Master Thesis No 51

Master Thesis in Rural Development with Specialization

in Livelihood and Natural Resource Management
issn 1403-7998
master thesis in rural

Linkages between extension services and

other actors within the Agricultural
Knowledge and Information System (AKIS)
A Case Study in Pha Village, Yen Khe Commune,
Con Cuong District of Nghe An Province
Nguyen Thi Phuong, Vinh University, Vinh city, Nghe An, Vietnam

Department of Urban and Rural Development

Swedish University of Agricultural Sciences

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Linkages between extension services and other
actors within Agricultural Knowledge and
Information System (AKIS)
A Case Study in Pha village, Yen Khe Commune, Con Cuong
District of Nghe An Province

Nguyen Thi Phuong, Vinh University, Vinh city, Nghe An province, Vietnam

Master Thesis in Rural Development with Specialization in Livelihoods and Natural Resource
Management

Master Thesis No 51 | Hue City, Vietnam | April 2008 | ISSN: 1403-7998

Department of Urban and Rural Development | Swedish University of Agricultural

Sciences

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ABSTRACT
Four upland districts in Western Nghe An province including Ky Son, Tuong Duong, Con Cuong and Anh
Son belong to one of six World biosphere reserve areas of Vietnam that UNESCO just recognized in July,
2007. The local people mainly depend on agriculture (crop cultivation, livestock, forestry and aquaculture) for
their livelihoods. They face many difficulties and challenges related to agricultural production as well as to
natural resource management such as complex topography, high poverty rate, poor infrastructure, low labor
productivity, low education, annual natural calamities, and a large complicated Viet-Lao border with complex
politics and security. Con Cuong district is one of these four districts, and Yen Khe commune belongs to Con
Cuong and buffer zone of PuMat national park.
Yen Khe has an existing Agricultural Knowledge and Information System (AKIS). An understanding of the
structure of the AKIS at Pha village, and the linkages between extension institutions with other actors is the
focus of this study. Participatory methods (group discussions with tools, meeting, and individual interviews)
and observation were used to investigate the linkages/interaction between and among actors within AKIS in
four production types (tea, rice, forestry and livestock production), and to examine the causes and effects of
these linkages focusing on extension services –other actors’ linkages.
This study shows that the linkages between and among actors within AKIS is generally weak because of lack of
formal linkages, external linkages, and bottom-up linkages. The linkages between extension services and other
actors are also weak due to limited participation, low frequency of contacts and unsatisfied farmer’s needs.
These make extension services are unable to contribute effectively to the diffusion of innovation
However, the findings also showed that the formal linkages between Tea enterprise and farmers in
commercial tea production at a neighbor village,and between PuMat’s project extension and others in an
ongoing process were rather strong and bring initial success on tea production. Especially, one interesting
finding is the potential of formal linkages between Innovgreen Corporation Limited (private sector) and Vinh
University and farmers in forest research, education, forest production and product consumption for paper
material which began in 2007 through contracts. Maybe these formal linkages signal effectiveness, success and
joy for stakeholders (farmers, marketers, researchers, educators) in their co-ordination/synergy.
This study also found that the main effects related to these various linkages on production for food security
and for commercialization such as increasing yield and area, some changing technology on tea, and expanding
or reducing investment of production. Major factors affecting these linkages to diffusion of innovation and
agricultural production were identified as funding, policy/mechanism, and quality/quantity of actors.
Key words: agricultural knowledge and information system, agriculture, actors, linkages

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ACKNOWLEDGEMENT
This thesis was funded by Sida/SAREC through the RDViet project and Swedish University of Agricultural
Sciences and the Master program in Rural Development. Thanks to that program, the Master level training in
rural development occurred in VietNam for the first time. It is useful for the current VietNam context.
Without that support, this work would not have been possible. Among our lecturers in that program, I would
like to thank Dr. Britta Ogle, Dr. Adam Pain , Dr. Malin Backman Dr. Wijnand Boonstra and other lecturers
from SLU; Dr. Le Duc Ngoan (HUAF), and other lecturers from Vietnamese Universities.
I am grateful to my supervisors Dr. Ian Christoplos (SLU) and Dr. Le Thi Hoa Sen (HUAF) for their
comments and valuable recommendations on the structure of this study, especially for Dr. Ian’s suggestion on
the topic of AKIS-one useful/new topic for Vietnam. Without their interest, expertise, facilitation and
consistency, this work would not have been completed.
For the fieldwork activities, I acknowledge my leaderships’ help in Vinh University and Faculty of
Agriculture Forestry and Aquaculture for their creating favorable conditions and their encouragement,
especially Dr. Nguyen Ngoc Hoi, Dr. Tran Ngoc Lan, Dr. Nguyen Kim Duong, Dr. Hoang Van Son, Dr.
Nguyen Quang Pho and Dr. Tran Ngoc Hung. I also thank for efforts of my colleagues, old students in VU
and authorities of Yen Khe commune, Pha village as well as all participants who helped me carry out the field
study and supported data collection.
Finally, I am very grateful to my parents, my brother, my sisters, my husband and my friends who
encouraged me to complete this study. Especially, thanks to my new daughter in pregnancy who brings to me
happiness that motivated me to have a passion for this study

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CONTENTS
1 INTRODUCTION AND BACKGROUND........................................................................................................ 8
1.1 Introduction............................................................................................................................................................................................................................................ 8
1.2 Background........................................................................................................................................................................................................................................... 8
1.2.1 Context background...................................................................................................................................................................................................... 8
1.2.2 Justification .......................................................................................................................................................................................................................11
1.2.3 Objectives and research questions ................................................................................................................................................................11

2 THEORY AND LITERATURE REVIEW .........................................................................................................13

2.1 Clarification of the terms.........................................................................................................................................................................................................13
2.2 Previous studies .............................................................................................................................................................................................................................14

3 METHODOLOGY ..............................................................................................................................................18
3.1 Selection of study site ...............................................................................................................................................................................................................18
3.2 Conceptual framework..............................................................................................................................................................................................................19
3.3 Rationale for applying qualitative methods...............................................................................................................................................................20
3.4 Methodology framework..........................................................................................................................................................................................................21
3.5 Data collection methods ..........................................................................................................................................................................................................22
3.6 Data analysis methods ..............................................................................................................................................................................................................25
3.7 The study limitations ...................................................................................................................................................................................................................25

4 FINDINGS AND DISCUSSION ......................................................................................................................27

4.1 General characteristics of the study site....................................................................................................................................................................27
4.2 The structure of the AKIS.......................................................................................................................................................................................................29
4.2.1 General structure of the AKIS............................................................................................................................................................................29
4.2.2 The role of key actors within AKIS.................................................................................................................................................................35
4.2.3 Linkages between extension services and other actors within AKIS ................................................................................45
4.3 Effects of AKIS linkages on agricultural production.........................................................................................................................................53
4.3.1 The failure stories.........................................................................................................................................................................................................53
4.3.2 The successful stories..............................................................................................................................................................................................56
4.4 The factors affecting on the AKIS linkages.............................................................................................................................................................59

5 CONCLUSION ...................................................................................................................................................62
6 REFERENCES ....................................................................................................................................................63
7 APPENDICES .....................................................................................................................................................65

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LIST OF ABBREVIATIONS

AKIS Agricultural Knowledge and Information System

FAO Food and Agriculture Organization
WB World Bank
NGO Non Government Organization
EU European Union
PNPMO PuMat National Park Management Office
MARD Ministry of Agriculture and Rural Development
DARD Department of Agriculture and Rural Development
DES District Extension Station
PEC Provincial Extension Centre
PRA Participatory Rural Appraisal
VNPT Vietnam posts and telecommunication group
PNPMU PuMat National Park Management Unit
PuMat’s project Social Forestry and Nature Conservation Project in Nghe An Province(1997-2004)
Lucxambua’s project Project on « Agrictural development for NgheAn West « (2002-2007)
Transfer of Technology
TOT Participatory Agricultural Extension Methods
PAEM Participatory Technology Development
PTD Farmers Field School
FFS

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LIST OF TABLES, FIGURES AND DIAGRAMS
TABLES
Table 2.1: Summary on traditional extension methods and participatory extension methods........... 16
Table 3.1: Summary on data collection process................................................................................. 23
Table 4.1: Some characteristics of study site ..................................................................................... 27
Table 4.2: Summary Strengths, Weakness, Opportunities and Threats for livelihoods..................... 28
Table 4.3: Linkage identification Matrix ........................................................................................... 31
Table 4.4: The ranking on extension staff/organizations ................................................................... 44
Table 4.5: The table of importance of extensionist/ extension agents within AKIS.......................... 45
Table 4.6: Information needs matrix (farmer’s needs)...................................................................... 47
Table 4.7: The types of feedback and frequency from farmers to extension/researchers .................. 47
Table 4.8: Extension methods used on four kinds of production....................................................... 49
Table 4.9: The factors affecting on the linkages between extension and others in AKIS.................. 60

FIGURES
Figure 3.1: Location of study site....................................................................................................... 19
Figure 3.2: Conceptual framework..................................................................................................... 20
Figure 3.3: Methodology framework ................................................................................................. 21
Figure 4.1: The trend on quantity of livestock ................................................................................... 54
Figure 4.2: The change of hybrid rice yield and area......................................................................... 57

DIAGRAMS
Diagram 4.1: Summary on the structure of AKIS at Yen Khe commune.......................................... 30
Diagram 4.2: The AKIS on four type of production (rice, forest, livestock and tea production) ...... 32

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1 INTRODUCTION AND BACKGROUND

1.1 Introduction
Vietnam is a developing country located in South East Asia with a population of about 84 million people.
About 73 percent of population live in rural area and 95 percent of them rely on agricultural production.
However, the total workforce in the field of agriculture, forestry and fishery is decreasing over time (67,3% in
2003, 57,2% in 2005 and 55,7% in 2006). This is part of the transformation to other industries that have higher
productivity (Report of Statistic Department) due to the low productivity of their labor on agriculture.
Agriculture value is now only 20 percent of GDP (WB, 2007) and the complexity and difficulties of
agricultural production is affected by many factors including natural conditions, climate, market, and
technique. The farmers of Vietnam, especially ethnic minorities are not resilience enough and have difficulties
with risks/vulnerabilities such as inflation, fluctuating market price/ cost, frequent natural calamities, climate
change, epidemics, and degradation of natural resources. Their capacities are often weak (low education, lack
of opportunities to access information, weak skills, low labor productivity), all of which contribute to a high
poverty rate. Moreover, membership in the WTO is an important factor, e.g., creating greater competition
and conforming to the rules of WTO including low cost price, safety and high quality. Concurrently, many
trend changes are afoot in the State: decentralization, liberalization, privatization and democratization as well as
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extension socialization with many new actors involved. A new approach to agricultural extension is needed to
accommodate the development and trends described (Neuchatel group, 1999, p 10). Meanwhile, the extension
activities are often top-down and not market- and demand-driven. Especially, many extension programs in
upland areas are managed as part of subsidy policies which give priority to the poor and the ethnic minorities
and follow top-down approaches. The subsidy policies in extension gain significant achievements, but the
heavy subsidies limit the sustainability and replication of new techniques. This limits the long term impact on
livelihood improvements and the emergence of demand driven extension services, reducing initiative, and
encouraging looking forward for outsider’s support of farmers. Extension has been faced with difficulties in
coordinating between top-down orientation and bottom-up demand (Hoang Xuan Thanh et al., 2006). Thus,
co-ordination and dialogue between stakeholders is useful for understanding the Vietnam context. With this
significance, the study was conducted to examine the linkages/co-ordination/interaction between and among
actors within AKIS and to focus on the linkages between extension services and other actors. Based on the
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theory of Agricultural Knowledge and Information System (AKIS) , this study is analyzing the importance of
AKIS linkages for extension services to be able to contribute in a good way.
The findings in this study were gained through farmers’ perspectives in group discussions, individual
interviews, meetings and from secondary data within four main production group (Rice, tea, livestock and
forestry) as well as the perspectives of other actors (extensionists, researchers, educators, foresters, state
managers). The results were generated by the study provide a general view on structure of AKIS with the
linkages/interaction between and among actors and the role of key actors within this system. The study focuses
deeply on the linkages between extension services and other actors in AKIS as well as effects of them by
looking at successful and unsuccessful stories. Lastly major factors affect these linkages.
This thesis includes five chapters. Chapter 1 presents an introduction and background. Chapter 2 reviews
relevant theory and literature. Chapter 3 describes research methodology, while Chapter 4 presents findings
and discusses these. Finally, Chapter 5 summarizes conclusions.

1.2 Background
1.2.1 Context background
1
The term “Extension socialization” (xa hoi hoa khuyen nong) in the Vietnam case should be understood as the
innovation process of extension activities from subsidies/ monopoly extension sector of state to private/non-governemnt
sector; with participation of multi-actors in extension. This term is similar to pluralism in extension.
2
This theory will be described as part of literature review

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At present three upland regions, namely the Northern Mountains, the North Central Coast and the Central
Highlands, account for more than two thirds of all the food insecurity in Viet Nam (WB, 2004). The poverty
rate is 43.9 percent in the North Central Coast region, in which Nghe An province accounts for 43 percent
(according to the analysis of VHLSS 2002/2003 in WB, 2004). The Northern Central area includes six
provinces: Thanh Hoa, Nghe An, Ha Tinh, Quang Binh, Quang Tri and Thua Thien Hue. They are
considered as a rich asset of land and human resource advantages, however, some difficult conditions for
development exist there including remoteness of many areas with complex geography, poor infrastructure and
many ethnic groups. People especially in the hilly, mountainous and forestry areas are still very poor. Nghe An
province includes 17 districts of which 10 are mountainous areas (upland area) with complex geography and
many difficulties. Con Cuong district is located in the West and about 150 km from the provincial center, and
has various cultures and a diverse ecology system of the largest district in the province (166,263 ha). Crop
cultivation land makes up a very small part of (about one-fourth of the total area) and forest land occupies
106,405 ha (105,401 ha of tree covered land with 103,118 ha of natural forest). Above 80 percent of the
population are ethnic minorities, including 5 ethnic groups (Thai, Kinh, Dan Lai, Lao and Chinese) with a
total population of 82,649 people. Food production in Con Cuong district is small, but it has gradually
changed over time under the poverty reduction process and economic development in general. For example,
the yield of hybrid rice has been increasing, hybrid maize that has been supplied as food for the poor (Nguyen
Tho Canh, 2005). Con Cuong is considered one of the poorest districts in Nghe An. Thirty –eight percent of
households in the district are poor or very poor. They do not have enough food to eat (much higher
compared to the average level of the province only 19.5 percent). There is one district town and 12
communes in Con Cuong district, some communes that belong to the buffer zone of Pu Mat national park.
Some characteristics of remote areas structure (such as difficult geography, ethnic minority culture, etc.) lead to
the limitation of access to knowledge and information from outsider, notably in agricultural production.
The study site chosen among the 12 agricultural communes of Con Cuong district is located in Yen Khe
commune. The site belongs to the buffer zone of PuMat National park. There are nine villages with about 98
percent of ethnic minority people.
Policy background
Through the reform in 1986, Vietnam has shifted into a market economy. There are many policies for
agricultural and rural development both in general and in particular. Policies related to AKIS and extension
includes decrees about functioning and mechanism of many different organizations, and plans for each period,
per field. For example, at national level, the law on science and technology ratified on 9 June, 2000
stimulating organization and activities of science and technology; the decree 13/CP, 1993; the Decree 56/
2005/ND-CP for extension activities, and the Resolution 80/2002/QD-TTg for contract consumption of
agricultural products and the linkage among many actors (researchers-farmers-extensionists-marketers).
The law of science and technology also made statements on applied research, research synergy, and
interdisciplinary research in all research aspects in general, especially in agricultural/rural development. This
fills the gap in theory researches but lacks in the applied researches that existed before. Recently, participatory
research or interdisciplinary research has been used in many aspects of both agricultural science and social
sciences. It means that the linkage between research and other stakeholders was tightening.
According to Decree 13/CP (1993),the roles of the extension organization are as follows: (i) to disseminate
advanced technology in cultivation, animal husbandry, forestry fishery, processing industry, storage and post-
harvest technology; (ii) to develop economic management skill and knowledge among farmers for effective
business production; (iii) to co-ordinate with other organizations in order to provide market and price
information to farmers so that they can organize their production and business in an economically efficient
way.
An important policy was the Decree 56/ 2005/ND-CP which replaced Decree 13/1993-CP that consisted
of contents, organizations and financial policies of extension (in the fields of livestock, crops, forestry,
aquaculture, etc.). It applies to all actors who are involved in extension activities. In the Decree, the main
principles of extension operation are to focus on farmer’s needs, agricultural development demands; making
close links among stakeholders and between farmers, and between researchers-farmers-extensionists-managers-

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marketeers. This Decree also mentioned extension socialization , increasing the democratization-accountability
and voluntary producers, as well as appropriated extension activities for production, and extension priority for
remote areas, difficult areas and to export agricultural production areas. In addition, the contents that extension
should focus on such as information propaganda (policy, market, technology innovation, etc., by mass media
and others); training for producers (knowledge, skills of production and management), for extensionists
(professional skills/knowledge), organization of study tours (both internal and external); building models and
transferring technology; advicing services and others; and international cooperation. According to the Decree,
one of the principles of extension operation is creating close linkages among actors whose are involved in
extension activities, while the current debates are weak links. The Decree 56/ 2005/ND-CP replaced Decree
13/1993-CP by a new one that emphasized coordination in extension and extension socialization.
The emphasis on coordination in extension of Decree 56 is very important and affects the AKIS and needs
to coordinate all actors within AKIS together for a better collaboration. However, this point seems to be
more about theory than practice and causes lack of ties among stakeholders in their synergy. Therefore, the
Resolution 80/2002/QD-TTg on contract consumption of agricultural product between producers and
marketers has encouraged synergy among actors within AKIS both of generation, diffusion and utilization
agricultural knowledge/information to agricultural production for the better. Growder, 1996, describes such
situation as “Structurally actors are often compartmentalized in separate institutions, or even ministries, and
have a history of functional specialization which hampers the establishment of effective linkages. Institutional
boundaries, which are heightened by competition for scarce resources, can undermine policies aimed at
integrating actor activities”. Thus, the law on science and technology ratified on 9 June, 2000, the Decree 56/
2005/ND-CP, and the Resolution 80/2002/QD-TTg were significantly related to a better AKIS.
Besides, there are recent policies at provincial level in Nghe An province such as Nghe An Province Party’s
instruction No 05-CT/TU/2002 stipulating that training courses in extension should work in collaboration
with DARD, the Extension Centers and Farmer’s Associations etc. to provide training for farmers. The
Decree 49 and 50 are guidelines for this instruction. However, according to Dang Ngoc Quang (2007), many
disparate players in the extension have created fragmented approaches, regulations and impact on many sectors.
In addition, accessing to WTO requires that Vietnam will reduce and stop subsidizing farmers and cut down
import tax of agricultural products in order to create equitable competition. The Vietnamese economic
consultants have forecasted that the trend of on-farm income will reduce, the gap between rural and urban
areas will increase and there will be some other challenges because of the competition between imported
agricultural products and the domestic agricultural products (Lai Ngoc Hai, 2007).
Therefore, what is the experience in the Vietnam context, in implementing those policies in light of the
primary focus on growth in higher potential areas? What priorities will there be for farmers in remote areas,
with little potential of competing in distant markets? Will policies be implemented in reality? These issues are
not analysed in detail in this research, but should be examined in further studies to understand the future
direction of the AKIS in marginal areas.
The lessons learnt from choosing such a site with difficult farming and market conditions will hopefully
contribute to development of agricultural production in upland areas
Scientific background
To gain from analyzing the importance of AKIS linkages for extension services to able to contribute in a good
way, the research is conducted based on understanding the structure of the system and the function of each
component within the AKIS. Linkages between major institutional actors in agricultural knowledge and
information systems are widely recognized as essential for an effective flow of technology and information
between research, extension, and farmers (Peterson, et al., 2001). The AKIS are theoretical constructs based on
the assumption that functioning systems actually exist. These "systems" includes of different institutional actors
(farmers, private- and public-sector organizations and other stakeholders) involved in technology generation,
dissemination and utilization of improved crop varieties, agrochemicals, cultural and management practices
related to livestock, crops, and natural resources. The AKIS put forward an integrated concept emphasizing

3
The term “Extension socialization” (xa hoi hoa khuyen nong) in Vietnam case was be understand that innovation
process of extension activities from subsidies/ monopoly extension sector of state to private/non-government sector;
with participation of multi-actors in extension. “xa hoi hoa khuyen nong” mean that utilization all different power of
actors This term is similar with pluralism in extension

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important connections among three knowledge systems (the agricultural extension system, the agricultural
research system, and the agricultural education system) as the same as an agricultural knowledge system
"triangle".
There are many studies on the AKIS approach in internationally such as Crowder & Anderson, 1996; FAO,
Word Bank, 2000; Berdegue, and Escobar, 2001; Peterson, et al, 2001; and Rivera, et al., 2005. However,
there is a lack of research in Vietnam about the AKIS. Thus this study will be based on existing theoretical
/methodology approaches about AKIS and will make used of previous research.

