National fsa training Module 18: Impact assessment studies



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Innovations


An innovation always has two components – the hardware and the software. This is clear in the case of the computer where the machine (hardware) is useless without the programs, which instruct it what to do (software). It is also true for a plant variety where we have the plants (equivalent to hardware) and the techniques for growing them (equivalent to software). It is possible that the same software can be used for a new variety as for the old variety, but we often need new techniques also for cultivation, fertiliser application, etc. to ensure optimal production by the new variety. Farmers often play an important role in developing the right kind of software. Scientists who develop new hardware in their research station should take into account the software that might be available to farmers. However, they often fail to do this. For example, they have developed many more techniques for irrigated agriculture (which could include software) than for rain-fed agriculture, although no irrigation is available for the vast majority of farmers.
Some innovations are adopted more rapidly than others because the farmers perceive them to have different characteristics. It is not the objective characteristics that are important, but how the farmers perceive them. This makes it more difficult to study them. What really matter are the changes this innovation will require in management of the farm and behaviour of the farm family, and hence in software. Does it require a change in knowledge, in skills in attitudes and/or in roles performed by different family members? Only minor changes in knowledge are required when a farmer switches to an improved wheat variety for the fifth time. However, if a farm family changes form growing food crops only for the family to growing them for market in an African village, the men might have to do the women’s job of weeding the crops. Such a change would make this innovation difficult to adopt.
A number of studies have analysed the relation between characteristics of an innovation and its rate of adoption. The following characteristics appear to be important.


  1. Relative advantage. Does the innovation enable the farmer to achieve his goals better or at lower cost than he could previously? Giving incentives to the farmer, such as by providing seeds at subsidised rates can influence this advantage. Such incentives may motivate farmers to try the innovation. However, it is often difficult for a farmer to perceive advantages caused by a change in probabilities. For example, an inoculation may reduce the probability that his animals will contract a certain disease.

  2. Compatibility with socio-cultural values, and beliefs, with previously introduced ideas or with farmers’ felt needs. Clearly, it is very difficult to introduce pig husbandry among Muslims even if it is a very profitable enterprise. On the other hand, farmers who have received large yield increases by growing improved wheat varieties are likely to be very happy about accepting improved rice varieties, as well. However, if an innovation fails after introduction, it will be very difficult to get similar innovations adopted. It is much easier to introduce plant protection measures when farmers already feel the need to prevent plant diseases, rather than when they think their potatoes, are dying from old age, even though in fact that they infected with Phytophthora. Changes can also be complicated, because the farmers’ environment, as well as the farmer himself, has to change, for example to provide him with necessary inputs.

  3. Complexity. Innovations often fail because they are not implemented correctly. Some require complex knowledge or skills. For example, it may be necessary to introduce a package of several relatively simple but related innovations. Each on its own is easy, but the relationships between them may be difficult to understand. Dairy cows with a higher genetic potential will produce more milk only if they have feed, which is higher in protein and energy content. This in turn will require different crop husbandry practices. Otherwise the ‘improved’ cattle will produce less than the indigenous cattle, as has often been the case with imported cattle breeds.

  4. Trialability. A farmer will be more inclined to adopt an innovation which he has tried first on a small scale on his own farm, and which proved to work better than an innovation he had to adopt immediately on a large scale. The latter involves too much risk. This trialability may be related to divisibility, as with fertilisers, for example. Although large machines cannot be ‘divided’, sometimes they can be rented before they are purchased. Agricultural development programmes may also increase the trialability of innovations. For example, before constructing a large dam for irrigation it might be useful first to construct a number of small tanks which can be used to help farmers learn how to change from rain-fed to irrigated agriculture. This would involve extra cost, but that might be saved by more rapid utilisation of the full potential of the irrigation water after the dam is constructed.

  5. Observability. A farmer can see a mile away that a colleague has change from fodder beets to maize as cattle feed, but he might no know the bookkeeping system used by his next-door neighbour. Out of fear for the ‘evil eye’ a farmer might not show his improved cattle to his neighbours. Farmers learn much from observing and discussing their colleagues’ experiences. Their observations are often a reason to start these discussions.

An extension agent who still has to gain the confidence of his farmers should start by promoting successful innovations. Hence he should look for those, which diffuse rapidly. However after a while he might spend most of his time on those innovations, which have a considerable impact on farmers’ incomes or goal achievement, even if they would not diffuse without his efforts. There are also innovations, which diffuse rapidly without much attention from extension organisations.


