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1 Reserch Report 13 Figure to be inserted Intensifying Agriculturl Sustinbility: An Anlysis of Impcts nd Drivers in the Development of 'Bright Spots' A. D. Noble, D. A. Bossio, F. W. T. Penning de Vries, J. Pretty nd T. M. Thiygrjn Interntionl Wter Mngement I n s t i t u t e

2 The Comprehensive Assessment of Wter Mngement in Agriculture tkes stock of the costs, benefits nd impcts of the pst 50 yers of wter development for griculture, the wter mngement chllenges communities re fcing tody, nd solutions people hve developed. The results of the Assessment will enble frming communities, governments nd donors to mke better-qulity investment nd mngement decisions to meet food nd environmentl security objectives in the ner future nd over the next 25 yers. The Reserch Report Series cptures results of collbortive reserch conducted under the Assessment. It lso includes reports contributed by individul scientists nd orgniztions tht significntly dvnce knowledge on key Assessment questions. Ech report undergoes rigorous peer-review process. The reserch presented in the series feeds into the Assessment s primry output Stte of the World report nd set of options bcked by hundreds of leding wter nd development professionls nd wter users. Reports in this series my be copied freely nd cited with due cknowledgement. Electronic copies of reports cn be downloded from the Assessment website ( If you re interested in submitting report for inclusion in the series, plese see the submission guidelines vilble on the Assessment website or send written request to: Sepli Goonrtne, P.O. Box 2075, Colombo, Sri Lnk. Comprehensive Assessment outputs contribute to the Dilogue on Wter, Food nd Environment Knowledge Bse.

3 Comprehensive Assessment Reserch Report 13 Intensifying Agriculturl Sustinbility: An Anlysis of Impcts nd Drivers in the Development of Bright Spots A. D. Noble, D. A. Bossio, F. W. T. Penning de Vries, J. Pretty nd T. M. Thiygrjn Comprehensive Assessment of Wter Mngement in Agriculture i

4 The Comprehensive Assessment ( is orgnized through the CGIAR s Systemwide Inititive on Wter Mngement (SWIM), which is convened by the Interntionl Wter Mngement Institute. The Assessment is crried out with inputs from over 100 ntionl nd interntionl development nd reserch orgniztions including CGIAR Centers nd FAO. Finncil support for the Assessment comes from rnge of donors, including core support from the Governments of the Netherlnds, Switzerlnd nd the World Bnk in support of Systemwide Progrms. Project-specific support comes from the Governments of Austri, Jpn, Sweden (through the Swedish Wter House) nd Tiwn; Chllenge Progrm on Wter nd Food (CPWF); EU support to the ISIIMM Project; FAO; the OPEC Fund nd the Rockefeller Foundtion; Oxfm Novib nd CGIAR Gender nd Diversity Progrm. Cosponsors of the Assessment re the: Consulttive Group on Interntionl Agriculturl Reserch (CGIAR), Convention on Biologicl Diversity (CBD), Food nd Agriculture Orgniztion (FAO) nd the Rmsr Convention. The uthors: A.D. Noble, Principl Reserch Scientist, Interntionl Wter Mngement Institute, c/o WorldFish Centre, P O Box 500 GPO, 10670, Penng, Mlysi; D.A. Bossio, Theme Leder nd Principl Reserch Scientist, Interntionl Wter Mngement Institute, Colombo, Sri Lnk; F.W.T. Penning de Vries, Director, Monsoon Asi Integrted Regionl Study, Institute for Atmospheric Physics, Beijing PR Chin; J. Pretty,Professor nd Hed, Centre for Environment nd Society nd Deprtment of Biologicl Sciences, University of Essex, Colchester UK; nd T.M. Thiygrjn, Professor nd Director, Agriculturl College nd Reserch Institute, Killikulm, Vllndu , Thoothukudi District, Tmil Ndu, Indi. Acknowledgments: Authors wish to cknowledge the significnt contribution mde by ll of the individuls tht took the time to complete the questionnire. Without their support this nlysis would not hve been possible. Noble, A. D.; Bossio, D. A.; Penning de Vries, F. W. T.; Pretty, J.; Thiygrjn, T. M Intensifying griculturl sustinbility: An nlysis of impcts nd drivers in the evelopment of bright spots. Colombo, Sri Lnk: Comprehensive Assessment Secretrit. 42p. Comprehensive Assessment Reserch Report 13. / food security / frming systems / sustinble griculture / ISSN ISBN ISBN Copyright 2006, by Comprehensive Assessment Secretrit. All rights reserved. Cover photogrph by Andrew Noble shows mixed frming systems in the Don Co ctchment of northern Vietnm. Plese send inquiries nd comments to: comp.ssessment@cgir.org

5 Contents Summry... v Introduction... 1 Methodology... 4 Dt Anlysis... 6 Results nd Discussion... 8 Assessment of Productivity Increses on Continentl Bsis Associted with Bright Spot Development Drivers Finncil Investments in Chnge Concluding Remrks Literture Cited Annex iii iii

