PD-Ar3T Cr(~
Transcript of PD-Ar3T Cr(~
PD-Ar3T _Cr(~ ~Co2-_
DEPARTMENT OF STATE -
AGENCY FOR INTERNATIONAL DEVELOPMENT
OFFICE OF THE ADMINISTRATOR
Dr William L Boyd President
WASHINGTON 25 D C
State U~iversitr of Iowa IOola City Iowa 52240
Dear President Boyd
AUG 11 19~
I am plec 3d to inform you tltat pursuaut to the authority contained in Setion 211 (d) of the FOlnign Assistance Act of 1961 as amended Grant No AIOcsd-)294 in the amount of $65OOO is hereby made to the State University of Iowa This Grant is for the purpose of implementing the project Comparative Legislative Studies as set forth in the Final Proposal dated ~~ 25 1971 and agreed to by the Agency for International Development and the State University of Iowa
---
The Grant funds are obligated as of the date of this letter and shall apply to costs incurred in furtherance of the project for five years
lhis Grat is made to the State Uni versi ty of Iowa on condition that the Grantee shall adminiter the funds provided under this Grant ill accordance with the terms and conditions set forth in the Final Proposal (including Budget Slli~a~J) the Standard Provisions and Appendix AR attached hereto and made a part hereof To the extent of any inconsisteny between the Proposal and the Standard ro~~sions and any other provisions which are ~~de a part of this Grant by reference or otherwise the Standard Pro~sions shall control
- s-
tP ~ ~
bull ~ ~
RECEIVED BEST AVAILABLE DOCUMENT
AUG 2 1971
0
~ o ~
~
OFFICE Of Y P fOR PESEARCH ) II~
- 2 -
Please acknowledge this Grant by signing the original and six (6) copies of this letter and one copy of the Statement of Assurance of Compliance Please return all documents to the Grant Officer
Sincerely yours
h_~~ - John A ~
Attachments
1 Assurance of COTpliance 2 Final roposal amp Budget Summary 3 Standard Provisions 4 Appendix Art
ACCEPTED
BY ________ ~~~~~w_----------
BEST AVAILABLE DOCUMENT
trrmiddot L1
ASSURANCE OF CCMPLIANCE WITH TEE AGENCY FOR INIEO-mATIONAL DEVEIOPfElT REGUIATION UNDER TrlIE VI
OF THE CIVIL RIGIDS ArJr OF 1964
TIm UNIVERSITY OF IOWA (hereinafter called the Grantee) (Name or Grantee)
~y AGREES THAT it rlll comply with title VI of the Civil Rights Act of 1964 (P L 88-352) and all requirements imposed by or pursuant to the Regushylation of the Agency ror International Developnent (22 CFR Part 209 30 FR 317) issued pursuant to tmt title to the end that in 8ccordallle vith title VI of tmt Act and the Regulation no person in the United S~tes shall on the ground of rece color religion sex or national origin be excluded from participation in be denied the benefits of or be otherwise subjected to discrimination under and program or 8tivity for which the Grantee receives Federal financial assistance from the Agency and EEREBY GIVES ASSURNCE HAT it will immediately take any measures neeessary to effectuate this agreement
If any real property or structure trereon is provided or improved with the aid of Federal filencial assis+ance extended +-0 the Grantee by the Agency this assurance shall obl~te the Grantee or in the case or any transfer of such property sny transferee for Ue period during Which the rea property or structure is used for a purpgtse for which the Federal finJmcial assistance is extended or for another purpgtse involvilg the provision of similar services or benefits If any personal property is so provided this assurance sball obligate the Grantee fer the period during Which it retains Ol nership or possession of the property In all other cases ~ this assumnce sball obligate the Grantee for the period during which the Federal financial assistance is extended to it by the Agency
IHIS ASSURANCE is given in conside-ation of and for the pu-pose of obtaining any and all Federal grants loans contracts property d1scounts or other edeml financial assistance extended after the date hereof to the Grantee by the Agency including installment payments after such date on account of applications for Federal ~inanc~l assis~~e which were approved before such date The Grantee recognizes and agrees that such Federal financial assistshyaI1ce vill be extended in reliance on the representations and agreements made in tris assurance and that the United States shall lmve the right to seek judicia enforcement of this assurance This assurance is binding on the Grantee its successors transferees and assignees and the person or persons whose signatures appear below are autmrtzed to sign this assurance on behalf of the Grantee
TIm UNIVERSITY OF IOWA
BYSignature)_~~~~~~-__
TYPED NA1E ------~~~~~~---------
DATE
TIT IE
-2 I1--ltaL--i-~-I-l 7
BEST AVAILABLE DOCUMENT
FROPO~AL FeR SUIORT IiiliZR TI~
INSTITlJTIOXAIJ C1PlfTS POGRAlmiddotl
Neue of Applica1t state University of Iowa
Date of Application 1ay 25 1971
~itle Comparativ~ Legislative Studies
D~ration 5 years from date or grrurt
futlOtllt of the Grant $2t5COO
SUJ1VARY
The UriversHy cf ICmiddotia propcses middotlit~ stpport f~om the Agency for Inten2aticlal Dcmiddot-eloprent -io enlw_nce its ccpacity in t1C field of COlpCilative lieislative studies lIith ia area emphasis on Africa a1Co Aja Tb~ Ulversity of IC1-a ltiill lse gr~nt fu1ds to carry out s tu-iies of l-gslatures in celatim to political ei sccial developrrr2t develop 91 archive of data on legislative liEtedals exp_1d a1d iiprcve cu-ricula in this field of study and ting tmiddot) tne Uni-ersity guest professo-s uld scholals frol LDCs ~lti ot18r US intituticns to enlch the prcgral at IOwa Tbe University of IOia has sprcial cCtetence in social science res~arch met~odologr cOipaatiye stui~1 of legislative behavior and tee dev~lop~ent of ~ultifactored data sets Building u~cn this ccmpetence the Unverity of ICa will use gr2Ilt funds to develop comparable neas~res of cross-countr3 ~~d historical data on legislative develo~~ent initiat~ stUdies of traditional factors a~d salience o~ legislative instituticns and expand and i~ro~e upon naterial for teaching at IOia through estab1isling collaborative research arrangements with relevant scholars in the US and overseas
_lis propoal is one of three closely coordinated gra1lt proposals frcm the University of Icmiddot3 Duke Uniie-sity and the UniYcrsity of Ha~ii The University of Iowa iill participate as a member of an Inter-Universitf Advisor Co45rittee which -Till plan s~~osia pro~ote publicatic~ of resea~ch results avoid duplication of effort arronz the three gr~~t~e instit~tions and facilitate exchang~ o~ students and faculty Tit) fo-eign msti tution hen desirable
BEST AVAlLAB~E DOCUMENT
~9
-
II
of a special cot~~e il -~Ze subdiscilin~ of ccparative legislative
stl~esOlcig 1- 2s emiddottensiVe Cc~a arhives These stucies hill
lock a ~te crei-re 3G~i~1 ad eccror5c bac~6rt)Q1d cf legislators
perrcrra1ce 1 this -gac f1Q their clltthr~ place middot ithin the goverl-
Itental ltL~middotmiddot~)O v_LA __ alli Africa ~middotot~ld ce the nioerJ geogilpbic areas
of fcc2s ~~lt -C~ ellsi-ely Disciplinary phass middot-iould bmiddot in
ftlnction
rC-e ri~~sit dill ccrcertrate cn legislative influence 1 relation
to s~ecific c~-middotc lc=s~ ~ ~ ~oclens as Eel elt2ple umiddotC 9L1izltion population
Its geographic focus
plic~i s~ciolog Ct~olics
BEST AVAILABLE DOCUMENT
- 3 -
Te iiersity of aiiaii xill build upon its edsting geoganic
focus on Asia and integate a progra of legislative studies middotdthb its
cc~~t~J ard area s~eci~lizaticn prcgra~s Korea Indonesia ~d Thail~~d
are prcnir~ent aleas in Ea- -aii r S gtrcgt1 alcng ~ith cc-palative ~ ork i~
the Pacific Islads Studi-=s by Halaii ~-ill for exaple compare the
legislative roles in econosicelly slcce~sful cO-L1tries iiitb thei roles
in countries ilitb lesser econcmic gro~-rth It ~middotrill conversely compare
economic i~~ications of cotntdes cr elatively strog wit those of
celatiyely veak legislative systems Emaiis approach would be
intercisciplinary to includ~ political science and bistory plus a streng
III middotnior ~noes ale Activities
1is ga1t is to aCieve t~o pucpcses 1) the en11aLcenert at the
Univesity of Io- middota cf institu~ional capacities for ~~i1ls releya~t to
t~e couparaiive study of legislative orga1izaticn ftnction ald
de~ent as these relate to tle process of ~ocietel moden7ationshy
ceyelop-e~ ad 2) the gele~ation and collation of a bcdy of priJciples
that ca be utilized cy AIu in poliCJ decisions that relate to
re~uests for tec~middotal SlppOt of letislstive institutions in fadlitating
developler~t These biO puposes ca] be s8z-ved ily pursuing the fclloflirg
specific activities
l Training d0mestic 8ld for-eign students in the design and
eXecuticn ot syztcr3tic re6=ar(O en ~he v8--ying Tole that legislatures
pJa~r in the roc~ss of ~detuiaticn-ieve] 0plcn The results cf their
021
BEST AVAJLABLE DOCUMENT 1 lr
- 4 -
2 Incr~asilg the e-istirg skills e1d redirecting the interests
of dc~estic ~i foreign sc~olars to the comparative leg~slative field
rne Univer3i ty 0 I01[ generally ~rill be erric~ed by t1e presel1ce of
these scholars a1d its ccr~arative leBislative prcgraIl in particular
~middotTill be ennalced by the nemiddott kl1o~ledge that is generated
3 Cooperating id th a11Q other-ilisc facili teting the ork of scbolars
of less developed cOll1tries in rultidisciplinary ark at the Univeisit~r
of Imla en the rcle 0 legislatures in the charlcter of regire legitimacy
as -ell as on re developCent cf a cetralized data bmli at Io a asse~blilg
raterials on legislatures a1d develoent tre logic behind the bank
a1d tile techniques related to its use
4 Diffu~ing relevant ~et~odological ~1d ccrc~ptual teals in less
deelo~ed cOlUltries through the loove enrichent and redirection of
indiviQual~ and t~e ~evelcp~ent of the data b~k) thereby =ultiplying
bott ihe qumity cud quali-vY of the researcl~ frcm which existing
curricula at Io~middotw can be expanded and re curricJla dtveloped
5 Increasing the size of tJe imrld~ide pool of professional ad
expert consujtants ~lalable r-ot only to IO~il Du-e 81Q Hawaii to dra-t
en but also to AID in the pursuit of sev~ral aspects of its
6 Creating nullgli th~ p~ogral at the Univers~ty of IOa the
substance of a stbJisciplire and in cooperation odth similar prograos
at other ~imiddotelsities 811 organizatic1al Gtlucttltre ~nt ca ~vbilize
continuine i1t~-rtiorr1 intrest i1 a11d sapmt fron orgaiations
interested il deveJopr-ent
BEST AVAILABLE DOCUMENT
1(1 1
- 5 -
itl Suppor- f~ctl this Grat tre University of lei-Ilt ~dll cO1centrate
e1 fclts in this prcge~ en legislative behavier variables tat telp
e91aL ~hee specific 3sten cha~a~teristics 1) the scpe of olitics
2) e style IJf goverQent ~tnd 3) the legitirlacy of the regine For
tis l)1lpcse te gtrcglam -rill ex~e releva1t coparative factors il
a lage nlt=~er O~~ African and Asian legislative institttions The
Univcsity of lO~middotIa ~lill also uldertslte the study of these legislatures
at -a~iClS cLts in tire This ~lould gtequie the use of time series
cat t1G historical SClrces not cctl9arable to contempOral7f sou=-ces of
Fe each of te legislatures included for study Ima -iill seek to
a1al~ze suc] cbractelistics of t~e legislative systen as 1) the
atricutes cf ecers--te process of their recruitment their so~inl
~c cccupalonal backgro-lI1ds their politically relevant srills their
role c~ie1lttio1s inclcirg ht~ir concept of represeILtation and the
pe~pound~ge 1~r5th 0- tente in tbe Ipgislat~re 2) t~1e distribution of
the f0~al 211 inforl rales of 2ocedure the leadersnip groups the
cr-osi tio1 and role 01 legisl3tire staffs a1d the kinds and freqlelClJ
of legisative sessic~s 3) the ~utputs of the instituticn--the agenda
of issues tre modes c- cotenticn el1d the qU11titr and kinds Jf
decisions
)middotemiddoter llllike studies of ~hese fctors in the past Imla is
BEST AVAILfBLE DOCUMENT
- 6 -
The for~Ietic1 0 tneol-y lO this coarative 8seerch of
Tiiill ~erdt equivalent cmiddotoss-sy-ste~ ~easuelents are 8O1g te r6st
irpctant aSgects of tle prcject It r2y be one of the ~c-st valuable
esllts of Io~a I s efforts ad ~dil reCuire close collGbor-tion arong
t~e pa~ticipents bull
p_ Cc=-arative Legislative Research Archive
lltOle a subsb Tltial aolIlt of legislatie data has been collected
in a1j- different cOL1tri8s very little of this iateriul is cOJarativE
1middot-s of it has teen collected by individual reseachers on e single
CQl~ty Cc~adson in legislative research is thus difficult because
=2 01 r3j cClalties are ot available at a sirgle location in s sLgle
is a clear ~eed for the ce~t~alizGd acq~sition ~ or ~ne
available data to per t the forulaticn and compGrative testlg of
~eorics aoc~t le8islativ~ behavior As a major part of this program
te Uive3ity of 1mmiddote 9poundlS to establish a data arch-e to begir to
big te existing legislative sttiies tcgetber at a sirgle location end
to ~-ke ~i~er ~ccessible +0 the grm-ing 1unoer of irterested scbolals in
Once J~1ese data have O~en brOght tcgether tney will contribute to
-~ pogram t IO~middotia in -I~middotiO -poimiddottant ~middoteys First the dats -Till be
utEized in traLig graduate stud2nts T1e rea13lysis of d~ta to test
BEST AVAIL~BLE DOCUMENT ( 1 t
- 7 -
faculty at the University of Imllt1 and from omiddotrerseJs tlitbout slch an
acbival base those dtdies Ylould be ver lil1ited in the hypotheses
ter could test The quali ty of this re search eqerience fill be
(o1siderably enha1ced by the aVJilability or data for co~arison dth
t~e data generated thlcugh the ccllaGorative research sponsored by the
traini~g progca~
Once gathered a~d refo~tted the data ~~ll be ~ade available to
sc~olars students al1d other interested persons outside of tre University
of Io ra P(r exa-nple appropriate data sets would be available to other
llsti utions tat pre ccoperating in t~is program ie Ha-waii Clla De
~ese could tten be used in curriculul developent at tbose schools as
middotell as Ll the pre-grar at the UJiversity of Imre Finally data could be
aie available to i1di-idlal sc~olars and institutions overseas for use
1 teir research a~d trailing progrems The cUIlulatiie effect of this
disse~lilation and staring of data ~i11 be an enrichme~t of research an
Llcreased flO-I of ne data to the Uriversity of Iewa I3Jld a greatly
ena1ced ability at Iowa to aalyze legislative behavior a--d defelopnent
f 1ssociates
The University of Iowa d31 involve as Associates individual US
arc ~ereign Rcolars fro~l other instibticns in some instances fOl
cc-ivities at Iovll in others as recipents of support Oi research and
oter aciivities middothich coqlement cnd emic1 the program at o a These
Associa-es rill be involved in such activities as ser-lfing es University
of IOim g-uest professors 5~St lecturers 1d visiting faculty
lticipel1~s L ccnfiences and s~riosia and as collatJoratiEg 2search
BEST AVAILABLE DOCUMENT
- 8 -
cevelcged c~lt-ies Smiddot~yemiddotl such projects core already uoer ~middotay
and 3y potetial ss~cetes ~ave been identified and thei ilterest~
211 gtarticipeting i1 t~e ~Cglar1 ascertained
He -resc1t ge~sc-~el a1d acilities of the University of Iomiddotro
plcvice a very st-cre basis for the research atJd training programs
~rnich ~middote a~ ~rc9~3L1g -fmever the further development cf legislative
suCie3 ali a pec~ent streugthenLlg of ~he progrun of Iomiddot ~ is a major
a oes3icral Demiddotmiddotelc~ Galt fur~ds will be uSed by the
LT~iersit2 c la= ~ icreasing te nUbe of faculty specialists in
cClJses ir sjcts elated to the subject atter Specificallr grant
fuimiddotis dll ce usee to ac3 one pernanent faculty Uemoer in roliGical
scienc~ ~middotit s~ecia iltcests b legislaive beh3vior ald political
dloYl-nt a-o 81 a29 cmiddot-petence in Ardcan pclitics and to bring
(lculy -emiddote-s fro less ceveloed countries to spend a peri cd of time
at the TJ1 i si ty o~ Io~middot adine sechtl expertise to the ~od~ at Iowa
other middotisosel -~ i_ le irol1ght to IC~ia as needed to support those nO~T
or --18 fc~~ti r~lt 7ds ~rill also be ilsed to finance data collection
exlts-s ~) t~-e res~imiddotch iork of tte acult the Associate scholars
BEST AVAILABLE DOCUMENT
1~ II
- 9 -
cesigned tgt trrtin US and foreign-born st1lcents in le6islati-~e rese=z-cndeg
Sttde1fs ~dll be tdTi tted cr11ally to 9 proeragt iihicn ~iould irclude a
tro~ot~h grounding in the r thods of cczparative aralysis the S1ostance
of conparatie politis g-mel31ly end the corrparative studJP of
legislative behavior in 9articulal The Uni-ersity intends to associate
tnese studelts directlr - rith research in Ttlhich faultr 2Cbers are
engaged to encourage thea to dra- U90n the skills end resources available
in this field il ra1Y departnents of the University to enable them to
spend up to one year in field research and to have thel4 snare their
findings middotrih their stmiddottidei~t and faculty colleagues Tle prograII will also
involve foreign scholars middotno are expert in the legislative process of
t3ir o- n countries in the tcaciing fgtimiddotogren both by holding -fisHing
a=point~elts at t-e University of Ioc1d by sUgervisi~g field research
c R d - t- ~ 1 rec C~ of Esta~lis~ed Scholars Tne University of Io~~
plals to extend a1 in-itaticn to seieal foreign scholars duri1g te
gle1t p2riod to patici~te in a coparative legislative researc~ seirar
duriig their visit Their plrticipat~ion middotrill edd 3 lL1iqte diiensicn to
the seiiral hceuse cf theh ~1o~-rlecge of the legislature in their own
C01-try BCmiddot2~ J1is Gemilr -ill be dealing -lith the nos-G current
reseaCIJ o~ l0~ ~ltmiddotJres as ell as discussine desigs for reseach to
fill in cowleuge of legis1timiddotre 1ehclicr -re believe
tret it ill be a l2~lilg experience for all the pclticira1ts--incltcing
BEST AVAILABLE DOCUMENT 1]7
- 10 -
Ima rill lOrk collcboratively ~ith the fOrsig1 5cbolars to design a1d
carry out P reseach pruject These projects Till cc~tribute to the
retlaininB of foreign scholars and nill also add to cur mmiddotm and8rstanding
d Research The 9rinciplI enphases in cesenrcl rere cutlined in
Section III above ie to focus en con-9arative studies in iihich
legislative cehaviol can be helpful in explaining the scope of politics
the style of governcent a1d the legitinacl of regiles Variables hich
will be studied Iost closel~r ircluue tbe persistence of institutional
norms in the legislature oyer time the relationship o~ the legislatue
to ether institutions in fornirg public CC1Cepticns of politics and
the histOl~ical context detelini1g public expectations of the 12risleture
This resea~ch nag both academic and practical objectives
Academically it promises to tie legislative behavior research to other
major concerns L1 pcliti~al science such as research on systeJ stability
and paricrJance Its general substaltive eojective is to assess the role
wtlichlegislatures Illay L1 determining the capability of political
s~lstems especially their ability to deal ~middotith soCial change
Vractically the stu1y ~y offer guidance to polic~Y-Dakers on
t~1e role ~ hich legislatures rray be ~lI-pected to pIa)- in neimiddotrly established
political systelt ald on ~hc efcrrrs in established legislatur~s -Thicn
rray be required to achieve specific syste~ effe~ts The study ~dll
Nquire the assccioticn of rembers of legislative staffs a1d 2cademic
colleagues in the s~eLal nations lmder nvestigRotiop plovidirg training
fot ~ll r)f them i1 leeis1ntive re3Clrch ~ri facilitating a valuble
BEST AVAI~BLE DOCUMENT
ll-
of Iml3 ~ill LS~ glmiddot~t f~ds t~ estaolish a data archive to begin to
bring tb~ edtirg legi31ati--re studies tog3tller at a single locaticn
end to =afe t~e ac~essible to tie grc~ring m~er of interested
scholars in t~i3 field PerSCIlllel of tbe Data Archive ~rill searcD
broadly fo all a-reilable data on legislatures in the possession of
ildiviiual researc~rs i11ese data sets ~-Till be acquired refo~atted
for ease in alelrsis a1d stored in Archive Tne Archive ~~ll
asserble tie etel~ Gata O legislative organization ald procedure the
socialization ~~ recruite~t of lzgislators legislative decision-
makLg pccesses 2d legislative outputs To facilitate access to
the data a ~middote-riemiddotrlt11 syste middoti111 be cesigned that will 2011001 r-=searchers
to find ~iccJ ata sets that c~mt2in inforration lelefalt to their
researc1 po)2e5 RibEcg-aphic citation3 cnd abstracts of research
reports on le~i51e-imiddote oebio ~~ill be gathered and a biblicgraphic
retrieval sys tC idll a Geielc9d to aid esealcJers
cooioinet-e1 ~~as n -ie are= of c~rarativa legislatile studies is
t~3t because 0 si~~e iJS in~ti tuticn ias tce necessarJ expertise
of ccrparati ve
1-=gislatiY2 tcie3 8forts of the most conrpeteat ace interested
BEST AVAIL~BLE DOCUMENT MCi I I yl
12 -
oz~ the tr)middote grantee institutions and otter associated scholars It
~ill ayise t~e pa1tee i1stituticns on SllC catte-s as roritorirg
activities at the t~re~ unive~sities~ evalu~ting rese~rch frr possible
=middotclication sJ--sidies rld ether ratters related to infor~atioTI
disse~~ation coordinating research efforts to avoid duplication
ecilitating excha1ges d sttde~ts ad faculty members ~-iitb foreign
nsti tutions i~en desirable tryi1g to till lacunae in cLIricu lUn
helJilg to arralge cmferelces and sy-posia and generally trJing to
9cote te ~eielcp~2nt of cOlparatile legislative stucies as a
Gra1t L~HS idll be ~sed to support the Univ2rsity of Io -a IS
nrticipation in tre AdisorJ Co-i ttee t1e developrrErt of conferenc=s
elsEfhere il the US arHl over3eas i1 relat2d facets of leeislaive sttdies
Edstng iersonJ~l al~d fa-ilities at the University o= 1oa previde
iaculty facliiies to aid rC3emc~ trailg aPd skill in 21c~ivaJ middotork
BES~ AVAIL4BLE DOCUMENT I
r ~-)
- 13 -
Six ITe-bers of t1e faculty of the Departent of Political Science
at the Unhe ity of Im-ia are presently engaged in legislative research
To merbers ot the Departllent of History are engaged in research on the
British Parlia~ent L~ the eighteenth ~~d nineteenth centuries Fer the
past six years an adv~~ced se~inar has been offered by ~embers of the
Department of Political Science and the Department of Histo~J on
comparative legislative behavior This exte1sive collaboration iiill
ma~e it possible to develop a fully inter-disciplinary program for the
students ~~d visiting faculty In addition faculty ~emcers in
Scciology interested in organizatien theory and in the College of Law
interested in legislctive processes provide furtber e-pertise ava_ilable
to students interested in tee study of legislative behavior The
presence of these specialists on th~ facult~r is reflected in the
excensive librarJ al1d otler data resources existing at Iowa in this
field
The Uniersity of Ima offers an unusually extensive program of
trainL~g in research methods Four ~e~bers of t~e Department of Politi~al
~cie1ce teach in the field of research nethods Courses jn statistics
ca1 be taken ill the Dep~rtents 01 Sociology e-d Educational Psycholcgy
Llis prcgr6l provides a verJ solid grounding il research training and
data analysis
bEST AVAILABLE DOCUMENT
e ~
- 14 -
Y labCrato~y for olitical Pesearch is the reseacc1 md research
tlairirg facility of the Departe1t of Political Sci-lce Gcadvate
students receivo extensive res~arch experience through 1or~ing in the
La oratory bull The Lacoratoy is also a1 integral part of the trainirg
o~feed in ccurs~ T~middotO~ for graduate students
The full-time sta~f of the laboratory includes a director an
assistant director a t-=cl1ical cirector a supervisor of study
t1hteen graduat~ students - rf1rk in te Laboratoy receivLLg teining i~1
~a~a collecticn ~~i data e~alysis Tbe facili te5 of the La)oratorltJ
icluoe a oard eJcerline printer ccnnected to the U1iversitys
dis~ and tape storF-ze for d~ta
The pogral of trailing ia coparative legislative reseC_cch ~ill
relr heavily en t LaOerltcLJ- for taching graduate stucents Visi tine
fc111tr lYe~bes iill be able to utilize tbe facilities cf the Laboratory
gt IOra ~as sFcial ccrpetence in prOCed~les for
ccq ter ogagtlizetion of d~ta Ja1ks ~d fOi the p~ocGssing of large data
sets as well as iJ the sttdy of naticnsl end st~te legisltllres Tile
BEST AVAILABLE DOCUMENT
- 15 -
Ile Univelsity of 10Ira will eadnister- the Grant thJotg~ its normal
a)1 iristrative char-l1els ad i1 Eccordance imiddotlith its ncrTal olicies and
operatirg procedures 7he Director of the gr~l1t-s~~ported program
Hill be a senior faculty eriOer of the Gniyecsity of IO~-ia -with extensive
expe~ie~ce in the subject field Associate Directors w~tb similar
qtalifications -aill also be appointed 7he Director- and Associate
Directors ~dll serve as eibers of t~e Inter-University Advisory CC1gtr)ttee
established to cooidinate _u bullbull ID gra1t-stpported programs at IOia Dul(e
lniversity a1d the University of Ha- aii Ll1 this field These relatiol-
ships are i~dicated in tee follc~dng a~inistrative organization chart
IX Ul~vsity Ccntri1uticn
T1~ ~h-ersity of IQ(a aSSures ALD that this Grant middotiill not
replace existing ftnds for STr current activity and imiddotrill be additive
to existing prograrrs of tCe lJniversity In direct sp~ort of this
Grat ttc University ~ill provide a) Acmi1istratile costs including
tie of senior officers of ttlt University b) Office ~ld research space
ald library and cor-puttr facilities c) Provision of a1cillamiddotCjr 1niversity
personnel -or consultation o~ ~middotjQrk nth the progral
X Reports end 5evie~-Ts
There i-ill be sub~itt-=i al arnual t2ctnical report for the purpose
of AID s revie- of activities under te Gant Tnis idLl include
a11 e-llation of prcsr~ss aidnistratve ar_c fiar~cial corsicer~tior~s
p~s cr tr foJlJ-middotire ear ~i disctlssics of the ossible l~lizaticn
BEST AVAJLIl8E OOCI1MrNT
~
- 16 -
A~~inistrative O~ganization
Ice Board of Regents of tle State of Im-la
-Iesicent of the University I
1 rOfcst Jf t-3 University
Den College of Liberal Arts
r Chailan DcptiEt of olitical ScieJce
Inter-G~iversity
Acisorr Corcittee
PcgrG21 Director Associate Progra~ Directors
Liaison Arcrge~~nts d ~h I I~~erested Plcfessiona1 I Perso~el j
I _
I 5cu1ti (full or PmiddotLG-tire l Asscci~tes a1d otllei non-Io~il
3ecip5ents of Gr3-1t stPPC1t Gr~cue~~e S t1~lcnts St2~retQi~S1 Data Lbed~1 31
Ln 18 r1icia 1
LO1t c~lce Factcj~1 ts
BEST AVAILABLE DOCUMENT ( ( V-t
- 17 -
of te eo17i~g cCpterce br A I D rLld ethers In addi tion there
aS3essr~ents of the gr31t
middot l ~ lI ~ _ _ _ co~~~r~~ing ~~iversiti~s md tne rrctitoring ALD office
7re l~yersity of Ie~middot~ budget of $26500 is to be deveted to the
cemiddotelgt~e~ of lstituticnal cefete1Ce in comparotive legisl~tiye studies
~t Iomiddota c t~ the exalsi0 ot a date b~L-lt ~ hich 1fill be utilized as
a ecle for icrec3ing te scope of tbe sub-specialty
T - 1 f 1 __ middotja r S Ctdget a9roxir~tly 33- has bee allocated to a
cemiddote Lp~l t rirc ipally C actlty re leased tirre for data ccllection
ai 0 3alres f~r i~~er-ieers in field research 3d secretarial
assi5ta1ce nCt2 11- of t~e Icmiddotre oudge~ is iesignated for an
ArCE_1 A~ite s(101a~middot 2d one 0 ore scnolals froQ LDe or
s1lllrt of greluate stucents in the
BEST AVAfLIlBLE DOCUMENT
- 18 -
Finally approximately 19 of the budget will be devoted to the
proposed data bruL~ that will archive not only data generated from the
research of scholars at Iowa Duke and Hawaii but also at other US
and foreign institutions Primary and 3econdary an~ses of these
data will become an integral part of ~omparative legislative studies
curricula The ability to utilize the data bank for teaching purposes
also should have a significant impact on professional preparation ofmiddot
future legislative specialists In summary the funds will be
allocated to research teaching and training activities tha~ are
entirely conson~~t with the philosophy underlying the utilization of
2ll(d) grants to achieve institutional development
Conclusion
The University of Iowa regards the research and teacbing components
of this program to be closely related an1 zrutually reinforcing The
University of Iowa offers a strong base for the pro~ram because of the
interests of faculty members here now because of their contacts with
scholars in this field in other Americ~~ and foreign universities
because of their experience with the international exchange of faculty
and because of the distinctive data gathering and processing facilities
available in our Laborator~- for Political Research The program which
we have formulated is designed not only to accomplish specific
research and teaching objectives but to contribute to the long-term
development of the University of Iowa in an area in which it has already
exhibited special interest
BEST AVAILABLE DOCUMENT
~ I) - 0
- 19 -
The program on Comparative Legislative Studies with support from
this Grant rill develop the capacity at the University of Iowa to
provide assistance under separate financing arrangements to developing
countries in a number of ways and through a varieiy of channels This
assistance which would be arranged for end negotiated separate~ from
this Grant may be in the form of technical assistance advisory service
training research and information exchange etc It will be available
by mutual agreement to appropriate agencies national and international
public private a~d mixed and directly to the less developed countries
Most especially this added special competence will inevitably become
incorporated through the processes of scholarship and education into
the competence of US and foreign scholars and institutions concerned
with this topic of great significance to the developing and the more
highly developed countries alike
BUDGET SUMMARY
UNIVERSITY OF IOWA
Salaries
Graduate Student Stipends
Fringe Benefits
Travel
Equipment and Services
Other
TOTAL
$173090
32400
19209
13800
6501
20000
$265000
BEST AVAILABLE DOCUMENT
d bull
srjmiddot (~~ jjXilO
IO
rmiddotmiddot ~middotmiddotrl f)~~ 7 middot 1 ~A~~ middot1 rmiddot middot~ rt bull middot bull bullbull I ~ i bull bull ~ middotv- middot bullbull ~ I
1 so bullbullbull l ~--~-- - - ---- ~ V~ i Jlgt ) bullbullbull ~(lr v ~I ( tr_ 1middot-middot 1 bullbull 1
il l~ J
2 c~loto
BEST AVAILABLE DOCUMENT
(C
Dr Willa~d l Boyd Presicient University of Ima iowa City Iowa 52242
Dear Dr Boyd
4 AUG 1977
amp
FIJNDS AVAnASLe CpoundNrftAamp sEIMCEs DMsON
AUG11 ~n te t6417 ~77
Subject bull Supplsectferit-tJF-G~middotNomiddot~middot AIOcsd-3294
t middot-rrPJ1 3
I am pleased to inform you that pursuant to th~ auth~rity contained in
S-cction 211 (d) ooC the Foreign Assistance Act of 1961 as amended a sup
plemental grant in the amount of $200000 is h~reby r~de to University
of rCi1a These supplement]l grant funds areprolided to support the
activities which are described in your Proposal dated May 6 1977 for
the implementation of your program entitled Political Conditions for i
Effective Small-Scale Rural Assistant Projects
---This sup~lemental grant is mace to University of Iowa en condition that
yo~r institution shall administer the funas provided under this Grant fn
accordance lith your r~ay 6 197 proposal (including Budget SUmlilary) and
the Standard Provisions (as incorporated by Amendment No 1) which have
been agreed to by your instit1ltion Ti) the extent of an inconsistency
between the Proposal and the Standard Provisions and any otherprovisfons
which ar~ made a part of thi5 Giant by reference or other~iSe the Sta~d~
ard Provisions shall control
The new Duration Period for this Grant shall beAugust 11 1971 through
August 10 1979
The total amount of funds obligated under the grant is increased to reflect
a new total oblgated amount of $465000
Please sign the Statement of Assurance or Compliance ana the origfnal -
and seven (7) copies of this letter to acknowledge your understanding of
the conditions under which these funds have been granted Please return
the Statement of Assurance of Compliance and the original and six (6)
copies of this supplemental Grant to the Office of Contract Management
Attachment May 6 1977 Proposal and Budget SUfiT1a ry
UNIVERSITY OF IOWA
Roberw bull OBrien fficer
Ce al Operations Division Office of Contract Management
AC~E~E~C--_ 0 BYpoundk~~ cH
D C ~lpoundSTtR5BA T ITL E ( PfeampoidPilt for
tee ment amp Research DATE 9-22 -77 (d~ ~~Bduate Ctl~1e~e
BES i AvAILdLt UOCLJMU~ I
211(d) Grant Program
Proposal of the University of Iowa
POLITICAL CONDITIO~S FOR EFFECTIVE SMALL-SCALE
RURAL ASSISTA~CE PROJECTS
Submitt~Ci to
Civic Participation Division AID
May 6 1977
Amount requeste~ $ 199987
BEST AVAILABLE DOCUMENT
I TdE DEVEIOP~T PROBr~
P~litical Conditions for Rural Development
The Cocparative Legislative R~search Center of the University of
Iowa proposes to ~~dartake a two-year study to investigate the role of local
leaders and the rural public in theimplecentation of small-scale develop~ent
1 projects in less developed countries The study will use and extend the
capacity ~hich the University of Iowa developed under a 211(d) grant to
investigate and assess the impact of loeal politics on rural development
~t the co~pletion of the s~ Iowa will be in aposition to advise the
Agency on the design ~nd evaluation of s~ll-scale projects which will be
politically viabe a~d effective in ass~sting the rural poor ~
As students of development w~ approach our task with the assumption
that the proble~ of development and underdevelopment are funda~entally
ones of political econooy and a~ such can only be solved through a
simultaneous considerationof economic and political factors Efforts
which foc~s aloost solely on economic factors like those of ma~y
organizations engzed in dipersing foreign aid or efforts which focus
almost exclasively on political factors fail to take account of the
interdependence between these two dimensions of underdevelopment and
lwe have for~ulated this proposal in a canner consistent witr the cu~rent policies ard interests of the Agency We have been guided in our tsk by four Age~cy doc~e~ts Impleo~~tation of New Directions in Developnent Assista~c~~~ ~eport to the COmlittee on International Relations on Ilupleoenshytatiun of Legislative Refo~ in the Foreign Assistance Act of 1973 (July 1975) rItevis~d Projec Developiel Review and Approval Systeo (A I DL Circular A-21 Aril 23 1975) SH Butterfield Draft SUIilZ3ry StateUlent of a Practical Agelcy Approach c aural Devalopilelt (AATA February 28 1975) Cicci A Coce~ual Oie=viamiddot middot Rural Development No1 (lWorilting GOU O~ tha Rural Poor February 1975)
- l -
can meec with only l~ted success
Our concern with the i=pact of local politics on the process of
rural developcent is a result of our interest in the basic question of
how LDC governm~nts and the donor agencies which assist them can
become core effective in raising the standard of living of the rural
poor We seek answers to the following aspects of that basic question
1) What political conditions must exist both within rural communities
and between theo and central gove~ents to raise agricultural production
w~ere small-scale agriculture is the do~nant pattern 2) Vnat are the
political conditions for a core rapid expansion of the informal manufacturing
and service sector cocprised of labor intensive small-scale industries
located in the rural ar s 3) What political structures and activities
are mase crucial for the provision of welfare and econocic supporc services--
such as agricultural exeension mar~eting and transportation--to the rural
areas1 4) ~~at Folitical conditions oust exist to insure that economic
growth in the rural areas is not accowpanied by excessive and intolerable
inequalities between socio-economic classes andor between regions1
Center-Periphery Linkage in LDCs
To deter~ne the political conditions for rural development we have
in previo~s s~udies exacined the institutions and processes through which
rural populaticns are integrated i1to the national politi-cal systetlS of
middot~he countries in which they live A gap exis~s in most less developed
countries bet~een the peasantry residing on the periphery and the c~~tral
political ~stiutions staffe1 by ~~estern-educated bureaucratic elite
We are aware of the other major ~sti~utional discontinuities which comprise
J
4 middot~~1 the basic cleavage between the developed and underdewmiddoteloped sectors of
these dual societies Bridging these gaps is essential if these so~ieties ~ are to develop into viable nation states For until those Q~ the periphery
of the poli~ical syste~ participate in that system and support and comply
with the authority of central political institutions neither economic
development in ~he rural areas nor a stable polity will emerge
Bridging the discontinuities in these new political systems requires
establishing and institutionalizin3middot1inkages or networks for co~unication
and exchange of resources between decision-makers at the center and the
rural public on the periphery Three types of institutional linkages are
most prominent in less developed countries 1) those conSisting of the
state administration composed of the bureaucratice1ite 2) those consisting
of a revolutioncry political party cocposed of the ideological elite
3) and those conSisting of patron-client hierarchies composed of the political
entrepreneurial elite
Of these three linkages consisting of the state administration are
the cst extensive and pervasive in virtua~ly every LOC Such linkages
however exist primarily a~ instruwents of the center to penetrate the
periphery Central government officials are formally charged with bringing
develo~ent to the people This is a ~issi~n which conceives development
as a process ~hrough which a traditional peasantry is transformed and
assimilated iJro the DOdern center which is steadily expanding to embrace
it Agents of the center invariably have more resources to achieve their
objectives than do local political leaders but because they are frequently
strangers~ the communities in which they function they are often unable
- It -
co implement the policies of the center without working through the
local establis~ent
Though somctices significant linkages consist~g of revolutionary
party organizati~ns such as those found in China and Vietnam do not exist -
in most IDCs beca1Se of the special historical and e~omic conditions
required for their development As wi~h the administrative state however
the linkaampe apparatus of such political patties is prUlarily an instrument
of the center whose mission is to penetrate and mobilize those onthe
periphery
In contrast patron-client hierarchies are linkages which represent
the periphery at the center and mediate betwee~ these two disparate
sectors of the political systec Thcugh norcallymiddotovershadowed in scale
by the state administration patron-client hierarchies are found in almost
~very LDC a~d constitute the ~st significant network through which rural i
populations and their leaders influence the decision-~king process at
the center Patron-client hierarchies exist in a wide variety of org~iza-
tional fores ranging from info~ ~ec~~rks of individual olitical leaders
in uno-partyll systelS in S~b-SaharaI4 Africa to extensive political machines
in both one-p~rty (Africa Mexico) and ~u1ti-party systems (Turkey India)
Despite their importance as the pricary means through which peasants in
LDCs particiate in their political systems patron-client hi~rarchies
have only recently become an object of analysis by students of political
developent and do not appear in even the most sophisticated studies of
2 See Jo~ Dunca owell Peasant Socie~y and Clientelist Politics Aerican Politi~ Scielce Revietol 64 (June 1970) pp 411-25 Rene Lemarchand anc_ Keith Legg olitical ClienteliSJ and Ethnicity in Tropical Africa Aierican Political Sc~ecce ReView 66 (Y~rch 1972) pp 68-90 James C Scott PatronshyClient Politics a~d Political Change II 1tlerican Political Science Revie~ 66 (~arch 1972) p 91-113 and Friends Followers and Factiols bull edited by Steffan Sc~~d and James C Scott (Berkeley UniverSity of California Press 1977) bull
- 5 -
3 economic development Ad~niscrators of developmental assistance progracs
have too often regarded patron-clienc hierarchies as ~ped~ents to
develop~ent instead of recognizing cheir potential utility bull
~ Findings on Patron-Client Hierar~hies --
The importance of pat~on-clienc hierarchies for linking the periphery
to the center is one of the major findings ~erging from a study of the
relationships betueen l~gislators an~ their constituents in Kenya Korea
and Turkey ~hich the Cowparative Legislative Research Centpr is nov
comleting uader its 21l(d) grant from AID This study has av~mined the
creation of linkages between the periphery and the center through ~ore
than lO~OOO interviews with members of parl~ent local leaders and
peasants in t~e three countries The findings are being systewatically
set out in a book-length monograph Nearly a dozen research reports have -
uready appeared (see Appendix C) ipropositions about the nature of
political behavior of rural populations an~ the roles of local political
elites de=ived from the research~ can be s~rized as follows
1 Elected representa~ives play a significant role in the creation and mainte~ance of linkages be~een the center and periphery by developing local political achines in which they function as patrons of their constituents In turn thay s~rve as clients of political leaders of national stature who control central government institutions
2 By atte~pting to establish linkages based on patron-client relatio~shi~s elect~d representatives are responding to public expectations chat their prizary duy is to obtain resources from the center to proffiote local develop~ent ~iany elected repLesentatives spend most of their time on self-help co==unity development projects such 3S the building of schools health clinics irrigation works arid roads because such projects provide
3For exa~le ~ a widely respec~ed a~d useful analysis of rural deve16p~ent in Sub-Sahara~ Africa L~ Lele of the World Bank notes the problems of creating an adoini5~raive infrastructure in the rural areas that is sensitive to local socio-oliical conditions She does not however consider how local leaders operating o~tside of adcinistrative structures ~ night contribute to the developne~t 0 the rural areas See ~~ Lele ~ Design ~ Rural Develop~ent Lessons ~ Africa (Balt~re The Johns HopkiD~ Uciversity Press 1975) r) pp 127-61 i ~
- 6 -
their const~tuents with desired se~ices ~~d a= the sa~e time provide the reresentatives with an orgacization Yhicn can be used as a political base
3 l-tore than 90 perCel1t of the rural population is capable of articulating the p~oblems facing their local co~~ity and two-thirds discuss th~e proble~ w~th their fellow citizens on a regular basis
4 Three-q~rters of the residents of the rural areas can identify the public ofpoundici~s who serve thec--both civil servants and elected represcrtatives--by na~e Most are knowledgeable about the activities of these officials Alcost one-fifth coreover have discussed co~~~ity probl~ ~ith these officials particularly those working at the grassshyroots level Residents of rural villages actually have a higher level of political knowledge than their counterparts in the towns
5 Elections in the rural areas evoke a highly rational attern of voti~g despite the effects of ascriptive or traditional co~siderations Inc~ens are pri~rily evaluated in terms of their record in fulfilling the public r S elpectations of what they should do Elections are essentially referenda on inc~entsr perfo~ce especially their perforwance in the area of constituency servi~es such as bringing development projects to the districts bull
6 Local developcent projects have a relatively high s~olic value generating conscitutency support for local leaders and the central government at low cost
7 These projects help huild a local political infra-structure which can also be utilizec by central govern~nt civil servants to implement other policies designed to achieve rural develop~ent bull
The Icpac~ of Local Politics on Rural Projects
Having explored the developtent of linkages through which the periphery
is represented at che ~enter and through which the periphe~ attemp~s to
share in the ceners resources we now propose to build upon our initial
investigations by e~ing in greater detail the impact of local political
conditions on specific problecs of rural develop~ent We propose to
exacine the develop~ental activities of local leaders ~nd the rural public
by eX2~Ding a saple ot fifteen to twenty smalL~scale developwent projects
in each of ~he three countries which constituted the sites for our initial
8ESI AVAILABLE DOCUMENT 1 ~ - of
- 7 -
study of center-perhiphary relations The appropriateaess of this approach
and the ~ethodology through which it will be ip~emented is discussed in
section II Because the ~ethodology of investigation is in large part
the result of our previous research experience we fizst turn to a revieW
of the existinQ __ ~petence of the Comparative Legislative Research Center
in this area
II GRAXTEES EXISTIXG CmET~CE
In 1971 the University of Iowa received a 211(d) grant to develop
its capacity to do research on the role of elected represent~tives in
the process of modernization On the b~sis of this grant the University
established a research center which planned and carried out a research
project on the role of elected reres~~tatives as links between the central
gove~ent and rural populations in K~ya Korea and Turkey The project -i
served to develop t~e University of Iowas research capability in this
field esa~lished ties between the University and scholars in the bost
countries and generated a large and uniqu~ body of relevant data
In that project we fo~ussed our attention on tbe activities of elected
representatives in their constituencies notably in their contacts with
local political leaders voters and civil servants To determine tbe
nature of the linkage function performed by tbe representatives we
designed our research to explore the subject from three perspectives
1) we eXaojned ~~a ~ubject at tbe grass roots by conducting a series of
sample surveys of 200 to 300 adults in each of 12 to 14 parliamentary
constituencies in each cf th~6three countries 2) we examined the subject
at the center by intervie -ing MIls from the constituencies in which we
had conducted S3mple surveys ~nd higher civil servants with whom they
had contact and 3) ~e ex~~ined the subject from an inter-~diate level
by identifying aud ~terviewing local social and political leaders in
the MPs constituencies We used survey research methods because we
were embarking on the study of an entir~ly new subject for which little
relevant docu=e~tary data existed and on which there were few secondary
sources As a result ~e have unparalleled experience with survey
research in the rural areas of less develo~ed countries
The surveys which constituted the cajor part of our field work were
planned in collaboration ~~th scholars from the host countries They were
carried out in each constituency by student interviewers in the appropriate
language ~re than 10000 respo~dents were inteDViewed for the project
Given the visibility and sensitivity of this undertaking approval for
the research was sought and obtained from the host governments prior to -i
the collec~ion of data ~o objections were raised by these governments
at any stage of the research The data obtained have been made available
to scholars i~ the host co~cries and some of the basic findings have
been published in periodicdis in these countries
The Comarative Legislative Research Center ~hich ad~nistered the
project has aisO developed extensive experience in the study of political
leadership in other countries It h3s obta~ed substantial support from
the Fo~d Foundacion and the Rockeeller Foundation has worked in
collaboration ~~h European as ~ell as Asian and African scholars and
is engaged in a ajor study of the role of elected and non-elected leaders
in the oanag~~t o~~ocial conflict Because it has conGucted research
in a variey of setlngs the Center has an ~ceptional capacity to
- 9 -
determine how the relationships be~een political institutions and
economic p=oble75 differ in develoPed and less developed countries
In the course of the major research projects the Center has administered
it has gained highly specializpd ~p-i ce iI identifying 1Olitical leaders
in a great variety of settings conducting systematic interviews with
them collaborating with scholars in the host countries and in coding
and utilizing large files of data to answer specific research questions
The Center has ~lso undertaken to publish the results of its research
in three fores It issues codebooks to the data enabling scholrrs at
other locations to use the data expeditiously i~ publishes research reports - in the form of Occasional Papers and it publishes a scholarly periodical
devoted to the presentation of research findi~gs to an inteIT~tional
audience
The Center utilizes the data ~ysis facilities of the Laboratory
for Political Research of the University of Iowa and drawS on the unusual
n~er of secialists in comparamptive politics and survey research in
~~e Lniversitys Departmen of Political S~ience The Center itself I
has the services of an administrative secretary and a clerk-typist
~intains its~o~cn extensive archives and its o~~ publications program
It is e~uipped to assist scholars and government officials outside the
t~iversity of Io~a The participants in its p~ojects are full-tioe
faculty ~e=bers ~hose undergraduate and graduate teaching is closely
related to their research As part of the teaching program the Center
has attracted students from the countries in which the research projects
have been conducted these students have participated in the projects
bull J
have obtained training in other fields of political science have received
University of Iowa degrees~ and have ret~rned to teach and to do research
in their own countries
III PURPOSE OBJECTIVES AID METHODS
Purpose of Study
The purpose of the proposed grant is to extend the capacity of the
University of Iowa to determine the political conditions in the rural
areas of less developed countries which favor the establis~ent and growth
of small-scale developoent projects ~e objective is to put the University
of Iowa in a position to assist the Agency in designing small-scale rural
developent projects providing guidelines for carrying out social soundness
analyses of such projects and adviSing in the evaluation of projects
We will discuss the utilization of~t~e Universitys capacity in detail in
section IV below
We propose to concentrate our investigations on the political conditions
surrounding s~l-scale ru~al projects Such projects have distinctive
advantages They waximize the political participation of the rural populations
both in det~~-ining the direction ~d implementation of develop~ent efforts
and in defending the interests of periphery vis-~-vis the urban-based
bureaucratic elite S~ll-scale projects stimulate entrereneurial activity
on the part of the rural citizens and growth of the info~l canufacturing
and service sector Tbey require less lead tice and less administrative
c~erhead to ~eco~e operational than large-scale capital-intensive projects
centrally administered Such projects yield rapid and direct benefits to
1
j
the rural
- 11 b - ~~1
populations and are consistentwith their hUIlaD rights--both
political and economic However~ small-s~le projects pose s~ecial probl~s for administratcrs of developceocll assistance progracs because
they require the donor co assess the local olitics particularl the
rural politics of t~e host country
Develop~c adoinistrators pr~rily conc~rned with assisting rural
populations must therefore recognize the range of political variables
affectL~g these projects Small-scale projects offer great opportuoities
for develop~ental assistance progr~ because they can be easily targeted
to help rural populacions require low capital costs and need no be
concentrated in one or two localities Such projects ho~ever~ ~equire
the a~istrator to have ~re political kno~lecge than large-scale
projects Oil which his priJlary tas~ is guiding the work of other experts
Questions for ~Investigation
To detercine the politi~al cc~diicilS ~st conducive to ~he establ~~ent
and gro~h of scalI-scale rural projects ~e propose to address our inquiry
to the following specific questions
1 To what extent and why co local political leaders seek to establish s~~l-scale develop~ent projects within their co~unities
2 To what extent and ~~y do local leaders other than politicians initiate andor provide leadership for s=all-scale developm~t projects
3 Bot do the relations bet~Jeel different types of local leaders (political and non-political) and bet~eeo these leaders and central gove~ent civil servants posted to the rural areas affect the conduct of develop=ent projects
4 How do existing authority ~eLationships between these different leadership grous and the rural pub~ic affect the organization and operation of s~l-scale develop~ent projects
- 12 -
~
5 lhlt is the nature 0 pclgtlic participation in the establishlent and operatio~ of s~l-sclle projects and ~hat are the outcc=es or this participatioe Gucer w~at conditions is such participation ~ost likely to occur
We seek a~swe=s to t~cse questio s L order to determine the effect of
different co~iigurations of local leadership and public participation on the
outcomes or small-scale rural projects te are particular1y concerned with
the ~pact of these configurations on the rate of econocic growth and the
distribution o~ rIGSlth ithin the loal cOlllUlity ~ on the perce~tions of
s~ll-scale proj~cts by central govern~ent per~oncel and the rural public
anmiddot on the organiation or flture projects
To a~swer these que~tions it is oar intention to study the initia~ioD
izJple=enation ald i1lpact of a salple cpound small-scale rural projects in
Kanya Korea and Turley in the sae cOllities in which we carried OU
our initial icvestigations ~ 1973-75 Tne relationships between the -
various conf~gurations of local leadership and public participation and
the three phases of project develop~ant are sho~ in Figure 1 We will
exa=ine projects to pro~ote the adoption of new agricultural techniques
by s~l and moderate landnolders the building of feeder roads irrigation
ditches and other s~ple infrastructure the organization of fa~ers
cooperatives and other local associations concerned with rural development
the establish=ent of rural health clinicS and schools and the setting up
of craft and service industries
Sites for Study
We plan to return to our original set of localities because we possess
a rich body of relevant data on the extent to which linkages exist between
Figure 1
TYPES OF LFLUEXCE OF C2r~ middotGOVER1iEXT OFFCIALS
LoCu LEADERS 0 THE RURAL PUBLI-C OX THRr~
PHASES OF RURAL igtEVELOPHET PROJECTS
r----------~J C~ltral Gover1~nt Official)-N------- - J
r- Local pOlitical leaders
Local non-political leaders
~l 1---- -
ROJECT nITL~TIOS
Influ~ce on selection of projects
InrI ~elce on location of projects
Influence on policy guidelines for proj eCl
Il
I
a
I I
-I PROJECT I~L~~iATIO~ ~ 1
j Project Organizati I Selection of project
leadership
Hobilization of resources
Mobilizatiol of public compliance with project require=elts
Diffusion of project innovation
Rural Public
I
BEST AVAILABLE nOCUMENT
1 ROJECT IMPACT
Organization of ongoi=g project operation
Distribution of project benefits
Evaluation of project
Public attitudes toward project
-middot14 -
these areas and t~c central p~litical institutions of the three co~tries
and on the attit~es of the rural populacioc local leaders and elected
legislators regardi~g their problecs of develop~~c Since such data
is unavailable for alternative locales a return to the areas in which
we have previously done much research ~ables us to build on a uniquely
valuable body of icformation
A return to Kenya Korea and Turkey is also highly desirable from
the standpoint of effective research organization The Comparative
Legislative Research ~enter has developed close collaborative relationships
with several highly competent social scientists in these countries and
with the academic institutions with which these scholars are associated
We have also dev~_oped cooperative relatio~ships wi~ gove~ent officials
in these countries which should facilicate obtaining approval for our
further work
In proposing to doc~ent the origin i~pl~entation and impact of
one to three s~ll-scale develop=ent projects in each of 35 localities
we have two considerations in mind Firstmiddot because our pr~ry goal is
to deter~e the political conditions for rural developm~Lt we wish to
examine develQ~=ent in as many different settings as feasible Only in
this way can we control for so=e of the major socio-cultural variations
that erist along rural populations in less developed coultries These
include the overall level of econo~c development in the co~unity the
nature of t~e ~digenous culture an~ relationships of authority and the
pro~ty of the comounity to major urban areas and centers of central
gove~nt ad=inistration ~ce our original study sites were carefully
BEST AVAILABLE DOCUMENf
- 15 - ~ ~1
selected to represent these variations ye have concluded that these
35 localities woule be ideal sites for the propose~project Second~ in order to dete~~~ the ~pact of local leaders and public
participation o~ ~ural projects we intend to compare projects 1n which
local leaders and ~ecbers of the public have played a major ~ole with
projects in which they have not We also ~l cospare projects initiated
by the central gover~ent with projects Yhich have been locally initiated
These considerations give us a typology for selecting projects as depicted
in Figure 2
Figure 2 ~
FIVE TYPES OF RU~AL PROJCTS ACCORDIXG TO ~FLUEXCE OF CEITiW
GOVE~1E~T LOCAL LEADE~ AD RLRAL POULATIO~
Level of Participation by Rural Population
Locus of Project Initiation ~
Local Co=unity Central Governoent
BIGd
LOt
1 Projects initiated by local leaders and providing for participation of the rural ~opulation
4 Proje~ts Litiated by local leaders bu~ not involving participation of the rural population
2 Projects initiated by the Central Govern~ent and administered i~ cooperation with local leaders a~d the rural population
3 Projects initiated by the Central Govemlent and providing =or the participation of the rural population but by-passing local leaders
5 Projects initiated by the Central Gover~e~t a~d administered in cooeration Yith local leaders but not involvi~g parti~ipation of rural population
- 16 -
We recognize that the socio-cultural setting of rural develoment
projects varies significantly within and across less developed countries bull
By focussing o~ a representative sa=ple of localities ~ Ke~ya~ Korea
and Turkey we can take account of naoy~ though not all of these variations
While some of our substantive findings will not be directly generalizable
beyond the countries in which we propose to conduct our study we expect
that our basic ~ethods and fLdLgs will be applicable to national and
sub-national settings elsewhere in the developing world This is partly
d~e to the fact that the hierarchy of patron-client relations ~hich we
regard as a critical factor in rural develo~~t exists in ~ost Liles
--It is also due to the fact that the methodology for identifying local
bull leadership configurations auG poundor studying local politics which we are
perfe~ting can be used to assess local political co~ditions in a large
variety of countries even when the ~nditions themselves differ significantly
Methods of Investigation
The data needed to assess the iDpact of local leaders and mass
participaticn on rural dev~lop~nt fall into two categories Some a~e
contained among the data gathered for the research project we are currently
completing Others will require additional field research
The following data are already in hand
1 Data on the social landscape of each loc~l co~nity i~cluding aggregate data o~ level of econonic development de~graphic characteristics political pa=ticiation eth~ic loyalities and rates of socio-econocic change dur~g the past decade bull
2 Identity of local leaders including both political and I-on-political leaders and both legislators and other politicians
3 Perceptions of existiag probl~ and their possible solution a~ng
l)tS r AVAilABLE DOCUMENT
- 17 -
general public local leaders and civil serv~nts
4 Level of political kno~ledge among local citizens and local political leacers
5 Political and social values a~ong local ci~izecs and local political leaders
6 E~~ectacions of leadership roles among the local public and elected and non-elected leaders
7 Patterns of co~unication ~ong local leaders and between local leaders and the central gove~e~t
These data ~hich ~e already have in hand can be subjected to analyses
which ~~ll provida the foundation for our further work on rural develop~ent
projects A part of our work therefore will consist of fu~ther analyses
of existing data
New data of the following kinds are also required
1 Doc~entary data on the origin and evolution of particular smallshyscale develop~cnt projects in the rural areas
-2 Data on project costs boih ~itial invest=ent and recurring
operating costs and data on project ou~puts ie pupils in schools Ddles of road coopleted nl~ber of hospital a~ssions production of factory agricultural productivity
3 Data on project organizatio~ n~~r of local inha~itants participating in establis~~ent of projectt nuober of local L~habitants subsequently involved in project
4 Data-on the pe-cetion of projects by local leaders emers of the local public a~d by civil servants data on the perception of how each project ~as initiatec organized who benefitted and what its future implicatio~s are
These types of data will requ~re field work involv~~g both docucentary research
at the relevant ~istries of the central government and in local goverr~nt
authoritieS and inforoal open-ended interviews with local political leaders
elected representatives and other local leaders who~ we had previously ~
interviewed in a s=uctured syste=atic =aoner
BEST AVAILABLE DOCUMENT
- 18 -
Grant Organizatio~ and T~etable
We propose co undertake the research outlLled above beginning in the
fall se=ester 1977 Dur~g that te~ Professors Barkan and Kim as
principal investio~tors for the neo1 proj ect will contact their collaborators
in the host co~~tries They ~~ll also seek the collaboration of an additional
~rican scholar specializing in rural development with the aic of getting
additional advice on sources of data and suitable indicators for the
~easure=~~t of rural develop~ent projects
At the end of the fall seQester Professors Barkan and Kim will make
a trip to their research sites to disc~s details of the research organization
with their collaborators in the host countries and to recruit student
assistants Tney will devote the spring te~ 1978 to further analysis
of a~sting data at the University of Iowa
The gathering of additional dita L~ the field will begin in the s~er
of 1978 Professors Barkan and Kio will direct this work personally We
eAect that its coopletion ~~ll require three to six months This work ~1
involve the evaluation of central and local gove~ent reports on the
projects uncer investigation extensive on-site observations of the projects
and oen-e~ded interviews with the principal participants Our principal
respondents ~i1l be the local leaders and elected representatives we
have previously identified in the localities in which we have worked and
a sacple of active participants in the particular dpvelopment projects
being studied ~~ere necessary and apropriate surveys of the general
public will be uncertaken to assess the inpact of a given project on the
rural por)r We do not however leed 0 conduct systeAlatic sample surveys
BEST AVAILABLE DOCUMENT
- lY -
of the rur~l population as We did in 1974
In the organization of this research project we intend to reconstruct
the rese~rch tea=s ~e e=ployed during 1973-75 We shall again seek the
co11abo=~tion of P~ofessor Sc~~S-7o~g Pai of Seoul National University ~
Professor IIiCr Turan of the University of Istanbul and Professor John J
Ok~u of the U~iversity of ~arto~ S~ilarly w~ contemplate directing
the field research fro~ he same acade~ic research organizations we previously
used Seoul National U~ive~sity th~ ~~iversity of Istanbul and the
Insti~ute for Develop~eut S~udies University of Nairobi As before we
will tra~ students f~oo these institutions to serve as interviewers
The analysis of the open-ended intervie~s and of docUQentatio~ on
I ~ural develop=e~t projects will be a ~ore t~e-co~s~g process than the
analysis of closed intervie~s It will reqrire a high cotnittl~t of time
fron the principal investigators )e e--pec to hold a conference at the i
U~iversi~y of Iowa 3lO1g all the principal )clticipa~ts in the resea~ch
project d~=~g t~e spr~g 1979 to evalua~~ the newly collected data
le e~ pect to be able to vr-ite reports of t~ results during the Sl1~er 1979
(see Figre 3)
IV LlX-GS ~1) U~ILIZATIO~
At the e~d of the grant period the Uti ersity of Iowa will be able to
1) advise the Agalcy 01 the design of s~l-scale rural projects to assist
the rural poor 2) provide guidelines for social soundness analysiS of
small-scale projects for the rural areas of U)Cs 3) consult w~th the
Ag~tcy 01 the evaluatiol of rural projects ~d 4) provide LDe governments
BEST AVAILABLE DOCUMENT
)ATES
~lll
1977
~inter 1977
iprilg 1978
il mer 1978
~all
1978
ipr~ng
1979
Imiddoter 1979
University vf Iowa
Plutlning of rural develo~rent project
Barkan Kil
Alalysis of existing data
Barkan Kia
Data processing
3arkan Kin
1
I
- 4 -
Figura 3
GRAT TLfETABLE
SIT E S
Kenya Korea Turkey
Preparation of field research ural developH~lt project cOlisulta~io~ a research sites
BarkanOku=u Ki~Pai Tura~rkanKi~
Preparation of field resea-ch
Tural
Field research on rural cevelop~~t projects Bar~lOk~u Ki=Pai Turan
Co=pletion of Co=pletion of field resear~~I~ fiald researcr
Ok~u i Pai bull
f Coopletion of field research
Turan
Data analysis conference a~ong all princial i~vestigators at Un~versity of Iowa Barkan Kil Oku=u Pai Turan
Co=letiol of r~ral develop~ent
project
3arkan Kiz
BEST AVAILABLE DOCUMENT
I
- LL -
~ith speciali~cs o~ ru~al developcect ~mong their own citizens ~ho ha_
partcipatcd ~s collaborators in the Iowa projects
In the proposed project we Will test a series of hypotheses cOlcerning
the political cOllditions of rural develo=ent which run counter to CODOn
assuoptions conccrnir3 t~~ influence of rural politics on project effectiveness
As a result ~e ~dll be able to assist the Agency in designing and evaluating
such projects froe the point of V~~W 0 their political viability The
hypotheses We will test sugges~ t~at the patron-clie~t relations existing
in the local politics of zost LDCs are not necessarily i~pedients to rural
develop~ent but are aspects or the political structure which cal be used to
facilitate s~ll-scale ru=~ projects which will raise the standards of
living of _ ~ rral pomlation - As ~ result or our stuey we expect to be
able to P~-O~t the local leadership confi5~rations ~4d the relationships
between local leaders ald rural poclations ~nich are oost conducive to I
successful develcp=en efforts We believe that we will be agtle to perfect
a cat~odology for identifying the political conditions for rural develop~ent
one ~hich is transferable pound~oo the countries we have specialized in to
other LDCs
We proo~ to develop specific guidelines to assist administrators
charged with selecting evaluating and =onito~ing rural develop~ent
projects to ~szess t~esc rojects in tares of their-social and political
viability he outco~e of such projects is dete~ned not only by the
efrectiv~nass ~~=h ~hich they use scarce econo~c resources but by the
~~er L~ w=ich they e~gage the suppprt of local leaders and rural
po~ulatiocs~ by thei= effect ou social a~d econo~c equality ~d by
D[~T AvAlLA8LE DOCUMENT
- 22 -
their consequences for hwan rights ~Je plan to establish criteria by
middot~hic~ the probable outco~es of projects in these social terms can be
anticipatec
The study ~e propo e will be undertltlken by faculty at the Cniversicy
of lowe in collaboration with faculty a other ~rican institutions and
institutions in the host countries We will build on the extensive contacts
between the Co~perative Legislative Research Center of the ~niversity of
Iowa end other instituions with ~aich ~e have worked One =ajor result
of our collaborative study will be the existence of a net~ork of compe~ent
scholars both in this country and overseas experi~lced in ~orking together~
shar~g a co~on teaching and training experience i~ close contact throu~~ the
effective publications progr~ developed by the Co~parative Legislative Research
Center T~e e~~ertise of this group of individuals will be ava~lable to
oteer scholars to the Agency and ~o L~C governments for specific policy
advice The eXertise developed as a consequence of this project will
extend beyond the ~tionals of the countries ~volved since the univ~sities
engaged in ~e project attrtct stude~ts fro outside heir own countries
For ey~=ple the teaching ~d research progra in the Depar~ent of Political
Science 0 theUniversity of Istanbul heavily affected by the participation
of its facul~y ~e=bers and graduate students in our projects attracts students
throughout the ~middot1iddle East for Whom the University of Istanbul is the iajor
institution ~pound ~igher education in the region rne Institute for Developmen~
Studies is si=ilarly a focal point for students and faculty in East and
Central Africa Seoul ~atiocal Unive=sity attracts students froo other
Asia~ co~tries~ In this way the capability developed among the participant$
BEST AVAIL~BLE DOrUMENT
- ) -
in our work is diffused widely To the exte~ that the abili~y to assess
rural develop~ent p~ojects in teres of their social soundness is increased
both in the United States and in ~o~~tries r~ceiving develop=en~ assistance
the cap3~ity of racipien~ countr~es to absorb aid is ~creased
We propose to draw up an inventory of personnel available in ~~e
Cnited States and in other co~~tries who are able to consult with developen~
a~nistrators on the design of rural development projects and on their
evaluation We ~~ll draw first of ai~ on individuals w~o have been
directly associated with our ~ork in the past or on ~he proposed project
and ex~~~d the list to include graduate students and gove~ent officials
with who~ these individuals have wor~d
tole Yill utilize tha existing publication program of the Center
dercribed above to disse~inate our findings The Center has specialized
oailing lists of interested individuals and institutions in all parts of -i
the world and its reports can trerefore reach the ~st relevant audience
jirec~ly ~d re~~arly
BESl AVAIL~BLE OOCUMENT
CONTRACfjGRANTCOOPERATIVE AGREEMENT DATA SHEET
INSTRUCTIONS fjDW Complete 4 copies of the form Original SERCMSDSUP Statistical Section Copy Copy 2 SERCMSIiUP dministrative Copy opr 1 Contracting Officers COy COP) 4 SERCMSDSUP IUmin (Suspense) Copy
Missions Complde 2 copies oi the form Origin31 SERCMSDjSUF- Statistic31 Section Copy 3n~ Copy 2 Nill be ret31ned in the Missions
PART fA
ConU3lttorGranrce Name
University p~f~I~o~wa~ __ -r~ ____ ~~~~ __________ -~~ __ ~~~ ______________ ~~~~ Plorr Numt-er ApptopriJtion Number Allotment Number Project Number
930-0090-3Q13411 A5 72-111l0216 146-30-099-00-20-11 930-0090 Project Title
So~ia1 and Potitica1 Aspects of Development - Conference to Report Research Findings Amount of this Plorr I Projecl M3nagers Name and Offire Sytlbol
$10397 (increase) PDPRCP Jonatlan Silverstone Contr3ctors D-U-N-S Number
Ncgwatocs TYJlCd~3meJ j) Signature I l ~ jIf- bull G HtJ--ft u l IVmiddot
D~e
L - f - J ContractGrant Officqs typed Nailllt Signalure LJ d I -r-
plusmn t 3i-alflpta (( BLvle~ 1 I~ PARTm
ContractGranl Number
AID CSD-3294
Effeclive Date of Docum~nl Signalltre D3t~ of Documenl
Lf---C yen-~-gl tIost Courtry Institution (U iwrsity contract ONL Y)
Campus Coordinator (Uniwr ty i contract OiiL YJ
PART UL Descriplion of Cor-tractGrant P1use X ONL Y ONE item under each headiZg IF THEltrease CifYmC~e bolh ges I 30~~ O~ Nol to be completed for Amendmenl or Modlfic3lion AJigtns I III
J 710gt I I V ~ I
MOl - TYPE ACT A~ 0 G unsolicited Propsll (AIDIR 0 C Individual (Non-pe~nal senice)
~ O Cortra lGrantl ooperative Agreemenl 73101-SO(b)(6raquo 0 D Individual (ftrsonal Service)
tJl T3sk Order ( A)middot 0 H Procurement 10 be Perfocm~d by the Conmiddot 0 E UniversilyOther FAuC3lionailnSlitulions
D 2 Work Order (IQC) Ira~lor in Person (AIDPR 0 F Non-Profil Organizationlnslitutions (other
D 3 Delivety Order (Requirements) 73101middotSO(b)( Iraquo than Ed or PVO)
[j 4 Purchase Ordcr [J I Sole Source (AIOPR 7-3101-SO(b)(4)) 0 G Private Volunury Organization (PVO)
If I 2 or 3 1Lle an ~ compllle M 12 ON Y D J Imp3irmenl of Foreign Policy Objectiws 0 H International Agricultural Research Organj-
M04 - CONTRACTGRANT TYPE
o O MOA (BOA BMA etc)
o I Fixed Price (Specify fFP FPRD FPEPA FPI) _____ _
(gtIDPR 7-31 OJ SO(b)(7raquo
OK B(a)5eJection (FPR 1middot1713-1)
o L Grant iH1ndlOok 13)
o M Do Nol Ue
D 2 Cosl Reimburemenl (S~cil) CR CPFF 0 N Cooperative t~reement (Handbook 13)
CS CPAF CPIF) ~ 0 O Small Business SeImiddotAside (FPR 1middot1706-8)
o l Cooperative Agreemenl ~ 0 1 Overseas Procuring AClivilies (AIDPR
04 Grant Gener31 Supportmiddot 0U ~ 7lIOI-SC(b)(2))
o S Granl - Specific Support ~ ~06 E SER VICE
g ~ ~~t ~~(d) ~~ ~~ ~ eci~a~~~~~ogram Projeci
o amp IQCs ~ ~ relampted excepi A amp E Services)
o 9 Host Counlry ContraclGrnnt 5lJ C amp E Services
middotComplele ONLY through ~Sl ~~ 0 D Construction
M05 SELECTION PROCEDURES 0 E- Reseuch
o A Formally 3dverliscd (IFB) (A1DPR 7middot24 amp
FPR 1middot24) ~ o B Negoli3ted Price Compelilicn Gencr31
Procedure (RFP) (-JDPR 7456)
Dc A amp E (AIDPR 7410)
0 D Ed Inst andor Inl1 R~arch (-JDPR
74 5)
o E Collaboratoe Assisunce (IDPR 7458)
C F Predominant Capability (IOPR
73IOI-50(b)(l)
AID 1420-49 (179) - Page I
D F Technical Services to AID (other than trainmiddot
ing usually o~ating expense)
D G jraining SetVice for AID
o H Equipment Materi3J~ Supplies Commodities
D I Translation Service
~07middot TYPE CONTRACTORGRA-nEE
o A Firmmiddot AU profil-rn3king fUms (other than
Aamp E)
J e A amp E 8r~
zalion
o Public Inlmlational Organizations (UN
Agencies ICRC Wocld Bank elc)
(H8 J 3 Chapt~ S)
M08- TYPE AW~RD
o A S8 Sel-Aside - Awarded to Non-Minority
o B S8 Set-Asidemiddot Awarded to MinXity
o C_ S8 NOI Set-Aside - Awarded to Non-Minority
o D S8 NOI SeImiddotAsidemiddot Awarded 10 Minority
o Eo amp(a) S8A Awarded to Non-Minority (Womerl-
Owned Veterans etc)
o F 8(a) S8A Awarded 10 MinorilY
o G Personal Sen-ice ConlrdCt bull Non-Minority
o H IeJSDnal Service Conlract - MinorIty
o I Individual NonmiddotPersonal Service Contraci -
NonmiddotMinority
o J 100Jigtiduai NonmiddotPersonal Service Contracl -
Minorily
o K NOI Small Business (Univ NonmiddotProfit Large
Firms) Non-Minorily
o L- NOI Small 8usineSl (Univ Non-Profit Large
Firms) Minorily
o M US Govcrnmlnt
(Connnued on Page 2)
BEST AVLABIE DOCUMENT 1 I
--
ua ) R I GI NAL 9 bull
MODIFICATION or GRANT PAGE 1 of 2
AH 1 2 Effective Date 3 Grant No 4 Effective Date
Amend_at Ro 5 April 15 1981 AIDCSD- 3294 8-11-71
-s CRANTEE (Name and Addrea) 6 Administered by -Professor Gerhard Loewenberg -Office of Contract Management Cbrnparative Legislative Research Gente Central Operations Division Dept of Political Science am Branch University of Iowa Agency for International Developn~nt Iowa City Iowa 52240 Washington D C 20523
7 PIO No 930-0090- 3013411 A5 8 Previous PlOTa -
Appropriation No 72-11110216 93i-1l-995-l36 930-11-995-136-73-3078103
Allotment Symbol - 146-30-099-00-20-11 wunt Obliga ted by this ~ndrnent - $10397
The above numbered Grant is hereby modified as follows
1 Anotmt obligated prior to this rurendment 2 Amount obligated by this amendment 3 Total obligated anount (1 amp 2)
Delete the amJmt $465000 and substitute in lieu thereof the ammnt I$47S 39-7 ~
FUNDS AVAIrABm
~~ - APR 13 1981
PrO~A~~5iors
$465000 $ 10397 $475397
OffiCE Of fIN~(1 ~~rE~E~T __ _ 10 This amendment 11 entered into puruant to the authority of the Forelgn
Assistance Act of lS~l as amended Except aft hereln provided all terms and ~~ndi~ons nf the grant rcferpnccd in Block 13 remain unchsnged and in full force and ~ffcct
11 original and six Crantee 18 requlred to aign thh document aad return 1- eopics to issuing
ffiee
~~~ or printed) BUSINESS MAHAGR amp bull
Tille TREASURER
UNITpound) STATES OF AHERICA AGENCY FOR INTERNATIONAL DEVELO~NT
BY_-1(1o-_1lt--= 13middot~_1_~ __ K R B1uteau
(Name typed or printed)
Tltle~ ____ G_r_a_n_t __ O_f_f1_c_e_r ____________ __
D3tC APR 2 J 7997 Dolt 9 APq 1981
BEST AVAILABLE DOCUM NT ___ 0 HLGlNAL - I 1 J 1 ~ )
- 2 -
AID ftmds in the am)tmt of $10397 are hereby provided for the activities lmich are described in your proposal (including Budget Stnmnary) entitled CDnference to Report Research Findings on the Study of Political CDnditions for Effective Small-Scale Rural Assistance Projects in Kenya Korea and Turkey dated February 17 1981 and made a part of the Grant b reference
BtTDGET StMMARY
Line Item
Travel
Per Diem
Other Direct Costs
Less existing 211 (d) grant funds
Total Amount Obligated by this Amendment
Estimated Costs
$ 5888
5100
_ 2500 $13488
_ 3091
$lO39
Note Indirect costs or $395086 associated with these activities will be contributed by the University of Iowa
BEST AVAILABLE DOCUMENT
~RIGINAL
- CONTRACT IGRANTCOOPERA rIVE AGRElEMI~ SERC~SDSlP Actio) Monitor
SERCMSDSUP Action Office
I
INSTRUCTIONS AJDW - Complete 4 copit of tlh fonnmiddot Orisina iCMSDfSUP Sutistical Section COP)middot Copy 2 SERCMSDjSVP Administrative CoP Copy 3 Cont-acting Officers COP) Copy 4middot SOSUP Admin (Susptnse) Copy Missionsmiddot Complete 2 copies of the form or~aI SERCtSDSUP Statistical Section Copy and Copy = wiU~ retained in the Missions
0 PART IA
Effective Date of Document tJ
Delivery Order (Requirements)middot
o 4 Purcluse Order
bull If I 2 or 3 have an bull X compl~te M I 2 ON L Y
M04 - CONTRACTGRANT TYPE
o O MOA (BOA BMA etc)
o 1 Fixed Price (Specify FFP FPRD FPEP FPI) ___ _
o 2 COli Reimbursement (S~cifY CR CPFF CS CPAF CPIF) ______ _
o 3 Cooperative Agreement
o 4 Grantmiddot General Support
o S Grantmiddot Specifi Support
o 6 GraDt 21 led)middot
o 7 Do Not Use
o amp IQCs
o 9 Host Country ContractGrant
middotComplete ONLY through M 5 1
MOS SELECTION PROCEDURES
o A Formally advertised (IFB)(AJDPR 7middot24 amp
FPR 124)
o B Negotiated Prire Competition General
Procedure (RFP) (AIDPR 7456)
o Co A amp E (AlDPR 4 I 0)
o D Ed Ins andor Intl ReStalch (UDPR
7457)
o E Collaborative ASSistance (AIDPR 7458)
o F Predominant Capability (AIDPR
7-310l-50o)(3)
AID 142049 (1-79)middot Page J
o H Procurement Co be Performed b~ the Conshy
tra~tor in Person (AlDPR
7middot3t OI-SO(b)(Iraquo
o I Sole 5gturce (AIDPR 7middot3101middotSO(b)(4raquo
o J Impairment of Foreign Policy Objecdv~
(AIDPR 7middot310 ImiddotSO(b)(7raquo
o K 8(a) Selection (FPR 1middot1713-t)
o L Grant (Handbook J 3)
o M Do Not Vse
o N Cooperative Agreement (Handbook 13)
o O Small Business SetmiddotAside (FPR 11706-8)
o P Overseas Procuring Activities (AIDPR
7middot3101middotSO(b)(2raquo
M06middot TYPE SER VICE
o A TtJining of Participants
o B Technical Assistmce (Program Project
related exc~pt A amp E Services)
J C A amp E Services
0 D COltl~ruction
0 E Research
0 F Technical Services to AID (other than trainmiddot
ing usuaU Y operating ex pense)
0 G Training Service few AID
0 H Equipment Mat~rials Supplie~ Commodities
0 I Translation Service
07middot TYPE CONTRACTORGR TEE
Firmmiddot All profitmiddotmaking fu-r1s (other than
AampE)
o 9 amp E Firms
I Prcct NumbcT
I
Contactors D-U-N-S Numbcr
I) -S--f(j
o C Individual 0-lon-~rsora1 service)
o D Individual (Pet-sonal Service)
o E University lOt her EduCltionaJ Institutions
o F Non-Profit Organization Institutions (other
than Ed or PVO)
o G Private Voiuntary Organization (PVO)
o H International AgricultwaJ Research Organmiddot zation
o I Public International Organizadon~ (UN
Agencies ICRC ewld B3J1k etc)
(HB J 3 Chapter 5)
M08middot TYPE AWARD
o A SB SeImiddotAsidemiddot Awarded to Non-Minority
o B SB SetmiddotAside bull Awarded to Minority
o C SB Not SetmiddotAside - Awarded to Non-Minoril)i
o D SB Not SetmiddotAside - Awarded to Minority
o E ~a) SBA Awarded to Non-Minewity (Womeli
Owned Veterans etc)
o F 8(a) SBA w-rded 1o Minority
o G Personal Service Contractmiddot Non-Minority
o ~ Personal Service Contnct - Minority
o I Individual Non-Personal Sence Contractmiddot
NonmiddotMinority
o J Individual Non-Personal Service Contractmiddot
Minority
o K Not Small Business (Univ Non-Profit L1lge
Firms) --vn-Minority
o L Not Small BUSiness (Univ NonmiddotProfit Large
Firms) ~inoriy
o M VS Government
(Continued on Pcge 2i
t bull - t ~ J f q
ORIGINAL bull MODIFICATION OF GRANT
1 2 Effective Date
Araendllent Ro 4 12-2-80
s CRANTEE CHace and Addrels) Professor Ger1ard Lo~middot enbelg Comparative Legislative Research Deartment of Political Science The Lnivp-rsity of Iowa Iowa City Io~a 52240
7 PIO No NI A
Appropriation No 72-11XHl26
Center
Allotment Symbol -426-30-099-00-3~-71 Amount obligated by this urendment-O- I
3 Gnnt No
AIDcsd-3294
PAGE _____ 1 _of-L
AlI 4 Effective Date
8-11-71
~ Admlnlltered by -Office of Contract Management Central Operations Division OTR Branch Agency for International Development Washington DC 20523
8 Previous PIOITs -
931-11-995-136 930-11-995-136-73-3078103
9 The above numbered Grant is hereby modified as follows
Supplement to Grant
Change the duration period sentence to read
The Duration Period for this Grant shall be August 11 1971 through December 31 198]
1 Amount obligated prior to this amendment $465000 2 A~unt obligated by this amendment -0-3 Total obligated amount (1amp2) $465000
----------------_- - ------- ----_- ------ 10 Thh lImcndmcnt is entered inlo punuant to the authority of the Foreign
~ Assistance Act of 1961 86 amended Except a~ h~reln Z II provided all terms and condi tions nf the grant referenced in Block 3 remain ~~aunchlinged and In fu1l force and effNt cnltUI cJ)za 11 o 4 J bull
Et~ ai~a gtUoItshyc Z P=u
original and six Grantee t requi red to sign this document and return 1- eopies to 1Bufng
office
~ 12 GRANTEE TES OF AMERI CA
(Name typed or printed) bull
TJlle Director Comparative Legislative liecearell CeQtoQl
Date 12880
------------------------------------
ONAL DEVELOPMENT
By ----~--~~~~---------------------
prinled)
Grant Officer Title --------------------------------
J)oll( 12-2-80 -----------------------------
BEST AVAILBLE DOCUMENT i je
- 2 -
Please acknowledge this Grant by signing the original and six (6) copies of this letter and one copy of the Statement of Assurance of Compliance Please return all documents to the Grant Officer
Sincerely yours
h_~~ - John A ~
Attachments
1 Assurance of COTpliance 2 Final roposal amp Budget Summary 3 Standard Provisions 4 Appendix Art
ACCEPTED
BY ________ ~~~~~w_----------
BEST AVAILABLE DOCUMENT
trrmiddot L1
ASSURANCE OF CCMPLIANCE WITH TEE AGENCY FOR INIEO-mATIONAL DEVEIOPfElT REGUIATION UNDER TrlIE VI
OF THE CIVIL RIGIDS ArJr OF 1964
TIm UNIVERSITY OF IOWA (hereinafter called the Grantee) (Name or Grantee)
~y AGREES THAT it rlll comply with title VI of the Civil Rights Act of 1964 (P L 88-352) and all requirements imposed by or pursuant to the Regushylation of the Agency ror International Developnent (22 CFR Part 209 30 FR 317) issued pursuant to tmt title to the end that in 8ccordallle vith title VI of tmt Act and the Regulation no person in the United S~tes shall on the ground of rece color religion sex or national origin be excluded from participation in be denied the benefits of or be otherwise subjected to discrimination under and program or 8tivity for which the Grantee receives Federal financial assistance from the Agency and EEREBY GIVES ASSURNCE HAT it will immediately take any measures neeessary to effectuate this agreement
If any real property or structure trereon is provided or improved with the aid of Federal filencial assis+ance extended +-0 the Grantee by the Agency this assurance shall obl~te the Grantee or in the case or any transfer of such property sny transferee for Ue period during Which the rea property or structure is used for a purpgtse for which the Federal finJmcial assistance is extended or for another purpgtse involvilg the provision of similar services or benefits If any personal property is so provided this assurance sball obligate the Grantee fer the period during Which it retains Ol nership or possession of the property In all other cases ~ this assumnce sball obligate the Grantee for the period during which the Federal financial assistance is extended to it by the Agency
IHIS ASSURANCE is given in conside-ation of and for the pu-pose of obtaining any and all Federal grants loans contracts property d1scounts or other edeml financial assistance extended after the date hereof to the Grantee by the Agency including installment payments after such date on account of applications for Federal ~inanc~l assis~~e which were approved before such date The Grantee recognizes and agrees that such Federal financial assistshyaI1ce vill be extended in reliance on the representations and agreements made in tris assurance and that the United States shall lmve the right to seek judicia enforcement of this assurance This assurance is binding on the Grantee its successors transferees and assignees and the person or persons whose signatures appear below are autmrtzed to sign this assurance on behalf of the Grantee
TIm UNIVERSITY OF IOWA
BYSignature)_~~~~~~-__
TYPED NA1E ------~~~~~~---------
DATE
TIT IE
-2 I1--ltaL--i-~-I-l 7
BEST AVAILABLE DOCUMENT
FROPO~AL FeR SUIORT IiiliZR TI~
INSTITlJTIOXAIJ C1PlfTS POGRAlmiddotl
Neue of Applica1t state University of Iowa
Date of Application 1ay 25 1971
~itle Comparativ~ Legislative Studies
D~ration 5 years from date or grrurt
futlOtllt of the Grant $2t5COO
SUJ1VARY
The UriversHy cf ICmiddotia propcses middotlit~ stpport f~om the Agency for Inten2aticlal Dcmiddot-eloprent -io enlw_nce its ccpacity in t1C field of COlpCilative lieislative studies lIith ia area emphasis on Africa a1Co Aja Tb~ Ulversity of IC1-a ltiill lse gr~nt fu1ds to carry out s tu-iies of l-gslatures in celatim to political ei sccial developrrr2t develop 91 archive of data on legislative liEtedals exp_1d a1d iiprcve cu-ricula in this field of study and ting tmiddot) tne Uni-ersity guest professo-s uld scholals frol LDCs ~lti ot18r US intituticns to enlch the prcgral at IOwa Tbe University of IOia has sprcial cCtetence in social science res~arch met~odologr cOipaatiye stui~1 of legislative behavior and tee dev~lop~ent of ~ultifactored data sets Building u~cn this ccmpetence the Unverity of ICa will use gr2Ilt funds to develop comparable neas~res of cross-countr3 ~~d historical data on legislative develo~~ent initiat~ stUdies of traditional factors a~d salience o~ legislative instituticns and expand and i~ro~e upon naterial for teaching at IOia through estab1isling collaborative research arrangements with relevant scholars in the US and overseas
_lis propoal is one of three closely coordinated gra1lt proposals frcm the University of Icmiddot3 Duke Uniie-sity and the UniYcrsity of Ha~ii The University of Iowa iill participate as a member of an Inter-Universitf Advisor Co45rittee which -Till plan s~~osia pro~ote publicatic~ of resea~ch results avoid duplication of effort arronz the three gr~~t~e instit~tions and facilitate exchang~ o~ students and faculty Tit) fo-eign msti tution hen desirable
BEST AVAlLAB~E DOCUMENT
~9
-
II
of a special cot~~e il -~Ze subdiscilin~ of ccparative legislative
stl~esOlcig 1- 2s emiddottensiVe Cc~a arhives These stucies hill
lock a ~te crei-re 3G~i~1 ad eccror5c bac~6rt)Q1d cf legislators
perrcrra1ce 1 this -gac f1Q their clltthr~ place middot ithin the goverl-
Itental ltL~middotmiddot~)O v_LA __ alli Africa ~middotot~ld ce the nioerJ geogilpbic areas
of fcc2s ~~lt -C~ ellsi-ely Disciplinary phass middot-iould bmiddot in
ftlnction
rC-e ri~~sit dill ccrcertrate cn legislative influence 1 relation
to s~ecific c~-middotc lc=s~ ~ ~ ~oclens as Eel elt2ple umiddotC 9L1izltion population
Its geographic focus
plic~i s~ciolog Ct~olics
BEST AVAILABLE DOCUMENT
- 3 -
Te iiersity of aiiaii xill build upon its edsting geoganic
focus on Asia and integate a progra of legislative studies middotdthb its
cc~~t~J ard area s~eci~lizaticn prcgra~s Korea Indonesia ~d Thail~~d
are prcnir~ent aleas in Ea- -aii r S gtrcgt1 alcng ~ith cc-palative ~ ork i~
the Pacific Islads Studi-=s by Halaii ~-ill for exaple compare the
legislative roles in econosicelly slcce~sful cO-L1tries iiitb thei roles
in countries ilitb lesser econcmic gro~-rth It ~middotrill conversely compare
economic i~~ications of cotntdes cr elatively strog wit those of
celatiyely veak legislative systems Emaiis approach would be
intercisciplinary to includ~ political science and bistory plus a streng
III middotnior ~noes ale Activities
1is ga1t is to aCieve t~o pucpcses 1) the en11aLcenert at the
Univesity of Io- middota cf institu~ional capacities for ~~i1ls releya~t to
t~e couparaiive study of legislative orga1izaticn ftnction ald
de~ent as these relate to tle process of ~ocietel moden7ationshy
ceyelop-e~ ad 2) the gele~ation and collation of a bcdy of priJciples
that ca be utilized cy AIu in poliCJ decisions that relate to
re~uests for tec~middotal SlppOt of letislstive institutions in fadlitating
developler~t These biO puposes ca] be s8z-ved ily pursuing the fclloflirg
specific activities
l Training d0mestic 8ld for-eign students in the design and
eXecuticn ot syztcr3tic re6=ar(O en ~he v8--ying Tole that legislatures
pJa~r in the roc~ss of ~detuiaticn-ieve] 0plcn The results cf their
021
BEST AVAJLABLE DOCUMENT 1 lr
- 4 -
2 Incr~asilg the e-istirg skills e1d redirecting the interests
of dc~estic ~i foreign sc~olars to the comparative leg~slative field
rne Univer3i ty 0 I01[ generally ~rill be erric~ed by t1e presel1ce of
these scholars a1d its ccr~arative leBislative prcgraIl in particular
~middotTill be ennalced by the nemiddott kl1o~ledge that is generated
3 Cooperating id th a11Q other-ilisc facili teting the ork of scbolars
of less developed cOll1tries in rultidisciplinary ark at the Univeisit~r
of Imla en the rcle 0 legislatures in the charlcter of regire legitimacy
as -ell as on re developCent cf a cetralized data bmli at Io a asse~blilg
raterials on legislatures a1d develoent tre logic behind the bank
a1d tile techniques related to its use
4 Diffu~ing relevant ~et~odological ~1d ccrc~ptual teals in less
deelo~ed cOlUltries through the loove enrichent and redirection of
indiviQual~ and t~e ~evelcp~ent of the data b~k) thereby =ultiplying
bott ihe qumity cud quali-vY of the researcl~ frcm which existing
curricula at Io~middotw can be expanded and re curricJla dtveloped
5 Increasing the size of tJe imrld~ide pool of professional ad
expert consujtants ~lalable r-ot only to IO~il Du-e 81Q Hawaii to dra-t
en but also to AID in the pursuit of sev~ral aspects of its
6 Creating nullgli th~ p~ogral at the Univers~ty of IOa the
substance of a stbJisciplire and in cooperation odth similar prograos
at other ~imiddotelsities 811 organizatic1al Gtlucttltre ~nt ca ~vbilize
continuine i1t~-rtiorr1 intrest i1 a11d sapmt fron orgaiations
interested il deveJopr-ent
BEST AVAILABLE DOCUMENT
1(1 1
- 5 -
itl Suppor- f~ctl this Grat tre University of lei-Ilt ~dll cO1centrate
e1 fclts in this prcge~ en legislative behavier variables tat telp
e91aL ~hee specific 3sten cha~a~teristics 1) the scpe of olitics
2) e style IJf goverQent ~tnd 3) the legitirlacy of the regine For
tis l)1lpcse te gtrcglam -rill ex~e releva1t coparative factors il
a lage nlt=~er O~~ African and Asian legislative institttions The
Univcsity of lO~middotIa ~lill also uldertslte the study of these legislatures
at -a~iClS cLts in tire This ~lould gtequie the use of time series
cat t1G historical SClrces not cctl9arable to contempOral7f sou=-ces of
Fe each of te legislatures included for study Ima -iill seek to
a1al~ze suc] cbractelistics of t~e legislative systen as 1) the
atricutes cf ecers--te process of their recruitment their so~inl
~c cccupalonal backgro-lI1ds their politically relevant srills their
role c~ie1lttio1s inclcirg ht~ir concept of represeILtation and the
pe~pound~ge 1~r5th 0- tente in tbe Ipgislat~re 2) t~1e distribution of
the f0~al 211 inforl rales of 2ocedure the leadersnip groups the
cr-osi tio1 and role 01 legisl3tire staffs a1d the kinds and freqlelClJ
of legisative sessic~s 3) the ~utputs of the instituticn--the agenda
of issues tre modes c- cotenticn el1d the qU11titr and kinds Jf
decisions
)middotemiddoter llllike studies of ~hese fctors in the past Imla is
BEST AVAILfBLE DOCUMENT
- 6 -
The for~Ietic1 0 tneol-y lO this coarative 8seerch of
Tiiill ~erdt equivalent cmiddotoss-sy-ste~ ~easuelents are 8O1g te r6st
irpctant aSgects of tle prcject It r2y be one of the ~c-st valuable
esllts of Io~a I s efforts ad ~dil reCuire close collGbor-tion arong
t~e pa~ticipents bull
p_ Cc=-arative Legislative Research Archive
lltOle a subsb Tltial aolIlt of legislatie data has been collected
in a1j- different cOL1tri8s very little of this iateriul is cOJarativE
1middot-s of it has teen collected by individual reseachers on e single
CQl~ty Cc~adson in legislative research is thus difficult because
=2 01 r3j cClalties are ot available at a sirgle location in s sLgle
is a clear ~eed for the ce~t~alizGd acq~sition ~ or ~ne
available data to per t the forulaticn and compGrative testlg of
~eorics aoc~t le8islativ~ behavior As a major part of this program
te Uive3ity of 1mmiddote 9poundlS to establish a data arch-e to begir to
big te existing legislative sttiies tcgetber at a sirgle location end
to ~-ke ~i~er ~ccessible +0 the grm-ing 1unoer of irterested scbolals in
Once J~1ese data have O~en brOght tcgether tney will contribute to
-~ pogram t IO~middotia in -I~middotiO -poimiddottant ~middoteys First the dats -Till be
utEized in traLig graduate stud2nts T1e rea13lysis of d~ta to test
BEST AVAIL~BLE DOCUMENT ( 1 t
- 7 -
faculty at the University of Imllt1 and from omiddotrerseJs tlitbout slch an
acbival base those dtdies Ylould be ver lil1ited in the hypotheses
ter could test The quali ty of this re search eqerience fill be
(o1siderably enha1ced by the aVJilability or data for co~arison dth
t~e data generated thlcugh the ccllaGorative research sponsored by the
traini~g progca~
Once gathered a~d refo~tted the data ~~ll be ~ade available to
sc~olars students al1d other interested persons outside of tre University
of Io ra P(r exa-nple appropriate data sets would be available to other
llsti utions tat pre ccoperating in t~is program ie Ha-waii Clla De
~ese could tten be used in curriculul developent at tbose schools as
middotell as Ll the pre-grar at the UJiversity of Imre Finally data could be
aie available to i1di-idlal sc~olars and institutions overseas for use
1 teir research a~d trailing progrems The cUIlulatiie effect of this
disse~lilation and staring of data ~i11 be an enrichme~t of research an
Llcreased flO-I of ne data to the Uriversity of Iewa I3Jld a greatly
ena1ced ability at Iowa to aalyze legislative behavior a--d defelopnent
f 1ssociates
The University of Iowa d31 involve as Associates individual US
arc ~ereign Rcolars fro~l other instibticns in some instances fOl
cc-ivities at Iovll in others as recipents of support Oi research and
oter aciivities middothich coqlement cnd emic1 the program at o a These
Associa-es rill be involved in such activities as ser-lfing es University
of IOim g-uest professors 5~St lecturers 1d visiting faculty
lticipel1~s L ccnfiences and s~riosia and as collatJoratiEg 2search
BEST AVAILABLE DOCUMENT
- 8 -
cevelcged c~lt-ies Smiddot~yemiddotl such projects core already uoer ~middotay
and 3y potetial ss~cetes ~ave been identified and thei ilterest~
211 gtarticipeting i1 t~e ~Cglar1 ascertained
He -resc1t ge~sc-~el a1d acilities of the University of Iomiddotro
plcvice a very st-cre basis for the research atJd training programs
~rnich ~middote a~ ~rc9~3L1g -fmever the further development cf legislative
suCie3 ali a pec~ent streugthenLlg of ~he progrun of Iomiddot ~ is a major
a oes3icral Demiddotmiddotelc~ Galt fur~ds will be uSed by the
LT~iersit2 c la= ~ icreasing te nUbe of faculty specialists in
cClJses ir sjcts elated to the subject atter Specificallr grant
fuimiddotis dll ce usee to ac3 one pernanent faculty Uemoer in roliGical
scienc~ ~middotit s~ecia iltcests b legislaive beh3vior ald political
dloYl-nt a-o 81 a29 cmiddot-petence in Ardcan pclitics and to bring
(lculy -emiddote-s fro less ceveloed countries to spend a peri cd of time
at the TJ1 i si ty o~ Io~middot adine sechtl expertise to the ~od~ at Iowa
other middotisosel -~ i_ le irol1ght to IC~ia as needed to support those nO~T
or --18 fc~~ti r~lt 7ds ~rill also be ilsed to finance data collection
exlts-s ~) t~-e res~imiddotch iork of tte acult the Associate scholars
BEST AVAILABLE DOCUMENT
1~ II
- 9 -
cesigned tgt trrtin US and foreign-born st1lcents in le6islati-~e rese=z-cndeg
Sttde1fs ~dll be tdTi tted cr11ally to 9 proeragt iihicn ~iould irclude a
tro~ot~h grounding in the r thods of cczparative aralysis the S1ostance
of conparatie politis g-mel31ly end the corrparative studJP of
legislative behavior in 9articulal The Uni-ersity intends to associate
tnese studelts directlr - rith research in Ttlhich faultr 2Cbers are
engaged to encourage thea to dra- U90n the skills end resources available
in this field il ra1Y departnents of the University to enable them to
spend up to one year in field research and to have thel4 snare their
findings middotrih their stmiddottidei~t and faculty colleagues Tle prograII will also
involve foreign scholars middotno are expert in the legislative process of
t3ir o- n countries in the tcaciing fgtimiddotogren both by holding -fisHing
a=point~elts at t-e University of Ioc1d by sUgervisi~g field research
c R d - t- ~ 1 rec C~ of Esta~lis~ed Scholars Tne University of Io~~
plals to extend a1 in-itaticn to seieal foreign scholars duri1g te
gle1t p2riod to patici~te in a coparative legislative researc~ seirar
duriig their visit Their plrticipat~ion middotrill edd 3 lL1iqte diiensicn to
the seiiral hceuse cf theh ~1o~-rlecge of the legislature in their own
C01-try BCmiddot2~ J1is Gemilr -ill be dealing -lith the nos-G current
reseaCIJ o~ l0~ ~ltmiddotJres as ell as discussine desigs for reseach to
fill in cowleuge of legis1timiddotre 1ehclicr -re believe
tret it ill be a l2~lilg experience for all the pclticira1ts--incltcing
BEST AVAILABLE DOCUMENT 1]7
- 10 -
Ima rill lOrk collcboratively ~ith the fOrsig1 5cbolars to design a1d
carry out P reseach pruject These projects Till cc~tribute to the
retlaininB of foreign scholars and nill also add to cur mmiddotm and8rstanding
d Research The 9rinciplI enphases in cesenrcl rere cutlined in
Section III above ie to focus en con-9arative studies in iihich
legislative cehaviol can be helpful in explaining the scope of politics
the style of governcent a1d the legitinacl of regiles Variables hich
will be studied Iost closel~r ircluue tbe persistence of institutional
norms in the legislature oyer time the relationship o~ the legislatue
to ether institutions in fornirg public CC1Cepticns of politics and
the histOl~ical context detelini1g public expectations of the 12risleture
This resea~ch nag both academic and practical objectives
Academically it promises to tie legislative behavior research to other
major concerns L1 pcliti~al science such as research on systeJ stability
and paricrJance Its general substaltive eojective is to assess the role
wtlichlegislatures Illay L1 determining the capability of political
s~lstems especially their ability to deal ~middotith soCial change
Vractically the stu1y ~y offer guidance to polic~Y-Dakers on
t~1e role ~ hich legislatures rray be ~lI-pected to pIa)- in neimiddotrly established
political systelt ald on ~hc efcrrrs in established legislatur~s -Thicn
rray be required to achieve specific syste~ effe~ts The study ~dll
Nquire the assccioticn of rembers of legislative staffs a1d 2cademic
colleagues in the s~eLal nations lmder nvestigRotiop plovidirg training
fot ~ll r)f them i1 leeis1ntive re3Clrch ~ri facilitating a valuble
BEST AVAI~BLE DOCUMENT
ll-
of Iml3 ~ill LS~ glmiddot~t f~ds t~ estaolish a data archive to begin to
bring tb~ edtirg legi31ati--re studies tog3tller at a single locaticn
end to =afe t~e ac~essible to tie grc~ring m~er of interested
scholars in t~i3 field PerSCIlllel of tbe Data Archive ~rill searcD
broadly fo all a-reilable data on legislatures in the possession of
ildiviiual researc~rs i11ese data sets ~-Till be acquired refo~atted
for ease in alelrsis a1d stored in Archive Tne Archive ~~ll
asserble tie etel~ Gata O legislative organization ald procedure the
socialization ~~ recruite~t of lzgislators legislative decision-
makLg pccesses 2d legislative outputs To facilitate access to
the data a ~middote-riemiddotrlt11 syste middoti111 be cesigned that will 2011001 r-=searchers
to find ~iccJ ata sets that c~mt2in inforration lelefalt to their
researc1 po)2e5 RibEcg-aphic citation3 cnd abstracts of research
reports on le~i51e-imiddote oebio ~~ill be gathered and a biblicgraphic
retrieval sys tC idll a Geielc9d to aid esealcJers
cooioinet-e1 ~~as n -ie are= of c~rarativa legislatile studies is
t~3t because 0 si~~e iJS in~ti tuticn ias tce necessarJ expertise
of ccrparati ve
1-=gislatiY2 tcie3 8forts of the most conrpeteat ace interested
BEST AVAIL~BLE DOCUMENT MCi I I yl
12 -
oz~ the tr)middote grantee institutions and otter associated scholars It
~ill ayise t~e pa1tee i1stituticns on SllC catte-s as roritorirg
activities at the t~re~ unive~sities~ evalu~ting rese~rch frr possible
=middotclication sJ--sidies rld ether ratters related to infor~atioTI
disse~~ation coordinating research efforts to avoid duplication
ecilitating excha1ges d sttde~ts ad faculty members ~-iitb foreign
nsti tutions i~en desirable tryi1g to till lacunae in cLIricu lUn
helJilg to arralge cmferelces and sy-posia and generally trJing to
9cote te ~eielcp~2nt of cOlparatile legislative stucies as a
Gra1t L~HS idll be ~sed to support the Univ2rsity of Io -a IS
nrticipation in tre AdisorJ Co-i ttee t1e developrrErt of conferenc=s
elsEfhere il the US arHl over3eas i1 relat2d facets of leeislaive sttdies
Edstng iersonJ~l al~d fa-ilities at the University o= 1oa previde
iaculty facliiies to aid rC3emc~ trailg aPd skill in 21c~ivaJ middotork
BES~ AVAIL4BLE DOCUMENT I
r ~-)
- 13 -
Six ITe-bers of t1e faculty of the Departent of Political Science
at the Unhe ity of Im-ia are presently engaged in legislative research
To merbers ot the Departllent of History are engaged in research on the
British Parlia~ent L~ the eighteenth ~~d nineteenth centuries Fer the
past six years an adv~~ced se~inar has been offered by ~embers of the
Department of Political Science and the Department of Histo~J on
comparative legislative behavior This exte1sive collaboration iiill
ma~e it possible to develop a fully inter-disciplinary program for the
students ~~d visiting faculty In addition faculty ~emcers in
Scciology interested in organizatien theory and in the College of Law
interested in legislctive processes provide furtber e-pertise ava_ilable
to students interested in tee study of legislative behavior The
presence of these specialists on th~ facult~r is reflected in the
excensive librarJ al1d otler data resources existing at Iowa in this
field
The Uniersity of Ima offers an unusually extensive program of
trainL~g in research methods Four ~e~bers of t~e Department of Politi~al
~cie1ce teach in the field of research nethods Courses jn statistics
ca1 be taken ill the Dep~rtents 01 Sociology e-d Educational Psycholcgy
Llis prcgr6l provides a verJ solid grounding il research training and
data analysis
bEST AVAILABLE DOCUMENT
e ~
- 14 -
Y labCrato~y for olitical Pesearch is the reseacc1 md research
tlairirg facility of the Departe1t of Political Sci-lce Gcadvate
students receivo extensive res~arch experience through 1or~ing in the
La oratory bull The Lacoratoy is also a1 integral part of the trainirg
o~feed in ccurs~ T~middotO~ for graduate students
The full-time sta~f of the laboratory includes a director an
assistant director a t-=cl1ical cirector a supervisor of study
t1hteen graduat~ students - rf1rk in te Laboratoy receivLLg teining i~1
~a~a collecticn ~~i data e~alysis Tbe facili te5 of the La)oratorltJ
icluoe a oard eJcerline printer ccnnected to the U1iversitys
dis~ and tape storF-ze for d~ta
The pogral of trailing ia coparative legislative reseC_cch ~ill
relr heavily en t LaOerltcLJ- for taching graduate stucents Visi tine
fc111tr lYe~bes iill be able to utilize tbe facilities cf the Laboratory
gt IOra ~as sFcial ccrpetence in prOCed~les for
ccq ter ogagtlizetion of d~ta Ja1ks ~d fOi the p~ocGssing of large data
sets as well as iJ the sttdy of naticnsl end st~te legisltllres Tile
BEST AVAILABLE DOCUMENT
- 15 -
Ile Univelsity of 10Ira will eadnister- the Grant thJotg~ its normal
a)1 iristrative char-l1els ad i1 Eccordance imiddotlith its ncrTal olicies and
operatirg procedures 7he Director of the gr~l1t-s~~ported program
Hill be a senior faculty eriOer of the Gniyecsity of IO~-ia -with extensive
expe~ie~ce in the subject field Associate Directors w~tb similar
qtalifications -aill also be appointed 7he Director- and Associate
Directors ~dll serve as eibers of t~e Inter-University Advisory CC1gtr)ttee
established to cooidinate _u bullbull ID gra1t-stpported programs at IOia Dul(e
lniversity a1d the University of Ha- aii Ll1 this field These relatiol-
ships are i~dicated in tee follc~dng a~inistrative organization chart
IX Ul~vsity Ccntri1uticn
T1~ ~h-ersity of IQ(a aSSures ALD that this Grant middotiill not
replace existing ftnds for STr current activity and imiddotrill be additive
to existing prograrrs of tCe lJniversity In direct sp~ort of this
Grat ttc University ~ill provide a) Acmi1istratile costs including
tie of senior officers of ttlt University b) Office ~ld research space
ald library and cor-puttr facilities c) Provision of a1cillamiddotCjr 1niversity
personnel -or consultation o~ ~middotjQrk nth the progral
X Reports end 5evie~-Ts
There i-ill be sub~itt-=i al arnual t2ctnical report for the purpose
of AID s revie- of activities under te Gant Tnis idLl include
a11 e-llation of prcsr~ss aidnistratve ar_c fiar~cial corsicer~tior~s
p~s cr tr foJlJ-middotire ear ~i disctlssics of the ossible l~lizaticn
BEST AVAJLIl8E OOCI1MrNT
~
- 16 -
A~~inistrative O~ganization
Ice Board of Regents of tle State of Im-la
-Iesicent of the University I
1 rOfcst Jf t-3 University
Den College of Liberal Arts
r Chailan DcptiEt of olitical ScieJce
Inter-G~iversity
Acisorr Corcittee
PcgrG21 Director Associate Progra~ Directors
Liaison Arcrge~~nts d ~h I I~~erested Plcfessiona1 I Perso~el j
I _
I 5cu1ti (full or PmiddotLG-tire l Asscci~tes a1d otllei non-Io~il
3ecip5ents of Gr3-1t stPPC1t Gr~cue~~e S t1~lcnts St2~retQi~S1 Data Lbed~1 31
Ln 18 r1icia 1
LO1t c~lce Factcj~1 ts
BEST AVAILABLE DOCUMENT ( ( V-t
- 17 -
of te eo17i~g cCpterce br A I D rLld ethers In addi tion there
aS3essr~ents of the gr31t
middot l ~ lI ~ _ _ _ co~~~r~~ing ~~iversiti~s md tne rrctitoring ALD office
7re l~yersity of Ie~middot~ budget of $26500 is to be deveted to the
cemiddotelgt~e~ of lstituticnal cefete1Ce in comparotive legisl~tiye studies
~t Iomiddota c t~ the exalsi0 ot a date b~L-lt ~ hich 1fill be utilized as
a ecle for icrec3ing te scope of tbe sub-specialty
T - 1 f 1 __ middotja r S Ctdget a9roxir~tly 33- has bee allocated to a
cemiddote Lp~l t rirc ipally C actlty re leased tirre for data ccllection
ai 0 3alres f~r i~~er-ieers in field research 3d secretarial
assi5ta1ce nCt2 11- of t~e Icmiddotre oudge~ is iesignated for an
ArCE_1 A~ite s(101a~middot 2d one 0 ore scnolals froQ LDe or
s1lllrt of greluate stucents in the
BEST AVAfLIlBLE DOCUMENT
- 18 -
Finally approximately 19 of the budget will be devoted to the
proposed data bruL~ that will archive not only data generated from the
research of scholars at Iowa Duke and Hawaii but also at other US
and foreign institutions Primary and 3econdary an~ses of these
data will become an integral part of ~omparative legislative studies
curricula The ability to utilize the data bank for teaching purposes
also should have a significant impact on professional preparation ofmiddot
future legislative specialists In summary the funds will be
allocated to research teaching and training activities tha~ are
entirely conson~~t with the philosophy underlying the utilization of
2ll(d) grants to achieve institutional development
Conclusion
The University of Iowa regards the research and teacbing components
of this program to be closely related an1 zrutually reinforcing The
University of Iowa offers a strong base for the pro~ram because of the
interests of faculty members here now because of their contacts with
scholars in this field in other Americ~~ and foreign universities
because of their experience with the international exchange of faculty
and because of the distinctive data gathering and processing facilities
available in our Laborator~- for Political Research The program which
we have formulated is designed not only to accomplish specific
research and teaching objectives but to contribute to the long-term
development of the University of Iowa in an area in which it has already
exhibited special interest
BEST AVAILABLE DOCUMENT
~ I) - 0
- 19 -
The program on Comparative Legislative Studies with support from
this Grant rill develop the capacity at the University of Iowa to
provide assistance under separate financing arrangements to developing
countries in a number of ways and through a varieiy of channels This
assistance which would be arranged for end negotiated separate~ from
this Grant may be in the form of technical assistance advisory service
training research and information exchange etc It will be available
by mutual agreement to appropriate agencies national and international
public private a~d mixed and directly to the less developed countries
Most especially this added special competence will inevitably become
incorporated through the processes of scholarship and education into
the competence of US and foreign scholars and institutions concerned
with this topic of great significance to the developing and the more
highly developed countries alike
BUDGET SUMMARY
UNIVERSITY OF IOWA
Salaries
Graduate Student Stipends
Fringe Benefits
Travel
Equipment and Services
Other
TOTAL
$173090
32400
19209
13800
6501
20000
$265000
BEST AVAILABLE DOCUMENT
d bull
srjmiddot (~~ jjXilO
IO
rmiddotmiddot ~middotmiddotrl f)~~ 7 middot 1 ~A~~ middot1 rmiddot middot~ rt bull middot bull bullbull I ~ i bull bull ~ middotv- middot bullbull ~ I
1 so bullbullbull l ~--~-- - - ---- ~ V~ i Jlgt ) bullbullbull ~(lr v ~I ( tr_ 1middot-middot 1 bullbull 1
il l~ J
2 c~loto
BEST AVAILABLE DOCUMENT
(C
Dr Willa~d l Boyd Presicient University of Ima iowa City Iowa 52242
Dear Dr Boyd
4 AUG 1977
amp
FIJNDS AVAnASLe CpoundNrftAamp sEIMCEs DMsON
AUG11 ~n te t6417 ~77
Subject bull Supplsectferit-tJF-G~middotNomiddot~middot AIOcsd-3294
t middot-rrPJ1 3
I am pleased to inform you that pursuant to th~ auth~rity contained in
S-cction 211 (d) ooC the Foreign Assistance Act of 1961 as amended a sup
plemental grant in the amount of $200000 is h~reby r~de to University
of rCi1a These supplement]l grant funds areprolided to support the
activities which are described in your Proposal dated May 6 1977 for
the implementation of your program entitled Political Conditions for i
Effective Small-Scale Rural Assistant Projects
---This sup~lemental grant is mace to University of Iowa en condition that
yo~r institution shall administer the funas provided under this Grant fn
accordance lith your r~ay 6 197 proposal (including Budget SUmlilary) and
the Standard Provisions (as incorporated by Amendment No 1) which have
been agreed to by your instit1ltion Ti) the extent of an inconsistency
between the Proposal and the Standard Provisions and any otherprovisfons
which ar~ made a part of thi5 Giant by reference or other~iSe the Sta~d~
ard Provisions shall control
The new Duration Period for this Grant shall beAugust 11 1971 through
August 10 1979
The total amount of funds obligated under the grant is increased to reflect
a new total oblgated amount of $465000
Please sign the Statement of Assurance or Compliance ana the origfnal -
and seven (7) copies of this letter to acknowledge your understanding of
the conditions under which these funds have been granted Please return
the Statement of Assurance of Compliance and the original and six (6)
copies of this supplemental Grant to the Office of Contract Management
Attachment May 6 1977 Proposal and Budget SUfiT1a ry
UNIVERSITY OF IOWA
Roberw bull OBrien fficer
Ce al Operations Division Office of Contract Management
AC~E~E~C--_ 0 BYpoundk~~ cH
D C ~lpoundSTtR5BA T ITL E ( PfeampoidPilt for
tee ment amp Research DATE 9-22 -77 (d~ ~~Bduate Ctl~1e~e
BES i AvAILdLt UOCLJMU~ I
211(d) Grant Program
Proposal of the University of Iowa
POLITICAL CONDITIO~S FOR EFFECTIVE SMALL-SCALE
RURAL ASSISTA~CE PROJECTS
Submitt~Ci to
Civic Participation Division AID
May 6 1977
Amount requeste~ $ 199987
BEST AVAILABLE DOCUMENT
I TdE DEVEIOP~T PROBr~
P~litical Conditions for Rural Development
The Cocparative Legislative R~search Center of the University of
Iowa proposes to ~~dartake a two-year study to investigate the role of local
leaders and the rural public in theimplecentation of small-scale develop~ent
1 projects in less developed countries The study will use and extend the
capacity ~hich the University of Iowa developed under a 211(d) grant to
investigate and assess the impact of loeal politics on rural development
~t the co~pletion of the s~ Iowa will be in aposition to advise the
Agency on the design ~nd evaluation of s~ll-scale projects which will be
politically viabe a~d effective in ass~sting the rural poor ~
As students of development w~ approach our task with the assumption
that the proble~ of development and underdevelopment are funda~entally
ones of political econooy and a~ such can only be solved through a
simultaneous considerationof economic and political factors Efforts
which foc~s aloost solely on economic factors like those of ma~y
organizations engzed in dipersing foreign aid or efforts which focus
almost exclasively on political factors fail to take account of the
interdependence between these two dimensions of underdevelopment and
lwe have for~ulated this proposal in a canner consistent witr the cu~rent policies ard interests of the Agency We have been guided in our tsk by four Age~cy doc~e~ts Impleo~~tation of New Directions in Developnent Assista~c~~~ ~eport to the COmlittee on International Relations on Ilupleoenshytatiun of Legislative Refo~ in the Foreign Assistance Act of 1973 (July 1975) rItevis~d Projec Developiel Review and Approval Systeo (A I DL Circular A-21 Aril 23 1975) SH Butterfield Draft SUIilZ3ry StateUlent of a Practical Agelcy Approach c aural Devalopilelt (AATA February 28 1975) Cicci A Coce~ual Oie=viamiddot middot Rural Development No1 (lWorilting GOU O~ tha Rural Poor February 1975)
- l -
can meec with only l~ted success
Our concern with the i=pact of local politics on the process of
rural developcent is a result of our interest in the basic question of
how LDC governm~nts and the donor agencies which assist them can
become core effective in raising the standard of living of the rural
poor We seek answers to the following aspects of that basic question
1) What political conditions must exist both within rural communities
and between theo and central gove~ents to raise agricultural production
w~ere small-scale agriculture is the do~nant pattern 2) Vnat are the
political conditions for a core rapid expansion of the informal manufacturing
and service sector cocprised of labor intensive small-scale industries
located in the rural ar s 3) What political structures and activities
are mase crucial for the provision of welfare and econocic supporc services--
such as agricultural exeension mar~eting and transportation--to the rural
areas1 4) ~~at Folitical conditions oust exist to insure that economic
growth in the rural areas is not accowpanied by excessive and intolerable
inequalities between socio-economic classes andor between regions1
Center-Periphery Linkage in LDCs
To deter~ne the political conditions for rural development we have
in previo~s s~udies exacined the institutions and processes through which
rural populaticns are integrated i1to the national politi-cal systetlS of
middot~he countries in which they live A gap exis~s in most less developed
countries bet~een the peasantry residing on the periphery and the c~~tral
political ~stiutions staffe1 by ~~estern-educated bureaucratic elite
We are aware of the other major ~sti~utional discontinuities which comprise
J
4 middot~~1 the basic cleavage between the developed and underdewmiddoteloped sectors of
these dual societies Bridging these gaps is essential if these so~ieties ~ are to develop into viable nation states For until those Q~ the periphery
of the poli~ical syste~ participate in that system and support and comply
with the authority of central political institutions neither economic
development in ~he rural areas nor a stable polity will emerge
Bridging the discontinuities in these new political systems requires
establishing and institutionalizin3middot1inkages or networks for co~unication
and exchange of resources between decision-makers at the center and the
rural public on the periphery Three types of institutional linkages are
most prominent in less developed countries 1) those conSisting of the
state administration composed of the bureaucratice1ite 2) those consisting
of a revolutioncry political party cocposed of the ideological elite
3) and those conSisting of patron-client hierarchies composed of the political
entrepreneurial elite
Of these three linkages consisting of the state administration are
the cst extensive and pervasive in virtua~ly every LOC Such linkages
however exist primarily a~ instruwents of the center to penetrate the
periphery Central government officials are formally charged with bringing
develo~ent to the people This is a ~issi~n which conceives development
as a process ~hrough which a traditional peasantry is transformed and
assimilated iJro the DOdern center which is steadily expanding to embrace
it Agents of the center invariably have more resources to achieve their
objectives than do local political leaders but because they are frequently
strangers~ the communities in which they function they are often unable
- It -
co implement the policies of the center without working through the
local establis~ent
Though somctices significant linkages consist~g of revolutionary
party organizati~ns such as those found in China and Vietnam do not exist -
in most IDCs beca1Se of the special historical and e~omic conditions
required for their development As wi~h the administrative state however
the linkaampe apparatus of such political patties is prUlarily an instrument
of the center whose mission is to penetrate and mobilize those onthe
periphery
In contrast patron-client hierarchies are linkages which represent
the periphery at the center and mediate betwee~ these two disparate
sectors of the political systec Thcugh norcallymiddotovershadowed in scale
by the state administration patron-client hierarchies are found in almost
~very LDC a~d constitute the ~st significant network through which rural i
populations and their leaders influence the decision-~king process at
the center Patron-client hierarchies exist in a wide variety of org~iza-
tional fores ranging from info~ ~ec~~rks of individual olitical leaders
in uno-partyll systelS in S~b-SaharaI4 Africa to extensive political machines
in both one-p~rty (Africa Mexico) and ~u1ti-party systems (Turkey India)
Despite their importance as the pricary means through which peasants in
LDCs particiate in their political systems patron-client hi~rarchies
have only recently become an object of analysis by students of political
developent and do not appear in even the most sophisticated studies of
2 See Jo~ Dunca owell Peasant Socie~y and Clientelist Politics Aerican Politi~ Scielce Revietol 64 (June 1970) pp 411-25 Rene Lemarchand anc_ Keith Legg olitical ClienteliSJ and Ethnicity in Tropical Africa Aierican Political Sc~ecce ReView 66 (Y~rch 1972) pp 68-90 James C Scott PatronshyClient Politics a~d Political Change II 1tlerican Political Science Revie~ 66 (~arch 1972) p 91-113 and Friends Followers and Factiols bull edited by Steffan Sc~~d and James C Scott (Berkeley UniverSity of California Press 1977) bull
- 5 -
3 economic development Ad~niscrators of developmental assistance progracs
have too often regarded patron-clienc hierarchies as ~ped~ents to
develop~ent instead of recognizing cheir potential utility bull
~ Findings on Patron-Client Hierar~hies --
The importance of pat~on-clienc hierarchies for linking the periphery
to the center is one of the major findings ~erging from a study of the
relationships betueen l~gislators an~ their constituents in Kenya Korea
and Turkey ~hich the Cowparative Legislative Research Centpr is nov
comleting uader its 21l(d) grant from AID This study has av~mined the
creation of linkages between the periphery and the center through ~ore
than lO~OOO interviews with members of parl~ent local leaders and
peasants in t~e three countries The findings are being systewatically
set out in a book-length monograph Nearly a dozen research reports have -
uready appeared (see Appendix C) ipropositions about the nature of
political behavior of rural populations an~ the roles of local political
elites de=ived from the research~ can be s~rized as follows
1 Elected representa~ives play a significant role in the creation and mainte~ance of linkages be~een the center and periphery by developing local political achines in which they function as patrons of their constituents In turn thay s~rve as clients of political leaders of national stature who control central government institutions
2 By atte~pting to establish linkages based on patron-client relatio~shi~s elect~d representatives are responding to public expectations chat their prizary duy is to obtain resources from the center to proffiote local develop~ent ~iany elected repLesentatives spend most of their time on self-help co==unity development projects such 3S the building of schools health clinics irrigation works arid roads because such projects provide
3For exa~le ~ a widely respec~ed a~d useful analysis of rural deve16p~ent in Sub-Sahara~ Africa L~ Lele of the World Bank notes the problems of creating an adoini5~raive infrastructure in the rural areas that is sensitive to local socio-oliical conditions She does not however consider how local leaders operating o~tside of adcinistrative structures ~ night contribute to the developne~t 0 the rural areas See ~~ Lele ~ Design ~ Rural Develop~ent Lessons ~ Africa (Balt~re The Johns HopkiD~ Uciversity Press 1975) r) pp 127-61 i ~
- 6 -
their const~tuents with desired se~ices ~~d a= the sa~e time provide the reresentatives with an orgacization Yhicn can be used as a political base
3 l-tore than 90 perCel1t of the rural population is capable of articulating the p~oblems facing their local co~~ity and two-thirds discuss th~e proble~ w~th their fellow citizens on a regular basis
4 Three-q~rters of the residents of the rural areas can identify the public ofpoundici~s who serve thec--both civil servants and elected represcrtatives--by na~e Most are knowledgeable about the activities of these officials Alcost one-fifth coreover have discussed co~~~ity probl~ ~ith these officials particularly those working at the grassshyroots level Residents of rural villages actually have a higher level of political knowledge than their counterparts in the towns
5 Elections in the rural areas evoke a highly rational attern of voti~g despite the effects of ascriptive or traditional co~siderations Inc~ens are pri~rily evaluated in terms of their record in fulfilling the public r S elpectations of what they should do Elections are essentially referenda on inc~entsr perfo~ce especially their perforwance in the area of constituency servi~es such as bringing development projects to the districts bull
6 Local developcent projects have a relatively high s~olic value generating conscitutency support for local leaders and the central government at low cost
7 These projects help huild a local political infra-structure which can also be utilizec by central govern~nt civil servants to implement other policies designed to achieve rural develop~ent bull
The Icpac~ of Local Politics on Rural Projects
Having explored the developtent of linkages through which the periphery
is represented at che ~enter and through which the periphe~ attemp~s to
share in the ceners resources we now propose to build upon our initial
investigations by e~ing in greater detail the impact of local political
conditions on specific problecs of rural develop~ent We propose to
exacine the develop~ental activities of local leaders ~nd the rural public
by eX2~Ding a saple ot fifteen to twenty smalL~scale developwent projects
in each of ~he three countries which constituted the sites for our initial
8ESI AVAILABLE DOCUMENT 1 ~ - of
- 7 -
study of center-perhiphary relations The appropriateaess of this approach
and the ~ethodology through which it will be ip~emented is discussed in
section II Because the ~ethodology of investigation is in large part
the result of our previous research experience we fizst turn to a revieW
of the existinQ __ ~petence of the Comparative Legislative Research Center
in this area
II GRAXTEES EXISTIXG CmET~CE
In 1971 the University of Iowa received a 211(d) grant to develop
its capacity to do research on the role of elected represent~tives in
the process of modernization On the b~sis of this grant the University
established a research center which planned and carried out a research
project on the role of elected reres~~tatives as links between the central
gove~ent and rural populations in K~ya Korea and Turkey The project -i
served to develop t~e University of Iowas research capability in this
field esa~lished ties between the University and scholars in the bost
countries and generated a large and uniqu~ body of relevant data
In that project we fo~ussed our attention on tbe activities of elected
representatives in their constituencies notably in their contacts with
local political leaders voters and civil servants To determine tbe
nature of the linkage function performed by tbe representatives we
designed our research to explore the subject from three perspectives
1) we eXaojned ~~a ~ubject at tbe grass roots by conducting a series of
sample surveys of 200 to 300 adults in each of 12 to 14 parliamentary
constituencies in each cf th~6three countries 2) we examined the subject
at the center by intervie -ing MIls from the constituencies in which we
had conducted S3mple surveys ~nd higher civil servants with whom they
had contact and 3) ~e ex~~ined the subject from an inter-~diate level
by identifying aud ~terviewing local social and political leaders in
the MPs constituencies We used survey research methods because we
were embarking on the study of an entir~ly new subject for which little
relevant docu=e~tary data existed and on which there were few secondary
sources As a result ~e have unparalleled experience with survey
research in the rural areas of less develo~ed countries
The surveys which constituted the cajor part of our field work were
planned in collaboration ~~th scholars from the host countries They were
carried out in each constituency by student interviewers in the appropriate
language ~re than 10000 respo~dents were inteDViewed for the project
Given the visibility and sensitivity of this undertaking approval for
the research was sought and obtained from the host governments prior to -i
the collec~ion of data ~o objections were raised by these governments
at any stage of the research The data obtained have been made available
to scholars i~ the host co~cries and some of the basic findings have
been published in periodicdis in these countries
The Comarative Legislative Research Center ~hich ad~nistered the
project has aisO developed extensive experience in the study of political
leadership in other countries It h3s obta~ed substantial support from
the Fo~d Foundacion and the Rockeeller Foundation has worked in
collaboration ~~h European as ~ell as Asian and African scholars and
is engaged in a ajor study of the role of elected and non-elected leaders
in the oanag~~t o~~ocial conflict Because it has conGucted research
in a variey of setlngs the Center has an ~ceptional capacity to
- 9 -
determine how the relationships be~een political institutions and
economic p=oble75 differ in develoPed and less developed countries
In the course of the major research projects the Center has administered
it has gained highly specializpd ~p-i ce iI identifying 1Olitical leaders
in a great variety of settings conducting systematic interviews with
them collaborating with scholars in the host countries and in coding
and utilizing large files of data to answer specific research questions
The Center has ~lso undertaken to publish the results of its research
in three fores It issues codebooks to the data enabling scholrrs at
other locations to use the data expeditiously i~ publishes research reports - in the form of Occasional Papers and it publishes a scholarly periodical
devoted to the presentation of research findi~gs to an inteIT~tional
audience
The Center utilizes the data ~ysis facilities of the Laboratory
for Political Research of the University of Iowa and drawS on the unusual
n~er of secialists in comparamptive politics and survey research in
~~e Lniversitys Departmen of Political S~ience The Center itself I
has the services of an administrative secretary and a clerk-typist
~intains its~o~cn extensive archives and its o~~ publications program
It is e~uipped to assist scholars and government officials outside the
t~iversity of Io~a The participants in its p~ojects are full-tioe
faculty ~e=bers ~hose undergraduate and graduate teaching is closely
related to their research As part of the teaching program the Center
has attracted students from the countries in which the research projects
have been conducted these students have participated in the projects
bull J
have obtained training in other fields of political science have received
University of Iowa degrees~ and have ret~rned to teach and to do research
in their own countries
III PURPOSE OBJECTIVES AID METHODS
Purpose of Study
The purpose of the proposed grant is to extend the capacity of the
University of Iowa to determine the political conditions in the rural
areas of less developed countries which favor the establis~ent and growth
of small-scale developoent projects ~e objective is to put the University
of Iowa in a position to assist the Agency in designing small-scale rural
developent projects providing guidelines for carrying out social soundness
analyses of such projects and adviSing in the evaluation of projects
We will discuss the utilization of~t~e Universitys capacity in detail in
section IV below
We propose to concentrate our investigations on the political conditions
surrounding s~l-scale ru~al projects Such projects have distinctive
advantages They waximize the political participation of the rural populations
both in det~~-ining the direction ~d implementation of develop~ent efforts
and in defending the interests of periphery vis-~-vis the urban-based
bureaucratic elite S~ll-scale projects stimulate entrereneurial activity
on the part of the rural citizens and growth of the info~l canufacturing
and service sector Tbey require less lead tice and less administrative
c~erhead to ~eco~e operational than large-scale capital-intensive projects
centrally administered Such projects yield rapid and direct benefits to
1
j
the rural
- 11 b - ~~1
populations and are consistentwith their hUIlaD rights--both
political and economic However~ small-s~le projects pose s~ecial probl~s for administratcrs of developceocll assistance progracs because
they require the donor co assess the local olitics particularl the
rural politics of t~e host country
Develop~c adoinistrators pr~rily conc~rned with assisting rural
populations must therefore recognize the range of political variables
affectL~g these projects Small-scale projects offer great opportuoities
for develop~ental assistance progr~ because they can be easily targeted
to help rural populacions require low capital costs and need no be
concentrated in one or two localities Such projects ho~ever~ ~equire
the a~istrator to have ~re political kno~lecge than large-scale
projects Oil which his priJlary tas~ is guiding the work of other experts
Questions for ~Investigation
To detercine the politi~al cc~diicilS ~st conducive to ~he establ~~ent
and gro~h of scalI-scale rural projects ~e propose to address our inquiry
to the following specific questions
1 To what extent and why co local political leaders seek to establish s~~l-scale develop~ent projects within their co~unities
2 To what extent and ~~y do local leaders other than politicians initiate andor provide leadership for s=all-scale developm~t projects
3 Bot do the relations bet~Jeel different types of local leaders (political and non-political) and bet~eeo these leaders and central gove~ent civil servants posted to the rural areas affect the conduct of develop=ent projects
4 How do existing authority ~eLationships between these different leadership grous and the rural pub~ic affect the organization and operation of s~l-scale develop~ent projects
- 12 -
~
5 lhlt is the nature 0 pclgtlic participation in the establishlent and operatio~ of s~l-sclle projects and ~hat are the outcc=es or this participatioe Gucer w~at conditions is such participation ~ost likely to occur
We seek a~swe=s to t~cse questio s L order to determine the effect of
different co~iigurations of local leadership and public participation on the
outcomes or small-scale rural projects te are particular1y concerned with
the ~pact of these configurations on the rate of econocic growth and the
distribution o~ rIGSlth ithin the loal cOlllUlity ~ on the perce~tions of
s~ll-scale proj~cts by central govern~ent per~oncel and the rural public
anmiddot on the organiation or flture projects
To a~swer these que~tions it is oar intention to study the initia~ioD
izJple=enation ald i1lpact of a salple cpound small-scale rural projects in
Kanya Korea and Turley in the sae cOllities in which we carried OU
our initial icvestigations ~ 1973-75 Tne relationships between the -
various conf~gurations of local leadership and public participation and
the three phases of project develop~ant are sho~ in Figure 1 We will
exa=ine projects to pro~ote the adoption of new agricultural techniques
by s~l and moderate landnolders the building of feeder roads irrigation
ditches and other s~ple infrastructure the organization of fa~ers
cooperatives and other local associations concerned with rural development
the establish=ent of rural health clinicS and schools and the setting up
of craft and service industries
Sites for Study
We plan to return to our original set of localities because we possess
a rich body of relevant data on the extent to which linkages exist between
Figure 1
TYPES OF LFLUEXCE OF C2r~ middotGOVER1iEXT OFFCIALS
LoCu LEADERS 0 THE RURAL PUBLI-C OX THRr~
PHASES OF RURAL igtEVELOPHET PROJECTS
r----------~J C~ltral Gover1~nt Official)-N------- - J
r- Local pOlitical leaders
Local non-political leaders
~l 1---- -
ROJECT nITL~TIOS
Influ~ce on selection of projects
InrI ~elce on location of projects
Influence on policy guidelines for proj eCl
Il
I
a
I I
-I PROJECT I~L~~iATIO~ ~ 1
j Project Organizati I Selection of project
leadership
Hobilization of resources
Mobilizatiol of public compliance with project require=elts
Diffusion of project innovation
Rural Public
I
BEST AVAILABLE nOCUMENT
1 ROJECT IMPACT
Organization of ongoi=g project operation
Distribution of project benefits
Evaluation of project
Public attitudes toward project
-middot14 -
these areas and t~c central p~litical institutions of the three co~tries
and on the attit~es of the rural populacioc local leaders and elected
legislators regardi~g their problecs of develop~~c Since such data
is unavailable for alternative locales a return to the areas in which
we have previously done much research ~ables us to build on a uniquely
valuable body of icformation
A return to Kenya Korea and Turkey is also highly desirable from
the standpoint of effective research organization The Comparative
Legislative Research ~enter has developed close collaborative relationships
with several highly competent social scientists in these countries and
with the academic institutions with which these scholars are associated
We have also dev~_oped cooperative relatio~ships wi~ gove~ent officials
in these countries which should facilicate obtaining approval for our
further work
In proposing to doc~ent the origin i~pl~entation and impact of
one to three s~ll-scale develop=ent projects in each of 35 localities
we have two considerations in mind Firstmiddot because our pr~ry goal is
to deter~e the political conditions for rural developm~Lt we wish to
examine develQ~=ent in as many different settings as feasible Only in
this way can we control for so=e of the major socio-cultural variations
that erist along rural populations in less developed coultries These
include the overall level of econo~c development in the co~unity the
nature of t~e ~digenous culture an~ relationships of authority and the
pro~ty of the comounity to major urban areas and centers of central
gove~nt ad=inistration ~ce our original study sites were carefully
BEST AVAILABLE DOCUMENf
- 15 - ~ ~1
selected to represent these variations ye have concluded that these
35 localities woule be ideal sites for the propose~project Second~ in order to dete~~~ the ~pact of local leaders and public
participation o~ ~ural projects we intend to compare projects 1n which
local leaders and ~ecbers of the public have played a major ~ole with
projects in which they have not We also ~l cospare projects initiated
by the central gover~ent with projects Yhich have been locally initiated
These considerations give us a typology for selecting projects as depicted
in Figure 2
Figure 2 ~
FIVE TYPES OF RU~AL PROJCTS ACCORDIXG TO ~FLUEXCE OF CEITiW
GOVE~1E~T LOCAL LEADE~ AD RLRAL POULATIO~
Level of Participation by Rural Population
Locus of Project Initiation ~
Local Co=unity Central Governoent
BIGd
LOt
1 Projects initiated by local leaders and providing for participation of the rural ~opulation
4 Proje~ts Litiated by local leaders bu~ not involving participation of the rural population
2 Projects initiated by the Central Govern~ent and administered i~ cooperation with local leaders a~d the rural population
3 Projects initiated by the Central Govemlent and providing =or the participation of the rural population but by-passing local leaders
5 Projects initiated by the Central Gover~e~t a~d administered in cooeration Yith local leaders but not involvi~g parti~ipation of rural population
- 16 -
We recognize that the socio-cultural setting of rural develoment
projects varies significantly within and across less developed countries bull
By focussing o~ a representative sa=ple of localities ~ Ke~ya~ Korea
and Turkey we can take account of naoy~ though not all of these variations
While some of our substantive findings will not be directly generalizable
beyond the countries in which we propose to conduct our study we expect
that our basic ~ethods and fLdLgs will be applicable to national and
sub-national settings elsewhere in the developing world This is partly
d~e to the fact that the hierarchy of patron-client relations ~hich we
regard as a critical factor in rural develo~~t exists in ~ost Liles
--It is also due to the fact that the methodology for identifying local
bull leadership configurations auG poundor studying local politics which we are
perfe~ting can be used to assess local political co~ditions in a large
variety of countries even when the ~nditions themselves differ significantly
Methods of Investigation
The data needed to assess the iDpact of local leaders and mass
participaticn on rural dev~lop~nt fall into two categories Some a~e
contained among the data gathered for the research project we are currently
completing Others will require additional field research
The following data are already in hand
1 Data on the social landscape of each loc~l co~nity i~cluding aggregate data o~ level of econonic development de~graphic characteristics political pa=ticiation eth~ic loyalities and rates of socio-econocic change dur~g the past decade bull
2 Identity of local leaders including both political and I-on-political leaders and both legislators and other politicians
3 Perceptions of existiag probl~ and their possible solution a~ng
l)tS r AVAilABLE DOCUMENT
- 17 -
general public local leaders and civil serv~nts
4 Level of political kno~ledge among local citizens and local political leacers
5 Political and social values a~ong local ci~izecs and local political leaders
6 E~~ectacions of leadership roles among the local public and elected and non-elected leaders
7 Patterns of co~unication ~ong local leaders and between local leaders and the central gove~e~t
These data ~hich ~e already have in hand can be subjected to analyses
which ~~ll provida the foundation for our further work on rural develop~ent
projects A part of our work therefore will consist of fu~ther analyses
of existing data
New data of the following kinds are also required
1 Doc~entary data on the origin and evolution of particular smallshyscale develop~cnt projects in the rural areas
-2 Data on project costs boih ~itial invest=ent and recurring
operating costs and data on project ou~puts ie pupils in schools Ddles of road coopleted nl~ber of hospital a~ssions production of factory agricultural productivity
3 Data on project organizatio~ n~~r of local inha~itants participating in establis~~ent of projectt nuober of local L~habitants subsequently involved in project
4 Data-on the pe-cetion of projects by local leaders emers of the local public a~d by civil servants data on the perception of how each project ~as initiatec organized who benefitted and what its future implicatio~s are
These types of data will requ~re field work involv~~g both docucentary research
at the relevant ~istries of the central government and in local goverr~nt
authoritieS and inforoal open-ended interviews with local political leaders
elected representatives and other local leaders who~ we had previously ~
interviewed in a s=uctured syste=atic =aoner
BEST AVAILABLE DOCUMENT
- 18 -
Grant Organizatio~ and T~etable
We propose co undertake the research outlLled above beginning in the
fall se=ester 1977 Dur~g that te~ Professors Barkan and Kim as
principal investio~tors for the neo1 proj ect will contact their collaborators
in the host co~~tries They ~~ll also seek the collaboration of an additional
~rican scholar specializing in rural development with the aic of getting
additional advice on sources of data and suitable indicators for the
~easure=~~t of rural develop~ent projects
At the end of the fall seQester Professors Barkan and Kim will make
a trip to their research sites to disc~s details of the research organization
with their collaborators in the host countries and to recruit student
assistants Tney will devote the spring te~ 1978 to further analysis
of a~sting data at the University of Iowa
The gathering of additional dita L~ the field will begin in the s~er
of 1978 Professors Barkan and Kio will direct this work personally We
eAect that its coopletion ~~ll require three to six months This work ~1
involve the evaluation of central and local gove~ent reports on the
projects uncer investigation extensive on-site observations of the projects
and oen-e~ded interviews with the principal participants Our principal
respondents ~i1l be the local leaders and elected representatives we
have previously identified in the localities in which we have worked and
a sacple of active participants in the particular dpvelopment projects
being studied ~~ere necessary and apropriate surveys of the general
public will be uncertaken to assess the inpact of a given project on the
rural por)r We do not however leed 0 conduct systeAlatic sample surveys
BEST AVAILABLE DOCUMENT
- lY -
of the rur~l population as We did in 1974
In the organization of this research project we intend to reconstruct
the rese~rch tea=s ~e e=ployed during 1973-75 We shall again seek the
co11abo=~tion of P~ofessor Sc~~S-7o~g Pai of Seoul National University ~
Professor IIiCr Turan of the University of Istanbul and Professor John J
Ok~u of the U~iversity of ~arto~ S~ilarly w~ contemplate directing
the field research fro~ he same acade~ic research organizations we previously
used Seoul National U~ive~sity th~ ~~iversity of Istanbul and the
Insti~ute for Develop~eut S~udies University of Nairobi As before we
will tra~ students f~oo these institutions to serve as interviewers
The analysis of the open-ended intervie~s and of docUQentatio~ on
I ~ural develop=e~t projects will be a ~ore t~e-co~s~g process than the
analysis of closed intervie~s It will reqrire a high cotnittl~t of time
fron the principal investigators )e e--pec to hold a conference at the i
U~iversi~y of Iowa 3lO1g all the principal )clticipa~ts in the resea~ch
project d~=~g t~e spr~g 1979 to evalua~~ the newly collected data
le e~ pect to be able to vr-ite reports of t~ results during the Sl1~er 1979
(see Figre 3)
IV LlX-GS ~1) U~ILIZATIO~
At the e~d of the grant period the Uti ersity of Iowa will be able to
1) advise the Agalcy 01 the design of s~l-scale rural projects to assist
the rural poor 2) provide guidelines for social soundness analysiS of
small-scale projects for the rural areas of U)Cs 3) consult w~th the
Ag~tcy 01 the evaluatiol of rural projects ~d 4) provide LDe governments
BEST AVAILABLE DOCUMENT
)ATES
~lll
1977
~inter 1977
iprilg 1978
il mer 1978
~all
1978
ipr~ng
1979
Imiddoter 1979
University vf Iowa
Plutlning of rural develo~rent project
Barkan Kil
Alalysis of existing data
Barkan Kia
Data processing
3arkan Kin
1
I
- 4 -
Figura 3
GRAT TLfETABLE
SIT E S
Kenya Korea Turkey
Preparation of field research ural developH~lt project cOlisulta~io~ a research sites
BarkanOku=u Ki~Pai Tura~rkanKi~
Preparation of field resea-ch
Tural
Field research on rural cevelop~~t projects Bar~lOk~u Ki=Pai Turan
Co=pletion of Co=pletion of field resear~~I~ fiald researcr
Ok~u i Pai bull
f Coopletion of field research
Turan
Data analysis conference a~ong all princial i~vestigators at Un~versity of Iowa Barkan Kil Oku=u Pai Turan
Co=letiol of r~ral develop~ent
project
3arkan Kiz
BEST AVAILABLE DOCUMENT
I
- LL -
~ith speciali~cs o~ ru~al developcect ~mong their own citizens ~ho ha_
partcipatcd ~s collaborators in the Iowa projects
In the proposed project we Will test a series of hypotheses cOlcerning
the political cOllditions of rural develo=ent which run counter to CODOn
assuoptions conccrnir3 t~~ influence of rural politics on project effectiveness
As a result ~e ~dll be able to assist the Agency in designing and evaluating
such projects froe the point of V~~W 0 their political viability The
hypotheses We will test sugges~ t~at the patron-clie~t relations existing
in the local politics of zost LDCs are not necessarily i~pedients to rural
develop~ent but are aspects or the political structure which cal be used to
facilitate s~ll-scale ru=~ projects which will raise the standards of
living of _ ~ rral pomlation - As ~ result or our stuey we expect to be
able to P~-O~t the local leadership confi5~rations ~4d the relationships
between local leaders ald rural poclations ~nich are oost conducive to I
successful develcp=en efforts We believe that we will be agtle to perfect
a cat~odology for identifying the political conditions for rural develop~ent
one ~hich is transferable pound~oo the countries we have specialized in to
other LDCs
We proo~ to develop specific guidelines to assist administrators
charged with selecting evaluating and =onito~ing rural develop~ent
projects to ~szess t~esc rojects in tares of their-social and political
viability he outco~e of such projects is dete~ned not only by the
efrectiv~nass ~~=h ~hich they use scarce econo~c resources but by the
~~er L~ w=ich they e~gage the suppprt of local leaders and rural
po~ulatiocs~ by thei= effect ou social a~d econo~c equality ~d by
D[~T AvAlLA8LE DOCUMENT
- 22 -
their consequences for hwan rights ~Je plan to establish criteria by
middot~hic~ the probable outco~es of projects in these social terms can be
anticipatec
The study ~e propo e will be undertltlken by faculty at the Cniversicy
of lowe in collaboration with faculty a other ~rican institutions and
institutions in the host countries We will build on the extensive contacts
between the Co~perative Legislative Research Center of the ~niversity of
Iowa end other instituions with ~aich ~e have worked One =ajor result
of our collaborative study will be the existence of a net~ork of compe~ent
scholars both in this country and overseas experi~lced in ~orking together~
shar~g a co~on teaching and training experience i~ close contact throu~~ the
effective publications progr~ developed by the Co~parative Legislative Research
Center T~e e~~ertise of this group of individuals will be ava~lable to
oteer scholars to the Agency and ~o L~C governments for specific policy
advice The eXertise developed as a consequence of this project will
extend beyond the ~tionals of the countries ~volved since the univ~sities
engaged in ~e project attrtct stude~ts fro outside heir own countries
For ey~=ple the teaching ~d research progra in the Depar~ent of Political
Science 0 theUniversity of Istanbul heavily affected by the participation
of its facul~y ~e=bers and graduate students in our projects attracts students
throughout the ~middot1iddle East for Whom the University of Istanbul is the iajor
institution ~pound ~igher education in the region rne Institute for Developmen~
Studies is si=ilarly a focal point for students and faculty in East and
Central Africa Seoul ~atiocal Unive=sity attracts students froo other
Asia~ co~tries~ In this way the capability developed among the participant$
BEST AVAIL~BLE DOrUMENT
- ) -
in our work is diffused widely To the exte~ that the abili~y to assess
rural develop~ent p~ojects in teres of their social soundness is increased
both in the United States and in ~o~~tries r~ceiving develop=en~ assistance
the cap3~ity of racipien~ countr~es to absorb aid is ~creased
We propose to draw up an inventory of personnel available in ~~e
Cnited States and in other co~~tries who are able to consult with developen~
a~nistrators on the design of rural development projects and on their
evaluation We ~~ll draw first of ai~ on individuals w~o have been
directly associated with our ~ork in the past or on ~he proposed project
and ex~~~d the list to include graduate students and gove~ent officials
with who~ these individuals have wor~d
tole Yill utilize tha existing publication program of the Center
dercribed above to disse~inate our findings The Center has specialized
oailing lists of interested individuals and institutions in all parts of -i
the world and its reports can trerefore reach the ~st relevant audience
jirec~ly ~d re~~arly
BESl AVAIL~BLE OOCUMENT
CONTRACfjGRANTCOOPERATIVE AGREEMENT DATA SHEET
INSTRUCTIONS fjDW Complete 4 copies of the form Original SERCMSDSUP Statistical Section Copy Copy 2 SERCMSIiUP dministrative Copy opr 1 Contracting Officers COy COP) 4 SERCMSDSUP IUmin (Suspense) Copy
Missions Complde 2 copies oi the form Origin31 SERCMSDjSUF- Statistic31 Section Copy 3n~ Copy 2 Nill be ret31ned in the Missions
PART fA
ConU3lttorGranrce Name
University p~f~I~o~wa~ __ -r~ ____ ~~~~ __________ -~~ __ ~~~ ______________ ~~~~ Plorr Numt-er ApptopriJtion Number Allotment Number Project Number
930-0090-3Q13411 A5 72-111l0216 146-30-099-00-20-11 930-0090 Project Title
So~ia1 and Potitica1 Aspects of Development - Conference to Report Research Findings Amount of this Plorr I Projecl M3nagers Name and Offire Sytlbol
$10397 (increase) PDPRCP Jonatlan Silverstone Contr3ctors D-U-N-S Number
Ncgwatocs TYJlCd~3meJ j) Signature I l ~ jIf- bull G HtJ--ft u l IVmiddot
D~e
L - f - J ContractGrant Officqs typed Nailllt Signalure LJ d I -r-
plusmn t 3i-alflpta (( BLvle~ 1 I~ PARTm
ContractGranl Number
AID CSD-3294
Effeclive Date of Docum~nl Signalltre D3t~ of Documenl
Lf---C yen-~-gl tIost Courtry Institution (U iwrsity contract ONL Y)
Campus Coordinator (Uniwr ty i contract OiiL YJ
PART UL Descriplion of Cor-tractGrant P1use X ONL Y ONE item under each headiZg IF THEltrease CifYmC~e bolh ges I 30~~ O~ Nol to be completed for Amendmenl or Modlfic3lion AJigtns I III
J 710gt I I V ~ I
MOl - TYPE ACT A~ 0 G unsolicited Propsll (AIDIR 0 C Individual (Non-pe~nal senice)
~ O Cortra lGrantl ooperative Agreemenl 73101-SO(b)(6raquo 0 D Individual (ftrsonal Service)
tJl T3sk Order ( A)middot 0 H Procurement 10 be Perfocm~d by the Conmiddot 0 E UniversilyOther FAuC3lionailnSlitulions
D 2 Work Order (IQC) Ira~lor in Person (AIDPR 0 F Non-Profil Organizationlnslitutions (other
D 3 Delivety Order (Requirements) 73101middotSO(b)( Iraquo than Ed or PVO)
[j 4 Purchase Ordcr [J I Sole Source (AIOPR 7-3101-SO(b)(4)) 0 G Private Volunury Organization (PVO)
If I 2 or 3 1Lle an ~ compllle M 12 ON Y D J Imp3irmenl of Foreign Policy Objectiws 0 H International Agricultural Research Organj-
M04 - CONTRACTGRANT TYPE
o O MOA (BOA BMA etc)
o I Fixed Price (Specify fFP FPRD FPEPA FPI) _____ _
(gtIDPR 7-31 OJ SO(b)(7raquo
OK B(a)5eJection (FPR 1middot1713-1)
o L Grant iH1ndlOok 13)
o M Do Nol Ue
D 2 Cosl Reimburemenl (S~cil) CR CPFF 0 N Cooperative t~reement (Handbook 13)
CS CPAF CPIF) ~ 0 O Small Business SeImiddotAside (FPR 1middot1706-8)
o l Cooperative Agreemenl ~ 0 1 Overseas Procuring AClivilies (AIDPR
04 Grant Gener31 Supportmiddot 0U ~ 7lIOI-SC(b)(2))
o S Granl - Specific Support ~ ~06 E SER VICE
g ~ ~~t ~~(d) ~~ ~~ ~ eci~a~~~~~ogram Projeci
o amp IQCs ~ ~ relampted excepi A amp E Services)
o 9 Host Counlry ContraclGrnnt 5lJ C amp E Services
middotComplele ONLY through ~Sl ~~ 0 D Construction
M05 SELECTION PROCEDURES 0 E- Reseuch
o A Formally 3dverliscd (IFB) (A1DPR 7middot24 amp
FPR 1middot24) ~ o B Negoli3ted Price Compelilicn Gencr31
Procedure (RFP) (-JDPR 7456)
Dc A amp E (AIDPR 7410)
0 D Ed Inst andor Inl1 R~arch (-JDPR
74 5)
o E Collaboratoe Assisunce (IDPR 7458)
C F Predominant Capability (IOPR
73IOI-50(b)(l)
AID 1420-49 (179) - Page I
D F Technical Services to AID (other than trainmiddot
ing usually o~ating expense)
D G jraining SetVice for AID
o H Equipment Materi3J~ Supplies Commodities
D I Translation Service
~07middot TYPE CONTRACTORGRA-nEE
o A Firmmiddot AU profil-rn3king fUms (other than
Aamp E)
J e A amp E 8r~
zalion
o Public Inlmlational Organizations (UN
Agencies ICRC Wocld Bank elc)
(H8 J 3 Chapt~ S)
M08- TYPE AW~RD
o A S8 Sel-Aside - Awarded to Non-Minority
o B S8 Set-Asidemiddot Awarded to MinXity
o C_ S8 NOI Set-Aside - Awarded to Non-Minority
o D S8 NOI SeImiddotAsidemiddot Awarded 10 Minority
o Eo amp(a) S8A Awarded to Non-Minority (Womerl-
Owned Veterans etc)
o F 8(a) S8A Awarded 10 MinorilY
o G Personal Sen-ice ConlrdCt bull Non-Minority
o H IeJSDnal Service Conlract - MinorIty
o I Individual NonmiddotPersonal Service Contraci -
NonmiddotMinority
o J 100Jigtiduai NonmiddotPersonal Service Contracl -
Minorily
o K NOI Small Business (Univ NonmiddotProfit Large
Firms) Non-Minorily
o L- NOI Small 8usineSl (Univ Non-Profit Large
Firms) Minorily
o M US Govcrnmlnt
(Connnued on Page 2)
BEST AVLABIE DOCUMENT 1 I
--
ua ) R I GI NAL 9 bull
MODIFICATION or GRANT PAGE 1 of 2
AH 1 2 Effective Date 3 Grant No 4 Effective Date
Amend_at Ro 5 April 15 1981 AIDCSD- 3294 8-11-71
-s CRANTEE (Name and Addrea) 6 Administered by -Professor Gerhard Loewenberg -Office of Contract Management Cbrnparative Legislative Research Gente Central Operations Division Dept of Political Science am Branch University of Iowa Agency for International Developn~nt Iowa City Iowa 52240 Washington D C 20523
7 PIO No 930-0090- 3013411 A5 8 Previous PlOTa -
Appropriation No 72-11110216 93i-1l-995-l36 930-11-995-136-73-3078103
Allotment Symbol - 146-30-099-00-20-11 wunt Obliga ted by this ~ndrnent - $10397
The above numbered Grant is hereby modified as follows
1 Anotmt obligated prior to this rurendment 2 Amount obligated by this amendment 3 Total obligated anount (1 amp 2)
Delete the amJmt $465000 and substitute in lieu thereof the ammnt I$47S 39-7 ~
FUNDS AVAIrABm
~~ - APR 13 1981
PrO~A~~5iors
$465000 $ 10397 $475397
OffiCE Of fIN~(1 ~~rE~E~T __ _ 10 This amendment 11 entered into puruant to the authority of the Forelgn
Assistance Act of lS~l as amended Except aft hereln provided all terms and ~~ndi~ons nf the grant rcferpnccd in Block 13 remain unchsnged and in full force and ~ffcct
11 original and six Crantee 18 requlred to aign thh document aad return 1- eopics to issuing
ffiee
~~~ or printed) BUSINESS MAHAGR amp bull
Tille TREASURER
UNITpound) STATES OF AHERICA AGENCY FOR INTERNATIONAL DEVELO~NT
BY_-1(1o-_1lt--= 13middot~_1_~ __ K R B1uteau
(Name typed or printed)
Tltle~ ____ G_r_a_n_t __ O_f_f1_c_e_r ____________ __
D3tC APR 2 J 7997 Dolt 9 APq 1981
BEST AVAILABLE DOCUM NT ___ 0 HLGlNAL - I 1 J 1 ~ )
- 2 -
AID ftmds in the am)tmt of $10397 are hereby provided for the activities lmich are described in your proposal (including Budget Stnmnary) entitled CDnference to Report Research Findings on the Study of Political CDnditions for Effective Small-Scale Rural Assistance Projects in Kenya Korea and Turkey dated February 17 1981 and made a part of the Grant b reference
BtTDGET StMMARY
Line Item
Travel
Per Diem
Other Direct Costs
Less existing 211 (d) grant funds
Total Amount Obligated by this Amendment
Estimated Costs
$ 5888
5100
_ 2500 $13488
_ 3091
$lO39
Note Indirect costs or $395086 associated with these activities will be contributed by the University of Iowa
BEST AVAILABLE DOCUMENT
~RIGINAL
- CONTRACT IGRANTCOOPERA rIVE AGRElEMI~ SERC~SDSlP Actio) Monitor
SERCMSDSUP Action Office
I
INSTRUCTIONS AJDW - Complete 4 copit of tlh fonnmiddot Orisina iCMSDfSUP Sutistical Section COP)middot Copy 2 SERCMSDjSVP Administrative CoP Copy 3 Cont-acting Officers COP) Copy 4middot SOSUP Admin (Susptnse) Copy Missionsmiddot Complete 2 copies of the form or~aI SERCtSDSUP Statistical Section Copy and Copy = wiU~ retained in the Missions
0 PART IA
Effective Date of Document tJ
Delivery Order (Requirements)middot
o 4 Purcluse Order
bull If I 2 or 3 have an bull X compl~te M I 2 ON L Y
M04 - CONTRACTGRANT TYPE
o O MOA (BOA BMA etc)
o 1 Fixed Price (Specify FFP FPRD FPEP FPI) ___ _
o 2 COli Reimbursement (S~cifY CR CPFF CS CPAF CPIF) ______ _
o 3 Cooperative Agreement
o 4 Grantmiddot General Support
o S Grantmiddot Specifi Support
o 6 GraDt 21 led)middot
o 7 Do Not Use
o amp IQCs
o 9 Host Country ContractGrant
middotComplete ONLY through M 5 1
MOS SELECTION PROCEDURES
o A Formally advertised (IFB)(AJDPR 7middot24 amp
FPR 124)
o B Negotiated Prire Competition General
Procedure (RFP) (AIDPR 7456)
o Co A amp E (AlDPR 4 I 0)
o D Ed Ins andor Intl ReStalch (UDPR
7457)
o E Collaborative ASSistance (AIDPR 7458)
o F Predominant Capability (AIDPR
7-310l-50o)(3)
AID 142049 (1-79)middot Page J
o H Procurement Co be Performed b~ the Conshy
tra~tor in Person (AlDPR
7middot3t OI-SO(b)(Iraquo
o I Sole 5gturce (AIDPR 7middot3101middotSO(b)(4raquo
o J Impairment of Foreign Policy Objecdv~
(AIDPR 7middot310 ImiddotSO(b)(7raquo
o K 8(a) Selection (FPR 1middot1713-t)
o L Grant (Handbook J 3)
o M Do Not Vse
o N Cooperative Agreement (Handbook 13)
o O Small Business SetmiddotAside (FPR 11706-8)
o P Overseas Procuring Activities (AIDPR
7middot3101middotSO(b)(2raquo
M06middot TYPE SER VICE
o A TtJining of Participants
o B Technical Assistmce (Program Project
related exc~pt A amp E Services)
J C A amp E Services
0 D COltl~ruction
0 E Research
0 F Technical Services to AID (other than trainmiddot
ing usuaU Y operating ex pense)
0 G Training Service few AID
0 H Equipment Mat~rials Supplie~ Commodities
0 I Translation Service
07middot TYPE CONTRACTORGR TEE
Firmmiddot All profitmiddotmaking fu-r1s (other than
AampE)
o 9 amp E Firms
I Prcct NumbcT
I
Contactors D-U-N-S Numbcr
I) -S--f(j
o C Individual 0-lon-~rsora1 service)
o D Individual (Pet-sonal Service)
o E University lOt her EduCltionaJ Institutions
o F Non-Profit Organization Institutions (other
than Ed or PVO)
o G Private Voiuntary Organization (PVO)
o H International AgricultwaJ Research Organmiddot zation
o I Public International Organizadon~ (UN
Agencies ICRC ewld B3J1k etc)
(HB J 3 Chapter 5)
M08middot TYPE AWARD
o A SB SeImiddotAsidemiddot Awarded to Non-Minority
o B SB SetmiddotAside bull Awarded to Minority
o C SB Not SetmiddotAside - Awarded to Non-Minoril)i
o D SB Not SetmiddotAside - Awarded to Minority
o E ~a) SBA Awarded to Non-Minewity (Womeli
Owned Veterans etc)
o F 8(a) SBA w-rded 1o Minority
o G Personal Service Contractmiddot Non-Minority
o ~ Personal Service Contnct - Minority
o I Individual Non-Personal Sence Contractmiddot
NonmiddotMinority
o J Individual Non-Personal Service Contractmiddot
Minority
o K Not Small Business (Univ Non-Profit L1lge
Firms) --vn-Minority
o L Not Small BUSiness (Univ NonmiddotProfit Large
Firms) ~inoriy
o M VS Government
(Continued on Pcge 2i
t bull - t ~ J f q
ORIGINAL bull MODIFICATION OF GRANT
1 2 Effective Date
Araendllent Ro 4 12-2-80
s CRANTEE CHace and Addrels) Professor Ger1ard Lo~middot enbelg Comparative Legislative Research Deartment of Political Science The Lnivp-rsity of Iowa Iowa City Io~a 52240
7 PIO No NI A
Appropriation No 72-11XHl26
Center
Allotment Symbol -426-30-099-00-3~-71 Amount obligated by this urendment-O- I
3 Gnnt No
AIDcsd-3294
PAGE _____ 1 _of-L
AlI 4 Effective Date
8-11-71
~ Admlnlltered by -Office of Contract Management Central Operations Division OTR Branch Agency for International Development Washington DC 20523
8 Previous PIOITs -
931-11-995-136 930-11-995-136-73-3078103
9 The above numbered Grant is hereby modified as follows
Supplement to Grant
Change the duration period sentence to read
The Duration Period for this Grant shall be August 11 1971 through December 31 198]
1 Amount obligated prior to this amendment $465000 2 A~unt obligated by this amendment -0-3 Total obligated amount (1amp2) $465000
----------------_- - ------- ----_- ------ 10 Thh lImcndmcnt is entered inlo punuant to the authority of the Foreign
~ Assistance Act of 1961 86 amended Except a~ h~reln Z II provided all terms and condi tions nf the grant referenced in Block 3 remain ~~aunchlinged and In fu1l force and effNt cnltUI cJ)za 11 o 4 J bull
Et~ ai~a gtUoItshyc Z P=u
original and six Grantee t requi red to sign this document and return 1- eopies to 1Bufng
office
~ 12 GRANTEE TES OF AMERI CA
(Name typed or printed) bull
TJlle Director Comparative Legislative liecearell CeQtoQl
Date 12880
------------------------------------
ONAL DEVELOPMENT
By ----~--~~~~---------------------
prinled)
Grant Officer Title --------------------------------
J)oll( 12-2-80 -----------------------------
BEST AVAILBLE DOCUMENT i je
ASSURANCE OF CCMPLIANCE WITH TEE AGENCY FOR INIEO-mATIONAL DEVEIOPfElT REGUIATION UNDER TrlIE VI
OF THE CIVIL RIGIDS ArJr OF 1964
TIm UNIVERSITY OF IOWA (hereinafter called the Grantee) (Name or Grantee)
~y AGREES THAT it rlll comply with title VI of the Civil Rights Act of 1964 (P L 88-352) and all requirements imposed by or pursuant to the Regushylation of the Agency ror International Developnent (22 CFR Part 209 30 FR 317) issued pursuant to tmt title to the end that in 8ccordallle vith title VI of tmt Act and the Regulation no person in the United S~tes shall on the ground of rece color religion sex or national origin be excluded from participation in be denied the benefits of or be otherwise subjected to discrimination under and program or 8tivity for which the Grantee receives Federal financial assistance from the Agency and EEREBY GIVES ASSURNCE HAT it will immediately take any measures neeessary to effectuate this agreement
If any real property or structure trereon is provided or improved with the aid of Federal filencial assis+ance extended +-0 the Grantee by the Agency this assurance shall obl~te the Grantee or in the case or any transfer of such property sny transferee for Ue period during Which the rea property or structure is used for a purpgtse for which the Federal finJmcial assistance is extended or for another purpgtse involvilg the provision of similar services or benefits If any personal property is so provided this assurance sball obligate the Grantee fer the period during Which it retains Ol nership or possession of the property In all other cases ~ this assumnce sball obligate the Grantee for the period during which the Federal financial assistance is extended to it by the Agency
IHIS ASSURANCE is given in conside-ation of and for the pu-pose of obtaining any and all Federal grants loans contracts property d1scounts or other edeml financial assistance extended after the date hereof to the Grantee by the Agency including installment payments after such date on account of applications for Federal ~inanc~l assis~~e which were approved before such date The Grantee recognizes and agrees that such Federal financial assistshyaI1ce vill be extended in reliance on the representations and agreements made in tris assurance and that the United States shall lmve the right to seek judicia enforcement of this assurance This assurance is binding on the Grantee its successors transferees and assignees and the person or persons whose signatures appear below are autmrtzed to sign this assurance on behalf of the Grantee
TIm UNIVERSITY OF IOWA
BYSignature)_~~~~~~-__
TYPED NA1E ------~~~~~~---------
DATE
TIT IE
-2 I1--ltaL--i-~-I-l 7
BEST AVAILABLE DOCUMENT
FROPO~AL FeR SUIORT IiiliZR TI~
INSTITlJTIOXAIJ C1PlfTS POGRAlmiddotl
Neue of Applica1t state University of Iowa
Date of Application 1ay 25 1971
~itle Comparativ~ Legislative Studies
D~ration 5 years from date or grrurt
futlOtllt of the Grant $2t5COO
SUJ1VARY
The UriversHy cf ICmiddotia propcses middotlit~ stpport f~om the Agency for Inten2aticlal Dcmiddot-eloprent -io enlw_nce its ccpacity in t1C field of COlpCilative lieislative studies lIith ia area emphasis on Africa a1Co Aja Tb~ Ulversity of IC1-a ltiill lse gr~nt fu1ds to carry out s tu-iies of l-gslatures in celatim to political ei sccial developrrr2t develop 91 archive of data on legislative liEtedals exp_1d a1d iiprcve cu-ricula in this field of study and ting tmiddot) tne Uni-ersity guest professo-s uld scholals frol LDCs ~lti ot18r US intituticns to enlch the prcgral at IOwa Tbe University of IOia has sprcial cCtetence in social science res~arch met~odologr cOipaatiye stui~1 of legislative behavior and tee dev~lop~ent of ~ultifactored data sets Building u~cn this ccmpetence the Unverity of ICa will use gr2Ilt funds to develop comparable neas~res of cross-countr3 ~~d historical data on legislative develo~~ent initiat~ stUdies of traditional factors a~d salience o~ legislative instituticns and expand and i~ro~e upon naterial for teaching at IOia through estab1isling collaborative research arrangements with relevant scholars in the US and overseas
_lis propoal is one of three closely coordinated gra1lt proposals frcm the University of Icmiddot3 Duke Uniie-sity and the UniYcrsity of Ha~ii The University of Iowa iill participate as a member of an Inter-Universitf Advisor Co45rittee which -Till plan s~~osia pro~ote publicatic~ of resea~ch results avoid duplication of effort arronz the three gr~~t~e instit~tions and facilitate exchang~ o~ students and faculty Tit) fo-eign msti tution hen desirable
BEST AVAlLAB~E DOCUMENT
~9
-
II
of a special cot~~e il -~Ze subdiscilin~ of ccparative legislative
stl~esOlcig 1- 2s emiddottensiVe Cc~a arhives These stucies hill
lock a ~te crei-re 3G~i~1 ad eccror5c bac~6rt)Q1d cf legislators
perrcrra1ce 1 this -gac f1Q their clltthr~ place middot ithin the goverl-
Itental ltL~middotmiddot~)O v_LA __ alli Africa ~middotot~ld ce the nioerJ geogilpbic areas
of fcc2s ~~lt -C~ ellsi-ely Disciplinary phass middot-iould bmiddot in
ftlnction
rC-e ri~~sit dill ccrcertrate cn legislative influence 1 relation
to s~ecific c~-middotc lc=s~ ~ ~ ~oclens as Eel elt2ple umiddotC 9L1izltion population
Its geographic focus
plic~i s~ciolog Ct~olics
BEST AVAILABLE DOCUMENT
- 3 -
Te iiersity of aiiaii xill build upon its edsting geoganic
focus on Asia and integate a progra of legislative studies middotdthb its
cc~~t~J ard area s~eci~lizaticn prcgra~s Korea Indonesia ~d Thail~~d
are prcnir~ent aleas in Ea- -aii r S gtrcgt1 alcng ~ith cc-palative ~ ork i~
the Pacific Islads Studi-=s by Halaii ~-ill for exaple compare the
legislative roles in econosicelly slcce~sful cO-L1tries iiitb thei roles
in countries ilitb lesser econcmic gro~-rth It ~middotrill conversely compare
economic i~~ications of cotntdes cr elatively strog wit those of
celatiyely veak legislative systems Emaiis approach would be
intercisciplinary to includ~ political science and bistory plus a streng
III middotnior ~noes ale Activities
1is ga1t is to aCieve t~o pucpcses 1) the en11aLcenert at the
Univesity of Io- middota cf institu~ional capacities for ~~i1ls releya~t to
t~e couparaiive study of legislative orga1izaticn ftnction ald
de~ent as these relate to tle process of ~ocietel moden7ationshy
ceyelop-e~ ad 2) the gele~ation and collation of a bcdy of priJciples
that ca be utilized cy AIu in poliCJ decisions that relate to
re~uests for tec~middotal SlppOt of letislstive institutions in fadlitating
developler~t These biO puposes ca] be s8z-ved ily pursuing the fclloflirg
specific activities
l Training d0mestic 8ld for-eign students in the design and
eXecuticn ot syztcr3tic re6=ar(O en ~he v8--ying Tole that legislatures
pJa~r in the roc~ss of ~detuiaticn-ieve] 0plcn The results cf their
021
BEST AVAJLABLE DOCUMENT 1 lr
- 4 -
2 Incr~asilg the e-istirg skills e1d redirecting the interests
of dc~estic ~i foreign sc~olars to the comparative leg~slative field
rne Univer3i ty 0 I01[ generally ~rill be erric~ed by t1e presel1ce of
these scholars a1d its ccr~arative leBislative prcgraIl in particular
~middotTill be ennalced by the nemiddott kl1o~ledge that is generated
3 Cooperating id th a11Q other-ilisc facili teting the ork of scbolars
of less developed cOll1tries in rultidisciplinary ark at the Univeisit~r
of Imla en the rcle 0 legislatures in the charlcter of regire legitimacy
as -ell as on re developCent cf a cetralized data bmli at Io a asse~blilg
raterials on legislatures a1d develoent tre logic behind the bank
a1d tile techniques related to its use
4 Diffu~ing relevant ~et~odological ~1d ccrc~ptual teals in less
deelo~ed cOlUltries through the loove enrichent and redirection of
indiviQual~ and t~e ~evelcp~ent of the data b~k) thereby =ultiplying
bott ihe qumity cud quali-vY of the researcl~ frcm which existing
curricula at Io~middotw can be expanded and re curricJla dtveloped
5 Increasing the size of tJe imrld~ide pool of professional ad
expert consujtants ~lalable r-ot only to IO~il Du-e 81Q Hawaii to dra-t
en but also to AID in the pursuit of sev~ral aspects of its
6 Creating nullgli th~ p~ogral at the Univers~ty of IOa the
substance of a stbJisciplire and in cooperation odth similar prograos
at other ~imiddotelsities 811 organizatic1al Gtlucttltre ~nt ca ~vbilize
continuine i1t~-rtiorr1 intrest i1 a11d sapmt fron orgaiations
interested il deveJopr-ent
BEST AVAILABLE DOCUMENT
1(1 1
- 5 -
itl Suppor- f~ctl this Grat tre University of lei-Ilt ~dll cO1centrate
e1 fclts in this prcge~ en legislative behavier variables tat telp
e91aL ~hee specific 3sten cha~a~teristics 1) the scpe of olitics
2) e style IJf goverQent ~tnd 3) the legitirlacy of the regine For
tis l)1lpcse te gtrcglam -rill ex~e releva1t coparative factors il
a lage nlt=~er O~~ African and Asian legislative institttions The
Univcsity of lO~middotIa ~lill also uldertslte the study of these legislatures
at -a~iClS cLts in tire This ~lould gtequie the use of time series
cat t1G historical SClrces not cctl9arable to contempOral7f sou=-ces of
Fe each of te legislatures included for study Ima -iill seek to
a1al~ze suc] cbractelistics of t~e legislative systen as 1) the
atricutes cf ecers--te process of their recruitment their so~inl
~c cccupalonal backgro-lI1ds their politically relevant srills their
role c~ie1lttio1s inclcirg ht~ir concept of represeILtation and the
pe~pound~ge 1~r5th 0- tente in tbe Ipgislat~re 2) t~1e distribution of
the f0~al 211 inforl rales of 2ocedure the leadersnip groups the
cr-osi tio1 and role 01 legisl3tire staffs a1d the kinds and freqlelClJ
of legisative sessic~s 3) the ~utputs of the instituticn--the agenda
of issues tre modes c- cotenticn el1d the qU11titr and kinds Jf
decisions
)middotemiddoter llllike studies of ~hese fctors in the past Imla is
BEST AVAILfBLE DOCUMENT
- 6 -
The for~Ietic1 0 tneol-y lO this coarative 8seerch of
Tiiill ~erdt equivalent cmiddotoss-sy-ste~ ~easuelents are 8O1g te r6st
irpctant aSgects of tle prcject It r2y be one of the ~c-st valuable
esllts of Io~a I s efforts ad ~dil reCuire close collGbor-tion arong
t~e pa~ticipents bull
p_ Cc=-arative Legislative Research Archive
lltOle a subsb Tltial aolIlt of legislatie data has been collected
in a1j- different cOL1tri8s very little of this iateriul is cOJarativE
1middot-s of it has teen collected by individual reseachers on e single
CQl~ty Cc~adson in legislative research is thus difficult because
=2 01 r3j cClalties are ot available at a sirgle location in s sLgle
is a clear ~eed for the ce~t~alizGd acq~sition ~ or ~ne
available data to per t the forulaticn and compGrative testlg of
~eorics aoc~t le8islativ~ behavior As a major part of this program
te Uive3ity of 1mmiddote 9poundlS to establish a data arch-e to begir to
big te existing legislative sttiies tcgetber at a sirgle location end
to ~-ke ~i~er ~ccessible +0 the grm-ing 1unoer of irterested scbolals in
Once J~1ese data have O~en brOght tcgether tney will contribute to
-~ pogram t IO~middotia in -I~middotiO -poimiddottant ~middoteys First the dats -Till be
utEized in traLig graduate stud2nts T1e rea13lysis of d~ta to test
BEST AVAIL~BLE DOCUMENT ( 1 t
- 7 -
faculty at the University of Imllt1 and from omiddotrerseJs tlitbout slch an
acbival base those dtdies Ylould be ver lil1ited in the hypotheses
ter could test The quali ty of this re search eqerience fill be
(o1siderably enha1ced by the aVJilability or data for co~arison dth
t~e data generated thlcugh the ccllaGorative research sponsored by the
traini~g progca~
Once gathered a~d refo~tted the data ~~ll be ~ade available to
sc~olars students al1d other interested persons outside of tre University
of Io ra P(r exa-nple appropriate data sets would be available to other
llsti utions tat pre ccoperating in t~is program ie Ha-waii Clla De
~ese could tten be used in curriculul developent at tbose schools as
middotell as Ll the pre-grar at the UJiversity of Imre Finally data could be
aie available to i1di-idlal sc~olars and institutions overseas for use
1 teir research a~d trailing progrems The cUIlulatiie effect of this
disse~lilation and staring of data ~i11 be an enrichme~t of research an
Llcreased flO-I of ne data to the Uriversity of Iewa I3Jld a greatly
ena1ced ability at Iowa to aalyze legislative behavior a--d defelopnent
f 1ssociates
The University of Iowa d31 involve as Associates individual US
arc ~ereign Rcolars fro~l other instibticns in some instances fOl
cc-ivities at Iovll in others as recipents of support Oi research and
oter aciivities middothich coqlement cnd emic1 the program at o a These
Associa-es rill be involved in such activities as ser-lfing es University
of IOim g-uest professors 5~St lecturers 1d visiting faculty
lticipel1~s L ccnfiences and s~riosia and as collatJoratiEg 2search
BEST AVAILABLE DOCUMENT
- 8 -
cevelcged c~lt-ies Smiddot~yemiddotl such projects core already uoer ~middotay
and 3y potetial ss~cetes ~ave been identified and thei ilterest~
211 gtarticipeting i1 t~e ~Cglar1 ascertained
He -resc1t ge~sc-~el a1d acilities of the University of Iomiddotro
plcvice a very st-cre basis for the research atJd training programs
~rnich ~middote a~ ~rc9~3L1g -fmever the further development cf legislative
suCie3 ali a pec~ent streugthenLlg of ~he progrun of Iomiddot ~ is a major
a oes3icral Demiddotmiddotelc~ Galt fur~ds will be uSed by the
LT~iersit2 c la= ~ icreasing te nUbe of faculty specialists in
cClJses ir sjcts elated to the subject atter Specificallr grant
fuimiddotis dll ce usee to ac3 one pernanent faculty Uemoer in roliGical
scienc~ ~middotit s~ecia iltcests b legislaive beh3vior ald political
dloYl-nt a-o 81 a29 cmiddot-petence in Ardcan pclitics and to bring
(lculy -emiddote-s fro less ceveloed countries to spend a peri cd of time
at the TJ1 i si ty o~ Io~middot adine sechtl expertise to the ~od~ at Iowa
other middotisosel -~ i_ le irol1ght to IC~ia as needed to support those nO~T
or --18 fc~~ti r~lt 7ds ~rill also be ilsed to finance data collection
exlts-s ~) t~-e res~imiddotch iork of tte acult the Associate scholars
BEST AVAILABLE DOCUMENT
1~ II
- 9 -
cesigned tgt trrtin US and foreign-born st1lcents in le6islati-~e rese=z-cndeg
Sttde1fs ~dll be tdTi tted cr11ally to 9 proeragt iihicn ~iould irclude a
tro~ot~h grounding in the r thods of cczparative aralysis the S1ostance
of conparatie politis g-mel31ly end the corrparative studJP of
legislative behavior in 9articulal The Uni-ersity intends to associate
tnese studelts directlr - rith research in Ttlhich faultr 2Cbers are
engaged to encourage thea to dra- U90n the skills end resources available
in this field il ra1Y departnents of the University to enable them to
spend up to one year in field research and to have thel4 snare their
findings middotrih their stmiddottidei~t and faculty colleagues Tle prograII will also
involve foreign scholars middotno are expert in the legislative process of
t3ir o- n countries in the tcaciing fgtimiddotogren both by holding -fisHing
a=point~elts at t-e University of Ioc1d by sUgervisi~g field research
c R d - t- ~ 1 rec C~ of Esta~lis~ed Scholars Tne University of Io~~
plals to extend a1 in-itaticn to seieal foreign scholars duri1g te
gle1t p2riod to patici~te in a coparative legislative researc~ seirar
duriig their visit Their plrticipat~ion middotrill edd 3 lL1iqte diiensicn to
the seiiral hceuse cf theh ~1o~-rlecge of the legislature in their own
C01-try BCmiddot2~ J1is Gemilr -ill be dealing -lith the nos-G current
reseaCIJ o~ l0~ ~ltmiddotJres as ell as discussine desigs for reseach to
fill in cowleuge of legis1timiddotre 1ehclicr -re believe
tret it ill be a l2~lilg experience for all the pclticira1ts--incltcing
BEST AVAILABLE DOCUMENT 1]7
- 10 -
Ima rill lOrk collcboratively ~ith the fOrsig1 5cbolars to design a1d
carry out P reseach pruject These projects Till cc~tribute to the
retlaininB of foreign scholars and nill also add to cur mmiddotm and8rstanding
d Research The 9rinciplI enphases in cesenrcl rere cutlined in
Section III above ie to focus en con-9arative studies in iihich
legislative cehaviol can be helpful in explaining the scope of politics
the style of governcent a1d the legitinacl of regiles Variables hich
will be studied Iost closel~r ircluue tbe persistence of institutional
norms in the legislature oyer time the relationship o~ the legislatue
to ether institutions in fornirg public CC1Cepticns of politics and
the histOl~ical context detelini1g public expectations of the 12risleture
This resea~ch nag both academic and practical objectives
Academically it promises to tie legislative behavior research to other
major concerns L1 pcliti~al science such as research on systeJ stability
and paricrJance Its general substaltive eojective is to assess the role
wtlichlegislatures Illay L1 determining the capability of political
s~lstems especially their ability to deal ~middotith soCial change
Vractically the stu1y ~y offer guidance to polic~Y-Dakers on
t~1e role ~ hich legislatures rray be ~lI-pected to pIa)- in neimiddotrly established
political systelt ald on ~hc efcrrrs in established legislatur~s -Thicn
rray be required to achieve specific syste~ effe~ts The study ~dll
Nquire the assccioticn of rembers of legislative staffs a1d 2cademic
colleagues in the s~eLal nations lmder nvestigRotiop plovidirg training
fot ~ll r)f them i1 leeis1ntive re3Clrch ~ri facilitating a valuble
BEST AVAI~BLE DOCUMENT
ll-
of Iml3 ~ill LS~ glmiddot~t f~ds t~ estaolish a data archive to begin to
bring tb~ edtirg legi31ati--re studies tog3tller at a single locaticn
end to =afe t~e ac~essible to tie grc~ring m~er of interested
scholars in t~i3 field PerSCIlllel of tbe Data Archive ~rill searcD
broadly fo all a-reilable data on legislatures in the possession of
ildiviiual researc~rs i11ese data sets ~-Till be acquired refo~atted
for ease in alelrsis a1d stored in Archive Tne Archive ~~ll
asserble tie etel~ Gata O legislative organization ald procedure the
socialization ~~ recruite~t of lzgislators legislative decision-
makLg pccesses 2d legislative outputs To facilitate access to
the data a ~middote-riemiddotrlt11 syste middoti111 be cesigned that will 2011001 r-=searchers
to find ~iccJ ata sets that c~mt2in inforration lelefalt to their
researc1 po)2e5 RibEcg-aphic citation3 cnd abstracts of research
reports on le~i51e-imiddote oebio ~~ill be gathered and a biblicgraphic
retrieval sys tC idll a Geielc9d to aid esealcJers
cooioinet-e1 ~~as n -ie are= of c~rarativa legislatile studies is
t~3t because 0 si~~e iJS in~ti tuticn ias tce necessarJ expertise
of ccrparati ve
1-=gislatiY2 tcie3 8forts of the most conrpeteat ace interested
BEST AVAIL~BLE DOCUMENT MCi I I yl
12 -
oz~ the tr)middote grantee institutions and otter associated scholars It
~ill ayise t~e pa1tee i1stituticns on SllC catte-s as roritorirg
activities at the t~re~ unive~sities~ evalu~ting rese~rch frr possible
=middotclication sJ--sidies rld ether ratters related to infor~atioTI
disse~~ation coordinating research efforts to avoid duplication
ecilitating excha1ges d sttde~ts ad faculty members ~-iitb foreign
nsti tutions i~en desirable tryi1g to till lacunae in cLIricu lUn
helJilg to arralge cmferelces and sy-posia and generally trJing to
9cote te ~eielcp~2nt of cOlparatile legislative stucies as a
Gra1t L~HS idll be ~sed to support the Univ2rsity of Io -a IS
nrticipation in tre AdisorJ Co-i ttee t1e developrrErt of conferenc=s
elsEfhere il the US arHl over3eas i1 relat2d facets of leeislaive sttdies
Edstng iersonJ~l al~d fa-ilities at the University o= 1oa previde
iaculty facliiies to aid rC3emc~ trailg aPd skill in 21c~ivaJ middotork
BES~ AVAIL4BLE DOCUMENT I
r ~-)
- 13 -
Six ITe-bers of t1e faculty of the Departent of Political Science
at the Unhe ity of Im-ia are presently engaged in legislative research
To merbers ot the Departllent of History are engaged in research on the
British Parlia~ent L~ the eighteenth ~~d nineteenth centuries Fer the
past six years an adv~~ced se~inar has been offered by ~embers of the
Department of Political Science and the Department of Histo~J on
comparative legislative behavior This exte1sive collaboration iiill
ma~e it possible to develop a fully inter-disciplinary program for the
students ~~d visiting faculty In addition faculty ~emcers in
Scciology interested in organizatien theory and in the College of Law
interested in legislctive processes provide furtber e-pertise ava_ilable
to students interested in tee study of legislative behavior The
presence of these specialists on th~ facult~r is reflected in the
excensive librarJ al1d otler data resources existing at Iowa in this
field
The Uniersity of Ima offers an unusually extensive program of
trainL~g in research methods Four ~e~bers of t~e Department of Politi~al
~cie1ce teach in the field of research nethods Courses jn statistics
ca1 be taken ill the Dep~rtents 01 Sociology e-d Educational Psycholcgy
Llis prcgr6l provides a verJ solid grounding il research training and
data analysis
bEST AVAILABLE DOCUMENT
e ~
- 14 -
Y labCrato~y for olitical Pesearch is the reseacc1 md research
tlairirg facility of the Departe1t of Political Sci-lce Gcadvate
students receivo extensive res~arch experience through 1or~ing in the
La oratory bull The Lacoratoy is also a1 integral part of the trainirg
o~feed in ccurs~ T~middotO~ for graduate students
The full-time sta~f of the laboratory includes a director an
assistant director a t-=cl1ical cirector a supervisor of study
t1hteen graduat~ students - rf1rk in te Laboratoy receivLLg teining i~1
~a~a collecticn ~~i data e~alysis Tbe facili te5 of the La)oratorltJ
icluoe a oard eJcerline printer ccnnected to the U1iversitys
dis~ and tape storF-ze for d~ta
The pogral of trailing ia coparative legislative reseC_cch ~ill
relr heavily en t LaOerltcLJ- for taching graduate stucents Visi tine
fc111tr lYe~bes iill be able to utilize tbe facilities cf the Laboratory
gt IOra ~as sFcial ccrpetence in prOCed~les for
ccq ter ogagtlizetion of d~ta Ja1ks ~d fOi the p~ocGssing of large data
sets as well as iJ the sttdy of naticnsl end st~te legisltllres Tile
BEST AVAILABLE DOCUMENT
- 15 -
Ile Univelsity of 10Ira will eadnister- the Grant thJotg~ its normal
a)1 iristrative char-l1els ad i1 Eccordance imiddotlith its ncrTal olicies and
operatirg procedures 7he Director of the gr~l1t-s~~ported program
Hill be a senior faculty eriOer of the Gniyecsity of IO~-ia -with extensive
expe~ie~ce in the subject field Associate Directors w~tb similar
qtalifications -aill also be appointed 7he Director- and Associate
Directors ~dll serve as eibers of t~e Inter-University Advisory CC1gtr)ttee
established to cooidinate _u bullbull ID gra1t-stpported programs at IOia Dul(e
lniversity a1d the University of Ha- aii Ll1 this field These relatiol-
ships are i~dicated in tee follc~dng a~inistrative organization chart
IX Ul~vsity Ccntri1uticn
T1~ ~h-ersity of IQ(a aSSures ALD that this Grant middotiill not
replace existing ftnds for STr current activity and imiddotrill be additive
to existing prograrrs of tCe lJniversity In direct sp~ort of this
Grat ttc University ~ill provide a) Acmi1istratile costs including
tie of senior officers of ttlt University b) Office ~ld research space
ald library and cor-puttr facilities c) Provision of a1cillamiddotCjr 1niversity
personnel -or consultation o~ ~middotjQrk nth the progral
X Reports end 5evie~-Ts
There i-ill be sub~itt-=i al arnual t2ctnical report for the purpose
of AID s revie- of activities under te Gant Tnis idLl include
a11 e-llation of prcsr~ss aidnistratve ar_c fiar~cial corsicer~tior~s
p~s cr tr foJlJ-middotire ear ~i disctlssics of the ossible l~lizaticn
BEST AVAJLIl8E OOCI1MrNT
~
- 16 -
A~~inistrative O~ganization
Ice Board of Regents of tle State of Im-la
-Iesicent of the University I
1 rOfcst Jf t-3 University
Den College of Liberal Arts
r Chailan DcptiEt of olitical ScieJce
Inter-G~iversity
Acisorr Corcittee
PcgrG21 Director Associate Progra~ Directors
Liaison Arcrge~~nts d ~h I I~~erested Plcfessiona1 I Perso~el j
I _
I 5cu1ti (full or PmiddotLG-tire l Asscci~tes a1d otllei non-Io~il
3ecip5ents of Gr3-1t stPPC1t Gr~cue~~e S t1~lcnts St2~retQi~S1 Data Lbed~1 31
Ln 18 r1icia 1
LO1t c~lce Factcj~1 ts
BEST AVAILABLE DOCUMENT ( ( V-t
- 17 -
of te eo17i~g cCpterce br A I D rLld ethers In addi tion there
aS3essr~ents of the gr31t
middot l ~ lI ~ _ _ _ co~~~r~~ing ~~iversiti~s md tne rrctitoring ALD office
7re l~yersity of Ie~middot~ budget of $26500 is to be deveted to the
cemiddotelgt~e~ of lstituticnal cefete1Ce in comparotive legisl~tiye studies
~t Iomiddota c t~ the exalsi0 ot a date b~L-lt ~ hich 1fill be utilized as
a ecle for icrec3ing te scope of tbe sub-specialty
T - 1 f 1 __ middotja r S Ctdget a9roxir~tly 33- has bee allocated to a
cemiddote Lp~l t rirc ipally C actlty re leased tirre for data ccllection
ai 0 3alres f~r i~~er-ieers in field research 3d secretarial
assi5ta1ce nCt2 11- of t~e Icmiddotre oudge~ is iesignated for an
ArCE_1 A~ite s(101a~middot 2d one 0 ore scnolals froQ LDe or
s1lllrt of greluate stucents in the
BEST AVAfLIlBLE DOCUMENT
- 18 -
Finally approximately 19 of the budget will be devoted to the
proposed data bruL~ that will archive not only data generated from the
research of scholars at Iowa Duke and Hawaii but also at other US
and foreign institutions Primary and 3econdary an~ses of these
data will become an integral part of ~omparative legislative studies
curricula The ability to utilize the data bank for teaching purposes
also should have a significant impact on professional preparation ofmiddot
future legislative specialists In summary the funds will be
allocated to research teaching and training activities tha~ are
entirely conson~~t with the philosophy underlying the utilization of
2ll(d) grants to achieve institutional development
Conclusion
The University of Iowa regards the research and teacbing components
of this program to be closely related an1 zrutually reinforcing The
University of Iowa offers a strong base for the pro~ram because of the
interests of faculty members here now because of their contacts with
scholars in this field in other Americ~~ and foreign universities
because of their experience with the international exchange of faculty
and because of the distinctive data gathering and processing facilities
available in our Laborator~- for Political Research The program which
we have formulated is designed not only to accomplish specific
research and teaching objectives but to contribute to the long-term
development of the University of Iowa in an area in which it has already
exhibited special interest
BEST AVAILABLE DOCUMENT
~ I) - 0
- 19 -
The program on Comparative Legislative Studies with support from
this Grant rill develop the capacity at the University of Iowa to
provide assistance under separate financing arrangements to developing
countries in a number of ways and through a varieiy of channels This
assistance which would be arranged for end negotiated separate~ from
this Grant may be in the form of technical assistance advisory service
training research and information exchange etc It will be available
by mutual agreement to appropriate agencies national and international
public private a~d mixed and directly to the less developed countries
Most especially this added special competence will inevitably become
incorporated through the processes of scholarship and education into
the competence of US and foreign scholars and institutions concerned
with this topic of great significance to the developing and the more
highly developed countries alike
BUDGET SUMMARY
UNIVERSITY OF IOWA
Salaries
Graduate Student Stipends
Fringe Benefits
Travel
Equipment and Services
Other
TOTAL
$173090
32400
19209
13800
6501
20000
$265000
BEST AVAILABLE DOCUMENT
d bull
srjmiddot (~~ jjXilO
IO
rmiddotmiddot ~middotmiddotrl f)~~ 7 middot 1 ~A~~ middot1 rmiddot middot~ rt bull middot bull bullbull I ~ i bull bull ~ middotv- middot bullbull ~ I
1 so bullbullbull l ~--~-- - - ---- ~ V~ i Jlgt ) bullbullbull ~(lr v ~I ( tr_ 1middot-middot 1 bullbull 1
il l~ J
2 c~loto
BEST AVAILABLE DOCUMENT
(C
Dr Willa~d l Boyd Presicient University of Ima iowa City Iowa 52242
Dear Dr Boyd
4 AUG 1977
amp
FIJNDS AVAnASLe CpoundNrftAamp sEIMCEs DMsON
AUG11 ~n te t6417 ~77
Subject bull Supplsectferit-tJF-G~middotNomiddot~middot AIOcsd-3294
t middot-rrPJ1 3
I am pleased to inform you that pursuant to th~ auth~rity contained in
S-cction 211 (d) ooC the Foreign Assistance Act of 1961 as amended a sup
plemental grant in the amount of $200000 is h~reby r~de to University
of rCi1a These supplement]l grant funds areprolided to support the
activities which are described in your Proposal dated May 6 1977 for
the implementation of your program entitled Political Conditions for i
Effective Small-Scale Rural Assistant Projects
---This sup~lemental grant is mace to University of Iowa en condition that
yo~r institution shall administer the funas provided under this Grant fn
accordance lith your r~ay 6 197 proposal (including Budget SUmlilary) and
the Standard Provisions (as incorporated by Amendment No 1) which have
been agreed to by your instit1ltion Ti) the extent of an inconsistency
between the Proposal and the Standard Provisions and any otherprovisfons
which ar~ made a part of thi5 Giant by reference or other~iSe the Sta~d~
ard Provisions shall control
The new Duration Period for this Grant shall beAugust 11 1971 through
August 10 1979
The total amount of funds obligated under the grant is increased to reflect
a new total oblgated amount of $465000
Please sign the Statement of Assurance or Compliance ana the origfnal -
and seven (7) copies of this letter to acknowledge your understanding of
the conditions under which these funds have been granted Please return
the Statement of Assurance of Compliance and the original and six (6)
copies of this supplemental Grant to the Office of Contract Management
Attachment May 6 1977 Proposal and Budget SUfiT1a ry
UNIVERSITY OF IOWA
Roberw bull OBrien fficer
Ce al Operations Division Office of Contract Management
AC~E~E~C--_ 0 BYpoundk~~ cH
D C ~lpoundSTtR5BA T ITL E ( PfeampoidPilt for
tee ment amp Research DATE 9-22 -77 (d~ ~~Bduate Ctl~1e~e
BES i AvAILdLt UOCLJMU~ I
211(d) Grant Program
Proposal of the University of Iowa
POLITICAL CONDITIO~S FOR EFFECTIVE SMALL-SCALE
RURAL ASSISTA~CE PROJECTS
Submitt~Ci to
Civic Participation Division AID
May 6 1977
Amount requeste~ $ 199987
BEST AVAILABLE DOCUMENT
I TdE DEVEIOP~T PROBr~
P~litical Conditions for Rural Development
The Cocparative Legislative R~search Center of the University of
Iowa proposes to ~~dartake a two-year study to investigate the role of local
leaders and the rural public in theimplecentation of small-scale develop~ent
1 projects in less developed countries The study will use and extend the
capacity ~hich the University of Iowa developed under a 211(d) grant to
investigate and assess the impact of loeal politics on rural development
~t the co~pletion of the s~ Iowa will be in aposition to advise the
Agency on the design ~nd evaluation of s~ll-scale projects which will be
politically viabe a~d effective in ass~sting the rural poor ~
As students of development w~ approach our task with the assumption
that the proble~ of development and underdevelopment are funda~entally
ones of political econooy and a~ such can only be solved through a
simultaneous considerationof economic and political factors Efforts
which foc~s aloost solely on economic factors like those of ma~y
organizations engzed in dipersing foreign aid or efforts which focus
almost exclasively on political factors fail to take account of the
interdependence between these two dimensions of underdevelopment and
lwe have for~ulated this proposal in a canner consistent witr the cu~rent policies ard interests of the Agency We have been guided in our tsk by four Age~cy doc~e~ts Impleo~~tation of New Directions in Developnent Assista~c~~~ ~eport to the COmlittee on International Relations on Ilupleoenshytatiun of Legislative Refo~ in the Foreign Assistance Act of 1973 (July 1975) rItevis~d Projec Developiel Review and Approval Systeo (A I DL Circular A-21 Aril 23 1975) SH Butterfield Draft SUIilZ3ry StateUlent of a Practical Agelcy Approach c aural Devalopilelt (AATA February 28 1975) Cicci A Coce~ual Oie=viamiddot middot Rural Development No1 (lWorilting GOU O~ tha Rural Poor February 1975)
- l -
can meec with only l~ted success
Our concern with the i=pact of local politics on the process of
rural developcent is a result of our interest in the basic question of
how LDC governm~nts and the donor agencies which assist them can
become core effective in raising the standard of living of the rural
poor We seek answers to the following aspects of that basic question
1) What political conditions must exist both within rural communities
and between theo and central gove~ents to raise agricultural production
w~ere small-scale agriculture is the do~nant pattern 2) Vnat are the
political conditions for a core rapid expansion of the informal manufacturing
and service sector cocprised of labor intensive small-scale industries
located in the rural ar s 3) What political structures and activities
are mase crucial for the provision of welfare and econocic supporc services--
such as agricultural exeension mar~eting and transportation--to the rural
areas1 4) ~~at Folitical conditions oust exist to insure that economic
growth in the rural areas is not accowpanied by excessive and intolerable
inequalities between socio-economic classes andor between regions1
Center-Periphery Linkage in LDCs
To deter~ne the political conditions for rural development we have
in previo~s s~udies exacined the institutions and processes through which
rural populaticns are integrated i1to the national politi-cal systetlS of
middot~he countries in which they live A gap exis~s in most less developed
countries bet~een the peasantry residing on the periphery and the c~~tral
political ~stiutions staffe1 by ~~estern-educated bureaucratic elite
We are aware of the other major ~sti~utional discontinuities which comprise
J
4 middot~~1 the basic cleavage between the developed and underdewmiddoteloped sectors of
these dual societies Bridging these gaps is essential if these so~ieties ~ are to develop into viable nation states For until those Q~ the periphery
of the poli~ical syste~ participate in that system and support and comply
with the authority of central political institutions neither economic
development in ~he rural areas nor a stable polity will emerge
Bridging the discontinuities in these new political systems requires
establishing and institutionalizin3middot1inkages or networks for co~unication
and exchange of resources between decision-makers at the center and the
rural public on the periphery Three types of institutional linkages are
most prominent in less developed countries 1) those conSisting of the
state administration composed of the bureaucratice1ite 2) those consisting
of a revolutioncry political party cocposed of the ideological elite
3) and those conSisting of patron-client hierarchies composed of the political
entrepreneurial elite
Of these three linkages consisting of the state administration are
the cst extensive and pervasive in virtua~ly every LOC Such linkages
however exist primarily a~ instruwents of the center to penetrate the
periphery Central government officials are formally charged with bringing
develo~ent to the people This is a ~issi~n which conceives development
as a process ~hrough which a traditional peasantry is transformed and
assimilated iJro the DOdern center which is steadily expanding to embrace
it Agents of the center invariably have more resources to achieve their
objectives than do local political leaders but because they are frequently
strangers~ the communities in which they function they are often unable
- It -
co implement the policies of the center without working through the
local establis~ent
Though somctices significant linkages consist~g of revolutionary
party organizati~ns such as those found in China and Vietnam do not exist -
in most IDCs beca1Se of the special historical and e~omic conditions
required for their development As wi~h the administrative state however
the linkaampe apparatus of such political patties is prUlarily an instrument
of the center whose mission is to penetrate and mobilize those onthe
periphery
In contrast patron-client hierarchies are linkages which represent
the periphery at the center and mediate betwee~ these two disparate
sectors of the political systec Thcugh norcallymiddotovershadowed in scale
by the state administration patron-client hierarchies are found in almost
~very LDC a~d constitute the ~st significant network through which rural i
populations and their leaders influence the decision-~king process at
the center Patron-client hierarchies exist in a wide variety of org~iza-
tional fores ranging from info~ ~ec~~rks of individual olitical leaders
in uno-partyll systelS in S~b-SaharaI4 Africa to extensive political machines
in both one-p~rty (Africa Mexico) and ~u1ti-party systems (Turkey India)
Despite their importance as the pricary means through which peasants in
LDCs particiate in their political systems patron-client hi~rarchies
have only recently become an object of analysis by students of political
developent and do not appear in even the most sophisticated studies of
2 See Jo~ Dunca owell Peasant Socie~y and Clientelist Politics Aerican Politi~ Scielce Revietol 64 (June 1970) pp 411-25 Rene Lemarchand anc_ Keith Legg olitical ClienteliSJ and Ethnicity in Tropical Africa Aierican Political Sc~ecce ReView 66 (Y~rch 1972) pp 68-90 James C Scott PatronshyClient Politics a~d Political Change II 1tlerican Political Science Revie~ 66 (~arch 1972) p 91-113 and Friends Followers and Factiols bull edited by Steffan Sc~~d and James C Scott (Berkeley UniverSity of California Press 1977) bull
- 5 -
3 economic development Ad~niscrators of developmental assistance progracs
have too often regarded patron-clienc hierarchies as ~ped~ents to
develop~ent instead of recognizing cheir potential utility bull
~ Findings on Patron-Client Hierar~hies --
The importance of pat~on-clienc hierarchies for linking the periphery
to the center is one of the major findings ~erging from a study of the
relationships betueen l~gislators an~ their constituents in Kenya Korea
and Turkey ~hich the Cowparative Legislative Research Centpr is nov
comleting uader its 21l(d) grant from AID This study has av~mined the
creation of linkages between the periphery and the center through ~ore
than lO~OOO interviews with members of parl~ent local leaders and
peasants in t~e three countries The findings are being systewatically
set out in a book-length monograph Nearly a dozen research reports have -
uready appeared (see Appendix C) ipropositions about the nature of
political behavior of rural populations an~ the roles of local political
elites de=ived from the research~ can be s~rized as follows
1 Elected representa~ives play a significant role in the creation and mainte~ance of linkages be~een the center and periphery by developing local political achines in which they function as patrons of their constituents In turn thay s~rve as clients of political leaders of national stature who control central government institutions
2 By atte~pting to establish linkages based on patron-client relatio~shi~s elect~d representatives are responding to public expectations chat their prizary duy is to obtain resources from the center to proffiote local develop~ent ~iany elected repLesentatives spend most of their time on self-help co==unity development projects such 3S the building of schools health clinics irrigation works arid roads because such projects provide
3For exa~le ~ a widely respec~ed a~d useful analysis of rural deve16p~ent in Sub-Sahara~ Africa L~ Lele of the World Bank notes the problems of creating an adoini5~raive infrastructure in the rural areas that is sensitive to local socio-oliical conditions She does not however consider how local leaders operating o~tside of adcinistrative structures ~ night contribute to the developne~t 0 the rural areas See ~~ Lele ~ Design ~ Rural Develop~ent Lessons ~ Africa (Balt~re The Johns HopkiD~ Uciversity Press 1975) r) pp 127-61 i ~
- 6 -
their const~tuents with desired se~ices ~~d a= the sa~e time provide the reresentatives with an orgacization Yhicn can be used as a political base
3 l-tore than 90 perCel1t of the rural population is capable of articulating the p~oblems facing their local co~~ity and two-thirds discuss th~e proble~ w~th their fellow citizens on a regular basis
4 Three-q~rters of the residents of the rural areas can identify the public ofpoundici~s who serve thec--both civil servants and elected represcrtatives--by na~e Most are knowledgeable about the activities of these officials Alcost one-fifth coreover have discussed co~~~ity probl~ ~ith these officials particularly those working at the grassshyroots level Residents of rural villages actually have a higher level of political knowledge than their counterparts in the towns
5 Elections in the rural areas evoke a highly rational attern of voti~g despite the effects of ascriptive or traditional co~siderations Inc~ens are pri~rily evaluated in terms of their record in fulfilling the public r S elpectations of what they should do Elections are essentially referenda on inc~entsr perfo~ce especially their perforwance in the area of constituency servi~es such as bringing development projects to the districts bull
6 Local developcent projects have a relatively high s~olic value generating conscitutency support for local leaders and the central government at low cost
7 These projects help huild a local political infra-structure which can also be utilizec by central govern~nt civil servants to implement other policies designed to achieve rural develop~ent bull
The Icpac~ of Local Politics on Rural Projects
Having explored the developtent of linkages through which the periphery
is represented at che ~enter and through which the periphe~ attemp~s to
share in the ceners resources we now propose to build upon our initial
investigations by e~ing in greater detail the impact of local political
conditions on specific problecs of rural develop~ent We propose to
exacine the develop~ental activities of local leaders ~nd the rural public
by eX2~Ding a saple ot fifteen to twenty smalL~scale developwent projects
in each of ~he three countries which constituted the sites for our initial
8ESI AVAILABLE DOCUMENT 1 ~ - of
- 7 -
study of center-perhiphary relations The appropriateaess of this approach
and the ~ethodology through which it will be ip~emented is discussed in
section II Because the ~ethodology of investigation is in large part
the result of our previous research experience we fizst turn to a revieW
of the existinQ __ ~petence of the Comparative Legislative Research Center
in this area
II GRAXTEES EXISTIXG CmET~CE
In 1971 the University of Iowa received a 211(d) grant to develop
its capacity to do research on the role of elected represent~tives in
the process of modernization On the b~sis of this grant the University
established a research center which planned and carried out a research
project on the role of elected reres~~tatives as links between the central
gove~ent and rural populations in K~ya Korea and Turkey The project -i
served to develop t~e University of Iowas research capability in this
field esa~lished ties between the University and scholars in the bost
countries and generated a large and uniqu~ body of relevant data
In that project we fo~ussed our attention on tbe activities of elected
representatives in their constituencies notably in their contacts with
local political leaders voters and civil servants To determine tbe
nature of the linkage function performed by tbe representatives we
designed our research to explore the subject from three perspectives
1) we eXaojned ~~a ~ubject at tbe grass roots by conducting a series of
sample surveys of 200 to 300 adults in each of 12 to 14 parliamentary
constituencies in each cf th~6three countries 2) we examined the subject
at the center by intervie -ing MIls from the constituencies in which we
had conducted S3mple surveys ~nd higher civil servants with whom they
had contact and 3) ~e ex~~ined the subject from an inter-~diate level
by identifying aud ~terviewing local social and political leaders in
the MPs constituencies We used survey research methods because we
were embarking on the study of an entir~ly new subject for which little
relevant docu=e~tary data existed and on which there were few secondary
sources As a result ~e have unparalleled experience with survey
research in the rural areas of less develo~ed countries
The surveys which constituted the cajor part of our field work were
planned in collaboration ~~th scholars from the host countries They were
carried out in each constituency by student interviewers in the appropriate
language ~re than 10000 respo~dents were inteDViewed for the project
Given the visibility and sensitivity of this undertaking approval for
the research was sought and obtained from the host governments prior to -i
the collec~ion of data ~o objections were raised by these governments
at any stage of the research The data obtained have been made available
to scholars i~ the host co~cries and some of the basic findings have
been published in periodicdis in these countries
The Comarative Legislative Research Center ~hich ad~nistered the
project has aisO developed extensive experience in the study of political
leadership in other countries It h3s obta~ed substantial support from
the Fo~d Foundacion and the Rockeeller Foundation has worked in
collaboration ~~h European as ~ell as Asian and African scholars and
is engaged in a ajor study of the role of elected and non-elected leaders
in the oanag~~t o~~ocial conflict Because it has conGucted research
in a variey of setlngs the Center has an ~ceptional capacity to
- 9 -
determine how the relationships be~een political institutions and
economic p=oble75 differ in develoPed and less developed countries
In the course of the major research projects the Center has administered
it has gained highly specializpd ~p-i ce iI identifying 1Olitical leaders
in a great variety of settings conducting systematic interviews with
them collaborating with scholars in the host countries and in coding
and utilizing large files of data to answer specific research questions
The Center has ~lso undertaken to publish the results of its research
in three fores It issues codebooks to the data enabling scholrrs at
other locations to use the data expeditiously i~ publishes research reports - in the form of Occasional Papers and it publishes a scholarly periodical
devoted to the presentation of research findi~gs to an inteIT~tional
audience
The Center utilizes the data ~ysis facilities of the Laboratory
for Political Research of the University of Iowa and drawS on the unusual
n~er of secialists in comparamptive politics and survey research in
~~e Lniversitys Departmen of Political S~ience The Center itself I
has the services of an administrative secretary and a clerk-typist
~intains its~o~cn extensive archives and its o~~ publications program
It is e~uipped to assist scholars and government officials outside the
t~iversity of Io~a The participants in its p~ojects are full-tioe
faculty ~e=bers ~hose undergraduate and graduate teaching is closely
related to their research As part of the teaching program the Center
has attracted students from the countries in which the research projects
have been conducted these students have participated in the projects
bull J
have obtained training in other fields of political science have received
University of Iowa degrees~ and have ret~rned to teach and to do research
in their own countries
III PURPOSE OBJECTIVES AID METHODS
Purpose of Study
The purpose of the proposed grant is to extend the capacity of the
University of Iowa to determine the political conditions in the rural
areas of less developed countries which favor the establis~ent and growth
of small-scale developoent projects ~e objective is to put the University
of Iowa in a position to assist the Agency in designing small-scale rural
developent projects providing guidelines for carrying out social soundness
analyses of such projects and adviSing in the evaluation of projects
We will discuss the utilization of~t~e Universitys capacity in detail in
section IV below
We propose to concentrate our investigations on the political conditions
surrounding s~l-scale ru~al projects Such projects have distinctive
advantages They waximize the political participation of the rural populations
both in det~~-ining the direction ~d implementation of develop~ent efforts
and in defending the interests of periphery vis-~-vis the urban-based
bureaucratic elite S~ll-scale projects stimulate entrereneurial activity
on the part of the rural citizens and growth of the info~l canufacturing
and service sector Tbey require less lead tice and less administrative
c~erhead to ~eco~e operational than large-scale capital-intensive projects
centrally administered Such projects yield rapid and direct benefits to
1
j
the rural
- 11 b - ~~1
populations and are consistentwith their hUIlaD rights--both
political and economic However~ small-s~le projects pose s~ecial probl~s for administratcrs of developceocll assistance progracs because
they require the donor co assess the local olitics particularl the
rural politics of t~e host country
Develop~c adoinistrators pr~rily conc~rned with assisting rural
populations must therefore recognize the range of political variables
affectL~g these projects Small-scale projects offer great opportuoities
for develop~ental assistance progr~ because they can be easily targeted
to help rural populacions require low capital costs and need no be
concentrated in one or two localities Such projects ho~ever~ ~equire
the a~istrator to have ~re political kno~lecge than large-scale
projects Oil which his priJlary tas~ is guiding the work of other experts
Questions for ~Investigation
To detercine the politi~al cc~diicilS ~st conducive to ~he establ~~ent
and gro~h of scalI-scale rural projects ~e propose to address our inquiry
to the following specific questions
1 To what extent and why co local political leaders seek to establish s~~l-scale develop~ent projects within their co~unities
2 To what extent and ~~y do local leaders other than politicians initiate andor provide leadership for s=all-scale developm~t projects
3 Bot do the relations bet~Jeel different types of local leaders (political and non-political) and bet~eeo these leaders and central gove~ent civil servants posted to the rural areas affect the conduct of develop=ent projects
4 How do existing authority ~eLationships between these different leadership grous and the rural pub~ic affect the organization and operation of s~l-scale develop~ent projects
- 12 -
~
5 lhlt is the nature 0 pclgtlic participation in the establishlent and operatio~ of s~l-sclle projects and ~hat are the outcc=es or this participatioe Gucer w~at conditions is such participation ~ost likely to occur
We seek a~swe=s to t~cse questio s L order to determine the effect of
different co~iigurations of local leadership and public participation on the
outcomes or small-scale rural projects te are particular1y concerned with
the ~pact of these configurations on the rate of econocic growth and the
distribution o~ rIGSlth ithin the loal cOlllUlity ~ on the perce~tions of
s~ll-scale proj~cts by central govern~ent per~oncel and the rural public
anmiddot on the organiation or flture projects
To a~swer these que~tions it is oar intention to study the initia~ioD
izJple=enation ald i1lpact of a salple cpound small-scale rural projects in
Kanya Korea and Turley in the sae cOllities in which we carried OU
our initial icvestigations ~ 1973-75 Tne relationships between the -
various conf~gurations of local leadership and public participation and
the three phases of project develop~ant are sho~ in Figure 1 We will
exa=ine projects to pro~ote the adoption of new agricultural techniques
by s~l and moderate landnolders the building of feeder roads irrigation
ditches and other s~ple infrastructure the organization of fa~ers
cooperatives and other local associations concerned with rural development
the establish=ent of rural health clinicS and schools and the setting up
of craft and service industries
Sites for Study
We plan to return to our original set of localities because we possess
a rich body of relevant data on the extent to which linkages exist between
Figure 1
TYPES OF LFLUEXCE OF C2r~ middotGOVER1iEXT OFFCIALS
LoCu LEADERS 0 THE RURAL PUBLI-C OX THRr~
PHASES OF RURAL igtEVELOPHET PROJECTS
r----------~J C~ltral Gover1~nt Official)-N------- - J
r- Local pOlitical leaders
Local non-political leaders
~l 1---- -
ROJECT nITL~TIOS
Influ~ce on selection of projects
InrI ~elce on location of projects
Influence on policy guidelines for proj eCl
Il
I
a
I I
-I PROJECT I~L~~iATIO~ ~ 1
j Project Organizati I Selection of project
leadership
Hobilization of resources
Mobilizatiol of public compliance with project require=elts
Diffusion of project innovation
Rural Public
I
BEST AVAILABLE nOCUMENT
1 ROJECT IMPACT
Organization of ongoi=g project operation
Distribution of project benefits
Evaluation of project
Public attitudes toward project
-middot14 -
these areas and t~c central p~litical institutions of the three co~tries
and on the attit~es of the rural populacioc local leaders and elected
legislators regardi~g their problecs of develop~~c Since such data
is unavailable for alternative locales a return to the areas in which
we have previously done much research ~ables us to build on a uniquely
valuable body of icformation
A return to Kenya Korea and Turkey is also highly desirable from
the standpoint of effective research organization The Comparative
Legislative Research ~enter has developed close collaborative relationships
with several highly competent social scientists in these countries and
with the academic institutions with which these scholars are associated
We have also dev~_oped cooperative relatio~ships wi~ gove~ent officials
in these countries which should facilicate obtaining approval for our
further work
In proposing to doc~ent the origin i~pl~entation and impact of
one to three s~ll-scale develop=ent projects in each of 35 localities
we have two considerations in mind Firstmiddot because our pr~ry goal is
to deter~e the political conditions for rural developm~Lt we wish to
examine develQ~=ent in as many different settings as feasible Only in
this way can we control for so=e of the major socio-cultural variations
that erist along rural populations in less developed coultries These
include the overall level of econo~c development in the co~unity the
nature of t~e ~digenous culture an~ relationships of authority and the
pro~ty of the comounity to major urban areas and centers of central
gove~nt ad=inistration ~ce our original study sites were carefully
BEST AVAILABLE DOCUMENf
- 15 - ~ ~1
selected to represent these variations ye have concluded that these
35 localities woule be ideal sites for the propose~project Second~ in order to dete~~~ the ~pact of local leaders and public
participation o~ ~ural projects we intend to compare projects 1n which
local leaders and ~ecbers of the public have played a major ~ole with
projects in which they have not We also ~l cospare projects initiated
by the central gover~ent with projects Yhich have been locally initiated
These considerations give us a typology for selecting projects as depicted
in Figure 2
Figure 2 ~
FIVE TYPES OF RU~AL PROJCTS ACCORDIXG TO ~FLUEXCE OF CEITiW
GOVE~1E~T LOCAL LEADE~ AD RLRAL POULATIO~
Level of Participation by Rural Population
Locus of Project Initiation ~
Local Co=unity Central Governoent
BIGd
LOt
1 Projects initiated by local leaders and providing for participation of the rural ~opulation
4 Proje~ts Litiated by local leaders bu~ not involving participation of the rural population
2 Projects initiated by the Central Govern~ent and administered i~ cooperation with local leaders a~d the rural population
3 Projects initiated by the Central Govemlent and providing =or the participation of the rural population but by-passing local leaders
5 Projects initiated by the Central Gover~e~t a~d administered in cooeration Yith local leaders but not involvi~g parti~ipation of rural population
- 16 -
We recognize that the socio-cultural setting of rural develoment
projects varies significantly within and across less developed countries bull
By focussing o~ a representative sa=ple of localities ~ Ke~ya~ Korea
and Turkey we can take account of naoy~ though not all of these variations
While some of our substantive findings will not be directly generalizable
beyond the countries in which we propose to conduct our study we expect
that our basic ~ethods and fLdLgs will be applicable to national and
sub-national settings elsewhere in the developing world This is partly
d~e to the fact that the hierarchy of patron-client relations ~hich we
regard as a critical factor in rural develo~~t exists in ~ost Liles
--It is also due to the fact that the methodology for identifying local
bull leadership configurations auG poundor studying local politics which we are
perfe~ting can be used to assess local political co~ditions in a large
variety of countries even when the ~nditions themselves differ significantly
Methods of Investigation
The data needed to assess the iDpact of local leaders and mass
participaticn on rural dev~lop~nt fall into two categories Some a~e
contained among the data gathered for the research project we are currently
completing Others will require additional field research
The following data are already in hand
1 Data on the social landscape of each loc~l co~nity i~cluding aggregate data o~ level of econonic development de~graphic characteristics political pa=ticiation eth~ic loyalities and rates of socio-econocic change dur~g the past decade bull
2 Identity of local leaders including both political and I-on-political leaders and both legislators and other politicians
3 Perceptions of existiag probl~ and their possible solution a~ng
l)tS r AVAilABLE DOCUMENT
- 17 -
general public local leaders and civil serv~nts
4 Level of political kno~ledge among local citizens and local political leacers
5 Political and social values a~ong local ci~izecs and local political leaders
6 E~~ectacions of leadership roles among the local public and elected and non-elected leaders
7 Patterns of co~unication ~ong local leaders and between local leaders and the central gove~e~t
These data ~hich ~e already have in hand can be subjected to analyses
which ~~ll provida the foundation for our further work on rural develop~ent
projects A part of our work therefore will consist of fu~ther analyses
of existing data
New data of the following kinds are also required
1 Doc~entary data on the origin and evolution of particular smallshyscale develop~cnt projects in the rural areas
-2 Data on project costs boih ~itial invest=ent and recurring
operating costs and data on project ou~puts ie pupils in schools Ddles of road coopleted nl~ber of hospital a~ssions production of factory agricultural productivity
3 Data on project organizatio~ n~~r of local inha~itants participating in establis~~ent of projectt nuober of local L~habitants subsequently involved in project
4 Data-on the pe-cetion of projects by local leaders emers of the local public a~d by civil servants data on the perception of how each project ~as initiatec organized who benefitted and what its future implicatio~s are
These types of data will requ~re field work involv~~g both docucentary research
at the relevant ~istries of the central government and in local goverr~nt
authoritieS and inforoal open-ended interviews with local political leaders
elected representatives and other local leaders who~ we had previously ~
interviewed in a s=uctured syste=atic =aoner
BEST AVAILABLE DOCUMENT
- 18 -
Grant Organizatio~ and T~etable
We propose co undertake the research outlLled above beginning in the
fall se=ester 1977 Dur~g that te~ Professors Barkan and Kim as
principal investio~tors for the neo1 proj ect will contact their collaborators
in the host co~~tries They ~~ll also seek the collaboration of an additional
~rican scholar specializing in rural development with the aic of getting
additional advice on sources of data and suitable indicators for the
~easure=~~t of rural develop~ent projects
At the end of the fall seQester Professors Barkan and Kim will make
a trip to their research sites to disc~s details of the research organization
with their collaborators in the host countries and to recruit student
assistants Tney will devote the spring te~ 1978 to further analysis
of a~sting data at the University of Iowa
The gathering of additional dita L~ the field will begin in the s~er
of 1978 Professors Barkan and Kio will direct this work personally We
eAect that its coopletion ~~ll require three to six months This work ~1
