PART ONE

1.1 CARIS PROCESSING
1.2 CARIS INPUT SHEET
1.3 CARIS CODING CONVENTIONS
1.4 INDEXING OF RESEARCH PROJECTS
1.5 DEFINITIONS

1.1 CARIS PROCESSING

1.1.1 The CARIS Network

CARIS is an information gathering, processing and dissemination system on Current Agricultural Research Projects in developing countries. CARIS consists of a decentralized network of participating Centres at National or Regional level; the development and coordination of CARIS activities worldwide is undertaken by the CARIS Coordinating Centre in Rome.

Each National or Regional CARIS Centre is responsible for collecting, processing and disseminating information on current agricultural research projects within its geographic area of responsibility. This may be achieved either entirely manually or by the use of computer processing according to the facilities available to each CARIS Centre and the quantity of information to be processed.

The CARIS Coordinating Centre has developed sets of rules, guidelines and recommendations to ensure that, wherever information on current agricultural research is gathered and processed, it will conform to a minimum set of standards to facilitate the worldwide exchange of the information.

The CARIS rules, guidelines and recommendations have been devised in such a way as to allow considerable freedom in the methods adopted by each CARIS Centre to process the information, according to the facilities available and local needs and priorities, but still permitting easy exchange of information throughout the network.

The basis for this common minimum set of standards for CARIS operations worldwide is the CARIS Input Sheet (see Section 1.2(1)). This provides for a basic set of information for each project to be collected and recorded according to a standard set of rules. The purpose of these Guidelines is to define this minimum set of data and to detail the rules to record the information in a standard format for processing by CARIS Centres.

The information thus gathered may then be processed either manually or by computerized methods.

Each participating CARIS Centre agrees to conform to these basic rules for compiling agricultural research project data and undertakes to compile inventories of research in its geographic area of responsibility. The data thus generated is freely exchanged with other CARIS Centres in the CARIS Network thereby improving substantially the awareness of the global effort in agricultural research, especially that undertaken in developing countries.

1.1.2 Computer Processing

The CARIS processing system has been designed to facilitate the processing of research project data using the ISIS family of software packages. The ISIS software is also used to process documentary information.

By using one of the ISIS packages, CARIS Centres with access to computing facilities may produce their own directories of current agricultural research, including indexes, from the data collected and entered onto the CARIS Input Sheets.

This data can also be stored on a computer data base to provide up-to-date information on research projects on enquiry.

In addition, the format of the data recorded using the CARIS Input Sheet allows data from a National or Regional CARIS data base to be converted to an exchange format corresponding to the UNISIST Reference Manual for Machine-readable Descriptions of Research Projects and Institutions (Ref. 2) on magnetic tape, conforming to ISO Standard 2709 (Ref. 3). This may be exchanged with other Regional or National CARIS Centres and sent to the CARIS Coordinating Centre for merging with other information on magnetic tape to provide an international data base of current agricultural research information.

Although the CARIS processing methodology and the CARIS Input Sheet have been developed particularly for use with the ISIS family of software packages, the formatting of the data may be altered to accommodate other documentary information processing packages providing that the content of the information collected and processed conforms to the CARIS Guidelines.

1.1.3 Manual Processing

At the present time, many National or Regional CARIS Centres may not yet have access to computer facilities and appropriate software. This situation need not inhibit such Centres from collecting, processing and disseminating information on agricultural research and participating fully in the CARIS Network.

The information Chat has been collected and correctly transcribed onto CARIS Input Sheets can be used to produce directories of current agricultural research by manual methods. Suggested procedures on how to do this are given in the Handbook for CARIS Centres (Ref. 1).

Thus CARIS Centres, whatever their level of available resources, are able to participate fully in the CARIS Network and can exchange information on current agricultural research projects with other Centres in the CARIS Network and the CARIS Coordinating Centre.

Because the essential information is the same whether it is to be processed manually or by computer and is entered and coded using the same rules for both methods of processing, individual CARIS Centres can progress to computer processing as their circumstances permit without a fundamental change in their data recording and general methodology of data collection.