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7 Summry If food security is to be obtined for growing globl popultion while mintining environmentl integrity, substntil increses in lnd nd wter productivity re necessry. Such increses will need to be gined ginst bckground of continued wter nd lnd degrdtion rising s result of the continued expnsion of industril griculturl ctivity nd exploitive subsistence production systems. Bright Spots re exmples of interventions, which hve successfully reversed the continuing downwrd spirl of poverty, nd which revel positive impcts on lnd nd wter resources. Bright Spots re usully typified by individuls nd communities tht hve dopted simple innovtions to their production systems. Frmers hve benefited twofold by these simple innovtions: (i) incomes being incresed; nd, (ii) food security t the household level is enhnced. The objectives of this study were to ssess the extent nd impct of Bright Spot development on globl bsis drwing on dt sets developed during the course of the project nd other reserch, nd to determine whether there re importnt replicble drivers tht contribute to the development of Bright Spots. Bright Spots embody griculturl sustinbility, producing food by mking use of ecologicl goods nd services, without permnently dmging these ssets. In n nlysis of 286 cses from 57 countries, the impct of Bright Spots development influenced 10.9 million households covering n re of 31.6 million hectres. The development of Bright Spots is bsed upon wide vriety of innovtive technologies nd prctices tht yield series of benefits, including enhnced griculturl productivity, improved soil helth nd fertility, more efficient use of wter (under both rin-fed nd irrigted frming systems), nd increses to infield biodiversity through improved pest nd weed mngement. In ddition, the doption of these technologies nd prctices resulted in crop yields hving n verge weighted increse of 156 percent over ll other frming systems. Out of the different types of commodities included in the Bright Spots dtbse, cotton (30%), rice (30%) nd whet (38%) hd the lowest increses in yield. The highest increses in yield were for sorghum/millets (134%) nd mize (120 %.). Overll, the most significnt increses in yield were found in Afric (257%), but gins in Asi nd the Pcific (132%) nd Ltin Americ (161%) lso were impressive. While degrdtion trends t globl scle re still negtive, the Bright Spots exmples provide compelling evidence tht move towrds sustinble nd environmentlly-friendly production systems is possible nd is occurring. The key fctors tht influence the development of these Bright Spots re: () investment in pproprite lnd nd wter technologies; (b) the spirtions of individuls (ledership) nd communities to improve their circumstnces; nd (c) entrepreneurship. It is importnt to note tht prticiptory pproches lone cnnot reverse degrdtion processes, but re n integrl element in the drive for chnge. While there is no single blueprint for the development of Bright Spot, the nlysis of drivers does yield insights into the elements importnt to their development. An nlysis of ten min drivers ssocited with the development of these Bright Spots reveled tht, on globl scle, quick nd tngible outcomes from the doption of new technology or chnges to v

8 frming prctices nd technologicl innovtion were both rnked highest out of the group of drivers. Socil cpcity nd property rights both scored significntly lower thn ll other drivers with scores of 1.79 nd 1.53, respectively, on scle of 1 5. This my in prt be ttributed to the fct tht the mjority of the cses focused on enhncing productivity t the field level, where socil cpitl plys lesser role. In ddition, property rights gined lower rtings given tht most of the cses studied were mong individuls nd communities with ccess to lnd. A further brekdown of cses into types bsed on the level of socil orgniztion required for their implementtion (individul doption of improved technology; smll-scle irrigtion development requiring both community nd individul ction; nd community cses of wtershed development) revels some differences in the degree of importnce ech of these drivers hs in the development of Bright Spots. Community-bsed Bright Spots re those tht hve focus on collective mobiliztion. Six high priority drivers were identified for this type of Bright Spot : (1) ledership; (2) quick nd tngible outcomes; (3) supportive policy; (4) socil cpitl; (5) prticiptory pproch with respect to the implementtion of the project; nd (6) innovtion nd pproprite technology. Low risk of filure, the development of mrkets nd property rights were deemed to be of lower priority. Individullybsed Bright Spots re those where the ctor nd benefctor re predominntly the individul, nd involved the doption of new technology or improvements to their current frming prctices. In these cses, the most importnt drivers were relted to technology chrcteristics, for exmple, quick nd tngible outcomes, innovtiveness; nd individul chrcteristics such s spirtion for chnge. This ws followed by prticiptory pproch in implementing the technology, nmely strong ledership by the individul dopting the technology; supportive policy; nd ccess to mrkets. An ssessment of the finncil investment for selective cses in Afric nd Ltin Americ estimted the effective cost per hectre of lnd influenced by Bright Spots development. In Ltin Americ, investments were estimted to be US$997/h (within rnge of US$1.2 US$25,000 per h). Notbly, contributions from Ntionl Governments in these cses mounted to US$5.5 million 18 percent of the totl vlue of investments. In other words, for every US$1 sourced from Ntionl Governments, US$5.48 ws derived from other sources. Similrly for every US$1 sourced from Ntionl Government coffers in Afric resulted in the existing equivlent US$14.22 derived from other sources. This survey estimted tht investments verged US$354 for every hectre of lnd tht ws improved, pproximtely hlf of tht ws invested in the Ltin Americn cses collected in this survey. Lying t the hert of Bright Spots development is new knowledge nd its doption. In ddition, Bright Spots require innovtions tht yield positive chnge. Knowledge nd innovtion together imply entrepreneuril cpcity. As such, this report rgues tht promoting entrepreneurship my be key element in the expnsion of Bright Spots. vi

9 Intensifying Agriculturl Sustinbility: An Anlysis of Impcts nd Drivers in the Development of Bright Spots A. D. Noble, D. A. Bossio, F. W. T. Penning de Vries, J. Pretty nd T. M. Thiygrjn Introduction A criticl chllenge fcing the globl community over the coming two decdes is providing dequte levels of nutrition nd opportunities for welth cretion in mrginlized nd disdvntged communities. A wide vriety of doomsdy stories hve repetedly documented the growing role of griculturl systems in the degrdtion nd depletion of nturl resources, the pollution of the environment nd the contmintion of food products (Pretty nd Koohfkn 2002). These lrming trends nd the incresed incidence of drought ssocited with climtic vribility, outbreks of pest (i.e., locust plgues in Afric nd Austrlsi), nd diseses (i.e., virin flu in Southest Asi nd North Asi) contribute to heightened food shortges nd the risk of fmine. These fctors ll cst doubt on the cpcity of globl griculture to provide sufficient, relible nd sfe food supplies to n ever-incresing world popultion. Lnd nd wter degrdtion pose serious thret to food security, livelihoods nd the wellbeing of rurl popultions tht occupy these degrdtion-prone mrginl lnds. This issue is of prticulr relevnce in countries where expnsion of griculture through exploittion of new lnd nd wter resources hs reched its zenith. There re isolted exmples round the globe of interventions tht hve been effective in reversing the continuing downwrd spirl of poverty nd hopelessness, thereby creting positive impcts on lnd nd wter resources. These re often termed Bright Spots in the published literture nd re chrcterized by individuls or communities tht hve mde chnges, which hve led to reversl of lnd nd wter degrdtion (Scherr 1999). These Bright Spots cn be defined s individuls nd smll communities (households) who hve dopted innovtive prctices nd strtegies to reverse nturl resource degrdtion in sustinble mnner. Hence, mintin or enhnce food security. Bright Spots re potentilly sustinble, nd levels of nturl resource cpitl re bove ecologicl nd economic thresholds. Kitevu et l. (2002) provide more complete description of the ttributes tht define Bright Spot : The Bright Spot should contribute to: Incresing potentil income nd result in the cretion of employment for the wider community; Hve the ttributes of efficient resource utiliztion; The building of cpcity within the community or individuls tht enbles effective technology trnsfer; Improved helth of the community nd environmentl qulity; nd Improvements in time mngement by individuls. 1