1.2.2 Justification
The reasons for choosing the study site in the buffer zone of Pu Mat national park is the significance in
interdependency of up-stream (upland area) to down- stream (low-land area) of a World Biosphere Reserve
area as well as the relevance of the AKIS in generation, dissemination and utilization of knowledge and
information for agriculture production, marketing, and post-harvest handling of agricultural products and
management of natural resources. Furthermore, there is a significant relation between natural resources and
people’s livelihoods. If standards of living raise, interest in conservation will be enhanced but it is unrealistic to
expect a conservation interest from impoverished communities. Besides, characteristics of this study site such as
high population, low education levels of farmers, ethnic minorities people, high poverty, low access to
market/ to information/ extension, and others, are big challenges for sustainable agricultural production. The
extension is very necessary in this site. Meanwhile, poverty, increasing population and other issues need to be
emphasized in environment protection and natural resource management parallel with economic growth.
Additionally, Vietnam faces implications of WTO membership with many high requirements and global
competition. Synergy/ linkages among stakeholders in generation, diffusion and utilization of knowledge
needs to be improved. That’s necessary to study based on AKIS approaches.
On the other hand, agricultural development requires much more of technology, capital and education.
Enhancing agricultural productivity based on new technology is needed for continued reduction of poverty
and food security. A new technology of agriculture must develop much more than itself that applied beginning
for suitable with the fact. This requires improvements in the participation of producers, extensionists,
researchers and agricultural educators as well as all other stakeholders.. Weitz (1971), indicated that without an
effective system of marketing, input supply, credit, transportation, extension, research, education and other
services, the small-scale farmers are unable to make the transition from subsistence to market-oriented farming.
4
That seems to be similar in the current context of Vietnam in general and this site in particular . Also, in this
transition, the role of the support system is critical. Research, extension and agricultural education are crucial
elements of the support system. Thus, the AKIS approach needs to set these actors (research, extension,
education, farmer and other) in interaction of system for generation, diffusion and utilization agricultural
knowledge/information in agricultural production.
It is hoped that the result of this study will contribute to a more effective agricultural extension services as
well as a better AKIS.

1.2.3 Objectives and research questions

The overall objective is to analyze the importance of AKIS linkages for extension services to able to
contribute in a good way.
The specific objectives are to
- look at where the extension services make a clear contribution to the flow of information within the
AKIS and where it does not:
a. to understand the structure of the AKIS (the linkage between extension and other actors in the AKIS ) at
the commune level
b. to identify the role of extension service in making a clear contribution to the flow of information within
the AKIS and where it does not

4
Transition from self-supplied economy to market-oriented economy

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 - analyse the factors affecting on the ability and incentives for the extension service to make a contribution.
Key question
Are weak linkages in the AKIS constraining the extension services possibilities to make an effective
contribution?
Subsidiary questions
1) How do the linkages between the extension services and other actors in the AKIS function
- What are the actors involved in the AKIS?
- Which are the key actors important for diffusion in the AKIS?
- How does the connection between the extension services with other actors in the AKIS function?
2) Which are the effects of those linkages?
3) What are the factors affecting those linkages? And how do they affect these linkages?

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2 THEORY AND LITERATURE REVIEW

2.1 Clarification of the terms

When we use the AKIS perspective, a number of concepts play a pivotal role in the analysis. In this section,
some main terms related to AKIS and used in the study are mentioned (FAO and Word Bank, 2000;; Pain,
2004; Revira, 2005; Yadav, non date; Salomon, 1997; and en.wikipedia.org/wiki/Agricultural ).
Agricultural Knowledge and Information System (AKIS)
“An AKIS consists of linkages among people and institutions to promote mutual learning and generate,
share and utilize agriculture-related technology, knowledge and information. This system integrates farmers,
agricultural educators, researchers and extensionists to harness knowledge and information from various sources
for better farming and improved livelihoods” (FAO and World Bank, 2000).
The AKIS model describes the two-way flow of information and knowledge among the research, extension
organizations and farmers. The new concept is emerging for participation in leaning and problem solving. This
is very important for farmers whose ability to cope with the unpredictable is often the key to survival (FAO
and World Bank, 2000). It is useful in Vietnam current context (and in the upland area also) when there is a
lack of research following the AKIS approach. To study the extension services is relevant for improvement s in
the AKIS.
The actors in the AKIS include extension services, research organizations, producers (farmer), agricultural
education units and other actors such as supporters (credit sources, marketers, input suppliers).
Agriculture
Broadly agriculture includes science, art, and business of crop and livestock production.
(en.wikipedia.org/wiki/Agricultural). Agricultural in this study involves all type of activities in the fields of
crop, livestock, and forestry.
Knowledge and information
The term of innovation involves elements like knowledge and information. Knowledge and information
are keys to economic, social and political development. Rural areas do not only require knowledge and
information for agricultural production but also need to know about markets, prices, standards, alternative
sources of income, organization, and political reforms.
Knowledge is a property of the mind; knowledge processes take place at the individual level and may be
enhanced by group learning.
Information is an organized set of data this may show trends or patterns and is amenable to interpretation.
Extension (in this case the term “extension” means agricultural extension)
The use of the word ”extension” derives from an educational development in England during the second
half of the nineteenth century. Historically, the definitions of extension have change constantly, reflecting the
trends in thinking and practice. Rivera and Qamar (no date) defined extension by distinguishing between
agricultural extension and rural extension. They said that agricultural extension agents have already been
commandeered to take on tasks involving construction of post-harvest on-farm infrastructure, marketing and
processing, farm management and the organization of farmers into special agricultural interest groups; and tasks
associated with "rural extension" include micro-enterprise development, non-formal literacy education, family
planning, nutrition, health and other rural, non-agricultural areas needing attention. In the study site,
extension activities focus mainly on agriculture, so this study mentions primarily agricultural extension and uses
the term “extension” for short. There are academic definitions (Axinn, 1988, Boone, 1989, Pain, 2004), but
this statement is supported by the definition of Pain (2004) which looked at extension as a professional
communication intervention deployed by an institution to bring about or induce voluntary change in behavior
by individuals which has a presumed public or collective utility.
Actor- a person, group (formal and informal), organizations, or institution involved in demanding, supplying
or exchanging information
Key actors- are important actors who are the main actors in the AKIS.

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 The triangle knowledge means that knowledge in process of generation, diffusion and utilization will develop
more objectively by many different actors. Commonly, triangle knowledge was understood as three legs to
harness or to generate together.
Linkage among actors, and the related linkage mechanisms are a quite significant part of AKIS, they should
indicate how actors communicate and work together.
Formal linkage is a link when it is given official sanction
Informal linkages: refer to the exchange of resources and information without official sanction or through
personal contact
Internal linkages are links among actors/institutions (ex. Linkage among farmers)
External linkages are links between and among actors within AKIS (ex. Linkage between farmers and
extension and research)
Top-down linkages are links following top to down
Bottom-up linkages are links stated from grass root level
Linkage mechanisms are arrangements that facilitate communication coordination.
Participation: The involvement of actors in the process of making decisions that will affect them, including
what is to be done and how successful use of participative approaches requires respect for other’s knowledge
experience and willingness to involve them in implementing contribution, sharing and evaluating proposed
solution
Synergy: An effect arising from the cooperative activity of two 2-3 agents when working together,
producing a combined result greater than either one could have achieved alone.

2.2 Previous studies

This section review on some previous studies in the Word such as Rivera et al, 2005; Ramirez, R., non date;
Berdegue and Escoba, 2001; Crowder and Anderson, 1996; FAO and WB, 2000; Salomon, 1997.
In Vietnam recently, the mass media, workshops and policies have mentioned the importance of
synergy/collaboration/ linkages in production in the new context of globalization. However, research on the
linkages of extension-research-farmers seems to be limited. The theory of Agricultural Knowledge and
Information System (AKIS) is new for most people and for researchers in particular. According to specialists,
consultants, and researchers in agriculture, there is lack of studies on AKIS and the AKIS theory in Vietnam.
This gap on AKIS research will be contribute by this study on the AKIS linkages.
In the world, however, according to Rivera, 2005 the AKIS approach by the linkage between public sector
agricultural research and extension has been an important concern since the 1970s, and then some scholars
argue for the importance of “the integration of research and education with governance, with supply, with
production, and with marketing”.
A systems approach is an understanding of system structure. It involves understanding of the elements in the
system and the interaction of them, as well as the environment around the system (Gharajedaghi, 2003). From
this general systems approach, the AKIS also searches an understanding of the actors, the interaction between
and among actors within AKIS and how the environment affects the interactions. This study will focus on the
structure of AKIS (actors, the AKIS linkages, factors).
According to Ramirez, R., non date, a number of research approaches (Garforth,1993; Rolling 1990;
Brunold and Scheuermeier, 1996) have been suggested for investigating the elements, strengths, and
weaknesses of an AKIS at a local, regional or national level. They tend to remain researcher-controlled and
allow limited participation by the different stakeholders and they do not promote the operationalisation of the
model.
Many reports such as those by Crowder & Anderson, 1996; Salomon & Engel, 1997; FAO and WB, 2000;
Berdegue & Escobar, 2001; Rivera et al, 2005; and others focus on AKIS research.
Bagnall-Oakeley and Ocilaje (2002) review Rapid Appraisal of Agricultural Knowledge System (RAAKS)
as a management tool used to understand AKIS and other any systems where knowledge transfer is common

14
denominator among individual and institutions. This methodology was developed in the 1990s by a group of
researchers, led by Paul Engel, at the Agricultural University in Wageningen. Salomon and Engel (1997) had
used RAAKS for their project to improve AKIS for agricultural production in particular and rural
development in general. Many methods and tools used in this project were mainly qualitative methods.
RAAKS is best described as a management tool for understanding an AKIS in a participatory manner. This
study borrowed some qualitative methods used in RAAKS for collection of data and for analysis such as
networking mapping, and matrix of linkage identification. But the tools were made more visual and, therefore
more accessible to farmers by using PRA techniques. This study did not make use of quantitative methods
because of a lack of time and funding and also because of the research objectives and large context of this study
(four main production types for two purposes: food security and market). This study is a first initial research to
understand the AKIS linkages and it focused on the linkages between extension and other actors within AKIS
of these four types of production with two purposes above. Thus, further research perhaps could combine
qualitative and quantitative methods in one type of production to get a deeper understanding of AKIS in
practice in a Vietnam context.
FAO and World Bank (2000) and Berdegue and Escobar (2001) illustrate an understanding of the
importance of AKIS in rural development, especially in poverty reduction, food security, and market demand.
Concurrently, they indicated the important role of an effective AKIS for better development of agricultural
aspects in the generation, diffusion and utilization of knowledge and information. Thus significance of the
study on AKIS is needs in Vietnam context.
The Rivera et al (2005) mentioned that the studies of Roeling, 1990, Merill, 1990, Spurling et al 1992,
Antholt, 1994 concluded that the linkages between research and extension remained a critical weakness in
many countries and their affected research/extension of agriculture critical weakness in many countries and it’s
affect on research/extension of agriculture.
The Neuchatel Initiative Group (1999), based on a series of case studies and joint reflections is helping to
bring a measure of convergence to the thinking on objectives, methods and means of support for extension
policies. They have given new approaches for extension with six principles including sound agricultural policy,
extension as facilitation rather than “technology transfer”, producers as clients, stakeholders and sponsors rather
than beneficieries of agricultural extension, new relationship between farmers and private suppliers of goods
and services, new perspectives regarding public funding and private actors, and coordination and dialogue
between actors due to pluralism and decentralization. They focus on relationships between farmers and private
suppliers of goods/services for market demands and for coordination/ dialogue between actors for the
pluralism in extension services that is needed for better service.
The actors involved in Agricultural Knowledge and Information Systems (AKIS) include the institutions
and organizations or individuals that generate and disseminate knowledge and information to support
agriculture production and marketing. There are four main actors within AKIS including farmers,
extensionists, researchers and educators (FAO and WB, 2000). However, Rivera (2005) reviewed other ideal
models of AKIS such as the Pakistan case study, that illustrates five major actors consisting of farmers,
extensionists, researchers, educators and supporters (credit, input and marketers). This new model of AKIS in
the Pakistan case with five main actors seems to be appropriate to agricultural production for
commerce.because the supporters (credit, input suppliers and marketers) are also important actors who need to
be in close synergy with other actors for better production process and services. Thus, in this study although it
is based on the AKIS theory of FAO and WB, does not only focus on four main actors (farmers, extension,
research, education) but includes the fifth group of main actors as Rivera reviewed above. These main actors
have different backgrounds and their functions belong to different ministries. For example, in Vietnam,
extension units (agencies) belong to the Ministry of Agriculture and Rural Development, research units belong
to the Ministry of Science and Technology, education units belong to the Ministry of Education and Training,
and most of the input suppliers and marketers belong to the Ministry of Trade and Industry. Therefore,
linkages between and among them in their activities requires following of the general policies or mechanisms.
Some main policies related to AKIS linkages have been reviewed in the section of policy background such as
the law on science and technology ratified on 9 June, 2000 stimulating organization and activities of science
and technology; the decree 13/CP, 1993; the Decree 56/ 2005/ND-CP for extension activities, and the
Resolution 80/2002/QD-TTg for contract consumption of agricultural products and the linkage among many
actors (researchers-farmers-extensionists-marketers, etc.).

15
 Most of the previous studies were mainly for development planning (Bachmann, 2000; Berdegue and
Escobar, 2001; Bagnal-Oakeley and Ocilaje, 2002) and lack of real research. They seem to lack of emphasis on
indicators to assess the AKIS linkages. However, Ramizer, in his review of the case of Philippines used six
criteria (actors’ awareness, relevance of actors’ services, timeliness of actors’ services, accessibility to other
actors’ services, communication media and linkage control) as qualitative indicators for a first attempt to
systematically assess linkage performance. Besides, this author also did not consider any quantitative indicators
of linkage performance. Thus, in this study has not used six indicators above for access AKIS linkage instead of
borrowing them. This study based on creation of AKIS’ actors who are participants in data collection process.
Because of the extension methods used in extension activities to indicate the linkage between extension
and farmers is strong or weak. Thus, in table 2.1 (Nguyen Duy Hoan, 2007) summaries on traditional
extension methods and participatory extension methods on theory aim related with extension methods to use
in the practice of the fact to assess how on the linkage.

Table 2.1: Summary on traditional extension methods and participatory extension methods
Traditional Extension methods Participatory Extension methods
Some kinds of method TOT: Transfer of technology PAEM: Participatory Agricultural Extension
Training by top-down Methods: group discussion, training & visit with
communication discussion; discussion in the field; etc.
PTD: Participatory Technology Development
FFS: farmer field school

Approaches Top down, one way flow of
information
Aim Technology adoption
Key players Scientists/ extension agents
The role of extension The extension staff as a
staff trainer/supporter follow top down.
Setting the extensionist in centre/
less interaction among stakeholder
The role of The farmers be defined as
producers/farmers backward, stupid
Bottom up, interdisciplinary, systematic, two-way
flow of information
Co-operative action
Stakeholders/facilitators
Collaboration in facilitation, guidance, sharing,
incentive
The extension worker as a facilitator/seeker to give
alternatives
-The farmer in centre in participation process, with
the role main actor, dicisiveness, own initiative in all
of activities of production.
- The farmer be appreciated as powerful capital for
innovation/renovation

Functioning Less of learning process together,
one-way knowledge.. The loss of
indigenous knowledge and
integrated knowledge of
stakeholders.
The linkages and interaction among farmer,
researchers, extension staff and others to enhancing
learning exchange process together, sharing
knowledge and information, integrated knowledge,
triangle knowledge. High benefits of all of
stakeholders.

Advantage -Quick, simple, low cost
- Could be applied to solving big
issue/problems of region/national
such as poverty, hunger, disease
pandemic, post-calamity, etc.
Disadvantage -Less of participation
- Imposition, inflexible
- Low effect in utilization of
integrated capitals
Applied conditions Apply for most of equal conditions
areas, high investment areas, fairly
economic
Sources: Nguyen Duy Hoan, et al., 2007
-Flexible, democratic, and having participation
- Improving farmer ability and community capacity
- Utilization all capitals/potential of producers and
local site
-High cost, long time
- Narrow applied scale,
Appropriate application for remote area, complex
areas, weak economic areas, low investment, multi-
vulnerability

16
17
3 METHODOLOGY

3.1 Selection of study site

The site for this study is located in a remote area, mountainous district/commune/village where livelihoods of
rural people are mostly based on agriculture. The study site belongs to world biosphere reserve area of Nghean
5
West . Thus, it is different from other sites, both in terms of agricultural production and management of
valuable natural resources. Meanwhile, according to the chairman of Con Cuong district, the local farmers
have faced many difficulties and challenges such as low labor’s productivity, low education, ethnic minority
culture, complex topography, forest based living habits in past, poor infrastructure, high poverty rate, natural
calamities, global competition, inflation, big gap between lowland and upland areas, and especially low access
to information and knowledge for their life and production. Therefore, the site is relevant to be selected for a
study on extension services and AKIS for understanding a special situation with some criteria such as an
agricultural commune, having extension activities, and belonging to a mountainous district.
The process of selecting the study sites went through several steps. First, it was based on experience and
6
opinions of the VU research group on upland areas and they suggested Con Cuong district. Second, personal
contacts with local staff working in the District People Committee, and the District Extension Station were
made. Their advice was requested as to which locations in their area met the above criteria. Using this
information, the team members discussed and decided on YenKhe commune. A plan for preliminary visits to
the pre-selected sites was then designed. Arrangements were made, including contacts with local staff to
confirm the date and the length of visits. Lastly, after discussion with staff of YenKhe commune, Pha village
was chosen for this study.
The selected study site is Yen Khe commune (case of Pha village), Con Cuong district, Nghe An province,
Viet Nam (Figure 1). Con Cuong is a high mountainous district located in the West of Nghe An province
(Figure 1) with the altitude of about 850m. Yen Khe commune belongs to the buffer zone of Pu Mat National
park with native forest and high bio-diversity. The natural area of the commune is 5,162 ha with 593 ha of
cultivated land. Most people are agriculture-dependent with different fields on crops, livestock and forest. Pha
village is one of nine villages of Yen Khe commune. It meets the selected criteria such as an agriculture- based
livelihood, existing extension services, ethnic minority people, and is in the buffer zone of PuMat’s national
park.

5
UNESCO’s recognition on world biosphere reserve area of Nghean West at July, 2007.
6
VU research group: research group of Vinh University

18
Figure 3.1: Location of study site

3.2 Conceptual framework

Education,
Research,
Extension,
Farmers ,
Supporters
A d th

The AKIS linkages:

Frequency, Participation,
Farmer needs

Key
Agricultural Production:
determinants
Rice, Forestry
affecting on
AKIS linkages Tea, Livestock

19
Figure 3.2: Conceptual framework

The study is based on AKIS theory to examine how the linkages/interaction between and among actors in the
AKIS through some indicators as frequency, participation and farmer’s needs; then to understand what the
effects of these AKIS linkages are on agricultural production; and to identify what determinants affect these
AKIS linkages. Four groups of production including rice, forestry, tea and livestock in study site were divided
into two types of production as food security production and commercial production. From these two types of
production, some cases outside of this study site will be analyzed to compare and to highlight research
problems.
To examine these linkages/synergy on how, what and why, the study is based on the AKIS approach
because the linkages between major institutional actors in such systems are widely recognized as essential for an
effective flow of technology and information between research, extension, and farmers (Peterson et al., 2001).
The analysis of all relevant actors in an AKIS greatly helps one to understand the complex situation in
agricultural development. The emphasis on networking is refreshing and very much needed in these times
when the traditional role of extension services of transferring technologies from research to farmers seems to be
outdated and inappropriate.
The AKIS theory (FAO and WB, 2000; Rivera et al., 2005) covers all actors related to education, research,
extension, supporters, and farmers involved in AKIS and their interaction within AKIS. However, this study
has a focus on the role of main actors and their linkages within AKIS.
As indicated in the literature review, this study builds on the six indicators of Philippines case reviewed by
Ramizer (no date) as this is the first attempt to assess AKIS linkages. The indicators that were used to assess the
linkages between actors in this study have been created by the local people who are actors of the AKIS
themselves. Those indicators are based on participants’ (farmers, extensionists, educators, researchers) group
discussions and interviews where they give criteria to assess the linkage/ interaction between/among actors .
Their opinions are summarized as follows:
- Indicators to determine the linkage are frequencies (visits, meetings, contacts by many way such as face to
face, by phone, by mail, etc.), farmer needs and participation of actors (methods to use, the way to do in their
work). Most of the actors in group discussions and interviews had approved three indicators (frequencies,
farmer needs and participation) to assess AKIS linkage at Pha village. Included in there are frequencies between
producers and actors in their linkages through annual crops of each production type or each stage of
production process by the work such as meetings, guideline, contact or visit. The farmer needs were satisfied
or not, actors’ contribution in farmers’ needs and the feedback from producers to research. The participation
of stakeholders in their linkages through methods they used such as participatory method or traditional
method, top-down method or bottom-up method .
- Three types of linkages: top-down and bottom-up linkages; formal and informal linkages; external and
internal linkages.
- Weak linkages were divided into two types based on the types above such as weak one way linkage, weak
two- way linkages and whereas strong linkage is also including the strong one-way linkage and the strong two-
way linkage.

3.3 Rationale for applying qualitative methods

Qualitative methods allow gaining an empathic understanding of a complex social phenomenon and
complexities of human experiences (Holliday, 2002). Qualitative research is a broad approach to the study of
social phenomena; its various genres are naturalistic and interpretive, and they draw on multiple methods of
inquiry (Marshall, & Rossman, 1999). Thus, based on secondary data and results from RRA in the pre-
7
fieldtrip , this study only used qualitative methods to deeply understand the current situation of AKIS

7
lack of strong linkages between extension –farmer-research-education in other sites for comparisons with weak
linkages on consequences of these linkages),

20
linkages and to look at how the AKIS linkage and what factors affect on this. Moreover, this study conducted
meetings with the participants during data collection process including various elements within AKIS at four
main levels (farmer, extension, research, and education) and studied several complex linkage types (external
linkages/internal linkages, top-down linkages/ bottom up linkages, pair-linkages/tri-linkages/tetra-linkages) as
well as different types of production for different purposes. Thus, qualitative approach on AKIS research and to
expand on the original AKIS approach for this case is rational and appropriate.