Market research in business pays considerable attention to consumers’ needs for and perceptions of new products. This information is used to develop products, which are likely to be a commercial success, and to develop effective communication strategies for marketing these products. They would not know which messages to stress in advertising and other sales promotion activities without such research. Choice of the right name for a product also requires substantial testing, because the name can influence perceptions of the product.
This type of research is less common in agriculture and extension than in business, partly because government officers will not lose their jobs if they do not ‘market’ their ideas effectively. Furthermore, there are often insufficient resources for good market research. However, an effective flow of information from field extension agents to extension managers and research workers can largely make up for this deficiency.
It is difficult to know when to release an innovation for use by farmers. It may fail if we release it too soon. What might the consequences of failure be? Will it mean just a small decrease in yield or that some members of the family starve? If we release it too late we miss some of its advantages. For example, our farmers may be unable to complete with those in another country who adopted this innovation earlier.
Diffusion processes

The adoption of innovations is strongly influenced by members of social groups. This means that when some members of a group have adopted an innovation others may often follow. We must ten ask how extension agents can use and influence this diffusion process. Hence, we have to know who exercises influence in these social groups.


Farmers are keen observers of how other farmers work, and in some countries, but not in all, they spend much time discussing their farm experiences with their friends and neighbours. They learn much in this way, although most realise that they learn more from some colleagues than from others. They know who gets good yields or good results in their village, and who experiments with new methods. Some of these successful farmers are willing to share their experiences with other farmers. In this way they become opinion leaders in the village because they help other farmers solve problems they consider to be important. Thus, opinion leaders have considerable influence on the way in which people in their village think and farm.
The problems considered to be important depend on the norms of the group. An opinion leader will fulfil several of the following functions in his group with regard to innovation:

  • passes on information from outside the group;

  • interprets outside information on the basis of his own opinions and experience;

  • sets an example for others to follow;

  • ‘legitimises’ or rejects changes that others want to carry out. That is to say, he gives his approval or disapproval for these changes; and

  • is influential in changing group norms.

Not all opinion leaders will do all of these things. There may be some opinion leaders who provide information early in the adoption process and others who legitimise the decision to adopt or reject an innovation.


A farmer will talk most frequently with other farmers who are similar to him in social status, farm size, education, age, etc. However, because they are so similar it is unlikely the other farmers will have much information he does not already have. His opinion leaders will be rather similar, but sufficiently different to be able to provide now information and discuss its relevance in his situation. Studies in the diffusion of innovations generally describe opinion leaders who:


  • adopt many innovations, but usually are not the first to adopt them;

  • are well educated and enjoy sound financial positions in their communities;

  • lead an active social life and have many contacts outside their immediate surroundings; and

  • have a special interest in their subject.

Interaction between members of the different social strata can be rather limited in communities with a rigid social stratification. Therefore, each of these strata can have its own opinion leaders who have only a limited influence among other strata. This is the case, for instance, among the large landowners and peasants in Latin America. Also in other countries the extension agent might have to look for opinion leaders in each of the social strata. Small farmers and those with large farms have probably their own opinion leaders.


