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Research Project Management

Module 2
M&E Principles and Concepts

Chapter 1 Monitoring and Evaluation
1.0 What Are Monitoring and Evaluation?

2.0 Major Uses of M&E

3.0 Routine reporting

4.0 Assessing impact

5.0 Improving implementation

6.0 Review

7.0 Improving planning

8.0 M&E in a Management Context

9.0 Management cycles

10.0 Decision-making levels

11.0 M&E in Research

12.0 Research processes

13.0 Research organizations

14.0 Types of M&E carried out

15.0 Evaluation criteria employed

16.0 Techniques for measurement

Chapter 2 Internal Program Review
1.0 What is an Internal Program Review?

2.0 Usefulness

3.0 Organizing and Conducting Internal Reviews

Chapter 3 Reporting on Research Progress
1.0 What is Progress Reporting?
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2.0 Usefulness

3.0 Preparing Progress Reports

4.0 Kinds of Reports
4.1 Annual progress reports
4.2 Project completion reports
4.3 Quarterly financial reports
4.4 Special reports
4.5 Sample Report C
4.6 Sample Report D

5.0 Report Format for Ongoing Project
5.1 Basic Information
1. Study Title:
2. Researcher3. Implementing Unit:
4. Status of Research:
5. Level of Research:)
6. Source of Fund
7. Financial Report:
5.2 Significance of the Project
5.3 Objectives
5.4 Research Highlights

Chapter 4 Impact Assessment
1.0 What is Impact Assessment?

2.0 Usefulness

3.0 Doing Impact Assessment



















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Chapter 1
Monitoring and Evaluation

1.0 What Are Monitoring and Evaluation?
The roots of the two words, monitoring and evaluation, originate from Latin, where monitor
is derived from the word meaning to warn, and evaluation stems from the word value. In
practice, the words monitoring and evaluation are used in many different ways. For example,
different things are monitored and evaluated in different ways and for different purposes.
Some M&E activities focus on researchers, while others look at research activities; some
focus on donor-funded projects, while others are concentrated on national programs,
experiment stations, or research institutes. In each of these situations, different sorts of
monitoring and evaluation may be carried out for different purposes. The following general
definitions are offered to cover the broad range of M&E activities that are carried out in
research:
Monitoring is observing or checking on research activities and their context, results, and
impact. Its goals are (a) to ensure that inputs, work schedules, and outputs are proceeding
according to plan (in other words, that implementation is on course), (b) to provide a record
of input use, activities, and results, and (c) to warn of deviations from initial goals and
expected outcomes.
Evaluation is judging, appraising, or determining the worth, value, or quality of research,
whether it is proposed, on-going, or completed. This is done in terms of its relevance,
effectiveness, efficiency, and impact. (Relevance refers to the appropriateness and importance
of goals and objectives in relation to assessed needs. Effectiveness refers to the degree to
which goals have been achieved. Efficiency refers to the cost-effectiveness of activities. And
impact refers to the broad, long-term effects of research.)

2.0 Major Uses of M&E
Organizations, programs, or activities are monitored or evaluated for many reasons: to check
on progress, to assess productivity and results, to monitor resource utilization, and to decide
on future support. Within this The terms monitoring and evaluation are used in many different ways.
It is useful to think of monitoring and evaluation (M&E) as parts of a continuum of observation,
information gathering, supervision, and assessment. Together, they are aids for needs assessment,
research planning, implementation, reporting, learning from experience, and demonstrating research
results and benefits to those who fund and support research. This section of the sourcebook is divided
into three sub-sections. The first familiarizes readers with M&E principles and processes. It presents an
overview of monitoring and evaluation principles as they apply to research management. It introduces
key factors that should be taken into account when monitoring or evaluating a research organization,
program, or activity, and it includes a discussion on the management cycle in which M&E plays an
important part. The second section introduces a framework for designing and managing an evaluation
and lists the main questions that managers need to consider. The final section is a list of basic texts that
would be useful for a manager interested in monitoring and evaluation.

group of reasons for doing M&E, two main uses can be identified: accountability and decision
making (table 1).

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Accountability refers to the responsibility of an individual or an organization to account for
the proper use of resources. Accountability requirements have traditionally been met through
periodic reports on resource use and activities; however, there has been a growing demand for
more and better evidence of the results and impact of research. M&E is also used to help with
decision making during planning, implementation, and periodic reviews of research activities.
Accountability and decision making should be linked. For example, information provided by
a scientist or a research organization to meet accountability requirements may be used by
managers at higher levels to determine future funding for research. Accountability is also part
of good management within an organization. Senior managers require their staff and project
managers to be accountable for the resources they use. Ongoing research is supervised to
ensure that schedules for inputs, activities, and outputs are on target; this also allows
managers to correct problems in a timely manner. M&E systems should meet the need for
both accountability and decision making.

3.0 Routine reporting
. Funding agencies, whether national or international, require recipient organizations to
account for the use of their resources. This is usually done through periodic reports on
expenditures and activities that show that public funds have been used properly. Most
research grants or loans require recipients to collect the necessary data and provide reports on
resource use, and funding agencies usually provide the necessary guidelines for doing this.
Since the requirements are defined outside the research organization, there is little flexibility
in what this part of the M&E system must deliver. However, improvements in data collection,
storage, and processing can help managers fulfill these obligations in a cost-effective way.

