Studying Rural innovation management: A framework and early findings from RIU in South Asia

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2010 Discussion Paper 11
STUDYING RURAL INNOVATION MANAGEMENT: A FRAMEWORK
AND EARLY FINDINGS FROM RIU IN SOUTH ASIA
RASHEED SULAIMAN V., ANDY HALL, VAMSIDHAR REDDY, T.S. AND KUMUDA
DORAI
DECEMBER 2010
DISCUSSION PAPER SERIES

DISCUSSIONPAPER11:AFRAMEWORKANDEARLYFINDINGSFROMRIUINSOUTHASIA
ACKNOWLEDGMENT
This document is an output from the Research Into Use Programme (RIU) funded by
the UK’s Department for International Development (DFID) for the benefit of
developing countries. The views expressed are not necessarily those of DFID.
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ResearchIntoUseRASHEEDSULAIMANV,ANDYHALL,VAMSIDHARREDDY,T.S.ANDKUMUDADORAI2

DISCUSSIONPAPER11:AFRAMEWORKANDEARLYFINDINGSFROMRIUINSOUTHASIA
STUDYING RURAL INNOVATION MANAGEMENT: A FRAMEWORK
AND EARLY FINDINGS FROM RIU IN SOUTH ASIA
RasheedSulaimanV.1,AndyHall2VamsidharReddy,T.S.3andKumudaDorai4


Abstract
ThispaperaimstomaptheexperienceoftheRIUAsiaprojectsanddrawoutthemain
innovationmanagementtacticsbeingobservedwhilelayingthegroundworkforfurther
researchonthistopic.Itprovidesaframeworktohelpanalysethesortsofinnovation
managementtasksthatarebecomingimportant.Thisframeworkdistinguishesfour
elementsofinnovationmanagement:(i)Functions(ii)Actions(iii)Toolsand(iv)
OrganisationalFormat.Thepaper’sreviewofthedistributionofinnovationmanagementin
theAsiaprojectssuggeststhatitisnottechnologyaccess‐relatedtasksalonethatare
important,butthebundlingofthesewithotheractivities,whichincludethedevelopmentof
networks,advocacyforpolicychange,trainingandothernegotiatedchangesinpracticeand
action.Theimplicationforpolicyisthatwaysofsupportingthiswidersuiteofinnovation
managementtaskswouldgoalongwayinhelpingmakebetteruseofagriculturalresearch
inruraldevelopment.

Keywords:InnovationManagement,AgriculturalResearch,Innovation,Development,
Policy,ValueChainDevelopment,SouthAsia,InnovationTrajectory,Functions,Actions,
Tools,OrganisationalFormat


JELCodes:L26,L31,L33,N5,N55,O13,O19,O21,O22,O31,O32,O33,O53,Q13,Q16




RIUDISCUSSIONPAPERSERIES

1 HeadofAsiaResearch,RIUCRT,rasheed@innovationstudies.org
2 HeadoftheRIUCentralResearchTeam(CRT),andy.hall@innovationstudies.org
3 ResearchFellow,RIU,vamsidhar.reddy@innovationstudies.org
4 Researcher,LINK,kumuda.dorai@innovationstudies.org
ResearchIntoUseRASHEEDSULAIMANV,ANDYHALL,VAMSIDHARREDDY,T.S.ANDKUMUDADORAI3

DISCUSSIONPAPER11:AFRAMEWORKANDEARLYFINDINGSFROMRIUINSOUTHASIA
TABLE OF CONTENTS

LISTOFACRONYMS5

1.INTRODUCTION8

2.MULTI‐LEVELUNPREDICTABILITY:THECHALLENGESOF
INNOVATIONMANAGEMENT10

FIGURE1:THEEXPANDEDDOMAINOFINNOVATIONSERVICESINADYNAMIC,
GLOBALENVIRONMENT14

3.THERIUPROGRAMMEINASIAANDITSINNOVATIONMANAGEMENT
HYPOTHESIS18

FIGURE2:INNOVATIONTRAJECTORYFORAPPLICATIONOFDSP
THROUGHRIU19
FIGURE3:DIFFERENTSTAGESOFSTAKEHOLDERARCHITECTUREIN
PROMOTIONOFDSP24
TABLE1:HYPOTHESISANDPROCESSINSIGHTS(INNOVATIONMANAGEMENT
RESEARCHQUESTIONSASSOCIATEDWITHRIUPROJECTSINSOUTHASIA26

4.WHATDOESINNOVATIONMANAGEMENTREALLYINVOLVE? 30

TABLE2:INNOVATIONMANAGEMENTFEATURESINRIUSOUTHASIA
PROJECTS36

5.DISCUSSION:TOWARDSANUNDERSTANDINGOFHOWTOMANAGE
INNOVATIONINORDERTOPUTRESEARCHINTOUSEINSOUTHASIA42

FIGURE4:INNOVATIONMANAGEMENTTASKS45

REFERENCES47

APPENDIX1:THERIUSOUTHASIAPROJECTPORTFOLIO  49

ResearchIntoUseRASHEEDSULAIMANV,ANDYHALL,VAMSIDHARREDDY,T.S.ANDKUMUDADORAI4

DISCUSSIONPAPER11:AFRAMEWORKANDEARLYFINDINGSFROMRIUINSOUTHASIA
LIST OF ACRONYMS


ACMVD ‐Africancassavamosaicvirusdisease

ADB‐AsianDevelopmentBank

AFP‐AdivasiFisheriesProject

AIT‐AsianInstituteofTechnology

AKVAFORSK ‐InstituteofAquacultureResearchinNorway

BAIF‐BharatiyaAgroIndustriesFoundation

BARI‐BangladeshAgriculturalResearchInstitute

BELA‐BangladeshEnvironmentLawyersAssociation

BFRF‐BangladeshFisheriesResearchForum

BFRI‐BangladeshFisheriesResearchInstitute

CARE‐CooperativeAmericanReliefforEverywhere

CASRAD ‐CentreforAgrarianSystemsResearchandDevelopment,
Vietnam

CAZS‐CentreforAridZoneStudies,Bangor,UnitedKingdom

CBOs‐Community‐BasedOrganisations

CBSPs‐Community‐BasedSeedProducers

CFUGs‐CommunityForestUserGroups

CGIAR‐ConsultativeGrouponInternationalAgriculturalResearch

CIP‐CentroInternacionaldelaPapa(InternationalPotato
Centre)

COB‐ClientOrientatedBreeding

CPHP‐DFID’sCropPost‐HarvestProgramme

CPSL‐CentreforPromotingSustainableLivelihoods,India

ResearchIntoUseRASHEEDSULAIMANV,ANDYHALL,VAMSIDHARREDDY,T.S.ANDKUMUDADORAI5

DISCUSSIONPAPER11:AFRAMEWORKANDEARLYFINDINGSFROMRIUINSOUTHASIA
CRS‐CatholicReliefServices

CRT‐CentralResearchTeam,RIU

DAE‐Bangladesh’sDepartmentofAgriculturalExtension

DASP‐DecentralizationofSustainableAquacultureProject

DFID‐DepartmentforInternationalDevelopment,UK

DoF‐DepartmentofFisheries,Bangladesh

DSP‐DecentralisedSeedProduction

EBRM‐Ecologically‐BasedRodentManagement

FAO‐TheUnitedNationsFoodandAgricultureOrganization

FAVRI‐FruitandVegetablesResearchInstitute,Vietnam

FECOFUN ‐FederationofCommunityForestUsers,Nepal

FORWARD ‐ForumforRuralWelfareandAgriculturalReformfor
Development

GATE‐GlobalAgritechNepalPrivateLimited

GFRAS‐GlobalForumforRuralAdvisoryServices

GIFT‐GeneticallyImprovedFarmedTilapia

GVT‐GraminVikasTrust

GYA‐GYAssociatedLtd.

ICAR‐IndianCouncilforAgriculturalResearch

ICF‐InnovationChallengeFund

ICLARM ‐InternationalCenterforLivingAquaticResourcesManagement
(RenamedastheWorldFishCenter)

ICUC‐InternationalCentreforUnderutilisedCrops

IDE‐InternationalDevelopmentEnterprises

IPM‐IntegratedPestManagement
ResearchIntoUseRASHEEDSULAIMANV,ANDYHALL,VAMSIDHARREDDY,T.S.ANDKUMUDADORAI6

DISCUSSIONPAPER11:AFRAMEWORKANDEARLYFINDINGSFROMRIUINSOUTHASIA

LI‐BIRD‐LocalInitiativesforBiodiversityResearchand
Development

LINK‐LearningINnovationKnowledge

NEEFJ‐NepalForumofEnvironmentalJournalists

NEHHPA ‐NepalHerbsandHerbalProductsAssociation

NFEP‐NorthwestFisheriesExtensionProject,Bangladesh

NGOs‐Non‐GovernmentalOrganisations

NRM‐NaturalResourceManagement

ODA‐OverseasDevelopmentAdministration(RenamedDFID)

PCI‐ParticipatoryCropImprovement

PMCA‐ParticipatoryMarketChainApproach

ProSCAB ‐PromotingSustainableCoastalAquacultureinBangladesh

R&D‐ResearchandDevelopment

RAAKS‐RapidAppraisalofAgriculturalKnowledgeSystems

RDRS‐RangpurDinajpurRuralService

RIU‐ResearchIntoUse

RNRRS‐RenewableNaturalResourcesResearchStrategy

S&T‐ScienceandTechnology

SHGs‐Self‐HelpGroups

SWRM‐SocietyforWaterResourcesManagement

UK‐UnitedKingdom

UN‐UnitedNations

USA‐UnitedStatesofAmerica

ResearchIntoUseRASHEEDSULAIMANV,ANDYHALL,VAMSIDHARREDDY,T.S.ANDKUMUDADORAI7

DISCUSSIONPAPER11:AFRAMEWORKANDEARLYFINDINGSFROMRIUINSOUTHASIA

1. INTRODUCTION

TheResearchintoUseprogramme(RIU),supportedbytheUK’sDepartmentfor
InternationalDevelopment(DFID),isamajordepartureinagriculturalresearchand
developmentpractice.Perhapsforthefirsttime,amajorinternationalsponsorof
agriculturalresearchhasestablishedasubstantiallearning‐orientatedprogrammethat
specificallyseekstounderstandhowresearchcanbestbeusedforimpact.Conceptual,
empiricalandpolicydebatesonthistopicareveryclearonhowthisquestionshouldbe
framed:namely,thatitisanissueofunderstandinghowtheprocessofinnovationcanbest
bemanagedandhowresearchcanbestbeorganisedsothatitisintegratedintothe
innovationprocesstoachievesocialandeconomicaspirations(forareviewofthis
perspectiveseeHalletal.,2010).

Whilethequestionisclear,findingwaystoexplorethisquestionempiricallyandina
systematicwayarefarfromeasy.Waysoforganisingandmanaginginnovationareusually
shapedbythecontextsinwhichtheyemerge(whicharethemselvesconstantlychangingin
unpredictableways),sotheideaofintroducingexperimental“treatments”becomeshighly
problematic.Tomakethesamepointdifferently,waysoforganisinginnovationarenot
clinical,neatapplicationsofstandardapproaches.Insteadthesearethemessyprocesses
thatariseasaconsequenceofpath‐dependent,historically‐determinedsituationsthatplay
outovertime,wherethoseinvolvedhavemadethebestofwhattheworldhasthrownat
them—forbetterorworse.Thedefiningfeaturehereisthatoflocalstylesofmanaging
innovationinthefaceofanever‐changingcontext.Inpracticethismeansthattheapproach
deployedisconstantlychanginganddeveloping.Thesameapproachmaynotwork
anywhereelseanditmaynotbefit‐for‐purposewhenthenextsetofunpredictableevents
arises,butitisthestartingpoint.Thebestthatpolicycandoistolookforpromisinggeneric
tacticsandtosupportadaptivebehaviour(HallandClark,2010).

RIUhasstruggledwiththeseissueswhenestablishingitsexperimentsbecause,inmany
senses,theprogrammehasdefineditselfbytheapproachtoinnovationmanagementithas
ResearchIntoUseRASHEEDSULAIMANV,ANDYHALL,VAMSIDHARREDDY,T.S.ANDKUMUDADORAI8

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advocatedandpromotedinitsprojects:initiallyaninnovationsystems“approach”
(althoughitwasneverentirelyclearwhatsuchanapproachmightentail)andlateraprivate
enterprise‐ledapproach(alsosimilarlyfluidindefinition).Theseapproach‐caricaturesthen
becameafilterforselectingprojectsandmonitoringtheirperformance.Thispaper,
however,arguesthatifprogrammessuchasthisaretolearnhowtomanageinnovationfor
puttingresearchintouseforimpact,thekeyexperimentaldesignissueconcernscreating
theconditionsinwhichonecanobservedifferentcontextually‐relevantwaysofmanaging
innovationandthenlearninghowtheprincipalprotagonistsintheprocessadapttheir
strategiesinthefaceofunpredictedeventsandcircumstances.Throughamixtureofgood
luckandgooddesignRIUhasendedupwithaportfolioofprojectswhich,asthispaperwill
show,demonstratesenormousrichnessofinnovationmanagingexperience.Whatthen
supersedesthe“approach”/treatmentasthekeyanalyticaldevicefortheexperimentisthe
frameworkthatisusedtodrawlessons.

Thispaperdevelopssuchaframework,usesittomapsomeoftheexperiencesintheRIU
projectsinAsiaanddrawsoutthemaininnovationmanagementtacticsbeingobserved.
Theframeworkdistinguishesfourelementsofinnovationmanagement:(i)Functions(ii)
Actions(iii)Toolsand(iv)OrganisationalFormat.Thepaperbuildsuponandfurtherclarifies
theresearchdesignofRIUthatispresentedbyHalletal.(2010).Thatdesignmadeuseof
stylisedinnovationnarratives;thatistosaystylisedbroadapproachestoinnovation
(participation;public‐privatesectorpartners,etc.).Theframeworkpresentedinthispaper
seekstoexamineinmuchgreaterdetailtheinnovationmanagementtasksbeingusedand
thebundlingoftheseindifferentcontexts.Thishelpsmoveawayfromtheemphasison
stylisedgenericapproachesimpliedbytheinnovationnarratives,whichobscuretheeclectic
natureofinnovationmanagement.Thepaper,therefore,alsosetsthesceneforfurther
investigationusingthisframeworkofinnovationmanagementinRIUanditsroleinputting
researchintouse.