3.4 Methodology framework

Secondary data:
Theory on AKIS,
Literature review

Writing/
analyzing

Group discussion:
Method Mapping, matrix, SWOT Primary
used Interview: 30hhs, 34 people data
Observation: field
Meeting: farmers, local staff

Figure 3.3: Methodology framework

The study was comprehensively viewed through the participation of most of actors who are involved in the
AKIS at the study site. The study combined primary data and secondary data from various sources through
qualitative methods such as group discussions (tools used: mapping, SWOT, ranking matrix, timeline),
individual interviews, meetings, and observation. In the field trip process, the data was cross-checked by
observation, by different participants (belonging to the main four actors including farmers, extension, research,
and education and through the involvement of state management officers). Lastly, based on the meeting of all
of stakeholders to validate findings and seeking farmer’s comments as a feedback which aimed at achieving a
triangulation of information.
Firstly, a meeting was held with local authorities to examine general information for conducting/ designing
details of the study plan and get characteristics of the study site for later analysis. Group discussions were used
to understand the structure of AKIS (linkage and interaction among and between actors within AKIS) in the
four types of agricultural production; they especially focused on the linkage between extension and other
actors in the AKIS situation and reasons, as well as some suggestions, for better linkages within AKIS to
achieve better agricultural production. At the beginning of field trip, three couple groups were organized for
group discussion including poor/non-poor group, female/male group and minority/ majority group to

21
examine differences on AKIS between groups and to test difference in couples of groupmembers on the
effectiveness of extension to them as well as their opinions on this issue. This indicated that virtually, there was
no difference between the groups in their opinions. Thus in the main field trip, there was no focus on these
three couple groups. After that, the study focused on the four production groups including rice production,
forest production/protection, tea production and livestock production. The groups were randomly selected
through the list of local farmers by the head of village. The four groups participated in group discussions and
interviews. In addition, there were also participants selected for individual interviews and phone/fax interviews
such as extension workers, researchers, educators, management officers, and mass media staff.

3.5 Data collection methods

Group discussions, PRA tools (information mapping, linkage identification matrix, individual interviews,
meetings, phone/fax interviews) were combined with secondary data and observation and other tools/
methods were used in field work for data gathering (see summary in Table 3.1). Specially, participatory
methods and tools played an important role in making a vivid picture with multi-participants for triangulating
data to avoid researcher’s bias.

22
Table 3.1: Summary on data collection process
Methods/Tool used Collected data/purpose Strengths Weakness
Group discussion: 1. General Information: -To get qualified information from -Based on the role of facilitators as skills,
-General group: 9 2. Identify main types of production experience of some farmer in group experiences, capacity
participants 3. Events in agricultural production related to extension discussion skill from PuMat project before -Less of deep information for some private
(mapping, pair matrix, effectiveness (97-04). or sensitive issue/problems
time line, SWOT) 4. SWOT of village related to extension/production -Easy to raise the farmer voice (for good
facilitator), to imagine and joy, save time,
quickly. Two facilitators assist one another.

Group discussion: 1. Differences on AKIS between groups (linkage mapping) After understanding secondary data and
Rice/Tea/Forestry/Li 2. Identify major actors in diffusion and contribution of extension discussing with commune officers, we
vestock gr.(mapping, ser. in information flow (pair matrix and Venn diagram) decided to focus on 1 village cause of quite
pair matrix, Venn 3. Understand influence of AKIS linkages on diffusion of A.K.I.S similar agricultural production of two
diagram) (adoption, problems, effectiveness in production, farmer needs) villages.
9 participants/group 4. Identify the factors affecting on the ability and incentives for
extension to make a contribution (pair matrix)
Interviews -Supplement data from group discussion as effect of AKIS linkage -Understand deeper some issues - cost of time and fund
30 hhs farmers in 4 in diffusion of innovation -Easy to talk with interviewer, not to be -only one interviewer ask (not assistant)
types of production: 9 -Understand deeper why the AKIS linkages is weak, the weak affected by others -If the interviewer is lack of skill or not
hhs on rice, 5 hhs on extension, contribution of extension responsible in interviewing…(34 pe. In 5
tea, 8 hhs on forestry, -Find some problem/solution for… level only I int.)
8 hhs on livestock

Interviews - Examine clearly the linkage between extension and others for
34 people in 5 levels agricultural production.
(village, commune, - Identify the reason effecting these linkages and suggestion
district, province,
national)

23
Meeting -Present some findings, seek farmer’s comment and validate of the -Through other village meeting to -Some individual or group is difficult to
Farmers/extension findings introduce purpose of this meeting/interest give their voice (92 persons)
staff at village, -Suggestions/ for Extension to contribute better…(factors and duty as well as the role of facilitators. -Management and facilitation in meeting
commune, district affecting on…) Those lead to high efficiency of meeting process are more difficult than small group
(member enjoy and relax to give their dis.
opinion, receive abundant information
-Save time

Phone/Fax Some analyses on success or failure stories of extension and farmer -Quickly data selection. -Lack of participation of other stakeholders
interviews combine related in the AKIS linkage -Plentiful data to analyse and observation by researcher in each case
with secondary data for cross-checking and multi-dimension
review picture
2 farmers and 3 -The exactness and objectiveness in
officers in the field of secondary data
industry, agriculture
and state management
at provincial level

Observations Observation used in field trip combined with other methods/tools When combining observation with other Sometimes, the researchers ignore some
combined with other used to cross-check and reinforce information, data method/tools, it was useful to obtain detail that he (she) thinks it is unimportant.
methods/tools triangulation of data and avoid bias or loss Sometimes, the researchers are absorbed or
some information. Example, observation in interesting on something so he (she) forgets
group discussion process to see interaction the observation.
of participants together help facilitator to
encourage or see constraints or find suitable
solutions for each of event
Sources: Nguyen Thi Phuong, 2007

24
 Firstly, the study was based on group discussions (farmers) to get general information on this study site and ,
examining differences in the AKIS of various groups. Then, it focused on the four selected production groups
(Tea, rice, livestock, and forestry) to understand the AKIS linkages: how, what and why. Secondly, the study
used individual interviews (farmers, extension workers, researchers, educators, and other actors) to understand
deeper the AKIS linkages (how, what and why), especially focusing on the linkages between extension services
and other actors within AKIS. Thirdly, the study held meetings to validate previous findings (secondary data,
group discussion and interview), seek participants’ comments and supplement some data/information. Lastly,
phone/fax interviews were used in combination with secondary data review to supplement evidence on the
linkages between extension services and other actors (how, what and why) from outside (other site). Data
collection and observation were combined closely to cross-check and reinforce information.
The tools used to identify the linkages/interaction between and among actors within AKIS are both
information mapping and matrix for linkage identification. The purpose of these tools was to gain insight into
information networks associated with each production group. In addition to tools of linkage matrix were used
to identify how the linkages aimed, affirmed/cross checking of evidence in network mapping was used as
well as reducing complexly when using mapping. These tools supplemented each other. Information mapping
tool referred to a complex diagram and linkage identification matrix tool gave a straightforward overview.
Information mapping tool allowed participants to have clear insight and avoided omitting any linkage or actors
within complex AKIS, and the matrix tool made linkages/interaction between actors clearer. The process of
using these tools came from bottom to top levels with the participation of farmers (grass root level), extension
workers, researchers, educators, and other stakeholders involved in AKIS through group discussions and
individual interviews. Participation of all actors in AKIS gave a multi-view with cross-checked information on
their linkages and other linkages within the system. This made evidence convincing and unbiased. In addition,
the conversations in individual interviews allowed a deeper understanding about the linkages/interaction
within AKIS, effects and reasons for these.

3.6 Data analysis methods

The study used qualitative methods to analyze both secondary data and primary data to look at where
extension services make a clear contribution to the flow of information within the AKIS and where it does not
,and to analyse factors affecting on the ability and incentives for the extension service to make a contribution.
Secondary data were used in the literature review and combined with primary data for analysis of findings and
discussion. Data are presented in the form of descriptive statistics, cited words, tables, figures, diagrams,
interview boxes and charts. All helped making comparisons to discover differences among the four groups and
among key actors. First, the study identifies AKIS linkages, describes them with the emphasis on key actors at
grass-root level (farmer level), especially focusing on linkages between extension and other actors and analyzes
the strong linkages and the weak linkages.Then, based on cause and effect analysis, the study aims at presenting
consequences of these linkages and key factors affecting these linkages.

3.7 The study limitations

The limitations of the study are as follows:
- The concept/theory on AKIS is new in Vietnam, so in pre-fieldtrip, the author must communicate the
concepts to interviewers and assistants in the research team. In the field work process, the research must be
repeatedly explained to be easily understood by participants. This took a lot of time, but this was useful for

25
author in understanding clearly this theory and the participants also understood the importance of better AKIS
and AKIS linkages.
- The study presents a description of the AKIS current situation (linkages, interaction between and among
actors) with the focus on linkages between extension services and others and the key factors affecting on these
AKIS linkages at the study site. The study design covered only one village belonging to one commune in the
remote area of Con Cuong district where there is a lack of extension’s role as bridge between farmer and
8
research . Thus, this study used only qualitative methods. If the study design had used two sites with one of
strong linkage and one of weak linkage (between extension and other actors in AKIS) for comparison, the
study should be combined both qualitative and quantitative methods in data collection and analysis for a vivid
picture and a clearly view. This could be realized in further research.
The study found many useful and enlightening illustrations of the different kinds of AKIS in just a small
area but the sample was too small to be able to generalize about how common these phenomena are, or to
verifiably attribute many of the suspected causal factors for the weak functioning of the AKIS. That should be
verified by further research in the future.

8
VandenBan and Hawkins, 1999 (reference section)

26
4 FINDINGS AND DISCUSSION

This chapter describes the general characteristics of the study site, structures of the AKIS, linkages among
actors in AKIS, effects of those linkages on agriculture production and lastly identifies factors that influence
those linkages. Four production types are described. Those are rice production, tea, forest and livestock
production.

4.1 General characteristics of the study site

Yen Khe commune includes nine villages with about 98 percent of ethnic minority people. Their main
livelihood is based on farm and very few non-farm activities. On farm activities include crop, livestock and
forest production. Forest occupies more or less 70 percent of the total natural area of the commune. Major
crops cultivated in this area are rice, cassava, bean, maize, tea and some kinds of vegetables. The Pha village is
one of the well-off villages of Yen Khe commune. Major characteristics of the commune are presented in
Table 4.1. It shows that a mixed ethnic minority and majority people could be influencing agricultural
production. The majority people in this village migrated from lowland districts of Nghe An province after the
9
starvation in 1945. According the old , main causes of this famine were repression and exploitation of French
colonialism, the feudal system and Japan fascism aggressor of Japan as well as a great epidemic on food crops in
1944. Thousands had died of hunger and survivors migrated to forest areas (to find natural foods from the
forest) and to other areas. Thus, this site has both majority and minority people. The head of the cultural
commune section said that a mixed cultural complement gave specific characteristics to this village. The
traditional cultivation, customs and habits of minority and majority people have been mixed and influenced
each other.
Table 4.1 also shows some factors affecting access to information/knowledge about agriculture and
extension activities/agricultural production. For the whole Yen Khe commune, as well as Pha village, more or
less half of the households have television or radio and there is one loud speaker in each village and one
cultural post office where people can come to read or borrow newspapers. However, most people in group
discussions reflected that the communication means here are poor (newspaper, telephone, TV, radio, internet,)
and that it lead to limited information as well as difficulties for farmers in accessing information and co-
ordination with specialists for production. The ratio extension staff/ farmer indicated a very low number
extensionists to cover their extension activities. This impedes on the contact with various farmers (poor/non
poor, male/female, old/young, different household size, various demands), on participation as well as on the
frequency of extension activities. It means that the ratio between extensionist and farmer is a factor to affect
the linkage between extension and farmers.
Table 4.1: Some characteristics of study site
Characteristics Yen Khe Commune Pha village
Radio, TV, newspaper, - About 50-60% hhs having TV,radio. -About 40-50% having TV, radio
books, internet, - One commune cultural post office -Limited newspaper, internet, book
telephone, etc. (telephone, newspaper, books): few farmer - One loudspeaker
used books and newspaper in this office (2-5 - 3% hhs having telephone
times/week)
- About 5-10% having telephone
Extensionist and - One agricultural unit (crop cultivation, - One village extensionist hold village
agricultural office livestock, forestry) head and farmer’s Union leader
- One commune extensionist - two extenionists of Pumat’s project

9
The old who is a Kinh migrator come from lowland areas

27
 (past, non activities)
Ratio extensionist/ - 1 commune and 1 village extensionist/ 4874 - 1 village extensionist/ 688 people
farmer people.
- 1 district extensionist/ two-three communes
Natural land Area (ha) 5243,53 954
-On-farm land area 4950.34 124
(ha) 44.59 6.5 (300-500m2/hhs)
- Home land (ha) 293.19
- Non farm land (ha) 186 10
- Tea area (ha)
Forest Area: (ha) 3884.41 822
-Natural Forest area 3479.69 797
(ha) 796.5 25
-production forest area
(ha)
Number of hhs 1118 153 hhs
Number of people 4874 688 people
Minority/ majority -850 hhs in minority - 72 hhs
Types of production: -On farm: 95% population based on agric. - Farm: 151 hhs on Rice , Livestock,
Farm/non farm production as rice, tea, forestry, fruit, Tea, Forest, Maize, Bean, gardening and
livestock, etc. others
-Some non farm: preliminary processing shop - Non farm: 2 hhs
on tea and paper materials, rice husking, (car driver, rice husking)
officer, etc.
Farming for food Rice, cassava Rice (hybrid rice)
security
Farming for Livestock, tea, forestry, and others Livestock, forestry, tea
commercial sell
Sources: Interviews and secondary data, 2007

According to results from the group discussions and first meetings combined with observation, there are
some advantages, disadvantages, opportunities and threats on livelihoods in this village which are summarized
in Table 4.2. Based on these characteristics, the farmers as well as extensionists, researchers and others could be
analysed and used in activities aiming to promote advantages, remove disadvantages, use opportunities and
prevent threats. In this study, some of this information could be combined with other data to understand or
explain or discuss various issues and problems.
Table 4.2: Summary Strengths, Weakness, Opportunities and Threats for agricultural production
Strengths: Weaknesses:
- 100% households having electricity - One village loudspeaker to communication information
- quite good irrigation for wet rice from head of village and other organizations
-40-50% households having TV and radio - No internet connection
- close to national road number 7, far away from district - Right of forestry land used is non fit and not clear /
center about 9-15km and commune center about 3-5km. low direct benefits from forest protection and too far
- One cultural post office at commune (telephone, book, from home land to management/
newspapers, ) - Low education of farmers. Low labor capacity/skill/.
-The enthusiasm of village officers (head of village - Large small farmers scale with diversity and complexity
- 7-9 progressive farmers who have good experience in (demands, cultural, and others) contrary very few
agricultural production extensionists with many things to do
- Near to tea preliminary processing shop, and pulp - extreme geography / topography
processing shop (consumption sources of tea and paper - few investment for production/agriculture
material crops).
- Hunger Escape of village farmers (one of the first village
of this district).
- the local farmer want to escape poverty and improving

28
 their life

Opportunities: Threats:
- Belong to Biosphere reservation area of the World, - Calamity
belong to PuMat’s national park (tourism, investment - Climate change
projects) - Soil erosion
- Investment for agriculture, farmers and rural in the near - environmental pollution
future of state when Vietnam join to WTO (hearing - epidemic diseases
from radio, TV) - Inflation
- Labor exportation
Sources: Group discussion from general group and first meeting, 2007

In addition, through interviews, group discussions and observations, the data showed that there is
diversification in agriculture production such as rice, maize, bean, tea, forest tree, cattle, poultry, cassava, and
gardening. These were categorized into the four main production groups including hybrid rice, tea, forestry,
and livestock (Appendix 3)and used in the study to understand their AKIS and especially linkages between
extension and other actors within the AKIS.

4.2 The structure of the AKIS

As mentioned above, the study focuses on four main production types consists of the rice production, forestry
production/protection, tea production, and livestock production. Four groups of households were randomly
selected through the list of local farmers, which is provided by heads of villages. These four groups participated
in group discussions and interviews of the field work. In addition, there were individual interviews, phone/fax
interviews with extensionists, researchers, educators, management officers, and mass media staffs.
The examining of the commune AKIS consisted of several steps. A first overall perspective describes the
general structure of the AKIS focusing on the linkages/interaction between and among actors within AKIS.
Then, all key actors were reviewed one by one including head of village, media, formal extension services,
forestry office, Tea enterprise, and Pumat's project extension. At last the analysis gives a general view of
linkage between key extension actors and others in AKIS with the interplay of all actors, their linkages and
information flows examined.

4.2.1 General structure of the AKIS

Findings from group discussions and interviews on structure of AKIS in four types of production are
summarized in Diagram 4.1 and Table 4.3. The complexity of AKIS diagrams (Diagrams 4.2) and simplicity of
linkage matrix in Table 4.3 complement each other for clarity. The advantage and disadvantage of these two
tools was mentioned earlier in the methodology chapter. Depending on each of production the structure of
AKIS on these are specific with different actors involved and differences in the interaction/linkages among the
actors. For instance, in the four production types, rice production has much more actors at the farmer level of
AKIS than others, and few actors are involved at farmer level of AKIS in tea and livestock production.
Meanwhile, the actors participating at top level of AKIS in forest protection were more than others at the
same level.

29
 This showed that the absence of education, the limitation of research, and the few participation of others
10
(input suppliers, marketers) in this site make the AKIS linkages partial . Meanwhile, based on AKIS theory,
the FAO and WB (2000) considered the relationship and interaction of all of AKIS actors important to harness
and to share knowledge and information from various sources to a “knowledge triangle” for a better farming
and improve livelihood. Gharajedaghi (1999) argued that the ability of learning and sharing knowledge will
make a cultural-society system continuously increase and be able to reach higher organization levels. This
collective learning and knowledge sharing encourages re-designing themselves (actors involving) through
continuous creativeness of new ways/methods on higher organization of order and complexity. Each of the
actors with different background/view such as the farmers usually focus on practice, the researchers and
educators normally focus on theories and a little bit of practice in a narrow context. All of them interact as
well as influence an interplay of agricultural knowledge/information on research, education, extension and
utilization for a better system. Therefore, absent or limited agricultural education, research and other actors in
AKIS linkages hinders development, generation, diffusion and utilization of agricultural knowledge and
information.

Educationo

Farmers

Research Extension

Diagram 4.1: Summary on the structure of AKIS at Yen Khe commune

Sources: Summary result from field trip, 2007

10
The fully developed AKIS linkage consist of at least four main actors (farmers, extension, research, agricultural
education) and other actors (input suppliers, marketers). The vacancy of any actors within a AKIS,is considered a partial
AKIS.