4.0 Assessing impact
. Governments and donors are re-examining their investments in research - the value of
research, especially publicly funded research, is being questioned in many circles. Taxpayers
and government officials are demanding evidence of its benefits. Satisfying this demand for
information requires effective M&E that demonstrates the benefits of research and the
usefulness of its results to policymakers, donors, farm organizations, and other interested
groups. Impact studies are one way to provide convincing evidence that research has been a
good investment in the past and that it will continue to be a good investment in the future.
Retrospective studies (or ex post evaluations) can show how public funds have been used to
carry out research and how research outputs have been used by clients. They can show how
improved technology has resulted in broader social and economic benefits, and they can help
target research more to social goals and the needs of users. Prospective studies (or ex ante
evaluations) can indicate the potential benefits to be gained from research.

5.0 Improving implementation.
Monitoring or ongoing evaluation can assist managers by warning them when activities and
their results deviate from expectations - when they may need a guiding hand. If plans remain
valid but implementation is lagging, corrective action can be taken. In research, deviations
between plans and results often mean that the plans themselves need to be revised. By
providing timely feedback, a monitoring system allows managers to improve the
implementation of ongoing activities or to make adjustments in research plans and designs.
6.0 Review
. Periodic reviews of research activities are useful in determining whether the objectives of
the research are still relevant and their strategies remain valid. Periodic reviews can also help
ascertain what progress has been made to date and to assess potential future benefits. This
information can be used by researchers and managers to decide if the activity should continue
as planned, if important changes should be made in research goals and plans, or if the activity
should be terminated.

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7.0 Improving planning
. Evaluations provide unique information and insights into research processes and their results
- insights that can be used by managers to improve the planning and design of future research
programs and activities. For this reason, it is useful to prepare for major planning exercises
with careful evaluations of previous work, its outputs, and its impact. Here, outputs refer to
the direct products of research, such as a new variety, and impact refers to both the short-term
effects of research (like adoption of a new variety) and to longer-term effects (like increases
in yields, production, incomes, and social welfare resulting from adoption of a new variety).

8.0 M&E in a Management Context
Monitoring and evaluation processes in research can best be understood in relation to the
management processes and the decision-making hierarchy of public-sector organizations.
9.0 Management cycles
. While research management is seldom carried out in neat cycles, it is useful to visualize a
cycle of management decisions that begins with needs assessment and planning, continues
with implementation, and ends with review (figure 1, table
2).

During planning, the needs of clients and other technology users should be assessed, goals
set, strategies designed, and plans prepared. Ex ante evaluations may be conducted to assess
needs and to evaluate proposed research topics and designs.
To be effective, research must generate technologies that are useful for society. The best way
to guarantee this is to ensure that client's perspectives are in the forefront when research is
being planned.

In the implementation phase, research is carried out and monitored in relation to plans,
results, and changing circumstances. Annual program reviews and mid-term project reviews
are useful mechanisms for this kind of evaluation. Periodically it is important to review all
aspects of the research activity, including the original needs assessment, goals, research plans
and designs, implementation processes, and research outputs and impacts (both planned and
unanticipated). At this time, decisions are made (a) to continue research as planned, (b) to
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redesign the research activity, (c) to terminate it, or (d) to pursue new research areas. This
assessment then feeds into planning in the next cycle.

Ideally, M&E is systematically integrated into the organizations day-to-day decision making
and management cycle, providing useful information for staff at each phase of the cycle and
at each organizational level (figure 2). In actuality, the process is not as smooth as it sounds.
Sometimes major, unexpected events in the life of an organization, such as an abrupt change
in management or a serious financial crisis, disrupt the cycle and trigger unexpected or
additional M&E demands.

10.0 Decision-making levels.
Research is generally conducted within a hierarchical structure, with decisions on planning,
implementation, and review made at several levels.


Research systems usually contain a variety of institutes, programs, units, projects, and
activities, and different types of information are needed by decision makers at each level. The
institute level is concerned with organization-wide decisions, such as the allocation of
resources among experiment stations and promotion criteria for researchers. The program
level is concerned with decisions regarding commodities or disciplines, for example, that
affect major areas of work. Programs are often rather permanent groupings, but they
frequently lack specific budgetary and staff resources.

The unit level refers to experiment stations, research centers, laboratories, or disciplinary
departments, which are generally considered to be permanent organizational fixtures with
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budgets and staff. The project level is concerned with the management of groups of research

activities that have specific goals, timetables, and budgets. Activities are the experiments or
studies carried out by individual researchers; they are the building blocks of an institutes
projects and programs.

For decision making to be effective, both responsibility and authority need to be delegated to
managers throughout the organization. When authority is not delegated, middle-level
managers cannot act on the results of M&E.

In addition to providing information for the decision-making levels within the research
organization, the monitoring and evaluation system should also provide information for two
key groups outside the organization: research clients (extension, and development programs)
and research sponsors (domestic ministries, producer groups, the public at large). Information
flows through a research organization both vertically and horizontally. In the horizontal
dimension, planning results (clear goals, schedules, and resource allocations) are needed to
guide implementation and review. Similarly, information on research implementation and
lessons learned from previous work should inform future planning decisions. In the vertical
dimension, clear directives from the institute level should guide the decisions of middle-level
managers. Information on specific research activities needs to flow upward to inform
planning, implementation, and review decisions at higher levels. As information flows
through a research organization and beyond, it often needs to be translated or repackaged. For
example, broad (macro-level) plans need to be broken down into more focused (micro-level)
goals and work plans. Conversely, plans and results of individual projects need to be
synthesized, condensed, and translated into socioeconomic terms if they are to be used by
institute directors and ministry officials.