10 In ddition Bright Spot should: Involve pproprite nd sustinble technologies. Often this requires the doption of new or innovtive technologies tht need to hve quick nd tngible benefits with low risk of filure; Employ locl skills nd resources; nd Gurntees long-term benefits ssocited with the community s involvement. Industrilized griculturl production systems hve been extremely successful in mintining food supplies to burgeoning globl popultion over the pst two decdes. The success of these systems, however, hs been t cost to both the functionlity of ecosystems (with respect to goods nd services provided) nd to humn helth. These, often ssumed, intngible externlities re beginning to be fully costed nd documented s evidenced in recent publictions tht include exmples from Ecudor, Chin, Germny, the Philippines, UK nd the USA (Crissmn et l. 1998; Norse et l. 2001; Wibel et l. 1997; Pingli nd Roger 1995; Pretty et l. 2000; Tegtmeier nd Duffy 2004). There is growing concern tht these highly industrilized production systems my not llevite food poverty. Resource-poor frmers require low-cost nd redily-vilble technologies nd prctices to increse food production, thereby enhnce their incomes (Pretty et l. 2006). There re numerous documented exmples nd cse studies tht hve been undertken, where individuls or communities hve mde chnges tht hve significntly enhnced their livelihoods nd well-being, while hving positive impcts on resource sustinbility (Pretty 2001; Pretty nd Hine 2000; Pretty et l. 2003; Critchley nd Brommer, 2003; Bnuri et l. 2002). These individuls nd communities hve dopted simple non-exploitive innovtions to their production systems, which hve contributed significntly towrds ensuring food security t the household level nd incresed incomes. These cn be termed Bright Spots nd effectively reflect sense of cutious optimism, in tht, there is n doption of sustinble frming prctices tht result in enhnced livelihoods nd positive impcts on the environment. In evluting these successes the question rises s to whether there re key fctors tht re fundmentl in the development of these Bright Spots? If so, cn these be developed into guidelines tht would enhnce up-scling nd increse food security nd household incomes? In this study we try to ddress these questions through the nlysis of survey dt on importnt drivers, which re ssocited with the development nd continunce of selected Bright Spots. The objectives of this study were s follows: 1. Assess the extent nd impct of Bright Spots on globl bsis using dt sets cptured through the current project nd previously collected dt. 2. Determine whether there re generic drivers tht contribute to the development of Bright Spots nd whether they could ssist in the further expnsion nd up-scling of Bright Spots. The first prt of the report evlutes globl nd continentl impcts of Bright Spots on crop productivity. This is followed by discussion of the key drivers ssocited with the development of these Bright Spots nd brief ssessment of finncil investments ssocited with the development of these successes. The report concludes with n overll discussion of Bright Spots nd exmines the potentil for their up-scling. 2

11 Box 1. Developing A Grpe Production Enterprise in Northest Thilnd: An Individul s Inititive to Diversify A. D. Noble, IWMI-SEA, Penng, Mlysi. A frmer nd his wife in the Skon Nkon re of Northest Thilnd hve over the pst 2 yers estblished grpe orchrd on 0.8-hectre plot of lnd. The totl extent of the fmily frm is 8 hectres, of which the remining 7.2 hectres re lesed out to shre croppers who grow rice on it. Thirty percent of the rice-yield is given to the frmer s compenstion for the lnd. The fmily unit consists of five children nd the prents. Wht is unique bout this frm is tht, it hs not been subdivided mong the children, which is contrry to the common prctice of these rurl communities. Hence, the integrity of A frmer from Northest Thilnd shows off his tble grpe enterprise tht he hs developed with his wife through the the originl frm hs not been compromised. conversion of smll portion of their rice frm. This is of importnce in ssessing the overll vibility of the frming unit. Three of the children hve left the frm to tke up positions in the civil service, leving behind their brother, prents nd the current (tennt) frmer nd his wife, on the frm. The frmer is young nd well educted. Hving completed school he undertook trining in business dministrtion. On completion of his forml eduction he worked in mnufcturing compny, where he cquired prcticl skills in mechnics nd metl working. On returning to the frm, he decided to undertke study tour to determine possible lterntive options for the frm, ll of which were funded from his own resources. He decided tht grpe cultivtion ws vible option for the re, s there were no other frmers in the re growing such crop. A study tour to southern grpe-growing res of Thilnd resulted in him cquiring skills in trellising nd the cultivtion of grpes, long with plnting mteril for his frm. Using micro-jet irrigtion, he nd his wife hve estblished the orchrd tht is now coming into production. There hs been substntil investment (US$12,500) in the project, the funds coming from household svings. The hrvested grpes re sold t the frm gte to buyers nd, s such, no mrketing of the product is required. The frmer expects to mke significnt profits within the next 2 yers. The fct tht he hs undertken this development of the frm, considering his lck of experience in viticulture (grpe-growing), clerly indictes his positive pproch to tking risks. When questioned whether he would expnd his grpe-growing ctivities further once the vines were in full production, he ws emphtic tht he would not expnd current opertions since it would require employing dditionl lbor. This would ffect his profit mrgin. An importnt chrcteristic of this viticulture opertion is tht, it keeps both the frmer nd his wife ctively engged in the process throughout the yer. The mjority of frmers in the re re confined to growing single crop of rice, which effectively employs them burgeoning only for 6 months of the yer. As result, out-migrtion of significnce occurs during the off seson, with frmers moving to Bngkok for employment on either construction sites or driving txis. The success of this Bright Spot is bsed on the individul being highly motivted s well s hving cquired significnt skills nd, more importntly hving finncil cpitl to invest in the development of the venture. Although this is Bright Spot it is highly unlikely tht it could be replicted due to the lck of skills within the generl community on viticulture, nd the high cpitl investment required. Photogrph by Andrew Noble 3