30
 Table 4.3: Linkage identification Matrix
Actors Ag. Research Ex. Staff Ex. staff Ext. staff Ex. staff Agri. Tea TV, PuMat’s Progressiv Farmers
Education Unit at province at district at commune at village staff enterprise project e farmers
Unit Radi
o
Ag. Educators. +++ +++ + + + ++ + + +

Researchers +++ + + ++ + +

Extension staff +++ ++ + + +++ ++ + ++

at province
Extension staff +++ ++ +++ + ++ + +++ + +
at district
Extension staff + + ++ + +++ +
at commune
Ex. staff at village + ++++ + +++ + +++
(village head)
Agr. staff +++ ++ + ++ + +

Te enterprise +++ ++ ++ (++++) +++

TV, Radio ++ ++

PuMat’s project ++ ++++

Progressive farmers + +

Farmers +++

Sources: Group discussion and Interview, 2007

Note: the symbol +++: strong linkage (one-way); ++ normal linkage; + weak linkage; and non linkage; ++++ strong linkages (two-way)

31
 Fertilizer HUAF ARI
supplier Extension
Centre

China hybrid
rice HAU
supplier National Ag. Colleges Ag.
Veterinary Universities
Re. Institute
DARD
Extension
station

Internet, TV,
Dist.Veterinary
Newspaper,
Station
Meeting Extension
Commune station
Agr. Agr.
staff Unit at district TV, Radio
Village
Head
Village
Head Livestock
Farmers
Plan Protection
Station
Farmer Rice
Union Farmers
Village
Veterinary
Neighbors

Family
TV,Radio,
Meeting

Diagram 4.2.1. The AKIS of Rice production Diagram 4.2.2.The AKIS of livestock production

Central North Other Institutes

National
Re. Institutes
Tea
Re Institute
National Other Re. Ecology Natural
Forestry Institutes resource
Re. Institute Re. Institutes
Other National Tea
A.colleges Association Foreign
/Universities Other
Ag.Universiti Organizations
companies
BaiPhu
Tea Agr. Pu Mat District
Colleges Na.Park Forestry
Nghe An Tea
PhuTho
company
Food
Tech. Schools TV,
College Radio
Forestry
Farmer in TV, Village protection
Pha village Radio Head Farmers
Neighbor

Extension
station
Tea processing Vi., Com.,
Extension Pu Mat Dist., Pro.
shop station project Institutions/Org

Forestry
Farmer in Production
neighbor village Farmers
Village Head

Diagram 4.2.4. The AKIS of Forest protection

Diagram 4.2.3. The AKIS of Tea production at two villages and forest production
Legend: one-way arrow show mainly one way linkage, two-way arrow show mainly two way linkage
From light color to bold color show levels from weak linkages to strong linkages

Diagram 4.2: The AKIS on four type of production (rice, forest, livestock and tea production)
Sources: Group discussions and interviews from field trip, 2007

32
 In order to determine how the linkages work between and among actors within AKIS, this study combined
findings from group discussions (table of matrix, notes taken, and diagrams), individual interviews, and
observation through indicators (participation, frequency, farmer needs) aimed to gain objective data. The tools
used in group discussions and individual interviews were information mapping (diagram) and linkage
identification matrix.
Findings from interviews show that the AKIS linkages are mainly informal linkages such as the linkages
between public extension services and farmers/researcher, the linkages between forest office and farmers. There
are very few formal linkages by contract or commitments like the formal linkages between the tea enterprise
and farmers/bank/tea research institute, the formal linkages among internal actors by research/education
councils. At farmer level, the formal linkages through contracts between farmers and
research/extension/buyers, contracts between private sectors and farmers, research councils, program
committees, inter-disciplinary working group, working teams and the other are limited. Farmers said that they
almost have never observed any contract between farmers and extension or research or education in this
commune and also the same in this district. Although there are some commercial products such as a paper
11
material plant, tea, hybrid maize, and others in this commune, especially it is an existing pulp processing shop .
But there is only one formal linkage by contract between tea farmers and the tea enterprise at a neighbor village
and no contracts in this village (Table 4.3 and interviews). In the example of a contractual relationship, the tea
enterprise will support tea farmers with inputs (fertilizer, variety and technology) and purchase of tea products,
and farmers observe some principles such as adoption all of these input. Based on this contract, the co-
ordination among them is rather close. Through formal linkages, the benefits and the roles/duties of all of
stakeholders as well as participation of these actors is clearly in focus under the economy laws and their
contribution for better/more effective one. Thus formal linkage through contract is a signal of effective and
sustainable linkage. It is often with clear content and effective implementation of contract.
Meanwhile, at AKIS top level, the formal linkages occasionally occur in internal linkages such as scientific
council or education council. For example, before application of research results for farmers, they were usually
passed and approved by scientific councils to take the opponents and comments. For another instance, when
the education/training field wants to build a new curriculum in extension training, they prepared before
through workshops with the education/training council. In these cases, integration among members make a
strong power to “triangulate knowledge” for better working.
In some exception cases, formal linkages appeared in external linkages such as the co-ordination between tea
farmers and tea enterprise by their contract, working team of PuMat' project in their extension activities,
interdisciplinary research group of Vinh University for poverty reduction programs and their rural development
research, scientific council of HaNoi Agricultural University with participation of many researchers from both
institutes and university (data from interview of researchers and educators). However, extension activities related to
these formal linkages (of two universities) that do only in some their programs in the short time. It means that
frequency of extension activities related these linkages are occasional.
Besides, the evidence from secondary data (Extension plan, 2005, 2006, 2007) and interviews with
researchers and educators indicated that in extension's annual plan, research's plan and education' plan, there is a
lack of emphasis on linkages among actors in their activities in general and also at farm level. Each
institution/office has an independent plan, with little interdisciplinary planning. This is a result of limited or
absent formal linkage at farmer level and lack of diversity in linkages as well as limited sanction/discussion of
multi-dimensions in planning/implementation of extension activities/ important events/problems. It means
that there is a lack of participation of multi-stakeholders.
Table 4.3 showed that the internal linkage is stronger than external linkages because the same level actors in
one unit or those with the same function can collaborate more easily than with external actors. The
interviewees indicated that the thinking of actors about the linkages was narrow (Appendix 9 and 11), this leads

11
The pulp processing shop as a mini preliminary processing factory

33
to weak practice in their work. The attitude of other actors is different, such as low education at grass root level
and this can affect their coordination.
There were some few strong linkages (one way) externally between and among: extensionists at province
level and TV broadcasts, extension staff (district, commune and village) and PuMat’s project, Tea enterprise and
farmers, and village head and farmers. There were also very few strong linkages (two way) including those
between tea enterprise and village head, tea enterprise and progressive farmers, and PuMat’s project and
farmers.
For example, that educators, researchers, extensionists, agricultural staff and farmers have relationship among
colleagues is rather common (+++). The farmers said that they usually exchange among farmers in the field, in
meetings or any where, while exchanges between them and the extensionist (except village leader), or between
them and researchers and educators occur rarely. The contribution of other farmers to production is negligible
because they said that they also lack knowledge especially on finance/market/integrated information. However,
following progressive farmers, some few farmers seek the extensionists or researchers to discuss their issues and
problems related to production, so two-way information flows occurred. The reasons why internal linkages
occurred more commonly than external linkages, was because internal actors have easier relation among
themselves, they are face to face everyday while external actors are usually difficult to meet, or relationship
among them still not yet set up, especially as the ratio between extensionists and farmers is too low (Table 4.1).
In addition, the farmers also said that there are no information units or advice services in extension where
farmers could receive, process and manage information, and that, together with the poor communication
means, complicated geography and behaviors of actors is a factor.
The findings also indicated that the methods in the linkages between actors within AKIS are usually top-
down. The actors at the bottom level are under controls/ guidance/governance of actors in the top level. For
example, the extension system from national, province, district, commune and village levels is governed top to
down as well as the governance of the three levels of people’s committees (province, district, and commune).
The information and feedback from grass root level to top level is through texts or documents, are one-way
and lacks of cross-check/ valuation of upper actors. The relationship among them in this system is also mainly
through informal linkages due to lack of contracts, working group, working councils and others. This linkage
leads to limited satisfaction to farmer’s needs (Table 4.6), especially in commercial production. There seems to
be a lack of change in administration reform, mechanism and accessing new approaches. Old behavior is
maintained with conservatism and slackness(Mr.T said). Thus,the top-down linkages were constraining
empowerment, integrated powers and multi-view of all of actors for better objective
planning/implementation/evaluation.
The above findings mean that the linkages between actors in the AKIS are weak. Additionally, this
statement was asserted by some evidence from interviews, observations, and secondary data such as unsuitable
agricultural education to labor market demands, few applied research studies and less participation of farmers in
agricultural research. Suitable in education for field research but non-appropriate for agricultural
production/state management: too many engineers on agricultural technique and few of integrated,
interdisciplinary, less capacity working with team/group/communities of the graduates in agriculture. In
curricula on training agricultural techniques, most universities/colleges focus deeper on speciality than on
integrated knowledge or interdisciplinary approaches. Teaching methods for students are changing slowly,
mainly one way impartation making graduates miss creative dynamics to do/work better in the field. (Curricula
of universities/colleges on agriculture, 2007). The interviewees said that activities in extension, research and
education still do not satisfy farmer’s needs and factual demands in upland areas
In summary, YenKhe commune has an existing AKIS with the mainly function were diffusion, utilization
of agricultural knowledge and information and very limited generation of knowledge for agricultural
production. It means that the changing in agricultural technology as well as agricultural knowledge/information
is slow. Absence of education and feeble research on agriculture at farmer level (grass root level), only partial
linkages are made. The general linkages in four AKISs are maintaining weak linkages/interaction with mainly
top-down-linkages, internal linkages, informal linkages and very few bottom-up/external/formal linkages.

34
These problems make sharing and learning in agricultural knowledge/information of all actors in AKIS trivial
and contributes to the fact that many problems and farmer's demands in the production process are changing
slowly and some to non-satisfaction (Table 4.6). Further effects are that research and education/training is
inappropriate with the fact/the farmers’ needs and market oriented production is changing slowly in this
context when Vietnam joined WTO and globalization. The results of this study show that the linkages among
institutions are often weak, while the farmers’ linkages are even weaker which is similar with the statement of
Rivera (2005). This makes production /extension/ research and education in agriculture ineffective.

4.2.2 The role of key actors within AKIS

Table 4.4 shows that there are six key actors in AKIS in the four production types and that they are divided
into three groups including public sectors (village head, media, formal extension and forestry management
offices), private sectors (Tea enterprise) and aid projects (PuMat’s project). There is a summary of their role in
Appendix 6. Among them, the tea enterprise and forestry offices only focus on one type of production, others
influencing extension activities of most production types. The data in Table 4.4 indicates that key actors
involved in this AKIS lack of formal actors if research, education and supporters. The actors within AKIS have
different abilities as well as advantages, disadvantages and different roles. According to farmers' remarks, the first
important actor is the head of village in most of the production types, and the second important role is by
media. Media’s roles is diffusion however, depends on the communication infrastructure and farmer’s attitude.
With deep thinking, opposite opinions, ebullient debates, and interaction together under a facilitators’ role in
group discussions and key interviews from fieldwork, each of the key actors play roles in the information flow
within AKIS and agricultural production as follows:
Head of village
The head of village in this district usually is a local person who is elected by villagers for a five year term.
The role of the village head in this study is based on the perspective of farmers, village head and key informants
through group discussions, interviews and meetings in this commune, both in this village and the neighbor tea
village. Various sources of data from these were cross-checked, supplemented, and validated (meeting). Thus,
combining three these forms to collect data was rather relevant and useful for better data. In the interview and
group discussion process, some opinions conflicted. For example, whether the village head had a role in
providing and making indigenous knowledge for outsiders and insiders or not, this was not agreed by majority
of participants. Only some participants discovered this role of village head through exchange of
information/knowledge with him. After a critical discussion, the farmers agreed that the role of village head on
providing and making indigenous knowledge for outsiders and insiders as a potential role in the future.
The head of village played an intermediate role in extension activities from public extension services to
farmers and conversely. Through village meetings/gatherings, field visits, his practice and contact with other
farmers, he guided directly the production process based on extension services (commune and district levels),
especially in hybrid rice/maize production and he also disseminated information on agricultural policies and
others. However, there is lack of this role of village head in tea production in this village contrary to neighbor
village. The tea farmers said that no advice for tea production had been given in along time. The difference in
the role of village heads in the two villages on tea production could be explained by non contract and contract
between tea farmers and the tea enterprise in production and consumption. In other words, tea farmers in the
neighbor village imitated production changes by the tea farmers in this village, to improve their own tea
production; they did not have a contract with the tea company. The effects of this difference was that tea
farmers in the neighbor village felt secure to invest in tea production with stable return, and tea farmers in the
study village met many difficulties in production (technology, fertilizer, variety) due to their lack of support
from outside (Diagram 4.2). It means this is a most important formal linkage with clear benefits and duties of all
stakeholders as a dynamic promotion on tea production. Besides, the head of the study village thought that
there was no potential in organized large tea production in this village, so he did not advice or diffuse
information to farmers or negotiate with the tea enterprise for a contract between them and farmers. The tea
farmers in this study site on the other hand, believed that they could produce tea on small scale as long as they

35
did so in synergy with the neighbor village and if the tea enterprise aimed at making contracts for the company.
They wanted the head of village to play the role of a leader and representative person in these contracts and
provide synergy but the head of village still disagreed with them. The conflict between them remains. A
question therefore is how to solve this problem and who can be facilitator or arbitrator to help them?
From the farmer’s perspective, based on a group discussion, the head of village contributed to the
information flow within AKIS (at present and at the future) by
- providing characteristics and conditions in the local area for extensionists such as information on the
farmers’ needs, production problems, what need from research and extension, etc.
- determining what technology is useful and relevant with others for their production case
- sharing knowledge/information, and problems, and meet with local farmers
- providing indigenous knowledge and information to outsiders (potential) and making this for insiders in
the necessary cases
- signing and managing contracts between farmers and outsiders (extension, research, consumers, input
suppliers, etc.) with the role of being farmers’ representative (in the future)
In the above, providing characteristics of local area and indigenous knowledge from village head to outsiders
seems to be unclear. It is rarely used in extension activities except some cases in PuMat's project extension. It
means that sharing information is mainly one-way from top to down and there is a lack of making/using of
indigenous knowledge for production. This argument was supplemented by other evidence through
observation, combined with interviews when local farmers harvested rice in the rainy season in this field trip:
they lack information/knowledge both of traditional and new ways to dry rice after harvesting and heaping up
made rice decay (see picture 1). This issue illustrates constraining technology development as well as utilization
12
the "triangle knowledge" , and waste of integrated power from local people and outsiders for effective post-
harvest rice handling .
Among the contributions, the most important roles of the head of village in the formal linkage between tea
farmers and tea enterprise was through contracts as the representative of tea farmers in signing and managing
contracts for better ones. This role was expressed rather clearly in the neighbor tea village making close co-
ordination between farmers and the tea enterprise in the process of tea production/consumption. It may be a
potential role in the future for this village not only in tea production, but also in other commercial production
lines. Besides, a clear contribution of a village head in hybrid rice/maize production and unclear contribution
of him in livestock and forestry protection/production were remarked on by local farmers and he also
recognized this. According to interviewees including farmers and the village head, these contributions of the
village head are due to close guidelines from upper offices (from province level to village level and from
DARD to extension station). This means that there is a very strong political commitment for food security and
hunger alleviation. These issues will be discussed in detail in the section of consequences of the linkages by
successful stories and failure stories.
Most of the village farmers in upland areas or remote areas trust the head of village because of his
enthusiasm, responsibility in working and because local people elected him to lead their village (based on
observation and interviews from this study and previous studies in remote areas). He is ready to help and to share with
local farmers (most of farmer said so in group discussion and interview). Based on these advantages of the village head
13
and ineffective working of old village extensionist's , the extension station combined with local government
and farmer union had agreed and decided that the village head hold on village extension staff and also Farmer
Union’s leader began 2005 (interview, 2007). However, low capacities in the three functions and low

12
The knowledge triangle is integrated knowledge consisting multi-sides. This refer interaction, relationship involving
three (or more) people/sides
13
Old village extensionist in the years of before 2005 did not work effectively due to difficulties including a lot of
extension activities and low salary.

36
education level of the village head as well as poor working conditions are constraints for effective contribution
in extension/ production and information flow within AKIS. Thus, the question remains on how to change
this situation, not only in this study site but also elsewhere in upland districts.
In summary, the most important role of the village head (according to village extensionist and Farmer
Union’s leader) is to be representative for farmers in signing and managing contracts between tea farmers and
the tea enterprise in their promising formal linkage. In addition, there seems to be a role for the village head in
making, providing indigenous knowledge and feedback on farmers’ need to outsiders (extensionists, researchers,
educators, input/out put sectors) and this is a potential role aiming at making better contribution of extension
services. It means this is a most important formal linkage with clear benefits and duties of all stakeholders as a
dynamic promotion on tea production. Besides, the head of the study village thought that there was no
potential in organized large tea production in this village, so he did not advice or diffuse information to farmers
or negotiate with the tea enterprise for a contract between them and farmers. The tea farmers in this study site
on the other hand, believed that they could produce tea on small scale as long as they did so in synergy with
the neighbor village and if the tea enterprise aimed at making contracts for the company. They wanted the
head of village to play the role of a leader and representative person in these contracts and provide synergy but
the head of village still disagreed with them. The conflict between them remains. A question therefore is how
to solve this problem and who can be facilitator or arbitrator to help them?
From the farmer’s perspective, based on a group discussion, the head of village contributed to the
information flow within AKIS (at present and at the future) by
- providing characteristics and conditions in the local area for extensionists such as information on the
farmers’ needs, production problems, what need from research and extension, etc.
- determining what technology is useful and relevant with others for their production case
- sharing knowledge/information, and problems, and meet with local farmers
- providing indigenous knowledge and information to outsiders (potential) and making this for insiders in
the necessary cases
- signing and managing contracts between farmers and outsiders (extension, research, consumers, input
suppliers, etc.) with the role of being farmers’ representative (in the future)
In the above, providing characteristics of local area and indigenous knowledge from village head to outsiders
seems to be unclear. It is rarely used in extension activities except some cases in PuMat's project extension. It
means that sharing information is mainly one-way from top to down and there is a lack of making/using of
indigenous knowledge for production. This argument was supplemented by other evidence through
observation, combined with interviews when local farmers harvested rice in the rainy season in this field trip:
they lack information/knowledge both of traditional and new ways to dry rice after harvesting and heaping up
made rice decay (see picture 1). This issue illustrates constraining technology development as well as utilization
14
the "triangle knowledge" , and waste of integrated power from local people and outsiders for effective post-
harvest rice handling .
Among the contributions, the most important roles of the head of village in the formal linkage between tea
farmers and tea enterprise was through contracts as the representative of tea farmers in signing and managing
contracts for better ones. This role was expressed rather clearly in the neighbor tea village making close co-
ordination between farmers and the tea enterprise in the process of tea production/consumption. It may be a
potential role in the future for this village not only in tea production, but also in other commercial production
lines. Besides, a clear contribution of a village head in hybrid rice/maize production and unclear contribution
of him in livestock and forestry protection/production were remarked on by local farmers and he also
recognized this. According to interviewees including farmers and the village head, these contributions of the

14
The knowledge triangle is integrated knowledge consisting multi-sides. This refer interaction, relationship involving
three (or more) people/sides

37
village head are due to close guidelines from upper offices (from province level to village level and from
DARD to extension station). This means that there is a very strong political commitment for food security and
hunger alleviation. These issues will be discussed in detail in the section of consequences of the linkages by
successful stories and failure stories.
Most of the village farmers in upland areas or remote areas trust the head of village because of his
enthusiasm, responsibility in working and because local people elected him to lead their village (based on
observation and interviews from this study and previous studies in remote areas). He is ready to help and to share with
local farmers (most of farmer said so in group discussion and interview). Based on these advantages of the village head
15
and ineffective working of old village extensionist's , the extension station combined with local government
and farmer union had agreed and decided that the village head hold on village extension staff and also Farmer
Union’s leader began 2005 (interview, 2007). However, low capacities in the three functions and low
education level of the village head as well as poor working conditions are constraints for effective contribution
in extension/ production and information flow within AKIS. Thus, the question remains on how to change
this situation, not only in this study site but also elsewhere in upland districts.
In summary, the most important role of the village head (according to village extensionist and Farmer
Union’s leader) is to be representative for farmers in signing and managing contracts between tea farmers and
the tea enterprise in their promising formal linkage. In addition, there seems to be a role for the village head in
making, providing indigenous knowledge and feedback on farmers’ need to outsiders (extensionists, researchers,
educators, input/out put sectors) and this is a potential role aiming at making better contribution of extension
services.
Media
The results from observation and interviews show that communication media in this commune and this
village including a loudspeaker for each village, radio and television in individual households, and a commune
cultural post office (Table 4.2). They are important media for agricultural extension.
The findings showed that loudspeakers as mass media in the center of village is used for meetings, training
and announcements from village head and others related to production/the farmer life. This is useful for all
farmers and seem to be communicated quickly and save time instead of gatherings or using telephones (there
are only 3-5 telephone in this village). Farmers however complained that having only one obsolete loudspeaker
with too small volume for the village size constrained accessing of information for distant farmers. The effect of
this problem was that many distant farmers were absent in meetings or training, or lost information by
loudspeaker. Thus poor mass media coverage, is one of the constraints in accessing information for farmers as
well as in diffusing knowledge and information from others to farmers.
Other main media in this site is TV and radio, with the role to communicate information on technology,
policy, weather, market price, production models, and others. Most of the farmers said that mostly these
communications are one way/ top-down and difficult to apply in practice. However, diversified information
on agriculture and rural development from radio and TV is very important in helping farmers improving their
knowledge. The forms of these communication are also diverse and includes some games, relax programs, and
learning programs related to agricultural that are very exciting and attractive to farmers. They are easy to
understand, remember and apply in practice. For instance, most of interviewees mentioned some attractive
programs such as “the farmers’ competition”, “the farmers get rich”, “proficient extensionist”, “rural comedy”,
and rural and agricultural films.
The data from some farmer’s interviews indicated that information/ knowledge in agriculture is not enough
and not plentiful and also that there is limited time to broadcast on both local television, national television and
radio. However, contrary to this opinion, some farmers said that there was a lot of different types of
information and knowledge related to agriculture/ rural and that the frequency of broadcast was suitable. This

15
Old village extensionist in the years of before 2005 did not work effectively due to difficulties including a lot of
extension activities and low salary.