Many innovations can only diffuse effectively among farmers who are more or less homogeneous in resources and social status. Many innovations that are suitable for one group are unsuitable for another group, especially where there are large differences in farm size, or some farmers have irrigated land and others have to rely on rain-fed agriculture. Furthermore, social interaction between these groups is often limited. Extension agents in these situations should try to establish contacts with opinion leaders form each of the groups. In many countries there are also separate communication networks for men and women. Information given by extension agents to male opinion leaders will often reach female farmers very slowly and rather distorted, if it reaches them at all.
Opinion leaders are members of small social groups who influence other members of their group. Formal leaders, such as a village headman or tribal chief and national idols, such as film stars, pop musicians and some religious leaders and politicians, can also have considerable influence.
Formal leaders have power by virtue of their position, but also clearly have been able to solve many problems faced by their people. Hence, other villagers may follow their advice or example in the belief they will be successful as well. These leaders may exert influence on a wide range of topics in traditional societies. They may also have considerable power over collective decisions such as irrigation or grazing rights.
We have already pointed out that people tend to accept new ideas most easily form others who are similar in many respects, like a brother, for example. Especially traditional villagers do not trust outsiders. The problem is that close friends and relatives are likely to have less new and valuable ideas than an outsider. Hence, farmers from other districts can be very helpful in extension work because local farmers are more likely to accept their ideas than those of extension agents or other government employees.
An extension agent will not be able to work closely with all farmers in his district, so he can increase his impact by co-operation with the opinion leaders. He can influence a large proportion of the farmers by choosing opinion leaders from among those he works most closely with. This is relatively easy in a community where the group norms favour the adoption of innovations, as we can expect the opinion leaders also to favour co-operation with extension agent.
It is more difficult working in communities where most farmers are not yet interested in adopting innovations. Farmers in these areas who interest in co-operating with the extension agent are not usually the opinion leaders. In this situation the extension agent should try to gain the opinion leaders’ trust and develop their interest in modernising agriculture. Then in turn he can influence other farmers. This must done carefully because the opinion leaders will lose their leadership position if they change too quickly. Another somewhat risky proposition is to be on young farmers who might be in a leadership position ten years from now.
How can an extension agent identify opinion leaders with whom he could co-operate? In the first instance he could observe carefully the social processes in the community. People will react in a different way according to who is speaking, say, at a meeting or in informal discussion. Farmers will refer to what they have seen on other farms or have heard from other farmers, in a discussion with the extension agent, for example. Extension agents will find it useful to keep notes of these pointers to leadership structure in the community.
The extension agent could also seek assistance from some villagers or outsiders who know the community well. For example, in the village council he can point out that a demonstration will be more effective if it is held on a opinion leader’s farm, then seek suggestion about where it should be held. There is a danger with this approach that his adviser might mention only people from his faction if there are conflicts in the area. It is also feasible to make a list of all local farmers and ask these advisers to judge each farmer according to the influence he has in discussions about farming. However, if the opinion leaders change rapidly through these contacts they might lose their leadership position because they deviate too much from group norms.
The most reliable, but also the most time-consuming method involves a socio-metric analysis. Each farmer in such an analysis is asked questions such as ‘Could you give the names of two farmers with whom you talk most frequently?’ or ‘From which farmers would you seek advice about whether or not a new method will work well on your farm?’ Responses to these type of questions make it possible to count how often each farmer in a district is chosen. Those chosen most frequently are considered to be opinion leaders. The line dividing leaders from followers is drawn arbitrarily.
Some implications of adoption research for extension

Researchers who study the adoption and diffusion of innovations can help draw an extension agent’s attention to some processes and variables, which are probably important among his farmers. We may use such research findings either to accelerate or to change adoption processes. Attention has been given to this latter point only recently in relation to interest in the system-blame hypothesis. This leads people to wonder whether it is possible to change the system.


We will discuss first some possibilities for acceleration adoption. Research has shown that different information sources are used at the beginning and the end of the rather lengthy process of adopting and innovation. Hence we should combine different media so they reinforce each other in an extension programme. The mass media can be very useful in creating interest in interpersonal communication about innovations. However, they are relatively ineffective unless there is extensive personal follow-up by extension agents in the field.
Choice of farmers who participate in group meetings and who are visited by extension agents is also very important. If the farmers choose these people themselves, most of the contacts are likely to be with the innovators and the early adopters. The extension agent can try to establish contacts with the opinion leaders in order to increase his impact on a wider group of farmers. For instance, farmers who have adopted an innovation may take over active promotion of it from extension agents. However, innovative farmers are not always well suited to this task if the innovation is difficult to implement. Such is the case with integrated pest control where management has to be adapted to a farmer’s specific situation. The innovation may also be suited only to a certain category of farmers such as those with large farms. Focusing on these kinds of target groups can lead to even greater differences in income among farmers. Those who adopt innovations first generally profit most from them, although they also run the risk that new innovations will not prove to be as good as they were first thought to be.
Income differences between farmers may increase if there is no further promotion of the innovation after the early adopters have adopted it. This may not be a desirable outcome of the extension policy. It may therefore be necessary to develop different messages to meet the needs and the situation of each category of adopters. This approach is frequently used in marking where it is called “market segmentation’. Most extension agents believe it is also essential to pay attention to accelerating adoption among those farmers who are now slow to adopt or who seldom ask for help. This is because these farmers tend to be poor, and many people believe it is desirable to decrease income differences among farmers.
Despite his best intentions, an agent may not able to help poor farmers. Research may have found some profitable solutions for large, well-capitalised and irrigated farms, but none for poor farmers working under rain-fed conditions. Extension agents and policy-makers may have to redirect agricultural research towards solving the problems of these small farmers. In the meantime, extension agents can offer limited help by noting why some farmers get higher yields than others, then developing messages for the less successful on the basis of what they have learned from the more successful.
Extension agents may also be able to help poor farmers to organise themselves into groups which help each other, and which have more power in dealings with salesmen, moneylenders and/or landowners. This can be an important way of changing the system that currently makes it unprofitable for poor farmers to adopt innovations. Clearly, this may arouse resistance from those who fear they may lose some of their power, although it is sometimes possible to convince them that everyone will be better off with increased productivity.
Ten limitations of diffusion research

