Báo cáo nghiên cứu nông nghiệp " Developing an Agricultural Research and Development Priority Framework for Vietnam "

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The primary objective behind Research & Development (R&D2) priority assessment is to determine the broad research programmes that will provide Vietnam with the greatest return on investment in R & D provided by government and other major stakeholders. Priority setting is the central issue of research and extension management. It is a complex task. It must be done in a systematic framework able to allow the results to support open and robust decision-making about research and extension resource allocation and management. The highest priority R & D is that which has the highest economic, social and environmental value to the nation....

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Developing an Agricultural Research and Development Priority Framework for Vietnam Workshop Forestry Sub-Sector WORKBOOK June 2007
2 WORKSHOP TIMETABLE Date and Time Registration Workshop opening, briefing, introductions Strategic context and methodology for setting R & D Priorities in Vietnam Data and Evaluation Sheets – Summary of Data Sheets and Use of Evaluation Sheets General Discussion Working Group Formation and Discussions Assessing potential benefits Assessing adoption likelihood Assessing scientific potential Assessing research capacity Results and interpretation of priorities Priorities within ARDOs Wrap-up session Close Forestry Research and Development Priorities for Vietnam
3 WORKSHOP OBJECTIVES  Assess the national priorities for fisheries research and development in Vietnam  Develop a plan for developing priorities and implementation strategies for each of the ARDOs following the national workshops WORKING IN GROUPS All participants will be seated in mixed pre-selected groups. The majority of work will be in these groups. The composition of groups will be changed as needed throughout the workshop. There are some basic “rules” for working effectively in workshop groups:  recognise that each person’s opinion is valid  take responsibility  for contributing  for understanding  2:1 rule  criticise but after positive feedback  listen actively  use ‘and’ instead of ‘but’  express yourself concisely  keep to time  turn off mobile phones – use only during coffee and lunch breaks For each workshop session:  make sure people are allotted the task of taking notes  watch the time Discomfort zone: issues may arise during the workshop that either cannot be resolved quickly or are not appropriate for the workshop. These issues should be recorded in the “discomfort zone”. Forestry Research and Development Priorities for Vietnam
4 EXPECTATIONS OF WORKSHOP/PARTICIPANT INTRODUCTION [Purpose is to ensure participants know who is there, where they come from, what skills are represented, and consolidate expectations of the workshop] Group discussion Each participant  Who am I – name, affiliation, responsibility, interest/experience  What I want to happen at this workshop  What I don’t want to happen at this workshop [2 minutes per person] Tables  Pool expectations  Decide on 3 cards per table for each of wants and don’t wants Report back One person from each table to provide brief pen picture of the table (2 min per table) Facilitator collect, group, paste cards [Reporting to be on CARDS to enable visualisation of the output of each session and typing of each session’s work for distribution to participants] Forestry Research and Development Priorities for Vietnam
5 STRATEGIC CONTEXT FOR FORESTRY R&D IN VIETNAM [Purpose is to develop a common understanding of the main issues facing the crop sub-sectors in Vietnam to provide the context for priority setting] Table Discussion  What are the major issues external (national and international) to this sector that have important implications for the future  What are the major issues internal to this sector that have important implications for the future Identify the issues and implications, recording issue and implication on different coloured cards Half tables consider external issues and half tables consider internal issues NOTES Forestry Research and Development Priorities for Vietnam
6 RESEARCH & DEVELOPMENT PRIORITIES METHODOLOGY OUTLINE OF THE PRIORITY SETTING METHODOLOGY1 INTRODUCTION The primary objective behind Research & Development (R&D2) priority assessment is to determine the broad research programmes that will provide Vietnam with the greatest return on investment in R & D provided by government and other major stakeholders. Priority setting is the central issue of research and extension management. It is a complex task. It must be done in a systematic framework able to allow the results to support open and robust decision-making about research and extension resource allocation and management. The highest priority R & D is that which has the highest economic, social and environmental value to the nation. Choices must be made about the Areas of Research and Development Opportunity (ARDO) to support, and which not to support. If there are no established priorities, then the choices made will be unlikely to produce results of maximum benefit to Vietnam. At worst, the results will be