38
different judgments may reflect different access, for example different frequency to access information from TV
and radio of farmers. Is it an effect of limited advice from experts on agriculture and rural issues to
communicators as editors, broadcasters or due to limited linkages between experts in agriculture and mass
media managers/staff and farmer’s needs? This seems correct according to the manager of local television and
staff of provincial television. They agreed that they lack close synergy with specialists in agriculture/ rural
development and limited times for broadcasting. Extension staff at province level also recognized that they sign
contract with the media on some production models or transfers of technology. The reason for the lack of close
synergy between media staff and specialist is ineffective mechanisms (planning, implementing, evaluating) in
policy. Observations of their way to respond, indicates that they seem to be looking forward to better outsider
links in their work.
Conversely, national radio/television recently has changed the approach as they work more in synergy with
many famous experts/specialists for their programs and they serve as a bridge between
experts/specialists/researchers and farmers in some programs such as “farmers’ friend”, “the farmer get rich”,
“the farmers in the world”. Through these programs, the farmers’ needs will be satisfied based on contacts
between researchers in these program and farmers (telephone or mail); results from research will be diffused to
farmers and the gap between research and the factual demands will be that scientists develop more based on the
linkages between the researchers in program and other researchers. However, in this site farmers rarely contact
them but they are interested in these programs and in some cases they apply in practice what they have heard
from the programs.
Therefore, weak synergy between mass media and agricultural related specialists, mass media and remote
area farmers is constraining development in agricultural production and effective contribution of extension.
According to the chairman of the district, each of the communes in this district have a cultural post office
position with supporting information services (free and fee) through telephone, books, newspapers, journals,
and internet for farmers. Establishing a cultural post office at commune level is a rural priority for remote areas
in Vietnam, which was funded by VNPT (Vietnam Posts and Telecommunication group). In this, they
supported free reading of books, newspapers, journals and free internet for farmers. But in this commune, the
post officer said that internet was unconnected and there were very few customers who go there to
search/access information from newspapers, journals, and books. This may be due to behaviors/attitudes of
farmers, less attractiveness of the cultural post office or lack of impact/influence of extension on farmers’
behaviors/ attitudes. Thus, the question here is how to improve the attractiveness of the cultural post office at
commune level for farmers. How to change this situation for better contribution of commune cultural post
office in diffusion of information for farmers? Besides, the findings showed that an unconnected internet is a
problem for local staff in their work to development in this site. The state has a policy on investing in
information technology and communication means for rural regions and this gives priority to mountainous
16
areas. On this issue, the commune chairman and the web site said that VNPT invested in developing of
information technology and cultural post office of commune with free books/ newspaper, free internet access
(2 times/week), was training 10 trainees in the use of computers/ internet for the benefit of all rural areas.
Thus, slow implementation of this policy was constraining accessing of information of local farmers not only
for agricultural purposes, but for their life in general. There are also many useful websites on agriculture and
17
rural development for farmers with two –way flow of information and various information types , where the
farmers and specialists could be exchanging information easily by email or online chat.
The interview and observation results also show that very few books, magazine, and specialized journals
were available in the commune cultural post office and seemed to be absent at household levels. Although the
attitude of interviewees (by dialogues) on importance of reading (book, magazine, etc.) is high and according to
the village head, there is at least one literate person in most of the households. Yet most of interviewees said

16

17
http://www.vnpt.com.vn/
Example: http://www.nongthon.net, http://www.agroviet.gov.vn,
http://www.mofa.gov.vn/quocte/NNG/12v.htm, http://www.hoinongdan.org.vn/, etc.

39
that they never or rarely read due to a lack of reading sources and reading habits. One researcher said that
“Vietnamese Agriculture” and “Nowadays rural” are two useful recent newspapers for Vietnamese farmers with
two-way flow of information between farmers and specialist, not to mention others but they were also absent
in community and farmers households. Through observation of these two magazines, the columns of “farmers
friend“ and “question and answer” where farmers and researchers could discuss by mail or phone, farmers’
needs would be easily satisfied and the gaps in research could be researched on more.
From the above findings, poor communication infrastructure is one of the factors to limit the two-way
linkages between farmers and specialists. There is constraint in accessing information for farmers and
exchanging information among them. This affects development of agricultural research and agricultural
production.
In summary, important roles of mass media in providing facts were identified in the study with their
contribution of information flow following mainly one-way from up to down (downward linkage) and
potential role in information flow as a two way with upward linkages. However, poor media means and
farmer’s attitude and habit relating to this was a constraint to accessing information for farmers as well as for
the linkages between them and specialists or researchers. The media’s role will became very useful and better
for agricultural development if they organized close synergy or linkages between researchers/specialists and
farmers and others for production when participation of stakeholders improves. Especially in this site, media
infrastructure needs to be invested relative to various information sources such as internet, books, magazines,
TV, and loudspeaker, aiming at a more attractive farmer access. Although some programs on TV, radio, and
special journals serve as a bridge between farmers and specialists in sharing/learning agricultural knowledge,
most of the interviewees recognized that this role had not yet occurred in this site. They hope maybe that
potential role will be improved in the near future.
Formal Extension Services
Formal extension services in this site were only public sector services (non private sectors). In other words,
the extensionist’s activities at community level depends on extensionist upper guidance. There are three types
of extension staff belonging to district, commune and village levels. The data from extensionist’s interviews and
farmer’s interviews addressed some main roles of extension stations and extension staff as follows
- Providing agricultural technology for producers through meetings, training courses, making models,
experiments or directly givie close guidance based on the head of the village (village extensionist).
- Collaboration with rural projects/programs related to extension activities of Pu Mat’s project.
- Communication with input suppliers (seeds, fertilizer, pesticides) if extension activities concern subsidies
(from State or other programs).
- Co-ordination with researchers and other information sources to improve their knowledge and support to
farmers.
- Dissemination information on agricultural policy and directions on agricultural production following
annual crop/harvest.
- Recommendation on what crops or animal production to persue and how to follow: “take farmer’s hand,
18
show them how to ”
In this, the role of the extension station (at district) is as a leader for commune and village extension level,
where planning of extension of each crop, each year for each commune and where village extension levels
report their plan. The extension staff as the leaders, trainers, supporter, communicators and advisors, depend on
the context and extension activity. They rarely play the role of facilitators in extension activities or
intermediaries aiming to encourage creative dynamic farmers or as a bridge between farmers and researchers,
between farmers and marketeers/ input suppliers/ financial sources. However, most farmers and some of the
extensionists through interviews understood extension staffs as supporters or donors or doctors in extension

18
The Vietnamese as « cam tay chi viec » mean that passive adoption of farmer from advice of extension staff.

40
activities and farmers who related to these extension activities as receivers or beneficiaries or patients.
Additionally, some of extensionists thought of ethnic minority farmers as backward persons or stupids and they
needed to “take farmers’ hand and show them what to do”. These their attitudes may lead to their extension
activities being top down and lacking the participation of farmers. This restricts effective contribution of
extension services in their activities due to “non triangle knowledge” as well as “non empowerment” or
initiative for farmers in production. The extensionist’s interviewees recognized that this ineffective linkage of
extension and research in providing feedback from farmers to research and in taking new/improved technology
from research to farmers constrained effective/extension activities/ production.
In these roles of formal extension services, there seems to be a lack of the co-ordination between formal
extension organization and informal extension organizations in this site. In other words, there is lack of
horizontal communication with the same level of extension. As an example, the co-ordination between the
extension station and some of the mass organizations such as woman union, veteran union, and youth union
(information from leaders of these organizations) seems limited. Meanwhile, as mentioned above in the
literature review section, a pluralist extension system (various extension providers both of formal and informal
extension) is existing in Vietnam with the trend of decentralization. Pluralism and decentralization itself require
coordination and dialogue between actors. It makes a better consultation essential (Neuchatel group, 1999) as
well as avoids overlap and waste of integrated power.
The existing information/knowledge support for farmers by formal extension services is narrow, only
focuses on technology of agricultural cultivation, not on market, finance, processing industry, storage, post-
harvest technology or non farm activities. It seems to be a success in production for food security rather than
production for the market. They lack coordination with others such as marketers, financial sources, companies
etc. in these fields. These constrains the effective contribution of extension services in agricultural production
for the market (see details in 4.3. Effects of the AKIS linkages on agricultural production).
Meanwhile, according to decree 13/CP(1993) and decree 56 (2005), extension activities should not only
concentrate on agricultural technology on cultivation, but include information on market, storage post-harvest,
processing industry and other non-farm, and it emphasizes the close linkages between extension and state
managers, researchers, businessman and others. Thus, extension roles and functions in this study are not
sufficient for production with non including broader to obey the decrees 13 and 56. Especially, the linkages
between extension and others as well as the current situation in this will be the focus of section 4.2.3. The
linkages between extension services and other actors in the AKIS of this thesis.
Forest management offices

Compared to formal extension services which focus on Agricultural production, forest management offices
focus on forest protection. In interviews most of the farmers said that the actors related to forest
production/protection included PuMat national park management Unit, Forest management office (kiem lam),
the pulp processing shop and Pumat’s project. Among these however, Forest management offices consisting of
PuMat National Park Management Unit and Forest management office seem to be influencing and most
important in long term forest protection activities and PuMat’s project is very important and influencing on
both orestry protection and production in the short-term (Table 4.4 and 4.5). In group discussions on key
actors related to forest production, the farmers argued extremely regarding the pulp processing shop (buyers).
They said this shop is very important in consumption of forest products but their influence on it is very limited
due to low cost price when they compare the price with others. So, many farmers still do not sell pulp material
and maintain forest trees in their fields (forest production for market). Finally, in the discussion, they decided
that the pulp processing shop is not a determinant actor. They had a similar opinion on the role of forest
management offices in this site as the forester/management officers had. It included:
- Propagandizing the rule/law on forest protection as well as warning of forest fire and solutions on anti-
forest fire. Especially, PuMat National Park Management Unit (PNPMU) has important roles with important
diffusion, education functions in forest protection for all (farmers by meetings, radio, loudspeaker and posters;
for pupils by games, competition exams, posters; for tourists by tour guides; etc.)

41
 - Treating violators on the forest law.
- Sharing and learning experiences in forest protection with outsiders who are at the same hierarchical level
such as forest management units in other districts or provinces.
- PNPMU co-ordinates with other outsiders for forest research, tourism as well as study, training, and
education. These co-ordinations are very diverse and rather useful, they have contributed in UNDP’s
recognition on the world biosphere reserve area of Nghean West. This is actually significant for forest
protection in general.
According to participants (both farmers and foresters) in group discussions and interviews, the
propagandizing and implementation of the rules/law of forest protection is quite good. It improves peoples’
attitude/awareness as well as their behavior in forest protection effectively. This information was cross-checked
with district’ officers, provincial staffs and they agree on that when they compare with other regions such as
ThanhHoa province and HaTinh province through information from radio and television. This was also
acknowledged based on observation generally in this district. However, individual interviews with the purpose
of understanding this issue deeply, show that forest protection in this district was better than before the
beginning of the PuMat’s project and is not yet effective after ending PuMat’s project. They still saw exploiter’s
appear in this site and smuggling of wood and wildlife still occurred, but most of both local farmers and
foresters ignore that. The interviewees think that it seems that exploiters collude with some foresters (forest
rangers) as well as some local farmers in their activities. Through conversation with some staff of PuMat’s
National park management Unit, they recognized diffusing in theory of forest protection is very good but in
co-ordination with communities and others in implementation of forest protection they are still not close.
They only focus on diffusion of theory on forest protection such as policies, purpose and significance of forest
protection, but they did not emphasize on implementation by local farmers in practice. This affects the
efficiency of their role/task as well as forest protection. Therefore, in summary, the most important role of
forest offices was only to focus on theory of diffusion of forest protection information, and they lack in their
effective role on implementation and evaluation of forest protection. Combining theory and practice in
diffusion and implementation of forest protection is needed. This means that the strong linkages between forest
management offices and community/farmers are very important to understand ongoing status, and to resolving
that for forest management in a good way. In other words, community-based forest management is necessary
and needs to be improved with the aim of enhancing the role of stakeholders in forest protection.
Private sectors
Tea enterprise

The name of the tea enterprise is the BaiPhu Tea enterprise. This tea enterprise is located about 10km from
the study commune. They were an important private sector enterprise with good influence on agricultural
production in general and on tea production in particular in this commune. They play an important role in
commercial tea production at the commune level, especially with two neighbor villages through contracts
between them with the representation of farmers (village head). They support the production process from
input to output. Below follows the main role of the tea enterprise as follows:
Contracting with tea farmers through head of village with the following main terms and conditions:
- Providing technology on tea production and product criteria by this enterprise’s technicians
- Supporting with tea variety and fertilizer based on the form of lending to pay by instalments,
- Consuming (consumption) tea products of tea farmers for material of the tea industry.
- Tea farmers undertake that they will follow the guidance of the tea enterprise on the production
process from input to output and supply tea products to them.
With these roles of the tea enterprise, the interviewees said that tea farmers enjoyed security of tea
production. They did not worry about the quality of the variety and fertilizer, credit sources or product
consumption sources. The tea enterprise was a place of order with tea farmers based on local authorities and

42
determining tea material area for processing plan. Based on interviews with farmers in the neighbor village and
with staff of the tea enterprise, the findings show that contracts between tea producers and the tea enterprise
had mutual benefits/ duties making tea production for the market quite a success. It means that formal linkage
among them based on the contract is very significant and important for tea production. This type of formal
linkage was a unique linkage at this commune that making an effective contribution of extension on
production process from input to output.
Aid project
PuMat project extension
PuMat’s project is an aid project for buffer zone of Pumat National park with the full name “Project of
Social Forestry and Nature Conservation Project in Nghe An Province”.
According to commune’s chairman, there are two recent projects including PuMat’s project (Forestry
society and natural conservation project in Nghe an province) from 1997-2004 and Luxambua’ project
(Agricultural Development project in the West of Nghe an province) from 2002-2007. Of these, the PuMat’s
project has been related to extension activities and Luxambua’s project has not to avoid overlap (Luxambua’
project has trained for local authorities and supported on building the local road in this commune). The group
discussion (Table 6, 7) indicated that the PuMat’s project is considered as a key actor related to AKIS on
agricultural production. The role of PuMat’s extension in the stage of the ongoing project includes
dissemination of forestry management/protection information (why, what and how); improving agricultural
production by extension activities based on farmer’s needs on livestock, gardening, forest cultivation through
support varieties, input, meeting and technology training; close co-ordination with authorities, public
extension, farmers and other village/commune organization; establishing local extension network (commune
and village) and enhancing their capacity as well as collaboration with other research institutes such as
Vietnamese Institute for Social development Studies. Among these, the most important role is to provide
support in participatory approach/methods for farmers and extension staff in planning and implementing in the
field. In addition, the Pumat’s project also coordinated with other extension services such as mass organizations,
agricultural units, radio or television broadcast, local authorities, local officers and input suppliers. Some old
members of this project said that these linkages between the PuMat’s project and others were by contract. It
means there are formal linkages between and among them in extension activities of this project. This may lead
to success in extension activities of this project.
However, according to data from individual interviews, after the closing of PuMat’s project (2004), the local
extension networks also stopped because there was no funding for them or for extension activities. The data
also showed that the effects in the long-term on forest protection and livestock/forest production for the
market was reduced due to absence of market information, credit sources, and financial management
information as well as lack of co-ordination with consumers. In other words, the very important role of
extension in this project as mentioned above was maintaining it effectively in the short-term. The community
and local authorities not make use of the advantages of this project for their extension activities. They said that
there was not any specific benefit from this work and they themselves also got much more work to do from
the project.
Farmers as knowledge users
Although in farmer’s discussion process, the farmers were not key actors in the AKIS as shown in Table 6,
the farmers are important actors within AKIS as knowledge users (Table 7). The key role of farmers within
AKIS both in fact and potentially includes
- Sharing/exchanging knowledge and information with other farmers in production
- Providing characteristics of their condition as well as of their needs and their problems to outsiders
(extensionists or researchers or educators), especially regarding feedback on application of new technology
- Decision-making or problem solving or village/community planning

43
 Among these, providing characteristics of their conditions, their needs and their problem to outsiders is a
potential role also in the future. Because some farmers said that there is no information flow from below (grass
root) to the top of AKIS and information flow mainly exists as downward linkages. The reason for that is a lack
of outsiders such as researchers, educators or extensionists visiting them to investigate or to evaluate such
information (except PuMat’s project extension) and also a lack of farmers’ initiative to visit them to exchange
such information. The limitation of upward linkages from farmers to the top within AKIS leads to low change
in agricultural production as well as in agricultural technology. This constrains the contribution of farmers
themselves in extension activities for agricultural production.
In this study site, the role of farmers in the neighbor village in tea production is a typical example of the
learning process among them. The farmers in group discussions agreed that they learn/exchange information
easier than with outsiders because of their simple language and their observations of reality (while in traditional
training courses, they usually learn theory with many terminologies). Maybe based on this, the extension
station has built models for their extension activities such as the VAC model, the farming model of some
households and then diffused to others. The role of farmers in sharing/learning knowledge and information
together could be called an internal linkage among them. The internal linkage among farmers in this site is
rather strong on rice production and tea production (with neighbor village farmers), but it is weak in other
types of production. It may be said that if there were clear purpose and effects of agricultural production
(success in rice production for food security and in tea production for the market), internal linkages among
farmers will be stronger. It helps them to a better contribution in extension activities and agricultural
production.
19
There are four main elements to the diffusion of innovation consisting of the innovation, decision making
process, its communication, in a social system and over a period of time. In which, its communication and a
social system are two elements relate closely with farmers who are users, adopters. In other words, the
characteristics and the role of farmers/community is an important element in process of diffusing. Thus, if the
farmers/community have strong internal linkages among them, the contribution of extension will be effective.
Table 4.4: The ranking on extension staff/organizations
(scores from 1-5: influencing-influencing in existing AKIS, key actors, n=9)
Actors Tea Rice Livestock Forestry
producers producers producers Producers/
protector
Formal Extension (extension at three levels: - 4 2 1
district,commune,village)
PuMat'extension - - 4 5
Woman Union - 2 2 1
Farmer Union - 2 2 3
Young Union - 1 1 1
Veteran Union - 2 1 1
Head of village 2 4 2 3
Neighbors/ other farmers 3 1 1 1
Own Farmily - 1 1 1
Forester/PuMat NP/ - 1 1 4
Forestry management office
Tea enterprise in neighbor village 4
Traders - - - -
Input suppliers - 1 - -
Media: TV, Radio 2 4 2 3

19
http://www.tcw.utwente.nl/theorieenoverzicht/Levels%20of%20theories/macro/Diffusion%20of%20Innovation%20Th
eory.doc/

44
Sources: Group discussion, 2007

Table 4.5: The table of importance of extensionist/ extension agents within AKIS
(Scores from very important to less important: 5-1)
Actors Tea Rice Livestock Forestry Sum
Producers producers producers Producers/
protector
Formal Extension 5 5 5 3 17
(extension station)
PuMat'extension 4 4 4 5 17
Woman Union 2 2 4 2 10
Farmers Union 3 3 4 3 13
Young Union 2 2 2 2 8
Veteran Union 2 2 4 4 12
Head of village 5 5 5 5 20
Neighbors/ other farmers 5 4 5 4 18
Own Family 2 2 3 2 9
Forester/PuMat NP/ 2 2 4 5 13
Forestry management office
Tea enterprise in neighbor 5 - - - 5
village
Traders 3 3 3 3 12
Input suppliers 4 4 3 1
TV, Radio 3 3 3 4 13
Sources: Group discussion, 2007

4.2.3 Linkages between extension services and other actors within AKIS
The linkages between extension services and other actors within AKIS have been mentioned in general in
previous sections. However, in this section, these linkages will be discussed in details based on findings from
interview, group discussion and secondary data. From the six key actors within AKIS in the part 4.2.2., the
farmers gave three types of extension services including the public sector (formal extension services), private
sector (informal extension services: tea enterprise), and aid project (PuMat’s project extension). Thus, this
section will focus on the linkages of these three types of extension services with other actors within AKIS. Five
parts will be mentioned: firstly, the internal linkages between and among extension services together; secondly,
the linkages between extension services and farmers; thirdly, the linkages between these extension services and
research/researchers; fourthly, the linkages between these extension services and educators; and lastly, the
linkages between these extension services and others (input actors, output actors).
The co-ordination between and among extension services together
According to the chief of the extension station, within the formal extension service, tea enterprise and
PuMat’s project extension, the linkage only occurred between formal extension services and PuMat’s project
extension when this project was ongoing by contract. Then, extension staff were trained, and they participated
in their extension activities with new approach (demand-extension, participatory extension methods).
However, after the closing of this project, the participatory extension methods have rarely been used due to
limited number of staff, large area, and complex methods (lost time for both farmers and extensionist).
The extension station at district level was rather strong in one-way linkages and did not have contract with
agricultural and rural development department, extension centre, television station, agricultural unit, crop
protection unit, veterinary unit, commune extension or village extension in their extension activities.
Especially, in the four types of production, top-down linkages or downward linkage are stronger than others

45
and rather clearly from top to down (district-commune-village). The commune extension mainly cooperated
with the district extension station and village head. These linkages were mainly informal, excepting formal
linkages in production guidance on hybrid rice and hybrid maize from top downwards through documents of
the District People Committee, and excepting formal linkages between village extension (head) and the tea
enterprise. Sometimes, the District People Committee established formal linkages through one interdisciplinary
team including agent/units/offices above in emergency cases such as resolving matters after natural calamities or
epidemics. All stakeholders above could exchange, share, learn information/knowledge together. The form of
exchange of information can be based on reports, documents between extension station and extension centre
and agricultural department, or sometimes they contact by telephone, mail, or fax. However, the chief of the
extension station said that information in annual reports or periodic reports sent to upper levels are rarely cross
checked by outsider’s evaluation. This leads to ineffective information flow and information may be biased, not
objective. It means that triangulated knowledge/information was not used for agricultural plans/planning and
this may lead to ineffective implementation in agricultural production.
The deputy manager of the technical department of the tea enterprise said that the tea enterprise did not
coordinate with the PuMat’s project or the extension station in their extension activities. They had contacts
with PhuHo Tea Institute, and through contracts between the tea enterprise and village head in coordination
with commune officers and tea farmers.
In summary, the formal linkages occurred in coordination between PuMat’s project and formal extension
services, between PuMat’s project, input suppliers and others, between village extension (head) and the tea
enterprise, with mutual benefits and duties. This is an example of close/effectively linkages for extension
activities as well as for agricultural production. Informal linkages existed between formal extension service
(district, commune, and village) and other extension actors with mainly downward linkages. This restricts the
contribution of extension services in their diffusion of effective AKIS and agricultural production.
The linkages between extension services and farmers
The findings from interviews and group discussions of this site showed that comparing of the three main
extension services (formal extension service, tea enterprise and PuMat’s project extension), PuMat’s project
extension had most close linkages with farmers. This is illustrated in Table 4.8 by using extension methods of
20
PuMat’s project extension, mainly used PAEM , formal extension services used TOT, and the tea enterprise
used mainly TOT and few PAEM. This result is related to theory as Table 3.1 indicates, as the contribution of
extension service in information flow is two way if they use participatory extension methods. The lack of
participation of farmers in extension activities will constrain creative dynamic of farmers’ themselves as well as
discover and utilitise local/indigenous knowledge in agricultural production. In other words, limited
integration of all stakeholders including extensionists (outsiders) and farmers (insiders) in applying
technology/knowledge in agricultural production constrains positive contribution of extension services for
production.
The findings also showed that the linkages between formal extension services and farmers are top-down
linkages and rather loose. Because the frequency of contact between farmer and extension is low, extension
activities do not meet farmer’s needs/demands and the extension methods/approaches are traditional, simple
and lack participation (Tables 4.6 and 4.8). The data from farmers and extensionists also presented that they
contact/meet together in necessary contexts such as training courses, building models, meetings in each of the
crops/harvest or when there are hot problems in the production process, but they rarely contact anyone else
that the extensionists and the head of village mentioned above. In most cases, the farmers go to meet the
extensionists much more than extensionists visit the farmers/field, because there are few extensionists at district
level. The farmers usually meet the head of village to exchange their issues/problems and then, if problems are
difficult or hot, the head of village will bring this to the upper level to find solutions. Table 4.7 indicated that
these feedbacks from farmers to extension /research are unusual and informal. Nobody collects/ investigates or
evaluates the feedbacks/farmer’s problems in the production process with the aim of improving technology in