Thepaperbeginswithadiscussionofthenotionofadaptationasthisseemstobeacentral
driverofinnovationanditis,therefore,throughthislensthatthetaskofinnovation
managementneedstobeunderstood.
ResearchIntoUseRASHEEDSULAIMANV,ANDYHALL,VAMSIDHARREDDY,T.S.ANDKUMUDADORAI9

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2. MULTI-LEVEL UNPREDICTABLITY: THE CHALLENGES OF
INNOVATION MANAGEMENT
Thediscussionsonalternativeparadigmsofagriculturalresearchareasoldasits
deploymentfordevelopmentalpurposes.ReviewsofthesedebatescanbeseeninWorld
Bank,2006;Halletal.,2010andmanyotherplaces,sothesewillnotbepresentedhere.
Notableinthesedebatesistheprominenceofaninnovationsystemperspective.Theorigins
andinterpretationofthisperspectivehavebeendiscussedadnauseaminrecentyears.
Despitethesescholarlyeffortsitisstillnotentirelyclearwhethersuchextensivemusings
haveimpingedinanywayonthecommonnarrativeusedtoplanandevaluateagricultural
researchandinnovationefforts.Ratherthanattempttomakeyetmoreconceptual
contributionsonthistopicwewishtohighlightoneparticularelementofthesedebates,
whichseemstohaverelevancetoourexplorationofinnovationmanagementforputting
researchintouse.Thetopicisthenotionof‘adaptation’.

Inmanysensesagriculturaldevelopmenthasalwaysbeenanissueofadaptation.Inpart
thishasbeentheunderpinningoftheattemptstoupgradeagriculturalsystemsbyadapting
themwithnewtechnology,agronomicandanimalhusbandrypractices.However,
adaptationhasamuchlongerhistoryandmorefundamentalroleinagriculture.Paul
Richards(1989)sumsthisupverynicelywhenhetalksofagricultureasaperformance.By
thishemeansthatthetaskoffarmingisnotaroutineonethatisrepeatedyearafteryear,
butratheritisaone‐offannualshowwhereeachyearconditionsaredifferent(weather,
prices,familycrisisandfortunes,theWorldCup,war,cropandanimaldiseaseoutbreaks,
globalmarketandpoliticalconditions,etc.)andfarmershavetomuddlethroughandmake
thebestoutofit.

HallandClark(1995and2010)documentthismuddling‐throughprocesswithcasesfrom
AsiaandAfrica.Theydrawoncomplexsystemsthinkingtodescribetheevolutionary
dynamicoffarmingsystems.Intheir2010papertheydescribetheconsequencesofaplant
diseaseoutbreakinUgandaandpointoutthepath‐dependentsetofadaptationsthattook
placeincroppingpatterns,foodconsumptionpractices,economicactivitiesandsocial
ResearchIntoUseRASHEEDSULAIMANV,ANDYHALL,VAMSIDHARREDDY,T.S.ANDKUMUDADORAI10

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relations—eachofwhichoperatedasaninterlinkedsub‐system.Theanalysisidentifiesthe
farmeratthecentreofanevolutionarymechanismusedtocopewithchangeandgives
primacytothecapacitytorespondtochangingcircumstancesthroughadaptationand
innovation.

LikeRichardsbeforethem,HallandClark(2010)explainthathouseholdsandrural
entrepreneursmakethebestoftheseshocksthroughadaptation,buttheseadaptive
capacitieshavetheirlimits.Theselimitsrelatemainlytothedisconnectbetweenthese
farm‐leveladaptivecapacitiesandprocessesandthehugearrayoftechnological,financial,
entrepreneurialandpolicyresourcesthatarereadilyavailableinsocietyatlargeandwhich,
ifproperlychannelledandlinked,couldbuildapowerfulcollectivecapacityforadaptation,
innovationandchange.Alas,thisbroad‐basednotionofcapacitybuildingisrarely
understoodinpolicycircles.Thegreatestironyofallisthatthisnotionofcapacitybuildingis
thesinglemostimportantmessagethattheubiquitousinnovationsystemsconceptprovides
andwhichthesesamepolicy‐makersnowmakesomuchof.Yet,westillseenational
governmentanddevelopmentinvestorsplanningandimplementingruraldevelopment
programmes(whichhaveastrongcapacitybuildingagenda—socialorganisations,
microfinanceandmicro‐enterprisedevelopment)entirelyseparatelyfromagriculturaland
otherformsofresearchandlearning.Inotherwords,despitegrandinnovationsystems
rhetoric,science,technologyandinnovationarenotactuallyconsideredworthintegrating
withruralcapacitybuildingefforts.Asaresultresearchcontinuestochurnoutfindings
whilesponsorsofthisresearchremainpuzzledbyhowthiscanbeputintouse.

Thereareanumberofpointsworthamplifyinghere.Thefirstisaboutcomplexityandthe
natureofsystemsthatexhibitthischaracteristic.Again,thisisatopicofdebaterifewith
seductivetrapsforconceptualmusing.Butkeytoourdiscussionhereisthewaythe
interactionsofmanyelementsofasystemproduceunexpectedandunpredictable
outcomes;HallandClark(2010)explainhowacassavadiseaseoutbreakinUgandaledtoa
differentroleforwomeninagriculturalproduction.Keskinetal.(2008)explainhowthe
developmentofthetouristindustryinEastAfricaledtoasuccessfulmeatprocessing
industryinKenya.ShambuPrasad(2005)describesthewayasoilfertilitytreatment
ResearchIntoUseRASHEEDSULAIMANV,ANDYHALL,VAMSIDHARREDDY,T.S.ANDKUMUDADORAI11

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(spirulina)endedasafoodsupplement,promptedbytheneedsofearthquakerelief
programmes.

Ideasaboutcomplexityalsosuggestthatasthenumberofelementsinasystemincreases
thepaceandunpredictabilityofchangeincreasesaswell—andthisishappeningwhere
ruraleconomiesarebecomingmoreintertwinedwithnational,regionalandglobal
economicsystems(seeHall,2009).Inaworlddrivenbycomplexity,developmentsuccess
(beitinsocialoreconomicterms)isnotaresult,therefore,ofmasteryofaparticular
productiontechniqueorevenofknowledge‐basedcapacitiessuchasresearch.Rather,ina
worlddrivenbycomplexitysuccessisdeterminedbythecapacitytoadapt.Andbecausethis
involvesreworkingideas,resourcesandrelationsandlinks,adaptivecapacityissynonymous
withinnovationcapacityandthisisneedstobeviewedasacollectivemultidimensional
entity.Itincludesfarm‐levelprocessesanditincludespolicyandinstitutionalenvironments.
Itincludesskillsanditincludesnetworkslinkingthesetogether.Butthecriticaltake‐home
messageforourdiscussionisthatthiscapacitycannotbeconsideredintermsofits
componentparts.Capacityistheemergentpropertyofthesystemasawhole.

Thenextpointworthhighlightingisthatofpath‐dependency.Atitsverysimplestthismeans
thatthestartingconditionsofanyendeavourtendtoshapehowitproceeds.Thesame
appliestoinnovationandthenatureoftheconsequenttrajectorythatthisfollowsover
time.Bythesameargument,suchtrajectoriescannotreallybeunderstoodwithout
understandingtheirhistoricalemergence.TaketheCGIAR,forexample;whyisitlikeitisstill
(largely)acommodity‐focusedresearchinitiativeinpursuitoftechnologicalsilverbullets?
Agriculturalextensionisanothercaseinpoint;whyisitstillfocusedonanarrowinnovation
supporttasksuchastechnologytransfer?Theanswerliesintheirhistories.Thebroader
pointforourdiscussionhereisthatthisadaptivecapacitydiscussedaboveisalwaysgoing
tolookquitedifferentdependingonstartingconditions.So,insomeinstances,innovation
managementservices,suchasagriculturalextension,areprovidedbythepublicsector.But
incountrieswithadifferenthistoricaldevelopment,themarketorcivilsocietymaybethe
wayofprovidingsuchservices.Collectiveactionmayberoutineinsomecountries,but
almostimpossibletoorganiseinothers,sodifferentwaysofmanagingtheinnovation
processwillhavegrownupinthesedifferentsettings.
ResearchIntoUseRASHEEDSULAIMANV,ANDYHALL,VAMSIDHARREDDY,T.S.ANDKUMUDADORAI12

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
Thefinalpointworthamplifyingbringsusbacktotheroleofpolicyinanerademanding
adaptivecapacities.Whereasinthepastpolicywasseenasawayoforchestratingsocially‐
usefulinnovationtrajectoriesthroughprojectsandprogramme,HallandClark(2010)
suggestthattheroleofpolicywillbetoidentifyemergingnascentcapacitiesand
trajectoriesandsupportthem(seealsoHalletal.,2010).Thispresentssomeconsiderable
challengesforpublicpolicy.Forexample,whatmighttheroleofagriculturalextensionbein
thissortofsituation?FortheResearchIntoUseprogrammethisisactuallythekeyquestion
anditisatopiconwhichthereisnowconsiderabledebate.

Extension,asalreadyalludedtoabove,hasgotstuckasanagencyfortechnologytransfer
(RiveraandSulaiman,2009).Therecentinternationalclamouraroundtheestablishmentof
aGlobalForumforRuralAdvisoryServices(GFRAS)doesnotseemtohavebeen
accompaniedbyareconceptualisationofthismodeofinnovationsupportservices.Aswe
haveseentheadaptationtaskthatfarmersfacehasalwaysinvolvedmuchmorethan
technologicaladaptation.Asthecontextofagriculturebecomeevermoreintegratedwith
globalscalephenomena(climatechange,financial,tradeandregulatoryregimes,etc.)and
conditionsbecomeevermoreunpredictableanddynamic,adaptationassumesamuch
greaterimportanceandatascalethatincludesbutgoeswaybeyondfarm‐levelagronomic
practice.

LeeuwisandHall(2010)haverecentlyexploredwhatthecontemporaryadaptationagenda
mightmeanforinnovationsupportservices—thesearetheservicesneededtomanage
innovationwhenthisisunderstoodtotakeplaceinsystemsornetworksofdifferent
organisationsandchangingcontexts.Theyusetheexampleofclimatechangeasadriverof
adaptation,butarguethatthisisametaphorforarangeofopportunitiesandchallenges
beingfacedinthecontemporaryagriculturaldevelopmentscenario.Thecoreoftheir
argumentisthatinnovationisaprocessinvolvingarangeoftasks.Thesetaskstakeplacein
threedomains5:(i)TechnicalApplication(farming,agro‐processing,marketing)(ii)
OrganisationsInvolvedinSupportingApplication(research,finance,advisoryservices,input
5 Ugbe(2010)discussessimilardomainsinthecontextofimpactassessment.
ResearchIntoUseRASHEEDSULAIMANV,ANDYHALL,VAMSIDHARREDDY,T.S.ANDKUMUDADORAI13

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supply,marketplayersandcompanies)and(iii)ThePolicyDomain(legislation,regulation,
routinepractices).ThisisillustratedinFigure1below.

Figure1:TheExpandedDomainofInnovationServicesinaDynamic,GlobalEnvironment
TheInnovationSystemanditsContinuously‐EvolvingConfigurationsof
Organisations,InstitutionsandPolicy
Domain of traditional research and
extension services
Messages from
Agricultural Research Farmers
Agricultural
policies,
regulation
National knowledge
infrastructure
Other
policies and
regulation
Financial
services
Markets and
companies Civil society
Political
shocks
Sustainable
Economic and
Social
Development
driven by
Innovation
driven
DomainofInnovationSupportServicesfor
Adaptation
Climate
change
shocks
Market and
price shocks
Animal and
human
health
shocks
Energy
shocks
LeeuwisandHall(2010)


Giventheabove,researchanditsusecannowbeseenasbeingonepartoftheinnovation
managementtaskassociatedwithadaptation.However,thekeyinsightthatideassuchas
innovationsystemsthinkinghaveprovidedistorecognisethattasksinthesethreedomains
ResearchIntoUseRASHEEDSULAIMANV,ANDYHALL,VAMSIDHARREDDY,T.S.ANDKUMUDADORAI14

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havelittlemeaningontheirown(seetheargumentearlierinthissectionoverthenotionof
adaptivecapacityneedingtoincluderuralandnationalresources,etc.).Insteadadaptation
andinnovationareunderstoodtoinvolveacoherentsetoftasksandactionsacrossallthese
domains.Inotherwordsadaptationisaboutmanaginginnovationatthesemultiplelevels.
Partlythisconcernsbringingtogetherdifferentideasandresourcesfromdifferentsources;
italsoconcernsgettingusersofideastoinfluencethedevelopmentandadaptationofideas
andtechnology.Inpartitisalsoaboutensuringthatthepolicyandinstitutional
environmentallowsinnovationtotakeplace.This,inturn,mightmeanenablingnewforms
ofcoherentactionthatunleashinnovation(forexample,newtypesofpartnershipsand
alliances),oritmightinvolvepolicyandinstitutionalchangethatallownewproducts,
servicesandapproachestobeimplemented(forexample,community‐basedresource
management).

Intheoldwayofthinkingaboutagriculturalinnovation,innovationwasataskrelatedtothe
productionofideasbyresearch,andthesupplyofthesebyextensiontofarmersandthen
theirconsequentuse.Innovationmanagementinthisearlierframing,therefore,wasabout
makingsurefarmerswereawareaboutnewideas.Ascanbeseenabove,theideaof
innovationasaprocessdistributedthroughouteconomicsystemsanddefinedbyamore
broad‐basedcapacityforadaptationgreatlybroadensthescopeoftheinnovation
managementtaskandpointstotheimportanceofarolethatisnotdirectlyinvolvedwith
innovation,butwhichinvolvesconnectingupdifferentelementsandhelpingcoordinate
coherentaction(Hall,2005).Thesewidertasksarereferredtovariously:somecallit
boundarywork(Kristjansonetal.,2009);othersrefertoitasintermediation(Howells,2006;
KlerkxandLeeuwis,2008)and,morerecently,theterm‘innovationbrokers’hasbeenused
(KlerkxandLeeuwis,2009).

Thecurrentliteratureonthesetopicspointstogenericinnovationmanagementtasksthat
onewouldexpecttoseeinaresearch‐into‐use‐typeexperiment(thisclassificationdrawson
anumberofsources,includingKlerkxandLeeuwis,2009,buthasbeenelaboratedonand
reorganisedbytheauthors).