1.2 CARIS INPUT SHEET

1.2.1 General Concept

The basic Input Sheet (see Figure 1.2) has been developed to act as a carrier of a minimum set of standardized information about each research project consistent with providing sufficient information to identify the project and comprehend the essential purpose of the research project. It contains all the information specified as essential by the UNISIST Reference Manual for Machine-readable Descriptions of Research Projects and Institutions (Ref. 2).

According to the information collected by the CARIS Centre, the data will be transcribed onto the input sheet using the CARIS Guidelines. One CARIS Input Sheet contains the information relating to one research project.

The data entered onto the input sheet may refer either to information concerning a new, or previously unrecorded research project, or to supplementary information about a research project already recorded by the Centre.

The CARIS Input Sheet is designed in such a way that the basic information required for description of a research project can be entered on one side. The reverse side of the input sheet may be used to record optional additional information as described in Part Four of these Guidelines. The design of the standard CARIS Input Sheet may be altered to accommodate additional fields, providing that the basic set of information is retained and that the data is recorded correctly and in accordance with the CARIS Guidelines.

Each item of information on the input sheet consists of two parts:

- the tag or field number which identifies the field and the information contained in it
- the field which contains the data to be recorded and processed.

- the header containing coded information
- the body containing descriptive information.

The header contains a number of fields containing data coded according to a number of conventions (see "1.3 CARIS CODING CONVENTIONS" et seq.)

The header contains the following coded information:

- CARIS Centre compiling the Input Sheet
- year of compilation
- serial number of the record
- country where the research is carried out
- institution where the research is carried out
- project serial number
- starting date of project
- duration of project
- termination date of the project when completed
- language(s) of the input sheet
- date the information was collected

Figure 1.2

1.2.3 Body

The body contains a number of variable length fields (up to a precribed maximum length for each field) containing descriptive information.

The body contains fields for the following information:

- Title (exchange language, English, French or Spanish)
- Objectives (exchange language, English, French or Spanish)
- Title (other language)
- Objectives (other language)
- Notes of publications
- AGRIS/CARIS categorization
- AGROVOC descriptors
- Proposed descriptors
- Local indexing
- Institution name
- Institution address
- Project leader
- Subject speciality of project leader
- Co-worker(s)
- Subject specialities of co-workers
- Notes

1.2.4 Additional information

The basic CARIS Input Sheet has been developed in such a way that the example of the Input Sheet, shown on page 1.2(2), contains the essential information required to describe an agricultural research project. These data elements are also specified as the data set required for international exchange or research project descriptions within CARIS.

In addition to the basic, essential, set of data elements, CARIS has also specified a series of optional data elements which may be used by individual CARIS Centres to record additional information about agricultural research projects for their own or their countries needs. Because these elements are not mandatory for international exchange, such information may be kept confidential if required.

The optional data for which specifications have been drawn up by CARIS are:

- Programme of which the project is a part
- Related research projects
- Project or contract number
- Cooperating institutions
- Annual budget
- Budget breakdown
- Financial support
- Degree and awarding institution
- Advisory component
- Details of staffing
- Specialized equipment and services
- Methodology and results
- Affiliations of researchers
- Unspecified information

1.2.5 Language of Input Sheet

The decentralized nature of the CARIS Network means that individual National and Regional CARIS Centres are able to choose a language which is convenient for them to use. However, because CARIS is international the language adopted by each Centre should be one of the exchange languages used by CARIS. These are English, French and Spanish.

The exchange language adopted by each centre is pre-coded in field 00/G-07 and designs for the standard CARIS Input Sheet are available in English, French and Spanish.

In addition to the exchange language, the title and objectives may be recorded in another language. In this case the code for this language should be entered in field 00/H-08.

1.2.6 General rules for compiling input sheets

Note that the input sheet is divided by a thick horizontal line near the top of the sheet, which separates the header from the body.

(a) Input sheet header

This zone is important for subsequent processing of the data. It should be completed first using black ink or ball point, following the handwriting rules given in paragraph (c) below.

