k) thereby =ultiplying

bott ihe qumity cud quali-vY of the researcl~ frcm which existing

curricula at Io~middotw can be expanded and re curricJla dtveloped

5 Increasing the size of tJe imrld~ide pool of professional ad

expert consujtants ~lalable r-ot only to IO~il Du-e 81Q Hawaii to dra-t

en but also to AID in the pursuit of sev~ral aspects of its

6 Creating nullgli th~ p~ogral at the Univers~ty of IOa the

substance of a stbJisciplire and in cooperation odth similar prograos

at other ~imiddotelsities 811 organizatic1al Gtlucttltre ~nt ca ~vbilize

continuine i1t~-rtiorr1 intrest i1 a11d sapmt fron orgaiations

interested il deveJopr-ent

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itl Suppor- f~ctl this Grat tre University of lei-Ilt ~dll cO1centrate

e1 fclts in this prcge~ en legislative behavier variables tat telp

e91aL ~hee specific 3sten cha~a~teristics 1) the scpe of olitics

2) e style IJf goverQent ~tnd 3) the legitirlacy of the regine For

tis l)1lpcse te gtrcglam -rill ex~e releva1t coparative factors il

a lage nlt=~er O~~ African and Asian legislative institttions The

Univcsity of lO~middotIa ~lill also uldertslte the study of these legislatures

at -a~iClS cLts in tire This ~lould gtequie the use of time series

cat t1G historical SClrces not cctl9arable to contempOral7f sou=-ces of

Fe each of te legislatures included for study Ima -iill seek to

a1al~ze suc] cbractelistics of t~e legislative systen as 1) the

atricutes cf ecers--te process of their recruitment their so~inl

~c cccupalonal backgro-lI1ds their politically relevant srills their

role c~ie1lttio1s inclcirg ht~ir concept of represeILtation and the

pe~pound~ge 1~r5th 0- tente in tbe Ipgislat~re 2) t~1e distribution of

the f0~al 211 inforl rales of 2ocedure the leadersnip groups the

cr-osi tio1 and role 01 legisl3tire staffs a1d the kinds and freqlelClJ

of legisative sessic~s 3) the ~utputs of the instituticn--the agenda

of issues tre modes c- cotenticn el1d the qU11titr and kinds Jf

decisions

)middotemiddoter llllike studies of ~hese fctors in the past Imla is

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The for~Ietic1 0 tneol-y lO this coarative 8seerch of

Tiiill ~erdt equivalent cmiddotoss-sy-ste~ ~easuelents are 8O1g te r6st

irpctant aSgects of tle prcject It r2y be one of the ~c-st valuable

esllts of Io~a I s efforts ad ~dil reCuire close collGbor-tion arong

t~e pa~ticipents bull

p_ Cc=-arative Legislative Research Archive

lltOle a subsb Tltial aolIlt of legislatie data has been collected

in a1j- different cOL1tri8s very little of this iateriul is cOJarativE

1middot-s of it has teen collected by individual reseachers on e single

CQl~ty Cc~adson in legislative research is thus difficult because

=2 01 r3j cClalties are ot available at a sirgle location in s sLgle

is a clear ~eed for the ce~t~alizGd acq~sition ~ or ~ne

available data to per t the forulaticn and compGrative testlg of

~eorics aoc~t le8islativ~ behavior As a major part of this program

te Uive3ity of 1mmiddote 9poundlS to establish a data arch-e to begir to

big te existing legislative sttiies tcgetber at a sirgle location end

to ~-ke ~i~er ~ccessible +0 the grm-ing 1unoer of irterested scbolals in

Once J~1ese data have O~en brOght tcgether tney will contribute to

-~ pogram t IO~middotia in -I~middotiO -poimiddottant ~middoteys First the dats -Till be

utEized in traLig graduate stud2nts T1e rea13lysis of d~ta to test

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faculty at the University of Imllt1 and from omiddotrerseJs tlitbout slch an

acbival base those dtdies Ylould be ver lil1ited in the hypotheses

ter could test The quali ty of this re search eqerience fill be

(o1siderably enha1ced by the aVJilability or data for co~arison dth

t~e data generated thlcugh the ccllaGorative research sponsored by the

traini~g progca~

Once gathered a~d refo~tted the data ~~ll be ~ade available to

sc~olars students al1d other interested persons outside of tre University

of Io ra P(r exa-nple appropriate data sets would be available to other

llsti utions tat pre ccoperating in t~is program ie Ha-waii Clla De

~ese could tten be used in curriculul developent at tbose schools as

middotell as Ll the pre-grar at the UJiversity of Imre Finally data could be

aie available to i1di-idlal sc~olars and institutions overseas for use

1 teir research a~d trailing progrems The cUIlulatiie effect of this

disse~lilation and staring of data ~i11 be an enrichme~t of research an

Llcreased flO-I of ne data to the Uriversity of Iewa I3Jld a greatly

ena1ced ability at Iowa to aalyze legislative behavior a--d defelopnent

f 1ssociates

The University of Iowa d31 involve as Associates individual US

arc ~ereign Rcolars fro~l other instibticns in some instances fOl

cc-ivities at Iovll in others as recipents of support Oi research and

oter aciivities middothich coqlement cnd emic1 the program at o a These

Associa-es rill be involved in such activities as ser-lfing es University

of IOim g-uest professors 5~St lecturers 1d visiting faculty

lticipel1~s L ccnfiences and s~riosia and as collatJoratiEg 2search

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cevelcged c~lt-ies Smiddot~yemiddotl such projects core already uoer ~middotay

and 3y potetial ss~cetes ~ave been identified and thei ilterest~

211 gtarticipeting i1 t~e ~Cglar1 ascertained

He -resc1t ge~sc-~el a1d acilities of the University of Iomiddotro

plcvice a very st-cre basis for the research atJd training programs

~rnich ~middote a~ ~rc9~3L1g -fmever the further development cf legislative

suCie3 ali a pec~ent streugthenLlg of ~he progrun of Iomiddot ~ is a major

a oes3icral Demiddotmiddotelc~ Galt fur~ds will be uSed by the

LT~iersit2 c la= ~ icreasing te nUbe of faculty specialists in

cClJses ir sjcts elated to the subject atter Specificallr grant

fuimiddotis dll ce usee to ac3 one pernanent faculty Uemoer in roliGical

scienc~ ~middotit s~ecia iltcests b legislaive beh3vior ald political

dloYl-nt a-o 81 a29 cmiddot-petence in Ardcan pclitics and to bring

(lculy -emiddote-s fro less ceveloed countries to spend a peri cd of time

at the TJ1 i si ty o~ Io~middot adine sechtl expertise to the ~od~ at Iowa

other middotisosel -~ i_ le irol1ght to IC~ia as needed to support those nO~T

or --18 fc~~ti r~lt 7ds ~rill also be ilsed to finance data collection

exlts-s ~) t~-e res~imiddotch iork of tte acult the Associate scholars

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cesigned tgt trrtin US and foreign-born st1lcents in le6islati-~e rese=z-cndeg

Sttde1fs ~dll be tdTi tted cr11ally to 9 proeragt iihicn ~iould irclude a

tro~ot~h grounding in the r thods of cczparative aralysis the S1ostance

of conparatie politis g-mel31ly end the corrparative studJP of

legislative behavior in 9articulal The Uni-ersity intends to associate

tnese studelts directlr - rith research in Ttlhich faultr 2Cbers are

engaged to encourage thea to dra- U90n the skills end resources available

in this field il ra1Y departnents of the University to enable them to

spend up to one year in field research and to have thel4 snare their

findings middotrih their stmiddottidei~t and faculty colleagues Tle prograII will also

involve foreign scholars middotno are expert in the legislative process of

t3ir o- n countries in the tcaciing fgtimiddotogren both by holding -fisHing

a=point~elts at t-e University of Ioc1d by sUgervisi~g field research

c R d - t- ~ 1 rec C~ of Esta~lis~ed Scholars Tne University of Io~~

plals to extend a1 in-itaticn to seieal foreign scholars duri1g te

gle1t p2riod to patici~te in a coparative legislative researc~ seirar

duriig their visit Their plrticipat~ion middotrill edd 3 lL1iqte diiensicn to

the seiiral hceuse cf theh ~1o~-rlecge of the legislature in their own

C01-try BCmiddot2~ J1is Gemilr -ill be dealing -lith the nos-G current

reseaCIJ o~ l0~ ~ltmiddotJres as ell as discussine desigs for reseach to

fill in cowleuge of legis1timiddotre 1ehclicr -re believe

tret it ill be a l2~lilg experience for all the pclticira1ts--incltcing

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Ima rill lOrk collcboratively ~ith the fOrsig1 5cbolars to design a1d

carry out P reseach pruject These projects Till cc~tribute to the

retlaininB of foreign scholars and nill also add to cur mmiddotm and8rstanding

d Research The 9rinciplI enphases in cesenrcl rere cutlined in

Section III above ie to focus en con-9arative studies in iihich

legislative cehaviol can be helpful in explaining the scope of politics

the style of governcent a1d the legitinacl of regiles Variables hich

will be studied Iost closel~r ircluue tbe persistence of institutional

norms in the legislature oyer time the relationship o~ the legislatue

to ether institutions in fornirg public CC1Cepticns of politics and

the histOl~ical context detelini1g public expectations of the 12risleture

This resea~ch nag both academic and practical objectives

Academically it promises to tie legislative behavior research to other

major concerns L1 pcliti~al science such as research on systeJ stability

and paricrJance Its general substaltive eojective is to assess the role

wtlichlegislatures Illay L1 determining the capability of political

s~lstems especially their ability to deal ~middotith soCial change

Vractically the stu1y ~y offer guidance to polic~Y-Dakers on

t~1e role ~ hich legislatures rray be ~lI-pected to pIa)- in neimiddotrly established

political systelt ald on ~hc efcrrrs in established legislatur~s -Thicn

rray be required to achieve specific syste~ effe~ts The study ~dll

Nquire the assccioticn of rembers of legislative staffs a1d 2cademic

colleagues in the s~eLal nations lmder nvestigRotiop plovidirg training

fot ~ll r)f them i1 leeis1ntive re3Clrch ~ri facilitating a valuble

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of Iml3 ~ill LS~ glmiddot~t f~ds t~ estaolish a data archive to begin to

bring tb~ edtirg legi31ati--re studies tog3tller at a single locaticn

end to =afe t~e ac~essible to tie grc~ring m~er of interested

scholars in t~i3 field PerSCIlllel of tbe Data Archive ~rill searcD

broadly fo all a-reilable data on legislatures in the possession of

ildiviiual researc~rs i11ese data sets ~-Till be acquired refo~atted

for ease in alelrsis a1d stored in Archive Tne Archive ~~ll

asserble tie etel~ Gata O legislative organization ald procedure the

socialization ~~ recruite~t of lzgislators legislative decision-

makLg pccesses 2d legislative outputs To facilitate access to

the data a ~middote-riemiddotrlt11 syste middoti111 be cesigned that will 2011001 r-=searchers

to find ~iccJ ata sets that c~mt2in inforration lelefalt to their

researc1 po)2e5 RibEcg-aphic citation3 cnd abstracts of research

reports on le~i51e-imiddote oebio ~~ill be gathered and a biblicgraphic

retrieval sys tC idll a Geielc9d to aid esealcJers

cooioinet-e1 ~~as n -ie are= of c~rarativa legislatile studies is

t~3t because 0 si~~e iJS in~ti tuticn ias tce necessarJ expertise

of ccrparati ve

1-=gislatiY2 tcie3 8forts of the most conrpeteat ace interested

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oz~ the tr)middote grantee institutions and otter associated scholars It

~ill ayise t~e pa1tee i1stituticns on SllC catte-s as roritorirg

activities at the t~re~ unive~sities~ evalu~ting rese~rch frr possible

=middotclication sJ--sidies rld ether ratters related to infor~atioTI

disse~~ation coordinating research efforts to avoid duplication

ecilitating excha1ges d sttde~ts ad faculty members ~-iitb foreign

nsti tutions i~en desirable tryi1g to till lacunae in cLIricu lUn

helJilg to arralge cmferelces and sy-posia and generally trJing to

9cote te ~eielcp~2nt of cOlparatile legislative stucies as a

Gra1t L~HS idll be ~sed to support the Univ2rsity of Io -a IS

nrticipation in tre AdisorJ Co-i ttee t1e developrrErt of conferenc=s

elsEfhere il the US arHl over3eas i1 relat2d facets of leeislaive sttdies

Edstng iersonJ~l al~d fa-ilities at the University o= 1oa previde

iaculty facliiies to aid rC3emc~ trailg aPd skill in 21c~ivaJ middotork

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Six ITe-bers of t1e faculty of the Departent of Political Science

at the Unhe ity of Im-ia are presently engaged in legislative research

To merbers ot the Departllent of History are engaged in research on the

British Parlia~ent L~ the eighteenth ~~d nineteenth centuries Fer the

past six years an adv~~ced se~inar has been offered by ~embers of the

Department of Political Science and the Department of Histo~J on

comparative legislative behavior This exte1sive collaboration iiill

ma~e it possible to develop a fully inter-disciplinary program for the

students ~~d visiting faculty In addition faculty ~emcers in

Scciology interested in organizatien theory and in the College of Law

interested in legislctive processes provide furtber e-pertise ava_ilable

to students interested in tee study of legislative behavior The

presence of these specialists on th~ facult~r is reflected in the

excensive librarJ al1d otler data resources existing at Iowa in this

field

The Uniersity of Ima offers an unusually extensive program of

trainL~g in research methods Four ~e~bers of t~e Department of Politi~al

~cie1ce teach in the field of research nethods Courses jn statistics

ca1 be taken ill the Dep~rtents 01 Sociology e-d Educational Psycholcgy

Llis prcgr6l provides a verJ solid grounding il research training and

data analysis

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e ~

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Y labCrato~y for olitical Pesearch is the reseacc1 md research

tlairirg facility of the Departe1t of Political Sci-lce Gcadvate

students receivo extensive res~arch experience through 1or~ing in the

La oratory bull The Lacoratoy is also a1 integral part of the trainirg

o~feed in ccurs~ T~middotO~ for graduate students

The full-time sta~f of the laboratory includes a director an

assistant director a t-=cl1ical cirector a supervisor of study

t1hteen graduat~ students - rf1rk in te Laboratoy receivLLg teining i~1

~a~a collecticn ~~i data e~alysis Tbe facili te5 of the La)oratorltJ

icluoe a oard eJcerline printer ccnnected to the U1iversitys

dis~ and tape storF-ze for d~ta

The pogral of trailing ia coparative legislative reseC_cch ~ill

relr heavily en t LaOerltcLJ- for taching graduate stucents Visi tine

fc111tr lYe~bes iill be able to utilize tbe facilities cf the Laboratory

gt IOra ~as sFcial ccrpetence in prOCed~les for

ccq ter ogagtlizetion of d~ta Ja1ks ~d fOi the p~ocGssing of large data

sets as well as iJ the sttdy of naticnsl end st~te legisltllres Tile

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Ile Univelsity of 10Ira will eadnister- the Grant thJotg~ its normal

a)1 iristrative char-l1els ad i1 Eccordance imiddotlith its ncrTal olicies and

operatirg procedures 7he Director of the gr~l1t-s~~ported program

Hill be a senior faculty eriOer of the Gniyecsity of IO~-ia -with extensive

expe~ie~ce in the subject field Associate Directors w~tb similar

qtalifications -aill also be appointed 7he Director- and Associate

Directors ~dll serve as eibers of t~e Inter-University Advisory CC1gtr)ttee

established to cooidinate _u bullbull ID gra1t-stpported programs at IOia Dul(e

lniversity a1d the University of Ha- aii Ll1 this field These relatiol-

ships are i~dicated in tee follc~dng a~inistrative organization chart

IX Ul~vsity Ccntri1uticn

T1~ ~h-ersity of IQ(a aSSures ALD that this Grant middotiill not

replace existing ftnds for STr current activity and imiddotrill be additive

to existing prograrrs of tCe lJniversity In direct sp~ort of this

Grat ttc University ~ill provide a) Acmi1istratile costs including

tie of senior officers of ttlt University b) Office ~ld research space

ald library and cor-puttr facilities c) Provision of a1cillamiddotCjr 1niversity

personnel -or consultation o~ ~middotjQrk nth the progral

X Reports end 5evie~-Ts

There i-ill be sub~itt-=i al arnual t2ctnical report for the purpose

of AID s revie- of activities under te Gant Tnis idLl include

a11 e-llation of prcsr~ss aidnistratve ar_c fiar~cial corsicer~tior~s

p~s cr tr foJlJ-middotire ear ~i disctlssics of the ossible l~lizaticn

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~

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A~~inistrative O~ganization

Ice Board of Regents of tle State of Im-la

-Iesicent of the University I

1 rOfcst Jf t-3 University

Den College of Liberal Arts

r Chailan DcptiEt of olitical ScieJce

Inter-G~iversity

Acisorr Corcittee

PcgrG21 Director Associate Progra~ Directors

Liaison Arcrge~~nts d ~h I I~~erested Plcfessiona1 I Perso~el j

I _

I 5cu1ti (full or PmiddotLG-tire l Asscci~tes a1d otllei non-Io~il

3ecip5ents of Gr3-1t stPPC1t Gr~cue~~e S t1~lcnts St2~retQi~S1 Data Lbed~1 31

Ln 18 r1icia 1

LO1t c~lce Factcj~1 ts

BEST AVAILABLE DOCUMENT ( ( V-t

- 17 -

of te eo17i~g cCpterce br A I D rLld ethers In addi tion there

aS3essr~ents of the gr31t

middot l ~ lI ~ _ _ _ co~~~r~~ing ~~iversiti~s md tne rrctitoring ALD office

7re l~yersity of Ie~middot~ budget of $26500 is to be deveted to the

cemiddotelgt~e~ of lstituticnal cefete1Ce in comparotive legisl~tiye studies

~t Iomiddota c t~ the exalsi0 ot a date b~L-lt ~ hich 1fill be utilized as

a ecle for icrec3ing te scope of tbe sub-specialty

T - 1 f 1 __ middotja r S Ctdget a9roxir~tly 33- has bee allocated to a

cemiddote Lp~l t rirc ipally C actlty re leased tirre for data ccllection

ai 0 3alres f~r i~~er-ieers in field research 3d secretarial

assi5ta1ce nCt2 11- of t~e Icmiddotre oudge~ is iesignated for an

ArCE_1 A~ite s(101a~middot 2d one 0 ore scnolals froQ LDe or

s1lllrt of greluate stucents in the

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- 18 -

Finally approximately 19 of the budget will be devoted to the

proposed data bruL~ that will archive not only data generated from the

research of scholars at Iowa Duke and Hawaii but also at other US

and foreign institutions Primary and 3econdary an~ses of these

data will become an integral part of ~omparative legislative studies

curricula The ability to utilize the data bank for teaching purposes

also should have a significant impact on professional preparation ofmiddot

future legislative specialists In summary the funds will be

allocated to research teaching and training activities tha~ are

entirely conson~~t with the philosophy underlying the utilization of

2ll(d) grants to achieve institutional development

Conclusion

The University of Iowa regards the research and teacbing components

of this program to be closely related an1 zrutually reinforcing The

University of Iowa offers a strong base for the pro~ram because of the

interests of faculty members here now because of their contacts with

scholars in this field in other Americ~~ and foreign universities

because of their experience with the international exchange of faculty

and because of the distinctive data gathering and processing facilities

available in our Laborator~- for Political Research The program which

we have formulated is designed not only to accomplish specific

research and teaching objectives but to contribute to the long-term

development of the University of Iowa in an area in which it has already

exhibited special interest

BEST AVAILABLE DOCUMENT

~ I) - 0

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The program on Comparative Legislative Studies with support from

this Grant rill develop the capacity at the University of Iowa to

provide assistance under separate financing arrangements to developing

countries in a number of ways and through a varieiy of channels This

assistance which would be arranged for end negotiated separate~ from

this Grant may be in the form of technical assistance advisory service

training research and information exchange etc It will be available

by mutual agreement to appropriate agencies national and international

public private a~d mixed and directly to the less developed countries

Most especially this added special competence will inevitably become

incorporated through the processes of scholarship and education into

the competence of US and foreign scholars and institutions concerned

with this topic of great significance to the developing and the more

highly developed countries alike

BUDGET SUMMARY

UNIVERSITY OF IOWA

Salaries

Graduate Student Stipends

Fringe Benefits

Travel

Equipment and Services

Other

TOTAL

$173090

32400

19209

13800

6501

20000

$265000

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(C

Dr Willa~d l Boyd Presicient University of Ima iowa City Iowa 52242

Dear Dr Boyd

4 AUG 1977

amp

FIJNDS AVAnASLe CpoundNrftAamp sEIMCEs DMsON

AUG11 ~n te t6417 ~77

Subject bull Supplsectferit-tJF-G~middotNomiddot~middot AIOcsd-3294

t middot-rrPJ1 3

I am pleased to inform you that pursuant to th~ auth~rity contained in

S-cction 211 (d) ooC the Foreign Assistance Act of 1961 as amended a sup

plemental grant in the amount of $200000 is h~reby r~de to University

of rCi1a These supplement]l grant funds areprolided to support the

activities which are described in your Proposal dated May 6 1977 for

the implementation of your program entitled Political Conditions for i

Effective Small-Scale Rural Assistant Projects

---This sup~lemental grant is mace to University of Iowa en condition that

yo~r institution shall administer the funas provided under this Grant fn

accordance lith your r~ay 6 197 proposal (including Budget SUmlilary) and

the Standard Provisions (as incorporated by Amendment No 1) which have

been agreed to by your instit1ltion Ti) the extent of an inconsistency

between the Proposal and the Standard Provisions and any otherprovisfons

which ar~ made a part of thi5 Giant by reference or other~iSe the Sta~d~

ard Provisions shall control

The new Duration Period for this Grant shall beAugust 11 1971 through

August 10 1979

The total amount of funds obligated under the grant is increased to reflect

a new total oblgated amount of $465000

Please sign the Statement of Assurance or Compliance ana the origfnal -

and seven (7) copies of this letter to acknowledge your understanding of

the conditions under which these funds have been granted Please return

the Statement of Assurance of Compliance and the original and six (6)

copies of this supplemental Grant to the Office of Contract Management

Attachment May 6 1977 Proposal and Budget SUfiT1a ry

UNIVERSITY OF IOWA

Roberw bull OBrien fficer

Ce al Operations Division Office of Contract Management

AC~E~E~C--_ 0 BYpoundk~~ cH

D C ~lpoundSTtR5BA T ITL E ( PfeampoidPilt for

tee ment amp Research DATE 9-22 -77 (d~ ~~Bduate Ctl~1e~e

BES i AvAILdLt UOCLJMU~ I

211(d) Grant Program

Proposal of the University of Iowa

POLITICAL CONDITIO~S FOR EFFECTIVE SMALL-SCALE

RURAL ASSISTA~CE PROJECTS

Submitt~Ci to

Civic Participation Division AID

May 6 1977

Amount requeste~ $ 199987

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I TdE DEVEIOP~T PROBr~

P~litical Conditions for Rural Development

The Cocparative Legislative R~search Center of the University of

Iowa proposes to ~~dartake a two-year study to investigate the role of local

leaders and the rural public in theimplecentation of small-scale develop~ent

1 projects in less developed countries The study will use and extend the

capacity ~hich the University of Iowa developed under a 211(d) grant to

investigate and assess the impact of loeal politics on rural development

~t the co~pletion of the s~ Iowa will be in aposition to advise the

Agency on the design ~nd evaluation of s~ll-scale projects which will be

politically viabe a~d effective in ass~sting the rural poor ~

As students of development w~ approach our task with the assumption

that the proble~ of development and underdevelopment are funda~entally

ones of political econooy and a~ such can only be solved through a

simultaneous considerationof economic and political factors Efforts

which foc~s aloost solely on economic factors like those of ma~y

organizations engzed in dipersing foreign aid or efforts which focus

almost exclasively on political factors fail to take account of the

interdependence between these two dimensions of underdevelopment and

lwe have for~ulated this proposal in a canner consistent witr the cu~rent policies ard interests of the Agency We have been guided in our tsk by four Age~cy doc~e~ts Impleo~~tation of New Directions in Developnent Assista~c~~~ ~eport to the COmlittee on International Relations on Ilupleoenshytatiun of Legislative Refo~ in the Foreign Assistance Act of 1973 (July 1975) rItevis~d Projec Developiel Review and Approval Systeo (A I DL Circular A-21 Aril 23 1975) SH Butterfield Draft SUIilZ3ry StateUlent of a Practical Agelcy Approach c aural Devalopilelt (AATA February 28 1975) Cicci A Coce~ual Oie=viamiddot middot Rural Development No1 (lWorilting GOU O~ tha Rural Poor February 1975)

- l -

can meec with only l~ted success

Our concern with the i=pact of local politics on the process of

rural developcent is a result of our interest in the basic question of

how LDC governm~nts and the donor agencies which assist them can

become core effective in raising the standard of living of the rural

poor We seek answers to the following aspects of that basic question

1) What political conditions must exist both within rural communities

and between theo and central gove~ents to raise agricultural production

w~ere small-scale agriculture is the do~nant pattern 2) Vnat are the

political conditions for a core rapid expansion of the informal manufacturing

and service sector cocprised of labor intensive small-scale industries

located in the rural ar s 3) What political structures and activities

are mase crucial for the provision of welfare and econocic supporc services--

such as agricultural exeension mar~eting and transportation--to the rural

areas1 4) ~~at Folitical conditions oust exist to insure that economic

growth in the rural areas is not accowpanied by excessive and intolerable

inequalities between socio-economic classes andor between regions1

Center-Periphery Linkage in LDCs

To deter~ne the political conditions for rural development we have

in previo~s s~udies exacined the institutions and processes through which

rural populaticns are integrated i1to the national politi-cal systetlS of

middot~he countries in which they live A gap exis~s in most less developed

countries bet~een the peasantry residing on the periphery and the c~~tral

political ~stiutions staffe1 by ~~estern-educated bureaucratic elite

We are aware of the other major ~sti~utional discontinuities which comprise

J

4 middot~~1 the basic cleavage between the developed and underdewmiddoteloped sectors of

these dual societies Bridging these gaps is essential if these so~ieties ~ are to develop into viable nation states For until those Q~ the periphery

of the poli~ical syste~ participate in that system and support and comply

with the authority of central political institutions neither economic

development in ~he rural areas nor a stable polity will emerge

Bridging the discontinuities in these new political systems requires

establishing and institutionalizin3middot1inkages or networks for co~unication

and exchange of resources between decision-makers at the center and the

rural public on the periphery Three types of institutional linkages are

most prominent in less developed countries 1) those conSisting of the

state administration composed of the bureaucratice1ite 2) those consisting

of a revolutioncry political party cocposed of the ideological elite

3) and those conSisting of patron-client hierarchies composed of the political

entrepreneurial elite

Of these three linkages consisting of the state administration are

the cst extensive and pervasive in virtua~ly every LOC Such linkages

however exist primarily a~ instruwents of the center to penetrate the

periphery Central government officials are formally charged with bringing

develo~ent to the people This is a ~issi~n which conceives development

as a process ~hrough which a traditional peasantry is transformed and

assimilated iJro the DOdern center which is steadily expanding to embrace

it Agents of the center invariably have more resources to achieve their

objectives than do local political leaders but because they are frequently

strangers~ the communities in which they function they are often unable

- It -

co implement the policies of the center without working through the

local establis~ent

Though somctices significant linkages consist~g of revolutionary

party organizati~ns such as those found in China and Vietnam do not exist -

in most IDCs beca1Se of the special historical and e~omic conditions

required for their development As wi~h the administrative state however

the linkaampe apparatus of such political patties is prUlarily an instrument

of the center whose mission is to penetrate and mobilize those onthe

periphery

In contrast patron-client hierarchies are linkages which represent

the periphery at the center and mediate betwee~ these two disparate

sectors of the political systec Thcugh norcallymiddotovershadowed in scale

by the state administration patron-client hierarchies are found in almost

~very LDC a~d constitute the ~st significant network through which rural i

populations and their leaders influence the decision-~king process at

the center Patron-client hierarchies exist in a wide variety of org~iza-

tional fores ranging from info~ ~ec~~rks of individual olitical leaders

in uno-partyll systelS in S~b-SaharaI4 Africa to extensive political machines

in both one-p~rty (Africa Mexico) and ~u1ti-party systems (Turkey India)

Despite their importance as the pricary means through which peasants in

LDCs particiate in their political systems patron-client hi~rarchies

have only recently become an object of analysis by students of political

developent and do not appear in even the most sophisticated studies of

2 See Jo~ Dunca owell Peasant Socie~y and Clientelist Politics Aerican Politi~ Scielce Revietol 64 (June 1970) pp 411-25 Rene Lemarchand anc_ Keith Legg olitical ClienteliSJ and Ethnicity in Tropical Africa Aierican Political Sc~ecce ReView 66 (Y~rch 1972) pp 68-90 James C Scott PatronshyClient Politics a~d Political Change II 1tlerican Political Science Revie~ 66 (~arch 1972) p 91-113 and Friends Followers and Factiols bull edited by Steffan Sc~~d and James C Scott (Berkeley UniverSity of California Press 1977) bull

- 5 -

3 economic development Ad~niscrators of developmental assistance progracs

have too often regarded patron-clienc hierarchies as ~ped~ents to

develop~ent instead of recognizing cheir potential utility bull

~ Findings on Patron-Client Hierar~hies --

The importance of pat~on-clienc hierarchies for linking the periphery

to the center is one of the major findings ~erging from a study of the

relationships betueen l~gislators an~ their constituents in Kenya Korea

and Turkey ~hich the Cowparative Legislative Research Centpr is nov

comleting uader its 21l(d) grant from AID This study has av~mined the

creation of linkages between the periphery and the center through ~ore

than lO~OOO interviews with members of parl~ent local leaders and

peasants in t~e three countries The findings are being systewatically

set out in a book-length monograph Nearly a dozen research reports have -

uready appeared (see Appendix C) ipropositions about the nature of

political behavior of rural populations an~ the roles of local political

elites de=ived from the research~ can be s~rized as follows

1 Elected representa~ives play a significant role in the creation and mainte~ance of linkages be~een the center and periphery by developing local political achines in which they function as patrons of their constituents In turn thay s~rve as clients of political leaders of national stature who control central government institutions

2 By atte~pting to establish linkages based on patron-client relatio~shi~s elect~d representatives are responding to public expectations chat their prizary duy is to obtain resources from the center to proffiote local develop~ent ~iany elected repLesentatives spend most of their time on self-help co==unity development projects such 3S the building of schools health clinics irrigation works arid roads because such projects provide

3For exa~le ~ a widely respec~ed a~d useful analysis of rural deve16p~ent in Sub-Sahara~ Africa L~ Lele of the World Bank notes the problems of creating an adoini5~raive infrastructure in the rural areas that is sensitive to local socio-oliical conditions She does not however consider how local leaders operating o~tside of adcinistrative structures ~ night contribute to the developne~t 0 the rural areas See ~~ Lele ~ Design ~ Rural Develop~ent Lessons ~ Africa (Balt~re The Johns HopkiD~ Uciversity Press 1975) r) pp 127-61 i ~

- 6 -

their const~tuents with desired se~ices ~~d a= the sa~e time provide the reresentatives with an orgacization Yhicn can be used as a political base

3 l-tore than 90 perCel1t of the rural population is capable of articulating the p~oblems facing their local co~~ity and two-thirds discuss th~e proble~ w~th their fellow citizens on a regular basis

4 Three-q~rters of the residents of the rural areas can identify the public ofpoundici~s who serve thec--both civil servants and elected represcrtatives--by na~e Most are knowledgeable about the activities of these officials Alcost one-fifth coreover have discussed co~~~ity probl~ ~ith these officials particularly those working at the grassshyroots level Residents of rural villages actually have a higher level of political knowledge than their counterparts in the towns

5 Elections in the rural areas evoke a highly rational attern of voti~g despite the effects of ascriptive or traditional co~siderations Inc~ens are pri~rily evaluated in terms of their record in fulfilling the public r S elpectations of what they should do Elections are essentially referenda on inc~entsr perfo~ce especially their perforwance in the area of constituency servi~es such as bringing development projects to the districts bull

6 Local developcent projects have a relatively high s~olic value generating conscitutency support for local leaders and the central government at low cost

7 These projects help huild a local political infra-structure which can also be utilizec by central govern~nt civil servants to implement other policies designed to achieve rural develop~ent bull

The Icpac~ of Local Politics on Rural Projects

Having explored the developtent of linkages through which the periphery

is represented at che ~enter and through which the periphe~ attemp~s to

share in the ceners resources we now propose to build upon our initial

investigations by e~ing in greater detail the impact of local political

conditions on specific problecs of rural develop~ent We propose to

exacine the develop~ental activities of local leaders ~nd the rural public

by eX2~Ding a saple ot fifteen to twenty smalL~scale developwent projects

in each of ~he three countries which constituted the sites for our initial

8ESI AVAILABLE DOCUMENT 1 ~ - of

- 7 -

study of center-perhiphary relations The appropriateaess of this approach

and the ~ethodology through which it will be ip~emented is discussed in

section II Because the ~ethodology of investigation is in large part

the result of our previous research experience we fizst turn to a revieW

of the existinQ __ ~petence of the Comparative Legislative Research Center

in this area

II GRAXTEES EXISTIXG CmET~CE

In 1971 the University of Iowa received a 211(d) grant to develop

its capacity to do research on the role of elected represent~tives in

the process of modernization On the b~sis of this grant the University

established a research center which planned and carried out a research

project on the role of elected reres~~tatives as links between the central

gove~ent and rural populations in K~ya Korea and Turkey The project -i

served to develop t~e University of Iowas research capability in this

field esa~lished ties between the University and scholars in the bost

countries and generated a large and uniqu~ body of relevant data

In that project we fo~ussed our attention on tbe activities of elected

representatives in their constituencies notably in their contacts with

local political leaders voters and civil servants To determine tbe

nature of the linkage function performed by tbe representatives we

designed our research to explore the subject from three perspectives

1) we eXaojned ~~a ~ubject at tbe grass roots by conducting a series of

sample surveys of 200 to 300 adults in each of 12 to 14 parliamentary

constituencies in each cf th~6three countries 2) we examined the subject

at the center by intervie -ing MIls from the constituencies in which we

had conducted S3mple surveys ~nd higher civil servants with whom they

had contact and 3) ~e ex~~ined the subject from an inter-~diate level

by identifying aud ~terviewing local social and political leaders in

the MPs constituencies We used survey research methods because we

were embarking on the study of an entir~ly new subject for which little

relevant docu=e~tary data existed and on which there were few secondary

sources As a result ~e have unparalleled experience with survey

research in the rural areas of less develo~ed countries

The surveys which constituted the cajor part of our field work were

planned in collaboration ~~th scholars from the host countries They were

carried out in each constituency by student interviewers in the appropriate

language ~re than 10000 respo~dents were inteDViewed for the project

Given the visibility and sensitivity of this undertaking approval for

the research was sought and obtained from the host governments prior to -i

the collec~ion of data ~o objections were raised by these governments

at any stage of the research The data obtained have been made available

to scholars i~ the host co~cries and some of the basic findings have

been published in periodicdis in these countries

The Comarative Legislative Research Center ~hich ad~nistered the

project has aisO developed extensive experience in the study of political

leadership in other countries It h3s obta~ed substantial support from

the Fo~d Foundacion and the Rockeeller Foundation has worked in

collaboration ~~h European as ~ell as Asian and African scholars and

is engaged in a ajor study of the role of elected and non-elected leaders

in the oanag~~t o~~ocial conflict Because it has conGucted research

in a variey of setlngs the Center has an ~ceptional capacity to

- 9 -

determine how the relationships be~een political institutions and

economic p=oble75 differ in develoPed and less developed countries

In the course of the major research projects the Center has administered

it has gained highly specializpd ~p-i ce iI identifying 1Olitical leaders

in a great variety of settings conducting systematic interviews with

them collaborating with scholars in the host countries and in coding

and utilizing large files of data to answer specific research questions

The Center has ~lso undertaken to publish the results of its research

in three fores It issues codebooks to the data enabling scholrrs at

other locations to use the data expeditiously i~ publishes research reports - in the form of Occasional Papers and it publishes a scholarly periodical

devoted to the presentation of research findi~gs to an inteIT~tional

audience

The Center utilizes the data ~ysis facilities of the Laboratory

for Political Research of the University of Iowa and drawS on the unusual

n~er of secialists in comparamptive politics and survey research in

~~e Lniversitys Departmen of Political S~ience The Center itself I

has the services of an administrative secretary and a clerk-typist

~intains its~o~cn extensive archives and its o~~ publications program

It is e~uipped to assist scholars and government officials outside the

t~iversity of Io~a The participants in its p~ojects are full-tioe

faculty ~e=bers ~hose undergraduate and graduate teaching is closely

related to their research As part of the teaching program the Center

has attracted students from the countries in which the research projects

have been conducted these students have participated in the projects

bull J

have obtained training in other fields of political science have received

University of Iowa degrees~ and have ret~rned to teach and to do research

in their own countries

III PURPOSE OBJECTIVES AID METHODS

Purpose of Study

The purpose of the proposed grant is to extend the capacity of the

University of Iowa to determine the political conditions in the rural

areas of less developed countries which favor the establis~ent and growth

of small-scale developoent projects ~e objective is to put the University

of Iowa in a position to assist the Agency in designing small-scale rural

developent projects providing guidelines for carrying out social soundness

analyses of such projects and adviSing in the evaluation of projects

We will discuss the utilization of~t~e Universitys capacity in detail in

section IV below

We propose to concentrate our investigations on the political conditions

surrounding s~l-scale ru~al projects Such projects have distinctive

advantages They waximize the political participation of the rural populations

both in det~~-ining the direction ~d implementation of develop~ent efforts

and in defending the interests of periphery vis-~-vis the urban-based

bureaucratic elite S~ll-scale projects stimulate entrereneurial activity

on the part of the rural citizens and growth of the info~l canufacturing

and service sector Tbey require less lead tice and less administrative

c~erhead to ~eco~e operational than large-scale capital-intensive projects

centrally administered Such projects yield rapid and direct benefits to

1

j

the rural

- 11 b - ~~1

populations and are consistentwith their hUIlaD rights--both

political and economic However~ small-s~le projects pose s~ecial probl~s for administratcrs of developceocll assistance progracs because

they require the donor co assess the local olitics particularl the

rural politics of t~e host country

Develop~c adoinistrators pr~rily conc~rned with assisting rural

populations must therefore recognize the range of political variables

affectL~g these projects Small-scale projects offer great opportuoities

for develop~ental assistance progr~ because they can be easily targeted

to help rural populacions require low capital costs and need no be

concentrated in one or two localities Such projects ho~ever~ ~equire

the a~istrator to have ~re political kno~lecge than large-scale

projects Oil which his priJlary tas~ is guiding the work of other experts

Questions for ~Investigation

To detercine the politi~al cc~diicilS ~st conducive to ~he establ~~ent

and gro~h of scalI-scale rural projects ~e propose to address our inquiry

to the following specific questions

1 To what extent and why co local political leaders seek to establish s~~l-scale develop~ent projects within their co~unities

2 To what extent and ~~y do local leaders other than politicians initiate andor provide leadership for s=all-scale developm~t projects

3 Bot do the relations bet~Jeel different types of local leaders (political and non-political) and bet~eeo these leaders and central gove~ent civil servants posted to the rural areas affect the conduct of develop=ent projects

4 How do existing authority ~eLationships between these different leadership grous and the rural pub~ic affect the organization and operation of s~l-scale develop~ent projects

- 12 -

~

5 lhlt is the nature 0 pclgtlic participation in the establishlent and operatio~ of s~l-sclle projects and ~hat are the outcc=es or this participatioe Gucer w~at conditions is such participation ~ost likely to occur

We seek a~swe=s to t~cse questio s L order to determine the effect of

different co~iigurations of local leadership and public participation on the

outcomes or small-scale rural projects te are particular1y concerned with

the ~pact of these configurations on the rate of econocic growth and the

distribution o~ rIGSlth ithin the loal cOlllUlity ~ on the perce~tions of

s~ll-scale proj~cts by central govern~ent per~oncel and the rural public

anmiddot on the organiation or flture projects

To a~swer these que~tions it is oar intention to study the initia~ioD

izJple=enation ald i1lpact of a salple cpound small-scale rural projects in

Kanya Korea and Turley in the sae cOllities in which we carried OU

our initial icvestigations ~ 1973-75 Tne relationships between the -

various conf~gurations of local leadership and public participation and

the three phases of project develop~ant are sho~ in Figure 1 We will

exa=ine projects to pro~ote the adoption of new agricultural techniques

by s~l and moderate landnolders the building of feeder roads irrigation

ditches and other s~ple infrastructure the organization of fa~ers

cooperatives and other local associations concerned with rural development

the establish=ent of rural health clinicS and schools and the setting up

of craft and service industries

Sites for Study

We plan to return to our original set of localities because we possess

a rich body of relevant data on the extent to which linkages exist between

Figure 1

TYPES OF LFLUEXCE OF C2r~ middotGOVER1iEXT OFFCIALS

LoCu LEADERS 0 THE RURAL PUBLI-C OX THRr~

PHASES OF RURAL igtEVELOPHET PROJECTS

r----------~J C~ltral Gover1~nt Official)-N------- - J

r- Local pOlitical leaders

Local non-political leaders

~l 1---- -

ROJECT nITL~TIOS

Influ~ce on selection of projects

InrI ~elce on location of projects

Influence on policy guidelines for proj eCl

Il

I

a

I I

-I PROJECT I~L~~iATIO~ ~ 1

j Project Organizati I Selection of project

leadership

Hobilization of resources

Mobilizatiol of public compliance with project require=elts

Diffusion of project innovation

Rural Public

I

BEST AVAILABLE nOCUMENT

1 ROJECT IMPACT

Organization of ongoi=g project operation

Distribution of project benefits

Evaluation of project

Public attitudes toward project

-middot14 -

these areas and t~c central p~litical institutions of the three co~tries

and on the attit~es of the rural populacioc local leaders and elected

legislators regardi~g their problecs of develop~~c Since such data

is unavailable for alternative locales a return to the areas in which

we have previously done much research ~ables us to build on a uniquely

valuable body of icformation

A return to Kenya Korea and Turkey is also highly desirable from

the standpoint of effective research organization The Comparative

Legislative Research ~enter has developed close collaborative relationships

with several highly competent social scientists in these countries and

with the academic institutions with which these scholars are associated

We have also dev~_oped cooperative relatio~ships wi~ gove~ent officials

in these countries which should facilicate obtaining approval for our

further work

In proposing to doc~ent the origin i~pl~entation and impact of

one to three s~ll-scale develop=ent projects in each of 35 localities

we have two considerations in mind Firstmiddot because our pr~ry goal is

to deter~e the political conditions for rural developm~Lt we wish to

examine develQ~=ent in as many different settings as feasible Only in

this way can we control for so=e of the major socio-cultural variations

that erist along rural populations in less developed coultries These

include the overall level of econo~c development in the co~unity the

nature of t~e ~digenous culture an~ relationships of authority and the

pro~ty of the comounity to major urban areas and centers of central

gove~nt ad=inistration ~ce our original study sites were carefully

BEST AVAILABLE DOCUMENf

- 15 - ~ ~1

selected to represent these variations ye have concluded that these

35 localities woule be ideal sites for the propose~project Second~ in order to dete~~~ the ~pact of local leaders and public

participation o~ ~ural projects we intend to compare projects 1n which

local leaders and ~ecbers of the public have played a major ~ole with

projects in which they have not We also ~l cospare projects initiated

by the central gover~ent with projects Yhich have been locally initiated

These considerations give us a typology for selecting projects as depicted

in Figure 2

Figure 2 ~

FIVE TYPES OF RU~AL PROJCTS ACCORDIXG TO ~FLUEXCE OF CEITiW

GOVE~1E~T LOCAL LEADE~ AD RLRAL POULATIO~

Level of Participation by Rural Population

Locus of Project Initiation ~

Local Co=unity Central Governoent

BIGd

LOt

1 Projects initiated by local leaders and providing for participation of the rural ~opulation

4 Proje~ts Litiated by local leaders bu~ not involving participation of the rural population

2 Projects initiated by the Central Govern~ent and administered i~ cooperation with local leaders a~d the rural population

3 Projects initiated by the Central Govemlent and providing =or the participation of the rural population but by-passing local leaders

5 Projects initiated by the Central Gover~e~t a~d administered in cooeration Yith local leaders but not involvi~g parti~ipation of rural population

- 16 -

We recognize that the socio-cultural setting of rural develoment

projects varies significantly within and across less developed countries bull

By focussing o~ a representative sa=ple of localities ~ Ke~ya~ Korea

and Turkey we can take account of naoy~ though not all of these variations

While some of our substantive findings will not be directly generalizable

beyond the countries in which we propose to conduct our study we expect

that our basic ~ethods and fLdLgs will be applicable to national and

sub-national settings elsewhere in the developing world This is partly

d~e to the fact that the hierarchy of patron-client relations ~hich we

regard as a critical factor in rural develo~~t exists in ~ost Liles

--It is also due to the fact that the methodology for identifying local

bull leadership configurations auG poundor studying local politics which we are

perfe~ting can be used to assess local political co~ditions in a large

variety of countries even when the ~nditions themselves differ significantly

Methods of Investigation

The data needed to assess the iDpact of local leaders and mass

participaticn on rural dev~lop~nt fall into two categories Some a~e

contained among the data gathered for the research project we are currently

completing Others will require additional field research

The following data are already in hand

1 Data on the social landscape of each loc~l co~nity i~cluding aggregate data o~ level of econonic development de~graphic characteristics political pa=ticiation eth~ic loyalities and rates of socio-econocic change dur~g the past decade bull

2 Identity of local leaders including both political and I-on-political leaders and both legislators and other politicians

3 Perceptions of existiag probl~ and their possible solution a~ng

l)tS r AVAilABLE DOCUMENT

- 17 -

general public local leaders and civil serv~nts

4 Level of political kno~ledge among local citizens and local political leacers

5 Political and social values a~ong local ci~izecs and local political leaders

6 E~~ectacions of leadership roles among the local public and elected and non-elected leaders

7 Patterns of co~unication ~ong local leaders and between local leaders and the central gove~e~t

These data ~hich ~e already have in hand can be subjected to analyses

which ~~ll provida the foundation for our further work on rural develop~ent

projects A part of our work therefore will consist of fu~ther analyses

of existing data

New data of the following kinds are also required

1 Doc~entary data on the origin and evolution of particular smallshyscale develop~cnt projects in the rural areas

-2 Data on project costs boih ~itial invest=ent and recurring

operating costs and data on project ou~puts ie pupils in schools Ddles of road coopleted nl~ber of hospital a~ssions production of factory agricultural productivity

3 Data on project organizatio~ n~~r of local inha~itants participating in establis~~ent of projectt nuober of local L~habitants subsequently involved in project

4 Data-on the pe-cetion of projects by local leaders emers of the local public a~d by civil servants data on the perception of how each project ~as initiatec organized who benefitted and what its future implicatio~s are

These types of data will requ~re field work involv~~g both docucentary research

at the relevant ~istries of the central government and in local goverr~nt

authoritieS and inforoal open-ended interviews with local political leaders

elected representatives and other local leaders who~ we had previously ~

interviewed in a s=uctured syste=atic =aoner

BEST AVAILABLE DOCUMENT

- 18 -

Grant Organizatio~ and T~etable

We propose co undertake the research outlLled above beginning in the

fall se=ester 1977 Dur~g that te~ Professors Barkan and Kim as

principal investio~tors for the neo1 proj ect will contact their collaborators

in the host co~~tries They ~~ll also seek the collaboration of an additional

~rican scholar specializing in rural development with the aic of getting

additional advice on sources of data and suitable indicators for the

~easure=~~t of rural develop~ent projects

At the end of the fall seQester Professors Barkan and Kim will make

a trip to their research sites to disc~s details of the research organization

with their collaborators in the host countries and to recruit student

assistants Tney will devote the spring te~ 1978 to further analysis

of a~sting data at the University of Iowa

The gathering of additional dita L~ the field will begin in the s~er

of 1978 Professors Barkan and Kio will direct this work personally We

eAect that its coopletion ~~ll require three to six months This work ~1

involve the evaluation of central and local gove~ent reports on the

projects uncer investigation extensive on-site observations of the projects

and oen-e~ded interviews with the principal participants Our principal

respondents ~i1l be the local leaders and elected representatives we

have previously identified in the localities in which we have worked and

a sacple of active participants in the particular dpvelopment projects

being studied ~~ere necessary and apropriate surveys of the general

public will be uncertaken to assess the inpact of a given project on the

rural por)r We do not however leed 0 conduct systeAlatic sample surveys

BEST AVAILABLE DOCUMENT

- lY -

of the rur~l population as We did in 1974

In the organization of this research project we intend to reconstruct

the rese~rch tea=s ~e e=ployed during 1973-75 We shall again seek the

co11abo=~tion of P~ofessor Sc~~S-7o~g Pai of Seoul National University ~

Professor IIiCr Turan of the University of Istanbul and Professor John J

Ok~u of the U~iversity of ~arto~ S~ilarly w~ contemplate directing

the field research fro~ he same acade~ic research organizations we previously

used Seoul National U~ive~sity th~ ~~iversity of Istanbul and the

Insti~ute for Develop~eut S~udies University of Nairobi As before we

will tra~ students f~oo these institutions to serve as interviewers

The analysis of the open-ended intervie~s and of docUQentatio~ on

I ~ural develop=e~t projects will be a ~ore t~e-co~s~g process than the

analysis of closed intervie~s It will reqrire a high cotnittl~t of time

fron the principal investigators )e e--pec to hold a conference at the i

U~iversi~y of Iowa 3lO1g all the principal )clticipa~ts in the resea~ch

project d~=~g t~e spr~g 1979 to evalua~~ the newly collected data

le e~ pect to be able to vr-ite reports of t~ results during the Sl1~er 1979

(see Figre 3)

IV LlX-GS ~1) U~ILIZATIO~

At the e~d of the grant period the Uti ersity of Iowa will be able to

1) advise the Agalcy 01 the design of s~l-scale rural projects to assist

the rural poor 2) provide guidelines for social soundness analysiS of

small-scale projects for the rural areas of U)Cs 3) consult w~th the

Ag~tcy 01 the evaluatiol of rural projects ~d 4) provide LDe governments

BEST AVAILABLE DOCUMENT

)ATES

~lll

1977

~inter 1977

iprilg 1978

il mer 1978

~all

1978

ipr~ng

1979

Imiddoter 1979

University vf Iowa

Plutlning of rural develo~rent project

Barkan Kil

Alalysis of existing data

Barkan Kia

Data processing

3arkan Kin

1

I

- 4 -

Figura 3

GRAT TLfETABLE

SIT E S

Kenya Korea Turkey

Preparation of field research ural developH~lt project cOlisulta~io~ a research sites

BarkanOku=u Ki~Pai Tura~rkanKi~

Preparation of field resea-ch

Tural

Field research on rural cevelop~~t projects Bar~lOk~u Ki=Pai Turan

Co=pletion of Co=pletion of field resear~~I~ fiald researcr

Ok~u i Pai bull

f Coopletion of field research

Turan

Data analysis conference a~ong all princial i~vestigators at Un~versity of Iowa Barkan Kil Oku=u Pai Turan

Co=letiol of r~ral develop~ent

project

3arkan Kiz

BEST AVAILABLE DOCUMENT

I

- LL -

~ith speciali~cs o~ ru~al developcect ~mong their own citizens ~ho ha_

partcipatcd ~s collaborators in the Iowa projects

In the proposed project we Will test a series of hypotheses cOlcerning

the political cOllditions of rural develo=ent which run counter to CODOn

assuoptions conccrnir3 t~~ influence of rural politics on project effectiveness

As a result ~e ~dll be able to assist the Agency in designing and evaluating

such projects froe the point of V~~W 0 their political viability The

hypotheses We will test sugges~ t~at the patron-clie~t relations existing

in the local politics of zost LDCs are not necessarily i~pedients to rural

develop~ent but are aspects or the political structure which cal be used to

facilitate s~ll-scale ru=~ projects which will raise the standards of

living of _ ~ rral pomlation - As ~ result or our stuey we expect to be

able to P~-O~t the local leadership confi5~rations ~4d the relationships

between local leaders ald rural poclations ~nich are oost conducive to I

successful develcp=en efforts We believe that we will be agtle to perfect

a cat~odology for identifying the political conditions for rural develop~ent

one ~hich is transferable pound~oo the countries we have specialized in to

other LDCs

We proo~ to develop specific guidelines to assist administrators

charged with selecting evaluating and =onito~ing rural develop~ent

projects to ~szess t~esc rojects in tares of their-social and political

viability he outco~e of such projects is dete~ned not only by the

efrectiv~nass ~~=h ~hich they use scarce econo~c resources but by the

~~er L~ w=ich they e~gage the suppprt of local leaders and rural

po~ulatiocs~ by thei= effect ou social a~d econo~c equality ~d by

D[~T AvAlLA8LE DOCUMENT

- 22 -

their consequences for hwan rights ~Je plan to establish criteria by

middot~hic~ the probable outco~es of projects in these social terms can be

anticipatec

The study ~e propo e will be undertltlken by faculty at the Cniversicy

of lowe in collaboration with faculty a other ~rican institutions and

institutions in the host countries We will build on the extensive contacts

between the Co~perative Legislative Research Center of the ~niversity of

Iowa end other instituions with ~aich ~e have worked One =ajor result

of our collaborative study will be the existence of a net~ork of compe~ent

scholars both in this country and overseas experi~lced in ~orking together~

shar~g a co~on teaching and training experience i~ close contact throu~~ the

effective publications progr~ developed by the Co~parative Legislative Research

Center T~e e~~ertise of this group of individuals will be ava~lable to

oteer scholars to the Agency and ~o L~C governments for specific policy

advice The eXertise developed as a consequence of this project will

extend beyond the ~tionals of the countries ~volved since the univ~sities

engaged in ~e project attrtct stude~ts fro outside heir own countries

For ey~=ple the teaching ~d research progra in the Depar~ent of Political

Science 0 theUniversity of Istanbul heavily affected by the participation

of its facul~y ~e=bers and graduate students in our projects attracts students

throughout the ~middot1iddle East for Whom the University of Istanbul is the iajor

institution ~pound ~igher education in the region rne Institute for Developmen~

Studies is si=ilarly a focal point for students and faculty in East and

Central Africa Seoul ~atiocal Unive=sity attracts students froo other

Asia~ co~tries~ In this way the capability developed among the participant$

BEST AVAIL~BLE DOrUMENT

- ) -

in our work is diffused widely To the exte~ that the abili~y to assess

rural develop~ent p~ojects in teres of their social soundness is increased

both in the United States and in ~o~~tries r~ceiving develop=en~ assistance

the cap3~ity of racipien~ countr~es to absorb aid is ~creased

We propose to draw up an inventory of personnel available in ~~e

Cnited States and in other co~~tries who are able to consult with developen~

a~nistrators on the design of rural development projects and on their

evaluation We ~~ll draw first of ai~ on individuals w~o have been

directly associated with our ~ork in the past or on ~he proposed project

and ex~~~d the list to include graduate students and gove~ent officials

with who~ these individuals have wor~d

tole Yill utilize tha existing publication program of the Center

dercribed above to disse~inate our findings The Center has specialized

oailing lists of interested individuals and institutions in all parts of -i

the world and its reports can trerefore reach the ~st relevant audience

jirec~ly ~d re~~arly

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CONTRACfjGRANTCOOPERATIVE AGREEMENT DATA SHEET

INSTRUCTIONS fjDW Complete 4 copies of the form Original SERCMSDSUP Statistical Section Copy Copy 2 SERCMSIiUP dministrative Copy opr 1 Contracting Officers COy COP) 4 SERCMSDSUP IUmin (Suspense) Copy

Missions Complde 2 copies oi the form Origin31 SERCMSDjSUF- Statistic31 Section Copy 3n~ Copy 2 Nill be ret31ned in the Missions

PART fA

ConU3lttorGranrce Name

University p~f~I~o~wa~ __ -r~ ____ ~~~~ __________ -~~ __ ~~~ ______________ ~~~~ Plorr Numt-er ApptopriJtion Number Allotment Number Project Number

930-0090-3Q13411 A5 72-111l0216 146-30-099-00-20-11 930-0090 Project Title

So~ia1 and Potitica1 Aspects of Development - Conference to Report Research Findings Amount of this Plorr I Projecl M3nagers Name and Offire Sytlbol

$10397 (increase) PDPRCP Jonatlan Silverstone Contr3ctors D-U-N-S Number

Ncgwatocs TYJlCd~3meJ j) Signature I l ~ jIf- bull G HtJ--ft u l IVmiddot

D~e

L - f - J ContractGrant Officqs typed Nailllt Signalure LJ d I -r-

plusmn t 3i-alflpta (( BLvle~ 1 I~ PARTm

ContractGranl Number

AID CSD-3294

Effeclive Date of Docum~nl Signalltre D3t~ of Documenl

Lf---C yen-~-gl tIost Courtry Institution (U iwrsity contract ONL Y)

Campus Coordinator (Uniwr ty i contract OiiL YJ

PART UL Descriplion of Cor-tractGrant P1use X ONL Y ONE item under each headiZg IF THEltrease CifYmC~e bolh ges I 30~~ O~ Nol to be completed for Amendmenl or Modlfic3lion AJigtns I III

J 710gt I I V ~ I

MOl - TYPE ACT A~ 0 G unsolicited Propsll (AIDIR 0 C Individual (Non-pe~nal senice)

~ O Cortra lGrantl ooperative Agreemenl 73101-SO(b)(6raquo 0 D Individual (ftrsonal Service)

tJl T3sk Order ( A)middot 0 H Procurement 10 be Perfocm~d by the Conmiddot 0 E UniversilyOther FAuC3lionailnSlitulions

D 2 Work Order (IQC) Ira~lor in Person (AIDPR 0 F Non-Profil Organizationlnslitutions (other

D 3 Delivety Order (Requirements) 73101middotSO(b)( Iraquo than Ed or PVO)

[j 4 Purchase Ordcr [J I Sole Source (AIOPR 7-3101-SO(b)(4)) 0 G Private Volunury Organization (PVO)

If I 2 or 3 1Lle an ~ compllle M 12 ON Y D J Imp3irmenl of Foreign Policy Objectiws 0 H International Agricultural Research Organj-

M04 - CONTRACTGRANT TYPE

o O MOA (BOA BMA etc)

o I Fixed Price (Specify fFP FPRD FPEPA FPI) _____ _

(gtIDPR 7-31 OJ SO(b)(7raquo

OK B(a)5eJection (FPR 1middot1713-1)

o L Grant iH1ndlOok 13)

o M Do Nol Ue

D 2 Cosl Reimburemenl (S~cil) CR CPFF 0 N Cooperative t~reement (Handbook 13)

CS CPAF CPIF) ~ 0 O Small Business SeImiddotAside (FPR 1middot1706-8)

o l Cooperative Agreemenl ~ 0 1 Overseas Procuring AClivilies (AIDPR

04 Grant Gener31 Supportmiddot 0U ~ 7lIOI-SC(b)(2))

o S Granl - Specific Support ~ ~06 E SER VICE

g ~ ~~t ~~(d) ~~ ~~ ~ eci~a~~~~~ogram Projeci

o amp IQCs ~ ~ relampted excepi A amp E Services)

o 9 Host Counlry ContraclGrnnt 5lJ C amp E Services

middotComplele ONLY through ~Sl ~~ 0 D Construction

M05 SELECTION PROCEDURES 0 E- Reseuch

o A Formally 3dverliscd (IFB) (A1DPR 7middot24 amp

FPR 1middot24) ~ o B Negoli3ted Price Compelilicn Gencr31

Procedure (RFP) (-JDPR 7456)

Dc A amp E (AIDPR 7410)

0 D Ed Inst andor Inl1 R~arch (-JDPR

74 5)

o E Collaboratoe Assisunce (IDPR 7458)

C F Predominant Capability (IOPR

73IOI-50(b)(l)

AID 1420-49 (179) - Page I

D F Technical Services to AID (other than trainmiddot

ing usually o~ating expense)

D G jraining SetVice for AID

o H Equipment Materi3J~ Supplies Commodities

D I Translation Service

~07middot TYPE CONTRACTORGRA-nEE

o A Firmmiddot AU profil-rn3king fUms (other than

Aamp E)

J e A amp E 8r~

zalion

o Public Inlmlational Organizations (UN

Agencies ICRC Wocld Bank elc)

(H8 J 3 Chapt~ S)

M08- TYPE AW~RD

o A S8 Sel-Aside - Awarded to Non-Minority

o B S8 Set-Asidemiddot Awarded to MinXity

o C_ S8 NOI Set-Aside - Awarded to Non-Minority

o D S8 NOI SeImiddotAsidemiddot Awarded 10 Minority

o Eo amp(a) S8A Awarded to Non-Minority (Womerl-

Owned Veterans etc)

o F 8(a) S8A Awarded 10 MinorilY

o G Personal Sen-ice ConlrdCt bull Non-Minority

o H IeJSDnal Service Conlract - MinorIty

o I Individual NonmiddotPersonal Service Contraci -

NonmiddotMinority

o J 100Jigtiduai NonmiddotPersonal Service Contracl -

Minorily

o K NOI Small Business (Univ NonmiddotProfit Large

Firms) Non-Minorily

o L- NOI Small 8usineSl (Univ Non-Profit Large

Firms) Minorily

o M US Govcrnmlnt

(Connnued on Page 2)

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--

ua ) R I GI NAL 9 bull

MODIFICATION or GRANT PAGE 1 of 2

AH 1 2 Effective Date 3 Grant No 4 Effective Date

Amend_at Ro 5 April 15 1981 AIDCSD- 3294 8-11-71

-s CRANTEE (Name and Addrea) 6 Administered by -Professor Gerhard Loewenberg -Office of Contract Management Cbrnparative Legislative Research Gente Central Operations Division Dept of Political Science am Branch University of Iowa Agency for International Developn~nt Iowa City Iowa 52240 Washington D C 20523

7 PIO No 930-0090- 3013411 A5 8 Previous PlOTa -

Appropriation No 72-11110216 93i-1l-995-l36 930-11-995-136-73-3078103

Allotment Symbol - 146-30-099-00-20-11 wunt Obliga ted by this ~ndrnent - $10397

The above numbered Grant is hereby modified as follows

1 Anotmt obligated prior to this rurendment 2 Amount obligated by this amendment 3 Total obligated anount (1 amp 2)

Delete the amJmt $465000 and substitute in lieu thereof the ammnt I$47S 39-7 ~

FUNDS AVAIrABm

~~ - APR 13 1981

PrO~A~~5iors

$465000 $ 10397 $475397

OffiCE Of fIN~(1 ~~rE~E~T __ _ 10 This amendment 11 entered into puruant to the authority of the Forelgn

Assistance Act of lS~l as amended Except aft hereln provided all terms and ~~ndi~ons nf the grant rcferpnccd in Block 13 remain unchsnged and in full force and ~ffcct

11 original and six Crantee 18 requlred to aign thh document aad return 1- eopics to issuing

ffiee

~~~ or printed) BUSINESS MAHAGR amp bull

Tille TREASURER

UNITpound) STATES OF AHERICA AGENCY FOR INTERNATIONAL DEVELO~NT

BY_-1(1o-_1lt--= 13middot~_1_~ __ K R B1uteau

(Name typed or printed)

Tltle~ ____ G_r_a_n_t __ O_f_f1_c_e_r ____________ __

D3tC APR 2 J 7997 Dolt 9 APq 1981

BEST AVAILABLE DOCUM NT ___ 0 HLGlNAL - I 1 J 1 ~ )

- 2 -

AID ftmds in the am)tmt of $10397 are hereby provided for the activities lmich are described in your proposal (including Budget Stnmnary) entitled CDnference to Report Research Findings on the Study of Political CDnditions for Effective Small-Scale Rural Assistance Projects in Kenya Korea and Turkey dated February 17 1981 and made a part of the Grant b reference

BtTDGET StMMARY

Line Item

Travel

Per Diem

Other Direct Costs

Less existing 211 (d) grant funds

Total Amount Obligated by this Amendment

Estimated Costs

$ 5888

5100

_ 2500 $13488

_ 3091

$lO39

Note Indirect costs or $395086 associated with these activities will be contributed by the University of Iowa

BEST AVAILABLE DOCUMENT

~RIGINAL

- CONTRACT IGRANTCOOPERA rIVE AGRElEMI~ SERC~SDSlP Actio) Monitor

SERCMSDSUP Action Office

I

INSTRUCTIONS AJDW - Complete 4 copit of tlh fonnmiddot Orisina iCMSDfSUP Sutistical Section COP)middot Copy 2 SERCMSDjSVP Administrative CoP Copy 3 Cont-acting Officers COP) Copy 4middot SOSUP Admin (Susptnse) Copy Missionsmiddot Complete 2 copies of the form or~aI SERCtSDSUP Statistical Section Copy and Copy = wiU~ retained in the Missions

0 PART IA

Effective Date of Document tJ

Delivery Order (Requirements)middot

o 4 Purcluse Order

bull If I 2 or 3 have an bull X compl~te M I 2 ON L Y

M04 - CONTRACTGRANT TYPE

o O MOA (BOA BMA etc)

o 1 Fixed Price (Specify FFP FPRD FPEP FPI) ___ _

o 2 COli Reimbursement (S~cifY CR CPFF CS CPAF CPIF) ______ _

o 3 Cooperative Agreement

o 4 Grantmiddot General Support

o S Grantmiddot Specifi Support

o 6 GraDt 21 led)middot

o 7 Do Not Use

o amp IQCs

o 9 Host Country ContractGrant

middotComplete ONLY through M 5 1

MOS SELECTION PROCEDURES

o A Formally advertised (IFB)(AJDPR 7middot24 amp

FPR 124)

o B Negotiated Prire Competition General

Procedure (RFP) (AIDPR 7456)

o Co A amp E (AlDPR 4 I 0)

o D Ed Ins andor Intl ReStalch (UDPR

7457)

o E Collaborative ASSistance (AIDPR 7458)

o F Predominant Capability (AIDPR

7-310l-50o)(3)

AID 142049 (1-79)middot Page J

o H Procurement Co be Performed b~ the Conshy

tra~tor in Person (AlDPR

7middot3t OI-SO(b)(Iraquo

o I Sole 5gturce (AIDPR 7middot3101middotSO(b)(4raquo

o J Impairment of Foreign Policy Objecdv~

(AIDPR 7middot310 ImiddotSO(b)(7raquo

o K 8(a) Selection (FPR 1middot1713-t)

o L Grant (Handbook J 3)

o M Do Not Vse

o N Cooperative Agreement (Handbook 13)

o O Small Business SetmiddotAside (FPR 11706-8)

o P Overseas Procuring Activities (AIDPR

7middot3101middotSO(b)(2raquo

M06middot TYPE SER VICE

o A TtJining of Participants

o B Technical Assistmce (Program Project

related exc~pt A amp E Services)

J C A amp E Services

0 D COltl~ruction

0 E Research

0 F Technical Services to AID (other than trainmiddot

ing usuaU Y operating ex pense)

0 G Training Service few AID

0 H Equipment Mat~rials Supplie~ Commodities

0 I Translation Service

07middot TYPE CONTRACTORGR TEE

Firmmiddot All profitmiddotmaking fu-r1s (other than

AampE)

o 9 amp E Firms

I Prcct NumbcT

I

Contactors D-U-N-S Numbcr

I) -S--f(j

o C Individual 0-lon-~rsora1 service)

o D Individual (Pet-sonal Service)

o E University lOt her EduCltionaJ Institutions

o F Non-Profit Organization Institutions (other

than Ed or PVO)

o G Private Voiuntary Organization (PVO)

o H International AgricultwaJ Research Organmiddot zation

o I Public International Organizadon~ (UN

Agencies ICRC ewld B3J1k etc)

(HB J 3 Chapter 5)

M08middot TYPE AWARD

o A SB SeImiddotAsidemiddot Awarded to Non-Minority

o B SB SetmiddotAside bull Awarded to Minority

o C SB Not SetmiddotAside - Awarded to Non-Minoril)i

o D SB Not SetmiddotAside - Awarded to Minority

o E ~a) SBA Awarded to Non-Minewity (Womeli

Owned Veterans etc)

o F 8(a) SBA w-rded 1o Minority

o G Personal Service Contractmiddot Non-Minority

o ~ Personal Service Contnct - Minority

o I Individual Non-Personal Sence Contractmiddot

NonmiddotMinority

o J Individual Non-Personal Service Contractmiddot

Minority

o K Not Small Business (Univ Non-Profit L1lge

Firms) --vn-Minority

o L Not Small BUSiness (Univ NonmiddotProfit Large

Firms) ~inoriy

o M VS Government

(Continued on Pcge 2i

t bull - t ~ J f q

ORIGINAL bull MODIFICATION OF GRANT

1 2 Effective Date

Araendllent Ro 4 12-2-80

s CRANTEE CHace and Addrels) Professor Ger1ard Lo~middot enbelg Comparative Legislative Research Deartment of Political Science The Lnivp-rsity of Iowa Iowa City Io~a 52240

7 PIO No NI A

Appropriation No 72-11XHl26

Center

Allotment Symbol -426-30-099-00-3~-71 Amount obligated by this urendment-O- I

3 Gnnt No

AIDcsd-3294

PAGE _____ 1 _of-L

AlI 4 Effective Date

8-11-71

~ Admlnlltered by -Office of Contract Management Central Operations Division OTR Branch Agency for International Development Washington DC 20523

8 Previous PIOITs -

931-11-995-136 930-11-995-136-73-3078103

9 The above numbered Grant is hereby modified as follows

Supplement to Grant

Change the duration period sentence to read

The Duration Period for this Grant shall be August 11 1971 through December 31 198]

1 Amount obligated prior to this amendment $465000 2 A~unt obligated by this amendment -0-3 Total obligated amount (1amp2) $465000

----------------_- - ------- ----_- ------ 10 Thh lImcndmcnt is entered inlo punuant to the authority of the Foreign

~ Assistance Act of 1961 86 amended Except a~ h~reln Z II provided all terms and condi tions nf the grant referenced in Block 3 remain ~~aunchlinged and In fu1l force and effNt cnltUI cJ)za 11 o 4 J bull

Et~ ai~a gtUoItshyc Z P=u

original and six Grantee t requi red to sign this document and return 1- eopies to 1Bufng

office

~ 12 GRANTEE TES OF AMERI CA

(Name typed or printed) bull

TJlle Director Comparative Legislative liecearell CeQtoQl

Date 12880

------------------------------------

ONAL DEVELOPMENT

By ----~--~~~~---------------------

prinled)

Grant Officer Title --------------------------------

J)oll( 12-2-80 -----------------------------

BEST AVAILBLE DOCUMENT i je

Page 5: PD-Ar3T Cr(~

-

II

of a special cot~~e il -~Ze subdiscilin~ of ccparative legislative

stl~esOlcig 1- 2s emiddottensiVe Cc~a arhives These stucies hill

lock a ~te crei-re 3G~i~1 ad eccror5c bac~6rt)Q1d cf legislators

perrcrra1ce 1 this -gac f1Q their clltthr~ place middot ithin the goverl-

Itental ltL~middotmiddot~)O v_LA __ alli Africa ~middotot~ld ce the nioerJ geogilpbic areas

of fcc2s ~~lt -C~ ellsi-ely Disciplinary phass middot-iould bmiddot in

ftlnction

rC-e ri~~sit dill ccrcertrate cn legislative influence 1 relation

to s~ecific c~-middotc lc=s~ ~ ~ ~oclens as Eel elt2ple umiddotC 9L1izltion population

Its geographic focus

plic~i s~ciolog Ct~olics

BEST AVAILABLE DOCUMENT

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Te iiersity of aiiaii xill build upon its edsting geoganic

focus on Asia and integate a progra of legislative studies middotdthb its

cc~~t~J ard area s~eci~lizaticn prcgra~s Korea Indonesia ~d Thail~~d

are prcnir~ent aleas in Ea- -aii r S gtrcgt1 alcng ~ith cc-palative ~ ork i~

the Pacific Islads Studi-=s by Halaii ~-ill for exaple compare the

legislative roles in econosicelly slcce~sful cO-L1tries iiitb thei roles

in countries ilitb lesser econcmic gro~-rth It ~middotrill conversely compare

economic i~~ications of cotntdes cr elatively strog wit those of

celatiyely veak legislative systems Emaiis approach would be

intercisciplinary to includ~ political science and bistory plus a streng

III middotnior ~noes ale Activities

1is ga1t is to aCieve t~o pucpcses 1) the en11aLcenert at the

Univesity of Io- middota cf institu~ional capacities for ~~i1ls releya~t to

t~e couparaiive study of legislative orga1izaticn ftnction ald

de~ent as these relate to tle process of ~ocietel moden7ationshy

ceyelop-e~ ad 2) the gele~ation and collation of a bcdy of priJciples

that ca be utilized cy AIu in poliCJ decisions that relate to

re~uests for tec~middotal SlppOt of letislstive institutions in fadlitating

developler~t These biO puposes ca] be s8z-ved ily pursuing the fclloflirg

specific activities

l Training d0mestic 8ld for-eign students in the design and

eXecuticn ot syztcr3tic re6=ar(O en ~he v8--ying Tole that legislatures

pJa~r in the roc~ss of ~detuiaticn-ieve] 0plcn The results cf their

021

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- 4 -

2 Incr~asilg the e-istirg skills e1d redirecting the interests

of dc~estic ~i foreign sc~olars to the comparative leg~slative field

rne Univer3i ty 0 I01[ generally ~rill be erric~ed by t1e presel1ce of

these scholars a1d its ccr~arative leBislative prcgraIl in particular

~middotTill be ennalced by the nemiddott kl1o~ledge that is generated

3 Cooperating id th a11Q other-ilisc facili teting the ork of scbolars

of less developed cOll1tries in rultidisciplinary ark at the Univeisit~r

of Imla en the rcle 0 legislatures in the charlcter of regire legitimacy

as -ell as on re developCent cf a cetralized data bmli at Io a asse~blilg

raterials on legislatures a1d develoent tre logic behind the bank

a1d tile techniques related to its use

4 Diffu~ing relevant ~et~odological ~1d ccrc~ptual teals in less

deelo~ed cOlUltries through the loove enrichent and redirection of

indiviQual~ and t~e ~evelcp~ent of the data b~k) thereby =ultiplying

bott ihe qumity cud quali-vY of the researcl~ frcm which existing

curricula at Io~middotw can be expanded and re curricJla dtveloped

5 Increasing the size of tJe imrld~ide pool of professional ad

expert consujtants ~lalable r-ot only to IO~il Du-e 81Q Hawaii to dra-t

en but also to AID in the pursuit of sev~ral aspects of its

6 Creating nullgli th~ p~ogral at the Univers~ty of IOa the

substance of a stbJisciplire and in cooperation odth similar prograos

at other ~imiddotelsities 811 organizatic1al Gtlucttltre ~nt ca ~vbilize

continuine i1t~-rtiorr1 intrest i1 a11d sapmt fron orgaiations

interested il deveJopr-ent

BEST AVAILABLE DOCUMENT

1(1 1

- 5 -

itl Suppor- f~ctl this Grat tre University of lei-Ilt ~dll cO1centrate

e1 fclts in this prcge~ en legislative behavier variables tat telp

e91aL ~hee specific 3sten cha~a~teristics 1) the scpe of olitics

2) e style IJf goverQent ~tnd 3) the legitirlacy of the regine For

tis l)1lpcse te gtrcglam -rill ex~e releva1t coparative factors il

a lage nlt=~er O~~ African and Asian legislative institttions The

Univcsity of lO~middotIa ~lill also uldertslte the study of these legislatures

at -a~iClS cLts in tire This ~lould gtequie the use of time series

cat t1G historical SClrces not cctl9arable to contempOral7f sou=-ces of

Fe each of te legislatures included for study Ima -iill seek to

a1al~ze suc] cbractelistics of t~e legislative systen as 1) the

atricutes cf ecers--te process of their recruitment their so~inl

~c cccupalonal backgro-lI1ds their politically relevant srills their

role c~ie1lttio1s inclcirg ht~ir concept of represeILtation and the

pe~pound~ge 1~r5th 0- tente in tbe Ipgislat~re 2) t~1e distribution of

the f0~al 211 inforl rales of 2ocedure the leadersnip groups the

cr-osi tio1 and role 01 legisl3tire staffs a1d the kinds and freqlelClJ

of legisative sessic~s 3) the ~utputs of the instituticn--the agenda

of issues tre modes c- cotenticn el1d the qU11titr and kinds Jf

decisions

)middotemiddoter llllike studies of ~hese fctors in the past Imla is

BEST AVAILfBLE DOCUMENT

- 6 -

The for~Ietic1 0 tneol-y lO this coarative 8seerch of

Tiiill ~erdt equivalent cmiddotoss-sy-ste~ ~easuelents are 8O1g te r6st

irpctant aSgects of tle prcject It r2y be one of the ~c-st valuable

esllts of Io~a I s efforts ad ~dil reCuire close collGbor-tion arong

t~e pa~ticipents bull

p_ Cc=-arative Legislative Research Archive

lltOle a subsb Tltial aolIlt of legislatie data has been collected

in a1j- different cOL1tri8s very little of this iateriul is cOJarativE

1middot-s of it has teen collected by individual reseachers on e single

CQl~ty Cc~adson in legislative research is thus difficult because

=2 01 r3j cClalties are ot available at a sirgle location in s sLgle

is a clear ~eed for the ce~t~alizGd acq~sition ~ or ~ne

available data to per t the forulaticn and compGrative testlg of

~eorics aoc~t le8islativ~ behavior As a major part of this program

te Uive3ity of 1mmiddote 9poundlS to establish a data arch-e to begir to

big te existing legislative sttiies tcgetber at a sirgle location end

to ~-ke ~i~er ~ccessible +0 the grm-ing 1unoer of irterested scbolals in

Once J~1ese data have O~en brOght tcgether tney will contribute to

-~ pogram t IO~middotia in -I~middotiO -poimiddottant ~middoteys First the dats -Till be

utEized in traLig graduate stud2nts T1e rea13lysis of d~ta to test

BEST AVAIL~BLE DOCUMENT ( 1 t

- 7 -

faculty at the University of Imllt1 and from omiddotrerseJs tlitbout slch an

acbival base those dtdies Ylould be ver lil1ited in the hypotheses

ter could test The quali ty of this re search eqerience fill be

(o1siderably enha1ced by the aVJilability or data for co~arison dth

t~e data generated thlcugh the ccllaGorative research sponsored by the

traini~g progca~

Once gathered a~d refo~tted the data ~~ll be ~ade available to

sc~olars students al1d other interested persons outside of tre University

of Io ra P(r exa-nple appropriate data sets would be available to other

llsti utions tat pre ccoperating in t~is program ie Ha-waii Clla De

~ese could tten be used in curriculul developent at tbose schools as

middotell as Ll the pre-grar at the UJiversity of Imre Finally data could be

aie available to i1di-idlal sc~olars and institutions overseas for use

1 teir research a~d trailing progrems The cUIlulatiie effect of this

disse~lilation and staring of data ~i11 be an enrichme~t of research an

Llcreased flO-I of ne data to the Uriversity of Iewa I3Jld a greatly

ena1ced ability at Iowa to aalyze legislative behavior a--d defelopnent

f 1ssociates

The University of Iowa d31 involve as Associates individual US

arc ~ereign Rcolars fro~l other instibticns in some instances fOl

cc-ivities at Iovll in others as recipents of support Oi research and

oter aciivities middothich coqlement cnd emic1 the program at o a These

Associa-es rill be involved in such activities as ser-lfing es University

of IOim g-uest professors 5~St lecturers 1d visiting faculty

lticipel1~s L ccnfiences and s~riosia and as collatJoratiEg 2search

BEST AVAILABLE DOCUMENT

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cevelcged c~lt-ies Smiddot~yemiddotl such projects core already uoer ~middotay

and 3y potetial ss~cetes ~ave been identified and thei ilterest~

211 gtarticipeting i1 t~e ~Cglar1 ascertained

He -resc1t ge~sc-~el a1d acilities of the University of Iomiddotro

plcvice a very st-cre basis for the research atJd training programs

~rnich ~middote a~ ~rc9~3L1g -fmever the further development cf legislative

suCie3 ali a pec~ent streugthenLlg of ~he progrun of Iomiddot ~ is a major

a oes3icral Demiddotmiddotelc~ Galt fur~ds will be uSed by the

LT~iersit2 c la= ~ icreasing te nUbe of faculty specialists in

cClJses ir sjcts elated to the subject atter Specificallr grant

fuimiddotis dll ce usee to ac3 one pernanent faculty Uemoer in roliGical

scienc~ ~middotit s~ecia iltcests b legislaive beh3vior ald political

dloYl-nt a-o 81 a29 cmiddot-petence in Ardcan pclitics and to bring

(lculy -emiddote-s fro less ceveloed countries to spend a peri cd of time

at the TJ1 i si ty o~ Io~middot adine sechtl expertise to the ~od~ at Iowa

other middotisosel -~ i_ le irol1ght to IC~ia as needed to support those nO~T

or --18 fc~~ti r~lt 7ds ~rill also be ilsed to finance data collection

exlts-s ~) t~-e res~imiddotch iork of tte acult the Associate scholars

BEST AVAILABLE DOCUMENT

1~ II

- 9 -

cesigned tgt trrtin US and foreign-born st1lcents in le6islati-~e rese=z-cndeg

Sttde1fs ~dll be tdTi tted cr11ally to 9 proeragt iihicn ~iould irclude a

tro~ot~h grounding in the r thods of cczparative aralysis the S1ostance

of conparatie politis g-mel31ly end the corrparative studJP of

legislative behavior in 9articulal The Uni-ersity intends to associate

tnese studelts directlr - rith research in Ttlhich faultr 2Cbers are

engaged to encourage thea to dra- U90n the skills end resources available

in this field il ra1Y departnents of the University to enable them to

spend up to one year in field research and to have thel4 snare their

findings middotrih their stmiddottidei~t and faculty colleagues Tle prograII will also

involve foreign scholars middotno are expert in the legislative process of

t3ir o- n countries in the tcaciing fgtimiddotogren both by holding -fisHing

a=point~elts at t-e University of Ioc1d by sUgervisi~g field research

c R d - t- ~ 1 rec C~ of Esta~lis~ed Scholars Tne University of Io~~

plals to extend a1 in-itaticn to seieal foreign scholars duri1g te

gle1t p2riod to patici~te in a coparative legislative researc~ seirar

duriig their visit Their plrticipat~ion middotrill edd 3 lL1iqte diiensicn to

the seiiral hceuse cf theh ~1o~-rlecge of the legislature in their own

C01-try BCmiddot2~ J1is Gemilr -ill be dealing -lith the nos-G current

reseaCIJ o~ l0~ ~ltmiddotJres as ell as discussine desigs for reseach to

fill in cowleuge of legis1timiddotre 1ehclicr -re believe

tret it ill be a l2~lilg experience for all the pclticira1ts--incltcing

BEST AVAILABLE DOCUMENT 1]7

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Ima rill lOrk collcboratively ~ith the fOrsig1 5cbolars to design a1d

carry out P reseach pruject These projects Till cc~tribute to the

retlaininB of foreign scholars and nill also add to cur mmiddotm and8rstanding

d Research The 9rinciplI enphases in cesenrcl rere cutlined in

Section III above ie to focus en con-9arative studies in iihich

legislative cehaviol can be helpful in explaining the scope of politics

the style of governcent a1d the legitinacl of regiles Variables hich

will be studied Iost closel~r ircluue tbe persistence of institutional

norms in the legislature oyer time the relationship o~ the legislatue

to ether institutions in fornirg public CC1Cepticns of politics and

the histOl~ical context detelini1g public expectations of the 12risleture

This resea~ch nag both academic and practical objectives

Academically it promises to tie legislative behavior research to other

major concerns L1 pcliti~al science such as research on systeJ stability

and paricrJance Its general substaltive eojective is to assess the role

wtlichlegislatures Illay L1 determining the capability of political

s~lstems especially their ability to deal ~middotith soCial change

Vractically the stu1y ~y offer guidance to polic~Y-Dakers on

t~1e role ~ hich legislatures rray be ~lI-pected to pIa)- in neimiddotrly established

political systelt ald on ~hc efcrrrs in established legislatur~s -Thicn

rray be required to achieve specific syste~ effe~ts The study ~dll

Nquire the assccioticn of rembers of legislative staffs a1d 2cademic

colleagues in the s~eLal nations lmder nvestigRotiop plovidirg training

fot ~ll r)f them i1 leeis1ntive re3Clrch ~ri facilitating a valuble

BEST AVAI~BLE DOCUMENT

ll-

of Iml3 ~ill LS~ glmiddot~t f~ds t~ estaolish a data archive to begin to

bring tb~ edtirg legi31ati--re studies tog3tller at a single locaticn

end to =afe t~e ac~essible to tie grc~ring m~er of interested

scholars in t~i3 field PerSCIlllel of tbe Data Archive ~rill searcD

broadly fo all a-reilable data on legislatures in the possession of

ildiviiual researc~rs i11ese data sets ~-Till be acquired refo~atted

for ease in alelrsis a1d stored in Archive Tne Archive ~~ll

asserble tie etel~ Gata O legislative organization ald procedure the

socialization ~~ recruite~t of lzgislators legislative decision-

makLg pccesses 2d legislative outputs To facilitate access to

the data a ~middote-riemiddotrlt11 syste middoti111 be cesigned that will 2011001 r-=searchers

to find ~iccJ ata sets that c~mt2in inforration lelefalt to their

researc1 po)2e5 RibEcg-aphic citation3 cnd abstracts of research

reports on le~i51e-imiddote oebio ~~ill be gathered and a biblicgraphic

retrieval sys tC idll a Geielc9d to aid esealcJers

cooioinet-e1 ~~as n -ie are= of c~rarativa legislatile studies is

t~3t because 0 si~~e iJS in~ti tuticn ias tce necessarJ expertise

of ccrparati ve

1-=gislatiY2 tcie3 8forts of the most conrpeteat ace interested

BEST AVAIL~BLE DOCUMENT MCi I I yl

12 -

oz~ the tr)middote grantee institutions and otter associated scholars It

~ill ayise t~e pa1tee i1stituticns on SllC catte-s as roritorirg

activities at the t~re~ unive~sities~ evalu~ting rese~rch frr possible

=middotclication sJ--sidies rld ether ratters related to infor~atioTI

disse~~ation coordinating research efforts to avoid duplication

ecilitating excha1ges d sttde~ts ad faculty members ~-iitb foreign

nsti tutions i~en desirable tryi1g to till lacunae in cLIricu lUn

helJilg to arralge cmferelces and sy-posia and generally trJing to

9cote te ~eielcp~2nt of cOlparatile legislative stucies as a

Gra1t L~HS idll be ~sed to support the Univ2rsity of Io -a IS

nrticipation in tre AdisorJ Co-i ttee t1e developrrErt of conferenc=s

elsEfhere il the US arHl over3eas i1 relat2d facets of leeislaive sttdies

Edstng iersonJ~l al~d fa-ilities at the University o= 1oa previde

iaculty facliiies to aid rC3emc~ trailg aPd skill in 21c~ivaJ middotork

BES~ AVAIL4BLE DOCUMENT I

r ~-)

- 13 -

Six ITe-bers of t1e faculty of the Departent of Political Science

at the Unhe ity of Im-ia are presently engaged in legislative research

To merbers ot the Departllent of History are engaged in research on the

British Parlia~ent L~ the eighteenth ~~d nineteenth centuries Fer the

past six years an adv~~ced se~inar has been offered by ~embers of the

Department of Political Science and the Department of Histo~J on

comparative legislative behavior This exte1sive collaboration iiill

ma~e it possible to develop a fully inter-disciplinary program for the

students ~~d visiting faculty In addition faculty ~emcers in

Scciology interested in organizatien theory and in the College of Law

interested in legislctive processes provide furtber e-pertise ava_ilable

to students interested in tee study of legislative behavior The

presence of these specialists on th~ facult~r is reflected in the

excensive librarJ al1d otler data resources existing at Iowa in this

field

The Uniersity of Ima offers an unusually extensive program of

trainL~g in research methods Four ~e~bers of t~e Department of Politi~al

~cie1ce teach in the field of research nethods Courses jn statistics

ca1 be taken ill the Dep~rtents 01 Sociology e-d Educational Psycholcgy

Llis prcgr6l provides a verJ solid grounding il research training and

data analysis

bEST AVAILABLE DOCUMENT

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- 14 -

Y labCrato~y for olitical Pesearch is the reseacc1 md research

tlairirg facility of the Departe1t of Political Sci-lce Gcadvate

students receivo extensive res~arch experience through 1or~ing in the

La oratory bull The Lacoratoy is also a1 integral part of the trainirg

o~feed in ccurs~ T~middotO~ for graduate students

The full-time sta~f of the laboratory includes a director an

assistant director a t-=cl1ical cirector a supervisor of study

t1hteen graduat~ students - rf1rk in te Laboratoy receivLLg teining i~1

~a~a collecticn ~~i data e~alysis Tbe facili te5 of the La)oratorltJ

icluoe a oard eJcerline printer ccnnected to the U1iversitys

dis~ and tape storF-ze for d~ta

The pogral of trailing ia coparative legislative reseC_cch ~ill

relr heavily en t LaOerltcLJ- for taching graduate stucents Visi tine

fc111tr lYe~bes iill be able to utilize tbe facilities cf the Laboratory

gt IOra ~as sFcial ccrpetence in prOCed~les for

ccq ter ogagtlizetion of d~ta Ja1ks ~d fOi the p~ocGssing of large data

sets as well as iJ the sttdy of naticnsl end st~te legisltllres Tile

BEST AVAILABLE DOCUMENT

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Ile Univelsity of 10Ira will eadnister- the Grant thJotg~ its normal

a)1 iristrative char-l1els ad i1 Eccordance imiddotlith its ncrTal olicies and

operatirg procedures 7he Director of the gr~l1t-s~~ported program

Hill be a senior faculty eriOer of the Gniyecsity of IO~-ia -with extensive

expe~ie~ce in the subject field Associate Directors w~tb similar

qtalifications -aill also be appointed 7he Director- and Associate

Directors ~dll serve as eibers of t~e Inter-University Advisory CC1gtr)ttee

established to cooidinate _u bullbull ID gra1t-stpported programs at IOia Dul(e

lniversity a1d the University of Ha- aii Ll1 this field These relatiol-

ships are i~dicated in tee follc~dng a~inistrative organization chart

IX Ul~vsity Ccntri1uticn

T1~ ~h-ersity of IQ(a aSSures ALD that this Grant middotiill not

replace existing ftnds for STr current activity and imiddotrill be additive

to existing prograrrs of tCe lJniversity In direct sp~ort of this

Grat ttc University ~ill provide a) Acmi1istratile costs including

tie of senior officers of ttlt University b) Office ~ld research space

ald library and cor-puttr facilities c) Provision of a1cillamiddotCjr 1niversity

personnel -or consultation o~ ~middotjQrk nth the progral

X Reports end 5evie~-Ts

There i-ill be sub~itt-=i al arnual t2ctnical report for the purpose

of AID s revie- of activities under te Gant Tnis idLl include

a11 e-llation of prcsr~ss aidnistratve ar_c fiar~cial corsicer~tior~s

p~s cr tr foJlJ-middotire ear ~i disctlssics of the ossible l~lizaticn

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A~~inistrative O~ganization

Ice Board of Regents of tle State of Im-la

-Iesicent of the University I

1 rOfcst Jf t-3 University

Den College of Liberal Arts

r Chailan DcptiEt of olitical ScieJce

Inter-G~iversity

Acisorr Corcittee

PcgrG21 Director Associate Progra~ Directors

Liaison Arcrge~~nts d ~h I I~~erested Plcfessiona1 I Perso~el j

I _

I 5cu1ti (full or PmiddotLG-tire l Asscci~tes a1d otllei non-Io~il

3ecip5ents of Gr3-1t stPPC1t Gr~cue~~e S t1~lcnts St2~retQi~S1 Data Lbed~1 31

Ln 18 r1icia 1

LO1t c~lce Factcj~1 ts

BEST AVAILABLE DOCUMENT ( ( V-t

- 17 -

of te eo17i~g cCpterce br A I D rLld ethers In addi tion there

aS3essr~ents of the gr31t

middot l ~ lI ~ _ _ _ co~~~r~~ing ~~iversiti~s md tne rrctitoring ALD office

7re l~yersity of Ie~middot~ budget of $26500 is to be deveted to the

cemiddotelgt~e~ of lstituticnal cefete1Ce in comparotive legisl~tiye studies

~t Iomiddota c t~ the exalsi0 ot a date b~L-lt ~ hich 1fill be utilized as

a ecle for icrec3ing te scope of tbe sub-specialty

T - 1 f 1 __ middotja r S Ctdget a9roxir~tly 33- has bee allocated to a

cemiddote Lp~l t rirc ipally C actlty re leased tirre for data ccllection

ai 0 3alres f~r i~~er-ieers in field research 3d secretarial

assi5ta1ce nCt2 11- of t~e Icmiddotre oudge~ is iesignated for an

ArCE_1 A~ite s(101a~middot 2d one 0 ore scnolals froQ LDe or

s1lllrt of greluate stucents in the

BEST AVAfLIlBLE DOCUMENT

- 18 -

Finally approximately 19 of the budget will be devoted to the

proposed data bruL~ that will archive not only data generated from the

research of scholars at Iowa Duke and Hawaii but also at other US

and foreign institutions Primary and 3econdary an~ses of these

data will become an integral part of ~omparative legislative studies

curricula The ability to utilize the data bank for teaching purposes

also should have a significant impact on professional preparation ofmiddot

future legislative specialists In summary the funds will be

allocated to research teaching and training activities tha~ are

entirely conson~~t with the philosophy underlying the utilization of

2ll(d) grants to achieve institutional development

Conclusion

The University of Iowa regards the research and teacbing components

of this program to be closely related an1 zrutually reinforcing The

University of Iowa offers a strong base for the pro~ram because of the

interests of faculty members here now because of their contacts with

scholars in this field in other Americ~~ and foreign universities

because of their experience with the international exchange of faculty

and because of the distinctive data gathering and processing facilities

available in our Laborator~- for Political Research The program which

we have formulated is designed not only to accomplish specific

research and teaching objectives but to contribute to the long-term

development of the University of Iowa in an area in which it has already

exhibited special interest

BEST AVAILABLE DOCUMENT

~ I) - 0

- 19 -

The program on Comparative Legislative Studies with support from

this Grant rill develop the capacity at the University of Iowa to

provide assistance under separate financing arrangements to developing

countries in a number of ways and through a varieiy of channels This

assistance which would be arranged for end negotiated separate~ from

this Grant may be in the form of technical assistance advisory service

training research and information exchange etc It will be available

by mutual agreement to appropriate agencies national and international

public private a~d mixed and directly to the less developed countries

Most especially this added special competence will inevitably become

incorporated through the processes of scholarship and education into

the competence of US and foreign scholars and institutions concerned

with this topic of great significance to the developing and the more

highly developed countries alike

BUDGET SUMMARY

UNIVERSITY OF IOWA

Salaries

Graduate Student Stipends

Fringe Benefits

Travel

Equipment and Services

Other

TOTAL

$173090

32400

19209

13800

6501

20000

$265000

BEST AVAILABLE DOCUMENT

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BEST AVAILABLE DOCUMENT

(C

Dr Willa~d l Boyd Presicient University of Ima iowa City Iowa 52242

Dear Dr Boyd

4 AUG 1977

amp

FIJNDS AVAnASLe CpoundNrftAamp sEIMCEs DMsON

AUG11 ~n te t6417 ~77

Subject bull Supplsectferit-tJF-G~middotNomiddot~middot AIOcsd-3294

t middot-rrPJ1 3

I am pleased to inform you that pursuant to th~ auth~rity contained in

S-cction 211 (d) ooC the Foreign Assistance Act of 1961 as amended a sup

plemental grant in the amount of $200000 is h~reby r~de to University

of rCi1a These supplement]l grant funds areprolided to support the

activities which are described in your Proposal dated May 6 1977 for

the implementation of your program entitled Political Conditions for i

Effective Small-Scale Rural Assistant Projects

---This sup~lemental grant is mace to University of Iowa en condition that

yo~r institution shall administer the funas provided under this Grant fn

accordance lith your r~ay 6 197 proposal (including Budget SUmlilary) and

the Standard Provisions (as incorporated by Amendment No 1) which have

been agreed to by your instit1ltion Ti) the extent of an inconsistency

between the Proposal and the Standard Provisions and any otherprovisfons

which ar~ made a part of thi5 Giant by reference or other~iSe the Sta~d~

ard Provisions shall control

The new Duration Period for this Grant shall beAugust 11 1971 through

August 10 1979

The total amount of funds obligated under the grant is increased to reflect

a new total oblgated amount of $465000

Please sign the Statement of Assurance or Compliance ana the origfnal -

and seven (7) copies of this letter to acknowledge your understanding of

the conditions under which these funds have been granted Please return

the Statement of Assurance of Compliance and the original and six (6)

copies of this supplemental Grant to the Office of Contract Management

Attachment May 6 1977 Proposal and Budget SUfiT1a ry

UNIVERSITY OF IOWA

Roberw bull OBrien fficer

Ce al Operations Division Office of Contract Management

AC~E~E~C--_ 0 BYpoundk~~ cH

D C ~lpoundSTtR5BA T ITL E ( PfeampoidPilt for

tee ment amp Research DATE 9-22 -77 (d~ ~~Bduate Ctl~1e~e

BES i AvAILdLt UOCLJMU~ I

211(d) Grant Program

Proposal of the University of Iowa

POLITICAL CONDITIO~S FOR EFFECTIVE SMALL-SCALE

RURAL ASSISTA~CE PROJECTS

Submitt~Ci to

Civic Participation Division AID

May 6 1977

Amount requeste~ $ 199987

BEST AVAILABLE DOCUMENT

I TdE DEVEIOP~T PROBr~

P~litical Conditions for Rural Development

The Cocparative Legislative R~search Center of the University of

Iowa proposes to ~~dartake a two-year study to investigate the role of local

leaders and the rural public in theimplecentation of small-scale develop~ent

1 projects in less developed countries The study will use and extend the

capacity ~hich the University of Iowa developed under a 211(d) grant to

investigate and assess the impact of loeal politics on rural development

~t the co~pletion of the s~ Iowa will be in aposition to advise the

Agency on the design ~nd evaluation of s~ll-scale projects which will be

politically viabe a~d effective in ass~sting the rural poor ~

As students of development w~ approach our task with the assumption

that the proble~ of development and underdevelopment are funda~entally

ones of political econooy and a~ such can only be solved through a

simultaneous considerationof economic and political factors Efforts

which foc~s aloost solely on economic factors like those of ma~y

organizations engzed in dipersing foreign aid or efforts which focus

almost exclasively on political factors fail to take account of the

interdependence between these two dimensions of underdevelopment and

lwe have for~ulated this proposal in a canner consistent witr the cu~rent policies ard interests of the Agency We have been guided in our tsk by four Age~cy doc~e~ts Impleo~~tation of New Directions in Developnent Assista~c~~~ ~eport to the COmlittee on International Relations on Ilupleoenshytatiun of Legislative Refo~ in the Foreign Assistance Act of 1973 (July 1975) rItevis~d Projec Developiel Review and Approval Systeo (A I DL Circular A-21 Aril 23 1975) SH Butterfield Draft SUIilZ3ry StateUlent of a Practical Agelcy Approach c aural Devalopilelt (AATA February 28 1975) Cicci A Coce~ual Oie=viamiddot middot Rural Development No1 (lWorilting GOU O~ tha Rural Poor February 1975)

- l -

can meec with only l~ted success

Our concern with the i=pact of local politics on the process of

rural developcent is a result of our interest in the basic question of

how LDC governm~nts and the donor agencies which assist them can

become core effective in raising the standard of living of the rural

poor We seek answers to the following aspects of that basic question

1) What political conditions must exist both within rural communities

and between theo and central gove~ents to raise agricultural production

w~ere small-scale agriculture is the do~nant pattern 2) Vnat are the

political conditions for a core rapid expansion of the informal manufacturing

and service sector cocprised of labor intensive small-scale industries

located in the rural ar s 3) What political structures and activities

are mase crucial for the provision of welfare and econocic supporc services--

such as agricultural exeension mar~eting and transportation--to the rural

areas1 4) ~~at Folitical conditions oust exist to insure that economic

growth in the rural areas is not accowpanied by excessive and intolerable

inequalities between socio-economic classes andor between regions1

Center-Periphery Linkage in LDCs

To deter~ne the political conditions for rural development we have

in previo~s s~udies exacined the institutions and processes through which

rural populaticns are integrated i1to the national politi-cal systetlS of

middot~he countries in which they live A gap exis~s in most less developed

countries bet~een the peasantry residing on the periphery and the c~~tral

political ~stiutions staffe1 by ~~estern-educated bureaucratic elite

We are aware of the other major ~sti~utional discontinuities which comprise

J

4 middot~~1 the basic cleavage between the developed and underdewmiddoteloped sectors of

these dual societies Bridging these gaps is essential if these so~ieties ~ are to develop into viable nation states For until those Q~ the periphery

of the poli~ical syste~ participate in that system and support and comply

with the authority of central political institutions neither economic

development in ~he rural areas nor a stable polity will emerge

Bridging the discontinuities in these new political systems requires

establishing and institutionalizin3middot1inkages or networks for co~unication

and exchange of resources between decision-makers at the center and the

rural public on the periphery Three types of institutional linkages are

most prominent in less developed countries 1) those conSisting of the

state administration composed of the bureaucratice1ite 2) those consisting

of a revolutioncry political party cocposed of the ideological elite

3) and those conSisting of patron-client hierarchies composed of the political

entrepreneurial elite

Of these three linkages consisting of the state administration are

the cst extensive and pervasive in virtua~ly every LOC Such linkages

however exist primarily a~ instruwents of the center to penetrate the

periphery Central government officials are formally charged with bringing

develo~ent to the people This is a ~issi~n which conceives development

as a process ~hrough which a traditional peasantry is transformed and

assimilated iJro the DOdern center which is steadily expanding to embrace

it Agents of the center invariably have more resources to achieve their

objectives than do local political leaders but because they are frequently

strangers~ the communities in which they function they are often unable

- It -

co implement the policies of the center without working through the

local establis~ent

Though somctices significant linkages consist~g of revolutionary

party organizati~ns such as those found in China and Vietnam do not exist -

in most IDCs beca1Se of the special historical and e~omic conditions

required for their development As wi~h the administrative state however

the linkaampe apparatus of such political patties is prUlarily an instrument

of the center whose mission is to penetrate and mobilize those onthe

periphery

In contrast patron-client hierarchies are linkages which represent

the periphery at the center and mediate betwee~ these two disparate

sectors of the political systec Thcugh norcallymiddotovershadowed in scale

by the state administration patron-client hierarchies are found in almost

~very LDC a~d constitute the ~st significant network through which rural i

populations and their leaders influence the decision-~king process at

the center Patron-client hierarchies exist in a wide variety of org~iza-

tional fores ranging from info~ ~ec~~rks of individual olitical leaders

in uno-partyll systelS in S~b-SaharaI4 Africa to extensive political machines

in both one-p~rty (Africa Mexico) and ~u1ti-party systems (Turkey India)

Despite their importance as the pricary means through which peasants in

LDCs particiate in their political systems patron-client hi~rarchies

have only recently become an object of analysis by students of political

developent and do not appear in even the most sophisticated studies of

2 See Jo~ Dunca owell Peasant Socie~y and Clientelist Politics Aerican Politi~ Scielce Revietol 64 (June 1970) pp 411-25 Rene Lemarchand anc_ Keith Legg olitical ClienteliSJ and Ethnicity in Tropical Africa Aierican Political Sc~ecce ReView 66 (Y~rch 1972) pp 68-90 James C Scott PatronshyClient Politics a~d Political Change II 1tlerican Political Science Revie~ 66 (~arch 1972) p 91-113 and Friends Followers and Factiols bull edited by Steffan Sc~~d and James C Scott (Berkeley UniverSity of California Press 1977) bull

- 5 -

3 economic development Ad~niscrators of developmental assistance progracs

have too often regarded patron-clienc hierarchies as ~ped~ents to

develop~ent instead of recognizing cheir potential utility bull

~ Findings on Patron-Client Hierar~hies --

The importance of pat~on-clienc hierarchies for linking the periphery

to the center is one of the major findings ~erging from a study of the

relationships betueen l~gislators an~ their constituents in Kenya Korea

and Turkey ~hich the Cowparative Legislative Research Centpr is nov

comleting uader its 21l(d) grant from AID This study has av~mined the

creation of linkages between the periphery and the center through ~ore

than lO~OOO interviews with members of parl~ent local leaders and

peasants in t~e three countries The findings are being systewatically

set out in a book-length monograph Nearly a dozen research reports have -

uready appeared (see Appendix C) ipropositions about the nature of

political behavior of rural populations an~ the roles of local political

elites de=ived from the research~ can be s~rized as follows

1 Elected representa~ives play a significant role in the creation and mainte~ance of linkages be~een the center and periphery by developing local political achines in which they function as patrons of their constituents In turn thay s~rve as clients of political leaders of national stature who control central government institutions

2 By atte~pting to establish linkages based on patron-client relatio~shi~s elect~d representatives are responding to public expectations chat their prizary duy is to obtain resources from the center to proffiote local develop~ent ~iany elected repLesentatives spend most of their time on self-help co==unity development projects such 3S the building of schools health clinics irrigation works arid roads because such projects provide

3For exa~le ~ a widely respec~ed a~d useful analysis of rural deve16p~ent in Sub-Sahara~ Africa L~ Lele of the World Bank notes the problems of creating an adoini5~raive infrastructure in the rural areas that is sensitive to local socio-oliical conditions She does not however consider how local leaders operating o~tside of adcinistrative structures ~ night contribute to the developne~t 0 the rural areas See ~~ Lele ~ Design ~ Rural Develop~ent Lessons ~ Africa (Balt~re The Johns HopkiD~ Uciversity Press 1975) r) pp 127-61 i ~

- 6 -

their const~tuents with desired se~ices ~~d a= the sa~e time provide the reresentatives with an orgacization Yhicn can be used as a political base

3 l-tore than 90 perCel1t of the rural population is capable of articulating the p~oblems facing their local co~~ity and two-thirds discuss th~e proble~ w~th their fellow citizens on a regular basis

4 Three-q~rters of the residents of the rural areas can identify the public ofpoundici~s who serve thec--both civil servants and elected represcrtatives--by na~e Most are knowledgeable about the activities of these officials Alcost one-fifth coreover have discussed co~~~ity probl~ ~ith these officials particularly those working at the grassshyroots level Residents of rural villages actually have a higher level of political knowledge than their counterparts in the towns

5 Elections in the rural areas evoke a highly rational attern of voti~g despite the effects of ascriptive or traditional co~siderations Inc~ens are pri~rily evaluated in terms of their record in fulfilling the public r S elpectations of what they should do Elections are essentially referenda on inc~entsr perfo~ce especially their perforwance in the area of constituency servi~es such as bringing development projects to the districts bull

6 Local developcent projects have a relatively high s~olic value generating conscitutency support for local leaders and the central government at low cost

7 These projects help huild a local political infra-structure which can also be utilizec by central govern~nt civil servants to implement other policies designed to achieve rural develop~ent bull

The Icpac~ of Local Politics on Rural Projects

Having explored the developtent of linkages through which the periphery

is represented at che ~enter and through which the periphe~ attemp~s to

share in the ceners resources we now propose to build upon our initial

investigations by e~ing in greater detail the impact of local political

conditions on specific problecs of rural develop~ent We propose to

exacine the develop~ental activities of local leaders ~nd the rural public

by eX2~Ding a saple ot fifteen to twenty smalL~scale developwent projects

in each of ~he three countries which constituted the sites for our initial

8ESI AVAILABLE DOCUMENT 1 ~ - of

- 7 -

study of center-perhiphary relations The appropriateaess of this approach

and the ~ethodology through which it will be ip~emented is discussed in

section II Because the ~ethodology of investigation is in large part

the result of our previous research experience we fizst turn to a revieW

of the existinQ __ ~petence of the Comparative Legislative Research Center

in this area

II GRAXTEES EXISTIXG CmET~CE

In 1971 the University of Iowa received a 211(d) grant to develop

its capacity to do research on the role of elected represent~tives in

the process of modernization On the b~sis of this grant the University

established a research center which planned and carried out a research

project on the role of elected reres~~tatives as links between the central

gove~ent and rural populations in K~ya Korea and Turkey The project -i

served to develop t~e University of Iowas research capability in this

field esa~lished ties between the University and scholars in the bost

countries and generated a large and uniqu~ body of relevant data

In that project we fo~ussed our attention on tbe activities of elected

representatives in their constituencies notably in their contacts with

local political leaders voters and civil servants To determine tbe

nature of the linkage function performed by tbe representatives we

designed our research to explore the subject from three perspectives

1) we eXaojned ~~a ~ubject at tbe grass roots by conducting a series of

sample surveys of 200 to 300 adults in each of 12 to 14 parliamentary

constituencies in each cf th~6three countries 2) we examined the subject

at the center by intervie -ing MIls from the constituencies in which we

had conducted S3mple surveys ~nd higher civil servants with whom they

had contact and 3) ~e ex~~ined the subject from an inter-~diate level

by identifying aud ~terviewing local social and political leaders in

the MPs constituencies We used survey research methods because we

were embarking on the study of an entir~ly new subject for which little

relevant docu=e~tary data existed and on which there were few secondary

sources As a result ~e have unparalleled experience with survey

research in the rural areas of less develo~ed countries

The surveys which constituted the cajor part of our field work were

planned in collaboration ~~th scholars from the host countries They were

carried out in each constituency by student interviewers in the appropriate

language ~re than 10000 respo~dents were inteDViewed for the project

Given the visibility and sensitivity of this undertaking approval for

the research was sought and obtained from the host governments prior to -i

the collec~ion of data ~o objections were raised by these governments

at any stage of the research The data obtained have been made available

to scholars i~ the host co~cries and some of the basic findings have

been published in periodicdis in these countries

The Comarative Legislative Research Center ~hich ad~nistered the

project has aisO developed extensive experience in the study of political

leadership in other countries It h3s obta~ed substantial support from

the Fo~d Foundacion and the Rockeeller Foundation has worked in

collaboration ~~h European as ~ell as Asian and African scholars and

is engaged in a ajor study of the role of elected and non-elected leaders

in the oanag~~t o~~ocial conflict Because it has conGucted research

in a variey of setlngs the Center has an ~ceptional capacity to

- 9 -

determine how the relationships be~een political institutions and

economic p=oble75 differ in develoPed and less developed countries

In the course of the major research projects the Center has administered

it has gained highly specializpd ~p-i ce iI identifying 1Olitical leaders

in a great variety of settings conducting systematic interviews with

them collaborating with scholars in the host countries and in coding

and utilizing large files of data to answer specific research questions

The Center has ~lso undertaken to publish the results of its research

in three fores It issues codebooks to the data enabling scholrrs at

other locations to use the data expeditiously i~ publishes research reports - in the form of Occasional Papers and it publishes a scholarly periodical

devoted to the presentation of research findi~gs to an inteIT~tional

audience

The Center utilizes the data ~ysis facilities of the Laboratory

for Political Research of the University of Iowa and drawS on the unusual

n~er of secialists in comparamptive politics and survey research in

~~e Lniversitys Departmen of Political S~ience The Center itself I

has the services of an administrative secretary and a clerk-typist

~intains its~o~cn extensive archives and its o~~ publications program

It is e~uipped to assist scholars and government officials outside the

t~iversity of Io~a The participants in its p~ojects are full-tioe

faculty ~e=bers ~hose undergraduate and graduate teaching is closely

related to their research As part of the teaching program the Center

has attracted students from the countries in which the research projects

have been conducted these students have participated in the projects

bull J

have obtained training in other fields of political science have received

University of Iowa degrees~ and have ret~rned to teach and to do research

in their own countries

III PURPOSE OBJECTIVES AID METHODS

Purpose of Study

The purpose of the proposed grant is to extend the capacity of the

University of Iowa to determine the political conditions in the rural

areas of less developed countries which favor the establis~ent and growth

of small-scale developoent projects ~e objective is to put the University

of Iowa in a position to assist the Agency in designing small-scale rural

developent projects providing guidelines for carrying out social soundness

analyses of such projects and adviSing in the evaluation of projects

We will discuss the utilization of~t~e Universitys capacity in detail in

section IV below

We propose to concentrate our investigations on the political conditions

surrounding s~l-scale ru~al projects Such projects have distinctive

advantages They waximize the political participation of the rural populations

both in det~~-ining the direction ~d implementation of develop~ent efforts

and in defending the interests of periphery vis-~-vis the urban-based

bureaucratic elite S~ll-scale projects stimulate entrereneurial activity

on the part of the rural citizens and growth of the info~l canufacturing

and service sector Tbey require less lead tice and less administrative

c~erhead to ~eco~e operational than large-scale capital-intensive projects

centrally administered Such projects yield rapid and direct benefits to

1

j

the rural

- 11 b - ~~1

populations and are consistentwith their hUIlaD rights--both

political and economic However~ small-s~le projects pose s~ecial probl~s for administratcrs of developceocll assistance progracs because

they require the donor co assess the local olitics particularl the

rural politics of t~e host country

Develop~c adoinistrators pr~rily conc~rned with assisting rural

populations must therefore recognize the range of political variables

affectL~g these projects Small-scale projects offer great opportuoities

for develop~ental assistance progr~ because they can be easily targeted

to help rural populacions require low capital costs and need no be

concentrated in one or two localities Such projects ho~ever~ ~equire

the a~istrator to have ~re political kno~lecge than large-scale

projects Oil which his priJlary tas~ is guiding the work of other experts

Questions for ~Investigation

To detercine the politi~al cc~diicilS ~st conducive to ~he establ~~ent

and gro~h of scalI-scale rural projects ~e propose to address our inquiry

to the following specific questions

1 To what extent and why co local political leaders seek to establish s~~l-scale develop~ent projects within their co~unities

2 To what extent and ~~y do local leaders other than politicians initiate andor provide leadership for s=all-scale developm~t projects

3 Bot do the relations bet~Jeel different types of local leaders (political and non-political) and bet~eeo these leaders and central gove~ent civil servants posted to the rural areas affect the conduct of develop=ent projects

4 How do existing authority ~eLationships between these different leadership grous and the rural pub~ic affect the organization and operation of s~l-scale develop~ent projects

- 12 -

~

5 lhlt is the nature 0 pclgtlic participation in the establishlent and operatio~ of s~l-sclle projects and ~hat are the outcc=es or this participatioe Gucer w~at conditions is such participation ~ost likely to occur

We seek a~swe=s to t~cse questio s L order to determine the effect of

different co~iigurations of local leadership and public participation on the

outcomes or small-scale rural projects te are particular1y concerned with

the ~pact of these configurations on the rate of econocic growth and the

distribution o~ rIGSlth ithin the loal cOlllUlity ~ on the perce~tions of

s~ll-scale proj~cts by central govern~ent per~oncel and the rural public

anmiddot on the organiation or flture projects

To a~swer these que~tions it is oar intention to study the initia~ioD

izJple=enation ald i1lpact of a salple cpound small-scale rural projects in

Kanya Korea and Turley in the sae cOllities in which we carried OU

our initial icvestigations ~ 1973-75 Tne relationships between the -

various conf~gurations of local leadership and public participation and

the three phases of project develop~ant are sho~ in Figure 1 We will

exa=ine projects to pro~ote the adoption of new agricultural techniques

by s~l and moderate landnolders the building of feeder roads irrigation

ditches and other s~ple infrastructure the organization of fa~ers

cooperatives and other local associations concerned with rural development

the establish=ent of rural health clinicS and schools and the setting up

of craft and service industries

Sites for Study

We plan to return to our original set of localities because we possess

a rich body of relevant data on the extent to which linkages exist between

Figure 1

TYPES OF LFLUEXCE OF C2r~ middotGOVER1iEXT OFFCIALS

LoCu LEADERS 0 THE RURAL PUBLI-C OX THRr~

PHASES OF RURAL igtEVELOPHET PROJECTS

r----------~J C~ltral Gover1~nt Official)-N------- - J

r- Local pOlitical leaders

Local non-political leaders

~l 1---- -

ROJECT nITL~TIOS

Influ~ce on selection of projects

InrI ~elce on location of projects

Influence on policy guidelines for proj eCl

Il

I

a

I I

-I PROJECT I~L~~iATIO~ ~ 1

j Project Organizati I Selection of project

leadership

Hobilization of resources

Mobilizatiol of public compliance with project require=elts

Diffusion of project innovation

Rural Public

I

BEST AVAILABLE nOCUMENT

1 ROJECT IMPACT

Organization of ongoi=g project operation

Distribution of project benefits

Evaluation of project

Public attitudes toward project

-middot14 -

these areas and t~c central p~litical institutions of the three co~tries

and on the attit~es of the rural populacioc local leaders and elected

legislators regardi~g their problecs of develop~~c Since such data

is unavailable for alternative locales a return to the areas in which

we have previously done much research ~ables us to build on a uniquely

valuable body of icformation

A return to Kenya Korea and Turkey is also highly desirable from

the standpoint of effective research organization The Comparative

Legislative Research ~enter has developed close collaborative relationships

with several highly competent social scientists in these countries and

with the academic institutions with which these scholars are associated

We have also dev~_oped cooperative relatio~ships wi~ gove~ent officials

in these countries which should facilicate obtaining approval for our

further work

In proposing to doc~ent the origin i~pl~entation and impact of

one to three s~ll-scale develop=ent projects in each of 35 localities

we have two considerations in mind Firstmiddot because our pr~ry goal is

to deter~e the political conditions for rural developm~Lt we wish to

examine develQ~=ent in as many different settings as feasible Only in

this way can we control for so=e of the major socio-cultural variations

that erist along rural populations in less developed coultries These

include the overall level of econo~c development in the co~unity the

nature of t~e ~digenous culture an~ relationships of authority and the

pro~ty of the comounity to major urban areas and centers of central

gove~nt ad=inistration ~ce our original study sites were carefully

BEST AVAILABLE DOCUMENf

- 15 - ~ ~1

selected to represent these variations ye have concluded that these

35 localities woule be ideal sites for the propose~project Second~ in order to dete~~~ the ~pact of local leaders and public

participation o~ ~ural projects we intend to compare projects 1n which

local leaders and ~ecbers of the public have played a major ~ole with

projects in which they have not We also ~l cospare projects initiated

by the central gover~ent with projects Yhich have been locally initiated

These considerations give us a typology for selecting projects as depicted

in Figure 2

Figure 2 ~

FIVE TYPES OF RU~AL PROJCTS ACCORDIXG TO ~FLUEXCE OF CEITiW

GOVE~1E~T LOCAL LEADE~ AD RLRAL POULATIO~

Level of Participation by Rural Population

Locus of Project Initiation ~

Local Co=unity Central Governoent

BIGd

LOt

1 Projects initiated by local leaders and providing for participation of the rural ~opulation

4 Proje~ts Litiated by local leaders bu~ not involving participation of the rural population

2 Projects initiated by the Central Govern~ent and administered i~ cooperation with local leaders a~d the rural population

3 Projects initiated by the Central Govemlent and providing =or the participation of the rural population but by-passing local leaders

5 Projects initiated by the Central Gover~e~t a~d administered in cooeration Yith local leaders but not involvi~g parti~ipation of rural population

- 16 -

We recognize that the socio-cultural setting of rural develoment

projects varies significantly within and across less developed countries bull

By focussing o~ a representative sa=ple of localities ~ Ke~ya~ Korea

and Turkey we can take account of naoy~ though not all of these variations

While some of our substantive findings will not be directly generalizable

beyond the countries in which we propose to conduct our study we expect

that our basic ~ethods and fLdLgs will be applicable to national and

sub-national settings elsewhere in the developing world This is partly

d~e to the fact that the hierarchy of patron-client relations ~hich we

regard as a critical factor in rural develo~~t exists in ~ost Liles

--It is also due to the fact that the methodology for identifying local

bull leadership configurations auG poundor studying local politics which we are

perfe~ting can be used to assess local political co~ditions in a large

variety of countries even when the ~nditions themselves differ significantly

Methods of Investigation

The data needed to assess the iDpact of local leaders and mass

participaticn on rural dev~lop~nt fall into two categories Some a~e

contained among the data gathered for the research project we are currently

completing Others will require additional field research

The following data are already in hand

1 Data on the social landscape of each loc~l co~nity i~cluding aggregate data o~ level of econonic development de~graphic characteristics political pa=ticiation eth~ic loyalities and rates of socio-econocic change dur~g the past decade bull

2 Identity of local leaders including both political and I-on-political leaders and both legislators and other politicians

3 Perceptions of existiag probl~ and their possible solution a~ng

l)tS r AVAilABLE DOCUMENT

- 17 -

general public local leaders and civil serv~nts

4 Level of political kno~ledge among local citizens and local political leacers

5 Political and social values a~ong local ci~izecs and local political leaders

6 E~~ectacions of leadership roles among the local public and elected and non-elected leaders

7 Patterns of co~unication ~ong local leaders and between local leaders and the central gove~e~t

These data ~hich ~e already have in hand can be subjected to analyses

which ~~ll provida the foundation for our further work on rural develop~ent

projects A part of our work therefore will consist of fu~ther analyses

of existing data

New data of the following kinds are also required

1 Doc~entary data on the origin and evolution of particular smallshyscale develop~cnt projects in the rural areas

-2 Data on project costs boih ~itial invest=ent and recurring

operating costs and data on project ou~puts ie pupils in schools Ddles of road coopleted nl~ber of hospital a~ssions production of factory agricultural productivity

3 Data on project organizatio~ n~~r of local inha~itants participating in establis~~ent of projectt nuober of local L~habitants subsequently involved in project

4 Data-on the pe-cetion of projects by local leaders emers of the local public a~d by civil servants data on the perception of how each project ~as initiatec organized who benefitted and what its future implicatio~s are

These types of data will requ~re field work involv~~g both docucentary research

at the relevant ~istries of the central government and in local goverr~nt

authoritieS and inforoal open-ended interviews with local political leaders

elected representatives and other local leaders who~ we had previously ~

interviewed in a s=uctured syste=atic =aoner

BEST AVAILABLE DOCUMENT

- 18 -

Grant Organizatio~ and T~etable

We propose co undertake the research outlLled above beginning in the

fall se=ester 1977 Dur~g that te~ Professors Barkan and Kim as

principal investio~tors for the neo1 proj ect will contact their collaborators

in the host co~~tries They ~~ll also seek the collaboration of an additional

~rican scholar specializing in rural development with the aic of getting

additional advice on sources of data and suitable indicators for the

~easure=~~t of rural develop~ent projects

At the end of the fall seQester Professors Barkan and Kim will make

a trip to their research sites to disc~s details of the research organization

with their collaborators in the host countries and to recruit student

assistants Tney will devote the spring te~ 1978 to further analysis

of a~sting data at the University of Iowa

The gathering of additional dita L~ the field will begin in the s~er

of 1978 Professors Barkan and Kio will direct this work personally We

eAect that its coopletion ~~ll require three to six months This work ~1

involve the evaluation of central and local gove~ent reports on the

projects uncer investigation extensive on-site observations of the projects

and oen-e~ded interviews with the principal participants Our principal

respondents ~i1l be the local leaders and elected representatives we

have previously identified in the localities in which we have worked and

a sacple of active participants in the particular dpvelopment projects

being studied ~~ere necessary and apropriate surveys of the general

public will be uncertaken to assess the inpact of a given project on the

rural por)r We do not however leed 0 conduct systeAlatic sample surveys

BEST AVAILABLE DOCUMENT

- lY -

of the rur~l population as We did in 1974

In the organization of this research project we intend to reconstruct

the rese~rch tea=s ~e e=ployed during 1973-75 We shall again seek the

co11abo=~tion of P~ofessor Sc~~S-7o~g Pai of Seoul National University ~

Professor IIiCr Turan of the University of Istanbul and Professor John J

Ok~u of the U~iversity of ~arto~ S~ilarly w~ contemplate directing

the field research fro~ he same acade~ic research organizations we previously

used Seoul National U~ive~sity th~ ~~iversity of Istanbul and the

Insti~ute for Develop~eut S~udies University of Nairobi As before we

will tra~ students f~oo these institutions to serve as interviewers

The analysis of the open-ended intervie~s and of docUQentatio~ on

I ~ural develop=e~t projects will be a ~ore t~e-co~s~g process than the

analysis of closed intervie~s It will reqrire a high cotnittl~t of time

fron the principal investigators )e e--pec to hold a conference at the i

U~iversi~y of Iowa 3lO1g all the principal )clticipa~ts in the resea~ch

project d~=~g t~e spr~g 1979 to evalua~~ the newly collected data

le e~ pect to be able to vr-ite reports of t~ results during the Sl1~er 1979

(see Figre 3)

IV LlX-GS ~1) U~ILIZATIO~

At the e~d of the grant period the Uti ersity of Iowa will be able to

1) advise the Agalcy 01 the design of s~l-scale rural projects to assist

the rural poor 2) provide guidelines for social soundness analysiS of

small-scale projects for the rural areas of U)Cs 3) consult w~th the

Ag~tcy 01 the evaluatiol of rural projects ~d 4) provide LDe governments

BEST AVAILABLE DOCUMENT

)ATES

~lll

1977

~inter 1977

iprilg 1978

il mer 1978

~all

1978

ipr~ng

1979

Imiddoter 1979

University vf Iowa

Plutlning of rural develo~rent project

Barkan Kil

Alalysis of existing data

Barkan Kia

Data processing

3arkan Kin

1

I

- 4 -

Figura 3

GRAT TLfETABLE

SIT E S

Kenya Korea Turkey

Preparation of field research ural developH~lt project cOlisulta~io~ a research sites

BarkanOku=u Ki~Pai Tura~rkanKi~

Preparation of field resea-ch

Tural

Field research on rural cevelop~~t projects Bar~lOk~u Ki=Pai Turan

Co=pletion of Co=pletion of field resear~~I~ fiald researcr

Ok~u i Pai bull

f Coopletion of field research

Turan

Data analysis conference a~ong all princial i~vestigators at Un~versity of Iowa Barkan Kil Oku=u Pai Turan

Co=letiol of r~ral develop~ent

project

3arkan Kiz

BEST AVAILABLE DOCUMENT

I

- LL -

~ith speciali~cs o~ ru~al developcect ~mong their own citizens ~ho ha_

partcipatcd ~s collaborators in the Iowa projects

In the proposed project we Will test a series of hypotheses cOlcerning

the political cOllditions of rural develo=ent which run counter to CODOn

assuoptions conccrnir3 t~~ influence of rural politics on project effectiveness

As a result ~e ~dll be able to assist the Agency in designing and evaluating

such projects froe the point of V~~W 0 their political viability The

hypotheses We will test sugges~ t~at the patron-clie~t relations existing

in the local politics of zost LDCs are not necessarily i~pedients to rural

develop~ent but are aspects or the political structure which cal be used to

facilitate s~ll-scale ru=~ projects which will raise the standards of

living of _ ~ rral pomlation - As ~ result or our stuey we expect to be

able to P~-O~t the local leadership confi5~rations ~4d the relationships

between local leaders ald rural poclations ~nich are oost conducive to I

successful develcp=en efforts We believe that we will be agtle to perfect

a cat~odology for identifying the political conditions for rural develop~ent

one ~hich is transferable pound~oo the countries we have specialized in to

other LDCs

We proo~ to develop specific guidelines to assist administrators

charged with selecting evaluating and =onito~ing rural develop~ent

projects to ~szess t~esc rojects in tares of their-social and political

viability he outco~e of such projects is dete~ned not only by the

efrectiv~nass ~~=h ~hich they use scarce econo~c resources but by the

~~er L~ w=ich they e~gage the suppprt of local leaders and rural

po~ulatiocs~ by thei= effect ou social a~d econo~c equality ~d by

D[~T AvAlLA8LE DOCUMENT

- 22 -

their consequences for hwan rights ~Je plan to establish criteria by

middot~hic~ the probable outco~es of projects in these social terms can be

anticipatec

The study ~e propo e will be undertltlken by faculty at the Cniversicy

of lowe in collaboration with faculty a other ~rican institutions and

institutions in the host countries We will build on the extensive contacts

between the Co~perative Legislative Research Center of the ~niversity of

Iowa end other instituions with ~aich ~e have worked One =ajor result

of our collaborative study will be the existence of a net~ork of compe~ent

scholars both in this country and overseas experi~lced in ~orking together~

shar~g a co~on teaching and training experience i~ close contact throu~~ the

effective publications progr~ developed by the Co~parative Legislative Research

Center T~e e~~ertise of this group of individuals will be ava~lable to

oteer scholars to the Agency and ~o L~C governments for specific policy

advice The eXertise developed as a consequence of this project will

extend beyond the ~tionals of the countries ~volved since the univ~sities

engaged in ~e project attrtct stude~ts fro outside heir own countries

For ey~=ple the teaching ~d research progra in the Depar~ent of Political

Science 0 theUniversity of Istanbul heavily affected by the participation

of its facul~y ~e=bers and graduate students in our projects attracts students

throughout the ~middot1iddle East for Whom the University of Istanbul is the iajor

institution ~pound ~igher education in the region rne Institute for Developmen~

Studies is si=ilarly a focal point for students and faculty in East and

Central Africa Seoul ~atiocal Unive=sity attracts students froo other

Asia~ co~tries~ In this way the capability developed among the participant$

BEST AVAIL~BLE DOrUMENT

- ) -

in our work is diffused widely To the exte~ that the abili~y to assess

rural develop~ent p~ojects in teres of their social soundness is increased

both in the United States and in ~o~~tries r~ceiving develop=en~ assistance

the cap3~ity of racipien~ countr~es to absorb aid is ~creased

We propose to draw up an inventory of personnel available in ~~e

Cnited States and in other co~~tries who are able to consult with developen~

a~nistrators on the design of rural development projects and on their

evaluation We ~~ll draw first of ai~ on individuals w~o have been

directly associated with our ~ork in the past or on ~he proposed project

and ex~~~d the list to include graduate students and gove~ent officials

with who~ these individuals have wor~d

tole Yill utilize tha existing publication program of the Center

dercribed above to disse~inate our findings The Center has specialized

oailing lists of interested individuals and institutions in all parts of -i

the world and its reports can trerefore reach the ~st relevant audience

jirec~ly ~d re~~arly

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CONTRACfjGRANTCOOPERATIVE AGREEMENT DATA SHEET

INSTRUCTIONS fjDW Complete 4 copies of the form Original SERCMSDSUP Statistical Section Copy Copy 2 SERCMSIiUP dministrative Copy opr 1 Contracting Officers COy COP) 4 SERCMSDSUP IUmin (Suspense) Copy

Missions Complde 2 copies oi the form Origin31 SERCMSDjSUF- Statistic31 Section Copy 3n~ Copy 2 Nill be ret31ned in the Missions

PART fA

ConU3lttorGranrce Name

University p~f~I~o~wa~ __ -r~ ____ ~~~~ __________ -~~ __ ~~~ ______________ ~~~~ Plorr Numt-er ApptopriJtion Number Allotment Number Project Number

930-0090-3Q13411 A5 72-111l0216 146-30-099-00-20-11 930-0090 Project Title

So~ia1 and Potitica1 Aspects of Development - Conference to Report Research Findings Amount of this Plorr I Projecl M3nagers Name and Offire Sytlbol

$10397 (increase) PDPRCP Jonatlan Silverstone Contr3ctors D-U-N-S Number

Ncgwatocs TYJlCd~3meJ j) Signature I l ~ jIf- bull G HtJ--ft u l IVmiddot

D~e

L - f - J ContractGrant Officqs typed Nailllt Signalure LJ d I -r-

plusmn t 3i-alflpta (( BLvle~ 1 I~ PARTm

ContractGranl Number

AID CSD-3294

Effeclive Date of Docum~nl Signalltre D3t~ of Documenl

Lf---C yen-~-gl tIost Courtry Institution (U iwrsity contract ONL Y)

Campus Coordinator (Uniwr ty i contract OiiL YJ

PART UL Descriplion of Cor-tractGrant P1use X ONL Y ONE item under each headiZg IF THEltrease CifYmC~e bolh ges I 30~~ O~ Nol to be completed for Amendmenl or Modlfic3lion AJigtns I III

J 710gt I I V ~ I

MOl - TYPE ACT A~ 0 G unsolicited Propsll (AIDIR 0 C Individual (Non-pe~nal senice)

~ O Cortra lGrantl ooperative Agreemenl 73101-SO(b)(6raquo 0 D Individual (ftrsonal Service)

tJl T3sk Order ( A)middot 0 H Procurement 10 be Perfocm~d by the Conmiddot 0 E UniversilyOther FAuC3lionailnSlitulions

D 2 Work Order (IQC) Ira~lor in Person (AIDPR 0 F Non-Profil Organizationlnslitutions (other

D 3 Delivety Order (Requirements) 73101middotSO(b)( Iraquo than Ed or PVO)

[j 4 Purchase Ordcr [J I Sole Source (AIOPR 7-3101-SO(b)(4)) 0 G Private Volunury Organization (PVO)

If I 2 or 3 1Lle an ~ compllle M 12 ON Y D J Imp3irmenl of Foreign Policy Objectiws 0 H International Agricultural Research Organj-

M04 - CONTRACTGRANT TYPE

o O MOA (BOA BMA etc)

o I Fixed Price (Specify fFP FPRD FPEPA FPI) _____ _

(gtIDPR 7-31 OJ SO(b)(7raquo

OK B(a)5eJection (FPR 1middot1713-1)

o L Grant iH1ndlOok 13)

o M Do Nol Ue

D 2 Cosl Reimburemenl (S~cil) CR CPFF 0 N Cooperative t~reement (Handbook 13)

CS CPAF CPIF) ~ 0 O Small Business SeImiddotAside (FPR 1middot1706-8)

o l Cooperative Agreemenl ~ 0 1 Overseas Procuring AClivilies (AIDPR

04 Grant Gener31 Supportmiddot 0U ~ 7lIOI-SC(b)(2))

o S Granl - Specific Support ~ ~06 E SER VICE

g ~ ~~t ~~(d) ~~ ~~ ~ eci~a~~~~~ogram Projeci

o amp IQCs ~ ~ relampted excepi A amp E Services)

o 9 Host Counlry ContraclGrnnt 5lJ C amp E Services

middotComplele ONLY through ~Sl ~~ 0 D Construction

M05 SELECTION PROCEDURES 0 E- Reseuch

o A Formally 3dverliscd (IFB) (A1DPR 7middot24 amp

FPR 1middot24) ~ o B Negoli3ted Price Compelilicn Gencr31

Procedure (RFP) (-JDPR 7456)

Dc A amp E (AIDPR 7410)

0 D Ed Inst andor Inl1 R~arch (-JDPR

74 5)

o E Collaboratoe Assisunce (IDPR 7458)

C F Predominant Capability (IOPR

73IOI-50(b)(l)

AID 1420-49 (179) - Page I

D F Technical Services to AID (other than trainmiddot

ing usually o~ating expense)

D G jraining SetVice for AID

o H Equipment Materi3J~ Supplies Commodities

D I Translation Service

~07middot TYPE CONTRACTORGRA-nEE

o A Firmmiddot AU profil-rn3king fUms (other than

Aamp E)

J e A amp E 8r~

zalion

o Public Inlmlational Organizations (UN

Agencies ICRC Wocld Bank elc)

(H8 J 3 Chapt~ S)

M08- TYPE AW~RD

o A S8 Sel-Aside - Awarded to Non-Minority

o B S8 Set-Asidemiddot Awarded to MinXity

o C_ S8 NOI Set-Aside - Awarded to Non-Minority

o D S8 NOI SeImiddotAsidemiddot Awarded 10 Minority

o Eo amp(a) S8A Awarded to Non-Minority (Womerl-

Owned Veterans etc)

o F 8(a) S8A Awarded 10 MinorilY

o G Personal Sen-ice ConlrdCt bull Non-Minority

o H IeJSDnal Service Conlract - MinorIty

o I Individual NonmiddotPersonal Service Contraci -

NonmiddotMinority

o J 100Jigtiduai NonmiddotPersonal Service Contracl -

Minorily

o K NOI Small Business (Univ NonmiddotProfit Large

Firms) Non-Minorily

o L- NOI Small 8usineSl (Univ Non-Profit Large

Firms) Minorily

o M US Govcrnmlnt

(Connnued on Page 2)

BEST AVLABIE DOCUMENT 1 I

--

ua ) R I GI NAL 9 bull

MODIFICATION or GRANT PAGE 1 of 2

AH 1 2 Effective Date 3 Grant No 4 Effective Date

Amend_at Ro 5 April 15 1981 AIDCSD- 3294 8-11-71

-s CRANTEE (Name and Addrea) 6 Administered by -Professor Gerhard Loewenberg -Office of Contract Management Cbrnparative Legislative Research Gente Central Operations Division Dept of Political Science am Branch University of Iowa Agency for International Developn~nt Iowa City Iowa 52240 Washington D C 20523

7 PIO No 930-0090- 3013411 A5 8 Previous PlOTa -

Appropriation No 72-11110216 93i-1l-995-l36 930-11-995-136-73-3078103

Allotment Symbol - 146-30-099-00-20-11 wunt Obliga ted by this ~ndrnent - $10397

The above numbered Grant is hereby modified as follows

1 Anotmt obligated prior to this rurendment 2 Amount obligated by this amendment 3 Total obligated anount (1 amp 2)

Delete the amJmt $465000 and substitute in lieu thereof the ammnt I$47S 39-7 ~

FUNDS AVAIrABm

~~ - APR 13 1981

PrO~A~~5iors

$465000 $ 10397 $475397

OffiCE Of fIN~(1 ~~rE~E~T __ _ 10 This amendment 11 entered into puruant to the authority of the Forelgn

Assistance Act of lS~l as amended Except aft hereln provided all terms and ~~ndi~ons nf the grant rcferpnccd in Block 13 remain unchsnged and in full force and ~ffcct

11 original and six Crantee 18 requlred to aign thh document aad return 1- eopics to issuing

ffiee

~~~ or printed) BUSINESS MAHAGR amp bull

Tille TREASURER

UNITpound) STATES OF AHERICA AGENCY FOR INTERNATIONAL DEVELO~NT

BY_-1(1o-_1lt--= 13middot~_1_~ __ K R B1uteau

(Name typed or printed)

Tltle~ ____ G_r_a_n_t __ O_f_f1_c_e_r ____________ __

D3tC APR 2 J 7997 Dolt 9 APq 1981

BEST AVAILABLE DOCUM NT ___ 0 HLGlNAL - I 1 J 1 ~ )

- 2 -

AID ftmds in the am)tmt of $10397 are hereby provided for the activities lmich are described in your proposal (including Budget Stnmnary) entitled CDnference to Report Research Findings on the Study of Political CDnditions for Effective Small-Scale Rural Assistance Projects in Kenya Korea and Turkey dated February 17 1981 and made a part of the Grant b reference

BtTDGET StMMARY

Line Item

Travel

Per Diem

Other Direct Costs

Less existing 211 (d) grant funds

Total Amount Obligated by this Amendment

Estimated Costs

$ 5888

5100

_ 2500 $13488

_ 3091

$lO39

Note Indirect costs or $395086 associated with these activities will be contributed by the University of Iowa

BEST AVAILABLE DOCUMENT

~RIGINAL

- CONTRACT IGRANTCOOPERA rIVE AGRElEMI~ SERC~SDSlP Actio) Monitor

SERCMSDSUP Action Office

I

INSTRUCTIONS AJDW - Complete 4 copit of tlh fonnmiddot Orisina iCMSDfSUP Sutistical Section COP)middot Copy 2 SERCMSDjSVP Administrative CoP Copy 3 Cont-acting Officers COP) Copy 4middot SOSUP Admin (Susptnse) Copy Missionsmiddot Complete 2 copies of the form or~aI SERCtSDSUP Statistical Section Copy and Copy = wiU~ retained in the Missions

0 PART IA

Effective Date of Document tJ

Delivery Order (Requirements)middot

o 4 Purcluse Order

bull If I 2 or 3 have an bull X compl~te M I 2 ON L Y

M04 - CONTRACTGRANT TYPE

o O MOA (BOA BMA etc)

o 1 Fixed Price (Specify FFP FPRD FPEP FPI) ___ _

o 2 COli Reimbursement (S~cifY CR CPFF CS CPAF CPIF) ______ _

o 3 Cooperative Agreement

o 4 Grantmiddot General Support

o S Grantmiddot Specifi Support

o 6 GraDt 21 led)middot

o 7 Do Not Use

o amp IQCs

o 9 Host Country ContractGrant

middotComplete ONLY through M 5 1

MOS SELECTION PROCEDURES

o A Formally advertised (IFB)(AJDPR 7middot24 amp

FPR 124)

o B Negotiated Prire Competition General

Procedure (RFP) (AIDPR 7456)

o Co A amp E (AlDPR 4 I 0)

o D Ed Ins andor Intl ReStalch (UDPR

7457)

o E Collaborative ASSistance (AIDPR 7458)

o F Predominant Capability (AIDPR

7-310l-50o)(3)

AID 142049 (1-79)middot Page J

o H Procurement Co be Performed b~ the Conshy

tra~tor in Person (AlDPR

7middot3t OI-SO(b)(Iraquo

o I Sole 5gturce (AIDPR 7middot3101middotSO(b)(4raquo

o J Impairment of Foreign Policy Objecdv~

(AIDPR 7middot310 ImiddotSO(b)(7raquo

o K 8(a) Selection (FPR 1middot1713-t)

o L Grant (Handbook J 3)

o M Do Not Vse

o N Cooperative Agreement (Handbook 13)

o O Small Business SetmiddotAside (FPR 11706-8)

o P Overseas Procuring Activities (AIDPR

7middot3101middotSO(b)(2raquo

M06middot TYPE SER VICE

o A TtJining of Participants

o B Technical Assistmce (Program Project

related exc~pt A amp E Services)

J C A amp E Services

0 D COltl~ruction

0 E Research

0 F Technical Services to AID (other than trainmiddot

ing usuaU Y operating ex pense)

0 G Training Service few AID

0 H Equipment Mat~rials Supplie~ Commodities

0 I Translation Service

07middot TYPE CONTRACTORGR TEE

Firmmiddot All profitmiddotmaking fu-r1s (other than

AampE)

o 9 amp E Firms

I Prcct NumbcT

I

Contactors D-U-N-S Numbcr

I) -S--f(j

o C Individual 0-lon-~rsora1 service)

o D Individual (Pet-sonal Service)

o E University lOt her EduCltionaJ Institutions

o F Non-Profit Organization Institutions (other

than Ed or PVO)

o G Private Voiuntary Organization (PVO)

o H International AgricultwaJ Research Organmiddot zation

o I Public International Organizadon~ (UN

Agencies ICRC ewld B3J1k etc)

(HB J 3 Chapter 5)

M08middot TYPE AWARD

o A SB SeImiddotAsidemiddot Awarded to Non-Minority

o B SB SetmiddotAside bull Awarded to Minority

o C SB Not SetmiddotAside - Awarded to Non-Minoril)i

o D SB Not SetmiddotAside - Awarded to Minority

o E ~a) SBA Awarded to Non-Minewity (Womeli

Owned Veterans etc)

o F 8(a) SBA w-rded 1o Minority

o G Personal Service Contractmiddot Non-Minority

o ~ Personal Service Contnct - Minority

o I Individual Non-Personal Sence Contractmiddot

NonmiddotMinority

o J Individual Non-Personal Service Contractmiddot

Minority

o K Not Small Business (Univ Non-Profit L1lge

Firms) --vn-Minority

o L Not Small BUSiness (Univ NonmiddotProfit Large

Firms) ~inoriy

o M VS Government

(Continued on Pcge 2i

t bull - t ~ J f q

ORIGINAL bull MODIFICATION OF GRANT

1 2 Effective Date

Araendllent Ro 4 12-2-80

s CRANTEE CHace and Addrels) Professor Ger1ard Lo~middot enbelg Comparative Legislative Research Deartment of Political Science The Lnivp-rsity of Iowa Iowa City Io~a 52240

7 PIO No NI A

Appropriation No 72-11XHl26

Center

Allotment Symbol -426-30-099-00-3~-71 Amount obligated by this urendment-O- I

3 Gnnt No

AIDcsd-3294

PAGE _____ 1 _of-L

AlI 4 Effective Date

8-11-71

~ Admlnlltered by -Office of Contract Management Central Operations Division OTR Branch Agency for International Development Washington DC 20523

8 Previous PIOITs -

931-11-995-136 930-11-995-136-73-3078103

9 The above numbered Grant is hereby modified as follows

Supplement to Grant

Change the duration period sentence to read

The Duration Period for this Grant shall be August 11 1971 through December 31 198]

1 Amount obligated prior to this amendment $465000 2 A~unt obligated by this amendment -0-3 Total obligated amount (1amp2) $465000

----------------_- - ------- ----_- ------ 10 Thh lImcndmcnt is entered inlo punuant to the authority of the Foreign

~ Assistance Act of 1961 86 amended Except a~ h~reln Z II provided all terms and condi tions nf the grant referenced in Block 3 remain ~~aunchlinged and In fu1l force and effNt cnltUI cJ)za 11 o 4 J bull

Et~ ai~a gtUoItshyc Z P=u

original and six Grantee t requi red to sign this document and return 1- eopies to 1Bufng

office

~ 12 GRANTEE TES OF AMERI CA

(Name typed or printed) bull

TJlle Director Comparative Legislative liecearell CeQtoQl

Date 12880

------------------------------------

ONAL DEVELOPMENT

By ----~--~~~~---------------------

prinled)

Grant Officer Title --------------------------------

J)oll( 12-2-80 -----------------------------

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- 3 -

Te iiersity of aiiaii xill build upon its edsting geoganic

focus on Asia and integate a progra of legislative studies middotdthb its

cc~~t~J ard area s~eci~lizaticn prcgra~s Korea Indonesia ~d Thail~~d

are prcnir~ent aleas in Ea- -aii r S gtrcgt1 alcng ~ith cc-palative ~ ork i~

the Pacific Islads Studi-=s by Halaii ~-ill for exaple compare the

legislative roles in econosicelly slcce~sful cO-L1tries iiitb thei roles

in countries ilitb lesser econcmic gro~-rth It ~middotrill conversely compare

economic i~~ications of cotntdes cr elatively strog wit those of

celatiyely veak legislative systems Emaiis approach would be

intercisciplinary to includ~ political science and bistory plus a streng

III middotnior ~noes ale Activities

1is ga1t is to aCieve t~o pucpcses 1) the en11aLcenert at the

Univesity of Io- middota cf institu~ional capacities for ~~i1ls releya~t to

t~e couparaiive study of legislative orga1izaticn ftnction ald

de~ent as these relate to tle process of ~ocietel moden7ationshy

ceyelop-e~ ad 2) the gele~ation and collation of a bcdy of priJciples

that ca be utilized cy AIu in poliCJ decisions that relate to

re~uests for tec~middotal SlppOt of letislstive institutions in fadlitating

developler~t These biO puposes ca] be s8z-ved ily pursuing the fclloflirg

specific activities

l Training d0mestic 8ld for-eign students in the design and

eXecuticn ot syztcr3tic re6=ar(O en ~he v8--ying Tole that legislatures

pJa~r in the roc~ss of ~detuiaticn-ieve] 0plcn The results cf their

021

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2 Incr~asilg the e-istirg skills e1d redirecting the interests

of dc~estic ~i foreign sc~olars to the comparative leg~slative field

rne Univer3i ty 0 I01[ generally ~rill be erric~ed by t1e presel1ce of

these scholars a1d its ccr~arative leBislative prcgraIl in particular

~middotTill be ennalced by the nemiddott kl1o~ledge that is generated

3 Cooperating id th a11Q other-ilisc facili teting the ork of scbolars

of less developed cOll1tries in rultidisciplinary ark at the Univeisit~r

of Imla en the rcle 0 legislatures in the charlcter of regire legitimacy

as -ell as on re developCent cf a cetralized data bmli at Io a asse~blilg

raterials on legislatures a1d develoent tre logic behind the bank

a1d tile techniques related to its use

4 Diffu~ing relevant ~et~odological ~1d ccrc~ptual teals in less

deelo~ed cOlUltries through the loove enrichent and redirection of

indiviQual~ and t~e ~evelcp~ent of the data b~k) thereby =ultiplying

bott ihe qumity cud quali-vY of the researcl~ frcm which existing

curricula at Io~middotw can be expanded and re curricJla dtveloped

5 Increasing the size of tJe imrld~ide pool of professional ad

expert consujtants ~lalable r-ot only to IO~il Du-e 81Q Hawaii to dra-t

en but also to AID in the pursuit of sev~ral aspects of its

6 Creating nullgli th~ p~ogral at the Univers~ty of IOa the

substance of a stbJisciplire and in cooperation odth similar prograos

at other ~imiddotelsities 811 organizatic1al Gtlucttltre ~nt ca ~vbilize

continuine i1t~-rtiorr1 intrest i1 a11d sapmt fron orgaiations

interested il deveJopr-ent

BEST AVAILABLE DOCUMENT

1(1 1

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itl Suppor- f~ctl this Grat tre University of lei-Ilt ~dll cO1centrate

e1 fclts in this prcge~ en legislative behavier variables tat telp

e91aL ~hee specific 3sten cha~a~teristics 1) the scpe of olitics

2) e style IJf goverQent ~tnd 3) the legitirlacy of the regine For

tis l)1lpcse te gtrcglam -rill ex~e releva1t coparative factors il

a lage nlt=~er O~~ African and Asian legislative institttions The

Univcsity of lO~middotIa ~lill also uldertslte the study of these legislatures

at -a~iClS cLts in tire This ~lould gtequie the use of time series

cat t1G historical SClrces not cctl9arable to contempOral7f sou=-ces of

Fe each of te legislatures included for study Ima -iill seek to

a1al~ze suc] cbractelistics of t~e legislative systen as 1) the

atricutes cf ecers--te process of their recruitment their so~inl

~c cccupalonal backgro-lI1ds their politically relevant srills their

role c~ie1lttio1s inclcirg ht~ir concept of represeILtation and the

pe~pound~ge 1~r5th 0- tente in tbe Ipgislat~re 2) t~1e distribution of

the f0~al 211 inforl rales of 2ocedure the leadersnip groups the

cr-osi tio1 and role 01 legisl3tire staffs a1d the kinds and freqlelClJ

of legisative sessic~s 3) the ~utputs of the instituticn--the agenda

of issues tre modes c- cotenticn el1d the qU11titr and kinds Jf

decisions

)middotemiddoter llllike studies of ~hese fctors in the past Imla is

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The for~Ietic1 0 tneol-y lO this coarative 8seerch of

Tiiill ~erdt equivalent cmiddotoss-sy-ste~ ~easuelents are 8O1g te r6st

irpctant aSgects of tle prcject It r2y be one of the ~c-st valuable

esllts of Io~a I s efforts ad ~dil reCuire close collGbor-tion arong

t~e pa~ticipents bull

p_ Cc=-arative Legislative Research Archive

lltOle a subsb Tltial aolIlt of legislatie data has been collected

in a1j- different cOL1tri8s very little of this iateriul is cOJarativE

1middot-s of it has teen collected by individual reseachers on e single

CQl~ty Cc~adson in legislative research is thus difficult because

=2 01 r3j cClalties are ot available at a sirgle location in s sLgle

is a clear ~eed for the ce~t~alizGd acq~sition ~ or ~ne

available data to per t the forulaticn and compGrative testlg of

~eorics aoc~t le8islativ~ behavior As a major part of this program

te Uive3ity of 1mmiddote 9poundlS to establish a data arch-e to begir to

big te existing legislative sttiies tcgetber at a sirgle location end

to ~-ke ~i~er ~ccessible +0 the grm-ing 1unoer of irterested scbolals in

Once J~1ese data have O~en brOght tcgether tney will contribute to

-~ pogram t IO~middotia in -I~middotiO -poimiddottant ~middoteys First the dats -Till be

utEized in traLig graduate stud2nts T1e rea13lysis of d~ta to test

BEST AVAIL~BLE DOCUMENT ( 1 t

- 7 -

faculty at the University of Imllt1 and from omiddotrerseJs tlitbout slch an

acbival base those dtdies Ylould be ver lil1ited in the hypotheses

ter could test The quali ty of this re search eqerience fill be

(o1siderably enha1ced by the aVJilability or data for co~arison dth

t~e data generated thlcugh the ccllaGorative research sponsored by the

traini~g progca~

Once gathered a~d refo~tted the data ~~ll be ~ade available to

sc~olars students al1d other interested persons outside of tre University

of Io ra P(r exa-nple appropriate data sets would be available to other

llsti utions tat pre ccoperating in t~is program ie Ha-waii Clla De

~ese could tten be used in curriculul developent at tbose schools as

middotell as Ll the pre-grar at the UJiversity of Imre Finally data could be

aie available to i1di-idlal sc~olars and institutions overseas for use

1 teir research a~d trailing progrems The cUIlulatiie effect of this

disse~lilation and staring of data ~i11 be an enrichme~t of research an

Llcreased flO-I of ne data to the Uriversity of Iewa I3Jld a greatly

ena1ced ability at Iowa to aalyze legislative behavior a--d defelopnent

f 1ssociates

The University of Iowa d31 involve as Associates individual US

arc ~ereign Rcolars fro~l other instibticns in some instances fOl

cc-ivities at Iovll in others as recipents of support Oi research and

oter aciivities middothich coqlement cnd emic1 the program at o a These

Associa-es rill be involved in such activities as ser-lfing es University

of IOim g-uest professors 5~St lecturers 1d visiting faculty

lticipel1~s L ccnfiences and s~riosia and as collatJoratiEg 2search

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cevelcged c~lt-ies Smiddot~yemiddotl such projects core already uoer ~middotay

and 3y potetial ss~cetes ~ave been identified and thei ilterest~

211 gtarticipeting i1 t~e ~Cglar1 ascertained

He -resc1t ge~sc-~el a1d acilities of the University of Iomiddotro

plcvice a very st-cre basis for the research atJd training programs

~rnich ~middote a~ ~rc9~3L1g -fmever the further development cf legislative

suCie3 ali a pec~ent streugthenLlg of ~he progrun of Iomiddot ~ is a major

a oes3icral Demiddotmiddotelc~ Galt fur~ds will be uSed by the

LT~iersit2 c la= ~ icreasing te nUbe of faculty specialists in

cClJses ir sjcts elated to the subject atter Specificallr grant

fuimiddotis dll ce usee to ac3 one pernanent faculty Uemoer in roliGical

scienc~ ~middotit s~ecia iltcests b legislaive beh3vior ald political

dloYl-nt a-o 81 a29 cmiddot-petence in Ardcan pclitics and to bring

(lculy -emiddote-s fro less ceveloed countries to spend a peri cd of time

at the TJ1 i si ty o~ Io~middot adine sechtl expertise to the ~od~ at Iowa

other middotisosel -~ i_ le irol1ght to IC~ia as needed to support those nO~T

or --18 fc~~ti r~lt 7ds ~rill also be ilsed to finance data collection

exlts-s ~) t~-e res~imiddotch iork of tte acult the Associate scholars

BEST AVAILABLE DOCUMENT

1~ II

- 9 -

cesigned tgt trrtin US and foreign-born st1lcents in le6islati-~e rese=z-cndeg

Sttde1fs ~dll be tdTi tted cr11ally to 9 proeragt iihicn ~iould irclude a

tro~ot~h grounding in the r thods of cczparative aralysis the S1ostance

of conparatie politis g-mel31ly end the corrparative studJP of

legislative behavior in 9articulal The Uni-ersity intends to associate

tnese studelts directlr - rith research in Ttlhich faultr 2Cbers are

engaged to encourage thea to dra- U90n the skills end resources available

in this field il ra1Y departnents of the University to enable them to

spend up to one year in field research and to have thel4 snare their

findings middotrih their stmiddottidei~t and faculty colleagues Tle prograII will also

involve foreign scholars middotno are expert in the legislative process of

t3ir o- n countries in the tcaciing fgtimiddotogren both by holding -fisHing

a=point~elts at t-e University of Ioc1d by sUgervisi~g field research

c R d - t- ~ 1 rec C~ of Esta~lis~ed Scholars Tne University of Io~~

plals to extend a1 in-itaticn to seieal foreign scholars duri1g te

gle1t p2riod to patici~te in a coparative legislative researc~ seirar

duriig their visit Their plrticipat~ion middotrill edd 3 lL1iqte diiensicn to

the seiiral hceuse cf theh ~1o~-rlecge of the legislature in their own

C01-try BCmiddot2~ J1is Gemilr -ill be dealing -lith the nos-G current

reseaCIJ o~ l0~ ~ltmiddotJres as ell as discussine desigs for reseach to

fill in cowleuge of legis1timiddotre 1ehclicr -re believe

tret it ill be a l2~lilg experience for all the pclticira1ts--incltcing

BEST AVAILABLE DOCUMENT 1]7

- 10 -

Ima rill lOrk collcboratively ~ith the fOrsig1 5cbolars to design a1d

carry out P reseach pruject These projects Till cc~tribute to the

retlaininB of foreign scholars and nill also add to cur mmiddotm and8rstanding

d Research The 9rinciplI enphases in cesenrcl rere cutlined in

Section III above ie to focus en con-9arative studies in iihich

legislative cehaviol can be helpful in explaining the scope of politics

the style of governcent a1d the legitinacl of regiles Variables hich

will be studied Iost closel~r ircluue tbe persistence of institutional

norms in the legislature oyer time the relationship o~ the legislatue

to ether institutions in fornirg public CC1Cepticns of politics and

the histOl~ical context detelini1g public expectations of the 12risleture

This resea~ch nag both academic and practical objectives

Academically it promises to tie legislative behavior research to other

major concerns L1 pcliti~al science such as research on systeJ stability

and paricrJance Its general substaltive eojective is to assess the role

wtlichlegislatures Illay L1 determining the capability of political

s~lstems especially their ability to deal ~middotith soCial change

Vractically the stu1y ~y offer guidance to polic~Y-Dakers on

t~1e role ~ hich legislatures rray be ~lI-pected to pIa)- in neimiddotrly established

political systelt ald on ~hc efcrrrs in established legislatur~s -Thicn

rray be required to achieve specific syste~ effe~ts The study ~dll

Nquire the assccioticn of rembers of legislative staffs a1d 2cademic

colleagues in the s~eLal nations lmder nvestigRotiop plovidirg training

fot ~ll r)f them i1 leeis1ntive re3Clrch ~ri facilitating a valuble

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ll-

of Iml3 ~ill LS~ glmiddot~t f~ds t~ estaolish a data archive to begin to

bring tb~ edtirg legi31ati--re studies tog3tller at a single locaticn

end to =afe t~e ac~essible to tie grc~ring m~er of interested

scholars in t~i3 field PerSCIlllel of tbe Data Archive ~rill searcD

broadly fo all a-reilable data on legislatures in the possession of

ildiviiual researc~rs i11ese data sets ~-Till be acquired refo~atted

for ease in alelrsis a1d stored in Archive Tne Archive ~~ll

asserble tie etel~ Gata O legislative organization ald procedure the

socialization ~~ recruite~t of lzgislators legislative decision-

makLg pccesses 2d legislative outputs To facilitate access to

the data a ~middote-riemiddotrlt11 syste middoti111 be cesigned that will 2011001 r-=searchers

to find ~iccJ ata sets that c~mt2in inforration lelefalt to their

researc1 po)2e5 RibEcg-aphic citation3 cnd abstracts of research

reports on le~i51e-imiddote oebio ~~ill be gathered and a biblicgraphic

retrieval sys tC idll a Geielc9d to aid esealcJers

cooioinet-e1 ~~as n -ie are= of c~rarativa legislatile studies is

t~3t because 0 si~~e iJS in~ti tuticn ias tce necessarJ expertise

of ccrparati ve

1-=gislatiY2 tcie3 8forts of the most conrpeteat ace interested

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12 -

oz~ the tr)middote grantee institutions and otter associated scholars It

~ill ayise t~e pa1tee i1stituticns on SllC catte-s as roritorirg

activities at the t~re~ unive~sities~ evalu~ting rese~rch frr possible

=middotclication sJ--sidies rld ether ratters related to infor~atioTI

disse~~ation coordinating research efforts to avoid duplication

ecilitating excha1ges d sttde~ts ad faculty members ~-iitb foreign

nsti tutions i~en desirable tryi1g to till lacunae in cLIricu lUn

helJilg to arralge cmferelces and sy-posia and generally trJing to

9cote te ~eielcp~2nt of cOlparatile legislative stucies as a

Gra1t L~HS idll be ~sed to support the Univ2rsity of Io -a IS

nrticipation in tre AdisorJ Co-i ttee t1e developrrErt of conferenc=s

elsEfhere il the US arHl over3eas i1 relat2d facets of leeislaive sttdies

Edstng iersonJ~l al~d fa-ilities at the University o= 1oa previde

iaculty facliiies to aid rC3emc~ trailg aPd skill in 21c~ivaJ middotork

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r ~-)

- 13 -

Six ITe-bers of t1e faculty of the Departent of Political Science

at the Unhe ity of Im-ia are presently engaged in legislative research

To merbers ot the Departllent of History are engaged in research on the

British Parlia~ent L~ the eighteenth ~~d nineteenth centuries Fer the

past six years an adv~~ced se~inar has been offered by ~embers of the

Department of Political Science and the Department of Histo~J on

comparative legislative behavior This exte1sive collaboration iiill

ma~e it possible to develop a fully inter-disciplinary program for the

students ~~d visiting faculty In addition faculty ~emcers in

Scciology interested in organizatien theory and in the College of Law

interested in legislctive processes provide furtber e-pertise ava_ilable

to students interested in tee study of legislative behavior The

presence of these specialists on th~ facult~r is reflected in the

excensive librarJ al1d otler data resources existing at Iowa in this

field

The Uniersity of Ima offers an unusually extensive program of

trainL~g in research methods Four ~e~bers of t~e Department of Politi~al

~cie1ce teach in the field of research nethods Courses jn statistics

ca1 be taken ill the Dep~rtents 01 Sociology e-d Educational Psycholcgy

Llis prcgr6l provides a verJ solid grounding il research training and

data analysis

bEST AVAILABLE DOCUMENT

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- 14 -

Y labCrato~y for olitical Pesearch is the reseacc1 md research

tlairirg facility of the Departe1t of Political Sci-lce Gcadvate

students receivo extensive res~arch experience through 1or~ing in the

La oratory bull The Lacoratoy is also a1 integral part of the trainirg

o~feed in ccurs~ T~middotO~ for graduate students

The full-time sta~f of the laboratory includes a director an

assistant director a t-=cl1ical cirector a supervisor of study

t1hteen graduat~ students - rf1rk in te Laboratoy receivLLg teining i~1

~a~a collecticn ~~i data e~alysis Tbe facili te5 of the La)oratorltJ

icluoe a oard eJcerline printer ccnnected to the U1iversitys

dis~ and tape storF-ze for d~ta

The pogral of trailing ia coparative legislative reseC_cch ~ill

relr heavily en t LaOerltcLJ- for taching graduate stucents Visi tine

fc111tr lYe~bes iill be able to utilize tbe facilities cf the Laboratory

gt IOra ~as sFcial ccrpetence in prOCed~les for

ccq ter ogagtlizetion of d~ta Ja1ks ~d fOi the p~ocGssing of large data

sets as well as iJ the sttdy of naticnsl end st~te legisltllres Tile

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Ile Univelsity of 10Ira will eadnister- the Grant thJotg~ its normal

a)1 iristrative char-l1els ad i1 Eccordance imiddotlith its ncrTal olicies and

operatirg procedures 7he Director of the gr~l1t-s~~ported program

Hill be a senior faculty eriOer of the Gniyecsity of IO~-ia -with extensive

expe~ie~ce in the subject field Associate Directors w~tb similar

qtalifications -aill also be appointed 7he Director- and Associate

Directors ~dll serve as eibers of t~e Inter-University Advisory CC1gtr)ttee

established to cooidinate _u bullbull ID gra1t-stpported programs at IOia Dul(e

lniversity a1d the University of Ha- aii Ll1 this field These relatiol-

ships are i~dicated in tee follc~dng a~inistrative organization chart

IX Ul~vsity Ccntri1uticn

T1~ ~h-ersity of IQ(a aSSures ALD that this Grant middotiill not

replace existing ftnds for STr current activity and imiddotrill be additive

to existing prograrrs of tCe lJniversity In direct sp~ort of this

Grat ttc University ~ill provide a) Acmi1istratile costs including

tie of senior officers of ttlt University b) Office ~ld research space

ald library and cor-puttr facilities c) Provision of a1cillamiddotCjr 1niversity

personnel -or consultation o~ ~middotjQrk nth the progral

X Reports end 5evie~-Ts

There i-ill be sub~itt-=i al arnual t2ctnical report for the purpose

of AID s revie- of activities under te Gant Tnis idLl include

a11 e-llation of prcsr~ss aidnistratve ar_c fiar~cial corsicer~tior~s

p~s cr tr foJlJ-middotire ear ~i disctlssics of the ossible l~lizaticn

BEST AVAJLIl8E OOCI1MrNT

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- 16 -

A~~inistrative O~ganization

Ice Board of Regents of tle State of Im-la

-Iesicent of the University I

1 rOfcst Jf t-3 University

Den College of Liberal Arts

r Chailan DcptiEt of olitical ScieJce

Inter-G~iversity

Acisorr Corcittee

PcgrG21 Director Associate Progra~ Directors

Liaison Arcrge~~nts d ~h I I~~erested Plcfessiona1 I Perso~el j

I _

I 5cu1ti (full or PmiddotLG-tire l Asscci~tes a1d otllei non-Io~il

3ecip5ents of Gr3-1t stPPC1t Gr~cue~~e S t1~lcnts St2~retQi~S1 Data Lbed~1 31

Ln 18 r1icia 1

LO1t c~lce Factcj~1 ts

BEST AVAILABLE DOCUMENT ( ( V-t

- 17 -

of te eo17i~g cCpterce br A I D rLld ethers In addi tion there

aS3essr~ents of the gr31t

middot l ~ lI ~ _ _ _ co~~~r~~ing ~~iversiti~s md tne rrctitoring ALD office

7re l~yersity of Ie~middot~ budget of $26500 is to be deveted to the

cemiddotelgt~e~ of lstituticnal cefete1Ce in comparotive legisl~tiye studies

~t Iomiddota c t~ the exalsi0 ot a date b~L-lt ~ hich 1fill be utilized as

a ecle for icrec3ing te scope of tbe sub-specialty

T - 1 f 1 __ middotja r S Ctdget a9roxir~tly 33- has bee allocated to a

cemiddote Lp~l t rirc ipally C actlty re leased tirre for data ccllection

ai 0 3alres f~r i~~er-ieers in field research 3d secretarial

assi5ta1ce nCt2 11- of t~e Icmiddotre oudge~ is iesignated for an

ArCE_1 A~ite s(101a~middot 2d one 0 ore scnolals froQ LDe or

s1lllrt of greluate stucents in the

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Finally approximately 19 of the budget will be devoted to the

proposed data bruL~ that will archive not only data generated from the

research of scholars at Iowa Duke and Hawaii but also at other US

and foreign institutions Primary and 3econdary an~ses of these

data will become an integral part of ~omparative legislative studies

curricula The ability to utilize the data bank for teaching purposes

also should have a significant impact on professional preparation ofmiddot

future legislative specialists In summary the funds will be

allocated to research teaching and training activities tha~ are

entirely conson~~t with the philosophy underlying the utilization of

2ll(d) grants to achieve institutional development

Conclusion

The University of Iowa regards the research and teacbing components

of this program to be closely related an1 zrutually reinforcing The

University of Iowa offers a strong base for the pro~ram because of the

interests of faculty members here now because of their contacts with

scholars in this field in other Americ~~ and foreign universities

because of their experience with the international exchange of faculty

and because of the distinctive data gathering and processing facilities

available in our Laborator~- for Political Research The program which

we have formulated is designed not only to accomplish specific

research and teaching objectives but to contribute to the long-term

development of the University of Iowa in an area in which it has already

exhibited special interest

BEST AVAILABLE DOCUMENT

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- 19 -

The program on Comparative Legislative Studies with support from

this Grant rill develop the capacity at the University of Iowa to

provide assistance under separate financing arrangements to developing

countries in a number of ways and through a varieiy of channels This

assistance which would be arranged for end negotiated separate~ from

this Grant may be in the form of technical assistance advisory service

training research and information exchange etc It will be available

by mutual agreement to appropriate agencies national and international

public private a~d mixed and directly to the less developed countries

Most especially this added special competence will inevitably become

incorporated through the processes of scholarship and education into

the competence of US and foreign scholars and institutions concerned

with this topic of great significance to the developing and the more

highly developed countries alike

BUDGET SUMMARY

UNIVERSITY OF IOWA

Salaries

Graduate Student Stipends

Fringe Benefits

Travel

Equipment and Services

Other

TOTAL

$173090

32400

19209

13800

6501

20000

$265000

BEST AVAILABLE DOCUMENT

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Dr Willa~d l Boyd Presicient University of Ima iowa City Iowa 52242

Dear Dr Boyd

4 AUG 1977

amp

FIJNDS AVAnASLe CpoundNrftAamp sEIMCEs DMsON

AUG11 ~n te t6417 ~77

Subject bull Supplsectferit-tJF-G~middotNomiddot~middot AIOcsd-3294

t middot-rrPJ1 3

I am pleased to inform you that pursuant to th~ auth~rity contained in

S-cction 211 (d) ooC the Foreign Assistance Act of 1961 as amended a sup

plemental grant in the amount of $200000 is h~reby r~de to University

of rCi1a These supplement]l grant funds areprolided to support the

activities which are described in your Proposal dated May 6 1977 for

the implementation of your program entitled Political Conditions for i

Effective Small-Scale Rural Assistant Projects

---This sup~lemental grant is mace to University of Iowa en condition that

yo~r institution shall administer the funas provided under this Grant fn

accordance lith your r~ay 6 197 proposal (including Budget SUmlilary) and

the Standard Provisions (as incorporated by Amendment No 1) which have

been agreed to by your instit1ltion Ti) the extent of an inconsistency

between the Proposal and the Standard Provisions and any otherprovisfons

which ar~ made a part of thi5 Giant by reference or other~iSe the Sta~d~

ard Provisions shall control

The new Duration Period for this Grant shall beAugust 11 1971 through

August 10 1979

The total amount of funds obligated under the grant is increased to reflect

a new total oblgated amount of $465000

Please sign the Statement of Assurance or Compliance ana the origfnal -

and seven (7) copies of this letter to acknowledge your understanding of

the conditions under which these funds have been granted Please return

the Statement of Assurance of Compliance and the original and six (6)

copies of this supplemental Grant to the Office of Contract Management

Attachment May 6 1977 Proposal and Budget SUfiT1a ry

UNIVERSITY OF IOWA

Roberw bull OBrien fficer

Ce al Operations Division Office of Contract Management

AC~E~E~C--_ 0 BYpoundk~~ cH

D C ~lpoundSTtR5BA T ITL E ( PfeampoidPilt for

tee ment amp Research DATE 9-22 -77 (d~ ~~Bduate Ctl~1e~e

BES i AvAILdLt UOCLJMU~ I

211(d) Grant Program

Proposal of the University of Iowa

POLITICAL CONDITIO~S FOR EFFECTIVE SMALL-SCALE

RURAL ASSISTA~CE PROJECTS

Submitt~Ci to

Civic Participation Division AID

May 6 1977

Amount requeste~ $ 199987

BEST AVAILABLE DOCUMENT

I TdE DEVEIOP~T PROBr~

P~litical Conditions for Rural Development

The Cocparative Legislative R~search Center of the University of

Iowa proposes to ~~dartake a two-year study to investigate the role of local

leaders and the rural public in theimplecentation of small-scale develop~ent

1 projects in less developed countries The study will use and extend the

capacity ~hich the University of Iowa developed under a 211(d) grant to

investigate and assess the impact of loeal politics on rural development

~t the co~pletion of the s~ Iowa will be in aposition to advise the

Agency on the design ~nd evaluation of s~ll-scale projects which will be

politically viabe a~d effective in ass~sting the rural poor ~

As students of development w~ approach our task with the assumption

that the proble~ of development and underdevelopment are funda~entally

ones of political econooy and a~ such can only be solved through a

simultaneous considerationof economic and political factors Efforts

which foc~s aloost solely on economic factors like those of ma~y

organizations engzed in dipersing foreign aid or efforts which focus

almost exclasively on political factors fail to take account of the

interdependence between these two dimensions of underdevelopment and

lwe have for~ulated this proposal in a canner consistent witr the cu~rent policies ard interests of the Agency We have been guided in our tsk by four Age~cy doc~e~ts Impleo~~tation of New Directions in Developnent Assista~c~~~ ~eport to the COmlittee on International Relations on Ilupleoenshytatiun of Legislative Refo~ in the Foreign Assistance Act of 1973 (July 1975) rItevis~d Projec Developiel Review and Approval Systeo (A I DL Circular A-21 Aril 23 1975) SH Butterfield Draft SUIilZ3ry StateUlent of a Practical Agelcy Approach c aural Devalopilelt (AATA February 28 1975) Cicci A Coce~ual Oie=viamiddot middot Rural Development No1 (lWorilting GOU O~ tha Rural Poor February 1975)

- l -

can meec with only l~ted success

Our concern with the i=pact of local politics on the process of

rural developcent is a result of our interest in the basic question of

how LDC governm~nts and the donor agencies which assist them can

become core effective in raising the standard of living of the rural

poor We seek answers to the following aspects of that basic question

1) What political conditions must exist both within rural communities

and between theo and central gove~ents to raise agricultural production

w~ere small-scale agriculture is the do~nant pattern 2) Vnat are the

political conditions for a core rapid expansion of the informal manufacturing

and service sector cocprised of labor intensive small-scale industries

located in the rural ar s 3) What political structures and activities

are mase crucial for the provision of welfare and econocic supporc services--

such as agricultural exeension mar~eting and transportation--to the rural

areas1 4) ~~at Folitical conditions oust exist to insure that economic

growth in the rural areas is not accowpanied by excessive and intolerable

inequalities between socio-economic classes andor between regions1

Center-Periphery Linkage in LDCs

To deter~ne the political conditions for rural development we have

in previo~s s~udies exacined the institutions and processes through which

rural populaticns are integrated i1to the national politi-cal systetlS of

middot~he countries in which they live A gap exis~s in most less developed

countries bet~een the peasantry residing on the periphery and the c~~tral

political ~stiutions staffe1 by ~~estern-educated bureaucratic elite

We are aware of the other major ~sti~utional discontinuities which comprise

J

4 middot~~1 the basic cleavage between the developed and underdewmiddoteloped sectors of

these dual societies Bridging these gaps is essential if these so~ieties ~ are to develop into viable nation states For until those Q~ the periphery

of the poli~ical syste~ participate in that system and support and comply

with the authority of central political institutions neither economic

development in ~he rural areas nor a stable polity will emerge

Bridging the discontinuities in these new political systems requires

establishing and institutionalizin3middot1inkages or networks for co~unication

and exchange of resources between decision-makers at the center and the

rural public on the periphery Three types of institutional linkages are

most prominent in less developed countries 1) those conSisting of the

state administration composed of the bureaucratice1ite 2) those consisting

of a revolutioncry political party cocposed of the ideological elite

3) and those conSisting of patron-client hierarchies composed of the political

entrepreneurial elite

Of these three linkages consisting of the state administration are

the cst extensive and pervasive in virtua~ly every LOC Such linkages

however exist primarily a~ instruwents of the center to penetrate the

periphery Central government officials are formally charged with bringing

develo~ent to the people This is a ~issi~n which conceives development

as a process ~hrough which a traditional peasantry is transformed and

assimilated iJro the DOdern center which is steadily expanding to embrace

it Agents of the center invariably have more resources to achieve their

objectives than do local political leaders but because they are frequently

strangers~ the communities in which they function they are often unable

- It -

co implement the policies of the center without working through the

local establis~ent

Though somctices significant linkages consist~g of revolutionary

party organizati~ns such as those found in China and Vietnam do not exist -

in most IDCs beca1Se of the special historical and e~omic conditions

required for their development As wi~h the administrative state however

the linkaampe apparatus of such political patties is prUlarily an instrument

of the center whose mission is to penetrate and mobilize those onthe

periphery

In contrast patron-client hierarchies are linkages which represent

the periphery at the center and mediate betwee~ these two disparate

sectors of the political systec Thcugh norcallymiddotovershadowed in scale

by the state administration patron-client hierarchies are found in almost

~very LDC a~d constitute the ~st significant network through which rural i

populations and their leaders influence the decision-~king process at

the center Patron-client hierarchies exist in a wide variety of org~iza-

tional fores ranging from info~ ~ec~~rks of individual olitical leaders

in uno-partyll systelS in S~b-SaharaI4 Africa to extensive political machines

in both one-p~rty (Africa Mexico) and ~u1ti-party systems (Turkey India)

Despite their importance as the pricary means through which peasants in

LDCs particiate in their political systems patron-client hi~rarchies

have only recently become an object of analysis by students of political

developent and do not appear in even the most sophisticated studies of

2 See Jo~ Dunca owell Peasant Socie~y and Clientelist Politics Aerican Politi~ Scielce Revietol 64 (June 1970) pp 411-25 Rene Lemarchand anc_ Keith Legg olitical ClienteliSJ and Ethnicity in Tropical Africa Aierican Political Sc~ecce ReView 66 (Y~rch 1972) pp 68-90 James C Scott PatronshyClient Politics a~d Political Change II 1tlerican Political Science Revie~ 66 (~arch 1972) p 91-113 and Friends Followers and Factiols bull edited by Steffan Sc~~d and James C Scott (Berkeley UniverSity of California Press 1977) bull

- 5 -

3 economic development Ad~niscrators of developmental assistance progracs

have too often regarded patron-clienc hierarchies as ~ped~ents to

develop~ent instead of recognizing cheir potential utility bull

~ Findings on Patron-Client Hierar~hies --

The importance of pat~on-clienc hierarchies for linking the periphery

to the center is one of the major findings ~erging from a study of the

relationships betueen l~gislators an~ their constituents in Kenya Korea

and Turkey ~hich the Cowparative Legislative Research Centpr is nov

comleting uader its 21l(d) grant from AID This study has av~mined the

creation of linkages between the periphery and the center through ~ore

than lO~OOO interviews with members of parl~ent local leaders and

peasants in t~e three countries The findings are being systewatically

set out in a book-length monograph Nearly a dozen research reports have -

uready appeared (see Appendix C) ipropositions about the nature of

political behavior of rural populations an~ the roles of local political

elites de=ived from the research~ can be s~rized as follows

1 Elected representa~ives play a significant role in the creation and mainte~ance of linkages be~een the center and periphery by developing local political achines in which they function as patrons of their constituents In turn thay s~rve as clients of political leaders of national stature who control central government institutions

2 By atte~pting to establish linkages based on patron-client relatio~shi~s elect~d representatives are responding to public expectations chat their prizary duy is to obtain resources from the center to proffiote local develop~ent ~iany elected repLesentatives spend most of their time on self-help co==unity development projects such 3S the building of schools health clinics irrigation works arid roads because such projects provide

3For exa~le ~ a widely respec~ed a~d useful analysis of rural deve16p~ent in Sub-Sahara~ Africa L~ Lele of the World Bank notes the problems of creating an adoini5~raive infrastructure in the rural areas that is sensitive to local socio-oliical conditions She does not however consider how local leaders operating o~tside of adcinistrative structures ~ night contribute to the developne~t 0 the rural areas See ~~ Lele ~ Design ~ Rural Develop~ent Lessons ~ Africa (Balt~re The Johns HopkiD~ Uciversity Press 1975) r) pp 127-61 i ~

- 6 -

their const~tuents with desired se~ices ~~d a= the sa~e time provide the reresentatives with an orgacization Yhicn can be used as a political base

3 l-tore than 90 perCel1t of the rural population is capable of articulating the p~oblems facing their local co~~ity and two-thirds discuss th~e proble~ w~th their fellow citizens on a regular basis

4 Three-q~rters of the residents of the rural areas can identify the public ofpoundici~s who serve thec--both civil servants and elected represcrtatives--by na~e Most are knowledgeable about the activities of these officials Alcost one-fifth coreover have discussed co~~~ity probl~ ~ith these officials particularly those working at the grassshyroots level Residents of rural villages actually have a higher level of political knowledge than their counterparts in the towns

5 Elections in the rural areas evoke a highly rational attern of voti~g despite the effects of ascriptive or traditional co~siderations Inc~ens are pri~rily evaluated in terms of their record in fulfilling the public r S elpectations of what they should do Elections are essentially referenda on inc~entsr perfo~ce especially their perforwance in the area of constituency servi~es such as bringing development projects to the districts bull

6 Local developcent projects have a relatively high s~olic value generating conscitutency support for local leaders and the central government at low cost

7 These projects help huild a local political infra-structure which can also be utilizec by central govern~nt civil servants to implement other policies designed to achieve rural develop~ent bull

The Icpac~ of Local Politics on Rural Projects

Having explored the developtent of linkages through which the periphery

is represented at che ~enter and through which the periphe~ attemp~s to

share in the ceners resources we now propose to build upon our initial

investigations by e~ing in greater detail the impact of local political

conditions on specific problecs of rural develop~ent We propose to

exacine the develop~ental activities of local leaders ~nd the rural public

by eX2~Ding a saple ot fifteen to twenty smalL~scale developwent projects

in each of ~he three countries which constituted the sites for our initial

8ESI AVAILABLE DOCUMENT 1 ~ - of

- 7 -

study of center-perhiphary relations The appropriateaess of this approach

and the ~ethodology through which it will be ip~emented is discussed in

section II Because the ~ethodology of investigation is in large part

the result of our previous research experience we fizst turn to a revieW

of the existinQ __ ~petence of the Comparative Legislative Research Center

in this area

II GRAXTEES EXISTIXG CmET~CE

In 1971 the University of Iowa received a 211(d) grant to develop

its capacity to do research on the role of elected represent~tives in

the process of modernization On the b~sis of this grant the University

established a research center which planned and carried out a research

project on the role of elected reres~~tatives as links between the central

gove~ent and rural populations in K~ya Korea and Turkey The project -i

served to develop t~e University of Iowas research capability in this

field esa~lished ties between the University and scholars in the bost

countries and generated a large and uniqu~ body of relevant data

In that project we fo~ussed our attention on tbe activities of elected

representatives in their constituencies notably in their contacts with

local political leaders voters and civil servants To determine tbe

nature of the linkage function performed by tbe representatives we

designed our research to explore the subject from three perspectives

1) we eXaojned ~~a ~ubject at tbe grass roots by conducting a series of

sample surveys of 200 to 300 adults in each of 12 to 14 parliamentary

constituencies in each cf th~6three countries 2) we examined the subject

at the center by intervie -ing MIls from the constituencies in which we

had conducted S3mple surveys ~nd higher civil servants with whom they

had contact and 3) ~e ex~~ined the subject from an inter-~diate level

by identifying aud ~terviewing local social and political leaders in

the MPs constituencies We used survey research methods because we

were embarking on the study of an entir~ly new subject for which little

relevant docu=e~tary data existed and on which there were few secondary

sources As a result ~e have unparalleled experience with survey

research in the rural areas of less develo~ed countries

The surveys which constituted the cajor part of our field work were

planned in collaboration ~~th scholars from the host countries They were

carried out in each constituency by student interviewers in the appropriate

language ~re than 10000 respo~dents were inteDViewed for the project

Given the visibility and sensitivity of this undertaking approval for

the research was sought and obtained from the host governments prior to -i

the collec~ion of data ~o objections were raised by these governments

at any stage of the research The data obtained have been made available

to scholars i~ the host co~cries and some of the basic findings have

been published in periodicdis in these countries

The Comarative Legislative Research Center ~hich ad~nistered the

project has aisO developed extensive experience in the study of political

leadership in other countries It h3s obta~ed substantial support from

the Fo~d Foundacion and the Rockeeller Foundation has worked in

collaboration ~~h European as ~ell as Asian and African scholars and

is engaged in a ajor study of the role of elected and non-elected leaders

in the oanag~~t o~~ocial conflict Because it has conGucted research

in a variey of setlngs the Center has an ~ceptional capacity to

- 9 -

determine how the relationships be~een political institutions and

economic p=oble75 differ in develoPed and less developed countries

In the course of the major research projects the Center has administered

it has gained highly specializpd ~p-i ce iI identifying 1Olitical leaders

in a great variety of settings conducting systematic interviews with

them collaborating with scholars in the host countries and in coding

and utilizing large files of data to answer specific research questions

The Center has ~lso undertaken to publish the results of its research

in three fores It issues codebooks to the data enabling scholrrs at

other locations to use the data expeditiously i~ publishes research reports - in the form of Occasional Papers and it publishes a scholarly periodical

devoted to the presentation of research findi~gs to an inteIT~tional

audience

The Center utilizes the data ~ysis facilities of the Laboratory

for Political Research of the University of Iowa and drawS on the unusual

n~er of secialists in comparamptive politics and survey research in

~~e Lniversitys Departmen of Political S~ience The Center itself I

has the services of an administrative secretary and a clerk-typist

~intains its~o~cn extensive archives and its o~~ publications program

It is e~uipped to assist scholars and government officials outside the

t~iversity of Io~a The participants in its p~ojects are full-tioe

faculty ~e=bers ~hose undergraduate and graduate teaching is closely

related to their research As part of the teaching program the Center

has attracted students from the countries in which the research projects

have been conducted these students have participated in the projects

bull J

have obtained training in other fields of political science have received

University of Iowa degrees~ and have ret~rned to teach and to do research

in their own countries

III PURPOSE OBJECTIVES AID METHODS

Purpose of Study

The purpose of the proposed grant is to extend the capacity of the

University of Iowa to determine the political conditions in the rural

areas of less developed countries which favor the establis~ent and growth

of small-scale developoent projects ~e objective is to put the University

of Iowa in a position to assist the Agency in designing small-scale rural

developent projects providing guidelines for carrying out social soundness

analyses of such projects and adviSing in the evaluation of projects

We will discuss the utilization of~t~e Universitys capacity in detail in

section IV below

We propose to concentrate our investigations on the political conditions

surrounding s~l-scale ru~al projects Such projects have distinctive

advantages They waximize the political participation of the rural populations

both in det~~-ining the direction ~d implementation of develop~ent efforts

and in defending the interests of periphery vis-~-vis the urban-based

bureaucratic elite S~ll-scale projects stimulate entrereneurial activity

on the part of the rural citizens and growth of the info~l canufacturing

and service sector Tbey require less lead tice and less administrative

c~erhead to ~eco~e operational than large-scale capital-intensive projects

centrally administered Such projects yield rapid and direct benefits to

1

j

the rural

- 11 b - ~~1

populations and are consistentwith their hUIlaD rights--both

political and economic However~ small-s~le projects pose s~ecial probl~s for administratcrs of developceocll assistance progracs because

they require the donor co assess the local olitics particularl the

rural politics of t~e host country

Develop~c adoinistrators pr~rily conc~rned with assisting rural

populations must therefore recognize the range of political variables

affectL~g these projects Small-scale projects offer great opportuoities

for develop~ental assistance progr~ because they can be easily targeted

to help rural populacions require low capital costs and need no be

concentrated in one or two localities Such projects ho~ever~ ~equire

the a~istrator to have ~re political kno~lecge than large-scale

projects Oil which his priJlary tas~ is guiding the work of other experts

Questions for ~Investigation

To detercine the politi~al cc~diicilS ~st conducive to ~he establ~~ent

and gro~h of scalI-scale rural projects ~e propose to address our inquiry

to the following specific questions

1 To what extent and why co local political leaders seek to establish s~~l-scale develop~ent projects within their co~unities

