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The Evolution of the System of Rice Intensification as a Socio-technical Phenomenon: A Report to the Bill & Melinda Gates Foundation February 2011 Wageningen University and Research Centre Technology and Agrarian Development Group Development Economics Group This report was written by Dr. Ezra Berkhout and Dr. Dominic Glover with the guidance of Prof. Herman van Keulen, Dr. Rob Schipper and Dr. Harro Maat. Contact information: Ezra Berkhout, Development Economics Group, Dominic Glover, Technology and Agrarian Development Group, Social Sciences Department Wageningen University and Research Centre PO Box 8130 6700 EW Wageningen The Netherlands Email addresses: ezra.berkhout <at> wur.nl dominic.glover <at> wur.nl Suggested citation: Berkhout, E. and Glover, D. (2011) The Evolution of the System of Rice Intensification as a socio-technical phenomenon: A report to the Bill & Melinda Gates Foundation, Wageningen, NL: Wageningen University and Research Centre. 2 Acknowledgements and thanks Many individuals and organizations helped us to carry out our work and we appreciate their generous support in time, information, advice and resources. In particular, we would like to offer special thanks to the many farmers, agricultural labourers and extensionists in Madagascar and Tamil Nadu who so generously welcomed us and shared their knowledge and opinions on rice farming and SRI. We also express our appreciation to all of the participants in our workshops in Antananarivo and Hosur, whose names are listed in Appendices A and B. A large number of other people provided advice and guidance, organizational and logistical assistance, or otherwise extended their support to our project in various intangible but important ways. We would like to thank the following people in particular: Rames Abhukara, Bruno Andrianaivo, Hein ten Berge, David Bergvinson, Prem Bindraban, Bas Bouman, P. M. Boopathi, Erwin Bulte, Ollie Burch, Robert Chambers, S. Chellamuthu, Toon Defoer, John Duxbury, Lucy Fisher, Winifred Fitzgerald, Philippe Grandjean, Biksham Gujja, Peter Hofs, Joelibarison, Marian Jonker, Bhaskar Joshi, Herman van Keulen, Murali Krishnamurthy, Tim Krupnik, Thom Kuyper, Julie Lauren, Melissa Leach, Cees Leeuwis, Ingrid Lefeber, Glenn Lines, Liu Xiaona, Michael Loevinsohn, Harro Maat, R. Mahender Kumar, Baharul I. Majumder, Alfred Mokuwa, G. Nammalwar, Florent Okry, B. J. Pandian, C. Shambu Prasad, Jürgen Pütz, Raj Rajendran, Jacqueline Rakotoarisoa, Irène Rakotoniaina, Justin Léonard Rabenandrasana, Myriam Ramahandridona, Danièle Ramiaramanana, Lucile Ramilison, Tsimba Randriamiarintsoa, Andry Randrianarivelo, Fetrasoa Ernesto Ratovoarimanana, Aimé Lala Razafinjara, Paul Richards, Mr. Rivo, Inge Ruisch, T. Sampathkumar, Rob Schipper, Ian Scoones, Michel Siméon, Pushpalatha Sivasubramanian, Siva Sivasubramanian, Martin Smith, Mr. Solo, Willem Stoop, Paul Struik, Jim Sumberg, M. S. Swaminathan, Béla Teeken, Janice Thies, T. M. Thiyagarajan, John Thompson, Norman Uphoff, Rajendra Uprety, Olivia Vent, S. Vijayabaskaran, Zéphyrin Zanarison and Zhu Defeng. Last but certainly not least, we extend our thanks to the Bill & Melinda Gates Foundation for providing a grant to fund this project. Ezra Berkhout, Dominic Glover Wageningen, NL February 2011 3 Executive Summary This document reports the findings and conclusions of a short exploratory study into the emergence, spread and impacts of the System of Rice Intensification (SRI). SRI is a crop management system that has been depicted as a more productive and more ecologically sustainable method for cultivating rice. It is said to be particularly appropriate, accessible and beneficial for poor and marginal farmers because it can achieve substantial increases in productivity and grain yield without the need for improved seeds or chemical inputs. It has also been reported that SRI methods can produce much higher yields while consuming much less water. These claims have provoked controversy among some scientists. With the goal of moving the debates about SRI forward, this research project was designed to evaluate the current state of knowledge about the origins, spread and impacts of SRI, to examine the mechanisms and processes that have helped to spread the system internationally, and to identify key knowledge gaps. The research approach was designed to examine the SRI phenomenon from technical, socio- economic and institutional perspectives. The project involved a review of academic literature and other documents on SRI, and two short field visits to Madagasar and Tamil Nadu, India, to learn about SRI at field level. SRI consists of a suite of practices, often summarized as six in number, involving particular procedures for crop establishment, irrigation management, weed control and fertilization. Several