Presentation by Karen Nichterlein (FAO) at the APAARI High Level Policy Dialogue, 8 Dec 2015

1. Developing capacity for change to
enhance the potential of investments
into agricultural innovation
Karin Nichterlein
FAO Research & Extension Unit
Tropical Agriculture Platform (TAP) Secretariat

2. Investments into
agricultural innovation
Some background information

3. Need to increase investments
for agricultural innovation
One of the key messages of
the SOFA 2014 report:
Public investment in
agricultural R&D and extension
and advisory services should
be increased and refocused to
emphasize sustainable
intensification and closing yield
and labour productivity gaps.
Investments in agricultural research and development are
consistently low and are concentrated in high-income as well as in
a few large middle-income countries.

4. National R&D spending
Research
intensity ratio
in developing
countries
stagnating
Source: ASTI Database on R&D spending

5. National R&D spending
Research intensity
ratio in Asian
countries varies
considerably, in
Cambodia,
Vietnam, Nepal
and Bangladesh
below the median
ratio of the ASTI
database.
Source: ASTI Database on R&D spending

6. Recently, the share of
Official Development
Assistance allocated
to research and
extension decreased
or remained steady
rather than increased.
Aid flows volatile,
causing challenges for
planning and
implementation.
Source: Study by FAO on 2002 to 2012 OECD data on foreign assistance to research and extension
in agriculture, forestry and fishing.
Foreign assistance to research and
extension in agriculture, forestry and fishing.

7. Percentage
(%) of total
ODA
commitments
to research
by region,
average
values 2002-
2012.
Source: Study by FAO on 2002 to 2012 OECD data on foreign assistance to research and extension
in agriculture, forestry and fishing.
Foreign assistance to research and
extension in agriculture, forestry and fishing.

8. Capacity development (CD)
for agricultural
innovation systems (AIS)
The Tropical Agriculture Platform (TAP)

9. Capacity needs in the Tropics:
the G20 establishes TAP
 Low and lower-middle income countries, which are mainly located in the
tropics, often lack capacities in support of agricultural innovation;
 To address this gap, the G20 launched the Tropical Agriculture Platform;
 With more than 40 partners, TAP is a multilateral facilitation mechanism
to promote greater coherence and impact of CD for AIS;
 Based on regional needs assessments (CIAT, FARA, SEARCA), the
TAP Action Plan was developed;
 The TAP Action Plan is supported by the EU-funded Capacity
Development for Agricultural Innovation Systems (CDAIS) project;
A key element of the TAP Action Plan is the development of
►THE COMMON FRAMEWORK ON CD FOR AIS:

10. The Problems at stake
Capacity needs assessments carried out in 2013 under TAP (in Asia
by SEARCA) confirmed that interventions that aim to fill gaps in capacity in
agricultural innovation in tropical areas are confronted with a broad set of
problems:
Situation Major constraints Resulting problems
Planning phase Lack of planning tools
/ strategies & little
involvement of
stakeholders
Inadequate analysis of needs of
and demand by farmers, markets,
organizations & government
Current initiatives do
not match the capacity
development needs
Implementation High number of donor-
led initiatives
Small scale interventions with
narrow scope and mostly focus on
individual training
Current initiatives have
little impact on AIS
capacities, but high
transaction costs
Governance Lack of coordination
mechanism at national
/ international level
Weak governance of external
interventions, insufficient
alignment with other interventions
& national / international policies
Current initiatives are
poorly coordinated

11. The TAP Framework
Basic concepts

12. Agricultural Innovation
“Agricultural innovation is the process whereby
individuals or organizations bring existing or new
products, processes and forms of organization
into social and economic use to increase
effectiveness, competitiveness, resilience to
shocks or environmental sustainability, thereby
contributing to food and nutritional security,
economic development and sustainable natural
resource management.”

13. Agricultural Innovation System (AIS)
As agriculture
increasingly
involves complex
interactions
among
stakeholders at
multiple levels,
agricultural
innovation needs
a system
perspective.