12 Methodology Assessing the Extent nd Impct of Bright Spots The project dopted three-stge pproch in the ssessment of the key drivers ssocited with the development of Bright Spots, long with the quntifiction of their impct. The three stges included: 1. A colltion of new surveys nd published dt tht cpture the positive impct of Bright Spots, including the increse of crop yield, extent of impct of the project i.e., the number of householders or frmers dopting improved prctices, nd number of hectres ffected. Sources included originl surveys, cse studies in both the public domin nd grey literture, nd dt cptured in the SAFE-World (Sustinble Agriculture to Feed the World referred to s SAFE) dtbse of the University of Essex (Pretty et l. 2003; Pretty, 2001; Pretty nd Hine, 2000). The SAFE dtbse ssessed the globl extent of Bright Spots tht re predominntly bsed on sustinble orgnic systems with limited relince on fossil-fuel derived inputs. 2. A survey of proposed drivers investigted the fctors tht hve led to the development of Bright Spots. The questionnire contined opportunities for the respondents to provide informtion on productivity increses tht ccrued through the doption of improved sustinble prctices nd the degree of doption, contributing to impct ssessment, nd the role of key drivers in effecting chnge (see nnex 1). 3. A limited number of in-depth cse studies were undertken to evlute drivers for the development of Bright Spots. Detiled discussion of these studies re published elsewhere (D Silv nd Ngnth 2005; Sreedevi et l. 2004; Joshi et l. 2005). In evluting the drivers ssocited with the development of Bright Spots, ten key elements were identified s being of significnt importnce. These elements were identified through consulttive process with reserchers working in this re of development, t workshop conducted in Bngkok in Februry The prticipnts in the workshop were from South nd Centrl Asi, Southest Asi, Afric, Ltin nd Centrl Americ nd Europe. The ten key elements in the four mjor ctegories were s follows: Individully-bsed Drivers These individully-bsed drivers re referred to s humn cpitl ssets commonly used in sustinble livelihoods nlysis (Colemn 1990; Costnz et l. 1997; Crney 1998; Pretty 1998; Scoones 1998; Pretty nd Wrd 2001; Krishn 2002). In the current study of drivers these include: Ledership. Often single individul or group (NGO or government gency) my become the chmpion for chnge. They become the focl point in effecting chnge nd re criticl in effecting chnge. Aspirtion for Chnge. This reflects n internl demnd by n individul or community for chnge tht my be driven by fith or wish to try something different. In ddition, it reflects n innte pprecition by the individul or community of their current predicment nd tht there re wys of improving the sitution. Socilly-bsed Drivers These recognize the cohesiveness of people in their societies nd comprise reltions tht enhnce coopertion; it incorportes the concepts of common rules, norms nd snctions with respect to behvior in society; reciprocity nd exchnges (Pretty 2001; Pretty nd Smith 2004). They include: 4

13 Socil Cpitl. These re community orgniztions, networks, nd prtnerships (privte s well s public) tht develop in order to promote chnge. These hve the elements of bonding, bridging nd linking within the community (Pretty nd Smith 2004). Prticiptory Approch. Delibertive processes tht ctively involve the community in the decision-mking process. This hs strong element of lerning nd teching nd involves the estblishment of prtnership between frmers nd the development workers. Techniclly-bsed Drivers Techniclly-bsed drivers reflect new technologies or knowledge tht is introduced to enhnce the performnce nd the sustinbility of production systems. These include the following: Innovtion nd Approprite Technologies. Externl nd internl innovtions, new technologies nd informtion re importnt components in chnge. With respect to internl innovtion nd pproprite technologies this would include the revivl of trditionl/locl knowledge. Externl innovtions reflect new developments in techniques nd technologies tht, if dopted, effect positive chnge to the production system. This includes new skills nd knowledge tht contribute to the development of Bright Spot. Quick nd Tngible Benefits. Immedite tngible benefits to the community or individul re prerequisite for the development of Bright Spot. For exmple, this my include incresed yields within the first yer of implementing chnges; reduction in the costs of lbor etc. Low Risk of Filure. Resource-poor frmers by their very nture re risk-verse nd, s such, ny chnge to the current sttus quo must hve low-level of risk ssocited with it. Externlly-bsed Drivers These encpsulte fctors tht re invribly beyond the direct control or influence of the individul or community, nd include the following: Property Rights. The element of individul property rights nd ownership my enhnce the willingness of individuls to invest in lnd nd wter resources nd its conservtion, thereby fcilitting chnge. Mrket Opportunities. If there is to be chnge in prctices tht re contingent on the production of new or lterntive crops/products, economic mrkets need to be present nd ssured to effect this chnge. An outcome of these delibertions ws the development of three-pge survey questionnire. The questionnire ddressed the key impcts of the Bright Spot such s intervention on totl food production nd its impct on nturl resources; the degree of up-tke nd scling-up ssocited with the intervention; nd the relevnce of the key elements in the development nd continunce of the Bright Spot (see nnex 1). The questionnire endevored to quntify the role tht n intervention hd on enhncing productivity nd ssocited nturl ssets, long with determining the reltive importnce of key elements in effecting chnge nd its continunce. The respondents were individuls involved in the project such s project implementers, villge leders nd frmers. The questionnires were filled in either by the respondent or through enumertors tht interviewed the respondents. For the drivers nlysis respondents were sked to indicte the importnce of the ten drivers on scle of 1 5, with 5 being the highest or most importnt. All of the questionnires, which were duly filled nd returned, long with ny other secondry mteril collected within the public domin nd grey literture, were individully dded to dtbse. Ech of the questionnires returned ws checked to identify gps nd mbiguities. Those questionnires tht were deemed untrustworthy were rejected. It should be noted tht the questionnire ws selfcompleted by either individuls who were intimtely involved in the cse/project or through interviews with enumertors (i.e., Indi dt sets from South Indi nd the Punjb). In both cses, however, there is the potentil for possible bis. Within the dtbse ech questionnire ws 5