involve the evaluation of central and local gove~ent reports on the
projects uncer investigation extensive on-site observations of the projects
and oen-e~ded interviews with the principal participants Our principal
respondents ~i1l be the local leaders and elected representatives we
have previously identified in the localities in which we have worked and
a sacple of active participants in the particular dpvelopment projects
being studied ~~ere necessary and apropriate surveys of the general
public will be uncertaken to assess the inpact of a given project on the
rural por)r We do not however leed 0 conduct systeAlatic sample surveys
BEST AVAILABLE DOCUMENT
- lY -
of the rur~l population as We did in 1974
In the organization of this research project we intend to reconstruct
the rese~rch tea=s ~e e=ployed during 1973-75 We shall again seek the
co11abo=~tion of P~ofessor Sc~~S-7o~g Pai of Seoul National University ~
Professor IIiCr Turan of the University of Istanbul and Professor John J
Ok~u of the U~iversity of ~arto~ S~ilarly w~ contemplate directing
the field research fro~ he same acade~ic research organizations we previously
used Seoul National U~ive~sity th~ ~~iversity of Istanbul and the
Insti~ute for Develop~eut S~udies University of Nairobi As before we
will tra~ students f~oo these institutions to serve as interviewers
The analysis of the open-ended intervie~s and of docUQentatio~ on
I ~ural develop=e~t projects will be a ~ore t~e-co~s~g process than the
analysis of closed intervie~s It will reqrire a high cotnittl~t of time
fron the principal investigators )e e--pec to hold a conference at the i
U~iversi~y of Iowa 3lO1g all the principal )clticipa~ts in the resea~ch
project d~=~g t~e spr~g 1979 to evalua~~ the newly collected data
le e~ pect to be able to vr-ite reports of t~ results during the Sl1~er 1979
(see Figre 3)
IV LlX-GS ~1) U~ILIZATIO~
At the e~d of the grant period the Uti ersity of Iowa will be able to
1) advise the Agalcy 01 the design of s~l-scale rural projects to assist
the rural poor 2) provide guidelines for social soundness analysiS of
small-scale projects for the rural areas of U)Cs 3) consult w~th the
Ag~tcy 01 the evaluatiol of rural projects ~d 4) provide LDe governments
BEST AVAILABLE DOCUMENT
)ATES
~lll
1977
~inter 1977
iprilg 1978
il mer 1978
~all
1978
ipr~ng
1979
Imiddoter 1979
University vf Iowa
Plutlning of rural develo~rent project
Barkan Kil
Alalysis of existing data
Barkan Kia
Data processing
3arkan Kin
1
I
- 4 -
Figura 3
GRAT TLfETABLE
SIT E S
Kenya Korea Turkey
Preparation of field research ural developH~lt project cOlisulta~io~ a research sites
BarkanOku=u Ki~Pai Tura~rkanKi~
Preparation of field resea-ch
Tural
Field research on rural cevelop~~t projects Bar~lOk~u Ki=Pai Turan
Co=pletion of Co=pletion of field resear~~I~ fiald researcr
Ok~u i Pai bull
f Coopletion of field research
Turan
Data analysis conference a~ong all princial i~vestigators at Un~versity of Iowa Barkan Kil Oku=u Pai Turan
Co=letiol of r~ral develop~ent
project
3arkan Kiz
BEST AVAILABLE DOCUMENT
I
- LL -
~ith speciali~cs o~ ru~al developcect ~mong their own citizens ~ho ha_
partcipatcd ~s collaborators in the Iowa projects
In the proposed project we Will test a series of hypotheses cOlcerning
the political cOllditions of rural develo=ent which run counter to CODOn
assuoptions conccrnir3 t~~ influence of rural politics on project effectiveness
As a result ~e ~dll be able to assist the Agency in designing and evaluating
such projects froe the point of V~~W 0 their political viability The
hypotheses We will test sugges~ t~at the patron-clie~t relations existing
in the local politics of zost LDCs are not necessarily i~pedients to rural
develop~ent but are aspects or the political structure which cal be used to
facilitate s~ll-scale ru=~ projects which will raise the standards of
living of _ ~ rral pomlation - As ~ result or our stuey we expect to be
able to P~-O~t the local leadership confi5~rations ~4d the relationships
between local leaders ald rural poclations ~nich are oost conducive to I
successful develcp=en efforts We believe that we will be agtle to perfect
a cat~odology for identifying the political conditions for rural develop~ent
one ~hich is transferable pound~oo the countries we have specialized in to
other LDCs
We proo~ to develop specific guidelines to assist administrators
charged with selecting evaluating and =onito~ing rural develop~ent
projects to ~szess t~esc rojects in tares of their-social and political
viability he outco~e of such projects is dete~ned not only by the
efrectiv~nass ~~=h ~hich they use scarce econo~c resources but by the
~~er L~ w=ich they e~gage the suppprt of local leaders and rural
po~ulatiocs~ by thei= effect ou social a~d econo~c equality ~d by
D[~T AvAlLA8LE DOCUMENT
- 22 -
their consequences for hwan rights ~Je plan to establish criteria by
middot~hic~ the probable outco~es of projects in these social terms can be
anticipatec
The study ~e propo e will be undertltlken by faculty at the Cniversicy
of lowe in collaboration with faculty a other ~rican institutions and
institutions in the host countries We will build on the extensive contacts
between the Co~perative Legislative Research Center of the ~niversity of
Iowa end other instituions with ~aich ~e have worked One =ajor result
of our collaborative study will be the existence of a net~ork of compe~ent
scholars both in this country and overseas experi~lced in ~orking together~
shar~g a co~on teaching and training experience i~ close contact throu~~ the
effective publications progr~ developed by the Co~parative Legislative Research
Center T~e e~~ertise of this group of individuals will be ava~lable to
oteer scholars to the Agency and ~o L~C governments for specific policy
advice The eXertise developed as a consequence of this project will
extend beyond the ~tionals of the countries ~volved since the univ~sities
engaged in ~e project attrtct stude~ts fro outside heir own countries
For ey~=ple the teaching ~d research progra in the Depar~ent of Political
Science 0 theUniversity of Istanbul heavily affected by the participation
of its facul~y ~e=bers and graduate students in our projects attracts students
throughout the ~middot1iddle East for Whom the University of Istanbul is the iajor
institution ~pound ~igher education in the region rne Institute for Developmen~
Studies is si=ilarly a focal point for students and faculty in East and
Central Africa Seoul ~atiocal Unive=sity attracts students froo other
Asia~ co~tries~ In this way the capability developed among the participant$
BEST AVAIL~BLE DOrUMENT
- ) -
in our work is diffused widely To the exte~ that the abili~y to assess
rural develop~ent p~ojects in teres of their social soundness is increased
both in the United States and in ~o~~tries r~ceiving develop=en~ assistance
the cap3~ity of racipien~ countr~es to absorb aid is ~creased
We propose to draw up an inventory of personnel available in ~~e
Cnited States and in other co~~tries who are able to consult with developen~
a~nistrators on the design of rural development projects and on their
evaluation We ~~ll draw first of ai~ on individuals w~o have been
directly associated with our ~ork in the past or on ~he proposed project
and ex~~~d the list to include graduate students and gove~ent officials
with who~ these individuals have wor~d
tole Yill utilize tha existing publication program of the Center
dercribed above to disse~inate our findings The Center has specialized
oailing lists of interested individuals and institutions in all parts of -i
the world and its reports can trerefore reach the ~st relevant audience
jirec~ly ~d re~~arly
BESl AVAIL~BLE OOCUMENT
CONTRACfjGRANTCOOPERATIVE AGREEMENT DATA SHEET
INSTRUCTIONS fjDW Complete 4 copies of the form Original SERCMSDSUP Statistical Section Copy Copy 2 SERCMSIiUP dministrative Copy opr 1 Contracting Officers COy COP) 4 SERCMSDSUP IUmin (Suspense) Copy
Missions Complde 2 copies oi the form Origin31 SERCMSDjSUF- Statistic31 Section Copy 3n~ Copy 2 Nill be ret31ned in the Missions
PART fA
ConU3lttorGranrce Name
University p~f~I~o~wa~ __ -r~ ____ ~~~~ __________ -~~ __ ~~~ ______________ ~~~~ Plorr Numt-er ApptopriJtion Number Allotment Number Project Number
930-0090-3Q13411 A5 72-111l0216 146-30-099-00-20-11 930-0090 Project Title
So~ia1 and Potitica1 Aspects of Development - Conference to Report Research Findings Amount of this Plorr I Projecl M3nagers Name and Offire Sytlbol
$10397 (increase) PDPRCP Jonatlan Silverstone Contr3ctors D-U-N-S Number
Ncgwatocs TYJlCd~3meJ j) Signature I l ~ jIf- bull G HtJ--ft u l IVmiddot
D~e
L - f - J ContractGrant Officqs typed Nailllt Signalure LJ d I -r-
plusmn t 3i-alflpta (( BLvle~ 1 I~ PARTm
ContractGranl Number
AID CSD-3294
Effeclive Date of Docum~nl Signalltre D3t~ of Documenl
Lf---C yen-~-gl tIost Courtry Institution (U iwrsity contract ONL Y)
Campus Coordinator (Uniwr ty i contract OiiL YJ
PART UL Descriplion of Cor-tractGrant P1use X ONL Y ONE item under each headiZg IF THEltrease CifYmC~e bolh ges I 30~~ O~ Nol to be completed for Amendmenl or Modlfic3lion AJigtns I III
J 710gt I I V ~ I
MOl - TYPE ACT A~ 0 G unsolicited Propsll (AIDIR 0 C Individual (Non-pe~nal senice)
~ O Cortra lGrantl ooperative Agreemenl 73101-SO(b)(6raquo 0 D Individual (ftrsonal Service)
tJl T3sk Order ( A)middot 0 H Procurement 10 be Perfocm~d by the Conmiddot 0 E UniversilyOther FAuC3lionailnSlitulions
D 2 Work Order (IQC) Ira~lor in Person (AIDPR 0 F Non-Profil Organizationlnslitutions (other
D 3 Delivety Order (Requirements) 73101middotSO(b)( Iraquo than Ed or PVO)
[j 4 Purchase Ordcr [J I Sole Source (AIOPR 7-3101-SO(b)(4)) 0 G Private Volunury Organization (PVO)
If I 2 or 3 1Lle an ~ compllle M 12 ON Y D J Imp3irmenl of Foreign Policy Objectiws 0 H International Agricultural Research Organj-
M04 - CONTRACTGRANT TYPE
o O MOA (BOA BMA etc)
o I Fixed Price (Specify fFP FPRD FPEPA FPI) _____ _
(gtIDPR 7-31 OJ SO(b)(7raquo
OK B(a)5eJection (FPR 1middot1713-1)
o L Grant iH1ndlOok 13)
o M Do Nol Ue
D 2 Cosl Reimburemenl (S~cil) CR CPFF 0 N Cooperative t~reement (Handbook 13)
CS CPAF CPIF) ~ 0 O Small Business SeImiddotAside (FPR 1middot1706-8)
o l Cooperative Agreemenl ~ 0 1 Overseas Procuring AClivilies (AIDPR
04 Grant Gener31 Supportmiddot 0U ~ 7lIOI-SC(b)(2))
o S Granl - Specific Support ~ ~06 E SER VICE
g ~ ~~t ~~(d) ~~ ~~ ~ eci~a~~~~~ogram Projeci
o amp IQCs ~ ~ relampted excepi A amp E Services)
o 9 Host Counlry ContraclGrnnt 5lJ C amp E Services
middotComplele ONLY through ~Sl ~~ 0 D Construction
M05 SELECTION PROCEDURES 0 E- Reseuch
o A Formally 3dverliscd (IFB) (A1DPR 7middot24 amp
FPR 1middot24) ~ o B Negoli3ted Price Compelilicn Gencr31
Procedure (RFP) (-JDPR 7456)
Dc A amp E (AIDPR 7410)
0 D Ed Inst andor Inl1 R~arch (-JDPR
74 5)
o E Collaboratoe Assisunce (IDPR 7458)
C F Predominant Capability (IOPR
73IOI-50(b)(l)
AID 1420-49 (179) - Page I
D F Technical Services to AID (other than trainmiddot
ing usually o~ating expense)
D G jraining SetVice for AID
o H Equipment Materi3J~ Supplies Commodities
D I Translation Service
~07middot TYPE CONTRACTORGRA-nEE
o A Firmmiddot AU profil-rn3king fUms (other than
Aamp E)
J e A amp E 8r~
zalion
o Public Inlmlational Organizations (UN
Agencies ICRC Wocld Bank elc)
(H8 J 3 Chapt~ S)
M08- TYPE AW~RD
o A S8 Sel-Aside - Awarded to Non-Minority
o B S8 Set-Asidemiddot Awarded to MinXity
o C_ S8 NOI Set-Aside - Awarded to Non-Minority
o D S8 NOI SeImiddotAsidemiddot Awarded 10 Minority
o Eo amp(a) S8A Awarded to Non-Minority (Womerl-
Owned Veterans etc)
o F 8(a) S8A Awarded 10 MinorilY
o G Personal Sen-ice ConlrdCt bull Non-Minority
o H IeJSDnal Service Conlract - MinorIty
o I Individual NonmiddotPersonal Service Contraci -
NonmiddotMinority
o J 100Jigtiduai NonmiddotPersonal Service Contracl -
Minorily
o K NOI Small Business (Univ NonmiddotProfit Large
Firms) Non-Minorily
o L- NOI Small 8usineSl (Univ Non-Profit Large
Firms) Minorily
o M US Govcrnmlnt
(Connnued on Page 2)
BEST AVLABIE DOCUMENT 1 I
--
ua ) R I GI NAL 9 bull
MODIFICATION or GRANT PAGE 1 of 2
AH 1 2 Effective Date 3 Grant No 4 Effective Date
Amend_at Ro 5 April 15 1981 AIDCSD- 3294 8-11-71
-s CRANTEE (Name and Addrea) 6 Administered by -Professor Gerhard Loewenberg -Office of Contract Management Cbrnparative Legislative Research Gente Central Operations Division Dept of Political Science am Branch University of Iowa Agency for International Developn~nt Iowa City Iowa 52240 Washington D C 20523
7 PIO No 930-0090- 3013411 A5 8 Previous PlOTa -
Appropriation No 72-11110216 93i-1l-995-l36 930-11-995-136-73-3078103
Allotment Symbol - 146-30-099-00-20-11 wunt Obliga ted by this ~ndrnent - $10397
The above numbered Grant is hereby modified as follows
1 Anotmt obligated prior to this rurendment 2 Amount obligated by this amendment 3 Total obligated anount (1 amp 2)
Delete the amJmt $465000 and substitute in lieu thereof the ammnt I$47S 39-7 ~
FUNDS AVAIrABm
~~ - APR 13 1981
PrO~A~~5iors
$465000 $ 10397 $475397
OffiCE Of fIN~(1 ~~rE~E~T __ _ 10 This amendment 11 entered into puruant to the authority of the Forelgn
Assistance Act of lS~l as amended Except aft hereln provided all terms and ~~ndi~ons nf the grant rcferpnccd in Block 13 remain unchsnged and in full force and ~ffcct
11 original and six Crantee 18 requlred to aign thh document aad return 1- eopics to issuing
ffiee
~~~ or printed) BUSINESS MAHAGR amp bull
Tille TREASURER
UNITpound) STATES OF AHERICA AGENCY FOR INTERNATIONAL DEVELO~NT
BY_-1(1o-_1lt--= 13middot~_1_~ __ K R B1uteau
(Name typed or printed)
Tltle~ ____ G_r_a_n_t __ O_f_f1_c_e_r ____________ __
D3tC APR 2 J 7997 Dolt 9 APq 1981
BEST AVAILABLE DOCUM NT ___ 0 HLGlNAL - I 1 J 1 ~ )
- 2 -
AID ftmds in the am)tmt of $10397 are hereby provided for the activities lmich are described in your proposal (including Budget Stnmnary) entitled CDnference to Report Research Findings on the Study of Political CDnditions for Effective Small-Scale Rural Assistance Projects in Kenya Korea and Turkey dated February 17 1981 and made a part of the Grant b reference
BtTDGET StMMARY
Line Item
Travel
Per Diem
Other Direct Costs
Less existing 211 (d) grant funds
Total Amount Obligated by this Amendment
Estimated Costs
$ 5888
5100
_ 2500 $13488
_ 3091
$lO39
Note Indirect costs or $395086 associated with these activities will be contributed by the University of Iowa
BEST AVAILABLE DOCUMENT
~RIGINAL
- CONTRACT IGRANTCOOPERA rIVE AGRElEMI~ SERC~SDSlP Actio) Monitor
SERCMSDSUP Action Office
I
INSTRUCTIONS AJDW - Complete 4 copit of tlh fonnmiddot Orisina iCMSDfSUP Sutistical Section COP)middot Copy 2 SERCMSDjSVP Administrative CoP Copy 3 Cont-acting Officers COP) Copy 4middot SOSUP Admin (Susptnse) Copy Missionsmiddot Complete 2 copies of the form or~aI SERCtSDSUP Statistical Section Copy and Copy = wiU~ retained in the Missions
0 PART IA
Effective Date of Document tJ
Delivery Order (Requirements)middot
o 4 Purcluse Order
bull If I 2 or 3 have an bull X compl~te M I 2 ON L Y
M04 - CONTRACTGRANT TYPE
o O MOA (BOA BMA etc)
o 1 Fixed Price (Specify FFP FPRD FPEP FPI) ___ _
o 2 COli Reimbursement (S~cifY CR CPFF CS CPAF CPIF) ______ _
o 3 Cooperative Agreement
o 4 Grantmiddot General Support
o S Grantmiddot Specifi Support
o 6 GraDt 21 led)middot
o 7 Do Not Use
o amp IQCs
o 9 Host Country ContractGrant
middotComplete ONLY through M 5 1
MOS SELECTION PROCEDURES
o A Formally advertised (IFB)(AJDPR 7middot24 amp
FPR 124)
o B Negotiated Prire Competition General
Procedure (RFP) (AIDPR 7456)
o Co A amp E (AlDPR 4 I 0)
o D Ed Ins andor Intl ReStalch (UDPR
7457)
o E Collaborative ASSistance (AIDPR 7458)
o F Predominant Capability (AIDPR
7-310l-50o)(3)
AID 142049 (1-79)middot Page J
o H Procurement Co be Performed b~ the Conshy
tra~tor in Person (AlDPR
7middot3t OI-SO(b)(Iraquo
o I Sole 5gturce (AIDPR 7middot3101middotSO(b)(4raquo
o J Impairment of Foreign Policy Objecdv~
(AIDPR 7middot310 ImiddotSO(b)(7raquo
o K 8(a) Selection (FPR 1middot1713-t)
o L Grant (Handbook J 3)
o M Do Not Vse
o N Cooperative Agreement (Handbook 13)
o O Small Business SetmiddotAside (FPR 11706-8)
o P Overseas Procuring Activities (AIDPR
7middot3101middotSO(b)(2raquo
M06middot TYPE SER VICE
o A TtJining of Participants
o B Technical Assistmce (Program Project
related exc~pt A amp E Services)
J C A amp E Services
0 D COltl~ruction
0 E Research
0 F Technical Services to AID (other than trainmiddot
ing usuaU Y operating ex pense)
0 G Training Service few AID
0 H Equipment Mat~rials Supplie~ Commodities
0 I Translation Service
07middot TYPE CONTRACTORGR TEE
Firmmiddot All profitmiddotmaking fu-r1s (other than
AampE)
o 9 amp E Firms
I Prcct NumbcT
I
Contactors D-U-N-S Numbcr
I) -S--f(j
o C Individual 0-lon-~rsora1 service)
o D Individual (Pet-sonal Service)
o E University lOt her EduCltionaJ Institutions
o F Non-Profit Organization Institutions (other
than Ed or PVO)
o G Private Voiuntary Organization (PVO)
o H International AgricultwaJ Research Organmiddot zation
o I Public International Organizadon~ (UN
Agencies ICRC ewld B3J1k etc)
(HB J 3 Chapter 5)
M08middot TYPE AWARD
o A SB SeImiddotAsidemiddot Awarded to Non-Minority
o B SB SetmiddotAside bull Awarded to Minority
o C SB Not SetmiddotAside - Awarded to Non-Minoril)i
o D SB Not SetmiddotAside - Awarded to Minority
o E ~a) SBA Awarded to Non-Minewity (Womeli
Owned Veterans etc)
o F 8(a) SBA w-rded 1o Minority
o G Personal Service Contractmiddot Non-Minority
o ~ Personal Service Contnct - Minority
o I Individual Non-Personal Sence Contractmiddot
NonmiddotMinority
o J Individual Non-Personal Service Contractmiddot
Minority
o K Not Small Business (Univ Non-Profit L1lge
Firms) --vn-Minority
o L Not Small BUSiness (Univ NonmiddotProfit Large
Firms) ~inoriy
o M VS Government
(Continued on Pcge 2i
t bull - t ~ J f q
ORIGINAL bull MODIFICATION OF GRANT
1 2 Effective Date
Araendllent Ro 4 12-2-80
s CRANTEE CHace and Addrels) Professor Ger1ard Lo~middot enbelg Comparative Legislative Research Deartment of Political Science The Lnivp-rsity of Iowa Iowa City Io~a 52240
7 PIO No NI A
Appropriation No 72-11XHl26
Center
Allotment Symbol -426-30-099-00-3~-71 Amount obligated by this urendment-O- I
3 Gnnt No
AIDcsd-3294
PAGE _____ 1 _of-L
AlI 4 Effective Date
8-11-71
~ Admlnlltered by -Office of Contract Management Central Operations Division OTR Branch Agency for International Development Washington DC 20523
8 Previous PIOITs -
931-11-995-136 930-11-995-136-73-3078103
9 The above numbered Grant is hereby modified as follows
Supplement to Grant
Change the duration period sentence to read
The Duration Period for this Grant shall be August 11 1971 through December 31 198]
1 Amount obligated prior to this amendment $465000 2 A~unt obligated by this amendment -0-3 Total obligated amount (1amp2) $465000
----------------_- - ------- ----_- ------ 10 Thh lImcndmcnt is entered inlo punuant to the authority of the Foreign
~ Assistance Act of 1961 86 amended Except a~ h~reln Z II provided all terms and condi tions nf the grant referenced in Block 3 remain ~~aunchlinged and In fu1l force and effNt cnltUI cJ)za 11 o 4 J bull
Et~ ai~a gtUoItshyc Z P=u
original and six Grantee t requi red to sign this document and return 1- eopies to 1Bufng
office
~ 12 GRANTEE TES OF AMERI CA
(Name typed or printed) bull
TJlle Director Comparative Legislative liecearell CeQtoQl
Date 12880
------------------------------------
ONAL DEVELOPMENT
By ----~--~~~~---------------------
prinled)
Grant Officer Title --------------------------------
J)oll( 12-2-80 -----------------------------
BEST AVAILBLE DOCUMENT i je
FROPO~AL FeR SUIORT IiiliZR TI~
INSTITlJTIOXAIJ C1PlfTS POGRAlmiddotl
Neue of Applica1t state University of Iowa
Date of Application 1ay 25 1971
~itle Comparativ~ Legislative Studies
D~ration 5 years from date or grrurt
futlOtllt of the Grant $2t5COO
SUJ1VARY
The UriversHy cf ICmiddotia propcses middotlit~ stpport f~om the Agency for Inten2aticlal Dcmiddot-eloprent -io enlw_nce its ccpacity in t1C field of COlpCilative lieislative studies lIith ia area emphasis on Africa a1Co Aja Tb~ Ulversity of IC1-a ltiill lse gr~nt fu1ds to carry out s tu-iies of l-gslatures in celatim to political ei sccial developrrr2t develop 91 archive of data on legislative liEtedals exp_1d a1d iiprcve cu-ricula in this field of study and ting tmiddot) tne Uni-ersity guest professo-s uld scholals frol LDCs ~lti ot18r US intituticns to enlch the prcgral at IOwa Tbe University of IOia has sprcial cCtetence in social science res~arch met~odologr cOipaatiye stui~1 of legislative behavior and tee dev~lop~ent of ~ultifactored data sets Building u~cn this ccmpetence the Unverity of ICa will use gr2Ilt funds to develop comparable neas~res of cross-countr3 ~~d historical data on legislative develo~~ent initiat~ stUdies of traditional factors a~d salience o~ legislative instituticns and expand and i~ro~e upon naterial for teaching at IOia through estab1isling collaborative research arrangements with relevant scholars in the US and overseas
_lis propoal is one of three closely coordinated gra1lt proposals frcm the University of Icmiddot3 Duke Uniie-sity and the UniYcrsity of Ha~ii The University of Iowa iill participate as a member of an Inter-Universitf Advisor Co45rittee which -Till plan s~~osia pro~ote publicatic~ of resea~ch results avoid duplication of effort arronz the three gr~~t~e instit~tions and facilitate exchang~ o~ students and faculty Tit) fo-eign msti tution hen desirable
BEST AVAlLAB~E DOCUMENT
~9
-
II
of a special cot~~e il -~Ze subdiscilin~ of ccparative legislative
stl~esOlcig 1- 2s emiddottensiVe Cc~a arhives These stucies hill
lock a ~te crei-re 3G~i~1 ad eccror5c bac~6rt)Q1d cf legislators
perrcrra1ce 1 this -gac f1Q their clltthr~ place middot ithin the goverl-
Itental ltL~middotmiddot~)O v_LA __ alli Africa ~middotot~ld ce the nioerJ geogilpbic areas
of fcc2s ~~lt -C~ ellsi-ely Disciplinary phass middot-iould bmiddot in
ftlnction
rC-e ri~~sit dill ccrcertrate cn legislative influence 1 relation
to s~ecific c~-middotc lc=s~ ~ ~ ~oclens as Eel elt2ple umiddotC 9L1izltion population
Its geographic focus
plic~i s~ciolog Ct~olics
BEST AVAILABLE DOCUMENT
- 3 -
Te iiersity of aiiaii xill build upon its edsting geoganic
focus on Asia and integate a progra of legislative studies middotdthb its
cc~~t~J ard area s~eci~lizaticn prcgra~s Korea Indonesia ~d Thail~~d
are prcnir~ent aleas in Ea- -aii r S gtrcgt1 alcng ~ith cc-palative ~ ork i~
the Pacific Islads Studi-=s by Halaii ~-ill for exaple compare the
legislative roles in econosicelly slcce~sful cO-L1tries iiitb thei roles
in countries ilitb lesser econcmic gro~-rth It ~middotrill conversely compare
economic i~~ications of cotntdes cr elatively strog wit those of
celatiyely veak legislative systems Emaiis approach would be
intercisciplinary to includ~ political science and bistory plus a streng
III middotnior ~noes ale Activities
1is ga1t is to aCieve t~o pucpcses 1) the en11aLcenert at the
Univesity of Io- middota cf institu~ional capacities for ~~i1ls releya~t to
t~e couparaiive study of legislative orga1izaticn ftnction ald
de~ent as these relate to tle process of ~ocietel moden7ationshy
ceyelop-e~ ad 2) the gele~ation and collation of a bcdy of priJciples
that ca be utilized cy AIu in poliCJ decisions that relate to
re~uests for tec~middotal SlppOt of letislstive institutions in fadlitating
developler~t These biO puposes ca] be s8z-ved ily pursuing the fclloflirg
specific activities
l Training d0mestic 8ld for-eign students in the design and
eXecuticn ot syztcr3tic re6=ar(O en ~he v8--ying Tole that legislatures
pJa~r in the roc~ss of ~detuiaticn-ieve] 0plcn The results cf their
021
BEST AVAJLABLE DOCUMENT 1 lr
- 4 -
2 Incr~asilg the e-istirg skills e1d redirecting the interests
of dc~estic ~i foreign sc~olars to the comparative leg~slative field
rne Univer3i ty 0 I01[ generally ~rill be erric~ed by t1e presel1ce of
these scholars a1d its ccr~arative leBislative prcgraIl in particular
~middotTill be ennalced by the nemiddott kl1o~ledge that is generated
3 Cooperating id th a11Q other-ilisc facili teting the ork of scbolars
of less developed cOll1tries in rultidisciplinary ark at the Univeisit~r
of Imla en the rcle 0 legislatures in the charlcter of regire legitimacy
as -ell as on re developCent cf a cetralized data bmli at Io a asse~blilg
raterials on legislatures a1d develoent tre logic behind the bank
a1d tile techniques related to its use
4 Diffu~ing relevant ~et~odological ~1d ccrc~ptual teals in less
deelo~ed cOlUltries through the loove enrichent and redirection of
indiviQual~ and t~e ~evelcp~ent of the data b~k) thereby =ultiplying
bott ihe qumity cud quali-vY of the researcl~ frcm which existing
curricula at Io~middotw can be expanded and re curricJla dtveloped
5 Increasing the size of tJe imrld~ide pool of professional ad
expert consujtants ~lalable r-ot only to IO~il Du-e 81Q Hawaii to dra-t
en but also to AID in the pursuit of sev~ral aspects of its
6 Creating nullgli th~ p~ogral at the Univers~ty of IOa the
substance of a stbJisciplire and in cooperation odth similar prograos
at other ~imiddotelsities 811 organizatic1al Gtlucttltre ~nt ca ~vbilize
continuine i1t~-rtiorr1 intrest i1 a11d sapmt fron orgaiations
interested il deveJopr-ent
BEST AVAILABLE DOCUMENT
1(1 1
- 5 -
itl Suppor- f~ctl this Grat tre University of lei-Ilt ~dll cO1centrate
e1 fclts in this prcge~ en legislative behavier variables tat telp
e91aL ~hee specific 3sten cha~a~teristics 1) the scpe of olitics
2) e style IJf goverQent ~tnd 3) the legitirlacy of the regine For
tis l)1lpcse te gtrcglam -rill ex~e releva1t coparative factors il
a lage nlt=~er O~~ African and Asian legislative institttions The
Univcsity of lO~middotIa ~lill also uldertslte the study of these legislatures
at -a~iClS cLts in tire This ~lould gtequie the use of time series
cat t1G historical SClrces not cctl9arable to contempOral7f sou=-ces of
Fe each of te legislatures included for study Ima -iill seek to
a1al~ze suc] cbractelistics of t~e legislative systen as 1) the
atricutes cf ecers--te process of their recruitment their so~inl
~c cccupalonal backgro-lI1ds their politically relevant srills their
role c~ie1lttio1s inclcirg ht~ir concept of represeILtation and the
pe~pound~ge 1~r5th 0- tente in tbe Ipgislat~re 2) t~1e distribution of
the f0~al 211 inforl rales of 2ocedure the leadersnip groups the
cr-osi tio1 and role 01 legisl3tire staffs a1d the kinds and freqlelClJ
of legisative sessic~s 3) the ~utputs of the instituticn--the agenda
of issues tre modes c- cotenticn el1d the qU11titr and kinds Jf
decisions
)middotemiddoter llllike studies of ~hese fctors in the past Imla is
BEST AVAILfBLE DOCUMENT
- 6 -
The for~Ietic1 0 tneol-y lO this coarative 8seerch of
Tiiill ~erdt equivalent cmiddotoss-sy-ste~ ~easuelents are 8O1g te r6st
irpctant aSgects of tle prcject It r2y be one of the ~c-st valuable
esllts of Io~a I s efforts ad ~dil reCuire close collGbor-tion arong
t~e pa~ticipents bull
p_ Cc=-arative Legislative Research Archive
lltOle a subsb Tltial aolIlt of legislatie data has been collected
in a1j- different cOL1tri8s very little of this iateriul is cOJarativE
1middot-s of it has teen collected by individual reseachers on e single
CQl~ty Cc~adson in legislative research is thus difficult because
=2 01 r3j cClalties are ot available at a sirgle location in s sLgle
is a clear ~eed for the ce~t~alizGd acq~sition ~ or ~ne
available data to per t the forulaticn and compGrative testlg of
~eorics aoc~t le8islativ~ behavior As a major part of this program
te Uive3ity of 1mmiddote 9poundlS to establish a data arch-e to begir to
big te existing legislative sttiies tcgetber at a sirgle location end
to ~-ke ~i~er ~ccessible +0 the grm-ing 1unoer of irterested scbolals in
Once J~1ese data have O~en brOght tcgether tney will contribute to
-~ pogram t IO~middotia in -I~middotiO -poimiddottant ~middoteys First the dats -Till be
utEized in traLig graduate stud2nts T1e rea13lysis of d~ta to test
BEST AVAIL~BLE DOCUMENT ( 1 t
- 7 -
faculty at the University of Imllt1 and from omiddotrerseJs tlitbout slch an
acbival base those dtdies Ylould be ver lil1ited in the hypotheses
ter could test The quali ty of this re search eqerience fill be
(o1siderably enha1ced by the aVJilability or data for co~arison dth
t~e data generated thlcugh the ccllaGorative research sponsored by the
traini~g progca~
Once gathered a~d refo~tted the data ~~ll be ~ade available to
sc~olars students al1d other interested persons outside of tre University
of Io ra P(r exa-nple appropriate data sets would be available to other
llsti utions tat pre ccoperating in t~is program ie Ha-waii Clla De
~ese could tten be used in curriculul developent at tbose schools as
middotell as Ll the pre-grar at the UJiversity of Imre Finally data could be
aie available to i1di-idlal sc~olars and institutions overseas for use
1 teir research a~d trailing progrems The cUIlulatiie effect of this
disse~lilation and staring of data ~i11 be an enrichme~t of research an
Llcreased flO-I of ne data to the Uriversity of Iewa I3Jld a greatly
ena1ced ability at Iowa to aalyze legislative behavior a--d defelopnent
f 1ssociates
The University of Iowa d31 involve as Associates individual US
arc ~ereign Rcolars fro~l other instibticns in some instances fOl
cc-ivities at Iovll in others as recipents of support Oi research and
oter aciivities middothich coqlement cnd emic1 the program at o a These
Associa-es rill be involved in such activities as ser-lfing es University
of IOim g-uest professors 5~St lecturers 1d visiting faculty
lticipel1~s L ccnfiences and s~riosia and as collatJoratiEg 2search
BEST AVAILABLE DOCUMENT
- 8 -
cevelcged c~lt-ies Smiddot~yemiddotl such projects core already uoer ~middotay
and 3y potetial ss~cetes ~ave been identified and thei ilterest~
211 gtarticipeting i1 t~e ~Cglar1 ascertained
He -resc1t ge~sc-~el a1d acilities of the University of Iomiddotro
plcvice a very st-cre basis for the research atJd training programs
~rnich ~middote a~ ~rc9~3L1g -fmever the further development cf legislative
suCie3 ali a pec~ent streugthenLlg of ~he progrun of Iomiddot ~ is a major
a oes3icral Demiddotmiddotelc~ Galt fur~ds will be uSed by the
LT~iersit2 c la= ~ icreasing te nUbe of faculty specialists in
cClJses ir sjcts elated to the subject atter Specificallr grant
fuimiddotis dll ce usee to ac3 one pernanent faculty Uemoer in roliGical
scienc~ ~middotit s~ecia iltcests b legislaive beh3vior ald political
dloYl-nt a-o 81 a29 cmiddot-petence in Ardcan pclitics and to bring
(lculy -emiddote-s fro less ceveloed countries to spend a peri cd of time
at the TJ1 i si ty o~ Io~middot adine sechtl expertise to the ~od~ at Iowa
other middotisosel -~ i_ le irol1ght to IC~ia as needed to support those nO~T
or --18 fc~~ti r~lt 7ds ~rill also be ilsed to finance data collection
exlts-s ~) t~-e res~imiddotch iork of tte acult the Associate scholars
BEST AVAILABLE DOCUMENT
1~ II
- 9 -
cesigned tgt trrtin US and foreign-born st1lcents in le6islati-~e rese=z-cndeg
Sttde1fs ~dll be tdTi tted cr11ally to 9 proeragt iihicn ~iould irclude a
tro~ot~h grounding in the r thods of cczparative aralysis the S1ostance
of conparatie politis g-mel31ly end the corrparative studJP of
legislative behavior in 9articulal The Uni-ersity intends to associate
tnese studelts directlr - rith research in Ttlhich faultr 2Cbers are
engaged to encourage thea to dra- U90n the skills end resources available
in this field il ra1Y departnents of the University to enable them to
spend up to one year in field research and to have thel4 snare their
findings middotrih their stmiddottidei~t and faculty colleagues Tle prograII will also
involve foreign scholars middotno are expert in the legislative process of
t3ir o- n countries in the tcaciing fgtimiddotogren both by holding -fisHing
a=point~elts at t-e University of Ioc1d by sUgervisi~g field research
c R d - t- ~ 1 rec C~ of Esta~lis~ed Scholars Tne University of Io~~
plals to extend a1 in-itaticn to seieal foreign scholars duri1g te
gle1t p2riod to patici~te in a coparative legislative researc~ seirar
duriig their visit Their plrticipat~ion middotrill edd 3 lL1iqte diiensicn to
the seiiral hceuse cf theh ~1o~-rlecge of the legislature in their own
C01-try BCmiddot2~ J1is Gemilr -ill be dealing -lith the nos-G current
reseaCIJ o~ l0~ ~ltmiddotJres as ell as discussine desigs for reseach to
fill in cowleuge of legis1timiddotre 1ehclicr -re believe
tret it ill be a l2~lilg experience for all the pclticira1ts--incltcing
BEST AVAILABLE DOCUMENT 1]7
- 10 -
Ima rill lOrk collcboratively ~ith the fOrsig1 5cbolars to design a1d
carry out P reseach pruject These projects Till cc~tribute to the
retlaininB of foreign scholars and nill also add to cur mmiddotm and8rstanding
d Research The 9rinciplI enphases in cesenrcl rere cutlined in
Section III above ie to focus en con-9arative studies in iihich
legislative cehaviol can be helpful in explaining the scope of politics
the style of governcent a1d the legitinacl of regiles Variables hich
will be studied Iost closel~r ircluue tbe persistence of institutional
norms in the legislature oyer time the relationship o~ the legislatue
to ether institutions in fornirg public CC1Cepticns of politics and
the histOl~ical context detelini1g public expectations of the 12risleture
This resea~ch nag both academic and practical objectives
Academically it promises to tie legislative behavior research to other
major concerns L1 pcliti~al science such as research on systeJ stability
and paricrJance Its general substaltive eojective is to assess the role
wtlichlegislatures Illay L1 determining the capability of political
s~lstems especially their ability to deal ~middotith soCial change
Vractically the stu1y ~y offer guidance to polic~Y-Dakers on
t~1e role ~ hich legislatures rray be ~lI-pected to pIa)- in neimiddotrly established
political systelt ald on ~hc efcrrrs in established legislatur~s -Thicn
rray be required to achieve specific syste~ effe~ts The study ~dll
Nquire the assccioticn of rembers of legislative staffs a1d 2cademic
colleagues in the s~eLal nations lmder nvestigRotiop plovidirg training
fot ~ll r)f them i1 leeis1ntive re3Clrch ~ri facilitating a valuble
BEST AVAI~BLE DOCUMENT
ll-
of Iml3 ~ill LS~ glmiddot~t f~ds t~ estaolish a data archive to begin to
bring tb~ edtirg legi31ati--re studies tog3tller at a single locaticn
end to =afe t~e ac~essible to tie grc~ring m~er of interested
scholars in t~i3 field PerSCIlllel of tbe Data Archive ~rill searcD
broadly fo all a-reilable data on legislatures in the possession of
ildiviiual researc~rs i11ese data sets ~-Till be acquired refo~atted
for ease in alelrsis a1d stored in Archive Tne Archive ~~ll
asserble tie etel~ Gata O legislative organization ald procedure the
socialization ~~ recruite~t of lzgislators legislative decision-
makLg pccesses 2d legislative outputs To facilitate access to
the data a ~middote-riemiddotrlt11 syste middoti111 be cesigned that will 2011001 r-=searchers
to find ~iccJ ata sets that c~mt2in inforration lelefalt to their
researc1 po)2e5 RibEcg-aphic citation3 cnd abstracts of research
reports on le~i51e-imiddote oebio ~~ill be gathered and a biblicgraphic
retrieval sys tC idll a Geielc9d to aid esealcJers
cooioinet-e1 ~~as n -ie are= of c~rarativa legislatile studies is
t~3t because 0 si~~e iJS in~ti tuticn ias tce necessarJ expertise
of ccrparati ve
1-=gislatiY2 tcie3 8forts of the most conrpeteat ace interested
BEST AVAIL~BLE DOCUMENT MCi I I yl
12 -
oz~ the tr)middote grantee institutions and otter associated scholars It
~ill ayise t~e pa1tee i1stituticns on SllC catte-s as roritorirg
activities at the t~re~ unive~sities~ evalu~ting rese~rch frr possible
=middotclication sJ--sidies rld ether ratters related to infor~atioTI
disse~~ation coordinating research efforts to avoid duplication
ecilitating excha1ges d sttde~ts ad faculty members ~-iitb foreign
nsti tutions i~en desirable tryi1g to till lacunae in cLIricu lUn
helJilg to arralge cmferelces and sy-posia and generally trJing to
9cote te ~eielcp~2nt of cOlparatile legislative stucies as a
Gra1t L~HS idll be ~sed to support the Univ2rsity of Io -a IS
nrticipation in tre AdisorJ Co-i ttee t1e developrrErt of conferenc=s
elsEfhere il the US arHl over3eas i1 relat2d facets of leeislaive sttdies
Edstng iersonJ~l al~d fa-ilities at the University o= 1oa previde
iaculty facliiies to aid rC3emc~ trailg aPd skill in 21c~ivaJ middotork
BES~ AVAIL4BLE DOCUMENT I
r ~-)
- 13 -
Six ITe-bers of t1e faculty of the Departent of Political Science
at the Unhe ity of Im-ia are presently engaged in legislative research
To merbers ot the Departllent of History are engaged in research on the
British Parlia~ent L~ the eighteenth ~~d nineteenth centuries Fer the
past six years an adv~~ced se~inar has been offered by ~embers of the
Department of Political Science and the Department of Histo~J on
comparative legislative behavior This exte1sive collaboration iiill
ma~e it possible to develop a fully inter-disciplinary program for the
students ~~d visiting faculty In addition faculty ~emcers in
Scciology interested in organizatien theory and in the College of Law
interested in legislctive processes provide furtber e-pertise ava_ilable
to students interested in tee study of legislative behavior The
presence of these specialists on th~ facult~r is reflected in the
excensive librarJ al1d otler data resources existing at Iowa in this
field
The Uniersity of Ima offers an unusually extensive program of
trainL~g in research methods Four ~e~bers of t~e Department of Politi~al
~cie1ce teach in the field of research nethods Courses jn statistics
ca1 be taken ill the Dep~rtents 01 Sociology e-d Educational Psycholcgy
Llis prcgr6l provides a verJ solid grounding il research training and
data analysis
bEST AVAILABLE DOCUMENT
e ~
- 14 -
Y labCrato~y for olitical Pesearch is the reseacc1 md research
tlairirg facility of the Departe1t of Political Sci-lce Gcadvate
students receivo extensive res~arch experience through 1or~ing in the
La oratory bull The Lacoratoy is also a1 integral part of the trainirg
o~feed in ccurs~ T~middotO~ for graduate students
The full-time sta~f of the laboratory includes a director an
assistant director a t-=cl1ical cirector a supervisor of study
t1hteen graduat~ students - rf1rk in te Laboratoy receivLLg teining i~1
~a~a collecticn ~~i data e~alysis Tbe facili te5 of the La)oratorltJ
icluoe a oard eJcerline printer ccnnected to the U1iversitys
dis~ and tape storF-ze for d~ta
The pogral of trailing ia coparative legislative reseC_cch ~ill
relr heavily en t LaOerltcLJ- for taching graduate stucents Visi tine
fc111tr lYe~bes iill be able to utilize tbe facilities cf the Laboratory
gt IOra ~as sFcial ccrpetence in prOCed~les for
ccq ter ogagtlizetion of d~ta Ja1ks ~d fOi the p~ocGssing of large data
sets as well as iJ the sttdy of naticnsl end st~te legisltllres Tile
BEST AVAILABLE DOCUMENT
- 15 -
Ile Univelsity of 10Ira will eadnister- the Grant thJotg~ its normal
a)1 iristrative char-l1els ad i1 Eccordance imiddotlith its ncrTal olicies and
operatirg procedures 7he Director of the gr~l1t-s~~ported program
Hill be a senior faculty eriOer of the Gniyecsity of IO~-ia -with extensive
expe~ie~ce in the subject field Associate Directors w~tb similar
qtalifications -aill also be appointed 7he Director- and Associate
Directors ~dll serve as eibers of t~e Inter-University Advisory CC1gtr)ttee
established to cooidinate _u bullbull ID gra1t-stpported programs at IOia Dul(e
lniversity a1d the University of Ha- aii Ll1 this field These relatiol-
ships are i~dicated in tee follc~dng a~inistrative organization chart
IX Ul~vsity Ccntri1uticn
T1~ ~h-ersity of IQ(a aSSures ALD that this Grant middotiill not
replace existing ftnds for STr current activity and imiddotrill be additive
to existing prograrrs of tCe lJniversity In direct sp~ort of this
Grat ttc University ~ill provide a) Acmi1istratile costs including
tie of senior officers of ttlt University b) Office ~ld research space
ald library and cor-puttr facilities c) Provision of a1cillamiddotCjr 1niversity
personnel -or consultation o~ ~middotjQrk nth the progral
X Reports end 5evie~-Ts
There i-ill be sub~itt-=i al arnual t2ctnical report for the purpose
of AID s revie- of activities under te Gant Tnis idLl include
a11 e-llation of prcsr~ss aidnistratve ar_c fiar~cial corsicer~tior~s
p~s cr tr foJlJ-middotire ear ~i disctlssics of the ossible l~lizaticn
BEST AVAJLIl8E OOCI1MrNT
~
- 16 -
A~~inistrative O~ganization
Ice Board of Regents of tle State of Im-la
-Iesicent of the University I
1 rOfcst Jf t-3 University
Den College of Liberal Arts
r Chailan DcptiEt of olitical ScieJce
Inter-G~iversity
Acisorr Corcittee
PcgrG21 Director Associate Progra~ Directors
Liaison Arcrge~~nts d ~h I I~~erested Plcfessiona1 I Perso~el j
I _
I 5cu1ti (full or PmiddotLG-tire l Asscci~tes a1d otllei non-Io~il
3ecip5ents of Gr3-1t stPPC1t Gr~cue~~e S t1~lcnts St2~retQi~S1 Data Lbed~1 31
Ln 18 r1icia 1
LO1t c~lce Factcj~1 ts
BEST AVAILABLE DOCUMENT ( ( V-t
- 17 -
of te eo17i~g cCpterce br A I D rLld ethers In addi tion there
aS3essr~ents of the gr31t
middot l ~ lI ~ _ _ _ co~~~r~~ing ~~iversiti~s md tne rrctitoring ALD office
7re l~yersity of Ie~middot~ budget of $26500 is to be deveted to the
cemiddotelgt~e~ of lstituticnal cefete1Ce in comparotive legisl~tiye studies
~t Iomiddota c t~ the exalsi0 ot a date b~L-lt ~ hich 1fill be utilized as
a ecle for icrec3ing te scope of tbe sub-specialty
T - 1 f 1 __ middotja r S Ctdget a9roxir~tly 33- has bee allocated to a
cemiddote Lp~l t rirc ipally C actlty re leased tirre for data ccllection
ai 0 3alres f~r i~~er-ieers in field research 3d secretarial
assi5ta1ce nCt2 11- of t~e Icmiddotre oudge~ is iesignated for an
ArCE_1 A~ite s(101a~middot 2d one 0 ore scnolals froQ LDe or
s1lllrt of greluate stucents in the
BEST AVAfLIlBLE DOCUMENT
- 18 -
Finally approximately 19 of the budget will be devoted to the
proposed data bruL~ that will archive not only data generated from the
research of scholars at Iowa Duke and Hawaii but also at other US
and foreign institutions Primary and 3econdary an~ses of these
data will become an integral part of ~omparative legislative studies
curricula The ability to utilize the data bank for teaching purposes
also should have a significant impact on professional preparation ofmiddot
future legislative specialists In summary the funds will be
allocated to research teaching and training activities tha~ are
entirely conson~~t with the philosophy underlying the utilization of
2ll(d) grants to achieve institutional development
Conclusion
The University of Iowa regards the research and teacbing components
of this program to be closely related an1 zrutually reinforcing The
University of Iowa offers a strong base for the pro~ram because of the
interests of faculty members here now because of their contacts with
scholars in this field in other Americ~~ and foreign universities
because of their experience with the international exchange of faculty
and because of the distinctive data gathering and processing facilities
available in our Laborator~- for Political Research The program which
we have formulated is designed not only to accomplish specific
research and teaching objectives but to contribute to the long-term
development of the University of Iowa in an area in which it has already
exhibited special interest
BEST AVAILABLE DOCUMENT
~ I) - 0
- 19 -
The program on Comparative Legislative Studies with support from
this Grant rill develop the capacity at the University of Iowa to
provide assistance under separate financing arrangements to developing
countries in a number of ways and through a varieiy of channels This
assistance which would be arranged for end negotiated separate~ from
this Grant may be in the form of technical assistance advisory service
training research and information exchange etc It will be available
by mutual agreement to appropriate agencies national and international
public private a~d mixed and directly to the less developed countries
Most especially this added special competence will inevitably become
incorporated through the processes of scholarship and education into
the competence of US and foreign scholars and institutions concerned
with this topic of great significance to the developing and the more
highly developed countries alike
BUDGET SUMMARY
UNIVERSITY OF IOWA
Salaries
Graduate Student Stipends
Fringe Benefits
Travel
Equipment and Services
Other
TOTAL
$173090
32400
19209
13800
6501
20000
$265000
BEST AVAILABLE DOCUMENT
d bull
srjmiddot (~~ jjXilO
IO
rmiddotmiddot ~middotmiddotrl f)~~ 7 middot 1 ~A~~ middot1 rmiddot middot~ rt bull middot bull bullbull I ~ i bull bull ~ middotv- middot bullbull ~ I
1 so bullbullbull l ~--~-- - - ---- ~ V~ i Jlgt ) bullbullbull ~(lr v ~I ( tr_ 1middot-middot 1 bullbull 1
il l~ J
2 c~loto
BEST AVAILABLE DOCUMENT
(C
Dr Willa~d l Boyd Presicient University of Ima iowa City Iowa 52242
Dear Dr Boyd
4 AUG 1977
amp
FIJNDS AVAnASLe CpoundNrftAamp sEIMCEs DMsON
AUG11 ~n te t6417 ~77
Subject bull Supplsectferit-tJF-G~middotNomiddot~middot AIOcsd-3294
t middot-rrPJ1 3
I am pleased to inform you that pursuant to th~ auth~rity contained in
S-cction 211 (d) ooC the Foreign Assistance Act of 1961 as amended a sup
plemental grant in the amount of $200000 is h~reby r~de to University
of rCi1a These supplement]l grant funds areprolided to support the
activities which are described in your Proposal dated May 6 1977 for
the implementation of your program entitled Political Conditions for i
Effective Small-Scale Rural Assistant Projects
---This sup~lemental grant is mace to University of Iowa en condition that
yo~r institution shall administer the funas provided under this Grant fn
accordance lith your r~ay 6 197 proposal (including Budget SUmlilary) and
the Standard Provisions (as incorporated by Amendment No 1) which have
been agreed to by your instit1ltion Ti) the extent of an inconsistency
between the Proposal and the Standard Provisions and any otherprovisfons
which ar~ made a part of thi5 Giant by reference or other~iSe the Sta~d~
ard Provisions shall control
The new Duration Period for this Grant shall beAugust 11 1971 through
August 10 1979
The total amount of funds obligated under the grant is increased to reflect
a new total oblgated amount of $465000
Please sign the Statement of Assurance or Compliance ana the origfnal -
and seven (7) copies of this letter to acknowledge your understanding of
the conditions under which these funds have been granted Please return
the Statement of Assurance of Compliance and the original and six (6)
copies of this supplemental Grant to the Office of Contract Management
Attachment May 6 1977 Proposal and Budget SUfiT1a ry
UNIVERSITY OF IOWA
Roberw bull OBrien fficer
Ce al Operations Division Office of Contract Management
AC~E~E~C--_ 0 BYpoundk~~ cH
D C ~lpoundSTtR5BA T ITL E ( PfeampoidPilt for
tee ment amp Research DATE 9-22 -77 (d~ ~~Bduate Ctl~1e~e
BES i AvAILdLt UOCLJMU~ I
211(d) Grant Program
Proposal of the University of Iowa
POLITICAL CONDITIO~S FOR EFFECTIVE SMALL-SCALE
RURAL ASSISTA~CE PROJECTS
Submitt~Ci to
Civic Participation Division AID
May 6 1977
Amount requeste~ $ 199987
BEST AVAILABLE DOCUMENT
I TdE DEVEIOP~T PROBr~
P~litical Conditions for Rural Development
The Cocparative Legislative R~search Center of the University of
Iowa proposes to ~~dartake a two-year study to investigate the role of local
leaders and the rural public in theimplecentation of small-scale develop~ent
1 projects in less developed countries The study will use and extend the
capacity ~hich the University of Iowa developed under a 211(d) grant to
investigate and assess the impact of loeal politics on rural development
~t the co~pletion of the s~ Iowa will be in aposition to advise the
Agency on the design ~nd evaluation of s~ll-scale projects which will be
politically viabe a~d effective in ass~sting the rural poor ~
As students of development w~ approach our task with the assumption
that the proble~ of development and underdevelopment are funda~entally
ones of political econooy and a~ such can only be solved through a
simultaneous considerationof economic and political factors Efforts
which foc~s aloost solely on economic factors like those of ma~y
organizations engzed in dipersing foreign aid or efforts which focus
almost exclasively on political factors fail to take account of the
interdependence between these two dimensions of underdevelopment and
lwe have for~ulated this proposal in a canner consistent witr the cu~rent policies ard interests of the Agency We have been guided in our tsk by four Age~cy doc~e~ts Impleo~~tation of New Directions in Developnent Assista~c~~~ ~eport to the COmlittee on International Relations on Ilupleoenshytatiun of Legislative Refo~ in the Foreign Assistance Act of 1973 (July 1975) rItevis~d Projec Developiel Review and Approval Systeo (A I DL Circular A-21 Aril 23 1975) SH Butterfield Draft SUIilZ3ry StateUlent of a Practical Agelcy Approach c aural Devalopilelt (AATA February 28 1975) Cicci A Coce~ual Oie=viamiddot middot Rural Development No1 (lWorilting GOU O~ tha Rural Poor February 1975)
- l -
can meec with only l~ted success
Our concern with the i=pact of local politics on the process of
rural developcent is a result of our interest in the basic question of
how LDC governm~nts and the donor agencies which assist them can
become core effective in raising the standard of living of the rural
poor We seek answers to the following aspects of that basic question
1) What political conditions must exist both within rural communities
and between theo and central gove~ents to raise agricultural production
w~ere small-scale agriculture is the do~nant pattern 2) Vnat are the
political conditions for a core rapid expansion of the informal manufacturing
and service sector cocprised of labor intensive small-scale industries
located in the rural ar s 3) What political structures and activities
are mase crucial for the provision of welfare and econocic supporc services--
such as agricultural exeension mar~eting and transportation--to the rural
areas1 4) ~~at Folitical conditions oust exist to insure that economic
growth in the rural areas is not accowpanied by excessive and intolerable
inequalities between socio-economic classes andor between regions1
Center-Periphery Linkage in LDCs
To deter~ne the political conditions for rural development we have
in previo~s s~udies exacined the institutions and processes through which
rural populaticns are integrated i1to the national politi-cal systetlS of
middot~he countries in which they live A gap exis~s in most less developed
countries bet~een the peasantry residing on the periphery and the c~~tral
political ~stiutions staffe1 by ~~estern-educated bureaucratic elite
We are aware of the other major ~sti~utional discontinuities which comprise
J
4 middot~~1 the basic cleavage between the developed and underdewmiddoteloped sectors of
these dual societies Bridging these gaps is essential if these so~ieties ~ are to develop into viable nation states For until those Q~ the periphery
of the poli~ical syste~ participate in that system and support and comply
with the authority of central political institutions neither economic
development in ~he rural areas nor a stable polity will emerge
Bridging the discontinuities in these new political systems requires
establishing and institutionalizin3middot1inkages or networks for co~unication
and exchange of resources between decision-makers at the center and the
rural public on the periphery Three types of institutional linkages are
most prominent in less developed countries 1) those conSisting of the
state administration composed of the bureaucratice1ite 2) those consisting
of a revolutioncry political party cocposed of the ideological elite
3) and those conSisting of patron-client hierarchies composed of the political
entrepreneurial elite
Of these three linkages consisting of the state administration are
the cst extensive and pervasive in virtua~ly every LOC Such linkages
however exist primarily a~ instruwents of the center to penetrate the
periphery Central government officials are formally charged with bringing
develo~ent to the people This is a ~issi~n which conceives development
as a process ~hrough which a traditional peasantry is transformed and
assimilated iJro the DOdern center which is steadily expanding to embrace
it Agents of the center invariably have more resources to achieve their
objectives than do local political leaders but because they are frequently
strangers~ the communities in which they function they are often unable
- It -
co implement the policies of the center without working through the
local establis~ent
Though somctices significant linkages consist~g of revolutionary
party organizati~ns such as those found in China and Vietnam do not exist -
in most IDCs beca1Se of the special historical and e~omic conditions
required for their development As wi~h the administrative state however
the linkaampe apparatus of such political patties is prUlarily an instrument
of the center whose mission is to penetrate and mobilize those onthe
periphery
In contrast patron-client hierarchies are linkages which represent
the periphery at the center and mediate betwee~ these two disparate
sectors of the political systec Thcugh norcallymiddotovershadowed in scale
by the state administration patron-client hierarchies are found in almost
~very LDC a~d constitute the ~st significant network through which rural i
populations and their leaders influence the decision-~king process at
the center Patron-client hierarchies exist in a wide variety of org~iza-
tional fores ranging from info~ ~ec~~rks of individual olitical leaders
in uno-partyll systelS in S~b-SaharaI4 Africa to extensive political machines
in both one-p~rty (Africa Mexico) and ~u1ti-party systems (Turkey India)
Despite their importance as the pricary means through which peasants in
LDCs particiate in their political systems patron-client hi~rarchies
have only recently become an object of analysis by students of political
developent and do not appear in even the most sophisticated studies of
2 See Jo~ Dunca owell Peasant Socie~y and Clientelist Politics Aerican Politi~ Scielce Revietol 64 (June 1970) pp 411-25 Rene Lemarchand anc_ Keith Legg olitical ClienteliSJ and Ethnicity in Tropical Africa Aierican Political Sc~ecce ReView 66 (Y~rch 1972) pp 68-90 James C Scott PatronshyClient Politics a~d Political Change II 1tlerican Political Science Revie~ 66 (~arch 1972) p 91-113 and Friends Followers and Factiols bull edited by Steffan Sc~~d and James C Scott (Berkeley UniverSity of California Press 1977) bull
- 5 -
3 economic development Ad~niscrators of developmental assistance progracs
have too often regarded patron-clienc hierarchies as ~ped~ents to
develop~ent instead of recognizing cheir potential utility bull
~ Findings on Patron-Client Hierar~hies --
The importance of pat~on-clienc hierarchies for linking the periphery
to the center is one of the major findings ~erging from a study of the
relationships betueen l~gislators an~ their constituents in Kenya Korea
and Turkey ~hich the Cowparative Legislative Research Centpr is nov
comleting uader its 21l(d) grant from AID This study has av~mined the
creation of linkages between the periphery and the center through ~ore
than lO~OOO interviews with members of parl~ent local leaders and
peasants in t~e three countries The findings are being systewatically
set out in a book-length monograph Nearly a dozen research reports have -
uready appeared (see Appendix C) ipropositions about the nature of
political behavior of rural populations an~ the roles of local political
elites de=ived from the research~ can be s~rized as follows
1 Elected representa~ives play a significant role in the creation and mainte~ance of linkages be~een the center and periphery by developing local political achines in which they function as patrons of their constituents In turn thay s~rve as clients of political leaders of national stature who control central government institutions
2 By atte~pting to establish linkages based on patron-client relatio~shi~s elect~d representatives are responding to public expectations chat their prizary duy is to obtain resources from the center to proffiote local develop~ent ~iany elected repLesentatives spend most of their time on self-help co==unity development projects such 3S the building of schools health clinics irrigation works arid roads because such projects provide
3For exa~le ~ a widely respec~ed a~d useful analysis of rural deve16p~ent in Sub-Sahara~ Africa L~ Lele of the World Bank notes the problems of creating an adoini5~raive infrastructure in the rural areas that is sensitive to local socio-oliical conditions She does not however consider how local leaders operating o~tside of adcinistrative structures ~ night contribute to the developne~t 0 the rural areas See ~~ Lele ~ Design ~ Rural Develop~ent Lessons ~ Africa (Balt~re The Johns HopkiD~ Uciversity Press 1975) r) pp 127-61 i ~
- 6 -
their const~tuents with desired se~ices ~~d a= the sa~e time provide the reresentatives with an orgacization Yhicn can be used as a political base
3 l-tore than 90 perCel1t of the rural population is capable of articulating the p~oblems facing their local co~~ity and two-thirds discuss th~e proble~ w~th their fellow citizens on a regular basis
4 Three-q~rters of the residents of the rural areas can identify the public ofpoundici~s who serve thec--both civil servants and elected represcrtatives--by na~e Most are knowledgeable about the activities of these officials Alcost one-fifth coreover have discussed co~~~ity probl~ ~ith these officials particularly those working at the grassshyroots level Residents of rural villages actually have a higher level of political knowledge than their counterparts in the towns
5 Elections in the rural areas evoke a highly rational attern of voti~g despite the effects of ascriptive or traditional co~siderations Inc~ens are pri~rily evaluated in terms of their record in fulfilling the public r S elpectations of what they should do Elections are essentially referenda on inc~entsr perfo~ce especially their perforwance in the area of constituency servi~es such as bringing development projects to the districts bull
6 Local developcent projects have a relatively high s~olic value generating conscitutency support for local leaders and the central government at low cost
7 These projects help huild a local political infra-structure which can also be utilizec by central govern~nt civil servants to implement other policies designed to achieve rural develop~ent bull
The Icpac~ of Local Politics on Rural Projects
Having explored the developtent of linkages through which the periphery
is represented at che ~enter and through which the periphe~ attemp~s to
share in the ceners resources we now propose to build upon our initial
investigations by e~ing in greater detail the impact of local political
conditions on specific problecs of rural develop~ent We propose to
exacine the develop~ental activities of local leaders ~nd the rural public
by eX2~Ding a saple ot fifteen to twenty smalL~scale developwent projects
in each of ~he three countries which constituted the sites for our initial
8ESI AVAILABLE DOCUMENT 1 ~ - of
- 7 -
study of center-perhiphary relations The appropriateaess of this approach
and the ~ethodology through which it will be ip~emented is discussed in
section II Because the ~ethodology of investigation is in large part
the result of our previous research experience we fizst turn to a revieW
of the existinQ __ ~petence of the Comparative Legislative Research Center
in this area
II GRAXTEES EXISTIXG CmET~CE
In 1971 the University of Iowa received a 211(d) grant to develop
its capacity to do research on the role of elected represent~tives in
the process of modernization On the b~sis of this grant the University
established a research center which planned and carried out a research
project on the role of elected reres~~tatives as links between the central
gove~ent and rural populations in K~ya Korea and Turkey The project -i
served to develop t~e University of Iowas research capability in this
field esa~lished ties between the University and scholars in the bost
countries and generated a large and uniqu~ body of relevant data
In that project we fo~ussed our attention on tbe activities of elected
representatives in their constituencies notably in their contacts with
local political leaders voters and civil servants To determine tbe
nature of the linkage function performed by tbe representatives we
designed our research to explore the subject from three perspectives
1) we eXaojned ~~a ~ubject at tbe grass roots by conducting a series of
sample surveys of 200 to 300 adults in each of 12 to 14 parliamentary
constituencies in each cf th~6three countries 2) we examined the subject
at the center by intervie -ing MIls from the constituencies in which we
had conducted S3mple surveys ~nd higher civil servants with whom they
had contact and 3) ~e ex~~ined the subject from an inter-~diate level
by identifying aud ~terviewing local social and political leaders in
the MPs constituencies We used survey research methods because we
were embarking on the study of an entir~ly new subject for which little
relevant docu=e~tary data existed and on which there were few secondary
sources As a result ~e have unparalleled experience with survey
research in the rural areas of less develo~ed countries
The surveys which constituted the cajor part of our field work were
planned in collaboration ~~th scholars from the host countries They were
carried out in each constituency by student interviewers in the appropriate
language ~re than 10000 respo~dents were inteDViewed for the project
Given the visibility and sensitivity of this undertaking approval for
the research was sought and obtained from the host governments prior to -i
the collec~ion of data ~o objections were raised by these governments
at any stage of the research The data obtained have been made available
to scholars i~ the host co~cries and some of the basic findings have
been published in periodicdis in these countries
The Comarative Legislative Research Center ~hich ad~nistered the
project has aisO developed extensive experience in the study of political
leadership in other countries It h3s obta~ed substantial support from
the Fo~d Foundacion and the Rockeeller Foundation has worked in
collaboration ~~h European as ~ell as Asian and African scholars and
is engaged in a ajor study of the role of elected and non-elected leaders
in the oanag~~t o~~ocial conflict Because it has conGucted research
in a variey of setlngs the Center has an ~ceptional capacity to
- 9 -
determine how the relationships be~een political institutions and
economic p=oble75 differ in develoPed and less developed countries
In the course of the major research projects the Center has administered
it has gained highly specializpd ~p-i ce iI identifying 1Olitical leaders
in a great variety of settings conducting systematic interviews with
them collaborating with scholars in the host countries and in coding
and utilizing large files of data to answer specific research questions
The Center has ~lso undertaken to publish the results of its research
in three fores It issues codebooks to the data enabling scholrrs at
other locations to use the data expeditiously i~ publishes research reports - in the form of Occasional Papers and it publishes a scholarly periodical
devoted to the presentation of research findi~gs to an inteIT~tional
audience
The Center utilizes the data ~ysis facilities of the Laboratory
for Political Research of the University of Iowa and drawS on the unusual
n~er of secialists in comparamptive politics and survey research in
~~e Lniversitys Departmen of Political S~ience The Center itself I
has the services of an administrative secretary and a clerk-typist
~intains its~o~cn extensive archives and its o~~ publications program
It is e~uipped to assist scholars and government officials outside the
t~iversity of Io~a The participants in its p~ojects are full-tioe
faculty ~e=bers ~hose undergraduate and graduate teaching is closely
related to their research As part of the teaching program the Center
has attracted students from the countries in which the research projects
have been conducted these students have participated in the projects
bull J
have obtained training in other fields of political science have received
University of Iowa degrees~ and have ret~rned to teach and to do research
in their own countries
III PURPOSE OBJECTIVES AID METHODS
Purpose of Study
The purpose of the proposed grant is to extend the capacity of the
University of Iowa to determine the political conditions in the rural
areas of less developed countries which favor the establis~ent and growth
of small-scale developoent projects ~e objective is to put the University
of Iowa in a position to assist the Agency in designing small-scale rural
developent projects providing guidelines for carrying out social soundness
analyses of such projects and adviSing in the evaluation of projects
We will discuss the utilization of~t~e Universitys capacity in detail in
section IV below
We propose to concentrate our investigations on the political conditions
surrounding s~l-scale ru~al projects Such projects have distinctive
advantages They waximize the political participation of the rural populations
both in det~~-ining the direction ~d implementation of develop~ent efforts
and in defending the interests of periphery vis-~-vis the urban-based
bureaucratic elite S~ll-scale projects stimulate entrereneurial activity
on the part of the rural citizens and growth of the info~l canufacturing
and service sector Tbey require less lead tice and less administrative
c~erhead to ~eco~e operational than large-scale capital-intensive projects
centrally administered Such projects yield rapid and direct benefits to
1
j
the rural
- 11 b - ~~1
populations and are consistentwith their hUIlaD rights--both
political and economic However~ small-s~le projects pose s~ecial probl~s for administratcrs of developceocll assistance progracs because
they require the donor co assess the local olitics particularl the
rural politics of t~e host country
Develop~c adoinistrators pr~rily conc~rned with assisting rural
populations must therefore recognize the range of political variables
affectL~g these projects Small-scale projects offer great opportuoities
for develop~ental assistance progr~ because they can be easily targeted
to help rural populacions require low capital costs and need no be
concentrated in one or two localities Such projects ho~ever~ ~equire
the a~istrator to have ~re political kno~lecge than large-scale
projects Oil which his priJlary tas~ is guiding the work of other experts
Questions for ~Investigation
To detercine the politi~al cc~diicilS ~st conducive to ~he establ~~ent
and gro~h of scalI-scale rural projects ~e propose to address our inquiry
to the following specific questions
1 To what extent and why co local political leaders seek to establish s~~l-scale develop~ent projects within their co~unities
2 To what extent and ~~y do local leaders other than politicians initiate andor provide leadership for s=all-scale developm~t projects
3 Bot do the relations bet~Jeel different types of local leaders (political and non-political) and bet~eeo these leaders and central gove~ent civil servants posted to the rural areas affect the conduct of develop=ent projects
4 How do existing authority ~eLationships between these different leadership grous and the rural pub~ic affect the organization and operation of s~l-scale develop~ent projects
- 12 -
~
5 lhlt is the nature 0 pclgtlic participation in the establishlent and operatio~ of s~l-sclle projects and ~hat are the outcc=es or this participatioe Gucer w~at conditions is such participation ~ost likely to occur
We seek a~swe=s to t~cse questio s L order to determine the effect of
different co~iigurations of local leadership and public participation on the
outcomes or small-scale rural projects te are particular1y concerned with
the ~pact of these configurations on the rate of econocic growth and the
distribution o~ rIGSlth ithin the loal cOlllUlity ~ on the perce~tions of
s~ll-scale proj~cts by central govern~ent per~oncel and the rural public
anmiddot on the organiation or flture projects
To a~swer these que~tions it is oar intention to study the initia~ioD
izJple=enation ald i1lpact of a salple cpound small-scale rural projects in
Kanya Korea and Turley in the sae cOllities in which we carried OU
our initial icvestigations ~ 1973-75 Tne relationships between the -
various conf~gurations of local leadership and public participation and
the three phases of project develop~ant are sho~ in Figure 1 We will
exa=ine projects to pro~ote the adoption of new agricultural techniques
by s~l and moderate landnolders the building of feeder roads irrigation
ditches and other s~ple infrastructure the organization of fa~ers
cooperatives and other local associations concerned with rural development
the establish=ent of rural health clinicS and schools and the setting up
of craft and service industries
Sites for Study
We plan to return to our original set of localities because we possess
a rich body of relevant data on the extent to which linkages exist between
Figure 1
TYPES OF LFLUEXCE OF C2r~ middotGOVER1iEXT OFFCIALS
LoCu LEADERS 0 THE RURAL PUBLI-C OX THRr~
PHASES OF RURAL igtEVELOPHET PROJECTS
r----------~J C~ltral Gover1~nt Official)-N------- - J
r- Local pOlitical leaders
Local non-political leaders
~l 1---- -
ROJECT nITL~TIOS
Influ~ce on selection of projects
InrI ~elce on location of projects
Influence on policy guidelines for proj eCl
Il
I
a
I I
-I PROJECT I~L~~iATIO~ ~ 1
j Project Organizati I Selection of project
leadership
Hobilization of resources
Mobilizatiol of public compliance with project require=elts
Diffusion of project innovation
Rural Public
I
BEST AVAILABLE nOCUMENT
1 ROJECT IMPACT
Organization of ongoi=g project operation
Distribution of project benefits
Evaluation of project
Public attitudes toward project
-middot14 -
these areas and t~c central p~litical institutions of the three co~tries
and on the attit~es of the rural populacioc local leaders and elected
legislators regardi~g their problecs of develop~~c Since such data
is unavailable for alternative locales a return to the areas in which
we have previously done much research ~ables us to build on a uniquely
valuable body of icformation
A return to Kenya Korea and Turkey is also highly desirable from
the standpoint of effective research organization The Comparative
Legislative Research ~enter has developed close collaborative relationships
with several highly competent social scientists in these countries and
with the academic institutions with which these scholars are associated
We have also dev~_oped cooperative relatio~ships wi~ gove~ent officials
in these countries which should facilicate obtaining approval for our
further work
In proposing to doc~ent the origin i~pl~entation and impact of
one to three s~ll-scale develop=ent projects in each of 35 localities
we have two considerations in mind Firstmiddot because our pr~ry goal is
to deter~e the political conditions for rural developm~Lt we wish to
examine develQ~=ent in as many different settings as feasible Only in
this way can we control for so=e of the major socio-cultural variations
that erist along rural populations in less developed coultries These
include the overall level of econo~c development in the co~unity the
nature of t~e ~digenous culture an~ relationships of authority and the
pro~ty of the comounity to major urban areas and centers of central
gove~nt ad=inistration ~ce our original study sites were carefully
BEST AVAILABLE DOCUMENf
- 15 - ~ ~1
selected to represent these variations ye have concluded that these
35 localities woule be ideal sites for the propose~project Second~ in order to dete~~~ the ~pact of local leaders and public
participation o~ ~ural projects we intend to compare projects 1n which
local leaders and ~ecbers of the public have played a major ~ole with
projects in which they have not We also ~l cospare projects initiated
by the central gover~ent with projects Yhich have been locally initiated
These considerations give us a typology for selecting projects as depicted
in Figure 2
Figure 2 ~
FIVE TYPES OF RU~AL PROJCTS ACCORDIXG TO ~FLUEXCE OF CEITiW
GOVE~1E~T LOCAL LEADE~ AD RLRAL POULATIO~
Level of Participation by Rural Population
Locus of Project Initiation ~
Local Co=unity Central Governoent
BIGd
LOt
1 Projects initiated by local leaders and providing for participation of the rural ~opulation
4 Proje~ts Litiated by local leaders bu~ not involving participation of the rural population
2 Projects initiated by the Central Govern~ent and administered i~ cooperation with local leaders a~d the rural population
3 Projects initiated by the Central Govemlent and providing =or the participation of the rural population but by-passing local leaders
5 Projects initiated by the Central Gover~e~t a~d administered in cooeration Yith local leaders but not involvi~g parti~ipation of rural population
- 16 -
We recognize that the socio-cultural setting of rural develoment
projects varies significantly within and across less developed countries bull
By focussing o~ a representative sa=ple of localities ~ Ke~ya~ Korea
and Turkey we can take account of naoy~ though not all of these variations
While some of our substantive findings will not be directly generalizable
beyond the countries in which we propose to conduct our study we expect
that our basic ~ethods and fLdLgs will be applicable to national and
sub-national settings elsewhere in the developing world This is partly
d~e to the fact that the hierarchy of patron-client relations ~hich we
regard as a critical factor in rural develo~~t exists in ~ost Liles
--It is also due to the fact that the methodology for identifying local
bull leadership configurations auG poundor studying local politics which we are
perfe~ting can be used to assess local political co~ditions in a large
variety of countries even when the ~nditions themselves differ significantly
Methods of Investigation
The data needed to assess the iDpact of local leaders and mass
participaticn on rural dev~lop~nt fall into two categories Some a~e
contained among the data gathered for the research project we are currently
completing Others will require additional field research
The following data are already in hand
1 Data on the social landscape of each loc~l co~nity i~cluding aggregate data o~ level of econonic development de~graphic characteristics political pa=ticiation eth~ic loyalities and rates of socio-econocic change dur~g the past decade bull
2 Identity of local leaders including both political and I-on-political leaders and both legislators and other politicians
3 Perceptions of existiag probl~ and their possible solution a~ng
l)tS r AVAilABLE DOCUMENT
- 17 -
general public local leaders and civil serv~nts
4 Level of political kno~ledge among local citizens and local political leacers
5 Political and social values a~ong local ci~izecs and local political leaders
6 E~~ectacions of leadership roles among the local public and elected and non-elected leaders
7 Patterns of co~unication ~ong local leaders and between local leaders and the central gove~e~t
These data ~hich ~e already have in hand can be subjected to analyses
which ~~ll provida the foundation for our further work on rural develop~ent
projects A part of our work therefore will consist of fu~ther analyses
of existing data
New data of the following kinds are also required
1 Doc~entary data on the origin and evolution of particular smallshyscale develop~cnt projects in the rural areas
-2 Data on project costs boih ~itial invest=ent and recurring
operating costs and data on project ou~puts ie pupils in schools Ddles of road coopleted nl~ber of hospital a~ssions production of factory agricultural productivity
3 Data on project organizatio~ n~~r of local inha~itants participating in establis~~ent of projectt nuober of local L~habitants subsequently involved in project
4 Data-on the pe-cetion of projects by local leaders emers of the local public a~d by civil servants data on the perception of how each project ~as initiatec organized who benefitted and what its future implicatio~s are
These types of data will requ~re field work involv~~g both docucentary research
at the relevant ~istries of the central government and in local goverr~nt
authoritieS and inforoal open-ended interviews with local political leaders
elected representatives and other local leaders who~ we had previously ~
interviewed in a s=uctured syste=atic =aoner
BEST AVAILABLE DOCUMENT
- 18 -
Grant Organizatio~ and T~etable
We propose co undertake the research outlLled above beginning in the
fall se=ester 1977 Dur~g that te~ Professors Barkan and Kim as
principal investio~tors for the neo1 proj ect will contact their collaborators
in the host co~~tries They ~~ll also seek the collaboration of an additional
~rican scholar specializing in rural development with the aic of getting
additional advice on sources of data and suitable indicators for the
~easure=~~t of rural develop~ent projects
At the end of the fall seQester Professors Barkan and Kim will make
a trip to their research sites to disc~s details of the research organization
with their collaborators in the host countries and to recruit student
assistants Tney will devote the spring te~ 1978 to further analysis
of a~sting data at the University of Iowa
The gathering of additional dita L~ the field will begin in the s~er
of 1978 Professors Barkan and Kio will direct this work personally We
eAect that its coopletion ~~ll require three to six months This work ~1
involve the evaluation of central and local gove~ent reports on the
projects uncer investigation extensive on-site observations of the projects
and oen-e~ded interviews with the principal participants Our principal
respondents ~i1l be the local leaders and elected representatives we
have previously identified in the localities in which we have worked and
a sacple of active participants in the particular dpvelopment projects
being studied ~~ere necessary and apropriate surveys of the general
public will be uncertaken to assess the inpact of a given project on the
rural por)r We do not however leed 0 conduct systeAlatic sample surveys
BEST AVAILABLE DOCUMENT
- lY -
of the rur~l population as We did in 1974
In the organization of this research project we intend to reconstruct
the rese~rch tea=s ~e e=ployed during 1973-75 We shall again seek the
co11abo=~tion of P~ofessor Sc~~S-7o~g Pai of Seoul National University ~
Professor IIiCr Turan of the University of Istanbul and Professor John J
Ok~u of the U~iversity of ~arto~ S~ilarly w~ contemplate directing
the field research fro~ he same acade~ic research organizations we previously
used Seoul National U~ive~sity th~ ~~iversity of Istanbul and the
Insti~ute for Develop~eut S~udies University of Nairobi As before we
will tra~ students f~oo these institutions to serve as interviewers
The analysis of the open-ended intervie~s and of docUQentatio~ on
I ~ural develop=e~t projects will be a ~ore t~e-co~s~g process than the
analysis of closed intervie~s It will reqrire a high cotnittl~t of time
fron the principal investigators )e e--pec to hold a conference at the i
U~iversi~y of Iowa 3lO1g all the principal )clticipa~ts in the resea~ch
project d~=~g t~e spr~g 1979 to evalua~~ the newly collected data
le e~ pect to be able to vr-ite reports of t~ results during the Sl1~er 1979
(see Figre 3)
IV LlX-GS ~1) U~ILIZATIO~
At the e~d of the grant period the Uti ersity of Iowa will be able to
1) advise the Agalcy 01 the design of s~l-scale rural projects to assist
the rural poor 2) provide guidelines for social soundness analysiS of
small-scale projects for the rural areas of U)Cs 3) consult w~th the
Ag~tcy 01 the evaluatiol of rural projects ~d 4) provide LDe governments
BEST AVAILABLE DOCUMENT
)ATES
~lll
1977
~inter 1977
iprilg 1978
il mer 1978
~all
1978
ipr~ng
1979
Imiddoter 1979
University vf Iowa
Plutlning of rural develo~rent project
Barkan Kil
Alalysis of existing data
Barkan Kia
Data processing
3arkan Kin
1
I
- 4 -
Figura 3
GRAT TLfETABLE
SIT E S
Kenya Korea Turkey
Preparation of field research ural developH~lt project cOlisulta~io~ a research sites
BarkanOku=u Ki~Pai Tura~rkanKi~
Preparation of field resea-ch
Tural
Field research on rural cevelop~~t projects Bar~lOk~u Ki=Pai Turan
Co=pletion of Co=pletion of field resear~~I~ fiald researcr
Ok~u i Pai bull
f Coopletion of field research
Turan
Data analysis conference a~ong all princial i~vestigators at Un~versity of Iowa Barkan Kil Oku=u Pai Turan
Co=letiol of r~ral develop~ent
project
3arkan Kiz
BEST AVAILABLE DOCUMENT
I
- LL -
~ith speciali~cs o~ ru~al developcect ~mong their own citizens ~ho ha_
partcipatcd ~s collaborators in the Iowa projects
In the proposed project we Will test a series of hypotheses cOlcerning
the political cOllditions of rural develo=ent which run counter to CODOn
assuoptions conccrnir3 t~~ influence of rural politics on project effectiveness
As a result ~e ~dll be able to assist the Agency in designing and evaluating
such projects froe the point of V~~W 0 their political viability The
hypotheses We will test sugges~ t~at the patron-clie~t relations existing
in the local politics of zost LDCs are not necessarily i~pedients to rural
develop~ent but are aspects or the political structure which cal be used to
facilitate s~ll-scale ru=~ projects which will raise the standards of
living of _ ~ rral pomlation - As ~ result or our stuey we expect to be
able to P~-O~t the local leadership confi5~rations ~4d the relationships
between local leaders ald rural poclations ~nich are oost conducive to I
successful develcp=en efforts We believe that we will be agtle to perfect
a cat~odology for identifying the political conditions for rural develop~ent
one ~hich is transferable pound~oo the countries we have specialized in to
other LDCs
We proo~ to develop specific guidelines to assist administrators
charged with selecting evaluating and =onito~ing rural develop~ent
projects to ~szess t~esc rojects in tares of their-social and political
viability he outco~e of such projects is dete~ned not only by the
efrectiv~nass ~~=h ~hich they use scarce econo~c resources but by the
~~er L~ w=ich they e~gage the suppprt of local leaders and rural
po~ulatiocs~ by thei= effect ou social a~d econo~c equality ~d by
D[~T AvAlLA8LE DOCUMENT
- 22 -
their consequences for hwan rights ~Je plan to establish criteria by
middot~hic~ the probable outco~es of projects in these social terms can be
anticipatec
The study ~e propo e will be undertltlken by faculty at the Cniversicy
of lowe in collaboration with faculty a other ~rican institutions and
institutions in the host countries We will build on the extensive contacts
between the Co~perative Legislative Research Center of the ~niversity of
Iowa end other instituions with ~aich ~e have worked One =ajor result
of our collaborative study will be the existence of a net~ork of compe~ent
scholars both in this country and overseas experi~lced in ~orking together~
shar~g a co~on teaching and training experience i~ close contact throu~~ the
effective publications progr~ developed by the Co~parative Legislative Research
Center T~e e~~ertise of this group of individuals will be ava~lable to
oteer scholars to the Agency and ~o L~C governments for specific policy
advice The eXertise developed as a consequence of this project will
extend beyond the ~tionals of the countries ~volved since the univ~sities
engaged in ~e project attrtct stude~ts fro outside heir own countries
For ey~=ple the teaching ~d research progra in the Depar~ent of Political
Science 0 theUniversity of Istanbul heavily affected by the participation
of its facul~y ~e=bers and graduate students in our projects attracts students
throughout the ~middot1iddle East for Whom the University of Istanbul is the iajor
institution ~pound ~igher education in the region rne Institute for Developmen~
Studies is si=ilarly a focal point for students and faculty in East and
Central Africa Seoul ~atiocal Unive=sity attracts students froo other
Asia~ co~tries~ In this way the capability developed among the participant$
BEST AVAIL~BLE DOrUMENT
- ) -
in our work is diffused widely To the exte~ that the abili~y to assess
rural develop~ent p~ojects in teres of their social soundness is increased
both in the United States and in ~o~~tries r~ceiving develop=en~ assistance
the cap3~ity of racipien~ countr~es to absorb aid is ~creased
We propose to draw up an inventory of personnel available in ~~e
Cnited States and in other co~~tries who are able to consult with developen~
a~nistrators on the design of rural development projects and on their
evaluation We ~~ll draw first of ai~ on individuals w~o have been
directly associated with our ~ork in the past or on ~he proposed project
and ex~~~d the list to include graduate students and gove~ent officials
with who~ these individuals have wor~d
tole Yill utilize tha existing publication program of the Center
dercribed above to disse~inate our findings The Center has specialized
oailing lists of interested individuals and institutions in all parts of -i
the world and its reports can trerefore reach the ~st relevant audience
jirec~ly ~d re~~arly
BESl AVAIL~BLE OOCUMENT
CONTRACfjGRANTCOOPERATIVE AGREEMENT DATA SHEET
INSTRUCTIONS fjDW Complete 4 copies of the form Original SERCMSDSUP Statistical Section Copy Copy 2 SERCMSIiUP dministrative Copy opr 1 Contracting Officers COy COP) 4 SERCMSDSUP IUmin (Suspense) Copy
Missions Complde 2 copies oi the form Origin31 SERCMSDjSUF- Statistic31 Section Copy 3n~ Copy 2 Nill be ret31ned in the Missions
PART fA
ConU3lttorGranrce Name
University p~f~I~o~wa~ __ -r~ ____ ~~~~ __________ -~~ __ ~~~ ______________ ~~~~ Plorr Numt-er ApptopriJtion Number Allotment Number Project Number
930-0090-3Q13411 A5 72-111l0216 146-30-099-00-20-11 930-0090 Project Title
So~ia1 and Potitica1 Aspects of Development - Conference to Report Research Findings Amount of this Plorr I Projecl M3nagers Name and Offire Sytlbol
$10397 (increase) PDPRCP Jonatlan Silverstone Contr3ctors D-U-N-S Number
Ncgwatocs TYJlCd~3meJ j) Signature I l ~ jIf- bull G HtJ--ft u l IVmiddot
D~e
L - f - J ContractGrant Officqs typed Nailllt Signalure LJ d I -r-
plusmn t 3i-alflpta (( BLvle~ 1 I~ PARTm
ContractGranl Number
AID CSD-3294
Effeclive Date of Docum~nl Signalltre D3t~ of Documenl
Lf---C yen-~-gl tIost Courtry Institution (U iwrsity contract ONL Y)
Campus Coordinator (Uniwr ty i contract OiiL YJ
PART UL Descriplion of Cor-tractGrant P1use X ONL Y ONE item under each headiZg IF THEltrease CifYmC~e bolh ges I 30~~ O~ Nol to be completed for Amendmenl or Modlfic3lion AJigtns I III
J 710gt I I V ~ I
MOl - TYPE ACT A~ 0 G unsolicited Propsll (AIDIR 0 C Individual (Non-pe~nal senice)
~ O Cortra lGrantl ooperative Agreemenl 73101-SO(b)(6raquo 0 D Individual (ftrsonal Service)
tJl T3sk Order ( A)middot 0 H Procurement 10 be Perfocm~d by the Conmiddot 0 E UniversilyOther FAuC3lionailnSlitulions
D 2 Work Order (IQC) Ira~lor in Person (AIDPR 0 F Non-Profil Organizationlnslitutions (other
D 3 Delivety Order (Requirements) 73101middotSO(b)( Iraquo than Ed or PVO)
[j 4 Purchase Ordcr [J I Sole Source (AIOPR 7-3101-SO(b)(4)) 0 G Private Volunury Organization (PVO)
If I 2 or 3 1Lle an ~ compllle M 12 ON Y D J Imp3irmenl of Foreign Policy Objectiws 0 H International Agricultural Research Organj-
M04 - CONTRACTGRANT TYPE
o O MOA (BOA BMA etc)
o I Fixed Price (Specify fFP FPRD FPEPA FPI) _____ _
(gtIDPR 7-31 OJ SO(b)(7raquo
OK B(a)5eJection (FPR 1middot1713-1)
o L Grant iH1ndlOok 13)
o M Do Nol Ue
D 2 Cosl Reimburemenl (S~cil) CR CPFF 0 N Cooperative t~reement (Handbook 13)
CS CPAF CPIF) ~ 0 O Small Business SeImiddotAside (FPR 1middot1706-8)
o l Cooperative Agreemenl ~ 0 1 Overseas Procuring AClivilies (AIDPR
04 Grant Gener31 Supportmiddot 0U ~ 7lIOI-SC(b)(2))
o S Granl - Specific Support ~ ~06 E SER VICE
g ~ ~~t ~~(d) ~~ ~~ ~ eci~a~~~~~ogram Projeci
o amp IQCs ~ ~ relampted excepi A amp E Services)
o 9 Host Counlry ContraclGrnnt 5lJ C amp E Services
middotComplele ONLY through ~Sl ~~ 0 D Construction
M05 SELECTION PROCEDURES 0 E- Reseuch
o A Formally 3dverliscd (IFB) (A1DPR 7middot24 amp
FPR 1middot24) ~ o B Negoli3ted Price Compelilicn Gencr31
Procedure (RFP) (-JDPR 7456)
Dc A amp E (AIDPR 7410)
0 D Ed Inst andor Inl1 R~arch (-JDPR
74 5)
o E Collaboratoe Assisunce (IDPR 7458)
C F Predominant Capability (IOPR
73IOI-50(b)(l)
AID 1420-49 (179) - Page I
D F Technical Services to AID (other than trainmiddot
ing usually o~ating expense)
D G jraining SetVice for AID
o H Equipment Materi3J~ Supplies Commodities
D I Translation Service
~07middot TYPE CONTRACTORGRA-nEE
o A Firmmiddot AU profil-rn3king fUms (other than
Aamp E)
J e A amp E 8r~
zalion
o Public Inlmlational Organizations (UN
Agencies ICRC Wocld Bank elc)
(H8 J 3 Chapt~ S)
M08- TYPE AW~RD
o A S8 Sel-Aside - Awarded to Non-Minority
o B S8 Set-Asidemiddot Awarded to MinXity
o C_ S8 NOI Set-Aside - Awarded to Non-Minority
o D S8 NOI SeImiddotAsidemiddot Awarded 10 Minority
o Eo amp(a) S8A Awarded to Non-Minority (Womerl-
Owned Veterans etc)
o F 8(a) S8A Awarded 10 MinorilY
o G Personal Sen-ice ConlrdCt bull Non-Minority
o H IeJSDnal Service Conlract - MinorIty
o I Individual NonmiddotPersonal Service Contraci -
NonmiddotMinority
o J 100Jigtiduai NonmiddotPersonal Service Contracl -
Minorily
o K NOI Small Business (Univ NonmiddotProfit Large
Firms) Non-Minorily
o L- NOI Small 8usineSl (Univ Non-Profit Large
Firms) Minorily
o M US Govcrnmlnt
(Connnued on Page 2)
BEST AVLABIE DOCUMENT 1 I
--
ua ) R I GI NAL 9 bull
MODIFICATION or GRANT PAGE 1 of 2
AH 1 2 Effective Date 3 Grant No 4 Effective Date
Amend_at Ro 5 April 15 1981 AIDCSD- 3294 8-11-71
-s CRANTEE (Name and Addrea) 6 Administered by -Professor Gerhard Loewenberg -Office of Contract Management Cbrnparative Legislative Research Gente Central Operations Division Dept of Political Science am Branch University of Iowa Agency for International Developn~nt Iowa City Iowa 52240 Washington D C 20523
7 PIO No 930-0090- 3013411 A5 8 Previous PlOTa -
Appropriation No 72-11110216 93i-1l-995-l36 930-11-995-136-73-3078103
Allotment Symbol - 146-30-099-00-20-11 wunt Obliga ted by this ~ndrnent - $10397
The above numbered Grant is hereby modified as follows
1 Anotmt obligated prior to this rurendment 2 Amount obligated by this amendment 3 Total obligated anount (1 amp 2)
Delete the amJmt $465000 and substitute in lieu thereof the ammnt I$47S 39-7 ~
FUNDS AVAIrABm
~~ - APR 13 1981
PrO~A~~5iors
$465000 $ 10397 $475397
OffiCE Of fIN~(1 ~~rE~E~T __ _ 10 This amendment 11 entered into puruant to the authority of the Forelgn
Assistance Act of lS~l as amended Except aft hereln provided all terms and ~~ndi~ons nf the grant rcferpnccd in Block 13 remain unchsnged and in full force and ~ffcct
11 original and six Crantee 18 requlred to aign thh document aad return 1- eopics to issuing
ffiee
~~~ or printed) BUSINESS MAHAGR amp bull
Tille TREASURER
UNITpound) STATES OF AHERICA AGENCY FOR INTERNATIONAL DEVELO~NT
BY_-1(1o-_1lt--= 13middot~_1_~ __ K R B1uteau
(Name typed or printed)
Tltle~ ____ G_r_a_n_t __ O_f_f1_c_e_r ____________ __
D3tC APR 2 J 7997 Dolt 9 APq 1981
BEST AVAILABLE DOCUM NT ___ 0 HLGlNAL - I 1 J 1 ~ )
- 2 -
AID ftmds in the am)tmt of $10397 are hereby provided for the activities lmich are described in your proposal (including Budget Stnmnary) entitled CDnference to Report Research Findings on the Study of Political CDnditions for Effective Small-Scale Rural Assistance Projects in Kenya Korea and Turkey dated February 17 1981 and made a part of the Grant b reference
BtTDGET StMMARY
Line Item
Travel
Per Diem
Other Direct Costs
Less existing 211 (d) grant funds
Total Amount Obligated by this Amendment
Estimated Costs
$ 5888
5100
_ 2500 $13488
_ 3091
$lO39
Note Indirect costs or $395086 associated with these activities will be contributed by the University of Iowa
BEST AVAILABLE DOCUMENT
~RIGINAL
- CONTRACT IGRANTCOOPERA rIVE AGRElEMI~ SERC~SDSlP Actio) Monitor
SERCMSDSUP Action Office
I
INSTRUCTIONS AJDW - Complete 4 copit of tlh fonnmiddot Orisina iCMSDfSUP Sutistical Section COP)middot Copy 2 SERCMSDjSVP Administrative CoP Copy 3 Cont-acting Officers COP) Copy 4middot SOSUP Admin (Susptnse) Copy Missionsmiddot Complete 2 copies of the form or~aI SERCtSDSUP Statistical Section Copy and Copy = wiU~ retained in the Missions
0 PART IA
Effective Date of Document tJ
Delivery Order (Requirements)middot
o 4 Purcluse Order
bull If I 2 or 3 have an bull X compl~te M I 2 ON L Y
M04 - CONTRACTGRANT TYPE
o O MOA (BOA BMA etc)
o 1 Fixed Price (Specify FFP FPRD FPEP FPI) ___ _
o 2 COli Reimbursement (S~cifY CR CPFF CS CPAF CPIF) ______ _
o 3 Cooperative Agreement
o 4 Grantmiddot General Support
o S Grantmiddot Specifi Support
o 6 GraDt 21 led)middot
o 7 Do Not Use
o amp IQCs
o 9 Host Country ContractGrant
middotComplete ONLY through M 5 1
MOS SELECTION PROCEDURES
o A Formally advertised (IFB)(AJDPR 7middot24 amp
FPR 124)
o B Negotiated Prire Competition General
Procedure (RFP) (AIDPR 7456)
o Co A amp E (AlDPR 4 I 0)
o D Ed Ins andor Intl ReStalch (UDPR
7457)
o E Collaborative ASSistance (AIDPR 7458)
o F Predominant Capability (AIDPR
7-310l-50o)(3)
AID 142049 (1-79)middot Page J
o H Procurement Co be Performed b~ the Conshy
tra~tor in Person (AlDPR
7middot3t OI-SO(b)(Iraquo
o I Sole 5gturce (AIDPR 7middot3101middotSO(b)(4raquo
o J Impairment of Foreign Policy Objecdv~
(AIDPR 7middot310 ImiddotSO(b)(7raquo
o K 8(a) Selection (FPR 1middot1713-t)
o L Grant (Handbook J 3)
o M Do Not Vse
o N Cooperative Agreement (Handbook 13)
o O Small Business SetmiddotAside (FPR 11706-8)
o P Overseas Procuring Activities (AIDPR
7middot3101middotSO(b)(2raquo
M06middot TYPE SER VICE
o A TtJining of Participants
o B Technical Assistmce (Program Project
related exc~pt A amp E Services)
J C A amp E Services
0 D COltl~ruction
0 E Research
0 F Technical Services to AID (other than trainmiddot
ing usuaU Y operating ex pense)
0 G Training Service few AID
0 H Equipment Mat~rials Supplie~ Commodities
0 I Translation Service
07middot TYPE CONTRACTORGR TEE
Firmmiddot All profitmiddotmaking fu-r1s (other than
AampE)
o 9 amp E Firms
I Prcct NumbcT
I
Contactors D-U-N-S Numbcr
I) -S--f(j
o C Individual 0-lon-~rsora1 service)
o D Individual (Pet-sonal Service)
o E University lOt her EduCltionaJ Institutions
o F Non-Profit Organization Institutions (other
than Ed or PVO)
o G Private Voiuntary Organization (PVO)
o H International AgricultwaJ Research Organmiddot zation
o I Public International Organizadon~ (UN
Agencies ICRC ewld B3J1k etc)
(HB J 3 Chapter 5)
M08middot TYPE AWARD
o A SB SeImiddotAsidemiddot Awarded to Non-Minority
o B SB SetmiddotAside bull Awarded to Minority
o C SB Not SetmiddotAside - Awarded to Non-Minoril)i
o D SB Not SetmiddotAside - Awarded to Minority
o E ~a) SBA Awarded to Non-Minewity (Womeli
Owned Veterans etc)
o F 8(a) SBA w-rded 1o Minority
o G Personal Service Contractmiddot Non-Minority
o ~ Personal Service Contnct - Minority
o I Individual Non-Personal Sence Contractmiddot
NonmiddotMinority
o J Individual Non-Personal Service Contractmiddot
Minority
o K Not Small Business (Univ Non-Profit L1lge
Firms) --vn-Minority
o L Not Small BUSiness (Univ NonmiddotProfit Large
Firms) ~inoriy
o M VS Government
(Continued on Pcge 2i
t bull - t ~ J f q
ORIGINAL bull MODIFICATION OF GRANT
1 2 Effective Date
Araendllent Ro 4 12-2-80
s CRANTEE CHace and Addrels) Professor Ger1ard Lo~middot enbelg Comparative Legislative Research Deartment of Political Science The Lnivp-rsity of Iowa Iowa City Io~a 52240
7 PIO No NI A
Appropriation No 72-11XHl26
Center
Allotment Symbol -426-30-099-00-3~-71 Amount obligated by this urendment-O- I
3 Gnnt No
AIDcsd-3294
PAGE _____ 1 _of-L
AlI 4 Effective Date
8-11-71
~ Admlnlltered by -Office of Contract Management Central Operations Division OTR Branch Agency for International Development Washington DC 20523
8 Previous PIOITs -
931-11-995-136 930-11-995-136-73-3078103
9 The above numbered Grant is hereby modified as follows
Supplement to Grant
Change the duration period sentence to read
The Duration Period for this Grant shall be August 11 1971 through December 31 198]
1 Amount obligated prior to this amendment $465000 2 A~unt obligated by this amendment -0-3 Total obligated amount (1amp2) $465000
----------------_- - ------- ----_- ------ 10 Thh lImcndmcnt is entered inlo punuant to the authority of the Foreign
~ Assistance Act of 1961 86 amended Except a~ h~reln Z II provided all terms and condi tions nf the grant referenced in Block 3 remain ~~aunchlinged and In fu1l force and effNt cnltUI cJ)za 11 o 4 J bull
Et~ ai~a gtUoItshyc Z P=u
original and six Grantee t requi red to sign this document and return 1- eopies to 1Bufng
office
~ 12 GRANTEE TES OF AMERI CA
(Name typed or printed) bull
TJlle Director Comparative Legislative liecearell CeQtoQl
Date 12880
------------------------------------
ONAL DEVELOPMENT
By ----~--~~~~---------------------
prinled)
Grant Officer Title --------------------------------
J)oll( 12-2-80 -----------------------------
BEST AVAILBLE DOCUMENT i je
-
II
of a special cot~~e il -~Ze subdiscilin~ of ccparative legislative
stl~esOlcig 1- 2s emiddottensiVe Cc~a arhives These stucies hill
lock a ~te crei-re 3G~i~1 ad eccror5c bac~6rt)Q1d cf legislators
perrcrra1ce 1 this -gac f1Q their clltthr~ place middot ithin the goverl-
Itental ltL~middotmiddot~)O v_LA __ alli Africa ~middotot~ld ce the nioerJ geogilpbic areas
of fcc2s ~~lt -C~ ellsi-ely Disciplinary phass middot-iould bmiddot in
ftlnction
rC-e ri~~sit dill ccrcertrate cn legislative influence 1 relation
to s~ecific c~-middotc lc=s~ ~ ~ ~oclens as Eel elt2ple umiddotC 9L1izltion population
Its geographic focus
plic~i s~ciolog Ct~olics
BEST AVAILABLE DOCUMENT
- 3 -
Te iiersity of aiiaii xill build upon its edsting geoganic
focus on Asia and integate a progra of legislative studies middotdthb its
cc~~t~J ard area s~eci~lizaticn prcgra~s Korea Indonesia ~d Thail~~d
are prcnir~ent aleas in Ea- -aii r S gtrcgt1 alcng ~ith cc-palative ~ ork i~
the Pacific Islads Studi-=s by Halaii ~-ill for exaple compare the
legislative roles in econosicelly slcce~sful cO-L1tries iiitb thei roles
in countries ilitb lesser econcmic gro~-rth It ~middotrill conversely compare
economic i~~ications of cotntdes cr elatively strog wit those of
celatiyely veak legislative systems Emaiis approach would be
intercisciplinary to includ~ political science and bistory plus a streng
III middotnior ~noes ale Activities
1is ga1t is to aCieve t~o pucpcses 1) the en11aLcenert at the
Univesity of Io- middota cf institu~ional capacities for ~~i1ls releya~t to
t~e couparaiive study of legislative orga1izaticn ftnction ald
de~ent as these relate to tle process of ~ocietel moden7ationshy
ceyelop-e~ ad 2) the gele~ation and collation of a bcdy of priJciples
that ca be utilized cy AIu in poliCJ decisions that relate to
re~uests for tec~middotal SlppOt of letislstive institutions in fadlitating
developler~t These biO puposes ca] be s8z-ved ily pursuing the fclloflirg
specific activities
l Training d0mestic 8ld for-eign students in the design and
eXecuticn ot syztcr3tic re6=ar(O en ~he v8--ying Tole that legislatures
pJa~r in the roc~ss of ~detuiaticn-ieve] 0plcn The results cf their
021
BEST AVAJLABLE DOCUMENT 1 lr
- 4 -
2 Incr~asilg the e-istirg skills e1d redirecting the interests
of dc~estic ~i foreign sc~olars to the comparative leg~slative field
rne Univer3i ty 0 I01[ generally ~rill be erric~ed by t1e presel1ce of
these scholars a1d its ccr~arative leBislative prcgraIl in particular
~middotTill be ennalced by the nemiddott kl1o~ledge that is generated
3 Cooperating id th a11Q other-ilisc facili teting the ork of scbolars
of less developed cOll1tries in rultidisciplinary ark at the Univeisit~r
of Imla en the rcle 0 legislatures in the charlcter of regire legitimacy
as -ell as on re developCent cf a cetralized data bmli at Io a asse~blilg
raterials on legislatures a1d develoent tre logic behind the bank
a1d tile techniques related to its use
4 Diffu~ing relevant ~et~odological ~1d ccrc~ptual teals in less
deelo~ed cOlUltries through the loove enrichent and redirection of
indiviQual~ and t~e ~evelcp~ent of the data b~k) thereby =ultiplying
bott ihe qumity cud quali-vY of the researcl~ frcm which existing
curricula at Io~middotw can be expanded and re curricJla dtveloped
5 Increasing the size of tJe imrld~ide pool of professional ad
expert consujtants ~lalable r-ot only to IO~il Du-e 81Q Hawaii to dra-t
en but also to AID in the pursuit of sev~ral aspects of its
6 Creating nullgli th~ p~ogral at the Univers~ty of IOa the
substance of a stbJisciplire and in cooperation odth similar prograos
at other ~imiddotelsities 811 organizatic1al Gtlucttltre ~nt ca ~vbilize
continuine i1t~-rtiorr1 intrest i1 a11d sapmt fron orgaiations
interested il deveJopr-ent
BEST AVAILABLE DOCUMENT
1(1 1
- 5 -
itl Suppor- f~ctl this Grat tre University of lei-Ilt ~dll cO1centrate
e1 fclts in this prcge~ en legislative behavier variables tat telp
e91aL ~hee specific 3sten cha~a~teristics 1) the scpe of olitics
2) e style IJf goverQent ~tnd 3) the legitirlacy of the regine For
tis l)1lpcse te gtrcglam -rill ex~e releva1t coparative factors il
a lage nlt=~er O~~ African and Asian legislative institttions The
Univcsity of lO~middotIa ~lill also uldertslte the study of these legislatures
at -a~iClS cLts in tire This ~lould gtequie the use of time series
cat t1G historical SClrces not cctl9arable to contempOral7f sou=-ces of
Fe each of te legislatures included for study Ima -iill seek to
a1al~ze suc] cbractelistics of t~e legislative systen as 1) the
atricutes cf ecers--te process of their recruitment their so~inl
~c cccupalonal backgro-lI1ds their politically relevant srills their
role c~ie1lttio1s inclcirg ht~ir concept of represeILtation and the
pe~pound~ge 1~r5th 0- tente in tbe Ipgislat~re 2) t~1e distribution of
the f0~al 211 inforl rales of 2ocedure the leadersnip groups the
cr-osi tio1 and role 01 legisl3tire staffs a1d the kinds and freqlelClJ
of legisative sessic~s 3) the ~utputs of the instituticn--the agenda
of issues tre modes c- cotenticn el1d the qU11titr and kinds Jf
decisions
)middotemiddoter llllike studies of ~hese fctors in the past Imla is
BEST AVAILfBLE DOCUMENT
- 6 -
The for~Ietic1 0 tneol-y lO this coarative 8seerch of
Tiiill ~erdt equivalent cmiddotoss-sy-ste~ ~easuelents are 8O1g te r6st
irpctant aSgects of tle prcject It r2y be one of the ~c-st valuable
esllts of Io~a I s efforts ad ~dil reCuire close collGbor-tion arong
t~e pa~ticipents bull
p_ Cc=-arative Legislative Research Archive
lltOle a subsb Tltial aolIlt of legislatie data has been collected
in a1j- different cOL1tri8s very little of this iateriul is cOJarativE
1middot-s of it has teen collected by individual reseachers on e single
CQl~ty Cc~adson in legislative research is thus difficult because
=2 01 r3j cClalties are ot available at a sirgle location in s sLgle
is a clear ~eed for the ce~t~alizGd acq~sition ~ or ~ne
available data to per t the forulaticn and compGrative testlg of
~eorics aoc~t le8islativ~ behavior As a major part of this program
te Uive3ity of 1mmiddote 9poundlS to establish a data arch-e to begir to
big te existing legislative sttiies tcgetber at a sirgle location end
to ~-ke ~i~er ~ccessible +0 the grm-ing 1unoer of irterested scbolals in
Once J~1ese data have O~en brOght tcgether tney will contribute to
-~ pogram t IO~middotia in -I~middotiO -poimiddottant ~middoteys First the dats -Till be
utEized in traLig graduate stud2nts T1e rea13lysis of d~ta to test
BEST AVAIL~BLE DOCUMENT ( 1 t
- 7 -
faculty at the University of Imllt1 and from omiddotrerseJs tlitbout slch an
acbival base those dtdies Ylould be ver lil1ited in the hypotheses
ter could test The quali ty of this re search eqerience fill be
(o1siderably enha1ced by the aVJilability or data for co~arison dth
t~e data generated thlcugh the ccllaGorative research sponsored by the
traini~g progca~
Once gathered a~d refo~tted the data ~~ll be ~ade available to
sc~olars students al1d other interested persons outside of tre University
of Io ra P(r exa-nple appropriate data sets would be available to other
llsti utions tat pre ccoperating in t~is program ie Ha-waii Clla De
~ese could tten be used in curriculul developent at tbose schools as
middotell as Ll the pre-grar at the UJiversity of Imre Finally data could be
aie available to i1di-idlal sc~olars and institutions overseas for use
1 teir research a~d trailing progrems The cUIlulatiie effect of this
disse~lilation and staring of data ~i11 be an enrichme~t of research an
Llcreased flO-I of ne data to the Uriversity of Iewa I3Jld a greatly
ena1ced ability at Iowa to aalyze legislative behavior a--d defelopnent
f 1ssociates
The University of Iowa d31 involve as Associates individual US
arc ~ereign Rcolars fro~l other instibticns in some instances fOl
cc-ivities at Iovll in others as recipents of support Oi research and
oter aciivities middothich coqlement cnd emic1 the program at o a These
Associa-es rill be involved in such activities as ser-lfing es University
of IOim g-uest professors 5~St lecturers 1d visiting faculty
lticipel1~s L ccnfiences and s~riosia and as collatJoratiEg 2search
BEST AVAILABLE DOCUMENT
- 8 -
cevelcged c~lt-ies Smiddot~yemiddotl such projects core already uoer ~middotay
and 3y potetial ss~cetes ~ave been identified and thei ilterest~
211 gtarticipeting i1 t~e ~Cglar1 ascertained
He -resc1t ge~sc-~el a1d acilities of the University of Iomiddotro
plcvice a very st-cre basis for the research atJd training programs
~rnich ~middote a~ ~rc9~3L1g -fmever the further development cf legislative
suCie3 ali a pec~ent streugthenLlg of ~he progrun of Iomiddot ~ is a major
a oes3icral Demiddotmiddotelc~ Galt fur~ds will be uSed by the
LT~iersit2 c la= ~ icreasing te nUbe of faculty specialists in
cClJses ir sjcts elated to the subject atter Specificallr grant
fuimiddotis dll ce usee to ac3 one pernanent faculty Uemoer in roliGical
scienc~ ~middotit s~ecia iltcests b legislaive beh3vior ald political
dloYl-nt a-o 81 a29 cmiddot-petence in Ardcan pclitics and to bring
(lculy -emiddote-s fro less ceveloed countries to spend a peri cd of time
at the TJ1 i si ty o~ Io~middot adine sechtl expertise to the ~od~ at Iowa
other middotisosel -~ i_ le irol1ght to IC~ia as needed to support those nO~T
or --18 fc~~ti r~lt 7ds ~rill also be ilsed to finance data collection
exlts-s ~) t~-e res~imiddotch iork of tte acult the Associate scholars
BEST AVAILABLE DOCUMENT
1~ II
- 9 -
cesigned tgt trrtin US and foreign-born st1lcents in le6islati-~e rese=z-cndeg
Sttde1fs ~dll be tdTi tted cr11ally to 9 proeragt iihicn ~iould irclude a
tro~ot~h grounding in the r thods of cczparative aralysis the S1ostance
of conparatie politis g-mel31ly end the corrparative studJP of
legislative behavior in 9articulal The Uni-ersity intends to associate
tnese studelts directlr - rith research in Ttlhich faultr 2Cbers are
engaged to encourage thea to dra- U90n the skills end resources available
in this field il ra1Y departnents of the University to enable them to
spend up to one year in field research and to have thel4 snare their
findings middotrih their stmiddottidei~t and faculty colleagues Tle prograII will also
involve foreign scholars middotno are expert in the legislative process of
t3ir o- n countries in the tcaciing fgtimiddotogren both by holding -fisHing
a=point~elts at t-e University of Ioc1d by sUgervisi~g field research
c R d - t- ~ 1 rec C~ of Esta~lis~ed Scholars Tne University of Io~~
plals to extend a1 in-itaticn to seieal foreign scholars duri1g te
gle1t p2riod to patici~te in a coparative legislative researc~ seirar
duriig their visit Their plrticipat~ion middotrill edd 3 lL1iqte diiensicn to
the seiiral hceuse cf theh ~1o~-rlecge of the legislature in their own
C01-try BCmiddot2~ J1is Gemilr -ill be dealing -lith the nos-G current
reseaCIJ o~ l0~ ~ltmiddotJres as ell as discussine desigs for reseach to
fill in cowleuge of legis1timiddotre 1ehclicr -re believe
tret it ill be a l2~lilg experience for all the pclticira1ts--incltcing
BEST AVAILABLE DOCUMENT 1]7
- 10 -
Ima rill lOrk collcboratively ~ith the fOrsig1 5cbolars to design a1d
carry out P reseach pruject These projects Till cc~tribute to the
retlaininB of foreign scholars and nill also add to cur mmiddotm and8rstanding
d Research The 9rinciplI enphases in cesenrcl rere cutlined in
Section III above ie to focus en con-9arative studies in iihich
legislative cehaviol can be helpful in explaining the scope of politics
the style of governcent a1d the legitinacl of regiles Variables hich
will be studied Iost closel~r ircluue tbe persistence of institutional
norms in the legislature oyer time the relationship o~ the legislatue
to ether institutions in fornirg public CC1Cepticns of politics and
the histOl~ical context detelini1g public expectations of the 12risleture
This resea~ch nag both academic and practical objectives
Academically it promises to tie legislative behavior research to other
major concerns L1 pcliti~al science such as research on systeJ stability
and paricrJance Its general substaltive eojective is to assess the role
wtlichlegislatures Illay L1 determining the capability of political
s~lstems especially their ability to deal ~middotith soCial change
Vractically the stu1y ~y offer guidance to polic~Y-Dakers on
t~1e role ~ hich legislatures rray be ~lI-pected to pIa)- in neimiddotrly established
political systelt ald on ~hc efcrrrs in established legislatur~s -Thicn
rray be required to achieve specific syste~ effe~ts The study ~dll
Nquire the assccioticn of rembers of legislative staffs a1d 2cademic
colleagues in the s~eLal nations lmder nvestigRotiop plovidirg training
fot ~ll r)f them i1 leeis1ntive re3Clrch ~ri facilitating a valuble
BEST AVAI~BLE DOCUMENT
ll-
of Iml3 ~ill LS~ glmiddot~t f~ds t~ estaolish a data archive to begin to
bring tb~ edtirg legi31ati--re studies tog3tller at a single locaticn
end to =afe t~e ac~essible to tie grc~ring m~er of interested
scholars in t~i3 field PerSCIlllel of tbe Data Archive ~rill searcD
broadly fo all a-reilable data on legislatures in the possession of
ildiviiual researc~rs i11ese data sets ~-Till be acquired refo~atted
for ease in alelrsis a1d stored in Archive Tne Archive ~~ll
asserble tie etel~ Gata O legislative organization ald procedure the
socialization ~~ recruite~t of lzgislators legislative decision-
makLg pccesses 2d legislative outputs To facilitate access to
the data a ~middote-riemiddotrlt11 syste middoti111 be cesigned that will 2011001 r-=searchers
to find ~iccJ ata sets that c~mt2in inforration lelefalt to their
researc1 po)2e5 RibEcg-aphic citation3 cnd abstracts of research
reports on le~i51e-imiddote oebio ~~ill be gathered and a biblicgraphic
retrieval sys tC idll a Geielc9d to aid esealcJers
cooioinet-e1 ~~as n -ie are= of c~rarativa legislatile studies is
t~3t because 0 si~~e iJS in~ti tuticn ias tce necessarJ expertise
of ccrparati ve
1-=gislatiY2 tcie3 8forts of the most conrpeteat ace interested
BEST AVAIL~BLE DOCUMENT MCi I I yl
12 -
oz~ the tr)middote grantee institutions and otter associated scholars It
~ill ayise t~e pa1tee i1stituticns on SllC catte-s as roritorirg
activities at the t~re~ unive~sities~ evalu~ting rese~rch frr possible
=middotclication sJ--sidies rld ether ratters related to infor~atioTI
disse~~ation coordinating research efforts to avoid duplication
ecilitating excha1ges d sttde~ts ad faculty members ~-iitb foreign
nsti tutions i~en desirable tryi1g to till lacunae in cLIricu lUn
helJilg to arralge cmferelces and sy-posia and generally trJing to
9cote te ~eielcp~2nt of cOlparatile legislative stucies as a
Gra1t L~HS idll be ~sed to support the Univ2rsity of Io -a IS
nrticipation in tre AdisorJ Co-i ttee t1e developrrErt of conferenc=s
elsEfhere il the US arHl over3eas i1 relat2d facets of leeislaive sttdies
Edstng iersonJ~l al~d fa-ilities at the University o= 1oa previde
iaculty facliiies to aid rC3emc~ trailg aPd skill in 21c~ivaJ middotork
BES~ AVAIL4BLE DOCUMENT I
r ~-)
- 13 -
Six ITe-bers of t1e faculty of the Departent of Political Science
at the Unhe ity of Im-ia are presently engaged in legislative research
To merbers ot the Departllent of History are engaged in research on the
British Parlia~ent L~ the eighteenth ~~d nineteenth centuries Fer the
past six years an adv~~ced se~inar has been offered by ~embers of the
Department of Political Science and the Department of Histo~J on
comparative legislative behavior This exte1sive collaboration iiill
ma~e it possible to develop a fully inter-disciplinary program for the
students ~~d visiting faculty In addition faculty ~emcers in
Scciology interested in organizatien theory and in the College of Law
interested in legislctive processes provide furtber e-pertise ava_ilable
to students interested in tee study of legislative behavior The
presence of these specialists on th~ facult~r is reflected in the
excensive librarJ al1d otler data resources existing at Iowa in this
field
The Uniersity of Ima offers an unusually extensive program of
trainL~g in research methods Four ~e~bers of t~e Department of Politi~al
~cie1ce teach in the field of research nethods Courses jn statistics
ca1 be taken ill the Dep~rtents 01 Sociology e-d Educational Psycholcgy
Llis prcgr6l provides a verJ solid grounding il research training and
data analysis
bEST AVAILABLE DOCUMENT
e ~
- 14 -
Y labCrato~y for olitical Pesearch is the reseacc1 md research
tlairirg facility of the Departe1t of Political Sci-lce Gcadvate
students receivo extensive res~arch experience through 1or~ing in the
La oratory bull The Lacoratoy is also a1 integral part of the trainirg
o~feed in ccurs~ T~middotO~ for graduate students
The full-time sta~f of the laboratory includes a director an
assistant director a t-=cl1ical cirector a supervisor of study
t1hteen graduat~ students - rf1rk in te Laboratoy receivLLg teining i~1
~a~a collecticn ~~i data e~alysis Tbe facili te5 of the La)oratorltJ
icluoe a oard eJcerline printer ccnnected to the U1iversitys
dis~ and tape storF-ze for d~ta
The pogral of trailing ia coparative legislative reseC_cch ~ill
relr heavily en t LaOerltcLJ- for taching graduate stucents Visi tine
fc111tr lYe~bes iill be able to utilize tbe facilities cf the Laboratory
gt IOra ~as sFcial ccrpetence in prOCed~les for
ccq ter ogagtlizetion of d~ta Ja1ks ~d fOi the p~ocGssing of large data
sets as well as iJ the sttdy of naticnsl end st~te legisltllres Tile
BEST AVAILABLE DOCUMENT
- 15 -
Ile Univelsity of 10Ira will eadnister- the Grant thJotg~ its normal
a)1 iristrative char-l1els ad i1 Eccordance imiddotlith its ncrTal olicies and
operatirg procedures 7he Director of the gr~l1t-s~~ported program
Hill be a senior faculty eriOer of the Gniyecsity of IO~-ia -with extensive
expe~ie~ce in the subject field Associate Directors w~tb similar
qtalifications -aill also be appointed 7he Director- and Associate
Directors ~dll serve as eibers of t~e Inter-University Advisory CC1gtr)ttee
established to cooidinate _u bullbull ID gra1t-stpported programs at IOia Dul(e
lniversity a1d the University of Ha- aii Ll1 this field These relatiol-
ships are i~dicated in tee follc~dng a~inistrative organization chart
IX Ul~vsity Ccntri1uticn
T1~ ~h-ersity of IQ(a aSSures ALD that this Grant middotiill not
replace existing ftnds for STr current activity and imiddotrill be additive
to existing prograrrs of tCe lJniversity In direct sp~ort of this
Grat ttc University ~ill provide a) Acmi1istratile costs including
tie of senior officers of ttlt University b) Office ~ld research space
ald library and cor-puttr facilities c) Provision of a1cillamiddotCjr 1niversity
personnel -or consultation o~ ~middotjQrk nth the progral
X Reports end 5evie~-Ts
There i-ill be sub~itt-=i al arnual t2ctnical report for the purpose
of AID s revie- of activities under te Gant Tnis idLl include
a11 e-llation of prcsr~ss aidnistratve ar_c fiar~cial corsicer~tior~s
p~s cr tr foJlJ-middotire ear ~i disctlssics of the ossible l~lizaticn
BEST AVAJLIl8E OOCI1MrNT
~
- 16 -
A~~inistrative O~ganization
Ice Board of Regents of tle State of Im-la
-Iesicent of the University I
1 rOfcst Jf t-3 University
Den College of Liberal Arts
r Chailan DcptiEt of olitical ScieJce
Inter-G~iversity
Acisorr Corcittee
PcgrG21 Director Associate Progra~ Directors
Liaison Arcrge~~nts d ~h I I~~erested Plcfessiona1 I Perso~el j
I _
I 5cu1ti (full or PmiddotLG-tire l Asscci~tes a1d otllei non-Io~il
3ecip5ents of Gr3-1t stPPC1t Gr~cue~~e S t1~lcnts St2~retQi~S1 Data Lbed~1 31
Ln 18 r1icia 1
LO1t c~lce Factcj~1 ts
BEST AVAILABLE DOCUMENT ( ( V-t
- 17 -
of te eo17i~g cCpterce br A I D rLld ethers In addi tion there
aS3essr~ents of the gr31t
middot l ~ lI ~ _ _ _ co~~~r~~ing ~~iversiti~s md tne rrctitoring ALD office
7re l~yersity of Ie~middot~ budget of $26500 is to be deveted to the
cemiddotelgt~e~ of lstituticnal cefete1Ce in comparotive legisl~tiye studies
~t Iomiddota c t~ the exalsi0 ot a date b~L-lt ~ hich 1fill be utilized as
a ecle for icrec3ing te scope of tbe sub-specialty
T - 1 f 1 __ middotja r S Ctdget a9roxir~tly 33- has bee allocated to a
cemiddote Lp~l t rirc ipally C actlty re leased tirre for data ccllection
ai 0 3alres f~r i~~er-ieers in field research 3d secretarial
assi5ta1ce nCt2 11- of t~e Icmiddotre oudge~ is iesignated for an
ArCE_1 A~ite s(101a~middot 2d one 0 ore scnolals froQ LDe or
s1lllrt of greluate stucents in the
BEST AVAfLIlBLE DOCUMENT
- 18 -
Finally approximately 19 of the budget will be devoted to the
proposed data bruL~ that will archive not only data generated from the
research of scholars at Iowa Duke and Hawaii but also at other US
and foreign institutions Primary and 3econdary an~ses of these
data will become an integral part of ~omparative legislative studies
curricula The ability to utilize the data bank for teaching purposes
also should have a significant impact on professional preparation ofmiddot
future legislative specialists In summary the funds will be
allocated to research teaching and training activities tha~ are
entirely conson~~t with the philosophy underlying the utilization of
2ll(d) grants to achieve institutional development
Conclusion
The University of Iowa regards the research and teacbing components
of this program to be closely related an1 zrutually reinforcing The
University of Iowa offers a strong base for the pro~ram because of the
interests of faculty members here now because of their contacts with
scholars in this field in other Americ~~ and foreign universities
because of their experience with the international exchange of faculty
and because of the distinctive data gathering and processing facilities
available in our Laborator~- for Political Research The program which
we have formulated is designed not only to accomplish specific
research and teaching objectives but to contribute to the long-term
development of the University of Iowa in an area in which it has already
exhibited special interest
BEST AVAILABLE DOCUMENT
~ I) - 0
- 19 -
The program on Comparative Legislative Studies with support from
this Grant rill develop the capacity at the University of Iowa to
provide assistance under separate financing arrangements to developing
countries in a number of ways and through a varieiy of channels This
assistance which would be arranged for end negotiated separate~ from
this Grant may be in the form of technical assistance advisory service
training research and information exchange etc It will be available
by mutual agreement to appropriate agencies national and international
public private a~d mixed and directly to the less developed countries
Most especially this added special competence will inevitably become
incorporated through the processes of scholarship and education into
the competence of US and foreign scholars and institutions concerned
with this topic of great significance to the developing and the more
highly developed countries alike
BUDGET SUMMARY
UNIVERSITY OF IOWA
Salaries
Graduate Student Stipends
Fringe Benefits
Travel
Equipment and Services
Other
TOTAL
$173090
32400
19209
13800
6501
20000
$265000
BEST AVAILABLE DOCUMENT
d bull
srjmiddot (~~ jjXilO
IO
rmiddotmiddot ~middotmiddotrl f)~~ 7 middot 1 ~A~~ middot1 rmiddot middot~ rt bull middot bull bullbull I ~ i bull bull ~ middotv- middot bullbull ~ I
1 so bullbullbull l ~--~-- - - ---- ~ V~ i Jlgt ) bullbullbull ~(lr v ~I ( tr_ 1middot-middot 1 bullbull 1
il l~ J
2 c~loto
BEST AVAILABLE DOCUMENT
(C
Dr Willa~d l Boyd Presicient University of Ima iowa City Iowa 52242
Dear Dr Boyd
4 AUG 1977
amp
FIJNDS AVAnASLe CpoundNrftAamp sEIMCEs DMsON
AUG11 ~n te t6417 ~77
Subject bull Supplsectferit-tJF-G~middotNomiddot~middot AIOcsd-3294
t middot-rrPJ1 3
I am pleased to inform you that pursuant to th~ auth~rity contained in
S-cction 211 (d) ooC the Foreign Assistance Act of 1961 as amended a sup
plemental grant in the amount of $200000 is h~reby r~de to University
of rCi1a These supplement]l grant funds areprolided to support the
activities which are described in your Proposal dated May 6 1977 for
the implementation of your program entitled Political Conditions for i
Effective Small-Scale Rural Assistant Projects
---This sup~lemental grant is mace to University of Iowa en condition that
yo~r institution shall administer the funas provided under this Grant fn
accordance lith your r~ay 6 197 proposal (including Budget SUmlilary) and
the Standard Provisions (as incorporated by Amendment No 1) which have
been agreed to by your instit1ltion Ti) the extent of an inconsistency
between the Proposal and the Standard Provisions and any otherprovisfons
which ar~ made a part of thi5 Giant by reference or other~iSe the Sta~d~
ard Provisions shall control
The new Duration Period for this Grant shall beAugust 11 1971 through
August 10 1979
The total amount of funds obligated under the grant is increased to reflect
a new total oblgated amount of $465000
Please sign the Statement of Assurance or Compliance ana the origfnal -
and seven (7) copies of this letter to acknowledge your understanding of
the conditions under which these funds have been granted Please return
the Statement of Assurance of Compliance and the original and six (6)
copies of this supplemental Grant to the Office of Contract Management
Attachment May 6 1977 Proposal and Budget SUfiT1a ry
UNIVERSITY OF IOWA
Roberw bull OBrien fficer
Ce al Operations Division Office of Contract Management
AC~E~E~C--_ 0 BYpoundk~~ cH
D C ~lpoundSTtR5BA T ITL E ( PfeampoidPilt for
tee ment amp Research DATE 9-22 -77 (d~ ~~Bduate Ctl~1e~e
BES i AvAILdLt UOCLJMU~ I
211(d) Grant Program
Proposal of the University of Iowa
POLITICAL CONDITIO~S FOR EFFECTIVE SMALL-SCALE
RURAL ASSISTA~CE PROJECTS
Submitt~Ci to
Civic Participation Division AID
May 6 1977
Amount requeste~ $ 199987
BEST AVAILABLE DOCUMENT
I TdE DEVEIOP~T PROBr~
P~litical Conditions for Rural Development
The Cocparative Legislative R~search Center of the University of
Iowa proposes to ~~dartake a two-year study to investigate the role of local
leaders and the rural public in theimplecentation of small-scale develop~ent
1 projects in less developed countries The study will use and extend the
capacity ~hich the University of Iowa developed under a 211(d) grant to
investigate and assess the impact of loeal politics on rural development
~t the co~pletion of the s~ Iowa will be in aposition to advise the
Agency on the design ~nd evaluation of s~ll-scale projects which will be
politically viabe a~d effective in ass~sting the rural poor ~
As students of development w~ approach our task with the assumption
that the proble~ of development and underdevelopment are funda~entally
ones of political econooy and a~ such can only be solved through a
simultaneous considerationof economic and political factors Efforts
which foc~s aloost solely on economic factors like those of ma~y
organizations engzed in dipersing foreign aid or efforts which focus
almost exclasively on political factors fail to take account of the
interdependence between these two dimensions of underdevelopment and
lwe have for~ulated this proposal in a canner consistent witr the cu~rent policies ard interests of the Agency We have been guided in our tsk by four Age~cy doc~e~ts Impleo~~tation of New Directions in Developnent Assista~c~~~ ~eport to the COmlittee on International Relations on Ilupleoenshytatiun of Legislative Refo~ in the Foreign Assistance Act of 1973 (July 1975) rItevis~d Projec Developiel Review and Approval Systeo (A I DL Circular A-21 Aril 23 1975) SH Butterfield Draft SUIilZ3ry StateUlent of a Practical Agelcy Approach c aural Devalopilelt (AATA February 28 1975) Cicci A Coce~ual Oie=viamiddot middot Rural Development No1 (lWorilting GOU O~ tha Rural Poor February 1975)
- l -
can meec with only l~ted success
Our concern with the i=pact of local politics on the process of
rural developcent is a result of our interest in the basic question of
how LDC governm~nts and the donor agencies which assist them can
become core effective in raising the standard of living of the rural
poor We seek answers to the following aspects of that basic question
1) What political conditions must exist both within rural communities
and between theo and central gove~ents to raise agricultural production
w~ere small-scale agriculture is the do~nant pattern 2) Vnat are the
political conditions for a core rapid expansion of the informal manufacturing
and service sector cocprised of labor intensive small-scale industries
located in the rural ar s 3) What political structures and activities
are mase crucial for the provision of welfare and econocic supporc services--
such as agricultural exeension mar~eting and transportation--to the rural
areas1 4) ~~at Folitical conditions oust exist to insure that economic
growth in the rural areas is not accowpanied by excessive and intolerable
inequalities between socio-economic classes andor between regions1
Center-Periphery Linkage in LDCs
To deter~ne the political conditions for rural development we have
in previo~s s~udies exacined the institutions and processes through which
rural populaticns are integrated i1to the national politi-cal systetlS of
middot~he countries in which they live A gap exis~s in most less developed
countries bet~een the peasantry residing on the periphery and the c~~tral
political ~stiutions staffe1 by ~~estern-educated bureaucratic elite
We are aware of the other major ~sti~utional discontinuities which comprise
J
4 middot~~1 the basic cleavage between the developed and underdewmiddoteloped sectors of
these dual societies Bridging these gaps is essential if these so~ieties ~ are to develop into viable nation states For until those Q~ the periphery
of the poli~ical syste~ participate in that system and support and comply
with the authority of central political institutions neither economic
development in ~he rural areas nor a stable polity will emerge
Bridging the discontinuities in these new political systems requires
establishing and institutionalizin3middot1inkages or networks for co~unication
and exchange of resources between decision-makers at the center and the
rural public on the periphery Three types of institutional linkages are
most prominent in less developed countries 1) those conSisting of the
state administration composed of the bureaucratice1ite 2) those consisting
of a revolutioncry political party cocposed of the ideological elite
3) and those conSisting of patron-client hierarchies composed of the political
entrepreneurial elite
Of these three linkages consisting of the state administration are
the cst extensive and pervasive in virtua~ly every LOC Such linkages
however exist primarily a~ instruwents of the center to penetrate the
periphery Central government officials are formally charged with bringing
develo~ent to the people This is a ~issi~n which conceives development
as a process ~hrough which a traditional peasantry is transformed and
assimilated iJro the DOdern center which is steadily expanding to embrace
it Agents of the center invariably have more resources to achieve their
objectives than do local political leaders but because they are frequently
strangers~ the communities in which they function they are often unable
- It -
co implement the policies of the center without working through the
local establis~ent
Though somctices significant linkages consist~g of revolutionary
party organizati~ns such as those found in China and Vietnam do not exist -
in most IDCs beca1Se of the special historical and e~omic conditions
required for their development As wi~h the administrative state however
the linkaampe apparatus of such political patties is prUlarily an instrument
of the center whose mission is to penetrate and mobilize those onthe
periphery
In contrast patron-client hierarchies are linkages which represent
the periphery at the center and mediate betwee~ these two disparate
sectors of the political systec Thcugh norcallymiddotovershadowed in scale
by the state administration patron-client hierarchies are found in almost
~very LDC a~d constitute the ~st significant network through which rural i
populations and their leaders influence the decision-~king process at
the center Patron-client hierarchies exist in a wide variety of org~iza-
tional fores ranging from info~ ~ec~~rks of individual olitical leaders
in uno-partyll systelS in S~b-SaharaI4 Africa to extensive political machines
in both one-p~rty (Africa Mexico) and ~u1ti-party systems (Turkey India)
Despite their importance as the pricary means through which peasants in
LDCs particiate in their political systems patron-client hi~rarchies
have only recently become an object of analysis by students of political
developent and do not appear in even the most sophisticated studies of
2 See Jo~ Dunca owell Peasant Socie~y and Clientelist Politics Aerican Politi~ Scielce Revietol 64 (June 1970) pp 411-25 Rene Lemarchand anc_ Keith Legg olitical ClienteliSJ and Ethnicity in Tropical Africa Aierican Political Sc~ecce ReView 66 (Y~rch 1972) pp 68-90 James C Scott PatronshyClient Politics a~d Political Change II 1tlerican Political Science Revie~ 66 (~arch 1972) p 91-113 and Friends Followers and Factiols bull edited by Steffan Sc~~d and James C Scott (Berkeley UniverSity of California Press 1977) bull
- 5 -
3 economic development Ad~niscrators of developmental assistance progracs
have too often regarded patron-clienc hierarchies as ~ped~ents to
develop~ent instead of recognizing cheir potential utility bull
~ Findings on Patron-Client Hierar~hies --
The importance of pat~on-clienc hierarchies for linking the periphery
to the center is one of the major findings ~erging from a study of the
relationships betueen l~gislators an~ their constituents in Kenya Korea
and Turkey ~hich the Cowparative Legislative Research Centpr is nov
comleting uader its 21l(d) grant from AID This study has av~mined the
creation of linkages between the periphery and the center through ~ore
than lO~OOO interviews with members of parl~ent local leaders and
peasants in t~e three countries The findings are being systewatically
set out in a book-length monograph Nearly a dozen research reports have -
uready appeared (see Appendix C) ipropositions about the nature of
political behavior of rural populations an~ the roles of local political
elites de=ived from the research~ can be s~rized as follows
1 Elected representa~ives play a significant role in the creation and mainte~ance of linkages be~een the center and periphery by developing local political achines in which they function as patrons of their constituents In turn thay s~rve as clients of political leaders of national stature who control central government institutions
2 By atte~pting to establish linkages based on patron-client relatio~shi~s elect~d representatives are responding to public expectations chat their prizary duy is to obtain resources from the center to proffiote local develop~ent ~iany elected repLesentatives spend most of their time on self-help co==unity development projects such 3S the building of schools health clinics irrigation works arid roads because such projects provide
3For exa~le ~ a widely respec~ed a~d useful analysis of rural deve16p~ent in Sub-Sahara~ Africa L~ Lele of the World Bank notes the problems of creating an adoini5~raive infrastructure in the rural areas that is sensitive to local socio-oliical conditions She does not however consider how local leaders operating o~tside of adcinistrative structures ~ night contribute to the developne~t 0 the rural areas See ~~ Lele ~ Design ~ Rural Develop~ent Lessons ~ Africa (Balt~re The Johns HopkiD~ Uciversity Press 1975) r) pp 127-61 i ~
- 6 -
their const~tuents with desired se~ices ~~d a= the sa~e time provide the reresentatives with an orgacization Yhicn can be used as a political base
3 l-tore than 90 perCel1t of the rural population is capable of articulating the p~oblems facing their local co~~ity and two-thirds discuss th~e proble~ w~th their fellow citizens on a regular basis
4 Three-q~rters of the residents of the rural areas can identify the public ofpoundici~s who serve thec--both civil servants and elected represcrtatives--by na~e Most are knowledgeable about the activities of these officials Alcost one-fifth coreover have discussed co~~~ity probl~ ~ith these officials particularly those working at the grassshyroots level Residents of rural villages actually have a higher level of political knowledge than their counterparts in the towns
5 Elections in the rural areas evoke a highly rational attern of voti~g despite the effects of ascriptive or traditional co~siderations Inc~ens are pri~rily evaluated in terms of their record in fulfilling the public r S elpectations of what they should do Elections are essentially referenda on inc~entsr perfo~ce especially their perforwance in the area of constituency servi~es such as bringing development projects to the districts bull
6 Local developcent projects have a relatively high s~olic value generating conscitutency support for local leaders and the central government at low cost
7 These projects help huild a local political infra-structure which can also be utilizec by central govern~nt civil servants to implement other policies designed to achieve rural develop~ent bull
The Icpac~ of Local Politics on Rural Projects
Having explored the developtent of linkages through which the periphery
is represented at che ~enter and through which the periphe~ attemp~s to
share in the ceners resources we now propose to build upon our initial
investigations by e~ing in greater detail the impact of local political
conditions on specific problecs of rural develop~ent We propose to
exacine the develop~ental activities of local leaders ~nd the rural public
by eX2~Ding a saple ot fifteen to twenty smalL~scale developwent projects
in each of ~he three countries which constituted the sites for our initial
8ESI AVAILABLE DOCUMENT 1 ~ - of
- 7 -
study of center-perhiphary relations The appropriateaess of this approach
and the ~ethodology through which it will be ip~emented is discussed in
section II Because the ~ethodology of investigation is in large part
the result of our previous research experience we fizst turn to a revieW
of the existinQ __ ~petence of the Comparative Legislative Research Center
in this area
II GRAXTEES EXISTIXG CmET~CE
In 1971 the University of Iowa received a 211(d) grant to develop
its capacity to do research on the role of elected represent~tives in
the process of modernization On the b~sis of this grant the University
established a research center which planned and carried out a research
project on the role of elected reres~~tatives as links between the central
gove~ent and rural populations in K~ya Korea and Turkey The project -i
served to develop t~e University of Iowas research capability in this
field esa~lished ties between the University and scholars in the bost
countries and generated a large and uniqu~ body of relevant data
In that project we fo~ussed our attention on tbe activities of elected
representatives in their constituencies notably in their contacts with
local political leaders voters and civil servants To determine tbe
nature of the linkage function performed by tbe representatives we
designed our research to explore the subject from three perspectives
1) we eXaojned ~~a ~ubject at tbe grass roots by conducting a series of
sample surveys of 200 to 300 adults in each of 12 to 14 parliamentary
constituencies in each cf th~6three countries 2) we examined the subject
at the center by intervie -ing MIls from the constituencies in which we
had conducted S3mple surveys ~nd higher civil servants with whom they
had contact and 3) ~e ex~~ined the subject from an inter-~diate level
by identifying aud ~terviewing local social and political leaders in
the MPs constituencies We used survey research methods because we
were embarking on the study of an entir~ly new subject for which little
relevant docu=e~tary data existed and on which there were few secondary
sources As a result ~e have unparalleled experience with survey
research in the rural areas of less develo~ed countries
The surveys which constituted the cajor part of our field work were
planned in collaboration ~~th scholars from the host countries They were
carried out in each constituency by student interviewers in the appropriate
language ~re than 10000 respo~dents were inteDViewed for the project
Given the visibility and sensitivity of this undertaking approval for
the research was sought and obtained from the host governments prior to -i
the collec~ion of data ~o objections were raised by these governments
at any stage of the research The data obtained have been made available
to scholars i~ the host co~cries and some of the basic findings have
been published in periodicdis in these countries
The Comarative Legislative Research Center ~hich ad~nistered the
project has aisO developed extensive experience in the study of political
leadership in other countries It h3s obta~ed substantial support from
the Fo~d Foundacion and the Rockeeller Foundation has worked in
collaboration ~~h European as ~ell as Asian and African scholars and
is engaged in a ajor study of the role of elected and non-elected leaders
in the oanag~~t o~~ocial conflict Because it has conGucted research
in a variey of setlngs the Center has an ~ceptional capacity to
- 9 -
determine how the relationships be~een political institutions and
economic p=oble75 differ in develoPed and less developed countries
In the course of the major research projects the Center has administered
it has gained highly specializpd ~p-i ce iI identifying 1Olitical leaders
in a great variety of settings conducting systematic interviews with
them collaborating with scholars in the host countries and in coding
and utilizing large files of data to answer specific research questions
The Center has ~lso undertaken to publish the results of its research
in three fores It issues codebooks to the data enabling scholrrs at
other locations to use the data expeditiously i~ publishes research reports - in the form of Occasional Papers and it publishes a scholarly periodical
devoted to the presentation of research findi~gs to an inteIT~tional
audience
The Center utilizes the data ~ysis facilities of the Laboratory
for Political Research of the University of Iowa and drawS on the unusual
n~er of secialists in comparamptive politics and survey research in
~~e Lniversitys Departmen of Political S~ience The Center itself I
has the services of an administrative secretary and a clerk-typist
~intains its~o~cn extensive archives and its o~~ publications program
It is e~uipped to assist scholars and government officials outside the
t~iversity of Io~a The participants in its p~ojects are full-tioe
faculty ~e=bers ~hose undergraduate and graduate teaching is closely
related to their research As part of the teaching program the Center
has attracted students from the countries in which the research projects
have been conducted these students have participated in the projects
bull J
have obtained training in other fields of political science have received
University of Iowa degrees~ and have ret~rned to teach and to do research
in their own countries
III PURPOSE OBJECTIVES AID METHODS
Purpose of Study
The purpose of the proposed grant is to extend the capacity of the
University of Iowa to determine the political conditions in the rural
areas of less developed countries which favor the establis~ent and growth
of small-scale developoent projects ~e objective is to put the University
of Iowa in a position to assist the Agency in designing small-scale rural
developent projects providing guidelines for carrying out social soundness
analyses of such projects and adviSing in the evaluation of projects
We will discuss the utilization of~t~e Universitys capacity in detail in
section IV below
We propose to concentrate our investigations on the political conditions
surrounding s~l-scale ru~al projects Such projects have distinctive
advantages They waximize the political participation of the rural populations
both in det~~-ining the direction ~d implementation of develop~ent efforts
and in defending the interests of periphery vis-~-vis the urban-based
bureaucratic elite S~ll-scale projects stimulate entrereneurial activity
on the part of the rural citizens and growth of the info~l canufacturing
and service sector Tbey require less lead tice and less administrative
c~erhead to ~eco~e operational than large-scale capital-intensive projects
centrally administered Such projects yield rapid and direct benefits to
1
j
the rural
- 11 b - ~~1
populations and are consistentwith their hUIlaD rights--both
political and economic However~ small-s~le projects pose s~ecial probl~s for administratcrs of developceocll assistance progracs because
they require the donor co assess the local olitics particularl the
rural politics of t~e host country
Develop~c adoinistrators pr~rily conc~rned with assisting rural
populations must therefore recognize the range of political variables
affectL~g these projects Small-scale projects offer great opportuoities
for develop~ental assistance progr~ because they can be easily targeted
to help rural populacions require low capital costs and need no be
concentrated in one or two localities Such projects ho~ever~ ~equire
the a~istrator to have ~re political kno~lecge than large-scale
projects Oil which his priJlary tas~ is guiding the work of other experts
Questions for ~Investigation
To detercine the politi~al cc~diicilS ~st conducive to ~he establ~~ent
and gro~h of scalI-scale rural projects ~e propose to address our inquiry
to the following specific questions
1 To what extent and why co local political leaders seek to establish s~~l-scale develop~ent projects within their co~unities
2 To what extent and ~~y do local leaders other than politicians initiate andor provide leadership for s=all-scale developm~t projects
3 Bot do the relations bet~Jeel different types of local leaders (political and non-political) and bet~eeo these leaders and central gove~ent civil servants posted to the rural areas affect the conduct of develop=ent projects
4 How do existing authority ~eLationships between these different leadership grous and the rural pub~ic affect the organization and operation of s~l-scale develop~ent projects
- 12 -
~
5 lhlt is the nature 0 pclgtlic participation in the establishlent and operatio~ of s~l-sclle projects and ~hat are the outcc=es or this participatioe Gucer w~at conditions is such participation ~ost likely to occur
We seek a~swe=s to t~cse questio s L order to determine the effect of
different co~iigurations of local leadership and public participation on the
outcomes or small-scale rural projects te are particular1y concerned with
the ~pact of these configurations on the rate of econocic growth and the
distribution o~ rIGSlth ithin the loal cOlllUlity ~ on the perce~tions of
s~ll-scale proj~cts by central govern~ent per~oncel and the rural public
anmiddot on the organiation or flture projects
To a~swer these que~tions it is oar intention to study the initia~ioD
izJple=enation ald i1lpact of a salple cpound small-scale rural projects in
Kanya Korea and Turley in the sae cOllities in which we carried OU
our initial icvestigations ~ 1973-75 Tne relationships between the -
various conf~gurations of local leadership and public participation and
the three phases of project develop~ant are sho~ in Figure 1 We will
exa=ine projects to pro~ote the adoption of new agricultural techniques
by s~l and moderate landnolders the building of feeder roads irrigation
ditches and other s~ple infrastructure the organization of fa~ers
cooperatives and other local associations concerned with rural development
the establish=ent of rural health clinicS and schools and the setting up
of craft and service industries
Sites for Study
We plan to return to our original set of localities because we possess
a rich body of relevant data on the extent to which linkages exist between
Figure 1
TYPES OF LFLUEXCE OF C2r~ middotGOVER1iEXT OFFCIALS
LoCu LEADERS 0 THE RURAL PUBLI-C OX THRr~
PHASES OF RURAL igtEVELOPHET PROJECTS
r----------~J C~ltral Gover1~nt Official)-N------- - J
r- Local pOlitical leaders
Local non-political leaders
~l 1---- -
ROJECT nITL~TIOS
Influ~ce on selection of projects
InrI ~elce on location of projects
Influence on policy guidelines for proj eCl
Il
I
a
I I
-I PROJECT I~L~~iATIO~ ~ 1
j Project Organizati I Selection of project
leadership
Hobilization of resources
Mobilizatiol of public compliance with project require=elts
Diffusion of project innovation
Rural Public
I
BEST AVAILABLE nOCUMENT
1 ROJECT IMPACT
Organization of ongoi=g project operation
Distribution of project benefits
Evaluation of project
Public attitudes toward project
-middot14 -
these areas and t~c central p~litical institutions of the three co~tries
and on the attit~es of the rural populacioc local leaders and elected
legislators regardi~g their problecs of develop~~c Since such data
is unavailable for alternative locales a return to the areas in which
we have previously done much research ~ables us to build on a uniquely
valuable body of icformation
A return to Kenya Korea and Turkey is also highly desirable from
the standpoint of effective research organization The Comparative
Legislative Research ~enter has developed close collaborative relationships
with several highly competent social scientists in these countries and
with the academic institutions with which these scholars are associated
We have also dev~_oped cooperative relatio~ships wi~ gove~ent officials
in these countries which should facilicate obtaining approval for our
further work
In proposing to doc~ent the origin i~pl~entation and impact of
one to three s~ll-scale develop=ent projects in each of 35 localities
we have two considerations in mind Firstmiddot because our pr~ry goal is
to deter~e the political conditions for rural developm~Lt we wish to
examine develQ~=ent in as many different settings as feasible Only in
this way can we control for so=e of the major socio-cultural variations
that erist along rural populations in less developed coultries These
include the overall level of econo~c development in the co~unity the
nature of t~e ~digenous culture an~ relationships of authority and the
pro~ty of the comounity to major urban areas and centers of central
gove~nt ad=inistration ~ce our original study sites were carefully
BEST AVAILABLE DOCUMENf
- 15 - ~ ~1
selected to represent these variations ye have concluded that these
35 localities woule be ideal sites for the propose~project Second~ in order to dete~~~ the ~pact of local leaders and public
participation o~ ~ural projects we intend to compare projects 1n which
local leaders and ~ecbers of the public have played a major ~ole with
projects in which they have not We also ~l cospare projects initiated
by the central gover~ent with projects Yhich have been locally initiated
These considerations give us a typology for selecting projects as depicted
in Figure 2
Figure 2 ~
FIVE TYPES OF RU~AL PROJCTS ACCORDIXG TO ~FLUEXCE OF CEITiW
GOVE~1E~T LOCAL LEADE~ AD RLRAL POULATIO~
Level of Participation by Rural Population
Locus of Project Initiation ~
Local Co=unity Central Governoent
BIGd
LOt
1 Projects initiated by local leaders and providing for participation of the rural ~opulation
4 Proje~ts Litiated by local leaders bu~ not involving participation of the rural population
2 Projects initiated by the Central Govern~ent and administered i~ cooperation with local leaders a~d the rural population
3 Projects initiated by the Central Govemlent and providing =or the participation of the rural population but by-passing local leaders
5 Projects initiated by the Central Gover~e~t a~d administered in cooeration Yith local leaders but not involvi~g parti~ipation of rural population
- 16 -
We recognize that the socio-cultural setting of rural develoment
projects varies significantly within and across less developed countries bull
By focussing o~ a representative sa=ple of localities ~ Ke~ya~ Korea
and Turkey we can take account of naoy~ though not all of these variations
While some of our substantive findings will not be directly generalizable
beyond the countries in which we propose to conduct our study we expect
that our basic ~ethods and fLdLgs will be applicable to national and
sub-national settings elsewhere in the developing world This is partly
d~e to the fact that the hierarchy of patron-client relations ~hich we
regard as a critical factor in rural develo~~t exists in ~ost Liles
--It is also due to the fact that the methodology for identifying local
bull leadership configurations auG poundor studying local politics which we are
perfe~ting can be used to assess local political co~ditions in a large
variety of countries even when the ~nditions themselves differ significantly
Methods of Investigation
The data needed to assess the iDpact of local leaders and mass
participaticn on rural dev~lop~nt fall into two categories Some a~e
contained among the data gathered for the research project we are currently
completing Others will require additional field research
The following data are already in hand
1 Data on the social landscape of each loc~l co~nity i~cluding aggregate data o~ level of econonic development de~graphic characteristics political pa=ticiation eth~ic loyalities and rates of socio-econocic change dur~g the past decade bull
2 Identity of local leaders including both political and I-on-political leaders and both legislators and other politicians
3 Perceptions of existiag probl~ and their possible solution a~ng
l)tS r AVAilABLE DOCUMENT
- 17 -
general public local leaders and civil serv~nts
4 Level of political kno~ledge among local citizens and local political leacers
5 Political and social values a~ong local ci~izecs and local political leaders
6 E~~ectacions of leadership roles among the local public and elected and non-elected leaders
7 Patterns of co~unication ~ong local leaders and between local leaders and the central gove~e~t
These data ~hich ~e already have in hand can be subjected to analyses
which ~~ll provida the foundation for our further work on rural develop~ent
projects A part of our work therefore will consist of fu~ther analyses
of existing data
New data of the following kinds are also required
1 Doc~entary data on the origin and evolution of particular smallshyscale develop~cnt projects in the rural areas
-2 Data on project costs boih ~itial invest=ent and recurring
operating costs and data on project ou~puts ie pupils in schools Ddles of road coopleted nl~ber of hospital a~ssions production of factory agricultural productivity
3 Data on project organizatio~ n~~r of local inha~itants participating in establis~~ent of projectt nuober of local L~habitants subsequently involved in project
4 Data-on the pe-cetion of projects by local leaders emers of the local public a~d by civil servants data on the perception of how each project ~as initiatec organized who benefitted and what its future implicatio~s are
These types of data will requ~re field work involv~~g both docucentary research
at the relevant ~istries of the central government and in local goverr~nt
authoritieS and inforoal open-ended interviews with local political leaders
elected representatives and other local leaders who~ we had previously ~
interviewed in a s=uctured syste=atic =aoner
BEST AVAILABLE DOCUMENT
- 18 -
Grant Organizatio~ and T~etable
We propose co undertake the research outlLled above beginning in the
fall se=ester 1977 Dur~g that te~ Professors Barkan and Kim as
principal investio~tors for the neo1 proj ect will contact their collaborators
in the host co~~tries They ~~ll also seek the collaboration of an additional
~rican scholar specializing in rural development with the aic of getting
additional advice on sources of data and suitable indicators for the
~easure=~~t of rural develop~ent projects
At the end of the fall seQester Professors Barkan and Kim will make
a trip to their research sites to disc~s details of the research organization
with their collaborators in the host countries and to recruit student
assistants Tney will devote the spring te~ 1978 to further analysis
of a~sting data at the University of Iowa
The gathering of additional dita L~ the field will begin in the s~er
of 1978 Professors Barkan and Kio will direct this work personally We
eAect that its coopletion ~~ll require three to six months This work ~1
involve the evaluation of central and local gove~ent reports on the
projects uncer investigation extensive on-site observations of the projects
and oen-e~ded interviews with the principal participants Our principal
respondents ~i1l be the local leaders and elected representatives we
have previously identified in the localities in which we have worked and
a sacple of active participants in the particular dpvelopment projects
being studied ~~ere necessary and apropriate surveys of the general
public will be uncertaken to assess the inpact of a given project on the
rural por)r We do not however leed 0 conduct systeAlatic sample surveys
BEST AVAILABLE DOCUMENT
- lY -
of the rur~l population as We did in 1974
In the organization of this research project we intend to reconstruct
the rese~rch tea=s ~e e=ployed during 1973-75 We shall again seek the
co11abo=~tion of P~ofessor Sc~~S-7o~g Pai of Seoul National University ~
Professor IIiCr Turan of the University of Istanbul and Professor John J
Ok~u of the U~iversity of ~arto~ S~ilarly w~ contemplate directing
the field research fro~ he same acade~ic research organizations we previously
used Seoul National U~ive~sity th~ ~~iversity of Istanbul and the
Insti~ute for Develop~eut S~udies University of Nairobi As before we
will tra~ students f~oo these institutions to serve as interviewers
The analysis of the open-ended intervie~s and of docUQentatio~ on
I ~ural develop=e~t projects will be a ~ore t~e-co~s~g process than the
analysis of closed intervie~s It will reqrire a high cotnittl~t of time
fron the principal investigators )e e--pec to hold a conference at the i
U~iversi~y of Iowa 3lO1g all the principal )clticipa~ts in the resea~ch
project d~=~g t~e spr~g 1979 to evalua~~ the newly collected data
le e~ pect to be able to vr-ite reports of t~ results during the Sl1~er 1979
(see Figre 3)
IV LlX-GS ~1) U~ILIZATIO~
At the e~d of the grant period the Uti ersity of Iowa will be able to
1) advise the Agalcy 01 the design of s~l-scale rural projects to assist
the rural poor 2) provide guidelines for social soundness analysiS of
small-scale projects for the rural areas of U)Cs 3) consult w~th the
Ag~tcy 01 the evaluatiol of rural projects ~d 4) provide LDe governments
BEST AVAILABLE DOCUMENT
)ATES
~lll
1977
~inter 1977
iprilg 1978
il mer 1978
~all
1978
ipr~ng
1979
Imiddoter 1979
University vf Iowa
Plutlning of rural develo~rent project
Barkan Kil
Alalysis of existing data
Barkan Kia
Data processing
3arkan Kin
1
I
- 4 -
Figura 3
GRAT TLfETABLE
SIT E S
Kenya Korea Turkey
Preparation of field research ural developH~lt project cOlisulta~io~ a research sites
BarkanOku=u Ki~Pai Tura~rkanKi~
Preparation of field resea-ch
Tural
Field research on rural cevelop~~t projects Bar~lOk~u Ki=Pai Turan
Co=pletion of Co=pletion of field resear~~I~ fiald researcr
Ok~u i Pai bull
f Coopletion of field research
Turan
Data analysis conference a~ong all princial i~vestigators at Un~versity of Iowa Barkan Kil Oku=u Pai Turan
Co=letiol of r~ral develop~ent
project
3arkan Kiz
BEST AVAILABLE DOCUMENT
I
- LL -
~ith speciali~cs o~ ru~al developcect ~mong their own citizens ~ho ha_
partcipatcd ~s collaborators in the Iowa projects
In the proposed project we Will test a series of hypotheses cOlcerning
the political cOllditions of rural develo=ent which run counter to CODOn
assuoptions conccrnir3 t~~ influence of rural politics on project effectiveness
As a result ~e ~dll be able to assist the Agency in designing and evaluating
such projects froe the point of V~~W 0 their political viability The
hypotheses We will test sugges~ t~at the patron-clie~t relations existing
in the local politics of zost LDCs are not necessarily i~pedients to rural
develop~ent but are aspects or the political structure which cal be used to
facilitate s~ll-scale ru=~ projects which will raise the standards of
living of _ ~ rral pomlation - As ~ result or our stuey we expect to be
able to P~-O~t the local leadership confi5~rations ~4d the relationships
between local leaders ald rural poclations ~nich are oost conducive to I
successful develcp=en efforts We believe that we will be agtle to perfect
a cat~odology for identifying the political conditions for rural develop~ent
one ~hich is transferable pound~oo the countries we have specialized in to
other LDCs
We proo~ to develop specific guidelines to assist administrators
charged with selecting evaluating and =onito~ing rural develop~ent
projects to ~szess t~esc rojects in tares of their-social and political
viability he outco~e of such projects is dete~ned not only by the
efrectiv~nass ~~=h ~hich they use scarce econo~c resources but by the
~~er L~ w=ich they e~gage the suppprt of local leaders and rural
po~ulatiocs~ by thei= effect ou social a~d econo~c equality ~d by
D[~T AvAlLA8LE DOCUMENT
- 22 -
their consequences for hwan rights ~Je plan to establish criteria by
middot~hic~ the probable outco~es of projects in these social terms can be
anticipatec
The study ~e propo e will be undertltlken by faculty at the Cniversicy
of lowe in collaboration with faculty a other ~rican institutions and
institutions in the host countries We will build on the extensive contacts
between the Co~perative Legislative Research Center of the ~niversity of
Iowa end other instituions with ~aich ~e have worked One =ajor result
of our collaborative study will be the existence of a net~ork of compe~ent
scholars both in this country and overseas experi~lced in ~orking together~
shar~g a co~on teaching and training experience i~ close contact throu~~ the
effective publications progr~ developed by the Co~parative Legislative Research
Center T~e e~~ertise of this group of individuals will be ava~lable to
oteer scholars to the Agency and ~o L~C governments for specific policy
advice The eXertise developed as a consequence of this project will
extend beyond the ~tionals of the countries ~volved since the univ~sities
engaged in ~e project attrtct stude~ts fro outside heir own countries
For ey~=ple the teaching ~d research progra in the Depar~ent of Political
Science 0 theUniversity of Istanbul heavily affected by the participation
of its facul~y ~e=bers and graduate students in our projects attracts students
throughout the ~middot1iddle East for Whom the University of Istanbul is the iajor
institution ~pound ~igher education in the region rne Institute for Developmen~
Studies is si=ilarly a focal point for students and faculty in East and
Central Africa Seoul ~atiocal Unive=sity attracts students froo other
Asia~ co~tries~ In this way the capability developed among the participant$
BEST AVAIL~BLE DOrUMENT
- ) -
in our work is diffused widely To the exte~ that the abili~y to assess
rural develop~ent p~ojects in teres of their social soundness is increased
both in the United States and in ~o~~tries r~ceiving develop=en~ assistance
the cap3~ity of racipien~ countr~es to absorb aid is ~creased
We propose to draw up an inventory of personnel available in ~~e
Cnited States and in other co~~tries who are able to consult with developen~
a~nistrators on the design of rural development projects and on their
evaluation We ~~ll draw first of ai~ on individuals w~o have been
directly associated with our ~ork in the past or on ~he proposed project
and ex~~~d the list to include graduate students and gove~ent officials
with who~ these individuals have wor~d
tole Yill utilize tha existing publication program of the Center
dercribed above to disse~inate our findings The Center has specialized
oailing lists of interested individuals and institutions in all parts of -i
the world and its reports can trerefore reach the ~st relevant audience
jirec~ly ~d re~~arly
BESl AVAIL~BLE OOCUMENT
CONTRACfjGRANTCOOPERATIVE AGREEMENT DATA SHEET
INSTRUCTIONS fjDW Complete 4 copies of the form Original SERCMSDSUP Statistical Section Copy Copy 2 SERCMSIiUP dministrative Copy opr 1 Contracting Officers COy COP) 4 SERCMSDSUP IUmin (Suspense) Copy
Missions Complde 2 copies oi the form Origin31 SERCMSDjSUF- Statistic31 Section Copy 3n~ Copy 2 Nill be ret31ned in the Missions
PART fA
ConU3lttorGranrce Name
University p~f~I~o~wa~ __ -r~ ____ ~~~~ __________ -~~ __ ~~~ ______________ ~~~~ Plorr Numt-er ApptopriJtion Number Allotment Number Project Number
930-0090-3Q13411 A5 72-111l0216 146-30-099-00-20-11 930-0090 Project Title
So~ia1 and Potitica1 Aspects of Development - Conference to Report Research Findings Amount of this Plorr I Projecl M3nagers Name and Offire Sytlbol
$10397 (increase) PDPRCP Jonatlan Silverstone Contr3ctors D-U-N-S Number
Ncgwatocs TYJlCd~3meJ j) Signature I l ~ jIf- bull G HtJ--ft u l IVmiddot
D~e
L - f - J ContractGrant Officqs typed Nailllt Signalure LJ d I -r-
plusmn t 3i-alflpta (( BLvle~ 1 I~ PARTm
ContractGranl Number
AID CSD-3294
Effeclive Date of Docum~nl Signalltre D3t~ of Documenl
Lf---C yen-~-gl tIost Courtry Institution (U iwrsity contract ONL Y)
Campus Coordinator (Uniwr ty i contract OiiL YJ
PART UL Descriplion of Cor-tractGrant P1use X ONL Y ONE item under each headiZg IF THEltrease CifYmC~e bolh ges I 30~~ O~ Nol to be completed for Amendmenl or Modlfic3lion AJigtns I III
J 710gt I I V ~ I
MOl - TYPE ACT A~ 0 G unsolicited Propsll (AIDIR 0 C Individual (Non-pe~nal senice)
~ O Cortra lGrantl ooperative Agreemenl 73101-SO(b)(6raquo 0 D Individual (ftrsonal Service)
tJl T3sk Order ( A)middot 0 H Procurement 10 be Perfocm~d by the Conmiddot 0 E UniversilyOther FAuC3lionailnSlitulions
D 2 Work Order (IQC) Ira~lor in Person (AIDPR 0 F Non-Profil Organizationlnslitutions (other
D 3 Delivety Order (Requirements) 73101middotSO(b)( Iraquo than Ed or PVO)
[j 4 Purchase Ordcr [J I Sole Source (AIOPR 7-3101-SO(b)(4)) 0 G Private Volunury Organization (PVO)
If I 2 or 3 1Lle an ~ compllle M 12 ON Y D J Imp3irmenl of Foreign Policy Objectiws 0 H International Agricultural Research Organj-
M04 - CONTRACTGRANT TYPE
o O MOA (BOA BMA etc)
o I Fixed Price (Specify fFP FPRD FPEPA FPI) _____ _
(gtIDPR 7-31 OJ SO(b)(7raquo
OK B(a)5eJection (FPR 1middot1713-1)
o L Grant iH1ndlOok 13)
o M Do Nol Ue
D 2 Cosl Reimburemenl (S~cil) CR CPFF 0 N Cooperative t~reement (Handbook 13)
CS CPAF CPIF) ~ 0 O Small Business SeImiddotAside (FPR 1middot1706-8)
o l Cooperative Agreemenl ~ 0 1 Overseas Procuring AClivilies (AIDPR
04 Grant Gener31 Supportmiddot 0U ~ 7lIOI-SC(b)(2))
o S Granl - Specific Support ~ ~06 E SER VICE
g ~ ~~t ~~(d) ~~ ~~ ~ eci~a~~~~~ogram Projeci
o amp IQCs ~ ~ relampted excepi A amp E Services)
o 9 Host Counlry ContraclGrnnt 5lJ C amp E Services
middotComplele ONLY through ~Sl ~~ 0 D Construction
M05 SELECTION PROCEDURES 0 E- Reseuch
o A Formally 3dverliscd (IFB) (A1DPR 7middot24 amp
FPR 1middot24) ~ o B Negoli3ted Price Compelilicn Gencr31
Procedure (RFP) (-JDPR 7456)
Dc A amp E (AIDPR 7410)
0 D Ed Inst andor Inl1 R~arch (-JDPR
74 5)
o E Collaboratoe Assisunce (IDPR 7458)
C F Predominant Capability (IOPR
73IOI-50(b)(l)
AID 1420-49 (179) - Page I
D F Technical Services to AID (other than trainmiddot
ing usually o~ating expense)
D G jraining SetVice for AID
o H Equipment Materi3J~ Supplies Commodities
D I Translation Service
~07middot TYPE CONTRACTORGRA-nEE
o A Firmmiddot AU profil-rn3king fUms (other than
Aamp E)
J e A amp E 8r~
zalion
o Public Inlmlational Organizations (UN
Agencies ICRC Wocld Bank elc)
(H8 J 3 Chapt~ S)
M08- TYPE AW~RD
o A S8 Sel-Aside - Awarded to Non-Minority
o B S8 Set-Asidemiddot Awarded to MinXity
o C_ S8 NOI Set-Aside - Awarded to Non-Minority
o D S8 NOI SeImiddotAsidemiddot Awarded 10 Minority
o Eo amp(a) S8A Awarded to Non-Minority (Womerl-
Owned Veterans etc)
o F 8(a) S8A Awarded 10 MinorilY
o G Personal Sen-ice ConlrdCt bull Non-Minority
o H IeJSDnal Service Conlract - MinorIty
o I Individual NonmiddotPersonal Service Contraci -
NonmiddotMinority
o J 100Jigtiduai NonmiddotPersonal Service Contracl -
Minorily
o K NOI Small Business (Univ NonmiddotProfit Large
Firms) Non-Minorily
o L- NOI Small 8usineSl (Univ Non-Profit Large
Firms) Minorily
o M US Govcrnmlnt
(Connnued on Page 2)
BEST AVLABIE DOCUMENT 1 I
--
ua ) R I GI NAL 9 bull
MODIFICATION or GRANT PAGE 1 of 2
AH 1 2 Effective Date 3 Grant No 4 Effective Date
Amend_at Ro 5 April 15 1981 AIDCSD- 3294 8-11-71
-s CRANTEE (Name and Addrea) 6 Administered by -Professor Gerhard Loewenberg -Office of Contract Management Cbrnparative Legislative Research Gente Central Operations Division Dept of Political Science am Branch University of Iowa Agency for International Developn~nt Iowa City Iowa 52240 Washington D C 20523
7 PIO No 930-0090- 3013411 A5 8 Previous PlOTa -
Appropriation No 72-11110216 93i-1l-995-l36 930-11-995-136-73-3078103
Allotment Symbol - 146-30-099-00-20-11 wunt Obliga ted by this ~ndrnent - $10397
The above numbered Grant is hereby modified as follows
1 Anotmt obligated prior to this rurendment 2 Amount obligated by this amendment 3 Total obligated anount (1 amp 2)
Delete the amJmt $465000 and substitute in lieu thereof the ammnt I$47S 39-7 ~
FUNDS AVAIrABm
~~ - APR 13 1981
PrO~A~~5iors
$465000 $ 10397 $475397
OffiCE Of fIN~(1 ~~rE~E~T __ _ 10 This amendment 11 entered into puruant to the authority of the Forelgn
Assistance Act of lS~l as amended Except aft hereln provided all terms and ~~ndi~ons nf the grant rcferpnccd in Block 13 remain unchsnged and in full force and ~ffcct
11 original and six Crantee 18 requlred to aign thh document aad return 1- eopics to issuing
ffiee
~~~ or printed) BUSINESS MAHAGR amp bull
Tille TREASURER
UNITpound) STATES OF AHERICA AGENCY FOR INTERNATIONAL DEVELO~NT
BY_-1(1o-_1lt--= 13middot~_1_~ __ K R B1uteau
(Name typed or printed)
Tltle~ ____ G_r_a_n_t __ O_f_f1_c_e_r ____________ __
D3tC APR 2 J 7997 Dolt 9 APq 1981
BEST AVAILABLE DOCUM NT ___ 0 HLGlNAL - I 1 J 1 ~ )
- 2 -
AID ftmds in the am)tmt of $10397 are hereby provided for the activities lmich are described in your proposal (including Budget Stnmnary) entitled CDnference to Report Research Findings on the Study of Political CDnditions for Effective Small-Scale Rural Assistance Projects in Kenya Korea and Turkey dated February 17 1981 and made a part of the Grant b reference
BtTDGET StMMARY
Line Item
Travel
Per Diem
Other Direct Costs
Less existing 211 (d) grant funds
Total Amount Obligated by this Amendment
Estimated Costs
$ 5888
5100
_ 2500 $13488
_ 3091
$lO39
Note Indirect costs or $395086 associated with these activities will be contributed by the University of Iowa
BEST AVAILABLE DOCUMENT
~RIGINAL
- CONTRACT IGRANTCOOPERA rIVE AGRElEMI~ SERC~SDSlP Actio) Monitor
SERCMSDSUP Action Office
I
INSTRUCTIONS AJDW - Complete 4 copit of tlh fonnmiddot Orisina iCMSDfSUP Sutistical Section COP)middot Copy 2 SERCMSDjSVP Administrative CoP Copy 3 Cont-acting Officers COP) Copy 4middot SOSUP Admin (Susptnse) Copy Missionsmiddot Complete 2 copies of the form or~aI SERCtSDSUP Statistical Section Copy and Copy = wiU~ retained in the Missions
0 PART IA
Effective Date of Document tJ
Delivery Order (Requirements)middot
o 4 Purcluse Order
bull If I 2 or 3 have an bull X compl~te M I 2 ON L Y
M04 - CONTRACTGRANT TYPE
o O MOA (BOA BMA etc)
o 1 Fixed Price (Specify FFP FPRD FPEP FPI) ___ _
o 2 COli Reimbursement (S~cifY CR CPFF CS CPAF CPIF) ______ _
o 3 Cooperative Agreement
o 4 Grantmiddot General Support
o S Grantmiddot Specifi Support
o 6 GraDt 21 led)middot
o 7 Do Not Use
o amp IQCs
o 9 Host Country ContractGrant
middotComplete ONLY through M 5 1
MOS SELECTION PROCEDURES
o A Formally advertised (IFB)(AJDPR 7middot24 amp
FPR 124)
o B Negotiated Prire Competition General
Procedure (RFP) (AIDPR 7456)
o Co A amp E (AlDPR 4 I 0)
o D Ed Ins andor Intl ReStalch (UDPR
7457)
o E Collaborative ASSistance (AIDPR 7458)
o F Predominant Capability (AIDPR
7-310l-50o)(3)
AID 142049 (1-79)middot Page J
o H Procurement Co be Performed b~ the Conshy
tra~tor in Person (AlDPR
7middot3t OI-SO(b)(Iraquo
o I Sole 5gturce (AIDPR 7middot3101middotSO(b)(4raquo
o J Impairment of Foreign Policy Objecdv~
(AIDPR 7middot310 ImiddotSO(b)(7raquo
o K 8(a) Selection (FPR 1middot1713-t)
o L Grant (Handbook J 3)
o M Do Not Vse
o N Cooperative Agreement (Handbook 13)
o O Small Business SetmiddotAside (FPR 11706-8)
o P Overseas Procuring Activities (AIDPR
7middot3101middotSO(b)(2raquo
M06middot TYPE SER VICE
o A TtJining of Participants
o B Technical Assistmce (Program Project
related exc~pt A amp E Services)
J C A amp E Services
0 D COltl~ruction
0 E Research
0 F Technical Services to AID (other than trainmiddot
ing usuaU Y operating ex pense)
0 G Training Service few AID
0 H Equipment Mat~rials Supplie~ Commodities
0 I Translation Service
07middot TYPE CONTRACTORGR TEE
Firmmiddot All profitmiddotmaking fu-r1s (other than
AampE)
o 9 amp E Firms
I Prcct NumbcT
I
Contactors D-U-N-S Numbcr
I) -S--f(j
o C Individual 0-lon-~rsora1 service)
o D Individual (Pet-sonal Service)
o E University lOt her EduCltionaJ Institutions
o F Non-Profit Organization Institutions (other
than Ed or PVO)
o G Private Voiuntary Organization (PVO)
o H International AgricultwaJ Research Organmiddot zation
o I Public International Organizadon~ (UN
Agencies ICRC ewld B3J1k etc)
(HB J 3 Chapter 5)
M08middot TYPE AWARD
o A SB SeImiddotAsidemiddot Awarded to Non-Minority
o B SB SetmiddotAside bull Awarded to Minority
o C SB Not SetmiddotAside - Awarded to Non-Minoril)i
o D SB Not SetmiddotAside - Awarded to Minority
o E ~a) SBA Awarded to Non-Minewity (Womeli
Owned Veterans etc)
o F 8(a) SBA w-rded 1o Minority
o G Personal Service Contractmiddot Non-Minority
o ~ Personal Service Contnct - Minority
o I Individual Non-Personal Sence Contractmiddot
NonmiddotMinority
o J Individual Non-Personal Service Contractmiddot
Minority
o K Not Small Business (Univ Non-Profit L1lge
Firms) --vn-Minority
o L Not Small BUSiness (Univ NonmiddotProfit Large
Firms) ~inoriy
o M VS Government
(Continued on Pcge 2i
t bull - t ~ J f q
ORIGINAL bull MODIFICATION OF GRANT
1 2 Effective Date
Araendllent Ro 4 12-2-80
s CRANTEE CHace and Addrels) Professor Ger1ard Lo~middot enbelg Comparative Legislative Research Deartment of Political Science The Lnivp-rsity of Iowa Iowa City Io~a 52240
7 PIO No NI A
Appropriation No 72-11XHl26
Center
Allotment Symbol -426-30-099-00-3~-71 Amount obligated by this urendment-O- I
3 Gnnt No
AIDcsd-3294
PAGE _____ 1 _of-L
AlI 4 Effective Date
8-11-71
~ Admlnlltered by -Office of Contract Management Central Operations Division OTR Branch Agency for International Development Washington DC 20523
8 Previous PIOITs -
931-11-995-136 930-11-995-136-73-3078103
9 The above numbered Grant is hereby modified as follows
Supplement to Grant
Change the duration period sentence to read
The Duration Period for this Grant shall be August 11 1971 through December 31 198]
1 Amount obligated prior to this amendment $465000 2 A~unt obligated by this amendment -0-3 Total obligated amount (1amp2) $465000
----------------_- - ------- ----_- ------ 10 Thh lImcndmcnt is entered inlo punuant to the authority of the Foreign
~ Assistance Act of 1961 86 amended Except a~ h~reln Z II provided all terms and condi tions nf the grant referenced in Block 3 remain ~~aunchlinged and In fu1l force and effNt cnltUI cJ)za 11 o 4 J bull
Et~ ai~a gtUoItshyc Z P=u
original and six Grantee t requi red to sign this document and return 1- eopies to 1Bufng
office
~ 12 GRANTEE TES OF AMERI CA
(Name typed or printed) bull
TJlle Director Comparative Legislative liecearell CeQtoQl
Date 12880
------------------------------------
ONAL DEVELOPMENT
By ----~--~~~~---------------------
prinled)
Grant Officer Title --------------------------------
J)oll( 12-2-80 -----------------------------
BEST AVAILBLE DOCUMENT i je
- 3 -
Te iiersity of aiiaii xill build upon its edsting geoganic
focus on Asia and integate a progra of legislative studies middotdthb its
cc~~t~J ard area s~eci~lizaticn prcgra~s Korea Indonesia ~d Thail~~d
are prcnir~ent aleas in Ea- -aii r S gtrcgt1 alcng ~ith cc-palative ~ ork i~
the Pacific Islads Studi-=s by Halaii ~-ill for exaple compare the
legislative roles in econosicelly slcce~sful cO-L1tries iiitb thei roles
in countries ilitb lesser econcmic gro~-rth It ~middotrill conversely compare
economic i~~ications of cotntdes cr elatively strog wit those of
celatiyely veak legislative systems Emaiis approach would be
intercisciplinary to includ~ political science and bistory plus a streng
III middotnior ~noes ale Activities
1is ga1t is to aCieve t~o pucpcses 1) the en11aLcenert at the
Univesity of Io- middota cf institu~ional capacities for ~~i1ls releya~t to
t~e couparaiive study of legislative orga1izaticn ftnction ald
de~ent as these relate to tle process of ~ocietel moden7ationshy
ceyelop-e~ ad 2) the gele~ation and collation of a bcdy of priJciples
that ca be utilized cy AIu in poliCJ decisions that relate to
re~uests for tec~middotal SlppOt of letislstive institutions in fadlitating
developler~t These biO puposes ca] be s8z-ved ily pursuing the fclloflirg
specific activities
l Training d0mestic 8ld for-eign students in the design and
eXecuticn ot syztcr3tic re6=ar(O en ~he v8--ying Tole that legislatures
pJa~r in the roc~ss of ~detuiaticn-ieve] 0plcn The results cf their
021
BEST AVAJLABLE DOCUMENT 1 lr
- 4 -
2 Incr~asilg the e-istirg skills e1d redirecting the interests
of dc~estic ~i foreign sc~olars to the comparative leg~slative field
rne Univer3i ty 0 I01[ generally ~rill be erric~ed by t1e presel1ce of
these scholars a1d its ccr~arative leBislative prcgraIl in particular
~middotTill be ennalced by the nemiddott kl1o~ledge that is generated
3 Cooperating id th a11Q other-ilisc facili teting the ork of scbolars
of less developed cOll1tries in rultidisciplinary ark at the Univeisit~r
of Imla en the rcle 0 legislatures in the charlcter of regire legitimacy
as -ell as on re developCent cf a cetralized data bmli at Io a asse~blilg
raterials on legislatures a1d develoent tre logic behind the bank
a1d tile techniques related to its use
4 Diffu~ing relevant ~et~odological ~1d ccrc~ptual teals in less
deelo~ed cOlUltries through the loove enrichent and redirection of
indiviQual~ and t~e ~evelcp~ent of the data b~k) thereby =ultiplying
bott ihe qumity cud quali-vY of the researcl~ frcm which existing
curricula at Io~middotw can be expanded and re curricJla dtveloped
5 Increasing the size of tJe imrld~ide pool of professional ad
expert consujtants ~lalable r-ot only to IO~il Du-e 81Q Hawaii to dra-t
en but also to AID in the pursuit of sev~ral aspects of its
6 Creating nullgli th~ p~ogral at the Univers~ty of IOa the
substance of a stbJisciplire and in cooperation odth similar prograos
at other ~imiddotelsities 811 organizatic1al Gtlucttltre ~nt ca ~vbilize
continuine i1t~-rtiorr1 intrest i1 a11d sapmt fron orgaiations
interested il deveJopr-ent
BEST AVAILABLE DOCUMENT
1(1 1
- 5 -
itl Suppor- f~ctl this Grat tre University of lei-Ilt ~dll cO1centrate
e1 fclts in this prcge~ en legislative behavier variables tat telp
e91aL ~hee specific 3sten cha~a~teristics 1) the scpe of olitics
2) e style IJf goverQent ~tnd 3) the legitirlacy of the regine For
tis l)1lpcse te gtrcglam -rill ex~e releva1t coparative factors il
a lage nlt=~er O~~ African and Asian legislative institttions The
Univcsity of lO~middotIa ~lill also uldertslte the study of these legislatures
at -a~iClS cLts in tire This ~lould gtequie the use of time series
cat t1G historical SClrces not cctl9arable to contempOral7f sou=-ces of
Fe each of te legislatures included for study Ima -iill seek to
a1al~ze suc] cbractelistics of t~e legislative systen as 1) the
atricutes cf ecers--te process of their recruitment their so~inl
~c cccupalonal backgro-lI1ds their politically relevant srills their
role c~ie1lttio1s inclcirg ht~ir concept of represeILtation and the
pe~pound~ge 1~r5th 0- tente in tbe Ipgislat~re 2) t~1e distribution of
the f0~al 211 inforl rales of 2ocedure the leadersnip groups the
cr-osi tio1 and role 01 legisl3tire staffs a1d the kinds and freqlelClJ
of legisative sessic~s 3) the ~utputs of the instituticn--the agenda
of issues tre modes c- cotenticn el1d the qU11titr and kinds Jf
decisions
)middotemiddoter llllike studies of ~hese fctors in the past Imla is
BEST AVAILfBLE DOCUMENT
- 6 -
The for~Ietic1 0 tneol-y lO this coarative 8seerch of
Tiiill ~erdt equivalent cmiddotoss-sy-ste~ ~easuelents are 8O1g te r6st
irpctant aSgects of tle prcject It r2y be one of the ~c-st valuable
esllts of Io~a I s efforts ad ~dil reCuire close collGbor-tion arong
t~e pa~ticipents bull
p_ Cc=-arative Legislative Research Archive
lltOle a subsb Tltial aolIlt of legislatie data has been collected
in a1j- different cOL1tri8s very little of this iateriul is cOJarativE
1middot-s of it has teen collected by individual reseachers on e single
CQl~ty Cc~adson in legislative research is thus difficult because
=2 01 r3j cClalties are ot available at a sirgle location in s sLgle
is a clear ~eed for the ce~t~alizGd acq~sition ~ or ~ne
available data to per t the forulaticn and compGrative testlg of
~eorics aoc~t le8islativ~ behavior As a major part of this program
te Uive3ity of 1mmiddote 9poundlS to establish a data arch-e to begir to
big te existing legislative sttiies tcgetber at a sirgle location end
to ~-ke ~i~er ~ccessible +0 the grm-ing 1unoer of irterested scbolals in
Once J~1ese data have O~en brOght tcgether tney will contribute to
-~ pogram t IO~middotia in -I~middotiO -poimiddottant ~middoteys First the dats -Till be
utEized in traLig graduate stud2nts T1e rea13lysis of d~ta to test
BEST AVAIL~BLE DOCUMENT ( 1 t
- 7 -
faculty at the University of Imllt1 and from omiddotrerseJs tlitbout slch an
acbival base those dtdies Ylould be ver lil1ited in the hypotheses
ter could test The quali ty of this re search eqerience fill be
(o1siderably enha1ced by the aVJilability or data for co~arison dth
t~e data generated thlcugh the ccllaGorative research sponsored by the
traini~g progca~
Once gathered a~d refo~tted the data ~~ll be ~ade available to
sc~olars students al1d other interested persons outside of tre University
of Io ra P(r exa-nple appropriate data sets would be available to other
llsti utions tat pre ccoperating in t~is program ie Ha-waii Clla De
~ese could tten be used in curriculul developent at tbose schools as
middotell as Ll the pre-grar at the UJiversity of Imre Finally data could be
aie available to i1di-idlal sc~olars and institutions overseas for use
1 teir research a~d trailing progrems The cUIlulatiie effect of this
disse~lilation and staring of data ~i11 be an enrichme~t of research an
Llcreased flO-I of ne data to the Uriversity of Iewa I3Jld a greatly
ena1ced ability at Iowa to aalyze legislative behavior a--d defelopnent
f 1ssociates
The University of Iowa d31 involve as Associates individual US
arc ~ereign Rcolars fro~l other instibticns in some instances fOl
cc-ivities at Iovll in others as recipents of support Oi research and
oter aciivities middothich coqlement cnd emic1 the program at o a These
Associa-es rill be involved in such activities as ser-lfing es University
of IOim g-uest professors 5~St lecturers 1d visiting faculty
lticipel1~s L ccnfiences and s~riosia and as collatJoratiEg 2search
BEST AVAILABLE DOCUMENT
- 8 -
cevelcged c~lt-ies Smiddot~yemiddotl such projects core already uoer ~middotay
and 3y potetial ss~cetes ~ave been identified and thei ilterest~
211 gtarticipeting i1 t~e ~Cglar1 ascertained
He -resc1t ge~sc-~el a1d acilities of the University of Iomiddotro
plcvice a very st-cre basis for the research atJd training programs
~rnich ~middote a~ ~rc9~3L1g -fmever the further development cf legislative
suCie3 ali a pec~ent streugthenLlg of ~he progrun of Iomiddot ~ is a major
a oes3icral Demiddotmiddotelc~ Galt fur~ds will be uSed by the
LT~iersit2 c la= ~ icreasing te nUbe of faculty specialists in
cClJses ir sjcts elated to the subject atter Specificallr grant
fuimiddotis dll ce usee to ac3 one pernanent faculty Uemoer in roliGical
scienc~ ~middotit s~ecia iltcests b legislaive beh3vior ald political
dloYl-nt a-o 81 a29 cmiddot-petence in Ardcan pclitics and to bring
(lculy -emiddote-s fro less ceveloed countries to spend a peri cd of time
at the TJ1 i si ty o~ Io~middot adine sechtl expertise to the ~od~ at Iowa
other middotisosel -~ i_ le irol1ght to IC~ia as needed to support those nO~T
or --18 fc~~ti r~lt 7ds ~rill also be ilsed to finance data collection
exlts-s ~) t~-e res~imiddotch iork of tte acult the Associate scholars
BEST AVAILABLE DOCUMENT
1~ II
- 9 -
cesigned tgt trrtin US and foreign-born st1lcents in le6islati-~e rese=z-cndeg
Sttde1fs ~dll be tdTi tted cr11ally to 9 proeragt iihicn ~iould irclude a
tro~ot~h grounding in the r thods of cczparative aralysis the S1ostance
of conparatie politis g-mel31ly end the corrparative studJP of
legislative behavior in 9articulal The Uni-ersity intends to associate
tnese studelts directlr - rith research in Ttlhich faultr 2Cbers are
engaged to encourage thea to dra- U90n the skills end resources available
in this field il ra1Y departnents of the University to enable them to
spend up to one year in field research and to have thel4 snare their
findings middotrih their stmiddottidei~t and faculty colleagues Tle prograII will also
involve foreign scholars middotno are expert in the legislative process of
t3ir o- n countries in the tcaciing fgtimiddotogren both by holding -fisHing
a=point~elts at t-e University of Ioc1d by sUgervisi~g field research
c R d - t- ~ 1 rec C~ of Esta~lis~ed Scholars Tne University of Io~~
plals to extend a1 in-itaticn to seieal foreign scholars duri1g te
gle1t p2riod to patici~te in a coparative legislative researc~ seirar
duriig their visit Their plrticipat~ion middotrill edd 3 lL1iqte diiensicn to
the seiiral hceuse cf theh ~1o~-rlecge of the legislature in their own
C01-try BCmiddot2~ J1is Gemilr -ill be dealing -lith the nos-G current
reseaCIJ o~ l0~ ~ltmiddotJres as ell as discussine desigs for reseach to
fill in cowleuge of legis1timiddotre 1ehclicr -re believe
tret it ill be a l2~lilg experience for all the pclticira1ts--incltcing
BEST AVAILABLE DOCUMENT 1]7
- 10 -
Ima rill lOrk collcboratively ~ith the fOrsig1 5cbolars to design a1d
carry out P reseach pruject These projects Till cc~tribute to the
retlaininB of foreign scholars and nill also add to cur mmiddotm and8rstanding
d Research The 9rinciplI enphases in cesenrcl rere cutlined in
Section III above ie to focus en con-9arative studies in iihich
legislative cehaviol can be helpful in explaining the scope of politics
the style of governcent a1d the legitinacl of regiles Variables hich
will be studied Iost closel~r ircluue tbe persistence of institutional
norms in the legislature oyer time the relationship o~ the legislatue
to ether institutions in fornirg public CC1Cepticns of politics and
the histOl~ical context detelini1g public expectations of the 12risleture
This resea~ch nag both academic and practical objectives
Academically it promises to tie legislative behavior research to other
major concerns L1 pcliti~al science such as research on systeJ stability
and paricrJance Its general substaltive eojective is to assess the role
wtlichlegislatures Illay L1 determining the capability of political
s~lstems especially their ability to deal ~middotith soCial change
Vractically the stu1y ~y offer guidance to polic~Y-Dakers on
t~1e role ~ hich legislatures rray be ~lI-pected to pIa)- in neimiddotrly established
political systelt ald on ~hc efcrrrs in established legislatur~s -Thicn
rray be required to achieve specific syste~ effe~ts The study ~dll
Nquire the assccioticn of rembers of legislative staffs a1d 2cademic
colleagues in the s~eLal nations lmder nvestigRotiop plovidirg training
fot ~ll r)f them i1 leeis1ntive re3Clrch ~ri facilitating a valuble
BEST AVAI~BLE DOCUMENT
ll-
of Iml3 ~ill LS~ glmiddot~t f~ds t~ estaolish a data archive to begin to
bring tb~ edtirg legi31ati--re studies tog3tller at a single locaticn
end to =afe t~e ac~essible to tie grc~ring m~er of interested
scholars in t~i3 field PerSCIlllel of tbe Data Archive ~rill searcD
broadly fo all a-reilable data on legislatures in the possession of
ildiviiual researc~rs i11ese data sets ~-Till be acquired refo~atted
for ease in alelrsis a1d stored in Archive Tne Archive ~~ll
asserble tie etel~ Gata O legislative organization ald procedure the
socialization ~~ recruite~t of lzgislators legislative decision-
makLg pccesses 2d legislative outputs To facilitate access to
the data a ~middote-riemiddotrlt11 syste middoti111 be cesigned that will 2011001 r-=searchers
to find ~iccJ ata sets that c~mt2in inforration lelefalt to their
researc1 po)2e5 RibEcg-aphic citation3 cnd abstracts of research
reports on le~i51e-imiddote oebio ~~ill be gathered and a biblicgraphic
retrieval sys tC idll a Geielc9d to aid esealcJers
cooioinet-e1 ~~as n -ie are= of c~rarativa legislatile studies is
t~3t because 0 si~~e iJS in~ti tuticn ias tce necessarJ expertise
of ccrparati ve
1-=gislatiY2 tcie3 8forts of the most conrpeteat ace interested
BEST AVAIL~BLE DOCUMENT MCi I I yl
12 -
oz~ the tr)middote grantee institutions and otter associated scholars It
~ill ayise t~e pa1tee i1stituticns on SllC catte-s as roritorirg
activities at the t~re~ unive~sities~ evalu~ting rese~rch frr possible
=middotclication sJ--sidies rld ether ratters related to infor~atioTI
disse~~ation coordinating research efforts to avoid duplication
ecilitating excha1ges d sttde~ts ad faculty members ~-iitb foreign
nsti tutions i~en desirable tryi1g to till lacunae in cLIricu lUn
helJilg to arralge cmferelces and sy-posia and generally trJing to
9cote te ~eielcp~2nt of cOlparatile legislative stucies as a
Gra1t L~HS idll be ~sed to support the Univ2rsity of Io -a IS
nrticipation in tre AdisorJ Co-i ttee t1e developrrErt of conferenc=s
elsEfhere il the US arHl over3eas i1 relat2d facets of leeislaive sttdies
Edstng iersonJ~l al~d fa-ilities at the University o= 1oa previde
iaculty facliiies to aid rC3emc~ trailg aPd skill in 21c~ivaJ middotork
BES~ AVAIL4BLE DOCUMENT I
r ~-)
- 13 -
Six ITe-bers of t1e faculty of the Departent of Political Science
at the Unhe ity of Im-ia are presently engaged in legislative research
To merbers ot the Departllent of History are engaged in research on the
British Parlia~ent L~ the eighteenth ~~d nineteenth centuries Fer the
past six years an adv~~ced se~inar has been offered by ~embers of the
Department of Political Science and the Department of Histo~J on
comparative legislative behavior This exte1sive collaboration iiill
ma~e it possible to develop a fully inter-disciplinary program for the
students ~~d visiting faculty In addition faculty ~emcers in
Scciology interested in organizatien theory and in the College of Law
interested in legislctive processes provide furtber e-pertise ava_ilable
to students interested in tee study of legislative behavior The
presence of these specialists on th~ facult~r is reflected in the
excensive librarJ al1d otler data resources existing at Iowa in this
field
The Uniersity of Ima offers an unusually extensive program of
trainL~g in research methods Four ~e~bers of t~e Department of Politi~al
~cie1ce teach in the field of research nethods Courses jn statistics
ca1 be taken ill the Dep~rtents 01 Sociology e-d Educational Psycholcgy
Llis prcgr6l provides a verJ solid grounding il research training and
data analysis
bEST AVAILABLE DOCUMENT
e ~
- 14 -
Y labCrato~y for olitical Pesearch is the reseacc1 md research
tlairirg facility of the Departe1t of Political Sci-lce Gcadvate
students receivo extensive res~arch experience through 1or~ing in the
La oratory bull The Lacoratoy is also a1 integral part of the trainirg
o~feed in ccurs~ T~middotO~ for graduate students
The full-time sta~f of the laboratory includes a director an
assistant director a t-=cl1ical cirector a supervisor of study
t1hteen graduat~ students - rf1rk in te Laboratoy receivLLg teining i~1
~a~a collecticn ~~i data e~alysis Tbe facili te5 of the La)oratorltJ
icluoe a oard eJcerline printer ccnnected to the U1iversitys
dis~ and tape storF-ze for d~ta
The pogral of trailing ia coparative legislative reseC_cch ~ill
relr heavily en t LaOerltcLJ- for taching graduate stucents Visi tine
fc111tr lYe~bes iill be able to utilize tbe facilities cf the Laboratory
gt IOra ~as sFcial ccrpetence in prOCed~les for
ccq ter ogagtlizetion of d~ta Ja1ks ~d fOi the p~ocGssing of large data
sets as well as iJ the sttdy of naticnsl end st~te legisltllres Tile
BEST AVAILABLE DOCUMENT
- 15 -
Ile Univelsity of 10Ira will eadnister- the Grant thJotg~ its normal
a)1 iristrative char-l1els ad i1 Eccordance imiddotlith its ncrTal olicies and
operatirg procedures 7he Director of the gr~l1t-s~~ported program
Hill be a senior faculty eriOer of the Gniyecsity of IO~-ia -with extensive
expe~ie~ce in the subject field Associate Directors w~tb similar
qtalifications -aill also be appointed 7he Director- and Associate
Directors ~dll serve as eibers of t~e Inter-University Advisory CC1gtr)ttee
established to cooidinate _u bullbull ID gra1t-stpported programs at IOia Dul(e
lniversity a1d the University of Ha- aii Ll1 this field These relatiol-
ships are i~dicated in tee follc~dng a~inistrative organization chart
IX Ul~vsity Ccntri1uticn
T1~ ~h-ersity of IQ(a aSSures ALD that this Grant middotiill not
replace existing ftnds for STr current activity and imiddotrill be additive
to existing prograrrs of tCe lJniversity In direct sp~ort of this
Grat ttc University ~ill provide a) Acmi1istratile costs including
tie of senior officers of ttlt University b) Office ~ld research space
ald library and cor-puttr facilities c) Provision of a1cillamiddotCjr 1niversity
personnel -or consultation o~ ~middotjQrk nth the progral
X Reports end 5evie~-Ts
There i-ill be sub~itt-=i al arnual t2ctnical report for the purpose
of AID s revie- of activities under te Gant Tnis idLl include
a11 e-llation of prcsr~ss aidnistratve ar_c fiar~cial corsicer~tior~s
p~s cr tr foJlJ-middotire ear ~i disctlssics of the ossible l~lizaticn
BEST AVAJLIl8E OOCI1MrNT
~
- 16 -
A~~inistrative O~ganization
Ice Board of Regents of tle State of Im-la
-Iesicent of the University I
1 rOfcst Jf t-3 University
Den College of Liberal Arts
r Chailan DcptiEt of olitical ScieJce
Inter-G~iversity
Acisorr Corcittee
PcgrG21 Director Associate Progra~ Directors
Liaison Arcrge~~nts d ~h I I~~erested Plcfessiona1 I Perso~el j
I _
I 5cu1ti (full or PmiddotLG-tire l Asscci~tes a1d otllei non-Io~il
3ecip5ents of Gr3-1t stPPC1t Gr~cue~~e S t1~lcnts St2~retQi~S1 Data Lbed~1 31
Ln 18 r1icia 1
LO1t c~lce Factcj~1 ts
BEST AVAILABLE DOCUMENT ( ( V-t
- 17 -
of te eo17i~g cCpterce br A I D rLld ethers In addi tion there
aS3essr~ents of the gr31t
middot l ~ lI ~ _ _ _ co~~~r~~ing ~~iversiti~s md tne rrctitoring ALD office
7re l~yersity of Ie~middot~ budget of $26500 is to be deveted to the
cemiddotelgt~e~ of lstituticnal cefete1Ce in comparotive legisl~tiye studies
~t Iomiddota c t~ the exalsi0 ot a date b~L-lt ~ hich 1fill be utilized as
a ecle for icrec3ing te scope of tbe sub-specialty
T - 1 f 1 __ middotja r S Ctdget a9roxir~tly 33- has bee allocated to a
cemiddote Lp~l t rirc ipally C actlty re leased tirre for data ccllection
ai 0 3alres f~r i~~er-ieers in field research 3d secretarial
assi5ta1ce nCt2 11- of t~e Icmiddotre oudge~ is iesignated for an
ArCE_1 A~ite s(101a~middot 2d one 0 ore scnolals froQ LDe or
s1lllrt of greluate stucents in the
BEST AVAfLIlBLE DOCUMENT
- 18 -
Finally approximately 19 of the budget will be devoted to the
proposed data bruL~ that will archive not only data generated from the
research of scholars at Iowa Duke and Hawaii but also at other US
and foreign institutions Primary and 3econdary an~ses of these
data will become an integral part of ~omparative legislative studies
curricula The ability to utilize the data bank for teaching purposes
also should have a significant impact on professional preparation ofmiddot
future legislative specialists In summary the funds will be
allocated to research teaching and training activities tha~ are
entirely conson~~t with the philosophy underlying the utilization of
2ll(d) grants to achieve institutional development
Conclusion
The University of Iowa regards the research and teacbing components
of this program to be closely related an1 zrutually reinforcing The
University of Iowa offers a strong base for the pro~ram because of the
interests of faculty members here now because of their contacts with
scholars in this field in other Americ~~ and foreign universities
because of their experience with the international exchange of faculty
and because of the distinctive data gathering and processing facilities
available in our Laborator~- for Political Research The program which
we have formulated is designed not only to accomplish specific
research and teaching objectives but to contribute to the long-term
development of the University of Iowa in an area in which it has already
exhibited special interest
BEST AVAILABLE DOCUMENT
~ I) - 0
- 19 -
The program on Comparative Legislative Studies with support from
this Grant rill develop the capacity at the University of Iowa to
provide assistance under separate financing arrangements to developing
countries in a number of ways and through a varieiy of channels This
assistance which would be arranged for end negotiated separate~ from
this Grant may be in the form of technical assistance advisory service
training research and information exchange etc It will be available
by mutual agreement to appropriate agencies national and international
public private a~d mixed and directly to the less developed countries
Most especially this added special competence will inevitably become
incorporated through the processes of scholarship and education into
the competence of US and foreign scholars and institutions concerned
with this topic of great significance to the developing and the more
highly developed countries alike
BUDGET SUMMARY
UNIVERSITY OF IOWA
Salaries
Graduate Student Stipends
Fringe Benefits
Travel
Equipment and Services
Other
TOTAL
$173090
32400
19209
13800
6501
20000
$265000
BEST AVAILABLE DOCUMENT
d bull
srjmiddot (~~ jjXilO
IO
rmiddotmiddot ~middotmiddotrl f)~~ 7 middot 1 ~A~~ middot1 rmiddot middot~ rt bull middot bull bullbull I ~ i bull bull ~ middotv- middot bullbull ~ I
1 so bullbullbull l ~--~-- - - ---- ~ V~ i Jlgt ) bullbullbull ~(lr v ~I ( tr_ 1middot-middot 1 bullbull 1
il l~ J
2 c~loto
BEST AVAILABLE DOCUMENT
(C
Dr Willa~d l Boyd Presicient University of Ima iowa City Iowa 52242
Dear Dr Boyd
4 AUG 1977
amp
FIJNDS AVAnASLe CpoundNrftAamp sEIMCEs DMsON
AUG11 ~n te t6417 ~77
Subject bull Supplsectferit-tJF-G~middotNomiddot~middot AIOcsd-3294
t middot-rrPJ1 3
I am pleased to inform you that pursuant to th~ auth~rity contained in
S-cction 211 (d) ooC the Foreign Assistance Act of 1961 as amended a sup
plemental grant in the amount of $200000 is h~reby r~de to University
of rCi1a These supplement]l grant funds areprolided to support the
activities which are described in your Proposal dated May 6 1977 for
the implementation of your program entitled Political Conditions for i
Effective Small-Scale Rural Assistant Projects
---This sup~lemental grant is mace to University of Iowa en condition that
yo~r institution shall administer the funas provided under this Grant fn
accordance lith your r~ay 6 197 proposal (including Budget SUmlilary) and
the Standard Provisions (as incorporated by Amendment No 1) which have
been agreed to by your instit1ltion Ti) the extent of an inconsistency
between the Proposal and the Standard Provisions and any otherprovisfons
which ar~ made a part of thi5 Giant by reference or other~iSe the Sta~d~
ard Provisions shall control
The new Duration Period for this Grant shall beAugust 11 1971 through
August 10 1979
The total amount of funds obligated under the grant is increased to reflect
a new total oblgated amount of $465000
Please sign the Statement of Assurance or Compliance ana the origfnal -
and seven (7) copies of this letter to acknowledge your understanding of
the conditions under which these funds have been granted Please return
the Statement of Assurance of Compliance and the original and six (6)
copies of this supplemental Grant to the Office of Contract Management
Attachment May 6 1977 Proposal and Budget SUfiT1a ry
UNIVERSITY OF IOWA
Roberw bull OBrien fficer
Ce al Operations Division Office of Contract Management
AC~E~E~C--_ 0 BYpoundk~~ cH
D C ~lpoundSTtR5BA T ITL E ( PfeampoidPilt for
tee ment amp Research DATE 9-22 -77 (d~ ~~Bduate Ctl~1e~e
BES i AvAILdLt UOCLJMU~ I
211(d) Grant Program
Proposal of the University of Iowa
POLITICAL CONDITIO~S FOR EFFECTIVE SMALL-SCALE
RURAL ASSISTA~CE PROJECTS
Submitt~Ci to
Civic Participation Division AID
May 6 1977
Amount requeste~ $ 199987
BEST AVAILABLE DOCUMENT
I TdE DEVEIOP~T PROBr~
P~litical Conditions for Rural Development
The Cocparative Legislative R~search Center of the University of
Iowa proposes to ~~dartake a two-year study to investigate the role of local
leaders and the rural public in theimplecentation of small-scale develop~ent
1 projects in less developed countries The study will use and extend the
capacity ~hich the University of Iowa developed under a 211(d) grant to
investigate and assess the impact of loeal politics on rural development
~t the co~pletion of the s~ Iowa will be in aposition to advise the
Agency on the design ~nd evaluation of s~ll-scale projects which will be
politically viabe a~d effective in ass~sting the rural poor ~
As students of development w~ approach our task with the assumption
that the proble~ of development and underdevelopment are funda~entally
ones of political econooy and a~ such can only be solved through a
simultaneous considerationof economic and political factors Efforts
which foc~s aloost solely on economic factors like those of ma~y
organizations engzed in dipersing foreign aid or efforts which focus
almost exclasively on political factors fail to take account of the
interdependence between these two dimensions of underdevelopment and
lwe have for~ulated this proposal in a canner consistent witr the cu~rent policies ard interests of the Agency We have been guided in our tsk by four Age~cy doc~e~ts Impleo~~tation of New Directions in Developnent Assista~c~~~ ~eport to the COmlittee on International Relations on Ilupleoenshytatiun of Legislative Refo~ in the Foreign Assistance Act of 1973 (July 1975) rItevis~d Projec Developiel Review and Approval Systeo (A I DL Circular A-21 Aril 23 1975) SH Butterfield Draft SUIilZ3ry StateUlent of a Practical Agelcy Approach c aural Devalopilelt (AATA February 28 1975) Cicci A Coce~ual Oie=viamiddot middot Rural Development No1 (lWorilting GOU O~ tha Rural Poor February 1975)
- l -
can meec with only l~ted success
Our concern with the i=pact of local politics on the process of
rural developcent is a result of our interest in the basic question of
how LDC governm~nts and the donor agencies which assist them can
become core effective in raising the standard of living of the rural
poor We seek answers to the following aspects of that basic question
1) What political conditions must exist both within rural communities
and between theo and central gove~ents to raise agricultural production
w~ere small-scale agriculture is the do~nant pattern 2) Vnat are the
political conditions for a core rapid expansion of the informal manufacturing
and service sector cocprised of labor intensive small-scale industries
located in the rural ar s 3) What political structures and activities
are mase crucial for the provision of welfare and econocic supporc services--
such as agricultural exeension mar~eting and transportation--to the rural
areas1 4) ~~at Folitical conditions oust exist to insure that economic
growth in the rural areas is not accowpanied by excessive and intolerable
inequalities between socio-economic classes andor between regions1
Center-Periphery Linkage in LDCs
To deter~ne the political conditions for rural development we have
in previo~s s~udies exacined the institutions and processes through which
rural populaticns are integrated i1to the national politi-cal systetlS of
middot~he countries in which they live A gap exis~s in most less developed
countries bet~een the peasantry residing on the periphery and the c~~tral
political ~stiutions staffe1 by ~~estern-educated bureaucratic elite
We are aware of the other major ~sti~utional discontinuities which comprise
J
4 middot~~1 the basic cleavage between the developed and underdewmiddoteloped sectors of
these dual societies Bridging these gaps is essential if these so~ieties ~ are to develop into viable nation states For until those Q~ the periphery
of the poli~ical syste~ participate in that system and support and comply
with the authority of central political institutions neither economic
development in ~he rural areas nor a stable polity will emerge
Bridging the discontinuities in these new political systems requires
establishing and institutionalizin3middot1inkages or networks for co~unication
and exchange of resources between decision-makers at the center and the
rural public on the periphery Three types of institutional linkages are
most prominent in less developed countries 1) those conSisting of the
state administration composed of the bureaucratice1ite 2) those consisting
of a revolutioncry political party cocposed of the ideological elite
3) and those conSisting of patron-client hierarchies composed of the political
entrepreneurial elite
Of these three linkages consisting of the state administration are
the cst extensive and pervasive in virtua~ly every LOC Such linkages
however exist primarily a~ instruwents of the center to penetrate the
periphery Central government officials are formally charged with bringing
develo~ent to the people This is a ~issi~n which conceives development
as a process ~hrough which a traditional peasantry is transformed and
assimilated iJro the DOdern center which is steadily expanding to embrace
it Agents of the center invariably have more resources to achieve their
objectives than do local political leaders but because they are frequently
strangers~ the communities in which they function they are often unable
- It -
co implement the policies of the center without working through the
local establis~ent
Though somctices significant linkages consist~g of revolutionary
party organizati~ns such as those found in China and Vietnam do not exist -
in most IDCs beca1Se of the special historical and e~omic conditions
required for their development As wi~h the administrative state however
the linkaampe apparatus of such political patties is prUlarily an instrument
of the center whose mission is to penetrate and mobilize those onthe
periphery
In contrast patron-client hierarchies are linkages which represent
the periphery at the center and mediate betwee~ these two disparate
sectors of the political systec Thcugh norcallymiddotovershadowed in scale
by the state administration patron-client hierarchies are found in almost
~very LDC a~d constitute the ~st significant network through which rural i
populations and their leaders influence the decision-~king process at
the center Patron-client hierarchies exist in a wide variety of org~iza-
tional fores ranging from info~ ~ec~~rks of individual olitical leaders
in uno-partyll systelS in S~b-SaharaI4 Africa to extensive political machines
in both one-p~rty (Africa Mexico) and ~u1ti-party systems (Turkey India)
Despite their importance as the pricary means through which peasants in
LDCs particiate in their political systems patron-client hi~rarchies
have only recently become an object of analysis by students of political
developent and do not appear in even the most sophisticated studies of
2 See Jo~ Dunca owell Peasant Socie~y and Clientelist Politics Aerican Politi~ Scielce Revietol 64 (June 1970) pp 411-25 Rene Lemarchand anc_ Keith Legg olitical ClienteliSJ and Ethnicity in Tropical Africa Aierican Political Sc~ecce ReView 66 (Y~rch 1972) pp 68-90 James C Scott PatronshyClient Politics a~d Political Change II 1tlerican Political Science Revie~ 66 (~arch 1972) p 91-113 and Friends Followers and Factiols bull edited by Steffan Sc~~d and James C Scott (Berkeley UniverSity of California Press 1977) bull
- 5 -
3 economic development Ad~niscrators of developmental assistance progracs
have too often regarded patron-clienc hierarchies as ~ped~ents to
develop~ent instead of recognizing cheir potential utility bull
~ Findings on Patron-Client Hierar~hies --
The importance of pat~on-clienc hierarchies for linking the periphery
to the center is one of the major findings ~erging from a study of the
relationships betueen l~gislators an~ their constituents in Kenya Korea
and Turkey ~hich the Cowparative Legislative Research Centpr is nov
comleting uader its 21l(d) grant from AID This study has av~mined the
creation of linkages between the periphery and the center through ~ore
than lO~OOO interviews with members of parl~ent local leaders and
peasants in t~e three countries The findings are being systewatically
set out in a book-length monograph Nearly a dozen research reports have -
uready appeared (see Appendix C) ipropositions about the nature of
political behavior of rural populations an~ the roles of local political
elites de=ived from the research~ can be s~rized as follows
1 Elected representa~ives play a significant role in the creation and mainte~ance of linkages be~een the center and periphery by developing local political achines in which they function as patrons of their constituents In turn thay s~rve as clients of political leaders of national stature who control central government institutions
2 By atte~pting to establish linkages based on patron-client relatio~shi~s elect~d representatives are responding to public expectations chat their prizary duy is to obtain resources from the center to proffiote local develop~ent ~iany elected repLesentatives spend most of their time on self-help co==unity development projects such 3S the building of schools health clinics irrigation works arid roads because such projects provide
3For exa~le ~ a widely respec~ed a~d useful analysis of rural deve16p~ent in Sub-Sahara~ Africa L~ Lele of the World Bank notes the problems of creating an adoini5~raive infrastructure in the rural areas that is sensitive to local socio-oliical conditions She does not however consider how local leaders operating o~tside of adcinistrative structures ~ night contribute to the developne~t 0 the rural areas See ~~ Lele ~ Design ~ Rural Develop~ent Lessons ~ Africa (Balt~re The Johns HopkiD~ Uciversity Press 1975) r) pp 127-61 i ~
- 6 -
their const~tuents with desired se~ices ~~d a= the sa~e time provide the reresentatives with an orgacization Yhicn can be used as a political base
3 l-tore than 90 perCel1t of the rural population is capable of articulating the p~oblems facing their local co~~ity and two-thirds discuss th~e proble~ w~th their fellow citizens on a regular basis
4 Three-q~rters of the residents of the rural areas can identify the public ofpoundici~s who serve thec--both civil servants and elected represcrtatives--by na~e Most are knowledgeable about the activities of these officials Alcost one-fifth coreover have discussed co~~~ity probl~ ~ith these officials particularly those working at the grassshyroots level Residents of rural villages actually have a higher level of political knowledge than their counterparts in the towns
5 Elections in the rural areas evoke a highly rational attern of voti~g despite the effects of ascriptive or traditional co~siderations Inc~ens are pri~rily evaluated in terms of their record in fulfilling the public r S elpectations of what they should do Elections are essentially referenda on inc~entsr perfo~ce especially their perforwance in the area of constituency servi~es such as bringing development projects to the districts bull
6 Local developcent projects have a relatively high s~olic value generating conscitutency support for local leaders and the central government at low cost
7 These projects help huild a local political infra-structure which can also be utilizec by central govern~nt civil servants to implement other policies designed to achieve rural develop~ent bull
The Icpac~ of Local Politics on Rural Projects
Having explored the developtent of linkages through which the periphery
is represented at che ~enter and through which the periphe~ attemp~s to
share in the ceners resources we now propose to build upon our initial
investigations by e~ing in greater detail the impact of local political
conditions on specific problecs of rural develop~ent We propose to
exacine the develop~ental activities of local leaders ~nd the rural public
by eX2~Ding a saple ot fifteen to twenty smalL~scale developwent projects
in each of ~he three countries which constituted the sites for our initial
8ESI AVAILABLE DOCUMENT 1 ~ - of
- 7 -
study of center-perhiphary relations The appropriateaess of this approach
and the ~ethodology through which it will be ip~emented is discussed in
section II Because the ~ethodology of investigation is in large part
the result of our previous research experience we fizst turn to a revieW
of the existinQ __ ~petence of the Comparative Legislative Research Center
in this area
II GRAXTEES EXISTIXG CmET~CE
In 1971 the University of Iowa received a 211(d) grant to develop
its capacity to do research on the role of elected represent~tives in
the process of modernization On the b~sis of this grant the University
established a research center which planned and carried out a research
project on the role of elected reres~~tatives as links between the central
gove~ent and rural populations in K~ya Korea and Turkey The project -i
served to develop t~e University of Iowas research capability in this
field esa~lished ties between the University and scholars in the bost
countries and generated a large and uniqu~ body of relevant data
In that project we fo~ussed our attention on tbe activities of elected
representatives in their constituencies notably in their contacts with
local political leaders voters and civil servants To determine tbe
nature of the linkage function performed by tbe representatives we
designed our research to explore the subject from three perspectives
1) we eXaojned ~~a ~ubject at tbe grass roots by conducting a series of
sample surveys of 200 to 300 adults in each of 12 to 14 parliamentary
constituencies in each cf th~6three countries 2) we examined the subject
at the center by intervie -ing MIls from the constituencies in which we
had conducted S3mple surveys ~nd higher civil servants with whom they
had contact and 3) ~e ex~~ined the subject from an inter-~diate level
by identifying aud ~terviewing local social and political leaders in
the MPs constituencies We used survey research methods because we
were embarking on the study of an entir~ly new subject for which little
relevant docu=e~tary data existed and on which there were few secondary
sources As a result ~e have unparalleled experience with survey
research in the rural areas of less develo~ed countries
The surveys which constituted the cajor part of our field work were
planned in collaboration ~~th scholars from the host countries They were
carried out in each constituency by student interviewers in the appropriate
language ~re than 10000 respo~dents were inteDViewed for the project
Given the visibility and sensitivity of this undertaking approval for
the research was sought and obtained from the host governments prior to -i
the collec~ion of data ~o objections were raised by these governments
at any stage of the research The data obtained have been made available
to scholars i~ the host co~cries and some of the basic findings have
been published in periodicdis in these countries
The Comarative Legislative Research Center ~hich ad~nistered the
project has aisO developed extensive experience in the study of political
leadership in other countries It h3s obta~ed substantial support from
the Fo~d Foundacion and the Rockeeller Foundation has worked in
collaboration ~~h European as ~ell as Asian and African scholars and
is engaged in a ajor study of the role of elected and non-elected leaders
in the oanag~~t o~~ocial conflict Because it has conGucted research
in a variey of setlngs the Center has an ~ceptional capacity to
- 9 -
determine how the relationships be~een political institutions and
economic p=oble75 differ in develoPed and less developed countries
In the course of the major research projects the Center has administered
it has gained highly specializpd ~p-i ce iI identifying 1Olitical leaders
in a great variety of settings conducting systematic interviews with
them collaborating with scholars in the host countries and in coding
and utilizing large files of data to answer specific research questions
The Center has ~lso undertaken to publish the results of its research
in three fores It issues codebooks to the data enabling scholrrs at
other locations to use the data expeditiously i~ publishes research reports - in the form of Occasional Papers and it publishes a scholarly periodical
devoted to the presentation of research findi~gs to an inteIT~tional
audience
The Center utilizes the data ~ysis facilities of the Laboratory
for Political Research of the University of Iowa and drawS on the unusual
n~er of secialists in comparamptive politics and survey research in
~~e Lniversitys Departmen of Political S~ience The Center itself I
has the services of an administrative secretary and a clerk-typist
~intains its~o~cn extensive archives and its o~~ publications program
It is e~uipped to assist scholars and government officials outside the
t~iversity of Io~a The participants in its p~ojects are full-tioe
faculty ~e=bers ~hose undergraduate and graduate teaching is closely
related to their research As part of the teaching program the Center
has attracted students from the countries in which the research projects
have been conducted these students have participated in the projects
bull J
have obtained training in other fields of political science have received
University of Iowa degrees~ and have ret~rned to teach and to do research
in their own countries
III PURPOSE OBJECTIVES AID METHODS
Purpose of Study
The purpose of the proposed grant is to extend the capacity of the
University of Iowa to determine the political conditions in the rural
areas of less developed countries which favor the establis~ent and growth
of small-scale developoent projects ~e objective is to put the University
of Iowa in a position to assist the Agency in designing small-scale rural
developent projects providing guidelines for carrying out social soundness
analyses of such projects and adviSing in the evaluation of projects
We will discuss the utilization of~t~e Universitys capacity in detail in
section IV below
We propose to concentrate our investigations on the political conditions
surrounding s~l-scale ru~al projects Such projects have distinctive
advantages They waximize the political participation of the rural populations
both in det~~-ining the direction ~d implementation of develop~ent efforts
and in defending the interests of periphery vis-~-vis the urban-based
bureaucratic elite S~ll-scale projects stimulate entrereneurial activity
on the part of the rural citizens and growth of the info~l canufacturing
and service sector Tbey require less lead tice and less administrative
c~erhead to ~eco~e operational than large-scale capital-intensive projects
centrally administered Such projects yield rapid and direct benefits to
1
j
the rural
- 11 b - ~~1
populations and are consistentwith their hUIlaD rights--both
political and economic However~ small-s~le projects pose s~ecial probl~s for administratcrs of developceocll assistance progracs because
they require the donor co assess the local olitics particularl the
rural politics of t~e host country
Develop~c adoinistrators pr~rily conc~rned with assisting rural
populations must therefore recognize the range of political variables
affectL~g these projects Small-scale projects offer great opportuoities
for develop~ental assistance progr~ because they can be easily targeted
to help rural populacions require low capital costs and need no be
concentrated in one or two localities Such projects ho~ever~ ~equire
the a~istrator to have ~re political kno~lecge than large-scale
projects Oil which his priJlary tas~ is guiding the work of other experts
Questions for ~Investigation
To detercine the politi~al cc~diicilS ~st conducive to ~he establ~~ent
and gro~h of scalI-scale rural projects ~e propose to address our inquiry
to the following specific questions
1 To what extent and why co local political leaders seek to establish s~~l-scale develop~ent projects within their co~unities
2 To what extent and ~~y do local leaders other than politicians initiate andor provide leadership for s=all-scale developm~t projects
3 Bot do the relations bet~Jeel different types of local leaders (political and non-political) and bet~eeo these leaders and central gove~ent civil servants posted to the rural areas affect the conduct of develop=ent projects
4 How do existing authority ~eLationships between these different leadership grous and the rural pub~ic affect the organization and operation of s~l-scale develop~ent projects
- 12 -
~
5 lhlt is the nature 0 pclgtlic participation in the establishlent and operatio~ of s~l-sclle projects and ~hat are the outcc=es or this participatioe Gucer w~at conditions is such participation ~ost likely to occur
We seek a~swe=s to t~cse questio s L order to determine the effect of
different co~iigurations of local leadership and public participation on the
outcomes or small-scale rural projects te are particular1y concerned with
the ~pact of these configurations on the rate of econocic growth and the
distribution o~ rIGSlth ithin the loal cOlllUlity ~ on the perce~tions of
s~ll-scale proj~cts by central govern~ent per~oncel and the rural public
anmiddot on the organiation or flture projects
To a~swer these que~tions it is oar intention to study the initia~ioD
izJple=enation ald i1lpact of a salple cpound small-scale rural projects in
Kanya Korea and Turley in the sae cOllities in which we carried OU
our initial icvestigations ~ 1973-75 Tne relationships between the -
various conf~gurations of local leadership and public participation and
the three phases of project develop~ant are sho~ in Figure 1 We will
exa=ine projects to pro~ote the adoption of new agricultural techniques
by s~l and moderate landnolders the building of feeder roads irrigation
ditches and other s~ple infrastructure the organization of fa~ers
cooperatives and other local associations concerned with rural development
the establish=ent of rural health clinicS and schools and the setting up
of craft and service industries
Sites for Study
We plan to return to our original set of localities because we possess
a rich body of relevant data on the extent to which linkages exist between
Figure 1
TYPES OF LFLUEXCE OF C2r~ middotGOVER1iEXT OFFCIALS
LoCu LEADERS 0 THE RURAL PUBLI-C OX THRr~
PHASES OF RURAL igtEVELOPHET PROJECTS
r----------~J C~ltral Gover1~nt Official)-N------- - J
r- Local pOlitical leaders
Local non-political leaders
~l 1---- -
ROJECT nITL~TIOS
Influ~ce on selection of projects
InrI ~elce on location of projects
Influence on policy guidelines for proj eCl
Il
I
a
I I
-I PROJECT I~L~~iATIO~ ~ 1
j Project Organizati I Selection of project
leadership
Hobilization of resources
Mobilizatiol of public compliance with project require=elts
Diffusion of project innovation
Rural Public
I
BEST AVAILABLE nOCUMENT
1 ROJECT IMPACT
Organization of ongoi=g project operation
Distribution of project benefits
Evaluation of project
Public attitudes toward project
-middot14 -
these areas and t~c central p~litical institutions of the three co~tries
and on the attit~es of the rural populacioc local leaders and elected
legislators regardi~g their problecs of develop~~c Since such data
is unavailable for alternative locales a return to the areas in which
we have previously done much research ~ables us to build on a uniquely
valuable body of icformation
A return to Kenya Korea and Turkey is also highly desirable from
the standpoint of effective research organization The Comparative
Legislative Research ~enter has developed close collaborative relationships
with several highly competent social scientists in these countries and
with the academic institutions with which these scholars are associated
We have also dev~_oped cooperative relatio~ships wi~ gove~ent officials
in these countries which should facilicate obtaining approval for our
further work
In proposing to doc~ent the origin i~pl~entation and impact of
one to three s~ll-scale develop=ent projects in each of 35 localities
we have two considerations in mind Firstmiddot because our pr~ry goal is
to deter~e the political conditions for rural developm~Lt we wish to
examine develQ~=ent in as many different settings as feasible Only in
this way can we control for so=e of the major socio-cultural variations
that erist along rural populations in less developed coultries These
include the overall level of econo~c development in the co~unity the
nature of t~e ~digenous culture an~ relationships of authority and the
pro~ty of the comounity to major urban areas and centers of central
gove~nt ad=inistration ~ce our original study sites were carefully
BEST AVAILABLE DOCUMENf
- 15 - ~ ~1
selected to represent these variations ye have concluded that these
35 localities woule be ideal sites for the propose~project Second~ in order to dete~~~ the ~pact of local leaders and public
participation o~ ~ural projects we intend to compare projects 1n which
local leaders and ~ecbers of the public have played a major ~ole with
projects in which they have not We also ~l cospare projects initiated
by the central gover~ent with projects Yhich have been locally initiated
These considerations give us a typology for selecting projects as depicted
in Figure 2
Figure 2 ~
FIVE TYPES OF RU~AL PROJCTS ACCORDIXG TO ~FLUEXCE OF CEITiW
GOVE~1E~T LOCAL LEADE~ AD RLRAL POULATIO~
Level of Participation by Rural Population
Locus of Project Initiation ~
Local Co=unity Central Governoent
BIGd
LOt
1 Projects initiated by local leaders and providing for participation of the rural ~opulation
4 Proje~ts Litiated by local leaders bu~ not involving participation of the rural population
2 Projects initiated by the Central Govern~ent and administered i~ cooperation with local leaders a~d the rural population
3 Projects initiated by the Central Govemlent and providing =or the participation of the rural population but by-passing local leaders
5 Projects initiated by the Central Gover~e~t a~d administered in cooeration Yith local leaders but not involvi~g parti~ipation of rural population
- 16 -