14.  Partnership and Network Building
 Reflection and Joint Learning
 Co-Creation of Knowledge
 Facilitation/Brokerage
 Facilitative Leadership
 Documentation of Change Process
14
Key elements of AIS

15. Capacity and
Capacity Development
“Capacity is the ability of individuals, organisations or
society as a whole to set and implement development
objectives as well as to identify and meet development
challenges in a sustainable manner.”
“Capacity development is the process whereby
individuals, organisations and society as a whole
unleash, strengthen, create, adapt and maintain that
capacity over time.”
OECD/GAT, 2006

16. Dimensions of capacity development
The Framework recognizes 3 CD DIMENSIONS
(individuals, organizations, enabling environment)
The CD dimensions are
interdependent and must
be addressed together.
The Framework pays
special attention to the
enabling environment.

17. Functional capacities
The Common Framework identifies 4 + 1 capacities for AIS to
perform effectively. These apply to all three dimensions of CD..
The first 4 capacities are the core of an overarching capacity to
adapt and respond in order to realize the potential of innovation.

18. The TAP Framework
Operationalization

19. Dual pathway
The Common Framework proposes a dual pathway approach to
CD for AIS. This conceptual approach includes two aggregated
processes: at system level and at innovation niche level.
System level: the focus is on the
functionalities and performance of
the system as a whole.
Innovation niche level: CD takes
place around specific innovation
agendas, in which actors of all
types allocate time and resources
to achieve change.

20. Capacity Development Cycle
The CD cycle stimulates
learning and interactions
between the 3 CD
dimensions.
The Framework
proposes a CD CYCLE
in 5 STAGES for the
operationalization of
CD interventions in AIS.

21. The 5 Stages in Detail

22. Galvanizing Commitment
 Sensitize key actors to
promote agricultural
innovation through
participation, reflection
and joint learning;
 Perform a scoping study;
 Ensure common
understanding;
 Create ownership by
stakeholders;
 Secure high-level
support.

23. Stakeholders in Bangladesh discussing CD for AIS
6/7 December 2015

24. Visioning
 Further develop
common understanding
 Discuss coordinated
approach;
 Identify innovation
niches / candidate
niches;
 Inform learning and
adaptation in the
system.

26. Capacity Needs Assessment
 Determine levels of
functional and technical
capacities;
 Focus on key
organizations at
systems level and on
innovation niches;
 Use as a baseline for
M&E;
 Can be based on
interviews, literature
reviews, surveys, …

27. Capacity Development Strategy
 Decide on goals,
objectives, priorities;
 Consider implementation
options, e.g. training of
trainers, policy dialogue,
incentive mechanisms;
 Take account of existing
initiatives, commitment of
actors, availability of
funds;
 Formulate Action Plan to
outline roles of different
actors;

28. Implementation
 Provide for reflection
and learning within
organizations, within
niches and across
sectors;
 Strengthen the 4 + 1
capacities at systems
and at niche level.

29. The 5 Stages in Detail
 Facilitation
 Leadership
 Reflection
 Learning
 Documentation
 Monitoring and
Evaluation

30. Monitoring & evaluating performance
The Common Framework sets out an integrated M&E architecture
consisting of two elements that are interconnected through learning cycles.
Programme-Wide evaluates the
success of the Common Framework
approach in its entirety (its overall
performance as a new approach to
CD for AIS).
Country-Wide refers to M&E of
progress and results at each of the
five CD stages laid out within the
Common Framework.

31. Conclusions
 Consensus within the international community that
agricultural innovation is critically required for
increasing agricultural productivity and reducing
environmental pressures from agriculture;
 Support for agricultural innovation in least developed
countries often insufficient and lacking in quality.
 TAP, a major international undertaking, to provide
coherence and coordination to current and future
capacity development projects.
 Capacity for change needs to be strengthened and
simultaneously investments into agricultural innovation,
both at national and international level, need to be
increased, while volatility is reduced.

32. Thank you!