of these procedures deviate from currently recommended practices for rice cultivation. They are said to be based on the innate physiological characteristics of rice, though SRI advocates stress that the system should be adapted to suit specific local rice varieties and agro-ecological settings. The project has made several useful advances. First, the report shows that SRI was shaped not only by close observation of rice plants, but also by the resource- constrained setting of Madagascar during the 1970s and 1980s, where the system was originally developed. In particular, it was designed to suit the capacities of poor and marginal Malagasy farmers and their agro-ecological and institutional context. SRI is said to have been discovered or invented by a French Jesuit priest, Father Henri de Laulanié, but in fact it was compiled by him from various existing sources and each of the individual elements has precedents in rice cultivation practices from different times and places. This indicates, on one hand, that SRI is not as original or radically novel as it has been portrayed, and on the other hand that it rests on a reasonably firm foundation of knowledge and practice in rice cultivation. Second, our review of literature on the biophysical mechanisms involved in SRI and studies on the adoption and impacts of the system has made progress identifying areas of knowledge that are fairly well established and the many areas where gaps in knowledge remain. It is fairly well established that SRI cultivation methods cause changes in the physiology and morphology of rice plants, which can lead to improved productivity and grain yield under favourable conditions. Analyses of the 4 contributions made by individual SRI practices produce a mixed picture, but it seems fairly well established that transplanting younger rice seedlings with optimal spacing and the use of water-saving irrigation techniques can combine to produce a good yield and increase the productivity of seeds and water inputs. Substantially higher yields have also been reported, but it is not clear whether these are attributable to increased fertilizer or labour inputs, more skilful farmers, better soil fertility on plots chosen for SRI management, or synergetic interactions among the SRI practices. Third, there is a dearth of detailed and reliable information on the international spread of SRI. A handful of small-scale adoption studies have observed that relatively few farmers adopt all the practices of SRI and that adopters often do not practice the SRI techniques on all of their rice plots. There are indications that wealthier farmers are more likely to be (early) adopters of SRI methods and that SRI methods may be allocated preferentially to the most fertile and well- irrigated plots. Some disadoption has also been observed. Fourth, it is clear that the adoption of SRI methods is associated with quite substantial changes in allocations of inputs, especially labour, water and fertilizer. These include changes to the temporal distribution of labour demand and the gender division of labour. The available literature allows few firm conclusions to be drawn regarding the impacts of these changes, which theoretically may be positive or negative for different households or groups. The nature of operations such as weeding may also change with SRI adoption, but these effects have not been studied. Finally, substantial variations have been found in the ways that SRI is specified in different locations and in the scientific literature compared to grey literature. Further research will be required to make sense of these patterns, but they suggest that SRI methods change as they move from one setting to another, and that there may be a difference between the ways scientists, on one hand, and SRI promoters and extensionists, on the other, approach rice intensification issues and problems. The international spread of SRI has been catalysed by charismatic individuals at international and national levels. The range of actors involved in SRI today is wide, encompassing large and small non-governmental organizations, government agencies, universities and research institutes, extension services, funding bodies, and other actors. Taking into account the origins of SRI and the mechanisms by which it has spread, we conclude that SRI is not merely a set of crop management principles but the product of a distinctive socio-technical system that has operated, at least partly, outside the mainstream circuits of international agricultural research. This means that SRI raises important questions about the connections between agricultural research and agricultural development, the mobilization of social and professional networks, the exploitation of scientific knowledge, communication
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