2 To what extent and ~~y do local leaders other than politicians initiate andor provide leadership for s=all-scale developm~t projects

3 Bot do the relations bet~Jeel different types of local leaders (political and non-political) and bet~eeo these leaders and central gove~ent civil servants posted to the rural areas affect the conduct of develop=ent projects

4 How do existing authority ~eLationships between these different leadership grous and the rural pub~ic affect the organization and operation of s~l-scale develop~ent projects

- 12 -

~

5 lhlt is the nature 0 pclgtlic participation in the establishlent and operatio~ of s~l-sclle projects and ~hat are the outcc=es or this participatioe Gucer w~at conditions is such participation ~ost likely to occur

We seek a~swe=s to t~cse questio s L order to determine the effect of

different co~iigurations of local leadership and public participation on the

outcomes or small-scale rural projects te are particular1y concerned with

the ~pact of these configurations on the rate of econocic growth and the

distribution o~ rIGSlth ithin the loal cOlllUlity ~ on the perce~tions of

s~ll-scale proj~cts by central govern~ent per~oncel and the rural public

anmiddot on the organiation or flture projects

To a~swer these que~tions it is oar intention to study the initia~ioD

izJple=enation ald i1lpact of a salple cpound small-scale rural projects in

Kanya Korea and Turley in the sae cOllities in which we carried OU

our initial icvestigations ~ 1973-75 Tne relationships between the -

various conf~gurations of local leadership and public participation and

the three phases of project develop~ant are sho~ in Figure 1 We will

exa=ine projects to pro~ote the adoption of new agricultural techniques

by s~l and moderate landnolders the building of feeder roads irrigation

ditches and other s~ple infrastructure the organization of fa~ers

cooperatives and other local associations concerned with rural development

the establish=ent of rural health clinicS and schools and the setting up

of craft and service industries

Sites for Study

We plan to return to our original set of localities because we possess

a rich body of relevant data on the extent to which linkages exist between

Figure 1

TYPES OF LFLUEXCE OF C2r~ middotGOVER1iEXT OFFCIALS

LoCu LEADERS 0 THE RURAL PUBLI-C OX THRr~

PHASES OF RURAL igtEVELOPHET PROJECTS

r----------~J C~ltral Gover1~nt Official)-N------- - J

r- Local pOlitical leaders

Local non-political leaders

~l 1---- -

ROJECT nITL~TIOS

Influ~ce on selection of projects

InrI ~elce on location of projects

Influence on policy guidelines for proj eCl

Il

I

a

I I

-I PROJECT I~L~~iATIO~ ~ 1

j Project Organizati I Selection of project

leadership

Hobilization of resources

Mobilizatiol of public compliance with project require=elts

Diffusion of project innovation

Rural Public

I

BEST AVAILABLE nOCUMENT

1 ROJECT IMPACT

Organization of ongoi=g project operation

Distribution of project benefits

Evaluation of project

Public attitudes toward project

-middot14 -

these areas and t~c central p~litical institutions of the three co~tries

and on the attit~es of the rural populacioc local leaders and elected

legislators regardi~g their problecs of develop~~c Since such data

is unavailable for alternative locales a return to the areas in which

we have previously done much research ~ables us to build on a uniquely

valuable body of icformation

A return to Kenya Korea and Turkey is also highly desirable from

the standpoint of effective research organization The Comparative

Legislative Research ~enter has developed close collaborative relationships

with several highly competent social scientists in these countries and

with the academic institutions with which these scholars are associated

We have also dev~_oped cooperative relatio~ships wi~ gove~ent officials

in these countries which should facilicate obtaining approval for our

further work

In proposing to doc~ent the origin i~pl~entation and impact of

one to three s~ll-scale develop=ent projects in each of 35 localities

we have two considerations in mind Firstmiddot because our pr~ry goal is

to deter~e the political conditions for rural developm~Lt we wish to

examine develQ~=ent in as many different settings as feasible Only in

this way can we control for so=e of the major socio-cultural variations

that erist along rural populations in less developed coultries These

include the overall level of econo~c development in the co~unity the

nature of t~e ~digenous culture an~ relationships of authority and the

pro~ty of the comounity to major urban areas and centers of central

gove~nt ad=inistration ~ce our original study sites were carefully

BEST AVAILABLE DOCUMENf

- 15 - ~ ~1

selected to represent these variations ye have concluded that these

35 localities woule be ideal sites for the propose~project Second~ in order to dete~~~ the ~pact of local leaders and public

participation o~ ~ural projects we intend to compare projects 1n which

local leaders and ~ecbers of the public have played a major ~ole with

projects in which they have not We also ~l cospare projects initiated

by the central gover~ent with projects Yhich have been locally initiated

These considerations give us a typology for selecting projects as depicted

in Figure 2

Figure 2 ~

FIVE TYPES OF RU~AL PROJCTS ACCORDIXG TO ~FLUEXCE OF CEITiW

GOVE~1E~T LOCAL LEADE~ AD RLRAL POULATIO~

Level of Participation by Rural Population

Locus of Project Initiation ~

Local Co=unity Central Governoent

BIGd

LOt

1 Projects initiated by local leaders and providing for participation of the rural ~opulation

4 Proje~ts Litiated by local leaders bu~ not involving participation of the rural population

2 Projects initiated by the Central Govern~ent and administered i~ cooperation with local leaders a~d the rural population

3 Projects initiated by the Central Govemlent and providing =or the participation of the rural population but by-passing local leaders

5 Projects initiated by the Central Gover~e~t a~d administered in cooeration Yith local leaders but not involvi~g parti~ipation of rural population

- 16 -

We recognize that the socio-cultural setting of rural develoment

projects varies significantly within and across less developed countries bull

By focussing o~ a representative sa=ple of localities ~ Ke~ya~ Korea

and Turkey we can take account of naoy~ though not all of these variations

While some of our substantive findings will not be directly generalizable

beyond the countries in which we propose to conduct our study we expect

that our basic ~ethods and fLdLgs will be applicable to national and

sub-national settings elsewhere in the developing world This is partly

d~e to the fact that the hierarchy of patron-client relations ~hich we

regard as a critical factor in rural develo~~t exists in ~ost Liles

--It is also due to the fact that the methodology for identifying local

bull leadership configurations auG poundor studying local politics which we are

perfe~ting can be used to assess local political co~ditions in a large

variety of countries even when the ~nditions themselves differ significantly

Methods of Investigation

The data needed to assess the iDpact of local leaders and mass

participaticn on rural dev~lop~nt fall into two categories Some a~e

contained among the data gathered for the research project we are currently

completing Others will require additional field research

The following data are already in hand

1 Data on the social landscape of each loc~l co~nity i~cluding aggregate data o~ level of econonic development de~graphic characteristics political pa=ticiation eth~ic loyalities and rates of socio-econocic change dur~g the past decade bull

2 Identity of local leaders including both political and I-on-political leaders and both legislators and other politicians

3 Perceptions of existiag probl~ and their possible solution a~ng

l)tS r AVAilABLE DOCUMENT

- 17 -

general public local leaders and civil serv~nts

4 Level of political kno~ledge among local citizens and local political leacers

5 Political and social values a~ong local ci~izecs and local political leaders

6 E~~ectacions of leadership roles among the local public and elected and non-elected leaders

7 Patterns of co~unication ~ong local leaders and between local leaders and the central gove~e~t

These data ~hich ~e already have in hand can be subjected to analyses

which ~~ll provida the foundation for our further work on rural develop~ent

projects A part of our work therefore will consist of fu~ther analyses

of existing data

New data of the following kinds are also required

1 Doc~entary data on the origin and evolution of particular smallshyscale develop~cnt projects in the rural areas

-2 Data on project costs boih ~itial invest=ent and recurring

operating costs and data on project ou~puts ie pupils in schools Ddles of road coopleted nl~ber of hospital a~ssions production of factory agricultural productivity

3 Data on project organizatio~ n~~r of local inha~itants participating in establis~~ent of projectt nuober of local L~habitants subsequently involved in project

4 Data-on the pe-cetion of projects by local leaders emers of the local public a~d by civil servants data on the perception of how each project ~as initiatec organized who benefitted and what its future implicatio~s are

These types of data will requ~re field work involv~~g both docucentary research

at the relevant ~istries of the central government and in local goverr~nt

authoritieS and inforoal open-ended interviews with local political leaders

elected representatives and other local leaders who~ we had previously ~

interviewed in a s=uctured syste=atic =aoner

BEST AVAILABLE DOCUMENT

- 18 -

Grant Organizatio~ and T~etable

We propose co undertake the research outlLled above beginning in the

fall se=ester 1977 Dur~g that te~ Professors Barkan and Kim as

principal investio~tors for the neo1 proj ect will contact their collaborators

in the host co~~tries They ~~ll also seek the collaboration of an additional

~rican scholar specializing in rural development with the aic of getting

additional advice on sources of data and suitable indicators for the

~easure=~~t of rural develop~ent projects

At the end of the fall seQester Professors Barkan and Kim will make

a trip to their research sites to disc~s details of the research organization

with their collaborators in the host countries and to recruit student

assistants Tney will devote the spring te~ 1978 to further analysis

of a~sting data at the University of Iowa

The gathering of additional dita L~ the field will begin in the s~er

of 1978 Professors Barkan and Kio will direct this work personally We

eAect that its coopletion ~~ll require three to six months This work ~1

involve the evaluation of central and local gove~ent reports on the

projects uncer investigation extensive on-site observations of the projects

and oen-e~ded interviews with the principal participants Our principal

respondents ~i1l be the local leaders and elected representatives we

have previously identified in the localities in which we have worked and

a sacple of active participants in the particular dpvelopment projects

being studied ~~ere necessary and apropriate surveys of the general

public will be uncertaken to assess the inpact of a given project on the

rural por)r We do not however leed 0 conduct systeAlatic sample surveys

BEST AVAILABLE DOCUMENT

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of the rur~l population as We did in 1974

In the organization of this research project we intend to reconstruct

the rese~rch tea=s ~e e=ployed during 1973-75 We shall again seek the

co11abo=~tion of P~ofessor Sc~~S-7o~g Pai of Seoul National University ~

Professor IIiCr Turan of the University of Istanbul and Professor John J

Ok~u of the U~iversity of ~arto~ S~ilarly w~ contemplate directing

the field research fro~ he same acade~ic research organizations we previously

used Seoul National U~ive~sity th~ ~~iversity of Istanbul and the

Insti~ute for Develop~eut S~udies University of Nairobi As before we

will tra~ students f~oo these institutions to serve as interviewers

The analysis of the open-ended intervie~s and of docUQentatio~ on

I ~ural develop=e~t projects will be a ~ore t~e-co~s~g process than the

analysis of closed intervie~s It will reqrire a high cotnittl~t of time

fron the principal investigators )e e--pec to hold a conference at the i

U~iversi~y of Iowa 3lO1g all the principal )clticipa~ts in the resea~ch

project d~=~g t~e spr~g 1979 to evalua~~ the newly collected data

le e~ pect to be able to vr-ite reports of t~ results during the Sl1~er 1979

(see Figre 3)

IV LlX-GS ~1) U~ILIZATIO~

At the e~d of the grant period the Uti ersity of Iowa will be able to

1) advise the Agalcy 01 the design of s~l-scale rural projects to assist

the rural poor 2) provide guidelines for social soundness analysiS of

small-scale projects for the rural areas of U)Cs 3) consult w~th the

Ag~tcy 01 the evaluatiol of rural projects ~d 4) provide LDe governments

BEST AVAILABLE DOCUMENT

)ATES

~lll

1977

~inter 1977

iprilg 1978

il mer 1978

~all

1978

ipr~ng

1979

Imiddoter 1979

University vf Iowa

Plutlning of rural develo~rent project

Barkan Kil

Alalysis of existing data

Barkan Kia

Data processing

3arkan Kin

1

I

- 4 -

Figura 3

GRAT TLfETABLE

SIT E S

Kenya Korea Turkey

Preparation of field research ural developH~lt project cOlisulta~io~ a research sites

BarkanOku=u Ki~Pai Tura~rkanKi~

Preparation of field resea-ch

Tural

Field research on rural cevelop~~t projects Bar~lOk~u Ki=Pai Turan

Co=pletion of Co=pletion of field resear~~I~ fiald researcr

Ok~u i Pai bull

f Coopletion of field research

Turan

Data analysis conference a~ong all princial i~vestigators at Un~versity of Iowa Barkan Kil Oku=u Pai Turan

Co=letiol of r~ral develop~ent

project

3arkan Kiz

BEST AVAILABLE DOCUMENT

I

- LL -

~ith speciali~cs o~ ru~al developcect ~mong their own citizens ~ho ha_

partcipatcd ~s collaborators in the Iowa projects

In the proposed project we Will test a series of hypotheses cOlcerning

the political cOllditions of rural develo=ent which run counter to CODOn

assuoptions conccrnir3 t~~ influence of rural politics on project effectiveness

As a result ~e ~dll be able to assist the Agency in designing and evaluating

such projects froe the point of V~~W 0 their political viability The

hypotheses We will test sugges~ t~at the patron-clie~t relations existing

in the local politics of zost LDCs are not necessarily i~pedients to rural

develop~ent but are aspects or the political structure which cal be used to

facilitate s~ll-scale ru=~ projects which will raise the standards of

living of _ ~ rral pomlation - As ~ result or our stuey we expect to be

able to P~-O~t the local leadership confi5~rations ~4d the relationships

between local leaders ald rural poclations ~nich are oost conducive to I

successful develcp=en efforts We believe that we will be agtle to perfect

a cat~odology for identifying the political conditions for rural develop~ent

one ~hich is transferable pound~oo the countries we have specialized in to

other LDCs

We proo~ to develop specific guidelines to assist administrators

charged with selecting evaluating and =onito~ing rural develop~ent

projects to ~szess t~esc rojects in tares of their-social and political

viability he outco~e of such projects is dete~ned not only by the

efrectiv~nass ~~=h ~hich they use scarce econo~c resources but by the

~~er L~ w=ich they e~gage the suppprt of local leaders and rural

po~ulatiocs~ by thei= effect ou social a~d econo~c equality ~d by

D[~T AvAlLA8LE DOCUMENT

- 22 -

their consequences for hwan rights ~Je plan to establish criteria by

middot~hic~ the probable outco~es of projects in these social terms can be

anticipatec

The study ~e propo e will be undertltlken by faculty at the Cniversicy

of lowe in collaboration with faculty a other ~rican institutions and

institutions in the host countries We will build on the extensive contacts

between the Co~perative Legislative Research Center of the ~niversity of

Iowa end other instituions with ~aich ~e have worked One =ajor result

of our collaborative study will be the existence of a net~ork of compe~ent

scholars both in this country and overseas experi~lced in ~orking together~

shar~g a co~on teaching and training experience i~ close contact throu~~ the

effective publications progr~ developed by the Co~parative Legislative Research

Center T~e e~~ertise of this group of individuals will be ava~lable to

oteer scholars to the Agency and ~o L~C governments for specific policy

advice The eXertise developed as a consequence of this project will

extend beyond the ~tionals of the countries ~volved since the univ~sities

engaged in ~e project attrtct stude~ts fro outside heir own countries

For ey~=ple the teaching ~d research progra in the Depar~ent of Political

Science 0 theUniversity of Istanbul heavily affected by the participation

of its facul~y ~e=bers and graduate students in our projects attracts students

throughout the ~middot1iddle East for Whom the University of Istanbul is the iajor

institution ~pound ~igher education in the region rne Institute for Developmen~

Studies is si=ilarly a focal point for students and faculty in East and

Central Africa Seoul ~atiocal Unive=sity attracts students froo other

Asia~ co~tries~ In this way the capability developed among the participant$

BEST AVAIL~BLE DOrUMENT

- ) -

in our work is diffused widely To the exte~ that the abili~y to assess

rural develop~ent p~ojects in teres of their social soundness is increased

both in the United States and in ~o~~tries r~ceiving develop=en~ assistance

the cap3~ity of racipien~ countr~es to absorb aid is ~creased

We propose to draw up an inventory of personnel available in ~~e

Cnited States and in other co~~tries who are able to consult with developen~

a~nistrators on the design of rural development projects and on their

evaluation We ~~ll draw first of ai~ on individuals w~o have been

directly associated with our ~ork in the past or on ~he proposed project

and ex~~~d the list to include graduate students and gove~ent officials

with who~ these individuals have wor~d

tole Yill utilize tha existing publication program of the Center

dercribed above to disse~inate our findings The Center has specialized

oailing lists of interested individuals and institutions in all parts of -i

the world and its reports can trerefore reach the ~st relevant audience

jirec~ly ~d re~~arly

BESl AVAIL~BLE OOCUMENT

CONTRACfjGRANTCOOPERATIVE AGREEMENT DATA SHEET

INSTRUCTIONS fjDW Complete 4 copies of the form Original SERCMSDSUP Statistical Section Copy Copy 2 SERCMSIiUP dministrative Copy opr 1 Contracting Officers COy COP) 4 SERCMSDSUP IUmin (Suspense) Copy

Missions Complde 2 copies oi the form Origin31 SERCMSDjSUF- Statistic31 Section Copy 3n~ Copy 2 Nill be ret31ned in the Missions

PART fA

ConU3lttorGranrce Name

University p~f~I~o~wa~ __ -r~ ____ ~~~~ __________ -~~ __ ~~~ ______________ ~~~~ Plorr Numt-er ApptopriJtion Number Allotment Number Project Number

930-0090-3Q13411 A5 72-111l0216 146-30-099-00-20-11 930-0090 Project Title

So~ia1 and Potitica1 Aspects of Development - Conference to Report Research Findings Amount of this Plorr I Projecl M3nagers Name and Offire Sytlbol

$10397 (increase) PDPRCP Jonatlan Silverstone Contr3ctors D-U-N-S Number

Ncgwatocs TYJlCd~3meJ j) Signature I l ~ jIf- bull G HtJ--ft u l IVmiddot

D~e

L - f - J ContractGrant Officqs typed Nailllt Signalure LJ d I -r-

plusmn t 3i-alflpta (( BLvle~ 1 I~ PARTm

ContractGranl Number

AID CSD-3294

Effeclive Date of Docum~nl Signalltre D3t~ of Documenl

Lf---C yen-~-gl tIost Courtry Institution (U iwrsity contract ONL Y)

Campus Coordinator (Uniwr ty i contract OiiL YJ

PART UL Descriplion of Cor-tractGrant P1use X ONL Y ONE item under each headiZg IF THEltrease CifYmC~e bolh ges I 30~~ O~ Nol to be completed for Amendmenl or Modlfic3lion AJigtns I III

J 710gt I I V ~ I

MOl - TYPE ACT A~ 0 G unsolicited Propsll (AIDIR 0 C Individual (Non-pe~nal senice)

~ O Cortra lGrantl ooperative Agreemenl 73101-SO(b)(6raquo 0 D Individual (ftrsonal Service)

tJl T3sk Order ( A)middot 0 H Procurement 10 be Perfocm~d by the Conmiddot 0 E UniversilyOther FAuC3lionailnSlitulions

D 2 Work Order (IQC) Ira~lor in Person (AIDPR 0 F Non-Profil Organizationlnslitutions (other

D 3 Delivety Order (Requirements) 73101middotSO(b)( Iraquo than Ed or PVO)

[j 4 Purchase Ordcr [J I Sole Source (AIOPR 7-3101-SO(b)(4)) 0 G Private Volunury Organization (PVO)

If I 2 or 3 1Lle an ~ compllle M 12 ON Y D J Imp3irmenl of Foreign Policy Objectiws 0 H International Agricultural Research Organj-

M04 - CONTRACTGRANT TYPE

o O MOA (BOA BMA etc)

o I Fixed Price (Specify fFP FPRD FPEPA FPI) _____ _

(gtIDPR 7-31 OJ SO(b)(7raquo

OK B(a)5eJection (FPR 1middot1713-1)

o L Grant iH1ndlOok 13)

o M Do Nol Ue

D 2 Cosl Reimburemenl (S~cil) CR CPFF 0 N Cooperative t~reement (Handbook 13)

CS CPAF CPIF) ~ 0 O Small Business SeImiddotAside (FPR 1middot1706-8)

o l Cooperative Agreemenl ~ 0 1 Overseas Procuring AClivilies (AIDPR

04 Grant Gener31 Supportmiddot 0U ~ 7lIOI-SC(b)(2))

o S Granl - Specific Support ~ ~06 E SER VICE

g ~ ~~t ~~(d) ~~ ~~ ~ eci~a~~~~~ogram Projeci

o amp IQCs ~ ~ relampted excepi A amp E Services)

o 9 Host Counlry ContraclGrnnt 5lJ C amp E Services

middotComplele ONLY through ~Sl ~~ 0 D Construction

M05 SELECTION PROCEDURES 0 E- Reseuch

o A Formally 3dverliscd (IFB) (A1DPR 7middot24 amp

FPR 1middot24) ~ o B Negoli3ted Price Compelilicn Gencr31

Procedure (RFP) (-JDPR 7456)

Dc A amp E (AIDPR 7410)

0 D Ed Inst andor Inl1 R~arch (-JDPR

74 5)

o E Collaboratoe Assisunce (IDPR 7458)

C F Predominant Capability (IOPR

73IOI-50(b)(l)

AID 1420-49 (179) - Page I

D F Technical Services to AID (other than trainmiddot

ing usually o~ating expense)

D G jraining SetVice for AID

o H Equipment Materi3J~ Supplies Commodities

D I Translation Service

~07middot TYPE CONTRACTORGRA-nEE

o A Firmmiddot AU profil-rn3king fUms (other than

Aamp E)

J e A amp E 8r~

zalion

o Public Inlmlational Organizations (UN

Agencies ICRC Wocld Bank elc)

(H8 J 3 Chapt~ S)

M08- TYPE AW~RD

o A S8 Sel-Aside - Awarded to Non-Minority

o B S8 Set-Asidemiddot Awarded to MinXity

o C_ S8 NOI Set-Aside - Awarded to Non-Minority

o D S8 NOI SeImiddotAsidemiddot Awarded 10 Minority

o Eo amp(a) S8A Awarded to Non-Minority (Womerl-

Owned Veterans etc)

o F 8(a) S8A Awarded 10 MinorilY

o G Personal Sen-ice ConlrdCt bull Non-Minority

o H IeJSDnal Service Conlract - MinorIty

o I Individual NonmiddotPersonal Service Contraci -

NonmiddotMinority

o J 100Jigtiduai NonmiddotPersonal Service Contracl -

Minorily

o K NOI Small Business (Univ NonmiddotProfit Large

Firms) Non-Minorily

o L- NOI Small 8usineSl (Univ Non-Profit Large

Firms) Minorily

o M US Govcrnmlnt

(Connnued on Page 2)

BEST AVLABIE DOCUMENT 1 I

--

ua ) R I GI NAL 9 bull

MODIFICATION or GRANT PAGE 1 of 2

AH 1 2 Effective Date 3 Grant No 4 Effective Date

Amend_at Ro 5 April 15 1981 AIDCSD- 3294 8-11-71

-s CRANTEE (Name and Addrea) 6 Administered by -Professor Gerhard Loewenberg -Office of Contract Management Cbrnparative Legislative Research Gente Central Operations Division Dept of Political Science am Branch University of Iowa Agency for International Developn~nt Iowa City Iowa 52240 Washington D C 20523

7 PIO No 930-0090- 3013411 A5 8 Previous PlOTa -

Appropriation No 72-11110216 93i-1l-995-l36 930-11-995-136-73-3078103

Allotment Symbol - 146-30-099-00-20-11 wunt Obliga ted by this ~ndrnent - $10397

The above numbered Grant is hereby modified as follows

1 Anotmt obligated prior to this rurendment 2 Amount obligated by this amendment 3 Total obligated anount (1 amp 2)

Delete the amJmt $465000 and substitute in lieu thereof the ammnt I$47S 39-7 ~

FUNDS AVAIrABm

~~ - APR 13 1981

PrO~A~~5iors

$465000 $ 10397 $475397

OffiCE Of fIN~(1 ~~rE~E~T __ _ 10 This amendment 11 entered into puruant to the authority of the Forelgn

Assistance Act of lS~l as amended Except aft hereln provided all terms and ~~ndi~ons nf the grant rcferpnccd in Block 13 remain unchsnged and in full force and ~ffcct

11 original and six Crantee 18 requlred to aign thh document aad return 1- eopics to issuing

ffiee

~~~ or printed) BUSINESS MAHAGR amp bull

Tille TREASURER

UNITpound) STATES OF AHERICA AGENCY FOR INTERNATIONAL DEVELO~NT

BY_-1(1o-_1lt--= 13middot~_1_~ __ K R B1uteau

(Name typed or printed)

Tltle~ ____ G_r_a_n_t __ O_f_f1_c_e_r ____________ __

D3tC APR 2 J 7997 Dolt 9 APq 1981

BEST AVAILABLE DOCUM NT ___ 0 HLGlNAL - I 1 J 1 ~ )

- 2 -

AID ftmds in the am)tmt of $10397 are hereby provided for the activities lmich are described in your proposal (including Budget Stnmnary) entitled CDnference to Report Research Findings on the Study of Political CDnditions for Effective Small-Scale Rural Assistance Projects in Kenya Korea and Turkey dated February 17 1981 and made a part of the Grant b reference

BtTDGET StMMARY

Line Item

Travel

Per Diem

Other Direct Costs

Less existing 211 (d) grant funds

Total Amount Obligated by this Amendment

Estimated Costs

$ 5888

5100

_ 2500 $13488

_ 3091

$lO39

Note Indirect costs or $395086 associated with these activities will be contributed by the University of Iowa

BEST AVAILABLE DOCUMENT

~RIGINAL

- CONTRACT IGRANTCOOPERA rIVE AGRElEMI~ SERC~SDSlP Actio) Monitor

SERCMSDSUP Action Office

I

INSTRUCTIONS AJDW - Complete 4 copit of tlh fonnmiddot Orisina iCMSDfSUP Sutistical Section COP)middot Copy 2 SERCMSDjSVP Administrative CoP Copy 3 Cont-acting Officers COP) Copy 4middot SOSUP Admin (Susptnse) Copy Missionsmiddot Complete 2 copies of the form or~aI SERCtSDSUP Statistical Section Copy and Copy = wiU~ retained in the Missions

0 PART IA

Effective Date of Document tJ

Delivery Order (Requirements)middot

o 4 Purcluse Order

bull If I 2 or 3 have an bull X compl~te M I 2 ON L Y

M04 - CONTRACTGRANT TYPE

o O MOA (BOA BMA etc)

o 1 Fixed Price (Specify FFP FPRD FPEP FPI) ___ _

o 2 COli Reimbursement (S~cifY CR CPFF CS CPAF CPIF) ______ _

o 3 Cooperative Agreement

o 4 Grantmiddot General Support

o S Grantmiddot Specifi Support

o 6 GraDt 21 led)middot

o 7 Do Not Use

o amp IQCs

o 9 Host Country ContractGrant

middotComplete ONLY through M 5 1

MOS SELECTION PROCEDURES

o A Formally advertised (IFB)(AJDPR 7middot24 amp

FPR 124)

o B Negotiated Prire Competition General

Procedure (RFP) (AIDPR 7456)

o Co A amp E (AlDPR 4 I 0)

o D Ed Ins andor Intl ReStalch (UDPR

7457)

o E Collaborative ASSistance (AIDPR 7458)

o F Predominant Capability (AIDPR

7-310l-50o)(3)

AID 142049 (1-79)middot Page J

o H Procurement Co be Performed b~ the Conshy

tra~tor in Person (AlDPR

7middot3t OI-SO(b)(Iraquo

o I Sole 5gturce (AIDPR 7middot3101middotSO(b)(4raquo

o J Impairment of Foreign Policy Objecdv~

(AIDPR 7middot310 ImiddotSO(b)(7raquo

o K 8(a) Selection (FPR 1middot1713-t)

o L Grant (Handbook J 3)

o M Do Not Vse

o N Cooperative Agreement (Handbook 13)

o O Small Business SetmiddotAside (FPR 11706-8)

o P Overseas Procuring Activities (AIDPR

7middot3101middotSO(b)(2raquo

M06middot TYPE SER VICE

o A TtJining of Participants

o B Technical Assistmce (Program Project

related exc~pt A amp E Services)

J C A amp E Services

0 D COltl~ruction

0 E Research

0 F Technical Services to AID (other than trainmiddot

ing usuaU Y operating ex pense)

0 G Training Service few AID

0 H Equipment Mat~rials Supplie~ Commodities

0 I Translation Service

07middot TYPE CONTRACTORGR TEE

Firmmiddot All profitmiddotmaking fu-r1s (other than

AampE)

o 9 amp E Firms

I Prcct NumbcT

I

Contactors D-U-N-S Numbcr

I) -S--f(j

o C Individual 0-lon-~rsora1 service)

o D Individual (Pet-sonal Service)

o E University lOt her EduCltionaJ Institutions

o F Non-Profit Organization Institutions (other

than Ed or PVO)

o G Private Voiuntary Organization (PVO)

o H International AgricultwaJ Research Organmiddot zation

o I Public International Organizadon~ (UN

Agencies ICRC ewld B3J1k etc)

(HB J 3 Chapter 5)

M08middot TYPE AWARD

o A SB SeImiddotAsidemiddot Awarded to Non-Minority

o B SB SetmiddotAside bull Awarded to Minority

o C SB Not SetmiddotAside - Awarded to Non-Minoril)i

o D SB Not SetmiddotAside - Awarded to Minority

o E ~a) SBA Awarded to Non-Minewity (Womeli

Owned Veterans etc)

o F 8(a) SBA w-rded 1o Minority

o G Personal Service Contractmiddot Non-Minority

o ~ Personal Service Contnct - Minority

o I Individual Non-Personal Sence Contractmiddot

NonmiddotMinority

o J Individual Non-Personal Service Contractmiddot

Minority

o K Not Small Business (Univ Non-Profit L1lge

Firms) --vn-Minority

o L Not Small BUSiness (Univ NonmiddotProfit Large

Firms) ~inoriy

o M VS Government

(Continued on Pcge 2i

t bull - t ~ J f q

ORIGINAL bull MODIFICATION OF GRANT

1 2 Effective Date

Araendllent Ro 4 12-2-80

s CRANTEE CHace and Addrels) Professor Ger1ard Lo~middot enbelg Comparative Legislative Research Deartment of Political Science The Lnivp-rsity of Iowa Iowa City Io~a 52240

7 PIO No NI A

Appropriation No 72-11XHl26

Center

Allotment Symbol -426-30-099-00-3~-71 Amount obligated by this urendment-O- I

3 Gnnt No

AIDcsd-3294

PAGE _____ 1 _of-L

AlI 4 Effective Date

8-11-71

~ Admlnlltered by -Office of Contract Management Central Operations Division OTR Branch Agency for International Development Washington DC 20523

8 Previous PIOITs -

931-11-995-136 930-11-995-136-73-3078103

9 The above numbered Grant is hereby modified as follows

Supplement to Grant

Change the duration period sentence to read

The Duration Period for this Grant shall be August 11 1971 through December 31 198]

1 Amount obligated prior to this amendment $465000 2 A~unt obligated by this amendment -0-3 Total obligated amount (1amp2) $465000

----------------_- - ------- ----_- ------ 10 Thh lImcndmcnt is entered inlo punuant to the authority of the Foreign

~ Assistance Act of 1961 86 amended Except a~ h~reln Z II provided all terms and condi tions nf the grant referenced in Block 3 remain ~~aunchlinged and In fu1l force and effNt cnltUI cJ)za 11 o 4 J bull

Et~ ai~a gtUoItshyc Z P=u

original and six Grantee t requi red to sign this document and return 1- eopies to 1Bufng

office

~ 12 GRANTEE TES OF AMERI CA

(Name typed or printed) bull

TJlle Director Comparative Legislative liecearell CeQtoQl

Date 12880

------------------------------------

ONAL DEVELOPMENT

By ----~--~~~~---------------------

prinled)

Grant Officer Title --------------------------------

J)oll( 12-2-80 -----------------------------

BEST AVAILBLE DOCUMENT i je

Page 7: PD-Ar3T Cr(~

- 4 -

2 Incr~asilg the e-istirg skills e1d redirecting the interests

of dc~estic ~i foreign sc~olars to the comparative leg~slative field

rne Univer3i ty 0 I01[ generally ~rill be erric~ed by t1e presel1ce of

these scholars a1d its ccr~arative leBislative prcgraIl in particular

~middotTill be ennalced by the nemiddott kl1o~ledge that is generated

3 Cooperating id th a11Q other-ilisc facili teting the ork of scbolars

of less developed cOll1tries in rultidisciplinary ark at the Univeisit~r

of Imla en the rcle 0 legislatures in the charlcter of regire legitimacy

as -ell as on re developCent cf a cetralized data bmli at Io a asse~blilg

raterials on legislatures a1d develoent tre logic behind the bank

a1d tile techniques related to its use

4 Diffu~ing relevant ~et~odological ~1d ccrc~ptual teals in less

deelo~ed cOlUltries through the loove enrichent and redirection of

indiviQual~ and t~e ~evelcp~ent of the data b~k) thereby =ultiplying

bott ihe qumity cud quali-vY of the researcl~ frcm which existing

curricula at Io~middotw can be expanded and re curricJla dtveloped

5 Increasing the size of tJe imrld~ide pool of professional ad

expert consujtants ~lalable r-ot only to IO~il Du-e 81Q Hawaii to dra-t

en but also to AID in the pursuit of sev~ral aspects of its

6 Creating nullgli th~ p~ogral at the Univers~ty of IOa the

substance of a stbJisciplire and in cooperation odth similar prograos

at other ~imiddotelsities 811 organizatic1al Gtlucttltre ~nt ca ~vbilize

continuine i1t~-rtiorr1 intrest i1 a11d sapmt fron orgaiations

interested il deveJopr-ent

BEST AVAILABLE DOCUMENT

1(1 1

- 5 -

itl Suppor- f~ctl this Grat tre University of lei-Ilt ~dll cO1centrate

e1 fclts in this prcge~ en legislative behavier variables tat telp

e91aL ~hee specific 3sten cha~a~teristics 1) the scpe of olitics

2) e style IJf goverQent ~tnd 3) the legitirlacy of the regine For

tis l)1lpcse te gtrcglam -rill ex~e releva1t coparative factors il

a lage nlt=~er O~~ African and Asian legislative institttions The

Univcsity of lO~middotIa ~lill also uldertslte the study of these legislatures

at -a~iClS cLts in tire This ~lould gtequie the use of time series

cat t1G historical SClrces not cctl9arable to contempOral7f sou=-ces of

Fe each of te legislatures included for study Ima -iill seek to

a1al~ze suc] cbractelistics of t~e legislative systen as 1) the

atricutes cf ecers--te process of their recruitment their so~inl

~c cccupalonal backgro-lI1ds their politically relevant srills their

role c~ie1lttio1s inclcirg ht~ir concept of represeILtation and the

pe~pound~ge 1~r5th 0- tente in tbe Ipgislat~re 2) t~1e distribution of

the f0~al 211 inforl rales of 2ocedure the leadersnip groups the

cr-osi tio1 and role 01 legisl3tire staffs a1d the kinds and freqlelClJ

of legisative sessic~s 3) the ~utputs of the instituticn--the agenda

of issues tre modes c- cotenticn el1d the qU11titr and kinds Jf

decisions

)middotemiddoter llllike studies of ~hese fctors in the past Imla is

BEST AVAILfBLE DOCUMENT

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The for~Ietic1 0 tneol-y lO this coarative 8seerch of

Tiiill ~erdt equivalent cmiddotoss-sy-ste~ ~easuelents are 8O1g te r6st

irpctant aSgects of tle prcject It r2y be one of the ~c-st valuable

esllts of Io~a I s efforts ad ~dil reCuire close collGbor-tion arong

t~e pa~ticipents bull

p_ Cc=-arative Legislative Research Archive

lltOle a subsb Tltial aolIlt of legislatie data has been collected

in a1j- different cOL1tri8s very little of this iateriul is cOJarativE

1middot-s of it has teen collected by individual reseachers on e single

CQl~ty Cc~adson in legislative research is thus difficult because

=2 01 r3j cClalties are ot available at a sirgle location in s sLgle

is a clear ~eed for the ce~t~alizGd acq~sition ~ or ~ne

available data to per t the forulaticn and compGrative testlg of

~eorics aoc~t le8islativ~ behavior As a major part of this program

te Uive3ity of 1mmiddote 9poundlS to establish a data arch-e to begir to

big te existing legislative sttiies tcgetber at a sirgle location end

to ~-ke ~i~er ~ccessible +0 the grm-ing 1unoer of irterested scbolals in

Once J~1ese data have O~en brOght tcgether tney will contribute to

-~ pogram t IO~middotia in -I~middotiO -poimiddottant ~middoteys First the dats -Till be

utEized in traLig graduate stud2nts T1e rea13lysis of d~ta to test

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- 7 -

faculty at the University of Imllt1 and from omiddotrerseJs tlitbout slch an

acbival base those dtdies Ylould be ver lil1ited in the hypotheses

ter could test The quali ty of this re search eqerience fill be

(o1siderably enha1ced by the aVJilability or data for co~arison dth

t~e data generated thlcugh the ccllaGorative research sponsored by the

traini~g progca~

Once gathered a~d refo~tted the data ~~ll be ~ade available to

sc~olars students al1d other interested persons outside of tre University

of Io ra P(r exa-nple appropriate data sets would be available to other

llsti utions tat pre ccoperating in t~is program ie Ha-waii Clla De

~ese could tten be used in curriculul developent at tbose schools as

middotell as Ll the pre-grar at the UJiversity of Imre Finally data could be

aie available to i1di-idlal sc~olars and institutions overseas for use

1 teir research a~d trailing progrems The cUIlulatiie effect of this

disse~lilation and staring of data ~i11 be an enrichme~t of research an

Llcreased flO-I of ne data to the Uriversity of Iewa I3Jld a greatly

ena1ced ability at Iowa to aalyze legislative behavior a--d defelopnent

f 1ssociates

The University of Iowa d31 involve as Associates individual US

arc ~ereign Rcolars fro~l other instibticns in some instances fOl

cc-ivities at Iovll in others as recipents of support Oi research and

oter aciivities middothich coqlement cnd emic1 the program at o a These

Associa-es rill be involved in such activities as ser-lfing es University

of IOim g-uest professors 5~St lecturers 1d visiting faculty

lticipel1~s L ccnfiences and s~riosia and as collatJoratiEg 2search

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cevelcged c~lt-ies Smiddot~yemiddotl such projects core already uoer ~middotay

and 3y potetial ss~cetes ~ave been identified and thei ilterest~

211 gtarticipeting i1 t~e ~Cglar1 ascertained

He -resc1t ge~sc-~el a1d acilities of the University of Iomiddotro

plcvice a very st-cre basis for the research atJd training programs

~rnich ~middote a~ ~rc9~3L1g -fmever the further development cf legislative

suCie3 ali a pec~ent streugthenLlg of ~he progrun of Iomiddot ~ is a major

a oes3icral Demiddotmiddotelc~ Galt fur~ds will be uSed by the

LT~iersit2 c la= ~ icreasing te nUbe of faculty specialists in

cClJses ir sjcts elated to the subject atter Specificallr grant

fuimiddotis dll ce usee to ac3 one pernanent faculty Uemoer in roliGical

scienc~ ~middotit s~ecia iltcests b legislaive beh3vior ald political

dloYl-nt a-o 81 a29 cmiddot-petence in Ardcan pclitics and to bring

(lculy -emiddote-s fro less ceveloed countries to spend a peri cd of time

at the TJ1 i si ty o~ Io~middot adine sechtl expertise to the ~od~ at Iowa

other middotisosel -~ i_ le irol1ght to IC~ia as needed to support those nO~T

or --18 fc~~ti r~lt 7ds ~rill also be ilsed to finance data collection

exlts-s ~) t~-e res~imiddotch iork of tte acult the Associate scholars

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1~ II

- 9 -

cesigned tgt trrtin US and foreign-born st1lcents in le6islati-~e rese=z-cndeg

Sttde1fs ~dll be tdTi tted cr11ally to 9 proeragt iihicn ~iould irclude a

tro~ot~h grounding in the r thods of cczparative aralysis the S1ostance

of conparatie politis g-mel31ly end the corrparative studJP of

legislative behavior in 9articulal The Uni-ersity intends to associate

tnese studelts directlr - rith research in Ttlhich faultr 2Cbers are

engaged to encourage thea to dra- U90n the skills end resources available

in this field il ra1Y departnents of the University to enable them to

spend up to one year in field research and to have thel4 snare their

findings middotrih their stmiddottidei~t and faculty colleagues Tle prograII will also

involve foreign scholars middotno are expert in the legislative process of

t3ir o- n countries in the tcaciing fgtimiddotogren both by holding -fisHing

a=point~elts at t-e University of Ioc1d by sUgervisi~g field research

c R d - t- ~ 1 rec C~ of Esta~lis~ed Scholars Tne University of Io~~

plals to extend a1 in-itaticn to seieal foreign scholars duri1g te

gle1t p2riod to patici~te in a coparative legislative researc~ seirar

duriig their visit Their plrticipat~ion middotrill edd 3 lL1iqte diiensicn to

the seiiral hceuse cf theh ~1o~-rlecge of the legislature in their own

C01-try BCmiddot2~ J1is Gemilr -ill be dealing -lith the nos-G current

reseaCIJ o~ l0~ ~ltmiddotJres as ell as discussine desigs for reseach to

fill in cowleuge of legis1timiddotre 1ehclicr -re believe

tret it ill be a l2~lilg experience for all the pclticira1ts--incltcing

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Ima rill lOrk collcboratively ~ith the fOrsig1 5cbolars to design a1d

carry out P reseach pruject These projects Till cc~tribute to the

retlaininB of foreign scholars and nill also add to cur mmiddotm and8rstanding

d Research The 9rinciplI enphases in cesenrcl rere cutlined in

Section III above ie to focus en con-9arative studies in iihich

legislative cehaviol can be helpful in explaining the scope of politics

the style of governcent a1d the legitinacl of regiles Variables hich

will be studied Iost closel~r ircluue tbe persistence of institutional

norms in the legislature oyer time the relationship o~ the legislatue

to ether institutions in fornirg public CC1Cepticns of politics and

the histOl~ical context detelini1g public expectations of the 12risleture

This resea~ch nag both academic and practical objectives

Academically it promises to tie legislative behavior research to other

major concerns L1 pcliti~al science such as research on systeJ stability

and paricrJance Its general substaltive eojective is to assess the role

wtlichlegislatures Illay L1 determining the capability of political

s~lstems especially their ability to deal ~middotith soCial change

Vractically the stu1y ~y offer guidance to polic~Y-Dakers on

t~1e role ~ hich legislatures rray be ~lI-pected to pIa)- in neimiddotrly established

political systelt ald on ~hc efcrrrs in established legislatur~s -Thicn

rray be required to achieve specific syste~ effe~ts The study ~dll

Nquire the assccioticn of rembers of legislative staffs a1d 2cademic

colleagues in the s~eLal nations lmder nvestigRotiop plovidirg training

fot ~ll r)f them i1 leeis1ntive re3Clrch ~ri facilitating a valuble

BEST AVAI~BLE DOCUMENT

ll-

of Iml3 ~ill LS~ glmiddot~t f~ds t~ estaolish a data archive to begin to

bring tb~ edtirg legi31ati--re studies tog3tller at a single locaticn

end to =afe t~e ac~essible to tie grc~ring m~er of interested

scholars in t~i3 field PerSCIlllel of tbe Data Archive ~rill searcD

broadly fo all a-reilable data on legislatures in the possession of

ildiviiual researc~rs i11ese data sets ~-Till be acquired refo~atted

for ease in alelrsis a1d stored in Archive Tne Archive ~~ll

asserble tie etel~ Gata O legislative organization ald procedure the

socialization ~~ recruite~t of lzgislators legislative decision-

makLg pccesses 2d legislative outputs To facilitate access to

the data a ~middote-riemiddotrlt11 syste middoti111 be cesigned that will 2011001 r-=searchers

to find ~iccJ ata sets that c~mt2in inforration lelefalt to their

researc1 po)2e5 RibEcg-aphic citation3 cnd abstracts of research

reports on le~i51e-imiddote oebio ~~ill be gathered and a biblicgraphic

retrieval sys tC idll a Geielc9d to aid esealcJers

cooioinet-e1 ~~as n -ie are= of c~rarativa legislatile studies is

t~3t because 0 si~~e iJS in~ti tuticn ias tce necessarJ expertise

of ccrparati ve

1-=gislatiY2 tcie3 8forts of the most conrpeteat ace interested

BEST AVAIL~BLE DOCUMENT MCi I I yl

12 -

oz~ the tr)middote grantee institutions and otter associated scholars It

~ill ayise t~e pa1tee i1stituticns on SllC catte-s as roritorirg

activities at the t~re~ unive~sities~ evalu~ting rese~rch frr possible

=middotclication sJ--sidies rld ether ratters related to infor~atioTI

disse~~ation coordinating research efforts to avoid duplication

ecilitating excha1ges d sttde~ts ad faculty members ~-iitb foreign

nsti tutions i~en desirable tryi1g to till lacunae in cLIricu lUn

helJilg to arralge cmferelces and sy-posia and generally trJing to

9cote te ~eielcp~2nt of cOlparatile legislative stucies as a

Gra1t L~HS idll be ~sed to support the Univ2rsity of Io -a IS

nrticipation in tre AdisorJ Co-i ttee t1e developrrErt of conferenc=s

elsEfhere il the US arHl over3eas i1 relat2d facets of leeislaive sttdies

Edstng iersonJ~l al~d fa-ilities at the University o= 1oa previde

iaculty facliiies to aid rC3emc~ trailg aPd skill in 21c~ivaJ middotork

BES~ AVAIL4BLE DOCUMENT I

r ~-)

- 13 -

Six ITe-bers of t1e faculty of the Departent of Political Science

at the Unhe ity of Im-ia are presently engaged in legislative research

To merbers ot the Departllent of History are engaged in research on the

British Parlia~ent L~ the eighteenth ~~d nineteenth centuries Fer the

past six years an adv~~ced se~inar has been offered by ~embers of the

Department of Political Science and the Department of Histo~J on

comparative legislative behavior This exte1sive collaboration iiill

ma~e it possible to develop a fully inter-disciplinary program for the

students ~~d visiting faculty In addition faculty ~emcers in

Scciology interested in organizatien theory and in the College of Law

interested in legislctive processes provide furtber e-pertise ava_ilable

to students interested in tee study of legislative behavior The

presence of these specialists on th~ facult~r is reflected in the

excensive librarJ al1d otler data resources existing at Iowa in this

field

The Uniersity of Ima offers an unusually extensive program of

trainL~g in research methods Four ~e~bers of t~e Department of Politi~al

~cie1ce teach in the field of research nethods Courses jn statistics

ca1 be taken ill the Dep~rtents 01 Sociology e-d Educational Psycholcgy

Llis prcgr6l provides a verJ solid grounding il research training and

data analysis

bEST AVAILABLE DOCUMENT

e ~

- 14 -

Y labCrato~y for olitical Pesearch is the reseacc1 md research

tlairirg facility of the Departe1t of Political Sci-lce Gcadvate

students receivo extensive res~arch experience through 1or~ing in the

La oratory bull The Lacoratoy is also a1 integral part of the trainirg

o~feed in ccurs~ T~middotO~ for graduate students

The full-time sta~f of the laboratory includes a director an

assistant director a t-=cl1ical cirector a supervisor of study

t1hteen graduat~ students - rf1rk in te Laboratoy receivLLg teining i~1

~a~a collecticn ~~i data e~alysis Tbe facili te5 of the La)oratorltJ

icluoe a oard eJcerline printer ccnnected to the U1iversitys

dis~ and tape storF-ze for d~ta

The pogral of trailing ia coparative legislative reseC_cch ~ill

relr heavily en t LaOerltcLJ- for taching graduate stucents Visi tine

fc111tr lYe~bes iill be able to utilize tbe facilities cf the Laboratory

gt IOra ~as sFcial ccrpetence in prOCed~les for

ccq ter ogagtlizetion of d~ta Ja1ks ~d fOi the p~ocGssing of large data

sets as well as iJ the sttdy of naticnsl end st~te legisltllres Tile

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Ile Univelsity of 10Ira will eadnister- the Grant thJotg~ its normal

a)1 iristrative char-l1els ad i1 Eccordance imiddotlith its ncrTal olicies and

operatirg procedures 7he Director of the gr~l1t-s~~ported program

Hill be a senior faculty eriOer of the Gniyecsity of IO~-ia -with extensive

expe~ie~ce in the subject field Associate Directors w~tb similar

qtalifications -aill also be appointed 7he Director- and Associate

Directors ~dll serve as eibers of t~e Inter-University Advisory CC1gtr)ttee

established to cooidinate _u bullbull ID gra1t-stpported programs at IOia Dul(e

lniversity a1d the University of Ha- aii Ll1 this field These relatiol-

ships are i~dicated in tee follc~dng a~inistrative organization chart

IX Ul~vsity Ccntri1uticn

T1~ ~h-ersity of IQ(a aSSures ALD that this Grant middotiill not

replace existing ftnds for STr current activity and imiddotrill be additive

to existing prograrrs of tCe lJniversity In direct sp~ort of this

Grat ttc University ~ill provide a) Acmi1istratile costs including

tie of senior officers of ttlt University b) Office ~ld research space

ald library and cor-puttr facilities c) Provision of a1cillamiddotCjr 1niversity

personnel -or consultation o~ ~middotjQrk nth the progral

X Reports end 5evie~-Ts

There i-ill be sub~itt-=i al arnual t2ctnical report for the purpose

of AID s revie- of activities under te Gant Tnis idLl include

a11 e-llation of prcsr~ss aidnistratve ar_c fiar~cial corsicer~tior~s

p~s cr tr foJlJ-middotire ear ~i disctlssics of the ossible l~lizaticn

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~

- 16 -

A~~inistrative O~ganization

Ice Board of Regents of tle State of Im-la

-Iesicent of the University I

1 rOfcst Jf t-3 University

Den College of Liberal Arts

r Chailan DcptiEt of olitical ScieJce

Inter-G~iversity

Acisorr Corcittee

PcgrG21 Director Associate Progra~ Directors

Liaison Arcrge~~nts d ~h I I~~erested Plcfessiona1 I Perso~el j

I _

I 5cu1ti (full or PmiddotLG-tire l Asscci~tes a1d otllei non-Io~il

3ecip5ents of Gr3-1t stPPC1t Gr~cue~~e S t1~lcnts St2~retQi~S1 Data Lbed~1 31

Ln 18 r1icia 1

LO1t c~lce Factcj~1 ts

BEST AVAILABLE DOCUMENT ( ( V-t

- 17 -

of te eo17i~g cCpterce br A I D rLld ethers In addi tion there

aS3essr~ents of the gr31t

middot l ~ lI ~ _ _ _ co~~~r~~ing ~~iversiti~s md tne rrctitoring ALD office

7re l~yersity of Ie~middot~ budget of $26500 is to be deveted to the

cemiddotelgt~e~ of lstituticnal cefete1Ce in comparotive legisl~tiye studies

~t Iomiddota c t~ the exalsi0 ot a date b~L-lt ~ hich 1fill be utilized as

a ecle for icrec3ing te scope of tbe sub-specialty

T - 1 f 1 __ middotja r S Ctdget a9roxir~tly 33- has bee allocated to a

cemiddote Lp~l t rirc ipally C actlty re leased tirre for data ccllection

ai 0 3alres f~r i~~er-ieers in field research 3d secretarial

assi5ta1ce nCt2 11- of t~e Icmiddotre oudge~ is iesignated for an

ArCE_1 A~ite s(101a~middot 2d one 0 ore scnolals froQ LDe or

s1lllrt of greluate stucents in the

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Finally approximately 19 of the budget will be devoted to the

proposed data bruL~ that will archive not only data generated from the

research of scholars at Iowa Duke and Hawaii but also at other US

and foreign institutions Primary and 3econdary an~ses of these

data will become an integral part of ~omparative legislative studies

curricula The ability to utilize the data bank for teaching purposes

also should have a significant impact on professional preparation ofmiddot

future legislative specialists In summary the funds will be

allocated to research teaching and training activities tha~ are

entirely conson~~t with the philosophy underlying the utilization of

2ll(d) grants to achieve institutional development

Conclusion

The University of Iowa regards the research and teacbing components

of this program to be closely related an1 zrutually reinforcing The

University of Iowa offers a strong base for the pro~ram because of the

interests of faculty members here now because of their contacts with

scholars in this field in other Americ~~ and foreign universities

because of their experience with the international exchange of faculty

and because of the distinctive data gathering and processing facilities

available in our Laborator~- for Political Research The program which

we have formulated is designed not only to accomplish specific

research and teaching objectives but to contribute to the long-term

development of the University of Iowa in an area in which it has already

exhibited special interest

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~ I) - 0

- 19 -

The program on Comparative Legislative Studies with support from

this Grant rill develop the capacity at the University of Iowa to

provide assistance under separate financing arrangements to developing

countries in a number of ways and through a varieiy of channels This

assistance which would be arranged for end negotiated separate~ from

this Grant may be in the form of technical assistance advisory service

training research and information exchange etc It will be available

by mutual agreement to appropriate agencies national and international

public private a~d mixed and directly to the less developed countries

Most especially this added special competence will inevitably become

incorporated through the processes of scholarship and education into

the competence of US and foreign scholars and institutions concerned

with this topic of great significance to the developing and the more

highly developed countries alike

BUDGET SUMMARY

UNIVERSITY OF IOWA

Salaries

Graduate Student Stipends

Fringe Benefits

Travel

Equipment and Services

Other

TOTAL

$173090

32400

19209

13800

6501

20000

$265000

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BEST AVAILABLE DOCUMENT

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Dr Willa~d l Boyd Presicient University of Ima iowa City Iowa 52242

Dear Dr Boyd

4 AUG 1977

amp

FIJNDS AVAnASLe CpoundNrftAamp sEIMCEs DMsON

AUG11 ~n te t6417 ~77

Subject bull Supplsectferit-tJF-G~middotNomiddot~middot AIOcsd-3294

t middot-rrPJ1 3

I am pleased to inform you that pursuant to th~ auth~rity contained in

S-cction 211 (d) ooC the Foreign Assistance Act of 1961 as amended a sup

plemental grant in the amount of $200000 is h~reby r~de to University

of rCi1a These supplement]l grant funds areprolided to support the

activities which are described in your Proposal dated May 6 1977 for

the implementation of your program entitled Political Conditions for i

Effective Small-Scale Rural Assistant Projects

---This sup~lemental grant is mace to University of Iowa en condition that

yo~r institution shall administer the funas provided under this Grant fn

accordance lith your r~ay 6 197 proposal (including Budget SUmlilary) and

the Standard Provisions (as incorporated by Amendment No 1) which have

been agreed to by your instit1ltion Ti) the extent of an inconsistency

between the Proposal and the Standard Provisions and any otherprovisfons

which ar~ made a part of thi5 Giant by reference or other~iSe the Sta~d~

ard Provisions shall control

The new Duration Period for this Grant shall beAugust 11 1971 through

August 10 1979

The total amount of funds obligated under the grant is increased to reflect

a new total oblgated amount of $465000

Please sign the Statement of Assurance or Compliance ana the origfnal -

and seven (7) copies of this letter to acknowledge your understanding of

the conditions under which these funds have been granted Please return

the Statement of Assurance of Compliance and the original and six (6)

copies of this supplemental Grant to the Office of Contract Management

Attachment May 6 1977 Proposal and Budget SUfiT1a ry

UNIVERSITY OF IOWA

Roberw bull OBrien fficer

Ce al Operations Division Office of Contract Management

AC~E~E~C--_ 0 BYpoundk~~ cH

D C ~lpoundSTtR5BA T ITL E ( PfeampoidPilt for

tee ment amp Research DATE 9-22 -77 (d~ ~~Bduate Ctl~1e~e

BES i AvAILdLt UOCLJMU~ I

211(d) Grant Program

Proposal of the University of Iowa

POLITICAL CONDITIO~S FOR EFFECTIVE SMALL-SCALE

RURAL ASSISTA~CE PROJECTS

Submitt~Ci to

Civic Participation Division AID

May 6 1977

Amount requeste~ $ 199987

BEST AVAILABLE DOCUMENT

I TdE DEVEIOP~T PROBr~

P~litical Conditions for Rural Development

The Cocparative Legislative R~search Center of the University of

Iowa proposes to ~~dartake a two-year study to investigate the role of local

leaders and the rural public in theimplecentation of small-scale develop~ent

1 projects in less developed countries The study will use and extend the

capacity ~hich the University of Iowa developed under a 211(d) grant to

investigate and assess the impact of loeal politics on rural development

~t the co~pletion of the s~ Iowa will be in aposition to advise the

Agency on the design ~nd evaluation of s~ll-scale projects which will be

politically viabe a~d effective in ass~sting the rural poor ~

As students of development w~ approach our task with the assumption

that the proble~ of development and underdevelopment are funda~entally

ones of political econooy and a~ such can only be solved through a

simultaneous considerationof economic and political factors Efforts

which foc~s aloost solely on economic factors like those of ma~y

organizations engzed in dipersing foreign aid or efforts which focus

almost exclasively on political factors fail to take account of the

interdependence between these two dimensions of underdevelopment and

lwe have for~ulated this proposal in a canner consistent witr the cu~rent policies ard interests of the Agency We have been guided in our tsk by four Age~cy doc~e~ts Impleo~~tation of New Directions in Developnent Assista~c~~~ ~eport to the COmlittee on International Relations on Ilupleoenshytatiun of Legislative Refo~ in the Foreign Assistance Act of 1973 (July 1975) rItevis~d Projec Developiel Review and Approval Systeo (A I DL Circular A-21 Aril 23 1975) SH Butterfield Draft SUIilZ3ry StateUlent of a Practical Agelcy Approach c aural Devalopilelt (AATA February 28 1975) Cicci A Coce~ual Oie=viamiddot middot Rural Development No1 (lWorilting GOU O~ tha Rural Poor February 1975)

- l -

can meec with only l~ted success

Our concern with the i=pact of local politics on the process of

rural developcent is a result of our interest in the basic question of

how LDC governm~nts and the donor agencies which assist them can

become core effective in raising the standard of living of the rural

poor We seek answers to the following aspects of that basic question

1) What political conditions must exist both within rural communities

and between theo and central gove~ents to raise agricultural production

w~ere small-scale agriculture is the do~nant pattern 2) Vnat are the

political conditions for a core rapid expansion of the informal manufacturing

and service sector cocprised of labor intensive small-scale industries

located in the rural ar s 3) What political structures and activities

are mase crucial for the provision of welfare and econocic supporc services--

such as agricultural exeension mar~eting and transportation--to the rural

areas1 4) ~~at Folitical conditions oust exist to insure that economic

growth in the rural areas is not accowpanied by excessive and intolerable

inequalities between socio-economic classes andor between regions1

Center-Periphery Linkage in LDCs

To deter~ne the political conditions for rural development we have

in previo~s s~udies exacined the institutions and processes through which

rural populaticns are integrated i1to the national politi-cal systetlS of

middot~he countries in which they live A gap exis~s in most less developed

countries bet~een the peasantry residing on the periphery and the c~~tral

political ~stiutions staffe1 by ~~estern-educated bureaucratic elite

We are aware of the other major ~sti~utional discontinuities which comprise

J

4 middot~~1 the basic cleavage between the developed and underdewmiddoteloped sectors of

these dual societies Bridging these gaps is essential if these so~ieties ~ are to develop into viable nation states For until those Q~ the periphery

of the poli~ical syste~ participate in that system and support and comply

with the authority of central political institutions neither economic

development in ~he rural areas nor a stable polity will emerge

Bridging the discontinuities in these new political systems requires

establishing and institutionalizin3middot1inkages or networks for co~unication

and exchange of resources between decision-makers at the center and the

rural public on the periphery Three types of institutional linkages are

most prominent in less developed countries 1) those conSisting of the

state administration composed of the bureaucratice1ite 2) those consisting

of a revolutioncry political party cocposed of the ideological elite

3) and those conSisting of patron-client hierarchies composed of the political

entrepreneurial elite

Of these three linkages consisting of the state administration are

the cst extensive and pervasive in virtua~ly every LOC Such linkages

however exist primarily a~ instruwents of the center to penetrate the

periphery Central government officials are formally charged with bringing

develo~ent to the people This is a ~issi~n which conceives development

as a process ~hrough which a traditional peasantry is transformed and

assimilated iJro the DOdern center which is steadily expanding to embrace

it Agents of the center invariably have more resources to achieve their

objectives than do local political leaders but because they are frequently

strangers~ the communities in which they function they are often unable

- It -

co implement the policies of the center without working through the

local establis~ent

Though somctices significant linkages consist~g of revolutionary

party organizati~ns such as those found in China and Vietnam do not exist -

in most IDCs beca1Se of the special historical and e~omic conditions

required for their development As wi~h the administrative state however

the linkaampe apparatus of such political patties is prUlarily an instrument

of the center whose mission is to penetrate and mobilize those onthe

periphery

In contrast patron-client hierarchies are linkages which represent

the periphery at the center and mediate betwee~ these two disparate

sectors of the political systec Thcugh norcallymiddotovershadowed in scale

by the state administration patron-client hierarchies are found in almost

~very LDC a~d constitute the ~st significant network through which rural i

populations and their leaders influence the decision-~king process at

the center Patron-client hierarchies exist in a wide variety of org~iza-

tional fores ranging from info~ ~ec~~rks of individual olitical leaders

in uno-partyll systelS in S~b-SaharaI4 Africa to extensive political machines

in both one-p~rty (Africa Mexico) and ~u1ti-party systems (Turkey India)

Despite their importance as the pricary means through which peasants in

LDCs particiate in their political systems patron-client hi~rarchies

have only recently become an object of analysis by students of political

developent and do not appear in even the most sophisticated studies of

2 See Jo~ Dunca owell Peasant Socie~y and Clientelist Politics Aerican Politi~ Scielce Revietol 64 (June 1970) pp 411-25 Rene Lemarchand anc_ Keith Legg olitical ClienteliSJ and Ethnicity in Tropical Africa Aierican Political Sc~ecce ReView 66 (Y~rch 1972) pp 68-90 James C Scott PatronshyClient Politics a~d Political Change II 1tlerican Political Science Revie~ 66 (~arch 1972) p 91-113 and Friends Followers and Factiols bull edited by Steffan Sc~~d and James C Scott (Berkeley UniverSity of California Press 1977) bull

- 5 -

3 economic development Ad~niscrators of developmental assistance progracs

have too often regarded patron-clienc hierarchies as ~ped~ents to

develop~ent instead of recognizing cheir potential utility bull

~ Findings on Patron-Client Hierar~hies --

The importance of pat~on-clienc hierarchies for linking the periphery

to the center is one of the major findings ~erging from a study of the

relationships betueen l~gislators an~ their constituents in Kenya Korea

and Turkey ~hich the Cowparative Legislative Research Centpr is nov

comleting uader its 21l(d) grant from AID This study has av~mined the

creation of linkages between the periphery and the center through ~ore

than lO~OOO interviews with members of parl~ent local leaders and

peasants in t~e three countries The findings are being systewatically

set out in a book-length monograph Nearly a dozen research reports have -

uready appeared (see Appendix C) ipropositions about the nature of

political behavior of rural populations an~ the roles of local political

elites de=ived from the research~ can be s~rized as follows

1 Elected representa~ives play a significant role in the creation and mainte~ance of linkages be~een the center and periphery by developing local political achines in which they function as patrons of their constituents In turn thay s~rve as clients of political leaders of national stature who control central government institutions

2 By atte~pting to establish linkages based on patron-client relatio~shi~s elect~d representatives are responding to public expectations chat their prizary duy is to obtain resources from the center to proffiote local develop~ent ~iany elected repLesentatives spend most of their time on self-help co==unity development projects such 3S the building of schools health clinics irrigation works arid roads because such projects provide

3For exa~le ~ a widely respec~ed a~d useful analysis of rural deve16p~ent in Sub-Sahara~ Africa L~ Lele of the World Bank notes the problems of creating an adoini5~raive infrastructure in the rural areas that is sensitive to local socio-oliical conditions She does not however consider how local leaders operating o~tside of adcinistrative structures ~ night contribute to the developne~t 0 the rural areas See ~~ Lele ~ Design ~ Rural Develop~ent Lessons ~ Africa (Balt~re The Johns HopkiD~ Uciversity Press 1975) r) pp 127-61 i ~

- 6 -

their const~tuents with desired se~ices ~~d a= the sa~e time provide the reresentatives with an orgacization Yhicn can be used as a political base

3 l-tore than 90 perCel1t of the rural population is capable of articulating the p~oblems facing their local co~~ity and two-thirds discuss th~e proble~ w~th their fellow citizens on a regular basis

4 Three-q~rters of the residents of the rural areas can identify the public ofpoundici~s who serve thec--both civil servants and elected represcrtatives--by na~e Most are knowledgeable about the activities of these officials Alcost one-fifth coreover have discussed co~~~ity probl~ ~ith these officials particularly those working at the grassshyroots level Residents of rural villages actually have a higher level of political knowledge than their counterparts in the towns

5 Elections in the rural areas evoke a highly rational attern of voti~g despite the effects of ascriptive or traditional co~siderations Inc~ens are pri~rily evaluated in terms of their record in fulfilling the public r S elpectations of what they should do Elections are essentially referenda on inc~entsr perfo~ce especially their perforwance in the area of constituency servi~es such as bringing development projects to the districts bull

6 Local developcent projects have a relatively high s~olic value generating conscitutency support for local leaders and the central government at low cost

7 These projects help huild a local political infra-structure which can also be utilizec by central govern~nt civil servants to implement other policies designed to achieve rural develop~ent bull

The Icpac~ of Local Politics on Rural Projects

Having explored the developtent of linkages through which the periphery

is represented at che ~enter and through which the periphe~ attemp~s to

share in the ceners resources we now propose to build upon our initial

investigations by e~ing in greater detail the impact of local political

conditions on specific problecs of rural develop~ent We propose to

exacine the develop~ental activities of local leaders ~nd the rural public

by eX2~Ding a saple ot fifteen to twenty smalL~scale developwent projects

in each of ~he three countries which constituted the sites for our initial

8ESI AVAILABLE DOCUMENT 1 ~ - of

- 7 -

study of center-perhiphary relations The appropriateaess of this approach

and the ~ethodology through which it will be ip~emented is discussed in

section II Because the ~ethodology of investigation is in large part

the result of our previous research experience we fizst turn to a revieW

of the existinQ __ ~petence of the Comparative Legislative Research Center

in this area

II GRAXTEES EXISTIXG CmET~CE

In 1971 the University of Iowa received a 211(d) grant to develop

its capacity to do research on the role of elected represent~tives in

the process of modernization On the b~sis of this grant the University

established a research center which planned and carried out a research

project on the role of elected reres~~tatives as links between the central

gove~ent and rural populations in K~ya Korea and Turkey The project -i

served to develop t~e University of Iowas research capability in this

field esa~lished ties between the University and scholars in the bost

countries and generated a large and uniqu~ body of relevant data

In that project we fo~ussed our attention on tbe activities of elected

representatives in their constituencies notably in their contacts with

local political leaders voters and civil servants To determine tbe

nature of the linkage function performed by tbe representatives we

designed our research to explore the subject from three perspectives

1) we eXaojned ~~a ~ubject at tbe grass roots by conducting a series of

sample surveys of 200 to 300 adults in each of 12 to 14 parliamentary

constituencies in each cf th~6three countries 2) we examined the subject

at the center by intervie -ing MIls from the constituencies in which we

had conducted S3mple surveys ~nd higher civil servants with whom they

had contact and 3) ~e ex~~ined the subject from an inter-~diate level

by identifying aud ~terviewing local social and political leaders in

the MPs constituencies We used survey research methods because we

were embarking on the study of an entir~ly new subject for which little

relevant docu=e~tary data existed and on which there were few secondary

sources As a result ~e have unparalleled experience with survey

research in the rural areas of less develo~ed countries

The surveys which constituted the cajor part of our field work were

planned in collaboration ~~th scholars from the host countries They were

carried out in each constituency by student interviewers in the appropriate

language ~re than 10000 respo~dents were inteDViewed for the project

Given the visibility and sensitivity of this undertaking approval for

the research was sought and obtained from the host governments prior to -i

the collec~ion of data ~o objections were raised by these governments

at any stage of the research The data obtained have been made available

to scholars i~ the host co~cries and some of the basic findings have

been published in periodicdis in these countries

The Comarative Legislative Research Center ~hich ad~nistered the

project has aisO developed extensive experience in the study of political

leadership in other countries It h3s obta~ed substantial support from

the Fo~d Foundacion and the Rockeeller Foundation has worked in

collaboration ~~h European as ~ell as Asian and African scholars and

is engaged in a ajor study of the role of elected and non-elected leaders

in the oanag~~t o~~ocial conflict Because it has conGucted research

in a variey of setlngs the Center has an ~ceptional capacity to

- 9 -

determine how the relationships be~een political institutions and

economic p=oble75 differ in develoPed and less developed countries

In the course of the major research projects the Center has administered

it has gained highly specializpd ~p-i ce iI identifying 1Olitical leaders

in a great variety of settings conducting systematic interviews with

them collaborating with scholars in the host countries and in coding

and utilizing large files of data to answer specific research questions

The Center has ~lso undertaken to publish the results of its research

in three fores It issues codebooks to the data enabling scholrrs at

other locations to use the data expeditiously i~ publishes research reports - in the form of Occasional Papers and it publishes a scholarly periodical

devoted to the presentation of research findi~gs to an inteIT~tional

audience

The Center utilizes the data ~ysis facilities of the Laboratory

for Political Research of the University of Iowa and drawS on the unusual

n~er of secialists in comparamptive politics and survey research in

~~e Lniversitys Departmen of Political S~ience The Center itself I

has the services of an administrative secretary and a clerk-typist

~intains its~o~cn extensive archives and its o~~ publications program

It is e~uipped to assist scholars and government officials outside the

t~iversity of Io~a The participants in its p~ojects are full-tioe

faculty ~e=bers ~hose undergraduate and graduate teaching is closely

related to their research As part of the teaching program the Center

has attracted students from the countries in which the research projects

have been conducted these students have participated in the projects

bull J

have obtained training in other fields of political science have received

University of Iowa degrees~ and have ret~rned to teach and to do research

in their own countries

III PURPOSE OBJECTIVES AID METHODS

Purpose of Study

The purpose of the proposed grant is to extend the capacity of the

University of Iowa to determine the political conditions in the rural

areas of less developed countries which favor the establis~ent and growth

of small-scale developoent projects ~e objective is to put the University

of Iowa in a position to assist the Agency in designing small-scale rural

developent projects providing guidelines for carrying out social soundness

analyses of such projects and adviSing in the evaluation of projects

We will discuss the utilization of~t~e Universitys capacity in detail in

section IV below

We propose to concentrate our investigations on the political conditions

surrounding s~l-scale ru~al projects Such projects have distinctive

advantages They waximize the political participation of the rural populations

both in det~~-ining the direction ~d implementation of develop~ent efforts

and in defending the interests of periphery vis-~-vis the urban-based

bureaucratic elite S~ll-scale projects stimulate entrereneurial activity

on the part of the rural citizens and growth of the info~l canufacturing

and service sector Tbey require less lead tice and less administrative

c~erhead to ~eco~e operational than large-scale capital-intensive projects

centrally administered Such projects yield rapid and direct benefits to

1

j

the rural

- 11 b - ~~1

populations and are consistentwith their hUIlaD rights--both

political and economic However~ small-s~le projects pose s~ecial probl~s for administratcrs of developceocll assistance progracs because

they require the donor co assess the local olitics particularl the

rural politics of t~e host country

Develop~c adoinistrators pr~rily conc~rned with assisting rural

populations must therefore recognize the range of political variables

affectL~g these projects Small-scale projects offer great opportuoities

for develop~ental assistance progr~ because they can be easily targeted

to help rural populacions require low capital costs and need no be

concentrated in one or two localities Such projects ho~ever~ ~equire

the a~istrator to have ~re political kno~lecge than large-scale

projects Oil which his priJlary tas~ is guiding the work of other experts

Questions for ~Investigation

To detercine the politi~al cc~diicilS ~st conducive to ~he establ~~ent

and gro~h of scalI-scale rural projects ~e propose to address our inquiry

to the following specific questions

1 To what extent and why co local political leaders seek to establish s~~l-scale develop~ent projects within their co~unities

2 To what extent and ~~y do local leaders other than politicians initiate andor provide leadership for s=all-scale developm~t projects

3 Bot do the relations bet~Jeel different types of local leaders (political and non-political) and bet~eeo these leaders and central gove~ent civil servants posted to the rural areas affect the conduct of develop=ent projects

4 How do existing authority ~eLationships between these different leadership grous and the rural pub~ic affect the organization and operation of s~l-scale develop~ent projects

- 12 -

~

5 lhlt is the nature 0 pclgtlic participation in the establishlent and operatio~ of s~l-sclle projects and ~hat are the outcc=es or this participatioe Gucer w~at conditions is such participation ~ost likely to occur

We seek a~swe=s to t~cse questio s L order to determine the effect of

different co~iigurations of local leadership and public participation on the

outcomes or small-scale rural projects te are particular1y concerned with

the ~pact of these configurations on the rate of econocic growth and the

distribution o~ rIGSlth ithin the loal cOlllUlity ~ on the perce~tions of

s~ll-scale proj~cts by central govern~ent per~oncel and the rural public

anmiddot on the organiation or flture projects

To a~swer these que~tions it is oar intention to study the initia~ioD

izJple=enation ald i1lpact of a salple cpound small-scale rural projects in

Kanya Korea and Turley in the sae cOllities in which we carried OU

our initial icvestigations ~ 1973-75 Tne relationships between the -

various conf~gurations of local leadership and public participation and

the three phases of project develop~ant are sho~ in Figure 1 We will

exa=ine projects to pro~ote the adoption of new agricultural techniques

by s~l and moderate landnolders the building of feeder roads irrigation

ditches and other s~ple infrastructure the organization of fa~ers

cooperatives and other local associations concerned with rural development

the establish=ent of rural health clinicS and schools and the setting up

of craft and service industries

Sites for Study

We plan to return to our original set of localities because we possess

a rich body of relevant data on the extent to which linkages exist between

Figure 1

TYPES OF LFLUEXCE OF C2r~ middotGOVER1iEXT OFFCIALS

LoCu LEADERS 0 THE RURAL PUBLI-C OX THRr~

PHASES OF RURAL igtEVELOPHET PROJECTS

r----------~J C~ltral Gover1~nt Official)-N------- - J

r- Local pOlitical leaders

Local non-political leaders

~l 1---- -

ROJECT nITL~TIOS

Influ~ce on selection of projects

InrI ~elce on location of projects

Influence on policy guidelines for proj eCl

Il

I

a

I I

-I PROJECT I~L~~iATIO~ ~ 1

j Project Organizati I Selection of project

leadership

Hobilization of resources

Mobilizatiol of public compliance with project require=elts

Diffusion of project innovation

Rural Public

I

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1 ROJECT IMPACT

Organization of ongoi=g project operation

Distribution of project benefits

Evaluation of project

Public attitudes toward project

-middot14 -

these areas and t~c central p~litical institutions of the three co~tries

and on the attit~es of the rural populacioc local leaders and elected

legislators regardi~g their problecs of develop~~c Since such data

is unavailable for alternative locales a return to the areas in which

we have previously done much research ~ables us to build on a uniquely

valuable body of icformation

A return to Kenya Korea and Turkey is also highly desirable from

the standpoint of effective research organization The Comparative

Legislative Research ~enter has developed close collaborative relationships

with several highly competent social scientists in these countries and

with the academic institutions with which these scholars are associated

We have also dev~_oped cooperative relatio~ships wi~ gove~ent officials

in these countries which should facilicate obtaining approval for our

further work

In proposing to doc~ent the origin i~pl~entation and impact of

one to three s~ll-scale develop=ent projects in each of 35 localities

we have two considerations in mind Firstmiddot because our pr~ry goal is

to deter~e the political conditions for rural developm~Lt we wish to

examine develQ~=ent in as many different settings as feasible Only in

this way can we control for so=e of the major socio-cultural variations

that erist along rural populations in less developed coultries These

include the overall level of econo~c development in the co~unity the

nature of t~e ~digenous culture an~ relationships of authority and the

pro~ty of the comounity to major urban areas and centers of central

gove~nt ad=inistration ~ce our original study sites were carefully

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- 15 - ~ ~1

selected to represent these variations ye have concluded that these

35 localities woule be ideal sites for the propose~project Second~ in order to dete~~~ the ~pact of local leaders and public

participation o~ ~ural projects we intend to compare projects 1n which

local leaders and ~ecbers of the public have played a major ~ole with

projects in which they have not We also ~l cospare projects initiated

by the central gover~ent with projects Yhich have been locally initiated

These considerations give us a typology for selecting projects as depicted

in Figure 2

Figure 2 ~

FIVE TYPES OF RU~AL PROJCTS ACCORDIXG TO ~FLUEXCE OF CEITiW

GOVE~1E~T LOCAL LEADE~ AD RLRAL POULATIO~

Level of Participation by Rural Population

Locus of Project Initiation ~

Local Co=unity Central Governoent

BIGd

LOt

1 Projects initiated by local leaders and providing for participation of the rural ~opulation

4 Proje~ts Litiated by local leaders bu~ not involving participation of the rural population

2 Projects initiated by the Central Govern~ent and administered i~ cooperation with local leaders a~d the rural population

3 Projects initiated by the Central Govemlent and providing =or the participation of the rural population but by-passing local leaders

5 Projects initiated by the Central Gover~e~t a~d administered in cooeration Yith local leaders but not involvi~g parti~ipation of rural population

- 16 -

We recognize that the socio-cultural setting of rural develoment

projects varies significantly within and across less developed countries bull

By focussing o~ a representative sa=ple of localities ~ Ke~ya~ Korea

and Turkey we can take account of naoy~ though not all of these variations

While some of our substantive findings will not be directly generalizable

beyond the countries in which we propose to conduct our study we expect

that our basic ~ethods and fLdLgs will be applicable to national and

sub-national settings elsewhere in the developing world This is partly

d~e to the fact that the hierarchy of patron-client relations ~hich we

regard as a critical factor in rural develo~~t exists in ~ost Liles

--It is also due to the fact that the methodology for identifying local

bull leadership configurations auG poundor studying local politics which we are

perfe~ting can be used to assess local political co~ditions in a large

variety of countries even when the ~nditions themselves differ significantly

Methods of Investigation

The data needed to assess the iDpact of local leaders and mass

participaticn on rural dev~lop~nt fall into two categories Some a~e

contained among the data gathered for the research project we are currently

completing Others will require additional field research

The following data are already in hand

1 Data on the social landscape of each loc~l co~nity i~cluding aggregate data o~ level of econonic development de~graphic characteristics political pa=ticiation eth~ic loyalities and rates of socio-econocic change dur~g the past decade bull

2 Identity of local leaders including both political and I-on-political leaders and both legislators and other politicians

3 Perceptions of existiag probl~ and their possible solution a~ng

l)tS r AVAilABLE DOCUMENT

- 17 -

general public local leaders and civil serv~nts

4 Level of political kno~ledge among local citizens and local political leacers

5 Political and social values a~ong local ci~izecs and local political leaders

6 E~~ectacions of leadership roles among the local public and elected and non-elected leaders

7 Patterns of co~unication ~ong local leaders and between local leaders and the central gove~e~t

These data ~hich ~e already have in hand can be subjected to analyses

which ~~ll provida the foundation for our further work on rural develop~ent

projects A part of our work therefore will consist of fu~ther analyses

of existing data

New data of the following kinds are also required

1 Doc~entary data on the origin and evolution of particular smallshyscale develop~cnt projects in the rural areas

-2 Data on project costs boih ~itial invest=ent and recurring

operating costs and data on project ou~puts ie pupils in schools Ddles of road coopleted nl~ber of hospital a~ssions production of factory agricultural productivity

3 Data on project organizatio~ n~~r of local inha~itants participating in establis~~ent of projectt nuober of local L~habitants subsequently involved in project

4 Data-on the pe-cetion of projects by local leaders emers of the local public a~d by civil servants data on the perception of how each project ~as initiatec organized who benefitted and what its future implicatio~s are

These types of data will requ~re field work involv~~g both docucentary research

at the relevant ~istries of the central government and in local goverr~nt

authoritieS and inforoal open-ended interviews with local political leaders

elected representatives and other local leaders who~ we had previously ~

interviewed in a s=uctured syste=atic =aoner

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Grant Organizatio~ and T~etable

We propose co undertake the research outlLled above beginning in the

fall se=ester 1977 Dur~g that te~ Professors Barkan and Kim as

principal investio~tors for the neo1 proj ect will contact their collaborators

in the host co~~tries They ~~ll also seek the collaboration of an additional

~rican scholar specializing in rural development with the aic of getting

additional advice on sources of data and suitable indicators for the

~easure=~~t of rural develop~ent projects

At the end of the fall seQester Professors Barkan and Kim will make

a trip to their research sites to disc~s details of the research organization

with their collaborators in the host countries and to recruit student

assistants Tney will devote the spring te~ 1978 to further analysis

of a~sting data at the University of Iowa

The gathering of additional dita L~ the field will begin in the s~er

of 1978 Professors Barkan and Kio will direct this work personally We

eAect that its coopletion ~~ll require three to six months This work ~1

involve the evaluation of central and local gove~ent reports on the

projects uncer investigation extensive on-site observations of the projects

and oen-e~ded interviews with the principal participants Our principal

respondents ~i1l be the local leaders and elected representatives we

have previously identified in the localities in which we have worked and

a sacple of active participants in the particular dpvelopment projects

being studied ~~ere necessary and apropriate surveys of the general

public will be uncertaken to assess the inpact of a given project on the

rural por)r We do not however leed 0 conduct systeAlatic sample surveys

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- lY -

of the rur~l population as We did in 1974

In the organization of this research project we intend to reconstruct

the rese~rch tea=s ~e e=ployed during 1973-75 We shall again seek the

co11abo=~tion of P~ofessor Sc~~S-7o~g Pai of Seoul National University ~

Professor IIiCr Turan of the University of Istanbul and Professor John J

Ok~u of the U~iversity of ~arto~ S~ilarly w~ contemplate directing

the field research fro~ he same acade~ic research organizations we previously

used Seoul National U~ive~sity th~ ~~iversity of Istanbul and the

Insti~ute for Develop~eut S~udies University of Nairobi As before we

will tra~ students f~oo these institutions to serve as interviewers

The analysis of the open-ended intervie~s and of docUQentatio~ on

I ~ural develop=e~t projects will be a ~ore t~e-co~s~g process than the

analysis of closed intervie~s It will reqrire a high cotnittl~t of time

fron the principal investigators )e e--pec to hold a conference at the i

U~iversi~y of Iowa 3lO1g all the principal )clticipa~ts in the resea~ch

project d~=~g t~e spr~g 1979 to evalua~~ the newly collected data

le e~ pect to be able to vr-ite reports of t~ results during the Sl1~er 1979

(see Figre 3)

IV LlX-GS ~1) U~ILIZATIO~

At the e~d of the grant period the Uti ersity of Iowa will be able to

1) advise the Agalcy 01 the design of s~l-scale rural projects to assist

the rural poor 2) provide guidelines for social soundness analysiS of

small-scale projects for the rural areas of U)Cs 3) consult w~th the

Ag~tcy 01 the evaluatiol of rural projects ~d 4) provide LDe governments

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)ATES

~lll

1977

~inter 1977

iprilg 1978

il mer 1978

~all

1978

ipr~ng

1979

Imiddoter 1979

University vf Iowa

Plutlning of rural develo~rent project

Barkan Kil

Alalysis of existing data

Barkan Kia

Data processing

3arkan Kin

1

I

- 4 -

Figura 3

GRAT TLfETABLE

SIT E S

Kenya Korea Turkey

Preparation of field research ural developH~lt project cOlisulta~io~ a research sites

BarkanOku=u Ki~Pai Tura~rkanKi~

Preparation of field resea-ch

Tural

Field research on rural cevelop~~t projects Bar~lOk~u Ki=Pai Turan

Co=pletion of Co=pletion of field resear~~I~ fiald researcr

Ok~u i Pai bull

f Coopletion of field research

Turan

Data analysis conference a~ong all princial i~vestigators at Un~versity of Iowa Barkan Kil Oku=u Pai Turan

Co=letiol of r~ral develop~ent

project

3arkan Kiz

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I

- LL -

~ith speciali~cs o~ ru~al developcect ~mong their own citizens ~ho ha_

partcipatcd ~s collaborators in the Iowa projects

In the proposed project we Will test a series of hypotheses cOlcerning

the political cOllditions of rural develo=ent which run counter to CODOn

assuoptions conccrnir3 t~~ influence of rural politics on project effectiveness

As a result ~e ~dll be able to assist the Agency in designing and evaluating

such projects froe the point of V~~W 0 their political viability The

hypotheses We will test sugges~ t~at the patron-clie~t relations existing

in the local politics of zost LDCs are not necessarily i~pedients to rural

develop~ent but are aspects or the political structure which cal be used to

facilitate s~ll-scale ru=~ projects which will raise the standards of

living of _ ~ rral pomlation - As ~ result or our stuey we expect to be

able to P~-O~t the local leadership confi5~rations ~4d the relationships

between local leaders ald rural poclations ~nich are oost conducive to I

successful develcp=en efforts We believe that we will be agtle to perfect

a cat~odology for identifying the political conditions for rural develop~ent

one ~hich is transferable pound~oo the countries we have specialized in to

other LDCs

We proo~ to develop specific guidelines to assist administrators

charged with selecting evaluating and =onito~ing rural develop~ent

projects to ~szess t~esc rojects in tares of their-social and political

viability he outco~e of such projects is dete~ned not only by the

efrectiv~nass ~~=h ~hich they use scarce econo~c resources but by the

~~er L~ w=ich they e~gage the suppprt of local leaders and rural

po~ulatiocs~ by thei= effect ou social a~d econo~c equality ~d by

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- 22 -

their consequences for hwan rights ~Je plan to establish criteria by

middot~hic~ the probable outco~es of projects in these social terms can be

anticipatec

The study ~e propo e will be undertltlken by faculty at the Cniversicy

of lowe in collaboration with faculty a other ~rican institutions and

institutions in the host countries We will build on the extensive contacts

between the Co~perative Legislative Research Center of the ~niversity of

Iowa end other instituions with ~aich ~e have worked One =ajor result

of our collaborative study will be the existence of a net~ork of compe~ent

scholars both in this country and overseas experi~lced in ~orking together~

shar~g a co~on teaching and training experience i~ close contact throu~~ the

effective publications progr~ developed by the Co~parative Legislative Research

Center T~e e~~ertise of this group of individuals will be ava~lable to

oteer scholars to the Agency and ~o L~C governments for specific policy

advice The eXertise developed as a consequence of this project will

extend beyond the ~tionals of the countries ~volved since the univ~sities

engaged in ~e project attrtct stude~ts fro outside heir own countries

For ey~=ple the teaching ~d research progra in the Depar~ent of Political

Science 0 theUniversity of Istanbul heavily affected by the participation

of its facul~y ~e=bers and graduate students in our projects attracts students

throughout the ~middot1iddle East for Whom the University of Istanbul is the iajor

institution ~pound ~igher education in the region rne Institute for Developmen~

Studies is si=ilarly a focal point for students and faculty in East and

Central Africa Seoul ~atiocal Unive=sity attracts students froo other

Asia~ co~tries~ In this way the capability developed among the participant$

BEST AVAIL~BLE DOrUMENT

- ) -

in our work is diffused widely To the exte~ that the abili~y to assess

rural develop~ent p~ojects in teres of their social soundness is increased

both in the United States and in ~o~~tries r~ceiving develop=en~ assistance

the cap3~ity of racipien~ countr~es to absorb aid is ~creased

We propose to draw up an inventory of personnel available in ~~e

Cnited States and in other co~~tries who are able to consult with developen~

a~nistrators on the design of rural development projects and on their

evaluation We ~~ll draw first of ai~ on individuals w~o have been

directly associated with our ~ork in the past or on ~he proposed project

and ex~~~d the list to include graduate students and gove~ent officials

with who~ these individuals have wor~d

tole Yill utilize tha existing publication program of the Center

dercribed above to disse~inate our findings The Center has specialized

oailing lists of interested individuals and institutions in all parts of -i

the world and its reports can trerefore reach the ~st relevant audience

jirec~ly ~d re~~arly

BESl AVAIL~BLE OOCUMENT

CONTRACfjGRANTCOOPERATIVE AGREEMENT DATA SHEET

INSTRUCTIONS fjDW Complete 4 copies of the form Original SERCMSDSUP Statistical Section Copy Copy 2 SERCMSIiUP dministrative Copy opr 1 Contracting Officers COy COP) 4 SERCMSDSUP IUmin (Suspense) Copy

Missions Complde 2 copies oi the form Origin31 SERCMSDjSUF- Statistic31 Section Copy 3n~ Copy 2 Nill be ret31ned in the Missions

PART fA

ConU3lttorGranrce Name

University p~f~I~o~wa~ __ -r~ ____ ~~~~ __________ -~~ __ ~~~ ______________ ~~~~ Plorr Numt-er ApptopriJtion Number Allotment Number Project Number

930-0090-3Q13411 A5 72-111l0216 146-30-099-00-20-11 930-0090 Project Title

So~ia1 and Potitica1 Aspects of Development - Conference to Report Research Findings Amount of this Plorr I Projecl M3nagers Name and Offire Sytlbol

$10397 (increase) PDPRCP Jonatlan Silverstone Contr3ctors D-U-N-S Number

Ncgwatocs TYJlCd~3meJ j) Signature I l ~ jIf- bull G HtJ--ft u l IVmiddot

D~e

L - f - J ContractGrant Officqs typed Nailllt Signalure LJ d I -r-

plusmn t 3i-alflpta (( BLvle~ 1 I~ PARTm

ContractGranl Number

AID CSD-3294

Effeclive Date of Docum~nl Signalltre D3t~ of Documenl

Lf---C yen-~-gl tIost Courtry Institution (U iwrsity contract ONL Y)

Campus Coordinator (Uniwr ty i contract OiiL YJ

PART UL Descriplion of Cor-tractGrant P1use X ONL Y ONE item under each headiZg IF THEltrease CifYmC~e bolh ges I 30~~ O~ Nol to be completed for Amendmenl or Modlfic3lion AJigtns I III

J 710gt I I V ~ I

MOl - TYPE ACT A~ 0 G unsolicited Propsll (AIDIR 0 C Individual (Non-pe~nal senice)

~ O Cortra lGrantl ooperative Agreemenl 73101-SO(b)(6raquo 0 D Individual (ftrsonal Service)

tJl T3sk Order ( A)middot 0 H Procurement 10 be Perfocm~d by the Conmiddot 0 E UniversilyOther FAuC3lionailnSlitulions

D 2 Work Order (IQC) Ira~lor in Person (AIDPR 0 F Non-Profil Organizationlnslitutions (other

D 3 Delivety Order (Requirements) 73101middotSO(b)( Iraquo than Ed or PVO)

[j 4 Purchase Ordcr [J I Sole Source (AIOPR 7-3101-SO(b)(4)) 0 G Private Volunury Organization (PVO)

If I 2 or 3 1Lle an ~ compllle M 12 ON Y D J Imp3irmenl of Foreign Policy Objectiws 0 H International Agricultural Research Organj-

M04 - CONTRACTGRANT TYPE

o O MOA (BOA BMA etc)

o I Fixed Price (Specify fFP FPRD FPEPA FPI) _____ _

(gtIDPR 7-31 OJ SO(b)(7raquo

OK B(a)5eJection (FPR 1middot1713-1)

o L Grant iH1ndlOok 13)

o M Do Nol Ue

D 2 Cosl Reimburemenl (S~cil) CR CPFF 0 N Cooperative t~reement (Handbook 13)

CS CPAF CPIF) ~ 0 O Small Business SeImiddotAside (FPR 1middot1706-8)

o l Cooperative Agreemenl ~ 0 1 Overseas Procuring AClivilies (AIDPR

04 Grant Gener31 Supportmiddot 0U ~ 7lIOI-SC(b)(2))

o S Granl - Specific Support ~ ~06 E SER VICE

g ~ ~~t ~~(d) ~~ ~~ ~ eci~a~~~~~ogram Projeci

o amp IQCs ~ ~ relampted excepi A amp E Services)

o 9 Host Counlry ContraclGrnnt 5lJ C amp E Services

middotComplele ONLY through ~Sl ~~ 0 D Construction

M05 SELECTION PROCEDURES 0 E- Reseuch

o A Formally 3dverliscd (IFB) (A1DPR 7middot24 amp

FPR 1middot24) ~ o B Negoli3ted Price Compelilicn Gencr31

Procedure (RFP) (-JDPR 7456)

Dc A amp E (AIDPR 7410)

0 D Ed Inst andor Inl1 R~arch (-JDPR

74 5)

o E Collaboratoe Assisunce (IDPR 7458)

C F Predominant Capability (IOPR

73IOI-50(b)(l)

AID 1420-49 (179) - Page I

D F Technical Services to AID (other than trainmiddot

ing usually o~ating expense)

D G jraining SetVice for AID

o H Equipment Materi3J~ Supplies Commodities

D I Translation Service

~07middot TYPE CONTRACTORGRA-nEE

o A Firmmiddot AU profil-rn3king fUms (other than

Aamp E)

J e A amp E 8r~

zalion

o Public Inlmlational Organizations (UN

Agencies ICRC Wocld Bank elc)

(H8 J 3 Chapt~ S)

M08- TYPE AW~RD

o A S8 Sel-Aside - Awarded to Non-Minority

o B S8 Set-Asidemiddot Awarded to MinXity

o C_ S8 NOI Set-Aside - Awarded to Non-Minority

o D S8 NOI SeImiddotAsidemiddot Awarded 10 Minority

o Eo amp(a) S8A Awarded to Non-Minority (Womerl-

Owned Veterans etc)

o F 8(a) S8A Awarded 10 MinorilY

o G Personal Sen-ice ConlrdCt bull Non-Minority

o H IeJSDnal Service Conlract - MinorIty

o I Individual NonmiddotPersonal Service Contraci -

NonmiddotMinority

o J 100Jigtiduai NonmiddotPersonal Service Contracl -

Minorily

o K NOI Small Business (Univ NonmiddotProfit Large

Firms) Non-Minorily

o L- NOI Small 8usineSl (Univ Non-Profit Large

Firms) Minorily

o M US Govcrnmlnt

(Connnued on Page 2)

BEST AVLABIE DOCUMENT 1 I

--

ua ) R I GI NAL 9 bull

MODIFICATION or GRANT PAGE 1 of 2

AH 1 2 Effective Date 3 Grant No 4 Effective Date

Amend_at Ro 5 April 15 1981 AIDCSD- 3294 8-11-71

-s CRANTEE (Name and Addrea) 6 Administered by -Professor Gerhard Loewenberg -Office of Contract Management Cbrnparative Legislative Research Gente Central Operations Division Dept of Political Science am Branch University of Iowa Agency for International Developn~nt Iowa City Iowa 52240 Washington D C 20523

7 PIO No 930-0090- 3013411 A5 8 Previous PlOTa -

Appropriation No 72-11110216 93i-1l-995-l36 930-11-995-136-73-3078103

Allotment Symbol - 146-30-099-00-20-11 wunt Obliga ted by this ~ndrnent - $10397

The above numbered Grant is hereby modified as follows

1 Anotmt obligated prior to this rurendment 2 Amount obligated by this amendment 3 Total obligated anount (1 amp 2)

Delete the amJmt $465000 and substitute in lieu thereof the ammnt I$47S 39-7 ~

FUNDS AVAIrABm

~~ - APR 13 1981

PrO~A~~5iors

$465000 $ 10397 $475397

OffiCE Of fIN~(1 ~~rE~E~T __ _ 10 This amendment 11 entered into puruant to the authority of the Forelgn

Assistance Act of lS~l as amended Except aft hereln provided all terms and ~~ndi~ons nf the grant rcferpnccd in Block 13 remain unchsnged and in full force and ~ffcct

11 original and six Crantee 18 requlred to aign thh document aad return 1- eopics to issuing

ffiee

~~~ or printed) BUSINESS MAHAGR amp bull

Tille TREASURER

UNITpound) STATES OF AHERICA AGENCY FOR INTERNATIONAL DEVELO~NT

BY_-1(1o-_1lt--= 13middot~_1_~ __ K R B1uteau

(Name typed or printed)

Tltle~ ____ G_r_a_n_t __ O_f_f1_c_e_r ____________ __

D3tC APR 2 J 7997 Dolt 9 APq 1981

BEST AVAILABLE DOCUM NT ___ 0 HLGlNAL - I 1 J 1 ~ )

- 2 -

AID ftmds in the am)tmt of $10397 are hereby provided for the activities lmich are described in your proposal (including Budget Stnmnary) entitled CDnference to Report Research Findings on the Study of Political CDnditions for Effective Small-Scale Rural Assistance Projects in Kenya Korea and Turkey dated February 17 1981 and made a part of the Grant b reference

BtTDGET StMMARY

Line Item

Travel

Per Diem

Other Direct Costs

Less existing 211 (d) grant funds

Total Amount Obligated by this Amendment

Estimated Costs

$ 5888

5100

_ 2500 $13488

_ 3091

$lO39

Note Indirect costs or $395086 associated with these activities will be contributed by the University of Iowa

BEST AVAILABLE DOCUMENT

~RIGINAL

- CONTRACT IGRANTCOOPERA rIVE AGRElEMI~ SERC~SDSlP Actio) Monitor

SERCMSDSUP Action Office

I

INSTRUCTIONS AJDW - Complete 4 copit of tlh fonnmiddot Orisina iCMSDfSUP Sutistical Section COP)middot Copy 2 SERCMSDjSVP Administrative CoP Copy 3 Cont-acting Officers COP) Copy 4middot SOSUP Admin (Susptnse) Copy Missionsmiddot Complete 2 copies of the form or~aI SERCtSDSUP Statistical Section Copy and Copy = wiU~ retained in the Missions

0 PART IA

Effective Date of Document tJ

Delivery Order (Requirements)middot

o 4 Purcluse Order

bull If I 2 or 3 have an bull X compl~te M I 2 ON L Y

M04 - CONTRACTGRANT TYPE

o O MOA (BOA BMA etc)

o 1 Fixed Price (Specify FFP FPRD FPEP FPI) ___ _

o 2 COli Reimbursement (S~cifY CR CPFF CS CPAF CPIF) ______ _

o 3 Cooperative Agreement

o 4 Grantmiddot General Support

o S Grantmiddot Specifi Support

o 6 GraDt 21 led)middot

o 7 Do Not Use

o amp IQCs

o 9 Host Country ContractGrant

middotComplete ONLY through M 5 1

MOS SELECTION PROCEDURES

o A Formally advertised (IFB)(AJDPR 7middot24 amp

FPR 124)

o B Negotiated Prire Competition General

Procedure (RFP) (AIDPR 7456)

o Co A amp E (AlDPR 4 I 0)

o D Ed Ins andor Intl ReStalch (UDPR

7457)

o E Collaborative ASSistance (AIDPR 7458)

o F Predominant Capability (AIDPR

7-310l-50o)(3)

AID 142049 (1-79)middot Page J

o H Procurement Co be Performed b~ the Conshy

tra~tor in Person (AlDPR

7middot3t OI-SO(b)(Iraquo

o I Sole 5gturce (AIDPR 7middot3101middotSO(b)(4raquo

o J Impairment of Foreign Policy Objecdv~

(AIDPR 7middot310 ImiddotSO(b)(7raquo

o K 8(a) Selection (FPR 1middot1713-t)

o L Grant (Handbook J 3)

o M Do Not Vse

o N Cooperative Agreement (Handbook 13)

o O Small Business SetmiddotAside (FPR 11706-8)

o P Overseas Procuring Activities (AIDPR

7middot3101middotSO(b)(2raquo

M06middot TYPE SER VICE

o A TtJining of Participants

o B Technical Assistmce (Program Project

related exc~pt A amp E Services)

J C A amp E Services

0 D COltl~ruction

0 E Research

0 F Technical Services to AID (other than trainmiddot

ing usuaU Y operating ex pense)

0 G Training Service few AID

0 H Equipment Mat~rials Supplie~ Commodities

0 I Translation Service

07middot TYPE CONTRACTORGR TEE

Firmmiddot All profitmiddotmaking fu-r1s (other than

AampE)

o 9 amp E Firms

I Prcct NumbcT

I

Contactors D-U-N-S Numbcr

I) -S--f(j

o C Individual 0-lon-~rsora1 service)

o D Individual (Pet-sonal Service)

o E University lOt her EduCltionaJ Institutions

o F Non-Profit Organization Institutions (other

than Ed or PVO)

o G Private Voiuntary Organization (PVO)

o H International AgricultwaJ Research Organmiddot zation

o I Public International Organizadon~ (UN

Agencies ICRC ewld B3J1k etc)

(HB J 3 Chapter 5)

M08middot TYPE AWARD

o A SB SeImiddotAsidemiddot Awarded to Non-Minority

o B SB SetmiddotAside bull Awarded to Minority

o C SB Not SetmiddotAside - Awarded to Non-Minoril)i

o D SB Not SetmiddotAside - Awarded to Minority

o E ~a) SBA Awarded to Non-Minewity (Womeli

Owned Veterans etc)

o F 8(a) SBA w-rded 1o Minority

o G Personal Service Contractmiddot Non-Minority

o ~ Personal Service Contnct - Minority

o I Individual Non-Personal Sence Contractmiddot

NonmiddotMinority

o J Individual Non-Personal Service Contractmiddot

Minority

o K Not Small Business (Univ Non-Profit L1lge

Firms) --vn-Minority

o L Not Small BUSiness (Univ NonmiddotProfit Large

Firms) ~inoriy

o M VS Government

(Continued on Pcge 2i

t bull - t ~ J f q

ORIGINAL bull MODIFICATION OF GRANT

1 2 Effective Date

Araendllent Ro 4 12-2-80

s CRANTEE CHace and Addrels) Professor Ger1ard Lo~middot enbelg Comparative Legislative Research Deartment of Political Science The Lnivp-rsity of Iowa Iowa City Io~a 52240

7 PIO No NI A

Appropriation No 72-11XHl26

Center

Allotment Symbol -426-30-099-00-3~-71 Amount obligated by this urendment-O- I

3 Gnnt No

AIDcsd-3294

PAGE _____ 1 _of-L

AlI 4 Effective Date

8-11-71

~ Admlnlltered by -Office of Contract Management Central Operations Division OTR Branch Agency for International Development Washington DC 20523

8 Previous PIOITs -

931-11-995-136 930-11-995-136-73-3078103

9 The above numbered Grant is hereby modified as follows

Supplement to Grant

Change the duration period sentence to read

The Duration Period for this Grant shall be August 11 1971 through December 31 198]

1 Amount obligated prior to this amendment $465000 2 A~unt obligated by this amendment -0-3 Total obligated amount (1amp2) $465000

----------------_- - ------- ----_- ------ 10 Thh lImcndmcnt is entered inlo punuant to the authority of the Foreign

~ Assistance Act of 1961 86 amended Except a~ h~reln Z II provided all terms and condi tions nf the grant referenced in Block 3 remain ~~aunchlinged and In fu1l force and effNt cnltUI cJ)za 11 o 4 J bull

Et~ ai~a gtUoItshyc Z P=u

original and six Grantee t requi red to sign this document and return 1- eopies to 1Bufng

office

~ 12 GRANTEE TES OF AMERI CA

(Name typed or printed) bull

TJlle Director Comparative Legislative liecearell CeQtoQl

Date 12880

------------------------------------

ONAL DEVELOPMENT

By ----~--~~~~---------------------

prinled)

Grant Officer Title --------------------------------

J)oll( 12-2-80 -----------------------------

BEST AVAILBLE DOCUMENT i je

Page 8: PD-Ar3T Cr(~

- 5 -

itl Suppor- f~ctl this Grat tre University of lei-Ilt ~dll cO1centrate

e1 fclts in this prcge~ en legislative behavier variables tat telp

e91aL ~hee specific 3sten cha~a~teristics 1) the scpe of olitics

2) e style IJf goverQent ~tnd 3) the legitirlacy of the regine For

tis l)1lpcse te gtrcglam -rill ex~e releva1t coparative factors il

a lage nlt=~er O~~ African and Asian legislative institttions The

Univcsity of lO~middotIa ~lill also uldertslte the study of these legislatures

at -a~iClS cLts in tire This ~lould gtequie the use of time series

cat t1G historical SClrces not cctl9arable to contempOral7f sou=-ces of

Fe each of te legislatures included for study Ima -iill seek to

a1al~ze suc] cbractelistics of t~e legislative systen as 1) the

atricutes cf ecers--te process of their recruitment their so~inl

~c cccupalonal backgro-lI1ds their politically relevant srills their

role c~ie1lttio1s inclcirg ht~ir concept of represeILtation and the

pe~pound~ge 1~r5th 0- tente in tbe Ipgislat~re 2) t~1e distribution of

the f0~al 211 inforl rales of 2ocedure the leadersnip groups the

cr-osi tio1 and role 01 legisl3tire staffs a1d the kinds and freqlelClJ

of legisative sessic~s 3) the ~utputs of the instituticn--the agenda

of issues tre modes c- cotenticn el1d the qU11titr and kinds Jf

decisions

)middotemiddoter llllike studies of ~hese fctors in the past Imla is

BEST AVAILfBLE DOCUMENT

- 6 -

The for~Ietic1 0 tneol-y lO this coarative 8seerch of

Tiiill ~erdt equivalent cmiddotoss-sy-ste~ ~easuelents are 8O1g te r6st

irpctant aSgects of tle prcject It r2y be one of the ~c-st valuable

esllts of Io~a I s efforts ad ~dil reCuire close collGbor-tion arong

t~e pa~ticipents bull

p_ Cc=-arative Legislative Research Archive

lltOle a subsb Tltial aolIlt of legislatie data has been collected

in a1j- different cOL1tri8s very little of this iateriul is cOJarativE

1middot-s of it has teen collected by individual reseachers on e single

CQl~ty Cc~adson in legislative research is thus difficult because

=2 01 r3j cClalties are ot available at a sirgle location in s sLgle

is a clear ~eed for the ce~t~alizGd acq~sition ~ or ~ne

available data to per t the forulaticn and compGrative testlg of

~eorics aoc~t le8islativ~ behavior As a major part of this program

te Uive3ity of 1mmiddote 9poundlS to establish a data arch-e to begir to

big te existing legislative sttiies tcgetber at a sirgle location end

to ~-ke ~i~er ~ccessible +0 the grm-ing 1unoer of irterested scbolals in

Once J~1ese data have O~en brOght tcgether tney will contribute to

-~ pogram t IO~middotia in -I~middotiO -poimiddottant ~middoteys First the dats -Till be

utEized in traLig graduate stud2nts T1e rea13lysis of d~ta to test

BEST AVAIL~BLE DOCUMENT ( 1 t

- 7 -

faculty at the University of Imllt1 and from omiddotrerseJs tlitbout slch an

acbival base those dtdies Ylould be ver lil1ited in the hypotheses

ter could test The quali ty of this re search eqerience fill be

(o1siderably enha1ced by the aVJilability or data for co~arison dth

t~e data generated thlcugh the ccllaGorative research sponsored by the

traini~g progca~

Once gathered a~d refo~tted the data ~~ll be ~ade available to

sc~olars students al1d other interested persons outside of tre University

of Io ra P(r exa-nple appropriate data sets would be available to other

llsti utions tat pre ccoperating in t~is program ie Ha-waii Clla De

~ese could tten be used in curriculul developent at tbose schools as

middotell as Ll the pre-grar at the UJiversity of Imre Finally data could be

aie available to i1di-idlal sc~olars and institutions overseas for use

1 teir research a~d trailing progrems The cUIlulatiie effect of this

disse~lilation and staring of data ~i11 be an enrichme~t of research an

Llcreased flO-I of ne data to the Uriversity of Iewa I3Jld a greatly

ena1ced ability at Iowa to aalyze legislative behavior a--d defelopnent

f 1ssociates

The University of Iowa d31 involve as Associates individual US

arc ~ereign Rcolars fro~l other instibticns in some instances fOl

cc-ivities at Iovll in others as recipents of support Oi research and

oter aciivities middothich coqlement cnd emic1 the program at o a These

Associa-es rill be involved in such activities as ser-lfing es University

of IOim g-uest professors 5~St lecturers 1d visiting faculty

lticipel1~s L ccnfiences and s~riosia and as collatJoratiEg 2search

BEST AVAILABLE DOCUMENT

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cevelcged c~lt-ies Smiddot~yemiddotl such projects core already uoer ~middotay

and 3y potetial ss~cetes ~ave been identified and thei ilterest~

211 gtarticipeting i1 t~e ~Cglar1 ascertained

He -resc1t ge~sc-~el a1d acilities of the University of Iomiddotro

plcvice a very st-cre basis for the research atJd training programs

~rnich ~middote a~ ~rc9~3L1g -fmever the further development cf legislative

suCie3 ali a pec~ent streugthenLlg of ~he progrun of Iomiddot ~ is a major

a oes3icral Demiddotmiddotelc~ Galt fur~ds will be uSed by the

LT~iersit2 c la= ~ icreasing te nUbe of faculty specialists in

cClJses ir sjcts elated to the subject atter Specificallr grant

fuimiddotis dll ce usee to ac3 one pernanent faculty Uemoer in roliGical

scienc~ ~middotit s~ecia iltcests b legislaive beh3vior ald political

dloYl-nt a-o 81 a29 cmiddot-petence in Ardcan pclitics and to bring

(lculy -emiddote-s fro less ceveloed countries to spend a peri cd of time

at the TJ1 i si ty o~ Io~middot adine sechtl expertise to the ~od~ at Iowa

other middotisosel -~ i_ le irol1ght to IC~ia as needed to support those nO~T

or --18 fc~~ti r~lt 7ds ~rill also be ilsed to finance data collection

exlts-s ~) t~-e res~imiddotch iork of tte acult the Associate scholars

BEST AVAILABLE DOCUMENT

1~ II

- 9 -

cesigned tgt trrtin US and foreign-born st1lcents in le6islati-~e rese=z-cndeg

Sttde1fs ~dll be tdTi tted cr11ally to 9 proeragt iihicn ~iould irclude a

tro~ot~h grounding in the r thods of cczparative aralysis the S1ostance

of conparatie politis g-mel31ly end the corrparative studJP of

legislative behavior in 9articulal The Uni-ersity intends to associate

tnese studelts directlr - rith research in Ttlhich faultr 2Cbers are

engaged to encourage thea to dra- U90n the skills end resources available

in this field il ra1Y departnents of the University to enable them to

spend up to one year in field research and to have thel4 snare their

findings middotrih their stmiddottidei~t and faculty colleagues Tle prograII will also

involve foreign scholars middotno are expert in the legislative process of

t3ir o- n countries in the tcaciing fgtimiddotogren both by holding -fisHing

a=point~elts at t-e University of Ioc1d by sUgervisi~g field research

c R d - t- ~ 1 rec C~ of Esta~lis~ed Scholars Tne University of Io~~

plals to extend a1 in-itaticn to seieal foreign scholars duri1g te

gle1t p2riod to patici~te in a coparative legislative researc~ seirar

duriig their visit Their plrticipat~ion middotrill edd 3 lL1iqte diiensicn to

the seiiral hceuse cf theh ~1o~-rlecge of the legislature in their own

C01-try BCmiddot2~ J1is Gemilr -ill be dealing -lith the nos-G current

reseaCIJ o~ l0~ ~ltmiddotJres as ell as discussine desigs for reseach to

fill in cowleuge of legis1timiddotre 1ehclicr -re believe

tret it ill be a l2~lilg experience for all the pclticira1ts--incltcing

BEST AVAILABLE DOCUMENT 1]7

- 10 -

Ima rill lOrk collcboratively ~ith the fOrsig1 5cbolars to design a1d

carry out P reseach pruject These projects Till cc~tribute to the

retlaininB of foreign scholars and nill also add to cur mmiddotm and8rstanding

d Research The 9rinciplI enphases in cesenrcl rere cutlined in

Section III above ie to focus en con-9arative studies in iihich

legislative cehaviol can be helpful in explaining the scope of politics

the style of governcent a1d the legitinacl of regiles Variables hich

will be studied Iost closel~r ircluue tbe persistence of institutional

norms in the legislature oyer time the relationship o~ the legislatue

to ether institutions in fornirg public CC1Cepticns of politics and

the histOl~ical context detelini1g public expectations of the 12risleture

This resea~ch nag both academic and practical objectives

Academically it promises to tie legislative behavior research to other

major concerns L1 pcliti~al science such as research on systeJ stability

and paricrJance Its general substaltive eojective is to assess the role

wtlichlegislatures Illay L1 determining the capability of political

s~lstems especially their ability to deal ~middotith soCial change

Vractically the stu1y ~y offer guidance to polic~Y-Dakers on

t~1e role ~ hich legislatures rray be ~lI-pected to pIa)- in neimiddotrly established

political systelt ald on ~hc efcrrrs in established legislatur~s -Thicn

rray be required to achieve specific syste~ effe~ts The study ~dll

Nquire the assccioticn of rembers of legislative staffs a1d 2cademic

colleagues in the s~eLal nations lmder nvestigRotiop plovidirg training

fot ~ll r)f them i1 leeis1ntive re3Clrch ~ri facilitating a valuble

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ll-

of Iml3 ~ill LS~ glmiddot~t f~ds t~ estaolish a data archive to begin to

bring tb~ edtirg legi31ati--re studies tog3tller at a single locaticn

end to =afe t~e ac~essible to tie grc~ring m~er of interested

scholars in t~i3 field PerSCIlllel of tbe Data Archive ~rill searcD

broadly fo all a-reilable data on legislatures in the possession of

ildiviiual researc~rs i11ese data sets ~-Till be acquired refo~atted

for ease in alelrsis a1d stored in Archive Tne Archive ~~ll

asserble tie etel~ Gata O legislative organization ald procedure the

socialization ~~ recruite~t of lzgislators legislative decision-

makLg pccesses 2d legislative outputs To facilitate access to

the data a ~middote-riemiddotrlt11 syste middoti111 be cesigned that will 2011001 r-=searchers

to find ~iccJ ata sets that c~mt2in inforration lelefalt to their

researc1 po)2e5 RibEcg-aphic citation3 cnd abstracts of research

reports on le~i51e-imiddote oebio ~~ill be gathered and a biblicgraphic

retrieval sys tC idll a Geielc9d to aid esealcJers

cooioinet-e1 ~~as n -ie are= of c~rarativa legislatile studies is

t~3t because 0 si~~e iJS in~ti tuticn ias tce necessarJ expertise

of ccrparati ve

1-=gislatiY2 tcie3 8forts of the most conrpeteat ace interested

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12 -

oz~ the tr)middote grantee institutions and otter associated scholars It

~ill ayise t~e pa1tee i1stituticns on SllC catte-s as roritorirg

activities at the t~re~ unive~sities~ evalu~ting rese~rch frr possible

=middotclication sJ--sidies rld ether ratters related to infor~atioTI

disse~~ation coordinating research efforts to avoid duplication

ecilitating excha1ges d sttde~ts ad faculty members ~-iitb foreign

nsti tutions i~en desirable tryi1g to till lacunae in cLIricu lUn

helJilg to arralge cmferelces and sy-posia and generally trJing to

9cote te ~eielcp~2nt of cOlparatile legislative stucies as a

Gra1t L~HS idll be ~sed to support the Univ2rsity of Io -a IS

nrticipation in tre AdisorJ Co-i ttee t1e developrrErt of conferenc=s

elsEfhere il the US arHl over3eas i1 relat2d facets of leeislaive sttdies

Edstng iersonJ~l al~d fa-ilities at the University o= 1oa previde

iaculty facliiies to aid rC3emc~ trailg aPd skill in 21c~ivaJ middotork

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r ~-)

- 13 -

Six ITe-bers of t1e faculty of the Departent of Political Science

at the Unhe ity of Im-ia are presently engaged in legislative research

To merbers ot the Departllent of History are engaged in research on the

British Parlia~ent L~ the eighteenth ~~d nineteenth centuries Fer the

past six years an adv~~ced se~inar has been offered by ~embers of the

Department of Political Science and the Department of Histo~J on

comparative legislative behavior This exte1sive collaboration iiill

ma~e it possible to develop a fully inter-disciplinary program for the

students ~~d visiting faculty In addition faculty ~emcers in

Scciology interested in organizatien theory and in the College of Law

interested in legislctive processes provide furtber e-pertise ava_ilable

to students interested in tee study of legislative behavior The

presence of these specialists on th~ facult~r is reflected in the

excensive librarJ al1d otler data resources existing at Iowa in this

field

The Uniersity of Ima offers an unusually extensive program of

trainL~g in research methods Four ~e~bers of t~e Department of Politi~al

~cie1ce teach in the field of research nethods Courses jn statistics

ca1 be taken ill the Dep~rtents 01 Sociology e-d Educational Psycholcgy

Llis prcgr6l provides a verJ solid grounding il research training and

data analysis

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e ~

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Y labCrato~y for olitical Pesearch is the reseacc1 md research

tlairirg facility of the Departe1t of Political Sci-lce Gcadvate

students receivo extensive res~arch experience through 1or~ing in the

La oratory bull The Lacoratoy is also a1 integral part of the trainirg

o~feed in ccurs~ T~middotO~ for graduate students

The full-time sta~f of the laboratory includes a director an

assistant director a t-=cl1ical cirector a supervisor of study

t1hteen graduat~ students - rf1rk in te Laboratoy receivLLg teining i~1

~a~a collecticn ~~i data e~alysis Tbe facili te5 of the La)oratorltJ

icluoe a oard eJcerline printer ccnnected to the U1iversitys

dis~ and tape storF-ze for d~ta

The pogral of trailing ia coparative legislative reseC_cch ~ill

relr heavily en t LaOerltcLJ- for taching graduate stucents Visi tine

fc111tr lYe~bes iill be able to utilize tbe facilities cf the Laboratory

gt IOra ~as sFcial ccrpetence in prOCed~les for

ccq ter ogagtlizetion of d~ta Ja1ks ~d fOi the p~ocGssing of large data

sets as well as iJ the sttdy of naticnsl end st~te legisltllres Tile

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Ile Univelsity of 10Ira will eadnister- the Grant thJotg~ its normal

a)1 iristrative char-l1els ad i1 Eccordance imiddotlith its ncrTal olicies and

operatirg procedures 7he Director of the gr~l1t-s~~ported program

Hill be a senior faculty eriOer of the Gniyecsity of IO~-ia -with extensive

expe~ie~ce in the subject field Associate Directors w~tb similar

qtalifications -aill also be appointed 7he Director- and Associate

Directors ~dll serve as eibers of t~e Inter-University Advisory CC1gtr)ttee

established to cooidinate _u bullbull ID gra1t-stpported programs at IOia Dul(e

lniversity a1d the University of Ha- aii Ll1 this field These relatiol-

ships are i~dicated in tee follc~dng a~inistrative organization chart

IX Ul~vsity Ccntri1uticn

T1~ ~h-ersity of IQ(a aSSures ALD that this Grant middotiill not

replace existing ftnds for STr current activity and imiddotrill be additive

to existing prograrrs of tCe lJniversity In direct sp~ort of this

Grat ttc University ~ill provide a) Acmi1istratile costs including

tie of senior officers of ttlt University b) Office ~ld research space

ald library and cor-puttr facilities c) Provision of a1cillamiddotCjr 1niversity

personnel -or consultation o~ ~middotjQrk nth the progral

X Reports end 5evie~-Ts

There i-ill be sub~itt-=i al arnual t2ctnical report for the purpose

of AID s revie- of activities under te Gant Tnis idLl include

a11 e-llation of prcsr~ss aidnistratve ar_c fiar~cial corsicer~tior~s

p~s cr tr foJlJ-middotire ear ~i disctlssics of the ossible l~lizaticn

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A~~inistrative O~ganization

Ice Board of Regents of tle State of Im-la

-Iesicent of the University I

1 rOfcst Jf t-3 University

Den College of Liberal Arts

r Chailan DcptiEt of olitical ScieJce

Inter-G~iversity

Acisorr Corcittee

PcgrG21 Director Associate Progra~ Directors

Liaison Arcrge~~nts d ~h I I~~erested Plcfessiona1 I Perso~el j

I _

I 5cu1ti (full or PmiddotLG-tire l Asscci~tes a1d otllei non-Io~il

3ecip5ents of Gr3-1t stPPC1t Gr~cue~~e S t1~lcnts St2~retQi~S1 Data Lbed~1 31

Ln 18 r1icia 1

LO1t c~lce Factcj~1 ts

BEST AVAILABLE DOCUMENT ( ( V-t

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of te eo17i~g cCpterce br A I D rLld ethers In addi tion there

aS3essr~ents of the gr31t

middot l ~ lI ~ _ _ _ co~~~r~~ing ~~iversiti~s md tne rrctitoring ALD office

7re l~yersity of Ie~middot~ budget of $26500 is to be deveted to the

cemiddotelgt~e~ of lstituticnal cefete1Ce in comparotive legisl~tiye studies

~t Iomiddota c t~ the exalsi0 ot a date b~L-lt ~ hich 1fill be utilized as

a ecle for icrec3ing te scope of tbe sub-specialty

T - 1 f 1 __ middotja r S Ctdget a9roxir~tly 33- has bee allocated to a

cemiddote Lp~l t rirc ipally C actlty re leased tirre for data ccllection

ai 0 3alres f~r i~~er-ieers in field research 3d secretarial

assi5ta1ce nCt2 11- of t~e Icmiddotre oudge~ is iesignated for an

ArCE_1 A~ite s(101a~middot 2d one 0 ore scnolals froQ LDe or

s1lllrt of greluate stucents in the

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Finally approximately 19 of the budget will be devoted to the

proposed data bruL~ that will archive not only data generated from the

research of scholars at Iowa Duke and Hawaii but also at other US

and foreign institutions Primary and 3econdary an~ses of these

data will become an integral part of ~omparative legislative studies

curricula The ability to utilize the data bank for teaching purposes

also should have a significant impact on professional preparation ofmiddot

future legislative specialists In summary the funds will be

allocated to research teaching and training activities tha~ are

entirely conson~~t with the philosophy underlying the utilization of

2ll(d) grants to achieve institutional development

Conclusion

The University of Iowa regards the research and teacbing components

of this program to be closely related an1 zrutually reinforcing The

University of Iowa offers a strong base for the pro~ram because of the

interests of faculty members here now because of their contacts with

scholars in this field in other Americ~~ and foreign universities

because of their experience with the international exchange of faculty

and because of the distinctive data gathering and processing facilities

available in our Laborator~- for Political Research The program which

we have formulated is designed not only to accomplish specific

research and teaching objectives but to contribute to the long-term

development of the University of Iowa in an area in which it has already

exhibited special interest

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The program on Comparative Legislative Studies with support from

this Grant rill develop the capacity at the University of Iowa to

provide assistance under separate financing arrangements to developing

countries in a number of ways and through a varieiy of channels This

assistance which would be arranged for end negotiated separate~ from

this Grant may be in the form of technical assistance advisory service

training research and information exchange etc It will be available

by mutual agreement to appropriate agencies national and international

public private a~d mixed and directly to the less developed countries

Most especially this added special competence will inevitably become

incorporated through the processes of scholarship and education into

the competence of US and foreign scholars and institutions concerned

with this topic of great significance to the developing and the more

highly developed countries alike

BUDGET SUMMARY

UNIVERSITY OF IOWA

Salaries

Graduate Student Stipends

Fringe Benefits

Travel

Equipment and Services

Other

TOTAL

$173090

32400

19209

13800

6501

20000

$265000

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Dr Willa~d l Boyd Presicient University of Ima iowa City Iowa 52242

Dear Dr Boyd

4 AUG 1977

amp

FIJNDS AVAnASLe CpoundNrftAamp sEIMCEs DMsON

AUG11 ~n te t6417 ~77

Subject bull Supplsectferit-tJF-G~middotNomiddot~middot AIOcsd-3294

t middot-rrPJ1 3

I am pleased to inform you that pursuant to th~ auth~rity contained in

S-cction 211 (d) ooC the Foreign Assistance Act of 1961 as amended a sup

plemental grant in the amount of $200000 is h~reby r~de to University

of rCi1a These supplement]l grant funds areprolided to support the

activities which are described in your Proposal dated May 6 1977 for

the implementation of your program entitled Political Conditions for i

Effective Small-Scale Rural Assistant Projects

---This sup~lemental grant is mace to University of Iowa en condition that

yo~r institution shall administer the funas provided under this Grant fn

accordance lith your r~ay 6 197 proposal (including Budget SUmlilary) and

the Standard Provisions (as incorporated by Amendment No 1) which have

been agreed to by your instit1ltion Ti) the extent of an inconsistency

between the Proposal and the Standard Provisions and any otherprovisfons

which ar~ made a part of thi5 Giant by reference or other~iSe the Sta~d~

ard Provisions shall control

The new Duration Period for this Grant shall beAugust 11 1971 through

August 10 1979

The total amount of funds obligated under the grant is increased to reflect

a new total oblgated amount of $465000

Please sign the Statement of Assurance or Compliance ana the origfnal -

and seven (7) copies of this letter to acknowledge your understanding of

the conditions under which these funds have been granted Please return

the Statement of Assurance of Compliance and the original and six (6)

copies of this supplemental Grant to the Office of Contract Management

Attachment May 6 1977 Proposal and Budget SUfiT1a ry

UNIVERSITY OF IOWA

Roberw bull OBrien fficer

Ce al Operations Division Office of Contract Management

AC~E~E~C--_ 0 BYpoundk~~ cH

D C ~lpoundSTtR5BA T ITL E ( PfeampoidPilt for

tee ment amp Research DATE 9-22 -77 (d~ ~~Bduate Ctl~1e~e

BES i AvAILdLt UOCLJMU~ I

211(d) Grant Program

Proposal of the University of Iowa

POLITICAL CONDITIO~S FOR EFFECTIVE SMALL-SCALE

RURAL ASSISTA~CE PROJECTS

Submitt~Ci to

Civic Participation Division AID

May 6 1977

Amount requeste~ $ 199987

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I TdE DEVEIOP~T PROBr~

P~litical Conditions for Rural Development

The Cocparative Legislative R~search Center of the University of

Iowa proposes to ~~dartake a two-year study to investigate the role of local

leaders and the rural public in theimplecentation of small-scale develop~ent

1 projects in less developed countries The study will use and extend the

capacity ~hich the University of Iowa developed under a 211(d) grant to

investigate and assess the impact of loeal politics on rural development

~t the co~pletion of the s~ Iowa will be in aposition to advise the

Agency on the design ~nd evaluation of s~ll-scale projects which will be

politically viabe a~d effective in ass~sting the rural poor ~

As students of development w~ approach our task with the assumption

that the proble~ of development and underdevelopment are funda~entally

ones of political econooy and a~ such can only be solved through a

simultaneous considerationof economic and political factors Efforts

which foc~s aloost solely on economic factors like those of ma~y

organizations engzed in dipersing foreign aid or efforts which focus

almost exclasively on political factors fail to take account of the

interdependence between these two dimensions of underdevelopment and

lwe have for~ulated this proposal in a canner consistent witr the cu~rent policies ard interests of the Agency We have been guided in our tsk by four Age~cy doc~e~ts Impleo~~tation of New Directions in Developnent Assista~c~~~ ~eport to the COmlittee on International Relations on Ilupleoenshytatiun of Legislative Refo~ in the Foreign Assistance Act of 1973 (July 1975) rItevis~d Projec Developiel Review and Approval Systeo (A I DL Circular A-21 Aril 23 1975) SH Butterfield Draft SUIilZ3ry StateUlent of a Practical Agelcy Approach c aural Devalopilelt (AATA February 28 1975) Cicci A Coce~ual Oie=viamiddot middot Rural Development No1 (lWorilting GOU O~ tha Rural Poor February 1975)

- l -

can meec with only l~ted success

Our concern with the i=pact of local politics on the process of

rural developcent is a result of our interest in the basic question of

how LDC governm~nts and the donor agencies which assist them can

become core effective in raising the standard of living of the rural

poor We seek answers to the following aspects of that basic question

1) What political conditions must exist both within rural communities

and between theo and central gove~ents to raise agricultural production

w~ere small-scale agriculture is the do~nant pattern 2) Vnat are the

political conditions for a core rapid expansion of the informal manufacturing

and service sector cocprised of labor intensive small-scale industries

located in the rural ar s 3) What political structures and activities

are mase crucial for the provision of welfare and econocic supporc services--

such as agricultural exeension mar~eting and transportation--to the rural

areas1 4) ~~at Folitical conditions oust exist to insure that economic

growth in the rural areas is not accowpanied by excessive and intolerable

inequalities between socio-economic classes andor between regions1

Center-Periphery Linkage in LDCs

To deter~ne the political conditions for rural development we have

in previo~s s~udies exacined the institutions and processes through which

rural populaticns are integrated i1to the national politi-cal systetlS of

middot~he countries in which they live A gap exis~s in most less developed

countries bet~een the peasantry residing on the periphery and the c~~tral

political ~stiutions staffe1 by ~~estern-educated bureaucratic elite

We are aware of the other major ~sti~utional discontinuities which comprise

J

4 middot~~1 the basic cleavage between the developed and underdewmiddoteloped sectors of

these dual societies Bridging these gaps is essential if these so~ieties ~ are to develop into viable nation states For until those Q~ the periphery

of the poli~ical syste~ participate in that system and support and comply

with the authority of central political institutions neither economic

development in ~he rural areas nor a stable polity will emerge

Bridging the discontinuities in these new political systems requires

establishing and institutionalizin3middot1inkages or networks for co~unication

and exchange of resources between decision-makers at the center and the

rural public on the periphery Three types of institutional linkages are

most prominent in less developed countries 1) those conSisting of the

state administration composed of the bureaucratice1ite 2) those consisting

of a revolutioncry political party cocposed of the ideological elite

3) and those conSisting of patron-client hierarchies composed of the political

entrepreneurial elite

Of these three linkages consisting of the state administration are

the cst extensive and pervasive in virtua~ly every LOC Such linkages

however exist primarily a~ instruwents of the center to penetrate the

periphery Central government officials are formally charged with bringing

develo~ent to the people This is a ~issi~n which conceives development

as a process ~hrough which a traditional peasantry is transformed and

assimilated iJro the DOdern center which is steadily expanding to embrace

it Agents of the center invariably have more resources to achieve their

objectives than do local political leaders but because they are frequently

strangers~ the communities in which they function they are often unable

- It -

co implement the policies of the center without working through the

local establis~ent

Though somctices significant linkages consist~g of revolutionary

party organizati~ns such as those found in China and Vietnam do not exist -

in most IDCs beca1Se of the special historical and e~omic conditions

required for their development As wi~h the administrative state however

the linkaampe apparatus of such political patties is prUlarily an instrument

of the center whose mission is to penetrate and mobilize those onthe

periphery

In contrast patron-client hierarchies are linkages which represent

the periphery at the center and mediate betwee~ these two disparate

sectors of the political systec Thcugh norcallymiddotovershadowed in scale

by the state administration patron-client hierarchies are found in almost

~very LDC a~d constitute the ~st significant network through which rural i

populations and their leaders influence the decision-~king process at

the center Patron-client hierarchies exist in a wide variety of org~iza-

tional fores ranging from info~ ~ec~~rks of individual olitical leaders

in uno-partyll systelS in S~b-SaharaI4 Africa to extensive political machines

in both one-p~rty (Africa Mexico) and ~u1ti-party systems (Turkey India)

Despite their importance as the pricary means through which peasants in

LDCs particiate in their political systems patron-client hi~rarchies

have only recently become an object of analysis by students of political

developent and do not appear in even the most sophisticated studies of

2 See Jo~ Dunca owell Peasant Socie~y and Clientelist Politics Aerican Politi~ Scielce Revietol 64 (June 1970) pp 411-25 Rene Lemarchand anc_ Keith Legg olitical ClienteliSJ and Ethnicity in Tropical Africa Aierican Political Sc~ecce ReView 66 (Y~rch 1972) pp 68-90 James C Scott PatronshyClient Politics a~d Political Change II 1tlerican Political Science Revie~ 66 (~arch 1972) p 91-113 and Friends Followers and Factiols bull edited by Steffan Sc~~d and James C Scott (Berkeley UniverSity of California Press 1977) bull

- 5 -

3 economic development Ad~niscrators of developmental assistance progracs

have too often regarded patron-clienc hierarchies as ~ped~ents to

develop~ent instead of recognizing cheir potential utility bull

~ Findings on Patron-Client Hierar~hies --

The importance of pat~on-clienc hierarchies for linking the periphery

to the center is one of the major findings ~erging from a study of the

relationships betueen l~gislators an~ their constituents in Kenya Korea

and Turkey ~hich the Cowparative Legislative Research Centpr is nov

comleting uader its 21l(d) grant from AID This study has av~mined the

creation of linkages between the periphery and the center through ~ore

than lO~OOO interviews with members of parl~ent local leaders and

peasants in t~e three countries The findings are being systewatically

set out in a book-length monograph Nearly a dozen research reports have -

uready appeared (see Appendix C) ipropositions about the nature of

political behavior of rural populations an~ the roles of local political

elites de=ived from the research~ can be s~rized as follows

1 Elected representa~ives play a significant role in the creation and mainte~ance of linkages be~een the center and periphery by developing local political achines in which they function as patrons of their constituents In turn thay s~rve as clients of political leaders of national stature who control central government institutions

2 By atte~pting to establish linkages based on patron-client relatio~shi~s elect~d representatives are responding to public expectations chat their prizary duy is to obtain resources from the center to proffiote local develop~ent ~iany elected repLesentatives spend most of their time on self-help co==unity development projects such 3S the building of schools health clinics irrigation works arid roads because such projects provide

3For exa~le ~ a widely respec~ed a~d useful analysis of rural deve16p~ent in Sub-Sahara~ Africa L~ Lele of the World Bank notes the problems of creating an adoini5~raive infrastructure in the rural areas that is sensitive to local socio-oliical conditions She does not however consider how local leaders operating o~tside of adcinistrative structures ~ night contribute to the developne~t 0 the rural areas See ~~ Lele ~ Design ~ Rural Develop~ent Lessons ~ Africa (Balt~re The Johns HopkiD~ Uciversity Press 1975) r) pp 127-61 i ~

- 6 -

their const~tuents with desired se~ices ~~d a= the sa~e time provide the reresentatives with an orgacization Yhicn can be used as a political base

3 l-tore than 90 perCel1t of the rural population is capable of articulating the p~oblems facing their local co~~ity and two-thirds discuss th~e proble~ w~th their fellow citizens on a regular basis

4 Three-q~rters of the residents of the rural areas can identify the public ofpoundici~s who serve thec--both civil servants and elected represcrtatives--by na~e Most are knowledgeable about the activities of these officials Alcost one-fifth coreover have discussed co~~~ity probl~ ~ith these officials particularly those working at the grassshyroots level Residents of rural villages actually have a higher level of political knowledge than their counterparts in the towns

5 Elections in the rural areas evoke a highly rational attern of voti~g despite the effects of ascriptive or traditional co~siderations Inc~ens are pri~rily evaluated in terms of their record in fulfilling the public r S elpectations of what they should do Elections are essentially referenda on inc~entsr perfo~ce especially their perforwance in the area of constituency servi~es such as bringing development projects to the districts bull

6 Local developcent projects have a relatively high s~olic value generating conscitutency support for local leaders and the central government at low cost

7 These projects help huild a local political infra-structure which can also be utilizec by central govern~nt civil servants to implement other policies designed to achieve rural develop~ent bull

The Icpac~ of Local Politics on Rural Projects

Having explored the developtent of linkages through which the periphery

is represented at che ~enter and through which the periphe~ attemp~s to

share in the ceners resources we now propose to build upon our initial

investigations by e~ing in greater detail the impact of local political

conditions on specific problecs of rural develop~ent We propose to

exacine the develop~ental activities of local leaders ~nd the rural public

by eX2~Ding a saple ot fifteen to twenty smalL~scale developwent projects

in each of ~he three countries which constituted the sites for our initial

8ESI AVAILABLE DOCUMENT 1 ~ - of

- 7 -

study of center-perhiphary relations The appropriateaess of this approach

and the ~ethodology through which it will be ip~emented is discussed in

section II Because the ~ethodology of investigation is in large part

the result of our previous research experience we fizst turn to a revieW

of the existinQ __ ~petence of the Comparative Legislative Research Center

in this area

II GRAXTEES EXISTIXG CmET~CE

In 1971 the University of Iowa received a 211(d) grant to develop

its capacity to do research on the role of elected represent~tives in

the process of modernization On the b~sis of this grant the University

established a research center which planned and carried out a research

project on the role of elected reres~~tatives as links between the central

gove~ent and rural populations in K~ya Korea and Turkey The project -i

served to develop t~e University of Iowas research capability in this

field esa~lished ties between the University and scholars in the bost

countries and generated a large and uniqu~ body of relevant data

In that project we fo~ussed our attention on tbe activities of elected

representatives in their constituencies notably in their contacts with

local political leaders voters and civil servants To determine tbe

nature of the linkage function performed by tbe representatives we

designed our research to explore the subject from three perspectives

1) we eXaojned ~~a ~ubject at tbe grass roots by conducting a series of

sample surveys of 200 to 300 adults in each of 12 to 14 parliamentary

constituencies in each cf th~6three countries 2) we examined the subject

at the center by intervie -ing MIls from the constituencies in which we

had conducted S3mple surveys ~nd higher civil servants with whom they

had contact and 3) ~e ex~~ined the subject from an inter-~diate level

by identifying aud ~terviewing local social and political leaders in

the MPs constituencies We used survey research methods because we

were embarking on the study of an entir~ly new subject for which little

relevant docu=e~tary data existed and on which there were few secondary

sources As a result ~e have unparalleled experience with survey

research in the rural areas of less develo~ed countries

The surveys which constituted the cajor part of our field work were

planned in collaboration ~~th scholars from the host countries They were

carried out in each constituency by student interviewers in the appropriate

language ~re than 10000 respo~dents were inteDViewed for the project

Given the visibility and sensitivity of this undertaking approval for

the research was sought and obtained from the host governments prior to -i

the collec~ion of data ~o objections were raised by these governments

at any stage of the research The data obtained have been made available

to scholars i~ the host co~cries and some of the basic findings have

been published in periodicdis in these countries

The Comarative Legislative Research Center ~hich ad~nistered the

project has aisO developed extensive experience in the study of political

leadership in other countries It h3s obta~ed substantial support from

the Fo~d Foundacion and the Rockeeller Foundation has worked in

collaboration ~~h European as ~ell as Asian and African scholars and

is engaged in a ajor study of the role of elected and non-elected leaders

in the oanag~~t o~~ocial conflict Because it has conGucted research

in a variey of setlngs the Center has an ~ceptional capacity to

- 9 -

determine how the relationships be~een political institutions and

economic p=oble75 differ in develoPed and less developed countries

In the course of the major research projects the Center has administered

it has gained highly specializpd ~p-i ce iI identifying 1Olitical leaders

in a great variety of settings conducting systematic interviews with

them collaborating with scholars in the host countries and in coding

and utilizing large files of data to answer specific research questions

The Center has ~lso undertaken to publish the results of its research

in three fores It issues codebooks to the data enabling scholrrs at

other locations to use the data expeditiously i~ publishes research reports - in the form of Occasional Papers and it publishes a scholarly periodical

devoted to the presentation of research findi~gs to an inteIT~tional

audience

The Center utilizes the data ~ysis facilities of the Laboratory

for Political Research of the University of Iowa and drawS on the unusual

n~er of secialists in comparamptive politics and survey research in

~~e Lniversitys Departmen of Political S~ience The Center itself I

has the services of an administrative secretary and a clerk-typist

~intains its~o~cn extensive archives and its o~~ publications program

It is e~uipped to assist scholars and government officials outside the

t~iversity of Io~a The participants in its p~ojects are full-tioe

faculty ~e=bers ~hose undergraduate and graduate teaching is closely

related to their research As part of the teaching program the Center

has attracted students from the countries in which the research projects

have been conducted these students have participated in the projects

bull J

have obtained training in other fields of political science have received

University of Iowa degrees~ and have ret~rned to teach and to do research

in their own countries

III PURPOSE OBJECTIVES AID METHODS

Purpose of Study

The purpose of the proposed grant is to extend the capacity of the

University of Iowa to determine the political conditions in the rural

areas of less developed countries which favor the establis~ent and growth

of small-scale developoent projects ~e objective is to put the University

of Iowa in a position to assist the Agency in designing small-scale rural

developent projects providing guidelines for carrying out social soundness

analyses of such projects and adviSing in the evaluation of projects

We will discuss the utilization of~t~e Universitys capacity in detail in

section IV below

We propose to concentrate our investigations on the political conditions

surrounding s~l-scale ru~al projects Such projects have distinctive

advantages They waximize the political participation of the rural populations

both in det~~-ining the direction ~d implementation of develop~ent efforts

and in defending the interests of periphery vis-~-vis the urban-based

bureaucratic elite S~ll-scale projects stimulate entrereneurial activity

on the part of the rural citizens and growth of the info~l canufacturing

and service sector Tbey require less lead tice and less administrative

c~erhead to ~eco~e operational than large-scale capital-intensive projects

centrally administered Such projects yield rapid and direct benefits to

1

j

the rural

- 11 b - ~~1

populations and are consistentwith their hUIlaD rights--both

political and economic However~ small-s~le projects pose s~ecial probl~s for administratcrs of developceocll assistance progracs because

they require the donor co assess the local olitics particularl the

rural politics of t~e host country

Develop~c adoinistrators pr~rily conc~rned with assisting rural

populations must therefore recognize the range of political variables

affectL~g these projects Small-scale projects offer great opportuoities

for develop~ental assistance progr~ because they can be easily targeted

to help rural populacions require low capital costs and need no be

concentrated in one or two localities Such projects ho~ever~ ~equire

the a~istrator to have ~re political kno~lecge than large-scale

projects Oil which his priJlary tas~ is guiding the work of other experts

Questions for ~Investigation

To detercine the politi~al cc~diicilS ~st conducive to ~he establ~~ent

and gro~h of scalI-scale rural projects ~e propose to address our inquiry

to the following specific questions

1 To what extent and why co local political leaders seek to establish s~~l-scale develop~ent projects within their co~unities

2 To what extent and ~~y do local leaders other than politicians initiate andor provide leadership for s=all-scale developm~t projects

3 Bot do the relations bet~Jeel different types of local leaders (political and non-political) and bet~eeo these leaders and central gove~ent civil servants posted to the rural areas affect the conduct of develop=ent projects

4 How do existing authority ~eLationships between these different leadership grous and the rural pub~ic affect the organization and operation of s~l-scale develop~ent projects

- 12 -

~

5 lhlt is the nature 0 pclgtlic participation in the establishlent and operatio~ of s~l-sclle projects and ~hat are the outcc=es or this participatioe Gucer w~at conditions is such participation ~ost likely to occur

We seek a~swe=s to t~cse questio s L order to determine the effect of

different co~iigurations of local leadership and public participation on the

outcomes or small-scale rural projects te are particular1y concerned with

the ~pact of these configurations on the rate of econocic growth and the

distribution o~ rIGSlth ithin the loal cOlllUlity ~ on the perce~tions of

s~ll-scale proj~cts by central govern~ent per~oncel and the rural public

anmiddot on the organiation or flture projects

To a~swer these que~tions it is oar intention to study the initia~ioD

izJple=enation ald i1lpact of a salple cpound small-scale rural projects in

Kanya Korea and Turley in the sae cOllities in which we carried OU

our initial icvestigations ~ 1973-75 Tne relationships between the -

various conf~gurations of local leadership and public participation and

the three phases of project develop~ant are sho~ in Figure 1 We will

exa=ine projects to pro~ote the adoption of new agricultural techniques

by s~l and moderate landnolders the building of feeder roads irrigation

ditches and other s~ple infrastructure the organization of fa~ers

cooperatives and other local associations concerned with rural development

the establish=ent of rural health clinicS and schools and the setting up

of craft and service industries

Sites for Study

We plan to return to our original set of localities because we possess

a rich body of relevant data on the extent to which linkages exist between

Figure 1

TYPES OF LFLUEXCE OF C2r~ middotGOVER1iEXT OFFCIALS

LoCu LEADERS 0 THE RURAL PUBLI-C OX THRr~

PHASES OF RURAL igtEVELOPHET PROJECTS

r----------~J C~ltral Gover1~nt Official)-N------- - J

r- Local pOlitical leaders

Local non-political leaders

~l 1---- -

ROJECT nITL~TIOS

Influ~ce on selection of projects

InrI ~elce on location of projects

Influence on policy guidelines for proj eCl

Il

I

a

I I

-I PROJECT I~L~~iATIO~ ~ 1

j Project Organizati I Selection of project

leadership

Hobilization of resources

Mobilizatiol of public compliance with project require=elts

Diffusion of project innovation

Rural Public

I

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1 ROJECT IMPACT

Organization of ongoi=g project operation

Distribution of project benefits

Evaluation of project

Public attitudes toward project

-middot14 -

these areas and t~c central p~litical institutions of the three co~tries

and on the attit~es of the rural populacioc local leaders and elected

legislators regardi~g their problecs of develop~~c Since such data

is unavailable for alternative locales a return to the areas in which

we have previously done much research ~ables us to build on a uniquely

valuable body of icformation

A return to Kenya Korea and Turkey is also highly desirable from

the standpoint of effective research organization The Comparative

Legislative Research ~enter has developed close collaborative relationships

with several highly competent social scientists in these countries and

with the academic institutions with which these scholars are associated

We have also dev~_oped cooperative relatio~ships wi~ gove~ent officials

in these countries which should facilicate obtaining approval for our

further work

In proposing to doc~ent the origin i~pl~entation and impact of

one to three s~ll-scale develop=ent projects in each of 35 localities

we have two considerations in mind Firstmiddot because our pr~ry goal is

to deter~e the political conditions for rural developm~Lt we wish to

examine develQ~=ent in as many different settings as feasible Only in

this way can we control for so=e of the major socio-cultural variations

that erist along rural populations in less developed coultries These

include the overall level of econo~c development in the co~unity the

nature of t~e ~digenous culture an~ relationships of authority and the

pro~ty of the comounity to major urban areas and centers of central

gove~nt ad=inistration ~ce our original study sites were carefully

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- 15 - ~ ~1

selected to represent these variations ye have concluded that these

35 localities woule be ideal sites for the propose~project Second~ in order to dete~~~ the ~pact of local leaders and public

participation o~ ~ural projects we intend to compare projects 1n which

local leaders and ~ecbers of the public have played a major ~ole with

projects in which they have not We also ~l cospare projects initiated

by the central gover~ent with projects Yhich have been locally initiated

These considerations give us a typology for selecting projects as depicted

in Figure 2

Figure 2 ~

FIVE TYPES OF RU~AL PROJCTS ACCORDIXG TO ~FLUEXCE OF CEITiW

GOVE~1E~T LOCAL LEADE~ AD RLRAL POULATIO~

Level of Participation by Rural Population

Locus of Project Initiation ~

Local Co=unity Central Governoent

BIGd

LOt

1 Projects initiated by local leaders and providing for participation of the rural ~opulation

4 Proje~ts Litiated by local leaders bu~ not involving participation of the rural population

2 Projects initiated by the Central Govern~ent and administered i~ cooperation with local leaders a~d the rural population

3 Projects initiated by the Central Govemlent and providing =or the participation of the rural population but by-passing local leaders

5 Projects initiated by the Central Gover~e~t a~d administered in cooeration Yith local leaders but not involvi~g parti~ipation of rural population

- 16 -

We recognize that the socio-cultural setting of rural develoment

projects varies significantly within and across less developed countries bull

By focussing o~ a representative sa=ple of localities ~ Ke~ya~ Korea

and Turkey we can take account of naoy~ though not all of these variations

While some of our substantive findings will not be directly generalizable

beyond the countries in which we propose to conduct our study we expect

that our basic ~ethods and fLdLgs will be applicable to national and

sub-national settings elsewhere in the developing world This is partly

d~e to the fact that the hierarchy of patron-client relations ~hich we

regard as a critical factor in rural develo~~t exists in ~ost Liles

--It is also due to the fact that the methodology for identifying local

bull leadership configurations auG poundor studying local politics which we are

perfe~ting can be used to assess local political co~ditions in a large

variety of countries even when the ~nditions themselves differ significantly

Methods of Investigation

The data needed to assess the iDpact of local leaders and mass

participaticn on rural dev~lop~nt fall into two categories Some a~e

contained among the data gathered for the research project we are currently

completing Others will require additional field research

The following data are already in hand

1 Data on the social landscape of each loc~l co~nity i~cluding aggregate data o~ level of econonic development de~graphic characteristics political pa=ticiation eth~ic loyalities and rates of socio-econocic change dur~g the past decade bull

2 Identity of local leaders including both political and I-on-political leaders and both legislators and other politicians

3 Perceptions of existiag probl~ and their possible solution a~ng

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general public local leaders and civil serv~nts

4 Level of political kno~ledge among local citizens and local political leacers

5 Political and social values a~ong local ci~izecs and local political leaders

6 E~~ectacions of leadership roles among the local public and elected and non-elected leaders

7 Patterns of co~unication ~ong local leaders and between local leaders and the central gove~e~t

These data ~hich ~e already have in hand can be subjected to analyses

which ~~ll provida the foundation for our further work on rural develop~ent

projects A part of our work therefore will consist of fu~ther analyses

of existing data

New data of the following kinds are also required

1 Doc~entary data on the origin and evolution of particular smallshyscale develop~cnt projects in the rural areas

-2 Data on project costs boih ~itial invest=ent and recurring

operating costs and data on project ou~puts ie pupils in schools Ddles of road coopleted nl~ber of hospital a~ssions production of factory agricultural productivity

3 Data on project organizatio~ n~~r of local inha~itants participating in establis~~ent of projectt nuober of local L~habitants subsequently involved in project

4 Data-on the pe-cetion of projects by local leaders emers of the local public a~d by civil servants data on the perception of how each project ~as initiatec organized who benefitted and what its future implicatio~s are

These types of data will requ~re field work involv~~g both docucentary research

at the relevant ~istries of the central government and in local goverr~nt

authoritieS and inforoal open-ended interviews with local political leaders

elected representatives and other local leaders who~ we had previously ~

interviewed in a s=uctured syste=atic =aoner

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- 18 -

Grant Organizatio~ and T~etable

We propose co undertake the research outlLled above beginning in the

fall se=ester 1977 Dur~g that te~ Professors Barkan and Kim as

principal investio~tors for the neo1 proj ect will contact their collaborators

in the host co~~tries They ~~ll also seek the collaboration of an additional

~rican scholar specializing in rural development with the aic of getting

additional advice on sources of data and suitable indicators for the

~easure=~~t of rural develop~ent projects

At the end of the fall seQester Professors Barkan and Kim will make

a trip to their research sites to disc~s details of the research organization

with their collaborators in the host countries and to recruit student

assistants Tney will devote the spring te~ 1978 to further analysis

of a~sting data at the University of Iowa

The gathering of additional dita L~ the field will begin in the s~er

of 1978 Professors Barkan and Kio will direct this work personally We

eAect that its coopletion ~~ll require three to six months This work ~1

involve the evaluation of central and local gove~ent reports on the

projects uncer investigation extensive on-site observations of the projects

and oen-e~ded interviews with the principal participants Our principal

respondents ~i1l be the local leaders and elected representatives we

have previously identified in the localities in which we have worked and

a sacple of active participants in the particular dpvelopment projects

being studied ~~ere necessary and apropriate surveys of the general

public will be uncertaken to assess the inpact of a given project on the

rural por)r We do not however leed 0 conduct systeAlatic sample surveys

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- lY -

of the rur~l population as We did in 1974

In the organization of this research project we intend to reconstruct

the rese~rch tea=s ~e e=ployed during 1973-75 We shall again seek the

co11abo=~tion of P~ofessor Sc~~S-7o~g Pai of Seoul National University ~

Professor IIiCr Turan of the University of Istanbul and Professor John J

Ok~u of the U~iversity of ~arto~ S~ilarly w~ contemplate directing

the field research fro~ he same acade~ic research organizations we previously

used Seoul National U~ive~sity th~ ~~iversity of Istanbul and the

Insti~ute for Develop~eut S~udies University of Nairobi As before we

will tra~ students f~oo these institutions to serve as interviewers

The analysis of the open-ended intervie~s and of docUQentatio~ on

I ~ural develop=e~t projects will be a ~ore t~e-co~s~g process than the

analysis of closed intervie~s It will reqrire a high cotnittl~t of time

fron the principal investigators )e e--pec to hold a conference at the i

U~iversi~y of Iowa 3lO1g all the principal )clticipa~ts in the resea~ch

project d~=~g t~e spr~g 1979 to evalua~~ the newly collected data

le e~ pect to be able to vr-ite reports of t~ results during the Sl1~er 1979

(see Figre 3)

IV LlX-GS ~1) U~ILIZATIO~

At the e~d of the grant period the Uti ersity of Iowa will be able to

1) advise the Agalcy 01 the design of s~l-scale rural projects to assist

the rural poor 2) provide guidelines for social soundness analysiS of

small-scale projects for the rural areas of U)Cs 3) consult w~th the

Ag~tcy 01 the evaluatiol of rural projects ~d 4) provide LDe governments

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)ATES

~lll

1977

~inter 1977

iprilg 1978

il mer 1978

~all

1978

ipr~ng

1979

Imiddoter 1979

University vf Iowa

Plutlning of rural develo~rent project

Barkan Kil

Alalysis of existing data

Barkan Kia

Data processing

3arkan Kin

1

I

- 4 -

Figura 3

GRAT TLfETABLE

SIT E S

Kenya Korea Turkey

Preparation of field research ural developH~lt project cOlisulta~io~ a research sites

BarkanOku=u Ki~Pai Tura~rkanKi~

Preparation of field resea-ch

Tural

Field research on rural cevelop~~t projects Bar~lOk~u Ki=Pai Turan

Co=pletion of Co=pletion of field resear~~I~ fiald researcr

Ok~u i Pai bull

f Coopletion of field research

Turan

Data analysis conference a~ong all princial i~vestigators at Un~versity of Iowa Barkan Kil Oku=u Pai Turan

Co=letiol of r~ral develop~ent

project

3arkan Kiz

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I

- LL -

~ith speciali~cs o~ ru~al developcect ~mong their own citizens ~ho ha_

partcipatcd ~s collaborators in the Iowa projects

In the proposed project we Will test a series of hypotheses cOlcerning

the political cOllditions of rural develo=ent which run counter to CODOn

assuoptions conccrnir3 t~~ influence of rural politics on project effectiveness

As a result ~e ~dll be able to assist the Agency in designing and evaluating

such projects froe the point of V~~W 0 their political viability The

hypotheses We will test sugges~ t~at the patron-clie~t relations existing

in the local politics of zost LDCs are not necessarily i~pedients to rural

develop~ent but are aspects or the political structure which cal be used to

facilitate s~ll-scale ru=~ projects which will raise the standards of

living of _ ~ rral pomlation - As ~ result or our stuey we expect to be

able to P~-O~t the local leadership confi5~rations ~4d the relationships

between local leaders ald rural poclations ~nich are oost conducive to I

successful develcp=en efforts We believe that we will be agtle to perfect

a cat~odology for identifying the political conditions for rural develop~ent

one ~hich is transferable pound~oo the countries we have specialized in to

other LDCs

We proo~ to develop specific guidelines to assist administrators

charged with selecting evaluating and =onito~ing rural develop~ent

projects to ~szess t~esc rojects in tares of their-social and political

viability he outco~e of such projects is dete~ned not only by the

efrectiv~nass ~~=h ~hich they use scarce econo~c resources but by the

~~er L~ w=ich they e~gage the suppprt of local leaders and rural

po~ulatiocs~ by thei= effect ou social a~d econo~c equality ~d by

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- 22 -

their consequences for hwan rights ~Je plan to establish criteria by

middot~hic~ the probable outco~es of projects in these social terms can be

anticipatec

The study ~e propo e will be undertltlken by faculty at the Cniversicy

of lowe in collaboration with faculty a other ~rican institutions and

institutions in the host countries We will build on the extensive contacts

between the Co~perative Legislative Research Center of the ~niversity of

Iowa end other instituions with ~aich ~e have worked One =ajor result

of our collaborative study will be the existence of a net~ork of compe~ent

scholars both in this country and overseas experi~lced in ~orking together~

shar~g a co~on teaching and training experience i~ close contact throu~~ the

effective publications progr~ developed by the Co~parative Legislative Research

Center T~e e~~ertise of this group of individuals will be ava~lable to

oteer scholars to the Agency and ~o L~C governments for specific policy

advice The eXertise developed as a consequence of this project will

extend beyond the ~tionals of the countries ~volved since the univ~sities

engaged in ~e project attrtct stude~ts fro outside heir own countries

For ey~=ple the teaching ~d research progra in the Depar~ent of Political

Science 0 theUniversity of Istanbul heavily affected by the participation

of its facul~y ~e=bers and graduate students in our projects attracts students

throughout the ~middot1iddle East for Whom the University of Istanbul is the iajor

institution ~pound ~igher education in the region rne Institute for Developmen~

Studies is si=ilarly a focal point for students and faculty in East and

Central Africa Seoul ~atiocal Unive=sity attracts students froo other

Asia~ co~tries~ In this way the capability developed among the participant$

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- ) -

in our work is diffused widely To the exte~ that the abili~y to assess

rural develop~ent p~ojects in teres of their social soundness is increased

both in the United States and in ~o~~tries r~ceiving develop=en~ assistance

the cap3~ity of racipien~ countr~es to absorb aid is ~creased

We propose to draw up an inventory of personnel available in ~~e

Cnited States and in other co~~tries who are able to consult with developen~

a~nistrators on the design of rural development projects and on their

evaluation We ~~ll draw first of ai~ on individuals w~o have been

directly associated with our ~ork in the past or on ~he proposed project

and ex~~~d the list to include graduate students and gove~ent officials

with who~ these individuals have wor~d

tole Yill utilize tha existing publication program of the Center

dercribed above to disse~inate our findings The Center has specialized

oailing lists of interested individuals and institutions in all parts of -i

the world and its reports can trerefore reach the ~st relevant audience

jirec~ly ~d re~~arly

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CONTRACfjGRANTCOOPERATIVE AGREEMENT DATA SHEET

INSTRUCTIONS fjDW Complete 4 copies of the form Original SERCMSDSUP Statistical Section Copy Copy 2 SERCMSIiUP dministrative Copy opr 1 Contracting Officers COy COP) 4 SERCMSDSUP IUmin (Suspense) Copy

Missions Complde 2 copies oi the form Origin31 SERCMSDjSUF- Statistic31 Section Copy 3n~ Copy 2 Nill be ret31ned in the Missions

PART fA

ConU3lttorGranrce Name

University p~f~I~o~wa~ __ -r~ ____ ~~~~ __________ -~~ __ ~~~ ______________ ~~~~ Plorr Numt-er ApptopriJtion Number Allotment Number Project Number

930-0090-3Q13411 A5 72-111l0216 146-30-099-00-20-11 930-0090 Project Title

So~ia1 and Potitica1 Aspects of Development - Conference to Report Research Findings Amount of this Plorr I Projecl M3nagers Name and Offire Sytlbol

$10397 (increase) PDPRCP Jonatlan Silverstone Contr3ctors D-U-N-S Number

Ncgwatocs TYJlCd~3meJ j) Signature I l ~ jIf- bull G HtJ--ft u l IVmiddot

D~e

L - f - J ContractGrant Officqs typed Nailllt Signalure LJ d I -r-

plusmn t 3i-alflpta (( BLvle~ 1 I~ PARTm

ContractGranl Number

AID CSD-3294

Effeclive Date of Docum~nl Signalltre D3t~ of Documenl

Lf---C yen-~-gl tIost Courtry Institution (U iwrsity contract ONL Y)

Campus Coordinator (Uniwr ty i contract OiiL YJ

PART UL Descriplion of Cor-tractGrant P1use X ONL Y ONE item under each headiZg IF THEltrease CifYmC~e bolh ges I 30~~ O~ Nol to be completed for Amendmenl or Modlfic3lion AJigtns I III

J 710gt I I V ~ I

MOl - TYPE ACT A~ 0 G unsolicited Propsll (AIDIR 0 C Individual (Non-pe~nal senice)

~ O Cortra lGrantl ooperative Agreemenl 73101-SO(b)(6raquo 0 D Individual (ftrsonal Service)

tJl T3sk Order ( A)middot 0 H Procurement 10 be Perfocm~d by the Conmiddot 0 E UniversilyOther FAuC3lionailnSlitulions

D 2 Work Order (IQC) Ira~lor in Person (AIDPR 0 F Non-Profil Organizationlnslitutions (other

D 3 Delivety Order (Requirements) 73101middotSO(b)( Iraquo than Ed or PVO)

[j 4 Purchase Ordcr [J I Sole Source (AIOPR 7-3101-SO(b)(4)) 0 G Private Volunury Organization (PVO)

If I 2 or 3 1Lle an ~ compllle M 12 ON Y D J Imp3irmenl of Foreign Policy Objectiws 0 H International Agricultural Research Organj-

M04 - CONTRACTGRANT TYPE

o O MOA (BOA BMA etc)

o I Fixed Price (Specify fFP FPRD FPEPA FPI) _____ _

(gtIDPR 7-31 OJ SO(b)(7raquo

OK B(a)5eJection (FPR 1middot1713-1)

o L Grant iH1ndlOok 13)

o M Do Nol Ue

D 2 Cosl Reimburemenl (S~cil) CR CPFF 0 N Cooperative t~reement (Handbook 13)

CS CPAF CPIF) ~ 0 O Small Business SeImiddotAside (FPR 1middot1706-8)

o l Cooperative Agreemenl ~ 0 1 Overseas Procuring AClivilies (AIDPR

04 Grant Gener31 Supportmiddot 0U ~ 7lIOI-SC(b)(2))

o S Granl - Specific Support ~ ~06 E SER VICE

g ~ ~~t ~~(d) ~~ ~~ ~ eci~a~~~~~ogram Projeci

o amp IQCs ~ ~ relampted excepi A amp E Services)

o 9 Host Counlry ContraclGrnnt 5lJ C amp E Services

middotComplele ONLY through ~Sl ~~ 0 D Construction

M05 SELECTION PROCEDURES 0 E- Reseuch

o A Formally 3dverliscd (IFB) (A1DPR 7middot24 amp

FPR 1middot24) ~ o B Negoli3ted Price Compelilicn Gencr31

Procedure (RFP) (-JDPR 7456)

Dc A amp E (AIDPR 7410)

0 D Ed Inst andor Inl1 R~arch (-JDPR

74 5)

o E Collaboratoe Assisunce (IDPR 7458)

C F Predominant Capability (IOPR

73IOI-50(b)(l)

AID 1420-49 (179) - Page I

D F Technical Services to AID (other than trainmiddot

ing usually o~ating expense)

D G jraining SetVice for AID

o H Equipment Materi3J~ Supplies Commodities

D I Translation Service

~07middot TYPE CONTRACTORGRA-nEE

o A Firmmiddot AU profil-rn3king fUms (other than

Aamp E)

J e A amp E 8r~

zalion

o Public Inlmlational Organizations (UN

Agencies ICRC Wocld Bank elc)

(H8 J 3 Chapt~ S)

M08- TYPE AW~RD

o A S8 Sel-Aside - Awarded to Non-Minority

o B S8 Set-Asidemiddot Awarded to MinXity

o C_ S8 NOI Set-Aside - Awarded to Non-Minority

o D S8 NOI SeImiddotAsidemiddot Awarded 10 Minority

o Eo amp(a) S8A Awarded to Non-Minority (Womerl-

Owned Veterans etc)

o F 8(a) S8A Awarded 10 MinorilY

o G Personal Sen-ice ConlrdCt bull Non-Minority

o H IeJSDnal Service Conlract - MinorIty

o I Individual NonmiddotPersonal Service Contraci -

NonmiddotMinority

o J 100Jigtiduai NonmiddotPersonal Service Contracl -

Minorily

o K NOI Small Business (Univ NonmiddotProfit Large

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o M US Govcrnmlnt

(Connnued on Page 2)

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ua ) R I GI NAL 9 bull

MODIFICATION or GRANT PAGE 1 of 2

AH 1 2 Effective Date 3 Grant No 4 Effective Date

Amend_at Ro 5 April 15 1981 AIDCSD- 3294 8-11-71

-s CRANTEE (Name and Addrea) 6 Administered by -Professor Gerhard Loewenberg -Office of Contract Management Cbrnparative Legislative Research Gente Central Operations Division Dept of Political Science am Branch University of Iowa Agency for International Developn~nt Iowa City Iowa 52240 Washington D C 20523

7 PIO No 930-0090- 3013411 A5 8 Previous PlOTa -

Appropriation No 72-11110216 93i-1l-995-l36 930-11-995-136-73-3078103

Allotment Symbol - 146-30-099-00-20-11 wunt Obliga ted by this ~ndrnent - $10397

The above numbered Grant is hereby modified as follows

1 Anotmt obligated prior to this rurendment 2 Amount obligated by this amendment 3 Total obligated anount (1 amp 2)

Delete the amJmt $465000 and substitute in lieu thereof the ammnt I$47S 39-7 ~

FUNDS AVAIrABm

~~ - APR 13 1981

PrO~A~~5iors

$465000 $ 10397 $475397

OffiCE Of fIN~(1 ~~rE~E~T __ _ 10 This amendment 11 entered into puruant to the authority of the Forelgn

Assistance Act of lS~l as amended Except aft hereln provided all terms and ~~ndi~ons nf the grant rcferpnccd in Block 13 remain unchsnged and in full force and ~ffcct