ResearchIntoUseRASHEEDSULAIMANV,ANDYHALL,VAMSIDHARREDDY,T.S.ANDKUMUDADORAI15

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Functions
• Networkdevelopment
• Organisationofproducersandconsumersintogroups
• Enhancingaccesstotechnology,expertise,markets,credit,inputs
• Advocacyforinstitutionalandpolicychange
• Technicalandfieldpracticesupportforpolicyformulationandpolicylearning
• Trainingonnewapproachesandwaysofworking
• Articulationofresearchandtechnologyneedsofusers
• Organisingforesightandvisionexercises
• Conflictresolution
• Reflectivelearning

Actions
• Brokering
• Convening
• Negotiating
• Facilitating
• Advocating
• Coaching
• Mediating
• Disseminating

Tools
• Innovationplatforms
• Researchanddevelopmentconsortia
• Policyworkinggroups
• Businessincubators
• Innovationchallengefunds

Organisationalformats
• Researchorganisations
ResearchIntoUseRASHEEDSULAIMANV,ANDYHALL,VAMSIDHARREDDY,T.S.ANDKUMUDADORAI16

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• Publicadvisoryservices
• Civilsocietyorganisations
• For‐profitandhybridcompanies
• Industry/producer/userassociationsandothersectorcoordinatingbodies
• Thinktanks
• Third‐partytechnologybrokers
• Venturecapitalfunds
• Informationportals/specialistmedia/e‐commerce

Itisimportanttostressthattheoldinnovationmanagementtasksofprovidingaccessto
technologyarenotsupersededbythesenewtasks.Rather,theseoldtasksonlyhave
usefulnessaspartofawidersetoftasksthatallowinnovationtotakeplace.Forthe
questionofhowtoputresearchintouseforinnovation,understandingwhatthesewider
setsoftasksareandunderstandinghowtheyshouldbeoperationalisedandbywhomin
differentinnovationtrajectorieswithdifferentstartingpointsbecomescritical.


ResearchIntoUseRASHEEDSULAIMANV,ANDYHALL,VAMSIDHARREDDY,T.S.ANDKUMUDADORAI17

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3. THE RIU PROGRAMME IN ASIA AND ITS INNOVATION
MANAGEMENT HYPOTHESIS

HistoricalDevelopment
CommissionedbyDFIDin2006,theResearchintoUse(RIU)programmehastwopurposes.
Firstly,itistogetthebestresearchresultsfrompastDFID‐supportedresearchinto
widespreaduseinAfricaandSouthAsia.Secondly,itistodrawlessonsontheprocessof
puttingresearchintouse;inotherwords,toteaseoutwhenandunderwhatcircumstances
andsettingsarangeofdifferentapproachesbecomemoreorlessusefulinmakingthebest
useofagriculturalresearchasapolicyinstrumentfordevelopment.

InSouthAsia,RIUselected13projectsthroughacompetitivegrantprocessaspartofits
InnovationChallengeFund(ICF)andtheprojectinterventionsstartedinJuly2008.These
weremodest‐scaleprojects(budgetsintherangeof£150‐500,000overthreeyears),
buildingonearlierresearchbymembersofprojectteams.Asoriginallyconceivedtherewas
noorganisingprinciplefortheselectionofprojectsorforlessonlearningfromtheprojects.
FollowingareviewoftheprojectsinJune2009,theprojectportfoliowasreducedto11.The
reviewscreenedtheprojectsonthebasisoftwocriteria:(i)Wastherepotentialfor
achievingimpactatscale?Andwastherepotentialforlearninglessonsaboutputting
researchintouse?Theprojectsdroppedwereeithertooresearch‐likewithlowpotentialfor
impactorbecausetheydeployedimplementationstrategiesthatshowedlittlepromisein
termsofinformingtheprogrammeabouthowresearchcouldbeusedforinnovation.

FollowingthisreviewandthesubsequentappointmentofaCentralResearchTeam(CRT),
whichincludedauthorsofthispaper,theremaining11projectswereclusteredforlesson
learningpurposesalongthefollowinglines:
• ParticipatoryCropImprovementInnovation
• InnovationinValueChains
• InnovationinNaturalResourceManagement
• Others
AbriefdescriptionoftheprojectsisprovidedforreferencepurposesinAppendix1.More
detailsonprojectscanbefoundinVamsidharReddyetal,2010,andat
ResearchIntoUseRASHEEDSULAIMANV,ANDYHALL,VAMSIDHARREDDY,T.S.ANDKUMUDADORAI18

DISCUSSIONPAPER11:AFRAMEWORKANDEARLYFINDINGSFROMRIUINSOUTHASIA
www.researchintouse.org.Asanexemplarweprovideadetailedhistoryofoneprojectso
thatreaderscangetasenseofthenatureoftheRIUprojectsand,particularly,thelocation
ofRIUactivitiesinthewiderhistoryoftheseinitiatives.

CaseStudyofanRIUAsiaProject:DecentralisedSeedProduction(DSP)inBangladesh
Thisprojectisfocusedonsettingupadecentralisedmicroenterprise‐basedsupplynetwork
tosupplyfingerlingsofanimprovedbreedoftilapia—theprojectreferstothisasfishseed
andtheapproachasdecentralisedseedproduction(DSP).TheprojectisledbyRangpur
DinajpurRuralService(RDRS),awell‐establishedandrespectedNGObasedinthenorthwest
ofBangladesh—anareaofheightenedruralpoverty,whereintegratedfishandrice
productionsystemsisakeylivelihoodstrategy.Theprojectbuildsonanextensivehistoryof
researchanddevelopmentactivitiesinBangladeshandinternationally.Thisinnovation
trajectoryisillustratedinFigure2below).

FIGURE2.INNOVATIONTRAJECTORYFORAPPLICATIONOFDSPTHROUGHRIU

Source:Reddy,VamsidharT.S.(2010)

ResearchIntoUseRASHEEDSULAIMANV,ANDYHALL,VAMSIDHARREDDY,T.S.ANDKUMUDADORAI19

DISCUSSIONPAPER11:AFRAMEWORKANDEARLYFINDINGSFROMRIUINSOUTHASIA
DevelopingtheDSPapproach
Severallargelyun‐connectedeffortsseemtohavecontributedtothedevelopmentofthe
DSPapproach.Onestreamofeffortswasfirstlaunchedin1991byaprojectcalled
NorthwestFisheriesExtensionProject(NFEP)6innorthwestBangladesh.Theresearch‐
orientedstaffofNFEPattempteddecentralisedcommoncarpseedproductionthroughthe
collectionandthentranslocationofspawndepositedbyannualfloodsonaquaticplantsin
householdpondsandditchestoricefields.Theencouragingresultsofthisinitiative
promptedtheIntegratedRiceFish(InterFish)Project7topromotefishcultivationinrice
fieldsaspartofIntegratedPestManagement—fishatethelarvaeofpest.Duringthis
period,effortswerelimitedtocommoncarp.This,however,changedwiththeintroduction
ofGIFT(GeneticallyImprovedFarmedTilapia).Thesehadoriginallybeendevelopedby
ICLARM(renamedasWorldFishCenter)incollaborationwithmanyresearchand
developmentagencies8.TheAsianDevelopmentBank(ADB)helpedtheBangladesh
FisheriesResearchInstitute(BFRI)tointroduceGIFTin1994aspartofaprojecton
“disseminationandevaluationofgenetically‐improvedtilapiainAsia”.Thisstrainoffered
distinctadvantagesforfarmers.In1999,NFEPintroducedthisimprovedstrainoftilapiaas
partofaresearchtrialwithfarmers.TheGo‐Interfishproject,implementedbyCAREduring
2000‐2005,furtherpromotedtheproductionofcommoncarpandtilapia(GIFT)inrice‐field
plots.

AnotherstreamofeffortsthatcontributedtothedevelopmentofDSPwastheresultofa
collaborationbetweentheAsianInstituteofTechnology(AIT),WorldFishCenter(aCGIAR
centre)andtheInstituteofAquacultureintheUniversityofStirling,UKFinancialsupportfor
theseinitiativeslargelycamefromtheUK’sOverseasDevelopmentAdministration(the
predecessortoDFID)throughitsRNRRSprogrammeandtheAsianDevelopmentBank.
ThesepartnersworkedwithnationalgovernmentdepartmentsandNGOstoadvance
6 TheNorthwestFishersExtensionProject(NFEP)wassupportedbyDFIDintwophasesduring1988‐2000.Theregional
focuswastheimpoverishedNorthwestregionofBangladesh.NFEPtrainedandusedmorethan1,000fishseedtradersand
morethan250secondaryschoolteachersasextensionagents.Theyestablishedmorethan200modelvillagesinwhich
morethan9,000farmersreceivedtraininginaquaculture.
7 TheInterFishProjectwasimplementedbytheCooperativeAmericanReliefforEverywhere(CARE)withfinancialsupport
fromDFID.
8 ResearcheffortsfordevelopingGIFTwereinitiatedin1988throughacollaborationbetweenICLARM,theInstituteof
AquacultureResearchofNorway(AKVAFORSK),andthreePhilippineinstitutions:theFreshwaterAquacultureCentreof
CentralLuzonStateUniversity,theMarineScienceInstituteoftheUniversityofthePhilippines,andtheBureauofFisheries
andAquaticResources.
ResearchIntoUseRASHEEDSULAIMANV,ANDYHALL,VAMSIDHARREDDY,T.S.ANDKUMUDADORAI20

DISCUSSIONPAPER11:AFRAMEWORKANDEARLYFINDINGSFROMRIUINSOUTHASIA
technicalaspectsofdevelopingappropriatehatcherysystemsforlow‐costfreshwaterfish.
Asaresult,technologiesfortilapia(inbothcommercialandsmall‐holdersituations),small
carpandsnakeskingourami9weredevelopedorrefined.Throughthe“Aquaculture
Outreachproject”(fundedbytheODAunderitsRNRRSprogramme)theinitiativepromoted
improvedavailabilityofqualityfishseedforfarmersandexploreddifferentapproachesto
suitdifferentconditions.Asaresultoftheseefforts,theimportanceandusefulnessofseed
productionbyfarmersorseedproductionwithgreaterinvolvementoffarmerswas
established.Subsequently,aresearchprojecton“improvingfreshwaterseedsupplyand
performanceinsmallholderaquaticsystemsinAsia”(fundedbyDFIDunderRNRRS—R‐
7052)clarifiedmanyearlierperceptionsandfurtheradvancedknowledgeaboutfreshwater
fishseedproductioninAsia.TheDSPapproach,therefore,evolvedbycumulating
knowledgefromthesedifferentresearchanddevelopmentefforts.

EmergingdemandforDSPtoaddressproblemsinfreshwateraquaculture
Freshwateraquacultureisveryimportantforthelivelihoodsofvillagersinnorthwest
Bangladesh.Goodqualityfish‐seediscriticalforthesuccessoffresh‐wateraquaculture.
Althoughtherearemanypublicandprivatesectorhatcheries,theseexistinclustersandare
distantlylocated.Poortransportfacilities(fishseedisusuallytransportedbyseedling
tradersor‘patheelwalas’inmetalpotstiedtobicycles)andlongerdistancesresultinhigher
mortalityandtransportationcosts.Monsoon‐dependentfarmingresultsinhigherdemand
andhighercostsoffish‐seedduringpeakseasons.Allthesefactorsactasseriousconstraints
forsmall‐holderfarmerswhenitcomestoaccessinggoodqualityfishseed.Toaddress
theseissues,decentralisedfish‐fingerlingproductioninricefieldsbyfarmerswassuggested
asanoption,afterestablishingitsfeasibilitythroughtheeffortsmentionedabove.

Severalattemptsweremadetopopularisethisdecentralisedapproachbyagenciessuchas
theDepartmentofFisheries(DoF),BangladeshFisheriesResearchInstitute(BFRI),WorldFish
andseveralNGOs.Theseincludedspecialprojects,suchastheDecentralizationof
SustainableAquacultureProject(DASP)10andtheAdivasiFisheriesProject(AFP)11,to
9 Atypeoffish(biologicalnameTrichopoduspectoralis)
10 ImplementedbytheWorldFishCentreincollaborationwithabout40NGOsthroughoutBangladeshduring2000‐2006.
ActivitiesfocusedoncreatingawarenessaboutandtrainingNGOstaffonDSP
ResearchIntoUseRASHEEDSULAIMANV,ANDYHALL,VAMSIDHARREDDY,T.S.ANDKUMUDADORAI21

DISCUSSIONPAPER11:AFRAMEWORKANDEARLYFINDINGSFROMRIUINSOUTHASIA
demonstrateitsusefulnesstofarmers:campaigningontheradioandtelevisionandthrough
theeffortsofNGOssuchasRDRS.Individualfarmerswhoparticipateddirectlyinthese
effortscontinuedtogrowfishseedintheirricefields.However,theapproachwasnottaken
upwidely.Themainreasonforthiswasthelackofanappropriatesupplychainandsupport
servicesmechanismtoensureregularsupplyofGIFTfingerlings,providenecessarytechnical
knowledgeandpurchasemultipliedfingerlings.(SeeFigure3lateroninthissection)

ApplicationofDSPthroughtheRIUinitiative
ItwasatthispointthatthesupportofRIUenteredthepicture.Toaddresstheconstraints
discussedabove,RDRSledaconsortiumofNGOsfromtheNorthwestregiontocollaborate
withpartnerswithspecificexpertise.TheseincludedIDEBangladesh(International
DevelopmentEnterprises)fortheirmarketdevelopmentexpertise,WorldFishCentreforits
technicalexpertiseandtheBangladeshDepartmentofFisheriesforitstechnicaladvisory
mandate.TheconsortiumbuiltthenecessaryorganisationalarchitecturetoapplyDSP.Rice‐
fieldfarmers,table‐fishfarmers,seasonalpondowners,andfingerlingtraderswereselected
andencouragedtobepartoftheinitiative.Rolestobeplayedbyeachofthemwere
specifiedandinteractionsamongthemfacilitatedbytheproject.Theyweresupportedwith
necessarytrainingandfinance.Afewselectedtablefishgrowers(pondowners)indifferent
regionswereencouragedtoplayrolesas‘satellitebroodrearers’(suppliersofGIFTbrood
fishtointerestedrice‐fieldfarmers).Anumberofeducatedandunemployedyouthfrom
localareaswereselectedandtrainedtoplaytheroleoffieldtechnicianstoprovide
motivationandtechnicalknowledge,andclarifyanydoubtsfarmersinterestedinDSPmay
havehad.WorldFishCentrerepresentativesandpersonnelfromtheDepartmentof
Fisherieshelpedthesefieldtechniciansthroughtechnicalbackstopping.IDE,whichhas
extensiveexpertiseindevelopingruralmarkets,designedandimplementedlocally‐specific
activitiestodevelopmarketsforfingerlingsandbuildrelationshipsamongdifferentactors
alongthefish‐seedsupplychain.TheDepartmentofFisheriespromotedandmanageda
“broodbank”toensureasustainablesupplyofbroodstocktosatellitebroodrearers.Some
individuals—selectedfromfingerlingtraders,rice‐fieldfarmersandtable‐fishgrowers—
werepromotedas‘localentrepreneurs’andwereprovidedwithnecessaryknowledgeand
11 WorldFishCentrepromotedDSPwithcommoncarp,GIFTandcarpinricefieldsinitsAdivasiFisheriesProjectin
northwest(Rangpur,DinajpurandJaypurhatDistricts)andnorthern(SherpurandNetrokonaDistricts)Bangladesh
ResearchIntoUseRASHEEDSULAIMANV,ANDYHALL,VAMSIDHARREDDY,T.S.ANDKUMUDADORAI22

DISCUSSIONPAPER11:AFRAMEWORKANDEARLYFINDINGSFROMRIUINSOUTHASIA
skillstopromotetheDSPconcept,benefitingthroughincreasedbusinesses.Manylocally‐
relevantideaswereimplementedwithregardstothecompositionoffishspeciestobe
cultivated,sizeoftheditchandbundsinthericefields,feedingpatterns,ensuredwater
supplyduringdryseasons,etc.Thetacitknowledgeofdifferentfunctionaries(includingfield
technicians,rice‐fieldfarmers,‘satellitebroodrearers’,fingerlingtraders,nurseryowners,
fisherydepartmentofficials,NGOstaff,etc.)wasutilisedfordevisingtheseapproaches.