11.0 M&E in Research
There are a number of features specific to research that influence the way it is monitored and
evaluated. These include research processes, research organizations, types of M&E,
evaluation criteria, and techniques for measurement and attribution. Research managers who
are aware of these features can be much more effective in designing and implementing an
M&E system.

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12.0 Research processes
Research is a creative, often uncertain activity, where only a small proportion of the research
ever produces results that find practical application. Many research activities should be
abandoned in mid-course, or their goals should be fundamentally revised. Monitoring of
research should be designed as it is in the private sector - to support researchers and managers
in a continual learning process, constantly refining research goals and processes. Production
systems and technological problems vary widely from place to place, so research needs be
location-specific and may be decentralized. It may also take a long time - 10 to 15 years -
between implementation and impact, making it difficult to produce credible assessments of
results when research is still underway or only recently completed.

13.0 Research organizations.
Most research in developing countries is carried out by public-sector organizations that do not
sell research outputs but provide them free to extension programs. The budgets of public
organizations are seldom linked to their performance. In these cases, M&E is generally
conducted to meet routine accountability requirements and has little application in
management decision making. In contrast, where research is carried out by private firms or
research organizations, M&E tends to be better integrated with management decision making.
Monitoring and evaluation in public agencies are often regarded as bureaucratic control
mechanisms, particularly in research organizations where scientific freedom is valued highly.
Strong resistance to M&E is often encountered where resources are declining and the
organizational climate is competitive and defensive.

14.0 Types of M&E carried out
M&E is most developed and formalized in larger and older organizations and is most
effective where it is required for specific activities or projects by external sponsors, like donor
agencies. Where M&E is done to meet the routine accountability requirements of regulatory
ministries, it is generally of little use in program-related decision making. It is used much
more to decide on the release of funds to a project or on overall levels of funding. Much of
the M&E that is now done in developing-country research was initiated by external donors to
meet their accountability requirements. Donor organizations have also supported numerous
studies to demonstrate the economic impact of research. However, few national organizations
have the capacity to carry out their own impact studies. In areas such as personnel planning
and management, most national research organizations have systems for performance
assessment, often based on civil-service regulations. Some larger research organizations have
planning or other units dedicated to M&E. A few organizations are beginning to manage their
research in projects, and to this end they are setting up project databases and budgeting
systems. In most organizations, however, research monitoring for internal use tends to be
informal.

15.0 Evaluation criteria employed
There are many possible standards, or criteria, for evaluating a research activity; some, for
example, include professional standards of research quality, economic efficiency, and the
accomplishment of goals. The most commonly used evaluation criteria in research are
professional standards (especially related to technical feasibility), which are evaluated
through peer review in project selection and through internal reviews. In external reviews,
attempts are sometimes made to assess management procedures against professional norms
and to assess users satisfaction with research results. Some organizations are attempting to
introduce criteria through level evaluations and external reviews, but most impact studies use
economic efficiency as the standard for evaluation. In contrast to the situation in industrial
research and development, profitability is seldom used as a criterion in research.

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16.0 Techniques for measurement
. In M&E of research, inputs are generally measured in terms of their financial cost.
Publications or technologies (such as varieties) are sometimes used as indicators of research
output. More frequently, farm-level adoption levels or changes in yields, prices, or other
variables are estimated and attributed to research efforts. It is seldom easy to measure and
attribute changes to specific research outputs. For example, measuring trends in yields or
incomes is difficult where year-to-year variability is high. And once a trend is established, it
is even more difficult to determine the contribution of research vis--vis other influences,
such as extension and credit programs, price changes, or the weather. Economic evaluation
techniques have been developed to estimate the benefits of research and their distribution
among different social groups. Data for these studies may be gathered through on-farm trials
or surveys. Key variables are often assumed or obtained from experts, and macroeconomic
impact is derived from farm-level results. Few assessments of social impact (such as
nutritional status or employment rates) or environmental impact have been done. Key
research inputs (like scientific ability) and outputs (information or technology) defy precise
measurement. For these reasons, standard M&E techniques designed for settings in which the
conversion of inputs into outputs is well defined and predictable are of little use for decision
making in research. Attempts to apply excessively rigid M&E procedures may only
discourage researchers and reduce research outputs.

The following chapters introduce the principles of internal program review, reporting
on research progress and impact assessment.















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Chapter 2
Internal Program Review

1.0 What is an Internal Program Review?
An internal program review consists of seminars attended by scientists and research
managers, where an organizations research work is openly reviewed. It is a means of
assessing the progress of research, identifying achievements and deficiencies, improving
performance, and planning future directions. Now all of the international research centers
have established some form of internal program review. An internal program review is often
an annual event that forms part of the annual planning and review cycle. It is generally an in-
house affair in which outsiders are not involved; ideally, it is an open and frank group
discussion. The internal review is comprehensive; it looks at all parts of the research program
and research support services. In large organizations, separate reviews may be done for
different programs or research units. The review may also separate retrospective review from
planning.