We recognize that the socio-cultural setting of rural develoment
projects varies significantly within and across less developed countries bull
By focussing o~ a representative sa=ple of localities ~ Ke~ya~ Korea
and Turkey we can take account of naoy~ though not all of these variations
While some of our substantive findings will not be directly generalizable
beyond the countries in which we propose to conduct our study we expect
that our basic ~ethods and fLdLgs will be applicable to national and
sub-national settings elsewhere in the developing world This is partly
d~e to the fact that the hierarchy of patron-client relations ~hich we
regard as a critical factor in rural develo~~t exists in ~ost Liles
--It is also due to the fact that the methodology for identifying local
bull leadership configurations auG poundor studying local politics which we are
perfe~ting can be used to assess local political co~ditions in a large
variety of countries even when the ~nditions themselves differ significantly
Methods of Investigation
The data needed to assess the iDpact of local leaders and mass
participaticn on rural dev~lop~nt fall into two categories Some a~e
contained among the data gathered for the research project we are currently
completing Others will require additional field research
The following data are already in hand
1 Data on the social landscape of each loc~l co~nity i~cluding aggregate data o~ level of econonic development de~graphic characteristics political pa=ticiation eth~ic loyalities and rates of socio-econocic change dur~g the past decade bull
2 Identity of local leaders including both political and I-on-political leaders and both legislators and other politicians
3 Perceptions of existiag probl~ and their possible solution a~ng
l)tS r AVAilABLE DOCUMENT
- 17 -
general public local leaders and civil serv~nts
4 Level of political kno~ledge among local citizens and local political leacers
5 Political and social values a~ong local ci~izecs and local political leaders
6 E~~ectacions of leadership roles among the local public and elected and non-elected leaders
7 Patterns of co~unication ~ong local leaders and between local leaders and the central gove~e~t
These data ~hich ~e already have in hand can be subjected to analyses
which ~~ll provida the foundation for our further work on rural develop~ent
projects A part of our work therefore will consist of fu~ther analyses
of existing data
New data of the following kinds are also required
1 Doc~entary data on the origin and evolution of particular smallshyscale develop~cnt projects in the rural areas
-2 Data on project costs boih ~itial invest=ent and recurring
operating costs and data on project ou~puts ie pupils in schools Ddles of road coopleted nl~ber of hospital a~ssions production of factory agricultural productivity
3 Data on project organizatio~ n~~r of local inha~itants participating in establis~~ent of projectt nuober of local L~habitants subsequently involved in project
4 Data-on the pe-cetion of projects by local leaders emers of the local public a~d by civil servants data on the perception of how each project ~as initiatec organized who benefitted and what its future implicatio~s are
These types of data will requ~re field work involv~~g both docucentary research
at the relevant ~istries of the central government and in local goverr~nt
authoritieS and inforoal open-ended interviews with local political leaders
elected representatives and other local leaders who~ we had previously ~
interviewed in a s=uctured syste=atic =aoner
BEST AVAILABLE DOCUMENT
- 18 -
Grant Organizatio~ and T~etable
We propose co undertake the research outlLled above beginning in the
fall se=ester 1977 Dur~g that te~ Professors Barkan and Kim as
principal investio~tors for the neo1 proj ect will contact their collaborators
in the host co~~tries They ~~ll also seek the collaboration of an additional
~rican scholar specializing in rural development with the aic of getting
additional advice on sources of data and suitable indicators for the
~easure=~~t of rural develop~ent projects
At the end of the fall seQester Professors Barkan and Kim will make
a trip to their research sites to disc~s details of the research organization
with their collaborators in the host countries and to recruit student
assistants Tney will devote the spring te~ 1978 to further analysis
of a~sting data at the University of Iowa
The gathering of additional dita L~ the field will begin in the s~er
of 1978 Professors Barkan and Kio will direct this work personally We
eAect that its coopletion ~~ll require three to six months This work ~1
involve the evaluation of central and local gove~ent reports on the
projects uncer investigation extensive on-site observations of the projects
and oen-e~ded interviews with the principal participants Our principal
respondents ~i1l be the local leaders and elected representatives we
have previously identified in the localities in which we have worked and
a sacple of active participants in the particular dpvelopment projects
being studied ~~ere necessary and apropriate surveys of the general
public will be uncertaken to assess the inpact of a given project on the
rural por)r We do not however leed 0 conduct systeAlatic sample surveys
BEST AVAILABLE DOCUMENT
- lY -
of the rur~l population as We did in 1974
In the organization of this research project we intend to reconstruct
the rese~rch tea=s ~e e=ployed during 1973-75 We shall again seek the
co11abo=~tion of P~ofessor Sc~~S-7o~g Pai of Seoul National University ~
Professor IIiCr Turan of the University of Istanbul and Professor John J
Ok~u of the U~iversity of ~arto~ S~ilarly w~ contemplate directing
the field research fro~ he same acade~ic research organizations we previously
used Seoul National U~ive~sity th~ ~~iversity of Istanbul and the
Insti~ute for Develop~eut S~udies University of Nairobi As before we
will tra~ students f~oo these institutions to serve as interviewers
The analysis of the open-ended intervie~s and of docUQentatio~ on
I ~ural develop=e~t projects will be a ~ore t~e-co~s~g process than the
analysis of closed intervie~s It will reqrire a high cotnittl~t of time
fron the principal investigators )e e--pec to hold a conference at the i
U~iversi~y of Iowa 3lO1g all the principal )clticipa~ts in the resea~ch
project d~=~g t~e spr~g 1979 to evalua~~ the newly collected data
le e~ pect to be able to vr-ite reports of t~ results during the Sl1~er 1979
(see Figre 3)
IV LlX-GS ~1) U~ILIZATIO~
At the e~d of the grant period the Uti ersity of Iowa will be able to
1) advise the Agalcy 01 the design of s~l-scale rural projects to assist
the rural poor 2) provide guidelines for social soundness analysiS of
small-scale projects for the rural areas of U)Cs 3) consult w~th the
Ag~tcy 01 the evaluatiol of rural projects ~d 4) provide LDe governments
BEST AVAILABLE DOCUMENT
)ATES
~lll
1977
~inter 1977
iprilg 1978
il mer 1978
~all
1978
ipr~ng
1979
Imiddoter 1979
University vf Iowa
Plutlning of rural develo~rent project
Barkan Kil
Alalysis of existing data
Barkan Kia
Data processing
3arkan Kin
1
I
- 4 -
Figura 3
GRAT TLfETABLE
SIT E S
Kenya Korea Turkey
Preparation of field research ural developH~lt project cOlisulta~io~ a research sites
BarkanOku=u Ki~Pai Tura~rkanKi~
Preparation of field resea-ch
Tural
Field research on rural cevelop~~t projects Bar~lOk~u Ki=Pai Turan
Co=pletion of Co=pletion of field resear~~I~ fiald researcr
Ok~u i Pai bull
f Coopletion of field research
Turan
Data analysis conference a~ong all princial i~vestigators at Un~versity of Iowa Barkan Kil Oku=u Pai Turan
Co=letiol of r~ral develop~ent
project
3arkan Kiz
BEST AVAILABLE DOCUMENT
I
- LL -
~ith speciali~cs o~ ru~al developcect ~mong their own citizens ~ho ha_
partcipatcd ~s collaborators in the Iowa projects
In the proposed project we Will test a series of hypotheses cOlcerning
the political cOllditions of rural develo=ent which run counter to CODOn
assuoptions conccrnir3 t~~ influence of rural politics on project effectiveness
As a result ~e ~dll be able to assist the Agency in designing and evaluating
such projects froe the point of V~~W 0 their political viability The
hypotheses We will test sugges~ t~at the patron-clie~t relations existing
in the local politics of zost LDCs are not necessarily i~pedients to rural
develop~ent but are aspects or the political structure which cal be used to
facilitate s~ll-scale ru=~ projects which will raise the standards of
living of _ ~ rral pomlation - As ~ result or our stuey we expect to be
able to P~-O~t the local leadership confi5~rations ~4d the relationships
between local leaders ald rural poclations ~nich are oost conducive to I
successful develcp=en efforts We believe that we will be agtle to perfect
a cat~odology for identifying the political conditions for rural develop~ent
one ~hich is transferable pound~oo the countries we have specialized in to
other LDCs
We proo~ to develop specific guidelines to assist administrators
charged with selecting evaluating and =onito~ing rural develop~ent
projects to ~szess t~esc rojects in tares of their-social and political
viability he outco~e of such projects is dete~ned not only by the
efrectiv~nass ~~=h ~hich they use scarce econo~c resources but by the
~~er L~ w=ich they e~gage the suppprt of local leaders and rural
po~ulatiocs~ by thei= effect ou social a~d econo~c equality ~d by
D[~T AvAlLA8LE DOCUMENT
- 22 -
their consequences for hwan rights ~Je plan to establish criteria by
middot~hic~ the probable outco~es of projects in these social terms can be
anticipatec
The study ~e propo e will be undertltlken by faculty at the Cniversicy
of lowe in collaboration with faculty a other ~rican institutions and
institutions in the host countries We will build on the extensive contacts
between the Co~perative Legislative Research Center of the ~niversity of
Iowa end other instituions with ~aich ~e have worked One =ajor result
of our collaborative study will be the existence of a net~ork of compe~ent
scholars both in this country and overseas experi~lced in ~orking together~
shar~g a co~on teaching and training experience i~ close contact throu~~ the
effective publications progr~ developed by the Co~parative Legislative Research
Center T~e e~~ertise of this group of individuals will be ava~lable to
oteer scholars to the Agency and ~o L~C governments for specific policy
advice The eXertise developed as a consequence of this project will
extend beyond the ~tionals of the countries ~volved since the univ~sities
engaged in ~e project attrtct stude~ts fro outside heir own countries
For ey~=ple the teaching ~d research progra in the Depar~ent of Political
Science 0 theUniversity of Istanbul heavily affected by the participation
of its facul~y ~e=bers and graduate students in our projects attracts students
throughout the ~middot1iddle East for Whom the University of Istanbul is the iajor
institution ~pound ~igher education in the region rne Institute for Developmen~
Studies is si=ilarly a focal point for students and faculty in East and
Central Africa Seoul ~atiocal Unive=sity attracts students froo other
Asia~ co~tries~ In this way the capability developed among the participant$
BEST AVAIL~BLE DOrUMENT
- ) -
in our work is diffused widely To the exte~ that the abili~y to assess
rural develop~ent p~ojects in teres of their social soundness is increased
both in the United States and in ~o~~tries r~ceiving develop=en~ assistance
the cap3~ity of racipien~ countr~es to absorb aid is ~creased
We propose to draw up an inventory of personnel available in ~~e
Cnited States and in other co~~tries who are able to consult with developen~
a~nistrators on the design of rural development projects and on their
evaluation We ~~ll draw first of ai~ on individuals w~o have been
directly associated with our ~ork in the past or on ~he proposed project
and ex~~~d the list to include graduate students and gove~ent officials
with who~ these individuals have wor~d
tole Yill utilize tha existing publication program of the Center
dercribed above to disse~inate our findings The Center has specialized
oailing lists of interested individuals and institutions in all parts of -i
the world and its reports can trerefore reach the ~st relevant audience
jirec~ly ~d re~~arly
BESl AVAIL~BLE OOCUMENT
CONTRACfjGRANTCOOPERATIVE AGREEMENT DATA SHEET
INSTRUCTIONS fjDW Complete 4 copies of the form Original SERCMSDSUP Statistical Section Copy Copy 2 SERCMSIiUP dministrative Copy opr 1 Contracting Officers COy COP) 4 SERCMSDSUP IUmin (Suspense) Copy
Missions Complde 2 copies oi the form Origin31 SERCMSDjSUF- Statistic31 Section Copy 3n~ Copy 2 Nill be ret31ned in the Missions
PART fA
ConU3lttorGranrce Name
University p~f~I~o~wa~ __ -r~ ____ ~~~~ __________ -~~ __ ~~~ ______________ ~~~~ Plorr Numt-er ApptopriJtion Number Allotment Number Project Number
930-0090-3Q13411 A5 72-111l0216 146-30-099-00-20-11 930-0090 Project Title
So~ia1 and Potitica1 Aspects of Development - Conference to Report Research Findings Amount of this Plorr I Projecl M3nagers Name and Offire Sytlbol
$10397 (increase) PDPRCP Jonatlan Silverstone Contr3ctors D-U-N-S Number
Ncgwatocs TYJlCd~3meJ j) Signature I l ~ jIf- bull G HtJ--ft u l IVmiddot
D~e
L - f - J ContractGrant Officqs typed Nailllt Signalure LJ d I -r-
plusmn t 3i-alflpta (( BLvle~ 1 I~ PARTm
ContractGranl Number
AID CSD-3294
Effeclive Date of Docum~nl Signalltre D3t~ of Documenl
Lf---C yen-~-gl tIost Courtry Institution (U iwrsity contract ONL Y)
Campus Coordinator (Uniwr ty i contract OiiL YJ
PART UL Descriplion of Cor-tractGrant P1use X ONL Y ONE item under each headiZg IF THEltrease CifYmC~e bolh ges I 30~~ O~ Nol to be completed for Amendmenl or Modlfic3lion AJigtns I III
J 710gt I I V ~ I
MOl - TYPE ACT A~ 0 G unsolicited Propsll (AIDIR 0 C Individual (Non-pe~nal senice)
~ O Cortra lGrantl ooperative Agreemenl 73101-SO(b)(6raquo 0 D Individual (ftrsonal Service)
tJl T3sk Order ( A)middot 0 H Procurement 10 be Perfocm~d by the Conmiddot 0 E UniversilyOther FAuC3lionailnSlitulions
D 2 Work Order (IQC) Ira~lor in Person (AIDPR 0 F Non-Profil Organizationlnslitutions (other
D 3 Delivety Order (Requirements) 73101middotSO(b)( Iraquo than Ed or PVO)
[j 4 Purchase Ordcr [J I Sole Source (AIOPR 7-3101-SO(b)(4)) 0 G Private Volunury Organization (PVO)
If I 2 or 3 1Lle an ~ compllle M 12 ON Y D J Imp3irmenl of Foreign Policy Objectiws 0 H International Agricultural Research Organj-
M04 - CONTRACTGRANT TYPE
o O MOA (BOA BMA etc)
o I Fixed Price (Specify fFP FPRD FPEPA FPI) _____ _
(gtIDPR 7-31 OJ SO(b)(7raquo
OK B(a)5eJection (FPR 1middot1713-1)
o L Grant iH1ndlOok 13)
o M Do Nol Ue
D 2 Cosl Reimburemenl (S~cil) CR CPFF 0 N Cooperative t~reement (Handbook 13)
CS CPAF CPIF) ~ 0 O Small Business SeImiddotAside (FPR 1middot1706-8)
o l Cooperative Agreemenl ~ 0 1 Overseas Procuring AClivilies (AIDPR
04 Grant Gener31 Supportmiddot 0U ~ 7lIOI-SC(b)(2))
o S Granl - Specific Support ~ ~06 E SER VICE
g ~ ~~t ~~(d) ~~ ~~ ~ eci~a~~~~~ogram Projeci
o amp IQCs ~ ~ relampted excepi A amp E Services)
o 9 Host Counlry ContraclGrnnt 5lJ C amp E Services
middotComplele ONLY through ~Sl ~~ 0 D Construction
M05 SELECTION PROCEDURES 0 E- Reseuch
o A Formally 3dverliscd (IFB) (A1DPR 7middot24 amp
FPR 1middot24) ~ o B Negoli3ted Price Compelilicn Gencr31
Procedure (RFP) (-JDPR 7456)
Dc A amp E (AIDPR 7410)
0 D Ed Inst andor Inl1 R~arch (-JDPR
74 5)
o E Collaboratoe Assisunce (IDPR 7458)
C F Predominant Capability (IOPR
73IOI-50(b)(l)
AID 1420-49 (179) - Page I
D F Technical Services to AID (other than trainmiddot
ing usually o~ating expense)
D G jraining SetVice for AID
o H Equipment Materi3J~ Supplies Commodities
D I Translation Service
~07middot TYPE CONTRACTORGRA-nEE
o A Firmmiddot AU profil-rn3king fUms (other than
Aamp E)
J e A amp E 8r~
zalion
o Public Inlmlational Organizations (UN
Agencies ICRC Wocld Bank elc)
(H8 J 3 Chapt~ S)
M08- TYPE AW~RD
o A S8 Sel-Aside - Awarded to Non-Minority
o B S8 Set-Asidemiddot Awarded to MinXity
o C_ S8 NOI Set-Aside - Awarded to Non-Minority
o D S8 NOI SeImiddotAsidemiddot Awarded 10 Minority
o Eo amp(a) S8A Awarded to Non-Minority (Womerl-
Owned Veterans etc)
o F 8(a) S8A Awarded 10 MinorilY
o G Personal Sen-ice ConlrdCt bull Non-Minority
o H IeJSDnal Service Conlract - MinorIty
o I Individual NonmiddotPersonal Service Contraci -
NonmiddotMinority
o J 100Jigtiduai NonmiddotPersonal Service Contracl -
Minorily
o K NOI Small Business (Univ NonmiddotProfit Large
Firms) Non-Minorily
o L- NOI Small 8usineSl (Univ Non-Profit Large
Firms) Minorily
o M US Govcrnmlnt
(Connnued on Page 2)
BEST AVLABIE DOCUMENT 1 I
--
ua ) R I GI NAL 9 bull
MODIFICATION or GRANT PAGE 1 of 2
AH 1 2 Effective Date 3 Grant No 4 Effective Date
Amend_at Ro 5 April 15 1981 AIDCSD- 3294 8-11-71
-s CRANTEE (Name and Addrea) 6 Administered by -Professor Gerhard Loewenberg -Office of Contract Management Cbrnparative Legislative Research Gente Central Operations Division Dept of Political Science am Branch University of Iowa Agency for International Developn~nt Iowa City Iowa 52240 Washington D C 20523
7 PIO No 930-0090- 3013411 A5 8 Previous PlOTa -
Appropriation No 72-11110216 93i-1l-995-l36 930-11-995-136-73-3078103
Allotment Symbol - 146-30-099-00-20-11 wunt Obliga ted by this ~ndrnent - $10397
The above numbered Grant is hereby modified as follows
1 Anotmt obligated prior to this rurendment 2 Amount obligated by this amendment 3 Total obligated anount (1 amp 2)
Delete the amJmt $465000 and substitute in lieu thereof the ammnt I$47S 39-7 ~
FUNDS AVAIrABm
~~ - APR 13 1981
PrO~A~~5iors
$465000 $ 10397 $475397
OffiCE Of fIN~(1 ~~rE~E~T __ _ 10 This amendment 11 entered into puruant to the authority of the Forelgn
Assistance Act of lS~l as amended Except aft hereln provided all terms and ~~ndi~ons nf the grant rcferpnccd in Block 13 remain unchsnged and in full force and ~ffcct
11 original and six Crantee 18 requlred to aign thh document aad return 1- eopics to issuing
ffiee
~~~ or printed) BUSINESS MAHAGR amp bull
Tille TREASURER
UNITpound) STATES OF AHERICA AGENCY FOR INTERNATIONAL DEVELO~NT
BY_-1(1o-_1lt--= 13middot~_1_~ __ K R B1uteau
(Name typed or printed)
Tltle~ ____ G_r_a_n_t __ O_f_f1_c_e_r ____________ __
D3tC APR 2 J 7997 Dolt 9 APq 1981
BEST AVAILABLE DOCUM NT ___ 0 HLGlNAL - I 1 J 1 ~ )
- 2 -
AID ftmds in the am)tmt of $10397 are hereby provided for the activities lmich are described in your proposal (including Budget Stnmnary) entitled CDnference to Report Research Findings on the Study of Political CDnditions for Effective Small-Scale Rural Assistance Projects in Kenya Korea and Turkey dated February 17 1981 and made a part of the Grant b reference
BtTDGET StMMARY
Line Item
Travel
Per Diem
Other Direct Costs
Less existing 211 (d) grant funds
Total Amount Obligated by this Amendment
Estimated Costs
$ 5888
5100
_ 2500 $13488
_ 3091
$lO39
Note Indirect costs or $395086 associated with these activities will be contributed by the University of Iowa
BEST AVAILABLE DOCUMENT
~RIGINAL
- CONTRACT IGRANTCOOPERA rIVE AGRElEMI~ SERC~SDSlP Actio) Monitor
SERCMSDSUP Action Office
I
INSTRUCTIONS AJDW - Complete 4 copit of tlh fonnmiddot Orisina iCMSDfSUP Sutistical Section COP)middot Copy 2 SERCMSDjSVP Administrative CoP Copy 3 Cont-acting Officers COP) Copy 4middot SOSUP Admin (Susptnse) Copy Missionsmiddot Complete 2 copies of the form or~aI SERCtSDSUP Statistical Section Copy and Copy = wiU~ retained in the Missions
0 PART IA
Effective Date of Document tJ
Delivery Order (Requirements)middot
o 4 Purcluse Order
bull If I 2 or 3 have an bull X compl~te M I 2 ON L Y
M04 - CONTRACTGRANT TYPE
o O MOA (BOA BMA etc)
o 1 Fixed Price (Specify FFP FPRD FPEP FPI) ___ _
o 2 COli Reimbursement (S~cifY CR CPFF CS CPAF CPIF) ______ _
o 3 Cooperative Agreement
o 4 Grantmiddot General Support
o S Grantmiddot Specifi Support
o 6 GraDt 21 led)middot
o 7 Do Not Use
o amp IQCs
o 9 Host Country ContractGrant
middotComplete ONLY through M 5 1
MOS SELECTION PROCEDURES
o A Formally advertised (IFB)(AJDPR 7middot24 amp
FPR 124)
o B Negotiated Prire Competition General
Procedure (RFP) (AIDPR 7456)
o Co A amp E (AlDPR 4 I 0)
o D Ed Ins andor Intl ReStalch (UDPR
7457)
o E Collaborative ASSistance (AIDPR 7458)
o F Predominant Capability (AIDPR
7-310l-50o)(3)
AID 142049 (1-79)middot Page J
o H Procurement Co be Performed b~ the Conshy
tra~tor in Person (AlDPR
7middot3t OI-SO(b)(Iraquo
o I Sole 5gturce (AIDPR 7middot3101middotSO(b)(4raquo
o J Impairment of Foreign Policy Objecdv~
(AIDPR 7middot310 ImiddotSO(b)(7raquo
o K 8(a) Selection (FPR 1middot1713-t)
o L Grant (Handbook J 3)
o M Do Not Vse
o N Cooperative Agreement (Handbook 13)
o O Small Business SetmiddotAside (FPR 11706-8)
o P Overseas Procuring Activities (AIDPR
7middot3101middotSO(b)(2raquo
M06middot TYPE SER VICE
o A TtJining of Participants
o B Technical Assistmce (Program Project
related exc~pt A amp E Services)
J C A amp E Services
0 D COltl~ruction
0 E Research
0 F Technical Services to AID (other than trainmiddot
ing usuaU Y operating ex pense)
0 G Training Service few AID
0 H Equipment Mat~rials Supplie~ Commodities
0 I Translation Service
07middot TYPE CONTRACTORGR TEE
Firmmiddot All profitmiddotmaking fu-r1s (other than
AampE)
o 9 amp E Firms
I Prcct NumbcT
I
Contactors D-U-N-S Numbcr
I) -S--f(j
o C Individual 0-lon-~rsora1 service)
o D Individual (Pet-sonal Service)
o E University lOt her EduCltionaJ Institutions
o F Non-Profit Organization Institutions (other
than Ed or PVO)
o G Private Voiuntary Organization (PVO)
o H International AgricultwaJ Research Organmiddot zation
o I Public International Organizadon~ (UN
Agencies ICRC ewld B3J1k etc)
(HB J 3 Chapter 5)
M08middot TYPE AWARD
o A SB SeImiddotAsidemiddot Awarded to Non-Minority
o B SB SetmiddotAside bull Awarded to Minority
o C SB Not SetmiddotAside - Awarded to Non-Minoril)i
o D SB Not SetmiddotAside - Awarded to Minority
o E ~a) SBA Awarded to Non-Minewity (Womeli
Owned Veterans etc)
o F 8(a) SBA w-rded 1o Minority
o G Personal Service Contractmiddot Non-Minority
o ~ Personal Service Contnct - Minority
o I Individual Non-Personal Sence Contractmiddot
NonmiddotMinority
o J Individual Non-Personal Service Contractmiddot
Minority
o K Not Small Business (Univ Non-Profit L1lge
Firms) --vn-Minority
o L Not Small BUSiness (Univ NonmiddotProfit Large
Firms) ~inoriy
o M VS Government
(Continued on Pcge 2i
t bull - t ~ J f q
ORIGINAL bull MODIFICATION OF GRANT
1 2 Effective Date
Araendllent Ro 4 12-2-80
s CRANTEE CHace and Addrels) Professor Ger1ard Lo~middot enbelg Comparative Legislative Research Deartment of Political Science The Lnivp-rsity of Iowa Iowa City Io~a 52240
7 PIO No NI A
Appropriation No 72-11XHl26
Center
Allotment Symbol -426-30-099-00-3~-71 Amount obligated by this urendment-O- I
3 Gnnt No
AIDcsd-3294
PAGE _____ 1 _of-L
AlI 4 Effective Date
8-11-71
~ Admlnlltered by -Office of Contract Management Central Operations Division OTR Branch Agency for International Development Washington DC 20523
8 Previous PIOITs -
931-11-995-136 930-11-995-136-73-3078103
9 The above numbered Grant is hereby modified as follows
Supplement to Grant
Change the duration period sentence to read
The Duration Period for this Grant shall be August 11 1971 through December 31 198]
1 Amount obligated prior to this amendment $465000 2 A~unt obligated by this amendment -0-3 Total obligated amount (1amp2) $465000
----------------_- - ------- ----_- ------ 10 Thh lImcndmcnt is entered inlo punuant to the authority of the Foreign
~ Assistance Act of 1961 86 amended Except a~ h~reln Z II provided all terms and condi tions nf the grant referenced in Block 3 remain ~~aunchlinged and In fu1l force and effNt cnltUI cJ)za 11 o 4 J bull
Et~ ai~a gtUoItshyc Z P=u
original and six Grantee t requi red to sign this document and return 1- eopies to 1Bufng
office
~ 12 GRANTEE TES OF AMERI CA
(Name typed or printed) bull
TJlle Director Comparative Legislative liecearell CeQtoQl
Date 12880
------------------------------------
ONAL DEVELOPMENT
By ----~--~~~~---------------------
prinled)
Grant Officer Title --------------------------------
J)oll( 12-2-80 -----------------------------
BEST AVAILBLE DOCUMENT i je
- 4 -
2 Incr~asilg the e-istirg skills e1d redirecting the interests
of dc~estic ~i foreign sc~olars to the comparative leg~slative field
rne Univer3i ty 0 I01[ generally ~rill be erric~ed by t1e presel1ce of
these scholars a1d its ccr~arative leBislative prcgraIl in particular
~middotTill be ennalced by the nemiddott kl1o~ledge that is generated
3 Cooperating id th a11Q other-ilisc facili teting the ork of scbolars
of less developed cOll1tries in rultidisciplinary ark at the Univeisit~r
of Imla en the rcle 0 legislatures in the charlcter of regire legitimacy
as -ell as on re developCent cf a cetralized data bmli at Io a asse~blilg
raterials on legislatures a1d develoent tre logic behind the bank
a1d tile techniques related to its use
4 Diffu~ing relevant ~et~odological ~1d ccrc~ptual teals in less
deelo~ed cOlUltries through the loove enrichent and redirection of
indiviQual~ and t~e ~evelcp~ent of the data b~k) thereby =ultiplying
bott ihe qumity cud quali-vY of the researcl~ frcm which existing
curricula at Io~middotw can be expanded and re curricJla dtveloped
5 Increasing the size of tJe imrld~ide pool of professional ad
expert consujtants ~lalable r-ot only to IO~il Du-e 81Q Hawaii to dra-t
en but also to AID in the pursuit of sev~ral aspects of its
6 Creating nullgli th~ p~ogral at the Univers~ty of IOa the
substance of a stbJisciplire and in cooperation odth similar prograos
at other ~imiddotelsities 811 organizatic1al Gtlucttltre ~nt ca ~vbilize
continuine i1t~-rtiorr1 intrest i1 a11d sapmt fron orgaiations
interested il deveJopr-ent
BEST AVAILABLE DOCUMENT
1(1 1
- 5 -
itl Suppor- f~ctl this Grat tre University of lei-Ilt ~dll cO1centrate
e1 fclts in this prcge~ en legislative behavier variables tat telp
e91aL ~hee specific 3sten cha~a~teristics 1) the scpe of olitics
2) e style IJf goverQent ~tnd 3) the legitirlacy of the regine For
tis l)1lpcse te gtrcglam -rill ex~e releva1t coparative factors il
a lage nlt=~er O~~ African and Asian legislative institttions The
Univcsity of lO~middotIa ~lill also uldertslte the study of these legislatures
at -a~iClS cLts in tire This ~lould gtequie the use of time series
cat t1G historical SClrces not cctl9arable to contempOral7f sou=-ces of
Fe each of te legislatures included for study Ima -iill seek to
a1al~ze suc] cbractelistics of t~e legislative systen as 1) the
atricutes cf ecers--te process of their recruitment their so~inl
~c cccupalonal backgro-lI1ds their politically relevant srills their
role c~ie1lttio1s inclcirg ht~ir concept of represeILtation and the
pe~pound~ge 1~r5th 0- tente in tbe Ipgislat~re 2) t~1e distribution of
the f0~al 211 inforl rales of 2ocedure the leadersnip groups the
cr-osi tio1 and role 01 legisl3tire staffs a1d the kinds and freqlelClJ
of legisative sessic~s 3) the ~utputs of the instituticn--the agenda
of issues tre modes c- cotenticn el1d the qU11titr and kinds Jf
decisions
)middotemiddoter llllike studies of ~hese fctors in the past Imla is
BEST AVAILfBLE DOCUMENT
- 6 -
The for~Ietic1 0 tneol-y lO this coarative 8seerch of
Tiiill ~erdt equivalent cmiddotoss-sy-ste~ ~easuelents are 8O1g te r6st
irpctant aSgects of tle prcject It r2y be one of the ~c-st valuable
esllts of Io~a I s efforts ad ~dil reCuire close collGbor-tion arong
t~e pa~ticipents bull
p_ Cc=-arative Legislative Research Archive
lltOle a subsb Tltial aolIlt of legislatie data has been collected
in a1j- different cOL1tri8s very little of this iateriul is cOJarativE
1middot-s of it has teen collected by individual reseachers on e single
CQl~ty Cc~adson in legislative research is thus difficult because
=2 01 r3j cClalties are ot available at a sirgle location in s sLgle
is a clear ~eed for the ce~t~alizGd acq~sition ~ or ~ne
available data to per t the forulaticn and compGrative testlg of
~eorics aoc~t le8islativ~ behavior As a major part of this program
te Uive3ity of 1mmiddote 9poundlS to establish a data arch-e to begir to
big te existing legislative sttiies tcgetber at a sirgle location end
to ~-ke ~i~er ~ccessible +0 the grm-ing 1unoer of irterested scbolals in
Once J~1ese data have O~en brOght tcgether tney will contribute to
-~ pogram t IO~middotia in -I~middotiO -poimiddottant ~middoteys First the dats -Till be
utEized in traLig graduate stud2nts T1e rea13lysis of d~ta to test
BEST AVAIL~BLE DOCUMENT ( 1 t
- 7 -
faculty at the University of Imllt1 and from omiddotrerseJs tlitbout slch an
acbival base those dtdies Ylould be ver lil1ited in the hypotheses
ter could test The quali ty of this re search eqerience fill be
(o1siderably enha1ced by the aVJilability or data for co~arison dth
t~e data generated thlcugh the ccllaGorative research sponsored by the
traini~g progca~
Once gathered a~d refo~tted the data ~~ll be ~ade available to
sc~olars students al1d other interested persons outside of tre University
of Io ra P(r exa-nple appropriate data sets would be available to other
llsti utions tat pre ccoperating in t~is program ie Ha-waii Clla De
~ese could tten be used in curriculul developent at tbose schools as
middotell as Ll the pre-grar at the UJiversity of Imre Finally data could be
aie available to i1di-idlal sc~olars and institutions overseas for use
1 teir research a~d trailing progrems The cUIlulatiie effect of this
disse~lilation and staring of data ~i11 be an enrichme~t of research an
Llcreased flO-I of ne data to the Uriversity of Iewa I3Jld a greatly
ena1ced ability at Iowa to aalyze legislative behavior a--d defelopnent
f 1ssociates
The University of Iowa d31 involve as Associates individual US
arc ~ereign Rcolars fro~l other instibticns in some instances fOl
cc-ivities at Iovll in others as recipents of support Oi research and
oter aciivities middothich coqlement cnd emic1 the program at o a These
Associa-es rill be involved in such activities as ser-lfing es University
of IOim g-uest professors 5~St lecturers 1d visiting faculty
lticipel1~s L ccnfiences and s~riosia and as collatJoratiEg 2search
BEST AVAILABLE DOCUMENT
- 8 -
cevelcged c~lt-ies Smiddot~yemiddotl such projects core already uoer ~middotay
and 3y potetial ss~cetes ~ave been identified and thei ilterest~
211 gtarticipeting i1 t~e ~Cglar1 ascertained
He -resc1t ge~sc-~el a1d acilities of the University of Iomiddotro
plcvice a very st-cre basis for the research atJd training programs
~rnich ~middote a~ ~rc9~3L1g -fmever the further development cf legislative
suCie3 ali a pec~ent streugthenLlg of ~he progrun of Iomiddot ~ is a major
a oes3icral Demiddotmiddotelc~ Galt fur~ds will be uSed by the
LT~iersit2 c la= ~ icreasing te nUbe of faculty specialists in
cClJses ir sjcts elated to the subject atter Specificallr grant
fuimiddotis dll ce usee to ac3 one pernanent faculty Uemoer in roliGical
scienc~ ~middotit s~ecia iltcests b legislaive beh3vior ald political
dloYl-nt a-o 81 a29 cmiddot-petence in Ardcan pclitics and to bring
(lculy -emiddote-s fro less ceveloed countries to spend a peri cd of time
at the TJ1 i si ty o~ Io~middot adine sechtl expertise to the ~od~ at Iowa
other middotisosel -~ i_ le irol1ght to IC~ia as needed to support those nO~T
or --18 fc~~ti r~lt 7ds ~rill also be ilsed to finance data collection
exlts-s ~) t~-e res~imiddotch iork of tte acult the Associate scholars
BEST AVAILABLE DOCUMENT
1~ II
- 9 -
cesigned tgt trrtin US and foreign-born st1lcents in le6islati-~e rese=z-cndeg
Sttde1fs ~dll be tdTi tted cr11ally to 9 proeragt iihicn ~iould irclude a
tro~ot~h grounding in the r thods of cczparative aralysis the S1ostance
of conparatie politis g-mel31ly end the corrparative studJP of
legislative behavior in 9articulal The Uni-ersity intends to associate
tnese studelts directlr - rith research in Ttlhich faultr 2Cbers are
engaged to encourage thea to dra- U90n the skills end resources available
in this field il ra1Y departnents of the University to enable them to
spend up to one year in field research and to have thel4 snare their
findings middotrih their stmiddottidei~t and faculty colleagues Tle prograII will also
involve foreign scholars middotno are expert in the legislative process of
t3ir o- n countries in the tcaciing fgtimiddotogren both by holding -fisHing
a=point~elts at t-e University of Ioc1d by sUgervisi~g field research
c R d - t- ~ 1 rec C~ of Esta~lis~ed Scholars Tne University of Io~~
plals to extend a1 in-itaticn to seieal foreign scholars duri1g te
gle1t p2riod to patici~te in a coparative legislative researc~ seirar
duriig their visit Their plrticipat~ion middotrill edd 3 lL1iqte diiensicn to
the seiiral hceuse cf theh ~1o~-rlecge of the legislature in their own
C01-try BCmiddot2~ J1is Gemilr -ill be dealing -lith the nos-G current
reseaCIJ o~ l0~ ~ltmiddotJres as ell as discussine desigs for reseach to
fill in cowleuge of legis1timiddotre 1ehclicr -re believe
tret it ill be a l2~lilg experience for all the pclticira1ts--incltcing
BEST AVAILABLE DOCUMENT 1]7
- 10 -
Ima rill lOrk collcboratively ~ith the fOrsig1 5cbolars to design a1d
carry out P reseach pruject These projects Till cc~tribute to the
retlaininB of foreign scholars and nill also add to cur mmiddotm and8rstanding
d Research The 9rinciplI enphases in cesenrcl rere cutlined in
Section III above ie to focus en con-9arative studies in iihich
legislative cehaviol can be helpful in explaining the scope of politics
the style of governcent a1d the legitinacl of regiles Variables hich
will be studied Iost closel~r ircluue tbe persistence of institutional
norms in the legislature oyer time the relationship o~ the legislatue
to ether institutions in fornirg public CC1Cepticns of politics and
the histOl~ical context detelini1g public expectations of the 12risleture
This resea~ch nag both academic and practical objectives
Academically it promises to tie legislative behavior research to other
major concerns L1 pcliti~al science such as research on systeJ stability
and paricrJance Its general substaltive eojective is to assess the role
wtlichlegislatures Illay L1 determining the capability of political
s~lstems especially their ability to deal ~middotith soCial change
Vractically the stu1y ~y offer guidance to polic~Y-Dakers on
t~1e role ~ hich legislatures rray be ~lI-pected to pIa)- in neimiddotrly established
political systelt ald on ~hc efcrrrs in established legislatur~s -Thicn
rray be required to achieve specific syste~ effe~ts The study ~dll
Nquire the assccioticn of rembers of legislative staffs a1d 2cademic
colleagues in the s~eLal nations lmder nvestigRotiop plovidirg training
fot ~ll r)f them i1 leeis1ntive re3Clrch ~ri facilitating a valuble
BEST AVAI~BLE DOCUMENT
ll-
of Iml3 ~ill LS~ glmiddot~t f~ds t~ estaolish a data archive to begin to
bring tb~ edtirg legi31ati--re studies tog3tller at a single locaticn
end to =afe t~e ac~essible to tie grc~ring m~er of interested
scholars in t~i3 field PerSCIlllel of tbe Data Archive ~rill searcD
broadly fo all a-reilable data on legislatures in the possession of
ildiviiual researc~rs i11ese data sets ~-Till be acquired refo~atted
for ease in alelrsis a1d stored in Archive Tne Archive ~~ll
asserble tie etel~ Gata O legislative organization ald procedure the
socialization ~~ recruite~t of lzgislators legislative decision-
makLg pccesses 2d legislative outputs To facilitate access to
the data a ~middote-riemiddotrlt11 syste middoti111 be cesigned that will 2011001 r-=searchers
to find ~iccJ ata sets that c~mt2in inforration lelefalt to their
researc1 po)2e5 RibEcg-aphic citation3 cnd abstracts of research
reports on le~i51e-imiddote oebio ~~ill be gathered and a biblicgraphic
retrieval sys tC idll a Geielc9d to aid esealcJers
cooioinet-e1 ~~as n -ie are= of c~rarativa legislatile studies is
t~3t because 0 si~~e iJS in~ti tuticn ias tce necessarJ expertise
of ccrparati ve
1-=gislatiY2 tcie3 8forts of the most conrpeteat ace interested
BEST AVAIL~BLE DOCUMENT MCi I I yl
12 -
oz~ the tr)middote grantee institutions and otter associated scholars It
~ill ayise t~e pa1tee i1stituticns on SllC catte-s as roritorirg
activities at the t~re~ unive~sities~ evalu~ting rese~rch frr possible
=middotclication sJ--sidies rld ether ratters related to infor~atioTI
disse~~ation coordinating research efforts to avoid duplication
ecilitating excha1ges d sttde~ts ad faculty members ~-iitb foreign
nsti tutions i~en desirable tryi1g to till lacunae in cLIricu lUn
helJilg to arralge cmferelces and sy-posia and generally trJing to
9cote te ~eielcp~2nt of cOlparatile legislative stucies as a
Gra1t L~HS idll be ~sed to support the Univ2rsity of Io -a IS
nrticipation in tre AdisorJ Co-i ttee t1e developrrErt of conferenc=s
elsEfhere il the US arHl over3eas i1 relat2d facets of leeislaive sttdies
Edstng iersonJ~l al~d fa-ilities at the University o= 1oa previde
iaculty facliiies to aid rC3emc~ trailg aPd skill in 21c~ivaJ middotork
BES~ AVAIL4BLE DOCUMENT I
r ~-)
- 13 -
Six ITe-bers of t1e faculty of the Departent of Political Science
at the Unhe ity of Im-ia are presently engaged in legislative research
To merbers ot the Departllent of History are engaged in research on the
British Parlia~ent L~ the eighteenth ~~d nineteenth centuries Fer the
past six years an adv~~ced se~inar has been offered by ~embers of the
Department of Political Science and the Department of Histo~J on
comparative legislative behavior This exte1sive collaboration iiill
ma~e it possible to develop a fully inter-disciplinary program for the
students ~~d visiting faculty In addition faculty ~emcers in
Scciology interested in organizatien theory and in the College of Law
interested in legislctive processes provide furtber e-pertise ava_ilable
to students interested in tee study of legislative behavior The
presence of these specialists on th~ facult~r is reflected in the
excensive librarJ al1d otler data resources existing at Iowa in this
field
The Uniersity of Ima offers an unusually extensive program of
trainL~g in research methods Four ~e~bers of t~e Department of Politi~al
~cie1ce teach in the field of research nethods Courses jn statistics
ca1 be taken ill the Dep~rtents 01 Sociology e-d Educational Psycholcgy
Llis prcgr6l provides a verJ solid grounding il research training and
data analysis
bEST AVAILABLE DOCUMENT
e ~
- 14 -
Y labCrato~y for olitical Pesearch is the reseacc1 md research
tlairirg facility of the Departe1t of Political Sci-lce Gcadvate
students receivo extensive res~arch experience through 1or~ing in the
La oratory bull The Lacoratoy is also a1 integral part of the trainirg
o~feed in ccurs~ T~middotO~ for graduate students
The full-time sta~f of the laboratory includes a director an
assistant director a t-=cl1ical cirector a supervisor of study
t1hteen graduat~ students - rf1rk in te Laboratoy receivLLg teining i~1
~a~a collecticn ~~i data e~alysis Tbe facili te5 of the La)oratorltJ
icluoe a oard eJcerline printer ccnnected to the U1iversitys
dis~ and tape storF-ze for d~ta
The pogral of trailing ia coparative legislative reseC_cch ~ill
relr heavily en t LaOerltcLJ- for taching graduate stucents Visi tine
fc111tr lYe~bes iill be able to utilize tbe facilities cf the Laboratory
gt IOra ~as sFcial ccrpetence in prOCed~les for
ccq ter ogagtlizetion of d~ta Ja1ks ~d fOi the p~ocGssing of large data
sets as well as iJ the sttdy of naticnsl end st~te legisltllres Tile
BEST AVAILABLE DOCUMENT
- 15 -
Ile Univelsity of 10Ira will eadnister- the Grant thJotg~ its normal
a)1 iristrative char-l1els ad i1 Eccordance imiddotlith its ncrTal olicies and
operatirg procedures 7he Director of the gr~l1t-s~~ported program
Hill be a senior faculty eriOer of the Gniyecsity of IO~-ia -with extensive
expe~ie~ce in the subject field Associate Directors w~tb similar
qtalifications -aill also be appointed 7he Director- and Associate
Directors ~dll serve as eibers of t~e Inter-University Advisory CC1gtr)ttee
established to cooidinate _u bullbull ID gra1t-stpported programs at IOia Dul(e
lniversity a1d the University of Ha- aii Ll1 this field These relatiol-
ships are i~dicated in tee follc~dng a~inistrative organization chart
IX Ul~vsity Ccntri1uticn
T1~ ~h-ersity of IQ(a aSSures ALD that this Grant middotiill not
replace existing ftnds for STr current activity and imiddotrill be additive
to existing prograrrs of tCe lJniversity In direct sp~ort of this
Grat ttc University ~ill provide a) Acmi1istratile costs including
tie of senior officers of ttlt University b) Office ~ld research space
ald library and cor-puttr facilities c) Provision of a1cillamiddotCjr 1niversity
personnel -or consultation o~ ~middotjQrk nth the progral
X Reports end 5evie~-Ts
There i-ill be sub~itt-=i al arnual t2ctnical report for the purpose
of AID s revie- of activities under te Gant Tnis idLl include
a11 e-llation of prcsr~ss aidnistratve ar_c fiar~cial corsicer~tior~s
p~s cr tr foJlJ-middotire ear ~i disctlssics of the ossible l~lizaticn
BEST AVAJLIl8E OOCI1MrNT
~
- 16 -
A~~inistrative O~ganization
Ice Board of Regents of tle State of Im-la
-Iesicent of the University I
1 rOfcst Jf t-3 University
Den College of Liberal Arts
r Chailan DcptiEt of olitical ScieJce
Inter-G~iversity
Acisorr Corcittee
PcgrG21 Director Associate Progra~ Directors
Liaison Arcrge~~nts d ~h I I~~erested Plcfessiona1 I Perso~el j
I _
I 5cu1ti (full or PmiddotLG-tire l Asscci~tes a1d otllei non-Io~il
3ecip5ents of Gr3-1t stPPC1t Gr~cue~~e S t1~lcnts St2~retQi~S1 Data Lbed~1 31
Ln 18 r1icia 1
LO1t c~lce Factcj~1 ts
BEST AVAILABLE DOCUMENT ( ( V-t
- 17 -
of te eo17i~g cCpterce br A I D rLld ethers In addi tion there
aS3essr~ents of the gr31t
middot l ~ lI ~ _ _ _ co~~~r~~ing ~~iversiti~s md tne rrctitoring ALD office
7re l~yersity of Ie~middot~ budget of $26500 is to be deveted to the
cemiddotelgt~e~ of lstituticnal cefete1Ce in comparotive legisl~tiye studies
~t Iomiddota c t~ the exalsi0 ot a date b~L-lt ~ hich 1fill be utilized as
a ecle for icrec3ing te scope of tbe sub-specialty
T - 1 f 1 __ middotja r S Ctdget a9roxir~tly 33- has bee allocated to a
cemiddote Lp~l t rirc ipally C actlty re leased tirre for data ccllection
ai 0 3alres f~r i~~er-ieers in field research 3d secretarial
assi5ta1ce nCt2 11- of t~e Icmiddotre oudge~ is iesignated for an
ArCE_1 A~ite s(101a~middot 2d one 0 ore scnolals froQ LDe or
s1lllrt of greluate stucents in the
BEST AVAfLIlBLE DOCUMENT
- 18 -
Finally approximately 19 of the budget will be devoted to the
proposed data bruL~ that will archive not only data generated from the
research of scholars at Iowa Duke and Hawaii but also at other US
and foreign institutions Primary and 3econdary an~ses of these
data will become an integral part of ~omparative legislative studies
curricula The ability to utilize the data bank for teaching purposes
also should have a significant impact on professional preparation ofmiddot
future legislative specialists In summary the funds will be
allocated to research teaching and training activities tha~ are
entirely conson~~t with the philosophy underlying the utilization of
2ll(d) grants to achieve institutional development
Conclusion
The University of Iowa regards the research and teacbing components
of this program to be closely related an1 zrutually reinforcing The
University of Iowa offers a strong base for the pro~ram because of the
interests of faculty members here now because of their contacts with
scholars in this field in other Americ~~ and foreign universities
because of their experience with the international exchange of faculty
and because of the distinctive data gathering and processing facilities
available in our Laborator~- for Political Research The program which
we have formulated is designed not only to accomplish specific
research and teaching objectives but to contribute to the long-term
development of the University of Iowa in an area in which it has already
exhibited special interest
BEST AVAILABLE DOCUMENT
~ I) - 0
- 19 -
The program on Comparative Legislative Studies with support from
this Grant rill develop the capacity at the University of Iowa to
provide assistance under separate financing arrangements to developing
countries in a number of ways and through a varieiy of channels This
assistance which would be arranged for end negotiated separate~ from
this Grant may be in the form of technical assistance advisory service
training research and information exchange etc It will be available
by mutual agreement to appropriate agencies national and international
public private a~d mixed and directly to the less developed countries
Most especially this added special competence will inevitably become
incorporated through the processes of scholarship and education into
the competence of US and foreign scholars and institutions concerned
with this topic of great significance to the developing and the more
highly developed countries alike
BUDGET SUMMARY
UNIVERSITY OF IOWA
Salaries
Graduate Student Stipends
Fringe Benefits
Travel
Equipment and Services
Other
TOTAL
$173090
32400
19209
13800
6501
20000
$265000
BEST AVAILABLE DOCUMENT
d bull
srjmiddot (~~ jjXilO
IO
rmiddotmiddot ~middotmiddotrl f)~~ 7 middot 1 ~A~~ middot1 rmiddot middot~ rt bull middot bull bullbull I ~ i bull bull ~ middotv- middot bullbull ~ I
1 so bullbullbull l ~--~-- - - ---- ~ V~ i Jlgt ) bullbullbull ~(lr v ~I ( tr_ 1middot-middot 1 bullbull 1
il l~ J
2 c~loto
BEST AVAILABLE DOCUMENT
(C
Dr Willa~d l Boyd Presicient University of Ima iowa City Iowa 52242
Dear Dr Boyd
4 AUG 1977
amp
FIJNDS AVAnASLe CpoundNrftAamp sEIMCEs DMsON
AUG11 ~n te t6417 ~77
Subject bull Supplsectferit-tJF-G~middotNomiddot~middot AIOcsd-3294
t middot-rrPJ1 3
I am pleased to inform you that pursuant to th~ auth~rity contained in
S-cction 211 (d) ooC the Foreign Assistance Act of 1961 as amended a sup
plemental grant in the amount of $200000 is h~reby r~de to University
of rCi1a These supplement]l grant funds areprolided to support the
activities which are described in your Proposal dated May 6 1977 for
the implementation of your program entitled Political Conditions for i
Effective Small-Scale Rural Assistant Projects
---This sup~lemental grant is mace to University of Iowa en condition that
yo~r institution shall administer the funas provided under this Grant fn
accordance lith your r~ay 6 197 proposal (including Budget SUmlilary) and
the Standard Provisions (as incorporated by Amendment No 1) which have
been agreed to by your instit1ltion Ti) the extent of an inconsistency
between the Proposal and the Standard Provisions and any otherprovisfons
which ar~ made a part of thi5 Giant by reference or other~iSe the Sta~d~
ard Provisions shall control
The new Duration Period for this Grant shall beAugust 11 1971 through
August 10 1979
The total amount of funds obligated under the grant is increased to reflect
a new total oblgated amount of $465000
Please sign the Statement of Assurance or Compliance ana the origfnal -
and seven (7) copies of this letter to acknowledge your understanding of
the conditions under which these funds have been granted Please return
the Statement of Assurance of Compliance and the original and six (6)
copies of this supplemental Grant to the Office of Contract Management
Attachment May 6 1977 Proposal and Budget SUfiT1a ry
UNIVERSITY OF IOWA
Roberw bull OBrien fficer
Ce al Operations Division Office of Contract Management
AC~E~E~C--_ 0 BYpoundk~~ cH
D C ~lpoundSTtR5BA T ITL E ( PfeampoidPilt for
tee ment amp Research DATE 9-22 -77 (d~ ~~Bduate Ctl~1e~e
BES i AvAILdLt UOCLJMU~ I
211(d) Grant Program
Proposal of the University of Iowa
POLITICAL CONDITIO~S FOR EFFECTIVE SMALL-SCALE
RURAL ASSISTA~CE PROJECTS
Submitt~Ci to
Civic Participation Division AID
May 6 1977
Amount requeste~ $ 199987
BEST AVAILABLE DOCUMENT
I TdE DEVEIOP~T PROBr~
P~litical Conditions for Rural Development
The Cocparative Legislative R~search Center of the University of
Iowa proposes to ~~dartake a two-year study to investigate the role of local
leaders and the rural public in theimplecentation of small-scale develop~ent
1 projects in less developed countries The study will use and extend the
capacity ~hich the University of Iowa developed under a 211(d) grant to
investigate and assess the impact of loeal politics on rural development
~t the co~pletion of the s~ Iowa will be in aposition to advise the
Agency on the design ~nd evaluation of s~ll-scale projects which will be
politically viabe a~d effective in ass~sting the rural poor ~
As students of development w~ approach our task with the assumption
that the proble~ of development and underdevelopment are funda~entally
ones of political econooy and a~ such can only be solved through a
simultaneous considerationof economic and political factors Efforts
which foc~s aloost solely on economic factors like those of ma~y
organizations engzed in dipersing foreign aid or efforts which focus
almost exclasively on political factors fail to take account of the
interdependence between these two dimensions of underdevelopment and
lwe have for~ulated this proposal in a canner consistent witr the cu~rent policies ard interests of the Agency We have been guided in our tsk by four Age~cy doc~e~ts Impleo~~tation of New Directions in Developnent Assista~c~~~ ~eport to the COmlittee on International Relations on Ilupleoenshytatiun of Legislative Refo~ in the Foreign Assistance Act of 1973 (July 1975) rItevis~d Projec Developiel Review and Approval Systeo (A I DL Circular A-21 Aril 23 1975) SH Butterfield Draft SUIilZ3ry StateUlent of a Practical Agelcy Approach c aural Devalopilelt (AATA February 28 1975) Cicci A Coce~ual Oie=viamiddot middot Rural Development No1 (lWorilting GOU O~ tha Rural Poor February 1975)
- l -
can meec with only l~ted success
Our concern with the i=pact of local politics on the process of
rural developcent is a result of our interest in the basic question of
how LDC governm~nts and the donor agencies which assist them can
become core effective in raising the standard of living of the rural
poor We seek answers to the following aspects of that basic question
1) What political conditions must exist both within rural communities
and between theo and central gove~ents to raise agricultural production
w~ere small-scale agriculture is the do~nant pattern 2) Vnat are the
political conditions for a core rapid expansion of the informal manufacturing
and service sector cocprised of labor intensive small-scale industries
located in the rural ar s 3) What political structures and activities
are mase crucial for the provision of welfare and econocic supporc services--
such as agricultural exeension mar~eting and transportation--to the rural
areas1 4) ~~at Folitical conditions oust exist to insure that economic
growth in the rural areas is not accowpanied by excessive and intolerable
inequalities between socio-economic classes andor between regions1
Center-Periphery Linkage in LDCs
To deter~ne the political conditions for rural development we have
in previo~s s~udies exacined the institutions and processes through which
rural populaticns are integrated i1to the national politi-cal systetlS of
middot~he countries in which they live A gap exis~s in most less developed
countries bet~een the peasantry residing on the periphery and the c~~tral
political ~stiutions staffe1 by ~~estern-educated bureaucratic elite
We are aware of the other major ~sti~utional discontinuities which comprise
J
4 middot~~1 the basic cleavage between the developed and underdewmiddoteloped sectors of
these dual societies Bridging these gaps is essential if these so~ieties ~ are to develop into viable nation states For until those Q~ the periphery
of the poli~ical syste~ participate in that system and support and comply
with the authority of central political institutions neither economic
development in ~he rural areas nor a stable polity will emerge
Bridging the discontinuities in these new political systems requires
establishing and institutionalizin3middot1inkages or networks for co~unication
and exchange of resources between decision-makers at the center and the
rural public on the periphery Three types of institutional linkages are
most prominent in less developed countries 1) those conSisting of the
state administration composed of the bureaucratice1ite 2) those consisting
of a revolutioncry political party cocposed of the ideological elite
3) and those conSisting of patron-client hierarchies composed of the political
entrepreneurial elite
Of these three linkages consisting of the state administration are
the cst extensive and pervasive in virtua~ly every LOC Such linkages
however exist primarily a~ instruwents of the center to penetrate the
periphery Central government officials are formally charged with bringing
develo~ent to the people This is a ~issi~n which conceives development
as a process ~hrough which a traditional peasantry is transformed and
assimilated iJro the DOdern center which is steadily expanding to embrace
it Agents of the center invariably have more resources to achieve their
objectives than do local political leaders but because they are frequently
strangers~ the communities in which they function they are often unable
- It -
co implement the policies of the center without working through the
local establis~ent
Though somctices significant linkages consist~g of revolutionary
party organizati~ns such as those found in China and Vietnam do not exist -
in most IDCs beca1Se of the special historical and e~omic conditions
required for their development As wi~h the administrative state however
the linkaampe apparatus of such political patties is prUlarily an instrument
of the center whose mission is to penetrate and mobilize those onthe
periphery
In contrast patron-client hierarchies are linkages which represent
the periphery at the center and mediate betwee~ these two disparate
sectors of the political systec Thcugh norcallymiddotovershadowed in scale
by the state administration patron-client hierarchies are found in almost
~very LDC a~d constitute the ~st significant network through which rural i
populations and their leaders influence the decision-~king process at
the center Patron-client hierarchies exist in a wide variety of org~iza-
tional fores ranging from info~ ~ec~~rks of individual olitical leaders
in uno-partyll systelS in S~b-SaharaI4 Africa to extensive political machines
in both one-p~rty (Africa Mexico) and ~u1ti-party systems (Turkey India)
Despite their importance as the pricary means through which peasants in
LDCs particiate in their political systems patron-client hi~rarchies
have only recently become an object of analysis by students of political
developent and do not appear in even the most sophisticated studies of
2 See Jo~ Dunca owell Peasant Socie~y and Clientelist Politics Aerican Politi~ Scielce Revietol 64 (June 1970) pp 411-25 Rene Lemarchand anc_ Keith Legg olitical ClienteliSJ and Ethnicity in Tropical Africa Aierican Political Sc~ecce ReView 66 (Y~rch 1972) pp 68-90 James C Scott PatronshyClient Politics a~d Political Change II 1tlerican Political Science Revie~ 66 (~arch 1972) p 91-113 and Friends Followers and Factiols bull edited by Steffan Sc~~d and James C Scott (Berkeley UniverSity of California Press 1977) bull
- 5 -
3 economic development Ad~niscrators of developmental assistance progracs
have too often regarded patron-clienc hierarchies as ~ped~ents to
develop~ent instead of recognizing cheir potential utility bull
~ Findings on Patron-Client Hierar~hies --
The importance of pat~on-clienc hierarchies for linking the periphery
to the center is one of the major findings ~erging from a study of the
relationships betueen l~gislators an~ their constituents in Kenya Korea
and Turkey ~hich the Cowparative Legislative Research Centpr is nov
comleting uader its 21l(d) grant from AID This study has av~mined the
creation of linkages between the periphery and the center through ~ore
than lO~OOO interviews with members of parl~ent local leaders and
peasants in t~e three countries The findings are being systewatically
set out in a book-length monograph Nearly a dozen research reports have -
uready appeared (see Appendix C) ipropositions about the nature of
political behavior of rural populations an~ the roles of local political
elites de=ived from the research~ can be s~rized as follows
1 Elected representa~ives play a significant role in the creation and mainte~ance of linkages be~een the center and periphery by developing local political achines in which they function as patrons of their constituents In turn thay s~rve as clients of political leaders of national stature who control central government institutions
2 By atte~pting to establish linkages based on patron-client relatio~shi~s elect~d representatives are responding to public expectations chat their prizary duy is to obtain resources from the center to proffiote local develop~ent ~iany elected repLesentatives spend most of their time on self-help co==unity development projects such 3S the building of schools health clinics irrigation works arid roads because such projects provide
3For exa~le ~ a widely respec~ed a~d useful analysis of rural deve16p~ent in Sub-Sahara~ Africa L~ Lele of the World Bank notes the problems of creating an adoini5~raive infrastructure in the rural areas that is sensitive to local socio-oliical conditions She does not however consider how local leaders operating o~tside of adcinistrative structures ~ night contribute to the developne~t 0 the rural areas See ~~ Lele ~ Design ~ Rural Develop~ent Lessons ~ Africa (Balt~re The Johns HopkiD~ Uciversity Press 1975) r) pp 127-61 i ~
- 6 -
their const~tuents with desired se~ices ~~d a= the sa~e time provide the reresentatives with an orgacization Yhicn can be used as a political base
3 l-tore than 90 perCel1t of the rural population is capable of articulating the p~oblems facing their local co~~ity and two-thirds discuss th~e proble~ w~th their fellow citizens on a regular basis
4 Three-q~rters of the residents of the rural areas can identify the public ofpoundici~s who serve thec--both civil servants and elected represcrtatives--by na~e Most are knowledgeable about the activities of these officials Alcost one-fifth coreover have discussed co~~~ity probl~ ~ith these officials particularly those working at the grassshyroots level Residents of rural villages actually have a higher level of political knowledge than their counterparts in the towns
5 Elections in the rural areas evoke a highly rational attern of voti~g despite the effects of ascriptive or traditional co~siderations Inc~ens are pri~rily evaluated in terms of their record in fulfilling the public r S elpectations of what they should do Elections are essentially referenda on inc~entsr perfo~ce especially their perforwance in the area of constituency servi~es such as bringing development projects to the districts bull
6 Local developcent projects have a relatively high s~olic value generating conscitutency support for local leaders and the central government at low cost
7 These projects help huild a local political infra-structure which can also be utilizec by central govern~nt civil servants to implement other policies designed to achieve rural develop~ent bull
The Icpac~ of Local Politics on Rural Projects
Having explored the developtent of linkages through which the periphery
is represented at che ~enter and through which the periphe~ attemp~s to
share in the ceners resources we now propose to build upon our initial
investigations by e~ing in greater detail the impact of local political
conditions on specific problecs of rural develop~ent We propose to
exacine the develop~ental activities of local leaders ~nd the rural public
by eX2~Ding a saple ot fifteen to twenty smalL~scale developwent projects
in each of ~he three countries which constituted the sites for our initial
8ESI AVAILABLE DOCUMENT 1 ~ - of
- 7 -
study of center-perhiphary relations The appropriateaess of this approach
and the ~ethodology through which it will be ip~emented is discussed in
section II Because the ~ethodology of investigation is in large part
the result of our previous research experience we fizst turn to a revieW
of the existinQ __ ~petence of the Comparative Legislative Research Center
in this area
II GRAXTEES EXISTIXG CmET~CE
In 1971 the University of Iowa received a 211(d) grant to develop
its capacity to do research on the role of elected represent~tives in
the process of modernization On the b~sis of this grant the University
established a research center which planned and carried out a research
project on the role of elected reres~~tatives as links between the central
gove~ent and rural populations in K~ya Korea and Turkey The project -i
served to develop t~e University of Iowas research capability in this
field esa~lished ties between the University and scholars in the bost
countries and generated a large and uniqu~ body of relevant data
In that project we fo~ussed our attention on tbe activities of elected
representatives in their constituencies notably in their contacts with
local political leaders voters and civil servants To determine tbe
nature of the linkage function performed by tbe representatives we
designed our research to explore the subject from three perspectives
1) we eXaojned ~~a ~ubject at tbe grass roots by conducting a series of
sample surveys of 200 to 300 adults in each of 12 to 14 parliamentary
constituencies in each cf th~6three countries 2) we examined the subject
at the center by intervie -ing MIls from the constituencies in which we
had conducted S3mple surveys ~nd higher civil servants with whom they
had contact and 3) ~e ex~~ined the subject from an inter-~diate level
by identifying aud ~terviewing local social and political leaders in
the MPs constituencies We used survey research methods because we
were embarking on the study of an entir~ly new subject for which little
relevant docu=e~tary data existed and on which there were few secondary
sources As a result ~e have unparalleled experience with survey
research in the rural areas of less develo~ed countries
The surveys which constituted the cajor part of our field work were
planned in collaboration ~~th scholars from the host countries They were
carried out in each constituency by student interviewers in the appropriate
language ~re than 10000 respo~dents were inteDViewed for the project
Given the visibility and sensitivity of this undertaking approval for
the research was sought and obtained from the host governments prior to -i
the collec~ion of data ~o objections were raised by these governments
at any stage of the research The data obtained have been made available
to scholars i~ the host co~cries and some of the basic findings have
been published in periodicdis in these countries
The Comarative Legislative Research Center ~hich ad~nistered the
project has aisO developed extensive experience in the study of political
leadership in other countries It h3s obta~ed substantial support from
the Fo~d Foundacion and the Rockeeller Foundation has worked in
collaboration ~~h European as ~ell as Asian and African scholars and
is engaged in a ajor study of the role of elected and non-elected leaders
in the oanag~~t o~~ocial conflict Because it has conGucted research
in a variey of setlngs the Center has an ~ceptional capacity to
- 9 -
determine how the relationships be~een political institutions and
economic p=oble75 differ in develoPed and less developed countries
In the course of the major research projects the Center has administered
it has gained highly specializpd ~p-i ce iI identifying 1Olitical leaders
in a great variety of settings conducting systematic interviews with
them collaborating with scholars in the host countries and in coding
and utilizing large files of data to answer specific research questions
The Center has ~lso undertaken to publish the results of its research
in three fores It issues codebooks to the data enabling scholrrs at
other locations to use the data expeditiously i~ publishes research reports - in the form of Occasional Papers and it publishes a scholarly periodical
devoted to the presentation of research findi~gs to an inteIT~tional
audience
The Center utilizes the data ~ysis facilities of the Laboratory
for Political Research of the University of Iowa and drawS on the unusual
n~er of secialists in comparamptive politics and survey research in
~~e Lniversitys Departmen of Political S~ience The Center itself I
has the services of an administrative secretary and a clerk-typist
~intains its~o~cn extensive archives and its o~~ publications program
It is e~uipped to assist scholars and government officials outside the
t~iversity of Io~a The participants in its p~ojects are full-tioe
faculty ~e=bers ~hose undergraduate and graduate teaching is closely
related to their research As part of the teaching program the Center
has attracted students from the countries in which the research projects
have been conducted these students have participated in the projects
bull J
have obtained training in other fields of political science have received
University of Iowa degrees~ and have ret~rned to teach and to do research
in their own countries
III PURPOSE OBJECTIVES AID METHODS
Purpose of Study
The purpose of the proposed grant is to extend the capacity of the
University of Iowa to determine the political conditions in the rural
areas of less developed countries which favor the establis~ent and growth
of small-scale developoent projects ~e objective is to put the University
of Iowa in a position to assist the Agency in designing small-scale rural
developent projects providing guidelines for carrying out social soundness
analyses of such projects and adviSing in the evaluation of projects
We will discuss the utilization of~t~e Universitys capacity in detail in
section IV below
We propose to concentrate our investigations on the political conditions
surrounding s~l-scale ru~al projects Such projects have distinctive
advantages They waximize the political participation of the rural populations
both in det~~-ining the direction ~d implementation of develop~ent efforts
and in defending the interests of periphery vis-~-vis the urban-based
bureaucratic elite S~ll-scale projects stimulate entrereneurial activity
on the part of the rural citizens and growth of the info~l canufacturing
and service sector Tbey require less lead tice and less administrative
c~erhead to ~eco~e operational than large-scale capital-intensive projects
centrally administered Such projects yield rapid and direct benefits to
1
j
the rural
- 11 b - ~~1
populations and are consistentwith their hUIlaD rights--both
political and economic However~ small-s~le projects pose s~ecial probl~s for administratcrs of developceocll assistance progracs because
they require the donor co assess the local olitics particularl the
rural politics of t~e host country
Develop~c adoinistrators pr~rily conc~rned with assisting rural
populations must therefore recognize the range of political variables
affectL~g these projects Small-scale projects offer great opportuoities
for develop~ental assistance progr~ because they can be easily targeted
to help rural populacions require low capital costs and need no be
concentrated in one or two localities Such projects ho~ever~ ~equire
the a~istrator to have ~re political kno~lecge than large-scale
projects Oil which his priJlary tas~ is guiding the work of other experts
Questions for ~Investigation
To detercine the politi~al cc~diicilS ~st conducive to ~he establ~~ent
and gro~h of scalI-scale rural projects ~e propose to address our inquiry
to the following specific questions
1 To what extent and why co local political leaders seek to establish s~~l-scale develop~ent projects within their co~unities
2 To what extent and ~~y do local leaders other than politicians initiate andor provide leadership for s=all-scale developm~t projects
3 Bot do the relations bet~Jeel different types of local leaders (political and non-political) and bet~eeo these leaders and central gove~ent civil servants posted to the rural areas affect the conduct of develop=ent projects
4 How do existing authority ~eLationships between these different leadership grous and the rural pub~ic affect the organization and operation of s~l-scale develop~ent projects
- 12 -
~
5 lhlt is the nature 0 pclgtlic participation in the establishlent and operatio~ of s~l-sclle projects and ~hat are the outcc=es or this participatioe Gucer w~at conditions is such participation ~ost likely to occur
We seek a~swe=s to t~cse questio s L order to determine the effect of
different co~iigurations of local leadership and public participation on the
outcomes or small-scale rural projects te are particular1y concerned with
the ~pact of these configurations on the rate of econocic growth and the
distribution o~ rIGSlth ithin the loal cOlllUlity ~ on the perce~tions of
s~ll-scale proj~cts by central govern~ent per~oncel and the rural public
anmiddot on the organiation or flture projects
To a~swer these que~tions it is oar intention to study the initia~ioD
izJple=enation ald i1lpact of a salple cpound small-scale rural projects in
Kanya Korea and Turley in the sae cOllities in which we carried OU
our initial icvestigations ~ 1973-75 Tne relationships between the -
various conf~gurations of local leadership and public participation and
the three phases of project develop~ant are sho~ in Figure 1 We will
exa=ine projects to pro~ote the adoption of new agricultural techniques
by s~l and moderate landnolders the building of feeder roads irrigation
ditches and other s~ple infrastructure the organization of fa~ers
cooperatives and other local associations concerned with rural development
the establish=ent of rural health clinicS and schools and the setting up
of craft and service industries
Sites for Study
We plan to return to our original set of localities because we possess
a rich body of relevant data on the extent to which linkages exist between
Figure 1
TYPES OF LFLUEXCE OF C2r~ middotGOVER1iEXT OFFCIALS
LoCu LEADERS 0 THE RURAL PUBLI-C OX THRr~
PHASES OF RURAL igtEVELOPHET PROJECTS
r----------~J C~ltral Gover1~nt Official)-N------- - J
r- Local pOlitical leaders
Local non-political leaders
~l 1---- -
ROJECT nITL~TIOS
Influ~ce on selection of projects
InrI ~elce on location of projects
Influence on policy guidelines for proj eCl
Il
I
a
I I
-I PROJECT I~L~~iATIO~ ~ 1
j Project Organizati I Selection of project
leadership
Hobilization of resources
Mobilizatiol of public compliance with project require=elts
Diffusion of project innovation
Rural Public
I
BEST AVAILABLE nOCUMENT
1 ROJECT IMPACT
Organization of ongoi=g project operation
Distribution of project benefits
Evaluation of project
Public attitudes toward project
-middot14 -
these areas and t~c central p~litical institutions of the three co~tries
and on the attit~es of the rural populacioc local leaders and elected
legislators regardi~g their problecs of develop~~c Since such data
is unavailable for alternative locales a return to the areas in which
we have previously done much research ~ables us to build on a uniquely
valuable body of icformation
A return to Kenya Korea and Turkey is also highly desirable from
the standpoint of effective research organization The Comparative
Legislative Research ~enter has developed close collaborative relationships
with several highly competent social scientists in these countries and
with the academic institutions with which these scholars are associated
We have also dev~_oped cooperative relatio~ships wi~ gove~ent officials
in these countries which should facilicate obtaining approval for our
further work
In proposing to doc~ent the origin i~pl~entation and impact of
one to three s~ll-scale develop=ent projects in each of 35 localities
we have two considerations in mind Firstmiddot because our pr~ry goal is
to deter~e the political conditions for rural developm~Lt we wish to
examine develQ~=ent in as many different settings as feasible Only in
this way can we control for so=e of the major socio-cultural variations
that erist along rural populations in less developed coultries These
include the overall level of econo~c development in the co~unity the
nature of t~e ~digenous culture an~ relationships of authority and the
pro~ty of the comounity to major urban areas and centers of central
gove~nt ad=inistration ~ce our original study sites were carefully
BEST AVAILABLE DOCUMENf
- 15 - ~ ~1
selected to represent these variations ye have concluded that these
35 localities woule be ideal sites for the propose~project Second~ in order to dete~~~ the ~pact of local leaders and public
participation o~ ~ural projects we intend to compare projects 1n which
local leaders and ~ecbers of the public have played a major ~ole with
projects in which they have not We also ~l cospare projects initiated
by the central gover~ent with projects Yhich have been locally initiated
These considerations give us a typology for selecting projects as depicted
in Figure 2
Figure 2 ~
FIVE TYPES OF RU~AL PROJCTS ACCORDIXG TO ~FLUEXCE OF CEITiW
GOVE~1E~T LOCAL LEADE~ AD RLRAL POULATIO~
Level of Participation by Rural Population
Locus of Project Initiation ~
Local Co=unity Central Governoent
BIGd
LOt
1 Projects initiated by local leaders and providing for participation of the rural ~opulation
4 Proje~ts Litiated by local leaders bu~ not involving participation of the rural population
2 Projects initiated by the Central Govern~ent and administered i~ cooperation with local leaders a~d the rural population
3 Projects initiated by the Central Govemlent and providing =or the participation of the rural population but by-passing local leaders
5 Projects initiated by the Central Gover~e~t a~d administered in cooeration Yith local leaders but not involvi~g parti~ipation of rural population
- 16 -
We recognize that the socio-cultural setting of rural develoment
projects varies significantly within and across less developed countries bull
By focussing o~ a representative sa=ple of localities ~ Ke~ya~ Korea
and Turkey we can take account of naoy~ though not all of these variations
While some of our substantive findings will not be directly generalizable
beyond the countries in which we propose to conduct our study we expect
that our basic ~ethods and fLdLgs will be applicable to national and
sub-national settings elsewhere in the developing world This is partly
d~e to the fact that the hierarchy of patron-client relations ~hich we
regard as a critical factor in rural develo~~t exists in ~ost Liles
--It is also due to the fact that the methodology for identifying local
bull leadership configurations auG poundor studying local politics which we are
perfe~ting can be used to assess local political co~ditions in a large
variety of countries even when the ~nditions themselves differ significantly
Methods of Investigation
The data needed to assess the iDpact of local leaders and mass
participaticn on rural dev~lop~nt fall into two categories Some a~e
contained among the data gathered for the research project we are currently
completing Others will require additional field research
The following data are already in hand
1 Data on the social landscape of each loc~l co~nity i~cluding aggregate data o~ level of econonic development de~graphic characteristics political pa=ticiation eth~ic loyalities and rates of socio-econocic change dur~g the past decade bull
2 Identity of local leaders including both political and I-on-political leaders and both legislators and other politicians
3 Perceptions of existiag probl~ and their possible solution a~ng
l)tS r AVAilABLE DOCUMENT
- 17 -
general public local leaders and civil serv~nts
4 Level of political kno~ledge among local citizens and local political leacers
5 Political and social values a~ong local ci~izecs and local political leaders
6 E~~ectacions of leadership roles among the local public and elected and non-elected leaders
7 Patterns of co~unication ~ong local leaders and between local leaders and the central gove~e~t
These data ~hich ~e already have in hand can be subjected to analyses
which ~~ll provida the foundation for our further work on rural develop~ent
projects A part of our work therefore will consist of fu~ther analyses
of existing data
New data of the following kinds are also required
1 Doc~entary data on the origin and evolution of particular smallshyscale develop~cnt projects in the rural areas
-2 Data on project costs boih ~itial invest=ent and recurring
operating costs and data on project ou~puts ie pupils in schools Ddles of road coopleted nl~ber of hospital a~ssions production of factory agricultural productivity
3 Data on project organizatio~ n~~r of local inha~itants participating in establis~~ent of projectt nuober of local L~habitants subsequently involved in project
4 Data-on the pe-cetion of projects by local leaders emers of the local public a~d by civil servants data on the perception of how each project ~as initiatec organized who benefitted and what its future implicatio~s are
These types of data will requ~re field work involv~~g both docucentary research
at the relevant ~istries of the central government and in local goverr~nt
authoritieS and inforoal open-ended interviews with local political leaders
elected representatives and other local leaders who~ we had previously ~
interviewed in a s=uctured syste=atic =aoner
BEST AVAILABLE DOCUMENT
- 18 -
Grant Organizatio~ and T~etable
We propose co undertake the research outlLled above beginning in the
fall se=ester 1977 Dur~g that te~ Professors Barkan and Kim as
principal investio~tors for the neo1 proj ect will contact their collaborators
in the host co~~tries They ~~ll also seek the collaboration of an additional
~rican scholar specializing in rural development with the aic of getting
additional advice on sources of data and suitable indicators for the
~easure=~~t of rural develop~ent projects
At the end of the fall seQester Professors Barkan and Kim will make
a trip to their research sites to disc~s details of the research organization
with their collaborators in the host countries and to recruit student
assistants Tney will devote the spring te~ 1978 to further analysis
of a~sting data at the University of Iowa
The gathering of additional dita L~ the field will begin in the s~er
of 1978 Professors Barkan and Kio will direct this work personally We
eAect that its coopletion ~~ll require three to six months This work ~1
involve the evaluation of central and local gove~ent reports on the
projects uncer investigation extensive on-site observations of the projects
and oen-e~ded interviews with the principal participants Our principal
respondents ~i1l be the local leaders and elected representatives we
have previously identified in the localities in which we have worked and
a sacple of active participants in the particular dpvelopment projects
being studied ~~ere necessary and apropriate surveys of the general
public will be uncertaken to assess the inpact of a given project on the
rural por)r We do not however leed 0 conduct systeAlatic sample surveys
BEST AVAILABLE DOCUMENT
- lY -
of the rur~l population as We did in 1974
In the organization of this research project we intend to reconstruct
the rese~rch tea=s ~e e=ployed during 1973-75 We shall again seek the
co11abo=~tion of P~ofessor Sc~~S-7o~g Pai of Seoul National University ~
Professor IIiCr Turan of the University of Istanbul and Professor John J
Ok~u of the U~iversity of ~arto~ S~ilarly w~ contemplate directing
the field research fro~ he same acade~ic research organizations we previously
used Seoul National U~ive~sity th~ ~~iversity of Istanbul and the
Insti~ute for Develop~eut S~udies University of Nairobi As before we
will tra~ students f~oo these institutions to serve as interviewers
The analysis of the open-ended intervie~s and of docUQentatio~ on
I ~ural develop=e~t projects will be a ~ore t~e-co~s~g process than the
analysis of closed intervie~s It will reqrire a high cotnittl~t of time
fron the principal investigators )e e--pec to hold a conference at the i
U~iversi~y of Iowa 3lO1g all the principal )clticipa~ts in the resea~ch
project d~=~g t~e spr~g 1979 to evalua~~ the newly collected data
le e~ pect to be able to vr-ite reports of t~ results during the Sl1~er 1979
(see Figre 3)
IV LlX-GS ~1) U~ILIZATIO~
At the e~d of the grant period the Uti ersity of Iowa will be able to
1) advise the Agalcy 01 the design of s~l-scale rural projects to assist
the rural poor 2) provide guidelines for social soundness analysiS of
small-scale projects for the rural areas of U)Cs 3) consult w~th the
Ag~tcy 01 the evaluatiol of rural projects ~d 4) provide LDe governments
BEST AVAILABLE DOCUMENT
)ATES
~lll
1977
~inter 1977
iprilg 1978
il mer 1978
~all
1978
ipr~ng
1979
Imiddoter 1979
University vf Iowa
Plutlning of rural develo~rent project
Barkan Kil
Alalysis of existing data
Barkan Kia
Data processing
3arkan Kin
1
I
- 4 -
Figura 3
GRAT TLfETABLE
SIT E S
Kenya Korea Turkey
Preparation of field research ural developH~lt project cOlisulta~io~ a research sites
BarkanOku=u Ki~Pai Tura~rkanKi~
Preparation of field resea-ch
Tural
Field research on rural cevelop~~t projects Bar~lOk~u Ki=Pai Turan
Co=pletion of Co=pletion of field resear~~I~ fiald researcr
Ok~u i Pai bull
f Coopletion of field research
Turan
Data analysis conference a~ong all princial i~vestigators at Un~versity of Iowa Barkan Kil Oku=u Pai Turan
Co=letiol of r~ral develop~ent
project
3arkan Kiz
BEST AVAILABLE DOCUMENT
I
- LL -
~ith speciali~cs o~ ru~al developcect ~mong their own citizens ~ho ha_
partcipatcd ~s collaborators in the Iowa projects
In the proposed project we Will test a series of hypotheses cOlcerning
the political cOllditions of rural develo=ent which run counter to CODOn
assuoptions conccrnir3 t~~ influence of rural politics on project effectiveness
As a result ~e ~dll be able to assist the Agency in designing and evaluating
such projects froe the point of V~~W 0 their political viability The
hypotheses We will test sugges~ t~at the patron-clie~t relations existing
in the local politics of zost LDCs are not necessarily i~pedients to rural
develop~ent but are aspects or the political structure which cal be used to
facilitate s~ll-scale ru=~ projects which will raise the standards of
living of _ ~ rral pomlation - As ~ result or our stuey we expect to be
able to P~-O~t the local leadership confi5~rations ~4d the relationships
between local leaders ald rural poclations ~nich are oost conducive to I
successful develcp=en efforts We believe that we will be agtle to perfect
a cat~odology for identifying the political conditions for rural develop~ent
one ~hich is transferable pound~oo the countries we have specialized in to
other LDCs
We proo~ to develop specific guidelines to assist administrators
charged with selecting evaluating and =onito~ing rural develop~ent
projects to ~szess t~esc rojects in tares of their-social and political
viability he outco~e of such projects is dete~ned not only by the
efrectiv~nass ~~=h ~hich they use scarce econo~c resources but by the
~~er L~ w=ich they e~gage the suppprt of local leaders and rural
po~ulatiocs~ by thei= effect ou social a~d econo~c equality ~d by
D[~T AvAlLA8LE DOCUMENT
- 22 -
their consequences for hwan rights ~Je plan to establish criteria by
middot~hic~ the probable outco~es of projects in these social terms can be
anticipatec
The study ~e propo e will be undertltlken by faculty at the Cniversicy
of lowe in collaboration with faculty a other ~rican institutions and
institutions in the host countries We will build on the extensive contacts
between the Co~perative Legislative Research Center of the ~niversity of
Iowa end other instituions with ~aich ~e have worked One =ajor result
of our collaborative study will be the existence of a net~ork of compe~ent
scholars both in this country and overseas experi~lced in ~orking together~
shar~g a co~on teaching and training experience i~ close contact throu~~ the
effective publications progr~ developed by the Co~parative Legislative Research
Center T~e e~~ertise of this group of individuals will be ava~lable to
oteer scholars to the Agency and ~o L~C governments for specific policy
advice The eXertise developed as a consequence of this project will
extend beyond the ~tionals of the countries ~volved since the univ~sities
engaged in ~e project attrtct stude~ts fro outside heir own countries
For ey~=ple the teaching ~d research progra in the Depar~ent of Political
Science 0 theUniversity of Istanbul heavily affected by the participation
of its facul~y ~e=bers and graduate students in our projects attracts students
throughout the ~middot1iddle East for Whom the University of Istanbul is the iajor
institution ~pound ~igher education in the region rne Institute for Developmen~
Studies is si=ilarly a focal point for students and faculty in East and
Central Africa Seoul ~atiocal Unive=sity attracts students froo other
Asia~ co~tries~ In this way the capability developed among the participant$
BEST AVAIL~BLE DOrUMENT
- ) -
in our work is diffused widely To the exte~ that the abili~y to assess
rural develop~ent p~ojects in teres of their social soundness is increased
both in the United States and in ~o~~tries r~ceiving develop=en~ assistance
the cap3~ity of racipien~ countr~es to absorb aid is ~creased
We propose to draw up an inventory of personnel available in ~~e
Cnited States and in other co~~tries who are able to consult with developen~
a~nistrators on the design of rural development projects and on their
evaluation We ~~ll draw first of ai~ on individuals w~o have been
directly associated with our ~ork in the past or on ~he proposed project
and ex~~~d the list to include graduate students and gove~ent officials
with who~ these individuals have wor~d
tole Yill utilize tha existing publication program of the Center
dercribed above to disse~inate our findings The Center has specialized
oailing lists of interested individuals and institutions in all parts of -i
the world and its reports can trerefore reach the ~st relevant audience
jirec~ly ~d re~~arly
BESl AVAIL~BLE OOCUMENT
CONTRACfjGRANTCOOPERATIVE AGREEMENT DATA SHEET
INSTRUCTIONS fjDW Complete 4 copies of the form Original SERCMSDSUP Statistical Section Copy Copy 2 SERCMSIiUP dministrative Copy opr 1 Contracting Officers COy COP) 4 SERCMSDSUP IUmin (Suspense) Copy
Missions Complde 2 copies oi the form Origin31 SERCMSDjSUF- Statistic31 Section Copy 3n~ Copy 2 Nill be ret31ned in the Missions
PART fA
ConU3lttorGranrce Name
University p~f~I~o~wa~ __ -r~ ____ ~~~~ __________ -~~ __ ~~~ ______________ ~~~~ Plorr Numt-er ApptopriJtion Number Allotment Number Project Number
930-0090-3Q13411 A5 72-111l0216 146-30-099-00-20-11 930-0090 Project Title
So~ia1 and Potitica1 Aspects of Development - Conference to Report Research Findings Amount of this Plorr I Projecl M3nagers Name and Offire Sytlbol
$10397 (increase) PDPRCP Jonatlan Silverstone Contr3ctors D-U-N-S Number
Ncgwatocs TYJlCd~3meJ j) Signature I l ~ jIf- bull G HtJ--ft u l IVmiddot
D~e
L - f - J ContractGrant Officqs typed Nailllt Signalure LJ d I -r-
plusmn t 3i-alflpta (( BLvle~ 1 I~ PARTm
ContractGranl Number
AID CSD-3294
Effeclive Date of Docum~nl Signalltre D3t~ of Documenl
Lf---C yen-~-gl tIost Courtry Institution (U iwrsity contract ONL Y)
Campus Coordinator (Uniwr ty i contract OiiL YJ
PART UL Descriplion of Cor-tractGrant P1use X ONL Y ONE item under each headiZg IF THEltrease CifYmC~e bolh ges I 30~~ O~ Nol to be completed for Amendmenl or Modlfic3lion AJigtns I III
J 710gt I I V ~ I
MOl - TYPE ACT A~ 0 G unsolicited Propsll (AIDIR 0 C Individual (Non-pe~nal senice)
~ O Cortra lGrantl ooperative Agreemenl 73101-SO(b)(6raquo 0 D Individual (ftrsonal Service)
tJl T3sk Order ( A)middot 0 H Procurement 10 be Perfocm~d by the Conmiddot 0 E UniversilyOther FAuC3lionailnSlitulions
D 2 Work Order (IQC) Ira~lor in Person (AIDPR 0 F Non-Profil Organizationlnslitutions (other
D 3 Delivety Order (Requirements) 73101middotSO(b)( Iraquo than Ed or PVO)
[j 4 Purchase Ordcr [J I Sole Source (AIOPR 7-3101-SO(b)(4)) 0 G Private Volunury Organization (PVO)
If I 2 or 3 1Lle an ~ compllle M 12 ON Y D J Imp3irmenl of Foreign Policy Objectiws 0 H International Agricultural Research Organj-
M04 - CONTRACTGRANT TYPE
o O MOA (BOA BMA etc)
o I Fixed Price (Specify fFP FPRD FPEPA FPI) _____ _
(gtIDPR 7-31 OJ SO(b)(7raquo
OK B(a)5eJection (FPR 1middot1713-1)
o L Grant iH1ndlOok 13)
o M Do Nol Ue
D 2 Cosl Reimburemenl (S~cil) CR CPFF 0 N Cooperative t~reement (Handbook 13)
CS CPAF CPIF) ~ 0 O Small Business SeImiddotAside (FPR 1middot1706-8)
o l Cooperative Agreemenl ~ 0 1 Overseas Procuring AClivilies (AIDPR
04 Grant Gener31 Supportmiddot 0U ~ 7lIOI-SC(b)(2))
o S Granl - Specific Support ~ ~06 E SER VICE
g ~ ~~t ~~(d) ~~ ~~ ~ eci~a~~~~~ogram Projeci
o amp IQCs ~ ~ relampted excepi A amp E Services)
o 9 Host Counlry ContraclGrnnt 5lJ C amp E Services
middotComplele ONLY through ~Sl ~~ 0 D Construction
M05 SELECTION PROCEDURES 0 E- Reseuch
o A Formally 3dverliscd (IFB) (A1DPR 7middot24 amp
FPR 1middot24) ~ o B Negoli3ted Price Compelilicn Gencr31
Procedure (RFP) (-JDPR 7456)
Dc A amp E (AIDPR 7410)
0 D Ed Inst andor Inl1 R~arch (-JDPR
74 5)
o E Collaboratoe Assisunce (IDPR 7458)
C F Predominant Capability (IOPR
73IOI-50(b)(l)
AID 1420-49 (179) - Page I
D F Technical Services to AID (other than trainmiddot
ing usually o~ating expense)
D G jraining SetVice for AID
o H Equipment Materi3J~ Supplies Commodities
D I Translation Service
~07middot TYPE CONTRACTORGRA-nEE
o A Firmmiddot AU profil-rn3king fUms (other than
Aamp E)
J e A amp E 8r~
zalion
o Public Inlmlational Organizations (UN
Agencies ICRC Wocld Bank elc)
(H8 J 3 Chapt~ S)
M08- TYPE AW~RD
o A S8 Sel-Aside - Awarded to Non-Minority
o B S8 Set-Asidemiddot Awarded to MinXity
o C_ S8 NOI Set-Aside - Awarded to Non-Minority
o D S8 NOI SeImiddotAsidemiddot Awarded 10 Minority
o Eo amp(a) S8A Awarded to Non-Minority (Womerl-
Owned Veterans etc)
o F 8(a) S8A Awarded 10 MinorilY
o G Personal Sen-ice ConlrdCt bull Non-Minority
o H IeJSDnal Service Conlract - MinorIty
o I Individual NonmiddotPersonal Service Contraci -
NonmiddotMinority
o J 100Jigtiduai NonmiddotPersonal Service Contracl -
Minorily
o K NOI Small Business (Univ NonmiddotProfit Large
Firms) Non-Minorily
o L- NOI Small 8usineSl (Univ Non-Profit Large
Firms) Minorily
o M US Govcrnmlnt
(Connnued on Page 2)
BEST AVLABIE DOCUMENT 1 I
--
ua ) R I GI NAL 9 bull
MODIFICATION or GRANT PAGE 1 of 2
AH 1 2 Effective Date 3 Grant No 4 Effective Date
Amend_at Ro 5 April 15 1981 AIDCSD- 3294 8-11-71
-s CRANTEE (Name and Addrea) 6 Administered by -Professor Gerhard Loewenberg -Office of Contract Management Cbrnparative Legislative Research Gente Central Operations Division Dept of Political Science am Branch University of Iowa Agency for International Developn~nt Iowa City Iowa 52240 Washington D C 20523
7 PIO No 930-0090- 3013411 A5 8 Previous PlOTa -
Appropriation No 72-11110216 93i-1l-995-l36 930-11-995-136-73-3078103
Allotment Symbol - 146-30-099-00-20-11 wunt Obliga ted by this ~ndrnent - $10397
The above numbered Grant is hereby modified as follows
1 Anotmt obligated prior to this rurendment 2 Amount obligated by this amendment 3 Total obligated anount (1 amp 2)
Delete the amJmt $465000 and substitute in lieu thereof the ammnt I$47S 39-7 ~
FUNDS AVAIrABm
~~ - APR 13 1981
PrO~A~~5iors
$465000 $ 10397 $475397
OffiCE Of fIN~(1 ~~rE~E~T __ _ 10 This amendment 11 entered into puruant to the authority of the Forelgn
Assistance Act of lS~l as amended Except aft hereln provided all terms and ~~ndi~ons nf the grant rcferpnccd in Block 13 remain unchsnged and in full force and ~ffcct
11 original and six Crantee 18 requlred to aign thh document aad return 1- eopics to issuing
ffiee
~~~ or printed) BUSINESS MAHAGR amp bull
Tille TREASURER
UNITpound) STATES OF AHERICA AGENCY FOR INTERNATIONAL DEVELO~NT
BY_-1(1o-_1lt--= 13middot~_1_~ __ K R B1uteau
(Name typed or printed)
Tltle~ ____ G_r_a_n_t __ O_f_f1_c_e_r ____________ __
D3tC APR 2 J 7997 Dolt 9 APq 1981
BEST AVAILABLE DOCUM NT ___ 0 HLGlNAL - I 1 J 1 ~ )
- 2 -
AID ftmds in the am)tmt of $10397 are hereby provided for the activities lmich are described in your proposal (including Budget Stnmnary) entitled CDnference to Report Research Findings on the Study of Political CDnditions for Effective Small-Scale Rural Assistance Projects in Kenya Korea and Turkey dated February 17 1981 and made a part of the Grant b reference
BtTDGET StMMARY
Line Item
Travel
Per Diem
Other Direct Costs
Less existing 211 (d) grant funds
Total Amount Obligated by this Amendment
Estimated Costs
$ 5888
5100
_ 2500 $13488
_ 3091
$lO39
Note Indirect costs or $395086 associated with these activities will be contributed by the University of Iowa
BEST AVAILABLE DOCUMENT
~RIGINAL
- CONTRACT IGRANTCOOPERA rIVE AGRElEMI~ SERC~SDSlP Actio) Monitor
SERCMSDSUP Action Office
I
INSTRUCTIONS AJDW - Complete 4 copit of tlh fonnmiddot Orisina iCMSDfSUP Sutistical Section COP)middot Copy 2 SERCMSDjSVP Administrative CoP Copy 3 Cont-acting Officers COP) Copy 4middot SOSUP Admin (Susptnse) Copy Missionsmiddot Complete 2 copies of the form or~aI SERCtSDSUP Statistical Section Copy and Copy = wiU~ retained in the Missions
0 PART IA
Effective Date of Document tJ
Delivery Order (Requirements)middot
o 4 Purcluse Order
bull If I 2 or 3 have an bull X compl~te M I 2 ON L Y
M04 - CONTRACTGRANT TYPE
o O MOA (BOA BMA etc)
o 1 Fixed Price (Specify FFP FPRD FPEP FPI) ___ _
o 2 COli Reimbursement (S~cifY CR CPFF CS CPAF CPIF) ______ _
o 3 Cooperative Agreement
o 4 Grantmiddot General Support
o S Grantmiddot Specifi Support
o 6 GraDt 21 led)middot
o 7 Do Not Use
o amp IQCs
o 9 Host Country ContractGrant
middotComplete ONLY through M 5 1
MOS SELECTION PROCEDURES
o A Formally advertised (IFB)(AJDPR 7middot24 amp
FPR 124)
o B Negotiated Prire Competition General
Procedure (RFP) (AIDPR 7456)
o Co A amp E (AlDPR 4 I 0)
o D Ed Ins andor Intl ReStalch (UDPR
7457)
o E Collaborative ASSistance (AIDPR 7458)
o F Predominant Capability (AIDPR
7-310l-50o)(3)
AID 142049 (1-79)middot Page J
o H Procurement Co be Performed b~ the Conshy
tra~tor in Person (AlDPR
7middot3t OI-SO(b)(Iraquo
o I Sole 5gturce (AIDPR 7middot3101middotSO(b)(4raquo
o J Impairment of Foreign Policy Objecdv~
(AIDPR 7middot310 ImiddotSO(b)(7raquo
o K 8(a) Selection (FPR 1middot1713-t)
o L Grant (Handbook J 3)
o M Do Not Vse
o N Cooperative Agreement (Handbook 13)
o O Small Business SetmiddotAside (FPR 11706-8)
o P Overseas Procuring Activities (AIDPR
7middot3101middotSO(b)(2raquo
M06middot TYPE SER VICE
o A TtJining of Participants
o B Technical Assistmce (Program Project
related exc~pt A amp E Services)
J C A amp E Services
0 D COltl~ruction
0 E Research
0 F Technical Services to AID (other than trainmiddot
ing usuaU Y operating ex pense)
0 G Training Service few AID
0 H Equipment Mat~rials Supplie~ Commodities
0 I Translation Service
07middot TYPE CONTRACTORGR TEE
Firmmiddot All profitmiddotmaking fu-r1s (other than
AampE)
o 9 amp E Firms
I Prcct NumbcT
I
Contactors D-U-N-S Numbcr
I) -S--f(j
o C Individual 0-lon-~rsora1 service)
o D Individual (Pet-sonal Service)
o E University lOt her EduCltionaJ Institutions
o F Non-Profit Organization Institutions (other
than Ed or PVO)
o G Private Voiuntary Organization (PVO)
o H International AgricultwaJ Research Organmiddot zation
o I Public International Organizadon~ (UN
Agencies ICRC ewld B3J1k etc)
(HB J 3 Chapter 5)
M08middot TYPE AWARD
o A SB SeImiddotAsidemiddot Awarded to Non-Minority
o B SB SetmiddotAside bull Awarded to Minority
o C SB Not SetmiddotAside - Awarded to Non-Minoril)i
o D SB Not SetmiddotAside - Awarded to Minority
o E ~a) SBA Awarded to Non-Minewity (Womeli
Owned Veterans etc)
o F 8(a) SBA w-rded 1o Minority
o G Personal Service Contractmiddot Non-Minority
o ~ Personal Service Contnct - Minority
o I Individual Non-Personal Sence Contractmiddot
NonmiddotMinority
o J Individual Non-Personal Service Contractmiddot
Minority
o K Not Small Business (Univ Non-Profit L1lge
Firms) --vn-Minority
o L Not Small BUSiness (Univ NonmiddotProfit Large
Firms) ~inoriy
o M VS Government
(Continued on Pcge 2i
t bull - t ~ J f q
ORIGINAL bull MODIFICATION OF GRANT
1 2 Effective Date
Araendllent Ro 4 12-2-80
s CRANTEE CHace and Addrels) Professor Ger1ard Lo~middot enbelg Comparative Legislative Research Deartment of Political Science The Lnivp-rsity of Iowa Iowa City Io~a 52240
7 PIO No NI A
Appropriation No 72-11XHl26
Center
Allotment Symbol -426-30-099-00-3~-71 Amount obligated by this urendment-O- I
3 Gnnt No
AIDcsd-3294
PAGE _____ 1 _of-L
AlI 4 Effective Date
8-11-71
~ Admlnlltered by -Office of Contract Management Central Operations Division OTR Branch Agency for International Development Washington DC 20523
8 Previous PIOITs -
931-11-995-136 930-11-995-136-73-3078103
9 The above numbered Grant is hereby modified as follows
Supplement to Grant
Change the duration period sentence to read
The Duration Period for this Grant shall be August 11 1971 through December 31 198]
1 Amount obligated prior to this amendment $465000 2 A~unt obligated by this amendment -0-3 Total obligated amount (1amp2) $465000
----------------_- - ------- ----_- ------ 10 Thh lImcndmcnt is entered inlo punuant to the authority of the Foreign
~ Assistance Act of 1961 86 amended Except a~ h~reln Z II provided all terms and condi tions nf the grant referenced in Block 3 remain ~~aunchlinged and In fu1l force and effNt cnltUI cJ)za 11 o 4 J bull
Et~ ai~a gtUoItshyc Z P=u
original and six Grantee t requi red to sign this document and return 1- eopies to 1Bufng
office
~ 12 GRANTEE TES OF AMERI CA
(Name typed or printed) bull
TJlle Director Comparative Legislative liecearell CeQtoQl
Date 12880
------------------------------------
ONAL DEVELOPMENT
By ----~--~~~~---------------------
prinled)
Grant Officer Title --------------------------------
J)oll( 12-2-80 -----------------------------
BEST AVAILBLE DOCUMENT i je
- 5 -
itl Suppor- f~ctl this Grat tre University of lei-Ilt ~dll cO1centrate
e1 fclts in this prcge~ en legislative behavier variables tat telp
e91aL ~hee specific 3sten cha~a~teristics 1) the scpe of olitics
2) e style IJf goverQent ~tnd 3) the legitirlacy of the regine For
tis l)1lpcse te gtrcglam -rill ex~e releva1t coparative factors il
a lage nlt=~er O~~ African and Asian legislative institttions The
Univcsity of lO~middotIa ~lill also uldertslte the study of these legislatures
at -a~iClS cLts in tire This ~lould gtequie the use of time series
cat t1G historical SClrces not cctl9arable to contempOral7f sou=-ces of
Fe each of te legislatures included for study Ima -iill seek to
a1al~ze suc] cbractelistics of t~e legislative systen as 1) the
atricutes cf ecers--te process of their recruitment their so~inl
~c cccupalonal backgro-lI1ds their politically relevant srills their
role c~ie1lttio1s inclcirg ht~ir concept of represeILtation and the
pe~pound~ge 1~r5th 0- tente in tbe Ipgislat~re 2) t~1e distribution of
the f0~al 211 inforl rales of 2ocedure the leadersnip groups the
cr-osi tio1 and role 01 legisl3tire staffs a1d the kinds and freqlelClJ
of legisative sessic~s 3) the ~utputs of the instituticn--the agenda
of issues tre modes c- cotenticn el1d the qU11titr and kinds Jf
decisions
)middotemiddoter llllike studies of ~hese fctors in the past Imla is
BEST AVAILfBLE DOCUMENT
- 6 -
The for~Ietic1 0 tneol-y lO this coarative 8seerch of
Tiiill ~erdt equivalent cmiddotoss-sy-ste~ ~easuelents are 8O1g te r6st
irpctant aSgects of tle prcject It r2y be one of the ~c-st valuable
esllts of Io~a I s efforts ad ~dil reCuire close collGbor-tion arong
t~e pa~ticipents bull
p_ Cc=-arative Legislative Research Archive
lltOle a subsb Tltial aolIlt of legislatie data has been collected
in a1j- different cOL1tri8s very little of this iateriul is cOJarativE
1middot-s of it has teen collected by individual reseachers on e single
CQl~ty Cc~adson in legislative research is thus difficult because
=2 01 r3j cClalties are ot available at a sirgle location in s sLgle
is a clear ~eed for the ce~t~alizGd acq~sition ~ or ~ne
available data to per t the forulaticn and compGrative testlg of
~eorics aoc~t le8islativ~ behavior As a major part of this program
te Uive3ity of 1mmiddote 9poundlS to establish a data arch-e to begir to
big te existing legislative sttiies tcgetber at a sirgle location end
to ~-ke ~i~er ~ccessible +0 the grm-ing 1unoer of irterested scbolals in
Once J~1ese data have O~en brOght tcgether tney will contribute to
-~ pogram t IO~middotia in -I~middotiO -poimiddottant ~middoteys First the dats -Till be
utEized in traLig graduate stud2nts T1e rea13lysis of d~ta to test
BEST AVAIL~BLE DOCUMENT ( 1 t
- 7 -
faculty at the University of Imllt1 and from omiddotrerseJs tlitbout slch an
acbival base those dtdies Ylould be ver lil1ited in the hypotheses
ter could test The quali ty of this re search eqerience fill be
(o1siderably enha1ced by the aVJilability or data for co~arison dth
t~e data generated thlcugh the ccllaGorative research sponsored by the
traini~g progca~
Once gathered a~d refo~tted the data ~~ll be ~ade available to
sc~olars students al1d other interested persons outside of tre University
of Io ra P(r exa-nple appropriate data sets would be available to other
llsti utions tat pre ccoperating in t~is program ie Ha-waii Clla De
~ese could tten be used in curriculul developent at tbose schools as
middotell as Ll the pre-grar at the UJiversity of Imre Finally data could be
aie available to i1di-idlal sc~olars and institutions overseas for use
1 teir research a~d trailing progrems The cUIlulatiie effect of this
disse~lilation and staring of data ~i11 be an enrichme~t of research an
Llcreased flO-I of ne data to the Uriversity of Iewa I3Jld a greatly
ena1ced ability at Iowa to aalyze legislative behavior a--d defelopnent
f 1ssociates
The University of Iowa d31 involve as Associates individual US
arc ~ereign Rcolars fro~l other instibticns in some instances fOl
cc-ivities at Iovll in others as recipents of support Oi research and
oter aciivities middothich coqlement cnd emic1 the program at o a These
Associa-es rill be involved in such activities as ser-lfing es University
of IOim g-uest professors 5~St lecturers 1d visiting faculty
lticipel1~s L ccnfiences and s~riosia and as collatJoratiEg 2search
BEST AVAILABLE DOCUMENT
- 8 -
cevelcged c~lt-ies Smiddot~yemiddotl such projects core already uoer ~middotay
and 3y potetial ss~cetes ~ave been identified and thei ilterest~
211 gtarticipeting i1 t~e ~Cglar1 ascertained
He -resc1t ge~sc-~el a1d acilities of the University of Iomiddotro
plcvice a very st-cre basis for the research atJd training programs
~rnich ~middote a~ ~rc9~3L1g -fmever the further development cf legislative
suCie3 ali a pec~ent streugthenLlg of ~he progrun of Iomiddot ~ is a major
a oes3icral Demiddotmiddotelc~ Galt fur~ds will be uSed by the
LT~iersit2 c la= ~ icreasing te nUbe of faculty specialists in
cClJses ir sjcts elated to the subject atter Specificallr grant
fuimiddotis dll ce usee to ac3 one pernanent faculty Uemoer in roliGical
scienc~ ~middotit s~ecia iltcests b legislaive beh3vior ald political
dloYl-nt a-o 81 a29 cmiddot-petence in Ardcan pclitics and to bring
(lculy -emiddote-s fro less ceveloed countries to spend a peri cd of time
at the TJ1 i si ty o~ Io~middot adine sechtl expertise to the ~od~ at Iowa
other middotisosel -~ i_ le irol1ght to IC~ia as needed to support those nO~T
or --18 fc~~ti r~lt 7ds ~rill also be ilsed to finance data collection
exlts-s ~) t~-e res~imiddotch iork of tte acult the Associate scholars
BEST AVAILABLE DOCUMENT
1~ II
- 9 -
cesigned tgt trrtin US and foreign-born st1lcents in le6islati-~e rese=z-cndeg
Sttde1fs ~dll be tdTi tted cr11ally to 9 proeragt iihicn ~iould irclude a
tro~ot~h grounding in the r thods of cczparative aralysis the S1ostance
of conparatie politis g-mel31ly end the corrparative studJP of
legislative behavior in 9articulal The Uni-ersity intends to associate
tnese studelts directlr - rith research in Ttlhich faultr 2Cbers are
engaged to encourage thea to dra- U90n the skills end resources available
in this field il ra1Y departnents of the University to enable them to
spend up to one year in field research and to have thel4 snare their
findings middotrih their stmiddottidei~t and faculty colleagues Tle prograII will also
involve foreign scholars middotno are expert in the legislative process of
t3ir o- n countries in the tcaciing fgtimiddotogren both by holding -fisHing
a=point~elts at t-e University of Ioc1d by sUgervisi~g field research
c R d - t- ~ 1 rec C~ of Esta~lis~ed Scholars Tne University of Io~~
plals to extend a1 in-itaticn to seieal foreign scholars duri1g te
gle1t p2riod to patici~te in a coparative legislative researc~ seirar
duriig their visit Their plrticipat~ion middotrill edd 3 lL1iqte diiensicn to
the seiiral hceuse cf theh ~1o~-rlecge of the legislature in their own
C01-try BCmiddot2~ J1is Gemilr -ill be dealing -lith the nos-G current
reseaCIJ o~ l0~ ~ltmiddotJres as ell as discussine desigs for reseach to
fill in cowleuge of legis1timiddotre 1ehclicr -re believe
tret it ill be a l2~lilg experience for all the pclticira1ts--incltcing
BEST AVAILABLE DOCUMENT 1]7
- 10 -
Ima rill lOrk collcboratively ~ith the fOrsig1 5cbolars to design a1d
carry out P reseach pruject These projects Till cc~tribute to the
retlaininB of foreign scholars and nill also add to cur mmiddotm and8rstanding
d Research The 9rinciplI enphases in cesenrcl rere cutlined in
Section III above ie to focus en con-9arative studies in iihich
legislative cehaviol can be helpful in explaining the scope of politics
the style of governcent a1d the legitinacl of regiles Variables hich
will be studied Iost closel~r ircluue tbe persistence of institutional
norms in the legislature oyer time the relationship o~ the legislatue
to ether institutions in fornirg public CC1Cepticns of politics and
the histOl~ical context detelini1g public expectations of the 12risleture
This resea~ch nag both academic and practical objectives
Academically it promises to tie legislative behavior research to other
major concerns L1 pcliti~al science such as research on systeJ stability
and paricrJance Its general substaltive eojective is to assess the role
wtlichlegislatures Illay L1 determining the capability of political
s~lstems especially their ability to deal ~middotith soCial change
Vractically the stu1y ~y offer guidance to polic~Y-Dakers on
t~1e role ~ hich legislatures rray be ~lI-pected to pIa)- in neimiddotrly established
political systelt ald on ~hc efcrrrs in established legislatur~s -Thicn
rray be required to achieve specific syste~ effe~ts The study ~dll
Nquire the assccioticn of rembers of legislative staffs a1d 2cademic
colleagues in the s~eLal nations lmder nvestigRotiop plovidirg training
fot ~ll r)f them i1 leeis1ntive re3Clrch ~ri facilitating a valuble
BEST AVAI~BLE DOCUMENT
ll-
of Iml3 ~ill LS~ glmiddot~t f~ds t~ estaolish a data archive to begin to
bring tb~ edtirg legi31ati--re studies tog3tller at a single locaticn
end to =afe t~e ac~essible to tie grc~ring m~er of interested
scholars in t~i3 field PerSCIlllel of tbe Data Archive ~rill searcD
broadly fo all a-reilable data on legislatures in the possession of
ildiviiual researc~rs i11ese data sets ~-Till be acquired refo~atted
for ease in alelrsis a1d stored in Archive Tne Archive ~~ll
asserble tie etel~ Gata O legislative organization ald procedure the
socialization ~~ recruite~t of lzgislators legislative decision-
makLg pccesses 2d legislative outputs To facilitate access to
the data a ~middote-riemiddotrlt11 syste middoti111 be cesigned that will 2011001 r-=searchers
to find ~iccJ ata sets that c~mt2in inforration lelefalt to their
researc1 po)2e5 RibEcg-aphic citation3 cnd abstracts of research
reports on le~i51e-imiddote oebio ~~ill be gathered and a biblicgraphic
retrieval sys tC idll a Geielc9d to aid esealcJers
cooioinet-e1 ~~as n -ie are= of c~rarativa legislatile studies is
t~3t because 0 si~~e iJS in~ti tuticn ias tce necessarJ expertise
of ccrparati ve
1-=gislatiY2 tcie3 8forts of the most conrpeteat ace interested
BEST AVAIL~BLE DOCUMENT MCi I I yl
12 -
oz~ the tr)middote grantee institutions and otter associated scholars It
~ill ayise t~e pa1tee i1stituticns on SllC catte-s as roritorirg
activities at the t~re~ unive~sities~ evalu~ting rese~rch frr possible
=middotclication sJ--sidies rld ether ratters related to infor~atioTI
disse~~ation coordinating research efforts to avoid duplication
ecilitating excha1ges d sttde~ts ad faculty members ~-iitb foreign
nsti tutions i~en desirable tryi1g to till lacunae in cLIricu lUn
helJilg to arralge cmferelces and sy-posia and generally trJing to
9cote te ~eielcp~2nt of cOlparatile legislative stucies as a
Gra1t L~HS idll be ~sed to support the Univ2rsity of Io -a IS
nrticipation in tre AdisorJ Co-i ttee t1e developrrErt of conferenc=s
elsEfhere il the US arHl over3eas i1 relat2d facets of leeislaive sttdies
Edstng iersonJ~l al~d fa-ilities at the University o= 1oa previde
iaculty facliiies to aid rC3emc~ trailg aPd skill in 21c~ivaJ middotork
BES~ AVAIL4BLE DOCUMENT I
r ~-)
- 13 -
Six ITe-bers of t1e faculty of the Departent of Political Science
at the Unhe ity of Im-ia are presently engaged in legislative research
To merbers ot the Departllent of History are engaged in research on the
British Parlia~ent L~ the eighteenth ~~d nineteenth centuries Fer the
past six years an adv~~ced se~inar has been offered by ~embers of the
Department of Political Science and the Department of Histo~J on
comparative legislative behavior This exte1sive collaboration iiill
ma~e it possible to develop a fully inter-disciplinary program for the
students ~~d visiting faculty In addition faculty ~emcers in
Scciology interested in organizatien theory and in the College of Law
interested in legislctive processes provide furtber e-pertise ava_ilable
to students interested in tee study of legislative behavior The
presence of these specialists on th~ facult~r is reflected in the
excensive librarJ al1d otler data resources existing at Iowa in this
field
The Uniersity of Ima offers an unusually extensive program of
trainL~g in research methods Four ~e~bers of t~e Department of Politi~al
~cie1ce teach in the field of research nethods Courses jn statistics
ca1 be taken ill the Dep~rtents 01 Sociology e-d Educational Psycholcgy
Llis prcgr6l provides a verJ solid grounding il research training and
data analysis
bEST AVAILABLE DOCUMENT
e ~
- 14 -
Y labCrato~y for olitical Pesearch is the reseacc1 md research
tlairirg facility of the Departe1t of Political Sci-lce Gcadvate
students receivo extensive res~arch experience through 1or~ing in the
La oratory bull The Lacoratoy is also a1 integral part of the trainirg
o~feed in ccurs~ T~middotO~ for graduate students
The full-time sta~f of the laboratory includes a director an
assistant director a t-=cl1ical cirector a supervisor of study
t1hteen graduat~ students - rf1rk in te Laboratoy receivLLg teining i~1
~a~a collecticn ~~i data e~alysis Tbe facili te5 of the La)oratorltJ
icluoe a oard eJcerline printer ccnnected to the U1iversitys
dis~ and tape storF-ze for d~ta
The pogral of trailing ia coparative legislative reseC_cch ~ill
relr heavily en t LaOerltcLJ- for taching graduate stucents Visi tine
fc111tr lYe~bes iill be able to utilize tbe facilities cf the Laboratory
gt IOra ~as sFcial ccrpetence in prOCed~les for
ccq ter ogagtlizetion of d~ta Ja1ks ~d fOi the p~ocGssing of large data
sets as well as iJ the sttdy of naticnsl end st~te legisltllres Tile
BEST AVAILABLE DOCUMENT
- 15 -
Ile Univelsity of 10Ira will eadnister- the Grant thJotg~ its normal
a)1 iristrative char-l1els ad i1 Eccordance imiddotlith its ncrTal olicies and
operatirg procedures 7he Director of the gr~l1t-s~~ported program
Hill be a senior faculty eriOer of the Gniyecsity of IO~-ia -with extensive
expe~ie~ce in the subject field Associate Directors w~tb similar
qtalifications -aill also be appointed 7he Director- and Associate
Directors ~dll serve as eibers of t~e Inter-University Advisory CC1gtr)ttee
established to cooidinate _u bullbull ID gra1t-stpported programs at IOia Dul(e
lniversity a1d the University of Ha- aii Ll1 this field These relatiol-
ships are i~dicated in tee follc~dng a~inistrative organization chart
IX Ul~vsity Ccntri1uticn
T1~ ~h-ersity of IQ(a aSSures ALD that this Grant middotiill not
replace existing ftnds for STr current activity and imiddotrill be additive
to existing prograrrs of tCe lJniversity In direct sp~ort of this
Grat ttc University ~ill provide a) Acmi1istratile costs including
tie of senior officers of ttlt University b) Office ~ld research space
ald library and cor-puttr facilities c) Provision of a1cillamiddotCjr 1niversity
personnel -or consultation o~ ~middotjQrk nth the progral
X Reports end 5evie~-Ts
There i-ill be sub~itt-=i al arnual t2ctnical report for the purpose
of AID s revie- of activities under te Gant Tnis idLl include
a11 e-llation of prcsr~ss aidnistratve ar_c fiar~cial corsicer~tior~s
p~s cr tr foJlJ-middotire ear ~i disctlssics of the ossible l~lizaticn
BEST AVAJLIl8E OOCI1MrNT
~
- 16 -
A~~inistrative O~ganization
Ice Board of Regents of tle State of Im-la
-Iesicent of the University I
1 rOfcst Jf t-3 University
Den College of Liberal Arts
r Chailan DcptiEt of olitical ScieJce
Inter-G~iversity
Acisorr Corcittee
PcgrG21 Director Associate Progra~ Directors
Liaison Arcrge~~nts d ~h I I~~erested Plcfessiona1 I Perso~el j
I _
I 5cu1ti (full or PmiddotLG-tire l Asscci~tes a1d otllei non-Io~il
3ecip5ents of Gr3-1t stPPC1t Gr~cue~~e S t1~lcnts St2~retQi~S1 Data Lbed~1 31
Ln 18 r1icia 1
LO1t c~lce Factcj~1 ts
BEST AVAILABLE DOCUMENT ( ( V-t
- 17 -
of te eo17i~g cCpterce br A I D rLld ethers In addi tion there
aS3essr~ents of the gr31t
middot l ~ lI ~ _ _ _ co~~~r~~ing ~~iversiti~s md tne rrctitoring ALD office
7re l~yersity of Ie~middot~ budget of $26500 is to be deveted to the
cemiddotelgt~e~ of lstituticnal cefete1Ce in comparotive legisl~tiye studies
~t Iomiddota c t~ the exalsi0 ot a date b~L-lt ~ hich 1fill be utilized as
a ecle for icrec3ing te scope of tbe sub-specialty
T - 1 f 1 __ middotja r S Ctdget a9roxir~tly 33- has bee allocated to a
cemiddote Lp~l t rirc ipally C actlty re leased tirre for data ccllection
ai 0 3alres f~r i~~er-ieers in field research 3d secretarial
assi5ta1ce nCt2 11- of t~e Icmiddotre oudge~ is iesignated for an
ArCE_1 A~ite s(101a~middot 2d one 0 ore scnolals froQ LDe or
s1lllrt of greluate stucents in the
BEST AVAfLIlBLE DOCUMENT
- 18 -
Finally approximately 19 of the budget will be devoted to the
proposed data bruL~ that will archive not only data generated from the
research of scholars at Iowa Duke and Hawaii but also at other US
and foreign institutions Primary and 3econdary an~ses of these
data will become an integral part of ~omparative legislative studies
curricula The ability to utilize the data bank for teaching purposes
also should have a significant impact on professional preparation ofmiddot
future legislative specialists In summary the funds will be
allocated to research teaching and training activities tha~ are
entirely conson~~t with the philosophy underlying the utilization of
2ll(d) grants to achieve institutional development
Conclusion
The University of Iowa regards the research and teacbing components
of this program to be closely related an1 zrutually reinforcing The
University of Iowa offers a strong base for the pro~ram because of the
interests of faculty members here now because of their contacts with
scholars in this field in other Americ~~ and foreign universities
because of their experience with the international exchange of faculty
and because of the distinctive data gathering and processing facilities
available in our Laborator~- for Political Research The program which
we have formulated is designed not only to accomplish specific
research and teaching objectives but to contribute to the long-term
development of the University of Iowa in an area in which it has already
exhibited special interest
BEST AVAILABLE DOCUMENT
~ I) - 0
- 19 -
The program on Comparative Legislative Studies with support from
this Grant rill develop the capacity at the University of Iowa to
provide assistance under separate financing arrangements to developing
countries in a number of ways and through a varieiy of channels This
assistance which would be arranged for end negotiated separate~ from
this Grant may be in the form of technical assistance advisory service
training research and information exchange etc It will be available
by mutual agreement to appropriate agencies national and international
public private a~d mixed and directly to the less developed countries
Most especially this added special competence will inevitably become
incorporated through the processes of scholarship and education into
the competence of US and foreign scholars and institutions concerned
with this topic of great significance to the developing and the more
highly developed countries alike
BUDGET SUMMARY
UNIVERSITY OF IOWA
Salaries
Graduate Student Stipends
Fringe Benefits
Travel
Equipment and Services
Other
TOTAL
$173090
32400
19209
13800
6501
20000
$265000
BEST AVAILABLE DOCUMENT
d bull
srjmiddot (~~ jjXilO
IO
rmiddotmiddot ~middotmiddotrl f)~~ 7 middot 1 ~A~~ middot1 rmiddot middot~ rt bull middot bull bullbull I ~ i bull bull ~ middotv- middot bullbull ~ I
1 so bullbullbull l ~--~-- - - ---- ~ V~ i Jlgt ) bullbullbull ~(lr v ~I ( tr_ 1middot-middot 1 bullbull 1
il l~ J
2 c~loto
BEST AVAILABLE DOCUMENT
(C
Dr Willa~d l Boyd Presicient University of Ima iowa City Iowa 52242
Dear Dr Boyd
4 AUG 1977
amp
FIJNDS AVAnASLe CpoundNrftAamp sEIMCEs DMsON
AUG11 ~n te t6417 ~77
Subject bull Supplsectferit-tJF-G~middotNomiddot~middot AIOcsd-3294
t middot-rrPJ1 3
I am pleased to inform you that pursuant to th~ auth~rity contained in
S-cction 211 (d) ooC the Foreign Assistance Act of 1961 as amended a sup
plemental grant in the amount of $200000 is h~reby r~de to University
of rCi1a These supplement]l grant funds areprolided to support the
activities which are described in your Proposal dated May 6 1977 for
the implementation of your program entitled Political Conditions for i
Effective Small-Scale Rural Assistant Projects
---This sup~lemental grant is mace to University of Iowa en condition that
yo~r institution shall administer the funas provided under this Grant fn
accordance lith your r~ay 6 197 proposal (including Budget SUmlilary) and
the Standard Provisions (as incorporated by Amendment No 1) which have
been agreed to by your instit1ltion Ti) the extent of an inconsistency
between the Proposal and the Standard Provisions and any otherprovisfons
which ar~ made a part of thi5 Giant by reference or other~iSe the Sta~d~
ard Provisions shall control
The new Duration Period for this Grant shall beAugust 11 1971 through
August 10 1979
The total amount of funds obligated under the grant is increased to reflect
a new total oblgated amount of $465000
Please sign the Statement of Assurance or Compliance ana the origfnal -
and seven (7) copies of this letter to acknowledge your understanding of
the conditions under which these funds have been granted Please return
the Statement of Assurance of Compliance and the original and six (6)
copies of this supplemental Grant to the Office of Contract Management
Attachment May 6 1977 Proposal and Budget SUfiT1a ry
UNIVERSITY OF IOWA
Roberw bull OBrien fficer
Ce al Operations Division Office of Contract Management
AC~E~E~C--_ 0 BYpoundk~~ cH
D C ~lpoundSTtR5BA T ITL E ( PfeampoidPilt for
tee ment amp Research DATE 9-22 -77 (d~ ~~Bduate Ctl~1e~e
BES i AvAILdLt UOCLJMU~ I
211(d) Grant Program
Proposal of the University of Iowa
POLITICAL CONDITIO~S FOR EFFECTIVE SMALL-SCALE
RURAL ASSISTA~CE PROJECTS
Submitt~Ci to
Civic Participation Division AID
May 6 1977
Amount requeste~ $ 199987
BEST AVAILABLE DOCUMENT
I TdE DEVEIOP~T PROBr~
P~litical Conditions for Rural Development
The Cocparative Legislative R~search Center of the University of
Iowa proposes to ~~dartake a two-year study to investigate the role of local
leaders and the rural public in theimplecentation of small-scale develop~ent
1 projects in less developed countries The study will use and extend the
capacity ~hich the University of Iowa developed under a 211(d) grant to
investigate and assess the impact of loeal politics on rural development
~t the co~pletion of the s~ Iowa will be in aposition to advise the
Agency on the design ~nd evaluation of s~ll-scale projects which will be
politically viabe a~d effective in ass~sting the rural poor ~
As students of development w~ approach our task with the assumption
that the proble~ of development and underdevelopment are funda~entally
ones of political econooy and a~ such can only be solved through a
simultaneous considerationof economic and political factors Efforts
which foc~s aloost solely on economic factors like those of ma~y
organizations engzed in dipersing foreign aid or efforts which focus
almost exclasively on political factors fail to take account of the
interdependence between these two dimensions of underdevelopment and
lwe have for~ulated this proposal in a canner consistent witr the cu~rent policies ard interests of the Agency We have been guided in our tsk by four Age~cy doc~e~ts Impleo~~tation of New Directions in Developnent Assista~c~~~ ~eport to the COmlittee on International Relations on Ilupleoenshytatiun of Legislative Refo~ in the Foreign Assistance Act of 1973 (July 1975) rItevis~d Projec Developiel Review and Approval Systeo (A I DL Circular A-21 Aril 23 1975) SH Butterfield Draft SUIilZ3ry StateUlent of a Practical Agelcy Approach c aural Devalopilelt (AATA February 28 1975) Cicci A Coce~ual Oie=viamiddot middot Rural Development No1 (lWorilting GOU O~ tha Rural Poor February 1975)
- l -
can meec with only l~ted success
Our concern with the i=pact of local politics on the process of
rural developcent is a result of our interest in the basic question of
how LDC governm~nts and the donor agencies which assist them can
become core effective in raising the standard of living of the rural
poor We seek answers to the following aspects of that basic question
1) What political conditions must exist both within rural communities
and between theo and central gove~ents to raise agricultural production
w~ere small-scale agriculture is the do~nant pattern 2) Vnat are the
political conditions for a core rapid expansion of the informal manufacturing
and service sector cocprised of labor intensive small-scale industries
located in the rural ar s 3) What political structures and activities
are mase crucial for the provision of welfare and econocic supporc services--
such as agricultural exeension mar~eting and transportation--to the rural
areas1 4) ~~at Folitical conditions oust exist to insure that economic
growth in the rural areas is not accowpanied by excessive and intolerable
inequalities between socio-economic classes andor between regions1
Center-Periphery Linkage in LDCs
To deter~ne the political conditions for rural development we have
in previo~s s~udies exacined the institutions and processes through which
rural populaticns are integrated i1to the national politi-cal systetlS of
middot~he countries in which they live A gap exis~s in most less developed
countries bet~een the peasantry residing on the periphery and the c~~tral
political ~stiutions staffe1 by ~~estern-educated bureaucratic elite
We are aware of the other major ~sti~utional discontinuities which comprise
J
4 middot~~1 the basic cleavage between the developed and underdewmiddoteloped sectors of
these dual societies Bridging these gaps is essential if these so~ieties ~ are to develop into viable nation states For until those Q~ the periphery
of the poli~ical syste~ participate in that system and support and comply
with the authority of central political institutions neither economic
development in ~he rural areas nor a stable polity will emerge
Bridging the discontinuities in these new political systems requires
establishing and institutionalizin3middot1inkages or networks for co~unication
and exchange of resources between decision-makers at the center and the
rural public on the periphery Three types of institutional linkages are
most prominent in less developed countries 1) those conSisting of the
state administration composed of the bureaucratice1ite 2) those consisting
of a revolutioncry political party cocposed of the ideological elite
3) and those conSisting of patron-client hierarchies composed of the political
entrepreneurial elite
Of these three linkages consisting of the state administration are
the cst extensive and pervasive in virtua~ly every LOC Such linkages
however exist primarily a~ instruwents of the center to penetrate the
periphery Central government officials are formally charged with bringing
develo~ent to the people This is a ~issi~n which conceives development
as a process ~hrough which a traditional peasantry is transformed and
assimilated iJro the DOdern center which is steadily expanding to embrace
it Agents of the center invariably have more resources to achieve their
objectives than do local political leaders but because they are frequently
strangers~ the communities in which they function they are often unable
- It -
co implement the policies of the center without working through the
local establis~ent
Though somctices significant linkages consist~g of revolutionary
party organizati~ns such as those found in China and Vietnam do not exist -
in most IDCs beca1Se of the special historical and e~omic conditions
required for their development As wi~h the administrative state however
the linkaampe apparatus of such political patties is prUlarily an instrument
of the center whose mission is to penetrate and mobilize those onthe
periphery
In contrast patron-client hierarchies are linkages which represent
the periphery at the center and mediate betwee~ these two disparate
sectors of the political systec Thcugh norcallymiddotovershadowed in scale
by the state administration patron-client hierarchies are found in almost
~very LDC a~d constitute the ~st significant network through which rural i
populations and their leaders influence the decision-~king process at
the center Patron-client hierarchies exist in a wide variety of org~iza-
tional fores ranging from info~ ~ec~~rks of individual olitical leaders
in uno-partyll systelS in S~b-SaharaI4 Africa to extensive political machines
in both one-p~rty (Africa Mexico) and ~u1ti-party systems (Turkey India)
Despite their importance as the pricary means through which peasants in
LDCs particiate in their political systems patron-client hi~rarchies
have only recently become an object of analysis by students of political
developent and do not appear in even the most sophisticated studies of
2 See Jo~ Dunca owell Peasant Socie~y and Clientelist Politics Aerican Politi~ Scielce Revietol 64 (June 1970) pp 411-25 Rene Lemarchand anc_ Keith Legg olitical ClienteliSJ and Ethnicity in Tropical Africa Aierican Political Sc~ecce ReView 66 (Y~rch 1972) pp 68-90 James C Scott PatronshyClient Politics a~d Political Change II 1tlerican Political Science Revie~ 66 (~arch 1972) p 91-113 and Friends Followers and Factiols bull edited by Steffan Sc~~d and James C Scott (Berkeley UniverSity of California Press 1977) bull
- 5 -
3 economic development Ad~niscrators of developmental assistance progracs
have too often regarded patron-clienc hierarchies as ~ped~ents to
develop~ent instead of recognizing cheir potential utility bull
~ Findings on Patron-Client Hierar~hies --
The importance of pat~on-clienc hierarchies for linking the periphery
to the center is one of the major findings ~erging from a study of the
relationships betueen l~gislators an~ their constituents in Kenya Korea
and Turkey ~hich the Cowparative Legislative Research Centpr is nov
comleting uader its 21l(d) grant from AID This study has av~mined the
creation of linkages between the periphery and the center through ~ore
than lO~OOO interviews with members of parl~ent local leaders and
peasants in t~e three countries The findings are being systewatically
set out in a book-length monograph Nearly a dozen research reports have -
uready appeared (see Appendix C) ipropositions about the nature of
political behavior of rural populations an~ the roles of local political
elites de=ived from the research~ can be s~rized as follows
1 Elected representa~ives play a significant role in the creation and mainte~ance of linkages be~een the center and periphery by developing local political achines in which they function as patrons of their constituents In turn thay s~rve as clients of political leaders of national stature who control central government institutions
2 By atte~pting to establish linkages based on patron-client relatio~shi~s elect~d representatives are responding to public expectations chat their prizary duy is to obtain resources from the center to proffiote local develop~ent ~iany elected repLesentatives spend most of their time on self-help co==unity development projects such 3S the building of schools health clinics irrigation works arid roads because such projects provide
3For exa~le ~ a widely respec~ed a~d useful analysis of rural deve16p~ent in Sub-Sahara~ Africa L~ Lele of the World Bank notes the problems of creating an adoini5~raive infrastructure in the rural areas that is sensitive to local socio-oliical conditions She does not however consider how local leaders operating o~tside of adcinistrative structures ~ night contribute to the developne~t 0 the rural areas See ~~ Lele ~ Design ~ Rural Develop~ent Lessons ~ Africa (Balt~re The Johns HopkiD~ Uciversity Press 1975) r) pp 127-61 i ~
- 6 -
their const~tuents with desired se~ices ~~d a= the sa~e time provide the reresentatives with an orgacization Yhicn can be used as a political base
3 l-tore than 90 perCel1t of the rural population is capable of articulating the p~oblems facing their local co~~ity and two-thirds discuss th~e proble~ w~th their fellow citizens on a regular basis
4 Three-q~rters of the residents of the rural areas can identify the public ofpoundici~s who serve thec--both civil servants and elected represcrtatives--by na~e Most are knowledgeable about the activities of these officials Alcost one-fifth coreover have discussed co~~~ity probl~ ~ith these officials particularly those working at the grassshyroots level Residents of rural villages actually have a higher level of political knowledge than their counterparts in the towns
5 Elections in the rural areas evoke a highly rational attern of voti~g despite the effects of ascriptive or traditional co~siderations Inc~ens are pri~rily evaluated in terms of their record in fulfilling the public r S elpectations of what they should do Elections are essentially referenda on inc~entsr perfo~ce especially their perforwance in the area of constituency servi~es such as bringing development projects to the districts bull
6 Local developcent projects have a relatively high s~olic value generating conscitutency support for local leaders and the central government at low cost
7 These projects help huild a local political infra-structure which can also be utilizec by central govern~nt civil servants to implement other policies designed to achieve rural develop~ent bull
The Icpac~ of Local Politics on Rural Projects
Having explored the developtent of linkages through which the periphery
is represented at che ~enter and through which the periphe~ attemp~s to
share in the ceners resources we now propose to build upon our initial
investigations by e~ing in greater detail the impact of local political
conditions on specific problecs of rural develop~ent We propose to
exacine the develop~ental activities of local leaders ~nd the rural public
by eX2~Ding a saple ot fifteen to twenty smalL~scale developwent projects
in each of ~he three countries which constituted the sites for our initial
8ESI AVAILABLE DOCUMENT 1 ~ - of
- 7 -
study of center-perhiphary relations The appropriateaess of this approach
and the ~ethodology through which it will be ip~emented is discussed in
section II Because the ~ethodology of investigation is in large part
the result of our previous research experience we fizst turn to a revieW
of the existinQ __ ~petence of the Comparative Legislative Research Center
in this area
II GRAXTEES EXISTIXG CmET~CE
In 1971 the University of Iowa received a 211(d) grant to develop
its capacity to do research on the role of elected represent~tives in
the process of modernization On the b~sis of this grant the University
established a research center which planned and carried out a research
project on the role of elected reres~~tatives as links between the central
gove~ent and rural populations in K~ya Korea and Turkey The project -i
served to develop t~e University of Iowas research capability in this
field esa~lished ties between the University and scholars in the bost
countries and generated a large and uniqu~ body of relevant data
In that project we fo~ussed our attention on tbe activities of elected
representatives in their constituencies notably in their contacts with
local political leaders voters and civil servants To determine tbe
nature of the linkage function performed by tbe representatives we
designed our research to explore the subject from three perspectives
1) we eXaojned ~~a ~ubject at tbe grass roots by conducting a series of
sample surveys of 200 to 300 adults in each of 12 to 14 parliamentary
constituencies in each cf th~6three countries 2) we examined the subject
at the center by intervie -ing MIls from the constituencies in which we
had conducted S3mple surveys ~nd higher civil servants with whom they
had contact and 3) ~e ex~~ined the subject from an inter-~diate level
by identifying aud ~terviewing local social and political leaders in
the MPs constituencies We used survey research methods because we
were embarking on the study of an entir~ly new subject for which little
relevant docu=e~tary data existed and on which there were few secondary
sources As a result ~e have unparalleled experience with survey
research in the rural areas of less develo~ed countries
The surveys which constituted the cajor part of our field work were
planned in collaboration ~~th scholars from the host countries They were
carried out in each constituency by student interviewers in the appropriate
language ~re than 10000 respo~dents were inteDViewed for the project
Given the visibility and sensitivity of this undertaking approval for
the research was sought and obtained from the host governments prior to -i
the collec~ion of data ~o objections were raised by these governments
at any stage of the research The data obtained have been made available
to scholars i~ the host co~cries and some of the basic findings have
been published in periodicdis in these countries
The Comarative Legislative Research Center ~hich ad~nistered the
project has aisO developed extensive experience in the study of political
leadership in other countries It h3s obta~ed substantial support from
the Fo~d Foundacion and the Rockeeller Foundation has worked in
collaboration ~~h European as ~ell as Asian and African scholars and
is engaged in a ajor study of the role of elected and non-elected leaders
in the oanag~~t o~~ocial conflict Because it has conGucted research
in a variey of setlngs the Center has an ~ceptional capacity to
- 9 -
determine how the relationships be~een political institutions and
economic p=oble75 differ in develoPed and less developed countries
In the course of the major research projects the Center has administered
it has gained highly specializpd ~p-i ce iI identifying 1Olitical leaders
in a great variety of settings conducting systematic interviews with
them collaborating with scholars in the host countries and in coding
and utilizing large files of data to answer specific research questions
The Center has ~lso undertaken to publish the results of its research
in three fores It issues codebooks to the data enabling scholrrs at
other locations to use the data expeditiously i~ publishes research reports - in the form of Occasional Papers and it publishes a scholarly periodical
devoted to the presentation of research findi~gs to an inteIT~tional
audience
The Center utilizes the data ~ysis facilities of the Laboratory
for Political Research of the University of Iowa and drawS on the unusual
n~er of secialists in comparamptive politics and survey research in
~~e Lniversitys Departmen of Political S~ience The Center itself I
has the services of an administrative secretary and a clerk-typist
~intains its~o~cn extensive archives and its o~~ publications program
It is e~uipped to assist scholars and government officials outside the
t~iversity of Io~a The participants in its p~ojects are full-tioe
faculty ~e=bers ~hose undergraduate and graduate teaching is closely
related to their research As part of the teaching program the Center
has attracted students from the countries in which the research projects
have been conducted these students have participated in the projects
bull J
have obtained training in other fields of political science have received
University of Iowa degrees~ and have ret~rned to teach and to do research
in their own countries
III PURPOSE OBJECTIVES AID METHODS
Purpose of Study
The purpose of the proposed grant is to extend the capacity of the
University of Iowa to determine the political conditions in the rural
areas of less developed countries which favor the establis~ent and growth
of small-scale developoent projects ~e objective is to put the University
of Iowa in a position to assist the Agency in designing small-scale rural
developent projects providing guidelines for carrying out social soundness
analyses of such projects and adviSing in the evaluation of projects
We will discuss the utilization of~t~e Universitys capacity in detail in
section IV below
We propose to concentrate our investigations on the political conditions
surrounding s~l-scale ru~al projects Such projects have distinctive
advantages They waximize the political participation of the rural populations
both in det~~-ining the direction ~d implementation of develop~ent efforts
and in defending the interests of periphery vis-~-vis the urban-based
bureaucratic elite S~ll-scale projects stimulate entrereneurial activity
on the part of the rural citizens and growth of the info~l canufacturing
and service sector Tbey require less lead tice and less administrative
c~erhead to ~eco~e operational than large-scale capital-intensive projects
centrally administered Such projects yield rapid and direct benefits to
1
j
the rural
- 11 b - ~~1
populations and are consistentwith their hUIlaD rights--both
political and economic However~ small-s~le projects pose s~ecial probl~s for administratcrs of developceocll assistance progracs because
they require the donor co assess the local olitics particularl the
rural politics of t~e host country
Develop~c adoinistrators pr~rily conc~rned with assisting rural
populations must therefore recognize the range of political variables
affectL~g these projects Small-scale projects offer great opportuoities
for develop~ental assistance progr~ because they can be easily targeted
to help rural populacions require low capital costs and need no be
concentrated in one or two localities Such projects ho~ever~ ~equire
the a~istrator to have ~re political kno~lecge than large-scale
projects Oil which his priJlary tas~ is guiding the work of other experts
Questions for ~Investigation
To detercine the politi~al cc~diicilS ~st conducive to ~he establ~~ent
and gro~h of scalI-scale rural projects ~e propose to address our inquiry
to the following specific questions
1 To what extent and why co local political leaders seek to establish s~~l-scale develop~ent projects within their co~unities
2 To what extent and ~~y do local leaders other than politicians initiate andor provide leadership for s=all-scale developm~t projects
3 Bot do the relations bet~Jeel different types of local leaders (political and non-political) and bet~eeo these leaders and central gove~ent civil servants posted to the rural areas affect the conduct of develop=ent projects
4 How do existing authority ~eLationships between these different leadership grous and the rural pub~ic affect the organization and operation of s~l-scale develop~ent projects
- 12 -
~
5 lhlt is the nature 0 pclgtlic participation in the establishlent and operatio~ of s~l-sclle projects and ~hat are the outcc=es or this participatioe Gucer w~at conditions is such participation ~ost likely to occur
We seek a~swe=s to t~cse questio s L order to determine the effect of
different co~iigurations of local leadership and public participation on the
outcomes or small-scale rural projects te are particular1y concerned with
the ~pact of these configurations on the rate of econocic growth and the
distribution o~ rIGSlth ithin the loal cOlllUlity ~ on the perce~tions of
s~ll-scale proj~cts by central govern~ent per~oncel and the rural public
anmiddot on the organiation or flture projects
To a~swer these que~tions it is oar intention to study the initia~ioD
izJple=enation ald i1lpact of a salple cpound small-scale rural projects in
Kanya Korea and Turley in the sae cOllities in which we carried OU
our initial icvestigations ~ 1973-75 Tne relationships between the -
various conf~gurations of local leadership and public participation and
the three phases of project develop~ant are sho~ in Figure 1 We will
exa=ine projects to pro~ote the adoption of new agricultural techniques
by s~l and moderate landnolders the building of feeder roads irrigation
ditches and other s~ple infrastructure the organization of fa~ers
cooperatives and other local associations concerned with rural development
the establish=ent of rural health clinicS and schools and the setting up
of craft and service industries
Sites for Study
We plan to return to our original set of localities because we possess
a rich body of relevant data on the extent to which linkages exist between
Figure 1
TYPES OF LFLUEXCE OF C2r~ middotGOVER1iEXT OFFCIALS
LoCu LEADERS 0 THE RURAL PUBLI-C OX THRr~
PHASES OF RURAL igtEVELOPHET PROJECTS
r----------~J C~ltral Gover1~nt Official)-N------- - J
r- Local pOlitical leaders
Local non-political leaders
~l 1---- -
ROJECT nITL~TIOS
Influ~ce on selection of projects
InrI ~elce on location of projects
Influence on policy guidelines for proj eCl
Il
I
a
I I
-I PROJECT I~L~~iATIO~ ~ 1
j Project Organizati I Selection of project
leadership
Hobilization of resources
Mobilizatiol of public compliance with project require=elts
Diffusion of project innovation
Rural Public
I
BEST AVAILABLE nOCUMENT
1 ROJECT IMPACT
Organization of ongoi=g project operation
Distribution of project benefits
Evaluation of project
Public attitudes toward project
-middot14 -
these areas and t~c central p~litical institutions of the three co~tries
and on the attit~es of the rural populacioc local leaders and elected
legislators regardi~g their problecs of develop~~c Since such data
is unavailable for alternative locales a return to the areas in which
we have previously done much research ~ables us to build on a uniquely
valuable body of icformation
A return to Kenya Korea and Turkey is also highly desirable from
the standpoint of effective research organization The Comparative
Legislative Research ~enter has developed close collaborative relationships
with several highly competent social scientists in these countries and
with the academic institutions with which these scholars are associated
We have also dev~_oped cooperative relatio~ships wi~ gove~ent officials
in these countries which should facilicate obtaining approval for our
further work
In proposing to doc~ent the origin i~pl~entation and impact of
one to three s~ll-scale develop=ent projects in each of 35 localities
we have two considerations in mind Firstmiddot because our pr~ry goal is
to deter~e the political conditions for rural developm~Lt we wish to
examine develQ~=ent in as many different settings as feasible Only in
this way can we control for so=e of the major socio-cultural variations
that erist along rural populations in less developed coultries These
include the overall level of econo~c development in the co~unity the
nature of t~e ~digenous culture an~ relationships of authority and the
pro~ty of the comounity to major urban areas and centers of central
gove~nt ad=inistration ~ce our original study sites were carefully
BEST AVAILABLE DOCUMENf
- 15 - ~ ~1
selected to represent these variations ye have concluded that these
35 localities woule be ideal sites for the propose~project Second~ in order to dete~~~ the ~pact of local leaders and public
participation o~ ~ural projects we intend to compare projects 1n which
local leaders and ~ecbers of the public have played a major ~ole with
projects in which they have not We also ~l cospare projects initiated
by the central gover~ent with projects Yhich have been locally initiated
These considerations give us a typology for selecting projects as depicted
in Figure 2
Figure 2 ~
FIVE TYPES OF RU~AL PROJCTS ACCORDIXG TO ~FLUEXCE OF CEITiW
GOVE~1E~T LOCAL LEADE~ AD RLRAL POULATIO~
Level of Participation by Rural Population
Locus of Project Initiation ~
Local Co=unity Central Governoent
BIGd
LOt
1 Projects initiated by local leaders and providing for participation of the rural ~opulation
4 Proje~ts Litiated by local leaders bu~ not involving participation of the rural population
2 Projects initiated by the Central Govern~ent and administered i~ cooperation with local leaders a~d the rural population
3 Projects initiated by the Central Govemlent and providing =or the participation of the rural population but by-passing local leaders
5 Projects initiated by the Central Gover~e~t a~d administered in cooeration Yith local leaders but not involvi~g parti~ipation of rural population
- 16 -
We recognize that the socio-cultural setting of rural develoment
projects varies significantly within and across less developed countries bull
By focussing o~ a representative sa=ple of localities ~ Ke~ya~ Korea
and Turkey we can take account of naoy~ though not all of these variations
While some of our substantive findings will not be directly generalizable
beyond the countries in which we propose to conduct our study we expect
that our basic ~ethods and fLdLgs will be applicable to national and
sub-national settings elsewhere in the developing world This is partly
d~e to the fact that the hierarchy of patron-client relations ~hich we
regard as a critical factor in rural develo~~t exists in ~ost Liles
--It is also due to the fact that the methodology for identifying local
bull leadership configurations auG poundor studying local politics which we are
perfe~ting can be used to assess local political co~ditions in a large
variety of countries even when the ~nditions themselves differ significantly
Methods of Investigation
The data needed to assess the iDpact of local leaders and mass
participaticn on rural dev~lop~nt fall into two categories Some a~e
contained among the data gathered for the research project we are currently
completing Others will require additional field research
The following data are already in hand
1 Data on the social landscape of each loc~l co~nity i~cluding aggregate data o~ level of econonic development de~graphic characteristics political pa=ticiation eth~ic loyalities and rates of socio-econocic change dur~g the past decade bull
2 Identity of local leaders including both political and I-on-political leaders and both legislators and other politicians
3 Perceptions of existiag probl~ and their possible solution a~ng
l)tS r AVAilABLE DOCUMENT
- 17 -
general public local leaders and civil serv~nts
4 Level of political kno~ledge among local citizens and local political leacers
5 Political and social values a~ong local ci~izecs and local political leaders
6 E~~ectacions of leadership roles among the local public and elected and non-elected leaders
7 Patterns of co~unication ~ong local leaders and between local leaders and the central gove~e~t
These data ~hich ~e already have in hand can be subjected to analyses
which ~~ll provida the foundation for our further work on rural develop~ent
projects A part of our work therefore will consist of fu~ther analyses
of existing data
New data of the following kinds are also required
1 Doc~entary data on the origin and evolution of particular smallshyscale develop~cnt projects in the rural areas
-2 Data on project costs boih ~itial invest=ent and recurring
operating costs and data on project ou~puts ie pupils in schools Ddles of road coopleted nl~ber of hospital a~ssions production of factory agricultural productivity
3 Data on project organizatio~ n~~r of local inha~itants participating in establis~~ent of projectt nuober of local L~habitants subsequently involved in project
4 Data-on the pe-cetion of projects by local leaders emers of the local public a~d by civil servants data on the perception of how each project ~as initiatec organized who benefitted and what its future implicatio~s are
These types of data will requ~re field work involv~~g both docucentary research
at the relevant ~istries of the central government and in local goverr~nt
authoritieS and inforoal open-ended interviews with local political leaders
elected representatives and other local leaders who~ we had previously ~
interviewed in a s=uctured syste=atic =aoner
BEST AVAILABLE DOCUMENT
- 18 -
Grant Organizatio~ and T~etable
We propose co undertake the research outlLled above beginning in the
fall se=ester 1977 Dur~g that te~ Professors Barkan and Kim as
principal investio~tors for the neo1 proj ect will contact their collaborators
in the host co~~tries They ~~ll also seek the collaboration of an additional
~rican scholar specializing in rural development with the aic of getting
additional advice on sources of data and suitable indicators for the
~easure=~~t of rural develop~ent projects
At the end of the fall seQester Professors Barkan and Kim will make
a trip to their research sites to disc~s details of the research organization
with their collaborators in the host countries and to recruit student
assistants Tney will devote the spring te~ 1978 to further analysis
of a~sting data at the University of Iowa
The gathering of additional dita L~ the field will begin in the s~er
of 1978 Professors Barkan and Kio will direct this work personally We
eAect that its coopletion ~~ll require three to six months This work ~1
involve the evaluation of central and local gove~ent reports on the
projects uncer investigation extensive on-site observations of the projects
and oen-e~ded interviews with the principal participants Our principal
respondents ~i1l be the local leaders and elected representatives we
have previously identified in the localities in which we have worked and
a sacple of active participants in the particular dpvelopment projects
being studied ~~ere necessary and apropriate surveys of the general
public will be uncertaken to assess the inpact of a given project on the
rural por)r We do not however leed 0 conduct systeAlatic sample surveys
BEST AVAILABLE DOCUMENT
- lY -
of the rur~l population as We did in 1974
In the organization of this research project we intend to reconstruct
the rese~rch tea=s ~e e=ployed during 1973-75 We shall again seek the
co11abo=~tion of P~ofessor Sc~~S-7o~g Pai of Seoul National University ~
Professor IIiCr Turan of the University of Istanbul and Professor John J
Ok~u of the U~iversity of ~arto~ S~ilarly w~ contemplate directing
the field research fro~ he same acade~ic research organizations we previously
used Seoul National U~ive~sity th~ ~~iversity of Istanbul and the
Insti~ute for Develop~eut S~udies University of Nairobi As before we
will tra~ students f~oo these institutions to serve as interviewers
The analysis of the open-ended intervie~s and of docUQentatio~ on
I ~ural develop=e~t projects will be a ~ore t~e-co~s~g process than the
analysis of closed intervie~s It will reqrire a high cotnittl~t of time
fron the principal investigators )e e--pec to hold a conference at the i
U~iversi~y of Iowa 3lO1g all the principal )clticipa~ts in the resea~ch
project d~=~g t~e spr~g 1979 to evalua~~ the newly collected data
le e~ pect to be able to vr-ite reports of t~ results during the Sl1~er 1979
(see Figre 3)
IV LlX-GS ~1) U~ILIZATIO~
At the e~d of the grant period the Uti ersity of Iowa will be able to
1) advise the Agalcy 01 the design of s~l-scale rural projects to assist
the rural poor 2) provide guidelines for social soundness analysiS of
small-scale projects for the rural areas of U)Cs 3) consult w~th the
Ag~tcy 01 the evaluatiol of rural projects ~d 4) provide LDe governments
BEST AVAILABLE DOCUMENT
)ATES
~lll
1977
~inter 1977
iprilg 1978
il mer 1978
~all
1978
ipr~ng
1979
Imiddoter 1979
University vf Iowa
Plutlning of rural develo~rent project
Barkan Kil
Alalysis of existing data
Barkan Kia
Data processing
3arkan Kin
1
I
- 4 -
Figura 3
GRAT TLfETABLE
SIT E S
Kenya Korea Turkey
Preparation of field research ural developH~lt project cOlisulta~io~ a research sites
BarkanOku=u Ki~Pai Tura~rkanKi~
Preparation of field resea-ch
Tural
Field research on rural cevelop~~t projects Bar~lOk~u Ki=Pai Turan
Co=pletion of Co=pletion of field resear~~I~ fiald researcr
Ok~u i Pai bull
f Coopletion of field research
Turan
Data analysis conference a~ong all princial i~vestigators at Un~versity of Iowa Barkan Kil Oku=u Pai Turan
Co=letiol of r~ral develop~ent
project
3arkan Kiz
BEST AVAILABLE DOCUMENT
I
- LL -
~ith speciali~cs o~ ru~al developcect ~mong their own citizens ~ho ha_
partcipatcd ~s collaborators in the Iowa projects
In the proposed project we Will test a series of hypotheses cOlcerning
the political cOllditions of rural develo=ent which run counter to CODOn
assuoptions conccrnir3 t~~ influence of rural politics on project effectiveness
As a result ~e ~dll be able to assist the Agency in designing and evaluating
such projects froe the point of V~~W 0 their political viability The
hypotheses We will test sugges~ t~at the patron-clie~t relations existing
in the local politics of zost LDCs are not necessarily i~pedients to rural
develop~ent but are aspects or the political structure which cal be used to
facilitate s~ll-scale ru=~ projects which will raise the standards of
living of _ ~ rral pomlation - As ~ result or our stuey we expect to be
able to P~-O~t the local leadership confi5~rations ~4d the relationships
between local leaders ald rural poclations ~nich are oost conducive to I
successful develcp=en efforts We believe that we will be agtle to perfect
a cat~odology for identifying the political conditions for rural develop~ent
one ~hich is transferable pound~oo the countries we have specialized in to
other LDCs
We proo~ to develop specific guidelines to assist administrators
charged with selecting evaluating and =onito~ing rural develop~ent
projects to ~szess t~esc rojects in tares of their-social and political
viability he outco~e of such projects is dete~ned not only by the
efrectiv~nass ~~=h ~hich they use scarce econo~c resources but by the
~~er L~ w=ich they e~gage the suppprt of local leaders and rural
po~ulatiocs~ by thei= effect ou social a~d econo~c equality ~d by
D[~T AvAlLA8LE DOCUMENT
- 22 -
their consequences for hwan rights ~Je plan to establish criteria by
middot~hic~ the probable outco~es of projects in these social terms can be
anticipatec
The study ~e propo e will be undertltlken by faculty at the Cniversicy
of lowe in collaboration with faculty a other ~rican institutions and
institutions in the host countries We will build on the extensive contacts
between the Co~perative Legislative Research Center of the ~niversity of
Iowa end other instituions with ~aich ~e have worked One =ajor result
of our collaborative study will be the existence of a net~ork of compe~ent
scholars both in this country and overseas experi~lced in ~orking together~
shar~g a co~on teaching and training experience i~ close contact throu~~ the
effective publications progr~ developed by the Co~parative Legislative Research
Center T~e e~~ertise of this group of individuals will be ava~lable to
oteer scholars to the Agency and ~o L~C governments for specific policy
advice The eXertise developed as a consequence of this project will
extend beyond the ~tionals of the countries ~volved since the univ~sities
engaged in ~e project attrtct stude~ts fro outside heir own countries
For ey~=ple the teaching ~d research progra in the Depar~ent of Political
Science 0 theUniversity of Istanbul heavily affected by the participation
of its facul~y ~e=bers and graduate students in our projects attracts students
throughout the ~middot1iddle East for Whom the University of Istanbul is the iajor
institution ~pound ~igher education in the region rne Institute for Developmen~
Studies is si=ilarly a focal point for students and faculty in East and
Central Africa Seoul ~atiocal Unive=sity attracts students froo other
Asia~ co~tries~ In this way the capability developed among the participant$
BEST AVAIL~BLE DOrUMENT
- ) -
in our work is diffused widely To the exte~ that the abili~y to assess
rural develop~ent p~ojects in teres of their social soundness is increased
both in the United States and in ~o~~tries r~ceiving develop=en~ assistance
the cap3~ity of racipien~ countr~es to absorb aid is ~creased
We propose to draw up an inventory of personnel available in ~~e
Cnited States and in other co~~tries who are able to consult with developen~
a~nistrators on the design of rural development projects and on their
evaluation We ~~ll draw first of ai~ on individuals w~o have been
directly associated with our ~ork in the past or on ~he proposed project
and ex~~~d the list to include graduate students and gove~ent officials
with who~ these individuals have wor~d
tole Yill utilize tha existing publication program of the Center
dercribed above to disse~inate our findings The Center has specialized
oailing lists of interested individuals and institutions in all parts of -i
the world and its reports can trerefore reach the ~st relevant audience
jirec~ly ~d re~~arly
BESl AVAIL~BLE OOCUMENT
CONTRACfjGRANTCOOPERATIVE AGREEMENT DATA SHEET
INSTRUCTIONS fjDW Complete 4 copies of the form Original SERCMSDSUP Statistical Section Copy Copy 2 SERCMSIiUP dministrative Copy opr 1 Contracting Officers COy COP) 4 SERCMSDSUP IUmin (Suspense) Copy
Missions Complde 2 copies oi the form Origin31 SERCMSDjSUF- Statistic31 Section Copy 3n~ Copy 2 Nill be ret31ned in the Missions
PART fA
ConU3lttorGranrce Name
University p~f~I~o~wa~ __ -r~ ____ ~~~~ __________ -~~ __ ~~~ ______________ ~~~~ Plorr Numt-er ApptopriJtion Number Allotment Number Project Number
930-0090-3Q13411 A5 72-111l0216 146-30-099-00-20-11 930-0090 Project Title
So~ia1 and Potitica1 Aspects of Development - Conference to Report Research Findings Amount of this Plorr I Projecl M3nagers Name and Offire Sytlbol
$10397 (increase) PDPRCP Jonatlan Silverstone Contr3ctors D-U-N-S Number
Ncgwatocs TYJlCd~3meJ j) Signature I l ~ jIf- bull G HtJ--ft u l IVmiddot
D~e
L - f - J ContractGrant Officqs typed Nailllt Signalure LJ d I -r-
plusmn t 3i-alflpta (( BLvle~ 1 I~ PARTm
ContractGranl Number
AID CSD-3294
Effeclive Date of Docum~nl Signalltre D3t~ of Documenl
Lf---C yen-~-gl tIost Courtry Institution (U iwrsity contract ONL Y)
Campus Coordinator (Uniwr ty i contract OiiL YJ
PART UL Descriplion of Cor-tractGrant P1use X ONL Y ONE item under each headiZg IF THEltrease CifYmC~e bolh ges I 30~~ O~ Nol to be completed for Amendmenl or Modlfic3lion AJigtns I III
J 710gt I I V ~ I
MOl - TYPE ACT A~ 0 G unsolicited Propsll (AIDIR 0 C Individual (Non-pe~nal senice)
~ O Cortra lGrantl ooperative Agreemenl 73101-SO(b)(6raquo 0 D Individual (ftrsonal Service)
tJl T3sk Order ( A)middot 0 H Procurement 10 be Perfocm~d by the Conmiddot 0 E UniversilyOther FAuC3lionailnSlitulions
D 2 Work Order (IQC) Ira~lor in Person (AIDPR 0 F Non-Profil Organizationlnslitutions (other
D 3 Delivety Order (Requirements) 73101middotSO(b)( Iraquo than Ed or PVO)
[j 4 Purchase Ordcr [J I Sole Source (AIOPR 7-3101-SO(b)(4)) 0 G Private Volunury Organization (PVO)
If I 2 or 3 1Lle an ~ compllle M 12 ON Y D J Imp3irmenl of Foreign Policy Objectiws 0 H International Agricultural Research Organj-
M04 - CONTRACTGRANT TYPE
o O MOA (BOA BMA etc)
o I Fixed Price (Specify fFP FPRD FPEPA FPI) _____ _
(gtIDPR 7-31 OJ SO(b)(7raquo
OK B(a)5eJection (FPR 1middot1713-1)
o L Grant iH1ndlOok 13)
o M Do Nol Ue
D 2 Cosl Reimburemenl (S~cil) CR CPFF 0 N Cooperative t~reement (Handbook 13)
CS CPAF CPIF) ~ 0 O Small Business SeImiddotAside (FPR 1middot1706-8)
o l Cooperative Agreemenl ~ 0 1 Overseas Procuring AClivilies (AIDPR
04 Grant Gener31 Supportmiddot 0U ~ 7lIOI-SC(b)(2))
o S Granl - Specific Support ~ ~06 E SER VICE
g ~ ~~t ~~(d) ~~ ~~ ~ eci~a~~~~~ogram Projeci
o amp IQCs ~ ~ relampted excepi A amp E Services)
o 9 Host Counlry ContraclGrnnt 5lJ C amp E Services
middotComplele ONLY through ~Sl ~~ 0 D Construction
M05 SELECTION PROCEDURES 0 E- Reseuch
o A Formally 3dverliscd (IFB) (A1DPR 7middot24 amp
FPR 1middot24) ~ o B Negoli3ted Price Compelilicn Gencr31
Procedure (RFP) (-JDPR 7456)
Dc A amp E (AIDPR 7410)
0 D Ed Inst andor Inl1 R~arch (-JDPR
74 5)
o E Collaboratoe Assisunce (IDPR 7458)
C F Predominant Capability (IOPR
73IOI-50(b)(l)
AID 1420-49 (179) - Page I
D F Technical Services to AID (other than trainmiddot
ing usually o~ating expense)
D G jraining SetVice for AID
o H Equipment Materi3J~ Supplies Commodities
D I Translation Service
~07middot TYPE CONTRACTORGRA-nEE
o A Firmmiddot AU profil-rn3king fUms (other than
Aamp E)
J e A amp E 8r~
zalion
o Public Inlmlational Organizations (UN
Agencies ICRC Wocld Bank elc)
(H8 J 3 Chapt~ S)
M08- TYPE AW~RD
o A S8 Sel-Aside - Awarded to Non-Minority
o B S8 Set-Asidemiddot Awarded to MinXity
o C_ S8 NOI Set-Aside - Awarded to Non-Minority
o D S8 NOI SeImiddotAsidemiddot Awarded 10 Minority
o Eo amp(a) S8A Awarded to Non-Minority (Womerl-
Owned Veterans etc)
o F 8(a) S8A Awarded 10 MinorilY
o G Personal Sen-ice ConlrdCt bull Non-Minority
o H IeJSDnal Service Conlract - MinorIty
o I Individual NonmiddotPersonal Service Contraci -
NonmiddotMinority
o J 100Jigtiduai NonmiddotPersonal Service Contracl -
Minorily
o K NOI Small Business (Univ NonmiddotProfit Large
Firms) Non-Minorily
o L- NOI Small 8usineSl (Univ Non-Profit Large
Firms) Minorily
o M US Govcrnmlnt
(Connnued on Page 2)
BEST AVLABIE DOCUMENT 1 I
--
ua ) R I GI NAL 9 bull
MODIFICATION or GRANT PAGE 1 of 2
AH 1 2 Effective Date 3 Grant No 4 Effective Date
Amend_at Ro 5 April 15 1981 AIDCSD- 3294 8-11-71
-s CRANTEE (Name and Addrea) 6 Administered by -Professor Gerhard Loewenberg -Office of Contract Management Cbrnparative Legislative Research Gente Central Operations Division Dept of Political Science am Branch University of Iowa Agency for International Developn~nt Iowa City Iowa 52240 Washington D C 20523
7 PIO No 930-0090- 3013411 A5 8 Previous PlOTa -
Appropriation No 72-11110216 93i-1l-995-l36 930-11-995-136-73-3078103
Allotment Symbol - 146-30-099-00-20-11 wunt Obliga ted by this ~ndrnent - $10397
The above numbered Grant is hereby modified as follows
1 Anotmt obligated prior to this rurendment 2 Amount obligated by this amendment 3 Total obligated anount (1 amp 2)
Delete the amJmt $465000 and substitute in lieu thereof the ammnt I$47S 39-7 ~
FUNDS AVAIrABm
~~ - APR 13 1981
PrO~A~~5iors
$465000 $ 10397 $475397
OffiCE Of fIN~(1 ~~rE~E~T __ _ 10 This amendment 11 entered into puruant to the authority of the Forelgn
Assistance Act of lS~l as amended Except aft hereln provided all terms and ~~ndi~ons nf the grant rcferpnccd in Block 13 remain unchsnged and in full force and ~ffcct
11 original and six Crantee 18 requlred to aign thh document aad return 1- eopics to issuing
ffiee
~~~ or printed) BUSINESS MAHAGR amp bull
Tille TREASURER
UNITpound) STATES OF AHERICA AGENCY FOR INTERNATIONAL DEVELO~NT
BY_-1(1o-_1lt--= 13middot~_1_~ __ K R B1uteau
(Name typed or printed)
Tltle~ ____ G_r_a_n_t __ O_f_f1_c_e_r ____________ __
D3tC APR 2 J 7997 Dolt 9 APq 1981
BEST AVAILABLE DOCUM NT ___ 0 HLGlNAL - I 1 J 1 ~ )
- 2 -
AID ftmds in the am)tmt of $10397 are hereby provided for the activities lmich are described in your proposal (including Budget Stnmnary) entitled CDnference to Report Research Findings on the Study of Political CDnditions for Effective Small-Scale Rural Assistance Projects in Kenya Korea and Turkey dated February 17 1981 and made a part of the Grant b reference
BtTDGET StMMARY
Line Item
Travel
Per Diem
Other Direct Costs
Less existing 211 (d) grant funds
Total Amount Obligated by this Amendment
Estimated Costs
$ 5888
5100
_ 2500 $13488
_ 3091
$lO39
Note Indirect costs or $395086 associated with these activities will be contributed by the University of Iowa
BEST AVAILABLE DOCUMENT
~RIGINAL
- CONTRACT IGRANTCOOPERA rIVE AGRElEMI~ SERC~SDSlP Actio) Monitor
SERCMSDSUP Action Office
I
INSTRUCTIONS AJDW - Complete 4 copit of tlh fonnmiddot Orisina iCMSDfSUP Sutistical Section COP)middot Copy 2 SERCMSDjSVP Administrative CoP Copy 3 Cont-acting Officers COP) Copy 4middot SOSUP Admin (Susptnse) Copy Missionsmiddot Complete 2 copies of the form or~aI SERCtSDSUP Statistical Section Copy and Copy = wiU~ retained in the Missions
0 PART IA
Effective Date of Document tJ
Delivery Order (Requirements)middot
o 4 Purcluse Order
bull If I 2 or 3 have an bull X compl~te M I 2 ON L Y
M04 - CONTRACTGRANT TYPE
o O MOA (BOA BMA etc)
o 1 Fixed Price (Specify FFP FPRD FPEP FPI) ___ _
o 2 COli Reimbursement (S~cifY CR CPFF CS CPAF CPIF) ______ _
o 3 Cooperative Agreement
o 4 Grantmiddot General Support
o S Grantmiddot Specifi Support
o 6 GraDt 21 led)middot
o 7 Do Not Use
o amp IQCs
o 9 Host Country ContractGrant
middotComplete ONLY through M 5 1
MOS SELECTION PROCEDURES
o A Formally advertised (IFB)(AJDPR 7middot24 amp
FPR 124)
o B Negotiated Prire Competition General
Procedure (RFP) (AIDPR 7456)
o Co A amp E (AlDPR 4 I 0)
o D Ed Ins andor Intl ReStalch (UDPR
7457)
o E Collaborative ASSistance (AIDPR 7458)
o F Predominant Capability (AIDPR
7-310l-50o)(3)
AID 142049 (1-79)middot Page J
o H Procurement Co be Performed b~ the Conshy
tra~tor in Person (AlDPR
7middot3t OI-SO(b)(Iraquo
o I Sole 5gturce (AIDPR 7middot3101middotSO(b)(4raquo
o J Impairment of Foreign Policy Objecdv~
(AIDPR 7middot310 ImiddotSO(b)(7raquo
o K 8(a) Selection (FPR 1middot1713-t)
o L Grant (Handbook J 3)
o M Do Not Vse
o N Cooperative Agreement (Handbook 13)
o O Small Business SetmiddotAside (FPR 11706-8)
o P Overseas Procuring Activities (AIDPR
7middot3101middotSO(b)(2raquo
M06middot TYPE SER VICE
o A TtJining of Participants
o B Technical Assistmce (Program Project
related exc~pt A amp E Services)
J C A amp E Services
0 D COltl~ruction
0 E Research
0 F Technical Services to AID (other than trainmiddot
ing usuaU Y operating ex pense)
0 G Training Service few AID
0 H Equipment Mat~rials Supplie~ Commodities
0 I Translation Service
07middot TYPE CONTRACTORGR TEE
Firmmiddot All profitmiddotmaking fu-r1s (other than
AampE)
o 9 amp E Firms
I Prcct NumbcT
I
Contactors D-U-N-S Numbcr
I) -S--f(j
o C Individual 0-lon-~rsora1 service)
o D Individual (Pet-sonal Service)
o E University lOt her EduCltionaJ Institutions
o F Non-Profit Organization Institutions (other
than Ed or PVO)
o G Private Voiuntary Organization (PVO)
o H International AgricultwaJ Research Organmiddot zation
o I Public International Organizadon~ (UN
Agencies ICRC ewld B3J1k etc)
(HB J 3 Chapter 5)
M08middot TYPE AWARD
o A SB SeImiddotAsidemiddot Awarded to Non-Minority
o B SB SetmiddotAside bull Awarded to Minority
o C SB Not SetmiddotAside - Awarded to Non-Minoril)i
o D SB Not SetmiddotAside - Awarded to Minority
o E ~a) SBA Awarded to Non-Minewity (Womeli
Owned Veterans etc)
o F 8(a) SBA w-rded 1o Minority
o G Personal Service Contractmiddot Non-Minority
o ~ Personal Service Contnct - Minority
o I Individual Non-Personal Sence Contractmiddot
NonmiddotMinority
o J Individual Non-Personal Service Contractmiddot
Minority
o K Not Small Business (Univ Non-Profit L1lge
Firms) --vn-Minority
o L Not Small BUSiness (Univ NonmiddotProfit Large
Firms) ~inoriy
o M VS Government
(Continued on Pcge 2i
t bull - t ~ J f q
ORIGINAL bull MODIFICATION OF GRANT
1 2 Effective Date
Araendllent Ro 4 12-2-80
s CRANTEE CHace and Addrels) Professor Ger1ard Lo~middot enbelg Comparative Legislative Research Deartment of Political Science The Lnivp-rsity of Iowa Iowa City Io~a 52240
7 PIO No NI A
Appropriation No 72-11XHl26
Center
Allotment Symbol -426-30-099-00-3~-71 Amount obligated by this urendment-O- I
3 Gnnt No
AIDcsd-3294
PAGE _____ 1 _of-L
AlI 4 Effective Date
8-11-71
~ Admlnlltered by -Office of Contract Management Central Operations Division OTR Branch Agency for International Development Washington DC 20523
8 Previous PIOITs -
931-11-995-136 930-11-995-136-73-3078103
9 The above numbered Grant is hereby modified as follows
Supplement to Grant
Change the duration period sentence to read
The Duration Period for this Grant shall be August 11 1971 through December 31 198]
1 Amount obligated prior to this amendment $465000 2 A~unt obligated by this amendment -0-3 Total obligated amount (1amp2) $465000
----------------_- - ------- ----_- ------ 10 Thh lImcndmcnt is entered inlo punuant to the authority of the Foreign
~ Assistance Act of 1961 86 amended Except a~ h~reln Z II provided all terms and condi tions nf the grant referenced in Block 3 remain ~~aunchlinged and In fu1l force and effNt cnltUI cJ)za 11 o 4 J bull
Et~ ai~a gtUoItshyc Z P=u
original and six Grantee t requi red to sign this document and return 1- eopies to 1Bufng
office
~ 12 GRANTEE TES OF AMERI CA
(Name typed or printed) bull
TJlle Director Comparative Legislative liecearell CeQtoQl
Date 12880
------------------------------------
ONAL DEVELOPMENT
By ----~--~~~~---------------------
prinled)
Grant Officer Title --------------------------------
J)oll( 12-2-80 -----------------------------
BEST AVAILBLE DOCUMENT i je
- 6 -
The for~Ietic1 0 tneol-y lO this coarative 8seerch of
Tiiill ~erdt equivalent cmiddotoss-sy-ste~ ~easuelents are 8O1g te r6st
irpctant aSgects of tle prcject It r2y be one of the ~c-st valuable
esllts of Io~a I s efforts ad ~dil reCuire close collGbor-tion arong
t~e pa~ticipents bull
p_ Cc=-arative Legislative Research Archive
lltOle a subsb Tltial aolIlt of legislatie data has been collected
in a1j- different cOL1tri8s very little of this iateriul is cOJarativE
1middot-s of it has teen collected by individual reseachers on e single
CQl~ty Cc~adson in legislative research is thus difficult because
=2 01 r3j cClalties are ot available at a sirgle location in s sLgle
is a clear ~eed for the ce~t~alizGd acq~sition ~ or ~ne
available data to per t the forulaticn and compGrative testlg of
~eorics aoc~t le8islativ~ behavior As a major part of this program
te Uive3ity of 1mmiddote 9poundlS to establish a data arch-e to begir to
big te existing legislative sttiies tcgetber at a sirgle location end
to ~-ke ~i~er ~ccessible +0 the grm-ing 1unoer of irterested scbolals in
Once J~1ese data have O~en brOght tcgether tney will contribute to
-~ pogram t IO~middotia in -I~middotiO -poimiddottant ~middoteys First the dats -Till be
utEized in traLig graduate stud2nts T1e rea13lysis of d~ta to test
BEST AVAIL~BLE DOCUMENT ( 1 t
- 7 -
faculty at the University of Imllt1 and from omiddotrerseJs tlitbout slch an
acbival base those dtdies Ylould be ver lil1ited in the hypotheses
ter could test The quali ty of this re search eqerience fill be
(o1siderably enha1ced by the aVJilability or data for co~arison dth
t~e data generated thlcugh the ccllaGorative research sponsored by the
traini~g progca~
Once gathered a~d refo~tted the data ~~ll be ~ade available to
sc~olars students al1d other interested persons outside of tre University
of Io ra P(r exa-nple appropriate data sets would be available to other
llsti utions tat pre ccoperating in t~is program ie Ha-waii Clla De
~ese could tten be used in curriculul developent at tbose schools as
middotell as Ll the pre-grar at the UJiversity of Imre Finally data could be
aie available to i1di-idlal sc~olars and institutions overseas for use
1 teir research a~d trailing progrems The cUIlulatiie effect of this
disse~lilation and staring of data ~i11 be an enrichme~t of research an
Llcreased flO-I of ne data to the Uriversity of Iewa I3Jld a greatly
ena1ced ability at Iowa to aalyze legislative behavior a--d defelopnent
f 1ssociates
The University of Iowa d31 involve as Associates individual US
arc ~ereign Rcolars fro~l other instibticns in some instances fOl
cc-ivities at Iovll in others as recipents of support Oi research and
oter aciivities middothich coqlement cnd emic1 the program at o a These
Associa-es rill be involved in such activities as ser-lfing es University
of IOim g-uest professors 5~St lecturers 1d visiting faculty
lticipel1~s L ccnfiences and s~riosia and as collatJoratiEg 2search
BEST AVAILABLE DOCUMENT
- 8 -
cevelcged c~lt-ies Smiddot~yemiddotl such projects core already uoer ~middotay
and 3y potetial ss~cetes ~ave been identified and thei ilterest~
211 gtarticipeting i1 t~e ~Cglar1 ascertained
He -resc1t ge~sc-~el a1d acilities of the University of Iomiddotro
plcvice a very st-cre basis for the research atJd training programs
~rnich ~middote a~ ~rc9~3L1g -fmever the further development cf legislative
suCie3 ali a pec~ent streugthenLlg of ~he progrun of Iomiddot ~ is a major
a oes3icral Demiddotmiddotelc~ Galt fur~ds will be uSed by the
LT~iersit2 c la= ~ icreasing te nUbe of faculty specialists in
cClJses ir sjcts elated to the subject atter Specificallr grant
fuimiddotis dll ce usee to ac3 one pernanent faculty Uemoer in roliGical
scienc~ ~middotit s~ecia iltcests b legislaive beh3vior ald political
dloYl-nt a-o 81 a29 cmiddot-petence in Ardcan pclitics and to bring
(lculy -emiddote-s fro less ceveloed countries to spend a peri cd of time
at the TJ1 i si ty o~ Io~middot adine sechtl expertise to the ~od~ at Iowa
other middotisosel -~ i_ le irol1ght to IC~ia as needed to support those nO~T
or --18 fc~~ti r~lt 7ds ~rill also be ilsed to finance data collection
exlts-s ~) t~-e res~imiddotch iork of tte acult the Associate scholars
BEST AVAILABLE DOCUMENT
1~ II
- 9 -
cesigned tgt trrtin US and foreign-born st1lcents in le6islati-~e rese=z-cndeg
Sttde1fs ~dll be tdTi tted cr11ally to 9 proeragt iihicn ~iould irclude a
tro~ot~h grounding in the r thods of cczparative aralysis the S1ostance
of conparatie politis g-mel31ly end the corrparative studJP of
legislative behavior in 9articulal The Uni-ersity intends to associate
tnese studelts directlr - rith research in Ttlhich faultr 2Cbers are
engaged to encourage thea to dra- U90n the skills end resources available
in this field il ra1Y departnents of the University to enable them to
spend up to one year in field research and to have thel4 snare their
findings middotrih their stmiddottidei~t and faculty colleagues Tle prograII will also
involve foreign scholars middotno are expert in the legislative process of
t3ir o- n countries in the tcaciing fgtimiddotogren both by holding -fisHing
a=point~elts at t-e University of Ioc1d by sUgervisi~g field research
c R d - t- ~ 1 rec C~ of Esta~lis~ed Scholars Tne University of Io~~
plals to extend a1 in-itaticn to seieal foreign scholars duri1g te
gle1t p2riod to patici~te in a coparative legislative researc~ seirar
duriig their visit Their plrticipat~ion middotrill edd 3 lL1iqte diiensicn to
the seiiral hceuse cf theh ~1o~-rlecge of the legislature in their own
C01-try BCmiddot2~ J1is Gemilr -ill be dealing -lith the nos-G current
reseaCIJ o~ l0~ ~ltmiddotJres as ell as discussine desigs for reseach to
fill in cowleuge of legis1timiddotre 1ehclicr -re believe
tret it ill be a l2~lilg experience for all the pclticira1ts--incltcing
BEST AVAILABLE DOCUMENT 1]7
- 10 -
Ima rill lOrk collcboratively ~ith the fOrsig1 5cbolars to design a1d
carry out P reseach pruject These projects Till cc~tribute to the
retlaininB of foreign scholars and nill also add to cur mmiddotm and8rstanding
d Research The 9rinciplI enphases in cesenrcl rere cutlined in
Section III above ie to focus en con-9arative studies in iihich
legislative cehaviol can be helpful in explaining the scope of politics
the style of governcent a1d the legitinacl of regiles Variables hich
will be studied Iost closel~r ircluue tbe persistence of institutional
norms in the legislature oyer time the relationship o~ the legislatue
to ether institutions in fornirg public CC1Cepticns of politics and
the histOl~ical context detelini1g public expectations of the 12risleture
This resea~ch nag both academic and practical objectives
Academically it promises to tie legislative behavior research to other
major concerns L1 pcliti~al science such as research on systeJ stability
and paricrJance Its general substaltive eojective is to assess the role
wtlichlegislatures Illay L1 determining the capability of political
s~lstems especially their ability to deal ~middotith soCial change
Vractically the stu1y ~y offer guidance to polic~Y-Dakers on
t~1e role ~ hich legislatures rray be ~lI-pected to pIa)- in neimiddotrly established
political systelt ald on ~hc efcrrrs in established legislatur~s -Thicn
rray be required to achieve specific syste~ effe~ts The study ~dll
Nquire the assccioticn of rembers of legislative staffs a1d 2cademic
colleagues in the s~eLal nations lmder nvestigRotiop plovidirg training
fot ~ll r)f them i1 leeis1ntive re3Clrch ~ri facilitating a valuble
BEST AVAI~BLE DOCUMENT
ll-
of Iml3 ~ill LS~ glmiddot~t f~ds t~ estaolish a data archive to begin to
bring tb~ edtirg legi31ati--re studies tog3tller at a single locaticn
end to =afe t~e ac~essible to tie grc~ring m~er of interested
scholars in t~i3 field PerSCIlllel of tbe Data Archive ~rill searcD
broadly fo all a-reilable data on legislatures in the possession of
ildiviiual researc~rs i11ese data sets ~-Till be acquired refo~atted
for ease in alelrsis a1d stored in Archive Tne Archive ~~ll
asserble tie etel~ Gata O legislative organization ald procedure the
socialization ~~ recruite~t of lzgislators legislative decision-
makLg pccesses 2d legislative outputs To facilitate access to
the data a ~middote-riemiddotrlt11 syste middoti111 be cesigned that will 2011001 r-=searchers
to find ~iccJ ata sets that c~mt2in inforration lelefalt to their
researc1 po)2e5 RibEcg-aphic citation3 cnd abstracts of research
reports on le~i51e-imiddote oebio ~~ill be gathered and a biblicgraphic
retrieval sys tC idll a Geielc9d to aid esealcJers
cooioinet-e1 ~~as n -ie are= of c~rarativa legislatile studies is
t~3t because 0 si~~e iJS in~ti tuticn ias tce necessarJ expertise
of ccrparati ve
1-=gislatiY2 tcie3 8forts of the most conrpeteat ace interested
BEST AVAIL~BLE DOCUMENT MCi I I yl
12 -
oz~ the tr)middote grantee institutions and otter associated scholars It
~ill ayise t~e pa1tee i1stituticns on SllC catte-s as roritorirg
activities at the t~re~ unive~sities~ evalu~ting rese~rch frr possible
=middotclication sJ--sidies rld ether ratters related to infor~atioTI
disse~~ation coordinating research efforts to avoid duplication
ecilitating excha1ges d sttde~ts ad faculty members ~-iitb foreign
nsti tutions i~en desirable tryi1g to till lacunae in cLIricu lUn
helJilg to arralge cmferelces and sy-posia and generally trJing to
9cote te ~eielcp~2nt of cOlparatile legislative stucies as a
Gra1t L~HS idll be ~sed to support the Univ2rsity of Io -a IS
nrticipation in tre AdisorJ Co-i ttee t1e developrrErt of conferenc=s
elsEfhere il the US arHl over3eas i1 relat2d facets of leeislaive sttdies
Edstng iersonJ~l al~d fa-ilities at the University o= 1oa previde
iaculty facliiies to aid rC3emc~ trailg aPd skill in 21c~ivaJ middotork
BES~ AVAIL4BLE DOCUMENT I
r ~-)
- 13 -
Six ITe-bers of t1e faculty of the Departent of Political Science
at the Unhe ity of Im-ia are presently engaged in legislative research
To merbers ot the Departllent of History are engaged in research on the
British Parlia~ent L~ the eighteenth ~~d nineteenth centuries Fer the
past six years an adv~~ced se~inar has been offered by ~embers of the
Department of Political Science and the Department of Histo~J on
comparative legislative behavior This exte1sive collaboration iiill
ma~e it possible to develop a fully inter-disciplinary program for the
students ~~d visiting faculty In addition faculty ~emcers in
Scciology interested in organizatien theory and in the College of Law
interested in legislctive processes provide furtber e-pertise ava_ilable
to students interested in tee study of legislative behavior The
presence of these specialists on th~ facult~r is reflected in the
excensive librarJ al1d otler data resources existing at Iowa in this
field
The Uniersity of Ima offers an unusually extensive program of
trainL~g in research methods Four ~e~bers of t~e Department of Politi~al
~cie1ce teach in the field of research nethods Courses jn statistics
ca1 be taken ill the Dep~rtents 01 Sociology e-d Educational Psycholcgy
Llis prcgr6l provides a verJ solid grounding il research training and
data analysis
bEST AVAILABLE DOCUMENT
e ~
- 14 -
Y labCrato~y for olitical Pesearch is the reseacc1 md research
tlairirg facility of the Departe1t of Political Sci-lce Gcadvate
students receivo extensive res~arch experience through 1or~ing in the
La oratory bull The Lacoratoy is also a1 integral part of the trainirg
o~feed in ccurs~ T~middotO~ for graduate students
The full-time sta~f of the laboratory includes a director an
assistant director a t-=cl1ical cirector a supervisor of study
t1hteen graduat~ students - rf1rk in te Laboratoy receivLLg teining i~1
~a~a collecticn ~~i data e~alysis Tbe facili te5 of the La)oratorltJ
icluoe a oard eJcerline printer ccnnected to the U1iversitys
dis~ and tape storF-ze for d~ta
The pogral of trailing ia coparative legislative reseC_cch ~ill
relr heavily en t LaOerltcLJ- for taching graduate stucents Visi tine
fc111tr lYe~bes iill be able to utilize tbe facilities cf the Laboratory
gt IOra ~as sFcial ccrpetence in prOCed~les for
ccq ter ogagtlizetion of d~ta Ja1ks ~d fOi the p~ocGssing of large data
sets as well as iJ the sttdy of naticnsl end st~te legisltllres Tile
BEST AVAILABLE DOCUMENT
- 15 -
Ile Univelsity of 10Ira will eadnister- the Grant thJotg~ its normal
a)1 iristrative char-l1els ad i1 Eccordance imiddotlith its ncrTal olicies and
operatirg procedures 7he Director of the gr~l1t-s~~ported program
Hill be a senior faculty eriOer of the Gniyecsity of IO~-ia -with extensive
expe~ie~ce in the subject field Associate Directors w~tb similar
qtalifications -aill also be appointed 7he Director- and Associate
Directors ~dll serve as eibers of t~e Inter-University Advisory CC1gtr)ttee
established to cooidinate _u bullbull ID gra1t-stpported programs at IOia Dul(e
lniversity a1d the University of Ha- aii Ll1 this field These relatiol-
ships are i~dicated in tee follc~dng a~inistrative organization chart
IX Ul~vsity Ccntri1uticn
T1~ ~h-ersity of IQ(a aSSures ALD that this Grant middotiill not
replace existing ftnds for STr current activity and imiddotrill be additive
to existing prograrrs of tCe lJniversity In direct sp~ort of this
Grat ttc University ~ill provide a) Acmi1istratile costs including
tie of senior officers of ttlt University b) Office ~ld research space
ald library and cor-puttr facilities c) Provision of a1cillamiddotCjr 1niversity
personnel -or consultation o~ ~middotjQrk nth the progral
X Reports end 5evie~-Ts
There i-ill be sub~itt-=i al arnual t2ctnical report for the purpose
of AID s revie- of activities under te Gant Tnis idLl include
a11 e-llation of prcsr~ss aidnistratve ar_c fiar~cial corsicer~tior~s
p~s cr tr foJlJ-middotire ear ~i disctlssics of the ossible l~lizaticn
BEST AVAJLIl8E OOCI1MrNT
~
- 16 -
A~~inistrative O~ganization
Ice Board of Regents of tle State of Im-la
-Iesicent of the University I
1 rOfcst Jf t-3 University
Den College of Liberal Arts
r Chailan DcptiEt of olitical ScieJce
Inter-G~iversity
Acisorr Corcittee
PcgrG21 Director Associate Progra~ Directors
Liaison Arcrge~~nts d ~h I I~~erested Plcfessiona1 I Perso~el j
I _
I 5cu1ti (full or PmiddotLG-tire l Asscci~tes a1d otllei non-Io~il
3ecip5ents of Gr3-1t stPPC1t Gr~cue~~e S t1~lcnts St2~retQi~S1 Data Lbed~1 31
Ln 18 r1icia 1
LO1t c~lce Factcj~1 ts
BEST AVAILABLE DOCUMENT ( ( V-t
- 17 -
of te eo17i~g cCpterce br A I D rLld ethers In addi tion there
aS3essr~ents of the gr31t
middot l ~ lI ~ _ _ _ co~~~r~~ing ~~iversiti~s md tne rrctitoring ALD office
7re l~yersity of Ie~middot~ budget of $26500 is to be deveted to the
cemiddotelgt~e~ of lstituticnal cefete1Ce in comparotive legisl~tiye studies
~t Iomiddota c t~ the exalsi0 ot a date b~L-lt ~ hich 1fill be utilized as
a ecle for icrec3ing te scope of tbe sub-specialty
T - 1 f 1 __ middotja r S Ctdget a9roxir~tly 33- has bee allocated to a
cemiddote Lp~l t rirc ipally C actlty re leased tirre for data ccllection
ai 0 3alres f~r i~~er-ieers in field research 3d secretarial
assi5ta1ce nCt2 11- of t~e Icmiddotre oudge~ is iesignated for an
ArCE_1 A~ite s(101a~middot 2d one 0 ore scnolals froQ LDe or
s1lllrt of greluate stucents in the
BEST AVAfLIlBLE DOCUMENT
- 18 -
Finally approximately 19 of the budget will be devoted to the
proposed data bruL~ that will archive not only data generated from the
research of scholars at Iowa Duke and Hawaii but also at other US
and foreign institutions Primary and 3econdary an~ses of these
data will become an integral part of ~omparative legislative studies
curricula The ability to utilize the data bank for teaching purposes
also should have a significant impact on professional preparation ofmiddot
future legislative specialists In summary the funds will be
allocated to research teaching and training activities tha~ are
entirely conson~~t with the philosophy underlying the utilization of
2ll(d) grants to achieve institutional development
Conclusion
The University of Iowa regards the research and teacbing components
of this program to be closely related an1 zrutually reinforcing The
University of Iowa offers a strong base for the pro~ram because of the
interests of faculty members here now because of their contacts with
scholars in this field in other Americ~~ and foreign universities
because of their experience with the international exchange of faculty
and because of the distinctive data gathering and processing facilities
available in our Laborator~- for Political Research The program which
we have formulated is designed not only to accomplish specific
research and teaching objectives but to contribute to the long-term
development of the University of Iowa in an area in which it has already
exhibited special interest
BEST AVAILABLE DOCUMENT
~ I) - 0
- 19 -
The program on Comparative Legislative Studies with support from
this Grant rill develop the capacity at the University of Iowa to
provide assistance under separate financing arrangements to developing
countries in a number of ways and through a varieiy of channels This
assistance which would be arranged for end negotiated separate~ from
this Grant may be in the form of technical assistance advisory service
training research and information exchange etc It will be available
by mutual agreement to appropriate agencies national and international
public private a~d mixed and directly to the less developed countries
Most especially this added special competence will inevitably become
incorporated through the processes of scholarship and education into
the competence of US and foreign scholars and institutions concerned
with this topic of great significance to the developing and the more
highly developed countries alike
BUDGET SUMMARY
UNIVERSITY OF IOWA
Salaries
Graduate Student Stipends
Fringe Benefits
Travel
Equipment and Services
Other
TOTAL
$173090
32400
19209
13800
6501
20000
$265000
BEST AVAILABLE DOCUMENT
d bull
srjmiddot (~~ jjXilO
IO
rmiddotmiddot ~middotmiddotrl f)~~ 7 middot 1 ~A~~ middot1 rmiddot middot~ rt bull middot bull bullbull I ~ i bull bull ~ middotv- middot bullbull ~ I
1 so bullbullbull l ~--~-- - - ---- ~ V~ i Jlgt ) bullbullbull ~(lr v ~I ( tr_ 1middot-middot 1 bullbull 1
il l~ J
2 c~loto
BEST AVAILABLE DOCUMENT
(C
Dr Willa~d l Boyd Presicient University of Ima iowa City Iowa 52242
Dear Dr Boyd
4 AUG 1977
amp
FIJNDS AVAnASLe CpoundNrftAamp sEIMCEs DMsON
AUG11 ~n te t6417 ~77
Subject bull Supplsectferit-tJF-G~middotNomiddot~middot AIOcsd-3294
t middot-rrPJ1 3
I am pleased to inform you that pursuant to th~ auth~rity contained in
S-cction 211 (d) ooC the Foreign Assistance Act of 1961 as amended a sup
plemental grant in the amount of $200000 is h~reby r~de to University
of rCi1a These supplement]l grant funds areprolided to support the
activities which are described in your Proposal dated May 6 1977 for
the implementation of your program entitled Political Conditions for i
Effective Small-Scale Rural Assistant Projects
---This sup~lemental grant is mace to University of Iowa en condition that
yo~r institution shall administer the funas provided under this Grant fn
accordance lith your r~ay 6 197 proposal (including Budget SUmlilary) and
the Standard Provisions (as incorporated by Amendment No 1) which have
been agreed to by your instit1ltion Ti) the extent of an inconsistency
between the Proposal and the Standard Provisions and any otherprovisfons
which ar~ made a part of thi5 Giant by reference or other~iSe the Sta~d~
ard Provisions shall control
The new Duration Period for this Grant shall beAugust 11 1971 through
August 10 1979
The total amount of funds obligated under the grant is increased to reflect
a new total oblgated amount of $465000
Please sign the Statement of Assurance or Compliance ana the origfnal -
and seven (7) copies of this letter to acknowledge your understanding of
the conditions under which these funds have been granted Please return
the Statement of Assurance of Compliance and the original and six (6)
copies of this supplemental Grant to the Office of Contract Management
Attachment May 6 1977 Proposal and Budget SUfiT1a ry
UNIVERSITY OF IOWA
Roberw bull OBrien fficer
Ce al Operations Division Office of Contract Management
AC~E~E~C--_ 0 BYpoundk~~ cH
D C ~lpoundSTtR5BA T ITL E ( PfeampoidPilt for
tee ment amp Research DATE 9-22 -77 (d~ ~~Bduate Ctl~1e~e
BES i AvAILdLt UOCLJMU~ I
211(d) Grant Program
Proposal of the University of Iowa
POLITICAL CONDITIO~S FOR EFFECTIVE SMALL-SCALE
RURAL ASSISTA~CE PROJECTS
Submitt~Ci to
Civic Participation Division AID
May 6 1977
Amount requeste~ $ 199987
BEST AVAILABLE DOCUMENT
I TdE DEVEIOP~T PROBr~
P~litical Conditions for Rural Development
The Cocparative Legislative R~search Center of the University of
Iowa proposes to ~~dartake a two-year study to investigate the role of local
leaders and the rural public in theimplecentation of small-scale develop~ent
1 projects in less developed countries The study will use and extend the
capacity ~hich the University of Iowa developed under a 211(d) grant to
investigate and assess the impact of loeal politics on rural development
~t the co~pletion of the s~ Iowa will be in aposition to advise the
Agency on the design ~nd evaluation of s~ll-scale projects which will be
politically viabe a~d effective in ass~sting the rural poor ~
As students of development w~ approach our task with the assumption
that the proble~ of development and underdevelopment are funda~entally
ones of political econooy and a~ such can only be solved through a
simultaneous considerationof economic and political factors Efforts
which foc~s aloost solely on economic factors like those of ma~y
organizations engzed in dipersing foreign aid or efforts which focus
almost exclasively on political factors fail to take account of the
interdependence between these two dimensions of underdevelopment and
lwe have for~ulated this proposal in a canner consistent witr the cu~rent policies ard interests of the Agency We have been guided in our tsk by four Age~cy doc~e~ts Impleo~~tation of New Directions in Developnent Assista~c~~~ ~eport to the COmlittee on International Relations on Ilupleoenshytatiun of Legislative Refo~ in the Foreign Assistance Act of 1973 (July 1975) rItevis~d Projec Developiel Review and Approval Systeo (A I DL Circular A-21 Aril 23 1975) SH Butterfield Draft SUIilZ3ry StateUlent of a Practical Agelcy Approach c aural Devalopilelt (AATA February 28 1975) Cicci A Coce~ual Oie=viamiddot middot Rural Development No1 (lWorilting GOU O~ tha Rural Poor February 1975)
- l -
can meec with only l~ted success
Our concern with the i=pact of local politics on the process of
rural developcent is a result of our interest in the basic question of
how LDC governm~nts and the donor agencies which assist them can
become core effective in raising the standard of living of the rural
poor We seek answers to the following aspects of that basic question
1) What political conditions must exist both within rural communities
and between theo and central gove~ents to raise agricultural production
w~ere small-scale agriculture is the do~nant pattern 2) Vnat are the
political conditions for a core rapid expansion of the informal manufacturing
and service sector cocprised of labor intensive small-scale industries
located in the rural ar s 3) What political structures and activities
are mase crucial for the provision of welfare and econocic supporc services--
such as agricultural exeension mar~eting and transportation--to the rural
areas1 4) ~~at Folitical conditions oust exist to insure that economic
growth in the rural areas is not accowpanied by excessive and intolerable
inequalities between socio-economic classes andor between regions1
Center-Periphery Linkage in LDCs
To deter~ne the political conditions for rural development we have
in previo~s s~udies exacined the institutions and processes through which
rural populaticns are integrated i1to the national politi-cal systetlS of
middot~he countries in which they live A gap exis~s in most less developed
countries bet~een the peasantry residing on the periphery and the c~~tral
political ~stiutions staffe1 by ~~estern-educated bureaucratic elite
We are aware of the other major ~sti~utional discontinuities which comprise
J
4 middot~~1 the basic cleavage between the developed and underdewmiddoteloped sectors of
these dual societies Bridging these gaps is essential if these so~ieties ~ are to develop into viable nation states For until those Q~ the periphery
of the poli~ical syste~ participate in that system and support and comply
with the authority of central political institutions neither economic
development in ~he rural areas nor a stable polity will emerge
Bridging the discontinuities in these new political systems requires
establishing and institutionalizin3middot1inkages or networks for co~unication
and exchange of resources between decision-makers at the center and the
rural public on the periphery Three types of institutional linkages are
most prominent in less developed countries 1) those conSisting of the
state administration composed of the bureaucratice1ite 2) those consisting
of a revolutioncry political party cocposed of the ideological elite
3) and those conSisting of patron-client hierarchies composed of the political
entrepreneurial elite
Of these three linkages consisting of the state administration are
the cst extensive and pervasive in virtua~ly every LOC Such linkages
however exist primarily a~ instruwents of the center to penetrate the
periphery Central government officials are formally charged with bringing
develo~ent to the people This is a ~issi~n which conceives development
as a process ~hrough which a traditional peasantry is transformed and
assimilated iJro the DOdern center which is steadily expanding to embrace
it Agents of the center invariably have more resources to achieve their
objectives than do local political leaders but because they are frequently
strangers~ the communities in which they function they are often unable
- It -
co implement the policies of the center without working through the
local establis~ent
Though somctices significant linkages consist~g of revolutionary
party organizati~ns such as those found in China and Vietnam do not exist -
in most IDCs beca1Se of the special historical and e~omic conditions
required for their development As wi~h the administrative state however
the linkaampe apparatus of such political patties is prUlarily an instrument
of the center whose mission is to penetrate and mobilize those onthe
periphery
In contrast patron-client hierarchies are linkages which represent
the periphery at the center and mediate betwee~ these two disparate
sectors of the political systec Thcugh norcallymiddotovershadowed in scale
by the state administration patron-client hierarchies are found in almost
~very LDC a~d constitute the ~st significant network through which rural i
populations and their leaders influence the decision-~king process at
the center Patron-client hierarchies exist in a wide variety of org~iza-
tional fores ranging from info~ ~ec~~rks of individual olitical leaders
in uno-partyll systelS in S~b-SaharaI4 Africa to extensive political machines
in both one-p~rty (Africa Mexico) and ~u1ti-party systems (Turkey India)
Despite their importance as the pricary means through which peasants in
LDCs particiate in their political systems patron-client hi~rarchies
have only recently become an object of analysis by students of political
developent and do not appear in even the most sophisticated studies of
2 See Jo~ Dunca owell Peasant Socie~y and Clientelist Politics Aerican Politi~ Scielce Revietol 64 (June 1970) pp 411-25 Rene Lemarchand anc_ Keith Legg olitical ClienteliSJ and Ethnicity in Tropical Africa Aierican Political Sc~ecce ReView 66 (Y~rch 1972) pp 68-90 James C Scott PatronshyClient Politics a~d Political Change II 1tlerican Political Science Revie~ 66 (~arch 1972) p 91-113 and Friends Followers and Factiols bull edited by Steffan Sc~~d and James C Scott (Berkeley UniverSity of California Press 1977) bull
- 5 -
3 economic development Ad~niscrators of developmental assistance progracs
have too often regarded patron-clienc hierarchies as ~ped~ents to
develop~ent instead of recognizing cheir potential utility bull
~ Findings on Patron-Client Hierar~hies --
The importance of pat~on-clienc hierarchies for linking the periphery
to the center is one of the major findings ~erging from a study of the
relationships betueen l~gislators an~ their constituents in Kenya Korea
and Turkey ~hich the Cowparative Legislative Research Centpr is nov
comleting uader its 21l(d) grant from AID This study has av~mined the
creation of linkages between the periphery and the center through ~ore
than lO~OOO interviews with members of parl~ent local leaders and
peasants in t~e three countries The findings are being systewatically
set out in a book-length monograph Nearly a dozen research reports have -
uready appeared (see Appendix C) ipropositions about the nature of
political behavior of rural populations an~ the roles of local political
elites de=ived from the research~ can be s~rized as follows
1 Elected representa~ives play a significant role in the creation and mainte~ance of linkages be~een the center and periphery by developing local political achines in which they function as patrons of their constituents In turn thay s~rve as clients of political leaders of national stature who control central government institutions
2 By atte~pting to establish linkages based on patron-client relatio~shi~s elect~d representatives are responding to public expectations chat their prizary duy is to obtain resources from the center to proffiote local develop~ent ~iany elected repLesentatives spend most of their time on self-help co==unity development projects such 3S the building of schools health clinics irrigation works arid roads because such projects provide
3For exa~le ~ a widely respec~ed a~d useful analysis of rural deve16p~ent in Sub-Sahara~ Africa L~ Lele of the World Bank notes the problems of creating an adoini5~raive infrastructure in the rural areas that is sensitive to local socio-oliical conditions She does not however consider how local leaders operating o~tside of adcinistrative structures ~ night contribute to the developne~t 0 the rural areas See ~~ Lele ~ Design ~ Rural Develop~ent Lessons ~ Africa (Balt~re The Johns HopkiD~ Uciversity Press 1975) r) pp 127-61 i ~
- 6 -
their const~tuents with desired se~ices ~~d a= the sa~e time provide the reresentatives with an orgacization Yhicn can be used as a political base
3 l-tore than 90 perCel1t of the rural population is capable of articulating the p~oblems facing their local co~~ity and two-thirds discuss th~e proble~ w~th their fellow citizens on a regular basis
4 Three-q~rters of the residents of the rural areas can identify the public ofpoundici~s who serve thec--both civil servants and elected represcrtatives--by na~e Most are knowledgeable about the activities of these officials Alcost one-fifth coreover have discussed co~~~ity probl~ ~ith these officials particularly those working at the grassshyroots level Residents of rural villages actually have a higher level of political knowledge than their counterparts in the towns
5 Elections in the rural areas evoke a highly rational attern of voti~g despite the effects of ascriptive or traditional co~siderations Inc~ens are pri~rily evaluated in terms of their record in fulfilling the public r S elpectations of what they should do Elections are essentially referenda on inc~entsr perfo~ce especially their perforwance in the area of constituency servi~es such as bringing development projects to the districts bull
6 Local developcent projects have a relatively high s~olic value generating conscitutency support for local leaders and the central government at low cost
7 These projects help huild a local political infra-structure which can also be utilizec by central govern~nt civil servants to implement other policies designed to achieve rural develop~ent bull
The Icpac~ of Local Politics on Rural Projects
Having explored the developtent of linkages through which the periphery
is represented at che ~enter and through which the periphe~ attemp~s to
share in the ceners resources we now propose to build upon our initial
investigations by e~ing in greater detail the impact of local political
conditions on specific problecs of rural develop~ent We propose to
exacine the develop~ental activities of local leaders ~nd the rural public
by eX2~Ding a saple ot fifteen to twenty smalL~scale developwent projects
in each of ~he three countries which constituted the sites for our initial
8ESI AVAILABLE DOCUMENT 1 ~ - of
- 7 -
study of center-perhiphary relations The appropriateaess of this approach
and the ~ethodology through which it will be ip~emented is discussed in
section II Because the ~ethodology of investigation is in large part
the result of our previous research experience we fizst turn to a revieW
of the existinQ __ ~petence of the Comparative Legislative Research Center
in this area
II GRAXTEES EXISTIXG CmET~CE
In 1971 the University of Iowa received a 211(d) grant to develop
its capacity to do research on the role of elected represent~tives in
the process of modernization On the b~sis of this grant the University
established a research center which planned and carried out a research
project on the role of elected reres~~tatives as links between the central
gove~ent and rural populations in K~ya Korea and Turkey The project -i
served to develop t~e University of Iowas research capability in this
field esa~lished ties between the University and scholars in the bost
countries and generated a large and uniqu~ body of relevant data
In that project we fo~ussed our attention on tbe activities of elected
representatives in their constituencies notably in their contacts with
local political leaders voters and civil servants To determine tbe
nature of the linkage function performed by tbe representatives we
designed our research to explore the subject from three perspectives
1) we eXaojned ~~a ~ubject at tbe grass roots by conducting a series of
sample surveys of 200 to 300 adults in each of 12 to 14 parliamentary
constituencies in each cf th~6three countries 2) we examined the subject
at the center by intervie -ing MIls from the constituencies in which we
had conducted S3mple surveys ~nd higher civil servants with whom they
had contact and 3) ~e ex~~ined the subject from an inter-~diate level
by identifying aud ~terviewing local social and political leaders in
the MPs constituencies We used survey research methods because we
were embarking on the study of an entir~ly new subject for which little
relevant docu=e~tary data existed and on which there were few secondary
sources As a result ~e have unparalleled experience with survey
research in the rural areas of less develo~ed countries
The surveys which constituted the cajor part of our field work were
planned in collaboration ~~th scholars from the host countries They were
carried out in each constituency by student interviewers in the appropriate
language ~re than 10000 respo~dents were inteDViewed for the project
Given the visibility and sensitivity of this undertaking approval for
the research was sought and obtained from the host governments prior to -i
the collec~ion of data ~o objections were raised by these governments
at any stage of the research The data obtained have been made available
to scholars i~ the host co~cries and some of the basic findings have
been published in periodicdis in these countries
The Comarative Legislative Research Center ~hich ad~nistered the
project has aisO developed extensive experience in the study of political
leadership in other countries It h3s obta~ed substantial support from
the Fo~d Foundacion and the Rockeeller Foundation has worked in
collaboration ~~h European as ~ell as Asian and African scholars and
is engaged in a ajor study of the role of elected and non-elected leaders
in the oanag~~t o~~ocial conflict Because it has conGucted research
in a variey of setlngs the Center has an ~ceptional capacity to
- 9 -
determine how the relationships be~een political institutions and
economic p=oble75 differ in develoPed and less developed countries
In the course of the major research projects the Center has administered
it has gained highly specializpd ~p-i ce iI identifying 1Olitical leaders
in a great variety of settings conducting systematic interviews with
them collaborating with scholars in the host countries and in coding
and utilizing large files of data to answer specific research questions
The Center has ~lso undertaken to publish the results of its research
in three fores It issues codebooks to the data enabling scholrrs at
other locations to use the data expeditiously i~ publishes research reports - in the form of Occasional Papers and it publishes a scholarly periodical
devoted to the presentation of research findi~gs to an inteIT~tional
audience
The Center utilizes the data ~ysis facilities of the Laboratory
for Political Research of the University of Iowa and drawS on the unusual
n~er of secialists in comparamptive politics and survey research in
~~e Lniversitys Departmen of Political S~ience The Center itself I
has the services of an administrative secretary and a clerk-typist
~intains its~o~cn extensive archives and its o~~ publications program
It is e~uipped to assist scholars and government officials outside the
t~iversity of Io~a The participants in its p~ojects are full-tioe
faculty ~e=bers ~hose undergraduate and graduate teaching is closely
related to their research As part of the teaching program the Center
has attracted students from the countries in which the research projects
have been conducted these students have participated in the projects
bull J
have obtained training in other fields of political science have received
University of Iowa degrees~ and have ret~rned to teach and to do research
in their own countries
III PURPOSE OBJECTIVES AID METHODS
Purpose of Study
The purpose of the proposed grant is to extend the capacity of the
University of Iowa to determine the political conditions in the rural
areas of less developed countries which favor the establis~ent and growth
of small-scale developoent projects ~e objective is to put the University
of Iowa in a position to assist the Agency in designing small-scale rural
developent projects providing guidelines for carrying out social soundness
analyses of such projects and adviSing in the evaluation of projects
We will discuss the utilization of~t~e Universitys capacity in detail in
section IV below
We propose to concentrate our investigations on the political conditions
surrounding s~l-scale ru~al projects Such projects have distinctive
advantages They waximize the political participation of the rural populations
both in det~~-ining the direction ~d implementation of develop~ent efforts
and in defending the interests of periphery vis-~-vis the urban-based
bureaucratic elite S~ll-scale projects stimulate entrereneurial activity
on the part of the rural citizens and growth of the info~l canufacturing
and service sector Tbey require less lead tice and less administrative
c~erhead to ~eco~e operational than large-scale capital-intensive projects
centrally administered Such projects yield rapid and direct benefits to
1
j
the rural
- 11 b - ~~1
populations and are consistentwith their hUIlaD rights--both
political and economic However~ small-s~le projects pose s~ecial probl~s for administratcrs of developceocll assistance progracs because
they require the donor co assess the local olitics particularl the
rural politics of t~e host country
Develop~c adoinistrators pr~rily conc~rned with assisting rural
populations must therefore recognize the range of political variables
affectL~g these projects Small-scale projects offer great opportuoities
for develop~ental assistance progr~ because they can be easily targeted
to help rural populacions require low capital costs and need no be
concentrated in one or two localities Such projects ho~ever~ ~equire
the a~istrator to have ~re political kno~lecge than large-scale
projects Oil which his priJlary tas~ is guiding the work of other experts
Questions for ~Investigation
To detercine the politi~al cc~diicilS ~st conducive to ~he establ~~ent
and gro~h of scalI-scale rural projects ~e propose to address our inquiry
to the following specific questions
1 To what extent and why co local political leaders seek to establish s~~l-scale develop~ent projects within their co~unities
2 To what extent and ~~y do local leaders other than politicians initiate andor provide leadership for s=all-scale developm~t projects
3 Bot do the relations bet~Jeel different types of local leaders (political and non-political) and bet~eeo these leaders and central gove~ent civil servants posted to the rural areas affect the conduct of develop=ent projects
4 How do existing authority ~eLationships between these different leadership grous and the rural pub~ic affect the organization and operation of s~l-scale develop~ent projects
- 12 -
~
5 lhlt is the nature 0 pclgtlic participation in the establishlent and operatio~ of s~l-sclle projects and ~hat are the outcc=es or this participatioe Gucer w~at conditions is such participation ~ost likely to occur
We seek a~swe=s to t~cse questio s L order to determine the effect of
different co~iigurations of local leadership and public participation on the
outcomes or small-scale rural projects te are particular1y concerned with
the ~pact of these configurations on the rate of econocic growth and the
distribution o~ rIGSlth ithin the loal cOlllUlity ~ on the perce~tions of
s~ll-scale proj~cts by central govern~ent per~oncel and the rural public
anmiddot on the organiation or flture projects
To a~swer these que~tions it is oar intention to study the initia~ioD
izJple=enation ald i1lpact of a salple cpound small-scale rural projects in
Kanya Korea and Turley in the sae cOllities in which we carried OU
our initial icvestigations ~ 1973-75 Tne relationships between the -
various conf~gurations of local leadership and public participation and
the three phases of project develop~ant are sho~ in Figure 1 We will
exa=ine projects to pro~ote the adoption of new agricultural techniques
by s~l and moderate landnolders the building of feeder roads irrigation
ditches and other s~ple infrastructure the organization of fa~ers
cooperatives and other local associations concerned with rural development
the establish=ent of rural health clinicS and schools and the setting up
of craft and service industries
Sites for Study
We plan to return to our original set of localities because we possess
a rich body of relevant data on the extent to which linkages exist between
Figure 1
TYPES OF LFLUEXCE OF C2r~ middotGOVER1iEXT OFFCIALS
LoCu LEADERS 0 THE RURAL PUBLI-C OX THRr~
PHASES OF RURAL igtEVELOPHET PROJECTS
r----------~J C~ltral Gover1~nt Official)-N------- - J
r- Local pOlitical leaders
Local non-political leaders
~l 1---- -
ROJECT nITL~TIOS
Influ~ce on selection of projects
InrI ~elce on location of projects
Influence on policy guidelines for proj eCl
Il
I
a
I I
-I PROJECT I~L~~iATIO~ ~ 1
j Project Organizati I Selection of project
leadership
Hobilization of resources
Mobilizatiol of public compliance with project require=elts
Diffusion of project innovation
Rural Public
I
BEST AVAILABLE nOCUMENT
1 ROJECT IMPACT
Organization of ongoi=g project operation
Distribution of project benefits
Evaluation of project
Public attitudes toward project
-middot14 -
these areas and t~c central p~litical institutions of the three co~tries
and on the attit~es of the rural populacioc local leaders and elected
legislators regardi~g their problecs of develop~~c Since such data
is unavailable for alternative locales a return to the areas in which
we have previously done much research ~ables us to build on a uniquely
valuable body of icformation
A return to Kenya Korea and Turkey is also highly desirable from
the standpoint of effective research organization The Comparative
Legislative Research ~enter has developed close collaborative relationships
with several highly competent social scientists in these countries and
with the academic institutions with which these scholars are associated
We have also dev~_oped cooperative relatio~ships wi~ gove~ent officials
in these countries which should facilicate obtaining approval for our
further work
In proposing to doc~ent the origin i~pl~entation and impact of
one to three s~ll-scale develop=ent projects in each of 35 localities
we have two considerations in mind Firstmiddot because our pr~ry goal is
to deter~e the political conditions for rural developm~Lt we wish to
examine develQ~=ent in as many different settings as feasible Only in
this way can we control for so=e of the major socio-cultural variations
that erist along rural populations in less developed coultries These
include the overall level of econo~c development in the co~unity the
nature of t~e ~digenous culture an~ relationships of authority and the
pro~ty of the comounity to major urban areas and centers of central
gove~nt ad=inistration ~ce our original study sites were carefully
BEST AVAILABLE DOCUMENf
- 15 - ~ ~1
selected to represent these variations ye have concluded that these
35 localities woule be ideal sites for the propose~project Second~ in order to dete~~~ the ~pact of local leaders and public
participation o~ ~ural projects we intend to compare projects 1n which
local leaders and ~ecbers of the public have played a major ~ole with
projects in which they have not We also ~l cospare projects initiated
by the central gover~ent with projects Yhich have been locally initiated
These considerations give us a typology for selecting projects as depicted
in Figure 2
Figure 2 ~
FIVE TYPES OF RU~AL PROJCTS ACCORDIXG TO ~FLUEXCE OF CEITiW
GOVE~1E~T LOCAL LEADE~ AD RLRAL POULATIO~
Level of Participation by Rural Population
Locus of Project Initiation ~
Local Co=unity Central Governoent
BIGd
LOt
1 Projects initiated by local leaders and providing for participation of the rural ~opulation
4 Proje~ts Litiated by local leaders bu~ not involving participation of the rural population
2 Projects initiated by the Central Govern~ent and administered i~ cooperation with local leaders a~d the rural population
3 Projects initiated by the Central Govemlent and providing =or the participation of the rural population but by-passing local leaders
5 Projects initiated by the Central Gover~e~t a~d administered in cooeration Yith local leaders but not involvi~g parti~ipation of rural population
- 16 -
We recognize that the socio-cultural setting of rural develoment
projects varies significantly within and across less developed countries bull
By focussing o~ a representative sa=ple of localities ~ Ke~ya~ Korea
and Turkey we can take account of naoy~ though not all of these variations
While some of our substantive findings will not be directly generalizable
beyond the countries in which we propose to conduct our study we expect
that our basic ~ethods and fLdLgs will be applicable to national and
sub-national settings elsewhere in the developing world This is partly
d~e to the fact that the hierarchy of patron-client relations ~hich we
regard as a critical factor in rural develo~~t exists in ~ost Liles
--It is also due to the fact that the methodology for identifying local
bull leadership configurations auG poundor studying local politics which we are
perfe~ting can be used to assess local political co~ditions in a large
variety of countries even when the ~nditions themselves differ significantly
Methods of Investigation
The data needed to assess the iDpact of local leaders and mass
participaticn on rural dev~lop~nt fall into two categories Some a~e
contained among the data gathered for the research project we are currently
completing Others will require additional field research
The following data are already in hand
1 Data on the social landscape of each loc~l co~nity i~cluding aggregate data o~ level of econonic development de~graphic characteristics political pa=ticiation eth~ic loyalities and rates of socio-econocic change dur~g the past decade bull
2 Identity of local leaders including both political and I-on-political leaders and both legislators and other politicians
3 Perceptions of existiag probl~ and their possible solution a~ng
l)tS r AVAilABLE DOCUMENT
- 17 -
general public local leaders and civil serv~nts
4 Level of political kno~ledge among local citizens and local political leacers
5 Political and social values a~ong local ci~izecs and local political leaders
6 E~~ectacions of leadership roles among the local public and elected and non-elected leaders
7 Patterns of co~unication ~ong local leaders and between local leaders and the central gove~e~t
These data ~hich ~e already have in hand can be subjected to analyses
which ~~ll provida the foundation for our further work on rural develop~ent
projects A part of our work therefore will consist of fu~ther analyses
of existing data
New data of the following kinds are also required
1 Doc~entary data on the origin and evolution of particular smallshyscale develop~cnt projects in the rural areas
-2 Data on project costs boih ~itial invest=ent and recurring
operating costs and data on project ou~puts ie pupils in schools Ddles of road coopleted nl~ber of hospital a~ssions production of factory agricultural productivity
3 Data on project organizatio~ n~~r of local inha~itants participating in establis~~ent of projectt nuober of local L~habitants subsequently involved in project
4 Data-on the pe-cetion of projects by local leaders emers of the local public a~d by civil servants data on the perception of how each project ~as initiatec organized who benefitted and what its future implicatio~s are
These types of data will requ~re field work involv~~g both docucentary research
at the relevant ~istries of the central government and in local goverr~nt
authoritieS and inforoal open-ended interviews with local political leaders
elected representatives and other local leaders who~ we had previously ~
interviewed in a s=uctured syste=atic =aoner
BEST AVAILABLE DOCUMENT
- 18 -
Grant Organizatio~ and T~etable
We propose co undertake the research outlLled above beginning in the
fall se=ester 1977 Dur~g that te~ Professors Barkan and Kim as
principal investio~tors for the neo1 proj ect will contact their collaborators
in the host co~~tries They ~~ll also seek the collaboration of an additional
~rican scholar specializing in rural development with the aic of getting
additional advice on sources of data and suitable indicators for the
~easure=~~t of rural develop~ent projects
At the end of the fall seQester Professors Barkan and Kim will make
a trip to their research sites to disc~s details of the research organization
with their collaborators in the host countries and to recruit student
assistants Tney will devote the spring te~ 1978 to further analysis
of a~sting data at the University of Iowa
The gathering of additional dita L~ the field will begin in the s~er
of 1978 Professors Barkan and Kio will direct this work personally We
eAect that its coopletion ~~ll require three to six months This work ~1
involve the evaluation of central and local gove~ent reports on the
projects uncer investigation extensive on-site observations of the projects
and oen-e~ded interviews with the principal participants Our principal
respondents ~i1l be the local leaders and elected representatives we
have previously identified in the localities in which we have worked and
a sacple of active participants in the particular dpvelopment projects
being studied ~~ere necessary and apropriate surveys of the general
public will be uncertaken to assess the inpact of a given project on the
rural por)r We do not however leed 0 conduct systeAlatic sample surveys
BEST AVAILABLE DOCUMENT
- lY -
of the rur~l population as We did in 1974
In the organization of this research project we intend to reconstruct
the rese~rch tea=s ~e e=ployed during 1973-75 We shall again seek the
co11abo=~tion of P~ofessor Sc~~S-7o~g Pai of Seoul National University ~
Professor IIiCr Turan of the University of Istanbul and Professor John J
Ok~u of the U~iversity of ~arto~ S~ilarly w~ contemplate directing
the field research fro~ he same acade~ic research organizations we previously
used Seoul National U~ive~sity th~ ~~iversity of Istanbul and the
Insti~ute for Develop~eut S~udies University of Nairobi As before we
will tra~ students f~oo these institutions to serve as interviewers
The analysis of the open-ended intervie~s and of docUQentatio~ on
I ~ural develop=e~t projects will be a ~ore t~e-co~s~g process than the
analysis of closed intervie~s It will reqrire a high cotnittl~t of time
fron the principal investigators )e e--pec to hold a conference at the i
U~iversi~y of Iowa 3lO1g all the principal )clticipa~ts in the resea~ch
project d~=~g t~e spr~g 1979 to evalua~~ the newly collected data
le e~ pect to be able to vr-ite reports of t~ results during the Sl1~er 1979
(see Figre 3)
IV LlX-GS ~1) U~ILIZATIO~
At the e~d of the grant period the Uti ersity of Iowa will be able to
1) advise the Agalcy 01 the design of s~l-scale rural projects to assist
the rural poor 2) provide guidelines for social soundness analysiS of
small-scale projects for the rural areas of U)Cs 3) consult w~th the
Ag~tcy 01 the evaluatiol of rural projects ~d 4) provide LDe governments
BEST AVAILABLE DOCUMENT
)ATES
~lll
1977
~inter 1977
iprilg 1978
il mer 1978
~all
1978
ipr~ng
1979
Imiddoter 1979
University vf Iowa
Plutlning of rural develo~rent project
Barkan Kil
Alalysis of existing data
Barkan Kia
Data processing
3arkan Kin
1
I
- 4 -
Figura 3
GRAT TLfETABLE
SIT E S
Kenya Korea Turkey
Preparation of field research ural developH~lt project cOlisulta~io~ a research sites
BarkanOku=u Ki~Pai Tura~rkanKi~
Preparation of field resea-ch
Tural
Field research on rural cevelop~~t projects Bar~lOk~u Ki=Pai Turan
Co=pletion of Co=pletion of field resear~~I~ fiald researcr
Ok~u i Pai bull
f Coopletion of field research
Turan
Data analysis conference a~ong all princial i~vestigators at Un~versity of Iowa Barkan Kil Oku=u Pai Turan
Co=letiol of r~ral develop~ent
project
3arkan Kiz
BEST AVAILABLE DOCUMENT
I
- LL -
~ith speciali~cs o~ ru~al developcect ~mong their own citizens ~ho ha_
partcipatcd ~s collaborators in the Iowa projects
In the proposed project we Will test a series of hypotheses cOlcerning