WhatisimportanttonoteatthispointisthatRIUresourcesweremainlyusedbytheproject
tohelpbringinpartnerstoaninitiativethathad,inmanysensesandinmanydifferent
forms,beeninoperationformorethan10years.Themainfeatureofwhatthepartners
actuallyusedRIUresourcesforwastoimprovethescopeandqualityofrelationshipsand
attendantprocessesnecessaryforinnovation.Inthiscasetheinnovationwasamarketing
andinstitutionalinnovationthatallowedpoorfarmerstoaccessandbenefitfromimproved
fishbreeds.ItalsoimportanttorealisethatRIUprovidednorecipeforhowtheseprocesses
shouldbemanagedandthiswasprettymuchleftuptotheresourcefulnessofthepartners
involved.Acriticalelementofthiswastheidentificationofskillsetsrequiredtoaddress
emergingissues.So,forexample,theprojectstruggledinitiallyasRDRShadlittlemarketing
expertise.ThiswasresolvedbybringinginIDE,whichhasastrongtrackrecordofsettingup
marketingsystemsforthepoor.Thismeantthatpatternsofpartnershipevolved
considerablyastheinnovationtrajectoryofDSPunfolded(seeFigure3)

Partofthistaskofselectingandmanaginganevolvingconfigurationofpartnerswasto
createawin‐winsituationforallparticipatingagencies.Inthisscenario,ricefieldfarmers
benefitedfromadditionalincomewithminimaladjustmentstotheirriceplotsandlittle
additionalinvestments.Table‐fishpondfarmers,whoactedas‘satellitebroodrearers’,
benefitedfromadditionalincomebysellingbroodfishtorice‐fieldfarmers.Theypromoted
rice‐fieldfingerlingproductionastheycouldsellbroodfishtootherfarmers.Traders
benefitedfromaccessinggoodqualityfingerlinglocallyandatbetterprices.Thus,theywere
alsokeenonpromotingrice‐fieldfingerlingproduction.Theproject,therefore,showsgreat
potentialforsustainability,giventhepromotionofDSPbydifferentagenciestofurther
individualbusinessinterests.

ResearchIntoUseRASHEEDSULAIMANV,ANDYHALL,VAMSIDHARREDDY,T.S.ANDKUMUDADORAI23

DISCUSSIONPAPER11:AFRAMEWORKANDEARLYFINDINGSFROMRIUINSOUTHASIA
FIGURE3.DIFFERENTSTAGESOFSTAKEHOLDERARCHITECTUREINPROMOTIONOFDSP



Situation1:
Relevantactors
andtheir
relationships:
Startingconditions
Pond based
table-fish
producers
Nurserers
producing
fingerlings
Govt.
hatcheries
producing
spawn
Pvt.
hatcheries
producing
spawn
Input suppliers
(feed/
medicine, etc.)
Fingerling
traders
(Patheel
walas)
Netting
group
Whole-
sale
market
Retail
market
Export
market
DoF
RDRS
WFC
Problems:
-Long distance transport – higher
mortality
-Higher cost during peak season
-Non availability of quality seed in
required quantity and quality
-Less role for poor people
-Lesser production of table fish
-Inefficient service delivery
Pond based
table-fish
producers
Nurserers
producing
fingerlings
Govt.
hatcheries
producing
spawn
Pvt.
hatcheries
producing
spawn
Input suppliers
(feed/
medicine, etc.)
Fingerling
traders
(Patheel
walas)
Netting
group
Whole-
sale
market
Retail
market
Export
market
DoF
RDRS
WFC
Problems:
-Long distance transport – higher
mortality
-Higher cost during peak season
-Non availability of quality seed in
required quantity and quality
-Less role for poor people
-Lesser production of table fish
-Inefficient service delivery
Source:Reddy,VamsidharT.S.(2010)
Pond based
table-fish
producers
Nurserers
producing
fingerlings
Govt.
hatcheries
producing
spawn
Pvt.
hatcheries
producing
spawn
Input suppliers
(feed/
medicine, etc.)
Fingerling
traders
(Patheel
walas)
Netting
group
Whole-
sale
market
Retail
market
Export
market
Rice-field
fingerling
producers
DoF
RDRS
WFC
-Problems with continuous
supplies of brood inputs
-Less motivation for interested
farmers to adopt
-Only farmers with whom it
was introduced are practicing.
Pond based
table-fish
producers
Nurserers
producing
fingerlings
Govt.
hatcheries
producing
spawn
Pvt.
hatcheries
producing
spawn
Input suppliers
(feed/
medicine, etc.)
Fingerling
traders
(Patheel
walas)
Netting
group
Whole-
sale
market
Retail
market
Export
market
Rice-field
fingerling
producers
DoF
RDRS
WFC
-Problems with continuous
supplies of brood inputs
-Less motivation for interested
farmers to adopt
-Only farmers with whom it
was introduced are practicing.
Situation3:
Relevantactors
andtheir
relationships:DSP
introducedbyan
creating
appropriate
architectureof
stakeholders
Situation2:
Relevantactors
andtheir
relationships:DSP
introducedin
individualfarmers’
fields
Increased
business
Increased
business
-Better quality
seed and timely
availability
-Choice of
different species
-Additional income
-Fish for home
consumption
-Better paddy crop
-Additional
income
-More promotion
–more income
-Additional income
-Fish for home
consumption
Pond based
table-fish
producers
Nurserers
producing
fingerlings
Govt.
hatcheries
producing
spawn
Pvt.
hatcheries
producing
spawn
Input suppliers
(feed/
medicine, etc.)
Fingerling
traders
(Patheel
walas)
Netting
group
Whole-
sale
market
Retail
market
Export
market
Rice-field
fingerling
producers
S-pond
fingerling
producers
Pond
based
brood
fish
farmers
Lead entrepreneurs/
Pvt. Extn. agents
Brood
bank
DoF
RDRS
WFC
Increased
business
Increased
business
-Better quality
seed and timely
availability
-Choice of
different species
-Additional income
-Fish for home
consumption
-Better paddy crop
-Additional
income
-More promotion
–more income
-Additional income
-Fish for home
consumption
Pond based
table-fish
producers
Nurserers
producing
fingerlings
Govt.
hatcheries
producing
spawn
Pvt.
hatcheries
producing
spawn
Input suppliers
(feed/
medicine, etc.)
Fingerling
traders
(Patheel
walas)
Netting
group
Whole-
sale
market
Retail
market
Export
market
Rice-field
fingerling
producers
S-pond
fingerling
producers
Pond
based
brood
fish
farmers
Lead entrepreneurs/
Pvt. Extn. agents
Brood
bank
DoF
RDRS
WFC
ResearchIntoUseRASHEEDSULAIMANV,ANDYHALL,VAMSIDHARREDDY,T.S.ANDKUMUDADORAI24

DISCUSSIONPAPER11:AFRAMEWORKANDEARLYFINDINGSFROMRIUINSOUTHASIA
InnovationManagementHypothesesfortheRIUSouthAsiaProjects
ReviewingtheAsiaprojectproposalsrevealsthatthesewere,atbest,setupwitharather
simplistictheoryofchange.However,astheabovediscussionofoneoftheseprojects
indicates,theprojectshadimplicitworkinghypothesesthatshapedtheirorganisationand
modusoperandi,whichsuggeststhatamoresophisticatedtacittheoryofchangewasat
play.InexploringtheSouthAsiaprojectsitwouldseemusefultoretrospectivelyconstruct
thesehypotheses.Thishasbeendonebytheauthorsbasedonreviewsoforiginalproject
proposalsandthroughextendeddiscussionwiththeorganisationsimplementingthe
projects.Table1,whichispresentedlateroninthissub‐section,presentstheseimplicit
hypothesesandpredictswiderinsightsoninnovationmanagementthateachprojectcan
provide.

Threesortsofimplicithypothesesarepresented:
(i)TheRIUhypothesis
Atthetimeprojectswereconceivedthenarrativeoftheprogrammewasaboutputting
researchfindingsintowideruse.So,despiteprogrammerhetoricaboutsystemsof
innovation“approaches”,projectsfounditnecessarytopresentthemselvesashavinga
ratherarchaictechnologytransferlogic:forexample,producingmoreseedtoimprove
demandanduptake;institutionalinnovationsfromLatinAmericathatcouldbetransferred
toSouthAsia,etc.

(ii)Specificimplementationhypotheses
Theprojectsexplicitlypresentedarangeofnovelwaysthatthetechnologytransfer
hypothesiswouldbeoperationalised.Forexample,settingupseedcompanies,training
community‐basedgroups,linkingupnewvaluechains,etc.

(iii)Innovationmanagementhypotheses
Again,thesewereoftenunstatedhypothesesaboutthewayinnovationandtheuseof
researchwouldtakeplace.Theseare,perhaps,themostinterestingastheyrevealhow
projectsactuallywentaboutmanagingtheinnovationprocess.RIUstipulatedtheuseof
partnerships.However,asoursubsequentdescriptionandanalysisoftheprojectsreveal,
ResearchIntoUseRASHEEDSULAIMANV,ANDYHALL,VAMSIDHARREDDY,T.S.ANDKUMUDADORAI25

Re
DISCUSSIONPAPER11:AFRAMEWORKANDEARLYFINDINGSFROMRIUINSOUTHASIA
searchIntoUseRASHEEDSULAIMANV,ANDYHALL,VAMSIDHARREDDY,T.S.ANDKUMUDADORAI26
projectteams(eveninpre‐RIUactivities)hadbeendeployingquitesophisticatedinnovation
managementstrategiesthatincludebutgobeyondpartnership.Someofthisinvolved
brokeringandmaintainingpartnershipsandrelationships.Butthiswasnotjustin
operationalfielddomainsbutalsoinpolicyandinstitutionaldomains.Asweshallseesome
oftheprojectsclearlyknewmanyoftheseinnovationmanagementtasksfromearlier
experience,whileothershadtolearnthemalongtheway.

DISCUSSIONPAPER11:AFRAMEWORKANDEARLYFINDINGSFROMRIUINSOUTHASIA
TABLE1:HYPOTHESESANDPROCESSINSIGHTS(INNOVATIONMANAGEMENTRESEARCHQUESTIONSASSOCIATEDWITHRIUPROJECTSIN
SOUTHASIA)
ThemesandprojecttitlesRIUHypothesisImplementationHypothesisInnovationManagement
Hypothesis
Processinsight
Questions/Innovation
ManagementResearch
Questions
IParticipatoryCrop
ImprovementinAsia

ImprovingLivelihoodsin
SouthAsiathrough
SustainedAccesstoNew
TechnologiesinRainfed
Agriculture
[India,Bangladesh]
Increasingtheavailabilityof
seedswillincreasedemand
andtherebyenhance
furtherproductionanduse
ofqualityseeds
Subsidisedmassproduction
anddistributionofseeds
anditspromotionthrough
NGOsandCommunity‐
BasedSeedProducers
(CBSPs)
Originalresearchleaders
canconveneNGOpartners
toimplementscaling‐up
NewRiceandLegumeSeed
fromClient‐Oriented
Breeding(Nepal)
Increasingtheavailabilityof
seedswillincreasedemand
andtherebyenhance
furtherproductionanduse
ofqualityseeds
Subsidisedmassproduction
anddistributionofseeds
anditspromotionthrough
NGOsandCBSPs

Establishingseed
companiesunderNGOscan
supplyappropriateseedsto
poorpeople
Originalresearchleaders
cansupportNGOpartners
inscalingup
PovertyReductionthrough
CropIntensificationintoRice
Fallows(Nepal)
Increasingtheavailabilityof
seedswillincreasedemand
andtherebyenhance
furtherproductionanduse
ofqualityseeds
Subsidisedmassproduction
anddistributionofseeds
anditspromotionthrough
NGOsandCBSPs

Establishingseed
companiesunderNGOscan
supplyappropriateseedsto
poorpeople
Originalresearchleaders
cansupportNGOpartners
inscalingup



Howarepartnerships
characterisedandthe
roleofkeyplayers
defined?

Whatarethe
mechanismsfor
managingtheuseofplant
breedingexpertisein
seedproduction?

Howareregulatoryand
policyissuesdealtwith?

Howdodifferent
organisationalformats
evolveindifferent
contextstodealwith
commercialproductionof
seeds?(Producer
companiesandNGO‐
sponsoredseed
companies)
IIValueChainInnovation
LinkingFarmerswith
MarketsforRuralProsperity
(Nepal,Vietnam,Cambodia)
Aninstitutionalinnovation
fromLatinAmericacanbe
adoptedandwidelyapplied
Linkingtheexistingactorsin
thevaluechain
Useprevioustrackrecordof
brokeringmarketsystem
developmenttodevelop

Howarepartnerships
characterisedandthe
roleofkeyplayers
ResearchIntoUseRASHEEDSULAIMANV,ANDYHALL,VAMSIDHARREDDY,T.S.ANDKUMUDADORAI27

DISCUSSIONPAPER11:AFRAMEWORKANDEARLYFINDINGSFROMRIUINSOUTHASIA
inNepalrelationshipsamongactors
inthevaluechain
CoalitiontoDiversifyIncome
throughUnder‐Utilised
Crops(India,Vietnam)
Pilotingcommunity‐based
production,processingand
marketingarrangements
willleadtopromotionand
uptakeofunder‐utilised
crops
Organisecropfairsand
establishgermplasm
orchardsandfood
processingparksatthe
communitylevelto
establishnewvaluechains
Internationalresearch
leaderscancoordinatethe
implementationofthis
activitythroughNGOsin
Indiaandthenational
researchsysteminVietnam
DevelopingFishSeedValue
ChaininBangladesh
Promotionofthe
decentralisedfishseed
productionapproachwill
increaseavailabilityof
qualityfishseed
Linkingactorsinthenew
valuechain
Acoalitionthatcombines
technicalexpertisewith
NGOsandmarketsystem
brokerscancreateanew
andsustainablevaluechain
defined?