14 clssified into the mjor frming systems s defined by Dixon et l. (2001). The typology of frming systems developed by the Food nd Agriculture Orgniztion (FAO) for the World Bnk (WB) ws used to clssify these projects into eight brod ctegories. These were bsed on the following socil, economic nd biophysicl criteri: The vilble nturl resource bse, including wter, lnd, grzing res nd forest; climte nd ltitude; lndscpe, including slope; frm size, tenure nd orgnistions; nd ccess to services including mrkets. The dominnt ptterns of frm ctivities nd household livelihoods, including field crops, livestock, trees, quculture, hunting nd gthering, processing nd off-frm ctivities; nd the min technologies used, which determine the intensity of production nd integrtion of crops, livestock nd other ctivities. The eight brod-bsed frming systems were s follows: 1. Smllholder irrigted frming systems includes brod rnge of food nd csh crop production systems. 2. Wetlnd rice-bsed frming systems predominntly dependent on monsoonl rins with supplementl irrigtion. 3. Rin-fed frming systems in humid nd subhumid res chrcterized by crop ctivities tht include ny or combintion of the following crops: root crops, cerels, industril tree crops (both smll nd plnttion), nd commercil horticulture or mixed crop-livestock systems. 4. Rin-fed frming systems in steep nd highlnd res often mixed crop-livestock systems. 5. Rin-fed frming systems in dry or cold res mixed crop-livestock nd pstorl systems merging into sprse nd often dispersed systems with very low productivity or potentil due to extremes of ridity or cold. 6. Dulistic frming systems with both lrge-scle commercil nd smllholder frms cross vriety of ecologies nd with diverse production ptterns. 7. Costl rtisnl fishing mixed frming systems often mixed frming systems. 8. Urbn-bsed frming systems typiclly focused on horticulturl nd livestock production. Within these 8 mjor frming systems, totl of 72 specific frming systems were identified, some of which comprised similr systems occurring on different continents (Dixon et l. 2001). Dt Anlysis In the nlysis of the dt, n initil globl ssessment of overll impct, extent nd doption of Bright Spots ws undertken. This ssessment ws further disggregted on continentl bsis, where individul nlyses were undertken on impct in Ltin Americ, Afric nd Asi. In ddition, n nlysis of drivers ws done for the globl dtset. And, finlly, n nlysis of the drivers ws undertken bsed on the typology of the Bright Spot cses. For this nlysis, Bright Spots cses were grouped into three ctegories, which were bsed on the degree of socil orgniztion required for their implementtion. The three ctegories were: individul doption, representing uptke of improved technology by individuls, with little dependence on community ction; 6

15 intermedite doption, represented by smllscle irrigtion development requiring both community nd individul ction; nd community ction, including cses of wtershed development, which were primrily bsed on orgniztion t the community level. Simple descriptive sttistics s well s n nlysis of vrince (ANOVA) were employed in the ssessment of sttisticl significnce between vrible mens. Box 2. Afric Centre for Holistic Mngement Dr. Constnce Neely, 1160, Twelve Oks Circle, Wtkinsville, GA 30677, USA. The Wnge Community of Northwest Zimbbwe typify most of the problems tht plgue rurl communities in Afric, nmely desertifiction of lnd, the drying up of rivers, boreholes nd dms, pproximtely 80,000 people in poverty, rmpnt AIDS, constntly filing crops, dwindling livestock, the exodus of young people, severe poching of nerby timber nd wildlife in stte lnds nd more in country experiencing violence, corruption nd economic meltdown to n lrming degree. The Afric Centre is locl not-for profit orgniztion estblished by Zimbbwens to reverse this sitution meningfully over time strting in their own community but extending ssistnce throughout English speking Afric. All of the locl problems re being ddressed in relistic mnner through locl inititive, drive nd commitment. This is n ongoing project s neither reversing lnd degrdtion nor chieving lsting socil chnge cn be chieved through projects of short durtion no mtter how well intended. For this reson the project is constntly referred to s 100-yer project. The project is bsed upon chieving the desired reversl of lnd degrdtion nd ll of its ssocited symptoms such s droughts, floods, poverty, socil brekdown, violence, buse of women nd children, etc. These chievements re envisged by empowering people to tke chrge of their lives nd destiny, including the usge of holistic decision-mking frmework tht ws developed by the Zimbbwen founder of this project. The overll chievement of the project to dte is tht, it hs been identified s n islnd of clm in the chos of tody s Zimbbwe. There hve been over 2,000 villge members trined through the conservtion projects (grzing, home grdens, women s bnks, nd wildlife mngement). Wr veterns re being trined s Gme Scouts nd re ctively engged in pprehending pochers while shring income from orgnized wildlife sfri hunting. All the Chiefs of the vst Wnge Communl Lnds re Trustees nd devote significnt time nd energy to the governnce of the Afric Centre. To dte 24 women s bnks hve been formed by over 500 women. While mny people (blck nd white) hve been losing lnd, four rnches hve been dded to the community s piece of privtely held lnd. Hence enbling the Afric Centre to form College of Agriculture nd center for Wildlife nd Conservtion Mngement. The totl lnd now mnged by the Afric Centre mounts to 8,080 hectres. This lnd, held by the Trustees for the good of the community, is drmticlly improving with vst increses in ground cover, bundnce of grss for frm nimls nd wildlife, nd n increse of wter in boreholes. With one of its min rivers close to becoming perennil in flow once more, the mount of wildlife on the project lnd hs incresed tenfold or more. 7