irrelevant and provide no return for the public investment involved. Figure 1: Use of Priorities to Assist in Selection of Research Programs/Projects St St ro Em ro ng ph ng Se le Em asis ct ATTRACTIVENESS iv ph Y eE IT as m V TI is ph EC as L is SE D SE A RE Li C m IN it e d Su pp or t FEASIBILITY 1 CSIRO Australia has applied the basic model described here at corporate and division levels and it has been used in more than 60 other research organisations in Asia, Australia and New Zealand, USA and Europe. The conceptual analytic framework is based on the one published by the Industrial Research Institute, New York in 1986, viz: R N Foster, L H Linden, R L Whiteley and A M Kantrow, Improving the return on R&D-I, in 'Measuring and Improving the Performance and Return on R&D', IRI, New York (originally published in Research Management, January 1985). 2 Development includes technology development and transfer using transfer mechanisms including extension Forestry Research and Development Priorities for Vietnam
7 In the past the research and development program is driven by MARD staff using an allocative process. In the future MARD will fund research under an open and contestable process without bias. The aim is to improve the efficiency and effectiveness of investment into research and to develop a research environment that encourages a high degree of innovation. Under this process MARD will clarify the priorities for research investment and define the broad outcomes expected that investment. The research providers will submit research proposals and budgets that will contribute to achievement of these outcomes. In a “perfect world” those projects that offer the best value for money will be supported. There is a range of methodologies available for R & D priority setting. Selection of the most appropriate methodology for Vietnam is driven by: 1. The need to use a consultation process that involves a large number and diverse range of stakeholders; 2. The need to develop ownership of priorities amongst MARD and research institute staff, farmers, exporters, processors and marketers. 3. The absence of detailed and reliable statistical data on production, profitability, and markets; 4. The need to move from R & D focussed on production and subsistence/food security to R & D emphasising profitability, quality, marketing and commercial systems; 5. The need to use an objective process that evaluates the likely economic, social and environmental benefits to Vietnam; 6. The capacity to undertake appropriate research. An important principle is to implement the process and learn from experience, doing what make sense rather than worrying about academic perfection. THE METHODOLOGY Specific principles about priority setting include:  Consider areas that are easily related to the benefits from research (the purpose of the research) not research disciplines – often called Areas of Research and Development Opportunity (ARDO)  These areas should be mutually exclusive and collectively exhaustive, consistently based, forward looking and manageable in number  Linked to and consistent with the research financing the process  Criteria are independent  The criteria used should consider: o The potential economic, environmental, social, institutional and scientific benefits from successful R&D o The context within which R&D products and services will be used o The state of development of required research tools and techniques and the health of appropriate disciplines o The availability of research skills and infrastructure  Importantly, priorities are relative; the lower the priority of an area the greater the selectivity in choosing projects within them, as illustrated in Figure 1. Forestry Research and Development Priorities for Vietnam
8 The model recommended for use in Vietnam is a five-step process. 1. Define broad Areas of Research and Development Opportunities (ARDOs) at he sub- sector level 2. Prioritise ARDOs at the sub-sector level 3. From the results of the sub-sector prioritisation establish ARDOs at the sector level (these may combine some of the sub-sector level ARDOs into a larger grouping. 4. Prioritise ARDOs at the Sector level 5. Prepare workshop reports and a National R&D Investment Portfolio and Policy Statement Members of the Monitoring and Evaluation Network have benefited from training in the priority setting methodology and have facilitated a pilot work designed to develop competence in the methodology and in workshop leadership and facilitation. It may also be useful at the sub-sector level to identify the research strategies (inputs) such as biotechnology, nutrition, pest and disease management etc that are likely to provide the largest gains in high priority ARDOs. ARDO Definitions The final form of ARDOs will need to be decided and approved. A logical approach is to develop ARDOs at the sub-sector (Crops, Livestock, Forestry, Fisheries etc) level first and use the methodology to prioritise them. From the results of these workshops a sector set of ARDOs could be prepared. This will involve debate and in some cases compromise. At the Sub-sector and sector level it is desirable to have less than 15 ARDOs as larger numbers become unmanageable. Large high priority ARDOs within a sub-sector may