the political cOllditions of rural develo=ent which run counter to CODOn
assuoptions conccrnir3 t~~ influence of rural politics on project effectiveness
As a result ~e ~dll be able to assist the Agency in designing and evaluating
such projects froe the point of V~~W 0 their political viability The
hypotheses We will test sugges~ t~at the patron-clie~t relations existing
in the local politics of zost LDCs are not necessarily i~pedients to rural
develop~ent but are aspects or the political structure which cal be used to
facilitate s~ll-scale ru=~ projects which will raise the standards of
living of _ ~ rral pomlation - As ~ result or our stuey we expect to be
able to P~-O~t the local leadership confi5~rations ~4d the relationships
between local leaders ald rural poclations ~nich are oost conducive to I
successful develcp=en efforts We believe that we will be agtle to perfect
a cat~odology for identifying the political conditions for rural develop~ent
one ~hich is transferable pound~oo the countries we have specialized in to
other LDCs
We proo~ to develop specific guidelines to assist administrators
charged with selecting evaluating and =onito~ing rural develop~ent
projects to ~szess t~esc rojects in tares of their-social and political
viability he outco~e of such projects is dete~ned not only by the
efrectiv~nass ~~=h ~hich they use scarce econo~c resources but by the
~~er L~ w=ich they e~gage the suppprt of local leaders and rural
po~ulatiocs~ by thei= effect ou social a~d econo~c equality ~d by
D[~T AvAlLA8LE DOCUMENT
- 22 -
their consequences for hwan rights ~Je plan to establish criteria by
middot~hic~ the probable outco~es of projects in these social terms can be
anticipatec
The study ~e propo e will be undertltlken by faculty at the Cniversicy
of lowe in collaboration with faculty a other ~rican institutions and
institutions in the host countries We will build on the extensive contacts
between the Co~perative Legislative Research Center of the ~niversity of
Iowa end other instituions with ~aich ~e have worked One =ajor result
of our collaborative study will be the existence of a net~ork of compe~ent
scholars both in this country and overseas experi~lced in ~orking together~
shar~g a co~on teaching and training experience i~ close contact throu~~ the
effective publications progr~ developed by the Co~parative Legislative Research
Center T~e e~~ertise of this group of individuals will be ava~lable to
oteer scholars to the Agency and ~o L~C governments for specific policy
advice The eXertise developed as a consequence of this project will
extend beyond the ~tionals of the countries ~volved since the univ~sities
engaged in ~e project attrtct stude~ts fro outside heir own countries
For ey~=ple the teaching ~d research progra in the Depar~ent of Political
Science 0 theUniversity of Istanbul heavily affected by the participation
of its facul~y ~e=bers and graduate students in our projects attracts students
throughout the ~middot1iddle East for Whom the University of Istanbul is the iajor
institution ~pound ~igher education in the region rne Institute for Developmen~
Studies is si=ilarly a focal point for students and faculty in East and
Central Africa Seoul ~atiocal Unive=sity attracts students froo other
Asia~ co~tries~ In this way the capability developed among the participant$
BEST AVAIL~BLE DOrUMENT
- ) -
in our work is diffused widely To the exte~ that the abili~y to assess
rural develop~ent p~ojects in teres of their social soundness is increased
both in the United States and in ~o~~tries r~ceiving develop=en~ assistance
the cap3~ity of racipien~ countr~es to absorb aid is ~creased
We propose to draw up an inventory of personnel available in ~~e
Cnited States and in other co~~tries who are able to consult with developen~
a~nistrators on the design of rural development projects and on their
evaluation We ~~ll draw first of ai~ on individuals w~o have been
directly associated with our ~ork in the past or on ~he proposed project
and ex~~~d the list to include graduate students and gove~ent officials
with who~ these individuals have wor~d
tole Yill utilize tha existing publication program of the Center
dercribed above to disse~inate our findings The Center has specialized
oailing lists of interested individuals and institutions in all parts of -i
the world and its reports can trerefore reach the ~st relevant audience
jirec~ly ~d re~~arly
BESl AVAIL~BLE OOCUMENT
CONTRACfjGRANTCOOPERATIVE AGREEMENT DATA SHEET
INSTRUCTIONS fjDW Complete 4 copies of the form Original SERCMSDSUP Statistical Section Copy Copy 2 SERCMSIiUP dministrative Copy opr 1 Contracting Officers COy COP) 4 SERCMSDSUP IUmin (Suspense) Copy
Missions Complde 2 copies oi the form Origin31 SERCMSDjSUF- Statistic31 Section Copy 3n~ Copy 2 Nill be ret31ned in the Missions
PART fA
ConU3lttorGranrce Name
University p~f~I~o~wa~ __ -r~ ____ ~~~~ __________ -~~ __ ~~~ ______________ ~~~~ Plorr Numt-er ApptopriJtion Number Allotment Number Project Number
930-0090-3Q13411 A5 72-111l0216 146-30-099-00-20-11 930-0090 Project Title
So~ia1 and Potitica1 Aspects of Development - Conference to Report Research Findings Amount of this Plorr I Projecl M3nagers Name and Offire Sytlbol
$10397 (increase) PDPRCP Jonatlan Silverstone Contr3ctors D-U-N-S Number
Ncgwatocs TYJlCd~3meJ j) Signature I l ~ jIf- bull G HtJ--ft u l IVmiddot
D~e
L - f - J ContractGrant Officqs typed Nailllt Signalure LJ d I -r-
plusmn t 3i-alflpta (( BLvle~ 1 I~ PARTm
ContractGranl Number
AID CSD-3294
Effeclive Date of Docum~nl Signalltre D3t~ of Documenl
Lf---C yen-~-gl tIost Courtry Institution (U iwrsity contract ONL Y)
Campus Coordinator (Uniwr ty i contract OiiL YJ
PART UL Descriplion of Cor-tractGrant P1use X ONL Y ONE item under each headiZg IF THEltrease CifYmC~e bolh ges I 30~~ O~ Nol to be completed for Amendmenl or Modlfic3lion AJigtns I III
J 710gt I I V ~ I
MOl - TYPE ACT A~ 0 G unsolicited Propsll (AIDIR 0 C Individual (Non-pe~nal senice)
~ O Cortra lGrantl ooperative Agreemenl 73101-SO(b)(6raquo 0 D Individual (ftrsonal Service)
tJl T3sk Order ( A)middot 0 H Procurement 10 be Perfocm~d by the Conmiddot 0 E UniversilyOther FAuC3lionailnSlitulions
D 2 Work Order (IQC) Ira~lor in Person (AIDPR 0 F Non-Profil Organizationlnslitutions (other
D 3 Delivety Order (Requirements) 73101middotSO(b)( Iraquo than Ed or PVO)
[j 4 Purchase Ordcr [J I Sole Source (AIOPR 7-3101-SO(b)(4)) 0 G Private Volunury Organization (PVO)
If I 2 or 3 1Lle an ~ compllle M 12 ON Y D J Imp3irmenl of Foreign Policy Objectiws 0 H International Agricultural Research Organj-
M04 - CONTRACTGRANT TYPE
o O MOA (BOA BMA etc)
o I Fixed Price (Specify fFP FPRD FPEPA FPI) _____ _
(gtIDPR 7-31 OJ SO(b)(7raquo
OK B(a)5eJection (FPR 1middot1713-1)
o L Grant iH1ndlOok 13)
o M Do Nol Ue
D 2 Cosl Reimburemenl (S~cil) CR CPFF 0 N Cooperative t~reement (Handbook 13)
CS CPAF CPIF) ~ 0 O Small Business SeImiddotAside (FPR 1middot1706-8)
o l Cooperative Agreemenl ~ 0 1 Overseas Procuring AClivilies (AIDPR
04 Grant Gener31 Supportmiddot 0U ~ 7lIOI-SC(b)(2))
o S Granl - Specific Support ~ ~06 E SER VICE
g ~ ~~t ~~(d) ~~ ~~ ~ eci~a~~~~~ogram Projeci
o amp IQCs ~ ~ relampted excepi A amp E Services)
o 9 Host Counlry ContraclGrnnt 5lJ C amp E Services
middotComplele ONLY through ~Sl ~~ 0 D Construction
M05 SELECTION PROCEDURES 0 E- Reseuch
o A Formally 3dverliscd (IFB) (A1DPR 7middot24 amp
FPR 1middot24) ~ o B Negoli3ted Price Compelilicn Gencr31
Procedure (RFP) (-JDPR 7456)
Dc A amp E (AIDPR 7410)
0 D Ed Inst andor Inl1 R~arch (-JDPR
74 5)
o E Collaboratoe Assisunce (IDPR 7458)
C F Predominant Capability (IOPR
73IOI-50(b)(l)
AID 1420-49 (179) - Page I
D F Technical Services to AID (other than trainmiddot
ing usually o~ating expense)
D G jraining SetVice for AID
o H Equipment Materi3J~ Supplies Commodities
D I Translation Service
~07middot TYPE CONTRACTORGRA-nEE
o A Firmmiddot AU profil-rn3king fUms (other than
Aamp E)
J e A amp E 8r~
zalion
o Public Inlmlational Organizations (UN
Agencies ICRC Wocld Bank elc)
(H8 J 3 Chapt~ S)
M08- TYPE AW~RD
o A S8 Sel-Aside - Awarded to Non-Minority
o B S8 Set-Asidemiddot Awarded to MinXity
o C_ S8 NOI Set-Aside - Awarded to Non-Minority
o D S8 NOI SeImiddotAsidemiddot Awarded 10 Minority
o Eo amp(a) S8A Awarded to Non-Minority (Womerl-
Owned Veterans etc)
o F 8(a) S8A Awarded 10 MinorilY
o G Personal Sen-ice ConlrdCt bull Non-Minority
o H IeJSDnal Service Conlract - MinorIty
o I Individual NonmiddotPersonal Service Contraci -
NonmiddotMinority
o J 100Jigtiduai NonmiddotPersonal Service Contracl -
Minorily
o K NOI Small Business (Univ NonmiddotProfit Large
Firms) Non-Minorily
o L- NOI Small 8usineSl (Univ Non-Profit Large
Firms) Minorily
o M US Govcrnmlnt
(Connnued on Page 2)
BEST AVLABIE DOCUMENT 1 I
--
ua ) R I GI NAL 9 bull
MODIFICATION or GRANT PAGE 1 of 2
AH 1 2 Effective Date 3 Grant No 4 Effective Date
Amend_at Ro 5 April 15 1981 AIDCSD- 3294 8-11-71
-s CRANTEE (Name and Addrea) 6 Administered by -Professor Gerhard Loewenberg -Office of Contract Management Cbrnparative Legislative Research Gente Central Operations Division Dept of Political Science am Branch University of Iowa Agency for International Developn~nt Iowa City Iowa 52240 Washington D C 20523
7 PIO No 930-0090- 3013411 A5 8 Previous PlOTa -
Appropriation No 72-11110216 93i-1l-995-l36 930-11-995-136-73-3078103
Allotment Symbol - 146-30-099-00-20-11 wunt Obliga ted by this ~ndrnent - $10397
The above numbered Grant is hereby modified as follows
1 Anotmt obligated prior to this rurendment 2 Amount obligated by this amendment 3 Total obligated anount (1 amp 2)
Delete the amJmt $465000 and substitute in lieu thereof the ammnt I$47S 39-7 ~
FUNDS AVAIrABm
~~ - APR 13 1981
PrO~A~~5iors
$465000 $ 10397 $475397
OffiCE Of fIN~(1 ~~rE~E~T __ _ 10 This amendment 11 entered into puruant to the authority of the Forelgn
Assistance Act of lS~l as amended Except aft hereln provided all terms and ~~ndi~ons nf the grant rcferpnccd in Block 13 remain unchsnged and in full force and ~ffcct
11 original and six Crantee 18 requlred to aign thh document aad return 1- eopics to issuing
ffiee
~~~ or printed) BUSINESS MAHAGR amp bull
Tille TREASURER
UNITpound) STATES OF AHERICA AGENCY FOR INTERNATIONAL DEVELO~NT
BY_-1(1o-_1lt--= 13middot~_1_~ __ K R B1uteau
(Name typed or printed)
Tltle~ ____ G_r_a_n_t __ O_f_f1_c_e_r ____________ __
D3tC APR 2 J 7997 Dolt 9 APq 1981
BEST AVAILABLE DOCUM NT ___ 0 HLGlNAL - I 1 J 1 ~ )
- 2 -
AID ftmds in the am)tmt of $10397 are hereby provided for the activities lmich are described in your proposal (including Budget Stnmnary) entitled CDnference to Report Research Findings on the Study of Political CDnditions for Effective Small-Scale Rural Assistance Projects in Kenya Korea and Turkey dated February 17 1981 and made a part of the Grant b reference
BtTDGET StMMARY
Line Item
Travel
Per Diem
Other Direct Costs
Less existing 211 (d) grant funds
Total Amount Obligated by this Amendment
Estimated Costs
$ 5888
5100
_ 2500 $13488
_ 3091
$lO39
Note Indirect costs or $395086 associated with these activities will be contributed by the University of Iowa
BEST AVAILABLE DOCUMENT
~RIGINAL
- CONTRACT IGRANTCOOPERA rIVE AGRElEMI~ SERC~SDSlP Actio) Monitor
SERCMSDSUP Action Office
I
INSTRUCTIONS AJDW - Complete 4 copit of tlh fonnmiddot Orisina iCMSDfSUP Sutistical Section COP)middot Copy 2 SERCMSDjSVP Administrative CoP Copy 3 Cont-acting Officers COP) Copy 4middot SOSUP Admin (Susptnse) Copy Missionsmiddot Complete 2 copies of the form or~aI SERCtSDSUP Statistical Section Copy and Copy = wiU~ retained in the Missions
0 PART IA
Effective Date of Document tJ
Delivery Order (Requirements)middot
o 4 Purcluse Order
bull If I 2 or 3 have an bull X compl~te M I 2 ON L Y
M04 - CONTRACTGRANT TYPE
o O MOA (BOA BMA etc)
o 1 Fixed Price (Specify FFP FPRD FPEP FPI) ___ _
o 2 COli Reimbursement (S~cifY CR CPFF CS CPAF CPIF) ______ _
o 3 Cooperative Agreement
o 4 Grantmiddot General Support
o S Grantmiddot Specifi Support
o 6 GraDt 21 led)middot
o 7 Do Not Use
o amp IQCs
o 9 Host Country ContractGrant
middotComplete ONLY through M 5 1
MOS SELECTION PROCEDURES
o A Formally advertised (IFB)(AJDPR 7middot24 amp
FPR 124)
o B Negotiated Prire Competition General
Procedure (RFP) (AIDPR 7456)
o Co A amp E (AlDPR 4 I 0)
o D Ed Ins andor Intl ReStalch (UDPR
7457)
o E Collaborative ASSistance (AIDPR 7458)
o F Predominant Capability (AIDPR
7-310l-50o)(3)
AID 142049 (1-79)middot Page J
o H Procurement Co be Performed b~ the Conshy
tra~tor in Person (AlDPR
7middot3t OI-SO(b)(Iraquo
o I Sole 5gturce (AIDPR 7middot3101middotSO(b)(4raquo
o J Impairment of Foreign Policy Objecdv~
(AIDPR 7middot310 ImiddotSO(b)(7raquo
o K 8(a) Selection (FPR 1middot1713-t)
o L Grant (Handbook J 3)
o M Do Not Vse
o N Cooperative Agreement (Handbook 13)
o O Small Business SetmiddotAside (FPR 11706-8)
o P Overseas Procuring Activities (AIDPR
7middot3101middotSO(b)(2raquo
M06middot TYPE SER VICE
o A TtJining of Participants
o B Technical Assistmce (Program Project
related exc~pt A amp E Services)
J C A amp E Services
0 D COltl~ruction
0 E Research
0 F Technical Services to AID (other than trainmiddot
ing usuaU Y operating ex pense)
0 G Training Service few AID
0 H Equipment Mat~rials Supplie~ Commodities
0 I Translation Service
07middot TYPE CONTRACTORGR TEE
Firmmiddot All profitmiddotmaking fu-r1s (other than
AampE)
o 9 amp E Firms
I Prcct NumbcT
I
Contactors D-U-N-S Numbcr
I) -S--f(j
o C Individual 0-lon-~rsora1 service)
o D Individual (Pet-sonal Service)
o E University lOt her EduCltionaJ Institutions
o F Non-Profit Organization Institutions (other
than Ed or PVO)
o G Private Voiuntary Organization (PVO)
o H International AgricultwaJ Research Organmiddot zation
o I Public International Organizadon~ (UN
Agencies ICRC ewld B3J1k etc)
(HB J 3 Chapter 5)
M08middot TYPE AWARD
o A SB SeImiddotAsidemiddot Awarded to Non-Minority
o B SB SetmiddotAside bull Awarded to Minority
o C SB Not SetmiddotAside - Awarded to Non-Minoril)i
o D SB Not SetmiddotAside - Awarded to Minority
o E ~a) SBA Awarded to Non-Minewity (Womeli
Owned Veterans etc)
o F 8(a) SBA w-rded 1o Minority
o G Personal Service Contractmiddot Non-Minority
o ~ Personal Service Contnct - Minority
o I Individual Non-Personal Sence Contractmiddot
NonmiddotMinority
o J Individual Non-Personal Service Contractmiddot
Minority
o K Not Small Business (Univ Non-Profit L1lge
Firms) --vn-Minority
o L Not Small BUSiness (Univ NonmiddotProfit Large
Firms) ~inoriy
o M VS Government
(Continued on Pcge 2i
t bull - t ~ J f q
ORIGINAL bull MODIFICATION OF GRANT
1 2 Effective Date
Araendllent Ro 4 12-2-80
s CRANTEE CHace and Addrels) Professor Ger1ard Lo~middot enbelg Comparative Legislative Research Deartment of Political Science The Lnivp-rsity of Iowa Iowa City Io~a 52240
7 PIO No NI A
Appropriation No 72-11XHl26
Center
Allotment Symbol -426-30-099-00-3~-71 Amount obligated by this urendment-O- I
3 Gnnt No
AIDcsd-3294
PAGE _____ 1 _of-L
AlI 4 Effective Date
8-11-71
~ Admlnlltered by -Office of Contract Management Central Operations Division OTR Branch Agency for International Development Washington DC 20523
8 Previous PIOITs -
931-11-995-136 930-11-995-136-73-3078103
9 The above numbered Grant is hereby modified as follows
Supplement to Grant
Change the duration period sentence to read
The Duration Period for this Grant shall be August 11 1971 through December 31 198]
1 Amount obligated prior to this amendment $465000 2 A~unt obligated by this amendment -0-3 Total obligated amount (1amp2) $465000
----------------_- - ------- ----_- ------ 10 Thh lImcndmcnt is entered inlo punuant to the authority of the Foreign
~ Assistance Act of 1961 86 amended Except a~ h~reln Z II provided all terms and condi tions nf the grant referenced in Block 3 remain ~~aunchlinged and In fu1l force and effNt cnltUI cJ)za 11 o 4 J bull
Et~ ai~a gtUoItshyc Z P=u
original and six Grantee t requi red to sign this document and return 1- eopies to 1Bufng
office
~ 12 GRANTEE TES OF AMERI CA
(Name typed or printed) bull
TJlle Director Comparative Legislative liecearell CeQtoQl
Date 12880
------------------------------------
ONAL DEVELOPMENT
By ----~--~~~~---------------------
prinled)
Grant Officer Title --------------------------------
J)oll( 12-2-80 -----------------------------
BEST AVAILBLE DOCUMENT i je
- 7 -
faculty at the University of Imllt1 and from omiddotrerseJs tlitbout slch an
acbival base those dtdies Ylould be ver lil1ited in the hypotheses
ter could test The quali ty of this re search eqerience fill be
(o1siderably enha1ced by the aVJilability or data for co~arison dth
t~e data generated thlcugh the ccllaGorative research sponsored by the
traini~g progca~
Once gathered a~d refo~tted the data ~~ll be ~ade available to
sc~olars students al1d other interested persons outside of tre University
of Io ra P(r exa-nple appropriate data sets would be available to other
llsti utions tat pre ccoperating in t~is program ie Ha-waii Clla De
~ese could tten be used in curriculul developent at tbose schools as
middotell as Ll the pre-grar at the UJiversity of Imre Finally data could be
aie available to i1di-idlal sc~olars and institutions overseas for use
1 teir research a~d trailing progrems The cUIlulatiie effect of this
disse~lilation and staring of data ~i11 be an enrichme~t of research an
Llcreased flO-I of ne data to the Uriversity of Iewa I3Jld a greatly
ena1ced ability at Iowa to aalyze legislative behavior a--d defelopnent
f 1ssociates
The University of Iowa d31 involve as Associates individual US
arc ~ereign Rcolars fro~l other instibticns in some instances fOl
cc-ivities at Iovll in others as recipents of support Oi research and
oter aciivities middothich coqlement cnd emic1 the program at o a These
Associa-es rill be involved in such activities as ser-lfing es University
of IOim g-uest professors 5~St lecturers 1d visiting faculty
lticipel1~s L ccnfiences and s~riosia and as collatJoratiEg 2search
BEST AVAILABLE DOCUMENT
- 8 -
cevelcged c~lt-ies Smiddot~yemiddotl such projects core already uoer ~middotay
and 3y potetial ss~cetes ~ave been identified and thei ilterest~
211 gtarticipeting i1 t~e ~Cglar1 ascertained
He -resc1t ge~sc-~el a1d acilities of the University of Iomiddotro
plcvice a very st-cre basis for the research atJd training programs
~rnich ~middote a~ ~rc9~3L1g -fmever the further development cf legislative
suCie3 ali a pec~ent streugthenLlg of ~he progrun of Iomiddot ~ is a major
a oes3icral Demiddotmiddotelc~ Galt fur~ds will be uSed by the
LT~iersit2 c la= ~ icreasing te nUbe of faculty specialists in
cClJses ir sjcts elated to the subject atter Specificallr grant
fuimiddotis dll ce usee to ac3 one pernanent faculty Uemoer in roliGical
scienc~ ~middotit s~ecia iltcests b legislaive beh3vior ald political
dloYl-nt a-o 81 a29 cmiddot-petence in Ardcan pclitics and to bring
(lculy -emiddote-s fro less ceveloed countries to spend a peri cd of time
at the TJ1 i si ty o~ Io~middot adine sechtl expertise to the ~od~ at Iowa
other middotisosel -~ i_ le irol1ght to IC~ia as needed to support those nO~T
or --18 fc~~ti r~lt 7ds ~rill also be ilsed to finance data collection
exlts-s ~) t~-e res~imiddotch iork of tte acult the Associate scholars
BEST AVAILABLE DOCUMENT
1~ II
- 9 -
cesigned tgt trrtin US and foreign-born st1lcents in le6islati-~e rese=z-cndeg
Sttde1fs ~dll be tdTi tted cr11ally to 9 proeragt iihicn ~iould irclude a
tro~ot~h grounding in the r thods of cczparative aralysis the S1ostance
of conparatie politis g-mel31ly end the corrparative studJP of
legislative behavior in 9articulal The Uni-ersity intends to associate
tnese studelts directlr - rith research in Ttlhich faultr 2Cbers are
engaged to encourage thea to dra- U90n the skills end resources available
in this field il ra1Y departnents of the University to enable them to
spend up to one year in field research and to have thel4 snare their
findings middotrih their stmiddottidei~t and faculty colleagues Tle prograII will also
involve foreign scholars middotno are expert in the legislative process of
t3ir o- n countries in the tcaciing fgtimiddotogren both by holding -fisHing
a=point~elts at t-e University of Ioc1d by sUgervisi~g field research
c R d - t- ~ 1 rec C~ of Esta~lis~ed Scholars Tne University of Io~~
plals to extend a1 in-itaticn to seieal foreign scholars duri1g te
gle1t p2riod to patici~te in a coparative legislative researc~ seirar
duriig their visit Their plrticipat~ion middotrill edd 3 lL1iqte diiensicn to
the seiiral hceuse cf theh ~1o~-rlecge of the legislature in their own
C01-try BCmiddot2~ J1is Gemilr -ill be dealing -lith the nos-G current
reseaCIJ o~ l0~ ~ltmiddotJres as ell as discussine desigs for reseach to
fill in cowleuge of legis1timiddotre 1ehclicr -re believe
tret it ill be a l2~lilg experience for all the pclticira1ts--incltcing
BEST AVAILABLE DOCUMENT 1]7
- 10 -
Ima rill lOrk collcboratively ~ith the fOrsig1 5cbolars to design a1d
carry out P reseach pruject These projects Till cc~tribute to the
retlaininB of foreign scholars and nill also add to cur mmiddotm and8rstanding
d Research The 9rinciplI enphases in cesenrcl rere cutlined in
Section III above ie to focus en con-9arative studies in iihich
legislative cehaviol can be helpful in explaining the scope of politics
the style of governcent a1d the legitinacl of regiles Variables hich
will be studied Iost closel~r ircluue tbe persistence of institutional
norms in the legislature oyer time the relationship o~ the legislatue
to ether institutions in fornirg public CC1Cepticns of politics and
the histOl~ical context detelini1g public expectations of the 12risleture
This resea~ch nag both academic and practical objectives
Academically it promises to tie legislative behavior research to other
major concerns L1 pcliti~al science such as research on systeJ stability
and paricrJance Its general substaltive eojective is to assess the role
wtlichlegislatures Illay L1 determining the capability of political
s~lstems especially their ability to deal ~middotith soCial change
Vractically the stu1y ~y offer guidance to polic~Y-Dakers on
t~1e role ~ hich legislatures rray be ~lI-pected to pIa)- in neimiddotrly established
political systelt ald on ~hc efcrrrs in established legislatur~s -Thicn
rray be required to achieve specific syste~ effe~ts The study ~dll
Nquire the assccioticn of rembers of legislative staffs a1d 2cademic
colleagues in the s~eLal nations lmder nvestigRotiop plovidirg training
fot ~ll r)f them i1 leeis1ntive re3Clrch ~ri facilitating a valuble
BEST AVAI~BLE DOCUMENT
ll-
of Iml3 ~ill LS~ glmiddot~t f~ds t~ estaolish a data archive to begin to
bring tb~ edtirg legi31ati--re studies tog3tller at a single locaticn
end to =afe t~e ac~essible to tie grc~ring m~er of interested
scholars in t~i3 field PerSCIlllel of tbe Data Archive ~rill searcD
broadly fo all a-reilable data on legislatures in the possession of
ildiviiual researc~rs i11ese data sets ~-Till be acquired refo~atted
for ease in alelrsis a1d stored in Archive Tne Archive ~~ll
asserble tie etel~ Gata O legislative organization ald procedure the
socialization ~~ recruite~t of lzgislators legislative decision-
makLg pccesses 2d legislative outputs To facilitate access to
the data a ~middote-riemiddotrlt11 syste middoti111 be cesigned that will 2011001 r-=searchers
to find ~iccJ ata sets that c~mt2in inforration lelefalt to their
researc1 po)2e5 RibEcg-aphic citation3 cnd abstracts of research
reports on le~i51e-imiddote oebio ~~ill be gathered and a biblicgraphic
retrieval sys tC idll a Geielc9d to aid esealcJers
cooioinet-e1 ~~as n -ie are= of c~rarativa legislatile studies is
t~3t because 0 si~~e iJS in~ti tuticn ias tce necessarJ expertise
of ccrparati ve
1-=gislatiY2 tcie3 8forts of the most conrpeteat ace interested
BEST AVAIL~BLE DOCUMENT MCi I I yl
12 -
oz~ the tr)middote grantee institutions and otter associated scholars It
~ill ayise t~e pa1tee i1stituticns on SllC catte-s as roritorirg
activities at the t~re~ unive~sities~ evalu~ting rese~rch frr possible
=middotclication sJ--sidies rld ether ratters related to infor~atioTI
disse~~ation coordinating research efforts to avoid duplication
ecilitating excha1ges d sttde~ts ad faculty members ~-iitb foreign
nsti tutions i~en desirable tryi1g to till lacunae in cLIricu lUn
helJilg to arralge cmferelces and sy-posia and generally trJing to
9cote te ~eielcp~2nt of cOlparatile legislative stucies as a
Gra1t L~HS idll be ~sed to support the Univ2rsity of Io -a IS
nrticipation in tre AdisorJ Co-i ttee t1e developrrErt of conferenc=s
elsEfhere il the US arHl over3eas i1 relat2d facets of leeislaive sttdies
Edstng iersonJ~l al~d fa-ilities at the University o= 1oa previde
iaculty facliiies to aid rC3emc~ trailg aPd skill in 21c~ivaJ middotork
BES~ AVAIL4BLE DOCUMENT I
r ~-)
- 13 -
Six ITe-bers of t1e faculty of the Departent of Political Science
at the Unhe ity of Im-ia are presently engaged in legislative research
To merbers ot the Departllent of History are engaged in research on the
British Parlia~ent L~ the eighteenth ~~d nineteenth centuries Fer the
past six years an adv~~ced se~inar has been offered by ~embers of the
Department of Political Science and the Department of Histo~J on
comparative legislative behavior This exte1sive collaboration iiill
ma~e it possible to develop a fully inter-disciplinary program for the
students ~~d visiting faculty In addition faculty ~emcers in
Scciology interested in organizatien theory and in the College of Law
interested in legislctive processes provide furtber e-pertise ava_ilable
to students interested in tee study of legislative behavior The
presence of these specialists on th~ facult~r is reflected in the
excensive librarJ al1d otler data resources existing at Iowa in this
field
The Uniersity of Ima offers an unusually extensive program of
trainL~g in research methods Four ~e~bers of t~e Department of Politi~al
~cie1ce teach in the field of research nethods Courses jn statistics
ca1 be taken ill the Dep~rtents 01 Sociology e-d Educational Psycholcgy
Llis prcgr6l provides a verJ solid grounding il research training and
data analysis
bEST AVAILABLE DOCUMENT
e ~
- 14 -
Y labCrato~y for olitical Pesearch is the reseacc1 md research
tlairirg facility of the Departe1t of Political Sci-lce Gcadvate
students receivo extensive res~arch experience through 1or~ing in the
La oratory bull The Lacoratoy is also a1 integral part of the trainirg
o~feed in ccurs~ T~middotO~ for graduate students
The full-time sta~f of the laboratory includes a director an
assistant director a t-=cl1ical cirector a supervisor of study
t1hteen graduat~ students - rf1rk in te Laboratoy receivLLg teining i~1
~a~a collecticn ~~i data e~alysis Tbe facili te5 of the La)oratorltJ
icluoe a oard eJcerline printer ccnnected to the U1iversitys
dis~ and tape storF-ze for d~ta
The pogral of trailing ia coparative legislative reseC_cch ~ill
relr heavily en t LaOerltcLJ- for taching graduate stucents Visi tine
fc111tr lYe~bes iill be able to utilize tbe facilities cf the Laboratory
gt IOra ~as sFcial ccrpetence in prOCed~les for
ccq ter ogagtlizetion of d~ta Ja1ks ~d fOi the p~ocGssing of large data
sets as well as iJ the sttdy of naticnsl end st~te legisltllres Tile
BEST AVAILABLE DOCUMENT
- 15 -
Ile Univelsity of 10Ira will eadnister- the Grant thJotg~ its normal
a)1 iristrative char-l1els ad i1 Eccordance imiddotlith its ncrTal olicies and
operatirg procedures 7he Director of the gr~l1t-s~~ported program
Hill be a senior faculty eriOer of the Gniyecsity of IO~-ia -with extensive
expe~ie~ce in the subject field Associate Directors w~tb similar
qtalifications -aill also be appointed 7he Director- and Associate
Directors ~dll serve as eibers of t~e Inter-University Advisory CC1gtr)ttee
established to cooidinate _u bullbull ID gra1t-stpported programs at IOia Dul(e
lniversity a1d the University of Ha- aii Ll1 this field These relatiol-
ships are i~dicated in tee follc~dng a~inistrative organization chart
IX Ul~vsity Ccntri1uticn
T1~ ~h-ersity of IQ(a aSSures ALD that this Grant middotiill not
replace existing ftnds for STr current activity and imiddotrill be additive
to existing prograrrs of tCe lJniversity In direct sp~ort of this
Grat ttc University ~ill provide a) Acmi1istratile costs including
tie of senior officers of ttlt University b) Office ~ld research space
ald library and cor-puttr facilities c) Provision of a1cillamiddotCjr 1niversity
personnel -or consultation o~ ~middotjQrk nth the progral
X Reports end 5evie~-Ts
There i-ill be sub~itt-=i al arnual t2ctnical report for the purpose
of AID s revie- of activities under te Gant Tnis idLl include
a11 e-llation of prcsr~ss aidnistratve ar_c fiar~cial corsicer~tior~s
p~s cr tr foJlJ-middotire ear ~i disctlssics of the ossible l~lizaticn
BEST AVAJLIl8E OOCI1MrNT
~
- 16 -
A~~inistrative O~ganization
Ice Board of Regents of tle State of Im-la
-Iesicent of the University I
1 rOfcst Jf t-3 University
Den College of Liberal Arts
r Chailan DcptiEt of olitical ScieJce
Inter-G~iversity
Acisorr Corcittee
PcgrG21 Director Associate Progra~ Directors
Liaison Arcrge~~nts d ~h I I~~erested Plcfessiona1 I Perso~el j
I _
I 5cu1ti (full or PmiddotLG-tire l Asscci~tes a1d otllei non-Io~il
3ecip5ents of Gr3-1t stPPC1t Gr~cue~~e S t1~lcnts St2~retQi~S1 Data Lbed~1 31
Ln 18 r1icia 1
LO1t c~lce Factcj~1 ts
BEST AVAILABLE DOCUMENT ( ( V-t
- 17 -
of te eo17i~g cCpterce br A I D rLld ethers In addi tion there
aS3essr~ents of the gr31t
middot l ~ lI ~ _ _ _ co~~~r~~ing ~~iversiti~s md tne rrctitoring ALD office
7re l~yersity of Ie~middot~ budget of $26500 is to be deveted to the
cemiddotelgt~e~ of lstituticnal cefete1Ce in comparotive legisl~tiye studies
~t Iomiddota c t~ the exalsi0 ot a date b~L-lt ~ hich 1fill be utilized as
a ecle for icrec3ing te scope of tbe sub-specialty
T - 1 f 1 __ middotja r S Ctdget a9roxir~tly 33- has bee allocated to a
cemiddote Lp~l t rirc ipally C actlty re leased tirre for data ccllection
ai 0 3alres f~r i~~er-ieers in field research 3d secretarial
assi5ta1ce nCt2 11- of t~e Icmiddotre oudge~ is iesignated for an
ArCE_1 A~ite s(101a~middot 2d one 0 ore scnolals froQ LDe or
s1lllrt of greluate stucents in the
BEST AVAfLIlBLE DOCUMENT
- 18 -
Finally approximately 19 of the budget will be devoted to the
proposed data bruL~ that will archive not only data generated from the
research of scholars at Iowa Duke and Hawaii but also at other US
and foreign institutions Primary and 3econdary an~ses of these
data will become an integral part of ~omparative legislative studies
curricula The ability to utilize the data bank for teaching purposes
also should have a significant impact on professional preparation ofmiddot
future legislative specialists In summary the funds will be
allocated to research teaching and training activities tha~ are
entirely conson~~t with the philosophy underlying the utilization of
2ll(d) grants to achieve institutional development
Conclusion
The University of Iowa regards the research and teacbing components
of this program to be closely related an1 zrutually reinforcing The
University of Iowa offers a strong base for the pro~ram because of the
interests of faculty members here now because of their contacts with
scholars in this field in other Americ~~ and foreign universities
because of their experience with the international exchange of faculty
and because of the distinctive data gathering and processing facilities
available in our Laborator~- for Political Research The program which
we have formulated is designed not only to accomplish specific
research and teaching objectives but to contribute to the long-term
development of the University of Iowa in an area in which it has already
exhibited special interest
BEST AVAILABLE DOCUMENT
~ I) - 0
- 19 -
The program on Comparative Legislative Studies with support from
this Grant rill develop the capacity at the University of Iowa to
provide assistance under separate financing arrangements to developing
countries in a number of ways and through a varieiy of channels This
assistance which would be arranged for end negotiated separate~ from
this Grant may be in the form of technical assistance advisory service
training research and information exchange etc It will be available
by mutual agreement to appropriate agencies national and international
public private a~d mixed and directly to the less developed countries
Most especially this added special competence will inevitably become
incorporated through the processes of scholarship and education into
the competence of US and foreign scholars and institutions concerned
with this topic of great significance to the developing and the more
highly developed countries alike
BUDGET SUMMARY
UNIVERSITY OF IOWA
Salaries
Graduate Student Stipends
Fringe Benefits
Travel
Equipment and Services
Other
TOTAL
$173090
32400
19209
13800
6501
20000
$265000
BEST AVAILABLE DOCUMENT
d bull
srjmiddot (~~ jjXilO
IO
rmiddotmiddot ~middotmiddotrl f)~~ 7 middot 1 ~A~~ middot1 rmiddot middot~ rt bull middot bull bullbull I ~ i bull bull ~ middotv- middot bullbull ~ I
1 so bullbullbull l ~--~-- - - ---- ~ V~ i Jlgt ) bullbullbull ~(lr v ~I ( tr_ 1middot-middot 1 bullbull 1
il l~ J
2 c~loto
BEST AVAILABLE DOCUMENT
(C
Dr Willa~d l Boyd Presicient University of Ima iowa City Iowa 52242
Dear Dr Boyd
4 AUG 1977
amp
FIJNDS AVAnASLe CpoundNrftAamp sEIMCEs DMsON
AUG11 ~n te t6417 ~77
Subject bull Supplsectferit-tJF-G~middotNomiddot~middot AIOcsd-3294
t middot-rrPJ1 3
I am pleased to inform you that pursuant to th~ auth~rity contained in
S-cction 211 (d) ooC the Foreign Assistance Act of 1961 as amended a sup
plemental grant in the amount of $200000 is h~reby r~de to University
of rCi1a These supplement]l grant funds areprolided to support the
activities which are described in your Proposal dated May 6 1977 for
the implementation of your program entitled Political Conditions for i
Effective Small-Scale Rural Assistant Projects
---This sup~lemental grant is mace to University of Iowa en condition that
yo~r institution shall administer the funas provided under this Grant fn
accordance lith your r~ay 6 197 proposal (including Budget SUmlilary) and
the Standard Provisions (as incorporated by Amendment No 1) which have
been agreed to by your instit1ltion Ti) the extent of an inconsistency
between the Proposal and the Standard Provisions and any otherprovisfons
which ar~ made a part of thi5 Giant by reference or other~iSe the Sta~d~
ard Provisions shall control
The new Duration Period for this Grant shall beAugust 11 1971 through
August 10 1979
The total amount of funds obligated under the grant is increased to reflect
a new total oblgated amount of $465000
Please sign the Statement of Assurance or Compliance ana the origfnal -
and seven (7) copies of this letter to acknowledge your understanding of
the conditions under which these funds have been granted Please return
the Statement of Assurance of Compliance and the original and six (6)
copies of this supplemental Grant to the Office of Contract Management
Attachment May 6 1977 Proposal and Budget SUfiT1a ry
UNIVERSITY OF IOWA
Roberw bull OBrien fficer
Ce al Operations Division Office of Contract Management
AC~E~E~C--_ 0 BYpoundk~~ cH
D C ~lpoundSTtR5BA T ITL E ( PfeampoidPilt for
tee ment amp Research DATE 9-22 -77 (d~ ~~Bduate Ctl~1e~e
BES i AvAILdLt UOCLJMU~ I
211(d) Grant Program
Proposal of the University of Iowa
POLITICAL CONDITIO~S FOR EFFECTIVE SMALL-SCALE
RURAL ASSISTA~CE PROJECTS
Submitt~Ci to
Civic Participation Division AID
May 6 1977
Amount requeste~ $ 199987
BEST AVAILABLE DOCUMENT
I TdE DEVEIOP~T PROBr~
P~litical Conditions for Rural Development
The Cocparative Legislative R~search Center of the University of
Iowa proposes to ~~dartake a two-year study to investigate the role of local
leaders and the rural public in theimplecentation of small-scale develop~ent
1 projects in less developed countries The study will use and extend the
capacity ~hich the University of Iowa developed under a 211(d) grant to
investigate and assess the impact of loeal politics on rural development
~t the co~pletion of the s~ Iowa will be in aposition to advise the
Agency on the design ~nd evaluation of s~ll-scale projects which will be
politically viabe a~d effective in ass~sting the rural poor ~
As students of development w~ approach our task with the assumption
that the proble~ of development and underdevelopment are funda~entally
ones of political econooy and a~ such can only be solved through a
simultaneous considerationof economic and political factors Efforts
which foc~s aloost solely on economic factors like those of ma~y
organizations engzed in dipersing foreign aid or efforts which focus
almost exclasively on political factors fail to take account of the
interdependence between these two dimensions of underdevelopment and
lwe have for~ulated this proposal in a canner consistent witr the cu~rent policies ard interests of the Agency We have been guided in our tsk by four Age~cy doc~e~ts Impleo~~tation of New Directions in Developnent Assista~c~~~ ~eport to the COmlittee on International Relations on Ilupleoenshytatiun of Legislative Refo~ in the Foreign Assistance Act of 1973 (July 1975) rItevis~d Projec Developiel Review and Approval Systeo (A I DL Circular A-21 Aril 23 1975) SH Butterfield Draft SUIilZ3ry StateUlent of a Practical Agelcy Approach c aural Devalopilelt (AATA February 28 1975) Cicci A Coce~ual Oie=viamiddot middot Rural Development No1 (lWorilting GOU O~ tha Rural Poor February 1975)
- l -
can meec with only l~ted success
Our concern with the i=pact of local politics on the process of
rural developcent is a result of our interest in the basic question of
how LDC governm~nts and the donor agencies which assist them can
become core effective in raising the standard of living of the rural
poor We seek answers to the following aspects of that basic question
1) What political conditions must exist both within rural communities
and between theo and central gove~ents to raise agricultural production
w~ere small-scale agriculture is the do~nant pattern 2) Vnat are the
political conditions for a core rapid expansion of the informal manufacturing
and service sector cocprised of labor intensive small-scale industries
located in the rural ar s 3) What political structures and activities
are mase crucial for the provision of welfare and econocic supporc services--
such as agricultural exeension mar~eting and transportation--to the rural
areas1 4) ~~at Folitical conditions oust exist to insure that economic
growth in the rural areas is not accowpanied by excessive and intolerable
inequalities between socio-economic classes andor between regions1
Center-Periphery Linkage in LDCs
To deter~ne the political conditions for rural development we have
in previo~s s~udies exacined the institutions and processes through which
rural populaticns are integrated i1to the national politi-cal systetlS of
middot~he countries in which they live A gap exis~s in most less developed
countries bet~een the peasantry residing on the periphery and the c~~tral
political ~stiutions staffe1 by ~~estern-educated bureaucratic elite
We are aware of the other major ~sti~utional discontinuities which comprise
J
4 middot~~1 the basic cleavage between the developed and underdewmiddoteloped sectors of
these dual societies Bridging these gaps is essential if these so~ieties ~ are to develop into viable nation states For until those Q~ the periphery
of the poli~ical syste~ participate in that system and support and comply
with the authority of central political institutions neither economic
development in ~he rural areas nor a stable polity will emerge
Bridging the discontinuities in these new political systems requires
establishing and institutionalizin3middot1inkages or networks for co~unication
and exchange of resources between decision-makers at the center and the
rural public on the periphery Three types of institutional linkages are
most prominent in less developed countries 1) those conSisting of the
state administration composed of the bureaucratice1ite 2) those consisting
of a revolutioncry political party cocposed of the ideological elite
3) and those conSisting of patron-client hierarchies composed of the political
entrepreneurial elite
Of these three linkages consisting of the state administration are
the cst extensive and pervasive in virtua~ly every LOC Such linkages
however exist primarily a~ instruwents of the center to penetrate the
periphery Central government officials are formally charged with bringing
develo~ent to the people This is a ~issi~n which conceives development
as a process ~hrough which a traditional peasantry is transformed and
assimilated iJro the DOdern center which is steadily expanding to embrace
it Agents of the center invariably have more resources to achieve their
objectives than do local political leaders but because they are frequently
strangers~ the communities in which they function they are often unable
- It -
co implement the policies of the center without working through the
local establis~ent
Though somctices significant linkages consist~g of revolutionary
party organizati~ns such as those found in China and Vietnam do not exist -
in most IDCs beca1Se of the special historical and e~omic conditions
required for their development As wi~h the administrative state however
the linkaampe apparatus of such political patties is prUlarily an instrument
of the center whose mission is to penetrate and mobilize those onthe
periphery
In contrast patron-client hierarchies are linkages which represent
the periphery at the center and mediate betwee~ these two disparate
sectors of the political systec Thcugh norcallymiddotovershadowed in scale
by the state administration patron-client hierarchies are found in almost
~very LDC a~d constitute the ~st significant network through which rural i
populations and their leaders influence the decision-~king process at
the center Patron-client hierarchies exist in a wide variety of org~iza-
tional fores ranging from info~ ~ec~~rks of individual olitical leaders
in uno-partyll systelS in S~b-SaharaI4 Africa to extensive political machines
in both one-p~rty (Africa Mexico) and ~u1ti-party systems (Turkey India)
Despite their importance as the pricary means through which peasants in
LDCs particiate in their political systems patron-client hi~rarchies
have only recently become an object of analysis by students of political
developent and do not appear in even the most sophisticated studies of
2 See Jo~ Dunca owell Peasant Socie~y and Clientelist Politics Aerican Politi~ Scielce Revietol 64 (June 1970) pp 411-25 Rene Lemarchand anc_ Keith Legg olitical ClienteliSJ and Ethnicity in Tropical Africa Aierican Political Sc~ecce ReView 66 (Y~rch 1972) pp 68-90 James C Scott PatronshyClient Politics a~d Political Change II 1tlerican Political Science Revie~ 66 (~arch 1972) p 91-113 and Friends Followers and Factiols bull edited by Steffan Sc~~d and James C Scott (Berkeley UniverSity of California Press 1977) bull
- 5 -
3 economic development Ad~niscrators of developmental assistance progracs
have too often regarded patron-clienc hierarchies as ~ped~ents to
develop~ent instead of recognizing cheir potential utility bull
~ Findings on Patron-Client Hierar~hies --
The importance of pat~on-clienc hierarchies for linking the periphery
to the center is one of the major findings ~erging from a study of the
relationships betueen l~gislators an~ their constituents in Kenya Korea
and Turkey ~hich the Cowparative Legislative Research Centpr is nov
comleting uader its 21l(d) grant from AID This study has av~mined the
creation of linkages between the periphery and the center through ~ore
than lO~OOO interviews with members of parl~ent local leaders and
peasants in t~e three countries The findings are being systewatically
set out in a book-length monograph Nearly a dozen research reports have -
uready appeared (see Appendix C) ipropositions about the nature of
political behavior of rural populations an~ the roles of local political
elites de=ived from the research~ can be s~rized as follows
1 Elected representa~ives play a significant role in the creation and mainte~ance of linkages be~een the center and periphery by developing local political achines in which they function as patrons of their constituents In turn thay s~rve as clients of political leaders of national stature who control central government institutions
2 By atte~pting to establish linkages based on patron-client relatio~shi~s elect~d representatives are responding to public expectations chat their prizary duy is to obtain resources from the center to proffiote local develop~ent ~iany elected repLesentatives spend most of their time on self-help co==unity development projects such 3S the building of schools health clinics irrigation works arid roads because such projects provide
3For exa~le ~ a widely respec~ed a~d useful analysis of rural deve16p~ent in Sub-Sahara~ Africa L~ Lele of the World Bank notes the problems of creating an adoini5~raive infrastructure in the rural areas that is sensitive to local socio-oliical conditions She does not however consider how local leaders operating o~tside of adcinistrative structures ~ night contribute to the developne~t 0 the rural areas See ~~ Lele ~ Design ~ Rural Develop~ent Lessons ~ Africa (Balt~re The Johns HopkiD~ Uciversity Press 1975) r) pp 127-61 i ~
- 6 -
their const~tuents with desired se~ices ~~d a= the sa~e time provide the reresentatives with an orgacization Yhicn can be used as a political base
3 l-tore than 90 perCel1t of the rural population is capable of articulating the p~oblems facing their local co~~ity and two-thirds discuss th~e proble~ w~th their fellow citizens on a regular basis
4 Three-q~rters of the residents of the rural areas can identify the public ofpoundici~s who serve thec--both civil servants and elected represcrtatives--by na~e Most are knowledgeable about the activities of these officials Alcost one-fifth coreover have discussed co~~~ity probl~ ~ith these officials particularly those working at the grassshyroots level Residents of rural villages actually have a higher level of political knowledge than their counterparts in the towns
5 Elections in the rural areas evoke a highly rational attern of voti~g despite the effects of ascriptive or traditional co~siderations Inc~ens are pri~rily evaluated in terms of their record in fulfilling the public r S elpectations of what they should do Elections are essentially referenda on inc~entsr perfo~ce especially their perforwance in the area of constituency servi~es such as bringing development projects to the districts bull
6 Local developcent projects have a relatively high s~olic value generating conscitutency support for local leaders and the central government at low cost
7 These projects help huild a local political infra-structure which can also be utilizec by central govern~nt civil servants to implement other policies designed to achieve rural develop~ent bull
The Icpac~ of Local Politics on Rural Projects
Having explored the developtent of linkages through which the periphery
is represented at che ~enter and through which the periphe~ attemp~s to
share in the ceners resources we now propose to build upon our initial
investigations by e~ing in greater detail the impact of local political
conditions on specific problecs of rural develop~ent We propose to
exacine the develop~ental activities of local leaders ~nd the rural public
by eX2~Ding a saple ot fifteen to twenty smalL~scale developwent projects
in each of ~he three countries which constituted the sites for our initial
8ESI AVAILABLE DOCUMENT 1 ~ - of
- 7 -
study of center-perhiphary relations The appropriateaess of this approach
and the ~ethodology through which it will be ip~emented is discussed in
section II Because the ~ethodology of investigation is in large part
the result of our previous research experience we fizst turn to a revieW
of the existinQ __ ~petence of the Comparative Legislative Research Center
in this area
II GRAXTEES EXISTIXG CmET~CE
In 1971 the University of Iowa received a 211(d) grant to develop
its capacity to do research on the role of elected represent~tives in
the process of modernization On the b~sis of this grant the University
established a research center which planned and carried out a research
project on the role of elected reres~~tatives as links between the central
gove~ent and rural populations in K~ya Korea and Turkey The project -i
served to develop t~e University of Iowas research capability in this
field esa~lished ties between the University and scholars in the bost
countries and generated a large and uniqu~ body of relevant data
In that project we fo~ussed our attention on tbe activities of elected
representatives in their constituencies notably in their contacts with
local political leaders voters and civil servants To determine tbe
nature of the linkage function performed by tbe representatives we
designed our research to explore the subject from three perspectives
1) we eXaojned ~~a ~ubject at tbe grass roots by conducting a series of
sample surveys of 200 to 300 adults in each of 12 to 14 parliamentary
constituencies in each cf th~6three countries 2) we examined the subject
at the center by intervie -ing MIls from the constituencies in which we
had conducted S3mple surveys ~nd higher civil servants with whom they
had contact and 3) ~e ex~~ined the subject from an inter-~diate level
by identifying aud ~terviewing local social and political leaders in
the MPs constituencies We used survey research methods because we
were embarking on the study of an entir~ly new subject for which little
relevant docu=e~tary data existed and on which there were few secondary
sources As a result ~e have unparalleled experience with survey
research in the rural areas of less develo~ed countries
The surveys which constituted the cajor part of our field work were
planned in collaboration ~~th scholars from the host countries They were
carried out in each constituency by student interviewers in the appropriate
language ~re than 10000 respo~dents were inteDViewed for the project
Given the visibility and sensitivity of this undertaking approval for
the research was sought and obtained from the host governments prior to -i
the collec~ion of data ~o objections were raised by these governments
at any stage of the research The data obtained have been made available
to scholars i~ the host co~cries and some of the basic findings have
been published in periodicdis in these countries
The Comarative Legislative Research Center ~hich ad~nistered the
project has aisO developed extensive experience in the study of political
leadership in other countries It h3s obta~ed substantial support from
the Fo~d Foundacion and the Rockeeller Foundation has worked in
collaboration ~~h European as ~ell as Asian and African scholars and
is engaged in a ajor study of the role of elected and non-elected leaders
in the oanag~~t o~~ocial conflict Because it has conGucted research
in a variey of setlngs the Center has an ~ceptional capacity to
- 9 -
determine how the relationships be~een political institutions and
economic p=oble75 differ in develoPed and less developed countries
In the course of the major research projects the Center has administered
it has gained highly specializpd ~p-i ce iI identifying 1Olitical leaders
in a great variety of settings conducting systematic interviews with
them collaborating with scholars in the host countries and in coding
and utilizing large files of data to answer specific research questions
The Center has ~lso undertaken to publish the results of its research
in three fores It issues codebooks to the data enabling scholrrs at
other locations to use the data expeditiously i~ publishes research reports - in the form of Occasional Papers and it publishes a scholarly periodical
devoted to the presentation of research findi~gs to an inteIT~tional
audience
The Center utilizes the data ~ysis facilities of the Laboratory
for Political Research of the University of Iowa and drawS on the unusual
n~er of secialists in comparamptive politics and survey research in
~~e Lniversitys Departmen of Political S~ience The Center itself I
has the services of an administrative secretary and a clerk-typist
~intains its~o~cn extensive archives and its o~~ publications program
It is e~uipped to assist scholars and government officials outside the
t~iversity of Io~a The participants in its p~ojects are full-tioe
faculty ~e=bers ~hose undergraduate and graduate teaching is closely
related to their research As part of the teaching program the Center
has attracted students from the countries in which the research projects
have been conducted these students have participated in the projects
bull J
have obtained training in other fields of political science have received
University of Iowa degrees~ and have ret~rned to teach and to do research
in their own countries
III PURPOSE OBJECTIVES AID METHODS
Purpose of Study
The purpose of the proposed grant is to extend the capacity of the
University of Iowa to determine the political conditions in the rural
areas of less developed countries which favor the establis~ent and growth
of small-scale developoent projects ~e objective is to put the University
of Iowa in a position to assist the Agency in designing small-scale rural
developent projects providing guidelines for carrying out social soundness
analyses of such projects and adviSing in the evaluation of projects
We will discuss the utilization of~t~e Universitys capacity in detail in
section IV below
We propose to concentrate our investigations on the political conditions
surrounding s~l-scale ru~al projects Such projects have distinctive
advantages They waximize the political participation of the rural populations
both in det~~-ining the direction ~d implementation of develop~ent efforts
and in defending the interests of periphery vis-~-vis the urban-based
bureaucratic elite S~ll-scale projects stimulate entrereneurial activity
on the part of the rural citizens and growth of the info~l canufacturing
and service sector Tbey require less lead tice and less administrative
c~erhead to ~eco~e operational than large-scale capital-intensive projects
centrally administered Such projects yield rapid and direct benefits to
1
j
the rural
- 11 b - ~~1
populations and are consistentwith their hUIlaD rights--both
political and economic However~ small-s~le projects pose s~ecial probl~s for administratcrs of developceocll assistance progracs because
they require the donor co assess the local olitics particularl the
rural politics of t~e host country
Develop~c adoinistrators pr~rily conc~rned with assisting rural
populations must therefore recognize the range of political variables
affectL~g these projects Small-scale projects offer great opportuoities
for develop~ental assistance progr~ because they can be easily targeted
to help rural populacions require low capital costs and need no be
concentrated in one or two localities Such projects ho~ever~ ~equire
the a~istrator to have ~re political kno~lecge than large-scale
projects Oil which his priJlary tas~ is guiding the work of other experts
Questions for ~Investigation
To detercine the politi~al cc~diicilS ~st conducive to ~he establ~~ent
and gro~h of scalI-scale rural projects ~e propose to address our inquiry
to the following specific questions
1 To what extent and why co local political leaders seek to establish s~~l-scale develop~ent projects within their co~unities
2 To what extent and ~~y do local leaders other than politicians initiate andor provide leadership for s=all-scale developm~t projects
3 Bot do the relations bet~Jeel different types of local leaders (political and non-political) and bet~eeo these leaders and central gove~ent civil servants posted to the rural areas affect the conduct of develop=ent projects
4 How do existing authority ~eLationships between these different leadership grous and the rural pub~ic affect the organization and operation of s~l-scale develop~ent projects
- 12 -
~
5 lhlt is the nature 0 pclgtlic participation in the establishlent and operatio~ of s~l-sclle projects and ~hat are the outcc=es or this participatioe Gucer w~at conditions is such participation ~ost likely to occur
We seek a~swe=s to t~cse questio s L order to determine the effect of
different co~iigurations of local leadership and public participation on the
outcomes or small-scale rural projects te are particular1y concerned with
the ~pact of these configurations on the rate of econocic growth and the
distribution o~ rIGSlth ithin the loal cOlllUlity ~ on the perce~tions of
s~ll-scale proj~cts by central govern~ent per~oncel and the rural public
anmiddot on the organiation or flture projects
To a~swer these que~tions it is oar intention to study the initia~ioD
izJple=enation ald i1lpact of a salple cpound small-scale rural projects in
Kanya Korea and Turley in the sae cOllities in which we carried OU
our initial icvestigations ~ 1973-75 Tne relationships between the -
various conf~gurations of local leadership and public participation and
the three phases of project develop~ant are sho~ in Figure 1 We will
exa=ine projects to pro~ote the adoption of new agricultural techniques
by s~l and moderate landnolders the building of feeder roads irrigation
ditches and other s~ple infrastructure the organization of fa~ers
cooperatives and other local associations concerned with rural development
the establish=ent of rural health clinicS and schools and the setting up
of craft and service industries
Sites for Study
We plan to return to our original set of localities because we possess
a rich body of relevant data on the extent to which linkages exist between
Figure 1
TYPES OF LFLUEXCE OF C2r~ middotGOVER1iEXT OFFCIALS
LoCu LEADERS 0 THE RURAL PUBLI-C OX THRr~
PHASES OF RURAL igtEVELOPHET PROJECTS
r----------~J C~ltral Gover1~nt Official)-N------- - J
r- Local pOlitical leaders
Local non-political leaders
~l 1---- -
ROJECT nITL~TIOS
Influ~ce on selection of projects
InrI ~elce on location of projects
Influence on policy guidelines for proj eCl
Il
I
a
I I
-I PROJECT I~L~~iATIO~ ~ 1
j Project Organizati I Selection of project
leadership
Hobilization of resources
Mobilizatiol of public compliance with project require=elts
Diffusion of project innovation
Rural Public
I
BEST AVAILABLE nOCUMENT
1 ROJECT IMPACT
Organization of ongoi=g project operation
Distribution of project benefits
Evaluation of project
Public attitudes toward project
-middot14 -
these areas and t~c central p~litical institutions of the three co~tries
and on the attit~es of the rural populacioc local leaders and elected
legislators regardi~g their problecs of develop~~c Since such data
is unavailable for alternative locales a return to the areas in which
we have previously done much research ~ables us to build on a uniquely
valuable body of icformation
A return to Kenya Korea and Turkey is also highly desirable from
the standpoint of effective research organization The Comparative
Legislative Research ~enter has developed close collaborative relationships
with several highly competent social scientists in these countries and
with the academic institutions with which these scholars are associated
We have also dev~_oped cooperative relatio~ships wi~ gove~ent officials
in these countries which should facilicate obtaining approval for our
further work
In proposing to doc~ent the origin i~pl~entation and impact of
one to three s~ll-scale develop=ent projects in each of 35 localities
we have two considerations in mind Firstmiddot because our pr~ry goal is
to deter~e the political conditions for rural developm~Lt we wish to
examine develQ~=ent in as many different settings as feasible Only in
this way can we control for so=e of the major socio-cultural variations
that erist along rural populations in less developed coultries These
include the overall level of econo~c development in the co~unity the
nature of t~e ~digenous culture an~ relationships of authority and the
pro~ty of the comounity to major urban areas and centers of central
gove~nt ad=inistration ~ce our original study sites were carefully
BEST AVAILABLE DOCUMENf
- 15 - ~ ~1
selected to represent these variations ye have concluded that these
35 localities woule be ideal sites for the propose~project Second~ in order to dete~~~ the ~pact of local leaders and public
participation o~ ~ural projects we intend to compare projects 1n which
local leaders and ~ecbers of the public have played a major ~ole with
projects in which they have not We also ~l cospare projects initiated
by the central gover~ent with projects Yhich have been locally initiated
These considerations give us a typology for selecting projects as depicted
in Figure 2
Figure 2 ~
FIVE TYPES OF RU~AL PROJCTS ACCORDIXG TO ~FLUEXCE OF CEITiW
GOVE~1E~T LOCAL LEADE~ AD RLRAL POULATIO~
Level of Participation by Rural Population
Locus of Project Initiation ~
Local Co=unity Central Governoent
BIGd
LOt
1 Projects initiated by local leaders and providing for participation of the rural ~opulation
4 Proje~ts Litiated by local leaders bu~ not involving participation of the rural population
2 Projects initiated by the Central Govern~ent and administered i~ cooperation with local leaders a~d the rural population
3 Projects initiated by the Central Govemlent and providing =or the participation of the rural population but by-passing local leaders
5 Projects initiated by the Central Gover~e~t a~d administered in cooeration Yith local leaders but not involvi~g parti~ipation of rural population
- 16 -
We recognize that the socio-cultural setting of rural develoment
projects varies significantly within and across less developed countries bull
By focussing o~ a representative sa=ple of localities ~ Ke~ya~ Korea
and Turkey we can take account of naoy~ though not all of these variations
While some of our substantive findings will not be directly generalizable
beyond the countries in which we propose to conduct our study we expect
that our basic ~ethods and fLdLgs will be applicable to national and
sub-national settings elsewhere in the developing world This is partly
d~e to the fact that the hierarchy of patron-client relations ~hich we
regard as a critical factor in rural develo~~t exists in ~ost Liles
--It is also due to the fact that the methodology for identifying local
bull leadership configurations auG poundor studying local politics which we are
perfe~ting can be used to assess local political co~ditions in a large
variety of countries even when the ~nditions themselves differ significantly
Methods of Investigation
The data needed to assess the iDpact of local leaders and mass
participaticn on rural dev~lop~nt fall into two categories Some a~e
contained among the data gathered for the research project we are currently
completing Others will require additional field research
The following data are already in hand
1 Data on the social landscape of each loc~l co~nity i~cluding aggregate data o~ level of econonic development de~graphic characteristics political pa=ticiation eth~ic loyalities and rates of socio-econocic change dur~g the past decade bull
2 Identity of local leaders including both political and I-on-political leaders and both legislators and other politicians
3 Perceptions of existiag probl~ and their possible solution a~ng
l)tS r AVAilABLE DOCUMENT
- 17 -
general public local leaders and civil serv~nts
4 Level of political kno~ledge among local citizens and local political leacers
5 Political and social values a~ong local ci~izecs and local political leaders
6 E~~ectacions of leadership roles among the local public and elected and non-elected leaders
7 Patterns of co~unication ~ong local leaders and between local leaders and the central gove~e~t
These data ~hich ~e already have in hand can be subjected to analyses
which ~~ll provida the foundation for our further work on rural develop~ent
projects A part of our work therefore will consist of fu~ther analyses
of existing data
New data of the following kinds are also required
1 Doc~entary data on the origin and evolution of particular smallshyscale develop~cnt projects in the rural areas
-2 Data on project costs boih ~itial invest=ent and recurring
operating costs and data on project ou~puts ie pupils in schools Ddles of road coopleted nl~ber of hospital a~ssions production of factory agricultural productivity
3 Data on project organizatio~ n~~r of local inha~itants participating in establis~~ent of projectt nuober of local L~habitants subsequently involved in project
4 Data-on the pe-cetion of projects by local leaders emers of the local public a~d by civil servants data on the perception of how each project ~as initiatec organized who benefitted and what its future implicatio~s are
These types of data will requ~re field work involv~~g both docucentary research
at the relevant ~istries of the central government and in local goverr~nt
authoritieS and inforoal open-ended interviews with local political leaders
elected representatives and other local leaders who~ we had previously ~
interviewed in a s=uctured syste=atic =aoner
BEST AVAILABLE DOCUMENT
- 18 -
Grant Organizatio~ and T~etable
We propose co undertake the research outlLled above beginning in the
fall se=ester 1977 Dur~g that te~ Professors Barkan and Kim as
principal investio~tors for the neo1 proj ect will contact their collaborators
in the host co~~tries They ~~ll also seek the collaboration of an additional
~rican scholar specializing in rural development with the aic of getting
additional advice on sources of data and suitable indicators for the
~easure=~~t of rural develop~ent projects
At the end of the fall seQester Professors Barkan and Kim will make
a trip to their research sites to disc~s details of the research organization
with their collaborators in the host countries and to recruit student
assistants Tney will devote the spring te~ 1978 to further analysis
of a~sting data at the University of Iowa
The gathering of additional dita L~ the field will begin in the s~er
of 1978 Professors Barkan and Kio will direct this work personally We
eAect that its coopletion ~~ll require three to six months This work ~1
involve the evaluation of central and local gove~ent reports on the
projects uncer investigation extensive on-site observations of the projects
and oen-e~ded interviews with the principal participants Our principal
respondents ~i1l be the local leaders and elected representatives we
have previously identified in the localities in which we have worked and
a sacple of active participants in the particular dpvelopment projects
being studied ~~ere necessary and apropriate surveys of the general
public will be uncertaken to assess the inpact of a given project on the
rural por)r We do not however leed 0 conduct systeAlatic sample surveys
BEST AVAILABLE DOCUMENT
- lY -
of the rur~l population as We did in 1974
In the organization of this research project we intend to reconstruct
the rese~rch tea=s ~e e=ployed during 1973-75 We shall again seek the
co11abo=~tion of P~ofessor Sc~~S-7o~g Pai of Seoul National University ~
Professor IIiCr Turan of the University of Istanbul and Professor John J
Ok~u of the U~iversity of ~arto~ S~ilarly w~ contemplate directing
the field research fro~ he same acade~ic research organizations we previously
used Seoul National U~ive~sity th~ ~~iversity of Istanbul and the
Insti~ute for Develop~eut S~udies University of Nairobi As before we
will tra~ students f~oo these institutions to serve as interviewers
The analysis of the open-ended intervie~s and of docUQentatio~ on
I ~ural develop=e~t projects will be a ~ore t~e-co~s~g process than the
analysis of closed intervie~s It will reqrire a high cotnittl~t of time
fron the principal investigators )e e--pec to hold a conference at the i
U~iversi~y of Iowa 3lO1g all the principal )clticipa~ts in the resea~ch
project d~=~g t~e spr~g 1979 to evalua~~ the newly collected data
le e~ pect to be able to vr-ite reports of t~ results during the Sl1~er 1979
(see Figre 3)
IV LlX-GS ~1) U~ILIZATIO~
At the e~d of the grant period the Uti ersity of Iowa will be able to
1) advise the Agalcy 01 the design of s~l-scale rural projects to assist
the rural poor 2) provide guidelines for social soundness analysiS of
small-scale projects for the rural areas of U)Cs 3) consult w~th the
Ag~tcy 01 the evaluatiol of rural projects ~d 4) provide LDe governments
BEST AVAILABLE DOCUMENT
)ATES
~lll
1977
~inter 1977
iprilg 1978
il mer 1978
~all
1978
ipr~ng
1979
Imiddoter 1979
University vf Iowa
Plutlning of rural develo~rent project
Barkan Kil
Alalysis of existing data
Barkan Kia
Data processing
3arkan Kin
1
I
- 4 -
Figura 3
GRAT TLfETABLE
SIT E S
Kenya Korea Turkey
Preparation of field research ural developH~lt project cOlisulta~io~ a research sites
BarkanOku=u Ki~Pai Tura~rkanKi~
Preparation of field resea-ch
Tural
Field research on rural cevelop~~t projects Bar~lOk~u Ki=Pai Turan
Co=pletion of Co=pletion of field resear~~I~ fiald researcr
Ok~u i Pai bull
f Coopletion of field research
Turan
Data analysis conference a~ong all princial i~vestigators at Un~versity of Iowa Barkan Kil Oku=u Pai Turan
Co=letiol of r~ral develop~ent
project
3arkan Kiz
BEST AVAILABLE DOCUMENT
I
- LL -
~ith speciali~cs o~ ru~al developcect ~mong their own citizens ~ho ha_
partcipatcd ~s collaborators in the Iowa projects
In the proposed project we Will test a series of hypotheses cOlcerning
the political cOllditions of rural develo=ent which run counter to CODOn
assuoptions conccrnir3 t~~ influence of rural politics on project effectiveness
As a result ~e ~dll be able to assist the Agency in designing and evaluating
such projects froe the point of V~~W 0 their political viability The
hypotheses We will test sugges~ t~at the patron-clie~t relations existing
in the local politics of zost LDCs are not necessarily i~pedients to rural
develop~ent but are aspects or the political structure which cal be used to
facilitate s~ll-scale ru=~ projects which will raise the standards of
living of _ ~ rral pomlation - As ~ result or our stuey we expect to be
able to P~-O~t the local leadership confi5~rations ~4d the relationships
between local leaders ald rural poclations ~nich are oost conducive to I
successful develcp=en efforts We believe that we will be agtle to perfect
a cat~odology for identifying the political conditions for rural develop~ent
one ~hich is transferable pound~oo the countries we have specialized in to
other LDCs
We proo~ to develop specific guidelines to assist administrators
charged with selecting evaluating and =onito~ing rural develop~ent
projects to ~szess t~esc rojects in tares of their-social and political
viability he outco~e of such projects is dete~ned not only by the
efrectiv~nass ~~=h ~hich they use scarce econo~c resources but by the
~~er L~ w=ich they e~gage the suppprt of local leaders and rural
po~ulatiocs~ by thei= effect ou social a~d econo~c equality ~d by
D[~T AvAlLA8LE DOCUMENT
- 22 -
their consequences for hwan rights ~Je plan to establish criteria by
middot~hic~ the probable outco~es of projects in these social terms can be
anticipatec
The study ~e propo e will be undertltlken by faculty at the Cniversicy
of lowe in collaboration with faculty a other ~rican institutions and
institutions in the host countries We will build on the extensive contacts
between the Co~perative Legislative Research Center of the ~niversity of
Iowa end other instituions with ~aich ~e have worked One =ajor result
of our collaborative study will be the existence of a net~ork of compe~ent
scholars both in this country and overseas experi~lced in ~orking together~
shar~g a co~on teaching and training experience i~ close contact throu~~ the
effective publications progr~ developed by the Co~parative Legislative Research
Center T~e e~~ertise of this group of individuals will be ava~lable to
oteer scholars to the Agency and ~o L~C governments for specific policy
advice The eXertise developed as a consequence of this project will
extend beyond the ~tionals of the countries ~volved since the univ~sities
engaged in ~e project attrtct stude~ts fro outside heir own countries
For ey~=ple the teaching ~d research progra in the Depar~ent of Political
Science 0 theUniversity of Istanbul heavily affected by the participation
of its facul~y ~e=bers and graduate students in our projects attracts students
throughout the ~middot1iddle East for Whom the University of Istanbul is the iajor
institution ~pound ~igher education in the region rne Institute for Developmen~
Studies is si=ilarly a focal point for students and faculty in East and
Central Africa Seoul ~atiocal Unive=sity attracts students froo other
Asia~ co~tries~ In this way the capability developed among the participant$
BEST AVAIL~BLE DOrUMENT
- ) -
in our work is diffused widely To the exte~ that the abili~y to assess
rural develop~ent p~ojects in teres of their social soundness is increased
both in the United States and in ~o~~tries r~ceiving develop=en~ assistance
the cap3~ity of racipien~ countr~es to absorb aid is ~creased
We propose to draw up an inventory of personnel available in ~~e
Cnited States and in other co~~tries who are able to consult with developen~
a~nistrators on the design of rural development projects and on their
evaluation We ~~ll draw first of ai~ on individuals w~o have been
directly associated with our ~ork in the past or on ~he proposed project
and ex~~~d the list to include graduate students and gove~ent officials
with who~ these individuals have wor~d
tole Yill utilize tha existing publication program of the Center
dercribed above to disse~inate our findings The Center has specialized
oailing lists of interested individuals and institutions in all parts of -i
the world and its reports can trerefore reach the ~st relevant audience
jirec~ly ~d re~~arly
BESl AVAIL~BLE OOCUMENT
CONTRACfjGRANTCOOPERATIVE AGREEMENT DATA SHEET
INSTRUCTIONS fjDW Complete 4 copies of the form Original SERCMSDSUP Statistical Section Copy Copy 2 SERCMSIiUP dministrative Copy opr 1 Contracting Officers COy COP) 4 SERCMSDSUP IUmin (Suspense) Copy
Missions Complde 2 copies oi the form Origin31 SERCMSDjSUF- Statistic31 Section Copy 3n~ Copy 2 Nill be ret31ned in the Missions
PART fA
ConU3lttorGranrce Name
University p~f~I~o~wa~ __ -r~ ____ ~~~~ __________ -~~ __ ~~~ ______________ ~~~~ Plorr Numt-er ApptopriJtion Number Allotment Number Project Number
930-0090-3Q13411 A5 72-111l0216 146-30-099-00-20-11 930-0090 Project Title
So~ia1 and Potitica1 Aspects of Development - Conference to Report Research Findings Amount of this Plorr I Projecl M3nagers Name and Offire Sytlbol
$10397 (increase) PDPRCP Jonatlan Silverstone Contr3ctors D-U-N-S Number
Ncgwatocs TYJlCd~3meJ j) Signature I l ~ jIf- bull G HtJ--ft u l IVmiddot
D~e
L - f - J ContractGrant Officqs typed Nailllt Signalure LJ d I -r-
plusmn t 3i-alflpta (( BLvle~ 1 I~ PARTm
ContractGranl Number
AID CSD-3294
Effeclive Date of Docum~nl Signalltre D3t~ of Documenl
Lf---C yen-~-gl tIost Courtry Institution (U iwrsity contract ONL Y)
Campus Coordinator (Uniwr ty i contract OiiL YJ
PART UL Descriplion of Cor-tractGrant P1use X ONL Y ONE item under each headiZg IF THEltrease CifYmC~e bolh ges I 30~~ O~ Nol to be completed for Amendmenl or Modlfic3lion AJigtns I III
J 710gt I I V ~ I
MOl - TYPE ACT A~ 0 G unsolicited Propsll (AIDIR 0 C Individual (Non-pe~nal senice)
~ O Cortra lGrantl ooperative Agreemenl 73101-SO(b)(6raquo 0 D Individual (ftrsonal Service)
tJl T3sk Order ( A)middot 0 H Procurement 10 be Perfocm~d by the Conmiddot 0 E UniversilyOther FAuC3lionailnSlitulions
D 2 Work Order (IQC) Ira~lor in Person (AIDPR 0 F Non-Profil Organizationlnslitutions (other
D 3 Delivety Order (Requirements) 73101middotSO(b)( Iraquo than Ed or PVO)
[j 4 Purchase Ordcr [J I Sole Source (AIOPR 7-3101-SO(b)(4)) 0 G Private Volunury Organization (PVO)
If I 2 or 3 1Lle an ~ compllle M 12 ON Y D J Imp3irmenl of Foreign Policy Objectiws 0 H International Agricultural Research Organj-
M04 - CONTRACTGRANT TYPE
o O MOA (BOA BMA etc)
o I Fixed Price (Specify fFP FPRD FPEPA FPI) _____ _
(gtIDPR 7-31 OJ SO(b)(7raquo
OK B(a)5eJection (FPR 1middot1713-1)
o L Grant iH1ndlOok 13)
o M Do Nol Ue
D 2 Cosl Reimburemenl (S~cil) CR CPFF 0 N Cooperative t~reement (Handbook 13)
CS CPAF CPIF) ~ 0 O Small Business SeImiddotAside (FPR 1middot1706-8)
o l Cooperative Agreemenl ~ 0 1 Overseas Procuring AClivilies (AIDPR
04 Grant Gener31 Supportmiddot 0U ~ 7lIOI-SC(b)(2))
o S Granl - Specific Support ~ ~06 E SER VICE
g ~ ~~t ~~(d) ~~ ~~ ~ eci~a~~~~~ogram Projeci
o amp IQCs ~ ~ relampted excepi A amp E Services)
o 9 Host Counlry ContraclGrnnt 5lJ C amp E Services
middotComplele ONLY through ~Sl ~~ 0 D Construction
M05 SELECTION PROCEDURES 0 E- Reseuch
o A Formally 3dverliscd (IFB) (A1DPR 7middot24 amp
FPR 1middot24) ~ o B Negoli3ted Price Compelilicn Gencr31
Procedure (RFP) (-JDPR 7456)
Dc A amp E (AIDPR 7410)
0 D Ed Inst andor Inl1 R~arch (-JDPR
74 5)
o E Collaboratoe Assisunce (IDPR 7458)
C F Predominant Capability (IOPR
73IOI-50(b)(l)
AID 1420-49 (179) - Page I
D F Technical Services to AID (other than trainmiddot
ing usually o~ating expense)
D G jraining SetVice for AID
o H Equipment Materi3J~ Supplies Commodities
D I Translation Service
~07middot TYPE CONTRACTORGRA-nEE
o A Firmmiddot AU profil-rn3king fUms (other than
Aamp E)
J e A amp E 8r~
zalion
o Public Inlmlational Organizations (UN
Agencies ICRC Wocld Bank elc)
(H8 J 3 Chapt~ S)
M08- TYPE AW~RD
o A S8 Sel-Aside - Awarded to Non-Minority
o B S8 Set-Asidemiddot Awarded to MinXity
o C_ S8 NOI Set-Aside - Awarded to Non-Minority
o D S8 NOI SeImiddotAsidemiddot Awarded 10 Minority
o Eo amp(a) S8A Awarded to Non-Minority (Womerl-
Owned Veterans etc)
o F 8(a) S8A Awarded 10 MinorilY
o G Personal Sen-ice ConlrdCt bull Non-Minority
o H IeJSDnal Service Conlract - MinorIty
o I Individual NonmiddotPersonal Service Contraci -
NonmiddotMinority
o J 100Jigtiduai NonmiddotPersonal Service Contracl -
Minorily
o K NOI Small Business (Univ NonmiddotProfit Large
Firms) Non-Minorily
o L- NOI Small 8usineSl (Univ Non-Profit Large
Firms) Minorily
o M US Govcrnmlnt
(Connnued on Page 2)
BEST AVLABIE DOCUMENT 1 I
--
ua ) R I GI NAL 9 bull
MODIFICATION or GRANT PAGE 1 of 2
AH 1 2 Effective Date 3 Grant No 4 Effective Date
Amend_at Ro 5 April 15 1981 AIDCSD- 3294 8-11-71
-s CRANTEE (Name and Addrea) 6 Administered by -Professor Gerhard Loewenberg -Office of Contract Management Cbrnparative Legislative Research Gente Central Operations Division Dept of Political Science am Branch University of Iowa Agency for International Developn~nt Iowa City Iowa 52240 Washington D C 20523
7 PIO No 930-0090- 3013411 A5 8 Previous PlOTa -
Appropriation No 72-11110216 93i-1l-995-l36 930-11-995-136-73-3078103
Allotment Symbol - 146-30-099-00-20-11 wunt Obliga ted by this ~ndrnent - $10397
The above numbered Grant is hereby modified as follows
1 Anotmt obligated prior to this rurendment 2 Amount obligated by this amendment 3 Total obligated anount (1 amp 2)
Delete the amJmt $465000 and substitute in lieu thereof the ammnt I$47S 39-7 ~
FUNDS AVAIrABm
~~ - APR 13 1981
PrO~A~~5iors
$465000 $ 10397 $475397
OffiCE Of fIN~(1 ~~rE~E~T __ _ 10 This amendment 11 entered into puruant to the authority of the Forelgn
Assistance Act of lS~l as amended Except aft hereln provided all terms and ~~ndi~ons nf the grant rcferpnccd in Block 13 remain unchsnged and in full force and ~ffcct
11 original and six Crantee 18 requlred to aign thh document aad return 1- eopics to issuing
ffiee
~~~ or printed) BUSINESS MAHAGR amp bull
Tille TREASURER
UNITpound) STATES OF AHERICA AGENCY FOR INTERNATIONAL DEVELO~NT
BY_-1(1o-_1lt--= 13middot~_1_~ __ K R B1uteau
(Name typed or printed)
Tltle~ ____ G_r_a_n_t __ O_f_f1_c_e_r ____________ __
D3tC APR 2 J 7997 Dolt 9 APq 1981
BEST AVAILABLE DOCUM NT ___ 0 HLGlNAL - I 1 J 1 ~ )
- 2 -
AID ftmds in the am)tmt of $10397 are hereby provided for the activities lmich are described in your proposal (including Budget Stnmnary) entitled CDnference to Report Research Findings on the Study of Political CDnditions for Effective Small-Scale Rural Assistance Projects in Kenya Korea and Turkey dated February 17 1981 and made a part of the Grant b reference
BtTDGET StMMARY
Line Item
Travel
Per Diem
Other Direct Costs
Less existing 211 (d) grant funds
Total Amount Obligated by this Amendment
Estimated Costs
$ 5888
5100
_ 2500 $13488
_ 3091
$lO39
Note Indirect costs or $395086 associated with these activities will be contributed by the University of Iowa
BEST AVAILABLE DOCUMENT
~RIGINAL
- CONTRACT IGRANTCOOPERA rIVE AGRElEMI~ SERC~SDSlP Actio) Monitor
SERCMSDSUP Action Office
I
INSTRUCTIONS AJDW - Complete 4 copit of tlh fonnmiddot Orisina iCMSDfSUP Sutistical Section COP)middot Copy 2 SERCMSDjSVP Administrative CoP Copy 3 Cont-acting Officers COP) Copy 4middot SOSUP Admin (Susptnse) Copy Missionsmiddot Complete 2 copies of the form or~aI SERCtSDSUP Statistical Section Copy and Copy = wiU~ retained in the Missions
0 PART IA
Effective Date of Document tJ
Delivery Order (Requirements)middot
o 4 Purcluse Order
bull If I 2 or 3 have an bull X compl~te M I 2 ON L Y
M04 - CONTRACTGRANT TYPE
o O MOA (BOA BMA etc)
o 1 Fixed Price (Specify FFP FPRD FPEP FPI) ___ _
o 2 COli Reimbursement (S~cifY CR CPFF CS CPAF CPIF) ______ _
o 3 Cooperative Agreement
o 4 Grantmiddot General Support
o S Grantmiddot Specifi Support
o 6 GraDt 21 led)middot
o 7 Do Not Use
o amp IQCs
o 9 Host Country ContractGrant
middotComplete ONLY through M 5 1
MOS SELECTION PROCEDURES
o A Formally advertised (IFB)(AJDPR 7middot24 amp
FPR 124)
o B Negotiated Prire Competition General
Procedure (RFP) (AIDPR 7456)
o Co A amp E (AlDPR 4 I 0)
o D Ed Ins andor Intl ReStalch (UDPR
7457)
o E Collaborative ASSistance (AIDPR 7458)
o F Predominant Capability (AIDPR
7-310l-50o)(3)
AID 142049 (1-79)middot Page J
o H Procurement Co be Performed b~ the Conshy
tra~tor in Person (AlDPR
7middot3t OI-SO(b)(Iraquo
o I Sole 5gturce (AIDPR 7middot3101middotSO(b)(4raquo
o J Impairment of Foreign Policy Objecdv~
(AIDPR 7middot310 ImiddotSO(b)(7raquo
o K 8(a) Selection (FPR 1middot1713-t)
o L Grant (Handbook J 3)
o M Do Not Vse
o N Cooperative Agreement (Handbook 13)
o O Small Business SetmiddotAside (FPR 11706-8)
o P Overseas Procuring Activities (AIDPR
7middot3101middotSO(b)(2raquo
M06middot TYPE SER VICE
o A TtJining of Participants
o B Technical Assistmce (Program Project
related exc~pt A amp E Services)
J C A amp E Services
0 D COltl~ruction
0 E Research
0 F Technical Services to AID (other than trainmiddot
ing usuaU Y operating ex pense)
0 G Training Service few AID
0 H Equipment Mat~rials Supplie~ Commodities
0 I Translation Service
07middot TYPE CONTRACTORGR TEE
Firmmiddot All profitmiddotmaking fu-r1s (other than
AampE)
o 9 amp E Firms
I Prcct NumbcT
I
Contactors D-U-N-S Numbcr
I) -S--f(j
o C Individual 0-lon-~rsora1 service)
o D Individual (Pet-sonal Service)
o E University lOt her EduCltionaJ Institutions
o F Non-Profit Organization Institutions (other
than Ed or PVO)
o G Private Voiuntary Organization (PVO)
o H International AgricultwaJ Research Organmiddot zation
o I Public International Organizadon~ (UN
Agencies ICRC ewld B3J1k etc)
(HB J 3 Chapter 5)
M08middot TYPE AWARD
o A SB SeImiddotAsidemiddot Awarded to Non-Minority
o B SB SetmiddotAside bull Awarded to Minority
o C SB Not SetmiddotAside - Awarded to Non-Minoril)i
o D SB Not SetmiddotAside - Awarded to Minority
o E ~a) SBA Awarded to Non-Minewity (Womeli
Owned Veterans etc)
o F 8(a) SBA w-rded 1o Minority
o G Personal Service Contractmiddot Non-Minority
o ~ Personal Service Contnct - Minority
o I Individual Non-Personal Sence Contractmiddot
NonmiddotMinority
o J Individual Non-Personal Service Contractmiddot
Minority
o K Not Small Business (Univ Non-Profit L1lge
Firms) --vn-Minority
o L Not Small BUSiness (Univ NonmiddotProfit Large
Firms) ~inoriy
o M VS Government
(Continued on Pcge 2i
t bull - t ~ J f q
ORIGINAL bull MODIFICATION OF GRANT
1 2 Effective Date
Araendllent Ro 4 12-2-80
s CRANTEE CHace and Addrels) Professor Ger1ard Lo~middot enbelg Comparative Legislative Research Deartment of Political Science The Lnivp-rsity of Iowa Iowa City Io~a 52240
7 PIO No NI A
Appropriation No 72-11XHl26
Center
Allotment Symbol -426-30-099-00-3~-71 Amount obligated by this urendment-O- I
3 Gnnt No
AIDcsd-3294
PAGE _____ 1 _of-L
AlI 4 Effective Date
8-11-71
~ Admlnlltered by -Office of Contract Management Central Operations Division OTR Branch Agency for International Development Washington DC 20523
8 Previous PIOITs -
931-11-995-136 930-11-995-136-73-3078103
9 The above numbered Grant is hereby modified as follows
Supplement to Grant
Change the duration period sentence to read
The Duration Period for this Grant shall be August 11 1971 through December 31 198]
1 Amount obligated prior to this amendment $465000 2 A~unt obligated by this amendment -0-3 Total obligated amount (1amp2) $465000
----------------_- - ------- ----_- ------ 10 Thh lImcndmcnt is entered inlo punuant to the authority of the Foreign
~ Assistance Act of 1961 86 amended Except a~ h~reln Z II provided all terms and condi tions nf the grant referenced in Block 3 remain ~~aunchlinged and In fu1l force and effNt cnltUI cJ)za 11 o 4 J bull
Et~ ai~a gtUoItshyc Z P=u
original and six Grantee t requi red to sign this document and return 1- eopies to 1Bufng
office
~ 12 GRANTEE TES OF AMERI CA
(Name typed or printed) bull
TJlle Director Comparative Legislative liecearell CeQtoQl
Date 12880
------------------------------------
ONAL DEVELOPMENT
By ----~--~~~~---------------------
prinled)
Grant Officer Title --------------------------------
J)oll( 12-2-80 -----------------------------
BEST AVAILBLE DOCUMENT i je
- 8 -
cevelcged c~lt-ies Smiddot~yemiddotl such projects core already uoer ~middotay
and 3y potetial ss~cetes ~ave been identified and thei ilterest~
211 gtarticipeting i1 t~e ~Cglar1 ascertained
He -resc1t ge~sc-~el a1d acilities of the University of Iomiddotro
plcvice a very st-cre basis for the research atJd training programs
~rnich ~middote a~ ~rc9~3L1g -fmever the further development cf legislative
suCie3 ali a pec~ent streugthenLlg of ~he progrun of Iomiddot ~ is a major
a oes3icral Demiddotmiddotelc~ Galt fur~ds will be uSed by the
LT~iersit2 c la= ~ icreasing te nUbe of faculty specialists in
cClJses ir sjcts elated to the subject atter Specificallr grant
fuimiddotis dll ce usee to ac3 one pernanent faculty Uemoer in roliGical
scienc~ ~middotit s~ecia iltcests b legislaive beh3vior ald political
dloYl-nt a-o 81 a29 cmiddot-petence in Ardcan pclitics and to bring
(lculy -emiddote-s fro less ceveloed countries to spend a peri cd of time
at the TJ1 i si ty o~ Io~middot adine sechtl expertise to the ~od~ at Iowa
other middotisosel -~ i_ le irol1ght to IC~ia as needed to support those nO~T
or --18 fc~~ti r~lt 7ds ~rill also be ilsed to finance data collection
exlts-s ~) t~-e res~imiddotch iork of tte acult the Associate scholars
BEST AVAILABLE DOCUMENT
1~ II
- 9 -
cesigned tgt trrtin US and foreign-born st1lcents in le6islati-~e rese=z-cndeg
Sttde1fs ~dll be tdTi tted cr11ally to 9 proeragt iihicn ~iould irclude a
tro~ot~h grounding in the r thods of cczparative aralysis the S1ostance
of conparatie politis g-mel31ly end the corrparative studJP of
legislative behavior in 9articulal The Uni-ersity intends to associate
tnese studelts directlr - rith research in Ttlhich faultr 2Cbers are
engaged to encourage thea to dra- U90n the skills end resources available
in this field il ra1Y departnents of the University to enable them to
spend up to one year in field research and to have thel4 snare their
findings middotrih their stmiddottidei~t and faculty colleagues Tle prograII will also
involve foreign scholars middotno are expert in the legislative process of
t3ir o- n countries in the tcaciing fgtimiddotogren both by holding -fisHing
a=point~elts at t-e University of Ioc1d by sUgervisi~g field research
c R d - t- ~ 1 rec C~ of Esta~lis~ed Scholars Tne University of Io~~
plals to extend a1 in-itaticn to seieal foreign scholars duri1g te
gle1t p2riod to patici~te in a coparative legislative researc~ seirar
duriig their visit Their plrticipat~ion middotrill edd 3 lL1iqte diiensicn to
the seiiral hceuse cf theh ~1o~-rlecge of the legislature in their own
C01-try BCmiddot2~ J1is Gemilr -ill be dealing -lith the nos-G current
reseaCIJ o~ l0~ ~ltmiddotJres as ell as discussine desigs for reseach to
fill in cowleuge of legis1timiddotre 1ehclicr -re believe
tret it ill be a l2~lilg experience for all the pclticira1ts--incltcing
BEST AVAILABLE DOCUMENT 1]7
- 10 -
Ima rill lOrk collcboratively ~ith the fOrsig1 5cbolars to design a1d
carry out P reseach pruject These projects Till cc~tribute to the
retlaininB of foreign scholars and nill also add to cur mmiddotm and8rstanding
d Research The 9rinciplI enphases in cesenrcl rere cutlined in
Section III above ie to focus en con-9arative studies in iihich
legislative cehaviol can be helpful in explaining the scope of politics
the style of governcent a1d the legitinacl of regiles Variables hich
will be studied Iost closel~r ircluue tbe persistence of institutional
norms in the legislature oyer time the relationship o~ the legislatue
to ether institutions in fornirg public CC1Cepticns of politics and
the histOl~ical context detelini1g public expectations of the 12risleture
This resea~ch nag both academic and practical objectives
Academically it promises to tie legislative behavior research to other
major concerns L1 pcliti~al science such as research on systeJ stability
and paricrJance Its general substaltive eojective is to assess the role
wtlichlegislatures Illay L1 determining the capability of political
s~lstems especially their ability to deal ~middotith soCial change
Vractically the stu1y ~y offer guidance to polic~Y-Dakers on
t~1e role ~ hich legislatures rray be ~lI-pected to pIa)- in neimiddotrly established
political systelt ald on ~hc efcrrrs in established legislatur~s -Thicn
rray be required to achieve specific syste~ effe~ts The study ~dll
Nquire the assccioticn of rembers of legislative staffs a1d 2cademic
colleagues in the s~eLal nations lmder nvestigRotiop plovidirg training
fot ~ll r)f them i1 leeis1ntive re3Clrch ~ri facilitating a valuble
BEST AVAI~BLE DOCUMENT
ll-
of Iml3 ~ill LS~ glmiddot~t f~ds t~ estaolish a data archive to begin to
bring tb~ edtirg legi31ati--re studies tog3tller at a single locaticn
end to =afe t~e ac~essible to tie grc~ring m~er of interested
scholars in t~i3 field PerSCIlllel of tbe Data Archive ~rill searcD
broadly fo all a-reilable data on legislatures in the possession of
ildiviiual researc~rs i11ese data sets ~-Till be acquired refo~atted
for ease in alelrsis a1d stored in Archive Tne Archive ~~ll
asserble tie etel~ Gata O legislative organization ald procedure the
socialization ~~ recruite~t of lzgislators legislative decision-
makLg pccesses 2d legislative outputs To facilitate access to
the data a ~middote-riemiddotrlt11 syste middoti111 be cesigned that will 2011001 r-=searchers
to find ~iccJ ata sets that c~mt2in inforration lelefalt to their
researc1 po)2e5 RibEcg-aphic citation3 cnd abstracts of research
reports on le~i51e-imiddote oebio ~~ill be gathered and a biblicgraphic
retrieval sys tC idll a Geielc9d to aid esealcJers
cooioinet-e1 ~~as n -ie are= of c~rarativa legislatile studies is
t~3t because 0 si~~e iJS in~ti tuticn ias tce necessarJ expertise
of ccrparati ve
1-=gislatiY2 tcie3 8forts of the most conrpeteat ace interested
BEST AVAIL~BLE DOCUMENT MCi I I yl
12 -
oz~ the tr)middote grantee institutions and otter associated scholars It
~ill ayise t~e pa1tee i1stituticns on SllC catte-s as roritorirg
activities at the t~re~ unive~sities~ evalu~ting rese~rch frr possible
=middotclication sJ--sidies rld ether ratters related to infor~atioTI
disse~~ation coordinating research efforts to avoid duplication
ecilitating excha1ges d sttde~ts ad faculty members ~-iitb foreign
nsti tutions i~en desirable tryi1g to till lacunae in cLIricu lUn
helJilg to arralge cmferelces and sy-posia and generally trJing to
9cote te ~eielcp~2nt of cOlparatile legislative stucies as a
Gra1t L~HS idll be ~sed to support the Univ2rsity of Io -a IS
nrticipation in tre AdisorJ Co-i ttee t1e developrrErt of conferenc=s
elsEfhere il the US arHl over3eas i1 relat2d facets of leeislaive sttdies
Edstng iersonJ~l al~d fa-ilities at the University o= 1oa previde
iaculty facliiies to aid rC3emc~ trailg aPd skill in 21c~ivaJ middotork
BES~ AVAIL4BLE DOCUMENT I
r ~-)
- 13 -
Six ITe-bers of t1e faculty of the Departent of Political Science
at the Unhe ity of Im-ia are presently engaged in legislative research
To merbers ot the Departllent of History are engaged in research on the
British Parlia~ent L~ the eighteenth ~~d nineteenth centuries Fer the
past six years an adv~~ced se~inar has been offered by ~embers of the
Department of Political Science and the Department of Histo~J on
comparative legislative behavior This exte1sive collaboration iiill
ma~e it possible to develop a fully inter-disciplinary program for the
students ~~d visiting faculty In addition faculty ~emcers in
Scciology interested in organizatien theory and in the College of Law
interested in legislctive processes provide furtber e-pertise ava_ilable
to students interested in tee study of legislative behavior The
presence of these specialists on th~ facult~r is reflected in the
excensive librarJ al1d otler data resources existing at Iowa in this
field
The Uniersity of Ima offers an unusually extensive program of
trainL~g in research methods Four ~e~bers of t~e Department of Politi~al
~cie1ce teach in the field of research nethods Courses jn statistics
ca1 be taken ill the Dep~rtents 01 Sociology e-d Educational Psycholcgy
Llis prcgr6l provides a verJ solid grounding il research training and
data analysis
bEST AVAILABLE DOCUMENT
e ~
- 14 -
Y labCrato~y for olitical Pesearch is the reseacc1 md research
tlairirg facility of the Departe1t of Political Sci-lce Gcadvate
students receivo extensive res~arch experience through 1or~ing in the
La oratory bull The Lacoratoy is also a1 integral part of the trainirg
o~feed in ccurs~ T~middotO~ for graduate students
The full-time sta~f of the laboratory includes a director an
assistant director a t-=cl1ical cirector a supervisor of study
t1hteen graduat~ students - rf1rk in te Laboratoy receivLLg teining i~1
~a~a collecticn ~~i data e~alysis Tbe facili te5 of the La)oratorltJ
icluoe a oard eJcerline printer ccnnected to the U1iversitys
dis~ and tape storF-ze for d~ta
The pogral of trailing ia coparative legislative reseC_cch ~ill
relr heavily en t LaOerltcLJ- for taching graduate stucents Visi tine
fc111tr lYe~bes iill be able to utilize tbe facilities cf the Laboratory
gt IOra ~as sFcial ccrpetence in prOCed~les for
ccq ter ogagtlizetion of d~ta Ja1ks ~d fOi the p~ocGssing of large data
sets as well as iJ the sttdy of naticnsl end st~te legisltllres Tile
BEST AVAILABLE DOCUMENT
- 15 -
Ile Univelsity of 10Ira will eadnister- the Grant thJotg~ its normal
a)1 iristrative char-l1els ad i1 Eccordance imiddotlith its ncrTal olicies and
operatirg procedures 7he Director of the gr~l1t-s~~ported program
Hill be a senior faculty eriOer of the Gniyecsity of IO~-ia -with extensive
expe~ie~ce in the subject field Associate Directors w~tb similar
qtalifications -aill also be appointed 7he Director- and Associate
Directors ~dll serve as eibers of t~e Inter-University Advisory CC1gtr)ttee
established to cooidinate _u bullbull ID gra1t-stpported programs at IOia Dul(e
lniversity a1d the University of Ha- aii Ll1 this field These relatiol-
ships are i~dicated in tee follc~dng a~inistrative organization chart
IX Ul~vsity Ccntri1uticn
T1~ ~h-ersity of IQ(a aSSures ALD that this Grant middotiill not
replace existing ftnds for STr current activity and imiddotrill be additive
to existing prograrrs of tCe lJniversity In direct sp~ort of this
Grat ttc University ~ill provide a) Acmi1istratile costs including
tie of senior officers of ttlt University b) Office ~ld research space
ald library and cor-puttr facilities c) Provision of a1cillamiddotCjr 1niversity
personnel -or consultation o~ ~middotjQrk nth the progral
X Reports end 5evie~-Ts
There i-ill be sub~itt-=i al arnual t2ctnical report for the purpose
of AID s revie- of activities under te Gant Tnis idLl include
a11 e-llation of prcsr~ss aidnistratve ar_c fiar~cial corsicer~tior~s
p~s cr tr foJlJ-middotire ear ~i disctlssics of the ossible l~lizaticn
BEST AVAJLIl8E OOCI1MrNT
~
- 16 -
A~~inistrative O~ganization
Ice Board of Regents of tle State of Im-la
-Iesicent of the University I
1 rOfcst Jf t-3 University
Den College of Liberal Arts
r Chailan DcptiEt of olitical ScieJce
Inter-G~iversity
Acisorr Corcittee
PcgrG21 Director Associate Progra~ Directors
Liaison Arcrge~~nts d ~h I I~~erested Plcfessiona1 I Perso~el j
I _
I 5cu1ti (full or PmiddotLG-tire l Asscci~tes a1d otllei non-Io~il
3ecip5ents of Gr3-1t stPPC1t Gr~cue~~e S t1~lcnts St2~retQi~S1 Data Lbed~1 31
Ln 18 r1icia 1
LO1t c~lce Factcj~1 ts
BEST AVAILABLE DOCUMENT ( ( V-t
- 17 -
of te eo17i~g cCpterce br A I D rLld ethers In addi tion there
aS3essr~ents of the gr31t
middot l ~ lI ~ _ _ _ co~~~r~~ing ~~iversiti~s md tne rrctitoring ALD office
7re l~yersity of Ie~middot~ budget of $26500 is to be deveted to the
cemiddotelgt~e~ of lstituticnal cefete1Ce in comparotive legisl~tiye studies
~t Iomiddota c t~ the exalsi0 ot a date b~L-lt ~ hich 1fill be utilized as
a ecle for icrec3ing te scope of tbe sub-specialty
T - 1 f 1 __ middotja r S Ctdget a9roxir~tly 33- has bee allocated to a
cemiddote Lp~l t rirc ipally C actlty re leased tirre for data ccllection
ai 0 3alres f~r i~~er-ieers in field research 3d secretarial
assi5ta1ce nCt2 11- of t~e Icmiddotre oudge~ is iesignated for an
ArCE_1 A~ite s(101a~middot 2d one 0 ore scnolals froQ LDe or
s1lllrt of greluate stucents in the
BEST AVAfLIlBLE DOCUMENT
- 18 -
Finally approximately 19 of the budget will be devoted to the
proposed data bruL~ that will archive not only data generated from the
research of scholars at Iowa Duke and Hawaii but also at other US
and foreign institutions Primary and 3econdary an~ses of these
data will become an integral part of ~omparative legislative studies
curricula The ability to utilize the data bank for teaching purposes
also should have a significant impact on professional preparation ofmiddot
future legislative specialists In summary the funds will be
allocated to research teaching and training activities tha~ are
entirely conson~~t with the philosophy underlying the utilization of
2ll(d) grants to achieve institutional development
Conclusion
The University of Iowa regards the research and teacbing components
of this program to be closely related an1 zrutually reinforcing The
University of Iowa offers a strong base for the pro~ram because of the
interests of faculty members here now because of their contacts with
scholars in this field in other Americ~~ and foreign universities
because of their experience with the international exchange of faculty
and because of the distinctive data gathering and processing facilities
available in our Laborator~- for Political Research The program which
we have formulated is designed not only to accomplish specific
research and teaching objectives but to contribute to the long-term
development of the University of Iowa in an area in which it has already
exhibited special interest
BEST AVAILABLE DOCUMENT
~ I) - 0
- 19 -
The program on Comparative Legislative Studies with support from
this Grant rill develop the capacity at the University of Iowa to
provide assistance under separate financing arrangements to developing
countries in a number of ways and through a varieiy of channels This
assistance which would be arranged for end negotiated separate~ from
this Grant may be in the form of technical assistance advisory service
training research and information exchange etc It will be available
by mutual agreement to appropriate agencies national and international
public private a~d mixed and directly to the less developed countries
Most especially this added special competence will inevitably become
incorporated through the processes of scholarship and education into
the competence of US and foreign scholars and institutions concerned
with this topic of great significance to the developing and the more
highly developed countries alike
BUDGET SUMMARY
UNIVERSITY OF IOWA
Salaries
Graduate Student Stipends
Fringe Benefits
Travel
Equipment and Services
Other
TOTAL
$173090
32400
19209
13800
6501
20000
$265000
BEST AVAILABLE DOCUMENT
d bull
srjmiddot (~~ jjXilO
IO
rmiddotmiddot ~middotmiddotrl f)~~ 7 middot 1 ~A~~ middot1 rmiddot middot~ rt bull middot bull bullbull I ~ i bull bull ~ middotv- middot bullbull ~ I
1 so bullbullbull l ~--~-- - - ---- ~ V~ i Jlgt ) bullbullbull ~(lr v ~I ( tr_ 1middot-middot 1 bullbull 1
il l~ J
2 c~loto
BEST AVAILABLE DOCUMENT
(C
Dr Willa~d l Boyd Presicient University of Ima iowa City Iowa 52242
Dear Dr Boyd
4 AUG 1977
amp
FIJNDS AVAnASLe CpoundNrftAamp sEIMCEs DMsON
AUG11 ~n te t6417 ~77
Subject bull Supplsectferit-tJF-G~middotNomiddot~middot AIOcsd-3294
t middot-rrPJ1 3
I am pleased to inform you that pursuant to th~ auth~rity contained in
S-cction 211 (d) ooC the Foreign Assistance Act of 1961 as amended a sup
plemental grant in the amount of $200000 is h~reby r~de to University
of rCi1a These supplement]l grant funds areprolided to support the
activities which are described in your Proposal dated May 6 1977 for
the implementation of your program entitled Political Conditions for i
Effective Small-Scale Rural Assistant Projects
---This sup~lemental grant is mace to University of Iowa en condition that
yo~r institution shall administer the funas provided under this Grant fn
accordance lith your r~ay 6 197 proposal (including Budget SUmlilary) and
the Standard Provisions (as incorporated by Amendment No 1) which have
been agreed to by your instit1ltion Ti) the extent of an inconsistency
between the Proposal and the Standard Provisions and any otherprovisfons
which ar~ made a part of thi5 Giant by reference or other~iSe the Sta~d~
ard Provisions shall control
The new Duration Period for this Grant shall beAugust 11 1971 through
August 10 1979
The total amount of funds obligated under the grant is increased to reflect
a new total oblgated amount of $465000
Please sign the Statement of Assurance or Compliance ana the origfnal -
and seven (7) copies of this letter to acknowledge your understanding of
the conditions under which these funds have been granted Please return
the Statement of Assurance of Compliance and the original and six (6)
copies of this supplemental Grant to the Office of Contract Management
Attachment May 6 1977 Proposal and Budget SUfiT1a ry
UNIVERSITY OF IOWA
Roberw bull OBrien fficer
Ce al Operations Division Office of Contract Management
AC~E~E~C--_ 0 BYpoundk~~ cH
D C ~lpoundSTtR5BA T ITL E ( PfeampoidPilt for
tee ment amp Research DATE 9-22 -77 (d~ ~~Bduate Ctl~1e~e
BES i AvAILdLt UOCLJMU~ I
211(d) Grant Program
Proposal of the University of Iowa
POLITICAL CONDITIO~S FOR EFFECTIVE SMALL-SCALE
RURAL ASSISTA~CE PROJECTS
Submitt~Ci to
Civic Participation Division AID
May 6 1977
Amount requeste~ $ 199987
BEST AVAILABLE DOCUMENT
I TdE DEVEIOP~T PROBr~
P~litical Conditions for Rural Development
The Cocparative Legislative R~search Center of the University of
Iowa proposes to ~~dartake a two-year study to investigate the role of local
leaders and the rural public in theimplecentation of small-scale develop~ent
1 projects in less developed countries The study will use and extend the
capacity ~hich the University of Iowa developed under a 211(d) grant to
investigate and assess the impact of loeal politics on rural development
~t the co~pletion of the s~ Iowa will be in aposition to advise the
Agency on the design ~nd evaluation of s~ll-scale projects which will be
politically viabe a~d effective in ass~sting the rural poor ~
As students of development w~ approach our task with the assumption
that the proble~ of development and underdevelopment are funda~entally
ones of political econooy and a~ such can only be solved through a
simultaneous considerationof economic and political factors Efforts
which foc~s aloost solely on economic factors like those of ma~y
organizations engzed in dipersing foreign aid or efforts which focus
almost exclasively on political factors fail to take account of the
interdependence between these two dimensions of underdevelopment and
lwe have for~ulated this proposal in a canner consistent witr the cu~rent policies ard interests of the Agency We have been guided in our tsk by four Age~cy doc~e~ts Impleo~~tation of New Directions in Developnent Assista~c~~~ ~eport to the COmlittee on International Relations on Ilupleoenshytatiun of Legislative Refo~ in the Foreign Assistance Act of 1973 (July 1975) rItevis~d Projec Developiel Review and Approval Systeo (A I DL Circular A-21 Aril 23 1975) SH Butterfield Draft SUIilZ3ry StateUlent of a Practical Agelcy Approach c aural Devalopilelt (AATA February 28 1975) Cicci A Coce~ual Oie=viamiddot middot Rural Development No1 (lWorilting GOU O~ tha Rural Poor February 1975)
- l -
can meec with only l~ted success
Our concern with the i=pact of local politics on the process of
rural developcent is a result of our interest in the basic question of
how LDC governm~nts and the donor agencies which assist them can
become core effective in raising the standard of living of the rural
poor We seek answers to the following aspects of that basic question
1) What political conditions must exist both within rural communities
and between theo and central gove~ents to raise agricultural production
w~ere small-scale agriculture is the do~nant pattern 2) Vnat are the
political conditions for a core rapid expansion of the informal manufacturing
and service sector cocprised of labor intensive small-scale industries
located in the rural ar s 3) What political structures and activities
are mase crucial for the provision of welfare and econocic supporc services--
such as agricultural exeension mar~eting and transportation--to the rural
areas1 4) ~~at Folitical conditions oust exist to insure that economic
growth in the rural areas is not accowpanied by excessive and intolerable
inequalities between socio-economic classes andor between regions1
Center-Periphery Linkage in LDCs
To deter~ne the political conditions for rural development we have
in previo~s s~udies exacined the institutions and processes through which
rural populaticns are integrated i1to the national politi-cal systetlS of
middot~he countries in which they live A gap exis~s in most less developed
countries bet~een the peasantry residing on the periphery and the c~~tral
political ~stiutions staffe1 by ~~estern-educated bureaucratic elite
We are aware of the other major ~sti~utional discontinuities which comprise
J
4 middot~~1 the basic cleavage between the developed and underdewmiddoteloped sectors of
these dual societies Bridging these gaps is essential if these so~ieties ~ are to develop into viable nation states For until those Q~ the periphery
of the poli~ical syste~ participate in that system and support and comply
with the authority of central political institutions neither economic
development in ~he rural areas nor a stable polity will emerge
Bridging the discontinuities in these new political systems requires
establishing and institutionalizin3middot1inkages or networks for co~unication
and exchange of resources between decision-makers at the center and the
rural public on the periphery Three types of institutional linkages are
most prominent in less developed countries 1) those conSisting of the
state administration composed of the bureaucratice1ite 2) those consisting
of a revolutioncry political party cocposed of the ideological elite
3) and those conSisting of patron-client hierarchies composed of the political
entrepreneurial elite
Of these three linkages consisting of the state administration are
the cst extensive and pervasive in virtua~ly every LOC Such linkages
however exist primarily a~ instruwents of the center to penetrate the
periphery Central government officials are formally charged with bringing
develo~ent to the people This is a ~issi~n which conceives development
as a process ~hrough which a traditional peasantry is transformed and
assimilated iJro the DOdern center which is steadily expanding to embrace
it Agents of the center invariably have more resources to achieve their
objectives than do local political leaders but because they are frequently
strangers~ the communities in which they function they are often unable
- It -
co implement the policies of the center without working through the
local establis~ent
Though somctices significant linkages consist~g of revolutionary
party organizati~ns such as those found in China and Vietnam do not exist -
in most IDCs beca1Se of the special historical and e~omic conditions
required for their development As wi~h the administrative state however
the linkaampe apparatus of such political patties is prUlarily an instrument
of the center whose mission is to penetrate and mobilize those onthe
periphery
In contrast patron-client hierarchies are linkages which represent
the periphery at the center and mediate betwee~ these two disparate
sectors of the political systec Thcugh norcallymiddotovershadowed in scale
by the state administration patron-client hierarchies are found in almost
~very LDC a~d constitute the ~st significant network through which rural i
populations and their leaders influence the decision-~king process at
the center Patron-client hierarchies exist in a wide variety of org~iza-
tional fores ranging from info~ ~ec~~rks of individual olitical leaders
in uno-partyll systelS in S~b-SaharaI4 Africa to extensive political machines
in both one-p~rty (Africa Mexico) and ~u1ti-party systems (Turkey India)
Despite their importance as the pricary means through which peasants in
LDCs particiate in their political systems patron-client hi~rarchies
have only recently become an object of analysis by students of political
developent and do not appear in even the most sophisticated studies of
2 See Jo~ Dunca owell Peasant Socie~y and Clientelist Politics Aerican Politi~ Scielce Revietol 64 (June 1970) pp 411-25 Rene Lemarchand anc_ Keith Legg olitical ClienteliSJ and Ethnicity in Tropical Africa Aierican Political Sc~ecce ReView 66 (Y~rch 1972) pp 68-90 James C Scott PatronshyClient Politics a~d Political Change II 1tlerican Political Science Revie~ 66 (~arch 1972) p 91-113 and Friends Followers and Factiols bull edited by Steffan Sc~~d and James C Scott (Berkeley UniverSity of California Press 1977) bull
- 5 -
3 economic development Ad~niscrators of developmental assistance progracs
have too often regarded patron-clienc hierarchies as ~ped~ents to
develop~ent instead of recognizing cheir potential utility bull
~ Findings on Patron-Client Hierar~hies --
The importance of pat~on-clienc hierarchies for linking the periphery
to the center is one of the major findings ~erging from a study of the
relationships betueen l~gislators an~ their constituents in Kenya Korea
and Turkey ~hich the Cowparative Legislative Research Centpr is nov
comleting uader its 21l(d) grant from AID This study has av~mined the
creation of linkages between the periphery and the center through ~ore
than lO~OOO interviews with members of parl~ent local leaders and
peasants in t~e three countries The findings are being systewatically
set out in a book-length monograph Nearly a dozen research reports have -
uready appeared (see Appendix C) ipropositions about the nature of
political behavior of rural populations an~ the roles of local political
elites de=ived from the research~ can be s~rized as follows
1 Elected representa~ives play a significant role in the creation and mainte~ance of linkages be~een the center and periphery by developing local political achines in which they function as patrons of their constituents In turn thay s~rve as clients of political leaders of national stature who control central government institutions
2 By atte~pting to establish linkages based on patron-client relatio~shi~s elect~d representatives are responding to public expectations chat their prizary duy is to obtain resources from the center to proffiote local develop~ent ~iany elected repLesentatives spend most of their time on self-help co==unity development projects such 3S the building of schools health clinics irrigation works arid roads because such projects provide
3For exa~le ~ a widely respec~ed a~d useful analysis of rural deve16p~ent in Sub-Sahara~ Africa L~ Lele of the World Bank notes the problems of creating an adoini5~raive infrastructure in the rural areas that is sensitive to local socio-oliical conditions She does not however consider how local leaders operating o~tside of adcinistrative structures ~ night contribute to the developne~t 0 the rural areas See ~~ Lele ~ Design ~ Rural Develop~ent Lessons ~ Africa (Balt~re The Johns HopkiD~ Uciversity Press 1975) r) pp 127-61 i ~
- 6 -
their const~tuents with desired se~ices ~~d a= the sa~e time provide the reresentatives with an orgacization Yhicn can be used as a political base
3 l-tore than 90 perCel1t of the rural population is capable of articulating the p~oblems facing their local co~~ity and two-thirds discuss th~e proble~ w~th their fellow citizens on a regular basis
4 Three-q~rters of the residents of the rural areas can identify the public ofpoundici~s who serve thec--both civil servants and elected represcrtatives--by na~e Most are knowledgeable about the activities of these officials Alcost one-fifth coreover have discussed co~~~ity probl~ ~ith these officials particularly those working at the grassshyroots level Residents of rural villages actually have a higher level of political knowledge than their counterparts in the towns
5 Elections in the rural areas evoke a highly rational attern of voti~g despite the effects of ascriptive or traditional co~siderations Inc~ens are pri~rily evaluated in terms of their record in fulfilling the public r S elpectations of what they should do Elections are essentially referenda on inc~entsr perfo~ce especially their perforwance in the area of constituency servi~es such as bringing development projects to the districts bull
6 Local developcent projects have a relatively high s~olic value generating conscitutency support for local leaders and the central government at low cost
7 These projects help huild a local political infra-structure which can also be utilizec by central govern~nt civil servants to implement other policies designed to achieve rural develop~ent bull
The Icpac~ of Local Politics on Rural Projects
Having explored the developtent of linkages through which the periphery
is represented at che ~enter and through which the periphe~ attemp~s to
share in the ceners resources we now propose to build upon our initial
investigations by e~ing in greater detail the impact of local political
conditions on specific problecs of rural develop~ent We propose to
exacine the develop~ental activities of local leaders ~nd the rural public
by eX2~Ding a saple ot fifteen to twenty smalL~scale developwent projects
in each of ~he three countries which constituted the sites for our initial
8ESI AVAILABLE DOCUMENT 1 ~ - of
- 7 -
study of center-perhiphary relations The appropriateaess of this approach
and the ~ethodology through which it will be ip~emented is discussed in
section II Because the ~ethodology of investigation is in large part
the result of our previous research experience we fizst turn to a revieW
of the existinQ __ ~petence of the Comparative Legislative Research Center
in this area
II GRAXTEES EXISTIXG CmET~CE
In 1971 the University of Iowa received a 211(d) grant to develop
its capacity to do research on the role of elected represent~tives in
the process of modernization On the b~sis of this grant the University
established a research center which planned and carried out a research
project on the role of elected reres~~tatives as links between the central
gove~ent and rural populations in K~ya Korea and Turkey The project -i
served to develop t~e University of Iowas research capability in this
field esa~lished ties between the University and scholars in the bost
countries and generated a large and uniqu~ body of relevant data
In that project we fo~ussed our attention on tbe activities of elected
representatives in their constituencies notably in their contacts with
local political leaders voters and civil servants To determine tbe
nature of the linkage function performed by tbe representatives we
designed our research to explore the subject from three perspectives
1) we eXaojned ~~a ~ubject at tbe grass roots by conducting a series of
sample surveys of 200 to 300 adults in each of 12 to 14 parliamentary
constituencies in each cf th~6three countries 2) we examined the subject
at the center by intervie -ing MIls from the constituencies in which we
had conducted S3mple surveys ~nd higher civil servants with whom they
had contact and 3) ~e ex~~ined the subject from an inter-~diate level
by identifying aud ~terviewing local social and political leaders in
the MPs constituencies We used survey research methods because we
were embarking on the study of an entir~ly new subject for which little
relevant docu=e~tary data existed and on which there were few secondary
sources As a result ~e have unparalleled experience with survey
research in the rural areas of less develo~ed countries
The surveys which constituted the cajor part of our field work were
planned in collaboration ~~th scholars from the host countries They were
carried out in each constituency by student interviewers in the appropriate
language ~re than 10000 respo~dents were inteDViewed for the project
Given the visibility and sensitivity of this undertaking approval for
the research was sought and obtained from the host governments prior to -i
the collec~ion of data ~o objections were raised by these governments
at any stage of the research The data obtained have been made available
to scholars i~ the host co~cries and some of the basic findings have
been published in periodicdis in these countries
The Comarative Legislative Research Center ~hich ad~nistered the
project has aisO developed extensive experience in the study of political
leadership in other countries It h3s obta~ed substantial support from
the Fo~d Foundacion and the Rockeeller Foundation has worked in
collaboration ~~h European as ~ell as Asian and African scholars and
is engaged in a ajor study of the role of elected and non-elected leaders
in the oanag~~t o~~ocial conflict Because it has conGucted research
in a variey of setlngs the Center has an ~ceptional capacity to
- 9 -
determine how the relationships be~een political institutions and
economic p=oble75 differ in develoPed and less developed countries
In the course of the major research projects the Center has administered
it has gained highly specializpd ~p-i ce iI identifying 1Olitical leaders
in a great variety of settings conducting systematic interviews with
them collaborating with scholars in the host countries and in coding
and utilizing large files of data to answer specific research questions
The Center has ~lso undertaken to publish the results of its research
in three fores It issues codebooks to the data enabling scholrrs at
other locations to use the data expeditiously i~ publishes research reports - in the form of Occasional Papers and it publishes a scholarly periodical
devoted to the presentation of research findi~gs to an inteIT~tional
audience
The Center utilizes the data ~ysis facilities of the Laboratory
for Political Research of the University of Iowa and drawS on the unusual
n~er of secialists in comparamptive politics and survey research in
~~e Lniversitys Departmen of Political S~ience The Center itself I
has the services of an administrative secretary and a clerk-typist
~intains its~o~cn extensive archives and its o~~ publications program
It is e~uipped to assist scholars and government officials outside the
t~iversity of Io~a The participants in its p~ojects are full-tioe
faculty ~e=bers ~hose undergraduate and graduate teaching is closely
related to their research As part of the teaching program the Center
has attracted students from the countries in which the research projects
have been conducted these students have participated in the projects
bull J
have obtained training in other fields of political science have received
University of Iowa degrees~ and have ret~rned to teach and to do research
in their own countries
III PURPOSE OBJECTIVES AID METHODS
Purpose of Study
The purpose of the proposed grant is to extend the capacity of the
University of Iowa to determine the political conditions in the rural
areas of less developed countries which favor the establis~ent and growth
of small-scale developoent projects ~e objective is to put the University
of Iowa in a position to assist the Agency in designing small-scale rural
developent projects providing guidelines for carrying out social soundness
analyses of such projects and adviSing in the evaluation of projects
We will discuss the utilization of~t~e Universitys capacity in detail in
section IV below
We propose to concentrate our investigations on the political conditions
surrounding s~l-scale ru~al projects Such projects have distinctive
advantages They waximize the political participation of the rural populations
both in det~~-ining the direction ~d implementation of develop~ent efforts
and in defending the interests of periphery vis-~-vis the urban-based
bureaucratic elite S~ll-scale projects stimulate entrereneurial activity
on the part of the rural citizens and growth of the info~l canufacturing
and service sector Tbey require less lead tice and less administrative
c~erhead to ~eco~e operational than large-scale capital-intensive projects
centrally administered Such projects yield rapid and direct benefits to
1
j
the rural
- 11 b - ~~1
populations and are consistentwith their hUIlaD rights--both
political and economic However~ small-s~le projects pose s~ecial probl~s for administratcrs of developceocll assistance progracs because
they require the donor co assess the local olitics particularl the
rural politics of t~e host country
Develop~c adoinistrators pr~rily conc~rned with assisting rural
populations must therefore recognize the range of political variables
affectL~g these projects Small-scale projects offer great opportuoities
for develop~ental assistance progr~ because they can be easily targeted
to help rural populacions require low capital costs and need no be
concentrated in one or two localities Such projects ho~ever~ ~equire
the a~istrator to have ~re political kno~lecge than large-scale
projects Oil which his priJlary tas~ is guiding the work of other experts
Questions for ~Investigation
To detercine the politi~al cc~diicilS ~st conducive to ~he establ~~ent
and gro~h of scalI-scale rural projects ~e propose to address our inquiry
to the following specific questions
1 To what extent and why co local political leaders seek to establish s~~l-scale develop~ent projects within their co~unities
2 To what extent and ~~y do local leaders other than politicians initiate andor provide leadership for s=all-scale developm~t projects
3 Bot do the relations bet~Jeel different types of local leaders (political and non-political) and bet~eeo these leaders and central gove~ent civil servants posted to the rural areas affect the conduct of develop=ent projects
4 How do existing authority ~eLationships between these different leadership grous and the rural pub~ic affect the organization and operation of s~l-scale develop~ent projects
- 12 -
~
5 lhlt is the nature 0 pclgtlic participation in the establishlent and operatio~ of s~l-sclle projects and ~hat are the outcc=es or this participatioe Gucer w~at conditions is such participation ~ost likely to occur
We seek a~swe=s to t~cse questio s L order to determine the effect of
different co~iigurations of local leadership and public participation on the
outcomes or small-scale rural projects te are particular1y concerned with
the ~pact of these configurations on the rate of econocic growth and the
distribution o~ rIGSlth ithin the loal cOlllUlity ~ on the perce~tions of
s~ll-scale proj~cts by central govern~ent per~oncel and the rural public
anmiddot on the organiation or flture projects
To a~swer these que~tions it is oar intention to study the initia~ioD
izJple=enation ald i1lpact of a salple cpound small-scale rural projects in
Kanya Korea and Turley in the sae cOllities in which we carried OU
our initial icvestigations ~ 1973-75 Tne relationships between the -
various conf~gurations of local leadership and public participation and
the three phases of project develop~ant are sho~ in Figure 1 We will
exa=ine projects to pro~ote the adoption of new agricultural techniques
by s~l and moderate landnolders the building of feeder roads irrigation
ditches and other s~ple infrastructure the organization of fa~ers
cooperatives and other local associations concerned with rural development
the establish=ent of rural health clinicS and schools and the setting up
of craft and service industries
Sites for Study
We plan to return to our original set of localities because we possess
a rich body of relevant data on the extent to which linkages exist between
Figure 1
TYPES OF LFLUEXCE OF C2r~ middotGOVER1iEXT OFFCIALS
LoCu LEADERS 0 THE RURAL PUBLI-C OX THRr~
PHASES OF RURAL igtEVELOPHET PROJECTS
r----------~J C~ltral Gover1~nt Official)-N------- - J
r- Local pOlitical leaders
Local non-political leaders
~l 1---- -
ROJECT nITL~TIOS
Influ~ce on selection of projects
InrI ~elce on location of projects
Influence on policy guidelines for proj eCl
Il
I
a
I I
-I PROJECT I~L~~iATIO~ ~ 1
j Project Organizati I Selection of project
leadership
Hobilization of resources
Mobilizatiol of public compliance with project require=elts
Diffusion of project innovation
Rural Public
I
BEST AVAILABLE nOCUMENT
1 ROJECT IMPACT
Organization of ongoi=g project operation
Distribution of project benefits
Evaluation of project
Public attitudes toward project
-middot14 -
these areas and t~c central p~litical institutions of the three co~tries
and on the attit~es of the rural populacioc local leaders and elected
legislators regardi~g their problecs of develop~~c Since such data
is unavailable for alternative locales a return to the areas in which
we have previously done much research ~ables us to build on a uniquely
valuable body of icformation
A return to Kenya Korea and Turkey is also highly desirable from
the standpoint of effective research organization The Comparative
Legislative Research ~enter has developed close collaborative relationships
with several highly competent social scientists in these countries and
with the academic institutions with which these scholars are associated
We have also dev~_oped cooperative relatio~ships wi~ gove~ent officials
in these countries which should facilicate obtaining approval for our
further work
In proposing to doc~ent the origin i~pl~entation and impact of
one to three s~ll-scale develop=ent projects in each of 35 localities
we have two considerations in mind Firstmiddot because our pr~ry goal is
to deter~e the political conditions for rural developm~Lt we wish to
examine develQ~=ent in as many different settings as feasible Only in
this way can we control for so=e of the major socio-cultural variations
that erist along rural populations in less developed coultries These
include the overall level of econo~c development in the co~unity the
nature of t~e ~digenous culture an~ relationships of authority and the
pro~ty of the comounity to major urban areas and centers of central
gove~nt ad=inistration ~ce our original study sites were carefully
BEST AVAILABLE DOCUMENf
- 15 - ~ ~1
selected to represent these variations ye have concluded that these
35 localities woule be ideal sites for the propose~project Second~ in order to dete~~~ the ~pact of local leaders and public
participation o~ ~ural projects we intend to compare projects 1n which
local leaders and ~ecbers of the public have played a major ~ole with
projects in which they have not We also ~l cospare projects initiated
by the central gover~ent with projects Yhich have been locally initiated
These considerations give us a typology for selecting projects as depicted
in Figure 2
Figure 2 ~
FIVE TYPES OF RU~AL PROJCTS ACCORDIXG TO ~FLUEXCE OF CEITiW
GOVE~1E~T LOCAL LEADE~ AD RLRAL POULATIO~
Level of Participation by Rural Population
Locus of Project Initiation ~
Local Co=unity Central Governoent
BIGd
LOt
1 Projects initiated by local leaders and providing for participation of the rural ~opulation
4 Proje~ts Litiated by local leaders bu~ not involving participation of the rural population
2 Projects initiated by the Central Govern~ent and administered i~ cooperation with local leaders a~d the rural population
3 Projects initiated by the Central Govemlent and providing =or the participation of the rural population but by-passing local leaders
5 Projects initiated by the Central Gover~e~t a~d administered in cooeration Yith local leaders but not involvi~g parti~ipation of rural population
- 16 -
We recognize that the socio-cultural setting of rural develoment
projects varies significantly within and across less developed countries bull
By focussing o~ a representative sa=ple of localities ~ Ke~ya~ Korea
and Turkey we can take account of naoy~ though not all of these variations
While some of our substantive findings will not be directly generalizable
beyond the countries in which we propose to conduct our study we expect
that our basic ~ethods and fLdLgs will be applicable to national and
sub-national settings elsewhere in the developing world This is partly
d~e to the fact that the hierarchy of patron-client relations ~hich we
regard as a critical factor in rural develo~~t exists in ~ost Liles
--It is also due to the fact that the methodology for identifying local
bull leadership configurations auG poundor studying local politics which we are
perfe~ting can be used to assess local political co~ditions in a large
variety of countries even when the ~nditions themselves differ significantly
Methods of Investigation
The data needed to assess the iDpact of local leaders and mass
participaticn on rural dev~lop~nt fall into two categories Some a~e
contained among the data gathered for the research project we are currently
completing Others will require additional field research
The following data are already in hand
1 Data on the social landscape of each loc~l co~nity i~cluding aggregate data o~ level of econonic development de~graphic characteristics political pa=ticiation eth~ic loyalities and rates of socio-econocic change dur~g the past decade bull
2 Identity of local leaders including both political and I-on-political leaders and both legislators and other politicians
3 Perceptions of existiag probl~ and their possible solution a~ng
l)tS r AVAilABLE DOCUMENT
- 17 -
general public local leaders and civil serv~nts
4 Level of political kno~ledge among local citizens and local political leacers
5 Political and social values a~ong local ci~izecs and local political leaders
6 E~~ectacions of leadership roles among the local public and elected and non-elected leaders
7 Patterns of co~unication ~ong local leaders and between local leaders and the central gove~e~t
These data ~hich ~e already have in hand can be subjected to analyses
which ~~ll provida the foundation for our further work on rural develop~ent
projects A part of our work therefore will consist of fu~ther analyses
of existing data
New data of the following kinds are also required
1 Doc~entary data on the origin and evolution of particular smallshyscale develop~cnt projects in the rural areas
-2 Data on project costs boih ~itial invest=ent and recurring
operating costs and data on project ou~puts ie pupils in schools Ddles of road coopleted nl~ber of hospital a~ssions production of factory agricultural productivity
3 Data on project organizatio~ n~~r of local inha~itants participating in establis~~ent of projectt nuober of local L~habitants subsequently involved in project
4 Data-on the pe-cetion of projects by local leaders emers of the local public a~d by civil servants data on the perception of how each project ~as initiatec organized who benefitted and what its future implicatio~s are
These types of data will requ~re field work involv~~g both docucentary research
at the relevant ~istries of the central government and in local goverr~nt
authoritieS and inforoal open-ended interviews with local political leaders
elected representatives and other local leaders who~ we had previously ~
interviewed in a s=uctured syste=atic =aoner
BEST AVAILABLE DOCUMENT
- 18 -
Grant Organizatio~ and T~etable
We propose co undertake the research outlLled above beginning in the
fall se=ester 1977 Dur~g that te~ Professors Barkan and Kim as
principal investio~tors for the neo1 proj ect will contact their collaborators
in the host co~~tries They ~~ll also seek the collaboration of an additional
~rican scholar specializing in rural development with the aic of getting
additional advice on sources of data and suitable indicators for the
~easure=~~t of rural develop~ent projects
At the end of the fall seQester Professors Barkan and Kim will make
a trip to their research sites to disc~s details of the research organization
with their collaborators in the host countries and to recruit student
assistants Tney will devote the spring te~ 1978 to further analysis
of a~sting data at the University of Iowa
The gathering of additional dita L~ the field will begin in the s~er
of 1978 Professors Barkan and Kio will direct this work personally We
eAect that its coopletion ~~ll require three to six months This work ~1
involve the evaluation of central and local gove~ent reports on the
projects uncer investigation extensive on-site observations of the projects
and oen-e~ded interviews with the principal participants Our principal
respondents ~i1l be the local leaders and elected representatives we
have previously identified in the localities in which we have worked and
a sacple of active participants in the particular dpvelopment projects
being studied ~~ere necessary and apropriate surveys of the general
public will be uncertaken to assess the inpact of a given project on the
rural por)r We do not however leed 0 conduct systeAlatic sample surveys
BEST AVAILABLE DOCUMENT
- lY -
of the rur~l population as We did in 1974
In the organization of this research project we intend to reconstruct
the rese~rch tea=s ~e e=ployed during 1973-75 We shall again seek the
co11abo=~tion of P~ofessor Sc~~S-7o~g Pai of Seoul National University ~
Professor IIiCr Turan of the University of Istanbul and Professor John J
Ok~u of the U~iversity of ~arto~ S~ilarly w~ contemplate directing
the field research fro~ he same acade~ic research organizations we previously
used Seoul National U~ive~sity th~ ~~iversity of Istanbul and the
Insti~ute for Develop~eut S~udies University of Nairobi As before we
will tra~ students f~oo these institutions to serve as interviewers
The analysis of the open-ended intervie~s and of docUQentatio~ on
I ~ural develop=e~t projects will be a ~ore t~e-co~s~g process than the
analysis of closed intervie~s It will reqrire a high cotnittl~t of time
fron the principal investigators )e e--pec to hold a conference at the i
U~iversi~y of Iowa 3lO1g all the principal )clticipa~ts in the resea~ch
project d~=~g t~e spr~g 1979 to evalua~~ the newly collected data
le e~ pect to be able to vr-ite reports of t~ results during the Sl1~er 1979
(see Figre 3)
IV LlX-GS ~1) U~ILIZATIO~
At the e~d of the grant period the Uti ersity of Iowa will be able to
1) advise the Agalcy 01 the design of s~l-scale rural projects to assist
the rural poor 2) provide guidelines for social soundness analysiS of
small-scale projects for the rural areas of U)Cs 3) consult w~th the
Ag~tcy 01 the evaluatiol of rural projects ~d 4) provide LDe governments
BEST AVAILABLE DOCUMENT
)ATES
~lll
1977
~inter 1977
iprilg 1978
il mer 1978
~all
1978
ipr~ng
1979
Imiddoter 1979
University vf Iowa
Plutlning of rural develo~rent project
Barkan Kil
Alalysis of existing data
Barkan Kia
Data processing
3arkan Kin
1
I
- 4 -
Figura 3
GRAT TLfETABLE
SIT E S
Kenya Korea Turkey
Preparation of field research ural developH~lt project cOlisulta~io~ a research sites
BarkanOku=u Ki~Pai Tura~rkanKi~
Preparation of field resea-ch
Tural
Field research on rural cevelop~~t projects Bar~lOk~u Ki=Pai Turan
Co=pletion of Co=pletion of field resear~~I~ fiald researcr
Ok~u i Pai bull
f Coopletion of field research
Turan
Data analysis conference a~ong all princial i~vestigators at Un~versity of Iowa Barkan Kil Oku=u Pai Turan
Co=letiol of r~ral develop~ent
project
3arkan Kiz
BEST AVAILABLE DOCUMENT
I
- LL -
~ith speciali~cs o~ ru~al developcect ~mong their own citizens ~ho ha_
partcipatcd ~s collaborators in the Iowa projects
In the proposed project we Will test a series of hypotheses cOlcerning
the political cOllditions of rural develo=ent which run counter to CODOn
assuoptions conccrnir3 t~~ influence of rural politics on project effectiveness
As a result ~e ~dll be able to assist the Agency in designing and evaluating
such projects froe the point of V~~W 0 their political viability The
hypotheses We will test sugges~ t~at the patron-clie~t relations existing
in the local politics of zost LDCs are not necessarily i~pedients to rural
develop~ent but are aspects or the political structure which cal be used to
facilitate s~ll-scale ru=~ projects which will raise the standards of
living of _ ~ rral pomlation - As ~ result or our stuey we expect to be
able to P~-O~t the local leadership confi5~rations ~4d the relationships
between local leaders ald rural poclations ~nich are oost conducive to I
successful develcp=en efforts We believe that we will be agtle to perfect
a cat~odology for identifying the political conditions for rural develop~ent
one ~hich is transferable pound~oo the countries we have specialized in to
other LDCs
We proo~ to develop specific guidelines to assist administrators
charged with selecting evaluating and =onito~ing rural develop~ent
projects to ~szess t~esc rojects in tares of their-social and political
viability he outco~e of such projects is dete~ned not only by the
efrectiv~nass ~~=h ~hich they use scarce econo~c resources but by the
~~er L~ w=ich they e~gage the suppprt of local leaders and rural
po~ulatiocs~ by thei= effect ou social a~d econo~c equality ~d by
D[~T AvAlLA8LE DOCUMENT
- 22 -
their consequences for hwan rights ~Je plan to establish criteria by
middot~hic~ the probable outco~es of projects in these social terms can be
anticipatec
The study ~e propo e will be undertltlken by faculty at the Cniversicy
of lowe in collaboration with faculty a other ~rican institutions and
institutions in the host countries We will build on the extensive contacts
between the Co~perative Legislative Research Center of the ~niversity of
Iowa end other instituions with ~aich ~e have worked One =ajor result
of our collaborative study will be the existence of a net~ork of compe~ent
scholars both in this country and overseas experi~lced in ~orking together~
shar~g a co~on teaching and training experience i~ close contact throu~~ the
effective publications progr~ developed by the Co~parative Legislative Research
Center T~e e~~ertise of this group of individuals will be ava~lable to
oteer scholars to the Agency and ~o L~C governments for specific policy
advice The eXertise developed as a consequence of this project will
extend beyond the ~tionals of the countries ~volved since the univ~sities
engaged in ~e project attrtct stude~ts fro outside heir own countries
For ey~=ple the teaching ~d research progra in the Depar~ent of Political
Science 0 theUniversity of Istanbul heavily affected by the participation
of its facul~y ~e=bers and graduate students in our projects attracts students
throughout the ~middot1iddle East for Whom the University of Istanbul is the iajor
institution ~pound ~igher education in the region rne Institute for Developmen~
Studies is si=ilarly a focal point for students and faculty in East and
Central Africa Seoul ~atiocal Unive=sity attracts students froo other
Asia~ co~tries~ In this way the capability developed among the participant$
BEST AVAIL~BLE DOrUMENT
- ) -
in our work is diffused widely To the exte~ that the abili~y to assess
rural develop~ent p~ojects in teres of their social soundness is increased
both in the United States and in ~o~~tries r~ceiving develop=en~ assistance
the cap3~ity of racipien~ countr~es to absorb aid is ~creased
We propose to draw up an inventory of personnel available in ~~e
Cnited States and in other co~~tries who are able to consult with developen~
a~nistrators on the design of rural development projects and on their
evaluation We ~~ll draw first of ai~ on individuals w~o have been
directly associated with our ~ork in the past or on ~he proposed project
and ex~~~d the list to include graduate students and gove~ent officials
with who~ these individuals have wor~d
tole Yill utilize tha existing publication program of the Center
dercribed above to disse~inate our findings The Center has specialized
oailing lists of interested individuals and institutions in all parts of -i
the world and its reports can trerefore reach the ~st relevant audience
jirec~ly ~d re~~arly
BESl AVAIL~BLE OOCUMENT
CONTRACfjGRANTCOOPERATIVE AGREEMENT DATA SHEET
INSTRUCTIONS fjDW Complete 4 copies of the form Original SERCMSDSUP Statistical Section Copy Copy 2 SERCMSIiUP dministrative Copy opr 1 Contracting Officers COy COP) 4 SERCMSDSUP IUmin (Suspense) Copy
Missions Complde 2 copies oi the form Origin31 SERCMSDjSUF- Statistic31 Section Copy 3n~ Copy 2 Nill be ret31ned in the Missions
PART fA
ConU3lttorGranrce Name
University p~f~I~o~wa~ __ -r~ ____ ~~~~ __________ -~~ __ ~~~ ______________ ~~~~ Plorr Numt-er ApptopriJtion Number Allotment Number Project Number
930-0090-3Q13411 A5 72-111l0216 146-30-099-00-20-11 930-0090 Project Title
So~ia1 and Potitica1 Aspects of Development - Conference to Report Research Findings Amount of this Plorr I Projecl M3nagers Name and Offire Sytlbol
$10397 (increase) PDPRCP Jonatlan Silverstone Contr3ctors D-U-N-S Number
Ncgwatocs TYJlCd~3meJ j) Signature I l ~ jIf- bull G HtJ--ft u l IVmiddot
D~e
L - f - J ContractGrant Officqs typed Nailllt Signalure LJ d I -r-
plusmn t 3i-alflpta (( BLvle~ 1 I~ PARTm
ContractGranl Number
AID CSD-3294
Effeclive Date of Docum~nl Signalltre D3t~ of Documenl
Lf---C yen-~-gl tIost Courtry Institution (U iwrsity contract ONL Y)
Campus Coordinator (Uniwr ty i contract OiiL YJ
PART UL Descriplion of Cor-tractGrant P1use X ONL Y ONE item under each headiZg IF THEltrease CifYmC~e bolh ges I 30~~ O~ Nol to be completed for Amendmenl or Modlfic3lion AJigtns I III
J 710gt I I V ~ I
MOl - TYPE ACT A~ 0 G unsolicited Propsll (AIDIR 0 C Individual (Non-pe~nal senice)
~ O Cortra lGrantl ooperative Agreemenl 73101-SO(b)(6raquo 0 D Individual (ftrsonal Service)
tJl T3sk Order ( A)middot 0 H Procurement 10 be Perfocm~d by the Conmiddot 0 E UniversilyOther FAuC3lionailnSlitulions
D 2 Work Order (IQC) Ira~lor in Person (AIDPR 0 F Non-Profil Organizationlnslitutions (other
D 3 Delivety Order (Requirements) 73101middotSO(b)( Iraquo than Ed or PVO)
[j 4 Purchase Ordcr [J I Sole Source (AIOPR 7-3101-SO(b)(4)) 0 G Private Volunury Organization (PVO)
If I 2 or 3 1Lle an ~ compllle M 12 ON Y D J Imp3irmenl of Foreign Policy Objectiws 0 H International Agricultural Research Organj-
M04 - CONTRACTGRANT TYPE
o O MOA (BOA BMA etc)
o I Fixed Price (Specify fFP FPRD FPEPA FPI) _____ _
(gtIDPR 7-31 OJ SO(b)(7raquo
OK B(a)5eJection (FPR 1middot1713-1)
o L Grant iH1ndlOok 13)
o M Do Nol Ue
D 2 Cosl Reimburemenl (S~cil) CR CPFF 0 N Cooperative t~reement (Handbook 13)
CS CPAF CPIF) ~ 0 O Small Business SeImiddotAside (FPR 1middot1706-8)
o l Cooperative Agreemenl ~ 0 1 Overseas Procuring AClivilies (AIDPR
04 Grant Gener31 Supportmiddot 0U ~ 7lIOI-SC(b)(2))
o S Granl - Specific Support ~ ~06 E SER VICE
g ~ ~~t ~~(d) ~~ ~~ ~ eci~a~~~~~ogram Projeci
o amp IQCs ~ ~ relampted excepi A amp E Services)
o 9 Host Counlry ContraclGrnnt 5lJ C amp E Services
middotComplele ONLY through ~Sl ~~ 0 D Construction
M05 SELECTION PROCEDURES 0 E- Reseuch
o A Formally 3dverliscd (IFB) (A1DPR 7middot24 amp
FPR 1middot24) ~ o B Negoli3ted Price Compelilicn Gencr31
Procedure (RFP) (-JDPR 7456)
Dc A amp E (AIDPR 7410)
0 D Ed Inst andor Inl1 R~arch (-JDPR
74 5)
o E Collaboratoe Assisunce (IDPR 7458)
C F Predominant Capability (IOPR
73IOI-50(b)(l)
AID 1420-49 (179) - Page I
D F Technical Services to AID (other than trainmiddot
ing usually o~ating expense)
D G jraining SetVice for AID
o H Equipment Materi3J~ Supplies Commodities
D I Translation Service
~07middot TYPE CONTRACTORGRA-nEE
o A Firmmiddot AU profil-rn3king fUms (other than
Aamp E)
J e A amp E 8r~
zalion
o Public Inlmlational Organizations (UN
Agencies ICRC Wocld Bank elc)
(H8 J 3 Chapt~ S)
M08- TYPE AW~RD
o A S8 Sel-Aside - Awarded to Non-Minority
o B S8 Set-Asidemiddot Awarded to MinXity
o C_ S8 NOI Set-Aside - Awarded to Non-Minority
o D S8 NOI SeImiddotAsidemiddot Awarded 10 Minority
o Eo amp(a) S8A Awarded to Non-Minority (Womerl-
Owned Veterans etc)
o F 8(a) S8A Awarded 10 MinorilY
o G Personal Sen-ice ConlrdCt bull Non-Minority
o H IeJSDnal Service Conlract - MinorIty
o I Individual NonmiddotPersonal Service Contraci -
NonmiddotMinority
o J 100Jigtiduai NonmiddotPersonal Service Contracl -
Minorily
o K NOI Small Business (Univ NonmiddotProfit Large
Firms) Non-Minorily
o L- NOI Small 8usineSl (Univ Non-Profit Large
Firms) Minorily
o M US Govcrnmlnt
(Connnued on Page 2)
BEST AVLABIE DOCUMENT 1 I
--
ua ) R I GI NAL 9 bull
MODIFICATION or GRANT PAGE 1 of 2
AH 1 2 Effective Date 3 Grant No 4 Effective Date
Amend_at Ro 5 April 15 1981 AIDCSD- 3294 8-11-71
-s CRANTEE (Name and Addrea) 6 Administered by -Professor Gerhard Loewenberg -Office of Contract Management Cbrnparative Legislative Research Gente Central Operations Division Dept of Political Science am Branch University of Iowa Agency for International Developn~nt Iowa City Iowa 52240 Washington D C 20523
7 PIO No 930-0090- 3013411 A5 8 Previous PlOTa -
Appropriation No 72-11110216 93i-1l-995-l36 930-11-995-136-73-3078103
Allotment Symbol - 146-30-099-00-20-11 wunt Obliga ted by this ~ndrnent - $10397
The above numbered Grant is hereby modified as follows
1 Anotmt obligated prior to this rurendment 2 Amount obligated by this amendment 3 Total obligated anount (1 amp 2)
Delete the amJmt $465000 and substitute in lieu thereof the ammnt I$47S 39-7 ~
FUNDS AVAIrABm
~~ - APR 13 1981
PrO~A~~5iors
$465000 $ 10397 $475397
OffiCE Of fIN~(1 ~~rE~E~T __ _ 10 This amendment 11 entered into puruant to the authority of the Forelgn
Assistance Act of lS~l as amended Except aft hereln provided all terms and ~~ndi~ons nf the grant rcferpnccd in Block 13 remain unchsnged and in full force and ~ffcct
11 original and six Crantee 18 requlred to aign thh document aad return 1- eopics to issuing
ffiee
~~~ or printed) BUSINESS MAHAGR amp bull
Tille TREASURER
UNITpound) STATES OF AHERICA AGENCY FOR INTERNATIONAL DEVELO~NT
BY_-1(1o-_1lt--= 13middot~_1_~ __ K R B1uteau
(Name typed or printed)
Tltle~ ____ G_r_a_n_t __ O_f_f1_c_e_r ____________ __
D3tC APR 2 J 7997 Dolt 9 APq 1981
BEST AVAILABLE DOCUM NT ___ 0 HLGlNAL - I 1 J 1 ~ )
- 2 -
AID ftmds in the am)tmt of $10397 are hereby provided for the activities lmich are described in your proposal (including Budget Stnmnary) entitled CDnference to Report Research Findings on the Study of Political CDnditions for Effective Small-Scale Rural Assistance Projects in Kenya Korea and Turkey dated February 17 1981 and made a part of the Grant b reference
BtTDGET StMMARY
Line Item
Travel
Per Diem
Other Direct Costs
Less existing 211 (d) grant funds
Total Amount Obligated by this Amendment
Estimated Costs
$ 5888
5100
_ 2500 $13488
_ 3091
$lO39
Note Indirect costs or $395086 associated with these activities will be contributed by the University of Iowa
BEST AVAILABLE DOCUMENT
~RIGINAL
- CONTRACT IGRANTCOOPERA rIVE AGRElEMI~ SERC~SDSlP Actio) Monitor
SERCMSDSUP Action Office
I
INSTRUCTIONS AJDW - Complete 4 copit of tlh fonnmiddot Orisina iCMSDfSUP Sutistical Section COP)middot Copy 2 SERCMSDjSVP Administrative CoP Copy 3 Cont-acting Officers COP) Copy 4middot SOSUP Admin (Susptnse) Copy Missionsmiddot Complete 2 copies of the form or~aI SERCtSDSUP Statistical Section Copy and Copy = wiU~ retained in the Missions
0 PART IA
Effective Date of Document tJ
Delivery Order (Requirements)middot
o 4 Purcluse Order
bull If I 2 or 3 have an bull X compl~te M I 2 ON L Y
M04 - CONTRACTGRANT TYPE
o O MOA (BOA BMA etc)
o 1 Fixed Price (Specify FFP FPRD FPEP FPI) ___ _
o 2 COli Reimbursement (S~cifY CR CPFF CS CPAF CPIF) ______ _
o 3 Cooperative Agreement
o 4 Grantmiddot General Support
o S Grantmiddot Specifi Support
o 6 GraDt 21 led)middot
o 7 Do Not Use
o amp IQCs
o 9 Host Country ContractGrant
middotComplete ONLY through M 5 1
MOS SELECTION PROCEDURES
o A Formally advertised (IFB)(AJDPR 7middot24 amp
FPR 124)
o B Negotiated Prire Competition General
Procedure (RFP) (AIDPR 7456)
o Co A amp E (AlDPR 4 I 0)
o D Ed Ins andor Intl ReStalch (UDPR
7457)
o E Collaborative ASSistance (AIDPR 7458)
o F Predominant Capability (AIDPR
7-310l-50o)(3)
AID 142049 (1-79)middot Page J
o H Procurement Co be Performed b~ the Conshy
tra~tor in Person (AlDPR
7middot3t OI-SO(b)(Iraquo
o I Sole 5gturce (AIDPR 7middot3101middotSO(b)(4raquo
o J Impairment of Foreign Policy Objecdv~
(AIDPR 7middot310 ImiddotSO(b)(7raquo
o K 8(a) Selection (FPR 1middot1713-t)
o L Grant (Handbook J 3)
o M Do Not Vse
o N Cooperative Agreement (Handbook 13)
o O Small Business SetmiddotAside (FPR 11706-8)
o P Overseas Procuring Activities (AIDPR
7middot3101middotSO(b)(2raquo
M06middot TYPE SER VICE
o A TtJining of Participants
o B Technical Assistmce (Program Project
related exc~pt A amp E Services)
J C A amp E Services
0 D COltl~ruction
0 E Research
0 F Technical Services to AID (other than trainmiddot
ing usuaU Y operating ex pense)
0 G Training Service few AID
0 H Equipment Mat~rials Supplie~ Commodities
0 I Translation Service
07middot TYPE CONTRACTORGR TEE
Firmmiddot All profitmiddotmaking fu-r1s (other than
AampE)
o 9 amp E Firms
I Prcct NumbcT
I
Contactors D-U-N-S Numbcr
I) -S--f(j
o C Individual 0-lon-~rsora1 service)
o D Individual (Pet-sonal Service)
o E University lOt her EduCltionaJ Institutions
o F Non-Profit Organization Institutions (other
than Ed or PVO)
o G Private Voiuntary Organization (PVO)
o H International AgricultwaJ Research Organmiddot zation
o I Public International Organizadon~ (UN
Agencies ICRC ewld B3J1k etc)
(HB J 3 Chapter 5)
M08middot TYPE AWARD
o A SB SeImiddotAsidemiddot Awarded to Non-Minority
o B SB SetmiddotAside bull Awarded to Minority
o C SB Not SetmiddotAside - Awarded to Non-Minoril)i
o D SB Not SetmiddotAside - Awarded to Minority
o E ~a) SBA Awarded to Non-Minewity (Womeli
Owned Veterans etc)
o F 8(a) SBA w-rded 1o Minority
o G Personal Service Contractmiddot Non-Minority
o ~ Personal Service Contnct - Minority
o I Individual Non-Personal Sence Contractmiddot
NonmiddotMinority
o J Individual Non-Personal Service Contractmiddot
Minority
o K Not Small Business (Univ Non-Profit L1lge
Firms) --vn-Minority
o L Not Small BUSiness (Univ NonmiddotProfit Large
Firms) ~inoriy
o M VS Government
(Continued on Pcge 2i
t bull - t ~ J f q
ORIGINAL bull MODIFICATION OF GRANT
1 2 Effective Date
Araendllent Ro 4 12-2-80
s CRANTEE CHace and Addrels) Professor Ger1ard Lo~middot enbelg Comparative Legislative Research Deartment of Political Science The Lnivp-rsity of Iowa Iowa City Io~a 52240
7 PIO No NI A
Appropriation No 72-11XHl26
Center
Allotment Symbol -426-30-099-00-3~-71 Amount obligated by this urendment-O- I
3 Gnnt No
AIDcsd-3294
PAGE _____ 1 _of-L
AlI 4 Effective Date
8-11-71
~ Admlnlltered by -Office of Contract Management Central Operations Division OTR Branch Agency for International Development Washington DC 20523
8 Previous PIOITs -
931-11-995-136 930-11-995-136-73-3078103
9 The above numbered Grant is hereby modified as follows
Supplement to Grant
Change the duration period sentence to read
The Duration Period for this Grant shall be August 11 1971 through December 31 198]
1 Amount obligated prior to this amendment $465000 2 A~unt obligated by this amendment -0-3 Total obligated amount (1amp2) $465000
----------------_- - ------- ----_- ------ 10 Thh lImcndmcnt is entered inlo punuant to the authority of the Foreign
~ Assistance Act of 1961 86 amended Except a~ h~reln Z II provided all terms and condi tions nf the grant referenced in Block 3 remain ~~aunchlinged and In fu1l force and effNt cnltUI cJ)za 11 o 4 J bull
Et~ ai~a gtUoItshyc Z P=u
original and six Grantee t requi red to sign this document and return 1- eopies to 1Bufng
office
~ 12 GRANTEE TES OF AMERI CA
(Name typed or printed) bull
TJlle Director Comparative Legislative liecearell CeQtoQl
Date 12880
------------------------------------
ONAL DEVELOPMENT
By ----~--~~~~---------------------
prinled)
Grant Officer Title --------------------------------
J)oll( 12-2-80 -----------------------------
BEST AVAILBLE DOCUMENT i je
- 9 -
cesigned tgt trrtin US and foreign-born st1lcents in le6islati-~e rese=z-cndeg
Sttde1fs ~dll be tdTi tted cr11ally to 9 proeragt iihicn ~iould irclude a
tro~ot~h grounding in the r thods of cczparative aralysis the S1ostance
of conparatie politis g-mel31ly end the corrparative studJP of
legislative behavior in 9articulal The Uni-ersity intends to associate
tnese studelts directlr - rith research in Ttlhich faultr 2Cbers are
engaged to encourage thea to dra- U90n the skills end resources available
in this field il ra1Y departnents of the University to enable them to
spend up to one year in field research and to have thel4 snare their
findings middotrih their stmiddottidei~t and faculty colleagues Tle prograII will also
involve foreign scholars middotno are expert in the legislative process of
t3ir o- n countries in the tcaciing fgtimiddotogren both by holding -fisHing
a=point~elts at t-e University of Ioc1d by sUgervisi~g field research
c R d - t- ~ 1 rec C~ of Esta~lis~ed Scholars Tne University of Io~~
plals to extend a1 in-itaticn to seieal foreign scholars duri1g te
gle1t p2riod to patici~te in a coparative legislative researc~ seirar
duriig their visit Their plrticipat~ion middotrill edd 3 lL1iqte diiensicn to
the seiiral hceuse cf theh ~1o~-rlecge of the legislature in their own
C01-try BCmiddot2~ J1is Gemilr -ill be dealing -lith the nos-G current
reseaCIJ o~ l0~ ~ltmiddotJres as ell as discussine desigs for reseach to
fill in cowleuge of legis1timiddotre 1ehclicr -re believe
tret it ill be a l2~lilg experience for all the pclticira1ts--incltcing
BEST AVAILABLE DOCUMENT 1]7
- 10 -
Ima rill lOrk collcboratively ~ith the fOrsig1 5cbolars to design a1d
carry out P reseach pruject These projects Till cc~tribute to the
retlaininB of foreign scholars and nill also add to cur mmiddotm and8rstanding
d Research The 9rinciplI enphases in cesenrcl rere cutlined in
Section III above ie to focus en con-9arative studies in iihich
legislative cehaviol can be helpful in explaining the scope of politics
the style of governcent a1d the legitinacl of regiles Variables hich
will be studied Iost closel~r ircluue tbe persistence of institutional
norms in the legislature oyer time the relationship o~ the legislatue
to ether institutions in fornirg public CC1Cepticns of politics and
the histOl~ical context detelini1g public expectations of the 12risleture
This resea~ch nag both academic and practical objectives
Academically it promises to tie legislative behavior research to other
major concerns L1 pcliti~al science such as research on systeJ stability
and paricrJance Its general substaltive eojective is to assess the role
wtlichlegislatures Illay L1 determining the capability of political
s~lstems especially their ability to deal ~middotith soCial change
Vractically the stu1y ~y offer guidance to polic~Y-Dakers on
t~1e role ~ hich legislatures rray be ~lI-pected to pIa)- in neimiddotrly established
political systelt ald on ~hc efcrrrs in established legislatur~s -Thicn
rray be required to achieve specific syste~ effe~ts The study ~dll
Nquire the assccioticn of rembers of legislative staffs a1d 2cademic
colleagues in the s~eLal nations lmder nvestigRotiop plovidirg training
fot ~ll r)f them i1 leeis1ntive re3Clrch ~ri facilitating a valuble
BEST AVAI~BLE DOCUMENT
ll-
of Iml3 ~ill LS~ glmiddot~t f~ds t~ estaolish a data archive to begin to
bring tb~ edtirg legi31ati--re studies tog3tller at a single locaticn
end to =afe t~e ac~essible to tie grc~ring m~er of interested
scholars in t~i3 field PerSCIlllel of tbe Data Archive ~rill searcD
broadly fo all a-reilable data on legislatures in the possession of
ildiviiual researc~rs i11ese data sets ~-Till be acquired refo~atted
for ease in alelrsis a1d stored in Archive Tne Archive ~~ll
asserble tie etel~ Gata O legislative organization ald procedure the
socialization ~~ recruite~t of lzgislators legislative decision-
makLg pccesses 2d legislative outputs To facilitate access to
the data a ~middote-riemiddotrlt11 syste middoti111 be cesigned that will 2011001 r-=searchers
to find ~iccJ ata sets that c~mt2in inforration lelefalt to their
researc1 po)2e5 RibEcg-aphic citation3 cnd abstracts of research
reports on le~i51e-imiddote oebio ~~ill be gathered and a biblicgraphic
retrieval sys tC idll a Geielc9d to aid esealcJers
cooioinet-e1 ~~as n -ie are= of c~rarativa legislatile studies is
t~3t because 0 si~~e iJS in~ti tuticn ias tce necessarJ expertise
of ccrparati ve
1-=gislatiY2 tcie3 8forts of the most conrpeteat ace interested
BEST AVAIL~BLE DOCUMENT MCi I I yl
12 -
oz~ the tr)middote grantee institutions and otter associated scholars It
~ill ayise t~e pa1tee i1stituticns on SllC catte-s as roritorirg
activities at the t~re~ unive~sities~ evalu~ting rese~rch frr possible
=middotclication sJ--sidies rld ether ratters related to infor~atioTI
disse~~ation coordinating research efforts to avoid duplication
ecilitating excha1ges d sttde~ts ad faculty members ~-iitb foreign
nsti tutions i~en desirable tryi1g to till lacunae in cLIricu lUn
helJilg to arralge cmferelces and sy-posia and generally trJing to
9cote te ~eielcp~2nt of cOlparatile legislative stucies as a
Gra1t L~HS idll be ~sed to support the Univ2rsity of Io -a IS
nrticipation in tre AdisorJ Co-i ttee t1e developrrErt of conferenc=s
elsEfhere il the US arHl over3eas i1 relat2d facets of leeislaive sttdies
Edstng iersonJ~l al~d fa-ilities at the University o= 1oa previde
iaculty facliiies to aid rC3emc~ trailg aPd skill in 21c~ivaJ middotork
BES~ AVAIL4BLE DOCUMENT I
r ~-)
- 13 -
Six ITe-bers of t1e faculty of the Departent of Political Science
at the Unhe ity of Im-ia are presently engaged in legislative research
To merbers ot the Departllent of History are engaged in research on the
British Parlia~ent L~ the eighteenth ~~d nineteenth centuries Fer the
past six years an adv~~ced se~inar has been offered by ~embers of the
Department of Political Science and the Department of Histo~J on
comparative legislative behavior This exte1sive collaboration iiill
ma~e it possible to develop a fully inter-disciplinary program for the
students ~~d visiting faculty In addition faculty ~emcers in
Scciology interested in organizatien theory and in the College of Law
interested in legislctive processes provide furtber e-pertise ava_ilable
to students interested in tee study of legislative behavior The
presence of these specialists on th~ facult~r is reflected in the
excensive librarJ al1d otler data resources existing at Iowa in this
field
The Uniersity of Ima offers an unusually extensive program of
trainL~g in research methods Four ~e~bers of t~e Department of Politi~al
~cie1ce teach in the field of research nethods Courses jn statistics
ca1 be taken ill the Dep~rtents 01 Sociology e-d Educational Psycholcgy
Llis prcgr6l provides a verJ solid grounding il research training and
data analysis
bEST AVAILABLE DOCUMENT
e ~
- 14 -
Y labCrato~y for olitical Pesearch is the reseacc1 md research
tlairirg facility of the Departe1t of Political Sci-lce Gcadvate
students receivo extensive res~arch experience through 1or~ing in the
La oratory bull The Lacoratoy is also a1 integral part of the trainirg
o~feed in ccurs~ T~middotO~ for graduate students
The full-time sta~f of the laboratory includes a director an
assistant director a t-=cl1ical cirector a supervisor of study
t1hteen graduat~ students - rf1rk in te Laboratoy receivLLg teining i~1
~a~a collecticn ~~i data e~alysis Tbe facili te5 of the La)oratorltJ
icluoe a oard eJcerline printer ccnnected to the U1iversitys
dis~ and tape storF-ze for d~ta
The pogral of trailing ia coparative legislative reseC_cch ~ill
relr heavily en t LaOerltcLJ- for taching graduate stucents Visi tine
fc111tr lYe~bes iill be able to utilize tbe facilities cf the Laboratory
gt IOra ~as sFcial ccrpetence in prOCed~les for
ccq ter ogagtlizetion of d~ta Ja1ks ~d fOi the p~ocGssing of large data
sets as well as iJ the sttdy of naticnsl end st~te legisltllres Tile
BEST AVAILABLE DOCUMENT
- 15 -
Ile Univelsity of 10Ira will eadnister- the Grant thJotg~ its normal
a)1 iristrative char-l1els ad i1 Eccordance imiddotlith its ncrTal olicies and
operatirg procedures 7he Director of the gr~l1t-s~~ported program
Hill be a senior faculty eriOer of the Gniyecsity of IO~-ia -with extensive
expe~ie~ce in the subject field Associate Directors w~tb similar
qtalifications -aill also be appointed 7he Director- and Associate
Directors ~dll serve as eibers of t~e Inter-University Advisory CC1gtr)ttee
established to cooidinate _u bullbull ID gra1t-stpported programs at IOia Dul(e
lniversity a1d the University of Ha- aii Ll1 this field These relatiol-
ships are i~dicated in tee follc~dng a~inistrative organization chart
IX Ul~vsity Ccntri1uticn
T1~ ~h-ersity of IQ(a aSSures ALD that this Grant middotiill not
replace existing ftnds for STr current activity and imiddotrill be additive
to existing prograrrs of tCe lJniversity In direct sp~ort of this
Grat ttc University ~ill provide a) Acmi1istratile costs including
tie of senior officers of ttlt University b) Office ~ld research space
ald library and cor-puttr facilities c) Provision of a1cillamiddotCjr 1niversity
personnel -or consultation o~ ~middotjQrk nth the progral
X Reports end 5evie~-Ts
There i-ill be sub~itt-=i al arnual t2ctnical report for the purpose
of AID s revie- of activities under te Gant Tnis idLl include
a11 e-llation of prcsr~ss aidnistratve ar_c fiar~cial corsicer~tior~s
p~s cr tr foJlJ-middotire ear ~i disctlssics of the ossible l~lizaticn
BEST AVAJLIl8E OOCI1MrNT
~
- 16 -
A~~inistrative O~ganization
Ice Board of Regents of tle State of Im-la
-Iesicent of the University I
1 rOfcst Jf t-3 University
Den College of Liberal Arts
r Chailan DcptiEt of olitical ScieJce
Inter-G~iversity
Acisorr Corcittee
PcgrG21 Director Associate Progra~ Directors
Liaison Arcrge~~nts d ~h I I~~erested Plcfessiona1 I Perso~el j
I _
I 5cu1ti (full or PmiddotLG-tire l Asscci~tes a1d otllei non-Io~il
3ecip5ents of Gr3-1t stPPC1t Gr~cue~~e S t1~lcnts St2~retQi~S1 Data Lbed~1 31
Ln 18 r1icia 1
LO1t c~lce Factcj~1 ts
BEST AVAILABLE DOCUMENT ( ( V-t
- 17 -
of te eo17i~g cCpterce br A I D rLld ethers In addi tion there
aS3essr~ents of the gr31t
middot l ~ lI ~ _ _ _ co~~~r~~ing ~~iversiti~s md tne rrctitoring ALD office
7re l~yersity of Ie~middot~ budget of $26500 is to be deveted to the
cemiddotelgt~e~ of lstituticnal cefete1Ce in comparotive legisl~tiye studies
~t Iomiddota c t~ the exalsi0 ot a date b~L-lt ~ hich 1fill be utilized as
a ecle for icrec3ing te scope of tbe sub-specialty
T - 1 f 1 __ middotja r S Ctdget a9roxir~tly 33- has bee allocated to a
cemiddote Lp~l t rirc ipally C actlty re leased tirre for data ccllection
ai 0 3alres f~r i~~er-ieers in field research 3d secretarial
assi5ta1ce nCt2 11- of t~e Icmiddotre oudge~ is iesignated for an
ArCE_1 A~ite s(101a~middot 2d one 0 ore scnolals froQ LDe or
s1lllrt of greluate stucents in the
BEST AVAfLIlBLE DOCUMENT
- 18 -
Finally approximately 19 of the budget will be devoted to the
proposed data bruL~ that will archive not only data generated from the
research of scholars at Iowa Duke and Hawaii but also at other US
and foreign institutions Primary and 3econdary an~ses of these
data will become an integral part of ~omparative legislative studies
curricula The ability to utilize the data bank for teaching purposes
also should have a significant impact on professional preparation ofmiddot
future legislative specialists In summary the funds will be
allocated to research teaching and training activities tha~ are
entirely conson~~t with the philosophy underlying the utilization of
2ll(d) grants to achieve institutional development
Conclusion
The University of Iowa regards the research and teacbing components
of this program to be closely related an1 zrutually reinforcing The
University of Iowa offers a strong base for the pro~ram because of the
interests of faculty members here now because of their contacts with
scholars in this field in other Americ~~ and foreign universities
because of their experience with the international exchange of faculty
and because of the distinctive data gathering and processing facilities
available in our Laborator~- for Political Research The program which
we have formulated is designed not only to accomplish specific
research and teaching objectives but to contribute to the long-term
development of the University of Iowa in an area in which it has already
exhibited special interest
BEST AVAILABLE DOCUMENT
~ I) - 0
- 19 -
The program on Comparative Legislative Studies with support from
this Grant rill develop the capacity at the University of Iowa to
provide assistance under separate financing arrangements to developing
countries in a number of ways and through a varieiy of channels This
assistance which would be arranged for end negotiated separate~ from
this Grant may be in the form of technical assistance advisory service
training research and information exchange etc It will be available
by mutual agreement to appropriate agencies national and international
public private a~d mixed and directly to the less developed countries
Most especially this added special competence will inevitably become
incorporated through the processes of scholarship and education into
the competence of US and foreign scholars and institutions concerned
with this topic of great significance to the developing and the more
highly developed countries alike
BUDGET SUMMARY
UNIVERSITY OF IOWA
Salaries
Graduate Student Stipends
Fringe Benefits
Travel
Equipment and Services
Other
TOTAL
$173090
32400
19209
13800
6501
20000
$265000
BEST AVAILABLE DOCUMENT
d bull
srjmiddot (~~ jjXilO
IO
rmiddotmiddot ~middotmiddotrl f)~~ 7 middot 1 ~A~~ middot1 rmiddot middot~ rt bull middot bull bullbull I ~ i bull bull ~ middotv- middot bullbull ~ I
1 so bullbullbull l ~--~-- - - ---- ~ V~ i Jlgt ) bullbullbull ~(lr v ~I ( tr_ 1middot-middot 1 bullbull 1
il l~ J
2 c~loto
BEST AVAILABLE DOCUMENT
(C
Dr Willa~d l Boyd Presicient University of Ima iowa City Iowa 52242
Dear Dr Boyd
4 AUG 1977
amp
FIJNDS AVAnASLe CpoundNrftAamp sEIMCEs DMsON
AUG11 ~n te t6417 ~77
Subject bull Supplsectferit-tJF-G~middotNomiddot~middot AIOcsd-3294
t middot-rrPJ1 3
I am pleased to inform you that pursuant to th~ auth~rity contained in
S-cction 211 (d) ooC the Foreign Assistance Act of 1961 as amended a sup
plemental grant in the amount of $200000 is h~reby r~de to University
of rCi1a These supplement]l grant funds areprolided to support the
activities which are described in your Proposal dated May 6 1977 for
the implementation of your program entitled Political Conditions for i
Effective Small-Scale Rural Assistant Projects
---This sup~lemental grant is mace to University of Iowa en condition that
yo~r institution shall administer the funas provided under this Grant fn
accordance lith your r~ay 6 197 proposal (including Budget SUmlilary) and
the Standard Provisions (as incorporated by Amendment No 1) which have
been agreed to by your instit1ltion Ti) the extent of an inconsistency
between the Proposal and the Standard Provisions and any otherprovisfons
which ar~ made a part of thi5 Giant by reference or other~iSe the Sta~d~
ard Provisions shall control
The new Duration Period for this Grant shall beAugust 11 1971 through
August 10 1979
The total amount of funds obligated under the grant is increased to reflect
a new total oblgated amount of $465000
Please sign the Statement of Assurance or Compliance ana the origfnal -
and seven (7) copies of this letter to acknowledge your understanding of
the conditions under which these funds have been granted Please return
the Statement of Assurance of Compliance and the original and six (6)
copies of this supplemental Grant to the Office of Contract Management
Attachment May 6 1977 Proposal and Budget SUfiT1a ry
UNIVERSITY OF IOWA
Roberw bull OBrien fficer
Ce al Operations Division Office of Contract Management
AC~E~E~C--_ 0 BYpoundk~~ cH
D C ~lpoundSTtR5BA T ITL E ( PfeampoidPilt for
tee ment amp Research DATE 9-22 -77 (d~ ~~Bduate Ctl~1e~e
BES i AvAILdLt UOCLJMU~ I
211(d) Grant Program
Proposal of the University of Iowa
POLITICAL CONDITIO~S FOR EFFECTIVE SMALL-SCALE
RURAL ASSISTA~CE PROJECTS
Submitt~Ci to
Civic Participation Division AID
May 6 1977
Amount requeste~ $ 199987
BEST AVAILABLE DOCUMENT
I TdE DEVEIOP~T PROBr~
P~litical Conditions for Rural Development
The Cocparative Legislative R~search Center of the University of
Iowa proposes to ~~dartake a two-year study to investigate the role of local
leaders and the rural public in theimplecentation of small-scale develop~ent
1 projects in less developed countries The study will use and extend the
capacity ~hich the University of Iowa developed under a 211(d) grant to
investigate and assess the impact of loeal politics on rural development
~t the co~pletion of the s~ Iowa will be in aposition to advise the
Agency on the design ~nd evaluation of s~ll-scale projects which will be
politically viabe a~d effective in ass~sting the rural poor ~
As students of development w~ approach our task with the assumption
that the proble~ of development and underdevelopment are funda~entally
ones of political econooy and a~ such can only be solved through a
simultaneous considerationof economic and political factors Efforts
which foc~s aloost solely on economic factors like those of ma~y
organizations engzed in dipersing foreign aid or efforts which focus
almost exclasively on political factors fail to take account of the
interdependence between these two dimensions of underdevelopment and
lwe have for~ulated this proposal in a canner consistent witr the cu~rent policies ard interests of the Agency We have been guided in our tsk by four Age~cy doc~e~ts Impleo~~tation of New Directions in Developnent Assista~c~~~ ~eport to the COmlittee on International Relations on Ilupleoenshytatiun of Legislative Refo~ in the Foreign Assistance Act of 1973 (July 1975) rItevis~d Projec Developiel Review and Approval Systeo (A I DL Circular A-21 Aril 23 1975) SH Butterfield Draft SUIilZ3ry StateUlent of a Practical Agelcy Approach c aural Devalopilelt (AATA February 28 1975) Cicci A Coce~ual Oie=viamiddot middot Rural Development No1 (lWorilting GOU O~ tha Rural Poor February 1975)
- l -
can meec with only l~ted success
Our concern with the i=pact of local politics on the process of
rural developcent is a result of our interest in the basic question of
how LDC governm~nts and the donor agencies which assist them can
become core effective in raising the standard of living of the rural
poor We seek answers to the following aspects of that basic question
1) What political conditions must exist both within rural communities
and between theo and central gove~ents to raise agricultural production
w~ere small-scale agriculture is the do~nant pattern 2) Vnat are the
political conditions for a core rapid expansion of the informal manufacturing
and service sector cocprised of labor intensive small-scale industries
located in the rural ar s 3) What political structures and activities
are mase crucial for the provision of welfare and econocic supporc services--
such as agricultural exeension mar~eting and transportation--to the rural
areas1 4) ~~at Folitical conditions oust exist to insure that economic
growth in the rural areas is not accowpanied by excessive and intolerable
inequalities between socio-economic classes andor between regions1
Center-Periphery Linkage in LDCs
To deter~ne the political conditions for rural development we have
in previo~s s~udies exacined the institutions and processes through which
rural populaticns are integrated i1to the national politi-cal systetlS of
middot~he countries in which they live A gap exis~s in most less developed
countries bet~een the peasantry residing on the periphery and the c~~tral
political ~stiutions staffe1 by ~~estern-educated bureaucratic elite
We are aware of the other major ~sti~utional discontinuities which comprise
J
4 middot~~1 the basic cleavage between the developed and underdewmiddoteloped sectors of
these dual societies Bridging these gaps is essential if these so~ieties ~ are to develop into viable nation states For until those Q~ the periphery
of the poli~ical syste~ participate in that system and support and comply
with the authority of central political institutions neither economic
development in ~he rural areas nor a stable polity will emerge
Bridging the discontinuities in these new political systems requires
establishing and institutionalizin3middot1inkages or networks for co~unication
and exchange of resources between decision-makers at the center and the
rural public on the periphery Three types of institutional linkages are
most prominent in less developed countries 1) those conSisting of the
state administration composed of the bureaucratice1ite 2) those consisting
of a revolutioncry political party cocposed of the ideological elite
3) and those conSisting of patron-client hierarchies composed of the political
entrepreneurial elite
Of these three linkages consisting of the state administration are
the cst extensive and pervasive in virtua~ly every LOC Such linkages
however exist primarily a~ instruwents of the center to penetrate the
periphery Central government officials are formally charged with bringing
develo~ent to the people This is a ~issi~n which conceives development
as a process ~hrough which a traditional peasantry is transformed and
assimilated iJro the DOdern center which is steadily expanding to embrace
it Agents of the center invariably have more resources to achieve their
objectives than do local political leaders but because they are frequently
strangers~ the communities in which they function they are often unable
- It -
co implement the policies of the center without working through the
local establis~ent
Though somctices significant linkages consist~g of revolutionary
party organizati~ns such as those found in China and Vietnam do not exist -
in most IDCs beca1Se of the special historical and e~omic conditions
required for their development As wi~h the administrative state however
the linkaampe apparatus of such political patties is prUlarily an instrument
of the center whose mission is to penetrate and mobilize those onthe
periphery
In contrast patron-client hierarchies are linkages which represent
the periphery at the center and mediate betwee~ these two disparate
sectors of the political systec Thcugh norcallymiddotovershadowed in scale
by the state administration patron-client hierarchies are found in almost
~very LDC a~d constitute the ~st significant network through which rural i
populations and their leaders influence the decision-~king process at
the center Patron-client hierarchies exist in a wide variety of org~iza-
tional fores ranging from info~ ~ec~~rks of individual olitical leaders
in uno-partyll systelS in S~b-SaharaI4 Africa to extensive political machines
in both one-p~rty (Africa Mexico) and ~u1ti-party systems (Turkey India)
Despite their importance as the pricary means through which peasants in
LDCs particiate in their political systems patron-client hi~rarchies
have only recently become an object of analysis by students of political
developent and do not appear in even the most sophisticated studies of
2 See Jo~ Dunca owell Peasant Socie~y and Clientelist Politics Aerican Politi~ Scielce Revietol 64 (June 1970) pp 411-25 Rene Lemarchand anc_ Keith Legg olitical ClienteliSJ and Ethnicity in Tropical Africa Aierican Political Sc~ecce ReView 66 (Y~rch 1972) pp 68-90 James C Scott PatronshyClient Politics a~d Political Change II 1tlerican Political Science Revie~ 66 (~arch 1972) p 91-113 and Friends Followers and Factiols bull edited by Steffan Sc~~d and James C Scott (Berkeley UniverSity of California Press 1977) bull
- 5 -
3 economic development Ad~niscrators of developmental assistance progracs
have too often regarded patron-clienc hierarchies as ~ped~ents to
develop~ent instead of recognizing cheir potential utility bull
~ Findings on Patron-Client Hierar~hies --
The importance of pat~on-clienc hierarchies for linking the periphery
to the center is one of the major findings ~erging from a study of the
relationships betueen l~gislators an~ their constituents in Kenya Korea
and Turkey ~hich the Cowparative Legislative Research Centpr is nov
comleting uader its 21l(d) grant from AID This study has av~mined the
creation of linkages between the periphery and the center through ~ore
than lO~OOO interviews with members of parl~ent local leaders and
peasants in t~e three countries The findings are being systewatically
set out in a book-length monograph Nearly a dozen research reports have -
uready appeared (see Appendix C) ipropositions about the nature of
political behavior of rural populations an~ the roles of local political
elites de=ived from the research~ can be s~rized as follows
1 Elected representa~ives play a significant role in the creation and mainte~ance of linkages be~een the center and periphery by developing local political achines in which they function as patrons of their constituents In turn thay s~rve as clients of political leaders of national stature who control central government institutions
2 By atte~pting to establish linkages based on patron-client relatio~shi~s elect~d representatives are responding to public expectations chat their prizary duy is to obtain resources from the center to proffiote local develop~ent ~iany elected repLesentatives spend most of their time on self-help co==unity development projects such 3S the building of schools health clinics irrigation works arid roads because such projects provide
3For exa~le ~ a widely respec~ed a~d useful analysis of rural deve16p~ent in Sub-Sahara~ Africa L~ Lele of the World Bank notes the problems of creating an adoini5~raive infrastructure in the rural areas that is sensitive to local socio-oliical conditions She does not however consider how local leaders operating o~tside of adcinistrative structures ~ night contribute to the developne~t 0 the rural areas See ~~ Lele ~ Design ~ Rural Develop~ent Lessons ~ Africa (Balt~re The Johns HopkiD~ Uciversity Press 1975) r) pp 127-61 i ~
- 6 -
their const~tuents with desired se~ices ~~d a= the sa~e time provide the reresentatives with an orgacization Yhicn can be used as a political base
3 l-tore than 90 perCel1t of the rural population is capable of articulating the p~oblems facing their local co~~ity and two-thirds discuss th~e proble~ w~th their fellow citizens on a regular basis
4 Three-q~rters of the residents of the rural areas can identify the public ofpoundici~s who serve thec--both civil servants and elected represcrtatives--by na~e Most are knowledgeable about the activities of these officials Alcost one-fifth coreover have discussed co~~~ity probl~ ~ith these officials particularly those working at the grassshyroots level Residents of rural villages actually have a higher level of political knowledge than their counterparts in the towns
5 Elections in the rural areas evoke a highly rational attern of voti~g despite the effects of ascriptive or traditional co~siderations Inc~ens are pri~rily evaluated in terms of their record in fulfilling the public r S elpectations of what they should do Elections are essentially referenda on inc~entsr perfo~ce especially their perforwance in the area of constituency servi~es such as bringing development projects to the districts bull
6 Local developcent projects have a relatively high s~olic value generating conscitutency support for local leaders and the central government at low cost
7 These projects help huild a local political infra-structure which can also be utilizec by central govern~nt civil servants to implement other policies designed to achieve rural develop~ent bull
The Icpac~ of Local Politics on Rural Projects
Having explored the developtent of linkages through which the periphery
is represented at che ~enter and through which the periphe~ attemp~s to
share in the ceners resources we now propose to build upon our initial
investigations by e~ing in greater detail the impact of local political
conditions on specific problecs of rural develop~ent We propose to
exacine the develop~ental activities of local leaders ~nd the rural public
by eX2~Ding a saple ot fifteen to twenty smalL~scale developwent projects
in each of ~he three countries which constituted the sites for our initial
8ESI AVAILABLE DOCUMENT 1 ~ - of
- 7 -
study of center-perhiphary relations The appropriateaess of this approach
and the ~ethodology through which it will be ip~emented is discussed in
section II Because the ~ethodology of investigation is in large part
the result of our previous research experience we fizst turn to a revieW
of the existinQ __ ~petence of the Comparative Legislative Research Center
in this area
II GRAXTEES EXISTIXG CmET~CE
In 1971 the University of Iowa received a 211(d) grant to develop
its capacity to do research on the role of elected represent~tives in
the process of modernization On the b~sis of this grant the University
established a research center which planned and carried out a research
project on the role of elected reres~~tatives as links between the central
gove~ent and rural populations in K~ya Korea and Turkey The project -i
served to develop t~e University of Iowas research capability in this
field esa~lished ties between the University and scholars in the bost
countries and generated a large and uniqu~ body of relevant data
In that project we fo~ussed our attention on tbe activities of elected
representatives in their constituencies notably in their contacts with
local political leaders voters and civil servants To determine tbe
nature of the linkage function performed by tbe representatives we
designed our research to explore the subject from three perspectives
1) we eXaojned ~~a ~ubject at tbe grass roots by conducting a series of
sample surveys of 200 to 300 adults in each of 12 to 14 parliamentary
constituencies in each cf th~6three countries 2) we examined the subject
at the center by intervie -ing MIls from the constituencies in which we
had conducted S3mple surveys ~nd higher civil servants with whom they
had contact and 3) ~e ex~~ined the subject from an inter-~diate level
by identifying aud ~terviewing local social and political leaders in
the MPs constituencies We used survey research methods because we
were embarking on the study of an entir~ly new subject for which little
relevant docu=e~tary data existed and on which there were few secondary
sources As a result ~e have unparalleled experience with survey
research in the rural areas of less develo~ed countries
The surveys which constituted the cajor part of our field work were
planned in collaboration ~~th scholars from the host countries They were
carried out in each constituency by student interviewers in the appropriate
language ~re than 10000 respo~dents were inteDViewed for the project
Given the visibility and sensitivity of this undertaking approval for
the research was sought and obtained from the host governments prior to -i
the collec~ion of data ~o objections were raised by these governments
at any stage of the research The data obtained have been made available
to scholars i~ the host co~cries and some of the basic findings have
been published in periodicdis in these countries
The Comarative Legislative Research Center ~hich ad~nistered the
project has aisO developed extensive experience in the study of political
leadership in other countries It h3s obta~ed substantial support from
the Fo~d Foundacion and the Rockeeller Foundation has worked in
collaboration ~~h European as ~ell as Asian and African scholars and
is engaged in a ajor study of the role of elected and non-elected leaders
in the oanag~~t o~~ocial conflict Because it has conGucted research
in a variey of setlngs the Center has an ~ceptional capacity to
- 9 -
determine how the relationships be~een political institutions and
economic p=oble75 differ in develoPed and less developed countries
In the course of the major research projects the Center has administered
it has gained highly specializpd ~p-i ce iI identifying 1Olitical leaders
in a great variety of settings conducting systematic interviews with
them collaborating with scholars in the host countries and in coding
and utilizing large files of data to answer specific research questions
The Center has ~lso undertaken to publish the results of its research
in three fores It issues codebooks to the data enabling scholrrs at
other locations to use the data expeditiously i~ publishes research reports - in the form of Occasional Papers and it publishes a scholarly periodical
devoted to the presentation of research findi~gs to an inteIT~tional
audience
The Center utilizes the data ~ysis facilities of the Laboratory
for Political Research of the University of Iowa and drawS on the unusual
n~er of secialists in comparamptive politics and survey research in
~~e Lniversitys Departmen of Political S~ience The Center itself I
has the services of an administrative secretary and a clerk-typist
~intains its~o~cn extensive archives and its o~~ publications program
It is e~uipped to assist scholars and government officials outside the
t~iversity of Io~a The participants in its p~ojects are full-tioe
faculty ~e=bers ~hose undergraduate and graduate teaching is closely
related to their research As part of the teaching program the Center
has attracted students from the countries in which the research projects
have been conducted these students have participated in the projects
bull J
have obtained training in other fields of political science have received
University of Iowa degrees~ and have ret~rned to teach and to do research
in their own countries
III PURPOSE OBJECTIVES AID METHODS
Purpose of Study
The purpose of the proposed grant is to extend the capacity of the
University of Iowa to determine the political conditions in the rural
areas of less developed countries which favor the establis~ent and growth
of small-scale developoent projects ~e objective is to put the University
of Iowa in a position to assist the Agency in designing small-scale rural
developent projects providing guidelines for carrying out social soundness
analyses of such projects and adviSing in the evaluation of projects
We will discuss the utilization of~t~e Universitys capacity in detail in
section IV below
We propose to concentrate our investigations on the political conditions
surrounding s~l-scale ru~al projects Such projects have distinctive
advantages They waximize the political participation of the rural populations
both in det~~-ining the direction ~d implementation of develop~ent efforts
and in defending the interests of periphery vis-~-vis the urban-based
bureaucratic elite S~ll-scale projects stimulate entrereneurial activity
on the part of the rural citizens and growth of the info~l canufacturing
and service sector Tbey require less lead tice and less administrative
c~erhead to ~eco~e operational than large-scale capital-intensive projects
centrally administered Such projects yield rapid and direct benefits to
1
j
the rural
- 11 b - ~~1
populations and are consistentwith their hUIlaD rights--both
political and economic However~ small-s~le projects pose s~ecial probl~s for administratcrs of developceocll assistance progracs because
they require the donor co assess the local olitics particularl the
rural politics of t~e host country
Develop~c adoinistrators pr~rily conc~rned with assisting rural
populations must therefore recognize the range of political variables
affectL~g these projects Small-scale projects offer great opportuoities
for develop~ental assistance progr~ because they can be easily targeted
to help rural populacions require low capital costs and need no be
concentrated in one or two localities Such projects ho~ever~ ~equire
the a~istrator to have ~re political kno~lecge than large-scale
projects Oil which his priJlary tas~ is guiding the work of other experts
Questions for ~Investigation
To detercine the politi~al cc~diicilS ~st conducive to ~he establ~~ent
and gro~h of scalI-scale rural projects ~e propose to address our inquiry
to the following specific questions
1 To what extent and why co local political leaders seek to establish s~~l-scale develop~ent projects within their co~unities
2 To what extent and ~~y do local leaders other than politicians initiate andor provide leadership for s=all-scale developm~t projects
3 Bot do the relations bet~Jeel different types of local leaders (political and non-political) and bet~eeo these leaders and central gove~ent civil servants posted to the rural areas affect the conduct of develop=ent projects
4 How do existing authority ~eLationships between these different leadership grous and the rural pub~ic affect the organization and operation of s~l-scale develop~ent projects
- 12 -
~
5 lhlt is the nature 0 pclgtlic participation in the establishlent and operatio~ of s~l-sclle projects and ~hat are the outcc=es or this participatioe Gucer w~at conditions is such participation ~ost likely to occur
We seek a~swe=s to t~cse questio s L order to determine the effect of
different co~iigurations of local leadership and public participation on the
outcomes or small-scale rural projects te are particular1y concerned with
the ~pact of these configurations on the rate of econocic growth and the
distribution o~ rIGSlth ithin the loal cOlllUlity ~ on the perce~tions of
s~ll-scale proj~cts by central govern~ent per~oncel and the rural public
anmiddot on the organiation or flture projects
To a~swer these que~tions it is oar intention to study the initia~ioD
izJple=enation ald i1lpact of a salple cpound small-scale rural projects in
Kanya Korea and Turley in the sae cOllities in which we carried OU
our initial icvestigations ~ 1973-75 Tne relationships between the -
various conf~gurations of local leadership and public participation and
the three phases of project develop~ant are sho~ in Figure 1 We will
exa=ine projects to pro~ote the adoption of new agricultural techniques
by s~l and moderate landnolders the building of feeder roads irrigation
ditches and other s~ple infrastructure the organization of fa~ers
cooperatives and other local associations concerned with rural development
the establish=ent of rural health clinicS and schools and the setting up
of craft and service industries
Sites for Study
We plan to return to our original set of localities because we possess
a rich body of relevant data on the extent to which linkages exist between
Figure 1
TYPES OF LFLUEXCE OF C2r~ middotGOVER1iEXT OFFCIALS
LoCu LEADERS 0 THE RURAL PUBLI-C OX THRr~
PHASES OF RURAL igtEVELOPHET PROJECTS
r----------~J C~ltral Gover1~nt Official)-N------- - J
r- Local pOlitical leaders
Local non-political leaders
~l 1---- -
ROJECT nITL~TIOS
Influ~ce on selection of projects
InrI ~elce on location of projects
Influence on policy guidelines for proj eCl
Il
I
a
I I
-I PROJECT I~L~~iATIO~ ~ 1
j Project Organizati I Selection of project
leadership
Hobilization of resources
Mobilizatiol of public compliance with project require=elts
Diffusion of project innovation
Rural Public
I
BEST AVAILABLE nOCUMENT
1 ROJECT IMPACT
Organization of ongoi=g project operation
Distribution of project benefits
Evaluation of project
Public attitudes toward project
-middot14 -
these areas and t~c central p~litical institutions of the three co~tries
and on the attit~es of the rural populacioc local leaders and elected
legislators regardi~g their problecs of develop~~c Since such data
is unavailable for alternative locales a return to the areas in which
we have previously done much research ~ables us to build on a uniquely
valuable body of icformation
A return to Kenya Korea and Turkey is also highly desirable from
the standpoint of effective research organization The Comparative
Legislative Research ~enter has developed close collaborative relationships
with several highly competent social scientists in these countries and
with the academic institutions with which these scholars are associated
We have also dev~_oped cooperative relatio~ships wi~ gove~ent officials
in these countries which should facilicate obtaining approval for our
further work
In proposing to doc~ent the origin i~pl~entation and impact of
one to three s~ll-scale develop=ent projects in each of 35 localities
we have two considerations in mind Firstmiddot because our pr~ry goal is
to deter~e the political conditions for rural developm~Lt we wish to
examine develQ~=ent in as many different settings as feasible Only in
this way can we control for so=e of the major socio-cultural variations
that erist along rural populations in less developed coultries These
include the overall level of econo~c development in the co~unity the
nature of t~e ~digenous culture an~ relationships of authority and the
pro~ty of the comounity to major urban areas and centers of central
gove~nt ad=inistration ~ce our original study sites were carefully
BEST AVAILABLE DOCUMENf
- 15 - ~ ~1
selected to represent these variations ye have concluded that these
35 localities woule be ideal sites for the propose~project Second~ in order to dete~~~ the ~pact of local leaders and public
participation o~ ~ural projects we intend to compare projects 1n which
local leaders and ~ecbers of the public have played a major ~ole with
projects in which they have not We also ~l cospare projects initiated
by the central gover~ent with projects Yhich have been locally initiated
These considerations give us a typology for selecting projects as depicted
in Figure 2
Figure 2 ~
FIVE TYPES OF RU~AL PROJCTS ACCORDIXG TO ~FLUEXCE OF CEITiW
GOVE~1E~T LOCAL LEADE~ AD RLRAL POULATIO~
Level of Participation by Rural Population
Locus of Project Initiation ~
Local Co=unity Central Governoent
BIGd
LOt
1 Projects initiated by local leaders and providing for participation of the rural ~opulation
4 Proje~ts Litiated by local leaders bu~ not involving participation of the rural population
2 Projects initiated by the Central Govern~ent and administered i~ cooperation with local leaders a~d the rural population
3 Projects initiated by the Central Govemlent and providing =or the participation of the rural population but by-passing local leaders
5 Projects initiated by the Central Gover~e~t a~d administered in cooeration Yith local leaders but not involvi~g parti~ipation of rural population
- 16 -
We recognize that the socio-cultural setting of rural develoment
projects varies significantly within and across less developed countries bull
By focussing o~ a representative sa=ple of localities ~ Ke~ya~ Korea
and Turkey we can take account of naoy~ though not all of these variations
While some of our substantive findings will not be directly generalizable
beyond the countries in which we propose to conduct our study we expect
that our basic ~ethods and fLdLgs will be applicable to national and
sub-national settings elsewhere in the developing world This is partly
d~e to the fact that the hierarchy of patron-client relations ~hich we
regard as a critical factor in rural develo~~t exists in ~ost Liles
--It is also due to the fact that the methodology for identifying local
bull leadership configurations auG poundor studying local politics which we are
perfe~ting can be used to assess local political co~ditions in a large
variety of countries even when the ~nditions themselves differ significantly
Methods of Investigation
The data needed to assess the iDpact of local leaders and mass
participaticn on rural dev~lop~nt fall into two categories Some a~e
contained among the data gathered for the research project we are currently
completing Others will require additional field research
The following data are already in hand
1 Data on the social landscape of each loc~l co~nity i~cluding aggregate data o~ level of econonic development de~graphic characteristics political pa=ticiation eth~ic loyalities and rates of socio-econocic change dur~g the past decade bull
2 Identity of local leaders including both political and I-on-political leaders and both legislators and other politicians
3 Perceptions of existiag probl~ and their possible solution a~ng
l)tS r AVAilABLE DOCUMENT
- 17 -
general public local leaders and civil serv~nts
4 Level of political kno~ledge among local citizens and local political leacers
5 Political and social values a~ong local ci~izecs and local political leaders
6 E~~ectacions of leadership roles among the local public and elected and non-elected leaders
7 Patterns of co~unication ~ong local leaders and between local leaders and the central gove~e~t
These data ~hich ~e already have in hand can be subjected to analyses
which ~~ll provida the foundation for our further work on rural develop~ent
projects A part of our work therefore will consist of fu~ther analyses
of existing data
New data of the following kinds are also required
1 Doc~entary data on the origin and evolution of particular smallshyscale develop~cnt projects in the rural areas
-2 Data on project costs boih ~itial invest=ent and recurring
operating costs and data on project ou~puts ie pupils in schools Ddles of road coopleted nl~ber of hospital a~ssions production of factory agricultural productivity
3 Data on project organizatio~ n~~r of local inha~itants participating in establis~~ent of projectt nuober of local L~habitants subsequently involved in project
4 Data-on the pe-cetion of projects by local leaders emers of the local public a~d by civil servants data on the perception of how each project ~as initiatec organized who benefitted and what its future implicatio~s are
These types of data will requ~re field work involv~~g both docucentary research
at the relevant ~istries of the central government and in local goverr~nt
authoritieS and inforoal open-ended interviews with local political leaders
elected representatives and other local leaders who~ we had previously ~
interviewed in a s=uctured syste=atic =aoner
BEST AVAILABLE DOCUMENT
- 18 -
Grant Organizatio~ and T~etable
We propose co undertake the research outlLled above beginning in the
fall se=ester 1977 Dur~g that te~ Professors Barkan and Kim as
principal investio~tors for the neo1 proj ect will contact their collaborators
in the host co~~tries They ~~ll also seek the collaboration of an additional
~rican scholar specializing in rural development with the aic of getting
additional advice on sources of data and suitable indicators for the
~easure=~~t of rural develop~ent projects
At the end of the fall seQester Professors Barkan and Kim will make
a trip to their research sites to disc~s details of the research organization
with their collaborators in the host countries and to recruit student
assistants Tney will devote the spring te~ 1978 to further analysis
of a~sting data at the University of Iowa
The gathering of additional dita L~ the field will begin in the s~er
of 1978 Professors Barkan and Kio will direct this work personally We
eAect that its coopletion ~~ll require three to six months This work ~1
involve the evaluation of central and local gove~ent reports on the
projects uncer investigation extensive on-site observations of the projects
and oen-e~ded interviews with the principal participants Our principal
respondents ~i1l be the local leaders and elected representatives we
have previously identified in the localities in which we have worked and
a sacple of active participants in the particular dpvelopment projects
being studied ~~ere necessary and apropriate surveys of the general
public will be uncertaken to assess the inpact of a given project on the
rural por)r We do not however leed 0 conduct systeAlatic sample surveys
BEST AVAILABLE DOCUMENT
- lY -
of the rur~l population as We did in 1974
In the organization of this research project we intend to reconstruct
the rese~rch tea=s ~e e=ployed during 1973-75 We shall again seek the
co11abo=~tion of P~ofessor Sc~~S-7o~g Pai of Seoul National University ~
Professor IIiCr Turan of the University of Istanbul and Professor John J
Ok~u of the U~iversity of ~arto~ S~ilarly w~ contemplate directing
the field research fro~ he same acade~ic research organizations we previously
used Seoul National U~ive~sity th~ ~~iversity of Istanbul and the
Insti~ute for Develop~eut S~udies University of Nairobi As before we
will tra~ students f~oo these institutions to serve as interviewers
The analysis of the open-ended intervie~s and of docUQentatio~ on
I ~ural develop=e~t projects will be a ~ore t~e-co~s~g process than the
analysis of closed intervie~s It will reqrire a high cotnittl~t of time
fron the principal investigators )e e--pec to hold a conference at the i
U~iversi~y of Iowa 3lO1g all the principal )clticipa~ts in the resea~ch
project d~=~g t~e spr~g 1979 to evalua~~ the newly collected data
le e~ pect to be able to vr-ite reports of t~ results during the Sl1~er 1979
(see Figre 3)
IV LlX-GS ~1) U~ILIZATIO~
At the e~d of the grant period the Uti ersity of Iowa will be able to
1) advise the Agalcy 01 the design of s~l-scale rural projects to assist
the rural poor 2) provide guidelines for social soundness analysiS of
small-scale projects for the rural areas of U)Cs 3) consult w~th the
Ag~tcy 01 the evaluatiol of rural projects ~d 4) provide LDe governments
BEST AVAILABLE DOCUMENT
)ATES
~lll
1977
~inter 1977
iprilg 1978
il mer 1978
~all
1978
ipr~ng
1979
Imiddoter 1979
University vf Iowa
Plutlning of rural develo~rent project
Barkan Kil
Alalysis of existing data
Barkan Kia
Data processing
3arkan Kin
1
I
- 4 -
Figura 3
GRAT TLfETABLE
SIT E S
Kenya Korea Turkey
Preparation of field research ural developH~lt project cOlisulta~io~ a research sites
BarkanOku=u Ki~Pai Tura~rkanKi~
Preparation of field resea-ch
Tural
Field research on rural cevelop~~t projects Bar~lOk~u Ki=Pai Turan
Co=pletion of Co=pletion of field resear~~I~ fiald researcr
Ok~u i Pai bull
f Coopletion of field research
Turan
Data analysis conference a~ong all princial i~vestigators at Un~versity of Iowa Barkan Kil Oku=u Pai Turan
Co=letiol of r~ral develop~ent
project
3arkan Kiz
BEST AVAILABLE DOCUMENT
I
- LL -
~ith speciali~cs o~ ru~al developcect ~mong their own citizens ~ho ha_
partcipatcd ~s collaborators in the Iowa projects
In the proposed project we Will test a series of hypotheses cOlcerning
the political cOllditions of rural develo=ent which run counter to CODOn
assuoptions conccrnir3 t~~ influence of rural politics on project effectiveness
As a result ~e ~dll be able to assist the Agency in designing and evaluating
such projects froe the point of V~~W 0 their political viability The
hypotheses We will test sugges~ t~at the patron-clie~t relations existing
in the local politics of zost LDCs are not necessarily i~pedients to rural
develop~ent but are aspects or the political structure which cal be used to
facilitate s~ll-scale ru=~ projects which will raise the standards of
living of _ ~ rral pomlation - As ~ result or our stuey we expect to be
able to P~-O~t the local leadership confi5~rations ~4d the relationships
between local leaders ald rural poclations ~nich are oost conducive to I
successful develcp=en efforts We believe that we will be agtle to perfect
a cat~odology for identifying the political conditions for rural develop~ent
one ~hich is transferable pound~oo the countries we have specialized in to
other LDCs
We proo~ to develop specific guidelines to assist administrators
charged with selecting evaluating and =onito~ing rural develop~ent
projects to ~szess t~esc rojects in tares of their-social and political
viability he outco~e of such projects is dete~ned not only by the
efrectiv~nass ~~=h ~hich they use scarce econo~c resources but by the
~~er L~ w=ich they e~gage the suppprt of local leaders and rural
po~ulatiocs~ by thei= effect ou social a~d econo~c equality ~d by
D[~T AvAlLA8LE DOCUMENT
- 22 -
their consequences for hwan rights ~Je plan to establish criteria by
middot~hic~ the probable outco~es of projects in these social terms can be
anticipatec
The study ~e propo e will be undertltlken by faculty at the Cniversicy
of lowe in collaboration with faculty a other ~rican institutions and
institutions in the host countries We will build on the extensive contacts
between the Co~perative Legislative Research Center of the ~niversity of
Iowa end other instituions with ~aich ~e have worked One =ajor result
of our collaborative study will be the existence of a net~ork of compe~ent
scholars both in this country and overseas experi~lced in ~orking together~
shar~g a co~on teaching and training experience i~ close contact throu~~ the
effective publications progr~ developed by the Co~parative Legislative Research
Center T~e e~~ertise of this group of individuals will be ava~lable to
oteer scholars to the Agency and ~o L~C governments for specific policy
advice The eXertise developed as a consequence of this project will
extend beyond the ~tionals of the countries ~volved since the univ~sities
engaged in ~e project attrtct stude~ts fro outside heir own countries
For ey~=ple the teaching ~d research progra in the Depar~ent of Political
Science 0 theUniversity of Istanbul heavily affected by the participation
of its facul~y ~e=bers and graduate students in our projects attracts students
throughout the ~middot1iddle East for Whom the University of Istanbul is the iajor
institution ~pound ~igher education in the region rne Institute for Developmen~
Studies is si=ilarly a focal point for students and faculty in East and
Central Africa Seoul ~atiocal Unive=sity attracts students froo other
Asia~ co~tries~ In this way the capability developed among the participant$
BEST AVAIL~BLE DOrUMENT
- ) -
in our work is diffused widely To the exte~ that the abili~y to assess
rural develop~ent p~ojects in teres of their social soundness is increased
both in the United States and in ~o~~tries r~ceiving develop=en~ assistance
the cap3~ity of racipien~ countr~es to absorb aid is ~creased
We propose to draw up an inventory of personnel available in ~~e
Cnited States and in other co~~tries who are able to consult with developen~
a~nistrators on the design of rural development projects and on their
evaluation We ~~ll draw first of ai~ on individuals w~o have been
directly associated with our ~ork in the past or on ~he proposed project
and ex~~~d the list to include graduate students and gove~ent officials
with who~ these individuals have wor~d
tole Yill utilize tha existing publication program of the Center
dercribed above to disse~inate our findings The Center has specialized
oailing lists of interested individuals and institutions in all parts of -i
the world and its reports can trerefore reach the ~st relevant audience
jirec~ly ~d re~~arly
BESl AVAIL~BLE OOCUMENT
CONTRACfjGRANTCOOPERATIVE AGREEMENT DATA SHEET
INSTRUCTIONS fjDW Complete 4 copies of the form Original SERCMSDSUP Statistical Section Copy Copy 2 SERCMSIiUP dministrative Copy opr 1 Contracting Officers COy COP) 4 SERCMSDSUP IUmin (Suspense) Copy
Missions Complde 2 copies oi the form Origin31 SERCMSDjSUF- Statistic31 Section Copy 3n~ Copy 2 Nill be ret31ned in the Missions
PART fA
ConU3lttorGranrce Name
University p~f~I~o~wa~ __ -r~ ____ ~~~~ __________ -~~ __ ~~~ ______________ ~~~~ Plorr Numt-er ApptopriJtion Number Allotment Number Project Number
930-0090-3Q13411 A5 72-111l0216 146-30-099-00-20-11 930-0090 Project Title
So~ia1 and Potitica1 Aspects of Development - Conference to Report Research Findings Amount of this Plorr I Projecl M3nagers Name and Offire Sytlbol
$10397 (increase) PDPRCP Jonatlan Silverstone Contr3ctors D-U-N-S Number
Ncgwatocs TYJlCd~3meJ j) Signature I l ~ jIf- bull G HtJ--ft u l IVmiddot
D~e
L - f - J ContractGrant Officqs typed Nailllt Signalure LJ d I -r-
plusmn t 3i-alflpta (( BLvle~ 1 I~ PARTm
ContractGranl Number
AID CSD-3294
Effeclive Date of Docum~nl Signalltre D3t~ of Documenl
Lf---C yen-~-gl tIost Courtry Institution (U iwrsity contract ONL Y)
Campus Coordinator (Uniwr ty i contract OiiL YJ
PART UL Descriplion of Cor-tractGrant P1use X ONL Y ONE item under each headiZg IF THEltrease CifYmC~e bolh ges I 30~~ O~ Nol to be completed for Amendmenl or Modlfic3lion AJigtns I III
J 710gt I I V ~ I
MOl - TYPE ACT A~ 0 G unsolicited Propsll (AIDIR 0 C Individual (Non-pe~nal senice)
~ O Cortra lGrantl ooperative Agreemenl 73101-SO(b)(6raquo 0 D Individual (ftrsonal Service)
tJl T3sk Order ( A)middot 0 H Procurement 10 be Perfocm~d by the Conmiddot 0 E UniversilyOther FAuC3lionailnSlitulions
D 2 Work Order (IQC) Ira~lor in Person (AIDPR 0 F Non-Profil Organizationlnslitutions (other
D 3 Delivety Order (Requirements) 73101middotSO(b)( Iraquo than Ed or PVO)
[j 4 Purchase Ordcr [J I Sole Source (AIOPR 7-3101-SO(b)(4)) 0 G Private Volunury Organization (PVO)
If I 2 or 3 1Lle an ~ compllle M 12 ON Y D J Imp3irmenl of Foreign Policy Objectiws 0 H International Agricultural Research Organj-
M04 - CONTRACTGRANT TYPE
o O MOA (BOA BMA etc)
o I Fixed Price (Specify fFP FPRD FPEPA FPI) _____ _
(gtIDPR 7-31 OJ SO(b)(7raquo
OK B(a)5eJection (FPR 1middot1713-1)
o L Grant iH1ndlOok 13)
o M Do Nol Ue
D 2 Cosl Reimburemenl (S~cil) CR CPFF 0 N Cooperative t~reement (Handbook 13)
CS CPAF CPIF) ~ 0 O Small Business SeImiddotAside (FPR 1middot1706-8)
o l Cooperative Agreemenl ~ 0 1 Overseas Procuring AClivilies (AIDPR
04 Grant Gener31 Supportmiddot 0U ~ 7lIOI-SC(b)(2))
o S Granl - Specific Support ~ ~06 E SER VICE
g ~ ~~t ~~(d) ~~ ~~ ~ eci~a~~~~~ogram Projeci
o amp IQCs ~ ~ relampted excepi A amp E Services)
o 9 Host Counlry ContraclGrnnt 5lJ C amp E Services
middotComplele ONLY through ~Sl ~~ 0 D Construction
M05 SELECTION PROCEDURES 0 E- Reseuch
o A Formally 3dverliscd (IFB) (A1DPR 7middot24 amp
FPR 1middot24) ~ o B Negoli3ted Price Compelilicn Gencr31
Procedure (RFP) (-JDPR 7456)
Dc A amp E (AIDPR 7410)
0 D Ed Inst andor Inl1 R~arch (-JDPR
74 5)
o E Collaboratoe Assisunce (IDPR 7458)
C F Predominant Capability (IOPR
73IOI-50(b)(l)
AID 1420-49 (179) - Page I
D F Technical Services to AID (other than trainmiddot
ing usually o~ating expense)
D G jraining SetVice for AID
o H Equipment Materi3J~ Supplies Commodities
D I Translation Service
~07middot TYPE CONTRACTORGRA-nEE
o A Firmmiddot AU profil-rn3king fUms (other than
Aamp E)
J e A amp E 8r~
zalion
o Public Inlmlational Organizations (UN
Agencies ICRC Wocld Bank elc)
(H8 J 3 Chapt~ S)
M08- TYPE AW~RD
o A S8 Sel-Aside - Awarded to Non-Minority
o B S8 Set-Asidemiddot Awarded to MinXity
o C_ S8 NOI Set-Aside - Awarded to Non-Minority
o D S8 NOI SeImiddotAsidemiddot Awarded 10 Minority
o Eo amp(a) S8A Awarded to Non-Minority (Womerl-
Owned Veterans etc)
o F 8(a) S8A Awarded 10 MinorilY
o G Personal Sen-ice ConlrdCt bull Non-Minority
o H IeJSDnal Service Conlract - MinorIty
o I Individual NonmiddotPersonal Service Contraci -
NonmiddotMinority
o J 100Jigtiduai NonmiddotPersonal Service Contracl -
Minorily
o K NOI Small Business (Univ NonmiddotProfit Large
Firms) Non-Minorily
o L- NOI Small 8usineSl (Univ Non-Profit Large
Firms) Minorily
o M US Govcrnmlnt
(Connnued on Page 2)
BEST AVLABIE DOCUMENT 1 I
--
ua ) R I GI NAL 9 bull
MODIFICATION or GRANT PAGE 1 of 2
AH 1 2 Effective Date 3 Grant No 4 Effective Date
Amend_at Ro 5 April 15 1981 AIDCSD- 3294 8-11-71
-s CRANTEE (Name and Addrea) 6 Administered by -Professor Gerhard Loewenberg -Office of Contract Management Cbrnparative Legislative Research Gente Central Operations Division Dept of Political Science am Branch University of Iowa Agency for International Developn~nt Iowa City Iowa 52240 Washington D C 20523
7 PIO No 930-0090- 3013411 A5 8 Previous PlOTa -
Appropriation No 72-11110216 93i-1l-995-l36 930-11-995-136-73-3078103
Allotment Symbol - 146-30-099-00-20-11 wunt Obliga ted by this ~ndrnent - $10397
The above numbered Grant is hereby modified as follows
1 Anotmt obligated prior to this rurendment 2 Amount obligated by this amendment 3 Total obligated anount (1 amp 2)
Delete the amJmt $465000 and substitute in lieu thereof the ammnt I$47S 39-7 ~
FUNDS AVAIrABm
~~ - APR 13 1981
PrO~A~~5iors
$465000 $ 10397 $475397
OffiCE Of fIN~(1 ~~rE~E~T __ _ 10 This amendment 11 entered into puruant to the authority of the Forelgn
Assistance Act of lS~l as amended Except aft hereln provided all terms and ~~ndi~ons nf the grant rcferpnccd in Block 13 remain unchsnged and in full force and ~ffcct
11 original and six Crantee 18 requlred to aign thh document aad return 1- eopics to issuing
ffiee
~~~ or printed) BUSINESS MAHAGR amp bull
Tille TREASURER
UNITpound) STATES OF AHERICA AGENCY FOR INTERNATIONAL DEVELO~NT
BY_-1(1o-_1lt--= 13middot~_1_~ __ K R B1uteau
(Name typed or printed)
Tltle~ ____ G_r_a_n_t __ O_f_f1_c_e_r ____________ __
D3tC APR 2 J 7997 Dolt 9 APq 1981
BEST AVAILABLE DOCUM NT ___ 0 HLGlNAL - I 1 J 1 ~ )
- 2 -
AID ftmds in the am)tmt of $10397 are hereby provided for the activities lmich are described in your proposal (including Budget Stnmnary) entitled CDnference to Report Research Findings on the Study of Political CDnditions for Effective Small-Scale Rural Assistance Projects in Kenya Korea and Turkey dated February 17 1981 and made a part of the Grant b reference
BtTDGET StMMARY
Line Item
Travel
Per Diem
Other Direct Costs
Less existing 211 (d) grant funds
Total Amount Obligated by this Amendment
Estimated Costs
$ 5888
5100
_ 2500 $13488
_ 3091
$lO39
Note Indirect costs or $395086 associated with these activities will be contributed by the University of Iowa
BEST AVAILABLE DOCUMENT
~RIGINAL
- CONTRACT IGRANTCOOPERA rIVE AGRElEMI~ SERC~SDSlP Actio) Monitor
SERCMSDSUP Action Office
I
INSTRUCTIONS AJDW - Complete 4 copit of tlh fonnmiddot Orisina iCMSDfSUP Sutistical Section COP)middot Copy 2 SERCMSDjSVP Administrative CoP Copy 3 Cont-acting Officers COP) Copy 4middot SOSUP Admin (Susptnse) Copy Missionsmiddot Complete 2 copies of the form or~aI SERCtSDSUP Statistical Section Copy and Copy = wiU~ retained in the Missions
0 PART IA
Effective Date of Document tJ
Delivery Order (Requirements)middot
o 4 Purcluse Order
bull If I 2 or 3 have an bull X compl~te M I 2 ON L Y
M04 - CONTRACTGRANT TYPE
o O MOA (BOA BMA etc)
o 1 Fixed Price (Specify FFP FPRD FPEP FPI) ___ _
o 2 COli Reimbursement (S~cifY CR CPFF CS CPAF CPIF) ______ _
o 3 Cooperative Agreement
o 4 Grantmiddot General Support
o S Grantmiddot Specifi Support
o 6 GraDt 21 led)middot
o 7 Do Not Use
o amp IQCs
o 9 Host Country ContractGrant
middotComplete ONLY through M 5 1
MOS SELECTION PROCEDURES
o A Formally advertised (IFB)(AJDPR 7middot24 amp
FPR 124)
o B Negotiated Prire Competition General
Procedure (RFP) (AIDPR 7456)
o Co A amp E (AlDPR 4 I 0)
o D Ed Ins andor Intl ReStalch (UDPR
7457)
o E Collaborative ASSistance (AIDPR 7458)
o F Predominant Capability (AIDPR
7-310l-50o)(3)
AID 142049 (1-79)middot Page J
o H Procurement Co be Performed b~ the Conshy
tra~tor in Person (AlDPR
7middot3t OI-SO(b)(Iraquo
o I Sole 5gturce (AIDPR 7middot3101middotSO(b)(4raquo
o J Impairment of Foreign Policy Objecdv~
(AIDPR 7middot310 ImiddotSO(b)(7raquo
o K 8(a) Selection (FPR 1middot1713-t)
o L Grant (Handbook J 3)
o M Do Not Vse
o N Cooperative Agreement (Handbook 13)
o O Small Business SetmiddotAside (FPR 11706-8)
o P Overseas Procuring Activities (AIDPR
7middot3101middotSO(b)(2raquo
M06middot TYPE SER VICE
o A TtJining of Participants
o B Technical Assistmce (Program Project
related exc~pt A amp E Services)
J C A amp E Services
0 D COltl~ruction
0 E Research
0 F Technical Services to AID (other than trainmiddot
ing usuaU Y operating ex pense)
0 G Training Service few AID
0 H Equipment Mat~rials Supplie~ Commodities
0 I Translation Service
07middot TYPE CONTRACTORGR TEE
Firmmiddot All profitmiddotmaking fu-r1s (other than
AampE)
o 9 amp E Firms
I Prcct NumbcT
I
Contactors D-U-N-S Numbcr
I) -S--f(j
o C Individual 0-lon-~rsora1 service)
o D Individual (Pet-sonal Service)
o E University lOt her EduCltionaJ Institutions
o F Non-Profit Organization Institutions (other
than Ed or PVO)
o G Private Voiuntary Organization (PVO)
o H International AgricultwaJ Research Organmiddot zation
o I Public International Organizadon~ (UN
Agencies ICRC ewld B3J1k etc)
(HB J 3 Chapter 5)
M08middot TYPE AWARD
o A SB SeImiddotAsidemiddot Awarded to Non-Minority
o B SB SetmiddotAside bull Awarded to Minority
o C SB Not SetmiddotAside - Awarded to Non-Minoril)i
o D SB Not SetmiddotAside - Awarded to Minority
o E ~a) SBA Awarded to Non-Minewity (Womeli
Owned Veterans etc)
o F 8(a) SBA w-rded 1o Minority
o G Personal Service Contractmiddot Non-Minority
o ~ Personal Service Contnct - Minority
o I Individual Non-Personal Sence Contractmiddot
NonmiddotMinority
o J Individual Non-Personal Service Contractmiddot
Minority
o K Not Small Business (Univ Non-Profit L1lge
Firms) --vn-Minority
o L Not Small BUSiness (Univ NonmiddotProfit Large
Firms) ~inoriy
o M VS Government
(Continued on Pcge 2i
t bull - t ~ J f q
ORIGINAL bull MODIFICATION OF GRANT
1 2 Effective Date
Araendllent Ro 4 12-2-80
s CRANTEE CHace and Addrels) Professor Ger1ard Lo~middot enbelg Comparative Legislative Research Deartment of Political Science The Lnivp-rsity of Iowa Iowa City Io~a 52240
7 PIO No NI A
Appropriation No 72-11XHl26
Center
Allotment Symbol -426-30-099-00-3~-71 Amount obligated by this urendment-O- I
3 Gnnt No
AIDcsd-3294
PAGE _____ 1 _of-L
AlI 4 Effective Date
8-11-71
~ Admlnlltered by -Office of Contract Management Central Operations Division OTR Branch Agency for International Development Washington DC 20523
8 Previous PIOITs -
931-11-995-136 930-11-995-136-73-3078103
9 The above numbered Grant is hereby modified as follows
Supplement to Grant
Change the duration period sentence to read
The Duration Period for this Grant shall be August 11 1971 through December 31 198]
1 Amount obligated prior to this amendment $465000 2 A~unt obligated by this amendment -0-3 Total obligated amount (1amp2) $465000
----------------_- - ------- ----_- ------ 10 Thh lImcndmcnt is entered inlo punuant to the authority of the Foreign
~ Assistance Act of 1961 86 amended Except a~ h~reln Z II provided all terms and condi tions nf the grant referenced in Block 3 remain ~~aunchlinged and In fu1l force and effNt cnltUI cJ)za 11 o 4 J bull
Et~ ai~a gtUoItshyc Z P=u
original and six Grantee t requi red to sign this document and return 1- eopies to 1Bufng
office
~ 12 GRANTEE TES OF AMERI CA
(Name typed or printed) bull
TJlle Director Comparative Legislative liecearell CeQtoQl
Date 12880
------------------------------------
ONAL DEVELOPMENT
By ----~--~~~~---------------------
prinled)
Grant Officer Title --------------------------------
J)oll( 12-2-80 -----------------------------
BEST AVAILBLE DOCUMENT i je
- 10 -
Ima rill lOrk collcboratively ~ith the fOrsig1 5cbolars to design a1d
carry out P reseach pruject These projects Till cc~tribute to the
retlaininB of foreign scholars and nill also add to cur mmiddotm and8rstanding
d Research The 9rinciplI enphases in cesenrcl rere cutlined in
Section III above ie to focus en con-9arative studies in iihich
legislative cehaviol can be helpful in explaining the scope of politics
the style of governcent a1d the legitinacl of regiles Variables hich
will be studied Iost closel~r ircluue tbe persistence of institutional
norms in the legislature oyer time the relationship o~ the legislatue
to ether institutions in fornirg public CC1Cepticns of politics and
the histOl~ical context detelini1g public expectations of the 12risleture
This resea~ch nag both academic and practical objectives
Academically it promises to tie legislative behavior research to other
major concerns L1 pcliti~al science such as research on systeJ stability
and paricrJance Its general substaltive eojective is to assess the role
wtlichlegislatures Illay L1 determining the capability of political
s~lstems especially their ability to deal ~middotith soCial change
Vractically the stu1y ~y offer guidance to polic~Y-Dakers on
t~1e role ~ hich legislatures rray be ~lI-pected to pIa)- in neimiddotrly established
political systelt ald on ~hc efcrrrs in established legislatur~s -Thicn
rray be required to achieve specific syste~ effe~ts The study ~dll
Nquire the assccioticn of rembers of legislative staffs a1d 2cademic
colleagues in the s~eLal nations lmder nvestigRotiop plovidirg training
fot ~ll r)f them i1 leeis1ntive re3Clrch ~ri facilitating a valuble
BEST AVAI~BLE DOCUMENT
ll-
of Iml3 ~ill LS~ glmiddot~t f~ds t~ estaolish a data archive to begin to
bring tb~ edtirg legi31ati--re studies tog3tller at a single locaticn
end to =afe t~e ac~essible to tie grc~ring m~er of interested
scholars in t~i3 field PerSCIlllel of tbe Data Archive ~rill searcD
broadly fo all a-reilable data on legislatures in the possession of
ildiviiual researc~rs i11ese data sets ~-Till be acquired refo~atted
for ease in alelrsis a1d stored in Archive Tne Archive ~~ll
asserble tie etel~ Gata O legislative organization ald procedure the
socialization ~~ recruite~t of lzgislators legislative decision-
makLg pccesses 2d legislative outputs To facilitate access to
the data a ~middote-riemiddotrlt11 syste middoti111 be cesigned that will 2011001 r-=searchers
to find ~iccJ ata sets that c~mt2in inforration lelefalt to their
researc1 po)2e5 RibEcg-aphic citation3 cnd abstracts of research
reports on le~i51e-imiddote oebio ~~ill be gathered and a biblicgraphic
retrieval sys tC idll a Geielc9d to aid esealcJers
cooioinet-e1 ~~as n -ie are= of c~rarativa legislatile studies is
t~3t because 0 si~~e iJS in~ti tuticn ias tce necessarJ expertise
of ccrparati ve
1-=gislatiY2 tcie3 8forts of the most conrpeteat ace interested
BEST AVAIL~BLE DOCUMENT MCi I I yl
12 -
oz~ the tr)middote grantee institutions and otter associated scholars It
~ill ayise t~e pa1tee i1stituticns on SllC catte-s as roritorirg
activities at the t~re~ unive~sities~ evalu~ting rese~rch frr possible
=middotclication sJ--sidies rld ether ratters related to infor~atioTI
disse~~ation coordinating research efforts to avoid duplication
ecilitating excha1ges d sttde~ts ad faculty members ~-iitb foreign
nsti tutions i~en desirable tryi1g to till lacunae in cLIricu lUn
helJilg to arralge cmferelces and sy-posia and generally trJing to
9cote te ~eielcp~2nt of cOlparatile legislative stucies as a
Gra1t L~HS idll be ~sed to support the Univ2rsity of Io -a IS
nrticipation in tre AdisorJ Co-i ttee t1e developrrErt of conferenc=s
elsEfhere il the US arHl over3eas i1 relat2d facets of leeislaive sttdies
Edstng iersonJ~l al~d fa-ilities at the University o= 1oa previde
iaculty facliiies to aid rC3emc~ trailg aPd skill in 21c~ivaJ middotork
BES~ AVAIL4BLE DOCUMENT I
r ~-)
- 13 -
Six ITe-bers of t1e faculty of the Departent of Political Science
at the Unhe ity of Im-ia are presently engaged in legislative research
To merbers ot the Departllent of History are engaged in research on the
British Parlia~ent L~ the eighteenth ~~d nineteenth centuries Fer the
past six years an adv~~ced se~inar has been offered by ~embers of the
Department of Political Science and the Department of Histo~J on
comparative legislative behavior This exte1sive collaboration iiill
ma~e it possible to develop a fully inter-disciplinary program for the