(b) Input sheet body

The five sections of the worksheet covering fields 10 to 65 should preferably be typed, with the exception of fields 20, 21 and 22.

(c) Handwriting rules

The upper part of the input sheet (tags 01 to 09) as well as fields 20, 21 and 22 must be filled in by hand in black ink. The following conventions for writing by hand must be observed:

NUMBER ONE
NUMBER SEVEN
CAPITAL LETTER I
CAPITAL LETTER 0

(d) Punctuation

Fields 10 to 65, with the exception of fields 20, 21 and 22 should preferably be typed, without punctuation at the end of the data. For abbreviations within the data a full-stop (.) should be used. Otherwise the punctuation should follow the guidelines given for each field.

(e) Field lengths

The total length of the data, including spaces and punctuation, in variable fields should not exceed the number of characters specified.

1.3 CARIS CODING CONVENTIONS

1.3.1 General comment

This section describes the philosophy of certain code conventions used by CARIS which are not the subject of International Standards or are used with a particular interpretation by CARIS.

1.3.2 Input origin

In the header, two fields incorporate country codes to signify the origin of the input sheet; these are fields 00/A-01 (Local Record Number) and 00/C-03 (Project Code).

The country codes entered in these fields will always be the code of the country of the National CARIS Centre which is generating the information whether or not that National CARIS Centre is also a constituent member of a Regional CARIS Centre. This is not the same arrangement that is used in AGRIS where Regional AGRIS Centres are responsible for submitting input sheets to AGRIS.

International bodies may have their projects entered by the country in which they are located, in which case the country code of the National CARIS Centre will be used, or they may be entered in the CARIS network independently, in which case they will have an international code assigned by the CARIS Coordinating Centre.

The country codes used by CARIS are the same as those used by AGRIS and which are based on ISO Standard 3166-1974 and listed in: 'AGRIS: Terminology for codes for countries and international institutions' (Ref. 4).

1.3.3 Numbering

Each project description compiled by a National Centre is assigned a serial number which is unique within that CARIS Centre. This number is recorded in positions 5-9 of the Local Record Number (LRN), field 00/A-01. This number remains allocated to that project description irrespective of any subsequent amendments to the description.

The serial number may be used as an identification number in directories, with the addition of the country code if required in Regional CARIS Directories. Alternatively an identification number may be assigned to the description in a directory if the order of listing the descriptions is different from the sequence of serial numbers allocated to the LRN.

Care must be exercised to avoid the same serial number being assigned to different descriptions.

1.3.4 Institution Code

Embedded with the project code, field 00/C-03, is a six-digit element which is to be used to identify institutions within each country. The assignment of specific codes to individual institutions within each country is the responsibility of each National CARIS Centre in consultation with the appropriate bodies in the country.

The institution code may be assigned in such a way as to reflect the relative importance and hierarchical structure of each institution. If the code is used to reflect institutional structure, it is recommended chat the six digits be split into three groups of two digits to display three levels of hierarchy in each institution as follows:

digits 1-2: highest level (ministry, university, research council, etc.)
digits 3-4: intermediate level (research institute, university faculty, etc.)
digits 5-6: lowest level (laboratory, department, experiment stations, etc.)

The following is an example of institution codes assigned by the Philippines National CARIS Centre:

04	Ministry of Agriculture
0405	Bureau of Animal Industry (BAI)
040501	BAI Alabang Poultry Station
040502	BAI Baguio Stock Farm
............
040546	BAI Dumarao Stock Farm
10	Ministry of Natural Resources
1005	Forest Research Institute (FORI)
100501	FORI Central Station
100502	FORI Ballesteros Research Station
.........
100538	FORI Bulalacao Research Station

1.3.5 Project serial number

The project serial number consists of the final four digits of the project code and is a number identifying each individual research project. It may be possible to use a project number assigned by the institution undertaking the research project or the number may be assigned by the National CARIS Centre. The project serial number identifies each project uniquely within each institution.

