Some Reflections on Agricultural Innovation Systems Methodological

Framework

Kebebe Ergano, Alan Duncan and Alemayehu BelayNBDC Workshop on Baselining Changes in Planning, Implementation and Collective Action

Addis Ababa, Nov 8-11, 2010

Agricultural innovation Systems Approach Highlights

• Innovation is not about creating new technologies, but about putting ideas into use.

• Application of new/existing knowledge leads to innovation

• Innovation is no longer a new idea that comes from outside

• Research and development is no longer the exclusive domain of scientists

• A wider range of actors must be involved to find sustainable solutions to development problems

• Innovations takes place in a networks of links and alliances between different actors

• Institutional contexts condition the behaviour patterns of actors

• It is not enough to have strong actors: institutions, relationships and interactions matter!

• Innovation Systems Framework offers an inclusive analytical model to reveal the existence and nature of innovation process of significance

Agricultural innovation Systems Approach…

Implementing IS diagnostic studies

• Diagnostic study employs different methods in data collection and analysis

•Surveys •Key informant interviews•Focused group discussions, etc

Unit of analysis

• The national systems of innovation (NSI) focuses on the nation-state as the unit of political organization– The importance of policies– The role of governments in policy formulation

and implementation

• Other levels are possible and more relevant to the current exercise– Regional innovation systems (Cooke et al, 1997)– Sectoral innovation systems (Malerba, 2002)

Unit of analysis…

• Landscape level of analysis– Goal of R & D has become more complex

and emphasis on sustainable management of natural resources has increased

ASTI methodological framework

• A six step approach1. Historical background of the sector/issue2. Reviewing the policy environment3. Mapping the key actors4. Assessing competencies, habits and

practices5. Analyzing the performance of the key

functions6. Assessing/mapping the linkages7. Conclusions/recommendations

1. Reviewing the historical background of the sector

• Trends/shifts/evolution in NRM in a timeline– Have things remained largely the

same/increased/decreased?– What factors explain the observed trends?

•Policy?•Investments?•Climatic factors?•Other?

Reviewing the historical background…

•Methods to use– Mostly literature search; document reviews– Involves mainly desk research– Sources of information may include:

•Previous sector studies, including unpublished/grey literature

•Official govt statistics•Websites and databases etc•GIS maps (land use-land cover)

2. Reviewing the policy environment

• Policy: a “purposive course of action followed by an actor or set of actors”

• Key questions to consider:– What constitutes policy? (based on Young and

Quinn, 2002)

•Official state documents •Authoritative government action •Patterns of spending• Implementation processes •Activities on the ground•A reaction to real world needs/problems•A decision to do something or nothing

Reviewing the policy environment…

•Key questions to consider:– What am I looking for?

•Broadly, provisions that support or undermine/hinder innovation

•Such provisions could have any of the following effects:

– Create new actors/organizations– Set new institutions (rules, laws etc)– Change how actors interact– Expand/limit knowledge sharing/flows– Shift power balances/dynamics– Affect funding/investments/access to resources

Reviewing the policy environment…

•In terms of analysis:– Is there a link between the evolution of the

policy environment and changes in the landscape?

– Has there been a change in the “innovation enabling factors”?•Towards more/better participation? •Towards more interactions•Towards increased knowledge sharing•Towards increased investments in NRM?•Towards increased application of S&T?

3. Mapping of the key actors• Which actors do you include and why?

– Arnold and Bell (2001) and its modifications (CTA; IFPRI; World bank etc but,•Based on actors’ main activity/primary role•Categorization of actors•What have we learnt/experienced?

– Literature review/policy review will reveal some relevant actors

– Key informant interviews with sector practitioners are also helpful

– A pre-study consultative stakeholders meeting

Different actor categories (Arnold and Bell, 2001)

Market / Demand sector (standards, volume, price, quality)

Enterprise sector Produces and sells products ( mainly users of knowledge)

Diffusion sector

Intermediary organizations / knowledge transmitters

Research sector

Generates knowledge

Infrastructure (policy, legislation, resources)

4. Assessing the performance of key functions

• Identify the functions of the innovation systems that is the object/focus of your analysis

• Ask/check if:•Are the identified functions being performed? By whom?

•Are all the necessary actors present/missing?•Could the present/missing actors/functions be performed by other existing actors or new actors are needed?

– The results are presented in an actor – function matrix

– Reviewing the actor roles/mandates could provide some information

– Comment on how/how well the various functions are being performed

5. Assessing competencies, habits and practices

• Habits and practices refer:– to what actors routinely do– What is considered ‘normal’– How they would ‘naturally’ behave

• They determine how actors respond to change/innovation triggers

• They are shaped by the historical, political and cultural contexts

• They may explain the trends observed in the sector• These habits and practices may form the basis of

intervention– What are the actors habits/practices influencing

learning, linkages and investments?

Assessing competencies, habits and practices…

• Competencies refer to:– Talents, skills and experiences

•Embodied in employees•Embedded in technical systems

• Do the actors have appropriate competencies?• Are there mechanisms for building the necessary

competencies?• Are new competencies being built?

6. Assessing and mapping linkages

• Interactions are key to learning and innovation• It’s important to assess the presence of

linkages as well as their quality/strength• This is done through a survey, using structured

questionnaires • The findings of the survey reveal the “gaps”

between the actor roles/mandates/responsibilities and the actual occurrence on the ground

• They provide a “real” account of the status of the innovation system

• BUT data/statistics alone don’t tell much…

Assessing and mapping linkages…

• In the analysis, link the results of the survey to the other components of the methodological framework e.g.– How does the policy environment relate to/explain the

findings?– How do the existing actor competencies relate

to/explain the observed trends?– Is there a disconnect between what actors claim they

do (functions, roles, mandates) and what actually happens in the innovation system?

Assessing and mapping linkages…

– Can we explain the trends/survey results on the basis of actors’ known habits and practices?

– How have these known habits and practices been influenced by the policy and institutional framework? OR

– Have these habits and practices influenced the policy environment?

• What else can’t we explain?– These are key to advancing the framework

7. Conclusions and recommendations

• Relate findings to the key elements of the innovation system

–Actors/functions–Institutions/policies–Interactions/linkages–Learning/knowledge flows–Competencies, habits and practices

Thanks for your attention!