2.0 Usefulness
An internal program review can be used for a variety of purposes:
It can assess research progress in relation to goals.
It can assess project relevance and the contributions of individuals to program
goals.
It can help identify gaps within research programs.
It can contribute to building consensus around the question of pruning out or
strengthening the weak parts of a program.
It provides information for annual reports and work plans.
It provides a forum where scientists and managers can discuss priority
research needs.
It can help update staff and management on progress, achievements, and
constraints.
It can identify technologies that are ready for dissemination.
It can improve communication among scientists and management.
It can contribute to preparations for external and other reviews.

In more general terms, internal reviews can also improve communication among an
organizations scientists, giving them a better understanding of the interests and
abilities of their colleagues. Internal reviews can also be used to encourage critical
assessment and a sense of accountability among scientists - qualities that are
indispensable to an effective research program.

Internal program reviews are open sessions where research managers and scientists
review research activities, identify achievements and deficiencies, and establish
directions for the future. They are usually annual events at which the research
activities of a research institute, program, or station are summarized and discussed
collectively by scientists in order to improve research performance and plan for the
future. Internal program reviews stimulate professional dialogue and build consensus
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among an organizations scientists, provide material for annual reports and work
plans, and encourage internal critical evaluation and a sense of accountability.
Internal reviews take a great deal of staff time - in both preparing for the review and
participating in it. In fact, the main cost of an internal review is the staff time required
usually about one week. But the review cannot be successful unless scientists and
managers are be able to dedicate a block of time exclusively to it, and management
must make a commitment to enable them to do this. Time constraints may become
more of a problem as the organization grows and programs increase in size and
number, making critical analysis, debate, and planning difficult. One solution is to
split the review into parts, doing much of the initial preparation and review in smaller
groups that later report to a larger assembly.

3.0 Organizing and Conducting Internal Reviews
Organizing an effective internal review requires that someone be designated to coordinate and
plan the event. The coordinator must ensure that the agenda reflects the purpose of the review
and that it allows time for discussion as well as presentation. The coordinator must also make
sure that there are capable chairpersons and rapporteurs assigned to each session and that
seating arrangements are comfortable and conducive to interaction among all the participants.
Chairpersons should not attempt to steer the direction of discussions, except to keep them
focused on the topic at hand. Their job is to promote participation by all present and to
encourage people to speak openly and frankly. In addition to competent chairpersons, a
productive review requires skilled and experienced individuals who can lead discussions,
where critical comments are accompanied by constructive suggestions. Senior scientists can
play a lead role, helping to structure the discussion and stimulate less-experienced scientists
to think about alternative approaches and ideas. Where there is no established tradition of
open critical debate of this kind, there may be few people who can take on this role. Without
good leadership, an internal review may become ritualistic and contribute little to research
management. There is always the danger that it may become an exercise in show-and-tell with
no critical discussion. Rapporteurs should take notes during the discussions and then compose
written summaries of the discussion sessions and the conclusions reached. This sort of record
can be very important in guiding future research plans. A balance should be kept in the review
between planning future work and reviewing the previous years research. It is often useful to
have separate discussion sessions on these topics. Here again, small groups may be useful for
discussing issues and problems in depth. Scientists should be encouraged to present brief
summaries of their work - there is often a tendency to report too much work in too much
detail at internal reviews. Presentations should be kept short and focused on the goals of the
work in question, on significant results, and on lessons learned, rather than on the details of
research methodology. The timing of the review is determined by the seasonal nature of
research and by the institutes calendar of reporting, planning, and budgeting. If the internal
program review includes field visits to inspect research plots, the timing should then be
determined by the calendar. However, the preferred time is usually at the end of the annual
planning cycle, when results for the period can be reviewed and plans can be prepared for the
coming year. Where this is not a good time for field visits, seminar sessions with audiovisual
support may be used. One of the benefits of well-organized internal reviews is improved
reporting. Internal reviews encourage researchers to collect, document, and organize their
data by enforcing a schedule for reporting projects in standardized formats. These reports can
later be revised for publication in the institutes annual report, and they are valuable resources
for retrospective evaluations, for research planning, and as a record of what research has been
conducted.


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Chapter 3
Reporting on Research Progress

1.0 What is Progress Reporting?
Progress reporting is an administrative device for gathering timely and accurate information
on research activities, inputs, and outcomes. It is usually done to satisfy the information needs
of the government, producers groups, or donors by documenting and communicating about
research activities. It allows managers to compare the progress of a research activity against
planned targets and to identify any significant deviations. Periodic reporting is most useful
when it integrates the flow of information with decision making at different levels of the
national research system. Reporting may be done on a fixed schedule or at key points in
research implementation. It can be done at different management levels and for different
purposes. Reporting can help inform research managers about the implementation of research
activities and identify current and potential problems that need solutions. A management
information system also contributes to this process because one of its main functions is to
produce regular updates on research progress (see the digest on management information
systems). The most common reporting in national research systems is annual reporting.
Researchers prepare annual technical reports on their experiments or trials, and these are
submitted to research managers. Sometimes these reports are presented in a formal annual
internal program review (see the digest on internal program reviews) organized by the
research institute or in other scientific meetings or seminars. When reporting is formalized, as
when annual reports are presented during an annual review meeting, there is a regular flow of
information for decision making at different management levels. Reports, then, become useful
tools for research management.
2.0 Usefulness
The value of research reports is often underestimated by both scientists and managers, with
the result that reporting is not given a high priority in the institution. Researchers usually
prepare annual technical reports on their experiments, but research results may never be
written up in amore usable form or included in more comprehensive project, program, or
institute reports. Instead, research results are neither systematically analyzed, synthesized, nor
made available for decision making research information may remain in technical reports,
filed away in archives and libraries. Reporting is often considered a burdensome requirement,
but it is well worth the effort. Research progress reports provide managers with information
for making management decisions. They are also a means of documenting scientific
achievements and disseminating results to users. The lack of proper and timely reports is a
major weakness in many research systems. But appropriate procedures, rewards, and
sanctions must be in place to ensure their production.