students ~~d visiting faculty In addition faculty ~emcers in
Scciology interested in organizatien theory and in the College of Law
interested in legislctive processes provide furtber e-pertise ava_ilable
to students interested in tee study of legislative behavior The
presence of these specialists on th~ facult~r is reflected in the
excensive librarJ al1d otler data resources existing at Iowa in this
field
The Uniersity of Ima offers an unusually extensive program of
trainL~g in research methods Four ~e~bers of t~e Department of Politi~al
~cie1ce teach in the field of research nethods Courses jn statistics
ca1 be taken ill the Dep~rtents 01 Sociology e-d Educational Psycholcgy
Llis prcgr6l provides a verJ solid grounding il research training and
data analysis
bEST AVAILABLE DOCUMENT
e ~
- 14 -
Y labCrato~y for olitical Pesearch is the reseacc1 md research
tlairirg facility of the Departe1t of Political Sci-lce Gcadvate
students receivo extensive res~arch experience through 1or~ing in the
La oratory bull The Lacoratoy is also a1 integral part of the trainirg
o~feed in ccurs~ T~middotO~ for graduate students
The full-time sta~f of the laboratory includes a director an
assistant director a t-=cl1ical cirector a supervisor of study
t1hteen graduat~ students - rf1rk in te Laboratoy receivLLg teining i~1
~a~a collecticn ~~i data e~alysis Tbe facili te5 of the La)oratorltJ
icluoe a oard eJcerline printer ccnnected to the U1iversitys
dis~ and tape storF-ze for d~ta
The pogral of trailing ia coparative legislative reseC_cch ~ill
relr heavily en t LaOerltcLJ- for taching graduate stucents Visi tine
fc111tr lYe~bes iill be able to utilize tbe facilities cf the Laboratory
gt IOra ~as sFcial ccrpetence in prOCed~les for
ccq ter ogagtlizetion of d~ta Ja1ks ~d fOi the p~ocGssing of large data
sets as well as iJ the sttdy of naticnsl end st~te legisltllres Tile
BEST AVAILABLE DOCUMENT
- 15 -
Ile Univelsity of 10Ira will eadnister- the Grant thJotg~ its normal
a)1 iristrative char-l1els ad i1 Eccordance imiddotlith its ncrTal olicies and
operatirg procedures 7he Director of the gr~l1t-s~~ported program
Hill be a senior faculty eriOer of the Gniyecsity of IO~-ia -with extensive
expe~ie~ce in the subject field Associate Directors w~tb similar
qtalifications -aill also be appointed 7he Director- and Associate
Directors ~dll serve as eibers of t~e Inter-University Advisory CC1gtr)ttee
established to cooidinate _u bullbull ID gra1t-stpported programs at IOia Dul(e
lniversity a1d the University of Ha- aii Ll1 this field These relatiol-
ships are i~dicated in tee follc~dng a~inistrative organization chart
IX Ul~vsity Ccntri1uticn
T1~ ~h-ersity of IQ(a aSSures ALD that this Grant middotiill not
replace existing ftnds for STr current activity and imiddotrill be additive
to existing prograrrs of tCe lJniversity In direct sp~ort of this
Grat ttc University ~ill provide a) Acmi1istratile costs including
tie of senior officers of ttlt University b) Office ~ld research space
ald library and cor-puttr facilities c) Provision of a1cillamiddotCjr 1niversity
personnel -or consultation o~ ~middotjQrk nth the progral
X Reports end 5evie~-Ts
There i-ill be sub~itt-=i al arnual t2ctnical report for the purpose
of AID s revie- of activities under te Gant Tnis idLl include
a11 e-llation of prcsr~ss aidnistratve ar_c fiar~cial corsicer~tior~s
p~s cr tr foJlJ-middotire ear ~i disctlssics of the ossible l~lizaticn
BEST AVAJLIl8E OOCI1MrNT
~
- 16 -
A~~inistrative O~ganization
Ice Board of Regents of tle State of Im-la
-Iesicent of the University I
1 rOfcst Jf t-3 University
Den College of Liberal Arts
r Chailan DcptiEt of olitical ScieJce
Inter-G~iversity
Acisorr Corcittee
PcgrG21 Director Associate Progra~ Directors
Liaison Arcrge~~nts d ~h I I~~erested Plcfessiona1 I Perso~el j
I _
I 5cu1ti (full or PmiddotLG-tire l Asscci~tes a1d otllei non-Io~il
3ecip5ents of Gr3-1t stPPC1t Gr~cue~~e S t1~lcnts St2~retQi~S1 Data Lbed~1 31
Ln 18 r1icia 1
LO1t c~lce Factcj~1 ts
BEST AVAILABLE DOCUMENT ( ( V-t
- 17 -
of te eo17i~g cCpterce br A I D rLld ethers In addi tion there
aS3essr~ents of the gr31t
middot l ~ lI ~ _ _ _ co~~~r~~ing ~~iversiti~s md tne rrctitoring ALD office
7re l~yersity of Ie~middot~ budget of $26500 is to be deveted to the
cemiddotelgt~e~ of lstituticnal cefete1Ce in comparotive legisl~tiye studies
~t Iomiddota c t~ the exalsi0 ot a date b~L-lt ~ hich 1fill be utilized as
a ecle for icrec3ing te scope of tbe sub-specialty
T - 1 f 1 __ middotja r S Ctdget a9roxir~tly 33- has bee allocated to a
cemiddote Lp~l t rirc ipally C actlty re leased tirre for data ccllection
ai 0 3alres f~r i~~er-ieers in field research 3d secretarial
assi5ta1ce nCt2 11- of t~e Icmiddotre oudge~ is iesignated for an
ArCE_1 A~ite s(101a~middot 2d one 0 ore scnolals froQ LDe or
s1lllrt of greluate stucents in the
BEST AVAfLIlBLE DOCUMENT
- 18 -
Finally approximately 19 of the budget will be devoted to the
proposed data bruL~ that will archive not only data generated from the
research of scholars at Iowa Duke and Hawaii but also at other US
and foreign institutions Primary and 3econdary an~ses of these
data will become an integral part of ~omparative legislative studies
curricula The ability to utilize the data bank for teaching purposes
also should have a significant impact on professional preparation ofmiddot
future legislative specialists In summary the funds will be
allocated to research teaching and training activities tha~ are
entirely conson~~t with the philosophy underlying the utilization of
2ll(d) grants to achieve institutional development
Conclusion
The University of Iowa regards the research and teacbing components
of this program to be closely related an1 zrutually reinforcing The
University of Iowa offers a strong base for the pro~ram because of the
interests of faculty members here now because of their contacts with
scholars in this field in other Americ~~ and foreign universities
because of their experience with the international exchange of faculty
and because of the distinctive data gathering and processing facilities
available in our Laborator~- for Political Research The program which
we have formulated is designed not only to accomplish specific
research and teaching objectives but to contribute to the long-term
development of the University of Iowa in an area in which it has already
exhibited special interest
BEST AVAILABLE DOCUMENT
~ I) - 0
- 19 -
The program on Comparative Legislative Studies with support from
this Grant rill develop the capacity at the University of Iowa to
provide assistance under separate financing arrangements to developing
countries in a number of ways and through a varieiy of channels This
assistance which would be arranged for end negotiated separate~ from
this Grant may be in the form of technical assistance advisory service
training research and information exchange etc It will be available
by mutual agreement to appropriate agencies national and international
public private a~d mixed and directly to the less developed countries
Most especially this added special competence will inevitably become
incorporated through the processes of scholarship and education into
the competence of US and foreign scholars and institutions concerned
with this topic of great significance to the developing and the more
highly developed countries alike
BUDGET SUMMARY
UNIVERSITY OF IOWA
Salaries
Graduate Student Stipends
Fringe Benefits
Travel
Equipment and Services
Other
TOTAL
$173090
32400
19209
13800
6501
20000
$265000
BEST AVAILABLE DOCUMENT
d bull
srjmiddot (~~ jjXilO
IO
rmiddotmiddot ~middotmiddotrl f)~~ 7 middot 1 ~A~~ middot1 rmiddot middot~ rt bull middot bull bullbull I ~ i bull bull ~ middotv- middot bullbull ~ I
1 so bullbullbull l ~--~-- - - ---- ~ V~ i Jlgt ) bullbullbull ~(lr v ~I ( tr_ 1middot-middot 1 bullbull 1
il l~ J
2 c~loto
BEST AVAILABLE DOCUMENT
(C
Dr Willa~d l Boyd Presicient University of Ima iowa City Iowa 52242
Dear Dr Boyd
4 AUG 1977
amp
FIJNDS AVAnASLe CpoundNrftAamp sEIMCEs DMsON
AUG11 ~n te t6417 ~77
Subject bull Supplsectferit-tJF-G~middotNomiddot~middot AIOcsd-3294
t middot-rrPJ1 3
I am pleased to inform you that pursuant to th~ auth~rity contained in
S-cction 211 (d) ooC the Foreign Assistance Act of 1961 as amended a sup
plemental grant in the amount of $200000 is h~reby r~de to University
of rCi1a These supplement]l grant funds areprolided to support the
activities which are described in your Proposal dated May 6 1977 for
the implementation of your program entitled Political Conditions for i
Effective Small-Scale Rural Assistant Projects
---This sup~lemental grant is mace to University of Iowa en condition that
yo~r institution shall administer the funas provided under this Grant fn
accordance lith your r~ay 6 197 proposal (including Budget SUmlilary) and
the Standard Provisions (as incorporated by Amendment No 1) which have
been agreed to by your instit1ltion Ti) the extent of an inconsistency
between the Proposal and the Standard Provisions and any otherprovisfons
which ar~ made a part of thi5 Giant by reference or other~iSe the Sta~d~
ard Provisions shall control
The new Duration Period for this Grant shall beAugust 11 1971 through
August 10 1979
The total amount of funds obligated under the grant is increased to reflect
a new total oblgated amount of $465000
Please sign the Statement of Assurance or Compliance ana the origfnal -
and seven (7) copies of this letter to acknowledge your understanding of
the conditions under which these funds have been granted Please return
the Statement of Assurance of Compliance and the original and six (6)
copies of this supplemental Grant to the Office of Contract Management
Attachment May 6 1977 Proposal and Budget SUfiT1a ry
UNIVERSITY OF IOWA
Roberw bull OBrien fficer
Ce al Operations Division Office of Contract Management
AC~E~E~C--_ 0 BYpoundk~~ cH
D C ~lpoundSTtR5BA T ITL E ( PfeampoidPilt for
tee ment amp Research DATE 9-22 -77 (d~ ~~Bduate Ctl~1e~e
BES i AvAILdLt UOCLJMU~ I
211(d) Grant Program
Proposal of the University of Iowa
POLITICAL CONDITIO~S FOR EFFECTIVE SMALL-SCALE
RURAL ASSISTA~CE PROJECTS
Submitt~Ci to
Civic Participation Division AID
May 6 1977
Amount requeste~ $ 199987
BEST AVAILABLE DOCUMENT
I TdE DEVEIOP~T PROBr~
P~litical Conditions for Rural Development
The Cocparative Legislative R~search Center of the University of
Iowa proposes to ~~dartake a two-year study to investigate the role of local
leaders and the rural public in theimplecentation of small-scale develop~ent
1 projects in less developed countries The study will use and extend the
capacity ~hich the University of Iowa developed under a 211(d) grant to
investigate and assess the impact of loeal politics on rural development
~t the co~pletion of the s~ Iowa will be in aposition to advise the
Agency on the design ~nd evaluation of s~ll-scale projects which will be
politically viabe a~d effective in ass~sting the rural poor ~
As students of development w~ approach our task with the assumption
that the proble~ of development and underdevelopment are funda~entally
ones of political econooy and a~ such can only be solved through a
simultaneous considerationof economic and political factors Efforts
which foc~s aloost solely on economic factors like those of ma~y
organizations engzed in dipersing foreign aid or efforts which focus
almost exclasively on political factors fail to take account of the
interdependence between these two dimensions of underdevelopment and
lwe have for~ulated this proposal in a canner consistent witr the cu~rent policies ard interests of the Agency We have been guided in our tsk by four Age~cy doc~e~ts Impleo~~tation of New Directions in Developnent Assista~c~~~ ~eport to the COmlittee on International Relations on Ilupleoenshytatiun of Legislative Refo~ in the Foreign Assistance Act of 1973 (July 1975) rItevis~d Projec Developiel Review and Approval Systeo (A I DL Circular A-21 Aril 23 1975) SH Butterfield Draft SUIilZ3ry StateUlent of a Practical Agelcy Approach c aural Devalopilelt (AATA February 28 1975) Cicci A Coce~ual Oie=viamiddot middot Rural Development No1 (lWorilting GOU O~ tha Rural Poor February 1975)
- l -
can meec with only l~ted success
Our concern with the i=pact of local politics on the process of
rural developcent is a result of our interest in the basic question of
how LDC governm~nts and the donor agencies which assist them can
become core effective in raising the standard of living of the rural
poor We seek answers to the following aspects of that basic question
1) What political conditions must exist both within rural communities
and between theo and central gove~ents to raise agricultural production
w~ere small-scale agriculture is the do~nant pattern 2) Vnat are the
political conditions for a core rapid expansion of the informal manufacturing
and service sector cocprised of labor intensive small-scale industries
located in the rural ar s 3) What political structures and activities
are mase crucial for the provision of welfare and econocic supporc services--
such as agricultural exeension mar~eting and transportation--to the rural
areas1 4) ~~at Folitical conditions oust exist to insure that economic
growth in the rural areas is not accowpanied by excessive and intolerable
inequalities between socio-economic classes andor between regions1
Center-Periphery Linkage in LDCs
To deter~ne the political conditions for rural development we have
in previo~s s~udies exacined the institutions and processes through which
rural populaticns are integrated i1to the national politi-cal systetlS of
middot~he countries in which they live A gap exis~s in most less developed
countries bet~een the peasantry residing on the periphery and the c~~tral
political ~stiutions staffe1 by ~~estern-educated bureaucratic elite
We are aware of the other major ~sti~utional discontinuities which comprise
J
4 middot~~1 the basic cleavage between the developed and underdewmiddoteloped sectors of
these dual societies Bridging these gaps is essential if these so~ieties ~ are to develop into viable nation states For until those Q~ the periphery
of the poli~ical syste~ participate in that system and support and comply
with the authority of central political institutions neither economic
development in ~he rural areas nor a stable polity will emerge
Bridging the discontinuities in these new political systems requires
establishing and institutionalizin3middot1inkages or networks for co~unication
and exchange of resources between decision-makers at the center and the
rural public on the periphery Three types of institutional linkages are
most prominent in less developed countries 1) those conSisting of the
state administration composed of the bureaucratice1ite 2) those consisting
of a revolutioncry political party cocposed of the ideological elite
3) and those conSisting of patron-client hierarchies composed of the political
entrepreneurial elite
Of these three linkages consisting of the state administration are
the cst extensive and pervasive in virtua~ly every LOC Such linkages
however exist primarily a~ instruwents of the center to penetrate the
periphery Central government officials are formally charged with bringing
develo~ent to the people This is a ~issi~n which conceives development
as a process ~hrough which a traditional peasantry is transformed and
assimilated iJro the DOdern center which is steadily expanding to embrace
it Agents of the center invariably have more resources to achieve their
objectives than do local political leaders but because they are frequently
strangers~ the communities in which they function they are often unable
- It -
co implement the policies of the center without working through the
local establis~ent
Though somctices significant linkages consist~g of revolutionary
party organizati~ns such as those found in China and Vietnam do not exist -
in most IDCs beca1Se of the special historical and e~omic conditions
required for their development As wi~h the administrative state however
the linkaampe apparatus of such political patties is prUlarily an instrument
of the center whose mission is to penetrate and mobilize those onthe
periphery
In contrast patron-client hierarchies are linkages which represent
the periphery at the center and mediate betwee~ these two disparate
sectors of the political systec Thcugh norcallymiddotovershadowed in scale
by the state administration patron-client hierarchies are found in almost
~very LDC a~d constitute the ~st significant network through which rural i
populations and their leaders influence the decision-~king process at
the center Patron-client hierarchies exist in a wide variety of org~iza-
tional fores ranging from info~ ~ec~~rks of individual olitical leaders
in uno-partyll systelS in S~b-SaharaI4 Africa to extensive political machines
in both one-p~rty (Africa Mexico) and ~u1ti-party systems (Turkey India)
Despite their importance as the pricary means through which peasants in
LDCs particiate in their political systems patron-client hi~rarchies
have only recently become an object of analysis by students of political
developent and do not appear in even the most sophisticated studies of
2 See Jo~ Dunca owell Peasant Socie~y and Clientelist Politics Aerican Politi~ Scielce Revietol 64 (June 1970) pp 411-25 Rene Lemarchand anc_ Keith Legg olitical ClienteliSJ and Ethnicity in Tropical Africa Aierican Political Sc~ecce ReView 66 (Y~rch 1972) pp 68-90 James C Scott PatronshyClient Politics a~d Political Change II 1tlerican Political Science Revie~ 66 (~arch 1972) p 91-113 and Friends Followers and Factiols bull edited by Steffan Sc~~d and James C Scott (Berkeley UniverSity of California Press 1977) bull
- 5 -
3 economic development Ad~niscrators of developmental assistance progracs
have too often regarded patron-clienc hierarchies as ~ped~ents to
develop~ent instead of recognizing cheir potential utility bull
~ Findings on Patron-Client Hierar~hies --
The importance of pat~on-clienc hierarchies for linking the periphery
to the center is one of the major findings ~erging from a study of the
relationships betueen l~gislators an~ their constituents in Kenya Korea
and Turkey ~hich the Cowparative Legislative Research Centpr is nov
comleting uader its 21l(d) grant from AID This study has av~mined the
creation of linkages between the periphery and the center through ~ore
than lO~OOO interviews with members of parl~ent local leaders and
peasants in t~e three countries The findings are being systewatically
set out in a book-length monograph Nearly a dozen research reports have -
uready appeared (see Appendix C) ipropositions about the nature of
political behavior of rural populations an~ the roles of local political
elites de=ived from the research~ can be s~rized as follows
1 Elected representa~ives play a significant role in the creation and mainte~ance of linkages be~een the center and periphery by developing local political achines in which they function as patrons of their constituents In turn thay s~rve as clients of political leaders of national stature who control central government institutions
2 By atte~pting to establish linkages based on patron-client relatio~shi~s elect~d representatives are responding to public expectations chat their prizary duy is to obtain resources from the center to proffiote local develop~ent ~iany elected repLesentatives spend most of their time on self-help co==unity development projects such 3S the building of schools health clinics irrigation works arid roads because such projects provide
3For exa~le ~ a widely respec~ed a~d useful analysis of rural deve16p~ent in Sub-Sahara~ Africa L~ Lele of the World Bank notes the problems of creating an adoini5~raive infrastructure in the rural areas that is sensitive to local socio-oliical conditions She does not however consider how local leaders operating o~tside of adcinistrative structures ~ night contribute to the developne~t 0 the rural areas See ~~ Lele ~ Design ~ Rural Develop~ent Lessons ~ Africa (Balt~re The Johns HopkiD~ Uciversity Press 1975) r) pp 127-61 i ~
- 6 -
their const~tuents with desired se~ices ~~d a= the sa~e time provide the reresentatives with an orgacization Yhicn can be used as a political base
3 l-tore than 90 perCel1t of the rural population is capable of articulating the p~oblems facing their local co~~ity and two-thirds discuss th~e proble~ w~th their fellow citizens on a regular basis
4 Three-q~rters of the residents of the rural areas can identify the public ofpoundici~s who serve thec--both civil servants and elected represcrtatives--by na~e Most are knowledgeable about the activities of these officials Alcost one-fifth coreover have discussed co~~~ity probl~ ~ith these officials particularly those working at the grassshyroots level Residents of rural villages actually have a higher level of political knowledge than their counterparts in the towns
5 Elections in the rural areas evoke a highly rational attern of voti~g despite the effects of ascriptive or traditional co~siderations Inc~ens are pri~rily evaluated in terms of their record in fulfilling the public r S elpectations of what they should do Elections are essentially referenda on inc~entsr perfo~ce especially their perforwance in the area of constituency servi~es such as bringing development projects to the districts bull
6 Local developcent projects have a relatively high s~olic value generating conscitutency support for local leaders and the central government at low cost
7 These projects help huild a local political infra-structure which can also be utilizec by central govern~nt civil servants to implement other policies designed to achieve rural develop~ent bull
The Icpac~ of Local Politics on Rural Projects
Having explored the developtent of linkages through which the periphery
is represented at che ~enter and through which the periphe~ attemp~s to
share in the ceners resources we now propose to build upon our initial
investigations by e~ing in greater detail the impact of local political
conditions on specific problecs of rural develop~ent We propose to
exacine the develop~ental activities of local leaders ~nd the rural public
by eX2~Ding a saple ot fifteen to twenty smalL~scale developwent projects
in each of ~he three countries which constituted the sites for our initial
8ESI AVAILABLE DOCUMENT 1 ~ - of
- 7 -
study of center-perhiphary relations The appropriateaess of this approach
and the ~ethodology through which it will be ip~emented is discussed in
section II Because the ~ethodology of investigation is in large part
the result of our previous research experience we fizst turn to a revieW
of the existinQ __ ~petence of the Comparative Legislative Research Center
in this area
II GRAXTEES EXISTIXG CmET~CE
In 1971 the University of Iowa received a 211(d) grant to develop
its capacity to do research on the role of elected represent~tives in
the process of modernization On the b~sis of this grant the University
established a research center which planned and carried out a research
project on the role of elected reres~~tatives as links between the central
gove~ent and rural populations in K~ya Korea and Turkey The project -i
served to develop t~e University of Iowas research capability in this
field esa~lished ties between the University and scholars in the bost
countries and generated a large and uniqu~ body of relevant data
In that project we fo~ussed our attention on tbe activities of elected
representatives in their constituencies notably in their contacts with
local political leaders voters and civil servants To determine tbe
nature of the linkage function performed by tbe representatives we
designed our research to explore the subject from three perspectives
1) we eXaojned ~~a ~ubject at tbe grass roots by conducting a series of
sample surveys of 200 to 300 adults in each of 12 to 14 parliamentary
constituencies in each cf th~6three countries 2) we examined the subject
at the center by intervie -ing MIls from the constituencies in which we
had conducted S3mple surveys ~nd higher civil servants with whom they
had contact and 3) ~e ex~~ined the subject from an inter-~diate level
by identifying aud ~terviewing local social and political leaders in
the MPs constituencies We used survey research methods because we
were embarking on the study of an entir~ly new subject for which little
relevant docu=e~tary data existed and on which there were few secondary
sources As a result ~e have unparalleled experience with survey
research in the rural areas of less develo~ed countries
The surveys which constituted the cajor part of our field work were
planned in collaboration ~~th scholars from the host countries They were
carried out in each constituency by student interviewers in the appropriate
language ~re than 10000 respo~dents were inteDViewed for the project
Given the visibility and sensitivity of this undertaking approval for
the research was sought and obtained from the host governments prior to -i
the collec~ion of data ~o objections were raised by these governments
at any stage of the research The data obtained have been made available
to scholars i~ the host co~cries and some of the basic findings have
been published in periodicdis in these countries
The Comarative Legislative Research Center ~hich ad~nistered the
project has aisO developed extensive experience in the study of political
leadership in other countries It h3s obta~ed substantial support from
the Fo~d Foundacion and the Rockeeller Foundation has worked in
collaboration ~~h European as ~ell as Asian and African scholars and
is engaged in a ajor study of the role of elected and non-elected leaders
in the oanag~~t o~~ocial conflict Because it has conGucted research
in a variey of setlngs the Center has an ~ceptional capacity to
- 9 -
determine how the relationships be~een political institutions and
economic p=oble75 differ in develoPed and less developed countries
In the course of the major research projects the Center has administered
it has gained highly specializpd ~p-i ce iI identifying 1Olitical leaders
in a great variety of settings conducting systematic interviews with
them collaborating with scholars in the host countries and in coding
and utilizing large files of data to answer specific research questions
The Center has ~lso undertaken to publish the results of its research
in three fores It issues codebooks to the data enabling scholrrs at
other locations to use the data expeditiously i~ publishes research reports - in the form of Occasional Papers and it publishes a scholarly periodical
devoted to the presentation of research findi~gs to an inteIT~tional
audience
The Center utilizes the data ~ysis facilities of the Laboratory
for Political Research of the University of Iowa and drawS on the unusual
n~er of secialists in comparamptive politics and survey research in
~~e Lniversitys Departmen of Political S~ience The Center itself I
has the services of an administrative secretary and a clerk-typist
~intains its~o~cn extensive archives and its o~~ publications program
It is e~uipped to assist scholars and government officials outside the
t~iversity of Io~a The participants in its p~ojects are full-tioe
faculty ~e=bers ~hose undergraduate and graduate teaching is closely
related to their research As part of the teaching program the Center
has attracted students from the countries in which the research projects
have been conducted these students have participated in the projects
bull J
have obtained training in other fields of political science have received
University of Iowa degrees~ and have ret~rned to teach and to do research
in their own countries
III PURPOSE OBJECTIVES AID METHODS
Purpose of Study
The purpose of the proposed grant is to extend the capacity of the
University of Iowa to determine the political conditions in the rural
areas of less developed countries which favor the establis~ent and growth
of small-scale developoent projects ~e objective is to put the University
of Iowa in a position to assist the Agency in designing small-scale rural
developent projects providing guidelines for carrying out social soundness
analyses of such projects and adviSing in the evaluation of projects
We will discuss the utilization of~t~e Universitys capacity in detail in
section IV below
We propose to concentrate our investigations on the political conditions
surrounding s~l-scale ru~al projects Such projects have distinctive
advantages They waximize the political participation of the rural populations
both in det~~-ining the direction ~d implementation of develop~ent efforts
and in defending the interests of periphery vis-~-vis the urban-based
bureaucratic elite S~ll-scale projects stimulate entrereneurial activity
on the part of the rural citizens and growth of the info~l canufacturing
and service sector Tbey require less lead tice and less administrative
c~erhead to ~eco~e operational than large-scale capital-intensive projects
centrally administered Such projects yield rapid and direct benefits to
1
j
the rural
- 11 b - ~~1
populations and are consistentwith their hUIlaD rights--both
political and economic However~ small-s~le projects pose s~ecial probl~s for administratcrs of developceocll assistance progracs because
they require the donor co assess the local olitics particularl the
rural politics of t~e host country
Develop~c adoinistrators pr~rily conc~rned with assisting rural
populations must therefore recognize the range of political variables
affectL~g these projects Small-scale projects offer great opportuoities
for develop~ental assistance progr~ because they can be easily targeted
to help rural populacions require low capital costs and need no be
concentrated in one or two localities Such projects ho~ever~ ~equire
the a~istrator to have ~re political kno~lecge than large-scale
projects Oil which his priJlary tas~ is guiding the work of other experts
Questions for ~Investigation
To detercine the politi~al cc~diicilS ~st conducive to ~he establ~~ent
and gro~h of scalI-scale rural projects ~e propose to address our inquiry
to the following specific questions
1 To what extent and why co local political leaders seek to establish s~~l-scale develop~ent projects within their co~unities
2 To what extent and ~~y do local leaders other than politicians initiate andor provide leadership for s=all-scale developm~t projects
3 Bot do the relations bet~Jeel different types of local leaders (political and non-political) and bet~eeo these leaders and central gove~ent civil servants posted to the rural areas affect the conduct of develop=ent projects
4 How do existing authority ~eLationships between these different leadership grous and the rural pub~ic affect the organization and operation of s~l-scale develop~ent projects
- 12 -
~
5 lhlt is the nature 0 pclgtlic participation in the establishlent and operatio~ of s~l-sclle projects and ~hat are the outcc=es or this participatioe Gucer w~at conditions is such participation ~ost likely to occur
We seek a~swe=s to t~cse questio s L order to determine the effect of
different co~iigurations of local leadership and public participation on the
outcomes or small-scale rural projects te are particular1y concerned with
the ~pact of these configurations on the rate of econocic growth and the
distribution o~ rIGSlth ithin the loal cOlllUlity ~ on the perce~tions of
s~ll-scale proj~cts by central govern~ent per~oncel and the rural public
anmiddot on the organiation or flture projects
To a~swer these que~tions it is oar intention to study the initia~ioD
izJple=enation ald i1lpact of a salple cpound small-scale rural projects in
Kanya Korea and Turley in the sae cOllities in which we carried OU
our initial icvestigations ~ 1973-75 Tne relationships between the -
various conf~gurations of local leadership and public participation and
the three phases of project develop~ant are sho~ in Figure 1 We will
exa=ine projects to pro~ote the adoption of new agricultural techniques
by s~l and moderate landnolders the building of feeder roads irrigation
ditches and other s~ple infrastructure the organization of fa~ers
cooperatives and other local associations concerned with rural development
the establish=ent of rural health clinicS and schools and the setting up
of craft and service industries
Sites for Study
We plan to return to our original set of localities because we possess
a rich body of relevant data on the extent to which linkages exist between
Figure 1
TYPES OF LFLUEXCE OF C2r~ middotGOVER1iEXT OFFCIALS
LoCu LEADERS 0 THE RURAL PUBLI-C OX THRr~
PHASES OF RURAL igtEVELOPHET PROJECTS
r----------~J C~ltral Gover1~nt Official)-N------- - J
r- Local pOlitical leaders
Local non-political leaders
~l 1---- -
ROJECT nITL~TIOS
Influ~ce on selection of projects
InrI ~elce on location of projects
Influence on policy guidelines for proj eCl
Il
I
a
I I
-I PROJECT I~L~~iATIO~ ~ 1
j Project Organizati I Selection of project
leadership
Hobilization of resources
Mobilizatiol of public compliance with project require=elts
Diffusion of project innovation
Rural Public
I
BEST AVAILABLE nOCUMENT
1 ROJECT IMPACT
Organization of ongoi=g project operation
Distribution of project benefits
Evaluation of project
Public attitudes toward project
-middot14 -
these areas and t~c central p~litical institutions of the three co~tries
and on the attit~es of the rural populacioc local leaders and elected
legislators regardi~g their problecs of develop~~c Since such data
is unavailable for alternative locales a return to the areas in which
we have previously done much research ~ables us to build on a uniquely
valuable body of icformation
A return to Kenya Korea and Turkey is also highly desirable from
the standpoint of effective research organization The Comparative
Legislative Research ~enter has developed close collaborative relationships
with several highly competent social scientists in these countries and
with the academic institutions with which these scholars are associated
We have also dev~_oped cooperative relatio~ships wi~ gove~ent officials
in these countries which should facilicate obtaining approval for our
further work
In proposing to doc~ent the origin i~pl~entation and impact of
one to three s~ll-scale develop=ent projects in each of 35 localities
we have two considerations in mind Firstmiddot because our pr~ry goal is
to deter~e the political conditions for rural developm~Lt we wish to
examine develQ~=ent in as many different settings as feasible Only in
this way can we control for so=e of the major socio-cultural variations
that erist along rural populations in less developed coultries These
include the overall level of econo~c development in the co~unity the
nature of t~e ~digenous culture an~ relationships of authority and the
pro~ty of the comounity to major urban areas and centers of central
gove~nt ad=inistration ~ce our original study sites were carefully
BEST AVAILABLE DOCUMENf
- 15 - ~ ~1
selected to represent these variations ye have concluded that these
35 localities woule be ideal sites for the propose~project Second~ in order to dete~~~ the ~pact of local leaders and public
participation o~ ~ural projects we intend to compare projects 1n which
local leaders and ~ecbers of the public have played a major ~ole with
projects in which they have not We also ~l cospare projects initiated
by the central gover~ent with projects Yhich have been locally initiated
These considerations give us a typology for selecting projects as depicted
in Figure 2
Figure 2 ~
FIVE TYPES OF RU~AL PROJCTS ACCORDIXG TO ~FLUEXCE OF CEITiW
GOVE~1E~T LOCAL LEADE~ AD RLRAL POULATIO~
Level of Participation by Rural Population
Locus of Project Initiation ~
Local Co=unity Central Governoent
BIGd
LOt
1 Projects initiated by local leaders and providing for participation of the rural ~opulation
4 Proje~ts Litiated by local leaders bu~ not involving participation of the rural population
2 Projects initiated by the Central Govern~ent and administered i~ cooperation with local leaders a~d the rural population
3 Projects initiated by the Central Govemlent and providing =or the participation of the rural population but by-passing local leaders
5 Projects initiated by the Central Gover~e~t a~d administered in cooeration Yith local leaders but not involvi~g parti~ipation of rural population
- 16 -
We recognize that the socio-cultural setting of rural develoment
projects varies significantly within and across less developed countries bull
By focussing o~ a representative sa=ple of localities ~ Ke~ya~ Korea
and Turkey we can take account of naoy~ though not all of these variations
While some of our substantive findings will not be directly generalizable
beyond the countries in which we propose to conduct our study we expect
that our basic ~ethods and fLdLgs will be applicable to national and
sub-national settings elsewhere in the developing world This is partly
d~e to the fact that the hierarchy of patron-client relations ~hich we
regard as a critical factor in rural develo~~t exists in ~ost Liles
--It is also due to the fact that the methodology for identifying local
bull leadership configurations auG poundor studying local politics which we are
perfe~ting can be used to assess local political co~ditions in a large
variety of countries even when the ~nditions themselves differ significantly
Methods of Investigation
The data needed to assess the iDpact of local leaders and mass
participaticn on rural dev~lop~nt fall into two categories Some a~e
contained among the data gathered for the research project we are currently
completing Others will require additional field research
The following data are already in hand
1 Data on the social landscape of each loc~l co~nity i~cluding aggregate data o~ level of econonic development de~graphic characteristics political pa=ticiation eth~ic loyalities and rates of socio-econocic change dur~g the past decade bull
2 Identity of local leaders including both political and I-on-political leaders and both legislators and other politicians
3 Perceptions of existiag probl~ and their possible solution a~ng
l)tS r AVAilABLE DOCUMENT
- 17 -
general public local leaders and civil serv~nts
4 Level of political kno~ledge among local citizens and local political leacers
5 Political and social values a~ong local ci~izecs and local political leaders
6 E~~ectacions of leadership roles among the local public and elected and non-elected leaders
7 Patterns of co~unication ~ong local leaders and between local leaders and the central gove~e~t
These data ~hich ~e already have in hand can be subjected to analyses
which ~~ll provida the foundation for our further work on rural develop~ent
projects A part of our work therefore will consist of fu~ther analyses
of existing data
New data of the following kinds are also required
1 Doc~entary data on the origin and evolution of particular smallshyscale develop~cnt projects in the rural areas
-2 Data on project costs boih ~itial invest=ent and recurring
operating costs and data on project ou~puts ie pupils in schools Ddles of road coopleted nl~ber of hospital a~ssions production of factory agricultural productivity
3 Data on project organizatio~ n~~r of local inha~itants participating in establis~~ent of projectt nuober of local L~habitants subsequently involved in project
4 Data-on the pe-cetion of projects by local leaders emers of the local public a~d by civil servants data on the perception of how each project ~as initiatec organized who benefitted and what its future implicatio~s are
These types of data will requ~re field work involv~~g both docucentary research
at the relevant ~istries of the central government and in local goverr~nt
authoritieS and inforoal open-ended interviews with local political leaders
elected representatives and other local leaders who~ we had previously ~
interviewed in a s=uctured syste=atic =aoner
BEST AVAILABLE DOCUMENT
- 18 -
Grant Organizatio~ and T~etable
We propose co undertake the research outlLled above beginning in the
fall se=ester 1977 Dur~g that te~ Professors Barkan and Kim as
principal investio~tors for the neo1 proj ect will contact their collaborators
in the host co~~tries They ~~ll also seek the collaboration of an additional
~rican scholar specializing in rural development with the aic of getting
additional advice on sources of data and suitable indicators for the
~easure=~~t of rural develop~ent projects
At the end of the fall seQester Professors Barkan and Kim will make
a trip to their research sites to disc~s details of the research organization
with their collaborators in the host countries and to recruit student
assistants Tney will devote the spring te~ 1978 to further analysis
of a~sting data at the University of Iowa
The gathering of additional dita L~ the field will begin in the s~er
of 1978 Professors Barkan and Kio will direct this work personally We
eAect that its coopletion ~~ll require three to six months This work ~1
involve the evaluation of central and local gove~ent reports on the
projects uncer investigation extensive on-site observations of the projects
and oen-e~ded interviews with the principal participants Our principal
respondents ~i1l be the local leaders and elected representatives we
have previously identified in the localities in which we have worked and
a sacple of active participants in the particular dpvelopment projects
being studied ~~ere necessary and apropriate surveys of the general
public will be uncertaken to assess the inpact of a given project on the
rural por)r We do not however leed 0 conduct systeAlatic sample surveys
BEST AVAILABLE DOCUMENT
- lY -
of the rur~l population as We did in 1974
In the organization of this research project we intend to reconstruct
the rese~rch tea=s ~e e=ployed during 1973-75 We shall again seek the
co11abo=~tion of P~ofessor Sc~~S-7o~g Pai of Seoul National University ~
Professor IIiCr Turan of the University of Istanbul and Professor John J
Ok~u of the U~iversity of ~arto~ S~ilarly w~ contemplate directing
the field research fro~ he same acade~ic research organizations we previously
used Seoul National U~ive~sity th~ ~~iversity of Istanbul and the
Insti~ute for Develop~eut S~udies University of Nairobi As before we
will tra~ students f~oo these institutions to serve as interviewers
The analysis of the open-ended intervie~s and of docUQentatio~ on
I ~ural develop=e~t projects will be a ~ore t~e-co~s~g process than the
analysis of closed intervie~s It will reqrire a high cotnittl~t of time
fron the principal investigators )e e--pec to hold a conference at the i
U~iversi~y of Iowa 3lO1g all the principal )clticipa~ts in the resea~ch
project d~=~g t~e spr~g 1979 to evalua~~ the newly collected data
le e~ pect to be able to vr-ite reports of t~ results during the Sl1~er 1979
(see Figre 3)
IV LlX-GS ~1) U~ILIZATIO~
At the e~d of the grant period the Uti ersity of Iowa will be able to
1) advise the Agalcy 01 the design of s~l-scale rural projects to assist
the rural poor 2) provide guidelines for social soundness analysiS of
small-scale projects for the rural areas of U)Cs 3) consult w~th the
Ag~tcy 01 the evaluatiol of rural projects ~d 4) provide LDe governments
BEST AVAILABLE DOCUMENT
)ATES
~lll
1977
~inter 1977
iprilg 1978
il mer 1978
~all
1978
ipr~ng
1979
Imiddoter 1979
University vf Iowa
Plutlning of rural develo~rent project
Barkan Kil
Alalysis of existing data
Barkan Kia
Data processing
3arkan Kin
1
I
- 4 -
Figura 3
GRAT TLfETABLE
SIT E S
Kenya Korea Turkey
Preparation of field research ural developH~lt project cOlisulta~io~ a research sites
BarkanOku=u Ki~Pai Tura~rkanKi~
Preparation of field resea-ch
Tural
Field research on rural cevelop~~t projects Bar~lOk~u Ki=Pai Turan
Co=pletion of Co=pletion of field resear~~I~ fiald researcr
Ok~u i Pai bull
f Coopletion of field research
Turan
Data analysis conference a~ong all princial i~vestigators at Un~versity of Iowa Barkan Kil Oku=u Pai Turan
Co=letiol of r~ral develop~ent
project
3arkan Kiz
BEST AVAILABLE DOCUMENT
I
- LL -
~ith speciali~cs o~ ru~al developcect ~mong their own citizens ~ho ha_
partcipatcd ~s collaborators in the Iowa projects
In the proposed project we Will test a series of hypotheses cOlcerning
the political cOllditions of rural develo=ent which run counter to CODOn
assuoptions conccrnir3 t~~ influence of rural politics on project effectiveness
As a result ~e ~dll be able to assist the Agency in designing and evaluating
such projects froe the point of V~~W 0 their political viability The
hypotheses We will test sugges~ t~at the patron-clie~t relations existing
in the local politics of zost LDCs are not necessarily i~pedients to rural
develop~ent but are aspects or the political structure which cal be used to
facilitate s~ll-scale ru=~ projects which will raise the standards of
living of _ ~ rral pomlation - As ~ result or our stuey we expect to be
able to P~-O~t the local leadership confi5~rations ~4d the relationships
between local leaders ald rural poclations ~nich are oost conducive to I
successful develcp=en efforts We believe that we will be agtle to perfect
a cat~odology for identifying the political conditions for rural develop~ent
one ~hich is transferable pound~oo the countries we have specialized in to
other LDCs
We proo~ to develop specific guidelines to assist administrators
charged with selecting evaluating and =onito~ing rural develop~ent
projects to ~szess t~esc rojects in tares of their-social and political
viability he outco~e of such projects is dete~ned not only by the
efrectiv~nass ~~=h ~hich they use scarce econo~c resources but by the
~~er L~ w=ich they e~gage the suppprt of local leaders and rural
po~ulatiocs~ by thei= effect ou social a~d econo~c equality ~d by
D[~T AvAlLA8LE DOCUMENT
- 22 -
their consequences for hwan rights ~Je plan to establish criteria by
middot~hic~ the probable outco~es of projects in these social terms can be
anticipatec
The study ~e propo e will be undertltlken by faculty at the Cniversicy
of lowe in collaboration with faculty a other ~rican institutions and
institutions in the host countries We will build on the extensive contacts
between the Co~perative Legislative Research Center of the ~niversity of
Iowa end other instituions with ~aich ~e have worked One =ajor result
of our collaborative study will be the existence of a net~ork of compe~ent
scholars both in this country and overseas experi~lced in ~orking together~
shar~g a co~on teaching and training experience i~ close contact throu~~ the
effective publications progr~ developed by the Co~parative Legislative Research
Center T~e e~~ertise of this group of individuals will be ava~lable to
oteer scholars to the Agency and ~o L~C governments for specific policy
advice The eXertise developed as a consequence of this project will
extend beyond the ~tionals of the countries ~volved since the univ~sities
engaged in ~e project attrtct stude~ts fro outside heir own countries
For ey~=ple the teaching ~d research progra in the Depar~ent of Political
Science 0 theUniversity of Istanbul heavily affected by the participation
of its facul~y ~e=bers and graduate students in our projects attracts students
throughout the ~middot1iddle East for Whom the University of Istanbul is the iajor
institution ~pound ~igher education in the region rne Institute for Developmen~
Studies is si=ilarly a focal point for students and faculty in East and
Central Africa Seoul ~atiocal Unive=sity attracts students froo other
Asia~ co~tries~ In this way the capability developed among the participant$
BEST AVAIL~BLE DOrUMENT
- ) -
in our work is diffused widely To the exte~ that the abili~y to assess
rural develop~ent p~ojects in teres of their social soundness is increased
both in the United States and in ~o~~tries r~ceiving develop=en~ assistance
the cap3~ity of racipien~ countr~es to absorb aid is ~creased
We propose to draw up an inventory of personnel available in ~~e
Cnited States and in other co~~tries who are able to consult with developen~
a~nistrators on the design of rural development projects and on their
evaluation We ~~ll draw first of ai~ on individuals w~o have been
directly associated with our ~ork in the past or on ~he proposed project
and ex~~~d the list to include graduate students and gove~ent officials
with who~ these individuals have wor~d
tole Yill utilize tha existing publication program of the Center
dercribed above to disse~inate our findings The Center has specialized
oailing lists of interested individuals and institutions in all parts of -i
the world and its reports can trerefore reach the ~st relevant audience
jirec~ly ~d re~~arly
BESl AVAIL~BLE OOCUMENT
CONTRACfjGRANTCOOPERATIVE AGREEMENT DATA SHEET
INSTRUCTIONS fjDW Complete 4 copies of the form Original SERCMSDSUP Statistical Section Copy Copy 2 SERCMSIiUP dministrative Copy opr 1 Contracting Officers COy COP) 4 SERCMSDSUP IUmin (Suspense) Copy
Missions Complde 2 copies oi the form Origin31 SERCMSDjSUF- Statistic31 Section Copy 3n~ Copy 2 Nill be ret31ned in the Missions
PART fA
ConU3lttorGranrce Name
University p~f~I~o~wa~ __ -r~ ____ ~~~~ __________ -~~ __ ~~~ ______________ ~~~~ Plorr Numt-er ApptopriJtion Number Allotment Number Project Number
930-0090-3Q13411 A5 72-111l0216 146-30-099-00-20-11 930-0090 Project Title
So~ia1 and Potitica1 Aspects of Development - Conference to Report Research Findings Amount of this Plorr I Projecl M3nagers Name and Offire Sytlbol
$10397 (increase) PDPRCP Jonatlan Silverstone Contr3ctors D-U-N-S Number
Ncgwatocs TYJlCd~3meJ j) Signature I l ~ jIf- bull G HtJ--ft u l IVmiddot
D~e
L - f - J ContractGrant Officqs typed Nailllt Signalure LJ d I -r-
plusmn t 3i-alflpta (( BLvle~ 1 I~ PARTm
ContractGranl Number
AID CSD-3294
Effeclive Date of Docum~nl Signalltre D3t~ of Documenl
Lf---C yen-~-gl tIost Courtry Institution (U iwrsity contract ONL Y)
Campus Coordinator (Uniwr ty i contract OiiL YJ
PART UL Descriplion of Cor-tractGrant P1use X ONL Y ONE item under each headiZg IF THEltrease CifYmC~e bolh ges I 30~~ O~ Nol to be completed for Amendmenl or Modlfic3lion AJigtns I III
J 710gt I I V ~ I
MOl - TYPE ACT A~ 0 G unsolicited Propsll (AIDIR 0 C Individual (Non-pe~nal senice)
~ O Cortra lGrantl ooperative Agreemenl 73101-SO(b)(6raquo 0 D Individual (ftrsonal Service)
tJl T3sk Order ( A)middot 0 H Procurement 10 be Perfocm~d by the Conmiddot 0 E UniversilyOther FAuC3lionailnSlitulions
D 2 Work Order (IQC) Ira~lor in Person (AIDPR 0 F Non-Profil Organizationlnslitutions (other
D 3 Delivety Order (Requirements) 73101middotSO(b)( Iraquo than Ed or PVO)
[j 4 Purchase Ordcr [J I Sole Source (AIOPR 7-3101-SO(b)(4)) 0 G Private Volunury Organization (PVO)
If I 2 or 3 1Lle an ~ compllle M 12 ON Y D J Imp3irmenl of Foreign Policy Objectiws 0 H International Agricultural Research Organj-
M04 - CONTRACTGRANT TYPE
o O MOA (BOA BMA etc)
o I Fixed Price (Specify fFP FPRD FPEPA FPI) _____ _
(gtIDPR 7-31 OJ SO(b)(7raquo
OK B(a)5eJection (FPR 1middot1713-1)
o L Grant iH1ndlOok 13)
o M Do Nol Ue
D 2 Cosl Reimburemenl (S~cil) CR CPFF 0 N Cooperative t~reement (Handbook 13)
CS CPAF CPIF) ~ 0 O Small Business SeImiddotAside (FPR 1middot1706-8)
o l Cooperative Agreemenl ~ 0 1 Overseas Procuring AClivilies (AIDPR
04 Grant Gener31 Supportmiddot 0U ~ 7lIOI-SC(b)(2))
o S Granl - Specific Support ~ ~06 E SER VICE
g ~ ~~t ~~(d) ~~ ~~ ~ eci~a~~~~~ogram Projeci
o amp IQCs ~ ~ relampted excepi A amp E Services)
o 9 Host Counlry ContraclGrnnt 5lJ C amp E Services
middotComplele ONLY through ~Sl ~~ 0 D Construction
M05 SELECTION PROCEDURES 0 E- Reseuch
o A Formally 3dverliscd (IFB) (A1DPR 7middot24 amp
FPR 1middot24) ~ o B Negoli3ted Price Compelilicn Gencr31
Procedure (RFP) (-JDPR 7456)
Dc A amp E (AIDPR 7410)
0 D Ed Inst andor Inl1 R~arch (-JDPR
74 5)
o E Collaboratoe Assisunce (IDPR 7458)
C F Predominant Capability (IOPR
73IOI-50(b)(l)
AID 1420-49 (179) - Page I
D F Technical Services to AID (other than trainmiddot
ing usually o~ating expense)
D G jraining SetVice for AID
o H Equipment Materi3J~ Supplies Commodities
D I Translation Service
~07middot TYPE CONTRACTORGRA-nEE
o A Firmmiddot AU profil-rn3king fUms (other than
Aamp E)
J e A amp E 8r~
zalion
o Public Inlmlational Organizations (UN
Agencies ICRC Wocld Bank elc)
(H8 J 3 Chapt~ S)
M08- TYPE AW~RD
o A S8 Sel-Aside - Awarded to Non-Minority
o B S8 Set-Asidemiddot Awarded to MinXity
o C_ S8 NOI Set-Aside - Awarded to Non-Minority
o D S8 NOI SeImiddotAsidemiddot Awarded 10 Minority
o Eo amp(a) S8A Awarded to Non-Minority (Womerl-
Owned Veterans etc)
o F 8(a) S8A Awarded 10 MinorilY
o G Personal Sen-ice ConlrdCt bull Non-Minority
o H IeJSDnal Service Conlract - MinorIty
o I Individual NonmiddotPersonal Service Contraci -
NonmiddotMinority
o J 100Jigtiduai NonmiddotPersonal Service Contracl -
Minorily
o K NOI Small Business (Univ NonmiddotProfit Large
Firms) Non-Minorily
o L- NOI Small 8usineSl (Univ Non-Profit Large
Firms) Minorily
o M US Govcrnmlnt
(Connnued on Page 2)
BEST AVLABIE DOCUMENT 1 I
--
ua ) R I GI NAL 9 bull
MODIFICATION or GRANT PAGE 1 of 2
AH 1 2 Effective Date 3 Grant No 4 Effective Date
Amend_at Ro 5 April 15 1981 AIDCSD- 3294 8-11-71
-s CRANTEE (Name and Addrea) 6 Administered by -Professor Gerhard Loewenberg -Office of Contract Management Cbrnparative Legislative Research Gente Central Operations Division Dept of Political Science am Branch University of Iowa Agency for International Developn~nt Iowa City Iowa 52240 Washington D C 20523
7 PIO No 930-0090- 3013411 A5 8 Previous PlOTa -
Appropriation No 72-11110216 93i-1l-995-l36 930-11-995-136-73-3078103
Allotment Symbol - 146-30-099-00-20-11 wunt Obliga ted by this ~ndrnent - $10397
The above numbered Grant is hereby modified as follows
1 Anotmt obligated prior to this rurendment 2 Amount obligated by this amendment 3 Total obligated anount (1 amp 2)
Delete the amJmt $465000 and substitute in lieu thereof the ammnt I$47S 39-7 ~
FUNDS AVAIrABm
~~ - APR 13 1981
PrO~A~~5iors
$465000 $ 10397 $475397
OffiCE Of fIN~(1 ~~rE~E~T __ _ 10 This amendment 11 entered into puruant to the authority of the Forelgn
Assistance Act of lS~l as amended Except aft hereln provided all terms and ~~ndi~ons nf the grant rcferpnccd in Block 13 remain unchsnged and in full force and ~ffcct
11 original and six Crantee 18 requlred to aign thh document aad return 1- eopics to issuing
ffiee
~~~ or printed) BUSINESS MAHAGR amp bull
Tille TREASURER
UNITpound) STATES OF AHERICA AGENCY FOR INTERNATIONAL DEVELO~NT
BY_-1(1o-_1lt--= 13middot~_1_~ __ K R B1uteau
(Name typed or printed)
Tltle~ ____ G_r_a_n_t __ O_f_f1_c_e_r ____________ __
D3tC APR 2 J 7997 Dolt 9 APq 1981
BEST AVAILABLE DOCUM NT ___ 0 HLGlNAL - I 1 J 1 ~ )
- 2 -
AID ftmds in the am)tmt of $10397 are hereby provided for the activities lmich are described in your proposal (including Budget Stnmnary) entitled CDnference to Report Research Findings on the Study of Political CDnditions for Effective Small-Scale Rural Assistance Projects in Kenya Korea and Turkey dated February 17 1981 and made a part of the Grant b reference
BtTDGET StMMARY
Line Item
Travel
Per Diem
Other Direct Costs
Less existing 211 (d) grant funds
Total Amount Obligated by this Amendment
Estimated Costs
$ 5888
5100
_ 2500 $13488
_ 3091
$lO39
Note Indirect costs or $395086 associated with these activities will be contributed by the University of Iowa
BEST AVAILABLE DOCUMENT
~RIGINAL
- CONTRACT IGRANTCOOPERA rIVE AGRElEMI~ SERC~SDSlP Actio) Monitor
SERCMSDSUP Action Office
I
INSTRUCTIONS AJDW - Complete 4 copit of tlh fonnmiddot Orisina iCMSDfSUP Sutistical Section COP)middot Copy 2 SERCMSDjSVP Administrative CoP Copy 3 Cont-acting Officers COP) Copy 4middot SOSUP Admin (Susptnse) Copy Missionsmiddot Complete 2 copies of the form or~aI SERCtSDSUP Statistical Section Copy and Copy = wiU~ retained in the Missions
0 PART IA
Effective Date of Document tJ
Delivery Order (Requirements)middot
o 4 Purcluse Order
bull If I 2 or 3 have an bull X compl~te M I 2 ON L Y
M04 - CONTRACTGRANT TYPE
o O MOA (BOA BMA etc)
o 1 Fixed Price (Specify FFP FPRD FPEP FPI) ___ _
o 2 COli Reimbursement (S~cifY CR CPFF CS CPAF CPIF) ______ _
o 3 Cooperative Agreement
o 4 Grantmiddot General Support
o S Grantmiddot Specifi Support
o 6 GraDt 21 led)middot
o 7 Do Not Use
o amp IQCs
o 9 Host Country ContractGrant
middotComplete ONLY through M 5 1
MOS SELECTION PROCEDURES
o A Formally advertised (IFB)(AJDPR 7middot24 amp
FPR 124)
o B Negotiated Prire Competition General
Procedure (RFP) (AIDPR 7456)
o Co A amp E (AlDPR 4 I 0)
o D Ed Ins andor Intl ReStalch (UDPR
7457)
o E Collaborative ASSistance (AIDPR 7458)
o F Predominant Capability (AIDPR
7-310l-50o)(3)
AID 142049 (1-79)middot Page J
o H Procurement Co be Performed b~ the Conshy
tra~tor in Person (AlDPR
7middot3t OI-SO(b)(Iraquo
o I Sole 5gturce (AIDPR 7middot3101middotSO(b)(4raquo
o J Impairment of Foreign Policy Objecdv~
(AIDPR 7middot310 ImiddotSO(b)(7raquo
o K 8(a) Selection (FPR 1middot1713-t)
o L Grant (Handbook J 3)
o M Do Not Vse
o N Cooperative Agreement (Handbook 13)
o O Small Business SetmiddotAside (FPR 11706-8)
o P Overseas Procuring Activities (AIDPR
7middot3101middotSO(b)(2raquo
M06middot TYPE SER VICE
o A TtJining of Participants
o B Technical Assistmce (Program Project
related exc~pt A amp E Services)
J C A amp E Services
0 D COltl~ruction
0 E Research
0 F Technical Services to AID (other than trainmiddot
ing usuaU Y operating ex pense)
0 G Training Service few AID
0 H Equipment Mat~rials Supplie~ Commodities
0 I Translation Service
07middot TYPE CONTRACTORGR TEE
Firmmiddot All profitmiddotmaking fu-r1s (other than
AampE)
o 9 amp E Firms
I Prcct NumbcT
I
Contactors D-U-N-S Numbcr
I) -S--f(j
o C Individual 0-lon-~rsora1 service)
o D Individual (Pet-sonal Service)
o E University lOt her EduCltionaJ Institutions
o F Non-Profit Organization Institutions (other
than Ed or PVO)
o G Private Voiuntary Organization (PVO)
o H International AgricultwaJ Research Organmiddot zation
o I Public International Organizadon~ (UN
Agencies ICRC ewld B3J1k etc)
(HB J 3 Chapter 5)
M08middot TYPE AWARD
o A SB SeImiddotAsidemiddot Awarded to Non-Minority
o B SB SetmiddotAside bull Awarded to Minority
o C SB Not SetmiddotAside - Awarded to Non-Minoril)i
o D SB Not SetmiddotAside - Awarded to Minority
o E ~a) SBA Awarded to Non-Minewity (Womeli
Owned Veterans etc)
o F 8(a) SBA w-rded 1o Minority
o G Personal Service Contractmiddot Non-Minority
o ~ Personal Service Contnct - Minority
o I Individual Non-Personal Sence Contractmiddot
NonmiddotMinority
o J Individual Non-Personal Service Contractmiddot
Minority
o K Not Small Business (Univ Non-Profit L1lge
Firms) --vn-Minority
o L Not Small BUSiness (Univ NonmiddotProfit Large
Firms) ~inoriy
o M VS Government
(Continued on Pcge 2i
t bull - t ~ J f q
ORIGINAL bull MODIFICATION OF GRANT
1 2 Effective Date
Araendllent Ro 4 12-2-80
s CRANTEE CHace and Addrels) Professor Ger1ard Lo~middot enbelg Comparative Legislative Research Deartment of Political Science The Lnivp-rsity of Iowa Iowa City Io~a 52240
7 PIO No NI A
Appropriation No 72-11XHl26
Center
Allotment Symbol -426-30-099-00-3~-71 Amount obligated by this urendment-O- I
3 Gnnt No
AIDcsd-3294
PAGE _____ 1 _of-L
AlI 4 Effective Date
8-11-71
~ Admlnlltered by -Office of Contract Management Central Operations Division OTR Branch Agency for International Development Washington DC 20523
8 Previous PIOITs -
931-11-995-136 930-11-995-136-73-3078103
9 The above numbered Grant is hereby modified as follows
Supplement to Grant
Change the duration period sentence to read
The Duration Period for this Grant shall be August 11 1971 through December 31 198]
1 Amount obligated prior to this amendment $465000 2 A~unt obligated by this amendment -0-3 Total obligated amount (1amp2) $465000
----------------_- - ------- ----_- ------ 10 Thh lImcndmcnt is entered inlo punuant to the authority of the Foreign
~ Assistance Act of 1961 86 amended Except a~ h~reln Z II provided all terms and condi tions nf the grant referenced in Block 3 remain ~~aunchlinged and In fu1l force and effNt cnltUI cJ)za 11 o 4 J bull
Et~ ai~a gtUoItshyc Z P=u
original and six Grantee t requi red to sign this document and return 1- eopies to 1Bufng
office
~ 12 GRANTEE TES OF AMERI CA
(Name typed or printed) bull
TJlle Director Comparative Legislative liecearell CeQtoQl
Date 12880
------------------------------------
ONAL DEVELOPMENT
By ----~--~~~~---------------------
prinled)
Grant Officer Title --------------------------------
J)oll( 12-2-80 -----------------------------
BEST AVAILBLE DOCUMENT i je
ll-
of Iml3 ~ill LS~ glmiddot~t f~ds t~ estaolish a data archive to begin to
bring tb~ edtirg legi31ati--re studies tog3tller at a single locaticn
end to =afe t~e ac~essible to tie grc~ring m~er of interested
scholars in t~i3 field PerSCIlllel of tbe Data Archive ~rill searcD
broadly fo all a-reilable data on legislatures in the possession of
ildiviiual researc~rs i11ese data sets ~-Till be acquired refo~atted
for ease in alelrsis a1d stored in Archive Tne Archive ~~ll
asserble tie etel~ Gata O legislative organization ald procedure the
socialization ~~ recruite~t of lzgislators legislative decision-
makLg pccesses 2d legislative outputs To facilitate access to
the data a ~middote-riemiddotrlt11 syste middoti111 be cesigned that will 2011001 r-=searchers
to find ~iccJ ata sets that c~mt2in inforration lelefalt to their
researc1 po)2e5 RibEcg-aphic citation3 cnd abstracts of research
reports on le~i51e-imiddote oebio ~~ill be gathered and a biblicgraphic
retrieval sys tC idll a Geielc9d to aid esealcJers
cooioinet-e1 ~~as n -ie are= of c~rarativa legislatile studies is
t~3t because 0 si~~e iJS in~ti tuticn ias tce necessarJ expertise
of ccrparati ve
1-=gislatiY2 tcie3 8forts of the most conrpeteat ace interested
BEST AVAIL~BLE DOCUMENT MCi I I yl
12 -
oz~ the tr)middote grantee institutions and otter associated scholars It
~ill ayise t~e pa1tee i1stituticns on SllC catte-s as roritorirg
activities at the t~re~ unive~sities~ evalu~ting rese~rch frr possible
=middotclication sJ--sidies rld ether ratters related to infor~atioTI
disse~~ation coordinating research efforts to avoid duplication
ecilitating excha1ges d sttde~ts ad faculty members ~-iitb foreign
nsti tutions i~en desirable tryi1g to till lacunae in cLIricu lUn
helJilg to arralge cmferelces and sy-posia and generally trJing to
9cote te ~eielcp~2nt of cOlparatile legislative stucies as a
Gra1t L~HS idll be ~sed to support the Univ2rsity of Io -a IS
nrticipation in tre AdisorJ Co-i ttee t1e developrrErt of conferenc=s
elsEfhere il the US arHl over3eas i1 relat2d facets of leeislaive sttdies
Edstng iersonJ~l al~d fa-ilities at the University o= 1oa previde
iaculty facliiies to aid rC3emc~ trailg aPd skill in 21c~ivaJ middotork
BES~ AVAIL4BLE DOCUMENT I
r ~-)
- 13 -
Six ITe-bers of t1e faculty of the Departent of Political Science
at the Unhe ity of Im-ia are presently engaged in legislative research
To merbers ot the Departllent of History are engaged in research on the
British Parlia~ent L~ the eighteenth ~~d nineteenth centuries Fer the
past six years an adv~~ced se~inar has been offered by ~embers of the
Department of Political Science and the Department of Histo~J on
comparative legislative behavior This exte1sive collaboration iiill
ma~e it possible to develop a fully inter-disciplinary program for the
students ~~d visiting faculty In addition faculty ~emcers in
Scciology interested in organizatien theory and in the College of Law
interested in legislctive processes provide furtber e-pertise ava_ilable
to students interested in tee study of legislative behavior The
presence of these specialists on th~ facult~r is reflected in the
excensive librarJ al1d otler data resources existing at Iowa in this
field
The Uniersity of Ima offers an unusually extensive program of
trainL~g in research methods Four ~e~bers of t~e Department of Politi~al
~cie1ce teach in the field of research nethods Courses jn statistics
ca1 be taken ill the Dep~rtents 01 Sociology e-d Educational Psycholcgy
Llis prcgr6l provides a verJ solid grounding il research training and
data analysis
bEST AVAILABLE DOCUMENT
e ~
- 14 -
Y labCrato~y for olitical Pesearch is the reseacc1 md research
tlairirg facility of the Departe1t of Political Sci-lce Gcadvate
students receivo extensive res~arch experience through 1or~ing in the
La oratory bull The Lacoratoy is also a1 integral part of the trainirg
o~feed in ccurs~ T~middotO~ for graduate students
The full-time sta~f of the laboratory includes a director an
assistant director a t-=cl1ical cirector a supervisor of study
t1hteen graduat~ students - rf1rk in te Laboratoy receivLLg teining i~1
~a~a collecticn ~~i data e~alysis Tbe facili te5 of the La)oratorltJ
icluoe a oard eJcerline printer ccnnected to the U1iversitys
dis~ and tape storF-ze for d~ta
The pogral of trailing ia coparative legislative reseC_cch ~ill
relr heavily en t LaOerltcLJ- for taching graduate stucents Visi tine
fc111tr lYe~bes iill be able to utilize tbe facilities cf the Laboratory
gt IOra ~as sFcial ccrpetence in prOCed~les for
ccq ter ogagtlizetion of d~ta Ja1ks ~d fOi the p~ocGssing of large data
sets as well as iJ the sttdy of naticnsl end st~te legisltllres Tile
BEST AVAILABLE DOCUMENT
- 15 -
Ile Univelsity of 10Ira will eadnister- the Grant thJotg~ its normal
a)1 iristrative char-l1els ad i1 Eccordance imiddotlith its ncrTal olicies and
operatirg procedures 7he Director of the gr~l1t-s~~ported program
Hill be a senior faculty eriOer of the Gniyecsity of IO~-ia -with extensive
expe~ie~ce in the subject field Associate Directors w~tb similar
qtalifications -aill also be appointed 7he Director- and Associate
Directors ~dll serve as eibers of t~e Inter-University Advisory CC1gtr)ttee
established to cooidinate _u bullbull ID gra1t-stpported programs at IOia Dul(e
lniversity a1d the University of Ha- aii Ll1 this field These relatiol-
ships are i~dicated in tee follc~dng a~inistrative organization chart
IX Ul~vsity Ccntri1uticn
T1~ ~h-ersity of IQ(a aSSures ALD that this Grant middotiill not
replace existing ftnds for STr current activity and imiddotrill be additive
to existing prograrrs of tCe lJniversity In direct sp~ort of this
Grat ttc University ~ill provide a) Acmi1istratile costs including
tie of senior officers of ttlt University b) Office ~ld research space
ald library and cor-puttr facilities c) Provision of a1cillamiddotCjr 1niversity
personnel -or consultation o~ ~middotjQrk nth the progral
X Reports end 5evie~-Ts
There i-ill be sub~itt-=i al arnual t2ctnical report for the purpose
of AID s revie- of activities under te Gant Tnis idLl include
a11 e-llation of prcsr~ss aidnistratve ar_c fiar~cial corsicer~tior~s
p~s cr tr foJlJ-middotire ear ~i disctlssics of the ossible l~lizaticn
BEST AVAJLIl8E OOCI1MrNT
~
- 16 -
A~~inistrative O~ganization
Ice Board of Regents of tle State of Im-la
-Iesicent of the University I
1 rOfcst Jf t-3 University
Den College of Liberal Arts
r Chailan DcptiEt of olitical ScieJce
Inter-G~iversity
Acisorr Corcittee
PcgrG21 Director Associate Progra~ Directors
Liaison Arcrge~~nts d ~h I I~~erested Plcfessiona1 I Perso~el j
I _
I 5cu1ti (full or PmiddotLG-tire l Asscci~tes a1d otllei non-Io~il
3ecip5ents of Gr3-1t stPPC1t Gr~cue~~e S t1~lcnts St2~retQi~S1 Data Lbed~1 31
Ln 18 r1icia 1
LO1t c~lce Factcj~1 ts
BEST AVAILABLE DOCUMENT ( ( V-t
- 17 -
of te eo17i~g cCpterce br A I D rLld ethers In addi tion there
aS3essr~ents of the gr31t
middot l ~ lI ~ _ _ _ co~~~r~~ing ~~iversiti~s md tne rrctitoring ALD office
7re l~yersity of Ie~middot~ budget of $26500 is to be deveted to the
cemiddotelgt~e~ of lstituticnal cefete1Ce in comparotive legisl~tiye studies
~t Iomiddota c t~ the exalsi0 ot a date b~L-lt ~ hich 1fill be utilized as
a ecle for icrec3ing te scope of tbe sub-specialty
T - 1 f 1 __ middotja r S Ctdget a9roxir~tly 33- has bee allocated to a
cemiddote Lp~l t rirc ipally C actlty re leased tirre for data ccllection
ai 0 3alres f~r i~~er-ieers in field research 3d secretarial
assi5ta1ce nCt2 11- of t~e Icmiddotre oudge~ is iesignated for an
ArCE_1 A~ite s(101a~middot 2d one 0 ore scnolals froQ LDe or
s1lllrt of greluate stucents in the
BEST AVAfLIlBLE DOCUMENT
- 18 -
Finally approximately 19 of the budget will be devoted to the
proposed data bruL~ that will archive not only data generated from the
research of scholars at Iowa Duke and Hawaii but also at other US
and foreign institutions Primary and 3econdary an~ses of these
data will become an integral part of ~omparative legislative studies
curricula The ability to utilize the data bank for teaching purposes
also should have a significant impact on professional preparation ofmiddot
future legislative specialists In summary the funds will be
allocated to research teaching and training activities tha~ are
entirely conson~~t with the philosophy underlying the utilization of
2ll(d) grants to achieve institutional development
Conclusion
The University of Iowa regards the research and teacbing components
of this program to be closely related an1 zrutually reinforcing The
University of Iowa offers a strong base for the pro~ram because of the
interests of faculty members here now because of their contacts with
scholars in this field in other Americ~~ and foreign universities
because of their experience with the international exchange of faculty
and because of the distinctive data gathering and processing facilities
available in our Laborator~- for Political Research The program which
we have formulated is designed not only to accomplish specific
research and teaching objectives but to contribute to the long-term
development of the University of Iowa in an area in which it has already
exhibited special interest
BEST AVAILABLE DOCUMENT
~ I) - 0
- 19 -
The program on Comparative Legislative Studies with support from
this Grant rill develop the capacity at the University of Iowa to
provide assistance under separate financing arrangements to developing
countries in a number of ways and through a varieiy of channels This
assistance which would be arranged for end negotiated separate~ from
this Grant may be in the form of technical assistance advisory service
training research and information exchange etc It will be available
by mutual agreement to appropriate agencies national and international
public private a~d mixed and directly to the less developed countries
Most especially this added special competence will inevitably become
incorporated through the processes of scholarship and education into
the competence of US and foreign scholars and institutions concerned
with this topic of great significance to the developing and the more
highly developed countries alike
BUDGET SUMMARY
UNIVERSITY OF IOWA
Salaries
Graduate Student Stipends
Fringe Benefits
Travel
Equipment and Services
Other
TOTAL
$173090
32400
19209
13800
6501
20000
$265000
BEST AVAILABLE DOCUMENT
d bull
srjmiddot (~~ jjXilO
IO
rmiddotmiddot ~middotmiddotrl f)~~ 7 middot 1 ~A~~ middot1 rmiddot middot~ rt bull middot bull bullbull I ~ i bull bull ~ middotv- middot bullbull ~ I
1 so bullbullbull l ~--~-- - - ---- ~ V~ i Jlgt ) bullbullbull ~(lr v ~I ( tr_ 1middot-middot 1 bullbull 1
il l~ J
2 c~loto
BEST AVAILABLE DOCUMENT
(C
Dr Willa~d l Boyd Presicient University of Ima iowa City Iowa 52242
Dear Dr Boyd
4 AUG 1977
amp
FIJNDS AVAnASLe CpoundNrftAamp sEIMCEs DMsON
AUG11 ~n te t6417 ~77
Subject bull Supplsectferit-tJF-G~middotNomiddot~middot AIOcsd-3294
t middot-rrPJ1 3
I am pleased to inform you that pursuant to th~ auth~rity contained in
S-cction 211 (d) ooC the Foreign Assistance Act of 1961 as amended a sup
plemental grant in the amount of $200000 is h~reby r~de to University
of rCi1a These supplement]l grant funds areprolided to support the
activities which are described in your Proposal dated May 6 1977 for
the implementation of your program entitled Political Conditions for i
Effective Small-Scale Rural Assistant Projects
---This sup~lemental grant is mace to University of Iowa en condition that
yo~r institution shall administer the funas provided under this Grant fn
accordance lith your r~ay 6 197 proposal (including Budget SUmlilary) and
the Standard Provisions (as incorporated by Amendment No 1) which have
been agreed to by your instit1ltion Ti) the extent of an inconsistency
between the Proposal and the Standard Provisions and any otherprovisfons
which ar~ made a part of thi5 Giant by reference or other~iSe the Sta~d~
ard Provisions shall control
The new Duration Period for this Grant shall beAugust 11 1971 through
August 10 1979
The total amount of funds obligated under the grant is increased to reflect
a new total oblgated amount of $465000
Please sign the Statement of Assurance or Compliance ana the origfnal -
and seven (7) copies of this letter to acknowledge your understanding of
the conditions under which these funds have been granted Please return
the Statement of Assurance of Compliance and the original and six (6)
copies of this supplemental Grant to the Office of Contract Management
Attachment May 6 1977 Proposal and Budget SUfiT1a ry
UNIVERSITY OF IOWA
Roberw bull OBrien fficer
Ce al Operations Division Office of Contract Management
AC~E~E~C--_ 0 BYpoundk~~ cH
D C ~lpoundSTtR5BA T ITL E ( PfeampoidPilt for
tee ment amp Research DATE 9-22 -77 (d~ ~~Bduate Ctl~1e~e
BES i AvAILdLt UOCLJMU~ I
211(d) Grant Program
Proposal of the University of Iowa
POLITICAL CONDITIO~S FOR EFFECTIVE SMALL-SCALE
RURAL ASSISTA~CE PROJECTS
Submitt~Ci to
Civic Participation Division AID
May 6 1977
Amount requeste~ $ 199987
BEST AVAILABLE DOCUMENT
I TdE DEVEIOP~T PROBr~
P~litical Conditions for Rural Development
The Cocparative Legislative R~search Center of the University of
Iowa proposes to ~~dartake a two-year study to investigate the role of local
leaders and the rural public in theimplecentation of small-scale develop~ent
1 projects in less developed countries The study will use and extend the
capacity ~hich the University of Iowa developed under a 211(d) grant to
investigate and assess the impact of loeal politics on rural development
~t the co~pletion of the s~ Iowa will be in aposition to advise the
Agency on the design ~nd evaluation of s~ll-scale projects which will be
politically viabe a~d effective in ass~sting the rural poor ~
As students of development w~ approach our task with the assumption
that the proble~ of development and underdevelopment are funda~entally
ones of political econooy and a~ such can only be solved through a
simultaneous considerationof economic and political factors Efforts
which foc~s aloost solely on economic factors like those of ma~y
organizations engzed in dipersing foreign aid or efforts which focus
almost exclasively on political factors fail to take account of the
interdependence between these two dimensions of underdevelopment and
lwe have for~ulated this proposal in a canner consistent witr the cu~rent policies ard interests of the Agency We have been guided in our tsk by four Age~cy doc~e~ts Impleo~~tation of New Directions in Developnent Assista~c~~~ ~eport to the COmlittee on International Relations on Ilupleoenshytatiun of Legislative Refo~ in the Foreign Assistance Act of 1973 (July 1975) rItevis~d Projec Developiel Review and Approval Systeo (A I DL Circular A-21 Aril 23 1975) SH Butterfield Draft SUIilZ3ry StateUlent of a Practical Agelcy Approach c aural Devalopilelt (AATA February 28 1975) Cicci A Coce~ual Oie=viamiddot middot Rural Development No1 (lWorilting GOU O~ tha Rural Poor February 1975)
- l -
can meec with only l~ted success
Our concern with the i=pact of local politics on the process of
rural developcent is a result of our interest in the basic question of
how LDC governm~nts and the donor agencies which assist them can
become core effective in raising the standard of living of the rural
poor We seek answers to the following aspects of that basic question
1) What political conditions must exist both within rural communities
and between theo and central gove~ents to raise agricultural production
w~ere small-scale agriculture is the do~nant pattern 2) Vnat are the
political conditions for a core rapid expansion of the informal manufacturing
and service sector cocprised of labor intensive small-scale industries
located in the rural ar s 3) What political structures and activities
are mase crucial for the provision of welfare and econocic supporc services--
such as agricultural exeension mar~eting and transportation--to the rural
areas1 4) ~~at Folitical conditions oust exist to insure that economic
growth in the rural areas is not accowpanied by excessive and intolerable
inequalities between socio-economic classes andor between regions1
Center-Periphery Linkage in LDCs
To deter~ne the political conditions for rural development we have
in previo~s s~udies exacined the institutions and processes through which
rural populaticns are integrated i1to the national politi-cal systetlS of
middot~he countries in which they live A gap exis~s in most less developed
countries bet~een the peasantry residing on the periphery and the c~~tral
political ~stiutions staffe1 by ~~estern-educated bureaucratic elite
We are aware of the other major ~sti~utional discontinuities which comprise
J
4 middot~~1 the basic cleavage between the developed and underdewmiddoteloped sectors of
these dual societies Bridging these gaps is essential if these so~ieties ~ are to develop into viable nation states For until those Q~ the periphery
of the poli~ical syste~ participate in that system and support and comply
with the authority of central political institutions neither economic
development in ~he rural areas nor a stable polity will emerge
Bridging the discontinuities in these new political systems requires
establishing and institutionalizin3middot1inkages or networks for co~unication
and exchange of resources between decision-makers at the center and the
rural public on the periphery Three types of institutional linkages are
most prominent in less developed countries 1) those conSisting of the
state administration composed of the bureaucratice1ite 2) those consisting
of a revolutioncry political party cocposed of the ideological elite
3) and those conSisting of patron-client hierarchies composed of the political
entrepreneurial elite
Of these three linkages consisting of the state administration are
the cst extensive and pervasive in virtua~ly every LOC Such linkages
however exist primarily a~ instruwents of the center to penetrate the
periphery Central government officials are formally charged with bringing
develo~ent to the people This is a ~issi~n which conceives development
as a process ~hrough which a traditional peasantry is transformed and
assimilated iJro the DOdern center which is steadily expanding to embrace
it Agents of the center invariably have more resources to achieve their
objectives than do local political leaders but because they are frequently
strangers~ the communities in which they function they are often unable
- It -
co implement the policies of the center without working through the
local establis~ent
Though somctices significant linkages consist~g of revolutionary
party organizati~ns such as those found in China and Vietnam do not exist -
in most IDCs beca1Se of the special historical and e~omic conditions
required for their development As wi~h the administrative state however
the linkaampe apparatus of such political patties is prUlarily an instrument
of the center whose mission is to penetrate and mobilize those onthe
periphery
In contrast patron-client hierarchies are linkages which represent
the periphery at the center and mediate betwee~ these two disparate
sectors of the political systec Thcugh norcallymiddotovershadowed in scale
by the state administration patron-client hierarchies are found in almost
~very LDC a~d constitute the ~st significant network through which rural i
populations and their leaders influence the decision-~king process at
the center Patron-client hierarchies exist in a wide variety of org~iza-
tional fores ranging from info~ ~ec~~rks of individual olitical leaders
in uno-partyll systelS in S~b-SaharaI4 Africa to extensive political machines
in both one-p~rty (Africa Mexico) and ~u1ti-party systems (Turkey India)
Despite their importance as the pricary means through which peasants in
LDCs particiate in their political systems patron-client hi~rarchies
have only recently become an object of analysis by students of political
developent and do not appear in even the most sophisticated studies of
2 See Jo~ Dunca owell Peasant Socie~y and Clientelist Politics Aerican Politi~ Scielce Revietol 64 (June 1970) pp 411-25 Rene Lemarchand anc_ Keith Legg olitical ClienteliSJ and Ethnicity in Tropical Africa Aierican Political Sc~ecce ReView 66 (Y~rch 1972) pp 68-90 James C Scott PatronshyClient Politics a~d Political Change II 1tlerican Political Science Revie~ 66 (~arch 1972) p 91-113 and Friends Followers and Factiols bull edited by Steffan Sc~~d and James C Scott (Berkeley UniverSity of California Press 1977) bull
- 5 -
3 economic development Ad~niscrators of developmental assistance progracs
have too often regarded patron-clienc hierarchies as ~ped~ents to
develop~ent instead of recognizing cheir potential utility bull
~ Findings on Patron-Client Hierar~hies --
The importance of pat~on-clienc hierarchies for linking the periphery
to the center is one of the major findings ~erging from a study of the
relationships betueen l~gislators an~ their constituents in Kenya Korea
and Turkey ~hich the Cowparative Legislative Research Centpr is nov
comleting uader its 21l(d) grant from AID This study has av~mined the
creation of linkages between the periphery and the center through ~ore
than lO~OOO interviews with members of parl~ent local leaders and
peasants in t~e three countries The findings are being systewatically
set out in a book-length monograph Nearly a dozen research reports have -
uready appeared (see Appendix C) ipropositions about the nature of
political behavior of rural populations an~ the roles of local political
elites de=ived from the research~ can be s~rized as follows
1 Elected representa~ives play a significant role in the creation and mainte~ance of linkages be~een the center and periphery by developing local political achines in which they function as patrons of their constituents In turn thay s~rve as clients of political leaders of national stature who control central government institutions
2 By atte~pting to establish linkages based on patron-client relatio~shi~s elect~d representatives are responding to public expectations chat their prizary duy is to obtain resources from the center to proffiote local develop~ent ~iany elected repLesentatives spend most of their time on self-help co==unity development projects such 3S the building of schools health clinics irrigation works arid roads because such projects provide
3For exa~le ~ a widely respec~ed a~d useful analysis of rural deve16p~ent in Sub-Sahara~ Africa L~ Lele of the World Bank notes the problems of creating an adoini5~raive infrastructure in the rural areas that is sensitive to local socio-oliical conditions She does not however consider how local leaders operating o~tside of adcinistrative structures ~ night contribute to the developne~t 0 the rural areas See ~~ Lele ~ Design ~ Rural Develop~ent Lessons ~ Africa (Balt~re The Johns HopkiD~ Uciversity Press 1975) r) pp 127-61 i ~
- 6 -
their const~tuents with desired se~ices ~~d a= the sa~e time provide the reresentatives with an orgacization Yhicn can be used as a political base
3 l-tore than 90 perCel1t of the rural population is capable of articulating the p~oblems facing their local co~~ity and two-thirds discuss th~e proble~ w~th their fellow citizens on a regular basis
4 Three-q~rters of the residents of the rural areas can identify the public ofpoundici~s who serve thec--both civil servants and elected represcrtatives--by na~e Most are knowledgeable about the activities of these officials Alcost one-fifth coreover have discussed co~~~ity probl~ ~ith these officials particularly those working at the grassshyroots level Residents of rural villages actually have a higher level of political knowledge than their counterparts in the towns
5 Elections in the rural areas evoke a highly rational attern of voti~g despite the effects of ascriptive or traditional co~siderations Inc~ens are pri~rily evaluated in terms of their record in fulfilling the public r S elpectations of what they should do Elections are essentially referenda on inc~entsr perfo~ce especially their perforwance in the area of constituency servi~es such as bringing development projects to the districts bull
6 Local developcent projects have a relatively high s~olic value generating conscitutency support for local leaders and the central government at low cost
7 These projects help huild a local political infra-structure which can also be utilizec by central govern~nt civil servants to implement other policies designed to achieve rural develop~ent bull
The Icpac~ of Local Politics on Rural Projects
Having explored the developtent of linkages through which the periphery
is represented at che ~enter and through which the periphe~ attemp~s to
share in the ceners resources we now propose to build upon our initial
investigations by e~ing in greater detail the impact of local political
conditions on specific problecs of rural develop~ent We propose to
exacine the develop~ental activities of local leaders ~nd the rural public
by eX2~Ding a saple ot fifteen to twenty smalL~scale developwent projects
in each of ~he three countries which constituted the sites for our initial
8ESI AVAILABLE DOCUMENT 1 ~ - of
- 7 -
study of center-perhiphary relations The appropriateaess of this approach
and the ~ethodology through which it will be ip~emented is discussed in
section II Because the ~ethodology of investigation is in large part
the result of our previous research experience we fizst turn to a revieW
of the existinQ __ ~petence of the Comparative Legislative Research Center
in this area
II GRAXTEES EXISTIXG CmET~CE
In 1971 the University of Iowa received a 211(d) grant to develop
its capacity to do research on the role of elected represent~tives in
the process of modernization On the b~sis of this grant the University
established a research center which planned and carried out a research
project on the role of elected reres~~tatives as links between the central
gove~ent and rural populations in K~ya Korea and Turkey The project -i
served to develop t~e University of Iowas research capability in this
field esa~lished ties between the University and scholars in the bost
countries and generated a large and uniqu~ body of relevant data
In that project we fo~ussed our attention on tbe activities of elected
representatives in their constituencies notably in their contacts with
local political leaders voters and civil servants To determine tbe
nature of the linkage function performed by tbe representatives we
designed our research to explore the subject from three perspectives
1) we eXaojned ~~a ~ubject at tbe grass roots by conducting a series of
sample surveys of 200 to 300 adults in each of 12 to 14 parliamentary
constituencies in each cf th~6three countries 2) we examined the subject
at the center by intervie -ing MIls from the constituencies in which we
had conducted S3mple surveys ~nd higher civil servants with whom they
had contact and 3) ~e ex~~ined the subject from an inter-~diate level
by identifying aud ~terviewing local social and political leaders in
the MPs constituencies We used survey research methods because we
were embarking on the study of an entir~ly new subject for which little
relevant docu=e~tary data existed and on which there were few secondary
sources As a result ~e have unparalleled experience with survey
research in the rural areas of less develo~ed countries
The surveys which constituted the cajor part of our field work were
planned in collaboration ~~th scholars from the host countries They were
carried out in each constituency by student interviewers in the appropriate
language ~re than 10000 respo~dents were inteDViewed for the project
Given the visibility and sensitivity of this undertaking approval for
the research was sought and obtained from the host governments prior to -i
the collec~ion of data ~o objections were raised by these governments
at any stage of the research The data obtained have been made available
to scholars i~ the host co~cries and some of the basic findings have
been published in periodicdis in these countries
The Comarative Legislative Research Center ~hich ad~nistered the
project has aisO developed extensive experience in the study of political
leadership in other countries It h3s obta~ed substantial support from
the Fo~d Foundacion and the Rockeeller Foundation has worked in
collaboration ~~h European as ~ell as Asian and African scholars and
is engaged in a ajor study of the role of elected and non-elected leaders
in the oanag~~t o~~ocial conflict Because it has conGucted research
in a variey of setlngs the Center has an ~ceptional capacity to
- 9 -
determine how the relationships be~een political institutions and
economic p=oble75 differ in develoPed and less developed countries
In the course of the major research projects the Center has administered
it has gained highly specializpd ~p-i ce iI identifying 1Olitical leaders
in a great variety of settings conducting systematic interviews with
them collaborating with scholars in the host countries and in coding
and utilizing large files of data to answer specific research questions
The Center has ~lso undertaken to publish the results of its research
in three fores It issues codebooks to the data enabling scholrrs at
other locations to use the data expeditiously i~ publishes research reports - in the form of Occasional Papers and it publishes a scholarly periodical
devoted to the presentation of research findi~gs to an inteIT~tional
audience
The Center utilizes the data ~ysis facilities of the Laboratory
for Political Research of the University of Iowa and drawS on the unusual
n~er of secialists in comparamptive politics and survey research in
~~e Lniversitys Departmen of Political S~ience The Center itself I
has the services of an administrative secretary and a clerk-typist
~intains its~o~cn extensive archives and its o~~ publications program
It is e~uipped to assist scholars and government officials outside the
t~iversity of Io~a The participants in its p~ojects are full-tioe
faculty ~e=bers ~hose undergraduate and graduate teaching is closely
related to their research As part of the teaching program the Center
has attracted students from the countries in which the research projects
have been conducted these students have participated in the projects
bull J
have obtained training in other fields of political science have received
University of Iowa degrees~ and have ret~rned to teach and to do research
in their own countries
III PURPOSE OBJECTIVES AID METHODS
Purpose of Study
The purpose of the proposed grant is to extend the capacity of the
University of Iowa to determine the political conditions in the rural
areas of less developed countries which favor the establis~ent and growth
of small-scale developoent projects ~e objective is to put the University
of Iowa in a position to assist the Agency in designing small-scale rural
developent projects providing guidelines for carrying out social soundness
analyses of such projects and adviSing in the evaluation of projects
We will discuss the utilization of~t~e Universitys capacity in detail in
section IV below
We propose to concentrate our investigations on the political conditions
surrounding s~l-scale ru~al projects Such projects have distinctive
advantages They waximize the political participation of the rural populations
both in det~~-ining the direction ~d implementation of develop~ent efforts
and in defending the interests of periphery vis-~-vis the urban-based
bureaucratic elite S~ll-scale projects stimulate entrereneurial activity
on the part of the rural citizens and growth of the info~l canufacturing
and service sector Tbey require less lead tice and less administrative
c~erhead to ~eco~e operational than large-scale capital-intensive projects
centrally administered Such projects yield rapid and direct benefits to
1
j
the rural
- 11 b - ~~1
populations and are consistentwith their hUIlaD rights--both
political and economic However~ small-s~le projects pose s~ecial probl~s for administratcrs of developceocll assistance progracs because
they require the donor co assess the local olitics particularl the
rural politics of t~e host country
Develop~c adoinistrators pr~rily conc~rned with assisting rural
populations must therefore recognize the range of political variables
affectL~g these projects Small-scale projects offer great opportuoities
for develop~ental assistance progr~ because they can be easily targeted
to help rural populacions require low capital costs and need no be
concentrated in one or two localities Such projects ho~ever~ ~equire
the a~istrator to have ~re political kno~lecge than large-scale
projects Oil which his priJlary tas~ is guiding the work of other experts
Questions for ~Investigation
To detercine the politi~al cc~diicilS ~st conducive to ~he establ~~ent
and gro~h of scalI-scale rural projects ~e propose to address our inquiry
to the following specific questions
1 To what extent and why co local political leaders seek to establish s~~l-scale develop~ent projects within their co~unities
2 To what extent and ~~y do local leaders other than politicians initiate andor provide leadership for s=all-scale developm~t projects
3 Bot do the relations bet~Jeel different types of local leaders (political and non-political) and bet~eeo these leaders and central gove~ent civil servants posted to the rural areas affect the conduct of develop=ent projects
4 How do existing authority ~eLationships between these different leadership grous and the rural pub~ic affect the organization and operation of s~l-scale develop~ent projects
- 12 -
~
5 lhlt is the nature 0 pclgtlic participation in the establishlent and operatio~ of s~l-sclle projects and ~hat are the outcc=es or this participatioe Gucer w~at conditions is such participation ~ost likely to occur
We seek a~swe=s to t~cse questio s L order to determine the effect of
different co~iigurations of local leadership and public participation on the
outcomes or small-scale rural projects te are particular1y concerned with
the ~pact of these configurations on the rate of econocic growth and the
distribution o~ rIGSlth ithin the loal cOlllUlity ~ on the perce~tions of
s~ll-scale proj~cts by central govern~ent per~oncel and the rural public
anmiddot on the organiation or flture projects
To a~swer these que~tions it is oar intention to study the initia~ioD
izJple=enation ald i1lpact of a salple cpound small-scale rural projects in
Kanya Korea and Turley in the sae cOllities in which we carried OU
our initial icvestigations ~ 1973-75 Tne relationships between the -
various conf~gurations of local leadership and public participation and
the three phases of project develop~ant are sho~ in Figure 1 We will
exa=ine projects to pro~ote the adoption of new agricultural techniques
by s~l and moderate landnolders the building of feeder roads irrigation
ditches and other s~ple infrastructure the organization of fa~ers
cooperatives and other local associations concerned with rural development
the establish=ent of rural health clinicS and schools and the setting up
of craft and service industries
Sites for Study
We plan to return to our original set of localities because we possess
a rich body of relevant data on the extent to which linkages exist between
Figure 1
TYPES OF LFLUEXCE OF C2r~ middotGOVER1iEXT OFFCIALS
LoCu LEADERS 0 THE RURAL PUBLI-C OX THRr~
PHASES OF RURAL igtEVELOPHET PROJECTS
r----------~J C~ltral Gover1~nt Official)-N------- - J
r- Local pOlitical leaders
Local non-political leaders
~l 1---- -
ROJECT nITL~TIOS
Influ~ce on selection of projects
InrI ~elce on location of projects
Influence on policy guidelines for proj eCl
Il
I
a
I I
-I PROJECT I~L~~iATIO~ ~ 1
j Project Organizati I Selection of project
leadership
Hobilization of resources
Mobilizatiol of public compliance with project require=elts
Diffusion of project innovation
Rural Public
I
BEST AVAILABLE nOCUMENT
1 ROJECT IMPACT
Organization of ongoi=g project operation
Distribution of project benefits
Evaluation of project
Public attitudes toward project
-middot14 -
these areas and t~c central p~litical institutions of the three co~tries
and on the attit~es of the rural populacioc local leaders and elected
legislators regardi~g their problecs of develop~~c Since such data
is unavailable for alternative locales a return to the areas in which
we have previously done much research ~ables us to build on a uniquely
valuable body of icformation
A return to Kenya Korea and Turkey is also highly desirable from
the standpoint of effective research organization The Comparative
Legislative Research ~enter has developed close collaborative relationships
with several highly competent social scientists in these countries and
with the academic institutions with which these scholars are associated
We have also dev~_oped cooperative relatio~ships wi~ gove~ent officials
in these countries which should facilicate obtaining approval for our
further work
In proposing to doc~ent the origin i~pl~entation and impact of
one to three s~ll-scale develop=ent projects in each of 35 localities
we have two considerations in mind Firstmiddot because our pr~ry goal is
to deter~e the political conditions for rural developm~Lt we wish to
examine develQ~=ent in as many different settings as feasible Only in
this way can we control for so=e of the major socio-cultural variations
that erist along rural populations in less developed coultries These
include the overall level of econo~c development in the co~unity the
nature of t~e ~digenous culture an~ relationships of authority and the
pro~ty of the comounity to major urban areas and centers of central
gove~nt ad=inistration ~ce our original study sites were carefully
BEST AVAILABLE DOCUMENf
- 15 - ~ ~1
selected to represent these variations ye have concluded that these
35 localities woule be ideal sites for the propose~project Second~ in order to dete~~~ the ~pact of local leaders and public
participation o~ ~ural projects we intend to compare projects 1n which
local leaders and ~ecbers of the public have played a major ~ole with
projects in which they have not We also ~l cospare projects initiated
by the central gover~ent with projects Yhich have been locally initiated
These considerations give us a typology for selecting projects as depicted
in Figure 2
Figure 2 ~
FIVE TYPES OF RU~AL PROJCTS ACCORDIXG TO ~FLUEXCE OF CEITiW
GOVE~1E~T LOCAL LEADE~ AD RLRAL POULATIO~
Level of Participation by Rural Population
Locus of Project Initiation ~
Local Co=unity Central Governoent
BIGd
LOt
1 Projects initiated by local leaders and providing for participation of the rural ~opulation
4 Proje~ts Litiated by local leaders bu~ not involving participation of the rural population
2 Projects initiated by the Central Govern~ent and administered i~ cooperation with local leaders a~d the rural population
3 Projects initiated by the Central Govemlent and providing =or the participation of the rural population but by-passing local leaders
5 Projects initiated by the Central Gover~e~t a~d administered in cooeration Yith local leaders but not involvi~g parti~ipation of rural population
- 16 -
We recognize that the socio-cultural setting of rural develoment
projects varies significantly within and across less developed countries bull
By focussing o~ a representative sa=ple of localities ~ Ke~ya~ Korea
and Turkey we can take account of naoy~ though not all of these variations
While some of our substantive findings will not be directly generalizable
beyond the countries in which we propose to conduct our study we expect
that our basic ~ethods and fLdLgs will be applicable to national and
sub-national settings elsewhere in the developing world This is partly
d~e to the fact that the hierarchy of patron-client relations ~hich we
regard as a critical factor in rural develo~~t exists in ~ost Liles
--It is also due to the fact that the methodology for identifying local
bull leadership configurations auG poundor studying local politics which we are
perfe~ting can be used to assess local political co~ditions in a large
variety of countries even when the ~nditions themselves differ significantly
Methods of Investigation
The data needed to assess the iDpact of local leaders and mass
participaticn on rural dev~lop~nt fall into two categories Some a~e
contained among the data gathered for the research project we are currently
completing Others will require additional field research
The following data are already in hand
1 Data on the social landscape of each loc~l co~nity i~cluding aggregate data o~ level of econonic development de~graphic characteristics political pa=ticiation eth~ic loyalities and rates of socio-econocic change dur~g the past decade bull
2 Identity of local leaders including both political and I-on-political leaders and both legislators and other politicians
3 Perceptions of existiag probl~ and their possible solution a~ng
l)tS r AVAilABLE DOCUMENT
- 17 -
general public local leaders and civil serv~nts
4 Level of political kno~ledge among local citizens and local political leacers
5 Political and social values a~ong local ci~izecs and local political leaders
6 E~~ectacions of leadership roles among the local public and elected and non-elected leaders
7 Patterns of co~unication ~ong local leaders and between local leaders and the central gove~e~t
These data ~hich ~e already have in hand can be subjected to analyses
which ~~ll provida the foundation for our further work on rural develop~ent
projects A part of our work therefore will consist of fu~ther analyses
of existing data
New data of the following kinds are also required
1 Doc~entary data on the origin and evolution of particular smallshyscale develop~cnt projects in the rural areas
-2 Data on project costs boih ~itial invest=ent and recurring
operating costs and data on project ou~puts ie pupils in schools Ddles of road coopleted nl~ber of hospital a~ssions production of factory agricultural productivity
3 Data on project organizatio~ n~~r of local inha~itants participating in establis~~ent of projectt nuober of local L~habitants subsequently involved in project
4 Data-on the pe-cetion of projects by local leaders emers of the local public a~d by civil servants data on the perception of how each project ~as initiatec organized who benefitted and what its future implicatio~s are
These types of data will requ~re field work involv~~g both docucentary research
at the relevant ~istries of the central government and in local goverr~nt
authoritieS and inforoal open-ended interviews with local political leaders
elected representatives and other local leaders who~ we had previously ~
interviewed in a s=uctured syste=atic =aoner
BEST AVAILABLE DOCUMENT
- 18 -
Grant Organizatio~ and T~etable
We propose co undertake the research outlLled above beginning in the
fall se=ester 1977 Dur~g that te~ Professors Barkan and Kim as
principal investio~tors for the neo1 proj ect will contact their collaborators
in the host co~~tries They ~~ll also seek the collaboration of an additional
~rican scholar specializing in rural development with the aic of getting
additional advice on sources of data and suitable indicators for the
~easure=~~t of rural develop~ent projects
At the end of the fall seQester Professors Barkan and Kim will make
a trip to their research sites to disc~s details of the research organization
with their collaborators in the host countries and to recruit student
assistants Tney will devote the spring te~ 1978 to further analysis
of a~sting data at the University of Iowa
The gathering of additional dita L~ the field will begin in the s~er
of 1978 Professors Barkan and Kio will direct this work personally We
eAect that its coopletion ~~ll require three to six months This work ~1
involve the evaluation of central and local gove~ent reports on the
projects uncer investigation extensive on-site observations of the projects
and oen-e~ded interviews with the principal participants Our principal
respondents ~i1l be the local leaders and elected representatives we
have previously identified in the localities in which we have worked and
a sacple of active participants in the particular dpvelopment projects
being studied ~~ere necessary and apropriate surveys of the general
public will be uncertaken to assess the inpact of a given project on the
rural por)r We do not however leed 0 conduct systeAlatic sample surveys
BEST AVAILABLE DOCUMENT
- lY -
of the rur~l population as We did in 1974
In the organization of this research project we intend to reconstruct
the rese~rch tea=s ~e e=ployed during 1973-75 We shall again seek the
co11abo=~tion of P~ofessor Sc~~S-7o~g Pai of Seoul National University ~
Professor IIiCr Turan of the University of Istanbul and Professor John J
Ok~u of the U~iversity of ~arto~ S~ilarly w~ contemplate directing
the field research fro~ he same acade~ic research organizations we previously
used Seoul National U~ive~sity th~ ~~iversity of Istanbul and the
Insti~ute for Develop~eut S~udies University of Nairobi As before we
will tra~ students f~oo these institutions to serve as interviewers
The analysis of the open-ended intervie~s and of docUQentatio~ on
I ~ural develop=e~t projects will be a ~ore t~e-co~s~g process than the
analysis of closed intervie~s It will reqrire a high cotnittl~t of time
fron the principal investigators )e e--pec to hold a conference at the i
U~iversi~y of Iowa 3lO1g all the principal )clticipa~ts in the resea~ch
project d~=~g t~e spr~g 1979 to evalua~~ the newly collected data
le e~ pect to be able to vr-ite reports of t~ results during the Sl1~er 1979
(see Figre 3)
IV LlX-GS ~1) U~ILIZATIO~
At the e~d of the grant period the Uti ersity of Iowa will be able to
1) advise the Agalcy 01 the design of s~l-scale rural projects to assist
the rural poor 2) provide guidelines for social soundness analysiS of
small-scale projects for the rural areas of U)Cs 3) consult w~th the
Ag~tcy 01 the evaluatiol of rural projects ~d 4) provide LDe governments
BEST AVAILABLE DOCUMENT
)ATES
~lll
1977
~inter 1977
iprilg 1978
il mer 1978
~all
1978
ipr~ng
1979
Imiddoter 1979
University vf Iowa
Plutlning of rural develo~rent project
Barkan Kil
Alalysis of existing data
Barkan Kia
Data processing
3arkan Kin
1
I
- 4 -
Figura 3
GRAT TLfETABLE
SIT E S
Kenya Korea Turkey
Preparation of field research ural developH~lt project cOlisulta~io~ a research sites
BarkanOku=u Ki~Pai Tura~rkanKi~
Preparation of field resea-ch
Tural
Field research on rural cevelop~~t projects Bar~lOk~u Ki=Pai Turan
Co=pletion of Co=pletion of field resear~~I~ fiald researcr
Ok~u i Pai bull
f Coopletion of field research
Turan
Data analysis conference a~ong all princial i~vestigators at Un~versity of Iowa Barkan Kil Oku=u Pai Turan
Co=letiol of r~ral develop~ent
project
3arkan Kiz
BEST AVAILABLE DOCUMENT
I
- LL -
~ith speciali~cs o~ ru~al developcect ~mong their own citizens ~ho ha_
partcipatcd ~s collaborators in the Iowa projects
In the proposed project we Will test a series of hypotheses cOlcerning
the political cOllditions of rural develo=ent which run counter to CODOn
assuoptions conccrnir3 t~~ influence of rural politics on project effectiveness
As a result ~e ~dll be able to assist the Agency in designing and evaluating
such projects froe the point of V~~W 0 their political viability The
hypotheses We will test sugges~ t~at the patron-clie~t relations existing
in the local politics of zost LDCs are not necessarily i~pedients to rural
develop~ent but are aspects or the political structure which cal be used to
facilitate s~ll-scale ru=~ projects which will raise the standards of
living of _ ~ rral pomlation - As ~ result or our stuey we expect to be
able to P~-O~t the local leadership confi5~rations ~4d the relationships
between local leaders ald rural poclations ~nich are oost conducive to I
successful develcp=en efforts We believe that we will be agtle to perfect
a cat~odology for identifying the political conditions for rural develop~ent
one ~hich is transferable pound~oo the countries we have specialized in to
other LDCs
We proo~ to develop specific guidelines to assist administrators
charged with selecting evaluating and =onito~ing rural develop~ent
projects to ~szess t~esc rojects in tares of their-social and political
viability he outco~e of such projects is dete~ned not only by the
efrectiv~nass ~~=h ~hich they use scarce econo~c resources but by the
~~er L~ w=ich they e~gage the suppprt of local leaders and rural
po~ulatiocs~ by thei= effect ou social a~d econo~c equality ~d by
D[~T AvAlLA8LE DOCUMENT
- 22 -
their consequences for hwan rights ~Je plan to establish criteria by
middot~hic~ the probable outco~es of projects in these social terms can be
anticipatec
The study ~e propo e will be undertltlken by faculty at the Cniversicy
of lowe in collaboration with faculty a other ~rican institutions and
institutions in the host countries We will build on the extensive contacts
between the Co~perative Legislative Research Center of the ~niversity of
Iowa end other instituions with ~aich ~e have worked One =ajor result
of our collaborative study will be the existence of a net~ork of compe~ent
scholars both in this country and overseas experi~lced in ~orking together~
shar~g a co~on teaching and training experience i~ close contact throu~~ the
effective publications progr~ developed by the Co~parative Legislative Research
Center T~e e~~ertise of this group of individuals will be ava~lable to
oteer scholars to the Agency and ~o L~C governments for specific policy
advice The eXertise developed as a consequence of this project will
extend beyond the ~tionals of the countries ~volved since the univ~sities
engaged in ~e project attrtct stude~ts fro outside heir own countries
For ey~=ple the teaching ~d research progra in the Depar~ent of Political
Science 0 theUniversity of Istanbul heavily affected by the participation
of its facul~y ~e=bers and graduate students in our projects attracts students
throughout the ~middot1iddle East for Whom the University of Istanbul is the iajor
institution ~pound ~igher education in the region rne Institute for Developmen~
Studies is si=ilarly a focal point for students and faculty in East and
Central Africa Seoul ~atiocal Unive=sity attracts students froo other
Asia~ co~tries~ In this way the capability developed among the participant$
BEST AVAIL~BLE DOrUMENT
- ) -
in our work is diffused widely To the exte~ that the abili~y to assess
rural develop~ent p~ojects in teres of their social soundness is increased
both in the United States and in ~o~~tries r~ceiving develop=en~ assistance
the cap3~ity of racipien~ countr~es to absorb aid is ~creased
We propose to draw up an inventory of personnel available in ~~e
Cnited States and in other co~~tries who are able to consult with developen~
a~nistrators on the design of rural development projects and on their
evaluation We ~~ll draw first of ai~ on individuals w~o have been
directly associated with our ~ork in the past or on ~he proposed project
and ex~~~d the list to include graduate students and gove~ent officials
with who~ these individuals have wor~d
tole Yill utilize tha existing publication program of the Center
dercribed above to disse~inate our findings The Center has specialized
oailing lists of interested individuals and institutions in all parts of -i
the world and its reports can trerefore reach the ~st relevant audience
jirec~ly ~d re~~arly
BESl AVAIL~BLE OOCUMENT
CONTRACfjGRANTCOOPERATIVE AGREEMENT DATA SHEET
INSTRUCTIONS fjDW Complete 4 copies of the form Original SERCMSDSUP Statistical Section Copy Copy 2 SERCMSIiUP dministrative Copy opr 1 Contracting Officers COy COP) 4 SERCMSDSUP IUmin (Suspense) Copy
Missions Complde 2 copies oi the form Origin31 SERCMSDjSUF- Statistic31 Section Copy 3n~ Copy 2 Nill be ret31ned in the Missions
PART fA
ConU3lttorGranrce Name
University p~f~I~o~wa~ __ -r~ ____ ~~~~ __________ -~~ __ ~~~ ______________ ~~~~ Plorr Numt-er ApptopriJtion Number Allotment Number Project Number
930-0090-3Q13411 A5 72-111l0216 146-30-099-00-20-11 930-0090 Project Title
So~ia1 and Potitica1 Aspects of Development - Conference to Report Research Findings Amount of this Plorr I Projecl M3nagers Name and Offire Sytlbol
$10397 (increase) PDPRCP Jonatlan Silverstone Contr3ctors D-U-N-S Number
Ncgwatocs TYJlCd~3meJ j) Signature I l ~ jIf- bull G HtJ--ft u l IVmiddot
D~e
L - f - J ContractGrant Officqs typed Nailllt Signalure LJ d I -r-
plusmn t 3i-alflpta (( BLvle~ 1 I~ PARTm
ContractGranl Number
AID CSD-3294
Effeclive Date of Docum~nl Signalltre D3t~ of Documenl
Lf---C yen-~-gl tIost Courtry Institution (U iwrsity contract ONL Y)
Campus Coordinator (Uniwr ty i contract OiiL YJ
PART UL Descriplion of Cor-tractGrant P1use X ONL Y ONE item under each headiZg IF THEltrease CifYmC~e bolh ges I 30~~ O~ Nol to be completed for Amendmenl or Modlfic3lion AJigtns I III
J 710gt I I V ~ I
MOl - TYPE ACT A~ 0 G unsolicited Propsll (AIDIR 0 C Individual (Non-pe~nal senice)
~ O Cortra lGrantl ooperative Agreemenl 73101-SO(b)(6raquo 0 D Individual (ftrsonal Service)
tJl T3sk Order ( A)middot 0 H Procurement 10 be Perfocm~d by the Conmiddot 0 E UniversilyOther FAuC3lionailnSlitulions
D 2 Work Order (IQC) Ira~lor in Person (AIDPR 0 F Non-Profil Organizationlnslitutions (other
D 3 Delivety Order (Requirements) 73101middotSO(b)( Iraquo than Ed or PVO)
[j 4 Purchase Ordcr [J I Sole Source (AIOPR 7-3101-SO(b)(4)) 0 G Private Volunury Organization (PVO)
If I 2 or 3 1Lle an ~ compllle M 12 ON Y D J Imp3irmenl of Foreign Policy Objectiws 0 H International Agricultural Research Organj-
M04 - CONTRACTGRANT TYPE
o O MOA (BOA BMA etc)
o I Fixed Price (Specify fFP FPRD FPEPA FPI) _____ _
(gtIDPR 7-31 OJ SO(b)(7raquo
OK B(a)5eJection (FPR 1middot1713-1)
o L Grant iH1ndlOok 13)
o M Do Nol Ue
D 2 Cosl Reimburemenl (S~cil) CR CPFF 0 N Cooperative t~reement (Handbook 13)
CS CPAF CPIF) ~ 0 O Small Business SeImiddotAside (FPR 1middot1706-8)
o l Cooperative Agreemenl ~ 0 1 Overseas Procuring AClivilies (AIDPR
04 Grant Gener31 Supportmiddot 0U ~ 7lIOI-SC(b)(2))
o S Granl - Specific Support ~ ~06 E SER VICE
g ~ ~~t ~~(d) ~~ ~~ ~ eci~a~~~~~ogram Projeci
o amp IQCs ~ ~ relampted excepi A amp E Services)
o 9 Host Counlry ContraclGrnnt 5lJ C amp E Services
middotComplele ONLY through ~Sl ~~ 0 D Construction
M05 SELECTION PROCEDURES 0 E- Reseuch
o A Formally 3dverliscd (IFB) (A1DPR 7middot24 amp
FPR 1middot24) ~ o B Negoli3ted Price Compelilicn Gencr31
Procedure (RFP) (-JDPR 7456)
Dc A amp E (AIDPR 7410)
0 D Ed Inst andor Inl1 R~arch (-JDPR
74 5)
o E Collaboratoe Assisunce (IDPR 7458)
C F Predominant Capability (IOPR
73IOI-50(b)(l)
AID 1420-49 (179) - Page I
D F Technical Services to AID (other than trainmiddot
ing usually o~ating expense)
D G jraining SetVice for AID
o H Equipment Materi3J~ Supplies Commodities
D I Translation Service
~07middot TYPE CONTRACTORGRA-nEE
o A Firmmiddot AU profil-rn3king fUms (other than
Aamp E)
J e A amp E 8r~
zalion
o Public Inlmlational Organizations (UN
Agencies ICRC Wocld Bank elc)
(H8 J 3 Chapt~ S)
M08- TYPE AW~RD
o A S8 Sel-Aside - Awarded to Non-Minority
o B S8 Set-Asidemiddot Awarded to MinXity
o C_ S8 NOI Set-Aside - Awarded to Non-Minority
o D S8 NOI SeImiddotAsidemiddot Awarded 10 Minority
o Eo amp(a) S8A Awarded to Non-Minority (Womerl-
Owned Veterans etc)
o F 8(a) S8A Awarded 10 MinorilY
o G Personal Sen-ice ConlrdCt bull Non-Minority
o H IeJSDnal Service Conlract - MinorIty
o I Individual NonmiddotPersonal Service Contraci -
NonmiddotMinority
o J 100Jigtiduai NonmiddotPersonal Service Contracl -
Minorily
o K NOI Small Business (Univ NonmiddotProfit Large
Firms) Non-Minorily
o L- NOI Small 8usineSl (Univ Non-Profit Large
Firms) Minorily
o M US Govcrnmlnt
(Connnued on Page 2)
BEST AVLABIE DOCUMENT 1 I
--
ua ) R I GI NAL 9 bull
MODIFICATION or GRANT PAGE 1 of 2
AH 1 2 Effective Date 3 Grant No 4 Effective Date
Amend_at Ro 5 April 15 1981 AIDCSD- 3294 8-11-71
-s CRANTEE (Name and Addrea) 6 Administered by -Professor Gerhard Loewenberg -Office of Contract Management Cbrnparative Legislative Research Gente Central Operations Division Dept of Political Science am Branch University of Iowa Agency for International Developn~nt Iowa City Iowa 52240 Washington D C 20523
7 PIO No 930-0090- 3013411 A5 8 Previous PlOTa -
Appropriation No 72-11110216 93i-1l-995-l36 930-11-995-136-73-3078103
Allotment Symbol - 146-30-099-00-20-11 wunt Obliga ted by this ~ndrnent - $10397
The above numbered Grant is hereby modified as follows
1 Anotmt obligated prior to this rurendment 2 Amount obligated by this amendment 3 Total obligated anount (1 amp 2)
Delete the amJmt $465000 and substitute in lieu thereof the ammnt I$47S 39-7 ~
FUNDS AVAIrABm
~~ - APR 13 1981
PrO~A~~5iors
$465000 $ 10397 $475397
OffiCE Of fIN~(1 ~~rE~E~T __ _ 10 This amendment 11 entered into puruant to the authority of the Forelgn
Assistance Act of lS~l as amended Except aft hereln provided all terms and ~~ndi~ons nf the grant rcferpnccd in Block 13 remain unchsnged and in full force and ~ffcct
11 original and six Crantee 18 requlred to aign thh document aad return 1- eopics to issuing
ffiee
~~~ or printed) BUSINESS MAHAGR amp bull
Tille TREASURER
UNITpound) STATES OF AHERICA AGENCY FOR INTERNATIONAL DEVELO~NT
BY_-1(1o-_1lt--= 13middot~_1_~ __ K R B1uteau
(Name typed or printed)
Tltle~ ____ G_r_a_n_t __ O_f_f1_c_e_r ____________ __
D3tC APR 2 J 7997 Dolt 9 APq 1981
BEST AVAILABLE DOCUM NT ___ 0 HLGlNAL - I 1 J 1 ~ )
- 2 -
AID ftmds in the am)tmt of $10397 are hereby provided for the activities lmich are described in your proposal (including Budget Stnmnary) entitled CDnference to Report Research Findings on the Study of Political CDnditions for Effective Small-Scale Rural Assistance Projects in Kenya Korea and Turkey dated February 17 1981 and made a part of the Grant b reference
BtTDGET StMMARY
Line Item
Travel
Per Diem
Other Direct Costs
Less existing 211 (d) grant funds
Total Amount Obligated by this Amendment
Estimated Costs
$ 5888
5100
_ 2500 $13488
_ 3091
$lO39
Note Indirect costs or $395086 associated with these activities will be contributed by the University of Iowa
BEST AVAILABLE DOCUMENT
~RIGINAL
- CONTRACT IGRANTCOOPERA rIVE AGRElEMI~ SERC~SDSlP Actio) Monitor
SERCMSDSUP Action Office
I
INSTRUCTIONS AJDW - Complete 4 copit of tlh fonnmiddot Orisina iCMSDfSUP Sutistical Section COP)middot Copy 2 SERCMSDjSVP Administrative CoP Copy 3 Cont-acting Officers COP) Copy 4middot SOSUP Admin (Susptnse) Copy Missionsmiddot Complete 2 copies of the form or~aI SERCtSDSUP Statistical Section Copy and Copy = wiU~ retained in the Missions
0 PART IA
Effective Date of Document tJ
Delivery Order (Requirements)middot
o 4 Purcluse Order
bull If I 2 or 3 have an bull X compl~te M I 2 ON L Y
M04 - CONTRACTGRANT TYPE
o O MOA (BOA BMA etc)
o 1 Fixed Price (Specify FFP FPRD FPEP FPI) ___ _
o 2 COli Reimbursement (S~cifY CR CPFF CS CPAF CPIF) ______ _
o 3 Cooperative Agreement
o 4 Grantmiddot General Support
o S Grantmiddot Specifi Support
o 6 GraDt 21 led)middot
o 7 Do Not Use
o amp IQCs
o 9 Host Country ContractGrant
middotComplete ONLY through M 5 1
MOS SELECTION PROCEDURES
o A Formally advertised (IFB)(AJDPR 7middot24 amp
FPR 124)
o B Negotiated Prire Competition General
Procedure (RFP) (AIDPR 7456)
o Co A amp E (AlDPR 4 I 0)
o D Ed Ins andor Intl ReStalch (UDPR
7457)
o E Collaborative ASSistance (AIDPR 7458)
o F Predominant Capability (AIDPR
7-310l-50o)(3)
AID 142049 (1-79)middot Page J
o H Procurement Co be Performed b~ the Conshy
tra~tor in Person (AlDPR
7middot3t OI-SO(b)(Iraquo
o I Sole 5gturce (AIDPR 7middot3101middotSO(b)(4raquo
o J Impairment of Foreign Policy Objecdv~
(AIDPR 7middot310 ImiddotSO(b)(7raquo
o K 8(a) Selection (FPR 1middot1713-t)
o L Grant (Handbook J 3)
o M Do Not Vse
o N Cooperative Agreement (Handbook 13)
o O Small Business SetmiddotAside (FPR 11706-8)
o P Overseas Procuring Activities (AIDPR
7middot3101middotSO(b)(2raquo
M06middot TYPE SER VICE
o A TtJining of Participants
o B Technical Assistmce (Program Project
related exc~pt A amp E Services)
J C A amp E Services
0 D COltl~ruction
0 E Research
0 F Technical Services to AID (other than trainmiddot
ing usuaU Y operating ex pense)
0 G Training Service few AID
0 H Equipment Mat~rials Supplie~ Commodities
0 I Translation Service
07middot TYPE CONTRACTORGR TEE
Firmmiddot All profitmiddotmaking fu-r1s (other than
AampE)
o 9 amp E Firms
I Prcct NumbcT
I
Contactors D-U-N-S Numbcr
I) -S--f(j
o C Individual 0-lon-~rsora1 service)
o D Individual (Pet-sonal Service)
o E University lOt her EduCltionaJ Institutions
o F Non-Profit Organization Institutions (other
than Ed or PVO)
o G Private Voiuntary Organization (PVO)
o H International AgricultwaJ Research Organmiddot zation
o I Public International Organizadon~ (UN
Agencies ICRC ewld B3J1k etc)
(HB J 3 Chapter 5)
M08middot TYPE AWARD
o A SB SeImiddotAsidemiddot Awarded to Non-Minority
o B SB SetmiddotAside bull Awarded to Minority
o C SB Not SetmiddotAside - Awarded to Non-Minoril)i
o D SB Not SetmiddotAside - Awarded to Minority
o E ~a) SBA Awarded to Non-Minewity (Womeli
Owned Veterans etc)
o F 8(a) SBA w-rded 1o Minority
o G Personal Service Contractmiddot Non-Minority
o ~ Personal Service Contnct - Minority
o I Individual Non-Personal Sence Contractmiddot
NonmiddotMinority
o J Individual Non-Personal Service Contractmiddot
Minority
o K Not Small Business (Univ Non-Profit L1lge
Firms) --vn-Minority
o L Not Small BUSiness (Univ NonmiddotProfit Large
Firms) ~inoriy
o M VS Government
(Continued on Pcge 2i
t bull - t ~ J f q
ORIGINAL bull MODIFICATION OF GRANT
1 2 Effective Date
Araendllent Ro 4 12-2-80
s CRANTEE CHace and Addrels) Professor Ger1ard Lo~middot enbelg Comparative Legislative Research Deartment of Political Science The Lnivp-rsity of Iowa Iowa City Io~a 52240
7 PIO No NI A
Appropriation No 72-11XHl26
Center
Allotment Symbol -426-30-099-00-3~-71 Amount obligated by this urendment-O- I
3 Gnnt No
AIDcsd-3294
PAGE _____ 1 _of-L
AlI 4 Effective Date
8-11-71
~ Admlnlltered by -Office of Contract Management Central Operations Division OTR Branch Agency for International Development Washington DC 20523
8 Previous PIOITs -
931-11-995-136 930-11-995-136-73-3078103
9 The above numbered Grant is hereby modified as follows
Supplement to Grant
Change the duration period sentence to read
The Duration Period for this Grant shall be August 11 1971 through December 31 198]
1 Amount obligated prior to this amendment $465000 2 A~unt obligated by this amendment -0-3 Total obligated amount (1amp2) $465000
----------------_- - ------- ----_- ------ 10 Thh lImcndmcnt is entered inlo punuant to the authority of the Foreign
~ Assistance Act of 1961 86 amended Except a~ h~reln Z II provided all terms and condi tions nf the grant referenced in Block 3 remain ~~aunchlinged and In fu1l force and effNt cnltUI cJ)za 11 o 4 J bull
Et~ ai~a gtUoItshyc Z P=u
original and six Grantee t requi red to sign this document and return 1- eopies to 1Bufng
office
~ 12 GRANTEE TES OF AMERI CA
(Name typed or printed) bull
TJlle Director Comparative Legislative liecearell CeQtoQl
Date 12880
------------------------------------
ONAL DEVELOPMENT
By ----~--~~~~---------------------
prinled)
Grant Officer Title --------------------------------
J)oll( 12-2-80 -----------------------------
BEST AVAILBLE DOCUMENT i je
12 -
oz~ the tr)middote grantee institutions and otter associated scholars It
~ill ayise t~e pa1tee i1stituticns on SllC catte-s as roritorirg
activities at the t~re~ unive~sities~ evalu~ting rese~rch frr possible
=middotclication sJ--sidies rld ether ratters related to infor~atioTI
disse~~ation coordinating research efforts to avoid duplication
ecilitating excha1ges d sttde~ts ad faculty members ~-iitb foreign
nsti tutions i~en desirable tryi1g to till lacunae in cLIricu lUn
helJilg to arralge cmferelces and sy-posia and generally trJing to
9cote te ~eielcp~2nt of cOlparatile legislative stucies as a
Gra1t L~HS idll be ~sed to support the Univ2rsity of Io -a IS
nrticipation in tre AdisorJ Co-i ttee t1e developrrErt of conferenc=s
elsEfhere il the US arHl over3eas i1 relat2d facets of leeislaive sttdies
Edstng iersonJ~l al~d fa-ilities at the University o= 1oa previde
iaculty facliiies to aid rC3emc~ trailg aPd skill in 21c~ivaJ middotork
BES~ AVAIL4BLE DOCUMENT I
r ~-)
- 13 -
Six ITe-bers of t1e faculty of the Departent of Political Science
at the Unhe ity of Im-ia are presently engaged in legislative research
To merbers ot the Departllent of History are engaged in research on the
British Parlia~ent L~ the eighteenth ~~d nineteenth centuries Fer the
past six years an adv~~ced se~inar has been offered by ~embers of the
Department of Political Science and the Department of Histo~J on
comparative legislative behavior This exte1sive collaboration iiill
ma~e it possible to develop a fully inter-disciplinary program for the
students ~~d visiting faculty In addition faculty ~emcers in
Scciology interested in organizatien theory and in the College of Law
interested in legislctive processes provide furtber e-pertise ava_ilable
to students interested in tee study of legislative behavior The
presence of these specialists on th~ facult~r is reflected in the
excensive librarJ al1d otler data resources existing at Iowa in this
field
The Uniersity of Ima offers an unusually extensive program of
trainL~g in research methods Four ~e~bers of t~e Department of Politi~al
~cie1ce teach in the field of research nethods Courses jn statistics
ca1 be taken ill the Dep~rtents 01 Sociology e-d Educational Psycholcgy
Llis prcgr6l provides a verJ solid grounding il research training and
data analysis
bEST AVAILABLE DOCUMENT
e ~
- 14 -
Y labCrato~y for olitical Pesearch is the reseacc1 md research
tlairirg facility of the Departe1t of Political Sci-lce Gcadvate
students receivo extensive res~arch experience through 1or~ing in the
La oratory bull The Lacoratoy is also a1 integral part of the trainirg
o~feed in ccurs~ T~middotO~ for graduate students
The full-time sta~f of the laboratory includes a director an
assistant director a t-=cl1ical cirector a supervisor of study
t1hteen graduat~ students - rf1rk in te Laboratoy receivLLg teining i~1
~a~a collecticn ~~i data e~alysis Tbe facili te5 of the La)oratorltJ
icluoe a oard eJcerline printer ccnnected to the U1iversitys
dis~ and tape storF-ze for d~ta
The pogral of trailing ia coparative legislative reseC_cch ~ill
relr heavily en t LaOerltcLJ- for taching graduate stucents Visi tine
fc111tr lYe~bes iill be able to utilize tbe facilities cf the Laboratory
gt IOra ~as sFcial ccrpetence in prOCed~les for
ccq ter ogagtlizetion of d~ta Ja1ks ~d fOi the p~ocGssing of large data
sets as well as iJ the sttdy of naticnsl end st~te legisltllres Tile
BEST AVAILABLE DOCUMENT
- 15 -
Ile Univelsity of 10Ira will eadnister- the Grant thJotg~ its normal
a)1 iristrative char-l1els ad i1 Eccordance imiddotlith its ncrTal olicies and
operatirg procedures 7he Director of the gr~l1t-s~~ported program
Hill be a senior faculty eriOer of the Gniyecsity of IO~-ia -with extensive
expe~ie~ce in the subject field Associate Directors w~tb similar
qtalifications -aill also be appointed 7he Director- and Associate
Directors ~dll serve as eibers of t~e Inter-University Advisory CC1gtr)ttee
established to cooidinate _u bullbull ID gra1t-stpported programs at IOia Dul(e
lniversity a1d the University of Ha- aii Ll1 this field These relatiol-
ships are i~dicated in tee follc~dng a~inistrative organization chart
IX Ul~vsity Ccntri1uticn
T1~ ~h-ersity of IQ(a aSSures ALD that this Grant middotiill not
replace existing ftnds for STr current activity and imiddotrill be additive
to existing prograrrs of tCe lJniversity In direct sp~ort of this
Grat ttc University ~ill provide a) Acmi1istratile costs including
tie of senior officers of ttlt University b) Office ~ld research space
ald library and cor-puttr facilities c) Provision of a1cillamiddotCjr 1niversity
personnel -or consultation o~ ~middotjQrk nth the progral
X Reports end 5evie~-Ts
There i-ill be sub~itt-=i al arnual t2ctnical report for the purpose
of AID s revie- of activities under te Gant Tnis idLl include
a11 e-llation of prcsr~ss aidnistratve ar_c fiar~cial corsicer~tior~s
p~s cr tr foJlJ-middotire ear ~i disctlssics of the ossible l~lizaticn
BEST AVAJLIl8E OOCI1MrNT
~
- 16 -
A~~inistrative O~ganization
Ice Board of Regents of tle State of Im-la
-Iesicent of the University I
1 rOfcst Jf t-3 University
Den College of Liberal Arts
r Chailan DcptiEt of olitical ScieJce
Inter-G~iversity
Acisorr Corcittee
PcgrG21 Director Associate Progra~ Directors
Liaison Arcrge~~nts d ~h I I~~erested Plcfessiona1 I Perso~el j
I _
I 5cu1ti (full or PmiddotLG-tire l Asscci~tes a1d otllei non-Io~il
3ecip5ents of Gr3-1t stPPC1t Gr~cue~~e S t1~lcnts St2~retQi~S1 Data Lbed~1 31
Ln 18 r1icia 1
LO1t c~lce Factcj~1 ts
BEST AVAILABLE DOCUMENT ( ( V-t
- 17 -
of te eo17i~g cCpterce br A I D rLld ethers In addi tion there
aS3essr~ents of the gr31t
middot l ~ lI ~ _ _ _ co~~~r~~ing ~~iversiti~s md tne rrctitoring ALD office
7re l~yersity of Ie~middot~ budget of $26500 is to be deveted to the
cemiddotelgt~e~ of lstituticnal cefete1Ce in comparotive legisl~tiye studies
~t Iomiddota c t~ the exalsi0 ot a date b~L-lt ~ hich 1fill be utilized as
a ecle for icrec3ing te scope of tbe sub-specialty
T - 1 f 1 __ middotja r S Ctdget a9roxir~tly 33- has bee allocated to a
cemiddote Lp~l t rirc ipally C actlty re leased tirre for data ccllection
ai 0 3alres f~r i~~er-ieers in field research 3d secretarial
assi5ta1ce nCt2 11- of t~e Icmiddotre oudge~ is iesignated for an
ArCE_1 A~ite s(101a~middot 2d one 0 ore scnolals froQ LDe or
s1lllrt of greluate stucents in the
BEST AVAfLIlBLE DOCUMENT
- 18 -
Finally approximately 19 of the budget will be devoted to the
proposed data bruL~ that will archive not only data generated from the
research of scholars at Iowa Duke and Hawaii but also at other US
and foreign institutions Primary and 3econdary an~ses of these
data will become an integral part of ~omparative legislative studies
curricula The ability to utilize the data bank for teaching purposes
also should have a significant impact on professional preparation ofmiddot
future legislative specialists In summary the funds will be
allocated to research teaching and training activities tha~ are
entirely conson~~t with the philosophy underlying the utilization of
2ll(d) grants to achieve institutional development
Conclusion
The University of Iowa regards the research and teacbing components
of this program to be closely related an1 zrutually reinforcing The
University of Iowa offers a strong base for the pro~ram because of the
interests of faculty members here now because of their contacts with
scholars in this field in other Americ~~ and foreign universities
because of their experience with the international exchange of faculty
and because of the distinctive data gathering and processing facilities
available in our Laborator~- for Political Research The program which
we have formulated is designed not only to accomplish specific
research and teaching objectives but to contribute to the long-term
development of the University of Iowa in an area in which it has already
exhibited special interest
BEST AVAILABLE DOCUMENT
~ I) - 0
- 19 -
The program on Comparative Legislative Studies with support from
this Grant rill develop the capacity at the University of Iowa to
provide assistance under separate financing arrangements to developing
countries in a number of ways and through a varieiy of channels This
assistance which would be arranged for end negotiated separate~ from
this Grant may be in the form of technical assistance advisory service
training research and information exchange etc It will be available
by mutual agreement to appropriate agencies national and international
public private a~d mixed and directly to the less developed countries
Most especially this added special competence will inevitably become
incorporated through the processes of scholarship and education into
the competence of US and foreign scholars and institutions concerned
with this topic of great significance to the developing and the more
highly developed countries alike
BUDGET SUMMARY
UNIVERSITY OF IOWA
Salaries
Graduate Student Stipends
Fringe Benefits
Travel
Equipment and Services
Other
TOTAL
$173090
32400
19209
13800
6501
20000
$265000
BEST AVAILABLE DOCUMENT
d bull
srjmiddot (~~ jjXilO
IO
rmiddotmiddot ~middotmiddotrl f)~~ 7 middot 1 ~A~~ middot1 rmiddot middot~ rt bull middot bull bullbull I ~ i bull bull ~ middotv- middot bullbull ~ I
1 so bullbullbull l ~--~-- - - ---- ~ V~ i Jlgt ) bullbullbull ~(lr v ~I ( tr_ 1middot-middot 1 bullbull 1
il l~ J
2 c~loto
BEST AVAILABLE DOCUMENT
(C
Dr Willa~d l Boyd Presicient University of Ima iowa City Iowa 52242
Dear Dr Boyd
4 AUG 1977
amp
FIJNDS AVAnASLe CpoundNrftAamp sEIMCEs DMsON
AUG11 ~n te t6417 ~77
Subject bull Supplsectferit-tJF-G~middotNomiddot~middot AIOcsd-3294
t middot-rrPJ1 3
I am pleased to inform you that pursuant to th~ auth~rity contained in
S-cction 211 (d) ooC the Foreign Assistance Act of 1961 as amended a sup
plemental grant in the amount of $200000 is h~reby r~de to University
of rCi1a These supplement]l grant funds areprolided to support the
activities which are described in your Proposal dated May 6 1977 for
the implementation of your program entitled Political Conditions for i
Effective Small-Scale Rural Assistant Projects
---This sup~lemental grant is mace to University of Iowa en condition that
yo~r institution shall administer the funas provided under this Grant fn
accordance lith your r~ay 6 197 proposal (including Budget SUmlilary) and
the Standard Provisions (as incorporated by Amendment No 1) which have
been agreed to by your instit1ltion Ti) the extent of an inconsistency
between the Proposal and the Standard Provisions and any otherprovisfons
which ar~ made a part of thi5 Giant by reference or other~iSe the Sta~d~
ard Provisions shall control
The new Duration Period for this Grant shall beAugust 11 1971 through
August 10 1979
The total amount of funds obligated under the grant is increased to reflect
a new total oblgated amount of $465000
Please sign the Statement of Assurance or Compliance ana the origfnal -
and seven (7) copies of this letter to acknowledge your understanding of
the conditions under which these funds have been granted Please return
the Statement of Assurance of Compliance and the original and six (6)
copies of this supplemental Grant to the Office of Contract Management
Attachment May 6 1977 Proposal and Budget SUfiT1a ry
UNIVERSITY OF IOWA
Roberw bull OBrien fficer
Ce al Operations Division Office of Contract Management
AC~E~E~C--_ 0 BYpoundk~~ cH
D C ~lpoundSTtR5BA T ITL E ( PfeampoidPilt for
tee ment amp Research DATE 9-22 -77 (d~ ~~Bduate Ctl~1e~e
BES i AvAILdLt UOCLJMU~ I
211(d) Grant Program
Proposal of the University of Iowa
POLITICAL CONDITIO~S FOR EFFECTIVE SMALL-SCALE
RURAL ASSISTA~CE PROJECTS
Submitt~Ci to
Civic Participation Division AID
May 6 1977
Amount requeste~ $ 199987
BEST AVAILABLE DOCUMENT
I TdE DEVEIOP~T PROBr~
P~litical Conditions for Rural Development
The Cocparative Legislative R~search Center of the University of
Iowa proposes to ~~dartake a two-year study to investigate the role of local
leaders and the rural public in theimplecentation of small-scale develop~ent
1 projects in less developed countries The study will use and extend the
capacity ~hich the University of Iowa developed under a 211(d) grant to
investigate and assess the impact of loeal politics on rural development
~t the co~pletion of the s~ Iowa will be in aposition to advise the
Agency on the design ~nd evaluation of s~ll-scale projects which will be
politically viabe a~d effective in ass~sting the rural poor ~
As students of development w~ approach our task with the assumption
that the proble~ of development and underdevelopment are funda~entally
ones of political econooy and a~ such can only be solved through a
simultaneous considerationof economic and political factors Efforts
which foc~s aloost solely on economic factors like those of ma~y
organizations engzed in dipersing foreign aid or efforts which focus
almost exclasively on political factors fail to take account of the
interdependence between these two dimensions of underdevelopment and
lwe have for~ulated this proposal in a canner consistent witr the cu~rent policies ard interests of the Agency We have been guided in our tsk by four Age~cy doc~e~ts Impleo~~tation of New Directions in Developnent Assista~c~~~ ~eport to the COmlittee on International Relations on Ilupleoenshytatiun of Legislative Refo~ in the Foreign Assistance Act of 1973 (July 1975) rItevis~d Projec Developiel Review and Approval Systeo (A I DL Circular A-21 Aril 23 1975) SH Butterfield Draft SUIilZ3ry StateUlent of a Practical Agelcy Approach c aural Devalopilelt (AATA February 28 1975) Cicci A Coce~ual Oie=viamiddot middot Rural Development No1 (lWorilting GOU O~ tha Rural Poor February 1975)
- l -
can meec with only l~ted success
Our concern with the i=pact of local politics on the process of
rural developcent is a result of our interest in the basic question of
how LDC governm~nts and the donor agencies which assist them can
become core effective in raising the standard of living of the rural
poor We seek answers to the following aspects of that basic question
1) What political conditions must exist both within rural communities
and between theo and central gove~ents to raise agricultural production
w~ere small-scale agriculture is the do~nant pattern 2) Vnat are the
political conditions for a core rapid expansion of the informal manufacturing
and service sector cocprised of labor intensive small-scale industries
located in the rural ar s 3) What political structures and activities
are mase crucial for the provision of welfare and econocic supporc services--
such as agricultural exeension mar~eting and transportation--to the rural
areas1 4) ~~at Folitical conditions oust exist to insure that economic
growth in the rural areas is not accowpanied by excessive and intolerable
inequalities between socio-economic classes andor between regions1
Center-Periphery Linkage in LDCs
To deter~ne the political conditions for rural development we have
in previo~s s~udies exacined the institutions and processes through which
rural populaticns are integrated i1to the national politi-cal systetlS of
middot~he countries in which they live A gap exis~s in most less developed
countries bet~een the peasantry residing on the periphery and the c~~tral
political ~stiutions staffe1 by ~~estern-educated bureaucratic elite
We are aware of the other major ~sti~utional discontinuities which comprise
J
4 middot~~1 the basic cleavage between the developed and underdewmiddoteloped sectors of
these dual societies Bridging these gaps is essential if these so~ieties ~ are to develop into viable nation states For until those Q~ the periphery
of the poli~ical syste~ participate in that system and support and comply
with the authority of central political institutions neither economic
development in ~he rural areas nor a stable polity will emerge
Bridging the discontinuities in these new political systems requires
establishing and institutionalizin3middot1inkages or networks for co~unication
and exchange of resources between decision-makers at the center and the
rural public on the periphery Three types of institutional linkages are
most prominent in less developed countries 1) those conSisting of the
state administration composed of the bureaucratice1ite 2) those consisting
of a revolutioncry political party cocposed of the ideological elite
3) and those conSisting of patron-client hierarchies composed of the political
entrepreneurial elite
Of these three linkages consisting of the state administration are
the cst extensive and pervasive in virtua~ly every LOC Such linkages
however exist primarily a~ instruwents of the center to penetrate the
periphery Central government officials are formally charged with bringing
develo~ent to the people This is a ~issi~n which conceives development
as a process ~hrough which a traditional peasantry is transformed and
assimilated iJro the DOdern center which is steadily expanding to embrace
it Agents of the center invariably have more resources to achieve their
objectives than do local political leaders but because they are frequently
strangers~ the communities in which they function they are often unable
- It -
co implement the policies of the center without working through the
local establis~ent
Though somctices significant linkages consist~g of revolutionary
party organizati~ns such as those found in China and Vietnam do not exist -
in most IDCs beca1Se of the special historical and e~omic conditions
required for their development As wi~h the administrative state however
the linkaampe apparatus of such political patties is prUlarily an instrument
of the center whose mission is to penetrate and mobilize those onthe
periphery
In contrast patron-client hierarchies are linkages which represent
the periphery at the center and mediate betwee~ these two disparate
sectors of the political systec Thcugh norcallymiddotovershadowed in scale
by the state administration patron-client hierarchies are found in almost
~very LDC a~d constitute the ~st significant network through which rural i
populations and their leaders influence the decision-~king process at
the center Patron-client hierarchies exist in a wide variety of org~iza-
tional fores ranging from info~ ~ec~~rks of individual olitical leaders
in uno-partyll systelS in S~b-SaharaI4 Africa to extensive political machines
in both one-p~rty (Africa Mexico) and ~u1ti-party systems (Turkey India)
Despite their importance as the pricary means through which peasants in
LDCs particiate in their political systems patron-client hi~rarchies
have only recently become an object of analysis by students of political
developent and do not appear in even the most sophisticated studies of
2 See Jo~ Dunca owell Peasant Socie~y and Clientelist Politics Aerican Politi~ Scielce Revietol 64 (June 1970) pp 411-25 Rene Lemarchand anc_ Keith Legg olitical ClienteliSJ and Ethnicity in Tropical Africa Aierican Political Sc~ecce ReView 66 (Y~rch 1972) pp 68-90 James C Scott PatronshyClient Politics a~d Political Change II 1tlerican Political Science Revie~ 66 (~arch 1972) p 91-113 and Friends Followers and Factiols bull edited by Steffan Sc~~d and James C Scott (Berkeley UniverSity of California Press 1977) bull
- 5 -
3 economic development Ad~niscrators of developmental assistance progracs
have too often regarded patron-clienc hierarchies as ~ped~ents to
develop~ent instead of recognizing cheir potential utility bull
~ Findings on Patron-Client Hierar~hies --
The importance of pat~on-clienc hierarchies for linking the periphery
to the center is one of the major findings ~erging from a study of the
relationships betueen l~gislators an~ their constituents in Kenya Korea
and Turkey ~hich the Cowparative Legislative Research Centpr is nov
comleting uader its 21l(d) grant from AID This study has av~mined the
creation of linkages between the periphery and the center through ~ore
than lO~OOO interviews with members of parl~ent local leaders and
peasants in t~e three countries The findings are being systewatically
set out in a book-length monograph Nearly a dozen research reports have -
uready appeared (see Appendix C) ipropositions about the nature of
political behavior of rural populations an~ the roles of local political
elites de=ived from the research~ can be s~rized as follows
1 Elected representa~ives play a significant role in the creation and mainte~ance of linkages be~een the center and periphery by developing local political achines in which they function as patrons of their constituents In turn thay s~rve as clients of political leaders of national stature who control central government institutions
2 By atte~pting to establish linkages based on patron-client relatio~shi~s elect~d representatives are responding to public expectations chat their prizary duy is to obtain resources from the center to proffiote local develop~ent ~iany elected repLesentatives spend most of their time on self-help co==unity development projects such 3S the building of schools health clinics irrigation works arid roads because such projects provide
3For exa~le ~ a widely respec~ed a~d useful analysis of rural deve16p~ent in Sub-Sahara~ Africa L~ Lele of the World Bank notes the problems of creating an adoini5~raive infrastructure in the rural areas that is sensitive to local socio-oliical conditions She does not however consider how local leaders operating o~tside of adcinistrative structures ~ night contribute to the developne~t 0 the rural areas See ~~ Lele ~ Design ~ Rural Develop~ent Lessons ~ Africa (Balt~re The Johns HopkiD~ Uciversity Press 1975) r) pp 127-61 i ~
- 6 -
their const~tuents with desired se~ices ~~d a= the sa~e time provide the reresentatives with an orgacization Yhicn can be used as a political base
3 l-tore than 90 perCel1t of the rural population is capable of articulating the p~oblems facing their local co~~ity and two-thirds discuss th~e proble~ w~th their fellow citizens on a regular basis
4 Three-q~rters of the residents of the rural areas can identify the public ofpoundici~s who serve thec--both civil servants and elected represcrtatives--by na~e Most are knowledgeable about the activities of these officials Alcost one-fifth coreover have discussed co~~~ity probl~ ~ith these officials particularly those working at the grassshyroots level Residents of rural villages actually have a higher level of political knowledge than their counterparts in the towns
5 Elections in the rural areas evoke a highly rational attern of voti~g despite the effects of ascriptive or traditional co~siderations Inc~ens are pri~rily evaluated in terms of their record in fulfilling the public r S elpectations of what they should do Elections are essentially referenda on inc~entsr perfo~ce especially their perforwance in the area of constituency servi~es such as bringing development projects to the districts bull
6 Local developcent projects have a relatively high s~olic value generating conscitutency support for local leaders and the central government at low cost
7 These projects help huild a local political infra-structure which can also be utilizec by central govern~nt civil servants to implement other policies designed to achieve rural develop~ent bull
The Icpac~ of Local Politics on Rural Projects
Having explored the developtent of linkages through which the periphery
is represented at che ~enter and through which the periphe~ attemp~s to
share in the ceners resources we now propose to build upon our initial
investigations by e~ing in greater detail the impact of local political
conditions on specific problecs of rural develop~ent We propose to
exacine the develop~ental activities of local leaders ~nd the rural public
by eX2~Ding a saple ot fifteen to twenty smalL~scale developwent projects
in each of ~he three countries which constituted the sites for our initial
8ESI AVAILABLE DOCUMENT 1 ~ - of
- 7 -
study of center-perhiphary relations The appropriateaess of this approach
and the ~ethodology through which it will be ip~emented is discussed in
section II Because the ~ethodology of investigation is in large part
the result of our previous research experience we fizst turn to a revieW
of the existinQ __ ~petence of the Comparative Legislative Research Center
in this area
II GRAXTEES EXISTIXG CmET~CE
In 1971 the University of Iowa received a 211(d) grant to develop
its capacity to do research on the role of elected represent~tives in
the process of modernization On the b~sis of this grant the University
established a research center which planned and carried out a research
project on the role of elected reres~~tatives as links between the central
gove~ent and rural populations in K~ya Korea and Turkey The project -i
served to develop t~e University of Iowas research capability in this
field esa~lished ties between the University and scholars in the bost
countries and generated a large and uniqu~ body of relevant data
In that project we fo~ussed our attention on tbe activities of elected
representatives in their constituencies notably in their contacts with
local political leaders voters and civil servants To determine tbe
nature of the linkage function performed by tbe representatives we
designed our research to explore the subject from three perspectives
1) we eXaojned ~~a ~ubject at tbe grass roots by conducting a series of
sample surveys of 200 to 300 adults in each of 12 to 14 parliamentary
constituencies in each cf th~6three countries 2) we examined the subject
at the center by intervie -ing MIls from the constituencies in which we
had conducted S3mple surveys ~nd higher civil servants with whom they
had contact and 3) ~e ex~~ined the subject from an inter-~diate level
by identifying aud ~terviewing local social and political leaders in
the MPs constituencies We used survey research methods because we
were embarking on the study of an entir~ly new subject for which little
relevant docu=e~tary data existed and on which there were few secondary
sources As a result ~e have unparalleled experience with survey
research in the rural areas of less develo~ed countries
The surveys which constituted the cajor part of our field work were
planned in collaboration ~~th scholars from the host countries They were
carried out in each constituency by student interviewers in the appropriate
language ~re than 10000 respo~dents were inteDViewed for the project
Given the visibility and sensitivity of this undertaking approval for
the research was sought and obtained from the host governments prior to -i
the collec~ion of data ~o objections were raised by these governments
at any stage of the research The data obtained have been made available
to scholars i~ the host co~cries and some of the basic findings have
been published in periodicdis in these countries
The Comarative Legislative Research Center ~hich ad~nistered the
project has aisO developed extensive experience in the study of political
leadership in other countries It h3s obta~ed substantial support from
the Fo~d Foundacion and the Rockeeller Foundation has worked in
collaboration ~~h European as ~ell as Asian and African scholars and
is engaged in a ajor study of the role of elected and non-elected leaders
in the oanag~~t o~~ocial conflict Because it has conGucted research
in a variey of setlngs the Center has an ~ceptional capacity to
- 9 -
determine how the relationships be~een political institutions and
economic p=oble75 differ in develoPed and less developed countries
In the course of the major research projects the Center has administered
it has gained highly specializpd ~p-i ce iI identifying 1Olitical leaders
in a great variety of settings conducting systematic interviews with
them collaborating with scholars in the host countries and in coding
and utilizing large files of data to answer specific research questions
The Center has ~lso undertaken to publish the results of its research
in three fores It issues codebooks to the data enabling scholrrs at
other locations to use the data expeditiously i~ publishes research reports - in the form of Occasional Papers and it publishes a scholarly periodical
devoted to the presentation of research findi~gs to an inteIT~tional
audience
The Center utilizes the data ~ysis facilities of the Laboratory
for Political Research of the University of Iowa and drawS on the unusual
n~er of secialists in comparamptive politics and survey research in
~~e Lniversitys Departmen of Political S~ience The Center itself I
has the services of an administrative secretary and a clerk-typist
~intains its~o~cn extensive archives and its o~~ publications program
It is e~uipped to assist scholars and government officials outside the
t~iversity of Io~a The participants in its p~ojects are full-tioe
faculty ~e=bers ~hose undergraduate and graduate teaching is closely
related to their research As part of the teaching program the Center
has attracted students from the countries in which the research projects
have been conducted these students have participated in the projects
bull J
have obtained training in other fields of political science have received
University of Iowa degrees~ and have ret~rned to teach and to do research
in their own countries
III PURPOSE OBJECTIVES AID METHODS
Purpose of Study
The purpose of the proposed grant is to extend the capacity of the
University of Iowa to determine the political conditions in the rural
areas of less developed countries which favor the establis~ent and growth
of small-scale developoent projects ~e objective is to put the University
of Iowa in a position to assist the Agency in designing small-scale rural
developent projects providing guidelines for carrying out social soundness
analyses of such projects and adviSing in the evaluation of projects
We will discuss the utilization of~t~e Universitys capacity in detail in
section IV below
We propose to concentrate our investigations on the political conditions
surrounding s~l-scale ru~al projects Such projects have distinctive
advantages They waximize the political participation of the rural populations
both in det~~-ining the direction ~d implementation of develop~ent efforts
and in defending the interests of periphery vis-~-vis the urban-based
bureaucratic elite S~ll-scale projects stimulate entrereneurial activity
on the part of the rural citizens and growth of the info~l canufacturing
and service sector Tbey require less lead tice and less administrative
c~erhead to ~eco~e operational than large-scale capital-intensive projects
centrally administered Such projects yield rapid and direct benefits to
1
j
the rural
- 11 b - ~~1
populations and are consistentwith their hUIlaD rights--both
political and economic However~ small-s~le projects pose s~ecial probl~s for administratcrs of developceocll assistance progracs because
they require the donor co assess the local olitics particularl the
rural politics of t~e host country
Develop~c adoinistrators pr~rily conc~rned with assisting rural
populations must therefore recognize the range of political variables
affectL~g these projects Small-scale projects offer great opportuoities
for develop~ental assistance progr~ because they can be easily targeted
to help rural populacions require low capital costs and need no be
concentrated in one or two localities Such projects ho~ever~ ~equire
the a~istrator to have ~re political kno~lecge than large-scale
projects Oil which his priJlary tas~ is guiding the work of other experts
Questions for ~Investigation
To detercine the politi~al cc~diicilS ~st conducive to ~he establ~~ent
and gro~h of scalI-scale rural projects ~e propose to address our inquiry
to the following specific questions
1 To what extent and why co local political leaders seek to establish s~~l-scale develop~ent projects within their co~unities
2 To what extent and ~~y do local leaders other than politicians initiate andor provide leadership for s=all-scale developm~t projects
3 Bot do the relations bet~Jeel different types of local leaders (political and non-political) and bet~eeo these leaders and central gove~ent civil servants posted to the rural areas affect the conduct of develop=ent projects
4 How do existing authority ~eLationships between these different leadership grous and the rural pub~ic affect the organization and operation of s~l-scale develop~ent projects
- 12 -
~
5 lhlt is the nature 0 pclgtlic participation in the establishlent and operatio~ of s~l-sclle projects and ~hat are the outcc=es or this participatioe Gucer w~at conditions is such participation ~ost likely to occur
We seek a~swe=s to t~cse questio s L order to determine the effect of
different co~iigurations of local leadership and public participation on the
outcomes or small-scale rural projects te are particular1y concerned with
the ~pact of these configurations on the rate of econocic growth and the
distribution o~ rIGSlth ithin the loal cOlllUlity ~ on the perce~tions of
s~ll-scale proj~cts by central govern~ent per~oncel and the rural public
anmiddot on the organiation or flture projects
To a~swer these que~tions it is oar intention to study the initia~ioD
izJple=enation ald i1lpact of a salple cpound small-scale rural projects in
Kanya Korea and Turley in the sae cOllities in which we carried OU
our initial icvestigations ~ 1973-75 Tne relationships between the -
various conf~gurations of local leadership and public participation and
the three phases of project develop~ant are sho~ in Figure 1 We will
exa=ine projects to pro~ote the adoption of new agricultural techniques
by s~l and moderate landnolders the building of feeder roads irrigation
ditches and other s~ple infrastructure the organization of fa~ers
cooperatives and other local associations concerned with rural development
the establish=ent of rural health clinicS and schools and the setting up
of craft and service industries
Sites for Study
We plan to return to our original set of localities because we possess
a rich body of relevant data on the extent to which linkages exist between
Figure 1
TYPES OF LFLUEXCE OF C2r~ middotGOVER1iEXT OFFCIALS
LoCu LEADERS 0 THE RURAL PUBLI-C OX THRr~
PHASES OF RURAL igtEVELOPHET PROJECTS
r----------~J C~ltral Gover1~nt Official)-N------- - J
r- Local pOlitical leaders
Local non-political leaders
~l 1---- -
ROJECT nITL~TIOS
Influ~ce on selection of projects
InrI ~elce on location of projects
Influence on policy guidelines for proj eCl
Il
I
a
I I
-I PROJECT I~L~~iATIO~ ~ 1
j Project Organizati I Selection of project
leadership
Hobilization of resources
Mobilizatiol of public compliance with project require=elts
Diffusion of project innovation
Rural Public
I
BEST AVAILABLE nOCUMENT
1 ROJECT IMPACT
Organization of ongoi=g project operation
Distribution of project benefits
Evaluation of project
Public attitudes toward project
-middot14 -
these areas and t~c central p~litical institutions of the three co~tries
and on the attit~es of the rural populacioc local leaders and elected
legislators regardi~g their problecs of develop~~c Since such data
is unavailable for alternative locales a return to the areas in which
we have previously done much research ~ables us to build on a uniquely
valuable body of icformation
A return to Kenya Korea and Turkey is also highly desirable from
the standpoint of effective research organization The Comparative
Legislative Research ~enter has developed close collaborative relationships
with several highly competent social scientists in these countries and
with the academic institutions with which these scholars are associated
We have also dev~_oped cooperative relatio~ships wi~ gove~ent officials
in these countries which should facilicate obtaining approval for our
further work
In proposing to doc~ent the origin i~pl~entation and impact of
one to three s~ll-scale develop=ent projects in each of 35 localities
we have two considerations in mind Firstmiddot because our pr~ry goal is
to deter~e the political conditions for rural developm~Lt we wish to
examine develQ~=ent in as many different settings as feasible Only in
this way can we control for so=e of the major socio-cultural variations
that erist along rural populations in less developed coultries These
include the overall level of econo~c development in the co~unity the
nature of t~e ~digenous culture an~ relationships of authority and the
pro~ty of the comounity to major urban areas and centers of central
gove~nt ad=inistration ~ce our original study sites were carefully
BEST AVAILABLE DOCUMENf
- 15 - ~ ~1
selected to represent these variations ye have concluded that these
35 localities woule be ideal sites for the propose~project Second~ in order to dete~~~ the ~pact of local leaders and public
participation o~ ~ural projects we intend to compare projects 1n which
local leaders and ~ecbers of the public have played a major ~ole with
projects in which they have not We also ~l cospare projects initiated
by the central gover~ent with projects Yhich have been locally initiated
These considerations give us a typology for selecting projects as depicted
in Figure 2
Figure 2 ~
FIVE TYPES OF RU~AL PROJCTS ACCORDIXG TO ~FLUEXCE OF CEITiW
GOVE~1E~T LOCAL LEADE~ AD RLRAL POULATIO~
Level of Participation by Rural Population
Locus of Project Initiation ~
Local Co=unity Central Governoent
BIGd
LOt
1 Projects initiated by local leaders and providing for participation of the rural ~opulation
4 Proje~ts Litiated by local leaders bu~ not involving participation of the rural population
2 Projects initiated by the Central Govern~ent and administered i~ cooperation with local leaders a~d the rural population
3 Projects initiated by the Central Govemlent and providing =or the participation of the rural population but by-passing local leaders
5 Projects initiated by the Central Gover~e~t a~d administered in cooeration Yith local leaders but not involvi~g parti~ipation of rural population
- 16 -
We recognize that the socio-cultural setting of rural develoment
projects varies significantly within and across less developed countries bull
By focussing o~ a representative sa=ple of localities ~ Ke~ya~ Korea
and Turkey we can take account of naoy~ though not all of these variations
While some of our substantive findings will not be directly generalizable
beyond the countries in which we propose to conduct our study we expect
that our basic ~ethods and fLdLgs will be applicable to national and
sub-national settings elsewhere in the developing world This is partly
d~e to the fact that the hierarchy of patron-client relations ~hich we
regard as a critical factor in rural develo~~t exists in ~ost Liles
--It is also due to the fact that the methodology for identifying local
bull leadership configurations auG poundor studying local politics which we are
perfe~ting can be used to assess local political co~ditions in a large
variety of countries even when the ~nditions themselves differ significantly
Methods of Investigation
The data needed to assess the iDpact of local leaders and mass
participaticn on rural dev~lop~nt fall into two categories Some a~e
contained among the data gathered for the research project we are currently
completing Others will require additional field research
The following data are already in hand
1 Data on the social landscape of each loc~l co~nity i~cluding aggregate data o~ level of econonic development de~graphic characteristics political pa=ticiation eth~ic loyalities and rates of socio-econocic change dur~g the past decade bull
2 Identity of local leaders including both political and I-on-political leaders and both legislators and other politicians
3 Perceptions of existiag probl~ and their possible solution a~ng
l)tS r AVAilABLE DOCUMENT
- 17 -
general public local leaders and civil serv~nts
4 Level of political kno~ledge among local citizens and local political leacers
5 Political and social values a~ong local ci~izecs and local political leaders
6 E~~ectacions of leadership roles among the local public and elected and non-elected leaders
7 Patterns of co~unication ~ong local leaders and between local leaders and the central gove~e~t
These data ~hich ~e already have in hand can be subjected to analyses
which ~~ll provida the foundation for our further work on rural develop~ent
projects A part of our work therefore will consist of fu~ther analyses
of existing data
New data of the following kinds are also required
1 Doc~entary data on the origin and evolution of particular smallshyscale develop~cnt projects in the rural areas
-2 Data on project costs boih ~itial invest=ent and recurring
operating costs and data on project ou~puts ie pupils in schools Ddles of road coopleted nl~ber of hospital a~ssions production of factory agricultural productivity
3 Data on project organizatio~ n~~r of local inha~itants participating in establis~~ent of projectt nuober of local L~habitants subsequently involved in project
4 Data-on the pe-cetion of projects by local leaders emers of the local public a~d by civil servants data on the perception of how each project ~as initiatec organized who benefitted and what its future implicatio~s are
These types of data will requ~re field work involv~~g both docucentary research
at the relevant ~istries of the central government and in local goverr~nt
authoritieS and inforoal open-ended interviews with local political leaders
elected representatives and other local leaders who~ we had previously ~
interviewed in a s=uctured syste=atic =aoner
BEST AVAILABLE DOCUMENT
- 18 -
Grant Organizatio~ and T~etable
We propose co undertake the research outlLled above beginning in the
fall se=ester 1977 Dur~g that te~ Professors Barkan and Kim as
principal investio~tors for the neo1 proj ect will contact their collaborators
in the host co~~tries They ~~ll also seek the collaboration of an additional
~rican scholar specializing in rural development with the aic of getting
additional advice on sources of data and suitable indicators for the
~easure=~~t of rural develop~ent projects
At the end of the fall seQester Professors Barkan and Kim will make
a trip to their research sites to disc~s details of the research organization
with their collaborators in the host countries and to recruit student
assistants Tney will devote the spring te~ 1978 to further analysis
of a~sting data at the University of Iowa
The gathering of additional dita L~ the field will begin in the s~er
of 1978 Professors Barkan and Kio will direct this work personally We
eAect that its coopletion ~~ll require three to six months This work ~1
involve the evaluation of central and local gove~ent reports on the
projects uncer investigation extensive on-site observations of the projects
and oen-e~ded interviews with the principal participants Our principal
respondents ~i1l be the local leaders and elected representatives we
have previously identified in the localities in which we have worked and
a sacple of active participants in the particular dpvelopment projects
being studied ~~ere necessary and apropriate surveys of the general
public will be uncertaken to assess the inpact of a given project on the
rural por)r We do not however leed 0 conduct systeAlatic sample surveys
BEST AVAILABLE DOCUMENT
- lY -
of the rur~l population as We did in 1974
In the organization of this research project we intend to reconstruct
the rese~rch tea=s ~e e=ployed during 1973-75 We shall again seek the
co11abo=~tion of P~ofessor Sc~~S-7o~g Pai of Seoul National University ~
Professor IIiCr Turan of the University of Istanbul and Professor John J
Ok~u of the U~iversity of ~arto~ S~ilarly w~ contemplate directing
the field research fro~ he same acade~ic research organizations we previously
used Seoul National U~ive~sity th~ ~~iversity of Istanbul and the
Insti~ute for Develop~eut S~udies University of Nairobi As before we
will tra~ students f~oo these institutions to serve as interviewers
The analysis of the open-ended intervie~s and of docUQentatio~ on
I ~ural develop=e~t projects will be a ~ore t~e-co~s~g process than the
analysis of closed intervie~s It will reqrire a high cotnittl~t of time
fron the principal investigators )e e--pec to hold a conference at the i
U~iversi~y of Iowa 3lO1g all the principal )clticipa~ts in the resea~ch
project d~=~g t~e spr~g 1979 to evalua~~ the newly collected data
le e~ pect to be able to vr-ite reports of t~ results during the Sl1~er 1979
(see Figre 3)
IV LlX-GS ~1) U~ILIZATIO~
At the e~d of the grant period the Uti ersity of Iowa will be able to
1) advise the Agalcy 01 the design of s~l-scale rural projects to assist
the rural poor 2) provide guidelines for social soundness analysiS of
small-scale projects for the rural areas of U)Cs 3) consult w~th the
Ag~tcy 01 the evaluatiol of rural projects ~d 4) provide LDe governments
BEST AVAILABLE DOCUMENT
)ATES
~lll
1977
~inter 1977
iprilg 1978
il mer 1978
~all
1978
ipr~ng
1979
Imiddoter 1979
University vf Iowa
Plutlning of rural develo~rent project
Barkan Kil
Alalysis of existing data
Barkan Kia
Data processing
3arkan Kin
1
I
- 4 -
Figura 3
GRAT TLfETABLE
SIT E S
Kenya Korea Turkey
Preparation of field research ural developH~lt project cOlisulta~io~ a research sites
BarkanOku=u Ki~Pai Tura~rkanKi~
Preparation of field resea-ch
Tural
Field research on rural cevelop~~t projects Bar~lOk~u Ki=Pai Turan
Co=pletion of Co=pletion of field resear~~I~ fiald researcr
Ok~u i Pai bull
f Coopletion of field research
Turan
Data analysis conference a~ong all princial i~vestigators at Un~versity of Iowa Barkan Kil Oku=u Pai Turan
Co=letiol of r~ral develop~ent
project
3arkan Kiz
BEST AVAILABLE DOCUMENT
I
- LL -
~ith speciali~cs o~ ru~al developcect ~mong their own citizens ~ho ha_
partcipatcd ~s collaborators in the Iowa projects
In the proposed project we Will test a series of hypotheses cOlcerning
the political cOllditions of rural develo=ent which run counter to CODOn
assuoptions conccrnir3 t~~ influence of rural politics on project effectiveness
As a result ~e ~dll be able to assist the Agency in designing and evaluating
such projects froe the point of V~~W 0 their political viability The
hypotheses We will test sugges~ t~at the patron-clie~t relations existing
in the local politics of zost LDCs are not necessarily i~pedients to rural
develop~ent but are aspects or the political structure which cal be used to
facilitate s~ll-scale ru=~ projects which will raise the standards of
living of _ ~ rral pomlation - As ~ result or our stuey we expect to be
able to P~-O~t the local leadership confi5~rations ~4d the relationships
between local leaders ald rural poclations ~nich are oost conducive to I
successful develcp=en efforts We believe that we will be agtle to perfect
a cat~odology for identifying the political conditions for rural develop~ent
one ~hich is transferable pound~oo the countries we have specialized in to
other LDCs
We proo~ to develop specific guidelines to assist administrators
charged with selecting evaluating and =onito~ing rural develop~ent
projects to ~szess t~esc rojects in tares of their-social and political
viability he outco~e of such projects is dete~ned not only by the
efrectiv~nass ~~=h ~hich they use scarce econo~c resources but by the
~~er L~ w=ich they e~gage the suppprt of local leaders and rural
po~ulatiocs~ by thei= effect ou social a~d econo~c equality ~d by
D[~T AvAlLA8LE DOCUMENT
- 22 -
their consequences for hwan rights ~Je plan to establish criteria by
middot~hic~ the probable outco~es of projects in these social terms can be
anticipatec
The study ~e propo e will be undertltlken by faculty at the Cniversicy
of lowe in collaboration with faculty a other ~rican institutions and
institutions in the host countries We will build on the extensive contacts
between the Co~perative Legislative Research Center of the ~niversity of
Iowa end other instituions with ~aich ~e have worked One =ajor result
of our collaborative study will be the existence of a net~ork of compe~ent
scholars both in this country and overseas experi~lced in ~orking together~
shar~g a co~on teaching and training experience i~ close contact throu~~ the
effective publications progr~ developed by the Co~parative Legislative Research
Center T~e e~~ertise of this group of individuals will be ava~lable to
oteer scholars to the Agency and ~o L~C governments for specific policy
advice The eXertise developed as a consequence of this project will
extend beyond the ~tionals of the countries ~volved since the univ~sities
engaged in ~e project attrtct stude~ts fro outside heir own countries
For ey~=ple the teaching ~d research progra in the Depar~ent of Political
Science 0 theUniversity of Istanbul heavily affected by the participation
of its facul~y ~e=bers and graduate students in our projects attracts students
throughout the ~middot1iddle East for Whom the University of Istanbul is the iajor
institution ~pound ~igher education in the region rne Institute for Developmen~
Studies is si=ilarly a focal point for students and faculty in East and
Central Africa Seoul ~atiocal Unive=sity attracts students froo other
Asia~ co~tries~ In this way the capability developed among the participant$
BEST AVAIL~BLE DOrUMENT
- ) -
in our work is diffused widely To the exte~ that the abili~y to assess
rural develop~ent p~ojects in teres of their social soundness is increased
both in the United States and in ~o~~tries r~ceiving develop=en~ assistance
the cap3~ity of racipien~ countr~es to absorb aid is ~creased
We propose to draw up an inventory of personnel available in ~~e
Cnited States and in other co~~tries who are able to consult with developen~
a~nistrators on the design of rural development projects and on their
evaluation We ~~ll draw first of ai~ on individuals w~o have been
directly associated with our ~ork in the past or on ~he proposed project
and ex~~~d the list to include graduate students and gove~ent officials
with who~ these individuals have wor~d
tole Yill utilize tha existing publication program of the Center
dercribed above to disse~inate our findings The Center has specialized
oailing lists of interested individuals and institutions in all parts of -i
the world and its reports can trerefore reach the ~st relevant audience
jirec~ly ~d re~~arly
BESl AVAIL~BLE OOCUMENT
CONTRACfjGRANTCOOPERATIVE AGREEMENT DATA SHEET
INSTRUCTIONS fjDW Complete 4 copies of the form Original SERCMSDSUP Statistical Section Copy Copy 2 SERCMSIiUP dministrative Copy opr 1 Contracting Officers COy COP) 4 SERCMSDSUP IUmin (Suspense) Copy
Missions Complde 2 copies oi the form Origin31 SERCMSDjSUF- Statistic31 Section Copy 3n~ Copy 2 Nill be ret31ned in the Missions
PART fA
ConU3lttorGranrce Name
University p~f~I~o~wa~ __ -r~ ____ ~~~~ __________ -~~ __ ~~~ ______________ ~~~~ Plorr Numt-er ApptopriJtion Number Allotment Number Project Number
930-0090-3Q13411 A5 72-111l0216 146-30-099-00-20-11 930-0090 Project Title
So~ia1 and Potitica1 Aspects of Development - Conference to Report Research Findings Amount of this Plorr I Projecl M3nagers Name and Offire Sytlbol
$10397 (increase) PDPRCP Jonatlan Silverstone Contr3ctors D-U-N-S Number
Ncgwatocs TYJlCd~3meJ j) Signature I l ~ jIf- bull G HtJ--ft u l IVmiddot
D~e
L - f - J ContractGrant Officqs typed Nailllt Signalure LJ d I -r-
plusmn t 3i-alflpta (( BLvle~ 1 I~ PARTm
ContractGranl Number
AID CSD-3294
Effeclive Date of Docum~nl Signalltre D3t~ of Documenl
Lf---C yen-~-gl tIost Courtry Institution (U iwrsity contract ONL Y)
Campus Coordinator (Uniwr ty i contract OiiL YJ
PART UL Descriplion of Cor-tractGrant P1use X ONL Y ONE item under each headiZg IF THEltrease CifYmC~e bolh ges I 30~~ O~ Nol to be completed for Amendmenl or Modlfic3lion AJigtns I III
J 710gt I I V ~ I
MOl - TYPE ACT A~ 0 G unsolicited Propsll (AIDIR 0 C Individual (Non-pe~nal senice)
~ O Cortra lGrantl ooperative Agreemenl 73101-SO(b)(6raquo 0 D Individual (ftrsonal Service)
tJl T3sk Order ( A)middot 0 H Procurement 10 be Perfocm~d by the Conmiddot 0 E UniversilyOther FAuC3lionailnSlitulions
D 2 Work Order (IQC) Ira~lor in Person (AIDPR 0 F Non-Profil Organizationlnslitutions (other
D 3 Delivety Order (Requirements) 73101middotSO(b)( Iraquo than Ed or PVO)
[j 4 Purchase Ordcr [J I Sole Source (AIOPR 7-3101-SO(b)(4)) 0 G Private Volunury Organization (PVO)
If I 2 or 3 1Lle an ~ compllle M 12 ON Y D J Imp3irmenl of Foreign Policy Objectiws 0 H International Agricultural Research Organj-
M04 - CONTRACTGRANT TYPE
o O MOA (BOA BMA etc)
o I Fixed Price (Specify fFP FPRD FPEPA FPI) _____ _
(gtIDPR 7-31 OJ SO(b)(7raquo
OK B(a)5eJection (FPR 1middot1713-1)
o L Grant iH1ndlOok 13)
o M Do Nol Ue
D 2 Cosl Reimburemenl (S~cil) CR CPFF 0 N Cooperative t~reement (Handbook 13)
CS CPAF CPIF) ~ 0 O Small Business SeImiddotAside (FPR 1middot1706-8)
o l Cooperative Agreemenl ~ 0 1 Overseas Procuring AClivilies (AIDPR
04 Grant Gener31 Supportmiddot 0U ~ 7lIOI-SC(b)(2))
o S Granl - Specific Support ~ ~06 E SER VICE
g ~ ~~t ~~(d) ~~ ~~ ~ eci~a~~~~~ogram Projeci
o amp IQCs ~ ~ relampted excepi A amp E Services)
o 9 Host Counlry ContraclGrnnt 5lJ C amp E Services
middotComplele ONLY through ~Sl ~~ 0 D Construction
M05 SELECTION PROCEDURES 0 E- Reseuch
o A Formally 3dverliscd (IFB) (A1DPR 7middot24 amp
FPR 1middot24) ~ o B Negoli3ted Price Compelilicn Gencr31
Procedure (RFP) (-JDPR 7456)
Dc A amp E (AIDPR 7410)
0 D Ed Inst andor Inl1 R~arch (-JDPR
74 5)
o E Collaboratoe Assisunce (IDPR 7458)
C F Predominant Capability (IOPR
73IOI-50(b)(l)
AID 1420-49 (179) - Page I
D F Technical Services to AID (other than trainmiddot
ing usually o~ating expense)
D G jraining SetVice for AID
o H Equipment Materi3J~ Supplies Commodities
D I Translation Service
~07middot TYPE CONTRACTORGRA-nEE
o A Firmmiddot AU profil-rn3king fUms (other than
Aamp E)
J e A amp E 8r~
zalion
o Public Inlmlational Organizations (UN
Agencies ICRC Wocld Bank elc)
(H8 J 3 Chapt~ S)
M08- TYPE AW~RD
o A S8 Sel-Aside - Awarded to Non-Minority
o B S8 Set-Asidemiddot Awarded to MinXity
o C_ S8 NOI Set-Aside - Awarded to Non-Minority
o D S8 NOI SeImiddotAsidemiddot Awarded 10 Minority
o Eo amp(a) S8A Awarded to Non-Minority (Womerl-
Owned Veterans etc)
o F 8(a) S8A Awarded 10 MinorilY
o G Personal Sen-ice ConlrdCt bull Non-Minority
o H IeJSDnal Service Conlract - MinorIty
o I Individual NonmiddotPersonal Service Contraci -
NonmiddotMinority
o J 100Jigtiduai NonmiddotPersonal Service Contracl -
Minorily
o K NOI Small Business (Univ NonmiddotProfit Large
Firms) Non-Minorily
o L- NOI Small 8usineSl (Univ Non-Profit Large
Firms) Minorily
o M US Govcrnmlnt
(Connnued on Page 2)
BEST AVLABIE DOCUMENT 1 I
--
ua ) R I GI NAL 9 bull
MODIFICATION or GRANT PAGE 1 of 2
AH 1 2 Effective Date 3 Grant No 4 Effective Date
Amend_at Ro 5 April 15 1981 AIDCSD- 3294 8-11-71
-s CRANTEE (Name and Addrea) 6 Administered by -Professor Gerhard Loewenberg -Office of Contract Management Cbrnparative Legislative Research Gente Central Operations Division Dept of Political Science am Branch University of Iowa Agency for International Developn~nt Iowa City Iowa 52240 Washington D C 20523
7 PIO No 930-0090- 3013411 A5 8 Previous PlOTa -
Appropriation No 72-11110216 93i-1l-995-l36 930-11-995-136-73-3078103
Allotment Symbol - 146-30-099-00-20-11 wunt Obliga ted by this ~ndrnent - $10397
The above numbered Grant is hereby modified as follows
1 Anotmt obligated prior to this rurendment 2 Amount obligated by this amendment 3 Total obligated anount (1 amp 2)
Delete the amJmt $465000 and substitute in lieu thereof the ammnt I$47S 39-7 ~
FUNDS AVAIrABm
~~ - APR 13 1981
PrO~A~~5iors
$465000 $ 10397 $475397
OffiCE Of fIN~(1 ~~rE~E~T __ _ 10 This amendment 11 entered into puruant to the authority of the Forelgn
Assistance Act of lS~l as amended Except aft hereln provided all terms and ~~ndi~ons nf the grant rcferpnccd in Block 13 remain unchsnged and in full force and ~ffcct
11 original and six Crantee 18 requlred to aign thh document aad return 1- eopics to issuing
ffiee
~~~ or printed) BUSINESS MAHAGR amp bull
Tille TREASURER
UNITpound) STATES OF AHERICA AGENCY FOR INTERNATIONAL DEVELO~NT
BY_-1(1o-_1lt--= 13middot~_1_~ __ K R B1uteau
(Name typed or printed)
Tltle~ ____ G_r_a_n_t __ O_f_f1_c_e_r ____________ __
D3tC APR 2 J 7997 Dolt 9 APq 1981
BEST AVAILABLE DOCUM NT ___ 0 HLGlNAL - I 1 J 1 ~ )
- 2 -
AID ftmds in the am)tmt of $10397 are hereby provided for the activities lmich are described in your proposal (including Budget Stnmnary) entitled CDnference to Report Research Findings on the Study of Political CDnditions for Effective Small-Scale Rural Assistance Projects in Kenya Korea and Turkey dated February 17 1981 and made a part of the Grant b reference
BtTDGET StMMARY
Line Item
Travel
Per Diem
Other Direct Costs
Less existing 211 (d) grant funds
Total Amount Obligated by this Amendment
Estimated Costs
$ 5888
5100
_ 2500 $13488
_ 3091
$lO39
Note Indirect costs or $395086 associated with these activities will be contributed by the University of Iowa
BEST AVAILABLE DOCUMENT
~RIGINAL
- CONTRACT IGRANTCOOPERA rIVE AGRElEMI~ SERC~SDSlP Actio) Monitor
SERCMSDSUP Action Office
I
INSTRUCTIONS AJDW - Complete 4 copit of tlh fonnmiddot Orisina iCMSDfSUP Sutistical Section COP)middot Copy 2 SERCMSDjSVP Administrative CoP Copy 3 Cont-acting Officers COP) Copy 4middot SOSUP Admin (Susptnse) Copy Missionsmiddot Complete 2 copies of the form or~aI SERCtSDSUP Statistical Section Copy and Copy = wiU~ retained in the Missions
0 PART IA
Effective Date of Document tJ
Delivery Order (Requirements)middot
o 4 Purcluse Order
bull If I 2 or 3 have an bull X compl~te M I 2 ON L Y
M04 - CONTRACTGRANT TYPE
o O MOA (BOA BMA etc)
o 1 Fixed Price (Specify FFP FPRD FPEP FPI) ___ _
o 2 COli Reimbursement (S~cifY CR CPFF CS CPAF CPIF) ______ _
o 3 Cooperative Agreement
o 4 Grantmiddot General Support
o S Grantmiddot Specifi Support
o 6 GraDt 21 led)middot
o 7 Do Not Use
o amp IQCs
o 9 Host Country ContractGrant
middotComplete ONLY through M 5 1
MOS SELECTION PROCEDURES
o A Formally advertised (IFB)(AJDPR 7middot24 amp
FPR 124)
o B Negotiated Prire Competition General
Procedure (RFP) (AIDPR 7456)
o Co A amp E (AlDPR 4 I 0)
o D Ed Ins andor Intl ReStalch (UDPR
7457)
o E Collaborative ASSistance (AIDPR 7458)
o F Predominant Capability (AIDPR
7-310l-50o)(3)
AID 142049 (1-79)middot Page J
o H Procurement Co be Performed b~ the Conshy
tra~tor in Person (AlDPR
7middot3t OI-SO(b)(Iraquo
o I Sole 5gturce (AIDPR 7middot3101middotSO(b)(4raquo
o J Impairment of Foreign Policy Objecdv~
(AIDPR 7middot310 ImiddotSO(b)(7raquo
o K 8(a) Selection (FPR 1middot1713-t)
o L Grant (Handbook J 3)
o M Do Not Vse
o N Cooperative Agreement (Handbook 13)
o O Small Business SetmiddotAside (FPR 11706-8)
o P Overseas Procuring Activities (AIDPR
7middot3101middotSO(b)(2raquo
M06middot TYPE SER VICE
o A TtJining of Participants
o B Technical Assistmce (Program Project
related exc~pt A amp E Services)
J C A amp E Services
0 D COltl~ruction
0 E Research
0 F Technical Services to AID (other than trainmiddot
ing usuaU Y operating ex pense)
0 G Training Service few AID
0 H Equipment Mat~rials Supplie~ Commodities
0 I Translation Service
07middot TYPE CONTRACTORGR TEE
Firmmiddot All profitmiddotmaking fu-r1s (other than
AampE)
o 9 amp E Firms
I Prcct NumbcT
I
Contactors D-U-N-S Numbcr
I) -S--f(j
o C Individual 0-lon-~rsora1 service)
o D Individual (Pet-sonal Service)
o E University lOt her EduCltionaJ Institutions
o F Non-Profit Organization Institutions (other
than Ed or PVO)
o G Private Voiuntary Organization (PVO)
o H International AgricultwaJ Research Organmiddot zation
o I Public International Organizadon~ (UN
Agencies ICRC ewld B3J1k etc)
(HB J 3 Chapter 5)
M08middot TYPE AWARD
o A SB SeImiddotAsidemiddot Awarded to Non-Minority
o B SB SetmiddotAside bull Awarded to Minority
o C SB Not SetmiddotAside - Awarded to Non-Minoril)i
o D SB Not SetmiddotAside - Awarded to Minority
o E ~a) SBA Awarded to Non-Minewity (Womeli
Owned Veterans etc)
o F 8(a) SBA w-rded 1o Minority
o G Personal Service Contractmiddot Non-Minority
o ~ Personal Service Contnct - Minority
o I Individual Non-Personal Sence Contractmiddot
NonmiddotMinority
o J Individual Non-Personal Service Contractmiddot
Minority
o K Not Small Business (Univ Non-Profit L1lge
Firms) --vn-Minority
o L Not Small BUSiness (Univ NonmiddotProfit Large
Firms) ~inoriy
o M VS Government
(Continued on Pcge 2i
t bull - t ~ J f q
ORIGINAL bull MODIFICATION OF GRANT
1 2 Effective Date
Araendllent Ro 4 12-2-80
s CRANTEE CHace and Addrels) Professor Ger1ard Lo~middot enbelg Comparative Legislative Research Deartment of Political Science The Lnivp-rsity of Iowa Iowa City Io~a 52240
7 PIO No NI A
Appropriation No 72-11XHl26
Center
Allotment Symbol -426-30-099-00-3~-71 Amount obligated by this urendment-O- I
3 Gnnt No
AIDcsd-3294
PAGE _____ 1 _of-L
AlI 4 Effective Date
8-11-71
~ Admlnlltered by -Office of Contract Management Central Operations Division OTR Branch Agency for International Development Washington DC 20523
8 Previous PIOITs -
931-11-995-136 930-11-995-136-73-3078103
9 The above numbered Grant is hereby modified as follows
Supplement to Grant
Change the duration period sentence to read
The Duration Period for this Grant shall be August 11 1971 through December 31 198]
1 Amount obligated prior to this amendment $465000 2 A~unt obligated by this amendment -0-3 Total obligated amount (1amp2) $465000
----------------_- - ------- ----_- ------ 10 Thh lImcndmcnt is entered inlo punuant to the authority of the Foreign
~ Assistance Act of 1961 86 amended Except a~ h~reln Z II provided all terms and condi tions nf the grant referenced in Block 3 remain ~~aunchlinged and In fu1l force and effNt cnltUI cJ)za 11 o 4 J bull
Et~ ai~a gtUoItshyc Z P=u
original and six Grantee t requi red to sign this document and return 1- eopies to 1Bufng
office
~ 12 GRANTEE TES OF AMERI CA
(Name typed or printed) bull
TJlle Director Comparative Legislative liecearell CeQtoQl
Date 12880
------------------------------------
ONAL DEVELOPMENT
By ----~--~~~~---------------------
prinled)
Grant Officer Title --------------------------------
J)oll( 12-2-80 -----------------------------
BEST AVAILBLE DOCUMENT i je
- 13 -
Six ITe-bers of t1e faculty of the Departent of Political Science
at the Unhe ity of Im-ia are presently engaged in legislative research
To merbers ot the Departllent of History are engaged in research on the
British Parlia~ent L~ the eighteenth ~~d nineteenth centuries Fer the
past six years an adv~~ced se~inar has been offered by ~embers of the
Department of Political Science and the Department of Histo~J on
comparative legislative behavior This exte1sive collaboration iiill
ma~e it possible to develop a fully inter-disciplinary program for the
students ~~d visiting faculty In addition faculty ~emcers in
Scciology interested in organizatien theory and in the College of Law
interested in legislctive processes provide furtber e-pertise ava_ilable
to students interested in tee study of legislative behavior The
presence of these specialists on th~ facult~r is reflected in the
excensive librarJ al1d otler data resources existing at Iowa in this
field
The Uniersity of Ima offers an unusually extensive program of
trainL~g in research methods Four ~e~bers of t~e Department of Politi~al
~cie1ce teach in the field of research nethods Courses jn statistics
ca1 be taken ill the Dep~rtents 01 Sociology e-d Educational Psycholcgy
Llis prcgr6l provides a verJ solid grounding il research training and
data analysis
bEST AVAILABLE DOCUMENT
e ~
- 14 -
Y labCrato~y for olitical Pesearch is the reseacc1 md research
tlairirg facility of the Departe1t of Political Sci-lce Gcadvate
students receivo extensive res~arch experience through 1or~ing in the
La oratory bull The Lacoratoy is also a1 integral part of the trainirg
o~feed in ccurs~ T~middotO~ for graduate students
The full-time sta~f of the laboratory includes a director an
assistant director a t-=cl1ical cirector a supervisor of study
t1hteen graduat~ students - rf1rk in te Laboratoy receivLLg teining i~1
~a~a collecticn ~~i data e~alysis Tbe facili te5 of the La)oratorltJ
icluoe a oard eJcerline printer ccnnected to the U1iversitys
dis~ and tape storF-ze for d~ta
The pogral of trailing ia coparative legislative reseC_cch ~ill
relr heavily en t LaOerltcLJ- for taching graduate stucents Visi tine
fc111tr lYe~bes iill be able to utilize tbe facilities cf the Laboratory
gt IOra ~as sFcial ccrpetence in prOCed~les for
ccq ter ogagtlizetion of d~ta Ja1ks ~d fOi the p~ocGssing of large data
sets as well as iJ the sttdy of naticnsl end st~te legisltllres Tile
BEST AVAILABLE DOCUMENT
- 15 -
Ile Univelsity of 10Ira will eadnister- the Grant thJotg~ its normal
a)1 iristrative char-l1els ad i1 Eccordance imiddotlith its ncrTal olicies and
operatirg procedures 7he Director of the gr~l1t-s~~ported program
Hill be a senior faculty eriOer of the Gniyecsity of IO~-ia -with extensive
expe~ie~ce in the subject field Associate Directors w~tb similar
qtalifications -aill also be appointed 7he Director- and Associate
Directors ~dll serve as eibers of t~e Inter-University Advisory CC1gtr)ttee
established to cooidinate _u bullbull ID gra1t-stpported programs at IOia Dul(e
lniversity a1d the University of Ha- aii Ll1 this field These relatiol-
ships are i~dicated in tee follc~dng a~inistrative organization chart
IX Ul~vsity Ccntri1uticn
T1~ ~h-ersity of IQ(a aSSures ALD that this Grant middotiill not
replace existing ftnds for STr current activity and imiddotrill be additive
to existing prograrrs of tCe lJniversity In direct sp~ort of this
Grat ttc University ~ill provide a) Acmi1istratile costs including
tie of senior officers of ttlt University b) Office ~ld research space
ald library and cor-puttr facilities c) Provision of a1cillamiddotCjr 1niversity
personnel -or consultation o~ ~middotjQrk nth the progral
X Reports end 5evie~-Ts
There i-ill be sub~itt-=i al arnual t2ctnical report for the purpose
of AID s revie- of activities under te Gant Tnis idLl include
a11 e-llation of prcsr~ss aidnistratve ar_c fiar~cial corsicer~tior~s
p~s cr tr foJlJ-middotire ear ~i disctlssics of the ossible l~lizaticn
BEST AVAJLIl8E OOCI1MrNT
~
- 16 -
A~~inistrative O~ganization
Ice Board of Regents of tle State of Im-la
-Iesicent of the University I
1 rOfcst Jf t-3 University
Den College of Liberal Arts
r Chailan DcptiEt of olitical ScieJce
Inter-G~iversity
Acisorr Corcittee
PcgrG21 Director Associate Progra~ Directors
Liaison Arcrge~~nts d ~h I I~~erested Plcfessiona1 I Perso~el j
I _
I 5cu1ti (full or PmiddotLG-tire l Asscci~tes a1d otllei non-Io~il
3ecip5ents of Gr3-1t stPPC1t Gr~cue~~e S t1~lcnts St2~retQi~S1 Data Lbed~1 31
Ln 18 r1icia 1
LO1t c~lce Factcj~1 ts
BEST AVAILABLE DOCUMENT ( ( V-t
- 17 -
of te eo17i~g cCpterce br A I D rLld ethers In addi tion there
aS3essr~ents of the gr31t
middot l ~ lI ~ _ _ _ co~~~r~~ing ~~iversiti~s md tne rrctitoring ALD office
7re l~yersity of Ie~middot~ budget of $26500 is to be deveted to the
cemiddotelgt~e~ of lstituticnal cefete1Ce in comparotive legisl~tiye studies
~t Iomiddota c t~ the exalsi0 ot a date b~L-lt ~ hich 1fill be utilized as
a ecle for icrec3ing te scope of tbe sub-specialty
T - 1 f 1 __ middotja r S Ctdget a9roxir~tly 33- has bee allocated to a
cemiddote Lp~l t rirc ipally C actlty re leased tirre for data ccllection
ai 0 3alres f~r i~~er-ieers in field research 3d secretarial
assi5ta1ce nCt2 11- of t~e Icmiddotre oudge~ is iesignated for an
ArCE_1 A~ite s(101a~middot 2d one 0 ore scnolals froQ LDe or
s1lllrt of greluate stucents in the
BEST AVAfLIlBLE DOCUMENT
- 18 -
Finally approximately 19 of the budget will be devoted to the
proposed data bruL~ that will archive not only data generated from the
research of scholars at Iowa Duke and Hawaii but also at other US
and foreign institutions Primary and 3econdary an~ses of these
data will become an integral part of ~omparative legislative studies
curricula The ability to utilize the data bank for teaching purposes
also should have a significant impact on professional preparation ofmiddot
future legislative specialists In summary the funds will be
allocated to research teaching and training activities tha~ are
entirely conson~~t with the philosophy underlying the utilization of
2ll(d) grants to achieve institutional development
Conclusion
The University of Iowa regards the research and teacbing components
of this program to be closely related an1 zrutually reinforcing The
University of Iowa offers a strong base for the pro~ram because of the
interests of faculty members here now because of their contacts with
scholars in this field in other Americ~~ and foreign universities
because of their experience with the international exchange of faculty
and because of the distinctive data gathering and processing facilities
available in our Laborator~- for Political Research The program which
we have formulated is designed not only to accomplish specific
research and teaching objectives but to contribute to the long-term
development of the University of Iowa in an area in which it has already
exhibited special interest
BEST AVAILABLE DOCUMENT
~ I) - 0
- 19 -
The program on Comparative Legislative Studies with support from
this Grant rill develop the capacity at the University of Iowa to
provide assistance under separate financing arrangements to developing
countries in a number of ways and through a varieiy of channels This
assistance which would be arranged for end negotiated separate~ from
this Grant may be in the form of technical assistance advisory service
training research and information exchange etc It will be available
by mutual agreement to appropriate agencies national and international
public private a~d mixed and directly to the less developed countries
Most especially this added special competence will inevitably become
incorporated through the processes of scholarship and education into
the competence of US and foreign scholars and institutions concerned
with this topic of great significance to the developing and the more
highly developed countries alike
BUDGET SUMMARY
UNIVERSITY OF IOWA
Salaries
Graduate Student Stipends
Fringe Benefits
Travel
Equipment and Services
Other
TOTAL
$173090
32400
19209
13800
6501
20000
$265000
BEST AVAILABLE DOCUMENT
d bull
srjmiddot (~~ jjXilO
IO
rmiddotmiddot ~middotmiddotrl f)~~ 7 middot 1 ~A~~ middot1 rmiddot middot~ rt bull middot bull bullbull I ~ i bull bull ~ middotv- middot bullbull ~ I
1 so bullbullbull l ~--~-- - - ---- ~ V~ i Jlgt ) bullbullbull ~(lr v ~I ( tr_ 1middot-middot 1 bullbull 1
il l~ J
2 c~loto
BEST AVAILABLE DOCUMENT
(C
Dr Willa~d l Boyd Presicient University of Ima iowa City Iowa 52242
Dear Dr Boyd
4 AUG 1977
amp
FIJNDS AVAnASLe CpoundNrftAamp sEIMCEs DMsON
AUG11 ~n te t6417 ~77
Subject bull Supplsectferit-tJF-G~middotNomiddot~middot AIOcsd-3294
t middot-rrPJ1 3
I am pleased to inform you that pursuant to th~ auth~rity contained in
S-cction 211 (d) ooC the Foreign Assistance Act of 1961 as amended a sup
plemental grant in the amount of $200000 is h~reby r~de to University
of rCi1a These supplement]l grant funds areprolided to support the
activities which are described in your Proposal dated May 6 1977 for
the implementation of your program entitled Political Conditions for i
Effective Small-Scale Rural Assistant Projects
---This sup~lemental grant is mace to University of Iowa en condition that
yo~r institution shall administer the funas provided under this Grant fn
accordance lith your r~ay 6 197 proposal (including Budget SUmlilary) and
the Standard Provisions (as incorporated by Amendment No 1) which have
been agreed to by your instit1ltion Ti) the extent of an inconsistency
between the Proposal and the Standard Provisions and any otherprovisfons
which ar~ made a part of thi5 Giant by reference or other~iSe the Sta~d~
ard Provisions shall control
The new Duration Period for this Grant shall beAugust 11 1971 through
August 10 1979
The total amount of funds obligated under the grant is increased to reflect
a new total oblgated amount of $465000
Please sign the Statement of Assurance or Compliance ana the origfnal -
and seven (7) copies of this letter to acknowledge your understanding of
the conditions under which these funds have been granted Please return
the Statement of Assurance of Compliance and the original and six (6)
copies of this supplemental Grant to the Office of Contract Management
Attachment May 6 1977 Proposal and Budget SUfiT1a ry
UNIVERSITY OF IOWA
Roberw bull OBrien fficer
Ce al Operations Division Office of Contract Management
AC~E~E~C--_ 0 BYpoundk~~ cH
D C ~lpoundSTtR5BA T ITL E ( PfeampoidPilt for
tee ment amp Research DATE 9-22 -77 (d~ ~~Bduate Ctl~1e~e
BES i AvAILdLt UOCLJMU~ I
211(d) Grant Program
Proposal of the University of Iowa
POLITICAL CONDITIO~S FOR EFFECTIVE SMALL-SCALE
RURAL ASSISTA~CE PROJECTS
Submitt~Ci to
Civic Participation Division AID
May 6 1977
Amount requeste~ $ 199987
BEST AVAILABLE DOCUMENT
I TdE DEVEIOP~T PROBr~
P~litical Conditions for Rural Development
The Cocparative Legislative R~search Center of the University of
Iowa proposes to ~~dartake a two-year study to investigate the role of local
leaders and the rural public in theimplecentation of small-scale develop~ent
1 projects in less developed countries The study will use and extend the
capacity ~hich the University of Iowa developed under a 211(d) grant to
investigate and assess the impact of loeal politics on rural development
~t the co~pletion of the s~ Iowa will be in aposition to advise the
Agency on the design ~nd evaluation of s~ll-scale projects which will be
politically viabe a~d effective in ass~sting the rural poor ~
As students of development w~ approach our task with the assumption
that the proble~ of development and underdevelopment are funda~entally
ones of political econooy and a~ such can only be solved through a
simultaneous considerationof economic and political factors Efforts
which foc~s aloost solely on economic factors like those of ma~y
organizations engzed in dipersing foreign aid or efforts which focus
almost exclasively on political factors fail to take account of the
interdependence between these two dimensions of underdevelopment and
lwe have for~ulated this proposal in a canner consistent witr the cu~rent policies ard interests of the Agency We have been guided in our tsk by four Age~cy doc~e~ts Impleo~~tation of New Directions in Developnent Assista~c~~~ ~eport to the COmlittee on International Relations on Ilupleoenshytatiun of Legislative Refo~ in the Foreign Assistance Act of 1973 (July 1975) rItevis~d Projec Developiel Review and Approval Systeo (A I DL Circular A-21 Aril 23 1975) SH Butterfield Draft SUIilZ3ry StateUlent of a Practical Agelcy Approach c aural Devalopilelt (AATA February 28 1975) Cicci A Coce~ual Oie=viamiddot middot Rural Development No1 (lWorilting GOU O~ tha Rural Poor February 1975)
- l -
can meec with only l~ted success
Our concern with the i=pact of local politics on the process of
rural developcent is a result of our interest in the basic question of
how LDC governm~nts and the donor agencies which assist them can
become core effective in raising the standard of living of the rural
poor We seek answers to the following aspects of that basic question
1) What political conditions must exist both within rural communities
and between theo and central gove~ents to raise agricultural production
w~ere small-scale agriculture is the do~nant pattern 2) Vnat are the
political conditions for a core rapid expansion of the informal manufacturing
and service sector cocprised of labor intensive small-scale industries
located in the rural ar s 3) What political structures and activities
are mase crucial for the provision of welfare and econocic supporc services--
such as agricultural exeension mar~eting and transportation--to the rural
areas1 4) ~~at Folitical conditions oust exist to insure that economic
growth in the rural areas is not accowpanied by excessive and intolerable
inequalities between socio-economic classes andor between regions1
Center-Periphery Linkage in LDCs
To deter~ne the political conditions for rural development we have
in previo~s s~udies exacined the institutions and processes through which
rural populaticns are integrated i1to the national politi-cal systetlS of
middot~he countries in which they live A gap exis~s in most less developed
countries bet~een the peasantry residing on the periphery and the c~~tral
political ~stiutions staffe1 by ~~estern-educated bureaucratic elite
We are aware of the other major ~sti~utional discontinuities which comprise
J
4 middot~~1 the basic cleavage between the developed and underdewmiddoteloped sectors of
these dual societies Bridging these gaps is essential if these so~ieties ~ are to develop into viable nation states For until those Q~ the periphery
of the poli~ical syste~ participate in that system and support and comply
with the authority of central political institutions neither economic
development in ~he rural areas nor a stable polity will emerge
Bridging the discontinuities in these new political systems requires
establishing and institutionalizin3middot1inkages or networks for co~unication
and exchange of resources between decision-makers at the center and the
rural public on the periphery Three types of institutional linkages are
most prominent in less developed countries 1) those conSisting of the
state administration composed of the bureaucratice1ite 2) those consisting
of a revolutioncry political party cocposed of the ideological elite
3) and those conSisting of patron-client hierarchies composed of the political
entrepreneurial elite
Of these three linkages consisting of the state administration are
the cst extensive and pervasive in virtua~ly every LOC Such linkages
however exist primarily a~ instruwents of the center to penetrate the
periphery Central government officials are formally charged with bringing
develo~ent to the people This is a ~issi~n which conceives development
as a process ~hrough which a traditional peasantry is transformed and
assimilated iJro the DOdern center which is steadily expanding to embrace
it Agents of the center invariably have more resources to achieve their
objectives than do local political leaders but because they are frequently
strangers~ the communities in which they function they are often unable
- It -
co implement the policies of the center without working through the
local establis~ent
Though somctices significant linkages consist~g of revolutionary
party organizati~ns such as those found in China and Vietnam do not exist -
in most IDCs beca1Se of the special historical and e~omic conditions
required for their development As wi~h the administrative state however
the linkaampe apparatus of such political patties is prUlarily an instrument
of the center whose mission is to penetrate and mobilize those onthe
periphery
In contrast patron-client hierarchies are linkages which represent
the periphery at the center and mediate betwee~ these two disparate
sectors of the political systec Thcugh norcallymiddotovershadowed in scale
by the state administration patron-client hierarchies are found in almost
~very LDC a~d constitute the ~st significant network through which rural i
populations and their leaders influence the decision-~king process at
the center Patron-client hierarchies exist in a wide variety of org~iza-
tional fores ranging from info~ ~ec~~rks of individual olitical leaders
in uno-partyll systelS in S~b-SaharaI4 Africa to extensive political machines
in both one-p~rty (Africa Mexico) and ~u1ti-party systems (Turkey India)
Despite their importance as the pricary means through which peasants in
LDCs particiate in their political systems patron-client hi~rarchies
have only recently become an object of analysis by students of political
developent and do not appear in even the most sophisticated studies of
2 See Jo~ Dunca owell Peasant Socie~y and Clientelist Politics Aerican Politi~ Scielce Revietol 64 (June 1970) pp 411-25 Rene Lemarchand anc_ Keith Legg olitical ClienteliSJ and Ethnicity in Tropical Africa Aierican Political Sc~ecce ReView 66 (Y~rch 1972) pp 68-90 James C Scott PatronshyClient Politics a~d Political Change II 1tlerican Political Science Revie~ 66 (~arch 1972) p 91-113 and Friends Followers and Factiols bull edited by Steffan Sc~~d and James C Scott (Berkeley UniverSity of California Press 1977) bull
- 5 -
3 economic development Ad~niscrators of developmental assistance progracs
have too often regarded patron-clienc hierarchies as ~ped~ents to
develop~ent instead of recognizing cheir potential utility bull
~ Findings on Patron-Client Hierar~hies --
The importance of pat~on-clienc hierarchies for linking the periphery
to the center is one of the major findings ~erging from a study of the
relationships betueen l~gislators an~ their constituents in Kenya Korea
and Turkey ~hich the Cowparative Legislative Research Centpr is nov
comleting uader its 21l(d) grant from AID This study has av~mined the
creation of linkages between the periphery and the center through ~ore
than lO~OOO interviews with members of parl~ent local leaders and
peasants in t~e three countries The findings are being systewatically
set out in a book-length monograph Nearly a dozen research reports have -
uready appeared (see Appendix C) ipropositions about the nature of
political behavior of rural populations an~ the roles of local political
elites de=ived from the research~ can be s~rized as follows
1 Elected representa~ives play a significant role in the creation and mainte~ance of linkages be~een the center and periphery by developing local political achines in which they function as patrons of their constituents In turn thay s~rve as clients of political leaders of national stature who control central government institutions
2 By atte~pting to establish linkages based on patron-client relatio~shi~s elect~d representatives are responding to public expectations chat their prizary duy is to obtain resources from the center to proffiote local develop~ent ~iany elected repLesentatives spend most of their time on self-help co==unity development projects such 3S the building of schools health clinics irrigation works arid roads because such projects provide
3For exa~le ~ a widely respec~ed a~d useful analysis of rural deve16p~ent in Sub-Sahara~ Africa L~ Lele of the World Bank notes the problems of creating an adoini5~raive infrastructure in the rural areas that is sensitive to local socio-oliical conditions She does not however consider how local leaders operating o~tside of adcinistrative structures ~ night contribute to the developne~t 0 the rural areas See ~~ Lele ~ Design ~ Rural Develop~ent Lessons ~ Africa (Balt~re The Johns HopkiD~ Uciversity Press 1975) r) pp 127-61 i ~
- 6 -
their const~tuents with desired se~ices ~~d a= the sa~e time provide the reresentatives with an orgacization Yhicn can be used as a political base
3 l-tore than 90 perCel1t of the rural population is capable of articulating the p~oblems facing their local co~~ity and two-thirds discuss th~e proble~ w~th their fellow citizens on a regular basis
4 Three-q~rters of the residents of the rural areas can identify the public ofpoundici~s who serve thec--both civil servants and elected represcrtatives--by na~e Most are knowledgeable about the activities of these officials Alcost one-fifth coreover have discussed co~~~ity probl~ ~ith these officials particularly those working at the grassshyroots level Residents of rural villages actually have a higher level of political knowledge than their counterparts in the towns
5 Elections in the rural areas evoke a highly rational attern of voti~g despite the effects of ascriptive or traditional co~siderations Inc~ens are pri~rily evaluated in terms of their record in fulfilling the public r S elpectations of what they should do Elections are essentially referenda on inc~entsr perfo~ce especially their perforwance in the area of constituency servi~es such as bringing development projects to the districts bull
6 Local developcent projects have a relatively high s~olic value generating conscitutency support for local leaders and the central government at low cost
7 These projects help huild a local political infra-structure which can also be utilizec by central govern~nt civil servants to implement other policies designed to achieve rural develop~ent bull
The Icpac~ of Local Politics on Rural Projects
Having explored the developtent of linkages through which the periphery
is represented at che ~enter and through which the periphe~ attemp~s to
share in the ceners resources we now propose to build upon our initial
investigations by e~ing in greater detail the impact of local political
conditions on specific problecs of rural develop~ent We propose to
exacine the develop~ental activities of local leaders ~nd the rural public
by eX2~Ding a saple ot fifteen to twenty smalL~scale developwent projects
in each of ~he three countries which constituted the sites for our initial
8ESI AVAILABLE DOCUMENT 1 ~ - of
- 7 -
study of center-perhiphary relations The appropriateaess of this approach
and the ~ethodology through which it will be ip~emented is discussed in
section II Because the ~ethodology of investigation is in large part
the result of our previous research experience we fizst turn to a revieW
of the existinQ __ ~petence of the Comparative Legislative Research Center
in this area
II GRAXTEES EXISTIXG CmET~CE
In 1971 the University of Iowa received a 211(d) grant to develop
its capacity to do research on the role of elected represent~tives in
the process of modernization On the b~sis of this grant the University
established a research center which planned and carried out a research
project on the role of elected reres~~tatives as links between the central
gove~ent and rural populations in K~ya Korea and Turkey The project -i
served to develop t~e University of Iowas research capability in this
field esa~lished ties between the University and scholars in the bost
countries and generated a large and uniqu~ body of relevant data
In that project we fo~ussed our attention on tbe activities of elected
representatives in their constituencies notably in their contacts with
local political leaders voters and civil servants To determine tbe
nature of the linkage function performed by tbe representatives we
designed our research to explore the subject from three perspectives
1) we eXaojned ~~a ~ubject at tbe grass roots by conducting a series of
sample surveys of 200 to 300 adults in each of 12 to 14 parliamentary
constituencies in each cf th~6three countries 2) we examined the subject
at the center by intervie -ing MIls from the constituencies in which we
had conducted S3mple surveys ~nd higher civil servants with whom they
had contact and 3) ~e ex~~ined the subject from an inter-~diate level
by identifying aud ~terviewing local social and political leaders in
the MPs constituencies We used survey research methods because we
were embarking on the study of an entir~ly new subject for which little
relevant docu=e~tary data existed and on which there were few secondary
sources As a result ~e have unparalleled experience with survey
research in the rural areas of less develo~ed countries
The surveys which constituted the cajor part of our field work were
planned in collaboration ~~th scholars from the host countries They were
carried out in each constituency by student interviewers in the appropriate
language ~re than 10000 respo~dents were inteDViewed for the project
Given the visibility and sensitivity of this undertaking approval for
the research was sought and obtained from the host governments prior to -i
the collec~ion of data ~o objections were raised by these governments
at any stage of the research The data obtained have been made available
to scholars i~ the host co~cries and some of the basic findings have
been published in periodicdis in these countries
The Comarative Legislative Research Center ~hich ad~nistered the
project has aisO developed extensive experience in the study of political
leadership in other countries It h3s obta~ed substantial support from
the Fo~d Foundacion and the Rockeeller Foundation has worked in
collaboration ~~h European as ~ell as Asian and African scholars and
is engaged in a ajor study of the role of elected and non-elected leaders
in the oanag~~t o~~ocial conflict Because it has conGucted research
in a variey of setlngs the Center has an ~ceptional capacity to
- 9 -
determine how the relationships be~een political institutions and
economic p=oble75 differ in develoPed and less developed countries
In the course of the major research projects the Center has administered
it has gained highly specializpd ~p-i ce iI identifying 1Olitical leaders
in a great variety of settings conducting systematic interviews with
them collaborating with scholars in the host countries and in coding
and utilizing large files of data to answer specific research questions
The Center has ~lso undertaken to publish the results of its research
in three fores It issues codebooks to the data enabling scholrrs at
other locations to use the data expeditiously i~ publishes research reports - in the form of Occasional Papers and it publishes a scholarly periodical
devoted to the presentation of research findi~gs to an inteIT~tional
audience
The Center utilizes the data ~ysis facilities of the Laboratory
for Political Research of the University of Iowa and drawS on the unusual
n~er of secialists in comparamptive politics and survey research in
~~e Lniversitys Departmen of Political S~ience The Center itself I
has the services of an administrative secretary and a clerk-typist
~intains its~o~cn extensive archives and its o~~ publications program
It is e~uipped to assist scholars and government officials outside the
t~iversity of Io~a The participants in its p~ojects are full-tioe
faculty ~e=bers ~hose undergraduate and graduate teaching is closely
related to their research As part of the teaching program the Center
has attracted students from the countries in which the research projects
have been conducted these students have participated in the projects
bull J
have obtained training in other fields of political science have received
University of Iowa degrees~ and have ret~rned to teach and to do research
in their own countries
III PURPOSE OBJECTIVES AID METHODS
Purpose of Study
The purpose of the proposed grant is to extend the capacity of the
University of Iowa to determine the political conditions in the rural
areas of less developed countries which favor the establis~ent and growth
of small-scale developoent projects ~e objective is to put the University
of Iowa in a position to assist the Agency in designing small-scale rural
developent projects providing guidelines for carrying out social soundness
analyses of such projects and adviSing in the evaluation of projects
We will discuss the utilization of~t~e Universitys capacity in detail in
section IV below
We propose to concentrate our investigations on the political conditions
surrounding s~l-scale ru~al projects Such projects have distinctive
advantages They waximize the political participation of the rural populations
both in det~~-ining the direction ~d implementation of develop~ent efforts
and in defending the interests of periphery vis-~-vis the urban-based
bureaucratic elite S~ll-scale projects stimulate entrereneurial activity
on the part of the rural citizens and growth of the info~l canufacturing
and service sector Tbey require less lead tice and less administrative
c~erhead to ~eco~e operational than large-scale capital-intensive projects
centrally administered Such projects yield rapid and direct benefits to
1
j
the rural
- 11 b - ~~1
populations and are consistentwith their hUIlaD rights--both
political and economic However~ small-s~le projects pose s~ecial probl~s for administratcrs of developceocll assistance progracs because
they require the donor co assess the local olitics particularl the
rural politics of t~e host country
Develop~c adoinistrators pr~rily conc~rned with assisting rural
populations must therefore recognize the range of political variables
affectL~g these projects Small-scale projects offer great opportuoities
for develop~ental assistance progr~ because they can be easily targeted
to help rural populacions require low capital costs and need no be
concentrated in one or two localities Such projects ho~ever~ ~equire
the a~istrator to have ~re political kno~lecge than large-scale
projects Oil which his priJlary tas~ is guiding the work of other experts
Questions for ~Investigation
To detercine the politi~al cc~diicilS ~st conducive to ~he establ~~ent
and gro~h of scalI-scale rural projects ~e propose to address our inquiry
to the following specific questions
1 To what extent and why co local political leaders seek to establish s~~l-scale develop~ent projects within their co~unities
2 To what extent and ~~y do local leaders other than politicians initiate andor provide leadership for s=all-scale developm~t projects
3 Bot do the relations bet~Jeel different types of local leaders (political and non-political) and bet~eeo these leaders and central gove~ent civil servants posted to the rural areas affect the conduct of develop=ent projects
4 How do existing authority ~eLationships between these different leadership grous and the rural pub~ic affect the organization and operation of s~l-scale develop~ent projects
- 12 -
~
5 lhlt is the nature 0 pclgtlic participation in the establishlent and operatio~ of s~l-sclle projects and ~hat are the outcc=es or this participatioe Gucer w~at conditions is such participation ~ost likely to occur
We seek a~swe=s to t~cse questio s L order to determine the effect of
different co~iigurations of local leadership and public participation on the
outcomes or small-scale rural projects te are particular1y concerned with
the ~pact of these configurations on the rate of econocic growth and the
distribution o~ rIGSlth ithin the loal cOlllUlity ~ on the perce~tions of
s~ll-scale proj~cts by central govern~ent per~oncel and the rural public
anmiddot on the organiation or flture projects
To a~swer these que~tions it is oar intention to study the initia~ioD
izJple=enation ald i1lpact of a salple cpound small-scale rural projects in
Kanya Korea and Turley in the sae cOllities in which we carried OU
our initial icvestigations ~ 1973-75 Tne relationships between the -
various conf~gurations of local leadership and public participation and
the three phases of project develop~ant are sho~ in Figure 1 We will
exa=ine projects to pro~ote the adoption of new agricultural techniques
by s~l and moderate landnolders the building of feeder roads irrigation
ditches and other s~ple infrastructure the organization of fa~ers
cooperatives and other local associations concerned with rural development
the establish=ent of rural health clinicS and schools and the setting up
of craft and service industries
Sites for Study
We plan to return to our original set of localities because we possess
a rich body of relevant data on the extent to which linkages exist between
Figure 1
TYPES OF LFLUEXCE OF C2r~ middotGOVER1iEXT OFFCIALS
LoCu LEADERS 0 THE RURAL PUBLI-C OX THRr~
PHASES OF RURAL igtEVELOPHET PROJECTS
r----------~J C~ltral Gover1~nt Official)-N------- - J
r- Local pOlitical leaders
Local non-political leaders
~l 1---- -
ROJECT nITL~TIOS
Influ~ce on selection of projects
InrI ~elce on location of projects
Influence on policy guidelines for proj eCl
Il
I
a
I I
-I PROJECT I~L~~iATIO~ ~ 1
j Project Organizati I Selection of project
leadership
Hobilization of resources
Mobilizatiol of public compliance with project require=elts
Diffusion of project innovation
Rural Public
I
BEST AVAILABLE nOCUMENT
1 ROJECT IMPACT
Organization of ongoi=g project operation
Distribution of project benefits
Evaluation of project
Public attitudes toward project
-middot14 -
these areas and t~c central p~litical institutions of the three co~tries
and on the attit~es of the rural populacioc local leaders and elected
legislators regardi~g their problecs of develop~~c Since such data
is unavailable for alternative locales a return to the areas in which
we have previously done much research ~ables us to build on a uniquely
valuable body of icformation
A return to Kenya Korea and Turkey is also highly desirable from
the standpoint of effective research organization The Comparative
Legislative Research ~enter has developed close collaborative relationships
with several highly competent social scientists in these countries and
with the academic institutions with which these scholars are associated
We have also dev~_oped cooperative relatio~ships wi~ gove~ent officials
in these countries which should facilicate obtaining approval for our
further work
In proposing to doc~ent the origin i~pl~entation and impact of
one to three s~ll-scale develop=ent projects in each of 35 localities
we have two considerations in mind Firstmiddot because our pr~ry goal is
to deter~e the political conditions for rural developm~Lt we wish to
examine develQ~=ent in as many different settings as feasible Only in
this way can we control for so=e of the major socio-cultural variations
that erist along rural populations in less developed coultries These
include the overall level of econo~c development in the co~unity the
nature of t~e ~digenous culture an~ relationships of authority and the
pro~ty of the comounity to major urban areas and centers of central
gove~nt ad=inistration ~ce our original study sites were carefully
BEST AVAILABLE DOCUMENf
- 15 - ~ ~1
selected to represent these variations ye have concluded that these
35 localities woule be ideal sites for the propose~project Second~ in order to dete~~~ the ~pact of local leaders and public
participation o~ ~ural projects we intend to compare projects 1n which
local leaders and ~ecbers of the public have played a major ~ole with
projects in which they have not We also ~l cospare projects initiated
by the central gover~ent with projects Yhich have been locally initiated
These considerations give us a typology for selecting projects as depicted
in Figure 2
Figure 2 ~
FIVE TYPES OF RU~AL PROJCTS ACCORDIXG TO ~FLUEXCE OF CEITiW
GOVE~1E~T LOCAL LEADE~ AD RLRAL POULATIO~
Level of Participation by Rural Population
Locus of Project Initiation ~
Local Co=unity Central Governoent
BIGd
LOt
1 Projects initiated by local leaders and providing for participation of the rural ~opulation
4 Proje~ts Litiated by local leaders bu~ not involving participation of the rural population
2 Projects initiated by the Central Govern~ent and administered i~ cooperation with local leaders a~d the rural population
3 Projects initiated by the Central Govemlent and providing =or the participation of the rural population but by-passing local leaders
5 Projects initiated by the Central Gover~e~t a~d administered in cooeration Yith local leaders but not involvi~g parti~ipation of rural population
- 16 -
We recognize that the socio-cultural setting of rural develoment
projects varies significantly within and across less developed countries bull
By focussing o~ a representative sa=ple of localities ~ Ke~ya~ Korea
and Turkey we can take account of naoy~ though not all of these variations
While some of our substantive findings will not be directly generalizable
beyond the countries in which we propose to conduct our study we expect
that our basic ~ethods and fLdLgs will be applicable to national and
sub-national settings elsewhere in the developing world This is partly
d~e to the fact that the hierarchy of patron-client relations ~hich we
regard as a critical factor in rural develo~~t exists in ~ost Liles
--It is also due to the fact that the methodology for identifying local
bull leadership configurations auG poundor studying local politics which we are
perfe~ting can be used to assess local political co~ditions in a large
variety of countries even when the ~nditions themselves differ significantly
Methods of Investigation
The data needed to assess the iDpact of local leaders and mass
participaticn on rural dev~lop~nt fall into two categories Some a~e
contained among the data gathered for the research project we are currently
completing Others will require additional field research
The following data are already in hand
1 Data on the social landscape of each loc~l co~nity i~cluding aggregate data o~ level of econonic development de~graphic characteristics political pa=ticiation eth~ic loyalities and rates of socio-econocic change dur~g the past decade bull
2 Identity of local leaders including both political and I-on-political leaders and both legislators and other politicians
3 Perceptions of existiag probl~ and their possible solution a~ng
l)tS r AVAilABLE DOCUMENT
- 17 -
general public local leaders and civil serv~nts
4 Level of political kno~ledge among local citizens and local political leacers
5 Political and social values a~ong local ci~izecs and local political leaders
6 E~~ectacions of leadership roles among the local public and elected and non-elected leaders