become a sector ARDO, but smaller and lower priority ARDOs may be aggregated. For example sheep and goats may be aggregated into small ruminants or maybe beef, dairy, sheep and goats into ruminants. ARDO need to be defined in terms of goal, scope and coverage. The goal describes the results expected from all the research in the ARDO - e.g. for fruit “Improved yield, quality, safety and potential to access high value markets”. Scope defines the broad research input areas (disciplines) and Coverage the species or scale of production. As an example the “Pilot Workshop” developed some definitions – e.g. Pigs National Goal: Enhanced productivity and profitability of the pork industry Scope: research that enhances the breeding, husbandry, nutrition, disease management, production systems, hygiene, waste management, quality management, transport, marketing and system integration Coverage: small to medium-scale piggeries Ruminants National Goal : Enhanced productivity and profitability of the ruminant meat and milk industries Scope: research that enhances the breeding, husbandry, nutrition, disease management, hygiene, waste management, quality management, transport, and marketing of meat and milk Coverage: beef, dairy cattle, goats and sheep Industrial National Goal : Enhanced productivity, production area planning and crops profitability of industrial crop industries Scope: research that enhances the yield, pest and disease management, Forestry Research and Development Priorities for Vietnam
9 quality, post harvest storage and handling, processing, marketing of existing and new crops, sustainable use of natural resources Coverage: rubber, pepper, coffee, sugar cane, tea, coconut, cashew and oilseed crops Aquaculture National Goal: : Enhanced restocking of natural resources, productivity and profitability of aquaculture industries Scope: research that enhances seed production, nutrition, husbandry, disease and aquatic resources management and environmental management Coverage: land-base and marine species - crustaceans (shrimp, crab, lobster), finfish (grouper, tilapia, carp, snapper, bass, milk fish, mullet), molluscs (clam, oyster, shell, pearls), seaweed and plankton ARDO Priorities The model used to form R & D priorities is a relatively simple. It asks participants to evaluate the overall merit of R & D investment in each ARDO, in terms of Attractiveness to Vietnam and its Feasibility in Vietnam. A scoring scheme is used to compare and rank the ARDOs. Scoring is an effective way to allow a group to take all factors critical to the decision into account in a logical and open way. The relative scores for each ARDO are developed in structured group discussions in terms of four independent criteria. These are: 1. Market & Production Potential Benefits for Vietnam 2. Factors Working For & Against Achievement of Potentials 3. Potential Contribution of R & D to Development 4. R &D Capacity Within Vietnam The relationship between these four criteria is shown in the assessment framework below. The relative rankings and positions of the ARDOs are important. They indicate the best “areas” for research and/or extension investment. When the priority-setting group represents researchers, extension workers and academics, farmers, politicians agricultural industry and other stakeholders, the methodology ensures that the best recommendations possible at the time are made. Forestry Research and Development Priorities for Vietnam
10 An example of the outcome of the priority setting process Figure 1. Plot of attractiveness versus feasibility for a hypothetical set of eight ARDOs showing their priority rating on the basis of their return to Vietnam. RETURN FROM R&D FOR EACH AREA OF RESEARCH OPPORTUNITY 100 90 8 1 80 70 3 60 5 Attractiveness 50 40 6 7 30 4 20 10 2 0 0 10 20 30 40 50 60 70 80 90 100 Feasibility In Figure 1, two ARDOs (# 1 and # 8) score the highest for both attractiveness and feasibility. They are located in the top right hand corner of the graph. They warrant strong research and extension emphasis, and are the highest priority group of ARDOs. Those located more towards the centre of the graph (# 3, # 5, # 6 and # 7) warrant selective research and extension emphasis and can be classed as moderate priority. The two with low scores for both attractiveness and feasibility (# 2 and # 4) justify only limited support and have a low priority. ARDOs # 3 and # 5 have similar attractiveness scores, but ARDO # 5 scores higher on feasibility. In this hypothetical example the lower feasibility score for ARDO # 3 occurs because the skills available to carry out the research and or extension are considered to be inadequate. When the necessary skills are acquired, the two ARDOs would otherwise be equal claimants for research resources. Attractiveness is determined by factors other than research and extension, such as markets, profits, employment, social and cultural benefits, so while ARDOs # 5 and # 7 have similar feasibility scores, # 5 is more attractive, and could be allocated more resources for research and extension. Priority Products within ARDOs The ARDO scope lists all of the commodities/products within each ARDO. At the sub- sector level workshops it may be useful to use a simple process to rank