11 original and six Crantee 18 requlred to aign thh document aad return 1- eopics to issuing

ffiee

~~~ or printed) BUSINESS MAHAGR amp bull

Tille TREASURER

UNITpound) STATES OF AHERICA AGENCY FOR INTERNATIONAL DEVELO~NT

BY_-1(1o-_1lt--= 13middot~_1_~ __ K R B1uteau

(Name typed or printed)

Tltle~ ____ G_r_a_n_t __ O_f_f1_c_e_r ____________ __

D3tC APR 2 J 7997 Dolt 9 APq 1981

BEST AVAILABLE DOCUM NT ___ 0 HLGlNAL - I 1 J 1 ~ )

- 2 -

AID ftmds in the am)tmt of $10397 are hereby provided for the activities lmich are described in your proposal (including Budget Stnmnary) entitled CDnference to Report Research Findings on the Study of Political CDnditions for Effective Small-Scale Rural Assistance Projects in Kenya Korea and Turkey dated February 17 1981 and made a part of the Grant b reference

BtTDGET StMMARY

Line Item

Travel

Per Diem

Other Direct Costs

Less existing 211 (d) grant funds

Total Amount Obligated by this Amendment

Estimated Costs

$ 5888

5100

_ 2500 $13488

_ 3091

$lO39

Note Indirect costs or $395086 associated with these activities will be contributed by the University of Iowa

BEST AVAILABLE DOCUMENT

~RIGINAL

- CONTRACT IGRANTCOOPERA rIVE AGRElEMI~ SERC~SDSlP Actio) Monitor

SERCMSDSUP Action Office

I

INSTRUCTIONS AJDW - Complete 4 copit of tlh fonnmiddot Orisina iCMSDfSUP Sutistical Section COP)middot Copy 2 SERCMSDjSVP Administrative CoP Copy 3 Cont-acting Officers COP) Copy 4middot SOSUP Admin (Susptnse) Copy Missionsmiddot Complete 2 copies of the form or~aI SERCtSDSUP Statistical Section Copy and Copy = wiU~ retained in the Missions

0 PART IA

Effective Date of Document tJ

Delivery Order (Requirements)middot

o 4 Purcluse Order

bull If I 2 or 3 have an bull X compl~te M I 2 ON L Y

M04 - CONTRACTGRANT TYPE

o O MOA (BOA BMA etc)

o 1 Fixed Price (Specify FFP FPRD FPEP FPI) ___ _

o 2 COli Reimbursement (S~cifY CR CPFF CS CPAF CPIF) ______ _

o 3 Cooperative Agreement

o 4 Grantmiddot General Support

o S Grantmiddot Specifi Support

o 6 GraDt 21 led)middot

o 7 Do Not Use

o amp IQCs

o 9 Host Country ContractGrant

middotComplete ONLY through M 5 1

MOS SELECTION PROCEDURES

o A Formally advertised (IFB)(AJDPR 7middot24 amp

FPR 124)

o B Negotiated Prire Competition General

Procedure (RFP) (AIDPR 7456)

o Co A amp E (AlDPR 4 I 0)

o D Ed Ins andor Intl ReStalch (UDPR

7457)

o E Collaborative ASSistance (AIDPR 7458)

o F Predominant Capability (AIDPR

7-310l-50o)(3)

AID 142049 (1-79)middot Page J

o H Procurement Co be Performed b~ the Conshy

tra~tor in Person (AlDPR

7middot3t OI-SO(b)(Iraquo

o I Sole 5gturce (AIDPR 7middot3101middotSO(b)(4raquo

o J Impairment of Foreign Policy Objecdv~

(AIDPR 7middot310 ImiddotSO(b)(7raquo

o K 8(a) Selection (FPR 1middot1713-t)

o L Grant (Handbook J 3)

o M Do Not Vse

o N Cooperative Agreement (Handbook 13)

o O Small Business SetmiddotAside (FPR 11706-8)

o P Overseas Procuring Activities (AIDPR

7middot3101middotSO(b)(2raquo

M06middot TYPE SER VICE

o A TtJining of Participants

o B Technical Assistmce (Program Project

related exc~pt A amp E Services)

J C A amp E Services

0 D COltl~ruction

0 E Research

0 F Technical Services to AID (other than trainmiddot

ing usuaU Y operating ex pense)

0 G Training Service few AID

0 H Equipment Mat~rials Supplie~ Commodities

0 I Translation Service

07middot TYPE CONTRACTORGR TEE

Firmmiddot All profitmiddotmaking fu-r1s (other than

AampE)

o 9 amp E Firms

I Prcct NumbcT

I

Contactors D-U-N-S Numbcr

I) -S--f(j

o C Individual 0-lon-~rsora1 service)

o D Individual (Pet-sonal Service)

o E University lOt her EduCltionaJ Institutions

o F Non-Profit Organization Institutions (other

than Ed or PVO)

o G Private Voiuntary Organization (PVO)

o H International AgricultwaJ Research Organmiddot zation

o I Public International Organizadon~ (UN

Agencies ICRC ewld B3J1k etc)

(HB J 3 Chapter 5)

M08middot TYPE AWARD

o A SB SeImiddotAsidemiddot Awarded to Non-Minority

o B SB SetmiddotAside bull Awarded to Minority

o C SB Not SetmiddotAside - Awarded to Non-Minoril)i

o D SB Not SetmiddotAside - Awarded to Minority

o E ~a) SBA Awarded to Non-Minewity (Womeli

Owned Veterans etc)

o F 8(a) SBA w-rded 1o Minority

o G Personal Service Contractmiddot Non-Minority

o ~ Personal Service Contnct - Minority

o I Individual Non-Personal Sence Contractmiddot

NonmiddotMinority

o J Individual Non-Personal Service Contractmiddot

Minority

o K Not Small Business (Univ Non-Profit L1lge

Firms) --vn-Minority

o L Not Small BUSiness (Univ NonmiddotProfit Large

Firms) ~inoriy

o M VS Government

(Continued on Pcge 2i

t bull - t ~ J f q

ORIGINAL bull MODIFICATION OF GRANT

1 2 Effective Date

Araendllent Ro 4 12-2-80

s CRANTEE CHace and Addrels) Professor Ger1ard Lo~middot enbelg Comparative Legislative Research Deartment of Political Science The Lnivp-rsity of Iowa Iowa City Io~a 52240

7 PIO No NI A

Appropriation No 72-11XHl26

Center

Allotment Symbol -426-30-099-00-3~-71 Amount obligated by this urendment-O- I

3 Gnnt No

AIDcsd-3294

PAGE _____ 1 _of-L

AlI 4 Effective Date

8-11-71

~ Admlnlltered by -Office of Contract Management Central Operations Division OTR Branch Agency for International Development Washington DC 20523

8 Previous PIOITs -

931-11-995-136 930-11-995-136-73-3078103

9 The above numbered Grant is hereby modified as follows

Supplement to Grant

Change the duration period sentence to read

The Duration Period for this Grant shall be August 11 1971 through December 31 198]

1 Amount obligated prior to this amendment $465000 2 A~unt obligated by this amendment -0-3 Total obligated amount (1amp2) $465000

----------------_- - ------- ----_- ------ 10 Thh lImcndmcnt is entered inlo punuant to the authority of the Foreign

~ Assistance Act of 1961 86 amended Except a~ h~reln Z II provided all terms and condi tions nf the grant referenced in Block 3 remain ~~aunchlinged and In fu1l force and effNt cnltUI cJ)za 11 o 4 J bull

Et~ ai~a gtUoItshyc Z P=u

original and six Grantee t requi red to sign this document and return 1- eopies to 1Bufng

office

~ 12 GRANTEE TES OF AMERI CA

(Name typed or printed) bull

TJlle Director Comparative Legislative liecearell CeQtoQl

Date 12880

------------------------------------

ONAL DEVELOPMENT

By ----~--~~~~---------------------

prinled)

Grant Officer Title --------------------------------

J)oll( 12-2-80 -----------------------------

BEST AVAILBLE DOCUMENT i je

Page 9: PD-Ar3T Cr(~

- 6 -

The for~Ietic1 0 tneol-y lO this coarative 8seerch of

Tiiill ~erdt equivalent cmiddotoss-sy-ste~ ~easuelents are 8O1g te r6st

irpctant aSgects of tle prcject It r2y be one of the ~c-st valuable

esllts of Io~a I s efforts ad ~dil reCuire close collGbor-tion arong

t~e pa~ticipents bull

p_ Cc=-arative Legislative Research Archive

lltOle a subsb Tltial aolIlt of legislatie data has been collected

in a1j- different cOL1tri8s very little of this iateriul is cOJarativE

1middot-s of it has teen collected by individual reseachers on e single

CQl~ty Cc~adson in legislative research is thus difficult because

=2 01 r3j cClalties are ot available at a sirgle location in s sLgle

is a clear ~eed for the ce~t~alizGd acq~sition ~ or ~ne

available data to per t the forulaticn and compGrative testlg of

~eorics aoc~t le8islativ~ behavior As a major part of this program

te Uive3ity of 1mmiddote 9poundlS to establish a data arch-e to begir to

big te existing legislative sttiies tcgetber at a sirgle location end

to ~-ke ~i~er ~ccessible +0 the grm-ing 1unoer of irterested scbolals in

Once J~1ese data have O~en brOght tcgether tney will contribute to

-~ pogram t IO~middotia in -I~middotiO -poimiddottant ~middoteys First the dats -Till be

utEized in traLig graduate stud2nts T1e rea13lysis of d~ta to test

BEST AVAIL~BLE DOCUMENT ( 1 t

- 7 -

faculty at the University of Imllt1 and from omiddotrerseJs tlitbout slch an

acbival base those dtdies Ylould be ver lil1ited in the hypotheses

ter could test The quali ty of this re search eqerience fill be

(o1siderably enha1ced by the aVJilability or data for co~arison dth

t~e data generated thlcugh the ccllaGorative research sponsored by the

traini~g progca~

Once gathered a~d refo~tted the data ~~ll be ~ade available to

sc~olars students al1d other interested persons outside of tre University

of Io ra P(r exa-nple appropriate data sets would be available to other

llsti utions tat pre ccoperating in t~is program ie Ha-waii Clla De

~ese could tten be used in curriculul developent at tbose schools as

middotell as Ll the pre-grar at the UJiversity of Imre Finally data could be

aie available to i1di-idlal sc~olars and institutions overseas for use

1 teir research a~d trailing progrems The cUIlulatiie effect of this

disse~lilation and staring of data ~i11 be an enrichme~t of research an

Llcreased flO-I of ne data to the Uriversity of Iewa I3Jld a greatly

ena1ced ability at Iowa to aalyze legislative behavior a--d defelopnent

f 1ssociates

The University of Iowa d31 involve as Associates individual US

arc ~ereign Rcolars fro~l other instibticns in some instances fOl

cc-ivities at Iovll in others as recipents of support Oi research and

oter aciivities middothich coqlement cnd emic1 the program at o a These

Associa-es rill be involved in such activities as ser-lfing es University

of IOim g-uest professors 5~St lecturers 1d visiting faculty

lticipel1~s L ccnfiences and s~riosia and as collatJoratiEg 2search

BEST AVAILABLE DOCUMENT

- 8 -

cevelcged c~lt-ies Smiddot~yemiddotl such projects core already uoer ~middotay

and 3y potetial ss~cetes ~ave been identified and thei ilterest~

211 gtarticipeting i1 t~e ~Cglar1 ascertained

He -resc1t ge~sc-~el a1d acilities of the University of Iomiddotro

plcvice a very st-cre basis for the research atJd training programs

~rnich ~middote a~ ~rc9~3L1g -fmever the further development cf legislative

suCie3 ali a pec~ent streugthenLlg of ~he progrun of Iomiddot ~ is a major

a oes3icral Demiddotmiddotelc~ Galt fur~ds will be uSed by the

LT~iersit2 c la= ~ icreasing te nUbe of faculty specialists in

cClJses ir sjcts elated to the subject atter Specificallr grant

fuimiddotis dll ce usee to ac3 one pernanent faculty Uemoer in roliGical

scienc~ ~middotit s~ecia iltcests b legislaive beh3vior ald political

dloYl-nt a-o 81 a29 cmiddot-petence in Ardcan pclitics and to bring

(lculy -emiddote-s fro less ceveloed countries to spend a peri cd of time

at the TJ1 i si ty o~ Io~middot adine sechtl expertise to the ~od~ at Iowa

other middotisosel -~ i_ le irol1ght to IC~ia as needed to support those nO~T

or --18 fc~~ti r~lt 7ds ~rill also be ilsed to finance data collection

exlts-s ~) t~-e res~imiddotch iork of tte acult the Associate scholars

BEST AVAILABLE DOCUMENT

1~ II

- 9 -

cesigned tgt trrtin US and foreign-born st1lcents in le6islati-~e rese=z-cndeg

Sttde1fs ~dll be tdTi tted cr11ally to 9 proeragt iihicn ~iould irclude a

tro~ot~h grounding in the r thods of cczparative aralysis the S1ostance

of conparatie politis g-mel31ly end the corrparative studJP of

legislative behavior in 9articulal The Uni-ersity intends to associate

tnese studelts directlr - rith research in Ttlhich faultr 2Cbers are

engaged to encourage thea to dra- U90n the skills end resources available

in this field il ra1Y departnents of the University to enable them to

spend up to one year in field research and to have thel4 snare their

findings middotrih their stmiddottidei~t and faculty colleagues Tle prograII will also

involve foreign scholars middotno are expert in the legislative process of

t3ir o- n countries in the tcaciing fgtimiddotogren both by holding -fisHing

a=point~elts at t-e University of Ioc1d by sUgervisi~g field research

c R d - t- ~ 1 rec C~ of Esta~lis~ed Scholars Tne University of Io~~

plals to extend a1 in-itaticn to seieal foreign scholars duri1g te

gle1t p2riod to patici~te in a coparative legislative researc~ seirar

duriig their visit Their plrticipat~ion middotrill edd 3 lL1iqte diiensicn to

the seiiral hceuse cf theh ~1o~-rlecge of the legislature in their own

C01-try BCmiddot2~ J1is Gemilr -ill be dealing -lith the nos-G current

reseaCIJ o~ l0~ ~ltmiddotJres as ell as discussine desigs for reseach to

fill in cowleuge of legis1timiddotre 1ehclicr -re believe

tret it ill be a l2~lilg experience for all the pclticira1ts--incltcing

BEST AVAILABLE DOCUMENT 1]7

- 10 -

Ima rill lOrk collcboratively ~ith the fOrsig1 5cbolars to design a1d

carry out P reseach pruject These projects Till cc~tribute to the

retlaininB of foreign scholars and nill also add to cur mmiddotm and8rstanding

d Research The 9rinciplI enphases in cesenrcl rere cutlined in

Section III above ie to focus en con-9arative studies in iihich

legislative cehaviol can be helpful in explaining the scope of politics

the style of governcent a1d the legitinacl of regiles Variables hich

will be studied Iost closel~r ircluue tbe persistence of institutional

norms in the legislature oyer time the relationship o~ the legislatue

to ether institutions in fornirg public CC1Cepticns of politics and

the histOl~ical context detelini1g public expectations of the 12risleture

This resea~ch nag both academic and practical objectives

Academically it promises to tie legislative behavior research to other

major concerns L1 pcliti~al science such as research on systeJ stability

and paricrJance Its general substaltive eojective is to assess the role

wtlichlegislatures Illay L1 determining the capability of political

s~lstems especially their ability to deal ~middotith soCial change

Vractically the stu1y ~y offer guidance to polic~Y-Dakers on

t~1e role ~ hich legislatures rray be ~lI-pected to pIa)- in neimiddotrly established

political systelt ald on ~hc efcrrrs in established legislatur~s -Thicn

rray be required to achieve specific syste~ effe~ts The study ~dll

Nquire the assccioticn of rembers of legislative staffs a1d 2cademic

colleagues in the s~eLal nations lmder nvestigRotiop plovidirg training

fot ~ll r)f them i1 leeis1ntive re3Clrch ~ri facilitating a valuble

BEST AVAI~BLE DOCUMENT

ll-

of Iml3 ~ill LS~ glmiddot~t f~ds t~ estaolish a data archive to begin to

bring tb~ edtirg legi31ati--re studies tog3tller at a single locaticn

end to =afe t~e ac~essible to tie grc~ring m~er of interested

scholars in t~i3 field PerSCIlllel of tbe Data Archive ~rill searcD

broadly fo all a-reilable data on legislatures in the possession of

ildiviiual researc~rs i11ese data sets ~-Till be acquired refo~atted

for ease in alelrsis a1d stored in Archive Tne Archive ~~ll

asserble tie etel~ Gata O legislative organization ald procedure the

socialization ~~ recruite~t of lzgislators legislative decision-

makLg pccesses 2d legislative outputs To facilitate access to

the data a ~middote-riemiddotrlt11 syste middoti111 be cesigned that will 2011001 r-=searchers

to find ~iccJ ata sets that c~mt2in inforration lelefalt to their

researc1 po)2e5 RibEcg-aphic citation3 cnd abstracts of research

reports on le~i51e-imiddote oebio ~~ill be gathered and a biblicgraphic

retrieval sys tC idll a Geielc9d to aid esealcJers

cooioinet-e1 ~~as n -ie are= of c~rarativa legislatile studies is

t~3t because 0 si~~e iJS in~ti tuticn ias tce necessarJ expertise

of ccrparati ve

1-=gislatiY2 tcie3 8forts of the most conrpeteat ace interested

BEST AVAIL~BLE DOCUMENT MCi I I yl

12 -

oz~ the tr)middote grantee institutions and otter associated scholars It

~ill ayise t~e pa1tee i1stituticns on SllC catte-s as roritorirg

activities at the t~re~ unive~sities~ evalu~ting rese~rch frr possible

=middotclication sJ--sidies rld ether ratters related to infor~atioTI

disse~~ation coordinating research efforts to avoid duplication

ecilitating excha1ges d sttde~ts ad faculty members ~-iitb foreign

nsti tutions i~en desirable tryi1g to till lacunae in cLIricu lUn

helJilg to arralge cmferelces and sy-posia and generally trJing to

9cote te ~eielcp~2nt of cOlparatile legislative stucies as a

Gra1t L~HS idll be ~sed to support the Univ2rsity of Io -a IS

nrticipation in tre AdisorJ Co-i ttee t1e developrrErt of conferenc=s

elsEfhere il the US arHl over3eas i1 relat2d facets of leeislaive sttdies

Edstng iersonJ~l al~d fa-ilities at the University o= 1oa previde

iaculty facliiies to aid rC3emc~ trailg aPd skill in 21c~ivaJ middotork

BES~ AVAIL4BLE DOCUMENT I

r ~-)

- 13 -

Six ITe-bers of t1e faculty of the Departent of Political Science

at the Unhe ity of Im-ia are presently engaged in legislative research

To merbers ot the Departllent of History are engaged in research on the

British Parlia~ent L~ the eighteenth ~~d nineteenth centuries Fer the

past six years an adv~~ced se~inar has been offered by ~embers of the

Department of Political Science and the Department of Histo~J on

comparative legislative behavior This exte1sive collaboration iiill

ma~e it possible to develop a fully inter-disciplinary program for the

students ~~d visiting faculty In addition faculty ~emcers in

Scciology interested in organizatien theory and in the College of Law

interested in legislctive processes provide furtber e-pertise ava_ilable

to students interested in tee study of legislative behavior The

presence of these specialists on th~ facult~r is reflected in the

excensive librarJ al1d otler data resources existing at Iowa in this

field

The Uniersity of Ima offers an unusually extensive program of

trainL~g in research methods Four ~e~bers of t~e Department of Politi~al

~cie1ce teach in the field of research nethods Courses jn statistics

ca1 be taken ill the Dep~rtents 01 Sociology e-d Educational Psycholcgy

Llis prcgr6l provides a verJ solid grounding il research training and

data analysis

bEST AVAILABLE DOCUMENT

e ~

- 14 -

Y labCrato~y for olitical Pesearch is the reseacc1 md research

tlairirg facility of the Departe1t of Political Sci-lce Gcadvate

students receivo extensive res~arch experience through 1or~ing in the

La oratory bull The Lacoratoy is also a1 integral part of the trainirg

o~feed in ccurs~ T~middotO~ for graduate students

The full-time sta~f of the laboratory includes a director an

assistant director a t-=cl1ical cirector a supervisor of study

t1hteen graduat~ students - rf1rk in te Laboratoy receivLLg teining i~1

~a~a collecticn ~~i data e~alysis Tbe facili te5 of the La)oratorltJ

icluoe a oard eJcerline printer ccnnected to the U1iversitys

dis~ and tape storF-ze for d~ta

The pogral of trailing ia coparative legislative reseC_cch ~ill

relr heavily en t LaOerltcLJ- for taching graduate stucents Visi tine

fc111tr lYe~bes iill be able to utilize tbe facilities cf the Laboratory

gt IOra ~as sFcial ccrpetence in prOCed~les for

ccq ter ogagtlizetion of d~ta Ja1ks ~d fOi the p~ocGssing of large data

sets as well as iJ the sttdy of naticnsl end st~te legisltllres Tile

BEST AVAILABLE DOCUMENT

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Ile Univelsity of 10Ira will eadnister- the Grant thJotg~ its normal

a)1 iristrative char-l1els ad i1 Eccordance imiddotlith its ncrTal olicies and

operatirg procedures 7he Director of the gr~l1t-s~~ported program

Hill be a senior faculty eriOer of the Gniyecsity of IO~-ia -with extensive

expe~ie~ce in the subject field Associate Directors w~tb similar

qtalifications -aill also be appointed 7he Director- and Associate

Directors ~dll serve as eibers of t~e Inter-University Advisory CC1gtr)ttee

established to cooidinate _u bullbull ID gra1t-stpported programs at IOia Dul(e

lniversity a1d the University of Ha- aii Ll1 this field These relatiol-

ships are i~dicated in tee follc~dng a~inistrative organization chart

IX Ul~vsity Ccntri1uticn

T1~ ~h-ersity of IQ(a aSSures ALD that this Grant middotiill not

replace existing ftnds for STr current activity and imiddotrill be additive

to existing prograrrs of tCe lJniversity In direct sp~ort of this

Grat ttc University ~ill provide a) Acmi1istratile costs including

tie of senior officers of ttlt University b) Office ~ld research space

ald library and cor-puttr facilities c) Provision of a1cillamiddotCjr 1niversity

personnel -or consultation o~ ~middotjQrk nth the progral

X Reports end 5evie~-Ts

There i-ill be sub~itt-=i al arnual t2ctnical report for the purpose

of AID s revie- of activities under te Gant Tnis idLl include

a11 e-llation of prcsr~ss aidnistratve ar_c fiar~cial corsicer~tior~s

p~s cr tr foJlJ-middotire ear ~i disctlssics of the ossible l~lizaticn

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~

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A~~inistrative O~ganization

Ice Board of Regents of tle State of Im-la

-Iesicent of the University I

1 rOfcst Jf t-3 University

Den College of Liberal Arts

r Chailan DcptiEt of olitical ScieJce

Inter-G~iversity

Acisorr Corcittee

PcgrG21 Director Associate Progra~ Directors

Liaison Arcrge~~nts d ~h I I~~erested Plcfessiona1 I Perso~el j

I _

I 5cu1ti (full or PmiddotLG-tire l Asscci~tes a1d otllei non-Io~il

3ecip5ents of Gr3-1t stPPC1t Gr~cue~~e S t1~lcnts St2~retQi~S1 Data Lbed~1 31

Ln 18 r1icia 1

LO1t c~lce Factcj~1 ts

BEST AVAILABLE DOCUMENT ( ( V-t

- 17 -

of te eo17i~g cCpterce br A I D rLld ethers In addi tion there

aS3essr~ents of the gr31t

middot l ~ lI ~ _ _ _ co~~~r~~ing ~~iversiti~s md tne rrctitoring ALD office

7re l~yersity of Ie~middot~ budget of $26500 is to be deveted to the

cemiddotelgt~e~ of lstituticnal cefete1Ce in comparotive legisl~tiye studies

~t Iomiddota c t~ the exalsi0 ot a date b~L-lt ~ hich 1fill be utilized as

a ecle for icrec3ing te scope of tbe sub-specialty

T - 1 f 1 __ middotja r S Ctdget a9roxir~tly 33- has bee allocated to a

cemiddote Lp~l t rirc ipally C actlty re leased tirre for data ccllection

ai 0 3alres f~r i~~er-ieers in field research 3d secretarial

assi5ta1ce nCt2 11- of t~e Icmiddotre oudge~ is iesignated for an

ArCE_1 A~ite s(101a~middot 2d one 0 ore scnolals froQ LDe or

s1lllrt of greluate stucents in the

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- 18 -

Finally approximately 19 of the budget will be devoted to the

proposed data bruL~ that will archive not only data generated from the

research of scholars at Iowa Duke and Hawaii but also at other US

and foreign institutions Primary and 3econdary an~ses of these

data will become an integral part of ~omparative legislative studies

curricula The ability to utilize the data bank for teaching purposes

also should have a significant impact on professional preparation ofmiddot

future legislative specialists In summary the funds will be

allocated to research teaching and training activities tha~ are

entirely conson~~t with the philosophy underlying the utilization of

2ll(d) grants to achieve institutional development

Conclusion

The University of Iowa regards the research and teacbing components

of this program to be closely related an1 zrutually reinforcing The

University of Iowa offers a strong base for the pro~ram because of the

interests of faculty members here now because of their contacts with

scholars in this field in other Americ~~ and foreign universities

because of their experience with the international exchange of faculty

and because of the distinctive data gathering and processing facilities

available in our Laborator~- for Political Research The program which

we have formulated is designed not only to accomplish specific

research and teaching objectives but to contribute to the long-term

development of the University of Iowa in an area in which it has already

exhibited special interest

BEST AVAILABLE DOCUMENT

~ I) - 0

- 19 -

The program on Comparative Legislative Studies with support from

this Grant rill develop the capacity at the University of Iowa to

provide assistance under separate financing arrangements to developing

countries in a number of ways and through a varieiy of channels This

assistance which would be arranged for end negotiated separate~ from

this Grant may be in the form of technical assistance advisory service

training research and information exchange etc It will be available

by mutual agreement to appropriate agencies national and international

public private a~d mixed and directly to the less developed countries

Most especially this added special competence will inevitably become

incorporated through the processes of scholarship and education into

the competence of US and foreign scholars and institutions concerned

with this topic of great significance to the developing and the more

highly developed countries alike

BUDGET SUMMARY

UNIVERSITY OF IOWA

Salaries

Graduate Student Stipends

Fringe Benefits

Travel

Equipment and Services

Other

TOTAL

$173090

32400

19209

13800

6501

20000

$265000

BEST AVAILABLE DOCUMENT

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BEST AVAILABLE DOCUMENT

(C

Dr Willa~d l Boyd Presicient University of Ima iowa City Iowa 52242

Dear Dr Boyd

4 AUG 1977

amp

FIJNDS AVAnASLe CpoundNrftAamp sEIMCEs DMsON

AUG11 ~n te t6417 ~77

Subject bull Supplsectferit-tJF-G~middotNomiddot~middot AIOcsd-3294

t middot-rrPJ1 3

I am pleased to inform you that pursuant to th~ auth~rity contained in

S-cction 211 (d) ooC the Foreign Assistance Act of 1961 as amended a sup

plemental grant in the amount of $200000 is h~reby r~de to University

of rCi1a These supplement]l grant funds areprolided to support the

activities which are described in your Proposal dated May 6 1977 for

the implementation of your program entitled Political Conditions for i

Effective Small-Scale Rural Assistant Projects

---This sup~lemental grant is mace to University of Iowa en condition that

yo~r institution shall administer the funas provided under this Grant fn

accordance lith your r~ay 6 197 proposal (including Budget SUmlilary) and

the Standard Provisions (as incorporated by Amendment No 1) which have

been agreed to by your instit1ltion Ti) the extent of an inconsistency

between the Proposal and the Standard Provisions and any otherprovisfons

which ar~ made a part of thi5 Giant by reference or other~iSe the Sta~d~

ard Provisions shall control

The new Duration Period for this Grant shall beAugust 11 1971 through

August 10 1979

The total amount of funds obligated under the grant is increased to reflect

a new total oblgated amount of $465000

Please sign the Statement of Assurance or Compliance ana the origfnal -

and seven (7) copies of this letter to acknowledge your understanding of

the conditions under which these funds have been granted Please return

the Statement of Assurance of Compliance and the original and six (6)

copies of this supplemental Grant to the Office of Contract Management

Attachment May 6 1977 Proposal and Budget SUfiT1a ry

UNIVERSITY OF IOWA

Roberw bull OBrien fficer

Ce al Operations Division Office of Contract Management

AC~E~E~C--_ 0 BYpoundk~~ cH

D C ~lpoundSTtR5BA T ITL E ( PfeampoidPilt for

tee ment amp Research DATE 9-22 -77 (d~ ~~Bduate Ctl~1e~e

BES i AvAILdLt UOCLJMU~ I

211(d) Grant Program

Proposal of the University of Iowa

POLITICAL CONDITIO~S FOR EFFECTIVE SMALL-SCALE

RURAL ASSISTA~CE PROJECTS

Submitt~Ci to

Civic Participation Division AID

May 6 1977

Amount requeste~ $ 199987

BEST AVAILABLE DOCUMENT

I TdE DEVEIOP~T PROBr~

P~litical Conditions for Rural Development

The Cocparative Legislative R~search Center of the University of

Iowa proposes to ~~dartake a two-year study to investigate the role of local

leaders and the rural public in theimplecentation of small-scale develop~ent

1 projects in less developed countries The study will use and extend the

capacity ~hich the University of Iowa developed under a 211(d) grant to

investigate and assess the impact of loeal politics on rural development

~t the co~pletion of the s~ Iowa will be in aposition to advise the

Agency on the design ~nd evaluation of s~ll-scale projects which will be

politically viabe a~d effective in ass~sting the rural poor ~

As students of development w~ approach our task with the assumption

that the proble~ of development and underdevelopment are funda~entally

ones of political econooy and a~ such can only be solved through a

simultaneous considerationof economic and political factors Efforts

which foc~s aloost solely on economic factors like those of ma~y

organizations engzed in dipersing foreign aid or efforts which focus

almost exclasively on political factors fail to take account of the

interdependence between these two dimensions of underdevelopment and

lwe have for~ulated this proposal in a canner consistent witr the cu~rent policies ard interests of the Agency We have been guided in our tsk by four Age~cy doc~e~ts Impleo~~tation of New Directions in Developnent Assista~c~~~ ~eport to the COmlittee on International Relations on Ilupleoenshytatiun of Legislative Refo~ in the Foreign Assistance Act of 1973 (July 1975) rItevis~d Projec Developiel Review and Approval Systeo (A I DL Circular A-21 Aril 23 1975) SH Butterfield Draft SUIilZ3ry StateUlent of a Practical Agelcy Approach c aural Devalopilelt (AATA February 28 1975) Cicci A Coce~ual Oie=viamiddot middot Rural Development No1 (lWorilting GOU O~ tha Rural Poor February 1975)

- l -

can meec with only l~ted success

Our concern with the i=pact of local politics on the process of

rural developcent is a result of our interest in the basic question of

how LDC governm~nts and the donor agencies which assist them can

become core effective in raising the standard of living of the rural

poor We seek answers to the following aspects of that basic question

1) What political conditions must exist both within rural communities

and between theo and central gove~ents to raise agricultural production

w~ere small-scale agriculture is the do~nant pattern 2) Vnat are the

political conditions for a core rapid expansion of the informal manufacturing

and service sector cocprised of labor intensive small-scale industries

located in the rural ar s 3) What political structures and activities

are mase crucial for the provision of welfare and econocic supporc services--

such as agricultural exeension mar~eting and transportation--to the rural

areas1 4) ~~at Folitical conditions oust exist to insure that economic

growth in the rural areas is not accowpanied by excessive and intolerable

inequalities between socio-economic classes andor between regions1

Center-Periphery Linkage in LDCs

To deter~ne the political conditions for rural development we have

in previo~s s~udies exacined the institutions and processes through which

rural populaticns are integrated i1to the national politi-cal systetlS of

middot~he countries in which they live A gap exis~s in most less developed

countries bet~een the peasantry residing on the periphery and the c~~tral

political ~stiutions staffe1 by ~~estern-educated bureaucratic elite

We are aware of the other major ~sti~utional discontinuities which comprise

J

4 middot~~1 the basic cleavage between the developed and underdewmiddoteloped sectors of

these dual societies Bridging these gaps is essential if these so~ieties ~ are to develop into viable nation states For until those Q~ the periphery

of the poli~ical syste~ participate in that system and support and comply

with the authority of central political institutions neither economic

development in ~he rural areas nor a stable polity will emerge

Bridging the discontinuities in these new political systems requires

establishing and institutionalizin3middot1inkages or networks for co~unication

and exchange of resources between decision-makers at the center and the

rural public on the periphery Three types of institutional linkages are

most prominent in less developed countries 1) those conSisting of the

state administration composed of the bureaucratice1ite 2) those consisting

of a revolutioncry political party cocposed of the ideological elite

3) and those conSisting of patron-client hierarchies composed of the political

entrepreneurial elite

Of these three linkages consisting of the state administration are

the cst extensive and pervasive in virtua~ly every LOC Such linkages

however exist primarily a~ instruwents of the center to penetrate the

periphery Central government officials are formally charged with bringing

develo~ent to the people This is a ~issi~n which conceives development

as a process ~hrough which a traditional peasantry is transformed and

assimilated iJro the DOdern center which is steadily expanding to embrace

it Agents of the center invariably have more resources to achieve their

objectives than do local political leaders but because they are frequently

strangers~ the communities in which they function they are often unable

- It -

co implement the policies of the center without working through the

local establis~ent

Though somctices significant linkages consist~g of revolutionary

party organizati~ns such as those found in China and Vietnam do not exist -

in most IDCs beca1Se of the special historical and e~omic conditions

required for their development As wi~h the administrative state however

the linkaampe apparatus of such political patties is prUlarily an instrument

of the center whose mission is to penetrate and mobilize those onthe

periphery

In contrast patron-client hierarchies are linkages which represent

the periphery at the center and mediate betwee~ these two disparate

sectors of the political systec Thcugh norcallymiddotovershadowed in scale

by the state administration patron-client hierarchies are found in almost

~very LDC a~d constitute the ~st significant network through which rural i

populations and their leaders influence the decision-~king process at

the center Patron-client hierarchies exist in a wide variety of org~iza-

tional fores ranging from info~ ~ec~~rks of individual olitical leaders

in uno-partyll systelS in S~b-SaharaI4 Africa to extensive political machines

in both one-p~rty (Africa Mexico) and ~u1ti-party systems (Turkey India)

Despite their importance as the pricary means through which peasants in

LDCs particiate in their political systems patron-client hi~rarchies

have only recently become an object of analysis by students of political

developent and do not appear in even the most sophisticated studies of

2 See Jo~ Dunca owell Peasant Socie~y and Clientelist Politics Aerican Politi~ Scielce Revietol 64 (June 1970) pp 411-25 Rene Lemarchand anc_ Keith Legg olitical ClienteliSJ and Ethnicity in Tropical Africa Aierican Political Sc~ecce ReView 66 (Y~rch 1972) pp 68-90 James C Scott PatronshyClient Politics a~d Political Change II 1tlerican Political Science Revie~ 66 (~arch 1972) p 91-113 and Friends Followers and Factiols bull edited by Steffan Sc~~d and James C Scott (Berkeley UniverSity of California Press 1977) bull

- 5 -

3 economic development Ad~niscrators of developmental assistance progracs

have too often regarded patron-clienc hierarchies as ~ped~ents to

develop~ent instead of recognizing cheir potential utility bull

~ Findings on Patron-Client Hierar~hies --

The importance of pat~on-clienc hierarchies for linking the periphery

to the center is one of the major findings ~erging from a study of the

relationships betueen l~gislators an~ their constituents in Kenya Korea

and Turkey ~hich the Cowparative Legislative Research Centpr is nov

comleting uader its 21l(d) grant from AID This study has av~mined the

creation of linkages between the periphery and the center through ~ore

than lO~OOO interviews with members of parl~ent local leaders and

peasants in t~e three countries The findings are being systewatically

set out in a book-length monograph Nearly a dozen research reports have -

uready appeared (see Appendix C) ipropositions about the nature of

political behavior of rural populations an~ the roles of local political

elites de=ived from the research~ can be s~rized as follows

1 Elected representa~ives play a significant role in the creation and mainte~ance of linkages be~een the center and periphery by developing local political achines in which they function as patrons of their constituents In turn thay s~rve as clients of political leaders of national stature who control central government institutions

2 By atte~pting to establish linkages based on patron-client relatio~shi~s elect~d representatives are responding to public expectations chat their prizary duy is to obtain resources from the center to proffiote local develop~ent ~iany elected repLesentatives spend most of their time on self-help co==unity development projects such 3S the building of schools health clinics irrigation works arid roads because such projects provide

3For exa~le ~ a widely respec~ed a~d useful analysis of rural deve16p~ent in Sub-Sahara~ Africa L~ Lele of the World Bank notes the problems of creating an adoini5~raive infrastructure in the rural areas that is sensitive to local socio-oliical conditions She does not however consider how local leaders operating o~tside of adcinistrative structures ~ night contribute to the developne~t 0 the rural areas See ~~ Lele ~ Design ~ Rural Develop~ent Lessons ~ Africa (Balt~re The Johns HopkiD~ Uciversity Press 1975) r) pp 127-61 i ~

- 6 -

their const~tuents with desired se~ices ~~d a= the sa~e time provide the reresentatives with an orgacization Yhicn can be used as a political base

3 l-tore than 90 perCel1t of the rural population is capable of articulating the p~oblems facing their local co~~ity and two-thirds discuss th~e proble~ w~th their fellow citizens on a regular basis

4 Three-q~rters of the residents of the rural areas can identify the public ofpoundici~s who serve thec--both civil servants and elected represcrtatives--by na~e Most are knowledgeable about the activities of these officials Alcost one-fifth coreover have discussed co~~~ity probl~ ~ith these officials particularly those working at the grassshyroots level Residents of rural villages actually have a higher level of political knowledge than their counterparts in the towns

5 Elections in the rural areas evoke a highly rational attern of voti~g despite the effects of ascriptive or traditional co~siderations Inc~ens are pri~rily evaluated in terms of their record in fulfilling the public r S elpectations of what they should do Elections are essentially referenda on inc~entsr perfo~ce especially their perforwance in the area of constituency servi~es such as bringing development projects to the districts bull

6 Local developcent projects have a relatively high s~olic value generating conscitutency support for local leaders and the central government at low cost

7 These projects help huild a local political infra-structure which can also be utilizec by central govern~nt civil servants to implement other policies designed to achieve rural develop~ent bull

The Icpac~ of Local Politics on Rural Projects

Having explored the developtent of linkages through which the periphery

is represented at che ~enter and through which the periphe~ attemp~s to

share in the ceners resources we now propose to build upon our initial

investigations by e~ing in greater detail the impact of local political

conditions on specific problecs of rural develop~ent We propose to

exacine the develop~ental activities of local leaders ~nd the rural public

by eX2~Ding a saple ot fifteen to twenty smalL~scale developwent projects

in each of ~he three countries which constituted the sites for our initial

8ESI AVAILABLE DOCUMENT 1 ~ - of

- 7 -

study of center-perhiphary relations The appropriateaess of this approach

and the ~ethodology through which it will be ip~emented is discussed in

section II Because the ~ethodology of investigation is in large part

the result of our previous research experience we fizst turn to a revieW

of the existinQ __ ~petence of the Comparative Legislative Research Center

in this area

II GRAXTEES EXISTIXG CmET~CE

In 1971 the University of Iowa received a 211(d) grant to develop

its capacity to do research on the role of elected represent~tives in

the process of modernization On the b~sis of this grant the University

established a research center which planned and carried out a research

project on the role of elected reres~~tatives as links between the central

gove~ent and rural populations in K~ya Korea and Turkey The project -i

served to develop t~e University of Iowas research capability in this

field esa~lished ties between the University and scholars in the bost

countries and generated a large and uniqu~ body of relevant data

In that project we fo~ussed our attention on tbe activities of elected

representatives in their constituencies notably in their contacts with

local political leaders voters and civil servants To determine tbe

nature of the linkage function performed by tbe representatives we

designed our research to explore the subject from three perspectives

1) we eXaojned ~~a ~ubject at tbe grass roots by conducting a series of

sample surveys of 200 to 300 adults in each of 12 to 14 parliamentary

constituencies in each cf th~6three countries 2) we examined the subject

at the center by intervie -ing MIls from the constituencies in which we

had conducted S3mple surveys ~nd higher civil servants with whom they

had contact and 3) ~e ex~~ined the subject from an inter-~diate level

by identifying aud ~terviewing local social and political leaders in

the MPs constituencies We used survey research methods because we

were embarking on the study of an entir~ly new subject for which little

relevant docu=e~tary data existed and on which there were few secondary

sources As a result ~e have unparalleled experience with survey

research in the rural areas of less develo~ed countries

The surveys which constituted the cajor part of our field work were

planned in collaboration ~~th scholars from the host countries They were

carried out in each constituency by student interviewers in the appropriate

language ~re than 10000 respo~dents were inteDViewed for the project

Given the visibility and sensitivity of this undertaking approval for

the research was sought and obtained from the host governments prior to -i

the collec~ion of data ~o objections were raised by these governments

at any stage of the research The data obtained have been made available

to scholars i~ the host co~cries and some of the basic findings have

been published in periodicdis in these countries

The Comarative Legislative Research Center ~hich ad~nistered the

project has aisO developed extensive experience in the study of political

leadership in other countries It h3s obta~ed substantial support from

the Fo~d Foundacion and the Rockeeller Foundation has worked in

collaboration ~~h European as ~ell as Asian and African scholars and

is engaged in a ajor study of the role of elected and non-elected leaders

in the oanag~~t o~~ocial conflict Because it has conGucted research

in a variey of setlngs the Center has an ~ceptional capacity to

- 9 -

determine how the relationships be~een political institutions and

economic p=oble75 differ in develoPed and less developed countries

In the course of the major research projects the Center has administered

it has gained highly specializpd ~p-i ce iI identifying 1Olitical leaders

in a great variety of settings conducting systematic interviews with

them collaborating with scholars in the host countries and in coding

and utilizing large files of data to answer specific research questions

The Center has ~lso undertaken to publish the results of its research

in three fores It issues codebooks to the data enabling scholrrs at

other locations to use the data expeditiously i~ publishes research reports - in the form of Occasional Papers and it publishes a scholarly periodical

devoted to the presentation of research findi~gs to an inteIT~tional

audience

The Center utilizes the data ~ysis facilities of the Laboratory

for Political Research of the University of Iowa and drawS on the unusual

n~er of secialists in comparamptive politics and survey research in

~~e Lniversitys Departmen of Political S~ience The Center itself I

has the services of an administrative secretary and a clerk-typist

~intains its~o~cn extensive archives and its o~~ publications program

It is e~uipped to assist scholars and government officials outside the

t~iversity of Io~a The participants in its p~ojects are full-tioe

faculty ~e=bers ~hose undergraduate and graduate teaching is closely

related to their research As part of the teaching program the Center

has attracted students from the countries in which the research projects

have been conducted these students have participated in the projects

bull J

have obtained training in other fields of political science have received

University of Iowa degrees~ and have ret~rned to teach and to do research

in their own countries

III PURPOSE OBJECTIVES AID METHODS

Purpose of Study

The purpose of the proposed grant is to extend the capacity of the

University of Iowa to determine the political conditions in the rural

areas of less developed countries which favor the establis~ent and growth

of small-scale developoent projects ~e objective is to put the University

of Iowa in a position to assist the Agency in designing small-scale rural

developent projects providing guidelines for carrying out social soundness

analyses of such projects and adviSing in the evaluation of projects

We will discuss the utilization of~t~e Universitys capacity in detail in

section IV below

We propose to concentrate our investigations on the political conditions

surrounding s~l-scale ru~al projects Such projects have distinctive

advantages They waximize the political participation of the rural populations

both in det~~-ining the direction ~d implementation of develop~ent efforts

and in defending the interests of periphery vis-~-vis the urban-based

bureaucratic elite S~ll-scale projects stimulate entrereneurial activity

on the part of the rural citizens and growth of the info~l canufacturing

and service sector Tbey require less lead tice and less administrative

c~erhead to ~eco~e operational than large-scale capital-intensive projects

centrally administered Such projects yield rapid and direct benefits to

1

j

the rural

- 11 b - ~~1

populations and are consistentwith their hUIlaD rights--both

political and economic However~ small-s~le projects pose s~ecial probl~s for administratcrs of developceocll assistance progracs because

they require the donor co assess the local olitics particularl the

rural politics of t~e host country

Develop~c adoinistrators pr~rily conc~rned with assisting rural

populations must therefore recognize the range of political variables

affectL~g these projects Small-scale projects offer great opportuoities

for develop~ental assistance progr~ because they can be easily targeted

to help rural populacions require low capital costs and need no be

concentrated in one or two localities Such projects ho~ever~ ~equire

the a~istrator to have ~re political kno~lecge than large-scale

projects Oil which his priJlary tas~ is guiding the work of other experts

Questions for ~Investigation

To detercine the politi~al cc~diicilS ~st conducive to ~he establ~~ent

and gro~h of scalI-scale rural projects ~e propose to address our inquiry

to the following specific questions

1 To what extent and why co local political leaders seek to establish s~~l-scale develop~ent projects within their co~unities

2 To what extent and ~~y do local leaders other than politicians initiate andor provide leadership for s=all-scale developm~t projects

3 Bot do the relations bet~Jeel different types of local leaders (political and non-political) and bet~eeo these leaders and central gove~ent civil servants posted to the rural areas affect the conduct of develop=ent projects

4 How do existing authority ~eLationships between these different leadership grous and the rural pub~ic affect the organization and operation of s~l-scale develop~ent projects

- 12 -

~

5 lhlt is the nature 0 pclgtlic participation in the establishlent and operatio~ of s~l-sclle projects and ~hat are the outcc=es or this participatioe Gucer w~at conditions is such participation ~ost likely to occur

We seek a~swe=s to t~cse questio s L order to determine the effect of

different co~iigurations of local leadership and public participation on the

outcomes or small-scale rural projects te are particular1y concerned with

the ~pact of these configurations on the rate of econocic growth and the

distribution o~ rIGSlth ithin the loal cOlllUlity ~ on the perce~tions of

s~ll-scale proj~cts by central govern~ent per~oncel and the rural public

anmiddot on the organiation or flture projects

To a~swer these que~tions it is oar intention to study the initia~ioD

izJple=enation ald i1lpact of a salple cpound small-scale rural projects in

Kanya Korea and Turley in the sae cOllities in which we carried OU

our initial icvestigations ~ 1973-75 Tne relationships between the -

various conf~gurations of local leadership and public participation and

the three phases of project develop~ant are sho~ in Figure 1 We will

exa=ine projects to pro~ote the adoption of new agricultural techniques

by s~l and moderate landnolders the building of feeder roads irrigation

ditches and other s~ple infrastructure the organization of fa~ers

cooperatives and other local associations concerned with rural development

the establish=ent of rural health clinicS and schools and the setting up

of craft and service industries

Sites for Study

We plan to return to our original set of localities because we possess

a rich body of relevant data on the extent to which linkages exist between

Figure 1

TYPES OF LFLUEXCE OF C2r~ middotGOVER1iEXT OFFCIALS

LoCu LEADERS 0 THE RURAL PUBLI-C OX THRr~

PHASES OF RURAL igtEVELOPHET PROJECTS

r----------~J C~ltral Gover1~nt Official)-N------- - J

r- Local pOlitical leaders

Local non-political leaders

~l 1---- -

ROJECT nITL~TIOS

Influ~ce on selection of projects

InrI ~elce on location of projects

Influence on policy guidelines for proj eCl

Il

I

a

I I

-I PROJECT I~L~~iATIO~ ~ 1

j Project Organizati I Selection of project

leadership

Hobilization of resources

Mobilizatiol of public compliance with project require=elts

Diffusion of project innovation

Rural Public

I

BEST AVAILABLE nOCUMENT

1 ROJECT IMPACT

Organization of ongoi=g project operation

Distribution of project benefits

Evaluation of project

Public attitudes toward project

-middot14 -

these areas and t~c central p~litical institutions of the three co~tries

and on the attit~es of the rural populacioc local leaders and elected

legislators regardi~g their problecs of develop~~c Since such data

is unavailable for alternative locales a return to the areas in which

we have previously done much research ~ables us to build on a uniquely

valuable body of icformation

A return to Kenya Korea and Turkey is also highly desirable from

the standpoint of effective research organization The Comparative

Legislative Research ~enter has developed close collaborative relationships

with several highly competent social scientists in these countries and

with the academic institutions with which these scholars are associated

We have also dev~_oped cooperative relatio~ships wi~ gove~ent officials

in these countries which should facilicate obtaining approval for our

further work

In proposing to doc~ent the origin i~pl~entation and impact of

one to three s~ll-scale develop=ent projects in each of 35 localities

we have two considerations in mind Firstmiddot because our pr~ry goal is

to deter~e the political conditions for rural developm~Lt we wish to

examine develQ~=ent in as many different settings as feasible Only in

this way can we control for so=e of the major socio-cultural variations

that erist along rural populations in less developed coultries These

include the overall level of econo~c development in the co~unity the

nature of t~e ~digenous culture an~ relationships of authority and the

pro~ty of the comounity to major urban areas and centers of central

gove~nt ad=inistration ~ce our original study sites were carefully

BEST AVAILABLE DOCUMENf

- 15 - ~ ~1

selected to represent these variations ye have concluded that these

35 localities woule be ideal sites for the propose~project Second~ in order to dete~~~ the ~pact of local leaders and public

participation o~ ~ural projects we intend to compare projects 1n which

local leaders and ~ecbers of the public have played a major ~ole with

projects in which they have not We also ~l cospare projects initiated

by the central gover~ent with projects Yhich have been locally initiated

These considerations give us a typology for selecting projects as depicted

in Figure 2

Figure 2 ~

FIVE TYPES OF RU~AL PROJCTS ACCORDIXG TO ~FLUEXCE OF CEITiW

GOVE~1E~T LOCAL LEADE~ AD RLRAL POULATIO~

Level of Participation by Rural Population

Locus of Project Initiation ~

Local Co=unity Central Governoent

BIGd

LOt

1 Projects initiated by local leaders and providing for participation of the rural ~opulation

4 Proje~ts Litiated by local leaders bu~ not involving participation of the rural population

2 Projects initiated by the Central Govern~ent and administered i~ cooperation with local leaders a~d the rural population

3 Projects initiated by the Central Govemlent and providing =or the participation of the rural population but by-passing local leaders

5 Projects initiated by the Central Gover~e~t a~d administered in cooeration Yith local leaders but not involvi~g parti~ipation of rural population

- 16 -

We recognize that the socio-cultural setting of rural develoment

projects varies significantly within and across less developed countries bull

By focussing o~ a representative sa=ple of localities ~ Ke~ya~ Korea

and Turkey we can take account of naoy~ though not all of these variations

While some of our substantive findings will not be directly generalizable

beyond the countries in which we propose to conduct our study we expect

that our basic ~ethods and fLdLgs will be applicable to national and

sub-national settings elsewhere in the developing world This is partly

d~e to the fact that the hierarchy of patron-client relations ~hich we

regard as a critical factor in rural develo~~t exists in ~ost Liles

--It is also due to the fact that the methodology for identifying local

bull leadership configurations auG poundor studying local politics which we are

perfe~ting can be used to assess local political co~ditions in a large

variety of countries even when the ~nditions themselves differ significantly

Methods of Investigation

The data needed to assess the iDpact of local leaders and mass

participaticn on rural dev~lop~nt fall into two categories Some a~e

contained among the data gathered for the research project we are currently

completing Others will require additional field research

The following data are already in hand

1 Data on the social landscape of each loc~l co~nity i~cluding aggregate data o~ level of econonic development de~graphic characteristics political pa=ticiation eth~ic loyalities and rates of socio-econocic change dur~g the past decade bull

2 Identity of local leaders including both political and I-on-political leaders and both legislators and other politicians

3 Perceptions of existiag probl~ and their possible solution a~ng

l)tS r AVAilABLE DOCUMENT

- 17 -

general public local leaders and civil serv~nts

4 Level of political kno~ledge among local citizens and local political leacers

5 Political and social values a~ong local ci~izecs and local political leaders

6 E~~ectacions of leadership roles among the local public and elected and non-elected leaders

7 Patterns of co~unication ~ong local leaders and between local leaders and the central gove~e~t

These data ~hich ~e already have in hand can be subjected to analyses

which ~~ll provida the foundation for our further work on rural develop~ent

projects A part of our work therefore will consist of fu~ther analyses

of existing data

New data of the following kinds are also required

1 Doc~entary data on the origin and evolution of particular smallshyscale develop~cnt projects in the rural areas

-2 Data on project costs boih ~itial invest=ent and recurring

operating costs and data on project ou~puts ie pupils in schools Ddles of road coopleted nl~ber of hospital a~ssions production of factory agricultural productivity

3 Data on project organizatio~ n~~r of local inha~itants participating in establis~~ent of projectt nuober of local L~habitants subsequently involved in project

4 Data-on the pe-cetion of projects by local leaders emers of the local public a~d by civil servants data on the perception of how each project ~as initiatec organized who benefitted and what its future implicatio~s are

These types of data will requ~re field work involv~~g both docucentary research

at the relevant ~istries of the central government and in local goverr~nt

authoritieS and inforoal open-ended interviews with local political leaders

elected representatives and other local leaders who~ we had previously ~

interviewed in a s=uctured syste=atic =aoner

BEST AVAILABLE DOCUMENT

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Grant Organizatio~ and T~etable

We propose co undertake the research outlLled above beginning in the

fall se=ester 1977 Dur~g that te~ Professors Barkan and Kim as

principal investio~tors for the neo1 proj ect will contact their collaborators

in the host co~~tries They ~~ll also seek the collaboration of an additional

~rican scholar specializing in rural development with the aic of getting

additional advice on sources of data and suitable indicators for the

~easure=~~t of rural develop~ent projects

At the end of the fall seQester Professors Barkan and Kim will make

a trip to their research sites to disc~s details of the research organization

with their collaborators in the host countries and to recruit student

assistants Tney will devote the spring te~ 1978 to further analysis

of a~sting data at the University of Iowa

The gathering of additional dita L~ the field will begin in the s~er

of 1978 Professors Barkan and Kio will direct this work personally We

eAect that its coopletion ~~ll require three to six months This work ~1

involve the evaluation of central and local gove~ent reports on the

projects uncer investigation extensive on-site observations of the projects

and oen-e~ded interviews with the principal participants Our principal

respondents ~i1l be the local leaders and elected representatives we

have previously identified in the localities in which we have worked and

a sacple of active participants in the particular dpvelopment projects

being studied ~~ere necessary and apropriate surveys of the general

public will be uncertaken to assess the inpact of a given project on the

rural por)r We do not however leed 0 conduct systeAlatic sample surveys

BEST AVAILABLE DOCUMENT

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of the rur~l population as We did in 1974

In the organization of this research project we intend to reconstruct

the rese~rch tea=s ~e e=ployed during 1973-75 We shall again seek the

co11abo=~tion of P~ofessor Sc~~S-7o~g Pai of Seoul National University ~

Professor IIiCr Turan of the University of Istanbul and Professor John J

Ok~u of the U~iversity of ~arto~ S~ilarly w~ contemplate directing

the field research fro~ he same acade~ic research organizations we previously

used Seoul National U~ive~sity th~ ~~iversity of Istanbul and the

Insti~ute for Develop~eut S~udies University of Nairobi As before we

will tra~ students f~oo these institutions to serve as interviewers

The analysis of the open-ended intervie~s and of docUQentatio~ on

I ~ural develop=e~t projects will be a ~ore t~e-co~s~g process than the

analysis of closed intervie~s It will reqrire a high cotnittl~t of time

fron the principal investigators )e e--pec to hold a conference at the i

U~iversi~y of Iowa 3lO1g all the principal )clticipa~ts in the resea~ch

project d~=~g t~e spr~g 1979 to evalua~~ the newly collected data

le e~ pect to be able to vr-ite reports of t~ results during the Sl1~er 1979

(see Figre 3)

IV LlX-GS ~1) U~ILIZATIO~

At the e~d of the grant period the Uti ersity of Iowa will be able to

1) advise the Agalcy 01 the design of s~l-scale rural projects to assist

the rural poor 2) provide guidelines for social soundness analysiS of

small-scale projects for the rural areas of U)Cs 3) consult w~th the

Ag~tcy 01 the evaluatiol of rural projects ~d 4) provide LDe governments

BEST AVAILABLE DOCUMENT

)ATES

~lll

1977

~inter 1977

iprilg 1978

il mer 1978

~all

1978

ipr~ng

1979

Imiddoter 1979

University vf Iowa

Plutlning of rural develo~rent project

Barkan Kil

Alalysis of existing data

Barkan Kia

Data processing

3arkan Kin

1

I

- 4 -

Figura 3

GRAT TLfETABLE

SIT E S

Kenya Korea Turkey

Preparation of field research ural developH~lt project cOlisulta~io~ a research sites

BarkanOku=u Ki~Pai Tura~rkanKi~

Preparation of field resea-ch

Tural

Field research on rural cevelop~~t projects Bar~lOk~u Ki=Pai Turan

Co=pletion of Co=pletion of field resear~~I~ fiald researcr

Ok~u i Pai bull

f Coopletion of field research

Turan

Data analysis conference a~ong all princial i~vestigators at Un~versity of Iowa Barkan Kil Oku=u Pai Turan

Co=letiol of r~ral develop~ent

project

3arkan Kiz

BEST AVAILABLE DOCUMENT

I

- LL -

~ith speciali~cs o~ ru~al developcect ~mong their own citizens ~ho ha_

partcipatcd ~s collaborators in the Iowa projects

In the proposed project we Will test a series of hypotheses cOlcerning

the political cOllditions of rural develo=ent which run counter to CODOn

assuoptions conccrnir3 t~~ influence of rural politics on project effectiveness

As a result ~e ~dll be able to assist the Agency in designing and evaluating

such projects froe the point of V~~W 0 their political viability The

hypotheses We will test sugges~ t~at the patron-clie~t relations existing

in the local politics of zost LDCs are not necessarily i~pedients to rural

develop~ent but are aspects or the political structure which cal be used to

facilitate s~ll-scale ru=~ projects which will raise the standards of

living of _ ~ rral pomlation - As ~ result or our stuey we expect to be

able to P~-O~t the local leadership confi5~rations ~4d the relationships

between local leaders ald rural poclations ~nich are oost conducive to I

successful develcp=en efforts We believe that we will be agtle to perfect

a cat~odology for identifying the political conditions for rural develop~ent

one ~hich is transferable pound~oo the countries we have specialized in to

other LDCs

We proo~ to develop specific guidelines to assist administrators

charged with selecting evaluating and =onito~ing rural develop~ent

projects to ~szess t~esc rojects in tares of their-social and political

viability he outco~e of such projects is dete~ned not only by the

efrectiv~nass ~~=h ~hich they use scarce econo~c resources but by the

~~er L~ w=ich they e~gage the suppprt of local leaders and rural

po~ulatiocs~ by thei= effect ou social a~d econo~c equality ~d by

D[~T AvAlLA8LE DOCUMENT

- 22 -

their consequences for hwan rights ~Je plan to establish criteria by

middot~hic~ the probable outco~es of projects in these social terms can be

anticipatec

The study ~e propo e will be undertltlken by faculty at the Cniversicy

of lowe in collaboration with faculty a other ~rican institutions and

institutions in the host countries We will build on the extensive contacts

between the Co~perative Legislative Research Center of the ~niversity of

Iowa end other instituions with ~aich ~e have worked One =ajor result

of our collaborative study will be the existence of a net~ork of compe~ent

scholars both in this country and overseas experi~lced in ~orking together~

shar~g a co~on teaching and training experience i~ close contact throu~~ the

effective publications progr~ developed by the Co~parative Legislative Research

Center T~e e~~ertise of this group of individuals will be ava~lable to

oteer scholars to the Agency and ~o L~C governments for specific policy

advice The eXertise developed as a consequence of this project will

extend beyond the ~tionals of the countries ~volved since the univ~sities

engaged in ~e project attrtct stude~ts fro outside heir own countries

For ey~=ple the teaching ~d research progra in the Depar~ent of Political

Science 0 theUniversity of Istanbul heavily affected by the participation

of its facul~y ~e=bers and graduate students in our projects attracts students

throughout the ~middot1iddle East for Whom the University of Istanbul is the iajor

institution ~pound ~igher education in the region rne Institute for Developmen~

Studies is si=ilarly a focal point for students and faculty in East and

Central Africa Seoul ~atiocal Unive=sity attracts students froo other

Asia~ co~tries~ In this way the capability developed among the participant$

BEST AVAIL~BLE DOrUMENT

- ) -

in our work is diffused widely To the exte~ that the abili~y to assess

rural develop~ent p~ojects in teres of their social soundness is increased

both in the United States and in ~o~~tries r~ceiving develop=en~ assistance

the cap3~ity of racipien~ countr~es to absorb aid is ~creased

We propose to draw up an inventory of personnel available in ~~e

Cnited States and in other co~~tries who are able to consult with developen~

a~nistrators on the design of rural development projects and on their

evaluation We ~~ll draw first of ai~ on individuals w~o have been

directly associated with our ~ork in the past or on ~he proposed project

and ex~~~d the list to include graduate students and gove~ent officials

with who~ these individuals have wor~d

tole Yill utilize tha existing publication program of the Center

dercribed above to disse~inate our findings The Center has specialized

oailing lists of interested individuals and institutions in all parts of -i

the world and its reports can trerefore reach the ~st relevant audience

jirec~ly ~d re~~arly

BESl AVAIL~BLE OOCUMENT

CONTRACfjGRANTCOOPERATIVE AGREEMENT DATA SHEET

INSTRUCTIONS fjDW Complete 4 copies of the form Original SERCMSDSUP Statistical Section Copy Copy 2 SERCMSIiUP dministrative Copy opr 1 Contracting Officers COy COP) 4 SERCMSDSUP IUmin (Suspense) Copy

Missions Complde 2 copies oi the form Origin31 SERCMSDjSUF- Statistic31 Section Copy 3n~ Copy 2 Nill be ret31ned in the Missions

PART fA

ConU3lttorGranrce Name

University p~f~I~o~wa~ __ -r~ ____ ~~~~ __________ -~~ __ ~~~ ______________ ~~~~ Plorr Numt-er ApptopriJtion Number Allotment Number Project Number

930-0090-3Q13411 A5 72-111l0216 146-30-099-00-20-11 930-0090 Project Title

So~ia1 and Potitica1 Aspects of Development - Conference to Report Research Findings Amount of this Plorr I Projecl M3nagers Name and Offire Sytlbol

$10397 (increase) PDPRCP Jonatlan Silverstone Contr3ctors D-U-N-S Number

Ncgwatocs TYJlCd~3meJ j) Signature I l ~ jIf- bull G HtJ--ft u l IVmiddot

D~e

L - f - J ContractGrant Officqs typed Nailllt Signalure LJ d I -r-

plusmn t 3i-alflpta (( BLvle~ 1 I~ PARTm

ContractGranl Number

AID CSD-3294

Effeclive Date of Docum~nl Signalltre D3t~ of Documenl

Lf---C yen-~-gl tIost Courtry Institution (U iwrsity contract ONL Y)

Campus Coordinator (Uniwr ty i contract OiiL YJ

PART UL Descriplion of Cor-tractGrant P1use X ONL Y ONE item under each headiZg IF THEltrease CifYmC~e bolh ges I 30~~ O~ Nol to be completed for Amendmenl or Modlfic3lion AJigtns I III

J 710gt I I V ~ I

MOl - TYPE ACT A~ 0 G unsolicited Propsll (AIDIR 0 C Individual (Non-pe~nal senice)

~ O Cortra lGrantl ooperative Agreemenl 73101-SO(b)(6raquo 0 D Individual (ftrsonal Service)

tJl T3sk Order ( A)middot 0 H Procurement 10 be Perfocm~d by the Conmiddot 0 E UniversilyOther FAuC3lionailnSlitulions

D 2 Work Order (IQC) Ira~lor in Person (AIDPR 0 F Non-Profil Organizationlnslitutions (other

D 3 Delivety Order (Requirements) 73101middotSO(b)( Iraquo than Ed or PVO)

[j 4 Purchase Ordcr [J I Sole Source (AIOPR 7-3101-SO(b)(4)) 0 G Private Volunury Organization (PVO)

If I 2 or 3 1Lle an ~ compllle M 12 ON Y D J Imp3irmenl of Foreign Policy Objectiws 0 H International Agricultural Research Organj-

M04 - CONTRACTGRANT TYPE

o O MOA (BOA BMA etc)

o I Fixed Price (Specify fFP FPRD FPEPA FPI) _____ _

(gtIDPR 7-31 OJ SO(b)(7raquo

OK B(a)5eJection (FPR 1middot1713-1)

o L Grant iH1ndlOok 13)

o M Do Nol Ue

D 2 Cosl Reimburemenl (S~cil) CR CPFF 0 N Cooperative t~reement (Handbook 13)

CS CPAF CPIF) ~ 0 O Small Business SeImiddotAside (FPR 1middot1706-8)

o l Cooperative Agreemenl ~ 0 1 Overseas Procuring AClivilies (AIDPR

04 Grant Gener31 Supportmiddot 0U ~ 7lIOI-SC(b)(2))

o S Granl - Specific Support ~ ~06 E SER VICE

g ~ ~~t ~~(d) ~~ ~~ ~ eci~a~~~~~ogram Projeci

o amp IQCs ~ ~ relampted excepi A amp E Services)

o 9 Host Counlry ContraclGrnnt 5lJ C amp E Services

middotComplele ONLY through ~Sl ~~ 0 D Construction

M05 SELECTION PROCEDURES 0 E- Reseuch

o A Formally 3dverliscd (IFB) (A1DPR 7middot24 amp

FPR 1middot24) ~ o B Negoli3ted Price Compelilicn Gencr31

Procedure (RFP) (-JDPR 7456)

Dc A amp E (AIDPR 7410)

0 D Ed Inst andor Inl1 R~arch (-JDPR

74 5)

o E Collaboratoe Assisunce (IDPR 7458)

C F Predominant Capability (IOPR

73IOI-50(b)(l)

AID 1420-49 (179) - Page I

D F Technical Services to AID (other than trainmiddot

ing usually o~ating expense)

D G jraining SetVice for AID

o H Equipment Materi3J~ Supplies Commodities

D I Translation Service

~07middot TYPE CONTRACTORGRA-nEE

o A Firmmiddot AU profil-rn3king fUms (other than

Aamp E)

J e A amp E 8r~

zalion

o Public Inlmlational Organizations (UN

Agencies ICRC Wocld Bank elc)

(H8 J 3 Chapt~ S)

M08- TYPE AW~RD

o A S8 Sel-Aside - Awarded to Non-Minority

o B S8 Set-Asidemiddot Awarded to MinXity

o C_ S8 NOI Set-Aside - Awarded to Non-Minority

o D S8 NOI SeImiddotAsidemiddot Awarded 10 Minority

o Eo amp(a) S8A Awarded to Non-Minority (Womerl-

Owned Veterans etc)

o F 8(a) S8A Awarded 10 MinorilY

o G Personal Sen-ice ConlrdCt bull Non-Minority

o H IeJSDnal Service Conlract - MinorIty

o I Individual NonmiddotPersonal Service Contraci -

NonmiddotMinority

o J 100Jigtiduai NonmiddotPersonal Service Contracl -

Minorily

o K NOI Small Business (Univ NonmiddotProfit Large

Firms) Non-Minorily

o L- NOI Small 8usineSl (Univ Non-Profit Large

Firms) Minorily

o M US Govcrnmlnt

(Connnued on Page 2)

BEST AVLABIE DOCUMENT 1 I

--

ua ) R I GI NAL 9 bull

MODIFICATION or GRANT PAGE 1 of 2

AH 1 2 Effective Date 3 Grant No 4 Effective Date

Amend_at Ro 5 April 15 1981 AIDCSD- 3294 8-11-71

-s CRANTEE (Name and Addrea) 6 Administered by -Professor Gerhard Loewenberg -Office of Contract Management Cbrnparative Legislative Research Gente Central Operations Division Dept of Political Science am Branch University of Iowa Agency for International Developn~nt Iowa City Iowa 52240 Washington D C 20523

7 PIO No 930-0090- 3013411 A5 8 Previous PlOTa -

Appropriation No 72-11110216 93i-1l-995-l36 930-11-995-136-73-3078103

Allotment Symbol - 146-30-099-00-20-11 wunt Obliga ted by this ~ndrnent - $10397

The above numbered Grant is hereby modified as follows

1 Anotmt obligated prior to this rurendment 2 Amount obligated by this amendment 3 Total obligated anount (1 amp 2)

Delete the amJmt $465000 and substitute in lieu thereof the ammnt I$47S 39-7 ~

FUNDS AVAIrABm

~~ - APR 13 1981

PrO~A~~5iors

$465000 $ 10397 $475397

OffiCE Of fIN~(1 ~~rE~E~T __ _ 10 This amendment 11 entered into puruant to the authority of the Forelgn

Assistance Act of lS~l as amended Except aft hereln provided all terms and ~~ndi~ons nf the grant rcferpnccd in Block 13 remain unchsnged and in full force and ~ffcct

11 original and six Crantee 18 requlred to aign thh document aad return 1- eopics to issuing

ffiee

~~~ or printed) BUSINESS MAHAGR amp bull

Tille TREASURER

UNITpound) STATES OF AHERICA AGENCY FOR INTERNATIONAL DEVELO~NT

BY_-1(1o-_1lt--= 13middot~_1_~ __ K R B1uteau

(Name typed or printed)

Tltle~ ____ G_r_a_n_t __ O_f_f1_c_e_r ____________ __

D3tC APR 2 J 7997 Dolt 9 APq 1981

BEST AVAILABLE DOCUM NT ___ 0 HLGlNAL - I 1 J 1 ~ )

- 2 -

AID ftmds in the am)tmt of $10397 are hereby provided for the activities lmich are described in your proposal (including Budget Stnmnary) entitled CDnference to Report Research Findings on the Study of Political CDnditions for Effective Small-Scale Rural Assistance Projects in Kenya Korea and Turkey dated February 17 1981 and made a part of the Grant b reference

BtTDGET StMMARY

Line Item

Travel

Per Diem

Other Direct Costs

Less existing 211 (d) grant funds

Total Amount Obligated by this Amendment

Estimated Costs

$ 5888

5100

_ 2500 $13488

_ 3091

$lO39

Note Indirect costs or $395086 associated with these activities will be contributed by the University of Iowa

BEST AVAILABLE DOCUMENT

~RIGINAL

- CONTRACT IGRANTCOOPERA rIVE AGRElEMI~ SERC~SDSlP Actio) Monitor

SERCMSDSUP Action Office

I

INSTRUCTIONS AJDW - Complete 4 copit of tlh fonnmiddot Orisina iCMSDfSUP Sutistical Section COP)middot Copy 2 SERCMSDjSVP Administrative CoP Copy 3 Cont-acting Officers COP) Copy 4middot SOSUP Admin (Susptnse) Copy Missionsmiddot Complete 2 copies of the form or~aI SERCtSDSUP Statistical Section Copy and Copy = wiU~ retained in the Missions

0 PART IA

Effective Date of Document tJ

Delivery Order (Requirements)middot

o 4 Purcluse Order

bull If I 2 or 3 have an bull X compl~te M I 2 ON L Y

M04 - CONTRACTGRANT TYPE

o O MOA (BOA BMA etc)

o 1 Fixed Price (Specify FFP FPRD FPEP FPI) ___ _

o 2 COli Reimbursement (S~cifY CR CPFF CS CPAF CPIF) ______ _

o 3 Cooperative Agreement

o 4 Grantmiddot General Support

o S Grantmiddot Specifi Support

o 6 GraDt 21 led)middot

o 7 Do Not Use

o amp IQCs

o 9 Host Country ContractGrant

middotComplete ONLY through M 5 1

MOS SELECTION PROCEDURES

o A Formally advertised (IFB)(AJDPR 7middot24 amp

FPR 124)

o B Negotiated Prire Competition General

Procedure (RFP) (AIDPR 7456)

o Co A amp E (AlDPR 4 I 0)

o D Ed Ins andor Intl ReStalch (UDPR

7457)

o E Collaborative ASSistance (AIDPR 7458)

o F Predominant Capability (AIDPR

7-310l-50o)(3)

AID 142049 (1-79)middot Page J

o H Procurement Co be Performed b~ the Conshy

tra~tor in Person (AlDPR

7middot3t OI-SO(b)(Iraquo

o I Sole 5gturce (AIDPR 7middot3101middotSO(b)(4raquo

o J Impairment of Foreign Policy Objecdv~

(AIDPR 7middot310 ImiddotSO(b)(7raquo

o K 8(a) Selection (FPR 1middot1713-t)

o L Grant (Handbook J 3)

o M Do Not Vse

o N Cooperative Agreement (Handbook 13)

o O Small Business SetmiddotAside (FPR 11706-8)

o P Overseas Procuring Activities (AIDPR

7middot3101middotSO(b)(2raquo

M06middot TYPE SER VICE

o A TtJining of Participants

o B Technical Assistmce (Program Project

related exc~pt A amp E Services)

J C A amp E Services

0 D COltl~ruction

0 E Research

0 F Technical Services to AID (other than trainmiddot

ing usuaU Y operating ex pense)

0 G Training Service few AID

0 H Equipment Mat~rials Supplie~ Commodities

0 I Translation Service

07middot TYPE CONTRACTORGR TEE

Firmmiddot All profitmiddotmaking fu-r1s (other than

AampE)

o 9 amp E Firms

I Prcct NumbcT

I

Contactors D-U-N-S Numbcr

I) -S--f(j

o C Individual 0-lon-~rsora1 service)

o D Individual (Pet-sonal Service)

o E University lOt her EduCltionaJ Institutions

o F Non-Profit Organization Institutions (other

than Ed or PVO)

o G Private Voiuntary Organization (PVO)

o H International AgricultwaJ Research Organmiddot zation

o I Public International Organizadon~ (UN

Agencies ICRC ewld B3J1k etc)

(HB J 3 Chapter 5)

M08middot TYPE AWARD

o A SB SeImiddotAsidemiddot Awarded to Non-Minority

o B SB SetmiddotAside bull Awarded to Minority

o C SB Not SetmiddotAside - Awarded to Non-Minoril)i

o D SB Not SetmiddotAside - Awarded to Minority

o E ~a) SBA Awarded to Non-Minewity (Womeli

Owned Veterans etc)

o F 8(a) SBA w-rded 1o Minority

o G Personal Service Contractmiddot Non-Minority

o ~ Personal Service Contnct - Minority

o I Individual Non-Personal Sence Contractmiddot

NonmiddotMinority

o J Individual Non-Personal Service Contractmiddot

Minority

o K Not Small Business (Univ Non-Profit L1lge

Firms) --vn-Minority

o L Not Small BUSiness (Univ NonmiddotProfit Large

Firms) ~inoriy

o M VS Government

(Continued on Pcge 2i

t bull - t ~ J f q

ORIGINAL bull MODIFICATION OF GRANT

1 2 Effective Date

Araendllent Ro 4 12-2-80

s CRANTEE CHace and Addrels) Professor Ger1ard Lo~middot enbelg Comparative Legislative Research Deartment of Political Science The Lnivp-rsity of Iowa Iowa City Io~a 52240

7 PIO No NI A

Appropriation No 72-11XHl26

Center

Allotment Symbol -426-30-099-00-3~-71 Amount obligated by this urendment-O- I

3 Gnnt No

AIDcsd-3294

PAGE _____ 1 _of-L

AlI 4 Effective Date

8-11-71

~ Admlnlltered by -Office of Contract Management Central Operations Division OTR Branch Agency for International Development Washington DC 20523

8 Previous PIOITs -

931-11-995-136 930-11-995-136-73-3078103

9 The above numbered Grant is hereby modified as follows

Supplement to Grant

Change the duration period sentence to read

The Duration Period for this Grant shall be August 11 1971 through December 31 198]

1 Amount obligated prior to this amendment $465000 2 A~unt obligated by this amendment -0-3 Total obligated amount (1amp2) $465000

----------------_- - ------- ----_- ------ 10 Thh lImcndmcnt is entered inlo punuant to the authority of the Foreign

~ Assistance Act of 1961 86 amended Except a~ h~reln Z II provided all terms and condi tions nf the grant referenced in Block 3 remain ~~aunchlinged and In fu1l force and effNt cnltUI cJ)za 11 o 4 J bull

Et~ ai~a gtUoItshyc Z P=u

original and six Grantee t requi red to sign this document and return 1- eopies to 1Bufng

office

~ 12 GRANTEE TES OF AMERI CA

(Name typed or printed) bull

TJlle Director Comparative Legislative liecearell CeQtoQl

Date 12880

------------------------------------

ONAL DEVELOPMENT

By ----~--~~~~---------------------

prinled)

Grant Officer Title --------------------------------

J)oll( 12-2-80 -----------------------------

BEST AVAILBLE DOCUMENT i je

Page 10: PD-Ar3T Cr(~

- 7 -

faculty at the University of Imllt1 and from omiddotrerseJs tlitbout slch an

acbival base those dtdies Ylould be ver lil1ited in the hypotheses

ter could test The quali ty of this re search eqerience fill be

(o1siderably enha1ced by the aVJilability or data for co~arison dth

t~e data generated thlcugh the ccllaGorative research sponsored by the

traini~g progca~

Once gathered a~d refo~tted the data ~~ll be ~ade available to

sc~olars students al1d other interested persons outside of tre University

of Io ra P(r exa-nple appropriate data sets would be available to other

llsti utions tat pre ccoperating in t~is program ie Ha-waii Clla De

~ese could tten be used in curriculul developent at tbose schools as

middotell as Ll the pre-grar at the UJiversity of Imre Finally data could be

aie available to i1di-idlal sc~olars and institutions overseas for use

1 teir research a~d trailing progrems The cUIlulatiie effect of this

disse~lilation and staring of data ~i11 be an enrichme~t of research an

Llcreased flO-I of ne data to the Uriversity of Iewa I3Jld a greatly

ena1ced ability at Iowa to aalyze legislative behavior a--d defelopnent

f 1ssociates

The University of Iowa d31 involve as Associates individual US

arc ~ereign Rcolars fro~l other instibticns in some instances fOl

cc-ivities at Iovll in others as recipents of support Oi research and

oter aciivities middothich coqlement cnd emic1 the program at o a These

Associa-es rill be involved in such activities as ser-lfing es University

of IOim g-uest professors 5~St lecturers 1d visiting faculty

lticipel1~s L ccnfiences and s~riosia and as collatJoratiEg 2search

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cevelcged c~lt-ies Smiddot~yemiddotl such projects core already uoer ~middotay

and 3y potetial ss~cetes ~ave been identified and thei ilterest~

211 gtarticipeting i1 t~e ~Cglar1 ascertained

He -resc1t ge~sc-~el a1d acilities of the University of Iomiddotro

plcvice a very st-cre basis for the research atJd training programs

~rnich ~middote a~ ~rc9~3L1g -fmever the further development cf legislative

suCie3 ali a pec~ent streugthenLlg of ~he progrun of Iomiddot ~ is a major

a oes3icral Demiddotmiddotelc~ Galt fur~ds will be uSed by the

LT~iersit2 c la= ~ icreasing te nUbe of faculty specialists in

cClJses ir sjcts elated to the subject atter Specificallr grant

fuimiddotis dll ce usee to ac3 one pernanent faculty Uemoer in roliGical

scienc~ ~middotit s~ecia iltcests b legislaive beh3vior ald political

dloYl-nt a-o 81 a29 cmiddot-petence in Ardcan pclitics and to bring

(lculy -emiddote-s fro less ceveloed countries to spend a peri cd of time

at the TJ1 i si ty o~ Io~middot adine sechtl expertise to the ~od~ at Iowa

other middotisosel -~ i_ le irol1ght to IC~ia as needed to support those nO~T

or --18 fc~~ti r~lt 7ds ~rill also be ilsed to finance data collection

exlts-s ~) t~-e res~imiddotch iork of tte acult the Associate scholars

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1~ II

- 9 -

cesigned tgt trrtin US and foreign-born st1lcents in le6islati-~e rese=z-cndeg

Sttde1fs ~dll be tdTi tted cr11ally to 9 proeragt iihicn ~iould irclude a

tro~ot~h grounding in the r thods of cczparative aralysis the S1ostance

of conparatie politis g-mel31ly end the corrparative studJP of

legislative behavior in 9articulal The Uni-ersity intends to associate

tnese studelts directlr - rith research in Ttlhich faultr 2Cbers are

engaged to encourage thea to dra- U90n the skills end resources available

in this field il ra1Y departnents of the University to enable them to

spend up to one year in field research and to have thel4 snare their

findings middotrih their stmiddottidei~t and faculty colleagues Tle prograII will also

involve foreign scholars middotno are expert in the legislative process of

t3ir o- n countries in the tcaciing fgtimiddotogren both by holding -fisHing

a=point~elts at t-e University of Ioc1d by sUgervisi~g field research

c R d - t- ~ 1 rec C~ of Esta~lis~ed Scholars Tne University of Io~~

plals to extend a1 in-itaticn to seieal foreign scholars duri1g te

gle1t p2riod to patici~te in a coparative legislative researc~ seirar

duriig their visit Their plrticipat~ion middotrill edd 3 lL1iqte diiensicn to

the seiiral hceuse cf theh ~1o~-rlecge of the legislature in their own

C01-try BCmiddot2~ J1is Gemilr -ill be dealing -lith the nos-G current

reseaCIJ o~ l0~ ~ltmiddotJres as ell as discussine desigs for reseach to

fill in cowleuge of legis1timiddotre 1ehclicr -re believe

tret it ill be a l2~lilg experience for all the pclticira1ts--incltcing

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Ima rill lOrk collcboratively ~ith the fOrsig1 5cbolars to design a1d

carry out P reseach pruject These projects Till cc~tribute to the

retlaininB of foreign scholars and nill also add to cur mmiddotm and8rstanding

d Research The 9rinciplI enphases in cesenrcl rere cutlined in

Section III above ie to focus en con-9arative studies in iihich

legislative cehaviol can be helpful in explaining the scope of politics

the style of governcent a1d the legitinacl of regiles Variables hich

will be studied Iost closel~r ircluue tbe persistence of institutional

norms in the legislature oyer time the relationship o~ the legislatue

to ether institutions in fornirg public CC1Cepticns of politics and

the histOl~ical context detelini1g public expectations of the 12risleture

This resea~ch nag both academic and practical objectives

Academically it promises to tie legislative behavior research to other

major concerns L1 pcliti~al science such as research on systeJ stability

and paricrJance Its general substaltive eojective is to assess the role

wtlichlegislatures Illay L1 determining the capability of political

s~lstems especially their ability to deal ~middotith soCial change

Vractically the stu1y ~y offer guidance to polic~Y-Dakers on

t~1e role ~ hich legislatures rray be ~lI-pected to pIa)- in neimiddotrly established

political systelt ald on ~hc efcrrrs in established legislatur~s -Thicn

rray be required to achieve specific syste~ effe~ts The study ~dll

Nquire the assccioticn of rembers of legislative staffs a1d 2cademic

colleagues in the s~eLal nations lmder nvestigRotiop plovidirg training

fot ~ll r)f them i1 leeis1ntive re3Clrch ~ri facilitating a valuble

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ll-

of Iml3 ~ill LS~ glmiddot~t f~ds t~ estaolish a data archive to begin to

bring tb~ edtirg legi31ati--re studies tog3tller at a single locaticn

end to =afe t~e ac~essible to tie grc~ring m~er of interested

scholars in t~i3 field PerSCIlllel of tbe Data Archive ~rill searcD

broadly fo all a-reilable data on legislatures in the possession of

ildiviiual researc~rs i11ese data sets ~-Till be acquired refo~atted

for ease in alelrsis a1d stored in Archive Tne Archive ~~ll

asserble tie etel~ Gata O legislative organization ald procedure the

socialization ~~ recruite~t of lzgislators legislative decision-

makLg pccesses 2d legislative outputs To facilitate access to

the data a ~middote-riemiddotrlt11 syste middoti111 be cesigned that will 2011001 r-=searchers

to find ~iccJ ata sets that c~mt2in inforration lelefalt to their

researc1 po)2e5 RibEcg-aphic citation3 cnd abstracts of research

reports on le~i51e-imiddote oebio ~~ill be gathered and a biblicgraphic

retrieval sys tC idll a Geielc9d to aid esealcJers

cooioinet-e1 ~~as n -ie are= of c~rarativa legislatile studies is

t~3t because 0 si~~e iJS in~ti tuticn ias tce necessarJ expertise

of ccrparati ve

1-=gislatiY2 tcie3 8forts of the most conrpeteat ace interested

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12 -

oz~ the tr)middote grantee institutions and otter associated scholars It

~ill ayise t~e pa1tee i1stituticns on SllC catte-s as roritorirg

activities at the t~re~ unive~sities~ evalu~ting rese~rch frr possible

=middotclication sJ--sidies rld ether ratters related to infor~atioTI

disse~~ation coordinating research efforts to avoid duplication

ecilitating excha1ges d sttde~ts ad faculty members ~-iitb foreign

nsti tutions i~en desirable tryi1g to till lacunae in cLIricu lUn

helJilg to arralge cmferelces and sy-posia and generally trJing to

9cote te ~eielcp~2nt of cOlparatile legislative stucies as a

Gra1t L~HS idll be ~sed to support the Univ2rsity of Io -a IS

nrticipation in tre AdisorJ Co-i ttee t1e developrrErt of conferenc=s

elsEfhere il the US arHl over3eas i1 relat2d facets of leeislaive sttdies

Edstng iersonJ~l al~d fa-ilities at the University o= 1oa previde

iaculty facliiies to aid rC3emc~ trailg aPd skill in 21c~ivaJ middotork

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r ~-)

- 13 -

Six ITe-bers of t1e faculty of the Departent of Political Science

at the Unhe ity of Im-ia are presently engaged in legislative research

To merbers ot the Departllent of History are engaged in research on the

British Parlia~ent L~ the eighteenth ~~d nineteenth centuries Fer the

past six years an adv~~ced se~inar has been offered by ~embers of the

Department of Political Science and the Department of Histo~J on

comparative legislative behavior This exte1sive collaboration iiill

ma~e it possible to develop a fully inter-disciplinary program for the

students ~~d visiting faculty In addition faculty ~emcers in

Scciology interested in organizatien theory and in the College of Law

interested in legislctive processes provide furtber e-pertise ava_ilable

to students interested in tee study of legislative behavior The

presence of these specialists on th~ facult~r is reflected in the

excensive librarJ al1d otler data resources existing at Iowa in this

field

The Uniersity of Ima offers an unusually extensive program of

trainL~g in research methods Four ~e~bers of t~e Department of Politi~al

~cie1ce teach in the field of research nethods Courses jn statistics

ca1 be taken ill the Dep~rtents 01 Sociology e-d Educational Psycholcgy

Llis prcgr6l provides a verJ solid grounding il research training and

data analysis

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e ~

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Y labCrato~y for olitical Pesearch is the reseacc1 md research

tlairirg facility of the Departe1t of Political Sci-lce Gcadvate

students receivo extensive res~arch experience through 1or~ing in the

La oratory bull The Lacoratoy is also a1 integral part of the trainirg

o~feed in ccurs~ T~middotO~ for graduate students

The full-time sta~f of the laboratory includes a director an

assistant director a t-=cl1ical cirector a supervisor of study

t1hteen graduat~ students - rf1rk in te Laboratoy receivLLg teining i~1

~a~a collecticn ~~i data e~alysis Tbe facili te5 of the La)oratorltJ

icluoe a oard eJcerline printer ccnnected to the U1iversitys

dis~ and tape storF-ze for d~ta

The pogral of trailing ia coparative legislative reseC_cch ~ill

relr heavily en t LaOerltcLJ- for taching graduate stucents Visi tine

fc111tr lYe~bes iill be able to utilize tbe facilities cf the Laboratory

gt IOra ~as sFcial ccrpetence in prOCed~les for

ccq ter ogagtlizetion of d~ta Ja1ks ~d fOi the p~ocGssing of large data

sets as well as iJ the sttdy of naticnsl end st~te legisltllres Tile

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Ile Univelsity of 10Ira will eadnister- the Grant thJotg~ its normal

a)1 iristrative char-l1els ad i1 Eccordance imiddotlith its ncrTal olicies and

operatirg procedures 7he Director of the gr~l1t-s~~ported program

Hill be a senior faculty eriOer of the Gniyecsity of IO~-ia -with extensive

expe~ie~ce in the subject field Associate Directors w~tb similar

qtalifications -aill also be appointed 7he Director- and Associate

Directors ~dll serve as eibers of t~e Inter-University Advisory CC1gtr)ttee

established to cooidinate _u bullbull ID gra1t-stpported programs at IOia Dul(e

lniversity a1d the University of Ha- aii Ll1 this field These relatiol-

ships are i~dicated in tee follc~dng a~inistrative organization chart

IX Ul~vsity Ccntri1uticn

T1~ ~h-ersity of IQ(a aSSures ALD that this Grant middotiill not

replace existing ftnds for STr current activity and imiddotrill be additive

to existing prograrrs of tCe lJniversity In direct sp~ort of this

Grat ttc University ~ill provide a) Acmi1istratile costs including

tie of senior officers of ttlt University b) Office ~ld research space

ald library and cor-puttr facilities c) Provision of a1cillamiddotCjr 1niversity

personnel -or consultation o~ ~middotjQrk nth the progral

X Reports end 5evie~-Ts

There i-ill be sub~itt-=i al arnual t2ctnical report for the purpose

of AID s revie- of activities under te Gant Tnis idLl include

a11 e-llation of prcsr~ss aidnistratve ar_c fiar~cial corsicer~tior~s

p~s cr tr foJlJ-middotire ear ~i disctlssics of the ossible l~lizaticn

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A~~inistrative O~ganization

Ice Board of Regents of tle State of Im-la

-Iesicent of the University I

1 rOfcst Jf t-3 University

Den College of Liberal Arts

r Chailan DcptiEt of olitical ScieJce

Inter-G~iversity

Acisorr Corcittee

PcgrG21 Director Associate Progra~ Directors

Liaison Arcrge~~nts d ~h I I~~erested Plcfessiona1 I Perso~el j

I _

I 5cu1ti (full or PmiddotLG-tire l Asscci~tes a1d otllei non-Io~il

3ecip5ents of Gr3-1t stPPC1t Gr~cue~~e S t1~lcnts St2~retQi~S1 Data Lbed~1 31

Ln 18 r1icia 1

LO1t c~lce Factcj~1 ts

BEST AVAILABLE DOCUMENT ( ( V-t

- 17 -

of te eo17i~g cCpterce br A I D rLld ethers In addi tion there

aS3essr~ents of the gr31t

middot l ~ lI ~ _ _ _ co~~~r~~ing ~~iversiti~s md tne rrctitoring ALD office

7re l~yersity of Ie~middot~ budget of $26500 is to be deveted to the

cemiddotelgt~e~ of lstituticnal cefete1Ce in comparotive legisl~tiye studies

~t Iomiddota c t~ the exalsi0 ot a date b~L-lt ~ hich 1fill be utilized as

a ecle for icrec3ing te scope of tbe sub-specialty

T - 1 f 1 __ middotja r S Ctdget a9roxir~tly 33- has bee allocated to a

cemiddote Lp~l t rirc ipally C actlty re leased tirre for data ccllection

ai 0 3alres f~r i~~er-ieers in field research 3d secretarial

assi5ta1ce nCt2 11- of t~e Icmiddotre oudge~ is iesignated for an

ArCE_1 A~ite s(101a~middot 2d one 0 ore scnolals froQ LDe or

s1lllrt of greluate stucents in the

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Finally approximately 19 of the budget will be devoted to the

proposed data bruL~ that will archive not only data generated from the

research of scholars at Iowa Duke and Hawaii but also at other US

and foreign institutions Primary and 3econdary an~ses of these

data will become an integral part of ~omparative legislative studies

curricula The ability to utilize the data bank for teaching purposes

also should have a significant impact on professional preparation ofmiddot

future legislative specialists In summary the funds will be

allocated to research teaching and training activities tha~ are

entirely conson~~t with the philosophy underlying the utilization of

2ll(d) grants to achieve institutional development

Conclusion

The University of Iowa regards the research and teacbing components

of this program to be closely related an1 zrutually reinforcing The

University of Iowa offers a strong base for the pro~ram because of the

interests of faculty members here now because of their contacts with

scholars in this field in other Americ~~ and foreign universities

because of their experience with the international exchange of faculty

and because of the distinctive data gathering and processing facilities

available in our Laborator~- for Political Research The program which

we have formulated is designed not only to accomplish specific

research and teaching objectives but to contribute to the long-term

development of the University of Iowa in an area in which it has already

exhibited special interest

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The program on Comparative Legislative Studies with support from

this Grant rill develop the capacity at the University of Iowa to

provide assistance under separate financing arrangements to developing

countries in a number of ways and through a varieiy of channels This

assistance which would be arranged for end negotiated separate~ from

this Grant may be in the form of technical assistance advisory service

training research and information exchange etc It will be available

by mutual agreement to appropriate agencies national and international

public private a~d mixed and directly to the less developed countries

Most especially this added special competence will inevitably become

incorporated through the processes of scholarship and education into

the competence of US and foreign scholars and institutions concerned

with this topic of great significance to the developing and the more

highly developed countries alike

BUDGET SUMMARY

UNIVERSITY OF IOWA

Salaries

Graduate Student Stipends

Fringe Benefits

Travel

Equipment and Services

Other

TOTAL

$173090

32400

19209

13800

6501

20000

$265000

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BEST AVAILABLE DOCUMENT

(C

Dr Willa~d l Boyd Presicient University of Ima iowa City Iowa 52242

Dear Dr Boyd

4 AUG 1977

amp

FIJNDS AVAnASLe CpoundNrftAamp sEIMCEs DMsON

AUG11 ~n te t6417 ~77

Subject bull Supplsectferit-tJF-G~middotNomiddot~middot AIOcsd-3294

t middot-rrPJ1 3

I am pleased to inform you that pursuant to th~ auth~rity contained in

S-cction 211 (d) ooC the Foreign Assistance Act of 1961 as amended a sup

plemental grant in the amount of $200000 is h~reby r~de to University

of rCi1a These supplement]l grant funds areprolided to support the

activities which are described in your Proposal dated May 6 1977 for

the implementation of your program entitled Political Conditions for i

Effective Small-Scale Rural Assistant Projects

---This sup~lemental grant is mace to University of Iowa en condition that

yo~r institution shall administer the funas provided under this Grant fn

accordance lith your r~ay 6 197 proposal (including Budget SUmlilary) and

the Standard Provisions (as incorporated by Amendment No 1) which have

been agreed to by your instit1ltion Ti) the extent of an inconsistency

between the Proposal and the Standard Provisions and any otherprovisfons

which ar~ made a part of thi5 Giant by reference or other~iSe the Sta~d~

ard Provisions shall control

The new Duration Period for this Grant shall beAugust 11 1971 through

August 10 1979

The total amount of funds obligated under the grant is increased to reflect

a new total oblgated amount of $465000

Please sign the Statement of Assurance or Compliance ana the origfnal -

and seven (7) copies of this letter to acknowledge your understanding of

the conditions under which these funds have been granted Please return

the Statement of Assurance of Compliance and the original and six (6)

copies of this supplemental Grant to the Office of Contract Management

Attachment May 6 1977 Proposal and Budget SUfiT1a ry

UNIVERSITY OF IOWA

Roberw bull OBrien fficer

Ce al Operations Division Office of Contract Management

AC~E~E~C--_ 0 BYpoundk~~ cH

D C ~lpoundSTtR5BA T ITL E ( PfeampoidPilt for

tee ment amp Research DATE 9-22 -77 (d~ ~~Bduate Ctl~1e~e

BES i AvAILdLt UOCLJMU~ I

211(d) Grant Program

Proposal of the University of Iowa

POLITICAL CONDITIO~S FOR EFFECTIVE SMALL-SCALE

RURAL ASSISTA~CE PROJECTS

Submitt~Ci to

Civic Participation Division AID

May 6 1977

Amount requeste~ $ 199987

BEST AVAILABLE DOCUMENT

I TdE DEVEIOP~T PROBr~

P~litical Conditions for Rural Development

The Cocparative Legislative R~search Center of the University of

Iowa proposes to ~~dartake a two-year study to investigate the role of local

leaders and the rural public in theimplecentation of small-scale develop~ent

1 projects in less developed countries The study will use and extend the

capacity ~hich the University of Iowa developed under a 211(d) grant to

investigate and assess the impact of loeal politics on rural development

~t the co~pletion of the s~ Iowa will be in aposition to advise the

Agency on the design ~nd evaluation of s~ll-scale projects which will be

politically viabe a~d effective in ass~sting the rural poor ~

As students of development w~ approach our task with the assumption

that the proble~ of development and underdevelopment are funda~entally

ones of political econooy and a~ such can only be solved through a

simultaneous considerationof economic and political factors Efforts

which foc~s aloost solely on economic factors like those of ma~y

organizations engzed in dipersing foreign aid or efforts which focus

almost exclasively on political factors fail to take account of the

interdependence between these two dimensions of underdevelopment and

lwe have for~ulated this proposal in a canner consistent witr the cu~rent policies ard interests of the Agency We have been guided in our tsk by four Age~cy doc~e~ts Impleo~~tation of New Directions in Developnent Assista~c~~~ ~eport to the COmlittee on International Relations on Ilupleoenshytatiun of Legislative Refo~ in the Foreign Assistance Act of 1973 (July 1975) rItevis~d Projec Developiel Review and Approval Systeo (A I DL Circular A-21 Aril 23 1975) SH Butterfield Draft SUIilZ3ry StateUlent of a Practical Agelcy Approach c aural Devalopilelt (AATA February 28 1975) Cicci A Coce~ual Oie=viamiddot middot Rural Development No1 (lWorilting GOU O~ tha Rural Poor February 1975)

- l -

can meec with only l~ted success

Our concern with the i=pact of local politics on the process of

rural developcent is a result of our interest in the basic question of

how LDC governm~nts and the donor agencies which assist them can

become core effective in raising the standard of living of the rural

poor We seek answers to the following aspects of that basic question

1) What political conditions must exist both within rural communities

and between theo and central gove~ents to raise agricultural production

w~ere small-scale agriculture is the do~nant pattern 2) Vnat are the

political conditions for a core rapid expansion of the informal manufacturing

and service sector cocprised of labor intensive small-scale industries

located in the rural ar s 3) What political structures and activities

are mase crucial for the provision of welfare and econocic supporc services--

such as agricultural exeension mar~eting and transportation--to the rural

areas1 4) ~~at Folitical conditions oust exist to insure that economic

growth in the rural areas is not accowpanied by excessive and intolerable

inequalities between socio-economic classes andor between regions1

Center-Periphery Linkage in LDCs

To deter~ne the political conditions for rural development we have

in previo~s s~udies exacined the institutions and processes through which

rural populaticns are integrated i1to the national politi-cal systetlS of

middot~he countries in which they live A gap exis~s in most less developed

countries bet~een the peasantry residing on the periphery and the c~~tral

political ~stiutions staffe1 by ~~estern-educated bureaucratic elite

We are aware of the other major ~sti~utional discontinuities which comprise

J

4 middot~~1 the basic cleavage between the developed and underdewmiddoteloped sectors of

these dual societies Bridging these gaps is essential if these so~ieties ~ are to develop into viable nation states For until those Q~ the periphery

of the poli~ical syste~ participate in that system and support and comply

with the authority of central political institutions neither economic

development in ~he rural areas nor a stable polity will emerge

Bridging the discontinuities in these new political systems requires

establishing and institutionalizin3middot1inkages or networks for co~unication

and exchange of resources between decision-makers at the center and the

rural public on the periphery Three types of institutional linkages are

most prominent in less developed countries 1) those conSisting of the

state administration composed of the bureaucratice1ite 2) those consisting

of a revolutioncry political party cocposed of the ideological elite

3) and those conSisting of patron-client hierarchies composed of the political

entrepreneurial elite

Of these three linkages consisting of the state administration are

the cst extensive and pervasive in virtua~ly every LOC Such linkages

however exist primarily a~ instruwents of the center to penetrate the

periphery Central government officials are formally charged with bringing

develo~ent to the people This is a ~issi~n which conceives development

as a process ~hrough which a traditional peasantry is transformed and

assimilated iJro the DOdern center which is steadily expanding to embrace

it Agents of the center invariably have more resources to achieve their

objectives than do local political leaders but because they are frequently

strangers~ the communities in which they function they are often unable

- It -

co implement the policies of the center without working through the

local establis~ent

Though somctices significant linkages consist~g of revolutionary

party organizati~ns such as those found in China and Vietnam do not exist -

in most IDCs beca1Se of the special historical and e~omic conditions

required for their development As wi~h the administrative state however

the linkaampe apparatus of such political patties is prUlarily an instrument

of the center whose mission is to penetrate and mobilize those onthe

periphery

In contrast patron-client hierarchies are linkages which represent

the periphery at the center and mediate betwee~ these two disparate

sectors of the political systec Thcugh norcallymiddotovershadowed in scale

by the state administration patron-client hierarchies are found in almost

~very LDC a~d constitute the ~st significant network through which rural i

populations and their leaders influence the decision-~king process at

the center Patron-client hierarchies exist in a wide variety of org~iza-

tional fores ranging from info~ ~ec~~rks of individual olitical leaders

in uno-partyll systelS in S~b-SaharaI4 Africa to extensive political machines

in both one-p~rty (Africa Mexico) and ~u1ti-party systems (Turkey India)

Despite their importance as the pricary means through which peasants in

LDCs particiate in their political systems patron-client hi~rarchies

have only recently become an object of analysis by students of political

developent and do not appear in even the most sophisticated studies of

2 See Jo~ Dunca owell Peasant Socie~y and Clientelist Politics Aerican Politi~ Scielce Revietol 64 (June 1970) pp 411-25 Rene Lemarchand anc_ Keith Legg olitical ClienteliSJ and Ethnicity in Tropical Africa Aierican Political Sc~ecce ReView 66 (Y~rch 1972) pp 68-90 James C Scott PatronshyClient Politics a~d Political Change II 1tlerican Political Science Revie~ 66 (~arch 1972) p 91-113 and Friends Followers and Factiols bull edited by Steffan Sc~~d and James C Scott (Berkeley UniverSity of California Press 1977) bull

- 5 -

3 economic development Ad~niscrators of developmental assistance progracs

have too often regarded patron-clienc hierarchies as ~ped~ents to

develop~ent instead of recognizing cheir potential utility bull

~ Findings on Patron-Client Hierar~hies --

The importance of pat~on-clienc hierarchies for linking the periphery

to the center is one of the major findings ~erging from a study of the

relationships betueen l~gislators an~ their constituents in Kenya Korea

and Turkey ~hich the Cowparative Legislative Research Centpr is nov

comleting uader its 21l(d) grant from AID This study has av~mined the

creation of linkages between the periphery and the center through ~ore

than lO~OOO interviews with members of parl~ent local leaders and

peasants in t~e three countries The findings are being systewatically

set out in a book-length monograph Nearly a dozen research reports have -

uready appeared (see Appendix C) ipropositions about the nature of

political behavior of rural populations an~ the roles of local political

elites de=ived from the research~ can be s~rized as follows

1 Elected representa~ives play a significant role in the creation and mainte~ance of linkages be~een the center and periphery by developing local political achines in which they function as patrons of their constituents In turn thay s~rve as clients of political leaders of national stature who control central government institutions

2 By atte~pting to establish linkages based on patron-client relatio~shi~s elect~d representatives are responding to public expectations chat their prizary duy is to obtain resources from the center to proffiote local develop~ent ~iany elected repLesentatives spend most of their time on self-help co==unity development projects such 3S the building of schools health clinics irrigation works arid roads because such projects provide

3For exa~le ~ a widely respec~ed a~d useful analysis of rural deve16p~ent in Sub-Sahara~ Africa L~ Lele of the World Bank notes the problems of creating an adoini5~raive infrastructure in the rural areas that is sensitive to local socio-oliical conditions She does not however consider how local leaders operating o~tside of adcinistrative structures ~ night contribute to the developne~t 0 the rural areas See ~~ Lele ~ Design ~ Rural Develop~ent Lessons ~ Africa (Balt~re The Johns HopkiD~ Uciversity Press 1975) r) pp 127-61 i ~

- 6 -

their const~tuents with desired se~ices ~~d a= the sa~e time provide the reresentatives with an orgacization Yhicn can be used as a political base

3 l-tore than 90 perCel1t of the rural population is capable of articulating the p~oblems facing their local co~~ity and two-thirds discuss th~e proble~ w~th their fellow citizens on a regular basis

4 Three-q~rters of the residents of the rural areas can identify the public ofpoundici~s who serve thec--both civil servants and elected represcrtatives--by na~e Most are knowledgeable about the activities of these officials Alcost one-fifth coreover have discussed co~~~ity probl~ ~ith these officials particularly those working at the grassshyroots level Residents of rural villages actually have a higher level of political knowledge than their counterparts in the towns

5 Elections in the rural areas evoke a highly rational attern of voti~g despite the effects of ascriptive or traditional co~siderations Inc~ens are pri~rily evaluated in terms of their record in fulfilling the public r S elpectations of what they should do Elections are essentially referenda on inc~entsr perfo~ce especially their perforwance in the area of constituency servi~es such as bringing development projects to the districts bull

6 Local developcent projects have a relatively high s~olic value generating conscitutency support for local leaders and the central government at low cost

7 These projects help huild a local political infra-structure which can also be utilizec by central govern~nt civil servants to implement other policies designed to achieve rural develop~ent bull

The Icpac~ of Local Politics on Rural Projects

Having explored the developtent of linkages through which the periphery

is represented at che ~enter and through which the periphe~ attemp~s to

share in the ceners resources we now propose to build upon our initial

investigations by e~ing in greater detail the impact of local political

conditions on specific problecs of rural develop~ent We propose to

exacine the develop~ental activities of local leaders ~nd the rural public

by eX2~Ding a saple ot fifteen to twenty smalL~scale developwent projects

in each of ~he three countries which constituted the sites for our initial

8ESI AVAILABLE DOCUMENT 1 ~ - of

- 7 -

study of center-perhiphary relations The appropriateaess of this approach

and the ~ethodology through which it will be ip~emented is discussed in

section II Because the ~ethodology of investigation is in large part

the result of our previous research experience we fizst turn to a revieW

of the existinQ __ ~petence of the Comparative Legislative Research Center

in this area

II GRAXTEES EXISTIXG CmET~CE

In 1971 the University of Iowa received a 211(d) grant to develop

its capacity to do research on the role of elected represent~tives in

the process of modernization On the b~sis of this grant the University

established a research center which planned and carried out a research

project on the role of elected reres~~tatives as links between the central

gove~ent and rural populations in K~ya Korea and Turkey The project -i

served to develop t~e University of Iowas research capability in this

field esa~lished ties between the University and scholars in the bost

countries and generated a large and uniqu~ body of relevant data

In that project we fo~ussed our attention on tbe activities of elected

representatives in their constituencies notably in their contacts with

local political leaders voters and civil servants To determine tbe

nature of the linkage function performed by tbe representatives we

designed our research to explore the subject from three perspectives

1) we eXaojned ~~a ~ubject at tbe grass roots by conducting a series of

sample surveys of 200 to 300 adults in each of 12 to 14 parliamentary

constituencies in each cf th~6three countries 2) we examined the subject

at the center by intervie -ing MIls from the constituencies in which we

had conducted S3mple surveys ~nd higher civil servants with whom they

had contact and 3) ~e ex~~ined the subject from an inter-~diate level

by identifying aud ~terviewing local social and political leaders in

the MPs constituencies We used survey research methods because we

were embarking on the study of an entir~ly new subject for which little

relevant docu=e~tary data existed and on which there were few secondary

sources As a result ~e have unparalleled experience with survey

research in the rural areas of less develo~ed countries

The surveys which constituted the cajor part of our field work were

planned in collaboration ~~th scholars from the host countries They were

carried out in each constituency by student interviewers in the appropriate

language ~re than 10000 respo~dents were inteDViewed for the project

Given the visibility and sensitivity of this undertaking approval for

the research was sought and obtained from the host governments prior to -i

the collec~ion of data ~o objections were raised by these governments

at any stage of the research The data obtained have been made available

to scholars i~ the host co~cries and some of the basic findings have

been published in periodicdis in these countries

The Comarative Legislative Research Center ~hich ad~nistered the

project has aisO developed extensive experience in the study of political

leadership in other countries It h3s obta~ed substantial support from

the Fo~d Foundacion and the Rockeeller Foundation has worked in

collaboration ~~h European as ~ell as Asian and African scholars and

is engaged in a ajor study of the role of elected and non-elected leaders

in the oanag~~t o~~ocial conflict Because it has conGucted research

in a variey of setlngs the Center has an ~ceptional capacity to

- 9 -

determine how the relationships be~een political institutions and

economic p=oble75 differ in develoPed and less developed countries

In the course of the major research projects the Center has administered

it has gained highly specializpd ~p-i ce iI identifying 1Olitical leaders

in a great variety of settings conducting systematic interviews with

them collaborating with scholars in the host countries and in coding

and utilizing large files of data to answer specific research questions

The Center has ~lso undertaken to publish the results of its research

in three fores It issues codebooks to the data enabling scholrrs at

other locations to use the data expeditiously i~ publishes research reports - in the form of Occasional Papers and it publishes a scholarly periodical

devoted to the presentation of research findi~gs to an inteIT~tional

audience

The Center utilizes the data ~ysis facilities of the Laboratory

for Political Research of the University of Iowa and drawS on the unusual

n~er of secialists in comparamptive politics and survey research in

~~e Lniversitys Departmen of Political S~ience The Center itself I

has the services of an administrative secretary and a clerk-typist

~intains its~o~cn extensive archives and its o~~ publications program

It is e~uipped to assist scholars and government officials outside the

t~iversity of Io~a The participants in its p~ojects are full-tioe

faculty ~e=bers ~hose undergraduate and graduate teaching is closely

related to their research As part of the teaching program the Center

has attracted students from the countries in which the research projects

have been conducted these students have participated in the projects

bull J

have obtained training in other fields of political science have received

University of Iowa degrees~ and have ret~rned to teach and to do research

in their own countries

III PURPOSE OBJECTIVES AID METHODS

Purpose of Study

The purpose of the proposed grant is to extend the capacity of the

University of Iowa to determine the political conditions in the rural

areas of less developed countries which favor the establis~ent and growth

of small-scale developoent projects ~e objective is to put the University

of Iowa in a position to assist the Agency in designing small-scale rural

developent projects providing guidelines for carrying out social soundness

analyses of such projects and adviSing in the evaluation of projects

We will discuss the utilization of~t~e Universitys capacity in detail in

section IV below

We propose to concentrate our investigations on the political conditions

surrounding s~l-scale ru~al projects Such projects have distinctive

advantages They waximize the political participation of the rural populations

both in det~~-ining the direction ~d implementation of develop~ent efforts

and in defending the interests of periphery vis-~-vis the urban-based

bureaucratic elite S~ll-scale projects stimulate entrereneurial activity

on the part of the rural citizens and growth of the info~l canufacturing

and service sector Tbey require less lead tice and less administrative

c~erhead to ~eco~e operational than large-scale capital-intensive projects

centrally administered Such projects yield rapid and direct benefits to

1

j

the rural

- 11 b - ~~1

populations and are consistentwith their hUIlaD rights--both

political and economic However~ small-s~le projects pose s~ecial probl~s for administratcrs of developceocll assistance progracs because

they require the donor co assess the local olitics particularl the

rural politics of t~e host country

Develop~c adoinistrators pr~rily conc~rned with assisting rural

populations must therefore recognize the range of political variables

affectL~g these projects Small-scale projects offer great opportuoities

for develop~ental assistance progr~ because they can be easily targeted

to help rural populacions require low capital costs and need no be

concentrated in one or two localities Such projects ho~ever~ ~equire

the a~istrator to have ~re political kno~lecge than large-scale

projects Oil which his priJlary tas~ is guiding the work of other experts

Questions for ~Investigation

To detercine the politi~al cc~diicilS ~st conducive to ~he establ~~ent

and gro~h of scalI-scale rural projects ~e propose to address our inquiry

to the following specific questions

1 To what extent and why co local political leaders seek to establish s~~l-scale develop~ent projects within their co~unities

2 To what extent and ~~y do local leaders other than politicians initiate andor provide leadership for s=all-scale developm~t projects

3 Bot do the relations bet~Jeel different types of local leaders (political and non-political) and bet~eeo these leaders and central gove~ent civil servants posted to the rural areas affect the conduct of develop=ent projects

4 How do existing authority ~eLationships between these different leadership grous and the rural pub~ic affect the organization and operation of s~l-scale develop~ent projects

- 12 -

~

5 lhlt is the nature 0 pclgtlic participation in the establishlent and operatio~ of s~l-sclle projects and ~hat are the outcc=es or this participatioe Gucer w~at conditions is such participation ~ost likely to occur

We seek a~swe=s to t~cse questio s L order to determine the effect of

different co~iigurations of local leadership and public participation on the

outcomes or small-scale rural projects te are particular1y concerned with

the ~pact of these configurations on the rate of econocic growth and the

distribution o~ rIGSlth ithin the loal cOlllUlity ~ on the perce~tions of

s~ll-scale proj~cts by central govern~ent per~oncel and the rural public

anmiddot on the organiation or flture projects

To a~swer these que~tions it is oar intention to study the initia~ioD

izJple=enation ald i1lpact of a salple cpound small-scale rural projects in

Kanya Korea and Turley in the sae cOllities in which we carried OU

our initial icvestigations ~ 1973-75 Tne relationships between the -

various conf~gurations of local leadership and public participation and

the three phases of project develop~ant are sho~ in Figure 1 We will

exa=ine projects to pro~ote the adoption of new agricultural techniques

by s~l and moderate landnolders the building of feeder roads irrigation

ditches and other s~ple infrastructure the organization of fa~ers

cooperatives and other local associations concerned with rural development

the establish=ent of rural health clinicS and schools and the setting up

of craft and service industries

Sites for Study

We plan to return to our original set of localities because we possess

a rich body of relevant data on the extent to which linkages exist between

Figure 1

TYPES OF LFLUEXCE OF C2r~ middotGOVER1iEXT OFFCIALS

LoCu LEADERS 0 THE RURAL PUBLI-C OX THRr~

PHASES OF RURAL igtEVELOPHET PROJECTS

r----------~J C~ltral Gover1~nt Official)-N------- - J

r- Local pOlitical leaders

Local non-political leaders

~l 1---- -

ROJECT nITL~TIOS

Influ~ce on selection of projects

InrI ~elce on location of projects

Influence on policy guidelines for proj eCl

Il

I

a

I I

-I PROJECT I~L~~iATIO~ ~ 1

j Project Organizati I Selection of project

leadership

Hobilization of resources

Mobilizatiol of public compliance with project require=elts

Diffusion of project innovation

Rural Public

I

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1 ROJECT IMPACT

Organization of ongoi=g project operation

Distribution of project benefits

Evaluation of project

Public attitudes toward project

-middot14 -

these areas and t~c central p~litical institutions of the three co~tries

and on the attit~es of the rural populacioc local leaders and elected

legislators regardi~g their problecs of develop~~c Since such data

is unavailable for alternative locales a return to the areas in which

we have previously done much research ~ables us to build on a uniquely

valuable body of icformation

A return to Kenya Korea and Turkey is also highly desirable from

the standpoint of effective research organization The Comparative

Legislative Research ~enter has developed close collaborative relationships

with several highly competent social scientists in these countries and

with the academic institutions with which these scholars are associated

We have also dev~_oped cooperative relatio~ships wi~ gove~ent officials

in these countries which should facilicate obtaining approval for our

further work

In proposing to doc~ent the origin i~pl~entation and impact of

one to three s~ll-scale develop=ent projects in each of 35 localities

we have two considerations in mind Firstmiddot because our pr~ry goal is

to deter~e the political conditions for rural developm~Lt we wish to

examine develQ~=ent in as many different settings as feasible Only in

this way can we control for so=e of the major socio-cultural variations

that erist along rural populations in less developed coultries These

include the overall level of econo~c development in the co~unity the

nature of t~e ~digenous culture an~ relationships of authority and the

pro~ty of the comounity to major urban areas and centers of central

gove~nt ad=inistration ~ce our original study sites were carefully

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- 15 - ~ ~1

selected to represent these variations ye have concluded that these

35 localities woule be ideal sites for the propose~project Second~ in order to dete~~~ the ~pact of local leaders and public

participation o~ ~ural projects we intend to compare projects 1n which

local leaders and ~ecbers of the public have played a major ~ole with

projects in which they have not We also ~l cospare projects initiated

by the central gover~ent with projects Yhich have been locally initiated

These considerations give us a typology for selecting projects as depicted

in Figure 2

Figure 2 ~

FIVE TYPES OF RU~AL PROJCTS ACCORDIXG TO ~FLUEXCE OF CEITiW

GOVE~1E~T LOCAL LEADE~ AD RLRAL POULATIO~

Level of Participation by Rural Population

Locus of Project Initiation ~

Local Co=unity Central Governoent

BIGd

LOt

1 Projects initiated by local leaders and providing for participation of the rural ~opulation

4 Proje~ts Litiated by local leaders bu~ not involving participation of the rural population

2 Projects initiated by the Central Govern~ent and administered i~ cooperation with local leaders a~d the rural population

3 Projects initiated by the Central Govemlent and providing =or the participation of the rural population but by-passing local leaders

5 Projects initiated by the Central Gover~e~t a~d administered in cooeration Yith local leaders but not involvi~g parti~ipation of rural population

- 16 -

We recognize that the socio-cultural setting of rural develoment

projects varies significantly within and across less developed countries bull

By focussing o~ a representative sa=ple of localities ~ Ke~ya~ Korea

and Turkey we can take account of naoy~ though not all of these variations

While some of our substantive findings will not be directly generalizable

beyond the countries in which we propose to conduct our study we expect

that our basic ~ethods and fLdLgs will be applicable to national and

sub-national settings elsewhere in the developing world This is partly

d~e to the fact that the hierarchy of patron-client relations ~hich we

regard as a critical factor in rural develo~~t exists in ~ost Liles

--It is also due to the fact that the methodology for identifying local

bull leadership configurations auG poundor studying local politics which we are

perfe~ting can be used to assess local political co~ditions in a large

variety of countries even when the ~nditions themselves differ significantly

Methods of Investigation

The data needed to assess the iDpact of local leaders and mass

participaticn on rural dev~lop~nt fall into two categories Some a~e

contained among the data gathered for the research project we are currently

completing Others will require additional field research

The following data are already in hand

1 Data on the social landscape of each loc~l co~nity i~cluding aggregate data o~ level of econonic development de~graphic characteristics political pa=ticiation eth~ic loyalities and rates of socio-econocic change dur~g the past decade bull

2 Identity of local leaders including both political and I-on-political leaders and both legislators and other politicians

3 Perceptions of existiag probl~ and their possible solution a~ng

l)tS r AVAilABLE DOCUMENT

- 17 -

general public local leaders and civil serv~nts

4 Level of political kno~ledge among local citizens and local political leacers

5 Political and social values a~ong local ci~izecs and local political leaders

6 E~~ectacions of leadership roles among the local public and elected and non-elected leaders

7 Patterns of co~unication ~ong local leaders and between local leaders and the central gove~e~t

These data ~hich ~e already have in hand can be subjected to analyses

which ~~ll provida the foundation for our further work on rural develop~ent

projects A part of our work therefore will consist of fu~ther analyses

of existing data

New data of the following kinds are also required

1 Doc~entary data on the origin and evolution of particular smallshyscale develop~cnt projects in the rural areas

-2 Data on project costs boih ~itial invest=ent and recurring

operating costs and data on project ou~puts ie pupils in schools Ddles of road coopleted nl~ber of hospital a~ssions production of factory agricultural productivity

3 Data on project organizatio~ n~~r of local inha~itants participating in establis~~ent of projectt nuober of local L~habitants subsequently involved in project

4 Data-on the pe-cetion of projects by local leaders emers of the local public a~d by civil servants data on the perception of how each project ~as initiatec organized who benefitted and what its future implicatio~s are

These types of data will requ~re field work involv~~g both docucentary research

at the relevant ~istries of the central government and in local goverr~nt

authoritieS and inforoal open-ended interviews with local political leaders

elected representatives and other local leaders who~ we had previously ~

interviewed in a s=uctured syste=atic =aoner

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- 18 -

Grant Organizatio~ and T~etable

We propose co undertake the research outlLled above beginning in the

fall se=ester 1977 Dur~g that te~ Professors Barkan and Kim as

principal investio~tors for the neo1 proj ect will contact their collaborators

in the host co~~tries They ~~ll also seek the collaboration of an additional

~rican scholar specializing in rural development with the aic of getting

additional advice on sources of data and suitable indicators for the

~easure=~~t of rural develop~ent projects

At the end of the fall seQester Professors Barkan and Kim will make

a trip to their research sites to disc~s details of the research organization

with their collaborators in the host countries and to recruit student

assistants Tney will devote the spring te~ 1978 to further analysis

of a~sting data at the University of Iowa

The gathering of additional dita L~ the field will begin in the s~er

of 1978 Professors Barkan and Kio will direct this work personally We

eAect that its coopletion ~~ll require three to six months This work ~1

involve the evaluation of central and local gove~ent reports on the

projects uncer investigation extensive on-site observations of the projects

and oen-e~ded interviews with the principal participants Our principal

respondents ~i1l be the local leaders and elected representatives we

have previously identified in the localities in which we have worked and

a sacple of active participants in the particular dpvelopment projects

being studied ~~ere necessary and apropriate surveys of the general

public will be uncertaken to assess the inpact of a given project on the

rural por)r We do not however leed 0 conduct systeAlatic sample surveys

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- lY -

of the rur~l population as We did in 1974

In the organization of this research project we intend to reconstruct

the rese~rch tea=s ~e e=ployed during 1973-75 We shall again seek the

co11abo=~tion of P~ofessor Sc~~S-7o~g Pai of Seoul National University ~

Professor IIiCr Turan of the University of Istanbul and Professor John J

Ok~u of the U~iversity of ~arto~ S~ilarly w~ contemplate directing

the field research fro~ he same acade~ic research organizations we previously

used Seoul National U~ive~sity th~ ~~iversity of Istanbul and the

Insti~ute for Develop~eut S~udies University of Nairobi As before we

will tra~ students f~oo these institutions to serve as interviewers

The analysis of the open-ended intervie~s and of docUQentatio~ on

I ~ural develop=e~t projects will be a ~ore t~e-co~s~g process than the

analysis of closed intervie~s It will reqrire a high cotnittl~t of time

fron the principal investigators )e e--pec to hold a conference at the i

U~iversi~y of Iowa 3lO1g all the principal )clticipa~ts in the resea~ch

project d~=~g t~e spr~g 1979 to evalua~~ the newly collected data

le e~ pect to be able to vr-ite reports of t~ results during the Sl1~er 1979

(see Figre 3)

IV LlX-GS ~1) U~ILIZATIO~

At the e~d of the grant period the Uti ersity of Iowa will be able to

1) advise the Agalcy 01 the design of s~l-scale rural projects to assist

the rural poor 2) provide guidelines for social soundness analysiS of

small-scale projects for the rural areas of U)Cs 3) consult w~th the

Ag~tcy 01 the evaluatiol of rural projects ~d 4) provide LDe governments

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)ATES

~lll

1977

~inter 1977

iprilg 1978

il mer 1978

~all

1978

ipr~ng

1979

Imiddoter 1979

University vf Iowa

Plutlning of rural develo~rent project

Barkan Kil

Alalysis of existing data

Barkan Kia

Data processing

3arkan Kin

1

I

- 4 -

Figura 3

GRAT TLfETABLE

SIT E S

Kenya Korea Turkey

Preparation of field research ural developH~lt project cOlisulta~io~ a research sites

BarkanOku=u Ki~Pai Tura~rkanKi~

Preparation of field resea-ch

Tural

Field research on rural cevelop~~t projects Bar~lOk~u Ki=Pai Turan

Co=pletion of Co=pletion of field resear~~I~ fiald researcr

Ok~u i Pai bull

f Coopletion of field research

Turan

Data analysis conference a~ong all princial i~vestigators at Un~versity of Iowa Barkan Kil Oku=u Pai Turan

Co=letiol of r~ral develop~ent

project

3arkan Kiz

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I

- LL -

~ith speciali~cs o~ ru~al developcect ~mong their own citizens ~ho ha_

partcipatcd ~s collaborators in the Iowa projects

In the proposed project we Will test a series of hypotheses cOlcerning

the political cOllditions of rural develo=ent which run counter to CODOn

assuoptions conccrnir3 t~~ influence of rural politics on project effectiveness

As a result ~e ~dll be able to assist the Agency in designing and evaluating

such projects froe the point of V~~W 0 their political viability The

hypotheses We will test sugges~ t~at the patron-clie~t relations existing

in the local politics of zost LDCs are not necessarily i~pedients to rural

develop~ent but are aspects or the political structure which cal be used to

facilitate s~ll-scale ru=~ projects which will raise the standards of

living of _ ~ rral pomlation - As ~ result or our stuey we expect to be

able to P~-O~t the local leadership confi5~rations ~4d the relationships

between local leaders ald rural poclations ~nich are oost conducive to I

successful develcp=en efforts We believe that we will be agtle to perfect

a cat~odology for identifying the political conditions for rural develop~ent

one ~hich is transferable pound~oo the countries we have specialized in to

other LDCs

We proo~ to develop specific guidelines to assist administrators

charged with selecting evaluating and =onito~ing rural develop~ent

projects to ~szess t~esc rojects in tares of their-social and political

viability he outco~e of such projects is dete~ned not only by the

efrectiv~nass ~~=h ~hich they use scarce econo~c resources but by the

~~er L~ w=ich they e~gage the suppprt of local leaders and rural

po~ulatiocs~ by thei= effect ou social a~d econo~c equality ~d by

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- 22 -

their consequences for hwan rights ~Je plan to establish criteria by

middot~hic~ the probable outco~es of projects in these social terms can be

anticipatec

The study ~e propo e will be undertltlken by faculty at the Cniversicy

of lowe in collaboration with faculty a other ~rican institutions and

institutions in the host countries We will build on the extensive contacts

between the Co~perative Legislative Research Center of the ~niversity of

Iowa end other instituions with ~aich ~e have worked One =ajor result

of our collaborative study will be the existence of a net~ork of compe~ent

scholars both in this country and overseas experi~lced in ~orking together~

shar~g a co~on teaching and training experience i~ close contact throu~~ the

effective publications progr~ developed by the Co~parative Legislative Research

Center T~e e~~ertise of this group of individuals will be ava~lable to

oteer scholars to the Agency and ~o L~C governments for specific policy

advice The eXertise developed as a consequence of this project will

extend beyond the ~tionals of the countries ~volved since the univ~sities

engaged in ~e project attrtct stude~ts fro outside heir own countries

For ey~=ple the teaching ~d research progra in the Depar~ent of Political

Science 0 theUniversity of Istanbul heavily affected by the participation

of its facul~y ~e=bers and graduate students in our projects attracts students

throughout the ~middot1iddle East for Whom the University of Istanbul is the iajor

institution ~pound ~igher education in the region rne Institute for Developmen~

Studies is si=ilarly a focal point for students and faculty in East and

Central Africa Seoul ~atiocal Unive=sity attracts students froo other

Asia~ co~tries~ In this way the capability developed among the participant$

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- ) -

in our work is diffused widely To the exte~ that the abili~y to assess

rural develop~ent p~ojects in teres of their social soundness is increased

both in the United States and in ~o~~tries r~ceiving develop=en~ assistance

the cap3~ity of racipien~ countr~es to absorb aid is ~creased

We propose to draw up an inventory of personnel available in ~~e

Cnited States and in other co~~tries who are able to consult with developen~

a~nistrators on the design of rural development projects and on their

evaluation We ~~ll draw first of ai~ on individuals w~o have been

directly associated with our ~ork in the past or on ~he proposed project

and ex~~~d the list to include graduate students and gove~ent officials

with who~ these individuals have wor~d

tole Yill utilize tha existing publication program of the Center

dercribed above to disse~inate our findings The Center has specialized

oailing lists of interested individuals and institutions in all parts of -i

the world and its reports can trerefore reach the ~st relevant audience

jirec~ly ~d re~~arly

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CONTRACfjGRANTCOOPERATIVE AGREEMENT DATA SHEET

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PART fA

ConU3lttorGranrce Name

University p~f~I~o~wa~ __ -r~ ____ ~~~~ __________ -~~ __ ~~~ ______________ ~~~~ Plorr Numt-er ApptopriJtion Number Allotment Number Project Number

930-0090-3Q13411 A5 72-111l0216 146-30-099-00-20-11 930-0090 Project Title

So~ia1 and Potitica1 Aspects of Development - Conference to Report Research Findings Amount of this Plorr I Projecl M3nagers Name and Offire Sytlbol

$10397 (increase) PDPRCP Jonatlan Silverstone Contr3ctors D-U-N-S Number

Ncgwatocs TYJlCd~3meJ j) Signature I l ~ jIf- bull G HtJ--ft u l IVmiddot

D~e

L - f - J ContractGrant Officqs typed Nailllt Signalure LJ d I -r-

plusmn t 3i-alflpta (( BLvle~ 1 I~ PARTm

ContractGranl Number

AID CSD-3294

Effeclive Date of Docum~nl Signalltre D3t~ of Documenl

Lf---C yen-~-gl tIost Courtry Institution (U iwrsity contract ONL Y)

Campus Coordinator (Uniwr ty i contract OiiL YJ

PART UL Descriplion of Cor-tractGrant P1use X ONL Y ONE item under each headiZg IF THEltrease CifYmC~e bolh ges I 30~~ O~ Nol to be completed for Amendmenl or Modlfic3lion AJigtns I III

J 710gt I I V ~ I

MOl - TYPE ACT A~ 0 G unsolicited Propsll (AIDIR 0 C Individual (Non-pe~nal senice)

~ O Cortra lGrantl ooperative Agreemenl 73101-SO(b)(6raquo 0 D Individual (ftrsonal Service)

tJl T3sk Order ( A)middot 0 H Procurement 10 be Perfocm~d by the Conmiddot 0 E UniversilyOther FAuC3lionailnSlitulions

D 2 Work Order (IQC) Ira~lor in Person (AIDPR 0 F Non-Profil Organizationlnslitutions (other

D 3 Delivety Order (Requirements) 73101middotSO(b)( Iraquo than Ed or PVO)

[j 4 Purchase Ordcr [J I Sole Source (AIOPR 7-3101-SO(b)(4)) 0 G Private Volunury Organization (PVO)

If I 2 or 3 1Lle an ~ compllle M 12 ON Y D J Imp3irmenl of Foreign Policy Objectiws 0 H International Agricultural Research Organj-

M04 - CONTRACTGRANT TYPE

o O MOA (BOA BMA etc)

o I Fixed Price (Specify fFP FPRD FPEPA FPI) _____ _

(gtIDPR 7-31 OJ SO(b)(7raquo

OK B(a)5eJection (FPR 1middot1713-1)

o L Grant iH1ndlOok 13)

o M Do Nol Ue

D 2 Cosl Reimburemenl (S~cil) CR CPFF 0 N Cooperative t~reement (Handbook 13)

CS CPAF CPIF) ~ 0 O Small Business SeImiddotAside (FPR 1middot1706-8)

o l Cooperative Agreemenl ~ 0 1 Overseas Procuring AClivilies (AIDPR

04 Grant Gener31 Supportmiddot 0U ~ 7lIOI-SC(b)(2))

o S Granl - Specific Support ~ ~06 E SER VICE

g ~ ~~t ~~(d) ~~ ~~ ~ eci~a~~~~~ogram Projeci

o amp IQCs ~ ~ relampted excepi A amp E Services)

o 9 Host Counlry ContraclGrnnt 5lJ C amp E Services

middotComplele ONLY through ~Sl ~~ 0 D Construction

M05 SELECTION PROCEDURES 0 E- Reseuch

o A Formally 3dverliscd (IFB) (A1DPR 7middot24 amp

FPR 1middot24) ~ o B Negoli3ted Price Compelilicn Gencr31

Procedure (RFP) (-JDPR 7456)

Dc A amp E (AIDPR 7410)

0 D Ed Inst andor Inl1 R~arch (-JDPR

74 5)

o E Collaboratoe Assisunce (IDPR 7458)

C F Predominant Capability (IOPR

73IOI-50(b)(l)

AID 1420-49 (179) - Page I

D F Technical Services to AID (other than trainmiddot

ing usually o~ating expense)

D G jraining SetVice for AID

o H Equipment Materi3J~ Supplies Commodities

D I Translation Service

~07middot TYPE CONTRACTORGRA-nEE

o A Firmmiddot AU profil-rn3king fUms (other than

Aamp E)

J e A amp E 8r~

zalion

o Public Inlmlational Organizations (UN

Agencies ICRC Wocld Bank elc)

(H8 J 3 Chapt~ S)

M08- TYPE AW~RD

o A S8 Sel-Aside - Awarded to Non-Minority

o B S8 Set-Asidemiddot Awarded to MinXity

o C_ S8 NOI Set-Aside - Awarded to Non-Minority

o D S8 NOI SeImiddotAsidemiddot Awarded 10 Minority

o Eo amp(a) S8A Awarded to Non-Minority (Womerl-

Owned Veterans etc)

o F 8(a) S8A Awarded 10 MinorilY

o G Personal Sen-ice ConlrdCt bull Non-Minority

o H IeJSDnal Service Conlract - MinorIty

o I Individual NonmiddotPersonal Service Contraci -

NonmiddotMinority

o J 100Jigtiduai NonmiddotPersonal Service Contracl -

Minorily

o K NOI Small Business (Univ NonmiddotProfit Large

Firms) Non-Minorily

o L- NOI Small 8usineSl (Univ Non-Profit Large

Firms) Minorily

o M US Govcrnmlnt

(Connnued on Page 2)

BEST AVLABIE DOCUMENT 1 I

--

ua ) R I GI NAL 9 bull

MODIFICATION or GRANT PAGE 1 of 2

AH 1 2 Effective Date 3 Grant No 4 Effective Date

Amend_at Ro 5 April 15 1981 AIDCSD- 3294 8-11-71

-s CRANTEE (Name and Addrea) 6 Administered by -Professor Gerhard Loewenberg -Office of Contract Management Cbrnparative Legislative Research Gente Central Operations Division Dept of Political Science am Branch University of Iowa Agency for International Developn~nt Iowa City Iowa 52240 Washington D C 20523

7 PIO No 930-0090- 3013411 A5 8 Previous PlOTa -

Appropriation No 72-11110216 93i-1l-995-l36 930-11-995-136-73-3078103

Allotment Symbol - 146-30-099-00-20-11 wunt Obliga ted by this ~ndrnent - $10397

The above numbered Grant is hereby modified as follows

1 Anotmt obligated prior to this rurendment 2 Amount obligated by this amendment 3 Total obligated anount (1 amp 2)

Delete the amJmt $465000 and substitute in lieu thereof the ammnt I$47S 39-7 ~

FUNDS AVAIrABm

~~ - APR 13 1981

PrO~A~~5iors

$465000 $ 10397 $475397

OffiCE Of fIN~(1 ~~rE~E~T __ _ 10 This amendment 11 entered into puruant to the authority of the Forelgn

Assistance Act of lS~l as amended Except aft hereln provided all terms and ~~ndi~ons nf the grant rcferpnccd in Block 13 remain unchsnged and in full force and ~ffcct

11 original and six Crantee 18 requlred to aign thh document aad return 1- eopics to issuing

ffiee

~~~ or printed) BUSINESS MAHAGR amp bull

Tille TREASURER

UNITpound) STATES OF AHERICA AGENCY FOR INTERNATIONAL DEVELO~NT

BY_-1(1o-_1lt--= 13middot~_1_~ __ K R B1uteau

(Name typed or printed)

Tltle~ ____ G_r_a_n_t __ O_f_f1_c_e_r ____________ __

D3tC APR 2 J 7997 Dolt 9 APq 1981

BEST AVAILABLE DOCUM NT ___ 0 HLGlNAL - I 1 J 1 ~ )

- 2 -

AID ftmds in the am)tmt of $10397 are hereby provided for the activities lmich are described in your proposal (including Budget Stnmnary) entitled CDnference to Report Research Findings on the Study of Political CDnditions for Effective Small-Scale Rural Assistance Projects in Kenya Korea and Turkey dated February 17 1981 and made a part of the Grant b reference

BtTDGET StMMARY

Line Item

Travel

Per Diem

Other Direct Costs

Less existing 211 (d) grant funds

Total Amount Obligated by this Amendment

Estimated Costs

$ 5888

5100

_ 2500 $13488

_ 3091

$lO39

Note Indirect costs or $395086 associated with these activities will be contributed by the University of Iowa

BEST AVAILABLE DOCUMENT

~RIGINAL

- CONTRACT IGRANTCOOPERA rIVE AGRElEMI~ SERC~SDSlP Actio) Monitor

SERCMSDSUP Action Office

I

INSTRUCTIONS AJDW - Complete 4 copit of tlh fonnmiddot Orisina iCMSDfSUP Sutistical Section COP)middot Copy 2 SERCMSDjSVP Administrative CoP Copy 3 Cont-acting Officers COP) Copy 4middot SOSUP Admin (Susptnse) Copy Missionsmiddot Complete 2 copies of the form or~aI SERCtSDSUP Statistical Section Copy and Copy = wiU~ retained in the Missions

0 PART IA

Effective Date of Document tJ

Delivery Order (Requirements)middot

o 4 Purcluse Order

bull If I 2 or 3 have an bull X compl~te M I 2 ON L Y

M04 - CONTRACTGRANT TYPE

o O MOA (BOA BMA etc)

o 1 Fixed Price (Specify FFP FPRD FPEP FPI) ___ _

o 2 COli Reimbursement (S~cifY CR CPFF CS CPAF CPIF) ______ _

o 3 Cooperative Agreement

o 4 Grantmiddot General Support

o S Grantmiddot Specifi Support

o 6 GraDt 21 led)middot

o 7 Do Not Use

o amp IQCs

o 9 Host Country ContractGrant

middotComplete ONLY through M 5 1

MOS SELECTION PROCEDURES

o A Formally advertised (IFB)(AJDPR 7middot24 amp

FPR 124)

o B Negotiated Prire Competition General

Procedure (RFP) (AIDPR 7456)

o Co A amp E (AlDPR 4 I 0)

o D Ed Ins andor Intl ReStalch (UDPR

7457)

o E Collaborative ASSistance (AIDPR 7458)

o F Predominant Capability (AIDPR

7-310l-50o)(3)

AID 142049 (1-79)middot Page J

o H Procurement Co be Performed b~ the Conshy

tra~tor in Person (AlDPR

7middot3t OI-SO(b)(Iraquo

o I Sole 5gturce (AIDPR 7middot3101middotSO(b)(4raquo

o J Impairment of Foreign Policy Objecdv~

(AIDPR 7middot310 ImiddotSO(b)(7raquo

o K 8(a) Selection (FPR 1middot1713-t)

o L Grant (Handbook J 3)

o M Do Not Vse

o N Cooperative Agreement (Handbook 13)

o O Small Business SetmiddotAside (FPR 11706-8)

o P Overseas Procuring Activities (AIDPR

7middot3101middotSO(b)(2raquo

M06middot TYPE SER VICE

o A TtJining of Participants

o B Technical Assistmce (Program Project

related exc~pt A amp E Services)

J C A amp E Services

0 D COltl~ruction

0 E Research

0 F Technical Services to AID (other than trainmiddot

ing usuaU Y operating ex pense)

0 G Training Service few AID

0 H Equipment Mat~rials Supplie~ Commodities

0 I Translation Service

07middot TYPE CONTRACTORGR TEE

Firmmiddot All profitmiddotmaking fu-r1s (other than

AampE)

o 9 amp E Firms

I Prcct NumbcT

I

Contactors D-U-N-S Numbcr

I) -S--f(j

o C Individual 0-lon-~rsora1 service)

o D Individual (Pet-sonal Service)

o E University lOt her EduCltionaJ Institutions

o F Non-Profit Organization Institutions (other

than Ed or PVO)

o G Private Voiuntary Organization (PVO)

o H International AgricultwaJ Research Organmiddot zation

o I Public International Organizadon~ (UN

Agencies ICRC ewld B3J1k etc)

(HB J 3 Chapter 5)

M08middot TYPE AWARD

o A SB SeImiddotAsidemiddot Awarded to Non-Minority

o B SB SetmiddotAside bull Awarded to Minority

o C SB Not SetmiddotAside - Awarded to Non-Minoril)i

o D SB Not SetmiddotAside - Awarded to Minority

o E ~a) SBA Awarded to Non-Minewity (Womeli

Owned Veterans etc)

o F 8(a) SBA w-rded 1o Minority

o G Personal Service Contractmiddot Non-Minority

o ~ Personal Service Contnct - Minority

o I Individual Non-Personal Sence Contractmiddot

NonmiddotMinority

o J Individual Non-Personal Service Contractmiddot

Minority

o K Not Small Business (Univ Non-Profit L1lge

Firms) --vn-Minority

o L Not Small BUSiness (Univ NonmiddotProfit Large

Firms) ~inoriy

o M VS Government

(Continued on Pcge 2i

t bull - t ~ J f q

ORIGINAL bull MODIFICATION OF GRANT

1 2 Effective Date

Araendllent Ro 4 12-2-80

s CRANTEE CHace and Addrels) Professor Ger1ard Lo~middot enbelg Comparative Legislative Research Deartment of Political Science The Lnivp-rsity of Iowa Iowa City Io~a 52240

7 PIO No NI A

Appropriation No 72-11XHl26

Center

Allotment Symbol -426-30-099-00-3~-71 Amount obligated by this urendment-O- I

3 Gnnt No

AIDcsd-3294

PAGE _____ 1 _of-L

AlI 4 Effective Date

8-11-71

~ Admlnlltered by -Office of Contract Management Central Operations Division OTR Branch Agency for International Development Washington DC 20523

8 Previous PIOITs -

931-11-995-136 930-11-995-136-73-3078103

9 The above numbered Grant is hereby modified as follows

Supplement to Grant

Change the duration period sentence to read

The Duration Period for this Grant shall be August 11 1971 through December 31 198]

1 Amount obligated prior to this amendment $465000 2 A~unt obligated by this amendment -0-3 Total obligated amount (1amp2) $465000

----------------_- - ------- ----_- ------ 10 Thh lImcndmcnt is entered inlo punuant to the authority of the Foreign

~ Assistance Act of 1961 86 amended Except a~ h~reln Z II provided all terms and condi tions nf the grant referenced in Block 3 remain ~~aunchlinged and In fu1l force and effNt cnltUI cJ)za 11 o 4 J bull

Et~ ai~a gtUoItshyc Z P=u

original and six Grantee t requi red to sign this document and return 1- eopies to 1Bufng

office

~ 12 GRANTEE TES OF AMERI CA

(Name typed or printed) bull

TJlle Director Comparative Legislative liecearell CeQtoQl

Date 12880

------------------------------------

ONAL DEVELOPMENT

By ----~--~~~~---------------------

prinled)

Grant Officer Title --------------------------------

J)oll( 12-2-80 -----------------------------

BEST AVAILBLE DOCUMENT i je

Page 11: PD-Ar3T Cr(~

- 8 -

cevelcged c~lt-ies Smiddot~yemiddotl such projects core already uoer ~middotay

and 3y potetial ss~cetes ~ave been identified and thei ilterest~

211 gtarticipeting i1 t~e ~Cglar1 ascertained

He -resc1t ge~sc-~el a1d acilities of the University of Iomiddotro

plcvice a very st-cre basis for the research atJd training programs

~rnich ~middote a~ ~rc9~3L1g -fmever the further development cf legislative

suCie3 ali a pec~ent streugthenLlg of ~he progrun of Iomiddot ~ is a major

a oes3icral Demiddotmiddotelc~ Galt fur~ds will be uSed by the

LT~iersit2 c la= ~ icreasing te nUbe of faculty specialists in

cClJses ir sjcts elated to the subject atter Specificallr grant

fuimiddotis dll ce usee to ac3 one pernanent faculty Uemoer in roliGical

scienc~ ~middotit s~ecia iltcests b legislaive beh3vior ald political

dloYl-nt a-o 81 a29 cmiddot-petence in Ardcan pclitics and to bring

(lculy -emiddote-s fro less ceveloed countries to spend a peri cd of time

at the TJ1 i si ty o~ Io~middot adine sechtl expertise to the ~od~ at Iowa

other middotisosel -~ i_ le irol1ght to IC~ia as needed to support those nO~T

or --18 fc~~ti r~lt 7ds ~rill also be ilsed to finance data collection

exlts-s ~) t~-e res~imiddotch iork of tte acult the Associate scholars

BEST AVAILABLE DOCUMENT

1~ II

- 9 -

cesigned tgt trrtin US and foreign-born st1lcents in le6islati-~e rese=z-cndeg

Sttde1fs ~dll be tdTi tted cr11ally to 9 proeragt iihicn ~iould irclude a

tro~ot~h grounding in the r thods of cczparative aralysis the S1ostance

of conparatie politis g-mel31ly end the corrparative studJP of

legislative behavior in 9articulal The Uni-ersity intends to associate

tnese studelts directlr - rith research in Ttlhich faultr 2Cbers are

engaged to encourage thea to dra- U90n the skills end resources available

in this field il ra1Y departnents of the University to enable them to

spend up to one year in field research and to have thel4 snare their

findings middotrih their stmiddottidei~t and faculty colleagues Tle prograII will also

involve foreign scholars middotno are expert in the legislative process of

t3ir o- n countries in the tcaciing fgtimiddotogren both by holding -fisHing

a=point~elts at t-e University of Ioc1d by sUgervisi~g field research

c R d - t- ~ 1 rec C~ of Esta~lis~ed Scholars Tne University of Io~~

plals to extend a1 in-itaticn to seieal foreign scholars duri1g te

gle1t p2riod to patici~te in a coparative legislative researc~ seirar

duriig their visit Their plrticipat~ion middotrill edd 3 lL1iqte diiensicn to

the seiiral hceuse cf theh ~1o~-rlecge of the legislature in their own

C01-try BCmiddot2~ J1is Gemilr -ill be dealing -lith the nos-G current

reseaCIJ o~ l0~ ~ltmiddotJres as ell as discussine desigs for reseach to

fill in cowleuge of legis1timiddotre 1ehclicr -re believe

tret it ill be a l2~lilg experience for all the pclticira1ts--incltcing

BEST AVAILABLE DOCUMENT 1]7

- 10 -

Ima rill lOrk collcboratively ~ith the fOrsig1 5cbolars to design a1d

carry out P reseach pruject These projects Till cc~tribute to the

retlaininB of foreign scholars and nill also add to cur mmiddotm and8rstanding

d Research The 9rinciplI enphases in cesenrcl rere cutlined in

Section III above ie to focus en con-9arative studies in iihich

legislative cehaviol can be helpful in explaining the scope of politics

the style of governcent a1d the legitinacl of regiles Variables hich

will be studied Iost closel~r ircluue tbe persistence of institutional

norms in the legislature oyer time the relationship o~ the legislatue

to ether institutions in fornirg public CC1Cepticns of politics and

the histOl~ical context detelini1g public expectations of the 12risleture

This resea~ch nag both academic and practical objectives

Academically it promises to tie legislative behavior research to other

major concerns L1 pcliti~al science such as research on systeJ stability

and paricrJance Its general substaltive eojective is to assess the role

wtlichlegislatures Illay L1 determining the capability of political

s~lstems especially their ability to deal ~middotith soCial change

Vractically the stu1y ~y offer guidance to polic~Y-Dakers on

t~1e role ~ hich legislatures rray be ~lI-pected to pIa)- in neimiddotrly established

political systelt ald on ~hc efcrrrs in established legislatur~s -Thicn

rray be required to achieve specific syste~ effe~ts The study ~dll

Nquire the assccioticn of rembers of legislative staffs a1d 2cademic

colleagues in the s~eLal nations lmder nvestigRotiop plovidirg training

fot ~ll r)f them i1 leeis1ntive re3Clrch ~ri facilitating a valuble

BEST AVAI~BLE DOCUMENT

ll-

of Iml3 ~ill LS~ glmiddot~t f~ds t~ estaolish a data archive to begin to

bring tb~ edtirg legi31ati--re studies tog3tller at a single locaticn

end to =afe t~e ac~essible to tie grc~ring m~er of interested

scholars in t~i3 field PerSCIlllel of tbe Data Archive ~rill searcD

broadly fo all a-reilable data on legislatures in the possession of

ildiviiual researc~rs i11ese data sets ~-Till be acquired refo~atted

for ease in alelrsis a1d stored in Archive Tne Archive ~~ll

asserble tie etel~ Gata O legislative organization ald procedure the

socialization ~~ recruite~t of lzgislators legislative decision-

makLg pccesses 2d legislative outputs To facilitate access to

the data a ~middote-riemiddotrlt11 syste middoti111 be cesigned that will 2011001 r-=searchers

to find ~iccJ ata sets that c~mt2in inforration lelefalt to their

researc1 po)2e5 RibEcg-aphic citation3 cnd abstracts of research

reports on le~i51e-imiddote oebio ~~ill be gathered and a biblicgraphic

retrieval sys tC idll a Geielc9d to aid esealcJers

cooioinet-e1 ~~as n -ie are= of c~rarativa legislatile studies is

t~3t because 0 si~~e iJS in~ti tuticn ias tce necessarJ expertise

of ccrparati ve

1-=gislatiY2 tcie3 8forts of the most conrpeteat ace interested

BEST AVAIL~BLE DOCUMENT MCi I I yl

12 -

oz~ the tr)middote grantee institutions and otter associated scholars It

~ill ayise t~e pa1tee i1stituticns on SllC catte-s as roritorirg

activities at the t~re~ unive~sities~ evalu~ting rese~rch frr possible

=middotclication sJ--sidies rld ether ratters related to infor~atioTI

disse~~ation coordinating research efforts to avoid duplication

ecilitating excha1ges d sttde~ts ad faculty members ~-iitb foreign

nsti tutions i~en desirable tryi1g to till lacunae in cLIricu lUn

helJilg to arralge cmferelces and sy-posia and generally trJing to

9cote te ~eielcp~2nt of cOlparatile legislative stucies as a

Gra1t L~HS idll be ~sed to support the Univ2rsity of Io -a IS

nrticipation in tre AdisorJ Co-i ttee t1e developrrErt of conferenc=s

elsEfhere il the US arHl over3eas i1 relat2d facets of leeislaive sttdies

Edstng iersonJ~l al~d fa-ilities at the University o= 1oa previde

iaculty facliiies to aid rC3emc~ trailg aPd skill in 21c~ivaJ middotork

BES~ AVAIL4BLE DOCUMENT I

r ~-)

- 13 -

Six ITe-bers of t1e faculty of the Departent of Political Science

at the Unhe ity of Im-ia are presently engaged in legislative research

To merbers ot the Departllent of History are engaged in research on the

British Parlia~ent L~ the eighteenth ~~d nineteenth centuries Fer the

past six years an adv~~ced se~inar has been offered by ~embers of the

Department of Political Science and the Department of Histo~J on

comparative legislative behavior This exte1sive collaboration iiill

ma~e it possible to develop a fully inter-disciplinary program for the

students ~~d visiting faculty In addition faculty ~emcers in

Scciology interested in organizatien theory and in the College of Law

interested in legislctive processes provide furtber e-pertise ava_ilable

to students interested in tee study of legislative behavior The

presence of these specialists on th~ facult~r is reflected in the

excensive librarJ al1d otler data resources existing at Iowa in this

field

The Uniersity of Ima offers an unusually extensive program of

trainL~g in research methods Four ~e~bers of t~e Department of Politi~al

~cie1ce teach in the field of research nethods Courses jn statistics

ca1 be taken ill the Dep~rtents 01 Sociology e-d Educational Psycholcgy

Llis prcgr6l provides a verJ solid grounding il research training and

data analysis

bEST AVAILABLE DOCUMENT

e ~

- 14 -

Y labCrato~y for olitical Pesearch is the reseacc1 md research

tlairirg facility of the Departe1t of Political Sci-lce Gcadvate

students receivo extensive res~arch experience through 1or~ing in the

La oratory bull The Lacoratoy is also a1 integral part of the trainirg

o~feed in ccurs~ T~middotO~ for graduate students

The full-time sta~f of the laboratory includes a director an

assistant director a t-=cl1ical cirector a supervisor of study

t1hteen graduat~ students - rf1rk in te Laboratoy receivLLg teining i~1

~a~a collecticn ~~i data e~alysis Tbe facili te5 of the La)oratorltJ

icluoe a oard eJcerline printer ccnnected to the U1iversitys

dis~ and tape storF-ze for d~ta

The pogral of trailing ia coparative legislative reseC_cch ~ill

relr heavily en t LaOerltcLJ- for taching graduate stucents Visi tine

fc111tr lYe~bes iill be able to utilize tbe facilities cf the Laboratory

gt IOra ~as sFcial ccrpetence in prOCed~les for

ccq ter ogagtlizetion of d~ta Ja1ks ~d fOi the p~ocGssing of large data

sets as well as iJ the sttdy of naticnsl end st~te legisltllres Tile

BEST AVAILABLE DOCUMENT

- 15 -

Ile Univelsity of 10Ira will eadnister- the Grant thJotg~ its normal

a)1 iristrative char-l1els ad i1 Eccordance imiddotlith its ncrTal olicies and

operatirg procedures 7he Director of the gr~l1t-s~~ported program

Hill be a senior faculty eriOer of the Gniyecsity of IO~-ia -with extensive

expe~ie~ce in the subject field Associate Directors w~tb similar

qtalifications -aill also be appointed 7he Director- and Associate

Directors ~dll serve as eibers of t~e Inter-University Advisory CC1gtr)ttee

established to cooidinate _u bullbull ID gra1t-stpported programs at IOia Dul(e

lniversity a1d the University of Ha- aii Ll1 this field These relatiol-

ships are i~dicated in tee follc~dng a~inistrative organization chart

IX Ul~vsity Ccntri1uticn

T1~ ~h-ersity of IQ(a aSSures ALD that this Grant middotiill not

replace existing ftnds for STr current activity and imiddotrill be additive

to existing prograrrs of tCe lJniversity In direct sp~ort of this

Grat ttc University ~ill provide a) Acmi1istratile costs including

tie of senior officers of ttlt University b) Office ~ld research space

ald library and cor-puttr facilities c) Provision of a1cillamiddotCjr 1niversity

personnel -or consultation o~ ~middotjQrk nth the progral

X Reports end 5evie~-Ts

There i-ill be sub~itt-=i al arnual t2ctnical report for the purpose

of AID s revie- of activities under te Gant Tnis idLl include

a11 e-llation of prcsr~ss aidnistratve ar_c fiar~cial corsicer~tior~s

p~s cr tr foJlJ-middotire ear ~i disctlssics of the ossible l~lizaticn

BEST AVAJLIl8E OOCI1MrNT

~

- 16 -

A~~inistrative O~ganization

Ice Board of Regents of tle State of Im-la

-Iesicent of the University I

1 rOfcst Jf t-3 University

Den College of Liberal Arts

r Chailan DcptiEt of olitical ScieJce

Inter-G~iversity

Acisorr Corcittee

PcgrG21 Director Associate Progra~ Directors

Liaison Arcrge~~nts d ~h I I~~erested Plcfessiona1 I Perso~el j

I _

I 5cu1ti (full or PmiddotLG-tire l Asscci~tes a1d otllei non-Io~il

3ecip5ents of Gr3-1t stPPC1t Gr~cue~~e S t1~lcnts St2~retQi~S1 Data Lbed~1 31

Ln 18 r1icia 1

LO1t c~lce Factcj~1 ts

BEST AVAILABLE DOCUMENT ( ( V-t

- 17 -

of te eo17i~g cCpterce br A I D rLld ethers In addi tion there

aS3essr~ents of the gr31t

middot l ~ lI ~ _ _ _ co~~~r~~ing ~~iversiti~s md tne rrctitoring ALD office

7re l~yersity of Ie~middot~ budget of $26500 is to be deveted to the

cemiddotelgt~e~ of lstituticnal cefete1Ce in comparotive legisl~tiye studies

~t Iomiddota c t~ the exalsi0 ot a date b~L-lt ~ hich 1fill be utilized as

a ecle for icrec3ing te scope of tbe sub-specialty

T - 1 f 1 __ middotja r S Ctdget a9roxir~tly 33- has bee allocated to a

cemiddote Lp~l t rirc ipally C actlty re leased tirre for data ccllection

ai 0 3alres f~r i~~er-ieers in field research 3d secretarial

assi5ta1ce nCt2 11- of t~e Icmiddotre oudge~ is iesignated for an

ArCE_1 A~ite s(101a~middot 2d one 0 ore scnolals froQ LDe or

s1lllrt of greluate stucents in the

BEST AVAfLIlBLE DOCUMENT

- 18 -

Finally approximately 19 of the budget will be devoted to the

proposed data bruL~ that will archive not only data generated from the

research of scholars at Iowa Duke and Hawaii but also at other US

and foreign institutions Primary and 3econdary an~ses of these

data will become an integral part of ~omparative legislative studies

curricula The ability to utilize the data bank for teaching purposes

also should have a significant impact on professional preparation ofmiddot

future legislative specialists In summary the funds will be

allocated to research teaching and training activities tha~ are

entirely conson~~t with the philosophy underlying the utilization of

2ll(d) grants to achieve institutional development

Conclusion

The University of Iowa regards the research and teacbing components

of this program to be closely related an1 zrutually reinforcing The

University of Iowa offers a strong base for the pro~ram because of the

interests of faculty members here now because of their contacts with

scholars in this field in other Americ~~ and foreign universities

because of their experience with the international exchange of faculty

and because of the distinctive data gathering and processing facilities

available in our Laborator~- for Political Research The program which

we have formulated is designed not only to accomplish specific

research and teaching objectives but to contribute to the long-term

development of the University of Iowa in an area in which it has already

exhibited special interest

BEST AVAILABLE DOCUMENT

~ I) - 0

- 19 -

The program on Comparative Legislative Studies with support from

this Grant rill develop the capacity at the University of Iowa to

provide assistance under separate financing arrangements to developing

countries in a number of ways and through a varieiy of channels This

assistance which would be arranged for end negotiated separate~ from

this Grant may be in the form of technical assistance advisory service

training research and information exchange etc It will be available

by mutual agreement to appropriate agencies national and international

public private a~d mixed and directly to the less developed countries

Most especially this added special competence will inevitably become

incorporated through the processes of scholarship and education into

the competence of US and foreign scholars and institutions concerned

with this topic of great significance to the developing and the more

highly developed countries alike

BUDGET SUMMARY

UNIVERSITY OF IOWA

Salaries

Graduate Student Stipends

Fringe Benefits

Travel

Equipment and Services

Other

TOTAL

$173090

32400

19209

13800

6501

20000

$265000

BEST AVAILABLE DOCUMENT

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BEST AVAILABLE DOCUMENT

(C

Dr Willa~d l Boyd Presicient University of Ima iowa City Iowa 52242

Dear Dr Boyd

4 AUG 1977

amp

FIJNDS AVAnASLe CpoundNrftAamp sEIMCEs DMsON

AUG11 ~n te t6417 ~77

Subject bull Supplsectferit-tJF-G~middotNomiddot~middot AIOcsd-3294

t middot-rrPJ1 3

I am pleased to inform you that pursuant to th~ auth~rity contained in

S-cction 211 (d) ooC the Foreign Assistance Act of 1961 as amended a sup

plemental grant in the amount of $200000 is h~reby r~de to University

of rCi1a These supplement]l grant funds areprolided to support the

activities which are described in your Proposal dated May 6 1977 for

the implementation of your program entitled Political Conditions for i

Effective Small-Scale Rural Assistant Projects

---This sup~lemental grant is mace to University of Iowa en condition that

yo~r institution shall administer the funas provided under this Grant fn

accordance lith your r~ay 6 197 proposal (including Budget SUmlilary) and

the Standard Provisions (as incorporated by Amendment No 1) which have

been agreed to by your instit1ltion Ti) the extent of an inconsistency

between the Proposal and the Standard Provisions and any otherprovisfons

which ar~ made a part of thi5 Giant by reference or other~iSe the Sta~d~

ard Provisions shall control

The new Duration Period for this Grant shall beAugust 11 1971 through

August 10 1979

The total amount of funds obligated under the grant is increased to reflect

a new total oblgated amount of $465000

Please sign the Statement of Assurance or Compliance ana the origfnal -

and seven (7) copies of this letter to acknowledge your understanding of

the conditions under which these funds have been granted Please return

the Statement of Assurance of Compliance and the original and six (6)

copies of this supplemental Grant to the Office of Contract Management

Attachment May 6 1977 Proposal and Budget SUfiT1a ry

UNIVERSITY OF IOWA

Roberw bull OBrien fficer

Ce al Operations Division Office of Contract Management

AC~E~E~C--_ 0 BYpoundk~~ cH

D C ~lpoundSTtR5BA T ITL E ( PfeampoidPilt for

tee ment amp Research DATE 9-22 -77 (d~ ~~Bduate Ctl~1e~e

BES i AvAILdLt UOCLJMU~ I

211(d) Grant Program

Proposal of the University of Iowa

POLITICAL CONDITIO~S FOR EFFECTIVE SMALL-SCALE

RURAL ASSISTA~CE PROJECTS

Submitt~Ci to

Civic Participation Division AID

May 6 1977

Amount requeste~ $ 199987

BEST AVAILABLE DOCUMENT

I TdE DEVEIOP~T PROBr~

P~litical Conditions for Rural Development

The Cocparative Legislative R~search Center of the University of

Iowa proposes to ~~dartake a two-year study to investigate the role of local

leaders and the rural public in theimplecentation of small-scale develop~ent

1 projects in less developed countries The study will use and extend the

capacity ~hich the University of Iowa developed under a 211(d) grant to

investigate and assess the impact of loeal politics on rural development

~t the co~pletion of the s~ Iowa will be in aposition to advise the

Agency on the design ~nd evaluation of s~ll-scale projects which will be

politically viabe a~d effective in ass~sting the rural poor ~

As students of development w~ approach our task with the assumption

that the proble~ of development and underdevelopment are funda~entally

ones of political econooy and a~ such can only be solved through a

simultaneous considerationof economic and political factors Efforts

which foc~s aloost solely on economic factors like those of ma~y

organizations engzed in dipersing foreign aid or efforts which focus

almost exclasively on political factors fail to take account of the

interdependence between these two dimensions of underdevelopment and

lwe have for~ulated this proposal in a canner consistent witr the cu~rent policies ard interests of the Agency We have been guided in our tsk by four Age~cy doc~e~ts Impleo~~tation of New Directions in Developnent Assista~c~~~ ~eport to the COmlittee on International Relations on Ilupleoenshytatiun of Legislative Refo~ in the Foreign Assistance Act of 1973 (July 1975) rItevis~d Projec Developiel Review and Approval Systeo (A I DL Circular A-21 Aril 23 1975) SH Butterfield Draft SUIilZ3ry StateUlent of a Practical Agelcy Approach c aural Devalopilelt (AATA February 28 1975) Cicci A Coce~ual Oie=viamiddot middot Rural Development No1 (lWorilting GOU O~ tha Rural Poor February 1975)

- l -

can meec with only l~ted success

Our concern with the i=pact of local politics on the process of

rural developcent is a result of our interest in the basic question of

how LDC governm~nts and the donor agencies which assist them can

become core effective in raising the standard of living of the rural

poor We seek answers to the following aspects of that basic question

1) What political conditions must exist both within rural communities

and between theo and central gove~ents to raise agricultural production

w~ere small-scale agriculture is the do~nant pattern 2) Vnat are the

political conditions for a core rapid expansion of the informal manufacturing

and service sector cocprised of labor intensive small-scale industries

located in the rural ar s 3) What political structures and activities

are mase crucial for the provision of welfare and econocic supporc services--

such as agricultural exeension mar~eting and transportation--to the rural

areas1 4) ~~at Folitical conditions oust exist to insure that economic

growth in the rural areas is not accowpanied by excessive and intolerable

inequalities between socio-economic classes andor between regions1

Center-Periphery Linkage in LDCs

To deter~ne the political conditions for rural development we have

in previo~s s~udies exacined the institutions and processes through which

rural populaticns are integrated i1to the national politi-cal systetlS of

middot~he countries in which they live A gap exis~s in most less developed

countries bet~een the peasantry residing on the periphery and the c~~tral

political ~stiutions staffe1 by ~~estern-educated bureaucratic elite

We are aware of the other major ~sti~utional discontinuities which comprise

J

4 middot~~1 the basic cleavage between the developed and underdewmiddoteloped sectors of

these dual societies Bridging these gaps is essential if these so~ieties ~ are to develop into viable nation states For until those Q~ the periphery

of the poli~ical syste~ participate in that system and support and comply

with the authority of central political institutions neither economic

development in ~he rural areas nor a stable polity will emerge

Bridging the discontinuities in these new political systems requires

establishing and institutionalizin3middot1inkages or networks for co~unication

and exchange of resources between decision-makers at the center and the

rural public on the periphery Three types of institutional linkages are

most prominent in less developed countries 1) those conSisting of the

state administration composed of the bureaucratice1ite 2) those consisting

of a revolutioncry political party cocposed of the ideological elite

3) and those conSisting of patron-client hierarchies composed of the political

entrepreneurial elite

Of these three linkages consisting of the state administration are

the cst extensive and pervasive in virtua~ly every LOC Such linkages

however exist primarily a~ instruwents of the center to penetrate the

periphery Central government officials are formally charged with bringing

develo~ent to the people This is a ~issi~n which conceives development

as a process ~hrough which a traditional peasantry is transformed and

assimilated iJro the DOdern center which is steadily expanding to embrace

it Agents of the center invariably have more resources to achieve their

objectives than do local political leaders but because they are frequently

strangers~ the communities in which they function they are often unable

- It -

co implement the policies of the center without working through the

local establis~ent

Though somctices significant linkages consist~g of revolutionary

party organizati~ns such as those found in China and Vietnam do not exist -

in most IDCs beca1Se of the special historical and e~omic conditions

required for their development As wi~h the administrative state however

the linkaampe apparatus of such political patties is prUlarily an instrument

of the center whose mission is to penetrate and mobilize those onthe

periphery

In contrast patron-client hierarchies are linkages which represent

the periphery at the center and mediate betwee~ these two disparate

sectors of the political systec Thcugh norcallymiddotovershadowed in scale

by the state administration patron-client hierarchies are found in almost

~very LDC a~d constitute the ~st significant network through which rural i

populations and their leaders influence the decision-~king process at

the center Patron-client hierarchies exist in a wide variety of org~iza-

tional fores ranging from info~ ~ec~~rks of individual olitical leaders

in uno-partyll systelS in S~b-SaharaI4 Africa to extensive political machines

in both one-p~rty (Africa Mexico) and ~u1ti-party systems (Turkey India)

Despite their importance as the pricary means through which peasants in

LDCs particiate in their political systems patron-client hi~rarchies

have only recently become an object of analysis by students of political

developent and do not appear in even the most sophisticated studies of

2 See Jo~ Dunca owell Peasant Socie~y and Clientelist Politics Aerican Politi~ Scielce Revietol 64 (June 1970) pp 411-25 Rene Lemarchand anc_ Keith Legg olitical ClienteliSJ and Ethnicity in Tropical Africa Aierican Political Sc~ecce ReView 66 (Y~rch 1972) pp 68-90 James C Scott PatronshyClient Politics a~d Political Change II 1tlerican Political Science Revie~ 66 (~arch 1972) p 91-113 and Friends Followers and Factiols bull edited by Steffan Sc~~d and James C Scott (Berkeley UniverSity of California Press 1977) bull

- 5 -

3 economic development Ad~niscrators of developmental assistance progracs

have too often regarded patron-clienc hierarchies as ~ped~ents to

develop~ent instead of recognizing cheir potential utility bull

~ Findings on Patron-Client Hierar~hies --

The importance of pat~on-clienc hierarchies for linking the periphery

to the center is one of the major findings ~erging from a study of the

relationships betueen l~gislators an~ their constituents in Kenya Korea

and Turkey ~hich the Cowparative Legislative Research Centpr is nov

comleting uader its 21l(d) grant from AID This study has av~mined the

creation of linkages between the periphery and the center through ~ore

than lO~OOO interviews with members of parl~ent local leaders and

peasants in t~e three countries The findings are being systewatically

set out in a book-length monograph Nearly a dozen research reports have -

uready appeared (see Appendix C) ipropositions about the nature of

political behavior of rural populations an~ the roles of local political

elites de=ived from the research~ can be s~rized as follows

1 Elected representa~ives play a significant role in the creation and mainte~ance of linkages be~een the center and periphery by developing local political achines in which they function as patrons of their constituents In turn thay s~rve as clients of political leaders of national stature who control central government institutions

2 By atte~pting to establish linkages based on patron-client relatio~shi~s elect~d representatives are responding to public expectations chat their prizary duy is to obtain resources from the center to proffiote local develop~ent ~iany elected repLesentatives spend most of their time on self-help co==unity development projects such 3S the building of schools health clinics irrigation works arid roads because such projects provide

3For exa~le ~ a widely respec~ed a~d useful analysis of rural deve16p~ent in Sub-Sahara~ Africa L~ Lele of the World Bank notes the problems of creating an adoini5~raive infrastructure in the rural areas that is sensitive to local socio-oliical conditions She does not however consider how local leaders operating o~tside of adcinistrative structures ~ night contribute to the developne~t 0 the rural areas See ~~ Lele ~ Design ~ Rural Develop~ent Lessons ~ Africa (Balt~re The Johns HopkiD~ Uciversity Press 1975) r) pp 127-61 i ~

- 6 -

their const~tuents with desired se~ices ~~d a= the sa~e time provide the reresentatives with an orgacization Yhicn can be used as a political base

3 l-tore than 90 perCel1t of the rural population is capable of articulating the p~oblems facing their local co~~ity and two-thirds discuss th~e proble~ w~th their fellow citizens on a regular basis

4 Three-q~rters of the residents of the rural areas can identify the public ofpoundici~s who serve thec--both civil servants and elected represcrtatives--by na~e Most are knowledgeable about the activities of these officials Alcost one-fifth coreover have discussed co~~~ity probl~ ~ith these officials particularly those working at the grassshyroots level Residents of rural villages actually have a higher level of political knowledge than their counterparts in the towns

5 Elections in the rural areas evoke a highly rational attern of voti~g despite the effects of ascriptive or traditional co~siderations Inc~ens are pri~rily evaluated in terms of their record in fulfilling the public r S elpectations of what they should do Elections are essentially referenda on inc~entsr perfo~ce especially their perforwance in the area of constituency servi~es such as bringing development projects to the districts bull

6 Local developcent projects have a relatively high s~olic value generating conscitutency support for local leaders and the central government at low cost

7 These projects help huild a local political infra-structure which can also be utilizec by central govern~nt civil servants to implement other policies designed to achieve rural develop~ent bull

The Icpac~ of Local Politics on Rural Projects

Having explored the developtent of linkages through which the periphery

is represented at che ~enter and through which the periphe~ attemp~s to

share in the ceners resources we now propose to build upon our initial

investigations by e~ing in greater detail the impact of local political

conditions on specific problecs of rural develop~ent We propose to

exacine the develop~ental activities of local leaders ~nd the rural public

by eX2~Ding a saple ot fifteen to twenty smalL~scale developwent projects

in each of ~he three countries which constituted the sites for our initial

8ESI AVAILABLE DOCUMENT 1 ~ - of

- 7 -

study of center-perhiphary relations The appropriateaess of this approach

and the ~ethodology through which it will be ip~emented is discussed in

section II Because the ~ethodology of investigation is in large part

the result of our previous research experience we fizst turn to a revieW

of the existinQ __ ~petence of the Comparative Legislative Research Center

in this area

II GRAXTEES EXISTIXG CmET~CE

In 1971 the University of Iowa received a 211(d) grant to develop

its capacity to do research on the role of elected represent~tives in

the process of modernization On the b~sis of this grant the University

established a research center which planned and carried out a research

project on the role of elected reres~~tatives as links between the central

gove~ent and rural populations in K~ya Korea and Turkey The project -i

served to develop t~e University of Iowas research capability in this

field esa~lished ties between the University and scholars in the bost

countries and generated a large and uniqu~ body of relevant data

In that project we fo~ussed our attention on tbe activities of elected

representatives in their constituencies notably in their contacts with

local political leaders voters and civil servants To determine tbe

nature of the linkage function performed by tbe representatives we

designed our research to explore the subject from three perspectives

1) we eXaojned ~~a ~ubject at tbe grass roots by conducting a series of

sample surveys of 200 to 300 adults in each of 12 to 14 parliamentary

constituencies in each cf th~6three countries 2) we examined the subject

at the center by intervie -ing MIls from the constituencies in which we

had conducted S3mple surveys ~nd higher civil servants with whom they

had contact and 3) ~e ex~~ined the subject from an inter-~diate level

by identifying aud ~terviewing local social and political leaders in

the MPs constituencies We used survey research methods because we

were embarking on the study of an entir~ly new subject for which little

relevant docu=e~tary data existed and on which there were few secondary

sources As a result ~e have unparalleled experience with survey

research in the rural areas of less develo~ed countries

The surveys which constituted the cajor part of our field work were

planned in collaboration ~~th scholars from the host countries They were

carried out in each constituency by student interviewers in the appropriate

language ~re than 10000 respo~dents were inteDViewed for the project

Given the visibility and sensitivity of this undertaking approval for

the research was sought and obtained from the host governments prior to -i

the collec~ion of data ~o objections were raised by these governments

at any stage of the research The data obtained have been made available

to scholars i~ the host co~cries and some of the basic findings have

been published in periodicdis in these countries

The Comarative Legislative Research Center ~hich ad~nistered the

project has aisO developed extensive experience in the study of political

leadership in other countries It h3s obta~ed substantial support from

the Fo~d Foundacion and the Rockeeller Foundation has worked in

collaboration ~~h European as ~ell as Asian and African scholars and

is engaged in a ajor study of the role of elected and non-elected leaders

in the oanag~~t o~~ocial conflict Because it has conGucted research

in a variey of setlngs the Center has an ~ceptional capacity to

- 9 -

determine how the relationships be~een political institutions and

economic p=oble75 differ in develoPed and less developed countries

In the course of the major research projects the Center has administered

it has gained highly specializpd ~p-i ce iI identifying 1Olitical leaders

in a great variety of settings conducting systematic interviews with

them collaborating with scholars in the host countries and in coding

and utilizing large files of data to answer specific research questions

The Center has ~lso undertaken to publish the results of its research

in three fores It issues codebooks to the data enabling scholrrs at

other locations to use the data expeditiously i~ publishes research reports - in the form of Occasional Papers and it publishes a scholarly periodical

devoted to the presentation of research findi~gs to an inteIT~tional

audience

The Center utilizes the data ~ysis facilities of the Laboratory

for Political Research of the University of Iowa and drawS on the unusual

n~er of secialists in comparamptive politics and survey research in

~~e Lniversitys Departmen of Political S~ience The Center itself I

has the services of an administrative secretary and a clerk-typist

~intains its~o~cn extensive archives and its o~~ publications program

It is e~uipped to assist scholars and government officials outside the

t~iversity of Io~a The participants in its p~ojects are full-tioe

faculty ~e=bers ~hose undergraduate and graduate teaching is closely

related to their research As part of the teaching program the Center

has attracted students from the countries in which the research projects

have been conducted these students have participated in the projects

bull J

have obtained training in other fields of political science have received

University of Iowa degrees~ and have ret~rned to teach and to do research

in their own countries

III PURPOSE OBJECTIVES AID METHODS

Purpose of Study

The purpose of the proposed grant is to extend the capacity of the

University of Iowa to determine the political conditions in the rural

areas of less developed countries which favor the establis~ent and growth

of small-scale developoent projects ~e objective is to put the University

of Iowa in a position to assist the Agency in designing small-scale rural

developent projects providing guidelines for carrying out social soundness

analyses of such projects and adviSing in the evaluation of projects

We will discuss the utilization of~t~e Universitys capacity in detail in

section IV below

We propose to concentrate our investigations on the political conditions

surrounding s~l-scale ru~al projects Such projects have distinctive

advantages They waximize the political participation of the rural populations

both in det~~-ining the direction ~d implementation of develop~ent efforts

and in defending the interests of periphery vis-~-vis the urban-based

bureaucratic elite S~ll-scale projects stimulate entrereneurial activity

on the part of the rural citizens and growth of the info~l canufacturing

and service sector Tbey require less lead tice and less administrative

c~erhead to ~eco~e operational than large-scale capital-intensive projects

centrally administered Such projects yield rapid and direct benefits to

1

j

the rural

- 11 b - ~~1

populations and are consistentwith their hUIlaD rights--both

political and economic However~ small-s~le projects pose s~ecial probl~s for administratcrs of developceocll assistance progracs because

they require the donor co assess the local olitics particularl the

rural politics of t~e host country

Develop~c adoinistrators pr~rily conc~rned with assisting rural

populations must therefore recognize the range of political variables

affectL~g these projects Small-scale projects offer great opportuoities

for develop~ental assistance progr~ because they can be easily targeted

to help rural populacions require low capital costs and need no be

concentrated in one or two localities Such projects ho~ever~ ~equire

the a~istrator to have ~re political kno~lecge than large-scale

projects Oil which his priJlary tas~ is guiding the work of other experts

Questions for ~Investigation

To detercine the politi~al cc~diicilS ~st conducive to ~he establ~~ent

and gro~h of scalI-scale rural projects ~e propose to address our inquiry

to the following specific questions

1 To what extent and why co local political leaders seek to establish s~~l-scale develop~ent projects within their co~unities

2 To what extent and ~~y do local leaders other than politicians initiate andor provide leadership for s=all-scale developm~t projects

3 Bot do the relations bet~Jeel different types of local leaders (political and non-political) and bet~eeo these leaders and central gove~ent civil servants posted to the rural areas affect the conduct of develop=ent projects

4 How do existing authority ~eLationships between these different leadership grous and the rural pub~ic affect the organization and operation of s~l-scale develop~ent projects

- 12 -

~

5 lhlt is the nature 0 pclgtlic participation in the establishlent and operatio~ of s~l-sclle projects and ~hat are the outcc=es or this participatioe Gucer w~at conditions is such participation ~ost likely to occur

We seek a~swe=s to t~cse questio s L order to determine the effect of

different co~iigurations of local leadership and public participation on the

outcomes or small-scale rural projects te are particular1y concerned with

the ~pact of these configurations on the rate of econocic growth and the

distribution o~ rIGSlth ithin the loal cOlllUlity ~ on the perce~tions of

s~ll-scale proj~cts by central govern~ent per~oncel and the rural public

anmiddot on the organiation or flture projects

To a~swer these que~tions it is oar intention to study the initia~ioD

izJple=enation ald i1lpact of a salple cpound small-scale rural projects in

Kanya Korea and Turley in the sae cOllities in which we carried OU

our initial icvestigations ~ 1973-75 Tne relationships between the -

various conf~gurations of local leadership and public participation and

the three phases of project develop~ant are sho~ in Figure 1 We will

exa=ine projects to pro~ote the adoption of new agricultural techniques

by s~l and moderate landnolders the building of feeder roads irrigation

ditches and other s~ple infrastructure the organization of fa~ers

cooperatives and other local associations concerned with rural development

the establish=ent of rural health clinicS and schools and the setting up

of craft and service industries

Sites for Study

We plan to return to our original set of localities because we possess

a rich body of relevant data on the extent to which linkages exist between

Figure 1

TYPES OF LFLUEXCE OF C2r~ middotGOVER1iEXT OFFCIALS

LoCu LEADERS 0 THE RURAL PUBLI-C OX THRr~

PHASES OF RURAL igtEVELOPHET PROJECTS

r----------~J C~ltral Gover1~nt Official)-N------- - J

r- Local pOlitical leaders

Local non-political leaders

~l 1---- -

ROJECT nITL~TIOS

Influ~ce on selection of projects

InrI ~elce on location of projects

Influence on policy guidelines for proj eCl

Il

I

a

I I

-I PROJECT I~L~~iATIO~ ~ 1

j Project Organizati I Selection of project

leadership

Hobilization of resources

Mobilizatiol of public compliance with project require=elts

Diffusion of project innovation

Rural Public

I

BEST AVAILABLE nOCUMENT

1 ROJECT IMPACT

Organization of ongoi=g project operation

Distribution of project benefits

Evaluation of project

Public attitudes toward project

-middot14 -

these areas and t~c central p~litical institutions of the three co~tries

and on the attit~es of the rural populacioc local leaders and elected

legislators regardi~g their problecs of develop~~c Since such data

is unavailable for alternative locales a return to the areas in which

we have previously done much research ~ables us to build on a uniquely

valuable body of icformation

A return to Kenya Korea and Turkey is also highly desirable from

the standpoint of effective research organization The Comparative

Legislative Research ~enter has developed close collaborative relationships

with several highly competent social scientists in these countries and

with the academic institutions with which these scholars are associated

We have also dev~_oped cooperative relatio~ships wi~ gove~ent officials

in these countries which should facilicate obtaining approval for our

further work

In proposing to doc~ent the origin i~pl~entation and impact of

one to three s~ll-scale develop=ent projects in each of 35 localities

we have two considerations in mind Firstmiddot because our pr~ry goal is

to deter~e the political conditions for rural developm~Lt we wish to

examine develQ~=ent in as many different settings as feasible Only in

this way can we control for so=e of the major socio-cultural variations

that erist along rural populations in less developed coultries These

include the overall level of econo~c development in the co~unity the

nature of t~e ~digenous culture an~ relationships of authority and the

pro~ty of the comounity to major urban areas and centers of central

gove~nt ad=inistration ~ce our original study sites were carefully

BEST AVAILABLE DOCUMENf

- 15 - ~ ~1

selected to represent these variations ye have concluded that these

35 localities woule be ideal sites for the propose~project Second~ in order to dete~~~ the ~pact of local leaders and public

participation o~ ~ural projects we intend to compare projects 1n which

local leaders and ~ecbers of the public have played a major ~ole with

projects in which they have not We also ~l cospare projects initiated

by the central gover~ent with projects Yhich have been locally initiated

These considerations give us a typology for selecting projects as depicted

in Figure 2

Figure 2 ~

FIVE TYPES OF RU~AL PROJCTS ACCORDIXG TO ~FLUEXCE OF CEITiW

GOVE~1E~T LOCAL LEADE~ AD RLRAL POULATIO~

Level of Participation by Rural Population

Locus of Project Initiation ~

Local Co=unity Central Governoent

BIGd

LOt

1 Projects initiated by local leaders and providing for participation of the rural ~opulation

4 Proje~ts Litiated by local leaders bu~ not involving participation of the rural population

2 Projects initiated by the Central Govern~ent and administered i~ cooperation with local leaders a~d the rural population

3 Projects initiated by the Central Govemlent and providing =or the participation of the rural population but by-passing local leaders

5 Projects initiated by the Central Gover~e~t a~d administered in cooeration Yith local leaders but not involvi~g parti~ipation of rural population

- 16 -

We recognize that the socio-cultural setting of rural develoment

projects varies significantly within and across less developed countries bull

By focussing o~ a representative sa=ple of localities ~ Ke~ya~ Korea

and Turkey we can take account of naoy~ though not all of these variations

While some of our substantive findings will not be directly generalizable

beyond the countries in which we propose to conduct our study we expect

that our basic ~ethods and fLdLgs will be applicable to national and

sub-national settings elsewhere in the developing world This is partly

d~e to the fact that the hierarchy of patron-client relations ~hich we

regard as a critical factor in rural develo~~t exists in ~ost Liles

--It is also due to the fact that the methodology for identifying local

bull leadership configurations auG poundor studying local politics which we are

perfe~ting can be used to assess local political co~ditions in a large

variety of countries even when the ~nditions themselves differ significantly

Methods of Investigation

The data needed to assess the iDpact of local leaders and mass

participaticn on rural dev~lop~nt fall into two categories Some a~e

contained among the data gathered for the research project we are currently

completing Others will require additional field research

The following data are already in hand

1 Data on the social landscape of each loc~l co~nity i~cluding aggregate data o~ level of econonic development de~graphic characteristics political pa=ticiation eth~ic loyalities and rates of socio-econocic change dur~g the past decade bull

2 Identity of local leaders including both political and I-on-political leaders and both legislators and other politicians

3 Perceptions of existiag probl~ and their possible solution a~ng

l)tS r AVAilABLE DOCUMENT

- 17 -

general public local leaders and civil serv~nts

4 Level of political kno~ledge among local citizens and local political leacers

5 Political and social values a~ong local ci~izecs and local political leaders

6 E~~ectacions of leadership roles among the local public and elected and non-elected leaders

7 Patterns of co~unication ~ong local leaders and between local leaders and the central gove~e~t

These data ~hich ~e already have in hand can be subjected to analyses

which ~~ll provida the foundation for our further work on rural develop~ent

projects A part of our work therefore will consist of fu~ther analyses

of existing data

New data of the following kinds are also required

1 Doc~entary data on the origin and evolution of particular smallshyscale develop~cnt projects in the rural areas

-2 Data on project costs boih ~itial invest=ent and recurring

operating costs and data on project ou~puts ie pupils in schools Ddles of road coopleted nl~ber of hospital a~ssions production of factory agricultural productivity

3 Data on project organizatio~ n~~r of local inha~itants participating in establis~~ent of projectt nuober of local L~habitants subsequently involved in project

4 Data-on the pe-cetion of projects by local leaders emers of the local public a~d by civil servants data on the perception of how each project ~as initiatec organized who benefitted and what its future implicatio~s are

These types of data will requ~re field work involv~~g both docucentary research

at the relevant ~istries of the central government and in local goverr~nt

authoritieS and inforoal open-ended interviews with local political leaders

elected representatives and other local leaders who~ we had previously ~

interviewed in a s=uctured syste=atic =aoner

BEST AVAILABLE DOCUMENT

- 18 -

Grant Organizatio~ and T~etable

We propose co undertake the research outlLled above beginning in the

fall se=ester 1977 Dur~g that te~ Professors Barkan and Kim as

principal investio~tors for the neo1 proj ect will contact their collaborators

in the host co~~tries They ~~ll also seek the collaboration of an additional

~rican scholar specializing in rural development with the aic of getting

additional advice on sources of data and suitable indicators for the

~easure=~~t of rural develop~ent projects

At the end of the fall seQester Professors Barkan and Kim will make

a trip to their research sites to disc~s details of the research organization

with their collaborators in the host countries and to recruit student

assistants Tney will devote the spring te~ 1978 to further analysis

of a~sting data at the University of Iowa

The gathering of additional dita L~ the field will begin in the s~er

of 1978 Professors Barkan and Kio will direct this work personally We

eAect that its coopletion ~~ll require three to six months This work ~1

involve the evaluation of central and local gove~ent reports on the

projects uncer investigation extensive on-site observations of the projects

and oen-e~ded interviews with the principal participants Our principal

respondents ~i1l be the local leaders and elected representatives we

have previously identified in the localities in which we have worked and

a sacple of active participants in the particular dpvelopment projects

being studied ~~ere necessary and apropriate surveys of the general

public will be uncertaken to assess the inpact of a given project on the

rural por)r We do not however leed 0 conduct systeAlatic sample surveys

BEST AVAILABLE DOCUMENT

- lY -

of the rur~l population as We did in 1974

In the organization of this research project we intend to reconstruct

the rese~rch tea=s ~e e=ployed during 1973-75 We shall again seek the

co11abo=~tion of P~ofessor Sc~~S-7o~g Pai of Seoul National University ~

Professor IIiCr Turan of the University of Istanbul and Professor John J

Ok~u of the U~iversity of ~arto~ S~ilarly w~ contemplate directing

the field research fro~ he same acade~ic research organizations we previously

used Seoul National U~ive~sity th~ ~~iversity of Istanbul and the

Insti~ute for Develop~eut S~udies University of Nairobi As before we

will tra~ students f~oo these institutions to serve as interviewers

The analysis of the open-ended intervie~s and of docUQentatio~ on

I ~ural develop=e~t projects will be a ~ore t~e-co~s~g process than the

analysis of closed intervie~s It will reqrire a high cotnittl~t of time

fron the principal investigators )e e--pec to hold a conference at the i

U~iversi~y of Iowa 3lO1g all the principal )clticipa~ts in the resea~ch

project d~=~g t~e spr~g 1979 to evalua~~ the newly collected data

le e~ pect to be able to vr-ite reports of t~ results during the Sl1~er 1979

(see Figre 3)

IV LlX-GS ~1) U~ILIZATIO~

At the e~d of the grant period the Uti ersity of Iowa will be able to

1) advise the Agalcy 01 the design of s~l-scale rural projects to assist

the rural poor 2) provide guidelines for social soundness analysiS of

small-scale projects for the rural areas of U)Cs 3) consult w~th the

Ag~tcy 01 the evaluatiol of rural projects ~d 4) provide LDe governments

BEST AVAILABLE DOCUMENT

)ATES

~lll

1977

~inter 1977

iprilg 1978

il mer 1978

~all

1978

ipr~ng

1979

Imiddoter 1979

University vf Iowa

Plutlning of rural develo~rent project

Barkan Kil

Alalysis of existing data

Barkan Kia

Data processing

3arkan Kin

1

I

- 4 -

Figura 3

GRAT TLfETABLE

SIT E S

Kenya Korea Turkey

Preparation of field research ural developH~lt project cOlisulta~io~ a research sites

BarkanOku=u Ki~Pai Tura~rkanKi~

Preparation of field resea-ch

Tural

Field research on rural cevelop~~t projects Bar~lOk~u Ki=Pai Turan

Co=pletion of Co=pletion of field resear~~I~ fiald researcr

Ok~u i Pai bull

f Coopletion of field research

Turan

Data analysis conference a~ong all princial i~vestigators at Un~versity of Iowa Barkan Kil Oku=u Pai Turan

Co=letiol of r~ral develop~ent

project

3arkan Kiz

BEST AVAILABLE DOCUMENT

I

- LL -

~ith speciali~cs o~ ru~al developcect ~mong their own citizens ~ho ha_

partcipatcd ~s collaborators in the Iowa projects

In the proposed project we Will test a series of hypotheses cOlcerning

the political cOllditions of rural develo=ent which run counter to CODOn

assuoptions conccrnir3 t~~ influence of rural politics on project effectiveness

As a result ~e ~dll be able to assist the Agency in designing and evaluating

such projects froe the point of V~~W 0 their political viability The

hypotheses We will test sugges~ t~at the patron-clie~t relations existing

in the local politics of zost LDCs are not necessarily i~pedients to rural

develop~ent but are aspects or the political structure which cal be used to

facilitate s~ll-scale ru=~ projects which will raise the standards of

living of _ ~ rral pomlation - As ~ result or our stuey we expect to be

able to P~-O~t the local leadership confi5~rations ~4d the relationships

between local leaders ald rural poclations ~nich are oost conducive to I

successful develcp=en efforts We believe that we will be agtle to perfect

a cat~odology for identifying the political conditions for rural develop~ent

one ~hich is transferable pound~oo the countries we have specialized in to

other LDCs

We proo~ to develop specific guidelines to assist administrators

charged with selecting evaluating and =onito~ing rural develop~ent

projects to ~szess t~esc rojects in tares of their-social and political

viability he outco~e of such projects is dete~ned not only by the

efrectiv~nass ~~=h ~hich they use scarce econo~c resources but by the

~~er L~ w=ich they e~gage the suppprt of local leaders and rural

po~ulatiocs~ by thei= effect ou social a~d econo~c equality ~d by

D[~T AvAlLA8LE DOCUMENT

- 22 -

their consequences for hwan rights ~Je plan to establish criteria by

middot~hic~ the probable outco~es of projects in these social terms can be

anticipatec

The study ~e propo e will be undertltlken by faculty at the Cniversicy

of lowe in collaboration with faculty a other ~rican institutions and

institutions in the host countries We will build on the extensive contacts

between the Co~perative Legislative Research Center of the ~niversity of

Iowa end other instituions with ~aich ~e have worked One =ajor result

of our collaborative study will be the existence of a net~ork of compe~ent

scholars both in this country and overseas experi~lced in ~orking together~

shar~g a co~on teaching and training experience i~ close contact throu~~ the

effective publications progr~ developed by the Co~parative Legislative Research

Center T~e e~~ertise of this group of individuals will be ava~lable to

oteer scholars to the Agency and ~o L~C governments for specific policy

advice The eXertise developed as a consequence of this project will

extend beyond the ~tionals of the countries ~volved since the univ~sities

engaged in ~e project attrtct stude~ts fro outside heir own countries

For ey~=ple the teaching ~d research progra in the Depar~ent of Political

Science 0 theUniversity of Istanbul heavily affected by the participation

of its facul~y ~e=bers and graduate students in our projects attracts students

throughout the ~middot1iddle East for Whom the University of Istanbul is the iajor

institution ~pound ~igher education in the region rne Institute for Developmen~

Studies is si=ilarly a focal point for students and faculty in East and

Central Africa Seoul ~atiocal Unive=sity attracts students froo other

Asia~ co~tries~ In this way the capability developed among the participant$

BEST AVAIL~BLE DOrUMENT

- ) -

in our work is diffused widely To the exte~ that the abili~y to assess

rural develop~ent p~ojects in teres of their social soundness is increased

both in the United States and in ~o~~tries r~ceiving develop=en~ assistance

the cap3~ity of racipien~ countr~es to absorb aid is ~creased

We propose to draw up an inventory of personnel available in ~~e

Cnited States and in other co~~tries who are able to consult with developen~

a~nistrators on the design of rural development projects and on their

evaluation We ~~ll draw first of ai~ on individuals w~o have been

directly associated with our ~ork in the past or on ~he proposed project

and ex~~~d the list to include graduate students and gove~ent officials

with who~ these individuals have wor~d

tole Yill utilize tha existing publication program of the Center

dercribed above to disse~inate our findings The Center has specialized

oailing lists of interested individuals and institutions in all parts of -i

the world and its reports can trerefore reach the ~st relevant audience

jirec~ly ~d re~~arly

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CONTRACfjGRANTCOOPERATIVE AGREEMENT DATA SHEET

INSTRUCTIONS fjDW Complete 4 copies of the form Original SERCMSDSUP Statistical Section Copy Copy 2 SERCMSIiUP dministrative Copy opr 1 Contracting Officers COy COP) 4 SERCMSDSUP IUmin (Suspense) Copy

Missions Complde 2 copies oi the form Origin31 SERCMSDjSUF- Statistic31 Section Copy 3n~ Copy 2 Nill be ret31ned in the Missions

PART fA

ConU3lttorGranrce Name

University p~f~I~o~wa~ __ -r~ ____ ~~~~ __________ -~~ __ ~~~ ______________ ~~~~ Plorr Numt-er ApptopriJtion Number Allotment Number Project Number

930-0090-3Q13411 A5 72-111l0216 146-30-099-00-20-11 930-0090 Project Title

So~ia1 and Potitica1 Aspects of Development - Conference to Report Research Findings Amount of this Plorr I Projecl M3nagers Name and Offire Sytlbol

$10397 (increase) PDPRCP Jonatlan Silverstone Contr3ctors D-U-N-S Number

Ncgwatocs TYJlCd~3meJ j) Signature I l ~ jIf- bull G HtJ--ft u l IVmiddot

D~e

L - f - J ContractGrant Officqs typed Nailllt Signalure LJ d I -r-

plusmn t 3i-alflpta (( BLvle~ 1 I~ PARTm

ContractGranl Number

AID CSD-3294

Effeclive Date of Docum~nl Signalltre D3t~ of Documenl

Lf---C yen-~-gl tIost Courtry Institution (U iwrsity contract ONL Y)

Campus Coordinator (Uniwr ty i contract OiiL YJ

PART UL Descriplion of Cor-tractGrant P1use X ONL Y ONE item under each headiZg IF THEltrease CifYmC~e bolh ges I 30~~ O~ Nol to be completed for Amendmenl or Modlfic3lion AJigtns I III

J 710gt I I V ~ I

MOl - TYPE ACT A~ 0 G unsolicited Propsll (AIDIR 0 C Individual (Non-pe~nal senice)

~ O Cortra lGrantl ooperative Agreemenl 73101-SO(b)(6raquo 0 D Individual (ftrsonal Service)

tJl T3sk Order ( A)middot 0 H Procurement 10 be Perfocm~d by the Conmiddot 0 E UniversilyOther FAuC3lionailnSlitulions

D 2 Work Order (IQC) Ira~lor in Person (AIDPR 0 F Non-Profil Organizationlnslitutions (other

D 3 Delivety Order (Requirements) 73101middotSO(b)( Iraquo than Ed or PVO)

[j 4 Purchase Ordcr [J I Sole Source (AIOPR 7-3101-SO(b)(4)) 0 G Private Volunury Organization (PVO)

If I 2 or 3 1Lle an ~ compllle M 12 ON Y D J Imp3irmenl of Foreign Policy Objectiws 0 H International Agricultural Research Organj-

M04 - CONTRACTGRANT TYPE

o O MOA (BOA BMA etc)

o I Fixed Price (Specify fFP FPRD FPEPA FPI) _____ _

(gtIDPR 7-31 OJ SO(b)(7raquo

OK B(a)5eJection (FPR 1middot1713-1)

o L Grant iH1ndlOok 13)

o M Do Nol Ue

D 2 Cosl Reimburemenl (S~cil) CR CPFF 0 N Cooperative t~reement (Handbook 13)

CS CPAF CPIF) ~ 0 O Small Business SeImiddotAside (FPR 1middot1706-8)

o l Cooperative Agreemenl ~ 0 1 Overseas Procuring AClivilies (AIDPR

04 Grant Gener31 Supportmiddot 0U ~ 7lIOI-SC(b)(2))

o S Granl - Specific Support ~ ~06 E SER VICE

g ~ ~~t ~~(d) ~~ ~~ ~ eci~a~~~~~ogram Projeci

o amp IQCs ~ ~ relampted excepi A amp E Services)

o 9 Host Counlry ContraclGrnnt 5lJ C amp E Services

middotComplele ONLY through ~Sl ~~ 0 D Construction

M05 SELECTION PROCEDURES 0 E- Reseuch

o A Formally 3dverliscd (IFB) (A1DPR 7middot24 amp

FPR 1middot24) ~ o B Negoli3ted Price Compelilicn Gencr31

Procedure (RFP) (-JDPR 7456)

Dc A amp E (AIDPR 7410)

0 D Ed Inst andor Inl1 R~arch (-JDPR

74 5)

o E Collaboratoe Assisunce (IDPR 7458)

C F Predominant Capability (IOPR

73IOI-50(b)(l)

AID 1420-49 (179) - Page I

D F Technical Services to AID (other than trainmiddot

ing usually o~ating expense)

D G jraining SetVice for AID

o H Equipment Materi3J~ Supplies Commodities

D I Translation Service

~07middot TYPE CONTRACTORGRA-nEE

o A Firmmiddot AU profil-rn3king fUms (other than

Aamp E)

J e A amp E 8r~

zalion

o Public Inlmlational Organizations (UN

Agencies ICRC Wocld Bank elc)

(H8 J 3 Chapt~ S)

M08- TYPE AW~RD

o A S8 Sel-Aside - Awarded to Non-Minority

o B S8 Set-Asidemiddot Awarded to MinXity

o C_ S8 NOI Set-Aside - Awarded to Non-Minority

o D S8 NOI SeImiddotAsidemiddot Awarded 10 Minority

o Eo amp(a) S8A Awarded to Non-Minority (Womerl-

Owned Veterans etc)

o F 8(a) S8A Awarded 10 MinorilY

o G Personal Sen-ice ConlrdCt bull Non-Minority

o H IeJSDnal Service Conlract - MinorIty

o I Individual NonmiddotPersonal Service Contraci -

NonmiddotMinority

o J 100Jigtiduai NonmiddotPersonal Service Contracl -

Minorily

o K NOI Small Business (Univ NonmiddotProfit Large

Firms) Non-Minorily

o L- NOI Small 8usineSl (Univ Non-Profit Large

Firms) Minorily

o M US Govcrnmlnt

(Connnued on Page 2)

BEST AVLABIE DOCUMENT 1 I

--

ua ) R I GI NAL 9 bull

MODIFICATION or GRANT PAGE 1 of 2

AH 1 2 Effective Date 3 Grant No 4 Effective Date

Amend_at Ro 5 April 15 1981 AIDCSD- 3294 8-11-71

-s CRANTEE (Name and Addrea) 6 Administered by -Professor Gerhard Loewenberg -Office of Contract Management Cbrnparative Legislative Research Gente Central Operations Division Dept of Political Science am Branch University of Iowa Agency for International Developn~nt Iowa City Iowa 52240 Washington D C 20523

7 PIO No 930-0090- 3013411 A5 8 Previous PlOTa -

Appropriation No 72-11110216 93i-1l-995-l36 930-11-995-136-73-3078103

Allotment Symbol - 146-30-099-00-20-11 wunt Obliga ted by this ~ndrnent - $10397

The above numbered Grant is hereby modified as follows

1 Anotmt obligated prior to this rurendment 2 Amount obligated by this amendment 3 Total obligated anount (1 amp 2)

Delete the amJmt $465000 and substitute in lieu thereof the ammnt I$47S 39-7 ~

FUNDS AVAIrABm

~~ - APR 13 1981

PrO~A~~5iors

$465000 $ 10397 $475397

OffiCE Of fIN~(1 ~~rE~E~T __ _ 10 This amendment 11 entered into puruant to the authority of the Forelgn

Assistance Act of lS~l as amended Except aft hereln provided all terms and ~~ndi~ons nf the grant rcferpnccd in Block 13 remain unchsnged and in full force and ~ffcct

11 original and six Crantee 18 requlred to aign thh document aad return 1- eopics to issuing

ffiee

~~~ or printed) BUSINESS MAHAGR amp bull

Tille TREASURER

UNITpound) STATES OF AHERICA AGENCY FOR INTERNATIONAL DEVELO~NT

BY_-1(1o-_1lt--= 13middot~_1_~ __ K R B1uteau

(Name typed or printed)

Tltle~ ____ G_r_a_n_t __ O_f_f1_c_e_r ____________ __

D3tC APR 2 J 7997 Dolt 9 APq 1981

BEST AVAILABLE DOCUM NT ___ 0 HLGlNAL - I 1 J 1 ~ )

- 2 -

AID ftmds in the am)tmt of $10397 are hereby provided for the activities lmich are described in your proposal (including Budget Stnmnary) entitled CDnference to Report Research Findings on the Study of Political CDnditions for Effective Small-Scale Rural Assistance Projects in Kenya Korea and Turkey dated February 17 1981 and made a part of the Grant b reference

BtTDGET StMMARY

Line Item

Travel

Per Diem

Other Direct Costs

Less existing 211 (d) grant funds

Total Amount Obligated by this Amendment

Estimated Costs

$ 5888

5100

_ 2500 $13488

_ 3091

$lO39

Note Indirect costs or $395086 associated with these activities will be contributed by the University of Iowa

BEST AVAILABLE DOCUMENT

~RIGINAL

- CONTRACT IGRANTCOOPERA rIVE AGRElEMI~ SERC~SDSlP Actio) Monitor

SERCMSDSUP Action Office

I

INSTRUCTIONS AJDW - Complete 4 copit of tlh fonnmiddot Orisina iCMSDfSUP Sutistical Section COP)middot Copy 2 SERCMSDjSVP Administrative CoP Copy 3 Cont-acting Officers COP) Copy 4middot SOSUP Admin (Susptnse) Copy Missionsmiddot Complete 2 copies of the form or~aI SERCtSDSUP Statistical Section Copy and Copy = wiU~ retained in the Missions

0 PART IA

Effective Date of Document tJ

Delivery Order (Requirements)middot

o 4 Purcluse Order

bull If I 2 or 3 have an bull X compl~te M I 2 ON L Y

M04 - CONTRACTGRANT TYPE

o O MOA (BOA BMA etc)

o 1 Fixed Price (Specify FFP FPRD FPEP FPI) ___ _

o 2 COli Reimbursement (S~cifY CR CPFF CS CPAF CPIF) ______ _

o 3 Cooperative Agreement

o 4 Grantmiddot General Support

o S Grantmiddot Specifi Support

o 6 GraDt 21 led)middot

o 7 Do Not Use

o amp IQCs

o 9 Host Country ContractGrant

middotComplete ONLY through M 5 1

MOS SELECTION PROCEDURES

o A Formally advertised (IFB)(AJDPR 7middot24 amp

FPR 124)

o B Negotiated Prire Competition General

Procedure (RFP) (AIDPR 7456)

o Co A amp E (AlDPR 4 I 0)

o D Ed Ins andor Intl ReStalch (UDPR

7457)

o E Collaborative ASSistance (AIDPR 7458)

o F Predominant Capability (AIDPR

7-310l-50o)(3)

AID 142049 (1-79)middot Page J

o H Procurement Co be Performed b~ the Conshy

tra~tor in Person (AlDPR

7middot3t OI-SO(b)(Iraquo

o I Sole 5gturce (AIDPR 7middot3101middotSO(b)(4raquo

o J Impairment of Foreign Policy Objecdv~

(AIDPR 7middot310 ImiddotSO(b)(7raquo

o K 8(a) Selection (FPR 1middot1713-t)

o L Grant (Handbook J 3)

o M Do Not Vse

o N Cooperative Agreement (Handbook 13)

o O Small Business SetmiddotAside (FPR 11706-8)

o P Overseas Procuring Activities (AIDPR

7middot3101middotSO(b)(2raquo

M06middot TYPE SER VICE

o A TtJining of Participants

o B Technical Assistmce (Program Project

related exc~pt A amp E Services)

J C A amp E Services

0 D COltl~ruction

0 E Research

0 F Technical Services to AID (other than trainmiddot

ing usuaU Y operating ex pense)

0 G Training Service few AID

0 H Equipment Mat~rials Supplie~ Commodities

0 I Translation Service

07middot TYPE CONTRACTORGR TEE

Firmmiddot All profitmiddotmaking fu-r1s (other than

AampE)

o 9 amp E Firms

I Prcct NumbcT

I

Contactors D-U-N-S Numbcr

I) -S--f(j

o C Individual 0-lon-~rsora1 service)

o D Individual (Pet-sonal Service)

o E University lOt her EduCltionaJ Institutions

o F Non-Profit Organization Institutions (other

than Ed or PVO)

o G Private Voiuntary Organization (PVO)

o H International AgricultwaJ Research Organmiddot zation

o I Public International Organizadon~ (UN

Agencies ICRC ewld B3J1k etc)