16 Substntil trining nd coching hs been provided to the community on permculture techniques nd on grzing plnning (to reverse lnd degrdtion nd restore wter to rivers nd boreholes). Steps re being mde to estblish monitoring progrm to formlly cpture the gins being mde socilly, environmentlly nd economiclly in the community, in comprehensive mnner. Due to the holistic grzing plnning implemented by the Afric Centre on their lnd, substntil number of the community s livestock ws sved from extermintion during the recent poor sesons. Where the project lnd hd previously been seriously deteriorting nd ws considered overstocked with 100 hed of cttle, the Afric Centre is currently running herd of over 600 cttle, gots, pigs, donkeys nd horses with drmtic benefit to the lnd. The impct of the project to dte is mnifested in 8,080 h of lnd, which is but smll percentge of the over 404,000 h of the Wnge communl lnds. Nevertheless, it is their model nd lerning site. Now the work is being grdully extended to the res of the two closest Chiefs, Shn nd Mvutu, whose people re currently receiving eduction, trining nd coching. There re now pproximtely 500 women prticipting in the Afric Center s women s microlending bnks. The bnks re in their fourth yer of opertion nd continue to mintin 100 percent pybck rte, with most women reporting significnt nd encourging chnges in their households nd food security. In ddition, through its efforts the Afric Centre is providing employment for 100 or more people s well s injecting mny thousnds of dollrs nnully to develop the community. Over 40 h of improved smll grdens s well s grdens utilizing drip-irrigtion kits hve been estblished. Estblishing deep trust nd cceptnce with the community tkes time nd ptience. The process must be driven by locl people nd they should relize tht developing tem of community leders with commendble commitment nd required skills tkes time. Results nd Discussion Globl Extent of Bright Spots nd Productivity Increses The concept of Bright Spot in the current context encpsultes griculturl sustinbility, here defined s food production tht mkes preeminent use of nture s goods nd services while not permnently dmging these ssets (Pretty et l. 2006). There re other forms of Bright Spots, which hve their focus on civic entrepreneurship (Bnuri et l. 2002). These hve direct impct on the livelihoods nd well-being of millions of people who do not hve n griculturl bsis, nd re just s importnt nd effective in ddressing the plight of mrginl disdvntged individuls or communities. However, these other forms of Bright Spots re not considered in this study lthough they re deemed to be eqully importnt. Dt sets collected from the current survey, nd those collected from the SAFE projects of Pretty nd Hine (2001, 2004), were combined in order to ssess the globl extent nd impct of Bright Spots from n rel nd popultion perspective. Bright Spots were ctegorized into the eight min frming systems s defined by Dixon et l. (2001). The dtbse comprises 438 cses from 57 countries. The impct of these Bright Spots influenced 10.9 million households, covering n re of 31.6 million hectres (tble 1). The lrgest number of frmers dopting improved 8

17 TABLE 1. Summry of Globl doption nd impct of sustinble griculturl technologies nd prctices on 438 projects in 57 countries. Vlues in prenthesis re the Stndrd Devition from the Men. FAO frm system ctegory 1 Number of frmers Number of hectres Averge % increse in dopting under sustinble griculture crop yields 2 1. Smllholder irrigted 172, , (±197.2) 2. Wetlnd rice 7,226,414 4,986, (±32.3) 3. Smllholder rin-fed humid 1,708,278 1,122, (±167.3) 4. Smllholder rin-fed highlnd 387, , (±122.3) 5. Smllholder rin-fed dry/cold 579, , (±95.3) 6. Dulistic mixed 3 466,292 23,515, (±32.4) 7. Costl rtisnl 220, , (±28.3) 8. Urbn-bsed nd kitchen grden 206,492 35, (±98.6) 4 Totl/weighed men for ll projects 10,966,543 31,600, Notes: Author s cretion Bsed the frming systems clssifiction of Dixon et l., 2001 Yield dt reported s the % increse in yield from levels before the inititition of the project Dulistic refers to mixed lrge commercil nd smllholder frming systems, minly from southern Ltin Americ Weighed men is bsed on the re occupied by ech of the frming systems nd is clculted s follows: Σ (Si x Ai )/Σ Ai where Si is the verge yield increse for system i ; Ai is the re occupied by Si mngement strtegies ws from the wetlnd rice-bsed systems, predominntly in Asi. And the lrgest re influenced by the interventions ws in dulistic mixed frming system, predominntly in southern Ltin Americ (tble 1). In the ltter cse this comprises the doption of conservtion no tillge griculture prctices in Snt Ctrin, Brzil. The totl re of 31.6 million hectres tht is in trnsition towrds sustinble griculturl production system cptured in this dt bse represents 2.3 percent of the totl globl cultivted re (i.e., estimted to be 1,136 million hectres (Dixon et l. 2001)). The number of cses ssessed in this nlysis is by no mens exhustive nd is limited to the dt cptured in this study nd those obtined through the SAFE surveys. They, therefore, represent frction of the totl number of globl Bright Spots. There is, therefore, cuse for cutious optimism s there is cler evidence of frmers dopting improved sustinble production prctices, nd tht they hve positive impct on their food security t the household level, improvement of livelihoods (incresed income) s well s ccruing tngible benefits to the environment s whole. Indeed, the potentil benefits ssocited with the doption of sustinble frming systems on crbon sequestrtion nd wter productivity hve been shown to be significnt (Pretty et l. 2002; Pretty et l. 2006). Clerly, these positive environmentl nd finncil benefits tht would ccrue through the development of Bright Spot lie beyond the frm gte nd would be significntly greter thn wht is covered in this nlysis. Pretty nd Hine (2004) identified four mechnisms tht hve been used to improve household food production nd income genertion, which re common to these projects, nmely: Intensifiction of component of the frming system, such s the development of home grdens for vegetble nd fruit production, the introduction of fish into frm ponds or the doption of diry cttle. The incorportion of new productive elements into the frming system tht could include the introduction of fish or shrimps into rice fields, or the incorportion of tree crops which provide n increse to totl frm production nd incomes. These represent 9