1.3.6 Project code

The complete project code (field 00/C-03) may be used in a number of different ways according to the methods used by individual centres - see the Handbook for CARIS Centres -Manual Procedures (ref. 1).

For example, the institution code may be used to determine the order of entries by institution in CARIS directories, or as a link between description of research projects and a full description of the research institution undertaking the research.

1.4 INDEXING OF RESEARCH PROJECTS

1.4.1 Methods used by CARIS

The scheme in use in the CARIS system for the classification and indexing of the research project is a two-tiered one, allowing users to locate information on research projects by subject classification and by descriptors.

One part is the AGRIS/CARIS Categorization Scheme (Ref. 5), entered in fields 20, 21 and 22 which allows the information to be placed in one or more categories according to the general subject area(s) of each project.

The second part is the use of descriptors selected from the AGROVOC Multilingual Thesaurus* (Ref. 6) in field 25, which allows the precise identification of the commodities, crops, animals, processes, pests, agents and geographic areas involved in each project.

* The AGROVOC Multilingual Thesaurus has been prepared jointly by FAO and CEC.

1.4.2 Principle and practice of indexing

The following paragraphs outline the general approach to the indexing of research projects using the AGRIS/CARIS Categorization Scheme (Ref. 5) and the AGROVOC Multilingual Thesaurus* (Ref. 6). For greater detail the reader should consult "AGRIS: Guide to Indexing" (Ref. 7).

* The AGROVOC Multilingual Thesaurus has been prepared jointly by FAO and CEC.

Next, using the information already present on the input sheet plus any additional comments, data, etc. on the data collection sheet (see Handbook for CARIS Centres, Ref. 1), the indexer should ensure that he or she completely and correctly understands the purpose, scope and subject(s) of the research project. The most important data required to achieve this understanding will come primarily from the title and objectives but additional understanding may come from personal knowledge about the institution or research workers carrying out the project, any programme of which the project is a part, associated projects and publications relating to the project.

Once all the information has been gathered and the indexer fully understands the scope and subject of the research project, he/she must then identify the concepts which are embodied in the research project description. For any one project there will be several concepts.

For example, a research project has the following title:

'Establishment studies on Leucaena leucocephala in Southern Sudan'

'To determine the optimum seedbed conditions for establishing Leucaena on sandy and clay loam soils, on cleared and uncleared ground and with 3 levels of cultivation'.

Leucaena leucocephala
Establishment of plants
Seedbed conditions
Southern Sudan
Sandy soils
Clay loam soils
Land clearing
Cultivation methods

1.4.3 AGRIS/CARIS Categorization Scheme

The AGRIS/CARIS Categorization Scheme (Ref. 5) is used in fields 20, 21 and 22. It lists subjects in agriculture, animal husbandry, forestry, fisheries, food, nutrition and rural development in major groupings according to broad areas of the subject. Within each broad grouping, the concepts are arranged hierarchically according to specificity. Each category is given a code representing its hierarchical position.

Thus under the major grouping:

P00 - NATURAL RESOURCES

there is, inter alia:

P30 - Soil Science and management

which in turn contains, inter alia:

P32 - Soil classification and genesis

Scope notes are provided for each of the categories in the Scheme. Once a concept has been selected, the scope notes for that category should be checked to ensure that it corresponds with the concept identified in the research project description.

The AGRIS/CARIS Categorization Scheme also defines the scope of the subjects covered by CARIS. If no appropriate category can be identified for a particular research project description, the research project is outside the scope of CARIS and should not be included.

In the above example, the major subject areas may be identified as F07 - Soil preparation (since the objectives state 'To determine optimum seedbed conditions...) and also more generally F01 - Plant cultivation. The most important is F07 and this is the categorization code which should be entered as the primary category in field 20.

Additional (secondary) categories may be entered in fields 21 and 22. Thus in the above example, F01 would be entered in field 21.

The assignment of categories should be as specific as possible providing each category includes the whole of the concept identified. A maximum of three categories may be assigned to each research project.