(HB J 3 Chapter 5)

M08middot TYPE AWARD

o A SB SeImiddotAsidemiddot Awarded to Non-Minority

o B SB SetmiddotAside bull Awarded to Minority

o C SB Not SetmiddotAside - Awarded to Non-Minoril)i

o D SB Not SetmiddotAside - Awarded to Minority

o E ~a) SBA Awarded to Non-Minewity (Womeli

Owned Veterans etc)

o F 8(a) SBA w-rded 1o Minority

o G Personal Service Contractmiddot Non-Minority

o ~ Personal Service Contnct - Minority

o I Individual Non-Personal Sence Contractmiddot

NonmiddotMinority

o J Individual Non-Personal Service Contractmiddot

Minority

o K Not Small Business (Univ Non-Profit L1lge

Firms) --vn-Minority

o L Not Small BUSiness (Univ NonmiddotProfit Large

Firms) ~inoriy

o M VS Government

(Continued on Pcge 2i

t bull - t ~ J f q

ORIGINAL bull MODIFICATION OF GRANT

1 2 Effective Date

Araendllent Ro 4 12-2-80

s CRANTEE CHace and Addrels) Professor Ger1ard Lo~middot enbelg Comparative Legislative Research Deartment of Political Science The Lnivp-rsity of Iowa Iowa City Io~a 52240

7 PIO No NI A

Appropriation No 72-11XHl26

Center

Allotment Symbol -426-30-099-00-3~-71 Amount obligated by this urendment-O- I

3 Gnnt No

AIDcsd-3294

PAGE _____ 1 _of-L

AlI 4 Effective Date

8-11-71

~ Admlnlltered by -Office of Contract Management Central Operations Division OTR Branch Agency for International Development Washington DC 20523

8 Previous PIOITs -

931-11-995-136 930-11-995-136-73-3078103

9 The above numbered Grant is hereby modified as follows

Supplement to Grant

Change the duration period sentence to read

The Duration Period for this Grant shall be August 11 1971 through December 31 198]

1 Amount obligated prior to this amendment $465000 2 A~unt obligated by this amendment -0-3 Total obligated amount (1amp2) $465000

----------------_- - ------- ----_- ------ 10 Thh lImcndmcnt is entered inlo punuant to the authority of the Foreign

~ Assistance Act of 1961 86 amended Except a~ h~reln Z II provided all terms and condi tions nf the grant referenced in Block 3 remain ~~aunchlinged and In fu1l force and effNt cnltUI cJ)za 11 o 4 J bull

Et~ ai~a gtUoItshyc Z P=u

original and six Grantee t requi red to sign this document and return 1- eopies to 1Bufng

office

~ 12 GRANTEE TES OF AMERI CA

(Name typed or printed) bull

TJlle Director Comparative Legislative liecearell CeQtoQl

Date 12880

------------------------------------

ONAL DEVELOPMENT

By ----~--~~~~---------------------

prinled)

Grant Officer Title --------------------------------

J)oll( 12-2-80 -----------------------------

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Page 12: PD-Ar3T Cr(~

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cesigned tgt trrtin US and foreign-born st1lcents in le6islati-~e rese=z-cndeg

Sttde1fs ~dll be tdTi tted cr11ally to 9 proeragt iihicn ~iould irclude a

tro~ot~h grounding in the r thods of cczparative aralysis the S1ostance

of conparatie politis g-mel31ly end the corrparative studJP of

legislative behavior in 9articulal The Uni-ersity intends to associate

tnese studelts directlr - rith research in Ttlhich faultr 2Cbers are

engaged to encourage thea to dra- U90n the skills end resources available

in this field il ra1Y departnents of the University to enable them to

spend up to one year in field research and to have thel4 snare their

findings middotrih their stmiddottidei~t and faculty colleagues Tle prograII will also

involve foreign scholars middotno are expert in the legislative process of

t3ir o- n countries in the tcaciing fgtimiddotogren both by holding -fisHing

a=point~elts at t-e University of Ioc1d by sUgervisi~g field research

c R d - t- ~ 1 rec C~ of Esta~lis~ed Scholars Tne University of Io~~

plals to extend a1 in-itaticn to seieal foreign scholars duri1g te

gle1t p2riod to patici~te in a coparative legislative researc~ seirar

duriig their visit Their plrticipat~ion middotrill edd 3 lL1iqte diiensicn to

the seiiral hceuse cf theh ~1o~-rlecge of the legislature in their own

C01-try BCmiddot2~ J1is Gemilr -ill be dealing -lith the nos-G current

reseaCIJ o~ l0~ ~ltmiddotJres as ell as discussine desigs for reseach to

fill in cowleuge of legis1timiddotre 1ehclicr -re believe

tret it ill be a l2~lilg experience for all the pclticira1ts--incltcing

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Ima rill lOrk collcboratively ~ith the fOrsig1 5cbolars to design a1d

carry out P reseach pruject These projects Till cc~tribute to the

retlaininB of foreign scholars and nill also add to cur mmiddotm and8rstanding

d Research The 9rinciplI enphases in cesenrcl rere cutlined in

Section III above ie to focus en con-9arative studies in iihich

legislative cehaviol can be helpful in explaining the scope of politics

the style of governcent a1d the legitinacl of regiles Variables hich

will be studied Iost closel~r ircluue tbe persistence of institutional

norms in the legislature oyer time the relationship o~ the legislatue

to ether institutions in fornirg public CC1Cepticns of politics and

the histOl~ical context detelini1g public expectations of the 12risleture

This resea~ch nag both academic and practical objectives

Academically it promises to tie legislative behavior research to other

major concerns L1 pcliti~al science such as research on systeJ stability

and paricrJance Its general substaltive eojective is to assess the role

wtlichlegislatures Illay L1 determining the capability of political

s~lstems especially their ability to deal ~middotith soCial change

Vractically the stu1y ~y offer guidance to polic~Y-Dakers on

t~1e role ~ hich legislatures rray be ~lI-pected to pIa)- in neimiddotrly established

political systelt ald on ~hc efcrrrs in established legislatur~s -Thicn

rray be required to achieve specific syste~ effe~ts The study ~dll

Nquire the assccioticn of rembers of legislative staffs a1d 2cademic

colleagues in the s~eLal nations lmder nvestigRotiop plovidirg training

fot ~ll r)f them i1 leeis1ntive re3Clrch ~ri facilitating a valuble

BEST AVAI~BLE DOCUMENT

ll-

of Iml3 ~ill LS~ glmiddot~t f~ds t~ estaolish a data archive to begin to

bring tb~ edtirg legi31ati--re studies tog3tller at a single locaticn

end to =afe t~e ac~essible to tie grc~ring m~er of interested

scholars in t~i3 field PerSCIlllel of tbe Data Archive ~rill searcD

broadly fo all a-reilable data on legislatures in the possession of

ildiviiual researc~rs i11ese data sets ~-Till be acquired refo~atted

for ease in alelrsis a1d stored in Archive Tne Archive ~~ll

asserble tie etel~ Gata O legislative organization ald procedure the

socialization ~~ recruite~t of lzgislators legislative decision-

makLg pccesses 2d legislative outputs To facilitate access to

the data a ~middote-riemiddotrlt11 syste middoti111 be cesigned that will 2011001 r-=searchers

to find ~iccJ ata sets that c~mt2in inforration lelefalt to their

researc1 po)2e5 RibEcg-aphic citation3 cnd abstracts of research

reports on le~i51e-imiddote oebio ~~ill be gathered and a biblicgraphic

retrieval sys tC idll a Geielc9d to aid esealcJers

cooioinet-e1 ~~as n -ie are= of c~rarativa legislatile studies is

t~3t because 0 si~~e iJS in~ti tuticn ias tce necessarJ expertise

of ccrparati ve

1-=gislatiY2 tcie3 8forts of the most conrpeteat ace interested

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12 -

oz~ the tr)middote grantee institutions and otter associated scholars It

~ill ayise t~e pa1tee i1stituticns on SllC catte-s as roritorirg

activities at the t~re~ unive~sities~ evalu~ting rese~rch frr possible

=middotclication sJ--sidies rld ether ratters related to infor~atioTI

disse~~ation coordinating research efforts to avoid duplication

ecilitating excha1ges d sttde~ts ad faculty members ~-iitb foreign

nsti tutions i~en desirable tryi1g to till lacunae in cLIricu lUn

helJilg to arralge cmferelces and sy-posia and generally trJing to

9cote te ~eielcp~2nt of cOlparatile legislative stucies as a

Gra1t L~HS idll be ~sed to support the Univ2rsity of Io -a IS

nrticipation in tre AdisorJ Co-i ttee t1e developrrErt of conferenc=s

elsEfhere il the US arHl over3eas i1 relat2d facets of leeislaive sttdies

Edstng iersonJ~l al~d fa-ilities at the University o= 1oa previde

iaculty facliiies to aid rC3emc~ trailg aPd skill in 21c~ivaJ middotork

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r ~-)

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Six ITe-bers of t1e faculty of the Departent of Political Science

at the Unhe ity of Im-ia are presently engaged in legislative research

To merbers ot the Departllent of History are engaged in research on the

British Parlia~ent L~ the eighteenth ~~d nineteenth centuries Fer the

past six years an adv~~ced se~inar has been offered by ~embers of the

Department of Political Science and the Department of Histo~J on

comparative legislative behavior This exte1sive collaboration iiill

ma~e it possible to develop a fully inter-disciplinary program for the

students ~~d visiting faculty In addition faculty ~emcers in

Scciology interested in organizatien theory and in the College of Law

interested in legislctive processes provide furtber e-pertise ava_ilable

to students interested in tee study of legislative behavior The

presence of these specialists on th~ facult~r is reflected in the

excensive librarJ al1d otler data resources existing at Iowa in this

field

The Uniersity of Ima offers an unusually extensive program of

trainL~g in research methods Four ~e~bers of t~e Department of Politi~al

~cie1ce teach in the field of research nethods Courses jn statistics

ca1 be taken ill the Dep~rtents 01 Sociology e-d Educational Psycholcgy

Llis prcgr6l provides a verJ solid grounding il research training and

data analysis

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e ~

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Y labCrato~y for olitical Pesearch is the reseacc1 md research

tlairirg facility of the Departe1t of Political Sci-lce Gcadvate

students receivo extensive res~arch experience through 1or~ing in the

La oratory bull The Lacoratoy is also a1 integral part of the trainirg

o~feed in ccurs~ T~middotO~ for graduate students

The full-time sta~f of the laboratory includes a director an

assistant director a t-=cl1ical cirector a supervisor of study

t1hteen graduat~ students - rf1rk in te Laboratoy receivLLg teining i~1

~a~a collecticn ~~i data e~alysis Tbe facili te5 of the La)oratorltJ

icluoe a oard eJcerline printer ccnnected to the U1iversitys

dis~ and tape storF-ze for d~ta

The pogral of trailing ia coparative legislative reseC_cch ~ill

relr heavily en t LaOerltcLJ- for taching graduate stucents Visi tine

fc111tr lYe~bes iill be able to utilize tbe facilities cf the Laboratory

gt IOra ~as sFcial ccrpetence in prOCed~les for

ccq ter ogagtlizetion of d~ta Ja1ks ~d fOi the p~ocGssing of large data

sets as well as iJ the sttdy of naticnsl end st~te legisltllres Tile

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Ile Univelsity of 10Ira will eadnister- the Grant thJotg~ its normal

a)1 iristrative char-l1els ad i1 Eccordance imiddotlith its ncrTal olicies and

operatirg procedures 7he Director of the gr~l1t-s~~ported program

Hill be a senior faculty eriOer of the Gniyecsity of IO~-ia -with extensive

expe~ie~ce in the subject field Associate Directors w~tb similar

qtalifications -aill also be appointed 7he Director- and Associate

Directors ~dll serve as eibers of t~e Inter-University Advisory CC1gtr)ttee

established to cooidinate _u bullbull ID gra1t-stpported programs at IOia Dul(e

lniversity a1d the University of Ha- aii Ll1 this field These relatiol-

ships are i~dicated in tee follc~dng a~inistrative organization chart

IX Ul~vsity Ccntri1uticn

T1~ ~h-ersity of IQ(a aSSures ALD that this Grant middotiill not

replace existing ftnds for STr current activity and imiddotrill be additive

to existing prograrrs of tCe lJniversity In direct sp~ort of this

Grat ttc University ~ill provide a) Acmi1istratile costs including

tie of senior officers of ttlt University b) Office ~ld research space

ald library and cor-puttr facilities c) Provision of a1cillamiddotCjr 1niversity

personnel -or consultation o~ ~middotjQrk nth the progral

X Reports end 5evie~-Ts

There i-ill be sub~itt-=i al arnual t2ctnical report for the purpose

of AID s revie- of activities under te Gant Tnis idLl include

a11 e-llation of prcsr~ss aidnistratve ar_c fiar~cial corsicer~tior~s

p~s cr tr foJlJ-middotire ear ~i disctlssics of the ossible l~lizaticn

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A~~inistrative O~ganization

Ice Board of Regents of tle State of Im-la

-Iesicent of the University I

1 rOfcst Jf t-3 University

Den College of Liberal Arts

r Chailan DcptiEt of olitical ScieJce

Inter-G~iversity

Acisorr Corcittee

PcgrG21 Director Associate Progra~ Directors

Liaison Arcrge~~nts d ~h I I~~erested Plcfessiona1 I Perso~el j

I _

I 5cu1ti (full or PmiddotLG-tire l Asscci~tes a1d otllei non-Io~il

3ecip5ents of Gr3-1t stPPC1t Gr~cue~~e S t1~lcnts St2~retQi~S1 Data Lbed~1 31

Ln 18 r1icia 1

LO1t c~lce Factcj~1 ts

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of te eo17i~g cCpterce br A I D rLld ethers In addi tion there

aS3essr~ents of the gr31t

middot l ~ lI ~ _ _ _ co~~~r~~ing ~~iversiti~s md tne rrctitoring ALD office

7re l~yersity of Ie~middot~ budget of $26500 is to be deveted to the

cemiddotelgt~e~ of lstituticnal cefete1Ce in comparotive legisl~tiye studies

~t Iomiddota c t~ the exalsi0 ot a date b~L-lt ~ hich 1fill be utilized as

a ecle for icrec3ing te scope of tbe sub-specialty

T - 1 f 1 __ middotja r S Ctdget a9roxir~tly 33- has bee allocated to a

cemiddote Lp~l t rirc ipally C actlty re leased tirre for data ccllection

ai 0 3alres f~r i~~er-ieers in field research 3d secretarial

assi5ta1ce nCt2 11- of t~e Icmiddotre oudge~ is iesignated for an

ArCE_1 A~ite s(101a~middot 2d one 0 ore scnolals froQ LDe or

s1lllrt of greluate stucents in the

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Finally approximately 19 of the budget will be devoted to the

proposed data bruL~ that will archive not only data generated from the

research of scholars at Iowa Duke and Hawaii but also at other US

and foreign institutions Primary and 3econdary an~ses of these

data will become an integral part of ~omparative legislative studies

curricula The ability to utilize the data bank for teaching purposes

also should have a significant impact on professional preparation ofmiddot

future legislative specialists In summary the funds will be

allocated to research teaching and training activities tha~ are

entirely conson~~t with the philosophy underlying the utilization of

2ll(d) grants to achieve institutional development

Conclusion

The University of Iowa regards the research and teacbing components

of this program to be closely related an1 zrutually reinforcing The

University of Iowa offers a strong base for the pro~ram because of the

interests of faculty members here now because of their contacts with

scholars in this field in other Americ~~ and foreign universities

because of their experience with the international exchange of faculty

and because of the distinctive data gathering and processing facilities

available in our Laborator~- for Political Research The program which

we have formulated is designed not only to accomplish specific

research and teaching objectives but to contribute to the long-term

development of the University of Iowa in an area in which it has already

exhibited special interest

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The program on Comparative Legislative Studies with support from

this Grant rill develop the capacity at the University of Iowa to

provide assistance under separate financing arrangements to developing

countries in a number of ways and through a varieiy of channels This

assistance which would be arranged for end negotiated separate~ from

this Grant may be in the form of technical assistance advisory service

training research and information exchange etc It will be available

by mutual agreement to appropriate agencies national and international

public private a~d mixed and directly to the less developed countries

Most especially this added special competence will inevitably become

incorporated through the processes of scholarship and education into

the competence of US and foreign scholars and institutions concerned

with this topic of great significance to the developing and the more

highly developed countries alike

BUDGET SUMMARY

UNIVERSITY OF IOWA

Salaries

Graduate Student Stipends

Fringe Benefits

Travel

Equipment and Services

Other

TOTAL

$173090

32400

19209

13800

6501

20000

$265000

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(C

Dr Willa~d l Boyd Presicient University of Ima iowa City Iowa 52242

Dear Dr Boyd

4 AUG 1977

amp

FIJNDS AVAnASLe CpoundNrftAamp sEIMCEs DMsON

AUG11 ~n te t6417 ~77

Subject bull Supplsectferit-tJF-G~middotNomiddot~middot AIOcsd-3294

t middot-rrPJ1 3

I am pleased to inform you that pursuant to th~ auth~rity contained in

S-cction 211 (d) ooC the Foreign Assistance Act of 1961 as amended a sup

plemental grant in the amount of $200000 is h~reby r~de to University

of rCi1a These supplement]l grant funds areprolided to support the

activities which are described in your Proposal dated May 6 1977 for

the implementation of your program entitled Political Conditions for i

Effective Small-Scale Rural Assistant Projects

---This sup~lemental grant is mace to University of Iowa en condition that

yo~r institution shall administer the funas provided under this Grant fn

accordance lith your r~ay 6 197 proposal (including Budget SUmlilary) and

the Standard Provisions (as incorporated by Amendment No 1) which have

been agreed to by your instit1ltion Ti) the extent of an inconsistency

between the Proposal and the Standard Provisions and any otherprovisfons

which ar~ made a part of thi5 Giant by reference or other~iSe the Sta~d~

ard Provisions shall control

The new Duration Period for this Grant shall beAugust 11 1971 through

August 10 1979

The total amount of funds obligated under the grant is increased to reflect

a new total oblgated amount of $465000

Please sign the Statement of Assurance or Compliance ana the origfnal -

and seven (7) copies of this letter to acknowledge your understanding of

the conditions under which these funds have been granted Please return

the Statement of Assurance of Compliance and the original and six (6)

copies of this supplemental Grant to the Office of Contract Management

Attachment May 6 1977 Proposal and Budget SUfiT1a ry

UNIVERSITY OF IOWA

Roberw bull OBrien fficer

Ce al Operations Division Office of Contract Management

AC~E~E~C--_ 0 BYpoundk~~ cH

D C ~lpoundSTtR5BA T ITL E ( PfeampoidPilt for

tee ment amp Research DATE 9-22 -77 (d~ ~~Bduate Ctl~1e~e

BES i AvAILdLt UOCLJMU~ I

211(d) Grant Program

Proposal of the University of Iowa

POLITICAL CONDITIO~S FOR EFFECTIVE SMALL-SCALE

RURAL ASSISTA~CE PROJECTS

Submitt~Ci to

Civic Participation Division AID

May 6 1977

Amount requeste~ $ 199987

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I TdE DEVEIOP~T PROBr~

P~litical Conditions for Rural Development

The Cocparative Legislative R~search Center of the University of

Iowa proposes to ~~dartake a two-year study to investigate the role of local

leaders and the rural public in theimplecentation of small-scale develop~ent

1 projects in less developed countries The study will use and extend the

capacity ~hich the University of Iowa developed under a 211(d) grant to

investigate and assess the impact of loeal politics on rural development

~t the co~pletion of the s~ Iowa will be in aposition to advise the

Agency on the design ~nd evaluation of s~ll-scale projects which will be

politically viabe a~d effective in ass~sting the rural poor ~

As students of development w~ approach our task with the assumption

that the proble~ of development and underdevelopment are funda~entally

ones of political econooy and a~ such can only be solved through a

simultaneous considerationof economic and political factors Efforts

which foc~s aloost solely on economic factors like those of ma~y

organizations engzed in dipersing foreign aid or efforts which focus

almost exclasively on political factors fail to take account of the

interdependence between these two dimensions of underdevelopment and

lwe have for~ulated this proposal in a canner consistent witr the cu~rent policies ard interests of the Agency We have been guided in our tsk by four Age~cy doc~e~ts Impleo~~tation of New Directions in Developnent Assista~c~~~ ~eport to the COmlittee on International Relations on Ilupleoenshytatiun of Legislative Refo~ in the Foreign Assistance Act of 1973 (July 1975) rItevis~d Projec Developiel Review and Approval Systeo (A I DL Circular A-21 Aril 23 1975) SH Butterfield Draft SUIilZ3ry StateUlent of a Practical Agelcy Approach c aural Devalopilelt (AATA February 28 1975) Cicci A Coce~ual Oie=viamiddot middot Rural Development No1 (lWorilting GOU O~ tha Rural Poor February 1975)

- l -

can meec with only l~ted success

Our concern with the i=pact of local politics on the process of

rural developcent is a result of our interest in the basic question of

how LDC governm~nts and the donor agencies which assist them can

become core effective in raising the standard of living of the rural

poor We seek answers to the following aspects of that basic question

1) What political conditions must exist both within rural communities

and between theo and central gove~ents to raise agricultural production

w~ere small-scale agriculture is the do~nant pattern 2) Vnat are the

political conditions for a core rapid expansion of the informal manufacturing

and service sector cocprised of labor intensive small-scale industries

located in the rural ar s 3) What political structures and activities

are mase crucial for the provision of welfare and econocic supporc services--

such as agricultural exeension mar~eting and transportation--to the rural

areas1 4) ~~at Folitical conditions oust exist to insure that economic

growth in the rural areas is not accowpanied by excessive and intolerable

inequalities between socio-economic classes andor between regions1

Center-Periphery Linkage in LDCs

To deter~ne the political conditions for rural development we have

in previo~s s~udies exacined the institutions and processes through which

rural populaticns are integrated i1to the national politi-cal systetlS of

middot~he countries in which they live A gap exis~s in most less developed

countries bet~een the peasantry residing on the periphery and the c~~tral

political ~stiutions staffe1 by ~~estern-educated bureaucratic elite

We are aware of the other major ~sti~utional discontinuities which comprise

J

4 middot~~1 the basic cleavage between the developed and underdewmiddoteloped sectors of

these dual societies Bridging these gaps is essential if these so~ieties ~ are to develop into viable nation states For until those Q~ the periphery

of the poli~ical syste~ participate in that system and support and comply

with the authority of central political institutions neither economic

development in ~he rural areas nor a stable polity will emerge

Bridging the discontinuities in these new political systems requires

establishing and institutionalizin3middot1inkages or networks for co~unication

and exchange of resources between decision-makers at the center and the

rural public on the periphery Three types of institutional linkages are

most prominent in less developed countries 1) those conSisting of the

state administration composed of the bureaucratice1ite 2) those consisting

of a revolutioncry political party cocposed of the ideological elite

3) and those conSisting of patron-client hierarchies composed of the political

entrepreneurial elite

Of these three linkages consisting of the state administration are

the cst extensive and pervasive in virtua~ly every LOC Such linkages

however exist primarily a~ instruwents of the center to penetrate the

periphery Central government officials are formally charged with bringing

develo~ent to the people This is a ~issi~n which conceives development

as a process ~hrough which a traditional peasantry is transformed and

assimilated iJro the DOdern center which is steadily expanding to embrace

it Agents of the center invariably have more resources to achieve their

objectives than do local political leaders but because they are frequently

strangers~ the communities in which they function they are often unable

- It -

co implement the policies of the center without working through the

local establis~ent

Though somctices significant linkages consist~g of revolutionary

party organizati~ns such as those found in China and Vietnam do not exist -

in most IDCs beca1Se of the special historical and e~omic conditions

required for their development As wi~h the administrative state however

the linkaampe apparatus of such political patties is prUlarily an instrument

of the center whose mission is to penetrate and mobilize those onthe

periphery

In contrast patron-client hierarchies are linkages which represent

the periphery at the center and mediate betwee~ these two disparate

sectors of the political systec Thcugh norcallymiddotovershadowed in scale

by the state administration patron-client hierarchies are found in almost

~very LDC a~d constitute the ~st significant network through which rural i

populations and their leaders influence the decision-~king process at

the center Patron-client hierarchies exist in a wide variety of org~iza-

tional fores ranging from info~ ~ec~~rks of individual olitical leaders

in uno-partyll systelS in S~b-SaharaI4 Africa to extensive political machines

in both one-p~rty (Africa Mexico) and ~u1ti-party systems (Turkey India)

Despite their importance as the pricary means through which peasants in

LDCs particiate in their political systems patron-client hi~rarchies

have only recently become an object of analysis by students of political

developent and do not appear in even the most sophisticated studies of

2 See Jo~ Dunca owell Peasant Socie~y and Clientelist Politics Aerican Politi~ Scielce Revietol 64 (June 1970) pp 411-25 Rene Lemarchand anc_ Keith Legg olitical ClienteliSJ and Ethnicity in Tropical Africa Aierican Political Sc~ecce ReView 66 (Y~rch 1972) pp 68-90 James C Scott PatronshyClient Politics a~d Political Change II 1tlerican Political Science Revie~ 66 (~arch 1972) p 91-113 and Friends Followers and Factiols bull edited by Steffan Sc~~d and James C Scott (Berkeley UniverSity of California Press 1977) bull

- 5 -

3 economic development Ad~niscrators of developmental assistance progracs

have too often regarded patron-clienc hierarchies as ~ped~ents to

develop~ent instead of recognizing cheir potential utility bull

~ Findings on Patron-Client Hierar~hies --

The importance of pat~on-clienc hierarchies for linking the periphery

to the center is one of the major findings ~erging from a study of the

relationships betueen l~gislators an~ their constituents in Kenya Korea

and Turkey ~hich the Cowparative Legislative Research Centpr is nov

comleting uader its 21l(d) grant from AID This study has av~mined the

creation of linkages between the periphery and the center through ~ore

than lO~OOO interviews with members of parl~ent local leaders and

peasants in t~e three countries The findings are being systewatically

set out in a book-length monograph Nearly a dozen research reports have -

uready appeared (see Appendix C) ipropositions about the nature of

political behavior of rural populations an~ the roles of local political

elites de=ived from the research~ can be s~rized as follows

1 Elected representa~ives play a significant role in the creation and mainte~ance of linkages be~een the center and periphery by developing local political achines in which they function as patrons of their constituents In turn thay s~rve as clients of political leaders of national stature who control central government institutions

2 By atte~pting to establish linkages based on patron-client relatio~shi~s elect~d representatives are responding to public expectations chat their prizary duy is to obtain resources from the center to proffiote local develop~ent ~iany elected repLesentatives spend most of their time on self-help co==unity development projects such 3S the building of schools health clinics irrigation works arid roads because such projects provide

3For exa~le ~ a widely respec~ed a~d useful analysis of rural deve16p~ent in Sub-Sahara~ Africa L~ Lele of the World Bank notes the problems of creating an adoini5~raive infrastructure in the rural areas that is sensitive to local socio-oliical conditions She does not however consider how local leaders operating o~tside of adcinistrative structures ~ night contribute to the developne~t 0 the rural areas See ~~ Lele ~ Design ~ Rural Develop~ent Lessons ~ Africa (Balt~re The Johns HopkiD~ Uciversity Press 1975) r) pp 127-61 i ~

- 6 -

their const~tuents with desired se~ices ~~d a= the sa~e time provide the reresentatives with an orgacization Yhicn can be used as a political base

3 l-tore than 90 perCel1t of the rural population is capable of articulating the p~oblems facing their local co~~ity and two-thirds discuss th~e proble~ w~th their fellow citizens on a regular basis

4 Three-q~rters of the residents of the rural areas can identify the public ofpoundici~s who serve thec--both civil servants and elected represcrtatives--by na~e Most are knowledgeable about the activities of these officials Alcost one-fifth coreover have discussed co~~~ity probl~ ~ith these officials particularly those working at the grassshyroots level Residents of rural villages actually have a higher level of political knowledge than their counterparts in the towns

5 Elections in the rural areas evoke a highly rational attern of voti~g despite the effects of ascriptive or traditional co~siderations Inc~ens are pri~rily evaluated in terms of their record in fulfilling the public r S elpectations of what they should do Elections are essentially referenda on inc~entsr perfo~ce especially their perforwance in the area of constituency servi~es such as bringing development projects to the districts bull

6 Local developcent projects have a relatively high s~olic value generating conscitutency support for local leaders and the central government at low cost

7 These projects help huild a local political infra-structure which can also be utilizec by central govern~nt civil servants to implement other policies designed to achieve rural develop~ent bull

The Icpac~ of Local Politics on Rural Projects

Having explored the developtent of linkages through which the periphery

is represented at che ~enter and through which the periphe~ attemp~s to

share in the ceners resources we now propose to build upon our initial

investigations by e~ing in greater detail the impact of local political

conditions on specific problecs of rural develop~ent We propose to

exacine the develop~ental activities of local leaders ~nd the rural public

by eX2~Ding a saple ot fifteen to twenty smalL~scale developwent projects

in each of ~he three countries which constituted the sites for our initial

8ESI AVAILABLE DOCUMENT 1 ~ - of

- 7 -

study of center-perhiphary relations The appropriateaess of this approach

and the ~ethodology through which it will be ip~emented is discussed in

section II Because the ~ethodology of investigation is in large part

the result of our previous research experience we fizst turn to a revieW

of the existinQ __ ~petence of the Comparative Legislative Research Center

in this area

II GRAXTEES EXISTIXG CmET~CE

In 1971 the University of Iowa received a 211(d) grant to develop

its capacity to do research on the role of elected represent~tives in

the process of modernization On the b~sis of this grant the University

established a research center which planned and carried out a research

project on the role of elected reres~~tatives as links between the central

gove~ent and rural populations in K~ya Korea and Turkey The project -i

served to develop t~e University of Iowas research capability in this

field esa~lished ties between the University and scholars in the bost

countries and generated a large and uniqu~ body of relevant data

In that project we fo~ussed our attention on tbe activities of elected

representatives in their constituencies notably in their contacts with

local political leaders voters and civil servants To determine tbe

nature of the linkage function performed by tbe representatives we

designed our research to explore the subject from three perspectives

1) we eXaojned ~~a ~ubject at tbe grass roots by conducting a series of

sample surveys of 200 to 300 adults in each of 12 to 14 parliamentary

constituencies in each cf th~6three countries 2) we examined the subject

at the center by intervie -ing MIls from the constituencies in which we

had conducted S3mple surveys ~nd higher civil servants with whom they

had contact and 3) ~e ex~~ined the subject from an inter-~diate level

by identifying aud ~terviewing local social and political leaders in

the MPs constituencies We used survey research methods because we

were embarking on the study of an entir~ly new subject for which little

relevant docu=e~tary data existed and on which there were few secondary

sources As a result ~e have unparalleled experience with survey

research in the rural areas of less develo~ed countries

The surveys which constituted the cajor part of our field work were

planned in collaboration ~~th scholars from the host countries They were

carried out in each constituency by student interviewers in the appropriate

language ~re than 10000 respo~dents were inteDViewed for the project

Given the visibility and sensitivity of this undertaking approval for

the research was sought and obtained from the host governments prior to -i

the collec~ion of data ~o objections were raised by these governments

at any stage of the research The data obtained have been made available

to scholars i~ the host co~cries and some of the basic findings have

been published in periodicdis in these countries

The Comarative Legislative Research Center ~hich ad~nistered the

project has aisO developed extensive experience in the study of political

leadership in other countries It h3s obta~ed substantial support from

the Fo~d Foundacion and the Rockeeller Foundation has worked in

collaboration ~~h European as ~ell as Asian and African scholars and

is engaged in a ajor study of the role of elected and non-elected leaders

in the oanag~~t o~~ocial conflict Because it has conGucted research

in a variey of setlngs the Center has an ~ceptional capacity to

- 9 -

determine how the relationships be~een political institutions and

economic p=oble75 differ in develoPed and less developed countries

In the course of the major research projects the Center has administered

it has gained highly specializpd ~p-i ce iI identifying 1Olitical leaders

in a great variety of settings conducting systematic interviews with

them collaborating with scholars in the host countries and in coding

and utilizing large files of data to answer specific research questions

The Center has ~lso undertaken to publish the results of its research

in three fores It issues codebooks to the data enabling scholrrs at

other locations to use the data expeditiously i~ publishes research reports - in the form of Occasional Papers and it publishes a scholarly periodical

devoted to the presentation of research findi~gs to an inteIT~tional

audience

The Center utilizes the data ~ysis facilities of the Laboratory

for Political Research of the University of Iowa and drawS on the unusual

n~er of secialists in comparamptive politics and survey research in

~~e Lniversitys Departmen of Political S~ience The Center itself I

has the services of an administrative secretary and a clerk-typist

~intains its~o~cn extensive archives and its o~~ publications program

It is e~uipped to assist scholars and government officials outside the

t~iversity of Io~a The participants in its p~ojects are full-tioe

faculty ~e=bers ~hose undergraduate and graduate teaching is closely

related to their research As part of the teaching program the Center

has attracted students from the countries in which the research projects

have been conducted these students have participated in the projects

bull J

have obtained training in other fields of political science have received

University of Iowa degrees~ and have ret~rned to teach and to do research

in their own countries

III PURPOSE OBJECTIVES AID METHODS

Purpose of Study

The purpose of the proposed grant is to extend the capacity of the

University of Iowa to determine the political conditions in the rural

areas of less developed countries which favor the establis~ent and growth

of small-scale developoent projects ~e objective is to put the University

of Iowa in a position to assist the Agency in designing small-scale rural

developent projects providing guidelines for carrying out social soundness

analyses of such projects and adviSing in the evaluation of projects

We will discuss the utilization of~t~e Universitys capacity in detail in

section IV below

We propose to concentrate our investigations on the political conditions

surrounding s~l-scale ru~al projects Such projects have distinctive

advantages They waximize the political participation of the rural populations

both in det~~-ining the direction ~d implementation of develop~ent efforts

and in defending the interests of periphery vis-~-vis the urban-based

bureaucratic elite S~ll-scale projects stimulate entrereneurial activity

on the part of the rural citizens and growth of the info~l canufacturing

and service sector Tbey require less lead tice and less administrative

c~erhead to ~eco~e operational than large-scale capital-intensive projects

centrally administered Such projects yield rapid and direct benefits to

1

j

the rural

- 11 b - ~~1

populations and are consistentwith their hUIlaD rights--both

political and economic However~ small-s~le projects pose s~ecial probl~s for administratcrs of developceocll assistance progracs because

they require the donor co assess the local olitics particularl the

rural politics of t~e host country

Develop~c adoinistrators pr~rily conc~rned with assisting rural

populations must therefore recognize the range of political variables

affectL~g these projects Small-scale projects offer great opportuoities

for develop~ental assistance progr~ because they can be easily targeted

to help rural populacions require low capital costs and need no be

concentrated in one or two localities Such projects ho~ever~ ~equire

the a~istrator to have ~re political kno~lecge than large-scale

projects Oil which his priJlary tas~ is guiding the work of other experts

Questions for ~Investigation

To detercine the politi~al cc~diicilS ~st conducive to ~he establ~~ent

and gro~h of scalI-scale rural projects ~e propose to address our inquiry

to the following specific questions

1 To what extent and why co local political leaders seek to establish s~~l-scale develop~ent projects within their co~unities

2 To what extent and ~~y do local leaders other than politicians initiate andor provide leadership for s=all-scale developm~t projects

3 Bot do the relations bet~Jeel different types of local leaders (political and non-political) and bet~eeo these leaders and central gove~ent civil servants posted to the rural areas affect the conduct of develop=ent projects

4 How do existing authority ~eLationships between these different leadership grous and the rural pub~ic affect the organization and operation of s~l-scale develop~ent projects

- 12 -

~

5 lhlt is the nature 0 pclgtlic participation in the establishlent and operatio~ of s~l-sclle projects and ~hat are the outcc=es or this participatioe Gucer w~at conditions is such participation ~ost likely to occur

We seek a~swe=s to t~cse questio s L order to determine the effect of

different co~iigurations of local leadership and public participation on the

outcomes or small-scale rural projects te are particular1y concerned with

the ~pact of these configurations on the rate of econocic growth and the

distribution o~ rIGSlth ithin the loal cOlllUlity ~ on the perce~tions of

s~ll-scale proj~cts by central govern~ent per~oncel and the rural public

anmiddot on the organiation or flture projects

To a~swer these que~tions it is oar intention to study the initia~ioD

izJple=enation ald i1lpact of a salple cpound small-scale rural projects in

Kanya Korea and Turley in the sae cOllities in which we carried OU

our initial icvestigations ~ 1973-75 Tne relationships between the -

various conf~gurations of local leadership and public participation and

the three phases of project develop~ant are sho~ in Figure 1 We will

exa=ine projects to pro~ote the adoption of new agricultural techniques

by s~l and moderate landnolders the building of feeder roads irrigation

ditches and other s~ple infrastructure the organization of fa~ers

cooperatives and other local associations concerned with rural development

the establish=ent of rural health clinicS and schools and the setting up

of craft and service industries

Sites for Study

We plan to return to our original set of localities because we possess

a rich body of relevant data on the extent to which linkages exist between

Figure 1

TYPES OF LFLUEXCE OF C2r~ middotGOVER1iEXT OFFCIALS

LoCu LEADERS 0 THE RURAL PUBLI-C OX THRr~

PHASES OF RURAL igtEVELOPHET PROJECTS

r----------~J C~ltral Gover1~nt Official)-N------- - J

r- Local pOlitical leaders

Local non-political leaders

~l 1---- -

ROJECT nITL~TIOS

Influ~ce on selection of projects

InrI ~elce on location of projects

Influence on policy guidelines for proj eCl

Il

I

a

I I

-I PROJECT I~L~~iATIO~ ~ 1

j Project Organizati I Selection of project

leadership

Hobilization of resources

Mobilizatiol of public compliance with project require=elts

Diffusion of project innovation

Rural Public

I

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1 ROJECT IMPACT

Organization of ongoi=g project operation

Distribution of project benefits

Evaluation of project

Public attitudes toward project

-middot14 -

these areas and t~c central p~litical institutions of the three co~tries

and on the attit~es of the rural populacioc local leaders and elected

legislators regardi~g their problecs of develop~~c Since such data

is unavailable for alternative locales a return to the areas in which

we have previously done much research ~ables us to build on a uniquely

valuable body of icformation

A return to Kenya Korea and Turkey is also highly desirable from

the standpoint of effective research organization The Comparative

Legislative Research ~enter has developed close collaborative relationships

with several highly competent social scientists in these countries and

with the academic institutions with which these scholars are associated

We have also dev~_oped cooperative relatio~ships wi~ gove~ent officials

in these countries which should facilicate obtaining approval for our

further work

In proposing to doc~ent the origin i~pl~entation and impact of

one to three s~ll-scale develop=ent projects in each of 35 localities

we have two considerations in mind Firstmiddot because our pr~ry goal is

to deter~e the political conditions for rural developm~Lt we wish to

examine develQ~=ent in as many different settings as feasible Only in

this way can we control for so=e of the major socio-cultural variations

that erist along rural populations in less developed coultries These

include the overall level of econo~c development in the co~unity the

nature of t~e ~digenous culture an~ relationships of authority and the

pro~ty of the comounity to major urban areas and centers of central

gove~nt ad=inistration ~ce our original study sites were carefully

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- 15 - ~ ~1

selected to represent these variations ye have concluded that these

35 localities woule be ideal sites for the propose~project Second~ in order to dete~~~ the ~pact of local leaders and public

participation o~ ~ural projects we intend to compare projects 1n which

local leaders and ~ecbers of the public have played a major ~ole with

projects in which they have not We also ~l cospare projects initiated

by the central gover~ent with projects Yhich have been locally initiated

These considerations give us a typology for selecting projects as depicted

in Figure 2

Figure 2 ~

FIVE TYPES OF RU~AL PROJCTS ACCORDIXG TO ~FLUEXCE OF CEITiW

GOVE~1E~T LOCAL LEADE~ AD RLRAL POULATIO~

Level of Participation by Rural Population

Locus of Project Initiation ~

Local Co=unity Central Governoent

BIGd

LOt

1 Projects initiated by local leaders and providing for participation of the rural ~opulation

4 Proje~ts Litiated by local leaders bu~ not involving participation of the rural population

2 Projects initiated by the Central Govern~ent and administered i~ cooperation with local leaders a~d the rural population

3 Projects initiated by the Central Govemlent and providing =or the participation of the rural population but by-passing local leaders

5 Projects initiated by the Central Gover~e~t a~d administered in cooeration Yith local leaders but not involvi~g parti~ipation of rural population

- 16 -

We recognize that the socio-cultural setting of rural develoment

projects varies significantly within and across less developed countries bull

By focussing o~ a representative sa=ple of localities ~ Ke~ya~ Korea

and Turkey we can take account of naoy~ though not all of these variations

While some of our substantive findings will not be directly generalizable

beyond the countries in which we propose to conduct our study we expect

that our basic ~ethods and fLdLgs will be applicable to national and

sub-national settings elsewhere in the developing world This is partly

d~e to the fact that the hierarchy of patron-client relations ~hich we

regard as a critical factor in rural develo~~t exists in ~ost Liles

--It is also due to the fact that the methodology for identifying local

bull leadership configurations auG poundor studying local politics which we are

perfe~ting can be used to assess local political co~ditions in a large

variety of countries even when the ~nditions themselves differ significantly

Methods of Investigation

The data needed to assess the iDpact of local leaders and mass

participaticn on rural dev~lop~nt fall into two categories Some a~e

contained among the data gathered for the research project we are currently

completing Others will require additional field research

The following data are already in hand

1 Data on the social landscape of each loc~l co~nity i~cluding aggregate data o~ level of econonic development de~graphic characteristics political pa=ticiation eth~ic loyalities and rates of socio-econocic change dur~g the past decade bull

2 Identity of local leaders including both political and I-on-political leaders and both legislators and other politicians

3 Perceptions of existiag probl~ and their possible solution a~ng

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general public local leaders and civil serv~nts

4 Level of political kno~ledge among local citizens and local political leacers

5 Political and social values a~ong local ci~izecs and local political leaders

6 E~~ectacions of leadership roles among the local public and elected and non-elected leaders

7 Patterns of co~unication ~ong local leaders and between local leaders and the central gove~e~t

These data ~hich ~e already have in hand can be subjected to analyses

which ~~ll provida the foundation for our further work on rural develop~ent

projects A part of our work therefore will consist of fu~ther analyses

of existing data

New data of the following kinds are also required

1 Doc~entary data on the origin and evolution of particular smallshyscale develop~cnt projects in the rural areas

-2 Data on project costs boih ~itial invest=ent and recurring

operating costs and data on project ou~puts ie pupils in schools Ddles of road coopleted nl~ber of hospital a~ssions production of factory agricultural productivity

3 Data on project organizatio~ n~~r of local inha~itants participating in establis~~ent of projectt nuober of local L~habitants subsequently involved in project

4 Data-on the pe-cetion of projects by local leaders emers of the local public a~d by civil servants data on the perception of how each project ~as initiatec organized who benefitted and what its future implicatio~s are

These types of data will requ~re field work involv~~g both docucentary research

at the relevant ~istries of the central government and in local goverr~nt

authoritieS and inforoal open-ended interviews with local political leaders

elected representatives and other local leaders who~ we had previously ~

interviewed in a s=uctured syste=atic =aoner

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- 18 -

Grant Organizatio~ and T~etable

We propose co undertake the research outlLled above beginning in the

fall se=ester 1977 Dur~g that te~ Professors Barkan and Kim as

principal investio~tors for the neo1 proj ect will contact their collaborators

in the host co~~tries They ~~ll also seek the collaboration of an additional

~rican scholar specializing in rural development with the aic of getting

additional advice on sources of data and suitable indicators for the

~easure=~~t of rural develop~ent projects

At the end of the fall seQester Professors Barkan and Kim will make

a trip to their research sites to disc~s details of the research organization

with their collaborators in the host countries and to recruit student

assistants Tney will devote the spring te~ 1978 to further analysis

of a~sting data at the University of Iowa

The gathering of additional dita L~ the field will begin in the s~er

of 1978 Professors Barkan and Kio will direct this work personally We

eAect that its coopletion ~~ll require three to six months This work ~1

involve the evaluation of central and local gove~ent reports on the

projects uncer investigation extensive on-site observations of the projects

and oen-e~ded interviews with the principal participants Our principal

respondents ~i1l be the local leaders and elected representatives we

have previously identified in the localities in which we have worked and

a sacple of active participants in the particular dpvelopment projects

being studied ~~ere necessary and apropriate surveys of the general

public will be uncertaken to assess the inpact of a given project on the

rural por)r We do not however leed 0 conduct systeAlatic sample surveys

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- lY -

of the rur~l population as We did in 1974

In the organization of this research project we intend to reconstruct

the rese~rch tea=s ~e e=ployed during 1973-75 We shall again seek the

co11abo=~tion of P~ofessor Sc~~S-7o~g Pai of Seoul National University ~

Professor IIiCr Turan of the University of Istanbul and Professor John J

Ok~u of the U~iversity of ~arto~ S~ilarly w~ contemplate directing

the field research fro~ he same acade~ic research organizations we previously

used Seoul National U~ive~sity th~ ~~iversity of Istanbul and the

Insti~ute for Develop~eut S~udies University of Nairobi As before we

will tra~ students f~oo these institutions to serve as interviewers

The analysis of the open-ended intervie~s and of docUQentatio~ on

I ~ural develop=e~t projects will be a ~ore t~e-co~s~g process than the

analysis of closed intervie~s It will reqrire a high cotnittl~t of time

fron the principal investigators )e e--pec to hold a conference at the i

U~iversi~y of Iowa 3lO1g all the principal )clticipa~ts in the resea~ch

project d~=~g t~e spr~g 1979 to evalua~~ the newly collected data

le e~ pect to be able to vr-ite reports of t~ results during the Sl1~er 1979

(see Figre 3)

IV LlX-GS ~1) U~ILIZATIO~

At the e~d of the grant period the Uti ersity of Iowa will be able to

1) advise the Agalcy 01 the design of s~l-scale rural projects to assist

the rural poor 2) provide guidelines for social soundness analysiS of

small-scale projects for the rural areas of U)Cs 3) consult w~th the

Ag~tcy 01 the evaluatiol of rural projects ~d 4) provide LDe governments

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)ATES

~lll

1977

~inter 1977

iprilg 1978

il mer 1978

~all

1978

ipr~ng

1979

Imiddoter 1979

University vf Iowa

Plutlning of rural develo~rent project

Barkan Kil

Alalysis of existing data

Barkan Kia

Data processing

3arkan Kin

1

I

- 4 -

Figura 3

GRAT TLfETABLE

SIT E S

Kenya Korea Turkey

Preparation of field research ural developH~lt project cOlisulta~io~ a research sites

BarkanOku=u Ki~Pai Tura~rkanKi~

Preparation of field resea-ch

Tural

Field research on rural cevelop~~t projects Bar~lOk~u Ki=Pai Turan

Co=pletion of Co=pletion of field resear~~I~ fiald researcr

Ok~u i Pai bull

f Coopletion of field research

Turan

Data analysis conference a~ong all princial i~vestigators at Un~versity of Iowa Barkan Kil Oku=u Pai Turan

Co=letiol of r~ral develop~ent

project

3arkan Kiz

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I

- LL -

~ith speciali~cs o~ ru~al developcect ~mong their own citizens ~ho ha_

partcipatcd ~s collaborators in the Iowa projects

In the proposed project we Will test a series of hypotheses cOlcerning

the political cOllditions of rural develo=ent which run counter to CODOn

assuoptions conccrnir3 t~~ influence of rural politics on project effectiveness

As a result ~e ~dll be able to assist the Agency in designing and evaluating

such projects froe the point of V~~W 0 their political viability The

hypotheses We will test sugges~ t~at the patron-clie~t relations existing

in the local politics of zost LDCs are not necessarily i~pedients to rural

develop~ent but are aspects or the political structure which cal be used to

facilitate s~ll-scale ru=~ projects which will raise the standards of

living of _ ~ rral pomlation - As ~ result or our stuey we expect to be

able to P~-O~t the local leadership confi5~rations ~4d the relationships

between local leaders ald rural poclations ~nich are oost conducive to I

successful develcp=en efforts We believe that we will be agtle to perfect

a cat~odology for identifying the political conditions for rural develop~ent

one ~hich is transferable pound~oo the countries we have specialized in to

other LDCs

We proo~ to develop specific guidelines to assist administrators

charged with selecting evaluating and =onito~ing rural develop~ent

projects to ~szess t~esc rojects in tares of their-social and political

viability he outco~e of such projects is dete~ned not only by the

efrectiv~nass ~~=h ~hich they use scarce econo~c resources but by the

~~er L~ w=ich they e~gage the suppprt of local leaders and rural

po~ulatiocs~ by thei= effect ou social a~d econo~c equality ~d by

D[~T AvAlLA8LE DOCUMENT

- 22 -

their consequences for hwan rights ~Je plan to establish criteria by

middot~hic~ the probable outco~es of projects in these social terms can be

anticipatec

The study ~e propo e will be undertltlken by faculty at the Cniversicy

of lowe in collaboration with faculty a other ~rican institutions and

institutions in the host countries We will build on the extensive contacts

between the Co~perative Legislative Research Center of the ~niversity of

Iowa end other instituions with ~aich ~e have worked One =ajor result

of our collaborative study will be the existence of a net~ork of compe~ent

scholars both in this country and overseas experi~lced in ~orking together~

shar~g a co~on teaching and training experience i~ close contact throu~~ the

effective publications progr~ developed by the Co~parative Legislative Research

Center T~e e~~ertise of this group of individuals will be ava~lable to

oteer scholars to the Agency and ~o L~C governments for specific policy

advice The eXertise developed as a consequence of this project will

extend beyond the ~tionals of the countries ~volved since the univ~sities

engaged in ~e project attrtct stude~ts fro outside heir own countries

For ey~=ple the teaching ~d research progra in the Depar~ent of Political

Science 0 theUniversity of Istanbul heavily affected by the participation

of its facul~y ~e=bers and graduate students in our projects attracts students

throughout the ~middot1iddle East for Whom the University of Istanbul is the iajor

institution ~pound ~igher education in the region rne Institute for Developmen~

Studies is si=ilarly a focal point for students and faculty in East and

Central Africa Seoul ~atiocal Unive=sity attracts students froo other

Asia~ co~tries~ In this way the capability developed among the participant$

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- ) -

in our work is diffused widely To the exte~ that the abili~y to assess

rural develop~ent p~ojects in teres of their social soundness is increased

both in the United States and in ~o~~tries r~ceiving develop=en~ assistance

the cap3~ity of racipien~ countr~es to absorb aid is ~creased

We propose to draw up an inventory of personnel available in ~~e

Cnited States and in other co~~tries who are able to consult with developen~

a~nistrators on the design of rural development projects and on their

evaluation We ~~ll draw first of ai~ on individuals w~o have been

directly associated with our ~ork in the past or on ~he proposed project

and ex~~~d the list to include graduate students and gove~ent officials

with who~ these individuals have wor~d

tole Yill utilize tha existing publication program of the Center

dercribed above to disse~inate our findings The Center has specialized

oailing lists of interested individuals and institutions in all parts of -i

the world and its reports can trerefore reach the ~st relevant audience

jirec~ly ~d re~~arly

BESl AVAIL~BLE OOCUMENT

CONTRACfjGRANTCOOPERATIVE AGREEMENT DATA SHEET

INSTRUCTIONS fjDW Complete 4 copies of the form Original SERCMSDSUP Statistical Section Copy Copy 2 SERCMSIiUP dministrative Copy opr 1 Contracting Officers COy COP) 4 SERCMSDSUP IUmin (Suspense) Copy

Missions Complde 2 copies oi the form Origin31 SERCMSDjSUF- Statistic31 Section Copy 3n~ Copy 2 Nill be ret31ned in the Missions

PART fA

ConU3lttorGranrce Name

University p~f~I~o~wa~ __ -r~ ____ ~~~~ __________ -~~ __ ~~~ ______________ ~~~~ Plorr Numt-er ApptopriJtion Number Allotment Number Project Number

930-0090-3Q13411 A5 72-111l0216 146-30-099-00-20-11 930-0090 Project Title

So~ia1 and Potitica1 Aspects of Development - Conference to Report Research Findings Amount of this Plorr I Projecl M3nagers Name and Offire Sytlbol

$10397 (increase) PDPRCP Jonatlan Silverstone Contr3ctors D-U-N-S Number

Ncgwatocs TYJlCd~3meJ j) Signature I l ~ jIf- bull G HtJ--ft u l IVmiddot

D~e

L - f - J ContractGrant Officqs typed Nailllt Signalure LJ d I -r-

plusmn t 3i-alflpta (( BLvle~ 1 I~ PARTm

ContractGranl Number

AID CSD-3294

Effeclive Date of Docum~nl Signalltre D3t~ of Documenl

Lf---C yen-~-gl tIost Courtry Institution (U iwrsity contract ONL Y)

Campus Coordinator (Uniwr ty i contract OiiL YJ

PART UL Descriplion of Cor-tractGrant P1use X ONL Y ONE item under each headiZg IF THEltrease CifYmC~e bolh ges I 30~~ O~ Nol to be completed for Amendmenl or Modlfic3lion AJigtns I III

J 710gt I I V ~ I

MOl - TYPE ACT A~ 0 G unsolicited Propsll (AIDIR 0 C Individual (Non-pe~nal senice)

~ O Cortra lGrantl ooperative Agreemenl 73101-SO(b)(6raquo 0 D Individual (ftrsonal Service)

tJl T3sk Order ( A)middot 0 H Procurement 10 be Perfocm~d by the Conmiddot 0 E UniversilyOther FAuC3lionailnSlitulions

D 2 Work Order (IQC) Ira~lor in Person (AIDPR 0 F Non-Profil Organizationlnslitutions (other

D 3 Delivety Order (Requirements) 73101middotSO(b)( Iraquo than Ed or PVO)

[j 4 Purchase Ordcr [J I Sole Source (AIOPR 7-3101-SO(b)(4)) 0 G Private Volunury Organization (PVO)

If I 2 or 3 1Lle an ~ compllle M 12 ON Y D J Imp3irmenl of Foreign Policy Objectiws 0 H International Agricultural Research Organj-

M04 - CONTRACTGRANT TYPE

o O MOA (BOA BMA etc)

o I Fixed Price (Specify fFP FPRD FPEPA FPI) _____ _

(gtIDPR 7-31 OJ SO(b)(7raquo

OK B(a)5eJection (FPR 1middot1713-1)

o L Grant iH1ndlOok 13)

o M Do Nol Ue

D 2 Cosl Reimburemenl (S~cil) CR CPFF 0 N Cooperative t~reement (Handbook 13)

CS CPAF CPIF) ~ 0 O Small Business SeImiddotAside (FPR 1middot1706-8)

o l Cooperative Agreemenl ~ 0 1 Overseas Procuring AClivilies (AIDPR

04 Grant Gener31 Supportmiddot 0U ~ 7lIOI-SC(b)(2))

o S Granl - Specific Support ~ ~06 E SER VICE

g ~ ~~t ~~(d) ~~ ~~ ~ eci~a~~~~~ogram Projeci

o amp IQCs ~ ~ relampted excepi A amp E Services)

o 9 Host Counlry ContraclGrnnt 5lJ C amp E Services

middotComplele ONLY through ~Sl ~~ 0 D Construction

M05 SELECTION PROCEDURES 0 E- Reseuch

o A Formally 3dverliscd (IFB) (A1DPR 7middot24 amp

FPR 1middot24) ~ o B Negoli3ted Price Compelilicn Gencr31

Procedure (RFP) (-JDPR 7456)

Dc A amp E (AIDPR 7410)

0 D Ed Inst andor Inl1 R~arch (-JDPR

74 5)

o E Collaboratoe Assisunce (IDPR 7458)

C F Predominant Capability (IOPR

73IOI-50(b)(l)

AID 1420-49 (179) - Page I

D F Technical Services to AID (other than trainmiddot

ing usually o~ating expense)

D G jraining SetVice for AID

o H Equipment Materi3J~ Supplies Commodities

D I Translation Service

~07middot TYPE CONTRACTORGRA-nEE

o A Firmmiddot AU profil-rn3king fUms (other than

Aamp E)

J e A amp E 8r~

zalion

o Public Inlmlational Organizations (UN

Agencies ICRC Wocld Bank elc)

(H8 J 3 Chapt~ S)

M08- TYPE AW~RD

o A S8 Sel-Aside - Awarded to Non-Minority

o B S8 Set-Asidemiddot Awarded to MinXity

o C_ S8 NOI Set-Aside - Awarded to Non-Minority

o D S8 NOI SeImiddotAsidemiddot Awarded 10 Minority

o Eo amp(a) S8A Awarded to Non-Minority (Womerl-

Owned Veterans etc)

o F 8(a) S8A Awarded 10 MinorilY

o G Personal Sen-ice ConlrdCt bull Non-Minority

o H IeJSDnal Service Conlract - MinorIty

o I Individual NonmiddotPersonal Service Contraci -

NonmiddotMinority

o J 100Jigtiduai NonmiddotPersonal Service Contracl -

Minorily

o K NOI Small Business (Univ NonmiddotProfit Large

Firms) Non-Minorily

o L- NOI Small 8usineSl (Univ Non-Profit Large

Firms) Minorily

o M US Govcrnmlnt

(Connnued on Page 2)

BEST AVLABIE DOCUMENT 1 I

--

ua ) R I GI NAL 9 bull

MODIFICATION or GRANT PAGE 1 of 2

AH 1 2 Effective Date 3 Grant No 4 Effective Date

Amend_at Ro 5 April 15 1981 AIDCSD- 3294 8-11-71

-s CRANTEE (Name and Addrea) 6 Administered by -Professor Gerhard Loewenberg -Office of Contract Management Cbrnparative Legislative Research Gente Central Operations Division Dept of Political Science am Branch University of Iowa Agency for International Developn~nt Iowa City Iowa 52240 Washington D C 20523

7 PIO No 930-0090- 3013411 A5 8 Previous PlOTa -

Appropriation No 72-11110216 93i-1l-995-l36 930-11-995-136-73-3078103

Allotment Symbol - 146-30-099-00-20-11 wunt Obliga ted by this ~ndrnent - $10397

The above numbered Grant is hereby modified as follows

1 Anotmt obligated prior to this rurendment 2 Amount obligated by this amendment 3 Total obligated anount (1 amp 2)

Delete the amJmt $465000 and substitute in lieu thereof the ammnt I$47S 39-7 ~

FUNDS AVAIrABm

~~ - APR 13 1981

PrO~A~~5iors

$465000 $ 10397 $475397

OffiCE Of fIN~(1 ~~rE~E~T __ _ 10 This amendment 11 entered into puruant to the authority of the Forelgn

Assistance Act of lS~l as amended Except aft hereln provided all terms and ~~ndi~ons nf the grant rcferpnccd in Block 13 remain unchsnged and in full force and ~ffcct

11 original and six Crantee 18 requlred to aign thh document aad return 1- eopics to issuing

ffiee

~~~ or printed) BUSINESS MAHAGR amp bull

Tille TREASURER

UNITpound) STATES OF AHERICA AGENCY FOR INTERNATIONAL DEVELO~NT

BY_-1(1o-_1lt--= 13middot~_1_~ __ K R B1uteau

(Name typed or printed)

Tltle~ ____ G_r_a_n_t __ O_f_f1_c_e_r ____________ __

D3tC APR 2 J 7997 Dolt 9 APq 1981

BEST AVAILABLE DOCUM NT ___ 0 HLGlNAL - I 1 J 1 ~ )

- 2 -

AID ftmds in the am)tmt of $10397 are hereby provided for the activities lmich are described in your proposal (including Budget Stnmnary) entitled CDnference to Report Research Findings on the Study of Political CDnditions for Effective Small-Scale Rural Assistance Projects in Kenya Korea and Turkey dated February 17 1981 and made a part of the Grant b reference

BtTDGET StMMARY

Line Item

Travel

Per Diem

Other Direct Costs

Less existing 211 (d) grant funds

Total Amount Obligated by this Amendment

Estimated Costs

$ 5888

5100

_ 2500 $13488

_ 3091

$lO39

Note Indirect costs or $395086 associated with these activities will be contributed by the University of Iowa

BEST AVAILABLE DOCUMENT

~RIGINAL

- CONTRACT IGRANTCOOPERA rIVE AGRElEMI~ SERC~SDSlP Actio) Monitor

SERCMSDSUP Action Office

I

INSTRUCTIONS AJDW - Complete 4 copit of tlh fonnmiddot Orisina iCMSDfSUP Sutistical Section COP)middot Copy 2 SERCMSDjSVP Administrative CoP Copy 3 Cont-acting Officers COP) Copy 4middot SOSUP Admin (Susptnse) Copy Missionsmiddot Complete 2 copies of the form or~aI SERCtSDSUP Statistical Section Copy and Copy = wiU~ retained in the Missions

0 PART IA

Effective Date of Document tJ

Delivery Order (Requirements)middot

o 4 Purcluse Order

bull If I 2 or 3 have an bull X compl~te M I 2 ON L Y

M04 - CONTRACTGRANT TYPE

o O MOA (BOA BMA etc)

o 1 Fixed Price (Specify FFP FPRD FPEP FPI) ___ _

o 2 COli Reimbursement (S~cifY CR CPFF CS CPAF CPIF) ______ _

o 3 Cooperative Agreement

o 4 Grantmiddot General Support

o S Grantmiddot Specifi Support

o 6 GraDt 21 led)middot

o 7 Do Not Use

o amp IQCs

o 9 Host Country ContractGrant

middotComplete ONLY through M 5 1

MOS SELECTION PROCEDURES

o A Formally advertised (IFB)(AJDPR 7middot24 amp

FPR 124)

o B Negotiated Prire Competition General

Procedure (RFP) (AIDPR 7456)

o Co A amp E (AlDPR 4 I 0)

o D Ed Ins andor Intl ReStalch (UDPR

7457)

o E Collaborative ASSistance (AIDPR 7458)

o F Predominant Capability (AIDPR

7-310l-50o)(3)

AID 142049 (1-79)middot Page J

o H Procurement Co be Performed b~ the Conshy

tra~tor in Person (AlDPR

7middot3t OI-SO(b)(Iraquo

o I Sole 5gturce (AIDPR 7middot3101middotSO(b)(4raquo

o J Impairment of Foreign Policy Objecdv~

(AIDPR 7middot310 ImiddotSO(b)(7raquo

o K 8(a) Selection (FPR 1middot1713-t)

o L Grant (Handbook J 3)

o M Do Not Vse

o N Cooperative Agreement (Handbook 13)

o O Small Business SetmiddotAside (FPR 11706-8)

o P Overseas Procuring Activities (AIDPR

7middot3101middotSO(b)(2raquo

M06middot TYPE SER VICE

o A TtJining of Participants

o B Technical Assistmce (Program Project

related exc~pt A amp E Services)

J C A amp E Services

0 D COltl~ruction

0 E Research

0 F Technical Services to AID (other than trainmiddot

ing usuaU Y operating ex pense)

0 G Training Service few AID

0 H Equipment Mat~rials Supplie~ Commodities

0 I Translation Service

07middot TYPE CONTRACTORGR TEE

Firmmiddot All profitmiddotmaking fu-r1s (other than

AampE)

o 9 amp E Firms

I Prcct NumbcT

I

Contactors D-U-N-S Numbcr

I) -S--f(j

o C Individual 0-lon-~rsora1 service)

o D Individual (Pet-sonal Service)

o E University lOt her EduCltionaJ Institutions

o F Non-Profit Organization Institutions (other

than Ed or PVO)

o G Private Voiuntary Organization (PVO)

o H International AgricultwaJ Research Organmiddot zation

o I Public International Organizadon~ (UN

Agencies ICRC ewld B3J1k etc)

(HB J 3 Chapter 5)

M08middot TYPE AWARD

o A SB SeImiddotAsidemiddot Awarded to Non-Minority

o B SB SetmiddotAside bull Awarded to Minority

o C SB Not SetmiddotAside - Awarded to Non-Minoril)i

o D SB Not SetmiddotAside - Awarded to Minority

o E ~a) SBA Awarded to Non-Minewity (Womeli

Owned Veterans etc)

o F 8(a) SBA w-rded 1o Minority

o G Personal Service Contractmiddot Non-Minority

o ~ Personal Service Contnct - Minority

o I Individual Non-Personal Sence Contractmiddot

NonmiddotMinority

o J Individual Non-Personal Service Contractmiddot

Minority

o K Not Small Business (Univ Non-Profit L1lge

Firms) --vn-Minority

o L Not Small BUSiness (Univ NonmiddotProfit Large

Firms) ~inoriy

o M VS Government

(Continued on Pcge 2i

t bull - t ~ J f q

ORIGINAL bull MODIFICATION OF GRANT

1 2 Effective Date

Araendllent Ro 4 12-2-80

s CRANTEE CHace and Addrels) Professor Ger1ard Lo~middot enbelg Comparative Legislative Research Deartment of Political Science The Lnivp-rsity of Iowa Iowa City Io~a 52240

7 PIO No NI A

Appropriation No 72-11XHl26

Center

Allotment Symbol -426-30-099-00-3~-71 Amount obligated by this urendment-O- I

3 Gnnt No

AIDcsd-3294

PAGE _____ 1 _of-L

AlI 4 Effective Date

8-11-71

~ Admlnlltered by -Office of Contract Management Central Operations Division OTR Branch Agency for International Development Washington DC 20523

8 Previous PIOITs -

931-11-995-136 930-11-995-136-73-3078103

9 The above numbered Grant is hereby modified as follows

Supplement to Grant

Change the duration period sentence to read

The Duration Period for this Grant shall be August 11 1971 through December 31 198]

1 Amount obligated prior to this amendment $465000 2 A~unt obligated by this amendment -0-3 Total obligated amount (1amp2) $465000

----------------_- - ------- ----_- ------ 10 Thh lImcndmcnt is entered inlo punuant to the authority of the Foreign

~ Assistance Act of 1961 86 amended Except a~ h~reln Z II provided all terms and condi tions nf the grant referenced in Block 3 remain ~~aunchlinged and In fu1l force and effNt cnltUI cJ)za 11 o 4 J bull

Et~ ai~a gtUoItshyc Z P=u

original and six Grantee t requi red to sign this document and return 1- eopies to 1Bufng

office

~ 12 GRANTEE TES OF AMERI CA

(Name typed or printed) bull

TJlle Director Comparative Legislative liecearell CeQtoQl

Date 12880

------------------------------------

ONAL DEVELOPMENT

By ----~--~~~~---------------------

prinled)

Grant Officer Title --------------------------------

J)oll( 12-2-80 -----------------------------

BEST AVAILBLE DOCUMENT i je

Page 13: PD-Ar3T Cr(~

- 10 -

Ima rill lOrk collcboratively ~ith the fOrsig1 5cbolars to design a1d

carry out P reseach pruject These projects Till cc~tribute to the

retlaininB of foreign scholars and nill also add to cur mmiddotm and8rstanding

d Research The 9rinciplI enphases in cesenrcl rere cutlined in

Section III above ie to focus en con-9arative studies in iihich

legislative cehaviol can be helpful in explaining the scope of politics

the style of governcent a1d the legitinacl of regiles Variables hich

will be studied Iost closel~r ircluue tbe persistence of institutional

norms in the legislature oyer time the relationship o~ the legislatue

to ether institutions in fornirg public CC1Cepticns of politics and

the histOl~ical context detelini1g public expectations of the 12risleture

This resea~ch nag both academic and practical objectives

Academically it promises to tie legislative behavior research to other

major concerns L1 pcliti~al science such as research on systeJ stability

and paricrJance Its general substaltive eojective is to assess the role

wtlichlegislatures Illay L1 determining the capability of political

s~lstems especially their ability to deal ~middotith soCial change

Vractically the stu1y ~y offer guidance to polic~Y-Dakers on

t~1e role ~ hich legislatures rray be ~lI-pected to pIa)- in neimiddotrly established

political systelt ald on ~hc efcrrrs in established legislatur~s -Thicn

rray be required to achieve specific syste~ effe~ts The study ~dll

Nquire the assccioticn of rembers of legislative staffs a1d 2cademic

colleagues in the s~eLal nations lmder nvestigRotiop plovidirg training

fot ~ll r)f them i1 leeis1ntive re3Clrch ~ri facilitating a valuble

BEST AVAI~BLE DOCUMENT

ll-

of Iml3 ~ill LS~ glmiddot~t f~ds t~ estaolish a data archive to begin to

bring tb~ edtirg legi31ati--re studies tog3tller at a single locaticn

end to =afe t~e ac~essible to tie grc~ring m~er of interested

scholars in t~i3 field PerSCIlllel of tbe Data Archive ~rill searcD

broadly fo all a-reilable data on legislatures in the possession of

ildiviiual researc~rs i11ese data sets ~-Till be acquired refo~atted

for ease in alelrsis a1d stored in Archive Tne Archive ~~ll

asserble tie etel~ Gata O legislative organization ald procedure the

socialization ~~ recruite~t of lzgislators legislative decision-

makLg pccesses 2d legislative outputs To facilitate access to

the data a ~middote-riemiddotrlt11 syste middoti111 be cesigned that will 2011001 r-=searchers

to find ~iccJ ata sets that c~mt2in inforration lelefalt to their

researc1 po)2e5 RibEcg-aphic citation3 cnd abstracts of research

reports on le~i51e-imiddote oebio ~~ill be gathered and a biblicgraphic

retrieval sys tC idll a Geielc9d to aid esealcJers

cooioinet-e1 ~~as n -ie are= of c~rarativa legislatile studies is

t~3t because 0 si~~e iJS in~ti tuticn ias tce necessarJ expertise

of ccrparati ve

1-=gislatiY2 tcie3 8forts of the most conrpeteat ace interested

BEST AVAIL~BLE DOCUMENT MCi I I yl

12 -

oz~ the tr)middote grantee institutions and otter associated scholars It

~ill ayise t~e pa1tee i1stituticns on SllC catte-s as roritorirg

activities at the t~re~ unive~sities~ evalu~ting rese~rch frr possible

=middotclication sJ--sidies rld ether ratters related to infor~atioTI

disse~~ation coordinating research efforts to avoid duplication

ecilitating excha1ges d sttde~ts ad faculty members ~-iitb foreign

nsti tutions i~en desirable tryi1g to till lacunae in cLIricu lUn

helJilg to arralge cmferelces and sy-posia and generally trJing to

9cote te ~eielcp~2nt of cOlparatile legislative stucies as a

Gra1t L~HS idll be ~sed to support the Univ2rsity of Io -a IS

nrticipation in tre AdisorJ Co-i ttee t1e developrrErt of conferenc=s

elsEfhere il the US arHl over3eas i1 relat2d facets of leeislaive sttdies

Edstng iersonJ~l al~d fa-ilities at the University o= 1oa previde

iaculty facliiies to aid rC3emc~ trailg aPd skill in 21c~ivaJ middotork

BES~ AVAIL4BLE DOCUMENT I

r ~-)

- 13 -

Six ITe-bers of t1e faculty of the Departent of Political Science

at the Unhe ity of Im-ia are presently engaged in legislative research

To merbers ot the Departllent of History are engaged in research on the

British Parlia~ent L~ the eighteenth ~~d nineteenth centuries Fer the

past six years an adv~~ced se~inar has been offered by ~embers of the

Department of Political Science and the Department of Histo~J on

comparative legislative behavior This exte1sive collaboration iiill

ma~e it possible to develop a fully inter-disciplinary program for the

students ~~d visiting faculty In addition faculty ~emcers in

Scciology interested in organizatien theory and in the College of Law

interested in legislctive processes provide furtber e-pertise ava_ilable

to students interested in tee study of legislative behavior The

presence of these specialists on th~ facult~r is reflected in the

excensive librarJ al1d otler data resources existing at Iowa in this

field

The Uniersity of Ima offers an unusually extensive program of

trainL~g in research methods Four ~e~bers of t~e Department of Politi~al

~cie1ce teach in the field of research nethods Courses jn statistics

ca1 be taken ill the Dep~rtents 01 Sociology e-d Educational Psycholcgy

Llis prcgr6l provides a verJ solid grounding il research training and

data analysis

bEST AVAILABLE DOCUMENT

e ~

- 14 -

Y labCrato~y for olitical Pesearch is the reseacc1 md research

tlairirg facility of the Departe1t of Political Sci-lce Gcadvate

students receivo extensive res~arch experience through 1or~ing in the

La oratory bull The Lacoratoy is also a1 integral part of the trainirg

o~feed in ccurs~ T~middotO~ for graduate students

The full-time sta~f of the laboratory includes a director an

assistant director a t-=cl1ical cirector a supervisor of study

t1hteen graduat~ students - rf1rk in te Laboratoy receivLLg teining i~1

~a~a collecticn ~~i data e~alysis Tbe facili te5 of the La)oratorltJ

icluoe a oard eJcerline printer ccnnected to the U1iversitys

dis~ and tape storF-ze for d~ta

The pogral of trailing ia coparative legislative reseC_cch ~ill

relr heavily en t LaOerltcLJ- for taching graduate stucents Visi tine

fc111tr lYe~bes iill be able to utilize tbe facilities cf the Laboratory

gt IOra ~as sFcial ccrpetence in prOCed~les for

ccq ter ogagtlizetion of d~ta Ja1ks ~d fOi the p~ocGssing of large data

sets as well as iJ the sttdy of naticnsl end st~te legisltllres Tile

BEST AVAILABLE DOCUMENT

- 15 -

Ile Univelsity of 10Ira will eadnister- the Grant thJotg~ its normal

a)1 iristrative char-l1els ad i1 Eccordance imiddotlith its ncrTal olicies and

operatirg procedures 7he Director of the gr~l1t-s~~ported program

Hill be a senior faculty eriOer of the Gniyecsity of IO~-ia -with extensive

expe~ie~ce in the subject field Associate Directors w~tb similar

qtalifications -aill also be appointed 7he Director- and Associate

Directors ~dll serve as eibers of t~e Inter-University Advisory CC1gtr)ttee

established to cooidinate _u bullbull ID gra1t-stpported programs at IOia Dul(e

lniversity a1d the University of Ha- aii Ll1 this field These relatiol-

ships are i~dicated in tee follc~dng a~inistrative organization chart

IX Ul~vsity Ccntri1uticn

T1~ ~h-ersity of IQ(a aSSures ALD that this Grant middotiill not

replace existing ftnds for STr current activity and imiddotrill be additive

to existing prograrrs of tCe lJniversity In direct sp~ort of this

Grat ttc University ~ill provide a) Acmi1istratile costs including

tie of senior officers of ttlt University b) Office ~ld research space

ald library and cor-puttr facilities c) Provision of a1cillamiddotCjr 1niversity

personnel -or consultation o~ ~middotjQrk nth the progral

X Reports end 5evie~-Ts

There i-ill be sub~itt-=i al arnual t2ctnical report for the purpose

of AID s revie- of activities under te Gant Tnis idLl include

a11 e-llation of prcsr~ss aidnistratve ar_c fiar~cial corsicer~tior~s

p~s cr tr foJlJ-middotire ear ~i disctlssics of the ossible l~lizaticn

BEST AVAJLIl8E OOCI1MrNT

~

- 16 -

A~~inistrative O~ganization

Ice Board of Regents of tle State of Im-la

-Iesicent of the University I

1 rOfcst Jf t-3 University

Den College of Liberal Arts

r Chailan DcptiEt of olitical ScieJce

Inter-G~iversity

Acisorr Corcittee

PcgrG21 Director Associate Progra~ Directors

Liaison Arcrge~~nts d ~h I I~~erested Plcfessiona1 I Perso~el j

I _

I 5cu1ti (full or PmiddotLG-tire l Asscci~tes a1d otllei non-Io~il

3ecip5ents of Gr3-1t stPPC1t Gr~cue~~e S t1~lcnts St2~retQi~S1 Data Lbed~1 31

Ln 18 r1icia 1

LO1t c~lce Factcj~1 ts

BEST AVAILABLE DOCUMENT ( ( V-t

- 17 -

of te eo17i~g cCpterce br A I D rLld ethers In addi tion there

aS3essr~ents of the gr31t

middot l ~ lI ~ _ _ _ co~~~r~~ing ~~iversiti~s md tne rrctitoring ALD office

7re l~yersity of Ie~middot~ budget of $26500 is to be deveted to the

cemiddotelgt~e~ of lstituticnal cefete1Ce in comparotive legisl~tiye studies

~t Iomiddota c t~ the exalsi0 ot a date b~L-lt ~ hich 1fill be utilized as

a ecle for icrec3ing te scope of tbe sub-specialty

T - 1 f 1 __ middotja r S Ctdget a9roxir~tly 33- has bee allocated to a

cemiddote Lp~l t rirc ipally C actlty re leased tirre for data ccllection

ai 0 3alres f~r i~~er-ieers in field research 3d secretarial

assi5ta1ce nCt2 11- of t~e Icmiddotre oudge~ is iesignated for an

ArCE_1 A~ite s(101a~middot 2d one 0 ore scnolals froQ LDe or

s1lllrt of greluate stucents in the

BEST AVAfLIlBLE DOCUMENT

- 18 -

Finally approximately 19 of the budget will be devoted to the

proposed data bruL~ that will archive not only data generated from the

research of scholars at Iowa Duke and Hawaii but also at other US

and foreign institutions Primary and 3econdary an~ses of these

data will become an integral part of ~omparative legislative studies

curricula The ability to utilize the data bank for teaching purposes

also should have a significant impact on professional preparation ofmiddot

future legislative specialists In summary the funds will be

allocated to research teaching and training activities tha~ are

entirely conson~~t with the philosophy underlying the utilization of

2ll(d) grants to achieve institutional development

Conclusion

The University of Iowa regards the research and teacbing components

of this program to be closely related an1 zrutually reinforcing The

University of Iowa offers a strong base for the pro~ram because of the

interests of faculty members here now because of their contacts with

scholars in this field in other Americ~~ and foreign universities

because of their experience with the international exchange of faculty

and because of the distinctive data gathering and processing facilities

available in our Laborator~- for Political Research The program which

we have formulated is designed not only to accomplish specific

research and teaching objectives but to contribute to the long-term

development of the University of Iowa in an area in which it has already

exhibited special interest

BEST AVAILABLE DOCUMENT

~ I) - 0

- 19 -

The program on Comparative Legislative Studies with support from

this Grant rill develop the capacity at the University of Iowa to

provide assistance under separate financing arrangements to developing

countries in a number of ways and through a varieiy of channels This

assistance which would be arranged for end negotiated separate~ from

this Grant may be in the form of technical assistance advisory service

training research and information exchange etc It will be available

by mutual agreement to appropriate agencies national and international

public private a~d mixed and directly to the less developed countries

Most especially this added special competence will inevitably become

incorporated through the processes of scholarship and education into

the competence of US and foreign scholars and institutions concerned

with this topic of great significance to the developing and the more

highly developed countries alike

BUDGET SUMMARY

UNIVERSITY OF IOWA

Salaries

Graduate Student Stipends

Fringe Benefits

Travel

Equipment and Services

Other

TOTAL

$173090

32400

19209

13800

6501

20000

$265000

BEST AVAILABLE DOCUMENT

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IO

rmiddotmiddot ~middotmiddotrl f)~~ 7 middot 1 ~A~~ middot1 rmiddot middot~ rt bull middot bull bullbull I ~ i bull bull ~ middotv- middot bullbull ~ I

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BEST AVAILABLE DOCUMENT

(C

Dr Willa~d l Boyd Presicient University of Ima iowa City Iowa 52242

Dear Dr Boyd

4 AUG 1977

amp

FIJNDS AVAnASLe CpoundNrftAamp sEIMCEs DMsON

AUG11 ~n te t6417 ~77

Subject bull Supplsectferit-tJF-G~middotNomiddot~middot AIOcsd-3294

t middot-rrPJ1 3

I am pleased to inform you that pursuant to th~ auth~rity contained in

S-cction 211 (d) ooC the Foreign Assistance Act of 1961 as amended a sup

plemental grant in the amount of $200000 is h~reby r~de to University

of rCi1a These supplement]l grant funds areprolided to support the

activities which are described in your Proposal dated May 6 1977 for

the implementation of your program entitled Political Conditions for i

Effective Small-Scale Rural Assistant Projects

---This sup~lemental grant is mace to University of Iowa en condition that

yo~r institution shall administer the funas provided under this Grant fn

accordance lith your r~ay 6 197 proposal (including Budget SUmlilary) and

the Standard Provisions (as incorporated by Amendment No 1) which have

been agreed to by your instit1ltion Ti) the extent of an inconsistency

between the Proposal and the Standard Provisions and any otherprovisfons

which ar~ made a part of thi5 Giant by reference or other~iSe the Sta~d~

ard Provisions shall control

The new Duration Period for this Grant shall beAugust 11 1971 through

August 10 1979

The total amount of funds obligated under the grant is increased to reflect

a new total oblgated amount of $465000

Please sign the Statement of Assurance or Compliance ana the origfnal -

and seven (7) copies of this letter to acknowledge your understanding of

the conditions under which these funds have been granted Please return

the Statement of Assurance of Compliance and the original and six (6)

copies of this supplemental Grant to the Office of Contract Management

Attachment May 6 1977 Proposal and Budget SUfiT1a ry

UNIVERSITY OF IOWA

Roberw bull OBrien fficer

Ce al Operations Division Office of Contract Management

AC~E~E~C--_ 0 BYpoundk~~ cH

D C ~lpoundSTtR5BA T ITL E ( PfeampoidPilt for

tee ment amp Research DATE 9-22 -77 (d~ ~~Bduate Ctl~1e~e

BES i AvAILdLt UOCLJMU~ I

211(d) Grant Program

Proposal of the University of Iowa

POLITICAL CONDITIO~S FOR EFFECTIVE SMALL-SCALE

RURAL ASSISTA~CE PROJECTS

Submitt~Ci to

Civic Participation Division AID

May 6 1977

Amount requeste~ $ 199987

BEST AVAILABLE DOCUMENT

I TdE DEVEIOP~T PROBr~

P~litical Conditions for Rural Development

The Cocparative Legislative R~search Center of the University of

Iowa proposes to ~~dartake a two-year study to investigate the role of local

leaders and the rural public in theimplecentation of small-scale develop~ent

1 projects in less developed countries The study will use and extend the

capacity ~hich the University of Iowa developed under a 211(d) grant to

investigate and assess the impact of loeal politics on rural development

~t the co~pletion of the s~ Iowa will be in aposition to advise the

Agency on the design ~nd evaluation of s~ll-scale projects which will be

politically viabe a~d effective in ass~sting the rural poor ~

As students of development w~ approach our task with the assumption

that the proble~ of development and underdevelopment are funda~entally

ones of political econooy and a~ such can only be solved through a

simultaneous considerationof economic and political factors Efforts

which foc~s aloost solely on economic factors like those of ma~y

organizations engzed in dipersing foreign aid or efforts which focus

almost exclasively on political factors fail to take account of the

interdependence between these two dimensions of underdevelopment and

lwe have for~ulated this proposal in a canner consistent witr the cu~rent policies ard interests of the Agency We have been guided in our tsk by four Age~cy doc~e~ts Impleo~~tation of New Directions in Developnent Assista~c~~~ ~eport to the COmlittee on International Relations on Ilupleoenshytatiun of Legislative Refo~ in the Foreign Assistance Act of 1973 (July 1975) rItevis~d Projec Developiel Review and Approval Systeo (A I DL Circular A-21 Aril 23 1975) SH Butterfield Draft SUIilZ3ry StateUlent of a Practical Agelcy Approach c aural Devalopilelt (AATA February 28 1975) Cicci A Coce~ual Oie=viamiddot middot Rural Development No1 (lWorilting GOU O~ tha Rural Poor February 1975)

- l -

can meec with only l~ted success

Our concern with the i=pact of local politics on the process of

rural developcent is a result of our interest in the basic question of

how LDC governm~nts and the donor agencies which assist them can

become core effective in raising the standard of living of the rural

poor We seek answers to the following aspects of that basic question

1) What political conditions must exist both within rural communities

and between theo and central gove~ents to raise agricultural production

w~ere small-scale agriculture is the do~nant pattern 2) Vnat are the

political conditions for a core rapid expansion of the informal manufacturing

and service sector cocprised of labor intensive small-scale industries

located in the rural ar s 3) What political structures and activities

are mase crucial for the provision of welfare and econocic supporc services--

such as agricultural exeension mar~eting and transportation--to the rural

areas1 4) ~~at Folitical conditions oust exist to insure that economic

growth in the rural areas is not accowpanied by excessive and intolerable

inequalities between socio-economic classes andor between regions1

Center-Periphery Linkage in LDCs

To deter~ne the political conditions for rural development we have

in previo~s s~udies exacined the institutions and processes through which

rural populaticns are integrated i1to the national politi-cal systetlS of

middot~he countries in which they live A gap exis~s in most less developed

countries bet~een the peasantry residing on the periphery and the c~~tral

political ~stiutions staffe1 by ~~estern-educated bureaucratic elite

We are aware of the other major ~sti~utional discontinuities which comprise

J

4 middot~~1 the basic cleavage between the developed and underdewmiddoteloped sectors of

these dual societies Bridging these gaps is essential if these so~ieties ~ are to develop into viable nation states For until those Q~ the periphery

of the poli~ical syste~ participate in that system and support and comply

with the authority of central political institutions neither economic

development in ~he rural areas nor a stable polity will emerge

Bridging the discontinuities in these new political systems requires

establishing and institutionalizin3middot1inkages or networks for co~unication

and exchange of resources between decision-makers at the center and the

rural public on the periphery Three types of institutional linkages are

most prominent in less developed countries 1) those conSisting of the

state administration composed of the bureaucratice1ite 2) those consisting

of a revolutioncry political party cocposed of the ideological elite

3) and those conSisting of patron-client hierarchies composed of the political

entrepreneurial elite

Of these three linkages consisting of the state administration are

the cst extensive and pervasive in virtua~ly every LOC Such linkages

however exist primarily a~ instruwents of the center to penetrate the

periphery Central government officials are formally charged with bringing

develo~ent to the people This is a ~issi~n which conceives development

as a process ~hrough which a traditional peasantry is transformed and

assimilated iJro the DOdern center which is steadily expanding to embrace

it Agents of the center invariably have more resources to achieve their

objectives than do local political leaders but because they are frequently

strangers~ the communities in which they function they are often unable

- It -

co implement the policies of the center without working through the

local establis~ent

Though somctices significant linkages consist~g of revolutionary

party organizati~ns such as those found in China and Vietnam do not exist -

in most IDCs beca1Se of the special historical and e~omic conditions

required for their development As wi~h the administrative state however

the linkaampe apparatus of such political patties is prUlarily an instrument

of the center whose mission is to penetrate and mobilize those onthe

periphery

In contrast patron-client hierarchies are linkages which represent

the periphery at the center and mediate betwee~ these two disparate

sectors of the political systec Thcugh norcallymiddotovershadowed in scale

by the state administration patron-client hierarchies are found in almost

~very LDC a~d constitute the ~st significant network through which rural i

populations and their leaders influence the decision-~king process at

the center Patron-client hierarchies exist in a wide variety of org~iza-

tional fores ranging from info~ ~ec~~rks of individual olitical leaders

in uno-partyll systelS in S~b-SaharaI4 Africa to extensive political machines

in both one-p~rty (Africa Mexico) and ~u1ti-party systems (Turkey India)

Despite their importance as the pricary means through which peasants in

LDCs particiate in their political systems patron-client hi~rarchies

have only recently become an object of analysis by students of political

developent and do not appear in even the most sophisticated studies of

2 See Jo~ Dunca owell Peasant Socie~y and Clientelist Politics Aerican Politi~ Scielce Revietol 64 (June 1970) pp 411-25 Rene Lemarchand anc_ Keith Legg olitical ClienteliSJ and Ethnicity in Tropical Africa Aierican Political Sc~ecce ReView 66 (Y~rch 1972) pp 68-90 James C Scott PatronshyClient Politics a~d Political Change II 1tlerican Political Science Revie~ 66 (~arch 1972) p 91-113 and Friends Followers and Factiols bull edited by Steffan Sc~~d and James C Scott (Berkeley UniverSity of California Press 1977) bull

- 5 -

3 economic development Ad~niscrators of developmental assistance progracs

have too often regarded patron-clienc hierarchies as ~ped~ents to

develop~ent instead of recognizing cheir potential utility bull

~ Findings on Patron-Client Hierar~hies --

The importance of pat~on-clienc hierarchies for linking the periphery

to the center is one of the major findings ~erging from a study of the

relationships betueen l~gislators an~ their constituents in Kenya Korea

and Turkey ~hich the Cowparative Legislative Research Centpr is nov

comleting uader its 21l(d) grant from AID This study has av~mined the

creation of linkages between the periphery and the center through ~ore

than lO~OOO interviews with members of parl~ent local leaders and

peasants in t~e three countries The findings are being systewatically

set out in a book-length monograph Nearly a dozen research reports have -

uready appeared (see Appendix C) ipropositions about the nature of

political behavior of rural populations an~ the roles of local political

elites de=ived from the research~ can be s~rized as follows

1 Elected representa~ives play a significant role in the creation and mainte~ance of linkages be~een the center and periphery by developing local political achines in which they function as patrons of their constituents In turn thay s~rve as clients of political leaders of national stature who control central government institutions

2 By atte~pting to establish linkages based on patron-client relatio~shi~s elect~d representatives are responding to public expectations chat their prizary duy is to obtain resources from the center to proffiote local develop~ent ~iany elected repLesentatives spend most of their time on self-help co==unity development projects such 3S the building of schools health clinics irrigation works arid roads because such projects provide

3For exa~le ~ a widely respec~ed a~d useful analysis of rural deve16p~ent in Sub-Sahara~ Africa L~ Lele of the World Bank notes the problems of creating an adoini5~raive infrastructure in the rural areas that is sensitive to local socio-oliical conditions She does not however consider how local leaders operating o~tside of adcinistrative structures ~ night contribute to the developne~t 0 the rural areas See ~~ Lele ~ Design ~ Rural Develop~ent Lessons ~ Africa (Balt~re The Johns HopkiD~ Uciversity Press 1975) r) pp 127-61 i ~

- 6 -

their const~tuents with desired se~ices ~~d a= the sa~e time provide the reresentatives with an orgacization Yhicn can be used as a political base

3 l-tore than 90 perCel1t of the rural population is capable of articulating the p~oblems facing their local co~~ity and two-thirds discuss th~e proble~ w~th their fellow citizens on a regular basis

4 Three-q~rters of the residents of the rural areas can identify the public ofpoundici~s who serve thec--both civil servants and elected represcrtatives--by na~e Most are knowledgeable about the activities of these officials Alcost one-fifth coreover have discussed co~~~ity probl~ ~ith these officials particularly those working at the grassshyroots level Residents of rural villages actually have a higher level of political knowledge than their counterparts in the towns

5 Elections in the rural areas evoke a highly rational attern of voti~g despite the effects of ascriptive or traditional co~siderations Inc~ens are pri~rily evaluated in terms of their record in fulfilling the public r S elpectations of what they should do Elections are essentially referenda on inc~entsr perfo~ce especially their perforwance in the area of constituency servi~es such as bringing development projects to the districts bull

6 Local developcent projects have a relatively high s~olic value generating conscitutency support for local leaders and the central government at low cost

7 These projects help huild a local political infra-structure which can also be utilizec by central govern~nt civil servants to implement other policies designed to achieve rural develop~ent bull

The Icpac~ of Local Politics on Rural Projects

Having explored the developtent of linkages through which the periphery

is represented at che ~enter and through which the periphe~ attemp~s to

share in the ceners resources we now propose to build upon our initial

investigations by e~ing in greater detail the impact of local political

conditions on specific problecs of rural develop~ent We propose to

exacine the develop~ental activities of local leaders ~nd the rural public

by eX2~Ding a saple ot fifteen to twenty smalL~scale developwent projects

in each of ~he three countries which constituted the sites for our initial

8ESI AVAILABLE DOCUMENT 1 ~ - of

- 7 -

study of center-perhiphary relations The appropriateaess of this approach

and the ~ethodology through which it will be ip~emented is discussed in

section II Because the ~ethodology of investigation is in large part

the result of our previous research experience we fizst turn to a revieW

of the existinQ __ ~petence of the Comparative Legislative Research Center

in this area

II GRAXTEES EXISTIXG CmET~CE

In 1971 the University of Iowa received a 211(d) grant to develop

its capacity to do research on the role of elected represent~tives in

the process of modernization On the b~sis of this grant the University

established a research center which planned and carried out a research

project on the role of elected reres~~tatives as links between the central

gove~ent and rural populations in K~ya Korea and Turkey The project -i

served to develop t~e University of Iowas research capability in this

field esa~lished ties between the University and scholars in the bost

countries and generated a large and uniqu~ body of relevant data

In that project we fo~ussed our attention on tbe activities of elected

representatives in their constituencies notably in their contacts with

local political leaders voters and civil servants To determine tbe

nature of the linkage function performed by tbe representatives we

designed our research to explore the subject from three perspectives

1) we eXaojned ~~a ~ubject at tbe grass roots by conducting a series of

sample surveys of 200 to 300 adults in each of 12 to 14 parliamentary

constituencies in each cf th~6three countries 2) we examined the subject

at the center by intervie -ing MIls from the constituencies in which we

had conducted S3mple surveys ~nd higher civil servants with whom they

had contact and 3) ~e ex~~ined the subject from an inter-~diate level

by identifying aud ~terviewing local social and political leaders in

the MPs constituencies We used survey research methods because we

were embarking on the study of an entir~ly new subject for which little

relevant docu=e~tary data existed and on which there were few secondary

sources As a result ~e have unparalleled experience with survey

research in the rural areas of less develo~ed countries

The surveys which constituted the cajor part of our field work were

planned in collaboration ~~th scholars from the host countries They were

carried out in each constituency by student interviewers in the appropriate

language ~re than 10000 respo~dents were inteDViewed for the project

Given the visibility and sensitivity of this undertaking approval for

the research was sought and obtained from the host governments prior to -i

the collec~ion of data ~o objections were raised by these governments

at any stage of the research The data obtained have been made available

to scholars i~ the host co~cries and some of the basic findings have

been published in periodicdis in these countries

The Comarative Legislative Research Center ~hich ad~nistered the

project has aisO developed extensive experience in the study of political

leadership in other countries It h3s obta~ed substantial support from

the Fo~d Foundacion and the Rockeeller Foundation has worked in

collaboration ~~h European as ~ell as Asian and African scholars and

is engaged in a ajor study of the role of elected and non-elected leaders

in the oanag~~t o~~ocial conflict Because it has conGucted research

in a variey of setlngs the Center has an ~ceptional capacity to

- 9 -

determine how the relationships be~een political institutions and

economic p=oble75 differ in develoPed and less developed countries

In the course of the major research projects the Center has administered

it has gained highly specializpd ~p-i ce iI identifying 1Olitical leaders

in a great variety of settings conducting systematic interviews with

them collaborating with scholars in the host countries and in coding

and utilizing large files of data to answer specific research questions

The Center has ~lso undertaken to publish the results of its research

in three fores It issues codebooks to the data enabling scholrrs at

other locations to use the data expeditiously i~ publishes research reports - in the form of Occasional Papers and it publishes a scholarly periodical

devoted to the presentation of research findi~gs to an inteIT~tional

audience

The Center utilizes the data ~ysis facilities of the Laboratory

for Political Research of the University of Iowa and drawS on the unusual

n~er of secialists in comparamptive politics and survey research in

~~e Lniversitys Departmen of Political S~ience The Center itself I

has the services of an administrative secretary and a clerk-typist

~intains its~o~cn extensive archives and its o~~ publications program

It is e~uipped to assist scholars and government officials outside the

t~iversity of Io~a The participants in its p~ojects are full-tioe

faculty ~e=bers ~hose undergraduate and graduate teaching is closely

related to their research As part of the teaching program the Center

has attracted students from the countries in which the research projects

have been conducted these students have participated in the projects

bull J

have obtained training in other fields of political science have received

University of Iowa degrees~ and have ret~rned to teach and to do research

in their own countries

III PURPOSE OBJECTIVES AID METHODS

Purpose of Study

The purpose of the proposed grant is to extend the capacity of the

University of Iowa to determine the political conditions in the rural

areas of less developed countries which favor the establis~ent and growth

of small-scale developoent projects ~e objective is to put the University

of Iowa in a position to assist the Agency in designing small-scale rural

developent projects providing guidelines for carrying out social soundness

analyses of such projects and adviSing in the evaluation of projects

We will discuss the utilization of~t~e Universitys capacity in detail in

section IV below

We propose to concentrate our investigations on the political conditions

surrounding s~l-scale ru~al projects Such projects have distinctive

advantages They waximize the political participation of the rural populations

both in det~~-ining the direction ~d implementation of develop~ent efforts

and in defending the interests of periphery vis-~-vis the urban-based

bureaucratic elite S~ll-scale projects stimulate entrereneurial activity

on the part of the rural citizens and growth of the info~l canufacturing

and service sector Tbey require less lead tice and less administrative

c~erhead to ~eco~e operational than large-scale capital-intensive projects

centrally administered Such projects yield rapid and direct benefits to

1

j

the rural

- 11 b - ~~1

populations and are consistentwith their hUIlaD rights--both

political and economic However~ small-s~le projects pose s~ecial probl~s for administratcrs of developceocll assistance progracs because

they require the donor co assess the local olitics particularl the

rural politics of t~e host country

Develop~c adoinistrators pr~rily conc~rned with assisting rural

populations must therefore recognize the range of political variables

affectL~g these projects Small-scale projects offer great opportuoities

for develop~ental assistance progr~ because they can be easily targeted

to help rural populacions require low capital costs and need no be

concentrated in one or two localities Such projects ho~ever~ ~equire

the a~istrator to have ~re political kno~lecge than large-scale

projects Oil which his priJlary tas~ is guiding the work of other experts

Questions for ~Investigation

To detercine the politi~al cc~diicilS ~st conducive to ~he establ~~ent

and gro~h of scalI-scale rural projects ~e propose to address our inquiry

to the following specific questions

1 To what extent and why co local political leaders seek to establish s~~l-scale develop~ent projects within their co~unities

2 To what extent and ~~y do local leaders other than politicians initiate andor provide leadership for s=all-scale developm~t projects

3 Bot do the relations bet~Jeel different types of local leaders (political and non-political) and bet~eeo these leaders and central gove~ent civil servants posted to the rural areas affect the conduct of develop=ent projects

4 How do existing authority ~eLationships between these different leadership grous and the rural pub~ic affect the organization and operation of s~l-scale develop~ent projects

- 12 -

~

5 lhlt is the nature 0 pclgtlic participation in the establishlent and operatio~ of s~l-sclle projects and ~hat are the outcc=es or this participatioe Gucer w~at conditions is such participation ~ost likely to occur

We seek a~swe=s to t~cse questio s L order to determine the effect of

different co~iigurations of local leadership and public participation on the

outcomes or small-scale rural projects te are particular1y concerned with

the ~pact of these configurations on the rate of econocic growth and the

distribution o~ rIGSlth ithin the loal cOlllUlity ~ on the perce~tions of

s~ll-scale proj~cts by central govern~ent per~oncel and the rural public

anmiddot on the organiation or flture projects

To a~swer these que~tions it is oar intention to study the initia~ioD

izJple=enation ald i1lpact of a salple cpound small-scale rural projects in

Kanya Korea and Turley in the sae cOllities in which we carried OU

our initial icvestigations ~ 1973-75 Tne relationships between the -

various conf~gurations of local leadership and public participation and

the three phases of project develop~ant are sho~ in Figure 1 We will

exa=ine projects to pro~ote the adoption of new agricultural techniques

by s~l and moderate landnolders the building of feeder roads irrigation

ditches and other s~ple infrastructure the organization of fa~ers

cooperatives and other local associations concerned with rural development

the establish=ent of rural health clinicS and schools and the setting up

of craft and service industries

Sites for Study

We plan to return to our original set of localities because we possess

a rich body of relevant data on the extent to which linkages exist between

Figure 1

TYPES OF LFLUEXCE OF C2r~ middotGOVER1iEXT OFFCIALS

LoCu LEADERS 0 THE RURAL PUBLI-C OX THRr~

PHASES OF RURAL igtEVELOPHET PROJECTS

r----------~J C~ltral Gover1~nt Official)-N------- - J

r- Local pOlitical leaders

Local non-political leaders

~l 1---- -

ROJECT nITL~TIOS

Influ~ce on selection of projects

InrI ~elce on location of projects

Influence on policy guidelines for proj eCl

Il

I

a

I I

-I PROJECT I~L~~iATIO~ ~ 1

j Project Organizati I Selection of project

leadership

Hobilization of resources

Mobilizatiol of public compliance with project require=elts

Diffusion of project innovation

Rural Public

I

BEST AVAILABLE nOCUMENT

1 ROJECT IMPACT

Organization of ongoi=g project operation

Distribution of project benefits

Evaluation of project

Public attitudes toward project

-middot14 -

these areas and t~c central p~litical institutions of the three co~tries

and on the attit~es of the rural populacioc local leaders and elected

legislators regardi~g their problecs of develop~~c Since such data

is unavailable for alternative locales a return to the areas in which

we have previously done much research ~ables us to build on a uniquely

valuable body of icformation

A return to Kenya Korea and Turkey is also highly desirable from

the standpoint of effective research organization The Comparative

Legislative Research ~enter has developed close collaborative relationships

with several highly competent social scientists in these countries and

with the academic institutions with which these scholars are associated

We have also dev~_oped cooperative relatio~ships wi~ gove~ent officials

in these countries which should facilicate obtaining approval for our

further work

In proposing to doc~ent the origin i~pl~entation and impact of

one to three s~ll-scale develop=ent projects in each of 35 localities

we have two considerations in mind Firstmiddot because our pr~ry goal is

to deter~e the political conditions for rural developm~Lt we wish to

examine develQ~=ent in as many different settings as feasible Only in

this way can we control for so=e of the major socio-cultural variations

that erist along rural populations in less developed coultries These

include the overall level of econo~c development in the co~unity the

nature of t~e ~digenous culture an~ relationships of authority and the

pro~ty of the comounity to major urban areas and centers of central

gove~nt ad=inistration ~ce our original study sites were carefully

BEST AVAILABLE DOCUMENf

- 15 - ~ ~1

selected to represent these variations ye have concluded that these

35 localities woule be ideal sites for the propose~project Second~ in order to dete~~~ the ~pact of local leaders and public

participation o~ ~ural projects we intend to compare projects 1n which

local leaders and ~ecbers of the public have played a major ~ole with

projects in which they have not We also ~l cospare projects initiated

by the central gover~ent with projects Yhich have been locally initiated

These considerations give us a typology for selecting projects as depicted

in Figure 2

Figure 2 ~

FIVE TYPES OF RU~AL PROJCTS ACCORDIXG TO ~FLUEXCE OF CEITiW

GOVE~1E~T LOCAL LEADE~ AD RLRAL POULATIO~

Level of Participation by Rural Population

Locus of Project Initiation ~

Local Co=unity Central Governoent

BIGd

LOt

1 Projects initiated by local leaders and providing for participation of the rural ~opulation

4 Proje~ts Litiated by local leaders bu~ not involving participation of the rural population

2 Projects initiated by the Central Govern~ent and administered i~ cooperation with local leaders a~d the rural population

3 Projects initiated by the Central Govemlent and providing =or the participation of the rural population but by-passing local leaders

5 Projects initiated by the Central Gover~e~t a~d administered in cooeration Yith local leaders but not involvi~g parti~ipation of rural population

- 16 -

We recognize that the socio-cultural setting of rural develoment

projects varies significantly within and across less developed countries bull

By focussing o~ a representative sa=ple of localities ~ Ke~ya~ Korea

and Turkey we can take account of naoy~ though not all of these variations

While some of our substantive findings will not be directly generalizable

beyond the countries in which we propose to conduct our study we expect

that our basic ~ethods and fLdLgs will be applicable to national and

sub-national settings elsewhere in the developing world This is partly

d~e to the fact that the hierarchy of patron-client relations ~hich we

regard as a critical factor in rural develo~~t exists in ~ost Liles

--It is also due to the fact that the methodology for identifying local

bull leadership configurations auG poundor studying local politics which we are

perfe~ting can be used to assess local political co~ditions in a large

variety of countries even when the ~nditions themselves differ significantly

Methods of Investigation

The data needed to assess the iDpact of local leaders and mass

participaticn on rural dev~lop~nt fall into two categories Some a~e

contained among the data gathered for the research project we are currently

completing Others will require additional field research

The following data are already in hand

1 Data on the social landscape of each loc~l co~nity i~cluding aggregate data o~ level of econonic development de~graphic characteristics political pa=ticiation eth~ic loyalities and rates of socio-econocic change dur~g the past decade bull

2 Identity of local leaders including both political and I-on-political leaders and both legislators and other politicians

3 Perceptions of existiag probl~ and their possible solution a~ng

l)tS r AVAilABLE DOCUMENT

- 17 -

general public local leaders and civil serv~nts

4 Level of political kno~ledge among local citizens and local political leacers

5 Political and social values a~ong local ci~izecs and local political leaders

6 E~~ectacions of leadership roles among the local public and elected and non-elected leaders

7 Patterns of co~unication ~ong local leaders and between local leaders and the central gove~e~t

These data ~hich ~e already have in hand can be subjected to analyses

which ~~ll provida the foundation for our further work on rural develop~ent

projects A part of our work therefore will consist of fu~ther analyses

of existing data

New data of the following kinds are also required

1 Doc~entary data on the origin and evolution of particular smallshyscale develop~cnt projects in the rural areas

-2 Data on project costs boih ~itial invest=ent and recurring

operating costs and data on project ou~puts ie pupils in schools Ddles of road coopleted nl~ber of hospital a~ssions production of factory agricultural productivity

3 Data on project organizatio~ n~~r of local inha~itants participating in establis~~ent of projectt nuober of local L~habitants subsequently involved in project

4 Data-on the pe-cetion of projects by local leaders emers of the local public a~d by civil servants data on the perception of how each project ~as initiatec organized who benefitted and what its future implicatio~s are

These types of data will requ~re field work involv~~g both docucentary research

at the relevant ~istries of the central government and in local goverr~nt

authoritieS and inforoal open-ended interviews with local political leaders

elected representatives and other local leaders who~ we had previously ~

interviewed in a s=uctured syste=atic =aoner

BEST AVAILABLE DOCUMENT

- 18 -

Grant Organizatio~ and T~etable

We propose co undertake the research outlLled above beginning in the

fall se=ester 1977 Dur~g that te~ Professors Barkan and Kim as

principal investio~tors for the neo1 proj ect will contact their collaborators

in the host co~~tries They ~~ll also seek the collaboration of an additional

~rican scholar specializing in rural development with the aic of getting

additional advice on sources of data and suitable indicators for the

~easure=~~t of rural develop~ent projects

At the end of the fall seQester Professors Barkan and Kim will make

a trip to their research sites to disc~s details of the research organization

with their collaborators in the host countries and to recruit student

assistants Tney will devote the spring te~ 1978 to further analysis

of a~sting data at the University of Iowa

The gathering of additional dita L~ the field will begin in the s~er

of 1978 Professors Barkan and Kio will direct this work personally We

eAect that its coopletion ~~ll require three to six months This work ~1

involve the evaluation of central and local gove~ent reports on the

projects uncer investigation extensive on-site observations of the projects

and oen-e~ded interviews with the principal participants Our principal

respondents ~i1l be the local leaders and elected representatives we

have previously identified in the localities in which we have worked and

a sacple of active participants in the particular dpvelopment projects

being studied ~~ere necessary and apropriate surveys of the general

public will be uncertaken to assess the inpact of a given project on the

rural por)r We do not however leed 0 conduct systeAlatic sample surveys

BEST AVAILABLE DOCUMENT

- lY -

of the rur~l population as We did in 1974

In the organization of this research project we intend to reconstruct

the rese~rch tea=s ~e e=ployed during 1973-75 We shall again seek the

co11abo=~tion of P~ofessor Sc~~S-7o~g Pai of Seoul National University ~

Professor IIiCr Turan of the University of Istanbul and Professor John J

Ok~u of the U~iversity of ~arto~ S~ilarly w~ contemplate directing

the field research fro~ he same acade~ic research organizations we previously

used Seoul National U~ive~sity th~ ~~iversity of Istanbul and the

Insti~ute for Develop~eut S~udies University of Nairobi As before we

will tra~ students f~oo these institutions to serve as interviewers

The analysis of the open-ended intervie~s and of docUQentatio~ on

I ~ural develop=e~t projects will be a ~ore t~e-co~s~g process than the

analysis of closed intervie~s It will reqrire a high cotnittl~t of time

fron the principal investigators )e e--pec to hold a conference at the i

U~iversi~y of Iowa 3lO1g all the principal )clticipa~ts in the resea~ch

project d~=~g t~e spr~g 1979 to evalua~~ the newly collected data

le e~ pect to be able to vr-ite reports of t~ results during the Sl1~er 1979

(see Figre 3)

IV LlX-GS ~1) U~ILIZATIO~

At the e~d of the grant period the Uti ersity of Iowa will be able to

1) advise the Agalcy 01 the design of s~l-scale rural projects to assist

the rural poor 2) provide guidelines for social soundness analysiS of

small-scale projects for the rural areas of U)Cs 3) consult w~th the

Ag~tcy 01 the evaluatiol of rural projects ~d 4) provide LDe governments

BEST AVAILABLE DOCUMENT

)ATES

~lll

1977

~inter 1977

iprilg 1978

il mer 1978

~all

1978

ipr~ng

1979

Imiddoter 1979

University vf Iowa

Plutlning of rural develo~rent project

Barkan Kil

Alalysis of existing data

Barkan Kia

Data processing

3arkan Kin

1

I

- 4 -

Figura 3

GRAT TLfETABLE

SIT E S

Kenya Korea Turkey

Preparation of field research ural developH~lt project cOlisulta~io~ a research sites

BarkanOku=u Ki~Pai Tura~rkanKi~

Preparation of field resea-ch

Tural

Field research on rural cevelop~~t projects Bar~lOk~u Ki=Pai Turan

Co=pletion of Co=pletion of field resear~~I~ fiald researcr

Ok~u i Pai bull

f Coopletion of field research

Turan

Data analysis conference a~ong all princial i~vestigators at Un~versity of Iowa Barkan Kil Oku=u Pai Turan

Co=letiol of r~ral develop~ent

project

3arkan Kiz

BEST AVAILABLE DOCUMENT

I

- LL -

~ith speciali~cs o~ ru~al developcect ~mong their own citizens ~ho ha_

partcipatcd ~s collaborators in the Iowa projects

In the proposed project we Will test a series of hypotheses cOlcerning

the political cOllditions of rural develo=ent which run counter to CODOn

assuoptions conccrnir3 t~~ influence of rural politics on project effectiveness

As a result ~e ~dll be able to assist the Agency in designing and evaluating

such projects froe the point of V~~W 0 their political viability The

hypotheses We will test sugges~ t~at the patron-clie~t relations existing

in the local politics of zost LDCs are not necessarily i~pedients to rural

develop~ent but are aspects or the political structure which cal be used to

facilitate s~ll-scale ru=~ projects which will raise the standards of

living of _ ~ rral pomlation - As ~ result or our stuey we expect to be

able to P~-O~t the local leadership confi5~rations ~4d the relationships

between local leaders ald rural poclations ~nich are oost conducive to I

successful develcp=en efforts We believe that we will be agtle to perfect

a cat~odology for identifying the political conditions for rural develop~ent

one ~hich is transferable pound~oo the countries we have specialized in to

other LDCs

We proo~ to develop specific guidelines to assist administrators

charged with selecting evaluating and =onito~ing rural develop~ent

projects to ~szess t~esc rojects in tares of their-social and political

viability he outco~e of such projects is dete~ned not only by the

efrectiv~nass ~~=h ~hich they use scarce econo~c resources but by the

~~er L~ w=ich they e~gage the suppprt of local leaders and rural

po~ulatiocs~ by thei= effect ou social a~d econo~c equality ~d by

D[~T AvAlLA8LE DOCUMENT

- 22 -

their consequences for hwan rights ~Je plan to establish criteria by

middot~hic~ the probable outco~es of projects in these social terms can be

anticipatec

The study ~e propo e will be undertltlken by faculty at the Cniversicy

of lowe in collaboration with faculty a other ~rican institutions and

institutions in the host countries We will build on the extensive contacts

between the Co~perative Legislative Research Center of the ~niversity of

Iowa end other instituions with ~aich ~e have worked One =ajor result

of our collaborative study will be the existence of a net~ork of compe~ent

scholars both in this country and overseas experi~lced in ~orking together~

shar~g a co~on teaching and training experience i~ close contact throu~~ the

effective publications progr~ developed by the Co~parative Legislative Research

Center T~e e~~ertise of this group of individuals will be ava~lable to

oteer scholars to the Agency and ~o L~C governments for specific policy

advice The eXertise developed as a consequence of this project will

extend beyond the ~tionals of the countries ~volved since the univ~sities

engaged in ~e project attrtct stude~ts fro outside heir own countries

For ey~=ple the teaching ~d research progra in the Depar~ent of Political

Science 0 theUniversity of Istanbul heavily affected by the participation

of its facul~y ~e=bers and graduate students in our projects attracts students

throughout the ~middot1iddle East for Whom the University of Istanbul is the iajor

institution ~pound ~igher education in the region rne Institute for Developmen~

Studies is si=ilarly a focal point for students and faculty in East and

Central Africa Seoul ~atiocal Unive=sity attracts students froo other

Asia~ co~tries~ In this way the capability developed among the participant$

BEST AVAIL~BLE DOrUMENT

- ) -

in our work is diffused widely To the exte~ that the abili~y to assess

rural develop~ent p~ojects in teres of their social soundness is increased

both in the United States and in ~o~~tries r~ceiving develop=en~ assistance

the cap3~ity of racipien~ countr~es to absorb aid is ~creased

We propose to draw up an inventory of personnel available in ~~e

Cnited States and in other co~~tries who are able to consult with developen~

a~nistrators on the design of rural development projects and on their

evaluation We ~~ll draw first of ai~ on individuals w~o have been

directly associated with our ~ork in the past or on ~he proposed project

and ex~~~d the list to include graduate students and gove~ent officials

with who~ these individuals have wor~d

tole Yill utilize tha existing publication program of the Center

dercribed above to disse~inate our findings The Center has specialized

oailing lists of interested individuals and institutions in all parts of -i

the world and its reports can trerefore reach the ~st relevant audience

jirec~ly ~d re~~arly

BESl AVAIL~BLE OOCUMENT

CONTRACfjGRANTCOOPERATIVE AGREEMENT DATA SHEET

INSTRUCTIONS fjDW Complete 4 copies of the form Original SERCMSDSUP Statistical Section Copy Copy 2 SERCMSIiUP dministrative Copy opr 1 Contracting Officers COy COP) 4 SERCMSDSUP IUmin (Suspense) Copy

Missions Complde 2 copies oi the form Origin31 SERCMSDjSUF- Statistic31 Section Copy 3n~ Copy 2 Nill be ret31ned in the Missions

PART fA

ConU3lttorGranrce Name

University p~f~I~o~wa~ __ -r~ ____ ~~~~ __________ -~~ __ ~~~ ______________ ~~~~ Plorr Numt-er ApptopriJtion Number Allotment Number Project Number

930-0090-3Q13411 A5 72-111l0216 146-30-099-00-20-11 930-0090 Project Title

So~ia1 and Potitica1 Aspects of Development - Conference to Report Research Findings Amount of this Plorr I Projecl M3nagers Name and Offire Sytlbol

$10397 (increase) PDPRCP Jonatlan Silverstone Contr3ctors D-U-N-S Number

Ncgwatocs TYJlCd~3meJ j) Signature I l ~ jIf- bull G HtJ--ft u l IVmiddot

D~e

L - f - J ContractGrant Officqs typed Nailllt Signalure LJ d I -r-

plusmn t 3i-alflpta (( BLvle~ 1 I~ PARTm

ContractGranl Number

AID CSD-3294

Effeclive Date of Docum~nl Signalltre D3t~ of Documenl

Lf---C yen-~-gl tIost Courtry Institution (U iwrsity contract ONL Y)

Campus Coordinator (Uniwr ty i contract OiiL YJ

PART UL Descriplion of Cor-tractGrant P1use X ONL Y ONE item under each headiZg IF THEltrease CifYmC~e bolh ges I 30~~ O~ Nol to be completed for Amendmenl or Modlfic3lion AJigtns I III

J 710gt I I V ~ I

MOl - TYPE ACT A~ 0 G unsolicited Propsll (AIDIR 0 C Individual (Non-pe~nal senice)

~ O Cortra lGrantl ooperative Agreemenl 73101-SO(b)(6raquo 0 D Individual (ftrsonal Service)

tJl T3sk Order ( A)middot 0 H Procurement 10 be Perfocm~d by the Conmiddot 0 E UniversilyOther FAuC3lionailnSlitulions

D 2 Work Order (IQC) Ira~lor in Person (AIDPR 0 F Non-Profil Organizationlnslitutions (other

D 3 Delivety Order (Requirements) 73101middotSO(b)( Iraquo than Ed or PVO)

[j 4 Purchase Ordcr [J I Sole Source (AIOPR 7-3101-SO(b)(4)) 0 G Private Volunury Organization (PVO)

If I 2 or 3 1Lle an ~ compllle M 12 ON Y D J Imp3irmenl of Foreign Policy Objectiws 0 H International Agricultural Research Organj-

M04 - CONTRACTGRANT TYPE

o O MOA (BOA BMA etc)

o I Fixed Price (Specify fFP FPRD FPEPA FPI) _____ _

(gtIDPR 7-31 OJ SO(b)(7raquo

OK B(a)5eJection (FPR 1middot1713-1)

o L Grant iH1ndlOok 13)

o M Do Nol Ue

D 2 Cosl Reimburemenl (S~cil) CR CPFF 0 N Cooperative t~reement (Handbook 13)

CS CPAF CPIF) ~ 0 O Small Business SeImiddotAside (FPR 1middot1706-8)

o l Cooperative Agreemenl ~ 0 1 Overseas Procuring AClivilies (AIDPR

04 Grant Gener31 Supportmiddot 0U ~ 7lIOI-SC(b)(2))

o S Granl - Specific Support ~ ~06 E SER VICE

g ~ ~~t ~~(d) ~~ ~~ ~ eci~a~~~~~ogram Projeci

o amp IQCs ~ ~ relampted excepi A amp E Services)

o 9 Host Counlry ContraclGrnnt 5lJ C amp E Services

middotComplele ONLY through ~Sl ~~ 0 D Construction

M05 SELECTION PROCEDURES 0 E- Reseuch

o A Formally 3dverliscd (IFB) (A1DPR 7middot24 amp

FPR 1middot24) ~ o B Negoli3ted Price Compelilicn Gencr31

Procedure (RFP) (-JDPR 7456)

Dc A amp E (AIDPR 7410)

0 D Ed Inst andor Inl1 R~arch (-JDPR

74 5)

o E Collaboratoe Assisunce (IDPR 7458)

C F Predominant Capability (IOPR

73IOI-50(b)(l)

AID 1420-49 (179) - Page I

D F Technical Services to AID (other than trainmiddot

ing usually o~ating expense)

D G jraining SetVice for AID

o H Equipment Materi3J~ Supplies Commodities

D I Translation Service

~07middot TYPE CONTRACTORGRA-nEE

o A Firmmiddot AU profil-rn3king fUms (other than

Aamp E)

J e A amp E 8r~

zalion

o Public Inlmlational Organizations (UN

Agencies ICRC Wocld Bank elc)

(H8 J 3 Chapt~ S)

M08- TYPE AW~RD

o A S8 Sel-Aside - Awarded to Non-Minority

o B S8 Set-Asidemiddot Awarded to MinXity

o C_ S8 NOI Set-Aside - Awarded to Non-Minority

o D S8 NOI SeImiddotAsidemiddot Awarded 10 Minority

o Eo amp(a) S8A Awarded to Non-Minority (Womerl-

Owned Veterans etc)

o F 8(a) S8A Awarded 10 MinorilY

o G Personal Sen-ice ConlrdCt bull Non-Minority

o H IeJSDnal Service Conlract - MinorIty

o I Individual NonmiddotPersonal Service Contraci -

NonmiddotMinority

o J 100Jigtiduai NonmiddotPersonal Service Contracl -

Minorily

o K NOI Small Business (Univ NonmiddotProfit Large

Firms) Non-Minorily

o L- NOI Small 8usineSl (Univ Non-Profit Large

Firms) Minorily

o M US Govcrnmlnt

(Connnued on Page 2)

BEST AVLABIE DOCUMENT 1 I

--

ua ) R I GI NAL 9 bull

MODIFICATION or GRANT PAGE 1 of 2

AH 1 2 Effective Date 3 Grant No 4 Effective Date

Amend_at Ro 5 April 15 1981 AIDCSD- 3294 8-11-71

-s CRANTEE (Name and Addrea) 6 Administered by -Professor Gerhard Loewenberg -Office of Contract Management Cbrnparative Legislative Research Gente Central Operations Division Dept of Political Science am Branch University of Iowa Agency for International Developn~nt Iowa City Iowa 52240 Washington D C 20523

7 PIO No 930-0090- 3013411 A5 8 Previous PlOTa -

Appropriation No 72-11110216 93i-1l-995-l36 930-11-995-136-73-3078103

Allotment Symbol - 146-30-099-00-20-11 wunt Obliga ted by this ~ndrnent - $10397

The above numbered Grant is hereby modified as follows

1 Anotmt obligated prior to this rurendment 2 Amount obligated by this amendment 3 Total obligated anount (1 amp 2)

Delete the amJmt $465000 and substitute in lieu thereof the ammnt I$47S 39-7 ~

FUNDS AVAIrABm

~~ - APR 13 1981

PrO~A~~5iors

$465000 $ 10397 $475397

OffiCE Of fIN~(1 ~~rE~E~T __ _ 10 This amendment 11 entered into puruant to the authority of the Forelgn

Assistance Act of lS~l as amended Except aft hereln provided all terms and ~~ndi~ons nf the grant rcferpnccd in Block 13 remain unchsnged and in full force and ~ffcct

11 original and six Crantee 18 requlred to aign thh document aad return 1- eopics to issuing

ffiee

~~~ or printed) BUSINESS MAHAGR amp bull

Tille TREASURER

UNITpound) STATES OF AHERICA AGENCY FOR INTERNATIONAL DEVELO~NT

BY_-1(1o-_1lt--= 13middot~_1_~ __ K R B1uteau

(Name typed or printed)

Tltle~ ____ G_r_a_n_t __ O_f_f1_c_e_r ____________ __

D3tC APR 2 J 7997 Dolt 9 APq 1981

BEST AVAILABLE DOCUM NT ___ 0 HLGlNAL - I 1 J 1 ~ )

- 2 -

AID ftmds in the am)tmt of $10397 are hereby provided for the activities lmich are described in your proposal (including Budget Stnmnary) entitled CDnference to Report Research Findings on the Study of Political CDnditions for Effective Small-Scale Rural Assistance Projects in Kenya Korea and Turkey dated February 17 1981 and made a part of the Grant b reference

BtTDGET StMMARY

Line Item

Travel

Per Diem

Other Direct Costs

Less existing 211 (d) grant funds

Total Amount Obligated by this Amendment

Estimated Costs

$ 5888

5100

_ 2500 $13488

_ 3091

$lO39

Note Indirect costs or $395086 associated with these activities will be contributed by the University of Iowa

BEST AVAILABLE DOCUMENT

~RIGINAL

- CONTRACT IGRANTCOOPERA rIVE AGRElEMI~ SERC~SDSlP Actio) Monitor

SERCMSDSUP Action Office

I

INSTRUCTIONS AJDW - Complete 4 copit of tlh fonnmiddot Orisina iCMSDfSUP Sutistical Section COP)middot Copy 2 SERCMSDjSVP Administrative CoP Copy 3 Cont-acting Officers COP) Copy 4middot SOSUP Admin (Susptnse) Copy Missionsmiddot Complete 2 copies of the form or~aI SERCtSDSUP Statistical Section Copy and Copy = wiU~ retained in the Missions

0 PART IA

Effective Date of Document tJ

Delivery Order (Requirements)middot

o 4 Purcluse Order

bull If I 2 or 3 have an bull X compl~te M I 2 ON L Y

M04 - CONTRACTGRANT TYPE

o O MOA (BOA BMA etc)

o 1 Fixed Price (Specify FFP FPRD FPEP FPI) ___ _

o 2 COli Reimbursement (S~cifY CR CPFF CS CPAF CPIF) ______ _

o 3 Cooperative Agreement

o 4 Grantmiddot General Support

o S Grantmiddot Specifi Support

o 6 GraDt 21 led)middot

o 7 Do Not Use

o amp IQCs

o 9 Host Country ContractGrant

middotComplete ONLY through M 5 1

MOS SELECTION PROCEDURES

o A Formally advertised (IFB)(AJDPR 7middot24 amp

FPR 124)

o B Negotiated Prire Competition General

Procedure (RFP) (AIDPR 7456)

o Co A amp E (AlDPR 4 I 0)

o D Ed Ins andor Intl ReStalch (UDPR

7457)

o E Collaborative ASSistance (AIDPR 7458)

o F Predominant Capability (AIDPR

7-310l-50o)(3)

AID 142049 (1-79)middot Page J

o H Procurement Co be Performed b~ the Conshy

tra~tor in Person (AlDPR

7middot3t OI-SO(b)(Iraquo

o I Sole 5gturce (AIDPR 7middot3101middotSO(b)(4raquo

o J Impairment of Foreign Policy Objecdv~

(AIDPR 7middot310 ImiddotSO(b)(7raquo

o K 8(a) Selection (FPR 1middot1713-t)

o L Grant (Handbook J 3)

o M Do Not Vse

o N Cooperative Agreement (Handbook 13)

o O Small Business SetmiddotAside (FPR 11706-8)

o P Overseas Procuring Activities (AIDPR

7middot3101middotSO(b)(2raquo

M06middot TYPE SER VICE

o A TtJining of Participants

o B Technical Assistmce (Program Project

related exc~pt A amp E Services)

J C A amp E Services

0 D COltl~ruction

0 E Research

0 F Technical Services to AID (other than trainmiddot

ing usuaU Y operating ex pense)

0 G Training Service few AID

0 H Equipment Mat~rials Supplie~ Commodities

0 I Translation Service

07middot TYPE CONTRACTORGR TEE

Firmmiddot All profitmiddotmaking fu-r1s (other than

AampE)

o 9 amp E Firms

I Prcct NumbcT

I

Contactors D-U-N-S Numbcr

I) -S--f(j

o C Individual 0-lon-~rsora1 service)

o D Individual (Pet-sonal Service)

o E University lOt her EduCltionaJ Institutions

o F Non-Profit Organization Institutions (other

than Ed or PVO)

o G Private Voiuntary Organization (PVO)

o H International AgricultwaJ Research Organmiddot zation

o I Public International Organizadon~ (UN

Agencies ICRC ewld B3J1k etc)

(HB J 3 Chapter 5)

M08middot TYPE AWARD

o A SB SeImiddotAsidemiddot Awarded to Non-Minority

o B SB SetmiddotAside bull Awarded to Minority

o C SB Not SetmiddotAside - Awarded to Non-Minoril)i

o D SB Not SetmiddotAside - Awarded to Minority

o E ~a) SBA Awarded to Non-Minewity (Womeli

Owned Veterans etc)

o F 8(a) SBA w-rded 1o Minority

o G Personal Service Contractmiddot Non-Minority

o ~ Personal Service Contnct - Minority

o I Individual Non-Personal Sence Contractmiddot

NonmiddotMinority

o J Individual Non-Personal Service Contractmiddot

Minority

o K Not Small Business (Univ Non-Profit L1lge

Firms) --vn-Minority

o L Not Small BUSiness (Univ NonmiddotProfit Large

Firms) ~inoriy

o M VS Government

(Continued on Pcge 2i

t bull - t ~ J f q

ORIGINAL bull MODIFICATION OF GRANT

1 2 Effective Date

Araendllent Ro 4 12-2-80

s CRANTEE CHace and Addrels) Professor Ger1ard Lo~middot enbelg Comparative Legislative Research Deartment of Political Science The Lnivp-rsity of Iowa Iowa City Io~a 52240

7 PIO No NI A

Appropriation No 72-11XHl26

Center

Allotment Symbol -426-30-099-00-3~-71 Amount obligated by this urendment-O- I

3 Gnnt No

AIDcsd-3294

PAGE _____ 1 _of-L

AlI 4 Effective Date

8-11-71

~ Admlnlltered by -Office of Contract Management Central Operations Division OTR Branch Agency for International Development Washington DC 20523

8 Previous PIOITs -

931-11-995-136 930-11-995-136-73-3078103

9 The above numbered Grant is hereby modified as follows

Supplement to Grant

Change the duration period sentence to read

The Duration Period for this Grant shall be August 11 1971 through December 31 198]

1 Amount obligated prior to this amendment $465000 2 A~unt obligated by this amendment -0-3 Total obligated amount (1amp2) $465000

----------------_- - ------- ----_- ------ 10 Thh lImcndmcnt is entered inlo punuant to the authority of the Foreign

~ Assistance Act of 1961 86 amended Except a~ h~reln Z II provided all terms and condi tions nf the grant referenced in Block 3 remain ~~aunchlinged and In fu1l force and effNt cnltUI cJ)za 11 o 4 J bull

Et~ ai~a gtUoItshyc Z P=u

original and six Grantee t requi red to sign this document and return 1- eopies to 1Bufng

office

~ 12 GRANTEE TES OF AMERI CA

(Name typed or printed) bull

TJlle Director Comparative Legislative liecearell CeQtoQl

Date 12880

------------------------------------

ONAL DEVELOPMENT

By ----~--~~~~---------------------

prinled)

Grant Officer Title --------------------------------

J)oll( 12-2-80 -----------------------------

BEST AVAILBLE DOCUMENT i je

Page 14: PD-Ar3T Cr(~

ll-

of Iml3 ~ill LS~ glmiddot~t f~ds t~ estaolish a data archive to begin to

bring tb~ edtirg legi31ati--re studies tog3tller at a single locaticn

end to =afe t~e ac~essible to tie grc~ring m~er of interested

scholars in t~i3 field PerSCIlllel of tbe Data Archive ~rill searcD

broadly fo all a-reilable data on legislatures in the possession of

ildiviiual researc~rs i11ese data sets ~-Till be acquired refo~atted

for ease in alelrsis a1d stored in Archive Tne Archive ~~ll

asserble tie etel~ Gata O legislative organization ald procedure the

socialization ~~ recruite~t of lzgislators legislative decision-

makLg pccesses 2d legislative outputs To facilitate access to

the data a ~middote-riemiddotrlt11 syste middoti111 be cesigned that will 2011001 r-=searchers

to find ~iccJ ata sets that c~mt2in inforration lelefalt to their

researc1 po)2e5 RibEcg-aphic citation3 cnd abstracts of research

reports on le~i51e-imiddote oebio ~~ill be gathered and a biblicgraphic

retrieval sys tC idll a Geielc9d to aid esealcJers

cooioinet-e1 ~~as n -ie are= of c~rarativa legislatile studies is

t~3t because 0 si~~e iJS in~ti tuticn ias tce necessarJ expertise

of ccrparati ve

1-=gislatiY2 tcie3 8forts of the most conrpeteat ace interested

BEST AVAIL~BLE DOCUMENT MCi I I yl

12 -

oz~ the tr)middote grantee institutions and otter associated scholars It

~ill ayise t~e pa1tee i1stituticns on SllC catte-s as roritorirg

activities at the t~re~ unive~sities~ evalu~ting rese~rch frr possible

=middotclication sJ--sidies rld ether ratters related to infor~atioTI

disse~~ation coordinating research efforts to avoid duplication

ecilitating excha1ges d sttde~ts ad faculty members ~-iitb foreign

nsti tutions i~en desirable tryi1g to till lacunae in cLIricu lUn

helJilg to arralge cmferelces and sy-posia and generally trJing to

9cote te ~eielcp~2nt of cOlparatile legislative stucies as a

Gra1t L~HS idll be ~sed to support the Univ2rsity of Io -a IS

nrticipation in tre AdisorJ Co-i ttee t1e developrrErt of conferenc=s

elsEfhere il the US arHl over3eas i1 relat2d facets of leeislaive sttdies

Edstng iersonJ~l al~d fa-ilities at the University o= 1oa previde

iaculty facliiies to aid rC3emc~ trailg aPd skill in 21c~ivaJ middotork

BES~ AVAIL4BLE DOCUMENT I

r ~-)

- 13 -

Six ITe-bers of t1e faculty of the Departent of Political Science

at the Unhe ity of Im-ia are presently engaged in legislative research

To merbers ot the Departllent of History are engaged in research on the

British Parlia~ent L~ the eighteenth ~~d nineteenth centuries Fer the

past six years an adv~~ced se~inar has been offered by ~embers of the

Department of Political Science and the Department of Histo~J on

comparative legislative behavior This exte1sive collaboration iiill

ma~e it possible to develop a fully inter-disciplinary program for the

students ~~d visiting faculty In addition faculty ~emcers in

Scciology interested in organizatien theory and in the College of Law

interested in legislctive processes provide furtber e-pertise ava_ilable

to students interested in tee study of legislative behavior The

presence of these specialists on th~ facult~r is reflected in the

excensive librarJ al1d otler data resources existing at Iowa in this

field

The Uniersity of Ima offers an unusually extensive program of

trainL~g in research methods Four ~e~bers of t~e Department of Politi~al

~cie1ce teach in the field of research nethods Courses jn statistics

ca1 be taken ill the Dep~rtents 01 Sociology e-d Educational Psycholcgy

Llis prcgr6l provides a verJ solid grounding il research training and

data analysis

bEST AVAILABLE DOCUMENT

e ~

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Y labCrato~y for olitical Pesearch is the reseacc1 md research

tlairirg facility of the Departe1t of Political Sci-lce Gcadvate

students receivo extensive res~arch experience through 1or~ing in the

La oratory bull The Lacoratoy is also a1 integral part of the trainirg

o~feed in ccurs~ T~middotO~ for graduate students

The full-time sta~f of the laboratory includes a director an

assistant director a t-=cl1ical cirector a supervisor of study

t1hteen graduat~ students - rf1rk in te Laboratoy receivLLg teining i~1

~a~a collecticn ~~i data e~alysis Tbe facili te5 of the La)oratorltJ

icluoe a oard eJcerline printer ccnnected to the U1iversitys

dis~ and tape storF-ze for d~ta

The pogral of trailing ia coparative legislative reseC_cch ~ill

relr heavily en t LaOerltcLJ- for taching graduate stucents Visi tine

fc111tr lYe~bes iill be able to utilize tbe facilities cf the Laboratory

gt IOra ~as sFcial ccrpetence in prOCed~les for

ccq ter ogagtlizetion of d~ta Ja1ks ~d fOi the p~ocGssing of large data

sets as well as iJ the sttdy of naticnsl end st~te legisltllres Tile

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Ile Univelsity of 10Ira will eadnister- the Grant thJotg~ its normal

a)1 iristrative char-l1els ad i1 Eccordance imiddotlith its ncrTal olicies and

operatirg procedures 7he Director of the gr~l1t-s~~ported program

Hill be a senior faculty eriOer of the Gniyecsity of IO~-ia -with extensive

expe~ie~ce in the subject field Associate Directors w~tb similar

qtalifications -aill also be appointed 7he Director- and Associate

Directors ~dll serve as eibers of t~e Inter-University Advisory CC1gtr)ttee

established to cooidinate _u bullbull ID gra1t-stpported programs at IOia Dul(e

lniversity a1d the University of Ha- aii Ll1 this field These relatiol-

ships are i~dicated in tee follc~dng a~inistrative organization chart

IX Ul~vsity Ccntri1uticn

T1~ ~h-ersity of IQ(a aSSures ALD that this Grant middotiill not

replace existing ftnds for STr current activity and imiddotrill be additive

to existing prograrrs of tCe lJniversity In direct sp~ort of this

Grat ttc University ~ill provide a) Acmi1istratile costs including

tie of senior officers of ttlt University b) Office ~ld research space

ald library and cor-puttr facilities c) Provision of a1cillamiddotCjr 1niversity

personnel -or consultation o~ ~middotjQrk nth the progral

X Reports end 5evie~-Ts

There i-ill be sub~itt-=i al arnual t2ctnical report for the purpose

of AID s revie- of activities under te Gant Tnis idLl include

a11 e-llation of prcsr~ss aidnistratve ar_c fiar~cial corsicer~tior~s

p~s cr tr foJlJ-middotire ear ~i disctlssics of the ossible l~lizaticn

BEST AVAJLIl8E OOCI1MrNT

~

- 16 -

A~~inistrative O~ganization

Ice Board of Regents of tle State of Im-la

-Iesicent of the University I

1 rOfcst Jf t-3 University

Den College of Liberal Arts

r Chailan DcptiEt of olitical ScieJce

Inter-G~iversity

Acisorr Corcittee

PcgrG21 Director Associate Progra~ Directors

Liaison Arcrge~~nts d ~h I I~~erested Plcfessiona1 I Perso~el j

I _

I 5cu1ti (full or PmiddotLG-tire l Asscci~tes a1d otllei non-Io~il

3ecip5ents of Gr3-1t stPPC1t Gr~cue~~e S t1~lcnts St2~retQi~S1 Data Lbed~1 31

Ln 18 r1icia 1

LO1t c~lce Factcj~1 ts

BEST AVAILABLE DOCUMENT ( ( V-t

- 17 -

of te eo17i~g cCpterce br A I D rLld ethers In addi tion there

aS3essr~ents of the gr31t

middot l ~ lI ~ _ _ _ co~~~r~~ing ~~iversiti~s md tne rrctitoring ALD office

7re l~yersity of Ie~middot~ budget of $26500 is to be deveted to the

cemiddotelgt~e~ of lstituticnal cefete1Ce in comparotive legisl~tiye studies

~t Iomiddota c t~ the exalsi0 ot a date b~L-lt ~ hich 1fill be utilized as

a ecle for icrec3ing te scope of tbe sub-specialty

T - 1 f 1 __ middotja r S Ctdget a9roxir~tly 33- has bee allocated to a

cemiddote Lp~l t rirc ipally C actlty re leased tirre for data ccllection

ai 0 3alres f~r i~~er-ieers in field research 3d secretarial

assi5ta1ce nCt2 11- of t~e Icmiddotre oudge~ is iesignated for an

ArCE_1 A~ite s(101a~middot 2d one 0 ore scnolals froQ LDe or

s1lllrt of greluate stucents in the

BEST AVAfLIlBLE DOCUMENT

- 18 -

Finally approximately 19 of the budget will be devoted to the

proposed data bruL~ that will archive not only data generated from the

research of scholars at Iowa Duke and Hawaii but also at other US

and foreign institutions Primary and 3econdary an~ses of these

data will become an integral part of ~omparative legislative studies

curricula The ability to utilize the data bank for teaching purposes

also should have a significant impact on professional preparation ofmiddot

future legislative specialists In summary the funds will be

allocated to research teaching and training activities tha~ are

entirely conson~~t with the philosophy underlying the utilization of

2ll(d) grants to achieve institutional development

Conclusion

The University of Iowa regards the research and teacbing components

of this program to be closely related an1 zrutually reinforcing The

University of Iowa offers a strong base for the pro~ram because of the

interests of faculty members here now because of their contacts with

scholars in this field in other Americ~~ and foreign universities

because of their experience with the international exchange of faculty

and because of the distinctive data gathering and processing facilities

available in our Laborator~- for Political Research The program which

we have formulated is designed not only to accomplish specific

research and teaching objectives but to contribute to the long-term

development of the University of Iowa in an area in which it has already

exhibited special interest

BEST AVAILABLE DOCUMENT

~ I) - 0

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The program on Comparative Legislative Studies with support from

this Grant rill develop the capacity at the University of Iowa to

provide assistance under separate financing arrangements to developing

countries in a number of ways and through a varieiy of channels This

assistance which would be arranged for end negotiated separate~ from

this Grant may be in the form of technical assistance advisory service

training research and information exchange etc It will be available

by mutual agreement to appropriate agencies national and international

public private a~d mixed and directly to the less developed countries

Most especially this added special competence will inevitably become

incorporated through the processes of scholarship and education into

the competence of US and foreign scholars and institutions concerned

with this topic of great significance to the developing and the more

highly developed countries alike

BUDGET SUMMARY

UNIVERSITY OF IOWA

Salaries

Graduate Student Stipends

Fringe Benefits

Travel

Equipment and Services

Other

TOTAL

$173090

32400

19209

13800

6501

20000

$265000

BEST AVAILABLE DOCUMENT

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BEST AVAILABLE DOCUMENT

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Dr Willa~d l Boyd Presicient University of Ima iowa City Iowa 52242

Dear Dr Boyd

4 AUG 1977

amp

FIJNDS AVAnASLe CpoundNrftAamp sEIMCEs DMsON

AUG11 ~n te t6417 ~77

Subject bull Supplsectferit-tJF-G~middotNomiddot~middot AIOcsd-3294

t middot-rrPJ1 3

I am pleased to inform you that pursuant to th~ auth~rity contained in

S-cction 211 (d) ooC the Foreign Assistance Act of 1961 as amended a sup

plemental grant in the amount of $200000 is h~reby r~de to University

of rCi1a These supplement]l grant funds areprolided to support the

activities which are described in your Proposal dated May 6 1977 for

the implementation of your program entitled Political Conditions for i

Effective Small-Scale Rural Assistant Projects

---This sup~lemental grant is mace to University of Iowa en condition that

yo~r institution shall administer the funas provided under this Grant fn

accordance lith your r~ay 6 197 proposal (including Budget SUmlilary) and

the Standard Provisions (as incorporated by Amendment No 1) which have

been agreed to by your instit1ltion Ti) the extent of an inconsistency

between the Proposal and the Standard Provisions and any otherprovisfons

which ar~ made a part of thi5 Giant by reference or other~iSe the Sta~d~

ard Provisions shall control

The new Duration Period for this Grant shall beAugust 11 1971 through

August 10 1979

The total amount of funds obligated under the grant is increased to reflect

a new total oblgated amount of $465000

Please sign the Statement of Assurance or Compliance ana the origfnal -

and seven (7) copies of this letter to acknowledge your understanding of

the conditions under which these funds have been granted Please return

the Statement of Assurance of Compliance and the original and six (6)

copies of this supplemental Grant to the Office of Contract Management

Attachment May 6 1977 Proposal and Budget SUfiT1a ry

UNIVERSITY OF IOWA

Roberw bull OBrien fficer

Ce al Operations Division Office of Contract Management

AC~E~E~C--_ 0 BYpoundk~~ cH

D C ~lpoundSTtR5BA T ITL E ( PfeampoidPilt for

tee ment amp Research DATE 9-22 -77 (d~ ~~Bduate Ctl~1e~e

BES i AvAILdLt UOCLJMU~ I

211(d) Grant Program

Proposal of the University of Iowa

POLITICAL CONDITIO~S FOR EFFECTIVE SMALL-SCALE

RURAL ASSISTA~CE PROJECTS

Submitt~Ci to

Civic Participation Division AID

May 6 1977

Amount requeste~ $ 199987

BEST AVAILABLE DOCUMENT

I TdE DEVEIOP~T PROBr~

P~litical Conditions for Rural Development

The Cocparative Legislative R~search Center of the University of

Iowa proposes to ~~dartake a two-year study to investigate the role of local

leaders and the rural public in theimplecentation of small-scale develop~ent

1 projects in less developed countries The study will use and extend the

capacity ~hich the University of Iowa developed under a 211(d) grant to

investigate and assess the impact of loeal politics on rural development

~t the co~pletion of the s~ Iowa will be in aposition to advise the

Agency on the design ~nd evaluation of s~ll-scale projects which will be

politically viabe a~d effective in ass~sting the rural poor ~

As students of development w~ approach our task with the assumption

that the proble~ of development and underdevelopment are funda~entally

ones of political econooy and a~ such can only be solved through a

simultaneous considerationof economic and political factors Efforts

which foc~s aloost solely on economic factors like those of ma~y

organizations engzed in dipersing foreign aid or efforts which focus

almost exclasively on political factors fail to take account of the

interdependence between these two dimensions of underdevelopment and

lwe have for~ulated this proposal in a canner consistent witr the cu~rent policies ard interests of the Agency We have been guided in our tsk by four Age~cy doc~e~ts Impleo~~tation of New Directions in Developnent Assista~c~~~ ~eport to the COmlittee on International Relations on Ilupleoenshytatiun of Legislative Refo~ in the Foreign Assistance Act of 1973 (July 1975) rItevis~d Projec Developiel Review and Approval Systeo (A I DL Circular A-21 Aril 23 1975) SH Butterfield Draft SUIilZ3ry StateUlent of a Practical Agelcy Approach c aural Devalopilelt (AATA February 28 1975) Cicci A Coce~ual Oie=viamiddot middot Rural Development No1 (lWorilting GOU O~ tha Rural Poor February 1975)

- l -

can meec with only l~ted success

Our concern with the i=pact of local politics on the process of

rural developcent is a result of our interest in the basic question of

how LDC governm~nts and the donor agencies which assist them can

become core effective in raising the standard of living of the rural

poor We seek answers to the following aspects of that basic question

1) What political conditions must exist both within rural communities

and between theo and central gove~ents to raise agricultural production

w~ere small-scale agriculture is the do~nant pattern 2) Vnat are the

political conditions for a core rapid expansion of the informal manufacturing

and service sector cocprised of labor intensive small-scale industries

located in the rural ar s 3) What political structures and activities

are mase crucial for the provision of welfare and econocic supporc services--

such as agricultural exeension mar~eting and transportation--to the rural

areas1 4) ~~at Folitical conditions oust exist to insure that economic

growth in the rural areas is not accowpanied by excessive and intolerable

inequalities between socio-economic classes andor between regions1

Center-Periphery Linkage in LDCs

To deter~ne the political conditions for rural development we have

in previo~s s~udies exacined the institutions and processes through which

rural populaticns are integrated i1to the national politi-cal systetlS of

middot~he countries in which they live A gap exis~s in most less developed

countries bet~een the peasantry residing on the periphery and the c~~tral

political ~stiutions staffe1 by ~~estern-educated bureaucratic elite

We are aware of the other major ~sti~utional discontinuities which comprise

J

4 middot~~1 the basic cleavage between the developed and underdewmiddoteloped sectors of

these dual societies Bridging these gaps is essential if these so~ieties ~ are to develop into viable nation states For until those Q~ the periphery

of the poli~ical syste~ participate in that system and support and comply

with the authority of central political institutions neither economic

development in ~he rural areas nor a stable polity will emerge

Bridging the discontinuities in these new political systems requires

establishing and institutionalizin3middot1inkages or networks for co~unication

and exchange of resources between decision-makers at the center and the

rural public on the periphery Three types of institutional linkages are

most prominent in less developed countries 1) those conSisting of the

state administration composed of the bureaucratice1ite 2) those consisting

of a revolutioncry political party cocposed of the ideological elite

3) and those conSisting of patron-client hierarchies composed of the political

entrepreneurial elite

Of these three linkages consisting of the state administration are

the cst extensive and pervasive in virtua~ly every LOC Such linkages

however exist primarily a~ instruwents of the center to penetrate the

periphery Central government officials are formally charged with bringing

develo~ent to the people This is a ~issi~n which conceives development

as a process ~hrough which a traditional peasantry is transformed and

assimilated iJro the DOdern center which is steadily expanding to embrace

it Agents of the center invariably have more resources to achieve their

objectives than do local political leaders but because they are frequently

strangers~ the communities in which they function they are often unable

- It -

co implement the policies of the center without working through the

local establis~ent

Though somctices significant linkages consist~g of revolutionary

party organizati~ns such as those found in China and Vietnam do not exist -

in most IDCs beca1Se of the special historical and e~omic conditions

required for their development As wi~h the administrative state however

the linkaampe apparatus of such political patties is prUlarily an instrument

of the center whose mission is to penetrate and mobilize those onthe

periphery

In contrast patron-client hierarchies are linkages which represent

the periphery at the center and mediate betwee~ these two disparate

sectors of the political systec Thcugh norcallymiddotovershadowed in scale

by the state administration patron-client hierarchies are found in almost

~very LDC a~d constitute the ~st significant network through which rural i

populations and their leaders influence the decision-~king process at

the center Patron-client hierarchies exist in a wide variety of org~iza-

tional fores ranging from info~ ~ec~~rks of individual olitical leaders

in uno-partyll systelS in S~b-SaharaI4 Africa to extensive political machines

in both one-p~rty (Africa Mexico) and ~u1ti-party systems (Turkey India)

Despite their importance as the pricary means through which peasants in

LDCs particiate in their political systems patron-client hi~rarchies

have only recently become an object of analysis by students of political

developent and do not appear in even the most sophisticated studies of

2 See Jo~ Dunca owell Peasant Socie~y and Clientelist Politics Aerican Politi~ Scielce Revietol 64 (June 1970) pp 411-25 Rene Lemarchand anc_ Keith Legg olitical ClienteliSJ and Ethnicity in Tropical Africa Aierican Political Sc~ecce ReView 66 (Y~rch 1972) pp 68-90 James C Scott PatronshyClient Politics a~d Political Change II 1tlerican Political Science Revie~ 66 (~arch 1972) p 91-113 and Friends Followers and Factiols bull edited by Steffan Sc~~d and James C Scott (Berkeley UniverSity of California Press 1977) bull

- 5 -

3 economic development Ad~niscrators of developmental assistance progracs

have too often regarded patron-clienc hierarchies as ~ped~ents to

develop~ent instead of recognizing cheir potential utility bull

~ Findings on Patron-Client Hierar~hies --

The importance of pat~on-clienc hierarchies for linking the periphery

to the center is one of the major findings ~erging from a study of the

relationships betueen l~gislators an~ their constituents in Kenya Korea

and Turkey ~hich the Cowparative Legislative Research Centpr is nov

comleting uader its 21l(d) grant from AID This study has av~mined the

creation of linkages between the periphery and the center through ~ore

than lO~OOO interviews with members of parl~ent local leaders and

peasants in t~e three countries The findings are being systewatically

set out in a book-length monograph Nearly a dozen research reports have -

uready appeared (see Appendix C) ipropositions about the nature of

political behavior of rural populations an~ the roles of local political

elites de=ived from the research~ can be s~rized as follows

1 Elected representa~ives play a significant role in the creation and mainte~ance of linkages be~een the center and periphery by developing local political achines in which they function as patrons of their constituents In turn thay s~rve as clients of political leaders of national stature who control central government institutions

2 By atte~pting to establish linkages based on patron-client relatio~shi~s elect~d representatives are responding to public expectations chat their prizary duy is to obtain resources from the center to proffiote local develop~ent ~iany elected repLesentatives spend most of their time on self-help co==unity development projects such 3S the building of schools health clinics irrigation works arid roads because such projects provide

3For exa~le ~ a widely respec~ed a~d useful analysis of rural deve16p~ent in Sub-Sahara~ Africa L~ Lele of the World Bank notes the problems of creating an adoini5~raive infrastructure in the rural areas that is sensitive to local socio-oliical conditions She does not however consider how local leaders operating o~tside of adcinistrative structures ~ night contribute to the developne~t 0 the rural areas See ~~ Lele ~ Design ~ Rural Develop~ent Lessons ~ Africa (Balt~re The Johns HopkiD~ Uciversity Press 1975) r) pp 127-61 i ~

- 6 -

their const~tuents with desired se~ices ~~d a= the sa~e time provide the reresentatives with an orgacization Yhicn can be used as a political base

3 l-tore than 90 perCel1t of the rural population is capable of articulating the p~oblems facing their local co~~ity and two-thirds discuss th~e proble~ w~th their fellow citizens on a regular basis

4 Three-q~rters of the residents of the rural areas can identify the public ofpoundici~s who serve thec--both civil servants and elected represcrtatives--by na~e Most are knowledgeable about the activities of these officials Alcost one-fifth coreover have discussed co~~~ity probl~ ~ith these officials particularly those working at the grassshyroots level Residents of rural villages actually have a higher level of political knowledge than their counterparts in the towns

5 Elections in the rural areas evoke a highly rational attern of voti~g despite the effects of ascriptive or traditional co~siderations Inc~ens are pri~rily evaluated in terms of their record in fulfilling the public r S elpectations of what they should do Elections are essentially referenda on inc~entsr perfo~ce especially their perforwance in the area of constituency servi~es such as bringing development projects to the districts bull

6 Local developcent projects have a relatively high s~olic value generating conscitutency support for local leaders and the central government at low cost

7 These projects help huild a local political infra-structure which can also be utilizec by central govern~nt civil servants to implement other policies designed to achieve rural develop~ent bull

The Icpac~ of Local Politics on Rural Projects

Having explored the developtent of linkages through which the periphery

is represented at che ~enter and through which the periphe~ attemp~s to

share in the ceners resources we now propose to build upon our initial

investigations by e~ing in greater detail the impact of local political

conditions on specific problecs of rural develop~ent We propose to

exacine the develop~ental activities of local leaders ~nd the rural public

by eX2~Ding a saple ot fifteen to twenty smalL~scale developwent projects

in each of ~he three countries which constituted the sites for our initial

8ESI AVAILABLE DOCUMENT 1 ~ - of

- 7 -

study of center-perhiphary relations The appropriateaess of this approach

and the ~ethodology through which it will be ip~emented is discussed in

section II Because the ~ethodology of investigation is in large part

the result of our previous research experience we fizst turn to a revieW

of the existinQ __ ~petence of the Comparative Legislative Research Center

in this area

II GRAXTEES EXISTIXG CmET~CE

In 1971 the University of Iowa received a 211(d) grant to develop

its capacity to do research on the role of elected represent~tives in

the process of modernization On the b~sis of this grant the University

established a research center which planned and carried out a research

project on the role of elected reres~~tatives as links between the central

gove~ent and rural populations in K~ya Korea and Turkey The project -i

served to develop t~e University of Iowas research capability in this

field esa~lished ties between the University and scholars in the bost

countries and generated a large and uniqu~ body of relevant data

In that project we fo~ussed our attention on tbe activities of elected

representatives in their constituencies notably in their contacts with

local political leaders voters and civil servants To determine tbe

nature of the linkage function performed by tbe representatives we

designed our research to explore the subject from three perspectives

1) we eXaojned ~~a ~ubject at tbe grass roots by conducting a series of

sample surveys of 200 to 300 adults in each of 12 to 14 parliamentary

constituencies in each cf th~6three countries 2) we examined the subject

at the center by intervie -ing MIls from the constituencies in which we

had conducted S3mple surveys ~nd higher civil servants with whom they

had contact and 3) ~e ex~~ined the subject from an inter-~diate level

by identifying aud ~terviewing local social and political leaders in

the MPs constituencies We used survey research methods because we

were embarking on the study of an entir~ly new subject for which little

relevant docu=e~tary data existed and on which there were few secondary

sources As a result ~e have unparalleled experience with survey

research in the rural areas of less develo~ed countries

The surveys which constituted the cajor part of our field work were

planned in collaboration ~~th scholars from the host countries They were

carried out in each constituency by student interviewers in the appropriate

language ~re than 10000 respo~dents were inteDViewed for the project

Given the visibility and sensitivity of this undertaking approval for

the research was sought and obtained from the host governments prior to -i

the collec~ion of data ~o objections were raised by these governments

at any stage of the research The data obtained have been made available

to scholars i~ the host co~cries and some of the basic findings have

been published in periodicdis in these countries

The Comarative Legislative Research Center ~hich ad~nistered the

project has aisO developed extensive experience in the study of political

leadership in other countries It h3s obta~ed substantial support from

the Fo~d Foundacion and the Rockeeller Foundation has worked in

collaboration ~~h European as ~ell as Asian and African scholars and

is engaged in a ajor study of the role of elected and non-elected leaders

in the oanag~~t o~~ocial conflict Because it has conGucted research

in a variey of setlngs the Center has an ~ceptional capacity to

- 9 -

determine how the relationships be~een political institutions and

economic p=oble75 differ in develoPed and less developed countries

In the course of the major research projects the Center has administered

it has gained highly specializpd ~p-i ce iI identifying 1Olitical leaders

in a great variety of settings conducting systematic interviews with

them collaborating with scholars in the host countries and in coding

and utilizing large files of data to answer specific research questions

The Center has ~lso undertaken to publish the results of its research

in three fores It issues codebooks to the data enabling scholrrs at

other locations to use the data expeditiously i~ publishes research reports - in the form of Occasional Papers and it publishes a scholarly periodical

devoted to the presentation of research findi~gs to an inteIT~tional

audience

The Center utilizes the data ~ysis facilities of the Laboratory

for Political Research of the University of Iowa and drawS on the unusual

n~er of secialists in comparamptive politics and survey research in

~~e Lniversitys Departmen of Political S~ience The Center itself I

has the services of an administrative secretary and a clerk-typist

~intains its~o~cn extensive archives and its o~~ publications program

It is e~uipped to assist scholars and government officials outside the

t~iversity of Io~a The participants in its p~ojects are full-tioe

faculty ~e=bers ~hose undergraduate and graduate teaching is closely

related to their research As part of the teaching program the Center

has attracted students from the countries in which the research projects

have been conducted these students have participated in the projects

bull J

have obtained training in other fields of political science have received

University of Iowa degrees~ and have ret~rned to teach and to do research

in their own countries

III PURPOSE OBJECTIVES AID METHODS

Purpose of Study

The purpose of the proposed grant is to extend the capacity of the

University of Iowa to determine the political conditions in the rural

areas of less developed countries which favor the establis~ent and growth

of small-scale developoent projects ~e objective is to put the University

of Iowa in a position to assist the Agency in designing small-scale rural

developent projects providing guidelines for carrying out social soundness

analyses of such projects and adviSing in the evaluation of projects

We will discuss the utilization of~t~e Universitys capacity in detail in

section IV below

We propose to concentrate our investigations on the political conditions

surrounding s~l-scale ru~al projects Such projects have distinctive

advantages They waximize the political participation of the rural populations

both in det~~-ining the direction ~d implementation of develop~ent efforts

and in defending the interests of periphery vis-~-vis the urban-based

bureaucratic elite S~ll-scale projects stimulate entrereneurial activity

on the part of the rural citizens and growth of the info~l canufacturing

and service sector Tbey require less lead tice and less administrative

c~erhead to ~eco~e operational than large-scale capital-intensive projects

centrally administered Such projects yield rapid and direct benefits to

1

j

the rural

- 11 b - ~~1

populations and are consistentwith their hUIlaD rights--both

political and economic However~ small-s~le projects pose s~ecial probl~s for administratcrs of developceocll assistance progracs because

they require the donor co assess the local olitics particularl the

rural politics of t~e host country

Develop~c adoinistrators pr~rily conc~rned with assisting rural

populations must therefore recognize the range of political variables

affectL~g these projects Small-scale projects offer great opportuoities

for develop~ental assistance progr~ because they can be easily targeted

to help rural populacions require low capital costs and need no be

concentrated in one or two localities Such projects ho~ever~ ~equire

the a~istrator to have ~re political kno~lecge than large-scale

projects Oil which his priJlary tas~ is guiding the work of other experts

Questions for ~Investigation

To detercine the politi~al cc~diicilS ~st conducive to ~he establ~~ent

and gro~h of scalI-scale rural projects ~e propose to address our inquiry

to the following specific questions

1 To what extent and why co local political leaders seek to establish s~~l-scale develop~ent projects within their co~unities

2 To what extent and ~~y do local leaders other than politicians initiate andor provide leadership for s=all-scale developm~t projects

3 Bot do the relations bet~Jeel different types of local leaders (political and non-political) and bet~eeo these leaders and central gove~ent civil servants posted to the rural areas affect the conduct of develop=ent projects

4 How do existing authority ~eLationships between these different leadership grous and the rural pub~ic affect the organization and operation of s~l-scale develop~ent projects

- 12 -

~

5 lhlt is the nature 0 pclgtlic participation in the establishlent and operatio~ of s~l-sclle projects and ~hat are the outcc=es or this participatioe Gucer w~at conditions is such participation ~ost likely to occur

We seek a~swe=s to t~cse questio s L order to determine the effect of

different co~iigurations of local leadership and public participation on the

outcomes or small-scale rural projects te are particular1y concerned with

the ~pact of these configurations on the rate of econocic growth and the

distribution o~ rIGSlth ithin the loal cOlllUlity ~ on the perce~tions of

s~ll-scale proj~cts by central govern~ent per~oncel and the rural public

anmiddot on the organiation or flture projects

To a~swer these que~tions it is oar intention to study the initia~ioD

izJple=enation ald i1lpact of a salple cpound small-scale rural projects in

Kanya Korea and Turley in the sae cOllities in which we carried OU

our initial icvestigations ~ 1973-75 Tne relationships between the -

various conf~gurations of local leadership and public participation and

the three phases of project develop~ant are sho~ in Figure 1 We will

exa=ine projects to pro~ote the adoption of new agricultural techniques

by s~l and moderate landnolders the building of feeder roads irrigation

ditches and other s~ple infrastructure the organization of fa~ers

cooperatives and other local associations concerned with rural development

the establish=ent of rural health clinicS and schools and the setting up

of craft and service industries

Sites for Study

We plan to return to our original set of localities because we possess

a rich body of relevant data on the extent to which linkages exist between

Figure 1

TYPES OF LFLUEXCE OF C2r~ middotGOVER1iEXT OFFCIALS

LoCu LEADERS 0 THE RURAL PUBLI-C OX THRr~

PHASES OF RURAL igtEVELOPHET PROJECTS

r----------~J C~ltral Gover1~nt Official)-N------- - J

r- Local pOlitical leaders

Local non-political leaders

~l 1---- -

ROJECT nITL~TIOS

Influ~ce on selection of projects

InrI ~elce on location of projects

Influence on policy guidelines for proj eCl

Il

I

a

I I

-I PROJECT I~L~~iATIO~ ~ 1

j Project Organizati I Selection of project

leadership

Hobilization of resources

Mobilizatiol of public compliance with project require=elts

Diffusion of project innovation

Rural Public

I

BEST AVAILABLE nOCUMENT

1 ROJECT IMPACT

Organization of ongoi=g project operation

Distribution of project benefits

Evaluation of project

Public attitudes toward project

-middot14 -

these areas and t~c central p~litical institutions of the three co~tries

and on the attit~es of the rural populacioc local leaders and elected

legislators regardi~g their problecs of develop~~c Since such data

is unavailable for alternative locales a return to the areas in which

we have previously done much research ~ables us to build on a uniquely

valuable body of icformation

A return to Kenya Korea and Turkey is also highly desirable from

the standpoint of effective research organization The Comparative

Legislative Research ~enter has developed close collaborative relationships

with several highly competent social scientists in these countries and

with the academic institutions with which these scholars are associated

We have also dev~_oped cooperative relatio~ships wi~ gove~ent officials

in these countries which should facilicate obtaining approval for our

further work

In proposing to doc~ent the origin i~pl~entation and impact of

one to three s~ll-scale develop=ent projects in each of 35 localities

we have two considerations in mind Firstmiddot because our pr~ry goal is

to deter~e the political conditions for rural developm~Lt we wish to

examine develQ~=ent in as many different settings as feasible Only in

this way can we control for so=e of the major socio-cultural variations

that erist along rural populations in less developed coultries These

include the overall level of econo~c development in the co~unity the

nature of t~e ~digenous culture an~ relationships of authority and the

pro~ty of the comounity to major urban areas and centers of central

gove~nt ad=inistration ~ce our original study sites were carefully

BEST AVAILABLE DOCUMENf

- 15 - ~ ~1

selected to represent these variations ye have concluded that these

35 localities woule be ideal sites for the propose~project Second~ in order to dete~~~ the ~pact of local leaders and public

participation o~ ~ural projects we intend to compare projects 1n which

local leaders and ~ecbers of the public have played a major ~ole with

projects in which they have not We also ~l cospare projects initiated

by the central gover~ent with projects Yhich have been locally initiated

These considerations give us a typology for selecting projects as depicted

in Figure 2

Figure 2 ~

FIVE TYPES OF RU~AL PROJCTS ACCORDIXG TO ~FLUEXCE OF CEITiW

GOVE~1E~T LOCAL LEADE~ AD RLRAL POULATIO~

Level of Participation by Rural Population

Locus of Project Initiation ~

Local Co=unity Central Governoent

BIGd

LOt

1 Projects initiated by local leaders and providing for participation of the rural ~opulation

4 Proje~ts Litiated by local leaders bu~ not involving participation of the rural population

2 Projects initiated by the Central Govern~ent and administered i~ cooperation with local leaders a~d the rural population

3 Projects initiated by the Central Govemlent and providing =or the participation of the rural population but by-passing local leaders

5 Projects initiated by the Central Gover~e~t a~d administered in cooeration Yith local leaders but not involvi~g parti~ipation of rural population

- 16 -

We recognize that the socio-cultural setting of rural develoment

projects varies significantly within and across less developed countries bull

By focussing o~ a representative sa=ple of localities ~ Ke~ya~ Korea

and Turkey we can take account of naoy~ though not all of these variations

While some of our substantive findings will not be directly generalizable

beyond the countries in which we propose to conduct our study we expect

that our basic ~ethods and fLdLgs will be applicable to national and

sub-national settings elsewhere in the developing world This is partly

d~e to the fact that the hierarchy of patron-client relations ~hich we

regard as a critical factor in rural develo~~t exists in ~ost Liles

--It is also due to the fact that the methodology for identifying local

bull leadership configurations auG poundor studying local politics which we are

perfe~ting can be used to assess local political co~ditions in a large

variety of countries even when the ~nditions themselves differ significantly

Methods of Investigation

The data needed to assess the iDpact of local leaders and mass

participaticn on rural dev~lop~nt fall into two categories Some a~e

contained among the data gathered for the research project we are currently

completing Others will require additional field research

The following data are already in hand

1 Data on the social landscape of each loc~l co~nity i~cluding aggregate data o~ level of econonic development de~graphic characteristics political pa=ticiation eth~ic loyalities and rates of socio-econocic change dur~g the past decade bull

2 Identity of local leaders including both political and I-on-political leaders and both legislators and other politicians

3 Perceptions of existiag probl~ and their possible solution a~ng

l)tS r AVAilABLE DOCUMENT

- 17 -

general public local leaders and civil serv~nts

4 Level of political kno~ledge among local citizens and local political leacers

5 Political and social values a~ong local ci~izecs and local political leaders

6 E~~ectacions of leadership roles among the local public and elected and non-elected leaders

7 Patterns of co~unication ~ong local leaders and between local leaders and the central gove~e~t

These data ~hich ~e already have in hand can be subjected to analyses

which ~~ll provida the foundation for our further work on rural develop~ent

projects A part of our work therefore will consist of fu~ther analyses

of existing data

New data of the following kinds are also required

1 Doc~entary data on the origin and evolution of particular smallshyscale develop~cnt projects in the rural areas

-2 Data on project costs boih ~itial invest=ent and recurring

operating costs and data on project ou~puts ie pupils in schools Ddles of road coopleted nl~ber of hospital a~ssions production of factory agricultural productivity

3 Data on project organizatio~ n~~r of local inha~itants participating in establis~~ent of projectt nuober of local L~habitants subsequently involved in project

4 Data-on the pe-cetion of projects by local leaders emers of the local public a~d by civil servants data on the perception of how each project ~as initiatec organized who benefitted and what its future implicatio~s are

These types of data will requ~re field work involv~~g both docucentary research

at the relevant ~istries of the central government and in local goverr~nt

authoritieS and inforoal open-ended interviews with local political leaders

elected representatives and other local leaders who~ we had previously ~

interviewed in a s=uctured syste=atic =aoner

BEST AVAILABLE DOCUMENT

- 18 -

Grant Organizatio~ and T~etable

We propose co undertake the research outlLled above beginning in the

fall se=ester 1977 Dur~g that te~ Professors Barkan and Kim as

principal investio~tors for the neo1 proj ect will contact their collaborators

in the host co~~tries They ~~ll also seek the collaboration of an additional

~rican scholar specializing in rural development with the aic of getting

additional advice on sources of data and suitable indicators for the

~easure=~~t of rural develop~ent projects

At the end of the fall seQester Professors Barkan and Kim will make

a trip to their research sites to disc~s details of the research organization

with their collaborators in the host countries and to recruit student

assistants Tney will devote the spring te~ 1978 to further analysis

of a~sting data at the University of Iowa

The gathering of additional dita L~ the field will begin in the s~er

of 1978 Professors Barkan and Kio will direct this work personally We

eAect that its coopletion ~~ll require three to six months This work ~1

involve the evaluation of central and local gove~ent reports on the

projects uncer investigation extensive on-site observations of the projects

and oen-e~ded interviews with the principal participants Our principal

respondents ~i1l be the local leaders and elected representatives we

have previously identified in the localities in which we have worked and

a sacple of active participants in the particular dpvelopment projects

being studied ~~ere necessary and apropriate surveys of the general

public will be uncertaken to assess the inpact of a given project on the

rural por)r We do not however leed 0 conduct systeAlatic sample surveys

BEST AVAILABLE DOCUMENT

- lY -

of the rur~l population as We did in 1974

In the organization of this research project we intend to reconstruct

the rese~rch tea=s ~e e=ployed during 1973-75 We shall again seek the

co11abo=~tion of P~ofessor Sc~~S-7o~g Pai of Seoul National University ~

Professor IIiCr Turan of the University of Istanbul and Professor John J

Ok~u of the U~iversity of ~arto~ S~ilarly w~ contemplate directing

the field research fro~ he same acade~ic research organizations we previously

used Seoul National U~ive~sity th~ ~~iversity of Istanbul and the

Insti~ute for Develop~eut S~udies University of Nairobi As before we

will tra~ students f~oo these institutions to serve as interviewers

The analysis of the open-ended intervie~s and of docUQentatio~ on

I ~ural develop=e~t projects will be a ~ore t~e-co~s~g process than the

analysis of closed intervie~s It will reqrire a high cotnittl~t of time

fron the principal investigators )e e--pec to hold a conference at the i

U~iversi~y of Iowa 3lO1g all the principal )clticipa~ts in the resea~ch

project d~=~g t~e spr~g 1979 to evalua~~ the newly collected data

le e~ pect to be able to vr-ite reports of t~ results during the Sl1~er 1979

(see Figre 3)

IV LlX-GS ~1) U~ILIZATIO~

At the e~d of the grant period the Uti ersity of Iowa will be able to

1) advise the Agalcy 01 the design of s~l-scale rural projects to assist

the rural poor 2) provide guidelines for social soundness analysiS of

small-scale projects for the rural areas of U)Cs 3) consult w~th the

Ag~tcy 01 the evaluatiol of rural projects ~d 4) provide LDe governments

BEST AVAILABLE DOCUMENT

)ATES

~lll

1977

~inter 1977

iprilg 1978

il mer 1978

~all

1978

ipr~ng

1979

Imiddoter 1979

University vf Iowa

Plutlning of rural develo~rent project

Barkan Kil

Alalysis of existing data

Barkan Kia

Data processing

3arkan Kin

1

I

- 4 -

Figura 3

GRAT TLfETABLE

SIT E S

Kenya Korea Turkey

Preparation of field research ural developH~lt project cOlisulta~io~ a research sites

BarkanOku=u Ki~Pai Tura~rkanKi~

Preparation of field resea-ch

Tural

Field research on rural cevelop~~t projects Bar~lOk~u Ki=Pai Turan

Co=pletion of Co=pletion of field resear~~I~ fiald researcr

Ok~u i Pai bull

f Coopletion of field research

Turan

Data analysis conference a~ong all princial i~vestigators at Un~versity of Iowa Barkan Kil Oku=u Pai Turan

Co=letiol of r~ral develop~ent

project

3arkan Kiz

BEST AVAILABLE DOCUMENT

I

- LL -

~ith speciali~cs o~ ru~al developcect ~mong their own citizens ~ho ha_

partcipatcd ~s collaborators in the Iowa projects

In the proposed project we Will test a series of hypotheses cOlcerning

the political cOllditions of rural develo=ent which run counter to CODOn

assuoptions conccrnir3 t~~ influence of rural politics on project effectiveness

As a result ~e ~dll be able to assist the Agency in designing and evaluating

such projects froe the point of V~~W 0 their political viability The

hypotheses We will test sugges~ t~at the patron-clie~t relations existing

in the local politics of zost LDCs are not necessarily i~pedients to rural

develop~ent but are aspects or the political structure which cal be used to

facilitate s~ll-scale ru=~ projects which will raise the standards of

living of _ ~ rral pomlation - As ~ result or our stuey we expect to be

able to P~-O~t the local leadership confi5~rations ~4d the relationships

between local leaders ald rural poclations ~nich are oost conducive to I

successful develcp=en efforts We believe that we will be agtle to perfect

a cat~odology for identifying the political conditions for rural develop~ent

one ~hich is transferable pound~oo the countries we have specialized in to

other LDCs

We proo~ to develop specific guidelines to assist administrators

charged with selecting evaluating and =onito~ing rural develop~ent

projects to ~szess t~esc rojects in tares of their-social and political

viability he outco~e of such projects is dete~ned not only by the

efrectiv~nass ~~=h ~hich they use scarce econo~c resources but by the

~~er L~ w=ich they e~gage the suppprt of local leaders and rural

po~ulatiocs~ by thei= effect ou social a~d econo~c equality ~d by

D[~T AvAlLA8LE DOCUMENT

- 22 -

their consequences for hwan rights ~Je plan to establish criteria by

middot~hic~ the probable outco~es of projects in these social terms can be

anticipatec

The study ~e propo e will be undertltlken by faculty at the Cniversicy

of lowe in collaboration with faculty a other ~rican institutions and

institutions in the host countries We will build on the extensive contacts

between the Co~perative Legislative Research Center of the ~niversity of

Iowa end other instituions with ~aich ~e have worked One =ajor result

of our collaborative study will be the existence of a net~ork of compe~ent

scholars both in this country and overseas experi~lced in ~orking together~

shar~g a co~on teaching and training experience i~ close contact throu~~ the

effective publications progr~ developed by the Co~parative Legislative Research

Center T~e e~~ertise of this group of individuals will be ava~lable to

oteer scholars to the Agency and ~o L~C governments for specific policy

advice The eXertise developed as a consequence of this project will

extend beyond the ~tionals of the countries ~volved since the univ~sities

engaged in ~e project attrtct stude~ts fro outside heir own countries

For ey~=ple the teaching ~d research progra in the Depar~ent of Political

Science 0 theUniversity of Istanbul heavily affected by the participation

of its facul~y ~e=bers and graduate students in our projects attracts students

throughout the ~middot1iddle East for Whom the University of Istanbul is the iajor

institution ~pound ~igher education in the region rne Institute for Developmen~

Studies is si=ilarly a focal point for students and faculty in East and

Central Africa Seoul ~atiocal Unive=sity attracts students froo other

Asia~ co~tries~ In this way the capability developed among the participant$

BEST AVAIL~BLE DOrUMENT

- ) -

in our work is diffused widely To the exte~ that the abili~y to assess

rural develop~ent p~ojects in teres of their social soundness is increased

both in the United States and in ~o~~tries r~ceiving develop=en~ assistance

the cap3~ity of racipien~ countr~es to absorb aid is ~creased

We propose to draw up an inventory of personnel available in ~~e

Cnited States and in other co~~tries who are able to consult with developen~

a~nistrators on the design of rural development projects and on their

evaluation We ~~ll draw first of ai~ on individuals w~o have been

directly associated with our ~ork in the past or on ~he proposed project

and ex~~~d the list to include graduate students and gove~ent officials

with who~ these individuals have wor~d

tole Yill utilize tha existing publication program of the Center

dercribed above to disse~inate our findings The Center has specialized

oailing lists of interested individuals and institutions in all parts of -i

the world and its reports can trerefore reach the ~st relevant audience

jirec~ly ~d re~~arly

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CONTRACfjGRANTCOOPERATIVE AGREEMENT DATA SHEET

INSTRUCTIONS fjDW Complete 4 copies of the form Original SERCMSDSUP Statistical Section Copy Copy 2 SERCMSIiUP dministrative Copy opr 1 Contracting Officers COy COP) 4 SERCMSDSUP IUmin (Suspense) Copy

Missions Complde 2 copies oi the form Origin31 SERCMSDjSUF- Statistic31 Section Copy 3n~ Copy 2 Nill be ret31ned in the Missions

PART fA

ConU3lttorGranrce Name

University p~f~I~o~wa~ __ -r~ ____ ~~~~ __________ -~~ __ ~~~ ______________ ~~~~ Plorr Numt-er ApptopriJtion Number Allotment Number Project Number

930-0090-3Q13411 A5 72-111l0216 146-30-099-00-20-11 930-0090 Project Title

So~ia1 and Potitica1 Aspects of Development - Conference to Report Research Findings Amount of this Plorr I Projecl M3nagers Name and Offire Sytlbol

$10397 (increase) PDPRCP Jonatlan Silverstone Contr3ctors D-U-N-S Number

Ncgwatocs TYJlCd~3meJ j) Signature I l ~ jIf- bull G HtJ--ft u l IVmiddot

D~e

L - f - J ContractGrant Officqs typed Nailllt Signalure LJ d I -r-

plusmn t 3i-alflpta (( BLvle~ 1 I~ PARTm

ContractGranl Number

AID CSD-3294

Effeclive Date of Docum~nl Signalltre D3t~ of Documenl

Lf---C yen-~-gl tIost Courtry Institution (U iwrsity contract ONL Y)

Campus Coordinator (Uniwr ty i contract OiiL YJ

PART UL Descriplion of Cor-tractGrant P1use X ONL Y ONE item under each headiZg IF THEltrease CifYmC~e bolh ges I 30~~ O~ Nol to be completed for Amendmenl or Modlfic3lion AJigtns I III

J 710gt I I V ~ I

MOl - TYPE ACT A~ 0 G unsolicited Propsll (AIDIR 0 C Individual (Non-pe~nal senice)

~ O Cortra lGrantl ooperative Agreemenl 73101-SO(b)(6raquo 0 D Individual (ftrsonal Service)

tJl T3sk Order ( A)middot 0 H Procurement 10 be Perfocm~d by the Conmiddot 0 E UniversilyOther FAuC3lionailnSlitulions

D 2 Work Order (IQC) Ira~lor in Person (AIDPR 0 F Non-Profil Organizationlnslitutions (other

D 3 Delivety Order (Requirements) 73101middotSO(b)( Iraquo than Ed or PVO)

[j 4 Purchase Ordcr [J I Sole Source (AIOPR 7-3101-SO(b)(4)) 0 G Private Volunury Organization (PVO)

If I 2 or 3 1Lle an ~ compllle M 12 ON Y D J Imp3irmenl of Foreign Policy Objectiws 0 H International Agricultural Research Organj-

M04 - CONTRACTGRANT TYPE

o O MOA (BOA BMA etc)

o I Fixed Price (Specify fFP FPRD FPEPA FPI) _____ _

(gtIDPR 7-31 OJ SO(b)(7raquo

OK B(a)5eJection (FPR 1middot1713-1)

o L Grant iH1ndlOok 13)

o M Do Nol Ue

D 2 Cosl Reimburemenl (S~cil) CR CPFF 0 N Cooperative t~reement (Handbook 13)

CS CPAF CPIF) ~ 0 O Small Business SeImiddotAside (FPR 1middot1706-8)

o l Cooperative Agreemenl ~ 0 1 Overseas Procuring AClivilies (AIDPR

04 Grant Gener31 Supportmiddot 0U ~ 7lIOI-SC(b)(2))

o S Granl - Specific Support ~ ~06 E SER VICE

g ~ ~~t ~~(d) ~~ ~~ ~ eci~a~~~~~ogram Projeci

o amp IQCs ~ ~ relampted excepi A amp E Services)

o 9 Host Counlry ContraclGrnnt 5lJ C amp E Services

middotComplele ONLY through ~Sl ~~ 0 D Construction

M05 SELECTION PROCEDURES 0 E- Reseuch

o A Formally 3dverliscd (IFB) (A1DPR 7middot24 amp

FPR 1middot24) ~ o B Negoli3ted Price Compelilicn Gencr31

Procedure (RFP) (-JDPR 7456)

Dc A amp E (AIDPR 7410)

0 D Ed Inst andor Inl1 R~arch (-JDPR

74 5)

o E Collaboratoe Assisunce (IDPR 7458)

C F Predominant Capability (IOPR

73IOI-50(b)(l)

AID 1420-49 (179) - Page I

D F Technical Services to AID (other than trainmiddot

ing usually o~ating expense)

D G jraining SetVice for AID

o H Equipment Materi3J~ Supplies Commodities

D I Translation Service

~07middot TYPE CONTRACTORGRA-nEE

o A Firmmiddot AU profil-rn3king fUms (other than

Aamp E)

J e A amp E 8r~

zalion

o Public Inlmlational Organizations (UN

Agencies ICRC Wocld Bank elc)

(H8 J 3 Chapt~ S)

M08- TYPE AW~RD

o A S8 Sel-Aside - Awarded to Non-Minority

o B S8 Set-Asidemiddot Awarded to MinXity

o C_ S8 NOI Set-Aside - Awarded to Non-Minority

o D S8 NOI SeImiddotAsidemiddot Awarded 10 Minority

o Eo amp(a) S8A Awarded to Non-Minority (Womerl-

Owned Veterans etc)

o F 8(a) S8A Awarded 10 MinorilY

o G Personal Sen-ice ConlrdCt bull Non-Minority

o H IeJSDnal Service Conlract - MinorIty

o I Individual NonmiddotPersonal Service Contraci -

NonmiddotMinority

o J 100Jigtiduai NonmiddotPersonal Service Contracl -

Minorily

o K NOI Small Business (Univ NonmiddotProfit Large

Firms) Non-Minorily

o L- NOI Small 8usineSl (Univ Non-Profit Large

Firms) Minorily

o M US Govcrnmlnt

(Connnued on Page 2)

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--

ua ) R I GI NAL 9 bull

MODIFICATION or GRANT PAGE 1 of 2

AH 1 2 Effective Date 3 Grant No 4 Effective Date

Amend_at Ro 5 April 15 1981 AIDCSD- 3294 8-11-71

-s CRANTEE (Name and Addrea) 6 Administered by -Professor Gerhard Loewenberg -Office of Contract Management Cbrnparative Legislative Research Gente Central Operations Division Dept of Political Science am Branch University of Iowa Agency for International Developn~nt Iowa City Iowa 52240 Washington D C 20523

7 PIO No 930-0090- 3013411 A5 8 Previous PlOTa -

Appropriation No 72-11110216 93i-1l-995-l36 930-11-995-136-73-3078103

Allotment Symbol - 146-30-099-00-20-11 wunt Obliga ted by this ~ndrnent - $10397

The above numbered Grant is hereby modified as follows

1 Anotmt obligated prior to this rurendment 2 Amount obligated by this amendment 3 Total obligated anount (1 amp 2)

Delete the amJmt $465000 and substitute in lieu thereof the ammnt I$47S 39-7 ~

FUNDS AVAIrABm

~~ - APR 13 1981

PrO~A~~5iors

$465000 $ 10397 $475397

OffiCE Of fIN~(1 ~~rE~E~T __ _ 10 This amendment 11 entered into puruant to the authority of the Forelgn

Assistance Act of lS~l as amended Except aft hereln provided all terms and ~~ndi~ons nf the grant rcferpnccd in Block 13 remain unchsnged and in full force and ~ffcct