18 diversifiction of the frming enterprise, which cn minimize the risk-exposure linked with mrket fluctutions ( common fctor relted to single-commodity-bsed enterprises). Better use of nturl resources to increse totl frm production e.g., wter hrvesting, lnd reclmtion nd rehbilittion. Improvements in per hectre yields of stple cerels through the introduction of new regenertive elements into the frm system such s legumes, integrted pest mngement, new nd loclly-pproprite crop vrieties nd niml breeds, nd the doption of new technologies. Wht is importnt in ll of these cses is tht, wide rnge of technologies nd prctices were used to enhnce productivity, which lso improved soil helth nd fertility, fcilitted more efficient wter use under rin-fed nd irrigted frming systems, nd effected n increse in infield biodiversity through improved pest nd weed mngement. The development of Bright Spot through the doption of sustinble griculturl production systems my result in improved domestic food consumption or n increse in sles through home grdens or fish in rice field, or better wter mngement without necessrily ffecting the per hectre yields of cerels (Pretty nd Hine 2004). Associted with the doption of these technologies nd prctices verge weighted increses, which tkes into ccount the verge yield increses nd the re estblished for ech frming system, ws percent (tble 1). However, the degree of improvements in yields s indicted in figures 1 nd 2 ws widespred. Of the vrious commodities included in the Bright Spots dtbse: cotton (30%), rice (30%) nd whet (38%) hd the lowest increses in reltive yield. The highest increses in reltive yield were for sorghum/millets (134%) nd mize (120%) under rin-fed conditions, see (tble 2). This my reflect s in the cse of the ltter tht the increse in potentil crop yields is ssocited with improved mngement prctices under rin-fed production systems. Indeed, the development of independentlymnged supplementl irrigtion systems, long with improved soil fertility cn reduce risk of drought nd significntly increse productivity under rin-fed conditions (Rockström et l. 2003). While degrdtion trends t globl scle re still negtive, these cses provide compelling evidence tht move towrds sustinble nd environmentlly-friendly production systems is possible nd is occurring. TABLE 2. Yield chnges ssocited with the development of Bright spots for different commodities on Globl bsis. Stndrd Error of the Men in prenthesis. Commodity Number of Men yield before Men yield fter Reltive increse observtions the project (t h -1 ) the project(t h -1 ) in crop yield 1 Mize (±0.17) 3.03 (±0.28) (±17.1) Sorghum/millets (±0.09) 1.36 (±0.18) (±29.2) Pulse crops (±0.11) 1.53 (±0.22) 88.8 (±12.1) Rice (±0.09) 5.59 (±0.10) 30.3 (±3.5) Whet (±0.11) 4.51 (±0.10) 38.0 (±7.1) Root crops (±1.66) (±2.79) (±55.0) Fruit nd vegetbles (±2.07) (±3.41) 95.4 (±17.6) Cotton (±0.29) 2.34 (±0.36) 29.6 (±5.5) Notes: Author s cretion Reltive increse in crop yields is equivlent to yield before the implementtion of the project vlue of 2 reflects 100% improvement in productivity Pulse crops include field pes, soyben, green grm, pigeon pes, bens nd groundnuts Root crops include pottoes, sweet pottoes, nd cssv 10

19 FIGURE 1. Chnges in the yields of gronomic crops with the doption of new technologies nd prctices on Globl bsis. The dt set is mde up of 446 crop yields from 286 projects. Dshed line indictes no chnge in reltive yield. Note: Author s cretion FIGURE 2. Chnges in the yields of root, vegetble nd fruit crops with the doption of new technologies nd prctices on globl bsis. The dt set is mde up of 45 crop yields from 13 projects. Dshed line represents no chnge in reltive yield. Note: Author s cretion 11

20 Assessment of Productivity Increses on Continentl Bsis Associted with Bright Spot Development In the following section, n nlysis of the impct of Bright Spots is mde on continentl bsis. This is followed by n ssessment of the impct of these interventions on the productivity of selected crop vrieties. A totl of 110 Africn cses contined sufficient informtion to estimte the extent nd impct of Bright Spots in Afric. These Bright Spots sustined 4.6 persons per hectre with rnge of 0.2 to 13.1 persons per hectre on verge. In totl, 1.79 million frmers on 1.91 million hectres hve dopted improved lnd nd wter mngement strtegies tht hve hd significnt impct on the crop yield nd the environment (tble 3). In Afric, the lrgest number of frmers impcted through the development of Bright Spots ws under rin-fed humid systems, followed by smllholder irrigted schemes (tble 3). Wetlnd rice-bsed, dulistic mixed-frming systems nd costl rtisnl fishing were under- represented in the cses collected. Sub-Shrn Afric contins totl popultion of 629 million people, of which 384 million re clssified s griculturlists (Dixon et l. 2001). The totl re under cultivtion or with permnent crops is estimted to be 173 million hectres (FAOSTAT 2003). While the number of cses ssessed in this nlysis is by no mens exhustive nd is limited to dt cptured in the forementioned dtbses, they re likely representtive of smll frction of the totl number of Bright Spots tht exist in Afric. The direct extent of impct of these Bright Spots from totl re nd popultion perspective is 1 percent nd 0.5 percent, respectively. In contrst to Afric, wetlnd rice frming systems dominted the Asi nd the Pcific region cses with over 7.2 million frmers out of totl of 8.3 million frmers being impcted by the development of Bright Spots, which reflects the importnce of this commodity in the region (tble 3). However, it should be noted tht smllholder irrigtion nd costl rtisnl were underrepresented. The totl number of cses ssessed ws 272. The mjority of them ws from South Asi nd involved the doption of improved regenertive technologies in the growing of rice, which included the doption of rice/whet cropping systems. While this region hd the lrgest number of cses, the hectres per frmer dopting the Bright Spot ws low, mere 0.72 h/frmer s compred to 1.06 h/frmer for Afric. Of ll the regions, Ltin Americ hd the smllest number of cses (55), lthough the re impcted through the development of Bright Spots ws the lrgest (tble 3). The dulistic frming systems hd the lrgest rel nd frmer impct, but smllholder irrigtion nd wetlnd rice were under-represented. In the dulistic frming systems, cses dominted by extensive livestock production in combintion with the doption of minimum or zero tillge on highly mechnized frming enterprises ccounted for the lrge re impcted upon (tble 3). The number of hectres per frmer dopting ws the highest for ll continents (29.26 h/frmer) reflecting the extensive nture of frming opertions nd lrger frm size when compred to Asi nd the Pcific, where more intensive nd smller frming units re the norm. Crop Yield Responses on Continentl Bsis There ws weighed yield increse of percent for Africn cses on verge (ssocited with the implementtion of the project), which indictes the drmtic effect of these interventions on crop productivity (tble 3). It should be noted tht Afric hd the highest degree of vribility in yield increses within ech of the frming systems, which is evidenced by the lrge stndrd devitions from the men (see tble 3). Asi nd the Pcific nd Ltin Americ hd weighed men yield increses of