1.4.4 AGROVOC Descriptors

1.4.4.1 The AGROVOC Multilingual Thesaurus

The AGRIS/CARIS system of indexing uses a controlled vocabulary which is contained in the AGROVOC Multilingual Thesaurus* (Ref. 6). Thus the only indexing terms (descriptors) that may be used in CARIS Input Sheets for international exchange purposes are those that are listed in AGROVOC. They are entered in field 25 on the CARIS Input Sheet.

* The AGROVOC Multilingual Thesaurus has been prepared jointly by FAO and CEC.

In the AGROVOC listing, each descriptor is displayed in alphabetic order. Each descriptor is shown at the top of a word-block which shows the relationship between the descriptor and other AGROVOC descriptors and non-preferred synonyms.

Example (from AGROVOC, English version)

CHROMOSOMES
uf			autosomes
uf			heterochromosomes
uf			sex chromosomes
BT1			nucleus
	BT2		cell structure
NT1			chromosome number
	NT2		aneuploids
	NT2		diploids
	NT2		haploids
	NT2		polyploids
		NT3	hexaploids
		NT3	tetraploids
		NT3	triploids
NT1			genomes
NT1			loci
rt			chromosome translocation
rt			cytogenetics
rt			dna
rt			eucaryotic cells
rt			genes
rt			genetic maps
rt			nucleolus
rt			rna
rt			sex
Fr			chromosome
Es			cromosomas

The descriptor in question is CHROMOSOMES and the relationships of this descriptor with other descriptors are shown by the following codes:

uf = Use For (a non-preferred synonym)
BT = Broader Term i.e. a more general descriptor
NT = Narrower Term i.e. a more specific descriptor
rt = Related Term i.e. an associated descriptor

The numbers suffixed to BT and Nt show the number of levels away from the descriptor at the top of the word-block.

- autosomes

USE CHROMOSOMES

1.4.4.2 Selection of descriptors

From the concepts identified in the first stage of indexing the specific commodities, processes, agents, and geographic areas should be isolated.

The individual, apparent terms should be written down and then each one checked in AGROVOC. Some chosen terms will be listed as descriptors and may be used as such. In other cases, the chosen term will be listed as a non-preferred terms; in this case the term listed after the USE posting should be used.

Some terms may not be present in the exact form immediately thought of, so alternatives should be explored, e.g. Phytoecology is not present but Plant ecology is listed.

The word-block for each descriptor should be examined to see what broader, narrower or related terms exist, and whether any of these terms provide a better description. In general, the most specific descriptor for any concept is the one to be selected. Broader, more general, terms should only be selected if a large number of specific items are dealt with or if the treatment of the item is at a general or non-specific level.

For the example quoted above, possible descriptors could be identified as follows:

Leucaena leucocephala
Establishment of plants
Seedbed conditions
Southern Sudan
Sandy soils
Clay loam soils
Land clearing

AGROVOC descriptors are also used in CARIS for describing the subject specialization of a research worker (see "41. RESEARCH WORKERS: LEADER-SPECIALITY" and "43; 45; 47; 49 RESEARCH WORKERS: CO-WORKERS-SPECIALITY"). The appropriate AGROVOC descriptor must be selected according to the subject discipline of the research worker not the generic name for persons undertaking that research. For example, a phycoecologist would be assigned the AGROVOC descriptor 'Plant ecology'.

1.4.4.3 Order of descriptors

The order in which the descriptors are entered on the input sheet is important since the order will determine the relationship between the descriptors and for the generation of multi-level indexes (see Handbook for CARIS Centres, Ref. 1). In general the order should be as follows:

Commodities (plants, animals, foods, etc.)
Processes (what is done to the commodity)
Agents (what is used)
Geographic area (country, physiographic feature, etc.).

Furthermore, commodities + process or processes + agents relating to the same concept should not be separated BO some repetition of the order is permissible.