Howdoestherelative
successofapproaches
thatestablishnewvalue
chaincomparewiththe
valueofstrengthening
existingones?

Whatarethe)
mechanismsfor
managingresearch
expertiseinvaluechain
development?

Howarewiderregime
changesininstitutions
andpoliciesdealtwith?
IIINaturalResource
ManagementCluster

IntegratedFloodplain
Management(Bangladesh)


TrainingmoreCommunity‐
Based‐Organisations(CBOs)
intheIntegratedFloodplain
Managementapproach
wouldleadtoitsscalingup
TrainingCBOsandbroker
theirlinkswithtechnical,
legalandpolicyexpertise
Researcherscanorganisea
coalitionwithlocalNGOs—
handlingimplementation
brokering—andalegal
supportpartner—handling
policybrokering

ReducingPovertythrough
InnovationSystemsin
Forestry‐ForestAction
Improvedgovernancein
communityforest
managementcanbe
achievedbytrainingmore
groups
TrainingCommunityForest
UserGroups(CFUGsfor
locallevelinstitutional
developmentandusingthis
evidencetoinfluencemacro
policy
SpecialNGOscanactas
brokersbetween
communitiesand
government

Howarepartnerships
characterisedandthe
roleofkeyplayers
defined?

Howdoesoneaddress
changesintechno‐
institutionalregimes?

Whatbrokerage
mechanismsareusedat
field,organisational
(includingresearch)and
policylevels?Whatisthe
nature(what)and
operation(how)ofmicro
andmacropolicy
ResearchIntoUseRASHEEDSULAIMANV,ANDYHALL,VAMSIDHARREDDY,T.S.ANDKUMUDADORAI28

Re
DISCUSSIONPAPER11:AFRAMEWORKANDEARLYFINDINGSFROMRIUINSOUTHASIA
searchIntoUseRASHEEDSULAIMANV,ANDYHALL,VAMSIDHARREDDY,T.S.ANDKUMUDADORAI29
brokering?

Roleofpolicybrokeringin
allowingresearchtobe
appliedathecommunity
level
IVOthers
RojiRoti:Promoting
SustainableLivelihood
Development(India)
Accesstocreditallowspoor
womentoaccess
productioninputsand
technology
Institutionaldevelopment
atcommunityleveland
brokeringlinkagesto
financialservicesandinputs
agencieswillcreatea
demandpullfordrawing
newtechnicalknowledge
Acombinationof
institutionaldevelopment
andbrokeringtoinputsand
serviceswillleadtothe
settingupofasustainable
hybridcompanythatdeals
withnon‐bankingfinancial
servicesandinputs
Howarepartnerships
characterisedandthe
roleofkeyplayers
defined?

Whatistheeffectiveness
ofabusinessmodelthat
combinesfinancialand
technicalbrokering?
RatManagementforRural
Communities(Bangladesh)
Increasingthesupplyofrat
trapswillreducerat
population,ifcommunities
aretrainedincommunity‐
basedratmanagement
LocalNGOscantrain
communitiesand
companiescanmanufacture
rattraps
Technologytransferand
trainingadequatefor
widespreadadoptionofthe
technology

PromotingSustainable
CoastalAquaculturein
Bangladesh(ProSCAB)
Trainingfishing
communitiesinnew
technologiesleadstowide
scaleuse
Trainingandestablishing
enterprisegroupsbyNGOs
willconnectfishing
communitiestomarkets
andfacilitatetechnology
adoption
Researcherscanbrokera
coalitionthatwillleadto
localenterprise
developmentanduseof
researchfindings
Howarepartnerships
characterisedandthe
roleofkeyplayers
defined?

Whatisthenatureand
operationofthesector
co‐ordinatingbody?

DISCUSSIONPAPER11:AFRAMEWORKANDEARLYFINDINGSFROMRIUINSOUTHASIA
4. WHAT DOES INNOVATION MANAGEMENT REALLY INVOLVE?

Ourearlierdiscussionpredictedalargerangeofinnovationmanagementfunctions,actions,
toolsandorganisationalformats.WhiletheRIUprojectportfolioinAsiahasnot
demonstratedalloftheseitstillillustratesadiversityoftasksinvolvinginnovation
managementtoputresearchintouse(ThesearesummarisedinTable2lateroninthis
section).Itisalsonotablethatprojectsdonotjustdeployonefunctionoroneactionbut
clusterthese.Thefollowingpointsseemtobeimportant:

Functions
(i)Networkingandpartnershipbuilding
Withoutexceptionprojectshaveperformedthisfunction,buttherehavebeenanumberof
differentvariants.Mostprojectshavebuiltpartnershipstoimplementtheprojectandhave
oftennamedthesepartnersinprojectdocumentation.Theseprojectpartnersaredistinct
fromthoseinoperationalpartnerships—thatistosaypartnerships/networksthatthe
projectsoughttobuildtomanagetheinnovationprocess.Forexample,theprojectsdealing
withvaluechaindevelopmenthadtobrokerrelationshipsamongavarietyofmarketagents,
inputdealersandproducers.Theprojectsdealingwithpromotingseedsdevelopedthrough
ParticipatoryCropImprovementhadtonetworkwithseedgrowers,localagro‐vets(agro‐
inputsellers),millersandradiostations.

(ii)Settingup/Strengtheningusergroups
Settingupusergroupsandbuildingtheircapacityisanothercommonfunctionundertaken
byalltheseprojects.Community‐basedseedproducer(CBSPs)groupsinParticipatoryCrop
Improvement;community‐basedorganisations(CBOs)andcommunityforestusergroups
(CFUGs)inNaturalResourceManagement;self‐helpgroupsformicro‐finance,occupational
groupsundertheProSCABprojectoncommercialproductionofmarineproductsin
Bangladesh,etc.,areallsuchexamples,wheretheprojectseitherhadtoformorworkwith
existingusergroupstomanageinnovation.


ResearchIntoUseRASHEEDSULAIMANV,ANDYHALL,VAMSIDHARREDDY,T.S.ANDKUMUDADORAI30

DISCUSSIONPAPER11:AFRAMEWORKANDEARLYFINDINGSFROMRIUINSOUTHASIA
(iii)Training
Trainingusergroupsandotheractorsinthewiderimplementationnetworkisanother
importantfunctiontheseprojectshavehadtoundertake.Topicscoveredincludedquality
seedproduction,broodfishmanagement,fingerlingproduction,rodentmanagement,
democraticgovernanceofforests,enterprisedevelopment,businessskills,accountkeeping,
etc.Inotherwordsitwasbothtechnicaltrainingassociatedwithaparticulartechnology‐
basedinnovationaswellastraininginwideraspectsoforganisationalandinstitutional
development.

(iv)Advocacyforinstitutionalandpolicychange
Aspolicyplaysanimportantroleinthewideruptakeofknowledge,alltheprojectsareeither
collaboratingwithpolicy‐relevantpartnersorarelookingforopportunitiestoengagewith
policyactorsatthenationallevel.WhilepromotingParticipatoryCropImprovement,the
projectsinNepalhadtoengagewiththeNepalAgriculturalResearchCouncilandtheNational
SeedBoardtobringaboutchangesinpoliciesrelatedtovarietalreleaseandseedlaws.This
wasessentialinordertogettheNGOsofficialrecognitionfortheirroleinplantbreedingand
releaseofvarietiesaswellastheirpromotionofgoodpractices,includingthepromotionof
community‐basedseedproducersingovernmentseedself‐sufficiencyprogrammes.

TheIntegratedFloodplainManagementprojectinBangladeshhadtoengagewithpolicies
relatedtoleaseofwaterbodiesandneededsupporttodealwithlegalchallenges.Theproject
isworkingcloselywiththeSocietyforWaterResourcesManagement(SWRM)—afederation
ofwatermanagementcommunity‐basedorganisations—toinfluencepolicies.Community‐
basedforestryenterprisescansucceedinNepalonlyiftheforestrydepartment’sexcessive
bureaucraticcontrolscouldberelaxed;thus,theFederationofCommunityForestUsers,
Nepal(FECOFUN)isanimportantpartnerinthecommunityforestryprojectinthatcountry.
BothNepal’sForestActionandtheBangladeshEnvironmentLawyersAssociation(BELA)have
extensiveexperienceinworkingforpolicychangeandarepartofseveralpolicy‐level
consultations.



ResearchIntoUseRASHEEDSULAIMANV,ANDYHALL,VAMSIDHARREDDY,T.S.ANDKUMUDADORAI31

DISCUSSIONPAPER11:AFRAMEWORKANDEARLYFINDINGSFROMRIUINSOUTHASIA
(v)Enhanceaccesstotechnology,expertise,markets,creditsandinputs
Ruralcommunitiesneedaccesstoawidersetofsupportandotherservicestoapplythe
newknowledgebeingpromoted.Projects,therefore,hadtoenhanceaccesstotechnology,
expertise,markets,creditandinputs.Forinstance,theRojiRotimicrofinanceprojectbegan
itsactivitiesbyformingself‐helpgroupsbeforelendingtothem,andthenlinkingthe
communitiestosourcesofinputs,technology,sourcesoflargercreditandtechnicaltraining
oncropproductionandsmallenterprisedevelopment.ThePro‐SCABprojectonpromoting
aquaculturetechnologiessetuptwocrabhatcheriestosupportenterprisegroupsoncrab
fatteningenterprisespromotedundertheproject.Italsohadtolinkthegroupstomarket
agents(retailersandexporters)inthefishvaluechain.Theprojectonpromotingcommunity
valueadditioninitiativesinunder‐utilisedcropshadtosearchforsmall‐scaletechnologies
forprocessingmilletinIndiatosupportthecommunitiesitwasworkingwith.

(vi)Reflectivelearning
Reflectivelearningisanimportantfunctioninmostoftheprojectsandthisisevidentfromthe
widerangeofconsultation‐basedactivitiesundertaken.Theseincludereviews,reflections,
experiencesharingworkshops,negotiationsamongdifferentgroups,studyvisits,settingup
resourcecentres,etc.Thisismoreevidentinthenaturalresourcemanagementcases,where
workshopstoreflectonpastprogressanddecideonfuturecourseofactionareheldregularly.

Actions
Awiderangeofactionshadtobetakentomanageinnovationandthisismoreorless
commonacrossallprojects.

(i)Convening
Asinnovationmanagementrequiresperformingseveralfunctionsandcoordinatingawide
rangeofpartners,conveningmeetings,platforms,consultations,anddiscussionsamongthe
implementationandoperationalteamsisanessentialactionthatneedstobeundertakenby
projectteams.Whiletheleadpartnerhasbeendoingthisactivityattheimplementation
level,otherpartnershavebeenperformingthisactivityatthefieldlevelwithother
implementationpartners.Whoperformsthisactionisessentiallydecidedbasedonthe
natureaswellaslocationofthetaskathand.Forinstance,inthevaluechainprojectin
ResearchIntoUseRASHEEDSULAIMANV,ANDYHALL,VAMSIDHARREDDY,T.S.ANDKUMUDADORAI32

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Nepal,whiletheleadpartnerIDEconvenedprojectmeetingsandinterfacedwithpolicy(the
DepartmentofAgriculture,theNationalAgriculturalResearchCouncil,donors,etc.)the
MarketingandPlanningCommitteeconvenedotherkindsoftrainingandlinkingactivitiesat
thecommunity‐managedcollectioncentre‐level.

(ii)Brokering
Innovationmanagementessentiallydependsoncreatingmany‐to‐manyrelationships
amongthewiderangeofactors.Thisaction,whichinvolvesdeveloping,maintainingand
strengtheningtheserelationships,isincreasinglyconsideredanimportantfeatureof
innovationmanagement.ThebrokeringintheRIUprojectswasfoundtobeimplementedby
differentorganisationsatdifferentlevels,dependingontasksathandandexpertise.Some
organisationsinvolvedhavealonghistoryofbrokering.Forinstance,IDEisconsideredan
importantmarketdevelopmentbrokerandunderRIUinNepalandBangladeshithasbeen
brokeringrelationshipsamongtheactorsinthehorticultureandfreshwaterfisheriesvalue
chainrespectively.ForestActioninNepalisapolicybrokerandawell‐recognisedthinktank
onforestpolicymanagementandundertheRIUprojectithasbeenbrokeringrelationships
withthefederationofcommunityforestusergroupsandthestateforestdepartment.

(iii)Facilitating
Thisisamoreoperationaltask,wheretheleadpartnerneedstoensuredifferentsetsof
activitiestakeplace.Forinstance,thenetworkofNGOsassociatedwiththeIntegrated
FloodplainManagementprojectinBangladeshfacilitatesdiscussionsofcommunity‐based
organisationmembersaroundtheissueofParticipatoryActionPlanDevelopment.The
CentreforPromotingSustainableLivelihoods(CPSL),thespecialistmicro‐financeNGOinthe
stateofBiharinIndia,facilitatespoorwomentolinkwithsourcesoftechnicalexpertise
relatedtoagricultureandsmallhousehold‐levelenterprisedevelopment.Similarly,Forward
andLi‐bird,thetwoNGOsinNepal,facilitatethecommunity‐basedseedproducersto
accesspublicfundingfromgovernmentsourcestostrengtheninfrastructure.

(iv)Coaching
Thisactioniscloselyrelatedtobuildingcapacitiesofusergroupsandotherpartner
organisationsthrough‘hand‐holding’sothattheycanbetterarticulatetheirneeds,
ResearchIntoUseRASHEEDSULAIMANV,ANDYHALL,VAMSIDHARREDDY,T.S.ANDKUMUDADORAI33

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perceptionsandviewstoothers.Thisinvolvessometraining,butissomethingmorethan
that.Forinstance,inthecommunityforestmanagementprojectinNepal,formationof
hamlet‐levelcommitteesandthematiccommitteeshavehelpedruralcommunitiesto
understandclearlytherolesandfunctionsofcommunityforestusergroupsandhowto
managethem.Similarly,ForwardandLi‐birdhavebeencoachingcommunity‐basedseed
producers(CBSPs)onimprovingtheirbusinessskills.Itisthiskindofcoachingthathas
allowedtheCBSPstopartnerwiththenewseedcompaniesbeingputinplacebythe
project.Thevaluechainprojectonpromotingdecentralisedfishseedproductionin
Bangladeshiscoachingactorsinthevaluechainonmanagingproduceinawaythatwill
allowthemtosustainandexpandthisenterprise.