11 original and six Crantee 18 requlred to aign thh document aad return 1- eopics to issuing

ffiee

~~~ or printed) BUSINESS MAHAGR amp bull

Tille TREASURER

UNITpound) STATES OF AHERICA AGENCY FOR INTERNATIONAL DEVELO~NT

BY_-1(1o-_1lt--= 13middot~_1_~ __ K R B1uteau

(Name typed or printed)

Tltle~ ____ G_r_a_n_t __ O_f_f1_c_e_r ____________ __

D3tC APR 2 J 7997 Dolt 9 APq 1981

BEST AVAILABLE DOCUM NT ___ 0 HLGlNAL - I 1 J 1 ~ )

- 2 -

AID ftmds in the am)tmt of $10397 are hereby provided for the activities lmich are described in your proposal (including Budget Stnmnary) entitled CDnference to Report Research Findings on the Study of Political CDnditions for Effective Small-Scale Rural Assistance Projects in Kenya Korea and Turkey dated February 17 1981 and made a part of the Grant b reference

BtTDGET StMMARY

Line Item

Travel

Per Diem

Other Direct Costs

Less existing 211 (d) grant funds

Total Amount Obligated by this Amendment

Estimated Costs

$ 5888

5100

_ 2500 $13488

_ 3091

$lO39

Note Indirect costs or $395086 associated with these activities will be contributed by the University of Iowa

BEST AVAILABLE DOCUMENT

~RIGINAL

- CONTRACT IGRANTCOOPERA rIVE AGRElEMI~ SERC~SDSlP Actio) Monitor

SERCMSDSUP Action Office

I

INSTRUCTIONS AJDW - Complete 4 copit of tlh fonnmiddot Orisina iCMSDfSUP Sutistical Section COP)middot Copy 2 SERCMSDjSVP Administrative CoP Copy 3 Cont-acting Officers COP) Copy 4middot SOSUP Admin (Susptnse) Copy Missionsmiddot Complete 2 copies of the form or~aI SERCtSDSUP Statistical Section Copy and Copy = wiU~ retained in the Missions

0 PART IA

Effective Date of Document tJ

Delivery Order (Requirements)middot

o 4 Purcluse Order

bull If I 2 or 3 have an bull X compl~te M I 2 ON L Y

M04 - CONTRACTGRANT TYPE

o O MOA (BOA BMA etc)

o 1 Fixed Price (Specify FFP FPRD FPEP FPI) ___ _

o 2 COli Reimbursement (S~cifY CR CPFF CS CPAF CPIF) ______ _

o 3 Cooperative Agreement

o 4 Grantmiddot General Support

o S Grantmiddot Specifi Support

o 6 GraDt 21 led)middot

o 7 Do Not Use

o amp IQCs

o 9 Host Country ContractGrant

middotComplete ONLY through M 5 1

MOS SELECTION PROCEDURES

o A Formally advertised (IFB)(AJDPR 7middot24 amp

FPR 124)

o B Negotiated Prire Competition General

Procedure (RFP) (AIDPR 7456)

o Co A amp E (AlDPR 4 I 0)

o D Ed Ins andor Intl ReStalch (UDPR

7457)

o E Collaborative ASSistance (AIDPR 7458)

o F Predominant Capability (AIDPR

7-310l-50o)(3)

AID 142049 (1-79)middot Page J

o H Procurement Co be Performed b~ the Conshy

tra~tor in Person (AlDPR

7middot3t OI-SO(b)(Iraquo

o I Sole 5gturce (AIDPR 7middot3101middotSO(b)(4raquo

o J Impairment of Foreign Policy Objecdv~

(AIDPR 7middot310 ImiddotSO(b)(7raquo

o K 8(a) Selection (FPR 1middot1713-t)

o L Grant (Handbook J 3)

o M Do Not Vse

o N Cooperative Agreement (Handbook 13)

o O Small Business SetmiddotAside (FPR 11706-8)

o P Overseas Procuring Activities (AIDPR

7middot3101middotSO(b)(2raquo

M06middot TYPE SER VICE

o A TtJining of Participants

o B Technical Assistmce (Program Project

related exc~pt A amp E Services)

J C A amp E Services

0 D COltl~ruction

0 E Research

0 F Technical Services to AID (other than trainmiddot

ing usuaU Y operating ex pense)

0 G Training Service few AID

0 H Equipment Mat~rials Supplie~ Commodities

0 I Translation Service

07middot TYPE CONTRACTORGR TEE

Firmmiddot All profitmiddotmaking fu-r1s (other than

AampE)

o 9 amp E Firms

I Prcct NumbcT

I

Contactors D-U-N-S Numbcr

I) -S--f(j

o C Individual 0-lon-~rsora1 service)

o D Individual (Pet-sonal Service)

o E University lOt her EduCltionaJ Institutions

o F Non-Profit Organization Institutions (other

than Ed or PVO)

o G Private Voiuntary Organization (PVO)

o H International AgricultwaJ Research Organmiddot zation

o I Public International Organizadon~ (UN

Agencies ICRC ewld B3J1k etc)

(HB J 3 Chapter 5)

M08middot TYPE AWARD

o A SB SeImiddotAsidemiddot Awarded to Non-Minority

o B SB SetmiddotAside bull Awarded to Minority

o C SB Not SetmiddotAside - Awarded to Non-Minoril)i

o D SB Not SetmiddotAside - Awarded to Minority

o E ~a) SBA Awarded to Non-Minewity (Womeli

Owned Veterans etc)

o F 8(a) SBA w-rded 1o Minority

o G Personal Service Contractmiddot Non-Minority

o ~ Personal Service Contnct - Minority

o I Individual Non-Personal Sence Contractmiddot

NonmiddotMinority

o J Individual Non-Personal Service Contractmiddot

Minority

o K Not Small Business (Univ Non-Profit L1lge

Firms) --vn-Minority

o L Not Small BUSiness (Univ NonmiddotProfit Large

Firms) ~inoriy

o M VS Government

(Continued on Pcge 2i

t bull - t ~ J f q

ORIGINAL bull MODIFICATION OF GRANT

1 2 Effective Date

Araendllent Ro 4 12-2-80

s CRANTEE CHace and Addrels) Professor Ger1ard Lo~middot enbelg Comparative Legislative Research Deartment of Political Science The Lnivp-rsity of Iowa Iowa City Io~a 52240

7 PIO No NI A

Appropriation No 72-11XHl26

Center

Allotment Symbol -426-30-099-00-3~-71 Amount obligated by this urendment-O- I

3 Gnnt No

AIDcsd-3294

PAGE _____ 1 _of-L

AlI 4 Effective Date

8-11-71

~ Admlnlltered by -Office of Contract Management Central Operations Division OTR Branch Agency for International Development Washington DC 20523

8 Previous PIOITs -

931-11-995-136 930-11-995-136-73-3078103

9 The above numbered Grant is hereby modified as follows

Supplement to Grant

Change the duration period sentence to read

The Duration Period for this Grant shall be August 11 1971 through December 31 198]

1 Amount obligated prior to this amendment $465000 2 A~unt obligated by this amendment -0-3 Total obligated amount (1amp2) $465000

----------------_- - ------- ----_- ------ 10 Thh lImcndmcnt is entered inlo punuant to the authority of the Foreign

~ Assistance Act of 1961 86 amended Except a~ h~reln Z II provided all terms and condi tions nf the grant referenced in Block 3 remain ~~aunchlinged and In fu1l force and effNt cnltUI cJ)za 11 o 4 J bull

Et~ ai~a gtUoItshyc Z P=u

original and six Grantee t requi red to sign this document and return 1- eopies to 1Bufng

office

~ 12 GRANTEE TES OF AMERI CA

(Name typed or printed) bull

TJlle Director Comparative Legislative liecearell CeQtoQl

Date 12880

------------------------------------

ONAL DEVELOPMENT

By ----~--~~~~---------------------

prinled)

Grant Officer Title --------------------------------

J)oll( 12-2-80 -----------------------------

BEST AVAILBLE DOCUMENT i je

Page 15: PD-Ar3T Cr(~

12 -

oz~ the tr)middote grantee institutions and otter associated scholars It

~ill ayise t~e pa1tee i1stituticns on SllC catte-s as roritorirg

activities at the t~re~ unive~sities~ evalu~ting rese~rch frr possible

=middotclication sJ--sidies rld ether ratters related to infor~atioTI

disse~~ation coordinating research efforts to avoid duplication

ecilitating excha1ges d sttde~ts ad faculty members ~-iitb foreign

nsti tutions i~en desirable tryi1g to till lacunae in cLIricu lUn

helJilg to arralge cmferelces and sy-posia and generally trJing to

9cote te ~eielcp~2nt of cOlparatile legislative stucies as a

Gra1t L~HS idll be ~sed to support the Univ2rsity of Io -a IS

nrticipation in tre AdisorJ Co-i ttee t1e developrrErt of conferenc=s

elsEfhere il the US arHl over3eas i1 relat2d facets of leeislaive sttdies

Edstng iersonJ~l al~d fa-ilities at the University o= 1oa previde

iaculty facliiies to aid rC3emc~ trailg aPd skill in 21c~ivaJ middotork

BES~ AVAIL4BLE DOCUMENT I

r ~-)

- 13 -

Six ITe-bers of t1e faculty of the Departent of Political Science

at the Unhe ity of Im-ia are presently engaged in legislative research

To merbers ot the Departllent of History are engaged in research on the

British Parlia~ent L~ the eighteenth ~~d nineteenth centuries Fer the

past six years an adv~~ced se~inar has been offered by ~embers of the

Department of Political Science and the Department of Histo~J on

comparative legislative behavior This exte1sive collaboration iiill

ma~e it possible to develop a fully inter-disciplinary program for the

students ~~d visiting faculty In addition faculty ~emcers in

Scciology interested in organizatien theory and in the College of Law

interested in legislctive processes provide furtber e-pertise ava_ilable

to students interested in tee study of legislative behavior The

presence of these specialists on th~ facult~r is reflected in the

excensive librarJ al1d otler data resources existing at Iowa in this

field

The Uniersity of Ima offers an unusually extensive program of

trainL~g in research methods Four ~e~bers of t~e Department of Politi~al

~cie1ce teach in the field of research nethods Courses jn statistics

ca1 be taken ill the Dep~rtents 01 Sociology e-d Educational Psycholcgy

Llis prcgr6l provides a verJ solid grounding il research training and

data analysis

bEST AVAILABLE DOCUMENT

e ~

- 14 -

Y labCrato~y for olitical Pesearch is the reseacc1 md research

tlairirg facility of the Departe1t of Political Sci-lce Gcadvate

students receivo extensive res~arch experience through 1or~ing in the

La oratory bull The Lacoratoy is also a1 integral part of the trainirg

o~feed in ccurs~ T~middotO~ for graduate students

The full-time sta~f of the laboratory includes a director an

assistant director a t-=cl1ical cirector a supervisor of study

t1hteen graduat~ students - rf1rk in te Laboratoy receivLLg teining i~1

~a~a collecticn ~~i data e~alysis Tbe facili te5 of the La)oratorltJ

icluoe a oard eJcerline printer ccnnected to the U1iversitys

dis~ and tape storF-ze for d~ta

The pogral of trailing ia coparative legislative reseC_cch ~ill

relr heavily en t LaOerltcLJ- for taching graduate stucents Visi tine

fc111tr lYe~bes iill be able to utilize tbe facilities cf the Laboratory

gt IOra ~as sFcial ccrpetence in prOCed~les for

ccq ter ogagtlizetion of d~ta Ja1ks ~d fOi the p~ocGssing of large data

sets as well as iJ the sttdy of naticnsl end st~te legisltllres Tile

BEST AVAILABLE DOCUMENT

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Ile Univelsity of 10Ira will eadnister- the Grant thJotg~ its normal

a)1 iristrative char-l1els ad i1 Eccordance imiddotlith its ncrTal olicies and

operatirg procedures 7he Director of the gr~l1t-s~~ported program

Hill be a senior faculty eriOer of the Gniyecsity of IO~-ia -with extensive

expe~ie~ce in the subject field Associate Directors w~tb similar

qtalifications -aill also be appointed 7he Director- and Associate

Directors ~dll serve as eibers of t~e Inter-University Advisory CC1gtr)ttee

established to cooidinate _u bullbull ID gra1t-stpported programs at IOia Dul(e

lniversity a1d the University of Ha- aii Ll1 this field These relatiol-

ships are i~dicated in tee follc~dng a~inistrative organization chart

IX Ul~vsity Ccntri1uticn

T1~ ~h-ersity of IQ(a aSSures ALD that this Grant middotiill not

replace existing ftnds for STr current activity and imiddotrill be additive

to existing prograrrs of tCe lJniversity In direct sp~ort of this

Grat ttc University ~ill provide a) Acmi1istratile costs including

tie of senior officers of ttlt University b) Office ~ld research space

ald library and cor-puttr facilities c) Provision of a1cillamiddotCjr 1niversity

personnel -or consultation o~ ~middotjQrk nth the progral

X Reports end 5evie~-Ts

There i-ill be sub~itt-=i al arnual t2ctnical report for the purpose

of AID s revie- of activities under te Gant Tnis idLl include

a11 e-llation of prcsr~ss aidnistratve ar_c fiar~cial corsicer~tior~s

p~s cr tr foJlJ-middotire ear ~i disctlssics of the ossible l~lizaticn

BEST AVAJLIl8E OOCI1MrNT

~

- 16 -

A~~inistrative O~ganization

Ice Board of Regents of tle State of Im-la

-Iesicent of the University I

1 rOfcst Jf t-3 University

Den College of Liberal Arts

r Chailan DcptiEt of olitical ScieJce

Inter-G~iversity

Acisorr Corcittee

PcgrG21 Director Associate Progra~ Directors

Liaison Arcrge~~nts d ~h I I~~erested Plcfessiona1 I Perso~el j

I _

I 5cu1ti (full or PmiddotLG-tire l Asscci~tes a1d otllei non-Io~il

3ecip5ents of Gr3-1t stPPC1t Gr~cue~~e S t1~lcnts St2~retQi~S1 Data Lbed~1 31

Ln 18 r1icia 1

LO1t c~lce Factcj~1 ts

BEST AVAILABLE DOCUMENT ( ( V-t

- 17 -

of te eo17i~g cCpterce br A I D rLld ethers In addi tion there

aS3essr~ents of the gr31t

middot l ~ lI ~ _ _ _ co~~~r~~ing ~~iversiti~s md tne rrctitoring ALD office

7re l~yersity of Ie~middot~ budget of $26500 is to be deveted to the

cemiddotelgt~e~ of lstituticnal cefete1Ce in comparotive legisl~tiye studies

~t Iomiddota c t~ the exalsi0 ot a date b~L-lt ~ hich 1fill be utilized as

a ecle for icrec3ing te scope of tbe sub-specialty

T - 1 f 1 __ middotja r S Ctdget a9roxir~tly 33- has bee allocated to a

cemiddote Lp~l t rirc ipally C actlty re leased tirre for data ccllection

ai 0 3alres f~r i~~er-ieers in field research 3d secretarial

assi5ta1ce nCt2 11- of t~e Icmiddotre oudge~ is iesignated for an

ArCE_1 A~ite s(101a~middot 2d one 0 ore scnolals froQ LDe or

s1lllrt of greluate stucents in the

BEST AVAfLIlBLE DOCUMENT

- 18 -

Finally approximately 19 of the budget will be devoted to the

proposed data bruL~ that will archive not only data generated from the

research of scholars at Iowa Duke and Hawaii but also at other US

and foreign institutions Primary and 3econdary an~ses of these

data will become an integral part of ~omparative legislative studies

curricula The ability to utilize the data bank for teaching purposes

also should have a significant impact on professional preparation ofmiddot

future legislative specialists In summary the funds will be

allocated to research teaching and training activities tha~ are

entirely conson~~t with the philosophy underlying the utilization of

2ll(d) grants to achieve institutional development

Conclusion

The University of Iowa regards the research and teacbing components

of this program to be closely related an1 zrutually reinforcing The

University of Iowa offers a strong base for the pro~ram because of the

interests of faculty members here now because of their contacts with

scholars in this field in other Americ~~ and foreign universities

because of their experience with the international exchange of faculty

and because of the distinctive data gathering and processing facilities

available in our Laborator~- for Political Research The program which

we have formulated is designed not only to accomplish specific

research and teaching objectives but to contribute to the long-term

development of the University of Iowa in an area in which it has already

exhibited special interest

BEST AVAILABLE DOCUMENT

~ I) - 0

- 19 -

The program on Comparative Legislative Studies with support from

this Grant rill develop the capacity at the University of Iowa to

provide assistance under separate financing arrangements to developing

countries in a number of ways and through a varieiy of channels This

assistance which would be arranged for end negotiated separate~ from

this Grant may be in the form of technical assistance advisory service

training research and information exchange etc It will be available

by mutual agreement to appropriate agencies national and international

public private a~d mixed and directly to the less developed countries

Most especially this added special competence will inevitably become

incorporated through the processes of scholarship and education into

the competence of US and foreign scholars and institutions concerned

with this topic of great significance to the developing and the more

highly developed countries alike

BUDGET SUMMARY

UNIVERSITY OF IOWA

Salaries

Graduate Student Stipends

Fringe Benefits

Travel

Equipment and Services

Other

TOTAL

$173090

32400

19209

13800

6501

20000

$265000

BEST AVAILABLE DOCUMENT

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srjmiddot (~~ jjXilO

IO

rmiddotmiddot ~middotmiddotrl f)~~ 7 middot 1 ~A~~ middot1 rmiddot middot~ rt bull middot bull bullbull I ~ i bull bull ~ middotv- middot bullbull ~ I

1 so bullbullbull l ~--~-- - - ---- ~ V~ i Jlgt ) bullbullbull ~(lr v ~I ( tr_ 1middot-middot 1 bullbull 1

il l~ J

2 c~loto

BEST AVAILABLE DOCUMENT

(C

Dr Willa~d l Boyd Presicient University of Ima iowa City Iowa 52242

Dear Dr Boyd

4 AUG 1977

amp

FIJNDS AVAnASLe CpoundNrftAamp sEIMCEs DMsON

AUG11 ~n te t6417 ~77

Subject bull Supplsectferit-tJF-G~middotNomiddot~middot AIOcsd-3294

t middot-rrPJ1 3

I am pleased to inform you that pursuant to th~ auth~rity contained in

S-cction 211 (d) ooC the Foreign Assistance Act of 1961 as amended a sup

plemental grant in the amount of $200000 is h~reby r~de to University

of rCi1a These supplement]l grant funds areprolided to support the

activities which are described in your Proposal dated May 6 1977 for

the implementation of your program entitled Political Conditions for i

Effective Small-Scale Rural Assistant Projects

---This sup~lemental grant is mace to University of Iowa en condition that

yo~r institution shall administer the funas provided under this Grant fn

accordance lith your r~ay 6 197 proposal (including Budget SUmlilary) and

the Standard Provisions (as incorporated by Amendment No 1) which have

been agreed to by your instit1ltion Ti) the extent of an inconsistency

between the Proposal and the Standard Provisions and any otherprovisfons

which ar~ made a part of thi5 Giant by reference or other~iSe the Sta~d~

ard Provisions shall control

The new Duration Period for this Grant shall beAugust 11 1971 through

August 10 1979

The total amount of funds obligated under the grant is increased to reflect

a new total oblgated amount of $465000

Please sign the Statement of Assurance or Compliance ana the origfnal -

and seven (7) copies of this letter to acknowledge your understanding of

the conditions under which these funds have been granted Please return

the Statement of Assurance of Compliance and the original and six (6)

copies of this supplemental Grant to the Office of Contract Management

Attachment May 6 1977 Proposal and Budget SUfiT1a ry

UNIVERSITY OF IOWA

Roberw bull OBrien fficer

Ce al Operations Division Office of Contract Management

AC~E~E~C--_ 0 BYpoundk~~ cH

D C ~lpoundSTtR5BA T ITL E ( PfeampoidPilt for

tee ment amp Research DATE 9-22 -77 (d~ ~~Bduate Ctl~1e~e

BES i AvAILdLt UOCLJMU~ I

211(d) Grant Program

Proposal of the University of Iowa

POLITICAL CONDITIO~S FOR EFFECTIVE SMALL-SCALE

RURAL ASSISTA~CE PROJECTS

Submitt~Ci to

Civic Participation Division AID

May 6 1977

Amount requeste~ $ 199987

BEST AVAILABLE DOCUMENT

I TdE DEVEIOP~T PROBr~

P~litical Conditions for Rural Development

The Cocparative Legislative R~search Center of the University of

Iowa proposes to ~~dartake a two-year study to investigate the role of local

leaders and the rural public in theimplecentation of small-scale develop~ent

1 projects in less developed countries The study will use and extend the

capacity ~hich the University of Iowa developed under a 211(d) grant to

investigate and assess the impact of loeal politics on rural development

~t the co~pletion of the s~ Iowa will be in aposition to advise the

Agency on the design ~nd evaluation of s~ll-scale projects which will be

politically viabe a~d effective in ass~sting the rural poor ~

As students of development w~ approach our task with the assumption

that the proble~ of development and underdevelopment are funda~entally

ones of political econooy and a~ such can only be solved through a

simultaneous considerationof economic and political factors Efforts

which foc~s aloost solely on economic factors like those of ma~y

organizations engzed in dipersing foreign aid or efforts which focus

almost exclasively on political factors fail to take account of the

interdependence between these two dimensions of underdevelopment and

lwe have for~ulated this proposal in a canner consistent witr the cu~rent policies ard interests of the Agency We have been guided in our tsk by four Age~cy doc~e~ts Impleo~~tation of New Directions in Developnent Assista~c~~~ ~eport to the COmlittee on International Relations on Ilupleoenshytatiun of Legislative Refo~ in the Foreign Assistance Act of 1973 (July 1975) rItevis~d Projec Developiel Review and Approval Systeo (A I DL Circular A-21 Aril 23 1975) SH Butterfield Draft SUIilZ3ry StateUlent of a Practical Agelcy Approach c aural Devalopilelt (AATA February 28 1975) Cicci A Coce~ual Oie=viamiddot middot Rural Development No1 (lWorilting GOU O~ tha Rural Poor February 1975)

- l -

can meec with only l~ted success

Our concern with the i=pact of local politics on the process of

rural developcent is a result of our interest in the basic question of

how LDC governm~nts and the donor agencies which assist them can

become core effective in raising the standard of living of the rural

poor We seek answers to the following aspects of that basic question

1) What political conditions must exist both within rural communities

and between theo and central gove~ents to raise agricultural production

w~ere small-scale agriculture is the do~nant pattern 2) Vnat are the

political conditions for a core rapid expansion of the informal manufacturing

and service sector cocprised of labor intensive small-scale industries

located in the rural ar s 3) What political structures and activities

are mase crucial for the provision of welfare and econocic supporc services--

such as agricultural exeension mar~eting and transportation--to the rural

areas1 4) ~~at Folitical conditions oust exist to insure that economic

growth in the rural areas is not accowpanied by excessive and intolerable

inequalities between socio-economic classes andor between regions1

Center-Periphery Linkage in LDCs

To deter~ne the political conditions for rural development we have

in previo~s s~udies exacined the institutions and processes through which

rural populaticns are integrated i1to the national politi-cal systetlS of

middot~he countries in which they live A gap exis~s in most less developed

countries bet~een the peasantry residing on the periphery and the c~~tral

political ~stiutions staffe1 by ~~estern-educated bureaucratic elite

We are aware of the other major ~sti~utional discontinuities which comprise

J

4 middot~~1 the basic cleavage between the developed and underdewmiddoteloped sectors of

these dual societies Bridging these gaps is essential if these so~ieties ~ are to develop into viable nation states For until those Q~ the periphery

of the poli~ical syste~ participate in that system and support and comply

with the authority of central political institutions neither economic

development in ~he rural areas nor a stable polity will emerge

Bridging the discontinuities in these new political systems requires

establishing and institutionalizin3middot1inkages or networks for co~unication

and exchange of resources between decision-makers at the center and the

rural public on the periphery Three types of institutional linkages are

most prominent in less developed countries 1) those conSisting of the

state administration composed of the bureaucratice1ite 2) those consisting

of a revolutioncry political party cocposed of the ideological elite

3) and those conSisting of patron-client hierarchies composed of the political

entrepreneurial elite

Of these three linkages consisting of the state administration are

the cst extensive and pervasive in virtua~ly every LOC Such linkages

however exist primarily a~ instruwents of the center to penetrate the

periphery Central government officials are formally charged with bringing

develo~ent to the people This is a ~issi~n which conceives development

as a process ~hrough which a traditional peasantry is transformed and

assimilated iJro the DOdern center which is steadily expanding to embrace

it Agents of the center invariably have more resources to achieve their

objectives than do local political leaders but because they are frequently

strangers~ the communities in which they function they are often unable

- It -

co implement the policies of the center without working through the

local establis~ent

Though somctices significant linkages consist~g of revolutionary

party organizati~ns such as those found in China and Vietnam do not exist -

in most IDCs beca1Se of the special historical and e~omic conditions

required for their development As wi~h the administrative state however

the linkaampe apparatus of such political patties is prUlarily an instrument

of the center whose mission is to penetrate and mobilize those onthe

periphery

In contrast patron-client hierarchies are linkages which represent

the periphery at the center and mediate betwee~ these two disparate

sectors of the political systec Thcugh norcallymiddotovershadowed in scale

by the state administration patron-client hierarchies are found in almost

~very LDC a~d constitute the ~st significant network through which rural i

populations and their leaders influence the decision-~king process at

the center Patron-client hierarchies exist in a wide variety of org~iza-

tional fores ranging from info~ ~ec~~rks of individual olitical leaders

in uno-partyll systelS in S~b-SaharaI4 Africa to extensive political machines

in both one-p~rty (Africa Mexico) and ~u1ti-party systems (Turkey India)

Despite their importance as the pricary means through which peasants in

LDCs particiate in their political systems patron-client hi~rarchies

have only recently become an object of analysis by students of political

developent and do not appear in even the most sophisticated studies of

2 See Jo~ Dunca owell Peasant Socie~y and Clientelist Politics Aerican Politi~ Scielce Revietol 64 (June 1970) pp 411-25 Rene Lemarchand anc_ Keith Legg olitical ClienteliSJ and Ethnicity in Tropical Africa Aierican Political Sc~ecce ReView 66 (Y~rch 1972) pp 68-90 James C Scott PatronshyClient Politics a~d Political Change II 1tlerican Political Science Revie~ 66 (~arch 1972) p 91-113 and Friends Followers and Factiols bull edited by Steffan Sc~~d and James C Scott (Berkeley UniverSity of California Press 1977) bull

- 5 -

3 economic development Ad~niscrators of developmental assistance progracs

have too often regarded patron-clienc hierarchies as ~ped~ents to

develop~ent instead of recognizing cheir potential utility bull

~ Findings on Patron-Client Hierar~hies --

The importance of pat~on-clienc hierarchies for linking the periphery

to the center is one of the major findings ~erging from a study of the

relationships betueen l~gislators an~ their constituents in Kenya Korea

and Turkey ~hich the Cowparative Legislative Research Centpr is nov

comleting uader its 21l(d) grant from AID This study has av~mined the

creation of linkages between the periphery and the center through ~ore

than lO~OOO interviews with members of parl~ent local leaders and

peasants in t~e three countries The findings are being systewatically

set out in a book-length monograph Nearly a dozen research reports have -

uready appeared (see Appendix C) ipropositions about the nature of

political behavior of rural populations an~ the roles of local political

elites de=ived from the research~ can be s~rized as follows

1 Elected representa~ives play a significant role in the creation and mainte~ance of linkages be~een the center and periphery by developing local political achines in which they function as patrons of their constituents In turn thay s~rve as clients of political leaders of national stature who control central government institutions

2 By atte~pting to establish linkages based on patron-client relatio~shi~s elect~d representatives are responding to public expectations chat their prizary duy is to obtain resources from the center to proffiote local develop~ent ~iany elected repLesentatives spend most of their time on self-help co==unity development projects such 3S the building of schools health clinics irrigation works arid roads because such projects provide

3For exa~le ~ a widely respec~ed a~d useful analysis of rural deve16p~ent in Sub-Sahara~ Africa L~ Lele of the World Bank notes the problems of creating an adoini5~raive infrastructure in the rural areas that is sensitive to local socio-oliical conditions She does not however consider how local leaders operating o~tside of adcinistrative structures ~ night contribute to the developne~t 0 the rural areas See ~~ Lele ~ Design ~ Rural Develop~ent Lessons ~ Africa (Balt~re The Johns HopkiD~ Uciversity Press 1975) r) pp 127-61 i ~

- 6 -

their const~tuents with desired se~ices ~~d a= the sa~e time provide the reresentatives with an orgacization Yhicn can be used as a political base

3 l-tore than 90 perCel1t of the rural population is capable of articulating the p~oblems facing their local co~~ity and two-thirds discuss th~e proble~ w~th their fellow citizens on a regular basis

4 Three-q~rters of the residents of the rural areas can identify the public ofpoundici~s who serve thec--both civil servants and elected represcrtatives--by na~e Most are knowledgeable about the activities of these officials Alcost one-fifth coreover have discussed co~~~ity probl~ ~ith these officials particularly those working at the grassshyroots level Residents of rural villages actually have a higher level of political knowledge than their counterparts in the towns

5 Elections in the rural areas evoke a highly rational attern of voti~g despite the effects of ascriptive or traditional co~siderations Inc~ens are pri~rily evaluated in terms of their record in fulfilling the public r S elpectations of what they should do Elections are essentially referenda on inc~entsr perfo~ce especially their perforwance in the area of constituency servi~es such as bringing development projects to the districts bull

6 Local developcent projects have a relatively high s~olic value generating conscitutency support for local leaders and the central government at low cost

7 These projects help huild a local political infra-structure which can also be utilizec by central govern~nt civil servants to implement other policies designed to achieve rural develop~ent bull

The Icpac~ of Local Politics on Rural Projects

Having explored the developtent of linkages through which the periphery

is represented at che ~enter and through which the periphe~ attemp~s to

share in the ceners resources we now propose to build upon our initial

investigations by e~ing in greater detail the impact of local political

conditions on specific problecs of rural develop~ent We propose to

exacine the develop~ental activities of local leaders ~nd the rural public

by eX2~Ding a saple ot fifteen to twenty smalL~scale developwent projects

in each of ~he three countries which constituted the sites for our initial

8ESI AVAILABLE DOCUMENT 1 ~ - of

- 7 -

study of center-perhiphary relations The appropriateaess of this approach

and the ~ethodology through which it will be ip~emented is discussed in

section II Because the ~ethodology of investigation is in large part

the result of our previous research experience we fizst turn to a revieW

of the existinQ __ ~petence of the Comparative Legislative Research Center

in this area

II GRAXTEES EXISTIXG CmET~CE

In 1971 the University of Iowa received a 211(d) grant to develop

its capacity to do research on the role of elected represent~tives in

the process of modernization On the b~sis of this grant the University

established a research center which planned and carried out a research

project on the role of elected reres~~tatives as links between the central

gove~ent and rural populations in K~ya Korea and Turkey The project -i

served to develop t~e University of Iowas research capability in this

field esa~lished ties between the University and scholars in the bost

countries and generated a large and uniqu~ body of relevant data

In that project we fo~ussed our attention on tbe activities of elected

representatives in their constituencies notably in their contacts with

local political leaders voters and civil servants To determine tbe

nature of the linkage function performed by tbe representatives we

designed our research to explore the subject from three perspectives

1) we eXaojned ~~a ~ubject at tbe grass roots by conducting a series of

sample surveys of 200 to 300 adults in each of 12 to 14 parliamentary

constituencies in each cf th~6three countries 2) we examined the subject

at the center by intervie -ing MIls from the constituencies in which we

had conducted S3mple surveys ~nd higher civil servants with whom they

had contact and 3) ~e ex~~ined the subject from an inter-~diate level

by identifying aud ~terviewing local social and political leaders in

the MPs constituencies We used survey research methods because we

were embarking on the study of an entir~ly new subject for which little

relevant docu=e~tary data existed and on which there were few secondary

sources As a result ~e have unparalleled experience with survey

research in the rural areas of less develo~ed countries

The surveys which constituted the cajor part of our field work were

planned in collaboration ~~th scholars from the host countries They were

carried out in each constituency by student interviewers in the appropriate

language ~re than 10000 respo~dents were inteDViewed for the project

Given the visibility and sensitivity of this undertaking approval for

the research was sought and obtained from the host governments prior to -i

the collec~ion of data ~o objections were raised by these governments

at any stage of the research The data obtained have been made available

to scholars i~ the host co~cries and some of the basic findings have

been published in periodicdis in these countries

The Comarative Legislative Research Center ~hich ad~nistered the

project has aisO developed extensive experience in the study of political

leadership in other countries It h3s obta~ed substantial support from

the Fo~d Foundacion and the Rockeeller Foundation has worked in

collaboration ~~h European as ~ell as Asian and African scholars and

is engaged in a ajor study of the role of elected and non-elected leaders

in the oanag~~t o~~ocial conflict Because it has conGucted research

in a variey of setlngs the Center has an ~ceptional capacity to

- 9 -

determine how the relationships be~een political institutions and

economic p=oble75 differ in develoPed and less developed countries

In the course of the major research projects the Center has administered

it has gained highly specializpd ~p-i ce iI identifying 1Olitical leaders

in a great variety of settings conducting systematic interviews with

them collaborating with scholars in the host countries and in coding

and utilizing large files of data to answer specific research questions

The Center has ~lso undertaken to publish the results of its research

in three fores It issues codebooks to the data enabling scholrrs at

other locations to use the data expeditiously i~ publishes research reports - in the form of Occasional Papers and it publishes a scholarly periodical

devoted to the presentation of research findi~gs to an inteIT~tional

audience

The Center utilizes the data ~ysis facilities of the Laboratory

for Political Research of the University of Iowa and drawS on the unusual

n~er of secialists in comparamptive politics and survey research in

~~e Lniversitys Departmen of Political S~ience The Center itself I

has the services of an administrative secretary and a clerk-typist

~intains its~o~cn extensive archives and its o~~ publications program

It is e~uipped to assist scholars and government officials outside the

t~iversity of Io~a The participants in its p~ojects are full-tioe

faculty ~e=bers ~hose undergraduate and graduate teaching is closely

related to their research As part of the teaching program the Center

has attracted students from the countries in which the research projects

have been conducted these students have participated in the projects

bull J

have obtained training in other fields of political science have received

University of Iowa degrees~ and have ret~rned to teach and to do research

in their own countries

III PURPOSE OBJECTIVES AID METHODS

Purpose of Study

The purpose of the proposed grant is to extend the capacity of the

University of Iowa to determine the political conditions in the rural

areas of less developed countries which favor the establis~ent and growth

of small-scale developoent projects ~e objective is to put the University

of Iowa in a position to assist the Agency in designing small-scale rural

developent projects providing guidelines for carrying out social soundness

analyses of such projects and adviSing in the evaluation of projects

We will discuss the utilization of~t~e Universitys capacity in detail in

section IV below

We propose to concentrate our investigations on the political conditions

surrounding s~l-scale ru~al projects Such projects have distinctive

advantages They waximize the political participation of the rural populations

both in det~~-ining the direction ~d implementation of develop~ent efforts

and in defending the interests of periphery vis-~-vis the urban-based

bureaucratic elite S~ll-scale projects stimulate entrereneurial activity

on the part of the rural citizens and growth of the info~l canufacturing

and service sector Tbey require less lead tice and less administrative

c~erhead to ~eco~e operational than large-scale capital-intensive projects

centrally administered Such projects yield rapid and direct benefits to

1

j

the rural

- 11 b - ~~1

populations and are consistentwith their hUIlaD rights--both

political and economic However~ small-s~le projects pose s~ecial probl~s for administratcrs of developceocll assistance progracs because

they require the donor co assess the local olitics particularl the

rural politics of t~e host country

Develop~c adoinistrators pr~rily conc~rned with assisting rural

populations must therefore recognize the range of political variables

affectL~g these projects Small-scale projects offer great opportuoities

for develop~ental assistance progr~ because they can be easily targeted

to help rural populacions require low capital costs and need no be

concentrated in one or two localities Such projects ho~ever~ ~equire

the a~istrator to have ~re political kno~lecge than large-scale

projects Oil which his priJlary tas~ is guiding the work of other experts

Questions for ~Investigation

To detercine the politi~al cc~diicilS ~st conducive to ~he establ~~ent

and gro~h of scalI-scale rural projects ~e propose to address our inquiry

to the following specific questions

1 To what extent and why co local political leaders seek to establish s~~l-scale develop~ent projects within their co~unities

2 To what extent and ~~y do local leaders other than politicians initiate andor provide leadership for s=all-scale developm~t projects

3 Bot do the relations bet~Jeel different types of local leaders (political and non-political) and bet~eeo these leaders and central gove~ent civil servants posted to the rural areas affect the conduct of develop=ent projects

4 How do existing authority ~eLationships between these different leadership grous and the rural pub~ic affect the organization and operation of s~l-scale develop~ent projects

- 12 -

~

5 lhlt is the nature 0 pclgtlic participation in the establishlent and operatio~ of s~l-sclle projects and ~hat are the outcc=es or this participatioe Gucer w~at conditions is such participation ~ost likely to occur

We seek a~swe=s to t~cse questio s L order to determine the effect of

different co~iigurations of local leadership and public participation on the

outcomes or small-scale rural projects te are particular1y concerned with

the ~pact of these configurations on the rate of econocic growth and the

distribution o~ rIGSlth ithin the loal cOlllUlity ~ on the perce~tions of

s~ll-scale proj~cts by central govern~ent per~oncel and the rural public

anmiddot on the organiation or flture projects

To a~swer these que~tions it is oar intention to study the initia~ioD

izJple=enation ald i1lpact of a salple cpound small-scale rural projects in

Kanya Korea and Turley in the sae cOllities in which we carried OU

our initial icvestigations ~ 1973-75 Tne relationships between the -

various conf~gurations of local leadership and public participation and

the three phases of project develop~ant are sho~ in Figure 1 We will

exa=ine projects to pro~ote the adoption of new agricultural techniques

by s~l and moderate landnolders the building of feeder roads irrigation

ditches and other s~ple infrastructure the organization of fa~ers

cooperatives and other local associations concerned with rural development

the establish=ent of rural health clinicS and schools and the setting up

of craft and service industries

Sites for Study

We plan to return to our original set of localities because we possess

a rich body of relevant data on the extent to which linkages exist between

Figure 1

TYPES OF LFLUEXCE OF C2r~ middotGOVER1iEXT OFFCIALS

LoCu LEADERS 0 THE RURAL PUBLI-C OX THRr~

PHASES OF RURAL igtEVELOPHET PROJECTS

r----------~J C~ltral Gover1~nt Official)-N------- - J

r- Local pOlitical leaders

Local non-political leaders

~l 1---- -

ROJECT nITL~TIOS

Influ~ce on selection of projects

InrI ~elce on location of projects

Influence on policy guidelines for proj eCl

Il

I

a

I I

-I PROJECT I~L~~iATIO~ ~ 1

j Project Organizati I Selection of project

leadership

Hobilization of resources

Mobilizatiol of public compliance with project require=elts

Diffusion of project innovation

Rural Public

I

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1 ROJECT IMPACT

Organization of ongoi=g project operation

Distribution of project benefits

Evaluation of project

Public attitudes toward project

-middot14 -

these areas and t~c central p~litical institutions of the three co~tries

and on the attit~es of the rural populacioc local leaders and elected

legislators regardi~g their problecs of develop~~c Since such data

is unavailable for alternative locales a return to the areas in which

we have previously done much research ~ables us to build on a uniquely

valuable body of icformation

A return to Kenya Korea and Turkey is also highly desirable from

the standpoint of effective research organization The Comparative

Legislative Research ~enter has developed close collaborative relationships

with several highly competent social scientists in these countries and

with the academic institutions with which these scholars are associated

We have also dev~_oped cooperative relatio~ships wi~ gove~ent officials

in these countries which should facilicate obtaining approval for our

further work

In proposing to doc~ent the origin i~pl~entation and impact of

one to three s~ll-scale develop=ent projects in each of 35 localities

we have two considerations in mind Firstmiddot because our pr~ry goal is

to deter~e the political conditions for rural developm~Lt we wish to

examine develQ~=ent in as many different settings as feasible Only in

this way can we control for so=e of the major socio-cultural variations

that erist along rural populations in less developed coultries These

include the overall level of econo~c development in the co~unity the

nature of t~e ~digenous culture an~ relationships of authority and the

pro~ty of the comounity to major urban areas and centers of central

gove~nt ad=inistration ~ce our original study sites were carefully

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- 15 - ~ ~1

selected to represent these variations ye have concluded that these

35 localities woule be ideal sites for the propose~project Second~ in order to dete~~~ the ~pact of local leaders and public

participation o~ ~ural projects we intend to compare projects 1n which

local leaders and ~ecbers of the public have played a major ~ole with

projects in which they have not We also ~l cospare projects initiated

by the central gover~ent with projects Yhich have been locally initiated

These considerations give us a typology for selecting projects as depicted

in Figure 2

Figure 2 ~

FIVE TYPES OF RU~AL PROJCTS ACCORDIXG TO ~FLUEXCE OF CEITiW

GOVE~1E~T LOCAL LEADE~ AD RLRAL POULATIO~

Level of Participation by Rural Population

Locus of Project Initiation ~

Local Co=unity Central Governoent

BIGd

LOt

1 Projects initiated by local leaders and providing for participation of the rural ~opulation

4 Proje~ts Litiated by local leaders bu~ not involving participation of the rural population

2 Projects initiated by the Central Govern~ent and administered i~ cooperation with local leaders a~d the rural population

3 Projects initiated by the Central Govemlent and providing =or the participation of the rural population but by-passing local leaders

5 Projects initiated by the Central Gover~e~t a~d administered in cooeration Yith local leaders but not involvi~g parti~ipation of rural population

- 16 -

We recognize that the socio-cultural setting of rural develoment

projects varies significantly within and across less developed countries bull

By focussing o~ a representative sa=ple of localities ~ Ke~ya~ Korea

and Turkey we can take account of naoy~ though not all of these variations

While some of our substantive findings will not be directly generalizable

beyond the countries in which we propose to conduct our study we expect

that our basic ~ethods and fLdLgs will be applicable to national and

sub-national settings elsewhere in the developing world This is partly

d~e to the fact that the hierarchy of patron-client relations ~hich we

regard as a critical factor in rural develo~~t exists in ~ost Liles

--It is also due to the fact that the methodology for identifying local

bull leadership configurations auG poundor studying local politics which we are

perfe~ting can be used to assess local political co~ditions in a large

variety of countries even when the ~nditions themselves differ significantly

Methods of Investigation

The data needed to assess the iDpact of local leaders and mass

participaticn on rural dev~lop~nt fall into two categories Some a~e

contained among the data gathered for the research project we are currently

completing Others will require additional field research

The following data are already in hand

1 Data on the social landscape of each loc~l co~nity i~cluding aggregate data o~ level of econonic development de~graphic characteristics political pa=ticiation eth~ic loyalities and rates of socio-econocic change dur~g the past decade bull

2 Identity of local leaders including both political and I-on-political leaders and both legislators and other politicians

3 Perceptions of existiag probl~ and their possible solution a~ng

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general public local leaders and civil serv~nts

4 Level of political kno~ledge among local citizens and local political leacers

5 Political and social values a~ong local ci~izecs and local political leaders

6 E~~ectacions of leadership roles among the local public and elected and non-elected leaders

7 Patterns of co~unication ~ong local leaders and between local leaders and the central gove~e~t

These data ~hich ~e already have in hand can be subjected to analyses

which ~~ll provida the foundation for our further work on rural develop~ent

projects A part of our work therefore will consist of fu~ther analyses

of existing data

New data of the following kinds are also required

1 Doc~entary data on the origin and evolution of particular smallshyscale develop~cnt projects in the rural areas

-2 Data on project costs boih ~itial invest=ent and recurring

operating costs and data on project ou~puts ie pupils in schools Ddles of road coopleted nl~ber of hospital a~ssions production of factory agricultural productivity

3 Data on project organizatio~ n~~r of local inha~itants participating in establis~~ent of projectt nuober of local L~habitants subsequently involved in project

4 Data-on the pe-cetion of projects by local leaders emers of the local public a~d by civil servants data on the perception of how each project ~as initiatec organized who benefitted and what its future implicatio~s are

These types of data will requ~re field work involv~~g both docucentary research

at the relevant ~istries of the central government and in local goverr~nt

authoritieS and inforoal open-ended interviews with local political leaders

elected representatives and other local leaders who~ we had previously ~

interviewed in a s=uctured syste=atic =aoner

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- 18 -

Grant Organizatio~ and T~etable

We propose co undertake the research outlLled above beginning in the

fall se=ester 1977 Dur~g that te~ Professors Barkan and Kim as

principal investio~tors for the neo1 proj ect will contact their collaborators

in the host co~~tries They ~~ll also seek the collaboration of an additional

~rican scholar specializing in rural development with the aic of getting

additional advice on sources of data and suitable indicators for the

~easure=~~t of rural develop~ent projects

At the end of the fall seQester Professors Barkan and Kim will make

a trip to their research sites to disc~s details of the research organization

with their collaborators in the host countries and to recruit student

assistants Tney will devote the spring te~ 1978 to further analysis

of a~sting data at the University of Iowa

The gathering of additional dita L~ the field will begin in the s~er

of 1978 Professors Barkan and Kio will direct this work personally We

eAect that its coopletion ~~ll require three to six months This work ~1

involve the evaluation of central and local gove~ent reports on the

projects uncer investigation extensive on-site observations of the projects

and oen-e~ded interviews with the principal participants Our principal

respondents ~i1l be the local leaders and elected representatives we

have previously identified in the localities in which we have worked and

a sacple of active participants in the particular dpvelopment projects

being studied ~~ere necessary and apropriate surveys of the general

public will be uncertaken to assess the inpact of a given project on the

rural por)r We do not however leed 0 conduct systeAlatic sample surveys

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- lY -

of the rur~l population as We did in 1974

In the organization of this research project we intend to reconstruct

the rese~rch tea=s ~e e=ployed during 1973-75 We shall again seek the

co11abo=~tion of P~ofessor Sc~~S-7o~g Pai of Seoul National University ~

Professor IIiCr Turan of the University of Istanbul and Professor John J

Ok~u of the U~iversity of ~arto~ S~ilarly w~ contemplate directing

the field research fro~ he same acade~ic research organizations we previously

used Seoul National U~ive~sity th~ ~~iversity of Istanbul and the

Insti~ute for Develop~eut S~udies University of Nairobi As before we

will tra~ students f~oo these institutions to serve as interviewers

The analysis of the open-ended intervie~s and of docUQentatio~ on

I ~ural develop=e~t projects will be a ~ore t~e-co~s~g process than the

analysis of closed intervie~s It will reqrire a high cotnittl~t of time

fron the principal investigators )e e--pec to hold a conference at the i

U~iversi~y of Iowa 3lO1g all the principal )clticipa~ts in the resea~ch

project d~=~g t~e spr~g 1979 to evalua~~ the newly collected data

le e~ pect to be able to vr-ite reports of t~ results during the Sl1~er 1979

(see Figre 3)

IV LlX-GS ~1) U~ILIZATIO~

At the e~d of the grant period the Uti ersity of Iowa will be able to

1) advise the Agalcy 01 the design of s~l-scale rural projects to assist

the rural poor 2) provide guidelines for social soundness analysiS of

small-scale projects for the rural areas of U)Cs 3) consult w~th the

Ag~tcy 01 the evaluatiol of rural projects ~d 4) provide LDe governments

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)ATES

~lll

1977

~inter 1977

iprilg 1978

il mer 1978

~all

1978

ipr~ng

1979

Imiddoter 1979

University vf Iowa

Plutlning of rural develo~rent project

Barkan Kil

Alalysis of existing data

Barkan Kia

Data processing

3arkan Kin

1

I

- 4 -

Figura 3

GRAT TLfETABLE

SIT E S

Kenya Korea Turkey

Preparation of field research ural developH~lt project cOlisulta~io~ a research sites

BarkanOku=u Ki~Pai Tura~rkanKi~

Preparation of field resea-ch

Tural

Field research on rural cevelop~~t projects Bar~lOk~u Ki=Pai Turan

Co=pletion of Co=pletion of field resear~~I~ fiald researcr

Ok~u i Pai bull

f Coopletion of field research

Turan

Data analysis conference a~ong all princial i~vestigators at Un~versity of Iowa Barkan Kil Oku=u Pai Turan

Co=letiol of r~ral develop~ent

project

3arkan Kiz

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I

- LL -

~ith speciali~cs o~ ru~al developcect ~mong their own citizens ~ho ha_

partcipatcd ~s collaborators in the Iowa projects

In the proposed project we Will test a series of hypotheses cOlcerning

the political cOllditions of rural develo=ent which run counter to CODOn

assuoptions conccrnir3 t~~ influence of rural politics on project effectiveness

As a result ~e ~dll be able to assist the Agency in designing and evaluating

such projects froe the point of V~~W 0 their political viability The

hypotheses We will test sugges~ t~at the patron-clie~t relations existing

in the local politics of zost LDCs are not necessarily i~pedients to rural

develop~ent but are aspects or the political structure which cal be used to

facilitate s~ll-scale ru=~ projects which will raise the standards of

living of _ ~ rral pomlation - As ~ result or our stuey we expect to be

able to P~-O~t the local leadership confi5~rations ~4d the relationships

between local leaders ald rural poclations ~nich are oost conducive to I

successful develcp=en efforts We believe that we will be agtle to perfect

a cat~odology for identifying the political conditions for rural develop~ent

one ~hich is transferable pound~oo the countries we have specialized in to

other LDCs

We proo~ to develop specific guidelines to assist administrators

charged with selecting evaluating and =onito~ing rural develop~ent

projects to ~szess t~esc rojects in tares of their-social and political

viability he outco~e of such projects is dete~ned not only by the

efrectiv~nass ~~=h ~hich they use scarce econo~c resources but by the

~~er L~ w=ich they e~gage the suppprt of local leaders and rural

po~ulatiocs~ by thei= effect ou social a~d econo~c equality ~d by

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- 22 -

their consequences for hwan rights ~Je plan to establish criteria by

middot~hic~ the probable outco~es of projects in these social terms can be

anticipatec

The study ~e propo e will be undertltlken by faculty at the Cniversicy

of lowe in collaboration with faculty a other ~rican institutions and

institutions in the host countries We will build on the extensive contacts

between the Co~perative Legislative Research Center of the ~niversity of

Iowa end other instituions with ~aich ~e have worked One =ajor result

of our collaborative study will be the existence of a net~ork of compe~ent

scholars both in this country and overseas experi~lced in ~orking together~

shar~g a co~on teaching and training experience i~ close contact throu~~ the

effective publications progr~ developed by the Co~parative Legislative Research

Center T~e e~~ertise of this group of individuals will be ava~lable to

oteer scholars to the Agency and ~o L~C governments for specific policy

advice The eXertise developed as a consequence of this project will

extend beyond the ~tionals of the countries ~volved since the univ~sities

engaged in ~e project attrtct stude~ts fro outside heir own countries

For ey~=ple the teaching ~d research progra in the Depar~ent of Political

Science 0 theUniversity of Istanbul heavily affected by the participation

of its facul~y ~e=bers and graduate students in our projects attracts students

throughout the ~middot1iddle East for Whom the University of Istanbul is the iajor

institution ~pound ~igher education in the region rne Institute for Developmen~

Studies is si=ilarly a focal point for students and faculty in East and

Central Africa Seoul ~atiocal Unive=sity attracts students froo other

Asia~ co~tries~ In this way the capability developed among the participant$

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- ) -

in our work is diffused widely To the exte~ that the abili~y to assess

rural develop~ent p~ojects in teres of their social soundness is increased

both in the United States and in ~o~~tries r~ceiving develop=en~ assistance

the cap3~ity of racipien~ countr~es to absorb aid is ~creased

We propose to draw up an inventory of personnel available in ~~e

Cnited States and in other co~~tries who are able to consult with developen~

a~nistrators on the design of rural development projects and on their

evaluation We ~~ll draw first of ai~ on individuals w~o have been

directly associated with our ~ork in the past or on ~he proposed project

and ex~~~d the list to include graduate students and gove~ent officials

with who~ these individuals have wor~d

tole Yill utilize tha existing publication program of the Center

dercribed above to disse~inate our findings The Center has specialized

oailing lists of interested individuals and institutions in all parts of -i

the world and its reports can trerefore reach the ~st relevant audience

jirec~ly ~d re~~arly

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CONTRACfjGRANTCOOPERATIVE AGREEMENT DATA SHEET

INSTRUCTIONS fjDW Complete 4 copies of the form Original SERCMSDSUP Statistical Section Copy Copy 2 SERCMSIiUP dministrative Copy opr 1 Contracting Officers COy COP) 4 SERCMSDSUP IUmin (Suspense) Copy

Missions Complde 2 copies oi the form Origin31 SERCMSDjSUF- Statistic31 Section Copy 3n~ Copy 2 Nill be ret31ned in the Missions

PART fA

ConU3lttorGranrce Name

University p~f~I~o~wa~ __ -r~ ____ ~~~~ __________ -~~ __ ~~~ ______________ ~~~~ Plorr Numt-er ApptopriJtion Number Allotment Number Project Number

930-0090-3Q13411 A5 72-111l0216 146-30-099-00-20-11 930-0090 Project Title

So~ia1 and Potitica1 Aspects of Development - Conference to Report Research Findings Amount of this Plorr I Projecl M3nagers Name and Offire Sytlbol

$10397 (increase) PDPRCP Jonatlan Silverstone Contr3ctors D-U-N-S Number

Ncgwatocs TYJlCd~3meJ j) Signature I l ~ jIf- bull G HtJ--ft u l IVmiddot

D~e

L - f - J ContractGrant Officqs typed Nailllt Signalure LJ d I -r-

plusmn t 3i-alflpta (( BLvle~ 1 I~ PARTm

ContractGranl Number

AID CSD-3294

Effeclive Date of Docum~nl Signalltre D3t~ of Documenl

Lf---C yen-~-gl tIost Courtry Institution (U iwrsity contract ONL Y)

Campus Coordinator (Uniwr ty i contract OiiL YJ

PART UL Descriplion of Cor-tractGrant P1use X ONL Y ONE item under each headiZg IF THEltrease CifYmC~e bolh ges I 30~~ O~ Nol to be completed for Amendmenl or Modlfic3lion AJigtns I III

J 710gt I I V ~ I

MOl - TYPE ACT A~ 0 G unsolicited Propsll (AIDIR 0 C Individual (Non-pe~nal senice)

~ O Cortra lGrantl ooperative Agreemenl 73101-SO(b)(6raquo 0 D Individual (ftrsonal Service)

tJl T3sk Order ( A)middot 0 H Procurement 10 be Perfocm~d by the Conmiddot 0 E UniversilyOther FAuC3lionailnSlitulions

D 2 Work Order (IQC) Ira~lor in Person (AIDPR 0 F Non-Profil Organizationlnslitutions (other

D 3 Delivety Order (Requirements) 73101middotSO(b)( Iraquo than Ed or PVO)

[j 4 Purchase Ordcr [J I Sole Source (AIOPR 7-3101-SO(b)(4)) 0 G Private Volunury Organization (PVO)

If I 2 or 3 1Lle an ~ compllle M 12 ON Y D J Imp3irmenl of Foreign Policy Objectiws 0 H International Agricultural Research Organj-

M04 - CONTRACTGRANT TYPE

o O MOA (BOA BMA etc)

o I Fixed Price (Specify fFP FPRD FPEPA FPI) _____ _

(gtIDPR 7-31 OJ SO(b)(7raquo

OK B(a)5eJection (FPR 1middot1713-1)

o L Grant iH1ndlOok 13)

o M Do Nol Ue

D 2 Cosl Reimburemenl (S~cil) CR CPFF 0 N Cooperative t~reement (Handbook 13)

CS CPAF CPIF) ~ 0 O Small Business SeImiddotAside (FPR 1middot1706-8)

o l Cooperative Agreemenl ~ 0 1 Overseas Procuring AClivilies (AIDPR

04 Grant Gener31 Supportmiddot 0U ~ 7lIOI-SC(b)(2))

o S Granl - Specific Support ~ ~06 E SER VICE

g ~ ~~t ~~(d) ~~ ~~ ~ eci~a~~~~~ogram Projeci

o amp IQCs ~ ~ relampted excepi A amp E Services)

o 9 Host Counlry ContraclGrnnt 5lJ C amp E Services

middotComplele ONLY through ~Sl ~~ 0 D Construction

M05 SELECTION PROCEDURES 0 E- Reseuch

o A Formally 3dverliscd (IFB) (A1DPR 7middot24 amp

FPR 1middot24) ~ o B Negoli3ted Price Compelilicn Gencr31

Procedure (RFP) (-JDPR 7456)

Dc A amp E (AIDPR 7410)

0 D Ed Inst andor Inl1 R~arch (-JDPR

74 5)

o E Collaboratoe Assisunce (IDPR 7458)

C F Predominant Capability (IOPR

73IOI-50(b)(l)

AID 1420-49 (179) - Page I

D F Technical Services to AID (other than trainmiddot

ing usually o~ating expense)

D G jraining SetVice for AID

o H Equipment Materi3J~ Supplies Commodities

D I Translation Service

~07middot TYPE CONTRACTORGRA-nEE

o A Firmmiddot AU profil-rn3king fUms (other than

Aamp E)

J e A amp E 8r~

zalion

o Public Inlmlational Organizations (UN

Agencies ICRC Wocld Bank elc)

(H8 J 3 Chapt~ S)

M08- TYPE AW~RD

o A S8 Sel-Aside - Awarded to Non-Minority

o B S8 Set-Asidemiddot Awarded to MinXity

o C_ S8 NOI Set-Aside - Awarded to Non-Minority

o D S8 NOI SeImiddotAsidemiddot Awarded 10 Minority

o Eo amp(a) S8A Awarded to Non-Minority (Womerl-

Owned Veterans etc)

o F 8(a) S8A Awarded 10 MinorilY

o G Personal Sen-ice ConlrdCt bull Non-Minority

o H IeJSDnal Service Conlract - MinorIty

o I Individual NonmiddotPersonal Service Contraci -

NonmiddotMinority

o J 100Jigtiduai NonmiddotPersonal Service Contracl -

Minorily

o K NOI Small Business (Univ NonmiddotProfit Large

Firms) Non-Minorily

o L- NOI Small 8usineSl (Univ Non-Profit Large

Firms) Minorily

o M US Govcrnmlnt

(Connnued on Page 2)

BEST AVLABIE DOCUMENT 1 I

--

ua ) R I GI NAL 9 bull

MODIFICATION or GRANT PAGE 1 of 2

AH 1 2 Effective Date 3 Grant No 4 Effective Date

Amend_at Ro 5 April 15 1981 AIDCSD- 3294 8-11-71

-s CRANTEE (Name and Addrea) 6 Administered by -Professor Gerhard Loewenberg -Office of Contract Management Cbrnparative Legislative Research Gente Central Operations Division Dept of Political Science am Branch University of Iowa Agency for International Developn~nt Iowa City Iowa 52240 Washington D C 20523

7 PIO No 930-0090- 3013411 A5 8 Previous PlOTa -

Appropriation No 72-11110216 93i-1l-995-l36 930-11-995-136-73-3078103

Allotment Symbol - 146-30-099-00-20-11 wunt Obliga ted by this ~ndrnent - $10397

The above numbered Grant is hereby modified as follows

1 Anotmt obligated prior to this rurendment 2 Amount obligated by this amendment 3 Total obligated anount (1 amp 2)

Delete the amJmt $465000 and substitute in lieu thereof the ammnt I$47S 39-7 ~

FUNDS AVAIrABm

~~ - APR 13 1981

PrO~A~~5iors

$465000 $ 10397 $475397

OffiCE Of fIN~(1 ~~rE~E~T __ _ 10 This amendment 11 entered into puruant to the authority of the Forelgn

Assistance Act of lS~l as amended Except aft hereln provided all terms and ~~ndi~ons nf the grant rcferpnccd in Block 13 remain unchsnged and in full force and ~ffcct

11 original and six Crantee 18 requlred to aign thh document aad return 1- eopics to issuing

ffiee

~~~ or printed) BUSINESS MAHAGR amp bull

Tille TREASURER

UNITpound) STATES OF AHERICA AGENCY FOR INTERNATIONAL DEVELO~NT

BY_-1(1o-_1lt--= 13middot~_1_~ __ K R B1uteau

(Name typed or printed)

Tltle~ ____ G_r_a_n_t __ O_f_f1_c_e_r ____________ __

D3tC APR 2 J 7997 Dolt 9 APq 1981

BEST AVAILABLE DOCUM NT ___ 0 HLGlNAL - I 1 J 1 ~ )

- 2 -

AID ftmds in the am)tmt of $10397 are hereby provided for the activities lmich are described in your proposal (including Budget Stnmnary) entitled CDnference to Report Research Findings on the Study of Political CDnditions for Effective Small-Scale Rural Assistance Projects in Kenya Korea and Turkey dated February 17 1981 and made a part of the Grant b reference

BtTDGET StMMARY

Line Item

Travel

Per Diem

Other Direct Costs

Less existing 211 (d) grant funds

Total Amount Obligated by this Amendment

Estimated Costs

$ 5888

5100

_ 2500 $13488

_ 3091

$lO39

Note Indirect costs or $395086 associated with these activities will be contributed by the University of Iowa

BEST AVAILABLE DOCUMENT

~RIGINAL

- CONTRACT IGRANTCOOPERA rIVE AGRElEMI~ SERC~SDSlP Actio) Monitor

SERCMSDSUP Action Office

I

INSTRUCTIONS AJDW - Complete 4 copit of tlh fonnmiddot Orisina iCMSDfSUP Sutistical Section COP)middot Copy 2 SERCMSDjSVP Administrative CoP Copy 3 Cont-acting Officers COP) Copy 4middot SOSUP Admin (Susptnse) Copy Missionsmiddot Complete 2 copies of the form or~aI SERCtSDSUP Statistical Section Copy and Copy = wiU~ retained in the Missions

0 PART IA

Effective Date of Document tJ

Delivery Order (Requirements)middot

o 4 Purcluse Order

bull If I 2 or 3 have an bull X compl~te M I 2 ON L Y

M04 - CONTRACTGRANT TYPE

o O MOA (BOA BMA etc)

o 1 Fixed Price (Specify FFP FPRD FPEP FPI) ___ _

o 2 COli Reimbursement (S~cifY CR CPFF CS CPAF CPIF) ______ _

o 3 Cooperative Agreement

o 4 Grantmiddot General Support

o S Grantmiddot Specifi Support

o 6 GraDt 21 led)middot

o 7 Do Not Use

o amp IQCs

o 9 Host Country ContractGrant

middotComplete ONLY through M 5 1

MOS SELECTION PROCEDURES

o A Formally advertised (IFB)(AJDPR 7middot24 amp

FPR 124)

o B Negotiated Prire Competition General

Procedure (RFP) (AIDPR 7456)

o Co A amp E (AlDPR 4 I 0)

o D Ed Ins andor Intl ReStalch (UDPR

7457)

o E Collaborative ASSistance (AIDPR 7458)

o F Predominant Capability (AIDPR

7-310l-50o)(3)

AID 142049 (1-79)middot Page J

o H Procurement Co be Performed b~ the Conshy

tra~tor in Person (AlDPR

7middot3t OI-SO(b)(Iraquo

o I Sole 5gturce (AIDPR 7middot3101middotSO(b)(4raquo

o J Impairment of Foreign Policy Objecdv~

(AIDPR 7middot310 ImiddotSO(b)(7raquo

o K 8(a) Selection (FPR 1middot1713-t)

o L Grant (Handbook J 3)

o M Do Not Vse

o N Cooperative Agreement (Handbook 13)

o O Small Business SetmiddotAside (FPR 11706-8)

o P Overseas Procuring Activities (AIDPR

7middot3101middotSO(b)(2raquo

M06middot TYPE SER VICE

o A TtJining of Participants

o B Technical Assistmce (Program Project

related exc~pt A amp E Services)

J C A amp E Services

0 D COltl~ruction

0 E Research

0 F Technical Services to AID (other than trainmiddot

ing usuaU Y operating ex pense)

0 G Training Service few AID

0 H Equipment Mat~rials Supplie~ Commodities

0 I Translation Service

07middot TYPE CONTRACTORGR TEE

Firmmiddot All profitmiddotmaking fu-r1s (other than

AampE)

o 9 amp E Firms

I Prcct NumbcT

I

Contactors D-U-N-S Numbcr

I) -S--f(j

o C Individual 0-lon-~rsora1 service)

o D Individual (Pet-sonal Service)

o E University lOt her EduCltionaJ Institutions

o F Non-Profit Organization Institutions (other

than Ed or PVO)

o G Private Voiuntary Organization (PVO)

o H International AgricultwaJ Research Organmiddot zation

o I Public International Organizadon~ (UN

Agencies ICRC ewld B3J1k etc)

(HB J 3 Chapter 5)

M08middot TYPE AWARD

o A SB SeImiddotAsidemiddot Awarded to Non-Minority

o B SB SetmiddotAside bull Awarded to Minority

o C SB Not SetmiddotAside - Awarded to Non-Minoril)i

o D SB Not SetmiddotAside - Awarded to Minority

o E ~a) SBA Awarded to Non-Minewity (Womeli

Owned Veterans etc)

o F 8(a) SBA w-rded 1o Minority

o G Personal Service Contractmiddot Non-Minority

o ~ Personal Service Contnct - Minority

o I Individual Non-Personal Sence Contractmiddot

NonmiddotMinority

o J Individual Non-Personal Service Contractmiddot

Minority

o K Not Small Business (Univ Non-Profit L1lge

Firms) --vn-Minority

o L Not Small BUSiness (Univ NonmiddotProfit Large

Firms) ~inoriy

o M VS Government

(Continued on Pcge 2i

t bull - t ~ J f q

ORIGINAL bull MODIFICATION OF GRANT

1 2 Effective Date

Araendllent Ro 4 12-2-80

s CRANTEE CHace and Addrels) Professor Ger1ard Lo~middot enbelg Comparative Legislative Research Deartment of Political Science The Lnivp-rsity of Iowa Iowa City Io~a 52240

7 PIO No NI A

Appropriation No 72-11XHl26

Center

Allotment Symbol -426-30-099-00-3~-71 Amount obligated by this urendment-O- I

3 Gnnt No

AIDcsd-3294

PAGE _____ 1 _of-L

AlI 4 Effective Date

8-11-71

~ Admlnlltered by -Office of Contract Management Central Operations Division OTR Branch Agency for International Development Washington DC 20523

8 Previous PIOITs -

931-11-995-136 930-11-995-136-73-3078103

9 The above numbered Grant is hereby modified as follows

Supplement to Grant

Change the duration period sentence to read

The Duration Period for this Grant shall be August 11 1971 through December 31 198]

1 Amount obligated prior to this amendment $465000 2 A~unt obligated by this amendment -0-3 Total obligated amount (1amp2) $465000

----------------_- - ------- ----_- ------ 10 Thh lImcndmcnt is entered inlo punuant to the authority of the Foreign

~ Assistance Act of 1961 86 amended Except a~ h~reln Z II provided all terms and condi tions nf the grant referenced in Block 3 remain ~~aunchlinged and In fu1l force and effNt cnltUI cJ)za 11 o 4 J bull

Et~ ai~a gtUoItshyc Z P=u

original and six Grantee t requi red to sign this document and return 1- eopies to 1Bufng

office

~ 12 GRANTEE TES OF AMERI CA

(Name typed or printed) bull

TJlle Director Comparative Legislative liecearell CeQtoQl

Date 12880

------------------------------------

ONAL DEVELOPMENT

By ----~--~~~~---------------------

prinled)

Grant Officer Title --------------------------------

J)oll( 12-2-80 -----------------------------

BEST AVAILBLE DOCUMENT i je

Page 16: PD-Ar3T Cr(~

- 13 -

Six ITe-bers of t1e faculty of the Departent of Political Science

at the Unhe ity of Im-ia are presently engaged in legislative research

To merbers ot the Departllent of History are engaged in research on the

British Parlia~ent L~ the eighteenth ~~d nineteenth centuries Fer the

past six years an adv~~ced se~inar has been offered by ~embers of the

Department of Political Science and the Department of Histo~J on

comparative legislative behavior This exte1sive collaboration iiill

ma~e it possible to develop a fully inter-disciplinary program for the

students ~~d visiting faculty In addition faculty ~emcers in

Scciology interested in organizatien theory and in the College of Law

interested in legislctive processes provide furtber e-pertise ava_ilable

to students interested in tee study of legislative behavior The

presence of these specialists on th~ facult~r is reflected in the

excensive librarJ al1d otler data resources existing at Iowa in this

field

The Uniersity of Ima offers an unusually extensive program of

trainL~g in research methods Four ~e~bers of t~e Department of Politi~al

~cie1ce teach in the field of research nethods Courses jn statistics

ca1 be taken ill the Dep~rtents 01 Sociology e-d Educational Psycholcgy

Llis prcgr6l provides a verJ solid grounding il research training and

data analysis

bEST AVAILABLE DOCUMENT

e ~

- 14 -

Y labCrato~y for olitical Pesearch is the reseacc1 md research

tlairirg facility of the Departe1t of Political Sci-lce Gcadvate

students receivo extensive res~arch experience through 1or~ing in the

La oratory bull The Lacoratoy is also a1 integral part of the trainirg

o~feed in ccurs~ T~middotO~ for graduate students

The full-time sta~f of the laboratory includes a director an

assistant director a t-=cl1ical cirector a supervisor of study

t1hteen graduat~ students - rf1rk in te Laboratoy receivLLg teining i~1

~a~a collecticn ~~i data e~alysis Tbe facili te5 of the La)oratorltJ

icluoe a oard eJcerline printer ccnnected to the U1iversitys

dis~ and tape storF-ze for d~ta

The pogral of trailing ia coparative legislative reseC_cch ~ill

relr heavily en t LaOerltcLJ- for taching graduate stucents Visi tine

fc111tr lYe~bes iill be able to utilize tbe facilities cf the Laboratory

gt IOra ~as sFcial ccrpetence in prOCed~les for

ccq ter ogagtlizetion of d~ta Ja1ks ~d fOi the p~ocGssing of large data

sets as well as iJ the sttdy of naticnsl end st~te legisltllres Tile

BEST AVAILABLE DOCUMENT

- 15 -

Ile Univelsity of 10Ira will eadnister- the Grant thJotg~ its normal

a)1 iristrative char-l1els ad i1 Eccordance imiddotlith its ncrTal olicies and

operatirg procedures 7he Director of the gr~l1t-s~~ported program

Hill be a senior faculty eriOer of the Gniyecsity of IO~-ia -with extensive

expe~ie~ce in the subject field Associate Directors w~tb similar

qtalifications -aill also be appointed 7he Director- and Associate

Directors ~dll serve as eibers of t~e Inter-University Advisory CC1gtr)ttee

established to cooidinate _u bullbull ID gra1t-stpported programs at IOia Dul(e

lniversity a1d the University of Ha- aii Ll1 this field These relatiol-

ships are i~dicated in tee follc~dng a~inistrative organization chart

IX Ul~vsity Ccntri1uticn

T1~ ~h-ersity of IQ(a aSSures ALD that this Grant middotiill not

replace existing ftnds for STr current activity and imiddotrill be additive

to existing prograrrs of tCe lJniversity In direct sp~ort of this

Grat ttc University ~ill provide a) Acmi1istratile costs including

tie of senior officers of ttlt University b) Office ~ld research space

ald library and cor-puttr facilities c) Provision of a1cillamiddotCjr 1niversity

personnel -or consultation o~ ~middotjQrk nth the progral

X Reports end 5evie~-Ts

There i-ill be sub~itt-=i al arnual t2ctnical report for the purpose

of AID s revie- of activities under te Gant Tnis idLl include

a11 e-llation of prcsr~ss aidnistratve ar_c fiar~cial corsicer~tior~s

p~s cr tr foJlJ-middotire ear ~i disctlssics of the ossible l~lizaticn

BEST AVAJLIl8E OOCI1MrNT

~

- 16 -

A~~inistrative O~ganization

Ice Board of Regents of tle State of Im-la

-Iesicent of the University I

1 rOfcst Jf t-3 University

Den College of Liberal Arts

r Chailan DcptiEt of olitical ScieJce

Inter-G~iversity

Acisorr Corcittee

PcgrG21 Director Associate Progra~ Directors

Liaison Arcrge~~nts d ~h I I~~erested Plcfessiona1 I Perso~el j

I _

I 5cu1ti (full or PmiddotLG-tire l Asscci~tes a1d otllei non-Io~il

3ecip5ents of Gr3-1t stPPC1t Gr~cue~~e S t1~lcnts St2~retQi~S1 Data Lbed~1 31

Ln 18 r1icia 1

LO1t c~lce Factcj~1 ts

BEST AVAILABLE DOCUMENT ( ( V-t

- 17 -

of te eo17i~g cCpterce br A I D rLld ethers In addi tion there

aS3essr~ents of the gr31t

middot l ~ lI ~ _ _ _ co~~~r~~ing ~~iversiti~s md tne rrctitoring ALD office

7re l~yersity of Ie~middot~ budget of $26500 is to be deveted to the

cemiddotelgt~e~ of lstituticnal cefete1Ce in comparotive legisl~tiye studies

~t Iomiddota c t~ the exalsi0 ot a date b~L-lt ~ hich 1fill be utilized as

a ecle for icrec3ing te scope of tbe sub-specialty

T - 1 f 1 __ middotja r S Ctdget a9roxir~tly 33- has bee allocated to a

cemiddote Lp~l t rirc ipally C actlty re leased tirre for data ccllection

ai 0 3alres f~r i~~er-ieers in field research 3d secretarial

assi5ta1ce nCt2 11- of t~e Icmiddotre oudge~ is iesignated for an

ArCE_1 A~ite s(101a~middot 2d one 0 ore scnolals froQ LDe or

s1lllrt of greluate stucents in the

BEST AVAfLIlBLE DOCUMENT

- 18 -

Finally approximately 19 of the budget will be devoted to the

proposed data bruL~ that will archive not only data generated from the

research of scholars at Iowa Duke and Hawaii but also at other US

and foreign institutions Primary and 3econdary an~ses of these

data will become an integral part of ~omparative legislative studies

curricula The ability to utilize the data bank for teaching purposes

also should have a significant impact on professional preparation ofmiddot

future legislative specialists In summary the funds will be

allocated to research teaching and training activities tha~ are

entirely conson~~t with the philosophy underlying the utilization of

2ll(d) grants to achieve institutional development

Conclusion

The University of Iowa regards the research and teacbing components

of this program to be closely related an1 zrutually reinforcing The

University of Iowa offers a strong base for the pro~ram because of the

interests of faculty members here now because of their contacts with

scholars in this field in other Americ~~ and foreign universities

because of their experience with the international exchange of faculty

and because of the distinctive data gathering and processing facilities

available in our Laborator~- for Political Research The program which

we have formulated is designed not only to accomplish specific

research and teaching objectives but to contribute to the long-term

development of the University of Iowa in an area in which it has already

exhibited special interest

BEST AVAILABLE DOCUMENT

~ I) - 0

- 19 -

The program on Comparative Legislative Studies with support from

this Grant rill develop the capacity at the University of Iowa to

provide assistance under separate financing arrangements to developing

countries in a number of ways and through a varieiy of channels This

assistance which would be arranged for end negotiated separate~ from

this Grant may be in the form of technical assistance advisory service

training research and information exchange etc It will be available

by mutual agreement to appropriate agencies national and international

public private a~d mixed and directly to the less developed countries

Most especially this added special competence will inevitably become

incorporated through the processes of scholarship and education into

the competence of US and foreign scholars and institutions concerned

with this topic of great significance to the developing and the more

highly developed countries alike

BUDGET SUMMARY

UNIVERSITY OF IOWA

Salaries

Graduate Student Stipends

Fringe Benefits

Travel

Equipment and Services

Other

TOTAL

$173090

32400

19209

13800

6501

20000

$265000

BEST AVAILABLE DOCUMENT

d bull

srjmiddot (~~ jjXilO

IO

rmiddotmiddot ~middotmiddotrl f)~~ 7 middot 1 ~A~~ middot1 rmiddot middot~ rt bull middot bull bullbull I ~ i bull bull ~ middotv- middot bullbull ~ I

1 so bullbullbull l ~--~-- - - ---- ~ V~ i Jlgt ) bullbullbull ~(lr v ~I ( tr_ 1middot-middot 1 bullbull 1

il l~ J

2 c~loto

BEST AVAILABLE DOCUMENT

(C

Dr Willa~d l Boyd Presicient University of Ima iowa City Iowa 52242

Dear Dr Boyd

4 AUG 1977

amp

FIJNDS AVAnASLe CpoundNrftAamp sEIMCEs DMsON

AUG11 ~n te t6417 ~77

Subject bull Supplsectferit-tJF-G~middotNomiddot~middot AIOcsd-3294

t middot-rrPJ1 3

I am pleased to inform you that pursuant to th~ auth~rity contained in

S-cction 211 (d) ooC the Foreign Assistance Act of 1961 as amended a sup

plemental grant in the amount of $200000 is h~reby r~de to University

of rCi1a These supplement]l grant funds areprolided to support the

activities which are described in your Proposal dated May 6 1977 for

the implementation of your program entitled Political Conditions for i

Effective Small-Scale Rural Assistant Projects

---This sup~lemental grant is mace to University of Iowa en condition that

yo~r institution shall administer the funas provided under this Grant fn

accordance lith your r~ay 6 197 proposal (including Budget SUmlilary) and

the Standard Provisions (as incorporated by Amendment No 1) which have

been agreed to by your instit1ltion Ti) the extent of an inconsistency

between the Proposal and the Standard Provisions and any otherprovisfons

which ar~ made a part of thi5 Giant by reference or other~iSe the Sta~d~

ard Provisions shall control

The new Duration Period for this Grant shall beAugust 11 1971 through

August 10 1979

The total amount of funds obligated under the grant is increased to reflect

a new total oblgated amount of $465000

Please sign the Statement of Assurance or Compliance ana the origfnal -

and seven (7) copies of this letter to acknowledge your understanding of

the conditions under which these funds have been granted Please return

the Statement of Assurance of Compliance and the original and six (6)

copies of this supplemental Grant to the Office of Contract Management

Attachment May 6 1977 Proposal and Budget SUfiT1a ry

UNIVERSITY OF IOWA

Roberw bull OBrien fficer

Ce al Operations Division Office of Contract Management

AC~E~E~C--_ 0 BYpoundk~~ cH

D C ~lpoundSTtR5BA T ITL E ( PfeampoidPilt for

tee ment amp Research DATE 9-22 -77 (d~ ~~Bduate Ctl~1e~e

BES i AvAILdLt UOCLJMU~ I

211(d) Grant Program

Proposal of the University of Iowa

POLITICAL CONDITIO~S FOR EFFECTIVE SMALL-SCALE

RURAL ASSISTA~CE PROJECTS

Submitt~Ci to

Civic Participation Division AID

May 6 1977

Amount requeste~ $ 199987

BEST AVAILABLE DOCUMENT

I TdE DEVEIOP~T PROBr~

P~litical Conditions for Rural Development

The Cocparative Legislative R~search Center of the University of

Iowa proposes to ~~dartake a two-year study to investigate the role of local

leaders and the rural public in theimplecentation of small-scale develop~ent

1 projects in less developed countries The study will use and extend the

capacity ~hich the University of Iowa developed under a 211(d) grant to

investigate and assess the impact of loeal politics on rural development

~t the co~pletion of the s~ Iowa will be in aposition to advise the

Agency on the design ~nd evaluation of s~ll-scale projects which will be

politically viabe a~d effective in ass~sting the rural poor ~

As students of development w~ approach our task with the assumption

that the proble~ of development and underdevelopment are funda~entally

ones of political econooy and a~ such can only be solved through a

simultaneous considerationof economic and political factors Efforts

which foc~s aloost solely on economic factors like those of ma~y

organizations engzed in dipersing foreign aid or efforts which focus

almost exclasively on political factors fail to take account of the

interdependence between these two dimensions of underdevelopment and

lwe have for~ulated this proposal in a canner consistent witr the cu~rent policies ard interests of the Agency We have been guided in our tsk by four Age~cy doc~e~ts Impleo~~tation of New Directions in Developnent Assista~c~~~ ~eport to the COmlittee on International Relations on Ilupleoenshytatiun of Legislative Refo~ in the Foreign Assistance Act of 1973 (July 1975) rItevis~d Projec Developiel Review and Approval Systeo (A I DL Circular A-21 Aril 23 1975) SH Butterfield Draft SUIilZ3ry StateUlent of a Practical Agelcy Approach c aural Devalopilelt (AATA February 28 1975) Cicci A Coce~ual Oie=viamiddot middot Rural Development No1 (lWorilting GOU O~ tha Rural Poor February 1975)

- l -

can meec with only l~ted success

Our concern with the i=pact of local politics on the process of

rural developcent is a result of our interest in the basic question of

how LDC governm~nts and the donor agencies which assist them can

become core effective in raising the standard of living of the rural

poor We seek answers to the following aspects of that basic question

1) What political conditions must exist both within rural communities

and between theo and central gove~ents to raise agricultural production

w~ere small-scale agriculture is the do~nant pattern 2) Vnat are the

political conditions for a core rapid expansion of the informal manufacturing

and service sector cocprised of labor intensive small-scale industries

located in the rural ar s 3) What political structures and activities

are mase crucial for the provision of welfare and econocic supporc services--

such as agricultural exeension mar~eting and transportation--to the rural

areas1 4) ~~at Folitical conditions oust exist to insure that economic

growth in the rural areas is not accowpanied by excessive and intolerable

inequalities between socio-economic classes andor between regions1

Center-Periphery Linkage in LDCs

To deter~ne the political conditions for rural development we have

in previo~s s~udies exacined the institutions and processes through which

rural populaticns are integrated i1to the national politi-cal systetlS of

middot~he countries in which they live A gap exis~s in most less developed

countries bet~een the peasantry residing on the periphery and the c~~tral

political ~stiutions staffe1 by ~~estern-educated bureaucratic elite

We are aware of the other major ~sti~utional discontinuities which comprise

J

4 middot~~1 the basic cleavage between the developed and underdewmiddoteloped sectors of

these dual societies Bridging these gaps is essential if these so~ieties ~ are to develop into viable nation states For until those Q~ the periphery

of the poli~ical syste~ participate in that system and support and comply

with the authority of central political institutions neither economic

development in ~he rural areas nor a stable polity will emerge

Bridging the discontinuities in these new political systems requires

establishing and institutionalizin3middot1inkages or networks for co~unication

and exchange of resources between decision-makers at the center and the

rural public on the periphery Three types of institutional linkages are

most prominent in less developed countries 1) those conSisting of the

state administration composed of the bureaucratice1ite 2) those consisting

of a revolutioncry political party cocposed of the ideological elite

3) and those conSisting of patron-client hierarchies composed of the political

entrepreneurial elite

Of these three linkages consisting of the state administration are

the cst extensive and pervasive in virtua~ly every LOC Such linkages

however exist primarily a~ instruwents of the center to penetrate the

periphery Central government officials are formally charged with bringing

develo~ent to the people This is a ~issi~n which conceives development

as a process ~hrough which a traditional peasantry is transformed and

assimilated iJro the DOdern center which is steadily expanding to embrace

it Agents of the center invariably have more resources to achieve their

objectives than do local political leaders but because they are frequently

strangers~ the communities in which they function they are often unable

- It -

co implement the policies of the center without working through the

local establis~ent

Though somctices significant linkages consist~g of revolutionary

party organizati~ns such as those found in China and Vietnam do not exist -

in most IDCs beca1Se of the special historical and e~omic conditions

required for their development As wi~h the administrative state however

the linkaampe apparatus of such political patties is prUlarily an instrument

of the center whose mission is to penetrate and mobilize those onthe

periphery

In contrast patron-client hierarchies are linkages which represent

the periphery at the center and mediate betwee~ these two disparate

sectors of the political systec Thcugh norcallymiddotovershadowed in scale

by the state administration patron-client hierarchies are found in almost

~very LDC a~d constitute the ~st significant network through which rural i

populations and their leaders influence the decision-~king process at

the center Patron-client hierarchies exist in a wide variety of org~iza-

tional fores ranging from info~ ~ec~~rks of individual olitical leaders

in uno-partyll systelS in S~b-SaharaI4 Africa to extensive political machines

in both one-p~rty (Africa Mexico) and ~u1ti-party systems (Turkey India)

Despite their importance as the pricary means through which peasants in

LDCs particiate in their political systems patron-client hi~rarchies

have only recently become an object of analysis by students of political

developent and do not appear in even the most sophisticated studies of

2 See Jo~ Dunca owell Peasant Socie~y and Clientelist Politics Aerican Politi~ Scielce Revietol 64 (June 1970) pp 411-25 Rene Lemarchand anc_ Keith Legg olitical ClienteliSJ and Ethnicity in Tropical Africa Aierican Political Sc~ecce ReView 66 (Y~rch 1972) pp 68-90 James C Scott PatronshyClient Politics a~d Political Change II 1tlerican Political Science Revie~ 66 (~arch 1972) p 91-113 and Friends Followers and Factiols bull edited by Steffan Sc~~d and James C Scott (Berkeley UniverSity of California Press 1977) bull

- 5 -

3 economic development Ad~niscrators of developmental assistance progracs

have too often regarded patron-clienc hierarchies as ~ped~ents to

develop~ent instead of recognizing cheir potential utility bull

~ Findings on Patron-Client Hierar~hies --

The importance of pat~on-clienc hierarchies for linking the periphery

to the center is one of the major findings ~erging from a study of the

relationships betueen l~gislators an~ their constituents in Kenya Korea

and Turkey ~hich the Cowparative Legislative Research Centpr is nov

comleting uader its 21l(d) grant from AID This study has av~mined the

creation of linkages between the periphery and the center through ~ore

than lO~OOO interviews with members of parl~ent local leaders and

peasants in t~e three countries The findings are being systewatically

set out in a book-length monograph Nearly a dozen research reports have -

uready appeared (see Appendix C) ipropositions about the nature of

political behavior of rural populations an~ the roles of local political

elites de=ived from the research~ can be s~rized as follows

1 Elected representa~ives play a significant role in the creation and mainte~ance of linkages be~een the center and periphery by developing local political achines in which they function as patrons of their constituents In turn thay s~rve as clients of political leaders of national stature who control central government institutions

2 By atte~pting to establish linkages based on patron-client relatio~shi~s elect~d representatives are responding to public expectations chat their prizary duy is to obtain resources from the center to proffiote local develop~ent ~iany elected repLesentatives spend most of their time on self-help co==unity development projects such 3S the building of schools health clinics irrigation works arid roads because such projects provide

3For exa~le ~ a widely respec~ed a~d useful analysis of rural deve16p~ent in Sub-Sahara~ Africa L~ Lele of the World Bank notes the problems of creating an adoini5~raive infrastructure in the rural areas that is sensitive to local socio-oliical conditions She does not however consider how local leaders operating o~tside of adcinistrative structures ~ night contribute to the developne~t 0 the rural areas See ~~ Lele ~ Design ~ Rural Develop~ent Lessons ~ Africa (Balt~re The Johns HopkiD~ Uciversity Press 1975) r) pp 127-61 i ~

- 6 -

their const~tuents with desired se~ices ~~d a= the sa~e time provide the reresentatives with an orgacization Yhicn can be used as a political base

3 l-tore than 90 perCel1t of the rural population is capable of articulating the p~oblems facing their local co~~ity and two-thirds discuss th~e proble~ w~th their fellow citizens on a regular basis

4 Three-q~rters of the residents of the rural areas can identify the public ofpoundici~s who serve thec--both civil servants and elected represcrtatives--by na~e Most are knowledgeable about the activities of these officials Alcost one-fifth coreover have discussed co~~~ity probl~ ~ith these officials particularly those working at the grassshyroots level Residents of rural villages actually have a higher level of political knowledge than their counterparts in the towns

5 Elections in the rural areas evoke a highly rational attern of voti~g despite the effects of ascriptive or traditional co~siderations Inc~ens are pri~rily evaluated in terms of their record in fulfilling the public r S elpectations of what they should do Elections are essentially referenda on inc~entsr perfo~ce especially their perforwance in the area of constituency servi~es such as bringing development projects to the districts bull

6 Local developcent projects have a relatively high s~olic value generating conscitutency support for local leaders and the central government at low cost

7 These projects help huild a local political infra-structure which can also be utilizec by central govern~nt civil servants to implement other policies designed to achieve rural develop~ent bull

The Icpac~ of Local Politics on Rural Projects

Having explored the developtent of linkages through which the periphery

is represented at che ~enter and through which the periphe~ attemp~s to

share in the ceners resources we now propose to build upon our initial

investigations by e~ing in greater detail the impact of local political

conditions on specific problecs of rural develop~ent We propose to

exacine the develop~ental activities of local leaders ~nd the rural public

by eX2~Ding a saple ot fifteen to twenty smalL~scale developwent projects

in each of ~he three countries which constituted the sites for our initial

8ESI AVAILABLE DOCUMENT 1 ~ - of

- 7 -

study of center-perhiphary relations The appropriateaess of this approach

and the ~ethodology through which it will be ip~emented is discussed in

section II Because the ~ethodology of investigation is in large part

the result of our previous research experience we fizst turn to a revieW

of the existinQ __ ~petence of the Comparative Legislative Research Center

in this area

II GRAXTEES EXISTIXG CmET~CE

In 1971 the University of Iowa received a 211(d) grant to develop

its capacity to do research on the role of elected represent~tives in

the process of modernization On the b~sis of this grant the University

established a research center which planned and carried out a research

project on the role of elected reres~~tatives as links between the central

gove~ent and rural populations in K~ya Korea and Turkey The project -i

served to develop t~e University of Iowas research capability in this

field esa~lished ties between the University and scholars in the bost

countries and generated a large and uniqu~ body of relevant data

In that project we fo~ussed our attention on tbe activities of elected

representatives in their constituencies notably in their contacts with

local political leaders voters and civil servants To determine tbe

nature of the linkage function performed by tbe representatives we

designed our research to explore the subject from three perspectives

1) we eXaojned ~~a ~ubject at tbe grass roots by conducting a series of

sample surveys of 200 to 300 adults in each of 12 to 14 parliamentary

constituencies in each cf th~6three countries 2) we examined the subject

at the center by intervie -ing MIls from the constituencies in which we

had conducted S3mple surveys ~nd higher civil servants with whom they

had contact and 3) ~e ex~~ined the subject from an inter-~diate level

by identifying aud ~terviewing local social and political leaders in

the MPs constituencies We used survey research methods because we

were embarking on the study of an entir~ly new subject for which little

relevant docu=e~tary data existed and on which there were few secondary

sources As a result ~e have unparalleled experience with survey

research in the rural areas of less develo~ed countries

The surveys which constituted the cajor part of our field work were

planned in collaboration ~~th scholars from the host countries They were

carried out in each constituency by student interviewers in the appropriate

language ~re than 10000 respo~dents were inteDViewed for the project

Given the visibility and sensitivity of this undertaking approval for

the research was sought and obtained from the host governments prior to -i

the collec~ion of data ~o objections were raised by these governments

at any stage of the research The data obtained have been made available

to scholars i~ the host co~cries and some of the basic findings have

been published in periodicdis in these countries

The Comarative Legislative Research Center ~hich ad~nistered the

project has aisO developed extensive experience in the study of political

leadership in other countries It h3s obta~ed substantial support from

the Fo~d Foundacion and the Rockeeller Foundation has worked in

collaboration ~~h European as ~ell as Asian and African scholars and

is engaged in a ajor study of the role of elected and non-elected leaders

in the oanag~~t o~~ocial conflict Because it has conGucted research

in a variey of setlngs the Center has an ~ceptional capacity to

- 9 -

determine how the relationships be~een political institutions and

economic p=oble75 differ in develoPed and less developed countries

In the course of the major research projects the Center has administered

it has gained highly specializpd ~p-i ce iI identifying 1Olitical leaders

in a great variety of settings conducting systematic interviews with

them collaborating with scholars in the host countries and in coding

and utilizing large files of data to answer specific research questions

The Center has ~lso undertaken to publish the results of its research

in three fores It issues codebooks to the data enabling scholrrs at

other locations to use the data expeditiously i~ publishes research reports - in the form of Occasional Papers and it publishes a scholarly periodical

devoted to the presentation of research findi~gs to an inteIT~tional

audience

The Center utilizes the data ~ysis facilities of the Laboratory

for Political Research of the University of Iowa and drawS on the unusual

n~er of secialists in comparamptive politics and survey research in

~~e Lniversitys Departmen of Political S~ience The Center itself I

has the services of an administrative secretary and a clerk-typist

~intains its~o~cn extensive archives and its o~~ publications program

It is e~uipped to assist scholars and government officials outside the

t~iversity of Io~a The participants in its p~ojects are full-tioe

faculty ~e=bers ~hose undergraduate and graduate teaching is closely

related to their research As part of the teaching program the Center

has attracted students from the countries in which the research projects

have been conducted these students have participated in the projects

bull J

have obtained training in other fields of political science have received

University of Iowa degrees~ and have ret~rned to teach and to do research

in their own countries

III PURPOSE OBJECTIVES AID METHODS

Purpose of Study

The purpose of the proposed grant is to extend the capacity of the

University of Iowa to determine the political conditions in the rural

areas of less developed countries which favor the establis~ent and growth

of small-scale developoent projects ~e objective is to put the University

of Iowa in a position to assist the Agency in designing small-scale rural

developent projects providing guidelines for carrying out social soundness

analyses of such projects and adviSing in the evaluation of projects

We will discuss the utilization of~t~e Universitys capacity in detail in

section IV below

We propose to concentrate our investigations on the political conditions

surrounding s~l-scale ru~al projects Such projects have distinctive

advantages They waximize the political participation of the rural populations

both in det~~-ining the direction ~d implementation of develop~ent efforts

and in defending the interests of periphery vis-~-vis the urban-based

bureaucratic elite S~ll-scale projects stimulate entrereneurial activity

on the part of the rural citizens and growth of the info~l canufacturing

and service sector Tbey require less lead tice and less administrative

c~erhead to ~eco~e operational than large-scale capital-intensive projects

centrally administered Such projects yield rapid and direct benefits to

1

j

the rural

- 11 b - ~~1

populations and are consistentwith their hUIlaD rights--both

political and economic However~ small-s~le projects pose s~ecial probl~s for administratcrs of developceocll assistance progracs because

they require the donor co assess the local olitics particularl the

rural politics of t~e host country

Develop~c adoinistrators pr~rily conc~rned with assisting rural

populations must therefore recognize the range of political variables

affectL~g these projects Small-scale projects offer great opportuoities

for develop~ental assistance progr~ because they can be easily targeted

to help rural populacions require low capital costs and need no be

concentrated in one or two localities Such projects ho~ever~ ~equire

the a~istrator to have ~re political kno~lecge than large-scale

projects Oil which his priJlary tas~ is guiding the work of other experts

Questions for ~Investigation

To detercine the politi~al cc~diicilS ~st conducive to ~he establ~~ent

and gro~h of scalI-scale rural projects ~e propose to address our inquiry

to the following specific questions

1 To what extent and why co local political leaders seek to establish s~~l-scale develop~ent projects within their co~unities

2 To what extent and ~~y do local leaders other than politicians initiate andor provide leadership for s=all-scale developm~t projects

3 Bot do the relations bet~Jeel different types of local leaders (political and non-political) and bet~eeo these leaders and central gove~ent civil servants posted to the rural areas affect the conduct of develop=ent projects

4 How do existing authority ~eLationships between these different leadership grous and the rural pub~ic affect the organization and operation of s~l-scale develop~ent projects

- 12 -

~

5 lhlt is the nature 0 pclgtlic participation in the establishlent and operatio~ of s~l-sclle projects and ~hat are the outcc=es or this participatioe Gucer w~at conditions is such participation ~ost likely to occur

We seek a~swe=s to t~cse questio s L order to determine the effect of

different co~iigurations of local leadership and public participation on the

outcomes or small-scale rural projects te are particular1y concerned with

the ~pact of these configurations on the rate of econocic growth and the

distribution o~ rIGSlth ithin the loal cOlllUlity ~ on the perce~tions of

s~ll-scale proj~cts by central govern~ent per~oncel and the rural public

anmiddot on the organiation or flture projects

To a~swer these que~tions it is oar intention to study the initia~ioD

izJple=enation ald i1lpact of a salple cpound small-scale rural projects in

Kanya Korea and Turley in the sae cOllities in which we carried OU

our initial icvestigations ~ 1973-75 Tne relationships between the -

various conf~gurations of local leadership and public participation and

the three phases of project develop~ant are sho~ in Figure 1 We will

exa=ine projects to pro~ote the adoption of new agricultural techniques

by s~l and moderate landnolders the building of feeder roads irrigation

ditches and other s~ple infrastructure the organization of fa~ers

cooperatives and other local associations concerned with rural development

the establish=ent of rural health clinicS and schools and the setting up

of craft and service industries

Sites for Study

We plan to return to our original set of localities because we possess

a rich body of relevant data on the extent to which linkages exist between

Figure 1

TYPES OF LFLUEXCE OF C2r~ middotGOVER1iEXT OFFCIALS

LoCu LEADERS 0 THE RURAL PUBLI-C OX THRr~

PHASES OF RURAL igtEVELOPHET PROJECTS

r----------~J C~ltral Gover1~nt Official)-N------- - J

r- Local pOlitical leaders

Local non-political leaders

~l 1---- -

ROJECT nITL~TIOS

Influ~ce on selection of projects

InrI ~elce on location of projects

Influence on policy guidelines for proj eCl

Il

I

a

I I

-I PROJECT I~L~~iATIO~ ~ 1

j Project Organizati I Selection of project

leadership

Hobilization of resources

Mobilizatiol of public compliance with project require=elts

Diffusion of project innovation

Rural Public

I

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1 ROJECT IMPACT

Organization of ongoi=g project operation

Distribution of project benefits

Evaluation of project

Public attitudes toward project

-middot14 -

these areas and t~c central p~litical institutions of the three co~tries

and on the attit~es of the rural populacioc local leaders and elected

legislators regardi~g their problecs of develop~~c Since such data

is unavailable for alternative locales a return to the areas in which

we have previously done much research ~ables us to build on a uniquely

valuable body of icformation

A return to Kenya Korea and Turkey is also highly desirable from

the standpoint of effective research organization The Comparative

Legislative Research ~enter has developed close collaborative relationships

with several highly competent social scientists in these countries and

with the academic institutions with which these scholars are associated

We have also dev~_oped cooperative relatio~ships wi~ gove~ent officials

in these countries which should facilicate obtaining approval for our

further work

In proposing to doc~ent the origin i~pl~entation and impact of

one to three s~ll-scale develop=ent projects in each of 35 localities

we have two considerations in mind Firstmiddot because our pr~ry goal is

to deter~e the political conditions for rural developm~Lt we wish to

examine develQ~=ent in as many different settings as feasible Only in

this way can we control for so=e of the major socio-cultural variations

that erist along rural populations in less developed coultries These

include the overall level of econo~c development in the co~unity the

nature of t~e ~digenous culture an~ relationships of authority and the

pro~ty of the comounity to major urban areas and centers of central

gove~nt ad=inistration ~ce our original study sites were carefully

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- 15 - ~ ~1

selected to represent these variations ye have concluded that these

35 localities woule be ideal sites for the propose~project Second~ in order to dete~~~ the ~pact of local leaders and public

participation o~ ~ural projects we intend to compare projects 1n which

local leaders and ~ecbers of the public have played a major ~ole with

projects in which they have not We also ~l cospare projects initiated

by the central gover~ent with projects Yhich have been locally initiated

These considerations give us a typology for selecting projects as depicted

in Figure 2

Figure 2 ~

FIVE TYPES OF RU~AL PROJCTS ACCORDIXG TO ~FLUEXCE OF CEITiW

GOVE~1E~T LOCAL LEADE~ AD RLRAL POULATIO~

Level of Participation by Rural Population

Locus of Project Initiation ~

Local Co=unity Central Governoent

BIGd

LOt

1 Projects initiated by local leaders and providing for participation of the rural ~opulation

4 Proje~ts Litiated by local leaders bu~ not involving participation of the rural population

2 Projects initiated by the Central Govern~ent and administered i~ cooperation with local leaders a~d the rural population

3 Projects initiated by the Central Govemlent and providing =or the participation of the rural population but by-passing local leaders

5 Projects initiated by the Central Gover~e~t a~d administered in cooeration Yith local leaders but not involvi~g parti~ipation of rural population

- 16 -

We recognize that the socio-cultural setting of rural develoment

projects varies significantly within and across less developed countries bull

By focussing o~ a representative sa=ple of localities ~ Ke~ya~ Korea

and Turkey we can take account of naoy~ though not all of these variations

While some of our substantive findings will not be directly generalizable

beyond the countries in which we propose to conduct our study we expect

that our basic ~ethods and fLdLgs will be applicable to national and

sub-national settings elsewhere in the developing world This is partly

d~e to the fact that the hierarchy of patron-client relations ~hich we

regard as a critical factor in rural develo~~t exists in ~ost Liles

--It is also due to the fact that the methodology for identifying local

bull leadership configurations auG poundor studying local politics which we are

perfe~ting can be used to assess local political co~ditions in a large

variety of countries even when the ~nditions themselves differ significantly

Methods of Investigation

The data needed to assess the iDpact of local leaders and mass

participaticn on rural dev~lop~nt fall into two categories Some a~e

contained among the data gathered for the research project we are currently

completing Others will require additional field research

The following data are already in hand

1 Data on the social landscape of each loc~l co~nity i~cluding aggregate data o~ level of econonic development de~graphic characteristics political pa=ticiation eth~ic loyalities and rates of socio-econocic change dur~g the past decade bull

2 Identity of local leaders including both political and I-on-political leaders and both legislators and other politicians

3 Perceptions of existiag probl~ and their possible solution a~ng

l)tS r AVAilABLE DOCUMENT

- 17 -

general public local leaders and civil serv~nts

4 Level of political kno~ledge among local citizens and local political leacers

5 Political and social values a~ong local ci~izecs and local political leaders

6 E~~ectacions of leadership roles among the local public and elected and non-elected leaders

7 Patterns of co~unication ~ong local leaders and between local leaders and the central gove~e~t

These data ~hich ~e already have in hand can be subjected to analyses

which ~~ll provida the foundation for our further work on rural develop~ent

projects A part of our work therefore will consist of fu~ther analyses

of existing data

New data of the following kinds are also required

1 Doc~entary data on the origin and evolution of particular smallshyscale develop~cnt projects in the rural areas

-2 Data on project costs boih ~itial invest=ent and recurring

operating costs and data on project ou~puts ie pupils in schools Ddles of road coopleted nl~ber of hospital a~ssions production of factory agricultural productivity

3 Data on project organizatio~ n~~r of local inha~itants participating in establis~~ent of projectt nuober of local L~habitants subsequently involved in project

4 Data-on the pe-cetion of projects by local leaders emers of the local public a~d by civil servants data on the perception of how each project ~as initiatec organized who benefitted and what its future implicatio~s are

These types of data will requ~re field work involv~~g both docucentary research

at the relevant ~istries of the central government and in local goverr~nt

authoritieS and inforoal open-ended interviews with local political leaders

elected representatives and other local leaders who~ we had previously ~

interviewed in a s=uctured syste=atic =aoner

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Grant Organizatio~ and T~etable

We propose co undertake the research outlLled above beginning in the

fall se=ester 1977 Dur~g that te~ Professors Barkan and Kim as

principal investio~tors for the neo1 proj ect will contact their collaborators

in the host co~~tries They ~~ll also seek the collaboration of an additional

~rican scholar specializing in rural development with the aic of getting

additional advice on sources of data and suitable indicators for the

~easure=~~t of rural develop~ent projects

At the end of the fall seQester Professors Barkan and Kim will make

a trip to their research sites to disc~s details of the research organization

with their collaborators in the host countries and to recruit student

assistants Tney will devote the spring te~ 1978 to further analysis

of a~sting data at the University of Iowa

The gathering of additional dita L~ the field will begin in the s~er

of 1978 Professors Barkan and Kio will direct this work personally We

eAect that its coopletion ~~ll require three to six months This work ~1

involve the evaluation of central and local gove~ent reports on the

projects uncer investigation extensive on-site observations of the projects

and oen-e~ded interviews with the principal participants Our principal

respondents ~i1l be the local leaders and elected representatives we

have previously identified in the localities in which we have worked and

a sacple of active participants in the particular dpvelopment projects

being studied ~~ere necessary and apropriate surveys of the general

public will be uncertaken to assess the inpact of a given project on the

rural por)r We do not however leed 0 conduct systeAlatic sample surveys

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- lY -

of the rur~l population as We did in 1974

In the organization of this research project we intend to reconstruct

the rese~rch tea=s ~e e=ployed during 1973-75 We shall again seek the

co11abo=~tion of P~ofessor Sc~~S-7o~g Pai of Seoul National University ~

Professor IIiCr Turan of the University of Istanbul and Professor John J

Ok~u of the U~iversity of ~arto~ S~ilarly w~ contemplate directing

the field research fro~ he same acade~ic research organizations we previously

used Seoul National U~ive~sity th~ ~~iversity of Istanbul and the

Insti~ute for Develop~eut S~udies University of Nairobi As before we

will tra~ students f~oo these institutions to serve as interviewers

The analysis of the open-ended intervie~s and of docUQentatio~ on

I ~ural develop=e~t projects will be a ~ore t~e-co~s~g process than the

analysis of closed intervie~s It will reqrire a high cotnittl~t of time

fron the principal investigators )e e--pec to hold a conference at the i

U~iversi~y of Iowa 3lO1g all the principal )clticipa~ts in the resea~ch

project d~=~g t~e spr~g 1979 to evalua~~ the newly collected data

le e~ pect to be able to vr-ite reports of t~ results during the Sl1~er 1979

(see Figre 3)

IV LlX-GS ~1) U~ILIZATIO~

At the e~d of the grant period the Uti ersity of Iowa will be able to

1) advise the Agalcy 01 the design of s~l-scale rural projects to assist

the rural poor 2) provide guidelines for social soundness analysiS of

small-scale projects for the rural areas of U)Cs 3) consult w~th the

Ag~tcy 01 the evaluatiol of rural projects ~d 4) provide LDe governments

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)ATES

~lll

1977

~inter 1977

iprilg 1978

il mer 1978

~all

1978

ipr~ng

1979

Imiddoter 1979

University vf Iowa

Plutlning of rural develo~rent project

Barkan Kil

Alalysis of existing data

Barkan Kia

Data processing

3arkan Kin

1

I

- 4 -

Figura 3

GRAT TLfETABLE

SIT E S

Kenya Korea Turkey

Preparation of field research ural developH~lt project cOlisulta~io~ a research sites

BarkanOku=u Ki~Pai Tura~rkanKi~

Preparation of field resea-ch

Tural

Field research on rural cevelop~~t projects Bar~lOk~u Ki=Pai Turan

Co=pletion of Co=pletion of field resear~~I~ fiald researcr

Ok~u i Pai bull

f Coopletion of field research

Turan

Data analysis conference a~ong all princial i~vestigators at Un~versity of Iowa Barkan Kil Oku=u Pai Turan

Co=letiol of r~ral develop~ent

project

3arkan Kiz

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I

- LL -

~ith speciali~cs o~ ru~al developcect ~mong their own citizens ~ho ha_

partcipatcd ~s collaborators in the Iowa projects

In the proposed project we Will test a series of hypotheses cOlcerning

the political cOllditions of rural develo=ent which run counter to CODOn

assuoptions conccrnir3 t~~ influence of rural politics on project effectiveness

As a result ~e ~dll be able to assist the Agency in designing and evaluating

such projects froe the point of V~~W 0 their political viability The

hypotheses We will test sugges~ t~at the patron-clie~t relations existing

in the local politics of zost LDCs are not necessarily i~pedients to rural

develop~ent but are aspects or the political structure which cal be used to

facilitate s~ll-scale ru=~ projects which will raise the standards of

living of _ ~ rral pomlation - As ~ result or our stuey we expect to be

able to P~-O~t the local leadership confi5~rations ~4d the relationships

between local leaders ald rural poclations ~nich are oost conducive to I

successful develcp=en efforts We believe that we will be agtle to perfect

a cat~odology for identifying the political conditions for rural develop~ent

one ~hich is transferable pound~oo the countries we have specialized in to

other LDCs

We proo~ to develop specific guidelines to assist administrators

charged with selecting evaluating and =onito~ing rural develop~ent

projects to ~szess t~esc rojects in tares of their-social and political

viability he outco~e of such projects is dete~ned not only by the

efrectiv~nass ~~=h ~hich they use scarce econo~c resources but by the

~~er L~ w=ich they e~gage the suppprt of local leaders and rural

po~ulatiocs~ by thei= effect ou social a~d econo~c equality ~d by

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- 22 -

their consequences for hwan rights ~Je plan to establish criteria by

middot~hic~ the probable outco~es of projects in these social terms can be

anticipatec

The study ~e propo e will be undertltlken by faculty at the Cniversicy

of lowe in collaboration with faculty a other ~rican institutions and

institutions in the host countries We will build on the extensive contacts

between the Co~perative Legislative Research Center of the ~niversity of

Iowa end other instituions with ~aich ~e have worked One =ajor result

of our collaborative study will be the existence of a net~ork of compe~ent

scholars both in this country and overseas experi~lced in ~orking together~

shar~g a co~on teaching and training experience i~ close contact throu~~ the

effective publications progr~ developed by the Co~parative Legislative Research

Center T~e e~~ertise of this group of individuals will be ava~lable to

oteer scholars to the Agency and ~o L~C governments for specific policy

advice The eXertise developed as a consequence of this project will

extend beyond the ~tionals of the countries ~volved since the univ~sities

engaged in ~e project attrtct stude~ts fro outside heir own countries

For ey~=ple the teaching ~d research progra in the Depar~ent of Political

Science 0 theUniversity of Istanbul heavily affected by the participation

of its facul~y ~e=bers and graduate students in our projects attracts students

throughout the ~middot1iddle East for Whom the University of Istanbul is the iajor

institution ~pound ~igher education in the region rne Institute for Developmen~

Studies is si=ilarly a focal point for students and faculty in East and

Central Africa Seoul ~atiocal Unive=sity attracts students froo other

Asia~ co~tries~ In this way the capability developed among the participant$

BEST AVAIL~BLE DOrUMENT

- ) -

in our work is diffused widely To the exte~ that the abili~y to assess

rural develop~ent p~ojects in teres of their social soundness is increased

both in the United States and in ~o~~tries r~ceiving develop=en~ assistance

the cap3~ity of racipien~ countr~es to absorb aid is ~creased

We propose to draw up an inventory of personnel available in ~~e

Cnited States and in other co~~tries who are able to consult with developen~

a~nistrators on the design of rural development projects and on their

evaluation We ~~ll draw first of ai~ on individuals w~o have been

directly associated with our ~ork in the past or on ~he proposed project

and ex~~~d the list to include graduate students and gove~ent officials

with who~ these individuals have wor~d

tole Yill utilize tha existing publication program of the Center

dercribed above to disse~inate our findings The Center has specialized

oailing lists of interested individuals and institutions in all parts of -i

the world and its reports can trerefore reach the ~st relevant audience

jirec~ly ~d re~~arly

BESl AVAIL~BLE OOCUMENT

CONTRACfjGRANTCOOPERATIVE AGREEMENT DATA SHEET

INSTRUCTIONS fjDW Complete 4 copies of the form Original SERCMSDSUP Statistical Section Copy Copy 2 SERCMSIiUP dministrative Copy opr 1 Contracting Officers COy COP) 4 SERCMSDSUP IUmin (Suspense) Copy

Missions Complde 2 copies oi the form Origin31 SERCMSDjSUF- Statistic31 Section Copy 3n~ Copy 2 Nill be ret31ned in the Missions

PART fA

ConU3lttorGranrce Name

University p~f~I~o~wa~ __ -r~ ____ ~~~~ __________ -~~ __ ~~~ ______________ ~~~~ Plorr Numt-er ApptopriJtion Number Allotment Number Project Number

930-0090-3Q13411 A5 72-111l0216 146-30-099-00-20-11 930-0090 Project Title

So~ia1 and Potitica1 Aspects of Development - Conference to Report Research Findings Amount of this Plorr I Projecl M3nagers Name and Offire Sytlbol

$10397 (increase) PDPRCP Jonatlan Silverstone Contr3ctors D-U-N-S Number

Ncgwatocs TYJlCd~3meJ j) Signature I l ~ jIf- bull G HtJ--ft u l IVmiddot

D~e

L - f - J ContractGrant Officqs typed Nailllt Signalure LJ d I -r-

plusmn t 3i-alflpta (( BLvle~ 1 I~ PARTm

ContractGranl Number

AID CSD-3294

Effeclive Date of Docum~nl Signalltre D3t~ of Documenl

Lf---C yen-~-gl tIost Courtry Institution (U iwrsity contract ONL Y)

Campus Coordinator (Uniwr ty i contract OiiL YJ

PART UL Descriplion of Cor-tractGrant P1use X ONL Y ONE item under each headiZg IF THEltrease CifYmC~e bolh ges I 30~~ O~ Nol to be completed for Amendmenl or Modlfic3lion AJigtns I III

J 710gt I I V ~ I

MOl - TYPE ACT A~ 0 G unsolicited Propsll (AIDIR 0 C Individual (Non-pe~nal senice)

~ O Cortra lGrantl ooperative Agreemenl 73101-SO(b)(6raquo 0 D Individual (ftrsonal Service)

tJl T3sk Order ( A)middot 0 H Procurement 10 be Perfocm~d by the Conmiddot 0 E UniversilyOther FAuC3lionailnSlitulions

D 2 Work Order (IQC) Ira~lor in Person (AIDPR 0 F Non-Profil Organizationlnslitutions (other

D 3 Delivety Order (Requirements) 73101middotSO(b)( Iraquo than Ed or PVO)

[j 4 Purchase Ordcr [J I Sole Source (AIOPR 7-3101-SO(b)(4)) 0 G Private Volunury Organization (PVO)

If I 2 or 3 1Lle an ~ compllle M 12 ON Y D J Imp3irmenl of Foreign Policy Objectiws 0 H International Agricultural Research Organj-

M04 - CONTRACTGRANT TYPE

o O MOA (BOA BMA etc)

o I Fixed Price (Specify fFP FPRD FPEPA FPI) _____ _

(gtIDPR 7-31 OJ SO(b)(7raquo

OK B(a)5eJection (FPR 1middot1713-1)

o L Grant iH1ndlOok 13)

o M Do Nol Ue

D 2 Cosl Reimburemenl (S~cil) CR CPFF 0 N Cooperative t~reement (Handbook 13)

CS CPAF CPIF) ~ 0 O Small Business SeImiddotAside (FPR 1middot1706-8)

o l Cooperative Agreemenl ~ 0 1 Overseas Procuring AClivilies (AIDPR

04 Grant Gener31 Supportmiddot 0U ~ 7lIOI-SC(b)(2))

o S Granl - Specific Support ~ ~06 E SER VICE

g ~ ~~t ~~(d) ~~ ~~ ~ eci~a~~~~~ogram Projeci

o amp IQCs ~ ~ relampted excepi A amp E Services)

o 9 Host Counlry ContraclGrnnt 5lJ C amp E Services

middotComplele ONLY through ~Sl ~~ 0 D Construction

M05 SELECTION PROCEDURES 0 E- Reseuch

o A Formally 3dverliscd (IFB) (A1DPR 7middot24 amp

FPR 1middot24) ~ o B Negoli3ted Price Compelilicn Gencr31

Procedure (RFP) (-JDPR 7456)

Dc A amp E (AIDPR 7410)

0 D Ed Inst andor Inl1 R~arch (-JDPR

74 5)

o E Collaboratoe Assisunce (IDPR 7458)

C F Predominant Capability (IOPR

73IOI-50(b)(l)

AID 1420-49 (179) - Page I

D F Technical Services to AID (other than trainmiddot

ing usually o~ating expense)

D G jraining SetVice for AID

o H Equipment Materi3J~ Supplies Commodities

D I Translation Service

~07middot TYPE CONTRACTORGRA-nEE

o A Firmmiddot AU profil-rn3king fUms (other than

Aamp E)

J e A amp E 8r~

zalion

o Public Inlmlational Organizations (UN

Agencies ICRC Wocld Bank elc)

(H8 J 3 Chapt~ S)

M08- TYPE AW~RD

o A S8 Sel-Aside - Awarded to Non-Minority

o B S8 Set-Asidemiddot Awarded to MinXity

o C_ S8 NOI Set-Aside - Awarded to Non-Minority

o D S8 NOI SeImiddotAsidemiddot Awarded 10 Minority

o Eo amp(a) S8A Awarded to Non-Minority (Womerl-

Owned Veterans etc)

o F 8(a) S8A Awarded 10 MinorilY

o G Personal Sen-ice ConlrdCt bull Non-Minority

o H IeJSDnal Service Conlract - MinorIty

o I Individual NonmiddotPersonal Service Contraci -

NonmiddotMinority

o J 100Jigtiduai NonmiddotPersonal Service Contracl -

Minorily

o K NOI Small Business (Univ NonmiddotProfit Large

Firms) Non-Minorily

o L- NOI Small 8usineSl (Univ Non-Profit Large

Firms) Minorily

o M US Govcrnmlnt

(Connnued on Page 2)

BEST AVLABIE DOCUMENT 1 I

--

ua ) R I GI NAL 9 bull

MODIFICATION or GRANT PAGE 1 of 2

AH 1 2 Effective Date 3 Grant No 4 Effective Date

Amend_at Ro 5 April 15 1981 AIDCSD- 3294 8-11-71

-s CRANTEE (Name and Addrea) 6 Administered by -Professor Gerhard Loewenberg -Office of Contract Management Cbrnparative Legislative Research Gente Central Operations Division Dept of Political Science am Branch University of Iowa Agency for International Developn~nt Iowa City Iowa 52240 Washington D C 20523

7 PIO No 930-0090- 3013411 A5 8 Previous PlOTa -

Appropriation No 72-11110216 93i-1l-995-l36 930-11-995-136-73-3078103

Allotment Symbol - 146-30-099-00-20-11 wunt Obliga ted by this ~ndrnent - $10397

The above numbered Grant is hereby modified as follows

1 Anotmt obligated prior to this rurendment 2 Amount obligated by this amendment 3 Total obligated anount (1 amp 2)

Delete the amJmt $465000 and substitute in lieu thereof the ammnt I$47S 39-7 ~

FUNDS AVAIrABm

~~ - APR 13 1981

PrO~A~~5iors

$465000 $ 10397 $475397

OffiCE Of fIN~(1 ~~rE~E~T __ _ 10 This amendment 11 entered into puruant to the authority of the Forelgn

Assistance Act of lS~l as amended Except aft hereln provided all terms and ~~ndi~ons nf the grant rcferpnccd in Block 13 remain unchsnged and in full force and ~ffcct

11 original and six Crantee 18 requlred to aign thh document aad return 1- eopics to issuing

ffiee

~~~ or printed) BUSINESS MAHAGR amp bull

Tille TREASURER

UNITpound) STATES OF AHERICA AGENCY FOR INTERNATIONAL DEVELO~NT

BY_-1(1o-_1lt--= 13middot~_1_~ __ K R B1uteau

(Name typed or printed)

Tltle~ ____ G_r_a_n_t __ O_f_f1_c_e_r ____________ __

D3tC APR 2 J 7997 Dolt 9 APq 1981

BEST AVAILABLE DOCUM NT ___ 0 HLGlNAL - I 1 J 1 ~ )

- 2 -

AID ftmds in the am)tmt of $10397 are hereby provided for the activities lmich are described in your proposal (including Budget Stnmnary) entitled CDnference to Report Research Findings on the Study of Political CDnditions for Effective Small-Scale Rural Assistance Projects in Kenya Korea and Turkey dated February 17 1981 and made a part of the Grant b reference

BtTDGET StMMARY

Line Item

Travel

Per Diem

Other Direct Costs

Less existing 211 (d) grant funds

Total Amount Obligated by this Amendment

Estimated Costs

$ 5888

5100

_ 2500 $13488

_ 3091

$lO39

Note Indirect costs or $395086 associated with these activities will be contributed by the University of Iowa

BEST AVAILABLE DOCUMENT

~RIGINAL

- CONTRACT IGRANTCOOPERA rIVE AGRElEMI~ SERC~SDSlP Actio) Monitor

SERCMSDSUP Action Office

I

INSTRUCTIONS AJDW - Complete 4 copit of tlh fonnmiddot Orisina iCMSDfSUP Sutistical Section COP)middot Copy 2 SERCMSDjSVP Administrative CoP Copy 3 Cont-acting Officers COP) Copy 4middot SOSUP Admin (Susptnse) Copy Missionsmiddot Complete 2 copies of the form or~aI SERCtSDSUP Statistical Section Copy and Copy = wiU~ retained in the Missions

0 PART IA

Effective Date of Document tJ

Delivery Order (Requirements)middot

o 4 Purcluse Order

bull If I 2 or 3 have an bull X compl~te M I 2 ON L Y

M04 - CONTRACTGRANT TYPE

o O MOA (BOA BMA etc)

o 1 Fixed Price (Specify FFP FPRD FPEP FPI) ___ _

o 2 COli Reimbursement (S~cifY CR CPFF CS CPAF CPIF) ______ _

o 3 Cooperative Agreement

o 4 Grantmiddot General Support

o S Grantmiddot Specifi Support

o 6 GraDt 21 led)middot

o 7 Do Not Use

o amp IQCs

o 9 Host Country ContractGrant

middotComplete ONLY through M 5 1

MOS SELECTION PROCEDURES

o A Formally advertised (IFB)(AJDPR 7middot24 amp

FPR 124)

o B Negotiated Prire Competition General

Procedure (RFP) (AIDPR 7456)

o Co A amp E (AlDPR 4 I 0)

o D Ed Ins andor Intl ReStalch (UDPR

7457)

o E Collaborative ASSistance (AIDPR 7458)

o F Predominant Capability (AIDPR

7-310l-50o)(3)

AID 142049 (1-79)middot Page J

o H Procurement Co be Performed b~ the Conshy

tra~tor in Person (AlDPR

7middot3t OI-SO(b)(Iraquo

o I Sole 5gturce (AIDPR 7middot3101middotSO(b)(4raquo

o J Impairment of Foreign Policy Objecdv~

(AIDPR 7middot310 ImiddotSO(b)(7raquo

o K 8(a) Selection (FPR 1middot1713-t)

o L Grant (Handbook J 3)

o M Do Not Vse

o N Cooperative Agreement (Handbook 13)

o O Small Business SetmiddotAside (FPR 11706-8)

o P Overseas Procuring Activities (AIDPR

7middot3101middotSO(b)(2raquo

M06middot TYPE SER VICE

o A TtJining of Participants

o B Technical Assistmce (Program Project

related exc~pt A amp E Services)

J C A amp E Services

0 D COltl~ruction

0 E Research

0 F Technical Services to AID (other than trainmiddot

ing usuaU Y operating ex pense)

0 G Training Service few AID

0 H Equipment Mat~rials Supplie~ Commodities

0 I Translation Service

07middot TYPE CONTRACTORGR TEE

Firmmiddot All profitmiddotmaking fu-r1s (other than

AampE)

o 9 amp E Firms

I Prcct NumbcT

I

Contactors D-U-N-S Numbcr

I) -S--f(j

o C Individual 0-lon-~rsora1 service)

o D Individual (Pet-sonal Service)

o E University lOt her EduCltionaJ Institutions

o F Non-Profit Organization Institutions (other

than Ed or PVO)

o G Private Voiuntary Organization (PVO)

o H International AgricultwaJ Research Organmiddot zation

o I Public International Organizadon~ (UN

Agencies ICRC ewld B3J1k etc)

(HB J 3 Chapter 5)

M08middot TYPE AWARD

o A SB SeImiddotAsidemiddot Awarded to Non-Minority

o B SB SetmiddotAside bull Awarded to Minority

o C SB Not SetmiddotAside - Awarded to Non-Minoril)i

o D SB Not SetmiddotAside - Awarded to Minority

o E ~a) SBA Awarded to Non-Minewity (Womeli

Owned Veterans etc)

o F 8(a) SBA w-rded 1o Minority

o G Personal Service Contractmiddot Non-Minority

o ~ Personal Service Contnct - Minority

o I Individual Non-Personal Sence Contractmiddot

NonmiddotMinority

o J Individual Non-Personal Service Contractmiddot

Minority

o K Not Small Business (Univ Non-Profit L1lge

Firms) --vn-Minority

o L Not Small BUSiness (Univ NonmiddotProfit Large

Firms) ~inoriy

o M VS Government

(Continued on Pcge 2i

t bull - t ~ J f q

ORIGINAL bull MODIFICATION OF GRANT

1 2 Effective Date

Araendllent Ro 4 12-2-80

s CRANTEE CHace and Addrels) Professor Ger1ard Lo~middot enbelg Comparative Legislative Research Deartment of Political Science The Lnivp-rsity of Iowa Iowa City Io~a 52240

7 PIO No NI A

Appropriation No 72-11XHl26

Center

Allotment Symbol -426-30-099-00-3~-71 Amount obligated by this urendment-O- I

3 Gnnt No

AIDcsd-3294

PAGE _____ 1 _of-L

AlI 4 Effective Date

8-11-71

~ Admlnlltered by -Office of Contract Management Central Operations Division OTR Branch Agency for International Development Washington DC 20523

8 Previous PIOITs -

931-11-995-136 930-11-995-136-73-3078103

9 The above numbered Grant is hereby modified as follows

Supplement to Grant

Change the duration period sentence to read

The Duration Period for this Grant shall be August 11 1971 through December 31 198]

1 Amount obligated prior to this amendment $465000 2 A~unt obligated by this amendment -0-3 Total obligated amount (1amp2) $465000

----------------_- - ------- ----_- ------ 10 Thh lImcndmcnt is entered inlo punuant to the authority of the Foreign

~ Assistance Act of 1961 86 amended Except a~ h~reln Z II provided all terms and condi tions nf the grant referenced in Block 3 remain ~~aunchlinged and In fu1l force and effNt cnltUI cJ)za 11 o 4 J bull

Et~ ai~a gtUoItshyc Z P=u

original and six Grantee t requi red to sign this document and return 1- eopies to 1Bufng

office

~ 12 GRANTEE TES OF AMERI CA

(Name typed or printed) bull

TJlle Director Comparative Legislative liecearell CeQtoQl

Date 12880

------------------------------------

ONAL DEVELOPMENT

By ----~--~~~~---------------------

prinled)

Grant Officer Title --------------------------------

J)oll( 12-2-80 -----------------------------

BEST AVAILBLE DOCUMENT i je

Page 17: PD-Ar3T Cr(~

- 14 -

Y labCrato~y for olitical Pesearch is the reseacc1 md research

tlairirg facility of the Departe1t of Political Sci-lce Gcadvate

students receivo extensive res~arch experience through 1or~ing in the

La oratory bull The Lacoratoy is also a1 integral part of the trainirg

o~feed in ccurs~ T~middotO~ for graduate students

The full-time sta~f of the laboratory includes a director an

assistant director a t-=cl1ical cirector a supervisor of study

t1hteen graduat~ students - rf1rk in te Laboratoy receivLLg teining i~1

~a~a collecticn ~~i data e~alysis Tbe facili te5 of the La)oratorltJ

icluoe a oard eJcerline printer ccnnected to the U1iversitys

dis~ and tape storF-ze for d~ta

The pogral of trailing ia coparative legislative reseC_cch ~ill

relr heavily en t LaOerltcLJ- for taching graduate stucents Visi tine

fc111tr lYe~bes iill be able to utilize tbe facilities cf the Laboratory

gt IOra ~as sFcial ccrpetence in prOCed~les for

ccq ter ogagtlizetion of d~ta Ja1ks ~d fOi the p~ocGssing of large data

sets as well as iJ the sttdy of naticnsl end st~te legisltllres Tile

BEST AVAILABLE DOCUMENT

- 15 -

Ile Univelsity of 10Ira will eadnister- the Grant thJotg~ its normal

a)1 iristrative char-l1els ad i1 Eccordance imiddotlith its ncrTal olicies and

operatirg procedures 7he Director of the gr~l1t-s~~ported program

Hill be a senior faculty eriOer of the Gniyecsity of IO~-ia -with extensive

expe~ie~ce in the subject field Associate Directors w~tb similar

qtalifications -aill also be appointed 7he Director- and Associate

Directors ~dll serve as eibers of t~e Inter-University Advisory CC1gtr)ttee

established to cooidinate _u bullbull ID gra1t-stpported programs at IOia Dul(e

lniversity a1d the University of Ha- aii Ll1 this field These relatiol-

ships are i~dicated in tee follc~dng a~inistrative organization chart

IX Ul~vsity Ccntri1uticn

T1~ ~h-ersity of IQ(a aSSures ALD that this Grant middotiill not

replace existing ftnds for STr current activity and imiddotrill be additive

to existing prograrrs of tCe lJniversity In direct sp~ort of this

Grat ttc University ~ill provide a) Acmi1istratile costs including

tie of senior officers of ttlt University b) Office ~ld research space

ald library and cor-puttr facilities c) Provision of a1cillamiddotCjr 1niversity

personnel -or consultation o~ ~middotjQrk nth the progral

X Reports end 5evie~-Ts

There i-ill be sub~itt-=i al arnual t2ctnical report for the purpose

of AID s revie- of activities under te Gant Tnis idLl include

a11 e-llation of prcsr~ss aidnistratve ar_c fiar~cial corsicer~tior~s

p~s cr tr foJlJ-middotire ear ~i disctlssics of the ossible l~lizaticn

BEST AVAJLIl8E OOCI1MrNT

~

- 16 -

A~~inistrative O~ganization

Ice Board of Regents of tle State of Im-la

-Iesicent of the University I

1 rOfcst Jf t-3 University

Den College of Liberal Arts

r Chailan DcptiEt of olitical ScieJce

Inter-G~iversity

Acisorr Corcittee

PcgrG21 Director Associate Progra~ Directors

Liaison Arcrge~~nts d ~h I I~~erested Plcfessiona1 I Perso~el j

I _

I 5cu1ti (full or PmiddotLG-tire l Asscci~tes a1d otllei non-Io~il

3ecip5ents of Gr3-1t stPPC1t Gr~cue~~e S t1~lcnts St2~retQi~S1 Data Lbed~1 31

Ln 18 r1icia 1

LO1t c~lce Factcj~1 ts

BEST AVAILABLE DOCUMENT ( ( V-t

- 17 -

of te eo17i~g cCpterce br A I D rLld ethers In addi tion there

aS3essr~ents of the gr31t

middot l ~ lI ~ _ _ _ co~~~r~~ing ~~iversiti~s md tne rrctitoring ALD office

7re l~yersity of Ie~middot~ budget of $26500 is to be deveted to the

cemiddotelgt~e~ of lstituticnal cefete1Ce in comparotive legisl~tiye studies

~t Iomiddota c t~ the exalsi0 ot a date b~L-lt ~ hich 1fill be utilized as

a ecle for icrec3ing te scope of tbe sub-specialty

T - 1 f 1 __ middotja r S Ctdget a9roxir~tly 33- has bee allocated to a

cemiddote Lp~l t rirc ipally C actlty re leased tirre for data ccllection

ai 0 3alres f~r i~~er-ieers in field research 3d secretarial

assi5ta1ce nCt2 11- of t~e Icmiddotre oudge~ is iesignated for an

ArCE_1 A~ite s(101a~middot 2d one 0 ore scnolals froQ LDe or

s1lllrt of greluate stucents in the

BEST AVAfLIlBLE DOCUMENT

- 18 -

Finally approximately 19 of the budget will be devoted to the

proposed data bruL~ that will archive not only data generated from the

research of scholars at Iowa Duke and Hawaii but also at other US

and foreign institutions Primary and 3econdary an~ses of these

data will become an integral part of ~omparative legislative studies

curricula The ability to utilize the data bank for teaching purposes

also should have a significant impact on professional preparation ofmiddot

future legislative specialists In summary the funds will be

allocated to research teaching and training activities tha~ are

entirely conson~~t with the philosophy underlying the utilization of

2ll(d) grants to achieve institutional development

Conclusion

The University of Iowa regards the research and teacbing components

of this program to be closely related an1 zrutually reinforcing The

University of Iowa offers a strong base for the pro~ram because of the

interests of faculty members here now because of their contacts with

scholars in this field in other Americ~~ and foreign universities

because of their experience with the international exchange of faculty

and because of the distinctive data gathering and processing facilities

available in our Laborator~- for Political Research The program which

we have formulated is designed not only to accomplish specific

research and teaching objectives but to contribute to the long-term

development of the University of Iowa in an area in which it has already

exhibited special interest

BEST AVAILABLE DOCUMENT

~ I) - 0

- 19 -

The program on Comparative Legislative Studies with support from

this Grant rill develop the capacity at the University of Iowa to

provide assistance under separate financing arrangements to developing

countries in a number of ways and through a varieiy of channels This

assistance which would be arranged for end negotiated separate~ from

this Grant may be in the form of technical assistance advisory service

training research and information exchange etc It will be available

by mutual agreement to appropriate agencies national and international

public private a~d mixed and directly to the less developed countries

Most especially this added special competence will inevitably become

incorporated through the processes of scholarship and education into

the competence of US and foreign scholars and institutions concerned

with this topic of great significance to the developing and the more

highly developed countries alike

BUDGET SUMMARY

UNIVERSITY OF IOWA

Salaries

Graduate Student Stipends

Fringe Benefits

Travel

Equipment and Services

Other

TOTAL

$173090

32400

19209

13800

6501

20000

$265000

BEST AVAILABLE DOCUMENT

d bull

srjmiddot (~~ jjXilO

IO

rmiddotmiddot ~middotmiddotrl f)~~ 7 middot 1 ~A~~ middot1 rmiddot middot~ rt bull middot bull bullbull I ~ i bull bull ~ middotv- middot bullbull ~ I

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2 c~loto

BEST AVAILABLE DOCUMENT

(C

Dr Willa~d l Boyd Presicient University of Ima iowa City Iowa 52242

Dear Dr Boyd

4 AUG 1977

amp

FIJNDS AVAnASLe CpoundNrftAamp sEIMCEs DMsON

AUG11 ~n te t6417 ~77

Subject bull Supplsectferit-tJF-G~middotNomiddot~middot AIOcsd-3294

t middot-rrPJ1 3

I am pleased to inform you that pursuant to th~ auth~rity contained in

S-cction 211 (d) ooC the Foreign Assistance Act of 1961 as amended a sup

plemental grant in the amount of $200000 is h~reby r~de to University

of rCi1a These supplement]l grant funds areprolided to support the

activities which are described in your Proposal dated May 6 1977 for

the implementation of your program entitled Political Conditions for i

Effective Small-Scale Rural Assistant Projects

---This sup~lemental grant is mace to University of Iowa en condition that

yo~r institution shall administer the funas provided under this Grant fn

accordance lith your r~ay 6 197 proposal (including Budget SUmlilary) and

the Standard Provisions (as incorporated by Amendment No 1) which have

been agreed to by your instit1ltion Ti) the extent of an inconsistency

between the Proposal and the Standard Provisions and any otherprovisfons

which ar~ made a part of thi5 Giant by reference or other~iSe the Sta~d~

ard Provisions shall control

The new Duration Period for this Grant shall beAugust 11 1971 through

August 10 1979

The total amount of funds obligated under the grant is increased to reflect

a new total oblgated amount of $465000

Please sign the Statement of Assurance or Compliance ana the origfnal -

and seven (7) copies of this letter to acknowledge your understanding of

the conditions under which these funds have been granted Please return

the Statement of Assurance of Compliance and the original and six (6)

copies of this supplemental Grant to the Office of Contract Management

Attachment May 6 1977 Proposal and Budget SUfiT1a ry

UNIVERSITY OF IOWA

Roberw bull OBrien fficer

Ce al Operations Division Office of Contract Management

AC~E~E~C--_ 0 BYpoundk~~ cH

D C ~lpoundSTtR5BA T ITL E ( PfeampoidPilt for

tee ment amp Research DATE 9-22 -77 (d~ ~~Bduate Ctl~1e~e

BES i AvAILdLt UOCLJMU~ I

211(d) Grant Program

Proposal of the University of Iowa

POLITICAL CONDITIO~S FOR EFFECTIVE SMALL-SCALE

RURAL ASSISTA~CE PROJECTS

Submitt~Ci to

Civic Participation Division AID

May 6 1977

Amount requeste~ $ 199987

BEST AVAILABLE DOCUMENT

I TdE DEVEIOP~T PROBr~

P~litical Conditions for Rural Development

The Cocparative Legislative R~search Center of the University of

Iowa proposes to ~~dartake a two-year study to investigate the role of local

leaders and the rural public in theimplecentation of small-scale develop~ent

1 projects in less developed countries The study will use and extend the

capacity ~hich the University of Iowa developed under a 211(d) grant to

investigate and assess the impact of loeal politics on rural development

~t the co~pletion of the s~ Iowa will be in aposition to advise the

Agency on the design ~nd evaluation of s~ll-scale projects which will be

politically viabe a~d effective in ass~sting the rural poor ~

As students of development w~ approach our task with the assumption

that the proble~ of development and underdevelopment are funda~entally

ones of political econooy and a~ such can only be solved through a

simultaneous considerationof economic and political factors Efforts

which foc~s aloost solely on economic factors like those of ma~y

organizations engzed in dipersing foreign aid or efforts which focus

almost exclasively on political factors fail to take account of the

interdependence between these two dimensions of underdevelopment and

lwe have for~ulated this proposal in a canner consistent witr the cu~rent policies ard interests of the Agency We have been guided in our tsk by four Age~cy doc~e~ts Impleo~~tation of New Directions in Developnent Assista~c~~~ ~eport to the COmlittee on International Relations on Ilupleoenshytatiun of Legislative Refo~ in the Foreign Assistance Act of 1973 (July 1975) rItevis~d Projec Developiel Review and Approval Systeo (A I DL Circular A-21 Aril 23 1975) SH Butterfield Draft SUIilZ3ry StateUlent of a Practical Agelcy Approach c aural Devalopilelt (AATA February 28 1975) Cicci A Coce~ual Oie=viamiddot middot Rural Development No1 (lWorilting GOU O~ tha Rural Poor February 1975)

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can meec with only l~ted success

Our concern with the i=pact of local politics on the process of

rural developcent is a result of our interest in the basic question of

how LDC governm~nts and the donor agencies which assist them can

become core effective in raising the standard of living of the rural

poor We seek answers to the following aspects of that basic question

1) What political conditions must exist both within rural communities

and between theo and central gove~ents to raise agricultural production

w~ere small-scale agriculture is the do~nant pattern 2) Vnat are the

political conditions for a core rapid expansion of the informal manufacturing

and service sector cocprised of labor intensive small-scale industries

located in the rural ar s 3) What political structures and activities

are mase crucial for the provision of welfare and econocic supporc services--

such as agricultural exeension mar~eting and transportation--to the rural

areas1 4) ~~at Folitical conditions oust exist to insure that economic

growth in the rural areas is not accowpanied by excessive and intolerable

inequalities between socio-economic classes andor between regions1

Center-Periphery Linkage in LDCs

To deter~ne the political conditions for rural development we have

in previo~s s~udies exacined the institutions and processes through which

rural populaticns are integrated i1to the national politi-cal systetlS of

middot~he countries in which they live A gap exis~s in most less developed

countries bet~een the peasantry residing on the periphery and the c~~tral

political ~stiutions staffe1 by ~~estern-educated bureaucratic elite

We are aware of the other major ~sti~utional discontinuities which comprise

J

4 middot~~1 the basic cleavage between the developed and underdewmiddoteloped sectors of

these dual societies Bridging these gaps is essential if these so~ieties ~ are to develop into viable nation states For until those Q~ the periphery

of the poli~ical syste~ participate in that system and support and comply

with the authority of central political institutions neither economic

development in ~he rural areas nor a stable polity will emerge

Bridging the discontinuities in these new political systems requires

establishing and institutionalizin3middot1inkages or networks for co~unication

and exchange of resources between decision-makers at the center and the

rural public on the periphery Three types of institutional linkages are

most prominent in less developed countries 1) those conSisting of the

state administration composed of the bureaucratice1ite 2) those consisting

of a revolutioncry political party cocposed of the ideological elite

3) and those conSisting of patron-client hierarchies composed of the political

entrepreneurial elite

Of these three linkages consisting of the state administration are

the cst extensive and pervasive in virtua~ly every LOC Such linkages

however exist primarily a~ instruwents of the center to penetrate the

periphery Central government officials are formally charged with bringing

develo~ent to the people This is a ~issi~n which conceives development

as a process ~hrough which a traditional peasantry is transformed and

assimilated iJro the DOdern center which is steadily expanding to embrace

it Agents of the center invariably have more resources to achieve their

objectives than do local political leaders but because they are frequently

strangers~ the communities in which they function they are often unable

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co implement the policies of the center without working through the

local establis~ent

Though somctices significant linkages consist~g of revolutionary

party organizati~ns such as those found in China and Vietnam do not exist -

in most IDCs beca1Se of the special historical and e~omic conditions

required for their development As wi~h the administrative state however

the linkaampe apparatus of such political patties is prUlarily an instrument

of the center whose mission is to penetrate and mobilize those onthe

periphery

In contrast patron-client hierarchies are linkages which represent

the periphery at the center and mediate betwee~ these two disparate

sectors of the political systec Thcugh norcallymiddotovershadowed in scale

by the state administration patron-client hierarchies are found in almost

~very LDC a~d constitute the ~st significant network through which rural i

populations and their leaders influence the decision-~king process at

the center Patron-client hierarchies exist in a wide variety of org~iza-

tional fores ranging from info~ ~ec~~rks of individual olitical leaders

in uno-partyll systelS in S~b-SaharaI4 Africa to extensive political machines

in both one-p~rty (Africa Mexico) and ~u1ti-party systems (Turkey India)

Despite their importance as the pricary means through which peasants in

LDCs particiate in their political systems patron-client hi~rarchies

have only recently become an object of analysis by students of political

developent and do not appear in even the most sophisticated studies of

2 See Jo~ Dunca owell Peasant Socie~y and Clientelist Politics Aerican Politi~ Scielce Revietol 64 (June 1970) pp 411-25 Rene Lemarchand anc_ Keith Legg olitical ClienteliSJ and Ethnicity in Tropical Africa Aierican Political Sc~ecce ReView 66 (Y~rch 1972) pp 68-90 James C Scott PatronshyClient Politics a~d Political Change II 1tlerican Political Science Revie~ 66 (~arch 1972) p 91-113 and Friends Followers and Factiols bull edited by Steffan Sc~~d and James C Scott (Berkeley UniverSity of California Press 1977) bull

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3 economic development Ad~niscrators of developmental assistance progracs

have too often regarded patron-clienc hierarchies as ~ped~ents to

develop~ent instead of recognizing cheir potential utility bull

~ Findings on Patron-Client Hierar~hies --

The importance of pat~on-clienc hierarchies for linking the periphery

to the center is one of the major findings ~erging from a study of the

relationships betueen l~gislators an~ their constituents in Kenya Korea

and Turkey ~hich the Cowparative Legislative Research Centpr is nov

comleting uader its 21l(d) grant from AID This study has av~mined the

creation of linkages between the periphery and the center through ~ore

than lO~OOO interviews with members of parl~ent local leaders and

peasants in t~e three countries The findings are being systewatically

set out in a book-length monograph Nearly a dozen research reports have -

uready appeared (see Appendix C) ipropositions about the nature of

political behavior of rural populations an~ the roles of local political

elites de=ived from the research~ can be s~rized as follows

1 Elected representa~ives play a significant role in the creation and mainte~ance of linkages be~een the center and periphery by developing local political achines in which they function as patrons of their constituents In turn thay s~rve as clients of political leaders of national stature who control central government institutions

2 By atte~pting to establish linkages based on patron-client relatio~shi~s elect~d representatives are responding to public expectations chat their prizary duy is to obtain resources from the center to proffiote local develop~ent ~iany elected repLesentatives spend most of their time on self-help co==unity development projects such 3S the building of schools health clinics irrigation works arid roads because such projects provide

3For exa~le ~ a widely respec~ed a~d useful analysis of rural deve16p~ent in Sub-Sahara~ Africa L~ Lele of the World Bank notes the problems of creating an adoini5~raive infrastructure in the rural areas that is sensitive to local socio-oliical conditions She does not however consider how local leaders operating o~tside of adcinistrative structures ~ night contribute to the developne~t 0 the rural areas See ~~ Lele ~ Design ~ Rural Develop~ent Lessons ~ Africa (Balt~re The Johns HopkiD~ Uciversity Press 1975) r) pp 127-61 i ~

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their const~tuents with desired se~ices ~~d a= the sa~e time provide the reresentatives with an orgacization Yhicn can be used as a political base

3 l-tore than 90 perCel1t of the rural population is capable of articulating the p~oblems facing their local co~~ity and two-thirds discuss th~e proble~ w~th their fellow citizens on a regular basis

4 Three-q~rters of the residents of the rural areas can identify the public ofpoundici~s who serve thec--both civil servants and elected represcrtatives--by na~e Most are knowledgeable about the activities of these officials Alcost one-fifth coreover have discussed co~~~ity probl~ ~ith these officials particularly those working at the grassshyroots level Residents of rural villages actually have a higher level of political knowledge than their counterparts in the towns

5 Elections in the rural areas evoke a highly rational attern of voti~g despite the effects of ascriptive or traditional co~siderations Inc~ens are pri~rily evaluated in terms of their record in fulfilling the public r S elpectations of what they should do Elections are essentially referenda on inc~entsr perfo~ce especially their perforwance in the area of constituency servi~es such as bringing development projects to the districts bull

6 Local developcent projects have a relatively high s~olic value generating conscitutency support for local leaders and the central government at low cost

7 These projects help huild a local political infra-structure which can also be utilizec by central govern~nt civil servants to implement other policies designed to achieve rural develop~ent bull

The Icpac~ of Local Politics on Rural Projects

Having explored the developtent of linkages through which the periphery

is represented at che ~enter and through which the periphe~ attemp~s to

share in the ceners resources we now propose to build upon our initial

investigations by e~ing in greater detail the impact of local political

conditions on specific problecs of rural develop~ent We propose to

exacine the develop~ental activities of local leaders ~nd the rural public

by eX2~Ding a saple ot fifteen to twenty smalL~scale developwent projects

in each of ~he three countries which constituted the sites for our initial

8ESI AVAILABLE DOCUMENT 1 ~ - of

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study of center-perhiphary relations The appropriateaess of this approach

and the ~ethodology through which it will be ip~emented is discussed in

section II Because the ~ethodology of investigation is in large part

the result of our previous research experience we fizst turn to a revieW

of the existinQ __ ~petence of the Comparative Legislative Research Center

in this area

II GRAXTEES EXISTIXG CmET~CE

In 1971 the University of Iowa received a 211(d) grant to develop

its capacity to do research on the role of elected represent~tives in

the process of modernization On the b~sis of this grant the University

established a research center which planned and carried out a research

project on the role of elected reres~~tatives as links between the central

gove~ent and rural populations in K~ya Korea and Turkey The project -i

served to develop t~e University of Iowas research capability in this

field esa~lished ties between the University and scholars in the bost

countries and generated a large and uniqu~ body of relevant data

In that project we fo~ussed our attention on tbe activities of elected

representatives in their constituencies notably in their contacts with

local political leaders voters and civil servants To determine tbe

nature of the linkage function performed by tbe representatives we

designed our research to explore the subject from three perspectives

1) we eXaojned ~~a ~ubject at tbe grass roots by conducting a series of

sample surveys of 200 to 300 adults in each of 12 to 14 parliamentary

constituencies in each cf th~6three countries 2) we examined the subject

at the center by intervie -ing MIls from the constituencies in which we

had conducted S3mple surveys ~nd higher civil servants with whom they

had contact and 3) ~e ex~~ined the subject from an inter-~diate level

by identifying aud ~terviewing local social and political leaders in

the MPs constituencies We used survey research methods because we

were embarking on the study of an entir~ly new subject for which little

relevant docu=e~tary data existed and on which there were few secondary

sources As a result ~e have unparalleled experience with survey

research in the rural areas of less develo~ed countries

The surveys which constituted the cajor part of our field work were

planned in collaboration ~~th scholars from the host countries They were

carried out in each constituency by student interviewers in the appropriate

language ~re than 10000 respo~dents were inteDViewed for the project

Given the visibility and sensitivity of this undertaking approval for

the research was sought and obtained from the host governments prior to -i

the collec~ion of data ~o objections were raised by these governments

at any stage of the research The data obtained have been made available

to scholars i~ the host co~cries and some of the basic findings have

been published in periodicdis in these countries

The Comarative Legislative Research Center ~hich ad~nistered the

project has aisO developed extensive experience in the study of political

leadership in other countries It h3s obta~ed substantial support from

the Fo~d Foundacion and the Rockeeller Foundation has worked in

collaboration ~~h European as ~ell as Asian and African scholars and

is engaged in a ajor study of the role of elected and non-elected leaders

in the oanag~~t o~~ocial conflict Because it has conGucted research

in a variey of setlngs the Center has an ~ceptional capacity to

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determine how the relationships be~een political institutions and

economic p=oble75 differ in develoPed and less developed countries

In the course of the major research projects the Center has administered

it has gained highly specializpd ~p-i ce iI identifying 1Olitical leaders

in a great variety of settings conducting systematic interviews with

them collaborating with scholars in the host countries and in coding

and utilizing large files of data to answer specific research questions

The Center has ~lso undertaken to publish the results of its research

in three fores It issues codebooks to the data enabling scholrrs at

other locations to use the data expeditiously i~ publishes research reports - in the form of Occasional Papers and it publishes a scholarly periodical

devoted to the presentation of research findi~gs to an inteIT~tional

audience

The Center utilizes the data ~ysis facilities of the Laboratory

for Political Research of the University of Iowa and drawS on the unusual

n~er of secialists in comparamptive politics and survey research in

~~e Lniversitys Departmen of Political S~ience The Center itself I

has the services of an administrative secretary and a clerk-typist

~intains its~o~cn extensive archives and its o~~ publications program

It is e~uipped to assist scholars and government officials outside the

t~iversity of Io~a The participants in its p~ojects are full-tioe

faculty ~e=bers ~hose undergraduate and graduate teaching is closely

related to their research As part of the teaching program the Center

has attracted students from the countries in which the research projects

have been conducted these students have participated in the projects

bull J

have obtained training in other fields of political science have received

University of Iowa degrees~ and have ret~rned to teach and to do research

in their own countries

III PURPOSE OBJECTIVES AID METHODS

Purpose of Study

The purpose of the proposed grant is to extend the capacity of the

University of Iowa to determine the political conditions in the rural

areas of less developed countries which favor the establis~ent and growth

of small-scale developoent projects ~e objective is to put the University

of Iowa in a position to assist the Agency in designing small-scale rural

developent projects providing guidelines for carrying out social soundness

analyses of such projects and adviSing in the evaluation of projects

We will discuss the utilization of~t~e Universitys capacity in detail in

section IV below

We propose to concentrate our investigations on the political conditions

surrounding s~l-scale ru~al projects Such projects have distinctive

advantages They waximize the political participation of the rural populations

both in det~~-ining the direction ~d implementation of develop~ent efforts

and in defending the interests of periphery vis-~-vis the urban-based

bureaucratic elite S~ll-scale projects stimulate entrereneurial activity

on the part of the rural citizens and growth of the info~l canufacturing

and service sector Tbey require less lead tice and less administrative

c~erhead to ~eco~e operational than large-scale capital-intensive projects

centrally administered Such projects yield rapid and direct benefits to

1

j

the rural

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populations and are consistentwith their hUIlaD rights--both

political and economic However~ small-s~le projects pose s~ecial probl~s for administratcrs of developceocll assistance progracs because

they require the donor co assess the local olitics particularl the

rural politics of t~e host country

Develop~c adoinistrators pr~rily conc~rned with assisting rural

populations must therefore recognize the range of political variables

affectL~g these projects Small-scale projects offer great opportuoities

for develop~ental assistance progr~ because they can be easily targeted

to help rural populacions require low capital costs and need no be

concentrated in one or two localities Such projects ho~ever~ ~equire

the a~istrator to have ~re political kno~lecge than large-scale

projects Oil which his priJlary tas~ is guiding the work of other experts

Questions for ~Investigation

To detercine the politi~al cc~diicilS ~st conducive to ~he establ~~ent

and gro~h of scalI-scale rural projects ~e propose to address our inquiry

to the following specific questions

1 To what extent and why co local political leaders seek to establish s~~l-scale develop~ent projects within their co~unities

2 To what extent and ~~y do local leaders other than politicians initiate andor provide leadership for s=all-scale developm~t projects

3 Bot do the relations bet~Jeel different types of local leaders (political and non-political) and bet~eeo these leaders and central gove~ent civil servants posted to the rural areas affect the conduct of develop=ent projects

4 How do existing authority ~eLationships between these different leadership grous and the rural pub~ic affect the organization and operation of s~l-scale develop~ent projects

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~

5 lhlt is the nature 0 pclgtlic participation in the establishlent and operatio~ of s~l-sclle projects and ~hat are the outcc=es or this participatioe Gucer w~at conditions is such participation ~ost likely to occur

We seek a~swe=s to t~cse questio s L order to determine the effect of

different co~iigurations of local leadership and public participation on the

outcomes or small-scale rural projects te are particular1y concerned with

the ~pact of these configurations on the rate of econocic growth and the

distribution o~ rIGSlth ithin the loal cOlllUlity ~ on the perce~tions of

s~ll-scale proj~cts by central govern~ent per~oncel and the rural public

anmiddot on the organiation or flture projects

To a~swer these que~tions it is oar intention to study the initia~ioD

izJple=enation ald i1lpact of a salple cpound small-scale rural projects in

Kanya Korea and Turley in the sae cOllities in which we carried OU

our initial icvestigations ~ 1973-75 Tne relationships between the -

various conf~gurations of local leadership and public participation and

the three phases of project develop~ant are sho~ in Figure 1 We will

exa=ine projects to pro~ote the adoption of new agricultural techniques

by s~l and moderate landnolders the building of feeder roads irrigation

ditches and other s~ple infrastructure the organization of fa~ers

cooperatives and other local associations concerned with rural development

the establish=ent of rural health clinicS and schools and the setting up

of craft and service industries

Sites for Study

We plan to return to our original set of localities because we possess

a rich body of relevant data on the extent to which linkages exist between

Figure 1

TYPES OF LFLUEXCE OF C2r~ middotGOVER1iEXT OFFCIALS

LoCu LEADERS 0 THE RURAL PUBLI-C OX THRr~

PHASES OF RURAL igtEVELOPHET PROJECTS

r----------~J C~ltral Gover1~nt Official)-N------- - J

r- Local pOlitical leaders

Local non-political leaders

~l 1---- -

ROJECT nITL~TIOS

Influ~ce on selection of projects

InrI ~elce on location of projects

Influence on policy guidelines for proj eCl

Il

I

a

I I

-I PROJECT I~L~~iATIO~ ~ 1

j Project Organizati I Selection of project

leadership

Hobilization of resources

Mobilizatiol of public compliance with project require=elts

Diffusion of project innovation

Rural Public

I

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1 ROJECT IMPACT

Organization of ongoi=g project operation

Distribution of project benefits

Evaluation of project

Public attitudes toward project

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these areas and t~c central p~litical institutions of the three co~tries

and on the attit~es of the rural populacioc local leaders and elected

legislators regardi~g their problecs of develop~~c Since such data

is unavailable for alternative locales a return to the areas in which

we have previously done much research ~ables us to build on a uniquely

valuable body of icformation

A return to Kenya Korea and Turkey is also highly desirable from

the standpoint of effective research organization The Comparative

Legislative Research ~enter has developed close collaborative relationships

with several highly competent social scientists in these countries and

with the academic institutions with which these scholars are associated

We have also dev~_oped cooperative relatio~ships wi~ gove~ent officials

in these countries which should facilicate obtaining approval for our

further work

In proposing to doc~ent the origin i~pl~entation and impact of

one to three s~ll-scale develop=ent projects in each of 35 localities

we have two considerations in mind Firstmiddot because our pr~ry goal is

to deter~e the political conditions for rural developm~Lt we wish to

examine develQ~=ent in as many different settings as feasible Only in

this way can we control for so=e of the major socio-cultural variations

that erist along rural populations in less developed coultries These

include the overall level of econo~c development in the co~unity the

nature of t~e ~digenous culture an~ relationships of authority and the

pro~ty of the comounity to major urban areas and centers of central

gove~nt ad=inistration ~ce our original study sites were carefully

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selected to represent these variations ye have concluded that these

35 localities woule be ideal sites for the propose~project Second~ in order to dete~~~ the ~pact of local leaders and public

participation o~ ~ural projects we intend to compare projects 1n which

local leaders and ~ecbers of the public have played a major ~ole with

projects in which they have not We also ~l cospare projects initiated

by the central gover~ent with projects Yhich have been locally initiated

These considerations give us a typology for selecting projects as depicted

in Figure 2

Figure 2 ~

FIVE TYPES OF RU~AL PROJCTS ACCORDIXG TO ~FLUEXCE OF CEITiW

GOVE~1E~T LOCAL LEADE~ AD RLRAL POULATIO~

Level of Participation by Rural Population

Locus of Project Initiation ~

Local Co=unity Central Governoent

BIGd

LOt

1 Projects initiated by local leaders and providing for participation of the rural ~opulation

4 Proje~ts Litiated by local leaders bu~ not involving participation of the rural population

2 Projects initiated by the Central Govern~ent and administered i~ cooperation with local leaders a~d the rural population

3 Projects initiated by the Central Govemlent and providing =or the participation of the rural population but by-passing local leaders

5 Projects initiated by the Central Gover~e~t a~d administered in cooeration Yith local leaders but not involvi~g parti~ipation of rural population

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We recognize that the socio-cultural setting of rural develoment

projects varies significantly within and across less developed countries bull

By focussing o~ a representative sa=ple of localities ~ Ke~ya~ Korea

and Turkey we can take account of naoy~ though not all of these variations

While some of our substantive findings will not be directly generalizable

beyond the countries in which we propose to conduct our study we expect

that our basic ~ethods and fLdLgs will be applicable to national and

sub-national settings elsewhere in the developing world This is partly

d~e to the fact that the hierarchy of patron-client relations ~hich we

regard as a critical factor in rural develo~~t exists in ~ost Liles

--It is also due to the fact that the methodology for identifying local

bull leadership configurations auG poundor studying local politics which we are

perfe~ting can be used to assess local political co~ditions in a large

variety of countries even when the ~nditions themselves differ significantly

Methods of Investigation

The data needed to assess the iDpact of local leaders and mass

participaticn on rural dev~lop~nt fall into two categories Some a~e

contained among the data gathered for the research project we are currently

completing Others will require additional field research

The following data are already in hand

1 Data on the social landscape of each loc~l co~nity i~cluding aggregate data o~ level of econonic development de~graphic characteristics political pa=ticiation eth~ic loyalities and rates of socio-econocic change dur~g the past decade bull

2 Identity of local leaders including both political and I-on-political leaders and both legislators and other politicians

3 Perceptions of existiag probl~ and their possible solution a~ng

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general public local leaders and civil serv~nts

4 Level of political kno~ledge among local citizens and local political leacers

5 Political and social values a~ong local ci~izecs and local political leaders

6 E~~ectacions of leadership roles among the local public and elected and non-elected leaders

7 Patterns of co~unication ~ong local leaders and between local leaders and the central gove~e~t

These data ~hich ~e already have in hand can be subjected to analyses

which ~~ll provida the foundation for our further work on rural develop~ent

projects A part of our work therefore will consist of fu~ther analyses

of existing data

New data of the following kinds are also required

1 Doc~entary data on the origin and evolution of particular smallshyscale develop~cnt projects in the rural areas

-2 Data on project costs boih ~itial invest=ent and recurring

operating costs and data on project ou~puts ie pupils in schools Ddles of road coopleted nl~ber of hospital a~ssions production of factory agricultural productivity

3 Data on project organizatio~ n~~r of local inha~itants participating in establis~~ent of projectt nuober of local L~habitants subsequently involved in project

4 Data-on the pe-cetion of projects by local leaders emers of the local public a~d by civil servants data on the perception of how each project ~as initiatec organized who benefitted and what its future implicatio~s are

These types of data will requ~re field work involv~~g both docucentary research

at the relevant ~istries of the central government and in local goverr~nt

authoritieS and inforoal open-ended interviews with local political leaders

elected representatives and other local leaders who~ we had previously ~

interviewed in a s=uctured syste=atic =aoner

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Grant Organizatio~ and T~etable

We propose co undertake the research outlLled above beginning in the

fall se=ester 1977 Dur~g that te~ Professors Barkan and Kim as

principal investio~tors for the neo1 proj ect will contact their collaborators

in the host co~~tries They ~~ll also seek the collaboration of an additional

~rican scholar specializing in rural development with the aic of getting

additional advice on sources of data and suitable indicators for the

~easure=~~t of rural develop~ent projects

At the end of the fall seQester Professors Barkan and Kim will make

a trip to their research sites to disc~s details of the research organization

with their collaborators in the host countries and to recruit student

assistants Tney will devote the spring te~ 1978 to further analysis

of a~sting data at the University of Iowa

The gathering of additional dita L~ the field will begin in the s~er

of 1978 Professors Barkan and Kio will direct this work personally We

eAect that its coopletion ~~ll require three to six months This work ~1

involve the evaluation of central and local gove~ent reports on the

projects uncer investigation extensive on-site observations of the projects

and oen-e~ded interviews with the principal participants Our principal

respondents ~i1l be the local leaders and elected representatives we

have previously identified in the localities in which we have worked and

a sacple of active participants in the particular dpvelopment projects

being studied ~~ere necessary and apropriate surveys of the general

public will be uncertaken to assess the inpact of a given project on the

rural por)r We do not however leed 0 conduct systeAlatic sample surveys

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of the rur~l population as We did in 1974

In the organization of this research project we intend to reconstruct

the rese~rch tea=s ~e e=ployed during 1973-75 We shall again seek the

co11abo=~tion of P~ofessor Sc~~S-7o~g Pai of Seoul National University ~

Professor IIiCr Turan of the University of Istanbul and Professor John J

Ok~u of the U~iversity of ~arto~ S~ilarly w~ contemplate directing

the field research fro~ he same acade~ic research organizations we previously

used Seoul National U~ive~sity th~ ~~iversity of Istanbul and the

Insti~ute for Develop~eut S~udies University of Nairobi As before we

will tra~ students f~oo these institutions to serve as interviewers

The analysis of the open-ended intervie~s and of docUQentatio~ on

I ~ural develop=e~t projects will be a ~ore t~e-co~s~g process than the

analysis of closed intervie~s It will reqrire a high cotnittl~t of time

fron the principal investigators )e e--pec to hold a conference at the i

U~iversi~y of Iowa 3lO1g all the principal )clticipa~ts in the resea~ch

project d~=~g t~e spr~g 1979 to evalua~~ the newly collected data

le e~ pect to be able to vr-ite reports of t~ results during the Sl1~er 1979

(see Figre 3)

IV LlX-GS ~1) U~ILIZATIO~

At the e~d of the grant period the Uti ersity of Iowa will be able to

1) advise the Agalcy 01 the design of s~l-scale rural projects to assist

the rural poor 2) provide guidelines for social soundness analysiS of

small-scale projects for the rural areas of U)Cs 3) consult w~th the

Ag~tcy 01 the evaluatiol of rural projects ~d 4) provide LDe governments

BEST AVAILABLE DOCUMENT

)ATES

~lll

1977

~inter 1977

iprilg 1978

il mer 1978

~all

1978

ipr~ng

1979

Imiddoter 1979

University vf Iowa

Plutlning of rural develo~rent project

Barkan Kil

Alalysis of existing data

Barkan Kia

Data processing

3arkan Kin

1

I

- 4 -

Figura 3

GRAT TLfETABLE

SIT E S

Kenya Korea Turkey

Preparation of field research ural developH~lt project cOlisulta~io~ a research sites

BarkanOku=u Ki~Pai Tura~rkanKi~

Preparation of field resea-ch

Tural

Field research on rural cevelop~~t projects Bar~lOk~u Ki=Pai Turan

Co=pletion of Co=pletion of field resear~~I~ fiald researcr

Ok~u i Pai bull

f Coopletion of field research

Turan

Data analysis conference a~ong all princial i~vestigators at Un~versity of Iowa Barkan Kil Oku=u Pai Turan

Co=letiol of r~ral develop~ent

project

3arkan Kiz

BEST AVAILABLE DOCUMENT

I

- LL -

~ith speciali~cs o~ ru~al developcect ~mong their own citizens ~ho ha_

partcipatcd ~s collaborators in the Iowa projects

In the proposed project we Will test a series of hypotheses cOlcerning

the political cOllditions of rural develo=ent which run counter to CODOn

assuoptions conccrnir3 t~~ influence of rural politics on project effectiveness

As a result ~e ~dll be able to assist the Agency in designing and evaluating

such projects froe the point of V~~W 0 their political viability The

hypotheses We will test sugges~ t~at the patron-clie~t relations existing

in the local politics of zost LDCs are not necessarily i~pedients to rural

develop~ent but are aspects or the political structure which cal be used to

facilitate s~ll-scale ru=~ projects which will raise the standards of

living of _ ~ rral pomlation - As ~ result or our stuey we expect to be

able to P~-O~t the local leadership confi5~rations ~4d the relationships

between local leaders ald rural poclations ~nich are oost conducive to I

successful develcp=en efforts We believe that we will be agtle to perfect

a cat~odology for identifying the political conditions for rural develop~ent

one ~hich is transferable pound~oo the countries we have specialized in to

other LDCs

We proo~ to develop specific guidelines to assist administrators

charged with selecting evaluating and =onito~ing rural develop~ent

projects to ~szess t~esc rojects in tares of their-social and political

viability he outco~e of such projects is dete~ned not only by the

efrectiv~nass ~~=h ~hich they use scarce econo~c resources but by the

~~er L~ w=ich they e~gage the suppprt of local leaders and rural

po~ulatiocs~ by thei= effect ou social a~d econo~c equality ~d by

D[~T AvAlLA8LE DOCUMENT

- 22 -

their consequences for hwan rights ~Je plan to establish criteria by

middot~hic~ the probable outco~es of projects in these social terms can be

anticipatec

The study ~e propo e will be undertltlken by faculty at the Cniversicy

of lowe in collaboration with faculty a other ~rican institutions and

institutions in the host countries We will build on the extensive contacts

between the Co~perative Legislative Research Center of the ~niversity of

Iowa end other instituions with ~aich ~e have worked One =ajor result

of our collaborative study will be the existence of a net~ork of compe~ent

scholars both in this country and overseas experi~lced in ~orking together~

shar~g a co~on teaching and training experience i~ close contact throu~~ the

effective publications progr~ developed by the Co~parative Legislative Research

Center T~e e~~ertise of this group of individuals will be ava~lable to

oteer scholars to the Agency and ~o L~C governments for specific policy

advice The eXertise developed as a consequence of this project will

extend beyond the ~tionals of the countries ~volved since the univ~sities

engaged in ~e project attrtct stude~ts fro outside heir own countries

For ey~=ple the teaching ~d research progra in the Depar~ent of Political

Science 0 theUniversity of Istanbul heavily affected by the participation

of its facul~y ~e=bers and graduate students in our projects attracts students

throughout the ~middot1iddle East for Whom the University of Istanbul is the iajor

institution ~pound ~igher education in the region rne Institute for Developmen~

Studies is si=ilarly a focal point for students and faculty in East and

Central Africa Seoul ~atiocal Unive=sity attracts students froo other

Asia~ co~tries~ In this way the capability developed among the participant$

BEST AVAIL~BLE DOrUMENT

- ) -

in our work is diffused widely To the exte~ that the abili~y to assess

rural develop~ent p~ojects in teres of their social soundness is increased

both in the United States and in ~o~~tries r~ceiving develop=en~ assistance

the cap3~ity of racipien~ countr~es to absorb aid is ~creased

We propose to draw up an inventory of personnel available in ~~e

Cnited States and in other co~~tries who are able to consult with developen~

a~nistrators on the design of rural development projects and on their

evaluation We ~~ll draw first of ai~ on individuals w~o have been

directly associated with our ~ork in the past or on ~he proposed project

and ex~~~d the list to include graduate students and gove~ent officials

with who~ these individuals have wor~d

tole Yill utilize tha existing publication program of the Center

dercribed above to disse~inate our findings The Center has specialized

oailing lists of interested individuals and institutions in all parts of -i

the world and its reports can trerefore reach the ~st relevant audience

jirec~ly ~d re~~arly

BESl AVAIL~BLE OOCUMENT

CONTRACfjGRANTCOOPERATIVE AGREEMENT DATA SHEET

INSTRUCTIONS fjDW Complete 4 copies of the form Original SERCMSDSUP Statistical Section Copy Copy 2 SERCMSIiUP dministrative Copy opr 1 Contracting Officers COy COP) 4 SERCMSDSUP IUmin (Suspense) Copy

Missions Complde 2 copies oi the form Origin31 SERCMSDjSUF- Statistic31 Section Copy 3n~ Copy 2 Nill be ret31ned in the Missions

PART fA

ConU3lttorGranrce Name

University p~f~I~o~wa~ __ -r~ ____ ~~~~ __________ -~~ __ ~~~ ______________ ~~~~ Plorr Numt-er ApptopriJtion Number Allotment Number Project Number

930-0090-3Q13411 A5 72-111l0216 146-30-099-00-20-11 930-0090 Project Title

So~ia1 and Potitica1 Aspects of Development - Conference to Report Research Findings Amount of this Plorr I Projecl M3nagers Name and Offire Sytlbol

$10397 (increase) PDPRCP Jonatlan Silverstone Contr3ctors D-U-N-S Number

Ncgwatocs TYJlCd~3meJ j) Signature I l ~ jIf- bull G HtJ--ft u l IVmiddot

D~e

L - f - J ContractGrant Officqs typed Nailllt Signalure LJ d I -r-

plusmn t 3i-alflpta (( BLvle~ 1 I~ PARTm

ContractGranl Number

AID CSD-3294

Effeclive Date of Docum~nl Signalltre D3t~ of Documenl

Lf---C yen-~-gl tIost Courtry Institution (U iwrsity contract ONL Y)

Campus Coordinator (Uniwr ty i contract OiiL YJ

PART UL Descriplion of Cor-tractGrant P1use X ONL Y ONE item under each headiZg IF THEltrease CifYmC~e bolh ges I 30~~ O~ Nol to be completed for Amendmenl or Modlfic3lion AJigtns I III

J 710gt I I V ~ I

MOl - TYPE ACT A~ 0 G unsolicited Propsll (AIDIR 0 C Individual (Non-pe~nal senice)

~ O Cortra lGrantl ooperative Agreemenl 73101-SO(b)(6raquo 0 D Individual (ftrsonal Service)

tJl T3sk Order ( A)middot 0 H Procurement 10 be Perfocm~d by the Conmiddot 0 E UniversilyOther FAuC3lionailnSlitulions

D 2 Work Order (IQC) Ira~lor in Person (AIDPR 0 F Non-Profil Organizationlnslitutions (other

D 3 Delivety Order (Requirements) 73101middotSO(b)( Iraquo than Ed or PVO)

[j 4 Purchase Ordcr [J I Sole Source (AIOPR 7-3101-SO(b)(4)) 0 G Private Volunury Organization (PVO)

If I 2 or 3 1Lle an ~ compllle M 12 ON Y D J Imp3irmenl of Foreign Policy Objectiws 0 H International Agricultural Research Organj-

M04 - CONTRACTGRANT TYPE

o O MOA (BOA BMA etc)

o I Fixed Price (Specify fFP FPRD FPEPA FPI) _____ _

(gtIDPR 7-31 OJ SO(b)(7raquo

OK B(a)5eJection (FPR 1middot1713-1)

o L Grant iH1ndlOok 13)

o M Do Nol Ue

D 2 Cosl Reimburemenl (S~cil) CR CPFF 0 N Cooperative t~reement (Handbook 13)

CS CPAF CPIF) ~ 0 O Small Business SeImiddotAside (FPR 1middot1706-8)

o l Cooperative Agreemenl ~ 0 1 Overseas Procuring AClivilies (AIDPR

04 Grant Gener31 Supportmiddot 0U ~ 7lIOI-SC(b)(2))

o S Granl - Specific Support ~ ~06 E SER VICE

g ~ ~~t ~~(d) ~~ ~~ ~ eci~a~~~~~ogram Projeci

o amp IQCs ~ ~ relampted excepi A amp E Services)

o 9 Host Counlry ContraclGrnnt 5lJ C amp E Services

middotComplele ONLY through ~Sl ~~ 0 D Construction

M05 SELECTION PROCEDURES 0 E- Reseuch

o A Formally 3dverliscd (IFB) (A1DPR 7middot24 amp

FPR 1middot24) ~ o B Negoli3ted Price Compelilicn Gencr31

Procedure (RFP) (-JDPR 7456)

Dc A amp E (AIDPR 7410)

0 D Ed Inst andor Inl1 R~arch (-JDPR

74 5)

o E Collaboratoe Assisunce (IDPR 7458)

C F Predominant Capability (IOPR

73IOI-50(b)(l)

AID 1420-49 (179) - Page I

D F Technical Services to AID (other than trainmiddot

ing usually o~ating expense)

D G jraining SetVice for AID

o H Equipment Materi3J~ Supplies Commodities

D I Translation Service

~07middot TYPE CONTRACTORGRA-nEE

o A Firmmiddot AU profil-rn3king fUms (other than

Aamp E)

J e A amp E 8r~

zalion

o Public Inlmlational Organizations (UN

Agencies ICRC Wocld Bank elc)

(H8 J 3 Chapt~ S)

M08- TYPE AW~RD

o A S8 Sel-Aside - Awarded to Non-Minority

o B S8 Set-Asidemiddot Awarded to MinXity

o C_ S8 NOI Set-Aside - Awarded to Non-Minority

o D S8 NOI SeImiddotAsidemiddot Awarded 10 Minority

o Eo amp(a) S8A Awarded to Non-Minority (Womerl-

Owned Veterans etc)

o F 8(a) S8A Awarded 10 MinorilY

o G Personal Sen-ice ConlrdCt bull Non-Minority

o H IeJSDnal Service Conlract - MinorIty

o I Individual NonmiddotPersonal Service Contraci -

NonmiddotMinority

o J 100Jigtiduai NonmiddotPersonal Service Contracl -

Minorily

o K NOI Small Business (Univ NonmiddotProfit Large

Firms) Non-Minorily

o L- NOI Small 8usineSl (Univ Non-Profit Large

Firms) Minorily

o M US Govcrnmlnt

(Connnued on Page 2)

BEST AVLABIE DOCUMENT 1 I

--

ua ) R I GI NAL 9 bull

MODIFICATION or GRANT PAGE 1 of 2

AH 1 2 Effective Date 3 Grant No 4 Effective Date

Amend_at Ro 5 April 15 1981 AIDCSD- 3294 8-11-71

-s CRANTEE (Name and Addrea) 6 Administered by -Professor Gerhard Loewenberg -Office of Contract Management Cbrnparative Legislative Research Gente Central Operations Division Dept of Political Science am Branch University of Iowa Agency for International Developn~nt Iowa City Iowa 52240 Washington D C 20523

7 PIO No 930-0090- 3013411 A5 8 Previous PlOTa -

Appropriation No 72-11110216 93i-1l-995-l36 930-11-995-136-73-3078103

Allotment Symbol - 146-30-099-00-20-11 wunt Obliga ted by this ~ndrnent - $10397

The above numbered Grant is hereby modified as follows

1 Anotmt obligated prior to this rurendment 2 Amount obligated by this amendment 3 Total obligated anount (1 amp 2)

Delete the amJmt $465000 and substitute in lieu thereof the ammnt I$47S 39-7 ~

FUNDS AVAIrABm

~~ - APR 13 1981

PrO~A~~5iors

$465000 $ 10397 $475397

OffiCE Of fIN~(1 ~~rE~E~T __ _ 10 This amendment 11 entered into puruant to the authority of the Forelgn

Assistance Act of lS~l as amended Except aft hereln provided all terms and ~~ndi~ons nf the grant rcferpnccd in Block 13 remain unchsnged and in full force and ~ffcct

11 original and six Crantee 18 requlred to aign thh document aad return 1- eopics to issuing

ffiee

~~~ or printed) BUSINESS MAHAGR amp bull

Tille TREASURER

UNITpound) STATES OF AHERICA AGENCY FOR INTERNATIONAL DEVELO~NT

BY_-1(1o-_1lt--= 13middot~_1_~ __ K R B1uteau

(Name typed or printed)

Tltle~ ____ G_r_a_n_t __ O_f_f1_c_e_r ____________ __

D3tC APR 2 J 7997 Dolt 9 APq 1981

BEST AVAILABLE DOCUM NT ___ 0 HLGlNAL - I 1 J 1 ~ )

- 2 -

AID ftmds in the am)tmt of $10397 are hereby provided for the activities lmich are described in your proposal (including Budget Stnmnary) entitled CDnference to Report Research Findings on the Study of Political CDnditions for Effective Small-Scale Rural Assistance Projects in Kenya Korea and Turkey dated February 17 1981 and made a part of the Grant b reference

BtTDGET StMMARY

Line Item

Travel

Per Diem

Other Direct Costs

Less existing 211 (d) grant funds

Total Amount Obligated by this Amendment

Estimated Costs

$ 5888

5100

_ 2500 $13488

_ 3091

$lO39

Note Indirect costs or $395086 associated with these activities will be contributed by the University of Iowa

BEST AVAILABLE DOCUMENT

~RIGINAL

- CONTRACT IGRANTCOOPERA rIVE AGRElEMI~ SERC~SDSlP Actio) Monitor

SERCMSDSUP Action Office

I

INSTRUCTIONS AJDW - Complete 4 copit of tlh fonnmiddot Orisina iCMSDfSUP Sutistical Section COP)middot Copy 2 SERCMSDjSVP Administrative CoP Copy 3 Cont-acting Officers COP) Copy 4middot SOSUP Admin (Susptnse) Copy Missionsmiddot Complete 2 copies of the form or~aI SERCtSDSUP Statistical Section Copy and Copy = wiU~ retained in the Missions

0 PART IA

Effective Date of Document tJ

Delivery Order (Requirements)middot

o 4 Purcluse Order

bull If I 2 or 3 have an bull X compl~te M I 2 ON L Y

M04 - CONTRACTGRANT TYPE

o O MOA (BOA BMA etc)

o 1 Fixed Price (Specify FFP FPRD FPEP FPI) ___ _

o 2 COli Reimbursement (S~cifY CR CPFF CS CPAF CPIF) ______ _

o 3 Cooperative Agreement

o 4 Grantmiddot General Support

o S Grantmiddot Specifi Support

o 6 GraDt 21 led)middot

o 7 Do Not Use

o amp IQCs

o 9 Host Country ContractGrant

middotComplete ONLY through M 5 1

MOS SELECTION PROCEDURES

o A Formally advertised (IFB)(AJDPR 7middot24 amp

FPR 124)

o B Negotiated Prire Competition General

Procedure (RFP) (AIDPR 7456)

o Co A amp E (AlDPR 4 I 0)

o D Ed Ins andor Intl ReStalch (UDPR

7457)

o E Collaborative ASSistance (AIDPR 7458)

o F Predominant Capability (AIDPR

7-310l-50o)(3)

AID 142049 (1-79)middot Page J

o H Procurement Co be Performed b~ the Conshy

tra~tor in Person (AlDPR

7middot3t OI-SO(b)(Iraquo

o I Sole 5gturce (AIDPR 7middot3101middotSO(b)(4raquo

o J Impairment of Foreign Policy Objecdv~

(AIDPR 7middot310 ImiddotSO(b)(7raquo

o K 8(a) Selection (FPR 1middot1713-t)

o L Grant (Handbook J 3)

o M Do Not Vse

o N Cooperative Agreement (Handbook 13)

o O Small Business SetmiddotAside (FPR 11706-8)

o P Overseas Procuring Activities (AIDPR

7middot3101middotSO(b)(2raquo

M06middot TYPE SER VICE

o A TtJining of Participants

o B Technical Assistmce (Program Project

related exc~pt A amp E Services)

J C A amp E Services

0 D COltl~ruction

0 E Research

0 F Technical Services to AID (other than trainmiddot

ing usuaU Y operating ex pense)

0 G Training Service few AID

0 H Equipment Mat~rials Supplie~ Commodities

0 I Translation Service

07middot TYPE CONTRACTORGR TEE

Firmmiddot All profitmiddotmaking fu-r1s (other than

AampE)

o 9 amp E Firms

I Prcct NumbcT

I

Contactors D-U-N-S Numbcr

I) -S--f(j

o C Individual 0-lon-~rsora1 service)

o D Individual (Pet-sonal Service)

o E University lOt her EduCltionaJ Institutions

o F Non-Profit Organization Institutions (other

than Ed or PVO)

o G Private Voiuntary Organization (PVO)

o H International AgricultwaJ Research Organmiddot zation

o I Public International Organizadon~ (UN

Agencies ICRC ewld B3J1k etc)

(HB J 3 Chapter 5)

M08middot TYPE AWARD

o A SB SeImiddotAsidemiddot Awarded to Non-Minority

o B SB SetmiddotAside bull Awarded to Minority

o C SB Not SetmiddotAside - Awarded to Non-Minoril)i

o D SB Not SetmiddotAside - Awarded to Minority

o E ~a) SBA Awarded to Non-Minewity (Womeli

Owned Veterans etc)

o F 8(a) SBA w-rded 1o Minority

o G Personal Service Contractmiddot Non-Minority

o ~ Personal Service Contnct - Minority

o I Individual Non-Personal Sence Contractmiddot

NonmiddotMinority

o J Individual Non-Personal Service Contractmiddot

Minority

o K Not Small Business (Univ Non-Profit L1lge

Firms) --vn-Minority

o L Not Small BUSiness (Univ NonmiddotProfit Large

Firms) ~inoriy

o M VS Government

(Continued on Pcge 2i

t bull - t ~ J f q

ORIGINAL bull MODIFICATION OF GRANT

1 2 Effective Date

Araendllent Ro 4 12-2-80

s CRANTEE CHace and Addrels) Professor Ger1ard Lo~middot enbelg Comparative Legislative Research Deartment of Political Science The Lnivp-rsity of Iowa Iowa City Io~a 52240

7 PIO No NI A

Appropriation No 72-11XHl26

Center

Allotment Symbol -426-30-099-00-3~-71 Amount obligated by this urendment-O- I

3 Gnnt No

AIDcsd-3294

PAGE _____ 1 _of-L

AlI 4 Effective Date

8-11-71

~ Admlnlltered by -Office of Contract Management Central Operations Division OTR Branch Agency for International Development Washington DC 20523

8 Previous PIOITs -

931-11-995-136 930-11-995-136-73-3078103

9 The above numbered Grant is hereby modified as follows

Supplement to Grant

Change the duration period sentence to read

The Duration Period for this Grant shall be August 11 1971 through December 31 198]

1 Amount obligated prior to this amendment $465000 2 A~unt obligated by this amendment -0-3 Total obligated amount (1amp2) $465000

----------------_- - ------- ----_- ------ 10 Thh lImcndmcnt is entered inlo punuant to the authority of the Foreign

~ Assistance Act of 1961 86 amended Except a~ h~reln Z II provided all terms and condi tions nf the grant referenced in Block 3 remain ~~aunchlinged and In fu1l force and effNt cnltUI cJ)za 11 o 4 J bull

Et~ ai~a gtUoItshyc Z P=u

original and six Grantee t requi red to sign this document and return 1- eopies to 1Bufng

office

~ 12 GRANTEE TES OF AMERI CA

(Name typed or printed) bull

TJlle Director Comparative Legislative liecearell CeQtoQl

Date 12880

------------------------------------

ONAL DEVELOPMENT

By ----~--~~~~---------------------

prinled)

Grant Officer Title --------------------------------

J)oll( 12-2-80 -----------------------------

BEST AVAILBLE DOCUMENT i je

Page 18: PD-Ar3T Cr(~

- 15 -

Ile Univelsity of 10Ira will eadnister- the Grant thJotg~ its normal

a)1 iristrative char-l1els ad i1 Eccordance imiddotlith its ncrTal olicies and

operatirg procedures 7he Director of the gr~l1t-s~~ported program

Hill be a senior faculty eriOer of the Gniyecsity of IO~-ia -with extensive

expe~ie~ce in the subject field Associate Directors w~tb similar

qtalifications -aill also be appointed 7he Director- and Associate

Directors ~dll serve as eibers of t~e Inter-University Advisory CC1gtr)ttee

established to cooidinate _u bullbull ID gra1t-stpported programs at IOia Dul(e

lniversity a1d the University of Ha- aii Ll1 this field These relatiol-

ships are i~dicated in tee follc~dng a~inistrative organization chart

IX Ul~vsity Ccntri1uticn

T1~ ~h-ersity of IQ(a aSSures ALD that this Grant middotiill not

replace existing ftnds for STr current activity and imiddotrill be additive

to existing prograrrs of tCe lJniversity In direct sp~ort of this

Grat ttc University ~ill provide a) Acmi1istratile costs including

tie of senior officers of ttlt University b) Office ~ld research space

ald library and cor-puttr facilities c) Provision of a1cillamiddotCjr 1niversity

personnel -or consultation o~ ~middotjQrk nth the progral

X Reports end 5evie~-Ts

There i-ill be sub~itt-=i al arnual t2ctnical report for the purpose

of AID s revie- of activities under te Gant Tnis idLl include

a11 e-llation of prcsr~ss aidnistratve ar_c fiar~cial corsicer~tior~s

p~s cr tr foJlJ-middotire ear ~i disctlssics of the ossible l~lizaticn

BEST AVAJLIl8E OOCI1MrNT

~

- 16 -

A~~inistrative O~ganization

Ice Board of Regents of tle State of Im-la

-Iesicent of the University I

1 rOfcst Jf t-3 University

Den College of Liberal Arts

r Chailan DcptiEt of olitical ScieJce

Inter-G~iversity

Acisorr Corcittee

PcgrG21 Director Associate Progra~ Directors

Liaison Arcrge~~nts d ~h I I~~erested Plcfessiona1 I Perso~el j

I _

I 5cu1ti (full or PmiddotLG-tire l Asscci~tes a1d otllei non-Io~il

3ecip5ents of Gr3-1t stPPC1t Gr~cue~~e S t1~lcnts St2~retQi~S1 Data Lbed~1 31

Ln 18 r1icia 1

LO1t c~lce Factcj~1 ts

BEST AVAILABLE DOCUMENT ( ( V-t

- 17 -

of te eo17i~g cCpterce br A I D rLld ethers In addi tion there

aS3essr~ents of the gr31t

middot l ~ lI ~ _ _ _ co~~~r~~ing ~~iversiti~s md tne rrctitoring ALD office

7re l~yersity of Ie~middot~ budget of $26500 is to be deveted to the

cemiddotelgt~e~ of lstituticnal cefete1Ce in comparotive legisl~tiye studies

~t Iomiddota c t~ the exalsi0 ot a date b~L-lt ~ hich 1fill be utilized as

a ecle for icrec3ing te scope of tbe sub-specialty

T - 1 f 1 __ middotja r S Ctdget a9roxir~tly 33- has bee allocated to a

cemiddote Lp~l t rirc ipally C actlty re leased tirre for data ccllection

ai 0 3alres f~r i~~er-ieers in field research 3d secretarial

assi5ta1ce nCt2 11- of t~e Icmiddotre oudge~ is iesignated for an

ArCE_1 A~ite s(101a~middot 2d one 0 ore scnolals froQ LDe or

s1lllrt of greluate stucents in the

BEST AVAfLIlBLE DOCUMENT

- 18 -

Finally approximately 19 of the budget will be devoted to the

proposed data bruL~ that will archive not only data generated from the

research of scholars at Iowa Duke and Hawaii but also at other US

and foreign institutions Primary and 3econdary an~ses of these

data will become an integral part of ~omparative legislative studies

curricula The ability to utilize the data bank for teaching purposes

also should have a significant impact on professional preparation ofmiddot

future legislative specialists In summary the funds will be

allocated to research teaching and training activities tha~ are

entirely conson~~t with the philosophy underlying the utilization of

2ll(d) grants to achieve institutional development

Conclusion

The University of Iowa regards the research and teacbing components

of this program to be closely related an1 zrutually reinforcing The

University of Iowa offers a strong base for the pro~ram because of the

interests of faculty members here now because of their contacts with

scholars in this field in other Americ~~ and foreign universities

because of their experience with the international exchange of faculty

and because of the distinctive data gathering and processing facilities

available in our Laborator~- for Political Research The program which

we have formulated is designed not only to accomplish specific

research and teaching objectives but to contribute to the long-term

development of the University of Iowa in an area in which it has already

exhibited special interest

BEST AVAILABLE DOCUMENT

~ I) - 0

- 19 -

The program on Comparative Legislative Studies with support from

this Grant rill develop the capacity at the University of Iowa to

provide assistance under separate financing arrangements to developing

countries in a number of ways and through a varieiy of channels This

assistance which would be arranged for end negotiated separate~ from

this Grant may be in the form of technical assistance advisory service

training research and information exchange etc It will be available

by mutual agreement to appropriate agencies national and international

public private a~d mixed and directly to the less developed countries

Most especially this added special competence will inevitably become

incorporated through the processes of scholarship and education into

the competence of US and foreign scholars and institutions concerned

with this topic of great significance to the developing and the more

highly developed countries alike

BUDGET SUMMARY

UNIVERSITY OF IOWA

Salaries

Graduate Student Stipends

Fringe Benefits

Travel

Equipment and Services

Other

TOTAL

$173090

32400

19209

13800

6501

20000

$265000

BEST AVAILABLE DOCUMENT

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(C

Dr Willa~d l Boyd Presicient University of Ima iowa City Iowa 52242

Dear Dr Boyd

4 AUG 1977

amp

FIJNDS AVAnASLe CpoundNrftAamp sEIMCEs DMsON

AUG11 ~n te t6417 ~77

Subject bull Supplsectferit-tJF-G~middotNomiddot~middot AIOcsd-3294

t middot-rrPJ1 3

I am pleased to inform you that pursuant to th~ auth~rity contained in

S-cction 211 (d) ooC the Foreign Assistance Act of 1961 as amended a sup

plemental grant in the amount of $200000 is h~reby r~de to University

of rCi1a These supplement]l grant funds areprolided to support the

activities which are described in your Proposal dated May 6 1977 for

the implementation of your program entitled Political Conditions for i

Effective Small-Scale Rural Assistant Projects

---This sup~lemental grant is mace to University of Iowa en condition that

yo~r institution shall administer the funas provided under this Grant fn

accordance lith your r~ay 6 197 proposal (including Budget SUmlilary) and

the Standard Provisions (as incorporated by Amendment No 1) which have

been agreed to by your instit1ltion Ti) the extent of an inconsistency

between the Proposal and the Standard Provisions and any otherprovisfons

which ar~ made a part of thi5 Giant by reference or other~iSe the Sta~d~

ard Provisions shall control

The new Duration Period for this Grant shall beAugust 11 1971 through

August 10 1979

The total amount of funds obligated under the grant is increased to reflect

a new total oblgated amount of $465000

Please sign the Statement of Assurance or Compliance ana the origfnal -

and seven (7) copies of this letter to acknowledge your understanding of

the conditions under which these funds have been granted Please return

the Statement of Assurance of Compliance and the original and six (6)

copies of this supplemental Grant to the Office of Contract Management

Attachment May 6 1977 Proposal and Budget SUfiT1a ry

UNIVERSITY OF IOWA

Roberw bull OBrien fficer

Ce al Operations Division Office of Contract Management

AC~E~E~C--_ 0 BYpoundk~~ cH

D C ~lpoundSTtR5BA T ITL E ( PfeampoidPilt for

tee ment amp Research DATE 9-22 -77 (d~ ~~Bduate Ctl~1e~e

BES i AvAILdLt UOCLJMU~ I

211(d) Grant Program

Proposal of the University of Iowa

POLITICAL CONDITIO~S FOR EFFECTIVE SMALL-SCALE

RURAL ASSISTA~CE PROJECTS

Submitt~Ci to

Civic Participation Division AID

May 6 1977

Amount requeste~ $ 199987

BEST AVAILABLE DOCUMENT

I TdE DEVEIOP~T PROBr~

P~litical Conditions for Rural Development

The Cocparative Legislative R~search Center of the University of

Iowa proposes to ~~dartake a two-year study to investigate the role of local

leaders and the rural public in theimplecentation of small-scale develop~ent

1 projects in less developed countries The study will use and extend the

capacity ~hich the University of Iowa developed under a 211(d) grant to

investigate and assess the impact of loeal politics on rural development

~t the co~pletion of the s~ Iowa will be in aposition to advise the

Agency on the design ~nd evaluation of s~ll-scale projects which will be

politically viabe a~d effective in ass~sting the rural poor ~

As students of development w~ approach our task with the assumption

that the proble~ of development and underdevelopment are funda~entally

ones of political econooy and a~ such can only be solved through a

simultaneous considerationof economic and political factors Efforts

which foc~s aloost solely on economic factors like those of ma~y

organizations engzed in dipersing foreign aid or efforts which focus

almost exclasively on political factors fail to take account of the

interdependence between these two dimensions of underdevelopment and

lwe have for~ulated this proposal in a canner consistent witr the cu~rent policies ard interests of the Agency We have been guided in our tsk by four Age~cy doc~e~ts Impleo~~tation of New Directions in Developnent Assista~c~~~ ~eport to the COmlittee on International Relations on Ilupleoenshytatiun of Legislative Refo~ in the Foreign Assistance Act of 1973 (July 1975) rItevis~d Projec Developiel Review and Approval Systeo (A I DL Circular A-21 Aril 23 1975) SH Butterfield Draft SUIilZ3ry StateUlent of a Practical Agelcy Approach c aural Devalopilelt (AATA February 28 1975) Cicci A Coce~ual Oie=viamiddot middot Rural Development No1 (lWorilting GOU O~ tha Rural Poor February 1975)