Reporting is the process of gathering, summarizing, and presenting timely information
on research inputs, activities, and outcomes. Reporting is done at different
management levels and often follows a fixed schedule. The most common kind of
report in research institutes is the annual scientific report prepared by researchers on
projects or activities. Other kinds of reports include quarterly reports, project
completion or terminal reports, and special reports. Reports keep managers and other
interested parties informed about research accomplishments, and they help identify
current and potential problems that need attention. Preparing concise reports that are
used by peers and by management for decision making can be motivating for
researchers and can enhance research performance.

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Good management requires a flow of information from the researcher, where
experiments are carried out, to higher levels - project, program, institute, and national
policy - where broad decisions are made. The research manager at each level
supervises the preparation of subordinates reports, which can then be consolidated
into a readable summary. These summaries should be written in terms that can be
used in higher management levels and that relate directly to the policy environment and
the needs of the person who will be using the report. Most researchers know how to prepare
technical reports, but few have any training or experience in writing for nontechnical
audiences - policymakers, clients, or the public in general. The translation of research results
into nontechnical language is a special skill requiring training and expertise that are lacking in
many research organizations.

3.0 Preparing Progress Reports
The reports that most research organizations are familiar with are those required by funding
agencies, whether government agencies or external donors, for accountability purposes. These
usually follow a specific format and require detailed information on disbursements of funds.
The organizations own reporting requirements usually differ from those of its funding
agencies, but whenever possible, the organizations reporting process should coincide with
that of its funders. If it sets up a similar format and organizes reporting requirements around
the same time frame as its funders, the process of collecting, analyzing, and writing up
information will be much more efficient and less burdensome. The process can also be made
more efficient if there are clear guidelines for reporting. These should include specific
formats for presenting information, deadlines for submitting materials, and an indication of
what kind of information is desired. (Should there be a detailed discussion of the
methodology, for example, or just a brief summary? Should there be tables of data or just a
short description of the results?) There are several different kinds of reports that can be useful
to a research institutes. Each of these differs in its purpose and audience, and probably in its
format and scheduling as well. The following questions can help research managers determine
what kind of report they require, the information that should be included, and the way it
should be presented:
What is the purpose of the report?
Who will use it?
How much information will they need and in what form?
Who should write it?

4.0 Kinds of Reports
The kinds of reports that research managers are most likely to encounter are listed below:

4.1 Annual progress reports
are the most common type of report prepared by researchers and are usually technical in
nature. They sum up the achievements of a research project or activity during the year, with
an analysis and interpretation of data collected during that time. This information allows
managers to assess the scientific quality of the project. An annual report may also contain
financial information comparing actual and planned disbursements. The annual progress
reports of related research activities prepared by individual researchers can then be
consolidated into annual project reports by the project leader. And these, in turn, can further
be consolidated into program reports and used as a basis for the institutes annual report.
The format used for reporting should be simple and should highlight important information.
Having all researchers in an organization use a standardized format facilitates the comparison
and synthesis of information across many research activities and projects. Standardization is
essential if the information in the report is going to be computerized. The basic format of an
annual progress report for a project might include the following:
title of project or activity
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names of researchers involved
abstract of the report
objectives and expected outputs
methods used
principal findings or achievements (with data analysis and interpretation)
conclusions and economic benefits
problems and possible solutions

With some modifications, this format could also be used in preparing an annual program
report. The annual program report should synthesize the results of all the component projects
and include highlights of the scientific achievements of the institutes research programs.

4.2 Project completion reports
Reports are generally prepared at the end of a donor-funded project and summarize the goals,
activities, and main achievements of the project. They can also be very useful in the
preparation of an organizations routine periodic reports. A project completion report may be
very long because, in addition to the content listed above for annual reports, it may also
include the following:

significant technical achievements (description of technology generated or verified)
significant findings for policymakers and development planning
new research areas for future projects
lessons from project implementation that are relevant to future projects
appropriate indicators for future impact assessment

The project completion report should start with an executive summary containing a brief
discussion of significant findings and issues.

4.3 Quarterly financial reports
They are typically required by government and donors and contain information on the actual
disbursement of funds for a given quarter, along with a brief description of the technical
aspects of a project. They are usually prepared by the project leader for submission to the
research institute director, program leader, or donor.

4.4 Special reports
They are related to specific aspects of project implementation are sometimes needed.
Examples of special reports include field evaluation reports, which may be prepared by an
evaluator during a visit to an experiment site to observe research work. These reports contain
the evaluators comments on such things as research design, implementation, achievements,
problems, and recommendations. Technology reports describe details of technology
recommended for clients use. They may be prepared by researchers and they usually describe
the specific agroecological and socioeconomic conditions under which the technology may be
applied, along with the benefits that may be derived from it. Reports on impact studies may
be prepared by an evaluator after research results have been disseminated. They assess the use
and effect of research results on producers, consumers, the economy, or the environment.