(v)Advocating
Advocatingforchangesinpoliciesandinstitutionsisacriticalactivityforsuccessful
innovationmanagement.Invitingpolicy‐relevantstafffromgovernmentagenciesinproject
deliberationsheldatdistrictandnationallevelsisacommonly‐usedactivityacrossvarious
projects.OrganisationssuchasBELAandForestActionaremembersofcommitteesand
policyworkinggroupsformedbythegovernmentsinBangladeshandNepal,respectively.
ThisallowsthemtopresentevidencefromRIUprojectstoadvocateforrelevantchangesin
policy.Anotherstrategyemployedistoworkwithfederationsofusergroups,whichare
relativelymorepowerfulinademocraticset‐up.PartneringwithFECOFUN(theFederation
ofCommunityForestUserGroups)andSWRM(afederationofCommunity‐Based
Organisations)allowstheNaturalResourceManagementprojectsunderRIUtoadvocate
better.

(vi)InformationDissemination
Althoughthisisatraditionalactivity,ithasanimportantroleininnovationmanagement.
Whatisinterestinghereisthepowerofthisactivitywhenperformedinrelationtotheother
setsofactivitiesmentionedabove.TheParticipatoryCropImprovementprojectsinNepal
usedFMradios,whichareverypopularinruralNepal,todisseminateinformationonthe
availabilityandsignificanceofseedsproducedbythecommunity‐basedseedorganisations.
TheratmanagementprojectinBangladeshhasbeenpromotingimprovedratmanagement
practicesonnationaltelevision.ThecommunityforestmanagementprojectinNepalhas
ResearchIntoUseRASHEEDSULAIMANV,ANDYHALL,VAMSIDHARREDDY,T.S.ANDKUMUDADORAI34

Re
DISCUSSIONPAPER11:AFRAMEWORKANDEARLYFINDINGSFROMRIUINSOUTHASIA
searchIntoUseRASHEEDSULAIMANV,ANDYHALL,VAMSIDHARREDDY,T.S.ANDKUMUDADORAI35
investedresourcesincommunityradiostationsinNepaltosensitiselistenerstonewways
ofgoverningcommunity‐managedforests.

(vii)Negotiating
Thisactivityinvolvestheprocessofreachingasatisfactorycompromiseoragreement
betweenindividualsorgroups.Forinstance,conflictsbetweenfarmersandfishermenover
dryseasonwaterareacommonfeatureinthefloodplainsofBangladesh.Throughaseries
ofworkshopstheprojectonIntegratedFloodplainManagementreachedaconsensus
betweentwoparties,ultimatelyusingtechnologicalandinstitutionaloptionstomaximise
floodplainproductivity.Hamlet‐levelandthematiccommitteesformedbyNepal’s
communityforestmanagementprojectnegotiateoverrightsofmarginalisedandpoor
peopleatforestusergroupmeetings.

(viii)Mediating
Thisisaformofconflictresolutioninwhichthemediatortriestoimprovedialoguebetween
disputantstohelppartiesreachanagreement.Forinstance,inthefloodplainmanagement
projectinBangladeshcommunity‐basedorganisationsareoftenatoddswithruralelites
overissuesofleasingandusingwaterbodies.TheBangladeshEnvironmentLawyers
Association(BELA)advisesandsupportsCBOsbutalsomediatesbetweentheCBOsandthe
ruralelitestowardreachingsomesortofresolutionoutsidethecourts.

DISCUSSIONPAPER11:AFRAMEWORKANDEARLYFINDINGSFROMRIUINSOUTHASIA

Table2:InnovationManagementFeaturesinRIUSouthAsiaProjects
Themesandproject
titles
InnovationManagementFeatures
 FunctionsActionsToolsOrganisationalFocus
IParticipatoryCrop
Improvementin
Asia

Improving
LivelihoodsinSouth
Asiathrough
SustainedAccessto
NewTechnologies
inRainfed
Agriculture
(India,Bangladesh)
Networkdevelopment
(e.g.,developmentofprojectcoalitionandimplementation
network)
Settingupusergroups(e.g.,organisingseedproducers)
Training(e.g.,ontechnicalaspectsandbusinessskills)
Advocacyforinstitutionalandpolicychange(e.g.,seedlaws
andvarietalrelease)
Convening
Brokering
Facilitating
Advocating
Coaching
Graincashseed
banks

Producer
Company
UK‐based
/Internationalcrop
researchgroup
NewRiceand
LegumeSeedfrom
Client‐Oriented
Breeding(Nepal)
Networkdevelopment
(e.g.,developmentofprojectcoalitionandimplementation
network)
Settingupusergroups(e.g.,organisingseedproducers)
Training(e.g.,ontechnicalaspectsandbusinessskills)
Advocacyforinstitutionalandpolicychange(e.g.,seedlaws
andvarietalrelease)
Convening
Brokering
Facilitating
Coaching
Advocating
Disseminating
Information
Community‐
Basedseed
producergroups

NGO‐ledprivate
commercialseed
production
company
CivilSociety
Organisation

For‐profithybrid
company
Povertyreduction
throughcrop
intensificationinto
ricefallows(Nepal)
Networkdevelopment
(e.g.,developmentofprojectcoalitionandimplementation
network)
Settingupusergroups(e.g.,organisingseedproducers)
Training(e.g.,ontechnicalaspectsandbusinessskills)
Advocacyforinstitutionalandpolicychange(e.g.,seedlaws
andvarietalrelease)
Convening
Brokering
Facilitating
Advocating
Coaching
Disseminating
Information
Community‐
Basedseed
producergroups

NGO‐ledprivate
commercialseed
production
company
CivilSociety
Organisation

For‐profithybrid
company
IIValueChain
Innovation

LinkingFarmersNetworkdevelopmentFacilitatingParticipatoryMarketdevelopment
ResearchIntoUseRASHEEDSULAIMANV,ANDYHALL,VAMSIDHARREDDY,T.S.ANDKUMUDADORAI36

DISCUSSIONPAPER11:AFRAMEWORKANDEARLYFINDINGSFROMRIUINSOUTHASIA
withMarketsfor
RuralProsperity
(Nepal,Vietnam,
Cambodia)
(e.g.,developmentofprojectcoalitionandimplementation
network)
Training(e.g.,trainingmarketcommitteememberson
leadershipdevelopment,accountkeeping,product
marketing)
Advocacyforinstitutionalandpolicychange(e.g.,usingthe
advisorycommitteescomprisingpolicy‐relevantstafffrom
thegovernmentforpresentingtheapproachandresultsto
facilitatewideruptakeofthisapproachbytheGovernment
ofNepal)
Convening
Brokering
MarketChain
Analysis
ThematicGroups
MarketPlanning
Committees
ProjectAdvisory
Committees
Non‐profitNGO
Coalitionto
diversifyincome
throughunder‐
utilisedcrops(India,
Vietnam)
Networkdevelopment
(e.g.,developmentofprojectcoalitionandimplementation
network)
Training(e.g.,onproductionandprocessingaspectsto
producergroups)
Articulationofresearchandtechnologyneedsofusers(e.g.,
demandfornewtechnologiestodealwithcommunity‐level
processingofmilletinIndia)

Convening
Facilitating

Community
germplasm
orchards
VillageCropfairs
Foodprocessing
parks

International
Research
Organisation
Developingfish
seedvaluechainin
Bangladesh
Networkdevelopment
(e.g.,developmentofprojectcoalitionandimplementation
network)
Traininganddemonstrationofnewapproachesandwaysof
working(e.g.,trainingonbroodfishmanagement,fingerling
production,establishinganewsustainablevaluechain)
Marketpromotionandmarketplacedevelopment
(e.g.,postersandsignboardsanddevelopinganewfingerling
marketplace)

Convening
Facilitating
Brokering

Valuechain
development

Useoflead
entrepreneurs
NGO


IIINaturalResource
Management
Cluster

Integrated
Floodplain
Management
(Bangladesh)
Networkdevelopment
(e.g.,developmentofprojectcoalitionandimplementation
network)
Traininglocalgroups(e.g.,trainingtocommunity‐based
Convening
Negotiating
Brokering
Advocating
Community‐
BasedUser
groups

LegalsupportNGO


ResearchIntoUseRASHEEDSULAIMANV,ANDYHALL,VAMSIDHARREDDY,T.S.ANDKUMUDADORAI37

DISCUSSIONPAPER11:AFRAMEWORKANDEARLYFINDINGSFROMRIUINSOUTHASIA


organisationsonIntegratedPestManagement,water
management,etc.andorganisingexposurevisits)
Advocacyforinstitutionalandpolicychange(e.g.,training
communityleadersonpolicies,laws,advocacyandlobbying)
Enhanceaccesstotechnology,expertise,markets,credit
andinputs(e.g.,linkingcommunity‐basedorganisationsto
localserviceproviders)
Conflictresolution(e.g.,out‐of‐courtsettlementthrough
negotiationandlegalsupportwhenrequired)
Reflectivelearning(e.g.,regularworkshopstoreflecton
progressanddecideonfuturecourseofaction)
Supporttopolicylearning(e.g.,workshopsandconventions
onaccessandlegalobstacles)

MediatingParticipatory
ActionPlan
Development

Community
resourcecentres

Policyworking
groups
ReducingPoverty
throughInnovation
SystemsinForestry
(Nepal)
Networkdevelopment
(e.g.,developmentofprojectcoalitionandimplementation
network)
Technicalandfieldpracticesupporttopolicyformulation
andpolicylearning
(e.g.,drawingpolicy‐relevantlessonsfromfield
implementationandusingthisforpolicydeliberationsat
mesoandmacrolevels)
Advocacyforinstitutionalandpolicychange(e.g.,
promotingpolicy‐relevantfindingsthroughforestpolicy
seminarseries,amonthlydeliberationorganisedbyForest
ActiononforestpolicygovernanceinNepal)
Strengtheningusergroups(e.g.,Trainingcommunityforest
usergroupsanddecentralisedhamlet‐levelcommitteeson
democraticgovernanceofforestsanduseofcommunity
radiotodisseminatebestpractices)
Reflectivelearning(e.g.,useofcluster‐levelsharing
workshops,districtlevelmeetingsandnationalworkshops)

Convening
Negotiating
Brokering
Advocating
Mediating
Disseminating
Information
Thematic
Committees


Policyworking
groups

Community‐
Basedresource
centres

Cluster‐level
sharing
workshops

ForestPolicy
SeminarSeries
Policythinktankand
actionresearchNGO
IVOthers   
RojiRoti:Promoting
Sustainable
Networkdevelopment
(e.g.,developmentofprojectcoalitionandimplementation
Brokering
Financing
Non‐Banking
Financial
International
Consultancy
ResearchIntoUseRASHEEDSULAIMANV,ANDYHALL,VAMSIDHARREDDY,T.S.ANDKUMUDADORAI38

Re
DISCUSSIONPAPER11:AFRAMEWORKANDEARLYFINDINGSFROMRIUINSOUTHASIA
searchIntoUseRASHEEDSULAIMANV,ANDYHALL,VAMSIDHARREDDY,T.S.ANDKUMUDADORAI39
Livelihood
Development
(India)
network)
Accesstocredit,technicalexpertiseandinputs(e.g.,
traininglocalvolunteerstoactasasourceofmicro‐credit,
productioninputsandtechnicalknowledge)
Advocatingforpolicyandinstitutionalchange(e.g.,sharing
lessonswithothermicrofinanceinstitutions,trainingother
agenciesinadoptingthisapproachtoruralservicedelivery
andliaisingwiththeindustryassociationonmicrofinance)

Facilitating

Company

Farminput
intermediary/
distributor
Company
RatManagement
forRural
Communities
(Bangladesh)
Networkdevelopment
(e.g.,developmentofprojectcoalitionandimplementation
network)
Training(e.g.,communityrodentmanagementanduseof
improvedrattraps)

Convening
Facilitating
Research‐
Extension‐
Private
manufacturer
consortium
LocalNGO
Promoting
SustainableCoastal
Aquaculturein
Bangladesh
(ProSCAB)
Networkdevelopment
(e.g.,developmentofprojectcoalitionandimplementation
network)
Organisinglocalgroups(e.g.,settingupoccupational
groups)
Training(e.g.,trainingfarmersonimprovedtechnologies
andsettingupenterprises)
Accesstoinputsandmarkets(e.g.,establishinghatchery
andlinkstotradersandhotelindustry)
Convening
Facilitating
Mediating

Researchand
Extension,NGO
consortia

PrivateHatchery
SectorCo‐ordination
body

DISCUSSIONPAPER11:AFRAMEWORKANDEARLYFINDINGSFROMRIUINSOUTHASIA

Tools
Toolsaretheformatsoroperationalmechanismsusedinprojectstomanageinnovation—
innovationplatformsbeingthemostcommonly‐cited,albeitlesstangibleoption.Thegrain
cashseedbankisanothertooloramechanismadoptedatthecommunity‐leveltohelp
resolvetheissueofseedavailability.Community‐basedseedproducergroups,producer
companiesandotherorganisationalformssuchasNGO‐ledprivatecommercialseed
productioncompaniesareallformatsthatallowbringingtogetherdifferentactorsand
complementaryknowledgeneededformanaginginnovation.ParticipatoryMarketChain
AnalysisisatoolusedtostrengthenthevaluechainintheIDE‐ledprojectinNepal.To
implementthisapproach,otherformsofplatformshadtobecreated,includingthematic
committees,marketingandplanningcommittees,etc.Community‐basedgermplasm
orchardsandfoodprocessingparksareothertoolsusedinthevaluechainprojects.
Communityresourcecentresareusedastoolsforknowledgesharinganddisseminationin
theNaturalResourceManagementprojects.Advisory/steeringcommitteesaretoolsto
enhancevisibilityoftheinterventionstopolicy‐makers.