- l -

can meec with only l~ted success

Our concern with the i=pact of local politics on the process of

rural developcent is a result of our interest in the basic question of

how LDC governm~nts and the donor agencies which assist them can

become core effective in raising the standard of living of the rural

poor We seek answers to the following aspects of that basic question

1) What political conditions must exist both within rural communities

and between theo and central gove~ents to raise agricultural production

w~ere small-scale agriculture is the do~nant pattern 2) Vnat are the

political conditions for a core rapid expansion of the informal manufacturing

and service sector cocprised of labor intensive small-scale industries

located in the rural ar s 3) What political structures and activities

are mase crucial for the provision of welfare and econocic supporc services--

such as agricultural exeension mar~eting and transportation--to the rural

areas1 4) ~~at Folitical conditions oust exist to insure that economic

growth in the rural areas is not accowpanied by excessive and intolerable

inequalities between socio-economic classes andor between regions1

Center-Periphery Linkage in LDCs

To deter~ne the political conditions for rural development we have

in previo~s s~udies exacined the institutions and processes through which

rural populaticns are integrated i1to the national politi-cal systetlS of

middot~he countries in which they live A gap exis~s in most less developed

countries bet~een the peasantry residing on the periphery and the c~~tral

political ~stiutions staffe1 by ~~estern-educated bureaucratic elite

We are aware of the other major ~sti~utional discontinuities which comprise

J

4 middot~~1 the basic cleavage between the developed and underdewmiddoteloped sectors of

these dual societies Bridging these gaps is essential if these so~ieties ~ are to develop into viable nation states For until those Q~ the periphery

of the poli~ical syste~ participate in that system and support and comply

with the authority of central political institutions neither economic

development in ~he rural areas nor a stable polity will emerge

Bridging the discontinuities in these new political systems requires

establishing and institutionalizin3middot1inkages or networks for co~unication

and exchange of resources between decision-makers at the center and the

rural public on the periphery Three types of institutional linkages are

most prominent in less developed countries 1) those conSisting of the

state administration composed of the bureaucratice1ite 2) those consisting

of a revolutioncry political party cocposed of the ideological elite

3) and those conSisting of patron-client hierarchies composed of the political

entrepreneurial elite

Of these three linkages consisting of the state administration are

the cst extensive and pervasive in virtua~ly every LOC Such linkages

however exist primarily a~ instruwents of the center to penetrate the

periphery Central government officials are formally charged with bringing

develo~ent to the people This is a ~issi~n which conceives development

as a process ~hrough which a traditional peasantry is transformed and

assimilated iJro the DOdern center which is steadily expanding to embrace

it Agents of the center invariably have more resources to achieve their

objectives than do local political leaders but because they are frequently

strangers~ the communities in which they function they are often unable

- It -

co implement the policies of the center without working through the

local establis~ent

Though somctices significant linkages consist~g of revolutionary

party organizati~ns such as those found in China and Vietnam do not exist -

in most IDCs beca1Se of the special historical and e~omic conditions

required for their development As wi~h the administrative state however

the linkaampe apparatus of such political patties is prUlarily an instrument

of the center whose mission is to penetrate and mobilize those onthe

periphery

In contrast patron-client hierarchies are linkages which represent

the periphery at the center and mediate betwee~ these two disparate

sectors of the political systec Thcugh norcallymiddotovershadowed in scale

by the state administration patron-client hierarchies are found in almost

~very LDC a~d constitute the ~st significant network through which rural i

populations and their leaders influence the decision-~king process at

the center Patron-client hierarchies exist in a wide variety of org~iza-

tional fores ranging from info~ ~ec~~rks of individual olitical leaders

in uno-partyll systelS in S~b-SaharaI4 Africa to extensive political machines

in both one-p~rty (Africa Mexico) and ~u1ti-party systems (Turkey India)

Despite their importance as the pricary means through which peasants in

LDCs particiate in their political systems patron-client hi~rarchies

have only recently become an object of analysis by students of political

developent and do not appear in even the most sophisticated studies of

2 See Jo~ Dunca owell Peasant Socie~y and Clientelist Politics Aerican Politi~ Scielce Revietol 64 (June 1970) pp 411-25 Rene Lemarchand anc_ Keith Legg olitical ClienteliSJ and Ethnicity in Tropical Africa Aierican Political Sc~ecce ReView 66 (Y~rch 1972) pp 68-90 James C Scott PatronshyClient Politics a~d Political Change II 1tlerican Political Science Revie~ 66 (~arch 1972) p 91-113 and Friends Followers and Factiols bull edited by Steffan Sc~~d and James C Scott (Berkeley UniverSity of California Press 1977) bull

- 5 -

3 economic development Ad~niscrators of developmental assistance progracs

have too often regarded patron-clienc hierarchies as ~ped~ents to

develop~ent instead of recognizing cheir potential utility bull

~ Findings on Patron-Client Hierar~hies --

The importance of pat~on-clienc hierarchies for linking the periphery

to the center is one of the major findings ~erging from a study of the

relationships betueen l~gislators an~ their constituents in Kenya Korea

and Turkey ~hich the Cowparative Legislative Research Centpr is nov

comleting uader its 21l(d) grant from AID This study has av~mined the

creation of linkages between the periphery and the center through ~ore

than lO~OOO interviews with members of parl~ent local leaders and

peasants in t~e three countries The findings are being systewatically

set out in a book-length monograph Nearly a dozen research reports have -

uready appeared (see Appendix C) ipropositions about the nature of

political behavior of rural populations an~ the roles of local political

elites de=ived from the research~ can be s~rized as follows

1 Elected representa~ives play a significant role in the creation and mainte~ance of linkages be~een the center and periphery by developing local political achines in which they function as patrons of their constituents In turn thay s~rve as clients of political leaders of national stature who control central government institutions

2 By atte~pting to establish linkages based on patron-client relatio~shi~s elect~d representatives are responding to public expectations chat their prizary duy is to obtain resources from the center to proffiote local develop~ent ~iany elected repLesentatives spend most of their time on self-help co==unity development projects such 3S the building of schools health clinics irrigation works arid roads because such projects provide

3For exa~le ~ a widely respec~ed a~d useful analysis of rural deve16p~ent in Sub-Sahara~ Africa L~ Lele of the World Bank notes the problems of creating an adoini5~raive infrastructure in the rural areas that is sensitive to local socio-oliical conditions She does not however consider how local leaders operating o~tside of adcinistrative structures ~ night contribute to the developne~t 0 the rural areas See ~~ Lele ~ Design ~ Rural Develop~ent Lessons ~ Africa (Balt~re The Johns HopkiD~ Uciversity Press 1975) r) pp 127-61 i ~

- 6 -

their const~tuents with desired se~ices ~~d a= the sa~e time provide the reresentatives with an orgacization Yhicn can be used as a political base

3 l-tore than 90 perCel1t of the rural population is capable of articulating the p~oblems facing their local co~~ity and two-thirds discuss th~e proble~ w~th their fellow citizens on a regular basis

4 Three-q~rters of the residents of the rural areas can identify the public ofpoundici~s who serve thec--both civil servants and elected represcrtatives--by na~e Most are knowledgeable about the activities of these officials Alcost one-fifth coreover have discussed co~~~ity probl~ ~ith these officials particularly those working at the grassshyroots level Residents of rural villages actually have a higher level of political knowledge than their counterparts in the towns

5 Elections in the rural areas evoke a highly rational attern of voti~g despite the effects of ascriptive or traditional co~siderations Inc~ens are pri~rily evaluated in terms of their record in fulfilling the public r S elpectations of what they should do Elections are essentially referenda on inc~entsr perfo~ce especially their perforwance in the area of constituency servi~es such as bringing development projects to the districts bull

6 Local developcent projects have a relatively high s~olic value generating conscitutency support for local leaders and the central government at low cost

7 These projects help huild a local political infra-structure which can also be utilizec by central govern~nt civil servants to implement other policies designed to achieve rural develop~ent bull

The Icpac~ of Local Politics on Rural Projects

Having explored the developtent of linkages through which the periphery

is represented at che ~enter and through which the periphe~ attemp~s to

share in the ceners resources we now propose to build upon our initial

investigations by e~ing in greater detail the impact of local political

conditions on specific problecs of rural develop~ent We propose to

exacine the develop~ental activities of local leaders ~nd the rural public

by eX2~Ding a saple ot fifteen to twenty smalL~scale developwent projects

in each of ~he three countries which constituted the sites for our initial

8ESI AVAILABLE DOCUMENT 1 ~ - of

- 7 -

study of center-perhiphary relations The appropriateaess of this approach

and the ~ethodology through which it will be ip~emented is discussed in

section II Because the ~ethodology of investigation is in large part

the result of our previous research experience we fizst turn to a revieW

of the existinQ __ ~petence of the Comparative Legislative Research Center

in this area

II GRAXTEES EXISTIXG CmET~CE

In 1971 the University of Iowa received a 211(d) grant to develop

its capacity to do research on the role of elected represent~tives in

the process of modernization On the b~sis of this grant the University

established a research center which planned and carried out a research

project on the role of elected reres~~tatives as links between the central

gove~ent and rural populations in K~ya Korea and Turkey The project -i

served to develop t~e University of Iowas research capability in this

field esa~lished ties between the University and scholars in the bost

countries and generated a large and uniqu~ body of relevant data

In that project we fo~ussed our attention on tbe activities of elected

representatives in their constituencies notably in their contacts with

local political leaders voters and civil servants To determine tbe

nature of the linkage function performed by tbe representatives we

designed our research to explore the subject from three perspectives

1) we eXaojned ~~a ~ubject at tbe grass roots by conducting a series of

sample surveys of 200 to 300 adults in each of 12 to 14 parliamentary

constituencies in each cf th~6three countries 2) we examined the subject

at the center by intervie -ing MIls from the constituencies in which we

had conducted S3mple surveys ~nd higher civil servants with whom they

had contact and 3) ~e ex~~ined the subject from an inter-~diate level

by identifying aud ~terviewing local social and political leaders in

the MPs constituencies We used survey research methods because we

were embarking on the study of an entir~ly new subject for which little

relevant docu=e~tary data existed and on which there were few secondary

sources As a result ~e have unparalleled experience with survey

research in the rural areas of less develo~ed countries

The surveys which constituted the cajor part of our field work were

planned in collaboration ~~th scholars from the host countries They were

carried out in each constituency by student interviewers in the appropriate

language ~re than 10000 respo~dents were inteDViewed for the project

Given the visibility and sensitivity of this undertaking approval for

the research was sought and obtained from the host governments prior to -i

the collec~ion of data ~o objections were raised by these governments

at any stage of the research The data obtained have been made available

to scholars i~ the host co~cries and some of the basic findings have

been published in periodicdis in these countries

The Comarative Legislative Research Center ~hich ad~nistered the

project has aisO developed extensive experience in the study of political

leadership in other countries It h3s obta~ed substantial support from

the Fo~d Foundacion and the Rockeeller Foundation has worked in

collaboration ~~h European as ~ell as Asian and African scholars and

is engaged in a ajor study of the role of elected and non-elected leaders

in the oanag~~t o~~ocial conflict Because it has conGucted research

in a variey of setlngs the Center has an ~ceptional capacity to

- 9 -

determine how the relationships be~een political institutions and

economic p=oble75 differ in develoPed and less developed countries

In the course of the major research projects the Center has administered

it has gained highly specializpd ~p-i ce iI identifying 1Olitical leaders

in a great variety of settings conducting systematic interviews with

them collaborating with scholars in the host countries and in coding

and utilizing large files of data to answer specific research questions

The Center has ~lso undertaken to publish the results of its research

in three fores It issues codebooks to the data enabling scholrrs at

other locations to use the data expeditiously i~ publishes research reports - in the form of Occasional Papers and it publishes a scholarly periodical

devoted to the presentation of research findi~gs to an inteIT~tional

audience

The Center utilizes the data ~ysis facilities of the Laboratory

for Political Research of the University of Iowa and drawS on the unusual

n~er of secialists in comparamptive politics and survey research in

~~e Lniversitys Departmen of Political S~ience The Center itself I

has the services of an administrative secretary and a clerk-typist

~intains its~o~cn extensive archives and its o~~ publications program

It is e~uipped to assist scholars and government officials outside the

t~iversity of Io~a The participants in its p~ojects are full-tioe

faculty ~e=bers ~hose undergraduate and graduate teaching is closely

related to their research As part of the teaching program the Center

has attracted students from the countries in which the research projects

have been conducted these students have participated in the projects

bull J

have obtained training in other fields of political science have received

University of Iowa degrees~ and have ret~rned to teach and to do research

in their own countries

III PURPOSE OBJECTIVES AID METHODS

Purpose of Study

The purpose of the proposed grant is to extend the capacity of the

University of Iowa to determine the political conditions in the rural

areas of less developed countries which favor the establis~ent and growth

of small-scale developoent projects ~e objective is to put the University

of Iowa in a position to assist the Agency in designing small-scale rural

developent projects providing guidelines for carrying out social soundness

analyses of such projects and adviSing in the evaluation of projects

We will discuss the utilization of~t~e Universitys capacity in detail in

section IV below

We propose to concentrate our investigations on the political conditions

surrounding s~l-scale ru~al projects Such projects have distinctive

advantages They waximize the political participation of the rural populations

both in det~~-ining the direction ~d implementation of develop~ent efforts

and in defending the interests of periphery vis-~-vis the urban-based

bureaucratic elite S~ll-scale projects stimulate entrereneurial activity

on the part of the rural citizens and growth of the info~l canufacturing

and service sector Tbey require less lead tice and less administrative

c~erhead to ~eco~e operational than large-scale capital-intensive projects

centrally administered Such projects yield rapid and direct benefits to

1

j

the rural

- 11 b - ~~1

populations and are consistentwith their hUIlaD rights--both

political and economic However~ small-s~le projects pose s~ecial probl~s for administratcrs of developceocll assistance progracs because

they require the donor co assess the local olitics particularl the

rural politics of t~e host country

Develop~c adoinistrators pr~rily conc~rned with assisting rural

populations must therefore recognize the range of political variables

affectL~g these projects Small-scale projects offer great opportuoities

for develop~ental assistance progr~ because they can be easily targeted

to help rural populacions require low capital costs and need no be

concentrated in one or two localities Such projects ho~ever~ ~equire

the a~istrator to have ~re political kno~lecge than large-scale

projects Oil which his priJlary tas~ is guiding the work of other experts

Questions for ~Investigation

To detercine the politi~al cc~diicilS ~st conducive to ~he establ~~ent

and gro~h of scalI-scale rural projects ~e propose to address our inquiry

to the following specific questions

1 To what extent and why co local political leaders seek to establish s~~l-scale develop~ent projects within their co~unities

2 To what extent and ~~y do local leaders other than politicians initiate andor provide leadership for s=all-scale developm~t projects

3 Bot do the relations bet~Jeel different types of local leaders (political and non-political) and bet~eeo these leaders and central gove~ent civil servants posted to the rural areas affect the conduct of develop=ent projects

4 How do existing authority ~eLationships between these different leadership grous and the rural pub~ic affect the organization and operation of s~l-scale develop~ent projects

- 12 -

~

5 lhlt is the nature 0 pclgtlic participation in the establishlent and operatio~ of s~l-sclle projects and ~hat are the outcc=es or this participatioe Gucer w~at conditions is such participation ~ost likely to occur

We seek a~swe=s to t~cse questio s L order to determine the effect of

different co~iigurations of local leadership and public participation on the

outcomes or small-scale rural projects te are particular1y concerned with

the ~pact of these configurations on the rate of econocic growth and the

distribution o~ rIGSlth ithin the loal cOlllUlity ~ on the perce~tions of

s~ll-scale proj~cts by central govern~ent per~oncel and the rural public

anmiddot on the organiation or flture projects

To a~swer these que~tions it is oar intention to study the initia~ioD

izJple=enation ald i1lpact of a salple cpound small-scale rural projects in

Kanya Korea and Turley in the sae cOllities in which we carried OU

our initial icvestigations ~ 1973-75 Tne relationships between the -

various conf~gurations of local leadership and public participation and

the three phases of project develop~ant are sho~ in Figure 1 We will

exa=ine projects to pro~ote the adoption of new agricultural techniques

by s~l and moderate landnolders the building of feeder roads irrigation

ditches and other s~ple infrastructure the organization of fa~ers

cooperatives and other local associations concerned with rural development

the establish=ent of rural health clinicS and schools and the setting up

of craft and service industries

Sites for Study

We plan to return to our original set of localities because we possess

a rich body of relevant data on the extent to which linkages exist between

Figure 1

TYPES OF LFLUEXCE OF C2r~ middotGOVER1iEXT OFFCIALS

LoCu LEADERS 0 THE RURAL PUBLI-C OX THRr~

PHASES OF RURAL igtEVELOPHET PROJECTS

r----------~J C~ltral Gover1~nt Official)-N------- - J

r- Local pOlitical leaders

Local non-political leaders

~l 1---- -

ROJECT nITL~TIOS

Influ~ce on selection of projects

InrI ~elce on location of projects

Influence on policy guidelines for proj eCl

Il

I

a

I I

-I PROJECT I~L~~iATIO~ ~ 1

j Project Organizati I Selection of project

leadership

Hobilization of resources

Mobilizatiol of public compliance with project require=elts

Diffusion of project innovation

Rural Public

I

BEST AVAILABLE nOCUMENT

1 ROJECT IMPACT

Organization of ongoi=g project operation

Distribution of project benefits

Evaluation of project

Public attitudes toward project

-middot14 -

these areas and t~c central p~litical institutions of the three co~tries

and on the attit~es of the rural populacioc local leaders and elected

legislators regardi~g their problecs of develop~~c Since such data

is unavailable for alternative locales a return to the areas in which

we have previously done much research ~ables us to build on a uniquely

valuable body of icformation

A return to Kenya Korea and Turkey is also highly desirable from

the standpoint of effective research organization The Comparative

Legislative Research ~enter has developed close collaborative relationships

with several highly competent social scientists in these countries and

with the academic institutions with which these scholars are associated

We have also dev~_oped cooperative relatio~ships wi~ gove~ent officials

in these countries which should facilicate obtaining approval for our

further work

In proposing to doc~ent the origin i~pl~entation and impact of

one to three s~ll-scale develop=ent projects in each of 35 localities

we have two considerations in mind Firstmiddot because our pr~ry goal is

to deter~e the political conditions for rural developm~Lt we wish to

examine develQ~=ent in as many different settings as feasible Only in

this way can we control for so=e of the major socio-cultural variations

that erist along rural populations in less developed coultries These

include the overall level of econo~c development in the co~unity the

nature of t~e ~digenous culture an~ relationships of authority and the

pro~ty of the comounity to major urban areas and centers of central

gove~nt ad=inistration ~ce our original study sites were carefully

BEST AVAILABLE DOCUMENf

- 15 - ~ ~1

selected to represent these variations ye have concluded that these

35 localities woule be ideal sites for the propose~project Second~ in order to dete~~~ the ~pact of local leaders and public

participation o~ ~ural projects we intend to compare projects 1n which

local leaders and ~ecbers of the public have played a major ~ole with

projects in which they have not We also ~l cospare projects initiated

by the central gover~ent with projects Yhich have been locally initiated

These considerations give us a typology for selecting projects as depicted

in Figure 2

Figure 2 ~

FIVE TYPES OF RU~AL PROJCTS ACCORDIXG TO ~FLUEXCE OF CEITiW

GOVE~1E~T LOCAL LEADE~ AD RLRAL POULATIO~

Level of Participation by Rural Population

Locus of Project Initiation ~

Local Co=unity Central Governoent

BIGd

LOt

1 Projects initiated by local leaders and providing for participation of the rural ~opulation

4 Proje~ts Litiated by local leaders bu~ not involving participation of the rural population

2 Projects initiated by the Central Govern~ent and administered i~ cooperation with local leaders a~d the rural population

3 Projects initiated by the Central Govemlent and providing =or the participation of the rural population but by-passing local leaders

5 Projects initiated by the Central Gover~e~t a~d administered in cooeration Yith local leaders but not involvi~g parti~ipation of rural population

- 16 -

We recognize that the socio-cultural setting of rural develoment

projects varies significantly within and across less developed countries bull

By focussing o~ a representative sa=ple of localities ~ Ke~ya~ Korea

and Turkey we can take account of naoy~ though not all of these variations

While some of our substantive findings will not be directly generalizable

beyond the countries in which we propose to conduct our study we expect

that our basic ~ethods and fLdLgs will be applicable to national and

sub-national settings elsewhere in the developing world This is partly

d~e to the fact that the hierarchy of patron-client relations ~hich we

regard as a critical factor in rural develo~~t exists in ~ost Liles

--It is also due to the fact that the methodology for identifying local

bull leadership configurations auG poundor studying local politics which we are

perfe~ting can be used to assess local political co~ditions in a large

variety of countries even when the ~nditions themselves differ significantly

Methods of Investigation

The data needed to assess the iDpact of local leaders and mass

participaticn on rural dev~lop~nt fall into two categories Some a~e

contained among the data gathered for the research project we are currently

completing Others will require additional field research

The following data are already in hand

1 Data on the social landscape of each loc~l co~nity i~cluding aggregate data o~ level of econonic development de~graphic characteristics political pa=ticiation eth~ic loyalities and rates of socio-econocic change dur~g the past decade bull

2 Identity of local leaders including both political and I-on-political leaders and both legislators and other politicians

3 Perceptions of existiag probl~ and their possible solution a~ng

l)tS r AVAilABLE DOCUMENT

- 17 -

general public local leaders and civil serv~nts

4 Level of political kno~ledge among local citizens and local political leacers

5 Political and social values a~ong local ci~izecs and local political leaders

6 E~~ectacions of leadership roles among the local public and elected and non-elected leaders

7 Patterns of co~unication ~ong local leaders and between local leaders and the central gove~e~t

These data ~hich ~e already have in hand can be subjected to analyses

which ~~ll provida the foundation for our further work on rural develop~ent

projects A part of our work therefore will consist of fu~ther analyses

of existing data

New data of the following kinds are also required

1 Doc~entary data on the origin and evolution of particular smallshyscale develop~cnt projects in the rural areas

-2 Data on project costs boih ~itial invest=ent and recurring

operating costs and data on project ou~puts ie pupils in schools Ddles of road coopleted nl~ber of hospital a~ssions production of factory agricultural productivity

3 Data on project organizatio~ n~~r of local inha~itants participating in establis~~ent of projectt nuober of local L~habitants subsequently involved in project

4 Data-on the pe-cetion of projects by local leaders emers of the local public a~d by civil servants data on the perception of how each project ~as initiatec organized who benefitted and what its future implicatio~s are

These types of data will requ~re field work involv~~g both docucentary research

at the relevant ~istries of the central government and in local goverr~nt

authoritieS and inforoal open-ended interviews with local political leaders

elected representatives and other local leaders who~ we had previously ~

interviewed in a s=uctured syste=atic =aoner

BEST AVAILABLE DOCUMENT

- 18 -

Grant Organizatio~ and T~etable

We propose co undertake the research outlLled above beginning in the

fall se=ester 1977 Dur~g that te~ Professors Barkan and Kim as

principal investio~tors for the neo1 proj ect will contact their collaborators

in the host co~~tries They ~~ll also seek the collaboration of an additional

~rican scholar specializing in rural development with the aic of getting

additional advice on sources of data and suitable indicators for the

~easure=~~t of rural develop~ent projects

At the end of the fall seQester Professors Barkan and Kim will make

a trip to their research sites to disc~s details of the research organization

with their collaborators in the host countries and to recruit student

assistants Tney will devote the spring te~ 1978 to further analysis

of a~sting data at the University of Iowa

The gathering of additional dita L~ the field will begin in the s~er

of 1978 Professors Barkan and Kio will direct this work personally We

eAect that its coopletion ~~ll require three to six months This work ~1

involve the evaluation of central and local gove~ent reports on the

projects uncer investigation extensive on-site observations of the projects

and oen-e~ded interviews with the principal participants Our principal

respondents ~i1l be the local leaders and elected representatives we

have previously identified in the localities in which we have worked and

a sacple of active participants in the particular dpvelopment projects

being studied ~~ere necessary and apropriate surveys of the general

public will be uncertaken to assess the inpact of a given project on the

rural por)r We do not however leed 0 conduct systeAlatic sample surveys

BEST AVAILABLE DOCUMENT

- lY -

of the rur~l population as We did in 1974

In the organization of this research project we intend to reconstruct

the rese~rch tea=s ~e e=ployed during 1973-75 We shall again seek the

co11abo=~tion of P~ofessor Sc~~S-7o~g Pai of Seoul National University ~

Professor IIiCr Turan of the University of Istanbul and Professor John J

Ok~u of the U~iversity of ~arto~ S~ilarly w~ contemplate directing

the field research fro~ he same acade~ic research organizations we previously

used Seoul National U~ive~sity th~ ~~iversity of Istanbul and the

Insti~ute for Develop~eut S~udies University of Nairobi As before we

will tra~ students f~oo these institutions to serve as interviewers

The analysis of the open-ended intervie~s and of docUQentatio~ on

I ~ural develop=e~t projects will be a ~ore t~e-co~s~g process than the

analysis of closed intervie~s It will reqrire a high cotnittl~t of time

fron the principal investigators )e e--pec to hold a conference at the i

U~iversi~y of Iowa 3lO1g all the principal )clticipa~ts in the resea~ch

project d~=~g t~e spr~g 1979 to evalua~~ the newly collected data

le e~ pect to be able to vr-ite reports of t~ results during the Sl1~er 1979

(see Figre 3)

IV LlX-GS ~1) U~ILIZATIO~

At the e~d of the grant period the Uti ersity of Iowa will be able to

1) advise the Agalcy 01 the design of s~l-scale rural projects to assist

the rural poor 2) provide guidelines for social soundness analysiS of

small-scale projects for the rural areas of U)Cs 3) consult w~th the

Ag~tcy 01 the evaluatiol of rural projects ~d 4) provide LDe governments

BEST AVAILABLE DOCUMENT

)ATES

~lll

1977

~inter 1977

iprilg 1978

il mer 1978

~all

1978

ipr~ng

1979

Imiddoter 1979

University vf Iowa

Plutlning of rural develo~rent project

Barkan Kil

Alalysis of existing data

Barkan Kia

Data processing

3arkan Kin

1

I

- 4 -

Figura 3

GRAT TLfETABLE

SIT E S

Kenya Korea Turkey

Preparation of field research ural developH~lt project cOlisulta~io~ a research sites

BarkanOku=u Ki~Pai Tura~rkanKi~

Preparation of field resea-ch

Tural

Field research on rural cevelop~~t projects Bar~lOk~u Ki=Pai Turan

Co=pletion of Co=pletion of field resear~~I~ fiald researcr

Ok~u i Pai bull

f Coopletion of field research

Turan

Data analysis conference a~ong all princial i~vestigators at Un~versity of Iowa Barkan Kil Oku=u Pai Turan

Co=letiol of r~ral develop~ent

project

3arkan Kiz

BEST AVAILABLE DOCUMENT

I

- LL -

~ith speciali~cs o~ ru~al developcect ~mong their own citizens ~ho ha_

partcipatcd ~s collaborators in the Iowa projects

In the proposed project we Will test a series of hypotheses cOlcerning

the political cOllditions of rural develo=ent which run counter to CODOn

assuoptions conccrnir3 t~~ influence of rural politics on project effectiveness

As a result ~e ~dll be able to assist the Agency in designing and evaluating

such projects froe the point of V~~W 0 their political viability The

hypotheses We will test sugges~ t~at the patron-clie~t relations existing

in the local politics of zost LDCs are not necessarily i~pedients to rural

develop~ent but are aspects or the political structure which cal be used to

facilitate s~ll-scale ru=~ projects which will raise the standards of

living of _ ~ rral pomlation - As ~ result or our stuey we expect to be

able to P~-O~t the local leadership confi5~rations ~4d the relationships

between local leaders ald rural poclations ~nich are oost conducive to I

successful develcp=en efforts We believe that we will be agtle to perfect

a cat~odology for identifying the political conditions for rural develop~ent

one ~hich is transferable pound~oo the countries we have specialized in to

other LDCs

We proo~ to develop specific guidelines to assist administrators

charged with selecting evaluating and =onito~ing rural develop~ent

projects to ~szess t~esc rojects in tares of their-social and political

viability he outco~e of such projects is dete~ned not only by the

efrectiv~nass ~~=h ~hich they use scarce econo~c resources but by the

~~er L~ w=ich they e~gage the suppprt of local leaders and rural

po~ulatiocs~ by thei= effect ou social a~d econo~c equality ~d by

D[~T AvAlLA8LE DOCUMENT

- 22 -

their consequences for hwan rights ~Je plan to establish criteria by

middot~hic~ the probable outco~es of projects in these social terms can be

anticipatec

The study ~e propo e will be undertltlken by faculty at the Cniversicy

of lowe in collaboration with faculty a other ~rican institutions and

institutions in the host countries We will build on the extensive contacts

between the Co~perative Legislative Research Center of the ~niversity of

Iowa end other instituions with ~aich ~e have worked One =ajor result

of our collaborative study will be the existence of a net~ork of compe~ent

scholars both in this country and overseas experi~lced in ~orking together~

shar~g a co~on teaching and training experience i~ close contact throu~~ the

effective publications progr~ developed by the Co~parative Legislative Research

Center T~e e~~ertise of this group of individuals will be ava~lable to

oteer scholars to the Agency and ~o L~C governments for specific policy

advice The eXertise developed as a consequence of this project will

extend beyond the ~tionals of the countries ~volved since the univ~sities

engaged in ~e project attrtct stude~ts fro outside heir own countries

For ey~=ple the teaching ~d research progra in the Depar~ent of Political

Science 0 theUniversity of Istanbul heavily affected by the participation

of its facul~y ~e=bers and graduate students in our projects attracts students

throughout the ~middot1iddle East for Whom the University of Istanbul is the iajor

institution ~pound ~igher education in the region rne Institute for Developmen~

Studies is si=ilarly a focal point for students and faculty in East and

Central Africa Seoul ~atiocal Unive=sity attracts students froo other

Asia~ co~tries~ In this way the capability developed among the participant$

BEST AVAIL~BLE DOrUMENT

- ) -

in our work is diffused widely To the exte~ that the abili~y to assess

rural develop~ent p~ojects in teres of their social soundness is increased

both in the United States and in ~o~~tries r~ceiving develop=en~ assistance

the cap3~ity of racipien~ countr~es to absorb aid is ~creased

We propose to draw up an inventory of personnel available in ~~e

Cnited States and in other co~~tries who are able to consult with developen~

a~nistrators on the design of rural development projects and on their

evaluation We ~~ll draw first of ai~ on individuals w~o have been

directly associated with our ~ork in the past or on ~he proposed project

and ex~~~d the list to include graduate students and gove~ent officials

with who~ these individuals have wor~d

tole Yill utilize tha existing publication program of the Center

dercribed above to disse~inate our findings The Center has specialized

oailing lists of interested individuals and institutions in all parts of -i

the world and its reports can trerefore reach the ~st relevant audience

jirec~ly ~d re~~arly

BESl AVAIL~BLE OOCUMENT

CONTRACfjGRANTCOOPERATIVE AGREEMENT DATA SHEET

INSTRUCTIONS fjDW Complete 4 copies of the form Original SERCMSDSUP Statistical Section Copy Copy 2 SERCMSIiUP dministrative Copy opr 1 Contracting Officers COy COP) 4 SERCMSDSUP IUmin (Suspense) Copy

Missions Complde 2 copies oi the form Origin31 SERCMSDjSUF- Statistic31 Section Copy 3n~ Copy 2 Nill be ret31ned in the Missions

PART fA

ConU3lttorGranrce Name

University p~f~I~o~wa~ __ -r~ ____ ~~~~ __________ -~~ __ ~~~ ______________ ~~~~ Plorr Numt-er ApptopriJtion Number Allotment Number Project Number

930-0090-3Q13411 A5 72-111l0216 146-30-099-00-20-11 930-0090 Project Title

So~ia1 and Potitica1 Aspects of Development - Conference to Report Research Findings Amount of this Plorr I Projecl M3nagers Name and Offire Sytlbol

$10397 (increase) PDPRCP Jonatlan Silverstone Contr3ctors D-U-N-S Number

Ncgwatocs TYJlCd~3meJ j) Signature I l ~ jIf- bull G HtJ--ft u l IVmiddot

D~e

L - f - J ContractGrant Officqs typed Nailllt Signalure LJ d I -r-

plusmn t 3i-alflpta (( BLvle~ 1 I~ PARTm

ContractGranl Number

AID CSD-3294

Effeclive Date of Docum~nl Signalltre D3t~ of Documenl

Lf---C yen-~-gl tIost Courtry Institution (U iwrsity contract ONL Y)

Campus Coordinator (Uniwr ty i contract OiiL YJ

PART UL Descriplion of Cor-tractGrant P1use X ONL Y ONE item under each headiZg IF THEltrease CifYmC~e bolh ges I 30~~ O~ Nol to be completed for Amendmenl or Modlfic3lion AJigtns I III

J 710gt I I V ~ I

MOl - TYPE ACT A~ 0 G unsolicited Propsll (AIDIR 0 C Individual (Non-pe~nal senice)

~ O Cortra lGrantl ooperative Agreemenl 73101-SO(b)(6raquo 0 D Individual (ftrsonal Service)

tJl T3sk Order ( A)middot 0 H Procurement 10 be Perfocm~d by the Conmiddot 0 E UniversilyOther FAuC3lionailnSlitulions

D 2 Work Order (IQC) Ira~lor in Person (AIDPR 0 F Non-Profil Organizationlnslitutions (other

D 3 Delivety Order (Requirements) 73101middotSO(b)( Iraquo than Ed or PVO)

[j 4 Purchase Ordcr [J I Sole Source (AIOPR 7-3101-SO(b)(4)) 0 G Private Volunury Organization (PVO)

If I 2 or 3 1Lle an ~ compllle M 12 ON Y D J Imp3irmenl of Foreign Policy Objectiws 0 H International Agricultural Research Organj-

M04 - CONTRACTGRANT TYPE

o O MOA (BOA BMA etc)

o I Fixed Price (Specify fFP FPRD FPEPA FPI) _____ _

(gtIDPR 7-31 OJ SO(b)(7raquo

OK B(a)5eJection (FPR 1middot1713-1)

o L Grant iH1ndlOok 13)

o M Do Nol Ue

D 2 Cosl Reimburemenl (S~cil) CR CPFF 0 N Cooperative t~reement (Handbook 13)

CS CPAF CPIF) ~ 0 O Small Business SeImiddotAside (FPR 1middot1706-8)

o l Cooperative Agreemenl ~ 0 1 Overseas Procuring AClivilies (AIDPR

04 Grant Gener31 Supportmiddot 0U ~ 7lIOI-SC(b)(2))

o S Granl - Specific Support ~ ~06 E SER VICE

g ~ ~~t ~~(d) ~~ ~~ ~ eci~a~~~~~ogram Projeci

o amp IQCs ~ ~ relampted excepi A amp E Services)

o 9 Host Counlry ContraclGrnnt 5lJ C amp E Services

middotComplele ONLY through ~Sl ~~ 0 D Construction

M05 SELECTION PROCEDURES 0 E- Reseuch

o A Formally 3dverliscd (IFB) (A1DPR 7middot24 amp

FPR 1middot24) ~ o B Negoli3ted Price Compelilicn Gencr31

Procedure (RFP) (-JDPR 7456)

Dc A amp E (AIDPR 7410)

0 D Ed Inst andor Inl1 R~arch (-JDPR

74 5)

o E Collaboratoe Assisunce (IDPR 7458)

C F Predominant Capability (IOPR

73IOI-50(b)(l)

AID 1420-49 (179) - Page I

D F Technical Services to AID (other than trainmiddot

ing usually o~ating expense)

D G jraining SetVice for AID

o H Equipment Materi3J~ Supplies Commodities

D I Translation Service

~07middot TYPE CONTRACTORGRA-nEE

o A Firmmiddot AU profil-rn3king fUms (other than

Aamp E)

J e A amp E 8r~

zalion

o Public Inlmlational Organizations (UN

Agencies ICRC Wocld Bank elc)

(H8 J 3 Chapt~ S)

M08- TYPE AW~RD

o A S8 Sel-Aside - Awarded to Non-Minority

o B S8 Set-Asidemiddot Awarded to MinXity

o C_ S8 NOI Set-Aside - Awarded to Non-Minority

o D S8 NOI SeImiddotAsidemiddot Awarded 10 Minority

o Eo amp(a) S8A Awarded to Non-Minority (Womerl-

Owned Veterans etc)

o F 8(a) S8A Awarded 10 MinorilY

o G Personal Sen-ice ConlrdCt bull Non-Minority

o H IeJSDnal Service Conlract - MinorIty

o I Individual NonmiddotPersonal Service Contraci -

NonmiddotMinority

o J 100Jigtiduai NonmiddotPersonal Service Contracl -

Minorily

o K NOI Small Business (Univ NonmiddotProfit Large

Firms) Non-Minorily

o L- NOI Small 8usineSl (Univ Non-Profit Large

Firms) Minorily

o M US Govcrnmlnt

(Connnued on Page 2)

BEST AVLABIE DOCUMENT 1 I

--

ua ) R I GI NAL 9 bull

MODIFICATION or GRANT PAGE 1 of 2

AH 1 2 Effective Date 3 Grant No 4 Effective Date

Amend_at Ro 5 April 15 1981 AIDCSD- 3294 8-11-71

-s CRANTEE (Name and Addrea) 6 Administered by -Professor Gerhard Loewenberg -Office of Contract Management Cbrnparative Legislative Research Gente Central Operations Division Dept of Political Science am Branch University of Iowa Agency for International Developn~nt Iowa City Iowa 52240 Washington D C 20523

7 PIO No 930-0090- 3013411 A5 8 Previous PlOTa -

Appropriation No 72-11110216 93i-1l-995-l36 930-11-995-136-73-3078103

Allotment Symbol - 146-30-099-00-20-11 wunt Obliga ted by this ~ndrnent - $10397

The above numbered Grant is hereby modified as follows

1 Anotmt obligated prior to this rurendment 2 Amount obligated by this amendment 3 Total obligated anount (1 amp 2)

Delete the amJmt $465000 and substitute in lieu thereof the ammnt I$47S 39-7 ~

FUNDS AVAIrABm

~~ - APR 13 1981

PrO~A~~5iors

$465000 $ 10397 $475397

OffiCE Of fIN~(1 ~~rE~E~T __ _ 10 This amendment 11 entered into puruant to the authority of the Forelgn

Assistance Act of lS~l as amended Except aft hereln provided all terms and ~~ndi~ons nf the grant rcferpnccd in Block 13 remain unchsnged and in full force and ~ffcct

11 original and six Crantee 18 requlred to aign thh document aad return 1- eopics to issuing

ffiee

~~~ or printed) BUSINESS MAHAGR amp bull

Tille TREASURER

UNITpound) STATES OF AHERICA AGENCY FOR INTERNATIONAL DEVELO~NT

BY_-1(1o-_1lt--= 13middot~_1_~ __ K R B1uteau

(Name typed or printed)

Tltle~ ____ G_r_a_n_t __ O_f_f1_c_e_r ____________ __

D3tC APR 2 J 7997 Dolt 9 APq 1981

BEST AVAILABLE DOCUM NT ___ 0 HLGlNAL - I 1 J 1 ~ )

- 2 -

AID ftmds in the am)tmt of $10397 are hereby provided for the activities lmich are described in your proposal (including Budget Stnmnary) entitled CDnference to Report Research Findings on the Study of Political CDnditions for Effective Small-Scale Rural Assistance Projects in Kenya Korea and Turkey dated February 17 1981 and made a part of the Grant b reference

BtTDGET StMMARY

Line Item

Travel

Per Diem

Other Direct Costs

Less existing 211 (d) grant funds

Total Amount Obligated by this Amendment

Estimated Costs

$ 5888

5100

_ 2500 $13488

_ 3091

$lO39

Note Indirect costs or $395086 associated with these activities will be contributed by the University of Iowa

BEST AVAILABLE DOCUMENT

~RIGINAL

- CONTRACT IGRANTCOOPERA rIVE AGRElEMI~ SERC~SDSlP Actio) Monitor

SERCMSDSUP Action Office

I

INSTRUCTIONS AJDW - Complete 4 copit of tlh fonnmiddot Orisina iCMSDfSUP Sutistical Section COP)middot Copy 2 SERCMSDjSVP Administrative CoP Copy 3 Cont-acting Officers COP) Copy 4middot SOSUP Admin (Susptnse) Copy Missionsmiddot Complete 2 copies of the form or~aI SERCtSDSUP Statistical Section Copy and Copy = wiU~ retained in the Missions

0 PART IA

Effective Date of Document tJ

Delivery Order (Requirements)middot

o 4 Purcluse Order

bull If I 2 or 3 have an bull X compl~te M I 2 ON L Y

M04 - CONTRACTGRANT TYPE

o O MOA (BOA BMA etc)

o 1 Fixed Price (Specify FFP FPRD FPEP FPI) ___ _

o 2 COli Reimbursement (S~cifY CR CPFF CS CPAF CPIF) ______ _

o 3 Cooperative Agreement

o 4 Grantmiddot General Support

o S Grantmiddot Specifi Support

o 6 GraDt 21 led)middot

o 7 Do Not Use

o amp IQCs

o 9 Host Country ContractGrant

middotComplete ONLY through M 5 1

MOS SELECTION PROCEDURES

o A Formally advertised (IFB)(AJDPR 7middot24 amp

FPR 124)

o B Negotiated Prire Competition General

Procedure (RFP) (AIDPR 7456)

o Co A amp E (AlDPR 4 I 0)

o D Ed Ins andor Intl ReStalch (UDPR

7457)

o E Collaborative ASSistance (AIDPR 7458)

o F Predominant Capability (AIDPR

7-310l-50o)(3)

AID 142049 (1-79)middot Page J

o H Procurement Co be Performed b~ the Conshy

tra~tor in Person (AlDPR

7middot3t OI-SO(b)(Iraquo

o I Sole 5gturce (AIDPR 7middot3101middotSO(b)(4raquo

o J Impairment of Foreign Policy Objecdv~

(AIDPR 7middot310 ImiddotSO(b)(7raquo

o K 8(a) Selection (FPR 1middot1713-t)

o L Grant (Handbook J 3)

o M Do Not Vse

o N Cooperative Agreement (Handbook 13)

o O Small Business SetmiddotAside (FPR 11706-8)

o P Overseas Procuring Activities (AIDPR

7middot3101middotSO(b)(2raquo

M06middot TYPE SER VICE

o A TtJining of Participants

o B Technical Assistmce (Program Project

related exc~pt A amp E Services)

J C A amp E Services

0 D COltl~ruction

0 E Research

0 F Technical Services to AID (other than trainmiddot

ing usuaU Y operating ex pense)

0 G Training Service few AID

0 H Equipment Mat~rials Supplie~ Commodities

0 I Translation Service

07middot TYPE CONTRACTORGR TEE

Firmmiddot All profitmiddotmaking fu-r1s (other than

AampE)

o 9 amp E Firms

I Prcct NumbcT

I

Contactors D-U-N-S Numbcr

I) -S--f(j

o C Individual 0-lon-~rsora1 service)

o D Individual (Pet-sonal Service)

o E University lOt her EduCltionaJ Institutions

o F Non-Profit Organization Institutions (other

than Ed or PVO)

o G Private Voiuntary Organization (PVO)

o H International AgricultwaJ Research Organmiddot zation

o I Public International Organizadon~ (UN

Agencies ICRC ewld B3J1k etc)

(HB J 3 Chapter 5)

M08middot TYPE AWARD

o A SB SeImiddotAsidemiddot Awarded to Non-Minority

o B SB SetmiddotAside bull Awarded to Minority

o C SB Not SetmiddotAside - Awarded to Non-Minoril)i

o D SB Not SetmiddotAside - Awarded to Minority

o E ~a) SBA Awarded to Non-Minewity (Womeli

Owned Veterans etc)

o F 8(a) SBA w-rded 1o Minority

o G Personal Service Contractmiddot Non-Minority

o ~ Personal Service Contnct - Minority

o I Individual Non-Personal Sence Contractmiddot

NonmiddotMinority

o J Individual Non-Personal Service Contractmiddot

Minority

o K Not Small Business (Univ Non-Profit L1lge

Firms) --vn-Minority

o L Not Small BUSiness (Univ NonmiddotProfit Large

Firms) ~inoriy

o M VS Government

(Continued on Pcge 2i

t bull - t ~ J f q

ORIGINAL bull MODIFICATION OF GRANT

1 2 Effective Date

Araendllent Ro 4 12-2-80

s CRANTEE CHace and Addrels) Professor Ger1ard Lo~middot enbelg Comparative Legislative Research Deartment of Political Science The Lnivp-rsity of Iowa Iowa City Io~a 52240

7 PIO No NI A

Appropriation No 72-11XHl26

Center

Allotment Symbol -426-30-099-00-3~-71 Amount obligated by this urendment-O- I

3 Gnnt No

AIDcsd-3294

PAGE _____ 1 _of-L

AlI 4 Effective Date

8-11-71

~ Admlnlltered by -Office of Contract Management Central Operations Division OTR Branch Agency for International Development Washington DC 20523

8 Previous PIOITs -

931-11-995-136 930-11-995-136-73-3078103

9 The above numbered Grant is hereby modified as follows

Supplement to Grant

Change the duration period sentence to read

The Duration Period for this Grant shall be August 11 1971 through December 31 198]

1 Amount obligated prior to this amendment $465000 2 A~unt obligated by this amendment -0-3 Total obligated amount (1amp2) $465000

----------------_- - ------- ----_- ------ 10 Thh lImcndmcnt is entered inlo punuant to the authority of the Foreign

~ Assistance Act of 1961 86 amended Except a~ h~reln Z II provided all terms and condi tions nf the grant referenced in Block 3 remain ~~aunchlinged and In fu1l force and effNt cnltUI cJ)za 11 o 4 J bull

Et~ ai~a gtUoItshyc Z P=u

original and six Grantee t requi red to sign this document and return 1- eopies to 1Bufng

office

~ 12 GRANTEE TES OF AMERI CA

(Name typed or printed) bull

TJlle Director Comparative Legislative liecearell CeQtoQl

Date 12880

------------------------------------

ONAL DEVELOPMENT

By ----~--~~~~---------------------

prinled)

Grant Officer Title --------------------------------

J)oll( 12-2-80 -----------------------------

BEST AVAILBLE DOCUMENT i je

Page 19: PD-Ar3T Cr(~

- 16 -

A~~inistrative O~ganization

Ice Board of Regents of tle State of Im-la

-Iesicent of the University I

1 rOfcst Jf t-3 University

Den College of Liberal Arts

r Chailan DcptiEt of olitical ScieJce

Inter-G~iversity

Acisorr Corcittee

PcgrG21 Director Associate Progra~ Directors

Liaison Arcrge~~nts d ~h I I~~erested Plcfessiona1 I Perso~el j

I _

I 5cu1ti (full or PmiddotLG-tire l Asscci~tes a1d otllei non-Io~il

3ecip5ents of Gr3-1t stPPC1t Gr~cue~~e S t1~lcnts St2~retQi~S1 Data Lbed~1 31

Ln 18 r1icia 1

LO1t c~lce Factcj~1 ts

BEST AVAILABLE DOCUMENT ( ( V-t

- 17 -

of te eo17i~g cCpterce br A I D rLld ethers In addi tion there

aS3essr~ents of the gr31t

middot l ~ lI ~ _ _ _ co~~~r~~ing ~~iversiti~s md tne rrctitoring ALD office

7re l~yersity of Ie~middot~ budget of $26500 is to be deveted to the

cemiddotelgt~e~ of lstituticnal cefete1Ce in comparotive legisl~tiye studies

~t Iomiddota c t~ the exalsi0 ot a date b~L-lt ~ hich 1fill be utilized as

a ecle for icrec3ing te scope of tbe sub-specialty

T - 1 f 1 __ middotja r S Ctdget a9roxir~tly 33- has bee allocated to a

cemiddote Lp~l t rirc ipally C actlty re leased tirre for data ccllection

ai 0 3alres f~r i~~er-ieers in field research 3d secretarial

assi5ta1ce nCt2 11- of t~e Icmiddotre oudge~ is iesignated for an

ArCE_1 A~ite s(101a~middot 2d one 0 ore scnolals froQ LDe or

s1lllrt of greluate stucents in the

BEST AVAfLIlBLE DOCUMENT

- 18 -

Finally approximately 19 of the budget will be devoted to the

proposed data bruL~ that will archive not only data generated from the

research of scholars at Iowa Duke and Hawaii but also at other US

and foreign institutions Primary and 3econdary an~ses of these

data will become an integral part of ~omparative legislative studies

curricula The ability to utilize the data bank for teaching purposes

also should have a significant impact on professional preparation ofmiddot

future legislative specialists In summary the funds will be

allocated to research teaching and training activities tha~ are

entirely conson~~t with the philosophy underlying the utilization of

2ll(d) grants to achieve institutional development

Conclusion

The University of Iowa regards the research and teacbing components

of this program to be closely related an1 zrutually reinforcing The

University of Iowa offers a strong base for the pro~ram because of the

interests of faculty members here now because of their contacts with

scholars in this field in other Americ~~ and foreign universities

because of their experience with the international exchange of faculty

and because of the distinctive data gathering and processing facilities

available in our Laborator~- for Political Research The program which

we have formulated is designed not only to accomplish specific

research and teaching objectives but to contribute to the long-term

development of the University of Iowa in an area in which it has already

exhibited special interest

BEST AVAILABLE DOCUMENT

~ I) - 0

- 19 -

The program on Comparative Legislative Studies with support from

this Grant rill develop the capacity at the University of Iowa to

provide assistance under separate financing arrangements to developing

countries in a number of ways and through a varieiy of channels This

assistance which would be arranged for end negotiated separate~ from

this Grant may be in the form of technical assistance advisory service

training research and information exchange etc It will be available

by mutual agreement to appropriate agencies national and international

public private a~d mixed and directly to the less developed countries

Most especially this added special competence will inevitably become

incorporated through the processes of scholarship and education into

the competence of US and foreign scholars and institutions concerned

with this topic of great significance to the developing and the more

highly developed countries alike

BUDGET SUMMARY

UNIVERSITY OF IOWA

Salaries

Graduate Student Stipends

Fringe Benefits

Travel

Equipment and Services

Other

TOTAL

$173090

32400

19209

13800

6501

20000

$265000

BEST AVAILABLE DOCUMENT

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BEST AVAILABLE DOCUMENT

(C

Dr Willa~d l Boyd Presicient University of Ima iowa City Iowa 52242

Dear Dr Boyd

4 AUG 1977

amp

FIJNDS AVAnASLe CpoundNrftAamp sEIMCEs DMsON

AUG11 ~n te t6417 ~77

Subject bull Supplsectferit-tJF-G~middotNomiddot~middot AIOcsd-3294

t middot-rrPJ1 3

I am pleased to inform you that pursuant to th~ auth~rity contained in

S-cction 211 (d) ooC the Foreign Assistance Act of 1961 as amended a sup

plemental grant in the amount of $200000 is h~reby r~de to University

of rCi1a These supplement]l grant funds areprolided to support the

activities which are described in your Proposal dated May 6 1977 for

the implementation of your program entitled Political Conditions for i

Effective Small-Scale Rural Assistant Projects

---This sup~lemental grant is mace to University of Iowa en condition that

yo~r institution shall administer the funas provided under this Grant fn

accordance lith your r~ay 6 197 proposal (including Budget SUmlilary) and

the Standard Provisions (as incorporated by Amendment No 1) which have

been agreed to by your instit1ltion Ti) the extent of an inconsistency

between the Proposal and the Standard Provisions and any otherprovisfons

which ar~ made a part of thi5 Giant by reference or other~iSe the Sta~d~

ard Provisions shall control

The new Duration Period for this Grant shall beAugust 11 1971 through

August 10 1979

The total amount of funds obligated under the grant is increased to reflect

a new total oblgated amount of $465000

Please sign the Statement of Assurance or Compliance ana the origfnal -

and seven (7) copies of this letter to acknowledge your understanding of

the conditions under which these funds have been granted Please return

the Statement of Assurance of Compliance and the original and six (6)

copies of this supplemental Grant to the Office of Contract Management

Attachment May 6 1977 Proposal and Budget SUfiT1a ry

UNIVERSITY OF IOWA

Roberw bull OBrien fficer

Ce al Operations Division Office of Contract Management

AC~E~E~C--_ 0 BYpoundk~~ cH

D C ~lpoundSTtR5BA T ITL E ( PfeampoidPilt for

tee ment amp Research DATE 9-22 -77 (d~ ~~Bduate Ctl~1e~e

BES i AvAILdLt UOCLJMU~ I

211(d) Grant Program

Proposal of the University of Iowa

POLITICAL CONDITIO~S FOR EFFECTIVE SMALL-SCALE

RURAL ASSISTA~CE PROJECTS

Submitt~Ci to

Civic Participation Division AID

May 6 1977

Amount requeste~ $ 199987

BEST AVAILABLE DOCUMENT

I TdE DEVEIOP~T PROBr~

P~litical Conditions for Rural Development

The Cocparative Legislative R~search Center of the University of

Iowa proposes to ~~dartake a two-year study to investigate the role of local

leaders and the rural public in theimplecentation of small-scale develop~ent

1 projects in less developed countries The study will use and extend the

capacity ~hich the University of Iowa developed under a 211(d) grant to

investigate and assess the impact of loeal politics on rural development

~t the co~pletion of the s~ Iowa will be in aposition to advise the

Agency on the design ~nd evaluation of s~ll-scale projects which will be

politically viabe a~d effective in ass~sting the rural poor ~

As students of development w~ approach our task with the assumption

that the proble~ of development and underdevelopment are funda~entally

ones of political econooy and a~ such can only be solved through a

simultaneous considerationof economic and political factors Efforts

which foc~s aloost solely on economic factors like those of ma~y

organizations engzed in dipersing foreign aid or efforts which focus

almost exclasively on political factors fail to take account of the

interdependence between these two dimensions of underdevelopment and

lwe have for~ulated this proposal in a canner consistent witr the cu~rent policies ard interests of the Agency We have been guided in our tsk by four Age~cy doc~e~ts Impleo~~tation of New Directions in Developnent Assista~c~~~ ~eport to the COmlittee on International Relations on Ilupleoenshytatiun of Legislative Refo~ in the Foreign Assistance Act of 1973 (July 1975) rItevis~d Projec Developiel Review and Approval Systeo (A I DL Circular A-21 Aril 23 1975) SH Butterfield Draft SUIilZ3ry StateUlent of a Practical Agelcy Approach c aural Devalopilelt (AATA February 28 1975) Cicci A Coce~ual Oie=viamiddot middot Rural Development No1 (lWorilting GOU O~ tha Rural Poor February 1975)

- l -

can meec with only l~ted success

Our concern with the i=pact of local politics on the process of

rural developcent is a result of our interest in the basic question of

how LDC governm~nts and the donor agencies which assist them can

become core effective in raising the standard of living of the rural

poor We seek answers to the following aspects of that basic question

1) What political conditions must exist both within rural communities

and between theo and central gove~ents to raise agricultural production

w~ere small-scale agriculture is the do~nant pattern 2) Vnat are the

political conditions for a core rapid expansion of the informal manufacturing

and service sector cocprised of labor intensive small-scale industries

located in the rural ar s 3) What political structures and activities

are mase crucial for the provision of welfare and econocic supporc services--

such as agricultural exeension mar~eting and transportation--to the rural

areas1 4) ~~at Folitical conditions oust exist to insure that economic

growth in the rural areas is not accowpanied by excessive and intolerable

inequalities between socio-economic classes andor between regions1

Center-Periphery Linkage in LDCs

To deter~ne the political conditions for rural development we have

in previo~s s~udies exacined the institutions and processes through which

rural populaticns are integrated i1to the national politi-cal systetlS of

middot~he countries in which they live A gap exis~s in most less developed

countries bet~een the peasantry residing on the periphery and the c~~tral

political ~stiutions staffe1 by ~~estern-educated bureaucratic elite

We are aware of the other major ~sti~utional discontinuities which comprise

J

4 middot~~1 the basic cleavage between the developed and underdewmiddoteloped sectors of

these dual societies Bridging these gaps is essential if these so~ieties ~ are to develop into viable nation states For until those Q~ the periphery

of the poli~ical syste~ participate in that system and support and comply

with the authority of central political institutions neither economic

development in ~he rural areas nor a stable polity will emerge

Bridging the discontinuities in these new political systems requires

establishing and institutionalizin3middot1inkages or networks for co~unication

and exchange of resources between decision-makers at the center and the

rural public on the periphery Three types of institutional linkages are

most prominent in less developed countries 1) those conSisting of the

state administration composed of the bureaucratice1ite 2) those consisting

of a revolutioncry political party cocposed of the ideological elite

3) and those conSisting of patron-client hierarchies composed of the political

entrepreneurial elite

Of these three linkages consisting of the state administration are

the cst extensive and pervasive in virtua~ly every LOC Such linkages

however exist primarily a~ instruwents of the center to penetrate the

periphery Central government officials are formally charged with bringing

develo~ent to the people This is a ~issi~n which conceives development

as a process ~hrough which a traditional peasantry is transformed and

assimilated iJro the DOdern center which is steadily expanding to embrace

it Agents of the center invariably have more resources to achieve their

objectives than do local political leaders but because they are frequently

strangers~ the communities in which they function they are often unable

- It -

co implement the policies of the center without working through the

local establis~ent

Though somctices significant linkages consist~g of revolutionary

party organizati~ns such as those found in China and Vietnam do not exist -

in most IDCs beca1Se of the special historical and e~omic conditions

required for their development As wi~h the administrative state however

the linkaampe apparatus of such political patties is prUlarily an instrument

of the center whose mission is to penetrate and mobilize those onthe

periphery

In contrast patron-client hierarchies are linkages which represent

the periphery at the center and mediate betwee~ these two disparate

sectors of the political systec Thcugh norcallymiddotovershadowed in scale

by the state administration patron-client hierarchies are found in almost

~very LDC a~d constitute the ~st significant network through which rural i

populations and their leaders influence the decision-~king process at

the center Patron-client hierarchies exist in a wide variety of org~iza-

tional fores ranging from info~ ~ec~~rks of individual olitical leaders

in uno-partyll systelS in S~b-SaharaI4 Africa to extensive political machines

in both one-p~rty (Africa Mexico) and ~u1ti-party systems (Turkey India)

Despite their importance as the pricary means through which peasants in

LDCs particiate in their political systems patron-client hi~rarchies

have only recently become an object of analysis by students of political

developent and do not appear in even the most sophisticated studies of

2 See Jo~ Dunca owell Peasant Socie~y and Clientelist Politics Aerican Politi~ Scielce Revietol 64 (June 1970) pp 411-25 Rene Lemarchand anc_ Keith Legg olitical ClienteliSJ and Ethnicity in Tropical Africa Aierican Political Sc~ecce ReView 66 (Y~rch 1972) pp 68-90 James C Scott PatronshyClient Politics a~d Political Change II 1tlerican Political Science Revie~ 66 (~arch 1972) p 91-113 and Friends Followers and Factiols bull edited by Steffan Sc~~d and James C Scott (Berkeley UniverSity of California Press 1977) bull

- 5 -

3 economic development Ad~niscrators of developmental assistance progracs

have too often regarded patron-clienc hierarchies as ~ped~ents to

develop~ent instead of recognizing cheir potential utility bull

~ Findings on Patron-Client Hierar~hies --

The importance of pat~on-clienc hierarchies for linking the periphery

to the center is one of the major findings ~erging from a study of the

relationships betueen l~gislators an~ their constituents in Kenya Korea

and Turkey ~hich the Cowparative Legislative Research Centpr is nov

comleting uader its 21l(d) grant from AID This study has av~mined the

creation of linkages between the periphery and the center through ~ore

than lO~OOO interviews with members of parl~ent local leaders and

peasants in t~e three countries The findings are being systewatically

set out in a book-length monograph Nearly a dozen research reports have -

uready appeared (see Appendix C) ipropositions about the nature of

political behavior of rural populations an~ the roles of local political

elites de=ived from the research~ can be s~rized as follows

1 Elected representa~ives play a significant role in the creation and mainte~ance of linkages be~een the center and periphery by developing local political achines in which they function as patrons of their constituents In turn thay s~rve as clients of political leaders of national stature who control central government institutions

2 By atte~pting to establish linkages based on patron-client relatio~shi~s elect~d representatives are responding to public expectations chat their prizary duy is to obtain resources from the center to proffiote local develop~ent ~iany elected repLesentatives spend most of their time on self-help co==unity development projects such 3S the building of schools health clinics irrigation works arid roads because such projects provide

3For exa~le ~ a widely respec~ed a~d useful analysis of rural deve16p~ent in Sub-Sahara~ Africa L~ Lele of the World Bank notes the problems of creating an adoini5~raive infrastructure in the rural areas that is sensitive to local socio-oliical conditions She does not however consider how local leaders operating o~tside of adcinistrative structures ~ night contribute to the developne~t 0 the rural areas See ~~ Lele ~ Design ~ Rural Develop~ent Lessons ~ Africa (Balt~re The Johns HopkiD~ Uciversity Press 1975) r) pp 127-61 i ~

- 6 -

their const~tuents with desired se~ices ~~d a= the sa~e time provide the reresentatives with an orgacization Yhicn can be used as a political base

3 l-tore than 90 perCel1t of the rural population is capable of articulating the p~oblems facing their local co~~ity and two-thirds discuss th~e proble~ w~th their fellow citizens on a regular basis

4 Three-q~rters of the residents of the rural areas can identify the public ofpoundici~s who serve thec--both civil servants and elected represcrtatives--by na~e Most are knowledgeable about the activities of these officials Alcost one-fifth coreover have discussed co~~~ity probl~ ~ith these officials particularly those working at the grassshyroots level Residents of rural villages actually have a higher level of political knowledge than their counterparts in the towns

5 Elections in the rural areas evoke a highly rational attern of voti~g despite the effects of ascriptive or traditional co~siderations Inc~ens are pri~rily evaluated in terms of their record in fulfilling the public r S elpectations of what they should do Elections are essentially referenda on inc~entsr perfo~ce especially their perforwance in the area of constituency servi~es such as bringing development projects to the districts bull

6 Local developcent projects have a relatively high s~olic value generating conscitutency support for local leaders and the central government at low cost

7 These projects help huild a local political infra-structure which can also be utilizec by central govern~nt civil servants to implement other policies designed to achieve rural develop~ent bull

The Icpac~ of Local Politics on Rural Projects

Having explored the developtent of linkages through which the periphery

is represented at che ~enter and through which the periphe~ attemp~s to

share in the ceners resources we now propose to build upon our initial

investigations by e~ing in greater detail the impact of local political

conditions on specific problecs of rural develop~ent We propose to

exacine the develop~ental activities of local leaders ~nd the rural public

by eX2~Ding a saple ot fifteen to twenty smalL~scale developwent projects

in each of ~he three countries which constituted the sites for our initial

8ESI AVAILABLE DOCUMENT 1 ~ - of

- 7 -

study of center-perhiphary relations The appropriateaess of this approach

and the ~ethodology through which it will be ip~emented is discussed in

section II Because the ~ethodology of investigation is in large part

the result of our previous research experience we fizst turn to a revieW

of the existinQ __ ~petence of the Comparative Legislative Research Center

in this area

II GRAXTEES EXISTIXG CmET~CE

In 1971 the University of Iowa received a 211(d) grant to develop

its capacity to do research on the role of elected represent~tives in

the process of modernization On the b~sis of this grant the University

established a research center which planned and carried out a research

project on the role of elected reres~~tatives as links between the central

gove~ent and rural populations in K~ya Korea and Turkey The project -i

served to develop t~e University of Iowas research capability in this

field esa~lished ties between the University and scholars in the bost

countries and generated a large and uniqu~ body of relevant data

In that project we fo~ussed our attention on tbe activities of elected

representatives in their constituencies notably in their contacts with

local political leaders voters and civil servants To determine tbe

nature of the linkage function performed by tbe representatives we

designed our research to explore the subject from three perspectives

1) we eXaojned ~~a ~ubject at tbe grass roots by conducting a series of

sample surveys of 200 to 300 adults in each of 12 to 14 parliamentary

constituencies in each cf th~6three countries 2) we examined the subject

at the center by intervie -ing MIls from the constituencies in which we

had conducted S3mple surveys ~nd higher civil servants with whom they

had contact and 3) ~e ex~~ined the subject from an inter-~diate level

by identifying aud ~terviewing local social and political leaders in

the MPs constituencies We used survey research methods because we

were embarking on the study of an entir~ly new subject for which little

relevant docu=e~tary data existed and on which there were few secondary

sources As a result ~e have unparalleled experience with survey

research in the rural areas of less develo~ed countries

The surveys which constituted the cajor part of our field work were

planned in collaboration ~~th scholars from the host countries They were

carried out in each constituency by student interviewers in the appropriate

language ~re than 10000 respo~dents were inteDViewed for the project

Given the visibility and sensitivity of this undertaking approval for

the research was sought and obtained from the host governments prior to -i

the collec~ion of data ~o objections were raised by these governments

at any stage of the research The data obtained have been made available

to scholars i~ the host co~cries and some of the basic findings have

been published in periodicdis in these countries

The Comarative Legislative Research Center ~hich ad~nistered the

project has aisO developed extensive experience in the study of political

leadership in other countries It h3s obta~ed substantial support from

the Fo~d Foundacion and the Rockeeller Foundation has worked in

collaboration ~~h European as ~ell as Asian and African scholars and

is engaged in a ajor study of the role of elected and non-elected leaders

in the oanag~~t o~~ocial conflict Because it has conGucted research

in a variey of setlngs the Center has an ~ceptional capacity to

- 9 -

determine how the relationships be~een political institutions and

economic p=oble75 differ in develoPed and less developed countries

In the course of the major research projects the Center has administered

it has gained highly specializpd ~p-i ce iI identifying 1Olitical leaders

in a great variety of settings conducting systematic interviews with

them collaborating with scholars in the host countries and in coding

and utilizing large files of data to answer specific research questions

The Center has ~lso undertaken to publish the results of its research

in three fores It issues codebooks to the data enabling scholrrs at

other locations to use the data expeditiously i~ publishes research reports - in the form of Occasional Papers and it publishes a scholarly periodical

devoted to the presentation of research findi~gs to an inteIT~tional

audience

The Center utilizes the data ~ysis facilities of the Laboratory

for Political Research of the University of Iowa and drawS on the unusual

n~er of secialists in comparamptive politics and survey research in

~~e Lniversitys Departmen of Political S~ience The Center itself I

has the services of an administrative secretary and a clerk-typist

~intains its~o~cn extensive archives and its o~~ publications program

It is e~uipped to assist scholars and government officials outside the

t~iversity of Io~a The participants in its p~ojects are full-tioe

faculty ~e=bers ~hose undergraduate and graduate teaching is closely

related to their research As part of the teaching program the Center

has attracted students from the countries in which the research projects

have been conducted these students have participated in the projects

bull J

have obtained training in other fields of political science have received

University of Iowa degrees~ and have ret~rned to teach and to do research

in their own countries

III PURPOSE OBJECTIVES AID METHODS

Purpose of Study

The purpose of the proposed grant is to extend the capacity of the

University of Iowa to determine the political conditions in the rural

areas of less developed countries which favor the establis~ent and growth

of small-scale developoent projects ~e objective is to put the University

of Iowa in a position to assist the Agency in designing small-scale rural

developent projects providing guidelines for carrying out social soundness

analyses of such projects and adviSing in the evaluation of projects

We will discuss the utilization of~t~e Universitys capacity in detail in

section IV below

We propose to concentrate our investigations on the political conditions

surrounding s~l-scale ru~al projects Such projects have distinctive

advantages They waximize the political participation of the rural populations

both in det~~-ining the direction ~d implementation of develop~ent efforts

and in defending the interests of periphery vis-~-vis the urban-based

bureaucratic elite S~ll-scale projects stimulate entrereneurial activity

on the part of the rural citizens and growth of the info~l canufacturing

and service sector Tbey require less lead tice and less administrative

c~erhead to ~eco~e operational than large-scale capital-intensive projects

centrally administered Such projects yield rapid and direct benefits to

1

j

the rural

- 11 b - ~~1

populations and are consistentwith their hUIlaD rights--both

political and economic However~ small-s~le projects pose s~ecial probl~s for administratcrs of developceocll assistance progracs because

they require the donor co assess the local olitics particularl the

rural politics of t~e host country

Develop~c adoinistrators pr~rily conc~rned with assisting rural

populations must therefore recognize the range of political variables

affectL~g these projects Small-scale projects offer great opportuoities

for develop~ental assistance progr~ because they can be easily targeted

to help rural populacions require low capital costs and need no be

concentrated in one or two localities Such projects ho~ever~ ~equire

the a~istrator to have ~re political kno~lecge than large-scale

projects Oil which his priJlary tas~ is guiding the work of other experts

Questions for ~Investigation

To detercine the politi~al cc~diicilS ~st conducive to ~he establ~~ent

and gro~h of scalI-scale rural projects ~e propose to address our inquiry

to the following specific questions

1 To what extent and why co local political leaders seek to establish s~~l-scale develop~ent projects within their co~unities

2 To what extent and ~~y do local leaders other than politicians initiate andor provide leadership for s=all-scale developm~t projects

3 Bot do the relations bet~Jeel different types of local leaders (political and non-political) and bet~eeo these leaders and central gove~ent civil servants posted to the rural areas affect the conduct of develop=ent projects

4 How do existing authority ~eLationships between these different leadership grous and the rural pub~ic affect the organization and operation of s~l-scale develop~ent projects

- 12 -

~

5 lhlt is the nature 0 pclgtlic participation in the establishlent and operatio~ of s~l-sclle projects and ~hat are the outcc=es or this participatioe Gucer w~at conditions is such participation ~ost likely to occur

We seek a~swe=s to t~cse questio s L order to determine the effect of

different co~iigurations of local leadership and public participation on the

outcomes or small-scale rural projects te are particular1y concerned with

the ~pact of these configurations on the rate of econocic growth and the

distribution o~ rIGSlth ithin the loal cOlllUlity ~ on the perce~tions of

s~ll-scale proj~cts by central govern~ent per~oncel and the rural public

anmiddot on the organiation or flture projects

To a~swer these que~tions it is oar intention to study the initia~ioD

izJple=enation ald i1lpact of a salple cpound small-scale rural projects in

Kanya Korea and Turley in the sae cOllities in which we carried OU

our initial icvestigations ~ 1973-75 Tne relationships between the -

various conf~gurations of local leadership and public participation and

the three phases of project develop~ant are sho~ in Figure 1 We will

exa=ine projects to pro~ote the adoption of new agricultural techniques

by s~l and moderate landnolders the building of feeder roads irrigation

ditches and other s~ple infrastructure the organization of fa~ers

cooperatives and other local associations concerned with rural development

the establish=ent of rural health clinicS and schools and the setting up

of craft and service industries

Sites for Study

We plan to return to our original set of localities because we possess

a rich body of relevant data on the extent to which linkages exist between

Figure 1

TYPES OF LFLUEXCE OF C2r~ middotGOVER1iEXT OFFCIALS

LoCu LEADERS 0 THE RURAL PUBLI-C OX THRr~

PHASES OF RURAL igtEVELOPHET PROJECTS

r----------~J C~ltral Gover1~nt Official)-N------- - J

r- Local pOlitical leaders

Local non-political leaders

~l 1---- -

ROJECT nITL~TIOS

Influ~ce on selection of projects

InrI ~elce on location of projects

Influence on policy guidelines for proj eCl

Il

I

a

I I

-I PROJECT I~L~~iATIO~ ~ 1

j Project Organizati I Selection of project

leadership

Hobilization of resources

Mobilizatiol of public compliance with project require=elts

Diffusion of project innovation

Rural Public

I

BEST AVAILABLE nOCUMENT

1 ROJECT IMPACT

Organization of ongoi=g project operation

Distribution of project benefits

Evaluation of project

Public attitudes toward project

-middot14 -

these areas and t~c central p~litical institutions of the three co~tries

and on the attit~es of the rural populacioc local leaders and elected

legislators regardi~g their problecs of develop~~c Since such data

is unavailable for alternative locales a return to the areas in which

we have previously done much research ~ables us to build on a uniquely

valuable body of icformation

A return to Kenya Korea and Turkey is also highly desirable from

the standpoint of effective research organization The Comparative

Legislative Research ~enter has developed close collaborative relationships

with several highly competent social scientists in these countries and

with the academic institutions with which these scholars are associated

We have also dev~_oped cooperative relatio~ships wi~ gove~ent officials

in these countries which should facilicate obtaining approval for our

further work

In proposing to doc~ent the origin i~pl~entation and impact of

one to three s~ll-scale develop=ent projects in each of 35 localities

we have two considerations in mind Firstmiddot because our pr~ry goal is

to deter~e the political conditions for rural developm~Lt we wish to

examine develQ~=ent in as many different settings as feasible Only in

this way can we control for so=e of the major socio-cultural variations

that erist along rural populations in less developed coultries These

include the overall level of econo~c development in the co~unity the

nature of t~e ~digenous culture an~ relationships of authority and the

pro~ty of the comounity to major urban areas and centers of central

gove~nt ad=inistration ~ce our original study sites were carefully

BEST AVAILABLE DOCUMENf

- 15 - ~ ~1

selected to represent these variations ye have concluded that these

35 localities woule be ideal sites for the propose~project Second~ in order to dete~~~ the ~pact of local leaders and public

participation o~ ~ural projects we intend to compare projects 1n which

local leaders and ~ecbers of the public have played a major ~ole with

projects in which they have not We also ~l cospare projects initiated

by the central gover~ent with projects Yhich have been locally initiated

These considerations give us a typology for selecting projects as depicted

in Figure 2

Figure 2 ~

FIVE TYPES OF RU~AL PROJCTS ACCORDIXG TO ~FLUEXCE OF CEITiW

GOVE~1E~T LOCAL LEADE~ AD RLRAL POULATIO~

Level of Participation by Rural Population

Locus of Project Initiation ~

Local Co=unity Central Governoent

BIGd

LOt

1 Projects initiated by local leaders and providing for participation of the rural ~opulation

4 Proje~ts Litiated by local leaders bu~ not involving participation of the rural population

2 Projects initiated by the Central Govern~ent and administered i~ cooperation with local leaders a~d the rural population

3 Projects initiated by the Central Govemlent and providing =or the participation of the rural population but by-passing local leaders

5 Projects initiated by the Central Gover~e~t a~d administered in cooeration Yith local leaders but not involvi~g parti~ipation of rural population

- 16 -

We recognize that the socio-cultural setting of rural develoment

projects varies significantly within and across less developed countries bull

By focussing o~ a representative sa=ple of localities ~ Ke~ya~ Korea

and Turkey we can take account of naoy~ though not all of these variations

While some of our substantive findings will not be directly generalizable

beyond the countries in which we propose to conduct our study we expect

that our basic ~ethods and fLdLgs will be applicable to national and

sub-national settings elsewhere in the developing world This is partly

d~e to the fact that the hierarchy of patron-client relations ~hich we

regard as a critical factor in rural develo~~t exists in ~ost Liles

--It is also due to the fact that the methodology for identifying local

bull leadership configurations auG poundor studying local politics which we are

perfe~ting can be used to assess local political co~ditions in a large

variety of countries even when the ~nditions themselves differ significantly

Methods of Investigation

The data needed to assess the iDpact of local leaders and mass

participaticn on rural dev~lop~nt fall into two categories Some a~e

contained among the data gathered for the research project we are currently

completing Others will require additional field research

The following data are already in hand

1 Data on the social landscape of each loc~l co~nity i~cluding aggregate data o~ level of econonic development de~graphic characteristics political pa=ticiation eth~ic loyalities and rates of socio-econocic change dur~g the past decade bull

2 Identity of local leaders including both political and I-on-political leaders and both legislators and other politicians

3 Perceptions of existiag probl~ and their possible solution a~ng

l)tS r AVAilABLE DOCUMENT

- 17 -

general public local leaders and civil serv~nts

4 Level of political kno~ledge among local citizens and local political leacers

5 Political and social values a~ong local ci~izecs and local political leaders

6 E~~ectacions of leadership roles among the local public and elected and non-elected leaders

7 Patterns of co~unication ~ong local leaders and between local leaders and the central gove~e~t

These data ~hich ~e already have in hand can be subjected to analyses

which ~~ll provida the foundation for our further work on rural develop~ent

projects A part of our work therefore will consist of fu~ther analyses

of existing data

New data of the following kinds are also required

1 Doc~entary data on the origin and evolution of particular smallshyscale develop~cnt projects in the rural areas

-2 Data on project costs boih ~itial invest=ent and recurring

operating costs and data on project ou~puts ie pupils in schools Ddles of road coopleted nl~ber of hospital a~ssions production of factory agricultural productivity

3 Data on project organizatio~ n~~r of local inha~itants participating in establis~~ent of projectt nuober of local L~habitants subsequently involved in project

4 Data-on the pe-cetion of projects by local leaders emers of the local public a~d by civil servants data on the perception of how each project ~as initiatec organized who benefitted and what its future implicatio~s are

These types of data will requ~re field work involv~~g both docucentary research

at the relevant ~istries of the central government and in local goverr~nt

authoritieS and inforoal open-ended interviews with local political leaders

elected representatives and other local leaders who~ we had previously ~

interviewed in a s=uctured syste=atic =aoner

BEST AVAILABLE DOCUMENT

- 18 -

Grant Organizatio~ and T~etable

We propose co undertake the research outlLled above beginning in the

fall se=ester 1977 Dur~g that te~ Professors Barkan and Kim as

principal investio~tors for the neo1 proj ect will contact their collaborators

in the host co~~tries They ~~ll also seek the collaboration of an additional

~rican scholar specializing in rural development with the aic of getting

additional advice on sources of data and suitable indicators for the

~easure=~~t of rural develop~ent projects

At the end of the fall seQester Professors Barkan and Kim will make

a trip to their research sites to disc~s details of the research organization

with their collaborators in the host countries and to recruit student

assistants Tney will devote the spring te~ 1978 to further analysis

of a~sting data at the University of Iowa

The gathering of additional dita L~ the field will begin in the s~er

of 1978 Professors Barkan and Kio will direct this work personally We

eAect that its coopletion ~~ll require three to six months This work ~1

involve the evaluation of central and local gove~ent reports on the

projects uncer investigation extensive on-site observations of the projects

and oen-e~ded interviews with the principal participants Our principal

respondents ~i1l be the local leaders and elected representatives we

have previously identified in the localities in which we have worked and

a sacple of active participants in the particular dpvelopment projects

being studied ~~ere necessary and apropriate surveys of the general

public will be uncertaken to assess the inpact of a given project on the

rural por)r We do not however leed 0 conduct systeAlatic sample surveys

BEST AVAILABLE DOCUMENT

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of the rur~l population as We did in 1974

In the organization of this research project we intend to reconstruct

the rese~rch tea=s ~e e=ployed during 1973-75 We shall again seek the

co11abo=~tion of P~ofessor Sc~~S-7o~g Pai of Seoul National University ~

Professor IIiCr Turan of the University of Istanbul and Professor John J

Ok~u of the U~iversity of ~arto~ S~ilarly w~ contemplate directing

the field research fro~ he same acade~ic research organizations we previously

used Seoul National U~ive~sity th~ ~~iversity of Istanbul and the

Insti~ute for Develop~eut S~udies University of Nairobi As before we

will tra~ students f~oo these institutions to serve as interviewers

The analysis of the open-ended intervie~s and of docUQentatio~ on

I ~ural develop=e~t projects will be a ~ore t~e-co~s~g process than the

analysis of closed intervie~s It will reqrire a high cotnittl~t of time

fron the principal investigators )e e--pec to hold a conference at the i

U~iversi~y of Iowa 3lO1g all the principal )clticipa~ts in the resea~ch

project d~=~g t~e spr~g 1979 to evalua~~ the newly collected data

le e~ pect to be able to vr-ite reports of t~ results during the Sl1~er 1979

(see Figre 3)

IV LlX-GS ~1) U~ILIZATIO~

At the e~d of the grant period the Uti ersity of Iowa will be able to

1) advise the Agalcy 01 the design of s~l-scale rural projects to assist

the rural poor 2) provide guidelines for social soundness analysiS of

small-scale projects for the rural areas of U)Cs 3) consult w~th the

Ag~tcy 01 the evaluatiol of rural projects ~d 4) provide LDe governments

BEST AVAILABLE DOCUMENT

)ATES

~lll

1977

~inter 1977

iprilg 1978

il mer 1978

~all

1978

ipr~ng

1979

Imiddoter 1979

University vf Iowa

Plutlning of rural develo~rent project

Barkan Kil

Alalysis of existing data

Barkan Kia

Data processing

3arkan Kin

1

I

- 4 -

Figura 3

GRAT TLfETABLE

SIT E S

Kenya Korea Turkey

Preparation of field research ural developH~lt project cOlisulta~io~ a research sites

BarkanOku=u Ki~Pai Tura~rkanKi~

Preparation of field resea-ch

Tural

Field research on rural cevelop~~t projects Bar~lOk~u Ki=Pai Turan

Co=pletion of Co=pletion of field resear~~I~ fiald researcr

Ok~u i Pai bull

f Coopletion of field research

Turan

Data analysis conference a~ong all princial i~vestigators at Un~versity of Iowa Barkan Kil Oku=u Pai Turan

Co=letiol of r~ral develop~ent

project

3arkan Kiz

BEST AVAILABLE DOCUMENT

I

- LL -

~ith speciali~cs o~ ru~al developcect ~mong their own citizens ~ho ha_

partcipatcd ~s collaborators in the Iowa projects

In the proposed project we Will test a series of hypotheses cOlcerning

the political cOllditions of rural develo=ent which run counter to CODOn

assuoptions conccrnir3 t~~ influence of rural politics on project effectiveness

As a result ~e ~dll be able to assist the Agency in designing and evaluating

such projects froe the point of V~~W 0 their political viability The

hypotheses We will test sugges~ t~at the patron-clie~t relations existing

in the local politics of zost LDCs are not necessarily i~pedients to rural

develop~ent but are aspects or the political structure which cal be used to

facilitate s~ll-scale ru=~ projects which will raise the standards of

living of _ ~ rral pomlation - As ~ result or our stuey we expect to be

able to P~-O~t the local leadership confi5~rations ~4d the relationships

between local leaders ald rural poclations ~nich are oost conducive to I

successful develcp=en efforts We believe that we will be agtle to perfect

a cat~odology for identifying the political conditions for rural develop~ent

one ~hich is transferable pound~oo the countries we have specialized in to

other LDCs

We proo~ to develop specific guidelines to assist administrators

charged with selecting evaluating and =onito~ing rural develop~ent

projects to ~szess t~esc rojects in tares of their-social and political

viability he outco~e of such projects is dete~ned not only by the

efrectiv~nass ~~=h ~hich they use scarce econo~c resources but by the

~~er L~ w=ich they e~gage the suppprt of local leaders and rural

po~ulatiocs~ by thei= effect ou social a~d econo~c equality ~d by

D[~T AvAlLA8LE DOCUMENT

- 22 -

their consequences for hwan rights ~Je plan to establish criteria by

middot~hic~ the probable outco~es of projects in these social terms can be

anticipatec

The study ~e propo e will be undertltlken by faculty at the Cniversicy

of lowe in collaboration with faculty a other ~rican institutions and

institutions in the host countries We will build on the extensive contacts

between the Co~perative Legislative Research Center of the ~niversity of

Iowa end other instituions with ~aich ~e have worked One =ajor result

of our collaborative study will be the existence of a net~ork of compe~ent

scholars both in this country and overseas experi~lced in ~orking together~

shar~g a co~on teaching and training experience i~ close contact throu~~ the

effective publications progr~ developed by the Co~parative Legislative Research

Center T~e e~~ertise of this group of individuals will be ava~lable to

oteer scholars to the Agency and ~o L~C governments for specific policy

advice The eXertise developed as a consequence of this project will

extend beyond the ~tionals of the countries ~volved since the univ~sities

engaged in ~e project attrtct stude~ts fro outside heir own countries

For ey~=ple the teaching ~d research progra in the Depar~ent of Political

Science 0 theUniversity of Istanbul heavily affected by the participation

of its facul~y ~e=bers and graduate students in our projects attracts students

throughout the ~middot1iddle East for Whom the University of Istanbul is the iajor

institution ~pound ~igher education in the region rne Institute for Developmen~

Studies is si=ilarly a focal point for students and faculty in East and

Central Africa Seoul ~atiocal Unive=sity attracts students froo other

Asia~ co~tries~ In this way the capability developed among the participant$

BEST AVAIL~BLE DOrUMENT

- ) -

in our work is diffused widely To the exte~ that the abili~y to assess

rural develop~ent p~ojects in teres of their social soundness is increased

both in the United States and in ~o~~tries r~ceiving develop=en~ assistance

the cap3~ity of racipien~ countr~es to absorb aid is ~creased

We propose to draw up an inventory of personnel available in ~~e

Cnited States and in other co~~tries who are able to consult with developen~

a~nistrators on the design of rural development projects and on their

evaluation We ~~ll draw first of ai~ on individuals w~o have been

directly associated with our ~ork in the past or on ~he proposed project

and ex~~~d the list to include graduate students and gove~ent officials

with who~ these individuals have wor~d

tole Yill utilize tha existing publication program of the Center

dercribed above to disse~inate our findings The Center has specialized

oailing lists of interested individuals and institutions in all parts of -i

the world and its reports can trerefore reach the ~st relevant audience

jirec~ly ~d re~~arly

BESl AVAIL~BLE OOCUMENT

CONTRACfjGRANTCOOPERATIVE AGREEMENT DATA SHEET

INSTRUCTIONS fjDW Complete 4 copies of the form Original SERCMSDSUP Statistical Section Copy Copy 2 SERCMSIiUP dministrative Copy opr 1 Contracting Officers COy COP) 4 SERCMSDSUP IUmin (Suspense) Copy

Missions Complde 2 copies oi the form Origin31 SERCMSDjSUF- Statistic31 Section Copy 3n~ Copy 2 Nill be ret31ned in the Missions

PART fA

ConU3lttorGranrce Name

University p~f~I~o~wa~ __ -r~ ____ ~~~~ __________ -~~ __ ~~~ ______________ ~~~~ Plorr Numt-er ApptopriJtion Number Allotment Number Project Number

930-0090-3Q13411 A5 72-111l0216 146-30-099-00-20-11 930-0090 Project Title

So~ia1 and Potitica1 Aspects of Development - Conference to Report Research Findings Amount of this Plorr I Projecl M3nagers Name and Offire Sytlbol

$10397 (increase) PDPRCP Jonatlan Silverstone Contr3ctors D-U-N-S Number

Ncgwatocs TYJlCd~3meJ j) Signature I l ~ jIf- bull G HtJ--ft u l IVmiddot

D~e

L - f - J ContractGrant Officqs typed Nailllt Signalure LJ d I -r-

plusmn t 3i-alflpta (( BLvle~ 1 I~ PARTm

ContractGranl Number

AID CSD-3294

Effeclive Date of Docum~nl Signalltre D3t~ of Documenl

Lf---C yen-~-gl tIost Courtry Institution (U iwrsity contract ONL Y)

Campus Coordinator (Uniwr ty i contract OiiL YJ

PART UL Descriplion of Cor-tractGrant P1use X ONL Y ONE item under each headiZg IF THEltrease CifYmC~e bolh ges I 30~~ O~ Nol to be completed for Amendmenl or Modlfic3lion AJigtns I III

J 710gt I I V ~ I

MOl - TYPE ACT A~ 0 G unsolicited Propsll (AIDIR 0 C Individual (Non-pe~nal senice)

~ O Cortra lGrantl ooperative Agreemenl 73101-SO(b)(6raquo 0 D Individual (ftrsonal Service)

tJl T3sk Order ( A)middot 0 H Procurement 10 be Perfocm~d by the Conmiddot 0 E UniversilyOther FAuC3lionailnSlitulions

D 2 Work Order (IQC) Ira~lor in Person (AIDPR 0 F Non-Profil Organizationlnslitutions (other

D 3 Delivety Order (Requirements) 73101middotSO(b)( Iraquo than Ed or PVO)

[j 4 Purchase Ordcr [J I Sole Source (AIOPR 7-3101-SO(b)(4)) 0 G Private Volunury Organization (PVO)

If I 2 or 3 1Lle an ~ compllle M 12 ON Y D J Imp3irmenl of Foreign Policy Objectiws 0 H International Agricultural Research Organj-

M04 - CONTRACTGRANT TYPE

o O MOA (BOA BMA etc)

o I Fixed Price (Specify fFP FPRD FPEPA FPI) _____ _

(gtIDPR 7-31 OJ SO(b)(7raquo

OK B(a)5eJection (FPR 1middot1713-1)

o L Grant iH1ndlOok 13)

o M Do Nol Ue

D 2 Cosl Reimburemenl (S~cil) CR CPFF 0 N Cooperative t~reement (Handbook 13)

CS CPAF CPIF) ~ 0 O Small Business SeImiddotAside (FPR 1middot1706-8)

o l Cooperative Agreemenl ~ 0 1 Overseas Procuring AClivilies (AIDPR

04 Grant Gener31 Supportmiddot 0U ~ 7lIOI-SC(b)(2))

o S Granl - Specific Support ~ ~06 E SER VICE

g ~ ~~t ~~(d) ~~ ~~ ~ eci~a~~~~~ogram Projeci

o amp IQCs ~ ~ relampted excepi A amp E Services)

o 9 Host Counlry ContraclGrnnt 5lJ C amp E Services

middotComplele ONLY through ~Sl ~~ 0 D Construction

M05 SELECTION PROCEDURES 0 E- Reseuch

o A Formally 3dverliscd (IFB) (A1DPR 7middot24 amp

FPR 1middot24) ~ o B Negoli3ted Price Compelilicn Gencr31

Procedure (RFP) (-JDPR 7456)

Dc A amp E (AIDPR 7410)

0 D Ed Inst andor Inl1 R~arch (-JDPR

74 5)

o E Collaboratoe Assisunce (IDPR 7458)

C F Predominant Capability (IOPR

73IOI-50(b)(l)

AID 1420-49 (179) - Page I

D F Technical Services to AID (other than trainmiddot

ing usually o~ating expense)

D G jraining SetVice for AID

o H Equipment Materi3J~ Supplies Commodities

D I Translation Service

~07middot TYPE CONTRACTORGRA-nEE

o A Firmmiddot AU profil-rn3king fUms (other than

Aamp E)

J e A amp E 8r~

zalion

o Public Inlmlational Organizations (UN

Agencies ICRC Wocld Bank elc)

(H8 J 3 Chapt~ S)

M08- TYPE AW~RD

o A S8 Sel-Aside - Awarded to Non-Minority

o B S8 Set-Asidemiddot Awarded to MinXity

o C_ S8 NOI Set-Aside - Awarded to Non-Minority

o D S8 NOI SeImiddotAsidemiddot Awarded 10 Minority

o Eo amp(a) S8A Awarded to Non-Minority (Womerl-

Owned Veterans etc)

o F 8(a) S8A Awarded 10 MinorilY

o G Personal Sen-ice ConlrdCt bull Non-Minority

o H IeJSDnal Service Conlract - MinorIty

o I Individual NonmiddotPersonal Service Contraci -

NonmiddotMinority

o J 100Jigtiduai NonmiddotPersonal Service Contracl -

Minorily

o K NOI Small Business (Univ NonmiddotProfit Large

Firms) Non-Minorily

o L- NOI Small 8usineSl (Univ Non-Profit Large

Firms) Minorily

o M US Govcrnmlnt

(Connnued on Page 2)

BEST AVLABIE DOCUMENT 1 I

--

ua ) R I GI NAL 9 bull

MODIFICATION or GRANT PAGE 1 of 2

AH 1 2 Effective Date 3 Grant No 4 Effective Date

Amend_at Ro 5 April 15 1981 AIDCSD- 3294 8-11-71

-s CRANTEE (Name and Addrea) 6 Administered by -Professor Gerhard Loewenberg -Office of Contract Management Cbrnparative Legislative Research Gente Central Operations Division Dept of Political Science am Branch University of Iowa Agency for International Developn~nt Iowa City Iowa 52240 Washington D C 20523

7 PIO No 930-0090- 3013411 A5 8 Previous PlOTa -

Appropriation No 72-11110216 93i-1l-995-l36 930-11-995-136-73-3078103

Allotment Symbol - 146-30-099-00-20-11 wunt Obliga ted by this ~ndrnent - $10397

The above numbered Grant is hereby modified as follows

1 Anotmt obligated prior to this rurendment 2 Amount obligated by this amendment 3 Total obligated anount (1 amp 2)

Delete the amJmt $465000 and substitute in lieu thereof the ammnt I$47S 39-7 ~

FUNDS AVAIrABm

~~ - APR 13 1981

PrO~A~~5iors

$465000 $ 10397 $475397

OffiCE Of fIN~(1 ~~rE~E~T __ _ 10 This amendment 11 entered into puruant to the authority of the Forelgn

Assistance Act of lS~l as amended Except aft hereln provided all terms and ~~ndi~ons nf the grant rcferpnccd in Block 13 remain unchsnged and in full force and ~ffcct

11 original and six Crantee 18 requlred to aign thh document aad return 1- eopics to issuing

ffiee

~~~ or printed) BUSINESS MAHAGR amp bull

Tille TREASURER

UNITpound) STATES OF AHERICA AGENCY FOR INTERNATIONAL DEVELO~NT

BY_-1(1o-_1lt--= 13middot~_1_~ __ K R B1uteau

(Name typed or printed)

Tltle~ ____ G_r_a_n_t __ O_f_f1_c_e_r ____________ __

D3tC APR 2 J 7997 Dolt 9 APq 1981

BEST AVAILABLE DOCUM NT ___ 0 HLGlNAL - I 1 J 1 ~ )

- 2 -

AID ftmds in the am)tmt of $10397 are hereby provided for the activities lmich are described in your proposal (including Budget Stnmnary) entitled CDnference to Report Research Findings on the Study of Political CDnditions for Effective Small-Scale Rural Assistance Projects in Kenya Korea and Turkey dated February 17 1981 and made a part of the Grant b reference

BtTDGET StMMARY

Line Item

Travel

Per Diem

Other Direct Costs

Less existing 211 (d) grant funds

Total Amount Obligated by this Amendment

Estimated Costs

$ 5888

5100

_ 2500 $13488

_ 3091

$lO39

Note Indirect costs or $395086 associated with these activities will be contributed by the University of Iowa

BEST AVAILABLE DOCUMENT

~RIGINAL

- CONTRACT IGRANTCOOPERA rIVE AGRElEMI~ SERC~SDSlP Actio) Monitor

SERCMSDSUP Action Office

I

INSTRUCTIONS AJDW - Complete 4 copit of tlh fonnmiddot Orisina iCMSDfSUP Sutistical Section COP)middot Copy 2 SERCMSDjSVP Administrative CoP Copy 3 Cont-acting Officers COP) Copy 4middot SOSUP Admin (Susptnse) Copy Missionsmiddot Complete 2 copies of the form or~aI SERCtSDSUP Statistical Section Copy and Copy = wiU~ retained in the Missions

0 PART IA

Effective Date of Document tJ

Delivery Order (Requirements)middot

o 4 Purcluse Order

bull If I 2 or 3 have an bull X compl~te M I 2 ON L Y

M04 - CONTRACTGRANT TYPE

o O MOA (BOA BMA etc)

o 1 Fixed Price (Specify FFP FPRD FPEP FPI) ___ _

o 2 COli Reimbursement (S~cifY CR CPFF CS CPAF CPIF) ______ _

o 3 Cooperative Agreement

o 4 Grantmiddot General Support

o S Grantmiddot Specifi Support

o 6 GraDt 21 led)middot

o 7 Do Not Use

o amp IQCs

o 9 Host Country ContractGrant

middotComplete ONLY through M 5 1

MOS SELECTION PROCEDURES

o A Formally advertised (IFB)(AJDPR 7middot24 amp

FPR 124)

o B Negotiated Prire Competition General

Procedure (RFP) (AIDPR 7456)

o Co A amp E (AlDPR 4 I 0)

o D Ed Ins andor Intl ReStalch (UDPR

7457)

o E Collaborative ASSistance (AIDPR 7458)

o F Predominant Capability (AIDPR

7-310l-50o)(3)

AID 142049 (1-79)middot Page J

o H Procurement Co be Performed b~ the Conshy

tra~tor in Person (AlDPR

7middot3t OI-SO(b)(Iraquo

o I Sole 5gturce (AIDPR 7middot3101middotSO(b)(4raquo

o J Impairment of Foreign Policy Objecdv~

(AIDPR 7middot310 ImiddotSO(b)(7raquo

o K 8(a) Selection (FPR 1middot1713-t)

o L Grant (Handbook J 3)

o M Do Not Vse

o N Cooperative Agreement (Handbook 13)

o O Small Business SetmiddotAside (FPR 11706-8)

o P Overseas Procuring Activities (AIDPR

7middot3101middotSO(b)(2raquo

M06middot TYPE SER VICE

o A TtJining of Participants

o B Technical Assistmce (Program Project

related exc~pt A amp E Services)

J C A amp E Services

0 D COltl~ruction

0 E Research

0 F Technical Services to AID (other than trainmiddot

ing usuaU Y operating ex pense)

0 G Training Service few AID

0 H Equipment Mat~rials Supplie~ Commodities

0 I Translation Service

07middot TYPE CONTRACTORGR TEE

Firmmiddot All profitmiddotmaking fu-r1s (other than

AampE)

o 9 amp E Firms

I Prcct NumbcT

I

Contactors D-U-N-S Numbcr

I) -S--f(j

o C Individual 0-lon-~rsora1 service)

o D Individual (Pet-sonal Service)

o E University lOt her EduCltionaJ Institutions

o F Non-Profit Organization Institutions (other

than Ed or PVO)

o G Private Voiuntary Organization (PVO)

o H International AgricultwaJ Research Organmiddot zation

o I Public International Organizadon~ (UN

Agencies ICRC ewld B3J1k etc)

(HB J 3 Chapter 5)

M08middot TYPE AWARD

o A SB SeImiddotAsidemiddot Awarded to Non-Minority

o B SB SetmiddotAside bull Awarded to Minority

o C SB Not SetmiddotAside - Awarded to Non-Minoril)i

o D SB Not SetmiddotAside - Awarded to Minority

o E ~a) SBA Awarded to Non-Minewity (Womeli

Owned Veterans etc)

o F 8(a) SBA w-rded 1o Minority

o G Personal Service Contractmiddot Non-Minority

o ~ Personal Service Contnct - Minority

o I Individual Non-Personal Sence Contractmiddot

NonmiddotMinority

o J Individual Non-Personal Service Contractmiddot

Minority

o K Not Small Business (Univ Non-Profit L1lge

Firms) --vn-Minority

o L Not Small BUSiness (Univ NonmiddotProfit Large

Firms) ~inoriy

o M VS Government

(Continued on Pcge 2i

t bull - t ~ J f q

ORIGINAL bull MODIFICATION OF GRANT

1 2 Effective Date

Araendllent Ro 4 12-2-80

s CRANTEE CHace and Addrels) Professor Ger1ard Lo~middot enbelg Comparative Legislative Research Deartment of Political Science The Lnivp-rsity of Iowa Iowa City Io~a 52240

7 PIO No NI A

Appropriation No 72-11XHl26

Center

Allotment Symbol -426-30-099-00-3~-71 Amount obligated by this urendment-O- I

3 Gnnt No

AIDcsd-3294

PAGE _____ 1 _of-L

AlI 4 Effective Date

8-11-71

~ Admlnlltered by -Office of Contract Management Central Operations Division OTR Branch Agency for International Development Washington DC 20523

8 Previous PIOITs -

931-11-995-136 930-11-995-136-73-3078103

9 The above numbered Grant is hereby modified as follows

Supplement to Grant

Change the duration period sentence to read

The Duration Period for this Grant shall be August 11 1971 through December 31 198]

1 Amount obligated prior to this amendment $465000 2 A~unt obligated by this amendment -0-3 Total obligated amount (1amp2) $465000

----------------_- - ------- ----_- ------ 10 Thh lImcndmcnt is entered inlo punuant to the authority of the Foreign

~ Assistance Act of 1961 86 amended Except a~ h~reln Z II provided all terms and condi tions nf the grant referenced in Block 3 remain ~~aunchlinged and In fu1l force and effNt cnltUI cJ)za 11 o 4 J bull

Et~ ai~a gtUoItshyc Z P=u

original and six Grantee t requi red to sign this document and return 1- eopies to 1Bufng

office

~ 12 GRANTEE TES OF AMERI CA

(Name typed or printed) bull

TJlle Director Comparative Legislative liecearell CeQtoQl

Date 12880

------------------------------------

ONAL DEVELOPMENT

By ----~--~~~~---------------------

prinled)

Grant Officer Title --------------------------------

J)oll( 12-2-80 -----------------------------

BEST AVAILBLE DOCUMENT i je

Page 20: PD-Ar3T Cr(~

- 17 -

of te eo17i~g cCpterce br A I D rLld ethers In addi tion there

aS3essr~ents of the gr31t

middot l ~ lI ~ _ _ _ co~~~r~~ing ~~iversiti~s md tne rrctitoring ALD office

7re l~yersity of Ie~middot~ budget of $26500 is to be deveted to the

cemiddotelgt~e~ of lstituticnal cefete1Ce in comparotive legisl~tiye studies

~t Iomiddota c t~ the exalsi0 ot a date b~L-lt ~ hich 1fill be utilized as

a ecle for icrec3ing te scope of tbe sub-specialty

T - 1 f 1 __ middotja r S Ctdget a9roxir~tly 33- has bee allocated to a

cemiddote Lp~l t rirc ipally C actlty re leased tirre for data ccllection

ai 0 3alres f~r i~~er-ieers in field research 3d secretarial

assi5ta1ce nCt2 11- of t~e Icmiddotre oudge~ is iesignated for an

ArCE_1 A~ite s(101a~middot 2d one 0 ore scnolals froQ LDe or

s1lllrt of greluate stucents in the

BEST AVAfLIlBLE DOCUMENT

- 18 -

Finally approximately 19 of the budget will be devoted to the

proposed data bruL~ that will archive not only data generated from the

research of scholars at Iowa Duke and Hawaii but also at other US

and foreign institutions Primary and 3econdary an~ses of these

data will become an integral part of ~omparative legislative studies

curricula The ability to utilize the data bank for teaching purposes

also should have a significant impact on professional preparation ofmiddot

future legislative specialists In summary the funds will be

allocated to research teaching and training activities tha~ are

entirely conson~~t with the philosophy underlying the utilization of

2ll(d) grants to achieve institutional development

Conclusion

The University of Iowa regards the research and teacbing components

of this program to be closely related an1 zrutually reinforcing The

University of Iowa offers a strong base for the pro~ram because of the

interests of faculty members here now because of their contacts with

scholars in this field in other Americ~~ and foreign universities

because of their experience with the international exchange of faculty

and because of the distinctive data gathering and processing facilities

available in our Laborator~- for Political Research The program which

we have formulated is designed not only to accomplish specific

research and teaching objectives but to contribute to the long-term

development of the University of Iowa in an area in which it has already

exhibited special interest

BEST AVAILABLE DOCUMENT

~ I) - 0

- 19 -

The program on Comparative Legislative Studies with support from

this Grant rill develop the capacity at the University of Iowa to

provide assistance under separate financing arrangements to developing

countries in a number of ways and through a varieiy of channels This

assistance which would be arranged for end negotiated separate~ from

this Grant may be in the form of technical assistance advisory service

training research and information exchange etc It will be available

by mutual agreement to appropriate agencies national and international

public private a~d mixed and directly to the less developed countries

Most especially this added special competence will inevitably become

incorporated through the processes of scholarship and education into

the competence of US and foreign scholars and institutions concerned

with this topic of great significance to the developing and the more

highly developed countries alike

BUDGET SUMMARY

UNIVERSITY OF IOWA

Salaries

Graduate Student Stipends

Fringe Benefits

Travel

Equipment and Services

Other

TOTAL

$173090

32400

19209

13800

6501

20000

$265000

BEST AVAILABLE DOCUMENT

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BEST AVAILABLE DOCUMENT

(C

Dr Willa~d l Boyd Presicient University of Ima iowa City Iowa 52242

Dear Dr Boyd

4 AUG 1977

amp

FIJNDS AVAnASLe CpoundNrftAamp sEIMCEs DMsON

AUG11 ~n te t6417 ~77

Subject bull Supplsectferit-tJF-G~middotNomiddot~middot AIOcsd-3294

t middot-rrPJ1 3

I am pleased to inform you that pursuant to th~ auth~rity contained in

S-cction 211 (d) ooC the Foreign Assistance Act of 1961 as amended a sup

plemental grant in the amount of $200000 is h~reby r~de to University

of rCi1a These supplement]l grant funds areprolided to support the

activities which are described in your Proposal dated May 6 1977 for

the implementation of your program entitled Political Conditions for i

Effective Small-Scale Rural Assistant Projects

---This sup~lemental grant is mace to University of Iowa en condition that

yo~r institution shall administer the funas provided under this Grant fn

accordance lith your r~ay 6 197 proposal (including Budget SUmlilary) and

the Standard Provisions (as incorporated by Amendment No 1) which have

been agreed to by your instit1ltion Ti) the extent of an inconsistency

between the Proposal and the Standard Provisions and any otherprovisfons

which ar~ made a part of thi5 Giant by reference or other~iSe the Sta~d~

ard Provisions shall control

The new Duration Period for this Grant shall beAugust 11 1971 through

August 10 1979

The total amount of funds obligated under the grant is increased to reflect

a new total oblgated amount of $465000

Please sign the Statement of Assurance or Compliance ana the origfnal -

and seven (7) copies of this letter to acknowledge your understanding of

the conditions under which these funds have been granted Please return

the Statement of Assurance of Compliance and the original and six (6)

copies of this supplemental Grant to the Office of Contract Management

Attachment May 6 1977 Proposal and Budget SUfiT1a ry

UNIVERSITY OF IOWA

Roberw bull OBrien fficer

Ce al Operations Division Office of Contract Management

AC~E~E~C--_ 0 BYpoundk~~ cH

D C ~lpoundSTtR5BA T ITL E ( PfeampoidPilt for

tee ment amp Research DATE 9-22 -77 (d~ ~~Bduate Ctl~1e~e

BES i AvAILdLt UOCLJMU~ I

211(d) Grant Program

Proposal of the University of Iowa

POLITICAL CONDITIO~S FOR EFFECTIVE SMALL-SCALE

RURAL ASSISTA~CE PROJECTS

Submitt~Ci to

Civic Participation Division AID

May 6 1977

Amount requeste~ $ 199987

BEST AVAILABLE DOCUMENT

I TdE DEVEIOP~T PROBr~

P~litical Conditions for Rural Development

The Cocparative Legislative R~search Center of the University of

Iowa proposes to ~~dartake a two-year study to investigate the role of local

leaders and the rural public in theimplecentation of small-scale develop~ent

1 projects in less developed countries The study will use and extend the

capacity ~hich the University of Iowa developed under a 211(d) grant to

investigate and assess the impact of loeal politics on rural development

~t the co~pletion of the s~ Iowa will be in aposition to advise the

Agency on the design ~nd evaluation of s~ll-scale projects which will be

politically viabe a~d effective in ass~sting the rural poor ~

As students of development w~ approach our task with the assumption

that the proble~ of development and underdevelopment are funda~entally

ones of political econooy and a~ such can only be solved through a

simultaneous considerationof economic and political factors Efforts

which foc~s aloost solely on economic factors like those of ma~y

organizations engzed in dipersing foreign aid or efforts which focus

almost exclasively on political factors fail to take account of the

interdependence between these two dimensions of underdevelopment and

lwe have for~ulated this proposal in a canner consistent witr the cu~rent policies ard interests of the Agency We have been guided in our tsk by four Age~cy doc~e~ts Impleo~~tation of New Directions in Developnent Assista~c~~~ ~eport to the COmlittee on International Relations on Ilupleoenshytatiun of Legislative Refo~ in the Foreign Assistance Act of 1973 (July 1975) rItevis~d Projec Developiel Review and Approval Systeo (A I DL Circular A-21 Aril 23 1975) SH Butterfield Draft SUIilZ3ry StateUlent of a Practical Agelcy Approach c aural Devalopilelt (AATA February 28 1975) Cicci A Coce~ual Oie=viamiddot middot Rural Development No1 (lWorilting GOU O~ tha Rural Poor February 1975)

- l -

can meec with only l~ted success

Our concern with the i=pact of local politics on the process of

rural developcent is a result of our interest in the basic question of

how LDC governm~nts and the donor agencies which assist them can

become core effective in raising the standard of living of the rural

poor We seek answers to the following aspects of that basic question

1) What political conditions must exist both within rural communities

and between theo and central gove~ents to raise agricultural production

w~ere small-scale agriculture is the do~nant pattern 2) Vnat are the

political conditions for a core rapid expansion of the informal manufacturing

and service sector cocprised of labor intensive small-scale industries

located in the rural ar s 3) What political structures and activities

are mase crucial for the provision of welfare and econocic supporc services--

such as agricultural exeension mar~eting and transportation--to the rural

areas1 4) ~~at Folitical conditions oust exist to insure that economic

growth in the rural areas is not accowpanied by excessive and intolerable

inequalities between socio-economic classes andor between regions1

Center-Periphery Linkage in LDCs

To deter~ne the political conditions for rural development we have

in previo~s s~udies exacined the institutions and processes through which

rural populaticns are integrated i1to the national politi-cal systetlS of

middot~he countries in which they live A gap exis~s in most less developed

countries bet~een the peasantry residing on the periphery and the c~~tral

political ~stiutions staffe1 by ~~estern-educated bureaucratic elite

We are aware of the other major ~sti~utional discontinuities which comprise

J

4 middot~~1 the basic cleavage between the developed and underdewmiddoteloped sectors of

these dual societies Bridging these gaps is essential if these so~ieties ~ are to develop into viable nation states For until those Q~ the periphery

of the poli~ical syste~ participate in that system and support and comply

with the authority of central political institutions neither economic

development in ~he rural areas nor a stable polity will emerge

Bridging the discontinuities in these new political systems requires

establishing and institutionalizin3middot1inkages or networks for co~unication

and exchange of resources between decision-makers at the center and the

rural public on the periphery Three types of institutional linkages are

most prominent in less developed countries 1) those conSisting of the

state administration composed of the bureaucratice1ite 2) those consisting

of a revolutioncry political party cocposed of the ideological elite

3) and those conSisting of patron-client hierarchies composed of the political

entrepreneurial elite

Of these three linkages consisting of the state administration are

the cst extensive and pervasive in virtua~ly every LOC Such linkages

however exist primarily a~ instruwents of the center to penetrate the

periphery Central government officials are formally charged with bringing

develo~ent to the people This is a ~issi~n which conceives development

as a process ~hrough which a traditional peasantry is transformed and

assimilated iJro the DOdern center which is steadily expanding to embrace

it Agents of the center invariably have more resources to achieve their

objectives than do local political leaders but because they are frequently

strangers~ the communities in which they function they are often unable

- It -

co implement the policies of the center without working through the

local establis~ent

Though somctices significant linkages consist~g of revolutionary

party organizati~ns such as those found in China and Vietnam do not exist -

in most IDCs beca1Se of the special historical and e~omic conditions

required for their development As wi~h the administrative state however

the linkaampe apparatus of such political patties is prUlarily an instrument

of the center whose mission is to penetrate and mobilize those onthe

periphery

In contrast patron-client hierarchies are linkages which represent

the periphery at the center and mediate betwee~ these two disparate

sectors of the political systec Thcugh norcallymiddotovershadowed in scale

by the state administration patron-client hierarchies are found in almost

~very LDC a~d constitute the ~st significant network through which rural i

populations and their leaders influence the decision-~king process at

the center Patron-client hierarchies exist in a wide variety of org~iza-

tional fores ranging from info~ ~ec~~rks of individual olitical leaders

in uno-partyll systelS in S~b-SaharaI4 Africa to extensive political machines

in both one-p~rty (Africa Mexico) and ~u1ti-party systems (Turkey India)

Despite their importance as the pricary means through which peasants in

LDCs particiate in their political systems patron-client hi~rarchies

have only recently become an object of analysis by students of political

developent and do not appear in even the most sophisticated studies of

2 See Jo~ Dunca owell Peasant Socie~y and Clientelist Politics Aerican Politi~ Scielce Revietol 64 (June 1970) pp 411-25 Rene Lemarchand anc_ Keith Legg olitical ClienteliSJ and Ethnicity in Tropical Africa Aierican Political Sc~ecce ReView 66 (Y~rch 1972) pp 68-90 James C Scott PatronshyClient Politics a~d Political Change II 1tlerican Political Science Revie~ 66 (~arch 1972) p 91-113 and Friends Followers and Factiols bull edited by Steffan Sc~~d and James C Scott (Berkeley UniverSity of California Press 1977) bull

- 5 -

3 economic development Ad~niscrators of developmental assistance progracs

have too often regarded patron-clienc hierarchies as ~ped~ents to

develop~ent instead of recognizing cheir potential utility bull

~ Findings on Patron-Client Hierar~hies --

The importance of pat~on-clienc hierarchies for linking the periphery

to the center is one of the major findings ~erging from a study of the

relationships betueen l~gislators an~ their constituents in Kenya Korea

and Turkey ~hich the Cowparative Legislative Research Centpr is nov

comleting uader its 21l(d) grant from AID This study has av~mined the

creation of linkages between the periphery and the center through ~ore

than lO~OOO interviews with members of parl~ent local leaders and

peasants in t~e three countries The findings are being systewatically

set out in a book-length monograph Nearly a dozen research reports have -

uready appeared (see Appendix C) ipropositions about the nature of

political behavior of rural populations an~ the roles of local political

elites de=ived from the research~ can be s~rized as follows

1 Elected representa~ives play a significant role in the creation and mainte~ance of linkages be~een the center and periphery by developing local political achines in which they function as patrons of their constituents In turn thay s~rve as clients of political leaders of national stature who control central government institutions

2 By atte~pting to establish linkages based on patron-client relatio~shi~s elect~d representatives are responding to public expectations chat their prizary duy is to obtain resources from the center to proffiote local develop~ent ~iany elected repLesentatives spend most of their time on self-help co==unity development projects such 3S the building of schools health clinics irrigation works arid roads because such projects provide

3For exa~le ~ a widely respec~ed a~d useful analysis of rural deve16p~ent in Sub-Sahara~ Africa L~ Lele of the World Bank notes the problems of creating an adoini5~raive infrastructure in the rural areas that is sensitive to local socio-oliical conditions She does not however consider how local leaders operating o~tside of adcinistrative structures ~ night contribute to the developne~t 0 the rural areas See ~~ Lele ~ Design ~ Rural Develop~ent Lessons ~ Africa (Balt~re The Johns HopkiD~ Uciversity Press 1975) r) pp 127-61 i ~

- 6 -

their const~tuents with desired se~ices ~~d a= the sa~e time provide the reresentatives with an orgacization Yhicn can be used as a political base

3 l-tore than 90 perCel1t of the rural population is capable of articulating the p~oblems facing their local co~~ity and two-thirds discuss th~e proble~ w~th their fellow citizens on a regular basis

4 Three-q~rters of the residents of the rural areas can identify the public ofpoundici~s who serve thec--both civil servants and elected represcrtatives--by na~e Most are knowledgeable about the activities of these officials Alcost one-fifth coreover have discussed co~~~ity probl~ ~ith these officials particularly those working at the grassshyroots level Residents of rural villages actually have a higher level of political knowledge than their counterparts in the towns

5 Elections in the rural areas evoke a highly rational attern of voti~g despite the effects of ascriptive or traditional co~siderations Inc~ens are pri~rily evaluated in terms of their record in fulfilling the public r S elpectations of what they should do Elections are essentially referenda on inc~entsr perfo~ce especially their perforwance in the area of constituency servi~es such as bringing development projects to the districts bull

6 Local developcent projects have a relatively high s~olic value generating conscitutency support for local leaders and the central government at low cost

7 These projects help huild a local political infra-structure which can also be utilizec by central govern~nt civil servants to implement other policies designed to achieve rural develop~ent bull

The Icpac~ of Local Politics on Rural Projects

Having explored the developtent of linkages through which the periphery

is represented at che ~enter and through which the periphe~ attemp~s to

share in the ceners resources we now propose to build upon our initial

investigations by e~ing in greater detail the impact of local political

conditions on specific problecs of rural develop~ent We propose to

exacine the develop~ental activities of local leaders ~nd the rural public

by eX2~Ding a saple ot fifteen to twenty smalL~scale developwent projects

in each of ~he three countries which constituted the sites for our initial

8ESI AVAILABLE DOCUMENT 1 ~ - of

- 7 -

study of center-perhiphary relations The appropriateaess of this approach

and the ~ethodology through which it will be ip~emented is discussed in

section II Because the ~ethodology of investigation is in large part

the result of our previous research experience we fizst turn to a revieW

of the existinQ __ ~petence of the Comparative Legislative Research Center

in this area

II GRAXTEES EXISTIXG CmET~CE

In 1971 the University of Iowa received a 211(d) grant to develop

its capacity to do research on the role of elected represent~tives in

the process of modernization On the b~sis of this grant the University

established a research center which planned and carried out a research

project on the role of elected reres~~tatives as links between the central

gove~ent and rural populations in K~ya Korea and Turkey The project -i

served to develop t~e University of Iowas research capability in this

field esa~lished ties between the University and scholars in the bost

countries and generated a large and uniqu~ body of relevant data

In that project we fo~ussed our attention on tbe activities of elected

representatives in their constituencies notably in their contacts with

local political leaders voters and civil servants To determine tbe

nature of the linkage function performed by tbe representatives we

designed our research to explore the subject from three perspectives

1) we eXaojned ~~a ~ubject at tbe grass roots by conducting a series of

sample surveys of 200 to 300 adults in each of 12 to 14 parliamentary

constituencies in each cf th~6three countries 2) we examined the subject

at the center by intervie -ing MIls from the constituencies in which we

had conducted S3mple surveys ~nd higher civil servants with whom they

had contact and 3) ~e ex~~ined the subject from an inter-~diate level

by identifying aud ~terviewing local social and political leaders in

the MPs constituencies We used survey research methods because we

were embarking on the study of an entir~ly new subject for which little

relevant docu=e~tary data existed and on which there were few secondary

sources As a result ~e have unparalleled experience with survey

research in the rural areas of less develo~ed countries

The surveys which constituted the cajor part of our field work were

planned in collaboration ~~th scholars from the host countries They were

carried out in each constituency by student interviewers in the appropriate

language ~re than 10000 respo~dents were inteDViewed for the project

Given the visibility and sensitivity of this undertaking approval for

the research was sought and obtained from the host governments prior to -i

the collec~ion of data ~o objections were raised by these governments

at any stage of the research The data obtained have been made available

to scholars i~ the host co~cries and some of the basic findings have

been published in periodicdis in these countries

The Comarative Legislative Research Center ~hich ad~nistered the

project has aisO developed extensive experience in the study of political

leadership in other countries It h3s obta~ed substantial support from

the Fo~d Foundacion and the Rockeeller Foundation has worked in

collaboration ~~h European as ~ell as Asian and African scholars and

is engaged in a ajor study of the role of elected and non-elected leaders

in the oanag~~t o~~ocial conflict Because it has conGucted research

in a variey of setlngs the Center has an ~ceptional capacity to

- 9 -

determine how the relationships be~een political institutions and

economic p=oble75 differ in develoPed and less developed countries

In the course of the major research projects the Center has administered

it has gained highly specializpd ~p-i ce iI identifying 1Olitical leaders

in a great variety of settings conducting systematic interviews with

them collaborating with scholars in the host countries and in coding

and utilizing large files of data to answer specific research questions

The Center has ~lso undertaken to publish the results of its research

in three fores It issues codebooks to the data enabling scholrrs at

other locations to use the data expeditiously i~ publishes research reports - in the form of Occasional Papers and it publishes a scholarly periodical

devoted to the presentation of research findi~gs to an inteIT~tional

audience

The Center utilizes the data ~ysis facilities of the Laboratory

for Political Research of the University of Iowa and drawS on the unusual

n~er of secialists in comparamptive politics and survey research in

~~e Lniversitys Departmen of Political S~ience The Center itself I

has the services of an administrative secretary and a clerk-typist

~intains its~o~cn extensive archives and its o~~ publications program

It is e~uipped to assist scholars and government officials outside the

t~iversity of Io~a The participants in its p~ojects are full-tioe

faculty ~e=bers ~hose undergraduate and graduate teaching is closely

related to their research As part of the teaching program the Center

has attracted students from the countries in which the research projects

have been conducted these students have participated in the projects

bull J

have obtained training in other fields of political science have received

University of Iowa degrees~ and have ret~rned to teach and to do research

in their own countries

III PURPOSE OBJECTIVES AID METHODS

Purpose of Study

The purpose of the proposed grant is to extend the capacity of the

University of Iowa to determine the political conditions in the rural

areas of less developed countries which favor the establis~ent and growth

of small-scale developoent projects ~e objective is to put the University

of Iowa in a position to assist the Agency in designing small-scale rural

developent projects providing guidelines for carrying out social soundness

analyses of such projects and adviSing in the evaluation of projects

We will discuss the utilization of~t~e Universitys capacity in detail in

section IV below

We propose to concentrate our investigations on the political conditions

surrounding s~l-scale ru~al projects Such projects have distinctive

advantages They waximize the political participation of the rural populations

both in det~~-ining the direction ~d implementation of develop~ent efforts

and in defending the interests of periphery vis-~-vis the urban-based

bureaucratic elite S~ll-scale projects stimulate entrereneurial activity

on the part of the rural citizens and growth of the info~l canufacturing

and service sector Tbey require less lead tice and less administrative

c~erhead to ~eco~e operational than large-scale capital-intensive projects

centrally administered Such projects yield rapid and direct benefits to

1

j

the rural

- 11 b - ~~1

populations and are consistentwith their hUIlaD rights--both

political and economic However~ small-s~le projects pose s~ecial probl~s for administratcrs of developceocll assistance progracs because

they require the donor co assess the local olitics particularl the

rural politics of t~e host country

Develop~c adoinistrators pr~rily conc~rned with assisting rural

populations must therefore recognize the range of political variables

affectL~g these projects Small-scale projects offer great opportuoities

for develop~ental assistance progr~ because they can be easily targeted

to help rural populacions require low capital costs and need no be

concentrated in one or two localities Such projects ho~ever~ ~equire

the a~istrator to have ~re political kno~lecge than large-scale

projects Oil which his priJlary tas~ is guiding the work of other experts

Questions for ~Investigation

To detercine the politi~al cc~diicilS ~st conducive to ~he establ~~ent

and gro~h of scalI-scale rural projects ~e propose to address our inquiry

to the following specific questions

1 To what extent and why co local political leaders seek to establish s~~l-scale develop~ent projects within their co~unities

2 To what extent and ~~y do local leaders other than politicians initiate andor provide leadership for s=all-scale developm~t projects

3 Bot do the relations bet~Jeel different types of local leaders (political and non-political) and bet~eeo these leaders and central gove~ent civil servants posted to the rural areas affect the conduct of develop=ent projects

4 How do existing authority ~eLationships between these different leadership grous and the rural pub~ic affect the organization and operation of s~l-scale develop~ent projects

- 12 -

~

5 lhlt is the nature 0 pclgtlic participation in the establishlent and operatio~ of s~l-sclle projects and ~hat are the outcc=es or this participatioe Gucer w~at conditions is such participation ~ost likely to occur

We seek a~swe=s to t~cse questio s L order to determine the effect of

different co~iigurations of local leadership and public participation on the

outcomes or small-scale rural projects te are particular1y concerned with

the ~pact of these configurations on the rate of econocic growth and the

distribution o~ rIGSlth ithin the loal cOlllUlity ~ on the perce~tions of

s~ll-scale proj~cts by central govern~ent per~oncel and the rural public

anmiddot on the organiation or flture projects

To a~swer these que~tions it is oar intention to study the initia~ioD

izJple=enation ald i1lpact of a salple cpound small-scale rural projects in

Kanya Korea and Turley in the sae cOllities in which we carried OU

our initial icvestigations ~ 1973-75 Tne relationships between the -

various conf~gurations of local leadership and public participation and

the three phases of project develop~ant are sho~ in Figure 1 We will

exa=ine projects to pro~ote the adoption of new agricultural techniques

by s~l and moderate landnolders the building of feeder roads irrigation

ditches and other s~ple infrastructure the organization of fa~ers

cooperatives and other local associations concerned with rural development

the establish=ent of rural health clinicS and schools and the setting up

of craft and service industries

Sites for Study

We plan to return to our original set of localities because we possess

a rich body of relevant data on the extent to which linkages exist between

Figure 1

TYPES OF LFLUEXCE OF C2r~ middotGOVER1iEXT OFFCIALS

LoCu LEADERS 0 THE RURAL PUBLI-C OX THRr~

PHASES OF RURAL igtEVELOPHET PROJECTS

r----------~J C~ltral Gover1~nt Official)-N------- - J

r- Local pOlitical leaders

Local non-political leaders

~l 1---- -

ROJECT nITL~TIOS

Influ~ce on selection of projects

InrI ~elce on location of projects

Influence on policy guidelines for proj eCl

Il

I

a

I I

-I PROJECT I~L~~iATIO~ ~ 1

j Project Organizati I Selection of project

leadership

Hobilization of resources

Mobilizatiol of public compliance with project require=elts

Diffusion of project innovation

Rural Public

I

BEST AVAILABLE nOCUMENT

1 ROJECT IMPACT

Organization of ongoi=g project operation

Distribution of project benefits

Evaluation of project

Public attitudes toward project

-middot14 -

these areas and t~c central p~litical institutions of the three co~tries

and on the attit~es of the rural populacioc local leaders and elected

legislators regardi~g their problecs of develop~~c Since such data

is unavailable for alternative locales a return to the areas in which

we have previously done much research ~ables us to build on a uniquely

valuable body of icformation

A return to Kenya Korea and Turkey is also highly desirable from

the standpoint of effective research organization The Comparative

Legislative Research ~enter has developed close collaborative relationships

with several highly competent social scientists in these countries and

with the academic institutions with which these scholars are associated

We have also dev~_oped cooperative relatio~ships wi~ gove~ent officials

in these countries which should facilicate obtaining approval for our

further work

In proposing to doc~ent the origin i~pl~entation and impact of

one to three s~ll-scale develop=ent projects in each of 35 localities

we have two considerations in mind Firstmiddot because our pr~ry goal is

to deter~e the political conditions for rural developm~Lt we wish to

examine develQ~=ent in as many different settings as feasible Only in

this way can we control for so=e of the major socio-cultural variations

that erist along rural populations in less developed coultries These

include the overall level of econo~c development in the co~unity the

nature of t~e ~digenous culture an~ relationships of authority and the

pro~ty of the comounity to major urban areas and centers of central

gove~nt ad=inistration ~ce our original study sites were carefully

BEST AVAILABLE DOCUMENf

- 15 - ~ ~1

selected to represent these variations ye have concluded that these

35 localities woule be ideal sites for the propose~project Second~ in order to dete~~~ the ~pact of local leaders and public

participation o~ ~ural projects we intend to compare projects 1n which

local leaders and ~ecbers of the public have played a major ~ole with

projects in which they have not We also ~l cospare projects initiated

by the central gover~ent with projects Yhich have been locally initiated

These considerations give us a typology for selecting projects as depicted

in Figure 2

Figure 2 ~

FIVE TYPES OF RU~AL PROJCTS ACCORDIXG TO ~FLUEXCE OF CEITiW

GOVE~1E~T LOCAL LEADE~ AD RLRAL POULATIO~

Level of Participation by Rural Population

Locus of Project Initiation ~

Local Co=unity Central Governoent

BIGd

LOt

1 Projects initiated by local leaders and providing for participation of the rural ~opulation

4 Proje~ts Litiated by local leaders bu~ not involving participation of the rural population

2 Projects initiated by the Central Govern~ent and administered i~ cooperation with local leaders a~d the rural population

3 Projects initiated by the Central Govemlent and providing =or the participation of the rural population but by-passing local leaders

5 Projects initiated by the Central Gover~e~t a~d administered in cooeration Yith local leaders but not involvi~g parti~ipation of rural population

- 16 -

We recognize that the socio-cultural setting of rural develoment

projects varies significantly within and across less developed countries bull

By focussing o~ a representative sa=ple of localities ~ Ke~ya~ Korea

and Turkey we can take account of naoy~ though not all of these variations

While some of our substantive findings will not be directly generalizable

beyond the countries in which we propose to conduct our study we expect

that our basic ~ethods and fLdLgs will be applicable to national and

sub-national settings elsewhere in the developing world This is partly

d~e to the fact that the hierarchy of patron-client relations ~hich we

regard as a critical factor in rural develo~~t exists in ~ost Liles

--It is also due to the fact that the methodology for identifying local

bull leadership configurations auG poundor studying local politics which we are

perfe~ting can be used to assess local political co~ditions in a large

variety of countries even when the ~nditions themselves differ significantly

Methods of Investigation

The data needed to assess the iDpact of local leaders and mass

participaticn on rural dev~lop~nt fall into two categories Some a~e

contained among the data gathered for the research project we are currently

completing Others will require additional field research

The following data are already in hand

1 Data on the social landscape of each loc~l co~nity i~cluding aggregate data o~ level of econonic development de~graphic characteristics political pa=ticiation eth~ic loyalities and rates of socio-econocic change dur~g the past decade bull

2 Identity of local leaders including both political and I-on-political leaders and both legislators and other politicians

3 Perceptions of existiag probl~ and their possible solution a~ng

l)tS r AVAilABLE DOCUMENT

- 17 -

general public local leaders and civil serv~nts

4 Level of political kno~ledge among local citizens and local political leacers

5 Political and social values a~ong local ci~izecs and local political leaders

6 E~~ectacions of leadership roles among the local public and elected and non-elected leaders

7 Patterns of co~unication ~ong local leaders and between local leaders and the central gove~e~t

These data ~hich ~e already have in hand can be subjected to analyses

which ~~ll provida the foundation for our further work on rural develop~ent

projects A part of our work therefore will consist of fu~ther analyses

of existing data

New data of the following kinds are also required

1 Doc~entary data on the origin and evolution of particular smallshyscale develop~cnt projects in the rural areas

-2 Data on project costs boih ~itial invest=ent and recurring

operating costs and data on project ou~puts ie pupils in schools Ddles of road coopleted nl~ber of hospital a~ssions production of factory agricultural productivity

3 Data on project organizatio~ n~~r of local inha~itants participating in establis~~ent of projectt nuober of local L~habitants subsequently involved in project

4 Data-on the pe-cetion of projects by local leaders emers of the local public a~d by civil servants data on the perception of how each project ~as initiatec organized who benefitted and what its future implicatio~s are

These types of data will requ~re field work involv~~g both docucentary research

at the relevant ~istries of the central government and in local goverr~nt

authoritieS and inforoal open-ended interviews with local political leaders

elected representatives and other local leaders who~ we had previously ~

interviewed in a s=uctured syste=atic =aoner

BEST AVAILABLE DOCUMENT

- 18 -

Grant Organizatio~ and T~etable

We propose co undertake the research outlLled above beginning in the

fall se=ester 1977 Dur~g that te~ Professors Barkan and Kim as

principal investio~tors for the neo1 proj ect will contact their collaborators

in the host co~~tries They ~~ll also seek the collaboration of an additional

~rican scholar specializing in rural development with the aic of getting

additional advice on sources of data and suitable indicators for the

~easure=~~t of rural develop~ent projects

At the end of the fall seQester Professors Barkan and Kim will make

a trip to their research sites to disc~s details of the research organization

with their collaborators in the host countries and to recruit student

assistants Tney will devote the spring te~ 1978 to further analysis

of a~sting data at the University of Iowa

The gathering of additional dita L~ the field will begin in the s~er

of 1978 Professors Barkan and Kio will direct this work personally We

eAect that its coopletion ~~ll require three to six months This work ~1

involve the evaluation of central and local gove~ent reports on the

projects uncer investigation extensive on-site observations of the projects

and oen-e~ded interviews with the principal participants Our principal

respondents ~i1l be the local leaders and elected representatives we

have previously identified in the localities in which we have worked and

a sacple of active participants in the particular dpvelopment projects

being studied ~~ere necessary and apropriate surveys of the general

public will be uncertaken to assess the inpact of a given project on the

rural por)r We do not however leed 0 conduct systeAlatic sample surveys

BEST AVAILABLE DOCUMENT

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of the rur~l population as We did in 1974

In the organization of this research project we intend to reconstruct

the rese~rch tea=s ~e e=ployed during 1973-75 We shall again seek the

co11abo=~tion of P~ofessor Sc~~S-7o~g Pai of Seoul National University ~

Professor IIiCr Turan of the University of Istanbul and Professor John J

Ok~u of the U~iversity of ~arto~ S~ilarly w~ contemplate directing

the field research fro~ he same acade~ic research organizations we previously

used Seoul National U~ive~sity th~ ~~iversity of Istanbul and the

Insti~ute for Develop~eut S~udies University of Nairobi As before we

will tra~ students f~oo these institutions to serve as interviewers

The analysis of the open-ended intervie~s and of docUQentatio~ on

I ~ural develop=e~t projects will be a ~ore t~e-co~s~g process than the

analysis of closed intervie~s It will reqrire a high cotnittl~t of time

fron the principal investigators )e e--pec to hold a conference at the i

U~iversi~y of Iowa 3lO1g all the principal )clticipa~ts in the resea~ch

project d~=~g t~e spr~g 1979 to evalua~~ the newly collected data

le e~ pect to be able to vr-ite reports of t~ results during the Sl1~er 1979

(see Figre 3)

IV LlX-GS ~1) U~ILIZATIO~

At the e~d of the grant period the Uti ersity of Iowa will be able to

1) advise the Agalcy 01 the design of s~l-scale rural projects to assist

the rural poor 2) provide guidelines for social soundness analysiS of

small-scale projects for the rural areas of U)Cs 3) consult w~th the

Ag~tcy 01 the evaluatiol of rural projects ~d 4) provide LDe governments

BEST AVAILABLE DOCUMENT

)ATES

~lll

1977

~inter 1977

iprilg 1978

il mer 1978

~all

1978

ipr~ng

1979

Imiddoter 1979

University vf Iowa

Plutlning of rural develo~rent project

Barkan Kil

Alalysis of existing data

Barkan Kia

Data processing

3arkan Kin

1

I

- 4 -

Figura 3

GRAT TLfETABLE

SIT E S

Kenya Korea Turkey

Preparation of field research ural developH~lt project cOlisulta~io~ a research sites

BarkanOku=u Ki~Pai Tura~rkanKi~

Preparation of field resea-ch

Tural

Field research on rural cevelop~~t projects Bar~lOk~u Ki=Pai Turan

Co=pletion of Co=pletion of field resear~~I~ fiald researcr

Ok~u i Pai bull

f Coopletion of field research

Turan

Data analysis conference a~ong all princial i~vestigators at Un~versity of Iowa Barkan Kil Oku=u Pai Turan

Co=letiol of r~ral develop~ent

project

3arkan Kiz

BEST AVAILABLE DOCUMENT

I

- LL -

~ith speciali~cs o~ ru~al developcect ~mong their own citizens ~ho ha_

partcipatcd ~s collaborators in the Iowa projects

In the proposed project we Will test a series of hypotheses cOlcerning

the political cOllditions of rural develo=ent which run counter to CODOn

assuoptions conccrnir3 t~~ influence of rural politics on project effectiveness

As a result ~e ~dll be able to assist the Agency in designing and evaluating

such projects froe the point of V~~W 0 their political viability The

hypotheses We will test sugges~ t~at the patron-clie~t relations existing

in the local politics of zost LDCs are not necessarily i~pedients to rural

develop~ent but are aspects or the political structure which cal be used to

facilitate s~ll-scale ru=~ projects which will raise the standards of

living of _ ~ rral pomlation - As ~ result or our stuey we expect to be

able to P~-O~t the local leadership confi5~rations ~4d the relationships

between local leaders ald rural poclations ~nich are oost conducive to I

successful develcp=en efforts We believe that we will be agtle to perfect

a cat~odology for identifying the political conditions for rural develop~ent

one ~hich is transferable pound~oo the countries we have specialized in to

other LDCs

We proo~ to develop specific guidelines to assist administrators

charged with selecting evaluating and =onito~ing rural develop~ent

projects to ~szess t~esc rojects in tares of their-social and political

viability he outco~e of such projects is dete~ned not only by the

efrectiv~nass ~~=h ~hich they use scarce econo~c resources but by the

~~er L~ w=ich they e~gage the suppprt of local leaders and rural

po~ulatiocs~ by thei= effect ou social a~d econo~c equality ~d by

D[~T AvAlLA8LE DOCUMENT

- 22 -

their consequences for hwan rights ~Je plan to establish criteria by

middot~hic~ the probable outco~es of projects in these social terms can be

anticipatec

The study ~e propo e will be undertltlken by faculty at the Cniversicy

of lowe in collaboration with faculty a other ~rican institutions and

institutions in the host countries We will build on the extensive contacts

between the Co~perative Legislative Research Center of the ~niversity of

Iowa end other instituions with ~aich ~e have worked One =ajor result

of our collaborative study will be the existence of a net~ork of compe~ent

scholars both in this country and overseas experi~lced in ~orking together~

shar~g a co~on teaching and training experience i~ close contact throu~~ the

effective publications progr~ developed by the Co~parative Legislative Research

Center T~e e~~ertise of this group of individuals will be ava~lable to

oteer scholars to the Agency and ~o L~C governments for specific policy

advice The eXertise developed as a consequence of this project will

extend beyond the ~tionals of the countries ~volved since the univ~sities

engaged in ~e project attrtct stude~ts fro outside heir own countries

For ey~=ple the teaching ~d research progra in the Depar~ent of Political

Science 0 theUniversity of Istanbul heavily affected by the participation

of its facul~y ~e=bers and graduate students in our projects attracts students

throughout the ~middot1iddle East for Whom the University of Istanbul is the iajor

institution ~pound ~igher education in the region rne Institute for Developmen~

Studies is si=ilarly a focal point for students and faculty in East and

Central Africa Seoul ~atiocal Unive=sity attracts students froo other

Asia~ co~tries~ In this way the capability developed among the participant$

BEST AVAIL~BLE DOrUMENT

- ) -

in our work is diffused widely To the exte~ that the abili~y to assess

rural develop~ent p~ojects in teres of their social soundness is increased

both in the United States and in ~o~~tries r~ceiving develop=en~ assistance

the cap3~ity of racipien~ countr~es to absorb aid is ~creased

We propose to draw up an inventory of personnel available in ~~e

Cnited States and in other co~~tries who are able to consult with developen~

a~nistrators on the design of rural development projects and on their

evaluation We ~~ll draw first of ai~ on individuals w~o have been

directly associated with our ~ork in the past or on ~he proposed project

and ex~~~d the list to include graduate students and gove~ent officials

with who~ these individuals have wor~d

tole Yill utilize tha existing publication program of the Center

dercribed above to disse~inate our findings The Center has specialized

oailing lists of interested individuals and institutions in all parts of -i

the world and its reports can trerefore reach the ~st relevant audience

jirec~ly ~d re~~arly

BESl AVAIL~BLE OOCUMENT

CONTRACfjGRANTCOOPERATIVE AGREEMENT DATA SHEET

INSTRUCTIONS fjDW Complete 4 copies of the form Original SERCMSDSUP Statistical Section Copy Copy 2 SERCMSIiUP dministrative Copy opr 1 Contracting Officers COy COP) 4 SERCMSDSUP IUmin (Suspense) Copy

Missions Complde 2 copies oi the form Origin31 SERCMSDjSUF- Statistic31 Section Copy 3n~ Copy 2 Nill be ret31ned in the Missions

PART fA

ConU3lttorGranrce Name

University p~f~I~o~wa~ __ -r~ ____ ~~~~ __________ -~~ __ ~~~ ______________ ~~~~ Plorr Numt-er ApptopriJtion Number Allotment Number Project Number

930-0090-3Q13411 A5 72-111l0216 146-30-099-00-20-11 930-0090 Project Title

So~ia1 and Potitica1 Aspects of Development - Conference to Report Research Findings Amount of this Plorr I Projecl M3nagers Name and Offire Sytlbol

$10397 (increase) PDPRCP Jonatlan Silverstone Contr3ctors D-U-N-S Number

Ncgwatocs TYJlCd~3meJ j) Signature I l ~ jIf- bull G HtJ--ft u l IVmiddot

D~e

L - f - J ContractGrant Officqs typed Nailllt Signalure LJ d I -r-

plusmn t 3i-alflpta (( BLvle~ 1 I~ PARTm

ContractGranl Number

AID CSD-3294

Effeclive Date of Docum~nl Signalltre D3t~ of Documenl

Lf---C yen-~-gl tIost Courtry Institution (U iwrsity contract ONL Y)

Campus Coordinator (Uniwr ty i contract OiiL YJ

PART UL Descriplion of Cor-tractGrant P1use X ONL Y ONE item under each headiZg IF THEltrease CifYmC~e bolh ges I 30~~ O~ Nol to be completed for Amendmenl or Modlfic3lion AJigtns I III

J 710gt I I V ~ I

MOl - TYPE ACT A~ 0 G unsolicited Propsll (AIDIR 0 C Individual (Non-pe~nal senice)

~ O Cortra lGrantl ooperative Agreemenl 73101-SO(b)(6raquo 0 D Individual (ftrsonal Service)

tJl T3sk Order ( A)middot 0 H Procurement 10 be Perfocm~d by the Conmiddot 0 E UniversilyOther FAuC3lionailnSlitulions

D 2 Work Order (IQC) Ira~lor in Person (AIDPR 0 F Non-Profil Organizationlnslitutions (other

D 3 Delivety Order (Requirements) 73101middotSO(b)( Iraquo than Ed or PVO)

[j 4 Purchase Ordcr [J I Sole Source (AIOPR 7-3101-SO(b)(4)) 0 G Private Volunury Organization (PVO)

If I 2 or 3 1Lle an ~ compllle M 12 ON Y D J Imp3irmenl of Foreign Policy Objectiws 0 H International Agricultural Research Organj-

M04 - CONTRACTGRANT TYPE

o O MOA (BOA BMA etc)

o I Fixed Price (Specify fFP FPRD FPEPA FPI) _____ _

(gtIDPR 7-31 OJ SO(b)(7raquo

OK B(a)5eJection (FPR 1middot1713-1)

o L Grant iH1ndlOok 13)

o M Do Nol Ue

D 2 Cosl Reimburemenl (S~cil) CR CPFF 0 N Cooperative t~reement (Handbook 13)

CS CPAF CPIF) ~ 0 O Small Business SeImiddotAside (FPR 1middot1706-8)

o l Cooperative Agreemenl ~ 0 1 Overseas Procuring AClivilies (AIDPR

04 Grant Gener31 Supportmiddot 0U ~ 7lIOI-SC(b)(2))

o S Granl - Specific Support ~ ~06 E SER VICE

g ~ ~~t ~~(d) ~~ ~~ ~ eci~a~~~~~ogram Projeci

o amp IQCs ~ ~ relampted excepi A amp E Services)

o 9 Host Counlry ContraclGrnnt 5lJ C amp E Services

middotComplele ONLY through ~Sl ~~ 0 D Construction

M05 SELECTION PROCEDURES 0 E- Reseuch

o A Formally 3dverliscd (IFB) (A1DPR 7middot24 amp

FPR 1middot24) ~ o B Negoli3ted Price Compelilicn Gencr31

Procedure (RFP) (-JDPR 7456)

Dc A amp E (AIDPR 7410)

0 D Ed Inst andor Inl1 R~arch (-JDPR

74 5)

o E Collaboratoe Assisunce (IDPR 7458)

C F Predominant Capability (IOPR

73IOI-50(b)(l)

AID 1420-49 (179) - Page I

D F Technical Services to AID (other than trainmiddot

ing usually o~ating expense)

D G jraining SetVice for AID

o H Equipment Materi3J~ Supplies Commodities

D I Translation Service

~07middot TYPE CONTRACTORGRA-nEE

o A Firmmiddot AU profil-rn3king fUms (other than

Aamp E)

J e A amp E 8r~

zalion

o Public Inlmlational Organizations (UN

Agencies ICRC Wocld Bank elc)

(H8 J 3 Chapt~ S)

M08- TYPE AW~RD

o A S8 Sel-Aside - Awarded to Non-Minority

o B S8 Set-Asidemiddot Awarded to MinXity

o C_ S8 NOI Set-Aside - Awarded to Non-Minority

o D S8 NOI SeImiddotAsidemiddot Awarded 10 Minority

o Eo amp(a) S8A Awarded to Non-Minority (Womerl-

Owned Veterans etc)

o F 8(a) S8A Awarded 10 MinorilY

o G Personal Sen-ice ConlrdCt bull Non-Minority

o H IeJSDnal Service Conlract - MinorIty

o I Individual NonmiddotPersonal Service Contraci -

NonmiddotMinority

o J 100Jigtiduai NonmiddotPersonal Service Contracl -

Minorily

o K NOI Small Business (Univ NonmiddotProfit Large

Firms) Non-Minorily

o L- NOI Small 8usineSl (Univ Non-Profit Large

Firms) Minorily

o M US Govcrnmlnt

(Connnued on Page 2)

BEST AVLABIE DOCUMENT 1 I

--

ua ) R I GI NAL 9 bull

MODIFICATION or GRANT PAGE 1 of 2

AH 1 2 Effective Date 3 Grant No 4 Effective Date

Amend_at Ro 5 April 15 1981 AIDCSD- 3294 8-11-71

-s CRANTEE (Name and Addrea) 6 Administered by -Professor Gerhard Loewenberg -Office of Contract Management Cbrnparative Legislative Research Gente Central Operations Division Dept of Political Science am Branch University of Iowa Agency for International Developn~nt Iowa City Iowa 52240 Washington D C 20523

7 PIO No 930-0090- 3013411 A5 8 Previous PlOTa -

Appropriation No 72-11110216 93i-1l-995-l36 930-11-995-136-73-3078103

Allotment Symbol - 146-30-099-00-20-11 wunt Obliga ted by this ~ndrnent - $10397

The above numbered Grant is hereby modified as follows

1 Anotmt obligated prior to this rurendment 2 Amount obligated by this amendment 3 Total obligated anount (1 amp 2)

Delete the amJmt $465000 and substitute in lieu thereof the ammnt I$47S 39-7 ~

FUNDS AVAIrABm

~~ - APR 13 1981

PrO~A~~5iors

$465000 $ 10397 $475397

OffiCE Of fIN~(1 ~~rE~E~T __ _ 10 This amendment 11 entered into puruant to the authority of the Forelgn

Assistance Act of lS~l as amended Except aft hereln provided all terms and ~~ndi~ons nf the grant rcferpnccd in Block 13 remain unchsnged and in full force and ~ffcct

11 original and six Crantee 18 requlred to aign thh document aad return 1- eopics to issuing

ffiee

~~~ or printed) BUSINESS MAHAGR amp bull

Tille TREASURER

UNITpound) STATES OF AHERICA AGENCY FOR INTERNATIONAL DEVELO~NT

BY_-1(1o-_1lt--= 13middot~_1_~ __ K R B1uteau

(Name typed or printed)

Tltle~ ____ G_r_a_n_t __ O_f_f1_c_e_r ____________ __

D3tC APR 2 J 7997 Dolt 9 APq 1981

BEST AVAILABLE DOCUM NT ___ 0 HLGlNAL - I 1 J 1 ~ )

- 2 -

AID ftmds in the am)tmt of $10397 are hereby provided for the activities lmich are described in your proposal (including Budget Stnmnary) entitled CDnference to Report Research Findings on the Study of Political CDnditions for Effective Small-Scale Rural Assistance Projects in Kenya Korea and Turkey dated February 17 1981 and made a part of the Grant b reference

BtTDGET StMMARY

Line Item

Travel

Per Diem

Other Direct Costs

Less existing 211 (d) grant funds

Total Amount Obligated by this Amendment

Estimated Costs

$ 5888

5100

_ 2500 $13488

_ 3091

$lO39

Note Indirect costs or $395086 associated with these activities will be contributed by the University of Iowa

BEST AVAILABLE DOCUMENT

~RIGINAL

- CONTRACT IGRANTCOOPERA rIVE AGRElEMI~ SERC~SDSlP Actio) Monitor

SERCMSDSUP Action Office

I

INSTRUCTIONS AJDW - Complete 4 copit of tlh fonnmiddot Orisina iCMSDfSUP Sutistical Section COP)middot Copy 2 SERCMSDjSVP Administrative CoP Copy 3 Cont-acting Officers COP) Copy 4middot SOSUP Admin (Susptnse) Copy Missionsmiddot Complete 2 copies of the form or~aI SERCtSDSUP Statistical Section Copy and Copy = wiU~ retained in the Missions

0 PART IA

Effective Date of Document tJ

Delivery Order (Requirements)middot

o 4 Purcluse Order

bull If I 2 or 3 have an bull X compl~te M I 2 ON L Y

M04 - CONTRACTGRANT TYPE

o O MOA (BOA BMA etc)

o 1 Fixed Price (Specify FFP FPRD FPEP FPI) ___ _

o 2 COli Reimbursement (S~cifY CR CPFF CS CPAF CPIF) ______ _

o 3 Cooperative Agreement

o 4 Grantmiddot General Support

o S Grantmiddot Specifi Support

o 6 GraDt 21 led)middot

o 7 Do Not Use

o amp IQCs

o 9 Host Country ContractGrant

middotComplete ONLY through M 5 1

MOS SELECTION PROCEDURES

o A Formally advertised (IFB)(AJDPR 7middot24 amp

FPR 124)

o B Negotiated Prire Competition General

Procedure (RFP) (AIDPR 7456)

o Co A amp E (AlDPR 4 I 0)

o D Ed Ins andor Intl ReStalch (UDPR

7457)

o E Collaborative ASSistance (AIDPR 7458)

o F Predominant Capability (AIDPR

7-310l-50o)(3)

AID 142049 (1-79)middot Page J

o H Procurement Co be Performed b~ the Conshy

tra~tor in Person (AlDPR

7middot3t OI-SO(b)(Iraquo

o I Sole 5gturce (AIDPR 7middot3101middotSO(b)(4raquo

o J Impairment of Foreign Policy Objecdv~

(AIDPR 7middot310 ImiddotSO(b)(7raquo

o K 8(a) Selection (FPR 1middot1713-t)

o L Grant (Handbook J 3)

o M Do Not Vse

o N Cooperative Agreement (Handbook 13)

o O Small Business SetmiddotAside (FPR 11706-8)

o P Overseas Procuring Activities (AIDPR

7middot3101middotSO(b)(2raquo

M06middot TYPE SER VICE

o A TtJining of Participants

o B Technical Assistmce (Program Project

related exc~pt A amp E Services)

J C A amp E Services

0 D COltl~ruction

0 E Research

0 F Technical Services to AID (other than trainmiddot

ing usuaU Y operating ex pense)

0 G Training Service few AID

0 H Equipment Mat~rials Supplie~ Commodities

0 I Translation Service

07middot TYPE CONTRACTORGR TEE

Firmmiddot All profitmiddotmaking fu-r1s (other than

AampE)

o 9 amp E Firms

I Prcct NumbcT

I

Contactors D-U-N-S Numbcr

I) -S--f(j

o C Individual 0-lon-~rsora1 service)

o D Individual (Pet-sonal Service)

o E University lOt her EduCltionaJ Institutions

o F Non-Profit Organization Institutions (other

than Ed or PVO)

o G Private Voiuntary Organization (PVO)

o H International AgricultwaJ Research Organmiddot zation

o I Public International Organizadon~ (UN

Agencies ICRC ewld B3J1k etc)

(HB J 3 Chapter 5)

M08middot TYPE AWARD

o A SB SeImiddotAsidemiddot Awarded to Non-Minority

o B SB SetmiddotAside bull Awarded to Minority

o C SB Not SetmiddotAside - Awarded to Non-Minoril)i

o D SB Not SetmiddotAside - Awarded to Minority

o E ~a) SBA Awarded to Non-Minewity (Womeli

Owned Veterans etc)

o F 8(a) SBA w-rded 1o Minority

o G Personal Service Contractmiddot Non-Minority

o ~ Personal Service Contnct - Minority

o I Individual Non-Personal Sence Contractmiddot

NonmiddotMinority

o J Individual Non-Personal Service Contractmiddot

Minority

o K Not Small Business (Univ Non-Profit L1lge

Firms) --vn-Minority

o L Not Small BUSiness (Univ NonmiddotProfit Large

Firms) ~inoriy

o M VS Government

(Continued on Pcge 2i

t bull - t ~ J f q

ORIGINAL bull MODIFICATION OF GRANT

1 2 Effective Date

Araendllent Ro 4 12-2-80

s CRANTEE CHace and Addrels) Professor Ger1ard Lo~middot enbelg Comparative Legislative Research Deartment of Political Science The Lnivp-rsity of Iowa Iowa City Io~a 52240

7 PIO No NI A

Appropriation No 72-11XHl26

Center

Allotment Symbol -426-30-099-00-3~-71 Amount obligated by this urendment-O- I

3 Gnnt No

AIDcsd-3294

PAGE _____ 1 _of-L

AlI 4 Effective Date

8-11-71

~ Admlnlltered by -Office of Contract Management Central Operations Division OTR Branch Agency for International Development Washington DC 20523

8 Previous PIOITs -

931-11-995-136 930-11-995-136-73-3078103

9 The above numbered Grant is hereby modified as follows

Supplement to Grant

Change the duration period sentence to read

The Duration Period for this Grant shall be August 11 1971 through December 31 198]

1 Amount obligated prior to this amendment $465000 2 A~unt obligated by this amendment -0-3 Total obligated amount (1amp2) $465000

----------------_- - ------- ----_- ------ 10 Thh lImcndmcnt is entered inlo punuant to the authority of the Foreign

~ Assistance Act of 1961 86 amended Except a~ h~reln Z II provided all terms and condi tions nf the grant referenced in Block 3 remain ~~aunchlinged and In fu1l force and effNt cnltUI cJ)za 11 o 4 J bull

Et~ ai~a gtUoItshyc Z P=u

original and six Grantee t requi red to sign this document and return 1- eopies to 1Bufng

office

~ 12 GRANTEE TES OF AMERI CA

(Name typed or printed) bull

TJlle Director Comparative Legislative liecearell CeQtoQl

Date 12880

------------------------------------

ONAL DEVELOPMENT

By ----~--~~~~---------------------

prinled)

Grant Officer Title --------------------------------

J)oll( 12-2-80 -----------------------------

BEST AVAILBLE DOCUMENT i je

Page 21: PD-Ar3T Cr(~

- 18 -

Finally approximately 19 of the budget will be devoted to the

proposed data bruL~ that will archive not only data generated from the

research of scholars at Iowa Duke and Hawaii but also at other US

and foreign institutions Primary and 3econdary an~ses of these

data will become an integral part of ~omparative legislative studies

curricula The ability to utilize the data bank for teaching purposes

also should have a significant impact on professional preparation ofmiddot

future legislative specialists In summary the funds will be

allocated to research teaching and training activities tha~ are

entirely conson~~t with the philosophy underlying the utilization of

2ll(d) grants to achieve institutional development

Conclusion

The University of Iowa regards the research and teacbing components

of this program to be closely related an1 zrutually reinforcing The

University of Iowa offers a strong base for the pro~ram because of the

interests of faculty members here now because of their contacts with

scholars in this field in other Americ~~ and foreign universities

because of their experience with the international exchange of faculty

and because of the distinctive data gathering and processing facilities

available in our Laborator~- for Political Research The program which

we have formulated is designed not only to accomplish specific

research and teaching objectives but to contribute to the long-term

development of the University of Iowa in an area in which it has already

exhibited special interest

BEST AVAILABLE DOCUMENT

~ I) - 0

- 19 -

The program on Comparative Legislative Studies with support from

this Grant rill develop the capacity at the University of Iowa to

provide assistance under separate financing arrangements to developing

countries in a number of ways and through a varieiy of channels This

assistance which would be arranged for end negotiated separate~ from

this Grant may be in the form of technical assistance advisory service

training research and information exchange etc It will be available

by mutual agreement to appropriate agencies national and international

public private a~d mixed and directly to the less developed countries

Most especially this added special competence will inevitably become

incorporated through the processes of scholarship and education into

the competence of US and foreign scholars and institutions concerned

with this topic of great significance to the developing and the more

highly developed countries alike

BUDGET SUMMARY

UNIVERSITY OF IOWA

Salaries

Graduate Student Stipends

Fringe Benefits

Travel

Equipment and Services

Other

TOTAL

$173090

32400

19209

13800

6501

20000

$265000

BEST AVAILABLE DOCUMENT

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(C

Dr Willa~d l Boyd Presicient University of Ima iowa City Iowa 52242

Dear Dr Boyd

4 AUG 1977

amp

FIJNDS AVAnASLe CpoundNrftAamp sEIMCEs DMsON

AUG11 ~n te t6417 ~77

Subject bull Supplsectferit-tJF-G~middotNomiddot~middot AIOcsd-3294

t middot-rrPJ1 3

I am pleased to inform you that pursuant to th~ auth~rity contained in

S-cction 211 (d) ooC the Foreign Assistance Act of 1961 as amended a sup

plemental grant in the amount of $200000 is h~reby r~de to University

of rCi1a These supplement]l grant funds areprolided to support the

activities which are described in your Proposal dated May 6 1977 for

the implementation of your program entitled Political Conditions for i

Effective Small-Scale Rural Assistant Projects

---This sup~lemental grant is mace to University of Iowa en condition that

yo~r institution shall administer the funas provided under this Grant fn

accordance lith your r~ay 6 197 proposal (including Budget SUmlilary) and

the Standard Provisions (as incorporated by Amendment No 1) which have

been agreed to by your instit1ltion Ti) the extent of an inconsistency

between the Proposal and the Standard Provisions and any otherprovisfons

which ar~ made a part of thi5 Giant by reference or other~iSe the Sta~d~

ard Provisions shall control

The new Duration Period for this Grant shall beAugust 11 1971 through

August 10 1979

The total amount of funds obligated under the grant is increased to reflect

a new total oblgated amount of $465000

Please sign the Statement of Assurance or Compliance ana the origfnal -

and seven (7) copies of this letter to acknowledge your understanding of

the conditions under which these funds have been granted Please return

the Statement of Assurance of Compliance and the original and six (6)

copies of this supplemental Grant to the Office of Contract Management

Attachment May 6 1977 Proposal and Budget SUfiT1a ry

UNIVERSITY OF IOWA

Roberw bull OBrien fficer

Ce al Operations Division Office of Contract Management

AC~E~E~C--_ 0 BYpoundk~~ cH

D C ~lpoundSTtR5BA T ITL E ( PfeampoidPilt for

tee ment amp Research DATE 9-22 -77 (d~ ~~Bduate Ctl~1e~e

BES i AvAILdLt UOCLJMU~ I

211(d) Grant Program

Proposal of the University of Iowa

POLITICAL CONDITIO~S FOR EFFECTIVE SMALL-SCALE

RURAL ASSISTA~CE PROJECTS

Submitt~Ci to

Civic Participation Division AID

May 6 1977

Amount requeste~ $ 199987

BEST AVAILABLE DOCUMENT

I TdE DEVEIOP~T PROBr~

P~litical Conditions for Rural Development

The Cocparative Legislative R~search Center of the University of

Iowa proposes to ~~dartake a two-year study to investigate the role of local

leaders and the rural public in theimplecentation of small-scale develop~ent

1 projects in less developed countries The study will use and extend the

capacity ~hich the University of Iowa developed under a 211(d) grant to

investigate and assess the impact of loeal politics on rural development

~t the co~pletion of the s~ Iowa will be in aposition to advise the

Agency on the design ~nd evaluation of s~ll-scale projects which will be

politically viabe a~d effective in ass~sting the rural poor ~

As students of development w~ approach our task with the assumption

that the proble~ of development and underdevelopment are funda~entally

ones of political econooy and a~ such can only be solved through a

simultaneous considerationof economic and political factors Efforts

which foc~s aloost solely on economic factors like those of ma~y

organizations engzed in dipersing foreign aid or efforts which focus

almost exclasively on political factors fail to take account of the

interdependence between these two dimensions of underdevelopment and

lwe have for~ulated this proposal in a canner consistent witr the cu~rent policies ard interests of the Agency We have been guided in our tsk by four Age~cy doc~e~ts Impleo~~tation of New Directions in Developnent Assista~c~~~ ~eport to the COmlittee on International Relations on Ilupleoenshytatiun of Legislative Refo~ in the Foreign Assistance Act of 1973 (July 1975) rItevis~d Projec Developiel Review and Approval Systeo (A I DL Circular A-21 Aril 23 1975) SH Butterfield Draft SUIilZ3ry StateUlent of a Practical Agelcy Approach c aural Devalopilelt (AATA February 28 1975) Cicci A Coce~ual Oie=viamiddot middot Rural Development No1 (lWorilting GOU O~ tha Rural Poor February 1975)

- l -

can meec with only l~ted success

Our concern with the i=pact of local politics on the process of

rural developcent is a result of our interest in the basic question of

how LDC governm~nts and the donor agencies which assist them can

become core effective in raising the standard of living of the rural

poor We seek answers to the following aspects of that basic question

1) What political conditions must exist both within rural communities

and between theo and central gove~ents to raise agricultural production

w~ere small-scale agriculture is the do~nant pattern 2) Vnat are the

political conditions for a core rapid expansion of the informal manufacturing

and service sector cocprised of labor intensive small-scale industries

located in the rural ar s 3) What political structures and activities

are mase crucial for the provision of welfare and econocic supporc services--

such as agricultural exeension mar~eting and transportation--to the rural

areas1 4) ~~at Folitical conditions oust exist to insure that economic

growth in the rural areas is not accowpanied by excessive and intolerable

inequalities between socio-economic classes andor between regions1

Center-Periphery Linkage in LDCs

To deter~ne the political conditions for rural development we have

in previo~s s~udies exacined the institutions and processes through which

rural populaticns are integrated i1to the national politi-cal systetlS of

middot~he countries in which they live A gap exis~s in most less developed

countries bet~een the peasantry residing on the periphery and the c~~tral

political ~stiutions staffe1 by ~~estern-educated bureaucratic elite

We are aware of the other major ~sti~utional discontinuities which comprise

J

4 middot~~1 the basic cleavage between the developed and underdewmiddoteloped sectors of

these dual societies Bridging these gaps is essential if these so~ieties ~ are to develop into viable nation states For until those Q~ the periphery

of the poli~ical syste~ participate in that system and support and comply

with the authority of central political institutions neither economic

development in ~he rural areas nor a stable polity will emerge

Bridging the discontinuities in these new political systems requires

establishing and institutionalizin3middot1inkages or networks for co~unication

and exchange of resources between decision-makers at the center and the

rural public on the periphery Three types of institutional linkages are

most prominent in less developed countries 1) those conSisting of the

state administration composed of the bureaucratice1ite 2) those consisting

of a revolutioncry political party cocposed of the ideological elite

3) and those conSisting of patron-client hierarchies composed of the political

entrepreneurial elite

Of these three linkages consisting of the state administration are

the cst extensive and pervasive in virtua~ly every LOC Such linkages

however exist primarily a~ instruwents of the center to penetrate the

periphery Central government officials are formally charged with bringing

develo~ent to the people This is a ~issi~n which conceives development

as a process ~hrough which a traditional peasantry is transformed and

assimilated iJro the DOdern center which is steadily expanding to embrace

it Agents of the center invariably have more resources to achieve their

objectives than do local political leaders but because they are frequently

strangers~ the communities in which they function they are often unable

- It -

co implement the policies of the center without working through the

local establis~ent

Though somctices significant linkages consist~g of revolutionary

party organizati~ns such as those found in China and Vietnam do not exist -

in most IDCs beca1Se of the special historical and e~omic conditions

required for their development As wi~h the administrative state however

the linkaampe apparatus of such political patties is prUlarily an instrument

of the center whose mission is to penetrate and mobilize those onthe

periphery

In contrast patron-client hierarchies are linkages which represent

the periphery at the center and mediate betwee~ these two disparate

sectors of the political systec Thcugh norcallymiddotovershadowed in scale

by the state administration patron-client hierarchies are found in almost

~very LDC a~d constitute the ~st significant network through which rural i

populations and their leaders influence the decision-~king process at

the center Patron-client hierarchies exist in a wide variety of org~iza-

tional fores ranging from info~ ~ec~~rks of individual olitical leaders

in uno-partyll systelS in S~b-SaharaI4 Africa to extensive political machines

in both one-p~rty (Africa Mexico) and ~u1ti-party systems (Turkey India)

Despite their importance as the pricary means through which peasants in

LDCs particiate in their political systems patron-client hi~rarchies

have only recently become an object of analysis by students of political

developent and do not appear in even the most sophisticated studies of

2 See Jo~ Dunca owell Peasant Socie~y and Clientelist Politics Aerican Politi~ Scielce Revietol 64 (June 1970) pp 411-25 Rene Lemarchand anc_ Keith Legg olitical ClienteliSJ and Ethnicity in Tropical Africa Aierican Political Sc~ecce ReView 66 (Y~rch 1972) pp 68-90 James C Scott PatronshyClient Politics a~d Political Change II 1tlerican Political Science Revie~ 66 (~arch 1972) p 91-113 and Friends Followers and Factiols bull edited by Steffan Sc~~d and James C Scott (Berkeley UniverSity of California Press 1977) bull

- 5 -

3 economic development Ad~niscrators of developmental assistance progracs

have too often regarded patron-clienc hierarchies as ~ped~ents to

develop~ent instead of recognizing cheir potential utility bull

~ Findings on Patron-Client Hierar~hies --

The importance of pat~on-clienc hierarchies for linking the periphery

to the center is one of the major findings ~erging from a study of the

relationships betueen l~gislators an~ their constituents in Kenya Korea

and Turkey ~hich the Cowparative Legislative Research Centpr is nov

comleting uader its 21l(d) grant from AID This study has av~mined the

creation of linkages between the periphery and the center through ~ore

than lO~OOO interviews with members of parl~ent local leaders and

peasants in t~e three countries The findings are being systewatically

set out in a book-length monograph Nearly a dozen research reports have -

uready appeared (see Appendix C) ipropositions about the nature of

political behavior of rural populations an~ the roles of local political

elites de=ived from the research~ can be s~rized as follows

1 Elected representa~ives play a significant role in the creation and mainte~ance of linkages be~een the center and periphery by developing local political achines in which they function as patrons of their constituents In turn thay s~rve as clients of political leaders of national stature who control central government institutions

2 By atte~pting to establish linkages based on patron-client relatio~shi~s elect~d representatives are responding to public expectations chat their prizary duy is to obtain resources from the center to proffiote local develop~ent ~iany elected repLesentatives spend most of their time on self-help co==unity development projects such 3S the building of schools health clinics irrigation works arid roads because such projects provide

3For exa~le ~ a widely respec~ed a~d useful analysis of rural deve16p~ent in Sub-Sahara~ Africa L~ Lele of the World Bank notes the problems of creating an adoini5~raive infrastructure in the rural areas that is sensitive to local socio-oliical conditions She does not however consider how local leaders operating o~tside of adcinistrative structures ~ night contribute to the developne~t 0 the rural areas See ~~ Lele ~ Design ~ Rural Develop~ent Lessons ~ Africa (Balt~re The Johns HopkiD~ Uciversity Press 1975) r) pp 127-61 i ~

- 6 -

their const~tuents with desired se~ices ~~d a= the sa~e time provide the reresentatives with an orgacization Yhicn can be used as a political base

3 l-tore than 90 perCel1t of the rural population is capable of articulating the p~oblems facing their local co~~ity and two-thirds discuss th~e proble~ w~th their fellow citizens on a regular basis

4 Three-q~rters of the residents of the rural areas can identify the public ofpoundici~s who serve thec--both civil servants and elected represcrtatives--by na~e Most are knowledgeable about the activities of these officials Alcost one-fifth coreover have discussed co~~~ity probl~ ~ith these officials particularly those working at the grassshyroots level Residents of rural villages actually have a higher level of political knowledge than their counterparts in the towns

5 Elections in the rural areas evoke a highly rational attern of voti~g despite the effects of ascriptive or traditional co~siderations Inc~ens are pri~rily evaluated in terms of their record in fulfilling the public r S elpectations of what they should do Elections are essentially referenda on inc~entsr perfo~ce especially their perforwance in the area of constituency servi~es such as bringing development projects to the districts bull

6 Local developcent projects have a relatively high s~olic value generating conscitutency support for local leaders and the central government at low cost

7 These projects help huild a local political infra-structure which can also be utilizec by central govern~nt civil servants to implement other policies designed to achieve rural develop~ent bull

The Icpac~ of Local Politics on Rural Projects

Having explored the developtent of linkages through which the periphery

is represented at che ~enter and through which the periphe~ attemp~s to

share in the ceners resources we now propose to build upon our initial

investigations by e~ing in greater detail the impact of local political

conditions on specific problecs of rural develop~ent We propose to

exacine the develop~ental activities of local leaders ~nd the rural public

by eX2~Ding a saple ot fifteen to twenty smalL~scale developwent projects

in each of ~he three countries which constituted the sites for our initial

8ESI AVAILABLE DOCUMENT 1 ~ - of

- 7 -

study of center-perhiphary relations The appropriateaess of this approach

and the ~ethodology through which it will be ip~emented is discussed in

section II Because the ~ethodology of investigation is in large part

the result of our previous research experience we fizst turn to a revieW

of the existinQ __ ~petence of the Comparative Legislative Research Center

in this area

II GRAXTEES EXISTIXG CmET~CE

In 1971 the University of Iowa received a 211(d) grant to develop

its capacity to do research on the role of elected represent~tives in

the process of modernization On the b~sis of this grant the University

established a research center which planned and carried out a research

project on the role of elected reres~~tatives as links between the central

gove~ent and rural populations in K~ya Korea and Turkey The project -i

served to develop t~e University of Iowas research capability in this

field esa~lished ties between the University and scholars in the bost

countries and generated a large and uniqu~ body of relevant data

In that project we fo~ussed our attention on tbe activities of elected

representatives in their constituencies notably in their contacts with

local political leaders voters and civil servants To determine tbe

nature of the linkage function performed by tbe representatives we

designed our research to explore the subject from three perspectives

1) we eXaojned ~~a ~ubject at tbe grass roots by conducting a series of

sample surveys of 200 to 300 adults in each of 12 to 14 parliamentary

constituencies in each cf th~6three countries 2) we examined the subject

at the center by intervie -ing MIls from the constituencies in which we

had conducted S3mple surveys ~nd higher civil servants with whom they

had contact and 3) ~e ex~~ined the subject from an inter-~diate level

by identifying aud ~terviewing local social and political leaders in

the MPs constituencies We used survey research methods because we

were embarking on the study of an entir~ly new subject for which little

relevant docu=e~tary data existed and on which there were few secondary

sources As a result ~e have unparalleled experience with survey

research in the rural areas of less develo~ed countries

The surveys which constituted the cajor part of our field work were

planned in collaboration ~~th scholars from the host countries They were

carried out in each constituency by student interviewers in the appropriate

language ~re than 10000 respo~dents were inteDViewed for the project

Given the visibility and sensitivity of this undertaking approval for

the research was sought and obtained from the host governments prior to -i

the collec~ion of data ~o objections were raised by these governments

at any stage of the research The data obtained have been made available

to scholars i~ the host co~cries and some of the basic findings have

been published in periodicdis in these countries

The Comarative Legislative Research Center ~hich ad~nistered the

project has aisO developed extensive experience in the study of political

leadership in other countries It h3s obta~ed substantial support from

the Fo~d Foundacion and the Rockeeller Foundation has worked in

collaboration ~~h European as ~ell as Asian and African scholars and

is engaged in a ajor study of the role of elected and non-elected leaders

in the oanag~~t o~~ocial conflict Because it has conGucted research

in a variey of setlngs the Center has an ~ceptional capacity to

- 9 -

determine how the relationships be~een political institutions and

economic p=oble75 differ in develoPed and less developed countries

In the course of the major research projects the Center has administered

it has gained highly specializpd ~p-i ce iI identifying 1Olitical leaders

in a great variety of settings conducting systematic interviews with

them collaborating with scholars in the host countries and in coding

and utilizing large files of data to answer specific research questions

The Center has ~lso undertaken to publish the results of its research

in three fores It issues codebooks to the data enabling scholrrs at

other locations to use the data expeditiously i~ publishes research reports - in the form of Occasional Papers and it publishes a scholarly periodical

devoted to the presentation of research findi~gs to an inteIT~tional

audience

The Center utilizes the data ~ysis facilities of the Laboratory

for Political Research of the University of Iowa and drawS on the unusual

n~er of secialists in comparamptive politics and survey research in

~~e Lniversitys Departmen of Political S~ience The Center itself I

has the services of an administrative secretary and a clerk-typist

~intains its~o~cn extensive archives and its o~~ publications program

It is e~uipped to assist scholars and government officials outside the

t~iversity of Io~a The participants in its p~ojects are full-tioe

faculty ~e=bers ~hose undergraduate and graduate teaching is closely

related to their research As part of the teaching program the Center

has attracted students from the countries in which the research projects

have been conducted these students have participated in the projects

bull J

have obtained training in other fields of political science have received

University of Iowa degrees~ and have ret~rned to teach and to do research

in their own countries

III PURPOSE OBJECTIVES AID METHODS

Purpose of Study

The purpose of the proposed grant is to extend the capacity of the

University of Iowa to determine the political conditions in the rural

areas of less developed countries which favor the establis~ent and growth

of small-scale developoent projects ~e objective is to put the University

of Iowa in a position to assist the Agency in designing small-scale rural

developent projects providing guidelines for carrying out social soundness

analyses of such projects and adviSing in the evaluation of projects

We will discuss the utilization of~t~e Universitys capacity in detail in

section IV below

We propose to concentrate our investigations on the political conditions

surrounding s~l-scale ru~al projects Such projects have distinctive

advantages They waximize the political participation of the rural populations

both in det~~-ining the direction ~d implementation of develop~ent efforts

and in defending the interests of periphery vis-~-vis the urban-based

bureaucratic elite S~ll-scale projects stimulate entrereneurial activity

on the part of the rural citizens and growth of the info~l canufacturing

and service sector Tbey require less lead tice and less administrative

c~erhead to ~eco~e operational than large-scale capital-intensive projects

centrally administered Such projects yield rapid and direct benefits to

1

j

the rural

- 11 b - ~~1

populations and are consistentwith their hUIlaD rights--both

political and economic However~ small-s~le projects pose s~ecial probl~s for administratcrs of developceocll assistance progracs because

they require the donor co assess the local olitics particularl the

rural politics of t~e host country

Develop~c adoinistrators pr~rily conc~rned with assisting rural

populations must therefore recognize the range of political variables

affectL~g these projects Small-scale projects offer great opportuoities

for develop~ental assistance progr~ because they can be easily targeted

to help rural populacions require low capital costs and need no be

concentrated in one or two localities Such projects ho~ever~ ~equire

the a~istrator to have ~re political kno~lecge than large-scale

projects Oil which his priJlary tas~ is guiding the work of other experts

Questions for ~Investigation

To detercine the politi~al cc~diicilS ~st conducive to ~he establ~~ent

and gro~h of scalI-scale rural projects ~e propose to address our inquiry

to the following specific questions

1 To what extent and why co local political leaders seek to establish s~~l-scale develop~ent projects within their co~unities

2 To what extent and ~~y do local leaders other than politicians initiate andor provide leadership for s=all-scale developm~t projects

3 Bot do the relations bet~Jeel different types of local leaders (political and non-political) and bet~eeo these leaders and central gove~ent civil servants posted to the rural areas affect the conduct of develop=ent projects

4 How do existing authority ~eLationships between these different leadership grous and the rural pub~ic affect the organization and operation of s~l-scale develop~ent projects

- 12 -

~

5 lhlt is the nature 0 pclgtlic participation in the establishlent and operatio~ of s~l-sclle projects and ~hat are the outcc=es or this participatioe Gucer w~at conditions is such participation ~ost likely to occur

We seek a~swe=s to t~cse questio s L order to determine the effect of

different co~iigurations of local leadership and public participation on the

outcomes or small-scale rural projects te are particular1y concerned with

the ~pact of these configurations on the rate of econocic growth and the

distribution o~ rIGSlth ithin the loal cOlllUlity ~ on the perce~tions of

s~ll-scale proj~cts by central govern~ent per~oncel and the rural public

anmiddot on the organiation or flture projects

To a~swer these que~tions it is oar intention to study the initia~ioD

izJple=enation ald i1lpact of a salple cpound small-scale rural projects in

Kanya Korea and Turley in the sae cOllities in which we carried OU

our initial icvestigations ~ 1973-75 Tne relationships between the -

various conf~gurations of local leadership and public participation and

the three phases of project develop~ant are sho~ in Figure 1 We will

exa=ine projects to pro~ote the adoption of new agricultural techniques

by s~l and moderate landnolders the building of feeder roads irrigation

ditches and other s~ple infrastructure the organization of fa~ers

cooperatives and other local associations concerned with rural development

the establish=ent of rural health clinicS and schools and the setting up

of craft and service industries

Sites for Study

We plan to return to our original set of localities because we possess

a rich body of relevant data on the extent to which linkages exist between

Figure 1

TYPES OF LFLUEXCE OF C2r~ middotGOVER1iEXT OFFCIALS

LoCu LEADERS 0 THE RURAL PUBLI-C OX THRr~

PHASES OF RURAL igtEVELOPHET PROJECTS

r----------~J C~ltral Gover1~nt Official)-N------- - J

r- Local pOlitical leaders

Local non-political leaders

~l 1---- -

ROJECT nITL~TIOS

Influ~ce on selection of projects

InrI ~elce on location of projects

Influence on policy guidelines for proj eCl

Il

I

a

I I

-I PROJECT I~L~~iATIO~ ~ 1

j Project Organizati I Selection of project

leadership

Hobilization of resources

Mobilizatiol of public compliance with project require=elts

Diffusion of project innovation

Rural Public

I

BEST AVAILABLE nOCUMENT

1 ROJECT IMPACT

Organization of ongoi=g project operation

Distribution of project benefits

Evaluation of project

Public attitudes toward project

-middot14 -

these areas and t~c central p~litical institutions of the three co~tries

and on the attit~es of the rural populacioc local leaders and elected

legislators regardi~g their problecs of develop~~c Since such data

is unavailable for alternative locales a return to the areas in which

we have previously done much research ~ables us to build on a uniquely

valuable body of icformation

A return to Kenya Korea and Turkey is also highly desirable from

the standpoint of effective research organization The Comparative

Legislative Research ~enter has developed close collaborative relationships

with several highly competent social scientists in these countries and

with the academic institutions with which these scholars are associated

We have also dev~_oped cooperative relatio~ships wi~ gove~ent officials

in these countries which should facilicate obtaining approval for our

further work

In proposing to doc~ent the origin i~pl~entation and impact of

one to three s~ll-scale develop=ent projects in each of 35 localities

we have two considerations in mind Firstmiddot because our pr~ry goal is

to deter~e the political conditions for rural developm~Lt we wish to

examine develQ~=ent in as many different settings as feasible Only in

this way can we control for so=e of the major socio-cultural variations

that erist along rural populations in less developed coultries These

include the overall level of econo~c development in the co~unity the

nature of t~e ~digenous culture an~ relationships of authority and the

pro~ty of the comounity to major urban areas and centers of central

gove~nt ad=inistration ~ce our original study sites were carefully

BEST AVAILABLE DOCUMENf

- 15 - ~ ~1

selected to represent these variations ye have concluded that these

35 localities woule be ideal sites for the propose~project Second~ in order to dete~~~ the ~pact of local leaders and public

participation o~ ~ural projects we intend to compare projects 1n which

local leaders and ~ecbers of the public have played a major ~ole with

projects in which they have not We also ~l cospare projects initiated

by the central gover~ent with projects Yhich have been locally initiated

These considerations give us a typology for selecting projects as depicted

in Figure 2

Figure 2 ~

FIVE TYPES OF RU~AL PROJCTS ACCORDIXG TO ~FLUEXCE OF CEITiW

GOVE~1E~T LOCAL LEADE~ AD RLRAL POULATIO~

Level of Participation by Rural Population

Locus of Project Initiation ~

Local Co=unity Central Governoent

BIGd

LOt

1 Projects initiated by local leaders and providing for participation of the rural ~opulation

4 Proje~ts Litiated by local leaders bu~ not involving participation of the rural population

2 Projects initiated by the Central Govern~ent and administered i~ cooperation with local leaders a~d the rural population

3 Projects initiated by the Central Govemlent and providing =or the participation of the rural population but by-passing local leaders

5 Projects initiated by the Central Gover~e~t a~d administered in cooeration Yith local leaders but not involvi~g parti~ipation of rural population

- 16 -

We recognize that the socio-cultural setting of rural develoment

projects varies significantly within and across less developed countries bull

By focussing o~ a representative sa=ple of localities ~ Ke~ya~ Korea

and Turkey we can take account of naoy~ though not all of these variations

While some of our substantive findings will not be directly generalizable

beyond the countries in which we propose to conduct our study we expect

that our basic ~ethods and fLdLgs will be applicable to national and

sub-national settings elsewhere in the developing world This is partly

d~e to the fact that the hierarchy of patron-client relations ~hich we

regard as a critical factor in rural develo~~t exists in ~ost Liles

--It is also due to the fact that the methodology for identifying local

bull leadership configurations auG poundor studying local politics which we are

perfe~ting can be used to assess local political co~ditions in a large

variety of countries even when the ~nditions themselves differ significantly

Methods of Investigation

The data needed to assess the iDpact of local leaders and mass

participaticn on rural dev~lop~nt fall into two categories Some a~e

contained among the data gathered for the research project we are currently

completing Others will require additional field research

The following data are already in hand

1 Data on the social landscape of each loc~l co~nity i~cluding aggregate data o~ level of econonic development de~graphic characteristics political pa=ticiation eth~ic loyalities and rates of socio-econocic change dur~g the past decade bull

2 Identity of local leaders including both political and I-on-political leaders and both legislators and other politicians

3 Perceptions of existiag probl~ and their possible solution a~ng

l)tS r AVAilABLE DOCUMENT

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general public local leaders and civil serv~nts

4 Level of political kno~ledge among local citizens and local political leacers

5 Political and social values a~ong local ci~izecs and local political leaders

6 E~~ectacions of leadership roles among the local public and elected and non-elected leaders

7 Patterns of co~unication ~ong local leaders and between local leaders and the central gove~e~t

These data ~hich ~e already have in hand can be subjected to analyses

which ~~ll provida the foundation for our further work on rural develop~ent

projects A part of our work therefore will consist of fu~ther analyses

of existing data

New data of the following kinds are also required

1 Doc~entary data on the origin and evolution of particular smallshyscale develop~cnt projects in the rural areas

-2 Data on project costs boih ~itial invest=ent and recurring

operating costs and data on project ou~puts ie pupils in schools Ddles of road coopleted nl~ber of hospital a~ssions production of factory agricultural productivity

3 Data on project organizatio~ n~~r of local inha~itants participating in establis~~ent of projectt nuober of local L~habitants subsequently involved in project

4 Data-on the pe-cetion of projects by local leaders emers of the local public a~d by civil servants data on the perception of how each project ~as initiatec organized who benefitted and what its future implicatio~s are

These types of data will requ~re field work involv~~g both docucentary research

at the relevant ~istries of the central government and in local goverr~nt

authoritieS and inforoal open-ended interviews with local political leaders

elected representatives and other local leaders who~ we had previously ~

interviewed in a s=uctured syste=atic =aoner

BEST AVAILABLE DOCUMENT

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Grant Organizatio~ and T~etable

We propose co undertake the research outlLled above beginning in the

fall se=ester 1977 Dur~g that te~ Professors Barkan and Kim as

principal investio~tors for the neo1 proj ect will contact their collaborators

in the host co~~tries They ~~ll also seek the collaboration of an additional

~rican scholar specializing in rural development with the aic of getting

additional advice on sources of data and suitable indicators for the

~easure=~~t of rural develop~ent projects

At the end of the fall seQester Professors Barkan and Kim will make

a trip to their research sites to disc~s details of the research organization

with their collaborators in the host countries and to recruit student

assistants Tney will devote the spring te~ 1978 to further analysis

of a~sting data at the University of Iowa

The gathering of additional dita L~ the field will begin in the s~er

of 1978 Professors Barkan and Kio will direct this work personally We

eAect that its coopletion ~~ll require three to six months This work ~1

involve the evaluation of central and local gove~ent reports on the

projects uncer investigation extensive on-site observations of the projects

and oen-e~ded interviews with the principal participants Our principal

respondents ~i1l be the local leaders and elected representatives we

have previously identified in the localities in which we have worked and

a sacple of active participants in the particular dpvelopment projects

being studied ~~ere necessary and apropriate surveys of the general

public will be uncertaken to assess the inpact of a given project on the

rural por)r We do not however leed 0 conduct systeAlatic sample surveys

BEST AVAILABLE DOCUMENT

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of the rur~l population as We did in 1974

In the organization of this research project we intend to reconstruct

the rese~rch tea=s ~e e=ployed during 1973-75 We shall again seek the

co11abo=~tion of P~ofessor Sc~~S-7o~g Pai of Seoul National University ~

Professor IIiCr Turan of the University of Istanbul and Professor John J

Ok~u of the U~iversity of ~arto~ S~ilarly w~ contemplate directing

the field research fro~ he same acade~ic research organizations we previously

used Seoul National U~ive~sity th~ ~~iversity of Istanbul and the

Insti~ute for Develop~eut S~udies University of Nairobi As before we

will tra~ students f~oo these institutions to serve as interviewers

The analysis of the open-ended intervie~s and of docUQentatio~ on

I ~ural develop=e~t projects will be a ~ore t~e-co~s~g process than the

analysis of closed intervie~s It will reqrire a high cotnittl~t of time

fron the principal investigators )e e--pec to hold a conference at the i

U~iversi~y of Iowa 3lO1g all the principal )clticipa~ts in the resea~ch

project d~=~g t~e spr~g 1979 to evalua~~ the newly collected data

le e~ pect to be able to vr-ite reports of t~ results during the Sl1~er 1979

(see Figre 3)

IV LlX-GS ~1) U~ILIZATIO~

At the e~d of the grant period the Uti ersity of Iowa will be able to

1) advise the Agalcy 01 the design of s~l-scale rural projects to assist

the rural poor 2) provide guidelines for social soundness analysiS of

small-scale projects for the rural areas of U)Cs 3) consult w~th the

Ag~tcy 01 the evaluatiol of rural projects ~d 4) provide LDe governments

BEST AVAILABLE DOCUMENT

)ATES

~lll

1977

~inter 1977

iprilg 1978

il mer 1978

~all

1978

ipr~ng

1979

Imiddoter 1979

University vf Iowa

Plutlning of rural develo~rent project

Barkan Kil

Alalysis of existing data

Barkan Kia

Data processing

3arkan Kin

1

I

- 4 -

Figura 3

GRAT TLfETABLE

SIT E S

Kenya Korea Turkey

Preparation of field research ural developH~lt project cOlisulta~io~ a research sites

BarkanOku=u Ki~Pai Tura~rkanKi~

Preparation of field resea-ch

Tural

Field research on rural cevelop~~t projects Bar~lOk~u Ki=Pai Turan

Co=pletion of Co=pletion of field resear~~I~ fiald researcr

Ok~u i Pai bull

f Coopletion of field research

Turan

Data analysis conference a~ong all princial i~vestigators at Un~versity of Iowa Barkan Kil Oku=u Pai Turan

Co=letiol of r~ral develop~ent

project

3arkan Kiz

BEST AVAILABLE DOCUMENT

I

- LL -

~ith speciali~cs o~ ru~al developcect ~mong their own citizens ~ho ha_

partcipatcd ~s collaborators in the Iowa projects

In the proposed project we Will test a series of hypotheses cOlcerning

the political cOllditions of rural develo=ent which run counter to CODOn

assuoptions conccrnir3 t~~ influence of rural politics on project effectiveness

As a result ~e ~dll be able to assist the Agency in designing and evaluating

such projects froe the point of V~~W 0 their political viability The

hypotheses We will test sugges~ t~at the patron-clie~t relations existing

in the local politics of zost LDCs are not necessarily i~pedients to rural

develop~ent but are aspects or the political structure which cal be used to

facilitate s~ll-scale ru=~ projects which will raise the standards of

living of _ ~ rral pomlation - As ~ result or our stuey we expect to be

able to P~-O~t the local leadership confi5~rations ~4d the relationships

between local leaders ald rural poclations ~nich are oost conducive to I

successful develcp=en efforts We believe that we will be agtle to perfect

a cat~odology for identifying the political conditions for rural develop~ent

one ~hich is transferable pound~oo the countries we have specialized in to

other LDCs

We proo~ to develop specific guidelines to assist administrators

charged with selecting evaluating and =onito~ing rural develop~ent

projects to ~szess t~esc rojects in tares of their-social and political

viability he outco~e of such projects is dete~ned not only by the

efrectiv~nass ~~=h ~hich they use scarce econo~c resources but by the

~~er L~ w=ich they e~gage the suppprt of local leaders and rural

po~ulatiocs~ by thei= effect ou social a~d econo~c equality ~d by

D[~T AvAlLA8LE DOCUMENT

- 22 -

their consequences for hwan rights ~Je plan to establish criteria by

middot~hic~ the probable outco~es of projects in these social terms can be

anticipatec

The study ~e propo e will be undertltlken by faculty at the Cniversicy

of lowe in collaboration with faculty a other ~rican institutions and

institutions in the host countries We will build on the extensive contacts

between the Co~perative Legislative Research Center of the ~niversity of

Iowa end other instituions with ~aich ~e have worked One =ajor result

of our collaborative study will be the existence of a net~ork of compe~ent

scholars both in this country and overseas experi~lced in ~orking together~

shar~g a co~on teaching and training experience i~ close contact throu~~ the

effective publications progr~ developed by the Co~parative Legislative Research

Center T~e e~~ertise of this group of individuals will be ava~lable to

oteer scholars to the Agency and ~o L~C governments for specific policy

advice The eXertise developed as a consequence of this project will

extend beyond the ~tionals of the countries ~volved since the univ~sities

engaged in ~e project attrtct stude~ts fro outside heir own countries

For ey~=ple the teaching ~d research progra in the Depar~ent of Political

Science 0 theUniversity of Istanbul heavily affected by the participation

of its facul~y ~e=bers and graduate students in our projects attracts students

throughout the ~middot1iddle East for Whom the University of Istanbul is the iajor

institution ~pound ~igher education in the region rne Institute for Developmen~

Studies is si=ilarly a focal point for students and faculty in East and

Central Africa Seoul ~atiocal Unive=sity attracts students froo other

Asia~ co~tries~ In this way the capability developed among the participant$

BEST AVAIL~BLE DOrUMENT

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in our work is diffused widely To the exte~ that the abili~y to assess

rural develop~ent p~ojects in teres of their social soundness is increased

both in the United States and in ~o~~tries r~ceiving develop=en~ assistance

the cap3~ity of racipien~ countr~es to absorb aid is ~creased

We propose to draw up an inventory of personnel available in ~~e

Cnited States and in other co~~tries who are able to consult with developen~

a~nistrators on the design of rural development projects and on their

evaluation We ~~ll draw first of ai~ on individuals w~o have been

directly associated with our ~ork in the past or on ~he proposed project

and ex~~~d the list to include graduate students and gove~ent officials

with who~ these individuals have wor~d

tole Yill utilize tha existing publication program of the Center

dercribed above to disse~inate our findings The Center has specialized

oailing lists of interested individuals and institutions in all parts of -i

the world and its reports can trerefore reach the ~st relevant audience

jirec~ly ~d re~~arly

BESl AVAIL~BLE OOCUMENT

CONTRACfjGRANTCOOPERATIVE AGREEMENT DATA SHEET

INSTRUCTIONS fjDW Complete 4 copies of the form Original SERCMSDSUP Statistical Section Copy Copy 2 SERCMSIiUP dministrative Copy opr 1 Contracting Officers COy COP) 4 SERCMSDSUP IUmin (Suspense) Copy

Missions Complde 2 copies oi the form Origin31 SERCMSDjSUF- Statistic31 Section Copy 3n~ Copy 2 Nill be ret31ned in the Missions

PART fA

ConU3lttorGranrce Name

University p~f~I~o~wa~ __ -r~ ____ ~~~~ __________ -~~ __ ~~~ ______________ ~~~~ Plorr Numt-er ApptopriJtion Number Allotment Number Project Number

930-0090-3Q13411 A5 72-111l0216 146-30-099-00-20-11 930-0090 Project Title

So~ia1 and Potitica1 Aspects of Development - Conference to Report Research Findings Amount of this Plorr I Projecl M3nagers Name and Offire Sytlbol

$10397 (increase) PDPRCP Jonatlan Silverstone Contr3ctors D-U-N-S Number

Ncgwatocs TYJlCd~3meJ j) Signature I l ~ jIf- bull G HtJ--ft u l IVmiddot

D~e

L - f - J ContractGrant Officqs typed Nailllt Signalure LJ d I -r-

plusmn t 3i-alflpta (( BLvle~ 1 I~ PARTm

ContractGranl Number

AID CSD-3294

Effeclive Date of Docum~nl Signalltre D3t~ of Documenl

Lf---C yen-~-gl tIost Courtry Institution (U iwrsity contract ONL Y)

Campus Coordinator (Uniwr ty i contract OiiL YJ

PART UL Descriplion of Cor-tractGrant P1use X ONL Y ONE item under each headiZg IF THEltrease CifYmC~e bolh ges I 30~~ O~ Nol to be completed for Amendmenl or Modlfic3lion AJigtns I III

J 710gt I I V ~ I

MOl - TYPE ACT A~ 0 G unsolicited Propsll (AIDIR 0 C Individual (Non-pe~nal senice)

~ O Cortra lGrantl ooperative Agreemenl 73101-SO(b)(6raquo 0 D Individual (ftrsonal Service)

tJl T3sk Order ( A)middot 0 H Procurement 10 be Perfocm~d by the Conmiddot 0 E UniversilyOther FAuC3lionailnSlitulions

D 2 Work Order (IQC) Ira~lor in Person (AIDPR 0 F Non-Profil Organizationlnslitutions (other

D 3 Delivety Order (Requirements) 73101middotSO(b)( Iraquo than Ed or PVO)

[j 4 Purchase Ordcr [J I Sole Source (AIOPR 7-3101-SO(b)(4)) 0 G Private Volunury Organization (PVO)

If I 2 or 3 1Lle an ~ compllle M 12 ON Y D J Imp3irmenl of Foreign Policy Objectiws 0 H International Agricultural Research Organj-

M04 - CONTRACTGRANT TYPE

o O MOA (BOA BMA etc)

o I Fixed Price (Specify fFP FPRD FPEPA FPI) _____ _

(gtIDPR 7-31 OJ SO(b)(7raquo

OK B(a)5eJection (FPR 1middot1713-1)

o L Grant iH1ndlOok 13)

o M Do Nol Ue

D 2 Cosl Reimburemenl (S~cil) CR CPFF 0 N Cooperative t~reement (Handbook 13)

CS CPAF CPIF) ~ 0 O Small Business SeImiddotAside (FPR 1middot1706-8)

o l Cooperative Agreemenl ~ 0 1 Overseas Procuring AClivilies (AIDPR

04 Grant Gener31 Supportmiddot 0U ~ 7lIOI-SC(b)(2))

o S Granl - Specific Support ~ ~06 E SER VICE

g ~ ~~t ~~(d) ~~ ~~ ~ eci~a~~~~~ogram Projeci

o amp IQCs ~ ~ relampted excepi A amp E Services)

o 9 Host Counlry ContraclGrnnt 5lJ C amp E Services

middotComplele ONLY through ~Sl ~~ 0 D Construction

M05 SELECTION PROCEDURES 0 E- Reseuch

o A Formally 3dverliscd (IFB) (A1DPR 7middot24 amp

FPR 1middot24) ~ o B Negoli3ted Price Compelilicn Gencr31

Procedure (RFP) (-JDPR 7456)

Dc A amp E (AIDPR 7410)

0 D Ed Inst andor Inl1 R~arch (-JDPR

74 5)

o E Collaboratoe Assisunce (IDPR 7458)

C F Predominant Capability (IOPR

73IOI-50(b)(l)

AID 1420-49 (179) - Page I

D F Technical Services to AID (other than trainmiddot

ing usually o~ating expense)

D G jraining SetVice for AID

o H Equipment Materi3J~ Supplies Commodities

D I Translation Service

~07middot TYPE CONTRACTORGRA-nEE

o A Firmmiddot AU profil-rn3king fUms (other than

Aamp E)

J e A amp E 8r~

zalion

o Public Inlmlational Organizations (UN

Agencies ICRC Wocld Bank elc)

(H8 J 3 Chapt~ S)

M08- TYPE AW~RD

o A S8 Sel-Aside - Awarded to Non-Minority

o B S8 Set-Asidemiddot Awarded to MinXity

o C_ S8 NOI Set-Aside - Awarded to Non-Minority

o D S8 NOI SeImiddotAsidemiddot Awarded 10 Minority

o Eo amp(a) S8A Awarded to Non-Minority (Womerl-

Owned Veterans etc)

o F 8(a) S8A Awarded 10 MinorilY

o G Personal Sen-ice ConlrdCt bull Non-Minority

o H IeJSDnal Service Conlract - MinorIty

o I Individual NonmiddotPersonal Service Contraci -

NonmiddotMinority

o J 100Jigtiduai NonmiddotPersonal Service Contracl -

Minorily

o K NOI Small Business (Univ NonmiddotProfit Large

Firms) Non-Minorily

o L- NOI Small 8usineSl (Univ Non-Profit Large

Firms) Minorily

o M US Govcrnmlnt

(Connnued on Page 2)

BEST AVLABIE DOCUMENT 1 I

--

ua ) R I GI NAL 9 bull

MODIFICATION or GRANT PAGE 1 of 2

AH 1 2 Effective Date 3 Grant No 4 Effective Date

Amend_at Ro 5 April 15 1981 AIDCSD- 3294 8-11-71

-s CRANTEE (Name and Addrea) 6 Administered by -Professor Gerhard Loewenberg -Office of Contract Management Cbrnparative Legislative Research Gente Central Operations Division Dept of Political Science am Branch University of Iowa Agency for International Developn~nt Iowa City Iowa 52240 Washington D C 20523

7 PIO No 930-0090- 3013411 A5 8 Previous PlOTa -

Appropriation No 72-11110216 93i-1l-995-l36 930-11-995-136-73-3078103

Allotment Symbol - 146-30-099-00-20-11 wunt Obliga ted by this ~ndrnent - $10397

The above numbered Grant is hereby modified as follows

1 Anotmt obligated prior to this rurendment 2 Amount obligated by this amendment 3 Total obligated anount (1 amp 2)

Delete the amJmt $465000 and substitute in lieu thereof the ammnt I$47S 39-7 ~

FUNDS AVAIrABm

~~ - APR 13 1981

PrO~A~~5iors

$465000 $ 10397 $475397

OffiCE Of fIN~(1 ~~rE~E~T __ _ 10 This amendment 11 entered into puruant to the authority of the Forelgn

Assistance Act of lS~l as amended Except aft hereln provided all terms and ~~ndi~ons nf the grant rcferpnccd in Block 13 remain unchsnged and in full force and ~ffcct

11 original and six Crantee 18 requlred to aign thh document aad return 1- eopics to issuing

ffiee