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4.5 Sample Report C
Technical Report
Project Title: Zero Tillage with Chemical Weed Control in Corn
Project Leader:
I. Introduction
Rolling terrains planted with corn normally exhibit high rates of soil erosion when
conventional tillage and inter-row cultivation to control weeds is practiced (Oliva et
al., 1990). Likewise, even flatlands constantly tilled suffer tremendous loss of soil
particles and nutrients by forces of nature such as strong winds and torrential rains
(Sanchez, 1976). This situation necessitates other alternative weed control measures
which consider soil conservation. Zero tillage, using herbicides to control weeds in
corn, may be a reasonable option to conventional weeding practices of corn farmers.
This study has the following objectives:
1. To determine the efficacy of herbicides applied singly or in combination for weed
control
in corn at C_;
2. To evaluate the grain yield performance of corn under zero tillage technology;
3. To analyze the profitability of corn farming from the use of herbicides against
conventional
tillage and cultivation.
II. Materials And Methods
1. Based from results of studies on-station the following treatments were verified and
evaluated on-farm in C_:
Treatment 1 - Basta (Glufosinate ammonium, 0.2 kg ai/ha)
Treatment 2 - Basta + Pendimethalin (Herbadox) + Atrazine (0.2 + 0.33 + 0.75 kg
ai/ha)
Treatment 3 - Basta (0.4 kg ai/ha)
Treatment 4 - Basta + Pendimethalin + Atrazine (0.4 + 0.33 + 0.75 kg ai/ha)
Treatment 5 - Off-barring + Handweeding + Hilling-up
Basta was applied by spraying the experimental area 5 days before planting, while
pendimethalin and atrazine were applied just after planting the crop. For treatments 1
to 4, corn seeds were planted by dropping seeds into holes made by dibbling. A
planting guide was used to make two rows of plants at 1.75 meters distance, between
rows by 0.5 meters distance per hill at 2 plants per hill. Treatment 5 (farmers
practice) was done with the usual tillage before planting and inter-row cultivation.
Off-barring was done from 14-20 DAP and hilling-up was done at 25 to 30 DAP.
Handweeding was done before hilling-up.
2. Handweeding had provided the farmers with self-employment or with the
opportunity to employ other (opportunity cost). However, the time saved for
handweeding from the use of chemicals in other treatments might be used in other
equally beneficial farming activities which might increase family income, e.g., animal
raising, fruit tree raising, etc.
3. Herbicide cost is continuously increasing, hence the sustainability of the
technology becomes very shaky and erratic. There is even the possibility of chemical
hazard posed to people and environment.




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4.6 Sample Report D
5.0 Report Format for Ongoing Project
5.1 . Basic Information
1. Study Title: Yield Performance of Different Rice Lines Tolerant to Saline Soil
2. Researcher: F.L.S.
3. Implementing Unit: Department of Agriculture
4. Status of Research: Ongoing
5. Level of Research: Adaptive (Varietal)
6. Source of Fund: P.R.I.
7. Financial Report:
CY 199__ CY 199__
Approved budget 21,000.00 13,258.30
Actual released budget 21,000.00 13,258.30
Actual expenditures 16,148.35 12,232.25
5.2 Significance of the Project
Generally, rice lands along the northern coast are salt-affected areas. This is brought
about by salt water intrusion. Salinity is a problem in these places and is seasonal in
nature; that is, salt level increases towards the dry season. These farmers have small
landholdings and their livelihood is mostly dependent on this small parcel of land.
During the dry season, these areas are not productive because of the presence of salt
water in the fields, which in effect destroys the capability of the rice plant to grow.
Rice production therefore, is not possible in the saline soil-affected areas. In
consequence, the farmers cannot progress economically because they can only make
use of their lands once; they must then be left fallow for the rest of the year. The
introduction of saline soil-tolerant varieties could greatly alleviate the plight of these
farmers because such a development would mean they can be productive throughout
the year, especially during the dry season.

5.3 Objectives
1. To evaluate saline-tolerant rice varieties that will adapt to the local condition.
2. To identify rice varieties tolerant to saline soil with sustainable production
performance.
5.4 Research Highlights
1. Statement of Procedure/Methodology
The trial was established during the dry season of 199_ and 199_ at M_ and A_,
respectively. The seed, consisting of 12 different entries/lines, were provided by
P.R.I. as part of an NCT (National Cooperative Trial) on salinity field performance. It
was laid out in RCDD and replicated three times. There were 7 rows per plot, spaced
20 cm between each row. The length of each row measured 6m, while hills were
spaced 20 cm in between. Fertilizer application was based on the Soils Laboratory
Analysis at the rate of 80-20-0 and 50-20-0 for M_ and A_ sites respectively. These
were applied in two split applications done during planting and panicle initiation
stage. Weed control was done manually. Diseases were not controlled, but insect pests
were checked using chemicals. Harvest area included the 6 middle rows or 1 m by 5.6
m excluding both end hills of each plot. The grains were threshed, dried, and cleaned
immediately after harvest.
Monitoring of activities was done weekly. Data collected were: pest and disease
incidence, yield, total weight, days to heading and maturity, plant height, number of
productive tillers, and cumulative lodging. Salinity tests for soil and water were
29
monitored and analyzed weekly using UPLBS rapid test for salt content in irrigation
water, where:

This was carried out by getting soil and water samples from the site and treated these
using the test kit. Results were determined immediately.
Salt injury level was also scored through ocular method using the following criteria:
a. Continuous growth and tillering
b. Continuous growth and tillering, but leaf tips or upper half of the leaves are rolled
c. Continuous growth and some tillering, some rolled leaves
d. Cessation of growth and tillering, most leaves are rolled, only few are elongating
e. Complete cessation of growth, some plants are dying and most leaves are dry
f. Almost all plants are dying
2. Comments and Action Taken
Continue the project and monitor salt injury level and salt content.
3. Significant Accomplishments
The trials were established during the dry season of 199_ and 199_. Result in 199_ at
N_ showed that line/entry # 1 gave the highest mean yield followed by entry # 7, with
corresponding yields of 4.55 t/ha and 4.40 t/has respectively. The lowest mean yield
was obtained by entry # 5 with 1.90 t/ha. Statistical analysis showed highly significant
differences between entries.

There was a dry spell during the course of the trial. Some entries recovered when
rains started during the second half of the trial, but entry # 5 and # 9 were adversely
affected in terms of yield. Table 3 shows the salt level content of soil and water,
which registered a high of 10, but dramatically decreased when rains came. Five
drops for the test is the allowable salt content level where the rice plant can best
thrive. Naturally, the salt injury level was also high during the duration of the dry
spell. Accordingly, it registered 3 where there was continuous growth and some
tillering, some rolled leaves (table 4). Results in 199_ at A_ site, on the other hand,
showed that only 6 of the 12 entries obtained yield while lines 3, 4, 6, 10, 11 and 12
did not reach harvesting stage because they were heavily infested with bacterial leaf
blight and grassy stunt virus diseases. Furthermore, line/entry # 3 and # 4 were
suspected to be adversely affected by the salty water and soil because salinity was
observed as early as the transplanting of the entries (table 3). Line/entry # 7, which
was a new entry, gave the highest mean yield of 4.19 t/ha followed by entry # 8 with
3.75 t/ha and the lowest yielder was entry # 2 with a mean yield of 2.72 t/ha.
Statistically, there was a highly significant difference between lines/entries and a non-
significant difference between replications. The entries/lines for 199_ and 199_ gave
different performance in terms of ranking in yield. While entry # 1 was the highest
yielder during 199_ it went down to fourth place in 199_. Entry # 5, which was the
lowest yielder during 199_ trial, rose to third place in 199_. Entry # 7, which was a
new entry, registered the highest mean yield in 199_. The different results can be
attributed to different locations and circumstances in the conduct of the trials. 4.
Problems Met/Recommendations
30
The low yield of the entries for both 199_ and 199_ trials was attributed to the dry
spell that had occurred in the area. In A_, the high salt content of the soil and water
caused the dying of most plants for lines/entries # 3 and # 4.



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32
Chapter 4
Impact Assessment

1.0 What is Impact Assessment?
Impact assessment attempts to estimate the effects that research has had in the past or that it
may have in the future. There are many different kinds of effects or impacts and different
ways to measure them. An impact assessment may look at whether clients accept or reject
new technology, or it may focus on increases in yields and production that can be attributed to
new technology. It can also estimate changes in income, employment, nutritional status,
pollution, erosion, or rural-urban migration. Impact can be examined from two perspectives:
after research is completed (ex post) or during planning (ex ante). Research managers often
use ex post impact assessments for positive information on results to justify requests for
continued funding and support. Ex ante impact assessments may be done as an aid to priority
setting - to estimate the future benefits of different research projects. Most impact
assessments are sponsored by development agencies and serve their own decision-making and
accountability needs. Institutes seldom carry out impact assessments themselves, although
many research managers and policymakers realize that impact assessment is useful in setting
research priorities and demonstrating results. The most common types of impact studies
carried out for research are adoption studies and economic evaluations (rate-of-return
studies). Relatively few social or environmental impact assessments have been done, but there
are increasing demands for them.

2.0 Usefulness
The main benefits of impact assessment are listed below:
Impact studies can motivate researchers by providing feedback from the farm
community and other research clients on the use and effects of research results.
Adoption studies can help researchers refocus their research efforts by providing
insights into clients assessments of new technologies (vis--vis their current
practices) and into farm-level adoption processes.
Ex post studies can provide managers with evidence of the value of research, to argue
for continued investments.
Ex ante assessments can provide managers with a basis for allocating resources
among competing research demands.
Lessons learned from impact assessments can be used to improve future research
strategies, plans, and management.
Impact assessments can show how economic policies and technology interact in
determining the ultimate benefits of research. This can be useful for discussions
between research leaders and policymakers.

Impact assessment in the broadest sense is evaluation of the effects of research.
Various kinds of effects can be assessed, including changes in yield, production,
income, food security, social welfare, and the environment. Different methods may be
used to assess these impacts, but in each case, the purpose is to provide managers,
scientists, or those who sponsor research with indications of its benefits or negative
effects. Assessments done after research is completed (ex post studies) can extract
lessons to improve the design of future research. They also provide an indication of
the magnitude of benefits (or problems) that have resulted from research. Assessments
done when research is being planned (ex ante studies), or while it is still underway,
33
can provide information to help decision makers identify the most promising
directions for future research.