7 Patterns of co~unication ~ong local leaders and between local leaders and the central gove~e~t
These data ~hich ~e already have in hand can be subjected to analyses
which ~~ll provida the foundation for our further work on rural develop~ent
projects A part of our work therefore will consist of fu~ther analyses
of existing data
New data of the following kinds are also required
1 Doc~entary data on the origin and evolution of particular smallshyscale develop~cnt projects in the rural areas
-2 Data on project costs boih ~itial invest=ent and recurring
operating costs and data on project ou~puts ie pupils in schools Ddles of road coopleted nl~ber of hospital a~ssions production of factory agricultural productivity
3 Data on project organizatio~ n~~r of local inha~itants participating in establis~~ent of projectt nuober of local L~habitants subsequently involved in project
4 Data-on the pe-cetion of projects by local leaders emers of the local public a~d by civil servants data on the perception of how each project ~as initiatec organized who benefitted and what its future implicatio~s are
These types of data will requ~re field work involv~~g both docucentary research
at the relevant ~istries of the central government and in local goverr~nt
authoritieS and inforoal open-ended interviews with local political leaders
elected representatives and other local leaders who~ we had previously ~
interviewed in a s=uctured syste=atic =aoner
BEST AVAILABLE DOCUMENT
- 18 -
Grant Organizatio~ and T~etable
We propose co undertake the research outlLled above beginning in the
fall se=ester 1977 Dur~g that te~ Professors Barkan and Kim as
principal investio~tors for the neo1 proj ect will contact their collaborators
in the host co~~tries They ~~ll also seek the collaboration of an additional
~rican scholar specializing in rural development with the aic of getting
additional advice on sources of data and suitable indicators for the
~easure=~~t of rural develop~ent projects
At the end of the fall seQester Professors Barkan and Kim will make
a trip to their research sites to disc~s details of the research organization
with their collaborators in the host countries and to recruit student
assistants Tney will devote the spring te~ 1978 to further analysis
of a~sting data at the University of Iowa
The gathering of additional dita L~ the field will begin in the s~er
of 1978 Professors Barkan and Kio will direct this work personally We
eAect that its coopletion ~~ll require three to six months This work ~1
involve the evaluation of central and local gove~ent reports on the
projects uncer investigation extensive on-site observations of the projects
and oen-e~ded interviews with the principal participants Our principal
respondents ~i1l be the local leaders and elected representatives we
have previously identified in the localities in which we have worked and
a sacple of active participants in the particular dpvelopment projects
being studied ~~ere necessary and apropriate surveys of the general
public will be uncertaken to assess the inpact of a given project on the
rural por)r We do not however leed 0 conduct systeAlatic sample surveys
BEST AVAILABLE DOCUMENT
- lY -
of the rur~l population as We did in 1974
In the organization of this research project we intend to reconstruct
the rese~rch tea=s ~e e=ployed during 1973-75 We shall again seek the
co11abo=~tion of P~ofessor Sc~~S-7o~g Pai of Seoul National University ~
Professor IIiCr Turan of the University of Istanbul and Professor John J
Ok~u of the U~iversity of ~arto~ S~ilarly w~ contemplate directing
the field research fro~ he same acade~ic research organizations we previously
used Seoul National U~ive~sity th~ ~~iversity of Istanbul and the
Insti~ute for Develop~eut S~udies University of Nairobi As before we
will tra~ students f~oo these institutions to serve as interviewers
The analysis of the open-ended intervie~s and of docUQentatio~ on
I ~ural develop=e~t projects will be a ~ore t~e-co~s~g process than the
analysis of closed intervie~s It will reqrire a high cotnittl~t of time
fron the principal investigators )e e--pec to hold a conference at the i
U~iversi~y of Iowa 3lO1g all the principal )clticipa~ts in the resea~ch
project d~=~g t~e spr~g 1979 to evalua~~ the newly collected data
le e~ pect to be able to vr-ite reports of t~ results during the Sl1~er 1979
(see Figre 3)
IV LlX-GS ~1) U~ILIZATIO~
At the e~d of the grant period the Uti ersity of Iowa will be able to
1) advise the Agalcy 01 the design of s~l-scale rural projects to assist
the rural poor 2) provide guidelines for social soundness analysiS of
small-scale projects for the rural areas of U)Cs 3) consult w~th the
Ag~tcy 01 the evaluatiol of rural projects ~d 4) provide LDe governments
BEST AVAILABLE DOCUMENT
)ATES
~lll
1977
~inter 1977
iprilg 1978
il mer 1978
~all
1978
ipr~ng
1979
Imiddoter 1979
University vf Iowa
Plutlning of rural develo~rent project
Barkan Kil
Alalysis of existing data
Barkan Kia
Data processing
3arkan Kin
1
I
- 4 -
Figura 3
GRAT TLfETABLE
SIT E S
Kenya Korea Turkey
Preparation of field research ural developH~lt project cOlisulta~io~ a research sites
BarkanOku=u Ki~Pai Tura~rkanKi~
Preparation of field resea-ch
Tural
Field research on rural cevelop~~t projects Bar~lOk~u Ki=Pai Turan
Co=pletion of Co=pletion of field resear~~I~ fiald researcr
Ok~u i Pai bull
f Coopletion of field research
Turan
Data analysis conference a~ong all princial i~vestigators at Un~versity of Iowa Barkan Kil Oku=u Pai Turan
Co=letiol of r~ral develop~ent
project
3arkan Kiz
BEST AVAILABLE DOCUMENT
I
- LL -
~ith speciali~cs o~ ru~al developcect ~mong their own citizens ~ho ha_
partcipatcd ~s collaborators in the Iowa projects
In the proposed project we Will test a series of hypotheses cOlcerning
the political cOllditions of rural develo=ent which run counter to CODOn
assuoptions conccrnir3 t~~ influence of rural politics on project effectiveness
As a result ~e ~dll be able to assist the Agency in designing and evaluating
such projects froe the point of V~~W 0 their political viability The
hypotheses We will test sugges~ t~at the patron-clie~t relations existing
in the local politics of zost LDCs are not necessarily i~pedients to rural
develop~ent but are aspects or the political structure which cal be used to
facilitate s~ll-scale ru=~ projects which will raise the standards of
living of _ ~ rral pomlation - As ~ result or our stuey we expect to be
able to P~-O~t the local leadership confi5~rations ~4d the relationships
between local leaders ald rural poclations ~nich are oost conducive to I
successful develcp=en efforts We believe that we will be agtle to perfect
a cat~odology for identifying the political conditions for rural develop~ent
one ~hich is transferable pound~oo the countries we have specialized in to
other LDCs
We proo~ to develop specific guidelines to assist administrators
charged with selecting evaluating and =onito~ing rural develop~ent
projects to ~szess t~esc rojects in tares of their-social and political
viability he outco~e of such projects is dete~ned not only by the
efrectiv~nass ~~=h ~hich they use scarce econo~c resources but by the
~~er L~ w=ich they e~gage the suppprt of local leaders and rural
po~ulatiocs~ by thei= effect ou social a~d econo~c equality ~d by
D[~T AvAlLA8LE DOCUMENT
- 22 -
their consequences for hwan rights ~Je plan to establish criteria by
middot~hic~ the probable outco~es of projects in these social terms can be
anticipatec
The study ~e propo e will be undertltlken by faculty at the Cniversicy
of lowe in collaboration with faculty a other ~rican institutions and
institutions in the host countries We will build on the extensive contacts
between the Co~perative Legislative Research Center of the ~niversity of
Iowa end other instituions with ~aich ~e have worked One =ajor result
of our collaborative study will be the existence of a net~ork of compe~ent
scholars both in this country and overseas experi~lced in ~orking together~
shar~g a co~on teaching and training experience i~ close contact throu~~ the
effective publications progr~ developed by the Co~parative Legislative Research
Center T~e e~~ertise of this group of individuals will be ava~lable to
oteer scholars to the Agency and ~o L~C governments for specific policy
advice The eXertise developed as a consequence of this project will
extend beyond the ~tionals of the countries ~volved since the univ~sities
engaged in ~e project attrtct stude~ts fro outside heir own countries
For ey~=ple the teaching ~d research progra in the Depar~ent of Political
Science 0 theUniversity of Istanbul heavily affected by the participation
of its facul~y ~e=bers and graduate students in our projects attracts students
throughout the ~middot1iddle East for Whom the University of Istanbul is the iajor
institution ~pound ~igher education in the region rne Institute for Developmen~
Studies is si=ilarly a focal point for students and faculty in East and
Central Africa Seoul ~atiocal Unive=sity attracts students froo other
Asia~ co~tries~ In this way the capability developed among the participant$
BEST AVAIL~BLE DOrUMENT
- ) -
in our work is diffused widely To the exte~ that the abili~y to assess
rural develop~ent p~ojects in teres of their social soundness is increased
both in the United States and in ~o~~tries r~ceiving develop=en~ assistance
the cap3~ity of racipien~ countr~es to absorb aid is ~creased
We propose to draw up an inventory of personnel available in ~~e
Cnited States and in other co~~tries who are able to consult with developen~
a~nistrators on the design of rural development projects and on their
evaluation We ~~ll draw first of ai~ on individuals w~o have been
directly associated with our ~ork in the past or on ~he proposed project
and ex~~~d the list to include graduate students and gove~ent officials
with who~ these individuals have wor~d
tole Yill utilize tha existing publication program of the Center
dercribed above to disse~inate our findings The Center has specialized
oailing lists of interested individuals and institutions in all parts of -i
the world and its reports can trerefore reach the ~st relevant audience
jirec~ly ~d re~~arly
BESl AVAIL~BLE OOCUMENT
CONTRACfjGRANTCOOPERATIVE AGREEMENT DATA SHEET
INSTRUCTIONS fjDW Complete 4 copies of the form Original SERCMSDSUP Statistical Section Copy Copy 2 SERCMSIiUP dministrative Copy opr 1 Contracting Officers COy COP) 4 SERCMSDSUP IUmin (Suspense) Copy
Missions Complde 2 copies oi the form Origin31 SERCMSDjSUF- Statistic31 Section Copy 3n~ Copy 2 Nill be ret31ned in the Missions
PART fA
ConU3lttorGranrce Name
University p~f~I~o~wa~ __ -r~ ____ ~~~~ __________ -~~ __ ~~~ ______________ ~~~~ Plorr Numt-er ApptopriJtion Number Allotment Number Project Number
930-0090-3Q13411 A5 72-111l0216 146-30-099-00-20-11 930-0090 Project Title
So~ia1 and Potitica1 Aspects of Development - Conference to Report Research Findings Amount of this Plorr I Projecl M3nagers Name and Offire Sytlbol
$10397 (increase) PDPRCP Jonatlan Silverstone Contr3ctors D-U-N-S Number
Ncgwatocs TYJlCd~3meJ j) Signature I l ~ jIf- bull G HtJ--ft u l IVmiddot
D~e
L - f - J ContractGrant Officqs typed Nailllt Signalure LJ d I -r-
plusmn t 3i-alflpta (( BLvle~ 1 I~ PARTm
ContractGranl Number
AID CSD-3294
Effeclive Date of Docum~nl Signalltre D3t~ of Documenl
Lf---C yen-~-gl tIost Courtry Institution (U iwrsity contract ONL Y)
Campus Coordinator (Uniwr ty i contract OiiL YJ
PART UL Descriplion of Cor-tractGrant P1use X ONL Y ONE item under each headiZg IF THEltrease CifYmC~e bolh ges I 30~~ O~ Nol to be completed for Amendmenl or Modlfic3lion AJigtns I III
J 710gt I I V ~ I
MOl - TYPE ACT A~ 0 G unsolicited Propsll (AIDIR 0 C Individual (Non-pe~nal senice)
~ O Cortra lGrantl ooperative Agreemenl 73101-SO(b)(6raquo 0 D Individual (ftrsonal Service)
tJl T3sk Order ( A)middot 0 H Procurement 10 be Perfocm~d by the Conmiddot 0 E UniversilyOther FAuC3lionailnSlitulions
D 2 Work Order (IQC) Ira~lor in Person (AIDPR 0 F Non-Profil Organizationlnslitutions (other
D 3 Delivety Order (Requirements) 73101middotSO(b)( Iraquo than Ed or PVO)
[j 4 Purchase Ordcr [J I Sole Source (AIOPR 7-3101-SO(b)(4)) 0 G Private Volunury Organization (PVO)
If I 2 or 3 1Lle an ~ compllle M 12 ON Y D J Imp3irmenl of Foreign Policy Objectiws 0 H International Agricultural Research Organj-
M04 - CONTRACTGRANT TYPE
o O MOA (BOA BMA etc)
o I Fixed Price (Specify fFP FPRD FPEPA FPI) _____ _
(gtIDPR 7-31 OJ SO(b)(7raquo
OK B(a)5eJection (FPR 1middot1713-1)
o L Grant iH1ndlOok 13)
o M Do Nol Ue
D 2 Cosl Reimburemenl (S~cil) CR CPFF 0 N Cooperative t~reement (Handbook 13)
CS CPAF CPIF) ~ 0 O Small Business SeImiddotAside (FPR 1middot1706-8)
o l Cooperative Agreemenl ~ 0 1 Overseas Procuring AClivilies (AIDPR
04 Grant Gener31 Supportmiddot 0U ~ 7lIOI-SC(b)(2))
o S Granl - Specific Support ~ ~06 E SER VICE
g ~ ~~t ~~(d) ~~ ~~ ~ eci~a~~~~~ogram Projeci
o amp IQCs ~ ~ relampted excepi A amp E Services)
o 9 Host Counlry ContraclGrnnt 5lJ C amp E Services
middotComplele ONLY through ~Sl ~~ 0 D Construction
M05 SELECTION PROCEDURES 0 E- Reseuch
o A Formally 3dverliscd (IFB) (A1DPR 7middot24 amp
FPR 1middot24) ~ o B Negoli3ted Price Compelilicn Gencr31
Procedure (RFP) (-JDPR 7456)
Dc A amp E (AIDPR 7410)
0 D Ed Inst andor Inl1 R~arch (-JDPR
74 5)
o E Collaboratoe Assisunce (IDPR 7458)
C F Predominant Capability (IOPR
73IOI-50(b)(l)
AID 1420-49 (179) - Page I
D F Technical Services to AID (other than trainmiddot
ing usually o~ating expense)
D G jraining SetVice for AID
o H Equipment Materi3J~ Supplies Commodities
D I Translation Service
~07middot TYPE CONTRACTORGRA-nEE
o A Firmmiddot AU profil-rn3king fUms (other than
Aamp E)
J e A amp E 8r~
zalion
o Public Inlmlational Organizations (UN
Agencies ICRC Wocld Bank elc)
(H8 J 3 Chapt~ S)
M08- TYPE AW~RD
o A S8 Sel-Aside - Awarded to Non-Minority
o B S8 Set-Asidemiddot Awarded to MinXity
o C_ S8 NOI Set-Aside - Awarded to Non-Minority
o D S8 NOI SeImiddotAsidemiddot Awarded 10 Minority
o Eo amp(a) S8A Awarded to Non-Minority (Womerl-
Owned Veterans etc)
o F 8(a) S8A Awarded 10 MinorilY
o G Personal Sen-ice ConlrdCt bull Non-Minority
o H IeJSDnal Service Conlract - MinorIty
o I Individual NonmiddotPersonal Service Contraci -
NonmiddotMinority
o J 100Jigtiduai NonmiddotPersonal Service Contracl -
Minorily
o K NOI Small Business (Univ NonmiddotProfit Large
Firms) Non-Minorily
o L- NOI Small 8usineSl (Univ Non-Profit Large
Firms) Minorily
o M US Govcrnmlnt
(Connnued on Page 2)
BEST AVLABIE DOCUMENT 1 I
--
ua ) R I GI NAL 9 bull
MODIFICATION or GRANT PAGE 1 of 2
AH 1 2 Effective Date 3 Grant No 4 Effective Date
Amend_at Ro 5 April 15 1981 AIDCSD- 3294 8-11-71
-s CRANTEE (Name and Addrea) 6 Administered by -Professor Gerhard Loewenberg -Office of Contract Management Cbrnparative Legislative Research Gente Central Operations Division Dept of Political Science am Branch University of Iowa Agency for International Developn~nt Iowa City Iowa 52240 Washington D C 20523
7 PIO No 930-0090- 3013411 A5 8 Previous PlOTa -
Appropriation No 72-11110216 93i-1l-995-l36 930-11-995-136-73-3078103
Allotment Symbol - 146-30-099-00-20-11 wunt Obliga ted by this ~ndrnent - $10397
The above numbered Grant is hereby modified as follows
1 Anotmt obligated prior to this rurendment 2 Amount obligated by this amendment 3 Total obligated anount (1 amp 2)
Delete the amJmt $465000 and substitute in lieu thereof the ammnt I$47S 39-7 ~
FUNDS AVAIrABm
~~ - APR 13 1981
PrO~A~~5iors
$465000 $ 10397 $475397
OffiCE Of fIN~(1 ~~rE~E~T __ _ 10 This amendment 11 entered into puruant to the authority of the Forelgn
Assistance Act of lS~l as amended Except aft hereln provided all terms and ~~ndi~ons nf the grant rcferpnccd in Block 13 remain unchsnged and in full force and ~ffcct
11 original and six Crantee 18 requlred to aign thh document aad return 1- eopics to issuing
ffiee
~~~ or printed) BUSINESS MAHAGR amp bull
Tille TREASURER
UNITpound) STATES OF AHERICA AGENCY FOR INTERNATIONAL DEVELO~NT
BY_-1(1o-_1lt--= 13middot~_1_~ __ K R B1uteau
(Name typed or printed)
Tltle~ ____ G_r_a_n_t __ O_f_f1_c_e_r ____________ __
D3tC APR 2 J 7997 Dolt 9 APq 1981
BEST AVAILABLE DOCUM NT ___ 0 HLGlNAL - I 1 J 1 ~ )
- 2 -
AID ftmds in the am)tmt of $10397 are hereby provided for the activities lmich are described in your proposal (including Budget Stnmnary) entitled CDnference to Report Research Findings on the Study of Political CDnditions for Effective Small-Scale Rural Assistance Projects in Kenya Korea and Turkey dated February 17 1981 and made a part of the Grant b reference
BtTDGET StMMARY
Line Item
Travel
Per Diem
Other Direct Costs
Less existing 211 (d) grant funds
Total Amount Obligated by this Amendment
Estimated Costs
$ 5888
5100
_ 2500 $13488
_ 3091
$lO39
Note Indirect costs or $395086 associated with these activities will be contributed by the University of Iowa
BEST AVAILABLE DOCUMENT
~RIGINAL
- CONTRACT IGRANTCOOPERA rIVE AGRElEMI~ SERC~SDSlP Actio) Monitor
SERCMSDSUP Action Office
I
INSTRUCTIONS AJDW - Complete 4 copit of tlh fonnmiddot Orisina iCMSDfSUP Sutistical Section COP)middot Copy 2 SERCMSDjSVP Administrative CoP Copy 3 Cont-acting Officers COP) Copy 4middot SOSUP Admin (Susptnse) Copy Missionsmiddot Complete 2 copies of the form or~aI SERCtSDSUP Statistical Section Copy and Copy = wiU~ retained in the Missions
0 PART IA
Effective Date of Document tJ
Delivery Order (Requirements)middot
o 4 Purcluse Order
bull If I 2 or 3 have an bull X compl~te M I 2 ON L Y
M04 - CONTRACTGRANT TYPE
o O MOA (BOA BMA etc)
o 1 Fixed Price (Specify FFP FPRD FPEP FPI) ___ _
o 2 COli Reimbursement (S~cifY CR CPFF CS CPAF CPIF) ______ _
o 3 Cooperative Agreement
o 4 Grantmiddot General Support
o S Grantmiddot Specifi Support
o 6 GraDt 21 led)middot
o 7 Do Not Use
o amp IQCs
o 9 Host Country ContractGrant
middotComplete ONLY through M 5 1
MOS SELECTION PROCEDURES
o A Formally advertised (IFB)(AJDPR 7middot24 amp
FPR 124)
o B Negotiated Prire Competition General
Procedure (RFP) (AIDPR 7456)
o Co A amp E (AlDPR 4 I 0)
o D Ed Ins andor Intl ReStalch (UDPR
7457)
o E Collaborative ASSistance (AIDPR 7458)
o F Predominant Capability (AIDPR
7-310l-50o)(3)
AID 142049 (1-79)middot Page J
o H Procurement Co be Performed b~ the Conshy
tra~tor in Person (AlDPR
7middot3t OI-SO(b)(Iraquo
o I Sole 5gturce (AIDPR 7middot3101middotSO(b)(4raquo
o J Impairment of Foreign Policy Objecdv~
(AIDPR 7middot310 ImiddotSO(b)(7raquo
o K 8(a) Selection (FPR 1middot1713-t)
o L Grant (Handbook J 3)
o M Do Not Vse
o N Cooperative Agreement (Handbook 13)
o O Small Business SetmiddotAside (FPR 11706-8)
o P Overseas Procuring Activities (AIDPR
7middot3101middotSO(b)(2raquo
M06middot TYPE SER VICE
o A TtJining of Participants
o B Technical Assistmce (Program Project
related exc~pt A amp E Services)
J C A amp E Services
0 D COltl~ruction
0 E Research
0 F Technical Services to AID (other than trainmiddot
ing usuaU Y operating ex pense)
0 G Training Service few AID
0 H Equipment Mat~rials Supplie~ Commodities
0 I Translation Service
07middot TYPE CONTRACTORGR TEE
Firmmiddot All profitmiddotmaking fu-r1s (other than
AampE)
o 9 amp E Firms
I Prcct NumbcT
I
Contactors D-U-N-S Numbcr
I) -S--f(j
o C Individual 0-lon-~rsora1 service)
o D Individual (Pet-sonal Service)
o E University lOt her EduCltionaJ Institutions
o F Non-Profit Organization Institutions (other
than Ed or PVO)
o G Private Voiuntary Organization (PVO)
o H International AgricultwaJ Research Organmiddot zation
o I Public International Organizadon~ (UN
Agencies ICRC ewld B3J1k etc)
(HB J 3 Chapter 5)
M08middot TYPE AWARD
o A SB SeImiddotAsidemiddot Awarded to Non-Minority
o B SB SetmiddotAside bull Awarded to Minority
o C SB Not SetmiddotAside - Awarded to Non-Minoril)i
o D SB Not SetmiddotAside - Awarded to Minority
o E ~a) SBA Awarded to Non-Minewity (Womeli
Owned Veterans etc)
o F 8(a) SBA w-rded 1o Minority
o G Personal Service Contractmiddot Non-Minority
o ~ Personal Service Contnct - Minority
o I Individual Non-Personal Sence Contractmiddot
NonmiddotMinority
o J Individual Non-Personal Service Contractmiddot
Minority
o K Not Small Business (Univ Non-Profit L1lge
Firms) --vn-Minority
o L Not Small BUSiness (Univ NonmiddotProfit Large
Firms) ~inoriy
o M VS Government
(Continued on Pcge 2i
t bull - t ~ J f q
ORIGINAL bull MODIFICATION OF GRANT
1 2 Effective Date
Araendllent Ro 4 12-2-80
s CRANTEE CHace and Addrels) Professor Ger1ard Lo~middot enbelg Comparative Legislative Research Deartment of Political Science The Lnivp-rsity of Iowa Iowa City Io~a 52240
7 PIO No NI A
Appropriation No 72-11XHl26
Center
Allotment Symbol -426-30-099-00-3~-71 Amount obligated by this urendment-O- I
3 Gnnt No
AIDcsd-3294
PAGE _____ 1 _of-L
AlI 4 Effective Date
8-11-71
~ Admlnlltered by -Office of Contract Management Central Operations Division OTR Branch Agency for International Development Washington DC 20523
8 Previous PIOITs -
931-11-995-136 930-11-995-136-73-3078103
9 The above numbered Grant is hereby modified as follows
Supplement to Grant
Change the duration period sentence to read
The Duration Period for this Grant shall be August 11 1971 through December 31 198]
1 Amount obligated prior to this amendment $465000 2 A~unt obligated by this amendment -0-3 Total obligated amount (1amp2) $465000
----------------_- - ------- ----_- ------ 10 Thh lImcndmcnt is entered inlo punuant to the authority of the Foreign
~ Assistance Act of 1961 86 amended Except a~ h~reln Z II provided all terms and condi tions nf the grant referenced in Block 3 remain ~~aunchlinged and In fu1l force and effNt cnltUI cJ)za 11 o 4 J bull
Et~ ai~a gtUoItshyc Z P=u
original and six Grantee t requi red to sign this document and return 1- eopies to 1Bufng
office
~ 12 GRANTEE TES OF AMERI CA
(Name typed or printed) bull
TJlle Director Comparative Legislative liecearell CeQtoQl
Date 12880
------------------------------------
ONAL DEVELOPMENT
By ----~--~~~~---------------------
prinled)
Grant Officer Title --------------------------------
J)oll( 12-2-80 -----------------------------
BEST AVAILBLE DOCUMENT i je
- 14 -
Y labCrato~y for olitical Pesearch is the reseacc1 md research
tlairirg facility of the Departe1t of Political Sci-lce Gcadvate
students receivo extensive res~arch experience through 1or~ing in the
La oratory bull The Lacoratoy is also a1 integral part of the trainirg
o~feed in ccurs~ T~middotO~ for graduate students
The full-time sta~f of the laboratory includes a director an
assistant director a t-=cl1ical cirector a supervisor of study
t1hteen graduat~ students - rf1rk in te Laboratoy receivLLg teining i~1
~a~a collecticn ~~i data e~alysis Tbe facili te5 of the La)oratorltJ
icluoe a oard eJcerline printer ccnnected to the U1iversitys
dis~ and tape storF-ze for d~ta
The pogral of trailing ia coparative legislative reseC_cch ~ill
relr heavily en t LaOerltcLJ- for taching graduate stucents Visi tine
fc111tr lYe~bes iill be able to utilize tbe facilities cf the Laboratory
gt IOra ~as sFcial ccrpetence in prOCed~les for
ccq ter ogagtlizetion of d~ta Ja1ks ~d fOi the p~ocGssing of large data
sets as well as iJ the sttdy of naticnsl end st~te legisltllres Tile
BEST AVAILABLE DOCUMENT
- 15 -
Ile Univelsity of 10Ira will eadnister- the Grant thJotg~ its normal
a)1 iristrative char-l1els ad i1 Eccordance imiddotlith its ncrTal olicies and
operatirg procedures 7he Director of the gr~l1t-s~~ported program
Hill be a senior faculty eriOer of the Gniyecsity of IO~-ia -with extensive
expe~ie~ce in the subject field Associate Directors w~tb similar
qtalifications -aill also be appointed 7he Director- and Associate
Directors ~dll serve as eibers of t~e Inter-University Advisory CC1gtr)ttee
established to cooidinate _u bullbull ID gra1t-stpported programs at IOia Dul(e
lniversity a1d the University of Ha- aii Ll1 this field These relatiol-
ships are i~dicated in tee follc~dng a~inistrative organization chart
IX Ul~vsity Ccntri1uticn
T1~ ~h-ersity of IQ(a aSSures ALD that this Grant middotiill not
replace existing ftnds for STr current activity and imiddotrill be additive
to existing prograrrs of tCe lJniversity In direct sp~ort of this
Grat ttc University ~ill provide a) Acmi1istratile costs including
tie of senior officers of ttlt University b) Office ~ld research space
ald library and cor-puttr facilities c) Provision of a1cillamiddotCjr 1niversity
personnel -or consultation o~ ~middotjQrk nth the progral
X Reports end 5evie~-Ts
There i-ill be sub~itt-=i al arnual t2ctnical report for the purpose
of AID s revie- of activities under te Gant Tnis idLl include
a11 e-llation of prcsr~ss aidnistratve ar_c fiar~cial corsicer~tior~s
p~s cr tr foJlJ-middotire ear ~i disctlssics of the ossible l~lizaticn
BEST AVAJLIl8E OOCI1MrNT
~
- 16 -
A~~inistrative O~ganization
Ice Board of Regents of tle State of Im-la
-Iesicent of the University I
1 rOfcst Jf t-3 University
Den College of Liberal Arts
r Chailan DcptiEt of olitical ScieJce
Inter-G~iversity
Acisorr Corcittee
PcgrG21 Director Associate Progra~ Directors
Liaison Arcrge~~nts d ~h I I~~erested Plcfessiona1 I Perso~el j
I _
I 5cu1ti (full or PmiddotLG-tire l Asscci~tes a1d otllei non-Io~il
3ecip5ents of Gr3-1t stPPC1t Gr~cue~~e S t1~lcnts St2~retQi~S1 Data Lbed~1 31
Ln 18 r1icia 1
LO1t c~lce Factcj~1 ts
BEST AVAILABLE DOCUMENT ( ( V-t
- 17 -
of te eo17i~g cCpterce br A I D rLld ethers In addi tion there
aS3essr~ents of the gr31t
middot l ~ lI ~ _ _ _ co~~~r~~ing ~~iversiti~s md tne rrctitoring ALD office
7re l~yersity of Ie~middot~ budget of $26500 is to be deveted to the
cemiddotelgt~e~ of lstituticnal cefete1Ce in comparotive legisl~tiye studies
~t Iomiddota c t~ the exalsi0 ot a date b~L-lt ~ hich 1fill be utilized as
a ecle for icrec3ing te scope of tbe sub-specialty
T - 1 f 1 __ middotja r S Ctdget a9roxir~tly 33- has bee allocated to a
cemiddote Lp~l t rirc ipally C actlty re leased tirre for data ccllection
ai 0 3alres f~r i~~er-ieers in field research 3d secretarial
assi5ta1ce nCt2 11- of t~e Icmiddotre oudge~ is iesignated for an
ArCE_1 A~ite s(101a~middot 2d one 0 ore scnolals froQ LDe or
s1lllrt of greluate stucents in the
BEST AVAfLIlBLE DOCUMENT
- 18 -
Finally approximately 19 of the budget will be devoted to the
proposed data bruL~ that will archive not only data generated from the
research of scholars at Iowa Duke and Hawaii but also at other US
and foreign institutions Primary and 3econdary an~ses of these
data will become an integral part of ~omparative legislative studies
curricula The ability to utilize the data bank for teaching purposes
also should have a significant impact on professional preparation ofmiddot
future legislative specialists In summary the funds will be
allocated to research teaching and training activities tha~ are
entirely conson~~t with the philosophy underlying the utilization of
2ll(d) grants to achieve institutional development
Conclusion
The University of Iowa regards the research and teacbing components
of this program to be closely related an1 zrutually reinforcing The
University of Iowa offers a strong base for the pro~ram because of the
interests of faculty members here now because of their contacts with
scholars in this field in other Americ~~ and foreign universities
because of their experience with the international exchange of faculty
and because of the distinctive data gathering and processing facilities
available in our Laborator~- for Political Research The program which
we have formulated is designed not only to accomplish specific
research and teaching objectives but to contribute to the long-term
development of the University of Iowa in an area in which it has already
exhibited special interest
BEST AVAILABLE DOCUMENT
~ I) - 0
- 19 -
The program on Comparative Legislative Studies with support from
this Grant rill develop the capacity at the University of Iowa to
provide assistance under separate financing arrangements to developing
countries in a number of ways and through a varieiy of channels This
assistance which would be arranged for end negotiated separate~ from
this Grant may be in the form of technical assistance advisory service
training research and information exchange etc It will be available
by mutual agreement to appropriate agencies national and international
public private a~d mixed and directly to the less developed countries
Most especially this added special competence will inevitably become
incorporated through the processes of scholarship and education into
the competence of US and foreign scholars and institutions concerned
with this topic of great significance to the developing and the more
highly developed countries alike
BUDGET SUMMARY
UNIVERSITY OF IOWA
Salaries
Graduate Student Stipends
Fringe Benefits
Travel
Equipment and Services
Other
TOTAL
$173090
32400
19209
13800
6501
20000
$265000
BEST AVAILABLE DOCUMENT
d bull
srjmiddot (~~ jjXilO
IO
rmiddotmiddot ~middotmiddotrl f)~~ 7 middot 1 ~A~~ middot1 rmiddot middot~ rt bull middot bull bullbull I ~ i bull bull ~ middotv- middot bullbull ~ I
1 so bullbullbull l ~--~-- - - ---- ~ V~ i Jlgt ) bullbullbull ~(lr v ~I ( tr_ 1middot-middot 1 bullbull 1
il l~ J
2 c~loto
BEST AVAILABLE DOCUMENT
(C
Dr Willa~d l Boyd Presicient University of Ima iowa City Iowa 52242
Dear Dr Boyd
4 AUG 1977
amp
FIJNDS AVAnASLe CpoundNrftAamp sEIMCEs DMsON
AUG11 ~n te t6417 ~77
Subject bull Supplsectferit-tJF-G~middotNomiddot~middot AIOcsd-3294
t middot-rrPJ1 3
I am pleased to inform you that pursuant to th~ auth~rity contained in
S-cction 211 (d) ooC the Foreign Assistance Act of 1961 as amended a sup
plemental grant in the amount of $200000 is h~reby r~de to University
of rCi1a These supplement]l grant funds areprolided to support the
activities which are described in your Proposal dated May 6 1977 for
the implementation of your program entitled Political Conditions for i
Effective Small-Scale Rural Assistant Projects
---This sup~lemental grant is mace to University of Iowa en condition that
yo~r institution shall administer the funas provided under this Grant fn
accordance lith your r~ay 6 197 proposal (including Budget SUmlilary) and
the Standard Provisions (as incorporated by Amendment No 1) which have
been agreed to by your instit1ltion Ti) the extent of an inconsistency
between the Proposal and the Standard Provisions and any otherprovisfons
which ar~ made a part of thi5 Giant by reference or other~iSe the Sta~d~
ard Provisions shall control
The new Duration Period for this Grant shall beAugust 11 1971 through
August 10 1979
The total amount of funds obligated under the grant is increased to reflect
a new total oblgated amount of $465000
Please sign the Statement of Assurance or Compliance ana the origfnal -
and seven (7) copies of this letter to acknowledge your understanding of
the conditions under which these funds have been granted Please return
the Statement of Assurance of Compliance and the original and six (6)
copies of this supplemental Grant to the Office of Contract Management
Attachment May 6 1977 Proposal and Budget SUfiT1a ry
UNIVERSITY OF IOWA
Roberw bull OBrien fficer
Ce al Operations Division Office of Contract Management
AC~E~E~C--_ 0 BYpoundk~~ cH
D C ~lpoundSTtR5BA T ITL E ( PfeampoidPilt for
tee ment amp Research DATE 9-22 -77 (d~ ~~Bduate Ctl~1e~e
BES i AvAILdLt UOCLJMU~ I
211(d) Grant Program
Proposal of the University of Iowa
POLITICAL CONDITIO~S FOR EFFECTIVE SMALL-SCALE
RURAL ASSISTA~CE PROJECTS
Submitt~Ci to
Civic Participation Division AID
May 6 1977
Amount requeste~ $ 199987
BEST AVAILABLE DOCUMENT
I TdE DEVEIOP~T PROBr~
P~litical Conditions for Rural Development
The Cocparative Legislative R~search Center of the University of
Iowa proposes to ~~dartake a two-year study to investigate the role of local
leaders and the rural public in theimplecentation of small-scale develop~ent
1 projects in less developed countries The study will use and extend the
capacity ~hich the University of Iowa developed under a 211(d) grant to
investigate and assess the impact of loeal politics on rural development
~t the co~pletion of the s~ Iowa will be in aposition to advise the
Agency on the design ~nd evaluation of s~ll-scale projects which will be
politically viabe a~d effective in ass~sting the rural poor ~
As students of development w~ approach our task with the assumption
that the proble~ of development and underdevelopment are funda~entally
ones of political econooy and a~ such can only be solved through a
simultaneous considerationof economic and political factors Efforts
which foc~s aloost solely on economic factors like those of ma~y
organizations engzed in dipersing foreign aid or efforts which focus
almost exclasively on political factors fail to take account of the
interdependence between these two dimensions of underdevelopment and
lwe have for~ulated this proposal in a canner consistent witr the cu~rent policies ard interests of the Agency We have been guided in our tsk by four Age~cy doc~e~ts Impleo~~tation of New Directions in Developnent Assista~c~~~ ~eport to the COmlittee on International Relations on Ilupleoenshytatiun of Legislative Refo~ in the Foreign Assistance Act of 1973 (July 1975) rItevis~d Projec Developiel Review and Approval Systeo (A I DL Circular A-21 Aril 23 1975) SH Butterfield Draft SUIilZ3ry StateUlent of a Practical Agelcy Approach c aural Devalopilelt (AATA February 28 1975) Cicci A Coce~ual Oie=viamiddot middot Rural Development No1 (lWorilting GOU O~ tha Rural Poor February 1975)
- l -
can meec with only l~ted success
Our concern with the i=pact of local politics on the process of
rural developcent is a result of our interest in the basic question of
how LDC governm~nts and the donor agencies which assist them can
become core effective in raising the standard of living of the rural
poor We seek answers to the following aspects of that basic question
1) What political conditions must exist both within rural communities
and between theo and central gove~ents to raise agricultural production
w~ere small-scale agriculture is the do~nant pattern 2) Vnat are the
political conditions for a core rapid expansion of the informal manufacturing
and service sector cocprised of labor intensive small-scale industries
located in the rural ar s 3) What political structures and activities
are mase crucial for the provision of welfare and econocic supporc services--
such as agricultural exeension mar~eting and transportation--to the rural
areas1 4) ~~at Folitical conditions oust exist to insure that economic
growth in the rural areas is not accowpanied by excessive and intolerable
inequalities between socio-economic classes andor between regions1
Center-Periphery Linkage in LDCs
To deter~ne the political conditions for rural development we have
in previo~s s~udies exacined the institutions and processes through which
rural populaticns are integrated i1to the national politi-cal systetlS of
middot~he countries in which they live A gap exis~s in most less developed
countries bet~een the peasantry residing on the periphery and the c~~tral
political ~stiutions staffe1 by ~~estern-educated bureaucratic elite
We are aware of the other major ~sti~utional discontinuities which comprise
J
4 middot~~1 the basic cleavage between the developed and underdewmiddoteloped sectors of
these dual societies Bridging these gaps is essential if these so~ieties ~ are to develop into viable nation states For until those Q~ the periphery
of the poli~ical syste~ participate in that system and support and comply
with the authority of central political institutions neither economic
development in ~he rural areas nor a stable polity will emerge
Bridging the discontinuities in these new political systems requires
establishing and institutionalizin3middot1inkages or networks for co~unication
and exchange of resources between decision-makers at the center and the
rural public on the periphery Three types of institutional linkages are
most prominent in less developed countries 1) those conSisting of the
state administration composed of the bureaucratice1ite 2) those consisting
of a revolutioncry political party cocposed of the ideological elite
3) and those conSisting of patron-client hierarchies composed of the political
entrepreneurial elite
Of these three linkages consisting of the state administration are
the cst extensive and pervasive in virtua~ly every LOC Such linkages
however exist primarily a~ instruwents of the center to penetrate the
periphery Central government officials are formally charged with bringing
develo~ent to the people This is a ~issi~n which conceives development
as a process ~hrough which a traditional peasantry is transformed and
assimilated iJro the DOdern center which is steadily expanding to embrace
it Agents of the center invariably have more resources to achieve their
objectives than do local political leaders but because they are frequently
strangers~ the communities in which they function they are often unable
- It -
co implement the policies of the center without working through the
local establis~ent
Though somctices significant linkages consist~g of revolutionary
party organizati~ns such as those found in China and Vietnam do not exist -
in most IDCs beca1Se of the special historical and e~omic conditions
required for their development As wi~h the administrative state however
the linkaampe apparatus of such political patties is prUlarily an instrument
of the center whose mission is to penetrate and mobilize those onthe
periphery
In contrast patron-client hierarchies are linkages which represent
the periphery at the center and mediate betwee~ these two disparate
sectors of the political systec Thcugh norcallymiddotovershadowed in scale
by the state administration patron-client hierarchies are found in almost
~very LDC a~d constitute the ~st significant network through which rural i
populations and their leaders influence the decision-~king process at
the center Patron-client hierarchies exist in a wide variety of org~iza-
tional fores ranging from info~ ~ec~~rks of individual olitical leaders
in uno-partyll systelS in S~b-SaharaI4 Africa to extensive political machines
in both one-p~rty (Africa Mexico) and ~u1ti-party systems (Turkey India)
Despite their importance as the pricary means through which peasants in
LDCs particiate in their political systems patron-client hi~rarchies
have only recently become an object of analysis by students of political
developent and do not appear in even the most sophisticated studies of
2 See Jo~ Dunca owell Peasant Socie~y and Clientelist Politics Aerican Politi~ Scielce Revietol 64 (June 1970) pp 411-25 Rene Lemarchand anc_ Keith Legg olitical ClienteliSJ and Ethnicity in Tropical Africa Aierican Political Sc~ecce ReView 66 (Y~rch 1972) pp 68-90 James C Scott PatronshyClient Politics a~d Political Change II 1tlerican Political Science Revie~ 66 (~arch 1972) p 91-113 and Friends Followers and Factiols bull edited by Steffan Sc~~d and James C Scott (Berkeley UniverSity of California Press 1977) bull
- 5 -
3 economic development Ad~niscrators of developmental assistance progracs
have too often regarded patron-clienc hierarchies as ~ped~ents to
develop~ent instead of recognizing cheir potential utility bull
~ Findings on Patron-Client Hierar~hies --
The importance of pat~on-clienc hierarchies for linking the periphery
to the center is one of the major findings ~erging from a study of the
relationships betueen l~gislators an~ their constituents in Kenya Korea
and Turkey ~hich the Cowparative Legislative Research Centpr is nov
comleting uader its 21l(d) grant from AID This study has av~mined the
creation of linkages between the periphery and the center through ~ore
than lO~OOO interviews with members of parl~ent local leaders and
peasants in t~e three countries The findings are being systewatically
set out in a book-length monograph Nearly a dozen research reports have -
uready appeared (see Appendix C) ipropositions about the nature of
political behavior of rural populations an~ the roles of local political
elites de=ived from the research~ can be s~rized as follows
1 Elected representa~ives play a significant role in the creation and mainte~ance of linkages be~een the center and periphery by developing local political achines in which they function as patrons of their constituents In turn thay s~rve as clients of political leaders of national stature who control central government institutions
2 By atte~pting to establish linkages based on patron-client relatio~shi~s elect~d representatives are responding to public expectations chat their prizary duy is to obtain resources from the center to proffiote local develop~ent ~iany elected repLesentatives spend most of their time on self-help co==unity development projects such 3S the building of schools health clinics irrigation works arid roads because such projects provide
3For exa~le ~ a widely respec~ed a~d useful analysis of rural deve16p~ent in Sub-Sahara~ Africa L~ Lele of the World Bank notes the problems of creating an adoini5~raive infrastructure in the rural areas that is sensitive to local socio-oliical conditions She does not however consider how local leaders operating o~tside of adcinistrative structures ~ night contribute to the developne~t 0 the rural areas See ~~ Lele ~ Design ~ Rural Develop~ent Lessons ~ Africa (Balt~re The Johns HopkiD~ Uciversity Press 1975) r) pp 127-61 i ~
- 6 -
their const~tuents with desired se~ices ~~d a= the sa~e time provide the reresentatives with an orgacization Yhicn can be used as a political base
3 l-tore than 90 perCel1t of the rural population is capable of articulating the p~oblems facing their local co~~ity and two-thirds discuss th~e proble~ w~th their fellow citizens on a regular basis
4 Three-q~rters of the residents of the rural areas can identify the public ofpoundici~s who serve thec--both civil servants and elected represcrtatives--by na~e Most are knowledgeable about the activities of these officials Alcost one-fifth coreover have discussed co~~~ity probl~ ~ith these officials particularly those working at the grassshyroots level Residents of rural villages actually have a higher level of political knowledge than their counterparts in the towns
5 Elections in the rural areas evoke a highly rational attern of voti~g despite the effects of ascriptive or traditional co~siderations Inc~ens are pri~rily evaluated in terms of their record in fulfilling the public r S elpectations of what they should do Elections are essentially referenda on inc~entsr perfo~ce especially their perforwance in the area of constituency servi~es such as bringing development projects to the districts bull
6 Local developcent projects have a relatively high s~olic value generating conscitutency support for local leaders and the central government at low cost
7 These projects help huild a local political infra-structure which can also be utilizec by central govern~nt civil servants to implement other policies designed to achieve rural develop~ent bull
The Icpac~ of Local Politics on Rural Projects
Having explored the developtent of linkages through which the periphery
is represented at che ~enter and through which the periphe~ attemp~s to
share in the ceners resources we now propose to build upon our initial
investigations by e~ing in greater detail the impact of local political
conditions on specific problecs of rural develop~ent We propose to
exacine the develop~ental activities of local leaders ~nd the rural public
by eX2~Ding a saple ot fifteen to twenty smalL~scale developwent projects
in each of ~he three countries which constituted the sites for our initial
8ESI AVAILABLE DOCUMENT 1 ~ - of
- 7 -
study of center-perhiphary relations The appropriateaess of this approach
and the ~ethodology through which it will be ip~emented is discussed in
section II Because the ~ethodology of investigation is in large part
the result of our previous research experience we fizst turn to a revieW
of the existinQ __ ~petence of the Comparative Legislative Research Center
in this area
II GRAXTEES EXISTIXG CmET~CE
In 1971 the University of Iowa received a 211(d) grant to develop
its capacity to do research on the role of elected represent~tives in
the process of modernization On the b~sis of this grant the University
established a research center which planned and carried out a research
project on the role of elected reres~~tatives as links between the central
gove~ent and rural populations in K~ya Korea and Turkey The project -i
served to develop t~e University of Iowas research capability in this
field esa~lished ties between the University and scholars in the bost
countries and generated a large and uniqu~ body of relevant data
In that project we fo~ussed our attention on tbe activities of elected
representatives in their constituencies notably in their contacts with
local political leaders voters and civil servants To determine tbe
nature of the linkage function performed by tbe representatives we
designed our research to explore the subject from three perspectives
1) we eXaojned ~~a ~ubject at tbe grass roots by conducting a series of
sample surveys of 200 to 300 adults in each of 12 to 14 parliamentary
constituencies in each cf th~6three countries 2) we examined the subject
at the center by intervie -ing MIls from the constituencies in which we
had conducted S3mple surveys ~nd higher civil servants with whom they
had contact and 3) ~e ex~~ined the subject from an inter-~diate level
by identifying aud ~terviewing local social and political leaders in
the MPs constituencies We used survey research methods because we
were embarking on the study of an entir~ly new subject for which little
relevant docu=e~tary data existed and on which there were few secondary
sources As a result ~e have unparalleled experience with survey
research in the rural areas of less develo~ed countries
The surveys which constituted the cajor part of our field work were
planned in collaboration ~~th scholars from the host countries They were
carried out in each constituency by student interviewers in the appropriate
language ~re than 10000 respo~dents were inteDViewed for the project
Given the visibility and sensitivity of this undertaking approval for
the research was sought and obtained from the host governments prior to -i
the collec~ion of data ~o objections were raised by these governments
at any stage of the research The data obtained have been made available
to scholars i~ the host co~cries and some of the basic findings have
been published in periodicdis in these countries
The Comarative Legislative Research Center ~hich ad~nistered the
project has aisO developed extensive experience in the study of political
leadership in other countries It h3s obta~ed substantial support from
the Fo~d Foundacion and the Rockeeller Foundation has worked in
collaboration ~~h European as ~ell as Asian and African scholars and
is engaged in a ajor study of the role of elected and non-elected leaders
in the oanag~~t o~~ocial conflict Because it has conGucted research
in a variey of setlngs the Center has an ~ceptional capacity to
- 9 -
determine how the relationships be~een political institutions and
economic p=oble75 differ in develoPed and less developed countries
In the course of the major research projects the Center has administered
it has gained highly specializpd ~p-i ce iI identifying 1Olitical leaders
in a great variety of settings conducting systematic interviews with
them collaborating with scholars in the host countries and in coding
and utilizing large files of data to answer specific research questions
The Center has ~lso undertaken to publish the results of its research
in three fores It issues codebooks to the data enabling scholrrs at
other locations to use the data expeditiously i~ publishes research reports - in the form of Occasional Papers and it publishes a scholarly periodical
devoted to the presentation of research findi~gs to an inteIT~tional
audience
The Center utilizes the data ~ysis facilities of the Laboratory
for Political Research of the University of Iowa and drawS on the unusual
n~er of secialists in comparamptive politics and survey research in
~~e Lniversitys Departmen of Political S~ience The Center itself I
has the services of an administrative secretary and a clerk-typist
~intains its~o~cn extensive archives and its o~~ publications program
It is e~uipped to assist scholars and government officials outside the
t~iversity of Io~a The participants in its p~ojects are full-tioe
faculty ~e=bers ~hose undergraduate and graduate teaching is closely
related to their research As part of the teaching program the Center
has attracted students from the countries in which the research projects
have been conducted these students have participated in the projects
bull J
have obtained training in other fields of political science have received
University of Iowa degrees~ and have ret~rned to teach and to do research
in their own countries
III PURPOSE OBJECTIVES AID METHODS
Purpose of Study
The purpose of the proposed grant is to extend the capacity of the
University of Iowa to determine the political conditions in the rural
areas of less developed countries which favor the establis~ent and growth
of small-scale developoent projects ~e objective is to put the University
of Iowa in a position to assist the Agency in designing small-scale rural
developent projects providing guidelines for carrying out social soundness
analyses of such projects and adviSing in the evaluation of projects
We will discuss the utilization of~t~e Universitys capacity in detail in
section IV below
We propose to concentrate our investigations on the political conditions
surrounding s~l-scale ru~al projects Such projects have distinctive
advantages They waximize the political participation of the rural populations
both in det~~-ining the direction ~d implementation of develop~ent efforts
and in defending the interests of periphery vis-~-vis the urban-based
bureaucratic elite S~ll-scale projects stimulate entrereneurial activity
on the part of the rural citizens and growth of the info~l canufacturing
and service sector Tbey require less lead tice and less administrative
c~erhead to ~eco~e operational than large-scale capital-intensive projects
centrally administered Such projects yield rapid and direct benefits to
1
j
the rural
- 11 b - ~~1
populations and are consistentwith their hUIlaD rights--both
political and economic However~ small-s~le projects pose s~ecial probl~s for administratcrs of developceocll assistance progracs because
they require the donor co assess the local olitics particularl the
rural politics of t~e host country
Develop~c adoinistrators pr~rily conc~rned with assisting rural
populations must therefore recognize the range of political variables
affectL~g these projects Small-scale projects offer great opportuoities
for develop~ental assistance progr~ because they can be easily targeted
to help rural populacions require low capital costs and need no be
concentrated in one or two localities Such projects ho~ever~ ~equire
the a~istrator to have ~re political kno~lecge than large-scale
projects Oil which his priJlary tas~ is guiding the work of other experts
Questions for ~Investigation
To detercine the politi~al cc~diicilS ~st conducive to ~he establ~~ent
and gro~h of scalI-scale rural projects ~e propose to address our inquiry
to the following specific questions
1 To what extent and why co local political leaders seek to establish s~~l-scale develop~ent projects within their co~unities
2 To what extent and ~~y do local leaders other than politicians initiate andor provide leadership for s=all-scale developm~t projects
3 Bot do the relations bet~Jeel different types of local leaders (political and non-political) and bet~eeo these leaders and central gove~ent civil servants posted to the rural areas affect the conduct of develop=ent projects
4 How do existing authority ~eLationships between these different leadership grous and the rural pub~ic affect the organization and operation of s~l-scale develop~ent projects
- 12 -
~
5 lhlt is the nature 0 pclgtlic participation in the establishlent and operatio~ of s~l-sclle projects and ~hat are the outcc=es or this participatioe Gucer w~at conditions is such participation ~ost likely to occur
We seek a~swe=s to t~cse questio s L order to determine the effect of
different co~iigurations of local leadership and public participation on the
outcomes or small-scale rural projects te are particular1y concerned with
the ~pact of these configurations on the rate of econocic growth and the
distribution o~ rIGSlth ithin the loal cOlllUlity ~ on the perce~tions of
s~ll-scale proj~cts by central govern~ent per~oncel and the rural public
anmiddot on the organiation or flture projects
To a~swer these que~tions it is oar intention to study the initia~ioD
izJple=enation ald i1lpact of a salple cpound small-scale rural projects in
Kanya Korea and Turley in the sae cOllities in which we carried OU
our initial icvestigations ~ 1973-75 Tne relationships between the -
various conf~gurations of local leadership and public participation and
the three phases of project develop~ant are sho~ in Figure 1 We will
exa=ine projects to pro~ote the adoption of new agricultural techniques
by s~l and moderate landnolders the building of feeder roads irrigation
ditches and other s~ple infrastructure the organization of fa~ers
cooperatives and other local associations concerned with rural development
the establish=ent of rural health clinicS and schools and the setting up
of craft and service industries
Sites for Study
We plan to return to our original set of localities because we possess
a rich body of relevant data on the extent to which linkages exist between
Figure 1
TYPES OF LFLUEXCE OF C2r~ middotGOVER1iEXT OFFCIALS
LoCu LEADERS 0 THE RURAL PUBLI-C OX THRr~
PHASES OF RURAL igtEVELOPHET PROJECTS
r----------~J C~ltral Gover1~nt Official)-N------- - J
r- Local pOlitical leaders
Local non-political leaders
~l 1---- -
ROJECT nITL~TIOS
Influ~ce on selection of projects
InrI ~elce on location of projects
Influence on policy guidelines for proj eCl
Il
I
a
I I
-I PROJECT I~L~~iATIO~ ~ 1
j Project Organizati I Selection of project
leadership
Hobilization of resources
Mobilizatiol of public compliance with project require=elts
Diffusion of project innovation
Rural Public
I
BEST AVAILABLE nOCUMENT
1 ROJECT IMPACT
Organization of ongoi=g project operation
Distribution of project benefits
Evaluation of project
Public attitudes toward project
-middot14 -
these areas and t~c central p~litical institutions of the three co~tries
and on the attit~es of the rural populacioc local leaders and elected
legislators regardi~g their problecs of develop~~c Since such data
is unavailable for alternative locales a return to the areas in which
we have previously done much research ~ables us to build on a uniquely
valuable body of icformation
A return to Kenya Korea and Turkey is also highly desirable from
the standpoint of effective research organization The Comparative
Legislative Research ~enter has developed close collaborative relationships
with several highly competent social scientists in these countries and
with the academic institutions with which these scholars are associated
We have also dev~_oped cooperative relatio~ships wi~ gove~ent officials
in these countries which should facilicate obtaining approval for our
further work
In proposing to doc~ent the origin i~pl~entation and impact of
one to three s~ll-scale develop=ent projects in each of 35 localities
we have two considerations in mind Firstmiddot because our pr~ry goal is
to deter~e the political conditions for rural developm~Lt we wish to
examine develQ~=ent in as many different settings as feasible Only in
this way can we control for so=e of the major socio-cultural variations
that erist along rural populations in less developed coultries These
include the overall level of econo~c development in the co~unity the
nature of t~e ~digenous culture an~ relationships of authority and the
pro~ty of the comounity to major urban areas and centers of central
gove~nt ad=inistration ~ce our original study sites were carefully
BEST AVAILABLE DOCUMENf
- 15 - ~ ~1
selected to represent these variations ye have concluded that these
35 localities woule be ideal sites for the propose~project Second~ in order to dete~~~ the ~pact of local leaders and public
participation o~ ~ural projects we intend to compare projects 1n which
local leaders and ~ecbers of the public have played a major ~ole with
projects in which they have not We also ~l cospare projects initiated
by the central gover~ent with projects Yhich have been locally initiated
These considerations give us a typology for selecting projects as depicted
in Figure 2
Figure 2 ~
FIVE TYPES OF RU~AL PROJCTS ACCORDIXG TO ~FLUEXCE OF CEITiW
GOVE~1E~T LOCAL LEADE~ AD RLRAL POULATIO~
Level of Participation by Rural Population
Locus of Project Initiation ~
Local Co=unity Central Governoent
BIGd
LOt
1 Projects initiated by local leaders and providing for participation of the rural ~opulation
4 Proje~ts Litiated by local leaders bu~ not involving participation of the rural population
2 Projects initiated by the Central Govern~ent and administered i~ cooperation with local leaders a~d the rural population
3 Projects initiated by the Central Govemlent and providing =or the participation of the rural population but by-passing local leaders
5 Projects initiated by the Central Gover~e~t a~d administered in cooeration Yith local leaders but not involvi~g parti~ipation of rural population
- 16 -
We recognize that the socio-cultural setting of rural develoment
projects varies significantly within and across less developed countries bull
By focussing o~ a representative sa=ple of localities ~ Ke~ya~ Korea
and Turkey we can take account of naoy~ though not all of these variations
While some of our substantive findings will not be directly generalizable
beyond the countries in which we propose to conduct our study we expect
that our basic ~ethods and fLdLgs will be applicable to national and
sub-national settings elsewhere in the developing world This is partly
d~e to the fact that the hierarchy of patron-client relations ~hich we
regard as a critical factor in rural develo~~t exists in ~ost Liles
--It is also due to the fact that the methodology for identifying local
bull leadership configurations auG poundor studying local politics which we are
perfe~ting can be used to assess local political co~ditions in a large
variety of countries even when the ~nditions themselves differ significantly
Methods of Investigation
The data needed to assess the iDpact of local leaders and mass
participaticn on rural dev~lop~nt fall into two categories Some a~e
contained among the data gathered for the research project we are currently
completing Others will require additional field research
The following data are already in hand
1 Data on the social landscape of each loc~l co~nity i~cluding aggregate data o~ level of econonic development de~graphic characteristics political pa=ticiation eth~ic loyalities and rates of socio-econocic change dur~g the past decade bull
2 Identity of local leaders including both political and I-on-political leaders and both legislators and other politicians
3 Perceptions of existiag probl~ and their possible solution a~ng
l)tS r AVAilABLE DOCUMENT
- 17 -
general public local leaders and civil serv~nts
4 Level of political kno~ledge among local citizens and local political leacers
5 Political and social values a~ong local ci~izecs and local political leaders
6 E~~ectacions of leadership roles among the local public and elected and non-elected leaders
7 Patterns of co~unication ~ong local leaders and between local leaders and the central gove~e~t
These data ~hich ~e already have in hand can be subjected to analyses
which ~~ll provida the foundation for our further work on rural develop~ent
projects A part of our work therefore will consist of fu~ther analyses
of existing data
New data of the following kinds are also required
1 Doc~entary data on the origin and evolution of particular smallshyscale develop~cnt projects in the rural areas
-2 Data on project costs boih ~itial invest=ent and recurring
operating costs and data on project ou~puts ie pupils in schools Ddles of road coopleted nl~ber of hospital a~ssions production of factory agricultural productivity
3 Data on project organizatio~ n~~r of local inha~itants participating in establis~~ent of projectt nuober of local L~habitants subsequently involved in project
4 Data-on the pe-cetion of projects by local leaders emers of the local public a~d by civil servants data on the perception of how each project ~as initiatec organized who benefitted and what its future implicatio~s are
These types of data will requ~re field work involv~~g both docucentary research
at the relevant ~istries of the central government and in local goverr~nt
authoritieS and inforoal open-ended interviews with local political leaders
elected representatives and other local leaders who~ we had previously ~
interviewed in a s=uctured syste=atic =aoner
BEST AVAILABLE DOCUMENT
- 18 -
Grant Organizatio~ and T~etable
We propose co undertake the research outlLled above beginning in the
fall se=ester 1977 Dur~g that te~ Professors Barkan and Kim as
principal investio~tors for the neo1 proj ect will contact their collaborators
in the host co~~tries They ~~ll also seek the collaboration of an additional
~rican scholar specializing in rural development with the aic of getting
additional advice on sources of data and suitable indicators for the
~easure=~~t of rural develop~ent projects
At the end of the fall seQester Professors Barkan and Kim will make
a trip to their research sites to disc~s details of the research organization
with their collaborators in the host countries and to recruit student
assistants Tney will devote the spring te~ 1978 to further analysis
of a~sting data at the University of Iowa
The gathering of additional dita L~ the field will begin in the s~er
of 1978 Professors Barkan and Kio will direct this work personally We
eAect that its coopletion ~~ll require three to six months This work ~1
involve the evaluation of central and local gove~ent reports on the
projects uncer investigation extensive on-site observations of the projects
and oen-e~ded interviews with the principal participants Our principal
respondents ~i1l be the local leaders and elected representatives we
have previously identified in the localities in which we have worked and
a sacple of active participants in the particular dpvelopment projects
being studied ~~ere necessary and apropriate surveys of the general
public will be uncertaken to assess the inpact of a given project on the
rural por)r We do not however leed 0 conduct systeAlatic sample surveys
BEST AVAILABLE DOCUMENT
- lY -
of the rur~l population as We did in 1974
In the organization of this research project we intend to reconstruct
the rese~rch tea=s ~e e=ployed during 1973-75 We shall again seek the
co11abo=~tion of P~ofessor Sc~~S-7o~g Pai of Seoul National University ~
Professor IIiCr Turan of the University of Istanbul and Professor John J
Ok~u of the U~iversity of ~arto~ S~ilarly w~ contemplate directing
the field research fro~ he same acade~ic research organizations we previously
used Seoul National U~ive~sity th~ ~~iversity of Istanbul and the
Insti~ute for Develop~eut S~udies University of Nairobi As before we
will tra~ students f~oo these institutions to serve as interviewers
The analysis of the open-ended intervie~s and of docUQentatio~ on
I ~ural develop=e~t projects will be a ~ore t~e-co~s~g process than the
analysis of closed intervie~s It will reqrire a high cotnittl~t of time
fron the principal investigators )e e--pec to hold a conference at the i
U~iversi~y of Iowa 3lO1g all the principal )clticipa~ts in the resea~ch
project d~=~g t~e spr~g 1979 to evalua~~ the newly collected data
le e~ pect to be able to vr-ite reports of t~ results during the Sl1~er 1979
(see Figre 3)
IV LlX-GS ~1) U~ILIZATIO~
At the e~d of the grant period the Uti ersity of Iowa will be able to
1) advise the Agalcy 01 the design of s~l-scale rural projects to assist
the rural poor 2) provide guidelines for social soundness analysiS of
small-scale projects for the rural areas of U)Cs 3) consult w~th the
Ag~tcy 01 the evaluatiol of rural projects ~d 4) provide LDe governments
BEST AVAILABLE DOCUMENT
)ATES
~lll
1977
~inter 1977
iprilg 1978
il mer 1978
~all
1978
ipr~ng
1979
Imiddoter 1979
University vf Iowa
Plutlning of rural develo~rent project
Barkan Kil
Alalysis of existing data
Barkan Kia
Data processing
3arkan Kin
1
I
- 4 -
Figura 3
GRAT TLfETABLE
SIT E S
Kenya Korea Turkey
Preparation of field research ural developH~lt project cOlisulta~io~ a research sites
BarkanOku=u Ki~Pai Tura~rkanKi~
Preparation of field resea-ch
Tural
Field research on rural cevelop~~t projects Bar~lOk~u Ki=Pai Turan
Co=pletion of Co=pletion of field resear~~I~ fiald researcr
Ok~u i Pai bull
f Coopletion of field research
Turan
Data analysis conference a~ong all princial i~vestigators at Un~versity of Iowa Barkan Kil Oku=u Pai Turan
Co=letiol of r~ral develop~ent
project
3arkan Kiz
BEST AVAILABLE DOCUMENT
I
- LL -
~ith speciali~cs o~ ru~al developcect ~mong their own citizens ~ho ha_
partcipatcd ~s collaborators in the Iowa projects
In the proposed project we Will test a series of hypotheses cOlcerning
the political cOllditions of rural develo=ent which run counter to CODOn
assuoptions conccrnir3 t~~ influence of rural politics on project effectiveness
As a result ~e ~dll be able to assist the Agency in designing and evaluating
such projects froe the point of V~~W 0 their political viability The
hypotheses We will test sugges~ t~at the patron-clie~t relations existing
in the local politics of zost LDCs are not necessarily i~pedients to rural
develop~ent but are aspects or the political structure which cal be used to
facilitate s~ll-scale ru=~ projects which will raise the standards of
living of _ ~ rral pomlation - As ~ result or our stuey we expect to be
able to P~-O~t the local leadership confi5~rations ~4d the relationships
between local leaders ald rural poclations ~nich are oost conducive to I
successful develcp=en efforts We believe that we will be agtle to perfect
a cat~odology for identifying the political conditions for rural develop~ent
one ~hich is transferable pound~oo the countries we have specialized in to
other LDCs
We proo~ to develop specific guidelines to assist administrators
charged with selecting evaluating and =onito~ing rural develop~ent
projects to ~szess t~esc rojects in tares of their-social and political
viability he outco~e of such projects is dete~ned not only by the
efrectiv~nass ~~=h ~hich they use scarce econo~c resources but by the
~~er L~ w=ich they e~gage the suppprt of local leaders and rural
po~ulatiocs~ by thei= effect ou social a~d econo~c equality ~d by
D[~T AvAlLA8LE DOCUMENT
- 22 -
their consequences for hwan rights ~Je plan to establish criteria by
middot~hic~ the probable outco~es of projects in these social terms can be
anticipatec
The study ~e propo e will be undertltlken by faculty at the Cniversicy
of lowe in collaboration with faculty a other ~rican institutions and
institutions in the host countries We will build on the extensive contacts
between the Co~perative Legislative Research Center of the ~niversity of
Iowa end other instituions with ~aich ~e have worked One =ajor result
of our collaborative study will be the existence of a net~ork of compe~ent
scholars both in this country and overseas experi~lced in ~orking together~
shar~g a co~on teaching and training experience i~ close contact throu~~ the
effective publications progr~ developed by the Co~parative Legislative Research
Center T~e e~~ertise of this group of individuals will be ava~lable to
oteer scholars to the Agency and ~o L~C governments for specific policy
advice The eXertise developed as a consequence of this project will
extend beyond the ~tionals of the countries ~volved since the univ~sities
engaged in ~e project attrtct stude~ts fro outside heir own countries
For ey~=ple the teaching ~d research progra in the Depar~ent of Political
Science 0 theUniversity of Istanbul heavily affected by the participation
of its facul~y ~e=bers and graduate students in our projects attracts students
throughout the ~middot1iddle East for Whom the University of Istanbul is the iajor
institution ~pound ~igher education in the region rne Institute for Developmen~
Studies is si=ilarly a focal point for students and faculty in East and
Central Africa Seoul ~atiocal Unive=sity attracts students froo other
Asia~ co~tries~ In this way the capability developed among the participant$
BEST AVAIL~BLE DOrUMENT
- ) -
in our work is diffused widely To the exte~ that the abili~y to assess
rural develop~ent p~ojects in teres of their social soundness is increased
both in the United States and in ~o~~tries r~ceiving develop=en~ assistance
the cap3~ity of racipien~ countr~es to absorb aid is ~creased
We propose to draw up an inventory of personnel available in ~~e
Cnited States and in other co~~tries who are able to consult with developen~
a~nistrators on the design of rural development projects and on their
evaluation We ~~ll draw first of ai~ on individuals w~o have been
directly associated with our ~ork in the past or on ~he proposed project
and ex~~~d the list to include graduate students and gove~ent officials
with who~ these individuals have wor~d
tole Yill utilize tha existing publication program of the Center
dercribed above to disse~inate our findings The Center has specialized
oailing lists of interested individuals and institutions in all parts of -i
the world and its reports can trerefore reach the ~st relevant audience
jirec~ly ~d re~~arly
BESl AVAIL~BLE OOCUMENT
CONTRACfjGRANTCOOPERATIVE AGREEMENT DATA SHEET
INSTRUCTIONS fjDW Complete 4 copies of the form Original SERCMSDSUP Statistical Section Copy Copy 2 SERCMSIiUP dministrative Copy opr 1 Contracting Officers COy COP) 4 SERCMSDSUP IUmin (Suspense) Copy
Missions Complde 2 copies oi the form Origin31 SERCMSDjSUF- Statistic31 Section Copy 3n~ Copy 2 Nill be ret31ned in the Missions
PART fA
ConU3lttorGranrce Name
University p~f~I~o~wa~ __ -r~ ____ ~~~~ __________ -~~ __ ~~~ ______________ ~~~~ Plorr Numt-er ApptopriJtion Number Allotment Number Project Number
930-0090-3Q13411 A5 72-111l0216 146-30-099-00-20-11 930-0090 Project Title
So~ia1 and Potitica1 Aspects of Development - Conference to Report Research Findings Amount of this Plorr I Projecl M3nagers Name and Offire Sytlbol
$10397 (increase) PDPRCP Jonatlan Silverstone Contr3ctors D-U-N-S Number
Ncgwatocs TYJlCd~3meJ j) Signature I l ~ jIf- bull G HtJ--ft u l IVmiddot
D~e
L - f - J ContractGrant Officqs typed Nailllt Signalure LJ d I -r-
plusmn t 3i-alflpta (( BLvle~ 1 I~ PARTm
ContractGranl Number
AID CSD-3294
Effeclive Date of Docum~nl Signalltre D3t~ of Documenl
Lf---C yen-~-gl tIost Courtry Institution (U iwrsity contract ONL Y)
Campus Coordinator (Uniwr ty i contract OiiL YJ
PART UL Descriplion of Cor-tractGrant P1use X ONL Y ONE item under each headiZg IF THEltrease CifYmC~e bolh ges I 30~~ O~ Nol to be completed for Amendmenl or Modlfic3lion AJigtns I III
J 710gt I I V ~ I
MOl - TYPE ACT A~ 0 G unsolicited Propsll (AIDIR 0 C Individual (Non-pe~nal senice)
~ O Cortra lGrantl ooperative Agreemenl 73101-SO(b)(6raquo 0 D Individual (ftrsonal Service)
tJl T3sk Order ( A)middot 0 H Procurement 10 be Perfocm~d by the Conmiddot 0 E UniversilyOther FAuC3lionailnSlitulions
D 2 Work Order (IQC) Ira~lor in Person (AIDPR 0 F Non-Profil Organizationlnslitutions (other
D 3 Delivety Order (Requirements) 73101middotSO(b)( Iraquo than Ed or PVO)
[j 4 Purchase Ordcr [J I Sole Source (AIOPR 7-3101-SO(b)(4)) 0 G Private Volunury Organization (PVO)
If I 2 or 3 1Lle an ~ compllle M 12 ON Y D J Imp3irmenl of Foreign Policy Objectiws 0 H International Agricultural Research Organj-
M04 - CONTRACTGRANT TYPE
o O MOA (BOA BMA etc)
o I Fixed Price (Specify fFP FPRD FPEPA FPI) _____ _
(gtIDPR 7-31 OJ SO(b)(7raquo
OK B(a)5eJection (FPR 1middot1713-1)
o L Grant iH1ndlOok 13)
o M Do Nol Ue
D 2 Cosl Reimburemenl (S~cil) CR CPFF 0 N Cooperative t~reement (Handbook 13)
CS CPAF CPIF) ~ 0 O Small Business SeImiddotAside (FPR 1middot1706-8)
o l Cooperative Agreemenl ~ 0 1 Overseas Procuring AClivilies (AIDPR
04 Grant Gener31 Supportmiddot 0U ~ 7lIOI-SC(b)(2))
o S Granl - Specific Support ~ ~06 E SER VICE
g ~ ~~t ~~(d) ~~ ~~ ~ eci~a~~~~~ogram Projeci
o amp IQCs ~ ~ relampted excepi A amp E Services)
o 9 Host Counlry ContraclGrnnt 5lJ C amp E Services
middotComplele ONLY through ~Sl ~~ 0 D Construction
M05 SELECTION PROCEDURES 0 E- Reseuch
o A Formally 3dverliscd (IFB) (A1DPR 7middot24 amp
FPR 1middot24) ~ o B Negoli3ted Price Compelilicn Gencr31
Procedure (RFP) (-JDPR 7456)
Dc A amp E (AIDPR 7410)
0 D Ed Inst andor Inl1 R~arch (-JDPR
74 5)
o E Collaboratoe Assisunce (IDPR 7458)
C F Predominant Capability (IOPR
73IOI-50(b)(l)
AID 1420-49 (179) - Page I
D F Technical Services to AID (other than trainmiddot
ing usually o~ating expense)
D G jraining SetVice for AID
o H Equipment Materi3J~ Supplies Commodities
D I Translation Service
~07middot TYPE CONTRACTORGRA-nEE
o A Firmmiddot AU profil-rn3king fUms (other than
Aamp E)
J e A amp E 8r~
zalion
o Public Inlmlational Organizations (UN
Agencies ICRC Wocld Bank elc)
(H8 J 3 Chapt~ S)
M08- TYPE AW~RD
o A S8 Sel-Aside - Awarded to Non-Minority
o B S8 Set-Asidemiddot Awarded to MinXity
o C_ S8 NOI Set-Aside - Awarded to Non-Minority
o D S8 NOI SeImiddotAsidemiddot Awarded 10 Minority
o Eo amp(a) S8A Awarded to Non-Minority (Womerl-
Owned Veterans etc)
o F 8(a) S8A Awarded 10 MinorilY
o G Personal Sen-ice ConlrdCt bull Non-Minority
o H IeJSDnal Service Conlract - MinorIty
o I Individual NonmiddotPersonal Service Contraci -
NonmiddotMinority
o J 100Jigtiduai NonmiddotPersonal Service Contracl -
Minorily
o K NOI Small Business (Univ NonmiddotProfit Large
Firms) Non-Minorily
o L- NOI Small 8usineSl (Univ Non-Profit Large
Firms) Minorily
o M US Govcrnmlnt
(Connnued on Page 2)
BEST AVLABIE DOCUMENT 1 I
--
ua ) R I GI NAL 9 bull
MODIFICATION or GRANT PAGE 1 of 2
AH 1 2 Effective Date 3 Grant No 4 Effective Date
Amend_at Ro 5 April 15 1981 AIDCSD- 3294 8-11-71
-s CRANTEE (Name and Addrea) 6 Administered by -Professor Gerhard Loewenberg -Office of Contract Management Cbrnparative Legislative Research Gente Central Operations Division Dept of Political Science am Branch University of Iowa Agency for International Developn~nt Iowa City Iowa 52240 Washington D C 20523
7 PIO No 930-0090- 3013411 A5 8 Previous PlOTa -
Appropriation No 72-11110216 93i-1l-995-l36 930-11-995-136-73-3078103
Allotment Symbol - 146-30-099-00-20-11 wunt Obliga ted by this ~ndrnent - $10397
The above numbered Grant is hereby modified as follows
1 Anotmt obligated prior to this rurendment 2 Amount obligated by this amendment 3 Total obligated anount (1 amp 2)
Delete the amJmt $465000 and substitute in lieu thereof the ammnt I$47S 39-7 ~
FUNDS AVAIrABm
~~ - APR 13 1981
PrO~A~~5iors
$465000 $ 10397 $475397
OffiCE Of fIN~(1 ~~rE~E~T __ _ 10 This amendment 11 entered into puruant to the authority of the Forelgn
Assistance Act of lS~l as amended Except aft hereln provided all terms and ~~ndi~ons nf the grant rcferpnccd in Block 13 remain unchsnged and in full force and ~ffcct
11 original and six Crantee 18 requlred to aign thh document aad return 1- eopics to issuing
ffiee
~~~ or printed) BUSINESS MAHAGR amp bull
Tille TREASURER
UNITpound) STATES OF AHERICA AGENCY FOR INTERNATIONAL DEVELO~NT
BY_-1(1o-_1lt--= 13middot~_1_~ __ K R B1uteau
(Name typed or printed)
Tltle~ ____ G_r_a_n_t __ O_f_f1_c_e_r ____________ __
D3tC APR 2 J 7997 Dolt 9 APq 1981
BEST AVAILABLE DOCUM NT ___ 0 HLGlNAL - I 1 J 1 ~ )
- 2 -
AID ftmds in the am)tmt of $10397 are hereby provided for the activities lmich are described in your proposal (including Budget Stnmnary) entitled CDnference to Report Research Findings on the Study of Political CDnditions for Effective Small-Scale Rural Assistance Projects in Kenya Korea and Turkey dated February 17 1981 and made a part of the Grant b reference
BtTDGET StMMARY
Line Item
Travel
Per Diem
Other Direct Costs
Less existing 211 (d) grant funds
Total Amount Obligated by this Amendment
Estimated Costs
$ 5888
5100
_ 2500 $13488
_ 3091
$lO39
Note Indirect costs or $395086 associated with these activities will be contributed by the University of Iowa
BEST AVAILABLE DOCUMENT
~RIGINAL
- CONTRACT IGRANTCOOPERA rIVE AGRElEMI~ SERC~SDSlP Actio) Monitor
SERCMSDSUP Action Office
I
INSTRUCTIONS AJDW - Complete 4 copit of tlh fonnmiddot Orisina iCMSDfSUP Sutistical Section COP)middot Copy 2 SERCMSDjSVP Administrative CoP Copy 3 Cont-acting Officers COP) Copy 4middot SOSUP Admin (Susptnse) Copy Missionsmiddot Complete 2 copies of the form or~aI SERCtSDSUP Statistical Section Copy and Copy = wiU~ retained in the Missions
0 PART IA
Effective Date of Document tJ
Delivery Order (Requirements)middot
o 4 Purcluse Order
bull If I 2 or 3 have an bull X compl~te M I 2 ON L Y
M04 - CONTRACTGRANT TYPE
o O MOA (BOA BMA etc)
o 1 Fixed Price (Specify FFP FPRD FPEP FPI) ___ _
o 2 COli Reimbursement (S~cifY CR CPFF CS CPAF CPIF) ______ _
o 3 Cooperative Agreement
o 4 Grantmiddot General Support
o S Grantmiddot Specifi Support
o 6 GraDt 21 led)middot
o 7 Do Not Use
o amp IQCs
o 9 Host Country ContractGrant
middotComplete ONLY through M 5 1
MOS SELECTION PROCEDURES
o A Formally advertised (IFB)(AJDPR 7middot24 amp
FPR 124)
o B Negotiated Prire Competition General
Procedure (RFP) (AIDPR 7456)
o Co A amp E (AlDPR 4 I 0)
o D Ed Ins andor Intl ReStalch (UDPR
7457)
o E Collaborative ASSistance (AIDPR 7458)
o F Predominant Capability (AIDPR
7-310l-50o)(3)
AID 142049 (1-79)middot Page J
o H Procurement Co be Performed b~ the Conshy
tra~tor in Person (AlDPR
7middot3t OI-SO(b)(Iraquo
o I Sole 5gturce (AIDPR 7middot3101middotSO(b)(4raquo
o J Impairment of Foreign Policy Objecdv~
(AIDPR 7middot310 ImiddotSO(b)(7raquo
o K 8(a) Selection (FPR 1middot1713-t)
o L Grant (Handbook J 3)
o M Do Not Vse
o N Cooperative Agreement (Handbook 13)
o O Small Business SetmiddotAside (FPR 11706-8)
o P Overseas Procuring Activities (AIDPR
7middot3101middotSO(b)(2raquo
M06middot TYPE SER VICE
o A TtJining of Participants
o B Technical Assistmce (Program Project
related exc~pt A amp E Services)
J C A amp E Services
0 D COltl~ruction
0 E Research
0 F Technical Services to AID (other than trainmiddot
ing usuaU Y operating ex pense)
0 G Training Service few AID
0 H Equipment Mat~rials Supplie~ Commodities
0 I Translation Service
07middot TYPE CONTRACTORGR TEE
Firmmiddot All profitmiddotmaking fu-r1s (other than
AampE)
o 9 amp E Firms
I Prcct NumbcT
I
Contactors D-U-N-S Numbcr
I) -S--f(j
o C Individual 0-lon-~rsora1 service)
o D Individual (Pet-sonal Service)
o E University lOt her EduCltionaJ Institutions
o F Non-Profit Organization Institutions (other
than Ed or PVO)
o G Private Voiuntary Organization (PVO)
o H International AgricultwaJ Research Organmiddot zation
o I Public International Organizadon~ (UN
Agencies ICRC ewld B3J1k etc)
(HB J 3 Chapter 5)
M08middot TYPE AWARD
o A SB SeImiddotAsidemiddot Awarded to Non-Minority
o B SB SetmiddotAside bull Awarded to Minority
o C SB Not SetmiddotAside - Awarded to Non-Minoril)i
o D SB Not SetmiddotAside - Awarded to Minority
o E ~a) SBA Awarded to Non-Minewity (Womeli
Owned Veterans etc)
o F 8(a) SBA w-rded 1o Minority
o G Personal Service Contractmiddot Non-Minority
o ~ Personal Service Contnct - Minority
o I Individual Non-Personal Sence Contractmiddot
NonmiddotMinority
o J Individual Non-Personal Service Contractmiddot
Minority
o K Not Small Business (Univ Non-Profit L1lge
Firms) --vn-Minority
o L Not Small BUSiness (Univ NonmiddotProfit Large
Firms) ~inoriy
o M VS Government
(Continued on Pcge 2i
t bull - t ~ J f q
ORIGINAL bull MODIFICATION OF GRANT
1 2 Effective Date
Araendllent Ro 4 12-2-80
s CRANTEE CHace and Addrels) Professor Ger1ard Lo~middot enbelg Comparative Legislative Research Deartment of Political Science The Lnivp-rsity of Iowa Iowa City Io~a 52240
7 PIO No NI A
Appropriation No 72-11XHl26
Center
Allotment Symbol -426-30-099-00-3~-71 Amount obligated by this urendment-O- I
3 Gnnt No
AIDcsd-3294
PAGE _____ 1 _of-L
AlI 4 Effective Date
8-11-71
~ Admlnlltered by -Office of Contract Management Central Operations Division OTR Branch Agency for International Development Washington DC 20523
8 Previous PIOITs -
931-11-995-136 930-11-995-136-73-3078103
9 The above numbered Grant is hereby modified as follows
Supplement to Grant
Change the duration period sentence to read
The Duration Period for this Grant shall be August 11 1971 through December 31 198]
1 Amount obligated prior to this amendment $465000 2 A~unt obligated by this amendment -0-3 Total obligated amount (1amp2) $465000
----------------_- - ------- ----_- ------ 10 Thh lImcndmcnt is entered inlo punuant to the authority of the Foreign
~ Assistance Act of 1961 86 amended Except a~ h~reln Z II provided all terms and condi tions nf the grant referenced in Block 3 remain ~~aunchlinged and In fu1l force and effNt cnltUI cJ)za 11 o 4 J bull
Et~ ai~a gtUoItshyc Z P=u
original and six Grantee t requi red to sign this document and return 1- eopies to 1Bufng
office
~ 12 GRANTEE TES OF AMERI CA
(Name typed or printed) bull
TJlle Director Comparative Legislative liecearell CeQtoQl
Date 12880
------------------------------------
ONAL DEVELOPMENT
By ----~--~~~~---------------------
prinled)
Grant Officer Title --------------------------------
J)oll( 12-2-80 -----------------------------
BEST AVAILBLE DOCUMENT i je
- 15 -
Ile Univelsity of 10Ira will eadnister- the Grant thJotg~ its normal
a)1 iristrative char-l1els ad i1 Eccordance imiddotlith its ncrTal olicies and
operatirg procedures 7he Director of the gr~l1t-s~~ported program
Hill be a senior faculty eriOer of the Gniyecsity of IO~-ia -with extensive
expe~ie~ce in the subject field Associate Directors w~tb similar
qtalifications -aill also be appointed 7he Director- and Associate
Directors ~dll serve as eibers of t~e Inter-University Advisory CC1gtr)ttee
established to cooidinate _u bullbull ID gra1t-stpported programs at IOia Dul(e
lniversity a1d the University of Ha- aii Ll1 this field These relatiol-
ships are i~dicated in tee follc~dng a~inistrative organization chart
IX Ul~vsity Ccntri1uticn
T1~ ~h-ersity of IQ(a aSSures ALD that this Grant middotiill not
replace existing ftnds for STr current activity and imiddotrill be additive
to existing prograrrs of tCe lJniversity In direct sp~ort of this
Grat ttc University ~ill provide a) Acmi1istratile costs including
tie of senior officers of ttlt University b) Office ~ld research space
ald library and cor-puttr facilities c) Provision of a1cillamiddotCjr 1niversity
personnel -or consultation o~ ~middotjQrk nth the progral
X Reports end 5evie~-Ts
There i-ill be sub~itt-=i al arnual t2ctnical report for the purpose
of AID s revie- of activities under te Gant Tnis idLl include
a11 e-llation of prcsr~ss aidnistratve ar_c fiar~cial corsicer~tior~s
p~s cr tr foJlJ-middotire ear ~i disctlssics of the ossible l~lizaticn
BEST AVAJLIl8E OOCI1MrNT
~
- 16 -
A~~inistrative O~ganization
Ice Board of Regents of tle State of Im-la
-Iesicent of the University I
1 rOfcst Jf t-3 University
Den College of Liberal Arts
r Chailan DcptiEt of olitical ScieJce
Inter-G~iversity
Acisorr Corcittee
PcgrG21 Director Associate Progra~ Directors
Liaison Arcrge~~nts d ~h I I~~erested Plcfessiona1 I Perso~el j
I _
I 5cu1ti (full or PmiddotLG-tire l Asscci~tes a1d otllei non-Io~il
3ecip5ents of Gr3-1t stPPC1t Gr~cue~~e S t1~lcnts St2~retQi~S1 Data Lbed~1 31
Ln 18 r1icia 1
LO1t c~lce Factcj~1 ts
BEST AVAILABLE DOCUMENT ( ( V-t
- 17 -
of te eo17i~g cCpterce br A I D rLld ethers In addi tion there
aS3essr~ents of the gr31t
middot l ~ lI ~ _ _ _ co~~~r~~ing ~~iversiti~s md tne rrctitoring ALD office
7re l~yersity of Ie~middot~ budget of $26500 is to be deveted to the
cemiddotelgt~e~ of lstituticnal cefete1Ce in comparotive legisl~tiye studies
~t Iomiddota c t~ the exalsi0 ot a date b~L-lt ~ hich 1fill be utilized as
a ecle for icrec3ing te scope of tbe sub-specialty
T - 1 f 1 __ middotja r S Ctdget a9roxir~tly 33- has bee allocated to a
cemiddote Lp~l t rirc ipally C actlty re leased tirre for data ccllection
ai 0 3alres f~r i~~er-ieers in field research 3d secretarial
assi5ta1ce nCt2 11- of t~e Icmiddotre oudge~ is iesignated for an
ArCE_1 A~ite s(101a~middot 2d one 0 ore scnolals froQ LDe or
s1lllrt of greluate stucents in the
BEST AVAfLIlBLE DOCUMENT
- 18 -
Finally approximately 19 of the budget will be devoted to the
proposed data bruL~ that will archive not only data generated from the
research of scholars at Iowa Duke and Hawaii but also at other US
and foreign institutions Primary and 3econdary an~ses of these
data will become an integral part of ~omparative legislative studies
curricula The ability to utilize the data bank for teaching purposes
also should have a significant impact on professional preparation ofmiddot
future legislative specialists In summary the funds will be
allocated to research teaching and training activities tha~ are
entirely conson~~t with the philosophy underlying the utilization of
2ll(d) grants to achieve institutional development
Conclusion
The University of Iowa regards the research and teacbing components
of this program to be closely related an1 zrutually reinforcing The
University of Iowa offers a strong base for the pro~ram because of the
interests of faculty members here now because of their contacts with
scholars in this field in other Americ~~ and foreign universities
because of their experience with the international exchange of faculty
and because of the distinctive data gathering and processing facilities
available in our Laborator~- for Political Research The program which
we have formulated is designed not only to accomplish specific
research and teaching objectives but to contribute to the long-term
development of the University of Iowa in an area in which it has already
exhibited special interest
BEST AVAILABLE DOCUMENT
~ I) - 0
- 19 -
The program on Comparative Legislative Studies with support from
this Grant rill develop the capacity at the University of Iowa to
provide assistance under separate financing arrangements to developing
countries in a number of ways and through a varieiy of channels This
assistance which would be arranged for end negotiated separate~ from
this Grant may be in the form of technical assistance advisory service
training research and information exchange etc It will be available
by mutual agreement to appropriate agencies national and international
public private a~d mixed and directly to the less developed countries
Most especially this added special competence will inevitably become
incorporated through the processes of scholarship and education into
the competence of US and foreign scholars and institutions concerned
with this topic of great significance to the developing and the more
highly developed countries alike
BUDGET SUMMARY
UNIVERSITY OF IOWA
Salaries
Graduate Student Stipends
Fringe Benefits
Travel
Equipment and Services
Other
TOTAL
$173090
32400
19209
13800
6501
20000
$265000
BEST AVAILABLE DOCUMENT
d bull
srjmiddot (~~ jjXilO
IO
rmiddotmiddot ~middotmiddotrl f)~~ 7 middot 1 ~A~~ middot1 rmiddot middot~ rt bull middot bull bullbull I ~ i bull bull ~ middotv- middot bullbull ~ I
1 so bullbullbull l ~--~-- - - ---- ~ V~ i Jlgt ) bullbullbull ~(lr v ~I ( tr_ 1middot-middot 1 bullbull 1
il l~ J
2 c~loto
BEST AVAILABLE DOCUMENT
(C
Dr Willa~d l Boyd Presicient University of Ima iowa City Iowa 52242
Dear Dr Boyd
4 AUG 1977
amp
FIJNDS AVAnASLe CpoundNrftAamp sEIMCEs DMsON
AUG11 ~n te t6417 ~77
Subject bull Supplsectferit-tJF-G~middotNomiddot~middot AIOcsd-3294
t middot-rrPJ1 3
I am pleased to inform you that pursuant to th~ auth~rity contained in
S-cction 211 (d) ooC the Foreign Assistance Act of 1961 as amended a sup
plemental grant in the amount of $200000 is h~reby r~de to University
of rCi1a These supplement]l grant funds areprolided to support the
activities which are described in your Proposal dated May 6 1977 for
the implementation of your program entitled Political Conditions for i
Effective Small-Scale Rural Assistant Projects
---This sup~lemental grant is mace to University of Iowa en condition that
yo~r institution shall administer the funas provided under this Grant fn
accordance lith your r~ay 6 197 proposal (including Budget SUmlilary) and
the Standard Provisions (as incorporated by Amendment No 1) which have
been agreed to by your instit1ltion Ti) the extent of an inconsistency
between the Proposal and the Standard Provisions and any otherprovisfons
which ar~ made a part of thi5 Giant by reference or other~iSe the Sta~d~
ard Provisions shall control
The new Duration Period for this Grant shall beAugust 11 1971 through
August 10 1979
The total amount of funds obligated under the grant is increased to reflect
a new total oblgated amount of $465000
Please sign the Statement of Assurance or Compliance ana the origfnal -
and seven (7) copies of this letter to acknowledge your understanding of
the conditions under which these funds have been granted Please return
the Statement of Assurance of Compliance and the original and six (6)
copies of this supplemental Grant to the Office of Contract Management
Attachment May 6 1977 Proposal and Budget SUfiT1a ry
UNIVERSITY OF IOWA
Roberw bull OBrien fficer
Ce al Operations Division Office of Contract Management
AC~E~E~C--_ 0 BYpoundk~~ cH
D C ~lpoundSTtR5BA T ITL E ( PfeampoidPilt for
tee ment amp Research DATE 9-22 -77 (d~ ~~Bduate Ctl~1e~e
BES i AvAILdLt UOCLJMU~ I
211(d) Grant Program
Proposal of the University of Iowa
POLITICAL CONDITIO~S FOR EFFECTIVE SMALL-SCALE
RURAL ASSISTA~CE PROJECTS
Submitt~Ci to
Civic Participation Division AID
May 6 1977
Amount requeste~ $ 199987
BEST AVAILABLE DOCUMENT
I TdE DEVEIOP~T PROBr~
P~litical Conditions for Rural Development
The Cocparative Legislative R~search Center of the University of
Iowa proposes to ~~dartake a two-year study to investigate the role of local
leaders and the rural public in theimplecentation of small-scale develop~ent
1 projects in less developed countries The study will use and extend the
capacity ~hich the University of Iowa developed under a 211(d) grant to
investigate and assess the impact of loeal politics on rural development
~t the co~pletion of the s~ Iowa will be in aposition to advise the
Agency on the design ~nd evaluation of s~ll-scale projects which will be
politically viabe a~d effective in ass~sting the rural poor ~
As students of development w~ approach our task with the assumption
that the proble~ of development and underdevelopment are funda~entally
ones of political econooy and a~ such can only be solved through a
simultaneous considerationof economic and political factors Efforts
which foc~s aloost solely on economic factors like those of ma~y
organizations engzed in dipersing foreign aid or efforts which focus
almost exclasively on political factors fail to take account of the
interdependence between these two dimensions of underdevelopment and
lwe have for~ulated this proposal in a canner consistent witr the cu~rent policies ard interests of the Agency We have been guided in our tsk by four Age~cy doc~e~ts Impleo~~tation of New Directions in Developnent Assista~c~~~ ~eport to the COmlittee on International Relations on Ilupleoenshytatiun of Legislative Refo~ in the Foreign Assistance Act of 1973 (July 1975) rItevis~d Projec Developiel Review and Approval Systeo (A I DL Circular A-21 Aril 23 1975) SH Butterfield Draft SUIilZ3ry StateUlent of a Practical Agelcy Approach c aural Devalopilelt (AATA February 28 1975) Cicci A Coce~ual Oie=viamiddot middot Rural Development No1 (lWorilting GOU O~ tha Rural Poor February 1975)
- l -
can meec with only l~ted success
Our concern with the i=pact of local politics on the process of
rural developcent is a result of our interest in the basic question of
how LDC governm~nts and the donor agencies which assist them can
become core effective in raising the standard of living of the rural
poor We seek answers to the following aspects of that basic question
1) What political conditions must exist both within rural communities
and between theo and central gove~ents to raise agricultural production
w~ere small-scale agriculture is the do~nant pattern 2) Vnat are the
political conditions for a core rapid expansion of the informal manufacturing
and service sector cocprised of labor intensive small-scale industries
located in the rural ar s 3) What political structures and activities
are mase crucial for the provision of welfare and econocic supporc services--
such as agricultural exeension mar~eting and transportation--to the rural
areas1 4) ~~at Folitical conditions oust exist to insure that economic
growth in the rural areas is not accowpanied by excessive and intolerable
inequalities between socio-economic classes andor between regions1
Center-Periphery Linkage in LDCs
To deter~ne the political conditions for rural development we have
in previo~s s~udies exacined the institutions and processes through which
rural populaticns are integrated i1to the national politi-cal systetlS of
middot~he countries in which they live A gap exis~s in most less developed
countries bet~een the peasantry residing on the periphery and the c~~tral
political ~stiutions staffe1 by ~~estern-educated bureaucratic elite
We are aware of the other major ~sti~utional discontinuities which comprise
J
4 middot~~1 the basic cleavage between the developed and underdewmiddoteloped sectors of
these dual societies Bridging these gaps is essential if these so~ieties ~ are to develop into viable nation states For until those Q~ the periphery
of the poli~ical syste~ participate in that system and support and comply
with the authority of central political institutions neither economic
development in ~he rural areas nor a stable polity will emerge
Bridging the discontinuities in these new political systems requires
establishing and institutionalizin3middot1inkages or networks for co~unication
and exchange of resources between decision-makers at the center and the
rural public on the periphery Three types of institutional linkages are
most prominent in less developed countries 1) those conSisting of the
state administration composed of the bureaucratice1ite 2) those consisting
of a revolutioncry political party cocposed of the ideological elite
3) and those conSisting of patron-client hierarchies composed of the political
entrepreneurial elite
Of these three linkages consisting of the state administration are
the cst extensive and pervasive in virtua~ly every LOC Such linkages
however exist primarily a~ instruwents of the center to penetrate the
periphery Central government officials are formally charged with bringing
develo~ent to the people This is a ~issi~n which conceives development
as a process ~hrough which a traditional peasantry is transformed and
assimilated iJro the DOdern center which is steadily expanding to embrace
it Agents of the center invariably have more resources to achieve their
objectives than do local political leaders but because they are frequently
strangers~ the communities in which they function they are often unable
- It -
co implement the policies of the center without working through the
local establis~ent
Though somctices significant linkages consist~g of revolutionary
party organizati~ns such as those found in China and Vietnam do not exist -
in most IDCs beca1Se of the special historical and e~omic conditions
required for their development As wi~h the administrative state however
the linkaampe apparatus of such political patties is prUlarily an instrument
of the center whose mission is to penetrate and mobilize those onthe
periphery
In contrast patron-client hierarchies are linkages which represent
the periphery at the center and mediate betwee~ these two disparate
sectors of the political systec Thcugh norcallymiddotovershadowed in scale
by the state administration patron-client hierarchies are found in almost
~very LDC a~d constitute the ~st significant network through which rural i
populations and their leaders influence the decision-~king process at
the center Patron-client hierarchies exist in a wide variety of org~iza-
tional fores ranging from info~ ~ec~~rks of individual olitical leaders
in uno-partyll systelS in S~b-SaharaI4 Africa to extensive political machines
in both one-p~rty (Africa Mexico) and ~u1ti-party systems (Turkey India)
Despite their importance as the pricary means through which peasants in
LDCs particiate in their political systems patron-client hi~rarchies
have only recently become an object of analysis by students of political
developent and do not appear in even the most sophisticated studies of
2 See Jo~ Dunca owell Peasant Socie~y and Clientelist Politics Aerican Politi~ Scielce Revietol 64 (June 1970) pp 411-25 Rene Lemarchand anc_ Keith Legg olitical ClienteliSJ and Ethnicity in Tropical Africa Aierican Political Sc~ecce ReView 66 (Y~rch 1972) pp 68-90 James C Scott PatronshyClient Politics a~d Political Change II 1tlerican Political Science Revie~ 66 (~arch 1972) p 91-113 and Friends Followers and Factiols bull edited by Steffan Sc~~d and James C Scott (Berkeley UniverSity of California Press 1977) bull
- 5 -
3 economic development Ad~niscrators of developmental assistance progracs
have too often regarded patron-clienc hierarchies as ~ped~ents to
develop~ent instead of recognizing cheir potential utility bull
~ Findings on Patron-Client Hierar~hies --
The importance of pat~on-clienc hierarchies for linking the periphery
to the center is one of the major findings ~erging from a study of the
relationships betueen l~gislators an~ their constituents in Kenya Korea
and Turkey ~hich the Cowparative Legislative Research Centpr is nov
comleting uader its 21l(d) grant from AID This study has av~mined the
creation of linkages between the periphery and the center through ~ore
than lO~OOO interviews with members of parl~ent local leaders and
peasants in t~e three countries The findings are being systewatically
set out in a book-length monograph Nearly a dozen research reports have -
uready appeared (see Appendix C) ipropositions about the nature of
political behavior of rural populations an~ the roles of local political
elites de=ived from the research~ can be s~rized as follows
1 Elected representa~ives play a significant role in the creation and mainte~ance of linkages be~een the center and periphery by developing local political achines in which they function as patrons of their constituents In turn thay s~rve as clients of political leaders of national stature who control central government institutions
2 By atte~pting to establish linkages based on patron-client relatio~shi~s elect~d representatives are responding to public expectations chat their prizary duy is to obtain resources from the center to proffiote local develop~ent ~iany elected repLesentatives spend most of their time on self-help co==unity development projects such 3S the building of schools health clinics irrigation works arid roads because such projects provide
3For exa~le ~ a widely respec~ed a~d useful analysis of rural deve16p~ent in Sub-Sahara~ Africa L~ Lele of the World Bank notes the problems of creating an adoini5~raive infrastructure in the rural areas that is sensitive to local socio-oliical conditions She does not however consider how local leaders operating o~tside of adcinistrative structures ~ night contribute to the developne~t 0 the rural areas See ~~ Lele ~ Design ~ Rural Develop~ent Lessons ~ Africa (Balt~re The Johns HopkiD~ Uciversity Press 1975) r) pp 127-61 i ~
- 6 -
their const~tuents with desired se~ices ~~d a= the sa~e time provide the reresentatives with an orgacization Yhicn can be used as a political base
3 l-tore than 90 perCel1t of the rural population is capable of articulating the p~oblems facing their local co~~ity and two-thirds discuss th~e proble~ w~th their fellow citizens on a regular basis
4 Three-q~rters of the residents of the rural areas can identify the public ofpoundici~s who serve thec--both civil servants and elected represcrtatives--by na~e Most are knowledgeable about the activities of these officials Alcost one-fifth coreover have discussed co~~~ity probl~ ~ith these officials particularly those working at the grassshyroots level Residents of rural villages actually have a higher level of political knowledge than their counterparts in the towns
5 Elections in the rural areas evoke a highly rational attern of voti~g despite the effects of ascriptive or traditional co~siderations Inc~ens are pri~rily evaluated in terms of their record in fulfilling the public r S elpectations of what they should do Elections are essentially referenda on inc~entsr perfo~ce especially their perforwance in the area of constituency servi~es such as bringing development projects to the districts bull
6 Local developcent projects have a relatively high s~olic value generating conscitutency support for local leaders and the central government at low cost
7 These projects help huild a local political infra-structure which can also be utilizec by central govern~nt civil servants to implement other policies designed to achieve rural develop~ent bull
The Icpac~ of Local Politics on Rural Projects
Having explored the developtent of linkages through which the periphery
is represented at che ~enter and through which the periphe~ attemp~s to
share in the ceners resources we now propose to build upon our initial
investigations by e~ing in greater detail the impact of local political
conditions on specific problecs of rural develop~ent We propose to
exacine the develop~ental activities of local leaders ~nd the rural public
by eX2~Ding a saple ot fifteen to twenty smalL~scale developwent projects
in each of ~he three countries which constituted the sites for our initial
8ESI AVAILABLE DOCUMENT 1 ~ - of
- 7 -
study of center-perhiphary relations The appropriateaess of this approach
and the ~ethodology through which it will be ip~emented is discussed in
section II Because the ~ethodology of investigation is in large part
the result of our previous research experience we fizst turn to a revieW
of the existinQ __ ~petence of the Comparative Legislative Research Center
in this area
II GRAXTEES EXISTIXG CmET~CE
In 1971 the University of Iowa received a 211(d) grant to develop
its capacity to do research on the role of elected represent~tives in
the process of modernization On the b~sis of this grant the University
established a research center which planned and carried out a research
project on the role of elected reres~~tatives as links between the central
gove~ent and rural populations in K~ya Korea and Turkey The project -i
served to develop t~e University of Iowas research capability in this
field esa~lished ties between the University and scholars in the bost
countries and generated a large and uniqu~ body of relevant data
In that project we fo~ussed our attention on tbe activities of elected
representatives in their constituencies notably in their contacts with
local political leaders voters and civil servants To determine tbe
nature of the linkage function performed by tbe representatives we
designed our research to explore the subject from three perspectives
1) we eXaojned ~~a ~ubject at tbe grass roots by conducting a series of
sample surveys of 200 to 300 adults in each of 12 to 14 parliamentary
constituencies in each cf th~6three countries 2) we examined the subject
at the center by intervie -ing MIls from the constituencies in which we
had conducted S3mple surveys ~nd higher civil servants with whom they
had contact and 3) ~e ex~~ined the subject from an inter-~diate level
by identifying aud ~terviewing local social and political leaders in
the MPs constituencies We used survey research methods because we
were embarking on the study of an entir~ly new subject for which little
relevant docu=e~tary data existed and on which there were few secondary
sources As a result ~e have unparalleled experience with survey
research in the rural areas of less develo~ed countries
The surveys which constituted the cajor part of our field work were
planned in collaboration ~~th scholars from the host countries They were
carried out in each constituency by student interviewers in the appropriate
language ~re than 10000 respo~dents were inteDViewed for the project
Given the visibility and sensitivity of this undertaking approval for
the research was sought and obtained from the host governments prior to -i
the collec~ion of data ~o objections were raised by these governments
at any stage of the research The data obtained have been made available
to scholars i~ the host co~cries and some of the basic findings have
been published in periodicdis in these countries
The Comarative Legislative Research Center ~hich ad~nistered the
project has aisO developed extensive experience in the study of political
leadership in other countries It h3s obta~ed substantial support from
the Fo~d Foundacion and the Rockeeller Foundation has worked in
collaboration ~~h European as ~ell as Asian and African scholars and
is engaged in a ajor study of the role of elected and non-elected leaders
in the oanag~~t o~~ocial conflict Because it has conGucted research
in a variey of setlngs the Center has an ~ceptional capacity to
- 9 -
determine how the relationships be~een political institutions and
economic p=oble75 differ in develoPed and less developed countries
In the course of the major research projects the Center has administered
it has gained highly specializpd ~p-i ce iI identifying 1Olitical leaders
in a great variety of settings conducting systematic interviews with
them collaborating with scholars in the host countries and in coding
and utilizing large files of data to answer specific research questions
The Center has ~lso undertaken to publish the results of its research
in three fores It issues codebooks to the data enabling scholrrs at
other locations to use the data expeditiously i~ publishes research reports - in the form of Occasional Papers and it publishes a scholarly periodical
devoted to the presentation of research findi~gs to an inteIT~tional
audience
The Center utilizes the data ~ysis facilities of the Laboratory
for Political Research of the University of Iowa and drawS on the unusual
n~er of secialists in comparamptive politics and survey research in
~~e Lniversitys Departmen of Political S~ience The Center itself I
has the services of an administrative secretary and a clerk-typist
~intains its~o~cn extensive archives and its o~~ publications program
It is e~uipped to assist scholars and government officials outside the
t~iversity of Io~a The participants in its p~ojects are full-tioe
faculty ~e=bers ~hose undergraduate and graduate teaching is closely
related to their research As part of the teaching program the Center
has attracted students from the countries in which the research projects
have been conducted these students have participated in the projects
bull J
have obtained training in other fields of political science have received
University of Iowa degrees~ and have ret~rned to teach and to do research
in their own countries
III PURPOSE OBJECTIVES AID METHODS
Purpose of Study
The purpose of the proposed grant is to extend the capacity of the
University of Iowa to determine the political conditions in the rural
areas of less developed countries which favor the establis~ent and growth
of small-scale developoent projects ~e objective is to put the University
of Iowa in a position to assist the Agency in designing small-scale rural
developent projects providing guidelines for carrying out social soundness
analyses of such projects and adviSing in the evaluation of projects
We will discuss the utilization of~t~e Universitys capacity in detail in
section IV below
We propose to concentrate our investigations on the political conditions
surrounding s~l-scale ru~al projects Such projects have distinctive
advantages They waximize the political participation of the rural populations
both in det~~-ining the direction ~d implementation of develop~ent efforts
and in defending the interests of periphery vis-~-vis the urban-based
bureaucratic elite S~ll-scale projects stimulate entrereneurial activity
on the part of the rural citizens and growth of the info~l canufacturing
and service sector Tbey require less lead tice and less administrative
c~erhead to ~eco~e operational than large-scale capital-intensive projects
centrally administered Such projects yield rapid and direct benefits to
1
j
the rural
- 11 b - ~~1
populations and are consistentwith their hUIlaD rights--both
political and economic However~ small-s~le projects pose s~ecial probl~s for administratcrs of developceocll assistance progracs because
they require the donor co assess the local olitics particularl the
rural politics of t~e host country
Develop~c adoinistrators pr~rily conc~rned with assisting rural
populations must therefore recognize the range of political variables
affectL~g these projects Small-scale projects offer great opportuoities
for develop~ental assistance progr~ because they can be easily targeted
to help rural populacions require low capital costs and need no be
concentrated in one or two localities Such projects ho~ever~ ~equire
the a~istrator to have ~re political kno~lecge than large-scale
projects Oil which his priJlary tas~ is guiding the work of other experts
Questions for ~Investigation
To detercine the politi~al cc~diicilS ~st conducive to ~he establ~~ent
and gro~h of scalI-scale rural projects ~e propose to address our inquiry
to the following specific questions
1 To what extent and why co local political leaders seek to establish s~~l-scale develop~ent projects within their co~unities
2 To what extent and ~~y do local leaders other than politicians initiate andor provide leadership for s=all-scale developm~t projects
3 Bot do the relations bet~Jeel different types of local leaders (political and non-political) and bet~eeo these leaders and central gove~ent civil servants posted to the rural areas affect the conduct of develop=ent projects
4 How do existing authority ~eLationships between these different leadership grous and the rural pub~ic affect the organization and operation of s~l-scale develop~ent projects
- 12 -
~
5 lhlt is the nature 0 pclgtlic participation in the establishlent and operatio~ of s~l-sclle projects and ~hat are the outcc=es or this participatioe Gucer w~at conditions is such participation ~ost likely to occur
We seek a~swe=s to t~cse questio s L order to determine the effect of
different co~iigurations of local leadership and public participation on the
outcomes or small-scale rural projects te are particular1y concerned with
the ~pact of these configurations on the rate of econocic growth and the
distribution o~ rIGSlth ithin the loal cOlllUlity ~ on the perce~tions of
s~ll-scale proj~cts by central govern~ent per~oncel and the rural public
anmiddot on the organiation or flture projects
To a~swer these que~tions it is oar intention to study the initia~ioD
izJple=enation ald i1lpact of a salple cpound small-scale rural projects in
Kanya Korea and Turley in the sae cOllities in which we carried OU
our initial icvestigations ~ 1973-75 Tne relationships between the -
various conf~gurations of local leadership and public participation and
the three phases of project develop~ant are sho~ in Figure 1 We will
exa=ine projects to pro~ote the adoption of new agricultural techniques
by s~l and moderate landnolders the building of feeder roads irrigation
ditches and other s~ple infrastructure the organization of fa~ers
cooperatives and other local associations concerned with rural development
the establish=ent of rural health clinicS and schools and the setting up
of craft and service industries
Sites for Study
We plan to return to our original set of localities because we possess
a rich body of relevant data on the extent to which linkages exist between
Figure 1
TYPES OF LFLUEXCE OF C2r~ middotGOVER1iEXT OFFCIALS
LoCu LEADERS 0 THE RURAL PUBLI-C OX THRr~
PHASES OF RURAL igtEVELOPHET PROJECTS
r----------~J C~ltral Gover1~nt Official)-N------- - J
r- Local pOlitical leaders
Local non-political leaders
~l 1---- -
ROJECT nITL~TIOS
Influ~ce on selection of projects
InrI ~elce on location of projects
Influence on policy guidelines for proj eCl
Il
I
a
I I
-I PROJECT I~L~~iATIO~ ~ 1
j Project Organizati I Selection of project
leadership
Hobilization of resources
Mobilizatiol of public compliance with project require=elts
Diffusion of project innovation
Rural Public
I
BEST AVAILABLE nOCUMENT
1 ROJECT IMPACT
Organization of ongoi=g project operation
Distribution of project benefits
Evaluation of project
Public attitudes toward project
-middot14 -
these areas and t~c central p~litical institutions of the three co~tries
and on the attit~es of the rural populacioc local leaders and elected
legislators regardi~g their problecs of develop~~c Since such data
is unavailable for alternative locales a return to the areas in which
we have previously done much research ~ables us to build on a uniquely
valuable body of icformation
A return to Kenya Korea and Turkey is also highly desirable from
the standpoint of effective research organization The Comparative
Legislative Research ~enter has developed close collaborative relationships
with several highly competent social scientists in these countries and
with the academic institutions with which these scholars are associated
We have also dev~_oped cooperative relatio~ships wi~ gove~ent officials
in these countries which should facilicate obtaining approval for our
further work
In proposing to doc~ent the origin i~pl~entation and impact of
one to three s~ll-scale develop=ent projects in each of 35 localities
we have two considerations in mind Firstmiddot because our pr~ry goal is
to deter~e the political conditions for rural developm~Lt we wish to
examine develQ~=ent in as many different settings as feasible Only in
this way can we control for so=e of the major socio-cultural variations
that erist along rural populations in less developed coultries These
include the overall level of econo~c development in the co~unity the
nature of t~e ~digenous culture an~ relationships of authority and the
pro~ty of the comounity to major urban areas and centers of central
gove~nt ad=inistration ~ce our original study sites were carefully
BEST AVAILABLE DOCUMENf
- 15 - ~ ~1
selected to represent these variations ye have concluded that these
35 localities woule be ideal sites for the propose~project Second~ in order to dete~~~ the ~pact of local leaders and public
participation o~ ~ural projects we intend to compare projects 1n which
local leaders and ~ecbers of the public have played a major ~ole with
projects in which they have not We also ~l cospare projects initiated
by the central gover~ent with projects Yhich have been locally initiated
These considerations give us a typology for selecting projects as depicted
in Figure 2
Figure 2 ~
FIVE TYPES OF RU~AL PROJCTS ACCORDIXG TO ~FLUEXCE OF CEITiW
GOVE~1E~T LOCAL LEADE~ AD RLRAL POULATIO~
Level of Participation by Rural Population
Locus of Project Initiation ~
Local Co=unity Central Governoent
BIGd
LOt
1 Projects initiated by local leaders and providing for participation of the rural ~opulation
4 Proje~ts Litiated by local leaders bu~ not involving participation of the rural population
2 Projects initiated by the Central Govern~ent and administered i~ cooperation with local leaders a~d the rural population
3 Projects initiated by the Central Govemlent and providing =or the participation of the rural population but by-passing local leaders
5 Projects initiated by the Central Gover~e~t a~d administered in cooeration Yith local leaders but not involvi~g parti~ipation of rural population
- 16 -
We recognize that the socio-cultural setting of rural develoment
projects varies significantly within and across less developed countries bull
By focussing o~ a representative sa=ple of localities ~ Ke~ya~ Korea
and Turkey we can take account of naoy~ though not all of these variations
While some of our substantive findings will not be directly generalizable
beyond the countries in which we propose to conduct our study we expect
that our basic ~ethods and fLdLgs will be applicable to national and
sub-national settings elsewhere in the developing world This is partly
d~e to the fact that the hierarchy of patron-client relations ~hich we
regard as a critical factor in rural develo~~t exists in ~ost Liles
--It is also due to the fact that the methodology for identifying local
bull leadership configurations auG poundor studying local politics which we are
perfe~ting can be used to assess local political co~ditions in a large
variety of countries even when the ~nditions themselves differ significantly
Methods of Investigation
The data needed to assess the iDpact of local leaders and mass
participaticn on rural dev~lop~nt fall into two categories Some a~e
contained among the data gathered for the research project we are currently
completing Others will require additional field research
The following data are already in hand
1 Data on the social landscape of each loc~l co~nity i~cluding aggregate data o~ level of econonic development de~graphic characteristics political pa=ticiation eth~ic loyalities and rates of socio-econocic change dur~g the past decade bull
2 Identity of local leaders including both political and I-on-political leaders and both legislators and other politicians
3 Perceptions of existiag probl~ and their possible solution a~ng
l)tS r AVAilABLE DOCUMENT
- 17 -
general public local leaders and civil serv~nts
4 Level of political kno~ledge among local citizens and local political leacers
5 Political and social values a~ong local ci~izecs and local political leaders
6 E~~ectacions of leadership roles among the local public and elected and non-elected leaders
7 Patterns of co~unication ~ong local leaders and between local leaders and the central gove~e~t
These data ~hich ~e already have in hand can be subjected to analyses
which ~~ll provida the foundation for our further work on rural develop~ent
projects A part of our work therefore will consist of fu~ther analyses
of existing data
New data of the following kinds are also required
1 Doc~entary data on the origin and evolution of particular smallshyscale develop~cnt projects in the rural areas
-2 Data on project costs boih ~itial invest=ent and recurring
operating costs and data on project ou~puts ie pupils in schools Ddles of road coopleted nl~ber of hospital a~ssions production of factory agricultural productivity
3 Data on project organizatio~ n~~r of local inha~itants participating in establis~~ent of projectt nuober of local L~habitants subsequently involved in project
4 Data-on the pe-cetion of projects by local leaders emers of the local public a~d by civil servants data on the perception of how each project ~as initiatec organized who benefitted and what its future implicatio~s are
These types of data will requ~re field work involv~~g both docucentary research
at the relevant ~istries of the central government and in local goverr~nt
authoritieS and inforoal open-ended interviews with local political leaders
elected representatives and other local leaders who~ we had previously ~
interviewed in a s=uctured syste=atic =aoner
BEST AVAILABLE DOCUMENT
- 18 -
Grant Organizatio~ and T~etable
We propose co undertake the research outlLled above beginning in the
fall se=ester 1977 Dur~g that te~ Professors Barkan and Kim as
principal investio~tors for the neo1 proj ect will contact their collaborators
in the host co~~tries They ~~ll also seek the collaboration of an additional
~rican scholar specializing in rural development with the aic of getting
additional advice on sources of data and suitable indicators for the
~easure=~~t of rural develop~ent projects
At the end of the fall seQester Professors Barkan and Kim will make
a trip to their research sites to disc~s details of the research organization
with their collaborators in the host countries and to recruit student
assistants Tney will devote the spring te~ 1978 to further analysis
of a~sting data at the University of Iowa
The gathering of additional dita L~ the field will begin in the s~er
of 1978 Professors Barkan and Kio will direct this work personally We
eAect that its coopletion ~~ll require three to six months This work ~1
involve the evaluation of central and local gove~ent reports on the
projects uncer investigation extensive on-site observations of the projects
and oen-e~ded interviews with the principal participants Our principal
respondents ~i1l be the local leaders and elected representatives we
have previously identified in the localities in which we have worked and
a sacple of active participants in the particular dpvelopment projects
being studied ~~ere necessary and apropriate surveys of the general
public will be uncertaken to assess the inpact of a given project on the
rural por)r We do not however leed 0 conduct systeAlatic sample surveys
BEST AVAILABLE DOCUMENT
- lY -
of the rur~l population as We did in 1974
In the organization of this research project we intend to reconstruct
the rese~rch tea=s ~e e=ployed during 1973-75 We shall again seek the
co11abo=~tion of P~ofessor Sc~~S-7o~g Pai of Seoul National University ~
Professor IIiCr Turan of the University of Istanbul and Professor John J
Ok~u of the U~iversity of ~arto~ S~ilarly w~ contemplate directing
the field research fro~ he same acade~ic research organizations we previously
used Seoul National U~ive~sity th~ ~~iversity of Istanbul and the
Insti~ute for Develop~eut S~udies University of Nairobi As before we
will tra~ students f~oo these institutions to serve as interviewers
The analysis of the open-ended intervie~s and of docUQentatio~ on
I ~ural develop=e~t projects will be a ~ore t~e-co~s~g process than the
analysis of closed intervie~s It will reqrire a high cotnittl~t of time
fron the principal investigators )e e--pec to hold a conference at the i
U~iversi~y of Iowa 3lO1g all the principal )clticipa~ts in the resea~ch
project d~=~g t~e spr~g 1979 to evalua~~ the newly collected data
le e~ pect to be able to vr-ite reports of t~ results during the Sl1~er 1979
(see Figre 3)
IV LlX-GS ~1) U~ILIZATIO~
At the e~d of the grant period the Uti ersity of Iowa will be able to
1) advise the Agalcy 01 the design of s~l-scale rural projects to assist
the rural poor 2) provide guidelines for social soundness analysiS of
small-scale projects for the rural areas of U)Cs 3) consult w~th the
Ag~tcy 01 the evaluatiol of rural projects ~d 4) provide LDe governments
BEST AVAILABLE DOCUMENT
)ATES
~lll
1977
~inter 1977
iprilg 1978
il mer 1978
~all
1978
ipr~ng
1979
Imiddoter 1979
University vf Iowa
Plutlning of rural develo~rent project
Barkan Kil
Alalysis of existing data
Barkan Kia
Data processing
3arkan Kin
1
I
- 4 -
Figura 3
GRAT TLfETABLE
SIT E S
Kenya Korea Turkey
Preparation of field research ural developH~lt project cOlisulta~io~ a research sites
BarkanOku=u Ki~Pai Tura~rkanKi~
Preparation of field resea-ch
Tural
Field research on rural cevelop~~t projects Bar~lOk~u Ki=Pai Turan
Co=pletion of Co=pletion of field resear~~I~ fiald researcr
Ok~u i Pai bull
f Coopletion of field research
Turan
Data analysis conference a~ong all princial i~vestigators at Un~versity of Iowa Barkan Kil Oku=u Pai Turan
Co=letiol of r~ral develop~ent
project
3arkan Kiz
BEST AVAILABLE DOCUMENT
I
- LL -
~ith speciali~cs o~ ru~al developcect ~mong their own citizens ~ho ha_
partcipatcd ~s collaborators in the Iowa projects
In the proposed project we Will test a series of hypotheses cOlcerning
the political cOllditions of rural develo=ent which run counter to CODOn
assuoptions conccrnir3 t~~ influence of rural politics on project effectiveness
As a result ~e ~dll be able to assist the Agency in designing and evaluating
such projects froe the point of V~~W 0 their political viability The
hypotheses We will test sugges~ t~at the patron-clie~t relations existing
in the local politics of zost LDCs are not necessarily i~pedients to rural
develop~ent but are aspects or the political structure which cal be used to
facilitate s~ll-scale ru=~ projects which will raise the standards of
living of _ ~ rral pomlation - As ~ result or our stuey we expect to be
able to P~-O~t the local leadership confi5~rations ~4d the relationships
between local leaders ald rural poclations ~nich are oost conducive to I
successful develcp=en efforts We believe that we will be agtle to perfect
a cat~odology for identifying the political conditions for rural develop~ent
one ~hich is transferable pound~oo the countries we have specialized in to
other LDCs
We proo~ to develop specific guidelines to assist administrators
charged with selecting evaluating and =onito~ing rural develop~ent
projects to ~szess t~esc rojects in tares of their-social and political
viability he outco~e of such projects is dete~ned not only by the
efrectiv~nass ~~=h ~hich they use scarce econo~c resources but by the
~~er L~ w=ich they e~gage the suppprt of local leaders and rural
po~ulatiocs~ by thei= effect ou social a~d econo~c equality ~d by
D[~T AvAlLA8LE DOCUMENT
- 22 -
their consequences for hwan rights ~Je plan to establish criteria by
middot~hic~ the probable outco~es of projects in these social terms can be
anticipatec
The study ~e propo e will be undertltlken by faculty at the Cniversicy
of lowe in collaboration with faculty a other ~rican institutions and
institutions in the host countries We will build on the extensive contacts
between the Co~perative Legislative Research Center of the ~niversity of
Iowa end other instituions with ~aich ~e have worked One =ajor result
of our collaborative study will be the existence of a net~ork of compe~ent
scholars both in this country and overseas experi~lced in ~orking together~
shar~g a co~on teaching and training experience i~ close contact throu~~ the
effective publications progr~ developed by the Co~parative Legislative Research
Center T~e e~~ertise of this group of individuals will be ava~lable to
oteer scholars to the Agency and ~o L~C governments for specific policy
advice The eXertise developed as a consequence of this project will
extend beyond the ~tionals of the countries ~volved since the univ~sities
engaged in ~e project attrtct stude~ts fro outside heir own countries
For ey~=ple the teaching ~d research progra in the Depar~ent of Political
Science 0 theUniversity of Istanbul heavily affected by the participation
of its facul~y ~e=bers and graduate students in our projects attracts students
throughout the ~middot1iddle East for Whom the University of Istanbul is the iajor
institution ~pound ~igher education in the region rne Institute for Developmen~
Studies is si=ilarly a focal point for students and faculty in East and
Central Africa Seoul ~atiocal Unive=sity attracts students froo other
Asia~ co~tries~ In this way the capability developed among the participant$
BEST AVAIL~BLE DOrUMENT
- ) -
in our work is diffused widely To the exte~ that the abili~y to assess
rural develop~ent p~ojects in teres of their social soundness is increased
both in the United States and in ~o~~tries r~ceiving develop=en~ assistance
the cap3~ity of racipien~ countr~es to absorb aid is ~creased
We propose to draw up an inventory of personnel available in ~~e
Cnited States and in other co~~tries who are able to consult with developen~
a~nistrators on the design of rural development projects and on their
evaluation We ~~ll draw first of ai~ on individuals w~o have been
directly associated with our ~ork in the past or on ~he proposed project
and ex~~~d the list to include graduate students and gove~ent officials
with who~ these individuals have wor~d
tole Yill utilize tha existing publication program of the Center
dercribed above to disse~inate our findings The Center has specialized
oailing lists of interested individuals and institutions in all parts of -i
the world and its reports can trerefore reach the ~st relevant audience
jirec~ly ~d re~~arly
BESl AVAIL~BLE OOCUMENT
CONTRACfjGRANTCOOPERATIVE AGREEMENT DATA SHEET
INSTRUCTIONS fjDW Complete 4 copies of the form Original SERCMSDSUP Statistical Section Copy Copy 2 SERCMSIiUP dministrative Copy opr 1 Contracting Officers COy COP) 4 SERCMSDSUP IUmin (Suspense) Copy
Missions Complde 2 copies oi the form Origin31 SERCMSDjSUF- Statistic31 Section Copy 3n~ Copy 2 Nill be ret31ned in the Missions
PART fA
ConU3lttorGranrce Name
University p~f~I~o~wa~ __ -r~ ____ ~~~~ __________ -~~ __ ~~~ ______________ ~~~~ Plorr Numt-er ApptopriJtion Number Allotment Number Project Number
930-0090-3Q13411 A5 72-111l0216 146-30-099-00-20-11 930-0090 Project Title
So~ia1 and Potitica1 Aspects of Development - Conference to Report Research Findings Amount of this Plorr I Projecl M3nagers Name and Offire Sytlbol
$10397 (increase) PDPRCP Jonatlan Silverstone Contr3ctors D-U-N-S Number
Ncgwatocs TYJlCd~3meJ j) Signature I l ~ jIf- bull G HtJ--ft u l IVmiddot
D~e
L - f - J ContractGrant Officqs typed Nailllt Signalure LJ d I -r-
plusmn t 3i-alflpta (( BLvle~ 1 I~ PARTm
ContractGranl Number
AID CSD-3294
Effeclive Date of Docum~nl Signalltre D3t~ of Documenl
Lf---C yen-~-gl tIost Courtry Institution (U iwrsity contract ONL Y)
Campus Coordinator (Uniwr ty i contract OiiL YJ
PART UL Descriplion of Cor-tractGrant P1use X ONL Y ONE item under each headiZg IF THEltrease CifYmC~e bolh ges I 30~~ O~ Nol to be completed for Amendmenl or Modlfic3lion AJigtns I III
J 710gt I I V ~ I
MOl - TYPE ACT A~ 0 G unsolicited Propsll (AIDIR 0 C Individual (Non-pe~nal senice)
~ O Cortra lGrantl ooperative Agreemenl 73101-SO(b)(6raquo 0 D Individual (ftrsonal Service)
tJl T3sk Order ( A)middot 0 H Procurement 10 be Perfocm~d by the Conmiddot 0 E UniversilyOther FAuC3lionailnSlitulions
D 2 Work Order (IQC) Ira~lor in Person (AIDPR 0 F Non-Profil Organizationlnslitutions (other
D 3 Delivety Order (Requirements) 73101middotSO(b)( Iraquo than Ed or PVO)
[j 4 Purchase Ordcr [J I Sole Source (AIOPR 7-3101-SO(b)(4)) 0 G Private Volunury Organization (PVO)
If I 2 or 3 1Lle an ~ compllle M 12 ON Y D J Imp3irmenl of Foreign Policy Objectiws 0 H International Agricultural Research Organj-
M04 - CONTRACTGRANT TYPE
o O MOA (BOA BMA etc)
o I Fixed Price (Specify fFP FPRD FPEPA FPI) _____ _
(gtIDPR 7-31 OJ SO(b)(7raquo
OK B(a)5eJection (FPR 1middot1713-1)
o L Grant iH1ndlOok 13)
o M Do Nol Ue
D 2 Cosl Reimburemenl (S~cil) CR CPFF 0 N Cooperative t~reement (Handbook 13)
CS CPAF CPIF) ~ 0 O Small Business SeImiddotAside (FPR 1middot1706-8)
o l Cooperative Agreemenl ~ 0 1 Overseas Procuring AClivilies (AIDPR
04 Grant Gener31 Supportmiddot 0U ~ 7lIOI-SC(b)(2))
o S Granl - Specific Support ~ ~06 E SER VICE
g ~ ~~t ~~(d) ~~ ~~ ~ eci~a~~~~~ogram Projeci
o amp IQCs ~ ~ relampted excepi A amp E Services)
o 9 Host Counlry ContraclGrnnt 5lJ C amp E Services
middotComplele ONLY through ~Sl ~~ 0 D Construction
M05 SELECTION PROCEDURES 0 E- Reseuch
o A Formally 3dverliscd (IFB) (A1DPR 7middot24 amp
FPR 1middot24) ~ o B Negoli3ted Price Compelilicn Gencr31
Procedure (RFP) (-JDPR 7456)
Dc A amp E (AIDPR 7410)
0 D Ed Inst andor Inl1 R~arch (-JDPR
74 5)
o E Collaboratoe Assisunce (IDPR 7458)
C F Predominant Capability (IOPR
73IOI-50(b)(l)
AID 1420-49 (179) - Page I
D F Technical Services to AID (other than trainmiddot
ing usually o~ating expense)
D G jraining SetVice for AID
o H Equipment Materi3J~ Supplies Commodities
D I Translation Service
~07middot TYPE CONTRACTORGRA-nEE
o A Firmmiddot AU profil-rn3king fUms (other than
Aamp E)
J e A amp E 8r~
zalion
o Public Inlmlational Organizations (UN
Agencies ICRC Wocld Bank elc)
(H8 J 3 Chapt~ S)
M08- TYPE AW~RD
o A S8 Sel-Aside - Awarded to Non-Minority
o B S8 Set-Asidemiddot Awarded to MinXity
o C_ S8 NOI Set-Aside - Awarded to Non-Minority
o D S8 NOI SeImiddotAsidemiddot Awarded 10 Minority
o Eo amp(a) S8A Awarded to Non-Minority (Womerl-
Owned Veterans etc)
o F 8(a) S8A Awarded 10 MinorilY
o G Personal Sen-ice ConlrdCt bull Non-Minority
o H IeJSDnal Service Conlract - MinorIty
o I Individual NonmiddotPersonal Service Contraci -
NonmiddotMinority
o J 100Jigtiduai NonmiddotPersonal Service Contracl -
Minorily
o K NOI Small Business (Univ NonmiddotProfit Large
Firms) Non-Minorily
o L- NOI Small 8usineSl (Univ Non-Profit Large
Firms) Minorily
o M US Govcrnmlnt
(Connnued on Page 2)
BEST AVLABIE DOCUMENT 1 I
--
ua ) R I GI NAL 9 bull
MODIFICATION or GRANT PAGE 1 of 2
AH 1 2 Effective Date 3 Grant No 4 Effective Date
Amend_at Ro 5 April 15 1981 AIDCSD- 3294 8-11-71
-s CRANTEE (Name and Addrea) 6 Administered by -Professor Gerhard Loewenberg -Office of Contract Management Cbrnparative Legislative Research Gente Central Operations Division Dept of Political Science am Branch University of Iowa Agency for International Developn~nt Iowa City Iowa 52240 Washington D C 20523
7 PIO No 930-0090- 3013411 A5 8 Previous PlOTa -
Appropriation No 72-11110216 93i-1l-995-l36 930-11-995-136-73-3078103
Allotment Symbol - 146-30-099-00-20-11 wunt Obliga ted by this ~ndrnent - $10397
The above numbered Grant is hereby modified as follows
1 Anotmt obligated prior to this rurendment 2 Amount obligated by this amendment 3 Total obligated anount (1 amp 2)
Delete the amJmt $465000 and substitute in lieu thereof the ammnt I$47S 39-7 ~
FUNDS AVAIrABm
~~ - APR 13 1981
PrO~A~~5iors
$465000 $ 10397 $475397
OffiCE Of fIN~(1 ~~rE~E~T __ _ 10 This amendment 11 entered into puruant to the authority of the Forelgn
Assistance Act of lS~l as amended Except aft hereln provided all terms and ~~ndi~ons nf the grant rcferpnccd in Block 13 remain unchsnged and in full force and ~ffcct
11 original and six Crantee 18 requlred to aign thh document aad return 1- eopics to issuing
ffiee
~~~ or printed) BUSINESS MAHAGR amp bull
Tille TREASURER
UNITpound) STATES OF AHERICA AGENCY FOR INTERNATIONAL DEVELO~NT
BY_-1(1o-_1lt--= 13middot~_1_~ __ K R B1uteau
(Name typed or printed)
Tltle~ ____ G_r_a_n_t __ O_f_f1_c_e_r ____________ __
D3tC APR 2 J 7997 Dolt 9 APq 1981
BEST AVAILABLE DOCUM NT ___ 0 HLGlNAL - I 1 J 1 ~ )
- 2 -
AID ftmds in the am)tmt of $10397 are hereby provided for the activities lmich are described in your proposal (including Budget Stnmnary) entitled CDnference to Report Research Findings on the Study of Political CDnditions for Effective Small-Scale Rural Assistance Projects in Kenya Korea and Turkey dated February 17 1981 and made a part of the Grant b reference
BtTDGET StMMARY
Line Item
Travel
Per Diem
Other Direct Costs
Less existing 211 (d) grant funds
Total Amount Obligated by this Amendment
Estimated Costs
$ 5888
5100
_ 2500 $13488
_ 3091
$lO39
Note Indirect costs or $395086 associated with these activities will be contributed by the University of Iowa
BEST AVAILABLE DOCUMENT
~RIGINAL
- CONTRACT IGRANTCOOPERA rIVE AGRElEMI~ SERC~SDSlP Actio) Monitor
SERCMSDSUP Action Office
I
INSTRUCTIONS AJDW - Complete 4 copit of tlh fonnmiddot Orisina iCMSDfSUP Sutistical Section COP)middot Copy 2 SERCMSDjSVP Administrative CoP Copy 3 Cont-acting Officers COP) Copy 4middot SOSUP Admin (Susptnse) Copy Missionsmiddot Complete 2 copies of the form or~aI SERCtSDSUP Statistical Section Copy and Copy = wiU~ retained in the Missions
0 PART IA
Effective Date of Document tJ
Delivery Order (Requirements)middot
o 4 Purcluse Order
bull If I 2 or 3 have an bull X compl~te M I 2 ON L Y
M04 - CONTRACTGRANT TYPE
o O MOA (BOA BMA etc)
o 1 Fixed Price (Specify FFP FPRD FPEP FPI) ___ _
o 2 COli Reimbursement (S~cifY CR CPFF CS CPAF CPIF) ______ _
o 3 Cooperative Agreement
o 4 Grantmiddot General Support
o S Grantmiddot Specifi Support
o 6 GraDt 21 led)middot
o 7 Do Not Use
o amp IQCs
o 9 Host Country ContractGrant
middotComplete ONLY through M 5 1
MOS SELECTION PROCEDURES
o A Formally advertised (IFB)(AJDPR 7middot24 amp
FPR 124)
o B Negotiated Prire Competition General
Procedure (RFP) (AIDPR 7456)
o Co A amp E (AlDPR 4 I 0)
o D Ed Ins andor Intl ReStalch (UDPR
7457)
o E Collaborative ASSistance (AIDPR 7458)
o F Predominant Capability (AIDPR
7-310l-50o)(3)
AID 142049 (1-79)middot Page J
o H Procurement Co be Performed b~ the Conshy
tra~tor in Person (AlDPR
7middot3t OI-SO(b)(Iraquo
o I Sole 5gturce (AIDPR 7middot3101middotSO(b)(4raquo
o J Impairment of Foreign Policy Objecdv~
(AIDPR 7middot310 ImiddotSO(b)(7raquo
o K 8(a) Selection (FPR 1middot1713-t)
o L Grant (Handbook J 3)
o M Do Not Vse
o N Cooperative Agreement (Handbook 13)
o O Small Business SetmiddotAside (FPR 11706-8)
o P Overseas Procuring Activities (AIDPR
7middot3101middotSO(b)(2raquo
M06middot TYPE SER VICE
o A TtJining of Participants
o B Technical Assistmce (Program Project
related exc~pt A amp E Services)
J C A amp E Services
0 D COltl~ruction
0 E Research
0 F Technical Services to AID (other than trainmiddot
ing usuaU Y operating ex pense)
0 G Training Service few AID
0 H Equipment Mat~rials Supplie~ Commodities
0 I Translation Service
07middot TYPE CONTRACTORGR TEE
Firmmiddot All profitmiddotmaking fu-r1s (other than
AampE)
o 9 amp E Firms
I Prcct NumbcT
I
Contactors D-U-N-S Numbcr
I) -S--f(j
o C Individual 0-lon-~rsora1 service)
o D Individual (Pet-sonal Service)
o E University lOt her EduCltionaJ Institutions
o F Non-Profit Organization Institutions (other
than Ed or PVO)
o G Private Voiuntary Organization (PVO)
o H International AgricultwaJ Research Organmiddot zation
o I Public International Organizadon~ (UN
Agencies ICRC ewld B3J1k etc)
(HB J 3 Chapter 5)
M08middot TYPE AWARD
o A SB SeImiddotAsidemiddot Awarded to Non-Minority
o B SB SetmiddotAside bull Awarded to Minority
o C SB Not SetmiddotAside - Awarded to Non-Minoril)i
o D SB Not SetmiddotAside - Awarded to Minority
o E ~a) SBA Awarded to Non-Minewity (Womeli
Owned Veterans etc)
o F 8(a) SBA w-rded 1o Minority
o G Personal Service Contractmiddot Non-Minority
o ~ Personal Service Contnct - Minority
o I Individual Non-Personal Sence Contractmiddot
NonmiddotMinority
o J Individual Non-Personal Service Contractmiddot
Minority
o K Not Small Business (Univ Non-Profit L1lge
Firms) --vn-Minority
o L Not Small BUSiness (Univ NonmiddotProfit Large
Firms) ~inoriy
o M VS Government
(Continued on Pcge 2i
t bull - t ~ J f q
ORIGINAL bull MODIFICATION OF GRANT
1 2 Effective Date
Araendllent Ro 4 12-2-80
s CRANTEE CHace and Addrels) Professor Ger1ard Lo~middot enbelg Comparative Legislative Research Deartment of Political Science The Lnivp-rsity of Iowa Iowa City Io~a 52240
7 PIO No NI A
Appropriation No 72-11XHl26
Center
Allotment Symbol -426-30-099-00-3~-71 Amount obligated by this urendment-O- I
3 Gnnt No
AIDcsd-3294
PAGE _____ 1 _of-L
AlI 4 Effective Date
8-11-71
~ Admlnlltered by -Office of Contract Management Central Operations Division OTR Branch Agency for International Development Washington DC 20523
8 Previous PIOITs -
931-11-995-136 930-11-995-136-73-3078103
9 The above numbered Grant is hereby modified as follows
Supplement to Grant
Change the duration period sentence to read
The Duration Period for this Grant shall be August 11 1971 through December 31 198]
1 Amount obligated prior to this amendment $465000 2 A~unt obligated by this amendment -0-3 Total obligated amount (1amp2) $465000
----------------_- - ------- ----_- ------ 10 Thh lImcndmcnt is entered inlo punuant to the authority of the Foreign
~ Assistance Act of 1961 86 amended Except a~ h~reln Z II provided all terms and condi tions nf the grant referenced in Block 3 remain ~~aunchlinged and In fu1l force and effNt cnltUI cJ)za 11 o 4 J bull
Et~ ai~a gtUoItshyc Z P=u
original and six Grantee t requi red to sign this document and return 1- eopies to 1Bufng
office
~ 12 GRANTEE TES OF AMERI CA
(Name typed or printed) bull
TJlle Director Comparative Legislative liecearell CeQtoQl
Date 12880
------------------------------------
ONAL DEVELOPMENT
By ----~--~~~~---------------------
prinled)
Grant Officer Title --------------------------------
J)oll( 12-2-80 -----------------------------
BEST AVAILBLE DOCUMENT i je
- 16 -
A~~inistrative O~ganization
Ice Board of Regents of tle State of Im-la
-Iesicent of the University I
1 rOfcst Jf t-3 University
Den College of Liberal Arts
r Chailan DcptiEt of olitical ScieJce
Inter-G~iversity
Acisorr Corcittee
PcgrG21 Director Associate Progra~ Directors
Liaison Arcrge~~nts d ~h I I~~erested Plcfessiona1 I Perso~el j
I _
I 5cu1ti (full or PmiddotLG-tire l Asscci~tes a1d otllei non-Io~il
3ecip5ents of Gr3-1t stPPC1t Gr~cue~~e S t1~lcnts St2~retQi~S1 Data Lbed~1 31
Ln 18 r1icia 1
LO1t c~lce Factcj~1 ts
BEST AVAILABLE DOCUMENT ( ( V-t
- 17 -
of te eo17i~g cCpterce br A I D rLld ethers In addi tion there
aS3essr~ents of the gr31t
middot l ~ lI ~ _ _ _ co~~~r~~ing ~~iversiti~s md tne rrctitoring ALD office
7re l~yersity of Ie~middot~ budget of $26500 is to be deveted to the
cemiddotelgt~e~ of lstituticnal cefete1Ce in comparotive legisl~tiye studies
~t Iomiddota c t~ the exalsi0 ot a date b~L-lt ~ hich 1fill be utilized as
a ecle for icrec3ing te scope of tbe sub-specialty
T - 1 f 1 __ middotja r S Ctdget a9roxir~tly 33- has bee allocated to a
cemiddote Lp~l t rirc ipally C actlty re leased tirre for data ccllection
ai 0 3alres f~r i~~er-ieers in field research 3d secretarial
assi5ta1ce nCt2 11- of t~e Icmiddotre oudge~ is iesignated for an
ArCE_1 A~ite s(101a~middot 2d one 0 ore scnolals froQ LDe or
s1lllrt of greluate stucents in the
BEST AVAfLIlBLE DOCUMENT
- 18 -
Finally approximately 19 of the budget will be devoted to the
proposed data bruL~ that will archive not only data generated from the
research of scholars at Iowa Duke and Hawaii but also at other US
and foreign institutions Primary and 3econdary an~ses of these
data will become an integral part of ~omparative legislative studies
curricula The ability to utilize the data bank for teaching purposes
also should have a significant impact on professional preparation ofmiddot
future legislative specialists In summary the funds will be
allocated to research teaching and training activities tha~ are
entirely conson~~t with the philosophy underlying the utilization of
2ll(d) grants to achieve institutional development
Conclusion
The University of Iowa regards the research and teacbing components
of this program to be closely related an1 zrutually reinforcing The
University of Iowa offers a strong base for the pro~ram because of the
interests of faculty members here now because of their contacts with
scholars in this field in other Americ~~ and foreign universities
because of their experience with the international exchange of faculty
and because of the distinctive data gathering and processing facilities
available in our Laborator~- for Political Research The program which
we have formulated is designed not only to accomplish specific
research and teaching objectives but to contribute to the long-term
development of the University of Iowa in an area in which it has already
exhibited special interest
BEST AVAILABLE DOCUMENT
~ I) - 0
- 19 -
The program on Comparative Legislative Studies with support from
this Grant rill develop the capacity at the University of Iowa to
provide assistance under separate financing arrangements to developing
countries in a number of ways and through a varieiy of channels This
assistance which would be arranged for end negotiated separate~ from
this Grant may be in the form of technical assistance advisory service
training research and information exchange etc It will be available
by mutual agreement to appropriate agencies national and international
public private a~d mixed and directly to the less developed countries
Most especially this added special competence will inevitably become
incorporated through the processes of scholarship and education into
the competence of US and foreign scholars and institutions concerned
with this topic of great significance to the developing and the more
highly developed countries alike
BUDGET SUMMARY
UNIVERSITY OF IOWA
Salaries
Graduate Student Stipends
Fringe Benefits
Travel
Equipment and Services
Other
TOTAL
$173090
32400
19209
13800
6501
20000
$265000
BEST AVAILABLE DOCUMENT
d bull
srjmiddot (~~ jjXilO
IO
rmiddotmiddot ~middotmiddotrl f)~~ 7 middot 1 ~A~~ middot1 rmiddot middot~ rt bull middot bull bullbull I ~ i bull bull ~ middotv- middot bullbull ~ I
1 so bullbullbull l ~--~-- - - ---- ~ V~ i Jlgt ) bullbullbull ~(lr v ~I ( tr_ 1middot-middot 1 bullbull 1
il l~ J
2 c~loto
BEST AVAILABLE DOCUMENT
(C
Dr Willa~d l Boyd Presicient University of Ima iowa City Iowa 52242
Dear Dr Boyd
4 AUG 1977
amp
FIJNDS AVAnASLe CpoundNrftAamp sEIMCEs DMsON
AUG11 ~n te t6417 ~77
Subject bull Supplsectferit-tJF-G~middotNomiddot~middot AIOcsd-3294
t middot-rrPJ1 3
I am pleased to inform you that pursuant to th~ auth~rity contained in
S-cction 211 (d) ooC the Foreign Assistance Act of 1961 as amended a sup
plemental grant in the amount of $200000 is h~reby r~de to University
of rCi1a These supplement]l grant funds areprolided to support the
activities which are described in your Proposal dated May 6 1977 for
the implementation of your program entitled Political Conditions for i
Effective Small-Scale Rural Assistant Projects
---This sup~lemental grant is mace to University of Iowa en condition that
yo~r institution shall administer the funas provided under this Grant fn
accordance lith your r~ay 6 197 proposal (including Budget SUmlilary) and
the Standard Provisions (as incorporated by Amendment No 1) which have
been agreed to by your instit1ltion Ti) the extent of an inconsistency
between the Proposal and the Standard Provisions and any otherprovisfons
which ar~ made a part of thi5 Giant by reference or other~iSe the Sta~d~
ard Provisions shall control
The new Duration Period for this Grant shall beAugust 11 1971 through
August 10 1979
The total amount of funds obligated under the grant is increased to reflect
a new total oblgated amount of $465000
Please sign the Statement of Assurance or Compliance ana the origfnal -
and seven (7) copies of this letter to acknowledge your understanding of
the conditions under which these funds have been granted Please return
the Statement of Assurance of Compliance and the original and six (6)
copies of this supplemental Grant to the Office of Contract Management
Attachment May 6 1977 Proposal and Budget SUfiT1a ry
UNIVERSITY OF IOWA
Roberw bull OBrien fficer
Ce al Operations Division Office of Contract Management
AC~E~E~C--_ 0 BYpoundk~~ cH
D C ~lpoundSTtR5BA T ITL E ( PfeampoidPilt for
tee ment amp Research DATE 9-22 -77 (d~ ~~Bduate Ctl~1e~e
BES i AvAILdLt UOCLJMU~ I
211(d) Grant Program
Proposal of the University of Iowa
POLITICAL CONDITIO~S FOR EFFECTIVE SMALL-SCALE
RURAL ASSISTA~CE PROJECTS
Submitt~Ci to
Civic Participation Division AID
May 6 1977
Amount requeste~ $ 199987
BEST AVAILABLE DOCUMENT
I TdE DEVEIOP~T PROBr~
P~litical Conditions for Rural Development
The Cocparative Legislative R~search Center of the University of
Iowa proposes to ~~dartake a two-year study to investigate the role of local
leaders and the rural public in theimplecentation of small-scale develop~ent
1 projects in less developed countries The study will use and extend the
capacity ~hich the University of Iowa developed under a 211(d) grant to
investigate and assess the impact of loeal politics on rural development
~t the co~pletion of the s~ Iowa will be in aposition to advise the
Agency on the design ~nd evaluation of s~ll-scale projects which will be
politically viabe a~d effective in ass~sting the rural poor ~
As students of development w~ approach our task with the assumption
that the proble~ of development and underdevelopment are funda~entally
ones of political econooy and a~ such can only be solved through a
simultaneous considerationof economic and political factors Efforts
which foc~s aloost solely on economic factors like those of ma~y
organizations engzed in dipersing foreign aid or efforts which focus
almost exclasively on political factors fail to take account of the
interdependence between these two dimensions of underdevelopment and
lwe have for~ulated this proposal in a canner consistent witr the cu~rent policies ard interests of the Agency We have been guided in our tsk by four Age~cy doc~e~ts Impleo~~tation of New Directions in Developnent Assista~c~~~ ~eport to the COmlittee on International Relations on Ilupleoenshytatiun of Legislative Refo~ in the Foreign Assistance Act of 1973 (July 1975) rItevis~d Projec Developiel Review and Approval Systeo (A I DL Circular A-21 Aril 23 1975) SH Butterfield Draft SUIilZ3ry StateUlent of a Practical Agelcy Approach c aural Devalopilelt (AATA February 28 1975) Cicci A Coce~ual Oie=viamiddot middot Rural Development No1 (lWorilting GOU O~ tha Rural Poor February 1975)
- l -
can meec with only l~ted success
Our concern with the i=pact of local politics on the process of
rural developcent is a result of our interest in the basic question of
how LDC governm~nts and the donor agencies which assist them can
become core effective in raising the standard of living of the rural
poor We seek answers to the following aspects of that basic question
1) What political conditions must exist both within rural communities
and between theo and central gove~ents to raise agricultural production
w~ere small-scale agriculture is the do~nant pattern 2) Vnat are the
political conditions for a core rapid expansion of the informal manufacturing
and service sector cocprised of labor intensive small-scale industries
located in the rural ar s 3) What political structures and activities
are mase crucial for the provision of welfare and econocic supporc services--
such as agricultural exeension mar~eting and transportation--to the rural
areas1 4) ~~at Folitical conditions oust exist to insure that economic
growth in the rural areas is not accowpanied by excessive and intolerable
inequalities between socio-economic classes andor between regions1
Center-Periphery Linkage in LDCs
To deter~ne the political conditions for rural development we have
in previo~s s~udies exacined the institutions and processes through which
rural populaticns are integrated i1to the national politi-cal systetlS of
middot~he countries in which they live A gap exis~s in most less developed
countries bet~een the peasantry residing on the periphery and the c~~tral
political ~stiutions staffe1 by ~~estern-educated bureaucratic elite
We are aware of the other major ~sti~utional discontinuities which comprise
J
4 middot~~1 the basic cleavage between the developed and underdewmiddoteloped sectors of
these dual societies Bridging these gaps is essential if these so~ieties ~ are to develop into viable nation states For until those Q~ the periphery
of the poli~ical syste~ participate in that system and support and comply
with the authority of central political institutions neither economic
development in ~he rural areas nor a stable polity will emerge
Bridging the discontinuities in these new political systems requires
establishing and institutionalizin3middot1inkages or networks for co~unication
and exchange of resources between decision-makers at the center and the
rural public on the periphery Three types of institutional linkages are
most prominent in less developed countries 1) those conSisting of the
state administration composed of the bureaucratice1ite 2) those consisting
of a revolutioncry political party cocposed of the ideological elite
3) and those conSisting of patron-client hierarchies composed of the political
entrepreneurial elite
Of these three linkages consisting of the state administration are
the cst extensive and pervasive in virtua~ly every LOC Such linkages
however exist primarily a~ instruwents of the center to penetrate the
periphery Central government officials are formally charged with bringing
develo~ent to the people This is a ~issi~n which conceives development
as a process ~hrough which a traditional peasantry is transformed and
assimilated iJro the DOdern center which is steadily expanding to embrace
it Agents of the center invariably have more resources to achieve their
objectives than do local political leaders but because they are frequently
strangers~ the communities in which they function they are often unable
- It -
co implement the policies of the center without working through the
local establis~ent
Though somctices significant linkages consist~g of revolutionary
party organizati~ns such as those found in China and Vietnam do not exist -
in most IDCs beca1Se of the special historical and e~omic conditions
required for their development As wi~h the administrative state however
the linkaampe apparatus of such political patties is prUlarily an instrument
of the center whose mission is to penetrate and mobilize those onthe
periphery
In contrast patron-client hierarchies are linkages which represent
the periphery at the center and mediate betwee~ these two disparate
sectors of the political systec Thcugh norcallymiddotovershadowed in scale
by the state administration patron-client hierarchies are found in almost
~very LDC a~d constitute the ~st significant network through which rural i
populations and their leaders influence the decision-~king process at
the center Patron-client hierarchies exist in a wide variety of org~iza-
tional fores ranging from info~ ~ec~~rks of individual olitical leaders
in uno-partyll systelS in S~b-SaharaI4 Africa to extensive political machines
in both one-p~rty (Africa Mexico) and ~u1ti-party systems (Turkey India)
Despite their importance as the pricary means through which peasants in
LDCs particiate in their political systems patron-client hi~rarchies
have only recently become an object of analysis by students of political
developent and do not appear in even the most sophisticated studies of
2 See Jo~ Dunca owell Peasant Socie~y and Clientelist Politics Aerican Politi~ Scielce Revietol 64 (June 1970) pp 411-25 Rene Lemarchand anc_ Keith Legg olitical ClienteliSJ and Ethnicity in Tropical Africa Aierican Political Sc~ecce ReView 66 (Y~rch 1972) pp 68-90 James C Scott PatronshyClient Politics a~d Political Change II 1tlerican Political Science Revie~ 66 (~arch 1972) p 91-113 and Friends Followers and Factiols bull edited by Steffan Sc~~d and James C Scott (Berkeley UniverSity of California Press 1977) bull
- 5 -
3 economic development Ad~niscrators of developmental assistance progracs
have too often regarded patron-clienc hierarchies as ~ped~ents to
develop~ent instead of recognizing cheir potential utility bull
~ Findings on Patron-Client Hierar~hies --
The importance of pat~on-clienc hierarchies for linking the periphery
to the center is one of the major findings ~erging from a study of the
relationships betueen l~gislators an~ their constituents in Kenya Korea
and Turkey ~hich the Cowparative Legislative Research Centpr is nov
comleting uader its 21l(d) grant from AID This study has av~mined the
creation of linkages between the periphery and the center through ~ore
than lO~OOO interviews with members of parl~ent local leaders and
peasants in t~e three countries The findings are being systewatically
set out in a book-length monograph Nearly a dozen research reports have -
uready appeared (see Appendix C) ipropositions about the nature of
political behavior of rural populations an~ the roles of local political
elites de=ived from the research~ can be s~rized as follows
1 Elected representa~ives play a significant role in the creation and mainte~ance of linkages be~een the center and periphery by developing local political achines in which they function as patrons of their constituents In turn thay s~rve as clients of political leaders of national stature who control central government institutions
2 By atte~pting to establish linkages based on patron-client relatio~shi~s elect~d representatives are responding to public expectations chat their prizary duy is to obtain resources from the center to proffiote local develop~ent ~iany elected repLesentatives spend most of their time on self-help co==unity development projects such 3S the building of schools health clinics irrigation works arid roads because such projects provide
3For exa~le ~ a widely respec~ed a~d useful analysis of rural deve16p~ent in Sub-Sahara~ Africa L~ Lele of the World Bank notes the problems of creating an adoini5~raive infrastructure in the rural areas that is sensitive to local socio-oliical conditions She does not however consider how local leaders operating o~tside of adcinistrative structures ~ night contribute to the developne~t 0 the rural areas See ~~ Lele ~ Design ~ Rural Develop~ent Lessons ~ Africa (Balt~re The Johns HopkiD~ Uciversity Press 1975) r) pp 127-61 i ~
- 6 -
their const~tuents with desired se~ices ~~d a= the sa~e time provide the reresentatives with an orgacization Yhicn can be used as a political base
3 l-tore than 90 perCel1t of the rural population is capable of articulating the p~oblems facing their local co~~ity and two-thirds discuss th~e proble~ w~th their fellow citizens on a regular basis
4 Three-q~rters of the residents of the rural areas can identify the public ofpoundici~s who serve thec--both civil servants and elected represcrtatives--by na~e Most are knowledgeable about the activities of these officials Alcost one-fifth coreover have discussed co~~~ity probl~ ~ith these officials particularly those working at the grassshyroots level Residents of rural villages actually have a higher level of political knowledge than their counterparts in the towns
5 Elections in the rural areas evoke a highly rational attern of voti~g despite the effects of ascriptive or traditional co~siderations Inc~ens are pri~rily evaluated in terms of their record in fulfilling the public r S elpectations of what they should do Elections are essentially referenda on inc~entsr perfo~ce especially their perforwance in the area of constituency servi~es such as bringing development projects to the districts bull
6 Local developcent projects have a relatively high s~olic value generating conscitutency support for local leaders and the central government at low cost
7 These projects help huild a local political infra-structure which can also be utilizec by central govern~nt civil servants to implement other policies designed to achieve rural develop~ent bull
The Icpac~ of Local Politics on Rural Projects
Having explored the developtent of linkages through which the periphery
is represented at che ~enter and through which the periphe~ attemp~s to
share in the ceners resources we now propose to build upon our initial
investigations by e~ing in greater detail the impact of local political
conditions on specific problecs of rural develop~ent We propose to
exacine the develop~ental activities of local leaders ~nd the rural public
by eX2~Ding a saple ot fifteen to twenty smalL~scale developwent projects
in each of ~he three countries which constituted the sites for our initial
8ESI AVAILABLE DOCUMENT 1 ~ - of
- 7 -
study of center-perhiphary relations The appropriateaess of this approach
and the ~ethodology through which it will be ip~emented is discussed in
section II Because the ~ethodology of investigation is in large part
the result of our previous research experience we fizst turn to a revieW
of the existinQ __ ~petence of the Comparative Legislative Research Center
in this area
II GRAXTEES EXISTIXG CmET~CE
In 1971 the University of Iowa received a 211(d) grant to develop
its capacity to do research on the role of elected represent~tives in
the process of modernization On the b~sis of this grant the University
established a research center which planned and carried out a research
project on the role of elected reres~~tatives as links between the central
gove~ent and rural populations in K~ya Korea and Turkey The project -i
served to develop t~e University of Iowas research capability in this
field esa~lished ties between the University and scholars in the bost
countries and generated a large and uniqu~ body of relevant data
In that project we fo~ussed our attention on tbe activities of elected
representatives in their constituencies notably in their contacts with
local political leaders voters and civil servants To determine tbe
nature of the linkage function performed by tbe representatives we
designed our research to explore the subject from three perspectives
1) we eXaojned ~~a ~ubject at tbe grass roots by conducting a series of
sample surveys of 200 to 300 adults in each of 12 to 14 parliamentary
constituencies in each cf th~6three countries 2) we examined the subject
at the center by intervie -ing MIls from the constituencies in which we
had conducted S3mple surveys ~nd higher civil servants with whom they
had contact and 3) ~e ex~~ined the subject from an inter-~diate level
by identifying aud ~terviewing local social and political leaders in
the MPs constituencies We used survey research methods because we
were embarking on the study of an entir~ly new subject for which little
relevant docu=e~tary data existed and on which there were few secondary
sources As a result ~e have unparalleled experience with survey
research in the rural areas of less develo~ed countries
The surveys which constituted the cajor part of our field work were
planned in collaboration ~~th scholars from the host countries They were
carried out in each constituency by student interviewers in the appropriate
language ~re than 10000 respo~dents were inteDViewed for the project
Given the visibility and sensitivity of this undertaking approval for
the research was sought and obtained from the host governments prior to -i
the collec~ion of data ~o objections were raised by these governments
at any stage of the research The data obtained have been made available
to scholars i~ the host co~cries and some of the basic findings have
been published in periodicdis in these countries
The Comarative Legislative Research Center ~hich ad~nistered the
project has aisO developed extensive experience in the study of political
leadership in other countries It h3s obta~ed substantial support from
the Fo~d Foundacion and the Rockeeller Foundation has worked in
collaboration ~~h European as ~ell as Asian and African scholars and
is engaged in a ajor study of the role of elected and non-elected leaders
in the oanag~~t o~~ocial conflict Because it has conGucted research
in a variey of setlngs the Center has an ~ceptional capacity to
- 9 -
determine how the relationships be~een political institutions and
economic p=oble75 differ in develoPed and less developed countries
In the course of the major research projects the Center has administered
it has gained highly specializpd ~p-i ce iI identifying 1Olitical leaders
in a great variety of settings conducting systematic interviews with
them collaborating with scholars in the host countries and in coding
and utilizing large files of data to answer specific research questions
The Center has ~lso undertaken to publish the results of its research
in three fores It issues codebooks to the data enabling scholrrs at
other locations to use the data expeditiously i~ publishes research reports - in the form of Occasional Papers and it publishes a scholarly periodical
devoted to the presentation of research findi~gs to an inteIT~tional
audience
The Center utilizes the data ~ysis facilities of the Laboratory
for Political Research of the University of Iowa and drawS on the unusual
n~er of secialists in comparamptive politics and survey research in
~~e Lniversitys Departmen of Political S~ience The Center itself I
has the services of an administrative secretary and a clerk-typist
~intains its~o~cn extensive archives and its o~~ publications program
It is e~uipped to assist scholars and government officials outside the
t~iversity of Io~a The participants in its p~ojects are full-tioe
faculty ~e=bers ~hose undergraduate and graduate teaching is closely
related to their research As part of the teaching program the Center
has attracted students from the countries in which the research projects
have been conducted these students have participated in the projects
bull J
have obtained training in other fields of political science have received
University of Iowa degrees~ and have ret~rned to teach and to do research
in their own countries
III PURPOSE OBJECTIVES AID METHODS
Purpose of Study
The purpose of the proposed grant is to extend the capacity of the
University of Iowa to determine the political conditions in the rural
areas of less developed countries which favor the establis~ent and growth
of small-scale developoent projects ~e objective is to put the University
of Iowa in a position to assist the Agency in designing small-scale rural
developent projects providing guidelines for carrying out social soundness
analyses of such projects and adviSing in the evaluation of projects
We will discuss the utilization of~t~e Universitys capacity in detail in
section IV below
We propose to concentrate our investigations on the political conditions
surrounding s~l-scale ru~al projects Such projects have distinctive
advantages They waximize the political participation of the rural populations
both in det~~-ining the direction ~d implementation of develop~ent efforts
and in defending the interests of periphery vis-~-vis the urban-based
bureaucratic elite S~ll-scale projects stimulate entrereneurial activity
on the part of the rural citizens and growth of the info~l canufacturing
and service sector Tbey require less lead tice and less administrative
c~erhead to ~eco~e operational than large-scale capital-intensive projects
centrally administered Such projects yield rapid and direct benefits to
1
j
the rural
- 11 b - ~~1
populations and are consistentwith their hUIlaD rights--both
political and economic However~ small-s~le projects pose s~ecial probl~s for administratcrs of developceocll assistance progracs because
they require the donor co assess the local olitics particularl the
rural politics of t~e host country
Develop~c adoinistrators pr~rily conc~rned with assisting rural
populations must therefore recognize the range of political variables
affectL~g these projects Small-scale projects offer great opportuoities
for develop~ental assistance progr~ because they can be easily targeted
to help rural populacions require low capital costs and need no be
concentrated in one or two localities Such projects ho~ever~ ~equire
the a~istrator to have ~re political kno~lecge than large-scale
projects Oil which his priJlary tas~ is guiding the work of other experts
Questions for ~Investigation
To detercine the politi~al cc~diicilS ~st conducive to ~he establ~~ent
and gro~h of scalI-scale rural projects ~e propose to address our inquiry
to the following specific questions
1 To what extent and why co local political leaders seek to establish s~~l-scale develop~ent projects within their co~unities
2 To what extent and ~~y do local leaders other than politicians initiate andor provide leadership for s=all-scale developm~t projects
3 Bot do the relations bet~Jeel different types of local leaders (political and non-political) and bet~eeo these leaders and central gove~ent civil servants posted to the rural areas affect the conduct of develop=ent projects
4 How do existing authority ~eLationships between these different leadership grous and the rural pub~ic affect the organization and operation of s~l-scale develop~ent projects
- 12 -
~
5 lhlt is the nature 0 pclgtlic participation in the establishlent and operatio~ of s~l-sclle projects and ~hat are the outcc=es or this participatioe Gucer w~at conditions is such participation ~ost likely to occur
We seek a~swe=s to t~cse questio s L order to determine the effect of
different co~iigurations of local leadership and public participation on the
outcomes or small-scale rural projects te are particular1y concerned with
the ~pact of these configurations on the rate of econocic growth and the
distribution o~ rIGSlth ithin the loal cOlllUlity ~ on the perce~tions of
s~ll-scale proj~cts by central govern~ent per~oncel and the rural public
anmiddot on the organiation or flture projects
To a~swer these que~tions it is oar intention to study the initia~ioD
izJple=enation ald i1lpact of a salple cpound small-scale rural projects in
Kanya Korea and Turley in the sae cOllities in which we carried OU
our initial icvestigations ~ 1973-75 Tne relationships between the -
various conf~gurations of local leadership and public participation and
the three phases of project develop~ant are sho~ in Figure 1 We will
exa=ine projects to pro~ote the adoption of new agricultural techniques
by s~l and moderate landnolders the building of feeder roads irrigation
ditches and other s~ple infrastructure the organization of fa~ers
cooperatives and other local associations concerned with rural development
the establish=ent of rural health clinicS and schools and the setting up
of craft and service industries
Sites for Study
We plan to return to our original set of localities because we possess
a rich body of relevant data on the extent to which linkages exist between
Figure 1
TYPES OF LFLUEXCE OF C2r~ middotGOVER1iEXT OFFCIALS
LoCu LEADERS 0 THE RURAL PUBLI-C OX THRr~
PHASES OF RURAL igtEVELOPHET PROJECTS
r----------~J C~ltral Gover1~nt Official)-N------- - J
r- Local pOlitical leaders
Local non-political leaders
~l 1---- -
ROJECT nITL~TIOS
Influ~ce on selection of projects
InrI ~elce on location of projects
Influence on policy guidelines for proj eCl
Il
I
a
I I
-I PROJECT I~L~~iATIO~ ~ 1
j Project Organizati I Selection of project
leadership
Hobilization of resources
Mobilizatiol of public compliance with project require=elts
Diffusion of project innovation
Rural Public
I
BEST AVAILABLE nOCUMENT
1 ROJECT IMPACT
Organization of ongoi=g project operation
Distribution of project benefits
Evaluation of project
Public attitudes toward project
-middot14 -
these areas and t~c central p~litical institutions of the three co~tries
and on the attit~es of the rural populacioc local leaders and elected
legislators regardi~g their problecs of develop~~c Since such data
is unavailable for alternative locales a return to the areas in which
we have previously done much research ~ables us to build on a uniquely
valuable body of icformation
A return to Kenya Korea and Turkey is also highly desirable from
the standpoint of effective research organization The Comparative
Legislative Research ~enter has developed close collaborative relationships
with several highly competent social scientists in these countries and
with the academic institutions with which these scholars are associated
We have also dev~_oped cooperative relatio~ships wi~ gove~ent officials
in these countries which should facilicate obtaining approval for our
further work
In proposing to doc~ent the origin i~pl~entation and impact of
one to three s~ll-scale develop=ent projects in each of 35 localities
we have two considerations in mind Firstmiddot because our pr~ry goal is
to deter~e the political conditions for rural developm~Lt we wish to
examine develQ~=ent in as many different settings as feasible Only in
this way can we control for so=e of the major socio-cultural variations
that erist along rural populations in less developed coultries These
include the overall level of econo~c development in the co~unity the
nature of t~e ~digenous culture an~ relationships of authority and the
pro~ty of the comounity to major urban areas and centers of central
gove~nt ad=inistration ~ce our original study sites were carefully
BEST AVAILABLE DOCUMENf
- 15 - ~ ~1
selected to represent these variations ye have concluded that these
35 localities woule be ideal sites for the propose~project Second~ in order to dete~~~ the ~pact of local leaders and public
participation o~ ~ural projects we intend to compare projects 1n which
local leaders and ~ecbers of the public have played a major ~ole with
projects in which they have not We also ~l cospare projects initiated
by the central gover~ent with projects Yhich have been locally initiated
These considerations give us a typology for selecting projects as depicted
in Figure 2
Figure 2 ~
FIVE TYPES OF RU~AL PROJCTS ACCORDIXG TO ~FLUEXCE OF CEITiW
GOVE~1E~T LOCAL LEADE~ AD RLRAL POULATIO~
Level of Participation by Rural Population
Locus of Project Initiation ~
Local Co=unity Central Governoent
BIGd
LOt
1 Projects initiated by local leaders and providing for participation of the rural ~opulation
4 Proje~ts Litiated by local leaders bu~ not involving participation of the rural population
2 Projects initiated by the Central Govern~ent and administered i~ cooperation with local leaders a~d the rural population
3 Projects initiated by the Central Govemlent and providing =or the participation of the rural population but by-passing local leaders
5 Projects initiated by the Central Gover~e~t a~d administered in cooeration Yith local leaders but not involvi~g parti~ipation of rural population
- 16 -
We recognize that the socio-cultural setting of rural develoment
projects varies significantly within and across less developed countries bull
By focussing o~ a representative sa=ple of localities ~ Ke~ya~ Korea
and Turkey we can take account of naoy~ though not all of these variations
While some of our substantive findings will not be directly generalizable
beyond the countries in which we propose to conduct our study we expect
that our basic ~ethods and fLdLgs will be applicable to national and
sub-national settings elsewhere in the developing world This is partly
d~e to the fact that the hierarchy of patron-client relations ~hich we
regard as a critical factor in rural develo~~t exists in ~ost Liles
--It is also due to the fact that the methodology for identifying local
bull leadership configurations auG poundor studying local politics which we are
perfe~ting can be used to assess local political co~ditions in a large
variety of countries even when the ~nditions themselves differ significantly
Methods of Investigation
The data needed to assess the iDpact of local leaders and mass
participaticn on rural dev~lop~nt fall into two categories Some a~e
contained among the data gathered for the research project we are currently
completing Others will require additional field research
The following data are already in hand
1 Data on the social landscape of each loc~l co~nity i~cluding aggregate data o~ level of econonic development de~graphic characteristics political pa=ticiation eth~ic loyalities and rates of socio-econocic change dur~g the past decade bull
2 Identity of local leaders including both political and I-on-political leaders and both legislators and other politicians
3 Perceptions of existiag probl~ and their possible solution a~ng
l)tS r AVAilABLE DOCUMENT
- 17 -
general public local leaders and civil serv~nts
4 Level of political kno~ledge among local citizens and local political leacers
5 Political and social values a~ong local ci~izecs and local political leaders
6 E~~ectacions of leadership roles among the local public and elected and non-elected leaders
7 Patterns of co~unication ~ong local leaders and between local leaders and the central gove~e~t
These data ~hich ~e already have in hand can be subjected to analyses
which ~~ll provida the foundation for our further work on rural develop~ent
projects A part of our work therefore will consist of fu~ther analyses
of existing data
New data of the following kinds are also required
1 Doc~entary data on the origin and evolution of particular smallshyscale develop~cnt projects in the rural areas
-2 Data on project costs boih ~itial invest=ent and recurring
operating costs and data on project ou~puts ie pupils in schools Ddles of road coopleted nl~ber of hospital a~ssions production of factory agricultural productivity
3 Data on project organizatio~ n~~r of local inha~itants participating in establis~~ent of projectt nuober of local L~habitants subsequently involved in project
4 Data-on the pe-cetion of projects by local leaders emers of the local public a~d by civil servants data on the perception of how each project ~as initiatec organized who benefitted and what its future implicatio~s are
These types of data will requ~re field work involv~~g both docucentary research
at the relevant ~istries of the central government and in local goverr~nt
authoritieS and inforoal open-ended interviews with local political leaders
elected representatives and other local leaders who~ we had previously ~
interviewed in a s=uctured syste=atic =aoner
BEST AVAILABLE DOCUMENT
- 18 -
Grant Organizatio~ and T~etable
We propose co undertake the research outlLled above beginning in the
fall se=ester 1977 Dur~g that te~ Professors Barkan and Kim as
principal investio~tors for the neo1 proj ect will contact their collaborators
in the host co~~tries They ~~ll also seek the collaboration of an additional
~rican scholar specializing in rural development with the aic of getting
additional advice on sources of data and suitable indicators for the
~easure=~~t of rural develop~ent projects
At the end of the fall seQester Professors Barkan and Kim will make
a trip to their research sites to disc~s details of the research organization
with their collaborators in the host countries and to recruit student
assistants Tney will devote the spring te~ 1978 to further analysis
of a~sting data at the University of Iowa
The gathering of additional dita L~ the field will begin in the s~er
of 1978 Professors Barkan and Kio will direct this work personally We
eAect that its coopletion ~~ll require three to six months This work ~1
involve the evaluation of central and local gove~ent reports on the
projects uncer investigation extensive on-site observations of the projects
and oen-e~ded interviews with the principal participants Our principal
respondents ~i1l be the local leaders and elected representatives we
have previously identified in the localities in which we have worked and
a sacple of active participants in the particular dpvelopment projects
being studied ~~ere necessary and apropriate surveys of the general
public will be uncertaken to assess the inpact of a given project on the
rural por)r We do not however leed 0 conduct systeAlatic sample surveys
BEST AVAILABLE DOCUMENT
- lY -
of the rur~l population as We did in 1974
In the organization of this research project we intend to reconstruct
the rese~rch tea=s ~e e=ployed during 1973-75 We shall again seek the
co11abo=~tion of P~ofessor Sc~~S-7o~g Pai of Seoul National University ~
Professor IIiCr Turan of the University of Istanbul and Professor John J
Ok~u of the U~iversity of ~arto~ S~ilarly w~ contemplate directing
the field research fro~ he same acade~ic research organizations we previously
used Seoul National U~ive~sity th~ ~~iversity of Istanbul and the
Insti~ute for Develop~eut S~udies University of Nairobi As before we
will tra~ students f~oo these institutions to serve as interviewers
The analysis of the open-ended intervie~s and of docUQentatio~ on
I ~ural develop=e~t projects will be a ~ore t~e-co~s~g process than the
analysis of closed intervie~s It will reqrire a high cotnittl~t of time
fron the principal investigators )e e--pec to hold a conference at the i
U~iversi~y of Iowa 3lO1g all the principal )clticipa~ts in the resea~ch
project d~=~g t~e spr~g 1979 to evalua~~ the newly collected data
le e~ pect to be able to vr-ite reports of t~ results during the Sl1~er 1979
(see Figre 3)
IV LlX-GS ~1) U~ILIZATIO~
At the e~d of the grant period the Uti ersity of Iowa will be able to
1) advise the Agalcy 01 the design of s~l-scale rural projects to assist
the rural poor 2) provide guidelines for social soundness analysiS of
small-scale projects for the rural areas of U)Cs 3) consult w~th the
Ag~tcy 01 the evaluatiol of rural projects ~d 4) provide LDe governments
BEST AVAILABLE DOCUMENT
)ATES
~lll
1977
~inter 1977
iprilg 1978
il mer 1978
~all
1978
ipr~ng
1979
Imiddoter 1979
University vf Iowa
Plutlning of rural develo~rent project
Barkan Kil
Alalysis of existing data
Barkan Kia
Data processing
3arkan Kin
1
I
- 4 -
Figura 3
GRAT TLfETABLE
SIT E S
Kenya Korea Turkey
Preparation of field research ural developH~lt project cOlisulta~io~ a research sites
BarkanOku=u Ki~Pai Tura~rkanKi~
Preparation of field resea-ch
Tural
Field research on rural cevelop~~t projects Bar~lOk~u Ki=Pai Turan
Co=pletion of Co=pletion of field resear~~I~ fiald researcr
Ok~u i Pai bull
f Coopletion of field research
Turan
Data analysis conference a~ong all princial i~vestigators at Un~versity of Iowa Barkan Kil Oku=u Pai Turan
Co=letiol of r~ral develop~ent
project
3arkan Kiz
BEST AVAILABLE DOCUMENT
I
- LL -
~ith speciali~cs o~ ru~al developcect ~mong their own citizens ~ho ha_
partcipatcd ~s collaborators in the Iowa projects
In the proposed project we Will test a series of hypotheses cOlcerning
the political cOllditions of rural develo=ent which run counter to CODOn
assuoptions conccrnir3 t~~ influence of rural politics on project effectiveness
As a result ~e ~dll be able to assist the Agency in designing and evaluating
such projects froe the point of V~~W 0 their political viability The
hypotheses We will test sugges~ t~at the patron-clie~t relations existing
in the local politics of zost LDCs are not necessarily i~pedients to rural
develop~ent but are aspects or the political structure which cal be used to
facilitate s~ll-scale ru=~ projects which will raise the standards of
living of _ ~ rral pomlation - As ~ result or our stuey we expect to be
able to P~-O~t the local leadership confi5~rations ~4d the relationships
between local leaders ald rural poclations ~nich are oost conducive to I
successful develcp=en efforts We believe that we will be agtle to perfect
a cat~odology for identifying the political conditions for rural develop~ent
one ~hich is transferable pound~oo the countries we have specialized in to
other LDCs
We proo~ to develop specific guidelines to assist administrators
charged with selecting evaluating and =onito~ing rural develop~ent
projects to ~szess t~esc rojects in tares of their-social and political
viability he outco~e of such projects is dete~ned not only by the
efrectiv~nass ~~=h ~hich they use scarce econo~c resources but by the
~~er L~ w=ich they e~gage the suppprt of local leaders and rural
po~ulatiocs~ by thei= effect ou social a~d econo~c equality ~d by
D[~T AvAlLA8LE DOCUMENT
- 22 -
their consequences for hwan rights ~Je plan to establish criteria by
middot~hic~ the probable outco~es of projects in these social terms can be
anticipatec
The study ~e propo e will be undertltlken by faculty at the Cniversicy
of lowe in collaboration with faculty a other ~rican institutions and
institutions in the host countries We will build on the extensive contacts
between the Co~perative Legislative Research Center of the ~niversity of
Iowa end other instituions with ~aich ~e have worked One =ajor result
of our collaborative study will be the existence of a net~ork of compe~ent
scholars both in this country and overseas experi~lced in ~orking together~
shar~g a co~on teaching and training experience i~ close contact throu~~ the
effective publications progr~ developed by the Co~parative Legislative Research
Center T~e e~~ertise of this group of individuals will be ava~lable to
oteer scholars to the Agency and ~o L~C governments for specific policy
advice The eXertise developed as a consequence of this project will
extend beyond the ~tionals of the countries ~volved since the univ~sities
engaged in ~e project attrtct stude~ts fro outside heir own countries
For ey~=ple the teaching ~d research progra in the Depar~ent of Political
Science 0 theUniversity of Istanbul heavily affected by the participation
of its facul~y ~e=bers and graduate students in our projects attracts students
throughout the ~middot1iddle East for Whom the University of Istanbul is the iajor
institution ~pound ~igher education in the region rne Institute for Developmen~
Studies is si=ilarly a focal point for students and faculty in East and
Central Africa Seoul ~atiocal Unive=sity attracts students froo other
Asia~ co~tries~ In this way the capability developed among the participant$
BEST AVAIL~BLE DOrUMENT
- ) -
in our work is diffused widely To the exte~ that the abili~y to assess
rural develop~ent p~ojects in teres of their social soundness is increased
both in the United States and in ~o~~tries r~ceiving develop=en~ assistance
the cap3~ity of racipien~ countr~es to absorb aid is ~creased
We propose to draw up an inventory of personnel available in ~~e
Cnited States and in other co~~tries who are able to consult with developen~
a~nistrators on the design of rural development projects and on their
evaluation We ~~ll draw first of ai~ on individuals w~o have been
directly associated with our ~ork in the past or on ~he proposed project
and ex~~~d the list to include graduate students and gove~ent officials
with who~ these individuals have wor~d
tole Yill utilize tha existing publication program of the Center
dercribed above to disse~inate our findings The Center has specialized
oailing lists of interested individuals and institutions in all parts of -i
the world and its reports can trerefore reach the ~st relevant audience
jirec~ly ~d re~~arly
BESl AVAIL~BLE OOCUMENT
CONTRACfjGRANTCOOPERATIVE AGREEMENT DATA SHEET
INSTRUCTIONS fjDW Complete 4 copies of the form Original SERCMSDSUP Statistical Section Copy Copy 2 SERCMSIiUP dministrative Copy opr 1 Contracting Officers COy COP) 4 SERCMSDSUP IUmin (Suspense) Copy
Missions Complde 2 copies oi the form Origin31 SERCMSDjSUF- Statistic31 Section Copy 3n~ Copy 2 Nill be ret31ned in the Missions
PART fA
ConU3lttorGranrce Name
University p~f~I~o~wa~ __ -r~ ____ ~~~~ __________ -~~ __ ~~~ ______________ ~~~~ Plorr Numt-er ApptopriJtion Number Allotment Number Project Number
930-0090-3Q13411 A5 72-111l0216 146-30-099-00-20-11 930-0090 Project Title
So~ia1 and Potitica1 Aspects of Development - Conference to Report Research Findings Amount of this Plorr I Projecl M3nagers Name and Offire Sytlbol
$10397 (increase) PDPRCP Jonatlan Silverstone Contr3ctors D-U-N-S Number
Ncgwatocs TYJlCd~3meJ j) Signature I l ~ jIf- bull G HtJ--ft u l IVmiddot
D~e
L - f - J ContractGrant Officqs typed Nailllt Signalure LJ d I -r-
plusmn t 3i-alflpta (( BLvle~ 1 I~ PARTm
ContractGranl Number
AID CSD-3294
Effeclive Date of Docum~nl Signalltre D3t~ of Documenl
Lf---C yen-~-gl tIost Courtry Institution (U iwrsity contract ONL Y)
Campus Coordinator (Uniwr ty i contract OiiL YJ
PART UL Descriplion of Cor-tractGrant P1use X ONL Y ONE item under each headiZg IF THEltrease CifYmC~e bolh ges I 30~~ O~ Nol to be completed for Amendmenl or Modlfic3lion AJigtns I III
J 710gt I I V ~ I
MOl - TYPE ACT A~ 0 G unsolicited Propsll (AIDIR 0 C Individual (Non-pe~nal senice)
~ O Cortra lGrantl ooperative Agreemenl 73101-SO(b)(6raquo 0 D Individual (ftrsonal Service)
tJl T3sk Order ( A)middot 0 H Procurement 10 be Perfocm~d by the Conmiddot 0 E UniversilyOther FAuC3lionailnSlitulions
D 2 Work Order (IQC) Ira~lor in Person (AIDPR 0 F Non-Profil Organizationlnslitutions (other
D 3 Delivety Order (Requirements) 73101middotSO(b)( Iraquo than Ed or PVO)
[j 4 Purchase Ordcr [J I Sole Source (AIOPR 7-3101-SO(b)(4)) 0 G Private Volunury Organization (PVO)
If I 2 or 3 1Lle an ~ compllle M 12 ON Y D J Imp3irmenl of Foreign Policy Objectiws 0 H International Agricultural Research Organj-
M04 - CONTRACTGRANT TYPE
o O MOA (BOA BMA etc)
o I Fixed Price (Specify fFP FPRD FPEPA FPI) _____ _
(gtIDPR 7-31 OJ SO(b)(7raquo
OK B(a)5eJection (FPR 1middot1713-1)
o L Grant iH1ndlOok 13)
o M Do Nol Ue
D 2 Cosl Reimburemenl (S~cil) CR CPFF 0 N Cooperative t~reement (Handbook 13)
CS CPAF CPIF) ~ 0 O Small Business SeImiddotAside (FPR 1middot1706-8)
o l Cooperative Agreemenl ~ 0 1 Overseas Procuring AClivilies (AIDPR
04 Grant Gener31 Supportmiddot 0U ~ 7lIOI-SC(b)(2))
o S Granl - Specific Support ~ ~06 E SER VICE
g ~ ~~t ~~(d) ~~ ~~ ~ eci~a~~~~~ogram Projeci
o amp IQCs ~ ~ relampted excepi A amp E Services)
o 9 Host Counlry ContraclGrnnt 5lJ C amp E Services
middotComplele ONLY through ~Sl ~~ 0 D Construction
M05 SELECTION PROCEDURES 0 E- Reseuch
o A Formally 3dverliscd (IFB) (A1DPR 7middot24 amp
FPR 1middot24) ~ o B Negoli3ted Price Compelilicn Gencr31
Procedure (RFP) (-JDPR 7456)
Dc A amp E (AIDPR 7410)
0 D Ed Inst andor Inl1 R~arch (-JDPR
74 5)
o E Collaboratoe Assisunce (IDPR 7458)
C F Predominant Capability (IOPR
73IOI-50(b)(l)
AID 1420-49 (179) - Page I
D F Technical Services to AID (other than trainmiddot
ing usually o~ating expense)
D G jraining SetVice for AID
o H Equipment Materi3J~ Supplies Commodities
D I Translation Service
~07middot TYPE CONTRACTORGRA-nEE
o A Firmmiddot AU profil-rn3king fUms (other than
Aamp E)
J e A amp E 8r~
zalion
o Public Inlmlational Organizations (UN
Agencies ICRC Wocld Bank elc)
(H8 J 3 Chapt~ S)
M08- TYPE AW~RD
o A S8 Sel-Aside - Awarded to Non-Minority
o B S8 Set-Asidemiddot Awarded to MinXity
o C_ S8 NOI Set-Aside - Awarded to Non-Minority
o D S8 NOI SeImiddotAsidemiddot Awarded 10 Minority
o Eo amp(a) S8A Awarded to Non-Minority (Womerl-
Owned Veterans etc)
o F 8(a) S8A Awarded 10 MinorilY
o G Personal Sen-ice ConlrdCt bull Non-Minority
o H IeJSDnal Service Conlract - MinorIty
o I Individual NonmiddotPersonal Service Contraci -
NonmiddotMinority
o J 100Jigtiduai NonmiddotPersonal Service Contracl -
Minorily
o K NOI Small Business (Univ NonmiddotProfit Large
Firms) Non-Minorily
o L- NOI Small 8usineSl (Univ Non-Profit Large
Firms) Minorily
o M US Govcrnmlnt
(Connnued on Page 2)
BEST AVLABIE DOCUMENT 1 I
--
ua ) R I GI NAL 9 bull
MODIFICATION or GRANT PAGE 1 of 2
AH 1 2 Effective Date 3 Grant No 4 Effective Date
Amend_at Ro 5 April 15 1981 AIDCSD- 3294 8-11-71
-s CRANTEE (Name and Addrea) 6 Administered by -Professor Gerhard Loewenberg -Office of Contract Management Cbrnparative Legislative Research Gente Central Operations Division Dept of Political Science am Branch University of Iowa Agency for International Developn~nt Iowa City Iowa 52240 Washington D C 20523
7 PIO No 930-0090- 3013411 A5 8 Previous PlOTa -
Appropriation No 72-11110216 93i-1l-995-l36 930-11-995-136-73-3078103
Allotment Symbol - 146-30-099-00-20-11 wunt Obliga ted by this ~ndrnent - $10397
The above numbered Grant is hereby modified as follows
1 Anotmt obligated prior to this rurendment 2 Amount obligated by this amendment 3 Total obligated anount (1 amp 2)
Delete the amJmt $465000 and substitute in lieu thereof the ammnt I$47S 39-7 ~
FUNDS AVAIrABm
~~ - APR 13 1981
PrO~A~~5iors
$465000 $ 10397 $475397
OffiCE Of fIN~(1 ~~rE~E~T __ _ 10 This amendment 11 entered into puruant to the authority of the Forelgn
Assistance Act of lS~l as amended Except aft hereln provided all terms and ~~ndi~ons nf the grant rcferpnccd in Block 13 remain unchsnged and in full force and ~ffcct
11 original and six Crantee 18 requlred to aign thh document aad return 1- eopics to issuing
ffiee
~~~ or printed) BUSINESS MAHAGR amp bull
Tille TREASURER
UNITpound) STATES OF AHERICA AGENCY FOR INTERNATIONAL DEVELO~NT
BY_-1(1o-_1lt--= 13middot~_1_~ __ K R B1uteau
(Name typed or printed)
Tltle~ ____ G_r_a_n_t __ O_f_f1_c_e_r ____________ __
D3tC APR 2 J 7997 Dolt 9 APq 1981
BEST AVAILABLE DOCUM NT ___ 0 HLGlNAL - I 1 J 1 ~ )
- 2 -
AID ftmds in the am)tmt of $10397 are hereby provided for the activities lmich are described in your proposal (including Budget Stnmnary) entitled CDnference to Report Research Findings on the Study of Political CDnditions for Effective Small-Scale Rural Assistance Projects in Kenya Korea and Turkey dated February 17 1981 and made a part of the Grant b reference
BtTDGET StMMARY
Line Item
Travel
Per Diem
Other Direct Costs
Less existing 211 (d) grant funds
Total Amount Obligated by this Amendment
Estimated Costs
$ 5888
5100
_ 2500 $13488
_ 3091
$lO39
Note Indirect costs or $395086 associated with these activities will be contributed by the University of Iowa
BEST AVAILABLE DOCUMENT
~RIGINAL
- CONTRACT IGRANTCOOPERA rIVE AGRElEMI~ SERC~SDSlP Actio) Monitor
SERCMSDSUP Action Office
I
INSTRUCTIONS AJDW - Complete 4 copit of tlh fonnmiddot Orisina iCMSDfSUP Sutistical Section COP)middot Copy 2 SERCMSDjSVP Administrative CoP Copy 3 Cont-acting Officers COP) Copy 4middot SOSUP Admin (Susptnse) Copy Missionsmiddot Complete 2 copies of the form or~aI SERCtSDSUP Statistical Section Copy and Copy = wiU~ retained in the Missions
0 PART IA
Effective Date of Document tJ
Delivery Order (Requirements)middot
o 4 Purcluse Order
bull If I 2 or 3 have an bull X compl~te M I 2 ON L Y
M04 - CONTRACTGRANT TYPE
o O MOA (BOA BMA etc)
o 1 Fixed Price (Specify FFP FPRD FPEP FPI) ___ _
o 2 COli Reimbursement (S~cifY CR CPFF CS CPAF CPIF) ______ _
o 3 Cooperative Agreement
o 4 Grantmiddot General Support
o S Grantmiddot Specifi Support
o 6 GraDt 21 led)middot
o 7 Do Not Use
o amp IQCs
o 9 Host Country ContractGrant
middotComplete ONLY through M 5 1
MOS SELECTION PROCEDURES
o A Formally advertised (IFB)(AJDPR 7middot24 amp
FPR 124)
o B Negotiated Prire Competition General
Procedure (RFP) (AIDPR 7456)
o Co A amp E (AlDPR 4 I 0)
o D Ed Ins andor Intl ReStalch (UDPR
7457)
o E Collaborative ASSistance (AIDPR 7458)
o F Predominant Capability (AIDPR
7-310l-50o)(3)
AID 142049 (1-79)middot Page J
o H Procurement Co be Performed b~ the Conshy
tra~tor in Person (AlDPR
7middot3t OI-SO(b)(Iraquo
o I Sole 5gturce (AIDPR 7middot3101middotSO(b)(4raquo
o J Impairment of Foreign Policy Objecdv~
(AIDPR 7middot310 ImiddotSO(b)(7raquo
o K 8(a) Selection (FPR 1middot1713-t)
o L Grant (Handbook J 3)
o M Do Not Vse
o N Cooperative Agreement (Handbook 13)
o O Small Business SetmiddotAside (FPR 11706-8)
o P Overseas Procuring Activities (AIDPR
7middot3101middotSO(b)(2raquo
M06middot TYPE SER VICE
o A TtJining of Participants
o B Technical Assistmce (Program Project
related exc~pt A amp E Services)
J C A amp E Services
0 D COltl~ruction
0 E Research
0 F Technical Services to AID (other than trainmiddot
ing usuaU Y operating ex pense)
0 G Training Service few AID
0 H Equipment Mat~rials Supplie~ Commodities
0 I Translation Service
07middot TYPE CONTRACTORGR TEE
Firmmiddot All profitmiddotmaking fu-r1s (other than
AampE)
o 9 amp E Firms
I Prcct NumbcT
I
Contactors D-U-N-S Numbcr
I) -S--f(j
o C Individual 0-lon-~rsora1 service)
o D Individual (Pet-sonal Service)
o E University lOt her EduCltionaJ Institutions
o F Non-Profit Organization Institutions (other
than Ed or PVO)
o G Private Voiuntary Organization (PVO)
o H International AgricultwaJ Research Organmiddot zation
o I Public International Organizadon~ (UN
Agencies ICRC ewld B3J1k etc)
(HB J 3 Chapter 5)
M08middot TYPE AWARD
o A SB SeImiddotAsidemiddot Awarded to Non-Minority
o B SB SetmiddotAside bull Awarded to Minority
o C SB Not SetmiddotAside - Awarded to Non-Minoril)i
o D SB Not SetmiddotAside - Awarded to Minority
o E ~a) SBA Awarded to Non-Minewity (Womeli
Owned Veterans etc)
o F 8(a) SBA w-rded 1o Minority
o G Personal Service Contractmiddot Non-Minority
o ~ Personal Service Contnct - Minority
o I Individual Non-Personal Sence Contractmiddot
NonmiddotMinority
o J Individual Non-Personal Service Contractmiddot
Minority
o K Not Small Business (Univ Non-Profit L1lge
Firms) --vn-Minority
o L Not Small BUSiness (Univ NonmiddotProfit Large
Firms) ~inoriy
o M VS Government
(Continued on Pcge 2i
t bull - t ~ J f q
ORIGINAL bull MODIFICATION OF GRANT
1 2 Effective Date
Araendllent Ro 4 12-2-80
s CRANTEE CHace and Addrels) Professor Ger1ard Lo~middot enbelg Comparative Legislative Research Deartment of Political Science The Lnivp-rsity of Iowa Iowa City Io~a 52240
7 PIO No NI A
Appropriation No 72-11XHl26
Center
Allotment Symbol -426-30-099-00-3~-71 Amount obligated by this urendment-O- I
3 Gnnt No
AIDcsd-3294
PAGE _____ 1 _of-L
AlI 4 Effective Date
8-11-71
~ Admlnlltered by -Office of Contract Management Central Operations Division OTR Branch Agency for International Development Washington DC 20523
8 Previous PIOITs -
931-11-995-136 930-11-995-136-73-3078103
9 The above numbered Grant is hereby modified as follows
Supplement to Grant
Change the duration period sentence to read
The Duration Period for this Grant shall be August 11 1971 through December 31 198]
1 Amount obligated prior to this amendment $465000 2 A~unt obligated by this amendment -0-3 Total obligated amount (1amp2) $465000
----------------_- - ------- ----_- ------ 10 Thh lImcndmcnt is entered inlo punuant to the authority of the Foreign
~ Assistance Act of 1961 86 amended Except a~ h~reln Z II provided all terms and condi tions nf the grant referenced in Block 3 remain ~~aunchlinged and In fu1l force and effNt cnltUI cJ)za 11 o 4 J bull
Et~ ai~a gtUoItshyc Z P=u
original and six Grantee t requi red to sign this document and return 1- eopies to 1Bufng
office
~ 12 GRANTEE TES OF AMERI CA
(Name typed or printed) bull
TJlle Director Comparative Legislative liecearell CeQtoQl
Date 12880
------------------------------------
ONAL DEVELOPMENT
By ----~--~~~~---------------------
prinled)
Grant Officer Title --------------------------------
J)oll( 12-2-80 -----------------------------
BEST AVAILBLE DOCUMENT i je
- 17 -
of te eo17i~g cCpterce br A I D rLld ethers In addi tion there
aS3essr~ents of the gr31t
middot l ~ lI ~ _ _ _ co~~~r~~ing ~~iversiti~s md tne rrctitoring ALD office
7re l~yersity of Ie~middot~ budget of $26500 is to be deveted to the
cemiddotelgt~e~ of lstituticnal cefete1Ce in comparotive legisl~tiye studies
~t Iomiddota c t~ the exalsi0 ot a date b~L-lt ~ hich 1fill be utilized as
a ecle for icrec3ing te scope of tbe sub-specialty
T - 1 f 1 __ middotja r S Ctdget a9roxir~tly 33- has bee allocated to a
cemiddote Lp~l t rirc ipally C actlty re leased tirre for data ccllection
ai 0 3alres f~r i~~er-ieers in field research 3d secretarial
assi5ta1ce nCt2 11- of t~e Icmiddotre oudge~ is iesignated for an
ArCE_1 A~ite s(101a~middot 2d one 0 ore scnolals froQ LDe or
s1lllrt of greluate stucents in the
BEST AVAfLIlBLE DOCUMENT
- 18 -
Finally approximately 19 of the budget will be devoted to the
proposed data bruL~ that will archive not only data generated from the
research of scholars at Iowa Duke and Hawaii but also at other US
and foreign institutions Primary and 3econdary an~ses of these
data will become an integral part of ~omparative legislative studies
curricula The ability to utilize the data bank for teaching purposes
also should have a significant impact on professional preparation ofmiddot
future legislative specialists In summary the funds will be
allocated to research teaching and training activities tha~ are
entirely conson~~t with the philosophy underlying the utilization of
2ll(d) grants to achieve institutional development
Conclusion
The University of Iowa regards the research and teacbing components
of this program to be closely related an1 zrutually reinforcing The
University of Iowa offers a strong base for the pro~ram because of the
interests of faculty members here now because of their contacts with
scholars in this field in other Americ~~ and foreign universities
because of their experience with the international exchange of faculty
and because of the distinctive data gathering and processing facilities
available in our Laborator~- for Political Research The program which
we have formulated is designed not only to accomplish specific
research and teaching objectives but to contribute to the long-term
development of the University of Iowa in an area in which it has already
exhibited special interest
BEST AVAILABLE DOCUMENT
~ I) - 0
- 19 -
The program on Comparative Legislative Studies with support from
this Grant rill develop the capacity at the University of Iowa to
provide assistance under separate financing arrangements to developing
countries in a number of ways and through a varieiy of channels This
assistance which would be arranged for end negotiated separate~ from
this Grant may be in the form of technical assistance advisory service
training research and information exchange etc It will be available
by mutual agreement to appropriate agencies national and international
public private a~d mixed and directly to the less developed countries
Most especially this added special competence will inevitably become
incorporated through the processes of scholarship and education into
the competence of US and foreign scholars and institutions concerned
with this topic of great significance to the developing and the more
highly developed countries alike
BUDGET SUMMARY
UNIVERSITY OF IOWA
Salaries
Graduate Student Stipends
Fringe Benefits
Travel
Equipment and Services
Other
TOTAL
$173090
32400
19209
13800
6501
20000
$265000
BEST AVAILABLE DOCUMENT
d bull
srjmiddot (~~ jjXilO
IO
rmiddotmiddot ~middotmiddotrl f)~~ 7 middot 1 ~A~~ middot1 rmiddot middot~ rt bull middot bull bullbull I ~ i bull bull ~ middotv- middot bullbull ~ I
1 so bullbullbull l ~--~-- - - ---- ~ V~ i Jlgt ) bullbullbull ~(lr v ~I ( tr_ 1middot-middot 1 bullbull 1
il l~ J
2 c~loto
BEST AVAILABLE DOCUMENT
(C
Dr Willa~d l Boyd Presicient University of Ima iowa City Iowa 52242
Dear Dr Boyd
4 AUG 1977
amp
FIJNDS AVAnASLe CpoundNrftAamp sEIMCEs DMsON
AUG11 ~n te t6417 ~77
Subject bull Supplsectferit-tJF-G~middotNomiddot~middot AIOcsd-3294
t middot-rrPJ1 3
I am pleased to inform you that pursuant to th~ auth~rity contained in
S-cction 211 (d) ooC the Foreign Assistance Act of 1961 as amended a sup
plemental grant in the amount of $200000 is h~reby r~de to University
of rCi1a These supplement]l grant funds areprolided to support the
activities which are described in your Proposal dated May 6 1977 for
the implementation of your program entitled Political Conditions for i
Effective Small-Scale Rural Assistant Projects
---This sup~lemental grant is mace to University of Iowa en condition that
yo~r institution shall administer the funas provided under this Grant fn
accordance lith your r~ay 6 197 proposal (including Budget SUmlilary) and
the Standard Provisions (as incorporated by Amendment No 1) which have
been agreed to by your instit1ltion Ti) the extent of an inconsistency
between the Proposal and the Standard Provisions and any otherprovisfons
which ar~ made a part of thi5 Giant by reference or other~iSe the Sta~d~
ard Provisions shall control
The new Duration Period for this Grant shall beAugust 11 1971 through
August 10 1979
The total amount of funds obligated under the grant is increased to reflect
a new total oblgated amount of $465000
Please sign the Statement of Assurance or Compliance ana the origfnal -
and seven (7) copies of this letter to acknowledge your understanding of
the conditions under which these funds have been granted Please return
the Statement of Assurance of Compliance and the original and six (6)
copies of this supplemental Grant to the Office of Contract Management
Attachment May 6 1977 Proposal and Budget SUfiT1a ry
UNIVERSITY OF IOWA
Roberw bull OBrien fficer
Ce al Operations Division Office of Contract Management
AC~E~E~C--_ 0 BYpoundk~~ cH
D C ~lpoundSTtR5BA T ITL E ( PfeampoidPilt for
tee ment amp Research DATE 9-22 -77 (d~ ~~Bduate Ctl~1e~e
BES i AvAILdLt UOCLJMU~ I
211(d) Grant Program
Proposal of the University of Iowa
POLITICAL CONDITIO~S FOR EFFECTIVE SMALL-SCALE
RURAL ASSISTA~CE PROJECTS
Submitt~Ci to
Civic Participation Division AID
May 6 1977
Amount requeste~ $ 199987
BEST AVAILABLE DOCUMENT
I TdE DEVEIOP~T PROBr~
P~litical Conditions for Rural Development
The Cocparative Legislative R~search Center of the University of
Iowa proposes to ~~dartake a two-year study to investigate the role of local
leaders and the rural public in theimplecentation of small-scale develop~ent
1 projects in less developed countries The study will use and extend the
capacity ~hich the University of Iowa developed under a 211(d) grant to
investigate and assess the impact of loeal politics on rural development
~t the co~pletion of the s~ Iowa will be in aposition to advise the
Agency on the design ~nd evaluation of s~ll-scale projects which will be
politically viabe a~d effective in ass~sting the rural poor ~
As students of development w~ approach our task with the assumption
that the proble~ of development and underdevelopment are funda~entally
ones of political econooy and a~ such can only be solved through a
simultaneous considerationof economic and political factors Efforts
which foc~s aloost solely on economic factors like those of ma~y
organizations engzed in dipersing foreign aid or efforts which focus
almost exclasively on political factors fail to take account of the
interdependence between these two dimensions of underdevelopment and
lwe have for~ulated this proposal in a canner consistent witr the cu~rent policies ard interests of the Agency We have been guided in our tsk by four Age~cy doc~e~ts Impleo~~tation of New Directions in Developnent Assista~c~~~ ~eport to the COmlittee on International Relations on Ilupleoenshytatiun of Legislative Refo~ in the Foreign Assistance Act of 1973 (July 1975) rItevis~d Projec Developiel Review and Approval Systeo (A I DL Circular A-21 Aril 23 1975) SH Butterfield Draft SUIilZ3ry StateUlent of a Practical Agelcy Approach c aural Devalopilelt (AATA February 28 1975) Cicci A Coce~ual Oie=viamiddot middot Rural Development No1 (lWorilting GOU O~ tha Rural Poor February 1975)
- l -
can meec with only l~ted success
Our concern with the i=pact of local politics on the process of
rural developcent is a result of our interest in the basic question of
how LDC governm~nts and the donor agencies which assist them can
become core effective in raising the standard of living of the rural
poor We seek answers to the following aspects of that basic question
1) What political conditions must exist both within rural communities
and between theo and central gove~ents to raise agricultural production
w~ere small-scale agriculture is the do~nant pattern 2) Vnat are the
political conditions for a core rapid expansion of the informal manufacturing
and service sector cocprised of labor intensive small-scale industries
located in the rural ar s 3) What political structures and activities
are mase crucial for the provision of welfare and econocic supporc services--
such as agricultural exeension mar~eting and transportation--to the rural
areas1 4) ~~at Folitical conditions oust exist to insure that economic
growth in the rural areas is not accowpanied by excessive and intolerable
inequalities between socio-economic classes andor between regions1
Center-Periphery Linkage in LDCs
To deter~ne the political conditions for rural development we have
in previo~s s~udies exacined the institutions and processes through which
rural populaticns are integrated i1to the national politi-cal systetlS of
middot~he countries in which they live A gap exis~s in most less developed
countries bet~een the peasantry residing on the periphery and the c~~tral
political ~stiutions staffe1 by ~~estern-educated bureaucratic elite
We are aware of the other major ~sti~utional discontinuities which comprise
J
4 middot~~1 the basic cleavage between the developed and underdewmiddoteloped sectors of
these dual societies Bridging these gaps is essential if these so~ieties ~ are to develop into viable nation states For until those Q~ the periphery
of the poli~ical syste~ participate in that system and support and comply
with the authority of central political institutions neither economic
development in ~he rural areas nor a stable polity will emerge
Bridging the discontinuities in these new political systems requires
establishing and institutionalizin3middot1inkages or networks for co~unication
and exchange of resources between decision-makers at the center and the
rural public on the periphery Three types of institutional linkages are
most prominent in less developed countries 1) those conSisting of the
state administration composed of the bureaucratice1ite 2) those consisting
of a revolutioncry political party cocposed of the ideological elite
3) and those conSisting of patron-client hierarchies composed of the political
entrepreneurial elite
Of these three linkages consisting of the state administration are
the cst extensive and pervasive in virtua~ly every LOC Such linkages
however exist primarily a~ instruwents of the center to penetrate the
periphery Central government officials are formally charged with bringing
develo~ent to the people This is a ~issi~n which conceives development
as a process ~hrough which a traditional peasantry is transformed and
assimilated iJro the DOdern center which is steadily expanding to embrace
it Agents of the center invariably have more resources to achieve their
objectives than do local political leaders but because they are frequently
strangers~ the communities in which they function they are often unable
- It -
co implement the policies of the center without working through the
local establis~ent
Though somctices significant linkages consist~g of revolutionary
party organizati~ns such as those found in China and Vietnam do not exist -
in most IDCs beca1Se of the special historical and e~omic conditions
required for their development As wi~h the administrative state however
the linkaampe apparatus of such political patties is prUlarily an instrument
of the center whose mission is to penetrate and mobilize those onthe
periphery
In contrast patron-client hierarchies are linkages which represent
the periphery at the center and mediate betwee~ these two disparate
sectors of the political systec Thcugh norcallymiddotovershadowed in scale
by the state administration patron-client hierarchies are found in almost
~very LDC a~d constitute the ~st significant network through which rural i
populations and their leaders influence the decision-~king process at
the center Patron-client hierarchies exist in a wide variety of org~iza-
tional fores ranging from info~ ~ec~~rks of individual olitical leaders
in uno-partyll systelS in S~b-SaharaI4 Africa to extensive political machines
in both one-p~rty (Africa Mexico) and ~u1ti-party systems (Turkey India)
Despite their importance as the pricary means through which peasants in
LDCs particiate in their political systems patron-client hi~rarchies
have only recently become an object of analysis by students of political
developent and do not appear in even the most sophisticated studies of
2 See Jo~ Dunca owell Peasant Socie~y and Clientelist Politics Aerican Politi~ Scielce Revietol 64 (June 1970) pp 411-25 Rene Lemarchand anc_ Keith Legg olitical ClienteliSJ and Ethnicity in Tropical Africa Aierican Political Sc~ecce ReView 66 (Y~rch 1972) pp 68-90 James C Scott PatronshyClient Politics a~d Political Change II 1tlerican Political Science Revie~ 66 (~arch 1972) p 91-113 and Friends Followers and Factiols bull edited by Steffan Sc~~d and James C Scott (Berkeley UniverSity of California Press 1977) bull
- 5 -
3 economic development Ad~niscrators of developmental assistance progracs
have too often regarded patron-clienc hierarchies as ~ped~ents to
develop~ent instead of recognizing cheir potential utility bull
~ Findings on Patron-Client Hierar~hies --
The importance of pat~on-clienc hierarchies for linking the periphery
to the center is one of the major findings ~erging from a study of the
relationships betueen l~gislators an~ their constituents in Kenya Korea
and Turkey ~hich the Cowparative Legislative Research Centpr is nov
comleting uader its 21l(d) grant from AID This study has av~mined the
creation of linkages between the periphery and the center through ~ore
than lO~OOO interviews with members of parl~ent local leaders and
peasants in t~e three countries The findings are being systewatically
set out in a book-length monograph Nearly a dozen research reports have -
uready appeared (see Appendix C) ipropositions about the nature of
political behavior of rural populations an~ the roles of local political
elites de=ived from the research~ can be s~rized as follows
1 Elected representa~ives play a significant role in the creation and mainte~ance of linkages be~een the center and periphery by developing local political achines in which they function as patrons of their constituents In turn thay s~rve as clients of political leaders of national stature who control central government institutions
2 By atte~pting to establish linkages based on patron-client relatio~shi~s elect~d representatives are responding to public expectations chat their prizary duy is to obtain resources from the center to proffiote local develop~ent ~iany elected repLesentatives spend most of their time on self-help co==unity development projects such 3S the building of schools health clinics irrigation works arid roads because such projects provide
3For exa~le ~ a widely respec~ed a~d useful analysis of rural deve16p~ent in Sub-Sahara~ Africa L~ Lele of the World Bank notes the problems of creating an adoini5~raive infrastructure in the rural areas that is sensitive to local socio-oliical conditions She does not however consider how local leaders operating o~tside of adcinistrative structures ~ night contribute to the developne~t 0 the rural areas See ~~ Lele ~ Design ~ Rural Develop~ent Lessons ~ Africa (Balt~re The Johns HopkiD~ Uciversity Press 1975) r) pp 127-61 i ~
- 6 -
their const~tuents with desired se~ices ~~d a= the sa~e time provide the reresentatives with an orgacization Yhicn can be used as a political base
3 l-tore than 90 perCel1t of the rural population is capable of articulating the p~oblems facing their local co~~ity and two-thirds discuss th~e proble~ w~th their fellow citizens on a regular basis
4 Three-q~rters of the residents of the rural areas can identify the public ofpoundici~s who serve thec--both civil servants and elected represcrtatives--by na~e Most are knowledgeable about the activities of these officials Alcost one-fifth coreover have discussed co~~~ity probl~ ~ith these officials particularly those working at the grassshyroots level Residents of rural villages actually have a higher level of political knowledge than their counterparts in the towns
5 Elections in the rural areas evoke a highly rational attern of voti~g despite the effects of ascriptive or traditional co~siderations Inc~ens are pri~rily evaluated in terms of their record in fulfilling the public r S elpectations of what they should do Elections are essentially referenda on inc~entsr perfo~ce especially their perforwance in the area of constituency servi~es such as bringing development projects to the districts bull
6 Local developcent projects have a relatively high s~olic value generating conscitutency support for local leaders and the central government at low cost
7 These projects help huild a local political infra-structure which can also be utilizec by central govern~nt civil servants to implement other policies designed to achieve rural develop~ent bull
The Icpac~ of Local Politics on Rural Projects
Having explored the developtent of linkages through which the periphery
is represented at che ~enter and through which the periphe~ attemp~s to
share in the ceners resources we now propose to build upon our initial
investigations by e~ing in greater detail the impact of local political
conditions on specific problecs of rural develop~ent We propose to
exacine the develop~ental activities of local leaders ~nd the rural public
by eX2~Ding a saple ot fifteen to twenty smalL~scale developwent projects
in each of ~he three countries which constituted the sites for our initial
8ESI AVAILABLE DOCUMENT 1 ~ - of
- 7 -
study of center-perhiphary relations The appropriateaess of this approach
and the ~ethodology through which it will be ip~emented is discussed in
section II Because the ~ethodology of investigation is in large part
the result of our previous research experience we fizst turn to a revieW
of the existinQ __ ~petence of the Comparative Legislative Research Center
in this area
II GRAXTEES EXISTIXG CmET~CE
In 1971 the University of Iowa received a 211(d) grant to develop
its capacity to do research on the role of elected represent~tives in
the process of modernization On the b~sis of this grant the University
established a research center which planned and carried out a research
project on the role of elected reres~~tatives as links between the central
gove~ent and rural populations in K~ya Korea and Turkey The project -i
served to develop t~e University of Iowas research capability in this
field esa~lished ties between the University and scholars in the bost
countries and generated a large and uniqu~ body of relevant data
In that project we fo~ussed our attention on tbe activities of elected
representatives in their constituencies notably in their contacts with
local political leaders voters and civil servants To determine tbe
nature of the linkage function performed by tbe representatives we
designed our research to explore the subject from three perspectives
1) we eXaojned ~~a ~ubject at tbe grass roots by conducting a series of
sample surveys of 200 to 300 adults in each of 12 to 14 parliamentary
constituencies in each cf th~6three countries 2) we examined the subject
at the center by intervie -ing MIls from the constituencies in which we
had conducted S3mple surveys ~nd higher civil servants with whom they
had contact and 3) ~e ex~~ined the subject from an inter-~diate level
by identifying aud ~terviewing local social and political leaders in
the MPs constituencies We used survey research methods because we
were embarking on the study of an entir~ly new subject for which little
relevant docu=e~tary data existed and on which there were few secondary
sources As a result ~e have unparalleled experience with survey
research in the rural areas of less develo~ed countries
The surveys which constituted the cajor part of our field work were
planned in collaboration ~~th scholars from the host countries They were
carried out in each constituency by student interviewers in the appropriate
language ~re than 10000 respo~dents were inteDViewed for the project
Given the visibility and sensitivity of this undertaking approval for
the research was sought and obtained from the host governments prior to -i
the collec~ion of data ~o objections were raised by these governments
at any stage of the research The data obtained have been made available
to scholars i~ the host co~cries and some of the basic findings have
been published in periodicdis in these countries
The Comarative Legislative Research Center ~hich ad~nistered the
project has aisO developed extensive experience in the study of political
leadership in other countries It h3s obta~ed substantial support from
the Fo~d Foundacion and the Rockeeller Foundation has worked in
collaboration ~~h European as ~ell as Asian and African scholars and
is engaged in a ajor study of the role of elected and non-elected leaders
in the oanag~~t o~~ocial conflict Because it has conGucted research
in a variey of setlngs the Center has an ~ceptional capacity to
- 9 -
determine how the relationships be~een political institutions and
economic p=oble75 differ in develoPed and less developed countries
In the course of the major research projects the Center has administered
it has gained highly specializpd ~p-i ce iI identifying 1Olitical leaders
in a great variety of settings conducting systematic interviews with
them collaborating with scholars in the host countries and in coding
and utilizing large files of data to answer specific research questions
The Center has ~lso undertaken to publish the results of its research
in three fores It issues codebooks to the data enabling scholrrs at
other locations to use the data expeditiously i~ publishes research reports - in the form of Occasional Papers and it publishes a scholarly periodical
devoted to the presentation of research findi~gs to an inteIT~tional
audience
The Center utilizes the data ~ysis facilities of the Laboratory
for Political Research of the University of Iowa and drawS on the unusual
n~er of secialists in comparamptive politics and survey research in
~~e Lniversitys Departmen of Political S~ience The Center itself I
has the services of an administrative secretary and a clerk-typist
~intains its~o~cn extensive archives and its o~~ publications program
It is e~uipped to assist scholars and government officials outside the
t~iversity of Io~a The participants in its p~ojects are full-tioe
faculty ~e=bers ~hose undergraduate and graduate teaching is closely
related to their research As part of the teaching program the Center
has attracted students from the countries in which the research projects
have been conducted these students have participated in the projects
bull J
have obtained training in other fields of political science have received
University of Iowa degrees~ and have ret~rned to teach and to do research
in their own countries
III PURPOSE OBJECTIVES AID METHODS
Purpose of Study
The purpose of the proposed grant is to extend the capacity of the
University of Iowa to determine the political conditions in the rural
areas of less developed countries which favor the establis~ent and growth
of small-scale developoent projects ~e objective is to put the University
of Iowa in a position to assist the Agency in designing small-scale rural
developent projects providing guidelines for carrying out social soundness
analyses of such projects and adviSing in the evaluation of projects
We will discuss the utilization of~t~e Universitys capacity in detail in
section IV below
We propose to concentrate our investigations on the political conditions
surrounding s~l-scale ru~al projects Such projects have distinctive
advantages They waximize the political participation of the rural populations
both in det~~-ining the direction ~d implementation of develop~ent efforts
and in defending the interests of periphery vis-~-vis the urban-based
bureaucratic elite S~ll-scale projects stimulate entrereneurial activity
on the part of the rural citizens and growth of the info~l canufacturing
and service sector Tbey require less lead tice and less administrative
c~erhead to ~eco~e operational than large-scale capital-intensive projects
centrally administered Such projects yield rapid and direct benefits to
1
j
the rural
- 11 b - ~~1
populations and are consistentwith their hUIlaD rights--both
political and economic However~ small-s~le projects pose s~ecial probl~s for administratcrs of developceocll assistance progracs because
they require the donor co assess the local olitics particularl the
rural politics of t~e host country
Develop~c adoinistrators pr~rily conc~rned with assisting rural
populations must therefore recognize the range of political variables
affectL~g these projects Small-scale projects offer great opportuoities
for develop~ental assistance progr~ because they can be easily targeted
to help rural populacions require low capital costs and need no be
concentrated in one or two localities Such projects ho~ever~ ~equire
the a~istrator to have ~re political kno~lecge than large-scale
projects Oil which his priJlary tas~ is guiding the work of other experts
Questions for ~Investigation
To detercine the politi~al cc~diicilS ~st conducive to ~he establ~~ent
and gro~h of scalI-scale rural projects ~e propose to address our inquiry
to the following specific questions
1 To what extent and why co local political leaders seek to establish s~~l-scale develop~ent projects within their co~unities
2 To what extent and ~~y do local leaders other than politicians initiate andor provide leadership for s=all-scale developm~t projects
3 Bot do the relations bet~Jeel different types of local leaders (political and non-political) and bet~eeo these leaders and central gove~ent civil servants posted to the rural areas affect the conduct of develop=ent projects
4 How do existing authority ~eLationships between these different leadership grous and the rural pub~ic affect the organization and operation of s~l-scale develop~ent projects
- 12 -
~
5 lhlt is the nature 0 pclgtlic participation in the establishlent and operatio~ of s~l-sclle projects and ~hat are the outcc=es or this participatioe Gucer w~at conditions is such participation ~ost likely to occur
We seek a~swe=s to t~cse questio s L order to determine the effect of
different co~iigurations of local leadership and public participation on the
outcomes or small-scale rural projects te are particular1y concerned with
the ~pact of these configurations on the rate of econocic growth and the
distribution o~ rIGSlth ithin the loal cOlllUlity ~ on the perce~tions of
s~ll-scale proj~cts by central govern~ent per~oncel and the rural public