~~~ or printed) BUSINESS MAHAGR amp bull

Tille TREASURER

UNITpound) STATES OF AHERICA AGENCY FOR INTERNATIONAL DEVELO~NT

BY_-1(1o-_1lt--= 13middot~_1_~ __ K R B1uteau

(Name typed or printed)

Tltle~ ____ G_r_a_n_t __ O_f_f1_c_e_r ____________ __

D3tC APR 2 J 7997 Dolt 9 APq 1981

BEST AVAILABLE DOCUM NT ___ 0 HLGlNAL - I 1 J 1 ~ )

- 2 -

AID ftmds in the am)tmt of $10397 are hereby provided for the activities lmich are described in your proposal (including Budget Stnmnary) entitled CDnference to Report Research Findings on the Study of Political CDnditions for Effective Small-Scale Rural Assistance Projects in Kenya Korea and Turkey dated February 17 1981 and made a part of the Grant b reference

BtTDGET StMMARY

Line Item

Travel

Per Diem

Other Direct Costs

Less existing 211 (d) grant funds

Total Amount Obligated by this Amendment

Estimated Costs

$ 5888

5100

_ 2500 $13488

_ 3091

$lO39

Note Indirect costs or $395086 associated with these activities will be contributed by the University of Iowa

BEST AVAILABLE DOCUMENT

~RIGINAL

- CONTRACT IGRANTCOOPERA rIVE AGRElEMI~ SERC~SDSlP Actio) Monitor

SERCMSDSUP Action Office

I

INSTRUCTIONS AJDW - Complete 4 copit of tlh fonnmiddot Orisina iCMSDfSUP Sutistical Section COP)middot Copy 2 SERCMSDjSVP Administrative CoP Copy 3 Cont-acting Officers COP) Copy 4middot SOSUP Admin (Susptnse) Copy Missionsmiddot Complete 2 copies of the form or~aI SERCtSDSUP Statistical Section Copy and Copy = wiU~ retained in the Missions

0 PART IA

Effective Date of Document tJ

Delivery Order (Requirements)middot

o 4 Purcluse Order

bull If I 2 or 3 have an bull X compl~te M I 2 ON L Y

M04 - CONTRACTGRANT TYPE

o O MOA (BOA BMA etc)

o 1 Fixed Price (Specify FFP FPRD FPEP FPI) ___ _

o 2 COli Reimbursement (S~cifY CR CPFF CS CPAF CPIF) ______ _

o 3 Cooperative Agreement

o 4 Grantmiddot General Support

o S Grantmiddot Specifi Support

o 6 GraDt 21 led)middot

o 7 Do Not Use

o amp IQCs

o 9 Host Country ContractGrant

middotComplete ONLY through M 5 1

MOS SELECTION PROCEDURES

o A Formally advertised (IFB)(AJDPR 7middot24 amp

FPR 124)

o B Negotiated Prire Competition General

Procedure (RFP) (AIDPR 7456)

o Co A amp E (AlDPR 4 I 0)

o D Ed Ins andor Intl ReStalch (UDPR

7457)

o E Collaborative ASSistance (AIDPR 7458)

o F Predominant Capability (AIDPR

7-310l-50o)(3)

AID 142049 (1-79)middot Page J

o H Procurement Co be Performed b~ the Conshy

tra~tor in Person (AlDPR

7middot3t OI-SO(b)(Iraquo

o I Sole 5gturce (AIDPR 7middot3101middotSO(b)(4raquo

o J Impairment of Foreign Policy Objecdv~

(AIDPR 7middot310 ImiddotSO(b)(7raquo

o K 8(a) Selection (FPR 1middot1713-t)

o L Grant (Handbook J 3)

o M Do Not Vse

o N Cooperative Agreement (Handbook 13)

o O Small Business SetmiddotAside (FPR 11706-8)

o P Overseas Procuring Activities (AIDPR

7middot3101middotSO(b)(2raquo

M06middot TYPE SER VICE

o A TtJining of Participants

o B Technical Assistmce (Program Project

related exc~pt A amp E Services)

J C A amp E Services

0 D COltl~ruction

0 E Research

0 F Technical Services to AID (other than trainmiddot

ing usuaU Y operating ex pense)

0 G Training Service few AID

0 H Equipment Mat~rials Supplie~ Commodities

0 I Translation Service

07middot TYPE CONTRACTORGR TEE

Firmmiddot All profitmiddotmaking fu-r1s (other than

AampE)

o 9 amp E Firms

I Prcct NumbcT

I

Contactors D-U-N-S Numbcr

I) -S--f(j

o C Individual 0-lon-~rsora1 service)

o D Individual (Pet-sonal Service)

o E University lOt her EduCltionaJ Institutions

o F Non-Profit Organization Institutions (other

than Ed or PVO)

o G Private Voiuntary Organization (PVO)

o H International AgricultwaJ Research Organmiddot zation

o I Public International Organizadon~ (UN

Agencies ICRC ewld B3J1k etc)

(HB J 3 Chapter 5)

M08middot TYPE AWARD

o A SB SeImiddotAsidemiddot Awarded to Non-Minority

o B SB SetmiddotAside bull Awarded to Minority

o C SB Not SetmiddotAside - Awarded to Non-Minoril)i

o D SB Not SetmiddotAside - Awarded to Minority

o E ~a) SBA Awarded to Non-Minewity (Womeli

Owned Veterans etc)

o F 8(a) SBA w-rded 1o Minority

o G Personal Service Contractmiddot Non-Minority

o ~ Personal Service Contnct - Minority

o I Individual Non-Personal Sence Contractmiddot

NonmiddotMinority

o J Individual Non-Personal Service Contractmiddot

Minority

o K Not Small Business (Univ Non-Profit L1lge

Firms) --vn-Minority

o L Not Small BUSiness (Univ NonmiddotProfit Large

Firms) ~inoriy

o M VS Government

(Continued on Pcge 2i

t bull - t ~ J f q

ORIGINAL bull MODIFICATION OF GRANT

1 2 Effective Date

Araendllent Ro 4 12-2-80

s CRANTEE CHace and Addrels) Professor Ger1ard Lo~middot enbelg Comparative Legislative Research Deartment of Political Science The Lnivp-rsity of Iowa Iowa City Io~a 52240

7 PIO No NI A

Appropriation No 72-11XHl26

Center

Allotment Symbol -426-30-099-00-3~-71 Amount obligated by this urendment-O- I

3 Gnnt No

AIDcsd-3294

PAGE _____ 1 _of-L

AlI 4 Effective Date

8-11-71

~ Admlnlltered by -Office of Contract Management Central Operations Division OTR Branch Agency for International Development Washington DC 20523

8 Previous PIOITs -

931-11-995-136 930-11-995-136-73-3078103

9 The above numbered Grant is hereby modified as follows

Supplement to Grant

Change the duration period sentence to read

The Duration Period for this Grant shall be August 11 1971 through December 31 198]

1 Amount obligated prior to this amendment $465000 2 A~unt obligated by this amendment -0-3 Total obligated amount (1amp2) $465000

----------------_- - ------- ----_- ------ 10 Thh lImcndmcnt is entered inlo punuant to the authority of the Foreign

~ Assistance Act of 1961 86 amended Except a~ h~reln Z II provided all terms and condi tions nf the grant referenced in Block 3 remain ~~aunchlinged and In fu1l force and effNt cnltUI cJ)za 11 o 4 J bull

Et~ ai~a gtUoItshyc Z P=u

original and six Grantee t requi red to sign this document and return 1- eopies to 1Bufng

office

~ 12 GRANTEE TES OF AMERI CA

(Name typed or printed) bull

TJlle Director Comparative Legislative liecearell CeQtoQl

Date 12880

------------------------------------

ONAL DEVELOPMENT

By ----~--~~~~---------------------

prinled)

Grant Officer Title --------------------------------

J)oll( 12-2-80 -----------------------------

BEST AVAILBLE DOCUMENT i je

Page 22: PD-Ar3T Cr(~

- 19 -

The program on Comparative Legislative Studies with support from

this Grant rill develop the capacity at the University of Iowa to

provide assistance under separate financing arrangements to developing

countries in a number of ways and through a varieiy of channels This

assistance which would be arranged for end negotiated separate~ from

this Grant may be in the form of technical assistance advisory service

training research and information exchange etc It will be available

by mutual agreement to appropriate agencies national and international

public private a~d mixed and directly to the less developed countries

Most especially this added special competence will inevitably become

incorporated through the processes of scholarship and education into

the competence of US and foreign scholars and institutions concerned

with this topic of great significance to the developing and the more

highly developed countries alike

BUDGET SUMMARY

UNIVERSITY OF IOWA

Salaries

Graduate Student Stipends

Fringe Benefits

Travel

Equipment and Services

Other

TOTAL

$173090

32400

19209

13800

6501

20000

$265000

BEST AVAILABLE DOCUMENT

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srjmiddot (~~ jjXilO

IO

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BEST AVAILABLE DOCUMENT

(C

Dr Willa~d l Boyd Presicient University of Ima iowa City Iowa 52242

Dear Dr Boyd

4 AUG 1977

amp

FIJNDS AVAnASLe CpoundNrftAamp sEIMCEs DMsON

AUG11 ~n te t6417 ~77

Subject bull Supplsectferit-tJF-G~middotNomiddot~middot AIOcsd-3294

t middot-rrPJ1 3

I am pleased to inform you that pursuant to th~ auth~rity contained in

S-cction 211 (d) ooC the Foreign Assistance Act of 1961 as amended a sup

plemental grant in the amount of $200000 is h~reby r~de to University

of rCi1a These supplement]l grant funds areprolided to support the

activities which are described in your Proposal dated May 6 1977 for

the implementation of your program entitled Political Conditions for i

Effective Small-Scale Rural Assistant Projects

---This sup~lemental grant is mace to University of Iowa en condition that

yo~r institution shall administer the funas provided under this Grant fn

accordance lith your r~ay 6 197 proposal (including Budget SUmlilary) and

the Standard Provisions (as incorporated by Amendment No 1) which have

been agreed to by your instit1ltion Ti) the extent of an inconsistency

between the Proposal and the Standard Provisions and any otherprovisfons

which ar~ made a part of thi5 Giant by reference or other~iSe the Sta~d~

ard Provisions shall control

The new Duration Period for this Grant shall beAugust 11 1971 through

August 10 1979

The total amount of funds obligated under the grant is increased to reflect

a new total oblgated amount of $465000

Please sign the Statement of Assurance or Compliance ana the origfnal -

and seven (7) copies of this letter to acknowledge your understanding of

the conditions under which these funds have been granted Please return

the Statement of Assurance of Compliance and the original and six (6)

copies of this supplemental Grant to the Office of Contract Management

Attachment May 6 1977 Proposal and Budget SUfiT1a ry

UNIVERSITY OF IOWA

Roberw bull OBrien fficer

Ce al Operations Division Office of Contract Management

AC~E~E~C--_ 0 BYpoundk~~ cH

D C ~lpoundSTtR5BA T ITL E ( PfeampoidPilt for

tee ment amp Research DATE 9-22 -77 (d~ ~~Bduate Ctl~1e~e

BES i AvAILdLt UOCLJMU~ I

211(d) Grant Program

Proposal of the University of Iowa

POLITICAL CONDITIO~S FOR EFFECTIVE SMALL-SCALE

RURAL ASSISTA~CE PROJECTS

Submitt~Ci to

Civic Participation Division AID

May 6 1977

Amount requeste~ $ 199987

BEST AVAILABLE DOCUMENT

I TdE DEVEIOP~T PROBr~

P~litical Conditions for Rural Development

The Cocparative Legislative R~search Center of the University of

Iowa proposes to ~~dartake a two-year study to investigate the role of local

leaders and the rural public in theimplecentation of small-scale develop~ent

1 projects in less developed countries The study will use and extend the

capacity ~hich the University of Iowa developed under a 211(d) grant to

investigate and assess the impact of loeal politics on rural development

~t the co~pletion of the s~ Iowa will be in aposition to advise the

Agency on the design ~nd evaluation of s~ll-scale projects which will be

politically viabe a~d effective in ass~sting the rural poor ~

As students of development w~ approach our task with the assumption

that the proble~ of development and underdevelopment are funda~entally

ones of political econooy and a~ such can only be solved through a

simultaneous considerationof economic and political factors Efforts

which foc~s aloost solely on economic factors like those of ma~y

organizations engzed in dipersing foreign aid or efforts which focus

almost exclasively on political factors fail to take account of the

interdependence between these two dimensions of underdevelopment and

lwe have for~ulated this proposal in a canner consistent witr the cu~rent policies ard interests of the Agency We have been guided in our tsk by four Age~cy doc~e~ts Impleo~~tation of New Directions in Developnent Assista~c~~~ ~eport to the COmlittee on International Relations on Ilupleoenshytatiun of Legislative Refo~ in the Foreign Assistance Act of 1973 (July 1975) rItevis~d Projec Developiel Review and Approval Systeo (A I DL Circular A-21 Aril 23 1975) SH Butterfield Draft SUIilZ3ry StateUlent of a Practical Agelcy Approach c aural Devalopilelt (AATA February 28 1975) Cicci A Coce~ual Oie=viamiddot middot Rural Development No1 (lWorilting GOU O~ tha Rural Poor February 1975)

- l -

can meec with only l~ted success

Our concern with the i=pact of local politics on the process of

rural developcent is a result of our interest in the basic question of

how LDC governm~nts and the donor agencies which assist them can

become core effective in raising the standard of living of the rural

poor We seek answers to the following aspects of that basic question

1) What political conditions must exist both within rural communities

and between theo and central gove~ents to raise agricultural production

w~ere small-scale agriculture is the do~nant pattern 2) Vnat are the

political conditions for a core rapid expansion of the informal manufacturing

and service sector cocprised of labor intensive small-scale industries

located in the rural ar s 3) What political structures and activities

are mase crucial for the provision of welfare and econocic supporc services--

such as agricultural exeension mar~eting and transportation--to the rural

areas1 4) ~~at Folitical conditions oust exist to insure that economic

growth in the rural areas is not accowpanied by excessive and intolerable

inequalities between socio-economic classes andor between regions1

Center-Periphery Linkage in LDCs

To deter~ne the political conditions for rural development we have

in previo~s s~udies exacined the institutions and processes through which

rural populaticns are integrated i1to the national politi-cal systetlS of

middot~he countries in which they live A gap exis~s in most less developed

countries bet~een the peasantry residing on the periphery and the c~~tral

political ~stiutions staffe1 by ~~estern-educated bureaucratic elite

We are aware of the other major ~sti~utional discontinuities which comprise

J

4 middot~~1 the basic cleavage between the developed and underdewmiddoteloped sectors of

these dual societies Bridging these gaps is essential if these so~ieties ~ are to develop into viable nation states For until those Q~ the periphery

of the poli~ical syste~ participate in that system and support and comply

with the authority of central political institutions neither economic

development in ~he rural areas nor a stable polity will emerge

Bridging the discontinuities in these new political systems requires

establishing and institutionalizin3middot1inkages or networks for co~unication

and exchange of resources between decision-makers at the center and the

rural public on the periphery Three types of institutional linkages are

most prominent in less developed countries 1) those conSisting of the

state administration composed of the bureaucratice1ite 2) those consisting

of a revolutioncry political party cocposed of the ideological elite

3) and those conSisting of patron-client hierarchies composed of the political

entrepreneurial elite

Of these three linkages consisting of the state administration are

the cst extensive and pervasive in virtua~ly every LOC Such linkages

however exist primarily a~ instruwents of the center to penetrate the

periphery Central government officials are formally charged with bringing

develo~ent to the people This is a ~issi~n which conceives development

as a process ~hrough which a traditional peasantry is transformed and

assimilated iJro the DOdern center which is steadily expanding to embrace

it Agents of the center invariably have more resources to achieve their

objectives than do local political leaders but because they are frequently

strangers~ the communities in which they function they are often unable

- It -

co implement the policies of the center without working through the

local establis~ent

Though somctices significant linkages consist~g of revolutionary

party organizati~ns such as those found in China and Vietnam do not exist -

in most IDCs beca1Se of the special historical and e~omic conditions

required for their development As wi~h the administrative state however

the linkaampe apparatus of such political patties is prUlarily an instrument

of the center whose mission is to penetrate and mobilize those onthe

periphery

In contrast patron-client hierarchies are linkages which represent

the periphery at the center and mediate betwee~ these two disparate

sectors of the political systec Thcugh norcallymiddotovershadowed in scale

by the state administration patron-client hierarchies are found in almost

~very LDC a~d constitute the ~st significant network through which rural i

populations and their leaders influence the decision-~king process at

the center Patron-client hierarchies exist in a wide variety of org~iza-

tional fores ranging from info~ ~ec~~rks of individual olitical leaders

in uno-partyll systelS in S~b-SaharaI4 Africa to extensive political machines

in both one-p~rty (Africa Mexico) and ~u1ti-party systems (Turkey India)

Despite their importance as the pricary means through which peasants in

LDCs particiate in their political systems patron-client hi~rarchies

have only recently become an object of analysis by students of political

developent and do not appear in even the most sophisticated studies of

2 See Jo~ Dunca owell Peasant Socie~y and Clientelist Politics Aerican Politi~ Scielce Revietol 64 (June 1970) pp 411-25 Rene Lemarchand anc_ Keith Legg olitical ClienteliSJ and Ethnicity in Tropical Africa Aierican Political Sc~ecce ReView 66 (Y~rch 1972) pp 68-90 James C Scott PatronshyClient Politics a~d Political Change II 1tlerican Political Science Revie~ 66 (~arch 1972) p 91-113 and Friends Followers and Factiols bull edited by Steffan Sc~~d and James C Scott (Berkeley UniverSity of California Press 1977) bull

- 5 -

3 economic development Ad~niscrators of developmental assistance progracs

have too often regarded patron-clienc hierarchies as ~ped~ents to

develop~ent instead of recognizing cheir potential utility bull

~ Findings on Patron-Client Hierar~hies --

The importance of pat~on-clienc hierarchies for linking the periphery

to the center is one of the major findings ~erging from a study of the

relationships betueen l~gislators an~ their constituents in Kenya Korea

and Turkey ~hich the Cowparative Legislative Research Centpr is nov

comleting uader its 21l(d) grant from AID This study has av~mined the

creation of linkages between the periphery and the center through ~ore

than lO~OOO interviews with members of parl~ent local leaders and

peasants in t~e three countries The findings are being systewatically

set out in a book-length monograph Nearly a dozen research reports have -

uready appeared (see Appendix C) ipropositions about the nature of

political behavior of rural populations an~ the roles of local political

elites de=ived from the research~ can be s~rized as follows

1 Elected representa~ives play a significant role in the creation and mainte~ance of linkages be~een the center and periphery by developing local political achines in which they function as patrons of their constituents In turn thay s~rve as clients of political leaders of national stature who control central government institutions

2 By atte~pting to establish linkages based on patron-client relatio~shi~s elect~d representatives are responding to public expectations chat their prizary duy is to obtain resources from the center to proffiote local develop~ent ~iany elected repLesentatives spend most of their time on self-help co==unity development projects such 3S the building of schools health clinics irrigation works arid roads because such projects provide

3For exa~le ~ a widely respec~ed a~d useful analysis of rural deve16p~ent in Sub-Sahara~ Africa L~ Lele of the World Bank notes the problems of creating an adoini5~raive infrastructure in the rural areas that is sensitive to local socio-oliical conditions She does not however consider how local leaders operating o~tside of adcinistrative structures ~ night contribute to the developne~t 0 the rural areas See ~~ Lele ~ Design ~ Rural Develop~ent Lessons ~ Africa (Balt~re The Johns HopkiD~ Uciversity Press 1975) r) pp 127-61 i ~

- 6 -

their const~tuents with desired se~ices ~~d a= the sa~e time provide the reresentatives with an orgacization Yhicn can be used as a political base

3 l-tore than 90 perCel1t of the rural population is capable of articulating the p~oblems facing their local co~~ity and two-thirds discuss th~e proble~ w~th their fellow citizens on a regular basis

4 Three-q~rters of the residents of the rural areas can identify the public ofpoundici~s who serve thec--both civil servants and elected represcrtatives--by na~e Most are knowledgeable about the activities of these officials Alcost one-fifth coreover have discussed co~~~ity probl~ ~ith these officials particularly those working at the grassshyroots level Residents of rural villages actually have a higher level of political knowledge than their counterparts in the towns

5 Elections in the rural areas evoke a highly rational attern of voti~g despite the effects of ascriptive or traditional co~siderations Inc~ens are pri~rily evaluated in terms of their record in fulfilling the public r S elpectations of what they should do Elections are essentially referenda on inc~entsr perfo~ce especially their perforwance in the area of constituency servi~es such as bringing development projects to the districts bull

6 Local developcent projects have a relatively high s~olic value generating conscitutency support for local leaders and the central government at low cost

7 These projects help huild a local political infra-structure which can also be utilizec by central govern~nt civil servants to implement other policies designed to achieve rural develop~ent bull

The Icpac~ of Local Politics on Rural Projects

Having explored the developtent of linkages through which the periphery

is represented at che ~enter and through which the periphe~ attemp~s to

share in the ceners resources we now propose to build upon our initial

investigations by e~ing in greater detail the impact of local political

conditions on specific problecs of rural develop~ent We propose to

exacine the develop~ental activities of local leaders ~nd the rural public

by eX2~Ding a saple ot fifteen to twenty smalL~scale developwent projects

in each of ~he three countries which constituted the sites for our initial

8ESI AVAILABLE DOCUMENT 1 ~ - of

- 7 -

study of center-perhiphary relations The appropriateaess of this approach

and the ~ethodology through which it will be ip~emented is discussed in

section II Because the ~ethodology of investigation is in large part

the result of our previous research experience we fizst turn to a revieW

of the existinQ __ ~petence of the Comparative Legislative Research Center

in this area

II GRAXTEES EXISTIXG CmET~CE

In 1971 the University of Iowa received a 211(d) grant to develop

its capacity to do research on the role of elected represent~tives in

the process of modernization On the b~sis of this grant the University

established a research center which planned and carried out a research

project on the role of elected reres~~tatives as links between the central

gove~ent and rural populations in K~ya Korea and Turkey The project -i

served to develop t~e University of Iowas research capability in this

field esa~lished ties between the University and scholars in the bost

countries and generated a large and uniqu~ body of relevant data

In that project we fo~ussed our attention on tbe activities of elected

representatives in their constituencies notably in their contacts with

local political leaders voters and civil servants To determine tbe

nature of the linkage function performed by tbe representatives we

designed our research to explore the subject from three perspectives

1) we eXaojned ~~a ~ubject at tbe grass roots by conducting a series of

sample surveys of 200 to 300 adults in each of 12 to 14 parliamentary

constituencies in each cf th~6three countries 2) we examined the subject

at the center by intervie -ing MIls from the constituencies in which we

had conducted S3mple surveys ~nd higher civil servants with whom they

had contact and 3) ~e ex~~ined the subject from an inter-~diate level

by identifying aud ~terviewing local social and political leaders in

the MPs constituencies We used survey research methods because we

were embarking on the study of an entir~ly new subject for which little

relevant docu=e~tary data existed and on which there were few secondary

sources As a result ~e have unparalleled experience with survey

research in the rural areas of less develo~ed countries

The surveys which constituted the cajor part of our field work were

planned in collaboration ~~th scholars from the host countries They were

carried out in each constituency by student interviewers in the appropriate

language ~re than 10000 respo~dents were inteDViewed for the project

Given the visibility and sensitivity of this undertaking approval for

the research was sought and obtained from the host governments prior to -i

the collec~ion of data ~o objections were raised by these governments

at any stage of the research The data obtained have been made available

to scholars i~ the host co~cries and some of the basic findings have

been published in periodicdis in these countries

The Comarative Legislative Research Center ~hich ad~nistered the

project has aisO developed extensive experience in the study of political

leadership in other countries It h3s obta~ed substantial support from

the Fo~d Foundacion and the Rockeeller Foundation has worked in

collaboration ~~h European as ~ell as Asian and African scholars and

is engaged in a ajor study of the role of elected and non-elected leaders

in the oanag~~t o~~ocial conflict Because it has conGucted research

in a variey of setlngs the Center has an ~ceptional capacity to

- 9 -

determine how the relationships be~een political institutions and

economic p=oble75 differ in develoPed and less developed countries

In the course of the major research projects the Center has administered

it has gained highly specializpd ~p-i ce iI identifying 1Olitical leaders

in a great variety of settings conducting systematic interviews with

them collaborating with scholars in the host countries and in coding

and utilizing large files of data to answer specific research questions

The Center has ~lso undertaken to publish the results of its research

in three fores It issues codebooks to the data enabling scholrrs at

other locations to use the data expeditiously i~ publishes research reports - in the form of Occasional Papers and it publishes a scholarly periodical

devoted to the presentation of research findi~gs to an inteIT~tional

audience

The Center utilizes the data ~ysis facilities of the Laboratory

for Political Research of the University of Iowa and drawS on the unusual

n~er of secialists in comparamptive politics and survey research in

~~e Lniversitys Departmen of Political S~ience The Center itself I

has the services of an administrative secretary and a clerk-typist

~intains its~o~cn extensive archives and its o~~ publications program

It is e~uipped to assist scholars and government officials outside the

t~iversity of Io~a The participants in its p~ojects are full-tioe

faculty ~e=bers ~hose undergraduate and graduate teaching is closely

related to their research As part of the teaching program the Center

has attracted students from the countries in which the research projects

have been conducted these students have participated in the projects

bull J

have obtained training in other fields of political science have received

University of Iowa degrees~ and have ret~rned to teach and to do research

in their own countries

III PURPOSE OBJECTIVES AID METHODS

Purpose of Study

The purpose of the proposed grant is to extend the capacity of the

University of Iowa to determine the political conditions in the rural

areas of less developed countries which favor the establis~ent and growth

of small-scale developoent projects ~e objective is to put the University

of Iowa in a position to assist the Agency in designing small-scale rural

developent projects providing guidelines for carrying out social soundness

analyses of such projects and adviSing in the evaluation of projects

We will discuss the utilization of~t~e Universitys capacity in detail in

section IV below

We propose to concentrate our investigations on the political conditions

surrounding s~l-scale ru~al projects Such projects have distinctive

advantages They waximize the political participation of the rural populations

both in det~~-ining the direction ~d implementation of develop~ent efforts

and in defending the interests of periphery vis-~-vis the urban-based

bureaucratic elite S~ll-scale projects stimulate entrereneurial activity

on the part of the rural citizens and growth of the info~l canufacturing

and service sector Tbey require less lead tice and less administrative

c~erhead to ~eco~e operational than large-scale capital-intensive projects

centrally administered Such projects yield rapid and direct benefits to

1

j

the rural

- 11 b - ~~1

populations and are consistentwith their hUIlaD rights--both

political and economic However~ small-s~le projects pose s~ecial probl~s for administratcrs of developceocll assistance progracs because

they require the donor co assess the local olitics particularl the

rural politics of t~e host country

Develop~c adoinistrators pr~rily conc~rned with assisting rural

populations must therefore recognize the range of political variables

affectL~g these projects Small-scale projects offer great opportuoities

for develop~ental assistance progr~ because they can be easily targeted

to help rural populacions require low capital costs and need no be

concentrated in one or two localities Such projects ho~ever~ ~equire

the a~istrator to have ~re political kno~lecge than large-scale

projects Oil which his priJlary tas~ is guiding the work of other experts

Questions for ~Investigation

To detercine the politi~al cc~diicilS ~st conducive to ~he establ~~ent

and gro~h of scalI-scale rural projects ~e propose to address our inquiry

to the following specific questions

1 To what extent and why co local political leaders seek to establish s~~l-scale develop~ent projects within their co~unities

2 To what extent and ~~y do local leaders other than politicians initiate andor provide leadership for s=all-scale developm~t projects

3 Bot do the relations bet~Jeel different types of local leaders (political and non-political) and bet~eeo these leaders and central gove~ent civil servants posted to the rural areas affect the conduct of develop=ent projects

4 How do existing authority ~eLationships between these different leadership grous and the rural pub~ic affect the organization and operation of s~l-scale develop~ent projects

- 12 -

~

5 lhlt is the nature 0 pclgtlic participation in the establishlent and operatio~ of s~l-sclle projects and ~hat are the outcc=es or this participatioe Gucer w~at conditions is such participation ~ost likely to occur

We seek a~swe=s to t~cse questio s L order to determine the effect of

different co~iigurations of local leadership and public participation on the

outcomes or small-scale rural projects te are particular1y concerned with

the ~pact of these configurations on the rate of econocic growth and the

distribution o~ rIGSlth ithin the loal cOlllUlity ~ on the perce~tions of

s~ll-scale proj~cts by central govern~ent per~oncel and the rural public

anmiddot on the organiation or flture projects

To a~swer these que~tions it is oar intention to study the initia~ioD

izJple=enation ald i1lpact of a salple cpound small-scale rural projects in

Kanya Korea and Turley in the sae cOllities in which we carried OU

our initial icvestigations ~ 1973-75 Tne relationships between the -

various conf~gurations of local leadership and public participation and

the three phases of project develop~ant are sho~ in Figure 1 We will

exa=ine projects to pro~ote the adoption of new agricultural techniques

by s~l and moderate landnolders the building of feeder roads irrigation

ditches and other s~ple infrastructure the organization of fa~ers

cooperatives and other local associations concerned with rural development

the establish=ent of rural health clinicS and schools and the setting up

of craft and service industries

Sites for Study

We plan to return to our original set of localities because we possess

a rich body of relevant data on the extent to which linkages exist between

Figure 1

TYPES OF LFLUEXCE OF C2r~ middotGOVER1iEXT OFFCIALS

LoCu LEADERS 0 THE RURAL PUBLI-C OX THRr~

PHASES OF RURAL igtEVELOPHET PROJECTS

r----------~J C~ltral Gover1~nt Official)-N------- - J

r- Local pOlitical leaders

Local non-political leaders

~l 1---- -

ROJECT nITL~TIOS

Influ~ce on selection of projects

InrI ~elce on location of projects

Influence on policy guidelines for proj eCl

Il

I

a

I I

-I PROJECT I~L~~iATIO~ ~ 1

j Project Organizati I Selection of project

leadership

Hobilization of resources

Mobilizatiol of public compliance with project require=elts

Diffusion of project innovation

Rural Public

I

BEST AVAILABLE nOCUMENT

1 ROJECT IMPACT

Organization of ongoi=g project operation

Distribution of project benefits

Evaluation of project

Public attitudes toward project

-middot14 -

these areas and t~c central p~litical institutions of the three co~tries

and on the attit~es of the rural populacioc local leaders and elected

legislators regardi~g their problecs of develop~~c Since such data

is unavailable for alternative locales a return to the areas in which

we have previously done much research ~ables us to build on a uniquely

valuable body of icformation

A return to Kenya Korea and Turkey is also highly desirable from

the standpoint of effective research organization The Comparative

Legislative Research ~enter has developed close collaborative relationships

with several highly competent social scientists in these countries and

with the academic institutions with which these scholars are associated

We have also dev~_oped cooperative relatio~ships wi~ gove~ent officials

in these countries which should facilicate obtaining approval for our

further work

In proposing to doc~ent the origin i~pl~entation and impact of

one to three s~ll-scale develop=ent projects in each of 35 localities

we have two considerations in mind Firstmiddot because our pr~ry goal is

to deter~e the political conditions for rural developm~Lt we wish to

examine develQ~=ent in as many different settings as feasible Only in

this way can we control for so=e of the major socio-cultural variations

that erist along rural populations in less developed coultries These

include the overall level of econo~c development in the co~unity the

nature of t~e ~digenous culture an~ relationships of authority and the

pro~ty of the comounity to major urban areas and centers of central

gove~nt ad=inistration ~ce our original study sites were carefully

BEST AVAILABLE DOCUMENf

- 15 - ~ ~1

selected to represent these variations ye have concluded that these

35 localities woule be ideal sites for the propose~project Second~ in order to dete~~~ the ~pact of local leaders and public

participation o~ ~ural projects we intend to compare projects 1n which

local leaders and ~ecbers of the public have played a major ~ole with

projects in which they have not We also ~l cospare projects initiated

by the central gover~ent with projects Yhich have been locally initiated

These considerations give us a typology for selecting projects as depicted

in Figure 2

Figure 2 ~

FIVE TYPES OF RU~AL PROJCTS ACCORDIXG TO ~FLUEXCE OF CEITiW

GOVE~1E~T LOCAL LEADE~ AD RLRAL POULATIO~

Level of Participation by Rural Population

Locus of Project Initiation ~

Local Co=unity Central Governoent

BIGd

LOt

1 Projects initiated by local leaders and providing for participation of the rural ~opulation

4 Proje~ts Litiated by local leaders bu~ not involving participation of the rural population

2 Projects initiated by the Central Govern~ent and administered i~ cooperation with local leaders a~d the rural population

3 Projects initiated by the Central Govemlent and providing =or the participation of the rural population but by-passing local leaders

5 Projects initiated by the Central Gover~e~t a~d administered in cooeration Yith local leaders but not involvi~g parti~ipation of rural population

- 16 -

We recognize that the socio-cultural setting of rural develoment

projects varies significantly within and across less developed countries bull

By focussing o~ a representative sa=ple of localities ~ Ke~ya~ Korea

and Turkey we can take account of naoy~ though not all of these variations

While some of our substantive findings will not be directly generalizable

beyond the countries in which we propose to conduct our study we expect

that our basic ~ethods and fLdLgs will be applicable to national and

sub-national settings elsewhere in the developing world This is partly

d~e to the fact that the hierarchy of patron-client relations ~hich we

regard as a critical factor in rural develo~~t exists in ~ost Liles

--It is also due to the fact that the methodology for identifying local

bull leadership configurations auG poundor studying local politics which we are

perfe~ting can be used to assess local political co~ditions in a large

variety of countries even when the ~nditions themselves differ significantly

Methods of Investigation

The data needed to assess the iDpact of local leaders and mass

participaticn on rural dev~lop~nt fall into two categories Some a~e

contained among the data gathered for the research project we are currently

completing Others will require additional field research

The following data are already in hand

1 Data on the social landscape of each loc~l co~nity i~cluding aggregate data o~ level of econonic development de~graphic characteristics political pa=ticiation eth~ic loyalities and rates of socio-econocic change dur~g the past decade bull

2 Identity of local leaders including both political and I-on-political leaders and both legislators and other politicians

3 Perceptions of existiag probl~ and their possible solution a~ng

l)tS r AVAilABLE DOCUMENT

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general public local leaders and civil serv~nts

4 Level of political kno~ledge among local citizens and local political leacers

5 Political and social values a~ong local ci~izecs and local political leaders

6 E~~ectacions of leadership roles among the local public and elected and non-elected leaders

7 Patterns of co~unication ~ong local leaders and between local leaders and the central gove~e~t

These data ~hich ~e already have in hand can be subjected to analyses

which ~~ll provida the foundation for our further work on rural develop~ent

projects A part of our work therefore will consist of fu~ther analyses

of existing data

New data of the following kinds are also required

1 Doc~entary data on the origin and evolution of particular smallshyscale develop~cnt projects in the rural areas

-2 Data on project costs boih ~itial invest=ent and recurring

operating costs and data on project ou~puts ie pupils in schools Ddles of road coopleted nl~ber of hospital a~ssions production of factory agricultural productivity

3 Data on project organizatio~ n~~r of local inha~itants participating in establis~~ent of projectt nuober of local L~habitants subsequently involved in project

4 Data-on the pe-cetion of projects by local leaders emers of the local public a~d by civil servants data on the perception of how each project ~as initiatec organized who benefitted and what its future implicatio~s are

These types of data will requ~re field work involv~~g both docucentary research

at the relevant ~istries of the central government and in local goverr~nt

authoritieS and inforoal open-ended interviews with local political leaders

elected representatives and other local leaders who~ we had previously ~

interviewed in a s=uctured syste=atic =aoner

BEST AVAILABLE DOCUMENT

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Grant Organizatio~ and T~etable

We propose co undertake the research outlLled above beginning in the

fall se=ester 1977 Dur~g that te~ Professors Barkan and Kim as

principal investio~tors for the neo1 proj ect will contact their collaborators

in the host co~~tries They ~~ll also seek the collaboration of an additional

~rican scholar specializing in rural development with the aic of getting

additional advice on sources of data and suitable indicators for the

~easure=~~t of rural develop~ent projects

At the end of the fall seQester Professors Barkan and Kim will make

a trip to their research sites to disc~s details of the research organization

with their collaborators in the host countries and to recruit student

assistants Tney will devote the spring te~ 1978 to further analysis

of a~sting data at the University of Iowa

The gathering of additional dita L~ the field will begin in the s~er

of 1978 Professors Barkan and Kio will direct this work personally We

eAect that its coopletion ~~ll require three to six months This work ~1

involve the evaluation of central and local gove~ent reports on the

projects uncer investigation extensive on-site observations of the projects

and oen-e~ded interviews with the principal participants Our principal

respondents ~i1l be the local leaders and elected representatives we

have previously identified in the localities in which we have worked and

a sacple of active participants in the particular dpvelopment projects

being studied ~~ere necessary and apropriate surveys of the general

public will be uncertaken to assess the inpact of a given project on the

rural por)r We do not however leed 0 conduct systeAlatic sample surveys

BEST AVAILABLE DOCUMENT

- lY -

of the rur~l population as We did in 1974

In the organization of this research project we intend to reconstruct

the rese~rch tea=s ~e e=ployed during 1973-75 We shall again seek the

co11abo=~tion of P~ofessor Sc~~S-7o~g Pai of Seoul National University ~

Professor IIiCr Turan of the University of Istanbul and Professor John J

Ok~u of the U~iversity of ~arto~ S~ilarly w~ contemplate directing

the field research fro~ he same acade~ic research organizations we previously

used Seoul National U~ive~sity th~ ~~iversity of Istanbul and the

Insti~ute for Develop~eut S~udies University of Nairobi As before we

will tra~ students f~oo these institutions to serve as interviewers

The analysis of the open-ended intervie~s and of docUQentatio~ on

I ~ural develop=e~t projects will be a ~ore t~e-co~s~g process than the

analysis of closed intervie~s It will reqrire a high cotnittl~t of time

fron the principal investigators )e e--pec to hold a conference at the i

U~iversi~y of Iowa 3lO1g all the principal )clticipa~ts in the resea~ch

project d~=~g t~e spr~g 1979 to evalua~~ the newly collected data

le e~ pect to be able to vr-ite reports of t~ results during the Sl1~er 1979

(see Figre 3)

IV LlX-GS ~1) U~ILIZATIO~

At the e~d of the grant period the Uti ersity of Iowa will be able to

1) advise the Agalcy 01 the design of s~l-scale rural projects to assist

the rural poor 2) provide guidelines for social soundness analysiS of

small-scale projects for the rural areas of U)Cs 3) consult w~th the

Ag~tcy 01 the evaluatiol of rural projects ~d 4) provide LDe governments

BEST AVAILABLE DOCUMENT

)ATES

~lll

1977

~inter 1977

iprilg 1978

il mer 1978

~all

1978

ipr~ng

1979

Imiddoter 1979

University vf Iowa

Plutlning of rural develo~rent project

Barkan Kil

Alalysis of existing data

Barkan Kia

Data processing

3arkan Kin

1

I

- 4 -

Figura 3

GRAT TLfETABLE

SIT E S

Kenya Korea Turkey

Preparation of field research ural developH~lt project cOlisulta~io~ a research sites

BarkanOku=u Ki~Pai Tura~rkanKi~

Preparation of field resea-ch

Tural

Field research on rural cevelop~~t projects Bar~lOk~u Ki=Pai Turan

Co=pletion of Co=pletion of field resear~~I~ fiald researcr

Ok~u i Pai bull

f Coopletion of field research

Turan

Data analysis conference a~ong all princial i~vestigators at Un~versity of Iowa Barkan Kil Oku=u Pai Turan

Co=letiol of r~ral develop~ent

project

3arkan Kiz

BEST AVAILABLE DOCUMENT

I

- LL -

~ith speciali~cs o~ ru~al developcect ~mong their own citizens ~ho ha_

partcipatcd ~s collaborators in the Iowa projects

In the proposed project we Will test a series of hypotheses cOlcerning

the political cOllditions of rural develo=ent which run counter to CODOn

assuoptions conccrnir3 t~~ influence of rural politics on project effectiveness

As a result ~e ~dll be able to assist the Agency in designing and evaluating

such projects froe the point of V~~W 0 their political viability The

hypotheses We will test sugges~ t~at the patron-clie~t relations existing

in the local politics of zost LDCs are not necessarily i~pedients to rural

develop~ent but are aspects or the political structure which cal be used to

facilitate s~ll-scale ru=~ projects which will raise the standards of

living of _ ~ rral pomlation - As ~ result or our stuey we expect to be

able to P~-O~t the local leadership confi5~rations ~4d the relationships

between local leaders ald rural poclations ~nich are oost conducive to I

successful develcp=en efforts We believe that we will be agtle to perfect

a cat~odology for identifying the political conditions for rural develop~ent

one ~hich is transferable pound~oo the countries we have specialized in to

other LDCs

We proo~ to develop specific guidelines to assist administrators

charged with selecting evaluating and =onito~ing rural develop~ent

projects to ~szess t~esc rojects in tares of their-social and political

viability he outco~e of such projects is dete~ned not only by the

efrectiv~nass ~~=h ~hich they use scarce econo~c resources but by the

~~er L~ w=ich they e~gage the suppprt of local leaders and rural

po~ulatiocs~ by thei= effect ou social a~d econo~c equality ~d by

D[~T AvAlLA8LE DOCUMENT

- 22 -

their consequences for hwan rights ~Je plan to establish criteria by

middot~hic~ the probable outco~es of projects in these social terms can be

anticipatec

The study ~e propo e will be undertltlken by faculty at the Cniversicy

of lowe in collaboration with faculty a other ~rican institutions and

institutions in the host countries We will build on the extensive contacts

between the Co~perative Legislative Research Center of the ~niversity of

Iowa end other instituions with ~aich ~e have worked One =ajor result

of our collaborative study will be the existence of a net~ork of compe~ent

scholars both in this country and overseas experi~lced in ~orking together~

shar~g a co~on teaching and training experience i~ close contact throu~~ the

effective publications progr~ developed by the Co~parative Legislative Research

Center T~e e~~ertise of this group of individuals will be ava~lable to

oteer scholars to the Agency and ~o L~C governments for specific policy

advice The eXertise developed as a consequence of this project will

extend beyond the ~tionals of the countries ~volved since the univ~sities

engaged in ~e project attrtct stude~ts fro outside heir own countries

For ey~=ple the teaching ~d research progra in the Depar~ent of Political

Science 0 theUniversity of Istanbul heavily affected by the participation

of its facul~y ~e=bers and graduate students in our projects attracts students

throughout the ~middot1iddle East for Whom the University of Istanbul is the iajor

institution ~pound ~igher education in the region rne Institute for Developmen~

Studies is si=ilarly a focal point for students and faculty in East and

Central Africa Seoul ~atiocal Unive=sity attracts students froo other

Asia~ co~tries~ In this way the capability developed among the participant$

BEST AVAIL~BLE DOrUMENT

- ) -

in our work is diffused widely To the exte~ that the abili~y to assess

rural develop~ent p~ojects in teres of their social soundness is increased

both in the United States and in ~o~~tries r~ceiving develop=en~ assistance

the cap3~ity of racipien~ countr~es to absorb aid is ~creased

We propose to draw up an inventory of personnel available in ~~e

Cnited States and in other co~~tries who are able to consult with developen~

a~nistrators on the design of rural development projects and on their

evaluation We ~~ll draw first of ai~ on individuals w~o have been

directly associated with our ~ork in the past or on ~he proposed project

and ex~~~d the list to include graduate students and gove~ent officials

with who~ these individuals have wor~d

tole Yill utilize tha existing publication program of the Center

dercribed above to disse~inate our findings The Center has specialized

oailing lists of interested individuals and institutions in all parts of -i

the world and its reports can trerefore reach the ~st relevant audience

jirec~ly ~d re~~arly

BESl AVAIL~BLE OOCUMENT

CONTRACfjGRANTCOOPERATIVE AGREEMENT DATA SHEET

INSTRUCTIONS fjDW Complete 4 copies of the form Original SERCMSDSUP Statistical Section Copy Copy 2 SERCMSIiUP dministrative Copy opr 1 Contracting Officers COy COP) 4 SERCMSDSUP IUmin (Suspense) Copy

Missions Complde 2 copies oi the form Origin31 SERCMSDjSUF- Statistic31 Section Copy 3n~ Copy 2 Nill be ret31ned in the Missions

PART fA

ConU3lttorGranrce Name

University p~f~I~o~wa~ __ -r~ ____ ~~~~ __________ -~~ __ ~~~ ______________ ~~~~ Plorr Numt-er ApptopriJtion Number Allotment Number Project Number

930-0090-3Q13411 A5 72-111l0216 146-30-099-00-20-11 930-0090 Project Title

So~ia1 and Potitica1 Aspects of Development - Conference to Report Research Findings Amount of this Plorr I Projecl M3nagers Name and Offire Sytlbol

$10397 (increase) PDPRCP Jonatlan Silverstone Contr3ctors D-U-N-S Number

Ncgwatocs TYJlCd~3meJ j) Signature I l ~ jIf- bull G HtJ--ft u l IVmiddot

D~e

L - f - J ContractGrant Officqs typed Nailllt Signalure LJ d I -r-

plusmn t 3i-alflpta (( BLvle~ 1 I~ PARTm

ContractGranl Number

AID CSD-3294

Effeclive Date of Docum~nl Signalltre D3t~ of Documenl

Lf---C yen-~-gl tIost Courtry Institution (U iwrsity contract ONL Y)

Campus Coordinator (Uniwr ty i contract OiiL YJ

PART UL Descriplion of Cor-tractGrant P1use X ONL Y ONE item under each headiZg IF THEltrease CifYmC~e bolh ges I 30~~ O~ Nol to be completed for Amendmenl or Modlfic3lion AJigtns I III

J 710gt I I V ~ I

MOl - TYPE ACT A~ 0 G unsolicited Propsll (AIDIR 0 C Individual (Non-pe~nal senice)

~ O Cortra lGrantl ooperative Agreemenl 73101-SO(b)(6raquo 0 D Individual (ftrsonal Service)

tJl T3sk Order ( A)middot 0 H Procurement 10 be Perfocm~d by the Conmiddot 0 E UniversilyOther FAuC3lionailnSlitulions

D 2 Work Order (IQC) Ira~lor in Person (AIDPR 0 F Non-Profil Organizationlnslitutions (other

D 3 Delivety Order (Requirements) 73101middotSO(b)( Iraquo than Ed or PVO)

[j 4 Purchase Ordcr [J I Sole Source (AIOPR 7-3101-SO(b)(4)) 0 G Private Volunury Organization (PVO)

If I 2 or 3 1Lle an ~ compllle M 12 ON Y D J Imp3irmenl of Foreign Policy Objectiws 0 H International Agricultural Research Organj-

M04 - CONTRACTGRANT TYPE

o O MOA (BOA BMA etc)

o I Fixed Price (Specify fFP FPRD FPEPA FPI) _____ _

(gtIDPR 7-31 OJ SO(b)(7raquo

OK B(a)5eJection (FPR 1middot1713-1)

o L Grant iH1ndlOok 13)

o M Do Nol Ue

D 2 Cosl Reimburemenl (S~cil) CR CPFF 0 N Cooperative t~reement (Handbook 13)

CS CPAF CPIF) ~ 0 O Small Business SeImiddotAside (FPR 1middot1706-8)

o l Cooperative Agreemenl ~ 0 1 Overseas Procuring AClivilies (AIDPR

04 Grant Gener31 Supportmiddot 0U ~ 7lIOI-SC(b)(2))

o S Granl - Specific Support ~ ~06 E SER VICE

g ~ ~~t ~~(d) ~~ ~~ ~ eci~a~~~~~ogram Projeci

o amp IQCs ~ ~ relampted excepi A amp E Services)

o 9 Host Counlry ContraclGrnnt 5lJ C amp E Services

middotComplele ONLY through ~Sl ~~ 0 D Construction

M05 SELECTION PROCEDURES 0 E- Reseuch

o A Formally 3dverliscd (IFB) (A1DPR 7middot24 amp

FPR 1middot24) ~ o B Negoli3ted Price Compelilicn Gencr31

Procedure (RFP) (-JDPR 7456)

Dc A amp E (AIDPR 7410)

0 D Ed Inst andor Inl1 R~arch (-JDPR

74 5)

o E Collaboratoe Assisunce (IDPR 7458)

C F Predominant Capability (IOPR

73IOI-50(b)(l)

AID 1420-49 (179) - Page I

D F Technical Services to AID (other than trainmiddot

ing usually o~ating expense)

D G jraining SetVice for AID

o H Equipment Materi3J~ Supplies Commodities

D I Translation Service

~07middot TYPE CONTRACTORGRA-nEE

o A Firmmiddot AU profil-rn3king fUms (other than

Aamp E)

J e A amp E 8r~

zalion

o Public Inlmlational Organizations (UN

Agencies ICRC Wocld Bank elc)

(H8 J 3 Chapt~ S)

M08- TYPE AW~RD

o A S8 Sel-Aside - Awarded to Non-Minority

o B S8 Set-Asidemiddot Awarded to MinXity

o C_ S8 NOI Set-Aside - Awarded to Non-Minority

o D S8 NOI SeImiddotAsidemiddot Awarded 10 Minority

o Eo amp(a) S8A Awarded to Non-Minority (Womerl-

Owned Veterans etc)

o F 8(a) S8A Awarded 10 MinorilY

o G Personal Sen-ice ConlrdCt bull Non-Minority

o H IeJSDnal Service Conlract - MinorIty

o I Individual NonmiddotPersonal Service Contraci -

NonmiddotMinority

o J 100Jigtiduai NonmiddotPersonal Service Contracl -

Minorily

o K NOI Small Business (Univ NonmiddotProfit Large

Firms) Non-Minorily

o L- NOI Small 8usineSl (Univ Non-Profit Large

Firms) Minorily

o M US Govcrnmlnt

(Connnued on Page 2)

BEST AVLABIE DOCUMENT 1 I

--

ua ) R I GI NAL 9 bull

MODIFICATION or GRANT PAGE 1 of 2

AH 1 2 Effective Date 3 Grant No 4 Effective Date

Amend_at Ro 5 April 15 1981 AIDCSD- 3294 8-11-71

-s CRANTEE (Name and Addrea) 6 Administered by -Professor Gerhard Loewenberg -Office of Contract Management Cbrnparative Legislative Research Gente Central Operations Division Dept of Political Science am Branch University of Iowa Agency for International Developn~nt Iowa City Iowa 52240 Washington D C 20523

7 PIO No 930-0090- 3013411 A5 8 Previous PlOTa -

Appropriation No 72-11110216 93i-1l-995-l36 930-11-995-136-73-3078103

Allotment Symbol - 146-30-099-00-20-11 wunt Obliga ted by this ~ndrnent - $10397

The above numbered Grant is hereby modified as follows

1 Anotmt obligated prior to this rurendment 2 Amount obligated by this amendment 3 Total obligated anount (1 amp 2)

Delete the amJmt $465000 and substitute in lieu thereof the ammnt I$47S 39-7 ~

FUNDS AVAIrABm

~~ - APR 13 1981

PrO~A~~5iors

$465000 $ 10397 $475397

OffiCE Of fIN~(1 ~~rE~E~T __ _ 10 This amendment 11 entered into puruant to the authority of the Forelgn

Assistance Act of lS~l as amended Except aft hereln provided all terms and ~~ndi~ons nf the grant rcferpnccd in Block 13 remain unchsnged and in full force and ~ffcct

11 original and six Crantee 18 requlred to aign thh document aad return 1- eopics to issuing

ffiee

~~~ or printed) BUSINESS MAHAGR amp bull

Tille TREASURER

UNITpound) STATES OF AHERICA AGENCY FOR INTERNATIONAL DEVELO~NT

BY_-1(1o-_1lt--= 13middot~_1_~ __ K R B1uteau

(Name typed or printed)

Tltle~ ____ G_r_a_n_t __ O_f_f1_c_e_r ____________ __

D3tC APR 2 J 7997 Dolt 9 APq 1981

BEST AVAILABLE DOCUM NT ___ 0 HLGlNAL - I 1 J 1 ~ )

- 2 -

AID ftmds in the am)tmt of $10397 are hereby provided for the activities lmich are described in your proposal (including Budget Stnmnary) entitled CDnference to Report Research Findings on the Study of Political CDnditions for Effective Small-Scale Rural Assistance Projects in Kenya Korea and Turkey dated February 17 1981 and made a part of the Grant b reference

BtTDGET StMMARY

Line Item

Travel

Per Diem

Other Direct Costs

Less existing 211 (d) grant funds

Total Amount Obligated by this Amendment

Estimated Costs

$ 5888

5100

_ 2500 $13488

_ 3091

$lO39

Note Indirect costs or $395086 associated with these activities will be contributed by the University of Iowa

BEST AVAILABLE DOCUMENT

~RIGINAL

- CONTRACT IGRANTCOOPERA rIVE AGRElEMI~ SERC~SDSlP Actio) Monitor

SERCMSDSUP Action Office

I

INSTRUCTIONS AJDW - Complete 4 copit of tlh fonnmiddot Orisina iCMSDfSUP Sutistical Section COP)middot Copy 2 SERCMSDjSVP Administrative CoP Copy 3 Cont-acting Officers COP) Copy 4middot SOSUP Admin (Susptnse) Copy Missionsmiddot Complete 2 copies of the form or~aI SERCtSDSUP Statistical Section Copy and Copy = wiU~ retained in the Missions

0 PART IA

Effective Date of Document tJ

Delivery Order (Requirements)middot

o 4 Purcluse Order

bull If I 2 or 3 have an bull X compl~te M I 2 ON L Y

M04 - CONTRACTGRANT TYPE

o O MOA (BOA BMA etc)

o 1 Fixed Price (Specify FFP FPRD FPEP FPI) ___ _

o 2 COli Reimbursement (S~cifY CR CPFF CS CPAF CPIF) ______ _

o 3 Cooperative Agreement

o 4 Grantmiddot General Support

o S Grantmiddot Specifi Support

o 6 GraDt 21 led)middot

o 7 Do Not Use

o amp IQCs

o 9 Host Country ContractGrant

middotComplete ONLY through M 5 1

MOS SELECTION PROCEDURES

o A Formally advertised (IFB)(AJDPR 7middot24 amp

FPR 124)

o B Negotiated Prire Competition General

Procedure (RFP) (AIDPR 7456)

o Co A amp E (AlDPR 4 I 0)

o D Ed Ins andor Intl ReStalch (UDPR

7457)

o E Collaborative ASSistance (AIDPR 7458)

o F Predominant Capability (AIDPR

7-310l-50o)(3)

AID 142049 (1-79)middot Page J

o H Procurement Co be Performed b~ the Conshy

tra~tor in Person (AlDPR

7middot3t OI-SO(b)(Iraquo

o I Sole 5gturce (AIDPR 7middot3101middotSO(b)(4raquo

o J Impairment of Foreign Policy Objecdv~

(AIDPR 7middot310 ImiddotSO(b)(7raquo

o K 8(a) Selection (FPR 1middot1713-t)

o L Grant (Handbook J 3)

o M Do Not Vse

o N Cooperative Agreement (Handbook 13)

o O Small Business SetmiddotAside (FPR 11706-8)

o P Overseas Procuring Activities (AIDPR

7middot3101middotSO(b)(2raquo

M06middot TYPE SER VICE

o A TtJining of Participants

o B Technical Assistmce (Program Project

related exc~pt A amp E Services)

J C A amp E Services

0 D COltl~ruction

0 E Research

0 F Technical Services to AID (other than trainmiddot

ing usuaU Y operating ex pense)

0 G Training Service few AID

0 H Equipment Mat~rials Supplie~ Commodities

0 I Translation Service

07middot TYPE CONTRACTORGR TEE

Firmmiddot All profitmiddotmaking fu-r1s (other than

AampE)

o 9 amp E Firms

I Prcct NumbcT

I

Contactors D-U-N-S Numbcr

I) -S--f(j

o C Individual 0-lon-~rsora1 service)

o D Individual (Pet-sonal Service)

o E University lOt her EduCltionaJ Institutions

o F Non-Profit Organization Institutions (other

than Ed or PVO)

o G Private Voiuntary Organization (PVO)

o H International AgricultwaJ Research Organmiddot zation

o I Public International Organizadon~ (UN

Agencies ICRC ewld B3J1k etc)

(HB J 3 Chapter 5)

M08middot TYPE AWARD

o A SB SeImiddotAsidemiddot Awarded to Non-Minority

o B SB SetmiddotAside bull Awarded to Minority

o C SB Not SetmiddotAside - Awarded to Non-Minoril)i

o D SB Not SetmiddotAside - Awarded to Minority

o E ~a) SBA Awarded to Non-Minewity (Womeli

Owned Veterans etc)

o F 8(a) SBA w-rded 1o Minority

o G Personal Service Contractmiddot Non-Minority

o ~ Personal Service Contnct - Minority

o I Individual Non-Personal Sence Contractmiddot

NonmiddotMinority

o J Individual Non-Personal Service Contractmiddot

Minority

o K Not Small Business (Univ Non-Profit L1lge

Firms) --vn-Minority

o L Not Small BUSiness (Univ NonmiddotProfit Large

Firms) ~inoriy

o M VS Government

(Continued on Pcge 2i

t bull - t ~ J f q

ORIGINAL bull MODIFICATION OF GRANT

1 2 Effective Date

Araendllent Ro 4 12-2-80

s CRANTEE CHace and Addrels) Professor Ger1ard Lo~middot enbelg Comparative Legislative Research Deartment of Political Science The Lnivp-rsity of Iowa Iowa City Io~a 52240

7 PIO No NI A

Appropriation No 72-11XHl26

Center

Allotment Symbol -426-30-099-00-3~-71 Amount obligated by this urendment-O- I

3 Gnnt No

AIDcsd-3294

PAGE _____ 1 _of-L

AlI 4 Effective Date

8-11-71

~ Admlnlltered by -Office of Contract Management Central Operations Division OTR Branch Agency for International Development Washington DC 20523

8 Previous PIOITs -

931-11-995-136 930-11-995-136-73-3078103

9 The above numbered Grant is hereby modified as follows

Supplement to Grant

Change the duration period sentence to read

The Duration Period for this Grant shall be August 11 1971 through December 31 198]

1 Amount obligated prior to this amendment $465000 2 A~unt obligated by this amendment -0-3 Total obligated amount (1amp2) $465000

----------------_- - ------- ----_- ------ 10 Thh lImcndmcnt is entered inlo punuant to the authority of the Foreign

~ Assistance Act of 1961 86 amended Except a~ h~reln Z II provided all terms and condi tions nf the grant referenced in Block 3 remain ~~aunchlinged and In fu1l force and effNt cnltUI cJ)za 11 o 4 J bull

Et~ ai~a gtUoItshyc Z P=u

original and six Grantee t requi red to sign this document and return 1- eopies to 1Bufng

office

~ 12 GRANTEE TES OF AMERI CA

(Name typed or printed) bull

TJlle Director Comparative Legislative liecearell CeQtoQl

Date 12880

------------------------------------

ONAL DEVELOPMENT

By ----~--~~~~---------------------

prinled)

Grant Officer Title --------------------------------

J)oll( 12-2-80 -----------------------------

BEST AVAILBLE DOCUMENT i je

Page 23: PD-Ar3T Cr(~

BUDGET SUMMARY

UNIVERSITY OF IOWA

Salaries

Graduate Student Stipends

Fringe Benefits

Travel

Equipment and Services

Other

TOTAL

$173090

32400

19209

13800

6501

20000

$265000

BEST AVAILABLE DOCUMENT

d bull

srjmiddot (~~ jjXilO

IO

rmiddotmiddot ~middotmiddotrl f)~~ 7 middot 1 ~A~~ middot1 rmiddot middot~ rt bull middot bull bullbull I ~ i bull bull ~ middotv- middot bullbull ~ I

1 so bullbullbull l ~--~-- - - ---- ~ V~ i Jlgt ) bullbullbull ~(lr v ~I ( tr_ 1middot-middot 1 bullbull 1

il l~ J

2 c~loto

BEST AVAILABLE DOCUMENT

(C

Dr Willa~d l Boyd Presicient University of Ima iowa City Iowa 52242

Dear Dr Boyd

4 AUG 1977

amp

FIJNDS AVAnASLe CpoundNrftAamp sEIMCEs DMsON

AUG11 ~n te t6417 ~77

Subject bull Supplsectferit-tJF-G~middotNomiddot~middot AIOcsd-3294

t middot-rrPJ1 3

I am pleased to inform you that pursuant to th~ auth~rity contained in

S-cction 211 (d) ooC the Foreign Assistance Act of 1961 as amended a sup

plemental grant in the amount of $200000 is h~reby r~de to University

of rCi1a These supplement]l grant funds areprolided to support the

activities which are described in your Proposal dated May 6 1977 for

the implementation of your program entitled Political Conditions for i

Effective Small-Scale Rural Assistant Projects

---This sup~lemental grant is mace to University of Iowa en condition that

yo~r institution shall administer the funas provided under this Grant fn

accordance lith your r~ay 6 197 proposal (including Budget SUmlilary) and

the Standard Provisions (as incorporated by Amendment No 1) which have

been agreed to by your instit1ltion Ti) the extent of an inconsistency

between the Proposal and the Standard Provisions and any otherprovisfons

which ar~ made a part of thi5 Giant by reference or other~iSe the Sta~d~

ard Provisions shall control

The new Duration Period for this Grant shall beAugust 11 1971 through

August 10 1979

The total amount of funds obligated under the grant is increased to reflect

a new total oblgated amount of $465000

Please sign the Statement of Assurance or Compliance ana the origfnal -

and seven (7) copies of this letter to acknowledge your understanding of

the conditions under which these funds have been granted Please return

the Statement of Assurance of Compliance and the original and six (6)

copies of this supplemental Grant to the Office of Contract Management

Attachment May 6 1977 Proposal and Budget SUfiT1a ry

UNIVERSITY OF IOWA

Roberw bull OBrien fficer

Ce al Operations Division Office of Contract Management

AC~E~E~C--_ 0 BYpoundk~~ cH

D C ~lpoundSTtR5BA T ITL E ( PfeampoidPilt for

tee ment amp Research DATE 9-22 -77 (d~ ~~Bduate Ctl~1e~e

BES i AvAILdLt UOCLJMU~ I

211(d) Grant Program

Proposal of the University of Iowa

POLITICAL CONDITIO~S FOR EFFECTIVE SMALL-SCALE

RURAL ASSISTA~CE PROJECTS

Submitt~Ci to

Civic Participation Division AID

May 6 1977

Amount requeste~ $ 199987

BEST AVAILABLE DOCUMENT

I TdE DEVEIOP~T PROBr~

P~litical Conditions for Rural Development

The Cocparative Legislative R~search Center of the University of

Iowa proposes to ~~dartake a two-year study to investigate the role of local

leaders and the rural public in theimplecentation of small-scale develop~ent

1 projects in less developed countries The study will use and extend the

capacity ~hich the University of Iowa developed under a 211(d) grant to

investigate and assess the impact of loeal politics on rural development

~t the co~pletion of the s~ Iowa will be in aposition to advise the

Agency on the design ~nd evaluation of s~ll-scale projects which will be

politically viabe a~d effective in ass~sting the rural poor ~

As students of development w~ approach our task with the assumption

that the proble~ of development and underdevelopment are funda~entally

ones of political econooy and a~ such can only be solved through a

simultaneous considerationof economic and political factors Efforts

which foc~s aloost solely on economic factors like those of ma~y

organizations engzed in dipersing foreign aid or efforts which focus

almost exclasively on political factors fail to take account of the

interdependence between these two dimensions of underdevelopment and

lwe have for~ulated this proposal in a canner consistent witr the cu~rent policies ard interests of the Agency We have been guided in our tsk by four Age~cy doc~e~ts Impleo~~tation of New Directions in Developnent Assista~c~~~ ~eport to the COmlittee on International Relations on Ilupleoenshytatiun of Legislative Refo~ in the Foreign Assistance Act of 1973 (July 1975) rItevis~d Projec Developiel Review and Approval Systeo (A I DL Circular A-21 Aril 23 1975) SH Butterfield Draft SUIilZ3ry StateUlent of a Practical Agelcy Approach c aural Devalopilelt (AATA February 28 1975) Cicci A Coce~ual Oie=viamiddot middot Rural Development No1 (lWorilting GOU O~ tha Rural Poor February 1975)

- l -

can meec with only l~ted success

Our concern with the i=pact of local politics on the process of

rural developcent is a result of our interest in the basic question of

how LDC governm~nts and the donor agencies which assist them can

become core effective in raising the standard of living of the rural

poor We seek answers to the following aspects of that basic question

1) What political conditions must exist both within rural communities

and between theo and central gove~ents to raise agricultural production

w~ere small-scale agriculture is the do~nant pattern 2) Vnat are the

political conditions for a core rapid expansion of the informal manufacturing

and service sector cocprised of labor intensive small-scale industries

located in the rural ar s 3) What political structures and activities

are mase crucial for the provision of welfare and econocic supporc services--

such as agricultural exeension mar~eting and transportation--to the rural

areas1 4) ~~at Folitical conditions oust exist to insure that economic

growth in the rural areas is not accowpanied by excessive and intolerable

inequalities between socio-economic classes andor between regions1

Center-Periphery Linkage in LDCs

To deter~ne the political conditions for rural development we have

in previo~s s~udies exacined the institutions and processes through which

rural populaticns are integrated i1to the national politi-cal systetlS of

middot~he countries in which they live A gap exis~s in most less developed

countries bet~een the peasantry residing on the periphery and the c~~tral

political ~stiutions staffe1 by ~~estern-educated bureaucratic elite

We are aware of the other major ~sti~utional discontinuities which comprise

J

4 middot~~1 the basic cleavage between the developed and underdewmiddoteloped sectors of

these dual societies Bridging these gaps is essential if these so~ieties ~ are to develop into viable nation states For until those Q~ the periphery

of the poli~ical syste~ participate in that system and support and comply

with the authority of central political institutions neither economic

development in ~he rural areas nor a stable polity will emerge

Bridging the discontinuities in these new political systems requires

establishing and institutionalizin3middot1inkages or networks for co~unication

and exchange of resources between decision-makers at the center and the

rural public on the periphery Three types of institutional linkages are

most prominent in less developed countries 1) those conSisting of the

state administration composed of the bureaucratice1ite 2) those consisting

of a revolutioncry political party cocposed of the ideological elite

3) and those conSisting of patron-client hierarchies composed of the political

entrepreneurial elite

Of these three linkages consisting of the state administration are

the cst extensive and pervasive in virtua~ly every LOC Such linkages

however exist primarily a~ instruwents of the center to penetrate the

periphery Central government officials are formally charged with bringing

develo~ent to the people This is a ~issi~n which conceives development

as a process ~hrough which a traditional peasantry is transformed and

assimilated iJro the DOdern center which is steadily expanding to embrace

it Agents of the center invariably have more resources to achieve their

objectives than do local political leaders but because they are frequently

strangers~ the communities in which they function they are often unable

- It -

co implement the policies of the center without working through the

local establis~ent

Though somctices significant linkages consist~g of revolutionary

party organizati~ns such as those found in China and Vietnam do not exist -

in most IDCs beca1Se of the special historical and e~omic conditions

required for their development As wi~h the administrative state however

the linkaampe apparatus of such political patties is prUlarily an instrument

of the center whose mission is to penetrate and mobilize those onthe

periphery

In contrast patron-client hierarchies are linkages which represent

the periphery at the center and mediate betwee~ these two disparate

sectors of the political systec Thcugh norcallymiddotovershadowed in scale

by the state administration patron-client hierarchies are found in almost

~very LDC a~d constitute the ~st significant network through which rural i

populations and their leaders influence the decision-~king process at

the center Patron-client hierarchies exist in a wide variety of org~iza-

tional fores ranging from info~ ~ec~~rks of individual olitical leaders

in uno-partyll systelS in S~b-SaharaI4 Africa to extensive political machines

in both one-p~rty (Africa Mexico) and ~u1ti-party systems (Turkey India)

Despite their importance as the pricary means through which peasants in

LDCs particiate in their political systems patron-client hi~rarchies

have only recently become an object of analysis by students of political

developent and do not appear in even the most sophisticated studies of

2 See Jo~ Dunca owell Peasant Socie~y and Clientelist Politics Aerican Politi~ Scielce Revietol 64 (June 1970) pp 411-25 Rene Lemarchand anc_ Keith Legg olitical ClienteliSJ and Ethnicity in Tropical Africa Aierican Political Sc~ecce ReView 66 (Y~rch 1972) pp 68-90 James C Scott PatronshyClient Politics a~d Political Change II 1tlerican Political Science Revie~ 66 (~arch 1972) p 91-113 and Friends Followers and Factiols bull edited by Steffan Sc~~d and James C Scott (Berkeley UniverSity of California Press 1977) bull

- 5 -

3 economic development Ad~niscrators of developmental assistance progracs

have too often regarded patron-clienc hierarchies as ~ped~ents to

develop~ent instead of recognizing cheir potential utility bull

~ Findings on Patron-Client Hierar~hies --

The importance of pat~on-clienc hierarchies for linking the periphery

to the center is one of the major findings ~erging from a study of the

relationships betueen l~gislators an~ their constituents in Kenya Korea

and Turkey ~hich the Cowparative Legislative Research Centpr is nov

comleting uader its 21l(d) grant from AID This study has av~mined the

creation of linkages between the periphery and the center through ~ore

than lO~OOO interviews with members of parl~ent local leaders and

peasants in t~e three countries The findings are being systewatically

set out in a book-length monograph Nearly a dozen research reports have -

uready appeared (see Appendix C) ipropositions about the nature of

political behavior of rural populations an~ the roles of local political

elites de=ived from the research~ can be s~rized as follows

1 Elected representa~ives play a significant role in the creation and mainte~ance of linkages be~een the center and periphery by developing local political achines in which they function as patrons of their constituents In turn thay s~rve as clients of political leaders of national stature who control central government institutions

2 By atte~pting to establish linkages based on patron-client relatio~shi~s elect~d representatives are responding to public expectations chat their prizary duy is to obtain resources from the center to proffiote local develop~ent ~iany elected repLesentatives spend most of their time on self-help co==unity development projects such 3S the building of schools health clinics irrigation works arid roads because such projects provide

3For exa~le ~ a widely respec~ed a~d useful analysis of rural deve16p~ent in Sub-Sahara~ Africa L~ Lele of the World Bank notes the problems of creating an adoini5~raive infrastructure in the rural areas that is sensitive to local socio-oliical conditions She does not however consider how local leaders operating o~tside of adcinistrative structures ~ night contribute to the developne~t 0 the rural areas See ~~ Lele ~ Design ~ Rural Develop~ent Lessons ~ Africa (Balt~re The Johns HopkiD~ Uciversity Press 1975) r) pp 127-61 i ~

- 6 -

their const~tuents with desired se~ices ~~d a= the sa~e time provide the reresentatives with an orgacization Yhicn can be used as a political base

3 l-tore than 90 perCel1t of the rural population is capable of articulating the p~oblems facing their local co~~ity and two-thirds discuss th~e proble~ w~th their fellow citizens on a regular basis

4 Three-q~rters of the residents of the rural areas can identify the public ofpoundici~s who serve thec--both civil servants and elected represcrtatives--by na~e Most are knowledgeable about the activities of these officials Alcost one-fifth coreover have discussed co~~~ity probl~ ~ith these officials particularly those working at the grassshyroots level Residents of rural villages actually have a higher level of political knowledge than their counterparts in the towns

5 Elections in the rural areas evoke a highly rational attern of voti~g despite the effects of ascriptive or traditional co~siderations Inc~ens are pri~rily evaluated in terms of their record in fulfilling the public r S elpectations of what they should do Elections are essentially referenda on inc~entsr perfo~ce especially their perforwance in the area of constituency servi~es such as bringing development projects to the districts bull

6 Local developcent projects have a relatively high s~olic value generating conscitutency support for local leaders and the central government at low cost

7 These projects help huild a local political infra-structure which can also be utilizec by central govern~nt civil servants to implement other policies designed to achieve rural develop~ent bull

The Icpac~ of Local Politics on Rural Projects

Having explored the developtent of linkages through which the periphery

is represented at che ~enter and through which the periphe~ attemp~s to

share in the ceners resources we now propose to build upon our initial

investigations by e~ing in greater detail the impact of local political

conditions on specific problecs of rural develop~ent We propose to

exacine the develop~ental activities of local leaders ~nd the rural public

by eX2~Ding a saple ot fifteen to twenty smalL~scale developwent projects

in each of ~he three countries which constituted the sites for our initial

8ESI AVAILABLE DOCUMENT 1 ~ - of

- 7 -

study of center-perhiphary relations The appropriateaess of this approach

and the ~ethodology through which it will be ip~emented is discussed in

section II Because the ~ethodology of investigation is in large part

the result of our previous research experience we fizst turn to a revieW

of the existinQ __ ~petence of the Comparative Legislative Research Center

in this area

II GRAXTEES EXISTIXG CmET~CE

In 1971 the University of Iowa received a 211(d) grant to develop

its capacity to do research on the role of elected represent~tives in

the process of modernization On the b~sis of this grant the University

established a research center which planned and carried out a research

project on the role of elected reres~~tatives as links between the central

gove~ent and rural populations in K~ya Korea and Turkey The project -i

served to develop t~e University of Iowas research capability in this

field esa~lished ties between the University and scholars in the bost

countries and generated a large and uniqu~ body of relevant data

In that project we fo~ussed our attention on tbe activities of elected

representatives in their constituencies notably in their contacts with

local political leaders voters and civil servants To determine tbe

nature of the linkage function performed by tbe representatives we

designed our research to explore the subject from three perspectives

1) we eXaojned ~~a ~ubject at tbe grass roots by conducting a series of

sample surveys of 200 to 300 adults in each of 12 to 14 parliamentary

constituencies in each cf th~6three countries 2) we examined the subject

at the center by intervie -ing MIls from the constituencies in which we

had conducted S3mple surveys ~nd higher civil servants with whom they

had contact and 3) ~e ex~~ined the subject from an inter-~diate level

by identifying aud ~terviewing local social and political leaders in

the MPs constituencies We used survey research methods because we

were embarking on the study of an entir~ly new subject for which little

relevant docu=e~tary data existed and on which there were few secondary

sources As a result ~e have unparalleled experience with survey

research in the rural areas of less develo~ed countries

The surveys which constituted the cajor part of our field work were

planned in collaboration ~~th scholars from the host countries They were

carried out in each constituency by student interviewers in the appropriate

language ~re than 10000 respo~dents were inteDViewed for the project

Given the visibility and sensitivity of this undertaking approval for

the research was sought and obtained from the host governments prior to -i

the collec~ion of data ~o objections were raised by these governments

at any stage of the research The data obtained have been made available

to scholars i~ the host co~cries and some of the basic findings have

been published in periodicdis in these countries

The Comarative Legislative Research Center ~hich ad~nistered the

project has aisO developed extensive experience in the study of political

leadership in other countries It h3s obta~ed substantial support from

the Fo~d Foundacion and the Rockeeller Foundation has worked in

collaboration ~~h European as ~ell as Asian and African scholars and

is engaged in a ajor study of the role of elected and non-elected leaders

in the oanag~~t o~~ocial conflict Because it has conGucted research

in a variey of setlngs the Center has an ~ceptional capacity to

- 9 -

determine how the relationships be~een political institutions and

economic p=oble75 differ in develoPed and less developed countries

In the course of the major research projects the Center has administered

it has gained highly specializpd ~p-i ce iI identifying 1Olitical leaders

in a great variety of settings conducting systematic interviews with

them collaborating with scholars in the host countries and in coding

and utilizing large files of data to answer specific research questions

The Center has ~lso undertaken to publish the results of its research

in three fores It issues codebooks to the data enabling scholrrs at

other locations to use the data expeditiously i~ publishes research reports - in the form of Occasional Papers and it publishes a scholarly periodical

devoted to the presentation of research findi~gs to an inteIT~tional

audience

The Center utilizes the data ~ysis facilities of the Laboratory

for Political Research of the University of Iowa and drawS on the unusual

n~er of secialists in comparamptive politics and survey research in

~~e Lniversitys Departmen of Political S~ience The Center itself I

has the services of an administrative secretary and a clerk-typist

~intains its~o~cn extensive archives and its o~~ publications program

It is e~uipped to assist scholars and government officials outside the

t~iversity of Io~a The participants in its p~ojects are full-tioe

faculty ~e=bers ~hose undergraduate and graduate teaching is closely

related to their research As part of the teaching program the Center

has attracted students from the countries in which the research projects

have been conducted these students have participated in the projects

bull J

have obtained training in other fields of political science have received

University of Iowa degrees~ and have ret~rned to teach and to do research

in their own countries

III PURPOSE OBJECTIVES AID METHODS

Purpose of Study

The purpose of the proposed grant is to extend the capacity of the

University of Iowa to determine the political conditions in the rural

areas of less developed countries which favor the establis~ent and growth

of small-scale developoent projects ~e objective is to put the University

of Iowa in a position to assist the Agency in designing small-scale rural

developent projects providing guidelines for carrying out social soundness

analyses of such projects and adviSing in the evaluation of projects

We will discuss the utilization of~t~e Universitys capacity in detail in

section IV below

We propose to concentrate our investigations on the political conditions

surrounding s~l-scale ru~al projects Such projects have distinctive

advantages They waximize the political participation of the rural populations

both in det~~-ining the direction ~d implementation of develop~ent efforts

and in defending the interests of periphery vis-~-vis the urban-based

bureaucratic elite S~ll-scale projects stimulate entrereneurial activity

on the part of the rural citizens and growth of the info~l canufacturing

and service sector Tbey require less lead tice and less administrative

c~erhead to ~eco~e operational than large-scale capital-intensive projects

centrally administered Such projects yield rapid and direct benefits to

1

j

the rural

- 11 b - ~~1

populations and are consistentwith their hUIlaD rights--both

political and economic However~ small-s~le projects pose s~ecial probl~s for administratcrs of developceocll assistance progracs because

they require the donor co assess the local olitics particularl the

rural politics of t~e host country

Develop~c adoinistrators pr~rily conc~rned with assisting rural

populations must therefore recognize the range of political variables

affectL~g these projects Small-scale projects offer great opportuoities

for develop~ental assistance progr~ because they can be easily targeted

to help rural populacions require low capital costs and need no be

concentrated in one or two localities Such projects ho~ever~ ~equire

the a~istrator to have ~re political kno~lecge than large-scale

projects Oil which his priJlary tas~ is guiding the work of other experts

Questions for ~Investigation

To detercine the politi~al cc~diicilS ~st conducive to ~he establ~~ent

and gro~h of scalI-scale rural projects ~e propose to address our inquiry

to the following specific questions

1 To what extent and why co local political leaders seek to establish s~~l-scale develop~ent projects within their co~unities

2 To what extent and ~~y do local leaders other than politicians initiate andor provide leadership for s=all-scale developm~t projects

3 Bot do the relations bet~Jeel different types of local leaders (political and non-political) and bet~eeo these leaders and central gove~ent civil servants posted to the rural areas affect the conduct of develop=ent projects

4 How do existing authority ~eLationships between these different leadership grous and the rural pub~ic affect the organization and operation of s~l-scale develop~ent projects

- 12 -

~

5 lhlt is the nature 0 pclgtlic participation in the establishlent and operatio~ of s~l-sclle projects and ~hat are the outcc=es or this participatioe Gucer w~at conditions is such participation ~ost likely to occur

We seek a~swe=s to t~cse questio s L order to determine the effect of

different co~iigurations of local leadership and public participation on the

outcomes or small-scale rural projects te are particular1y concerned with

the ~pact of these configurations on the rate of econocic growth and the

distribution o~ rIGSlth ithin the loal cOlllUlity ~ on the perce~tions of

s~ll-scale proj~cts by central govern~ent per~oncel and the rural public

anmiddot on the organiation or flture projects

To a~swer these que~tions it is oar intention to study the initia~ioD

izJple=enation ald i1lpact of a salple cpound small-scale rural projects in

Kanya Korea and Turley in the sae cOllities in which we carried OU

our initial icvestigations ~ 1973-75 Tne relationships between the -

various conf~gurations of local leadership and public participation and

the three phases of project develop~ant are sho~ in Figure 1 We will

exa=ine projects to pro~ote the adoption of new agricultural techniques

by s~l and moderate landnolders the building of feeder roads irrigation

ditches and other s~ple infrastructure the organization of fa~ers

cooperatives and other local associations concerned with rural development

the establish=ent of rural health clinicS and schools and the setting up

of craft and service industries

Sites for Study

We plan to return to our original set of localities because we possess

a rich body of relevant data on the extent to which linkages exist between

Figure 1

TYPES OF LFLUEXCE OF C2r~ middotGOVER1iEXT OFFCIALS

LoCu LEADERS 0 THE RURAL PUBLI-C OX THRr~

PHASES OF RURAL igtEVELOPHET PROJECTS

r----------~J C~ltral Gover1~nt Official)-N------- - J

r- Local pOlitical leaders

Local non-political leaders

~l 1---- -

ROJECT nITL~TIOS

Influ~ce on selection of projects

InrI ~elce on location of projects

Influence on policy guidelines for proj eCl

Il

I

a

I I

-I PROJECT I~L~~iATIO~ ~ 1

j Project Organizati I Selection of project

leadership

Hobilization of resources

Mobilizatiol of public compliance with project require=elts

Diffusion of project innovation

Rural Public

I

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1 ROJECT IMPACT

Organization of ongoi=g project operation

Distribution of project benefits

Evaluation of project

Public attitudes toward project

-middot14 -

these areas and t~c central p~litical institutions of the three co~tries

and on the attit~es of the rural populacioc local leaders and elected

legislators regardi~g their problecs of develop~~c Since such data

is unavailable for alternative locales a return to the areas in which

we have previously done much research ~ables us to build on a uniquely

valuable body of icformation

A return to Kenya Korea and Turkey is also highly desirable from

the standpoint of effective research organization The Comparative

Legislative Research ~enter has developed close collaborative relationships

with several highly competent social scientists in these countries and

with the academic institutions with which these scholars are associated

We have also dev~_oped cooperative relatio~ships wi~ gove~ent officials

in these countries which should facilicate obtaining approval for our

further work

In proposing to doc~ent the origin i~pl~entation and impact of

one to three s~ll-scale develop=ent projects in each of 35 localities

we have two considerations in mind Firstmiddot because our pr~ry goal is

to deter~e the political conditions for rural developm~Lt we wish to

examine develQ~=ent in as many different settings as feasible Only in

this way can we control for so=e of the major socio-cultural variations

that erist along rural populations in less developed coultries These

include the overall level of econo~c development in the co~unity the

nature of t~e ~digenous culture an~ relationships of authority and the

pro~ty of the comounity to major urban areas and centers of central

gove~nt ad=inistration ~ce our original study sites were carefully

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- 15 - ~ ~1

selected to represent these variations ye have concluded that these

35 localities woule be ideal sites for the propose~project Second~ in order to dete~~~ the ~pact of local leaders and public

participation o~ ~ural projects we intend to compare projects 1n which

local leaders and ~ecbers of the public have played a major ~ole with

projects in which they have not We also ~l cospare projects initiated

by the central gover~ent with projects Yhich have been locally initiated

These considerations give us a typology for selecting projects as depicted

in Figure 2

Figure 2 ~

FIVE TYPES OF RU~AL PROJCTS ACCORDIXG TO ~FLUEXCE OF CEITiW

GOVE~1E~T LOCAL LEADE~ AD RLRAL POULATIO~

Level of Participation by Rural Population

Locus of Project Initiation ~

Local Co=unity Central Governoent

BIGd

LOt

1 Projects initiated by local leaders and providing for participation of the rural ~opulation

4 Proje~ts Litiated by local leaders bu~ not involving participation of the rural population

2 Projects initiated by the Central Govern~ent and administered i~ cooperation with local leaders a~d the rural population

3 Projects initiated by the Central Govemlent and providing =or the participation of the rural population but by-passing local leaders

5 Projects initiated by the Central Gover~e~t a~d administered in cooeration Yith local leaders but not involvi~g parti~ipation of rural population

- 16 -

We recognize that the socio-cultural setting of rural develoment

projects varies significantly within and across less developed countries bull

By focussing o~ a representative sa=ple of localities ~ Ke~ya~ Korea

and Turkey we can take account of naoy~ though not all of these variations

While some of our substantive findings will not be directly generalizable

beyond the countries in which we propose to conduct our study we expect

that our basic ~ethods and fLdLgs will be applicable to national and

sub-national settings elsewhere in the developing world This is partly

d~e to the fact that the hierarchy of patron-client relations ~hich we

regard as a critical factor in rural develo~~t exists in ~ost Liles

--It is also due to the fact that the methodology for identifying local

bull leadership configurations auG poundor studying local politics which we are

perfe~ting can be used to assess local political co~ditions in a large

variety of countries even when the ~nditions themselves differ significantly

Methods of Investigation

The data needed to assess the iDpact of local leaders and mass

participaticn on rural dev~lop~nt fall into two categories Some a~e

contained among the data gathered for the research project we are currently

completing Others will require additional field research

The following data are already in hand

1 Data on the social landscape of each loc~l co~nity i~cluding aggregate data o~ level of econonic development de~graphic characteristics political pa=ticiation eth~ic loyalities and rates of socio-econocic change dur~g the past decade bull

2 Identity of local leaders including both political and I-on-political leaders and both legislators and other politicians

3 Perceptions of existiag probl~ and their possible solution a~ng

l)tS r AVAilABLE DOCUMENT

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general public local leaders and civil serv~nts

4 Level of political kno~ledge among local citizens and local political leacers

5 Political and social values a~ong local ci~izecs and local political leaders

6 E~~ectacions of leadership roles among the local public and elected and non-elected leaders

7 Patterns of co~unication ~ong local leaders and between local leaders and the central gove~e~t

These data ~hich ~e already have in hand can be subjected to analyses

which ~~ll provida the foundation for our further work on rural develop~ent

projects A part of our work therefore will consist of fu~ther analyses

of existing data

New data of the following kinds are also required

1 Doc~entary data on the origin and evolution of particular smallshyscale develop~cnt projects in the rural areas

-2 Data on project costs boih ~itial invest=ent and recurring

operating costs and data on project ou~puts ie pupils in schools Ddles of road coopleted nl~ber of hospital a~ssions production of factory agricultural productivity

3 Data on project organizatio~ n~~r of local inha~itants participating in establis~~ent of projectt nuober of local L~habitants subsequently involved in project

4 Data-on the pe-cetion of projects by local leaders emers of the local public a~d by civil servants data on the perception of how each project ~as initiatec organized who benefitted and what its future implicatio~s are

These types of data will requ~re field work involv~~g both docucentary research

at the relevant ~istries of the central government and in local goverr~nt

authoritieS and inforoal open-ended interviews with local political leaders

elected representatives and other local leaders who~ we had previously ~

interviewed in a s=uctured syste=atic =aoner

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Grant Organizatio~ and T~etable

We propose co undertake the research outlLled above beginning in the

fall se=ester 1977 Dur~g that te~ Professors Barkan and Kim as

principal investio~tors for the neo1 proj ect will contact their collaborators

in the host co~~tries They ~~ll also seek the collaboration of an additional

~rican scholar specializing in rural development with the aic of getting

additional advice on sources of data and suitable indicators for the

~easure=~~t of rural develop~ent projects

At the end of the fall seQester Professors Barkan and Kim will make

a trip to their research sites to disc~s details of the research organization

with their collaborators in the host countries and to recruit student

assistants Tney will devote the spring te~ 1978 to further analysis

of a~sting data at the University of Iowa

The gathering of additional dita L~ the field will begin in the s~er

of 1978 Professors Barkan and Kio will direct this work personally We

eAect that its coopletion ~~ll require three to six months This work ~1

involve the evaluation of central and local gove~ent reports on the

projects uncer investigation extensive on-site observations of the projects

and oen-e~ded interviews with the principal participants Our principal

respondents ~i1l be the local leaders and elected representatives we

have previously identified in the localities in which we have worked and

a sacple of active participants in the particular dpvelopment projects

being studied ~~ere necessary and apropriate surveys of the general

public will be uncertaken to assess the inpact of a given project on the

rural por)r We do not however leed 0 conduct systeAlatic sample surveys

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- lY -

of the rur~l population as We did in 1974

In the organization of this research project we intend to reconstruct

the rese~rch tea=s ~e e=ployed during 1973-75 We shall again seek the

co11abo=~tion of P~ofessor Sc~~S-7o~g Pai of Seoul National University ~

Professor IIiCr Turan of the University of Istanbul and Professor John J

Ok~u of the U~iversity of ~arto~ S~ilarly w~ contemplate directing

the field research fro~ he same acade~ic research organizations we previously

used Seoul National U~ive~sity th~ ~~iversity of Istanbul and the

Insti~ute for Develop~eut S~udies University of Nairobi As before we

will tra~ students f~oo these institutions to serve as interviewers

The analysis of the open-ended intervie~s and of docUQentatio~ on

I ~ural develop=e~t projects will be a ~ore t~e-co~s~g process than the

analysis of closed intervie~s It will reqrire a high cotnittl~t of time

fron the principal investigators )e e--pec to hold a conference at the i

U~iversi~y of Iowa 3lO1g all the principal )clticipa~ts in the resea~ch

project d~=~g t~e spr~g 1979 to evalua~~ the newly collected data

le e~ pect to be able to vr-ite reports of t~ results during the Sl1~er 1979

(see Figre 3)

IV LlX-GS ~1) U~ILIZATIO~

At the e~d of the grant period the Uti ersity of Iowa will be able to

1) advise the Agalcy 01 the design of s~l-scale rural projects to assist

the rural poor 2) provide guidelines for social soundness analysiS of

small-scale projects for the rural areas of U)Cs 3) consult w~th the

Ag~tcy 01 the evaluatiol of rural projects ~d 4) provide LDe governments

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)ATES

~lll

1977

~inter 1977

iprilg 1978

il mer 1978

~all

1978

ipr~ng

1979

Imiddoter 1979

University vf Iowa

Plutlning of rural develo~rent project

Barkan Kil

Alalysis of existing data

Barkan Kia

Data processing

3arkan Kin

1

I

- 4 -

Figura 3

GRAT TLfETABLE

SIT E S

Kenya Korea Turkey

Preparation of field research ural developH~lt project cOlisulta~io~ a research sites

BarkanOku=u Ki~Pai Tura~rkanKi~

Preparation of field resea-ch

Tural

Field research on rural cevelop~~t projects Bar~lOk~u Ki=Pai Turan

Co=pletion of Co=pletion of field resear~~I~ fiald researcr

Ok~u i Pai bull

f Coopletion of field research

Turan

Data analysis conference a~ong all princial i~vestigators at Un~versity of Iowa Barkan Kil Oku=u Pai Turan

Co=letiol of r~ral develop~ent

project

3arkan Kiz

BEST AVAILABLE DOCUMENT

I

- LL -

~ith speciali~cs o~ ru~al developcect ~mong their own citizens ~ho ha_

partcipatcd ~s collaborators in the Iowa projects

In the proposed project we Will test a series of hypotheses cOlcerning

the political cOllditions of rural develo=ent which run counter to CODOn

assuoptions conccrnir3 t~~ influence of rural politics on project effectiveness

As a result ~e ~dll be able to assist the Agency in designing and evaluating

such projects froe the point of V~~W 0 their political viability The

hypotheses We will test sugges~ t~at the patron-clie~t relations existing

in the local politics of zost LDCs are not necessarily i~pedients to rural

develop~ent but are aspects or the political structure which cal be used to

facilitate s~ll-scale ru=~ projects which will raise the standards of

living of _ ~ rral pomlation - As ~ result or our stuey we expect to be

able to P~-O~t the local leadership confi5~rations ~4d the relationships

between local leaders ald rural poclations ~nich are oost conducive to I

successful develcp=en efforts We believe that we will be agtle to perfect

a cat~odology for identifying the political conditions for rural develop~ent

one ~hich is transferable pound~oo the countries we have specialized in to

other LDCs

We proo~ to develop specific guidelines to assist administrators

charged with selecting evaluating and =onito~ing rural develop~ent

projects to ~szess t~esc rojects in tares of their-social and political

viability he outco~e of such projects is dete~ned not only by the

efrectiv~nass ~~=h ~hich they use scarce econo~c resources but by the

~~er L~ w=ich they e~gage the suppprt of local leaders and rural

po~ulatiocs~ by thei= effect ou social a~d econo~c equality ~d by

D[~T AvAlLA8LE DOCUMENT

- 22 -

their consequences for hwan rights ~Je plan to establish criteria by

middot~hic~ the probable outco~es of projects in these social terms can be

anticipatec

The study ~e propo e will be undertltlken by faculty at the Cniversicy

of lowe in collaboration with faculty a other ~rican institutions and

institutions in the host countries We will build on the extensive contacts

between the Co~perative Legislative Research Center of the ~niversity of

Iowa end other instituions with ~aich ~e have worked One =ajor result

of our collaborative study will be the existence of a net~ork of compe~ent

scholars both in this country and overseas experi~lced in ~orking together~

shar~g a co~on teaching and training experience i~ close contact throu~~ the

effective publications progr~ developed by the Co~parative Legislative Research

Center T~e e~~ertise of this group of individuals will be ava~lable to

oteer scholars to the Agency and ~o L~C governments for specific policy

advice The eXertise developed as a consequence of this project will

extend beyond the ~tionals of the countries ~volved since the univ~sities

engaged in ~e project attrtct stude~ts fro outside heir own countries

For ey~=ple the teaching ~d research progra in the Depar~ent of Political

Science 0 theUniversity of Istanbul heavily affected by the participation

of its facul~y ~e=bers and graduate students in our projects attracts students

throughout the ~middot1iddle East for Whom the University of Istanbul is the iajor

institution ~pound ~igher education in the region rne Institute for Developmen~

Studies is si=ilarly a focal point for students and faculty in East and

Central Africa Seoul ~atiocal Unive=sity attracts students froo other

Asia~ co~tries~ In this way the capability developed among the participant$

BEST AVAIL~BLE DOrUMENT

- ) -

in our work is diffused widely To the exte~ that the abili~y to assess

rural develop~ent p~ojects in teres of their social soundness is increased

both in the United States and in ~o~~tries r~ceiving develop=en~ assistance

the cap3~ity of racipien~ countr~es to absorb aid is ~creased

We propose to draw up an inventory of personnel available in ~~e

Cnited States and in other co~~tries who are able to consult with developen~

a~nistrators on the design of rural development projects and on their

evaluation We ~~ll draw first of ai~ on individuals w~o have been

directly associated with our ~ork in the past or on ~he proposed project

and ex~~~d the list to include graduate students and gove~ent officials

with who~ these individuals have wor~d

tole Yill utilize tha existing publication program of the Center

dercribed above to disse~inate our findings The Center has specialized

oailing lists of interested individuals and institutions in all parts of -i

the world and its reports can trerefore reach the ~st relevant audience

jirec~ly ~d re~~arly

BESl AVAIL~BLE OOCUMENT

CONTRACfjGRANTCOOPERATIVE AGREEMENT DATA SHEET

INSTRUCTIONS fjDW Complete 4 copies of the form Original SERCMSDSUP Statistical Section Copy Copy 2 SERCMSIiUP dministrative Copy opr 1 Contracting Officers COy COP) 4 SERCMSDSUP IUmin (Suspense) Copy

Missions Complde 2 copies oi the form Origin31 SERCMSDjSUF- Statistic31 Section Copy 3n~ Copy 2 Nill be ret31ned in the Missions

PART fA

ConU3lttorGranrce Name

University p~f~I~o~wa~ __ -r~ ____ ~~~~ __________ -~~ __ ~~~ ______________ ~~~~ Plorr Numt-er ApptopriJtion Number Allotment Number Project Number

930-0090-3Q13411 A5 72-111l0216 146-30-099-00-20-11 930-0090 Project Title

So~ia1 and Potitica1 Aspects of Development - Conference to Report Research Findings Amount of this Plorr I Projecl M3nagers Name and Offire Sytlbol

$10397 (increase) PDPRCP Jonatlan Silverstone Contr3ctors D-U-N-S Number

Ncgwatocs TYJlCd~3meJ j) Signature I l ~ jIf- bull G HtJ--ft u l IVmiddot

D~e

L - f - J ContractGrant Officqs typed Nailllt Signalure LJ d I -r-

plusmn t 3i-alflpta (( BLvle~ 1 I~ PARTm

ContractGranl Number

AID CSD-3294

Effeclive Date of Docum~nl Signalltre D3t~ of Documenl

Lf---C yen-~-gl tIost Courtry Institution (U iwrsity contract ONL Y)

Campus Coordinator (Uniwr ty i contract OiiL YJ

PART UL Descriplion of Cor-tractGrant P1use X ONL Y ONE item under each headiZg IF THEltrease CifYmC~e bolh ges I 30~~ O~ Nol to be completed for Amendmenl or Modlfic3lion AJigtns I III

J 710gt I I V ~ I

MOl - TYPE ACT A~ 0 G unsolicited Propsll (AIDIR 0 C Individual (Non-pe~nal senice)

~ O Cortra lGrantl ooperative Agreemenl 73101-SO(b)(6raquo 0 D Individual (ftrsonal Service)

tJl T3sk Order ( A)middot 0 H Procurement 10 be Perfocm~d by the Conmiddot 0 E UniversilyOther FAuC3lionailnSlitulions

D 2 Work Order (IQC) Ira~lor in Person (AIDPR 0 F Non-Profil Organizationlnslitutions (other

D 3 Delivety Order (Requirements) 73101middotSO(b)( Iraquo than Ed or PVO)

[j 4 Purchase Ordcr [J I Sole Source (AIOPR 7-3101-SO(b)(4)) 0 G Private Volunury Organization (PVO)

If I 2 or 3 1Lle an ~ compllle M 12 ON Y D J Imp3irmenl of Foreign Policy Objectiws 0 H International Agricultural Research Organj-

M04 - CONTRACTGRANT TYPE

o O MOA (BOA BMA etc)

o I Fixed Price (Specify fFP FPRD FPEPA FPI) _____ _

(gtIDPR 7-31 OJ SO(b)(7raquo

OK B(a)5eJection (FPR 1middot1713-1)

o L Grant iH1ndlOok 13)

o M Do Nol Ue

D 2 Cosl Reimburemenl (S~cil) CR CPFF 0 N Cooperative t~reement (Handbook 13)

CS CPAF CPIF) ~ 0 O Small Business SeImiddotAside (FPR 1middot1706-8)

o l Cooperative Agreemenl ~ 0 1 Overseas Procuring AClivilies (AIDPR

04 Grant Gener31 Supportmiddot 0U ~ 7lIOI-SC(b)(2))

o S Granl - Specific Support ~ ~06 E SER VICE

g ~ ~~t ~~(d) ~~ ~~ ~ eci~a~~~~~ogram Projeci

o amp IQCs ~ ~ relampted excepi A amp E Services)

o 9 Host Counlry ContraclGrnnt 5lJ C amp E Services

middotComplele ONLY through ~Sl ~~ 0 D Construction

M05 SELECTION PROCEDURES 0 E- Reseuch

o A Formally 3dverliscd (IFB) (A1DPR 7middot24 amp

FPR 1middot24) ~ o B Negoli3ted Price Compelilicn Gencr31

Procedure (RFP) (-JDPR 7456)

Dc A amp E (AIDPR 7410)

0 D Ed Inst andor Inl1 R~arch (-JDPR

74 5)

o E Collaboratoe Assisunce (IDPR 7458)

C F Predominant Capability (IOPR

73IOI-50(b)(l)

AID 1420-49 (179) - Page I

D F Technical Services to AID (other than trainmiddot

ing usually o~ating expense)

D G jraining SetVice for AID

o H Equipment Materi3J~ Supplies Commodities

D I Translation Service

~07middot TYPE CONTRACTORGRA-nEE

o A Firmmiddot AU profil-rn3king fUms (other than

Aamp E)

J e A amp E 8r~

zalion

o Public Inlmlational Organizations (UN

Agencies ICRC Wocld Bank elc)

(H8 J 3 Chapt~ S)

M08- TYPE AW~RD

o A S8 Sel-Aside - Awarded to Non-Minority

o B S8 Set-Asidemiddot Awarded to MinXity

o C_ S8 NOI Set-Aside - Awarded to Non-Minority

o D S8 NOI SeImiddotAsidemiddot Awarded 10 Minority

o Eo amp(a) S8A Awarded to Non-Minority (Womerl-

Owned Veterans etc)

o F 8(a) S8A Awarded 10 MinorilY

o G Personal Sen-ice ConlrdCt bull Non-Minority

o H IeJSDnal Service Conlract - MinorIty

o I Individual NonmiddotPersonal Service Contraci -

NonmiddotMinority

o J 100Jigtiduai NonmiddotPersonal Service Contracl -

Minorily

o K NOI Small Business (Univ NonmiddotProfit Large

Firms) Non-Minorily

o L- NOI Small 8usineSl (Univ Non-Profit Large

Firms) Minorily

o M US Govcrnmlnt

(Connnued on Page 2)

BEST AVLABIE DOCUMENT 1 I

--

ua ) R I GI NAL 9 bull

MODIFICATION or GRANT PAGE 1 of 2

AH 1 2 Effective Date 3 Grant No 4 Effective Date

Amend_at Ro 5 April 15 1981 AIDCSD- 3294 8-11-71

-s CRANTEE (Name and Addrea) 6 Administered by -Professor Gerhard Loewenberg -Office of Contract Management Cbrnparative Legislative Research Gente Central Operations Division Dept of Political Science am Branch University of Iowa Agency for International Developn~nt Iowa City Iowa 52240 Washington D C 20523

7 PIO No 930-0090- 3013411 A5 8 Previous PlOTa -

Appropriation No 72-11110216 93i-1l-995-l36 930-11-995-136-73-3078103

Allotment Symbol - 146-30-099-00-20-11 wunt Obliga ted by this ~ndrnent - $10397

The above numbered Grant is hereby modified as follows

1 Anotmt obligated prior to this rurendment 2 Amount obligated by this amendment 3 Total obligated anount (1 amp 2)

Delete the amJmt $465000 and substitute in lieu thereof the ammnt I$47S 39-7 ~

FUNDS AVAIrABm

~~ - APR 13 1981

PrO~A~~5iors

$465000 $ 10397 $475397

OffiCE Of fIN~(1 ~~rE~E~T __ _ 10 This amendment 11 entered into puruant to the authority of the Forelgn

Assistance Act of lS~l as amended Except aft hereln provided all terms and ~~ndi~ons nf the grant rcferpnccd in Block 13 remain unchsnged and in full force and ~ffcct

11 original and six Crantee 18 requlred to aign thh document aad return 1- eopics to issuing

ffiee

~~~ or printed) BUSINESS MAHAGR amp bull

Tille TREASURER

UNITpound) STATES OF AHERICA AGENCY FOR INTERNATIONAL DEVELO~NT

BY_-1(1o-_1lt--= 13middot~_1_~ __ K R B1uteau

(Name typed or printed)

Tltle~ ____ G_r_a_n_t __ O_f_f1_c_e_r ____________ __

D3tC APR 2 J 7997 Dolt 9 APq 1981

BEST AVAILABLE DOCUM NT ___ 0 HLGlNAL - I 1 J 1 ~ )

- 2 -

AID ftmds in the am)tmt of $10397 are hereby provided for the activities lmich are described in your proposal (including Budget Stnmnary) entitled CDnference to Report Research Findings on the Study of Political CDnditions for Effective Small-Scale Rural Assistance Projects in Kenya Korea and Turkey dated February 17 1981 and made a part of the Grant b reference

BtTDGET StMMARY

Line Item

Travel

Per Diem

Other Direct Costs

Less existing 211 (d) grant funds

Total Amount Obligated by this Amendment

Estimated Costs

$ 5888

5100

_ 2500 $13488

_ 3091

$lO39

Note Indirect costs or $395086 associated with these activities will be contributed by the University of Iowa

BEST AVAILABLE DOCUMENT

~RIGINAL

- CONTRACT IGRANTCOOPERA rIVE AGRElEMI~ SERC~SDSlP Actio) Monitor

SERCMSDSUP Action Office

I

INSTRUCTIONS AJDW - Complete 4 copit of tlh fonnmiddot Orisina iCMSDfSUP Sutistical Section COP)middot Copy 2 SERCMSDjSVP Administrative CoP Copy 3 Cont-acting Officers COP) Copy 4middot SOSUP Admin (Susptnse) Copy Missionsmiddot Complete 2 copies of the form or~aI SERCtSDSUP Statistical Section Copy and Copy = wiU~ retained in the Missions

0 PART IA

Effective Date of Document tJ

Delivery Order (Requirements)middot

o 4 Purcluse Order

bull If I 2 or 3 have an bull X compl~te M I 2 ON L Y

M04 - CONTRACTGRANT TYPE

o O MOA (BOA BMA etc)

o 1 Fixed Price (Specify FFP FPRD FPEP FPI) ___ _

o 2 COli Reimbursement (S~cifY CR CPFF CS CPAF CPIF) ______ _

o 3 Cooperative Agreement

o 4 Grantmiddot General Support

o S Grantmiddot Specifi Support

o 6 GraDt 21 led)middot

o 7 Do Not Use

o amp IQCs

o 9 Host Country ContractGrant

middotComplete ONLY through M 5 1

MOS SELECTION PROCEDURES

o A Formally advertised (IFB)(AJDPR 7middot24 amp

FPR 124)

o B Negotiated Prire Competition General

Procedure (RFP) (AIDPR 7456)

o Co A amp E (AlDPR 4 I 0)

o D Ed Ins andor Intl ReStalch (UDPR

7457)

o E Collaborative ASSistance (AIDPR 7458)

o F Predominant Capability (AIDPR

7-310l-50o)(3)

AID 142049 (1-79)middot Page J

o H Procurement Co be Performed b~ the Conshy

tra~tor in Person (AlDPR

7middot3t OI-SO(b)(Iraquo

o I Sole 5gturce (AIDPR 7middot3101middotSO(b)(4raquo

o J Impairment of Foreign Policy Objecdv~

(AIDPR 7middot310 ImiddotSO(b)(7raquo

o K 8(a) Selection (FPR 1middot1713-t)

o L Grant (Handbook J 3)

o M Do Not Vse

o N Cooperative Agreement (Handbook 13)

o O Small Business SetmiddotAside (FPR 11706-8)

o P Overseas Procuring Activities (AIDPR

7middot3101middotSO(b)(2raquo

M06middot TYPE SER VICE

o A TtJining of Participants

o B Technical Assistmce (Program Project

related exc~pt A amp E Services)

J C A amp E Services

0 D COltl~ruction

0 E Research

0 F Technical Services to AID (other than trainmiddot

ing usuaU Y operating ex pense)

0 G Training Service few AID

0 H Equipment Mat~rials Supplie~ Commodities

0 I Translation Service

07middot TYPE CONTRACTORGR TEE

Firmmiddot All profitmiddotmaking fu-r1s (other than

AampE)

o 9 amp E Firms

I Prcct NumbcT

I

Contactors D-U-N-S Numbcr

I) -S--f(j

o C Individual 0-lon-~rsora1 service)

o D Individual (Pet-sonal Service)

o E University lOt her EduCltionaJ Institutions

o F Non-Profit Organization Institutions (other

than Ed or PVO)

o G Private Voiuntary Organization (PVO)

o H International AgricultwaJ Research Organmiddot zation

o I Public International Organizadon~ (UN

Agencies ICRC ewld B3J1k etc)

(HB J 3 Chapter 5)

M08middot TYPE AWARD

o A SB SeImiddotAsidemiddot Awarded to Non-Minority

o B SB SetmiddotAside bull Awarded to Minority

o C SB Not SetmiddotAside - Awarded to Non-Minoril)i

o D SB Not SetmiddotAside - Awarded to Minority

o E ~a) SBA Awarded to Non-Minewity (Womeli

Owned Veterans etc)

o F 8(a) SBA w-rded 1o Minority

o G Personal Service Contractmiddot Non-Minority

o ~ Personal Service Contnct - Minority

o I Individual Non-Personal Sence Contractmiddot

NonmiddotMinority

o J Individual Non-Personal Service Contractmiddot

Minority

o K Not Small Business (Univ Non-Profit L1lge

Firms) --vn-Minority

o L Not Small BUSiness (Univ NonmiddotProfit Large

Firms) ~inoriy

o M VS Government

(Continued on Pcge 2i

t bull - t ~ J f q

ORIGINAL bull MODIFICATION OF GRANT

1 2 Effective Date

Araendllent Ro 4 12-2-80

s CRANTEE CHace and Addrels) Professor Ger1ard Lo~middot enbelg Comparative Legislative Research Deartment of Political Science The Lnivp-rsity of Iowa Iowa City Io~a 52240

7 PIO No NI A

Appropriation No 72-11XHl26

Center

Allotment Symbol -426-30-099-00-3~-71 Amount obligated by this urendment-O- I

3 Gnnt No

AIDcsd-3294

PAGE _____ 1 _of-L

AlI 4 Effective Date

8-11-71

~ Admlnlltered by -Office of Contract Management Central Operations Division OTR Branch Agency for International Development Washington DC 20523

8 Previous PIOITs -

931-11-995-136 930-11-995-136-73-3078103

9 The above numbered Grant is hereby modified as follows

Supplement to Grant

Change the duration period sentence to read

The Duration Period for this Grant shall be August 11 1971 through December 31 198]

1 Amount obligated prior to this amendment $465000 2 A~unt obligated by this amendment -0-3 Total obligated amount (1amp2) $465000

----------------_- - ------- ----_- ------ 10 Thh lImcndmcnt is entered inlo punuant to the authority of the Foreign

~ Assistance Act of 1961 86 amended Except a~ h~reln Z II provided all terms and condi tions nf the grant referenced in Block 3 remain ~~aunchlinged and In fu1l force and effNt cnltUI cJ)za 11 o 4 J bull

Et~ ai~a gtUoItshyc Z P=u

original and six Grantee t requi red to sign this document and return 1- eopies to 1Bufng

office

~ 12 GRANTEE TES OF AMERI CA

(Name typed or printed) bull

TJlle Director Comparative Legislative liecearell CeQtoQl

Date 12880

------------------------------------

ONAL DEVELOPMENT

By ----~--~~~~---------------------

prinled)

Grant Officer Title --------------------------------

J)oll( 12-2-80 -----------------------------

BEST AVAILBLE DOCUMENT i je

Page 24: PD-Ar3T Cr(~

d bull

srjmiddot (~~ jjXilO

IO

rmiddotmiddot ~middotmiddotrl f)~~ 7 middot 1 ~A~~ middot1 rmiddot middot~ rt bull middot bull bullbull I ~ i bull bull ~ middotv- middot bullbull ~ I

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BEST AVAILABLE DOCUMENT

(C

Dr Willa~d l Boyd Presicient University of Ima iowa City Iowa 52242

Dear Dr Boyd

4 AUG 1977

amp

FIJNDS AVAnASLe CpoundNrftAamp sEIMCEs DMsON

AUG11 ~n te t6417 ~77

Subject bull Supplsectferit-tJF-G~middotNomiddot~middot AIOcsd-3294

t middot-rrPJ1 3

I am pleased to inform you that pursuant to th~ auth~rity contained in

S-cction 211 (d) ooC the Foreign Assistance Act of 1961 as amended a sup

plemental grant in the amount of $200000 is h~reby r~de to University

of rCi1a These supplement]l grant funds areprolided to support the

activities which are described in your Proposal dated May 6 1977 for

the implementation of your program entitled Political Conditions for i

Effective Small-Scale Rural Assistant Projects

---This sup~lemental grant is mace to University of Iowa en condition that

yo~r institution shall administer the funas provided under this Grant fn

accordance lith your r~ay 6 197 proposal (including Budget SUmlilary) and

the Standard Provisions (as incorporated by Amendment No 1) which have

been agreed to by your instit1ltion Ti) the extent of an inconsistency

between the Proposal and the Standard Provisions and any otherprovisfons

which ar~ made a part of thi5 Giant by reference or other~iSe the Sta~d~

ard Provisions shall control

The new Duration Period for this Grant shall beAugust 11 1971 through

August 10 1979

The total amount of funds obligated under the grant is increased to reflect

a new total oblgated amount of $465000

Please sign the Statement of Assurance or Compliance ana the origfnal -

and seven (7) copies of this letter to acknowledge your understanding of

the conditions under which these funds have been granted Please return

the Statement of Assurance of Compliance and the original and six (6)

copies of this supplemental Grant to the Office of Contract Management

Attachment May 6 1977 Proposal and Budget SUfiT1a ry

UNIVERSITY OF IOWA

Roberw bull OBrien fficer

Ce al Operations Division Office of Contract Management

AC~E~E~C--_ 0 BYpoundk~~ cH

D C ~lpoundSTtR5BA T ITL E ( PfeampoidPilt for

tee ment amp Research DATE 9-22 -77 (d~ ~~Bduate Ctl~1e~e

BES i AvAILdLt UOCLJMU~ I

211(d) Grant Program

Proposal of the University of Iowa

POLITICAL CONDITIO~S FOR EFFECTIVE SMALL-SCALE

RURAL ASSISTA~CE PROJECTS

Submitt~Ci to

Civic Participation Division AID

May 6 1977

Amount requeste~ $ 199987

BEST AVAILABLE DOCUMENT

I TdE DEVEIOP~T PROBr~

P~litical Conditions for Rural Development

The Cocparative Legislative R~search Center of the University of

Iowa proposes to ~~dartake a two-year study to investigate the role of local

leaders and the rural public in theimplecentation of small-scale develop~ent

1 projects in less developed countries The study will use and extend the

capacity ~hich the University of Iowa developed under a 211(d) grant to

investigate and assess the impact of loeal politics on rural development

~t the co~pletion of the s~ Iowa will be in aposition to advise the

Agency on the design ~nd evaluation of s~ll-scale projects which will be

politically viabe a~d effective in ass~sting the rural poor ~

As students of development w~ approach our task with the assumption

that the proble~ of development and underdevelopment are funda~entally

ones of political econooy and a~ such can only be solved through a

simultaneous considerationof economic and political factors Efforts

which foc~s aloost solely on economic factors like those of ma~y

organizations engzed in dipersing foreign aid or efforts which focus

almost exclasively on political factors fail to take account of the

interdependence between these two dimensions of underdevelopment and

lwe have for~ulated this proposal in a canner consistent witr the cu~rent policies ard interests of the Agency We have been guided in our tsk by four Age~cy doc~e~ts Impleo~~tation of New Directions in Developnent Assista~c~~~ ~eport to the COmlittee on International Relations on Ilupleoenshytatiun of Legislative Refo~ in the Foreign Assistance Act of 1973 (July 1975) rItevis~d Projec Developiel Review and Approval Systeo (A I DL Circular A-21 Aril 23 1975) SH Butterfield Draft SUIilZ3ry StateUlent of a Practical Agelcy Approach c aural Devalopilelt (AATA February 28 1975) Cicci A Coce~ual Oie=viamiddot middot Rural Development No1 (lWorilting GOU O~ tha Rural Poor February 1975)

- l -

can meec with only l~ted success

Our concern with the i=pact of local politics on the process of

rural developcent is a result of our interest in the basic question of

how LDC governm~nts and the donor agencies which assist them can

become core effective in raising the standard of living of the rural

poor We seek answers to the following aspects of that basic question

1) What political conditions must exist both within rural communities

and between theo and central gove~ents to raise agricultural production

w~ere small-scale agriculture is the do~nant pattern 2) Vnat are the

political conditions for a core rapid expansion of the informal manufacturing

and service sector cocprised of labor intensive small-scale industries

located in the rural ar s 3) What political structures and activities

are mase crucial for the provision of welfare and econocic supporc services--

such as agricultural exeension mar~eting and transportation--to the rural

areas1 4) ~~at Folitical conditions oust exist to insure that economic

growth in the rural areas is not accowpanied by excessive and intolerable

inequalities between socio-economic classes andor between regions1

Center-Periphery Linkage in LDCs

To deter~ne the political conditions for rural development we have

in previo~s s~udies exacined the institutions and processes through which

rural populaticns are integrated i1to the national politi-cal systetlS of

middot~he countries in which they live A gap exis~s in most less developed

countries bet~een the peasantry residing on the periphery and the c~~tral

political ~stiutions staffe1 by ~~estern-educated bureaucratic elite

We are aware of the other major ~sti~utional discontinuities which comprise

J

4 middot~~1 the basic cleavage between the developed and underdewmiddoteloped sectors of

these dual societies Bridging these gaps is essential if these so~ieties ~ are to develop into viable nation states For until those Q~ the periphery

of the poli~ical syste~ participate in that system and support and comply

with the authority of central political institutions neither economic

development in ~he rural areas nor a stable polity will emerge

Bridging the discontinuities in these new political systems requires

establishing and institutionalizin3middot1inkages or networks for co~unication

and exchange of resources between decision-makers at the center and the

rural public on the periphery Three types of institutional linkages are

most prominent in less developed countries 1) those conSisting of the

state administration composed of the bureaucratice1ite 2) those consisting

of a revolutioncry political party cocposed of the ideological elite

3) and those conSisting of patron-client hierarchies composed of the political

entrepreneurial elite

Of these three linkages consisting of the state administration are

the cst extensive and pervasive in virtua~ly every LOC Such linkages

however exist primarily a~ instruwents of the center to penetrate the

periphery Central government officials are formally charged with bringing

develo~ent to the people This is a ~issi~n which conceives development

as a process ~hrough which a traditional peasantry is transformed and

assimilated iJro the DOdern center which is steadily expanding to embrace

it Agents of the center invariably have more resources to achieve their

objectives than do local political leaders but because they are frequently

strangers~ the communities in which they function they are often unable

- It -

co implement the policies of the center without working through the

local establis~ent

Though somctices significant linkages consist~g of revolutionary

party organizati~ns such as those found in China and Vietnam do not exist -

in most IDCs beca1Se of the special historical and e~omic conditions

required for their development As wi~h the administrative state however

the linkaampe apparatus of such political patties is prUlarily an instrument

of the center whose mission is to penetrate and mobilize those onthe

periphery

In contrast patron-client hierarchies are linkages which represent

the periphery at the center and mediate betwee~ these two disparate

sectors of the political systec Thcugh norcallymiddotovershadowed in scale

by the state administration patron-client hierarchies are found in almost

~very LDC a~d constitute the ~st significant network through which rural i

populations and their leaders influence the decision-~king process at

the center Patron-client hierarchies exist in a wide variety of org~iza-

tional fores ranging from info~ ~ec~~rks of individual olitical leaders

in uno-partyll systelS in S~b-SaharaI4 Africa to extensive political machines

in both one-p~rty (Africa Mexico) and ~u1ti-party systems (Turkey India)

Despite their importance as the pricary means through which peasants in

LDCs particiate in their political systems patron-client hi~rarchies

have only recently become an object of analysis by students of political

developent and do not appear in even the most sophisticated studies of

2 See Jo~ Dunca owell Peasant Socie~y and Clientelist Politics Aerican Politi~ Scielce Revietol 64 (June 1970) pp 411-25 Rene Lemarchand anc_ Keith Legg olitical ClienteliSJ and Ethnicity in Tropical Africa Aierican Political Sc~ecce ReView 66 (Y~rch 1972) pp 68-90 James C Scott PatronshyClient Politics a~d Political Change II 1tlerican Political Science Revie~ 66 (~arch 1972) p 91-113 and Friends Followers and Factiols bull edited by Steffan Sc~~d and James C Scott (Berkeley UniverSity of California Press 1977) bull

- 5 -

3 economic development Ad~niscrators of developmental assistance progracs

have too often regarded patron-clienc hierarchies as ~ped~ents to

develop~ent instead of recognizing cheir potential utility bull

~ Findings on Patron-Client Hierar~hies --

The importance of pat~on-clienc hierarchies for linking the periphery

to the center is one of the major findings ~erging from a study of the

relationships betueen l~gislators an~ their constituents in Kenya Korea

and Turkey ~hich the Cowparative Legislative Research Centpr is nov

comleting uader its 21l(d) grant from AID This study has av~mined the

creation of linkages between the periphery and the center through ~ore

than lO~OOO interviews with members of parl~ent local leaders and

peasants in t~e three countries The findings are being systewatically

set out in a book-length monograph Nearly a dozen research reports have -

uready appeared (see Appendix C) ipropositions about the nature of

political behavior of rural populations an~ the roles of local political

elites de=ived from the research~ can be s~rized as follows

1 Elected representa~ives play a significant role in the creation and mainte~ance of linkages be~een the center and periphery by developing local political achines in which they function as patrons of their constituents In turn thay s~rve as clients of political leaders of national stature who control central government institutions

2 By atte~pting to establish linkages based on patron-client relatio~shi~s elect~d representatives are responding to public expectations chat their prizary duy is to obtain resources from the center to proffiote local develop~ent ~iany elected repLesentatives spend most of their time on self-help co==unity development projects such 3S the building of schools health clinics irrigation works arid roads because such projects provide

3For exa~le ~ a widely respec~ed a~d useful analysis of rural deve16p~ent in Sub-Sahara~ Africa L~ Lele of the World Bank notes the problems of creating an adoini5~raive infrastructure in the rural areas that is sensitive to local socio-oliical conditions She does not however consider how local leaders operating o~tside of adcinistrative structures ~ night contribute to the developne~t 0 the rural areas See ~~ Lele ~ Design ~ Rural Develop~ent Lessons ~ Africa (Balt~re The Johns HopkiD~ Uciversity Press 1975) r) pp 127-61 i ~

- 6 -

their const~tuents with desired se~ices ~~d a= the sa~e time provide the reresentatives with an orgacization Yhicn can be used as a political base

3 l-tore than 90 perCel1t of the rural population is capable of articulating the p~oblems facing their local co~~ity and two-thirds discuss th~e proble~ w~th their fellow citizens on a regular basis

4 Three-q~rters of the residents of the rural areas can identify the public ofpoundici~s who serve thec--both civil servants and elected represcrtatives--by na~e Most are knowledgeable about the activities of these officials Alcost one-fifth coreover have discussed co~~~ity probl~ ~ith these officials particularly those working at the grassshyroots level Residents of rural villages actually have a higher level of political knowledge than their counterparts in the towns

5 Elections in the rural areas evoke a highly rational attern of voti~g despite the effects of ascriptive or traditional co~siderations Inc~ens are pri~rily evaluated in terms of their record in fulfilling the public r S elpectations of what they should do Elections are essentially referenda on inc~entsr perfo~ce especially their perforwance in the area of constituency servi~es such as bringing development projects to the districts bull

6 Local developcent projects have a relatively high s~olic value generating conscitutency support for local leaders and the central government at low cost

7 These projects help huild a local political infra-structure which can also be utilizec by central govern~nt civil servants to implement other policies designed to achieve rural develop~ent bull

The Icpac~ of Local Politics on Rural Projects

Having explored the developtent of linkages through which the periphery

is represented at che ~enter and through which the periphe~ attemp~s to

share in the ceners resources we now propose to build upon our initial

investigations by e~ing in greater detail the impact of local political

conditions on specific problecs of rural develop~ent We propose to

exacine the develop~ental activities of local leaders ~nd the rural public

by eX2~Ding a saple ot fifteen to twenty smalL~scale developwent projects

in each of ~he three countries which constituted the sites for our initial

8ESI AVAILABLE DOCUMENT 1 ~ - of

- 7 -

study of center-perhiphary relations The appropriateaess of this approach

and the ~ethodology through which it will be ip~emented is discussed in

section II Because the ~ethodology of investigation is in large part

the result of our previous research experience we fizst turn to a revieW

of the existinQ __ ~petence of the Comparative Legislative Research Center

in this area

II GRAXTEES EXISTIXG CmET~CE

In 1971 the University of Iowa received a 211(d) grant to develop

its capacity to do research on the role of elected represent~tives in

the process of modernization On the b~sis of this grant the University

established a research center which planned and carried out a research

project on the role of elected reres~~tatives as links between the central

gove~ent and rural populations in K~ya Korea and Turkey The project -i

served to develop t~e University of Iowas research capability in this

field esa~lished ties between the University and scholars in the bost

countries and generated a large and uniqu~ body of relevant data

In that project we fo~ussed our attention on tbe activities of elected

representatives in their constituencies notably in their contacts with

local political leaders voters and civil servants To determine tbe

nature of the linkage function performed by tbe representatives we

designed our research to explore the subject from three perspectives

1) we eXaojned ~~a ~ubject at tbe grass roots by conducting a series of

sample surveys of 200 to 300 adults in each of 12 to 14 parliamentary

constituencies in each cf th~6three countries 2) we examined the subject

at the center by intervie -ing MIls from the constituencies in which we

had conducted S3mple surveys ~nd higher civil servants with whom they

had contact and 3) ~e ex~~ined the subject from an inter-~diate level

by identifying aud ~terviewing local social and political leaders in

the MPs constituencies We used survey research methods because we

were embarking on the study of an entir~ly new subject for which little

relevant docu=e~tary data existed and on which there were few secondary

sources As a result ~e have unparalleled experience with survey

research in the rural areas of less develo~ed countries

The surveys which constituted the cajor part of our field work were

planned in collaboration ~~th scholars from the host countries They were

carried out in each constituency by student interviewers in the appropriate

language ~re than 10000 respo~dents were inteDViewed for the project

Given the visibility and sensitivity of this undertaking approval for

the research was sought and obtained from the host governments prior to -i

the collec~ion of data ~o objections were raised by these governments

at any stage of the research The data obtained have been made available

to scholars i~ the host co~cries and some of the basic findings have

been published in periodicdis in these countries

The Comarative Legislative Research Center ~hich ad~nistered the

project has aisO developed extensive experience in the study of political

leadership in other countries It h3s obta~ed substantial support from

the Fo~d Foundacion and the Rockeeller Foundation has worked in

collaboration ~~h European as ~ell as Asian and African scholars and

is engaged in a ajor study of the role of elected and non-elected leaders

in the oanag~~t o~~ocial conflict Because it has conGucted research

in a variey of setlngs the Center has an ~ceptional capacity to

- 9 -

determine how the relationships be~een political institutions and

economic p=oble75 differ in develoPed and less developed countries

In the course of the major research projects the Center has administered

it has gained highly specializpd ~p-i ce iI identifying 1Olitical leaders

in a great variety of settings conducting systematic interviews with

them collaborating with scholars in the host countries and in coding

and utilizing large files of data to answer specific research questions

The Center has ~lso undertaken to publish the results of its research

in three fores It issues codebooks to the data enabling scholrrs at

other locations to use the data expeditiously i~ publishes research reports - in the form of Occasional Papers and it publishes a scholarly periodical

devoted to the presentation of research findi~gs to an inteIT~tional

audience

The Center utilizes the data ~ysis facilities of the Laboratory

for Political Research of the University of Iowa and drawS on the unusual

n~er of secialists in comparamptive politics and survey research in

~~e Lniversitys Departmen of Political S~ience The Center itself I

has the services of an administrative secretary and a clerk-typist

~intains its~o~cn extensive archives and its o~~ publications program

It is e~uipped to assist scholars and government officials outside the

t~iversity of Io~a The participants in its p~ojects are full-tioe

faculty ~e=bers ~hose undergraduate and graduate teaching is closely

related to their research As part of the teaching program the Center

has attracted students from the countries in which the research projects

have been conducted these students have participated in the projects

bull J

have obtained training in other fields of political science have received

University of Iowa degrees~ and have ret~rned to teach and to do research

in their own countries

III PURPOSE OBJECTIVES AID METHODS

Purpose of Study

The purpose of the proposed grant is to extend the capacity of the

University of Iowa to determine the political conditions in the rural

areas of less developed countries which favor the establis~ent and growth

of small-scale developoent projects ~e objective is to put the University

of Iowa in a position to assist the Agency in designing small-scale rural

developent projects providing guidelines for carrying out social soundness

analyses of such projects and adviSing in the evaluation of projects

We will discuss the utilization of~t~e Universitys capacity in detail in

section IV below

We propose to concentrate our investigations on the political conditions

surrounding s~l-scale ru~al projects Such projects have distinctive

advantages They waximize the political participation of the rural populations

both in det~~-ining the direction ~d implementation of develop~ent efforts

and in defending the interests of periphery vis-~-vis the urban-based

bureaucratic elite S~ll-scale projects stimulate entrereneurial activity

on the part of the rural citizens and growth of the info~l canufacturing

and service sector Tbey require less lead tice and less administrative

c~erhead to ~eco~e operational than large-scale capital-intensive projects

centrally administered Such projects yield rapid and direct benefits to

1

j

the rural

- 11 b - ~~1

populations and are consistentwith their hUIlaD rights--both

political and economic However~ small-s~le projects pose s~ecial probl~s for administratcrs of developceocll assistance progracs because

they require the donor co assess the local olitics particularl the

rural politics of t~e host country

Develop~c adoinistrators pr~rily conc~rned with assisting rural

populations must therefore recognize the range of political variables

affectL~g these projects Small-scale projects offer great opportuoities

for develop~ental assistance progr~ because they can be easily targeted

to help rural populacions require low capital costs and need no be

concentrated in one or two localities Such projects ho~ever~ ~equire

the a~istrator to have ~re political kno~lecge than large-scale

projects Oil which his priJlary tas~ is guiding the work of other experts

Questions for ~Investigation

To detercine the politi~al cc~diicilS ~st conducive to ~he establ~~ent

and gro~h of scalI-scale rural projects ~e propose to address our inquiry

to the following specific questions

1 To what extent and why co local political leaders seek to establish s~~l-scale develop~ent projects within their co~unities

2 To what extent and ~~y do local leaders other than politicians initiate andor provide leadership for s=all-scale developm~t projects

3 Bot do the relations bet~Jeel different types of local leaders (political and non-political) and bet~eeo these leaders and central gove~ent civil servants posted to the rural areas affect the conduct of develop=ent projects

4 How do existing authority ~eLationships between these different leadership grous and the rural pub~ic affect the organization and operation of s~l-scale develop~ent projects

- 12 -

~

5 lhlt is the nature 0 pclgtlic participation in the establishlent and operatio~ of s~l-sclle projects and ~hat are the outcc=es or this participatioe Gucer w~at conditions is such participation ~ost likely to occur

We seek a~swe=s to t~cse questio s L order to determine the effect of

different co~iigurations of local leadership and public participation on the

outcomes or small-scale rural projects te are particular1y concerned with

the ~pact of these configurations on the rate of econocic growth and the

distribution o~ rIGSlth ithin the loal cOlllUlity ~ on the perce~tions of

s~ll-scale proj~cts by central govern~ent per~oncel and the rural public

anmiddot on the organiation or flture projects

To a~swer these que~tions it is oar intention to study the initia~ioD

izJple=enation ald i1lpact of a salple cpound small-scale rural projects in

Kanya Korea and Turley in the sae cOllities in which we carried OU

our initial icvestigations ~ 1973-75 Tne relationships between the -

various conf~gurations of local leadership and public participation and

the three phases of project develop~ant are sho~ in Figure 1 We will

exa=ine projects to pro~ote the adoption of new agricultural techniques

by s~l and moderate landnolders the building of feeder roads irrigation

ditches and other s~ple infrastructure the organization of fa~ers

cooperatives and other local associations concerned with rural development

the establish=ent of rural health clinicS and schools and the setting up

of craft and service industries

Sites for Study

We plan to return to our original set of localities because we possess

a rich body of relevant data on the extent to which linkages exist between

Figure 1

TYPES OF LFLUEXCE OF C2r~ middotGOVER1iEXT OFFCIALS

LoCu LEADERS 0 THE RURAL PUBLI-C OX THRr~

PHASES OF RURAL igtEVELOPHET PROJECTS

r----------~J C~ltral Gover1~nt Official)-N------- - J

r- Local pOlitical leaders

Local non-political leaders

~l 1---- -

ROJECT nITL~TIOS

Influ~ce on selection of projects

InrI ~elce on location of projects

Influence on policy guidelines for proj eCl

Il

I

a

I I

-I PROJECT I~L~~iATIO~ ~ 1

j Project Organizati I Selection of project

leadership

Hobilization of resources

Mobilizatiol of public compliance with project require=elts

Diffusion of project innovation

Rural Public

I

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1 ROJECT IMPACT

Organization of ongoi=g project operation

Distribution of project benefits

Evaluation of project

Public attitudes toward project

-middot14 -

these areas and t~c central p~litical institutions of the three co~tries

and on the attit~es of the rural populacioc local leaders and elected

legislators regardi~g their problecs of develop~~c Since such data

is unavailable for alternative locales a return to the areas in which

we have previously done much research ~ables us to build on a uniquely

valuable body of icformation

A return to Kenya Korea and Turkey is also highly desirable from

the standpoint of effective research organization The Comparative

Legislative Research ~enter has developed close collaborative relationships

with several highly competent social scientists in these countries and

with the academic institutions with which these scholars are associated

We have also dev~_oped cooperative relatio~ships wi~ gove~ent officials

in these countries which should facilicate obtaining approval for our

further work

In proposing to doc~ent the origin i~pl~entation and impact of

one to three s~ll-scale develop=ent projects in each of 35 localities

we have two considerations in mind Firstmiddot because our pr~ry goal is

to deter~e the political conditions for rural developm~Lt we wish to

examine develQ~=ent in as many different settings as feasible Only in

this way can we control for so=e of the major socio-cultural variations

that erist along rural populations in less developed coultries These

include the overall level of econo~c development in the co~unity the

nature of t~e ~digenous culture an~ relationships of authority and the

pro~ty of the comounity to major urban areas and centers of central

gove~nt ad=inistration ~ce our original study sites were carefully

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- 15 - ~ ~1

selected to represent these variations ye have concluded that these

35 localities woule be ideal sites for the propose~project Second~ in order to dete~~~ the ~pact of local leaders and public

participation o~ ~ural projects we intend to compare projects 1n which

local leaders and ~ecbers of the public have played a major ~ole with

projects in which they have not We also ~l cospare projects initiated

by the central gover~ent with projects Yhich have been locally initiated

These considerations give us a typology for selecting projects as depicted

in Figure 2

Figure 2 ~

FIVE TYPES OF RU~AL PROJCTS ACCORDIXG TO ~FLUEXCE OF CEITiW

GOVE~1E~T LOCAL LEADE~ AD RLRAL POULATIO~

Level of Participation by Rural Population

Locus of Project Initiation ~

Local Co=unity Central Governoent

BIGd

LOt

1 Projects initiated by local leaders and providing for participation of the rural ~opulation

4 Proje~ts Litiated by local leaders bu~ not involving participation of the rural population

2 Projects initiated by the Central Govern~ent and administered i~ cooperation with local leaders a~d the rural population

3 Projects initiated by the Central Govemlent and providing =or the participation of the rural population but by-passing local leaders

5 Projects initiated by the Central Gover~e~t a~d administered in cooeration Yith local leaders but not involvi~g parti~ipation of rural population

- 16 -

We recognize that the socio-cultural setting of rural develoment

projects varies significantly within and across less developed countries bull

By focussing o~ a representative sa=ple of localities ~ Ke~ya~ Korea

and Turkey we can take account of naoy~ though not all of these variations

While some of our substantive findings will not be directly generalizable

beyond the countries in which we propose to conduct our study we expect

that our basic ~ethods and fLdLgs will be applicable to national and

sub-national settings elsewhere in the developing world This is partly

d~e to the fact that the hierarchy of patron-client relations ~hich we

regard as a critical factor in rural develo~~t exists in ~ost Liles

--It is also due to the fact that the methodology for identifying local

bull leadership configurations auG poundor studying local politics which we are

perfe~ting can be used to assess local political co~ditions in a large

variety of countries even when the ~nditions themselves differ significantly

Methods of Investigation

The data needed to assess the iDpact of local leaders and mass

participaticn on rural dev~lop~nt fall into two categories Some a~e

contained among the data gathered for the research project we are currently

completing Others will require additional field research

The following data are already in hand

1 Data on the social landscape of each loc~l co~nity i~cluding aggregate data o~ level of econonic development de~graphic characteristics political pa=ticiation eth~ic loyalities and rates of socio-econocic change dur~g the past decade bull

2 Identity of local leaders including both political and I-on-political leaders and both legislators and other politicians

3 Perceptions of existiag probl~ and their possible solution a~ng

l)tS r AVAilABLE DOCUMENT

- 17 -

general public local leaders and civil serv~nts

4 Level of political kno~ledge among local citizens and local political leacers

5 Political and social values a~ong local ci~izecs and local political leaders

6 E~~ectacions of leadership roles among the local public and elected and non-elected leaders

7 Patterns of co~unication ~ong local leaders and between local leaders and the central gove~e~t

These data ~hich ~e already have in hand can be subjected to analyses

which ~~ll provida the foundation for our further work on rural develop~ent

projects A part of our work therefore will consist of fu~ther analyses

of existing data

New data of the following kinds are also required

1 Doc~entary data on the origin and evolution of particular smallshyscale develop~cnt projects in the rural areas

-2 Data on project costs boih ~itial invest=ent and recurring

operating costs and data on project ou~puts ie pupils in schools Ddles of road coopleted nl~ber of hospital a~ssions production of factory agricultural productivity

3 Data on project organizatio~ n~~r of local inha~itants participating in establis~~ent of projectt nuober of local L~habitants subsequently involved in project

4 Data-on the pe-cetion of projects by local leaders emers of the local public a~d by civil servants data on the perception of how each project ~as initiatec organized who benefitted and what its future implicatio~s are

These types of data will requ~re field work involv~~g both docucentary research

at the relevant ~istries of the central government and in local goverr~nt

authoritieS and inforoal open-ended interviews with local political leaders

elected representatives and other local leaders who~ we had previously ~

interviewed in a s=uctured syste=atic =aoner

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Grant Organizatio~ and T~etable

We propose co undertake the research outlLled above beginning in the

fall se=ester 1977 Dur~g that te~ Professors Barkan and Kim as

principal investio~tors for the neo1 proj ect will contact their collaborators

in the host co~~tries They ~~ll also seek the collaboration of an additional

~rican scholar specializing in rural development with the aic of getting

additional advice on sources of data and suitable indicators for the

~easure=~~t of rural develop~ent projects

At the end of the fall seQester Professors Barkan and Kim will make

a trip to their research sites to disc~s details of the research organization

with their collaborators in the host countries and to recruit student

assistants Tney will devote the spring te~ 1978 to further analysis

of a~sting data at the University of Iowa

The gathering of additional dita L~ the field will begin in the s~er

of 1978 Professors Barkan and Kio will direct this work personally We

eAect that its coopletion ~~ll require three to six months This work ~1

involve the evaluation of central and local gove~ent reports on the

projects uncer investigation extensive on-site observations of the projects

and oen-e~ded interviews with the principal participants Our principal

respondents ~i1l be the local leaders and elected representatives we

have previously identified in the localities in which we have worked and

a sacple of active participants in the particular dpvelopment projects

being studied ~~ere necessary and apropriate surveys of the general

public will be uncertaken to assess the inpact of a given project on the

rural por)r We do not however leed 0 conduct systeAlatic sample surveys

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- lY -

of the rur~l population as We did in 1974

In the organization of this research project we intend to reconstruct

the rese~rch tea=s ~e e=ployed during 1973-75 We shall again seek the

co11abo=~tion of P~ofessor Sc~~S-7o~g Pai of Seoul National University ~

Professor IIiCr Turan of the University of Istanbul and Professor John J

Ok~u of the U~iversity of ~arto~ S~ilarly w~ contemplate directing

the field research fro~ he same acade~ic research organizations we previously

used Seoul National U~ive~sity th~ ~~iversity of Istanbul and the

Insti~ute for Develop~eut S~udies University of Nairobi As before we

will tra~ students f~oo these institutions to serve as interviewers

The analysis of the open-ended intervie~s and of docUQentatio~ on

I ~ural develop=e~t projects will be a ~ore t~e-co~s~g process than the

analysis of closed intervie~s It will reqrire a high cotnittl~t of time

fron the principal investigators )e e--pec to hold a conference at the i

U~iversi~y of Iowa 3lO1g all the principal )clticipa~ts in the resea~ch

project d~=~g t~e spr~g 1979 to evalua~~ the newly collected data

le e~ pect to be able to vr-ite reports of t~ results during the Sl1~er 1979

(see Figre 3)

IV LlX-GS ~1) U~ILIZATIO~

At the e~d of the grant period the Uti ersity of Iowa will be able to

1) advise the Agalcy 01 the design of s~l-scale rural projects to assist

the rural poor 2) provide guidelines for social soundness analysiS of

small-scale projects for the rural areas of U)Cs 3) consult w~th the

Ag~tcy 01 the evaluatiol of rural projects ~d 4) provide LDe governments

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)ATES

~lll

1977

~inter 1977

iprilg 1978

il mer 1978

~all

1978

ipr~ng

1979

Imiddoter 1979

University vf Iowa

Plutlning of rural develo~rent project

Barkan Kil

Alalysis of existing data

Barkan Kia

Data processing

3arkan Kin

1

I

- 4 -

Figura 3

GRAT TLfETABLE

SIT E S

Kenya Korea Turkey

Preparation of field research ural developH~lt project cOlisulta~io~ a research sites

BarkanOku=u Ki~Pai Tura~rkanKi~

Preparation of field resea-ch

Tural

Field research on rural cevelop~~t projects Bar~lOk~u Ki=Pai Turan

Co=pletion of Co=pletion of field resear~~I~ fiald researcr

Ok~u i Pai bull

f Coopletion of field research

Turan

Data analysis conference a~ong all princial i~vestigators at Un~versity of Iowa Barkan Kil Oku=u Pai Turan

Co=letiol of r~ral develop~ent

project

3arkan Kiz

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I

- LL -

~ith speciali~cs o~ ru~al developcect ~mong their own citizens ~ho ha_

partcipatcd ~s collaborators in the Iowa projects

In the proposed project we Will test a series of hypotheses cOlcerning

the political cOllditions of rural develo=ent which run counter to CODOn

assuoptions conccrnir3 t~~ influence of rural politics on project effectiveness

As a result ~e ~dll be able to assist the Agency in designing and evaluating

such projects froe the point of V~~W 0 their political viability The

hypotheses We will test sugges~ t~at the patron-clie~t relations existing

in the local politics of zost LDCs are not necessarily i~pedients to rural

develop~ent but are aspects or the political structure which cal be used to

facilitate s~ll-scale ru=~ projects which will raise the standards of

living of _ ~ rral pomlation - As ~ result or our stuey we expect to be

able to P~-O~t the local leadership confi5~rations ~4d the relationships

between local leaders ald rural poclations ~nich are oost conducive to I

successful develcp=en efforts We believe that we will be agtle to perfect

a cat~odology for identifying the political conditions for rural develop~ent

one ~hich is transferable pound~oo the countries we have specialized in to

other LDCs

We proo~ to develop specific guidelines to assist administrators

charged with selecting evaluating and =onito~ing rural develop~ent

projects to ~szess t~esc rojects in tares of their-social and political

viability he outco~e of such projects is dete~ned not only by the

efrectiv~nass ~~=h ~hich they use scarce econo~c resources but by the

~~er L~ w=ich they e~gage the suppprt of local leaders and rural

po~ulatiocs~ by thei= effect ou social a~d econo~c equality ~d by

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- 22 -

their consequences for hwan rights ~Je plan to establish criteria by

middot~hic~ the probable outco~es of projects in these social terms can be

anticipatec

The study ~e propo e will be undertltlken by faculty at the Cniversicy

of lowe in collaboration with faculty a other ~rican institutions and

institutions in the host countries We will build on the extensive contacts

between the Co~perative Legislative Research Center of the ~niversity of

Iowa end other instituions with ~aich ~e have worked One =ajor result

of our collaborative study will be the existence of a net~ork of compe~ent

scholars both in this country and overseas experi~lced in ~orking together~

shar~g a co~on teaching and training experience i~ close contact throu~~ the

effective publications progr~ developed by the Co~parative Legislative Research

Center T~e e~~ertise of this group of individuals will be ava~lable to

oteer scholars to the Agency and ~o L~C governments for specific policy

advice The eXertise developed as a consequence of this project will

extend beyond the ~tionals of the countries ~volved since the univ~sities

engaged in ~e project attrtct stude~ts fro outside heir own countries

For ey~=ple the teaching ~d research progra in the Depar~ent of Political

Science 0 theUniversity of Istanbul heavily affected by the participation

of its facul~y ~e=bers and graduate students in our projects attracts students

throughout the ~middot1iddle East for Whom the University of Istanbul is the iajor

institution ~pound ~igher education in the region rne Institute for Developmen~

Studies is si=ilarly a focal point for students and faculty in East and

Central Africa Seoul ~atiocal Unive=sity attracts students froo other

Asia~ co~tries~ In this way the capability developed among the participant$

BEST AVAIL~BLE DOrUMENT

- ) -

in our work is diffused widely To the exte~ that the abili~y to assess

rural develop~ent p~ojects in teres of their social soundness is increased

both in the United States and in ~o~~tries r~ceiving develop=en~ assistance

the cap3~ity of racipien~ countr~es to absorb aid is ~creased

We propose to draw up an inventory of personnel available in ~~e

Cnited States and in other co~~tries who are able to consult with developen~

a~nistrators on the design of rural development projects and on their

evaluation We ~~ll draw first of ai~ on individuals w~o have been

directly associated with our ~ork in the past or on ~he proposed project

and ex~~~d the list to include graduate students and gove~ent officials

with who~ these individuals have wor~d

tole Yill utilize tha existing publication program of the Center

dercribed above to disse~inate our findings The Center has specialized

oailing lists of interested individuals and institutions in all parts of -i

the world and its reports can trerefore reach the ~st relevant audience

jirec~ly ~d re~~arly

BESl AVAIL~BLE OOCUMENT

CONTRACfjGRANTCOOPERATIVE AGREEMENT DATA SHEET

INSTRUCTIONS fjDW Complete 4 copies of the form Original SERCMSDSUP Statistical Section Copy Copy 2 SERCMSIiUP dministrative Copy opr 1 Contracting Officers COy COP) 4 SERCMSDSUP IUmin (Suspense) Copy

Missions Complde 2 copies oi the form Origin31 SERCMSDjSUF- Statistic31 Section Copy 3n~ Copy 2 Nill be ret31ned in the Missions

PART fA

ConU3lttorGranrce Name

University p~f~I~o~wa~ __ -r~ ____ ~~~~ __________ -~~ __ ~~~ ______________ ~~~~ Plorr Numt-er ApptopriJtion Number Allotment Number Project Number

930-0090-3Q13411 A5 72-111l0216 146-30-099-00-20-11 930-0090 Project Title

So~ia1 and Potitica1 Aspects of Development - Conference to Report Research Findings Amount of this Plorr I Projecl M3nagers Name and Offire Sytlbol

$10397 (increase) PDPRCP Jonatlan Silverstone Contr3ctors D-U-N-S Number

Ncgwatocs TYJlCd~3meJ j) Signature I l ~ jIf- bull G HtJ--ft u l IVmiddot

D~e

L - f - J ContractGrant Officqs typed Nailllt Signalure LJ d I -r-

plusmn t 3i-alflpta (( BLvle~ 1 I~ PARTm

ContractGranl Number

AID CSD-3294

Effeclive Date of Docum~nl Signalltre D3t~ of Documenl

Lf---C yen-~-gl tIost Courtry Institution (U iwrsity contract ONL Y)

Campus Coordinator (Uniwr ty i contract OiiL YJ

PART UL Descriplion of Cor-tractGrant P1use X ONL Y ONE item under each headiZg IF THEltrease CifYmC~e bolh ges I 30~~ O~ Nol to be completed for Amendmenl or Modlfic3lion AJigtns I III

J 710gt I I V ~ I

MOl - TYPE ACT A~ 0 G unsolicited Propsll (AIDIR 0 C Individual (Non-pe~nal senice)

~ O Cortra lGrantl ooperative Agreemenl 73101-SO(b)(6raquo 0 D Individual (ftrsonal Service)

tJl T3sk Order ( A)middot 0 H Procurement 10 be Perfocm~d by the Conmiddot 0 E UniversilyOther FAuC3lionailnSlitulions

D 2 Work Order (IQC) Ira~lor in Person (AIDPR 0 F Non-Profil Organizationlnslitutions (other

D 3 Delivety Order (Requirements) 73101middotSO(b)( Iraquo than Ed or PVO)

[j 4 Purchase Ordcr [J I Sole Source (AIOPR 7-3101-SO(b)(4)) 0 G Private Volunury Organization (PVO)

If I 2 or 3 1Lle an ~ compllle M 12 ON Y D J Imp3irmenl of Foreign Policy Objectiws 0 H International Agricultural Research Organj-

M04 - CONTRACTGRANT TYPE

o O MOA (BOA BMA etc)

o I Fixed Price (Specify fFP FPRD FPEPA FPI) _____ _

(gtIDPR 7-31 OJ SO(b)(7raquo

OK B(a)5eJection (FPR 1middot1713-1)

o L Grant iH1ndlOok 13)

o M Do Nol Ue

D 2 Cosl Reimburemenl (S~cil) CR CPFF 0 N Cooperative t~reement (Handbook 13)

CS CPAF CPIF) ~ 0 O Small Business SeImiddotAside (FPR 1middot1706-8)

o l Cooperative Agreemenl ~ 0 1 Overseas Procuring AClivilies (AIDPR

04 Grant Gener31 Supportmiddot 0U ~ 7lIOI-SC(b)(2))

o S Granl - Specific Support ~ ~06 E SER VICE

g ~ ~~t ~~(d) ~~ ~~ ~ eci~a~~~~~ogram Projeci

o amp IQCs ~ ~ relampted excepi A amp E Services)

o 9 Host Counlry ContraclGrnnt 5lJ C amp E Services

middotComplele ONLY through ~Sl ~~ 0 D Construction

M05 SELECTION PROCEDURES 0 E- Reseuch

o A Formally 3dverliscd (IFB) (A1DPR 7middot24 amp

FPR 1middot24) ~ o B Negoli3ted Price Compelilicn Gencr31

Procedure (RFP) (-JDPR 7456)

Dc A amp E (AIDPR 7410)

0 D Ed Inst andor Inl1 R~arch (-JDPR

74 5)

o E Collaboratoe Assisunce (IDPR 7458)

C F Predominant Capability (IOPR

73IOI-50(b)(l)

AID 1420-49 (179) - Page I

D F Technical Services to AID (other than trainmiddot

ing usually o~ating expense)

D G jraining SetVice for AID

o H Equipment Materi3J~ Supplies Commodities

D I Translation Service

~07middot TYPE CONTRACTORGRA-nEE

o A Firmmiddot AU profil-rn3king fUms (other than

Aamp E)

J e A amp E 8r~

zalion

o Public Inlmlational Organizations (UN

Agencies ICRC Wocld Bank elc)

(H8 J 3 Chapt~ S)

M08- TYPE AW~RD

o A S8 Sel-Aside - Awarded to Non-Minority

o B S8 Set-Asidemiddot Awarded to MinXity

o C_ S8 NOI Set-Aside - Awarded to Non-Minority

o D S8 NOI SeImiddotAsidemiddot Awarded 10 Minority

o Eo amp(a) S8A Awarded to Non-Minority (Womerl-

Owned Veterans etc)

o F 8(a) S8A Awarded 10 MinorilY

o G Personal Sen-ice ConlrdCt bull Non-Minority

o H IeJSDnal Service Conlract - MinorIty

o I Individual NonmiddotPersonal Service Contraci -

NonmiddotMinority

o J 100Jigtiduai NonmiddotPersonal Service Contracl -

Minorily

o K NOI Small Business (Univ NonmiddotProfit Large

Firms) Non-Minorily

o L- NOI Small 8usineSl (Univ Non-Profit Large

Firms) Minorily

o M US Govcrnmlnt

(Connnued on Page 2)

BEST AVLABIE DOCUMENT 1 I

--

ua ) R I GI NAL 9 bull

MODIFICATION or GRANT PAGE 1 of 2

AH 1 2 Effective Date 3 Grant No 4 Effective Date

Amend_at Ro 5 April 15 1981 AIDCSD- 3294 8-11-71

-s CRANTEE (Name and Addrea) 6 Administered by -Professor Gerhard Loewenberg -Office of Contract Management Cbrnparative Legislative Research Gente Central Operations Division Dept of Political Science am Branch University of Iowa Agency for International Developn~nt Iowa City Iowa 52240 Washington D C 20523

7 PIO No 930-0090- 3013411 A5 8 Previous PlOTa -

Appropriation No 72-11110216 93i-1l-995-l36 930-11-995-136-73-3078103

Allotment Symbol - 146-30-099-00-20-11 wunt Obliga ted by this ~ndrnent - $10397

The above numbered Grant is hereby modified as follows

1 Anotmt obligated prior to this rurendment 2 Amount obligated by this amendment 3 Total obligated anount (1 amp 2)

Delete the amJmt $465000 and substitute in lieu thereof the ammnt I$47S 39-7 ~

FUNDS AVAIrABm

~~ - APR 13 1981

PrO~A~~5iors

$465000 $ 10397 $475397

OffiCE Of fIN~(1 ~~rE~E~T __ _ 10 This amendment 11 entered into puruant to the authority of the Forelgn

Assistance Act of lS~l as amended Except aft hereln provided all terms and ~~ndi~ons nf the grant rcferpnccd in Block 13 remain unchsnged and in full force and ~ffcct