20
PAEM: Participatory Agricultural Extension Methods

46
formal perspectives. These limitations added to the insufficient/ not diverse information/knowledge related to
agriculture from extension (absent information on input, credit and market) make extension ineffective to
farmer’s needs in generally (see Appendix 6). The findings also show that each production line still faces many
problems but over a long time these problems get solved slowly and the change is unclear. For instance,
intensive cultivation of two crops/year of hybrid rice leads to soil exhaustion or hybrid rice variety recently has
been impure, fertilizers are of low quality and there have been epidemics in poultry and cattle.
Table 4.6: Information needs matrix (farmer’s needs)

Information Demands/needs Current situation How information Coverage

is offered
Planning in production Accessing only in Pumat’s project Trainings Partly

Financial management Never Total

Credit sources Few Magazine Partly

Meetings
Loudspeaker
Input sources Few, low quality Loudspeaker Partly
Loudspeaker
Market consumption sources Few Loudspeaker Partly

Contracts
Market information: trend, demand, criteria Very low and absent
Ecological and environmental information Not clear Meetings Partly
related to production Few Magazine
Loudspeaker
High technologies: new varieties, new Deficiency Contracts Total
cultivation Meeting
Trainings
Organization on production Only for food security Meetings Partly
Inadequacy for market production Guidance

Linkage with research and education in the Extremely limitation Trainings Partly
field Rareness Working
Contracts
Sources: Interview and group discussion, 2007

In summary, the integration between extension services and farmers is a factor that affects contribution of
extension services for effective implementation/ production. Although the linkages between Pumat’s project
extension and farmers, between the tea enterprise and farmers are closer than others due to the use of
participatory extension methods, it seems that the linkages between extension and farmers are still weak due to
low frequency and less feedback from farmers to extension/research. Thus, why does this problem still remain?
How can this situation change?
Table 4.7: The types of feedback and frequency from farmers to extension/researchers
Investigating from Evaluating from outsiders Freely feedback of farmers
extensionist/researcher or insiders to extension/research
Tea producer: -sometimes: 4
N=14 -rarely: 9
-Never: 14 (100%) -Never: 14 (100%) -Never: 1
Rice producer: -common: 10

47
N=18 -sometimes: 5
-Rarely: 6 -Rarely: 8 -rarely: 3
-Never: 12 -Never: 10 -Never:
Forestry producer
N=17 -sometimes: 12 -sometimes: 10
-rarely: 4 -rarely: 7 -rarely: 6
-Never: 1 -Never: 10 -Never: 1
Livestock producers -common: 5
N=17 -sometimes: 9
-rarely: 7 -rarely: 2
-Never: 10 -Never: 17 -Never: 1
Sources: Group discussion, 2007

48
Table 4.8: Extension methods used on four kinds of production
Production Fomal Tea Enterprise PuMat project Head of village Forester/
Extension (1997-2004) PuMatNP/ Forestry
staff management office
(district,comm
une,village)
Tea in this Indirect Indirect Training for project's extensionist
village (Imitation from (Imitation from beside village)
beside village)
Tea in -Transfer of -Support tea variety, fertilizer and Training for project's extensionist Guidance in production with Tea
neighbour technology consumption Company 's Technician
village - Mainly on traditional methods
and few participatory methods.

Rice - Transfer of Training for project's extensionist Directly guidance in production process.
technology, Feedback some problems from farmer to
meeting extension.
- assistance on Visit the field with farmer, discuss with
seed and farmers
fertilizer
- directly, close
guidance

Livestock Training - PAEM: Participatory Dissemination most of policy, law

(transfer of Agricultural Extension Methods
technology) and support on variety

Forest Training PAEM: Participatory Agricultural Dissemination most of policy, law.

production course/meeting Extension Methods: group Visit and clear understanding of the
(traditional discussion, training & visit with difficulties of farmers
method) discussion; discussion in the field
Support variety

Forestry PAEM: Participatory Agricultural Dissemination most of policy, law. Meeting, village radio, and
protection Extension Methods : Meeting, Understanding clear farmer's problems, enforcement of law.
Discussion, characteristics of farmers, socio- Combine with local school to
Poster… economy, culture, environment in train or games/ exams for
village
pupil

Sources: Summary on Interview, extension reports, and Group discussion, 2007

49
 The linkage between extension services and research/ researchers
As mentioned, the limitation of agricultural research at this site in particular and in upland/remote area
generally as well as feedback from farmers to research/researcher has negative effects on agricultural
development. In this part, the linkages between extension services and research/researchers will be discussed in
detail regarding the three extension services of formal extension service, tea enterprise and PuMat’s project
extension
According to the chief of the extension station, they were coordinated with research institutes/researchers
to receive technology/knowledge on agriculture but did not participate in research to generate
knowledge/innovation/technologies (except that they conducted experiments before diffusion) and they lack
feedback from farmers regarding needs/problems that requires research. This relationship was not uncommon.
When the extension station/ extensionist wants technologies or knowledge related to agriculture they contact
researchers/ research institutes such as the Vietnam Agricultural Science Institute or the Agricultural Genetic
Institute. This relationship is not close and it is informal (non contract) and one-way. Most extension staff said
that they never participated with researchers in the field to generate or improve any technology in agriculture
and farmers only participated with researchers in studies on sociology, biology or projects of rural
development, not in agriculture. This means that the contribution of extension or farmers in research
planning/ knowledge generation in agriculture was almost absent. An exception was that their experiments in
agriculture in some crops/harvests were done before they diffused information for broader production. In this
case, the extensionist plays the role of a researcher to test appropriate technology for their context. The
absence of such research collaboration restricts development of agricultural technology/knowledge.
According to the deputy technical manager of the tea enterprise, their coordination with PhuHo Tea
Institute is rather close by contract. This coordination not only focused on received technology in tea
production, but also in exchanging and developing this technology, especially on tea varieties with high
quality and the tea cultivation process. Sometimes, the researchers from this institute came to visit the tea fields
for their research, and sometimes the technician of the tea enterprise brought back feedback or problems from
tea farmers to tea researchers. In the interviews tea farmers said that the feedback from them to the tea
enterprise/ tea researchers through the village head or technician of tea enterprise was slow for solutions. For
example, disease and insects in a tea crop or anti-drought varieties are two main issues for a long time; only
now are they working on solutions and these are not effective. Thus, although coordination between the
technical department of the tea enterprise and the tea institute is rather close it is not yet effective. Why is
that? This will be discussed in a later section. The technician of the tea enterprise had the opinion that the
potential for better linkage between the tea enterprise and the tea institute will change positively as Vietnam
has joined WTO.
The data from interviews with old staff members of PuMat’s project showed that the linkages between
PuMat’s project extension and research/researchers occurred during project time from 1997-2004, but by
research institutes in the field of sociology and ethnology, not in agriculture. They exchanged issues related to
extension activities of this project. This was useful for extension activities regarding social aspects that related
to theory of diffusion of innovations. But they did not include technology actors and activities to develop
agricultural technology more as formal extension services of Vietnam do. Thus, the results of this coordination
between the Pumat’s project and the sociology/ ethnology research institute may be applied to extension
activities as well as other rural development actions in the future.
In general, in coordination between the three extension services and research/researchers, the information
flow is mainly top down (from research to extension or farmers), and rarely from the bottom up because of
their work behavior. This means that extension brings new technology/knowledge from research to farmers
and stops there and this is a constraint for improving technology/knowledge. Traditionally it is believed that
sender control makes for more effective persuasion, while receiver control (feedback) is a more effective
learning process (Wilbur, 1973). Feedback is a cardinal element for effective organizational functioning. It
plays a determinative role in how farmers perceive that technological innovation is disseminated to them to
reduce risk in production. Feedback from farmers to extension/research in this study occurs informally by

50
communication between extension and farmers, and only rarely does it occur formally. The difference
between research in agriculture and farmer’s production is that researchers base their studies on academic
theory, reasoning and limited practice or practice in a narrow context in the short-time, while the farmers
usually only practice in larger contexts, for a long-time and are affected by many factors. Thus,
technology/innovation cannot only come from research/ experiments to farmers/practice and end there, but it
must be improved through practice in the field as well as by feedback from there. Yadav(non date)argued that
weak linkages between farmer, extension and researcher mean that the farmers are not included in the
planning of the innovation, despite the fact they are the-end users. This argument may be similar true to this
case.
Based on interviews with extensionists and researchers, visits to farmers by both researchers and extension
staff were uncommon, especially in the upland area because of difficult geography, limited extension staff and
funding. However, grass-root extension staff usually visit the field and farmers but give limited information
feedback on problems to upper extensionists or researchers. Most interviewees remarked on the need that
farmers themselves should be involved in problem identification and the extension staff and researchers should
selected it. All three, extensionists, researchers and farmers recognized that there was no joint investigation of
problems or evaluation of activities and no joint listing of priorities. Therefore, there was a feeling of lack of
co-ordination between research and extension.
Meanwhile, Vanden Ban & Hawkins (1999) noted that the role of extension as a bridge between farmers
and research aims at improving technology and satisfying farmer’s need/ the fact’s demands. Thus, a lack of
this role of extension in their activities is a constraint on the change of technology and better production. In
other words, the ineffective linkage between extension and research in bringing feedback from farmers to
research and disseminating to farmers improved/appropriated technologies from research, constrains effective
extension activities/production and agricultural development. The question it raises is what are the reasons for
these ineffective linkages? And how can this situation be changed in the study site in particular and in the
Vietnam context in general? There are many factors affecting on these linkages which will be discussed later.
In summary, of the three extension services above, the tea enterprise has closest linkage and most promising
collaboration with research/ researchers through the contracts and co-ordination in generation, diffusion and
utilization of knowledge and information on tea. The aid project as PuMat’s project had also close linkage
with research on sociology and ethnology in the short-time. But the linkages between formal extension service
and research/researcher were mainly one way and rather loosely. The ineffective linkages between extension
and research constrain the development of technology/knowledge as well as positive contribution of extension
to agricultural production. Thus, this situation needs to be improved.
The linkage between extension and educators
Interviews with extensionists and educators indicated that there had been no specific education activities
linking extension and research-education-farmers although this situation was beginning to change recently.
There is a lack of special extensionists in fact (none of the extension staff graduated with agricultural speciality,
with the profession code of extension is yet in the list of the civil servant system at Vietnam). Additionally,
many new approaches in extension are just there in theory but have not been applied in practice (participatory
extension methods, AKIS, market-demand extension, etc.). According to one extension staff, participatory
extension methods have been applied in PuMat’s project process and the extensionist at study site was trained
by this project, not by any education institution. Linkages between extension and education seem limited.
Meanwhile, educators’ duties/functions both in researching and training/teaching, is to enhance
knowledge/practice of facts through research, not only in labs and experiment farms, but in the field. They
should combine academic/theory knowledge with practical knowledge in their teaching and their
training/education in agriculture must be appropriate to reality and to labor market’s demands. Therefore one
can question what the reasons for this situation are and how can it be changed?
So far this study illustrates the absence of agricultural education in the synergy of research-education-
extension-farmers and that ineffective linkages between extension and research are constraining generation,

51
diffusion and utilization of knowledge/information in agriculture for better agricultural production. This
argument is similar to that of authors such as Yadav(nondate)who argued that farmers are not included in the
planning of innovations, despite the fact they are the end users and this is due to these weak linkages.
According to Growder & Anderson (1996), others authors including Engel, 1990; Merrill-Sands & Kaimowitz,
1989; Ortiz, 1990 and Roling, 1990 also stated that integrating research, education and extension can improve
the overall performance of agricultural technology systems.
The linkages between extension and others (input suppliers and marketers)
The data from group discussions and interviews show the input/output actors who are related to the three
main extension services (formal extension service, Pumat’s project extension, and tea enterprise,) including
fertilizer suppliers, variety agents, marketers and bank/ credit sources. Among these the formal extension
service and PuMat’s project extension worked as a subsidy extension services. Both of them only linked with
fertilizer suppliers and seed variety agents in their extension activities; but they were not coordinated with
market actors. Remaining tea enterprise coordinated with all of these input and market actors for their
extension activities such as the bank, fertilizer suppliers, and the tea research institute for tea varieties.
According to the commune extensionist, in 2005-2006 (after the closing of PuMat’s project), formal
21
extension service implemented a program of “Training for all farmers under 50 year olds” in this commune.
They only coordinated with agricultural units to provide training technology for farmers on some objects of
crops or livestock that the farmer’s need, but they did not mention input or market actors in their linkages
with farmers for these objects production. Mrs. T –one exetensionist remarked that the communication of this
training was one way, did not use participatory methods; as for trainees who received information from this
way they got a little bit of money (about five to ten thousand per one) when they attended this course. Most
of the farmers, in group discussions, assessed this program in this site as not effective. It means that the
contribution of formal extension services in this program was ineffective in diffusion of innovation because
most farmers lack of funding to invest in production, have limited access to finance (both source and
management), difficulties in reaching a market for their products, and they forgot the information/knowledge
they received in this training course (Appendix 10). The extension staff (interviews) also conceded this
argument. The farmers’ need in commercial production includes input investment and a consumption market.
They meet difficulties on that if factors mentioned above are not resolved and, extension activities also did not
satisfy their demand. Thus, this subsidy extension activity seems to be wasteful, not effective and not a
demand-driven one in this case. Hoang Xuan Thanh, et al.(2006) also concluded the same.
Meanwhile, in the late 1990s, a program of hybrid rice application in this district had a lesson on minority
farmers needs. The state supported varieties, fertilizer, pesticide, and technology on hybrid rice production,
priority over farmers in extremely difficult communes and remote areas. The formal extension service had
coordinated with input suppliers on the extension program in hybrid rice production for food security and
poverty reduction to support for farmers in the subsidy program of the state. This brought noticeable
achievement in hybrid rice production not only in this site, but for Nghe An province (Canh, 2005).
Nevertheless, this important lesson did not lead to change or better application of training programs following
direction number 5 in a good way. If the formal extension service not only was coordinated with others in
diffusion technology, but they linked closely with credit sources, input suppliers as well as market actors to
help the farmers in their extension activities, the effect on agricultural production will be better. Because the
farmers said that they usually worry about price and quality of fertilizer, pesticides as well as varieties in the
free market, and some bad effect on their production such as bad fertilizer quality, and high cost. Thus, it is
necessary that management of inputs for farmers is through formal linkages based on contract.
Similarly, through group discussions (farmers) and interviews with an old staff member of this project, the
data showed that PuMat’s project extension also had coordinated closely with input suppliers based on contract
in supplying variety and fertilizer for farmers on forest production, livestock production, and gardening. This

21
This program as a subsidy policy of direction 05 of Nghean province people committee on training for all farmers
covered province who under 50 year old (see policy background section)

52
helped the farmers receive the correct and high quality of varieties and fertilizers for their production (farmers’
discussion). However, these linkages occurred only for a short-time when this project was ongoing and they
did not include question of markets for farmer for livestock products or forest products. Therefore, formal
extension services or others could perhaps fill this gap.
It seems to be understood that these difficulties of a consumption market of agricultural products as well as
seeking the potential of tea production in this commune and satisfying market demand on tea consumption,
22
the tea enterprise implemented of the decree 80 of the state . They opened the area of tea production and
investment in this through contracts with local farmers. They also contracted with the bank, the fertilizer
suppliers, and PhuHo tea research institute for support to tea production in this site. Especially, the linkages
between the tea enterprise and Phu Ho tea research institute were close in the first stage. This looks as a
promising signal for the current context of globalization when Vietnam is a member of WTO.
The formal extension service and PuMat’s project extension only linked with input suppliers for their
subsidy program or civil society, but they did not mention output suppliers or linkage with input suppliers in
the longterm. This constrains development of agricultural production in general and diffusion of innovation in
particular. The subsidy extension perhaps satisfied farmer’s need on production for food security and not
satisfied farmer’s demand on production for market. As for the tea enterprise, the formal linkages by contract
with input suppliers and output suppliers (themselves) and farmers brought direct effects to tea production as
well as promises for a better future.

4.3 Effects of AKIS linkages on agricultural production

In this section, there are two parts including failure stories and successful stories in agricultural production
related to AKIS linkages. The terms of “success” and “failure” are within confines of achievements in
production recently. For example, in this site, the purpose of rice production is for food security and poverty
reduction; the purposes of tea production, livestock and forest production are for the market/commerce.
Through group discussions with farmers, interviews with different actors and the meeting at the commune, the
findings at this site and some in other sites will be shown and analyzed in this section

4.3.1 The failure stories

Livestock production
Through interviews, group discussions with livestock producers, and village annual reports, the findings
indicated some recent failure cases in livestock production They said that the reasons for the failure was that
extension did not meet farmers’ need in this production line. They mentioned limited access to funding
(finance: financial management and credit sources), high technology and problems with consumption market
(low cost, difficult to sell), especially they met difficulties in accessing funds for investment of this production.
Both farmers and formal extension services lacked coordination with input suppliers and marketers in
livestock production. Meanwhile, when the PuMat’s project was ongoing (1997-2004), they supported
producers with technology and finance (to buy input: varieties of cattle, piggery). In Figure 4.1, the data show
the quantity of main livestock such as pig, cow, buffalo and poultry which increased after 2000 and that
decreased after 2005. It illustrates the impact of the PuMat’s project on local farmers in this production line in
the short time. After the end of this project, the quantity of livestock decreased due to the limitation of access
to finance and market of producers. These limitations could be due to the lack of linkages between producers

22
Decree 80 of state about contract between businessman and farmers in agricultural production/consumption and the

linkage among some of actors (researchers-businessman-farmers-extensionist-banks..etc) together.

53
and credit sources, between producers and buyers, as well as formal extension services not linking with input
suppliers (credit sources, variety and feed suppliers) and market actors in their extension activities (Diagram
4.2.2.)
Other contributing factors could be the lack of financial management in the content extension provided to
farmers, as well as the lack of information to farmers on saving, financial planning and reproductive planning.
The farmers said that the extension services had not satisfied their need (Table 4.6) regarding consumption
markets, credit sources, and financial management. The extensionists at village, commune and district also
agreed that they only coordinated with other actors in technology diffusion (training, meeting), but they lack
coordination with marketers and credit sources in their extension activities, and they did not diffuse
information on financial management or production planning for farmers. Therefore, recent failures in
livestock production can be because of lack of linkages between producers and credit sources, producers and
marketers, as well as limitations of knowledge in planning and financial management of producers.
Quantity

600

500

400

300

200

100

0
2000 2001 2002 2003 2004 2005 2006 2007
Year

Cow and buffalo (heads) Pig (heads)

Poultry ( 10 heads)

Figure 4.1: The trend on quantity of livestock

Sources: Village annual reports, 2007

Forest production
In the field of forestry, the interviewees (farmers, foresters) indicated that they link with other actors to
protect forests rather than to produce forests. The extensionists recognized that they only focus on forest
technology such as technique of forest cultivation, but they did not emphasize forest protection and
consumption market of forest products. The staff of the forest management unit focused on forest protection,
but did not mention forest production. Neither of these units is still linked with market sources and the actors
related to the market (demand, trend, cost). Although this commune has an existing pulp processing shop to
use forest material for paper industry, farmers still complained of the failure of forest production manifested by
low price. According to the village head, over 50 percent of the farmers were keeping forest trees for paper
and did not sell to this shop due to very low prices and lack of formal linkages between producers and this
shop. One staff of this pulp processing shop said that they bought materials at low cost because the paper
industry related to this shop could be not successful in the market. Meanwhile, the forest producers knew only
54
this one consumption source currently. The farmers in the forest production group wanted the state to buy the
products from them as well as better market price management, and inflation control. The government
encouraged the companies to collaborate with farmers by contract to extend production and to consume
products through decree 80/CP, but most staff of this processing shop did not know this policy. Thus the low
output price of this product constrained development of forest production and the potential of improving
income for local farmers. In other words, lack of formal linkages between farmers and marketers constrained
development of forest production.
Although there is an existing pulp processing shop in this commune, farmers still meet problems of paper
material consumption in forest production, for example low price, due to the absence of formal linkage
between farmers and this shop. However, recently, the Innovgreen Corp. Ltd has signed a contract with Vinh
University (October, 2007) on education, research and diffusion related on forest production and other
stakeholders such as government, and local communities in the upland of Nghe An province to seek win-win
solutions that bring mutual benefits to the corporation, communities and the environment. In this, there is
commitment from Vinh University to educate/train corporation staff, forest farmers, to research on forestry
and to diffuse on forest technology, and commitment from Innovgreen Corp.Ltd to invest funding for these
activities such as scholarship for student, funding and land area for research and extension. These recent formal
linkages are promising for a potentially better near future.
Commercial agricultural production in other site
Some districts such as Thanh Chuong and Anh Son in Nghe An province had tea production in which a
23
breach of contract of some tea farmers occured due to low price. Nghe An Tea Company has formal linkage
by contract with tea producers as a production area of tea material for them. Yet some of the tea farmers sell
tea products to other private tea processing shops with higher cost and not to implement the content of their
signed contract. The Tea Company bought lower price of tea material and that influenced the tea farmer’s
benefit and it has led to their breach of contract. The breach of contract of some tea farmers led to a lack of
material for the tea industry of Nghe An tea company and the effect that they also breached contracts with
others, especially external markets in export contracts. Some of the state officers said that the tea farmers in this
case could be punished by the arbitrator. However, this situation was not yet solved because there was nobody
as arbitrator to judge up to now. The responsibility of these farmers on this problem was not resolved. Nghe
An tea company did not yet have any solution for this status or were prepared to improve the price when
buying tea material from producers. This failure of the Tea Company on tea consumption is due to the rigidity
of the tea price policy in the contract implementation process between them and farmers. From the above
discussion, benefits and duties/ responsibilities of stakeholders in this case are the factors affecting the quality of
this formal linkage.
Some similar cases of contract breach occurred with producers at Anh Son sugar-cane company in Nghe
An province about five years ago, for the same reason. That time, this company changed the policy of their
production strategy to broaden the consumption market of sugar by marketing campaigns and contract of
sugar-cane production/ consumption with farmers as well as improved quality and decreased the cost of sugar
products. The formal linkage between this company and sugar-cane producers by new contract as a standby
plan was established with support on variety, fertilizer, and technology for the farmers and consumption of this
product is at a right price. Thus, a new plan/strategy or standby plan of this Sugar-cane Company on this
problem improved the quality of their formal linkage.
Besides forest protection in upland areas, the forest production is one of the activities to improve farmers’
income. However, other communes in this district also lacked participation of marketers in forest production
which led to restricted development of this production. In other words, lack of formal linkages through
contract between forest producers and marketers is constraining development of forest production and
forestation.