Organisationformats
ThereisadiversityoforganisationsleadingtheRIUinitiatives.Thesevaryfrominternational
researchinstitutes(suchasCAZS,ICUC),NGOs(Li‐Bird,Forward,RDRS,AidComilla),private
consultingfirms(GYA),specialistmarketbrokeringNGOs(IDE),legalsupportNGOs(BELA),
policythinktanks(ForestAction)andsectorco‐ordinationbodies(BFRF).Themannerin
whichprojectcoalitionshavebeenformedbysuchdiverseorganisationshaspartlytodo
withthehistoryorevolutionoftheseinitiativesovertheyears.Itisthispath‐dependency
thathasledtotheemergenceofthiswidediversityoforganisationalformatsconvening
theseinitiatives.Anotherreasonforthisdiversityisthediversityinfunctionsandactivities
thatisneededforinnovationmanagementandthecomparativeadvantageofcertainkinds
oforganisationsinleadingsuchinitiatives.Forinstance,leadershipbyanorganisationsuch
asForestActioniscriticalforpromotinginstitutionalandgovernanceinnovationin
communityforestmanagementinNepal,whereasoneneedsanorganisationlikeIDEin
Nepaltoleadaninitiativethatreliesonstrengtheningtherelationshipsamongvarious
actorsinthevaluechain.Bothhavespecialexpertiseandcredibilitywhenitcomesto
ResearchIntoUseRASHEEDSULAIMANV,ANDYHALL,VAMSIDHARREDDY,T.S.ANDKUMUDADORAI40

DISCUSSIONPAPER11:AFRAMEWORKANDEARLYFINDINGSFROMRIUINSOUTHASIA
dealingwiththesechallenges.Whileresearchersledmanyofthepreviousinitiativesthat
focusedonthegenerationofnewknowledge,inmostofthecasestheyplayasecondaryor
supportingroleasthenatureofleadershipandknowledgerequiredforinnovation
managementismuchbroaderthanwhatresearcherscanbringin.
ResearchIntoUseRASHEEDSULAIMANV,ANDYHALL,VAMSIDHARREDDY,T.S.ANDKUMUDADORAI41

DISCUSSIONPAPER11:AFRAMEWORKANDEARLYFINDINGSFROMRIUINSOUTHASIA
5. DISCUSSION: TOWARDS AN UNDERSTANDING OF HOW TO
MANAGE INNOVATION IN ORDER TO PUT RESEARCH INTO USE
IN SOUTH ASIA

Thepurposeofthispaperistosetthesceneratherthandrawdefinitiveconclusionsabout
RIU’sprojectsinAsia.Whatdoesittellusaboutstudyingruralinnovationmanagementfor
puttingresearchintouse?Andwhataresomeofthewiderimplicationsforpolicyand
practice?Thefollowingobservationsmightbeuseful.

TheframeworkdevelopedinSection3forlookingatinnovationmanagementseemstohave
beenusefulintermsofunpickingthefine‐graineddetailaboutwhatisactuallyinvolvedin
thistask.TheRIUresearchdesign(seeHalletal.,2010)hadsuggestedexploringinnovation
forputtingresearchintousethroughthelensofsixinnovationnarrativesasfollows:1)Poor
User‐LedInnovation2)Public‐PrivatePartnership‐LedInnovation3)CapacityDevelopment‐
LedInnovation4)Below‐the‐Radar‐LedInnovation5)Investment‐LedInnovation6)
ResearchCommunication‐LedInnovation.Halletal.(2010)acknowledgethatthese
narrativesareoverlappingandthattheyarestylisedpolicyoptions.Theuseofthe
innovationmanagementtaskframeworkdeployedinthispaper,however,seemstobea
moreusefulwayofcapturingthebroadscopeandeclecticnatureofinnovation
management.Itavoidsgettingcaughtupinthedilemmaofdecidingwhichnarrativebest
describesaparticularprojectoractivity.Similarly,itavoidsthetendencytopigeon‐hole
groupsofactionasbeingan‘approach’.Instead,ithasamuchmorepragmaticflavour,
focusingonwhatisactuallybeingdoneandworryinglessaboutwhatitiscalled.

WhatquicklybecomeapparentwhenonelooksatthedetailofRIUprojectsisthattheway
innovationismanagedisahighlyiterativeprocess.Thisisparticularlyapparentwhenone
takesamorehistoricallookattheinnovationtrajectory,liketheoneonfishseed.Buteven
intheconfinesoftheRIUprojectsthereisiteration;again,anexamplefromthefishseed
projectisthewayapartnerwithmarketingsystemsexpertiseneededtobebroughtin.This
raisesquestionsabouthowexperimentsshouldbeorganisedandstudied.Oneoption
wouldbetoorganisetheseasaction‐learningoraction‐researchprojects,wherethe
ResearchIntoUseRASHEEDSULAIMANV,ANDYHALL,VAMSIDHARREDDY,T.S.ANDKUMUDADORAI42

DISCUSSIONPAPER11:AFRAMEWORKANDEARLYFINDINGSFROMRIUINSOUTHASIA
functionofresearchistobothhelpdriveiterationaswellashelpdrawwiderlessons.RIU
has,however,setupitsresearchactivitiesinawaythatisoperationallyandadministratively
separatefromtheprojectsthatitisderivinglessonsfrom.Therearepragmaticreasonsfor
this—notleastofwhichwasthefactthattheprojectsstartedsome2yearsbeforethe
researchwasstarted.Moreimportantly,however,sincethepurposeofRIU’sresearchisto
informpolicyofbettergenericstrategiesforusingresearchforinnovationandimpact,
keepingtheresearchatarms‐lengthfromtheoperationofprojectsseemswisefor
objectivityreasons.Thisdoesnot,however,detractfromtheobservationthatmore
systematiclearningwithinprojectteamscouldhelpdriveprojectiterationaroundthe
modesofinnovationmanagementdeployed.Thiscouldbeachievedbyformallyorganising
interventionssuchasactionresearchinitiativesoralternativelyitcouldalsobeachievedby
simplystrengtheningmonitoringandlearningfunctions.Thisisnotanewideaformanyof
theprojectteamsinAsiaasthishasbeenconsideredgoodpracticeindevelopment
programmesforsometime.OrganisationsinsomeoftheRIUprojects—theForestAction‐
ledone,forexample—haveindeedgoneonestepfurtherandactivelywrittenuplessons
fromtheirworkforwiderconsumption.Alogicalstepfurthermightbetoclusterthese
typesofinitiativesascommunitiesofpracticetostrengthentheselessonlearning
dimensions.

InasimilarveinwhenonetakesamorehistoricallookattheRIUprojectsandthewaythey
aremanaginginnovation,itisclearthatformanyofthemthisisnotasuddenshiftfrom
doingeitherdevelopmentorresearchprojects.Insteadwhatisapparentisthatthesetwo
distinctionshavebeenblurringinpracticeforquitesometime.Theexistenceofarangeof
sophisticatedstrategiestomanageinnovationmeansthatthishasnothappenedovernight,
andithasbeenapragmaticresponsetodealingwiththegoalsofthevariousorganisations
involved.Ifthisisthecasethendevelopmentplanningneedstorevisithowitgoesabout
providingsupporttoruraldevelopment.Themainthingthatstandsoutisthatintermediary
organisations—andtheseareoftencivilsocietyorganisationsadoptingenterprise‐like
principles—maynotnecessarilyhaveatechnicalstakeintheinnovationprocesstheyare
managing.Thisnotanentirelynewfinding:Forexample,Clarketal.(2003)describesthe
wayonesuchcivilsocietyorganisationsucceededasanintermediaryorganisation,
managinginnovationnotbecauseithadexpertiseinthetopic(packaginginthecase
ResearchIntoUseRASHEEDSULAIMANV,ANDYHALL,VAMSIDHARREDDY,T.S.ANDKUMUDADORAI43

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discussed),butpreciselybecauseitdidnot;thereforeitwasunburdenedofpreconceived
approachesandideas.Thisisnottosaythatcivilsocietyorganisationshaveafreeholdon
actingasintermediaries.And,indeed,asthispaperhasshowedarangeoforganisational
typescanperforminnovationmanagementtasks.Therearestillempiricalquestionsabout
whether,undersomecircumstancesandforspecificobjectivessuchassocialequity,some
typesoforganisationsaremoresuitedtoperformingthistaskinruraldevelopmentdomains
thanothers.

Thisleadstoapreliminaryfindingaboutthenatureofinnovationmanagementthatseems
tohaveprofoundimplicationsforhowtheissueofputtingresearchintouseistackled.The
reviewoftheAsiaprojectsdoesnotonlyrevealthediversityofinnovationmanagement
tasksthatarebeingperformed,butitalsostressesthebundlingtogetherofthese.Of
course,theKlerkxandLeeuwistypologythatispresentedinanadaptedforminSection2
stressestheinterdependenceoftheseactivities.However,whatthisreviewofRIUprojects
highlightsisthatwhilefacilitatingaccesstotechnologyisimportantinputtingresearchinto
use,thisasoneofarangeofinnovationmanagementtasksonlyhasvaluewhenitis
bundledtogetherwithothersupportivetasks(accesstomarkets,conveningconsortia,etc).
ThisisillustratedinFigure4.Thishasaveryimportantimplicationforpolicy.Itmeansthat
puttingresearchintouserequiresprojects,organisationsand/orinitiativeswhosechief
characteristicisnotprimarilyasaconduittotechnologybutratherisoneofbeingableto
undertakeamuchwiderrangeofinnovationmanagementtasks.Thismirrorsfindingsabout
RIU’sbestprojectsinwhichnewtypesofenterprisesservicingeconomicandsocialgoalsare
performingtheserolesasapragmaticpartoftheirbusinessmodel(Halletal.,2010)









ResearchIntoUseRASHEEDSULAIMANV,ANDYHALL,VAMSIDHARREDDY,T.S.ANDKUMUDADORAI44

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
Figure4.InnovationManagementTasks

INNOVATIONandIMPACT
Communicating
researchneeds
Brokering
Network
development
Advocacyfor
policyand
regulatory
changeFacilitatingaccesstoinput
andoutputmarkets
Negotiatingaccessto
credit/venturecapital
Mediatingconflict
resolution
Convening
innovation
platforms
Incubating
social
enterprises
Training
and
coaching
FacilitatingAccessto
technology


















Organisingfarmers
intogroups





Ourexplorationofthesecaseshasalsorevealedanumberofotherobservationsthatwe
feelmeritrecordinghere.

Thefirstconcernsprojects‘dumbingdown’toaccessdonorfunds.Theoriginalproposition
oftheRIUprogramme—ofidentifyingresearchproductsthatcouldberolledoutright
away—seems,inretrospect,ludicrouslysimplisticwhencomparedtosophisticated
innovationmanagementstrategiesthatprojectsdeployed.Itishighlyquestionablewhether
anyoftheprojectsreallybelievedthatthiswasafinalpushtohaveimpact.Inrealitymany
seemhaverecognisedthattheyweresomewherealongthewayinalongtrajectoryof
learningaboutparticulardevelopmenttopicsandhowtotacklethem.

Theproblemstheyencounteredwerediverse:forestmanagement,thenatureofplant
breedingorAsiamarketingsystems.Whattheprojectteamsneededwasmorefundingto
movethemfurtheralongthattrajectory(somearealreadyintotheirpost‐RIUfunding).A
ResearchIntoUseRASHEEDSULAIMANV,ANDYHALL,VAMSIDHARREDDY,T.S.ANDKUMUDADORAI45

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cynicmightsaythattheprojectssimplycomprisedgroupsofresearchersandNGOshopping
fromonesourceofdonorfundingtothenext.Thisprobablyneedstobebalancedbythe
recognitionthatthereisn’tanendpointforputtingresearchintouse,because,like
developmentitself,itisacontinuousprocessofadaptationandchange.Certainlythisraises
furtherquestionsabouthowthedevelopmentprocessshouldbefunded.

Thesecondpointisaboutasenseofhumilityinthebiggerschemeoftheinnovation
trajectories.ItisclearthatRIUshouldbethankfulthattheseprojectsdidpresent
themselvesforfundingbecausewhatthesegroupsofresearchersanddevelopment
practitionersbroughtwiththemwasahistorically‐derivedsetofexperienceandstrategies,
whichappeartobehighlyrelevanttotheinnovationtaskasitisnowunderstood.RIU’s
operationalcontributionwastopromotetheuseofpartnershipsasagenericprinciple.That
prescription(althoughsoundly‐based)cannotbeequatedwiththesophisticatedsetoftasks
andstrategiesthatweareseeingdeployed.Thisisaratherhumblingobservation.It
suggeststhatRIUexperimentsaremorelikebuyingatickettowatchashowthantheyare
aboutsettingupthebiggestshowintown.Thisisnotatrivialpointasitsuggeststhatpolicy
support(forexample,supportingRIU‐likeprogrammes)needstochangefundamentally.Itis
nolongeraboutcreatingtheseinnovationtrajectoriesbutlookingathowbesttosupport
suchon‐goingthreadsoflearning,entrepreneurship,innovationandchangeinrelevant
areas.ThisiswhereRIUhasbeenmoresuccessful,bylaterbringinginbusinessskillstohelp
projectswhenthishasemergedasaratelimitingstepofexpertise.But,astheprojects
themselvesdemonstrate,thereisaverywidesetofinnovationtasksneeded.Andwealso
seegaps:forexample,visioningandforesightexercises—equallyimportantformanaging
changeindynamicmarketsastheyareinthefaceofunpredictableclimatechange.The
researchofRIUneedstogetamuchbetterunderstandingofhowalltheseinnovation
supportactivitiescanbestbeorganisedandprovidedfor(whopays,whoprovides).

ResearchIntoUseRASHEEDSULAIMANV,ANDYHALL,VAMSIDHARREDDY,T.S.ANDKUMUDADORAI46

DISCUSSIONPAPER11:AFRAMEWORKANDEARLYFINDINGSFROMRIUINSOUTHASIA

REFERENCES

Clark,N.G.,Hall,A.J.,RasheedSulaimanV.,GuruNaik(2003).“ResearchasCapacity
Building:TheCaseofanNGO‐FacilitatedPost‐HarvestInnovationSystemforthe
HimalayanHills”.WorldDevelopmentVol.31,No.11,pp.1845‐1863.

Engel,P.andSalomon,M.(2003).FacilitatingInnovationforDevelopment:ARAAKS
ResourceBox.KoninklijkInstituutvoordeTropen(KIT):Amsterdam.

Hall,A.(2009).“EmbeddingResearchinSociety:DevelopmentAssistanceOptionsfor
SupportingAgriculturalInnovationinaGlobalKnowledgeEconomy”.International
JournalofTechnologyManagementandSustainableDevelopment.Vol8,Issue3,pp.
221‐236.
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Hall,A.J.(2005).“CapacityDevelopmentforAgriculturalBiotechnologyinDeveloping
Countries:AnInnovationSystemsViewofWhatItIsandHowtoDevelopIt”.Journal
ofInternationalDevelopment,Vol.17,No.5,pp611‐630.
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Hall,A.,Dijkman,J.andSulaiman,R.V.(2010).“ResearchIntoUse:Investigatingthe
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Series#2010‐01,July2010,ResearchIntoUse:UK.
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Hall,AandN.Clark(2010).“WhatdoComplexAdaptiveSystemsLookLikeandwhatarethe
ImplicationsforInnovationPolicy?”JournalofInternationalDevelopment.Vol.22,
Issue3,pp.308‐324.
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Hall,A.J.andN.Clark(1995).“CopingwithChange,ComplexityandDiversityinAgriculture:
ThecaseofRhizobiumInoculantsinThailand”.WorldDevelopment,Vol.23.,No.9,
pp.1601‐1614.
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Howells,J.(2006).Intermediationandtheroleofintermediariesininnovation.Research
Policy,35,715‐728.