anmiddot on the organiation or flture projects
To a~swer these que~tions it is oar intention to study the initia~ioD
izJple=enation ald i1lpact of a salple cpound small-scale rural projects in
Kanya Korea and Turley in the sae cOllities in which we carried OU
our initial icvestigations ~ 1973-75 Tne relationships between the -
various conf~gurations of local leadership and public participation and
the three phases of project develop~ant are sho~ in Figure 1 We will
exa=ine projects to pro~ote the adoption of new agricultural techniques
by s~l and moderate landnolders the building of feeder roads irrigation
ditches and other s~ple infrastructure the organization of fa~ers
cooperatives and other local associations concerned with rural development
the establish=ent of rural health clinicS and schools and the setting up
of craft and service industries
Sites for Study
We plan to return to our original set of localities because we possess
a rich body of relevant data on the extent to which linkages exist between
Figure 1
TYPES OF LFLUEXCE OF C2r~ middotGOVER1iEXT OFFCIALS
LoCu LEADERS 0 THE RURAL PUBLI-C OX THRr~
PHASES OF RURAL igtEVELOPHET PROJECTS
r----------~J C~ltral Gover1~nt Official)-N------- - J
r- Local pOlitical leaders
Local non-political leaders
~l 1---- -
ROJECT nITL~TIOS
Influ~ce on selection of projects
InrI ~elce on location of projects
Influence on policy guidelines for proj eCl
Il
I
a
I I
-I PROJECT I~L~~iATIO~ ~ 1
j Project Organizati I Selection of project
leadership
Hobilization of resources
Mobilizatiol of public compliance with project require=elts
Diffusion of project innovation
Rural Public
I
BEST AVAILABLE nOCUMENT
1 ROJECT IMPACT
Organization of ongoi=g project operation
Distribution of project benefits
Evaluation of project
Public attitudes toward project
-middot14 -
these areas and t~c central p~litical institutions of the three co~tries
and on the attit~es of the rural populacioc local leaders and elected
legislators regardi~g their problecs of develop~~c Since such data
is unavailable for alternative locales a return to the areas in which
we have previously done much research ~ables us to build on a uniquely
valuable body of icformation
A return to Kenya Korea and Turkey is also highly desirable from
the standpoint of effective research organization The Comparative
Legislative Research ~enter has developed close collaborative relationships
with several highly competent social scientists in these countries and
with the academic institutions with which these scholars are associated
We have also dev~_oped cooperative relatio~ships wi~ gove~ent officials
in these countries which should facilicate obtaining approval for our
further work
In proposing to doc~ent the origin i~pl~entation and impact of
one to three s~ll-scale develop=ent projects in each of 35 localities
we have two considerations in mind Firstmiddot because our pr~ry goal is
to deter~e the political conditions for rural developm~Lt we wish to
examine develQ~=ent in as many different settings as feasible Only in
this way can we control for so=e of the major socio-cultural variations
that erist along rural populations in less developed coultries These
include the overall level of econo~c development in the co~unity the
nature of t~e ~digenous culture an~ relationships of authority and the
pro~ty of the comounity to major urban areas and centers of central
gove~nt ad=inistration ~ce our original study sites were carefully
BEST AVAILABLE DOCUMENf
- 15 - ~ ~1
selected to represent these variations ye have concluded that these
35 localities woule be ideal sites for the propose~project Second~ in order to dete~~~ the ~pact of local leaders and public
participation o~ ~ural projects we intend to compare projects 1n which
local leaders and ~ecbers of the public have played a major ~ole with
projects in which they have not We also ~l cospare projects initiated
by the central gover~ent with projects Yhich have been locally initiated
These considerations give us a typology for selecting projects as depicted
in Figure 2
Figure 2 ~
FIVE TYPES OF RU~AL PROJCTS ACCORDIXG TO ~FLUEXCE OF CEITiW
GOVE~1E~T LOCAL LEADE~ AD RLRAL POULATIO~
Level of Participation by Rural Population
Locus of Project Initiation ~
Local Co=unity Central Governoent
BIGd
LOt
1 Projects initiated by local leaders and providing for participation of the rural ~opulation
4 Proje~ts Litiated by local leaders bu~ not involving participation of the rural population
2 Projects initiated by the Central Govern~ent and administered i~ cooperation with local leaders a~d the rural population
3 Projects initiated by the Central Govemlent and providing =or the participation of the rural population but by-passing local leaders
5 Projects initiated by the Central Gover~e~t a~d administered in cooeration Yith local leaders but not involvi~g parti~ipation of rural population
- 16 -
We recognize that the socio-cultural setting of rural develoment
projects varies significantly within and across less developed countries bull
By focussing o~ a representative sa=ple of localities ~ Ke~ya~ Korea
and Turkey we can take account of naoy~ though not all of these variations
While some of our substantive findings will not be directly generalizable
beyond the countries in which we propose to conduct our study we expect
that our basic ~ethods and fLdLgs will be applicable to national and
sub-national settings elsewhere in the developing world This is partly
d~e to the fact that the hierarchy of patron-client relations ~hich we
regard as a critical factor in rural develo~~t exists in ~ost Liles
--It is also due to the fact that the methodology for identifying local
bull leadership configurations auG poundor studying local politics which we are
perfe~ting can be used to assess local political co~ditions in a large
variety of countries even when the ~nditions themselves differ significantly
Methods of Investigation
The data needed to assess the iDpact of local leaders and mass
participaticn on rural dev~lop~nt fall into two categories Some a~e
contained among the data gathered for the research project we are currently
completing Others will require additional field research
The following data are already in hand
1 Data on the social landscape of each loc~l co~nity i~cluding aggregate data o~ level of econonic development de~graphic characteristics political pa=ticiation eth~ic loyalities and rates of socio-econocic change dur~g the past decade bull
2 Identity of local leaders including both political and I-on-political leaders and both legislators and other politicians
3 Perceptions of existiag probl~ and their possible solution a~ng
l)tS r AVAilABLE DOCUMENT
- 17 -
general public local leaders and civil serv~nts
4 Level of political kno~ledge among local citizens and local political leacers
5 Political and social values a~ong local ci~izecs and local political leaders
6 E~~ectacions of leadership roles among the local public and elected and non-elected leaders
7 Patterns of co~unication ~ong local leaders and between local leaders and the central gove~e~t
These data ~hich ~e already have in hand can be subjected to analyses
which ~~ll provida the foundation for our further work on rural develop~ent
projects A part of our work therefore will consist of fu~ther analyses
of existing data
New data of the following kinds are also required
1 Doc~entary data on the origin and evolution of particular smallshyscale develop~cnt projects in the rural areas
-2 Data on project costs boih ~itial invest=ent and recurring
operating costs and data on project ou~puts ie pupils in schools Ddles of road coopleted nl~ber of hospital a~ssions production of factory agricultural productivity
3 Data on project organizatio~ n~~r of local inha~itants participating in establis~~ent of projectt nuober of local L~habitants subsequently involved in project
4 Data-on the pe-cetion of projects by local leaders emers of the local public a~d by civil servants data on the perception of how each project ~as initiatec organized who benefitted and what its future implicatio~s are
These types of data will requ~re field work involv~~g both docucentary research
at the relevant ~istries of the central government and in local goverr~nt
authoritieS and inforoal open-ended interviews with local political leaders
elected representatives and other local leaders who~ we had previously ~
interviewed in a s=uctured syste=atic =aoner
BEST AVAILABLE DOCUMENT
- 18 -
Grant Organizatio~ and T~etable
We propose co undertake the research outlLled above beginning in the
fall se=ester 1977 Dur~g that te~ Professors Barkan and Kim as
principal investio~tors for the neo1 proj ect will contact their collaborators
in the host co~~tries They ~~ll also seek the collaboration of an additional
~rican scholar specializing in rural development with the aic of getting
additional advice on sources of data and suitable indicators for the
~easure=~~t of rural develop~ent projects
At the end of the fall seQester Professors Barkan and Kim will make
a trip to their research sites to disc~s details of the research organization
with their collaborators in the host countries and to recruit student
assistants Tney will devote the spring te~ 1978 to further analysis
of a~sting data at the University of Iowa
The gathering of additional dita L~ the field will begin in the s~er
of 1978 Professors Barkan and Kio will direct this work personally We
eAect that its coopletion ~~ll require three to six months This work ~1
involve the evaluation of central and local gove~ent reports on the
projects uncer investigation extensive on-site observations of the projects
and oen-e~ded interviews with the principal participants Our principal
respondents ~i1l be the local leaders and elected representatives we
have previously identified in the localities in which we have worked and
a sacple of active participants in the particular dpvelopment projects
being studied ~~ere necessary and apropriate surveys of the general
public will be uncertaken to assess the inpact of a given project on the
rural por)r We do not however leed 0 conduct systeAlatic sample surveys
BEST AVAILABLE DOCUMENT
- lY -
of the rur~l population as We did in 1974
In the organization of this research project we intend to reconstruct
the rese~rch tea=s ~e e=ployed during 1973-75 We shall again seek the
co11abo=~tion of P~ofessor Sc~~S-7o~g Pai of Seoul National University ~
Professor IIiCr Turan of the University of Istanbul and Professor John J
Ok~u of the U~iversity of ~arto~ S~ilarly w~ contemplate directing
the field research fro~ he same acade~ic research organizations we previously
used Seoul National U~ive~sity th~ ~~iversity of Istanbul and the
Insti~ute for Develop~eut S~udies University of Nairobi As before we
will tra~ students f~oo these institutions to serve as interviewers
The analysis of the open-ended intervie~s and of docUQentatio~ on
I ~ural develop=e~t projects will be a ~ore t~e-co~s~g process than the
analysis of closed intervie~s It will reqrire a high cotnittl~t of time
fron the principal investigators )e e--pec to hold a conference at the i
U~iversi~y of Iowa 3lO1g all the principal )clticipa~ts in the resea~ch
project d~=~g t~e spr~g 1979 to evalua~~ the newly collected data
le e~ pect to be able to vr-ite reports of t~ results during the Sl1~er 1979
(see Figre 3)
IV LlX-GS ~1) U~ILIZATIO~
At the e~d of the grant period the Uti ersity of Iowa will be able to
1) advise the Agalcy 01 the design of s~l-scale rural projects to assist
the rural poor 2) provide guidelines for social soundness analysiS of
small-scale projects for the rural areas of U)Cs 3) consult w~th the
Ag~tcy 01 the evaluatiol of rural projects ~d 4) provide LDe governments
BEST AVAILABLE DOCUMENT
)ATES
~lll
1977
~inter 1977
iprilg 1978
il mer 1978
~all
1978
ipr~ng
1979
Imiddoter 1979
University vf Iowa
Plutlning of rural develo~rent project
Barkan Kil
Alalysis of existing data
Barkan Kia
Data processing
3arkan Kin
1
I
- 4 -
Figura 3
GRAT TLfETABLE
SIT E S
Kenya Korea Turkey
Preparation of field research ural developH~lt project cOlisulta~io~ a research sites
BarkanOku=u Ki~Pai Tura~rkanKi~
Preparation of field resea-ch
Tural
Field research on rural cevelop~~t projects Bar~lOk~u Ki=Pai Turan
Co=pletion of Co=pletion of field resear~~I~ fiald researcr
Ok~u i Pai bull
f Coopletion of field research
Turan
Data analysis conference a~ong all princial i~vestigators at Un~versity of Iowa Barkan Kil Oku=u Pai Turan
Co=letiol of r~ral develop~ent
project
3arkan Kiz
BEST AVAILABLE DOCUMENT
I
- LL -
~ith speciali~cs o~ ru~al developcect ~mong their own citizens ~ho ha_
partcipatcd ~s collaborators in the Iowa projects
In the proposed project we Will test a series of hypotheses cOlcerning
the political cOllditions of rural develo=ent which run counter to CODOn
assuoptions conccrnir3 t~~ influence of rural politics on project effectiveness
As a result ~e ~dll be able to assist the Agency in designing and evaluating
such projects froe the point of V~~W 0 their political viability The
hypotheses We will test sugges~ t~at the patron-clie~t relations existing
in the local politics of zost LDCs are not necessarily i~pedients to rural
develop~ent but are aspects or the political structure which cal be used to
facilitate s~ll-scale ru=~ projects which will raise the standards of
living of _ ~ rral pomlation - As ~ result or our stuey we expect to be
able to P~-O~t the local leadership confi5~rations ~4d the relationships
between local leaders ald rural poclations ~nich are oost conducive to I
successful develcp=en efforts We believe that we will be agtle to perfect
a cat~odology for identifying the political conditions for rural develop~ent
one ~hich is transferable pound~oo the countries we have specialized in to
other LDCs
We proo~ to develop specific guidelines to assist administrators
charged with selecting evaluating and =onito~ing rural develop~ent
projects to ~szess t~esc rojects in tares of their-social and political
viability he outco~e of such projects is dete~ned not only by the
efrectiv~nass ~~=h ~hich they use scarce econo~c resources but by the
~~er L~ w=ich they e~gage the suppprt of local leaders and rural
po~ulatiocs~ by thei= effect ou social a~d econo~c equality ~d by
D[~T AvAlLA8LE DOCUMENT
- 22 -
their consequences for hwan rights ~Je plan to establish criteria by
middot~hic~ the probable outco~es of projects in these social terms can be
anticipatec
The study ~e propo e will be undertltlken by faculty at the Cniversicy
of lowe in collaboration with faculty a other ~rican institutions and
institutions in the host countries We will build on the extensive contacts
between the Co~perative Legislative Research Center of the ~niversity of
Iowa end other instituions with ~aich ~e have worked One =ajor result
of our collaborative study will be the existence of a net~ork of compe~ent
scholars both in this country and overseas experi~lced in ~orking together~
shar~g a co~on teaching and training experience i~ close contact throu~~ the
effective publications progr~ developed by the Co~parative Legislative Research
Center T~e e~~ertise of this group of individuals will be ava~lable to
oteer scholars to the Agency and ~o L~C governments for specific policy
advice The eXertise developed as a consequence of this project will
extend beyond the ~tionals of the countries ~volved since the univ~sities
engaged in ~e project attrtct stude~ts fro outside heir own countries
For ey~=ple the teaching ~d research progra in the Depar~ent of Political
Science 0 theUniversity of Istanbul heavily affected by the participation
of its facul~y ~e=bers and graduate students in our projects attracts students
throughout the ~middot1iddle East for Whom the University of Istanbul is the iajor
institution ~pound ~igher education in the region rne Institute for Developmen~
Studies is si=ilarly a focal point for students and faculty in East and
Central Africa Seoul ~atiocal Unive=sity attracts students froo other
Asia~ co~tries~ In this way the capability developed among the participant$
BEST AVAIL~BLE DOrUMENT
- ) -
in our work is diffused widely To the exte~ that the abili~y to assess
rural develop~ent p~ojects in teres of their social soundness is increased
both in the United States and in ~o~~tries r~ceiving develop=en~ assistance
the cap3~ity of racipien~ countr~es to absorb aid is ~creased
We propose to draw up an inventory of personnel available in ~~e
Cnited States and in other co~~tries who are able to consult with developen~
a~nistrators on the design of rural development projects and on their
evaluation We ~~ll draw first of ai~ on individuals w~o have been
directly associated with our ~ork in the past or on ~he proposed project
and ex~~~d the list to include graduate students and gove~ent officials
with who~ these individuals have wor~d
tole Yill utilize tha existing publication program of the Center
dercribed above to disse~inate our findings The Center has specialized
oailing lists of interested individuals and institutions in all parts of -i
the world and its reports can trerefore reach the ~st relevant audience
jirec~ly ~d re~~arly
BESl AVAIL~BLE OOCUMENT
CONTRACfjGRANTCOOPERATIVE AGREEMENT DATA SHEET
INSTRUCTIONS fjDW Complete 4 copies of the form Original SERCMSDSUP Statistical Section Copy Copy 2 SERCMSIiUP dministrative Copy opr 1 Contracting Officers COy COP) 4 SERCMSDSUP IUmin (Suspense) Copy
Missions Complde 2 copies oi the form Origin31 SERCMSDjSUF- Statistic31 Section Copy 3n~ Copy 2 Nill be ret31ned in the Missions
PART fA
ConU3lttorGranrce Name
University p~f~I~o~wa~ __ -r~ ____ ~~~~ __________ -~~ __ ~~~ ______________ ~~~~ Plorr Numt-er ApptopriJtion Number Allotment Number Project Number
930-0090-3Q13411 A5 72-111l0216 146-30-099-00-20-11 930-0090 Project Title
So~ia1 and Potitica1 Aspects of Development - Conference to Report Research Findings Amount of this Plorr I Projecl M3nagers Name and Offire Sytlbol
$10397 (increase) PDPRCP Jonatlan Silverstone Contr3ctors D-U-N-S Number
Ncgwatocs TYJlCd~3meJ j) Signature I l ~ jIf- bull G HtJ--ft u l IVmiddot
D~e
L - f - J ContractGrant Officqs typed Nailllt Signalure LJ d I -r-
plusmn t 3i-alflpta (( BLvle~ 1 I~ PARTm
ContractGranl Number
AID CSD-3294
Effeclive Date of Docum~nl Signalltre D3t~ of Documenl
Lf---C yen-~-gl tIost Courtry Institution (U iwrsity contract ONL Y)
Campus Coordinator (Uniwr ty i contract OiiL YJ
PART UL Descriplion of Cor-tractGrant P1use X ONL Y ONE item under each headiZg IF THEltrease CifYmC~e bolh ges I 30~~ O~ Nol to be completed for Amendmenl or Modlfic3lion AJigtns I III
J 710gt I I V ~ I
MOl - TYPE ACT A~ 0 G unsolicited Propsll (AIDIR 0 C Individual (Non-pe~nal senice)
~ O Cortra lGrantl ooperative Agreemenl 73101-SO(b)(6raquo 0 D Individual (ftrsonal Service)
tJl T3sk Order ( A)middot 0 H Procurement 10 be Perfocm~d by the Conmiddot 0 E UniversilyOther FAuC3lionailnSlitulions
D 2 Work Order (IQC) Ira~lor in Person (AIDPR 0 F Non-Profil Organizationlnslitutions (other
D 3 Delivety Order (Requirements) 73101middotSO(b)( Iraquo than Ed or PVO)
[j 4 Purchase Ordcr [J I Sole Source (AIOPR 7-3101-SO(b)(4)) 0 G Private Volunury Organization (PVO)
If I 2 or 3 1Lle an ~ compllle M 12 ON Y D J Imp3irmenl of Foreign Policy Objectiws 0 H International Agricultural Research Organj-
M04 - CONTRACTGRANT TYPE
o O MOA (BOA BMA etc)
o I Fixed Price (Specify fFP FPRD FPEPA FPI) _____ _
(gtIDPR 7-31 OJ SO(b)(7raquo
OK B(a)5eJection (FPR 1middot1713-1)
o L Grant iH1ndlOok 13)
o M Do Nol Ue
D 2 Cosl Reimburemenl (S~cil) CR CPFF 0 N Cooperative t~reement (Handbook 13)
CS CPAF CPIF) ~ 0 O Small Business SeImiddotAside (FPR 1middot1706-8)
o l Cooperative Agreemenl ~ 0 1 Overseas Procuring AClivilies (AIDPR
04 Grant Gener31 Supportmiddot 0U ~ 7lIOI-SC(b)(2))
o S Granl - Specific Support ~ ~06 E SER VICE
g ~ ~~t ~~(d) ~~ ~~ ~ eci~a~~~~~ogram Projeci
o amp IQCs ~ ~ relampted excepi A amp E Services)
o 9 Host Counlry ContraclGrnnt 5lJ C amp E Services
middotComplele ONLY through ~Sl ~~ 0 D Construction
M05 SELECTION PROCEDURES 0 E- Reseuch
o A Formally 3dverliscd (IFB) (A1DPR 7middot24 amp
FPR 1middot24) ~ o B Negoli3ted Price Compelilicn Gencr31
Procedure (RFP) (-JDPR 7456)
Dc A amp E (AIDPR 7410)
0 D Ed Inst andor Inl1 R~arch (-JDPR
74 5)
o E Collaboratoe Assisunce (IDPR 7458)
C F Predominant Capability (IOPR
73IOI-50(b)(l)
AID 1420-49 (179) - Page I
D F Technical Services to AID (other than trainmiddot
ing usually o~ating expense)
D G jraining SetVice for AID
o H Equipment Materi3J~ Supplies Commodities
D I Translation Service
~07middot TYPE CONTRACTORGRA-nEE
o A Firmmiddot AU profil-rn3king fUms (other than
Aamp E)
J e A amp E 8r~
zalion
o Public Inlmlational Organizations (UN
Agencies ICRC Wocld Bank elc)
(H8 J 3 Chapt~ S)
M08- TYPE AW~RD
o A S8 Sel-Aside - Awarded to Non-Minority
o B S8 Set-Asidemiddot Awarded to MinXity
o C_ S8 NOI Set-Aside - Awarded to Non-Minority
o D S8 NOI SeImiddotAsidemiddot Awarded 10 Minority
o Eo amp(a) S8A Awarded to Non-Minority (Womerl-
Owned Veterans etc)
o F 8(a) S8A Awarded 10 MinorilY
o G Personal Sen-ice ConlrdCt bull Non-Minority
o H IeJSDnal Service Conlract - MinorIty
o I Individual NonmiddotPersonal Service Contraci -
NonmiddotMinority
o J 100Jigtiduai NonmiddotPersonal Service Contracl -
Minorily
o K NOI Small Business (Univ NonmiddotProfit Large
Firms) Non-Minorily
o L- NOI Small 8usineSl (Univ Non-Profit Large
Firms) Minorily
o M US Govcrnmlnt
(Connnued on Page 2)
BEST AVLABIE DOCUMENT 1 I
--
ua ) R I GI NAL 9 bull
MODIFICATION or GRANT PAGE 1 of 2
AH 1 2 Effective Date 3 Grant No 4 Effective Date
Amend_at Ro 5 April 15 1981 AIDCSD- 3294 8-11-71
-s CRANTEE (Name and Addrea) 6 Administered by -Professor Gerhard Loewenberg -Office of Contract Management Cbrnparative Legislative Research Gente Central Operations Division Dept of Political Science am Branch University of Iowa Agency for International Developn~nt Iowa City Iowa 52240 Washington D C 20523
7 PIO No 930-0090- 3013411 A5 8 Previous PlOTa -
Appropriation No 72-11110216 93i-1l-995-l36 930-11-995-136-73-3078103
Allotment Symbol - 146-30-099-00-20-11 wunt Obliga ted by this ~ndrnent - $10397
The above numbered Grant is hereby modified as follows
1 Anotmt obligated prior to this rurendment 2 Amount obligated by this amendment 3 Total obligated anount (1 amp 2)
Delete the amJmt $465000 and substitute in lieu thereof the ammnt I$47S 39-7 ~
FUNDS AVAIrABm
~~ - APR 13 1981
PrO~A~~5iors
$465000 $ 10397 $475397
OffiCE Of fIN~(1 ~~rE~E~T __ _ 10 This amendment 11 entered into puruant to the authority of the Forelgn
Assistance Act of lS~l as amended Except aft hereln provided all terms and ~~ndi~ons nf the grant rcferpnccd in Block 13 remain unchsnged and in full force and ~ffcct
11 original and six Crantee 18 requlred to aign thh document aad return 1- eopics to issuing
ffiee
~~~ or printed) BUSINESS MAHAGR amp bull
Tille TREASURER
UNITpound) STATES OF AHERICA AGENCY FOR INTERNATIONAL DEVELO~NT
BY_-1(1o-_1lt--= 13middot~_1_~ __ K R B1uteau
(Name typed or printed)
Tltle~ ____ G_r_a_n_t __ O_f_f1_c_e_r ____________ __
D3tC APR 2 J 7997 Dolt 9 APq 1981
BEST AVAILABLE DOCUM NT ___ 0 HLGlNAL - I 1 J 1 ~ )
- 2 -
AID ftmds in the am)tmt of $10397 are hereby provided for the activities lmich are described in your proposal (including Budget Stnmnary) entitled CDnference to Report Research Findings on the Study of Political CDnditions for Effective Small-Scale Rural Assistance Projects in Kenya Korea and Turkey dated February 17 1981 and made a part of the Grant b reference
BtTDGET StMMARY
Line Item
Travel
Per Diem
Other Direct Costs
Less existing 211 (d) grant funds
Total Amount Obligated by this Amendment
Estimated Costs
$ 5888
5100
_ 2500 $13488
_ 3091
$lO39
Note Indirect costs or $395086 associated with these activities will be contributed by the University of Iowa
BEST AVAILABLE DOCUMENT
~RIGINAL
- CONTRACT IGRANTCOOPERA rIVE AGRElEMI~ SERC~SDSlP Actio) Monitor
SERCMSDSUP Action Office
I
INSTRUCTIONS AJDW - Complete 4 copit of tlh fonnmiddot Orisina iCMSDfSUP Sutistical Section COP)middot Copy 2 SERCMSDjSVP Administrative CoP Copy 3 Cont-acting Officers COP) Copy 4middot SOSUP Admin (Susptnse) Copy Missionsmiddot Complete 2 copies of the form or~aI SERCtSDSUP Statistical Section Copy and Copy = wiU~ retained in the Missions
0 PART IA
Effective Date of Document tJ
Delivery Order (Requirements)middot
o 4 Purcluse Order
bull If I 2 or 3 have an bull X compl~te M I 2 ON L Y
M04 - CONTRACTGRANT TYPE
o O MOA (BOA BMA etc)
o 1 Fixed Price (Specify FFP FPRD FPEP FPI) ___ _
o 2 COli Reimbursement (S~cifY CR CPFF CS CPAF CPIF) ______ _
o 3 Cooperative Agreement
o 4 Grantmiddot General Support
o S Grantmiddot Specifi Support
o 6 GraDt 21 led)middot
o 7 Do Not Use
o amp IQCs
o 9 Host Country ContractGrant
middotComplete ONLY through M 5 1
MOS SELECTION PROCEDURES
o A Formally advertised (IFB)(AJDPR 7middot24 amp
FPR 124)
o B Negotiated Prire Competition General
Procedure (RFP) (AIDPR 7456)
o Co A amp E (AlDPR 4 I 0)
o D Ed Ins andor Intl ReStalch (UDPR
7457)
o E Collaborative ASSistance (AIDPR 7458)
o F Predominant Capability (AIDPR
7-310l-50o)(3)
AID 142049 (1-79)middot Page J
o H Procurement Co be Performed b~ the Conshy
tra~tor in Person (AlDPR
7middot3t OI-SO(b)(Iraquo
o I Sole 5gturce (AIDPR 7middot3101middotSO(b)(4raquo
o J Impairment of Foreign Policy Objecdv~
(AIDPR 7middot310 ImiddotSO(b)(7raquo
o K 8(a) Selection (FPR 1middot1713-t)
o L Grant (Handbook J 3)
o M Do Not Vse
o N Cooperative Agreement (Handbook 13)
o O Small Business SetmiddotAside (FPR 11706-8)
o P Overseas Procuring Activities (AIDPR
7middot3101middotSO(b)(2raquo
M06middot TYPE SER VICE
o A TtJining of Participants
o B Technical Assistmce (Program Project
related exc~pt A amp E Services)
J C A amp E Services
0 D COltl~ruction
0 E Research
0 F Technical Services to AID (other than trainmiddot
ing usuaU Y operating ex pense)
0 G Training Service few AID
0 H Equipment Mat~rials Supplie~ Commodities
0 I Translation Service
07middot TYPE CONTRACTORGR TEE
Firmmiddot All profitmiddotmaking fu-r1s (other than
AampE)
o 9 amp E Firms
I Prcct NumbcT
I
Contactors D-U-N-S Numbcr
I) -S--f(j
o C Individual 0-lon-~rsora1 service)
o D Individual (Pet-sonal Service)
o E University lOt her EduCltionaJ Institutions
o F Non-Profit Organization Institutions (other
than Ed or PVO)
o G Private Voiuntary Organization (PVO)
o H International AgricultwaJ Research Organmiddot zation
o I Public International Organizadon~ (UN
Agencies ICRC ewld B3J1k etc)
(HB J 3 Chapter 5)
M08middot TYPE AWARD
o A SB SeImiddotAsidemiddot Awarded to Non-Minority
o B SB SetmiddotAside bull Awarded to Minority
o C SB Not SetmiddotAside - Awarded to Non-Minoril)i
o D SB Not SetmiddotAside - Awarded to Minority
o E ~a) SBA Awarded to Non-Minewity (Womeli
Owned Veterans etc)
o F 8(a) SBA w-rded 1o Minority
o G Personal Service Contractmiddot Non-Minority
o ~ Personal Service Contnct - Minority
o I Individual Non-Personal Sence Contractmiddot
NonmiddotMinority
o J Individual Non-Personal Service Contractmiddot
Minority
o K Not Small Business (Univ Non-Profit L1lge
Firms) --vn-Minority
o L Not Small BUSiness (Univ NonmiddotProfit Large
Firms) ~inoriy
o M VS Government
(Continued on Pcge 2i
t bull - t ~ J f q
ORIGINAL bull MODIFICATION OF GRANT
1 2 Effective Date
Araendllent Ro 4 12-2-80
s CRANTEE CHace and Addrels) Professor Ger1ard Lo~middot enbelg Comparative Legislative Research Deartment of Political Science The Lnivp-rsity of Iowa Iowa City Io~a 52240
7 PIO No NI A
Appropriation No 72-11XHl26
Center
Allotment Symbol -426-30-099-00-3~-71 Amount obligated by this urendment-O- I
3 Gnnt No
AIDcsd-3294
PAGE _____ 1 _of-L
AlI 4 Effective Date
8-11-71
~ Admlnlltered by -Office of Contract Management Central Operations Division OTR Branch Agency for International Development Washington DC 20523
8 Previous PIOITs -
931-11-995-136 930-11-995-136-73-3078103
9 The above numbered Grant is hereby modified as follows
Supplement to Grant
Change the duration period sentence to read
The Duration Period for this Grant shall be August 11 1971 through December 31 198]
1 Amount obligated prior to this amendment $465000 2 A~unt obligated by this amendment -0-3 Total obligated amount (1amp2) $465000
----------------_- - ------- ----_- ------ 10 Thh lImcndmcnt is entered inlo punuant to the authority of the Foreign
~ Assistance Act of 1961 86 amended Except a~ h~reln Z II provided all terms and condi tions nf the grant referenced in Block 3 remain ~~aunchlinged and In fu1l force and effNt cnltUI cJ)za 11 o 4 J bull
Et~ ai~a gtUoItshyc Z P=u
original and six Grantee t requi red to sign this document and return 1- eopies to 1Bufng
office
~ 12 GRANTEE TES OF AMERI CA
(Name typed or printed) bull
TJlle Director Comparative Legislative liecearell CeQtoQl
Date 12880
------------------------------------
ONAL DEVELOPMENT
By ----~--~~~~---------------------
prinled)
Grant Officer Title --------------------------------
J)oll( 12-2-80 -----------------------------
BEST AVAILBLE DOCUMENT i je
- 18 -
Finally approximately 19 of the budget will be devoted to the
proposed data bruL~ that will archive not only data generated from the
research of scholars at Iowa Duke and Hawaii but also at other US
and foreign institutions Primary and 3econdary an~ses of these
data will become an integral part of ~omparative legislative studies
curricula The ability to utilize the data bank for teaching purposes
also should have a significant impact on professional preparation ofmiddot
future legislative specialists In summary the funds will be
allocated to research teaching and training activities tha~ are
entirely conson~~t with the philosophy underlying the utilization of
2ll(d) grants to achieve institutional development
Conclusion
The University of Iowa regards the research and teacbing components
of this program to be closely related an1 zrutually reinforcing The
University of Iowa offers a strong base for the pro~ram because of the
interests of faculty members here now because of their contacts with
scholars in this field in other Americ~~ and foreign universities
because of their experience with the international exchange of faculty
and because of the distinctive data gathering and processing facilities
available in our Laborator~- for Political Research The program which
we have formulated is designed not only to accomplish specific
research and teaching objectives but to contribute to the long-term
development of the University of Iowa in an area in which it has already
exhibited special interest
BEST AVAILABLE DOCUMENT
~ I) - 0
- 19 -
The program on Comparative Legislative Studies with support from
this Grant rill develop the capacity at the University of Iowa to
provide assistance under separate financing arrangements to developing
countries in a number of ways and through a varieiy of channels This
assistance which would be arranged for end negotiated separate~ from
this Grant may be in the form of technical assistance advisory service
training research and information exchange etc It will be available
by mutual agreement to appropriate agencies national and international
public private a~d mixed and directly to the less developed countries
Most especially this added special competence will inevitably become
incorporated through the processes of scholarship and education into
the competence of US and foreign scholars and institutions concerned
with this topic of great significance to the developing and the more
highly developed countries alike
BUDGET SUMMARY
UNIVERSITY OF IOWA
Salaries
Graduate Student Stipends
Fringe Benefits
Travel
Equipment and Services
Other
TOTAL
$173090
32400
19209
13800
6501
20000
$265000
BEST AVAILABLE DOCUMENT
d bull
srjmiddot (~~ jjXilO
IO
rmiddotmiddot ~middotmiddotrl f)~~ 7 middot 1 ~A~~ middot1 rmiddot middot~ rt bull middot bull bullbull I ~ i bull bull ~ middotv- middot bullbull ~ I
1 so bullbullbull l ~--~-- - - ---- ~ V~ i Jlgt ) bullbullbull ~(lr v ~I ( tr_ 1middot-middot 1 bullbull 1
il l~ J
2 c~loto
BEST AVAILABLE DOCUMENT
(C
Dr Willa~d l Boyd Presicient University of Ima iowa City Iowa 52242
Dear Dr Boyd
4 AUG 1977
amp
FIJNDS AVAnASLe CpoundNrftAamp sEIMCEs DMsON
AUG11 ~n te t6417 ~77
Subject bull Supplsectferit-tJF-G~middotNomiddot~middot AIOcsd-3294
t middot-rrPJ1 3
I am pleased to inform you that pursuant to th~ auth~rity contained in
S-cction 211 (d) ooC the Foreign Assistance Act of 1961 as amended a sup
plemental grant in the amount of $200000 is h~reby r~de to University
of rCi1a These supplement]l grant funds areprolided to support the
activities which are described in your Proposal dated May 6 1977 for
the implementation of your program entitled Political Conditions for i
Effective Small-Scale Rural Assistant Projects
---This sup~lemental grant is mace to University of Iowa en condition that
yo~r institution shall administer the funas provided under this Grant fn
accordance lith your r~ay 6 197 proposal (including Budget SUmlilary) and
the Standard Provisions (as incorporated by Amendment No 1) which have
been agreed to by your instit1ltion Ti) the extent of an inconsistency
between the Proposal and the Standard Provisions and any otherprovisfons
which ar~ made a part of thi5 Giant by reference or other~iSe the Sta~d~
ard Provisions shall control
The new Duration Period for this Grant shall beAugust 11 1971 through
August 10 1979
The total amount of funds obligated under the grant is increased to reflect
a new total oblgated amount of $465000
Please sign the Statement of Assurance or Compliance ana the origfnal -
and seven (7) copies of this letter to acknowledge your understanding of
the conditions under which these funds have been granted Please return
the Statement of Assurance of Compliance and the original and six (6)
copies of this supplemental Grant to the Office of Contract Management
Attachment May 6 1977 Proposal and Budget SUfiT1a ry
UNIVERSITY OF IOWA
Roberw bull OBrien fficer
Ce al Operations Division Office of Contract Management
AC~E~E~C--_ 0 BYpoundk~~ cH
D C ~lpoundSTtR5BA T ITL E ( PfeampoidPilt for
tee ment amp Research DATE 9-22 -77 (d~ ~~Bduate Ctl~1e~e
BES i AvAILdLt UOCLJMU~ I
211(d) Grant Program
Proposal of the University of Iowa
POLITICAL CONDITIO~S FOR EFFECTIVE SMALL-SCALE
RURAL ASSISTA~CE PROJECTS
Submitt~Ci to
Civic Participation Division AID
May 6 1977
Amount requeste~ $ 199987
BEST AVAILABLE DOCUMENT
I TdE DEVEIOP~T PROBr~
P~litical Conditions for Rural Development
The Cocparative Legislative R~search Center of the University of
Iowa proposes to ~~dartake a two-year study to investigate the role of local
leaders and the rural public in theimplecentation of small-scale develop~ent
1 projects in less developed countries The study will use and extend the
capacity ~hich the University of Iowa developed under a 211(d) grant to
investigate and assess the impact of loeal politics on rural development
~t the co~pletion of the s~ Iowa will be in aposition to advise the
Agency on the design ~nd evaluation of s~ll-scale projects which will be
politically viabe a~d effective in ass~sting the rural poor ~
As students of development w~ approach our task with the assumption
that the proble~ of development and underdevelopment are funda~entally
ones of political econooy and a~ such can only be solved through a
simultaneous considerationof economic and political factors Efforts
which foc~s aloost solely on economic factors like those of ma~y
organizations engzed in dipersing foreign aid or efforts which focus
almost exclasively on political factors fail to take account of the
interdependence between these two dimensions of underdevelopment and
lwe have for~ulated this proposal in a canner consistent witr the cu~rent policies ard interests of the Agency We have been guided in our tsk by four Age~cy doc~e~ts Impleo~~tation of New Directions in Developnent Assista~c~~~ ~eport to the COmlittee on International Relations on Ilupleoenshytatiun of Legislative Refo~ in the Foreign Assistance Act of 1973 (July 1975) rItevis~d Projec Developiel Review and Approval Systeo (A I DL Circular A-21 Aril 23 1975) SH Butterfield Draft SUIilZ3ry StateUlent of a Practical Agelcy Approach c aural Devalopilelt (AATA February 28 1975) Cicci A Coce~ual Oie=viamiddot middot Rural Development No1 (lWorilting GOU O~ tha Rural Poor February 1975)
- l -
can meec with only l~ted success
Our concern with the i=pact of local politics on the process of
rural developcent is a result of our interest in the basic question of
how LDC governm~nts and the donor agencies which assist them can
become core effective in raising the standard of living of the rural
poor We seek answers to the following aspects of that basic question
1) What political conditions must exist both within rural communities
and between theo and central gove~ents to raise agricultural production
w~ere small-scale agriculture is the do~nant pattern 2) Vnat are the
political conditions for a core rapid expansion of the informal manufacturing
and service sector cocprised of labor intensive small-scale industries
located in the rural ar s 3) What political structures and activities
are mase crucial for the provision of welfare and econocic supporc services--
such as agricultural exeension mar~eting and transportation--to the rural
areas1 4) ~~at Folitical conditions oust exist to insure that economic
growth in the rural areas is not accowpanied by excessive and intolerable
inequalities between socio-economic classes andor between regions1
Center-Periphery Linkage in LDCs
To deter~ne the political conditions for rural development we have
in previo~s s~udies exacined the institutions and processes through which
rural populaticns are integrated i1to the national politi-cal systetlS of
middot~he countries in which they live A gap exis~s in most less developed
countries bet~een the peasantry residing on the periphery and the c~~tral
political ~stiutions staffe1 by ~~estern-educated bureaucratic elite
We are aware of the other major ~sti~utional discontinuities which comprise
J
4 middot~~1 the basic cleavage between the developed and underdewmiddoteloped sectors of
these dual societies Bridging these gaps is essential if these so~ieties ~ are to develop into viable nation states For until those Q~ the periphery
of the poli~ical syste~ participate in that system and support and comply
with the authority of central political institutions neither economic
development in ~he rural areas nor a stable polity will emerge
Bridging the discontinuities in these new political systems requires
establishing and institutionalizin3middot1inkages or networks for co~unication
and exchange of resources between decision-makers at the center and the
rural public on the periphery Three types of institutional linkages are
most prominent in less developed countries 1) those conSisting of the
state administration composed of the bureaucratice1ite 2) those consisting
of a revolutioncry political party cocposed of the ideological elite
3) and those conSisting of patron-client hierarchies composed of the political
entrepreneurial elite
Of these three linkages consisting of the state administration are
the cst extensive and pervasive in virtua~ly every LOC Such linkages
however exist primarily a~ instruwents of the center to penetrate the
periphery Central government officials are formally charged with bringing
develo~ent to the people This is a ~issi~n which conceives development
as a process ~hrough which a traditional peasantry is transformed and
assimilated iJro the DOdern center which is steadily expanding to embrace
it Agents of the center invariably have more resources to achieve their
objectives than do local political leaders but because they are frequently
strangers~ the communities in which they function they are often unable
- It -
co implement the policies of the center without working through the
local establis~ent
Though somctices significant linkages consist~g of revolutionary
party organizati~ns such as those found in China and Vietnam do not exist -
in most IDCs beca1Se of the special historical and e~omic conditions
required for their development As wi~h the administrative state however
the linkaampe apparatus of such political patties is prUlarily an instrument
of the center whose mission is to penetrate and mobilize those onthe
periphery
In contrast patron-client hierarchies are linkages which represent
the periphery at the center and mediate betwee~ these two disparate
sectors of the political systec Thcugh norcallymiddotovershadowed in scale
by the state administration patron-client hierarchies are found in almost
~very LDC a~d constitute the ~st significant network through which rural i
populations and their leaders influence the decision-~king process at
the center Patron-client hierarchies exist in a wide variety of org~iza-
tional fores ranging from info~ ~ec~~rks of individual olitical leaders
in uno-partyll systelS in S~b-SaharaI4 Africa to extensive political machines
in both one-p~rty (Africa Mexico) and ~u1ti-party systems (Turkey India)
Despite their importance as the pricary means through which peasants in
LDCs particiate in their political systems patron-client hi~rarchies
have only recently become an object of analysis by students of political
developent and do not appear in even the most sophisticated studies of
2 See Jo~ Dunca owell Peasant Socie~y and Clientelist Politics Aerican Politi~ Scielce Revietol 64 (June 1970) pp 411-25 Rene Lemarchand anc_ Keith Legg olitical ClienteliSJ and Ethnicity in Tropical Africa Aierican Political Sc~ecce ReView 66 (Y~rch 1972) pp 68-90 James C Scott PatronshyClient Politics a~d Political Change II 1tlerican Political Science Revie~ 66 (~arch 1972) p 91-113 and Friends Followers and Factiols bull edited by Steffan Sc~~d and James C Scott (Berkeley UniverSity of California Press 1977) bull
- 5 -
3 economic development Ad~niscrators of developmental assistance progracs
have too often regarded patron-clienc hierarchies as ~ped~ents to
develop~ent instead of recognizing cheir potential utility bull
~ Findings on Patron-Client Hierar~hies --
The importance of pat~on-clienc hierarchies for linking the periphery
to the center is one of the major findings ~erging from a study of the
relationships betueen l~gislators an~ their constituents in Kenya Korea
and Turkey ~hich the Cowparative Legislative Research Centpr is nov
comleting uader its 21l(d) grant from AID This study has av~mined the
creation of linkages between the periphery and the center through ~ore
than lO~OOO interviews with members of parl~ent local leaders and
peasants in t~e three countries The findings are being systewatically
set out in a book-length monograph Nearly a dozen research reports have -
uready appeared (see Appendix C) ipropositions about the nature of
political behavior of rural populations an~ the roles of local political
elites de=ived from the research~ can be s~rized as follows
1 Elected representa~ives play a significant role in the creation and mainte~ance of linkages be~een the center and periphery by developing local political achines in which they function as patrons of their constituents In turn thay s~rve as clients of political leaders of national stature who control central government institutions
2 By atte~pting to establish linkages based on patron-client relatio~shi~s elect~d representatives are responding to public expectations chat their prizary duy is to obtain resources from the center to proffiote local develop~ent ~iany elected repLesentatives spend most of their time on self-help co==unity development projects such 3S the building of schools health clinics irrigation works arid roads because such projects provide
3For exa~le ~ a widely respec~ed a~d useful analysis of rural deve16p~ent in Sub-Sahara~ Africa L~ Lele of the World Bank notes the problems of creating an adoini5~raive infrastructure in the rural areas that is sensitive to local socio-oliical conditions She does not however consider how local leaders operating o~tside of adcinistrative structures ~ night contribute to the developne~t 0 the rural areas See ~~ Lele ~ Design ~ Rural Develop~ent Lessons ~ Africa (Balt~re The Johns HopkiD~ Uciversity Press 1975) r) pp 127-61 i ~
- 6 -
their const~tuents with desired se~ices ~~d a= the sa~e time provide the reresentatives with an orgacization Yhicn can be used as a political base
3 l-tore than 90 perCel1t of the rural population is capable of articulating the p~oblems facing their local co~~ity and two-thirds discuss th~e proble~ w~th their fellow citizens on a regular basis
4 Three-q~rters of the residents of the rural areas can identify the public ofpoundici~s who serve thec--both civil servants and elected represcrtatives--by na~e Most are knowledgeable about the activities of these officials Alcost one-fifth coreover have discussed co~~~ity probl~ ~ith these officials particularly those working at the grassshyroots level Residents of rural villages actually have a higher level of political knowledge than their counterparts in the towns
5 Elections in the rural areas evoke a highly rational attern of voti~g despite the effects of ascriptive or traditional co~siderations Inc~ens are pri~rily evaluated in terms of their record in fulfilling the public r S elpectations of what they should do Elections are essentially referenda on inc~entsr perfo~ce especially their perforwance in the area of constituency servi~es such as bringing development projects to the districts bull
6 Local developcent projects have a relatively high s~olic value generating conscitutency support for local leaders and the central government at low cost
7 These projects help huild a local political infra-structure which can also be utilizec by central govern~nt civil servants to implement other policies designed to achieve rural develop~ent bull
The Icpac~ of Local Politics on Rural Projects
Having explored the developtent of linkages through which the periphery
is represented at che ~enter and through which the periphe~ attemp~s to
share in the ceners resources we now propose to build upon our initial
investigations by e~ing in greater detail the impact of local political
conditions on specific problecs of rural develop~ent We propose to
exacine the develop~ental activities of local leaders ~nd the rural public
by eX2~Ding a saple ot fifteen to twenty smalL~scale developwent projects
in each of ~he three countries which constituted the sites for our initial
8ESI AVAILABLE DOCUMENT 1 ~ - of
- 7 -
study of center-perhiphary relations The appropriateaess of this approach
and the ~ethodology through which it will be ip~emented is discussed in
section II Because the ~ethodology of investigation is in large part
the result of our previous research experience we fizst turn to a revieW
of the existinQ __ ~petence of the Comparative Legislative Research Center
in this area
II GRAXTEES EXISTIXG CmET~CE
In 1971 the University of Iowa received a 211(d) grant to develop
its capacity to do research on the role of elected represent~tives in
the process of modernization On the b~sis of this grant the University
established a research center which planned and carried out a research
project on the role of elected reres~~tatives as links between the central
gove~ent and rural populations in K~ya Korea and Turkey The project -i
served to develop t~e University of Iowas research capability in this
field esa~lished ties between the University and scholars in the bost
countries and generated a large and uniqu~ body of relevant data
In that project we fo~ussed our attention on tbe activities of elected
representatives in their constituencies notably in their contacts with
local political leaders voters and civil servants To determine tbe
nature of the linkage function performed by tbe representatives we
designed our research to explore the subject from three perspectives
1) we eXaojned ~~a ~ubject at tbe grass roots by conducting a series of
sample surveys of 200 to 300 adults in each of 12 to 14 parliamentary
constituencies in each cf th~6three countries 2) we examined the subject
at the center by intervie -ing MIls from the constituencies in which we
had conducted S3mple surveys ~nd higher civil servants with whom they
had contact and 3) ~e ex~~ined the subject from an inter-~diate level
by identifying aud ~terviewing local social and political leaders in
the MPs constituencies We used survey research methods because we
were embarking on the study of an entir~ly new subject for which little
relevant docu=e~tary data existed and on which there were few secondary
sources As a result ~e have unparalleled experience with survey
research in the rural areas of less develo~ed countries
The surveys which constituted the cajor part of our field work were
planned in collaboration ~~th scholars from the host countries They were
carried out in each constituency by student interviewers in the appropriate
language ~re than 10000 respo~dents were inteDViewed for the project
Given the visibility and sensitivity of this undertaking approval for
the research was sought and obtained from the host governments prior to -i
the collec~ion of data ~o objections were raised by these governments
at any stage of the research The data obtained have been made available
to scholars i~ the host co~cries and some of the basic findings have
been published in periodicdis in these countries
The Comarative Legislative Research Center ~hich ad~nistered the
project has aisO developed extensive experience in the study of political
leadership in other countries It h3s obta~ed substantial support from
the Fo~d Foundacion and the Rockeeller Foundation has worked in
collaboration ~~h European as ~ell as Asian and African scholars and
is engaged in a ajor study of the role of elected and non-elected leaders
in the oanag~~t o~~ocial conflict Because it has conGucted research
in a variey of setlngs the Center has an ~ceptional capacity to
- 9 -
determine how the relationships be~een political institutions and
economic p=oble75 differ in develoPed and less developed countries
In the course of the major research projects the Center has administered
it has gained highly specializpd ~p-i ce iI identifying 1Olitical leaders
in a great variety of settings conducting systematic interviews with
them collaborating with scholars in the host countries and in coding
and utilizing large files of data to answer specific research questions
The Center has ~lso undertaken to publish the results of its research
in three fores It issues codebooks to the data enabling scholrrs at
other locations to use the data expeditiously i~ publishes research reports - in the form of Occasional Papers and it publishes a scholarly periodical
devoted to the presentation of research findi~gs to an inteIT~tional
audience
The Center utilizes the data ~ysis facilities of the Laboratory
for Political Research of the University of Iowa and drawS on the unusual
n~er of secialists in comparamptive politics and survey research in
~~e Lniversitys Departmen of Political S~ience The Center itself I
has the services of an administrative secretary and a clerk-typist
~intains its~o~cn extensive archives and its o~~ publications program
It is e~uipped to assist scholars and government officials outside the
t~iversity of Io~a The participants in its p~ojects are full-tioe
faculty ~e=bers ~hose undergraduate and graduate teaching is closely
related to their research As part of the teaching program the Center
has attracted students from the countries in which the research projects
have been conducted these students have participated in the projects
bull J
have obtained training in other fields of political science have received
University of Iowa degrees~ and have ret~rned to teach and to do research
in their own countries
III PURPOSE OBJECTIVES AID METHODS
Purpose of Study
The purpose of the proposed grant is to extend the capacity of the
University of Iowa to determine the political conditions in the rural
areas of less developed countries which favor the establis~ent and growth
of small-scale developoent projects ~e objective is to put the University
of Iowa in a position to assist the Agency in designing small-scale rural
developent projects providing guidelines for carrying out social soundness
analyses of such projects and adviSing in the evaluation of projects
We will discuss the utilization of~t~e Universitys capacity in detail in
section IV below
We propose to concentrate our investigations on the political conditions
surrounding s~l-scale ru~al projects Such projects have distinctive
advantages They waximize the political participation of the rural populations
both in det~~-ining the direction ~d implementation of develop~ent efforts
and in defending the interests of periphery vis-~-vis the urban-based
bureaucratic elite S~ll-scale projects stimulate entrereneurial activity
on the part of the rural citizens and growth of the info~l canufacturing
and service sector Tbey require less lead tice and less administrative
c~erhead to ~eco~e operational than large-scale capital-intensive projects
centrally administered Such projects yield rapid and direct benefits to
1
j
the rural
- 11 b - ~~1
populations and are consistentwith their hUIlaD rights--both
political and economic However~ small-s~le projects pose s~ecial probl~s for administratcrs of developceocll assistance progracs because
they require the donor co assess the local olitics particularl the
rural politics of t~e host country
Develop~c adoinistrators pr~rily conc~rned with assisting rural
populations must therefore recognize the range of political variables
affectL~g these projects Small-scale projects offer great opportuoities
for develop~ental assistance progr~ because they can be easily targeted
to help rural populacions require low capital costs and need no be
concentrated in one or two localities Such projects ho~ever~ ~equire
the a~istrator to have ~re political kno~lecge than large-scale
projects Oil which his priJlary tas~ is guiding the work of other experts
Questions for ~Investigation
To detercine the politi~al cc~diicilS ~st conducive to ~he establ~~ent
and gro~h of scalI-scale rural projects ~e propose to address our inquiry
to the following specific questions
1 To what extent and why co local political leaders seek to establish s~~l-scale develop~ent projects within their co~unities
2 To what extent and ~~y do local leaders other than politicians initiate andor provide leadership for s=all-scale developm~t projects
3 Bot do the relations bet~Jeel different types of local leaders (political and non-political) and bet~eeo these leaders and central gove~ent civil servants posted to the rural areas affect the conduct of develop=ent projects
4 How do existing authority ~eLationships between these different leadership grous and the rural pub~ic affect the organization and operation of s~l-scale develop~ent projects
- 12 -
~
5 lhlt is the nature 0 pclgtlic participation in the establishlent and operatio~ of s~l-sclle projects and ~hat are the outcc=es or this participatioe Gucer w~at conditions is such participation ~ost likely to occur
We seek a~swe=s to t~cse questio s L order to determine the effect of
different co~iigurations of local leadership and public participation on the
outcomes or small-scale rural projects te are particular1y concerned with
the ~pact of these configurations on the rate of econocic growth and the
distribution o~ rIGSlth ithin the loal cOlllUlity ~ on the perce~tions of
s~ll-scale proj~cts by central govern~ent per~oncel and the rural public
anmiddot on the organiation or flture projects
To a~swer these que~tions it is oar intention to study the initia~ioD
izJple=enation ald i1lpact of a salple cpound small-scale rural projects in
Kanya Korea and Turley in the sae cOllities in which we carried OU
our initial icvestigations ~ 1973-75 Tne relationships between the -
various conf~gurations of local leadership and public participation and
the three phases of project develop~ant are sho~ in Figure 1 We will
exa=ine projects to pro~ote the adoption of new agricultural techniques
by s~l and moderate landnolders the building of feeder roads irrigation
ditches and other s~ple infrastructure the organization of fa~ers
cooperatives and other local associations concerned with rural development
the establish=ent of rural health clinicS and schools and the setting up
of craft and service industries
Sites for Study
We plan to return to our original set of localities because we possess
a rich body of relevant data on the extent to which linkages exist between
Figure 1
TYPES OF LFLUEXCE OF C2r~ middotGOVER1iEXT OFFCIALS
LoCu LEADERS 0 THE RURAL PUBLI-C OX THRr~
PHASES OF RURAL igtEVELOPHET PROJECTS
r----------~J C~ltral Gover1~nt Official)-N------- - J
r- Local pOlitical leaders
Local non-political leaders
~l 1---- -
ROJECT nITL~TIOS
Influ~ce on selection of projects
InrI ~elce on location of projects
Influence on policy guidelines for proj eCl
Il
I
a
I I
-I PROJECT I~L~~iATIO~ ~ 1
j Project Organizati I Selection of project
leadership
Hobilization of resources
Mobilizatiol of public compliance with project require=elts
Diffusion of project innovation
Rural Public
I
BEST AVAILABLE nOCUMENT
1 ROJECT IMPACT
Organization of ongoi=g project operation
Distribution of project benefits
Evaluation of project
Public attitudes toward project
-middot14 -
these areas and t~c central p~litical institutions of the three co~tries
and on the attit~es of the rural populacioc local leaders and elected
legislators regardi~g their problecs of develop~~c Since such data
is unavailable for alternative locales a return to the areas in which
we have previously done much research ~ables us to build on a uniquely
valuable body of icformation
A return to Kenya Korea and Turkey is also highly desirable from
the standpoint of effective research organization The Comparative
Legislative Research ~enter has developed close collaborative relationships
with several highly competent social scientists in these countries and
with the academic institutions with which these scholars are associated
We have also dev~_oped cooperative relatio~ships wi~ gove~ent officials
in these countries which should facilicate obtaining approval for our
further work
In proposing to doc~ent the origin i~pl~entation and impact of
one to three s~ll-scale develop=ent projects in each of 35 localities
we have two considerations in mind Firstmiddot because our pr~ry goal is
to deter~e the political conditions for rural developm~Lt we wish to
examine develQ~=ent in as many different settings as feasible Only in
this way can we control for so=e of the major socio-cultural variations
that erist along rural populations in less developed coultries These
include the overall level of econo~c development in the co~unity the
nature of t~e ~digenous culture an~ relationships of authority and the
pro~ty of the comounity to major urban areas and centers of central
gove~nt ad=inistration ~ce our original study sites were carefully
BEST AVAILABLE DOCUMENf
- 15 - ~ ~1
selected to represent these variations ye have concluded that these
35 localities woule be ideal sites for the propose~project Second~ in order to dete~~~ the ~pact of local leaders and public
participation o~ ~ural projects we intend to compare projects 1n which
local leaders and ~ecbers of the public have played a major ~ole with
projects in which they have not We also ~l cospare projects initiated
by the central gover~ent with projects Yhich have been locally initiated
These considerations give us a typology for selecting projects as depicted
in Figure 2
Figure 2 ~
FIVE TYPES OF RU~AL PROJCTS ACCORDIXG TO ~FLUEXCE OF CEITiW
GOVE~1E~T LOCAL LEADE~ AD RLRAL POULATIO~
Level of Participation by Rural Population
Locus of Project Initiation ~
Local Co=unity Central Governoent
BIGd
LOt
1 Projects initiated by local leaders and providing for participation of the rural ~opulation
4 Proje~ts Litiated by local leaders bu~ not involving participation of the rural population
2 Projects initiated by the Central Govern~ent and administered i~ cooperation with local leaders a~d the rural population
3 Projects initiated by the Central Govemlent and providing =or the participation of the rural population but by-passing local leaders
5 Projects initiated by the Central Gover~e~t a~d administered in cooeration Yith local leaders but not involvi~g parti~ipation of rural population
- 16 -
We recognize that the socio-cultural setting of rural develoment
projects varies significantly within and across less developed countries bull
By focussing o~ a representative sa=ple of localities ~ Ke~ya~ Korea
and Turkey we can take account of naoy~ though not all of these variations
While some of our substantive findings will not be directly generalizable
beyond the countries in which we propose to conduct our study we expect
that our basic ~ethods and fLdLgs will be applicable to national and
sub-national settings elsewhere in the developing world This is partly
d~e to the fact that the hierarchy of patron-client relations ~hich we
regard as a critical factor in rural develo~~t exists in ~ost Liles
--It is also due to the fact that the methodology for identifying local
bull leadership configurations auG poundor studying local politics which we are
perfe~ting can be used to assess local political co~ditions in a large
variety of countries even when the ~nditions themselves differ significantly
Methods of Investigation
The data needed to assess the iDpact of local leaders and mass
participaticn on rural dev~lop~nt fall into two categories Some a~e
contained among the data gathered for the research project we are currently
completing Others will require additional field research
The following data are already in hand
1 Data on the social landscape of each loc~l co~nity i~cluding aggregate data o~ level of econonic development de~graphic characteristics political pa=ticiation eth~ic loyalities and rates of socio-econocic change dur~g the past decade bull
2 Identity of local leaders including both political and I-on-political leaders and both legislators and other politicians
3 Perceptions of existiag probl~ and their possible solution a~ng
l)tS r AVAilABLE DOCUMENT
- 17 -
general public local leaders and civil serv~nts
4 Level of political kno~ledge among local citizens and local political leacers
5 Political and social values a~ong local ci~izecs and local political leaders
6 E~~ectacions of leadership roles among the local public and elected and non-elected leaders
7 Patterns of co~unication ~ong local leaders and between local leaders and the central gove~e~t
These data ~hich ~e already have in hand can be subjected to analyses
which ~~ll provida the foundation for our further work on rural develop~ent
projects A part of our work therefore will consist of fu~ther analyses
of existing data
New data of the following kinds are also required
1 Doc~entary data on the origin and evolution of particular smallshyscale develop~cnt projects in the rural areas
-2 Data on project costs boih ~itial invest=ent and recurring
operating costs and data on project ou~puts ie pupils in schools Ddles of road coopleted nl~ber of hospital a~ssions production of factory agricultural productivity
3 Data on project organizatio~ n~~r of local inha~itants participating in establis~~ent of projectt nuober of local L~habitants subsequently involved in project
4 Data-on the pe-cetion of projects by local leaders emers of the local public a~d by civil servants data on the perception of how each project ~as initiatec organized who benefitted and what its future implicatio~s are
These types of data will requ~re field work involv~~g both docucentary research
at the relevant ~istries of the central government and in local goverr~nt
authoritieS and inforoal open-ended interviews with local political leaders
elected representatives and other local leaders who~ we had previously ~
interviewed in a s=uctured syste=atic =aoner
BEST AVAILABLE DOCUMENT
- 18 -
Grant Organizatio~ and T~etable
We propose co undertake the research outlLled above beginning in the
fall se=ester 1977 Dur~g that te~ Professors Barkan and Kim as
principal investio~tors for the neo1 proj ect will contact their collaborators
in the host co~~tries They ~~ll also seek the collaboration of an additional
~rican scholar specializing in rural development with the aic of getting
additional advice on sources of data and suitable indicators for the
~easure=~~t of rural develop~ent projects
At the end of the fall seQester Professors Barkan and Kim will make
a trip to their research sites to disc~s details of the research organization
with their collaborators in the host countries and to recruit student
assistants Tney will devote the spring te~ 1978 to further analysis
of a~sting data at the University of Iowa
The gathering of additional dita L~ the field will begin in the s~er
of 1978 Professors Barkan and Kio will direct this work personally We
eAect that its coopletion ~~ll require three to six months This work ~1
involve the evaluation of central and local gove~ent reports on the
projects uncer investigation extensive on-site observations of the projects
and oen-e~ded interviews with the principal participants Our principal
respondents ~i1l be the local leaders and elected representatives we
have previously identified in the localities in which we have worked and
a sacple of active participants in the particular dpvelopment projects
being studied ~~ere necessary and apropriate surveys of the general
public will be uncertaken to assess the inpact of a given project on the
rural por)r We do not however leed 0 conduct systeAlatic sample surveys
BEST AVAILABLE DOCUMENT
- lY -
of the rur~l population as We did in 1974
In the organization of this research project we intend to reconstruct
the rese~rch tea=s ~e e=ployed during 1973-75 We shall again seek the
co11abo=~tion of P~ofessor Sc~~S-7o~g Pai of Seoul National University ~
Professor IIiCr Turan of the University of Istanbul and Professor John J
Ok~u of the U~iversity of ~arto~ S~ilarly w~ contemplate directing
the field research fro~ he same acade~ic research organizations we previously
used Seoul National U~ive~sity th~ ~~iversity of Istanbul and the
Insti~ute for Develop~eut S~udies University of Nairobi As before we
will tra~ students f~oo these institutions to serve as interviewers
The analysis of the open-ended intervie~s and of docUQentatio~ on
I ~ural develop=e~t projects will be a ~ore t~e-co~s~g process than the
analysis of closed intervie~s It will reqrire a high cotnittl~t of time
fron the principal investigators )e e--pec to hold a conference at the i
U~iversi~y of Iowa 3lO1g all the principal )clticipa~ts in the resea~ch
project d~=~g t~e spr~g 1979 to evalua~~ the newly collected data
le e~ pect to be able to vr-ite reports of t~ results during the Sl1~er 1979
(see Figre 3)
IV LlX-GS ~1) U~ILIZATIO~
At the e~d of the grant period the Uti ersity of Iowa will be able to
1) advise the Agalcy 01 the design of s~l-scale rural projects to assist
the rural poor 2) provide guidelines for social soundness analysiS of
small-scale projects for the rural areas of U)Cs 3) consult w~th the
Ag~tcy 01 the evaluatiol of rural projects ~d 4) provide LDe governments
BEST AVAILABLE DOCUMENT
)ATES
~lll
1977
~inter 1977
iprilg 1978
il mer 1978
~all
1978
ipr~ng
1979
Imiddoter 1979
University vf Iowa
Plutlning of rural develo~rent project
Barkan Kil
Alalysis of existing data
Barkan Kia
Data processing
3arkan Kin
1
I
- 4 -
Figura 3
GRAT TLfETABLE
SIT E S
Kenya Korea Turkey
Preparation of field research ural developH~lt project cOlisulta~io~ a research sites
BarkanOku=u Ki~Pai Tura~rkanKi~
Preparation of field resea-ch
Tural
Field research on rural cevelop~~t projects Bar~lOk~u Ki=Pai Turan
Co=pletion of Co=pletion of field resear~~I~ fiald researcr
Ok~u i Pai bull
f Coopletion of field research
Turan
Data analysis conference a~ong all princial i~vestigators at Un~versity of Iowa Barkan Kil Oku=u Pai Turan
Co=letiol of r~ral develop~ent
project
3arkan Kiz
BEST AVAILABLE DOCUMENT
I
- LL -
~ith speciali~cs o~ ru~al developcect ~mong their own citizens ~ho ha_
partcipatcd ~s collaborators in the Iowa projects
In the proposed project we Will test a series of hypotheses cOlcerning
the political cOllditions of rural develo=ent which run counter to CODOn
assuoptions conccrnir3 t~~ influence of rural politics on project effectiveness
As a result ~e ~dll be able to assist the Agency in designing and evaluating
such projects froe the point of V~~W 0 their political viability The
hypotheses We will test sugges~ t~at the patron-clie~t relations existing
in the local politics of zost LDCs are not necessarily i~pedients to rural
develop~ent but are aspects or the political structure which cal be used to
facilitate s~ll-scale ru=~ projects which will raise the standards of
living of _ ~ rral pomlation - As ~ result or our stuey we expect to be
able to P~-O~t the local leadership confi5~rations ~4d the relationships
between local leaders ald rural poclations ~nich are oost conducive to I
successful develcp=en efforts We believe that we will be agtle to perfect
a cat~odology for identifying the political conditions for rural develop~ent
one ~hich is transferable pound~oo the countries we have specialized in to
other LDCs
We proo~ to develop specific guidelines to assist administrators
charged with selecting evaluating and =onito~ing rural develop~ent
projects to ~szess t~esc rojects in tares of their-social and political
viability he outco~e of such projects is dete~ned not only by the
efrectiv~nass ~~=h ~hich they use scarce econo~c resources but by the
~~er L~ w=ich they e~gage the suppprt of local leaders and rural
po~ulatiocs~ by thei= effect ou social a~d econo~c equality ~d by
D[~T AvAlLA8LE DOCUMENT
- 22 -
their consequences for hwan rights ~Je plan to establish criteria by
middot~hic~ the probable outco~es of projects in these social terms can be
anticipatec
The study ~e propo e will be undertltlken by faculty at the Cniversicy
of lowe in collaboration with faculty a other ~rican institutions and
institutions in the host countries We will build on the extensive contacts
between the Co~perative Legislative Research Center of the ~niversity of
Iowa end other instituions with ~aich ~e have worked One =ajor result
of our collaborative study will be the existence of a net~ork of compe~ent
scholars both in this country and overseas experi~lced in ~orking together~
shar~g a co~on teaching and training experience i~ close contact throu~~ the
effective publications progr~ developed by the Co~parative Legislative Research
Center T~e e~~ertise of this group of individuals will be ava~lable to
oteer scholars to the Agency and ~o L~C governments for specific policy
advice The eXertise developed as a consequence of this project will
extend beyond the ~tionals of the countries ~volved since the univ~sities
engaged in ~e project attrtct stude~ts fro outside heir own countries
For ey~=ple the teaching ~d research progra in the Depar~ent of Political
Science 0 theUniversity of Istanbul heavily affected by the participation
of its facul~y ~e=bers and graduate students in our projects attracts students
throughout the ~middot1iddle East for Whom the University of Istanbul is the iajor
institution ~pound ~igher education in the region rne Institute for Developmen~
Studies is si=ilarly a focal point for students and faculty in East and
Central Africa Seoul ~atiocal Unive=sity attracts students froo other
Asia~ co~tries~ In this way the capability developed among the participant$
BEST AVAIL~BLE DOrUMENT
- ) -
in our work is diffused widely To the exte~ that the abili~y to assess
rural develop~ent p~ojects in teres of their social soundness is increased
both in the United States and in ~o~~tries r~ceiving develop=en~ assistance
the cap3~ity of racipien~ countr~es to absorb aid is ~creased
We propose to draw up an inventory of personnel available in ~~e
Cnited States and in other co~~tries who are able to consult with developen~
a~nistrators on the design of rural development projects and on their
evaluation We ~~ll draw first of ai~ on individuals w~o have been
directly associated with our ~ork in the past or on ~he proposed project
and ex~~~d the list to include graduate students and gove~ent officials
with who~ these individuals have wor~d
tole Yill utilize tha existing publication program of the Center
dercribed above to disse~inate our findings The Center has specialized
oailing lists of interested individuals and institutions in all parts of -i
the world and its reports can trerefore reach the ~st relevant audience
jirec~ly ~d re~~arly
BESl AVAIL~BLE OOCUMENT
CONTRACfjGRANTCOOPERATIVE AGREEMENT DATA SHEET
INSTRUCTIONS fjDW Complete 4 copies of the form Original SERCMSDSUP Statistical Section Copy Copy 2 SERCMSIiUP dministrative Copy opr 1 Contracting Officers COy COP) 4 SERCMSDSUP IUmin (Suspense) Copy
Missions Complde 2 copies oi the form Origin31 SERCMSDjSUF- Statistic31 Section Copy 3n~ Copy 2 Nill be ret31ned in the Missions
PART fA
ConU3lttorGranrce Name
University p~f~I~o~wa~ __ -r~ ____ ~~~~ __________ -~~ __ ~~~ ______________ ~~~~ Plorr Numt-er ApptopriJtion Number Allotment Number Project Number
930-0090-3Q13411 A5 72-111l0216 146-30-099-00-20-11 930-0090 Project Title
So~ia1 and Potitica1 Aspects of Development - Conference to Report Research Findings Amount of this Plorr I Projecl M3nagers Name and Offire Sytlbol
$10397 (increase) PDPRCP Jonatlan Silverstone Contr3ctors D-U-N-S Number
Ncgwatocs TYJlCd~3meJ j) Signature I l ~ jIf- bull G HtJ--ft u l IVmiddot
D~e
L - f - J ContractGrant Officqs typed Nailllt Signalure LJ d I -r-
plusmn t 3i-alflpta (( BLvle~ 1 I~ PARTm
ContractGranl Number
AID CSD-3294
Effeclive Date of Docum~nl Signalltre D3t~ of Documenl
Lf---C yen-~-gl tIost Courtry Institution (U iwrsity contract ONL Y)
Campus Coordinator (Uniwr ty i contract OiiL YJ
PART UL Descriplion of Cor-tractGrant P1use X ONL Y ONE item under each headiZg IF THEltrease CifYmC~e bolh ges I 30~~ O~ Nol to be completed for Amendmenl or Modlfic3lion AJigtns I III
J 710gt I I V ~ I
MOl - TYPE ACT A~ 0 G unsolicited Propsll (AIDIR 0 C Individual (Non-pe~nal senice)
~ O Cortra lGrantl ooperative Agreemenl 73101-SO(b)(6raquo 0 D Individual (ftrsonal Service)
tJl T3sk Order ( A)middot 0 H Procurement 10 be Perfocm~d by the Conmiddot 0 E UniversilyOther FAuC3lionailnSlitulions
D 2 Work Order (IQC) Ira~lor in Person (AIDPR 0 F Non-Profil Organizationlnslitutions (other
D 3 Delivety Order (Requirements) 73101middotSO(b)( Iraquo than Ed or PVO)
[j 4 Purchase Ordcr [J I Sole Source (AIOPR 7-3101-SO(b)(4)) 0 G Private Volunury Organization (PVO)
If I 2 or 3 1Lle an ~ compllle M 12 ON Y D J Imp3irmenl of Foreign Policy Objectiws 0 H International Agricultural Research Organj-
M04 - CONTRACTGRANT TYPE
o O MOA (BOA BMA etc)
o I Fixed Price (Specify fFP FPRD FPEPA FPI) _____ _
(gtIDPR 7-31 OJ SO(b)(7raquo
OK B(a)5eJection (FPR 1middot1713-1)
o L Grant iH1ndlOok 13)
o M Do Nol Ue
D 2 Cosl Reimburemenl (S~cil) CR CPFF 0 N Cooperative t~reement (Handbook 13)
CS CPAF CPIF) ~ 0 O Small Business SeImiddotAside (FPR 1middot1706-8)
o l Cooperative Agreemenl ~ 0 1 Overseas Procuring AClivilies (AIDPR
04 Grant Gener31 Supportmiddot 0U ~ 7lIOI-SC(b)(2))
o S Granl - Specific Support ~ ~06 E SER VICE
g ~ ~~t ~~(d) ~~ ~~ ~ eci~a~~~~~ogram Projeci
o amp IQCs ~ ~ relampted excepi A amp E Services)
o 9 Host Counlry ContraclGrnnt 5lJ C amp E Services
middotComplele ONLY through ~Sl ~~ 0 D Construction
M05 SELECTION PROCEDURES 0 E- Reseuch
o A Formally 3dverliscd (IFB) (A1DPR 7middot24 amp
FPR 1middot24) ~ o B Negoli3ted Price Compelilicn Gencr31
Procedure (RFP) (-JDPR 7456)
Dc A amp E (AIDPR 7410)
0 D Ed Inst andor Inl1 R~arch (-JDPR
74 5)
o E Collaboratoe Assisunce (IDPR 7458)
C F Predominant Capability (IOPR
73IOI-50(b)(l)
AID 1420-49 (179) - Page I
D F Technical Services to AID (other than trainmiddot
ing usually o~ating expense)
D G jraining SetVice for AID
o H Equipment Materi3J~ Supplies Commodities
D I Translation Service
~07middot TYPE CONTRACTORGRA-nEE
o A Firmmiddot AU profil-rn3king fUms (other than
Aamp E)
J e A amp E 8r~
zalion
o Public Inlmlational Organizations (UN
Agencies ICRC Wocld Bank elc)
(H8 J 3 Chapt~ S)
M08- TYPE AW~RD
o A S8 Sel-Aside - Awarded to Non-Minority
o B S8 Set-Asidemiddot Awarded to MinXity
o C_ S8 NOI Set-Aside - Awarded to Non-Minority
o D S8 NOI SeImiddotAsidemiddot Awarded 10 Minority
o Eo amp(a) S8A Awarded to Non-Minority (Womerl-
Owned Veterans etc)
o F 8(a) S8A Awarded 10 MinorilY
o G Personal Sen-ice ConlrdCt bull Non-Minority
o H IeJSDnal Service Conlract - MinorIty
o I Individual NonmiddotPersonal Service Contraci -
NonmiddotMinority
o J 100Jigtiduai NonmiddotPersonal Service Contracl -
Minorily
o K NOI Small Business (Univ NonmiddotProfit Large
Firms) Non-Minorily
o L- NOI Small 8usineSl (Univ Non-Profit Large
Firms) Minorily
o M US Govcrnmlnt
(Connnued on Page 2)
BEST AVLABIE DOCUMENT 1 I
--
ua ) R I GI NAL 9 bull
MODIFICATION or GRANT PAGE 1 of 2
AH 1 2 Effective Date 3 Grant No 4 Effective Date
Amend_at Ro 5 April 15 1981 AIDCSD- 3294 8-11-71
-s CRANTEE (Name and Addrea) 6 Administered by -Professor Gerhard Loewenberg -Office of Contract Management Cbrnparative Legislative Research Gente Central Operations Division Dept of Political Science am Branch University of Iowa Agency for International Developn~nt Iowa City Iowa 52240 Washington D C 20523
7 PIO No 930-0090- 3013411 A5 8 Previous PlOTa -
Appropriation No 72-11110216 93i-1l-995-l36 930-11-995-136-73-3078103
Allotment Symbol - 146-30-099-00-20-11 wunt Obliga ted by this ~ndrnent - $10397
The above numbered Grant is hereby modified as follows
1 Anotmt obligated prior to this rurendment 2 Amount obligated by this amendment 3 Total obligated anount (1 amp 2)
Delete the amJmt $465000 and substitute in lieu thereof the ammnt I$47S 39-7 ~
FUNDS AVAIrABm
~~ - APR 13 1981
PrO~A~~5iors
$465000 $ 10397 $475397
OffiCE Of fIN~(1 ~~rE~E~T __ _ 10 This amendment 11 entered into puruant to the authority of the Forelgn
Assistance Act of lS~l as amended Except aft hereln provided all terms and ~~ndi~ons nf the grant rcferpnccd in Block 13 remain unchsnged and in full force and ~ffcct
11 original and six Crantee 18 requlred to aign thh document aad return 1- eopics to issuing
ffiee
~~~ or printed) BUSINESS MAHAGR amp bull
Tille TREASURER
UNITpound) STATES OF AHERICA AGENCY FOR INTERNATIONAL DEVELO~NT
BY_-1(1o-_1lt--= 13middot~_1_~ __ K R B1uteau
(Name typed or printed)
Tltle~ ____ G_r_a_n_t __ O_f_f1_c_e_r ____________ __
D3tC APR 2 J 7997 Dolt 9 APq 1981
BEST AVAILABLE DOCUM NT ___ 0 HLGlNAL - I 1 J 1 ~ )
- 2 -
AID ftmds in the am)tmt of $10397 are hereby provided for the activities lmich are described in your proposal (including Budget Stnmnary) entitled CDnference to Report Research Findings on the Study of Political CDnditions for Effective Small-Scale Rural Assistance Projects in Kenya Korea and Turkey dated February 17 1981 and made a part of the Grant b reference
BtTDGET StMMARY
Line Item
Travel
Per Diem
Other Direct Costs
Less existing 211 (d) grant funds
Total Amount Obligated by this Amendment
Estimated Costs
$ 5888
5100
_ 2500 $13488
_ 3091
$lO39
Note Indirect costs or $395086 associated with these activities will be contributed by the University of Iowa
BEST AVAILABLE DOCUMENT
~RIGINAL
- CONTRACT IGRANTCOOPERA rIVE AGRElEMI~ SERC~SDSlP Actio) Monitor
SERCMSDSUP Action Office
I
INSTRUCTIONS AJDW - Complete 4 copit of tlh fonnmiddot Orisina iCMSDfSUP Sutistical Section COP)middot Copy 2 SERCMSDjSVP Administrative CoP Copy 3 Cont-acting Officers COP) Copy 4middot SOSUP Admin (Susptnse) Copy Missionsmiddot Complete 2 copies of the form or~aI SERCtSDSUP Statistical Section Copy and Copy = wiU~ retained in the Missions
0 PART IA
Effective Date of Document tJ
Delivery Order (Requirements)middot
o 4 Purcluse Order
bull If I 2 or 3 have an bull X compl~te M I 2 ON L Y
M04 - CONTRACTGRANT TYPE
o O MOA (BOA BMA etc)
o 1 Fixed Price (Specify FFP FPRD FPEP FPI) ___ _
o 2 COli Reimbursement (S~cifY CR CPFF CS CPAF CPIF) ______ _
o 3 Cooperative Agreement
o 4 Grantmiddot General Support
o S Grantmiddot Specifi Support
o 6 GraDt 21 led)middot
o 7 Do Not Use
o amp IQCs
o 9 Host Country ContractGrant
middotComplete ONLY through M 5 1
MOS SELECTION PROCEDURES
o A Formally advertised (IFB)(AJDPR 7middot24 amp
FPR 124)
o B Negotiated Prire Competition General
Procedure (RFP) (AIDPR 7456)
o Co A amp E (AlDPR 4 I 0)
o D Ed Ins andor Intl ReStalch (UDPR
7457)
o E Collaborative ASSistance (AIDPR 7458)
o F Predominant Capability (AIDPR
7-310l-50o)(3)
AID 142049 (1-79)middot Page J
o H Procurement Co be Performed b~ the Conshy
tra~tor in Person (AlDPR
7middot3t OI-SO(b)(Iraquo
o I Sole 5gturce (AIDPR 7middot3101middotSO(b)(4raquo
o J Impairment of Foreign Policy Objecdv~
(AIDPR 7middot310 ImiddotSO(b)(7raquo
o K 8(a) Selection (FPR 1middot1713-t)
o L Grant (Handbook J 3)
o M Do Not Vse
o N Cooperative Agreement (Handbook 13)
o O Small Business SetmiddotAside (FPR 11706-8)
o P Overseas Procuring Activities (AIDPR
7middot3101middotSO(b)(2raquo
M06middot TYPE SER VICE
o A TtJining of Participants
o B Technical Assistmce (Program Project
related exc~pt A amp E Services)
J C A amp E Services
0 D COltl~ruction
0 E Research
0 F Technical Services to AID (other than trainmiddot
ing usuaU Y operating ex pense)
0 G Training Service few AID
0 H Equipment Mat~rials Supplie~ Commodities
0 I Translation Service
07middot TYPE CONTRACTORGR TEE
Firmmiddot All profitmiddotmaking fu-r1s (other than
AampE)
o 9 amp E Firms
I Prcct NumbcT
I
Contactors D-U-N-S Numbcr
I) -S--f(j
o C Individual 0-lon-~rsora1 service)
o D Individual (Pet-sonal Service)
o E University lOt her EduCltionaJ Institutions
o F Non-Profit Organization Institutions (other
than Ed or PVO)
o G Private Voiuntary Organization (PVO)
o H International AgricultwaJ Research Organmiddot zation
o I Public International Organizadon~ (UN
Agencies ICRC ewld B3J1k etc)
(HB J 3 Chapter 5)
M08middot TYPE AWARD
o A SB SeImiddotAsidemiddot Awarded to Non-Minority
o B SB SetmiddotAside bull Awarded to Minority
o C SB Not SetmiddotAside - Awarded to Non-Minoril)i
o D SB Not SetmiddotAside - Awarded to Minority
o E ~a) SBA Awarded to Non-Minewity (Womeli
Owned Veterans etc)
o F 8(a) SBA w-rded 1o Minority
o G Personal Service Contractmiddot Non-Minority
o ~ Personal Service Contnct - Minority
o I Individual Non-Personal Sence Contractmiddot
NonmiddotMinority
o J Individual Non-Personal Service Contractmiddot
Minority
o K Not Small Business (Univ Non-Profit L1lge
Firms) --vn-Minority
o L Not Small BUSiness (Univ NonmiddotProfit Large
Firms) ~inoriy
o M VS Government
(Continued on Pcge 2i
t bull - t ~ J f q
ORIGINAL bull MODIFICATION OF GRANT
1 2 Effective Date
Araendllent Ro 4 12-2-80
s CRANTEE CHace and Addrels) Professor Ger1ard Lo~middot enbelg Comparative Legislative Research Deartment of Political Science The Lnivp-rsity of Iowa Iowa City Io~a 52240
7 PIO No NI A
Appropriation No 72-11XHl26
Center
Allotment Symbol -426-30-099-00-3~-71 Amount obligated by this urendment-O- I
3 Gnnt No
AIDcsd-3294
PAGE _____ 1 _of-L
AlI 4 Effective Date
8-11-71
~ Admlnlltered by -Office of Contract Management Central Operations Division OTR Branch Agency for International Development Washington DC 20523
8 Previous PIOITs -
931-11-995-136 930-11-995-136-73-3078103
9 The above numbered Grant is hereby modified as follows
Supplement to Grant
Change the duration period sentence to read
The Duration Period for this Grant shall be August 11 1971 through December 31 198]
1 Amount obligated prior to this amendment $465000 2 A~unt obligated by this amendment -0-3 Total obligated amount (1amp2) $465000
----------------_- - ------- ----_- ------ 10 Thh lImcndmcnt is entered inlo punuant to the authority of the Foreign
~ Assistance Act of 1961 86 amended Except a~ h~reln Z II provided all terms and condi tions nf the grant referenced in Block 3 remain ~~aunchlinged and In fu1l force and effNt cnltUI cJ)za 11 o 4 J bull
Et~ ai~a gtUoItshyc Z P=u
original and six Grantee t requi red to sign this document and return 1- eopies to 1Bufng
office
~ 12 GRANTEE TES OF AMERI CA
(Name typed or printed) bull
TJlle Director Comparative Legislative liecearell CeQtoQl
Date 12880
------------------------------------
ONAL DEVELOPMENT
By ----~--~~~~---------------------
prinled)
Grant Officer Title --------------------------------
J)oll( 12-2-80 -----------------------------
BEST AVAILBLE DOCUMENT i je
- 19 -
The program on Comparative Legislative Studies with support from
this Grant rill develop the capacity at the University of Iowa to
provide assistance under separate financing arrangements to developing
countries in a number of ways and through a varieiy of channels This
assistance which would be arranged for end negotiated separate~ from
this Grant may be in the form of technical assistance advisory service
training research and information exchange etc It will be available
by mutual agreement to appropriate agencies national and international
public private a~d mixed and directly to the less developed countries
Most especially this added special competence will inevitably become
incorporated through the processes of scholarship and education into
the competence of US and foreign scholars and institutions concerned
with this topic of great significance to the developing and the more
highly developed countries alike
BUDGET SUMMARY
UNIVERSITY OF IOWA
Salaries
Graduate Student Stipends
Fringe Benefits
Travel
Equipment and Services
Other
TOTAL
$173090
32400
19209
13800
6501
20000
$265000
BEST AVAILABLE DOCUMENT
d bull
srjmiddot (~~ jjXilO
IO
rmiddotmiddot ~middotmiddotrl f)~~ 7 middot 1 ~A~~ middot1 rmiddot middot~ rt bull middot bull bullbull I ~ i bull bull ~ middotv- middot bullbull ~ I
1 so bullbullbull l ~--~-- - - ---- ~ V~ i Jlgt ) bullbullbull ~(lr v ~I ( tr_ 1middot-middot 1 bullbull 1
il l~ J
2 c~loto
BEST AVAILABLE DOCUMENT
(C
Dr Willa~d l Boyd Presicient University of Ima iowa City Iowa 52242
Dear Dr Boyd
4 AUG 1977
amp
FIJNDS AVAnASLe CpoundNrftAamp sEIMCEs DMsON
AUG11 ~n te t6417 ~77
Subject bull Supplsectferit-tJF-G~middotNomiddot~middot AIOcsd-3294
t middot-rrPJ1 3
I am pleased to inform you that pursuant to th~ auth~rity contained in
S-cction 211 (d) ooC the Foreign Assistance Act of 1961 as amended a sup
plemental grant in the amount of $200000 is h~reby r~de to University
of rCi1a These supplement]l grant funds areprolided to support the
activities which are described in your Proposal dated May 6 1977 for
the implementation of your program entitled Political Conditions for i
Effective Small-Scale Rural Assistant Projects
---This sup~lemental grant is mace to University of Iowa en condition that
yo~r institution shall administer the funas provided under this Grant fn
accordance lith your r~ay 6 197 proposal (including Budget SUmlilary) and
the Standard Provisions (as incorporated by Amendment No 1) which have
been agreed to by your instit1ltion Ti) the extent of an inconsistency
between the Proposal and the Standard Provisions and any otherprovisfons
which ar~ made a part of thi5 Giant by reference or other~iSe the Sta~d~
ard Provisions shall control
The new Duration Period for this Grant shall beAugust 11 1971 through
August 10 1979
The total amount of funds obligated under the grant is increased to reflect
a new total oblgated amount of $465000
Please sign the Statement of Assurance or Compliance ana the origfnal -
and seven (7) copies of this letter to acknowledge your understanding of
the conditions under which these funds have been granted Please return
the Statement of Assurance of Compliance and the original and six (6)
copies of this supplemental Grant to the Office of Contract Management
Attachment May 6 1977 Proposal and Budget SUfiT1a ry
UNIVERSITY OF IOWA
Roberw bull OBrien fficer
Ce al Operations Division Office of Contract Management
AC~E~E~C--_ 0 BYpoundk~~ cH
D C ~lpoundSTtR5BA T ITL E ( PfeampoidPilt for
tee ment amp Research DATE 9-22 -77 (d~ ~~Bduate Ctl~1e~e
BES i AvAILdLt UOCLJMU~ I
211(d) Grant Program
Proposal of the University of Iowa
POLITICAL CONDITIO~S FOR EFFECTIVE SMALL-SCALE
RURAL ASSISTA~CE PROJECTS
Submitt~Ci to
Civic Participation Division AID
May 6 1977
Amount requeste~ $ 199987
BEST AVAILABLE DOCUMENT
I TdE DEVEIOP~T PROBr~
P~litical Conditions for Rural Development
The Cocparative Legislative R~search Center of the University of
Iowa proposes to ~~dartake a two-year study to investigate the role of local
leaders and the rural public in theimplecentation of small-scale develop~ent
1 projects in less developed countries The study will use and extend the
capacity ~hich the University of Iowa developed under a 211(d) grant to
investigate and assess the impact of loeal politics on rural development
~t the co~pletion of the s~ Iowa will be in aposition to advise the
Agency on the design ~nd evaluation of s~ll-scale projects which will be
politically viabe a~d effective in ass~sting the rural poor ~
As students of development w~ approach our task with the assumption
that the proble~ of development and underdevelopment are funda~entally
ones of political econooy and a~ such can only be solved through a
simultaneous considerationof economic and political factors Efforts
which foc~s aloost solely on economic factors like those of ma~y
organizations engzed in dipersing foreign aid or efforts which focus
almost exclasively on political factors fail to take account of the
interdependence between these two dimensions of underdevelopment and
lwe have for~ulated this proposal in a canner consistent witr the cu~rent policies ard interests of the Agency We have been guided in our tsk by four Age~cy doc~e~ts Impleo~~tation of New Directions in Developnent Assista~c~~~ ~eport to the COmlittee on International Relations on Ilupleoenshytatiun of Legislative Refo~ in the Foreign Assistance Act of 1973 (July 1975) rItevis~d Projec Developiel Review and Approval Systeo (A I DL Circular A-21 Aril 23 1975) SH Butterfield Draft SUIilZ3ry StateUlent of a Practical Agelcy Approach c aural Devalopilelt (AATA February 28 1975) Cicci A Coce~ual Oie=viamiddot middot Rural Development No1 (lWorilting GOU O~ tha Rural Poor February 1975)
- l -
can meec with only l~ted success
Our concern with the i=pact of local politics on the process of
rural developcent is a result of our interest in the basic question of
how LDC governm~nts and the donor agencies which assist them can
become core effective in raising the standard of living of the rural
poor We seek answers to the following aspects of that basic question
1) What political conditions must exist both within rural communities
and between theo and central gove~ents to raise agricultural production
w~ere small-scale agriculture is the do~nant pattern 2) Vnat are the
political conditions for a core rapid expansion of the informal manufacturing
and service sector cocprised of labor intensive small-scale industries
located in the rural ar s 3) What political structures and activities
are mase crucial for the provision of welfare and econocic supporc services--
such as agricultural exeension mar~eting and transportation--to the rural
areas1 4) ~~at Folitical conditions oust exist to insure that economic
growth in the rural areas is not accowpanied by excessive and intolerable
inequalities between socio-economic classes andor between regions1
Center-Periphery Linkage in LDCs
To deter~ne the political conditions for rural development we have
in previo~s s~udies exacined the institutions and processes through which
rural populaticns are integrated i1to the national politi-cal systetlS of
middot~he countries in which they live A gap exis~s in most less developed
countries bet~een the peasantry residing on the periphery and the c~~tral
political ~stiutions staffe1 by ~~estern-educated bureaucratic elite
We are aware of the other major ~sti~utional discontinuities which comprise
J
4 middot~~1 the basic cleavage between the developed and underdewmiddoteloped sectors of
these dual societies Bridging these gaps is essential if these so~ieties ~ are to develop into viable nation states For until those Q~ the periphery
of the poli~ical syste~ participate in that system and support and comply
with the authority of central political institutions neither economic
development in ~he rural areas nor a stable polity will emerge
Bridging the discontinuities in these new political systems requires
establishing and institutionalizin3middot1inkages or networks for co~unication
and exchange of resources between decision-makers at the center and the
rural public on the periphery Three types of institutional linkages are
most prominent in less developed countries 1) those conSisting of the
state administration composed of the bureaucratice1ite 2) those consisting
of a revolutioncry political party cocposed of the ideological elite
3) and those conSisting of patron-client hierarchies composed of the political
entrepreneurial elite
Of these three linkages consisting of the state administration are
the cst extensive and pervasive in virtua~ly every LOC Such linkages
however exist primarily a~ instruwents of the center to penetrate the
periphery Central government officials are formally charged with bringing
develo~ent to the people This is a ~issi~n which conceives development
as a process ~hrough which a traditional peasantry is transformed and
assimilated iJro the DOdern center which is steadily expanding to embrace
it Agents of the center invariably have more resources to achieve their
objectives than do local political leaders but because they are frequently
strangers~ the communities in which they function they are often unable
- It -
co implement the policies of the center without working through the
local establis~ent
Though somctices significant linkages consist~g of revolutionary
party organizati~ns such as those found in China and Vietnam do not exist -
in most IDCs beca1Se of the special historical and e~omic conditions
required for their development As wi~h the administrative state however
the linkaampe apparatus of such political patties is prUlarily an instrument
of the center whose mission is to penetrate and mobilize those onthe
periphery
In contrast patron-client hierarchies are linkages which represent
the periphery at the center and mediate betwee~ these two disparate
sectors of the political systec Thcugh norcallymiddotovershadowed in scale
by the state administration patron-client hierarchies are found in almost
~very LDC a~d constitute the ~st significant network through which rural i
populations and their leaders influence the decision-~king process at
the center Patron-client hierarchies exist in a wide variety of org~iza-
tional fores ranging from info~ ~ec~~rks of individual olitical leaders
in uno-partyll systelS in S~b-SaharaI4 Africa to extensive political machines
in both one-p~rty (Africa Mexico) and ~u1ti-party systems (Turkey India)
Despite their importance as the pricary means through which peasants in
LDCs particiate in their political systems patron-client hi~rarchies
have only recently become an object of analysis by students of political
developent and do not appear in even the most sophisticated studies of
2 See Jo~ Dunca owell Peasant Socie~y and Clientelist Politics Aerican Politi~ Scielce Revietol 64 (June 1970) pp 411-25 Rene Lemarchand anc_ Keith Legg olitical ClienteliSJ and Ethnicity in Tropical Africa Aierican Political Sc~ecce ReView 66 (Y~rch 1972) pp 68-90 James C Scott PatronshyClient Politics a~d Political Change II 1tlerican Political Science Revie~ 66 (~arch 1972) p 91-113 and Friends Followers and Factiols bull edited by Steffan Sc~~d and James C Scott (Berkeley UniverSity of California Press 1977) bull
- 5 -
3 economic development Ad~niscrators of developmental assistance progracs
have too often regarded patron-clienc hierarchies as ~ped~ents to
develop~ent instead of recognizing cheir potential utility bull
~ Findings on Patron-Client Hierar~hies --
The importance of pat~on-clienc hierarchies for linking the periphery
to the center is one of the major findings ~erging from a study of the
relationships betueen l~gislators an~ their constituents in Kenya Korea
and Turkey ~hich the Cowparative Legislative Research Centpr is nov
comleting uader its 21l(d) grant from AID This study has av~mined the
creation of linkages between the periphery and the center through ~ore
than lO~OOO interviews with members of parl~ent local leaders and
peasants in t~e three countries The findings are being systewatically
set out in a book-length monograph Nearly a dozen research reports have -
uready appeared (see Appendix C) ipropositions about the nature of
political behavior of rural populations an~ the roles of local political
elites de=ived from the research~ can be s~rized as follows
1 Elected representa~ives play a significant role in the creation and mainte~ance of linkages be~een the center and periphery by developing local political achines in which they function as patrons of their constituents In turn thay s~rve as clients of political leaders of national stature who control central government institutions
2 By atte~pting to establish linkages based on patron-client relatio~shi~s elect~d representatives are responding to public expectations chat their prizary duy is to obtain resources from the center to proffiote local develop~ent ~iany elected repLesentatives spend most of their time on self-help co==unity development projects such 3S the building of schools health clinics irrigation works arid roads because such projects provide
3For exa~le ~ a widely respec~ed a~d useful analysis of rural deve16p~ent in Sub-Sahara~ Africa L~ Lele of the World Bank notes the problems of creating an adoini5~raive infrastructure in the rural areas that is sensitive to local socio-oliical conditions She does not however consider how local leaders operating o~tside of adcinistrative structures ~ night contribute to the developne~t 0 the rural areas See ~~ Lele ~ Design ~ Rural Develop~ent Lessons ~ Africa (Balt~re The Johns HopkiD~ Uciversity Press 1975) r) pp 127-61 i ~
- 6 -
their const~tuents with desired se~ices ~~d a= the sa~e time provide the reresentatives with an orgacization Yhicn can be used as a political base
3 l-tore than 90 perCel1t of the rural population is capable of articulating the p~oblems facing their local co~~ity and two-thirds discuss th~e proble~ w~th their fellow citizens on a regular basis
4 Three-q~rters of the residents of the rural areas can identify the public ofpoundici~s who serve thec--both civil servants and elected represcrtatives--by na~e Most are knowledgeable about the activities of these officials Alcost one-fifth coreover have discussed co~~~ity probl~ ~ith these officials particularly those working at the grassshyroots level Residents of rural villages actually have a higher level of political knowledge than their counterparts in the towns
5 Elections in the rural areas evoke a highly rational attern of voti~g despite the effects of ascriptive or traditional co~siderations Inc~ens are pri~rily evaluated in terms of their record in fulfilling the public r S elpectations of what they should do Elections are essentially referenda on inc~entsr perfo~ce especially their perforwance in the area of constituency servi~es such as bringing development projects to the districts bull
6 Local developcent projects have a relatively high s~olic value generating conscitutency support for local leaders and the central government at low cost
7 These projects help huild a local political infra-structure which can also be utilizec by central govern~nt civil servants to implement other policies designed to achieve rural develop~ent bull
The Icpac~ of Local Politics on Rural Projects
Having explored the developtent of linkages through which the periphery
is represented at che ~enter and through which the periphe~ attemp~s to
share in the ceners resources we now propose to build upon our initial
investigations by e~ing in greater detail the impact of local political
conditions on specific problecs of rural develop~ent We propose to
exacine the develop~ental activities of local leaders ~nd the rural public
by eX2~Ding a saple ot fifteen to twenty smalL~scale developwent projects
in each of ~he three countries which constituted the sites for our initial
8ESI AVAILABLE DOCUMENT 1 ~ - of
- 7 -
study of center-perhiphary relations The appropriateaess of this approach
and the ~ethodology through which it will be ip~emented is discussed in
section II Because the ~ethodology of investigation is in large part
the result of our previous research experience we fizst turn to a revieW
of the existinQ __ ~petence of the Comparative Legislative Research Center
in this area
II GRAXTEES EXISTIXG CmET~CE
In 1971 the University of Iowa received a 211(d) grant to develop
its capacity to do research on the role of elected represent~tives in
the process of modernization On the b~sis of this grant the University
established a research center which planned and carried out a research
project on the role of elected reres~~tatives as links between the central
gove~ent and rural populations in K~ya Korea and Turkey The project -i
served to develop t~e University of Iowas research capability in this
field esa~lished ties between the University and scholars in the bost
countries and generated a large and uniqu~ body of relevant data
In that project we fo~ussed our attention on tbe activities of elected
representatives in their constituencies notably in their contacts with
local political leaders voters and civil servants To determine tbe
nature of the linkage function performed by tbe representatives we
designed our research to explore the subject from three perspectives
1) we eXaojned ~~a ~ubject at tbe grass roots by conducting a series of
sample surveys of 200 to 300 adults in each of 12 to 14 parliamentary
constituencies in each cf th~6three countries 2) we examined the subject
at the center by intervie -ing MIls from the constituencies in which we
had conducted S3mple surveys ~nd higher civil servants with whom they
had contact and 3) ~e ex~~ined the subject from an inter-~diate level
by identifying aud ~terviewing local social and political leaders in
the MPs constituencies We used survey research methods because we
were embarking on the study of an entir~ly new subject for which little
relevant docu=e~tary data existed and on which there were few secondary
sources As a result ~e have unparalleled experience with survey
research in the rural areas of less develo~ed countries
The surveys which constituted the cajor part of our field work were
planned in collaboration ~~th scholars from the host countries They were
carried out in each constituency by student interviewers in the appropriate
language ~re than 10000 respo~dents were inteDViewed for the project
Given the visibility and sensitivity of this undertaking approval for
the research was sought and obtained from the host governments prior to -i
the collec~ion of data ~o objections were raised by these governments
at any stage of the research The data obtained have been made available
to scholars i~ the host co~cries and some of the basic findings have
been published in periodicdis in these countries
The Comarative Legislative Research Center ~hich ad~nistered the
project has aisO developed extensive experience in the study of political
leadership in other countries It h3s obta~ed substantial support from
the Fo~d Foundacion and the Rockeeller Foundation has worked in
collaboration ~~h European as ~ell as Asian and African scholars and
is engaged in a ajor study of the role of elected and non-elected leaders
in the oanag~~t o~~ocial conflict Because it has conGucted research
in a variey of setlngs the Center has an ~ceptional capacity to
- 9 -
determine how the relationships be~een political institutions and
economic p=oble75 differ in develoPed and less developed countries
In the course of the major research projects the Center has administered
it has gained highly specializpd ~p-i ce iI identifying 1Olitical leaders
in a great variety of settings conducting systematic interviews with
them collaborating with scholars in the host countries and in coding
and utilizing large files of data to answer specific research questions
The Center has ~lso undertaken to publish the results of its research
in three fores It issues codebooks to the data enabling scholrrs at
other locations to use the data expeditiously i~ publishes research reports - in the form of Occasional Papers and it publishes a scholarly periodical
devoted to the presentation of research findi~gs to an inteIT~tional
audience
The Center utilizes the data ~ysis facilities of the Laboratory
for Political Research of the University of Iowa and drawS on the unusual
n~er of secialists in comparamptive politics and survey research in
~~e Lniversitys Departmen of Political S~ience The Center itself I
has the services of an administrative secretary and a clerk-typist
~intains its~o~cn extensive archives and its o~~ publications program
It is e~uipped to assist scholars and government officials outside the
t~iversity of Io~a The participants in its p~ojects are full-tioe
faculty ~e=bers ~hose undergraduate and graduate teaching is closely
related to their research As part of the teaching program the Center
has attracted students from the countries in which the research projects
have been conducted these students have participated in the projects
bull J
have obtained training in other fields of political science have received
University of Iowa degrees~ and have ret~rned to teach and to do research
in their own countries
III PURPOSE OBJECTIVES AID METHODS
Purpose of Study
The purpose of the proposed grant is to extend the capacity of the
University of Iowa to determine the political conditions in the rural
areas of less developed countries which favor the establis~ent and growth
of small-scale developoent projects ~e objective is to put the University
of Iowa in a position to assist the Agency in designing small-scale rural
developent projects providing guidelines for carrying out social soundness
analyses of such projects and adviSing in the evaluation of projects
We will discuss the utilization of~t~e Universitys capacity in detail in
section IV below
We propose to concentrate our investigations on the political conditions
surrounding s~l-scale ru~al projects Such projects have distinctive
advantages They waximize the political participation of the rural populations
both in det~~-ining the direction ~d implementation of develop~ent efforts
and in defending the interests of periphery vis-~-vis the urban-based
bureaucratic elite S~ll-scale projects stimulate entrereneurial activity
on the part of the rural citizens and growth of the info~l canufacturing
and service sector Tbey require less lead tice and less administrative
c~erhead to ~eco~e operational than large-scale capital-intensive projects
centrally administered Such projects yield rapid and direct benefits to
1
j
the rural
- 11 b - ~~1
populations and are consistentwith their hUIlaD rights--both
political and economic However~ small-s~le projects pose s~ecial probl~s for administratcrs of developceocll assistance progracs because
they require the donor co assess the local olitics particularl the
rural politics of t~e host country
Develop~c adoinistrators pr~rily conc~rned with assisting rural
populations must therefore recognize the range of political variables
affectL~g these projects Small-scale projects offer great opportuoities
for develop~ental assistance progr~ because they can be easily targeted
to help rural populacions require low capital costs and need no be
concentrated in one or two localities Such projects ho~ever~ ~equire
the a~istrator to have ~re political kno~lecge than large-scale
projects Oil which his priJlary tas~ is guiding the work of other experts
Questions for ~Investigation
To detercine the politi~al cc~diicilS ~st conducive to ~he establ~~ent
and gro~h of scalI-scale rural projects ~e propose to address our inquiry
to the following specific questions
1 To what extent and why co local political leaders seek to establish s~~l-scale develop~ent projects within their co~unities
2 To what extent and ~~y do local leaders other than politicians initiate andor provide leadership for s=all-scale developm~t projects
3 Bot do the relations bet~Jeel different types of local leaders (political and non-political) and bet~eeo these leaders and central gove~ent civil servants posted to the rural areas affect the conduct of develop=ent projects
4 How do existing authority ~eLationships between these different leadership grous and the rural pub~ic affect the organization and operation of s~l-scale develop~ent projects
- 12 -
~
5 lhlt is the nature 0 pclgtlic participation in the establishlent and operatio~ of s~l-sclle projects and ~hat are the outcc=es or this participatioe Gucer w~at conditions is such participation ~ost likely to occur
We seek a~swe=s to t~cse questio s L order to determine the effect of
different co~iigurations of local leadership and public participation on the
outcomes or small-scale rural projects te are particular1y concerned with
the ~pact of these configurations on the rate of econocic growth and the
distribution o~ rIGSlth ithin the loal cOlllUlity ~ on the perce~tions of
s~ll-scale proj~cts by central govern~ent per~oncel and the rural public
anmiddot on the organiation or flture projects
To a~swer these que~tions it is oar intention to study the initia~ioD
izJple=enation ald i1lpact of a salple cpound small-scale rural projects in
Kanya Korea and Turley in the sae cOllities in which we carried OU
our initial icvestigations ~ 1973-75 Tne relationships between the -
various conf~gurations of local leadership and public participation and
the three phases of project develop~ant are sho~ in Figure 1 We will
exa=ine projects to pro~ote the adoption of new agricultural techniques
by s~l and moderate landnolders the building of feeder roads irrigation
ditches and other s~ple infrastructure the organization of fa~ers
cooperatives and other local associations concerned with rural development
the establish=ent of rural health clinicS and schools and the setting up
of craft and service industries
Sites for Study
We plan to return to our original set of localities because we possess
a rich body of relevant data on the extent to which linkages exist between
Figure 1
TYPES OF LFLUEXCE OF C2r~ middotGOVER1iEXT OFFCIALS
LoCu LEADERS 0 THE RURAL PUBLI-C OX THRr~
PHASES OF RURAL igtEVELOPHET PROJECTS
r----------~J C~ltral Gover1~nt Official)-N------- - J
r- Local pOlitical leaders
Local non-political leaders
~l 1---- -
ROJECT nITL~TIOS
Influ~ce on selection of projects
InrI ~elce on location of projects
Influence on policy guidelines for proj eCl
Il
I
a
I I
-I PROJECT I~L~~iATIO~ ~ 1
j Project Organizati I Selection of project
leadership
Hobilization of resources
Mobilizatiol of public compliance with project require=elts
Diffusion of project innovation
Rural Public
I
BEST AVAILABLE nOCUMENT
1 ROJECT IMPACT
Organization of ongoi=g project operation
Distribution of project benefits
Evaluation of project
Public attitudes toward project
-middot14 -
these areas and t~c central p~litical institutions of the three co~tries
and on the attit~es of the rural populacioc local leaders and elected
legislators regardi~g their problecs of develop~~c Since such data
is unavailable for alternative locales a return to the areas in which
we have previously done much research ~ables us to build on a uniquely
valuable body of icformation
A return to Kenya Korea and Turkey is also highly desirable from
the standpoint of effective research organization The Comparative
Legislative Research ~enter has developed close collaborative relationships
with several highly competent social scientists in these countries and
with the academic institutions with which these scholars are associated
We have also dev~_oped cooperative relatio~ships wi~ gove~ent officials
in these countries which should facilicate obtaining approval for our
further work
In proposing to doc~ent the origin i~pl~entation and impact of
one to three s~ll-scale develop=ent projects in each of 35 localities
we have two considerations in mind Firstmiddot because our pr~ry goal is
to deter~e the political conditions for rural developm~Lt we wish to
examine develQ~=ent in as many different settings as feasible Only in
this way can we control for so=e of the major socio-cultural variations
that erist along rural populations in less developed coultries These
include the overall level of econo~c development in the co~unity the
nature of t~e ~digenous culture an~ relationships of authority and the
pro~ty of the comounity to major urban areas and centers of central
gove~nt ad=inistration ~ce our original study sites were carefully
BEST AVAILABLE DOCUMENf
- 15 - ~ ~1
selected to represent these variations ye have concluded that these
35 localities woule be ideal sites for the propose~project Second~ in order to dete~~~ the ~pact of local leaders and public
participation o~ ~ural projects we intend to compare projects 1n which
local leaders and ~ecbers of the public have played a major ~ole with
projects in which they have not We also ~l cospare projects initiated
by the central gover~ent with projects Yhich have been locally initiated
These considerations give us a typology for selecting projects as depicted
in Figure 2
Figure 2 ~
FIVE TYPES OF RU~AL PROJCTS ACCORDIXG TO ~FLUEXCE OF CEITiW
GOVE~1E~T LOCAL LEADE~ AD RLRAL POULATIO~
Level of Participation by Rural Population
Locus of Project Initiation ~
Local Co=unity Central Governoent
BIGd
LOt
1 Projects initiated by local leaders and providing for participation of the rural ~opulation
4 Proje~ts Litiated by local leaders bu~ not involving participation of the rural population
2 Projects initiated by the Central Govern~ent and administered i~ cooperation with local leaders a~d the rural population
3 Projects initiated by the Central Govemlent and providing =or the participation of the rural population but by-passing local leaders
5 Projects initiated by the Central Gover~e~t a~d administered in cooeration Yith local leaders but not involvi~g parti~ipation of rural population
- 16 -
We recognize that the socio-cultural setting of rural develoment
projects varies significantly within and across less developed countries bull
By focussing o~ a representative sa=ple of localities ~ Ke~ya~ Korea
and Turkey we can take account of naoy~ though not all of these variations
While some of our substantive findings will not be directly generalizable
beyond the countries in which we propose to conduct our study we expect
that our basic ~ethods and fLdLgs will be applicable to national and
sub-national settings elsewhere in the developing world This is partly
d~e to the fact that the hierarchy of patron-client relations ~hich we
regard as a critical factor in rural develo~~t exists in ~ost Liles
--It is also due to the fact that the methodology for identifying local
bull leadership configurations auG poundor studying local politics which we are
perfe~ting can be used to assess local political co~ditions in a large
variety of countries even when the ~nditions themselves differ significantly
Methods of Investigation
The data needed to assess the iDpact of local leaders and mass
participaticn on rural dev~lop~nt fall into two categories Some a~e
contained among the data gathered for the research project we are currently
completing Others will require additional field research
The following data are already in hand
1 Data on the social landscape of each loc~l co~nity i~cluding aggregate data o~ level of econonic development de~graphic characteristics political pa=ticiation eth~ic loyalities and rates of socio-econocic change dur~g the past decade bull
2 Identity of local leaders including both political and I-on-political leaders and both legislators and other politicians
3 Perceptions of existiag probl~ and their possible solution a~ng
l)tS r AVAilABLE DOCUMENT
- 17 -
general public local leaders and civil serv~nts
4 Level of political kno~ledge among local citizens and local political leacers
5 Political and social values a~ong local ci~izecs and local political leaders
6 E~~ectacions of leadership roles among the local public and elected and non-elected leaders
7 Patterns of co~unication ~ong local leaders and between local leaders and the central gove~e~t
These data ~hich ~e already have in hand can be subjected to analyses
which ~~ll provida the foundation for our further work on rural develop~ent
projects A part of our work therefore will consist of fu~ther analyses
of existing data
New data of the following kinds are also required
1 Doc~entary data on the origin and evolution of particular smallshyscale develop~cnt projects in the rural areas
-2 Data on project costs boih ~itial invest=ent and recurring
operating costs and data on project ou~puts ie pupils in schools Ddles of road coopleted nl~ber of hospital a~ssions production of factory agricultural productivity
3 Data on project organizatio~ n~~r of local inha~itants participating in establis~~ent of projectt nuober of local L~habitants subsequently involved in project
4 Data-on the pe-cetion of projects by local leaders emers of the local public a~d by civil servants data on the perception of how each project ~as initiatec organized who benefitted and what its future implicatio~s are
These types of data will requ~re field work involv~~g both docucentary research
at the relevant ~istries of the central government and in local goverr~nt
authoritieS and inforoal open-ended interviews with local political leaders
elected representatives and other local leaders who~ we had previously ~
interviewed in a s=uctured syste=atic =aoner
BEST AVAILABLE DOCUMENT
- 18 -
Grant Organizatio~ and T~etable
We propose co undertake the research outlLled above beginning in the
fall se=ester 1977 Dur~g that te~ Professors Barkan and Kim as
principal investio~tors for the neo1 proj ect will contact their collaborators
in the host co~~tries They ~~ll also seek the collaboration of an additional
~rican scholar specializing in rural development with the aic of getting
additional advice on sources of data and suitable indicators for the
~easure=~~t of rural develop~ent projects
At the end of the fall seQester Professors Barkan and Kim will make
a trip to their research sites to disc~s details of the research organization
with their collaborators in the host countries and to recruit student
assistants Tney will devote the spring te~ 1978 to further analysis
of a~sting data at the University of Iowa
The gathering of additional dita L~ the field will begin in the s~er
of 1978 Professors Barkan and Kio will direct this work personally We
eAect that its coopletion ~~ll require three to six months This work ~1
involve the evaluation of central and local gove~ent reports on the
projects uncer investigation extensive on-site observations of the projects
and oen-e~ded interviews with the principal participants Our principal
respondents ~i1l be the local leaders and elected representatives we
have previously identified in the localities in which we have worked and
a sacple of active participants in the particular dpvelopment projects
being studied ~~ere necessary and apropriate surveys of the general
public will be uncertaken to assess the inpact of a given project on the
rural por)r We do not however leed 0 conduct systeAlatic sample surveys
BEST AVAILABLE DOCUMENT
- lY -
of the rur~l population as We did in 1974
In the organization of this research project we intend to reconstruct
the rese~rch tea=s ~e e=ployed during 1973-75 We shall again seek the
co11abo=~tion of P~ofessor Sc~~S-7o~g Pai of Seoul National University ~
Professor IIiCr Turan of the University of Istanbul and Professor John J
Ok~u of the U~iversity of ~arto~ S~ilarly w~ contemplate directing
the field research fro~ he same acade~ic research organizations we previously
used Seoul National U~ive~sity th~ ~~iversity of Istanbul and the
Insti~ute for Develop~eut S~udies University of Nairobi As before we
will tra~ students f~oo these institutions to serve as interviewers
The analysis of the open-ended intervie~s and of docUQentatio~ on
I ~ural develop=e~t projects will be a ~ore t~e-co~s~g process than the
analysis of closed intervie~s It will reqrire a high cotnittl~t of time
fron the principal investigators )e e--pec to hold a conference at the i
U~iversi~y of Iowa 3lO1g all the principal )clticipa~ts in the resea~ch
project d~=~g t~e spr~g 1979 to evalua~~ the newly collected data
le e~ pect to be able to vr-ite reports of t~ results during the Sl1~er 1979
(see Figre 3)
IV LlX-GS ~1) U~ILIZATIO~
At the e~d of the grant period the Uti ersity of Iowa will be able to
1) advise the Agalcy 01 the design of s~l-scale rural projects to assist
the rural poor 2) provide guidelines for social soundness analysiS of
small-scale projects for the rural areas of U)Cs 3) consult w~th the
Ag~tcy 01 the evaluatiol of rural projects ~d 4) provide LDe governments
BEST AVAILABLE DOCUMENT
)ATES
~lll
1977
~inter 1977
iprilg 1978
il mer 1978
~all
1978
ipr~ng
1979
Imiddoter 1979
University vf Iowa
Plutlning of rural develo~rent project
Barkan Kil
Alalysis of existing data
Barkan Kia
Data processing
3arkan Kin
1
I
- 4 -
Figura 3
GRAT TLfETABLE
SIT E S
Kenya Korea Turkey
Preparation of field research ural developH~lt project cOlisulta~io~ a research sites
BarkanOku=u Ki~Pai Tura~rkanKi~
Preparation of field resea-ch
Tural
Field research on rural cevelop~~t projects Bar~lOk~u Ki=Pai Turan
Co=pletion of Co=pletion of field resear~~I~ fiald researcr
Ok~u i Pai bull
f Coopletion of field research
Turan
Data analysis conference a~ong all princial i~vestigators at Un~versity of Iowa Barkan Kil Oku=u Pai Turan
Co=letiol of r~ral develop~ent
project
3arkan Kiz
BEST AVAILABLE DOCUMENT
I
- LL -
~ith speciali~cs o~ ru~al developcect ~mong their own citizens ~ho ha_
partcipatcd ~s collaborators in the Iowa projects
In the proposed project we Will test a series of hypotheses cOlcerning
the political cOllditions of rural develo=ent which run counter to CODOn
assuoptions conccrnir3 t~~ influence of rural politics on project effectiveness
As a result ~e ~dll be able to assist the Agency in designing and evaluating
such projects froe the point of V~~W 0 their political viability The
hypotheses We will test sugges~ t~at the patron-clie~t relations existing
in the local politics of zost LDCs are not necessarily i~pedients to rural
develop~ent but are aspects or the political structure which cal be used to
facilitate s~ll-scale ru=~ projects which will raise the standards of
living of _ ~ rral pomlation - As ~ result or our stuey we expect to be
able to P~-O~t the local leadership confi5~rations ~4d the relationships
between local leaders ald rural poclations ~nich are oost conducive to I
successful develcp=en efforts We believe that we will be agtle to perfect
a cat~odology for identifying the political conditions for rural develop~ent
one ~hich is transferable pound~oo the countries we have specialized in to
other LDCs
We proo~ to develop specific guidelines to assist administrators
charged with selecting evaluating and =onito~ing rural develop~ent
projects to ~szess t~esc rojects in tares of their-social and political
viability he outco~e of such projects is dete~ned not only by the
efrectiv~nass ~~=h ~hich they use scarce econo~c resources but by the
~~er L~ w=ich they e~gage the suppprt of local leaders and rural
po~ulatiocs~ by thei= effect ou social a~d econo~c equality ~d by
D[~T AvAlLA8LE DOCUMENT
- 22 -
their consequences for hwan rights ~Je plan to establish criteria by
middot~hic~ the probable outco~es of projects in these social terms can be
anticipatec
The study ~e propo e will be undertltlken by faculty at the Cniversicy
of lowe in collaboration with faculty a other ~rican institutions and
institutions in the host countries We will build on the extensive contacts
between the Co~perative Legislative Research Center of the ~niversity of
Iowa end other instituions with ~aich ~e have worked One =ajor result
of our collaborative study will be the existence of a net~ork of compe~ent
scholars both in this country and overseas experi~lced in ~orking together~
shar~g a co~on teaching and training experience i~ close contact throu~~ the
effective publications progr~ developed by the Co~parative Legislative Research
Center T~e e~~ertise of this group of individuals will be ava~lable to
oteer scholars to the Agency and ~o L~C governments for specific policy
advice The eXertise developed as a consequence of this project will
extend beyond the ~tionals of the countries ~volved since the univ~sities
engaged in ~e project attrtct stude~ts fro outside heir own countries
For ey~=ple the teaching ~d research progra in the Depar~ent of Political
Science 0 theUniversity of Istanbul heavily affected by the participation
of its facul~y ~e=bers and graduate students in our projects attracts students
throughout the ~middot1iddle East for Whom the University of Istanbul is the iajor
institution ~pound ~igher education in the region rne Institute for Developmen~
Studies is si=ilarly a focal point for students and faculty in East and
Central Africa Seoul ~atiocal Unive=sity attracts students froo other
Asia~ co~tries~ In this way the capability developed among the participant$
BEST AVAIL~BLE DOrUMENT
- ) -
in our work is diffused widely To the exte~ that the abili~y to assess
rural develop~ent p~ojects in teres of their social soundness is increased
both in the United States and in ~o~~tries r~ceiving develop=en~ assistance
the cap3~ity of racipien~ countr~es to absorb aid is ~creased
We propose to draw up an inventory of personnel available in ~~e
Cnited States and in other co~~tries who are able to consult with developen~
a~nistrators on the design of rural development projects and on their
evaluation We ~~ll draw first of ai~ on individuals w~o have been
directly associated with our ~ork in the past or on ~he proposed project
and ex~~~d the list to include graduate students and gove~ent officials
with who~ these individuals have wor~d
tole Yill utilize tha existing publication program of the Center
dercribed above to disse~inate our findings The Center has specialized
oailing lists of interested individuals and institutions in all parts of -i
the world and its reports can trerefore reach the ~st relevant audience
jirec~ly ~d re~~arly
BESl AVAIL~BLE OOCUMENT
CONTRACfjGRANTCOOPERATIVE AGREEMENT DATA SHEET
INSTRUCTIONS fjDW Complete 4 copies of the form Original SERCMSDSUP Statistical Section Copy Copy 2 SERCMSIiUP dministrative Copy opr 1 Contracting Officers COy COP) 4 SERCMSDSUP IUmin (Suspense) Copy
Missions Complde 2 copies oi the form Origin31 SERCMSDjSUF- Statistic31 Section Copy 3n~ Copy 2 Nill be ret31ned in the Missions
PART fA
ConU3lttorGranrce Name
University p~f~I~o~wa~ __ -r~ ____ ~~~~ __________ -~~ __ ~~~ ______________ ~~~~ Plorr Numt-er ApptopriJtion Number Allotment Number Project Number
930-0090-3Q13411 A5 72-111l0216 146-30-099-00-20-11 930-0090 Project Title
So~ia1 and Potitica1 Aspects of Development - Conference to Report Research Findings Amount of this Plorr I Projecl M3nagers Name and Offire Sytlbol
$10397 (increase) PDPRCP Jonatlan Silverstone Contr3ctors D-U-N-S Number
Ncgwatocs TYJlCd~3meJ j) Signature I l ~ jIf- bull G HtJ--ft u l IVmiddot
D~e
L - f - J ContractGrant Officqs typed Nailllt Signalure LJ d I -r-
plusmn t 3i-alflpta (( BLvle~ 1 I~ PARTm
ContractGranl Number
AID CSD-3294
Effeclive Date of Docum~nl Signalltre D3t~ of Documenl
Lf---C yen-~-gl tIost Courtry Institution (U iwrsity contract ONL Y)
Campus Coordinator (Uniwr ty i contract OiiL YJ
PART UL Descriplion of Cor-tractGrant P1use X ONL Y ONE item under each headiZg IF THEltrease CifYmC~e bolh ges I 30~~ O~ Nol to be completed for Amendmenl or Modlfic3lion AJigtns I III
J 710gt I I V ~ I
MOl - TYPE ACT A~ 0 G unsolicited Propsll (AIDIR 0 C Individual (Non-pe~nal senice)
~ O Cortra lGrantl ooperative Agreemenl 73101-SO(b)(6raquo 0 D Individual (ftrsonal Service)
tJl T3sk Order ( A)middot 0 H Procurement 10 be Perfocm~d by the Conmiddot 0 E UniversilyOther FAuC3lionailnSlitulions
D 2 Work Order (IQC) Ira~lor in Person (AIDPR 0 F Non-Profil Organizationlnslitutions (other
D 3 Delivety Order (Requirements) 73101middotSO(b)( Iraquo than Ed or PVO)
[j 4 Purchase Ordcr [J I Sole Source (AIOPR 7-3101-SO(b)(4)) 0 G Private Volunury Organization (PVO)
If I 2 or 3 1Lle an ~ compllle M 12 ON Y D J Imp3irmenl of Foreign Policy Objectiws 0 H International Agricultural Research Organj-
M04 - CONTRACTGRANT TYPE
o O MOA (BOA BMA etc)
o I Fixed Price (Specify fFP FPRD FPEPA FPI) _____ _
(gtIDPR 7-31 OJ SO(b)(7raquo
OK B(a)5eJection (FPR 1middot1713-1)
o L Grant iH1ndlOok 13)
o M Do Nol Ue
D 2 Cosl Reimburemenl (S~cil) CR CPFF 0 N Cooperative t~reement (Handbook 13)
CS CPAF CPIF) ~ 0 O Small Business SeImiddotAside (FPR 1middot1706-8)
o l Cooperative Agreemenl ~ 0 1 Overseas Procuring AClivilies (AIDPR
04 Grant Gener31 Supportmiddot 0U ~ 7lIOI-SC(b)(2))
o S Granl - Specific Support ~ ~06 E SER VICE
g ~ ~~t ~~(d) ~~ ~~ ~ eci~a~~~~~ogram Projeci
o amp IQCs ~ ~ relampted excepi A amp E Services)
o 9 Host Counlry ContraclGrnnt 5lJ C amp E Services
middotComplele ONLY through ~Sl ~~ 0 D Construction
M05 SELECTION PROCEDURES 0 E- Reseuch
o A Formally 3dverliscd (IFB) (A1DPR 7middot24 amp
FPR 1middot24) ~ o B Negoli3ted Price Compelilicn Gencr31
Procedure (RFP) (-JDPR 7456)
Dc A amp E (AIDPR 7410)
0 D Ed Inst andor Inl1 R~arch (-JDPR
74 5)
o E Collaboratoe Assisunce (IDPR 7458)
C F Predominant Capability (IOPR
73IOI-50(b)(l)
AID 1420-49 (179) - Page I
D F Technical Services to AID (other than trainmiddot
ing usually o~ating expense)
D G jraining SetVice for AID
o H Equipment Materi3J~ Supplies Commodities
D I Translation Service
~07middot TYPE CONTRACTORGRA-nEE
o A Firmmiddot AU profil-rn3king fUms (other than
Aamp E)
J e A amp E 8r~
zalion
o Public Inlmlational Organizations (UN
Agencies ICRC Wocld Bank elc)
(H8 J 3 Chapt~ S)
M08- TYPE AW~RD
o A S8 Sel-Aside - Awarded to Non-Minority
o B S8 Set-Asidemiddot Awarded to MinXity
o C_ S8 NOI Set-Aside - Awarded to Non-Minority
o D S8 NOI SeImiddotAsidemiddot Awarded 10 Minority
o Eo amp(a) S8A Awarded to Non-Minority (Womerl-
Owned Veterans etc)
o F 8(a) S8A Awarded 10 MinorilY
o G Personal Sen-ice ConlrdCt bull Non-Minority
o H IeJSDnal Service Conlract - MinorIty
o I Individual NonmiddotPersonal Service Contraci -
NonmiddotMinority
o J 100Jigtiduai NonmiddotPersonal Service Contracl -
Minorily
o K NOI Small Business (Univ NonmiddotProfit Large
Firms) Non-Minorily
o L- NOI Small 8usineSl (Univ Non-Profit Large
Firms) Minorily
o M US Govcrnmlnt
(Connnued on Page 2)
BEST AVLABIE DOCUMENT 1 I
--
ua ) R I GI NAL 9 bull
MODIFICATION or GRANT PAGE 1 of 2
AH 1 2 Effective Date 3 Grant No 4 Effective Date
Amend_at Ro 5 April 15 1981 AIDCSD- 3294 8-11-71
-s CRANTEE (Name and Addrea) 6 Administered by -Professor Gerhard Loewenberg -Office of Contract Management Cbrnparative Legislative Research Gente Central Operations Division Dept of Political Science am Branch University of Iowa Agency for International Developn~nt Iowa City Iowa 52240 Washington D C 20523
7 PIO No 930-0090- 3013411 A5 8 Previous PlOTa -
Appropriation No 72-11110216 93i-1l-995-l36 930-11-995-136-73-3078103
Allotment Symbol - 146-30-099-00-20-11 wunt Obliga ted by this ~ndrnent - $10397
The above numbered Grant is hereby modified as follows
1 Anotmt obligated prior to this rurendment 2 Amount obligated by this amendment 3 Total obligated anount (1 amp 2)
Delete the amJmt $465000 and substitute in lieu thereof the ammnt I$47S 39-7 ~
FUNDS AVAIrABm
~~ - APR 13 1981
PrO~A~~5iors
$465000 $ 10397 $475397
OffiCE Of fIN~(1 ~~rE~E~T __ _ 10 This amendment 11 entered into puruant to the authority of the Forelgn
Assistance Act of lS~l as amended Except aft hereln provided all terms and ~~ndi~ons nf the grant rcferpnccd in Block 13 remain unchsnged and in full force and ~ffcct
11 original and six Crantee 18 requlred to aign thh document aad return 1- eopics to issuing
ffiee
~~~ or printed) BUSINESS MAHAGR amp bull
Tille TREASURER
UNITpound) STATES OF AHERICA AGENCY FOR INTERNATIONAL DEVELO~NT
BY_-1(1o-_1lt--= 13middot~_1_~ __ K R B1uteau
(Name typed or printed)
Tltle~ ____ G_r_a_n_t __ O_f_f1_c_e_r ____________ __
D3tC APR 2 J 7997 Dolt 9 APq 1981
BEST AVAILABLE DOCUM NT ___ 0 HLGlNAL - I 1 J 1 ~ )
- 2 -
AID ftmds in the am)tmt of $10397 are hereby provided for the activities lmich are described in your proposal (including Budget Stnmnary) entitled CDnference to Report Research Findings on the Study of Political CDnditions for Effective Small-Scale Rural Assistance Projects in Kenya Korea and Turkey dated February 17 1981 and made a part of the Grant b reference
BtTDGET StMMARY
Line Item
Travel
Per Diem
Other Direct Costs
Less existing 211 (d) grant funds
Total Amount Obligated by this Amendment
Estimated Costs
$ 5888
5100
_ 2500 $13488
_ 3091
$lO39
Note Indirect costs or $395086 associated with these activities will be contributed by the University of Iowa
BEST AVAILABLE DOCUMENT
~RIGINAL
- CONTRACT IGRANTCOOPERA rIVE AGRElEMI~ SERC~SDSlP Actio) Monitor
SERCMSDSUP Action Office
I
INSTRUCTIONS AJDW - Complete 4 copit of tlh fonnmiddot Orisina iCMSDfSUP Sutistical Section COP)middot Copy 2 SERCMSDjSVP Administrative CoP Copy 3 Cont-acting Officers COP) Copy 4middot SOSUP Admin (Susptnse) Copy Missionsmiddot Complete 2 copies of the form or~aI SERCtSDSUP Statistical Section Copy and Copy = wiU~ retained in the Missions
0 PART IA
Effective Date of Document tJ
Delivery Order (Requirements)middot
o 4 Purcluse Order
bull If I 2 or 3 have an bull X compl~te M I 2 ON L Y
M04 - CONTRACTGRANT TYPE
o O MOA (BOA BMA etc)
o 1 Fixed Price (Specify FFP FPRD FPEP FPI) ___ _
o 2 COli Reimbursement (S~cifY CR CPFF CS CPAF CPIF) ______ _
o 3 Cooperative Agreement
o 4 Grantmiddot General Support
o S Grantmiddot Specifi Support
o 6 GraDt 21 led)middot
o 7 Do Not Use
o amp IQCs
o 9 Host Country ContractGrant
middotComplete ONLY through M 5 1
MOS SELECTION PROCEDURES
o A Formally advertised (IFB)(AJDPR 7middot24 amp
FPR 124)
o B Negotiated Prire Competition General
Procedure (RFP) (AIDPR 7456)
o Co A amp E (AlDPR 4 I 0)
o D Ed Ins andor Intl ReStalch (UDPR
7457)
o E Collaborative ASSistance (AIDPR 7458)
o F Predominant Capability (AIDPR
7-310l-50o)(3)
AID 142049 (1-79)middot Page J
o H Procurement Co be Performed b~ the Conshy
tra~tor in Person (AlDPR
7middot3t OI-SO(b)(Iraquo
o I Sole 5gturce (AIDPR 7middot3101middotSO(b)(4raquo
o J Impairment of Foreign Policy Objecdv~
(AIDPR 7middot310 ImiddotSO(b)(7raquo
o K 8(a) Selection (FPR 1middot1713-t)
o L Grant (Handbook J 3)
o M Do Not Vse
o N Cooperative Agreement (Handbook 13)
o O Small Business SetmiddotAside (FPR 11706-8)
o P Overseas Procuring Activities (AIDPR
7middot3101middotSO(b)(2raquo
M06middot TYPE SER VICE
o A TtJining of Participants
o B Technical Assistmce (Program Project
related exc~pt A amp E Services)
J C A amp E Services
0 D COltl~ruction
0 E Research
0 F Technical Services to AID (other than trainmiddot
ing usuaU Y operating ex pense)
0 G Training Service few AID
0 H Equipment Mat~rials Supplie~ Commodities
0 I Translation Service
07middot TYPE CONTRACTORGR TEE
Firmmiddot All profitmiddotmaking fu-r1s (other than
AampE)
o 9 amp E Firms
I Prcct NumbcT
I
Contactors D-U-N-S Numbcr
I) -S--f(j
o C Individual 0-lon-~rsora1 service)
o D Individual (Pet-sonal Service)
o E University lOt her EduCltionaJ Institutions
o F Non-Profit Organization Institutions (other
than Ed or PVO)
o G Private Voiuntary Organization (PVO)
o H International AgricultwaJ Research Organmiddot zation
o I Public International Organizadon~ (UN
Agencies ICRC ewld B3J1k etc)
(HB J 3 Chapter 5)
M08middot TYPE AWARD
o A SB SeImiddotAsidemiddot Awarded to Non-Minority
o B SB SetmiddotAside bull Awarded to Minority
o C SB Not SetmiddotAside - Awarded to Non-Minoril)i
o D SB Not SetmiddotAside - Awarded to Minority
o E ~a) SBA Awarded to Non-Minewity (Womeli
Owned Veterans etc)
o F 8(a) SBA w-rded 1o Minority
o G Personal Service Contractmiddot Non-Minority
o ~ Personal Service Contnct - Minority
o I Individual Non-Personal Sence Contractmiddot
NonmiddotMinority
o J Individual Non-Personal Service Contractmiddot
Minority
o K Not Small Business (Univ Non-Profit L1lge
Firms) --vn-Minority
o L Not Small BUSiness (Univ NonmiddotProfit Large
Firms) ~inoriy
o M VS Government
(Continued on Pcge 2i
t bull - t ~ J f q
ORIGINAL bull MODIFICATION OF GRANT
1 2 Effective Date
Araendllent Ro 4 12-2-80
s CRANTEE CHace and Addrels) Professor Ger1ard Lo~middot enbelg Comparative Legislative Research Deartment of Political Science The Lnivp-rsity of Iowa Iowa City Io~a 52240
7 PIO No NI A
Appropriation No 72-11XHl26
Center
Allotment Symbol -426-30-099-00-3~-71 Amount obligated by this urendment-O- I
3 Gnnt No
AIDcsd-3294
PAGE _____ 1 _of-L
AlI 4 Effective Date
8-11-71
~ Admlnlltered by -Office of Contract Management Central Operations Division OTR Branch Agency for International Development Washington DC 20523
8 Previous PIOITs -
931-11-995-136 930-11-995-136-73-3078103
9 The above numbered Grant is hereby modified as follows
Supplement to Grant
Change the duration period sentence to read
The Duration Period for this Grant shall be August 11 1971 through December 31 198]
1 Amount obligated prior to this amendment $465000 2 A~unt obligated by this amendment -0-3 Total obligated amount (1amp2) $465000
----------------_- - ------- ----_- ------ 10 Thh lImcndmcnt is entered inlo punuant to the authority of the Foreign
~ Assistance Act of 1961 86 amended Except a~ h~reln Z II provided all terms and condi tions nf the grant referenced in Block 3 remain ~~aunchlinged and In fu1l force and effNt cnltUI cJ)za 11 o 4 J bull
Et~ ai~a gtUoItshyc Z P=u
original and six Grantee t requi red to sign this document and return 1- eopies to 1Bufng
office
~ 12 GRANTEE TES OF AMERI CA
(Name typed or printed) bull
TJlle Director Comparative Legislative liecearell CeQtoQl
Date 12880
------------------------------------
ONAL DEVELOPMENT
By ----~--~~~~---------------------
prinled)
Grant Officer Title --------------------------------
J)oll( 12-2-80 -----------------------------
BEST AVAILBLE DOCUMENT i je
BUDGET SUMMARY
UNIVERSITY OF IOWA
Salaries
Graduate Student Stipends
Fringe Benefits
Travel
Equipment and Services
Other
TOTAL
$173090
32400
19209
13800
6501
20000
$265000
BEST AVAILABLE DOCUMENT
d bull
srjmiddot (~~ jjXilO
IO
rmiddotmiddot ~middotmiddotrl f)~~ 7 middot 1 ~A~~ middot1 rmiddot middot~ rt bull middot bull bullbull I ~ i bull bull ~ middotv- middot bullbull ~ I
1 so bullbullbull l ~--~-- - - ---- ~ V~ i Jlgt ) bullbullbull ~(lr v ~I ( tr_ 1middot-middot 1 bullbull 1
il l~ J
2 c~loto
BEST AVAILABLE DOCUMENT
(C
Dr Willa~d l Boyd Presicient University of Ima iowa City Iowa 52242
Dear Dr Boyd
4 AUG 1977
amp
FIJNDS AVAnASLe CpoundNrftAamp sEIMCEs DMsON
AUG11 ~n te t6417 ~77
Subject bull Supplsectferit-tJF-G~middotNomiddot~middot AIOcsd-3294
t middot-rrPJ1 3
I am pleased to inform you that pursuant to th~ auth~rity contained in
S-cction 211 (d) ooC the Foreign Assistance Act of 1961 as amended a sup
plemental grant in the amount of $200000 is h~reby r~de to University
of rCi1a These supplement]l grant funds areprolided to support the
activities which are described in your Proposal dated May 6 1977 for
the implementation of your program entitled Political Conditions for i
Effective Small-Scale Rural Assistant Projects
---This sup~lemental grant is mace to University of Iowa en condition that
yo~r institution shall administer the funas provided under this Grant fn
accordance lith your r~ay 6 197 proposal (including Budget SUmlilary) and
the Standard Provisions (as incorporated by Amendment No 1) which have
been agreed to by your instit1ltion Ti) the extent of an inconsistency
between the Proposal and the Standard Provisions and any otherprovisfons
which ar~ made a part of thi5 Giant by reference or other~iSe the Sta~d~
ard Provisions shall control
The new Duration Period for this Grant shall beAugust 11 1971 through
August 10 1979
The total amount of funds obligated under the grant is increased to reflect
a new total oblgated amount of $465000
Please sign the Statement of Assurance or Compliance ana the origfnal -
and seven (7) copies of this letter to acknowledge your understanding of
the conditions under which these funds have been granted Please return
the Statement of Assurance of Compliance and the original and six (6)
copies of this supplemental Grant to the Office of Contract Management
Attachment May 6 1977 Proposal and Budget SUfiT1a ry
UNIVERSITY OF IOWA
Roberw bull OBrien fficer
Ce al Operations Division Office of Contract Management
AC~E~E~C--_ 0 BYpoundk~~ cH
D C ~lpoundSTtR5BA T ITL E ( PfeampoidPilt for
tee ment amp Research DATE 9-22 -77 (d~ ~~Bduate Ctl~1e~e
BES i AvAILdLt UOCLJMU~ I
211(d) Grant Program
Proposal of the University of Iowa
POLITICAL CONDITIO~S FOR EFFECTIVE SMALL-SCALE
RURAL ASSISTA~CE PROJECTS
Submitt~Ci to
Civic Participation Division AID
May 6 1977
Amount requeste~ $ 199987
BEST AVAILABLE DOCUMENT
I TdE DEVEIOP~T PROBr~
P~litical Conditions for Rural Development
The Cocparative Legislative R~search Center of the University of
Iowa proposes to ~~dartake a two-year study to investigate the role of local
leaders and the rural public in theimplecentation of small-scale develop~ent
1 projects in less developed countries The study will use and extend the
capacity ~hich the University of Iowa developed under a 211(d) grant to
investigate and assess the impact of loeal politics on rural development
~t the co~pletion of the s~ Iowa will be in aposition to advise the
Agency on the design ~nd evaluation of s~ll-scale projects which will be
politically viabe a~d effective in ass~sting the rural poor ~
As students of development w~ approach our task with the assumption
that the proble~ of development and underdevelopment are funda~entally
ones of political econooy and a~ such can only be solved through a
simultaneous considerationof economic and political factors Efforts
which foc~s aloost solely on economic factors like those of ma~y
organizations engzed in dipersing foreign aid or efforts which focus
almost exclasively on political factors fail to take account of the
interdependence between these two dimensions of underdevelopment and
lwe have for~ulated this proposal in a canner consistent witr the cu~rent policies ard interests of the Agency We have been guided in our tsk by four Age~cy doc~e~ts Impleo~~tation of New Directions in Developnent Assista~c~~~ ~eport to the COmlittee on International Relations on Ilupleoenshytatiun of Legislative Refo~ in the Foreign Assistance Act of 1973 (July 1975) rItevis~d Projec Developiel Review and Approval Systeo (A I DL Circular A-21 Aril 23 1975) SH Butterfield Draft SUIilZ3ry StateUlent of a Practical Agelcy Approach c aural Devalopilelt (AATA February 28 1975) Cicci A Coce~ual Oie=viamiddot middot Rural Development No1 (lWorilting GOU O~ tha Rural Poor February 1975)
- l -
can meec with only l~ted success
Our concern with the i=pact of local politics on the process of
rural developcent is a result of our interest in the basic question of
how LDC governm~nts and the donor agencies which assist them can
become core effective in raising the standard of living of the rural
poor We seek answers to the following aspects of that basic question
1) What political conditions must exist both within rural communities
and between theo and central gove~ents to raise agricultural production
w~ere small-scale agriculture is the do~nant pattern 2) Vnat are the
political conditions for a core rapid expansion of the informal manufacturing
and service sector cocprised of labor intensive small-scale industries
located in the rural ar s 3) What political structures and activities
are mase crucial for the provision of welfare and econocic supporc services--
such as agricultural exeension mar~eting and transportation--to the rural
areas1 4) ~~at Folitical conditions oust exist to insure that economic
growth in the rural areas is not accowpanied by excessive and intolerable
inequalities between socio-economic classes andor between regions1
Center-Periphery Linkage in LDCs
To deter~ne the political conditions for rural development we have
in previo~s s~udies exacined the institutions and processes through which
rural populaticns are integrated i1to the national politi-cal systetlS of
middot~he countries in which they live A gap exis~s in most less developed
countries bet~een the peasantry residing on the periphery and the c~~tral
political ~stiutions staffe1 by ~~estern-educated bureaucratic elite
We are aware of the other major ~sti~utional discontinuities which comprise
J
4 middot~~1 the basic cleavage between the developed and underdewmiddoteloped sectors of
these dual societies Bridging these gaps is essential if these so~ieties ~ are to develop into viable nation states For until those Q~ the periphery
of the poli~ical syste~ participate in that system and support and comply
with the authority of central political institutions neither economic
development in ~he rural areas nor a stable polity will emerge
Bridging the discontinuities in these new political systems requires
establishing and institutionalizin3middot1inkages or networks for co~unication
and exchange of resources between decision-makers at the center and the
rural public on the periphery Three types of institutional linkages are
most prominent in less developed countries 1) those conSisting of the
state administration composed of the bureaucratice1ite 2) those consisting
of a revolutioncry political party cocposed of the ideological elite
3) and those conSisting of patron-client hierarchies composed of the political
entrepreneurial elite
Of these three linkages consisting of the state administration are
the cst extensive and pervasive in virtua~ly every LOC Such linkages
however exist primarily a~ instruwents of the center to penetrate the
periphery Central government officials are formally charged with bringing
develo~ent to the people This is a ~issi~n which conceives development
as a process ~hrough which a traditional peasantry is transformed and
assimilated iJro the DOdern center which is steadily expanding to embrace
it Agents of the center invariably have more resources to achieve their
objectives than do local political leaders but because they are frequently
strangers~ the communities in which they function they are often unable
- It -
co implement the policies of the center without working through the
local establis~ent
Though somctices significant linkages consist~g of revolutionary
party organizati~ns such as those found in China and Vietnam do not exist -
in most IDCs beca1Se of the special historical and e~omic conditions
required for their development As wi~h the administrative state however
the linkaampe apparatus of such political patties is prUlarily an instrument
of the center whose mission is to penetrate and mobilize those onthe
periphery
In contrast patron-client hierarchies are linkages which represent
the periphery at the center and mediate betwee~ these two disparate
sectors of the political systec Thcugh norcallymiddotovershadowed in scale
by the state administration patron-client hierarchies are found in almost
~very LDC a~d constitute the ~st significant network through which rural i
populations and their leaders influence the decision-~king process at
the center Patron-client hierarchies exist in a wide variety of org~iza-
tional fores ranging from info~ ~ec~~rks of individual olitical leaders
in uno-partyll systelS in S~b-SaharaI4 Africa to extensive political machines
in both one-p~rty (Africa Mexico) and ~u1ti-party systems (Turkey India)
Despite their importance as the pricary means through which peasants in
LDCs particiate in their political systems patron-client hi~rarchies
have only recently become an object of analysis by students of political
developent and do not appear in even the most sophisticated studies of
2 See Jo~ Dunca owell Peasant Socie~y and Clientelist Politics Aerican Politi~ Scielce Revietol 64 (June 1970) pp 411-25 Rene Lemarchand anc_ Keith Legg olitical ClienteliSJ and Ethnicity in Tropical Africa Aierican Political Sc~ecce ReView 66 (Y~rch 1972) pp 68-90 James C Scott PatronshyClient Politics a~d Political Change II 1tlerican Political Science Revie~ 66 (~arch 1972) p 91-113 and Friends Followers and Factiols bull edited by Steffan Sc~~d and James C Scott (Berkeley UniverSity of California Press 1977) bull
- 5 -
3 economic development Ad~niscrators of developmental assistance progracs
have too often regarded patron-clienc hierarchies as ~ped~ents to
develop~ent instead of recognizing cheir potential utility bull
~ Findings on Patron-Client Hierar~hies --
The importance of pat~on-clienc hierarchies for linking the periphery
to the center is one of the major findings ~erging from a study of the
relationships betueen l~gislators an~ their constituents in Kenya Korea
and Turkey ~hich the Cowparative Legislative Research Centpr is nov
comleting uader its 21l(d) grant from AID This study has av~mined the
creation of linkages between the periphery and the center through ~ore
than lO~OOO interviews with members of parl~ent local leaders and
peasants in t~e three countries The findings are being systewatically
set out in a book-length monograph Nearly a dozen research reports have -
uready appeared (see Appendix C) ipropositions about the nature of
political behavior of rural populations an~ the roles of local political
elites de=ived from the research~ can be s~rized as follows
1 Elected representa~ives play a significant role in the creation and mainte~ance of linkages be~een the center and periphery by developing local political achines in which they function as patrons of their constituents In turn thay s~rve as clients of political leaders of national stature who control central government institutions
2 By atte~pting to establish linkages based on patron-client relatio~shi~s elect~d representatives are responding to public expectations chat their prizary duy is to obtain resources from the center to proffiote local develop~ent ~iany elected repLesentatives spend most of their time on self-help co==unity development projects such 3S the building of schools health clinics irrigation works arid roads because such projects provide
3For exa~le ~ a widely respec~ed a~d useful analysis of rural deve16p~ent in Sub-Sahara~ Africa L~ Lele of the World Bank notes the problems of creating an adoini5~raive infrastructure in the rural areas that is sensitive to local socio-oliical conditions She does not however consider how local leaders operating o~tside of adcinistrative structures ~ night contribute to the developne~t 0 the rural areas See ~~ Lele ~ Design ~ Rural Develop~ent Lessons ~ Africa (Balt~re The Johns HopkiD~ Uciversity Press 1975) r) pp 127-61 i ~
- 6 -
their const~tuents with desired se~ices ~~d a= the sa~e time provide the reresentatives with an orgacization Yhicn can be used as a political base
3 l-tore than 90 perCel1t of the rural population is capable of articulating the p~oblems facing their local co~~ity and two-thirds discuss th~e proble~ w~th their fellow citizens on a regular basis
4 Three-q~rters of the residents of the rural areas can identify the public ofpoundici~s who serve thec--both civil servants and elected represcrtatives--by na~e Most are knowledgeable about the activities of these officials Alcost one-fifth coreover have discussed co~~~ity probl~ ~ith these officials particularly those working at the grassshyroots level Residents of rural villages actually have a higher level of political knowledge than their counterparts in the towns
5 Elections in the rural areas evoke a highly rational attern of voti~g despite the effects of ascriptive or traditional co~siderations Inc~ens are pri~rily evaluated in terms of their record in fulfilling the public r S elpectations of what they should do Elections are essentially referenda on inc~entsr perfo~ce especially their perforwance in the area of constituency servi~es such as bringing development projects to the districts bull
6 Local developcent projects have a relatively high s~olic value generating conscitutency support for local leaders and the central government at low cost
7 These projects help huild a local political infra-structure which can also be utilizec by central govern~nt civil servants to implement other policies designed to achieve rural develop~ent bull
The Icpac~ of Local Politics on Rural Projects
Having explored the developtent of linkages through which the periphery
is represented at che ~enter and through which the periphe~ attemp~s to
share in the ceners resources we now propose to build upon our initial
investigations by e~ing in greater detail the impact of local political
conditions on specific problecs of rural develop~ent We propose to
exacine the develop~ental activities of local leaders ~nd the rural public
by eX2~Ding a saple ot fifteen to twenty smalL~scale developwent projects
in each of ~he three countries which constituted the sites for our initial
8ESI AVAILABLE DOCUMENT 1 ~ - of
- 7 -
study of center-perhiphary relations The appropriateaess of this approach
and the ~ethodology through which it will be ip~emented is discussed in
section II Because the ~ethodology of investigation is in large part
the result of our previous research experience we fizst turn to a revieW
of the existinQ __ ~petence of the Comparative Legislative Research Center
in this area
II GRAXTEES EXISTIXG CmET~CE
In 1971 the University of Iowa received a 211(d) grant to develop
its capacity to do research on the role of elected represent~tives in
the process of modernization On the b~sis of this grant the University
established a research center which planned and carried out a research
project on the role of elected reres~~tatives as links between the central
gove~ent and rural populations in K~ya Korea and Turkey The project -i
served to develop t~e University of Iowas research capability in this
field esa~lished ties between the University and scholars in the bost
countries and generated a large and uniqu~ body of relevant data
In that project we fo~ussed our attention on tbe activities of elected
representatives in their constituencies notably in their contacts with
local political leaders voters and civil servants To determine tbe
nature of the linkage function performed by tbe representatives we
designed our research to explore the subject from three perspectives
1) we eXaojned ~~a ~ubject at tbe grass roots by conducting a series of
sample surveys of 200 to 300 adults in each of 12 to 14 parliamentary
constituencies in each cf th~6three countries 2) we examined the subject
at the center by intervie -ing MIls from the constituencies in which we
had conducted S3mple surveys ~nd higher civil servants with whom they
had contact and 3) ~e ex~~ined the subject from an inter-~diate level
by identifying aud ~terviewing local social and political leaders in
the MPs constituencies We used survey research methods because we
were embarking on the study of an entir~ly new subject for which little
relevant docu=e~tary data existed and on which there were few secondary
sources As a result ~e have unparalleled experience with survey
research in the rural areas of less develo~ed countries
The surveys which constituted the cajor part of our field work were
planned in collaboration ~~th scholars from the host countries They were
carried out in each constituency by student interviewers in the appropriate
language ~re than 10000 respo~dents were inteDViewed for the project
Given the visibility and sensitivity of this undertaking approval for
the research was sought and obtained from the host governments prior to -i
the collec~ion of data ~o objections were raised by these governments
at any stage of the research The data obtained have been made available
to scholars i~ the host co~cries and some of the basic findings have
been published in periodicdis in these countries
The Comarative Legislative Research Center ~hich ad~nistered the
project has aisO developed extensive experience in the study of political
leadership in other countries It h3s obta~ed substantial support from
the Fo~d Foundacion and the Rockeeller Foundation has worked in
collaboration ~~h European as ~ell as Asian and African scholars and
is engaged in a ajor study of the role of elected and non-elected leaders
in the oanag~~t o~~ocial conflict Because it has conGucted research
in a variey of setlngs the Center has an ~ceptional capacity to
- 9 -
determine how the relationships be~een political institutions and
economic p=oble75 differ in develoPed and less developed countries
In the course of the major research projects the Center has administered
it has gained highly specializpd ~p-i ce iI identifying 1Olitical leaders
in a great variety of settings conducting systematic interviews with
them collaborating with scholars in the host countries and in coding
and utilizing large files of data to answer specific research questions
The Center has ~lso undertaken to publish the results of its research
in three fores It issues codebooks to the data enabling scholrrs at
other locations to use the data expeditiously i~ publishes research reports - in the form of Occasional Papers and it publishes a scholarly periodical
devoted to the presentation of research findi~gs to an inteIT~tional
audience
The Center utilizes the data ~ysis facilities of the Laboratory
for Political Research of the University of Iowa and drawS on the unusual
n~er of secialists in comparamptive politics and survey research in
~~e Lniversitys Departmen of Political S~ience The Center itself I
has the services of an administrative secretary and a clerk-typist
~intains its~o~cn extensive archives and its o~~ publications program
It is e~uipped to assist scholars and government officials outside the
t~iversity of Io~a The participants in its p~ojects are full-tioe
faculty ~e=bers ~hose undergraduate and graduate teaching is closely
related to their research As part of the teaching program the Center
has attracted students from the countries in which the research projects
have been conducted these students have participated in the projects
bull J
have obtained training in other fields of political science have received
University of Iowa degrees~ and have ret~rned to teach and to do research
in their own countries
III PURPOSE OBJECTIVES AID METHODS
Purpose of Study
The purpose of the proposed grant is to extend the capacity of the
University of Iowa to determine the political conditions in the rural
areas of less developed countries which favor the establis~ent and growth
of small-scale developoent projects ~e objective is to put the University
of Iowa in a position to assist the Agency in designing small-scale rural
developent projects providing guidelines for carrying out social soundness
analyses of such projects and adviSing in the evaluation of projects
We will discuss the utilization of~t~e Universitys capacity in detail in
section IV below
We propose to concentrate our investigations on the political conditions
surrounding s~l-scale ru~al projects Such projects have distinctive
advantages They waximize the political participation of the rural populations
both in det~~-ining the direction ~d implementation of develop~ent efforts
and in defending the interests of periphery vis-~-vis the urban-based
bureaucratic elite S~ll-scale projects stimulate entrereneurial activity
on the part of the rural citizens and growth of the info~l canufacturing
and service sector Tbey require less lead tice and less administrative
c~erhead to ~eco~e operational than large-scale capital-intensive projects
centrally administered Such projects yield rapid and direct benefits to
1
j
the rural
- 11 b - ~~1
populations and are consistentwith their hUIlaD rights--both
political and economic However~ small-s~le projects pose s~ecial probl~s for administratcrs of developceocll assistance progracs because
they require the donor co assess the local olitics particularl the
rural politics of t~e host country
Develop~c adoinistrators pr~rily conc~rned with assisting rural
populations must therefore recognize the range of political variables
affectL~g these projects Small-scale projects offer great opportuoities
for develop~ental assistance progr~ because they can be easily targeted
to help rural populacions require low capital costs and need no be
concentrated in one or two localities Such projects ho~ever~ ~equire
the a~istrator to have ~re political kno~lecge than large-scale
projects Oil which his priJlary tas~ is guiding the work of other experts
Questions for ~Investigation
To detercine the politi~al cc~diicilS ~st conducive to ~he establ~~ent
and gro~h of scalI-scale rural projects ~e propose to address our inquiry
to the following specific questions
1 To what extent and why co local political leaders seek to establish s~~l-scale develop~ent projects within their co~unities
2 To what extent and ~~y do local leaders other than politicians initiate andor provide leadership for s=all-scale developm~t projects
3 Bot do the relations bet~Jeel different types of local leaders (political and non-political) and bet~eeo these leaders and central gove~ent civil servants posted to the rural areas affect the conduct of develop=ent projects
4 How do existing authority ~eLationships between these different leadership grous and the rural pub~ic affect the organization and operation of s~l-scale develop~ent projects
- 12 -
~
5 lhlt is the nature 0 pclgtlic participation in the establishlent and operatio~ of s~l-sclle projects and ~hat are the outcc=es or this participatioe Gucer w~at conditions is such participation ~ost likely to occur
We seek a~swe=s to t~cse questio s L order to determine the effect of
different co~iigurations of local leadership and public participation on the
outcomes or small-scale rural projects te are particular1y concerned with
the ~pact of these configurations on the rate of econocic growth and the
distribution o~ rIGSlth ithin the loal cOlllUlity ~ on the perce~tions of
s~ll-scale proj~cts by central govern~ent per~oncel and the rural public
anmiddot on the organiation or flture projects
To a~swer these que~tions it is oar intention to study the initia~ioD
izJple=enation ald i1lpact of a salple cpound small-scale rural projects in
Kanya Korea and Turley in the sae cOllities in which we carried OU
our initial icvestigations ~ 1973-75 Tne relationships between the -
various conf~gurations of local leadership and public participation and
the three phases of project develop~ant are sho~ in Figure 1 We will
exa=ine projects to pro~ote the adoption of new agricultural techniques
by s~l and moderate landnolders the building of feeder roads irrigation
ditches and other s~ple infrastructure the organization of fa~ers
cooperatives and other local associations concerned with rural development
the establish=ent of rural health clinicS and schools and the setting up
of craft and service industries
Sites for Study
We plan to return to our original set of localities because we possess
a rich body of relevant data on the extent to which linkages exist between
Figure 1
TYPES OF LFLUEXCE OF C2r~ middotGOVER1iEXT OFFCIALS
LoCu LEADERS 0 THE RURAL PUBLI-C OX THRr~
PHASES OF RURAL igtEVELOPHET PROJECTS
r----------~J C~ltral Gover1~nt Official)-N------- - J
r- Local pOlitical leaders
Local non-political leaders
~l 1---- -
ROJECT nITL~TIOS
Influ~ce on selection of projects
InrI ~elce on location of projects
Influence on policy guidelines for proj eCl
Il
I
a
I I
-I PROJECT I~L~~iATIO~ ~ 1
j Project Organizati I Selection of project
leadership
Hobilization of resources
Mobilizatiol of public compliance with project require=elts
Diffusion of project innovation
Rural Public
I
BEST AVAILABLE nOCUMENT
1 ROJECT IMPACT
Organization of ongoi=g project operation
Distribution of project benefits
Evaluation of project
Public attitudes toward project
-middot14 -
these areas and t~c central p~litical institutions of the three co~tries
and on the attit~es of the rural populacioc local leaders and elected
legislators regardi~g their problecs of develop~~c Since such data
is unavailable for alternative locales a return to the areas in which
we have previously done much research ~ables us to build on a uniquely
valuable body of icformation
A return to Kenya Korea and Turkey is also highly desirable from
the standpoint of effective research organization The Comparative
Legislative Research ~enter has developed close collaborative relationships
with several highly competent social scientists in these countries and
with the academic institutions with which these scholars are associated
We have also dev~_oped cooperative relatio~ships wi~ gove~ent officials
in these countries which should facilicate obtaining approval for our
further work
In proposing to doc~ent the origin i~pl~entation and impact of
one to three s~ll-scale develop=ent projects in each of 35 localities
we have two considerations in mind Firstmiddot because our pr~ry goal is
to deter~e the political conditions for rural developm~Lt we wish to
examine develQ~=ent in as many different settings as feasible Only in
this way can we control for so=e of the major socio-cultural variations
that erist along rural populations in less developed coultries These
include the overall level of econo~c development in the co~unity the
nature of t~e ~digenous culture an~ relationships of authority and the
pro~ty of the comounity to major urban areas and centers of central
gove~nt ad=inistration ~ce our original study sites were carefully
BEST AVAILABLE DOCUMENf
- 15 - ~ ~1
selected to represent these variations ye have concluded that these
35 localities woule be ideal sites for the propose~project Second~ in order to dete~~~ the ~pact of local leaders and public
participation o~ ~ural projects we intend to compare projects 1n which
local leaders and ~ecbers of the public have played a major ~ole with
projects in which they have not We also ~l cospare projects initiated
by the central gover~ent with projects Yhich have been locally initiated
These considerations give us a typology for selecting projects as depicted
in Figure 2
Figure 2 ~
FIVE TYPES OF RU~AL PROJCTS ACCORDIXG TO ~FLUEXCE OF CEITiW
GOVE~1E~T LOCAL LEADE~ AD RLRAL POULATIO~
Level of Participation by Rural Population
Locus of Project Initiation ~
Local Co=unity Central Governoent
BIGd
LOt
1 Projects initiated by local leaders and providing for participation of the rural ~opulation
4 Proje~ts Litiated by local leaders bu~ not involving participation of the rural population
2 Projects initiated by the Central Govern~ent and administered i~ cooperation with local leaders a~d the rural population
3 Projects initiated by the Central Govemlent and providing =or the participation of the rural population but by-passing local leaders
5 Projects initiated by the Central Gover~e~t a~d administered in cooeration Yith local leaders but not involvi~g parti~ipation of rural population
- 16 -
We recognize that the socio-cultural setting of rural develoment
projects varies significantly within and across less developed countries bull
By focussing o~ a representative sa=ple of localities ~ Ke~ya~ Korea
and Turkey we can take account of naoy~ though not all of these variations
While some of our substantive findings will not be directly generalizable
beyond the countries in which we propose to conduct our study we expect
that our basic ~ethods and fLdLgs will be applicable to national and
sub-national settings elsewhere in the developing world This is partly
d~e to the fact that the hierarchy of patron-client relations ~hich we
regard as a critical factor in rural develo~~t exists in ~ost Liles
--It is also due to the fact that the methodology for identifying local
bull leadership configurations auG poundor studying local politics which we are
perfe~ting can be used to assess local political co~ditions in a large
variety of countries even when the ~nditions themselves differ significantly
Methods of Investigation
The data needed to assess the iDpact of local leaders and mass
participaticn on rural dev~lop~nt fall into two categories Some a~e
contained among the data gathered for the research project we are currently
completing Others will require additional field research
The following data are already in hand
1 Data on the social landscape of each loc~l co~nity i~cluding aggregate data o~ level of econonic development de~graphic characteristics political pa=ticiation eth~ic loyalities and rates of socio-econocic change dur~g the past decade bull
2 Identity of local leaders including both political and I-on-political leaders and both legislators and other politicians
3 Perceptions of existiag probl~ and their possible solution a~ng
l)tS r AVAilABLE DOCUMENT
- 17 -
general public local leaders and civil serv~nts
4 Level of political kno~ledge among local citizens and local political leacers
5 Political and social values a~ong local ci~izecs and local political leaders
6 E~~ectacions of leadership roles among the local public and elected and non-elected leaders
7 Patterns of co~unication ~ong local leaders and between local leaders and the central gove~e~t
These data ~hich ~e already have in hand can be subjected to analyses
which ~~ll provida the foundation for our further work on rural develop~ent
projects A part of our work therefore will consist of fu~ther analyses
of existing data
New data of the following kinds are also required
1 Doc~entary data on the origin and evolution of particular smallshyscale develop~cnt projects in the rural areas
-2 Data on project costs boih ~itial invest=ent and recurring
operating costs and data on project ou~puts ie pupils in schools Ddles of road coopleted nl~ber of hospital a~ssions production of factory agricultural productivity
3 Data on project organizatio~ n~~r of local inha~itants participating in establis~~ent of projectt nuober of local L~habitants subsequently involved in project
4 Data-on the pe-cetion of projects by local leaders emers of the local public a~d by civil servants data on the perception of how each project ~as initiatec organized who benefitted and what its future implicatio~s are
These types of data will requ~re field work involv~~g both docucentary research
at the relevant ~istries of the central government and in local goverr~nt
authoritieS and inforoal open-ended interviews with local political leaders
elected representatives and other local leaders who~ we had previously ~
interviewed in a s=uctured syste=atic =aoner
BEST AVAILABLE DOCUMENT
- 18 -
Grant Organizatio~ and T~etable
We propose co undertake the research outlLled above beginning in the
fall se=ester 1977 Dur~g that te~ Professors Barkan and Kim as
principal investio~tors for the neo1 proj ect will contact their collaborators
in the host co~~tries They ~~ll also seek the collaboration of an additional
~rican scholar specializing in rural development with the aic of getting
additional advice on sources of data and suitable indicators for the
~easure=~~t of rural develop~ent projects
At the end of the fall seQester Professors Barkan and Kim will make
a trip to their research sites to disc~s details of the research organization
with their collaborators in the host countries and to recruit student
assistants Tney will devote the spring te~ 1978 to further analysis
of a~sting data at the University of Iowa
The gathering of additional dita L~ the field will begin in the s~er
of 1978 Professors Barkan and Kio will direct this work personally We
eAect that its coopletion ~~ll require three to six months This work ~1
involve the evaluation of central and local gove~ent reports on the
projects uncer investigation extensive on-site observations of the projects
and oen-e~ded interviews with the principal participants Our principal
respondents ~i1l be the local leaders and elected representatives we
have previously identified in the localities in which we have worked and
a sacple of active participants in the particular dpvelopment projects
being studied ~~ere necessary and apropriate surveys of the general
public will be uncertaken to assess the inpact of a given project on the
rural por)r We do not however leed 0 conduct systeAlatic sample surveys
BEST AVAILABLE DOCUMENT
- lY -
of the rur~l population as We did in 1974
In the organization of this research project we intend to reconstruct
the rese~rch tea=s ~e e=ployed during 1973-75 We shall again seek the
co11abo=~tion of P~ofessor Sc~~S-7o~g Pai of Seoul National University ~
Professor IIiCr Turan of the University of Istanbul and Professor John J
Ok~u of the U~iversity of ~arto~ S~ilarly w~ contemplate directing
the field research fro~ he same acade~ic research organizations we previously
used Seoul National U~ive~sity th~ ~~iversity of Istanbul and the
Insti~ute for Develop~eut S~udies University of Nairobi As before we
will tra~ students f~oo these institutions to serve as interviewers
The analysis of the open-ended intervie~s and of docUQentatio~ on
I ~ural develop=e~t projects will be a ~ore t~e-co~s~g process than the
analysis of closed intervie~s It will reqrire a high cotnittl~t of time
fron the principal investigators )e e--pec to hold a conference at the i
U~iversi~y of Iowa 3lO1g all the principal )clticipa~ts in the resea~ch
project d~=~g t~e spr~g 1979 to evalua~~ the newly collected data
le e~ pect to be able to vr-ite reports of t~ results during the Sl1~er 1979
(see Figre 3)
IV LlX-GS ~1) U~ILIZATIO~
At the e~d of the grant period the Uti ersity of Iowa will be able to
1) advise the Agalcy 01 the design of s~l-scale rural projects to assist
the rural poor 2) provide guidelines for social soundness analysiS of
small-scale projects for the rural areas of U)Cs 3) consult w~th the
Ag~tcy 01 the evaluatiol of rural projects ~d 4) provide LDe governments
BEST AVAILABLE DOCUMENT
)ATES
~lll
1977
~inter 1977
iprilg 1978
il mer 1978
~all
1978
ipr~ng
1979
Imiddoter 1979
University vf Iowa
Plutlning of rural develo~rent project
Barkan Kil
Alalysis of existing data
Barkan Kia
Data processing
3arkan Kin
1
I
- 4 -
Figura 3
GRAT TLfETABLE
SIT E S
Kenya Korea Turkey
Preparation of field research ural developH~lt project cOlisulta~io~ a research sites
BarkanOku=u Ki~Pai Tura~rkanKi~
Preparation of field resea-ch
Tural
Field research on rural cevelop~~t projects Bar~lOk~u Ki=Pai Turan
Co=pletion of Co=pletion of field resear~~I~ fiald researcr
Ok~u i Pai bull
f Coopletion of field research
Turan
Data analysis conference a~ong all princial i~vestigators at Un~versity of Iowa Barkan Kil Oku=u Pai Turan
Co=letiol of r~ral develop~ent
project
3arkan Kiz
BEST AVAILABLE DOCUMENT
I
- LL -
~ith speciali~cs o~ ru~al developcect ~mong their own citizens ~ho ha_
partcipatcd ~s collaborators in the Iowa projects
In the proposed project we Will test a series of hypotheses cOlcerning
the political cOllditions of rural develo=ent which run counter to CODOn
assuoptions conccrnir3 t~~ influence of rural politics on project effectiveness
As a result ~e ~dll be able to assist the Agency in designing and evaluating
such projects froe the point of V~~W 0 their political viability The
hypotheses We will test sugges~ t~at the patron-clie~t relations existing
in the local politics of zost LDCs are not necessarily i~pedients to rural
develop~ent but are aspects or the political structure which cal be used to
facilitate s~ll-scale ru=~ projects which will raise the standards of
living of _ ~ rral pomlation - As ~ result or our stuey we expect to be
able to P~-O~t the local leadership confi5~rations ~4d the relationships
between local leaders ald rural poclations ~nich are oost conducive to I
successful develcp=en efforts We believe that we will be agtle to perfect
a cat~odology for identifying the political conditions for rural develop~ent
one ~hich is transferable pound~oo the countries we have specialized in to
other LDCs
We proo~ to develop specific guidelines to assist administrators
charged with selecting evaluating and =onito~ing rural develop~ent
projects to ~szess t~esc rojects in tares of their-social and political
viability he outco~e of such projects is dete~ned not only by the
efrectiv~nass ~~=h ~hich they use scarce econo~c resources but by the
~~er L~ w=ich they e~gage the suppprt of local leaders and rural
po~ulatiocs~ by thei= effect ou social a~d econo~c equality ~d by
D[~T AvAlLA8LE DOCUMENT
- 22 -
their consequences for hwan rights ~Je plan to establish criteria by
middot~hic~ the probable outco~es of projects in these social terms can be
anticipatec
The study ~e propo e will be undertltlken by faculty at the Cniversicy
of lowe in collaboration with faculty a other ~rican institutions and
institutions in the host countries We will build on the extensive contacts
between the Co~perative Legislative Research Center of the ~niversity of
Iowa end other instituions with ~aich ~e have worked One =ajor result
of our collaborative study will be the existence of a net~ork of compe~ent
scholars both in this country and overseas experi~lced in ~orking together~
shar~g a co~on teaching and training experience i~ close contact throu~~ the
effective publications progr~ developed by the Co~parative Legislative Research
Center T~e e~~ertise of this group of individuals will be ava~lable to
oteer scholars to the Agency and ~o L~C governments for specific policy
advice The eXertise developed as a consequence of this project will
extend beyond the ~tionals of the countries ~volved since the univ~sities
engaged in ~e project attrtct stude~ts fro outside heir own countries
For ey~=ple the teaching ~d research progra in the Depar~ent of Political
Science 0 theUniversity of Istanbul heavily affected by the participation
of its facul~y ~e=bers and graduate students in our projects attracts students
throughout the ~middot1iddle East for Whom the University of Istanbul is the iajor
institution ~pound ~igher education in the region rne Institute for Developmen~
Studies is si=ilarly a focal point for students and faculty in East and
Central Africa Seoul ~atiocal Unive=sity attracts students froo other
Asia~ co~tries~ In this way the capability developed among the participant$
BEST AVAIL~BLE DOrUMENT
- ) -
in our work is diffused widely To the exte~ that the abili~y to assess
rural develop~ent p~ojects in teres of their social soundness is increased
both in the United States and in ~o~~tries r~ceiving develop=en~ assistance
the cap3~ity of racipien~ countr~es to absorb aid is ~creased
We propose to draw up an inventory of personnel available in ~~e
Cnited States and in other co~~tries who are able to consult with developen~
a~nistrators on the design of rural development projects and on their
evaluation We ~~ll draw first of ai~ on individuals w~o have been
directly associated with our ~ork in the past or on ~he proposed project
and ex~~~d the list to include graduate students and gove~ent officials
with who~ these individuals have wor~d
tole Yill utilize tha existing publication program of the Center
dercribed above to disse~inate our findings The Center has specialized
oailing lists of interested individuals and institutions in all parts of -i
the world and its reports can trerefore reach the ~st relevant audience
jirec~ly ~d re~~arly
BESl AVAIL~BLE OOCUMENT
CONTRACfjGRANTCOOPERATIVE AGREEMENT DATA SHEET
INSTRUCTIONS fjDW Complete 4 copies of the form Original SERCMSDSUP Statistical Section Copy Copy 2 SERCMSIiUP dministrative Copy opr 1 Contracting Officers COy COP) 4 SERCMSDSUP IUmin (Suspense) Copy
Missions Complde 2 copies oi the form Origin31 SERCMSDjSUF- Statistic31 Section Copy 3n~ Copy 2 Nill be ret31ned in the Missions
PART fA
ConU3lttorGranrce Name
University p~f~I~o~wa~ __ -r~ ____ ~~~~ __________ -~~ __ ~~~ ______________ ~~~~ Plorr Numt-er ApptopriJtion Number Allotment Number Project Number
930-0090-3Q13411 A5 72-111l0216 146-30-099-00-20-11 930-0090 Project Title
So~ia1 and Potitica1 Aspects of Development - Conference to Report Research Findings Amount of this Plorr I Projecl M3nagers Name and Offire Sytlbol
$10397 (increase) PDPRCP Jonatlan Silverstone Contr3ctors D-U-N-S Number
Ncgwatocs TYJlCd~3meJ j) Signature I l ~ jIf- bull G HtJ--ft u l IVmiddot
D~e
L - f - J ContractGrant Officqs typed Nailllt Signalure LJ d I -r-
plusmn t 3i-alflpta (( BLvle~ 1 I~ PARTm
ContractGranl Number
AID CSD-3294
Effeclive Date of Docum~nl Signalltre D3t~ of Documenl
Lf---C yen-~-gl tIost Courtry Institution (U iwrsity contract ONL Y)
Campus Coordinator (Uniwr ty i contract OiiL YJ
PART UL Descriplion of Cor-tractGrant P1use X ONL Y ONE item under each headiZg IF THEltrease CifYmC~e bolh ges I 30~~ O~ Nol to be completed for Amendmenl or Modlfic3lion AJigtns I III
J 710gt I I V ~ I
MOl - TYPE ACT A~ 0 G unsolicited Propsll (AIDIR 0 C Individual (Non-pe~nal senice)
~ O Cortra lGrantl ooperative Agreemenl 73101-SO(b)(6raquo 0 D Individual (ftrsonal Service)
tJl T3sk Order ( A)middot 0 H Procurement 10 be Perfocm~d by the Conmiddot 0 E UniversilyOther FAuC3lionailnSlitulions
D 2 Work Order (IQC) Ira~lor in Person (AIDPR 0 F Non-Profil Organizationlnslitutions (other
D 3 Delivety Order (Requirements) 73101middotSO(b)( Iraquo than Ed or PVO)
[j 4 Purchase Ordcr [J I Sole Source (AIOPR 7-3101-SO(b)(4)) 0 G Private Volunury Organization (PVO)
If I 2 or 3 1Lle an ~ compllle M 12 ON Y D J Imp3irmenl of Foreign Policy Objectiws 0 H International Agricultural Research Organj-
M04 - CONTRACTGRANT TYPE
o O MOA (BOA BMA etc)
o I Fixed Price (Specify fFP FPRD FPEPA FPI) _____ _
(gtIDPR 7-31 OJ SO(b)(7raquo
OK B(a)5eJection (FPR 1middot1713-1)
o L Grant iH1ndlOok 13)
o M Do Nol Ue
D 2 Cosl Reimburemenl (S~cil) CR CPFF 0 N Cooperative t~reement (Handbook 13)
CS CPAF CPIF) ~ 0 O Small Business SeImiddotAside (FPR 1middot1706-8)
o l Cooperative Agreemenl ~ 0 1 Overseas Procuring AClivilies (AIDPR
04 Grant Gener31 Supportmiddot 0U ~ 7lIOI-SC(b)(2))
o S Granl - Specific Support ~ ~06 E SER VICE
g ~ ~~t ~~(d) ~~ ~~ ~ eci~a~~~~~ogram Projeci
o amp IQCs ~ ~ relampted excepi A amp E Services)
o 9 Host Counlry ContraclGrnnt 5lJ C amp E Services
middotComplele ONLY through ~Sl ~~ 0 D Construction
M05 SELECTION PROCEDURES 0 E- Reseuch
o A Formally 3dverliscd (IFB) (A1DPR 7middot24 amp
FPR 1middot24) ~ o B Negoli3ted Price Compelilicn Gencr31
Procedure (RFP) (-JDPR 7456)
Dc A amp E (AIDPR 7410)
0 D Ed Inst andor Inl1 R~arch (-JDPR
74 5)
o E Collaboratoe Assisunce (IDPR 7458)
C F Predominant Capability (IOPR
73IOI-50(b)(l)
AID 1420-49 (179) - Page I
D F Technical Services to AID (other than trainmiddot
ing usually o~ating expense)
D G jraining SetVice for AID
o H Equipment Materi3J~ Supplies Commodities
D I Translation Service
~07middot TYPE CONTRACTORGRA-nEE
o A Firmmiddot AU profil-rn3king fUms (other than
Aamp E)
J e A amp E 8r~
zalion
o Public Inlmlational Organizations (UN
Agencies ICRC Wocld Bank elc)
(H8 J 3 Chapt~ S)
M08- TYPE AW~RD
o A S8 Sel-Aside - Awarded to Non-Minority
o B S8 Set-Asidemiddot Awarded to MinXity
o C_ S8 NOI Set-Aside - Awarded to Non-Minority
o D S8 NOI SeImiddotAsidemiddot Awarded 10 Minority
o Eo amp(a) S8A Awarded to Non-Minority (Womerl-
Owned Veterans etc)
o F 8(a) S8A Awarded 10 MinorilY
o G Personal Sen-ice ConlrdCt bull Non-Minority
o H IeJSDnal Service Conlract - MinorIty
o I Individual NonmiddotPersonal Service Contraci -
NonmiddotMinority
o J 100Jigtiduai NonmiddotPersonal Service Contracl -
Minorily
o K NOI Small Business (Univ NonmiddotProfit Large
Firms) Non-Minorily
o L- NOI Small 8usineSl (Univ Non-Profit Large
Firms) Minorily
o M US Govcrnmlnt
(Connnued on Page 2)
BEST AVLABIE DOCUMENT 1 I
--
ua ) R I GI NAL 9 bull
MODIFICATION or GRANT PAGE 1 of 2
AH 1 2 Effective Date 3 Grant No 4 Effective Date
Amend_at Ro 5 April 15 1981 AIDCSD- 3294 8-11-71
-s CRANTEE (Name and Addrea) 6 Administered by -Professor Gerhard Loewenberg -Office of Contract Management Cbrnparative Legislative Research Gente Central Operations Division Dept of Political Science am Branch University of Iowa Agency for International Developn~nt Iowa City Iowa 52240 Washington D C 20523
7 PIO No 930-0090- 3013411 A5 8 Previous PlOTa -
Appropriation No 72-11110216 93i-1l-995-l36 930-11-995-136-73-3078103
Allotment Symbol - 146-30-099-00-20-11 wunt Obliga ted by this ~ndrnent - $10397
The above numbered Grant is hereby modified as follows
1 Anotmt obligated prior to this rurendment 2 Amount obligated by this amendment 3 Total obligated anount (1 amp 2)
Delete the amJmt $465000 and substitute in lieu thereof the ammnt I$47S 39-7 ~
FUNDS AVAIrABm
~~ - APR 13 1981
PrO~A~~5iors
$465000 $ 10397 $475397
OffiCE Of fIN~(1 ~~rE~E~T __ _ 10 This amendment 11 entered into puruant to the authority of the Forelgn
Assistance Act of lS~l as amended Except aft hereln provided all terms and ~~ndi~ons nf the grant rcferpnccd in Block 13 remain unchsnged and in full force and ~ffcct
11 original and six Crantee 18 requlred to aign thh document aad return 1- eopics to issuing
ffiee
~~~ or printed) BUSINESS MAHAGR amp bull
Tille TREASURER
UNITpound) STATES OF AHERICA AGENCY FOR INTERNATIONAL DEVELO~NT
BY_-1(1o-_1lt--= 13middot~_1_~ __ K R B1uteau
(Name typed or printed)
Tltle~ ____ G_r_a_n_t __ O_f_f1_c_e_r ____________ __
D3tC APR 2 J 7997 Dolt 9 APq 1981
BEST AVAILABLE DOCUM NT ___ 0 HLGlNAL - I 1 J 1 ~ )
- 2 -
AID ftmds in the am)tmt of $10397 are hereby provided for the activities lmich are described in your proposal (including Budget Stnmnary) entitled CDnference to Report Research Findings on the Study of Political CDnditions for Effective Small-Scale Rural Assistance Projects in Kenya Korea and Turkey dated February 17 1981 and made a part of the Grant b reference
BtTDGET StMMARY
Line Item
Travel
Per Diem
Other Direct Costs
Less existing 211 (d) grant funds
Total Amount Obligated by this Amendment
Estimated Costs
$ 5888
5100
_ 2500 $13488
_ 3091
$lO39
Note Indirect costs or $395086 associated with these activities will be contributed by the University of Iowa
BEST AVAILABLE DOCUMENT
~RIGINAL
- CONTRACT IGRANTCOOPERA rIVE AGRElEMI~ SERC~SDSlP Actio) Monitor
SERCMSDSUP Action Office
I
INSTRUCTIONS AJDW - Complete 4 copit of tlh fonnmiddot Orisina iCMSDfSUP Sutistical Section COP)middot Copy 2 SERCMSDjSVP Administrative CoP Copy 3 Cont-acting Officers COP) Copy 4middot SOSUP Admin (Susptnse) Copy Missionsmiddot Complete 2 copies of the form or~aI SERCtSDSUP Statistical Section Copy and Copy = wiU~ retained in the Missions
0 PART IA
Effective Date of Document tJ
Delivery Order (Requirements)middot
o 4 Purcluse Order
bull If I 2 or 3 have an bull X compl~te M I 2 ON L Y
M04 - CONTRACTGRANT TYPE
o O MOA (BOA BMA etc)
o 1 Fixed Price (Specify FFP FPRD FPEP FPI) ___ _
o 2 COli Reimbursement (S~cifY CR CPFF CS CPAF CPIF) ______ _
o 3 Cooperative Agreement
o 4 Grantmiddot General Support
o S Grantmiddot Specifi Support
o 6 GraDt 21 led)middot
o 7 Do Not Use
o amp IQCs
o 9 Host Country ContractGrant
middotComplete ONLY through M 5 1
MOS SELECTION PROCEDURES
o A Formally advertised (IFB)(AJDPR 7middot24 amp
FPR 124)
o B Negotiated Prire Competition General
Procedure (RFP) (AIDPR 7456)
o Co A amp E (AlDPR 4 I 0)
o D Ed Ins andor Intl ReStalch (UDPR
7457)
o E Collaborative ASSistance (AIDPR 7458)
o F Predominant Capability (AIDPR
7-310l-50o)(3)
AID 142049 (1-79)middot Page J
o H Procurement Co be Performed b~ the Conshy
tra~tor in Person (AlDPR
7middot3t OI-SO(b)(Iraquo
o I Sole 5gturce (AIDPR 7middot3101middotSO(b)(4raquo
o J Impairment of Foreign Policy Objecdv~
(AIDPR 7middot310 ImiddotSO(b)(7raquo
o K 8(a) Selection (FPR 1middot1713-t)
o L Grant (Handbook J 3)
o M Do Not Vse
o N Cooperative Agreement (Handbook 13)
o O Small Business SetmiddotAside (FPR 11706-8)
o P Overseas Procuring Activities (AIDPR
7middot3101middotSO(b)(2raquo
M06middot TYPE SER VICE
o A TtJining of Participants
o B Technical Assistmce (Program Project
related exc~pt A amp E Services)
J C A amp E Services
0 D COltl~ruction
0 E Research
0 F Technical Services to AID (other than trainmiddot
ing usuaU Y operating ex pense)
0 G Training Service few AID
0 H Equipment Mat~rials Supplie~ Commodities
0 I Translation Service
07middot TYPE CONTRACTORGR TEE
Firmmiddot All profitmiddotmaking fu-r1s (other than
AampE)
o 9 amp E Firms
I Prcct NumbcT
I
Contactors D-U-N-S Numbcr
I) -S--f(j
o C Individual 0-lon-~rsora1 service)
o D Individual (Pet-sonal Service)
o E University lOt her EduCltionaJ Institutions
o F Non-Profit Organization Institutions (other
than Ed or PVO)
o G Private Voiuntary Organization (PVO)
o H International AgricultwaJ Research Organmiddot zation
o I Public International Organizadon~ (UN
Agencies ICRC ewld B3J1k etc)
(HB J 3 Chapter 5)
M08middot TYPE AWARD
o A SB SeImiddotAsidemiddot Awarded to Non-Minority
o B SB SetmiddotAside bull Awarded to Minority
o C SB Not SetmiddotAside - Awarded to Non-Minoril)i
o D SB Not SetmiddotAside - Awarded to Minority
o E ~a) SBA Awarded to Non-Minewity (Womeli
Owned Veterans etc)
o F 8(a) SBA w-rded 1o Minority
o G Personal Service Contractmiddot Non-Minority
o ~ Personal Service Contnct - Minority
o I Individual Non-Personal Sence Contractmiddot
NonmiddotMinority
o J Individual Non-Personal Service Contractmiddot
Minority
o K Not Small Business (Univ Non-Profit L1lge
Firms) --vn-Minority
o L Not Small BUSiness (Univ NonmiddotProfit Large
Firms) ~inoriy
o M VS Government
(Continued on Pcge 2i
t bull - t ~ J f q
ORIGINAL bull MODIFICATION OF GRANT
1 2 Effective Date
Araendllent Ro 4 12-2-80
s CRANTEE CHace and Addrels) Professor Ger1ard Lo~middot enbelg Comparative Legislative Research Deartment of Political Science The Lnivp-rsity of Iowa Iowa City Io~a 52240
7 PIO No NI A
Appropriation No 72-11XHl26
Center
Allotment Symbol -426-30-099-00-3~-71 Amount obligated by this urendment-O- I
3 Gnnt No
AIDcsd-3294
PAGE _____ 1 _of-L
AlI 4 Effective Date
8-11-71
~ Admlnlltered by -Office of Contract Management Central Operations Division OTR Branch Agency for International Development Washington DC 20523
8 Previous PIOITs -
931-11-995-136 930-11-995-136-73-3078103
9 The above numbered Grant is hereby modified as follows
Supplement to Grant
Change the duration period sentence to read
The Duration Period for this Grant shall be August 11 1971 through December 31 198]
1 Amount obligated prior to this amendment $465000 2 A~unt obligated by this amendment -0-3 Total obligated amount (1amp2) $465000
----------------_- - ------- ----_- ------ 10 Thh lImcndmcnt is entered inlo punuant to the authority of the Foreign
~ Assistance Act of 1961 86 amended Except a~ h~reln Z II provided all terms and condi tions nf the grant referenced in Block 3 remain ~~aunchlinged and In fu1l force and effNt cnltUI cJ)za 11 o 4 J bull
Et~ ai~a gtUoItshyc Z P=u
original and six Grantee t requi red to sign this document and return 1- eopies to 1Bufng
office
~ 12 GRANTEE TES OF AMERI CA
(Name typed or printed) bull
TJlle Director Comparative Legislative liecearell CeQtoQl
Date 12880
------------------------------------
ONAL DEVELOPMENT
By ----~--~~~~---------------------
prinled)
Grant Officer Title --------------------------------
J)oll( 12-2-80 -----------------------------
BEST AVAILBLE DOCUMENT i je
d bull
srjmiddot (~~ jjXilO
IO
rmiddotmiddot ~middotmiddotrl f)~~ 7 middot 1 ~A~~ middot1 rmiddot middot~ rt bull middot bull bullbull I ~ i bull bull ~ middotv- middot bullbull ~ I
1 so bullbullbull l ~--~-- - - ---- ~ V~ i Jlgt ) bullbullbull ~(lr v ~I ( tr_ 1middot-middot 1 bullbull 1
il l~ J
2 c~loto
BEST AVAILABLE DOCUMENT
(C
Dr Willa~d l Boyd Presicient University of Ima iowa City Iowa 52242
Dear Dr Boyd
4 AUG 1977
amp
FIJNDS AVAnASLe CpoundNrftAamp sEIMCEs DMsON
AUG11 ~n te t6417 ~77
Subject bull Supplsectferit-tJF-G~middotNomiddot~middot AIOcsd-3294
t middot-rrPJ1 3
I am pleased to inform you that pursuant to th~ auth~rity contained in
S-cction 211 (d) ooC the Foreign Assistance Act of 1961 as amended a sup
plemental grant in the amount of $200000 is h~reby r~de to University
of rCi1a These supplement]l grant funds areprolided to support the
activities which are described in your Proposal dated May 6 1977 for
the implementation of your program entitled Political Conditions for i
Effective Small-Scale Rural Assistant Projects
---This sup~lemental grant is mace to University of Iowa en condition that
yo~r institution shall administer the funas provided under this Grant fn
accordance lith your r~ay 6 197 proposal (including Budget SUmlilary) and
the Standard Provisions (as incorporated by Amendment No 1) which have
been agreed to by your instit1ltion Ti) the extent of an inconsistency
between the Proposal and the Standard Provisions and any otherprovisfons
which ar~ made a part of thi5 Giant by reference or other~iSe the Sta~d~
ard Provisions shall control
The new Duration Period for this Grant shall beAugust 11 1971 through
August 10 1979
The total amount of funds obligated under the grant is increased to reflect
a new total oblgated amount of $465000
Please sign the Statement of Assurance or Compliance ana the origfnal -
and seven (7) copies of this letter to acknowledge your understanding of
the conditions under which these funds have been granted Please return
the Statement of Assurance of Compliance and the original and six (6)
copies of this supplemental Grant to the Office of Contract Management
Attachment May 6 1977 Proposal and Budget SUfiT1a ry
UNIVERSITY OF IOWA
Roberw bull OBrien fficer
Ce al Operations Division Office of Contract Management
AC~E~E~C--_ 0 BYpoundk~~ cH
D C ~lpoundSTtR5BA T ITL E ( PfeampoidPilt for
tee ment amp Research DATE 9-22 -77 (d~ ~~Bduate Ctl~1e~e
BES i AvAILdLt UOCLJMU~ I
211(d) Grant Program
Proposal of the University of Iowa
POLITICAL CONDITIO~S FOR EFFECTIVE SMALL-SCALE
RURAL ASSISTA~CE PROJECTS
Submitt~Ci to
Civic Participation Division AID
May 6 1977
Amount requeste~ $ 199987
BEST AVAILABLE DOCUMENT
I TdE DEVEIOP~T PROBr~
P~litical Conditions for Rural Development
The Cocparative Legislative R~search Center of the University of
Iowa proposes to ~~dartake a two-year study to investigate the role of local
leaders and the rural public in theimplecentation of small-scale develop~ent
1 projects in less developed countries The study will use and extend the
capacity ~hich the University of Iowa developed under a 211(d) grant to
investigate and assess the impact of loeal politics on rural development
~t the co~pletion of the s~ Iowa will be in aposition to advise the
Agency on the design ~nd evaluation of s~ll-scale projects which will be
politically viabe a~d effective in ass~sting the rural poor ~
As students of development w~ approach our task with the assumption
that the proble~ of development and underdevelopment are funda~entally
ones of political econooy and a~ such can only be solved through a
simultaneous considerationof economic and political factors Efforts
which foc~s aloost solely on economic factors like those of ma~y
organizations engzed in dipersing foreign aid or efforts which focus
almost exclasively on political factors fail to take account of the
interdependence between these two dimensions of underdevelopment and
lwe have for~ulated this proposal in a canner consistent witr the cu~rent policies ard interests of the Agency We have been guided in our tsk by four Age~cy doc~e~ts Impleo~~tation of New Directions in Developnent Assista~c~~~ ~eport to the COmlittee on International Relations on Ilupleoenshytatiun of Legislative Refo~ in the Foreign Assistance Act of 1973 (July 1975) rItevis~d Projec Developiel Review and Approval Systeo (A I DL Circular A-21 Aril 23 1975) SH Butterfield Draft SUIilZ3ry StateUlent of a Practical Agelcy Approach c aural Devalopilelt (AATA February 28 1975) Cicci A Coce~ual Oie=viamiddot middot Rural Development No1 (lWorilting GOU O~ tha Rural Poor February 1975)
- l -
can meec with only l~ted success
Our concern with the i=pact of local politics on the process of
rural developcent is a result of our interest in the basic question of
how LDC governm~nts and the donor agencies which assist them can
become core effective in raising the standard of living of the rural
poor We seek answers to the following aspects of that basic question
1) What political conditions must exist both within rural communities
and between theo and central gove~ents to raise agricultural production
w~ere small-scale agriculture is the do~nant pattern 2) Vnat are the
political conditions for a core rapid expansion of the informal manufacturing
and service sector cocprised of labor intensive small-scale industries
located in the rural ar s 3) What political structures and activities
are mase crucial for the provision of welfare and econocic supporc services--
such as agricultural exeension mar~eting and transportation--to the rural
areas1 4) ~~at Folitical conditions oust exist to insure that economic
growth in the rural areas is not accowpanied by excessive and intolerable
inequalities between socio-economic classes andor between regions1
Center-Periphery Linkage in LDCs
To deter~ne the political conditions for rural development we have
in previo~s s~udies exacined the institutions and processes through which
rural populaticns are integrated i1to the national politi-cal systetlS of
middot~he countries in which they live A gap exis~s in most less developed
countries bet~een the peasantry residing on the periphery and the c~~tral
political ~stiutions staffe1 by ~~estern-educated bureaucratic elite
We are aware of the other major ~sti~utional discontinuities which comprise
J
4 middot~~1 the basic cleavage between the developed and underdewmiddoteloped sectors of
these dual societies Bridging these gaps is essential if these so~ieties ~ are to develop into viable nation states For until those Q~ the periphery
of the poli~ical syste~ participate in that system and support and comply
with the authority of central political institutions neither economic
development in ~he rural areas nor a stable polity will emerge
Bridging the discontinuities in these new political systems requires
establishing and institutionalizin3middot1inkages or networks for co~unication
and exchange of resources between decision-makers at the center and the
rural public on the periphery Three types of institutional linkages are
most prominent in less developed countries 1) those conSisting of the
state administration composed of the bureaucratice1ite 2) those consisting
of a revolutioncry political party cocposed of the ideological elite
3) and those conSisting of patron-client hierarchies composed of the political
entrepreneurial elite
Of these three linkages consisting of the state administration are
the cst extensive and pervasive in virtua~ly every LOC Such linkages
however exist primarily a~ instruwents of the center to penetrate the
periphery Central government officials are formally charged with bringing
develo~ent to the people This is a ~issi~n which conceives development
as a process ~hrough which a traditional peasantry is transformed and
assimilated iJro the DOdern center which is steadily expanding to embrace
it Agents of the center invariably have more resources to achieve their
objectives than do local political leaders but because they are frequently
strangers~ the communities in which they function they are often unable
- It -
co implement the policies of the center without working through the
local establis~ent
Though somctices significant linkages consist~g of revolutionary
party organizati~ns such as those found in China and Vietnam do not exist -
in most IDCs beca1Se of the special historical and e~omic conditions
required for their development As wi~h the administrative state however
the linkaampe apparatus of such political patties is prUlarily an instrument
of the center whose mission is to penetrate and mobilize those onthe
periphery
In contrast patron-client hierarchies are linkages which represent
the periphery at the center and mediate betwee~ these two disparate
sectors of the political systec Thcugh norcallymiddotovershadowed in scale
by the state administration patron-client hierarchies are found in almost
~very LDC a~d constitute the ~st significant network through which rural i
populations and their leaders influence the decision-~king process at
the center Patron-client hierarchies exist in a wide variety of org~iza-
tional fores ranging from info~ ~ec~~rks of individual olitical leaders
in uno-partyll systelS in S~b-SaharaI4 Africa to extensive political machines
in both one-p~rty (Africa Mexico) and ~u1ti-party systems (Turkey India)
Despite their importance as the pricary means through which peasants in
LDCs particiate in their political systems patron-client hi~rarchies
have only recently become an object of analysis by students of political
developent and do not appear in even the most sophisticated studies of
2 See Jo~ Dunca owell Peasant Socie~y and Clientelist Politics Aerican Politi~ Scielce Revietol 64 (June 1970) pp 411-25 Rene Lemarchand anc_ Keith Legg olitical ClienteliSJ and Ethnicity in Tropical Africa Aierican Political Sc~ecce ReView 66 (Y~rch 1972) pp 68-90 James C Scott PatronshyClient Politics a~d Political Change II 1tlerican Political Science Revie~ 66 (~arch 1972) p 91-113 and Friends Followers and Factiols bull edited by Steffan Sc~~d and James C Scott (Berkeley UniverSity of California Press 1977) bull
- 5 -
3 economic development Ad~niscrators of developmental assistance progracs
have too often regarded patron-clienc hierarchies as ~ped~ents to
develop~ent instead of recognizing cheir potential utility bull
~ Findings on Patron-Client Hierar~hies --
The importance of pat~on-clienc hierarchies for linking the periphery
to the center is one of the major findings ~erging from a study of the
relationships betueen l~gislators an~ their constituents in Kenya Korea
and Turkey ~hich the Cowparative Legislative Research Centpr is nov
comleting uader its 21l(d) grant from AID This study has av~mined the
creation of linkages between the periphery and the center through ~ore
than lO~OOO interviews with members of parl~ent local leaders and
peasants in t~e three countries The findings are being systewatically
set out in a book-length monograph Nearly a dozen research reports have -
uready appeared (see Appendix C) ipropositions about the nature of
political behavior of rural populations an~ the roles of local political
elites de=ived from the research~ can be s~rized as follows
1 Elected representa~ives play a significant role in the creation and mainte~ance of linkages be~een the center and periphery by developing local political achines in which they function as patrons of their constituents In turn thay s~rve as clients of political leaders of national stature who control central government institutions
2 By atte~pting to establish linkages based on patron-client relatio~shi~s elect~d representatives are responding to public expectations chat their prizary duy is to obtain resources from the center to proffiote local develop~ent ~iany elected repLesentatives spend most of their time on self-help co==unity development projects such 3S the building of schools health clinics irrigation works arid roads because such projects provide
3For exa~le ~ a widely respec~ed a~d useful analysis of rural deve16p~ent in Sub-Sahara~ Africa L~ Lele of the World Bank notes the problems of creating an adoini5~raive infrastructure in the rural areas that is sensitive to local socio-oliical conditions She does not however consider how local leaders operating o~tside of adcinistrative structures ~ night contribute to the developne~t 0 the rural areas See ~~ Lele ~ Design ~ Rural Develop~ent Lessons ~ Africa (Balt~re The Johns HopkiD~ Uciversity Press 1975) r) pp 127-61 i ~
- 6 -
their const~tuents with desired se~ices ~~d a= the sa~e time provide the reresentatives with an orgacization Yhicn can be used as a political base
3 l-tore than 90 perCel1t of the rural population is capable of articulating the p~oblems facing their local co~~ity and two-thirds discuss th~e proble~ w~th their fellow citizens on a regular basis
4 Three-q~rters of the residents of the rural areas can identify the public ofpoundici~s who serve thec--both civil servants and elected represcrtatives--by na~e Most are knowledgeable about the activities of these officials Alcost one-fifth coreover have discussed co~~~ity probl~ ~ith these officials particularly those working at the grassshyroots level Residents of rural villages actually have a higher level of political knowledge than their counterparts in the towns
5 Elections in the rural areas evoke a highly rational attern of voti~g despite the effects of ascriptive or traditional co~siderations Inc~ens are pri~rily evaluated in terms of their record in fulfilling the public r S elpectations of what they should do Elections are essentially referenda on inc~entsr perfo~ce especially their perforwance in the area of constituency servi~es such as bringing development projects to the districts bull
6 Local developcent projects have a relatively high s~olic value generating conscitutency support for local leaders and the central government at low cost
7 These projects help huild a local political infra-structure which can also be utilizec by central govern~nt civil servants to implement other policies designed to achieve rural develop~ent bull
The Icpac~ of Local Politics on Rural Projects
Having explored the developtent of linkages through which the periphery
is represented at che ~enter and through which the periphe~ attemp~s to
share in the ceners resources we now propose to build upon our initial
investigations by e~ing in greater detail the impact of local political
conditions on specific problecs of rural develop~ent We propose to
exacine the develop~ental activities of local leaders ~nd the rural public
by eX2~Ding a saple ot fifteen to twenty smalL~scale developwent projects
in each of ~he three countries which constituted the sites for our initial
8ESI AVAILABLE DOCUMENT 1 ~ - of
- 7 -
study of center-perhiphary relations The appropriateaess of this approach
and the ~ethodology through which it will be ip~emented is discussed in
section II Because the ~ethodology of investigation is in large part
the result of our previous research experience we fizst turn to a revieW
of the existinQ __ ~petence of the Comparative Legislative Research Center
in this area
II GRAXTEES EXISTIXG CmET~CE
In 1971 the University of Iowa received a 211(d) grant to develop
its capacity to do research on the role of elected represent~tives in
the process of modernization On the b~sis of this grant the University
established a research center which planned and carried out a research
project on the role of elected reres~~tatives as links between the central
gove~ent and rural populations in K~ya Korea and Turkey The project -i
served to develop t~e University of Iowas research capability in this
field esa~lished ties between the University and scholars in the bost
countries and generated a large and uniqu~ body of relevant data
In that project we fo~ussed our attention on tbe activities of elected
representatives in their constituencies notably in their contacts with
local political leaders voters and civil servants To determine tbe
nature of the linkage function performed by tbe representatives we
designed our research to explore the subject from three perspectives
1) we eXaojned ~~a ~ubject at tbe grass roots by conducting a series of
sample surveys of 200 to 300 adults in each of 12 to 14 parliamentary
constituencies in each cf th~6three countries 2) we examined the subject
at the center by intervie -ing MIls from the constituencies in which we
had conducted S3mple surveys ~nd higher civil servants with whom they
had contact and 3) ~e ex~~ined the subject from an inter-~diate level
by identifying aud ~terviewing local social and political leaders in
the MPs constituencies We used survey research methods because we
were embarking on the study of an entir~ly new subject for which little
relevant docu=e~tary data existed and on which there were few secondary
sources As a result ~e have unparalleled experience with survey
research in the rural areas of less develo~ed countries
The surveys which constituted the cajor part of our field work were
planned in collaboration ~~th scholars from the host countries They were
carried out in each constituency by student interviewers in the appropriate
language ~re than 10000 respo~dents were inteDViewed for the project
Given the visibility and sensitivity of this undertaking approval for
the research was sought and obtained from the host governments prior to -i
the collec~ion of data ~o objections were raised by these governments
at any stage of the research The data obtained have been made available
to scholars i~ the host co~cries and some of the basic findings have
been published in periodicdis in these countries
The Comarative Legislative Research Center ~hich ad~nistered the
project has aisO developed extensive experience in the study of political
leadership in other countries It h3s obta~ed substantial support from
the Fo~d Foundacion and the Rockeeller Foundation has worked in
collaboration ~~h European as ~ell as Asian and African scholars and
is engaged in a ajor study of the role of elected and non-elected leaders
in the oanag~~t o~~ocial conflict Because it has conGucted research
in a variey of setlngs the Center has an ~ceptional capacity to
- 9 -
determine how the relationships be~een political institutions and
economic p=oble75 differ in develoPed and less developed countries
In the course of the major research projects the Center has administered
it has gained highly specializpd ~p-i ce iI identifying 1Olitical leaders
in a great variety of settings conducting systematic interviews with
them collaborating with scholars in the host countries and in coding
and utilizing large files of data to answer specific research questions
The Center has ~lso undertaken to publish the results of its research
in three fores It issues codebooks to the data enabling scholrrs at
other locations to use the data expeditiously i~ publishes research reports - in the form of Occasional Papers and it publishes a scholarly periodical
devoted to the presentation of research findi~gs to an inteIT~tional
audience
The Center utilizes the data ~ysis facilities of the Laboratory
for Political Research of the University of Iowa and drawS on the unusual
n~er of secialists in comparamptive politics and survey research in
~~e Lniversitys Departmen of Political S~ience The Center itself I
has the services of an administrative secretary and a clerk-typist
~intains its~o~cn extensive archives and its o~~ publications program
It is e~uipped to assist scholars and government officials outside the
t~iversity of Io~a The participants in its p~ojects are full-tioe
faculty ~e=bers ~hose undergraduate and graduate teaching is closely
related to their research As part of the teaching program the Center
has attracted students from the countries in which the research projects
have been conducted these students have participated in the projects
bull J
have obtained training in other fields of political science have received
University of Iowa degrees~ and have ret~rned to teach and to do research
in their own countries
III PURPOSE OBJECTIVES AID METHODS
Purpose of Study
The purpose of the proposed grant is to extend the capacity of the
University of Iowa to determine the political conditions in the rural
areas of less developed countries which favor the establis~ent and growth
of small-scale developoent projects ~e objective is to put the University
of Iowa in a position to assist the Agency in designing small-scale rural
developent projects providing guidelines for carrying out social soundness
analyses of such projects and adviSing in the evaluation of projects
We will discuss the utilization of~t~e Universitys capacity in detail in
section IV below
We propose to concentrate our investigations on the political conditions
surrounding s~l-scale ru~al projects Such projects have distinctive
advantages They waximize the political participation of the rural populations
both in det~~-ining the direction ~d implementation of develop~ent efforts
and in defending the interests of periphery vis-~-vis the urban-based
bureaucratic elite S~ll-scale projects stimulate entrereneurial activity
on the part of the rural citizens and growth of the info~l canufacturing
and service sector Tbey require less lead tice and less administrative
c~erhead to ~eco~e operational than large-scale capital-intensive projects
centrally administered Such projects yield rapid and direct benefits to
1
j
the rural
- 11 b - ~~1
populations and are consistentwith their hUIlaD rights--both
political and economic However~ small-s~le projects pose s~ecial probl~s for administratcrs of developceocll assistance progracs because
they require the donor co assess the local olitics particularl the
rural politics of t~e host country
Develop~c adoinistrators pr~rily conc~rned with assisting rural
populations must therefore recognize the range of political variables
affectL~g these projects Small-scale projects offer great opportuoities
for develop~ental assistance progr~ because they can be easily targeted
to help rural populacions require low capital costs and need no be
concentrated in one or two localities Such projects ho~ever~ ~equire
the a~istrator to have ~re political kno~lecge than large-scale
projects Oil which his priJlary tas~ is guiding the work of other experts
Questions for ~Investigation
To detercine the politi~al cc~diicilS ~st conducive to ~he establ~~ent
and gro~h of scalI-scale rural projects ~e propose to address our inquiry
to the following specific questions
1 To what extent and why co local political leaders seek to establish s~~l-scale develop~ent projects within their co~unities
2 To what extent and ~~y do local leaders other than politicians initiate andor provide leadership for s=all-scale developm~t projects
3 Bot do the relations bet~Jeel different types of local leaders (political and non-political) and bet~eeo these leaders and central gove~ent civil servants posted to the rural areas affect the conduct of develop=ent projects
4 How do existing authority ~eLationships between these different leadership grous and the rural pub~ic affect the organization and operation of s~l-scale develop~ent projects
- 12 -
~
5 lhlt is the nature 0 pclgtlic participation in the establishlent and operatio~ of s~l-sclle projects and ~hat are the outcc=es or this participatioe Gucer w~at conditions is such participation ~ost likely to occur
We seek a~swe=s to t~cse questio s L order to determine the effect of
different co~iigurations of local leadership and public participation on the
outcomes or small-scale rural projects te are particular1y concerned with
the ~pact of these configurations on the rate of econocic growth and the
distribution o~ rIGSlth ithin the loal cOlllUlity ~ on the perce~tions of
s~ll-scale proj~cts by central govern~ent per~oncel and the rural public
anmiddot on the organiation or flture projects
To a~swer these que~tions it is oar intention to study the initia~ioD
izJple=enation ald i1lpact of a salple cpound small-scale rural projects in
Kanya Korea and Turley in the sae cOllities in which we carried OU
our initial icvestigations ~ 1973-75 Tne relationships between the -
various conf~gurations of local leadership and public participation and
the three phases of project develop~ant are sho~ in Figure 1 We will
exa=ine projects to pro~ote the adoption of new agricultural techniques
by s~l and moderate landnolders the building of feeder roads irrigation
ditches and other s~ple infrastructure the organization of fa~ers
cooperatives and other local associations concerned with rural development
the establish=ent of rural health clinicS and schools and the setting up
of craft and service industries
Sites for Study
We plan to return to our original set of localities because we possess
a rich body of relevant data on the extent to which linkages exist between
Figure 1
TYPES OF LFLUEXCE OF C2r~ middotGOVER1iEXT OFFCIALS
LoCu LEADERS 0 THE RURAL PUBLI-C OX THRr~
PHASES OF RURAL igtEVELOPHET PROJECTS
r----------~J C~ltral Gover1~nt Official)-N------- - J
r- Local pOlitical leaders
Local non-political leaders
~l 1---- -
ROJECT nITL~TIOS
Influ~ce on selection of projects
InrI ~elce on location of projects
Influence on policy guidelines for proj eCl
Il
I
a
I I
-I PROJECT I~L~~iATIO~ ~ 1
j Project Organizati I Selection of project
leadership
Hobilization of resources
Mobilizatiol of public compliance with project require=elts
Diffusion of project innovation
Rural Public
I
BEST AVAILABLE nOCUMENT
1 ROJECT IMPACT
Organization of ongoi=g project operation
Distribution of project benefits
Evaluation of project
Public attitudes toward project
-middot14 -
these areas and t~c central p~litical institutions of the three co~tries
and on the attit~es of the rural populacioc local leaders and elected
legislators regardi~g their problecs of develop~~c Since such data
is unavailable for alternative locales a return to the areas in which
we have previously done much research ~ables us to build on a uniquely
valuable body of icformation
A return to Kenya Korea and Turkey is also highly desirable from
the standpoint of effective research organization The Comparative
Legislative Research ~enter has developed close collaborative relationships
with several highly competent social scientists in these countries and
with the academic institutions with which these scholars are associated
We have also dev~_oped cooperative relatio~ships wi~ gove~ent officials
in these countries which should facilicate obtaining approval for our
further work
In proposing to doc~ent the origin i~pl~entation and impact of
one to three s~ll-scale develop=ent projects in each of 35 localities
we have two considerations in mind Firstmiddot because our pr~ry goal is
to deter~e the political conditions for rural developm~Lt we wish to
examine develQ~=ent in as many different settings as feasible Only in
this way can we control for so=e of the major socio-cultural variations
that erist along rural populations in less developed coultries These
include the overall level of econo~c development in the co~unity the
nature of t~e ~digenous culture an~ relationships of authority and the
pro~ty of the comounity to major urban areas and centers of central
gove~nt ad=inistration ~ce our original study sites were carefully
BEST AVAILABLE DOCUMENf
- 15 - ~ ~1
selected to represent these variations ye have concluded that these
35 localities woule be ideal sites for the propose~project Second~ in order to dete~~~ the ~pact of local leaders and public
participation o~ ~ural projects we intend to compare projects 1n which
local leaders and ~ecbers of the public have played a major ~ole with
projects in which they have not We also ~l cospare projects initiated
by the central gover~ent with projects Yhich have been locally initiated
These considerations give us a typology for selecting projects as depicted
in Figure 2
Figure 2 ~
FIVE TYPES OF RU~AL PROJCTS ACCORDIXG TO ~FLUEXCE OF CEITiW
GOVE~1E~T LOCAL LEADE~ AD RLRAL POULATIO~
Level of Participation by Rural Population
Locus of Project Initiation ~
Local Co=unity Central Governoent
BIGd
LOt
1 Projects initiated by local leaders and providing for participation of the rural ~opulation
4 Proje~ts Litiated by local leaders bu~ not involving participation of the rural population
2 Projects initiated by the Central Govern~ent and administered i~ cooperation with local leaders a~d the rural population
3 Projects initiated by the Central Govemlent and providing =or the participation of the rural population but by-passing local leaders
5 Projects initiated by the Central Gover~e~t a~d administered in cooeration Yith local leaders but not involvi~g parti~ipation of rural population
- 16 -
We recognize that the socio-cultural setting of rural develoment
projects varies significantly within and across less developed countries bull
By focussing o~ a representative sa=ple of localities ~ Ke~ya~ Korea
and Turkey we can take account of naoy~ though not all of these variations
While some of our substantive findings will not be directly generalizable
beyond the countries in which we propose to conduct our study we expect
that our basic ~ethods and fLdLgs will be applicable to national and
sub-national settings elsewhere in the developing world This is partly
d~e to the fact that the hierarchy of patron-client relations ~hich we
regard as a critical factor in rural develo~~t exists in ~ost Liles
--It is also due to the fact that the methodology for identifying local
bull leadership configurations auG poundor studying local politics which we are
perfe~ting can be used to assess local political co~ditions in a large
variety of countries even when the ~nditions themselves differ significantly
Methods of Investigation
The data needed to assess the iDpact of local leaders and mass
participaticn on rural dev~lop~nt fall into two categories Some a~e
contained among the data gathered for the research project we are currently
completing Others will require additional field research
The following data are already in hand
1 Data on the social landscape of each loc~l co~nity i~cluding aggregate data o~ level of econonic development de~graphic characteristics political pa=ticiation eth~ic loyalities and rates of socio-econocic change dur~g the past decade bull
2 Identity of local leaders including both political and I-on-political leaders and both legislators and other politicians
3 Perceptions of existiag probl~ and their possible solution a~ng
l)tS r AVAilABLE DOCUMENT
- 17 -
general public local leaders and civil serv~nts
4 Level of political kno~ledge among local citizens and local political leacers
5 Political and social values a~ong local ci~izecs and local political leaders
6 E~~ectacions of leadership roles among the local public and elected and non-elected leaders
7 Patterns of co~unication ~ong local leaders and between local leaders and the central gove~e~t
These data ~hich ~e already have in hand can be subjected to analyses
which ~~ll provida the foundation for our further work on rural develop~ent
projects A part of our work therefore will consist of fu~ther analyses
of existing data
New data of the following kinds are also required
1 Doc~entary data on the origin and evolution of particular smallshyscale develop~cnt projects in the rural areas
-2 Data on project costs boih ~itial invest=ent and recurring
operating costs and data on project ou~puts ie pupils in schools Ddles of road coopleted nl~ber of hospital a~ssions production of factory agricultural productivity
3 Data on project organizatio~ n~~r of local inha~itants participating in establis~~ent of projectt nuober of local L~habitants subsequently involved in project
4 Data-on the pe-cetion of projects by local leaders emers of the local public a~d by civil servants data on the perception of how each project ~as initiatec organized who benefitted and what its future implicatio~s are
These types of data will requ~re field work involv~~g both docucentary research
at the relevant ~istries of the central government and in local goverr~nt
authoritieS and inforoal open-ended interviews with local political leaders
elected representatives and other local leaders who~ we had previously ~
interviewed in a s=uctured syste=atic =aoner
BEST AVAILABLE DOCUMENT
- 18 -
Grant Organizatio~ and T~etable
We propose co undertake the research outlLled above beginning in the
fall se=ester 1977 Dur~g that te~ Professors Barkan and Kim as
principal investio~tors for the neo1 proj ect will contact their collaborators
in the host co~~tries They ~~ll also seek the collaboration of an additional
~rican scholar specializing in rural development with the aic of getting
additional advice on sources of data and suitable indicators for the