In research, impact assessments have been used mainly to estimate economic returns
to research investments and the diffusion and adoption of new technologies.
Economic studies (generally of successful cases) have produced very positive results,
which have been used to justify continued support for research organizations and
programs. The systematic use of impact assessments in planning or reorienting research is
less common. Research managers and policymakers need a better understanding of how
impact studies can be used for decision making. But they also need to understand what is
required to do impact assessments; they tend to underestimate the time and resources needed
for these kinds of studies.

3.0 Doing Impact Assessment
Impact assessment involves estimating the effects of research or new technologies. Many
different types of effects may be examined, but assessing any one of them in any depth can
take considerable time and money. For this reason, the first task in impact assessment is to
focus the study by asking, Why is it being done? What information is needed? What research
effort or technology should be evaluated? And what types of effects should be assessed? The
focus of an impact assessment should reflect the purpose of the evaluation, who is requesting
it, what their interests and information needs are, and how the results will be used. It should
also take available resources into consideration (including trained and experienced personnel).
If the principal purpose of an impact assessment is to estimate the benefits of research in a
way that is comparable to other public investments (such as public health or credit programs),
then an economic rate-of-return study may be appropriate. If, on the other hand, there is an
interest in understanding the distribution of benefits among different farming groups or
different regions within a country, a more descriptive and illustrative adoption study may be
called for. If there is a concern for the effects of a new technology (such as a pesticide or a
new tillage system) on pollution or soil erosion, then an environmental impact assessment
may be needed. In each of these cases, the impact assessment would attempt to estimate the
effects of research on the selected variable, be it agronomic, economic, social, or
environmental. Adoption studies generally trace the results of innovations from the research
station or on-farm trials through networks of adopters. These studies analyze the underlying
patterns of adoption and the use of new practices. Adoption surveys use interviews to see if
they are using improved technology, to look at its effects on farm production, and to
determine how research activities can be reoriented to make technologies more useful. They
attempt to determine why a technology is or is not being used and compare the benefits of old
versus new technologies. Again, no single approach is best, but the general steps are as
follows:

Select the technology to be evaluated.
Identify the central issues and questions to be asked.
Design data collection and analysis.
Field-test instruments and make adjustments if necessary.
Collect the information.
Analyze the information.
Present the results and recommendations.

The results are normally presented in terms of percentages of adopters, changes in yield, and
the reasons for the technology not being adopted or its use being discontinued. Analysis of the
reasons for the technology being rejected can be used to guide or reorient research strategies.

34
Economic impact assessments generally estimate the economic benefits produced by research
in relation to associated costs. The methods employed in economic evaluations are outlined in
this sourcebook in the digest on economic evaluation.

Social and environmental impact assessments are concerned with the broader effects of a
research project or activity on society and the natural environment. Such assessments go
beyond the examination of economic returns and look at the effects on such things as cash
flow, labor, or health. There has been relatively little work in this area, partly because of its
complexity. However, with increasing social and political concerns for environmental issues,
this is now a growing area of interest. Assessing the effects of research is complex and costly
for three reasons. First, it is quite difficult to measure changes in yield, production, nutritional
status, and erosion, and it requires costly fieldwork and analysis. Research organizations often
lack the personnel and operating funds needed for this, especially when several growing
seasons are required for changes to be measured in most yield and production systems. Trends
in dryland agriculture, for example, cannot be measured in fewer than eight cropping seasons.
Second, even where a change can be measured, it is extremely difficult to attribute it to
specific research activities. For example, in an area where potato yields or milk production
has increased, how can the contribution of research versus that of extension, credit programs,
and improvements in market conditions be estimated? Third, research managers,
policymakers, donors, and the public all tend to be impatient and to want impact estimates
when research is still underway or has just recently been completed. This is neither realistic
nor possible. There is often a considerable time lag between the time research is started, a
new technology is released, and impacts can be measured - often as long as 10 to 15 ears.
More than other types of evaluation, impact assessments tend to be carried out as research
studies leading to formal publications. They generally employ scientific methods drawn from
economics and the social sciences and often use indirect measures or indicators of impact
because the effects of technology on farm-level production, nutritional status, pollution, and
the like cannot be directly measured. To cope with this problem, production-function models
are often used to estimate the effects of research or technology on production, incomes, and
associated variables. Numerous assumptions are also often made to overcome data limitations
and to simplify economic models. Research managers and policymakers tend to be skeptical
of the data and methods used in impact assessment; they may also find the reports difficult to
understand, interpret, and apply. This highlights the need to plan impact studies in terms of
real information needs (rather than peer interests), to pay close attention to data quality, and to
make special efforts to summarize the findings. It is extremely important for results and
recommendations to be presented in terms that are meaningful to policymakers, managers,
and scientists.

References
Javier, Emil Q., Priority setting and resource allocation in agricultural resarch at the
national system level." in ISNAR, International Workshop on Agricultural Research
Management. 7-11, September 1987. The Hague, 1988.

Dagg, Matthew. Research program formulation. Paper prepared for the
International Seminar on Management of Agricultural Research, Beijing Agricultural
University,
Beijing, China.25-27 May 1992.

ISNAR. Sustainability: some general principles., in Summary of Agricultural
Research Policy, ISNAR 1992.

Horton, D. Two institutional aspects of impact assessment: evaluation of and in
national
35
agricultural research systems. Paper presented at the workshop on Assessment of
International Agricultural Research Impact. Cornell University, Ithaca, New York
June 16-19, 1991.