Referring back to the example used above, the logical order for the descriptors would be:

/LEUCAENA/ /PLANT ESTABLISHMENT/ /SEEDBED PREPARATION/ /CLEARING/ /SANDY SOILS/ /CLAY SOILS/ /SUDAN/

Throughout these Guidelines, AGROVOC descriptors are shown as being entered on the input sheet in capital letters between obliques; this would be applicable for CARIS Centres using ISIS software. For manual systems the same system of transcription could also be used. For CARIS Centres using other types of software, the transcription actually used will have to reflect the requirements of the particular software being used.

Similarly, because of the variety of softwares which may be used, the rules for transcribing AGROVOC descriptors are much less detailed for CARIS than for AGRIS. Nevertheless, the basic principles for good indexing and for using AGROVOC are the same.

Because of the continuing development of agricultural research, it may be necessary to propose new descriptors for inclusion in AGROVOC. For guidance on this, the indexer is referred to the 'AGRIS Guide to Indexing' (ref. 7).

For CARIS, any proposed descriptors are entered in field 26. A photocopy of the entire input sheet together with the reasons for the inclusion of the proposed descriptor in AGROVOC should be sent to the CARIS Coordinating Centre who will liaise with the AGROVOC maintenance team Co decide on whether the descriptor should be included in the thesaurus.

On the basic CARIS Input Sheet field 27 is available to accommodate local indexing requirements of National or Regional CARIS Centres. The indexing in this field will not be exchanged internationally and no detailed rules for selection and transcription of data or descriptors in this field may be given. It is anticipated that most use will be for local geographic names and local names of plants, animals and products. In transcription, to facilitate generation of geographic indexes, geographic terms should either be in a separate subfield or at the beginning of the field preceding a separator.

1.5 DEFINITIONS

1.5.1 Research

For CARIS, agricultural research Bay be defined as:

investigative activities aimed at establishing new knowledge within the field of agriculture (defined in 1.5.4).

Since CARIS aims to assist national agricultural research programmes by providing better data on which to plan and since the rapid development of agricultural production has high priority, CARIS Centres should plan to collect data on wide range of activities that might be considered research in agriculture rather than using the term in a restricted academic sense.

Thus it is anticipated that research activities suitable for inclusion in CARIS would include: basic research, e.g. biochemistry; ecological studies and surveys; testing e.g. pesticides, tools; breeding and selection programmes; development of husbandry techniques; economic and maketing surveys; planning of institutional structures; etc.

1.5.2 Research project

A research project for the purpose of CARIS may be defined as:

a planned research activity or set of research activities with clear objectives, realizable within a reasonable length of time and suitable for reporting as a separate publication or report.*

* Adapted from the Instruction Manual for the Inventory of Canadian Agricultural Research.

This definition recognizes the variability in the concept of what constitutes a research project between different countries. It is the responsibility of individual CARIS Centres to adopt a more precise definition according to the administration and management of agricultural research in the area of their responsibility.

A research project will exist when the following parameters have been assigned to it:

- objectives
- duration
- supervisory responsibility

- a budget
- one or more research workers
- an institutional location
- facilities (equipment, experimental farm, animals, etc.).

1.5.3 Research worker

A research worker for the purposes of CARIS may be defined as:

a scientifically or technically qualified person undertaking, or directing, research activity at an intellectual level as an integral component of the research project.

Technicians performing specific functions, e.g. operating equipment, tending crops or animals, will not normally be considered as research workers unless they contribute to the intellectual development of the project.

Auxiliary personnel such as typists, clerks and administrative staff are not considered research workers.

Students and others who are working towards an academic or professional qualification and taking an intellectually active part in the research project may be considered research workers.

Highly qualified personnel who may be directing or administering the research project, but having no intellectually active role in the project, are not considered research workers. *

* However, if the national/regional CARIS centre deems it necessary, this high Level personnel may be Listed in the preface or in a special annex of its CARIS directoy.

The subject scope of CARIS encompasses agriculture, animal husbandry, forestry, fisheries, food, nutrition and rural development.

Any research project falling within the scope of the AGRIS/CARIS Categorization should be included in CARIS.