11 original and six Crantee 18 requlred to aign thh document aad return 1- eopics to issuing

ffiee

~~~ or printed) BUSINESS MAHAGR amp bull

Tille TREASURER

UNITpound) STATES OF AHERICA AGENCY FOR INTERNATIONAL DEVELO~NT

BY_-1(1o-_1lt--= 13middot~_1_~ __ K R B1uteau

(Name typed or printed)

Tltle~ ____ G_r_a_n_t __ O_f_f1_c_e_r ____________ __

D3tC APR 2 J 7997 Dolt 9 APq 1981

BEST AVAILABLE DOCUM NT ___ 0 HLGlNAL - I 1 J 1 ~ )

- 2 -

AID ftmds in the am)tmt of $10397 are hereby provided for the activities lmich are described in your proposal (including Budget Stnmnary) entitled CDnference to Report Research Findings on the Study of Political CDnditions for Effective Small-Scale Rural Assistance Projects in Kenya Korea and Turkey dated February 17 1981 and made a part of the Grant b reference

BtTDGET StMMARY

Line Item

Travel

Per Diem

Other Direct Costs

Less existing 211 (d) grant funds

Total Amount Obligated by this Amendment

Estimated Costs

$ 5888

5100

_ 2500 $13488

_ 3091

$lO39

Note Indirect costs or $395086 associated with these activities will be contributed by the University of Iowa

BEST AVAILABLE DOCUMENT

~RIGINAL

- CONTRACT IGRANTCOOPERA rIVE AGRElEMI~ SERC~SDSlP Actio) Monitor

SERCMSDSUP Action Office

I

INSTRUCTIONS AJDW - Complete 4 copit of tlh fonnmiddot Orisina iCMSDfSUP Sutistical Section COP)middot Copy 2 SERCMSDjSVP Administrative CoP Copy 3 Cont-acting Officers COP) Copy 4middot SOSUP Admin (Susptnse) Copy Missionsmiddot Complete 2 copies of the form or~aI SERCtSDSUP Statistical Section Copy and Copy = wiU~ retained in the Missions

0 PART IA

Effective Date of Document tJ

Delivery Order (Requirements)middot

o 4 Purcluse Order

bull If I 2 or 3 have an bull X compl~te M I 2 ON L Y

M04 - CONTRACTGRANT TYPE

o O MOA (BOA BMA etc)

o 1 Fixed Price (Specify FFP FPRD FPEP FPI) ___ _

o 2 COli Reimbursement (S~cifY CR CPFF CS CPAF CPIF) ______ _

o 3 Cooperative Agreement

o 4 Grantmiddot General Support

o S Grantmiddot Specifi Support

o 6 GraDt 21 led)middot

o 7 Do Not Use

o amp IQCs

o 9 Host Country ContractGrant

middotComplete ONLY through M 5 1

MOS SELECTION PROCEDURES

o A Formally advertised (IFB)(AJDPR 7middot24 amp

FPR 124)

o B Negotiated Prire Competition General

Procedure (RFP) (AIDPR 7456)

o Co A amp E (AlDPR 4 I 0)

o D Ed Ins andor Intl ReStalch (UDPR

7457)

o E Collaborative ASSistance (AIDPR 7458)

o F Predominant Capability (AIDPR

7-310l-50o)(3)

AID 142049 (1-79)middot Page J

o H Procurement Co be Performed b~ the Conshy

tra~tor in Person (AlDPR

7middot3t OI-SO(b)(Iraquo

o I Sole 5gturce (AIDPR 7middot3101middotSO(b)(4raquo

o J Impairment of Foreign Policy Objecdv~

(AIDPR 7middot310 ImiddotSO(b)(7raquo

o K 8(a) Selection (FPR 1middot1713-t)

o L Grant (Handbook J 3)

o M Do Not Vse

o N Cooperative Agreement (Handbook 13)

o O Small Business SetmiddotAside (FPR 11706-8)

o P Overseas Procuring Activities (AIDPR

7middot3101middotSO(b)(2raquo

M06middot TYPE SER VICE

o A TtJining of Participants

o B Technical Assistmce (Program Project

related exc~pt A amp E Services)

J C A amp E Services

0 D COltl~ruction

0 E Research

0 F Technical Services to AID (other than trainmiddot

ing usuaU Y operating ex pense)

0 G Training Service few AID

0 H Equipment Mat~rials Supplie~ Commodities

0 I Translation Service

07middot TYPE CONTRACTORGR TEE

Firmmiddot All profitmiddotmaking fu-r1s (other than

AampE)

o 9 amp E Firms

I Prcct NumbcT

I

Contactors D-U-N-S Numbcr

I) -S--f(j

o C Individual 0-lon-~rsora1 service)

o D Individual (Pet-sonal Service)

o E University lOt her EduCltionaJ Institutions

o F Non-Profit Organization Institutions (other

than Ed or PVO)

o G Private Voiuntary Organization (PVO)

o H International AgricultwaJ Research Organmiddot zation

o I Public International Organizadon~ (UN

Agencies ICRC ewld B3J1k etc)

(HB J 3 Chapter 5)

M08middot TYPE AWARD

o A SB SeImiddotAsidemiddot Awarded to Non-Minority

o B SB SetmiddotAside bull Awarded to Minority

o C SB Not SetmiddotAside - Awarded to Non-Minoril)i

o D SB Not SetmiddotAside - Awarded to Minority

o E ~a) SBA Awarded to Non-Minewity (Womeli

Owned Veterans etc)

o F 8(a) SBA w-rded 1o Minority

o G Personal Service Contractmiddot Non-Minority

o ~ Personal Service Contnct - Minority

o I Individual Non-Personal Sence Contractmiddot

NonmiddotMinority

o J Individual Non-Personal Service Contractmiddot

Minority

o K Not Small Business (Univ Non-Profit L1lge

Firms) --vn-Minority

o L Not Small BUSiness (Univ NonmiddotProfit Large

Firms) ~inoriy

o M VS Government

(Continued on Pcge 2i

t bull - t ~ J f q

ORIGINAL bull MODIFICATION OF GRANT

1 2 Effective Date

Araendllent Ro 4 12-2-80

s CRANTEE CHace and Addrels) Professor Ger1ard Lo~middot enbelg Comparative Legislative Research Deartment of Political Science The Lnivp-rsity of Iowa Iowa City Io~a 52240

7 PIO No NI A

Appropriation No 72-11XHl26

Center

Allotment Symbol -426-30-099-00-3~-71 Amount obligated by this urendment-O- I

3 Gnnt No

AIDcsd-3294

PAGE _____ 1 _of-L

AlI 4 Effective Date

8-11-71

~ Admlnlltered by -Office of Contract Management Central Operations Division OTR Branch Agency for International Development Washington DC 20523

8 Previous PIOITs -

931-11-995-136 930-11-995-136-73-3078103

9 The above numbered Grant is hereby modified as follows

Supplement to Grant

Change the duration period sentence to read

The Duration Period for this Grant shall be August 11 1971 through December 31 198]

1 Amount obligated prior to this amendment $465000 2 A~unt obligated by this amendment -0-3 Total obligated amount (1amp2) $465000

----------------_- - ------- ----_- ------ 10 Thh lImcndmcnt is entered inlo punuant to the authority of the Foreign

~ Assistance Act of 1961 86 amended Except a~ h~reln Z II provided all terms and condi tions nf the grant referenced in Block 3 remain ~~aunchlinged and In fu1l force and effNt cnltUI cJ)za 11 o 4 J bull

Et~ ai~a gtUoItshyc Z P=u

original and six Grantee t requi red to sign this document and return 1- eopies to 1Bufng

office

~ 12 GRANTEE TES OF AMERI CA

(Name typed or printed) bull

TJlle Director Comparative Legislative liecearell CeQtoQl

Date 12880

------------------------------------

ONAL DEVELOPMENT

By ----~--~~~~---------------------

prinled)

Grant Officer Title --------------------------------

J)oll( 12-2-80 -----------------------------

BEST AVAILBLE DOCUMENT i je

Page 25: PD-Ar3T Cr(~

Dr Willa~d l Boyd Presicient University of Ima iowa City Iowa 52242

Dear Dr Boyd

4 AUG 1977

amp

FIJNDS AVAnASLe CpoundNrftAamp sEIMCEs DMsON

AUG11 ~n te t6417 ~77

Subject bull Supplsectferit-tJF-G~middotNomiddot~middot AIOcsd-3294

t middot-rrPJ1 3

I am pleased to inform you that pursuant to th~ auth~rity contained in

S-cction 211 (d) ooC the Foreign Assistance Act of 1961 as amended a sup

plemental grant in the amount of $200000 is h~reby r~de to University

of rCi1a These supplement]l grant funds areprolided to support the

activities which are described in your Proposal dated May 6 1977 for

the implementation of your program entitled Political Conditions for i

Effective Small-Scale Rural Assistant Projects

---This sup~lemental grant is mace to University of Iowa en condition that

yo~r institution shall administer the funas provided under this Grant fn

accordance lith your r~ay 6 197 proposal (including Budget SUmlilary) and

the Standard Provisions (as incorporated by Amendment No 1) which have

been agreed to by your instit1ltion Ti) the extent of an inconsistency

between the Proposal and the Standard Provisions and any otherprovisfons

which ar~ made a part of thi5 Giant by reference or other~iSe the Sta~d~

ard Provisions shall control

The new Duration Period for this Grant shall beAugust 11 1971 through

August 10 1979

The total amount of funds obligated under the grant is increased to reflect

a new total oblgated amount of $465000

Please sign the Statement of Assurance or Compliance ana the origfnal -

and seven (7) copies of this letter to acknowledge your understanding of

the conditions under which these funds have been granted Please return

the Statement of Assurance of Compliance and the original and six (6)

copies of this supplemental Grant to the Office of Contract Management

Attachment May 6 1977 Proposal and Budget SUfiT1a ry

UNIVERSITY OF IOWA

Roberw bull OBrien fficer

Ce al Operations Division Office of Contract Management

AC~E~E~C--_ 0 BYpoundk~~ cH

D C ~lpoundSTtR5BA T ITL E ( PfeampoidPilt for

tee ment amp Research DATE 9-22 -77 (d~ ~~Bduate Ctl~1e~e

BES i AvAILdLt UOCLJMU~ I

211(d) Grant Program

Proposal of the University of Iowa

POLITICAL CONDITIO~S FOR EFFECTIVE SMALL-SCALE

RURAL ASSISTA~CE PROJECTS

Submitt~Ci to

Civic Participation Division AID

May 6 1977

Amount requeste~ $ 199987

BEST AVAILABLE DOCUMENT

I TdE DEVEIOP~T PROBr~

P~litical Conditions for Rural Development

The Cocparative Legislative R~search Center of the University of

Iowa proposes to ~~dartake a two-year study to investigate the role of local

leaders and the rural public in theimplecentation of small-scale develop~ent

1 projects in less developed countries The study will use and extend the

capacity ~hich the University of Iowa developed under a 211(d) grant to

investigate and assess the impact of loeal politics on rural development

~t the co~pletion of the s~ Iowa will be in aposition to advise the

Agency on the design ~nd evaluation of s~ll-scale projects which will be

politically viabe a~d effective in ass~sting the rural poor ~

As students of development w~ approach our task with the assumption

that the proble~ of development and underdevelopment are funda~entally

ones of political econooy and a~ such can only be solved through a

simultaneous considerationof economic and political factors Efforts

which foc~s aloost solely on economic factors like those of ma~y

organizations engzed in dipersing foreign aid or efforts which focus

almost exclasively on political factors fail to take account of the

interdependence between these two dimensions of underdevelopment and

lwe have for~ulated this proposal in a canner consistent witr the cu~rent policies ard interests of the Agency We have been guided in our tsk by four Age~cy doc~e~ts Impleo~~tation of New Directions in Developnent Assista~c~~~ ~eport to the COmlittee on International Relations on Ilupleoenshytatiun of Legislative Refo~ in the Foreign Assistance Act of 1973 (July 1975) rItevis~d Projec Developiel Review and Approval Systeo (A I DL Circular A-21 Aril 23 1975) SH Butterfield Draft SUIilZ3ry StateUlent of a Practical Agelcy Approach c aural Devalopilelt (AATA February 28 1975) Cicci A Coce~ual Oie=viamiddot middot Rural Development No1 (lWorilting GOU O~ tha Rural Poor February 1975)

- l -

can meec with only l~ted success

Our concern with the i=pact of local politics on the process of

rural developcent is a result of our interest in the basic question of

how LDC governm~nts and the donor agencies which assist them can

become core effective in raising the standard of living of the rural

poor We seek answers to the following aspects of that basic question

1) What political conditions must exist both within rural communities

and between theo and central gove~ents to raise agricultural production

w~ere small-scale agriculture is the do~nant pattern 2) Vnat are the

political conditions for a core rapid expansion of the informal manufacturing

and service sector cocprised of labor intensive small-scale industries

located in the rural ar s 3) What political structures and activities

are mase crucial for the provision of welfare and econocic supporc services--

such as agricultural exeension mar~eting and transportation--to the rural

areas1 4) ~~at Folitical conditions oust exist to insure that economic

growth in the rural areas is not accowpanied by excessive and intolerable

inequalities between socio-economic classes andor between regions1

Center-Periphery Linkage in LDCs

To deter~ne the political conditions for rural development we have

in previo~s s~udies exacined the institutions and processes through which

rural populaticns are integrated i1to the national politi-cal systetlS of

middot~he countries in which they live A gap exis~s in most less developed

countries bet~een the peasantry residing on the periphery and the c~~tral

political ~stiutions staffe1 by ~~estern-educated bureaucratic elite

We are aware of the other major ~sti~utional discontinuities which comprise

J

4 middot~~1 the basic cleavage between the developed and underdewmiddoteloped sectors of

these dual societies Bridging these gaps is essential if these so~ieties ~ are to develop into viable nation states For until those Q~ the periphery

of the poli~ical syste~ participate in that system and support and comply

with the authority of central political institutions neither economic

development in ~he rural areas nor a stable polity will emerge

Bridging the discontinuities in these new political systems requires

establishing and institutionalizin3middot1inkages or networks for co~unication

and exchange of resources between decision-makers at the center and the

rural public on the periphery Three types of institutional linkages are

most prominent in less developed countries 1) those conSisting of the

state administration composed of the bureaucratice1ite 2) those consisting

of a revolutioncry political party cocposed of the ideological elite

3) and those conSisting of patron-client hierarchies composed of the political

entrepreneurial elite

Of these three linkages consisting of the state administration are

the cst extensive and pervasive in virtua~ly every LOC Such linkages

however exist primarily a~ instruwents of the center to penetrate the

periphery Central government officials are formally charged with bringing

develo~ent to the people This is a ~issi~n which conceives development

as a process ~hrough which a traditional peasantry is transformed and

assimilated iJro the DOdern center which is steadily expanding to embrace

it Agents of the center invariably have more resources to achieve their

objectives than do local political leaders but because they are frequently

strangers~ the communities in which they function they are often unable

- It -

co implement the policies of the center without working through the

local establis~ent

Though somctices significant linkages consist~g of revolutionary

party organizati~ns such as those found in China and Vietnam do not exist -

in most IDCs beca1Se of the special historical and e~omic conditions

required for their development As wi~h the administrative state however

the linkaampe apparatus of such political patties is prUlarily an instrument

of the center whose mission is to penetrate and mobilize those onthe

periphery

In contrast patron-client hierarchies are linkages which represent

the periphery at the center and mediate betwee~ these two disparate

sectors of the political systec Thcugh norcallymiddotovershadowed in scale

by the state administration patron-client hierarchies are found in almost

~very LDC a~d constitute the ~st significant network through which rural i

populations and their leaders influence the decision-~king process at

the center Patron-client hierarchies exist in a wide variety of org~iza-

tional fores ranging from info~ ~ec~~rks of individual olitical leaders

in uno-partyll systelS in S~b-SaharaI4 Africa to extensive political machines

in both one-p~rty (Africa Mexico) and ~u1ti-party systems (Turkey India)

Despite their importance as the pricary means through which peasants in

LDCs particiate in their political systems patron-client hi~rarchies

have only recently become an object of analysis by students of political

developent and do not appear in even the most sophisticated studies of

2 See Jo~ Dunca owell Peasant Socie~y and Clientelist Politics Aerican Politi~ Scielce Revietol 64 (June 1970) pp 411-25 Rene Lemarchand anc_ Keith Legg olitical ClienteliSJ and Ethnicity in Tropical Africa Aierican Political Sc~ecce ReView 66 (Y~rch 1972) pp 68-90 James C Scott PatronshyClient Politics a~d Political Change II 1tlerican Political Science Revie~ 66 (~arch 1972) p 91-113 and Friends Followers and Factiols bull edited by Steffan Sc~~d and James C Scott (Berkeley UniverSity of California Press 1977) bull

- 5 -

3 economic development Ad~niscrators of developmental assistance progracs

have too often regarded patron-clienc hierarchies as ~ped~ents to

develop~ent instead of recognizing cheir potential utility bull

~ Findings on Patron-Client Hierar~hies --

The importance of pat~on-clienc hierarchies for linking the periphery

to the center is one of the major findings ~erging from a study of the

relationships betueen l~gislators an~ their constituents in Kenya Korea

and Turkey ~hich the Cowparative Legislative Research Centpr is nov

comleting uader its 21l(d) grant from AID This study has av~mined the

creation of linkages between the periphery and the center through ~ore

than lO~OOO interviews with members of parl~ent local leaders and

peasants in t~e three countries The findings are being systewatically

set out in a book-length monograph Nearly a dozen research reports have -

uready appeared (see Appendix C) ipropositions about the nature of

political behavior of rural populations an~ the roles of local political

elites de=ived from the research~ can be s~rized as follows

1 Elected representa~ives play a significant role in the creation and mainte~ance of linkages be~een the center and periphery by developing local political achines in which they function as patrons of their constituents In turn thay s~rve as clients of political leaders of national stature who control central government institutions

2 By atte~pting to establish linkages based on patron-client relatio~shi~s elect~d representatives are responding to public expectations chat their prizary duy is to obtain resources from the center to proffiote local develop~ent ~iany elected repLesentatives spend most of their time on self-help co==unity development projects such 3S the building of schools health clinics irrigation works arid roads because such projects provide

3For exa~le ~ a widely respec~ed a~d useful analysis of rural deve16p~ent in Sub-Sahara~ Africa L~ Lele of the World Bank notes the problems of creating an adoini5~raive infrastructure in the rural areas that is sensitive to local socio-oliical conditions She does not however consider how local leaders operating o~tside of adcinistrative structures ~ night contribute to the developne~t 0 the rural areas See ~~ Lele ~ Design ~ Rural Develop~ent Lessons ~ Africa (Balt~re The Johns HopkiD~ Uciversity Press 1975) r) pp 127-61 i ~

- 6 -

their const~tuents with desired se~ices ~~d a= the sa~e time provide the reresentatives with an orgacization Yhicn can be used as a political base

3 l-tore than 90 perCel1t of the rural population is capable of articulating the p~oblems facing their local co~~ity and two-thirds discuss th~e proble~ w~th their fellow citizens on a regular basis

4 Three-q~rters of the residents of the rural areas can identify the public ofpoundici~s who serve thec--both civil servants and elected represcrtatives--by na~e Most are knowledgeable about the activities of these officials Alcost one-fifth coreover have discussed co~~~ity probl~ ~ith these officials particularly those working at the grassshyroots level Residents of rural villages actually have a higher level of political knowledge than their counterparts in the towns

5 Elections in the rural areas evoke a highly rational attern of voti~g despite the effects of ascriptive or traditional co~siderations Inc~ens are pri~rily evaluated in terms of their record in fulfilling the public r S elpectations of what they should do Elections are essentially referenda on inc~entsr perfo~ce especially their perforwance in the area of constituency servi~es such as bringing development projects to the districts bull

6 Local developcent projects have a relatively high s~olic value generating conscitutency support for local leaders and the central government at low cost

7 These projects help huild a local political infra-structure which can also be utilizec by central govern~nt civil servants to implement other policies designed to achieve rural develop~ent bull

The Icpac~ of Local Politics on Rural Projects

Having explored the developtent of linkages through which the periphery

is represented at che ~enter and through which the periphe~ attemp~s to

share in the ceners resources we now propose to build upon our initial

investigations by e~ing in greater detail the impact of local political

conditions on specific problecs of rural develop~ent We propose to

exacine the develop~ental activities of local leaders ~nd the rural public

by eX2~Ding a saple ot fifteen to twenty smalL~scale developwent projects

in each of ~he three countries which constituted the sites for our initial

8ESI AVAILABLE DOCUMENT 1 ~ - of

- 7 -

study of center-perhiphary relations The appropriateaess of this approach

and the ~ethodology through which it will be ip~emented is discussed in

section II Because the ~ethodology of investigation is in large part

the result of our previous research experience we fizst turn to a revieW

of the existinQ __ ~petence of the Comparative Legislative Research Center

in this area

II GRAXTEES EXISTIXG CmET~CE

In 1971 the University of Iowa received a 211(d) grant to develop

its capacity to do research on the role of elected represent~tives in

the process of modernization On the b~sis of this grant the University

established a research center which planned and carried out a research

project on the role of elected reres~~tatives as links between the central

gove~ent and rural populations in K~ya Korea and Turkey The project -i

served to develop t~e University of Iowas research capability in this

field esa~lished ties between the University and scholars in the bost

countries and generated a large and uniqu~ body of relevant data

In that project we fo~ussed our attention on tbe activities of elected

representatives in their constituencies notably in their contacts with

local political leaders voters and civil servants To determine tbe

nature of the linkage function performed by tbe representatives we

designed our research to explore the subject from three perspectives

1) we eXaojned ~~a ~ubject at tbe grass roots by conducting a series of

sample surveys of 200 to 300 adults in each of 12 to 14 parliamentary

constituencies in each cf th~6three countries 2) we examined the subject

at the center by intervie -ing MIls from the constituencies in which we

had conducted S3mple surveys ~nd higher civil servants with whom they

had contact and 3) ~e ex~~ined the subject from an inter-~diate level

by identifying aud ~terviewing local social and political leaders in

the MPs constituencies We used survey research methods because we

were embarking on the study of an entir~ly new subject for which little

relevant docu=e~tary data existed and on which there were few secondary

sources As a result ~e have unparalleled experience with survey

research in the rural areas of less develo~ed countries

The surveys which constituted the cajor part of our field work were

planned in collaboration ~~th scholars from the host countries They were

carried out in each constituency by student interviewers in the appropriate

language ~re than 10000 respo~dents were inteDViewed for the project

Given the visibility and sensitivity of this undertaking approval for

the research was sought and obtained from the host governments prior to -i

the collec~ion of data ~o objections were raised by these governments

at any stage of the research The data obtained have been made available

to scholars i~ the host co~cries and some of the basic findings have

been published in periodicdis in these countries

The Comarative Legislative Research Center ~hich ad~nistered the

project has aisO developed extensive experience in the study of political

leadership in other countries It h3s obta~ed substantial support from

the Fo~d Foundacion and the Rockeeller Foundation has worked in

collaboration ~~h European as ~ell as Asian and African scholars and

is engaged in a ajor study of the role of elected and non-elected leaders

in the oanag~~t o~~ocial conflict Because it has conGucted research

in a variey of setlngs the Center has an ~ceptional capacity to

- 9 -

determine how the relationships be~een political institutions and

economic p=oble75 differ in develoPed and less developed countries

In the course of the major research projects the Center has administered

it has gained highly specializpd ~p-i ce iI identifying 1Olitical leaders

in a great variety of settings conducting systematic interviews with

them collaborating with scholars in the host countries and in coding

and utilizing large files of data to answer specific research questions

The Center has ~lso undertaken to publish the results of its research

in three fores It issues codebooks to the data enabling scholrrs at

other locations to use the data expeditiously i~ publishes research reports - in the form of Occasional Papers and it publishes a scholarly periodical

devoted to the presentation of research findi~gs to an inteIT~tional

audience

The Center utilizes the data ~ysis facilities of the Laboratory

for Political Research of the University of Iowa and drawS on the unusual

n~er of secialists in comparamptive politics and survey research in

~~e Lniversitys Departmen of Political S~ience The Center itself I

has the services of an administrative secretary and a clerk-typist

~intains its~o~cn extensive archives and its o~~ publications program

It is e~uipped to assist scholars and government officials outside the

t~iversity of Io~a The participants in its p~ojects are full-tioe

faculty ~e=bers ~hose undergraduate and graduate teaching is closely

related to their research As part of the teaching program the Center

has attracted students from the countries in which the research projects

have been conducted these students have participated in the projects

bull J

have obtained training in other fields of political science have received

University of Iowa degrees~ and have ret~rned to teach and to do research

in their own countries

III PURPOSE OBJECTIVES AID METHODS

Purpose of Study

The purpose of the proposed grant is to extend the capacity of the

University of Iowa to determine the political conditions in the rural

areas of less developed countries which favor the establis~ent and growth

of small-scale developoent projects ~e objective is to put the University

of Iowa in a position to assist the Agency in designing small-scale rural

developent projects providing guidelines for carrying out social soundness

analyses of such projects and adviSing in the evaluation of projects

We will discuss the utilization of~t~e Universitys capacity in detail in

section IV below

We propose to concentrate our investigations on the political conditions

surrounding s~l-scale ru~al projects Such projects have distinctive

advantages They waximize the political participation of the rural populations

both in det~~-ining the direction ~d implementation of develop~ent efforts

and in defending the interests of periphery vis-~-vis the urban-based

bureaucratic elite S~ll-scale projects stimulate entrereneurial activity

on the part of the rural citizens and growth of the info~l canufacturing

and service sector Tbey require less lead tice and less administrative

c~erhead to ~eco~e operational than large-scale capital-intensive projects

centrally administered Such projects yield rapid and direct benefits to

1

j

the rural

- 11 b - ~~1

populations and are consistentwith their hUIlaD rights--both

political and economic However~ small-s~le projects pose s~ecial probl~s for administratcrs of developceocll assistance progracs because

they require the donor co assess the local olitics particularl the

rural politics of t~e host country

Develop~c adoinistrators pr~rily conc~rned with assisting rural

populations must therefore recognize the range of political variables

affectL~g these projects Small-scale projects offer great opportuoities

for develop~ental assistance progr~ because they can be easily targeted

to help rural populacions require low capital costs and need no be

concentrated in one or two localities Such projects ho~ever~ ~equire

the a~istrator to have ~re political kno~lecge than large-scale

projects Oil which his priJlary tas~ is guiding the work of other experts

Questions for ~Investigation

To detercine the politi~al cc~diicilS ~st conducive to ~he establ~~ent

and gro~h of scalI-scale rural projects ~e propose to address our inquiry

to the following specific questions

1 To what extent and why co local political leaders seek to establish s~~l-scale develop~ent projects within their co~unities

2 To what extent and ~~y do local leaders other than politicians initiate andor provide leadership for s=all-scale developm~t projects

3 Bot do the relations bet~Jeel different types of local leaders (political and non-political) and bet~eeo these leaders and central gove~ent civil servants posted to the rural areas affect the conduct of develop=ent projects

4 How do existing authority ~eLationships between these different leadership grous and the rural pub~ic affect the organization and operation of s~l-scale develop~ent projects

- 12 -

~

5 lhlt is the nature 0 pclgtlic participation in the establishlent and operatio~ of s~l-sclle projects and ~hat are the outcc=es or this participatioe Gucer w~at conditions is such participation ~ost likely to occur

We seek a~swe=s to t~cse questio s L order to determine the effect of

different co~iigurations of local leadership and public participation on the

outcomes or small-scale rural projects te are particular1y concerned with

the ~pact of these configurations on the rate of econocic growth and the

distribution o~ rIGSlth ithin the loal cOlllUlity ~ on the perce~tions of

s~ll-scale proj~cts by central govern~ent per~oncel and the rural public

anmiddot on the organiation or flture projects

To a~swer these que~tions it is oar intention to study the initia~ioD

izJple=enation ald i1lpact of a salple cpound small-scale rural projects in

Kanya Korea and Turley in the sae cOllities in which we carried OU

our initial icvestigations ~ 1973-75 Tne relationships between the -

various conf~gurations of local leadership and public participation and

the three phases of project develop~ant are sho~ in Figure 1 We will

exa=ine projects to pro~ote the adoption of new agricultural techniques

by s~l and moderate landnolders the building of feeder roads irrigation

ditches and other s~ple infrastructure the organization of fa~ers

cooperatives and other local associations concerned with rural development

the establish=ent of rural health clinicS and schools and the setting up

of craft and service industries

Sites for Study

We plan to return to our original set of localities because we possess

a rich body of relevant data on the extent to which linkages exist between

Figure 1

TYPES OF LFLUEXCE OF C2r~ middotGOVER1iEXT OFFCIALS

LoCu LEADERS 0 THE RURAL PUBLI-C OX THRr~

PHASES OF RURAL igtEVELOPHET PROJECTS

r----------~J C~ltral Gover1~nt Official)-N------- - J

r- Local pOlitical leaders

Local non-political leaders

~l 1---- -

ROJECT nITL~TIOS

Influ~ce on selection of projects

InrI ~elce on location of projects

Influence on policy guidelines for proj eCl

Il

I

a

I I

-I PROJECT I~L~~iATIO~ ~ 1

j Project Organizati I Selection of project

leadership

Hobilization of resources

Mobilizatiol of public compliance with project require=elts

Diffusion of project innovation

Rural Public

I

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1 ROJECT IMPACT

Organization of ongoi=g project operation

Distribution of project benefits

Evaluation of project

Public attitudes toward project

-middot14 -

these areas and t~c central p~litical institutions of the three co~tries

and on the attit~es of the rural populacioc local leaders and elected

legislators regardi~g their problecs of develop~~c Since such data

is unavailable for alternative locales a return to the areas in which

we have previously done much research ~ables us to build on a uniquely

valuable body of icformation

A return to Kenya Korea and Turkey is also highly desirable from

the standpoint of effective research organization The Comparative

Legislative Research ~enter has developed close collaborative relationships

with several highly competent social scientists in these countries and

with the academic institutions with which these scholars are associated

We have also dev~_oped cooperative relatio~ships wi~ gove~ent officials

in these countries which should facilicate obtaining approval for our

further work

In proposing to doc~ent the origin i~pl~entation and impact of

one to three s~ll-scale develop=ent projects in each of 35 localities

we have two considerations in mind Firstmiddot because our pr~ry goal is

to deter~e the political conditions for rural developm~Lt we wish to

examine develQ~=ent in as many different settings as feasible Only in

this way can we control for so=e of the major socio-cultural variations

that erist along rural populations in less developed coultries These

include the overall level of econo~c development in the co~unity the

nature of t~e ~digenous culture an~ relationships of authority and the

pro~ty of the comounity to major urban areas and centers of central

gove~nt ad=inistration ~ce our original study sites were carefully

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- 15 - ~ ~1

selected to represent these variations ye have concluded that these

35 localities woule be ideal sites for the propose~project Second~ in order to dete~~~ the ~pact of local leaders and public

participation o~ ~ural projects we intend to compare projects 1n which

local leaders and ~ecbers of the public have played a major ~ole with

projects in which they have not We also ~l cospare projects initiated

by the central gover~ent with projects Yhich have been locally initiated

These considerations give us a typology for selecting projects as depicted

in Figure 2

Figure 2 ~

FIVE TYPES OF RU~AL PROJCTS ACCORDIXG TO ~FLUEXCE OF CEITiW

GOVE~1E~T LOCAL LEADE~ AD RLRAL POULATIO~

Level of Participation by Rural Population

Locus of Project Initiation ~

Local Co=unity Central Governoent

BIGd

LOt

1 Projects initiated by local leaders and providing for participation of the rural ~opulation

4 Proje~ts Litiated by local leaders bu~ not involving participation of the rural population

2 Projects initiated by the Central Govern~ent and administered i~ cooperation with local leaders a~d the rural population

3 Projects initiated by the Central Govemlent and providing =or the participation of the rural population but by-passing local leaders

5 Projects initiated by the Central Gover~e~t a~d administered in cooeration Yith local leaders but not involvi~g parti~ipation of rural population

- 16 -

We recognize that the socio-cultural setting of rural develoment

projects varies significantly within and across less developed countries bull

By focussing o~ a representative sa=ple of localities ~ Ke~ya~ Korea

and Turkey we can take account of naoy~ though not all of these variations

While some of our substantive findings will not be directly generalizable

beyond the countries in which we propose to conduct our study we expect

that our basic ~ethods and fLdLgs will be applicable to national and

sub-national settings elsewhere in the developing world This is partly

d~e to the fact that the hierarchy of patron-client relations ~hich we

regard as a critical factor in rural develo~~t exists in ~ost Liles

--It is also due to the fact that the methodology for identifying local

bull leadership configurations auG poundor studying local politics which we are

perfe~ting can be used to assess local political co~ditions in a large

variety of countries even when the ~nditions themselves differ significantly

Methods of Investigation

The data needed to assess the iDpact of local leaders and mass

participaticn on rural dev~lop~nt fall into two categories Some a~e

contained among the data gathered for the research project we are currently

completing Others will require additional field research

The following data are already in hand

1 Data on the social landscape of each loc~l co~nity i~cluding aggregate data o~ level of econonic development de~graphic characteristics political pa=ticiation eth~ic loyalities and rates of socio-econocic change dur~g the past decade bull

2 Identity of local leaders including both political and I-on-political leaders and both legislators and other politicians

3 Perceptions of existiag probl~ and their possible solution a~ng

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general public local leaders and civil serv~nts

4 Level of political kno~ledge among local citizens and local political leacers

5 Political and social values a~ong local ci~izecs and local political leaders

6 E~~ectacions of leadership roles among the local public and elected and non-elected leaders

7 Patterns of co~unication ~ong local leaders and between local leaders and the central gove~e~t

These data ~hich ~e already have in hand can be subjected to analyses

which ~~ll provida the foundation for our further work on rural develop~ent

projects A part of our work therefore will consist of fu~ther analyses

of existing data

New data of the following kinds are also required

1 Doc~entary data on the origin and evolution of particular smallshyscale develop~cnt projects in the rural areas

-2 Data on project costs boih ~itial invest=ent and recurring

operating costs and data on project ou~puts ie pupils in schools Ddles of road coopleted nl~ber of hospital a~ssions production of factory agricultural productivity

3 Data on project organizatio~ n~~r of local inha~itants participating in establis~~ent of projectt nuober of local L~habitants subsequently involved in project

4 Data-on the pe-cetion of projects by local leaders emers of the local public a~d by civil servants data on the perception of how each project ~as initiatec organized who benefitted and what its future implicatio~s are

These types of data will requ~re field work involv~~g both docucentary research

at the relevant ~istries of the central government and in local goverr~nt

authoritieS and inforoal open-ended interviews with local political leaders

elected representatives and other local leaders who~ we had previously ~

interviewed in a s=uctured syste=atic =aoner

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- 18 -

Grant Organizatio~ and T~etable

We propose co undertake the research outlLled above beginning in the

fall se=ester 1977 Dur~g that te~ Professors Barkan and Kim as

principal investio~tors for the neo1 proj ect will contact their collaborators

in the host co~~tries They ~~ll also seek the collaboration of an additional

~rican scholar specializing in rural development with the aic of getting

additional advice on sources of data and suitable indicators for the

~easure=~~t of rural develop~ent projects

At the end of the fall seQester Professors Barkan and Kim will make

a trip to their research sites to disc~s details of the research organization

with their collaborators in the host countries and to recruit student

assistants Tney will devote the spring te~ 1978 to further analysis

of a~sting data at the University of Iowa

The gathering of additional dita L~ the field will begin in the s~er

of 1978 Professors Barkan and Kio will direct this work personally We

eAect that its coopletion ~~ll require three to six months This work ~1

involve the evaluation of central and local gove~ent reports on the

projects uncer investigation extensive on-site observations of the projects

and oen-e~ded interviews with the principal participants Our principal

respondents ~i1l be the local leaders and elected representatives we

have previously identified in the localities in which we have worked and

a sacple of active participants in the particular dpvelopment projects

being studied ~~ere necessary and apropriate surveys of the general

public will be uncertaken to assess the inpact of a given project on the

rural por)r We do not however leed 0 conduct systeAlatic sample surveys

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- lY -

of the rur~l population as We did in 1974

In the organization of this research project we intend to reconstruct

the rese~rch tea=s ~e e=ployed during 1973-75 We shall again seek the

co11abo=~tion of P~ofessor Sc~~S-7o~g Pai of Seoul National University ~

Professor IIiCr Turan of the University of Istanbul and Professor John J

Ok~u of the U~iversity of ~arto~ S~ilarly w~ contemplate directing

the field research fro~ he same acade~ic research organizations we previously

used Seoul National U~ive~sity th~ ~~iversity of Istanbul and the

Insti~ute for Develop~eut S~udies University of Nairobi As before we

will tra~ students f~oo these institutions to serve as interviewers

The analysis of the open-ended intervie~s and of docUQentatio~ on

I ~ural develop=e~t projects will be a ~ore t~e-co~s~g process than the

analysis of closed intervie~s It will reqrire a high cotnittl~t of time

fron the principal investigators )e e--pec to hold a conference at the i

U~iversi~y of Iowa 3lO1g all the principal )clticipa~ts in the resea~ch

project d~=~g t~e spr~g 1979 to evalua~~ the newly collected data

le e~ pect to be able to vr-ite reports of t~ results during the Sl1~er 1979

(see Figre 3)

IV LlX-GS ~1) U~ILIZATIO~

At the e~d of the grant period the Uti ersity of Iowa will be able to

1) advise the Agalcy 01 the design of s~l-scale rural projects to assist

the rural poor 2) provide guidelines for social soundness analysiS of

small-scale projects for the rural areas of U)Cs 3) consult w~th the

Ag~tcy 01 the evaluatiol of rural projects ~d 4) provide LDe governments

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)ATES

~lll

1977

~inter 1977

iprilg 1978

il mer 1978

~all

1978

ipr~ng

1979

Imiddoter 1979

University vf Iowa

Plutlning of rural develo~rent project

Barkan Kil

Alalysis of existing data

Barkan Kia

Data processing

3arkan Kin

1

I

- 4 -

Figura 3

GRAT TLfETABLE

SIT E S

Kenya Korea Turkey

Preparation of field research ural developH~lt project cOlisulta~io~ a research sites

BarkanOku=u Ki~Pai Tura~rkanKi~

Preparation of field resea-ch

Tural

Field research on rural cevelop~~t projects Bar~lOk~u Ki=Pai Turan

Co=pletion of Co=pletion of field resear~~I~ fiald researcr

Ok~u i Pai bull

f Coopletion of field research

Turan

Data analysis conference a~ong all princial i~vestigators at Un~versity of Iowa Barkan Kil Oku=u Pai Turan

Co=letiol of r~ral develop~ent

project

3arkan Kiz

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I

- LL -

~ith speciali~cs o~ ru~al developcect ~mong their own citizens ~ho ha_

partcipatcd ~s collaborators in the Iowa projects

In the proposed project we Will test a series of hypotheses cOlcerning

the political cOllditions of rural develo=ent which run counter to CODOn

assuoptions conccrnir3 t~~ influence of rural politics on project effectiveness

As a result ~e ~dll be able to assist the Agency in designing and evaluating

such projects froe the point of V~~W 0 their political viability The

hypotheses We will test sugges~ t~at the patron-clie~t relations existing

in the local politics of zost LDCs are not necessarily i~pedients to rural

develop~ent but are aspects or the political structure which cal be used to

facilitate s~ll-scale ru=~ projects which will raise the standards of

living of _ ~ rral pomlation - As ~ result or our stuey we expect to be

able to P~-O~t the local leadership confi5~rations ~4d the relationships

between local leaders ald rural poclations ~nich are oost conducive to I

successful develcp=en efforts We believe that we will be agtle to perfect

a cat~odology for identifying the political conditions for rural develop~ent

one ~hich is transferable pound~oo the countries we have specialized in to

other LDCs

We proo~ to develop specific guidelines to assist administrators

charged with selecting evaluating and =onito~ing rural develop~ent

projects to ~szess t~esc rojects in tares of their-social and political

viability he outco~e of such projects is dete~ned not only by the

efrectiv~nass ~~=h ~hich they use scarce econo~c resources but by the

~~er L~ w=ich they e~gage the suppprt of local leaders and rural

po~ulatiocs~ by thei= effect ou social a~d econo~c equality ~d by

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- 22 -

their consequences for hwan rights ~Je plan to establish criteria by

middot~hic~ the probable outco~es of projects in these social terms can be

anticipatec

The study ~e propo e will be undertltlken by faculty at the Cniversicy

of lowe in collaboration with faculty a other ~rican institutions and

institutions in the host countries We will build on the extensive contacts

between the Co~perative Legislative Research Center of the ~niversity of

Iowa end other instituions with ~aich ~e have worked One =ajor result

of our collaborative study will be the existence of a net~ork of compe~ent

scholars both in this country and overseas experi~lced in ~orking together~

shar~g a co~on teaching and training experience i~ close contact throu~~ the

effective publications progr~ developed by the Co~parative Legislative Research

Center T~e e~~ertise of this group of individuals will be ava~lable to

oteer scholars to the Agency and ~o L~C governments for specific policy

advice The eXertise developed as a consequence of this project will

extend beyond the ~tionals of the countries ~volved since the univ~sities

engaged in ~e project attrtct stude~ts fro outside heir own countries

For ey~=ple the teaching ~d research progra in the Depar~ent of Political

Science 0 theUniversity of Istanbul heavily affected by the participation

of its facul~y ~e=bers and graduate students in our projects attracts students

throughout the ~middot1iddle East for Whom the University of Istanbul is the iajor

institution ~pound ~igher education in the region rne Institute for Developmen~

Studies is si=ilarly a focal point for students and faculty in East and

Central Africa Seoul ~atiocal Unive=sity attracts students froo other

Asia~ co~tries~ In this way the capability developed among the participant$

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in our work is diffused widely To the exte~ that the abili~y to assess

rural develop~ent p~ojects in teres of their social soundness is increased

both in the United States and in ~o~~tries r~ceiving develop=en~ assistance

the cap3~ity of racipien~ countr~es to absorb aid is ~creased

We propose to draw up an inventory of personnel available in ~~e

Cnited States and in other co~~tries who are able to consult with developen~

a~nistrators on the design of rural development projects and on their

evaluation We ~~ll draw first of ai~ on individuals w~o have been

directly associated with our ~ork in the past or on ~he proposed project

and ex~~~d the list to include graduate students and gove~ent officials

with who~ these individuals have wor~d

tole Yill utilize tha existing publication program of the Center

dercribed above to disse~inate our findings The Center has specialized

oailing lists of interested individuals and institutions in all parts of -i

the world and its reports can trerefore reach the ~st relevant audience

jirec~ly ~d re~~arly

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CONTRACfjGRANTCOOPERATIVE AGREEMENT DATA SHEET

INSTRUCTIONS fjDW Complete 4 copies of the form Original SERCMSDSUP Statistical Section Copy Copy 2 SERCMSIiUP dministrative Copy opr 1 Contracting Officers COy COP) 4 SERCMSDSUP IUmin (Suspense) Copy

Missions Complde 2 copies oi the form Origin31 SERCMSDjSUF- Statistic31 Section Copy 3n~ Copy 2 Nill be ret31ned in the Missions

PART fA

ConU3lttorGranrce Name

University p~f~I~o~wa~ __ -r~ ____ ~~~~ __________ -~~ __ ~~~ ______________ ~~~~ Plorr Numt-er ApptopriJtion Number Allotment Number Project Number

930-0090-3Q13411 A5 72-111l0216 146-30-099-00-20-11 930-0090 Project Title

So~ia1 and Potitica1 Aspects of Development - Conference to Report Research Findings Amount of this Plorr I Projecl M3nagers Name and Offire Sytlbol

$10397 (increase) PDPRCP Jonatlan Silverstone Contr3ctors D-U-N-S Number

Ncgwatocs TYJlCd~3meJ j) Signature I l ~ jIf- bull G HtJ--ft u l IVmiddot

D~e

L - f - J ContractGrant Officqs typed Nailllt Signalure LJ d I -r-

plusmn t 3i-alflpta (( BLvle~ 1 I~ PARTm

ContractGranl Number

AID CSD-3294

Effeclive Date of Docum~nl Signalltre D3t~ of Documenl

Lf---C yen-~-gl tIost Courtry Institution (U iwrsity contract ONL Y)

Campus Coordinator (Uniwr ty i contract OiiL YJ

PART UL Descriplion of Cor-tractGrant P1use X ONL Y ONE item under each headiZg IF THEltrease CifYmC~e bolh ges I 30~~ O~ Nol to be completed for Amendmenl or Modlfic3lion AJigtns I III

J 710gt I I V ~ I

MOl - TYPE ACT A~ 0 G unsolicited Propsll (AIDIR 0 C Individual (Non-pe~nal senice)

~ O Cortra lGrantl ooperative Agreemenl 73101-SO(b)(6raquo 0 D Individual (ftrsonal Service)

tJl T3sk Order ( A)middot 0 H Procurement 10 be Perfocm~d by the Conmiddot 0 E UniversilyOther FAuC3lionailnSlitulions

D 2 Work Order (IQC) Ira~lor in Person (AIDPR 0 F Non-Profil Organizationlnslitutions (other

D 3 Delivety Order (Requirements) 73101middotSO(b)( Iraquo than Ed or PVO)

[j 4 Purchase Ordcr [J I Sole Source (AIOPR 7-3101-SO(b)(4)) 0 G Private Volunury Organization (PVO)

If I 2 or 3 1Lle an ~ compllle M 12 ON Y D J Imp3irmenl of Foreign Policy Objectiws 0 H International Agricultural Research Organj-

M04 - CONTRACTGRANT TYPE

o O MOA (BOA BMA etc)

o I Fixed Price (Specify fFP FPRD FPEPA FPI) _____ _

(gtIDPR 7-31 OJ SO(b)(7raquo

OK B(a)5eJection (FPR 1middot1713-1)

o L Grant iH1ndlOok 13)

o M Do Nol Ue

D 2 Cosl Reimburemenl (S~cil) CR CPFF 0 N Cooperative t~reement (Handbook 13)

CS CPAF CPIF) ~ 0 O Small Business SeImiddotAside (FPR 1middot1706-8)

o l Cooperative Agreemenl ~ 0 1 Overseas Procuring AClivilies (AIDPR

04 Grant Gener31 Supportmiddot 0U ~ 7lIOI-SC(b)(2))

o S Granl - Specific Support ~ ~06 E SER VICE

g ~ ~~t ~~(d) ~~ ~~ ~ eci~a~~~~~ogram Projeci

o amp IQCs ~ ~ relampted excepi A amp E Services)

o 9 Host Counlry ContraclGrnnt 5lJ C amp E Services

middotComplele ONLY through ~Sl ~~ 0 D Construction

M05 SELECTION PROCEDURES 0 E- Reseuch

o A Formally 3dverliscd (IFB) (A1DPR 7middot24 amp

FPR 1middot24) ~ o B Negoli3ted Price Compelilicn Gencr31

Procedure (RFP) (-JDPR 7456)

Dc A amp E (AIDPR 7410)

0 D Ed Inst andor Inl1 R~arch (-JDPR

74 5)

o E Collaboratoe Assisunce (IDPR 7458)

C F Predominant Capability (IOPR

73IOI-50(b)(l)

AID 1420-49 (179) - Page I

D F Technical Services to AID (other than trainmiddot

ing usually o~ating expense)

D G jraining SetVice for AID

o H Equipment Materi3J~ Supplies Commodities

D I Translation Service

~07middot TYPE CONTRACTORGRA-nEE

o A Firmmiddot AU profil-rn3king fUms (other than

Aamp E)

J e A amp E 8r~

zalion

o Public Inlmlational Organizations (UN

Agencies ICRC Wocld Bank elc)

(H8 J 3 Chapt~ S)

M08- TYPE AW~RD

o A S8 Sel-Aside - Awarded to Non-Minority

o B S8 Set-Asidemiddot Awarded to MinXity

o C_ S8 NOI Set-Aside - Awarded to Non-Minority

o D S8 NOI SeImiddotAsidemiddot Awarded 10 Minority

o Eo amp(a) S8A Awarded to Non-Minority (Womerl-

Owned Veterans etc)

o F 8(a) S8A Awarded 10 MinorilY

o G Personal Sen-ice ConlrdCt bull Non-Minority

o H IeJSDnal Service Conlract - MinorIty

o I Individual NonmiddotPersonal Service Contraci -

NonmiddotMinority

o J 100Jigtiduai NonmiddotPersonal Service Contracl -

Minorily

o K NOI Small Business (Univ NonmiddotProfit Large

Firms) Non-Minorily

o L- NOI Small 8usineSl (Univ Non-Profit Large

Firms) Minorily

o M US Govcrnmlnt

(Connnued on Page 2)

BEST AVLABIE DOCUMENT 1 I

--

ua ) R I GI NAL 9 bull

MODIFICATION or GRANT PAGE 1 of 2

AH 1 2 Effective Date 3 Grant No 4 Effective Date

Amend_at Ro 5 April 15 1981 AIDCSD- 3294 8-11-71

-s CRANTEE (Name and Addrea) 6 Administered by -Professor Gerhard Loewenberg -Office of Contract Management Cbrnparative Legislative Research Gente Central Operations Division Dept of Political Science am Branch University of Iowa Agency for International Developn~nt Iowa City Iowa 52240 Washington D C 20523

7 PIO No 930-0090- 3013411 A5 8 Previous PlOTa -

Appropriation No 72-11110216 93i-1l-995-l36 930-11-995-136-73-3078103

Allotment Symbol - 146-30-099-00-20-11 wunt Obliga ted by this ~ndrnent - $10397

The above numbered Grant is hereby modified as follows

1 Anotmt obligated prior to this rurendment 2 Amount obligated by this amendment 3 Total obligated anount (1 amp 2)

Delete the amJmt $465000 and substitute in lieu thereof the ammnt I$47S 39-7 ~

FUNDS AVAIrABm

~~ - APR 13 1981

PrO~A~~5iors

$465000 $ 10397 $475397

OffiCE Of fIN~(1 ~~rE~E~T __ _ 10 This amendment 11 entered into puruant to the authority of the Forelgn

Assistance Act of lS~l as amended Except aft hereln provided all terms and ~~ndi~ons nf the grant rcferpnccd in Block 13 remain unchsnged and in full force and ~ffcct

11 original and six Crantee 18 requlred to aign thh document aad return 1- eopics to issuing

ffiee

~~~ or printed) BUSINESS MAHAGR amp bull

Tille TREASURER

UNITpound) STATES OF AHERICA AGENCY FOR INTERNATIONAL DEVELO~NT

BY_-1(1o-_1lt--= 13middot~_1_~ __ K R B1uteau

(Name typed or printed)

Tltle~ ____ G_r_a_n_t __ O_f_f1_c_e_r ____________ __

D3tC APR 2 J 7997 Dolt 9 APq 1981

BEST AVAILABLE DOCUM NT ___ 0 HLGlNAL - I 1 J 1 ~ )

- 2 -

AID ftmds in the am)tmt of $10397 are hereby provided for the activities lmich are described in your proposal (including Budget Stnmnary) entitled CDnference to Report Research Findings on the Study of Political CDnditions for Effective Small-Scale Rural Assistance Projects in Kenya Korea and Turkey dated February 17 1981 and made a part of the Grant b reference

BtTDGET StMMARY

Line Item

Travel

Per Diem

Other Direct Costs

Less existing 211 (d) grant funds

Total Amount Obligated by this Amendment

Estimated Costs

$ 5888

5100

_ 2500 $13488

_ 3091

$lO39

Note Indirect costs or $395086 associated with these activities will be contributed by the University of Iowa

BEST AVAILABLE DOCUMENT

~RIGINAL

- CONTRACT IGRANTCOOPERA rIVE AGRElEMI~ SERC~SDSlP Actio) Monitor

SERCMSDSUP Action Office

I

INSTRUCTIONS AJDW - Complete 4 copit of tlh fonnmiddot Orisina iCMSDfSUP Sutistical Section COP)middot Copy 2 SERCMSDjSVP Administrative CoP Copy 3 Cont-acting Officers COP) Copy 4middot SOSUP Admin (Susptnse) Copy Missionsmiddot Complete 2 copies of the form or~aI SERCtSDSUP Statistical Section Copy and Copy = wiU~ retained in the Missions

0 PART IA

Effective Date of Document tJ

Delivery Order (Requirements)middot

o 4 Purcluse Order

bull If I 2 or 3 have an bull X compl~te M I 2 ON L Y

M04 - CONTRACTGRANT TYPE

o O MOA (BOA BMA etc)

o 1 Fixed Price (Specify FFP FPRD FPEP FPI) ___ _

o 2 COli Reimbursement (S~cifY CR CPFF CS CPAF CPIF) ______ _

o 3 Cooperative Agreement

o 4 Grantmiddot General Support

o S Grantmiddot Specifi Support

o 6 GraDt 21 led)middot

o 7 Do Not Use

o amp IQCs

o 9 Host Country ContractGrant

middotComplete ONLY through M 5 1

MOS SELECTION PROCEDURES

o A Formally advertised (IFB)(AJDPR 7middot24 amp

FPR 124)

o B Negotiated Prire Competition General

Procedure (RFP) (AIDPR 7456)

o Co A amp E (AlDPR 4 I 0)

o D Ed Ins andor Intl ReStalch (UDPR

7457)

o E Collaborative ASSistance (AIDPR 7458)

o F Predominant Capability (AIDPR

7-310l-50o)(3)

AID 142049 (1-79)middot Page J

o H Procurement Co be Performed b~ the Conshy

tra~tor in Person (AlDPR

7middot3t OI-SO(b)(Iraquo

o I Sole 5gturce (AIDPR 7middot3101middotSO(b)(4raquo

o J Impairment of Foreign Policy Objecdv~

(AIDPR 7middot310 ImiddotSO(b)(7raquo

o K 8(a) Selection (FPR 1middot1713-t)

o L Grant (Handbook J 3)

o M Do Not Vse

o N Cooperative Agreement (Handbook 13)

o O Small Business SetmiddotAside (FPR 11706-8)

o P Overseas Procuring Activities (AIDPR

7middot3101middotSO(b)(2raquo

M06middot TYPE SER VICE

o A TtJining of Participants

o B Technical Assistmce (Program Project

related exc~pt A amp E Services)

J C A amp E Services

0 D COltl~ruction

0 E Research

0 F Technical Services to AID (other than trainmiddot

ing usuaU Y operating ex pense)

0 G Training Service few AID

0 H Equipment Mat~rials Supplie~ Commodities

0 I Translation Service

07middot TYPE CONTRACTORGR TEE

Firmmiddot All profitmiddotmaking fu-r1s (other than

AampE)

o 9 amp E Firms

I Prcct NumbcT

I

Contactors D-U-N-S Numbcr

I) -S--f(j

o C Individual 0-lon-~rsora1 service)

o D Individual (Pet-sonal Service)

o E University lOt her EduCltionaJ Institutions

o F Non-Profit Organization Institutions (other

than Ed or PVO)

o G Private Voiuntary Organization (PVO)

o H International AgricultwaJ Research Organmiddot zation

o I Public International Organizadon~ (UN

Agencies ICRC ewld B3J1k etc)

(HB J 3 Chapter 5)

M08middot TYPE AWARD

o A SB SeImiddotAsidemiddot Awarded to Non-Minority

o B SB SetmiddotAside bull Awarded to Minority

o C SB Not SetmiddotAside - Awarded to Non-Minoril)i

o D SB Not SetmiddotAside - Awarded to Minority

o E ~a) SBA Awarded to Non-Minewity (Womeli

Owned Veterans etc)

o F 8(a) SBA w-rded 1o Minority

o G Personal Service Contractmiddot Non-Minority

o ~ Personal Service Contnct - Minority

o I Individual Non-Personal Sence Contractmiddot

NonmiddotMinority

o J Individual Non-Personal Service Contractmiddot

Minority

o K Not Small Business (Univ Non-Profit L1lge

Firms) --vn-Minority

o L Not Small BUSiness (Univ NonmiddotProfit Large

Firms) ~inoriy

o M VS Government

(Continued on Pcge 2i

t bull - t ~ J f q

ORIGINAL bull MODIFICATION OF GRANT

1 2 Effective Date

Araendllent Ro 4 12-2-80

s CRANTEE CHace and Addrels) Professor Ger1ard Lo~middot enbelg Comparative Legislative Research Deartment of Political Science The Lnivp-rsity of Iowa Iowa City Io~a 52240

7 PIO No NI A

Appropriation No 72-11XHl26

Center

Allotment Symbol -426-30-099-00-3~-71 Amount obligated by this urendment-O- I

3 Gnnt No

AIDcsd-3294

PAGE _____ 1 _of-L

AlI 4 Effective Date

8-11-71

~ Admlnlltered by -Office of Contract Management Central Operations Division OTR Branch Agency for International Development Washington DC 20523

8 Previous PIOITs -

931-11-995-136 930-11-995-136-73-3078103

9 The above numbered Grant is hereby modified as follows

Supplement to Grant

Change the duration period sentence to read

The Duration Period for this Grant shall be August 11 1971 through December 31 198]

1 Amount obligated prior to this amendment $465000 2 A~unt obligated by this amendment -0-3 Total obligated amount (1amp2) $465000

----------------_- - ------- ----_- ------ 10 Thh lImcndmcnt is entered inlo punuant to the authority of the Foreign

~ Assistance Act of 1961 86 amended Except a~ h~reln Z II provided all terms and condi tions nf the grant referenced in Block 3 remain ~~aunchlinged and In fu1l force and effNt cnltUI cJ)za 11 o 4 J bull

Et~ ai~a gtUoItshyc Z P=u

original and six Grantee t requi red to sign this document and return 1- eopies to 1Bufng

office

~ 12 GRANTEE TES OF AMERI CA

(Name typed or printed) bull

TJlle Director Comparative Legislative liecearell CeQtoQl

Date 12880

------------------------------------

ONAL DEVELOPMENT

By ----~--~~~~---------------------

prinled)

Grant Officer Title --------------------------------

J)oll( 12-2-80 -----------------------------

BEST AVAILBLE DOCUMENT i je

Page 26: PD-Ar3T Cr(~

The total amount of funds obligated under the grant is increased to reflect

a new total oblgated amount of $465000

Please sign the Statement of Assurance or Compliance ana the origfnal -

and seven (7) copies of this letter to acknowledge your understanding of

the conditions under which these funds have been granted Please return

the Statement of Assurance of Compliance and the original and six (6)

copies of this supplemental Grant to the Office of Contract Management

Attachment May 6 1977 Proposal and Budget SUfiT1a ry

UNIVERSITY OF IOWA

Roberw bull OBrien fficer

Ce al Operations Division Office of Contract Management

AC~E~E~C--_ 0 BYpoundk~~ cH

D C ~lpoundSTtR5BA T ITL E ( PfeampoidPilt for

tee ment amp Research DATE 9-22 -77 (d~ ~~Bduate Ctl~1e~e

BES i AvAILdLt UOCLJMU~ I

211(d) Grant Program

Proposal of the University of Iowa

POLITICAL CONDITIO~S FOR EFFECTIVE SMALL-SCALE

RURAL ASSISTA~CE PROJECTS

Submitt~Ci to

Civic Participation Division AID

May 6 1977

Amount requeste~ $ 199987

BEST AVAILABLE DOCUMENT

I TdE DEVEIOP~T PROBr~

P~litical Conditions for Rural Development

The Cocparative Legislative R~search Center of the University of

Iowa proposes to ~~dartake a two-year study to investigate the role of local

leaders and the rural public in theimplecentation of small-scale develop~ent

1 projects in less developed countries The study will use and extend the

capacity ~hich the University of Iowa developed under a 211(d) grant to

investigate and assess the impact of loeal politics on rural development

~t the co~pletion of the s~ Iowa will be in aposition to advise the

Agency on the design ~nd evaluation of s~ll-scale projects which will be

politically viabe a~d effective in ass~sting the rural poor ~

As students of development w~ approach our task with the assumption

that the proble~ of development and underdevelopment are funda~entally

ones of political econooy and a~ such can only be solved through a

simultaneous considerationof economic and political factors Efforts

which foc~s aloost solely on economic factors like those of ma~y

organizations engzed in dipersing foreign aid or efforts which focus

almost exclasively on political factors fail to take account of the

interdependence between these two dimensions of underdevelopment and

lwe have for~ulated this proposal in a canner consistent witr the cu~rent policies ard interests of the Agency We have been guided in our tsk by four Age~cy doc~e~ts Impleo~~tation of New Directions in Developnent Assista~c~~~ ~eport to the COmlittee on International Relations on Ilupleoenshytatiun of Legislative Refo~ in the Foreign Assistance Act of 1973 (July 1975) rItevis~d Projec Developiel Review and Approval Systeo (A I DL Circular A-21 Aril 23 1975) SH Butterfield Draft SUIilZ3ry StateUlent of a Practical Agelcy Approach c aural Devalopilelt (AATA February 28 1975) Cicci A Coce~ual Oie=viamiddot middot Rural Development No1 (lWorilting GOU O~ tha Rural Poor February 1975)

- l -

can meec with only l~ted success

Our concern with the i=pact of local politics on the process of

rural developcent is a result of our interest in the basic question of

how LDC governm~nts and the donor agencies which assist them can

become core effective in raising the standard of living of the rural

poor We seek answers to the following aspects of that basic question

1) What political conditions must exist both within rural communities

and between theo and central gove~ents to raise agricultural production

w~ere small-scale agriculture is the do~nant pattern 2) Vnat are the

political conditions for a core rapid expansion of the informal manufacturing

and service sector cocprised of labor intensive small-scale industries

located in the rural ar s 3) What political structures and activities

are mase crucial for the provision of welfare and econocic supporc services--

such as agricultural exeension mar~eting and transportation--to the rural

areas1 4) ~~at Folitical conditions oust exist to insure that economic

growth in the rural areas is not accowpanied by excessive and intolerable

inequalities between socio-economic classes andor between regions1

Center-Periphery Linkage in LDCs

To deter~ne the political conditions for rural development we have

in previo~s s~udies exacined the institutions and processes through which

rural populaticns are integrated i1to the national politi-cal systetlS of

middot~he countries in which they live A gap exis~s in most less developed

countries bet~een the peasantry residing on the periphery and the c~~tral

political ~stiutions staffe1 by ~~estern-educated bureaucratic elite

We are aware of the other major ~sti~utional discontinuities which comprise

J

4 middot~~1 the basic cleavage between the developed and underdewmiddoteloped sectors of

these dual societies Bridging these gaps is essential if these so~ieties ~ are to develop into viable nation states For until those Q~ the periphery

of the poli~ical syste~ participate in that system and support and comply

with the authority of central political institutions neither economic

development in ~he rural areas nor a stable polity will emerge

Bridging the discontinuities in these new political systems requires

establishing and institutionalizin3middot1inkages or networks for co~unication

and exchange of resources between decision-makers at the center and the

rural public on the periphery Three types of institutional linkages are

most prominent in less developed countries 1) those conSisting of the

state administration composed of the bureaucratice1ite 2) those consisting

of a revolutioncry political party cocposed of the ideological elite

3) and those conSisting of patron-client hierarchies composed of the political

entrepreneurial elite

Of these three linkages consisting of the state administration are

the cst extensive and pervasive in virtua~ly every LOC Such linkages

however exist primarily a~ instruwents of the center to penetrate the

periphery Central government officials are formally charged with bringing

develo~ent to the people This is a ~issi~n which conceives development

as a process ~hrough which a traditional peasantry is transformed and

assimilated iJro the DOdern center which is steadily expanding to embrace

it Agents of the center invariably have more resources to achieve their

objectives than do local political leaders but because they are frequently

strangers~ the communities in which they function they are often unable

- It -

co implement the policies of the center without working through the

local establis~ent

Though somctices significant linkages consist~g of revolutionary

party organizati~ns such as those found in China and Vietnam do not exist -

in most IDCs beca1Se of the special historical and e~omic conditions

required for their development As wi~h the administrative state however

the linkaampe apparatus of such political patties is prUlarily an instrument

of the center whose mission is to penetrate and mobilize those onthe

periphery

In contrast patron-client hierarchies are linkages which represent

the periphery at the center and mediate betwee~ these two disparate

sectors of the political systec Thcugh norcallymiddotovershadowed in scale

by the state administration patron-client hierarchies are found in almost

~very LDC a~d constitute the ~st significant network through which rural i

populations and their leaders influence the decision-~king process at

the center Patron-client hierarchies exist in a wide variety of org~iza-

tional fores ranging from info~ ~ec~~rks of individual olitical leaders

in uno-partyll systelS in S~b-SaharaI4 Africa to extensive political machines

in both one-p~rty (Africa Mexico) and ~u1ti-party systems (Turkey India)

Despite their importance as the pricary means through which peasants in

LDCs particiate in their political systems patron-client hi~rarchies

have only recently become an object of analysis by students of political

developent and do not appear in even the most sophisticated studies of

2 See Jo~ Dunca owell Peasant Socie~y and Clientelist Politics Aerican Politi~ Scielce Revietol 64 (June 1970) pp 411-25 Rene Lemarchand anc_ Keith Legg olitical ClienteliSJ and Ethnicity in Tropical Africa Aierican Political Sc~ecce ReView 66 (Y~rch 1972) pp 68-90 James C Scott PatronshyClient Politics a~d Political Change II 1tlerican Political Science Revie~ 66 (~arch 1972) p 91-113 and Friends Followers and Factiols bull edited by Steffan Sc~~d and James C Scott (Berkeley UniverSity of California Press 1977) bull

- 5 -

3 economic development Ad~niscrators of developmental assistance progracs

have too often regarded patron-clienc hierarchies as ~ped~ents to

develop~ent instead of recognizing cheir potential utility bull

~ Findings on Patron-Client Hierar~hies --

The importance of pat~on-clienc hierarchies for linking the periphery

to the center is one of the major findings ~erging from a study of the

relationships betueen l~gislators an~ their constituents in Kenya Korea

and Turkey ~hich the Cowparative Legislative Research Centpr is nov

comleting uader its 21l(d) grant from AID This study has av~mined the

creation of linkages between the periphery and the center through ~ore

than lO~OOO interviews with members of parl~ent local leaders and

peasants in t~e three countries The findings are being systewatically

set out in a book-length monograph Nearly a dozen research reports have -

uready appeared (see Appendix C) ipropositions about the nature of

political behavior of rural populations an~ the roles of local political

elites de=ived from the research~ can be s~rized as follows

1 Elected representa~ives play a significant role in the creation and mainte~ance of linkages be~een the center and periphery by developing local political achines in which they function as patrons of their constituents In turn thay s~rve as clients of political leaders of national stature who control central government institutions

2 By atte~pting to establish linkages based on patron-client relatio~shi~s elect~d representatives are responding to public expectations chat their prizary duy is to obtain resources from the center to proffiote local develop~ent ~iany elected repLesentatives spend most of their time on self-help co==unity development projects such 3S the building of schools health clinics irrigation works arid roads because such projects provide

3For exa~le ~ a widely respec~ed a~d useful analysis of rural deve16p~ent in Sub-Sahara~ Africa L~ Lele of the World Bank notes the problems of creating an adoini5~raive infrastructure in the rural areas that is sensitive to local socio-oliical conditions She does not however consider how local leaders operating o~tside of adcinistrative structures ~ night contribute to the developne~t 0 the rural areas See ~~ Lele ~ Design ~ Rural Develop~ent Lessons ~ Africa (Balt~re The Johns HopkiD~ Uciversity Press 1975) r) pp 127-61 i ~

- 6 -

their const~tuents with desired se~ices ~~d a= the sa~e time provide the reresentatives with an orgacization Yhicn can be used as a political base

3 l-tore than 90 perCel1t of the rural population is capable of articulating the p~oblems facing their local co~~ity and two-thirds discuss th~e proble~ w~th their fellow citizens on a regular basis

4 Three-q~rters of the residents of the rural areas can identify the public ofpoundici~s who serve thec--both civil servants and elected represcrtatives--by na~e Most are knowledgeable about the activities of these officials Alcost one-fifth coreover have discussed co~~~ity probl~ ~ith these officials particularly those working at the grassshyroots level Residents of rural villages actually have a higher level of political knowledge than their counterparts in the towns

5 Elections in the rural areas evoke a highly rational attern of voti~g despite the effects of ascriptive or traditional co~siderations Inc~ens are pri~rily evaluated in terms of their record in fulfilling the public r S elpectations of what they should do Elections are essentially referenda on inc~entsr perfo~ce especially their perforwance in the area of constituency servi~es such as bringing development projects to the districts bull

6 Local developcent projects have a relatively high s~olic value generating conscitutency support for local leaders and the central government at low cost

7 These projects help huild a local political infra-structure which can also be utilizec by central govern~nt civil servants to implement other policies designed to achieve rural develop~ent bull

The Icpac~ of Local Politics on Rural Projects

Having explored the developtent of linkages through which the periphery

is represented at che ~enter and through which the periphe~ attemp~s to

share in the ceners resources we now propose to build upon our initial

investigations by e~ing in greater detail the impact of local political

conditions on specific problecs of rural develop~ent We propose to

exacine the develop~ental activities of local leaders ~nd the rural public

by eX2~Ding a saple ot fifteen to twenty smalL~scale developwent projects

in each of ~he three countries which constituted the sites for our initial

8ESI AVAILABLE DOCUMENT 1 ~ - of

- 7 -

study of center-perhiphary relations The appropriateaess of this approach

and the ~ethodology through which it will be ip~emented is discussed in

section II Because the ~ethodology of investigation is in large part

the result of our previous research experience we fizst turn to a revieW

of the existinQ __ ~petence of the Comparative Legislative Research Center

in this area

II GRAXTEES EXISTIXG CmET~CE

In 1971 the University of Iowa received a 211(d) grant to develop

its capacity to do research on the role of elected represent~tives in

the process of modernization On the b~sis of this grant the University

established a research center which planned and carried out a research

project on the role of elected reres~~tatives as links between the central

gove~ent and rural populations in K~ya Korea and Turkey The project -i

served to develop t~e University of Iowas research capability in this

field esa~lished ties between the University and scholars in the bost

countries and generated a large and uniqu~ body of relevant data

In that project we fo~ussed our attention on tbe activities of elected

representatives in their constituencies notably in their contacts with

local political leaders voters and civil servants To determine tbe

nature of the linkage function performed by tbe representatives we

designed our research to explore the subject from three perspectives

1) we eXaojned ~~a ~ubject at tbe grass roots by conducting a series of

sample surveys of 200 to 300 adults in each of 12 to 14 parliamentary

constituencies in each cf th~6three countries 2) we examined the subject

at the center by intervie -ing MIls from the constituencies in which we

had conducted S3mple surveys ~nd higher civil servants with whom they

had contact and 3) ~e ex~~ined the subject from an inter-~diate level

by identifying aud ~terviewing local social and political leaders in

the MPs constituencies We used survey research methods because we

were embarking on the study of an entir~ly new subject for which little

relevant docu=e~tary data existed and on which there were few secondary

sources As a result ~e have unparalleled experience with survey

research in the rural areas of less develo~ed countries

The surveys which constituted the cajor part of our field work were

planned in collaboration ~~th scholars from the host countries They were

carried out in each constituency by student interviewers in the appropriate

language ~re than 10000 respo~dents were inteDViewed for the project

Given the visibility and sensitivity of this undertaking approval for

the research was sought and obtained from the host governments prior to -i

the collec~ion of data ~o objections were raised by these governments

at any stage of the research The data obtained have been made available

to scholars i~ the host co~cries and some of the basic findings have

been published in periodicdis in these countries

The Comarative Legislative Research Center ~hich ad~nistered the

project has aisO developed extensive experience in the study of political

leadership in other countries It h3s obta~ed substantial support from

the Fo~d Foundacion and the Rockeeller Foundation has worked in

collaboration ~~h European as ~ell as Asian and African scholars and

is engaged in a ajor study of the role of elected and non-elected leaders

in the oanag~~t o~~ocial conflict Because it has conGucted research

in a variey of setlngs the Center has an ~ceptional capacity to

- 9 -

determine how the relationships be~een political institutions and

economic p=oble75 differ in develoPed and less developed countries

In the course of the major research projects the Center has administered

it has gained highly specializpd ~p-i ce iI identifying 1Olitical leaders

in a great variety of settings conducting systematic interviews with

them collaborating with scholars in the host countries and in coding

and utilizing large files of data to answer specific research questions

The Center has ~lso undertaken to publish the results of its research

in three fores It issues codebooks to the data enabling scholrrs at

other locations to use the data expeditiously i~ publishes research reports - in the form of Occasional Papers and it publishes a scholarly periodical

devoted to the presentation of research findi~gs to an inteIT~tional

audience

The Center utilizes the data ~ysis facilities of the Laboratory

for Political Research of the University of Iowa and drawS on the unusual

n~er of secialists in comparamptive politics and survey research in

~~e Lniversitys Departmen of Political S~ience The Center itself I

has the services of an administrative secretary and a clerk-typist

~intains its~o~cn extensive archives and its o~~ publications program

It is e~uipped to assist scholars and government officials outside the

t~iversity of Io~a The participants in its p~ojects are full-tioe

faculty ~e=bers ~hose undergraduate and graduate teaching is closely

related to their research As part of the teaching program the Center

has attracted students from the countries in which the research projects

have been conducted these students have participated in the projects

bull J

have obtained training in other fields of political science have received

University of Iowa degrees~ and have ret~rned to teach and to do research

in their own countries

III PURPOSE OBJECTIVES AID METHODS

Purpose of Study

The purpose of the proposed grant is to extend the capacity of the

University of Iowa to determine the political conditions in the rural

areas of less developed countries which favor the establis~ent and growth

of small-scale developoent projects ~e objective is to put the University

of Iowa in a position to assist the Agency in designing small-scale rural

developent projects providing guidelines for carrying out social soundness

analyses of such projects and adviSing in the evaluation of projects

We will discuss the utilization of~t~e Universitys capacity in detail in

section IV below

We propose to concentrate our investigations on the political conditions

surrounding s~l-scale ru~al projects Such projects have distinctive

advantages They waximize the political participation of the rural populations

both in det~~-ining the direction ~d implementation of develop~ent efforts

and in defending the interests of periphery vis-~-vis the urban-based

bureaucratic elite S~ll-scale projects stimulate entrereneurial activity

on the part of the rural citizens and growth of the info~l canufacturing

and service sector Tbey require less lead tice and less administrative

c~erhead to ~eco~e operational than large-scale capital-intensive projects

centrally administered Such projects yield rapid and direct benefits to

1

j

the rural

- 11 b - ~~1

populations and are consistentwith their hUIlaD rights--both

political and economic However~ small-s~le projects pose s~ecial probl~s for administratcrs of developceocll assistance progracs because

they require the donor co assess the local olitics particularl the

rural politics of t~e host country

Develop~c adoinistrators pr~rily conc~rned with assisting rural

populations must therefore recognize the range of political variables

affectL~g these projects Small-scale projects offer great opportuoities

for develop~ental assistance progr~ because they can be easily targeted

to help rural populacions require low capital costs and need no be

concentrated in one or two localities Such projects ho~ever~ ~equire

the a~istrator to have ~re political kno~lecge than large-scale

projects Oil which his priJlary tas~ is guiding the work of other experts

Questions for ~Investigation

To detercine the politi~al cc~diicilS ~st conducive to ~he establ~~ent

and gro~h of scalI-scale rural projects ~e propose to address our inquiry

to the following specific questions

1 To what extent and why co local political leaders seek to establish s~~l-scale develop~ent projects within their co~unities

2 To what extent and ~~y do local leaders other than politicians initiate andor provide leadership for s=all-scale developm~t projects

3 Bot do the relations bet~Jeel different types of local leaders (political and non-political) and bet~eeo these leaders and central gove~ent civil servants posted to the rural areas affect the conduct of develop=ent projects

4 How do existing authority ~eLationships between these different leadership grous and the rural pub~ic affect the organization and operation of s~l-scale develop~ent projects

- 12 -

~

5 lhlt is the nature 0 pclgtlic participation in the establishlent and operatio~ of s~l-sclle projects and ~hat are the outcc=es or this participatioe Gucer w~at conditions is such participation ~ost likely to occur

We seek a~swe=s to t~cse questio s L order to determine the effect of

different co~iigurations of local leadership and public participation on the

outcomes or small-scale rural projects te are particular1y concerned with

the ~pact of these configurations on the rate of econocic growth and the

distribution o~ rIGSlth ithin the loal cOlllUlity ~ on the perce~tions of

s~ll-scale proj~cts by central govern~ent per~oncel and the rural public

anmiddot on the organiation or flture projects

To a~swer these que~tions it is oar intention to study the initia~ioD

izJple=enation ald i1lpact of a salple cpound small-scale rural projects in

Kanya Korea and Turley in the sae cOllities in which we carried OU

our initial icvestigations ~ 1973-75 Tne relationships between the -

various conf~gurations of local leadership and public participation and

the three phases of project develop~ant are sho~ in Figure 1 We will

exa=ine projects to pro~ote the adoption of new agricultural techniques

by s~l and moderate landnolders the building of feeder roads irrigation

ditches and other s~ple infrastructure the organization of fa~ers

cooperatives and other local associations concerned with rural development

the establish=ent of rural health clinicS and schools and the setting up

of craft and service industries

Sites for Study

We plan to return to our original set of localities because we possess

a rich body of relevant data on the extent to which linkages exist between

Figure 1

TYPES OF LFLUEXCE OF C2r~ middotGOVER1iEXT OFFCIALS

LoCu LEADERS 0 THE RURAL PUBLI-C OX THRr~

PHASES OF RURAL igtEVELOPHET PROJECTS

r----------~J C~ltral Gover1~nt Official)-N------- - J

r- Local pOlitical leaders

Local non-political leaders

~l 1---- -

ROJECT nITL~TIOS

Influ~ce on selection of projects

InrI ~elce on location of projects

Influence on policy guidelines for proj eCl

Il

I

a

I I

-I PROJECT I~L~~iATIO~ ~ 1

j Project Organizati I Selection of project

leadership

Hobilization of resources

Mobilizatiol of public compliance with project require=elts

Diffusion of project innovation

Rural Public

I

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1 ROJECT IMPACT

Organization of ongoi=g project operation

Distribution of project benefits

Evaluation of project

Public attitudes toward project

-middot14 -

these areas and t~c central p~litical institutions of the three co~tries

and on the attit~es of the rural populacioc local leaders and elected

legislators regardi~g their problecs of develop~~c Since such data

is unavailable for alternative locales a return to the areas in which

we have previously done much research ~ables us to build on a uniquely

valuable body of icformation

A return to Kenya Korea and Turkey is also highly desirable from

the standpoint of effective research organization The Comparative

Legislative Research ~enter has developed close collaborative relationships

with several highly competent social scientists in these countries and

with the academic institutions with which these scholars are associated

We have also dev~_oped cooperative relatio~ships wi~ gove~ent officials

in these countries which should facilicate obtaining approval for our

further work

In proposing to doc~ent the origin i~pl~entation and impact of

one to three s~ll-scale develop=ent projects in each of 35 localities

we have two considerations in mind Firstmiddot because our pr~ry goal is

to deter~e the political conditions for rural developm~Lt we wish to

examine develQ~=ent in as many different settings as feasible Only in

this way can we control for so=e of the major socio-cultural variations

that erist along rural populations in less developed coultries These

include the overall level of econo~c development in the co~unity the

nature of t~e ~digenous culture an~ relationships of authority and the

pro~ty of the comounity to major urban areas and centers of central

gove~nt ad=inistration ~ce our original study sites were carefully

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- 15 - ~ ~1

selected to represent these variations ye have concluded that these

35 localities woule be ideal sites for the propose~project Second~ in order to dete~~~ the ~pact of local leaders and public

participation o~ ~ural projects we intend to compare projects 1n which

local leaders and ~ecbers of the public have played a major ~ole with

projects in which they have not We also ~l cospare projects initiated

by the central gover~ent with projects Yhich have been locally initiated

These considerations give us a typology for selecting projects as depicted

in Figure 2

Figure 2 ~

FIVE TYPES OF RU~AL PROJCTS ACCORDIXG TO ~FLUEXCE OF CEITiW

GOVE~1E~T LOCAL LEADE~ AD RLRAL POULATIO~

Level of Participation by Rural Population

Locus of Project Initiation ~

Local Co=unity Central Governoent

BIGd

LOt

1 Projects initiated by local leaders and providing for participation of the rural ~opulation

4 Proje~ts Litiated by local leaders bu~ not involving participation of the rural population

2 Projects initiated by the Central Govern~ent and administered i~ cooperation with local leaders a~d the rural population

3 Projects initiated by the Central Govemlent and providing =or the participation of the rural population but by-passing local leaders

5 Projects initiated by the Central Gover~e~t a~d administered in cooeration Yith local leaders but not involvi~g parti~ipation of rural population

- 16 -

We recognize that the socio-cultural setting of rural develoment

projects varies significantly within and across less developed countries bull

By focussing o~ a representative sa=ple of localities ~ Ke~ya~ Korea

and Turkey we can take account of naoy~ though not all of these variations

While some of our substantive findings will not be directly generalizable

beyond the countries in which we propose to conduct our study we expect

that our basic ~ethods and fLdLgs will be applicable to national and

sub-national settings elsewhere in the developing world This is partly

d~e to the fact that the hierarchy of patron-client relations ~hich we

regard as a critical factor in rural develo~~t exists in ~ost Liles

--It is also due to the fact that the methodology for identifying local

bull leadership configurations auG poundor studying local politics which we are

perfe~ting can be used to assess local political co~ditions in a large

variety of countries even when the ~nditions themselves differ significantly

Methods of Investigation

The data needed to assess the iDpact of local leaders and mass

participaticn on rural dev~lop~nt fall into two categories Some a~e

contained among the data gathered for the research project we are currently

completing Others will require additional field research

The following data are already in hand

1 Data on the social landscape of each loc~l co~nity i~cluding aggregate data o~ level of econonic development de~graphic characteristics political pa=ticiation eth~ic loyalities and rates of socio-econocic change dur~g the past decade bull

2 Identity of local leaders including both political and I-on-political leaders and both legislators and other politicians

3 Perceptions of existiag probl~ and their possible solution a~ng

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general public local leaders and civil serv~nts

4 Level of political kno~ledge among local citizens and local political leacers

5 Political and social values a~ong local ci~izecs and local political leaders

6 E~~ectacions of leadership roles among the local public and elected and non-elected leaders

7 Patterns of co~unication ~ong local leaders and between local leaders and the central gove~e~t

These data ~hich ~e already have in hand can be subjected to analyses

which ~~ll provida the foundation for our further work on rural develop~ent

projects A part of our work therefore will consist of fu~ther analyses

of existing data

New data of the following kinds are also required

1 Doc~entary data on the origin and evolution of particular smallshyscale develop~cnt projects in the rural areas

-2 Data on project costs boih ~itial invest=ent and recurring

operating costs and data on project ou~puts ie pupils in schools Ddles of road coopleted nl~ber of hospital a~ssions production of factory agricultural productivity

3 Data on project organizatio~ n~~r of local inha~itants participating in establis~~ent of projectt nuober of local L~habitants subsequently involved in project

4 Data-on the pe-cetion of projects by local leaders emers of the local public a~d by civil servants data on the perception of how each project ~as initiatec organized who benefitted and what its future implicatio~s are

These types of data will requ~re field work involv~~g both docucentary research

at the relevant ~istries of the central government and in local goverr~nt

authoritieS and inforoal open-ended interviews with local political leaders

elected representatives and other local leaders who~ we had previously ~

interviewed in a s=uctured syste=atic =aoner

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- 18 -

Grant Organizatio~ and T~etable

We propose co undertake the research outlLled above beginning in the

fall se=ester 1977 Dur~g that te~ Professors Barkan and Kim as

principal investio~tors for the neo1 proj ect will contact their collaborators

in the host co~~tries They ~~ll also seek the collaboration of an additional

~rican scholar specializing in rural development with the aic of getting

additional advice on sources of data and suitable indicators for the

~easure=~~t of rural develop~ent projects

At the end of the fall seQester Professors Barkan and Kim will make

a trip to their research sites to disc~s details of the research organization

with their collaborators in the host countries and to recruit student

assistants Tney will devote the spring te~ 1978 to further analysis

of a~sting data at the University of Iowa

The gathering of additional dita L~ the field will begin in the s~er

of 1978 Professors Barkan and Kio will direct this work personally We

eAect that its coopletion ~~ll require three to six months This work ~1

involve the evaluation of central and local gove~ent reports on the

projects uncer investigation extensive on-site observations of the projects

and oen-e~ded interviews with the principal participants Our principal

respondents ~i1l be the local leaders and elected representatives we

have previously identified in the localities in which we have worked and

a sacple of active participants in the particular dpvelopment projects

being studied ~~ere necessary and apropriate surveys of the general

public will be uncertaken to assess the inpact of a given project on the

rural por)r We do not however leed 0 conduct systeAlatic sample surveys

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- lY -

of the rur~l population as We did in 1974

In the organization of this research project we intend to reconstruct

the rese~rch tea=s ~e e=ployed during 1973-75 We shall again seek the

co11abo=~tion of P~ofessor Sc~~S-7o~g Pai of Seoul National University ~

Professor IIiCr Turan of the University of Istanbul and Professor John J

Ok~u of the U~iversity of ~arto~ S~ilarly w~ contemplate directing

the field research fro~ he same acade~ic research organizations we previously

used Seoul National U~ive~sity th~ ~~iversity of Istanbul and the

Insti~ute for Develop~eut S~udies University of Nairobi As before we

will tra~ students f~oo these institutions to serve as interviewers

The analysis of the open-ended intervie~s and of docUQentatio~ on

I ~ural develop=e~t projects will be a ~ore t~e-co~s~g process than the

analysis of closed intervie~s It will reqrire a high cotnittl~t of time

fron the principal investigators )e e--pec to hold a conference at the i

U~iversi~y of Iowa 3lO1g all the principal )clticipa~ts in the resea~ch

project d~=~g t~e spr~g 1979 to evalua~~ the newly collected data

le e~ pect to be able to vr-ite reports of t~ results during the Sl1~er 1979

(see Figre 3)

IV LlX-GS ~1) U~ILIZATIO~

At the e~d of the grant period the Uti ersity of Iowa will be able to

1) advise the Agalcy 01 the design of s~l-scale rural projects to assist

the rural poor 2) provide guidelines for social soundness analysiS of

small-scale projects for the rural areas of U)Cs 3) consult w~th the

Ag~tcy 01 the evaluatiol of rural projects ~d 4) provide LDe governments

BEST AVAILABLE DOCUMENT

)ATES

~lll

1977

~inter 1977

iprilg 1978

il mer 1978

~all

1978

ipr~ng

1979

Imiddoter 1979

University vf Iowa

Plutlning of rural develo~rent project

Barkan Kil

Alalysis of existing data

Barkan Kia

Data processing

3arkan Kin

1

I

- 4 -

Figura 3

GRAT TLfETABLE

SIT E S

Kenya Korea Turkey

Preparation of field research ural developH~lt project cOlisulta~io~ a research sites

BarkanOku=u Ki~Pai Tura~rkanKi~

Preparation of field resea-ch

Tural

Field research on rural cevelop~~t projects Bar~lOk~u Ki=Pai Turan

Co=pletion of Co=pletion of field resear~~I~ fiald researcr

Ok~u i Pai bull

f Coopletion of field research

Turan

Data analysis conference a~ong all princial i~vestigators at Un~versity of Iowa Barkan Kil Oku=u Pai Turan

Co=letiol of r~ral develop~ent

project

3arkan Kiz

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I

- LL -

~ith speciali~cs o~ ru~al developcect ~mong their own citizens ~ho ha_

partcipatcd ~s collaborators in the Iowa projects

In the proposed project we Will test a series of hypotheses cOlcerning

the political cOllditions of rural develo=ent which run counter to CODOn

assuoptions conccrnir3 t~~ influence of rural politics on project effectiveness

As a result ~e ~dll be able to assist the Agency in designing and evaluating

such projects froe the point of V~~W 0 their political viability The

hypotheses We will test sugges~ t~at the patron-clie~t relations existing

in the local politics of zost LDCs are not necessarily i~pedients to rural

develop~ent but are aspects or the political structure which cal be used to

facilitate s~ll-scale ru=~ projects which will raise the standards of

living of _ ~ rral pomlation - As ~ result or our stuey we expect to be

able to P~-O~t the local leadership confi5~rations ~4d the relationships

between local leaders ald rural poclations ~nich are oost conducive to I

successful develcp=en efforts We believe that we will be agtle to perfect

a cat~odology for identifying the political conditions for rural develop~ent

one ~hich is transferable pound~oo the countries we have specialized in to

other LDCs

We proo~ to develop specific guidelines to assist administrators

charged with selecting evaluating and =onito~ing rural develop~ent

projects to ~szess t~esc rojects in tares of their-social and political

viability he outco~e of such projects is dete~ned not only by the

efrectiv~nass ~~=h ~hich they use scarce econo~c resources but by the

~~er L~ w=ich they e~gage the suppprt of local leaders and rural

po~ulatiocs~ by thei= effect ou social a~d econo~c equality ~d by

D[~T AvAlLA8LE DOCUMENT

- 22 -

their consequences for hwan rights ~Je plan to establish criteria by

middot~hic~ the probable outco~es of projects in these social terms can be

anticipatec

The study ~e propo e will be undertltlken by faculty at the Cniversicy

of lowe in collaboration with faculty a other ~rican institutions and

institutions in the host countries We will build on the extensive contacts

between the Co~perative Legislative Research Center of the ~niversity of

Iowa end other instituions with ~aich ~e have worked One =ajor result

of our collaborative study will be the existence of a net~ork of compe~ent

scholars both in this country and overseas experi~lced in ~orking together~

shar~g a co~on teaching and training experience i~ close contact throu~~ the

effective publications progr~ developed by the Co~parative Legislative Research

Center T~e e~~ertise of this group of individuals will be ava~lable to

oteer scholars to the Agency and ~o L~C governments for specific policy

advice The eXertise developed as a consequence of this project will

extend beyond the ~tionals of the countries ~volved since the univ~sities

engaged in ~e project attrtct stude~ts fro outside heir own countries

For ey~=ple the teaching ~d research progra in the Depar~ent of Political

Science 0 theUniversity of Istanbul heavily affected by the participation

of its facul~y ~e=bers and graduate students in our projects attracts students

throughout the ~middot1iddle East for Whom the University of Istanbul is the iajor

institution ~pound ~igher education in the region rne Institute for Developmen~

Studies is si=ilarly a focal point for students and faculty in East and

Central Africa Seoul ~atiocal Unive=sity attracts students froo other

Asia~ co~tries~ In this way the capability developed among the participant$

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- ) -

in our work is diffused widely To the exte~ that the abili~y to assess

rural develop~ent p~ojects in teres of their social soundness is increased

both in the United States and in ~o~~tries r~ceiving develop=en~ assistance

the cap3~ity of racipien~ countr~es to absorb aid is ~creased

We propose to draw up an inventory of personnel available in ~~e

Cnited States and in other co~~tries who are able to consult with developen~

a~nistrators on the design of rural development projects and on their

evaluation We ~~ll draw first of ai~ on individuals w~o have been

directly associated with our ~ork in the past or on ~he proposed project

and ex~~~d the list to include graduate students and gove~ent officials

with who~ these individuals have wor~d

tole Yill utilize tha existing publication program of the Center

dercribed above to disse~inate our findings The Center has specialized

oailing lists of interested individuals and institutions in all parts of -i

the world and its reports can trerefore reach the ~st relevant audience

jirec~ly ~d re~~arly

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CONTRACfjGRANTCOOPERATIVE AGREEMENT DATA SHEET

INSTRUCTIONS fjDW Complete 4 copies of the form Original SERCMSDSUP Statistical Section Copy Copy 2 SERCMSIiUP dministrative Copy opr 1 Contracting Officers COy COP) 4 SERCMSDSUP IUmin (Suspense) Copy

Missions Complde 2 copies oi the form Origin31 SERCMSDjSUF- Statistic31 Section Copy 3n~ Copy 2 Nill be ret31ned in the Missions

PART fA

ConU3lttorGranrce Name

University p~f~I~o~wa~ __ -r~ ____ ~~~~ __________ -~~ __ ~~~ ______________ ~~~~ Plorr Numt-er ApptopriJtion Number Allotment Number Project Number

930-0090-3Q13411 A5 72-111l0216 146-30-099-00-20-11 930-0090 Project Title

So~ia1 and Potitica1 Aspects of Development - Conference to Report Research Findings Amount of this Plorr I Projecl M3nagers Name and Offire Sytlbol

$10397 (increase) PDPRCP Jonatlan Silverstone Contr3ctors D-U-N-S Number

Ncgwatocs TYJlCd~3meJ j) Signature I l ~ jIf- bull G HtJ--ft u l IVmiddot

D~e

L - f - J ContractGrant Officqs typed Nailllt Signalure LJ d I -r-

plusmn t 3i-alflpta (( BLvle~ 1 I~ PARTm

ContractGranl Number

AID CSD-3294

Effeclive Date of Docum~nl Signalltre D3t~ of Documenl

Lf---C yen-~-gl tIost Courtry Institution (U iwrsity contract ONL Y)

Campus Coordinator (Uniwr ty i contract OiiL YJ

PART UL Descriplion of Cor-tractGrant P1use X ONL Y ONE item under each headiZg IF THEltrease CifYmC~e bolh ges I 30~~ O~ Nol to be completed for Amendmenl or Modlfic3lion AJigtns I III

J 710gt I I V ~ I

MOl - TYPE ACT A~ 0 G unsolicited Propsll (AIDIR 0 C Individual (Non-pe~nal senice)

~ O Cortra lGrantl ooperative Agreemenl 73101-SO(b)(6raquo 0 D Individual (ftrsonal Service)

tJl T3sk Order ( A)middot 0 H Procurement 10 be Perfocm~d by the Conmiddot 0 E UniversilyOther FAuC3lionailnSlitulions

D 2 Work Order (IQC) Ira~lor in Person (AIDPR 0 F Non-Profil Organizationlnslitutions (other

D 3 Delivety Order (Requirements) 73101middotSO(b)( Iraquo than Ed or PVO)

[j 4 Purchase Ordcr [J I Sole Source (AIOPR 7-3101-SO(b)(4)) 0 G Private Volunury Organization (PVO)

If I 2 or 3 1Lle an ~ compllle M 12 ON Y D J Imp3irmenl of Foreign Policy Objectiws 0 H International Agricultural Research Organj-

M04 - CONTRACTGRANT TYPE

o O MOA (BOA BMA etc)

o I Fixed Price (Specify fFP FPRD FPEPA FPI) _____ _

(gtIDPR 7-31 OJ SO(b)(7raquo

OK B(a)5eJection (FPR 1middot1713-1)

o L Grant iH1ndlOok 13)

o M Do Nol Ue

D 2 Cosl Reimburemenl (S~cil) CR CPFF 0 N Cooperative t~reement (Handbook 13)

CS CPAF CPIF) ~ 0 O Small Business SeImiddotAside (FPR 1middot1706-8)

o l Cooperative Agreemenl ~ 0 1 Overseas Procuring AClivilies (AIDPR

04 Grant Gener31 Supportmiddot 0U ~ 7lIOI-SC(b)(2))

o S Granl - Specific Support ~ ~06 E SER VICE

g ~ ~~t ~~(d) ~~ ~~ ~ eci~a~~~~~ogram Projeci

o amp IQCs ~ ~ relampted excepi A amp E Services)

o 9 Host Counlry ContraclGrnnt 5lJ C amp E Services

middotComplele ONLY through ~Sl ~~ 0 D Construction

M05 SELECTION PROCEDURES 0 E- Reseuch

o A Formally 3dverliscd (IFB) (A1DPR 7middot24 amp

FPR 1middot24) ~ o B Negoli3ted Price Compelilicn Gencr31

Procedure (RFP) (-JDPR 7456)

Dc A amp E (AIDPR 7410)

0 D Ed Inst andor Inl1 R~arch (-JDPR

74 5)

o E Collaboratoe Assisunce (IDPR 7458)

C F Predominant Capability (IOPR

73IOI-50(b)(l)

AID 1420-49 (179) - Page I

D F Technical Services to AID (other than trainmiddot

ing usually o~ating expense)

D G jraining SetVice for AID

o H Equipment Materi3J~ Supplies Commodities

D I Translation Service

~07middot TYPE CONTRACTORGRA-nEE

o A Firmmiddot AU profil-rn3king fUms (other than

Aamp E)

J e A amp E 8r~

zalion

o Public Inlmlational Organizations (UN

Agencies ICRC Wocld Bank elc)

(H8 J 3 Chapt~ S)

M08- TYPE AW~RD

o A S8 Sel-Aside - Awarded to Non-Minority

o B S8 Set-Asidemiddot Awarded to MinXity

o C_ S8 NOI Set-Aside - Awarded to Non-Minority

o D S8 NOI SeImiddotAsidemiddot Awarded 10 Minority

o Eo amp(a) S8A Awarded to Non-Minority (Womerl-

Owned Veterans etc)

o F 8(a) S8A Awarded 10 MinorilY

o G Personal Sen-ice ConlrdCt bull Non-Minority

o H IeJSDnal Service Conlract - MinorIty

o I Individual NonmiddotPersonal Service Contraci -

NonmiddotMinority

o J 100Jigtiduai NonmiddotPersonal Service Contracl -

Minorily

o K NOI Small Business (Univ NonmiddotProfit Large

Firms) Non-Minorily

o L- NOI Small 8usineSl (Univ Non-Profit Large

Firms) Minorily

o M US Govcrnmlnt

(Connnued on Page 2)

BEST AVLABIE DOCUMENT 1 I

--

ua ) R I GI NAL 9 bull

MODIFICATION or GRANT PAGE 1 of 2

AH 1 2 Effective Date 3 Grant No 4 Effective Date

Amend_at Ro 5 April 15 1981 AIDCSD- 3294 8-11-71

-s CRANTEE (Name and Addrea) 6 Administered by -Professor Gerhard Loewenberg -Office of Contract Management Cbrnparative Legislative Research Gente Central Operations Division Dept of Political Science am Branch University of Iowa Agency for International Developn~nt Iowa City Iowa 52240 Washington D C 20523

7 PIO No 930-0090- 3013411 A5 8 Previous PlOTa -

Appropriation No 72-11110216 93i-1l-995-l36 930-11-995-136-73-3078103

Allotment Symbol - 146-30-099-00-20-11 wunt Obliga ted by this ~ndrnent - $10397

The above numbered Grant is hereby modified as follows

1 Anotmt obligated prior to this rurendment 2 Amount obligated by this amendment 3 Total obligated anount (1 amp 2)

Delete the amJmt $465000 and substitute in lieu thereof the ammnt I$47S 39-7 ~

FUNDS AVAIrABm

~~ - APR 13 1981

PrO~A~~5iors

$465000 $ 10397 $475397

OffiCE Of fIN~(1 ~~rE~E~T __ _ 10 This amendment 11 entered into puruant to the authority of the Forelgn

Assistance Act of lS~l as amended Except aft hereln provided all terms and ~~ndi~ons nf the grant rcferpnccd in Block 13 remain unchsnged and in full force and ~ffcct

11 original and six Crantee 18 requlred to aign thh document aad return 1- eopics to issuing

ffiee

~~~ or printed) BUSINESS MAHAGR amp bull

Tille TREASURER

UNITpound) STATES OF AHERICA AGENCY FOR INTERNATIONAL DEVELO~NT

BY_-1(1o-_1lt--= 13middot~_1_~ __ K R B1uteau

(Name typed or printed)

Tltle~ ____ G_r_a_n_t __ O_f_f1_c_e_r ____________ __

D3tC APR 2 J 7997 Dolt 9 APq 1981

BEST AVAILABLE DOCUM NT ___ 0 HLGlNAL - I 1 J 1 ~ )

- 2 -

AID ftmds in the am)tmt of $10397 are hereby provided for the activities lmich are described in your proposal (including Budget Stnmnary) entitled CDnference to Report Research Findings on the Study of Political CDnditions for Effective Small-Scale Rural Assistance Projects in Kenya Korea and Turkey dated February 17 1981 and made a part of the Grant b reference

BtTDGET StMMARY

Line Item

Travel

Per Diem

Other Direct Costs

Less existing 211 (d) grant funds

Total Amount Obligated by this Amendment

Estimated Costs

$ 5888

5100

_ 2500 $13488

_ 3091

$lO39

Note Indirect costs or $395086 associated with these activities will be contributed by the University of Iowa

BEST AVAILABLE DOCUMENT

~RIGINAL

- CONTRACT IGRANTCOOPERA rIVE AGRElEMI~ SERC~SDSlP Actio) Monitor

SERCMSDSUP Action Office

I

INSTRUCTIONS AJDW - Complete 4 copit of tlh fonnmiddot Orisina iCMSDfSUP Sutistical Section COP)middot Copy 2 SERCMSDjSVP Administrative CoP Copy 3 Cont-acting Officers COP) Copy 4middot SOSUP Admin (Susptnse) Copy Missionsmiddot Complete 2 copies of the form or~aI SERCtSDSUP Statistical Section Copy and Copy = wiU~ retained in the Missions

0 PART IA

Effective Date of Document tJ

Delivery Order (Requirements)middot

o 4 Purcluse Order

bull If I 2 or 3 have an bull X compl~te M I 2 ON L Y

M04 - CONTRACTGRANT TYPE

o O MOA (BOA BMA etc)

o 1 Fixed Price (Specify FFP FPRD FPEP FPI) ___ _

o 2 COli Reimbursement (S~cifY CR CPFF CS CPAF CPIF) ______ _

o 3 Cooperative Agreement

o 4 Grantmiddot General Support

o S Grantmiddot Specifi Support

o 6 GraDt 21 led)middot

o 7 Do Not Use

o amp IQCs

o 9 Host Country ContractGrant

middotComplete ONLY through M 5 1

MOS SELECTION PROCEDURES

o A Formally advertised (IFB)(AJDPR 7middot24 amp

FPR 124)

o B Negotiated Prire Competition General

Procedure (RFP) (AIDPR 7456)

o Co A amp E (AlDPR 4 I 0)

o D Ed Ins andor Intl ReStalch (UDPR

7457)

o E Collaborative ASSistance (AIDPR 7458)

o F Predominant Capability (AIDPR

7-310l-50o)(3)

AID 142049 (1-79)middot Page J

o H Procurement Co be Performed b~ the Conshy

tra~tor in Person (AlDPR

7middot3t OI-SO(b)(Iraquo

o I Sole 5gturce (AIDPR 7middot3101middotSO(b)(4raquo

o J Impairment of Foreign Policy Objecdv~

(AIDPR 7middot310 ImiddotSO(b)(7raquo

o K 8(a) Selection (FPR 1middot1713-t)

o L Grant (Handbook J 3)

o M Do Not Vse

o N Cooperative Agreement (Handbook 13)

o O Small Business SetmiddotAside (FPR 11706-8)

o P Overseas Procuring Activities (AIDPR

7middot3101middotSO(b)(2raquo

M06middot TYPE SER VICE

o A TtJining of Participants

o B Technical Assistmce (Program Project

related exc~pt A amp E Services)

J C A amp E Services

0 D COltl~ruction

0 E Research

0 F Technical Services to AID (other than trainmiddot

ing usuaU Y operating ex pense)

0 G Training Service few AID

0 H Equipment Mat~rials Supplie~ Commodities

0 I Translation Service

07middot TYPE CONTRACTORGR TEE

Firmmiddot All profitmiddotmaking fu-r1s (other than

AampE)

o 9 amp E Firms

I Prcct NumbcT

I

Contactors D-U-N-S Numbcr

I) -S--f(j

o C Individual 0-lon-~rsora1 service)

o D Individual (Pet-sonal Service)

o E University lOt her EduCltionaJ Institutions

o F Non-Profit Organization Institutions (other

than Ed or PVO)

o G Private Voiuntary Organization (PVO)

o H International AgricultwaJ Research Organmiddot zation

o I Public International Organizadon~ (UN

Agencies ICRC ewld B3J1k etc)

(HB J 3 Chapter 5)

M08middot TYPE AWARD

o A SB SeImiddotAsidemiddot Awarded to Non-Minority

o B SB SetmiddotAside bull Awarded to Minority

o C SB Not SetmiddotAside - Awarded to Non-Minoril)i

o D SB Not SetmiddotAside - Awarded to Minority

o E ~a) SBA Awarded to Non-Minewity (Womeli

Owned Veterans etc)

o F 8(a) SBA w-rded 1o Minority

o G Personal Service Contractmiddot Non-Minority

o ~ Personal Service Contnct - Minority

o I Individual Non-Personal Sence Contractmiddot

NonmiddotMinority

o J Individual Non-Personal Service Contractmiddot

Minority

o K Not Small Business (Univ Non-Profit L1lge

Firms) --vn-Minority

o L Not Small BUSiness (Univ NonmiddotProfit Large

Firms) ~inoriy

o M VS Government

(Continued on Pcge 2i

t bull - t ~ J f q

ORIGINAL bull MODIFICATION OF GRANT

1 2 Effective Date

Araendllent Ro 4 12-2-80

s CRANTEE CHace and Addrels) Professor Ger1ard Lo~middot enbelg Comparative Legislative Research Deartment of Political Science The Lnivp-rsity of Iowa Iowa City Io~a 52240

7 PIO No NI A

Appropriation No 72-11XHl26

Center

Allotment Symbol -426-30-099-00-3~-71 Amount obligated by this urendment-O- I

3 Gnnt No

AIDcsd-3294

PAGE _____ 1 _of-L

AlI 4 Effective Date

8-11-71

~ Admlnlltered by -Office of Contract Management Central Operations Division OTR Branch Agency for International Development Washington DC 20523

8 Previous PIOITs -

931-11-995-136 930-11-995-136-73-3078103

9 The above numbered Grant is hereby modified as follows

Supplement to Grant

Change the duration period sentence to read

The Duration Period for this Grant shall be August 11 1971 through December 31 198]

1 Amount obligated prior to this amendment $465000 2 A~unt obligated by this amendment -0-3 Total obligated amount (1amp2) $465000

----------------_- - ------- ----_- ------ 10 Thh lImcndmcnt is entered inlo punuant to the authority of the Foreign

~ Assistance Act of 1961 86 amended Except a~ h~reln Z II provided all terms and condi tions nf the grant referenced in Block 3 remain ~~aunchlinged and In fu1l force and effNt cnltUI cJ)za 11 o 4 J bull

Et~ ai~a gtUoItshyc Z P=u

original and six Grantee t requi red to sign this document and return 1- eopies to 1Bufng

office

~ 12 GRANTEE TES OF AMERI CA

(Name typed or printed) bull

TJlle Director Comparative Legislative liecearell CeQtoQl

Date 12880

------------------------------------

ONAL DEVELOPMENT

By ----~--~~~~---------------------

prinled)

Grant Officer Title --------------------------------

J)oll( 12-2-80 -----------------------------

BEST AVAILBLE DOCUMENT i je

Page 27: PD-Ar3T Cr(~

211(d) Grant Program

Proposal of the University of Iowa

POLITICAL CONDITIO~S FOR EFFECTIVE SMALL-SCALE

RURAL ASSISTA~CE PROJECTS

Submitt~Ci to

Civic Participation Division AID

May 6 1977

Amount requeste~ $ 199987

BEST AVAILABLE DOCUMENT

I TdE DEVEIOP~T PROBr~

P~litical Conditions for Rural Development

The Cocparative Legislative R~search Center of the University of

Iowa proposes to ~~dartake a two-year study to investigate the role of local

leaders and the rural public in theimplecentation of small-scale develop~ent

1 projects in less developed countries The study will use and extend the

capacity ~hich the University of Iowa developed under a 211(d) grant to

investigate and assess the impact of loeal politics on rural development

~t the co~pletion of the s~ Iowa will be in aposition to advise the

Agency on the design ~nd evaluation of s~ll-scale projects which will be

politically viabe a~d effective in ass~sting the rural poor ~

As students of development w~ approach our task with the assumption

that the proble~ of development and underdevelopment are funda~entally

ones of political econooy and a~ such can only be solved through a

simultaneous considerationof economic and political factors Efforts

which foc~s aloost solely on economic factors like those of ma~y

organizations engzed in dipersing foreign aid or efforts which focus

almost exclasively on political factors fail to take account of the

interdependence between these two dimensions of underdevelopment and

lwe have for~ulated this proposal in a canner consistent witr the cu~rent policies ard interests of the Agency We have been guided in our tsk by four Age~cy doc~e~ts Impleo~~tation of New Directions in Developnent Assista~c~~~ ~eport to the COmlittee on International Relations on Ilupleoenshytatiun of Legislative Refo~ in the Foreign Assistance Act of 1973 (July 1975) rItevis~d Projec Developiel Review and Approval Systeo (A I DL Circular A-21 Aril 23 1975) SH Butterfield Draft SUIilZ3ry StateUlent of a Practical Agelcy Approach c aural Devalopilelt (AATA February 28 1975) Cicci A Coce~ual Oie=viamiddot middot Rural Development No1 (lWorilting GOU O~ tha Rural Poor February 1975)

- l -

can meec with only l~ted success

Our concern with the i=pact of local politics on the process of

rural developcent is a result of our interest in the basic question of

how LDC governm~nts and the donor agencies which assist them can

become core effective in raising the standard of living of the rural

poor We seek answers to the following aspects of that basic question

1) What political conditions must exist both within rural communities

and between theo and central gove~ents to raise agricultural production

w~ere small-scale agriculture is the do~nant pattern 2) Vnat are the

political conditions for a core rapid expansion of the informal manufacturing

and service sector cocprised of labor intensive small-scale industries

located in the rural ar s 3) What political structures and activities

are mase crucial for the provision of welfare and econocic supporc services--

such as agricultural exeension mar~eting and transportation--to the rural

areas1 4) ~~at Folitical conditions oust exist to insure that economic

growth in the rural areas is not accowpanied by excessive and intolerable

inequalities between socio-economic classes andor between regions1

Center-Periphery Linkage in LDCs

To deter~ne the political conditions for rural development we have

in previo~s s~udies exacined the institutions and processes through which

rural populaticns are integrated i1to the national politi-cal systetlS of

middot~he countries in which they live A gap exis~s in most less developed

countries bet~een the peasantry residing on the periphery and the c~~tral

political ~stiutions staffe1 by ~~estern-educated bureaucratic elite

We are aware of the other major ~sti~utional discontinuities which comprise

J

4 middot~~1 the basic cleavage between the developed and underdewmiddoteloped sectors of

these dual societies Bridging these gaps is essential if these so~ieties ~ are to develop into viable nation states For until those Q~ the periphery

of the poli~ical syste~ participate in that system and support and comply

with the authority of central political institutions neither economic

development in ~he rural areas nor a stable polity will emerge

Bridging the discontinuities in these new political systems requires

establishing and institutionalizin3middot1inkages or networks for co~unication

and exchange of resources between decision-makers at the center and the

rural public on the periphery Three types of institutional linkages are

most prominent in less developed countries 1) those conSisting of the

state administration composed of the bureaucratice1ite 2) those consisting

of a revolutioncry political party cocposed of the ideological elite

3) and those conSisting of patron-client hierarchies composed of the political

entrepreneurial elite

Of these three linkages consisting of the state administration are

the cst extensive and pervasive in virtua~ly every LOC Such linkages

however exist primarily a~ instruwents of the center to penetrate the

periphery Central government officials are formally charged with bringing

develo~ent to the people This is a ~issi~n which conceives development

as a process ~hrough which a traditional peasantry is transformed and

assimilated iJro the DOdern center which is steadily expanding to embrace

it Agents of the center invariably have more resources to achieve their

objectives than do local political leaders but because they are frequently

strangers~ the communities in which they function they are often unable

- It -

co implement the policies of the center without working through the

local establis~ent

Though somctices significant linkages consist~g of revolutionary

party organizati~ns such as those found in China and Vietnam do not exist -

in most IDCs beca1Se of the special historical and e~omic conditions

required for their development As wi~h the administrative state however

the linkaampe apparatus of such political patties is prUlarily an instrument

of the center whose mission is to penetrate and mobilize those onthe

periphery

In contrast patron-client hierarchies are linkages which represent

the periphery at the center and mediate betwee~ these two disparate

sectors of the political systec Thcugh norcallymiddotovershadowed in scale

by the state administration patron-client hierarchies are found in almost

~very LDC a~d constitute the ~st significant network through which rural i

populations and their leaders influence the decision-~king process at

the center Patron-client hierarchies exist in a wide variety of org~iza-

tional fores ranging from info~ ~ec~~rks of individual olitical leaders

in uno-partyll systelS in S~b-SaharaI4 Africa to extensive political machines

in both one-p~rty (Africa Mexico) and ~u1ti-party systems (Turkey India)

Despite their importance as the pricary means through which peasants in

LDCs particiate in their political systems patron-client hi~rarchies

have only recently become an object of analysis by students of political

developent and do not appear in even the most sophisticated studies of

2 See Jo~ Dunca owell Peasant Socie~y and Clientelist Politics Aerican Politi~ Scielce Revietol 64 (June 1970) pp 411-25 Rene Lemarchand anc_ Keith Legg olitical ClienteliSJ and Ethnicity in Tropical Africa Aierican Political Sc~ecce ReView 66 (Y~rch 1972) pp 68-90 James C Scott PatronshyClient Politics a~d Political Change II 1tlerican Political Science Revie~ 66 (~arch 1972) p 91-113 and Friends Followers and Factiols bull edited by Steffan Sc~~d and James C Scott (Berkeley UniverSity of California Press 1977) bull

- 5 -

3 economic development Ad~niscrators of developmental assistance progracs

have too often regarded patron-clienc hierarchies as ~ped~ents to

develop~ent instead of recognizing cheir potential utility bull

~ Findings on Patron-Client Hierar~hies --

The importance of pat~on-clienc hierarchies for linking the periphery

to the center is one of the major findings ~erging from a study of the

relationships betueen l~gislators an~ their constituents in Kenya Korea

and Turkey ~hich the Cowparative Legislative Research Centpr is nov

comleting uader its 21l(d) grant from AID This study has av~mined the

creation of linkages between the periphery and the center through ~ore

than lO~OOO interviews with members of parl~ent local leaders and

peasants in t~e three countries The findings are being systewatically

set out in a book-length monograph Nearly a dozen research reports have -

uready appeared (see Appendix C) ipropositions about the nature of

political behavior of rural populations an~ the roles of local political

elites de=ived from the research~ can be s~rized as follows

1 Elected representa~ives play a significant role in the creation and mainte~ance of linkages be~een the center and periphery by developing local political achines in which they function as patrons of their constituents In turn thay s~rve as clients of political leaders of national stature who control central government institutions

2 By atte~pting to establish linkages based on patron-client relatio~shi~s elect~d representatives are responding to public expectations chat their prizary duy is to obtain resources from the center to proffiote local develop~ent ~iany elected repLesentatives spend most of their time on self-help co==unity development projects such 3S the building of schools health clinics irrigation works arid roads because such projects provide

3For exa~le ~ a widely respec~ed a~d useful analysis of rural deve16p~ent in Sub-Sahara~ Africa L~ Lele of the World Bank notes the problems of creating an adoini5~raive infrastructure in the rural areas that is sensitive to local socio-oliical conditions She does not however consider how local leaders operating o~tside of adcinistrative structures ~ night contribute to the developne~t 0 the rural areas See ~~ Lele ~ Design ~ Rural Develop~ent Lessons ~ Africa (Balt~re The Johns HopkiD~ Uciversity Press 1975) r) pp 127-61 i ~

- 6 -

their const~tuents with desired se~ices ~~d a= the sa~e time provide the reresentatives with an orgacization Yhicn can be used as a political base

3 l-tore than 90 perCel1t of the rural population is capable of articulating the p~oblems facing their local co~~ity and two-thirds discuss th~e proble~ w~th their fellow citizens on a regular basis

4 Three-q~rters of the residents of the rural areas can identify the public ofpoundici~s who serve thec--both civil servants and elected represcrtatives--by na~e Most are knowledgeable about the activities of these officials Alcost one-fifth coreover have discussed co~~~ity probl~ ~ith these officials particularly those working at the grassshyroots level Residents of rural villages actually have a higher level of political knowledge than their counterparts in the towns

5 Elections in the rural areas evoke a highly rational attern of voti~g despite the effects of ascriptive or traditional co~siderations Inc~ens are pri~rily evaluated in terms of their record in fulfilling the public r S elpectations of what they should do Elections are essentially referenda on inc~entsr perfo~ce especially their perforwance in the area of constituency servi~es such as bringing development projects to the districts bull

6 Local developcent projects have a relatively high s~olic value generating conscitutency support for local leaders and the central government at low cost

7 These projects help huild a local political infra-structure which can also be utilizec by central govern~nt civil servants to implement other policies designed to achieve rural develop~ent bull

The Icpac~ of Local Politics on Rural Projects

Having explored the developtent of linkages through which the periphery

is represented at che ~enter and through which the periphe~ attemp~s to

share in the ceners resources we now propose to build upon our initial

investigations by e~ing in greater detail the impact of local political

conditions on specific problecs of rural develop~ent We propose to

exacine the develop~ental activities of local leaders ~nd the rural public

by eX2~Ding a saple ot fifteen to twenty smalL~scale developwent projects

in each of ~he three countries which constituted the sites for our initial

8ESI AVAILABLE DOCUMENT 1 ~ - of

- 7 -

study of center-perhiphary relations The appropriateaess of this approach

and the ~ethodology through which it will be ip~emented is discussed in

section II Because the ~ethodology of investigation is in large part

the result of our previous research experience we fizst turn to a revieW

of the existinQ __ ~petence of the Comparative Legislative Research Center

in this area

II GRAXTEES EXISTIXG CmET~CE

In 1971 the University of Iowa received a 211(d) grant to develop

its capacity to do research on the role of elected represent~tives in

the process of modernization On the b~sis of this grant the University

established a research center which planned and carried out a research

project on the role of elected reres~~tatives as links between the central

gove~ent and rural populations in K~ya Korea and Turkey The project -i

served to develop t~e University of Iowas research capability in this

field esa~lished ties between the University and scholars in the bost

countries and generated a large and uniqu~ body of relevant data

In that project we fo~ussed our attention on tbe activities of elected

representatives in their constituencies notably in their contacts with

local political leaders voters and civil servants To determine tbe

nature of the linkage function performed by tbe representatives we

designed our research to explore the subject from three perspectives

1) we eXaojned ~~a ~ubject at tbe grass roots by conducting a series of

sample surveys of 200 to 300 adults in each of 12 to 14 parliamentary

constituencies in each cf th~6three countries 2) we examined the subject

at the center by intervie -ing MIls from the constituencies in which we

had conducted S3mple surveys ~nd higher civil servants with whom they

had contact and 3) ~e ex~~ined the subject from an inter-~diate level

by identifying aud ~terviewing local social and political leaders in

the MPs constituencies We used survey research methods because we

were embarking on the study of an entir~ly new subject for which little

relevant docu=e~tary data existed and on which there were few secondary

sources As a result ~e have unparalleled experience with survey

research in the rural areas of less develo~ed countries

The surveys which constituted the cajor part of our field work were

planned in collaboration ~~th scholars from the host countries They were

carried out in each constituency by student interviewers in the appropriate

language ~re than 10000 respo~dents were inteDViewed for the project

Given the visibility and sensitivity of this undertaking approval for

the research was sought and obtained from the host governments prior to -i

the collec~ion of data ~o objections were raised by these governments

at any stage of the research The data obtained have been made available

to scholars i~ the host co~cries and some of the basic findings have

been published in periodicdis in these countries

The Comarative Legislative Research Center ~hich ad~nistered the

project has aisO developed extensive experience in the study of political

leadership in other countries It h3s obta~ed substantial support from

the Fo~d Foundacion and the Rockeeller Foundation has worked in

collaboration ~~h European as ~ell as Asian and African scholars and

is engaged in a ajor study of the role of elected and non-elected leaders

in the oanag~~t o~~ocial conflict Because it has conGucted research

in a variey of setlngs the Center has an ~ceptional capacity to

- 9 -

determine how the relationships be~een political institutions and

economic p=oble75 differ in develoPed and less developed countries

In the course of the major research projects the Center has administered

it has gained highly specializpd ~p-i ce iI identifying 1Olitical leaders

in a great variety of settings conducting systematic interviews with

them collaborating with scholars in the host countries and in coding

and utilizing large files of data to answer specific research questions

The Center has ~lso undertaken to publish the results of its research

in three fores It issues codebooks to the data enabling scholrrs at

other locations to use the data expeditiously i~ publishes research reports - in the form of Occasional Papers and it publishes a scholarly periodical

devoted to the presentation of research findi~gs to an inteIT~tional

audience

The Center utilizes the data ~ysis facilities of the Laboratory

for Political Research of the University of Iowa and drawS on the unusual

n~er of secialists in comparamptive politics and survey research in

~~e Lniversitys Departmen of Political S~ience The Center itself I

has the services of an administrative secretary and a clerk-typist

~intains its~o~cn extensive archives and its o~~ publications program

It is e~uipped to assist scholars and government officials outside the

t~iversity of Io~a The participants in its p~ojects are full-tioe

faculty ~e=bers ~hose undergraduate and graduate teaching is closely

related to their research As part of the teaching program the Center

has attracted students from the countries in which the research projects

have been conducted these students have participated in the projects

bull J

have obtained training in other fields of political science have received

University of Iowa degrees~ and have ret~rned to teach and to do research

in their own countries

III PURPOSE OBJECTIVES AID METHODS

Purpose of Study

The purpose of the proposed grant is to extend the capacity of the

University of Iowa to determine the political conditions in the rural

areas of less developed countries which favor the establis~ent and growth

of small-scale developoent projects ~e objective is to put the University

of Iowa in a position to assist the Agency in designing small-scale rural

developent projects providing guidelines for carrying out social soundness

analyses of such projects and adviSing in the evaluation of projects

We will discuss the utilization of~t~e Universitys capacity in detail in

section IV below

We propose to concentrate our investigations on the political conditions

surrounding s~l-scale ru~al projects Such projects have distinctive

advantages They waximize the political participation of the rural populations

both in det~~-ining the direction ~d implementation of develop~ent efforts

and in defending the interests of periphery vis-~-vis the urban-based

bureaucratic elite S~ll-scale projects stimulate entrereneurial activity

on the part of the rural citizens and growth of the info~l canufacturing

and service sector Tbey require less lead tice and less administrative

c~erhead to ~eco~e operational than large-scale capital-intensive projects

centrally administered Such projects yield rapid and direct benefits to

1

j

the rural

- 11 b - ~~1

populations and are consistentwith their hUIlaD rights--both

political and economic However~ small-s~le projects pose s~ecial probl~s for administratcrs of developceocll assistance progracs because

they require the donor co assess the local olitics particularl the

rural politics of t~e host country

Develop~c adoinistrators pr~rily conc~rned with assisting rural

populations must therefore recognize the range of political variables

affectL~g these projects Small-scale projects offer great opportuoities

for develop~ental assistance progr~ because they can be easily targeted

to help rural populacions require low capital costs and need no be

concentrated in one or two localities Such projects ho~ever~ ~equire

the a~istrator to have ~re political kno~lecge than large-scale

projects Oil which his priJlary tas~ is guiding the work of other experts

Questions for ~Investigation

To detercine the politi~al cc~diicilS ~st conducive to ~he establ~~ent

and gro~h of scalI-scale rural projects ~e propose to address our inquiry

to the following specific questions

1 To what extent and why co local political leaders seek to establish s~~l-scale develop~ent projects within their co~unities

2 To what extent and ~~y do local leaders other than politicians initiate andor provide leadership for s=all-scale developm~t projects

3 Bot do the relations bet~Jeel different types of local leaders (political and non-political) and bet~eeo these leaders and central gove~ent civil servants posted to the rural areas affect the conduct of develop=ent projects

4 How do existing authority ~eLationships between these different leadership grous and the rural pub~ic affect the organization and operation of s~l-scale develop~ent projects

- 12 -

~

5 lhlt is the nature 0 pclgtlic participation in the establishlent and operatio~ of s~l-sclle projects and ~hat are the outcc=es or this participatioe Gucer w~at conditions is such participation ~ost likely to occur

We seek a~swe=s to t~cse questio s L order to determine the effect of

different co~iigurations of local leadership and public participation on the

outcomes or small-scale rural projects te are particular1y concerned with

the ~pact of these configurations on the rate of econocic growth and the

distribution o~ rIGSlth ithin the loal cOlllUlity ~ on the perce~tions of

s~ll-scale proj~cts by central govern~ent per~oncel and the rural public

anmiddot on the organiation or flture projects

To a~swer these que~tions it is oar intention to study the initia~ioD

izJple=enation ald i1lpact of a salple cpound small-scale rural projects in

Kanya Korea and Turley in the sae cOllities in which we carried OU

our initial icvestigations ~ 1973-75 Tne relationships between the -

various conf~gurations of local leadership and public participation and

the three phases of project develop~ant are sho~ in Figure 1 We will

exa=ine projects to pro~ote the adoption of new agricultural techniques

by s~l and moderate landnolders the building of feeder roads irrigation

ditches and other s~ple infrastructure the organization of fa~ers

cooperatives and other local associations concerned with rural development

the establish=ent of rural health clinicS and schools and the setting up

of craft and service industries

Sites for Study

We plan to return to our original set of localities because we possess

a rich body of relevant data on the extent to which linkages exist between

Figure 1

TYPES OF LFLUEXCE OF C2r~ middotGOVER1iEXT OFFCIALS

LoCu LEADERS 0 THE RURAL PUBLI-C OX THRr~

PHASES OF RURAL igtEVELOPHET PROJECTS

r----------~J C~ltral Gover1~nt Official)-N------- - J

r- Local pOlitical leaders

Local non-political leaders

~l 1---- -

ROJECT nITL~TIOS

Influ~ce on selection of projects

InrI ~elce on location of projects

Influence on policy guidelines for proj eCl

Il

I

a

I I

-I PROJECT I~L~~iATIO~ ~ 1

j Project Organizati I Selection of project

leadership

Hobilization of resources

Mobilizatiol of public compliance with project require=elts

Diffusion of project innovation

Rural Public

I

BEST AVAILABLE nOCUMENT

1 ROJECT IMPACT

Organization of ongoi=g project operation

Distribution of project benefits

Evaluation of project

Public attitudes toward project

-middot14 -

these areas and t~c central p~litical institutions of the three co~tries

and on the attit~es of the rural populacioc local leaders and elected

legislators regardi~g their problecs of develop~~c Since such data

is unavailable for alternative locales a return to the areas in which

we have previously done much research ~ables us to build on a uniquely

valuable body of icformation

A return to Kenya Korea and Turkey is also highly desirable from

the standpoint of effective research organization The Comparative

Legislative Research ~enter has developed close collaborative relationships

with several highly competent social scientists in these countries and

with the academic institutions with which these scholars are associated

We have also dev~_oped cooperative relatio~ships wi~ gove~ent officials

in these countries which should facilicate obtaining approval for our

further work

In proposing to doc~ent the origin i~pl~entation and impact of

one to three s~ll-scale develop=ent projects in each of 35 localities

we have two considerations in mind Firstmiddot because our pr~ry goal is

to deter~e the political conditions for rural developm~Lt we wish to

examine develQ~=ent in as many different settings as feasible Only in

this way can we control for so=e of the major socio-cultural variations

that erist along rural populations in less developed coultries These

include the overall level of econo~c development in the co~unity the

nature of t~e ~digenous culture an~ relationships of authority and the

pro~ty of the comounity to major urban areas and centers of central

gove~nt ad=inistration ~ce our original study sites were carefully

BEST AVAILABLE DOCUMENf

- 15 - ~ ~1

selected to represent these variations ye have concluded that these

35 localities woule be ideal sites for the propose~project Second~ in order to dete~~~ the ~pact of local leaders and public

participation o~ ~ural projects we intend to compare projects 1n which

local leaders and ~ecbers of the public have played a major ~ole with

projects in which they have not We also ~l cospare projects initiated

by the central gover~ent with projects Yhich have been locally initiated

These considerations give us a typology for selecting projects as depicted

in Figure 2

Figure 2 ~

FIVE TYPES OF RU~AL PROJCTS ACCORDIXG TO ~FLUEXCE OF CEITiW

GOVE~1E~T LOCAL LEADE~ AD RLRAL POULATIO~

Level of Participation by Rural Population

Locus of Project Initiation ~

Local Co=unity Central Governoent

BIGd

LOt

1 Projects initiated by local leaders and providing for participation of the rural ~opulation

4 Proje~ts Litiated by local leaders bu~ not involving participation of the rural population

2 Projects initiated by the Central Govern~ent and administered i~ cooperation with local leaders a~d the rural population

3 Projects initiated by the Central Govemlent and providing =or the participation of the rural population but by-passing local leaders

5 Projects initiated by the Central Gover~e~t a~d administered in cooeration Yith local leaders but not involvi~g parti~ipation of rural population

- 16 -

We recognize that the socio-cultural setting of rural develoment

projects varies significantly within and across less developed countries bull

By focussing o~ a representative sa=ple of localities ~ Ke~ya~ Korea

and Turkey we can take account of naoy~ though not all of these variations

While some of our substantive findings will not be directly generalizable

beyond the countries in which we propose to conduct our study we expect

that our basic ~ethods and fLdLgs will be applicable to national and

sub-national settings elsewhere in the developing world This is partly

d~e to the fact that the hierarchy of patron-client relations ~hich we

regard as a critical factor in rural develo~~t exists in ~ost Liles

--It is also due to the fact that the methodology for identifying local

bull leadership configurations auG poundor studying local politics which we are

perfe~ting can be used to assess local political co~ditions in a large

variety of countries even when the ~nditions themselves differ significantly

Methods of Investigation

The data needed to assess the iDpact of local leaders and mass

participaticn on rural dev~lop~nt fall into two categories Some a~e

contained among the data gathered for the research project we are currently

completing Others will require additional field research

The following data are already in hand

1 Data on the social landscape of each loc~l co~nity i~cluding aggregate data o~ level of econonic development de~graphic characteristics political pa=ticiation eth~ic loyalities and rates of socio-econocic change dur~g the past decade bull

2 Identity of local leaders including both political and I-on-political leaders and both legislators and other politicians

3 Perceptions of existiag probl~ and their possible solution a~ng

l)tS r AVAilABLE DOCUMENT

- 17 -

general public local leaders and civil serv~nts

4 Level of political kno~ledge among local citizens and local political leacers

5 Political and social values a~ong local ci~izecs and local political leaders

6 E~~ectacions of leadership roles among the local public and elected and non-elected leaders

7 Patterns of co~unication ~ong local leaders and between local leaders and the central gove~e~t

These data ~hich ~e already have in hand can be subjected to analyses

which ~~ll provida the foundation for our further work on rural develop~ent

projects A part of our work therefore will consist of fu~ther analyses

of existing data

New data of the following kinds are also required

1 Doc~entary data on the origin and evolution of particular smallshyscale develop~cnt projects in the rural areas

-2 Data on project costs boih ~itial invest=ent and recurring

operating costs and data on project ou~puts ie pupils in schools Ddles of road coopleted nl~ber of hospital a~ssions production of factory agricultural productivity

3 Data on project organizatio~ n~~r of local inha~itants participating in establis~~ent of projectt nuober of local L~habitants subsequently involved in project

4 Data-on the pe-cetion of projects by local leaders emers of the local public a~d by civil servants data on the perception of how each project ~as initiatec organized who benefitted and what its future implicatio~s are

These types of data will requ~re field work involv~~g both docucentary research

at the relevant ~istries of the central government and in local goverr~nt

authoritieS and inforoal open-ended interviews with local political leaders

elected representatives and other local leaders who~ we had previously ~

interviewed in a s=uctured syste=atic =aoner

BEST AVAILABLE DOCUMENT

- 18 -

Grant Organizatio~ and T~etable

We propose co undertake the research outlLled above beginning in the

fall se=ester 1977 Dur~g that te~ Professors Barkan and Kim as

principal investio~tors for the neo1 proj ect will contact their collaborators

in the host co~~tries They ~~ll also seek the collaboration of an additional

~rican scholar specializing in rural development with the aic of getting

additional advice on sources of data and suitable indicators for the

~easure=~~t of rural develop~ent projects

At the end of the fall seQester Professors Barkan and Kim will make

a trip to their research sites to disc~s details of the research organization

with their collaborators in the host countries and to recruit student

assistants Tney will devote the spring te~ 1978 to further analysis

of a~sting data at the University of Iowa

The gathering of additional dita L~ the field will begin in the s~er

of 1978 Professors Barkan and Kio will direct this work personally We

eAect that its coopletion ~~ll require three to six months This work ~1

involve the evaluation of central and local gove~ent reports on the

projects uncer investigation extensive on-site observations of the projects

and oen-e~ded interviews with the principal participants Our principal

respondents ~i1l be the local leaders and elected representatives we

have previously identified in the localities in which we have worked and

a sacple of active participants in the particular dpvelopment projects

being studied ~~ere necessary and apropriate surveys of the general

public will be uncertaken to assess the inpact of a given project on the

rural por)r We do not however leed 0 conduct systeAlatic sample surveys

BEST AVAILABLE DOCUMENT

- lY -

of the rur~l population as We did in 1974

In the organization of this research project we intend to reconstruct

the rese~rch tea=s ~e e=ployed during 1973-75 We shall again seek the

co11abo=~tion of P~ofessor Sc~~S-7o~g Pai of Seoul National University ~

Professor IIiCr Turan of the University of Istanbul and Professor John J

Ok~u of the U~iversity of ~arto~ S~ilarly w~ contemplate directing

the field research fro~ he same acade~ic research organizations we previously

used Seoul National U~ive~sity th~ ~~iversity of Istanbul and the

Insti~ute for Develop~eut S~udies University of Nairobi As before we

will tra~ students f~oo these institutions to serve as interviewers

The analysis of the open-ended intervie~s and of docUQentatio~ on

I ~ural develop=e~t projects will be a ~ore t~e-co~s~g process than the

analysis of closed intervie~s It will reqrire a high cotnittl~t of time

fron the principal investigators )e e--pec to hold a conference at the i

U~iversi~y of Iowa 3lO1g all the principal )clticipa~ts in the resea~ch

project d~=~g t~e spr~g 1979 to evalua~~ the newly collected data

le e~ pect to be able to vr-ite reports of t~ results during the Sl1~er 1979

(see Figre 3)

IV LlX-GS ~1) U~ILIZATIO~

At the e~d of the grant period the Uti ersity of Iowa will be able to

1) advise the Agalcy 01 the design of s~l-scale rural projects to assist

the rural poor 2) provide guidelines for social soundness analysiS of

small-scale projects for the rural areas of U)Cs 3) consult w~th the

Ag~tcy 01 the evaluatiol of rural projects ~d 4) provide LDe governments

BEST AVAILABLE DOCUMENT

)ATES

~lll

1977

~inter 1977

iprilg 1978

il mer 1978

~all

1978

ipr~ng

1979

Imiddoter 1979

University vf Iowa

Plutlning of rural develo~rent project

Barkan Kil

Alalysis of existing data

Barkan Kia

Data processing

3arkan Kin

1

I

- 4 -

Figura 3

GRAT TLfETABLE

SIT E S

Kenya Korea Turkey

Preparation of field research ural developH~lt project cOlisulta~io~ a research sites

BarkanOku=u Ki~Pai Tura~rkanKi~

Preparation of field resea-ch

Tural

Field research on rural cevelop~~t projects Bar~lOk~u Ki=Pai Turan

Co=pletion of Co=pletion of field resear~~I~ fiald researcr

Ok~u i Pai bull

f Coopletion of field research

Turan

Data analysis conference a~ong all princial i~vestigators at Un~versity of Iowa Barkan Kil Oku=u Pai Turan

Co=letiol of r~ral develop~ent

project

3arkan Kiz

BEST AVAILABLE DOCUMENT

I

- LL -

~ith speciali~cs o~ ru~al developcect ~mong their own citizens ~ho ha_

partcipatcd ~s collaborators in the Iowa projects

In the proposed project we Will test a series of hypotheses cOlcerning

the political cOllditions of rural develo=ent which run counter to CODOn

assuoptions conccrnir3 t~~ influence of rural politics on project effectiveness

As a result ~e ~dll be able to assist the Agency in designing and evaluating

such projects froe the point of V~~W 0 their political viability The

hypotheses We will test sugges~ t~at the patron-clie~t relations existing

in the local politics of zost LDCs are not necessarily i~pedients to rural

develop~ent but are aspects or the political structure which cal be used to

facilitate s~ll-scale ru=~ projects which will raise the standards of

living of _ ~ rral pomlation - As ~ result or our stuey we expect to be

able to P~-O~t the local leadership confi5~rations ~4d the relationships

between local leaders ald rural poclations ~nich are oost conducive to I

successful develcp=en efforts We believe that we will be agtle to perfect

a cat~odology for identifying the political conditions for rural develop~ent

one ~hich is transferable pound~oo the countries we have specialized in to

other LDCs

We proo~ to develop specific guidelines to assist administrators

charged with selecting evaluating and =onito~ing rural develop~ent

projects to ~szess t~esc rojects in tares of their-social and political

viability he outco~e of such projects is dete~ned not only by the

efrectiv~nass ~~=h ~hich they use scarce econo~c resources but by the

~~er L~ w=ich they e~gage the suppprt of local leaders and rural

po~ulatiocs~ by thei= effect ou social a~d econo~c equality ~d by

D[~T AvAlLA8LE DOCUMENT

- 22 -

their consequences for hwan rights ~Je plan to establish criteria by

middot~hic~ the probable outco~es of projects in these social terms can be

anticipatec

The study ~e propo e will be undertltlken by faculty at the Cniversicy

of lowe in collaboration with faculty a other ~rican institutions and

institutions in the host countries We will build on the extensive contacts

between the Co~perative Legislative Research Center of the ~niversity of

Iowa end other instituions with ~aich ~e have worked One =ajor result

of our collaborative study will be the existence of a net~ork of compe~ent

scholars both in this country and overseas experi~lced in ~orking together~

shar~g a co~on teaching and training experience i~ close contact throu~~ the

effective publications progr~ developed by the Co~parative Legislative Research

Center T~e e~~ertise of this group of individuals will be ava~lable to

oteer scholars to the Agency and ~o L~C governments for specific policy

advice The eXertise developed as a consequence of this project will

extend beyond the ~tionals of the countries ~volved since the univ~sities

engaged in ~e project attrtct stude~ts fro outside heir own countries

For ey~=ple the teaching ~d research progra in the Depar~ent of Political

Science 0 theUniversity of Istanbul heavily affected by the participation

of its facul~y ~e=bers and graduate students in our projects attracts students

throughout the ~middot1iddle East for Whom the University of Istanbul is the iajor

institution ~pound ~igher education in the region rne Institute for Developmen~

Studies is si=ilarly a focal point for students and faculty in East and

Central Africa Seoul ~atiocal Unive=sity attracts students froo other

Asia~ co~tries~ In this way the capability developed among the participant$

BEST AVAIL~BLE DOrUMENT

- ) -

in our work is diffused widely To the exte~ that the abili~y to assess

rural develop~ent p~ojects in teres of their social soundness is increased

both in the United States and in ~o~~tries r~ceiving develop=en~ assistance

the cap3~ity of racipien~ countr~es to absorb aid is ~creased

We propose to draw up an inventory of personnel available in ~~e

Cnited States and in other co~~tries who are able to consult with developen~

a~nistrators on the design of rural development projects and on their

evaluation We ~~ll draw first of ai~ on individuals w~o have been

directly associated with our ~ork in the past or on ~he proposed project

and ex~~~d the list to include graduate students and gove~ent officials

with who~ these individuals have wor~d

tole Yill utilize tha existing publication program of the Center

dercribed above to disse~inate our findings The Center has specialized

oailing lists of interested individuals and institutions in all parts of -i

the world and its reports can trerefore reach the ~st relevant audience

jirec~ly ~d re~~arly

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CONTRACfjGRANTCOOPERATIVE AGREEMENT DATA SHEET

INSTRUCTIONS fjDW Complete 4 copies of the form Original SERCMSDSUP Statistical Section Copy Copy 2 SERCMSIiUP dministrative Copy opr 1 Contracting Officers COy COP) 4 SERCMSDSUP IUmin (Suspense) Copy

Missions Complde 2 copies oi the form Origin31 SERCMSDjSUF- Statistic31 Section Copy 3n~ Copy 2 Nill be ret31ned in the Missions

PART fA

ConU3lttorGranrce Name

University p~f~I~o~wa~ __ -r~ ____ ~~~~ __________ -~~ __ ~~~ ______________ ~~~~ Plorr Numt-er ApptopriJtion Number Allotment Number Project Number

930-0090-3Q13411 A5 72-111l0216 146-30-099-00-20-11 930-0090 Project Title

So~ia1 and Potitica1 Aspects of Development - Conference to Report Research Findings Amount of this Plorr I Projecl M3nagers Name and Offire Sytlbol

$10397 (increase) PDPRCP Jonatlan Silverstone Contr3ctors D-U-N-S Number

Ncgwatocs TYJlCd~3meJ j) Signature I l ~ jIf- bull G HtJ--ft u l IVmiddot

D~e

L - f - J ContractGrant Officqs typed Nailllt Signalure LJ d I -r-

plusmn t 3i-alflpta (( BLvle~ 1 I~ PARTm

ContractGranl Number

AID CSD-3294

Effeclive Date of Docum~nl Signalltre D3t~ of Documenl

Lf---C yen-~-gl tIost Courtry Institution (U iwrsity contract ONL Y)

Campus Coordinator (Uniwr ty i contract OiiL YJ

PART UL Descriplion of Cor-tractGrant P1use X ONL Y ONE item under each headiZg IF THEltrease CifYmC~e bolh ges I 30~~ O~ Nol to be completed for Amendmenl or Modlfic3lion AJigtns I III

J 710gt I I V ~ I

MOl - TYPE ACT A~ 0 G unsolicited Propsll (AIDIR 0 C Individual (Non-pe~nal senice)

~ O Cortra lGrantl ooperative Agreemenl 73101-SO(b)(6raquo 0 D Individual (ftrsonal Service)

tJl T3sk Order ( A)middot 0 H Procurement 10 be Perfocm~d by the Conmiddot 0 E UniversilyOther FAuC3lionailnSlitulions

D 2 Work Order (IQC) Ira~lor in Person (AIDPR 0 F Non-Profil Organizationlnslitutions (other

D 3 Delivety Order (Requirements) 73101middotSO(b)( Iraquo than Ed or PVO)

[j 4 Purchase Ordcr [J I Sole Source (AIOPR 7-3101-SO(b)(4)) 0 G Private Volunury Organization (PVO)

If I 2 or 3 1Lle an ~ compllle M 12 ON Y D J Imp3irmenl of Foreign Policy Objectiws 0 H International Agricultural Research Organj-

M04 - CONTRACTGRANT TYPE

o O MOA (BOA BMA etc)

o I Fixed Price (Specify fFP FPRD FPEPA FPI) _____ _

(gtIDPR 7-31 OJ SO(b)(7raquo

OK B(a)5eJection (FPR 1middot1713-1)

o L Grant iH1ndlOok 13)

o M Do Nol Ue

D 2 Cosl Reimburemenl (S~cil) CR CPFF 0 N Cooperative t~reement (Handbook 13)

CS CPAF CPIF) ~ 0 O Small Business SeImiddotAside (FPR 1middot1706-8)

o l Cooperative Agreemenl ~ 0 1 Overseas Procuring AClivilies (AIDPR

04 Grant Gener31 Supportmiddot 0U ~ 7lIOI-SC(b)(2))

o S Granl - Specific Support ~ ~06 E SER VICE

g ~ ~~t ~~(d) ~~ ~~ ~ eci~a~~~~~ogram Projeci

o amp IQCs ~ ~ relampted excepi A amp E Services)

o 9 Host Counlry ContraclGrnnt 5lJ C amp E Services

middotComplele ONLY through ~Sl ~~ 0 D Construction

M05 SELECTION PROCEDURES 0 E- Reseuch

o A Formally 3dverliscd (IFB) (A1DPR 7middot24 amp

FPR 1middot24) ~ o B Negoli3ted Price Compelilicn Gencr31

Procedure (RFP) (-JDPR 7456)

Dc A amp E (AIDPR 7410)

0 D Ed Inst andor Inl1 R~arch (-JDPR

74 5)

o E Collaboratoe Assisunce (IDPR 7458)

C F Predominant Capability (IOPR

73IOI-50(b)(l)

AID 1420-49 (179) - Page I

D F Technical Services to AID (other than trainmiddot

ing usually o~ating expense)

D G jraining SetVice for AID

o H Equipment Materi3J~ Supplies Commodities

D I Translation Service

~07middot TYPE CONTRACTORGRA-nEE

o A Firmmiddot AU profil-rn3king fUms (other than

Aamp E)

J e A amp E 8r~

zalion

o Public Inlmlational Organizations (UN

Agencies ICRC Wocld Bank elc)

(H8 J 3 Chapt~ S)

M08- TYPE AW~RD

o A S8 Sel-Aside - Awarded to Non-Minority

o B S8 Set-Asidemiddot Awarded to MinXity

o C_ S8 NOI Set-Aside - Awarded to Non-Minority

o D S8 NOI SeImiddotAsidemiddot Awarded 10 Minority

o Eo amp(a) S8A Awarded to Non-Minority (Womerl-

Owned Veterans etc)

o F 8(a) S8A Awarded 10 MinorilY

o G Personal Sen-ice ConlrdCt bull Non-Minority

o H IeJSDnal Service Conlract - MinorIty

o I Individual NonmiddotPersonal Service Contraci -

NonmiddotMinority

o J 100Jigtiduai NonmiddotPersonal Service Contracl -

Minorily

o K NOI Small Business (Univ NonmiddotProfit Large

Firms) Non-Minorily

o L- NOI Small 8usineSl (Univ Non-Profit Large

Firms) Minorily

o M US Govcrnmlnt

(Connnued on Page 2)

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--

ua ) R I GI NAL 9 bull

MODIFICATION or GRANT PAGE 1 of 2

AH 1 2 Effective Date 3 Grant No 4 Effective Date

Amend_at Ro 5 April 15 1981 AIDCSD- 3294 8-11-71

-s CRANTEE (Name and Addrea) 6 Administered by -Professor Gerhard Loewenberg -Office of Contract Management Cbrnparative Legislative Research Gente Central Operations Division Dept of Political Science am Branch University of Iowa Agency for International Developn~nt Iowa City Iowa 52240 Washington D C 20523

7 PIO No 930-0090- 3013411 A5 8 Previous PlOTa -

Appropriation No 72-11110216 93i-1l-995-l36 930-11-995-136-73-3078103

Allotment Symbol - 146-30-099-00-20-11 wunt Obliga ted by this ~ndrnent - $10397

The above numbered Grant is hereby modified as follows

1 Anotmt obligated prior to this rurendment 2 Amount obligated by this amendment 3 Total obligated anount (1 amp 2)

Delete the amJmt $465000 and substitute in lieu thereof the ammnt I$47S 39-7 ~

FUNDS AVAIrABm

~~ - APR 13 1981

PrO~A~~5iors

$465000 $ 10397 $475397

OffiCE Of fIN~(1 ~~rE~E~T __ _ 10 This amendment 11 entered into puruant to the authority of the Forelgn

Assistance Act of lS~l as amended Except aft hereln provided all terms and ~~ndi~ons nf the grant rcferpnccd in Block 13 remain unchsnged and in full force and ~ffcct

11 original and six Crantee 18 requlred to aign thh document aad return 1- eopics to issuing

ffiee

~~~ or printed) BUSINESS MAHAGR amp bull

Tille TREASURER

UNITpound) STATES OF AHERICA AGENCY FOR INTERNATIONAL DEVELO~NT

BY_-1(1o-_1lt--= 13middot~_1_~ __ K R B1uteau

(Name typed or printed)

Tltle~ ____ G_r_a_n_t __ O_f_f1_c_e_r ____________ __

D3tC APR 2 J 7997 Dolt 9 APq 1981

BEST AVAILABLE DOCUM NT ___ 0 HLGlNAL - I 1 J 1 ~ )

- 2 -

AID ftmds in the am)tmt of $10397 are hereby provided for the activities lmich are described in your proposal (including Budget Stnmnary) entitled CDnference to Report Research Findings on the Study of Political CDnditions for Effective Small-Scale Rural Assistance Projects in Kenya Korea and Turkey dated February 17 1981 and made a part of the Grant b reference

BtTDGET StMMARY

Line Item

Travel

Per Diem

Other Direct Costs

Less existing 211 (d) grant funds

Total Amount Obligated by this Amendment

Estimated Costs

$ 5888

5100

_ 2500 $13488

_ 3091

$lO39

Note Indirect costs or $395086 associated with these activities will be contributed by the University of Iowa

BEST AVAILABLE DOCUMENT

~RIGINAL

- CONTRACT IGRANTCOOPERA rIVE AGRElEMI~ SERC~SDSlP Actio) Monitor

SERCMSDSUP Action Office

I

INSTRUCTIONS AJDW - Complete 4 copit of tlh fonnmiddot Orisina iCMSDfSUP Sutistical Section COP)middot Copy 2 SERCMSDjSVP Administrative CoP Copy 3 Cont-acting Officers COP) Copy 4middot SOSUP Admin (Susptnse) Copy Missionsmiddot Complete 2 copies of the form or~aI SERCtSDSUP Statistical Section Copy and Copy = wiU~ retained in the Missions

0 PART IA

Effective Date of Document tJ

Delivery Order (Requirements)middot

o 4 Purcluse Order

bull If I 2 or 3 have an bull X compl~te M I 2 ON L Y

M04 - CONTRACTGRANT TYPE

o O MOA (BOA BMA etc)

o 1 Fixed Price (Specify FFP FPRD FPEP FPI) ___ _

o 2 COli Reimbursement (S~cifY CR CPFF CS CPAF CPIF) ______ _

o 3 Cooperative Agreement

o 4 Grantmiddot General Support

o S Grantmiddot Specifi Support

o 6 GraDt 21 led)middot

o 7 Do Not Use

o amp IQCs

o 9 Host Country ContractGrant

middotComplete ONLY through M 5 1

MOS SELECTION PROCEDURES

o A Formally advertised (IFB)(AJDPR 7middot24 amp

FPR 124)

o B Negotiated Prire Competition General

Procedure (RFP) (AIDPR 7456)

o Co A amp E (AlDPR 4 I 0)

o D Ed Ins andor Intl ReStalch (UDPR

7457)

o E Collaborative ASSistance (AIDPR 7458)

o F Predominant Capability (AIDPR

7-310l-50o)(3)

AID 142049 (1-79)middot Page J

o H Procurement Co be Performed b~ the Conshy

tra~tor in Person (AlDPR

7middot3t OI-SO(b)(Iraquo

o I Sole 5gturce (AIDPR 7middot3101middotSO(b)(4raquo

o J Impairment of Foreign Policy Objecdv~

(AIDPR 7middot310 ImiddotSO(b)(7raquo

o K 8(a) Selection (FPR 1middot1713-t)

o L Grant (Handbook J 3)

o M Do Not Vse

o N Cooperative Agreement (Handbook 13)

o O Small Business SetmiddotAside (FPR 11706-8)

o P Overseas Procuring Activities (AIDPR

7middot3101middotSO(b)(2raquo

M06middot TYPE SER VICE

o A TtJining of Participants

o B Technical Assistmce (Program Project

related exc~pt A amp E Services)

J C A amp E Services

0 D COltl~ruction

0 E Research

0 F Technical Services to AID (other than trainmiddot

ing usuaU Y operating ex pense)

0 G Training Service few AID

0 H Equipment Mat~rials Supplie~ Commodities

0 I Translation Service

07middot TYPE CONTRACTORGR TEE

Firmmiddot All profitmiddotmaking fu-r1s (other than

AampE)

o 9 amp E Firms

I Prcct NumbcT

I

Contactors D-U-N-S Numbcr

I) -S--f(j

o C Individual 0-lon-~rsora1 service)

o D Individual (Pet-sonal Service)

o E University lOt her EduCltionaJ Institutions

o F Non-Profit Organization Institutions (other

than Ed or PVO)

o G Private Voiuntary Organization (PVO)

o H International AgricultwaJ Research Organmiddot zation

o I Public International Organizadon~ (UN

Agencies ICRC ewld B3J1k etc)

(HB J 3 Chapter 5)

M08middot TYPE AWARD

o A SB SeImiddotAsidemiddot Awarded to Non-Minority

o B SB SetmiddotAside bull Awarded to Minority

o C SB Not SetmiddotAside - Awarded to Non-Minoril)i

o D SB Not SetmiddotAside - Awarded to Minority

o E ~a) SBA Awarded to Non-Minewity (Womeli

Owned Veterans etc)

o F 8(a) SBA w-rded 1o Minority

o G Personal Service Contractmiddot Non-Minority

o ~ Personal Service Contnct - Minority

o I Individual Non-Personal Sence Contractmiddot

NonmiddotMinority

o J Individual Non-Personal Service Contractmiddot

Minority

o K Not Small Business (Univ Non-Profit L1lge

Firms) --vn-Minority

o L Not Small BUSiness (Univ NonmiddotProfit Large

Firms) ~inoriy

o M VS Government

(Continued on Pcge 2i

t bull - t ~ J f q

ORIGINAL bull MODIFICATION OF GRANT

1 2 Effective Date

Araendllent Ro 4 12-2-80

s CRANTEE CHace and Addrels) Professor Ger1ard Lo~middot enbelg Comparative Legislative Research Deartment of Political Science The Lnivp-rsity of Iowa Iowa City Io~a 52240

7 PIO No NI A

Appropriation No 72-11XHl26

Center

Allotment Symbol -426-30-099-00-3~-71 Amount obligated by this urendment-O- I

3 Gnnt No

AIDcsd-3294

PAGE _____ 1 _of-L

AlI 4 Effective Date

8-11-71

~ Admlnlltered by -Office of Contract Management Central Operations Division OTR Branch Agency for International Development Washington DC 20523

8 Previous PIOITs -

931-11-995-136 930-11-995-136-73-3078103

9 The above numbered Grant is hereby modified as follows

Supplement to Grant

Change the duration period sentence to read

The Duration Period for this Grant shall be August 11 1971 through December 31 198]

1 Amount obligated prior to this amendment $465000 2 A~unt obligated by this amendment -0-3 Total obligated amount (1amp2) $465000

----------------_- - ------- ----_- ------ 10 Thh lImcndmcnt is entered inlo punuant to the authority of the Foreign

~ Assistance Act of 1961 86 amended Except a~ h~reln Z II provided all terms and condi tions nf the grant referenced in Block 3 remain ~~aunchlinged and In fu1l force and effNt cnltUI cJ)za 11 o 4 J bull

Et~ ai~a gtUoItshyc Z P=u

original and six Grantee t requi red to sign this document and return 1- eopies to 1Bufng

office

~ 12 GRANTEE TES OF AMERI CA

(Name typed or printed) bull

TJlle Director Comparative Legislative liecearell CeQtoQl

Date 12880

------------------------------------

ONAL DEVELOPMENT

By ----~--~~~~---------------------

prinled)

Grant Officer Title --------------------------------

J)oll( 12-2-80 -----------------------------

BEST AVAILBLE DOCUMENT i je

Page 28: PD-Ar3T Cr(~

I TdE DEVEIOP~T PROBr~

P~litical Conditions for Rural Development

The Cocparative Legislative R~search Center of the University of

Iowa proposes to ~~dartake a two-year study to investigate the role of local

leaders and the rural public in theimplecentation of small-scale develop~ent

1 projects in less developed countries The study will use and extend the

capacity ~hich the University of Iowa developed under a 211(d) grant to

investigate and assess the impact of loeal politics on rural development

~t the co~pletion of the s~ Iowa will be in aposition to advise the

Agency on the design ~nd evaluation of s~ll-scale projects which will be

politically viabe a~d effective in ass~sting the rural poor ~

As students of development w~ approach our task with the assumption

that the proble~ of development and underdevelopment are funda~entally

ones of political econooy and a~ such can only be solved through a

simultaneous considerationof economic and political factors Efforts

which foc~s aloost solely on economic factors like those of ma~y

organizations engzed in dipersing foreign aid or efforts which focus

almost exclasively on political factors fail to take account of the

interdependence between these two dimensions of underdevelopment and

lwe have for~ulated this proposal in a canner consistent witr the cu~rent policies ard interests of the Agency We have been guided in our tsk by four Age~cy doc~e~ts Impleo~~tation of New Directions in Developnent Assista~c~~~ ~eport to the COmlittee on International Relations on Ilupleoenshytatiun of Legislative Refo~ in the Foreign Assistance Act of 1973 (July 1975) rItevis~d Projec Developiel Review and Approval Systeo (A I DL Circular A-21 Aril 23 1975) SH Butterfield Draft SUIilZ3ry StateUlent of a Practical Agelcy Approach c aural Devalopilelt (AATA February 28 1975) Cicci A Coce~ual Oie=viamiddot middot Rural Development No1 (lWorilting GOU O~ tha Rural Poor February 1975)

- l -

can meec with only l~ted success

Our concern with the i=pact of local politics on the process of

rural developcent is a result of our interest in the basic question of

how LDC governm~nts and the donor agencies which assist them can

become core effective in raising the standard of living of the rural

poor We seek answers to the following aspects of that basic question

1) What political conditions must exist both within rural communities

and between theo and central gove~ents to raise agricultural production

w~ere small-scale agriculture is the do~nant pattern 2) Vnat are the

political conditions for a core rapid expansion of the informal manufacturing

and service sector cocprised of labor intensive small-scale industries

located in the rural ar s 3) What political structures and activities

are mase crucial for the provision of welfare and econocic supporc services--

such as agricultural exeension mar~eting and transportation--to the rural

areas1 4) ~~at Folitical conditions oust exist to insure that economic

growth in the rural areas is not accowpanied by excessive and intolerable

inequalities between socio-economic classes andor between regions1

Center-Periphery Linkage in LDCs

To deter~ne the political conditions for rural development we have

in previo~s s~udies exacined the institutions and processes through which

rural populaticns are integrated i1to the national politi-cal systetlS of

middot~he countries in which they live A gap exis~s in most less developed

countries bet~een the peasantry residing on the periphery and the c~~tral

political ~stiutions staffe1 by ~~estern-educated bureaucratic elite

We are aware of the other major ~sti~utional discontinuities which comprise

J

4 middot~~1 the basic cleavage between the developed and underdewmiddoteloped sectors of

these dual societies Bridging these gaps is essential if these so~ieties ~ are to develop into viable nation states For until those Q~ the periphery

of the poli~ical syste~ participate in that system and support and comply

with the authority of central political institutions neither economic

development in ~he rural areas nor a stable polity will emerge

Bridging the discontinuities in these new political systems requires

establishing and institutionalizin3middot1inkages or networks for co~unication

and exchange of resources between decision-makers at the center and the

rural public on the periphery Three types of institutional linkages are

most prominent in less developed countries 1) those conSisting of the

state administration composed of the bureaucratice1ite 2) those consisting

of a revolutioncry political party cocposed of the ideological elite

3) and those conSisting of patron-client hierarchies composed of the political

entrepreneurial elite

Of these three linkages consisting of the state administration are

the cst extensive and pervasive in virtua~ly every LOC Such linkages

however exist primarily a~ instruwents of the center to penetrate the

periphery Central government officials are formally charged with bringing

develo~ent to the people This is a ~issi~n which conceives development

as a process ~hrough which a traditional peasantry is transformed and

assimilated iJro the DOdern center which is steadily expanding to embrace

it Agents of the center invariably have more resources to achieve their

objectives than do local political leaders but because they are frequently

strangers~ the communities in which they function they are often unable

- It -

co implement the policies of the center without working through the

local establis~ent

Though somctices significant linkages consist~g of revolutionary

party organizati~ns such as those found in China and Vietnam do not exist -

in most IDCs beca1Se of the special historical and e~omic conditions

required for their development As wi~h the administrative state however

the linkaampe apparatus of such political patties is prUlarily an instrument

of the center whose mission is to penetrate and mobilize those onthe

periphery

In contrast patron-client hierarchies are linkages which represent

the periphery at the center and mediate betwee~ these two disparate

sectors of the political systec Thcugh norcallymiddotovershadowed in scale

by the state administration patron-client hierarchies are found in almost

~very LDC a~d constitute the ~st significant network through which rural i

populations and their leaders influence the decision-~king process at

the center Patron-client hierarchies exist in a wide variety of org~iza-

tional fores ranging from info~ ~ec~~rks of individual olitical leaders

in uno-partyll systelS in S~b-SaharaI4 Africa to extensive political machines

in both one-p~rty (Africa Mexico) and ~u1ti-party systems (Turkey India)

Despite their importance as the pricary means through which peasants in

LDCs particiate in their political systems patron-client hi~rarchies

have only recently become an object of analysis by students of political

developent and do not appear in even the most sophisticated studies of

2 See Jo~ Dunca owell Peasant Socie~y and Clientelist Politics Aerican Politi~ Scielce Revietol 64 (June 1970) pp 411-25 Rene Lemarchand anc_ Keith Legg olitical ClienteliSJ and Ethnicity in Tropical Africa Aierican Political Sc~ecce ReView 66 (Y~rch 1972) pp 68-90 James C Scott PatronshyClient Politics a~d Political Change II 1tlerican Political Science Revie~ 66 (~arch 1972) p 91-113 and Friends Followers and Factiols bull edited by Steffan Sc~~d and James C Scott (Berkeley UniverSity of California Press 1977) bull

- 5 -

3 economic development Ad~niscrators of developmental assistance progracs

have too often regarded patron-clienc hierarchies as ~ped~ents to

develop~ent instead of recognizing cheir potential utility bull

~ Findings on Patron-Client Hierar~hies --

The importance of pat~on-clienc hierarchies for linking the periphery

to the center is one of the major findings ~erging from a study of the

relationships betueen l~gislators an~ their constituents in Kenya Korea

and Turkey ~hich the Cowparative Legislative Research Centpr is nov

comleting uader its 21l(d) grant from AID This study has av~mined the

creation of linkages between the periphery and the center through ~ore

than lO~OOO interviews with members of parl~ent local leaders and

peasants in t~e three countries The findings are being systewatically

set out in a book-length monograph Nearly a dozen research reports have -

uready appeared (see Appendix C) ipropositions about the nature of

political behavior of rural populations an~ the roles of local political

elites de=ived from the research~ can be s~rized as follows

1 Elected representa~ives play a significant role in the creation and mainte~ance of linkages be~een the center and periphery by developing local political achines in which they function as patrons of their constituents In turn thay s~rve as clients of political leaders of national stature who control central government institutions

2 By atte~pting to establish linkages based on patron-client relatio~shi~s elect~d representatives are responding to public expectations chat their prizary duy is to obtain resources from the center to proffiote local develop~ent ~iany elected repLesentatives spend most of their time on self-help co==unity development projects such 3S the building of schools health clinics irrigation works arid roads because such projects provide

3For exa~le ~ a widely respec~ed a~d useful analysis of rural deve16p~ent in Sub-Sahara~ Africa L~ Lele of the World Bank notes the problems of creating an adoini5~raive infrastructure in the rural areas that is sensitive to local socio-oliical conditions She does not however consider how local leaders operating o~tside of adcinistrative structures ~ night contribute to the developne~t 0 the rural areas See ~~ Lele ~ Design ~ Rural Develop~ent Lessons ~ Africa (Balt~re The Johns HopkiD~ Uciversity Press 1975) r) pp 127-61 i ~

- 6 -

their const~tuents with desired se~ices ~~d a= the sa~e time provide the reresentatives with an orgacization Yhicn can be used as a political base

3 l-tore than 90 perCel1t of the rural population is capable of articulating the p~oblems facing their local co~~ity and two-thirds discuss th~e proble~ w~th their fellow citizens on a regular basis

4 Three-q~rters of the residents of the rural areas can identify the public ofpoundici~s who serve thec--both civil servants and elected represcrtatives--by na~e Most are knowledgeable about the activities of these officials Alcost one-fifth coreover have discussed co~~~ity probl~ ~ith these officials particularly those working at the grassshyroots level Residents of rural villages actually have a higher level of political knowledge than their counterparts in the towns

5 Elections in the rural areas evoke a highly rational attern of voti~g despite the effects of ascriptive or traditional co~siderations Inc~ens are pri~rily evaluated in terms of their record in fulfilling the public r S elpectations of what they should do Elections are essentially referenda on inc~entsr perfo~ce especially their perforwance in the area of constituency servi~es such as bringing development projects to the districts bull

6 Local developcent projects have a relatively high s~olic value generating conscitutency support for local leaders and the central government at low cost

7 These projects help huild a local political infra-structure which can also be utilizec by central govern~nt civil servants to implement other policies designed to achieve rural develop~ent bull

The Icpac~ of Local Politics on Rural Projects

Having explored the developtent of linkages through which the periphery

is represented at che ~enter and through which the periphe~ attemp~s to

share in the ceners resources we now propose to build upon our initial

investigations by e~ing in greater detail the impact of local political

conditions on specific problecs of rural develop~ent We propose to

exacine the develop~ental activities of local leaders ~nd the rural public

by eX2~Ding a saple ot fifteen to twenty smalL~scale developwent projects

in each of ~he three countries which constituted the sites for our initial

8ESI AVAILABLE DOCUMENT 1 ~ - of

- 7 -

study of center-perhiphary relations The appropriateaess of this approach

and the ~ethodology through which it will be ip~emented is discussed in

section II Because the ~ethodology of investigation is in large part

the result of our previous research experience we fizst turn to a revieW

of the existinQ __ ~petence of the Comparative Legislative Research Center

in this area

II GRAXTEES EXISTIXG CmET~CE

In 1971 the University of Iowa received a 211(d) grant to develop

its capacity to do research on the role of elected represent~tives in

the process of modernization On the b~sis of this grant the University

established a research center which planned and carried out a research

project on the role of elected reres~~tatives as links between the central

gove~ent and rural populations in K~ya Korea and Turkey The project -i

served to develop t~e University of Iowas research capability in this

field esa~lished ties between the University and scholars in the bost

countries and generated a large and uniqu~ body of relevant data

In that project we fo~ussed our attention on tbe activities of elected

representatives in their constituencies notably in their contacts with

local political leaders voters and civil servants To determine tbe

nature of the linkage function performed by tbe representatives we

designed our research to explore the subject from three perspectives

1) we eXaojned ~~a ~ubject at tbe grass roots by conducting a series of

sample surveys of 200 to 300 adults in each of 12 to 14 parliamentary

constituencies in each cf th~6three countries 2) we examined the subject

at the center by intervie -ing MIls from the constituencies in which we

had conducted S3mple surveys ~nd higher civil servants with whom they

had contact and 3) ~e ex~~ined the subject from an inter-~diate level

by identifying aud ~terviewing local social and political leaders in

the MPs constituencies We used survey research methods because we

were embarking on the study of an entir~ly new subject for which little

relevant docu=e~tary data existed and on which there were few secondary

sources As a result ~e have unparalleled experience with survey

research in the rural areas of less develo~ed countries

The surveys which constituted the cajor part of our field work were

planned in collaboration ~~th scholars from the host countries They were

carried out in each constituency by student interviewers in the appropriate

language ~re than 10000 respo~dents were inteDViewed for the project

Given the visibility and sensitivity of this undertaking approval for

the research was sought and obtained from the host governments prior to -i

the collec~ion of data ~o objections were raised by these governments

at any stage of the research The data obtained have been made available

to scholars i~ the host co~cries and some of the basic findings have

been published in periodicdis in these countries

The Comarative Legislative Research Center ~hich ad~nistered the

project has aisO developed extensive experience in the study of political

leadership in other countries It h3s obta~ed substantial support from

the Fo~d Foundacion and the Rockeeller Foundation has worked in

collaboration ~~h European as ~ell as Asian and African scholars and

is engaged in a ajor study of the role of elected and non-elected leaders

in the oanag~~t o~~ocial conflict Because it has conGucted research

in a variey of setlngs the Center has an ~ceptional capacity to

- 9 -

determine how the relationships be~een political institutions and

economic p=oble75 differ in develoPed and less developed countries

In the course of the major research projects the Center has administered

it has gained highly specializpd ~p-i ce iI identifying 1Olitical leaders

in a great variety of settings conducting systematic interviews with

them collaborating with scholars in the host countries and in coding

and utilizing large files of data to answer specific research questions

The Center has ~lso undertaken to publish the results of its research

in three fores It issues codebooks to the data enabling scholrrs at

other locations to use the data expeditiously i~ publishes research reports - in the form of Occasional Papers and it publishes a scholarly periodical

devoted to the presentation of research findi~gs to an inteIT~tional

audience

The Center utilizes the data ~ysis facilities of the Laboratory

for Political Research of the University of Iowa and drawS on the unusual

n~er of secialists in comparamptive politics and survey research in

~~e Lniversitys Departmen of Political S~ience The Center itself I

has the services of an administrative secretary and a clerk-typist

~intains its~o~cn extensive archives and its o~~ publications program

It is e~uipped to assist scholars and government officials outside the

t~iversity of Io~a The participants in its p~ojects are full-tioe

faculty ~e=bers ~hose undergraduate and graduate teaching is closely

related to their research As part of the teaching program the Center

has attracted students from the countries in which the research projects

have been conducted these students have participated in the projects

bull J

have obtained training in other fields of political science have received

University of Iowa degrees~ and have ret~rned to teach and to do research

in their own countries

III PURPOSE OBJECTIVES AID METHODS

Purpose of Study

The purpose of the proposed grant is to extend the capacity of the

University of Iowa to determine the political conditions in the rural

areas of less developed countries which favor the establis~ent and growth

of small-scale developoent projects ~e objective is to put the University

of Iowa in a position to assist the Agency in designing small-scale rural

developent projects providing guidelines for carrying out social soundness

analyses of such projects and adviSing in the evaluation of projects

We will discuss the utilization of~t~e Universitys capacity in detail in

section IV below

We propose to concentrate our investigations on the political conditions

surrounding s~l-scale ru~al projects Such projects have distinctive

advantages They waximize the political participation of the rural populations

both in det~~-ining the direction ~d implementation of develop~ent efforts

and in defending the interests of periphery vis-~-vis the urban-based

bureaucratic elite S~ll-scale projects stimulate entrereneurial activity

on the part of the rural citizens and growth of the info~l canufacturing

and service sector Tbey require less lead tice and less administrative

c~erhead to ~eco~e operational than large-scale capital-intensive projects

centrally administered Such projects yield rapid and direct benefits to

1

j

the rural

- 11 b - ~~1

populations and are consistentwith their hUIlaD rights--both

political and economic However~ small-s~le projects pose s~ecial probl~s for administratcrs of developceocll assistance progracs because

they require the donor co assess the local olitics particularl the

rural politics of t~e host country

Develop~c adoinistrators pr~rily conc~rned with assisting rural

populations must therefore recognize the range of political variables

affectL~g these projects Small-scale projects offer great opportuoities

for develop~ental assistance progr~ because they can be easily targeted

to help rural populacions require low capital costs and need no be

concentrated in one or two localities Such projects ho~ever~ ~equire

the a~istrator to have ~re political kno~lecge than large-scale

projects Oil which his priJlary tas~ is guiding the work of other experts

Questions for ~Investigation

To detercine the politi~al cc~diicilS ~st conducive to ~he establ~~ent

and gro~h of scalI-scale rural projects ~e propose to address our inquiry

to the following specific questions

1 To what extent and why co local political leaders seek to establish s~~l-scale develop~ent projects within their co~unities

2 To what extent and ~~y do local leaders other than politicians initiate andor provide leadership for s=all-scale developm~t projects

3 Bot do the relations bet~Jeel different types of local leaders (political and non-political) and bet~eeo these leaders and central gove~ent civil servants posted to the rural areas affect the conduct of develop=ent projects

4 How do existing authority ~eLationships between these different leadership grous and the rural pub~ic affect the organization and operation of s~l-scale develop~ent projects

- 12 -

~

5 lhlt is the nature 0 pclgtlic participation in the establishlent and operatio~ of s~l-sclle projects and ~hat are the outcc=es or this participatioe Gucer w~at conditions is such participation ~ost likely to occur

We seek a~swe=s to t~cse questio s L order to determine the effect of

different co~iigurations of local leadership and public participation on the

outcomes or small-scale rural projects te are particular1y concerned with

the ~pact of these configurations on the rate of econocic growth and the

distribution o~ rIGSlth ithin the loal cOlllUlity ~ on the perce~tions of

s~ll-scale proj~cts by central govern~ent per~oncel and the rural public

anmiddot on the organiation or flture projects

To a~swer these que~tions it is oar intention to study the initia~ioD

izJple=enation ald i1lpact of a salple cpound small-scale rural projects in

Kanya Korea and Turley in the sae cOllities in which we carried OU

our initial icvestigations ~ 1973-75 Tne relationships between the -

various conf~gurations of local leadership and public participation and

the three phases of project develop~ant are sho~ in Figure 1 We will

exa=ine projects to pro~ote the adoption of new agricultural techniques

by s~l and moderate landnolders the building of feeder roads irrigation

ditches and other s~ple infrastructure the organization of fa~ers

cooperatives and other local associations concerned with rural development

the establish=ent of rural health clinicS and schools and the setting up

of craft and service industries

Sites for Study

We plan to return to our original set of localities because we possess

a rich body of relevant data on the extent to which linkages exist between

Figure 1

TYPES OF LFLUEXCE OF C2r~ middotGOVER1iEXT OFFCIALS

LoCu LEADERS 0 THE RURAL PUBLI-C OX THRr~

PHASES OF RURAL igtEVELOPHET PROJECTS

r----------~J C~ltral Gover1~nt Official)-N------- - J

r- Local pOlitical leaders

Local non-political leaders

~l 1---- -

ROJECT nITL~TIOS

Influ~ce on selection of projects

InrI ~elce on location of projects

Influence on policy guidelines for proj eCl

Il

I

a

I I

-I PROJECT I~L~~iATIO~ ~ 1

j Project Organizati I Selection of project

leadership

Hobilization of resources

Mobilizatiol of public compliance with project require=elts

Diffusion of project innovation

Rural Public

I

BEST AVAILABLE nOCUMENT

1 ROJECT IMPACT

Organization of ongoi=g project operation

Distribution of project benefits

Evaluation of project

Public attitudes toward project

-middot14 -

these areas and t~c central p~litical institutions of the three co~tries

and on the attit~es of the rural populacioc local leaders and elected

legislators regardi~g their problecs of develop~~c Since such data

is unavailable for alternative locales a return to the areas in which

we have previously done much research ~ables us to build on a uniquely

valuable body of icformation

A return to Kenya Korea and Turkey is also highly desirable from

the standpoint of effective research organization The Comparative

Legislative Research ~enter has developed close collaborative relationships

with several highly competent social scientists in these countries and

with the academic institutions with which these scholars are associated

We have also dev~_oped cooperative relatio~ships wi~ gove~ent officials

in these countries which should facilicate obtaining approval for our

further work

In proposing to doc~ent the origin i~pl~entation and impact of

one to three s~ll-scale develop=ent projects in each of 35 localities

we have two considerations in mind Firstmiddot because our pr~ry goal is

to deter~e the political conditions for rural developm~Lt we wish to

examine develQ~=ent in as many different settings as feasible Only in

this way can we control for so=e of the major socio-cultural variations

that erist along rural populations in less developed coultries These

include the overall level of econo~c development in the co~unity the

nature of t~e ~digenous culture an~ relationships of authority and the

pro~ty of the comounity to major urban areas and centers of central

gove~nt ad=inistration ~ce our original study sites were carefully

BEST AVAILABLE DOCUMENf

- 15 - ~ ~1

selected to represent these variations ye have concluded that these

35 localities woule be ideal sites for the propose~project Second~ in order to dete~~~ the ~pact of local leaders and public

participation o~ ~ural projects we intend to compare projects 1n which

local leaders and ~ecbers of the public have played a major ~ole with

projects in which they have not We also ~l cospare projects initiated

by the central gover~ent with projects Yhich have been locally initiated

These considerations give us a typology for selecting projects as depicted

in Figure 2

Figure 2 ~

FIVE TYPES OF RU~AL PROJCTS ACCORDIXG TO ~FLUEXCE OF CEITiW

GOVE~1E~T LOCAL LEADE~ AD RLRAL POULATIO~

Level of Participation by Rural Population

Locus of Project Initiation ~

Local Co=unity Central Governoent

BIGd

LOt

1 Projects initiated by local leaders and providing for participation of the rural ~opulation

4 Proje~ts Litiated by local leaders bu~ not involving participation of the rural population

2 Projects initiated by the Central Govern~ent and administered i~ cooperation with local leaders a~d the rural population

3 Projects initiated by the Central Govemlent and providing =or the participation of the rural population but by-passing local leaders

5 Projects initiated by the Central Gover~e~t a~d administered in cooeration Yith local leaders but not involvi~g parti~ipation of rural population

- 16 -

We recognize that the socio-cultural setting of rural develoment

projects varies significantly within and across less developed countries bull

By focussing o~ a representative sa=ple of localities ~ Ke~ya~ Korea

and Turkey we can take account of naoy~ though not all of these variations

While some of our substantive findings will not be directly generalizable

beyond the countries in which we propose to conduct our study we expect

that our basic ~ethods and fLdLgs will be applicable to national and

sub-national settings elsewhere in the developing world This is partly

d~e to the fact that the hierarchy of patron-client relations ~hich we

regard as a critical factor in rural develo~~t exists in ~ost Liles

--It is also due to the fact that the methodology for identifying local

bull leadership configurations auG poundor studying local politics which we are

perfe~ting can be used to assess local political co~ditions in a large

variety of countries even when the ~nditions themselves differ significantly

Methods of Investigation

The data needed to assess the iDpact of local leaders and mass

participaticn on rural dev~lop~nt fall into two categories Some a~e

contained among the data gathered for the research project we are currently

completing Others will require additional field research

The following data are already in hand

1 Data on the social landscape of each loc~l co~nity i~cluding aggregate data o~ level of econonic development de~graphic characteristics political pa=ticiation eth~ic loyalities and rates of socio-econocic change dur~g the past decade bull

2 Identity of local leaders including both political and I-on-political leaders and both legislators and other politicians

3 Perceptions of existiag probl~ and their possible solution a~ng

l)tS r AVAilABLE DOCUMENT

- 17 -

general public local leaders and civil serv~nts

4 Level of political kno~ledge among local citizens and local political leacers

5 Political and social values a~ong local ci~izecs and local political leaders

6 E~~ectacions of leadership roles among the local public and elected and non-elected leaders

7 Patterns of co~unication ~ong local leaders and between local leaders and the central gove~e~t

These data ~hich ~e already have in hand can be subjected to analyses

which ~~ll provida the foundation for our further work on rural develop~ent

projects A part of our work therefore will consist of fu~ther analyses

of existing data

New data of the following kinds are also required

1 Doc~entary data on the origin and evolution of particular smallshyscale develop~cnt projects in the rural areas

-2 Data on project costs boih ~itial invest=ent and recurring

operating costs and data on project ou~puts ie pupils in schools Ddles of road coopleted nl~ber of hospital a~ssions production of factory agricultural productivity

3 Data on project organizatio~ n~~r of local inha~itants participating in establis~~ent of projectt nuober of local L~habitants subsequently involved in project

4 Data-on the pe-cetion of projects by local leaders emers of the local public a~d by civil servants data on the perception of how each project ~as initiatec organized who benefitted and what its future implicatio~s are

These types of data will requ~re field work involv~~g both docucentary research

at the relevant ~istries of the central government and in local goverr~nt

authoritieS and inforoal open-ended interviews with local political leaders

elected representatives and other local leaders who~ we had previously ~

interviewed in a s=uctured syste=atic =aoner

BEST AVAILABLE DOCUMENT

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Grant Organizatio~ and T~etable

We propose co undertake the research outlLled above beginning in the

fall se=ester 1977 Dur~g that te~ Professors Barkan and Kim as

principal investio~tors for the neo1 proj ect will contact their collaborators

in the host co~~tries They ~~ll also seek the collaboration of an additional

~rican scholar specializing in rural development with the aic of getting

additional advice on sources of data and suitable indicators for the

~easure=~~t of rural develop~ent projects

At the end of the fall seQester Professors Barkan and Kim will make

a trip to their research sites to disc~s details of the research organization

with their collaborators in the host countries and to recruit student

assistants Tney will devote the spring te~ 1978 to further analysis

of a~sting data at the University of Iowa

The gathering of additional dita L~ the field will begin in the s~er

of 1978 Professors Barkan and Kio will direct this work personally We

eAect that its coopletion ~~ll require three to six months This work ~1

involve the evaluation of central and local gove~ent reports on the

projects uncer investigation extensive on-site observations of the projects

and oen-e~ded interviews with the principal participants Our principal

respondents ~i1l be the local leaders and elected representatives we

have previously identified in the localities in which we have worked and

a sacple of active participants in the particular dpvelopment projects

being studied ~~ere necessary and apropriate surveys of the general

public will be uncertaken to assess the inpact of a given project on the

rural por)r We do not however leed 0 conduct systeAlatic sample surveys

BEST AVAILABLE DOCUMENT

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of the rur~l population as We did in 1974

In the organization of this research project we intend to reconstruct

the rese~rch tea=s ~e e=ployed during 1973-75 We shall again seek the

co11abo=~tion of P~ofessor Sc~~S-7o~g Pai of Seoul National University ~

Professor IIiCr Turan of the University of Istanbul and Professor John J

Ok~u of the U~iversity of ~arto~ S~ilarly w~ contemplate directing

the field research fro~ he same acade~ic research organizations we previously

used Seoul National U~ive~sity th~ ~~iversity of Istanbul and the

Insti~ute for Develop~eut S~udies University of Nairobi As before we

will tra~ students f~oo these institutions to serve as interviewers

The analysis of the open-ended intervie~s and of docUQentatio~ on

I ~ural develop=e~t projects will be a ~ore t~e-co~s~g process than the

analysis of closed intervie~s It will reqrire a high cotnittl~t of time

fron the principal investigators )e e--pec to hold a conference at the i

U~iversi~y of Iowa 3lO1g all the principal )clticipa~ts in the resea~ch

project d~=~g t~e spr~g 1979 to evalua~~ the newly collected data

le e~ pect to be able to vr-ite reports of t~ results during the Sl1~er 1979

(see Figre 3)

IV LlX-GS ~1) U~ILIZATIO~

At the e~d of the grant period the Uti ersity of Iowa will be able to

1) advise the Agalcy 01 the design of s~l-scale rural projects to assist

the rural poor 2) provide guidelines for social soundness analysiS of

small-scale projects for the rural areas of U)Cs 3) consult w~th the

Ag~tcy 01 the evaluatiol of rural projects ~d 4) provide LDe governments

BEST AVAILABLE DOCUMENT

)ATES

~lll

1977

~inter 1977

iprilg 1978

il mer 1978

~all

1978

ipr~ng

1979

Imiddoter 1979

University vf Iowa

Plutlning of rural develo~rent project

Barkan Kil

Alalysis of existing data

Barkan Kia

Data processing

3arkan Kin

1

I

- 4 -

Figura 3

GRAT TLfETABLE

SIT E S

Kenya Korea Turkey

Preparation of field research ural developH~lt project cOlisulta~io~ a research sites

BarkanOku=u Ki~Pai Tura~rkanKi~

Preparation of field resea-ch

Tural

Field research on rural cevelop~~t projects Bar~lOk~u Ki=Pai Turan

Co=pletion of Co=pletion of field resear~~I~ fiald researcr

Ok~u i Pai bull

f Coopletion of field research

Turan

Data analysis conference a~ong all princial i~vestigators at Un~versity of Iowa Barkan Kil Oku=u Pai Turan

Co=letiol of r~ral develop~ent

project

3arkan Kiz

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I

- LL -

~ith speciali~cs o~ ru~al developcect ~mong their own citizens ~ho ha_

partcipatcd ~s collaborators in the Iowa projects

In the proposed project we Will test a series of hypotheses cOlcerning

the political cOllditions of rural develo=ent which run counter to CODOn

assuoptions conccrnir3 t~~ influence of rural politics on project effectiveness

As a result ~e ~dll be able to assist the Agency in designing and evaluating

such projects froe the point of V~~W 0 their political viability The

hypotheses We will test sugges~ t~at the patron-clie~t relations existing

in the local politics of zost LDCs are not necessarily i~pedients to rural

develop~ent but are aspects or the political structure which cal be used to

facilitate s~ll-scale ru=~ projects which will raise the standards of

living of _ ~ rral pomlation - As ~ result or our stuey we expect to be

able to P~-O~t the local leadership confi5~rations ~4d the relationships

between local leaders ald rural poclations ~nich are oost conducive to I

successful develcp=en efforts We believe that we will be agtle to perfect

a cat~odology for identifying the political conditions for rural develop~ent

one ~hich is transferable pound~oo the countries we have specialized in to

other LDCs

We proo~ to develop specific guidelines to assist administrators

charged with selecting evaluating and =onito~ing rural develop~ent

projects to ~szess t~esc rojects in tares of their-social and political

viability he outco~e of such projects is dete~ned not only by the

efrectiv~nass ~~=h ~hich they use scarce econo~c resources but by the

~~er L~ w=ich they e~gage the suppprt of local leaders and rural

po~ulatiocs~ by thei= effect ou social a~d econo~c equality ~d by

D[~T AvAlLA8LE DOCUMENT

- 22 -

their consequences for hwan rights ~Je plan to establish criteria by

middot~hic~ the probable outco~es of projects in these social terms can be

anticipatec

The study ~e propo e will be undertltlken by faculty at the Cniversicy

of lowe in collaboration with faculty a other ~rican institutions and

institutions in the host countries We will build on the extensive contacts

between the Co~perative Legislative Research Center of the ~niversity of

Iowa end other instituions with ~aich ~e have worked One =ajor result

of our collaborative study will be the existence of a net~ork of compe~ent

scholars both in this country and overseas experi~lced in ~orking together~

shar~g a co~on teaching and training experience i~ close contact throu~~ the

effective publications progr~ developed by the Co~parative Legislative Research

Center T~e e~~ertise of this group of individuals will be ava~lable to

oteer scholars to the Agency and ~o L~C governments for specific policy

advice The eXertise developed as a consequence of this project will

extend beyond the ~tionals of the countries ~volved since the univ~sities

engaged in ~e project attrtct stude~ts fro outside heir own countries

For ey~=ple the teaching ~d research progra in the Depar~ent of Political

Science 0 theUniversity of Istanbul heavily affected by the participation

of its facul~y ~e=bers and graduate students in our projects attracts students

throughout the ~middot1iddle East for Whom the University of Istanbul is the iajor

institution ~pound ~igher education in the region rne Institute for Developmen~

Studies is si=ilarly a focal point for students and faculty in East and

Central Africa Seoul ~atiocal Unive=sity attracts students froo other

Asia~ co~tries~ In this way the capability developed among the participant$

BEST AVAIL~BLE DOrUMENT

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in our work is diffused widely To the exte~ that the abili~y to assess

rural develop~ent p~ojects in teres of their social soundness is increased

both in the United States and in ~o~~tries r~ceiving develop=en~ assistance

the cap3~ity of racipien~ countr~es to absorb aid is ~creased

We propose to draw up an inventory of personnel available in ~~e

Cnited States and in other co~~tries who are able to consult with developen~

a~nistrators on the design of rural development projects and on their

evaluation We ~~ll draw first of ai~ on individuals w~o have been

directly associated with our ~ork in the past or on ~he proposed project

and ex~~~d the list to include graduate students and gove~ent officials

with who~ these individuals have wor~d

tole Yill utilize tha existing publication program of the Center

dercribed above to disse~inate our findings The Center has specialized

oailing lists of interested individuals and institutions in all parts of -i

the world and its reports can trerefore reach the ~st relevant audience

jirec~ly ~d re~~arly

BESl AVAIL~BLE OOCUMENT

CONTRACfjGRANTCOOPERATIVE AGREEMENT DATA SHEET

INSTRUCTIONS fjDW Complete 4 copies of the form Original SERCMSDSUP Statistical Section Copy Copy 2 SERCMSIiUP dministrative Copy opr 1 Contracting Officers COy COP) 4 SERCMSDSUP IUmin (Suspense) Copy

Missions Complde 2 copies oi the form Origin31 SERCMSDjSUF- Statistic31 Section Copy 3n~ Copy 2 Nill be ret31ned in the Missions

PART fA

ConU3lttorGranrce Name

University p~f~I~o~wa~ __ -r~ ____ ~~~~ __________ -~~ __ ~~~ ______________ ~~~~ Plorr Numt-er ApptopriJtion Number Allotment Number Project Number

930-0090-3Q13411 A5 72-111l0216 146-30-099-00-20-11 930-0090 Project Title

So~ia1 and Potitica1 Aspects of Development - Conference to Report Research Findings Amount of this Plorr I Projecl M3nagers Name and Offire Sytlbol

$10397 (increase) PDPRCP Jonatlan Silverstone Contr3ctors D-U-N-S Number

Ncgwatocs TYJlCd~3meJ j) Signature I l ~ jIf- bull G HtJ--ft u l IVmiddot

D~e

L - f - J ContractGrant Officqs typed Nailllt Signalure LJ d I -r-

plusmn t 3i-alflpta (( BLvle~ 1 I~ PARTm

ContractGranl Number

AID CSD-3294

Effeclive Date of Docum~nl Signalltre D3t~ of Documenl

Lf---C yen-~-gl tIost Courtry Institution (U iwrsity contract ONL Y)

Campus Coordinator (Uniwr ty i contract OiiL YJ

PART UL Descriplion of Cor-tractGrant P1use X ONL Y ONE item under each headiZg IF THEltrease CifYmC~e bolh ges I 30~~ O~ Nol to be completed for Amendmenl or Modlfic3lion AJigtns I III

J 710gt I I V ~ I

MOl - TYPE ACT A~ 0 G unsolicited Propsll (AIDIR 0 C Individual (Non-pe~nal senice)

~ O Cortra lGrantl ooperative Agreemenl 73101-SO(b)(6raquo 0 D Individual (ftrsonal Service)

tJl T3sk Order ( A)middot 0 H Procurement 10 be Perfocm~d by the Conmiddot 0 E UniversilyOther FAuC3lionailnSlitulions

D 2 Work Order (IQC) Ira~lor in Person (AIDPR 0 F Non-Profil Organizationlnslitutions (other

D 3 Delivety Order (Requirements) 73101middotSO(b)( Iraquo than Ed or PVO)

[j 4 Purchase Ordcr [J I Sole Source (AIOPR 7-3101-SO(b)(4)) 0 G Private Volunury Organization (PVO)

If I 2 or 3 1Lle an ~ compllle M 12 ON Y D J Imp3irmenl of Foreign Policy Objectiws 0 H International Agricultural Research Organj-

M04 - CONTRACTGRANT TYPE

o O MOA (BOA BMA etc)

o I Fixed Price (Specify fFP FPRD FPEPA FPI) _____ _

(gtIDPR 7-31 OJ SO(b)(7raquo

OK B(a)5eJection (FPR 1middot1713-1)

o L Grant iH1ndlOok 13)

o M Do Nol Ue

D 2 Cosl Reimburemenl (S~cil) CR CPFF 0 N Cooperative t~reement (Handbook 13)

CS CPAF CPIF) ~ 0 O Small Business SeImiddotAside (FPR 1middot1706-8)

o l Cooperative Agreemenl ~ 0 1 Overseas Procuring AClivilies (AIDPR

04 Grant Gener31 Supportmiddot 0U ~ 7lIOI-SC(b)(2))

o S Granl - Specific Support ~ ~06 E SER VICE

g ~ ~~t ~~(d) ~~ ~~ ~ eci~a~~~~~ogram Projeci

o amp IQCs ~ ~ relampted excepi A amp E Services)

o 9 Host Counlry ContraclGrnnt 5lJ C amp E Services

middotComplele ONLY through ~Sl ~~ 0 D Construction

M05 SELECTION PROCEDURES 0 E- Reseuch

o A Formally 3dverliscd (IFB) (A1DPR 7middot24 amp

FPR 1middot24) ~ o B Negoli3ted Price Compelilicn Gencr31

Procedure (RFP) (-JDPR 7456)

Dc A amp E (AIDPR 7410)

0 D Ed Inst andor Inl1 R~arch (-JDPR

74 5)

o E Collaboratoe Assisunce (IDPR 7458)

C F Predominant Capability (IOPR

73IOI-50(b)(l)

AID 1420-49 (179) - Page I

D F Technical Services to AID (other than trainmiddot

ing usually o~ating expense)

D G jraining SetVice for AID

o H Equipment Materi3J~ Supplies Commodities

D I Translation Service

~07middot TYPE CONTRACTORGRA-nEE

o A Firmmiddot AU profil-rn3king fUms (other than

Aamp E)

J e A amp E 8r~

zalion

o Public Inlmlational Organizations (UN

Agencies ICRC Wocld Bank elc)

(H8 J 3 Chapt~ S)

M08- TYPE AW~RD

o A S8 Sel-Aside - Awarded to Non-Minority

o B S8 Set-Asidemiddot Awarded to MinXity

o C_ S8 NOI Set-Aside - Awarded to Non-Minority

o D S8 NOI SeImiddotAsidemiddot Awarded 10 Minority

o Eo amp(a) S8A Awarded to Non-Minority (Womerl-

Owned Veterans etc)

o F 8(a) S8A Awarded 10 MinorilY

o G Personal Sen-ice ConlrdCt bull Non-Minority

o H IeJSDnal Service Conlract - MinorIty

o I Individual NonmiddotPersonal Service Contraci -

NonmiddotMinority

o J 100Jigtiduai NonmiddotPersonal Service Contracl -

Minorily

o K NOI Small Business (Univ NonmiddotProfit Large

Firms) Non-Minorily

o L- NOI Small 8usineSl (Univ Non-Profit Large

Firms) Minorily

o M US Govcrnmlnt

(Connnued on Page 2)

BEST AVLABIE DOCUMENT 1 I

--

ua ) R I GI NAL 9 bull

MODIFICATION or GRANT PAGE 1 of 2

AH 1 2 Effective Date 3 Grant No 4 Effective Date

Amend_at Ro 5 April 15 1981 AIDCSD- 3294 8-11-71

-s CRANTEE (Name and Addrea) 6 Administered by -Professor Gerhard Loewenberg -Office of Contract Management Cbrnparative Legislative Research Gente Central Operations Division Dept of Political Science am Branch University of Iowa Agency for International Developn~nt Iowa City Iowa 52240 Washington D C 20523

7 PIO No 930-0090- 3013411 A5 8 Previous PlOTa -

Appropriation No 72-11110216 93i-1l-995-l36 930-11-995-136-73-3078103

Allotment Symbol - 146-30-099-00-20-11 wunt Obliga ted by this ~ndrnent - $10397

The above numbered Grant is hereby modified as follows

1 Anotmt obligated prior to this rurendment 2 Amount obligated by this amendment 3 Total obligated anount (1 amp 2)

Delete the amJmt $465000 and substitute in lieu thereof the ammnt I$47S 39-7 ~

FUNDS AVAIrABm

~~ - APR 13 1981

PrO~A~~5iors

$465000 $ 10397 $475397

OffiCE Of fIN~(1 ~~rE~E~T __ _ 10 This amendment 11 entered into puruant to the authority of the Forelgn

Assistance Act of lS~l as amended Except aft hereln provided all terms and ~~ndi~ons nf the grant rcferpnccd in Block 13 remain unchsnged and in full force and ~ffcct

11 original and six Crantee 18 requlred to aign thh document aad return 1- eopics to issuing

ffiee

~~~ or printed) BUSINESS MAHAGR amp bull

Tille TREASURER

UNITpound) STATES OF AHERICA AGENCY FOR INTERNATIONAL DEVELO~NT

BY_-1(1o-_1lt--= 13middot~_1_~ __ K R B1uteau

(Name typed or printed)

Tltle~ ____ G_r_a_n_t __ O_f_f1_c_e_r ____________ __

D3tC APR 2 J 7997 Dolt 9 APq 1981

BEST AVAILABLE DOCUM NT ___ 0 HLGlNAL - I 1 J 1 ~ )

- 2 -

AID ftmds in the am)tmt of $10397 are hereby provided for the activities lmich are described in your proposal (including Budget Stnmnary) entitled CDnference to Report Research Findings on the Study of Political CDnditions for Effective Small-Scale Rural Assistance Projects in Kenya Korea and Turkey dated February 17 1981 and made a part of the Grant b reference

BtTDGET StMMARY

Line Item

Travel

Per Diem

Other Direct Costs

Less existing 211 (d) grant funds

Total Amount Obligated by this Amendment

Estimated Costs

$ 5888

5100

_ 2500 $13488

_ 3091

$lO39

Note Indirect costs or $395086 associated with these activities will be contributed by the University of Iowa

BEST AVAILABLE DOCUMENT

~RIGINAL

- CONTRACT IGRANTCOOPERA rIVE AGRElEMI~ SERC~SDSlP Actio) Monitor

SERCMSDSUP Action Office

I

INSTRUCTIONS AJDW - Complete 4 copit of tlh fonnmiddot Orisina iCMSDfSUP Sutistical Section COP)middot Copy 2 SERCMSDjSVP Administrative CoP Copy 3 Cont-acting Officers COP) Copy 4middot SOSUP Admin (Susptnse) Copy Missionsmiddot Complete 2 copies of the form or~aI SERCtSDSUP Statistical Section Copy and Copy = wiU~ retained in the Missions

0 PART IA

Effective Date of Document tJ

Delivery Order (Requirements)middot

o 4 Purcluse Order

bull If I 2 or 3 have an bull X compl~te M I 2 ON L Y

M04 - CONTRACTGRANT TYPE

o O MOA (BOA BMA etc)

o 1 Fixed Price (Specify FFP FPRD FPEP FPI) ___ _

o 2 COli Reimbursement (S~cifY CR CPFF CS CPAF CPIF) ______ _

o 3 Cooperative Agreement

o 4 Grantmiddot General Support

o S Grantmiddot Specifi Support

o 6 GraDt 21 led)middot

o 7 Do Not Use

o amp IQCs

o 9 Host Country ContractGrant

middotComplete ONLY through M 5 1

MOS SELECTION PROCEDURES

o A Formally advertised (IFB)(AJDPR 7middot24 amp

FPR 124)

o B Negotiated Prire Competition General

Procedure (RFP) (AIDPR 7456)

o Co A amp E (AlDPR 4 I 0)

o D Ed Ins andor Intl ReStalch (UDPR

7457)

o E Collaborative ASSistance (AIDPR 7458)

o F Predominant Capability (AIDPR

7-310l-50o)(3)

AID 142049 (1-79)middot Page J

o H Procurement Co be Performed b~ the Conshy

tra~tor in Person (AlDPR

7middot3t OI-SO(b)(Iraquo

o I Sole 5gturce (AIDPR 7middot3101middotSO(b)(4raquo

o J Impairment of Foreign Policy Objecdv~

(AIDPR 7middot310 ImiddotSO(b)(7raquo

o K 8(a) Selection (FPR 1middot1713-t)

o L Grant (Handbook J 3)

o M Do Not Vse

o N Cooperative Agreement (Handbook 13)

o O Small Business SetmiddotAside (FPR 11706-8)

o P Overseas Procuring Activities (AIDPR

7middot3101middotSO(b)(2raquo

M06middot TYPE SER VICE

o A TtJining of Participants

o B Technical Assistmce (Program Project

related exc~pt A amp E Services)

J C A amp E Services

0 D COltl~ruction

0 E Research

0 F Technical Services to AID (other than trainmiddot

ing usuaU Y operating ex pense)

0 G Training Service few AID

0 H Equipment Mat~rials Supplie~ Commodities

0 I Translation Service

07middot TYPE CONTRACTORGR TEE

Firmmiddot All profitmiddotmaking fu-r1s (other than

AampE)

o 9 amp E Firms

I Prcct NumbcT

I

Contactors D-U-N-S Numbcr

I) -S--f(j

o C Individual 0-lon-~rsora1 service)

o D Individual (Pet-sonal Service)

o E University lOt her EduCltionaJ Institutions

o F Non-Profit Organization Institutions (other

than Ed or PVO)

o G Private Voiuntary Organization (PVO)

o H International AgricultwaJ Research Organmiddot zation

o I Public International Organizadon~ (UN

Agencies ICRC ewld B3J1k etc)

(HB J 3 Chapter 5)

M08middot TYPE AWARD

o A SB SeImiddotAsidemiddot Awarded to Non-Minority

o B SB SetmiddotAside bull Awarded to Minority

o C SB Not SetmiddotAside - Awarded to Non-Minoril)i

o D SB Not SetmiddotAside - Awarded to Minority

o E ~a) SBA Awarded to Non-Minewity (Womeli

Owned Veterans etc)

o F 8(a) SBA w-rded 1o Minority

o G Personal Service Contractmiddot Non-Minority

o ~ Personal Service Contnct - Minority

o I Individual Non-Personal Sence Contractmiddot

NonmiddotMinority

o J Individual Non-Personal Service Contractmiddot

Minority

o K Not Small Business (Univ Non-Profit L1lge

Firms) --vn-Minority

o L Not Small BUSiness (Univ NonmiddotProfit Large

Firms) ~inoriy

o M VS Government

(Continued on Pcge 2i

t bull - t ~ J f q

ORIGINAL bull MODIFICATION OF GRANT

1 2 Effective Date

Araendllent Ro 4 12-2-80

s CRANTEE CHace and Addrels) Professor Ger1ard Lo~middot enbelg Comparative Legislative Research Deartment of Political Science The Lnivp-rsity of Iowa Iowa City Io~a 52240

7 PIO No NI A

Appropriation No 72-11XHl26

Center

Allotment Symbol -426-30-099-00-3~-71 Amount obligated by this urendment-O- I

3 Gnnt No

AIDcsd-3294

PAGE _____ 1 _of-L

AlI 4 Effective Date

8-11-71

~ Admlnlltered by -Office of Contract Management Central Operations Division OTR Branch Agency for International Development Washington DC 20523

8 Previous PIOITs -

931-11-995-136 930-11-995-136-73-3078103

9 The above numbered Grant is hereby modified as follows

Supplement to Grant

Change the duration period sentence to read

The Duration Period for this Grant shall be August 11 1971 through December 31 198]

1 Amount obligated prior to this amendment $465000 2 A~unt obligated by this amendment -0-3 Total obligated amount (1amp2) $465000

----------------_- - ------- ----_- ------ 10 Thh lImcndmcnt is entered inlo punuant to the authority of the Foreign

~ Assistance Act of 1961 86 amended Except a~ h~reln Z II provided all terms and condi tions nf the grant referenced in Block 3 remain ~~aunchlinged and In fu1l force and effNt cnltUI cJ)za 11 o 4 J bull

Et~ ai~a gtUoItshyc Z P=u

original and six Grantee t requi red to sign this document and return 1- eopies to 1Bufng

office

~ 12 GRANTEE TES OF AMERI CA

(Name typed or printed) bull

TJlle Director Comparative Legislative liecearell CeQtoQl

Date 12880

------------------------------------

ONAL DEVELOPMENT

By ----~--~~~~---------------------

prinled)

Grant Officer Title --------------------------------

J)oll( 12-2-80 -----------------------------

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