21 TABLE 3. Extent of impct nd doption of Bright spot bsed on the dt from the SAFE-World dtbse (Pretty nd Hines 2001) nd Noble et l. (2004) nd ctegories ccording to Dixon et l. (2001) frming systems in the Afric, Asi nd Pcific, nd Ltin Americ. Vlues in prenthesis re the stndrd devition from the men. FAO frm system ctegory 1 Number of frmers Number of hectres under Averge % Afric (n* = 110) dopting sustinble griculture increse in crop yields 2 1. Smllholder irrigted 172, , (±201.8) 2. Wetlnd rice Smllholder rin-fed humid 1,426, , (±182.4) 4. Smllholder rin-fed highlnd 104, , (±172.9) 5. Smllholder rin-fed dry/cold 89, , (±130.8) 6. Dulistic mixed Costl rtisnl Urbn-bsed nd kitchen grden 1, (±42.3) 4 Weighed men 1,795,544 1,910, Asi nd the Pcific (n* = 272) 1. Smllholder irrigted Wetlnd rice 7,226,414 4,986, (±32.3) 3. Smllholder rin-fed humid 225, , (±183.3) 4. Smllholder rin-fed highlnd 256, , (±73.7) 5. Smllholder rin-fed dry/cold 474, , (±71.3) 6. Dulistic mixed , (±34.9) 7. Costl rtisnl Urbn-bsed nd kitchen grden 179,000 27, (±132.4) 4 Weighed men 8,360,909 5,997, Ltin Americ (n* = 55) 1. Smllholder irrigted Wetlnd rice Smllholder rin-fed humid 56, , (±103.4) 4. Smllholder rin-fed highlnd 26,322 31, (±101.6) 5. Smllholder rin-fed dry/cold 15,000 60, Dulistic mixed 3 466,132 23,290, (±30.4) 7. Costl rtisnl 220, , (±28.3) 8. Urbn-bsed nd kitchen grden 26,250 8, (±58.9) 4 Weighed men 809,777 23,695, Notes: Author s cretion 1 Bsed the frming systems clssifiction of Dixon et l Yield dt reported s the % increse in yield from levels before the inititition of the project 3 Dulistic refers to mixed lrge commercil nd smllholder frming systems, minly from southern Ltin Americ 4 Weighed men is bsed on the re occupied by ech of the frming systems nd is clculted s follows: Ó (S i x A i )/Ó A i where S i is the verge yield increse for system i; A i is the re occupied by S i n* denotes number of cses ssessed 13

22 percent nd percent, respectively. Overll, in the foresid three regions smllholder rin-fed humid frming systems consistently gve reltive yield increses in excess of 100 percent lthough the stndrd devition ws one of the highest. This mnifests the high degree of vribility in these increses (tble 3). These frming systems re chrcterized by hving crop component tht could include root crops, cerels, industril tree crops nd commercil horticulture or mixed crop-livestock system (Dixon et l. 2001). The high degree of vribility in yields observed in these frming systems my, in prt, be ttributed to their dependence on nnul rinfll. Similrly, smllholder rin-fed highlnd systems showed consistent increses in reltive yields, long with lrge degree of vribility. In brod overview of recent projects regrding sustinble griculturl prctices nd technologies in 52 countries, Pretty nd Hine (2001) showed tht yield increses s result of introducing prctices such s wterhrvesting, conservtion tillge nd drip irrigtion mounted to percent. Clerly, there re considerble gins to be mde in the productivity of rin-fed production systems through simple interventions. However, frmer s investment decisions re strongly influenced by his/her risk perceptions. Risk of reduced or no return on invested cpitl in rin-fed semi-rid frming is directly relted to the unrelible rinfll distribution (Rockström et l. 2003). Yields of selected gronomic commodities, before nd fter the development of the Bright Spot, re presented in tble 4, long with the dtset of seven crops tht re represented in both Afric nd the Asi nd Pcific regions. A comprison of the yields before the development of the Bright Spot indictes tht productivity of these commodities were, in most cses, lower in the Africn region thn tht of the Asi nd Pcific region (tble 4). In the cse of mize production, the men yield ws lowest in Afric before the estblishment of Bright Spots, when compred with tht of Asi nd the Pcific nd Ltin Americ (figure 3). However, with the development of the Bright Spot, yields of mize incresed significntly in Afric recording the highest reltive gins (figure 3). This my, in prt, be ssocited with the vrible climtic conditions often experienced in drylnd cropping systems, long with the lower inputs linked to production systems in Afric. If, it is ssumed tht the verge intke of mize per person per dy is 1 kg, for household of 4 individuls, the totl nnul mize requirement for household consumption would be 1.46 t. It is, clerly evident from the dt presented in figure 3 tht TABLE 4. Yield difference for selected gronomic commodities before nd fter the development of Bright spot for ech of the regions. Vlues in prenthesis re the stndrd error of the men. Commodity Before After Afric Asi nd Ltin Afric Asi nd Ltin Pcific Americ Pcific Americ t h -1 Cotton 0.86 (±0.41) 2.21 (±0.26) (±0.53) 2.94 (±0.15) - Mize 1.01 (±0.12) 3.01 (±0.61) 1.73 (±0.30) 2.91 (±0.53) 4.37 (±0.90) 3.09 (±0.47) Legume grins (±1.85) 0.39 (±0.06) 1.27 (±0.23) 1.85 (±0.46) 0.57 (±0.09) 2.19 (±0.38) Rice 1.83 (±0.80) 4.70 (±0.09) (±1.91) 5.63 (±0.09) 2.45 Root (±1.36) (±3.92) 6.92 (±1.49) (±6.45) (±6.21) (±2.48) Sorghum 0.71 (±0.13) 0.57 (±0.13) (±0.24) 1.14 (±0.26) - Whet 0.79 (±0.09) 3.89 (±0.09) (±0.33) 4.64 (±0.10) - Notes: Author s cretion 1 Legume grins include field pes, soyben, nd bens 2 Root crops include potto, cssv nd sweet potto 14