these based on the views and perceptions of workshop participants. At the end of this process, high priority crops within high priority ARDOs will be defined. This will provide guidance on where to focus the research effort (i.e. the scope) should be but will not provide guidance on what aspects of research (the nature) should be undertaken. Research Strategies Once high priority crops within high priority ARDOs have been determined it is useful to assess what areas of R & D inputs should be emphasised. The question to ask is, what R & D inputs (R & D disciplines) are likely to provide the greatest impact. Impact is normally a function of the size of the response expected, the length of time it takes to obtain that response and if the response is permanent. For example traditional plant breeding normally produces relatively small responses, they usually take a long time to achieve, but any gains made are permanent (or almost so). On the other hand fertiliser Forestry Research and Development Priorities for Vietnam
11 applications often provide large benefits, in a short space of time, but usually are non- permanent (i.e. fertiliser applications often have to be applied each growing cycle). The priority setting process can also be used to establish the key research strategies within each ARDO. In the absence of detailed data on each of the high priority products within high priority ARDOs, a matrix of broad research strategies is a useful approach. An example is: Area of Research Input or Includes Strategy 1. Cultivar Evaluation Recommendations for improved crops in Vietnamese environments and for different markets. Includes breeding, selection and evaluation of crops yield and quality in different ago-ecological environments and for resistance/tolerance to pest and diseases. 2. Genetic Improvement New and improved genotypes. Includes traditional breed improvement (selection) and development of new genotypes, breeding for improved resistance, tolerance to pest and diseases 3. Agronomic Improvement Improved plant husbandry techniques to increase yields and quality and includes propagation, establishment, weeding, pruning, shade, cultivation, crop loading 4. Crop Nutrition Improved yield, quality and profitability through efficient and effective fertiliser use and water management practices. Includes suitable soils, fertiliser requirements, fertiliser types, organic fertilisers, irrigation and mulching 5. Pest & Disease Management Development of improved integrated pest management practices and biological control of economically important weeds, pests and diseases. Includes chemical, physical, biological, integrated pest management, pest surveillance 6. Harvest/Post Harvest Improved harvest and post-harvest techniques to maximise the quality and Management value of crops. Includes harvesting, drying, handling, storage, transport, quality management 7. Processing Adding Value Adding value to primary product or produce through processing it to a more viable product or improving on the characteristic or performance of the original product. Includes development of quality standards, sorting/grading, processing, new product development, use of by-products 8. Market Facilitation Improved understanding and translation of market requirements for commercial and semi-commercial farmers. Includes market information and requirements, market access and pathways, linkages with exporters/processors, procurement systems 9. Economic Evaluation Development and advice on options for profitable farm production, processing and marketing. Includes gross margin analysis, profitability, financial impact, benefit : cost analysis 10. Alternative Production Development and testing of profitable new crop production systems. Includes Systems organic production systems and multi-tiered crop production systems such as agro-forestry. 11. Technology Transfer To improve on technology transfer delivery systems and adoption of improved technology by farmers through consultation, collaboration and understanding of farmer needs. Includes seminars, field days, mass media, and alternative extension delivery systems. The priority setting methodology could be used to prioritise the research inputs for each of the high priority crops/products identified. Prioritisation will be on the basis of two Forestry Research and Development Priorities for Vietnam
12 criteria: - Potential Impact of R & D Inputs on Development and R & D Skills and Knowledge within Vietnam. The inter-relationship of these two criteria on the emphasis placed on R & D Inputs in research programs is shown below. Forestry Research and Development Priorities for Vietnam
13 AREAS OF RESEARCH AND DEVELOPMENT OPPORTUNITY (ARDO) A Preparation workshop identified ARDOs for the Forestry Sub-sector. The following areas selected comply with the principles that research areas to be compared are mutually exclusive, collectively exhaustive, consistently based, forward looking, and manageable in number. It is important also that they are independent of organisational structure, easily reflect the benefits from successful research and are not discipline-based. The areas for comparison are essentially areas of research and development opportunity (ARDO) from which benefits will arise. In summary the areas are: ARDO 1. Large Timber ARDO 2. Pulp and Small Log Products ARDO 3. Bamboo and Rattan ARDO 4. Non Timber Forest Products ARDO 5. Bio-diversity and Conservation ARDO 6. Environment and Services ARDO 7. Forest Policy Forestry Research and Development Priorities for Vietnam