~easure=~~t of rural develop~ent projects
At the end of the fall seQester Professors Barkan and Kim will make
a trip to their research sites to disc~s details of the research organization
with their collaborators in the host countries and to recruit student
assistants Tney will devote the spring te~ 1978 to further analysis
of a~sting data at the University of Iowa
The gathering of additional dita L~ the field will begin in the s~er
of 1978 Professors Barkan and Kio will direct this work personally We
eAect that its coopletion ~~ll require three to six months This work ~1
involve the evaluation of central and local gove~ent reports on the
projects uncer investigation extensive on-site observations of the projects
and oen-e~ded interviews with the principal participants Our principal
respondents ~i1l be the local leaders and elected representatives we
have previously identified in the localities in which we have worked and
a sacple of active participants in the particular dpvelopment projects
being studied ~~ere necessary and apropriate surveys of the general
public will be uncertaken to assess the inpact of a given project on the
rural por)r We do not however leed 0 conduct systeAlatic sample surveys
BEST AVAILABLE DOCUMENT
- lY -
of the rur~l population as We did in 1974
In the organization of this research project we intend to reconstruct
the rese~rch tea=s ~e e=ployed during 1973-75 We shall again seek the
co11abo=~tion of P~ofessor Sc~~S-7o~g Pai of Seoul National University ~
Professor IIiCr Turan of the University of Istanbul and Professor John J
Ok~u of the U~iversity of ~arto~ S~ilarly w~ contemplate directing
the field research fro~ he same acade~ic research organizations we previously
used Seoul National U~ive~sity th~ ~~iversity of Istanbul and the
Insti~ute for Develop~eut S~udies University of Nairobi As before we
will tra~ students f~oo these institutions to serve as interviewers
The analysis of the open-ended intervie~s and of docUQentatio~ on
I ~ural develop=e~t projects will be a ~ore t~e-co~s~g process than the
analysis of closed intervie~s It will reqrire a high cotnittl~t of time
fron the principal investigators )e e--pec to hold a conference at the i
U~iversi~y of Iowa 3lO1g all the principal )clticipa~ts in the resea~ch
project d~=~g t~e spr~g 1979 to evalua~~ the newly collected data
le e~ pect to be able to vr-ite reports of t~ results during the Sl1~er 1979
(see Figre 3)
IV LlX-GS ~1) U~ILIZATIO~
At the e~d of the grant period the Uti ersity of Iowa will be able to
1) advise the Agalcy 01 the design of s~l-scale rural projects to assist
the rural poor 2) provide guidelines for social soundness analysiS of
small-scale projects for the rural areas of U)Cs 3) consult w~th the
Ag~tcy 01 the evaluatiol of rural projects ~d 4) provide LDe governments
BEST AVAILABLE DOCUMENT
)ATES
~lll
1977
~inter 1977
iprilg 1978
il mer 1978
~all
1978
ipr~ng
1979
Imiddoter 1979
University vf Iowa
Plutlning of rural develo~rent project
Barkan Kil
Alalysis of existing data
Barkan Kia
Data processing
3arkan Kin
1
I
- 4 -
Figura 3
GRAT TLfETABLE
SIT E S
Kenya Korea Turkey
Preparation of field research ural developH~lt project cOlisulta~io~ a research sites
BarkanOku=u Ki~Pai Tura~rkanKi~
Preparation of field resea-ch
Tural
Field research on rural cevelop~~t projects Bar~lOk~u Ki=Pai Turan
Co=pletion of Co=pletion of field resear~~I~ fiald researcr
Ok~u i Pai bull
f Coopletion of field research
Turan
Data analysis conference a~ong all princial i~vestigators at Un~versity of Iowa Barkan Kil Oku=u Pai Turan
Co=letiol of r~ral develop~ent
project
3arkan Kiz
BEST AVAILABLE DOCUMENT
I
- LL -
~ith speciali~cs o~ ru~al developcect ~mong their own citizens ~ho ha_
partcipatcd ~s collaborators in the Iowa projects
In the proposed project we Will test a series of hypotheses cOlcerning
the political cOllditions of rural develo=ent which run counter to CODOn
assuoptions conccrnir3 t~~ influence of rural politics on project effectiveness
As a result ~e ~dll be able to assist the Agency in designing and evaluating
such projects froe the point of V~~W 0 their political viability The
hypotheses We will test sugges~ t~at the patron-clie~t relations existing
in the local politics of zost LDCs are not necessarily i~pedients to rural
develop~ent but are aspects or the political structure which cal be used to
facilitate s~ll-scale ru=~ projects which will raise the standards of
living of _ ~ rral pomlation - As ~ result or our stuey we expect to be
able to P~-O~t the local leadership confi5~rations ~4d the relationships
between local leaders ald rural poclations ~nich are oost conducive to I
successful develcp=en efforts We believe that we will be agtle to perfect
a cat~odology for identifying the political conditions for rural develop~ent
one ~hich is transferable pound~oo the countries we have specialized in to
other LDCs
We proo~ to develop specific guidelines to assist administrators
charged with selecting evaluating and =onito~ing rural develop~ent
projects to ~szess t~esc rojects in tares of their-social and political
viability he outco~e of such projects is dete~ned not only by the
efrectiv~nass ~~=h ~hich they use scarce econo~c resources but by the
~~er L~ w=ich they e~gage the suppprt of local leaders and rural
po~ulatiocs~ by thei= effect ou social a~d econo~c equality ~d by
D[~T AvAlLA8LE DOCUMENT
- 22 -
their consequences for hwan rights ~Je plan to establish criteria by
middot~hic~ the probable outco~es of projects in these social terms can be
anticipatec
The study ~e propo e will be undertltlken by faculty at the Cniversicy
of lowe in collaboration with faculty a other ~rican institutions and
institutions in the host countries We will build on the extensive contacts
between the Co~perative Legislative Research Center of the ~niversity of
Iowa end other instituions with ~aich ~e have worked One =ajor result
of our collaborative study will be the existence of a net~ork of compe~ent
scholars both in this country and overseas experi~lced in ~orking together~
shar~g a co~on teaching and training experience i~ close contact throu~~ the
effective publications progr~ developed by the Co~parative Legislative Research
Center T~e e~~ertise of this group of individuals will be ava~lable to
oteer scholars to the Agency and ~o L~C governments for specific policy
advice The eXertise developed as a consequence of this project will
extend beyond the ~tionals of the countries ~volved since the univ~sities
engaged in ~e project attrtct stude~ts fro outside heir own countries
For ey~=ple the teaching ~d research progra in the Depar~ent of Political
Science 0 theUniversity of Istanbul heavily affected by the participation
of its facul~y ~e=bers and graduate students in our projects attracts students
throughout the ~middot1iddle East for Whom the University of Istanbul is the iajor
institution ~pound ~igher education in the region rne Institute for Developmen~
Studies is si=ilarly a focal point for students and faculty in East and
Central Africa Seoul ~atiocal Unive=sity attracts students froo other
Asia~ co~tries~ In this way the capability developed among the participant$
BEST AVAIL~BLE DOrUMENT
- ) -
in our work is diffused widely To the exte~ that the abili~y to assess
rural develop~ent p~ojects in teres of their social soundness is increased
both in the United States and in ~o~~tries r~ceiving develop=en~ assistance
the cap3~ity of racipien~ countr~es to absorb aid is ~creased
We propose to draw up an inventory of personnel available in ~~e
Cnited States and in other co~~tries who are able to consult with developen~
a~nistrators on the design of rural development projects and on their
evaluation We ~~ll draw first of ai~ on individuals w~o have been
directly associated with our ~ork in the past or on ~he proposed project
and ex~~~d the list to include graduate students and gove~ent officials
with who~ these individuals have wor~d
tole Yill utilize tha existing publication program of the Center
dercribed above to disse~inate our findings The Center has specialized
oailing lists of interested individuals and institutions in all parts of -i
the world and its reports can trerefore reach the ~st relevant audience
jirec~ly ~d re~~arly
BESl AVAIL~BLE OOCUMENT
CONTRACfjGRANTCOOPERATIVE AGREEMENT DATA SHEET
INSTRUCTIONS fjDW Complete 4 copies of the form Original SERCMSDSUP Statistical Section Copy Copy 2 SERCMSIiUP dministrative Copy opr 1 Contracting Officers COy COP) 4 SERCMSDSUP IUmin (Suspense) Copy
Missions Complde 2 copies oi the form Origin31 SERCMSDjSUF- Statistic31 Section Copy 3n~ Copy 2 Nill be ret31ned in the Missions
PART fA
ConU3lttorGranrce Name
University p~f~I~o~wa~ __ -r~ ____ ~~~~ __________ -~~ __ ~~~ ______________ ~~~~ Plorr Numt-er ApptopriJtion Number Allotment Number Project Number
930-0090-3Q13411 A5 72-111l0216 146-30-099-00-20-11 930-0090 Project Title
So~ia1 and Potitica1 Aspects of Development - Conference to Report Research Findings Amount of this Plorr I Projecl M3nagers Name and Offire Sytlbol
$10397 (increase) PDPRCP Jonatlan Silverstone Contr3ctors D-U-N-S Number
Ncgwatocs TYJlCd~3meJ j) Signature I l ~ jIf- bull G HtJ--ft u l IVmiddot
D~e
L - f - J ContractGrant Officqs typed Nailllt Signalure LJ d I -r-
plusmn t 3i-alflpta (( BLvle~ 1 I~ PARTm
ContractGranl Number
AID CSD-3294
Effeclive Date of Docum~nl Signalltre D3t~ of Documenl
Lf---C yen-~-gl tIost Courtry Institution (U iwrsity contract ONL Y)
Campus Coordinator (Uniwr ty i contract OiiL YJ
PART UL Descriplion of Cor-tractGrant P1use X ONL Y ONE item under each headiZg IF THEltrease CifYmC~e bolh ges I 30~~ O~ Nol to be completed for Amendmenl or Modlfic3lion AJigtns I III
J 710gt I I V ~ I
MOl - TYPE ACT A~ 0 G unsolicited Propsll (AIDIR 0 C Individual (Non-pe~nal senice)
~ O Cortra lGrantl ooperative Agreemenl 73101-SO(b)(6raquo 0 D Individual (ftrsonal Service)
tJl T3sk Order ( A)middot 0 H Procurement 10 be Perfocm~d by the Conmiddot 0 E UniversilyOther FAuC3lionailnSlitulions
D 2 Work Order (IQC) Ira~lor in Person (AIDPR 0 F Non-Profil Organizationlnslitutions (other
D 3 Delivety Order (Requirements) 73101middotSO(b)( Iraquo than Ed or PVO)
[j 4 Purchase Ordcr [J I Sole Source (AIOPR 7-3101-SO(b)(4)) 0 G Private Volunury Organization (PVO)
If I 2 or 3 1Lle an ~ compllle M 12 ON Y D J Imp3irmenl of Foreign Policy Objectiws 0 H International Agricultural Research Organj-
M04 - CONTRACTGRANT TYPE
o O MOA (BOA BMA etc)
o I Fixed Price (Specify fFP FPRD FPEPA FPI) _____ _
(gtIDPR 7-31 OJ SO(b)(7raquo
OK B(a)5eJection (FPR 1middot1713-1)
o L Grant iH1ndlOok 13)
o M Do Nol Ue
D 2 Cosl Reimburemenl (S~cil) CR CPFF 0 N Cooperative t~reement (Handbook 13)
CS CPAF CPIF) ~ 0 O Small Business SeImiddotAside (FPR 1middot1706-8)
o l Cooperative Agreemenl ~ 0 1 Overseas Procuring AClivilies (AIDPR
04 Grant Gener31 Supportmiddot 0U ~ 7lIOI-SC(b)(2))
o S Granl - Specific Support ~ ~06 E SER VICE
g ~ ~~t ~~(d) ~~ ~~ ~ eci~a~~~~~ogram Projeci
o amp IQCs ~ ~ relampted excepi A amp E Services)
o 9 Host Counlry ContraclGrnnt 5lJ C amp E Services
middotComplele ONLY through ~Sl ~~ 0 D Construction
M05 SELECTION PROCEDURES 0 E- Reseuch
o A Formally 3dverliscd (IFB) (A1DPR 7middot24 amp
FPR 1middot24) ~ o B Negoli3ted Price Compelilicn Gencr31
Procedure (RFP) (-JDPR 7456)
Dc A amp E (AIDPR 7410)
0 D Ed Inst andor Inl1 R~arch (-JDPR
74 5)
o E Collaboratoe Assisunce (IDPR 7458)
C F Predominant Capability (IOPR
73IOI-50(b)(l)
AID 1420-49 (179) - Page I
D F Technical Services to AID (other than trainmiddot
ing usually o~ating expense)
D G jraining SetVice for AID
o H Equipment Materi3J~ Supplies Commodities
D I Translation Service
~07middot TYPE CONTRACTORGRA-nEE
o A Firmmiddot AU profil-rn3king fUms (other than
Aamp E)
J e A amp E 8r~
zalion
o Public Inlmlational Organizations (UN
Agencies ICRC Wocld Bank elc)
(H8 J 3 Chapt~ S)
M08- TYPE AW~RD
o A S8 Sel-Aside - Awarded to Non-Minority
o B S8 Set-Asidemiddot Awarded to MinXity
o C_ S8 NOI Set-Aside - Awarded to Non-Minority
o D S8 NOI SeImiddotAsidemiddot Awarded 10 Minority
o Eo amp(a) S8A Awarded to Non-Minority (Womerl-
Owned Veterans etc)
o F 8(a) S8A Awarded 10 MinorilY
o G Personal Sen-ice ConlrdCt bull Non-Minority
o H IeJSDnal Service Conlract - MinorIty
o I Individual NonmiddotPersonal Service Contraci -
NonmiddotMinority
o J 100Jigtiduai NonmiddotPersonal Service Contracl -
Minorily
o K NOI Small Business (Univ NonmiddotProfit Large
Firms) Non-Minorily
o L- NOI Small 8usineSl (Univ Non-Profit Large
Firms) Minorily
o M US Govcrnmlnt
(Connnued on Page 2)
BEST AVLABIE DOCUMENT 1 I
--
ua ) R I GI NAL 9 bull
MODIFICATION or GRANT PAGE 1 of 2
AH 1 2 Effective Date 3 Grant No 4 Effective Date
Amend_at Ro 5 April 15 1981 AIDCSD- 3294 8-11-71
-s CRANTEE (Name and Addrea) 6 Administered by -Professor Gerhard Loewenberg -Office of Contract Management Cbrnparative Legislative Research Gente Central Operations Division Dept of Political Science am Branch University of Iowa Agency for International Developn~nt Iowa City Iowa 52240 Washington D C 20523
7 PIO No 930-0090- 3013411 A5 8 Previous PlOTa -
Appropriation No 72-11110216 93i-1l-995-l36 930-11-995-136-73-3078103
Allotment Symbol - 146-30-099-00-20-11 wunt Obliga ted by this ~ndrnent - $10397
The above numbered Grant is hereby modified as follows
1 Anotmt obligated prior to this rurendment 2 Amount obligated by this amendment 3 Total obligated anount (1 amp 2)
Delete the amJmt $465000 and substitute in lieu thereof the ammnt I$47S 39-7 ~
FUNDS AVAIrABm
~~ - APR 13 1981
PrO~A~~5iors
$465000 $ 10397 $475397
OffiCE Of fIN~(1 ~~rE~E~T __ _ 10 This amendment 11 entered into puruant to the authority of the Forelgn
Assistance Act of lS~l as amended Except aft hereln provided all terms and ~~ndi~ons nf the grant rcferpnccd in Block 13 remain unchsnged and in full force and ~ffcct
11 original and six Crantee 18 requlred to aign thh document aad return 1- eopics to issuing
ffiee
~~~ or printed) BUSINESS MAHAGR amp bull
Tille TREASURER
UNITpound) STATES OF AHERICA AGENCY FOR INTERNATIONAL DEVELO~NT
BY_-1(1o-_1lt--= 13middot~_1_~ __ K R B1uteau
(Name typed or printed)
Tltle~ ____ G_r_a_n_t __ O_f_f1_c_e_r ____________ __
D3tC APR 2 J 7997 Dolt 9 APq 1981
BEST AVAILABLE DOCUM NT ___ 0 HLGlNAL - I 1 J 1 ~ )
- 2 -
AID ftmds in the am)tmt of $10397 are hereby provided for the activities lmich are described in your proposal (including Budget Stnmnary) entitled CDnference to Report Research Findings on the Study of Political CDnditions for Effective Small-Scale Rural Assistance Projects in Kenya Korea and Turkey dated February 17 1981 and made a part of the Grant b reference
BtTDGET StMMARY
Line Item
Travel
Per Diem
Other Direct Costs
Less existing 211 (d) grant funds
Total Amount Obligated by this Amendment
Estimated Costs
$ 5888
5100
_ 2500 $13488
_ 3091
$lO39
Note Indirect costs or $395086 associated with these activities will be contributed by the University of Iowa
BEST AVAILABLE DOCUMENT
~RIGINAL
- CONTRACT IGRANTCOOPERA rIVE AGRElEMI~ SERC~SDSlP Actio) Monitor
SERCMSDSUP Action Office
I
INSTRUCTIONS AJDW - Complete 4 copit of tlh fonnmiddot Orisina iCMSDfSUP Sutistical Section COP)middot Copy 2 SERCMSDjSVP Administrative CoP Copy 3 Cont-acting Officers COP) Copy 4middot SOSUP Admin (Susptnse) Copy Missionsmiddot Complete 2 copies of the form or~aI SERCtSDSUP Statistical Section Copy and Copy = wiU~ retained in the Missions
0 PART IA
Effective Date of Document tJ
Delivery Order (Requirements)middot
o 4 Purcluse Order
bull If I 2 or 3 have an bull X compl~te M I 2 ON L Y
M04 - CONTRACTGRANT TYPE
o O MOA (BOA BMA etc)
o 1 Fixed Price (Specify FFP FPRD FPEP FPI) ___ _
o 2 COli Reimbursement (S~cifY CR CPFF CS CPAF CPIF) ______ _
o 3 Cooperative Agreement
o 4 Grantmiddot General Support
o S Grantmiddot Specifi Support
o 6 GraDt 21 led)middot
o 7 Do Not Use
o amp IQCs
o 9 Host Country ContractGrant
middotComplete ONLY through M 5 1
MOS SELECTION PROCEDURES
o A Formally advertised (IFB)(AJDPR 7middot24 amp
FPR 124)
o B Negotiated Prire Competition General
Procedure (RFP) (AIDPR 7456)
o Co A amp E (AlDPR 4 I 0)
o D Ed Ins andor Intl ReStalch (UDPR
7457)
o E Collaborative ASSistance (AIDPR 7458)
o F Predominant Capability (AIDPR
7-310l-50o)(3)
AID 142049 (1-79)middot Page J
o H Procurement Co be Performed b~ the Conshy
tra~tor in Person (AlDPR
7middot3t OI-SO(b)(Iraquo
o I Sole 5gturce (AIDPR 7middot3101middotSO(b)(4raquo
o J Impairment of Foreign Policy Objecdv~
(AIDPR 7middot310 ImiddotSO(b)(7raquo
o K 8(a) Selection (FPR 1middot1713-t)
o L Grant (Handbook J 3)
o M Do Not Vse
o N Cooperative Agreement (Handbook 13)
o O Small Business SetmiddotAside (FPR 11706-8)
o P Overseas Procuring Activities (AIDPR
7middot3101middotSO(b)(2raquo
M06middot TYPE SER VICE
o A TtJining of Participants
o B Technical Assistmce (Program Project
related exc~pt A amp E Services)
J C A amp E Services
0 D COltl~ruction
0 E Research
0 F Technical Services to AID (other than trainmiddot
ing usuaU Y operating ex pense)
0 G Training Service few AID
0 H Equipment Mat~rials Supplie~ Commodities
0 I Translation Service
07middot TYPE CONTRACTORGR TEE
Firmmiddot All profitmiddotmaking fu-r1s (other than
AampE)
o 9 amp E Firms
I Prcct NumbcT
I
Contactors D-U-N-S Numbcr
I) -S--f(j
o C Individual 0-lon-~rsora1 service)
o D Individual (Pet-sonal Service)
o E University lOt her EduCltionaJ Institutions
o F Non-Profit Organization Institutions (other
than Ed or PVO)
o G Private Voiuntary Organization (PVO)
o H International AgricultwaJ Research Organmiddot zation
o I Public International Organizadon~ (UN
Agencies ICRC ewld B3J1k etc)
(HB J 3 Chapter 5)
M08middot TYPE AWARD
o A SB SeImiddotAsidemiddot Awarded to Non-Minority
o B SB SetmiddotAside bull Awarded to Minority
o C SB Not SetmiddotAside - Awarded to Non-Minoril)i
o D SB Not SetmiddotAside - Awarded to Minority
o E ~a) SBA Awarded to Non-Minewity (Womeli
Owned Veterans etc)
o F 8(a) SBA w-rded 1o Minority
o G Personal Service Contractmiddot Non-Minority
o ~ Personal Service Contnct - Minority
o I Individual Non-Personal Sence Contractmiddot
NonmiddotMinority
o J Individual Non-Personal Service Contractmiddot
Minority
o K Not Small Business (Univ Non-Profit L1lge
Firms) --vn-Minority
o L Not Small BUSiness (Univ NonmiddotProfit Large
Firms) ~inoriy
o M VS Government
(Continued on Pcge 2i
t bull - t ~ J f q
ORIGINAL bull MODIFICATION OF GRANT
1 2 Effective Date
Araendllent Ro 4 12-2-80
s CRANTEE CHace and Addrels) Professor Ger1ard Lo~middot enbelg Comparative Legislative Research Deartment of Political Science The Lnivp-rsity of Iowa Iowa City Io~a 52240
7 PIO No NI A
Appropriation No 72-11XHl26
Center
Allotment Symbol -426-30-099-00-3~-71 Amount obligated by this urendment-O- I
3 Gnnt No
AIDcsd-3294
PAGE _____ 1 _of-L
AlI 4 Effective Date
8-11-71
~ Admlnlltered by -Office of Contract Management Central Operations Division OTR Branch Agency for International Development Washington DC 20523
8 Previous PIOITs -
931-11-995-136 930-11-995-136-73-3078103
9 The above numbered Grant is hereby modified as follows
Supplement to Grant
Change the duration period sentence to read
The Duration Period for this Grant shall be August 11 1971 through December 31 198]
1 Amount obligated prior to this amendment $465000 2 A~unt obligated by this amendment -0-3 Total obligated amount (1amp2) $465000
----------------_- - ------- ----_- ------ 10 Thh lImcndmcnt is entered inlo punuant to the authority of the Foreign
~ Assistance Act of 1961 86 amended Except a~ h~reln Z II provided all terms and condi tions nf the grant referenced in Block 3 remain ~~aunchlinged and In fu1l force and effNt cnltUI cJ)za 11 o 4 J bull
Et~ ai~a gtUoItshyc Z P=u
original and six Grantee t requi red to sign this document and return 1- eopies to 1Bufng
office
~ 12 GRANTEE TES OF AMERI CA
(Name typed or printed) bull
TJlle Director Comparative Legislative liecearell CeQtoQl
Date 12880
------------------------------------
ONAL DEVELOPMENT
By ----~--~~~~---------------------
prinled)
Grant Officer Title --------------------------------
J)oll( 12-2-80 -----------------------------
BEST AVAILBLE DOCUMENT i je
Dr Willa~d l Boyd Presicient University of Ima iowa City Iowa 52242
Dear Dr Boyd
4 AUG 1977
amp
FIJNDS AVAnASLe CpoundNrftAamp sEIMCEs DMsON
AUG11 ~n te t6417 ~77
Subject bull Supplsectferit-tJF-G~middotNomiddot~middot AIOcsd-3294
t middot-rrPJ1 3
I am pleased to inform you that pursuant to th~ auth~rity contained in
S-cction 211 (d) ooC the Foreign Assistance Act of 1961 as amended a sup
plemental grant in the amount of $200000 is h~reby r~de to University
of rCi1a These supplement]l grant funds areprolided to support the
activities which are described in your Proposal dated May 6 1977 for
the implementation of your program entitled Political Conditions for i
Effective Small-Scale Rural Assistant Projects
---This sup~lemental grant is mace to University of Iowa en condition that
yo~r institution shall administer the funas provided under this Grant fn
accordance lith your r~ay 6 197 proposal (including Budget SUmlilary) and
the Standard Provisions (as incorporated by Amendment No 1) which have
been agreed to by your instit1ltion Ti) the extent of an inconsistency
between the Proposal and the Standard Provisions and any otherprovisfons
which ar~ made a part of thi5 Giant by reference or other~iSe the Sta~d~
ard Provisions shall control
The new Duration Period for this Grant shall beAugust 11 1971 through
August 10 1979
The total amount of funds obligated under the grant is increased to reflect
a new total oblgated amount of $465000
Please sign the Statement of Assurance or Compliance ana the origfnal -
and seven (7) copies of this letter to acknowledge your understanding of
the conditions under which these funds have been granted Please return
the Statement of Assurance of Compliance and the original and six (6)
copies of this supplemental Grant to the Office of Contract Management
Attachment May 6 1977 Proposal and Budget SUfiT1a ry
UNIVERSITY OF IOWA
Roberw bull OBrien fficer
Ce al Operations Division Office of Contract Management
AC~E~E~C--_ 0 BYpoundk~~ cH
D C ~lpoundSTtR5BA T ITL E ( PfeampoidPilt for
tee ment amp Research DATE 9-22 -77 (d~ ~~Bduate Ctl~1e~e
BES i AvAILdLt UOCLJMU~ I
211(d) Grant Program
Proposal of the University of Iowa
POLITICAL CONDITIO~S FOR EFFECTIVE SMALL-SCALE
RURAL ASSISTA~CE PROJECTS
Submitt~Ci to
Civic Participation Division AID
May 6 1977
Amount requeste~ $ 199987
BEST AVAILABLE DOCUMENT
I TdE DEVEIOP~T PROBr~
P~litical Conditions for Rural Development
The Cocparative Legislative R~search Center of the University of
Iowa proposes to ~~dartake a two-year study to investigate the role of local
leaders and the rural public in theimplecentation of small-scale develop~ent
1 projects in less developed countries The study will use and extend the
capacity ~hich the University of Iowa developed under a 211(d) grant to
investigate and assess the impact of loeal politics on rural development
~t the co~pletion of the s~ Iowa will be in aposition to advise the
Agency on the design ~nd evaluation of s~ll-scale projects which will be
politically viabe a~d effective in ass~sting the rural poor ~
As students of development w~ approach our task with the assumption
that the proble~ of development and underdevelopment are funda~entally
ones of political econooy and a~ such can only be solved through a
simultaneous considerationof economic and political factors Efforts
which foc~s aloost solely on economic factors like those of ma~y
organizations engzed in dipersing foreign aid or efforts which focus
almost exclasively on political factors fail to take account of the
interdependence between these two dimensions of underdevelopment and
lwe have for~ulated this proposal in a canner consistent witr the cu~rent policies ard interests of the Agency We have been guided in our tsk by four Age~cy doc~e~ts Impleo~~tation of New Directions in Developnent Assista~c~~~ ~eport to the COmlittee on International Relations on Ilupleoenshytatiun of Legislative Refo~ in the Foreign Assistance Act of 1973 (July 1975) rItevis~d Projec Developiel Review and Approval Systeo (A I DL Circular A-21 Aril 23 1975) SH Butterfield Draft SUIilZ3ry StateUlent of a Practical Agelcy Approach c aural Devalopilelt (AATA February 28 1975) Cicci A Coce~ual Oie=viamiddot middot Rural Development No1 (lWorilting GOU O~ tha Rural Poor February 1975)
- l -
can meec with only l~ted success
Our concern with the i=pact of local politics on the process of
rural developcent is a result of our interest in the basic question of
how LDC governm~nts and the donor agencies which assist them can
become core effective in raising the standard of living of the rural
poor We seek answers to the following aspects of that basic question
1) What political conditions must exist both within rural communities
and between theo and central gove~ents to raise agricultural production
w~ere small-scale agriculture is the do~nant pattern 2) Vnat are the
political conditions for a core rapid expansion of the informal manufacturing
and service sector cocprised of labor intensive small-scale industries
located in the rural ar s 3) What political structures and activities
are mase crucial for the provision of welfare and econocic supporc services--
such as agricultural exeension mar~eting and transportation--to the rural
areas1 4) ~~at Folitical conditions oust exist to insure that economic
growth in the rural areas is not accowpanied by excessive and intolerable
inequalities between socio-economic classes andor between regions1
Center-Periphery Linkage in LDCs
To deter~ne the political conditions for rural development we have
in previo~s s~udies exacined the institutions and processes through which
rural populaticns are integrated i1to the national politi-cal systetlS of
middot~he countries in which they live A gap exis~s in most less developed
countries bet~een the peasantry residing on the periphery and the c~~tral
political ~stiutions staffe1 by ~~estern-educated bureaucratic elite
We are aware of the other major ~sti~utional discontinuities which comprise
J
4 middot~~1 the basic cleavage between the developed and underdewmiddoteloped sectors of
these dual societies Bridging these gaps is essential if these so~ieties ~ are to develop into viable nation states For until those Q~ the periphery
of the poli~ical syste~ participate in that system and support and comply
with the authority of central political institutions neither economic
development in ~he rural areas nor a stable polity will emerge
Bridging the discontinuities in these new political systems requires
establishing and institutionalizin3middot1inkages or networks for co~unication
and exchange of resources between decision-makers at the center and the
rural public on the periphery Three types of institutional linkages are
most prominent in less developed countries 1) those conSisting of the
state administration composed of the bureaucratice1ite 2) those consisting
of a revolutioncry political party cocposed of the ideological elite
3) and those conSisting of patron-client hierarchies composed of the political
entrepreneurial elite
Of these three linkages consisting of the state administration are
the cst extensive and pervasive in virtua~ly every LOC Such linkages
however exist primarily a~ instruwents of the center to penetrate the
periphery Central government officials are formally charged with bringing
develo~ent to the people This is a ~issi~n which conceives development
as a process ~hrough which a traditional peasantry is transformed and
assimilated iJro the DOdern center which is steadily expanding to embrace
it Agents of the center invariably have more resources to achieve their
objectives than do local political leaders but because they are frequently
strangers~ the communities in which they function they are often unable
- It -
co implement the policies of the center without working through the
local establis~ent
Though somctices significant linkages consist~g of revolutionary
party organizati~ns such as those found in China and Vietnam do not exist -
in most IDCs beca1Se of the special historical and e~omic conditions
required for their development As wi~h the administrative state however
the linkaampe apparatus of such political patties is prUlarily an instrument
of the center whose mission is to penetrate and mobilize those onthe
periphery
In contrast patron-client hierarchies are linkages which represent
the periphery at the center and mediate betwee~ these two disparate
sectors of the political systec Thcugh norcallymiddotovershadowed in scale
by the state administration patron-client hierarchies are found in almost
~very LDC a~d constitute the ~st significant network through which rural i
populations and their leaders influence the decision-~king process at
the center Patron-client hierarchies exist in a wide variety of org~iza-
tional fores ranging from info~ ~ec~~rks of individual olitical leaders
in uno-partyll systelS in S~b-SaharaI4 Africa to extensive political machines
in both one-p~rty (Africa Mexico) and ~u1ti-party systems (Turkey India)
Despite their importance as the pricary means through which peasants in
LDCs particiate in their political systems patron-client hi~rarchies
have only recently become an object of analysis by students of political
developent and do not appear in even the most sophisticated studies of
2 See Jo~ Dunca owell Peasant Socie~y and Clientelist Politics Aerican Politi~ Scielce Revietol 64 (June 1970) pp 411-25 Rene Lemarchand anc_ Keith Legg olitical ClienteliSJ and Ethnicity in Tropical Africa Aierican Political Sc~ecce ReView 66 (Y~rch 1972) pp 68-90 James C Scott PatronshyClient Politics a~d Political Change II 1tlerican Political Science Revie~ 66 (~arch 1972) p 91-113 and Friends Followers and Factiols bull edited by Steffan Sc~~d and James C Scott (Berkeley UniverSity of California Press 1977) bull
- 5 -
3 economic development Ad~niscrators of developmental assistance progracs
have too often regarded patron-clienc hierarchies as ~ped~ents to
develop~ent instead of recognizing cheir potential utility bull
~ Findings on Patron-Client Hierar~hies --
The importance of pat~on-clienc hierarchies for linking the periphery
to the center is one of the major findings ~erging from a study of the
relationships betueen l~gislators an~ their constituents in Kenya Korea
and Turkey ~hich the Cowparative Legislative Research Centpr is nov
comleting uader its 21l(d) grant from AID This study has av~mined the
creation of linkages between the periphery and the center through ~ore
than lO~OOO interviews with members of parl~ent local leaders and
peasants in t~e three countries The findings are being systewatically
set out in a book-length monograph Nearly a dozen research reports have -
uready appeared (see Appendix C) ipropositions about the nature of
political behavior of rural populations an~ the roles of local political
elites de=ived from the research~ can be s~rized as follows
1 Elected representa~ives play a significant role in the creation and mainte~ance of linkages be~een the center and periphery by developing local political achines in which they function as patrons of their constituents In turn thay s~rve as clients of political leaders of national stature who control central government institutions
2 By atte~pting to establish linkages based on patron-client relatio~shi~s elect~d representatives are responding to public expectations chat their prizary duy is to obtain resources from the center to proffiote local develop~ent ~iany elected repLesentatives spend most of their time on self-help co==unity development projects such 3S the building of schools health clinics irrigation works arid roads because such projects provide
3For exa~le ~ a widely respec~ed a~d useful analysis of rural deve16p~ent in Sub-Sahara~ Africa L~ Lele of the World Bank notes the problems of creating an adoini5~raive infrastructure in the rural areas that is sensitive to local socio-oliical conditions She does not however consider how local leaders operating o~tside of adcinistrative structures ~ night contribute to the developne~t 0 the rural areas See ~~ Lele ~ Design ~ Rural Develop~ent Lessons ~ Africa (Balt~re The Johns HopkiD~ Uciversity Press 1975) r) pp 127-61 i ~
- 6 -
their const~tuents with desired se~ices ~~d a= the sa~e time provide the reresentatives with an orgacization Yhicn can be used as a political base
3 l-tore than 90 perCel1t of the rural population is capable of articulating the p~oblems facing their local co~~ity and two-thirds discuss th~e proble~ w~th their fellow citizens on a regular basis
4 Three-q~rters of the residents of the rural areas can identify the public ofpoundici~s who serve thec--both civil servants and elected represcrtatives--by na~e Most are knowledgeable about the activities of these officials Alcost one-fifth coreover have discussed co~~~ity probl~ ~ith these officials particularly those working at the grassshyroots level Residents of rural villages actually have a higher level of political knowledge than their counterparts in the towns
5 Elections in the rural areas evoke a highly rational attern of voti~g despite the effects of ascriptive or traditional co~siderations Inc~ens are pri~rily evaluated in terms of their record in fulfilling the public r S elpectations of what they should do Elections are essentially referenda on inc~entsr perfo~ce especially their perforwance in the area of constituency servi~es such as bringing development projects to the districts bull
6 Local developcent projects have a relatively high s~olic value generating conscitutency support for local leaders and the central government at low cost
7 These projects help huild a local political infra-structure which can also be utilizec by central govern~nt civil servants to implement other policies designed to achieve rural develop~ent bull
The Icpac~ of Local Politics on Rural Projects
Having explored the developtent of linkages through which the periphery
is represented at che ~enter and through which the periphe~ attemp~s to
share in the ceners resources we now propose to build upon our initial
investigations by e~ing in greater detail the impact of local political
conditions on specific problecs of rural develop~ent We propose to
exacine the develop~ental activities of local leaders ~nd the rural public
by eX2~Ding a saple ot fifteen to twenty smalL~scale developwent projects
in each of ~he three countries which constituted the sites for our initial
8ESI AVAILABLE DOCUMENT 1 ~ - of
- 7 -
study of center-perhiphary relations The appropriateaess of this approach
and the ~ethodology through which it will be ip~emented is discussed in
section II Because the ~ethodology of investigation is in large part
the result of our previous research experience we fizst turn to a revieW
of the existinQ __ ~petence of the Comparative Legislative Research Center
in this area
II GRAXTEES EXISTIXG CmET~CE
In 1971 the University of Iowa received a 211(d) grant to develop
its capacity to do research on the role of elected represent~tives in
the process of modernization On the b~sis of this grant the University
established a research center which planned and carried out a research
project on the role of elected reres~~tatives as links between the central
gove~ent and rural populations in K~ya Korea and Turkey The project -i
served to develop t~e University of Iowas research capability in this
field esa~lished ties between the University and scholars in the bost
countries and generated a large and uniqu~ body of relevant data
In that project we fo~ussed our attention on tbe activities of elected
representatives in their constituencies notably in their contacts with
local political leaders voters and civil servants To determine tbe
nature of the linkage function performed by tbe representatives we
designed our research to explore the subject from three perspectives
1) we eXaojned ~~a ~ubject at tbe grass roots by conducting a series of
sample surveys of 200 to 300 adults in each of 12 to 14 parliamentary
constituencies in each cf th~6three countries 2) we examined the subject
at the center by intervie -ing MIls from the constituencies in which we
had conducted S3mple surveys ~nd higher civil servants with whom they
had contact and 3) ~e ex~~ined the subject from an inter-~diate level
by identifying aud ~terviewing local social and political leaders in
the MPs constituencies We used survey research methods because we
were embarking on the study of an entir~ly new subject for which little
relevant docu=e~tary data existed and on which there were few secondary
sources As a result ~e have unparalleled experience with survey
research in the rural areas of less develo~ed countries
The surveys which constituted the cajor part of our field work were
planned in collaboration ~~th scholars from the host countries They were
carried out in each constituency by student interviewers in the appropriate
language ~re than 10000 respo~dents were inteDViewed for the project
Given the visibility and sensitivity of this undertaking approval for
the research was sought and obtained from the host governments prior to -i
the collec~ion of data ~o objections were raised by these governments
at any stage of the research The data obtained have been made available
to scholars i~ the host co~cries and some of the basic findings have
been published in periodicdis in these countries
The Comarative Legislative Research Center ~hich ad~nistered the
project has aisO developed extensive experience in the study of political
leadership in other countries It h3s obta~ed substantial support from
the Fo~d Foundacion and the Rockeeller Foundation has worked in
collaboration ~~h European as ~ell as Asian and African scholars and
is engaged in a ajor study of the role of elected and non-elected leaders
in the oanag~~t o~~ocial conflict Because it has conGucted research
in a variey of setlngs the Center has an ~ceptional capacity to
- 9 -
determine how the relationships be~een political institutions and
economic p=oble75 differ in develoPed and less developed countries
In the course of the major research projects the Center has administered
it has gained highly specializpd ~p-i ce iI identifying 1Olitical leaders
in a great variety of settings conducting systematic interviews with
them collaborating with scholars in the host countries and in coding
and utilizing large files of data to answer specific research questions
The Center has ~lso undertaken to publish the results of its research
in three fores It issues codebooks to the data enabling scholrrs at
other locations to use the data expeditiously i~ publishes research reports - in the form of Occasional Papers and it publishes a scholarly periodical
devoted to the presentation of research findi~gs to an inteIT~tional
audience
The Center utilizes the data ~ysis facilities of the Laboratory
for Political Research of the University of Iowa and drawS on the unusual
n~er of secialists in comparamptive politics and survey research in
~~e Lniversitys Departmen of Political S~ience The Center itself I
has the services of an administrative secretary and a clerk-typist
~intains its~o~cn extensive archives and its o~~ publications program
It is e~uipped to assist scholars and government officials outside the
t~iversity of Io~a The participants in its p~ojects are full-tioe
faculty ~e=bers ~hose undergraduate and graduate teaching is closely
related to their research As part of the teaching program the Center
has attracted students from the countries in which the research projects
have been conducted these students have participated in the projects
bull J
have obtained training in other fields of political science have received
University of Iowa degrees~ and have ret~rned to teach and to do research
in their own countries
III PURPOSE OBJECTIVES AID METHODS
Purpose of Study
The purpose of the proposed grant is to extend the capacity of the
University of Iowa to determine the political conditions in the rural
areas of less developed countries which favor the establis~ent and growth
of small-scale developoent projects ~e objective is to put the University
of Iowa in a position to assist the Agency in designing small-scale rural
developent projects providing guidelines for carrying out social soundness
analyses of such projects and adviSing in the evaluation of projects
We will discuss the utilization of~t~e Universitys capacity in detail in
section IV below
We propose to concentrate our investigations on the political conditions
surrounding s~l-scale ru~al projects Such projects have distinctive
advantages They waximize the political participation of the rural populations
both in det~~-ining the direction ~d implementation of develop~ent efforts
and in defending the interests of periphery vis-~-vis the urban-based
bureaucratic elite S~ll-scale projects stimulate entrereneurial activity
on the part of the rural citizens and growth of the info~l canufacturing
and service sector Tbey require less lead tice and less administrative
c~erhead to ~eco~e operational than large-scale capital-intensive projects
centrally administered Such projects yield rapid and direct benefits to
1
j
the rural
- 11 b - ~~1
populations and are consistentwith their hUIlaD rights--both
political and economic However~ small-s~le projects pose s~ecial probl~s for administratcrs of developceocll assistance progracs because
they require the donor co assess the local olitics particularl the
rural politics of t~e host country
Develop~c adoinistrators pr~rily conc~rned with assisting rural
populations must therefore recognize the range of political variables
affectL~g these projects Small-scale projects offer great opportuoities
for develop~ental assistance progr~ because they can be easily targeted
to help rural populacions require low capital costs and need no be
concentrated in one or two localities Such projects ho~ever~ ~equire
the a~istrator to have ~re political kno~lecge than large-scale
projects Oil which his priJlary tas~ is guiding the work of other experts
Questions for ~Investigation
To detercine the politi~al cc~diicilS ~st conducive to ~he establ~~ent
and gro~h of scalI-scale rural projects ~e propose to address our inquiry
to the following specific questions
1 To what extent and why co local political leaders seek to establish s~~l-scale develop~ent projects within their co~unities
2 To what extent and ~~y do local leaders other than politicians initiate andor provide leadership for s=all-scale developm~t projects
3 Bot do the relations bet~Jeel different types of local leaders (political and non-political) and bet~eeo these leaders and central gove~ent civil servants posted to the rural areas affect the conduct of develop=ent projects
4 How do existing authority ~eLationships between these different leadership grous and the rural pub~ic affect the organization and operation of s~l-scale develop~ent projects
- 12 -
~
5 lhlt is the nature 0 pclgtlic participation in the establishlent and operatio~ of s~l-sclle projects and ~hat are the outcc=es or this participatioe Gucer w~at conditions is such participation ~ost likely to occur
We seek a~swe=s to t~cse questio s L order to determine the effect of
different co~iigurations of local leadership and public participation on the
outcomes or small-scale rural projects te are particular1y concerned with
the ~pact of these configurations on the rate of econocic growth and the
distribution o~ rIGSlth ithin the loal cOlllUlity ~ on the perce~tions of
s~ll-scale proj~cts by central govern~ent per~oncel and the rural public
anmiddot on the organiation or flture projects
To a~swer these que~tions it is oar intention to study the initia~ioD
izJple=enation ald i1lpact of a salple cpound small-scale rural projects in
Kanya Korea and Turley in the sae cOllities in which we carried OU
our initial icvestigations ~ 1973-75 Tne relationships between the -
various conf~gurations of local leadership and public participation and
the three phases of project develop~ant are sho~ in Figure 1 We will
exa=ine projects to pro~ote the adoption of new agricultural techniques
by s~l and moderate landnolders the building of feeder roads irrigation
ditches and other s~ple infrastructure the organization of fa~ers
cooperatives and other local associations concerned with rural development
the establish=ent of rural health clinicS and schools and the setting up
of craft and service industries
Sites for Study
We plan to return to our original set of localities because we possess
a rich body of relevant data on the extent to which linkages exist between
Figure 1
TYPES OF LFLUEXCE OF C2r~ middotGOVER1iEXT OFFCIALS
LoCu LEADERS 0 THE RURAL PUBLI-C OX THRr~
PHASES OF RURAL igtEVELOPHET PROJECTS
r----------~J C~ltral Gover1~nt Official)-N------- - J
r- Local pOlitical leaders
Local non-political leaders
~l 1---- -
ROJECT nITL~TIOS
Influ~ce on selection of projects
InrI ~elce on location of projects
Influence on policy guidelines for proj eCl
Il
I
a
I I
-I PROJECT I~L~~iATIO~ ~ 1
j Project Organizati I Selection of project
leadership
Hobilization of resources
Mobilizatiol of public compliance with project require=elts
Diffusion of project innovation
Rural Public
I
BEST AVAILABLE nOCUMENT
1 ROJECT IMPACT
Organization of ongoi=g project operation
Distribution of project benefits
Evaluation of project
Public attitudes toward project
-middot14 -
these areas and t~c central p~litical institutions of the three co~tries
and on the attit~es of the rural populacioc local leaders and elected
legislators regardi~g their problecs of develop~~c Since such data
is unavailable for alternative locales a return to the areas in which
we have previously done much research ~ables us to build on a uniquely
valuable body of icformation
A return to Kenya Korea and Turkey is also highly desirable from
the standpoint of effective research organization The Comparative
Legislative Research ~enter has developed close collaborative relationships
with several highly competent social scientists in these countries and
with the academic institutions with which these scholars are associated
We have also dev~_oped cooperative relatio~ships wi~ gove~ent officials
in these countries which should facilicate obtaining approval for our
further work
In proposing to doc~ent the origin i~pl~entation and impact of
one to three s~ll-scale develop=ent projects in each of 35 localities
we have two considerations in mind Firstmiddot because our pr~ry goal is
to deter~e the political conditions for rural developm~Lt we wish to
examine develQ~=ent in as many different settings as feasible Only in
this way can we control for so=e of the major socio-cultural variations
that erist along rural populations in less developed coultries These
include the overall level of econo~c development in the co~unity the
nature of t~e ~digenous culture an~ relationships of authority and the
pro~ty of the comounity to major urban areas and centers of central
gove~nt ad=inistration ~ce our original study sites were carefully
BEST AVAILABLE DOCUMENf
- 15 - ~ ~1
selected to represent these variations ye have concluded that these
35 localities woule be ideal sites for the propose~project Second~ in order to dete~~~ the ~pact of local leaders and public
participation o~ ~ural projects we intend to compare projects 1n which
local leaders and ~ecbers of the public have played a major ~ole with
projects in which they have not We also ~l cospare projects initiated
by the central gover~ent with projects Yhich have been locally initiated
These considerations give us a typology for selecting projects as depicted
in Figure 2
Figure 2 ~
FIVE TYPES OF RU~AL PROJCTS ACCORDIXG TO ~FLUEXCE OF CEITiW
GOVE~1E~T LOCAL LEADE~ AD RLRAL POULATIO~
Level of Participation by Rural Population
Locus of Project Initiation ~
Local Co=unity Central Governoent
BIGd
LOt
1 Projects initiated by local leaders and providing for participation of the rural ~opulation
4 Proje~ts Litiated by local leaders bu~ not involving participation of the rural population
2 Projects initiated by the Central Govern~ent and administered i~ cooperation with local leaders a~d the rural population
3 Projects initiated by the Central Govemlent and providing =or the participation of the rural population but by-passing local leaders
5 Projects initiated by the Central Gover~e~t a~d administered in cooeration Yith local leaders but not involvi~g parti~ipation of rural population
- 16 -
We recognize that the socio-cultural setting of rural develoment
projects varies significantly within and across less developed countries bull
By focussing o~ a representative sa=ple of localities ~ Ke~ya~ Korea
and Turkey we can take account of naoy~ though not all of these variations
While some of our substantive findings will not be directly generalizable
beyond the countries in which we propose to conduct our study we expect
that our basic ~ethods and fLdLgs will be applicable to national and
sub-national settings elsewhere in the developing world This is partly
d~e to the fact that the hierarchy of patron-client relations ~hich we
regard as a critical factor in rural develo~~t exists in ~ost Liles
--It is also due to the fact that the methodology for identifying local
bull leadership configurations auG poundor studying local politics which we are
perfe~ting can be used to assess local political co~ditions in a large
variety of countries even when the ~nditions themselves differ significantly
Methods of Investigation
The data needed to assess the iDpact of local leaders and mass
participaticn on rural dev~lop~nt fall into two categories Some a~e
contained among the data gathered for the research project we are currently
completing Others will require additional field research
The following data are already in hand
1 Data on the social landscape of each loc~l co~nity i~cluding aggregate data o~ level of econonic development de~graphic characteristics political pa=ticiation eth~ic loyalities and rates of socio-econocic change dur~g the past decade bull
2 Identity of local leaders including both political and I-on-political leaders and both legislators and other politicians
3 Perceptions of existiag probl~ and their possible solution a~ng
l)tS r AVAilABLE DOCUMENT
- 17 -
general public local leaders and civil serv~nts
4 Level of political kno~ledge among local citizens and local political leacers
5 Political and social values a~ong local ci~izecs and local political leaders
6 E~~ectacions of leadership roles among the local public and elected and non-elected leaders
7 Patterns of co~unication ~ong local leaders and between local leaders and the central gove~e~t
These data ~hich ~e already have in hand can be subjected to analyses
which ~~ll provida the foundation for our further work on rural develop~ent
projects A part of our work therefore will consist of fu~ther analyses
of existing data
New data of the following kinds are also required
1 Doc~entary data on the origin and evolution of particular smallshyscale develop~cnt projects in the rural areas
-2 Data on project costs boih ~itial invest=ent and recurring
operating costs and data on project ou~puts ie pupils in schools Ddles of road coopleted nl~ber of hospital a~ssions production of factory agricultural productivity
3 Data on project organizatio~ n~~r of local inha~itants participating in establis~~ent of projectt nuober of local L~habitants subsequently involved in project
4 Data-on the pe-cetion of projects by local leaders emers of the local public a~d by civil servants data on the perception of how each project ~as initiatec organized who benefitted and what its future implicatio~s are
These types of data will requ~re field work involv~~g both docucentary research
at the relevant ~istries of the central government and in local goverr~nt
authoritieS and inforoal open-ended interviews with local political leaders
elected representatives and other local leaders who~ we had previously ~
interviewed in a s=uctured syste=atic =aoner
BEST AVAILABLE DOCUMENT
- 18 -
Grant Organizatio~ and T~etable
We propose co undertake the research outlLled above beginning in the
fall se=ester 1977 Dur~g that te~ Professors Barkan and Kim as
principal investio~tors for the neo1 proj ect will contact their collaborators
in the host co~~tries They ~~ll also seek the collaboration of an additional
~rican scholar specializing in rural development with the aic of getting
additional advice on sources of data and suitable indicators for the
~easure=~~t of rural develop~ent projects
At the end of the fall seQester Professors Barkan and Kim will make
a trip to their research sites to disc~s details of the research organization
with their collaborators in the host countries and to recruit student
assistants Tney will devote the spring te~ 1978 to further analysis
of a~sting data at the University of Iowa
The gathering of additional dita L~ the field will begin in the s~er
of 1978 Professors Barkan and Kio will direct this work personally We
eAect that its coopletion ~~ll require three to six months This work ~1
involve the evaluation of central and local gove~ent reports on the
projects uncer investigation extensive on-site observations of the projects
and oen-e~ded interviews with the principal participants Our principal
respondents ~i1l be the local leaders and elected representatives we
have previously identified in the localities in which we have worked and
a sacple of active participants in the particular dpvelopment projects
being studied ~~ere necessary and apropriate surveys of the general
public will be uncertaken to assess the inpact of a given project on the
rural por)r We do not however leed 0 conduct systeAlatic sample surveys
BEST AVAILABLE DOCUMENT
- lY -
of the rur~l population as We did in 1974
In the organization of this research project we intend to reconstruct
the rese~rch tea=s ~e e=ployed during 1973-75 We shall again seek the
co11abo=~tion of P~ofessor Sc~~S-7o~g Pai of Seoul National University ~
Professor IIiCr Turan of the University of Istanbul and Professor John J
Ok~u of the U~iversity of ~arto~ S~ilarly w~ contemplate directing
the field research fro~ he same acade~ic research organizations we previously
used Seoul National U~ive~sity th~ ~~iversity of Istanbul and the
Insti~ute for Develop~eut S~udies University of Nairobi As before we
will tra~ students f~oo these institutions to serve as interviewers
The analysis of the open-ended intervie~s and of docUQentatio~ on
I ~ural develop=e~t projects will be a ~ore t~e-co~s~g process than the
analysis of closed intervie~s It will reqrire a high cotnittl~t of time
fron the principal investigators )e e--pec to hold a conference at the i
U~iversi~y of Iowa 3lO1g all the principal )clticipa~ts in the resea~ch
project d~=~g t~e spr~g 1979 to evalua~~ the newly collected data
le e~ pect to be able to vr-ite reports of t~ results during the Sl1~er 1979
(see Figre 3)
IV LlX-GS ~1) U~ILIZATIO~
At the e~d of the grant period the Uti ersity of Iowa will be able to
1) advise the Agalcy 01 the design of s~l-scale rural projects to assist
the rural poor 2) provide guidelines for social soundness analysiS of
small-scale projects for the rural areas of U)Cs 3) consult w~th the
Ag~tcy 01 the evaluatiol of rural projects ~d 4) provide LDe governments
BEST AVAILABLE DOCUMENT
)ATES
~lll
1977
~inter 1977
iprilg 1978
il mer 1978
~all
1978
ipr~ng
1979
Imiddoter 1979
University vf Iowa
Plutlning of rural develo~rent project
Barkan Kil
Alalysis of existing data
Barkan Kia
Data processing
3arkan Kin
1
I
- 4 -
Figura 3
GRAT TLfETABLE
SIT E S
Kenya Korea Turkey
Preparation of field research ural developH~lt project cOlisulta~io~ a research sites
BarkanOku=u Ki~Pai Tura~rkanKi~
Preparation of field resea-ch
Tural
Field research on rural cevelop~~t projects Bar~lOk~u Ki=Pai Turan
Co=pletion of Co=pletion of field resear~~I~ fiald researcr
Ok~u i Pai bull
f Coopletion of field research
Turan
Data analysis conference a~ong all princial i~vestigators at Un~versity of Iowa Barkan Kil Oku=u Pai Turan
Co=letiol of r~ral develop~ent
project
3arkan Kiz
BEST AVAILABLE DOCUMENT
I
- LL -
~ith speciali~cs o~ ru~al developcect ~mong their own citizens ~ho ha_
partcipatcd ~s collaborators in the Iowa projects
In the proposed project we Will test a series of hypotheses cOlcerning
the political cOllditions of rural develo=ent which run counter to CODOn
assuoptions conccrnir3 t~~ influence of rural politics on project effectiveness
As a result ~e ~dll be able to assist the Agency in designing and evaluating
such projects froe the point of V~~W 0 their political viability The
hypotheses We will test sugges~ t~at the patron-clie~t relations existing
in the local politics of zost LDCs are not necessarily i~pedients to rural
develop~ent but are aspects or the political structure which cal be used to
facilitate s~ll-scale ru=~ projects which will raise the standards of
living of _ ~ rral pomlation - As ~ result or our stuey we expect to be
able to P~-O~t the local leadership confi5~rations ~4d the relationships
between local leaders ald rural poclations ~nich are oost conducive to I
successful develcp=en efforts We believe that we will be agtle to perfect
a cat~odology for identifying the political conditions for rural develop~ent
one ~hich is transferable pound~oo the countries we have specialized in to
other LDCs
We proo~ to develop specific guidelines to assist administrators
charged with selecting evaluating and =onito~ing rural develop~ent
projects to ~szess t~esc rojects in tares of their-social and political
viability he outco~e of such projects is dete~ned not only by the
efrectiv~nass ~~=h ~hich they use scarce econo~c resources but by the
~~er L~ w=ich they e~gage the suppprt of local leaders and rural
po~ulatiocs~ by thei= effect ou social a~d econo~c equality ~d by
D[~T AvAlLA8LE DOCUMENT
- 22 -
their consequences for hwan rights ~Je plan to establish criteria by
middot~hic~ the probable outco~es of projects in these social terms can be
anticipatec
The study ~e propo e will be undertltlken by faculty at the Cniversicy
of lowe in collaboration with faculty a other ~rican institutions and
institutions in the host countries We will build on the extensive contacts
between the Co~perative Legislative Research Center of the ~niversity of
Iowa end other instituions with ~aich ~e have worked One =ajor result
of our collaborative study will be the existence of a net~ork of compe~ent
scholars both in this country and overseas experi~lced in ~orking together~
shar~g a co~on teaching and training experience i~ close contact throu~~ the
effective publications progr~ developed by the Co~parative Legislative Research
Center T~e e~~ertise of this group of individuals will be ava~lable to
oteer scholars to the Agency and ~o L~C governments for specific policy
advice The eXertise developed as a consequence of this project will
extend beyond the ~tionals of the countries ~volved since the univ~sities
engaged in ~e project attrtct stude~ts fro outside heir own countries
For ey~=ple the teaching ~d research progra in the Depar~ent of Political
Science 0 theUniversity of Istanbul heavily affected by the participation
of its facul~y ~e=bers and graduate students in our projects attracts students
throughout the ~middot1iddle East for Whom the University of Istanbul is the iajor
institution ~pound ~igher education in the region rne Institute for Developmen~
Studies is si=ilarly a focal point for students and faculty in East and
Central Africa Seoul ~atiocal Unive=sity attracts students froo other
Asia~ co~tries~ In this way the capability developed among the participant$
BEST AVAIL~BLE DOrUMENT
- ) -
in our work is diffused widely To the exte~ that the abili~y to assess
rural develop~ent p~ojects in teres of their social soundness is increased
both in the United States and in ~o~~tries r~ceiving develop=en~ assistance
the cap3~ity of racipien~ countr~es to absorb aid is ~creased
We propose to draw up an inventory of personnel available in ~~e
Cnited States and in other co~~tries who are able to consult with developen~
a~nistrators on the design of rural development projects and on their
evaluation We ~~ll draw first of ai~ on individuals w~o have been
directly associated with our ~ork in the past or on ~he proposed project
and ex~~~d the list to include graduate students and gove~ent officials
with who~ these individuals have wor~d
tole Yill utilize tha existing publication program of the Center
dercribed above to disse~inate our findings The Center has specialized
oailing lists of interested individuals and institutions in all parts of -i
the world and its reports can trerefore reach the ~st relevant audience
jirec~ly ~d re~~arly
BESl AVAIL~BLE OOCUMENT
CONTRACfjGRANTCOOPERATIVE AGREEMENT DATA SHEET
INSTRUCTIONS fjDW Complete 4 copies of the form Original SERCMSDSUP Statistical Section Copy Copy 2 SERCMSIiUP dministrative Copy opr 1 Contracting Officers COy COP) 4 SERCMSDSUP IUmin (Suspense) Copy
Missions Complde 2 copies oi the form Origin31 SERCMSDjSUF- Statistic31 Section Copy 3n~ Copy 2 Nill be ret31ned in the Missions
PART fA
ConU3lttorGranrce Name
University p~f~I~o~wa~ __ -r~ ____ ~~~~ __________ -~~ __ ~~~ ______________ ~~~~ Plorr Numt-er ApptopriJtion Number Allotment Number Project Number
930-0090-3Q13411 A5 72-111l0216 146-30-099-00-20-11 930-0090 Project Title
So~ia1 and Potitica1 Aspects of Development - Conference to Report Research Findings Amount of this Plorr I Projecl M3nagers Name and Offire Sytlbol
$10397 (increase) PDPRCP Jonatlan Silverstone Contr3ctors D-U-N-S Number
Ncgwatocs TYJlCd~3meJ j) Signature I l ~ jIf- bull G HtJ--ft u l IVmiddot
D~e
L - f - J ContractGrant Officqs typed Nailllt Signalure LJ d I -r-
plusmn t 3i-alflpta (( BLvle~ 1 I~ PARTm
ContractGranl Number
AID CSD-3294
Effeclive Date of Docum~nl Signalltre D3t~ of Documenl
Lf---C yen-~-gl tIost Courtry Institution (U iwrsity contract ONL Y)
Campus Coordinator (Uniwr ty i contract OiiL YJ
PART UL Descriplion of Cor-tractGrant P1use X ONL Y ONE item under each headiZg IF THEltrease CifYmC~e bolh ges I 30~~ O~ Nol to be completed for Amendmenl or Modlfic3lion AJigtns I III
J 710gt I I V ~ I
MOl - TYPE ACT A~ 0 G unsolicited Propsll (AIDIR 0 C Individual (Non-pe~nal senice)
~ O Cortra lGrantl ooperative Agreemenl 73101-SO(b)(6raquo 0 D Individual (ftrsonal Service)
tJl T3sk Order ( A)middot 0 H Procurement 10 be Perfocm~d by the Conmiddot 0 E UniversilyOther FAuC3lionailnSlitulions
D 2 Work Order (IQC) Ira~lor in Person (AIDPR 0 F Non-Profil Organizationlnslitutions (other
D 3 Delivety Order (Requirements) 73101middotSO(b)( Iraquo than Ed or PVO)
[j 4 Purchase Ordcr [J I Sole Source (AIOPR 7-3101-SO(b)(4)) 0 G Private Volunury Organization (PVO)
If I 2 or 3 1Lle an ~ compllle M 12 ON Y D J Imp3irmenl of Foreign Policy Objectiws 0 H International Agricultural Research Organj-
M04 - CONTRACTGRANT TYPE
o O MOA (BOA BMA etc)
o I Fixed Price (Specify fFP FPRD FPEPA FPI) _____ _
(gtIDPR 7-31 OJ SO(b)(7raquo
OK B(a)5eJection (FPR 1middot1713-1)
o L Grant iH1ndlOok 13)
o M Do Nol Ue
D 2 Cosl Reimburemenl (S~cil) CR CPFF 0 N Cooperative t~reement (Handbook 13)
CS CPAF CPIF) ~ 0 O Small Business SeImiddotAside (FPR 1middot1706-8)
o l Cooperative Agreemenl ~ 0 1 Overseas Procuring AClivilies (AIDPR
04 Grant Gener31 Supportmiddot 0U ~ 7lIOI-SC(b)(2))
o S Granl - Specific Support ~ ~06 E SER VICE
g ~ ~~t ~~(d) ~~ ~~ ~ eci~a~~~~~ogram Projeci
o amp IQCs ~ ~ relampted excepi A amp E Services)
o 9 Host Counlry ContraclGrnnt 5lJ C amp E Services
middotComplele ONLY through ~Sl ~~ 0 D Construction
M05 SELECTION PROCEDURES 0 E- Reseuch
o A Formally 3dverliscd (IFB) (A1DPR 7middot24 amp
FPR 1middot24) ~ o B Negoli3ted Price Compelilicn Gencr31
Procedure (RFP) (-JDPR 7456)
Dc A amp E (AIDPR 7410)
0 D Ed Inst andor Inl1 R~arch (-JDPR
74 5)
o E Collaboratoe Assisunce (IDPR 7458)
C F Predominant Capability (IOPR
73IOI-50(b)(l)
AID 1420-49 (179) - Page I
D F Technical Services to AID (other than trainmiddot
ing usually o~ating expense)
D G jraining SetVice for AID
o H Equipment Materi3J~ Supplies Commodities
D I Translation Service
~07middot TYPE CONTRACTORGRA-nEE
o A Firmmiddot AU profil-rn3king fUms (other than
Aamp E)
J e A amp E 8r~
zalion
o Public Inlmlational Organizations (UN
Agencies ICRC Wocld Bank elc)
(H8 J 3 Chapt~ S)
M08- TYPE AW~RD
o A S8 Sel-Aside - Awarded to Non-Minority
o B S8 Set-Asidemiddot Awarded to MinXity
o C_ S8 NOI Set-Aside - Awarded to Non-Minority
o D S8 NOI SeImiddotAsidemiddot Awarded 10 Minority
o Eo amp(a) S8A Awarded to Non-Minority (Womerl-
Owned Veterans etc)
o F 8(a) S8A Awarded 10 MinorilY
o G Personal Sen-ice ConlrdCt bull Non-Minority
o H IeJSDnal Service Conlract - MinorIty
o I Individual NonmiddotPersonal Service Contraci -
NonmiddotMinority
o J 100Jigtiduai NonmiddotPersonal Service Contracl -
Minorily
o K NOI Small Business (Univ NonmiddotProfit Large
Firms) Non-Minorily
o L- NOI Small 8usineSl (Univ Non-Profit Large
Firms) Minorily
o M US Govcrnmlnt
(Connnued on Page 2)
BEST AVLABIE DOCUMENT 1 I
--
ua ) R I GI NAL 9 bull
MODIFICATION or GRANT PAGE 1 of 2
AH 1 2 Effective Date 3 Grant No 4 Effective Date
Amend_at Ro 5 April 15 1981 AIDCSD- 3294 8-11-71
-s CRANTEE (Name and Addrea) 6 Administered by -Professor Gerhard Loewenberg -Office of Contract Management Cbrnparative Legislative Research Gente Central Operations Division Dept of Political Science am Branch University of Iowa Agency for International Developn~nt Iowa City Iowa 52240 Washington D C 20523
7 PIO No 930-0090- 3013411 A5 8 Previous PlOTa -
Appropriation No 72-11110216 93i-1l-995-l36 930-11-995-136-73-3078103
Allotment Symbol - 146-30-099-00-20-11 wunt Obliga ted by this ~ndrnent - $10397
The above numbered Grant is hereby modified as follows
1 Anotmt obligated prior to this rurendment 2 Amount obligated by this amendment 3 Total obligated anount (1 amp 2)
Delete the amJmt $465000 and substitute in lieu thereof the ammnt I$47S 39-7 ~
FUNDS AVAIrABm
~~ - APR 13 1981
PrO~A~~5iors
$465000 $ 10397 $475397
OffiCE Of fIN~(1 ~~rE~E~T __ _ 10 This amendment 11 entered into puruant to the authority of the Forelgn
Assistance Act of lS~l as amended Except aft hereln provided all terms and ~~ndi~ons nf the grant rcferpnccd in Block 13 remain unchsnged and in full force and ~ffcct
11 original and six Crantee 18 requlred to aign thh document aad return 1- eopics to issuing
ffiee
~~~ or printed) BUSINESS MAHAGR amp bull
Tille TREASURER
UNITpound) STATES OF AHERICA AGENCY FOR INTERNATIONAL DEVELO~NT
BY_-1(1o-_1lt--= 13middot~_1_~ __ K R B1uteau
(Name typed or printed)
Tltle~ ____ G_r_a_n_t __ O_f_f1_c_e_r ____________ __
D3tC APR 2 J 7997 Dolt 9 APq 1981
BEST AVAILABLE DOCUM NT ___ 0 HLGlNAL - I 1 J 1 ~ )
- 2 -
AID ftmds in the am)tmt of $10397 are hereby provided for the activities lmich are described in your proposal (including Budget Stnmnary) entitled CDnference to Report Research Findings on the Study of Political CDnditions for Effective Small-Scale Rural Assistance Projects in Kenya Korea and Turkey dated February 17 1981 and made a part of the Grant b reference
BtTDGET StMMARY
Line Item
Travel
Per Diem
Other Direct Costs
Less existing 211 (d) grant funds
Total Amount Obligated by this Amendment
Estimated Costs
$ 5888
5100
_ 2500 $13488
_ 3091
$lO39
Note Indirect costs or $395086 associated with these activities will be contributed by the University of Iowa
BEST AVAILABLE DOCUMENT
~RIGINAL
- CONTRACT IGRANTCOOPERA rIVE AGRElEMI~ SERC~SDSlP Actio) Monitor
SERCMSDSUP Action Office
I
INSTRUCTIONS AJDW - Complete 4 copit of tlh fonnmiddot Orisina iCMSDfSUP Sutistical Section COP)middot Copy 2 SERCMSDjSVP Administrative CoP Copy 3 Cont-acting Officers COP) Copy 4middot SOSUP Admin (Susptnse) Copy Missionsmiddot Complete 2 copies of the form or~aI SERCtSDSUP Statistical Section Copy and Copy = wiU~ retained in the Missions
0 PART IA
Effective Date of Document tJ
Delivery Order (Requirements)middot
o 4 Purcluse Order
bull If I 2 or 3 have an bull X compl~te M I 2 ON L Y
M04 - CONTRACTGRANT TYPE
o O MOA (BOA BMA etc)
o 1 Fixed Price (Specify FFP FPRD FPEP FPI) ___ _
o 2 COli Reimbursement (S~cifY CR CPFF CS CPAF CPIF) ______ _
o 3 Cooperative Agreement
o 4 Grantmiddot General Support
o S Grantmiddot Specifi Support
o 6 GraDt 21 led)middot
o 7 Do Not Use
o amp IQCs
o 9 Host Country ContractGrant
middotComplete ONLY through M 5 1
MOS SELECTION PROCEDURES
o A Formally advertised (IFB)(AJDPR 7middot24 amp
FPR 124)
o B Negotiated Prire Competition General
Procedure (RFP) (AIDPR 7456)
o Co A amp E (AlDPR 4 I 0)
o D Ed Ins andor Intl ReStalch (UDPR
7457)
o E Collaborative ASSistance (AIDPR 7458)
o F Predominant Capability (AIDPR
7-310l-50o)(3)
AID 142049 (1-79)middot Page J
o H Procurement Co be Performed b~ the Conshy
tra~tor in Person (AlDPR
7middot3t OI-SO(b)(Iraquo
o I Sole 5gturce (AIDPR 7middot3101middotSO(b)(4raquo
o J Impairment of Foreign Policy Objecdv~
(AIDPR 7middot310 ImiddotSO(b)(7raquo
o K 8(a) Selection (FPR 1middot1713-t)
o L Grant (Handbook J 3)
o M Do Not Vse
o N Cooperative Agreement (Handbook 13)
o O Small Business SetmiddotAside (FPR 11706-8)
o P Overseas Procuring Activities (AIDPR
7middot3101middotSO(b)(2raquo
M06middot TYPE SER VICE
o A TtJining of Participants
o B Technical Assistmce (Program Project
related exc~pt A amp E Services)
J C A amp E Services
0 D COltl~ruction
0 E Research
0 F Technical Services to AID (other than trainmiddot
ing usuaU Y operating ex pense)
0 G Training Service few AID
0 H Equipment Mat~rials Supplie~ Commodities
0 I Translation Service
07middot TYPE CONTRACTORGR TEE
Firmmiddot All profitmiddotmaking fu-r1s (other than
AampE)
o 9 amp E Firms
I Prcct NumbcT
I
Contactors D-U-N-S Numbcr
I) -S--f(j
o C Individual 0-lon-~rsora1 service)
o D Individual (Pet-sonal Service)
o E University lOt her EduCltionaJ Institutions
o F Non-Profit Organization Institutions (other
than Ed or PVO)
o G Private Voiuntary Organization (PVO)
o H International AgricultwaJ Research Organmiddot zation
o I Public International Organizadon~ (UN
Agencies ICRC ewld B3J1k etc)
(HB J 3 Chapter 5)
M08middot TYPE AWARD
o A SB SeImiddotAsidemiddot Awarded to Non-Minority
o B SB SetmiddotAside bull Awarded to Minority
o C SB Not SetmiddotAside - Awarded to Non-Minoril)i
o D SB Not SetmiddotAside - Awarded to Minority
o E ~a) SBA Awarded to Non-Minewity (Womeli
Owned Veterans etc)
o F 8(a) SBA w-rded 1o Minority
o G Personal Service Contractmiddot Non-Minority
o ~ Personal Service Contnct - Minority
o I Individual Non-Personal Sence Contractmiddot
NonmiddotMinority
o J Individual Non-Personal Service Contractmiddot
Minority
o K Not Small Business (Univ Non-Profit L1lge
Firms) --vn-Minority
o L Not Small BUSiness (Univ NonmiddotProfit Large
Firms) ~inoriy
o M VS Government
(Continued on Pcge 2i
t bull - t ~ J f q
ORIGINAL bull MODIFICATION OF GRANT
1 2 Effective Date
Araendllent Ro 4 12-2-80
s CRANTEE CHace and Addrels) Professor Ger1ard Lo~middot enbelg Comparative Legislative Research Deartment of Political Science The Lnivp-rsity of Iowa Iowa City Io~a 52240
7 PIO No NI A
Appropriation No 72-11XHl26
Center
Allotment Symbol -426-30-099-00-3~-71 Amount obligated by this urendment-O- I
3 Gnnt No
AIDcsd-3294
PAGE _____ 1 _of-L
AlI 4 Effective Date
8-11-71
~ Admlnlltered by -Office of Contract Management Central Operations Division OTR Branch Agency for International Development Washington DC 20523
8 Previous PIOITs -
931-11-995-136 930-11-995-136-73-3078103
9 The above numbered Grant is hereby modified as follows
Supplement to Grant
Change the duration period sentence to read
The Duration Period for this Grant shall be August 11 1971 through December 31 198]
1 Amount obligated prior to this amendment $465000 2 A~unt obligated by this amendment -0-3 Total obligated amount (1amp2) $465000
----------------_- - ------- ----_- ------ 10 Thh lImcndmcnt is entered inlo punuant to the authority of the Foreign
~ Assistance Act of 1961 86 amended Except a~ h~reln Z II provided all terms and condi tions nf the grant referenced in Block 3 remain ~~aunchlinged and In fu1l force and effNt cnltUI cJ)za 11 o 4 J bull
Et~ ai~a gtUoItshyc Z P=u
original and six Grantee t requi red to sign this document and return 1- eopies to 1Bufng
office
~ 12 GRANTEE TES OF AMERI CA
(Name typed or printed) bull
TJlle Director Comparative Legislative liecearell CeQtoQl
Date 12880
------------------------------------
ONAL DEVELOPMENT
By ----~--~~~~---------------------
prinled)
Grant Officer Title --------------------------------
J)oll( 12-2-80 -----------------------------
BEST AVAILBLE DOCUMENT i je
The total amount of funds obligated under the grant is increased to reflect
a new total oblgated amount of $465000
Please sign the Statement of Assurance or Compliance ana the origfnal -
and seven (7) copies of this letter to acknowledge your understanding of
the conditions under which these funds have been granted Please return
the Statement of Assurance of Compliance and the original and six (6)
copies of this supplemental Grant to the Office of Contract Management
Attachment May 6 1977 Proposal and Budget SUfiT1a ry
UNIVERSITY OF IOWA
Roberw bull OBrien fficer
Ce al Operations Division Office of Contract Management
AC~E~E~C--_ 0 BYpoundk~~ cH
D C ~lpoundSTtR5BA T ITL E ( PfeampoidPilt for
tee ment amp Research DATE 9-22 -77 (d~ ~~Bduate Ctl~1e~e
BES i AvAILdLt UOCLJMU~ I
211(d) Grant Program
Proposal of the University of Iowa
POLITICAL CONDITIO~S FOR EFFECTIVE SMALL-SCALE
RURAL ASSISTA~CE PROJECTS
Submitt~Ci to
Civic Participation Division AID
May 6 1977
Amount requeste~ $ 199987
BEST AVAILABLE DOCUMENT
I TdE DEVEIOP~T PROBr~
P~litical Conditions for Rural Development
The Cocparative Legislative R~search Center of the University of
Iowa proposes to ~~dartake a two-year study to investigate the role of local
leaders and the rural public in theimplecentation of small-scale develop~ent
1 projects in less developed countries The study will use and extend the
capacity ~hich the University of Iowa developed under a 211(d) grant to
investigate and assess the impact of loeal politics on rural development
~t the co~pletion of the s~ Iowa will be in aposition to advise the
Agency on the design ~nd evaluation of s~ll-scale projects which will be
politically viabe a~d effective in ass~sting the rural poor ~
As students of development w~ approach our task with the assumption
that the proble~ of development and underdevelopment are funda~entally
ones of political econooy and a~ such can only be solved through a
simultaneous considerationof economic and political factors Efforts
which foc~s aloost solely on economic factors like those of ma~y
organizations engzed in dipersing foreign aid or efforts which focus
almost exclasively on political factors fail to take account of the
interdependence between these two dimensions of underdevelopment and
lwe have for~ulated this proposal in a canner consistent witr the cu~rent policies ard interests of the Agency We have been guided in our tsk by four Age~cy doc~e~ts Impleo~~tation of New Directions in Developnent Assista~c~~~ ~eport to the COmlittee on International Relations on Ilupleoenshytatiun of Legislative Refo~ in the Foreign Assistance Act of 1973 (July 1975) rItevis~d Projec Developiel Review and Approval Systeo (A I DL Circular A-21 Aril 23 1975) SH Butterfield Draft SUIilZ3ry StateUlent of a Practical Agelcy Approach c aural Devalopilelt (AATA February 28 1975) Cicci A Coce~ual Oie=viamiddot middot Rural Development No1 (lWorilting GOU O~ tha Rural Poor February 1975)
- l -
can meec with only l~ted success
Our concern with the i=pact of local politics on the process of
rural developcent is a result of our interest in the basic question of
how LDC governm~nts and the donor agencies which assist them can
become core effective in raising the standard of living of the rural
poor We seek answers to the following aspects of that basic question
1) What political conditions must exist both within rural communities
and between theo and central gove~ents to raise agricultural production
w~ere small-scale agriculture is the do~nant pattern 2) Vnat are the
political conditions for a core rapid expansion of the informal manufacturing
and service sector cocprised of labor intensive small-scale industries
located in the rural ar s 3) What political structures and activities
are mase crucial for the provision of welfare and econocic supporc services--
such as agricultural exeension mar~eting and transportation--to the rural
areas1 4) ~~at Folitical conditions oust exist to insure that economic
growth in the rural areas is not accowpanied by excessive and intolerable
inequalities between socio-economic classes andor between regions1
Center-Periphery Linkage in LDCs
To deter~ne the political conditions for rural development we have
in previo~s s~udies exacined the institutions and processes through which
rural populaticns are integrated i1to the national politi-cal systetlS of
middot~he countries in which they live A gap exis~s in most less developed
countries bet~een the peasantry residing on the periphery and the c~~tral
political ~stiutions staffe1 by ~~estern-educated bureaucratic elite
We are aware of the other major ~sti~utional discontinuities which comprise
J
4 middot~~1 the basic cleavage between the developed and underdewmiddoteloped sectors of
these dual societies Bridging these gaps is essential if these so~ieties ~ are to develop into viable nation states For until those Q~ the periphery
of the poli~ical syste~ participate in that system and support and comply
with the authority of central political institutions neither economic
development in ~he rural areas nor a stable polity will emerge
Bridging the discontinuities in these new political systems requires
establishing and institutionalizin3middot1inkages or networks for co~unication
and exchange of resources between decision-makers at the center and the
rural public on the periphery Three types of institutional linkages are
most prominent in less developed countries 1) those conSisting of the
state administration composed of the bureaucratice1ite 2) those consisting
of a revolutioncry political party cocposed of the ideological elite
3) and those conSisting of patron-client hierarchies composed of the political
entrepreneurial elite
Of these three linkages consisting of the state administration are
the cst extensive and pervasive in virtua~ly every LOC Such linkages
however exist primarily a~ instruwents of the center to penetrate the
periphery Central government officials are formally charged with bringing
develo~ent to the people This is a ~issi~n which conceives development
as a process ~hrough which a traditional peasantry is transformed and
assimilated iJro the DOdern center which is steadily expanding to embrace
it Agents of the center invariably have more resources to achieve their
objectives than do local political leaders but because they are frequently
strangers~ the communities in which they function they are often unable
- It -
co implement the policies of the center without working through the
local establis~ent
Though somctices significant linkages consist~g of revolutionary
party organizati~ns such as those found in China and Vietnam do not exist -
in most IDCs beca1Se of the special historical and e~omic conditions
required for their development As wi~h the administrative state however
the linkaampe apparatus of such political patties is prUlarily an instrument
of the center whose mission is to penetrate and mobilize those onthe
periphery
In contrast patron-client hierarchies are linkages which represent
the periphery at the center and mediate betwee~ these two disparate
sectors of the political systec Thcugh norcallymiddotovershadowed in scale
by the state administration patron-client hierarchies are found in almost
~very LDC a~d constitute the ~st significant network through which rural i
populations and their leaders influence the decision-~king process at
the center Patron-client hierarchies exist in a wide variety of org~iza-
tional fores ranging from info~ ~ec~~rks of individual olitical leaders
in uno-partyll systelS in S~b-SaharaI4 Africa to extensive political machines
in both one-p~rty (Africa Mexico) and ~u1ti-party systems (Turkey India)
Despite their importance as the pricary means through which peasants in
LDCs particiate in their political systems patron-client hi~rarchies
have only recently become an object of analysis by students of political
developent and do not appear in even the most sophisticated studies of
2 See Jo~ Dunca owell Peasant Socie~y and Clientelist Politics Aerican Politi~ Scielce Revietol 64 (June 1970) pp 411-25 Rene Lemarchand anc_ Keith Legg olitical ClienteliSJ and Ethnicity in Tropical Africa Aierican Political Sc~ecce ReView 66 (Y~rch 1972) pp 68-90 James C Scott PatronshyClient Politics a~d Political Change II 1tlerican Political Science Revie~ 66 (~arch 1972) p 91-113 and Friends Followers and Factiols bull edited by Steffan Sc~~d and James C Scott (Berkeley UniverSity of California Press 1977) bull
- 5 -
3 economic development Ad~niscrators of developmental assistance progracs
have too often regarded patron-clienc hierarchies as ~ped~ents to
develop~ent instead of recognizing cheir potential utility bull
~ Findings on Patron-Client Hierar~hies --
The importance of pat~on-clienc hierarchies for linking the periphery
to the center is one of the major findings ~erging from a study of the
relationships betueen l~gislators an~ their constituents in Kenya Korea
and Turkey ~hich the Cowparative Legislative Research Centpr is nov
comleting uader its 21l(d) grant from AID This study has av~mined the
creation of linkages between the periphery and the center through ~ore
than lO~OOO interviews with members of parl~ent local leaders and
peasants in t~e three countries The findings are being systewatically
set out in a book-length monograph Nearly a dozen research reports have -
uready appeared (see Appendix C) ipropositions about the nature of
political behavior of rural populations an~ the roles of local political
elites de=ived from the research~ can be s~rized as follows
1 Elected representa~ives play a significant role in the creation and mainte~ance of linkages be~een the center and periphery by developing local political achines in which they function as patrons of their constituents In turn thay s~rve as clients of political leaders of national stature who control central government institutions
2 By atte~pting to establish linkages based on patron-client relatio~shi~s elect~d representatives are responding to public expectations chat their prizary duy is to obtain resources from the center to proffiote local develop~ent ~iany elected repLesentatives spend most of their time on self-help co==unity development projects such 3S the building of schools health clinics irrigation works arid roads because such projects provide
3For exa~le ~ a widely respec~ed a~d useful analysis of rural deve16p~ent in Sub-Sahara~ Africa L~ Lele of the World Bank notes the problems of creating an adoini5~raive infrastructure in the rural areas that is sensitive to local socio-oliical conditions She does not however consider how local leaders operating o~tside of adcinistrative structures ~ night contribute to the developne~t 0 the rural areas See ~~ Lele ~ Design ~ Rural Develop~ent Lessons ~ Africa (Balt~re The Johns HopkiD~ Uciversity Press 1975) r) pp 127-61 i ~
- 6 -
their const~tuents with desired se~ices ~~d a= the sa~e time provide the reresentatives with an orgacization Yhicn can be used as a political base
3 l-tore than 90 perCel1t of the rural population is capable of articulating the p~oblems facing their local co~~ity and two-thirds discuss th~e proble~ w~th their fellow citizens on a regular basis
4 Three-q~rters of the residents of the rural areas can identify the public ofpoundici~s who serve thec--both civil servants and elected represcrtatives--by na~e Most are knowledgeable about the activities of these officials Alcost one-fifth coreover have discussed co~~~ity probl~ ~ith these officials particularly those working at the grassshyroots level Residents of rural villages actually have a higher level of political knowledge than their counterparts in the towns
5 Elections in the rural areas evoke a highly rational attern of voti~g despite the effects of ascriptive or traditional co~siderations Inc~ens are pri~rily evaluated in terms of their record in fulfilling the public r S elpectations of what they should do Elections are essentially referenda on inc~entsr perfo~ce especially their perforwance in the area of constituency servi~es such as bringing development projects to the districts bull
6 Local developcent projects have a relatively high s~olic value generating conscitutency support for local leaders and the central government at low cost
7 These projects help huild a local political infra-structure which can also be utilizec by central govern~nt civil servants to implement other policies designed to achieve rural develop~ent bull
The Icpac~ of Local Politics on Rural Projects
Having explored the developtent of linkages through which the periphery
is represented at che ~enter and through which the periphe~ attemp~s to
share in the ceners resources we now propose to build upon our initial
investigations by e~ing in greater detail the impact of local political
conditions on specific problecs of rural develop~ent We propose to
exacine the develop~ental activities of local leaders ~nd the rural public
by eX2~Ding a saple ot fifteen to twenty smalL~scale developwent projects
in each of ~he three countries which constituted the sites for our initial
8ESI AVAILABLE DOCUMENT 1 ~ - of
- 7 -
study of center-perhiphary relations The appropriateaess of this approach
and the ~ethodology through which it will be ip~emented is discussed in
section II Because the ~ethodology of investigation is in large part
the result of our previous research experience we fizst turn to a revieW
of the existinQ __ ~petence of the Comparative Legislative Research Center
in this area
II GRAXTEES EXISTIXG CmET~CE
In 1971 the University of Iowa received a 211(d) grant to develop
its capacity to do research on the role of elected represent~tives in
the process of modernization On the b~sis of this grant the University
established a research center which planned and carried out a research
project on the role of elected reres~~tatives as links between the central
gove~ent and rural populations in K~ya Korea and Turkey The project -i
served to develop t~e University of Iowas research capability in this
field esa~lished ties between the University and scholars in the bost
countries and generated a large and uniqu~ body of relevant data
In that project we fo~ussed our attention on tbe activities of elected
representatives in their constituencies notably in their contacts with
local political leaders voters and civil servants To determine tbe
nature of the linkage function performed by tbe representatives we
designed our research to explore the subject from three perspectives
1) we eXaojned ~~a ~ubject at tbe grass roots by conducting a series of
sample surveys of 200 to 300 adults in each of 12 to 14 parliamentary
constituencies in each cf th~6three countries 2) we examined the subject
at the center by intervie -ing MIls from the constituencies in which we
had conducted S3mple surveys ~nd higher civil servants with whom they
had contact and 3) ~e ex~~ined the subject from an inter-~diate level
by identifying aud ~terviewing local social and political leaders in
the MPs constituencies We used survey research methods because we
were embarking on the study of an entir~ly new subject for which little
relevant docu=e~tary data existed and on which there were few secondary
sources As a result ~e have unparalleled experience with survey
research in the rural areas of less develo~ed countries
The surveys which constituted the cajor part of our field work were
planned in collaboration ~~th scholars from the host countries They were
carried out in each constituency by student interviewers in the appropriate
language ~re than 10000 respo~dents were inteDViewed for the project
Given the visibility and sensitivity of this undertaking approval for
the research was sought and obtained from the host governments prior to -i
the collec~ion of data ~o objections were raised by these governments
at any stage of the research The data obtained have been made available
to scholars i~ the host co~cries and some of the basic findings have
been published in periodicdis in these countries
The Comarative Legislative Research Center ~hich ad~nistered the
project has aisO developed extensive experience in the study of political
leadership in other countries It h3s obta~ed substantial support from
the Fo~d Foundacion and the Rockeeller Foundation has worked in
collaboration ~~h European as ~ell as Asian and African scholars and
is engaged in a ajor study of the role of elected and non-elected leaders
in the oanag~~t o~~ocial conflict Because it has conGucted research
in a variey of setlngs the Center has an ~ceptional capacity to
- 9 -
determine how the relationships be~een political institutions and
economic p=oble75 differ in develoPed and less developed countries
In the course of the major research projects the Center has administered
it has gained highly specializpd ~p-i ce iI identifying 1Olitical leaders
in a great variety of settings conducting systematic interviews with
them collaborating with scholars in the host countries and in coding
and utilizing large files of data to answer specific research questions
The Center has ~lso undertaken to publish the results of its research
in three fores It issues codebooks to the data enabling scholrrs at
other locations to use the data expeditiously i~ publishes research reports - in the form of Occasional Papers and it publishes a scholarly periodical
devoted to the presentation of research findi~gs to an inteIT~tional
audience
The Center utilizes the data ~ysis facilities of the Laboratory
for Political Research of the University of Iowa and drawS on the unusual
n~er of secialists in comparamptive politics and survey research in
~~e Lniversitys Departmen of Political S~ience The Center itself I
has the services of an administrative secretary and a clerk-typist
~intains its~o~cn extensive archives and its o~~ publications program
It is e~uipped to assist scholars and government officials outside the
t~iversity of Io~a The participants in its p~ojects are full-tioe
faculty ~e=bers ~hose undergraduate and graduate teaching is closely
related to their research As part of the teaching program the Center
has attracted students from the countries in which the research projects
have been conducted these students have participated in the projects
bull J
have obtained training in other fields of political science have received
University of Iowa degrees~ and have ret~rned to teach and to do research
in their own countries
III PURPOSE OBJECTIVES AID METHODS
Purpose of Study
The purpose of the proposed grant is to extend the capacity of the
University of Iowa to determine the political conditions in the rural
areas of less developed countries which favor the establis~ent and growth
of small-scale developoent projects ~e objective is to put the University
of Iowa in a position to assist the Agency in designing small-scale rural
developent projects providing guidelines for carrying out social soundness
analyses of such projects and adviSing in the evaluation of projects
We will discuss the utilization of~t~e Universitys capacity in detail in
section IV below
We propose to concentrate our investigations on the political conditions
surrounding s~l-scale ru~al projects Such projects have distinctive
advantages They waximize the political participation of the rural populations
both in det~~-ining the direction ~d implementation of develop~ent efforts
and in defending the interests of periphery vis-~-vis the urban-based
bureaucratic elite S~ll-scale projects stimulate entrereneurial activity
on the part of the rural citizens and growth of the info~l canufacturing
and service sector Tbey require less lead tice and less administrative
c~erhead to ~eco~e operational than large-scale capital-intensive projects
centrally administered Such projects yield rapid and direct benefits to
1
j
the rural
- 11 b - ~~1
populations and are consistentwith their hUIlaD rights--both
political and economic However~ small-s~le projects pose s~ecial probl~s for administratcrs of developceocll assistance progracs because
they require the donor co assess the local olitics particularl the
rural politics of t~e host country
Develop~c adoinistrators pr~rily conc~rned with assisting rural
populations must therefore recognize the range of political variables
affectL~g these projects Small-scale projects offer great opportuoities
for develop~ental assistance progr~ because they can be easily targeted
to help rural populacions require low capital costs and need no be
concentrated in one or two localities Such projects ho~ever~ ~equire
the a~istrator to have ~re political kno~lecge than large-scale
projects Oil which his priJlary tas~ is guiding the work of other experts
Questions for ~Investigation
To detercine the politi~al cc~diicilS ~st conducive to ~he establ~~ent
and gro~h of scalI-scale rural projects ~e propose to address our inquiry
to the following specific questions
1 To what extent and why co local political leaders seek to establish s~~l-scale develop~ent projects within their co~unities
2 To what extent and ~~y do local leaders other than politicians initiate andor provide leadership for s=all-scale developm~t projects
3 Bot do the relations bet~Jeel different types of local leaders (political and non-political) and bet~eeo these leaders and central gove~ent civil servants posted to the rural areas affect the conduct of develop=ent projects
4 How do existing authority ~eLationships between these different leadership grous and the rural pub~ic affect the organization and operation of s~l-scale develop~ent projects
- 12 -
~
5 lhlt is the nature 0 pclgtlic participation in the establishlent and operatio~ of s~l-sclle projects and ~hat are the outcc=es or this participatioe Gucer w~at conditions is such participation ~ost likely to occur
We seek a~swe=s to t~cse questio s L order to determine the effect of
different co~iigurations of local leadership and public participation on the
outcomes or small-scale rural projects te are particular1y concerned with
the ~pact of these configurations on the rate of econocic growth and the
distribution o~ rIGSlth ithin the loal cOlllUlity ~ on the perce~tions of
s~ll-scale proj~cts by central govern~ent per~oncel and the rural public
anmiddot on the organiation or flture projects
To a~swer these que~tions it is oar intention to study the initia~ioD
izJple=enation ald i1lpact of a salple cpound small-scale rural projects in
Kanya Korea and Turley in the sae cOllities in which we carried OU
our initial icvestigations ~ 1973-75 Tne relationships between the -
various conf~gurations of local leadership and public participation and
the three phases of project develop~ant are sho~ in Figure 1 We will
exa=ine projects to pro~ote the adoption of new agricultural techniques
by s~l and moderate landnolders the building of feeder roads irrigation
ditches and other s~ple infrastructure the organization of fa~ers
cooperatives and other local associations concerned with rural development
the establish=ent of rural health clinicS and schools and the setting up
of craft and service industries
Sites for Study
We plan to return to our original set of localities because we possess
a rich body of relevant data on the extent to which linkages exist between
Figure 1
TYPES OF LFLUEXCE OF C2r~ middotGOVER1iEXT OFFCIALS
LoCu LEADERS 0 THE RURAL PUBLI-C OX THRr~
PHASES OF RURAL igtEVELOPHET PROJECTS
r----------~J C~ltral Gover1~nt Official)-N------- - J
r- Local pOlitical leaders
Local non-political leaders
~l 1---- -
ROJECT nITL~TIOS
Influ~ce on selection of projects
InrI ~elce on location of projects
Influence on policy guidelines for proj eCl
Il
I
a
I I
-I PROJECT I~L~~iATIO~ ~ 1
j Project Organizati I Selection of project
leadership
Hobilization of resources
Mobilizatiol of public compliance with project require=elts
Diffusion of project innovation
Rural Public
I
BEST AVAILABLE nOCUMENT
1 ROJECT IMPACT
Organization of ongoi=g project operation
Distribution of project benefits
Evaluation of project
Public attitudes toward project
-middot14 -
these areas and t~c central p~litical institutions of the three co~tries
and on the attit~es of the rural populacioc local leaders and elected
legislators regardi~g their problecs of develop~~c Since such data
is unavailable for alternative locales a return to the areas in which
we have previously done much research ~ables us to build on a uniquely
valuable body of icformation
A return to Kenya Korea and Turkey is also highly desirable from
the standpoint of effective research organization The Comparative
Legislative Research ~enter has developed close collaborative relationships
with several highly competent social scientists in these countries and
with the academic institutions with which these scholars are associated
We have also dev~_oped cooperative relatio~ships wi~ gove~ent officials
in these countries which should facilicate obtaining approval for our
further work
In proposing to doc~ent the origin i~pl~entation and impact of
one to three s~ll-scale develop=ent projects in each of 35 localities
we have two considerations in mind Firstmiddot because our pr~ry goal is
to deter~e the political conditions for rural developm~Lt we wish to
examine develQ~=ent in as many different settings as feasible Only in
this way can we control for so=e of the major socio-cultural variations
that erist along rural populations in less developed coultries These
include the overall level of econo~c development in the co~unity the
nature of t~e ~digenous culture an~ relationships of authority and the
pro~ty of the comounity to major urban areas and centers of central
gove~nt ad=inistration ~ce our original study sites were carefully
BEST AVAILABLE DOCUMENf
- 15 - ~ ~1
selected to represent these variations ye have concluded that these
35 localities woule be ideal sites for the propose~project Second~ in order to dete~~~ the ~pact of local leaders and public
participation o~ ~ural projects we intend to compare projects 1n which
local leaders and ~ecbers of the public have played a major ~ole with
projects in which they have not We also ~l cospare projects initiated
by the central gover~ent with projects Yhich have been locally initiated
These considerations give us a typology for selecting projects as depicted
in Figure 2
Figure 2 ~
FIVE TYPES OF RU~AL PROJCTS ACCORDIXG TO ~FLUEXCE OF CEITiW
GOVE~1E~T LOCAL LEADE~ AD RLRAL POULATIO~
Level of Participation by Rural Population
Locus of Project Initiation ~
Local Co=unity Central Governoent
BIGd
LOt
1 Projects initiated by local leaders and providing for participation of the rural ~opulation
4 Proje~ts Litiated by local leaders bu~ not involving participation of the rural population
2 Projects initiated by the Central Govern~ent and administered i~ cooperation with local leaders a~d the rural population
3 Projects initiated by the Central Govemlent and providing =or the participation of the rural population but by-passing local leaders
5 Projects initiated by the Central Gover~e~t a~d administered in cooeration Yith local leaders but not involvi~g parti~ipation of rural population
- 16 -
We recognize that the socio-cultural setting of rural develoment
projects varies significantly within and across less developed countries bull
By focussing o~ a representative sa=ple of localities ~ Ke~ya~ Korea
and Turkey we can take account of naoy~ though not all of these variations
While some of our substantive findings will not be directly generalizable
beyond the countries in which we propose to conduct our study we expect
that our basic ~ethods and fLdLgs will be applicable to national and
sub-national settings elsewhere in the developing world This is partly
d~e to the fact that the hierarchy of patron-client relations ~hich we
regard as a critical factor in rural develo~~t exists in ~ost Liles
--It is also due to the fact that the methodology for identifying local
bull leadership configurations auG poundor studying local politics which we are
perfe~ting can be used to assess local political co~ditions in a large
variety of countries even when the ~nditions themselves differ significantly
Methods of Investigation
The data needed to assess the iDpact of local leaders and mass
participaticn on rural dev~lop~nt fall into two categories Some a~e
contained among the data gathered for the research project we are currently
completing Others will require additional field research
The following data are already in hand
1 Data on the social landscape of each loc~l co~nity i~cluding aggregate data o~ level of econonic development de~graphic characteristics political pa=ticiation eth~ic loyalities and rates of socio-econocic change dur~g the past decade bull
2 Identity of local leaders including both political and I-on-political leaders and both legislators and other politicians
3 Perceptions of existiag probl~ and their possible solution a~ng
l)tS r AVAilABLE DOCUMENT
- 17 -
general public local leaders and civil serv~nts
4 Level of political kno~ledge among local citizens and local political leacers
5 Political and social values a~ong local ci~izecs and local political leaders
6 E~~ectacions of leadership roles among the local public and elected and non-elected leaders
7 Patterns of co~unication ~ong local leaders and between local leaders and the central gove~e~t
These data ~hich ~e already have in hand can be subjected to analyses
which ~~ll provida the foundation for our further work on rural develop~ent
projects A part of our work therefore will consist of fu~ther analyses
of existing data
New data of the following kinds are also required
1 Doc~entary data on the origin and evolution of particular smallshyscale develop~cnt projects in the rural areas
-2 Data on project costs boih ~itial invest=ent and recurring
operating costs and data on project ou~puts ie pupils in schools Ddles of road coopleted nl~ber of hospital a~ssions production of factory agricultural productivity
3 Data on project organizatio~ n~~r of local inha~itants participating in establis~~ent of projectt nuober of local L~habitants subsequently involved in project
4 Data-on the pe-cetion of projects by local leaders emers of the local public a~d by civil servants data on the perception of how each project ~as initiatec organized who benefitted and what its future implicatio~s are
These types of data will requ~re field work involv~~g both docucentary research
at the relevant ~istries of the central government and in local goverr~nt
authoritieS and inforoal open-ended interviews with local political leaders
elected representatives and other local leaders who~ we had previously ~
interviewed in a s=uctured syste=atic =aoner
BEST AVAILABLE DOCUMENT
- 18 -
Grant Organizatio~ and T~etable
We propose co undertake the research outlLled above beginning in the
fall se=ester 1977 Dur~g that te~ Professors Barkan and Kim as
principal investio~tors for the neo1 proj ect will contact their collaborators
in the host co~~tries They ~~ll also seek the collaboration of an additional
~rican scholar specializing in rural development with the aic of getting
additional advice on sources of data and suitable indicators for the
~easure=~~t of rural develop~ent projects
At the end of the fall seQester Professors Barkan and Kim will make
a trip to their research sites to disc~s details of the research organization
with their collaborators in the host countries and to recruit student
assistants Tney will devote the spring te~ 1978 to further analysis
of a~sting data at the University of Iowa
The gathering of additional dita L~ the field will begin in the s~er
of 1978 Professors Barkan and Kio will direct this work personally We
eAect that its coopletion ~~ll require three to six months This work ~1
involve the evaluation of central and local gove~ent reports on the
projects uncer investigation extensive on-site observations of the projects
and oen-e~ded interviews with the principal participants Our principal
respondents ~i1l be the local leaders and elected representatives we
have previously identified in the localities in which we have worked and
a sacple of active participants in the particular dpvelopment projects
being studied ~~ere necessary and apropriate surveys of the general
public will be uncertaken to assess the inpact of a given project on the
rural por)r We do not however leed 0 conduct systeAlatic sample surveys
BEST AVAILABLE DOCUMENT
- lY -
of the rur~l population as We did in 1974
In the organization of this research project we intend to reconstruct
the rese~rch tea=s ~e e=ployed during 1973-75 We shall again seek the
co11abo=~tion of P~ofessor Sc~~S-7o~g Pai of Seoul National University ~
Professor IIiCr Turan of the University of Istanbul and Professor John J
Ok~u of the U~iversity of ~arto~ S~ilarly w~ contemplate directing
the field research fro~ he same acade~ic research organizations we previously
used Seoul National U~ive~sity th~ ~~iversity of Istanbul and the
Insti~ute for Develop~eut S~udies University of Nairobi As before we
will tra~ students f~oo these institutions to serve as interviewers
The analysis of the open-ended intervie~s and of docUQentatio~ on
I ~ural develop=e~t projects will be a ~ore t~e-co~s~g process than the
analysis of closed intervie~s It will reqrire a high cotnittl~t of time
fron the principal investigators )e e--pec to hold a conference at the i
U~iversi~y of Iowa 3lO1g all the principal )clticipa~ts in the resea~ch
project d~=~g t~e spr~g 1979 to evalua~~ the newly collected data
le e~ pect to be able to vr-ite reports of t~ results during the Sl1~er 1979
(see Figre 3)
IV LlX-GS ~1) U~ILIZATIO~
At the e~d of the grant period the Uti ersity of Iowa will be able to
1) advise the Agalcy 01 the design of s~l-scale rural projects to assist
the rural poor 2) provide guidelines for social soundness analysiS of
small-scale projects for the rural areas of U)Cs 3) consult w~th the
Ag~tcy 01 the evaluatiol of rural projects ~d 4) provide LDe governments
BEST AVAILABLE DOCUMENT
)ATES
~lll
1977
~inter 1977
iprilg 1978
il mer 1978
~all
1978
ipr~ng
1979
Imiddoter 1979
University vf Iowa
Plutlning of rural develo~rent project
Barkan Kil
Alalysis of existing data
Barkan Kia
Data processing
3arkan Kin
1
I
- 4 -
Figura 3
GRAT TLfETABLE
SIT E S
Kenya Korea Turkey
Preparation of field research ural developH~lt project cOlisulta~io~ a research sites
BarkanOku=u Ki~Pai Tura~rkanKi~
Preparation of field resea-ch
Tural
Field research on rural cevelop~~t projects Bar~lOk~u Ki=Pai Turan
Co=pletion of Co=pletion of field resear~~I~ fiald researcr
Ok~u i Pai bull
f Coopletion of field research
Turan
Data analysis conference a~ong all princial i~vestigators at Un~versity of Iowa Barkan Kil Oku=u Pai Turan
Co=letiol of r~ral develop~ent
project
3arkan Kiz
BEST AVAILABLE DOCUMENT
I
- LL -
~ith speciali~cs o~ ru~al developcect ~mong their own citizens ~ho ha_
partcipatcd ~s collaborators in the Iowa projects
In the proposed project we Will test a series of hypotheses cOlcerning
the political cOllditions of rural develo=ent which run counter to CODOn
assuoptions conccrnir3 t~~ influence of rural politics on project effectiveness
As a result ~e ~dll be able to assist the Agency in designing and evaluating
such projects froe the point of V~~W 0 their political viability The
hypotheses We will test sugges~ t~at the patron-clie~t relations existing
in the local politics of zost LDCs are not necessarily i~pedients to rural
develop~ent but are aspects or the political structure which cal be used to
facilitate s~ll-scale ru=~ projects which will raise the standards of
living of _ ~ rral pomlation - As ~ result or our stuey we expect to be
able to P~-O~t the local leadership confi5~rations ~4d the relationships
between local leaders ald rural poclations ~nich are oost conducive to I
successful develcp=en efforts We believe that we will be agtle to perfect
a cat~odology for identifying the political conditions for rural develop~ent
one ~hich is transferable pound~oo the countries we have specialized in to
other LDCs
We proo~ to develop specific guidelines to assist administrators
charged with selecting evaluating and =onito~ing rural develop~ent
projects to ~szess t~esc rojects in tares of their-social and political
viability he outco~e of such projects is dete~ned not only by the
efrectiv~nass ~~=h ~hich they use scarce econo~c resources but by the
~~er L~ w=ich they e~gage the suppprt of local leaders and rural
po~ulatiocs~ by thei= effect ou social a~d econo~c equality ~d by
D[~T AvAlLA8LE DOCUMENT
- 22 -
their consequences for hwan rights ~Je plan to establish criteria by
middot~hic~ the probable outco~es of projects in these social terms can be
anticipatec
The study ~e propo e will be undertltlken by faculty at the Cniversicy
of lowe in collaboration with faculty a other ~rican institutions and
institutions in the host countries We will build on the extensive contacts
between the Co~perative Legislative Research Center of the ~niversity of
Iowa end other instituions with ~aich ~e have worked One =ajor result
of our collaborative study will be the existence of a net~ork of compe~ent
scholars both in this country and overseas experi~lced in ~orking together~
shar~g a co~on teaching and training experience i~ close contact throu~~ the
effective publications progr~ developed by the Co~parative Legislative Research
Center T~e e~~ertise of this group of individuals will be ava~lable to
oteer scholars to the Agency and ~o L~C governments for specific policy
advice The eXertise developed as a consequence of this project will
extend beyond the ~tionals of the countries ~volved since the univ~sities
engaged in ~e project attrtct stude~ts fro outside heir own countries
For ey~=ple the teaching ~d research progra in the Depar~ent of Political
Science 0 theUniversity of Istanbul heavily affected by the participation
of its facul~y ~e=bers and graduate students in our projects attracts students
throughout the ~middot1iddle East for Whom the University of Istanbul is the iajor
institution ~pound ~igher education in the region rne Institute for Developmen~
Studies is si=ilarly a focal point for students and faculty in East and
Central Africa Seoul ~atiocal Unive=sity attracts students froo other
Asia~ co~tries~ In this way the capability developed among the participant$
BEST AVAIL~BLE DOrUMENT
- ) -
in our work is diffused widely To the exte~ that the abili~y to assess
rural develop~ent p~ojects in teres of their social soundness is increased
both in the United States and in ~o~~tries r~ceiving develop=en~ assistance
the cap3~ity of racipien~ countr~es to absorb aid is ~creased
We propose to draw up an inventory of personnel available in ~~e
Cnited States and in other co~~tries who are able to consult with developen~
a~nistrators on the design of rural development projects and on their
evaluation We ~~ll draw first of ai~ on individuals w~o have been
directly associated with our ~ork in the past or on ~he proposed project
and ex~~~d the list to include graduate students and gove~ent officials
with who~ these individuals have wor~d
tole Yill utilize tha existing publication program of the Center
dercribed above to disse~inate our findings The Center has specialized
oailing lists of interested individuals and institutions in all parts of -i
the world and its reports can trerefore reach the ~st relevant audience
jirec~ly ~d re~~arly
BESl AVAIL~BLE OOCUMENT
CONTRACfjGRANTCOOPERATIVE AGREEMENT DATA SHEET
INSTRUCTIONS fjDW Complete 4 copies of the form Original SERCMSDSUP Statistical Section Copy Copy 2 SERCMSIiUP dministrative Copy opr 1 Contracting Officers COy COP) 4 SERCMSDSUP IUmin (Suspense) Copy
Missions Complde 2 copies oi the form Origin31 SERCMSDjSUF- Statistic31 Section Copy 3n~ Copy 2 Nill be ret31ned in the Missions
PART fA
ConU3lttorGranrce Name
University p~f~I~o~wa~ __ -r~ ____ ~~~~ __________ -~~ __ ~~~ ______________ ~~~~ Plorr Numt-er ApptopriJtion Number Allotment Number Project Number
930-0090-3Q13411 A5 72-111l0216 146-30-099-00-20-11 930-0090 Project Title
So~ia1 and Potitica1 Aspects of Development - Conference to Report Research Findings Amount of this Plorr I Projecl M3nagers Name and Offire Sytlbol
$10397 (increase) PDPRCP Jonatlan Silverstone Contr3ctors D-U-N-S Number
Ncgwatocs TYJlCd~3meJ j) Signature I l ~ jIf- bull G HtJ--ft u l IVmiddot
D~e
L - f - J ContractGrant Officqs typed Nailllt Signalure LJ d I -r-
plusmn t 3i-alflpta (( BLvle~ 1 I~ PARTm
ContractGranl Number
AID CSD-3294
Effeclive Date of Docum~nl Signalltre D3t~ of Documenl
Lf---C yen-~-gl tIost Courtry Institution (U iwrsity contract ONL Y)
Campus Coordinator (Uniwr ty i contract OiiL YJ
PART UL Descriplion of Cor-tractGrant P1use X ONL Y ONE item under each headiZg IF THEltrease CifYmC~e bolh ges I 30~~ O~ Nol to be completed for Amendmenl or Modlfic3lion AJigtns I III
J 710gt I I V ~ I
MOl - TYPE ACT A~ 0 G unsolicited Propsll (AIDIR 0 C Individual (Non-pe~nal senice)
~ O Cortra lGrantl ooperative Agreemenl 73101-SO(b)(6raquo 0 D Individual (ftrsonal Service)
tJl T3sk Order ( A)middot 0 H Procurement 10 be Perfocm~d by the Conmiddot 0 E UniversilyOther FAuC3lionailnSlitulions
D 2 Work Order (IQC) Ira~lor in Person (AIDPR 0 F Non-Profil Organizationlnslitutions (other
D 3 Delivety Order (Requirements) 73101middotSO(b)( Iraquo than Ed or PVO)
[j 4 Purchase Ordcr [J I Sole Source (AIOPR 7-3101-SO(b)(4)) 0 G Private Volunury Organization (PVO)
If I 2 or 3 1Lle an ~ compllle M 12 ON Y D J Imp3irmenl of Foreign Policy Objectiws 0 H International Agricultural Research Organj-
M04 - CONTRACTGRANT TYPE
o O MOA (BOA BMA etc)
o I Fixed Price (Specify fFP FPRD FPEPA FPI) _____ _
(gtIDPR 7-31 OJ SO(b)(7raquo
OK B(a)5eJection (FPR 1middot1713-1)
o L Grant iH1ndlOok 13)
o M Do Nol Ue
D 2 Cosl Reimburemenl (S~cil) CR CPFF 0 N Cooperative t~reement (Handbook 13)
CS CPAF CPIF) ~ 0 O Small Business SeImiddotAside (FPR 1middot1706-8)
o l Cooperative Agreemenl ~ 0 1 Overseas Procuring AClivilies (AIDPR
04 Grant Gener31 Supportmiddot 0U ~ 7lIOI-SC(b)(2))
o S Granl - Specific Support ~ ~06 E SER VICE
g ~ ~~t ~~(d) ~~ ~~ ~ eci~a~~~~~ogram Projeci
o amp IQCs ~ ~ relampted excepi A amp E Services)
o 9 Host Counlry ContraclGrnnt 5lJ C amp E Services
middotComplele ONLY through ~Sl ~~ 0 D Construction
M05 SELECTION PROCEDURES 0 E- Reseuch
o A Formally 3dverliscd (IFB) (A1DPR 7middot24 amp
FPR 1middot24) ~ o B Negoli3ted Price Compelilicn Gencr31
Procedure (RFP) (-JDPR 7456)
Dc A amp E (AIDPR 7410)
0 D Ed Inst andor Inl1 R~arch (-JDPR
74 5)
o E Collaboratoe Assisunce (IDPR 7458)
C F Predominant Capability (IOPR
73IOI-50(b)(l)
AID 1420-49 (179) - Page I
D F Technical Services to AID (other than trainmiddot
ing usually o~ating expense)
D G jraining SetVice for AID
o H Equipment Materi3J~ Supplies Commodities
D I Translation Service
~07middot TYPE CONTRACTORGRA-nEE
o A Firmmiddot AU profil-rn3king fUms (other than
Aamp E)
J e A amp E 8r~
zalion
o Public Inlmlational Organizations (UN
Agencies ICRC Wocld Bank elc)
(H8 J 3 Chapt~ S)
M08- TYPE AW~RD
o A S8 Sel-Aside - Awarded to Non-Minority
o B S8 Set-Asidemiddot Awarded to MinXity
o C_ S8 NOI Set-Aside - Awarded to Non-Minority
o D S8 NOI SeImiddotAsidemiddot Awarded 10 Minority
o Eo amp(a) S8A Awarded to Non-Minority (Womerl-
Owned Veterans etc)
o F 8(a) S8A Awarded 10 MinorilY
o G Personal Sen-ice ConlrdCt bull Non-Minority
o H IeJSDnal Service Conlract - MinorIty
o I Individual NonmiddotPersonal Service Contraci -
NonmiddotMinority
o J 100Jigtiduai NonmiddotPersonal Service Contracl -
Minorily
o K NOI Small Business (Univ NonmiddotProfit Large
Firms) Non-Minorily
o L- NOI Small 8usineSl (Univ Non-Profit Large
Firms) Minorily
o M US Govcrnmlnt
(Connnued on Page 2)
BEST AVLABIE DOCUMENT 1 I
--
ua ) R I GI NAL 9 bull
MODIFICATION or GRANT PAGE 1 of 2
AH 1 2 Effective Date 3 Grant No 4 Effective Date
Amend_at Ro 5 April 15 1981 AIDCSD- 3294 8-11-71
-s CRANTEE (Name and Addrea) 6 Administered by -Professor Gerhard Loewenberg -Office of Contract Management Cbrnparative Legislative Research Gente Central Operations Division Dept of Political Science am Branch University of Iowa Agency for International Developn~nt Iowa City Iowa 52240 Washington D C 20523
7 PIO No 930-0090- 3013411 A5 8 Previous PlOTa -
Appropriation No 72-11110216 93i-1l-995-l36 930-11-995-136-73-3078103
Allotment Symbol - 146-30-099-00-20-11 wunt Obliga ted by this ~ndrnent - $10397
The above numbered Grant is hereby modified as follows
1 Anotmt obligated prior to this rurendment 2 Amount obligated by this amendment 3 Total obligated anount (1 amp 2)
Delete the amJmt $465000 and substitute in lieu thereof the ammnt I$47S 39-7 ~
FUNDS AVAIrABm
~~ - APR 13 1981
PrO~A~~5iors
$465000 $ 10397 $475397
OffiCE Of fIN~(1 ~~rE~E~T __ _ 10 This amendment 11 entered into puruant to the authority of the Forelgn
Assistance Act of lS~l as amended Except aft hereln provided all terms and ~~ndi~ons nf the grant rcferpnccd in Block 13 remain unchsnged and in full force and ~ffcct
11 original and six Crantee 18 requlred to aign thh document aad return 1- eopics to issuing
ffiee
~~~ or printed) BUSINESS MAHAGR amp bull
Tille TREASURER
UNITpound) STATES OF AHERICA AGENCY FOR INTERNATIONAL DEVELO~NT
BY_-1(1o-_1lt--= 13middot~_1_~ __ K R B1uteau
(Name typed or printed)
Tltle~ ____ G_r_a_n_t __ O_f_f1_c_e_r ____________ __
D3tC APR 2 J 7997 Dolt 9 APq 1981
BEST AVAILABLE DOCUM NT ___ 0 HLGlNAL - I 1 J 1 ~ )
- 2 -
AID ftmds in the am)tmt of $10397 are hereby provided for the activities lmich are described in your proposal (including Budget Stnmnary) entitled CDnference to Report Research Findings on the Study of Political CDnditions for Effective Small-Scale Rural Assistance Projects in Kenya Korea and Turkey dated February 17 1981 and made a part of the Grant b reference
BtTDGET StMMARY
Line Item
Travel
Per Diem
Other Direct Costs
Less existing 211 (d) grant funds
Total Amount Obligated by this Amendment
Estimated Costs
$ 5888
5100
_ 2500 $13488
_ 3091
$lO39
Note Indirect costs or $395086 associated with these activities will be contributed by the University of Iowa
BEST AVAILABLE DOCUMENT
~RIGINAL
- CONTRACT IGRANTCOOPERA rIVE AGRElEMI~ SERC~SDSlP Actio) Monitor
SERCMSDSUP Action Office
I
INSTRUCTIONS AJDW - Complete 4 copit of tlh fonnmiddot Orisina iCMSDfSUP Sutistical Section COP)middot Copy 2 SERCMSDjSVP Administrative CoP Copy 3 Cont-acting Officers COP) Copy 4middot SOSUP Admin (Susptnse) Copy Missionsmiddot Complete 2 copies of the form or~aI SERCtSDSUP Statistical Section Copy and Copy = wiU~ retained in the Missions
0 PART IA
Effective Date of Document tJ
Delivery Order (Requirements)middot
o 4 Purcluse Order
bull If I 2 or 3 have an bull X compl~te M I 2 ON L Y
M04 - CONTRACTGRANT TYPE
o O MOA (BOA BMA etc)
o 1 Fixed Price (Specify FFP FPRD FPEP FPI) ___ _
o 2 COli Reimbursement (S~cifY CR CPFF CS CPAF CPIF) ______ _
o 3 Cooperative Agreement
o 4 Grantmiddot General Support
o S Grantmiddot Specifi Support
o 6 GraDt 21 led)middot
o 7 Do Not Use
o amp IQCs
o 9 Host Country ContractGrant
middotComplete ONLY through M 5 1
MOS SELECTION PROCEDURES
o A Formally advertised (IFB)(AJDPR 7middot24 amp
FPR 124)
o B Negotiated Prire Competition General
Procedure (RFP) (AIDPR 7456)
o Co A amp E (AlDPR 4 I 0)
o D Ed Ins andor Intl ReStalch (UDPR
7457)
o E Collaborative ASSistance (AIDPR 7458)
o F Predominant Capability (AIDPR
7-310l-50o)(3)
AID 142049 (1-79)middot Page J
o H Procurement Co be Performed b~ the Conshy
tra~tor in Person (AlDPR
7middot3t OI-SO(b)(Iraquo
o I Sole 5gturce (AIDPR 7middot3101middotSO(b)(4raquo
o J Impairment of Foreign Policy Objecdv~
(AIDPR 7middot310 ImiddotSO(b)(7raquo
o K 8(a) Selection (FPR 1middot1713-t)
o L Grant (Handbook J 3)
o M Do Not Vse
o N Cooperative Agreement (Handbook 13)
o O Small Business SetmiddotAside (FPR 11706-8)
o P Overseas Procuring Activities (AIDPR
7middot3101middotSO(b)(2raquo
M06middot TYPE SER VICE
o A TtJining of Participants
o B Technical Assistmce (Program Project
related exc~pt A amp E Services)
J C A amp E Services
0 D COltl~ruction
0 E Research
0 F Technical Services to AID (other than trainmiddot
ing usuaU Y operating ex pense)
0 G Training Service few AID
0 H Equipment Mat~rials Supplie~ Commodities
0 I Translation Service
07middot TYPE CONTRACTORGR TEE
Firmmiddot All profitmiddotmaking fu-r1s (other than
AampE)
o 9 amp E Firms
I Prcct NumbcT
I
Contactors D-U-N-S Numbcr
I) -S--f(j
o C Individual 0-lon-~rsora1 service)
o D Individual (Pet-sonal Service)
o E University lOt her EduCltionaJ Institutions
o F Non-Profit Organization Institutions (other
than Ed or PVO)
o G Private Voiuntary Organization (PVO)
o H International AgricultwaJ Research Organmiddot zation
o I Public International Organizadon~ (UN
Agencies ICRC ewld B3J1k etc)
(HB J 3 Chapter 5)
M08middot TYPE AWARD
o A SB SeImiddotAsidemiddot Awarded to Non-Minority
o B SB SetmiddotAside bull Awarded to Minority
o C SB Not SetmiddotAside - Awarded to Non-Minoril)i
o D SB Not SetmiddotAside - Awarded to Minority
o E ~a) SBA Awarded to Non-Minewity (Womeli
Owned Veterans etc)
o F 8(a) SBA w-rded 1o Minority
o G Personal Service Contractmiddot Non-Minority
o ~ Personal Service Contnct - Minority
o I Individual Non-Personal Sence Contractmiddot
NonmiddotMinority
o J Individual Non-Personal Service Contractmiddot
Minority
o K Not Small Business (Univ Non-Profit L1lge
Firms) --vn-Minority
o L Not Small BUSiness (Univ NonmiddotProfit Large
Firms) ~inoriy
o M VS Government
(Continued on Pcge 2i
t bull - t ~ J f q
ORIGINAL bull MODIFICATION OF GRANT
1 2 Effective Date
Araendllent Ro 4 12-2-80
s CRANTEE CHace and Addrels) Professor Ger1ard Lo~middot enbelg Comparative Legislative Research Deartment of Political Science The Lnivp-rsity of Iowa Iowa City Io~a 52240
7 PIO No NI A
Appropriation No 72-11XHl26
Center
Allotment Symbol -426-30-099-00-3~-71 Amount obligated by this urendment-O- I
3 Gnnt No
AIDcsd-3294
PAGE _____ 1 _of-L
AlI 4 Effective Date
8-11-71
~ Admlnlltered by -Office of Contract Management Central Operations Division OTR Branch Agency for International Development Washington DC 20523
8 Previous PIOITs -
931-11-995-136 930-11-995-136-73-3078103
9 The above numbered Grant is hereby modified as follows
Supplement to Grant
Change the duration period sentence to read
The Duration Period for this Grant shall be August 11 1971 through December 31 198]
1 Amount obligated prior to this amendment $465000 2 A~unt obligated by this amendment -0-3 Total obligated amount (1amp2) $465000
----------------_- - ------- ----_- ------ 10 Thh lImcndmcnt is entered inlo punuant to the authority of the Foreign
~ Assistance Act of 1961 86 amended Except a~ h~reln Z II provided all terms and condi tions nf the grant referenced in Block 3 remain ~~aunchlinged and In fu1l force and effNt cnltUI cJ)za 11 o 4 J bull
Et~ ai~a gtUoItshyc Z P=u
original and six Grantee t requi red to sign this document and return 1- eopies to 1Bufng
office
~ 12 GRANTEE TES OF AMERI CA
(Name typed or printed) bull
TJlle Director Comparative Legislative liecearell CeQtoQl
Date 12880
------------------------------------
ONAL DEVELOPMENT
By ----~--~~~~---------------------
prinled)
Grant Officer Title --------------------------------
J)oll( 12-2-80 -----------------------------
BEST AVAILBLE DOCUMENT i je
211(d) Grant Program
Proposal of the University of Iowa
POLITICAL CONDITIO~S FOR EFFECTIVE SMALL-SCALE
RURAL ASSISTA~CE PROJECTS
Submitt~Ci to
Civic Participation Division AID
May 6 1977
Amount requeste~ $ 199987
BEST AVAILABLE DOCUMENT
I TdE DEVEIOP~T PROBr~
P~litical Conditions for Rural Development
The Cocparative Legislative R~search Center of the University of
Iowa proposes to ~~dartake a two-year study to investigate the role of local
leaders and the rural public in theimplecentation of small-scale develop~ent
1 projects in less developed countries The study will use and extend the
capacity ~hich the University of Iowa developed under a 211(d) grant to
investigate and assess the impact of loeal politics on rural development
~t the co~pletion of the s~ Iowa will be in aposition to advise the
Agency on the design ~nd evaluation of s~ll-scale projects which will be
politically viabe a~d effective in ass~sting the rural poor ~
As students of development w~ approach our task with the assumption
that the proble~ of development and underdevelopment are funda~entally
ones of political econooy and a~ such can only be solved through a
simultaneous considerationof economic and political factors Efforts
which foc~s aloost solely on economic factors like those of ma~y
organizations engzed in dipersing foreign aid or efforts which focus
almost exclasively on political factors fail to take account of the
interdependence between these two dimensions of underdevelopment and
lwe have for~ulated this proposal in a canner consistent witr the cu~rent policies ard interests of the Agency We have been guided in our tsk by four Age~cy doc~e~ts Impleo~~tation of New Directions in Developnent Assista~c~~~ ~eport to the COmlittee on International Relations on Ilupleoenshytatiun of Legislative Refo~ in the Foreign Assistance Act of 1973 (July 1975) rItevis~d Projec Developiel Review and Approval Systeo (A I DL Circular A-21 Aril 23 1975) SH Butterfield Draft SUIilZ3ry StateUlent of a Practical Agelcy Approach c aural Devalopilelt (AATA February 28 1975) Cicci A Coce~ual Oie=viamiddot middot Rural Development No1 (lWorilting GOU O~ tha Rural Poor February 1975)
- l -
can meec with only l~ted success
Our concern with the i=pact of local politics on the process of
rural developcent is a result of our interest in the basic question of
how LDC governm~nts and the donor agencies which assist them can
become core effective in raising the standard of living of the rural
poor We seek answers to the following aspects of that basic question
1) What political conditions must exist both within rural communities
and between theo and central gove~ents to raise agricultural production
w~ere small-scale agriculture is the do~nant pattern 2) Vnat are the
political conditions for a core rapid expansion of the informal manufacturing
and service sector cocprised of labor intensive small-scale industries
located in the rural ar s 3) What political structures and activities
are mase crucial for the provision of welfare and econocic supporc services--
such as agricultural exeension mar~eting and transportation--to the rural
areas1 4) ~~at Folitical conditions oust exist to insure that economic
growth in the rural areas is not accowpanied by excessive and intolerable
inequalities between socio-economic classes andor between regions1
Center-Periphery Linkage in LDCs
To deter~ne the political conditions for rural development we have
in previo~s s~udies exacined the institutions and processes through which
rural populaticns are integrated i1to the national politi-cal systetlS of
middot~he countries in which they live A gap exis~s in most less developed
countries bet~een the peasantry residing on the periphery and the c~~tral
political ~stiutions staffe1 by ~~estern-educated bureaucratic elite
We are aware of the other major ~sti~utional discontinuities which comprise
J
4 middot~~1 the basic cleavage between the developed and underdewmiddoteloped sectors of
these dual societies Bridging these gaps is essential if these so~ieties ~ are to develop into viable nation states For until those Q~ the periphery
of the poli~ical syste~ participate in that system and support and comply
with the authority of central political institutions neither economic
development in ~he rural areas nor a stable polity will emerge
Bridging the discontinuities in these new political systems requires
establishing and institutionalizin3middot1inkages or networks for co~unication
and exchange of resources between decision-makers at the center and the
rural public on the periphery Three types of institutional linkages are
most prominent in less developed countries 1) those conSisting of the
state administration composed of the bureaucratice1ite 2) those consisting
of a revolutioncry political party cocposed of the ideological elite
3) and those conSisting of patron-client hierarchies composed of the political
entrepreneurial elite
Of these three linkages consisting of the state administration are
the cst extensive and pervasive in virtua~ly every LOC Such linkages
however exist primarily a~ instruwents of the center to penetrate the
periphery Central government officials are formally charged with bringing
develo~ent to the people This is a ~issi~n which conceives development
as a process ~hrough which a traditional peasantry is transformed and
assimilated iJro the DOdern center which is steadily expanding to embrace
it Agents of the center invariably have more resources to achieve their
objectives than do local political leaders but because they are frequently
strangers~ the communities in which they function they are often unable
- It -
co implement the policies of the center without working through the
local establis~ent
Though somctices significant linkages consist~g of revolutionary
party organizati~ns such as those found in China and Vietnam do not exist -
in most IDCs beca1Se of the special historical and e~omic conditions
required for their development As wi~h the administrative state however
the linkaampe apparatus of such political patties is prUlarily an instrument
of the center whose mission is to penetrate and mobilize those onthe
periphery
In contrast patron-client hierarchies are linkages which represent
the periphery at the center and mediate betwee~ these two disparate
sectors of the political systec Thcugh norcallymiddotovershadowed in scale
by the state administration patron-client hierarchies are found in almost
~very LDC a~d constitute the ~st significant network through which rural i
populations and their leaders influence the decision-~king process at
the center Patron-client hierarchies exist in a wide variety of org~iza-
tional fores ranging from info~ ~ec~~rks of individual olitical leaders
in uno-partyll systelS in S~b-SaharaI4 Africa to extensive political machines
in both one-p~rty (Africa Mexico) and ~u1ti-party systems (Turkey India)
Despite their importance as the pricary means through which peasants in
LDCs particiate in their political systems patron-client hi~rarchies
have only recently become an object of analysis by students of political
developent and do not appear in even the most sophisticated studies of
2 See Jo~ Dunca owell Peasant Socie~y and Clientelist Politics Aerican Politi~ Scielce Revietol 64 (June 1970) pp 411-25 Rene Lemarchand anc_ Keith Legg olitical ClienteliSJ and Ethnicity in Tropical Africa Aierican Political Sc~ecce ReView 66 (Y~rch 1972) pp 68-90 James C Scott PatronshyClient Politics a~d Political Change II 1tlerican Political Science Revie~ 66 (~arch 1972) p 91-113 and Friends Followers and Factiols bull edited by Steffan Sc~~d and James C Scott (Berkeley UniverSity of California Press 1977) bull
- 5 -
3 economic development Ad~niscrators of developmental assistance progracs
have too often regarded patron-clienc hierarchies as ~ped~ents to
develop~ent instead of recognizing cheir potential utility bull
~ Findings on Patron-Client Hierar~hies --
The importance of pat~on-clienc hierarchies for linking the periphery
to the center is one of the major findings ~erging from a study of the
relationships betueen l~gislators an~ their constituents in Kenya Korea
and Turkey ~hich the Cowparative Legislative Research Centpr is nov
comleting uader its 21l(d) grant from AID This study has av~mined the
creation of linkages between the periphery and the center through ~ore
than lO~OOO interviews with members of parl~ent local leaders and
peasants in t~e three countries The findings are being systewatically
set out in a book-length monograph Nearly a dozen research reports have -
uready appeared (see Appendix C) ipropositions about the nature of
political behavior of rural populations an~ the roles of local political
elites de=ived from the research~ can be s~rized as follows
1 Elected representa~ives play a significant role in the creation and mainte~ance of linkages be~een the center and periphery by developing local political achines in which they function as patrons of their constituents In turn thay s~rve as clients of political leaders of national stature who control central government institutions
2 By atte~pting to establish linkages based on patron-client relatio~shi~s elect~d representatives are responding to public expectations chat their prizary duy is to obtain resources from the center to proffiote local develop~ent ~iany elected repLesentatives spend most of their time on self-help co==unity development projects such 3S the building of schools health clinics irrigation works arid roads because such projects provide
3For exa~le ~ a widely respec~ed a~d useful analysis of rural deve16p~ent in Sub-Sahara~ Africa L~ Lele of the World Bank notes the problems of creating an adoini5~raive infrastructure in the rural areas that is sensitive to local socio-oliical conditions She does not however consider how local leaders operating o~tside of adcinistrative structures ~ night contribute to the developne~t 0 the rural areas See ~~ Lele ~ Design ~ Rural Develop~ent Lessons ~ Africa (Balt~re The Johns HopkiD~ Uciversity Press 1975) r) pp 127-61 i ~
- 6 -
their const~tuents with desired se~ices ~~d a= the sa~e time provide the reresentatives with an orgacization Yhicn can be used as a political base
3 l-tore than 90 perCel1t of the rural population is capable of articulating the p~oblems facing their local co~~ity and two-thirds discuss th~e proble~ w~th their fellow citizens on a regular basis
4 Three-q~rters of the residents of the rural areas can identify the public ofpoundici~s who serve thec--both civil servants and elected represcrtatives--by na~e Most are knowledgeable about the activities of these officials Alcost one-fifth coreover have discussed co~~~ity probl~ ~ith these officials particularly those working at the grassshyroots level Residents of rural villages actually have a higher level of political knowledge than their counterparts in the towns
5 Elections in the rural areas evoke a highly rational attern of voti~g despite the effects of ascriptive or traditional co~siderations Inc~ens are pri~rily evaluated in terms of their record in fulfilling the public r S elpectations of what they should do Elections are essentially referenda on inc~entsr perfo~ce especially their perforwance in the area of constituency servi~es such as bringing development projects to the districts bull
6 Local developcent projects have a relatively high s~olic value generating conscitutency support for local leaders and the central government at low cost
7 These projects help huild a local political infra-structure which can also be utilizec by central govern~nt civil servants to implement other policies designed to achieve rural develop~ent bull
The Icpac~ of Local Politics on Rural Projects
Having explored the developtent of linkages through which the periphery
is represented at che ~enter and through which the periphe~ attemp~s to
share in the ceners resources we now propose to build upon our initial
investigations by e~ing in greater detail the impact of local political
conditions on specific problecs of rural develop~ent We propose to
exacine the develop~ental activities of local leaders ~nd the rural public
by eX2~Ding a saple ot fifteen to twenty smalL~scale developwent projects
in each of ~he three countries which constituted the sites for our initial
8ESI AVAILABLE DOCUMENT 1 ~ - of
- 7 -
study of center-perhiphary relations The appropriateaess of this approach
and the ~ethodology through which it will be ip~emented is discussed in
section II Because the ~ethodology of investigation is in large part
the result of our previous research experience we fizst turn to a revieW
of the existinQ __ ~petence of the Comparative Legislative Research Center
in this area
II GRAXTEES EXISTIXG CmET~CE
In 1971 the University of Iowa received a 211(d) grant to develop
its capacity to do research on the role of elected represent~tives in
the process of modernization On the b~sis of this grant the University
established a research center which planned and carried out a research
project on the role of elected reres~~tatives as links between the central
gove~ent and rural populations in K~ya Korea and Turkey The project -i
served to develop t~e University of Iowas research capability in this
field esa~lished ties between the University and scholars in the bost
countries and generated a large and uniqu~ body of relevant data
In that project we fo~ussed our attention on tbe activities of elected
representatives in their constituencies notably in their contacts with
local political leaders voters and civil servants To determine tbe
nature of the linkage function performed by tbe representatives we
designed our research to explore the subject from three perspectives
1) we eXaojned ~~a ~ubject at tbe grass roots by conducting a series of
sample surveys of 200 to 300 adults in each of 12 to 14 parliamentary
constituencies in each cf th~6three countries 2) we examined the subject
at the center by intervie -ing MIls from the constituencies in which we
had conducted S3mple surveys ~nd higher civil servants with whom they
had contact and 3) ~e ex~~ined the subject from an inter-~diate level
by identifying aud ~terviewing local social and political leaders in
the MPs constituencies We used survey research methods because we
were embarking on the study of an entir~ly new subject for which little
relevant docu=e~tary data existed and on which there were few secondary
sources As a result ~e have unparalleled experience with survey
research in the rural areas of less develo~ed countries
The surveys which constituted the cajor part of our field work were
planned in collaboration ~~th scholars from the host countries They were
carried out in each constituency by student interviewers in the appropriate
language ~re than 10000 respo~dents were inteDViewed for the project
Given the visibility and sensitivity of this undertaking approval for
the research was sought and obtained from the host governments prior to -i
the collec~ion of data ~o objections were raised by these governments
at any stage of the research The data obtained have been made available
to scholars i~ the host co~cries and some of the basic findings have
been published in periodicdis in these countries
The Comarative Legislative Research Center ~hich ad~nistered the
project has aisO developed extensive experience in the study of political
leadership in other countries It h3s obta~ed substantial support from
the Fo~d Foundacion and the Rockeeller Foundation has worked in
collaboration ~~h European as ~ell as Asian and African scholars and
is engaged in a ajor study of the role of elected and non-elected leaders
in the oanag~~t o~~ocial conflict Because it has conGucted research
in a variey of setlngs the Center has an ~ceptional capacity to
- 9 -
determine how the relationships be~een political institutions and
economic p=oble75 differ in develoPed and less developed countries
In the course of the major research projects the Center has administered
it has gained highly specializpd ~p-i ce iI identifying 1Olitical leaders
in a great variety of settings conducting systematic interviews with
them collaborating with scholars in the host countries and in coding
and utilizing large files of data to answer specific research questions
The Center has ~lso undertaken to publish the results of its research
in three fores It issues codebooks to the data enabling scholrrs at
other locations to use the data expeditiously i~ publishes research reports - in the form of Occasional Papers and it publishes a scholarly periodical
devoted to the presentation of research findi~gs to an inteIT~tional
audience
The Center utilizes the data ~ysis facilities of the Laboratory
for Political Research of the University of Iowa and drawS on the unusual
n~er of secialists in comparamptive politics and survey research in
~~e Lniversitys Departmen of Political S~ience The Center itself I
has the services of an administrative secretary and a clerk-typist
~intains its~o~cn extensive archives and its o~~ publications program
It is e~uipped to assist scholars and government officials outside the
t~iversity of Io~a The participants in its p~ojects are full-tioe
faculty ~e=bers ~hose undergraduate and graduate teaching is closely
related to their research As part of the teaching program the Center
has attracted students from the countries in which the research projects
have been conducted these students have participated in the projects
bull J
have obtained training in other fields of political science have received
University of Iowa degrees~ and have ret~rned to teach and to do research
in their own countries
III PURPOSE OBJECTIVES AID METHODS
Purpose of Study
The purpose of the proposed grant is to extend the capacity of the
University of Iowa to determine the political conditions in the rural
areas of less developed countries which favor the establis~ent and growth
of small-scale developoent projects ~e objective is to put the University
of Iowa in a position to assist the Agency in designing small-scale rural
developent projects providing guidelines for carrying out social soundness
analyses of such projects and adviSing in the evaluation of projects
We will discuss the utilization of~t~e Universitys capacity in detail in
section IV below
We propose to concentrate our investigations on the political conditions
surrounding s~l-scale ru~al projects Such projects have distinctive
advantages They waximize the political participation of the rural populations
both in det~~-ining the direction ~d implementation of develop~ent efforts
and in defending the interests of periphery vis-~-vis the urban-based
bureaucratic elite S~ll-scale projects stimulate entrereneurial activity
on the part of the rural citizens and growth of the info~l canufacturing
and service sector Tbey require less lead tice and less administrative
c~erhead to ~eco~e operational than large-scale capital-intensive projects
centrally administered Such projects yield rapid and direct benefits to
1
j
the rural
- 11 b - ~~1
populations and are consistentwith their hUIlaD rights--both
political and economic However~ small-s~le projects pose s~ecial probl~s for administratcrs of developceocll assistance progracs because
they require the donor co assess the local olitics particularl the
rural politics of t~e host country
Develop~c adoinistrators pr~rily conc~rned with assisting rural
populations must therefore recognize the range of political variables
affectL~g these projects Small-scale projects offer great opportuoities
for develop~ental assistance progr~ because they can be easily targeted
to help rural populacions require low capital costs and need no be
concentrated in one or two localities Such projects ho~ever~ ~equire
the a~istrator to have ~re political kno~lecge than large-scale
projects Oil which his priJlary tas~ is guiding the work of other experts
Questions for ~Investigation
To detercine the politi~al cc~diicilS ~st conducive to ~he establ~~ent
and gro~h of scalI-scale rural projects ~e propose to address our inquiry
to the following specific questions
1 To what extent and why co local political leaders seek to establish s~~l-scale develop~ent projects within their co~unities
2 To what extent and ~~y do local leaders other than politicians initiate andor provide leadership for s=all-scale developm~t projects
3 Bot do the relations bet~Jeel different types of local leaders (political and non-political) and bet~eeo these leaders and central gove~ent civil servants posted to the rural areas affect the conduct of develop=ent projects
4 How do existing authority ~eLationships between these different leadership grous and the rural pub~ic affect the organization and operation of s~l-scale develop~ent projects
- 12 -
~
5 lhlt is the nature 0 pclgtlic participation in the establishlent and operatio~ of s~l-sclle projects and ~hat are the outcc=es or this participatioe Gucer w~at conditions is such participation ~ost likely to occur
We seek a~swe=s to t~cse questio s L order to determine the effect of
different co~iigurations of local leadership and public participation on the
outcomes or small-scale rural projects te are particular1y concerned with
the ~pact of these configurations on the rate of econocic growth and the
distribution o~ rIGSlth ithin the loal cOlllUlity ~ on the perce~tions of
s~ll-scale proj~cts by central govern~ent per~oncel and the rural public
anmiddot on the organiation or flture projects
To a~swer these que~tions it is oar intention to study the initia~ioD
izJple=enation ald i1lpact of a salple cpound small-scale rural projects in
Kanya Korea and Turley in the sae cOllities in which we carried OU
our initial icvestigations ~ 1973-75 Tne relationships between the -
various conf~gurations of local leadership and public participation and
the three phases of project develop~ant are sho~ in Figure 1 We will
exa=ine projects to pro~ote the adoption of new agricultural techniques
by s~l and moderate landnolders the building of feeder roads irrigation
ditches and other s~ple infrastructure the organization of fa~ers
cooperatives and other local associations concerned with rural development
the establish=ent of rural health clinicS and schools and the setting up
of craft and service industries
Sites for Study
We plan to return to our original set of localities because we possess
a rich body of relevant data on the extent to which linkages exist between
Figure 1
TYPES OF LFLUEXCE OF C2r~ middotGOVER1iEXT OFFCIALS
LoCu LEADERS 0 THE RURAL PUBLI-C OX THRr~
PHASES OF RURAL igtEVELOPHET PROJECTS
r----------~J C~ltral Gover1~nt Official)-N------- - J
r- Local pOlitical leaders
Local non-political leaders
~l 1---- -
ROJECT nITL~TIOS
Influ~ce on selection of projects
InrI ~elce on location of projects
Influence on policy guidelines for proj eCl
Il
I
a
I I
-I PROJECT I~L~~iATIO~ ~ 1
j Project Organizati I Selection of project
leadership
Hobilization of resources
Mobilizatiol of public compliance with project require=elts
Diffusion of project innovation
Rural Public
I
BEST AVAILABLE nOCUMENT
1 ROJECT IMPACT
Organization of ongoi=g project operation
Distribution of project benefits
Evaluation of project
Public attitudes toward project
-middot14 -
these areas and t~c central p~litical institutions of the three co~tries
and on the attit~es of the rural populacioc local leaders and elected
legislators regardi~g their problecs of develop~~c Since such data
is unavailable for alternative locales a return to the areas in which
we have previously done much research ~ables us to build on a uniquely
valuable body of icformation
A return to Kenya Korea and Turkey is also highly desirable from
the standpoint of effective research organization The Comparative
Legislative Research ~enter has developed close collaborative relationships
with several highly competent social scientists in these countries and
with the academic institutions with which these scholars are associated
We have also dev~_oped cooperative relatio~ships wi~ gove~ent officials
in these countries which should facilicate obtaining approval for our
further work
In proposing to doc~ent the origin i~pl~entation and impact of
one to three s~ll-scale develop=ent projects in each of 35 localities
we have two considerations in mind Firstmiddot because our pr~ry goal is
to deter~e the political conditions for rural developm~Lt we wish to
examine develQ~=ent in as many different settings as feasible Only in
this way can we control for so=e of the major socio-cultural variations
that erist along rural populations in less developed coultries These
include the overall level of econo~c development in the co~unity the
nature of t~e ~digenous culture an~ relationships of authority and the
pro~ty of the comounity to major urban areas and centers of central
gove~nt ad=inistration ~ce our original study sites were carefully
BEST AVAILABLE DOCUMENf
- 15 - ~ ~1
selected to represent these variations ye have concluded that these
35 localities woule be ideal sites for the propose~project Second~ in order to dete~~~ the ~pact of local leaders and public
participation o~ ~ural projects we intend to compare projects 1n which
local leaders and ~ecbers of the public have played a major ~ole with
projects in which they have not We also ~l cospare projects initiated
by the central gover~ent with projects Yhich have been locally initiated
These considerations give us a typology for selecting projects as depicted
in Figure 2
Figure 2 ~
FIVE TYPES OF RU~AL PROJCTS ACCORDIXG TO ~FLUEXCE OF CEITiW
GOVE~1E~T LOCAL LEADE~ AD RLRAL POULATIO~
Level of Participation by Rural Population
Locus of Project Initiation ~
Local Co=unity Central Governoent
BIGd
LOt
1 Projects initiated by local leaders and providing for participation of the rural ~opulation
4 Proje~ts Litiated by local leaders bu~ not involving participation of the rural population
2 Projects initiated by the Central Govern~ent and administered i~ cooperation with local leaders a~d the rural population
3 Projects initiated by the Central Govemlent and providing =or the participation of the rural population but by-passing local leaders
5 Projects initiated by the Central Gover~e~t a~d administered in cooeration Yith local leaders but not involvi~g parti~ipation of rural population
- 16 -
We recognize that the socio-cultural setting of rural develoment
projects varies significantly within and across less developed countries bull
By focussing o~ a representative sa=ple of localities ~ Ke~ya~ Korea
and Turkey we can take account of naoy~ though not all of these variations
While some of our substantive findings will not be directly generalizable
beyond the countries in which we propose to conduct our study we expect
that our basic ~ethods and fLdLgs will be applicable to national and
sub-national settings elsewhere in the developing world This is partly
d~e to the fact that the hierarchy of patron-client relations ~hich we
regard as a critical factor in rural develo~~t exists in ~ost Liles
--It is also due to the fact that the methodology for identifying local
bull leadership configurations auG poundor studying local politics which we are
perfe~ting can be used to assess local political co~ditions in a large
variety of countries even when the ~nditions themselves differ significantly
Methods of Investigation
The data needed to assess the iDpact of local leaders and mass
participaticn on rural dev~lop~nt fall into two categories Some a~e
contained among the data gathered for the research project we are currently
completing Others will require additional field research
The following data are already in hand
1 Data on the social landscape of each loc~l co~nity i~cluding aggregate data o~ level of econonic development de~graphic characteristics political pa=ticiation eth~ic loyalities and rates of socio-econocic change dur~g the past decade bull
2 Identity of local leaders including both political and I-on-political leaders and both legislators and other politicians
3 Perceptions of existiag probl~ and their possible solution a~ng
l)tS r AVAilABLE DOCUMENT
- 17 -
general public local leaders and civil serv~nts
4 Level of political kno~ledge among local citizens and local political leacers
5 Political and social values a~ong local ci~izecs and local political leaders
6 E~~ectacions of leadership roles among the local public and elected and non-elected leaders
7 Patterns of co~unication ~ong local leaders and between local leaders and the central gove~e~t
These data ~hich ~e already have in hand can be subjected to analyses
which ~~ll provida the foundation for our further work on rural develop~ent
projects A part of our work therefore will consist of fu~ther analyses
of existing data
New data of the following kinds are also required
1 Doc~entary data on the origin and evolution of particular smallshyscale develop~cnt projects in the rural areas
-2 Data on project costs boih ~itial invest=ent and recurring
operating costs and data on project ou~puts ie pupils in schools Ddles of road coopleted nl~ber of hospital a~ssions production of factory agricultural productivity
3 Data on project organizatio~ n~~r of local inha~itants participating in establis~~ent of projectt nuober of local L~habitants subsequently involved in project
4 Data-on the pe-cetion of projects by local leaders emers of the local public a~d by civil servants data on the perception of how each project ~as initiatec organized who benefitted and what its future implicatio~s are
These types of data will requ~re field work involv~~g both docucentary research
at the relevant ~istries of the central government and in local goverr~nt
authoritieS and inforoal open-ended interviews with local political leaders
elected representatives and other local leaders who~ we had previously ~
interviewed in a s=uctured syste=atic =aoner
BEST AVAILABLE DOCUMENT
- 18 -
Grant Organizatio~ and T~etable
We propose co undertake the research outlLled above beginning in the
fall se=ester 1977 Dur~g that te~ Professors Barkan and Kim as
principal investio~tors for the neo1 proj ect will contact their collaborators
in the host co~~tries They ~~ll also seek the collaboration of an additional
~rican scholar specializing in rural development with the aic of getting
additional advice on sources of data and suitable indicators for the
~easure=~~t of rural develop~ent projects
At the end of the fall seQester Professors Barkan and Kim will make
a trip to their research sites to disc~s details of the research organization
with their collaborators in the host countries and to recruit student
assistants Tney will devote the spring te~ 1978 to further analysis
of a~sting data at the University of Iowa
The gathering of additional dita L~ the field will begin in the s~er
of 1978 Professors Barkan and Kio will direct this work personally We
eAect that its coopletion ~~ll require three to six months This work ~1
involve the evaluation of central and local gove~ent reports on the
projects uncer investigation extensive on-site observations of the projects
and oen-e~ded interviews with the principal participants Our principal
respondents ~i1l be the local leaders and elected representatives we
have previously identified in the localities in which we have worked and
a sacple of active participants in the particular dpvelopment projects
being studied ~~ere necessary and apropriate surveys of the general
public will be uncertaken to assess the inpact of a given project on the
rural por)r We do not however leed 0 conduct systeAlatic sample surveys
BEST AVAILABLE DOCUMENT
- lY -
of the rur~l population as We did in 1974
In the organization of this research project we intend to reconstruct
the rese~rch tea=s ~e e=ployed during 1973-75 We shall again seek the
co11abo=~tion of P~ofessor Sc~~S-7o~g Pai of Seoul National University ~
Professor IIiCr Turan of the University of Istanbul and Professor John J
Ok~u of the U~iversity of ~arto~ S~ilarly w~ contemplate directing
the field research fro~ he same acade~ic research organizations we previously
used Seoul National U~ive~sity th~ ~~iversity of Istanbul and the
Insti~ute for Develop~eut S~udies University of Nairobi As before we
will tra~ students f~oo these institutions to serve as interviewers
The analysis of the open-ended intervie~s and of docUQentatio~ on
I ~ural develop=e~t projects will be a ~ore t~e-co~s~g process than the
analysis of closed intervie~s It will reqrire a high cotnittl~t of time
fron the principal investigators )e e--pec to hold a conference at the i
U~iversi~y of Iowa 3lO1g all the principal )clticipa~ts in the resea~ch
project d~=~g t~e spr~g 1979 to evalua~~ the newly collected data
le e~ pect to be able to vr-ite reports of t~ results during the Sl1~er 1979
(see Figre 3)
IV LlX-GS ~1) U~ILIZATIO~
At the e~d of the grant period the Uti ersity of Iowa will be able to
1) advise the Agalcy 01 the design of s~l-scale rural projects to assist
the rural poor 2) provide guidelines for social soundness analysiS of
small-scale projects for the rural areas of U)Cs 3) consult w~th the
Ag~tcy 01 the evaluatiol of rural projects ~d 4) provide LDe governments
BEST AVAILABLE DOCUMENT
)ATES
~lll
1977
~inter 1977
iprilg 1978
il mer 1978
~all
1978
ipr~ng
1979
Imiddoter 1979
University vf Iowa
Plutlning of rural develo~rent project
Barkan Kil
Alalysis of existing data
Barkan Kia
Data processing
3arkan Kin
1
I
- 4 -
Figura 3
GRAT TLfETABLE
SIT E S
Kenya Korea Turkey
Preparation of field research ural developH~lt project cOlisulta~io~ a research sites
BarkanOku=u Ki~Pai Tura~rkanKi~
Preparation of field resea-ch
Tural
Field research on rural cevelop~~t projects Bar~lOk~u Ki=Pai Turan
Co=pletion of Co=pletion of field resear~~I~ fiald researcr
Ok~u i Pai bull
f Coopletion of field research
Turan
Data analysis conference a~ong all princial i~vestigators at Un~versity of Iowa Barkan Kil Oku=u Pai Turan
Co=letiol of r~ral develop~ent
project
3arkan Kiz
BEST AVAILABLE DOCUMENT
I
- LL -
~ith speciali~cs o~ ru~al developcect ~mong their own citizens ~ho ha_
partcipatcd ~s collaborators in the Iowa projects
In the proposed project we Will test a series of hypotheses cOlcerning
the political cOllditions of rural develo=ent which run counter to CODOn
assuoptions conccrnir3 t~~ influence of rural politics on project effectiveness
As a result ~e ~dll be able to assist the Agency in designing and evaluating
such projects froe the point of V~~W 0 their political viability The
hypotheses We will test sugges~ t~at the patron-clie~t relations existing
in the local politics of zost LDCs are not necessarily i~pedients to rural
develop~ent but are aspects or the political structure which cal be used to
facilitate s~ll-scale ru=~ projects which will raise the standards of
living of _ ~ rral pomlation - As ~ result or our stuey we expect to be
able to P~-O~t the local leadership confi5~rations ~4d the relationships
between local leaders ald rural poclations ~nich are oost conducive to I
successful develcp=en efforts We believe that we will be agtle to perfect
a cat~odology for identifying the political conditions for rural develop~ent
one ~hich is transferable pound~oo the countries we have specialized in to
other LDCs
We proo~ to develop specific guidelines to assist administrators
charged with selecting evaluating and =onito~ing rural develop~ent
projects to ~szess t~esc rojects in tares of their-social and political
viability he outco~e of such projects is dete~ned not only by the
efrectiv~nass ~~=h ~hich they use scarce econo~c resources but by the
~~er L~ w=ich they e~gage the suppprt of local leaders and rural
po~ulatiocs~ by thei= effect ou social a~d econo~c equality ~d by
D[~T AvAlLA8LE DOCUMENT
- 22 -
their consequences for hwan rights ~Je plan to establish criteria by
middot~hic~ the probable outco~es of projects in these social terms can be
anticipatec
The study ~e propo e will be undertltlken by faculty at the Cniversicy
of lowe in collaboration with faculty a other ~rican institutions and
institutions in the host countries We will build on the extensive contacts
between the Co~perative Legislative Research Center of the ~niversity of
Iowa end other instituions with ~aich ~e have worked One =ajor result
of our collaborative study will be the existence of a net~ork of compe~ent
scholars both in this country and overseas experi~lced in ~orking together~
shar~g a co~on teaching and training experience i~ close contact throu~~ the
effective publications progr~ developed by the Co~parative Legislative Research
Center T~e e~~ertise of this group of individuals will be ava~lable to
oteer scholars to the Agency and ~o L~C governments for specific policy
advice The eXertise developed as a consequence of this project will
extend beyond the ~tionals of the countries ~volved since the univ~sities
engaged in ~e project attrtct stude~ts fro outside heir own countries
For ey~=ple the teaching ~d research progra in the Depar~ent of Political
Science 0 theUniversity of Istanbul heavily affected by the participation
of its facul~y ~e=bers and graduate students in our projects attracts students
throughout the ~middot1iddle East for Whom the University of Istanbul is the iajor
institution ~pound ~igher education in the region rne Institute for Developmen~
Studies is si=ilarly a focal point for students and faculty in East and
Central Africa Seoul ~atiocal Unive=sity attracts students froo other
Asia~ co~tries~ In this way the capability developed among the participant$
BEST AVAIL~BLE DOrUMENT
- ) -
in our work is diffused widely To the exte~ that the abili~y to assess
rural develop~ent p~ojects in teres of their social soundness is increased
both in the United States and in ~o~~tries r~ceiving develop=en~ assistance
the cap3~ity of racipien~ countr~es to absorb aid is ~creased
We propose to draw up an inventory of personnel available in ~~e
Cnited States and in other co~~tries who are able to consult with developen~
a~nistrators on the design of rural development projects and on their
evaluation We ~~ll draw first of ai~ on individuals w~o have been
directly associated with our ~ork in the past or on ~he proposed project
and ex~~~d the list to include graduate students and gove~ent officials
with who~ these individuals have wor~d
tole Yill utilize tha existing publication program of the Center
dercribed above to disse~inate our findings The Center has specialized
oailing lists of interested individuals and institutions in all parts of -i
the world and its reports can trerefore reach the ~st relevant audience
jirec~ly ~d re~~arly
BESl AVAIL~BLE OOCUMENT
CONTRACfjGRANTCOOPERATIVE AGREEMENT DATA SHEET
INSTRUCTIONS fjDW Complete 4 copies of the form Original SERCMSDSUP Statistical Section Copy Copy 2 SERCMSIiUP dministrative Copy opr 1 Contracting Officers COy COP) 4 SERCMSDSUP IUmin (Suspense) Copy
Missions Complde 2 copies oi the form Origin31 SERCMSDjSUF- Statistic31 Section Copy 3n~ Copy 2 Nill be ret31ned in the Missions
PART fA
ConU3lttorGranrce Name
University p~f~I~o~wa~ __ -r~ ____ ~~~~ __________ -~~ __ ~~~ ______________ ~~~~ Plorr Numt-er ApptopriJtion Number Allotment Number Project Number
930-0090-3Q13411 A5 72-111l0216 146-30-099-00-20-11 930-0090 Project Title
So~ia1 and Potitica1 Aspects of Development - Conference to Report Research Findings Amount of this Plorr I Projecl M3nagers Name and Offire Sytlbol
$10397 (increase) PDPRCP Jonatlan Silverstone Contr3ctors D-U-N-S Number
Ncgwatocs TYJlCd~3meJ j) Signature I l ~ jIf- bull G HtJ--ft u l IVmiddot
D~e
L - f - J ContractGrant Officqs typed Nailllt Signalure LJ d I -r-
plusmn t 3i-alflpta (( BLvle~ 1 I~ PARTm
ContractGranl Number
AID CSD-3294
Effeclive Date of Docum~nl Signalltre D3t~ of Documenl
Lf---C yen-~-gl tIost Courtry Institution (U iwrsity contract ONL Y)
Campus Coordinator (Uniwr ty i contract OiiL YJ
PART UL Descriplion of Cor-tractGrant P1use X ONL Y ONE item under each headiZg IF THEltrease CifYmC~e bolh ges I 30~~ O~ Nol to be completed for Amendmenl or Modlfic3lion AJigtns I III
J 710gt I I V ~ I
MOl - TYPE ACT A~ 0 G unsolicited Propsll (AIDIR 0 C Individual (Non-pe~nal senice)
~ O Cortra lGrantl ooperative Agreemenl 73101-SO(b)(6raquo 0 D Individual (ftrsonal Service)
tJl T3sk Order ( A)middot 0 H Procurement 10 be Perfocm~d by the Conmiddot 0 E UniversilyOther FAuC3lionailnSlitulions
D 2 Work Order (IQC) Ira~lor in Person (AIDPR 0 F Non-Profil Organizationlnslitutions (other
D 3 Delivety Order (Requirements) 73101middotSO(b)( Iraquo than Ed or PVO)
[j 4 Purchase Ordcr [J I Sole Source (AIOPR 7-3101-SO(b)(4)) 0 G Private Volunury Organization (PVO)
If I 2 or 3 1Lle an ~ compllle M 12 ON Y D J Imp3irmenl of Foreign Policy Objectiws 0 H International Agricultural Research Organj-
M04 - CONTRACTGRANT TYPE
o O MOA (BOA BMA etc)
o I Fixed Price (Specify fFP FPRD FPEPA FPI) _____ _
(gtIDPR 7-31 OJ SO(b)(7raquo
OK B(a)5eJection (FPR 1middot1713-1)
o L Grant iH1ndlOok 13)
o M Do Nol Ue
D 2 Cosl Reimburemenl (S~cil) CR CPFF 0 N Cooperative t~reement (Handbook 13)
CS CPAF CPIF) ~ 0 O Small Business SeImiddotAside (FPR 1middot1706-8)
o l Cooperative Agreemenl ~ 0 1 Overseas Procuring AClivilies (AIDPR
04 Grant Gener31 Supportmiddot 0U ~ 7lIOI-SC(b)(2))
o S Granl - Specific Support ~ ~06 E SER VICE
g ~ ~~t ~~(d) ~~ ~~ ~ eci~a~~~~~ogram Projeci
o amp IQCs ~ ~ relampted excepi A amp E Services)
o 9 Host Counlry ContraclGrnnt 5lJ C amp E Services
middotComplele ONLY through ~Sl ~~ 0 D Construction
M05 SELECTION PROCEDURES 0 E- Reseuch
o A Formally 3dverliscd (IFB) (A1DPR 7middot24 amp
FPR 1middot24) ~ o B Negoli3ted Price Compelilicn Gencr31
Procedure (RFP) (-JDPR 7456)
Dc A amp E (AIDPR 7410)
0 D Ed Inst andor Inl1 R~arch (-JDPR
74 5)
o E Collaboratoe Assisunce (IDPR 7458)
C F Predominant Capability (IOPR
73IOI-50(b)(l)
AID 1420-49 (179) - Page I
D F Technical Services to AID (other than trainmiddot
ing usually o~ating expense)
D G jraining SetVice for AID
o H Equipment Materi3J~ Supplies Commodities
D I Translation Service
~07middot TYPE CONTRACTORGRA-nEE
o A Firmmiddot AU profil-rn3king fUms (other than
Aamp E)
J e A amp E 8r~
zalion
o Public Inlmlational Organizations (UN
Agencies ICRC Wocld Bank elc)
(H8 J 3 Chapt~ S)
M08- TYPE AW~RD
o A S8 Sel-Aside - Awarded to Non-Minority
o B S8 Set-Asidemiddot Awarded to MinXity
o C_ S8 NOI Set-Aside - Awarded to Non-Minority
o D S8 NOI SeImiddotAsidemiddot Awarded 10 Minority
o Eo amp(a) S8A Awarded to Non-Minority (Womerl-
Owned Veterans etc)
o F 8(a) S8A Awarded 10 MinorilY
o G Personal Sen-ice ConlrdCt bull Non-Minority
o H IeJSDnal Service Conlract - MinorIty
o I Individual NonmiddotPersonal Service Contraci -
NonmiddotMinority
o J 100Jigtiduai NonmiddotPersonal Service Contracl -
Minorily
o K NOI Small Business (Univ NonmiddotProfit Large
Firms) Non-Minorily
o L- NOI Small 8usineSl (Univ Non-Profit Large
Firms) Minorily
o M US Govcrnmlnt
(Connnued on Page 2)
BEST AVLABIE DOCUMENT 1 I
--
ua ) R I GI NAL 9 bull
MODIFICATION or GRANT PAGE 1 of 2
AH 1 2 Effective Date 3 Grant No 4 Effective Date
Amend_at Ro 5 April 15 1981 AIDCSD- 3294 8-11-71
-s CRANTEE (Name and Addrea) 6 Administered by -Professor Gerhard Loewenberg -Office of Contract Management Cbrnparative Legislative Research Gente Central Operations Division Dept of Political Science am Branch University of Iowa Agency for International Developn~nt Iowa City Iowa 52240 Washington D C 20523
7 PIO No 930-0090- 3013411 A5 8 Previous PlOTa -
Appropriation No 72-11110216 93i-1l-995-l36 930-11-995-136-73-3078103
Allotment Symbol - 146-30-099-00-20-11 wunt Obliga ted by this ~ndrnent - $10397
The above numbered Grant is hereby modified as follows
1 Anotmt obligated prior to this rurendment 2 Amount obligated by this amendment 3 Total obligated anount (1 amp 2)
Delete the amJmt $465000 and substitute in lieu thereof the ammnt I$47S 39-7 ~
FUNDS AVAIrABm
~~ - APR 13 1981
PrO~A~~5iors
$465000 $ 10397 $475397
OffiCE Of fIN~(1 ~~rE~E~T __ _ 10 This amendment 11 entered into puruant to the authority of the Forelgn
Assistance Act of lS~l as amended Except aft hereln provided all terms and ~~ndi~ons nf the grant rcferpnccd in Block 13 remain unchsnged and in full force and ~ffcct
11 original and six Crantee 18 requlred to aign thh document aad return 1- eopics to issuing
ffiee
~~~ or printed) BUSINESS MAHAGR amp bull
Tille TREASURER
UNITpound) STATES OF AHERICA AGENCY FOR INTERNATIONAL DEVELO~NT
BY_-1(1o-_1lt--= 13middot~_1_~ __ K R B1uteau
(Name typed or printed)
Tltle~ ____ G_r_a_n_t __ O_f_f1_c_e_r ____________ __
D3tC APR 2 J 7997 Dolt 9 APq 1981
BEST AVAILABLE DOCUM NT ___ 0 HLGlNAL - I 1 J 1 ~ )
- 2 -
AID ftmds in the am)tmt of $10397 are hereby provided for the activities lmich are described in your proposal (including Budget Stnmnary) entitled CDnference to Report Research Findings on the Study of Political CDnditions for Effective Small-Scale Rural Assistance Projects in Kenya Korea and Turkey dated February 17 1981 and made a part of the Grant b reference
BtTDGET StMMARY
Line Item
Travel
Per Diem
Other Direct Costs
Less existing 211 (d) grant funds
Total Amount Obligated by this Amendment
Estimated Costs
$ 5888
5100
_ 2500 $13488
_ 3091
$lO39
Note Indirect costs or $395086 associated with these activities will be contributed by the University of Iowa
BEST AVAILABLE DOCUMENT
~RIGINAL
- CONTRACT IGRANTCOOPERA rIVE AGRElEMI~ SERC~SDSlP Actio) Monitor
SERCMSDSUP Action Office
I
INSTRUCTIONS AJDW - Complete 4 copit of tlh fonnmiddot Orisina iCMSDfSUP Sutistical Section COP)middot Copy 2 SERCMSDjSVP Administrative CoP Copy 3 Cont-acting Officers COP) Copy 4middot SOSUP Admin (Susptnse) Copy Missionsmiddot Complete 2 copies of the form or~aI SERCtSDSUP Statistical Section Copy and Copy = wiU~ retained in the Missions
0 PART IA
Effective Date of Document tJ
Delivery Order (Requirements)middot
o 4 Purcluse Order
bull If I 2 or 3 have an bull X compl~te M I 2 ON L Y
M04 - CONTRACTGRANT TYPE
o O MOA (BOA BMA etc)
o 1 Fixed Price (Specify FFP FPRD FPEP FPI) ___ _
o 2 COli Reimbursement (S~cifY CR CPFF CS CPAF CPIF) ______ _
o 3 Cooperative Agreement
o 4 Grantmiddot General Support
o S Grantmiddot Specifi Support
o 6 GraDt 21 led)middot
o 7 Do Not Use
o amp IQCs
o 9 Host Country ContractGrant
middotComplete ONLY through M 5 1
MOS SELECTION PROCEDURES
o A Formally advertised (IFB)(AJDPR 7middot24 amp
FPR 124)
o B Negotiated Prire Competition General
Procedure (RFP) (AIDPR 7456)
o Co A amp E (AlDPR 4 I 0)
o D Ed Ins andor Intl ReStalch (UDPR
7457)
o E Collaborative ASSistance (AIDPR 7458)
o F Predominant Capability (AIDPR
7-310l-50o)(3)
AID 142049 (1-79)middot Page J
o H Procurement Co be Performed b~ the Conshy
tra~tor in Person (AlDPR
7middot3t OI-SO(b)(Iraquo
o I Sole 5gturce (AIDPR 7middot3101middotSO(b)(4raquo
o J Impairment of Foreign Policy Objecdv~
(AIDPR 7middot310 ImiddotSO(b)(7raquo
o K 8(a) Selection (FPR 1middot1713-t)
o L Grant (Handbook J 3)
o M Do Not Vse
o N Cooperative Agreement (Handbook 13)
o O Small Business SetmiddotAside (FPR 11706-8)
o P Overseas Procuring Activities (AIDPR
7middot3101middotSO(b)(2raquo
M06middot TYPE SER VICE
o A TtJining of Participants
o B Technical Assistmce (Program Project
related exc~pt A amp E Services)
J C A amp E Services
0 D COltl~ruction
0 E Research
0 F Technical Services to AID (other than trainmiddot
ing usuaU Y operating ex pense)
0 G Training Service few AID
0 H Equipment Mat~rials Supplie~ Commodities
0 I Translation Service
07middot TYPE CONTRACTORGR TEE
Firmmiddot All profitmiddotmaking fu-r1s (other than
AampE)
o 9 amp E Firms
I Prcct NumbcT
I
Contactors D-U-N-S Numbcr
I) -S--f(j
o C Individual 0-lon-~rsora1 service)
o D Individual (Pet-sonal Service)
o E University lOt her EduCltionaJ Institutions
o F Non-Profit Organization Institutions (other
than Ed or PVO)
o G Private Voiuntary Organization (PVO)
o H International AgricultwaJ Research Organmiddot zation
o I Public International Organizadon~ (UN
Agencies ICRC ewld B3J1k etc)
(HB J 3 Chapter 5)
M08middot TYPE AWARD
o A SB SeImiddotAsidemiddot Awarded to Non-Minority
o B SB SetmiddotAside bull Awarded to Minority
o C SB Not SetmiddotAside - Awarded to Non-Minoril)i
o D SB Not SetmiddotAside - Awarded to Minority
o E ~a) SBA Awarded to Non-Minewity (Womeli
Owned Veterans etc)
o F 8(a) SBA w-rded 1o Minority
o G Personal Service Contractmiddot Non-Minority
o ~ Personal Service Contnct - Minority
o I Individual Non-Personal Sence Contractmiddot
NonmiddotMinority
o J Individual Non-Personal Service Contractmiddot
Minority
o K Not Small Business (Univ Non-Profit L1lge
Firms) --vn-Minority
o L Not Small BUSiness (Univ NonmiddotProfit Large
Firms) ~inoriy
o M VS Government
(Continued on Pcge 2i
t bull - t ~ J f q
ORIGINAL bull MODIFICATION OF GRANT
1 2 Effective Date
Araendllent Ro 4 12-2-80
s CRANTEE CHace and Addrels) Professor Ger1ard Lo~middot enbelg Comparative Legislative Research Deartment of Political Science The Lnivp-rsity of Iowa Iowa City Io~a 52240
7 PIO No NI A
Appropriation No 72-11XHl26
Center
Allotment Symbol -426-30-099-00-3~-71 Amount obligated by this urendment-O- I
3 Gnnt No
AIDcsd-3294
PAGE _____ 1 _of-L
AlI 4 Effective Date
8-11-71
~ Admlnlltered by -Office of Contract Management Central Operations Division OTR Branch Agency for International Development Washington DC 20523
8 Previous PIOITs -
931-11-995-136 930-11-995-136-73-3078103
9 The above numbered Grant is hereby modified as follows
Supplement to Grant
Change the duration period sentence to read
The Duration Period for this Grant shall be August 11 1971 through December 31 198]
1 Amount obligated prior to this amendment $465000 2 A~unt obligated by this amendment -0-3 Total obligated amount (1amp2) $465000
----------------_- - ------- ----_- ------ 10 Thh lImcndmcnt is entered inlo punuant to the authority of the Foreign
~ Assistance Act of 1961 86 amended Except a~ h~reln Z II provided all terms and condi tions nf the grant referenced in Block 3 remain ~~aunchlinged and In fu1l force and effNt cnltUI cJ)za 11 o 4 J bull
Et~ ai~a gtUoItshyc Z P=u
original and six Grantee t requi red to sign this document and return 1- eopies to 1Bufng
office
~ 12 GRANTEE TES OF AMERI CA
(Name typed or printed) bull
TJlle Director Comparative Legislative liecearell CeQtoQl
Date 12880
------------------------------------
ONAL DEVELOPMENT
By ----~--~~~~---------------------
prinled)
Grant Officer Title --------------------------------
J)oll( 12-2-80 -----------------------------
BEST AVAILBLE DOCUMENT i je
I TdE DEVEIOP~T PROBr~
P~litical Conditions for Rural Development
The Cocparative Legislative R~search Center of the University of
Iowa proposes to ~~dartake a two-year study to investigate the role of local
leaders and the rural public in theimplecentation of small-scale develop~ent
1 projects in less developed countries The study will use and extend the
capacity ~hich the University of Iowa developed under a 211(d) grant to
investigate and assess the impact of loeal politics on rural development
~t the co~pletion of the s~ Iowa will be in aposition to advise the
Agency on the design ~nd evaluation of s~ll-scale projects which will be
politically viabe a~d effective in ass~sting the rural poor ~
As students of development w~ approach our task with the assumption
that the proble~ of development and underdevelopment are funda~entally
ones of political econooy and a~ such can only be solved through a
simultaneous considerationof economic and political factors Efforts
which foc~s aloost solely on economic factors like those of ma~y
organizations engzed in dipersing foreign aid or efforts which focus
almost exclasively on political factors fail to take account of the
interdependence between these two dimensions of underdevelopment and
lwe have for~ulated this proposal in a canner consistent witr the cu~rent policies ard interests of the Agency We have been guided in our tsk by four Age~cy doc~e~ts Impleo~~tation of New Directions in Developnent Assista~c~~~ ~eport to the COmlittee on International Relations on Ilupleoenshytatiun of Legislative Refo~ in the Foreign Assistance Act of 1973 (July 1975) rItevis~d Projec Developiel Review and Approval Systeo (A I DL Circular A-21 Aril 23 1975) SH Butterfield Draft SUIilZ3ry StateUlent of a Practical Agelcy Approach c aural Devalopilelt (AATA February 28 1975) Cicci A Coce~ual Oie=viamiddot middot Rural Development No1 (lWorilting GOU O~ tha Rural Poor February 1975)
- l -
can meec with only l~ted success
Our concern with the i=pact of local politics on the process of
rural developcent is a result of our interest in the basic question of
how LDC governm~nts and the donor agencies which assist them can
become core effective in raising the standard of living of the rural
poor We seek answers to the following aspects of that basic question
1) What political conditions must exist both within rural communities
and between theo and central gove~ents to raise agricultural production
w~ere small-scale agriculture is the do~nant pattern 2) Vnat are the
political conditions for a core rapid expansion of the informal manufacturing
and service sector cocprised of labor intensive small-scale industries
located in the rural ar s 3) What political structures and activities
are mase crucial for the provision of welfare and econocic supporc services--
such as agricultural exeension mar~eting and transportation--to the rural
areas1 4) ~~at Folitical conditions oust exist to insure that economic
growth in the rural areas is not accowpanied by excessive and intolerable
inequalities between socio-economic classes andor between regions1
Center-Periphery Linkage in LDCs
To deter~ne the political conditions for rural development we have
in previo~s s~udies exacined the institutions and processes through which
rural populaticns are integrated i1to the national politi-cal systetlS of
middot~he countries in which they live A gap exis~s in most less developed
countries bet~een the peasantry residing on the periphery and the c~~tral
political ~stiutions staffe1 by ~~estern-educated bureaucratic elite
We are aware of the other major ~sti~utional discontinuities which comprise
J
4 middot~~1 the basic cleavage between the developed and underdewmiddoteloped sectors of
these dual societies Bridging these gaps is essential if these so~ieties ~ are to develop into viable nation states For until those Q~ the periphery
of the poli~ical syste~ participate in that system and support and comply
with the authority of central political institutions neither economic
development in ~he rural areas nor a stable polity will emerge
Bridging the discontinuities in these new political systems requires
establishing and institutionalizin3middot1inkages or networks for co~unication
and exchange of resources between decision-makers at the center and the
rural public on the periphery Three types of institutional linkages are
most prominent in less developed countries 1) those conSisting of the
state administration composed of the bureaucratice1ite 2) those consisting
of a revolutioncry political party cocposed of the ideological elite
3) and those conSisting of patron-client hierarchies composed of the political
entrepreneurial elite
Of these three linkages consisting of the state administration are
the cst extensive and pervasive in virtua~ly every LOC Such linkages
however exist primarily a~ instruwents of the center to penetrate the
periphery Central government officials are formally charged with bringing
develo~ent to the people This is a ~issi~n which conceives development
as a process ~hrough which a traditional peasantry is transformed and
assimilated iJro the DOdern center which is steadily expanding to embrace
it Agents of the center invariably have more resources to achieve their
objectives than do local political leaders but because they are frequently
strangers~ the communities in which they function they are often unable
- It -
co implement the policies of the center without working through the
local establis~ent
Though somctices significant linkages consist~g of revolutionary
party organizati~ns such as those found in China and Vietnam do not exist -
in most IDCs beca1Se of the special historical and e~omic conditions
required for their development As wi~h the administrative state however
the linkaampe apparatus of such political patties is prUlarily an instrument
of the center whose mission is to penetrate and mobilize those onthe
periphery
In contrast patron-client hierarchies are linkages which represent
the periphery at the center and mediate betwee~ these two disparate
sectors of the political systec Thcugh norcallymiddotovershadowed in scale
by the state administration patron-client hierarchies are found in almost
~very LDC a~d constitute the ~st significant network through which rural i
populations and their leaders influence the decision-~king process at
the center Patron-client hierarchies exist in a wide variety of org~iza-
tional fores ranging from info~ ~ec~~rks of individual olitical leaders
in uno-partyll systelS in S~b-SaharaI4 Africa to extensive political machines
in both one-p~rty (Africa Mexico) and ~u1ti-party systems (Turkey India)
Despite their importance as the pricary means through which peasants in
LDCs particiate in their political systems patron-client hi~rarchies
have only recently become an object of analysis by students of political
developent and do not appear in even the most sophisticated studies of
2 See Jo~ Dunca owell Peasant Socie~y and Clientelist Politics Aerican Politi~ Scielce Revietol 64 (June 1970) pp 411-25 Rene Lemarchand anc_ Keith Legg olitical ClienteliSJ and Ethnicity in Tropical Africa Aierican Political Sc~ecce ReView 66 (Y~rch 1972) pp 68-90 James C Scott PatronshyClient Politics a~d Political Change II 1tlerican Political Science Revie~ 66 (~arch 1972) p 91-113 and Friends Followers and Factiols bull edited by Steffan Sc~~d and James C Scott (Berkeley UniverSity of California Press 1977) bull
- 5 -
3 economic development Ad~niscrators of developmental assistance progracs
have too often regarded patron-clienc hierarchies as ~ped~ents to
develop~ent instead of recognizing cheir potential utility bull
~ Findings on Patron-Client Hierar~hies --
The importance of pat~on-clienc hierarchies for linking the periphery
to the center is one of the major findings ~erging from a study of the
relationships betueen l~gislators an~ their constituents in Kenya Korea
and Turkey ~hich the Cowparative Legislative Research Centpr is nov
comleting uader its 21l(d) grant from AID This study has av~mined the
creation of linkages between the periphery and the center through ~ore
than lO~OOO interviews with members of parl~ent local leaders and
peasants in t~e three countries The findings are being systewatically
set out in a book-length monograph Nearly a dozen research reports have -
uready appeared (see Appendix C) ipropositions about the nature of
political behavior of rural populations an~ the roles of local political
elites de=ived from the research~ can be s~rized as follows
1 Elected representa~ives play a significant role in the creation and mainte~ance of linkages be~een the center and periphery by developing local political achines in which they function as patrons of their constituents In turn thay s~rve as clients of political leaders of national stature who control central government institutions
2 By atte~pting to establish linkages based on patron-client relatio~shi~s elect~d representatives are responding to public expectations chat their prizary duy is to obtain resources from the center to proffiote local develop~ent ~iany elected repLesentatives spend most of their time on self-help co==unity development projects such 3S the building of schools health clinics irrigation works arid roads because such projects provide
3For exa~le ~ a widely respec~ed a~d useful analysis of rural deve16p~ent in Sub-Sahara~ Africa L~ Lele of the World Bank notes the problems of creating an adoini5~raive infrastructure in the rural areas that is sensitive to local socio-oliical conditions She does not however consider how local leaders operating o~tside of adcinistrative structures ~ night contribute to the developne~t 0 the rural areas See ~~ Lele ~ Design ~ Rural Develop~ent Lessons ~ Africa (Balt~re The Johns HopkiD~ Uciversity Press 1975) r) pp 127-61 i ~
- 6 -
their const~tuents with desired se~ices ~~d a= the sa~e time provide the reresentatives with an orgacization Yhicn can be used as a political base
3 l-tore than 90 perCel1t of the rural population is capable of articulating the p~oblems facing their local co~~ity and two-thirds discuss th~e proble~ w~th their fellow citizens on a regular basis
4 Three-q~rters of the residents of the rural areas can identify the public ofpoundici~s who serve thec--both civil servants and elected represcrtatives--by na~e Most are knowledgeable about the activities of these officials Alcost one-fifth coreover have discussed co~~~ity probl~ ~ith these officials particularly those working at the grassshyroots level Residents of rural villages actually have a higher level of political knowledge than their counterparts in the towns
5 Elections in the rural areas evoke a highly rational attern of voti~g despite the effects of ascriptive or traditional co~siderations Inc~ens are pri~rily evaluated in terms of their record in fulfilling the public r S elpectations of what they should do Elections are essentially referenda on inc~entsr perfo~ce especially their perforwance in the area of constituency servi~es such as bringing development projects to the districts bull
6 Local developcent projects have a relatively high s~olic value generating conscitutency support for local leaders and the central government at low cost
7 These projects help huild a local political infra-structure which can also be utilizec by central govern~nt civil servants to implement other policies designed to achieve rural develop~ent bull
The Icpac~ of Local Politics on Rural Projects
Having explored the developtent of linkages through which the periphery
is represented at che ~enter and through which the periphe~ attemp~s to
share in the ceners resources we now propose to build upon our initial
investigations by e~ing in greater detail the impact of local political
conditions on specific problecs of rural develop~ent We propose to
exacine the develop~ental activities of local leaders ~nd the rural public
by eX2~Ding a saple ot fifteen to twenty smalL~scale developwent projects
in each of ~he three countries which constituted the sites for our initial
8ESI AVAILABLE DOCUMENT 1 ~ - of
- 7 -
study of center-perhiphary relations The appropriateaess of this approach
and the ~ethodology through which it will be ip~emented is discussed in
section II Because the ~ethodology of investigation is in large part
the result of our previous research experience we fizst turn to a revieW
of the existinQ __ ~petence of the Comparative Legislative Research Center
in this area
II GRAXTEES EXISTIXG CmET~CE
In 1971 the University of Iowa received a 211(d) grant to develop
its capacity to do research on the role of elected represent~tives in
the process of modernization On the b~sis of this grant the University
established a research center which planned and carried out a research
project on the role of elected reres~~tatives as links between the central
gove~ent and rural populations in K~ya Korea and Turkey The project -i
served to develop t~e University of Iowas research capability in this
field esa~lished ties between the University and scholars in the bost
countries and generated a large and uniqu~ body of relevant data
In that project we fo~ussed our attention on tbe activities of elected
representatives in their constituencies notably in their contacts with
local political leaders voters and civil servants To determine tbe
nature of the linkage function performed by tbe representatives we
designed our research to explore the subject from three perspectives
1) we eXaojned ~~a ~ubject at tbe grass roots by conducting a series of
sample surveys of 200 to 300 adults in each of 12 to 14 parliamentary
constituencies in each cf th~6three countries 2) we examined the subject
at the center by intervie -ing MIls from the constituencies in which we
had conducted S3mple surveys ~nd higher civil servants with whom they
had contact and 3) ~e ex~~ined the subject from an inter-~diate level
by identifying aud ~terviewing local social and political leaders in
the MPs constituencies We used survey research methods because we
were embarking on the study of an entir~ly new subject for which little
relevant docu=e~tary data existed and on which there were few secondary
sources As a result ~e have unparalleled experience with survey
research in the rural areas of less develo~ed countries
The surveys which constituted the cajor part of our field work were
planned in collaboration ~~th scholars from the host countries They were
carried out in each constituency by student interviewers in the appropriate
language ~re than 10000 respo~dents were inteDViewed for the project
Given the visibility and sensitivity of this undertaking approval for
the research was sought and obtained from the host governments prior to -i
the collec~ion of data ~o objections were raised by these governments
at any stage of the research The data obtained have been made available
to scholars i~ the host co~cries and some of the basic findings have
been published in periodicdis in these countries
The Comarative Legislative Research Center ~hich ad~nistered the
project has aisO developed extensive experience in the study of political
leadership in other countries It h3s obta~ed substantial support from
the Fo~d Foundacion and the Rockeeller Foundation has worked in
collaboration ~~h European as ~ell as Asian and African scholars and
is engaged in a ajor study of the role of elected and non-elected leaders
in the oanag~~t o~~ocial conflict Because it has conGucted research
in a variey of setlngs the Center has an ~ceptional capacity to
- 9 -
determine how the relationships be~een political institutions and
economic p=oble75 differ in develoPed and less developed countries
In the course of the major research projects the Center has administered
it has gained highly specializpd ~p-i ce iI identifying 1Olitical leaders
in a great variety of settings conducting systematic interviews with
them collaborating with scholars in the host countries and in coding
and utilizing large files of data to answer specific research questions
The Center has ~lso undertaken to publish the results of its research
in three fores It issues codebooks to the data enabling scholrrs at
other locations to use the data expeditiously i~ publishes research reports - in the form of Occasional Papers and it publishes a scholarly periodical
devoted to the presentation of research findi~gs to an inteIT~tional
audience
The Center utilizes the data ~ysis facilities of the Laboratory
for Political Research of the University of Iowa and drawS on the unusual
n~er of secialists in comparamptive politics and survey research in
~~e Lniversitys Departmen of Political S~ience The Center itself I
has the services of an administrative secretary and a clerk-typist
~intains its~o~cn extensive archives and its o~~ publications program
It is e~uipped to assist scholars and government officials outside the
t~iversity of Io~a The participants in its p~ojects are full-tioe
faculty ~e=bers ~hose undergraduate and graduate teaching is closely
related to their research As part of the teaching program the Center
has attracted students from the countries in which the research projects
have been conducted these students have participated in the projects
bull J
have obtained training in other fields of political science have received
University of Iowa degrees~ and have ret~rned to teach and to do research
in their own countries
III PURPOSE OBJECTIVES AID METHODS
Purpose of Study
The purpose of the proposed grant is to extend the capacity of the
University of Iowa to determine the political conditions in the rural
areas of less developed countries which favor the establis~ent and growth
of small-scale developoent projects ~e objective is to put the University
of Iowa in a position to assist the Agency in designing small-scale rural
developent projects providing guidelines for carrying out social soundness
analyses of such projects and adviSing in the evaluation of projects
We will discuss the utilization of~t~e Universitys capacity in detail in
section IV below
We propose to concentrate our investigations on the political conditions
surrounding s~l-scale ru~al projects Such projects have distinctive
advantages They waximize the political participation of the rural populations
both in det~~-ining the direction ~d implementation of develop~ent efforts
and in defending the interests of periphery vis-~-vis the urban-based
bureaucratic elite S~ll-scale projects stimulate entrereneurial activity
on the part of the rural citizens and growth of the info~l canufacturing
and service sector Tbey require less lead tice and less administrative
c~erhead to ~eco~e operational than large-scale capital-intensive projects
centrally administered Such projects yield rapid and direct benefits to
1
j
the rural
- 11 b - ~~1
populations and are consistentwith their hUIlaD rights--both
political and economic However~ small-s~le projects pose s~ecial probl~s for administratcrs of developceocll assistance progracs because
they require the donor co assess the local olitics particularl the
rural politics of t~e host country
Develop~c adoinistrators pr~rily conc~rned with assisting rural
populations must therefore recognize the range of political variables
affectL~g these projects Small-scale projects offer great opportuoities
for develop~ental assistance progr~ because they can be easily targeted
to help rural populacions require low capital costs and need no be
concentrated in one or two localities Such projects ho~ever~ ~equire
the a~istrator to have ~re political kno~lecge than large-scale
projects Oil which his priJlary tas~ is guiding the work of other experts
Questions for ~Investigation
To detercine the politi~al cc~diicilS ~st conducive to ~he establ~~ent
and gro~h of scalI-scale rural projects ~e propose to address our inquiry
to the following specific questions
1 To what extent and why co local political leaders seek to establish s~~l-scale develop~ent projects within their co~unities
2 To what extent and ~~y do local leaders other than politicians initiate andor provide leadership for s=all-scale developm~t projects
3 Bot do the relations bet~Jeel different types of local leaders (political and non-political) and bet~eeo these leaders and central gove~ent civil servants posted to the rural areas affect the conduct of develop=ent projects
4 How do existing authority ~eLationships between these different leadership grous and the rural pub~ic affect the organization and operation of s~l-scale develop~ent projects
- 12 -
~
5 lhlt is the nature 0 pclgtlic participation in the establishlent and operatio~ of s~l-sclle projects and ~hat are the outcc=es or this participatioe Gucer w~at conditions is such participation ~ost likely to occur
We seek a~swe=s to t~cse questio s L order to determine the effect of
different co~iigurations of local leadership and public participation on the
outcomes or small-scale rural projects te are particular1y concerned with
the ~pact of these configurations on the rate of econocic growth and the
distribution o~ rIGSlth ithin the loal cOlllUlity ~ on the perce~tions of
s~ll-scale proj~cts by central govern~ent per~oncel and the rural public
anmiddot on the organiation or flture projects
To a~swer these que~tions it is oar intention to study the initia~ioD
izJple=enation ald i1lpact of a salple cpound small-scale rural projects in
Kanya Korea and Turley in the sae cOllities in which we carried OU
our initial icvestigations ~ 1973-75 Tne relationships between the -
various conf~gurations of local leadership and public participation and
the three phases of project develop~ant are sho~ in Figure 1 We will
exa=ine projects to pro~ote the adoption of new agricultural techniques
by s~l and moderate landnolders the building of feeder roads irrigation
ditches and other s~ple infrastructure the organization of fa~ers
cooperatives and other local associations concerned with rural development
the establish=ent of rural health clinicS and schools and the setting up
of craft and service industries
Sites for Study
We plan to return to our original set of localities because we possess
a rich body of relevant data on the extent to which linkages exist between
Figure 1
TYPES OF LFLUEXCE OF C2r~ middotGOVER1iEXT OFFCIALS
LoCu LEADERS 0 THE RURAL PUBLI-C OX THRr~
PHASES OF RURAL igtEVELOPHET PROJECTS
r----------~J C~ltral Gover1~nt Official)-N------- - J
r- Local pOlitical leaders
Local non-political leaders
~l 1---- -
ROJECT nITL~TIOS
Influ~ce on selection of projects
InrI ~elce on location of projects
Influence on policy guidelines for proj eCl
Il
I
a
I I
-I PROJECT I~L~~iATIO~ ~ 1
j Project Organizati I Selection of project
leadership
Hobilization of resources
Mobilizatiol of public compliance with project require=elts
Diffusion of project innovation
Rural Public
I
BEST AVAILABLE nOCUMENT
1 ROJECT IMPACT
Organization of ongoi=g project operation
Distribution of project benefits
Evaluation of project
Public attitudes toward project
-middot14 -
these areas and t~c central p~litical institutions of the three co~tries
and on the attit~es of the rural populacioc local leaders and elected
legislators regardi~g their problecs of develop~~c Since such data
is unavailable for alternative locales a return to the areas in which
we have previously done much research ~ables us to build on a uniquely
valuable body of icformation
A return to Kenya Korea and Turkey is also highly desirable from
the standpoint of effective research organization The Comparative
Legislative Research ~enter has developed close collaborative relationships
with several highly competent social scientists in these countries and
with the academic institutions with which these scholars are associated
We have also dev~_oped cooperative relatio~ships wi~ gove~ent officials
in these countries which should facilicate obtaining approval for our
further work
In proposing to doc~ent the origin i~pl~entation and impact of
one to three s~ll-scale develop=ent projects in each of 35 localities
we have two considerations in mind Firstmiddot because our pr~ry goal is
to deter~e the political conditions for rural developm~Lt we wish to
examine develQ~=ent in as many different settings as feasible Only in
this way can we control for so=e of the major socio-cultural variations
that erist along rural populations in less developed coultries These
include the overall level of econo~c development in the co~unity the
nature of t~e ~digenous culture an~ relationships of authority and the
pro~ty of the comounity to major urban areas and centers of central
gove~nt ad=inistration ~ce our original study sites were carefully
BEST AVAILABLE DOCUMENf
- 15 - ~ ~1
selected to represent these variations ye have concluded that these
35 localities woule be ideal sites for the propose~project Second~ in order to dete~~~ the ~pact of local leaders and public
participation o~ ~ural projects we intend to compare projects 1n which
local leaders and ~ecbers of the public have played a major ~ole with
projects in which they have not We also ~l cospare projects initiated
by the central gover~ent with projects Yhich have been locally initiated
These considerations give us a typology for selecting projects as depicted
in Figure 2
Figure 2 ~
FIVE TYPES OF RU~AL PROJCTS ACCORDIXG TO ~FLUEXCE OF CEITiW
GOVE~1E~T LOCAL LEADE~ AD RLRAL POULATIO~
Level of Participation by Rural Population
Locus of Project Initiation ~
Local Co=unity Central Governoent
BIGd
LOt
1 Projects initiated by local leaders and providing for participation of the rural ~opulation
4 Proje~ts Litiated by local leaders bu~ not involving participation of the rural population
2 Projects initiated by the Central Govern~ent and administered i~ cooperation with local leaders a~d the rural population
3 Projects initiated by the Central Govemlent and providing =or the participation of the rural population but by-passing local leaders
5 Projects initiated by the Central Gover~e~t a~d administered in cooeration Yith local leaders but not involvi~g parti~ipation of rural population
- 16 -
We recognize that the socio-cultural setting of rural develoment
projects varies significantly within and across less developed countries bull
By focussing o~ a representative sa=ple of localities ~ Ke~ya~ Korea
and Turkey we can take account of naoy~ though not all of these variations
While some of our substantive findings will not be directly generalizable
beyond the countries in which we propose to conduct our study we expect
that our basic ~ethods and fLdLgs will be applicable to national and
sub-national settings elsewhere in the developing world This is partly
d~e to the fact that the hierarchy of patron-client relations ~hich we
regard as a critical factor in rural develo~~t exists in ~ost Liles
--It is also due to the fact that the methodology for identifying local
bull leadership configurations auG poundor studying local politics which we are
perfe~ting can be used to assess local political co~ditions in a large
variety of countries even when the ~nditions themselves differ significantly
Methods of Investigation
The data needed to assess the iDpact of local leaders and mass
participaticn on rural dev~lop~nt fall into two categories Some a~e
contained among the data gathered for the research project we are currently
completing Others will require additional field research
The following data are already in hand
1 Data on the social landscape of each loc~l co~nity i~cluding aggregate data o~ level of econonic development de~graphic characteristics political pa=ticiation eth~ic loyalities and rates of socio-econocic change dur~g the past decade bull
2 Identity of local leaders including both political and I-on-political leaders and both legislators and other politicians
3 Perceptions of existiag probl~ and their possible solution a~ng
l)tS r AVAilABLE DOCUMENT
- 17 -
general public local leaders and civil serv~nts
4 Level of political kno~ledge among local citizens and local political leacers
5 Political and social values a~ong local ci~izecs and local political leaders
6 E~~ectacions of leadership roles among the local public and elected and non-elected leaders
7 Patterns of co~unication ~ong local leaders and between local leaders and the central gove~e~t
These data ~hich ~e already have in hand can be subjected to analyses
which ~~ll provida the foundation for our further work on rural develop~ent
projects A part of our work therefore will consist of fu~ther analyses
of existing data
New data of the following kinds are also required
1 Doc~entary data on the origin and evolution of particular smallshyscale develop~cnt projects in the rural areas
-2 Data on project costs boih ~itial invest=ent and recurring
operating costs and data on project ou~puts ie pupils in schools Ddles of road coopleted nl~ber of hospital a~ssions production of factory agricultural productivity
3 Data on project organizatio~ n~~r of local inha~itants participating in establis~~ent of projectt nuober of local L~habitants subsequently involved in project
4 Data-on the pe-cetion of projects by local leaders emers of the local public a~d by civil servants data on the perception of how each project ~as initiatec organized who benefitted and what its future implicatio~s are
These types of data will requ~re field work involv~~g both docucentary research
at the relevant ~istries of the central government and in local goverr~nt
authoritieS and inforoal open-ended interviews with local political leaders
elected representatives and other local leaders who~ we had previously ~
interviewed in a s=uctured syste=atic =aoner
BEST AVAILABLE DOCUMENT
- 18 -
Grant Organizatio~ and T~etable
We propose co undertake the research outlLled above beginning in the
fall se=ester 1977 Dur~g that te~ Professors Barkan and Kim as
principal investio~tors for the neo1 proj ect will contact their collaborators
in the host co~~tries They ~~ll also seek the collaboration of an additional
~rican scholar specializing in rural development with the aic of getting
additional advice on sources of data and suitable indicators for the
~easure=~~t of rural develop~ent projects
At the end of the fall seQester Professors Barkan and Kim will make
a trip to their research sites to disc~s details of the research organization
with their collaborators in the host countries and to recruit student
assistants Tney will devote the spring te~ 1978 to further analysis
of a~sting data at the University of Iowa
The gathering of additional dita L~ the field will begin in the s~er
of 1978 Professors Barkan and Kio will direct this work personally We
eAect that its coopletion ~~ll require three to six months This work ~1
involve the evaluation of central and local gove~ent reports on the
projects uncer investigation extensive on-site observations of the projects
and oen-e~ded interviews with the principal participants Our principal
respondents ~i1l be the local leaders and elected representatives we
have previously identified in the localities in which we have worked and
a sacple of active participants in the particular dpvelopment projects
being studied ~~ere necessary and apropriate surveys of the general
public will be uncertaken to assess the inpact of a given project on the
rural por)r We do not however leed 0 conduct systeAlatic sample surveys
BEST AVAILABLE DOCUMENT
- lY -
of the rur~l population as We did in 1974
In the organization of this research project we intend to reconstruct
the rese~rch tea=s ~e e=ployed during 1973-75 We shall again seek the
co11abo=~tion of P~ofessor Sc~~S-7o~g Pai of Seoul National University ~
Professor IIiCr Turan of the University of Istanbul and Professor John J
Ok~u of the U~iversity of ~arto~ S~ilarly w~ contemplate directing
the field research fro~ he same acade~ic research organizations we previously
used Seoul National U~ive~sity th~ ~~iversity of Istanbul and the
Insti~ute for Develop~eut S~udies University of Nairobi As before we
will tra~ students f~oo these institutions to serve as interviewers
The analysis of the open-ended intervie~s and of docUQentatio~ on
I ~ural develop=e~t projects will be a ~ore t~e-co~s~g process than the
analysis of closed intervie~s It will reqrire a high cotnittl~t of time
fron the principal investigators )e e--pec to hold a conference at the i
U~iversi~y of Iowa 3lO1g all the principal )clticipa~ts in the resea~ch
project d~=~g t~e spr~g 1979 to evalua~~ the newly collected data
le e~ pect to be able to vr-ite reports of t~ results during the Sl1~er 1979
(see Figre 3)
IV LlX-GS ~1) U~ILIZATIO~
At the e~d of the grant period the Uti ersity of Iowa will be able to
1) advise the Agalcy 01 the design of s~l-scale rural projects to assist
the rural poor 2) provide guidelines for social soundness analysiS of
small-scale projects for the rural areas of U)Cs 3) consult w~th the
Ag~tcy 01 the evaluatiol of rural projects ~d 4) provide LDe governments
BEST AVAILABLE DOCUMENT
)ATES
~lll
1977
~inter 1977
iprilg 1978
il mer 1978
~all
1978
ipr~ng
1979
Imiddoter 1979
University vf Iowa
Plutlning of rural develo~rent project
Barkan Kil
Alalysis of existing data
Barkan Kia
Data processing
3arkan Kin
1
I
- 4 -
Figura 3
GRAT TLfETABLE
SIT E S
Kenya Korea Turkey
Preparation of field research ural developH~lt project cOlisulta~io~ a research sites
BarkanOku=u Ki~Pai Tura~rkanKi~
Preparation of field resea-ch
Tural
Field research on rural cevelop~~t projects Bar~lOk~u Ki=Pai Turan
Co=pletion of Co=pletion of field resear~~I~ fiald researcr
Ok~u i Pai bull
f Coopletion of field research
Turan
Data analysis conference a~ong all princial i~vestigators at Un~versity of Iowa Barkan Kil Oku=u Pai Turan
Co=letiol of r~ral develop~ent
project
3arkan Kiz
BEST AVAILABLE DOCUMENT
I
- LL -
~ith speciali~cs o~ ru~al developcect ~mong their own citizens ~ho ha_
partcipatcd ~s collaborators in the Iowa projects
In the proposed project we Will test a series of hypotheses cOlcerning
the political cOllditions of rural develo=ent which run counter to CODOn
assuoptions conccrnir3 t~~ influence of rural politics on project effectiveness
As a result ~e ~dll be able to assist the Agency in designing and evaluating
such projects froe the point of V~~W 0 their political viability The
hypotheses We will test sugges~ t~at the patron-clie~t relations existing
in the local politics of zost LDCs are not necessarily i~pedients to rural
develop~ent but are aspects or the political structure which cal be used to
facilitate s~ll-scale ru=~ projects which will raise the standards of
living of _ ~ rral pomlation - As ~ result or our stuey we expect to be
able to P~-O~t the local leadership confi5~rations ~4d the relationships
between local leaders ald rural poclations ~nich are oost conducive to I
successful develcp=en efforts We believe that we will be agtle to perfect
a cat~odology for identifying the political conditions for rural develop~ent
one ~hich is transferable pound~oo the countries we have specialized in to
other LDCs
We proo~ to develop specific guidelines to assist administrators
charged with selecting evaluating and =onito~ing rural develop~ent
projects to ~szess t~esc rojects in tares of their-social and political
viability he outco~e of such projects is dete~ned not only by the
efrectiv~nass ~~=h ~hich they use scarce econo~c resources but by the
~~er L~ w=ich they e~gage the suppprt of local leaders and rural
po~ulatiocs~ by thei= effect ou social a~d econo~c equality ~d by
D[~T AvAlLA8LE DOCUMENT
- 22 -
their consequences for hwan rights ~Je plan to establish criteria by
middot~hic~ the probable outco~es of projects in these social terms can be
anticipatec
The study ~e propo e will be undertltlken by faculty at the Cniversicy
of lowe in collaboration with faculty a other ~rican institutions and
institutions in the host countries We will build on the extensive contacts
between the Co~perative Legislative Research Center of the ~niversity of
Iowa end other instituions with ~aich ~e have worked One =ajor result
of our collaborative study will be the existence of a net~ork of compe~ent
scholars both in this country and overseas experi~lced in ~orking together~
shar~g a co~on teaching and training experience i~ close contact throu~~ the
effective publications progr~ developed by the Co~parative Legislative Research
Center T~e e~~ertise of this group of individuals will be ava~lable to
oteer scholars to the Agency and ~o L~C governments for specific policy
advice The eXertise developed as a consequence of this project will
extend beyond the ~tionals of the countries ~volved since the univ~sities
engaged in ~e project attrtct stude~ts fro outside heir own countries
For ey~=ple the teaching ~d research progra in the Depar~ent of Political
Science 0 theUniversity of Istanbul heavily affected by the participation
of its facul~y ~e=bers and graduate students in our projects attracts students
throughout the ~middot1iddle East for Whom the University of Istanbul is the iajor
institution ~pound ~igher education in the region rne Institute for Developmen~
Studies is si=ilarly a focal point for students and faculty in East and
Central Africa Seoul ~atiocal Unive=sity attracts students froo other
Asia~ co~tries~ In this way the capability developed among the participant$
BEST AVAIL~BLE DOrUMENT
- ) -
in our work is diffused widely To the exte~ that the abili~y to assess
rural develop~ent p~ojects in teres of their social soundness is increased
both in the United States and in ~o~~tries r~ceiving develop=en~ assistance
the cap3~ity of racipien~ countr~es to absorb aid is ~creased
We propose to draw up an inventory of personnel available in ~~e
Cnited States and in other co~~tries who are able to consult with developen~
a~nistrators on the design of rural development projects and on their
evaluation We ~~ll draw first of ai~ on individuals w~o have been
directly associated with our ~ork in the past or on ~he proposed project
and ex~~~d the list to include graduate students and gove~ent officials
with who~ these individuals have wor~d
tole Yill utilize tha existing publication program of the Center
dercribed above to disse~inate our findings The Center has specialized
oailing lists of interested individuals and institutions in all parts of -i
the world and its reports can trerefore reach the ~st relevant audience
jirec~ly ~d re~~arly
BESl AVAIL~BLE OOCUMENT
CONTRACfjGRANTCOOPERATIVE AGREEMENT DATA SHEET
INSTRUCTIONS fjDW Complete 4 copies of the form Original SERCMSDSUP Statistical Section Copy Copy 2 SERCMSIiUP dministrative Copy opr 1 Contracting Officers COy COP) 4 SERCMSDSUP IUmin (Suspense) Copy
Missions Complde 2 copies oi the form Origin31 SERCMSDjSUF- Statistic31 Section Copy 3n~ Copy 2 Nill be ret31ned in the Missions
PART fA
ConU3lttorGranrce Name
University p~f~I~o~wa~ __ -r~ ____ ~~~~ __________ -~~ __ ~~~ ______________ ~~~~ Plorr Numt-er ApptopriJtion Number Allotment Number Project Number
930-0090-3Q13411 A5 72-111l0216 146-30-099-00-20-11 930-0090 Project Title
So~ia1 and Potitica1 Aspects of Development - Conference to Report Research Findings Amount of this Plorr I Projecl M3nagers Name and Offire Sytlbol
$10397 (increase) PDPRCP Jonatlan Silverstone Contr3ctors D-U-N-S Number
Ncgwatocs TYJlCd~3meJ j) Signature I l ~ jIf- bull G HtJ--ft u l IVmiddot
D~e
L - f - J ContractGrant Officqs typed Nailllt Signalure LJ d I -r-
plusmn t 3i-alflpta (( BLvle~ 1 I~ PARTm
ContractGranl Number
AID CSD-3294
Effeclive Date of Docum~nl Signalltre D3t~ of Documenl
Lf---C yen-~-gl tIost Courtry Institution (U iwrsity contract ONL Y)
Campus Coordinator (Uniwr ty i contract OiiL YJ
PART UL Descriplion of Cor-tractGrant P1use X ONL Y ONE item under each headiZg IF THEltrease CifYmC~e bolh ges I 30~~ O~ Nol to be completed for Amendmenl or Modlfic3lion AJigtns I III
J 710gt I I V ~ I
MOl - TYPE ACT A~ 0 G unsolicited Propsll (AIDIR 0 C Individual (Non-pe~nal senice)
~ O Cortra lGrantl ooperative Agreemenl 73101-SO(b)(6raquo 0 D Individual (ftrsonal Service)
tJl T3sk Order ( A)middot 0 H Procurement 10 be Perfocm~d by the Conmiddot 0 E UniversilyOther FAuC3lionailnSlitulions
D 2 Work Order (IQC) Ira~lor in Person (AIDPR 0 F Non-Profil Organizationlnslitutions (other
D 3 Delivety Order (Requirements) 73101middotSO(b)( Iraquo than Ed or PVO)
[j 4 Purchase Ordcr [J I Sole Source (AIOPR 7-3101-SO(b)(4)) 0 G Private Volunury Organization (PVO)
If I 2 or 3 1Lle an ~ compllle M 12 ON Y D J Imp3irmenl of Foreign Policy Objectiws 0 H International Agricultural Research Organj-
M04 - CONTRACTGRANT TYPE
o O MOA (BOA BMA etc)
o I Fixed Price (Specify fFP FPRD FPEPA FPI) _____ _
(gtIDPR 7-31 OJ SO(b)(7raquo
OK B(a)5eJection (FPR 1middot1713-1)
o L Grant iH1ndlOok 13)
o M Do Nol Ue
D 2 Cosl Reimburemenl (S~cil) CR CPFF 0 N Cooperative t~reement (Handbook 13)
CS CPAF CPIF) ~ 0 O Small Business SeImiddotAside (FPR 1middot1706-8)
o l Cooperative Agreemenl ~ 0 1 Overseas Procuring AClivilies (AIDPR
04 Grant Gener31 Supportmiddot 0U ~ 7lIOI-SC(b)(2))
o S Granl - Specific Support ~ ~06 E SER VICE
g ~ ~~t ~~(d) ~~ ~~ ~ eci~a~~~~~ogram Projeci
o amp IQCs ~ ~ relampted excepi A amp E Services)
o 9 Host Counlry ContraclGrnnt 5lJ C amp E Services
middotComplele ONLY through ~Sl ~~ 0 D Construction
M05 SELECTION PROCEDURES 0 E- Reseuch
o A Formally 3dverliscd (IFB) (A1DPR 7middot24 amp
FPR 1middot24) ~ o B Negoli3ted Price Compelilicn Gencr31
Procedure (RFP) (-JDPR 7456)
Dc A amp E (AIDPR 7410)
0 D Ed Inst andor Inl1 R~arch (-JDPR
74 5)
o E Collaboratoe Assisunce (IDPR 7458)
C F Predominant Capability (IOPR
73IOI-50(b)(l)
AID 1420-49 (179) - Page I
D F Technical Services to AID (other than trainmiddot
ing usually o~ating expense)
D G jraining SetVice for AID
o H Equipment Materi3J~ Supplies Commodities
D I Translation Service
~07middot TYPE CONTRACTORGRA-nEE
o A Firmmiddot AU profil-rn3king fUms (other than
Aamp E)
J e A amp E 8r~
zalion
o Public Inlmlational Organizations (UN
Agencies ICRC Wocld Bank elc)
(H8 J 3 Chapt~ S)
M08- TYPE AW~RD
o A S8 Sel-Aside - Awarded to Non-Minority
o B S8 Set-Asidemiddot Awarded to MinXity
o C_ S8 NOI Set-Aside - Awarded to Non-Minority
o D S8 NOI SeImiddotAsidemiddot Awarded 10 Minority
o Eo amp(a) S8A Awarded to Non-Minority (Womerl-
Owned Veterans etc)
o F 8(a) S8A Awarded 10 MinorilY
o G Personal Sen-ice ConlrdCt bull Non-Minority
o H IeJSDnal Service Conlract - MinorIty
o I Individual NonmiddotPersonal Service Contraci -
NonmiddotMinority
o J 100Jigtiduai NonmiddotPersonal Service Contracl -
Minorily
o K NOI Small Business (Univ NonmiddotProfit Large
Firms) Non-Minorily
o L- NOI Small 8usineSl (Univ Non-Profit Large
Firms) Minorily
o M US Govcrnmlnt
(Connnued on Page 2)
BEST AVLABIE DOCUMENT 1 I
--
ua ) R I GI NAL 9 bull
MODIFICATION or GRANT PAGE 1 of 2
AH 1 2 Effective Date 3 Grant No 4 Effective Date
Amend_at Ro 5 April 15 1981 AIDCSD- 3294 8-11-71
-s CRANTEE (Name and Addrea) 6 Administered by -Professor Gerhard Loewenberg -Office of Contract Management Cbrnparative Legislative Research Gente Central Operations Division Dept of Political Science am Branch University of Iowa Agency for International Developn~nt Iowa City Iowa 52240 Washington D C 20523
7 PIO No 930-0090- 3013411 A5 8 Previous PlOTa -
Appropriation No 72-11110216 93i-1l-995-l36 930-11-995-136-73-3078103
Allotment Symbol - 146-30-099-00-20-11 wunt Obliga ted by this ~ndrnent - $10397
The above numbered Grant is hereby modified as follows
1 Anotmt obligated prior to this rurendment 2 Amount obligated by this amendment 3 Total obligated anount (1 amp 2)
Delete the amJmt $465000 and substitute in lieu thereof the ammnt I$47S 39-7 ~
FUNDS AVAIrABm
~~ - APR 13 1981
PrO~A~~5iors
$465000 $ 10397 $475397
OffiCE Of fIN~(1 ~~rE~E~T __ _ 10 This amendment 11 entered into puruant to the authority of the Forelgn
Assistance Act of lS~l as amended Except aft hereln provided all terms and ~~ndi~ons nf the grant rcferpnccd in Block 13 remain unchsnged and in full force and ~ffcct
11 original and six Crantee 18 requlred to aign thh document aad return 1- eopics to issuing
ffiee
~~~ or printed) BUSINESS MAHAGR amp bull
Tille TREASURER
UNITpound) STATES OF AHERICA AGENCY FOR INTERNATIONAL DEVELO~NT
BY_-1(1o-_1lt--= 13middot~_1_~ __ K R B1uteau
(Name typed or printed)
Tltle~ ____ G_r_a_n_t __ O_f_f1_c_e_r ____________ __
D3tC APR 2 J 7997 Dolt 9 APq 1981
BEST AVAILABLE DOCUM NT ___ 0 HLGlNAL - I 1 J 1 ~ )
- 2 -
AID ftmds in the am)tmt of $10397 are hereby provided for the activities lmich are described in your proposal (including Budget Stnmnary) entitled CDnference to Report Research Findings on the Study of Political CDnditions for Effective Small-Scale Rural Assistance Projects in Kenya Korea and Turkey dated February 17 1981 and made a part of the Grant b reference
BtTDGET StMMARY
Line Item
Travel
Per Diem
Other Direct Costs
Less existing 211 (d) grant funds
Total Amount Obligated by this Amendment
Estimated Costs
$ 5888
5100
_ 2500 $13488
_ 3091
$lO39
Note Indirect costs or $395086 associated with these activities will be contributed by the University of Iowa
BEST AVAILABLE DOCUMENT
~RIGINAL
- CONTRACT IGRANTCOOPERA rIVE AGRElEMI~ SERC~SDSlP Actio) Monitor
SERCMSDSUP Action Office
I
INSTRUCTIONS AJDW - Complete 4 copit of tlh fonnmiddot Orisina iCMSDfSUP Sutistical Section COP)middot Copy 2 SERCMSDjSVP Administrative CoP Copy 3 Cont-acting Officers COP) Copy 4middot SOSUP Admin (Susptnse) Copy Missionsmiddot Complete 2 copies of the form or~aI SERCtSDSUP Statistical Section Copy and Copy = wiU~ retained in the Missions
0 PART IA
Effective Date of Document tJ
Delivery Order (Requirements)middot
o 4 Purcluse Order
bull If I 2 or 3 have an bull X compl~te M I 2 ON L Y
M04 - CONTRACTGRANT TYPE
o O MOA (BOA BMA etc)
o 1 Fixed Price (Specify FFP FPRD FPEP FPI) ___ _
o 2 COli Reimbursement (S~cifY CR CPFF CS CPAF CPIF) ______ _
o 3 Cooperative Agreement
o 4 Grantmiddot General Support
o S Grantmiddot Specifi Support
o 6 GraDt 21 led)middot
o 7 Do Not Use
o amp IQCs
o 9 Host Country ContractGrant
middotComplete ONLY through M 5 1
MOS SELECTION PROCEDURES
o A Formally advertised (IFB)(AJDPR 7middot24 amp
FPR 124)
o B Negotiated Prire Competition General
Procedure (RFP) (AIDPR 7456)
o Co A amp E (AlDPR 4 I 0)
o D Ed Ins andor Intl ReStalch (UDPR
7457)
o E Collaborative ASSistance (AIDPR 7458)
o F Predominant Capability (AIDPR
7-310l-50o)(3)
AID 142049 (1-79)middot Page J
o H Procurement Co be Performed b~ the Conshy
tra~tor in Person (AlDPR
7middot3t OI-SO(b)(Iraquo
o I Sole 5gturce (AIDPR 7middot3101middotSO(b)(4raquo
o J Impairment of Foreign Policy Objecdv~
(AIDPR 7middot310 ImiddotSO(b)(7raquo
o K 8(a) Selection (FPR 1middot1713-t)
o L Grant (Handbook J 3)
o M Do Not Vse
o N Cooperative Agreement (Handbook 13)
o O Small Business SetmiddotAside (FPR 11706-8)
o P Overseas Procuring Activities (AIDPR
7middot3101middotSO(b)(2raquo
M06middot TYPE SER VICE
o A TtJining of Participants
o B Technical Assistmce (Program Project
related exc~pt A amp E Services)
J C A amp E Services
0 D COltl~ruction
0 E Research
0 F Technical Services to AID (other than trainmiddot
ing usuaU Y operating ex pense)
0 G Training Service few AID
0 H Equipment Mat~rials Supplie~ Commodities
0 I Translation Service
07middot TYPE CONTRACTORGR TEE
Firmmiddot All profitmiddotmaking fu-r1s (other than
AampE)
o 9 amp E Firms
I Prcct NumbcT
I
Contactors D-U-N-S Numbcr
I) -S--f(j
o C Individual 0-lon-~rsora1 service)
o D Individual (Pet-sonal Service)
o E University lOt her EduCltionaJ Institutions
o F Non-Profit Organization Institutions (other
than Ed or PVO)
o G Private Voiuntary Organization (PVO)
o H International AgricultwaJ Research Organmiddot zation
o I Public International Organizadon~ (UN
Agencies ICRC ewld B3J1k etc)
(HB J 3 Chapter 5)
M08middot TYPE AWARD
o A SB SeImiddotAsidemiddot Awarded to Non-Minority
o B SB SetmiddotAside bull Awarded to Minority
o C SB Not SetmiddotAside - Awarded to Non-Minoril)i
o D SB Not SetmiddotAside - Awarded to Minority
o E ~a) SBA Awarded to Non-Minewity (Womeli
Owned Veterans etc)
o F 8(a) SBA w-rded 1o Minority
o G Personal Service Contractmiddot Non-Minority
o ~ Personal Service Contnct - Minority
o I Individual Non-Personal Sence Contractmiddot
NonmiddotMinority
o J Individual Non-Personal Service Contractmiddot
Minority
o K Not Small Business (Univ Non-Profit L1lge
Firms) --vn-Minority
o L Not Small BUSiness (Univ NonmiddotProfit Large
Firms) ~inoriy
o M VS Government
(Continued on Pcge 2i
t bull - t ~ J f q
ORIGINAL bull MODIFICATION OF GRANT
1 2 Effective Date
Araendllent Ro 4 12-2-80
s CRANTEE CHace and Addrels) Professor Ger1ard Lo~middot enbelg Comparative Legislative Research Deartment of Political Science The Lnivp-rsity of Iowa Iowa City Io~a 52240
7 PIO No NI A
Appropriation No 72-11XHl26
Center
Allotment Symbol -426-30-099-00-3~-71 Amount obligated by this urendment-O- I
3 Gnnt No
AIDcsd-3294
PAGE _____ 1 _of-L
AlI 4 Effective Date
8-11-71
~ Admlnlltered by -Office of Contract Management Central Operations Division OTR Branch Agency for International Development Washington DC 20523
8 Previous PIOITs -
931-11-995-136 930-11-995-136-73-3078103
9 The above numbered Grant is hereby modified as follows
Supplement to Grant
Change the duration period sentence to read
The Duration Period for this Grant shall be August 11 1971 through December 31 198]
1 Amount obligated prior to this amendment $465000 2 A~unt obligated by this amendment -0-3 Total obligated amount (1amp2) $465000
----------------_- - ------- ----_- ------ 10 Thh lImcndmcnt is entered inlo punuant to the authority of the Foreign
~ Assistance Act of 1961 86 amended Except a~ h~reln Z II provided all terms and condi tions nf the grant referenced in Block 3 remain ~~aunchlinged and In fu1l force and effNt cnltUI cJ)za 11 o 4 J bull
Et~ ai~a gtUoItshyc Z P=u
original and six Grantee t requi red to sign this document and return 1- eopies to 1Bufng
office
~ 12 GRANTEE TES OF AMERI CA
(Name typed or printed) bull
TJlle Director Comparative Legislative liecearell CeQtoQl
Date 12880
------------------------------------
ONAL DEVELOPMENT
By ----~--~~~~---------------------
prinled)
Grant Officer Title --------------------------------
J)oll( 12-2-80 -----------------------------
BEST AVAILBLE DOCUMENT i je