23
This is contract between Nghe An tea company and farmers in tea production and tea consumption.

55
 In summary, the formal linkages by contract between producers and marketers are needed and useful for
stakeholders. This encourages generation, diffusion and utilization of better knowledge/ information for
agricultural production and is a driving force improving on industry of processing and commerce. However,
the quality of these formal linkages is noteworthy. Some factors affecting the quality of this linkage are benefits
and duties/responsibility of stakeholders as well as planning, plan implementation, and a standby plan.

4.3.2 The successful stories

In this section, findings from interviews will be showed in hybrid rice production and tea production in this
commune and other commercial agricultural production in the other site are example of successful stories
related to the linkage between producers and others actors in their activities (agricultural production).
Hybrid rice production
Figure 1 shows that the hybrid rice program began in 1995. The change over time of yield and area of the
hybrid rice is illustrated in Figure 2 with increasing tendency. In addition, the result indicated that before 2000
the production was one crop/ year and after 2000 it increased to two crops/year. Thus, the increase of rice
yield, rice area and number of crop/year amounts to a production increase over time. This change from 2000
illustrates the effect of extension and their important contribution annually to hybrid rice production. The
findings indicated that this is from direct guidelines from up to down of formal extension service, building a
“model” for each crop. It shows high adoption of farmers and investment in this production line. The
investment in hybrid rice production included irrigation works in 2000 (Figure 1), some new varieties with
24
high yield were changed, appropriate fertilizer for rice cultivation was provided and subsidy on input for
farmers was provided. It seems to satisfy the farmers’ needs including irrigation, fertilizer, variety (the local
farmers are very poor, lack funding for production while the price of imported fertilizer and variety is high).
The formal extension service coordinated with the fertilizer company to borrow fertilizers for farmers use and
they also contacted rice variety suppliers to support farmers. These linkages are formal linkages based on
contract. Perhaps these formal linkages are a good way to support input for rice production, because the
farmers said that the hybrid rice varieties and the fertilizer they received ensured good quality. However, most
farmers said that allocation of hybrid rice variety and fertilizer for farmers was unequal and wasteful, they
received partly but not enough for cultivation. They mustly bought the remainder of these inputs at high cost
due to import of both fertilizers and hybrid rice variety from China. A question is why they did not use
domestic hybrid rice varieties? An examination of this issue with farmers, extensionists and researchers, showed
that hybrid rice varieties made in Vietnam usually have higher cost price than the varieties made in China
when the farmers buy small amount. The researchers make hybrid rice varieties only for the lowland area on
order from producers (or extensionists) on large scale (area). For example, some agricultural engineers signed a
contract with researchers of Hanoi Agricultural University to buy technique/technology to make hybrid rice
varieties for intensive cultivation. Then they produced this variety and worked as extensionists to diffuse this
to farmers in Thai Binh province through contracts between them and farmers. During the implementation
process three of them (farmers, extensionists and researchers) developed this technology further. These formal
linkages (between these engineers and researchers, between these engineers and farmers) made a good
contribution and gave mutual benefits to researchers, extensionists (these engineers) and farmers in rice
production. Therefore, the results of this study on the absence of research or lack of the linkages between
researchers and farmers (extensionist) in upland areas maybe is a reason constraining great interest of
technology/research for producers.
The farmers in group discussions and interviews in this commune agreed that thanks to the hybrid rice
program, most of them have enough rice to escape hunger and poverty. The findings from interviews with
district officers and extensionists (in district, commune and village levels) also showed that the hybrid rice
program of the formal extension service is the most successful case compared to other extension activities such

24
The mode of hybrid rice production with intensive cultivation requires more investing of inputs, this is different with
traditional rice cultivation.

56
as gardening, livestock, and others. It contributes importantly to the achievement in poverty reduction in this
commune, this district and in general in Nghe An province. Nguyen Tho Canh (2005), and Tong Khiem
(2005)also recognized this achievement and the important role of formal extension service in that.
Quantity
8.0

7.0

6.0

5.0

4.0

3.0

2.0

1.0

0.0
2000 2001 2002 2003 2004 2005 2006 2007 Year

Hybrid rice yield (ton/ha) Hybrid rice area (10 ha/year)

Figure 4.2: The change of hybrid rice yield and area

Sources: Village annual reports, 2007

Tea production in neighbor village

The results of this study in Pha village on successes among the four production lines (rice, tea, livestock and
forest) showed that only rice production was rather successful, and others failed. Although tea production in
this village was not yet successful due to lack of coordination between producers and extension/ input
suppliers/ marketers/ research, the success in tea production in the neighbor village will be discussed in this
part as a lesson learnt on the importance of formal linkages between tea producers and tea enterprises. As
mentioned in section of 4.2.3. above, based on a contract (formal linkages) between the tea enterprise and
farmers in neighbor village, The current success in tea production in this site (including the tea enterprise with
the bank and linkages between the tea enterprise and Tea Research Institute), is a promising signal for the
future. This part will show the findings and discuss details based on data from group discussion and interviews
with the tea producers’ group in this village, as well as interviews from some tea farmers in the neighbor
village and the deputy manager of the technique department at the tea enterprise,
The purpose of tea production in this commune is production for the market, making tea material for the
Bai Phu tea enterprise. Tea farmers in this village said that they observed the success in tea production in the
neighbor tea village, and then they imitated/ learned from this in their own tea production. They began tea
production in 2003 and after three years they could harvest the first crop in 2006, but the yield of this crop
25
was almost trivial . However, thanks to the success of tea production in the neighbor village, from a
beginning of 1-2 households imitating tea production in the neighbor village with an area of about 1-2 ha,
now, ten households cultivated more than 10 ha of tea. They also wanted to expand their tea area more but
they met many difficulties such as pest, drought, and diseases which currently needed to be solved. It seems

25
The trivial yield in the first years of tea is common phenomenon (according technique on tea cultivation)

57
that there was a lack of close linkage between them and extension or researchers and absence of formal
linkages between them and tea enterprise.
The tea farmers in the neighbor village who based production on contract between them and tea
enterprise, had rather stable tea production. The tea yield increased over time, from about 2 ton/ha (2000), 3-
4ton/ha (2002), 5-6 ton/ha (2006). The income from tea (about 8-13 million/ha/year) was higher than others
before. According to the village head, some farmer cultivated tea for improving income from wild land, poor
forest land, and other land that in the past had very low economy value.. Thus the tea production has begun to
bring products to the market and income for farmers in this site. This change was reputed as an important
change in this remote area, not only in improving farmers’ income, but giving employment as well as
contribution in forest protection and poverty reduction. However, one technician of tea enterprise evaluated
that in fact the yield of PH1 tea variety is lower compared to potential yield (about over 20 ton/ha). The
reasons for this low tea yield may be the lower drought resistance of this variety and poor irrigation for tea
26
cultivation in this village or the young tea year as well as other reasons. The technology change occurred by
replacing with a new variety and this is a lesson from the past of lack of research before diffusion of tea
production in a large area with about over 100ha. This means the loose linkage between a tea enterprise (tea
farmers) and the tea research institute in the past made a wasteful investment and unsuccessful tea production.
Based on contracts, tea farmers have got free technology and borrowed fertilizer and initial tea variety from
the tea enterprise. Then the tea enterprise diffused technology in tea cultivation and deducted the debt each
harvest as well as purchased tea products from the farmers. They utilized both participatory extension methods
and traditional extension methods. This approach is an example of two ways of information flow leading to
satisfied needs and a good example of a contract implementation process. In addition, the tea enterprise
coordinated closely with the tea research institute to study and apply some appropriate technique for this site.
27
For example, after successful hybridization between Daibachtra and PH1 to form LDP1,2, and experiments
(pre-extension), in 2002, the tea enterprise expanded the replanting of a drought-resistant tea variety in this
village. This change is appropriate and timely for tea production in this area. Besides, the tea enterprise linked
with the bank, with fertilizer suppliers by formal linkage (contract) to satisfy the farmer needs in investment
input for tea production. The village head said that the formal linkage between tea enterprise and fertilizer
suppliers was established after they did the experiment on appropriate fertilizer tea cultivation. Thus, the head
of village observed that this makes tea farmers feel relieved on this input.
Through observation and interviews (village head, staff of tea enterprise), it can be seen that Tea enterprise
invested to build a tea processing shop in the village. This makes close relationship with local tea farmers and
the exchange of information among them become convenient as staff of the tea enterprise often stay in the tea
processing shop in this village. The effects of the tea enterprise on the formal linkages is based on opening and
seeking market for tea export from the Nghe An Tea Company. It means that the market demand promoted
the formal linkages between the tea enterprise and tea farmers for sustainable development in tea production
and commerce. This argument is similar with the conclusion of the Neuchatel group (1999) that market
demands create an impetus for a new relationship between producers and private suppliers.
28
Accordingly, the closer relationship they have, the more effective they are in tea production.
However, the deputy manager of the technical department of the tea enterprise recognized that the
coordination among actors from field cultivation-processing- products- selling and consumers was not strong.
The consumption needs for a tea product with high quality, safe, and at a low cost are still not yet satisfied.
Especially, the tea product was exported to a popular market (not to a market of high quality) and mainly tea
material for countries such as Taiwan, China, Russia, and India. It means they are not yet making a trade mark
for Vietnamese tea products. This may require a reorganization to a better AKIS as well as a high value chain.

26
The young year number of tea production affects on tea yield (according technique on tea production).
27
LDP1,2 is drought-resistant variety in hybridization between Daibachtra (low yield but high drought resistance) and
PH1(high yield but less drought resistance)
28
The relationship between tea producers-tea enterprise- researchers and others

58
4.4 The factors affecting on the AKIS linkages
In this section, the main factors affecting the AKIS linkages as mentioned before will be summarised and the
data following attitudes of farmers, extensionists, educators and some others will be interpreted.
As mentioned in section 4.2, each of the linkage types (formal linkages/ informal linkages; top-down
linkages/bottom-up linkages; internal linkages/external linkages) has different characteristics. The responsibility
and benefits of each of the stakeholders in formal linkages through contracts is higher than informal linkages.
The top-down linkages in extension are very important in emergency cases such as hunger, lean harvests and
calamities, because of pressing requirements. Bottom-up linkages are very necessary in a globalization context
because of market demand. Both internal and external linkages are needed for the information flow as well as
in sharing information of generation, diffusion and utilization of knowledge, and using “triangle knowledge”
well.
Depending on the kind of linkages, the affecting factors are different. For example, the contracting between
actors, content of contract and contract implementation make a formal linkage better or not. The
way/methods of contact between and among actors in their working such as traditional and participatory
extension methods, traditional research/education and participatory research/education methods, and
independent working style and synergy working style will affect the quality of their linkages positively or
negatively. In earlier sections, some factors affecting the quality of linkages between and among actors within
AKIS have been mentioned, such as policy force, planning, working plan, implementation process and
evaluation of plan/policy, traditional working habits, attitude, as well as benefits and duties/responsibilities of
stakeholders (see Appendix 9 and 11). The lack of bottom up linkage among outsiders and farmers, as well as a
lack of external linkages between research-educator-extension mentioned above, were also factors affecting on
effective linkage.
Table 4.9 showed that there were many factors affecting the AKIS linkages, in which the farmers, extension
workers and educators were identified as the key factors following the priority ranking such as funding;
policy/mechanism; quality and quantity of actors (extensionists, researchers, educators); market mechanism;
29
independent units (education, research, extension, input suppliers, output buyers) ; attitude, thinking and
behavior of actors; and contracts or plans among actors.
The interviewees indicated that funding (amount and financial management) and policy/mechanism are the
most important factors affecting on the effect of linkages. For example, a low financial amount (1% national
budget for agriculture investment), less financial management (stipulation, planning, implementation, and
accountability) and loose policy/mechanism (policy making, enforcement, supervising) in agricultural
development (research, extension, and education) of the State leads to both a wasteful and not enough
participatory methods in practice and is less effective.
Besides, the researchers in interviews said that market mechanisms affect the economy trend from
30
agricultural economy to industry economy to knowledge economy . The market mechanism encourages
synergy/linkages between and among different actors to satisfy the market demand.
In interviews on the factors affecting AKIS linkages, the interviewees mentioned some negative factors such
as lack of contract/plan among actors, inequitable benefits and low responsibility of each stakeholder in their
linkages, the loose state management on subsidy extension activities, and the weak implementation of policies
related on extension, research and education of various actors which affecting the quality of AKIS linkages

29
Three main actors including research, extension, and education are not in an integrated unit, but they are independent
units which belong to different ministries (Ministry of Technology and Science, Ministry of Agriculture and Rural
Development, Ministry of Education and Training)
30
Knowledge economy is an economy of generation, diffusion and use of knowledge that is the main dynamic of
economic growth and creating wealth, environment protection and stimulating employment of all economic aspects
(www.http://nhandan.com.vn/tinbai )

59
(weak linkages). Among these, the lack of contract (formal linkage) among actors is an important factor
affecting effective linkage.
The extensionists and educators discussed about conservative attitudes, old thinking, and traditional
behaviors in their activities as well as quality/quantity of actors (ethics, responsibility, initiative/ passive,
education level, number of staff) which restrict synergy among actors and use of new approaches in extension,
research and education. The behaviors and thinking of Vietnamese in their working with usually imposed
traditional methods, top-down, to obey and be passive (Dr.Duong from interview, 2007). Some of the farmers
and extensionists said that the farmers are receivers/ beneficiaries from extension/research and they are
backward, have low awareness; and the extensionist is a sender, supporter, and the best one. This approach is
appropriate for some hot problems that need to be solved immediately such as famine, flood, storm or
epidemics and exist in a stage of subsidy economy. But it is not suitable for the long term, especially in a
market economy period. Although many new approaches from outside have entered VietNam through
NGOs, investments, programs, projects and led to changes in policies/theories/ academic debates, in practice
they still are not applied effectively. Thus, there was a feeling that the attitude, thinking and behavior of actors
and stakeholders in AKIS and outside lead to ineffective utilization of new methods/approaches and closer
linkages between them.
Table 4.9: The factors affecting on the linkages between extension and others in AKIS
Reasons Remark of Remark of extension Remark of Sum of remark
farmers workers educators
(n=9 + 30) (n=5) (n=5)
Funding (amount, management) 28 5 4 37
Poor quality of actors in apply 25 5 5 35
new approaches
Institution: Three different units 5 5 10
on research, education and extension

Attitude, thinking, behavior of 4 5 9

actors
Policy/mechanism 27 4 5 36
Characteristic of local farmers 20 3 3 26
Characteristic of innovation 23 3 3 29
Market mechanism 23 4 5 32

(globalization, WTO,

commercialization )

Lack of contract/plan among 20 3 5 28

actors

Sources: Group discussion and interviews, 2007

The extensionists and educators discussed conservative attitudes, old thinking, and traditional behaviors in
their activities as well as the quality/quantity of actors (ethic, responsibility, initiative/ passive, education level,
number of staff) which restrict synergy among actors and use of new approaches on extension, research and
education. The behaviors and thinking of Vietnamese in working often follow traditional methods, top-down,
and is passive (Dr.D from interview, 2007). Some of farmers and extensionists said that the farmers are
receivers/ beneficiaries from extension/research and they are backward, low awareness; and the extensionist as
a sender, supporter, and the best one. This approach is appropriated for some hot problems which need to

60
solve immediately such as famines, floods, storms, epidemics, and exist in the stage of subsidy economy. But it
is not suitable for long term, especially in market economy period. Although many new approaches from
outside (foreigners, the West) through NGO, investment, programs, projects have been introduced in
VietNam and changing in policies/theories/ academic debates, but in the fact/practice still not yet applied
effectively. Thus, these was a feeling that the attitude, thinking and behaviors of actors and stakeholders in
AKIS and outside lead to ineffective utilization of new methods/approaches for close linkages between them.
They also said that there were independent units of extension, research, and education with different
mechanisms (belonging to three ministries: agriculture, technology science and education and training), while
there was a lack of synergy at national level in planning or policy making or state management. This affected
31
external linkages at province, district, or commune among these actors. They think that “three in one”
would be convenient for their synergy. In fact, some units such as Hanoi agricultural university, Vinh
university and Hue Agricultural and Forestry University, have established extension departments or rural
development centres (the main function of the university including educating/training/ and researching).
When they integrate research, education and extension, each of their work will be complementary and the
working outcome will be better.
In summary, there are many factors affecting the AKIS linkages depend on each of specific context.
According participants in group discussions and interviews (field work) seem to be funding,
policies/mechanism and quality of AKIS’s actors are main factors affect on quality of AKIS linkages.

31
This is mergence from three actors (extension, research, education) into one unit.

61
5 CONCLUSION

This section is summary of interesting conclusions from the research results. Following are major conclusions
derived from the previous analysis:
1. Actors involved in AKIS depend on the type of production. For general AKIS of the study area, main
actors included public sectors (head of village, media officers, formal extension service, forestry management
offices), private sectors (tea enterprise) and aid project (Pumat project). Those actors play different roles within
AKIS. Among those actors, heads of villages, media officers and formal extentionists play crucial roles and were
considered as major actors in most of AKISs in the study area.
2. The weak linkages between extension and research, between production and research are still existing
and are major factors affecting low technology change. This maybe leads to ineffective agricultural production
as farmer’s need in the study area.
3. The most important role of the village head is as a representative for farmers in signing and managing
contracts between tea farmers and the tea enterprise in their promising formal linkage. In addition, the role of
village head in making, providing indigenous knowledge and feedback or farmers’ need to outsiders
(extensionists, researchers, educators, supporters: credit sources, input suppliers, and marketers) perhaps as a
potential role aiming at making the contribution of extension services better.
4. The formal linkage among actors based on contracts is very significant and important in tea production.
This effect shows the important role of the tea enterprise. This type of formal linkage was a unique linkage in
this commune that made an effective contribution of extension to the production process from input to
output.
5. The interaction of extension services and farmers is a factor that affects the contribution of extension
services to effective extension implementation/ production. Although the linkages between Pumat’s project
extension and farmers, and between the tea enterprise and farmers were closer than others due to the use of
participatory extension methods, it looks like the linkages between extension and farmers are still weak due to
low frequency and less feedback from farmers to extension /research.
6. Of the three extension services (public extension, private extension and aid project), the tea enterprise
has closest and most promising linkages with researcher/ researchers through the contract and co-ordination in
generation, diffusion and utilization of knowledge and information on tea. The PuMat’s project had also close
linkage with research in sociology and ethnology in the short-time. However, the linkages between formal
extension service and research/researcher were mainly one way and rather loose. The ineffective linkages
between extension and research constrained the development of technology/knowledge as well as good
contribution of extension in agricultural production. Thus, this situation needs to be improved.
7. There are many factors which influence the linkages among actors such as funding, mechanism, quality
of actors, market’s mechanism and institutions. They each depend on specific contexts with different actors
involved in AKIS. According to participants in group discussions and interviews funding, policies/mechanism
and quality of AKIS’s actors are the main factors that affect quality of AKIS linkages
In other words, the role of all actors, especially key actors, as well as contributions from them on
information flow within AKIS are factors affecting the AKIS linkages. The ability to play the role and to
contribute on information flow within AKIS and AKIS linkages depends on quantity and quality of these
actors such as attitude, knowledge, ethics, ideology, skill and methods used. In addition, the environment
around AKIS actors also affects the linkages such as funding, physical, mechanism (policy, economic context,
and plan). These actors are main factors affecting AKIS linkages in this case study. This will be further research
in a different site and using other methods.