14 PRIORITY ASSESSMENT CRITERIA The purpose of Vietnam’s research and extension effort in agriculture, fisheries and forestry is to maximise the return to Vietnam through income generation and environmental and social benefits. It follows that priorities should be assessed in terms of Potential Impact and Feasibility. The framework developed by the M&EN design workshop is a modification of that developed by CSIRO in Australia, as shown below. PRIORITIES FRAMEWORK Potential benefits Potential impact Likelihood of uptake Max return to Vietnam through income generation, environmental Scientific & social benefits potential Feasibility Research capacity The criteria are defined as follows: Potential impact  Potential benefits • maximum additional benefits for Vietnam (economic, environmental, social) from successful research and development  Likelihood of uptake of results • likelihood of the results of successful research and development being utilized by Vietnam Feasibility  Scientific potential • scope for growth in knowledge in the relevant scientific fields and improvements in research and development tools and techniques  Research capacity • Vietnam’s ability to competitively assemble research and extension teams to deliver research outputs to users Forestry Research and Development Priorities for Vietnam
15 PRE-WORKSHOP ASSESSMENT OF ARDOs [Purpose is to undertake a preliminary assessment of the relative priority of ARDOs against Potential Impact and Feasibility criteria to enhance the level of discussion during the workshop] 1) Read Data Sheets for all ARDOs  Carefully read all the Data Sheets (attached as a separate document) to obtain an overview of all nine ARDOs  Make brief notes in the margins of the things from your own views and experience you think are important for the on-going R&D program for each ARDO. 2) Prepare individual preliminary ARDO Scores i) Refer to the SWOT analysis for each ARDO Instructions for preliminary scoring ii) Participants should score each ARDO before coming to the workshop and make note of their reasoning to support their arguments in discussion. Space is provided in the workbook against each ARDO.  Step 1 - For each criteria in turn, read the evaluation sheet for each of the ARDOs, starting with Potential Benefits (refer to page 17 of this workbook)  Step 2 – Now, select the two highest ARDOs and then the two lowest.  Step 3 – Now, score the HIGHEST ARDOs from 6 to 7, the highest receiving 7. Then score the LOWEST ARDOs from 1 to 2, the lowest receiving a score of 1. Finally, score the MEDIUM ARDO’s from 3 to 5. The aim of the evaluation is to examine the relative differences between ARDOs, so a wide spread of scores is desirable. A low score does not mean that an area is unimportant.  Step 4 – repeat the process for the next three criteria (See pages  Step 5 – Having recorded your scores and reasoning in the Workbook for the four criteria, transfer your scores to the consolidated score sheet and bring it with you to the workshop. All scores will be tabulated and made available at the workshop. The purpose behind this procedure is to achieve as much discrimination between the ARDOs as possible. We are interested in exploring the relative differences between ARDOs. It is important to remember that priorities are RELATIVE. A low score does not mean that an area is unimportant per se. However, when resources are limited, decisions need to be made about where to focus the effort to achieve the greatest impact for Vietnam. NOTES: Forestry Research and Development Priorities for Vietnam
16 ASSESSING POTENTIAL BENEFITS [Purpose is to provide an assessment of the relative Potential Benefits from each of the ARDOs] Potential Benefits refect maximum additional benefits for Vietnam (economic, environmental, social) from successful research and development Potential benefits increaseThe larger the size – The faster the growth – The greater the reduction in costs – The higher the research intensity – The greater the positive environmental and social impact – The greater the spillover benefits Procedure: Table groups  Discuss potential benefits arising from each ARDO using preliminary scoring to initiate discussion  Record on cards the major points that arise during discussion of each ARDO – especially new and corrected information – different people at the table take responsibility for different ARDOs  Report and post issues  Each participant to re-score each ARDO  Scores collected NOTES Forestry Research and Development Priorities for Vietnam
17 POTENTIAL BENEFITS - PRELIMINARY ASSESSMENT AND SCORING Please complete your preliminary evaluation before coming to the Workshop ARDO Score Arguments and Questions 1-7 Reasons supporting your score; issues arising from data and evaluation sheets 1: LARGE TIMBER PRODUCTION 2: PULP & SMALL LOG PRODUCTS 3: BAMBOO & RATTAN 4: NON TIMBER FOREST PRODUCTS 5: BIO-DIVERSITY & CONSERVATION 6: ENVIRONMENT & SERVICES 7: FOREST POLICY Forestry Research and Development Priorities for Vietnam