  1. Diffusion research focuses our attention on certain aspects of the utilisation of scientific knowledge, but ignores the way this knowledge is produced and how it is integrated into ways in which the farmer sees his own problems. It might be useful to study who decides why certain innovations are developed, and which of these are diffused to a certain group of farmers. The power structure in the society may have much influence on these decisions.

  2. Diffusion research usually assumes that all innovations originate at research institutes, whereas in fact many innovations either originate from farmers or are modified by farmers to adapt them better to their situation. This research also assumes there is a centralised agency which tries to diffuse innovations, whereas some innovations are diffused mainly by a decentralised system of active farmers and other citizens.

  3. Much diffusion research assumes implicitly, and we believe incorrectly, that the adoption of innovations is always desirable. The nature of the innovation and the circumstances and goals of the farmer must be given strong consideration first. Undoubtedly, mechanisation and large-scale farm methods would increase labour productivity in many developing countries. But the side effects would be little short of disastrous in many ways. Already critical levels of unemployment would increase because less farm labour would be required, important reserves of foreign currency would be used to but the machinery, and so on. Fortunately, most rural development workers now recognise agricultural production as part of a wider system in which changes in one component of the system may have unexpected consequences for other components.

  4. Most diffusion studies have assumed implicitly that a farmer’s major goal is to increase his income. However, risk aversion can be a more important goal among poor farmers, especially in less industrialised countries. We might reach different conclusions if we studied innovations that help farmers reach this latter goal.

  5. Few diffusion research projects have looked at the advantages and disadvantages of innovations from a potential user’s viewpoint, whereas this is important information for developing innovations, which solve some of the farmers’ problems. A large Australian fertiliser company had been marketing its products for years of the basis of the chemical contents, with names indicating the ratio of nitrogen, phosphorus and potash. When sales of their nitrogen fertilisers failed to respond to increased advertising, the company enlisted the help of a rural communication specialist who interviewed farmers. The marketing strategy was changed to stress the end use of the product rather than its composition. Each product was advertised on the basis of how, when and where it should be used and what results could be expected. In other words, they changed from a technical source orientation to a receiver-user orientation with their messages.

  6. The content and interpretation of messages given to farmers are other topics requiring more research. The role of different information sources has been studied extensively, but little attention has been paid to how the message content is selected and treated by the source, decoded by the receivers and incorporated in their knowledge, attitudes and behaviour. The Australian fertiliser company found that farmers could not understand the semi-technical language about chemical compositions.

  7. Adoption studies generally assume sufficient research information is available for extension agents to give good advice on how to apply innovations. This is often not the case. Farming systems research focuses on these problems. Diffusion research has shed little light to date on how to combine research findings with the farmer’s experience and his ideas about his situation and his personal goals.

  8. Few systematic checks have been made of farmers’ reaction to extension agents’ efforts to promote diffusion and adoption. Some attempts have been made to test different combinations of extension methods experimentally. However, reports of the results of these experiments do not discuss in detail how the methods were used.

  9. Most diffusion studies have concentrated on relatively small and discrete technical changes, such as replacing hand hoeing with chemical weed control. Little attention has been given to major changes in social structure or an individual’s way of life, for example, when changing occupation or changing from subsistence to commercial agriculture. We have been more concerned with ‘peripheral’ innovations than with those which are ‘central’ to a social system.

  10. Changes by individuals and groups have been the focus of much diffusion research. Changes in institutions and societies have seldom been investigated despite the obvious importance of social changes taking place in rural societies everywhere. It is not very useful to know through which information channel a small farmer first heard about a new fertiliser or pesticide if these inputs are not available because of bureaucratic inefficiency with distribution systems, unscrupulous exercise of power by landlords, corruption or other institutional and societal barriers.

The structure of the society can have much influence on the possibility and the desirability of different groups of farmers to adopt certain innovations. These system effects have not received much attention in diffusion research to date.







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