EkinKeskin,MirjamSteglich,JeroenDijkman&AndyHall(2008)."PrivateCapacityand
PublicFailure:ContoursofLivestockInnovationResponseCapacityinKenya."UNU‐
MERITWorkingPaperSeries#2008‐068,UnitedNationsUniversity‐Maastricht
EconomicandsocialResearchandtrainingcentreonInnovationandTechnology:
Maastricht,TheNetherlands.

Klerkx,L.,&Leeuwis,C.(2009).Establishmentandembeddingofinnovationbrokersat
differentinnovationsystemlevels:InsightsfromtheDutchagriculturalsector.
TechnologicalForecastingandSocialChange,76(6)849‐860.

Klerkx,L.andLeeuwis,C.(2008).“MatchingDemandandSupplyintheAgricultural
KnowledgeInfrastructure:ExperiencewithInnovationIntermediaries”,FoodPolicy,
33[3],260‐276.
ResearchIntoUseRASHEEDSULAIMANV,ANDYHALL,VAMSIDHARREDDY,T.S.ANDKUMUDADORAI47

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
Kristjanson,P.,Reid,R.S.,Dickson,N.,Clark,W.C.,Romney,D.,Puskur,R.,etal.(2009).
Linkinginternationalagriculturalresearchknowledgewithactionforsustainable
development.ProceedingsoftheNationalAcademyofSciences,inpress.

Leeuwis,C.andHall,A.(2010).“FacingtheChallengesofClimateChangeandFoodSecurity:
TheRoleofResearch,ExtensionandCommunicationInstitutions.Report
CommissionedbytheResearchandExtensionBranchoftheUnitedNationsFood
andAgricultureOrganization,October2010,FAO:Rome.

Reddy,Vamsidhar,T.S(2010).ScalingUptheDecentralisedSeedProduction(DSP)
ApproachinBangladesh.DraftReportforRIU.

VamsidharReddy,T.S.,AndyHallandRasheedSulaiman,V.(2010).“NewOrganisationaland
InstitutionalVehiclesforManagingInnovationinSouthAsia:OpportunitiesforUsing
ResearchforTechnicalChangeandSocialGain”.RIUDiscussionPaperSeries#2010‐
07,October2010,ResearchIntoUse:UK.
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Richards,P.(1989).Agricultureasaperformance.InR.Chambers,A.PaceyandL.Thrupp
(Eds.),FarmerFirst:FarmerInnovationandAgriculturalResearch.London:
IntermediateTechnology,pp.39‐42.
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Rivera,WilliamM.andRasheedSulaimanV.(2009).“Extension:ObjectofReform,Engine
forInnovation”,OutlookonAgriculture,Vol.38,No.3,pp.267‐273,September2009.

C.ShambuPrasad(2005).ScienceandTechnologyinCivilSociety:InnovationTrajectoryof
SpirulinaAlgalTechnology.EconomicandPoliticalWeekly,October1,2005,pp.
4363‐4372.

Ugbe,UtiangP.(2010).“WhatDoesInnovationSmellLike?AConceptualFrameworkfor
AnalysingandEvaluatingDFID‐RIUExperimentsinBrokeringAgriculturalInnovation
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IntoUse:UK.

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ofResearchSystems.EconomicSectorWorkReport.TheWorldBank:Washington,
DC,pp.149.
ResearchIntoUseRASHEEDSULAIMANV,ANDYHALL,VAMSIDHARREDDY,T.S.ANDKUMUDADORAI48

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APPENDIX 1: THE SOUTH ASIA PROJECT PORTFOLIO

ThefollowingprovidesabriefdescriptionoftheSouthAsiaprojects:


Cluster1:ParticipatoryCropImprovementinAsia
(i)ImprovingLivelihoodsinSouthAsiathroughSustainedAccesstoNewTechnologiesin
RainfedAgriculture(India)
Thisinitiative,ledbytheCentreforAridZoneStudies(CAZS),Bangor,UK,focuseson
promotingtheuptakeofuplandvarietiesdevelopedthroughParticipatoryCrop
ImprovementinCentralandEasternIndia.ItpartnerswithtwoNGOs—namely,Gramin
VikasTrust(GVT)andCatholicReliefServices(CRS)—todisseminatetheseseedswidely.It
focusesonstrengtheningthecapacityofseedproducergroups,withthemainmechanism
deployedbeingthegraincashseedbank.Theinitiativeisnowplanningtosetupaproducer
companytocommerciallyproduceandmarketqualityseedevolvedthroughParticipatory
CropImprovement.

(ii)PovertyReductionthroughCropIntensificationintoRiceFallowsinNepal
ThisinitiativeledbytheForumforRuralWelfareandAgriculturalReformforDevelopment
(Forward)—anNGOinNepal—focusesonpromotingriceandlegumeseedsdeveloped
throughParticipatoryCropImprovementbystrengtheningthecapacityofcommunity‐based
seedproducergroupstoproducetheseseedsandthendisseminatingtheseseedsassmall
kits.Inthisproject,itpartnerswithanotherNGO—LocalInitiativesforBiodiversity
ResearchandDevelopment(Li‐Bird)—andCAZS,Bangor.Forwardhasnowsetupaseed
companycalledGlobalAgritechNepalPrivateLimited(GATE)toproduceandmarketthese
seeds.

(iii)NewRiceandLegumeseedfromClient‐OrientedBreeding(Nepal)
TheNGOLi‐BirdleadsthisinitiativeincollaborationwithForwardandCAZS.Italsohas
similarobjectives,suchasstrengtheningcommunity‐basedseedproducersandachieving
thewiderdisseminationofseedsdevelopedthroughParticipatoryCropImprovementas
ResearchIntoUseRASHEEDSULAIMANV,ANDYHALL,VAMSIDHARREDDY,T.S.ANDKUMUDADORAI49

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seedkits.Li‐Birdhasalsoestablishedaseedcompany,calledtheAnmolbiuSeedCompany
PrivateLimited,toproduceandmarketqualityseedsofriceandothercropsproduced.

Cluster2:ValueChainInnovation
(i)LinkingFarmerswithMarketsforRuralProsperity
Thisinitiative,ledbyInternationalDevelopmentEnterprises(IDE)inNepal,Vietnamand
Cambodia,isaboutbuildingandstrengtheninglinkagesandpartnershipsamongmarket
chainactorsthroughthepromotionoftheParticipatoryMarketChainApproach(PMCA)12.
InNepaltheprojectisfocusingonbuildingthecapacityofmarketplanningcommitteesand
developingtrustamongvariousactorsintheexistingvaluechain,includingthe
managementofcollectioncentres,farmersandtraders.

(ii)CoalitiontoDiversityIncomethroughUnder‐UtilisedCrops
TheInternationalCentreforUnderutilisedCrops(ICUC)ispilotingthismulti‐pronged
approachinIndiaandVietnamtopromoteunderusedcropsbysupportingcommunity
servicesforproduction,post‐harvestandmarketingofunderusedcropsandimproving
accesstothemarketfortheruralpoor.InIndiaitispartneringwiththeNGOBharatiyaAgro
IndustriesFoundation(BAIF)andinVietnamwiththeCentreforAgrarianSystemsResearch
andDevelopment(CASRAD)andtheFruitandVegetablesResearchInstitute(FAVRI),two
nationalresearchcentres.

(iii)DevelopingFishSeedValueChaininBangladesh
Thisinitiative,ledbytheNGORangpurDinajpurRuralServices(RDRS)inBangladesh,is
aboutdevelopingafishseedvaluechain(broodfishproducers,fingerlingtradersandtable
fishgrowers)bycreatingaroleforsmall‐holdersasintermediaryproducersandthereby
enhancingtheavailabilityandqualityoffishseed.WorldFishCenterandInternational
DevelopmentEnterprisesarepartnersinthisinitiative.

12 ThePMCAisaresearchanddevelopmentapproachforfosteringpro‐poor,market‐ledinnovationincommoditychains,
throughactiveparticipationofprivateandpublicmarketchainactors.CIP'sPapaAndinaInitiative
(http://papandina.cip.cgiar.org)andpartnersbegantodevelopPMCAin2001asameanstoreduceruralpovertyinthe
Andesbylinkingsmallfarmerstonewmarketopportunities.ThePMCAbuiltonthe"RapidAppraisalofAgricultural
KnowledgeSystems"(RAAKS)whichstimulatesnetworkingforinnovation(EngelandSalomon,2003).
ResearchIntoUseRASHEEDSULAIMANV,ANDYHALL,VAMSIDHARREDDY,T.S.ANDKUMUDADORAI50

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

Cluster3:InnovationinNaturalResourceManagement
(i)ReducingPovertythroughInnovationSystemsinForestry
Thisinitiative,ledbyForestAction—apolicythinktankNGOinNepal—focuseson
promotinginnovationsininternalgroupgovernance(visioning,hamlet‐basedplanning,
decision‐makingandself‐monitoring)amongcommunityforestusergroupsandintroducing
activeforestmanagementandsustainableharvestingtechnologies,includingenterprise
development.Toimplementthisinitiative,itpartnerswithFECOFUN(Federationof
CommunityForestUsers,Nepal),NEHHPA(NepalHerbsandHerbalProductsAssociation)
andtheNepalForumofEnvironmentalJournalists(NEEFJ).

(ii)ScalingupIFMthroughAdaptiveLearningNetworks
TheBangladeshEnvironmentalLawyersAssociation(BELA)isleadingthisinitiativein
collaborationwiththeFloodHazardResearchCentre(MiddlesexUniversity,UK).Itfocuses
onpromotinginnovationsinmanagingfloodplainsinBangladesh.Thisapproach,called
IntegratedFloodplainManagement(IFM),involvesparticipatoryactionplandevelopment,
adaptivelearningamongstakeholders,developmentandcomplianceofrightsand
developingalegalframeworkforcommunity‐basedmanagementoffloodplainresources
andresourcemanagementforfisheriesandcropproduction.

Others
(i)PromotingSustainableLivelihoodDevelopment(RojiRoti)
Thisprojectattemptstoreachtheultra‐poorinNorthernandEasternIndiathroughforming
groupsofpoorwomenandestablishingasustainableruralsupportdeliverysystemto
supportthepoorintheireffortstoimprovetheirlivelihoods.Thisapproach,calledthe
‘dialecticapproach’bytheprojectteam,reliesongroupsavingasastartingpoint,whichis
thenfollowedbyaccesstomicrofinanceandlinkstoinputs,technicalexpertiseand
insurance.ThisprojectisledbyGYAssociatedLtd.(GYA),aUK‐basedconsultingcompany,in
collaborationwithaBihar‐basedNGOCPSL(CentreforPromotingSustainableLivelihoods),
andtheICAR(IndianCouncilforAgriculturalResearch)researchcentreinPatna,India.
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ResearchIntoUseRASHEEDSULAIMANV,ANDYHALL,VAMSIDHARREDDY,T.S.ANDKUMUDADORAI51

DISCUSSIONPAPER11:AFRAMEWORKANDEARLYFINDINGSFROMRIUINSOUTHASIA
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(ii)RatManagementforRuralCommunities
ThisisaninitiativethatusesatransferoftechnologyapproachtocontrolratsinBangladesh.
Itinvolvestrainingruralcommunitiesandimplementingagencies—mainlyNGOsandother
extensionagents—oncommunity‐focusedandEcologically‐BasedRodentManagement
(EBRM),allthewhileproducinganddistributingimprovedrattraps.Theinitiativeisledby
AID‐Comilla,anNGOinBangladesh,incollaborationwiththeBangladeshAgricultural
ResearchInstitute(BARI),theBangladeshDepartmentofAgriculturalExtension(DAE)and
theBangladeshNaturalResourcesInstitute.
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(iii)ProSCABorPromotingSustainableCoastalAquacultureinBangladesh
Thisisaninitiativefordisseminationof5coastalfisheriestechnologies(crabfattening,
molluscsculture,seaweedculture,improvedfishicingandproductionofpesticide‐freedry
fish)throughtrainingandenterprisepromotion.ThisinitiativeisledbytheBangladesh
FisheriesResearchForum(BFRF),aprofessionalallianceofresearchersandpractitioners
involvedinresearch,developmentandcommercialisationofthefisheriessectorin
Bangladesh.Themaintasksinvolvedinthisinitiativeare:training,enterprisepromotionand
establishinglinkstoinputandoutputmarkets.
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ResearchIntoUseRASHEEDSULAIMANV,ANDYHALL,VAMSIDHARREDDY,T.S.ANDKUMUDADORAI52

DISCUSSIONPAPER11:AFRAMEWORKANDEARLYFINDINGSFROMRIUINSOUTHASIA
THERIUDISCUSSIONPAPERSERIES
(Availablefordownloadatwww.researchintouse.com)
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2010‐01ResearchIntoUse:InvestigatingtheRelationshipBetweenAgricultural
ResearchandInnovation
ByAndyHall,JeroenDijkmanandRasheedSulaimanV.
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2010‐02Bottom‐up,Bottom‐line:Development‐RelevantEnterprisesinEastAfricaand
theirSignificanceforAgriculturalInnovation
ByAndyHall,NormanClarkandAndyFrost

2010‐03InnovationSystems,EconomicSystems,ComplexityandDevelopmentPolicy
ByNormanClark
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2010‐04PuttingResearchIntoUse:AMarketFailureApproach
ByNormanClarkandIanMaudlin

2010‐05ItMayTakeALittleWhile..:InsightsonAgriculturalResearchforInnovation
andDevelopmentinNigeria
ByUtiangP.Ugbe
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2010‐06GenderandAgriculturalInnovation:RevisitingtheDebateThroughan
InnovationSystemsPerspective
ByAnnKingiri
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2010‐07NewOrganisationalandInstitutionalVehiclesforManagingInnovationin
SouthAsia:OpportunitiesforUsingResearchforTechnicalChangeandSocial
Gain
ByT.S.VamsidharReddy,AndyHallandRasheedSulaimanV.
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2010‐08TheInnovationTrajectoryofSleepingSicknessControlinUganda:Research
KnowledgeinitsContext
ByJohnMorton
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2010‐09AfricaMatters:EmergingLessonsfromtheRIUCountryProgrammes
ByJeroenDijkman
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2010‐10WhatDoesInnovationSmellLike?AConceptualFrameworkforAnalysingand
EvaluatingDFID‐RIUExperimentsinBrokeringAgriculturalInnovationand
Development
ByUtiangP.Ugbe

2010‐11StudyingRuralInnovationManagement:AFrameworkandEarlyFindings
fromRIUinSouthAsia
ByRasheedSulaimanV.,AndyHall,VamsidharReddyT.S.andKumudaDorai

ResearchIntoUseRASHEEDSULAIMANV,ANDYHALL,VAMSIDHARREDDY,T.S.ANDKUMUDADORAI53