18 ARDO 1: LARGE TIMBER PRODUCTION 1. ARDO DEFINITION 1.1. National Goal: Enhance the provision of large timber from natural forests and plantations to meet the needs of the wood processing and furniture industries to increase exports and national use of domestically produced timber, and reduce the import of timber. 1.2. Research scope: Research to improve productivity and quality of timber from natural and plantation forests; selection of species, tree improvement, planning and site- species specification; -matching, improvement of silviculture techniques, harvesting, wood treatment and processing techniques and marketing of timber and products of timber; sustainable forest management practices. 1.3. Coverage: -  Natural forests: native tree species commonly harvested with a focus on less known/less used species.  Plantations: Acacia spp. (especially focus on A. auriculiformis); Eucalyptus spp.; Pinus spp. (especially Pinus caribea); indigenous species: Hopea odorata, Dipterocarpus alatus, Parashorea cochinchinensis, Anisoptera spp. , Prumus arborea, Canarium spp., Endospermum chinesis, Cinamomum spp., Quercus wallichiana, Melia azedarach 2. ATTRACTIVENESS TO VIETNAM 2.1. Potential Impact:  Improvements from rehabilitation of natural forests should improve soil and water degradation bio-diversity and have positive impacts on the environment  Increased productivity from plantation forests will ease the pressure on natural forests and reduce the need for importation of wood to supply processing and value adding industries  For smallholders with opportunities to own land to produce large timber the potential to enhance income and livelihoods, or opportunities for employment by producers and processors.  The establishment of large material zones linking supply of raw materials to industrial processing zones will assist development of wood processing industries as well as the enhancing wood and wood products market which can bring benefits to marketers, processors and exporters.  Improvement of harvesting and milling practices will increase the recovery rates from processing and the returns from large timber production  Development of large timber will encourage investment for infrastructure improvement: development of processing industries, transport system (road system), communication system, and marketing…in remote areas. Those have impacts on process of industrialization and modernism in rural areas bringing benefits for rural communities.  Development of large timber can bring benefits to nation in terms of ecological environmental impacts, rapidly growth of export turn over and the contribution of forestry to GDP. Forestry Research and Development Priorities for Vietnam
19  The diversification of products made of wood in the coming time will bring benefits to different stakeholders, encouraging them to apply technologies in order to improve the quality of their products which can be compete in the world markets in case Vietnam accedes WTO. NOTES: Forestry Research and Development Priorities for Vietnam
20 ARDO 2: PULP & SMALL LOG PRODUCTS 1. ARDO DEFINITION 1.1. National Goal: To improve productivity and quality of forest plantations for pulp and small logs supply, increasing the rate of wood utilization in production of wood based panel, particle board, pulp paper and pit-wood 1.2. Research scope: Research into: Technology for seed selection and propagation for pulp and small log plantations  with high productivity. Suitable tree species in different ecological zones, especially small niche conditions.  Intensive technical systems for establishment and management of forest plantations.  Forest protection including from forest insects and disease.  Wood processing techniques and markets of small wood-based products.  Development of research to assist policy formulation for plantation development for  pulp and small log supply. 1.3. Coverage: Small logs with diameter at breast height < 25-30 cm. 2. ATTRACTIVENESS TO VIETNAM 2.1. Potential Impact:  Increased production, both through increased areas and productivity will help lower the supply and demand gap and reduce the need for imports  Is future potential for export in processed products as well as raw materials, such as wood chips or small logs for processing  Improved productivity will also improve the efficiency of utilization of existing infrastructure and encourage development of new processing facilities, which in turn creates additional employment and alleviates poverty  Improved investment policies may attract large and small scale investors and therefore improve production and job opportunities  Improved land use planning, particularly in mountainous areas will identify areas suitable for small log production and add to the work and income generating opportunities for poor farmers, thus improving the socialization of forestry.  Encouraging application of new techniques in establishment of plantation and forest product processing.  Expanding the market, strengthening the competition capacity both in domestic and international markets.  Increasing forest cover, improving environment, reducing natural disasters. Forestry Research and Development Priorities for Vietnam