62
6 REFERENCES

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Tropical Pest Management, Australia
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William McLeod Rivera and M. Kalim Qamar (no date), Agricultural Extension, Rural Development and the Food Security
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64
7 APPENDICES

Appendix 1: The checklist for interviews

Appendix 1.1. The checklist for interview farmers

1. ông/bà ã t•ng tham gia vào nh•ng ho•t •ng nào sau ây và t•n su•t tham gia (bao nhiêu
l•n/1tu•n/tháng/quí/n m), k• c• các thành viên trong gia ình. Ghi rõ tên ngu•n cung c•p (ai, t• ch•c
nào)
Have you (and other members in your family) been attend activities below and how frequancy (amount
time/week/month/quarter/year)? Please tell me about activities source?
Tên Tuổi Nghề Nữ Nghiêncứu về Đạihọc CĐ/TCấp Đào tạo về
Name Age Job Female NN or Nthôn NN,LN,TS NN,LN,TS NLN,NTngắn
Research on Agr. Agr. hạn(1 tháng-1
Agriculture or University Colllege năm)
Ru. de (Agr., For., Short
Aqua.) Training on
Agr. (1m-
12m)
Interviewee
Người p/v
Ông/grandfather
Bà/grandmother
Cha/Father
Mẹ/Mother
Con/Children: 1
2
3
4
5
6
7
8
9

2. Trong nhà ông/bà ai là ng••i hay tham d• các cu•c h•i h•p(h•p b•n, h•p h•i…)……….g•p g• trao •i làm
n…….t•p hu•n KN……. •c sách báo ……..xem TV (các CT liên quan •n sx nn)……..
- Nh•ng ng••i ó sau tham d• v• tri•n khai • g nh• th• nào?
- In your family, who often attend activities
Meeting (village me., unions me….)……; Exchange together with others on A. Pro…….; Traning on
Extension………; Reading book,
newspaper…….Watching TV (the program related to A. Pro.)……..
- After attending the these activities, how to apply in the fact?

65
 3. Các ngu•n cung c•p (khai thác, tìm ki•m) thông tin và ki•n th•c nông lâm nghi•p cho g ông/bà t• âu
và nh• th• nào (ch•t l••ng KI, m•c • th••ng xuyên, m•i quan h• gi•a ông/bà/g và m•i ngu•n, hi•u qu• •ng
d•ng, t• l• thành công)?
What are the AKI(agricultural knowledge and information) sources? And how? (quality and quantity of KI, frequency,
relationship between you and each of source, effect, )
Kind of AKI Head of Exst. of Exst. Exst. Est. Agri. Forester T Radio
village village of of of staff V
com. district provi.
Awareness
Technology
Market I.
Indigenous K
A.policy I.
Other
(environment,
sources of
finance…)

- Ông/bà có th• nói rõ v• s• l••ng và ch•t l••ng thôngtin, ki•n th•c mà ông bà thu nh•n t• các ngu•n trên,
v• s• l•u thông, lan truy•n thông tin trong c•ng •ng; v• khó kh n, thu•n l•i và nh•ng ki•n ngh•, gi•i pháp
c•a you cho dòng ch•y thông tin ch•t l••ng h•n.

Please tell me about quantity and quality on AKI from above sources; on AKI flow in your community; on advantage,
disandvantage, initiative, sollutions from you for AKI better

3. Khi g ông/bà g•p khó kh n, tr• ng•i trong s•n xu•t nông nghi•p, ai là ng••i ông/bà trao •i,g•p g• v•i
h•. Trao •i b•ng hình th•c gì ( •ên tho•i, th• t•, tr•c ti•p, gián ti•p…). Và v•n • ó ••c gi•i quy•t nh•
th• nào?
When you and your family has some problems, disadvantages in agricultural production, who do you meet or
contact/exchange with them? How to resolve?
4. • ra quy•t •nh tr•ng cây gì, nuôi con gì vào m•i v•, m•i n m hay hàng n m ông/bà và gia ình th••ng
d•a vào âu? Trong vi•c ra quy•t •nh tr•ng cây gì, nuôi con gì, ông/bà g•p nh•ng khó kh n nào?
What sources you base on when you/your family decided investment for what production each of year? What difficult
did you meet in making decision process?
5. Ông/bà ang g•p nh•ng thu•n l•i và khó kh n gì trong vi•c tr•ng cây ó nh• th• nào, nuôi con v•t ó ra
sao, vay v•n • âu, qu•n lý v•n ntn, và tiêu th• nông s•n ó ra sao?
What does the advantages and disadvantages in your production process? How about credit/funding for production? How
about financial management or planning in your household? What purpose in your production and how about achievement
this purpose?
6. Các ki•n th•c •a ph••ng (ki•n th•c t• kinh nghi•m ông/bà ngày x•a • l•i) trong s•n xu•t (c• th• ch n
nuôi, tr•ng tr•t, gi• •t, gi• r•ng…) có ••c l•u truy•n trong c•ng •ng không? Ng••i CB khuy•n nông
có chia s• v•i ông/bà nh•ng ki•n th•c ó không? Theo ông/bà ngu•n ki•n th•c này hi•n nay ra sao?
How about local knowledge and the conservation of indigenous knowledge in your local community? Who does sharing
this knowledge with you/your family?
7. Ông/bà/g th••ng liên h• nh• th• nào v•i khuy•n nông viên (g•m khuy•n nông viên chính th•c và phi
chính th•c) ?
How often do you contact with extensionist both of formal extensionist and informal extensionist? (amount
time/month/quarter/harvest/year; participate or not, one way or two way)

66
 8. • •a ph••ng, ông/bà th•y vi•c liên k•t 4 nhà nh• th• nào? Liên k•t ôi? Liên k•t ba? Liên k•t b•n?
What the key actors important in extension in your household /your community? Please tell me about the linkages
between you/your family with these key actors in AKIS?
9. Nhung nhan to nao anh huong den moi quan he giua ong/ba/ gia dinh va cac thanh phan chinh do
trong khuyen nong/san xuat?
What the factors affecting on relationship between you and these key actors
10. Vai tro cua cac thanh phan chinh trong khuyen nong/san xuat nhu the nao?
What are the roles of key actors in extension/ production?
11. Nhung nhan to nao anh huong den kha nang dong gop cua khuyen nong trong hoat dong khuyen
nong/san xuat?
What factors affecting on contribution of extension services in extension activities/production?
How about your/your household demands/needs?

Information Current situation How information is offered Coverage

Demands/needs
Planning in
production
Financial
management

Credit sources
Input sources
Market
consumption
sources
Market information:
trend, demand,
criteria
Ecological and
environmental
information related
to production
High technologies:
new varieties,
Organization on
production

Linkage with
research and
education in the
field
Others

Appendix 1.2: The checklist for interview (extensionist, researchers, educators, management officers)
1. Please tell me about relationship between your office and others in generation, diffusion and utilization agricultural
knowledge information for production. How about these linkages?
It mean the relationship among you in your office together, the linkages between you(your staff) with farmer? Between you
(your staff, your office) with researchers? Between you (your staff, your office) with educators and others?

67
2. Please tell me about effect of these linkages in your work and others?
3. What kinds of key factors influence AKIS linkages? Please tell me detail
4. Do you know that how about research and education on agricultural at commune/district/upland level?

Appendix 2. The checklist for discussions

Appendix 2.1 Checklist for general group discussions
What kind of agricultural production in your village?
What main kind of these? And why? Please rank priority of them
Please remember events in main agricultural productions related to extension and your production?
How about strengthen, weakness (internality) in your village related to extension and agricultural production? And how
about opportunities and threaten (externality) related to agricultural production and extension
Appendix 2.2. Checklist for four types of production: tea, rice, forestry and livestock
Which actors involve in tea production (rice or forestry or livestock production). What else? (mapping)
What main actors related to tea production (rice or forestry or livestock). Why they are major actors? (pair matrix, Venn
diagram)
How about the linkages between/among main actors together in tea production (rice or forestry or livestock). And why that?
Which factors affecting on each linkage? Which main factors?
How about effectiveness of these linkages on tea production (rice or forestry or livestock)

Appendix 3: Pair matrix of agricultural production

Forestry Tea Horti.. Poultry Cattle Maize Bean Cassava Rice

Forestry F F F F M F F R

Tea T P Catt. T T T R

Horticulture P Catt. H H H R

Livestock: P M P P R
Poultry and Cattle
Husbandry: Catt. Catt. Catt. R
Cattle

Maize B M R

Bean B R

Cassava R

Rice

Appendix 4: Kinds of agricultural knowledge and information

68
Kind of Agricultural Knowledge and Information The main sources Regularly The main sources The main
n=39 (30+9) sometimes Rarely
n=39 n=39

General Awareness (quality and nutriment of Agr.product, TV, Radio: 9 TV, Radio: 20 TV, Radi
criteria of Agr. Product, value of agr. Product, etc.)

Technology (the ways of production, IPM, guidance production, Head of village: 15 Head of village: 24
production orientation, etc.) Extension staff (district,
commune): 10
Neighbors: 14
TV, Radio: 16

Market Information (price, source of consumption, contract for District market: 20 Lack of s
trade, trend, product criteria, demand etc.) Neighbors: 20 product
TV, Radio: 23 kinds of p

Finance In. (source of finance; financial management: planning, Lack of

saving, investment, etc.;) managem
productio

Agr. Policy In. (decrees, law, etc.) Head of village: 39 TV, radio: 14
Meetings: village, Other Foresters: 32
Unions: 39

Indigenous K. (slopping land cultivation, environment Lack of

protection, processing, preserver, local varieties, etc.) knowledg
hybrid r
occurred)

Others (weather, epidemic, seasonal work, etc.) TV, Radio: 37 Head of village: 9
Head of village: 30 Neighbor: 13
Others: 15

Sources: Interview and group discussion, 2007

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 Appendix 6: Summary information on key actors within AKIS
Key actors Actors involving in linkages Information content Approaches/ practices Effectiveness Problems/ Difficulties
with key actor
Head of Farmers - Policy, plan on agriculture - Direct guidance in production Success on rice production -Low education level
village Extension at commune and -Few technology, - Meetings in short term -Low salary
district level technique on hybrid rice - Field visits. Success on farmer's -Limited skills, capacity on
production, livestock, - Feedback for extension staff belief/trust working methods
- Managing contract (neighbor Success on tea production
village) in neighbor village
Media: Specialist Communicating of variety - some one ways, some two way Poor means: non internet, journal,
Radio, TV, Farmers information: technique, - Communicating by game, books,
cultural post market, awareness, weather, stories, guidance
office policy, etc.
Formal Researcher/educators/ - Technique on hybrid rice, -Training one way Effectively in rice Few staff- capacity and
Extension Farmer/input supplier for livestock production -Performing models production for food responsibility of staff
services food security - Policy on agriculture - Base on head of village in security. Funding: for working, for staff
direct guidance on production Not success in livestock and Mechanism: plan, state
- Field visits (few) absent in tea production management, policy
Less success on forestry

Forestry Researchers/educators/ - Policy on forestry - Dissemination/ education on Enhancing local people -Limited collaboration with all
management Farmers/ pupils/Visitors/ TV protection forest protection awareness on forest actors from dissemination to
offices -Open ecology tourism but not protection but few success practices
involving farmers on practice - Mechanism: funding, plan, state
management
Tea tea research Institutes - training/ field visit - Meeting Open large tea area in - Less of research on T in this site
Enterprise /universities - support on variety, - Training neighbor village. Spread of - Lack of technical/extension staff
-Farmers in neighbor village fertilizer - Farmers visits this extension is open for in this site
-Village head - consumption market others - Lack of action plans for safety
-bank, tea Association , and high quality on T production
PuMat's -researchers, officer, farmers, - Support variety for Training one way and two way Success on forestry -short term
project extension, experts producers, salary for for farmer and extension staff Livestock - Maintaining project' s
(project's project's extensionist Unsustainable in forestry extensionist after the end of
extension) and livestock project
- reorganization and maintaining it
Sources: group discussion with farmers and interviews, 2007

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Appendix 7: Timeline related to agricultural production

1995 Beginning of Hybrid rice cultivation

1996 Establishing on PuMat's Natural Resever

1997 Beginning of PuMat's Project

2000 Irrigation for rice cultivation

2001 Establishing on PuMatNational Park

2002 Support of PuMat's project on livestock

2004 The end of PuMat's project

2006 Luxambua's Project: training for village officers

Sources: group discussion with farmers, 2007

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Appendix 8: The summary of research/education situation in Con Cuong district
Question: Do you know that how about research and education on agricultural at commune/district/upland level?
Interviewees Kind of research/ sources/ collaboration
(linkage)
Mr. H -Elementary researches are mainly, lack of applied
(De. Of researches in Agriculture
District -Sometime there are development researches or
Agri. ) projects by fund of foreigner, NGO or national
programs such as Poverty reduction for DanLai
ethnic group, PuMat project, Luxambua Project,
135 program
- The sources of research consist of internal and
external state such as Universities, Institutes, GO
and NGO, etc.
Mr. T We usual experiment on new technology before
(District diffusion broad. Very few researcher or research
extension institutions/organizations link with us for research
station) or application technology at local area. But we are
usually collaborate with research outsider as Crop
Protection Institute, National Agricultural
Technology and science Institute, Vegetable and
Fruits Institute, etc. to improved knowledge and
information for our task.
The district/ institutions is not in contact with
education on agriculture in reeducation for
graduated engineers/ local staff
MSc. N Mainly basic studies in core zone such as biology,
MSc. L forestry science. The research institutions or
(PuMat organizations such as Agricultural Uni., Forestry
national Uni., Ecology and creature resources Institute,
park) Foreign researchers of Japaness, EU, WWF,
WCN, etc.
There are many studies in buffer zone of the park
as development researches, social studies or
projects related to agriculture and rural. The main
sources of researches in buffer zone come from
NGO or National program. It is very few studies
from home Univesities or Institutes.
We was only associate with institutions/private
persons in the field of core zone ( with basic
studies) and other educated, communicated
organizations.
Lack of the close co-ordination with foresters,
communities, leaders and other in implementation
process.
Application and efficiency
- Most of research in Agriculture or biology which
was not feedback, less application in this site, it can
be useful for science for researchers but not for local
people. Participation of farmers in agricultural
science researches is few except rural development
researches or project/programs .
- Development researches or projects has a great
significance for this site such as PuMat project of EU,
Luxambua project for West Nghe An's districts,
research on poverty reduction for Danlai ethnic
group of Vinh University, study of HAU1 on
resource management in the Ca river basin: policy,
people and poverty, etc. Base on value of PuMat
national park and recently the UNESCO recognized
World biophere reservation area of the West Nghe
An province, so there are many studies or projects
focus on this area, this is advantage of our local
people.
- Lack of agricultural research on this district/upland
area. However, the research on slope land ' s
cultivation and extension's experiment occasionally
focus to.
- Limited agricultural education or relationship
between this district or upland area with education.
Some college/universities program is old and not
suitable for new situation when VietNam join to
WTO, such as curriculum focus mainly on specialist
technical agriculture, lack of interdisciplinary or
integrated speciality. The graduated engineers in state
management, extension services is limited access with
new knowledge/skills/approaches in their job/work.
For example, participatory methods approach,
market approach in extension is not support for
extensionist except some projects such as
PuMat'project, Luxambua's project
Very few research apply in the fact for agriculture or
rural. But about the researches in core zone of
PuMat national park is usually high value in science
and education (graduated theses at BSc, MSc, PhD),
some information/knowledge from this to used
diffusion for the local people. It is also base on this to
see great potential value of PuMat national park for
UNESCO's recognization of biosphere reservation
area. And this issue leads to change many aspects of
economic, education, culture and society in this area
for natural conservation.
In the fact, lack of effectively education on
protection of natural resources combining theory and
practice. We are only focus on enhancing local
people awareness through Teaching pupil or
disseminating in community through paper, poster,
meeting, local radio.
- Education on forestry is quite good when they
apply most of new approaches in education such as
social forestry, community forestry, etc.
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 Dr. D - The researches in upland area/this district focus
Lecturer of on development research/program/project and
Vinh few basic researches, slope land cultivation. We
University used commonly participatory research methods in
these researches. However, we lack of research
on agricultural techniques in upland area cause of
funding/ geography and some disadvantages
Sources: Interview, 2007
- Base on new approaches such as participatory
action research, participatory methods had used in
working process. Thus, most of development
researches / programs /projects in upland area is
rather success with participation of farmers in
participatory methods, focus on farmer demand,
farmer voice, etc.
- In education, we oriented training/education for
suitable to labor market demand, association between
theory and practice, between agricultural education
and the fact production. However, sometimes, we
lack of connection in training curriculum such as less
of training/educating on rural development, specialist
extension, interdisciplinary professional, social
science combine with technical science.
Education/training is still not suitable for labor
market demands such as much more graduate on
agricultural technique, graduate lack of
interdisciplinary approach, community working
skills, group working capacity, systematic approach,
etc. and feedback from graduate to education actors

Appendix 9: The interview on the AKIS linkages

Question: how about the linkages between and among you/your office and other actor in the AKIS?
- Dr. D/educator: The linkages among education office together, or among staff in each of education Univerities/College
is usually formally such as research team, education council, research council, research working group and some cases is
informally. This type of linkages and the linkage between education and research are quite good and effectively with
participatory methods used, two-way. However, the linkages between education campus/Univesities/colleges on agriculture
with extension or with farmers in remote area are not strong. Because of limited funding for this work and thought or
attitude of educators as well as difficulty of remote area. Although in recently, the trend was been change slow, many
researches on development or project or program of educators/researchers in agriculture and rural development was be
implemented with participation of farmers and extension. Some universities such as HaNoi agricultural University, CanTho
University, Hue University of Agricultural Forestry, Vinh Universtity and so on having department of application on
agricultural science and rural development as extension (Centre Rural Development, Environmental and rural development
Central, …). The linkages between and among actors in the AKIS to be under market economic rule. When Vietnam join to
WTO, the change will be occur drastic to suitable globalization.
- Dr. H/researcher: The research institutes are usually link with education campus or other research institutes. Some
researches in agriculture and rural development need to be relation with farmer and others closely. But in the fact, research
sites on lowland are more than upland areas cause of reason chain such as funding, difficulties of remote area, and others. In
my opinion, the linkages following lengthwise (in similar research fields, in research institutes or specialists together through
research councils, working group, etc.) are stronger than the linkages following widthwise (the linkage between research-
education-farmers and others). And the linkages in extension and production are weaker than in research or education
because larger areas in production and narrow areas in research /education as well as other capitals (mean, human, finance,
etc.)
- Mr. T/extensionist: In my point of view, extension services usually have strong linkages one way with others and weak
linkage two way with actors within AKIS. The reasons are traditional thought or attitude of Vietnamese in one-way approach
in subsidized centralized economy. When Vietnam "doimoi" conversion to market economy, this mechanism lead to change
in approaches, thought, ideology and actions. The loose linkages between extension and other actors in AKIS to be under this
economic rule. In addition, the funding and planning for this working still not yet includes in our extension plan due to
complexity and difficulties in participatory extension methods (these methods requires time, funding and quantity/quality of
extension staff)
Sources: Interview, 2007

Appendix 10: The interview on difficulties on agricultural production of local farmers

Question: What does the difficulties or challenges in your production process?
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Mss. A. We meet many challenges and difficulties in agricultural production such as epidemic, natural calamity, consumption
market, investment on input, and financial management. But the difficulties in my family are input investment and
consumption market on forest production and livestock production. Although we received technology on these production
through training course of district extension station, but these technologies was non adopted by us cause of above reason. For
instance, the program on “training technology for farmer who under 50 year old “ is very wasteful and nearly ineffective. I
and some neighbors attended this training course (get five thousand and few knowledge) but we almost non adopted in this
fact cause of we forget information from this course and lack of many capital to adoption this technology. This situation is
similar with other farmer who attended this program.
Mr. D. We are lack of access on finance for our production such as credit sources, financial management. We also are limit
on effectively production organizing for market such as big product amount, high quality, and equal products which meet
market demand. The extension services were not supplied information on market, financial management and organizing
production for local farmers. They mainly supported merely technology on agricultural production for us. Meanwhile, the
local farmers usually were non creative, dynamic and low knowledge, low education and others. If some progressive farmers
could be effective production for market on small scale that is not effect cause small quantity of product for market affecting
consumption. In my opinion, we should synergy all of small farmers scale together through establishing a production
association/group for better production. For example, establishing association of forest production or tea production which
are easier to invest and to organize for each of production .

Appendix 11: The interview on factors affecting the AKIS linkages

Ms. N (farmers): I think that the attitude/knowledge/custom/ culture of farmers in contact/ relationship are narrow and
not open. Although many lesson learnt from the past (in some specific cases: the War, famine) on national solidarity, but
creativeness and initiative of farmers on this issuse are limited. However, some progressive farmers thought the important role
of association, co-ordination in agricultural production. So they had contact with many outsiders to develop their production.
Ms. P (researchers): In my opinion, the main factors affecting the AKIS linkages mainly are attitude/ thinking/ideology
and habits of actors; and the mechanism of economic/policy/. Planning, plan content, policy making, policy content; process
of their implementation and evaluation are effective or not that will be affecting on quality of the AKIS linkages.
Mr. H (educators): The mechanism of each of economy types such as subsidied economy, agricultural economy, industry
economy, knowledge economy or market economy will be affect on the AKIS linkages. And mechanism in working also will
be affect on the AKIS linkage from planning to implementation, evaluation.

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